Harold R DeMoss Jr Financial Disclosure Report for 2010

8/3/2019 Harold R DeMoss Jr Financial Disclosure Report for 2010

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AO I0

Rev. 1/2011

FINANCIAL DISCLOSURE REPO RTFOR CALENDAR Y EAR 2010

Report Re quired by the Ethics

in Government Act of 1978

(5 U.S.C. app. ~ § 101-111)

1 . Person Rep ort ing (las t name, f i rs t , middle init ial)

D eM os s , J r . , H ar o ld R .

4. Title (Article I I1 judges indica te ac t ive or senior status;magis t r a te judges ind ic a te fu l l - o r p a r t - time)

U .S. Ci r cu i t Ju d g e -Sen i o r

7 . C h a m b e r s o r O f f i c e A d d r e s s

U . S . Co u r t h o u s e5 1 5 R u s k , S u i t e 1 2 0 1 5

H o us t o n , T ex as 7 7 0 0 2

2. C our t o r Or gan iza t ion

U.S. 5th Cir . Ct of Appeals

5a. Report Type (check appropriate type)

] N o m in ation , D ate

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h is R e p o r t a n d a n ymodif ica t ions per ta in ing there to , it is, i n m y o p i n i o n , i n c o m p l i a n c e

w i t h ap p l i c ab l e l aw s an d r eg u l a t i o n s .

R e v i e w i n g O f f i c e r D a l e

3. Date of R e p o r t

05/13/2011

6 . R e p o r t i n g P e r i o d

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . (Rep orting individual only; seepp. 9-13 of f i l ing instructions.)

D N O N E (No reportable positions.)

POSITION

1. Trustee

NAME OF ORGANIZATION/ENTITY

Boar d o f Tr us tees , Open Door M iss ion

3.

4.

5.

I 1 . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of fiting instructions.)

1-~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS



FINANCIAL DISCLOSURE REPO RT

Page 2 of 9

N a m e o f P e r s o n R e p o r t in g

DeMos s, Jr . , Harold R.

Date of Report

05/13/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of fillng instructions.)

A. Filer’s Non-lnvestment Income

D (No reportable non-investment income.)ONE

D A T ~ E SOURCE AND TYPE INCOME

(yours , not spouse’s)

I . 2010 Taxable IRA distr ibution f ro m R a ymo n d J a me s $50,000.00

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n a

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION

I.

2.

3.

4.

5.

PURPOSE ITEM S PAID OR PROV IDED



FINANCIAL DISCLOSURE REPORT

Page 3 o f 9

N a m e o f P e r so n R e p o r t i n g

DeMoss, Jr . , Harold R.

Date of Report

05/13/2011

V . G I F T S . a n t i, d e s t l, o s e , o s p o u s e ~ n d dependent ehildren; see p p . 2 8 - 3 1 of fillng instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I. LIAB ILITIES. anci.de~

[~] N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUE CODE



FINANCIAL DISCLOSURE RE PORT

Page 4 o f 9



Date of Report

05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions ( Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D NONE(No reportable incom e, assets, or transa ctions.)

A. B. C.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(l) (2) O) (2 )

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a lu e

exempt from prior disclosure C o d e 1 d i v ., r e n t , C o d e 2 M e t h o d

( A - H ) o r i n t . ) (J-P) C o d e 3

( Q - W )

( l )Type (e.g.,

b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

Date Value Gain

m m / d d / y y C o d e 2 Code 1

(J-P) (A-H )

( 5 )

Identity of

b u y e r / s e l l e r

(if private

t r a n s a c t i o n )

2.

3.

4.

5.

6.

7.

8.

9.

R a y m o n d J a m e s T r u s te e f o r I R A - S e e a s s e ts2-24

INVESCO CHARTER FUND

INVESCO GOVERNMENT FUND

A Dividend M

B Dividend

T So ld 06 /02/1 0(part)

Sold 07/01/10

(part)

Sold 0 810 2 /10

(part)

Sold 09/01/10

( p a r t )

S o l d 10/01/10(part)

Sold 11/01/10

(part)

Sold 12/01/10

(part)

T

J

J

J

J

J

J

J

1 0 .

II.

1 2 .

1 3 .

1 4 .

1 5 .

DWS CorePlus A Dividend S o l d(par t )

S o l d(par t)

Sold

(par t )

S o l d(par t )

S o l d(par t )

S o l d

01/05/10

02/02/10

03/03/10

04/05/10

05/04/10

06/01/10

J

J

J

J

J

J

1 6 . DWS Strategic Gov Sec Fund B Dividend K T

1 7 . DWSHIGH INCOME A D Dividend M T

I. Income Gain Codes:

( S ee C o l u m n s B I an d D 4)

2. Value Codes

( S c c C o l um n s C I an d D 3 I

3.Value Method ( ’odes

(See Colunln ( ’2)

A =$1,000 or loss

F :$50,001 - $ 100,000

J =$15.000 or loss

N =$250,001 - $500,000

P 3 =$25,000,001 - $50,000,000

Q=Appraisal

U ~B ook Val u e

B ~$1,001 - $2,500

G =$100,001 - $1,000,000

K ~$15,001 - $50.000

O =$500.001 - $ 1,000,000

R ~C o s t ( Ro a l E s t a l e O n l y )

V ~O t hc r

C =$2,501 - $5,000

H 1 =$ 1,000,001 - $5,000,000

L = $50,001 - $100,000

P I =$1,000,001 - $5,000,000

P4 =M ore than $50,000,000

S = A ssessm en t

W = Es t i m a t ed

=$5,001 - $1 5,000

H2 =Mo re than $5,000,000

M = $100,001 - $250,000

P2 =$5,000,00 l - $25,000,000

= C ash Mar ke t

E = $ 1 5, 001 - $50,000




Page 5 o f 9


DeMoss , Jr . , Harold R.

D a t e o f R e p o r t

05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . e o m e , v o l u e , transactions ( Includes those of spouse and d e p e n d e n t children; see pp. 34-60 of filing instructions.)

D NONE(No reportable income, assets, or transactions.)

A. B. C.

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o rt in g p e r io d o f r e p or t in g p e r io d

(1 ) (2 ) (1) (2)

Place ’,(X)" after each asset A m o u n t Type (e.g., V a l u e Value

exempt from prior disclosure C o d e 1 d i v ., r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) (J-P) C o d e 3

( Q - W )

1 8 . DWS Strategic Value Fund A Dividend

19 . COHEN & STEERS C Dividend L T

20 . NATIONAL RETAIL PROPERTIES C Dividend K T

2 I. K r af t Fo od s, In c. A Dividend K T

22 . VerizonCommunications, Inc. A Dividend K T

23 . Kinder M organ Energy Partners UT LTD A Dividend K TP a r t n e r

24 . R.J. Bank Dep osit A Distribution J T

25 . Northern Trust Co~.~ A I n t e r e s t J T

26. W elI Fargo Bank A I n t e r e s t J T

27 . Sowell 693, Ltd None J T

28 . Sunoco, Inc. A Royalty J T

29 . Devon Energy Operating Co. A Royalty J T

30 . Anadarko Petroleum B Royalty J T

31 . Prudential lns. of America A I n t e r e s t J T

32 . Amegy Bank o f Texas A I n t e r e s t

33 . Raymond Jame s Trustee for Brok er Acct I -

See assets 34-38

34 . Cap Wrld Gwth &Incm B Dividend L T

( 1 )Type (e.g.,

b u y , s e l l ,

r e d e m p t i o n )


(2) (3) (4)

D a t e Value G a in

mm/dd/yy Code2 C o d e 1

(J-P) ( A - H )

( 5 )

Identity of

b u y e r / s e l l e r

(if private

t r a n s a c t i o n )

S o ld 08/1 9/1 0 L

B uy 08/19/10 K

B uy 08/19/10 K

B uy 08/19/10 K

R e d e e m e d 01/04/10 L B

I. In co m e Gain Co d es: A = $1.000 o r le ss B = $1,001 - $2.500 C = $2,501 - $5.000

( S ee C o l u m n s B I an d D 4I F = $50,001 - $ 100.000 G = $ 100,001 - $ 1 .000,000 H 1 = $1 ,000.001 - $5,000,000

2. Value Codes J = $1 5,000 o r le ss K = $15,001 - $50.000 L = $50,001 - $ 100,000

( S e e C o l u m n s C I a n d D 3 ) N =$250.001 -$500.000 O =$500,001 - $1.000.000 PI = $1.000,001 - $5,000,000

P3 =$25,000,001 - $50.000.000 P4 =More than $50,600.0003. Value Method Codes Q = Ap p ra i s a l R = Co s t (Rea l E s t a t e O n l y ) S - A s s c s s m c n t

( S ee C o l u m n C 2) U = Bo o k Val u e V = O t her W = E s t i m a te d

=$5.001 - $15,000

H2 =More than $5,000,000

M = $100,001 - $250.000

P2 =$5,000.001 - $25,000,000

= C ash Mar ke t

E =$15.001 - $50,000




Pag e 6 o f 9



Date of Report

05/I 3/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ,, a lu e , , r a n s a .i o n s a n c t u d e s t h o s e o l s p o a s e a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)

D NONE(No reportab le income, assets, or transa ctions.)

A. B. C.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at en d

( in c lu d in g tru s t a s s e ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d

(t) (2) (t) (2 )

Place "(X)" after each asset A m o u n t Type (e.g., Va lu e V a lu e

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d

( A - H ) o r in t .) ( J - P ) C o d e 3

( Q - W )

35 . Bond Fd o fA mer i c a

36 . Gwth FdofAmer ica

37 . Income FdofAmer ica

38 . R.J. Bank Deposit

39 . Raymond James Trustee for Broke r Acct II -See assets 40-48

40 . A T & T

4 1. NEXTERAENERGY

4 2. Hewlett Packard Co.

4 3. Johnson& Johnson

4 4 . Procter & Gam bleCo

4 5. W eingarten Rlty Invs Sh Ben Int Reit

4 6 . CAPWRLDGRTH & INCM

4 7. R.J. Bank Acct

4 8. Growth Fund of America

4 9. Raymond Jam es IRA Account l l -See assets5 0 - 5 I

50 . Grow th Fund of America

51 . R,J. Bank Deposit

B Dividend L T

A Dividend L T

C Dividend L T

A Distribution J T

A

A

A

A

A

A

A

A

A

Dividend J T

Dividend J T

Dividend J T

Dividend J T

Distribution J T

Dividend J T

Dividend J T

Distribution J T

Dividend J T

A Dividend J T

A Distribution J T


(l ) (2) (3)Type (e.g., D a t e Value

b u y , s e l l , m m / d d / y y C o d e 2

r e d e m p t i o n ) (J-P)

Distributed 11/19/10( pa r t )

Spinoff 11/19/10 J( f r o m l i n e 5 0 )

Distributed 11/19/10 J

( p a r t )O p e n 11/19 /10 J

(4 ) (5 )

Gain Identity of

Code 1 buyer /se l le r

(A-H ) (if private

transaction)

1. Income Gain C0dcs: A = $1.000 o r le ss B = $1,001 - $2,500 C = $2.501 - $5,000 D =$5,001 - $15,000

(S e e Co lu m ns BI a n d I)4 ) F = $50,001 - $100.000 G = $100,001 - $1,000,000 H I = $ 1. 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 = M o re th a n $ 5, 00 0, 00 0

2. Valu e Co d es J = $1 5.000 o r Icss K = $15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000

( S e e C o l u m n s C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000.000 P4 -More than $50,000,0003. Value Method Codes Q ~ Ap p ra i s a l R = C o s t ( Rea l E s t a t e O n l y ) S = A ssessm en t T = C ash Mar ke t

( S ee C o l u n m ( ’ 2) U ~Bo o k Val u e V ~O t hc r W = E s t i ma l e d

E = $ 1 5, 001 - $ 50. 000




Page 7 o f 9



Date of Report

05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s s e ts In c o m e d u r in g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(1 ) (2 )

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,

( A - H ) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(t) (2)

V a l u e Va lu e

C o d e 2 M e t h o d

(J-P) C o d e 3

( Q - W )


(1 ) (2) (3 )

Type (e .g ., Da te Value

bu y, se ll, m m/d d /yy Code 2

redempt ion) ( J - P )

( 4 ) ( 5 )

Gain Ident i ty of

C o d e 1 buyer/sel ler

(A-H) (if private

transaction)

52. Secur ity Li fe o f Denver Ins . Co .: Univer sa l C I n t e r e s tLife Policy

5 3. R ay mo nd Jame s Tru s t ee f or B ro ker Ac c t l ll -See Assets 54-57

54 . El Paso Cou nty CO CTF PARTN A I n t e r e s t

55 . Ken tucky Asset/Liabil ity Commn Agy Fund B I n t e r e s t

5 6. Nu e c es Ri ve r Au t h TX W a t e r Su p p ly B I n t e r e s t

57 . R.J. Bank Dep osit A Distribution

M T

K T Bu y

K T Bu y

K T Bu y

J T O p e n

01/07/10 K

01/07/10 K

01/07/10 K

01/07/10 J

I. Income Gain Codes: A = $ 1,000 or less B = $1 ,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

( S ee C o l u m n s 01 an d D 4) F = $50.001 - $100.000 G = $100.001 - $1 ,000,000 H I = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 = M o re th a n $ 5, 00 0, 00 0

2. Value Codes J=

$15,000 or le ss K - $15,001 - $50,000 L = $50,001 - $ 100,000 M = $100,001 - $250,000

( S ee C o l u m n s C I an d D 3 ) N =$250,001 - $500,000 O= $ 500.001 - $ 1,000,000 P I = $1 ,000,001 - $ 5,000,000 P 2 = $5,000,001 - $ 25,000,000

P 3 -$25J)00.001 - $50,000.0[)0 P 4 = M o re than $50,000,000

3 . Val u e Met ho d ( ’ o d es Q = A p p ra i s al R ~C o s l ( Rea l E s t a t e O n l y ) S = A ssessm en t T = C ash Mar ke l

( S ee C o l u m n C 2) U = Bo o k Vahl c V -O th er W = E s t i m a te d

E =$15,001 - $50,000



FINANCIAL DISCLOSURE REPO RT

Page 8 o f 9


DeMoss , Jr . , Harold R.

Date of Report

05113/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepart of report.)

P a r t 1 . T h e o r g a n i z a t i o n i n d i c a t e d i n P a r t 1 . P o s i t i o n s i s a n u n - p r o f i t c h a r it a b le o r g a n i z a t i o n a n d J u d g e D e M o s s i s n o t a n " i n c o m e b e n e f i c ia r y " o f t h i s o r g a n i z a ti o n .

P a r t V II . T he a s s e t s h o w n o n L i n e 2 w a s f o r m e r l y k n o w n a s R a y m o n d J a m e s IRA AIM C H A R T E R . T h e n a m e c h a n g e o c c u r r e d o n 4 /3 0 /1 0 .T h e a s s e t s h o w n o n L i n e 3 w a s f o r m e r l y k n o w n a s A I M U . S . G o v e r n m e n t F u n d . T h e n a m e c h a n g e o c c u r r e d o n 4 / 3 0 /1 0 .Th e as se t sh o wn o n L i n e 3 8 was o p en ed o n 4 / 01 / 09 as a r esu l t o f t h e r ed emp t i o n o f t h e as se t sh o wn an d r ep o r t ed o n L i n e 26 o f t h e 2009 F DR b u t wasinadve r tan t ly om i t t ed in tha t r epor t .T h e a s s e t s h o w n o n L i n e 4 1 w a s f o r m e r l y k n o w n a s F P L G r o u p . T he n a m e c h a n g e o c c u r r e d o n 6 / 3 / 1 0.

T h e a c c o u n t s h o w n o n L i n e 5 3 i s a n e w a c c o u n t a n d w a s o p e n e d o n 1 / 7 / 1 0.




Page 9 o f 9

N a m e o f P e r s o n R e p o r t i n g

DeMoss, Jr., Harold R.

D a te o f R e p o r t

05/I 3/2011

IX. CERTIFICATION.

| c e rt i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a te , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l ie f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i ca b l e s t a tu t o r y

p r o v i s i o n s p e r m i tt in g n o n - d i s c l o s u r e .

I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i ch h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

S i g n a t u r e : S/Harold R . D e M o s s , J r .

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S I FI E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C IV ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S. C . a p p . § 1 04 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

Harold R DeMoss Jr Financial Disclosure Report for 2010