James T Trimble Financial Disclosure Report for 2009

8/3/2019 James T Trimble Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/james-t-trimble-financial-disclosure-report-for-2009 1/8

,w 1 o FINANCIAL DISCLOSURE REPORT R e p o r t l~ ¢ q u i r e d b y th e E t h i c sin Government Act o f 1978

Ray. 1 /20Z0 FOR CALENDAR YEAR 2009

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l ) 2. Cour t or Organizat ion 3. Da te o f Report

T R _IM B L E , J R . , J A M E S T . U . S . D I S T R I C T C O U R T 04/07/2010

4 . T i t l e ( A r t i c l e l iT j u d g e s i n d i c a t e a c t i v e o r s ~ i o r s t a t u s ; h a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6, Repor t ing Per iod

m a g i s t r a te j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] Nomi na t i on , D a t e 01/01/2009

U . S . S E ’ N I O R D I S T R . I C T J U D G E [] initial[] A mat ml

[] Final to

1 2 / 3 1 1 2 0 0 9

5b, I’~ A m e n d e d R e p o r t

7. Chambers or Of f ice Address 8. On the basi s of the information conta ined in th i s Rep or t and anymodifications pertaining thereto, it Is, in my opinion, in compliance

5 15 M ur r ay S t r e e twi th applicable laws and regulat ions.

Su i t e 211A le xandr i a , L A 713 01

R e v ie ~ 4n g O f f i ce r D a t e

[MPORTA NT NO TES t Th e inst ru ct ions accom p anying th is fo rm m u st be fo t towet . Comp lete al l p ar ts,

checking the NONE box for each part where yo u have no reportable inform at ion. Sign on last page.

I . P O S I T I O N S . (Report ing h~divldnal onlj ,; see pp. 9-13 o f f!ling instruct ions.)

N O N E (No repot able pos i t ions .)

P O S IT IO N N A M E O F O R O A N IZA T IO N /E N T IT Y

I.

2.

I I . A G R E E M E N T S . ( ~ ,p o , a, ~ i~ia,t o~ty~ ~,, pu. 14 -16 of.filing instr~cU’ons.)

NO NE ( No reportable agreements.) ~ "’

D A T E P ~ kR ~ I’IE S A ND T ]~ R M S - " "

1 .



Iame of Person Report ing Date of ReportFINANCIAL DISCLOSURE R E P O R T

] TRIMBLE, JR., JAMES T.

P a g e 2 of 8 o 4 / o 7 / 2 o l o

I l L N O N - I N V E S T M E N T I N C O M E . m , v o ,, ~ g + + d + ~ + a + : ~ , .d , p o ~ e : s ,e v p . ~ r - u of firing tnstractionx,)

A. Filer’s Non-Investment Income

NONE (No reportable non-investment income.)

] ;)ATE SO UR C E A N D TY PE INC O ME(yours, not s p o u s e ’ s )

1.

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 - lf j,ou ~,¢re married dza-ing any porllon o.l’the re.portlng year, complete this section.

(Dollar amount not requ ired excep t for honorar ia_)

[] N O N E (N o r ep or t a b le non - i nvest men t i ncom e . )

DATE SO UR C E A N D TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - ,+ . + o .: ,i o . . toad.~.Ioo~, , . ~ . ~ . . .. . ,

(Include~" tho.ve to ~’pouse and de pendent children; *ee pp. 25-27 of filing instructions.)

NONE (No reportable reiml~rsements.)

SOURCE DATES LOCATION P UR P OSE ,ITEM S P AID OR P R OV ID ED

I.

2.

3.

4.

5.



N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT

TRIMBLE, JR., JAMES T.P a g e 3 of 8 04107/2010

V . G I F T S . a , d . d e s , ~ s e t o ~ p . . . .. ~ d ~ r o . ~ , , , e h i ~ , e , : s ~ ~ : 8 - ~ ~ o / ~ u , ~ ~ , , ~ . ~ i o , ~

NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

1.

2.

3.

4.

5,

V l . L I A B I L I T I E S . a . a ~ i , ~ those of spottse and depen dent c2~itdren ; see pp. 32-33 of f!ling instructlonsO

N O N E (No re porta ble liabi l i t ies .)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT~ , m e o f P e r s o n R e p o r t i l l g Da,e orRepor~

P a g e 4 o f 8 T R I M B L E , J R . , J A M E S T . 04 /07 /2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~,co,,,, ~ol~e.,~ .... ~o~, (Includes those of sport .... d depen~nt children; ~t pp. 34-60 of filing inxtruc6on~)

N O N E (N o r ep or t a b l e i ncom e , a s se t s , o r t r a ns a c t i on . )

A. { B. C. D.

~ c f i p t i on o f A sse t s ~ I n , me d u ~ n g G r o s s v a l u ~ a t en d T ~ n ~ c f i o ~ s during r e i n in g ~ d

( i n c l u d i n g t i n s 1 a s s e ~ s )~

r~o~ing ~d of repos ing period

C o d e Ie x e m p l f r o m p r i o r d i ~ l o s u r e div., ren~o d e 2 M e t h o d b u y , ~ l l , mm’d~ Code 2 b u y e r / s e l l e r

{ A - ~ orint.) U - P ) C ~ e 3 r e d e m p t i o n ) ( J - P ) [ { A - H ) 0 f p ~ v m e

1. C al . Fe d . E mp . C r e d i t U n~ on (Sav i ngs A c c l ) J A l n t e r ~ t J T

2. C a p i t o l O n e A Inte rest L T

3. R a in w e e A sso e , L td P a r tn e rsh ip No n e J W

4. U . S . S a v i n g s B o n d s - S e r i e s E E N one K T

! 5 , E xxon C o r p . S t oc k B D i v i d e n d L T

6. E q ui tab l e L i f e iS . P rem ) N one K T

7 . N e w P e r s p e c t i v e F u n d ( I P ~ ) N one J T 10/I 9/09 J S e e P a r . VI I I

8 . C i t i ba n k D e po s i t P ro g ra m ( I R A ) No n e J T 1 0 1 1 5 / 0 9 I S e e P a r . VI I i

9. L e g g M a s o n O p p T r u s t ( IR A ) N one L T 1 0 1 1 5 / 0 9 L Se e Pa r . V II1

1 0 . A m e r i c a n B a l a n c e d F u n d ( I R A ) No n e K T 10/I 5/09 K S e e P a r . VI I I

I I . A m e r i c a n M u t u a l F u n d A M R M X ( I R A ) No n e K T 10/15/09 K S e e P a r . VI I I

1 2 . Eu ro - P a c i f i c Gro wt h F u n d ( I R A ) No n e K T 1 0 1 1 5 / 0 9 K S e e P a r . VI I I

1 3 . G r o w t h F u n d o f A m e r ic a ( I R A ) N one K T 1 0 1 1 5 , ’ 0 9 K S e e P a r . VI I I

1 4 , In co me Fu n d o f A me rica (IR A ) No n e K T 10/15/09 K S e e P a r . VI I I

1 5 . W a sh in g to n M u tu a l lo v e s Fu n d (IR A ) No n e J T I 0 ! 1 5 / 0 9 J S e e P a r . VI I I

! 6 . Le g g M a s o n O ppo r t u n i t y T ru s t A D i v i d e n d K T 10/I 5 / 0 9 K S e e P a r . VI I I

1 7 . L e g g M a s o n V a l u e T r u st A D i v i d e n d J T 10/15/09 J !S e e P a r . VI I I

2. Value Cod~ J = $ 1 5 . 0 0 0 o r l e s s K = $15 . 0~ 1 . $5 0 . 000 L = $5 0 .0 0 1 - $10~,000 M = $ 1 0 0 , 0 0 1 ¯ $ 2 5 0 .0 ~

(S ¢¢ Co lu mn s C 1 a nd D 3 ) N ~$2 50 .0 01 - $5 00 .0 00 O =$~00,001 - $1,1[YO0,0(~ Pl ~l,000.001 - $5,000,000 P2 = $5 .0 0 0 .0 0 1 - $2 5 , 0 0 0 .0 90

( S e e C o l u m n C 2 } U = B ~ e .k V a l u e V - O t h e r W = E s t im a te d



N a m e o f P e r so n Repor t ing D a te o f R e p o r t

P a g e F IN A NC I A L 5 o f 8 D I S C L O S U R E R E P OR T T R I M B L E , J R ,, J A M E S T . 0 4 / 0 7 / 2 0 1 0

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 . . . . ~ a l , , e . t ransact ions [ Inclu d~ th ose o f sp ou se and dep end en t ch i ldren; seep p . 34-60 o f f i l ing ins t ru ct ions . )

" - - - ] N O N E (No reportable income, a~sets , or t ransact ions .)

I B. C .1

D.

D e s c r i p t io n o f A s s e ’~ [ Income during Gro s s va l u e a t e n d [ 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

( i n c l u d i n g t r u s t a s s e t s )~_

repo~ng per iod o f r e po r t i n g pe r i o d l

,~W- ~ -<~~-~F--1 ~l) ~:~ ~ 3 ~ 1~4~ ~P l a c e " ( X ) " a f a r e a c h a s s e t A m o u n t T y p e ( e , g . , Va lu e Valu e T y p e ( e . g . , D a t e Valu e Gain I d e n t i l y o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e - a t , C o d e 2 M e th o d buy , se ll, mm/dd /y y C o d e 2 C o d e I buyeds~i ler

I (A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

j ( Q - W ) t r a n s a c t i o n )

1 8 , L e gg M ason Sp e c i a l Inv e s t me nt T r us t A D i v i d e n d L T 10/15/09 L Se~ Pa r . Vl l l

19 . Am. Cap. Strategies (IRK) None J T 1 0 / 1 5 / 0 9 J See Pax. VIII

20 . H e l i o s H i g h I n co m e F d N one J T 10/15/09 J " Se¢ Pa r . Vl l l

21 . A p o llo In v . C o rp (IR A ) No n e J T 10/15/09 J See P a r . VI | I

22 . H R PT Pr op e r t ie s A D i v i d e n d J T 10/15/09 J S e e P a r , VI I I

23 . V e riz o n (IR A ) No n e K T 10/15/09 K S e e P a r . VI I I

2 4 . C i t i b ank D e p os i t P r ogr am A Inte rest J T 10/15/09 J " S e e P a r , VI I I

2 5 , C i t i g ro u p A D i v i d e n d J T 10/15/09 J S e e P a r . VI I I

26 . Ge n e ra l E l e c t 6 e A D i v i d e n d J T 1 0 f 1 5 1 0 9 J Se e Pa r . V II1

27 . Pfizer , Inc. A D i v i d e n d J T 10/15/09 J S e e P a r . VI I I

28 . P re cis io n D ri llin g T ru s t (IR A ) No n e J T 10/15/09 J S e e P a r . VI I I

29 . C a p i t a l O n e C D B Interest R e d e e m e d 10,22/09 K

3 0 . A re s C a p i t a l C o rp N one J T I 0 /1 5 1 0 9 J S e e P a r . VI I I

3 1. L e g g M a s o n E m e r g in g M k t (I R A ) None K T 10/15/09 K S e e P a r . VI I I

3 2. M u r p h y O i l C o r p o r a t i o n No n e J T 1 0 1 1 5 / 0 9 J S e e P a r . VI I I

3 3. Ba rks d a l e F e d e ra l C re d i t Un i o n A Inte rest J T

3 4. Ba rks d a l e F e d e ra l C re d i t Un i o n C D A Interest R e d e e m e d 09 /28 /09 K A

I 1 . In c o m e C n t in



F I N A N C I A L D I SC L O S U R E R EPO R T ~.me of Person Reporting Date of Report

Page 6 o f 8 TRIM BLE, JR., J A M E S T . 0 4 / 0 7 / 2 0 1 0

N O N E ~ V o r ep or t a b le i nc om e , a s s e t s, o r w a ns a c t i ons . )

A. V" B. C. [ D.

D e s c r i p t i o n o f A s s e ~ ~ I n c o m e d u ~ n g G r o s s v a l u e a t e n d T~ctio~ dung ~ng ~Hod

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

Pl~e "(X)" a~r ~ch ~set A m o u n t T~¢ (c,g.. V a l u ~ V a l u e T~e (e,g., Dat~ [ Valu~ Gai n I d e n ~ t y o f

e x e m p t f r o m p r i o r d i s c l o s a ~ C o d ~ I d i v . . ~ n ~ ~e 2 Me~od b u y , s e l l , mm/d~)~ [ ~de 2 Co~ I b u y e r / s e l l ~

( A - H ) o r i n t ) (J -P ) C o d e 3 r~:mption) ( I-P) ( A - H ) (ifpfiw~e

~n~ction)

B~k~ale Federal Cr~it Union CD A Interest ~edeemed 1 2 / 0 2 / 0 9 J A

3 6 . Fairpoint Communications (IRA) None J T 10/15109 J ._q~ Par. VIII

3 7 . Fideli[y Portfolio Advisory Service (IRA) None M T NO CONTROL - See

Par, VIII

38. LPL Strategic AssetMgmt (IRA) None M T NO CONTROL-See

Par. VIII

3 9 . LPL Strategic Asset Mgmt A D i v i d e n d L T NO CONTROL-See

Par. VIII

I . I ncome G~ ia C od es: A = $ 1 , 0 0 0 o ~ l e ss B =S [.00 1 - $2 ,5~ C =$2 ,~ I - $3 ,000 D =$5 ,~ 1 - $15 ,~ 0 E = $ 1 5 . ~ 1 - $ ~ . ~ 0

(See C d u m n s B I a n d ~ ) F =$50.~1 - $1~.~ G - $ 1 ~ . ~ 1 ¯ $ 1 . ~ 0 , 0 ~ H I ~$l.~0.~l - $5.~0.~ H2 =Mo~ ~n $5.~.~

2. Vak~ C~ J ~ $ 1 5 , 0 ~ o r I ~ s K - $ 1 5 , ~ 1 - $ 50 . ~ L ~ 5 0 , 0 0 1 - $ 1 0 0 , ~ M = $ 1 0 0 , ~ 1 ¯ $ 2 5 0 , ~

( S e e C ~ u n ~ n s C I a n d D 3 ) N ~ $ 2 5 0 . ~ 1 - $ 5 ~ , ~ O ~5~,001 - $1,0~ PI =$I,~,00l

P] -$~$.~.~1 - ~50.0~,~ P 4 = M o r e t ~

3. V=I~ Mc~ C~es Q = A p wa l sa [ R ~ o ~ ( R e a l E s t a t~ O n l y ) S =A~t T =Ca~ Ma~

( Sec Column C2) U ~ B ~ k V a } u e V ~h~ W=Esti~d....................................



FINANCIAL DISCLOSURE REPORTs ~ e o f P e r~ a n R e po r t i n g D a te o f R e p o r t

P a g e 7 o f 8 T R I M B L E , J R . , J A M E S T . 04/0712010

VIII. ADDITIONAL IN FORMA TION OR EX PLANA TIONS. a,,,~,~,,~, ofnepo,~

Un t i l O c t o be r , 2 0 0 9 , i n ve s t me n t s s ho wn a s #7 - 2 8 , 30 , 31 , 32 a n d 36 ha d be e n w i t h M o rg a n S t a n l e y S m i t h Ba rn e y . O n t he d a t e s i n d i ca t e d , a ll I R A a n d i n d i v i d u a l

ho l d i n g s we re ro l l e d o ve r ( I R A ) o r t r a n s f e r r e d ( i n d i v i d u a l ) t o LP L F i n a n c i a l . O n O c t o be r 2 8 , 2 0 0 9 , LP L F i n a n c i a l pa r t i a ll y l iqu i d a t e d I R A a s s e t s ( C o d e M ) a n dro l l e d o ve r t o F i d e l it y P o r t f o l i o A d v i s o ry S e rv i ce s , LP L p l a ce d r e m a i n i n g I R A a s s e t s ( C o d e M ) i n i t s S t r a t e g i c A s s e t M a n a g e m e n t a n d d i d l i ke wi s h w i t h t hei n d i v i d u a l a s s e t s (C o d e L) t ha t i t ha d r e ce i ve d by t r a n s f e r f ro m M o rg a n S t a n l e y S m i t h Ba rn e y . A l l o f t h i s wa s d o n e pe r m y i n s t ru c t io n s , a s I n o l o n g e r w a n t e d t oh av e an y p a r t i n manag i ng my asse t s ( se l e c t ion o f i nv e s t me nt s , b uy i ng , se l l ing , e t c . ) B o t h t h e Fide l i t y and L P L e n t i t i e s now h av e c omp le t e c on t r o l o f t h e se a sse t s .

M y m a i n pu rpo s e f o r t he a bo ve wa s t he ho p e t ha t n e w i n ve s t m e n t f irm s wo u l d i m pro ve t he a by s m a l r e co rd o f t he o l d o n e . A f r i n g e be n e f i t , p e r a d v i ce f ro m t heFi nanc i a l D i sc losur e O f f i c e , i s t h a t I c an s i mp ly r e p or t t h e t o t a l amount s i n e ac h e n t i t y a t ye a r ’ s e nd and s t a t e " no c on t r o l" t o sa t i s f y r e p or t i ng r e q u i r e me nts .



N~me of Person Report ing Date o f Report

P a g e F IN A NC I A L 8 o f 8 D I S C L O S U R E R E P OR T T m ~m L ~, J R . , J A~S r . 0 4 / 0 7 / 2 0 ~ 0

IX. CERTIFICATION.

I c e r t i f y t h a t a ll i n f o r m a ti o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n i n 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 , i f a n y ) i sa c c u r a t e , 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 i e f , a n d t h a t a n y i n f o r m a t io 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 c a b le s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .

I f u r t h 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 ~ v h i c h 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 .

N O T E : A N Y IN D I V I D U A L W t l O K NO W I N G L Y A N D W I L F U L L Y FA L S I F I E S O R F A I L S T O F I L E T i l ls R E P O R T M A Y B E S U B J E C T T O C I V I LA 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 0 4)

FILING INSTRUCTIONS

M a i l si g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t ra t i v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N .E .W a s h i n g t o n , D . C . 2 0 5 4 4

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James T Trimble Financial Disclosure Report for 2009