Joseph M Hood Financial Disclosure Report for 2009

8/3/2019 Joseph M Hood Financial Disclosure Report for 2009

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I A O ~ 0 I FINANCIAL DISCLOSURE REPOR T R ~ , o , - t R e q , , J ,~ d ~ . . n , ~ ~ : i ~ , i~ . ~I in Government Act q] 1978R e v . t i 2 0 ~ O FOR CALENDAR YEAR 2009 ( ~ u , s . c , o / ,p . , ~ , + " ~ o ~ - ~ ~ ~1, Person Reporting Oasr name, first, middle initial) ~. Court o r O rganization 3. D ate of ReportHood. Joseph M. 12.1). KY. 04..30,;2010

4. Title (Al#iel Ill judges indicate active or senior s[an~s; 5a. Report Type (check appropriate ty~) 6, Repor ting Per iodmagislmlc judges indicat~ full- or pard-lime)~ Nomination. Dale 01,"01,"2~9

U.S. Dislrict Judge (Senior) ~ Initial ~ Annua! ~ Final12/3 I,2009

~b. ~ Amended Report7. Cha~nhers or O~fice Address 8. On the basis of the inf iwmalion coo tained in this Imodifications pertaining thereto, it is, ~,- -P.O. Box 2227 wi~h applicab ....... ~nd regula0"Lexington, KY 40588-2227

IMPO RTA NT NO TES : r l~e ins~r .c~ io.s ac t omr. , ,. . ..~ m~st be fo l lowed . Com plete al l par ts ,checMng the NONE box for each part where you have tto reporta~ne ipfi)rmation. ~qigtt on laxt page.

~ N ON E ( N o repot-tablepositions.)P OS I T I ON N A M E O F O R G A N I ZA T I O N /E N T I T Y

2. Board of Managers Diederich Educational Trust3. Direclor Federal Judges Accociation

4, Director St. Joseph Hospilal Foundation5. Direclur SL Joseph Berea Hospital Foundation

~ N O N E ~No reportable agreements.)D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPOR T [ N .....fP .....Reporting 1)ate of ReportIPage 2 of 1 0 ] hood, J o s e p h M . 0 4 / 3 0 , : _ ~ 0

I ll . N O N - I N V E S T M E N T I N C O M E . (Reporting indlvldual and sp ....... : see pp. 17-24 o Jfil lng instructionx.)A. Fliers Non-Investment Income

N O N E ( N o reportable non-investment income.)D A TE SOURCE A~ TYPE I N C O M E(yours, mgt Spouses)

1.02~07,2009 ~2 ~i~ - Midnight Stakes Raffle Fundraiser S25,000.00Wmner

3.

4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - cfr,,~ were married during a~portion of the reporOng year complete thi~ section.(Dolla r ~nottnt n,~t required exc~pt.fitr honoraria.)

~ N O N ( N o reportable non-investment income..)D A TE S O U R C E A N D T Y P E

2 . 20 0 9 Proctor

3.

4.

I X " . R E I M B U R S E M E N T S - - , ,~ . ., -p o , ,. ,i ,, .. Ioari..~,~,,,,a. e.,e.~i ...... ,.Hmlude~ tho.~e to spouse ~ld dept~ ;r.lenl children,: see pp. 2.% 27 o/.fili~g ittslrtttlions.)

~ NO NE ~b reportuble reimbursements.)SO UR C E D A T E S LO C A TIO N P U R P O S E I T E M S P A I D O R P R O V I D E D

I. F . 1 A 5/02,2009 - Washington, DC Borad Meeting Housing, Travel & Meals5~03/2009

3.4.5.


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F I N A N C IA L D I S C L O SU R E R E P O R T [ N ~ o f r ~ .... Reporting[ Date of Rel[~or~

Page 3 of 10[ Hood , J o s e p h M .

0 4 / 3 { 1 / 2 0 1 0

V . G ! F T S . a , , , , ~ , u ~ t ~ , , , .~ , o , ~ . . . . . . . . . . ~ ~ , , ~ , ,, ~ , ,, , .~ , ~ , : ~ . ~ , ~ . 2 s - s ~ q / ~ , , ~ .N O N E (No reportable g~/?s.)

SO~ D E S C R I P T I O N VAL~1.2.3 .4.5.

~ N O N E (No reportable liabilities.)C R E D I T O R DESCRIPTION VALUE CODE

3.4.5.


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F INANCI AL DI S CL OS URE RE P OR T ] Name of Person Report ingI

Date of ReporlrPage 4 of I 0 I Hood , J o s ep h M . 0 4 / 3 0 / 2 0

VH. INVESTMENTS and TRUSTS - i . ~ o m , . ~ . t , ,. , . . .. . .. . . ,i o . , ~ ( I n c l u d e s ,h,,.se of sp ........ d dependent children: see pt,. 34-60 t~/N O N E ( N o reportable income, assets, or transactions.)

A B. C. D .D e s c r i p t io n o f A s s e ts [ n c o l ~ 3 e d u r i n g G r o s s v a I t te a t e n d T r a n s a c t i o n s d u r i n g r c p ~ n in g p e r i o d

P l a c c " 1 X I " M t e r e a c h a s s e t A m o u n t T y p e t c .g . , Value V a l u e l - y p c { e .g . . D a t e Value G a i n ldcnlib o f, :x e m p t f i o m p r i o r d i s c l o s u r e C t ~ t e I d i v . . r e n t , , ( _ e . d c 2 M c lh o d i b u y , s e l l . r o m / d d ; y y C o d e , 2 C o d e t buyer/sellert A - I ! I o r m t A ~ J - P l Code3 r e d e m p t i o n ) ( J - P ) ( A - H ) fifprivatc{ Q - W ) t r a n s a c t io n t

1 . Fifth Third Bank, Lexington, KY Checking A Inlerest 3 T2. Fit:th Third Bank, Lexington, KY Checking A Interest ,I Tix )3. Metlife lnvs Ins Co Ins Prod None 3 T4 . Jol"~n Flancock Litb Ins Co None Redeemed 06/I 0/09 K5. Lincnln National Lil~ Ins Co None , ,1 T6. I" de tv 1 westmcnts "~~i~" ~l None L T7 . -Ash!and Irtc New A Dividend J T B uy 02/02/09 J8. -Fidelity Money Market A Dividend9. ~Fidelily US Govt Reserves A Dividend Sold 1 0 / 1 2 / 0 9 .I

10 . -Fidelity Leveraged Company Stock Fd A Dividend J TI I. -Fidelity Levcraged Company Stock Fd None B uy 0 6 7 0 2 / 0 9(addl)12 . -Fidelity Lcveraged Company Stock Fd N one t S u y 08/04/09(addt)13 . -Fidelity t,everaged Company Stock Fd None B uy I 0 / I 2 . i 0 9addl)14 . -Fidelity China [legion A Dividend J T B uy 1 0 / 1 2 / 0 91 5 , -Fidelity Dividend Growth Fund A Dividend J T B uy 06:O2/09 JJ 6 . -Fidelity i)ividendGrowth Fund N one Bny 0 8 / I ) 4 / 0 9

(addl)17 . -Fidelity Dividend Growth Fund N one B uy 1 0 1 1 2 / 0 9

(addt)


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F I NANCIAL DI S CL OS URE RE P OR T , N a m e o f P e r s o n R e p o t , r a g D a t e o f R e p o | tPage 5 of 1 0 ~ I o o d , J o s e p h M . 0 4 / 3 0 / 2 0 1 0V I L INVESTMENTS and TRUSTS - i .. . . . . . . ,~,~, t .. . . . . tions (Includes those of s/muse at~d dependettt child ... . . . . pp. 34-60 t~ff!li,tg itlstructlon,v.)

NONE (N~) reportable income, assets, or transactions.)A , B. C. D.

D e s c r ip t i o n o f A s s c i 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 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 t) C l u ( l i n g t r u s t a s s e t s ) re.fling period o f r e p o s i n g p e r i o d

(! (2 ) (I) (2) (IJ 12) (3} {4.1 1 5 1P h ~ c c " ( X ) " a f t e r e a c h a s s e l Amount Type (c.g., V a l u e V a l u e Ty~x (e.g.. D a l e Value Gain It lcnlilye x e m p l f r o m p r i o r d i s c lo s u r e C o d e I : ( l i ~ . , ~ n l . : C o d e 2 M e th o d b ~ y , s e l l , m n 3 / d d ; ) y Code 2 Code I b a y c r , , n c t l c rA - t t ~ o r h ~ l . ) ( J - P C o d e 3 r e d e m p t i o n ) ( . l - P )( Q - W ) m m ~ a c t i o n )

18 , -Fideliw. High Income A Dividend J T B u y . . 0 6 ~ " ~ , 0 9 J

1 9. -Fidelity High Income N one B uy 0 8 , 0 4 / 0 9 J(addl)2 0 , -Fidelity Select Materials Por~lblio A Dividend K T B uy 06/02/09 J2 1 . -Fidelity Select Materials Porttblio None B uy 08/04/09 J(addl)2 2 . -Fidelity Select Materials Portfoliu None B uy 1 0 / 1 2 / 0 9 ,1(addl)2 3 . -Fidelily Small Cap Stock Fund None J T B uy 06/02/09 J2 4 . -Fidelity Small Cap Stock Fund None Bu y 08/04/09 J(addl)2 5 , -Fidelity Small Cap Stock Fund None B uy 1 0 1 2 / O 9 .I(addJ)2 6 . -Fidelity V alue Fund A Dividend J T Bu y 06/02/09 .I2 7 , -Fidelily Value Fuud N one Buy 08/04/09 J(addl)2 8 . -Fidelity V alue Fund None I B uy 1 0 / 1 2 q ) 9 ,I

. -Janu~ Overseas Fund A Dividend J T B uy 06/02/09 J130.Janus None B uy 08/04/09 .Jverseas Fund~ . ( a d d J )~ 3 I . Fidelity 1RA None J T

3 2 , -Fidelily Cash Reserve s A Dividend J T3 3 . -Fidelity US (io,,4 Reserves A I)ividend Sold 0 4 / 0 2 ! 0 9

3 4 . -Fideliiv Leveraged Company Stock Fd A Dividend J T


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F I NANCI AL DI SCL OS URE R E P ORT ~ .... f P ..... R e p o r t i n g D a t e o f R e p o t ,Page 6 of 1 0 Hood, Joseph M. 0 4 / 3 0 / 2 0 1 0VIi. INVESTMENTS and TRUSTS .. i, ....... , . ~ . , . . . . . . . , i , , . , , . a , , , , ~ , , a , , , , h o ~ , ~ , [ . , ~ . . . . . . . . . a a e p ~ , a e , , , .h i ~ , ~ ......... pp. 34-60 of f!li,tg itt~truclion.~.)

~ reportable assets, or transactions.)ONE hV o income.A . B. C, D

(I) (2) ~ I ~ i2] ~ ~ ) (2~ ~ 3 ~ ( 4 ) (5,exempt th>m prior disc}osur Code I div_ tom, Code 2 Method buy. s~Jl. mm .ddiyy Code 2 th3de I h.ycr/sellcr

t Q - W ) n a n s a c l i o n )

. 35. -Fidelity Leve,aged Com pany Slock Fd N one Buy 06/02/09 J(add1)-FMelity Leveraged Company Stock Fd None Buy 08/04/09 J(addl)

3, . -Fidelity Lm.eraged Company Stock Fd None B uy 1 0 / 1 9 / 0 9 J(addl)3 8 . -Fidelity China Regiou A Dividend J l B uy 1 0 / 1 2 / 0 9 .!3 9 . -Fidelity Dividend Growth Fund A Dividend .! T B uy 0 6 / { ) 2 / 0 9 J4 0 . -Fidelity Dividend Growth Fund None Bu y ( ) ~ / 0 4 / 0 9 d(addl)4 1 . -Fidelity Dividend (iruwth Fund None Buy 1 1 ) / 1 2 / 0 9 .I4 2 . -F~delity Iligh Income A Dividend J T Bu y 0 6 . " 0 2 . / { ) 9 J4 3 . -Fidelity High Income None B uy 08i04/09 ,I(add!)4 4 . -Fidelity Select bfaterials Por~tblio A Dividend J T B uy 06./02/t)9 34 5 . -Fidelity Select Materials Portlblio None " 7 Buy 0 8 / 0 4 . " 0 9(addl) li4 6 . -Fidelity Select Materials Portfolio None Buy 1 0 / 1 2 / 0 9 .I(addl]4 71 -Fidelity Snmll Cap Stuck Fund None ,l T l a I u y t)6/02/094 8 . -Fidelity Small Cap Stock Fund N one B uy 08/04/09 ](addl)

4 9 . -Fidelity Small Cap Stock Fund N one Buy I O . . " l 2/0~11I{addl)5 0 . -Fidelity \ralue Fund A Dividcnd J T B uy 06/02/09 ! .I5 1 . -Fidelity V alue Fund None B uy 0 g 1 0 4 / 0 9 J(addb


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FINA.1NCIAL DISCLOSURE R EPORT N . . . . . o t P e r . ~ o , , r e l , o r l i , , ~Page 7 of 10 ~ o o a , J o se p h M . 0 4 / 3 0 / 2 0

V i i. I N V E S T M E N T S a n d T R U S T S - ~ ......... ~ ........... ao..,, o.~.t.a.s a , o~ , ~ , ........... d tlependent childre. see m,. 3d-6O oyjilit,g lNONE (~Vo reportable income, assets, or transactions.)

A. ~, C D .D c s c r i p l i o n o f A s s e t s I n c o m e d f i r in g G r o s s v a l u e a t e l l d T c a n s a c t i o n s d u r i n g r o p o r l il l g p e r i o d

( itlcl~Jding lltlSl assels) r e p o r t i n g p e r i o d o f r e p o s i n g p e r i o d(I) ~2) ~1) (2) I I ) ~2) {3~ ~4) 1 5 )

H a c c " { X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( c . g . V a l u e V a l u e T y p e ( e .g . . D a t e V a l u e G a i ne x e m p t l ? o m p r ~ o r d i s c l o su r e C o d e I d i v . . r e n L C o d e 2 M cl h o d b u y . s e l l . m m . d d i y y (ode 2 C o d e 1 buycrscllcrI A - I { ~ o r i ~ J ( J - P ) C o d c 3 r e d e m pt i o n ) O - P ) ( A - H ) (ifprlvatc( O - W ) t r a n s a c f i o ~ O

5 2 . -Fidelity V alue Fund N one B uy 10/12/09(addl)5 3 . -Janus Overseas Fund A Dividend 3 T B uy 06/02/09

5 4 . -Janus Overseas Fund . N o n e B uy "1 08/04/09 J(addl)5 5 . Fidelity IRA #2 Spouse None .I T5 6 . -Fidelity Cash Reserves A Dividend J T5 7 . -Fidelily US Govt Rese~es A Dividend Sold ~/02/09 J5 8 . -Fidelity Leveragcd Comp any Stock Fd A Dividend J T5 9 ~ -Fidelilv Leveraged Company Stock Fd None B uy 06/02/09(addq)

~ 6 0 . -Fideiily Le~emged Company Stock Fd None B uy 0 8 , " 0 4 / 0 9(addl)~ 6 1 . -Fidelity Leveragcd Company Stock Fd None B uy 10/12/09 J{addl)1 6 2 . -Fidelity Chin~ Region A Dividend J T B uy 1 0 / 1 2 / O 9i 6 3 . -Fidelity Dividend Growth Fund A Dividend J T B uy 06/02/09i ~. -Fidelity Dividend (irowlh Fund None B uy 08/04/09(addl)

] 6 5 . -Fidelity Dividend Growlh Fund None B uy 10/12/09{addJ)~ 6 6 . -Fidelity High Income A Dividend J T B uy 06/02/09 J

6 7 . -Fidelity Itigh Income N o n ~ B uy 08/04/09~ (addl) 6 8 . -Fidelity Select Materials Porllbtio A Dividend J T Bu y 0 6 / 0 2 , " 0 9


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F I N A N C I A L D I S CL OS U RE RE PORT ] Nam e of Person Repor ting i [Date of ReportPage 9 of ] 0 [ H o o d , J o s e p h M . [

04/30,2010

V i ii . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a,aica,~p,,r,o~Rel, or,.)


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|FINANCIAL DISCLOSURE REPORT ] N ......[e ..... Rl~pOF||l |g D~|~ of ReportPage 10 of l 0 I Hood, Joseph M. 04130/2010IX. C E R T I F I C A T I O N .

I certify that all information given above (including information pertaining to my spouse and minor or depeudent c hildren, if any~ isaccurate, trne, and complete to the best of my kno wledge and belief, and that any information no t reported was withheld because it met applicable statutoryprovisi~ns permitting non-disclosnre,I further certify thai earned income from outside emp loyment and houoraria and the acceptance of gihs which have been reported arc incompliaaee w ith the provisions of 5 U.S.C. app. 501 et. seq., 5 U .SoC. 7353. and Judicial Conference regulatiuns.

NO TE: A NY INDIVIDU Al , WHO KN OWINGI ,Y AN D WILFUI , I,V FALSIFIES OR FALLS "| O FI I ,E THIS REPORT MAY BE SUBJECT T O CIVILAN D CRIMINAl, SAN CTION S (5 [LS.C. app. 104)

F IL IN G I N S T R U C T I O N SMail s~gned original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United Stales (ourtsSuite 2-301One Columbus Circle. N.E.Washington. D.C. 20544

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Joseph M Hood Financial Disclosure Report for 2009