[{ NONE (No reportable positions.)

Transcription

1 AO JO Rev Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2012 (5 U.S.C. app ) Person Reporting (last name, first, middle initial) Court or Organization Traugcr, Aleta A. U.S. District Court (MD Tenn) 05/01/2013 Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Ct.Judge-Active 7. Chambers or Office Address Sa. Report Type (check appropriate type) D Nomination Date D Initial [{ Annual Sb. D Amended Report D Final 6. Reporting Period 01/01/2012 to 12/31/ U.S. Courthouse 801 Broadway Nashville, Tennessee IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. POSITI0NS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSITiON NAME OF ORGANIZATION/ENTITY 5. I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2of8 II N0N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [Z NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) B. Spouse's Non-Investment Income - If you were married during any portion of the rfporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE 2012 Income from law firm partnership attorney partner in Trauger & Tuke. ib r': IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. (Includes!hose to spouse and dependent children; see pp of filing ins/rue/ions.) [Z NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED 5.

3 Page 3of8 V. GIFTS. (lnc/11des those lo spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 5. VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE Nashville Bank & Trust Mortgage on.. '':1\.1 law firm bldg. & loan for HV AC units I 0 joint liability with other partners) Nashville Bank & Trust Line of credit for law firm partnership K 5.

4 Page 4of8 VI INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.; D NONE (No reportable income, assets, or transactions.) A. c. D. B. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreporting period {I) {l) {I) (2) (2) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (3) transaction) Acc'ts. at SunTrust Bank, Nashville, TN A Interest M T The Equitable A.B.A. Group IRA A Int./Div. M T Robertson Stephens Emerging Growth Fund A Int./Div. M T Guilford Co., NC farmland B Rent N w 5. Cash SUIT. value NW Life policy None M T 6. Cash suit. value ofl NW Life policies None M T 7. Parnassus Fund B Dividend L T 8. Interest in Jaw firm bldg. None N w 9. Profit sharing plan- Divers. Trust None Pl T 10. Moore County, NC timber land A Rent M w 11. Bank of America Corp. A Dividend J T 1 Exxon Mobil Corp. A Dividend K T 1 Piedmont Natural Gas Co. A Dividend K T 1 Metro Nashville Electric Service Zero None K T Coupon Bonds 15. TN Housing Development Agcy. A Interest Redeemed 1/3/12 K Homeownership Bonds 16. Wells Fargo Cash Sweep Program None Sold 1/1112 K 17. Elizabethton, TN water & sewer revenue None K T bonds Income Gain Codes: A =$1.000 or less B $500 c =$501 -$5.000 D =$ $ E =$ $ (Sec Columns Bl and 04) F =$ $100,000 G =$100,001-$1.000,000 HI =$1, $ =More than $5, Value Codes J =$15,000 or less K=$15,001-$ L =$ $ M =$ $ (Sec Columns Cl and 03) N =$ $ =$ $ Pl =$1, $5, '2 =$ $25, P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

5 Page 5of8 VI INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (2) (I) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate (Q-W) transaction) 18. Lincoln National Corp A Dividend J T 19. MGT Holdings None J T 20. The Providence Service Corp. None N T Donated 12/21/12 K 21. Rental Property -Nashville, Davidson Co., E Rent 0 w TN (part) 2 Regions Bank money market acc't. (Morgan B Interest J T Keegan) 2 Pinnacle Nat. Bank accounts A Interest K T 2 Blount County, TN munic. bonds A Interest K T 25. NTT, Inc. None Sold 9/28/12 J 26. Hirtle, Callaghan Investment Funds DWS Tax Exempt INSL Share A Dividend L T 28. -HCCT Commodities A Dividend L T 29. -HCCT Emerging Mkts. B Dividend M T 30. -HCCT Fixed Income Opportunity A Dividend J T 31. -HCCT Intermed. Muni. D Dividend M T 3 -HCCT Intermed. Muni. II B Dividend L T 3 -HCCT International D Dividend N T 3 -HCCT Large Cap Growth c Dividend M T Income Gain Codes: A =$1.000 or less B =$1,001 $500 c =$501 '$5,000 D =$ $15,000 E=$15,00l -$50,000 (Sec Columns Bl and D4) F =$50,001 - $ G =$ $ Ill =$ $ =More than $5, Value Codes J =$15,000 or less K=$ $ L =$ $ M =$ $250,000 (Sec Columns Cl and 03) N =$ $ =$ '$ Pl =$1, $ '2 =$ '$25, P3 =$25.000,001 $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

6 -- Page 6of8 VI INVESTMENTS and TRUSTS D NONE (No reportable income, assets, or transactions.) income, vatue, transactions (Includes t1tose of spouse and dependent c1tildren; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including tmst assets) reporting period ofreporting period (I) (2) (I) (3) (4) (5) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (2) (2) (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. -HCCT Large Cap Value D Dividend M T 36. -HCCT Small Cap A Dividend K T 37. -HCCT Core Fixed Income A Dividend J T Buy 1/3/12 J 38. -HCCT Institutional International Equity A Dividend J T Buy 1/26/12 J 39. -HCCT Institutional Growth Equity A Dividend J T Buy 1/25/12 J 40. -HCCT Institutional Value Equity A Dividend J T Buy 1/26/12 J 41. Nelson's Green Brier Distillery, LLC None K T Buy (add'!) 7/2/12 K 4 Wells Fargo checking acct. None J T Open 2/18/12 J 4 Claritas Capital COC Partners, LLC None M T Buy 11/12/12 M Income Gain Codes: A =$1.000 or less $500 c $5,000 0=$5,001-$ E=$ $ (Sec Columns Bl and 04) F =$50,001 -$ G =$ $1, HI =$1.000,001 -$5,000, =More than $ Value Codes J =$ or less K=$15,001 -$50,000 L =$ $100,000 M =$ $ (Sec Columns Cl and 03) N =$ $ =$500,00 I -$1,000,000 Pl =$1,000,001 -$5,000,000 1'2 =$ $25,000,000 P3 =$ $50,000,000 P4 =More than $50.000,000 Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

7 Page 7of8 Trauger, Aleta A. D'1te of Report 05/01/2013 VII ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate part of report.)

8 Page 8 of8 Trauger, Aleta A IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Aleta A. Trauger NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C