FOR CALENDAR YEAR 2010 (5 U.S.C. app.,~,~ )

Transcription

1 Smith, Jr., Charles L. I Report Required by the Ethics in Go vernmen t Act of 1978 AO 10 Rev. 1/2011 FOR CALENDAR YEAR 2010 (5 U.S.C. app.,~,~ ) I. Person Reporting (last name, first, middle initial) Court or Organization Smith, Jr., Charles L. Northern District of Alabama 05/25/2011 Title (Article Ill judge~ indicate active or senior status; 5a. Report T)]3e (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) ] Nomination, Date 01/01/2010 U.S. District Judge - Active [] Initial [] Annual [] Final to 12/31/2010 5b. [] Amended Repon 7. Chamber~ or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance United States Courthouse with applicable laws and regulations. I01 Holmes Avenue Huntsville, Ala Reviewing Officer Date IMPOR TANT NOTES: The instructions accompanying this form must be followet~ Complete ali parts, checking the NONE box for each part where you have no reportable information. Sign on last pag& I. P 0 S I T I 0 N S. ee ovor~ng individual only; see pp of fillng instructlon&) [~] NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY 5. II. AGREEMENTS. mevor~.g individual only; see pp of filing instructions.) ~-] NONE (No reportable agreements.) DATE PARTIES AND TERMS Judicial Retirement Fund of Alabama (Retirement fund of former employer, State of Alabama), no control 1981 Madison County, Alabama Retirement Fund (Retirement fund of former employer, Madison County), no control

2 Page 2 of 9 Smith, Jr., Charles L. 05/25/201 I III. NON-INVESTMENT INCOME. (Repor~nglndi, id.otandspouse: scarp. ~-~4 of~llng ins~u.lon~) A. Filer s Non-lnvestment Income [~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouse s) I State of Alabama Retirement $58, Madison County, Alabama Retirement $19,1400 B. Spouse s Non-Investment Income - if you were married during any portlon of the reportlng yeor, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) DATE SOURCE AND TYPE I Madison County, Alabama Commission - Salary IV. REIMBURSEMENTS - transportation, Iodglng, food, entertainment. (Includes those to spouse and dependent children," see pp of filing instructions.) ~-~ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED 5.

3 Page 3 of 9 Smith, Jr., Charles L. 05/25/201 I V. G I FTS. anclud~ those,o ~po,~e and depo.den, ch;uren; ~ee p~ 2S-3! of filing instruction~) ~] NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 1. V I. L I A B I L I T I E S. anciude~ tho~ of spo~e and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUECODE I. Bank of America Credit Card J 5.

4 Page 4 of 9 Smith, Jr. Charles L. 05/25/2011 VII. INVESTMENTS and TRUSTS - i... e, value, tr...,ions (Includes those of spouse and dependen, children; seepp of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporling period (including trust assets) reporting period of reporting period i (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset i 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 i (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private [ (Q-W) transaction) 1. U.S. Savings Bonds-Series EE A Interest J T Regions Financial Corp. A Dividend J T Citi Bank Money Fund A Inlerest J T Meadowbrook, Ltd. 75% Int. in limited None J U partnership 5. Farm: Madison County, Ala. D Rent (Crop) P 1 W 6. Farm Rental House: Madison County, Ala. D Rent (House) L W 7. Crown Life Ins. - Cash Value A Dividend J T 8. Apple Computer, Inc. None L T 9. Clorox Co. B Dividend K T 10. l 457(b) Deferred Comp Account: American Century Value Fund B Dividend K T 1 -- Fidelity Contrafund D Dividend L T 1 --Nationwide Fixed Account A Interest L T 1 -- Nationwide Large Cap Growth Fund D Dividend L T S & P 500 Index Fund A Dividend J T 16. Madison Co. AL Retirement Fund B Interest K T 17. Am Family Broadcasting Corp (Retirement) None J T 1. Income Gain Codes: A =$1,000 or less B =$ $500 C =$2,501 - $5,000 D =$5,001 - $ E =$15,001- $ (S Columns B 1 and D4) F =$ $ 100,000 G =$ $ 1, I 11 =$ $5, = More t ban $ 5.000,000 Value Codes J =$15,000 or less K =$ $ L -$ $ M =$ $ (See Columns CI and D3) N =$ $ O=$ $ PI $ $5,000,000 p2 =$ $25, P3 =$ $ P4 =More lhan $ Value Method Codes Q -Appraisal R =Cos! (Real Estawc Only) S =Asscssnl~mt T =Cash Markct (S c Column C2) U -Book Value V =Olh,"r W =Estimated

5 [ Page 5 of 9 Smith, Jr., Charles L. 05/25/2011 V I I. INVESTMENTS and T R U STS - inco~,e. ~olu,, ~a.,oc,ion, aueludes those o/spouse an~ depe, dent children; see pp offillng instructions.) NONE (No reportable income, assets, or transactions.) A. B. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting p~riod of reporting pedod (i) (2) O) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset i Amount Type (e.g., Value Value Type (e.g., Date Value Gain Idenlity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm!dd~ Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 18. Fix Corp Intl., Inc. (Y) See Part Vlll 19. Sanmina-SCI Corp None J T 20. PACT(AIa. Prepaid Affordable College A Interest K T Tuition plan) 21. Scholars Choice (Section 529 Plan) - No B Dividend J T Control 2 Easy Street Investors Corp.: None Sold 12/3 I/I0 K A ESI Corp. o See Part VIII 2 Education IRA No. 1: 2 -- CitiBank NA Bank Deposit (formerly SB A Interest J T Money Funds) Coca Cola Bottling Co. A Dividend J T Adtmn, Inc. A Dividend J T Overstock.Com, Inc. None J T 28. Education IRA No. 2: Legg Mason Partners (formerly SB A Dividend J T Aggressive Growth Funds) CitiBank NA Bank Deposit (formerly SB A Interest J T Money Funds) Adtran, Inc. A Dividend J T 3 -- Overstock.Com, Inc. None J T 3 Education IRA No. 3: 3 -- Legg Mason Partners (formerly SB Dividend Aggressive Growlh Funds) 1. Income Gain Codes: A =$1.000 or less B =$1,001 - $500 C =$2,501 - $5,000 D =$ $ E =$ $50,000 (Scc Columns B I and D4) F =$50,001 - $ G -$100,001 - $1.000,000 I I I =$ $5, =More than $ Value COd,.:~ J $ or less K =$ $ L =$50,001 - $ M =$100,001 - $ (See Columns CI and D3) N =$ $ O =$500,001 - $ )00 PI =$1, $5.000,000 P2 =$5.0(]O $ P3 =$25, $ P4 =More than $ Value Method Codes Q =Appraisal R ~ost (Real Estate Only) S =Assessment T ::::Cash Markel (See Column C2) U -Book Value V :Other W =Estimated

6 Page 6 of 9 Smith, Jr., Charles L. 05/ V II. INV ESTMENTS and TR U STS - income, vol.e, ~o~ocrio~ a.cl.des,hose o/sp...d dependent children; see pp offillng instructions.) [~] NONE (No reportable income, assets, or transactions.) Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period 0) (2) (I) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset I 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 boy, sell, mm/dd~ Code 2 Code I buyer/seller i (A-H) or int.) (J-P) Code 3 redemplion) (J-P) (A-H) (if private txansaction) CitiBank NA Bank Deposit (formerly SB Interest Money Funds) Adtmn, Inc. A Dividend J Overstock.Corn, Inc. None J 38. Education IRA No. 4: Legg Mason Partners (formerly SB A Dividend J T Aggressive Growth Funds) CitiBank NA Bank Deposit (formerly SB A Interest J T Money Funds) Adtran, Inc. A Dividend J T 4 -- Overstock.Com, Inc. None J T 4 Coca Cola Bottling Co. A Dividend J T 4 ebay, Inc. None J T 45. Trust No. 1: A Dividend K T Citibank NA Bank Deposit Program A Interest J T ITC DeltaCom, Inc. - New Issue None Sold 12/08/10 J Franklin Federal Tax Free Income FD A Interest K T Class A (X) 49. Vanguard Age-Based Aggressive Growth A Dividend J T (Section 529 Plan) 50. Adtran, Inc. A Dividend J T 51. Walt Disney (acquisition and merger of A Dividend J T Pixar into Disney) I. Income Gain Codes: A =$1.000 or less B =$ $500 C =5501 * $5.000 D = $ E =$15.0~1- $ (See (Solumns B I and D4 ) F =$ $ I 0O.000 G = $100.(301 - $ = ~ 1 - $ ~0 112 =More than $ 5.00~.000 Value Codes J = $ or less K = 515,001 - $ L = $ M = 510~.0O I ,000 (See Columns CI and D3) N =$250.0OI - $500.1X30 O =$50~.001 * $1.~0.000 PI =$1.0(} $ P2 =$5.000.(~11 - $ P3 =$ P4 =l".torc than $ Value Method Codes Q =Appraisal R =:Cost (Real Estate Only) S =Asscssmcaat T =Cash Markcl {Scc Column C2) U =Bc~k Value V =Olher W =Estimated

7 Page 7 of 9 Smith, Jr., Charles L. 05/25/2011 VII. INVESTMENTS and TRUSTS - i,co~,,...aluo. ~a,~io~ (lndudes those of spouse and dependent children: see pp of fillng ittstructlons.) NONE (No reportable income, assets, or transactions.) A. B. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (I) (2) (3) (4) (5) I (I) (2) Place "(X)" after each asset, Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/ddiyy Code 2 Code I buyer/seller! Code I [ (A-If) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private transaction) 5 Lincoln FinancialGroup (X) A Interest Sold 10/18/10 K A 5 Annuity - Western Nat. Life Ins. Co. (X) A Interest Sold 10/18/10 K A 5 Education IRA No. 5: CitiBank NA Bank Deposit Account A Interest J T Open 04115/10 J 56. Trust No. 2: CitiBank NA Bank Deposit Account A Interest J T Open 11/19/10 J I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$ $ E =$15.0~1- $50,000 (See Columns BI and D4) F =$50,001 - $ G =$ $1.000,000 Ill =$ $ =More than $ Value Codes J =$ or less K =$ $ L =$ $100.00~ M =$ $ (See Columns CI and D3) N =$ $ O =$ S PI =$ $5.0~.000 P2 =$5.0~O $ P3 =$ $ P4 =More than $ (~O Value Method Codes Q =Appraisal R ~Cos! (Real Eslatc Only) S =Ass~ssmen! T =Cash Markc~ (See Column C2) U =Book Value V =Olho" W =Estimated

8 Page 8 of 9 Smith, Jr. Charles L. 05/25/2011 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport) Part VII, page 5, line 18: This stock was declared valueless, ceased trading, and was delisted from the stock exchange. Part VII, page 5, line 22: As a result of selling my single share ofstock in the "Easy Street Investors Corp." to the investment club (not a private individual), all of the club investments previously listed on lines of the 2009 Financial Disclosure Report were omitted from this Report.

9 Page 9 of 9 Smith, Jr~ Charles L 05/25/2011 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 ~vas 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/Charles L. Smith, Jr. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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