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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization US District Cou~ - 4th Ctr. 5~. Repo~ T)~e (check approprtatc ~pe)

~,,po,., ~eq~i,ea ~ ~ ElSies

in Government .4ct of 1978

(.~ usc app. IOl.lll)

3. D~te ul Report 0~/13/20 6. Reporting Period

I. Person Reporting (lasl name, firsL middle initiat) Beaty Jr., James A. 4. Title (Article llI judges indicate active or semor s{atus; magisuatcjudges tndicatc full- or pan-lime} Article Ill Judge

Nominafior..

Date ~ Annual ~ t,nal 12/3 t/2~9

~ Initial

5b. ~ Amended Repo~ 7. Chambers or Office Address 2~ I N. Main Street - Suite 24~ Winston-Salem, N.C 27101-3984 8. On the ba*i~ of th* inform~tlon ontlined ia this Re~ tad any modificitlon~ [~slnlng thereto, it il, in my opinion, ia with tpplictble law~ and rgulttion~. Reviewing O~icrr

IMPORTANT NOTES: The instructions accompanying this form mu~t be fotlowe~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. P 0 S I T l 0 N S. !~,o,a~ individual only; see pp. 9-13 of filing instr, crionx.)

----] NONE (No reportable positions.) POSITIQN
I 2. 3 Foundation Board Membes BoardofTrustccs Board Member

NAML: OF ORGANIZATION/ENTITY
Western Carolina University Senior Services of Forsylh County New Winston Museum

c,-:
~ NONE (No reportable agreements.) DAT~
I.

--<

,53
~

-r~--~ - ~ PARTI~S AND TFRMS m ~

Beaty Jr., James A.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

N. .... f~ ..... Repor,i.e

Bevy,, Jr., James A. [ 05.13/201

III. NON-INVESTMENT INCOME. ~,po,a,x individuat andsp ....

A. Filers Non-investment Income NONE ~o reportable non-investment income.) DATE
1. 2009 2. 3. 4.

; see pp. 17-24 of filing i .......ions.J

SOURCE AND TYPE

(yours, not s~uses) NC Judicial Retirement Vested Benefit $31,342 ~

B. Spouses Non-lnves[Inent Income - tf rou ,,,r~ married duting an~,porrion o[the reporting)taro t, ml,lete this
(Dollar ornou~t not required e~cept for honoraria.}

NONE (No reportable non-investment income.) DATE

I. 2009

SOURCE AND TYPE

Thc Speech Center-Clerical

3, 4.

|*t~lv.I) 15~I ~/l i~ | ~" r~ ~ I~ I~ ~" !~/~1~! ~ I~,IL, II Vl 1~ u I\,D IL.IVI IL, I ~ 1"O ...... p ..... ion. lodging, food ........ i .....

NONE (No reportable reimbursements.) SOLIR(~.~ DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Page 3 of 8

Be~y Jr., James A.

05/I 3/2010

V. GI FTS. a~,-~a,, ,~o~,o ,p ...... a dependen, chHdren; ,ee pp. 28-31 of filing instructions.) NONE (No reportable g~s.)
~OURC[~
I. 2 3

DESCRIPTION

VAI.UE

5.

[~

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODg

I.

3. 4 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 8

BeatyJr. James A. ~

05/13/2010

NONE ~o reportable income, assets, or transactions.)

PI~c "(X}" aider c~h asscl exempt from prior disclosure . I. 2. 3. 4. 5. 6. 7.

8.

Amount T~ Code I div . rein.

Code 2 iQ-W) -..~. namaclifln)

Wachovia Brokerage IRA -Citigro~p Common Stock -Microsoft Common Stock -General Electric Comon Stock -Omega Health Ptop. Common Slock -Lithium Technology/Common Stock -Progress Energy Comn,on Stuck
-Precision Drilling Company Common Slock Duke Energy, Commor~ Stock

Dividend

[ 9.

Dividend

10. 11. 12. 3 14 15 16. 17

Spectra Energy Common Stock Bank of America Investment Services, lnc (IRA) -Columbia Cash Reserve Daily -Federated Bond Class A -Federated American Leaders Class Mulual Fund -Federated Capital Apprecialion Class A Mutual Fund -Federaled INTL Value Class A Mutual Fund -Federa:ed Kaufman Class A

A A

Di,~dend Dividend

J M

T 1"

PageFINANCIAL5 of 8

DISCLOSU~ ~PORT
Beaty Jr., J~mes A. 05/13/2010

NONE (No reportable income, assets, or transactions.) c. (includin~ t~s~ asscts) P~acc "(X)" after each asscr exL~p~ t~(m~ prior d~sclosure re~ing ~riod r Amoun~ T~ {e.g, Code I ] div., rent. ~ (A-tl) orinl) of rcporling period V~lue C~e 2 (JP) Val,c Me:hod ~ ! D --~

T~e (e g. , Dale [ Valuc Gam hlcnlily of ~ bu~. sell. rmr~dd).~ {oflt 2 (?~k-) buyc~.~vllc~ redcmptu,n) ILl) : (A-Ill I C~c3 (Q-W) r~ trans,cllon)

18. 19

-Fed Strut. Val Fund Class A Mu~. Fund CSX. Corp., Common Stock A A A A A A A Divideod Dividend Dividend Dividend Dividend Interest Interest None None None A A A A A A Interest Interest Inlcrcst Interest Interest Interest J K K M 3 K J K K IT Opcn[Og/20/OgK W W W T T T "f "f Open Open Open Open Open 10/13!09 110/08/09 10/08/O9 09/20/09 09!20/O9 K M J K Closed 11/10;09 K A J J J T "r

"~0 Exxon Mobd Common SlOCk 2 I. 22. 23. 24. 25 26 27. 28 2) 30 31 32 33 Bell South!A "I & T Equitable Variable-Alliance Common Stock Fund AXA Equitable-lncenli-e LifoMod. Cornn~on Fund Bank of America/Savings Acct. Wachovia B&TiCert. of Deposfl x,aca[~t Real Estate Forsyth, NC/Parcel Vacant Real Eslate!Parcel 2 Vacanl Real Esu~te, Union, SC Newitridge [3ank Fa~rf:,c,~,ard Checking Acc~ (X) Palmetto Cltizens Fed Credit Union Money Markt~ (X) Pahnelto Citizens Federal Credit Union CD Wacho,.ia I-]&T CD (X) Wachovia B&T CD (X) Wacho,.ia 13 & T Checking {X) [ 34

FINANCIAL DISCLOSURE REPORT

Page 6 of 8

....

D.te of I~.por, _
0~/~ 3/~0~0

n~a~ ~., ~*m~ A.

I .~ fe~,o. ~,~o,~,~
~ NONE (No reportable income, assets, or transactions.)
A. Descriplion of Assczs (including tn~sl asse~s) Place"(X)" after each asset exempt from prior dzsclosurc B income du~ing re~rdng perit~ Amoum + Code I (A.}{) ~ T~pe ~cg, div. rent. or inl )

VII. INVESTMENTS and TRUSTS - i ....... .~ ............ ~ ~.~ ,*~ 0/~ ...... ~.,~,~ .... ,.~.~ ,.r,. ~-~0 o/,~ ~ ....... ~,,.~-.~

c. Gross value" at end of~cpomng period Value ~odc 2 (J-P) Value Mctkt~ Code 3 T)I~ (e g , buy. sell, ~ redeml"on)

D ~ran~aclions duri:~g [cporlin~ pc[iod

, :

........................
35. Wachovia B& T Money Market (X) A 36.

_
Interest

d.
J T

~ Date ~ Value imn~d&~ (~c 2 I (I-P)

Gain Code l (A-II~

Idcnti~y of (if

Open

I0/I 3,09

Ffist National Bank CD

(X)

Interest

Open
Open

09,20/09

37.

First National Bank CD (X)

Interest

09120/~

First National Bank CD

38.
39.

(X)

Interest

Open
Open

09~0109

First National Bank CD (X)

Interest

09~0/09

FINANCIAL DISCLOSURE REPORT Page 7 of 8

~por,i,[
Beat), Jr., James A.

i s,~, ot~ ..... VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

05/13.Q010

Pan VII. Items 2%39 are all exempt transactions. To the extent they bccame reportable assets during the reporting period let:,. ate now being hsted to show their value as of the last date of the reporting period "

FINANCIAL DISCLOSURE REPORT Page 8 of 8

IX. CERTIFICATION.

N .eaty Jr.. James A. [

0.~,~ 3;201 0

I cerlif thai all inf ~rmation given above (including informalion pertaining to my spouse and minor or dependent children, if an)) is accurate, true, and complete to the best of my knowledge and belief, and that any ioformation nol repo~ed was ~ithhehl because it met applicable statutory prn~isions permiUing non-disclosure. . I further certify that earned income from outside emplo).ment and honoraria and the acceptance of gifts ~hlch bare been reported are i~ compliance with the provisions of 5 U.S.C. app. ~ 501 et. seq., 5 U.S.C. ~ 7353. and Judicial Conference regulations.

Sig~~aturi

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAI,SIFIES ()R FAILS TO FILE Tills REPORT MAY lie SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS M:~il signed original and 3 additional copies to: Comn~ittcc on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circlc, N.E. Washington, D.C. 20544