Beruflich Dokumente
Kultur Dokumente
1/2011
Report Required by the Ethics in Govermnent Act of 1978 (5 U.S.C. app. 101-111)
!. Person Reporting (last name, first, middle initial) GUIN, J. FOY, JR. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
7. Chambers or Office Address 1729 FII~VH AVENUE NORTH SUITE 918 BIRMINGHAM, ALABAMA 35203
8. On the basis of the informatian contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followea~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
~]
NAME OF ORGANIZATION/ENTITY
2. 3, 4. 5.
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
~]
2. 3.
4.
B. Spouses Non-lnvestment Income - if you were married during any portion of the reporting)ear, complete this section.
(Dollar amount not required except for honoraria.)
~]
2. 3. 4. 5.
V. GIFTS. a, clude, ,hoso ,o Wouse and dependen, children; see pp. 28-31 of filing instructions.)
NONE (No reportable girls.) SOURCE DESCRIPTION VALUE
2. 3. 4. 5.
VI. LIAB ILITIES. ana,,d,-s those oIspo,~e a,d depe,de,t children; see pp. 32-33 of filing instructlong)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructlon~.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trost assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (i) (2)
Value Value
Code 2
(J-P)
Method
Code 3
(Q-W) I. 2. 3. 4. 5. I/3 interest in lot located in Haleyville, Ala. Regions Bank (checking) Regions Bank (checking) ExxonMobil Corp corn AT&T B F A E B A A Rent Interest Interest Dividend Dividend Dividend Div & int
J J J PI L W T T T T
6. FMI Funds 7. IRA ACCT. A 8. 9. 10. II. 12. 13. 14. 15. -Pershing Govt Acct (Money market fund) -Teco Energy lnc com. -Regions Financial Corp corn -Citadel Broadcasting -Family Dollar Stores -Walgreen Cod -Darden Restaurants, Inc -Molex, Inc
J K
T T
J J J J J
A A
17.
I. Income Gain Codes: [,See Columns B I and IM ) 2. Value Codes (Sec Columns C I and D3) 3. Value Method Code~ [Scc Column C2)
A =$1,000 or less F :$50,001 - $100.000 J $15.000 or less N =$250.001 - $500,000 P3 $25.000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1,000.000 K =$15,0OI - $50.000 O -$500.001 - $1,0~0,0~0 R =Cost (Real Estate Only) V -Other
C =$2.501 - $5,0~0 H I =$ 1.00~.001 - $5.0~,00~ L =$50.0~1 - $10~.000 PI =$1.000.001 - $5.0~0.0~0 P4 =More than $50.000.000 S =Assessment W = Estimaled
D =$5,001 -$15,000 H2 =More than $5,000.000 M =$100,0OI - $250.000 P2 =$5.000,091 - $25.0(~.000 T :Cash Market
E :$15,0~ I - S 50,0(10
(I)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
18. 19.
Sold
04/13/10 J
22. -IBM 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. -Allied CapCorp -Ares Cap Corp -Dover Corp -Masco Corp -AT&T, Inc. -Genuine Parts Co -Intel Corp -Intel Corp -Paychex, Inc -Pepsico, Inc -Pepsico, Inc -Sonoco Peoducts Co Buy (addl) 10/28/10 Buy (addl) 04/29/10 Sold 10/26/10
A
03/31/10
Sold
04/28/10
I. Incornc Gain Codes: (See Columns B I and D-I) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (S~c Colunm C2)
A =$ 1,000 or Icss F =$50.001 - $100.00O J =$15,000 or Icss N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1.000.000 K -$15,001 - $50,000 O =$500,001 - $1,0~0.O00 R =Cost (Real Eslale Only) V Olher
C =$2,501 - $5.000 HI ~$1,000.001 - $5,000,000 L -$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 :More Ihan $5,000.000 M :$100,001 - $250.000 P2 =$5,000,001 o $25.000.000 T =Cash Market
E =$15,001- S50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assels (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during repening period Gross value at end of reporting period Transactions during reporting period
0)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
O)
Type (e.g., buy, sell, redemption)
(2)
(3)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. !40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
-Qualcomm, Inc -Abbott Labs -CocaCola Co -CocaCola Co -Raytheon Co -Medtronic, Inc -V F Corp IRA ACCT. C -Pershing Govt Acct (Money market fund) -IBM -AT&T, Inc -Family Dollar Stores -Family Dollar Stores -VFCorp -Pepsico, Inc -Lowes Cos, Inc BROKERAGE ACCOUNT #1 A Div & Int
J J J J J J J
A
A A
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3 ) 3. Value Method Codes |See Column C2)
A =$1,000 or less F =$50,001 - $10~,000 J =$15,0~O or less N =$250,001 - $500,000 P3 =$25,000,001 - $50.000,000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.0OI - $1,000.000 K =$15,001 - $50,000 O =$500,001 - $ 1,0O0,000 R =Cosl (Real Estate Only) V Other
C =$2,501 - $5,000 H I =$1.0OO,001 - $5.000.000 L =$50,001 - $100.000 P I =$ 1,0OO,001 - $5,000.0OO P4 -More than $50,000.0OO S =A~scssmcnt W =Estimated
D =$5.001 - $15.000 H2 =More than $5,000,0~O M =$100.001 - $250.000 P2 =$5.000,001 - $25,000.000 T :Cash Market
E =$15.1901 - S50.000
VII. INVESTMENTS and TRUSTS - inco,~e, ,,hi.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
-Barrick Gold corn -Abbott Laboratories com. -Hewlett-Packard, Inc corn -Southwest Airlines com. -Pepsico Inc com -Regions Financial Corp -PPG Industries com -FedemtedGovt Reserves -Home Depot Inccom -General Electric Co com -Automatic Data Processing, Inc com -Pfizer, lnc corn -Kimberly Clark Corpcom -Johnson & Johnson com -Allstate Corp corn -Chevron Corp com -Chevron Corp com
A A A A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
K J J
K J K J J K J J J J J J J
1. Income Gain Codes: (See Columns BI and D-.I) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes tsee Column C2)
A =$1,000 or less F =$50.001 - $100,000 J =$15.000 or less N =$250.0~1 - $500.00~ P3 =$25.0~0.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.001 - $1.000.0~0 K $15.001 - $50.000 O -$500.001 - $1.000.00~ R =Cosl (Real Eslale Only) V Olher
C =$2,501 - $5,000 HI =11.000.001 - $5.000.000 L =$50.001 - $10~.000 PI =$1.000.001 - $5.0~0.000 P4 =More than $50.00~.00~ S =Assessment W =Estimated
D =$5.0~1 - $15.0~0 112 =More than $5.00~.000 M $100.001 - $250.000 P2 $5.0~0.001 - $25.000.000 T =Ca,h Market
E =$15.001 - $50.0~0
redemption)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79.
-3MCompanycom -Colgate-Palmolive Co corn -Walgreen Cocom -Walgreen Cocom -Procter& Gamble Co -Intel Corp -Royal Dutch Shell PLC -V F Corp -Nokia Corp Sponsored ADR -Emerson Electric Co -Sysco Corp
A A A A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
K K J J K J J K
T T T T T T T T Sold
101/07/10
Buy (addl)
05/03/10
Sold
06/17/10
80. -Air Products & Chems, Inc 81. 82. 83. 84. 85. -Texas Instruments, lnc -Diebold, Inc -McDonalds Corp -Waste Management, Inc -Becton Dickinson & Co
J J
K J K
T T T
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F :$50,001 - $ 100.000 J =SI5.000 or less N =$250,001 - $500.000 p3 = $25,000,001 . $ 50.000.000 Q ~Appraisal U =Book Value
B $1.001 - $2.500 G -$ 100.001 - $ 1.000,000 K $15.001 - $50.000 O =$500.0OI - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.000 H I =S 1.000.001 - $5,000.000 L =$50.001 - $100.000 PI -$1,000,001 - $5,000.000 P4 More than $50,000,000 S =As:~ssmcnt W =Estimated
D =$5,001 - $15,000 H2 = More than $5,000.000 M =$100.001 - $250.0~0 P2 =$5,000,001 - $25.000.000 T =Cash Market
E =$15.001 - $50,0(IO
,, value, t ...... tions (Includes those of sp ...... d dependent children; see pp. 34-60 of fillng instructlons.)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P)
(Q-W)
(2) (3) (4) Date Value Gain mm/dddyy Code 2 Code I (J-P) (A-H)
-Baxter International, Inc -Nucor Corp -ITT Corp BROKERAGE ACCOUNT #2 (transferred to #1 on 8/13) -Regions Financial Coq~ -Protective Life Corpcom -General Electric Co com -Intel Corp
A A
J J K
T T T
J J J
A A A A
T Sold T T T 08/25/10 A
94. -Abitibibowater, Inc 95. 96. 97. 98. 99. BROKERAGE ACCOUNT #3 -Federal Government Reserves -Disney Walt Co HoldingCo -Citadel BroadcastingCorp -KimberlyClark Corp A A A A
J
J
T T T
Buy Buy
100. -Intel Corp 101. Scudder Var. Life Invest. Fund (Charter Natl - money market 102. BROKERAGE ACCOUNT #4
I. Income Gain Codes: (See Columns BI and D4) 2. Value Cod~.~ (See Columns CI and D3) 3. Value Method Codes (Sc Column C2)
A =$ 1,000 or less F =$50.001 - $100.000 J -S 15.000 or less N =$250.001 - $500,000 P3 =$25.0O,0OI - $50.000.000 Q =Appraisal U = Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000.000 K -$15.1301 - $50,0~0 O =$500.001 - $1,000,000 R =Cosl (Real Estale Only) V =Other
C =$2,501 - $5,000 HI =$1.000.001 - $5,000.000 L =$50,001 - $ 100,090 PI =$1.000.001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5.000.000 M -$100,001 - $250,0~) P2 =$5,000.001 - $25,000.000 T :Cash Market
E =$15,001 - $50,0~0
FINANCIAL DISCLOSURE REPORT Page 10 of 13 VII. INVESTMENTS and TRUSTS - inc .....
"alae, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructionsa)
103. -AT&T, Inc 104. -Abbott Labs 105. -Automataic Data Processing, Inc 106. -Caterpillar, Inc 107. -Chevron Corp 108. -Chevron Corp 109. -Coca Cola Company 110. -Consolidated Edison, lnc I I I. -Darden Restaurants, lnc 112. -Dominion Res, Inc 113. -Du Pont E I De Nemours & Co 114. -Emerson Electric Co 115. -Exxon Mobil Corp 116. -Genuine Pans Co 117. -HeinzHJCo 118. -Lilly Eli & Co 119. -Lowes Cos, Inc
A A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
J J J J J J J J
J J J K J J J J
T T T T T T T T Buy 11/12/10 J
I. Income Gain Codes: {See Columns BI and 134) 2. Value Codes (.See Columns CI and D3) 3. Value Method Codes (S~:c Column C2)
A =$1,0~0 or less F =$50,001 - $100.0~ J =$15.0~0 or less N =$250,1~1 - $509,000 P3 =$25.00~.0~1 - $50,009.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.001 K =$15,0~1 - $50,000 O =$500.001 - $ 1.000.000 R Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 H I =$ 1.000,001 - $5.000.000 L =$50,1~1 - $100.000 P4 =More than $50,0~0.00~ S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,0~),001 - $25,000,000 T =Cash Market
E =$15,001 - $50,0~0
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions)
~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period C. Gross value at end ofreporting period
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(l)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(I)
Type (e.g.. buy, sell, redemption)
(2)
Date mm/dd/yy
(3)
Value Code 2 (J-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
120. -Occidental Petroleum Corp 121. -Paychex, Inc 122. -Progressive Energy, Inc 123. -Progressive Energy, lnc 124. -Regions Finl Corp 125. -Southern Co 126. -Federated Govt Reserves (Money Market Fund) 127. 128.
A A A A A A A
J
J
J J J J
I. Income Gain Codes: (See Colurrms BI and 134) 2. Valuc Codes (Scc Columns CI and D3) 3. Value Method Codes {See Column C2)
A =$1,000 or less F =$50.001 - 5100.000 J =SI5,000 or less N -$250,001 - $500.009 P3 =$25,000.0~1 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - 52.500 G =5100.001 - SI.000.000 K =$15,001 - $50.000 O =$500,001 - $1.000,000 R -Cost (Real Eslale Only) V =Other
C =$2,501 - $5.000 HI =$1.000.001 - $5.000,0(X) L =550,001 - $100,00(3 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Eslimated
D =$5,001 - $15,000 H2 =More than $5.00~.0OO M =$ 100.001 - 5250,000 P2 =$5,0~),001 - $25.000.000 T =Cash Market
E =$15.001 - $50,000
1 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 kno~vledge 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]
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 2-301 One Columbus Circle, N.E. Washington, D.C. 20544