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I. Person Reporting (last name, first, middle initial) Moody, James M. 4. Title (Article Ill judges indicate active or senior status; magistrate judgcs indicate tialt- or p.ut-time) U.S. District Judge - Senior 2. Court or Organization USDC, Eastern District of AR 5a. Report ]:pe (check approprlatc ,),pc) [] Nomination, [] Initial Date [] Annual [] Final
7. Chambers or Office Address 500 West Capitol, Suite C-446 Little Rock, AR 72201-3396
5b. [] Amended Report 8. On ~he basis of the information contained in this Report and any modifications pertaining thereto, it Is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer ................................ Date ................
IiklPORTANTNOTES: The instructions accompanying this form must be followetL Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
N/kME OF O}~ANIZATION!ENTITY
Trust 1 Part VII, Line 26 Trust 2, Part VII, Lines 52 Trust 3, Part VII, Line 88 Trust 5, Part VII, Line 121
II. AG.RE EMENTS. t~e~o,,i,,, individual only; see pp. 14-16 of filing instructions.)
NONE (No reportable agreemena.) PARTIES AND TERMS l.
Date of ]Report
Moody, James M, [
03/12/2010
2, 3.
4.
B. Spouses Non-Investment Income - lf yon were married during any parrion of the reporting year, complete this section.
[Dollar amount not required e.~cepl for honoraria.)
t.
LQ,~AI"ION
PURPOSE
~ N ....f P .....Reporling
Date of Report
Page 3 of 15
r~ooay,.lames M.
05/12/2010
E~---]
~
1. 2. 3,
4. 5.
DESCRIPTION
VI. LIABILITIES. rz,,~.d, ,,o,. o.~o,,~. ..~ a.p.,,a~t children; see pp. 32-33 of Jiling instructions.)
NONE (No reportable liabilities.)
CREDITOR
!.
DESCRIPTION
NALUE CODE
2.
3. 4. 5.
Date of Report
05/12/2{.)10
VII. INVESTMENTS and TRUSTS .- i. ...... ~.~, ~ ....... ti~ns (~nc~udes t~s~ ~f $p~se and d~endent chi~dren~ see pp. ~4-6~ ~f ~ing instr~ti~ns.)
V-] NONE (No reportable income, assets, or transactions.) Description of A~ts (including t~st assets) Place "(X)" a~r gach asset ~xcmpt flora prior d~lo~ur~ Tr~sactions during reporting ~criod Gross vatue at end . of repo~,ng period ................................................... ~ Value Code 2 (J-P) _ Interest K T Va}uc Mothofl Code3 T~ (e.g., buy, ~11, (Q-W) r~d~mp,ion) ~ mm!dd!~ ] Code 2 Code I [ ~ [ [ (J-P) [ (A-H) , ] , ld of b~ycrisellcr transaction) (if private
~ Income du~ng
[ , ~ ]~ I.
One Bank
2. 3.
4, 5, 6, 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.
A A
B
Interest Interest
Dividend
J J
K
T T
T See Part VIII, Note
A A A A A B A E A A A A
lnt./Div. Interest Interest Dividend Dividend Dividend Dividend Int.iDiv. Dividend Dividend Dividend Dividend
K J K J J K J O J K K K
Date of Report
Page 5 of 1 5
. [ .MoodY, James M.
05/1212oi0
NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assels) Place "(X)" after each asset exempt from prior disclosure B, income during reporting period AmountIi Type (e.g., Code 1 div., re,at, or int.) ii (A-I-l) A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Distribution N T C, Gross value ~:t end of reporting period Transactions during reporting period
O) [ (2)
~
Value Code 2 (J-P)
~2)
Value Mell~od
~l)
i ~2) ~ ~) I
i Date i Vatue mrn/dd/yy Code 2 (J-p) Gain! Code 1 (A-tt) ~
(5)
ldentiry of buyer/setter tr;~nsaetion)(if private
l.,,pe (e.g,, buy, se!l, redemption) Code(Q_W)3 T T T T Sold Sold Sold Buy
18. 19, 20. 21. 22. 23, 24, 25. 26. 27, 28. 29. 30, 31. 32. 33. 34.
IShares Rttssell Midcap G Index FD IShares S&P Midcap 400 Value tShares S&P Midcap 400 Orowth IShares s&P 500 Growth Index IShares MSCI Emerging ~.,lkts Fd IShares S&P Europe 350 Mkt Fnd lShares MSCI Japan Index Fnd Barclay 1 - 3 year ACCT 1-4 (Trustl)(SA) Greene Cnty AR Housing Pul Cnty AR Hsp Revs Childrens Hosp Union Cnty AR Housing UA Faytvl Vat Fac Jone~boro AR Res Housing Springdate AR Sch Dist #50 Booneville AR School Dist Springdale AR SD050
J J K K
J J J N
A A A
B B A B A A A A
K K
T T Redeemed 10/01/09 J A
T Redeemed 8/10/09 J A
T Redeemed 10/1!09 J
B =$ t ,001 - $2,-,00
D =$5,00J - S 15,000
Date of
I
d dependent children; see p9, 34-60 of filing i~tru~tions.)
~OI. I~STMENTS and TRUSTS -- i~ ........ t~.,, .......,i~ ancl.d~ those ,sp ..........
NONE (No reportable income, assets, or transactions:) A. ~seription of Assem (including trust ~ssets) Pl~ee "(X)" a~r each asset exempl I]om prior dbclosure B. C. ~ Income during repoaiag period Amount Code [ [ D. Grosg value at end cf reporting period Value Method {Q-W) A A B B Interest Interest Interest Interest K L K T T T
Da~ Value ~ Gain ~ ~ Type (e.g., ~ buy, serf. ~mm]dd/~ ~ Code 2 Code I 1 Redeemed 10zl/09 J i
LR AR Hlth Fee Bd Baplist Med Center Conway AR Pub Fac Bd Cap Impts Rev Ref Hendrix Paragould AR Wa~er & Sewer Rev BiE AR St R l~g Water Waste Disp & P011CB/E
39.
40. 41, 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
B
B B B B C C A A A A. A A
Interest
Interest Interest Interest Interest Interest Interest Int./Div. htteresl Interest Inlerest Interest Interest
K
K K K K K L J K K L J J
T
T T T T T T T T T T T T Buy Buy Buy 4/27/09 11/13;09 l 1/23/09 K K L See Part VIII, Note 2 See Part VIII, Note 3
A =SI/J00 or less
I) =$1.001 - $2,51~0
C =$2,501 - "~5.000
D =$5;t)01 - $15,000
E =$15.001- 550,000
Name of PersonReparting
Daref Report ]
Moody, James M. [
05/12/2010
VII. INVESTMENTS and TRUSTS - i. ....... ~, ,ransactions (Includes those of spouse and dependent ehild,en; see pp. 34-60 of filing instru,tion..)
[] NONE (No reportable income, assets, or transactions.) Description of Assets (intruding trust assets) ~1 i ! i 52. ! 53. 54. i 55. 56. 57 ~. 8. Place "(X)" after each asset exempt from prior disclosure Income during reporting period (2) (t) ] Amount Type (e.g., i Code 1 div.~ rent, (A-tt) or int.) Gross vahle at ea~d of reporting period 0) (2~ Value Value Code 2 Mc,hod (J-P) Code 3 (Q-W) N J T T Sold J "1" Sold J T Sold Sold .I T Sold J T Sold J K T "!" Sold J J "~" T 11/30/09 7/17/09 K 07/30/09 7/29/09 1219/09 J 5/7/09 J 5/5/09 J T~nsacfions daring reporting period 0) Type (e.g., buy, sel!, redemption) ~ (2) (3) [ (4) Date Value[ Gain mmidd/yy Code 2 [ Code I (J-P) [ (A-It) ] (5) Identity of buyer!seller (if private transactio~
ACCT
(Trust 2)
E A A A A A A A A A A A A A A A A
Int./Die. Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
First Southwest Prime MM Fnds Alcoa, Inc. Bunco Bilbaovizcaya Bank o~America Corp Berkshire Nathaway, Inc. Bristol Myers SquibbCo. CIT ~oo~,lno. Costco Dow Chemical Co. Fiserv, Inc. General Motors Corp GlaxoSmithKline International Paper Co Lafarge S.A. Lexmark Int. Group Limited Brands, Inc.
!~ t
9. 60. i 61. 62. 63, 64. 65. 66. 67. 68.
FINANCIAL DISCLOSURE REPORT Page 8 of 15 VII. INVESTMENTS and TRUSTS -- ineo .....
[]
[ Name of P .....
I
tu~, t ....... rio,Is (Includes those of spo,tse and dependent children; see pp. 34-60 o/fi/ing instrltlions.)
69. 70. 7 I.
MGIC lnvestmem Cor~. Markel Corp Micro~ft Corp. PNC Financial Svcs. Orp (~nrmerly PNC Bank) Petroleo Brasileiro, SA Pfizer, Inc. Public Service Eme~se Pfizer Spectra Energ Corp. Taiwa~ Semic~nduclor Mfg. "relefonica de espana SA Tele ti~nos de Nleie~ Tim Parti~ipa~es Uniteve~ NV Washington Mutual, Inc. Western Unien Calamos Gr~wlh CL~"
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 ~ividend Dividend Dividend Dividend Dividend Dividend
J J J J K J K K K J K J J T T T T T T T T T T T T Sold Sold Sold J T 8/26109 K 1/10/09 2!10/09 Nuy 9/17/09 Sold (paa) 12/4/09
i72.
73. 74. 75. 76. 77. 78. 79. ~0. 81. 82. 83. 84. 85?
A =$],000 or Is$
B --SI,Ggl - $2,500
C =$2,501 - ~;s,000
D =$5,001 - $15,000
E ~S15,001 - Ss0,0ot)
Date of Rel~art
r~ooay, J,~mes M. ~
05a~/201o
,, value, tr ..... aons (Includes those of spou~ and dependent children; see p~ 34-60 of fili,g instruction&)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96.
Davis NV Venture CL C Oppenheimer Global CL C ACCT 1-7 (Trust3) (MS) Morgan Stanley Corn Stock Wzl-Mart Stores Corn Stock Discover Find Svcs (X) Acct I - 8 (Trust4) (SA) LR AR School Dist. Ser B Pul Cnty AR.Childrens Hosp. Heber Springs Schooi Dislrict Fort Smith A R \V&S Rev Set C FSA P,!E
A A A A A A D C A A A A A B
Dividend Dividend lnt./Div. Dividend Dividend Interest Int./Div. Interest Int./Div. Dividend Interest lnt./Div. Interest Interest J T K T J L J K J M L J T T T T T T T T
Redeemed
5/5/09
97 .....Fed Home Loan Mlge Corp Meal Term Note 98. 99. General Motors Corp Note Muni Cash Trust Fads
Redeemed Redeemed
5!5!09 5/5/09 L
lO0. ACCT2-1(I~) 1Ol. Russellville, Al(School 102. Rogers AR School A Dividend None L L T T Buy Buy 4i27/09 5/27/09 L L
Moody, James M.
05/122010
NONE (No reportable income, asset& or transactions.) Description of Assets (including t~st asse~s) Place "{x)" after each ~t exempt from prior disc$osure Income during ~porting period (0 (~) ~ A nount Type (e.g.. Code I div, rent. (A-H) orint.) ~ ~ i A A A A A C A A A A A A A A A A A Interest Dividend Dividend Dividend Dividend Int~Div. Interest Dividend Dividend Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend J T J T Sold Sold (pa~) Sold 2/29/09 2/24/09 2/25/09 J J J J J J M l L K J J T T ] T T T T T T Sold 2/24/09 J Sold (part) 2/25/09 J Gross value at end of repoSing period O) (~) Value Value Code 2 Method (J-P) Code 3 (Q-W) J T Sold 212/09 J Transactions during reporting period 0) Type (e.g., buy. sell, redempl~on) (~1 I (3) ~ (4) Gain Dale mm{d~yy Code 2 Code I ~ (J-P) ~ (A-H) l ] ~ (5t ldentiu of buycrlsellcr (if private Value transactio0)
[ 103. Money T~st MM Fnds Chevron Texaco 104. ~ 105. First Horizon Nalional CoO. 106. Sun Trust Banks
108. Acct 2-2 (1RA)(MS) 109. Liquid Assel MM [hnds lI0. FedEx Co~. 11. Intel 12. General Electric t3, Qualcomm, Inc. 14. Healthways, Inc. 1 ! 5. MS Flexible Income Trust B t 16. Activision Blizzard, Inc. (formerly Activition lnc)
117. Blackstone Group LP 118. Morgan Stanley 119. Berkshire Halhaway B (Hldg Co.)
F =$50,00| - $100,000
G -S100,00 | - $1,000,000
H 1 = $ 1,000,[101 - $5,000,000
P3 =S25.000,001 - ~50.000,000
P4 =More Ihan
I ]
Page 1 1 of 15
1~
NONE (No reportable income, ~sets, or transaction.) A. Description of Assrts (including tins1 as~ts) Place "(X)" after each asset exempt from prior disclosure B. Income d~ring reposing period Amount Code 1 ,1[ (A-H) Type (e.g., div., rent. or ~nt,) [ C. Gross value at end of repo~ting period Value Code 2 (J-P) ~ Value Method D. Transactions during reposing period
T)~ (e.g., Immzdayy ~ Value ~ Date buy, sell, Code 2 redemption) (J-P) [ ~ Code(Q_W)3 ] 11 Sold 2/25/09 J
120. Goldman Sachs O~, Inc. 121. ACCT 2-3 (Trust 5) (MS) !22. Active Assets MM Trast t23. Cisco 124, Dell Computer 125. General Electric 126, Microsof~ 127. Tarrant Cnty TX Health Resources Tats. t28. !rig Tax Exempt Sec 129. Enterprise Bnk Nail Asset Omaha NE 130. Greenbank CD 13 I, Discover Finel Svcs
A D A A A A A A A A A A A A D A A
Dividend lnt.IDiv. luterest Dividend Dividend Dividend Dividend Interest Interest Interest htterest Interest Dividend Dividend lnt,/Div. Interest Dividend J J J M T T T T J T M J J J K K T T T T T T
Redeemed
3/28/09
Redeemed Redeemed
3/23/09 3/23/09
J J
132, Chesapeake Energy Corp 133. Celgene Corp 134. ACCT 2-4 (IRA)(RJ) 135. Liquid Asset Fund 136J Banco Sanlander CD
Redeemed
3/23/09
Date of Report
Moody, James M.
05/12/2010
NONE (~ reportable income, assets, or transactions.) Description of Asse~s (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income dnriag reporting period (l) (2) Amount Type (e.g., [ Code d~v., rent, (A-H) or int.) ~ ~ Gross value at end of reporting period (0 (~) VMue Value Code 2 Method (J-P) Code 3 (Q-W) J T Redeemed Redeemed Redeemed K J T T Buy Sold J K K L J J J J J J T T T T T T T T T "F Buy Buy Buy Buy Buy Buy Buy Buy Bny 4/27;09 1/13/09 11/23/09 4/29/09 8/14/09 9/21/09 11/16/09 12/14/09 5/27/09 K K L J J ..... J J K L 3123/09 5/5/09 J 3/2M09 3/23/09 3/23/09 J J J Transactions during r~poz~mg period (]) ~ (2) [ (3) (4) T~e (eg., Date Value Gain buy. sell, mm/dd/yy i Code 2 Code I redemplion) ~ (J-P) (A-10 (5) ldenti~ buyer/seller (if private transactitm)
137. Dallas City Bank CD 138. Discover Bank CD 139. Evergreen Solar, Inc. 140. Wash Mut Bk CD
A A A A C A A A A A A A A A A A A
Intcres~ Interest Interest Interest Dividend Int./Div. Dividend Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Interest
141. ACCT 2-5 (iDealing corn.stock 142. Frist Security Bank 143. Merck 144. Actrunien BJi~ard 145. Russellvi~le, AR School 146. B~ant, AR School 147. Paris, AR School l~. Alcoa 1~9. Centerpoint Energy 150. Bristol Meyers
151. Walter Inv. Mgmnt 152. Ntedical Property Trust 153. Roger, AR School
N .....
f Person Reporting
Date of Report
Moody, James M.
05/12/2010
VII. INVESTMENTS and TRUSTS -t.eo,ne, ~e., ..... .ti,,.s rInclndes those ofsp ...... d dependent children; seepp. 34.60 of filing lnsttuetlons.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including tms~ ~sets) ~ [ Income dnring ~portmg p~od Gross valne at end of reporting period Transactions ducing reposing period
P!ace"(X)"afiereaehasse~
exempt from pr or d sc]osure
I ~t) [ (~)
Code I [
O) ~ (z) I
Value
Code 2
t~)
T~ete.g.,
buy, ~ell,
~ ~ ~ (3) ~ (~) t
~ Da~ Value ~ Gain
mm/dd/yy [ Code 2 Code 1
(5)
Identit~of
buyer/seller
]Amount[ T~e(e.g.,
d v, rent,
Value
Melhod
A A A
J J J
T T T
J J J
mex ........
B ~$t,01~1 - $2.500 K ~$15,001 - 550,0~ O ~5500,001 - S 1,000,000 R ~ost (Real Estate Ouly)
C ~$2,50l - $5,000 L =$50,001 - SlO0,000 Pt =S 1,000,001 - S5,O00,O(~ p4 =More than $50,~0,000 S -Assessn~e~t
E =$15,00t - $50,00~
D~,~ of R.~0rt
05/12i2010
05/12/2010
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. l further certify that earned income from outside employment and honoraria and the acceptance of gilts 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WlLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL .AND CRIMINAL SAN CTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONS Mail signed origina! and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544