abdul k kallon financial disclosure report for kallon, abdul k

8/3/2019 Abdul K Kallon Financial Disclosure Report for Kallon, Abdul K

http://slidepdf.com/reader/full/abdul-k-kallon-financial-disclosure-report-for-kallon-abdul-k 1/15

dO 10

Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

INITIAL FILING

Report Required by the Ethics

in Governme nt Act of 1978(5 U.S.C. a pp..~¢ 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i ti a l)

Kallon, Abdul K.

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;

magistrate judges indicate full- or part-time)

2 . C o u r t o r O r g a n i z a t i o n

Nor the rn Di s t r i c t o f A labama

Dis t r i c t Judge - - Ac t ive

7 . C h a m b e r s o r O f f i ce A d d r e s s

419 Hugo B lack Un i t ed Sta t e s Cou r thouse1729 Fi f th Avenue Nor thBi r m i n g h a m , A L 3 5 2 0 3

3 . D a t e o f R e p o r t

05/I 2/201 I

5a . Report T)pe (check appropriate t ype )

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n th e b a s i s o f t h e i n fo r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n y

m o d i f i c a t io n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c e

6 . R e p o r t i n g P e r i o d

01/01/2010

to

04/12/201 I

with appl icable laws and regula t ions .

R e v i e w i n g O f f ic e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,

check ing the NONE box for each par t where you have no repor table in formation . S ign on las t page.

I . P O S I T I O N S . t R e p o , i ,g i , d i v i d , u t o . ~ y ; s e , p e . 9 - 1 3 o i n k i n g instructions,)

[~ N O N E ( N o reportable positions.)

POSITION

1. Pres iden t

2. Chai r

3. Director

N A M E O F O R G A N I Z A T I O N /E N T I T Y

Chi ld ren’s Vi l lage Boa rd o f D i rec to rs

S i s t e r Ci t ie s o f Bi rming ham

Alabam a Cente r fo r Law and Civic Educat ion

I I . A G R E E M E N T S . me, o n i .g i , d i , id ,u t on~y; s~o r,. 14-16 of filing instructions.)

~ (No reportable agreements.)ONE

1.1995

2.2010

3.

DATE. P A R T I ES A N D T E R M S

Brad l ey Aran t 401 K , fo rme r l aw f i rm , manage d by Char l e s Schwab , no con t ro l

Brad l ey Aran t pa r tne r sh ip cap i t a l r e tu rn , due two year s a f t e r r e s i gna t ion f rom f i rm , i . e . J an . 2012




of 8

N a m e o f P e r so n R e p o r t i n g

Kallon , Abdul K.

D a t e o f R e p o r t

05/12/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; xee pp. 17-2 4 of filing instructions.)

A. Flier’s Non-Investm ent Incom e

’--I N O N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE I N C O M E(yours, not spouse’s)

I. 2 010 Bradle y A rant Boult C um m ing s $2,703.00

2. 2009 Bradle y A rant Boult C um m ing s $361,204 .00

3.

4.

B . S p o u s e ’ s N o n - I n v e st m e n t I n c o m e - I f y o u w e r e m a r r ie d d u r i n g a n y p o r t i o n o f t h e r e p o r t in g y e a r , c o m p l e t e t h i s s e c ti o n .

(Dol lar a m o u n t not required except for honoraria.)

N O N E ( N o reportable non-investment income.)

D A T E S O U R C E A N D T Y P E

1 .

2.

3.

4.

I V . R E I M B U R S E M E N T S - - ,r o n sp o rt o,i on , Iodg i ng , /ood , en t er t a i ....t.

( I n c l u d e s those to spouse and dependent children." see pp. 25-27 of.[Hing instructions.)

~] N O N E ( N o reportable reimbursements.)

2.

3.

4.

5.

SO U R C E D A T E S LO C A T IO N P UR P O SE ITEMS P A ID O R P RO VID ED




Pag e 3 o f 8

N a m e o f P e r s o n R e p o r t i n g

K a l l on , A bdu l K .

Date of Report

05/12/2011

V . G I F T S . a n c l u d , s t h o s o , o s p o u s e a n d ~ e p , n d e n t children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE

I.

2.

3.

4.

5.

DESCRIPTION VA LU E

V I . L I A B I L I T I E S . ~ t n c / u d e s t h o s e o f s p o u s e a n d dependent children; see p p . 3 2 - 3 3 of filing instructions.)

D (No reportabl e liabili t ies.)O N E

C R ED IT O R D E SC R IP T IO N

I. Sal l ie M ae Co-s igne r o f s tuden t l oans

2.

3.

4.

5.

VALUE CODE

L




o f 8

N a m e o f P e r s o n R e p o r t in g

Kal lon , Abdu l K .


05/12/2011

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income d u r i n g

( i n c lu d i n g m ~ s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,

e x e m p t f r o m p r i o rdisclosure

C o d e 1 d iv . , ren t ,

( A - H ) or int .)

G ro s s v a l u e a t e n d

of r e p o r t i n g period

0) (’~)

V al u e V a l u e

C o d e 2 M e th o d

(J -P ) C o de 3

( Q-W )

(] )Type (e.g.,

buy, se l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a te V a lu e G a i n

m m /dd /y y C od e 2 Code I

( J - P ) ( A - H )

(5 )

I d e n t i t y o f

b u y e r / s e l l e r

( i f p r i v a t e

t r a n s a c t i o n )

I. Regions Bank Account I

2. Regions Bank Account 2

3. Synergy Real Estate -- Purch ased August 1 ,

2008 for $56 ,000

4. Bradley Arant 401K

5. - -Dodge & Cox S tock

6. -Amer ican Funds Growth Fund of Amer ica

A I n t e r e s t M

A I n t e r e s t J

C Distribution L

None

None

M

M

T

T

R

T

T

7. --Vanguard Inst itut ional Index

8. - -Harbor Smal l Cap Growth Inv

9. - -JP Mo rgan Mid Cap V a lue Selec t

I0 . - -Amer ican Funds EuroPac i fi cGrowth

No n e M T

No n e L T

No n e J T

No n e J T

II. --Columbia Internat iona l Value None T

1 2 . - - O a k m a r k E q u i t y & I n c o m e

1 3 . B r o k e r age A cco u n t #1

1 4 . - -Al l i a nce Bem s t e i n In t l V a lue Fund A

No n e M T

Sold 01/01/10

1 5 . - -Am er i can Funds Growth Fund o f Amer i caClass F

1 6 . - -Dav i s New York Ven tu re Fund Class A

Sold 0 1 / 0 1 / 1 0 J

Sold 0 1 / 0 1 / 1 0 J

1 7 . --DWS RREEF Real Estate Secur it ies Fund Sold 01/01/10 J

I . Income Gain Codes : A =$1,000 or less B :$1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000

{See Co lumns BI and [M) F =$50,001 - $100.000 G $1 00 .001 - $1.~0 .000 HI =$1,000.001 - $5,000.000 I’{2 =More than $5,000.000

2. Value C odes J ~$15,000 or le ss K =$15.1)01 - $50.000 L =$50,001 - $100.000 M =$100.001 - $250,000

(See Co lumns CI and D3) N =$250.0O I - $500,000 O =$500.001 - $1,000.O 00 PI =$1,0OO,001 - $5,0OO,000 P2 =$5,000,001 - $25,000.000

P3 =$25,000.001 - $50.000.000 P4 =More than $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Eslate Only) S = As s cs s menl T =Cash Marke t

IS l e Co lumn C2) U = Book Val ue V - O t h e r W =Estimalcd

E =$15,001 - $50,000




P a g e 5 o f 8


K a l l o n , A b d u l K .


05/12/2011

V I I . I N V E S T M E N T S a n d TR U S T S - i n c ~ r ~ e ~ v a ~ u e ~ t r a n s a c t i ~ n s ( ~ n c ~ u d e ~ t h ~ s e ~ f s p ~ u s e a n d d e p e n d e n t c h i ~ d r e n ; s e e p p . 3 4 - 6 ~ f ~ i n g i n s t r u c t i ~ n s ~ )

N ON E (N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gross value at end Transac t ions dur ing repor t ing per iod

(including trust assets) reporting period ofreport ing per iod

(I) (2) (1} (2) (I ) (2) (3) [ (4) (5)

Place "(X)" after each asset A mount T ype (e .g., Value V alue Type (e.g. , D a t e Value [ Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sel l , mm/dd/yy Code 2 [ Code I buyer/sel ler

(A-H) o r i n t . ) ( J - P ) Code 3 redempt ion)( J - P ) i ( A - H )

(if private

(Q-W) [ transaction)

1 8 . - -F ide l it y Adv i so r s Dive r s i f i ed In t l Fund Sold 01/01/10

Class A

1 9 . -O p p e n he im e r M a in S tre e t Sam all C ap So ld 01/01/10

Fund

20 . - -Touchs tone Mid Cap Growth Fund C lass Sold 01/01/10

A

21 . Brokerage Account 2

J

J

J

22 . --A p p le Com m on S toc k N one J T Sold( p a r t )

23 . - -Be rksh i r e Hathaway Class B None K T

04/07/10 K D

24 . - -Bos ton Sc ien t i f i c Corp Common S tock None Sold 03/02/11 J

25 . - - Ch e s ap e a k e E n e r g y Co r p Co m m o n S t o c k A Div idend J T

26 . - - Co m c a s t Co m m o n S t o c k A Div idend Sold 04/07/10 J A

27 . - -Conoco Ph i l li p s Com mon Stock A Div idend

28 . - -Educa t ion Rea l ty T ru s t Inc . Comm on NoneStock

29 . - -G i l ead Sc iences Inc . None

30 . - - G o o g l e C o m m o n S t o c k None

31 . - -Great Pla ins Energy Common S tock A Div idend

32 . - - H y p e rc o m Co r p Co m m o n S t o c k

33 . - -Mar t in Mar i e t ta Mate r i a l s Comm on Stock A Div idend

J

J

J

T

T

T

T

Sold 03/02/I I

Bu y 01/13/11

J

J

Sold 01/01/10 J A

34 . - -Mon tpe l i e r Ho ld ings Common Stock A Div idend J

I . Income Gain Codes : A =$ 1,000 or less B -$1,001 - $2.500 C =$2,501 - $5,0~0 D

(See Co lumns B I and D 4 ) F =$50.001 - $100.000 G =$ 100,0~1 - $1,000,00) HI = $1 ,000,001 - $5 ,00) .0~ H2 =More than $5,0~.0(~

2 . Val ue Codes J =$15.000 or less K = $15.001 - $50,000 L = $50,001 - $100,000 M =$100,001 - $250.000

(See Columns C I and D3) N =$250.001 - $500.000 O =$500,001 - $1,000,000 PI =$ 1,000,001 - $5,000,090 P2 =$5.000,001 - $25,000.000

P3 =$25,000,001 o $50.000,000 P4 = More th an $50,000,000

3. Value Method Codes Q = A p p r a i s a l R =Cost (Real Es tate Only) S = As ~z s s mcnt T -Cash Marke t

(See Co lumn C2) U = Book Val ue V -O the r W =Estimaled

E =$15.001 - $50.000




P a ge 6 o f 8 Ia m e o f P e r s o n R e p o r t in g

Kal lon, Abdul K.


05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , .e , , ’ a l ~ e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

D e sc r i p t ion o f A s s e ts In c o m e d u rin g

( i n c l u d i n g t r u s t a s s e t S ) r e p o r t in g p e r i o d

(I) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,

exempt from prior disc losure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t en d

o f r e p o r t i n g p e r i o d

(1) (2)

Value Value


( J - P ) C o d e 3

( Q - W )

O)Type (e.g.,

buy, se l l ,


T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

(2) (3) (4)

D a t e Value Gain

m m/dd/yy Code 2 Code I

( J - P ) ( A - H )

( 5 )

I d e n t i ty o f

buyer/seller

( i f p r i v a t e


35 . -Muel l e r Wate r Produc t s Inc . Corn Ser A None

3 6 . - - S i ri u s X M R a d i o C o m m o n S t o c k None

T Bu y

Sold

03/02/I I

01/13/I I

J

J A

37 . - - S y c am o r e N e t w o r ks C o m m o n S t o c k

38 . - -Tam M oto r s Ord inary Comm on Stock None

39 . - - T e r ad at a C o m m o n S t o c k None T

Sold 01/01/10 J A

Sold 04/07/10 J A

40 . - -Vulcan Mate r ia l s Common S tock A Div idend

41 . - -Wal te r Energ y A Div idend

42 . - -Wal te r Inves tmen t Managem en t Co rp A Dividend

43 . - -Winds tr eam Corp o ra t ion Com mon Stock A Div idend

44 . - -Go ldman Sachs FS Money Marke t A Interest

45 . All iance Bems te in Large Cap Growth Clas s NoneA

46 . All iance Berns t e in Large Cap Growth Clas s NoneB

47 . All iance Bems te in GL Themat i c Growth A None

J

J

T Bu y 03/02/I I

(add’l)

T

Sold 03/02/11

Sold 04/07/I 0

T

Sold 03/30/10

Sold 03/30/10

Sold 03/30/10

J

J

J

J

J

A

A

A

48 . All iance Bems te in GL Themat i c Growth B None Sold 03/30/10 J

49 .

I. Incom e G ain C odes : A = $1,000 or less B = $1,001 - 52 ,500 C = 52 ,501 - 55,000 D =$5,001 - $15,000

(See Co lumns B I and D 4 ) F =$50.001 - $100,000 G -5100.001 - $1,000.00O HI =51.000,001 - 55.000.000 H2 M ore than $5 .00~ .0~

2 . Val ue Codes J = 515.000 or le ss K -515,001 - $50,000 L =$50,001 - $100.000 M =$100,001 - $250.000

(See Co lumns CI and D3) N =$250.001 - $500.000 O =$500.001 - $1,000.000 P I :5 1, 00 0, 00 1 - 55 ,0 00 .0 00 P 2 -5 5. 00 0. 00 1 - $2 5. 00 0. 00 0

P3 =$25.000.001 - $50.000.000 P4 -More than $50,000,000

3. Value Method Codes Q = A p p r - a is a l R =Cost (Real Es tate Only) S = As s es s ment T = Cas h Mark e t

(See Co lumn C2) U ~Book Value V = O the r W = Estim ate d

E = $ 1 5 , 0 0 1 - $50.000




o f 8


KaI Ion , Abdul K.

Date of Report

05/12/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)

Par t VI I - Brokerage Account I , L ines 13 - 20 -- Ac tual s a l e dates were Septem ber 23, 2009 (DWS RRI :EFF) , Oc tober 29, 2009, and Novembe r 29, 2009 (Davi s

New Y ork) . Thi s account i s inc luded in th i s repor t s ince I inc luded i t in the rep or t I f i l ed as a nom inee on Au gus t 26, 2009. I used the January I , 2010 date in Par tVl! of this c u r r e n t r e p o r ~ s i n c e t h e 2 0 0 9 d a t e s a r e o u t s i d e t h e r epor t ing d a t e .

Par t VII - Broke rage Accoun t 2 , L ine s 32 and 37 - - Ac tua l sa le da t e fo r Sycamore and Hype rcom s tock was N ovem be r 13 , 2009 .

Par t VI I - Thi s repor t does no t inc lude Tim e Warner , Jakks Pac i f i c , and Brokerage Ac count #3, i .e ., l ines 38 , 42 and 44 - 77 o f the nom inee repor t , s ince I so ldt he se s tock ho ld ings p r io r t o f i l i ng the nominee r epo r t and , a s such , d id no t r epo r t a g ro ss va lue fo r t hem in tha t r epo r t .




Pag e 8 o f 8

Name o f Pe rson Repo r t ing

K a l l on , A bdu l K .

Date of Report

05/12/201 I

IX. CERT IFICATION.

I c e r t i f y t h a t a l l in fo rm a t i on g i v en a bov e ( i nc l ud i ng i n fo rm a t i on p e r t a i n i ng t o m y s p ous e a nd m i no r o r dep e nden t ch i l d r en , i f a ny ) i s

a ccu ra t e , t r u e , a nd com p l e t e t o t h e be s t o f m y k now l edg e a nd be l i e f , and t h a t a ny i n fo rm a t i on no t r ep o r t ed w a s w i t h h e ld beca us e i t m e t a p p l i c a b l e s t a tu t o ryp rov i s i ons p e rm i t t ing non -d i s c l o s u r e .

! fu r th e r c e r t i f y t h a t e a rned i ncom e f rom o u t s i de em p l oy m en t a nd h ono ra r i a a nd t h e accep t a nce o f g i f t s w h i ch h a v e been r ep o r t ed a r e i ncom pl iance ~v i th the p rov is ions of 5 U.S.C . app . § 501 e t . s eq. , 5 U.S.C . § 7353, and Judic ia l Confe rence regula t ions .

Signature : S/Abdul K. Kallon

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S .C . app . § 1 04 )

Com m i t te e on F i nanc i a l D i sc l o su reAd m in i s t ra t i v e Of f i c e o f t h e U n i t e d S ta t e s Co u r t sSu i te 2-301

On e C o lu mb u s C i r c l e , N .E .Washing ton , D .C. 20544



A O 10

Rev. 1/2011


FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Go vernm ent Act of 1978(5 U.S.C. app. §§ 101-111)

I. Person Repor ting ( las t name, f ir s t , middle init ial)

K al lon , A b du l K .

2. Court or Organizat ion

N or t he r n D i s t r ic t o f A l ab am a

4. Tit le (Art icle I l l judges ind ica te act ive o r sen io r s ta tus;

mag istra te judges ind ica te fu l l - or pa rt- t ime)

District Judge - - Active

7 . C h a m b e r s o r Off ice Address

419 Hu go B lack Uni t ed Sta t e s Cou r th ou s e1729 Fi f t h Ave nue Nor t hB i r m i n g h a m , A L 3 5 2 0 3

3. Date of Reporl

05/12/2011

5a . Repor t Type (check appropr ia te type)

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis o f the in fo rma tion con ta ined in th is R eport and any

modif ica t ions pe rla in ing the re to , i t is , in my op in ion , in compliance

6. Report ing Pe riod

OI/Ol/2010

to

12/31/2010

~ith applicable laws and regulations.

Reviewing Officer

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,

check ing the NONE box for each par t where you have no repor table information. Sign on las t page.

I . P O S I T I O N S . (Report ing individual only; see pp. 9-13 o f f i l i n g instructions.)

~ (No repor tablepos i tions . )O NE

P O S I T I O N

I. Pre s i de n t

2. C ha ir S is te r C itie s o f B irm in g h am

3. Director A l a b a m a C e n t e r f o r L a w a n d C i v i c E d u c a ti o n

4.

5.

N A M E O F ORGANIZATION/E NTITY

Ch i l d r e n ’ s V i l l a g e Bo a rd o f D i r e c t o r s

II. AGREEMENTS. ¢ R e p o r ~ i ,g i , d iv i d , o l o n l y ; s e e ~ , ~ , . 1 4 - 1 6 of filing instructions.)

~ (No repor table agreemen ts . )O NE

1.1995

2 . 2 0 1 0

3.

DATE P A R T I E S A N D T E R M S

B r ad l ey A r an t 40 1 K , f o r m er l aw f i r m , m anaged b y C ha r l e s S c hw ab , no c on t r o l

B r ad l ey A r an t pa r t ne r s h i p c ap i t a l re t u r n , du e t w o y ea r s a f t e r r e s i gna t i on f r om f i r m , i . e . J an . 20 1 2




Page 2 o f 7


Kal lon , Abdul K .


05/12/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Repor t ing ind iv idua l andspo use; scepp . 17-24 of filing instructions.)

A. Fi ler’s Non-Investm ent Incom e

[~ NONE (No reportable i n c o m e . )o n - i n v e s t m e n t

DATE SOURCE AND TYPE I N C O M E(yours , not spouse’s)

I. 2010 Bradley Arant Boult Cummings $2,703.00

2.

3.

4.

B . S p o u s e ’ s N o n - l n v e s t m e n t I n c o m e - i f . l ,ou were married during any portion of the reporting.lear, complete this section.

( D o l la r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )

N O N E ( N o r e p o r t a b le n o n - i n v e s t m e n t i n c o m e . )

DATE SOURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, ent e r t a i nm ent .

( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i l i n g i n s t r u c ti o n s . )

N O N E ( N o r e p o r t a b l e r e i m b u r s e m e n t s .)

SOURCE DATES LOCATION

I.

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 7

N a m e o f P e r so n R e p o r t i n g

Kallon, Abdu| K.


05/12/2011

V . G I F T S . a n c lu d e ~ , h o ~ e , o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 8 - 3 1 of f i l lng ins truct ions .)

N O N E (No reportable g i f is . )

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

V A L U E

V I . L I A B I L I T I E S . a n c lu d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)

~] N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

I. S a ll ie M a e C o -s ig n e r o f s tud e n t lo a n s

2.

3.

4.

5.

VALUECODE

L




Page 4 o f 7



D a l e o f Report

05/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , , ’ o ~ u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 o f f i l i n g i n s t r u c t i o n s . )

N O N E ( N o reportable income , assets , or transactions.)

D e s c r i p ti o n o f A s s e ts Income dur ing

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d


( 1 ) ( ~ )

Value Value


( J -P ) C o d e 3

( Q - W )

(0T y p e ( e . g .

b u y , s e l l ,


T r a n s a c t i o n s d u r i n g r e p o r t in g p e r io d

(2) (3) (4 )

D a t e Value Gain

mm/dd/yy C o d e 2 C ode 1

( J - P ) ( A - H )

(s )

I d e n t i t y o f

buyer/seller

( i f p r i v a t e


I. Reg io n s Ban k Acco un t I

2. R e g i o n s B a n k A c c o un t 2

3. Syn erg y R eal Es ta te - - Purchased Aug us t I ,

2008 for $56 , 000

4. Bradley A rant 401K

5. - -Do d g e & Co x S to ck

6. - - A m e r i ca n F u n d s G r o w t h F u n d o f A m e r i c a

A I n t e r e s t M T

A Interest J T

C Distribut ion L R

N o n e

N o n e

M

M

T

T

7. - -Van g uard In s t i tu t io n a l In d ex

8. - - Harb or Smal l Cap Grow th Inv

9. - - JP Morgan M id Cap V a lu e Se l ec t

1 0 . - -American Fun d s Euro Paci f ic Gro wth

N o n e M T

N o n e L T

N o n e J T

N o n e J T

II. j -Co lumbia In te rn a t io n a l Value N o n e J

1 2 . - - O a k m a r k E q u i t y & I n c o m e N o n e M

1 3 . B r o k e r a g e A c c o u n t

1 4 . - -A p p le C o m m o n S to ck No n e J

1 5 . - -B erks hire H a thaw a y C la ss B No n e K

1 6 . - - C he s a p e a k e E n e r g y C o r p C o m m o n S t o ck A Div id en d J

1 7 . - - C o m c a s t C o m m o n S t o c k A Dividend

T

T

T So ld 04 /07 /10(par t )

T

T

So ld 04/07/I 0

D

A

I. In co m e G ain C od es : A = $1,0~ 0 or less B = $1,001 - $2 ,500 C =$2,501 - $5,000 D =$5.001 - $15,000

(Se e Co lu mn s B I a n d I )4) F =$50,0’01 - $10’0,0~) G = $100.001 - $1.0~).000 HI = $1.000.001 . $5.000.000 H2 = M or e than

2 . Value Codes J $15 , 0 0 0 or l ess K =$15,001 - $50,0~1 L =$50,001 - $100.000 M =$10~.001 - $250.000

{See Columns C I and D3 ) N =$250,0~1 - $500,00~ O =$500.001 - $1,0~,000 P I =$ 1, 00 9. 00 1 - $5 .0 00 ,0 00 P 2 -$ 5, 00 0, 0~ 1 - $2 5. 00 0, 00 0

P3 =$25,0~0,001 - $50.000,000 P4 -More than $50.0~0.000

3. Value Method Codes Q = A p p r - a is a l R = Cos t ( R eal E s t a t e O n ly ) S -A sse s sme n t T C a s h M a r k e t

{ S e e C o l u m n C 2 ) U = Book Value V = O ther W = E s t imated

E =$15.001 - $50.000




P a g e 5 o f 7


Kallon, Abdul K.


0 _ 5 / I 2 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - i, como, ,’aluo, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions)

N ON E (N o reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s a ts Income dur ing

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

( 2 )

P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . ,

exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d


0) (2)

Value Value


( J - P ) C o d e 3

( Q-W)

(~ )

T y p e ( e . g . ,

b u y , s e l l ,


Transactions during reporl ing period

( 2 ) ( 3 ) ( 4 )

D a t e Value Gain

m m / d d / y y C o d e 2 C o d e I

( J - P ) ( A - H )

O)I d e n t i ty o f

buyer/seller

( i f p r i v a t e


1 8 . - C o n o c o P h i l li p s C o m m o n S t o c k A Dividend

1 9 . - G o o g l eC o m m o n S t o c k None

20 . - - G r e a t P l a in s E n e r g y C o m m o n S t o ck A Div id en d

21 . - M a r t i n M a r i e t t a M a t e r i a l s C o m m o n S t o c k A Dividend

J

J

J

J

T

T

T

T

22 . - M o n t p e l ie r H o l d i n g s C o m m o n S t o c k A Dividend

2 3 . -- S i ri u s X M R a d i o C o m m o n S t o c k N o n e

J

J

T

24 . - - T a ta M o t o r s O r d i n a r y C o m m o n S t o ck None

2 5 . -- T e r a d a t a C o m m o n S t o c k N o n e T

Sold 04/07/10 J A

26 . - -Vulcan Mater ia l s Co mmo n S to ck A Dividend J T

27 . - -Wal te r En erg y A Div id en d

28 . - - Wa l t e rl n v e s tm e n t M a n a g e m e n t C o r p A Div id en d

29 . - - W in d s t r e a m C o r p o r a t i o n C o m m o n S t o c k A Dividend

30 . - - G o l d m a n S a c h s F S M o n e y M a r k e t " A Interest

31 . All ian ce Bems te in Larg e Cap Gro wth Clas s NoneA

32 . All ian ce Bems te in Larg e Cap Gro wth Clas s N o n e

B

33 . All ian ce Bems te in GL Themat ic Gro wth A None

T

Sold

T

So ld

So ld

Sold

04/07/10

03/30/10

03/30/10

03/30/I 0

J

J

J

A

A

A

34 . A l l i ance Berns t e in GL Th em at ic Grow th B N o n e Sold 03/30/10 J

I . Income Gain Cod es : A =51,000 or less B = $1,001 - 52 ,500 C -52 .501 - $5,000 D =55,001 - $15,000

( ,See Columns B I and Dr ) F =550.001 - 5100.000 G =5100.001 - 51.000.000 H I - 51 .0 00 .0 01 - $ 5.0 00 .0 00 H 2 - Mo re t ha n 5 5, 00 0. 00 0

2. Value C o d es J = $15,000o r les s K =$15.001 - $50.000 L $50.0OI - 5100.000 M =5100,001 - $250.000

(Se e Co lu mn s CI a n d D 3) N =$250.001 - 5500.000 O 5500.001-51.000.000 P I = $ 1 .0 00 .0 01 - 55 .0 00 .0 00 P 2 =$ 5 .0 00 ,0 01 - 52 5. 00 0. 00 0

P3 $25.000.001-550.000.000 p4 = M ore than $ 50.000.000

3. Value Method Codes Q =Appraisal R = Cos l [R eal E s t a t e O n ly ) S = A , ~ s s m c n l T = Cas h M ar k c l

{ S e e C o l u m n C 2 ) U = Book Value V -Olh cr W =E, t ima lcd

E =$15, 0~ 1 - $50 , 000




Page 6 of 7

Name o f Pe rson Report ing

K a l l o n , A b d u l I ’ C

Date of Repor t

05/12/201 !

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.




Page 7 o f 7

N ame of P e r son Repo r t ing


Date of Repor t

05/12/2011

IX. CERT IFICATION.

I c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a te , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

! f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i ch h a v e b e e n r e p o r t e d a r e i n

co m p l i a n ce ~ v i t h t h e p ro v i s i o n s o f 5 U .S .C. a p p . § 501 e t . s e q . , 5 U .S .C. § 7 353 , a n d Ju d i c i a l Co n fe r e n ce r e g u l a t i o n s .

Signature : S] Abdul K . Kal lon

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . § 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s cl o s u r eAdmin i s t r a t ive Of f ice o f the Un i ted S ta te s Cour t sSui t e 2-301

O n e C o l u m b u s C i r cl e , N .E .W a s h i n g t o n , D . C . 2 0 5 4 4

abdul k kallon financial disclosure report for kallon, abdul k

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