emmett r cox financial disclosure report for 2009

8/3/2019 Emmett R Cox Financial Disclosure Report for 2009

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ao 1 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c ~in Government Act of 1978

R ~ . t/ 2 0 1 0 ] F O R C A L E N D A R Y E A R 2 0 09 0 U . S . C . a p p . § § t O l -t l l)

1. Person R eperttag (last name, fn’st, middle initial) 2. Court or Organization 3. Date of Report

Cox, Emmett R. U.S. Court of Appeals, Eleventh Circuit 05112/2010

4. Title (Article III judge~ indicate active or senior status; 5u. Report Type (check appropriate type) 6. Reporting Period

magistrate judges indicat~ full- or part-time)

] Nomination, Date 01/01/2009

SeniorU.S. CircuitJudg¢ [] Initial [] Annual [] Finalto

! 2/31/2009

~b. [] Amended Report

7. Chamber~ or Office Address 8. Oa the ba~i~ of the lnformatiom comtalued in thi~ Report mad anymoditkatioa~ pertalulng thereto, It h, lm my opiniom, In compliance

l 13 St. Joseph Streetwith applleable laws and regulationl.

Room 433

Mobile, AL 36602Reviewing Officer Date

IMPORTANT NOTES: The iustruc~ns accompa nying this farm m ust be fo l lowea~ Complete a l l parts,

checking the NONE box for each part where you have no reportable informado~ Sign on lust pag~

I. POSITIO NS. (~,,~, ~,a~a o~y; ~ ~,~ ~-~ of ~ t~.~)

~ NO~ ~o reportablepositio~.)

- POS~ION N~ OF ORGA~ZATION~I~

I. Director ~d S~re~ 2~ O~alt Condomi~um O~ A~iafion (s~ S~fion VIII for de~6pfion)

2. Sec~-Tr~ Mobile Bay Comp~s Rose ~eet of ~afio~l Y~hting FellowsMp of

Ro~a~



Iame ofPerton Reportlag Date of ReportFINANCIAL DISCLOSURE REPORT

] Cox, Eramett I~

05/12/2010 of 8 .

III. NON-INVESTMENT INCOME. (R~o~e i~u~ und ~p ....~,p~ !z-2~ oy~U~ ~o~.~

A. Flier’s Non-Investment IncomeNONE (No repor table no n- inv es tment income.)

DATE ~OURCE AND TY PE ~COME( y o u r s , n o t s p o u s : ’ s)

1.

2.

3.

4.

B. Spouse’s Non-Investment Income -lf~awm~arrledd~nean.Fpotlton~/therc~ortlngyear,(Dol lar am o unt not re quire d e ~c ept for hono raria, )

NONE Og.o repor table no n- inv es tment incom e.)

D A T E SOURCE AND TYPE

1.

2.

3.

4,

IV. REIMBURSEMENTS - ~,~,,~o~, to~,~oo~, ~,~...,~[Tnclude~ those to s~e a~ ~t ch~n; ~ te pp. 2J-27 of filing I~ctio~.)

~ NONE ~o reportable reimbursements.)

~ ~ LOCA~ON P~POSE I~MS PA~ OR PROV~ED

I. F~E 0 8 1 ~1 ~ - 0~! 3109 Gallatin Gamway, ~ S~in~ ~gin~ m~ ls, ~d aiffa~

2.

3.

4.

5.



F I N A N C I A L D I SC L O S U R E R E P O R T of 8

~’~ NONE (No reportable gifts.)

SO~CE DESCRIPTION VALUE

1.

2.

3.

4.

5.

VI. LIA BIL ITIE S. ~t~ ~o, of~, , ,,~d ,~ ~d~,~ ,~ ~ ~.~ of ~s ~o~

[] N O N E ( N o reportable liabilities.)

!. B ank of America Seemed promissory note (formally held by NationsBank, N.A.), paid in Jfull in 2009

2.

3.

4.

5.



I a m e o f PerJen R~p or t ingI

D a t e o ! R e p o r tHNANCIALD I S C L O S U RE ~PORT

Pag e 4 of 8 0 ~ / ~ 2 ~ 0 l 0

NO~ ~o reportable income, ~sets, or ~ansactio~.)

A. I B. [ C. D .

O) (2 ) (D (2 ) O) (~ ) O) ( 4 ) ( ~ )

P~ "~)" ~ ~h ~t ~ou~ T~ (e.g~ V~e Val~ T~ (e.g~ D a t e V~ G~n l~fi~ of

(A-~ o ~ i n t , ) ( J - P ) ~ 3 ~on) { J - P ) ( A - H ) (if ~v~

1. Amp’titan F u n d s : E u r o Pacific G r o w t h A A Dividend K T Buy 12/26/09(Mutunl Fund) (add’l)

2. RBC Ccatura ~ank (Account) A Interest J T

3. BankTrust(Accoun~) A Int~©~ J J

4. The Vanguard Value Index Fund (Mutual A Dividend J TFund)

5. Harbor Fund Capital App~ciafon (Mutual A Dividend J T B uy 12/28/09 JFund) (add’l)

6. Matthcws [all Funds: Asian Gnh & Income A Dividend J T B uy 12/10/09 J[ Fund (M utual Fund) (add’l)

7. TDAM M M Portfolio Investor Class A Divid,’nd J T(Accoum)

8. Army A viation Center FCU (Account) A Interest J T

9. Franklin Fedvral Ala T/F/facto CL A A Int~r~t K T B uy 1 2 / 2 3 / 0 9(Mutual Fund) (add’I)

1 0 , Sold 02/17/09

I 1 . Opperthehncr Developing Market~ CL A A Dividend J T Buy 1 2 1 0 9 / 0 9(Mutual Fund) (add’l)

1 2 . Sit Nc’.v Beginning Tx Fr Inc Corn (Mutual A Interest J T B uy 01/02/09Fund) (ad(~

1 3 . Vanguard INFL-Protcctad Secs Fd (Mutual A Dividend J T B uy 12/24/09Fund) (add’l)

1 4 . TDAM M M Po~foHo Inve~tor Cla~s A Dividend J T( A c c o u n t )

1 5 . Amoican Funds Europacific Growth F2 CL A Dividend J T Sold 05/15/09(Mut~ F~d) (p~t)

1 6 . Sold 0g/! 7/09

(~)1 7 . Sold 11/16/09



F I N A N C I A L D I SC L O S U R E R E P O R T N a m e e f P e r ~ o a R e p o ~ d n g VateofReperl

of 8 c o x , E m m e tt R . 05/12/2010

V I I. I N V E S T M E N T S a n d T R U S T S - ~o.,~ ~, , ,~.~ao,~ a~t~,~ ~o~ of ~m- , ~ ~, .~-~ .. ~ ~o

NONE ~o reportable income, ~sets, or ~ansactions.)

A. B. C. D.

~pfi~ of~ ~me dung G~ v~ lue at end T~ti~ ~ng ~ing(incl~ing ~ ~) ~ag ~ of~g ~d

0) (2) (0 [ 12) (0 (2) (~) (4)P~ "~" afl~ ~ch ~ Am~t T~ (e.~ , V~ ~ V ~ u e T~ (e.g., D~ Value Gain l~fi~ ofexempt~pfior~l~ ~! ~v..~ C~2 I Me~ ~y, seH, ~d~ C~2 ~1 ~y~/~ll~

~)

1 8 . B~d~ine Fun~ Corn ~umM F~ A Divided J T B uy 1~ 1~ J

1 9 . ~ip~ F~d I~ ~m ~u~ F~ A Difid~d K T Sold 08/17/09 J A~m)

20. Sold I 1/16/~ J A

(~)2 I . J~ ~ F~d: Perk, s Mid Cp VL lnv A Dividend J T Buy 1 ~1/~

~uml F~d) (~d’l)

22. Pmfession~ly Mdg P~ Ost~eis F~d A Divided J T Buy 1 ~16/~ J(Ma~ F~d) (Md’l)

23. S~uaia F~d Inc ~m ~uml Fund) A Divided K T B uy 12~I/09 J(addq)

24. Sold 08/1~09 J A

25. Sold I !/17/09 J A~m)

26. ~kd Argue Tr ~gl Value Fu~ (Mull A Di~d~d J T B uy 1~23/~ J

27 . Ish~: Ru~vl130~ ~x F~d ~um~ A Difid~d ~ T

28. I$h~$: GSCI ~mm o~W IMexvd T~st None J T Sold 12/30/09(Mural F~ ~)

29. ls~: DJ US ~ ~te ~u~l ~nd) A Divided J T Buy 08~/09 J(~da)

30. Ish~: MSC! EAFE In~x Fund (Mu~ A Dividend Sold 108~4/09 J A

31. ~can F~: Euro P~ifie Grow~ F A Di~d~d K T B uy 1~8/09 J(Mull F~a) (add’l)

32. Sold 07G7/~ J A

3 3 . Sold 10/26/09 J A~ p m )

34. Sold I IG0~9 J C



FINANCIAL DISCLOSURE REPORT I~’’~ °f~’’’°’~p°~’z

of 8

] Cox, Emmett tL

05/12/2010

~ NONE ~o repo~able income, ~se~, or ~ansactions.)

~ B. C. D .

0) ( 2 ) (z) (2 ) (z ) (2 ) ( 3 ) ( 4 )

35. ~edc~ F~: Gro~ F~ of~eri~ A Dividend K T B uy l~ J

F (Mull F~) (~1)

36. ~ip~r F~d In¢ Corn ~u~l F~ A Divided J T So~ 07~7109 J A

37. Sold 1~61~ J A

38. ~mis Sayl~ F~ I Bd Fd ~stl (Mu~ B Difidend K T B uy I 1 ~ 0 1 0 9 J

39. B uy 11120/~

40. B uy i~14109 J

(~d’0

1 4 1 . M ains~y Fun~: IC~ S¢l~t Equiw F d CL A Di~dend J T Sold ~4109 J A

42. Pmf~sionally Mgd ~fl: Os~eJa F~d A Divided J T B uy 1~16/09 J(Mu~I ~M) (Md’l)

43. S~uoia Fund Inc Corn ~m~ F~d) N~e K T Bu y 1~ 1~9 J(~d’0

~. ~ird Avenue Tr Intl Value F~d (Mu~ None K T Buy 1~3/~ JF~ (add~

45 . I~: GSCI Co~diW ~dexed Trust None Sold ~ 1~ l/~ J~u~al F~d)

46. Pi~ F~, Co~iU~eM R~ S~t " None J T B uy 1~09 JI~tl (Mural F~d)

47 . Pim~ Fun~ Co~diu~l Ret S~t I~tl None J T B uy ~ 1~3~09 J(Mull F~d)



F IN A N C I A L D I SC L O S U R E R E P O R T

of 8

[ cox, Emmett R.

05/12/2010

V III . A D D IT ION A L IN F OR M A T ION OR EX P LA N A T ION S. a ~ d .~ t~ .o /~ e ~ ,~

S~tion 1. Positior~.

204 Oswalt Condominium Own~r~z Association is a not-for-profit association that [’mlds fide to and manages the common areas for thr~¢ condominium units, ooc of

which is owned by,, : ]

Section VII. Investments and Trusts.

On the 2008 F inaacial Disclosure Report, Entry 81 - Stratton M ulti-Cap Fund, Corn was sold in its entirety on 12/22/08 for less than $15,000 for a loss. This salewas mistakenly left offthe 2008 Financial Disclosure Report.



F IN A N C IA L D IS C L O S U R E R E P O R T

Iage 8 of 8[ Cox, E m m e t t R .

0 5 1 1 2 / 2 0 1 0

I X. C E R T I F I C A T I O N .

I certify that all information given above (Including Information pertaining to my spouse and m inor 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 bec ause It met appUcable statutoryprovisions permitting non-disclosure.

I further certify that earned Income from outside em ployment and honoraria and the ac ceptance of gift~ which have been reported are tncompliance with the provisions ors U.S.C. app. § $01 eL seq., 5 U~-C. § 7 353, and Judicial Conference regulations.

Signature.__

AND CRIM INAL S ANCTIONS ($ U.S.C. app. § 104)

FILING INSTRUCTIONS

M ail signed original and 3 additional copies to:

Comm ittee on F inancial DisclosureAd ministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544

emmett r cox financial disclosure report for 2009

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