financial disclosure report report .eqnired by etics ao-jo€¦ · financial disclosure report nme...
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POSJTlON l'ib.MF. OF ORGANlZATIONIE"iTiTY
P. .RTIES AND 'SP,.JvfS
Report B.eqnired by the ;EthicsAO-JO FINANCIAL DISCLOSURE REPORT
In Go,:erntnent Act of 1978 Re\'. l/2004 Calendar Year 2003 (5 u.s.c. opp. § 101-111)
] , Pcl'son Reporting (Lnst nazHe, First narr.c, Middle initial)
TRAXLER, Jr., \Villiam B
4. Title (Article H: Judges indkate active Ol' .senior status;
ll1ci.&istrat(! : dgcs indicate fullA or part•time}.
C( uit Coun Judge (Active)
7, Chamb l".5 or Office Address
P. 0. Box 10127
Greenvi!le, SC 29603
2. Cour, or O::g<L'1ization 3. Date of Report
U.S.CA Fourth Circuit C5!IZ!2004
5. ReportTwe (checkapprcpriate type) 6. Re;;o:t::ig Period
Q Nomination, 01101/2003
to() lniti,\ 1213!!2003
8. On the basis of the iafonnation ccntJ.lned in this Report and any
modifications pertaining thereto, it is.. i:i my opinion, in compliance
with applica':lle !aws and reg<Jlations.
If.,.{PORTAN'T NOTES; accompanying this form !'::1ust be follo"·et, Complete all parts, checking the NONE box fer each part
where you hs.ve ilP reportable information. Sign on last page.
L POSITIONS. (Reporting indi\idual only; see pp. 9-13 offting instructior.s)
! NONE " {No repi:ntableposltion:..
1. Federal Judges A.ssc;iation
2. Director Piedmo:-J Ja:r.ce Club
IL (Rcpcr:ir.g ir.dividual only; see pp. 14-16 offiling instructions) AGREEMENTS.
NONE - (No reportable agreen1ents.;
r. 05100192 State of S.C, Circuit Judge Re!i:ement benefi: (see ill.A.1)
SOL1KCE ANQ TYPE GRQSS INCOME
SCHJRCE AND TYPE
DESCBIPTIQN SOlJRCE
FINANCIAL DISCLOSURE REPORT Name of Person Re-'03rting
TRAXLER, Jr,, William B
Ill N ON-JNVES TJVIENT JN COME. (Reporting individual and spa use; see pp. 17 ·24 of filing insn11etlons)
A, Filer's Non-Investment fneome
C NONE · (No reportable non·investmemfooorne.)
2003
Date ofReport
05/1212004
(yours, not spouse's)
$39,606.96
B. Spcll.se's Non-Initestment Income - {lfyou wcte married during a.-iyportiot:. o::he re;>:,:ting ;r-ear, p:ease cor;;:p:ete this section, (dollar amount n:it req:..:.'.reC except foT honora.rla)
:J NONE - (No reportable non-invest1nent income.)
J. 2003 University of South Ca:oUna - Salary
IV. REIMB URSEM:ENTS - tr•nsportation, lodging, food, ente:tainment
(Jnclud'!S these to spouse and dependent children. See pp. 25 27 of instructions.)
l.
2.
NONE - (No such reportable reimbursements.)
S.C. Bar Associatiot.
S.C, '!'rial Lav.1ers Association
A:nedcan Board of Trial Advocates
9/4-.S Columbia) SC; federal practice seminar; lodging, transportation
8/7-B Hilton Head Tulmid, SC; speaker; lodging
I !Ill Columbia, SC; awards <linner, =!
smIBCE D:ESCRJPTION
:V:
CREDJTOR DESCRIPTION VAIJ.JE CODE
Nwne of Per.son Reporting
TRAXLER,, Jr., Wimem B
FINANCL L DISCLOSURE REPORT
0511212004
'\1 GIF1 S. (Includes those to spouse ar1d dcper.dent children. See pp. 28< 1 of i:ts::ructio:::s,)
0 NONE (No such reportable gills.) -
l.
'71 I. 11\Bll.ITJES. (Includes those of spouse and depcnd<:nt children. See pp. 32 34 of instructions.) ..
NONE (No reportable Iillbilities.) -
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FINA,.'\CIAL DISCLOSURE REPORT Nam.e of Person Reporting: Page 1of4 TRAXLERi Jr., William 8 05!12/2004
VIL INVESTMENTS and TRUSTS
Iucome during Descripticrr of Asset.' reporting periOO {inch;i:lfag :rust assets)
Place "{X)" llft r ea<:h ass-0t er.empt Amount Tyt>e (e.g. from prior disclos'Jte Code! div, :er:.:. or
(A·H) im.)
LJNONE (N1.> reportable incoO'JI!, assuts, OT transactkms) .
Greenville C-0unty, S.C. None
{l) Leon County, Fla. 115 interes None
{2) Leon Coi.>:: , Frii... None
{3} Le::i::t Cff.:nty, F:a. llS interest None -
Scnoc:i stock {common) A Dividend
6. Am.erkar. Landlease stock (com.mm:) A Dividend
7. Fa.+r.ily SteakhD'.:Ses vfFlorida stock (common) None
8. Fami'.y S:eak:10\<.ses of Florida stock (common) None
Palmetto Bank A Interest
lO. \Vashingtcn Mutual lnvestors Fund IRA A Dividond
l I. \.Vendy's Intemational, Inc. stock (common) A Dividend
12. Motorola stock {common) A Dividend
ll. McDonalds stock {common) A D'vid<::'.d
14. Kellogg's stock {common) A Divid::nd
15. RPM stock (common) A Dividend
16. Home Gck'!, rnc, s k (commor:) None
17. Sun Trust stock (eor:unon)' A :Avklend
Trus: t E Distribution
c. D. Groi>s vhli.te l:t end cf ir«:.sacti;ms du.-i.ng repor.ir.g peri.¢d reporting per'.od
ff not exe t <llsc:osure (2)
Vali:e Value Type (e.g. Date: Valt.<J Co:le:!. ::Vfol!:lcd buy, sell, 1-fomn. '.:oGe2 {J P) Cede 3 :nerger, Day ·P)
(Q·WJ redtmptien)
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(S) Identity of lYJyer/selkrflfprivatetraiisaciio:i)
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\ ;;h mi.::s· "' S '.5 .COC• c less "'SlS 'OCT-S:SO:O!J_r,; " s v-oo-J S100 enc ':" S HJD OP_ ·,-:;;250 '100.
See Cotumr:: c: ...:n<l 2·3·. N "":;::;coOD·55JC,OOG· ""'S5W 001 l, i r-;-::; _. s1;600.061.ss,oot.' ,nDa &5,oc--0,o;:;·;-$25-,o:x.\O'JL !':. �.Sr>lor .thn.n S5C,ODlJ,-Otx
._, Cost-(l{ aJ Ismt Or,1: : ,., :\sst::ss:m:n: "' Ci.:Sh.'Mtr!:ei_
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FINk"ICIAL DISCLOSURE REPORT
Page 2 of 4 Name cf Person Reporting
TRAXLER. Jr., Willi•m B
Dat o: Reµort
05!12/W04
Vll. INVESTMENTS and 1RUSTS
A.
Descriplinn of Assets (iiiduding:t.ist assets)
Pia(<: (X)" af:er c ct. nsset exenipt from prior di ,eforure
19. •vWa.::hovia N'tional Bank accounts
··Greenville County, SC
21. - outh Financial Group, Jnc, ti!ock (cor..mo n) .
22. --Putnam Tax Free mut1al fJrjd
23. -·R:! ions Bank stc;;:k (common)
-·SCANA stock (com..':10TI)
! 25, --Solutia stock(commoo)
.. -Wachovia National Bank stock {common)
-Arr rfcan Landlease stock (rorr.mon}
-Pfizer stock (common} (formerly Pharmacia)
29. --UBS Bartk USA- (forme:ly RMA money market portfolio)
30. -·Wachovia :N'aticnal Bank stock (preferred)
31. ·Mo;isanto stock (common)
i 32. -Carolina First Bank accounts
3). Carolina First Bank accOur.ts
34. Vanguard GrcW';h & Income Pottolio
35. Graw:h Fund of A.merica fRA
36. New Perspe.;;tive Fund IRA
a. Income d.urlng
reporting period
(1)
AmoUl'lt Type (e.g. Cod 1 dh'< rezt. or (A·!!) int)
A Interest
A Dividend
A Dividend
A Divide"d
c. D. Gross value at end cf 7ransiwtiun> dwing repc:ting period reponing per!cd
r.:>t e:temp ii"om
Vnlue V ue Type. {e.g. Date: Va1i.:eCode2 W.et..'>md b'.iy, sell, fvfonth • c.&2 (1-P) Code3 merglilt, Day (J.J>J
(Q-W) redernpticn)
Distrib 3t'20 K
Merger 4/16 K.
Rollover l l/4 J
J T
J T
J T
J T
Gain Identity of Cede I buyerlsc ler (A-I!) (if private
tan'>action)
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. ""·s:::,oo 1 :Sl5-,00D C: "':Sl-00,001.$·!/10ri100D ·. ;,.;:IJ,OOQ,ilei'l',00•�,D<'": . tC ·.,,.Jvl:.ne fuan $:5..,DIJ ,.OOi.:i K ,_,_s:?;ot1);.$.?L. 1o'o-" Y, ""SlOV,0{1 -SlS::i_,OT},1 D '-" S53G,OOJ- l,O_OD,QOO' n .._ s::.'.J:.:J,001-s:: ,00 1,VJu
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FINANCIAL DISCLOSURE REPORT Name.of Person Reporting Date of Report
Page 3 of 4 TRAXLER, Jr., \Vllliam B 05;12/2004
vn. INVESTh1ENTS and TRUSTS
Dl::«:tiptioo of Assets (including tTUSl assets)
Piace "(X)" after each asse! eii:empt from prior disclos:U"Z
37. Bsnknorth Bank acco:.:nt
; JS. 8'.lmmit !\ational Bank accounts
39. General Electric stock (commof:)
-·
4(), AMEX SPDR lndex srock (c='T.on)
41. Am!!':'hrade lRA
42. -Sni::on Gra?hics stock (corr.men)
43. M:IPS Technologies stock{common)
44. uHoneywell stock (common)
l .!5. --Applied Materials stook (common)
46. --Te:am Instrument siock (comm.on)
47. GreenviHe First Bank
48. Honeywell stock (common)
49. BB&T stock (common)
so. Affinity Technologies Group st.eek (eo!'!'"J"J1an)
W'achovia stock (common)
52, RMA h!o:iey farket Portfolio
53 . <li::rosoft stock (common)
, . .. , Home Depot stock (common)
B. :r.come durlng
reporting period
A!t!OWlt Type (e.g. coo. 1 dhi. rent. or (A·R) int)
None
D In:erest
A Di\1dend
A Dividend
A Dividend
A Interes
A Dividend
A Dividend
None
A Dividend
A Dividend
A Dividend
A Dividend
c. Groos 1.ue at em! cf 1.'ni."!Sactionsduring :reporting period re;:iorting period
(!) not exempt from
vn:ue Valu:: 'Iype (e.g.. Pate: V•luo Code }.fethcd bu}'. sell, Month C<>do2 (H) Ccde3 Day (J·P)
(Q-WJ redemption)
Closed
N T
J T
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Closed 1218 J
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Gain Code 1 (A E-'.)
identity of bt:yer/s::l!er (ifprive.te tr.msactior.)
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lncomilGcin Cr!des ""S LCJ(1 :i:- !e ;;
(Se Columm: B .:md D41 S:Ht.C'Lll-SlOD;cG "'510{\GO;-Sl,QOQ,OO:J -H;-,,,;;:,occ,cc·,.:.. s,000J1-00 :r.:: ""s.1crcthlll'.Ss; 0Qo;ooo
:::.. Vi:":Ll Ct ·::;; :\l5,D0lh:i:-:k.'l.S -"· S1S,001-S5Ci,u0C t = sr:::::::,on: -s::sri,ooo
(S t Cr.1:.:::r,,ns n:'!d :::i;1 ·,,,, S250,fl&>$5Q0,CDtJ $5GO.C·C '.-S: .O:W,Dtlti P: •·'& J)00,CCl $ ,OOC,l.0G P1 ""'$3.0'.l0,00l-$25,00J.O\<: P.l ,., S2 ,O:l'J,fi1H .s:,5q,rl.Kl,Ol'JO ' " Apprnlsal C--0st (Keal 2stt.R 0:-Jy; < A;:se:::sme;.it
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FI ANCIAL DISCLOSURE REPORT Name cf Person Repor:i::g Dlllil of Report
Page 4 of 4 TRAXLE Jr., Wiiliam B 05112/2004
Vil. INVESTl\1ENTS and 1RUSTS
A. B. c. D.
Description of Asset (lncludif1¥ trust tis et )
Incvrr;;O re;::or.ing period
Gm&S value a: end t:f reporth1gperiod
Tr$11S3c6:HJ.i; <i:uing repottiog period
If not exempl from disclosure
Place "(X) after ea;:l: llSSet exempt Vake Va1ue Type (e.g. Date: \1alue ld¢ntityofGaicimy, sell, div. rent. -or
TypeAmowtfrom p'!ior disclosure 1tcmth Codc2 Me:fucdCode 1 buyer/sellerCode2 CW.1
Cod¢$. ""'""' Doyiut.) (J-!1) (If private (J·P) (A·H)(A·HJ redemjltion)(Q·WJ transactkm)
A Dividend55. Pfizer stock (common) I T
A K T Distn"b 312() KSouth Flnancfa: stock (:;.o1:1mon) Dividend
57. L\berty Life .... ,.,.hole life insurahce po:ictes
Frocective Life · \vhole life insura ce ;mlky
J fferson Na ionai Life -who!e life insurance policy
None
N(lne
None
J
J
J
T
T
T
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-=-. S:: ,OOi S:2. 5:.l0 C ":"'"$ ,;;:01 $;:J-O) fS;:.: ::;m;rrnn..> Bl an.d D4 i . P " c<o61:$10V,OO(t :G. ,,_ s: c.c.:1DSLJG(1,C:OD Hl .,,... ·s:,OOC.00!.·S "D- .o:.ia. H2 ".'·!vk,r:: �'l!i.1·S5,00 .UJC
.1 ""SJ 5,0QO qr jess 1Sx :'.:c::.:::u:L CJ a:i:: .'.: l\ ""' $150.DbV-SSO l,'OOS ·V .,_ S:i00,i)Jl. SLD60,!J00 . p; .""':$:,O C.IJ0l·S5;0:)C·,OOO ?2 S ,t\{!�>,001·$13,00{!,0:Jt;.
p;: - "" ·£2!,QIJ(i,GD !-S.5 • ,oo '.\JfJD P4 S.\-{;in thou S5 ;j0f1C,0C·G Q . /\.;JpDlO : L' "B,ooJc y,; V.-· "' E nr:na:eci
hc;::::i;;·'3a;: C cdes: ·;.. ., SI B D "'$5,00 ·$15.D:JO
See note in Part VJ.1! .-
See note if! Part Vil!
See note in Part Vlll
#15 11!111111lllltiinvest shares.
in Greenville SC. Identification
I realized whole life The pclicies held by Libecy Life were issued in 1962 and 1 %9, t'>:ie pulley held by Prot tive Life
bs:u ran ce Cor.'.panywas issued in 1966, and the policy held by Jefferson :S-atic..'1111 Life Insurance Ccmpan)' was issued in 1972.
in Part Vil, #Si #:2, #iJ. #I4, uutoma:1cal1y g;o to¥lard buying more
In Part vrr, #18- l reveive a proportionate disttbution of inco!::1e and corpus a."'in aily. of ::ust omltted per instru.ctic s.
ln Part Vll, #28-·Phannacia merged with Pfizer.
1n Ps.rt VII, #29-·The RJ\1A !vkmey U!arket ?ortfolio was rolled ov« inro the UBS Bank USA Deposit Account
In Part VH, #56-·This s:o fo the sa e stock whose distribution from a t:'l.:s! fa reflected in #21.
in Part VIl, #5i, #58, #59-Ta.ese items have not been listed previously because I ha<l not known that life insurance policies had an investr.ent aspect to
Fll\'ANCIAL DISCLOSURE REPORT Na.'.!1e of Person Rep01ting Date: of Report
TRAXLER. Jr,, \VilHam B 05/l2'2CD4
0ndica:opmofReport.)VIIL ADDITIONALINFDRi\1ATION OR EXPLANATIONS
In Parts U and IIlAl .. [a:::-, eligible tO':' a lifetime monthlyretireme::.t benefit of e:ppro:ximate1y 18124 of7L3o/., of the salary of a Circuit Judge of South Carc1in<>.. Payrnent began \Vhen I t:.:rned 55 years of age on May l, 2003.
In Part VU, tl-Greenvi!le Co:.:nty, S.C,, total taxable value is $59,205.00.
in fuese companies via dividend reinvestment plans or DRlPs:. The stock dividends
The Trustee is
them. h \'-tas only upon g=.iir:g over this year's instructions (and apparently having missed this part when it was added las: ye ar) t'iat insurance pt>Hcies should be reporte<l as investments,
Date_=s+"/t=z....,,_J o__.tf ___ _
Nan1e of Pcrson Reporting Date of Report FINANCIAL DISCLOSURE REPORT
TRAXLER, Jr., Will'am B 05112/2004
IX. CERID1CATION.
I certify that all information given above (including information pertaining to my spo'.lse and minor or dependent children if,
any) is accurate, trne, and complete to the best of my knowledge and belief; and :1iat a."!y information not reported was withheld because it met app'.icable stamto:y provisions perntltting non-disclosure.
I farther certify faat e&-ned income from outside employment and honoraria and the acceptance of gifts which have been re?orted are in compliance wi!h the provisions of 5 U.S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signatur
?-iOTE: ANY INDIVIDUAL WHO KNOWINGLY AND '\VILFCLLY FALSIFIES OR PAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § l 04)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial DiscloS!lie Administrative Office ofthe United States Courts
Suite 2-301
One Columbus Circle, :S-.E.
Washington, D.C. 20544