financial disclosure report report required by the ethics … · 2019. 7. 26. · reavley, thomas m...

[ Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978

Rev. 112008 FOR CALENDAR YEAR 2007 (5 U.SC app. §§JOI-I I I)

I. Person Reporting (last name, first, middle initial)

Reavley, Thomas M

2. Court or Organization

Fifth Circuit Court of Appeals

3. Date of Report

03/28/2008

4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time)

Senior Circuit Judge

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [{] Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2007 to

12/31/2007

7. Chambers or Office Address

Bob Casey Federal Courthouse 515 Rusk Street, Room 11009 Houston, Texas 77002

8, On the 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

IMPORT ANT NOTES: The instructions accompanying this form must be follojjipti; Complete all parts, checking the NONE box for each part where you have no reportable infonhation. Sign lln last page.

· 'r

J, POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructiotts.)

[2J NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

4.

5.

\ \._;_)

("" J \ \ ., 1_,_J

JJ. AGREEMENTS. (Reportittg individual only; see pp. 14-16 of filing instmcrions.)

[2J NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page2of7 Reavley, Thomas M 03/28/2008

III. NON-INVESTMENT IN CO ME. (Reporting individ11a/ and spo11se; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

1. 2007 State of Texas, Judicial Retirement

INCOME (yours, not spouse's)

$ 68,400.00

2. 2007 Baylor University School of Law $ 1,600.00

3.

4.

B. Spouse's Non-Investment Income - If yo11 were married d11ring any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)


SOURCE AND TYPE

I. 2007 See attached report of

2.

3.

4.

IV. REIMBURSEMENTS -- transportation, /odging,food, entertainmefll.

(Includes those lo spouse and dependent children; see pp. 25-27 offiling instructions.)

[ZJ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I.

2.

3.

4.

5.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of7 03/28/2008Reavley, Thomas M

V. GIFTS. (lllc/11des those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[ZJ NONE (No reportable gifts.)

SOURCE DESCRIPTION

1.

VALUE

2.

3.

4.

5.

VI. LIABILITIES. (lncf11des those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I. Prudential Insurance Co. Policy Loan K

2.

3.

4.

5.

I

------


of7 Reavley, Thomas M 03/28/2008

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nctudes those of spouse and dependent children; see PP· 34-60 of filing - instructions.)

D NONE (No reportable income, assets, or transactions.)

II- --

I. Compass Bank (Houston) D Interest M

2. Royalty (Hendrix) Pecos County, Texas B Royalty J

3. Minerals (Samson) Nacogdoches County, G Royalty N Texas

4. Minerals (Apache) Nacogdoches County, c Royalty K Texas

5. Minerals (Basa) Nacogdoches County, A Royalty J Texas

6. Chase Bank (Austin) B Interest J

7.

8. Minerals (Chesapeake - was BRO) B Royalty J Nacogdoches County, Texas

9. Fee Land, Lano County, Texas None K

10.

11. Prudential Insurance Company A Interest J

12.

13. Minerals (Enervest) Shelby County, Texas D Royalty

14. Indigo A Royalty K

15. Minerals (BP) Panola County, Texas c Royalty K

16. Minerals (EOG) Nacogdoches County, A Royalty J Texas

17. Minerals (AC Exp) Shelby County, Texas A Royalty J

--- ----- ----

I. Income Gain Codes:

(See Columns Bl and 04}

2. Value Codes

(See Columns CJ and 03)

3. Value Method Codes

(See Column C2)

A =$1,000 or Jess

F=$50,001 -$\00,000

J=$15,000 or Jess

N=$250,001 · $500,000

P3 =$25,000,001 -$50,000,000

Q=Appraisal

U =Book Value

B 41,001 -$2,500

G =$100,001 -$1,000,000

K =$15,001 · $50,000

0 =$500,001 · $1,000,000

R =Cost (Real Estate Only)

V=Other

T

w

T

T

w

T

w

w

T

w

w

w

w

c =$2,501 '$5,000

HI =$1,000,001 - $5,000,000

L =$50,001 · $100,000

Pl =$\,000,001 · $5,000,000

P4 =More than $50,000,000

S =Assessment

W =Estimated

D.

Transactions during reporting penod

D=$5,00J -$15,000

H2 =More than $5,000,000

M =$100,001 -$250,000

P2 =$5,000,00 I - $25,000,000

T =Cash Market

E =$15,001 · $50,000

___ ___ ----1-nc_o_m_ -" "' -I I -

- -- ransa t=

--+-(-I) ____ -l-(3) Ill

I -- --······- - - - __ ___ --

ransact1 I1) _ _ _

C umnC2l ___ _

(2) I ___

(2) I (I) (2) (4) (5)

l__ . _

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT of7 Reavley, Thomas M 03/28/2008

VII. INVESTMENTS and TR US TS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· J4-6o of fiting i11structions.J

D NONE (No reportable income, assets, or transactions.) 1------

ADcscnpt10n of Assets

_ Gm"'""' :""""'

(mcludmg trust assets) -·

reporting period reportmg penod :ri :e-:rtin::r=--

Identity of 1 l'(I) ValueCode 2

ValueCode 2

Place "(X)" after each asset exempt from pnor disclosure

AmountCode

DateMonthDay

GainCode

Type (e.g., div., rent, or int.)

ValueMethodCode 3

Type (e.g., buy, sell, redemption)

-I I111(J-P) (J-P)

buyer/seller(1fpnvate(A-H) (A-H)

___ J_ (Q-W) -·· 18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

28.

29.

30.

Minerals (Noble) Nacogdoches County, Texas

Minerals (Hunt) Nacogdoches County, Texas

Minerals (Delta Petroleum) Newton County, Texas

Morgan Stanley & Co. (cash balance in brokerage account)

Morgan Stanley Institutional Funds

Daily Tax Free Income Fund

Colorado Springs Bonds 3.78% Due 12/15/32

Tarrant County Bond 3.75% Due 2115/33

University of Texas Permanent Bond 5% Due 7/01113

Corpus Christi Bond 4% Due 7 /15/11

Greater Clark County, Colorado Bond 5% Due 7115/11

Akron, Ohio Bond 5% Due 1/12/17

B

B

A

A

A

D

A

A

B

B

B

A

Royalty K w

Royalty K w

J w

Interest J T Open Account

Interest J T Open Account

Interest L T

Interest Sell

Interest Sell

Interest M T

Interest M T

Interest M T

Interest M T

1/23 K

6/07 0

r ------·------ · - -i I. Income Gain Codes: A =$1,000 or less B =$1,00 t · $2,500 C =$2,50 I -$5,000 D "$5,00 I - $15,000 E =$15,00I - $50,0001

(Sec Columns B 1 and D4) F =$50,001 -$t 00,000 G =$t00,00I. $1,000,000 Ill =$1,000,001 -$5,000,000 112 =More ihan $5.000,000

2. Value Codes J =$15,000 or less K=$15,00l -$50,000 L=$50,00l -$100,000 M =$100,001 -$250,000

(See Columns Ct and 03) N =$250,001 • $500,000 0 =$500,001 . $1,000,000 Pl =$t ,000,001 · $5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,00 I · $50,000,000 P4 =More than $50,000,000

! 3. Value Method Codes Q =Appraisal R =Cost (Real Eslate Only) S =Assessment T =Cash Market

U =Book Value V =Other W =Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReporl)

·········� I attach a copy of her financial disclosure report for my report of her finances.

VII #7 - closed Hester investment in 2006

VII #13 and #14 - Enervest converted to Indigo midyear



IX. CERTIFICATION.

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.

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

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30 I One Columbus Circle, N.E. Washington, D.C. 20544

6.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 197 8

Rev. 112008 FOR CALENDAR YEAR 2007 (5 U.S.C. app. §§IOI-Ill)

1. Person Reporting (last name, first, middle initial)

KING, CAROLYN D

2. Court or Organization

U.S. COURT OF APPEALS 5TH CIR.

3. Date of Report

04/02/2008

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. CIRCUIT JUDGE (ACTIVE)

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [Z] Annual D Final

6. Reporting Period

01/01/2007

to

12/31/2007 Sb. D Amended Report

7. Chambers or Office Address

U.S. COURTHOUSE, ROOM 11020 515 RUSK A VENUE HOUSTON, TX 77002-2694

8. On the 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

/MPO RT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J, POSJTJ 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)


I. MEMBER OF BOARD OF DIRECTORS SOUTH TEXAS COLLEGE OF LAW

2. RESEARCH FELLOW THE CENTER FOR AMERICAN AND INTERNATIONAL LAW (FORMERLY SOUTHWESTERN LEGAL FOUNDATION)

3. MEMBER OF COUNCIL AND OF COUNCIL'S EXECUTIVE COMMITTEE

AMERICAN LAW INSTITUTE

4. MEMBER OF ADVISORY BOARD THE CENTER FOR THOMISTIC STUDIES, UNIVERSITY OF SAINT THOMAS

5. MEMBER OF PRESIDENT'S BOARD OF ADVISORS UNIVERSITY OF SAINT THOMAS

MEMBER OF ADVISORY BOARD OF THE JUDICIAL AMERICAN SOCIETY OF INTERNATIONAL LAW OUTREACH PROGRAM

7. MEMBER OF BOARD OF TRUSTEES BAYLOR COLLEGE OF MEDICINE

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[ZJ NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

3.

SOURCE

Name of Person Reporting Date of Report

Page 2of9

FINANCIAL DISCLOSURE REPORT

KING, CAROLYN D 04/02/2008

Ill. N 0 N-JNVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)


0 NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I. 09/20/2007 AMERICAN JUDICATURE SOCIETY - EDWARD J. DEVITT $ 15,000 DISTINGUISHED SERVICE TO JUSTICE AWARD

2.

4.

B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

0 NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2007 See attached report of Thomas M. Reavley

2.

3.

4.

JV, REIMBURSEMENTS -transportation, lodging, food, entertainmen

(Includes rhose ro spouse and dependent children; see pp. 25-27 of filing instrucrions.)

NONE (No reportable reimbursements.) D DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. AMERICAN SOCIETY JANUARY WASHINGTON, DC ASIL MEETING REIMBURSEMENT OF AIRFARE AND GROUND OF INTERNATIONAL 24, 2007 TRANSPORTATION LAW

2. UNIVERSITY OF FEBRUARY AUSTIN, TX SPEAK AT REIMBURSEMENT OF LODGING, MEALS AND TEXAS 14-15, 2007 CONFERENCE AIRFARE

3. MARQUETTE FEBRUARY MILWAUKEE, WI SPEAK AT REIMBURSEMENT OF LODGING, MEALS, UNIVERSITY SCHOOL 19-21, 2007 HALLOWS GROUND TRANSPORTATION AND AIRFARE OF LAW LECTURE

4. SYRACUSE MARCH SYRACUSE, NY SPEAK AT PANEL REIMBURSEMENT OF LODGING, GROUND UNIVERSITY 26-28, 2007 DISCUSSION TRANSPORTATION AND AIRFARE


Page 3of9 04/02/2008KING, CAROLYN D

5. AMERICAN LAW INSTITUTE

OCTOBER 17-19, 2007

NEW YORK, NY ATTEND COUNCIL MEETING

REIMBURSEMENT OF LODGING, MEALS AND AIRFARE

6. AMERICAN LAW INSTITUTE

DECEMBER 6-7, 2007

PHILADELPHIA, PA

ATTEND COUNCIL MEETING

REIMBURSEMENT OF LODGING, MEALS, GROUND TRANSPORTATION AND AIRFARE

CREDITOR



[Z] NONE (No reportable gifts.)

SOURCE

I.

2.

3.

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

DESCRIPTION VALUE

4.

5.

VI, LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instmctions.)


See attached report of

DESCRIPTION VALUE CODE

I. 2007

2.

3.

4.

5.

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, vatue, transactions (Includes those of spouse and dependent children; see pp. 14-60 of filing instructions.)


A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (2) (I} (2) (3) (4) (5) Place 11(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code l div., ren Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

I. Compass Bank Houston, TX (Money A Interest L T Market)

2. 7.25% Florida State Board of Education A Interest J T Bonds Due 61I/20I0

3. Citigroup Common Stock (formerly E Dividend M T Citicorp)

4. Pfizer Common Stock B Dividend K T

5. Daily Tax Free Income Fund B Interest Redeem 4/27 L Issuer

6. J.P. Morgan Chase Common Stock B Dividend K T (formerly J.P. Morgan & Co.)

7. General Electric Co. Common Stock c Dividend M T

8. 5% Atlanta, GA Bonds Due 12/1/2009 A Interest Redeem 4113 J Issuer

9. 4.85% University of North Carolina-Chapel B Interest L T Hill Rev. RFDG

10. Bonds Due 11I1120 IO

11. IBM Common Stock A Dividend K T

12. 4.3% Jupiter Isl. Florida Util. Syst. Due B Interest Redeem 1011 K Issuer !0/1/2007

13. Exxon Mobil Corp. Common Stock B Dividend L T

14. Compass Bank Checking Account in the None J T Name of

15. Carolyn D. King

16. T. Rowe Price Small Cap Value Fund E Distribution M T

17. - Dividend

I. Income Gain Codes: A 1,000 or less B i,001 - $2,500 C =$2,50 I - $5,000 0 =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns BI and 04) F =$50,001 -$100,000 G =$100,00 I - $1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001 -$50,000 L =$50,001 - $100,000 M =$100,00 I - $250,000

(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U=Book Value V=Cthcr W =Estimated



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of•pouse and dependent children; see pp. 14-60 of filing instructions.;


A.

Description of Assets

(including trust assets)

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.

Transactions during reporting period

Place "(X)" after each asset

exempt from prior disclosure

(I)

Amount Code l

(A-H)

(2) Type (e.g.,

div., rent,

or int.)

(I) Value

Code 2

(J-P)

(2) Value

Method

Code 3

(Q-W)

(1) Type (e.g.,

buy, sell,

redemption)

(2) Date

Month -

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code l

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

18. T. Rowe Price New Era Fund D Distribution M T

19. Dividend

20. Morgan Stanley & Co. (cash balance in A Interest J T brokerage account)

21. Mesquite, TX !SD 5% Due 8/15/2012 c Interest Redeem 8/15 L Issuer

22. Northwestern Mutual Whole Life Policies - E Dividend N v See P art VIII

23. Abbott Labs Common Stock B Dividend L T

24. Cisco Systems Common Stock None K T

25. Illinois Tool Works Inc Common Stock c Dividend N T

26. 5.25% Indiana St. Office Bldg. Comm. c Interest L T Bonds Due 7/1/10

27. BP Amoco PLC D Dividend M T

28. Microsoft A Dividend L T

29. MedcoHealth Solutions, Inc. None K T

30. 3.25% Danbury, Connecticut Bonds Due c Interest M T 8/1/2010

31. 5% California Economic Recovery Bonds c Interest M T Due 7/1/2015

32. Wells Fargo Co. B Dividend L T

33. Procter & Gamble Common Stock B Dividend L T

34. 3.8% NY State Thruway Aut. Gen. Rev. c Interest M T Bonds Due 1/1/2015

I. Income Gain Codes: A =$1,000 or less B l,001 -$2,500 c =$2,501 - $5,000 D =$5,00I - $15,000 E =$15,001 - $50,000

(See Columns BI and 04) F =$50,00 I - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$I 5,00 I - $50,000 L =$50,00 I - $I 00,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,00 I -$500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V =Other W =Estimated

annuitant)

(1) (4) (5)


Page 7of9 KING, CAROLYN D 04/02/2008

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -

0 NONE (No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (2) (2) (3)(I) Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code 1 div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

Month-

Day

Value Gain Identity of

Code 2 Code 1 buyer/seller

(J-P) (A-H) (if private

transaction)

35. 5% Denver Colo City & Cnty Rev. Bonds c Interest M T Due 9/1/2015

36. 3.125%US Treasury Note Due 1/31/2007 B Interest Redeem 1/31 M Issuer

37. Morgan Stanley Institutional Liquidity A Interest K T Buy 911 M Issuer Funds

38. Akron, OH CTFS PARTN 5% Bonds Due D Interest M T 12/01/2017

39. Corpus Christi, TX Util Sys Rev 4% Bonds c Interest M T Due 7/15/2012

40. Daily Income Fund Municipal A Interest Buy 4/27 L Issuer

41. Redeem 911 M Issuer

42. Northwestern Mutual Variable Annuity None L Policy

T Buy 4/6 L

44. Guadalupe Blanco Rvr Bonds Due A 11/1/2015

Interest Buy 2/1 M

45. Sold 3/22 M

46. Tarrant Cnty Tex Hea B L TH F ACS Dev B Interest M T Buy 6/13 M Corp 5% Bonds

47. Due I 2/1/2019

48. Texas Transn Commn ST Hwy FD Rev 5% B Interest Bonds Due 411/20I 9

M T Buy 9113 M

49. Northwestern Mutual Insurance Service A Interest J T Buy 416 J Account

50.

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c=$2,501 - $5,000 0=$5,001-$15,000 E =$15,00 I - $50,000

(See Columns Bl and 04) F=$50,001 - $100,000 G =$100,00 I - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001. $50,000 L=$50,001 - $100,000 M =$100,001. $250,000

(See Columns Cl and 03) N=$250,001 - $500,000 0 =$500,001. $1,000,000 PI =$! ,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000


(See Column C2) U=Book Value V=Other W=Estimated

to ·········· Instruct10ns.


Page 8of9 KING, CAROLYN D 04/02/2008

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Reporl)

In response to Part VII C, I have reported the aggregate cash surrender value for the whole life policies. In response to Part VII B, I have shown the aggregate amount of the dividends on those policies, which are used to pay the premiums and increase the cash surrender value.

I am married I have attached a copy of his Financial Disclosure Report for 2007 for the information about •••• required by the


Page 9of9 0410212008KING, CAROLYN D

IX. CERTIFICATION.


I further certify that earned income from outside employment and honor aria 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

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS


Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

3.

AO JO Rev. 112008

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2007

1. Person Reporting (last name, first, middle initial) Z. Court or Organization

Reavley, Thomas M Fifth Circuit Court of Appeals

4. Title (Article lII judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

I D Nomination, Date

Senior Circuit Judge '

D Initial [ZJ Annual

Sb. D Amended Report

0 Final

Report Required by the Ethics in Government A cl o/ 19 7 8 (5 U.S.C app. §§IOI-II I)

3, Date of Report

03/28/2008

6. Reporting Period

Ol/O 1/2007 to

l 2/31/2007

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is1 in my opinion, in compliance

Bob Casey Federal Courthouse with applicable laws and regulations.

515 Rusk Street, Room l l 009 Houston, Texas 77002

Reviewing Officer

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where yo11 have no reportable information. Sign on last page.

Date

I. POS ITI 0 NS. (Reporti11g i11divid11al only; see pp. 9-13 of filing instructions.)

[ZJ NONE (No reportable positions.)


l.

2.

3.

4.

5.

II. AGREEMENTS. (Reporting i11divid11al only; see pp. 14-16 of filing in>tructions.)

[ZJ NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

4.


Page 2of7 Reavley, Thomas M 03/28/2008

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)


D NONE (No reportable non-investme t income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

l. 2007 State of Texas, Judicial Retirement $ 68,400.00

2. 2007 Baylor University School of Law $ 1,600.00

3.

B. Spouse's Non-Investment Income - Ifyou ivere married during any portion of the reporting year, complete this section.

(Dollar amount not required excepl for honoraria.)


SOURCE AND TYPE

I. 2007 See attached report of

2.

3.

4.

IV. REIMBURSEMENTS --transportation, /odging,food, entertainmenL

(includes those to spouse and dependent children; see pp. 25-27 of filing instructions)

[ZJ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I.

2.

3.

4.

5.

I.

2.

3.


Page 3of7 03/28/2008Reavley, Thomas M

V. GIFTS. (I ncl11des those to spouse and dependenl children; see pp. 28-31 of filing instructions.)

[ZJ NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

4.

5.

VJ. LIABILITIES. (lnc/11des those ofspa11se and dependent children; see pp. 32-33 a/filing instructions.)


CREDITOR DESCRIPTION VALUE CODE

I. Prudential Insurance Co. Policy Loan K

2.

3.

4.

5.

· 1

I

I --c1ll<

--------+ I

5.oo

I

L __

------------- -- ·- --

A. I

I (3) (4)



VII. INVESTMENTS and TRUSTS -income, value, transactions r1nctudes those a/spouse and dependent children; see pp. 34-60 of filing instructions.;


Description of Assets

B. C. D.

Income during Gross value at end of Transactions during reporting penod

reporting period (including trust assets) reporting period r----- (5)--------i Type (e g. Date Value Gain Identity of i

buy, sci[, Month - Code 2 Code I buyer/seller I (J-P) (A-H) (if private redemption) Day I

transaction)

(2)(I) (I) (2) Amount Code I


exempt from prior disclosure (A-H)

Type (e.g.,

div., rent,

or int.)

Value I Value

Code 2 Method

(J-P) Code 3

(Q-W)

I. Compass Bank (Houston) D

2. Royalty (Hendrix) Pecos County, Texas B

3. Minerals (Samson) Nacogdoches County, G Texas

4. Minerals (Apache) Nacogdoches County, c Texas

5. Minerals (Basa) Nacogdoches County, A Texas

6. Chase Bank (Austin) B

7.

8. Minerals (Chesapeake - was BRG) B Nacogdoches County, Texas

9. Fee Land, Lano County, Texas

10.

11. Prudential Insurance Company A

12.

13. Minerals (Enervest) Shelby County, Texas D

14. Indigo A

15. Minerals (BP) Panola County, Texas c

16. Minerals (EOG) Nacogdoches County, A Texas

17. Minerals (AC Exp) Shelby County, Texas A

Interest

Royalty

Royalty

Royalty

Royalty

Interest

Royalty

None

Interest

Royalty

Royalty

Royalty

Royalty

Royalty

M T

J w

N T

K T

J w

J T

J w

K w

J T

K w

K w

J w

J w

r I I. Income Gain Codes:

(See Columns 81 and 04)

A =$ ! ,000 or less

F =$50,001 - $100,000

B =$1,00 I - $2,500

G =$I 00,00 I - $1,000,000

C =$2,50 I - $5,000

HI =$1,000,001 -$5,000,000

o =$5.oo 1 . s1 s.000 ---- --E':it H2 =More than $5,000,000

i-. $50.000 -1

I 2. Value Codes 1 =$15,000 or less K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 !

{See Columns Cl and OJ) N =$250,001 - $500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000

Pl =$25,000,00 I - $50,000,000 P4 -"'More than $50,000,000

). Value Method Codes Q =Appraisal R =Cost ( Real Estate Only) S =Assessment T =Cash Markee

(See Column C2) U =Book Value V =Other W =Estimated

I

I

i

!

I

Date of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT


18. Minerals (Noble) Nacogdoches County, B Royalty K w Texas

19. Minerals (Hunt) Nacogdoches County, B Royalty K w Texas

20. Minerals (Delta Petroleum) Newton County, A J w Texas

21. Morgan Stanley & Co. (cash balance in A Interest J T Open Account brokerage account)

22. Morgan Stanley Institutional Funds A Interest J ·T Open Account

23.

24. Daily Tax Free Income Fund D Interest L T

25. Colorado Springs Bonds 3.78% Due A Interest Sell 1/23 K 12/ 15/32

26. Tarrant County Bond 3.75% Due 2/15/33 A Interest Sell 6/07 0

27. University of Texas Permanent Bond 5% B Interest M T Due 7/01/13

28. Corpus Christi Bond 4% Due 7/ 15/ l l B Interest M T

29. Greater Clark County, Colorado Bond 5% B Interest M T Due 7/15/11

30. Akron, Ohio Bond 5% Due l /12/17 A Interest M T

----1

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp. J4-6o of filing ins1rnc1ions.J


A. Description of Assets

(including trust assets)


exempt from prior disclosure

B. c. D. I Income during Gross value at end of Transactions during reporting period I

I reporting period reporting period

(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)

(I) Type (e.g.,

buy, sell,

redemption)

(2)Date

Month -

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

i I I

I. Income Gn1n Codes: A =$1,000 or kss 8=$1,001-$2,500 C =$2.50 I - $5,000 D =$5,001 -$15,000 E =$15,00 I - $50,000

{See Columns BI and 04) F =$50,001 -$100.000 G =$100,00 I - $1,000,000 HI =$1.000,00 I - $5,000,000 H2 ""More than $5,000,000

2. Value Codes J ""$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl anJ OJ) N =$250,00I -$500,000 0 =$;00,00 I - $1.000,000 PI =$1.000,00 I - $5,000,000 P2 =$5,000.001 - $25,000,000

Pl =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Methot! Codes Q =Appraisal R =Co.st (Ri;:al Estate Only) S =Assessment T "'Cash Market

(See Column C2) U =Book Value V -=-Other W =Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicateparto/ReporL)

VII # 13 and# 14 - Enervest converted to Indigo midyear

l attach a copy of her financial disclosure report for my report of her finances.

VII #7 - closed Hester investment in 2006

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT


IX. CERTIFICATION.


i 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

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS


Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

financial disclosure report report required by the ethics … · 2019. 7. 26. · reavley, thomas m...

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