moss jr., harold - judicial watch€¦ · sce ad pe . sorce d pe . source loction purpose ncome ims...

POSITION NAME OF ORGANIZATION/ENTITY

3.

PARTIES AND TERMS

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Report Required by the Ethics AOIO FINANCIAL DISCLOSURE REPORT

in Government Act ofI 978 Rev. 112010 FOR CALENDAR YEAR 2009 {5 U.S.C. app. §§JOI-II I)

I. Pusoa Reportiaa (last name, fi,..1, middle initial)

DeMoss, Jr., Harold R.

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

U.S. CircuilJudge -Senior

3. Date of Report2. Court or Oriaaizatlo•

0510512010U.S. 5th Cir. Ct of Appeals

6. Reportln2 Period Sa. Report Type (cbeclc appropriate type)

01/01/2009Nomination, DateD toInitial Annual FinalD 0 D 12131/2009Sb. D Amended Report

1. Cbambers or Office Address 8. Oa tke buh of the infarmatioa coatalned la tbi1 Report ud anymodincatlons pertaining thereto, it II, in my opinion, in compliance

U.S. Courthouse 1'ilh applicable laws and regulations. 515 Rusk, Suite 12015 Houston, Texas 77002

ReviewiR&: Officer Date

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

checking the NONE box for each part where you have no reportable Information. Sign on /11St page.

I. POSITI 0 NS, (Reporting indMdual only; ut pp. 9-IJ of filing instructions.)

D NONE (No reportable positions.)

I. Trustee Board of Trustees, Open Door Mission

2.

3.

4.

5.

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II. AGREEMENTS. (Reporting indMduoJ only; see pp. /4-160/fillng/nsrrucrlons.) (.. (')

[ZJ NONE (No reportable agreements.) _,

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De Moss Jr., Harold R.

2.

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

2.

Date or ReportName or Peno11 ReporU•&FINANCIAL DISCLOSURE REPORT

of8 05/0512010DcMoss, Jr., Huold R.

Ill. N 0 N-INVES Tl\1ENT IN CO ME. (Reporting individuo/ ond spouu; Stt pp. 17-14 of ]ding butnu:tiom.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

I. 2009 Taxable IRA distribution from Raymond James

(yours, not spouse's)

S60,000.00

2.

3.

4.

B. Spouse's Non-Investment Income• If you,.,,. mOTTl•d during any pol"tWn ofrlt• reporting,..,, compla• tlru section.

(Dollar amownt nor re.quired except for h011orarla.)

[{] NONE (No reportable non-investment income.)

I.

2.

3.

4.

IV. REIMBURSEMENTS -tronsponotion, /odglng,food, 1ntmob11111nL

(Includes those lo spou1e and dependent children; see pp. 21-27 of fl/mg i11Jttuctions.)

[ZJ NONE (No reportable reimbursements.)

I.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

CODE

FINANCIAL DISCLOSURE REPORT

of 8

Nome of Penoa Rtporti•&

DeMoss, Jr., Harold R.

Dale of Report

05/0512010

V. GIFTS. (lnc/ouks those to spo..st ond depuuhnt cltlldun; ue pp. 18-J/ of fl/Ing instn<etwns.)

[{] NONE (No reportable gifts.)

1.

2.

3.

4.

5.

VI. LIABILITIES. (lncludts those of1po11si and dtptndtnt clrildrtn; mpp. 12-JJ of.filing instr11clions.)

[ZJ NONE (No reportable liabilities.)

VALUE

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2.

3.

4.

5.

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B

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Date of Rt.portName of Penoa Rtportlll& FINANCIAL DISCLOSURE REPORT of8 05/05/2010De Moss, Jr., Huold R.

VII. INVESTMENTS and TRUSTS -Income, wz/ue, tra11Sactio1U (1m:llllin tliose of SpOUU! •nd dqteNknl clri/dmt; SU pp. U-60 of fil/11g lnstructloru.)

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

A. B. c. D. Description of Assets Income dunng Gross value at end Transactions during reporting period (induding trust assets) reporting period ofreporting period

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

(J) Amount Code I : (A-H)

(2) Type (e.g., div., rent.

orinl.)

····-·

(I) ! (2) Value Value

Code2 Method (J-P) Code3

I !

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

redemption)

(2) Date

mm/dd/yy

(3) Value Codc2 (J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller (if private

transaction)

I. Raymond James Trustee for IRA

2.

3.

4.

Roll-over-See assets below;

Raymond James IRA-AIM CHARTER

AIM U.S. Government FWld

DWS CorePlus

A Dividend

Dividend

A Dividend

M T

L T

K T Sold 07/09/09 J (pan)

'5. Sold 08/07/09 J (pan)

6. Sold 09/10/09 J (part)

7. Sold J0/08/09 J (part)

i 8. Sold I J/10/09 JI (part)

9. Sold 12109/09 J (part)

JO. DWS Strategic Gov Sec Fund B Dividend K T

11. DWS IBGH INCOME A D Dividend L T

12. DWS Strategic Value Fund A Dividend L T

13. COHEN & STEERS c Dividend K T

14. NATIONAL RETAIL PROPERTIES c Dividend K T

15. Northern Trust Co I A Interest J T

16. R.J. Bank Deposit A Distribution J T

17. Well Fargo Banlc A Interest J T

-----, l.lncomcGainCodco: "-Sl,OOOo<lc.u B-ll,001.$2.lOO C•S2..I01·1.l,OOO D•Sl,001-Sll,OOO E •Sll.001 • Sl0,000

(Sec Column.o Bl and 04) f •Sl0.001 - SI00.000 G •SI00,001 - Sl,000.000 HI •St,000.0lll • Sl,000,000 H2 •Mon: than Sl,000,000 ! 2.ValucCod<s l•Sll,OOOorlao K•IU,OOl·Sl0,000 L .OOt·llD0,000 M·SI00,001-1250,000

(Sec Uilumrui Ct and DJ) N "1250,001 • Sl00,000 D ..S.100,001 -Sl,000,000 Pl •Sl,000.001 • Sl,000,000 P2 •S.1,000.001 • S2l,OOO,OOO Pl •$25,000,00t • Sl0,000,000 P4-Mon: than Sl0,000,000

3. Value Method Codco Q •Awawl R -COS. (Rcol EA.IC Only) S •Aummait T-0.h Markel (Sec Column C2) U •Book Valu< Y -<lthcr W •C-.tUn.tcd _J

:

!

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

_..__ __ __, ______ _j ___ L__ _.._ __ =_sac_ii_on_) __ _,

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of8

Name of Penon Repor11ae

DeMoss. Jr., Harold R.

Dau of Report

os1osnoto

VII. INVESTMENTS and TRUSTS - mcom•. "'"••· tranuctians (lnc1iu1•• those of spous• and dt!p•nd•n1 cMldnn: sn PP· 14-60 of filing instructians.J

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

A. B.

Descriptioo of Assets Income during

(including trust assets) reporting period

Place "(X)" after each assc:l Amount Type(e.g.,

exempl from prior disclosun:: Code I div., rent,,

c.

Gross value at end of reporting period

Value Value

Code2 Method

D.

Transactions during reporting period

(I) (2) Type (e.g., i Date Value Gain Identity of buy, sell, ! nun/ddlyy Code 2 Code I buyer/seller

'(A·H) or int.) (J-P) redemption) : (J.P) ! (A·H) (ifprivateCodc3

(Q-W)

18. Sowell 693, Ltd None J T

19. Sunoco, Inc. A Royalty J T

120. Devon Energy Operaling Co. A Royalty J T

21. Anadarko Petroleum B Royalty J T

22. Prudential Ins. of America A Interest J T

23. Amegy Bank of Tex.as A Interest L T

24. Raymond James Trustee for Broker Acct I -See assets below:

25. Cap Wrld GW1h &lncm B Dividend L T

26. Capital One Bank A Interest Redeemed 04/01109 L

27. Bond Fd of America c Dividend L

28. Gwth Fd ofAmerica A Dividend L T I

29. Income Fd of America c Dividend L T

! 30. Raymond James Trustee for Broker Acct II - i See assets helow:

31. AT&T A Dividend J T

: 32. FPL Group A Dividend J T :

33 Hewlett Pacbrd Co. A Dividend J T

34. Johnson & Johnson A Dividend J T

t. Jncomc Gain Codes: A •S l ,000 or ku B •Sl,001 • S2.l00 c-sz.:io1 • ss.ooo D -S5,001 • Sll.000 E •Sll.OOl • Sl0,000

(Sec Columns Bl a'1<I 04) F •Sl0,001- SI00.000 G •SI00.001 • Sl.000.000 HI -51.000.00 I • SS.000.000 112 •Mote than Sl.000,000 2. V•luc Codes J -Sll.000 or less K•Sll.001 ·SlO.OOO l.•Sl0.001- SI00,000 M •S I00,001 • 12}(),000

(Sec Columns Cl and DJ) N •S250,00I • Sl00.000 O =Sl00.001 • S 1.000.000 Pl •Sl .000,001 • SS.000.000 P2 -$5,000.001. $2.5.000,000 PJ -ns.000.001 • sso.000.000 P4 •Mon: than $50,000,000

J. Value Method CtHks Q •Apprai.sal R -CO>I (Real E.ratc Only) S•"=1n<nl T -ea.Ji Morl:ct (Sec Column C2) U •Boo!< Value VcOtha w =Eslimaled I

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(2)

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(A-H)

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(2) Value

FINANCIAL DISCLOSURE REPORT of 8

Name of Ponoa Roperti•&:

DeMos1, Jr., Harold R.

Dalo of Report

05/0512010

VII. INVESTMENTS and TRUSTS -incomt, wzl•t, transactions (lnd11.UJ those ofspoMSeand iltp1ntltnl chi/dun; ltt pp. 3UiOoffi!Jngi1'SlradionJ.)

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

A. B. c. D. ---

Description of Assets · Income during Gross value at end Transztetions during reporting period

(including tru51 •sscts) ing period of reporting period -----· --1· . . buyer/sellerCode Immlddlyy Code 2 Code I div.• rcnl. Code2 Method buy, sell,

(5)(4)(I) (2) (I) (3) Plac<: "(X)" after ea<:h ass<:! A11>0unt , ldenuty of GainDate ValueType (e.g .• Value Type (e.g.,

exempt from prior disclosure (if private (A-H)(J-P)or int.) (J-P) Code J redemption)

tran$3C:tion)(Q-W)

35. Procter & Gamble Co A Distribution J

'36. Weingarten Rlty lnvs Sh Ben Int Reil A Dividend J

i37. CAP WRLD GRTH & !NCM A Dividend J

38. R.J. Bank Acct A Distribution J

39. Raymond James IRA Growth Fund of A Dividend J America

40. Security Life of Denver Ins. Co.: Universal c Interest M Life Policy

41.

42.

43.

I. Income Gain Codc.s:

T

T

T

T

T

T

/\ -S I ,000 or less B-St,001 - 12,lOO c -S2,l01. Sl.000 D •Sl,001 • Sll,000 E :$11,001 • S.50.000 (Se< Columns Bl and 04) F •SJ0.001 - SI00.000 G •ll00.001 ·SI .000.000 HI •11.000.001 - 15.000,000 H2 •Mor<: than Sl,000,000

2. Value Codc.t J •SI .S,000 or less K •Sll,001. S.50,000 L -S.50,00 I • SI 00,000 M •SI00.001 -1210,000 (Sec Columns Cl .. d 03) N •12.50,001 • Sl00.000 O•Sl00.001-11,000.000 Pt •11,000,001 - ll,000,000 l'l-Sl,000,001 • S:Zl,000,000

Pl :Sll,000,001 • Sl0.000,000 P4 •More than S.50,000,000 3. Value Method Codes Q •Appnisal R <°"' (Ral Estak Only) S•AA=mlcnt T-cabt.l...ket

(Se< Column C2) U •Book Value v-omc. w -Estimated

I

RETUR .. '1

Dalt of Roport Name of P<nDll RcportiDK FINANCIAL DISCLOSURE REPORT

of 8 05/0512010DeMoss, Jr., Harold R.

Vlll. ADDITIONAL INFORMATION OR EXPLANATIONS. (ln4kat•partqfR•port.)

Part l. The organization indicated in Part I. Positions is a non-profit charitable organization and Judge DeMoss is not an "income beneficiary" of this organization.

Part 111. Non-investment income from taxable IRA distribution from Raymond James in the amount of S60,000.00 was inadertantly omitted from filer's 2008 Financial Disclosure Report.

Part VII. The asset shown on Line 3 was formerly known as AIM Intermediate Govt. The asset shown on Line 5 was formerly known as IRA DWS USGOVT SEC. The asset shown on Linc 7 was formerly known as DWS DREMAN HIGH . The asset shown on Line 39 was opened in 2005 but inadvertantly omitted on since that date.

The asset shown on Line 40 was purchased in 1994 but inadvertantly omitted since that date.


of8

Name of Peno• Reportine Dale of Report

DeMoss, Jr., Harold R. 05/0512010

IX. CER'flFICA TION.

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 repwtetl are In compliance with the provisions of S U.S.C. app. § 501 et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

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

FILING INSTRUCTlONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Colwnbus Circle, N.E. Washington, D.C. 20544

moss jr., harold - judicial watch€¦ · sce ad pe . sorce d pe . source loction purpose ncome ims...

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