thomas w phillips financial disclosure report for 2010

8/3/2019 Thomas W Phillips Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Governmen t Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name, f i r s t, middle ini t ia l )Phil l ips , Thomas W.

4. Ti t le (Ar t ic le I I1 judges indicate act ive o r senior s ta tus ;magistrate judges indicate full- or part-t ime)

U.S. Dis t r ic t Judge Act ive

7. Chambers or Office Address800 Market StreetSuite 145Knoxvil le , TN 37902

2. Court or OrganizationEaste rn Dis t r ic t o f T ennessee

3. Date of Report04/14/2011

5a. Repor t Type (check appropr iate type)] Nomination, Date[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in thi s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icab le laws and regulat ions.

Reviewing Off icer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

IMPO RTANT NOTE S: The instructions accompanying this form m ust be fol lowed. Complete al l parts,checking the NONE box for each part w here you have no reportable information. Sign on last page.

I. P O S I T I O N S . ( R e p o r a n g i n d i v id u a t o . ly ; s e ~ p p . 9 - 1 3 of filing instructions.)~] NONE (No reportable positions.)

P O S I T I O N N A M E O F O R G A N I Z A T I O N /E N T I TY

2.

3.

4.5.

I I . A G R E E M E N T S . m ~ o r t l n g individual only; seepp. 14-16 off!ting instructions.)~] NONE (No reportable agreements.)

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


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FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r ti n gPhillips, Thomas W.

D a t e o f R e p o r t04/14/2011

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting i n d i v id u a l a n d s p o u s e ; see p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Income~] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion o f the reporting year, complete this section.(Dollar amount not required except for honoraria.)D (No reportab le income. )ONE non- inves tment

DATE SOURCE AND TYPE1 . 20 1 0 ONEIDA INDEPENDENT SCHOOL SYSTEM (RETIRED TEACHER) 0.00

2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25 -27 o filling instructions.)

NONE (No reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEM S PAID OR PROVIDED


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Name of Person Repor t ingPageFINANCIAL 3 o f 9 DISCLO SURE REPO RT ] Phi l lip s, Thomas W.

V . G I F T S . a n e l u d e s t h o s e t o s p o u s e and dependent chi ldren; s e e p p . 2 8 - 3 1 of filing instructions.)~ NONE (No reportable gifts.)

2.

3.4.

S O U R C EA T T E N D A N N U A L R E V I E WS E M I N A R W / O C H A R G E

D ES C R I P T I O NT E N N E S S E E L A W I N S T I T U T E

Date of Report04/14/2011

VALUE$ 4 0 0 . 0

V I . L I A B I L I T IE S . i n c l u d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)NONE ( No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

V A L U E C O D E


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N a m e o f P e r s o n R e p o r t in gPhillips, Thomas W .

D a t e o f R e p o r t04/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a l u e , , r a n s a c t i o n s a n a u d e s t h o s e o / s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)~ N O N E income, assets, or transactions.)eportable

A. B. C. D.. Description of Assets Income dur ing Gross value at end Transactions du ring reporting period(including trust assets}

Place"(X)" af ter eaehassetexempt from prior diselosure

A mo u n t Type (e.g., V alue V alue Type {e,g., D a t e V a l u e ~ G a i n Identity ofCode t div, rent, Code 2 Method : b u y , s e l I ~ mrrddd/yy Code 2 ~ Code 1 buyer /sel ler(A-H~ or ira.) ( J - P ~ Code 3 redemption) (J-P) (A-H) (if~xivate(Q-W) t r a n s a c t i o n )

A In terest J T R e d e e m e d( p a r t )B In terest K T R e d e e m e d(part)A In terest J T

A D i v i d e n d J T

01/08/10 , J A

04/19/10 K B1 . C D-1 ST NATL BANK, ONEIDA , TN2. C D-1 ST NATL BANK, ONEIDA , TN3. A M E R I P R I SE B R O C K E R A G EA C C O U N T ( C A S H E Q U I V A L E N T )4. C B R L G R O U P , IN C .5. A M E X T R U S T C O . - I R A D Int . /Div. N T6. - - A M E R I P R I S E IN S M O N E Y M A R K E T A Interest J T7. - -O A K M A R K E Q & I N C O M E - I A DividendO A K M A R K F U N D S8. - - I S H A R E S B A R C L A Y S A G G R E G A T E B DividendB D F U N D9. - - IS H A R E S M S C I E M E R G I N G A Dividend K TM A R K E T S I N DE X1 0 . - - IS H A R E S S & P 5 0 0 G R O W T H I N D E X B Dividend K TF U N D S1 1 . - - IS H A R E S M S C I E A F E I N D E X F U N D A Dividend K T1 2 . - - IS H A R E S R U S S E L L 1 0 0 0 V A L U E B Dividend K TI N D E X F U N D1 3 . - - IS H A R E S I B O X X H I G H Y I E L D B Dividend K TC O R P O R A T E B O N D F U N D1 4 . - - IS H A R E S L E H M A N 1 - 3 Y E A R C R E D I T B Dividend K TB O N D F U N D1 5 . - - IS H A R E S L E H M A N 3 - 7 Y E A R A DividendT R E A S UR Y B O N D F U N D1 6 . - - S P D R D J W I L S H I R E M I D C A P V A L U E A Dividend K T

ET F1 7 . - - V A N G U A R D M I D - C A P G R O W T H A Dividend K TI N D E X F U N D

Sold 06/15/10 K ASold 12/16/10 L B

Sold 12/16/10 K A

B =$1 ,00i - $2 ,500(S e~ Co lumns B i andD ~l) ~ =$50100i - $ i001000 G =$100,001 - $1;000,000

2. V a lue C odes J = $15,000 or less K = $ 1 5 ~ 0 0 1 - $ 5 0 ~ 0 0 0( See Col umns C | and D3) N =$250,001 - $500,000 O =$500,00! - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = A ppra i sa l R =Cost (Real Estate Only)(S ee Co lumn C2 ) U =B ook Va lue V =Other

C =$2,501 - $5,000H 1 =$I,000,001 - $5 000,000L =$50,001 - $100,000PI =$1,000,001 - $5,000,000P4 =MO re than $50,000,000S =Assessmen tW =Estimatcd

D =$5,001 - $15,000H 2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =Cash Marke t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gPhillips, Thomas W .

D a t e o f R e p o r t04/14/2011

VII. I N V E S T M E N T S a n d T R U S T S - i . . . . e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)NONE ( No reportable income, assets, or transactions.)

A. B. C. D.Incom e during Gross value at end Transactions doting reporting periodDescription of Assets

(including trust assets) reporting period of reporting period(1) (2) (l t (2 ) (1 ) (2 ) .:j(3) (4) (5 )

Place "(X)" after each asset A m oun t T y pe (e . g ., V a l ue Val u e : Type (e.g., Date Val u e Gain Identity ofCode 1 d i v . , r e n t . Code 2 Method buy, sel l~i . , . mm /dd/yy : Code 2 Code 1 buyer /sel lero r i n t . ) (J-P) Code 3 redemption) (J-P) (A -H) (if private(Q-W) transaction)

1 8 . - - C O L U M B I A F U N D S G R O U P A Dividend K T B uy 12/14/10 K

1 9 . - - IS H A R E S L E H M A N 1 - 3 Y R C R E D I T A Dividend K T B uy 12/16/10 K20 . - - I SH A R E S L E H M A N I - 3 Y R C R E D I T A Dividend J T B uy 12/16/10 J

21 . A M E X - T R U S T C O . IR A C Int . /Div. N T22 . - - A M E R I P R I S E IN S M O N E Y M A R K E T A Interest J T23 .24 .25 .26 .

- - I S H A R E S B A R C L A Y S A G G R E G A T E B DividendB D F U N D- - IS H A R E S M S C I E M E R G I N G A DividendM A R K E T S IN D E X- - IS H A R E S S & P 5 0 0 G R O W T H I N D E X A DividendFUND- - IS H A R E S M S C 1 E A F E I N D E X F U N D A Dividend

J

J

J

SoldT

TT

12/16/10 K B

27 . - - IS H A R E S R U S S E L L 1 0 0 0 V A L U E A Dividend J T28 . - - IS H A R E S I B O X X H I G H Y I E L D A Dividend J T29 . - - IS H A R E S L E H M A N 1 - 3 Y E A R C R E D I T A DividendB O N D F U N D30 . - - IS H A R E S L E H M A N 3 - 7 Y E A R A DividendT R E A S UR Y B O N D F U N D31 . - - S P D R D J W I L S H I R E M I D C A P V A L U E A DividendET F32 . - - V A N G U A R D M I D - C A P G R O W T H A DividendI N D E X F U N D33 . - - C O L U M B I A F U N D S G R O U P A Dividend

JJJ

T

Sold 12/16/10TT

T B uy 12/14/10

J A

34 . - - IS H A R E S L E H M A N 1 - 3 Y R C R E D I T A Dividend J T B u y 12/16/10 K

(See Columns B 1 and D4) F =$50;001 - $100,0002 . Va lue Codes J =$15,000 or less

(S ee Co lumns CI and D 3 ) N =$250,001 - $500,000P3 -~1 25,000,001 - $50,000,0003. Value Method Codes Q = A ppra i sa l

(S ee Co lumn C2 ) U =B ook Va lue

B=$1 ,001 - $2 ,500G =$100~001 - $1,000,000K =$15,001 - $50,000O =$500,001 -$1,000,000R =Cost (Real Estate Only)V = O t h e r

C =$2,501 - $5,000 D = $ 5 , 0 0 1 - $ t 5 , 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0HI =$1;000i001 - $5;000,000 H2 =M0re than $5;000,000 .......L = $ 5 0 ~ 0 0 1 ~ $ 1 0 0 i 0 0 0 M =$i00;001 - $2 50,000P I =$1,000,001 = $5,000,000 =$5i000,00i =$25 000,000P4 =Mo re than $50,000,000S =Assessmen t T =Cash Marke tW =Estimated


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N a m e o f P e r s o n R e p o r t i n gPhillips, Thomas W .

D a t e o f R e p o r t04/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, value, t ransact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of f i l ing instruct ions.)NONE ( No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t rust assets)

Place "(X)" after each assetexempt from prior disclosure

B. C. D.I n c o m e d u r i n g G r o s s v a l u e a t e n d " Transac t ions dur ing repor t ing per iodreporting period o f r e p o r t i n g p e r i o d

(1) (2) (1) (2) (1 ) (2) (3) (4) ( )Amount Type (e.g., Value Nalue T y p e ( e . g ., Date Value G a i n I d e n t i . t y o fCode I d i v . , r e n t , C od e 2 M e th o d b u y , s e l l , m r r d d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) O - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (ffprivate(Q-W) t r a n s a c t i o n )

35 . - - F I D E L I T Y A D V I S O R S T R A T E G I CI N C O M E T36 . R V S S T R A T I N C A L L O C - AR I V E R S O U R C E M U T U A L F U N D S37 . G L D S T R A T I N C O M E - A G O L D M A NS A C H S A S S E T M G M T38 . I SH A R E S B A R C L A Y S A G G R E G A T E B DFUND39 . I S H A R E S M S C I E M E R G I N G M A R K E T SINDEX40 . I S H A R E S S & P 5 0 0 G R O W T H I N D E XFUND41 . I S H A R E S M S C I E A F E I N D E X F U N D

A Dividend SoldB Dividend K TA Dividend K T B uyB Dividend SoldA Dividend J TA Dividend K TA Dividend J T

12/16/10

01/11/10 K12/16/10 K

42 . I S H A R E S R U S S E L L 1 0 0 0 V A L U E A Dividend K43 . I S H A R E S I B O X X H I G H Y I E L DC O R P O R A T E B O N D F U N D44 . I S H A R E S L E H M A N 1 - 3 Y E A R C R E D I TB O N D F U N D4 5. G L D S TR A T I NC O M E - A G O LD M A NS A C H S A S S E T M G M T46 . G L D S T R A T I N C O M E - A G O L D M A NS A C H S A S S E T M G M T4 7. G L D S TR A T I NC O M E - A G O LD M A NS A C H S A S S E T M G M T48 . I S H A R E S L E H M A N 3 - 7 Y E A RT R E A S UR Y B O N D F U N D49 . S P D R D J W I L S H I R E M I D C A P V A L U EET F50 . V A N G U A R D M I D - C A P G R O W T H

I N D E X F U N D5 1. C O L UM B IA F UN DS G R OU P A

A Dividend J T

A Dividend J TA Dividend K T Sold 10/18/10 K( p a r t )A Dividend K T Sold 11/16/10 K(part)A Dividend K T Sold 12/16/10 K(part)A Dividend Sold 12/16/10 JA Dividend Sold 12/16/10 JA Dividend Sold 12/16/10 JA Dividend K T B uy 12/14/10 K

A

AA

1, lncom e G ain C odes: A =$1,000 or less(See Columns B 1 and 134) F =$50,001 - $100,0002 . Va lue Codes 3 =$15,000 or less(S ee Co lumns C I and D 3 ) N =$250,001 - $500,000

P3 -$25,000,001 - $50,000,0003. Value Method Codes Q = A ppra i sa l(See C o lunm C 2) U = B ook V a lue

B = $1,001 -$2,500 C = $2,501 -$5 ,000 D =$5,001 -$15,000 E =$15,001 - $50,000G =$ 10 0; 0 01 - $ l,0 0& 0 00 H 1 = $k 0 0 0,0 01 - $ 5; 0 00 ,0 00 H2 =More than $5,000,000 ......K =$~ 5,001-$50,000 .... L ~ $ 5 0 , 0 0 , - $ 1 0 0 , 0 0 0 M = $ J O 0 , O O I - $ 2 5 0 ; 0 0 0 . . .. .0 =$ 50 0,0 01 = $ 1,0 00 ;0 00 P I = $1 ,0 00 ;0 01 - $ 5,0 00 ,0 00 P 2 = $ 5 , 0 0 0 , 0 0 1 ~ $ 2 5 , 0 0 0 , 0 0 0

P4 =Mo re than $50;000,000R =Cost (Real Estate Only) S ~Assessmcn t T =Cash Marke tV =Other W =Estimated


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N a m e o f P e r s o n R e p o r t in gPhil l ips, Thomas W .

Date of Report04/14/2011

V II. INVESTM ENTS and TRUSTS -i .... e , value, t ......ions (Includes those of sp ...... d dependent chi ldren; see pp . 34-60 of f i l ing ins truct ion s . )~-~ NONE (No reportable income, assets, or transactions.)

52 . ISHARES LEHM AN 1-3 YR CREDIT A Dividend K T B uy 12/14/10 K [

I. lnComc Gain Codes: A--S11000 6r i ~ B =$1,001 - $2,500( see Co lum ns BI and[M) F =$50;001 - $100;000 G --$100~001 - $1,000,0002 . Va lue Codes J =$15,000 or less K =$15,001 - $50,000(See C olu mn s C I a nd D 3) N = $2 50 ,0 01 - $ 50 0,0 00 O =$500,001 - $1,000;000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = A ppra i sa l R =Cost (Real Estate Only)(See Column C2) U =B ook Va lue V =O !her

C =$2,501 ~ $5,000 D =$5,001 : $15~000 E =$15,001 -$50,000H1--$1 000 00t .-$5;000~000 H2 ~M~re than $5~000~000 ....L =$50;00 i: $ i001000 M ~ $ i O ~ i O O iP ~ = S l , O O 0 , 0 0 1 - S 5 ; 0 0 0 1 0 0 0 m = S s ; 0 0 6 i 0 0 i S 2 5 ~ 0 ~ ! 0 0 0P4 ~M 0re than $50;000i000S =Asscssmen( : T ~ c a s h M a r k e tw =Estimated


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Name of Person Repor t ingP h i l l ips , Th om as W .

Date of Repor t04/14/2011

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.)Did not teach in 2010.


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Name of Person R epor t ingP h i l li p s , T h o m a s W .

Date of Repor t04/14/2011

IX. CERTIFICATION.I c e r t i fy t h a t a l l i n f o rm 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 in 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 ld r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p le t e t o th e b e s t o f m y k n o w le d g e a n d b e l i e f , a n d th a t a n y i n f o r m a t io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i c a b l e s t a tu to r y

p r o v i s io n s p e r m i t t i n g n o n - d i s c lo su r e .I f u r t h e r c e r ti f 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 c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i th the p r o v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 735 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a ti o n s .

Signature: S/Thom as W . Phillips

N O T E : A N Y I N D IV 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 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 EC 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 . a p p . 1 0 4 )

C o m mi t t e e o n F i n a n c i a l D i s c lo s u r eAd minis t ra t ive Off ice of the Uni ted S ta tes Cou r tsSui te 2-301O n e C o l u mb u s C i r c le , N .E .Wa s h i n g t o n , D . C . 20 5 4 4

thomas w phillips financial disclosure report for 2010

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