james c fox financial disclosure report for 2010

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AO I0Re~. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act of 1978(5 U.S.C . app.., , § 101-111)

I . Person R eport ing ( las t name, f i rs t, middle ini t ial )

FOX, J AM ES C.

4. Ti t le (Art icle I I I judges indicate act ive or senior s tatus;

magistrate judges indicate full- or p art-t ime)

U.S. DISTRICT JUDGE - SENIOR

7. Chambers or Office Address

UNITED STATES DISTRICT COURTP,O. BOX 2143

WILMINGT ON, NC 28402

2. Court or Organ izat ion

U . S . D I ST R I C T C O U R T , N C

3. Date of R e p o r t

05/15/201 I

5a. Report Type (check appropriate type)

] N o mi n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

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.

6. Repor t ing Per iod

01/01/2010

to

12/31 /2010

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,! Com ple te al l parts ,

checking the NONE box for ea ch part where you have n o reportable information. Sign on last page.

I . P O S I T I O N S . (Report i ng i nd i v idua l on ly; seepp . 9 -13 o f f i l ing i nst ruc t ions . )

~ (No reportablepositions.)ON E

POSITION

I. TE STAMENTARY LIMITE D POWE R OF APPOINTME NT T R U S T # I

2. TESTAMENTARY LIMITED POWER OF APPOINTMENT TRUST # 2

3. TRUSTEE FOUNDATION # I

4.

5.

NAM E OF ORG ANIZATION/ENTITY

I I . A G R E E M E N T S . t R e p o r t i n g individual only; see pp. 14-16 of filing instructions.)

~ (No reportable agreements.)ON E

DATE PARTIES AND TERM S




o f 13

N a m e o f P e r s o n R e p o r ti n g

FOX, JAMES C.

Date of R e p o r t

0 5 / 1 5 / 2 0 1 I

I II. N O N - I N V E S T M E N T I N C O M E . ~ e p o n i . g individual andspouse; seepp. 17-24 of filing instructions.)

A. Filer’s Non-Investment Incom e

~ (No reportable income.)ON E non- inves tment

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y our s , no t s pous e ’ s )

B . S p o u s e ’s N o n - l n v e s tm e n t I n c o m e - If you were ma rried daring any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

N O N E (N o reportable n on-investment income.)

DATE SOURCE AND TYPE

I.

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 dependen t children; see pp. 25 -27 of filing instructions.)

N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION

1 .

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED




o f 13

N a m e o f P e r s o n R e p o r t in g

FOX, JAMES C.

D a t e o f R e p o r t

05/15/201 I

V . G I F T S . a n c l . d ~ , t h o s e , o ~ p o . s ~ a n d d e p e n d e n t chi ldren; s e e p p . 2 8 - 3 1 of f i l ing ins truct ions .)

~] N O N E ( N o r ep o r t a b le g i f ts . )

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c t .d e s t h o s e o f s p o a s e and dependent children; see pp. 32-33 of filing instructions.)

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECODE




o f 13


FO X , JA MES C.


05/I 5/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)

N O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s I n c o m e d u r i n g

( in c lu d in g tru s t a sse ts ) rep o rtin g p er io d

O) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div. , rent ,

( A -H ) or int . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(1) (2)V a lu e Va lu e

C o d e 2 Method

(J-P) C o d e 3

( Q - W )

0)Type (e.g.,

buy, se l l ,

r e d e mp t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a t e Value Gain

m m/dd /yy Co de 2 Code 1

(J-P) (A-H)

I d e n t i t y o f

buyer / se l l e r

( i f p r i v a t e

t r ansac t ion)

1 8 . - SCHERING PLOUGH CORP NOTE

BOND

1 9 . - UNITED STATES GASOLINE FUND LP

M F

20 . - W ILLIS LEASE FINANCE CORP

21 . - W ELLS FARGO ADVISORS BANK

DEPOSIT SWEEP M /M

22 . BR OKE R A G E # I

Open 01/01/10 NOTE E

23 . - RESERVE PRIM ARY F UND M /M None Closed 01/29/10 J

24 . - EATON VANCE FUND MF # 2 D Dividend P I T

25 .

26 .

27 .

- FEDERATED CAPITAL BAPPRECIATION EXCHANGE FUND MF

#2

- W ELLS FARGO ADVISORS BANK A

DEPOSIT SWEEP M /M

BROKERAGE # 2

Dividend M T

I n t e r e s t J T Open 01/01 /10 NOTE E

28 . - RESERVE PRIMARY FUND M~ VI None Clo sed 01/29/10 J

29 . - ARCHER DANIELS M IDLNDC O

COMM

3 0. - CA MP B EL L SO U P C O C OM M

A

A

Dividend J T

Divid end J T

31 . - C O N A G R A F O O D S C O C O M M A Dividend J T

32 . - DEL MONTE FOODS CO COMM A Dividend J T

33 . - EATON VANCE FUND MF # I D Dividend PI T

I. In c o me G a i n C o d e s :

(S e e C o l u mn s B I a n d D - l )

2. Va l u e C o d e s

( S ee Co l u m n s CI an d D 3 )

3. V al u e Met ho d Co d e ,

(S e e C o l u mn C 2)

A =$ 1,000 or less

F =$50.001 - $100.0~0

J $15.~00 or l e ss

N =$250,001 - $500,000

P3 =$25.000.001 - $50.000.00~

Q =Appraisal

U =Book Value

B=$1.001 - $2,500

G =$100,001 - $1,000.0~0

K =$15,091 - $50,0(~

O =$50~,001 - $1,0~0,0~0

R =Cost {Real Eslale Only)

V =Other

C =$2,501 ÷ $5,000

H I =$1,000.001 - $5,000,000

L =$50,001 - $10~.00~

P I =$1,000.001 - $5,0~0,000

P4 =More Ihan $50,000.0~0

S =As ~s s mc nl

W = Est im ated

D =$5.001 - $15.000

H2 =Mor~ than $5.000,00~

M -$109.1~1 - $250.000

P2 =$5,000,091 -

T =Cash Market

E =$15,001 - $50,000




of 13


FOX, JAMES C.


05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ncome, va lue , t ransac t ions ( Inc ludes t hose o f spouse and dependent ch i ld ren; see pp . 34 -60 o f f i l i ng i nst ruc tionsO


D e s c r i p ti o n o f A s s e t s Income during

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d is c l o s u r e C o d e 1 d i v . , r e n t ,(A-H) o r i n t . )



(i) (2)

Value Value

C o d e 2 M e t h o d

O ’ P ) C o d e 3

( Q - W )

(I )

Type (e.g.,

buy, sell,

redemption)


(2) (3) (4)

D a t e Value G a i n

m m / d d / y y C o d e 2 C o d e I

(J-P) (A-H)

(5 )I d e n t i t y o f

buyer/seller

( i f p r i v a t e

t r a n s a c t i o n )

34 .

35 .

36 .

37 .

38 .

39 .

40 .

- FEDERATED CAPITAL

APPRE CIATION E XCHANGE FUND MF

#1

- WELLS FARGO ADVISORS BANK

DE POSIT SWE E P M/M

CHESTNUT STREET EXCHANGE FUND

MF# I

VAN KAMPE N AME RICAN E XCHANGEFUND MF # I

CHESTNUT STREET EXCHANGE FUNDM F # 2

VAN KAMPE N AME RICAN E XCHANGE

FUND MF # 2

CITIENERGY LLC

B Dividend M

A I n t e r e s t J

D Dividend O

B Dividend L

D Dividend O

B Dividend M

N o n e J

T

T

T

T

T

T

Open 01/01/10 NOTE E

41 . COACH INCCOMM A Dividend L

42 . FOREXCO, INC.

43 . T R U S T # I

A Distr ibution J

E Dividend O

T

T N OTE A

44 . - ARTIO INTl. EQUITY MF

4 5 . - C AL A MO S M A R K ET N EU T R A L M F

46 . - DODGE & COX INCOME FUND MF

4 7 . - D OD G E & C OX IN T ER N A T IO N AL M F

48 . - DWS SHORT TERM DURATION PLUSFUND MF

49 . - EVERGREEN EQUITY TR INTR INSIC

M F

B u y

B u y

Sold( p a r t )

B u y

M e r ge d

(with line 66)

07 /21 /10 J

07 /21 /10 K

04/01 /10 K

07 /21 /10 K

07 /21 /10 L

D

I. Income Gain Codes: A =$1,000 or less B = $1.0~1 - $2,500 C = $2,501 - $5 ,0~ 0 D =$ 5,001 - $15 .009

(See Colum ns B I and D- I) F :$50,001 - $100,000 G =$100,001 - $ I , 0~ ,000 H I = $ 1, 00 0 ,0 0 1 - $5 ,0 0 0, 00 0 H 2 = Mo re th an $5 ,0 ~ 0. 0~ 0

2. Value Codes J = $15.000 or less K -$ 15,0~1 - $50 .000 L $ 5 0 . 001 - $ 100 . 000 M =$100,0~1 - $250,000

(See Colum ns CI and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,0~0 PI =$1,0~ ,0~1 - $5 ,000,0~0 P2 =$5,000,001 - $25.000.000

P3 =$25,000.1~)1 - $50.00~.0~0 P4 =More than

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

(S¢c Colum n C2) U =Book Value V =Other W - Est im ated

E =$15.001 - $ 5 0 , 0 ( I O




o f 13


FOX, JAMES C.

Date of Report

05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e, va lu e, tra nsa c t i o ns ( I nc lu d es t ho se o f sp o u se a nd d ep end en t c h i l d ren; see p p . 34-60 o f f i l ing i ns t ru c t i o ns . )


D es cr ip tio n o f A sse ts In c o m e d u r in g

( i n c l u d i n g trust assets) r e p o r t in g p e r i o d

(l ) ( 2 )

P l a c e " I X ) " a f te r e a c h a s s e t A m o u n t T y p o ( e .g . ,

e x e m p t f r o m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t , )



(]) (2)

Value Value

C o d e 2 M e t h o d

(J-p) C o d e 3

(1 )

Type (e.g.,

buy, sell,

redemption)

Transact ions dur ing repor t ing per iod

(2) (3) (4)

D a t e Value Gain

m m /d d/ yy Co de 2 Code 1

( J - P ) (A-H)

(5 )

I d e n t i t y o f

buyer/seller

( i f p r i v a t e

t r a n s a c t i o n )

50 .

51 .

52 .

- E V ER G R E E N S T R A T E G I C G R O W T H

MF

E V E R G R E E N N C M U N I C I P A L B O N D

F U N D M F

- EXXON MOBILE CORP COMM

Merged 07/22/I 0

(with line 67)

Sold 04/12 /10

L

L C

53 .

54 .

55 .

56 .

- FEDERATED PRIME OBLIGATIONS

FD M/M

- ING RE AL E STATE FUND MF

- LOOMIS SAYLES BOND FUND MF

Sold 04/01 /10

(part)

B uy 07121110

J

J

- MORGAN STANLE Y INSTL FUND MF

D

Sold 04/12/10 K D

57 .

58 .

59 .

60 .

61 .

62 .

63 .

64 .

65 .

66 .

- MUNDE R MID CAP CORE GROWT HFUND MF

- PIMCO COMMODITY R E AL RE TURNSTRATE GY FD MF

- PIMCO E MERGING MARKE TS BOND

FUND MF

- PIMCO HIGH YIELD FUND MF

- PIMCO LOW D URATION FUND MF

- RS GLOBAL NATURAL RESOURCES

FUND MF

- SSGA FUNDS E ME RGING MK TS MF

- T ROW E PRICE TAX FREE HIGH YLD

FD MF

- V A N G U A R D S H O R T T E R M B O N DI N D E X F U N D M F

- WELL S FARGO ADVISORS INTRIN SICVALUE FUND MF

Sold 04/12/10 K D

B uy 07 /21 /10

B uy 07 /21 /10

B uy 07 /21 /10

Sold 04/01 /10(part)

So ld 0 4 /1 2 /1 0

Bu y 07 /21 /10

Open 07 /21 /10

J

K

J

K

K

K

L

D

C

I. Income Gain Codes: A $1,000 or l e ~s B ~ $ I,001 - $ 2,5 00 C = $2,501 - $5 ,000 D =$5.001 " $15,000

(See Colum ns B I and I)4 ) F = $50,001 - $100,000 G = $100 .001 - $1,000.000 H I = $ 1, 00 0 .0 0 1 - $5 .0 90 .0 0 0 H 2 = Mo re th an $5 ,0 ~ 0. 00 0

2. Value Codes J =$15.000 or less K =$15,001 - $50,000 L = $50.001 - $100,000 M =$100.001 - $250.000

(See Colum ns C I and D3) N =$250.001 - $500,1)00 O = $ 5 00 , 001 - $ 1 , 000 .(~) PI =$1,0~ ,001 - $5 ,000,000 P2 =$5.000,001 - $25,000.000

P3 -$25.00~.001 - $50.000.000 P4 -More than $50.00~.000

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

I s e e Colunm C2) U = B ook Value V =Other W =Estimated




o f 13


FOX, JAMES C.


05/15/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i.co.,e, ,,alu e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


D e s cr ip tio n o f A s se ts In c o m e d u r in g

( inc lud ing t rus t a sse t s ) repor t ing per iod

(I) (2)

Place "(X)" after each as.mr Amount Type (e.g.,

exempt from prior disclosure Code I div. , rent ,

(A - H) or int . )



(I) (2)

Va lu e V a l u e

C o d e 2 Method

(J-P) C o d e 3

( Q - W )

O)Type (e.g.,

buy, se l l ,

r e d e m p t i o n )


(2) (3) (4 )

Date V a l u e G a i n

m m / d d / y y Code2 C o d e I

(J-P) (A-H)

( 5 )I d e n t i t y o f

buyer / sel ler

( i f p riva te

t ransact ion)

67 . - WELLS FAGO ADVISORS STRATEGIC

GROWTH FUND MF

68 . - W E S T P O R T F D S S E L E CT C A P F D M F

Open 07122/10 L

69. TRUST#2 D Dividend 0 NOTE B

70 . - A R T I O I N T L E N E R G Y M F

71.

7 2 .

7 3 .

7 4 .

7 5 .

7 6 .

7 7 .

7 8 .

- C A L A M O S M AR K E T N E U T R A L M F Bu y 07/21/10 J

- CO L U M B IA IN C OM E FU N D M F B u y 07/21/10 K

- DODGE & COX INTNL FUND MF

- DWS SHORT TERM DURATION PLUS

M F

- EVERGREEN EQUITY TR INTRINSICVALUE M F

- F E D E R A T E D P R I M E O B L I G A T I O N S

F D M /M

B uy

(add’l)

Bu y

Sold

(pan)

Merged(with line 99)

03/29/10 J

07/21/10 J

03/29/10 J

07/21/10 K

- G O L D E N L G C O R E V A L U E F D M F

79 .

80 .

81 .

82 .

- GOLDEN SMALL CORE VALUE FUNDM F

- GOLDMAN SACHS LARGE CAP

VALUE FUND MF

- G OLDM AN SACHS GRTH

OPPORTUNITIES FD M F

- ING INTNL REAL ESTATE FD MF

Sold 04/12/10 K

83 . - JANUS MID CAP VALUE FD MF

1. Income Gain Codes: A =$ 1,000 or less B = $ 1,001 - $2 ,500 C = $ 2,501 - $5 ,000 D =$5.001 - $15.000

( see Colunms BI and D 4 ) F =$50,001 - $100,000 G =$100,001 - $1,000.000 H 1 =$1,0OO.001 - $5,000.000 H2 =More than $5.000.0OO

2 . Value Codes J = $15,000 or less K = $15.001 - $50.000 L = $50,0OI - $100.000 M -$100.001 - $250,000

(Se e Columns CI a nd D 3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P I =$ 1. 00 0, 00 1 - $5 .0 00 ,0 00 P 2 -$ 5,0 00 .0 01 - $ 25 .0 00 ,0 00

P3 =$25.000,001 - $50.000.000 P4 =More than $50,000,000

3. Value Method Codes Q = Appraisal R =Cost (Real Estate Only) S =As~cssmcnl T =Ca-,h Market

(See Column C2) U = B ook Value V Olhcr W = Est im ated

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 0 0




o f 13

N a m e o f P e r so n R e p o r t i n g

FOX, JAMES C.


05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e, ,’a lu , , t ra nsa c t i o ns ( I nc lu d es t ho se o f sp o u se a nd d ep end ent c h i l d ren; see p p . 34- 60 o f f i l i ng i ns t ru c t i o ns .)

[-~ NONE (No reportable income, assets, or transactions.)

D es cr ip tio n o f A sse ts In c o m e d u r in g

( inc lud ing t rus t a sse t s ) repor t ing per iod

(i) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div. , rent .

(A-H) or int . )



(I) (2)

Va lu e Va lu e

C o d e 2 Method

( J -P ) C o d e 3

( Q - W )

O)

T y p e (e.g . ,buy, sell,

redemption)


(2) (3) (4)

Date V a l u e Gain

m m / d d / y y C o d e 2 Code I

(J-P) (A-H)

( 5 )Ident i ty of

buyer / sel ler

( i f pr ivate

l r ransaction)

- NUVEEN FLAGSHIP M ULTISTATE TR

M F

- NUVEEN FUNDS HIGH YIELD MUNIBOND M F

Bu y

(add’I)

Sold

03/29/10 J

04/12 /10 K B

87 .

88 .

89 .

90 .

91 .

92 .

- PARNASSUS EQUITY INCOM E FUNDM F

- PIMCO COM M ODITY REAL RETURN

S TRA TEG Y F D M F

Bu y

Bu y

(add’l)

Sold

07 /21 /10 K

03/29/10 J

04/12 /10 K

- PIMCO EMERGING M ARKETS BOND

FUND M F

- PIM CO LOW DURATION FUND MF

B uy

(add’l)

Bu y

03/29/10 J

07 /21 /10 J

- ROYCE VALUE PLUS FD M F

C

93 .

94 .

95 .

96 .

97 .

98 .

- RS GLOB AL NATURAL RESOURCES

FUND M F

- SSGA FDS EMERG ING M KTS FUNDM F

- T ROWE PRICE REAL ESTATE FD M F

- VANGUARD SHORT TERM BOND

INDEX FUND M F

- WELLS FARGO ADVTG ENDEAVOR

SELECT FD M F

Bu y

Sold(pan)

Bu y

S o l d

(part)

Sold

07 /21 /10

03/29/10

07 /21 /10

03/29/I 0

04/12 /10

J

J

J

L

A

A

E

99 . - W ELLS FARGO ADVISORS INTRINSICVALUE FUND M F

100 . F OUNDAT I ON f l 1 Dividend

Open 07/21/10 K

NOTE C

I. Income Gain Codes: A = $1.00g or less B :$ 1 ,001 - $ 2.5 00 C -$ 2 .5 01 - $ 5 .009 D =$5.001 - $15,1)00

(See Columns B 1 and EM) F =$ 50.001 - $ 100.000 G =$ 100.001 - $ 1.000.000 H I -$ 1.000.001 - $ 5,000.000 H2 =More than $ 5 ,000,000

2. Value Codes J =$15.0~O or less K -$15,0~1 - $50.000 L =$50.001 - $100,00~ M =$100.001 - $250.0130

(See Colum ns CI and D3) N =$250.001 - $500,000 O = $5 00 .0 01 - $ 1.0 00 ,0 00 P I = $1 ,0 00 .0 01 - $ 5,0 00 ,0 00 P2 =$5.000,001 - $25,000.000

p3 = $25.000.001 . $50.000.000 P4 More than $ 5 0 .000 .000

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

(See Colum n C2) U = B ook Value V = Other W -Estim ated

E =$15.0~1 - $50.000




o f 13


FOX, JAMES C.

D a t e o f Report

05/I 5/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o me , va lu e, tra nsa c t i o ns ( I nc lu d es t ho se o f sp o u se a nd d ep end en t c h i l d ren; seep p . 34-60 o f f i l ing i ns t ru c t i o ns . )


Description of Assets Incom e during

(including trust assets) reporting period

(1) (2)

Place "(X)" after each asset Ai no unt T ype (e.g .,

exempt from prior disclosure Code I div., rent,

(A-H) o r i n t . )

Gross value at end

of reporting period

(i) (~)

Value Value

Code 2 Method

( J - P ) Code 3

(Q-W)

(i )Type (e.g.,

buy, sell,

redemption)


(2) (3) (4)

D a t e Value Gain

mm/dd/yy Co d e 2 Code I

(J-P) (A-H)

( 5 )Identity of

buyer/seller

(if private

transaction)

101. - B B & T C O R P C O M M

102. - B P A M O C O C O M M

103. - CONSOLIDATED EDISON B OND Redeemed 05/03/I 0 J

104. - D U K E E N E R G Y C O R P N E W C O M M

1 0 5 . - E L I L I L L Y & C O C O M M

106.

107.

108.

109.

I I 0 .

- FAIRPOINT COMMUNICATIONS INC

COMM

- F R O N T I E R C O M M U N I C A T I O N S C O R P

- IDEARC INC COMM (Y)

Spinoff 07/02/10

( from l ine 114)

-NUVEEN MULTI-STRATEGY INCOME& GRTH FUND MF

- P F I Z ER I NC C OM M

NOT E D

111. - P I ED M O N T N A T U R A L G A S C O M M

112. - R E S E R V E P R I M A R Y F U N D M / M Closed 01/29/10 J

113. - SPE CTRA E NE RGY CORP COMM

114 . - V ER I ZON COM M U N I CATI ON S COM M

1 1 5 . -VERIZONMARYLANDBOND

116. - W E L L S F A R G O C O C O M M

117. - W E L L S F A R G O A D V I S O R S B A N K

DEP OS I T S WEEP M /M

Open 01/01/10 L NOT E E

I. Income Gain Codes: A =$1.000 or less B -$ 1 ,001 - $2 .5 00 C = $2,501 - $ 5,000 D =$ 5.001 - $15.000

(See Colunms B I and D-l) F $50.001 - $100.000 G -$100,001 - $1.0OO,0OO HI =$1,000,001 - $5,000.0OO H2 =More than $5,000.000

2. Value Codes J -$15,000 or less K $ 15 , 001 - $ 5 0 . 0~0 L =$50,001 - $100,000 M =$100,001 - $250.000

(See Colum ns CI and D3) N -$250 .001 - $ 500 .000 O = $500 ,001 - $1,000,000 PI = $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

3. Value Method Codes O =Apprai:,al R =Cost (Real Estate Only) S =Assessment T = Cash M arke t

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

E =$15,001 - $50,000




of" 13


FOX, JAMES C.


0 5 / I 5 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - inco,.e, ,.o~.e, transactions [Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)


A. B. C.Description of Assets Incom e during G ross value at end

(including trust assets) reporting period of reporting p~riod

0 ) ( 2 ) O) (2)

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

exempt from prior disclosure Code I div., rent, Code 2 Method

(A-H) o r i n t . ) (J-P) Code 3

(Q-W)

(x)Type (e.g.,

buy, se l l ,

r e d e m p t i o n )


( 2 ) ( 3 ) (4)

D a t e Value Gain

m m /dd/yy Code 2 Code I

( l-P) ( A - H )

I d e n t i t y o f

buyer / sel ler

( i f p r i v a t e

t r ansac t ion)

118. - W ILLIS LEASE FINANCE CORP

COMM

119.

I. Income Gain Codes: A = $1 ,000 or less B = $1 ,001 - $2 ,500 C = $2 ,5 01 - $5 ,000 D = $5,001 - $15 ,000

(See Columns B I and [M ) F =$50.001 - $ I 0~.000 G =$ 100,001 - $ 1.00O,00~ H I =$ 1.000.0~ I - $5,0(X),0~) H 2=

More than $5,000,000

2. Value Codes J = $ 15 .00) o r less K =$15,001 - $50,000 L =$50,001 - $100,0~0 M =$100,001 - $250.0~0

{Scc Columns C I and D3) N =$250,001 - $500,0~O O =$50~.001 - $1,0{)0,0t30 PI =$1.000.O01 - $5 ,000,000 P 2 =$5 ,000,001 - $25 ,000,000

P3 =$25,00~,001 - $50.000,000 P4 =More than $50,0~).000

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

(Scc Column C2) U -Book Va lue V =Other W = Est im ated

E = $ 1 5 , 0 0 1 - 5 5 0 , 0 0 0




of 13


FOX, JAMES C.


05/ I .5 /2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a, dica,,ra, of report.)

N O T E A - Under the dis tribut ive provisions ofthe Tust # 1, the income ofsaid t rust , within the sole and absolute discret ion of the corporate t rustee thereof, may

be distributed in whole or in part to members. The class of potent ial dis tributees may be increased by the birth ofaddit ional members and by future marriageof me mbers. The c orporate t rustee, in i ts sole discret ion, may distribute al l or any port ion of the corpus ofsaid t rust to any one or m ore such beneficiaries i fneccessary to meet the reasonable needs ofsuch beneficiary. James C. Fox was a co-mastee unt i l his resignat ion and appointment of a successor t rustee on August16 , 2006 . James C. Fox has a te s tamenta ry l imi ted pow er of appointment w i th rega rd to the corpus of the t rus t .

N O T E B - Under the dis tribut ive provisions of the Tust # 2, the incom e of said t rust , within the sole and absolute discret ion of the corporate t rustee thereof, maybe distributed in whole o r in part to mem bers. The class of potent ial dis tributees m ay be increased by the birth ofaddit ional mem bers and by future m arriageof me mbers. The c orporate t rustee, in i ts sole discret ion, may distribute al l or any port ion of the corpus of said t rust to any one or m ore such beneficiaries i fneccessary to meet the reasonable needs ofsuch beneficiary. James C. Fox was a co-trustee unt i l his resignat ion and appointment of a successor t rustee on August16 , 2006 . James C. Fox has a te s tamenta ry l imi ted pow er of appointment w i th rega rd to the corpus of the m ust .

NOTE C - Jame s C. Fox i s a c o - t r us t e e o f t h e F ound a t i on # I , a t r us t c r e a t e d a nd ope r a t e d f o r c h a r i t a b le , r e l ig i ous , s c i e n t i f ic a nd e duc a t i ona l pu r pose s . 1

NOTE D - Bankruptcy: wor thless 12 /31 /09 .

NOTE E - Wel l s Fargo Advi so rs Bank Depos i t Sweeps began in D ecember 2009 bu t were acc iden ta l ly om i t ted f rom the 2009 Disc losu re S ta t emen t .

NOTE F - Abbrevia t ions used in the desc r ip t ions of a sse ts , Pa r t VI I inc lude the fo l lowing: "COMM" des igna tes com mon s tock; "PREF" des igna tes pre fe r reds tock; "M/M" des igna tes a cash equiva lent money marke t account ; "BOND " des igna tes a corpora te bond; "MUN I" des igna tes a tax exempt bond; and "MF"

designates a mutual fund.




of 13

Name of Person Repo rt ing

FOX, JAMES C.

Date of Report

05/15/2011

IX. CER TIFICATION.

1 cer t i f y th a t a l l in f o r mat io n g iv en abo v e ( in c lu d in g in f o r mat io n p er ta in in g to my sp o u se an d min o r o r d ep en d en t ch i ld r en , i f an y) i s

a c c ura t e , t rue , a nd c om pl e t e t o t he be s t o f my kno wl e dg e a nd be l i e f , a nd t ha t a ny i n fo rma t i on no t r e por t e d wa s w i t hhe ld be c a use i t me t a pp l i c a bl e s t a t u t o ryprov i s i ons pe rmi t t i ng non-d i sc l osure .

I fu r t he r c e r ti fy tha t e a rne d i nc ome f rom ou t s i de e m pl oyme n t a nd honora r i a a nd t he a c c e p t a nc e o f g i f t s whi c h ha ve be e n re por t e d a re i n

c om pl i a nc e wi t h t he p rov i s i ons o f 5 U. S . C. a pp . § 5 01 e t . se q , 5 U. S . C. § 735 3 , a nd Jud i c i a l Confe re nc e r e g u l a t i ons .

Signatu re: S/JAM ES C. FOX

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

Committee on Financ ia l Disc losureAdm inis t ra t ive Off ice of the U nited Sta tes Cour tsSui te 2-301One Colum bus Circle , N .E.W a s hin g to n , D . C . 20 54 4

james c fox financial disclosure report for 2010

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