morris s arnold financial disclosure report for 2010

8/3/2019 Morris S Arnold Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report 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 )A rno ld , Morr i s S .

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

J u d g e - - S e n io r

7. Chambers or Off ice Address600 ~Vest Capitol Ave. , Suite A414Lit t le Rock , AR 72201

2. Court or O rganizat ion8th U S Circuit Ct of Appeals

3. Date of Report05/05/2011

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

R e v i e w i n g O f f i c e r D a t e

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : 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.

I . P O S I T I O N S . (Re, o,ting individual only; seepp. 9-13 of filing instructions.)~] N O N E (No reportable positions.)

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

II . AGREEMENTS. ( R e p o r t i n g individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r s on R e p o r t i n gArnold, Morris S.

D a t e o f R e p o r t05/05/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ~ R c p o r t i n g individual andspouse; s e e p p . 1 7 - 2 4 of f!ling instructions.)A. Filers Non-Investm ent Income~-] (No repor table income. )ONE non-investment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )1.2010 U niv e rsity o f Arkan sas- -au thors ro yalties $1 ,1 83.002.3.

4.

B . S p o u s e s N o n - I n ve s tm e n t I n c o m e - l f you were m arried during any port ion of the report ing year , complete this sect ion.(Dollar am ount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1.

2.

3.

4.

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

N O N E (N o reportable reimbursements.)SOURCE DATES LOCATION

1.2.

3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r so n R e p o r t i n gArnold, Morris S.

Date of Report05/05/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instruetions.)N O N E (N o reportable gifts.)

SOURCE DESCRIPTION1.2.

3.4.

5.

VALUE

V I . L I A B I L I T I E S . a . c lu d e s th o s e o S s p o u s e u.d dependen t children; see pp. 32-33 of filing instructions.)~ N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t in gArnold, Morris S.


V I I . I N V E S T M E N T S a n d T R U S T S - income, vulue , transactions (Includes those of spouse and de pendent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s 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 T r a n s a c t o n s d u r i n g r e p o r t in g p e r i o d( includ ing t rus t a s se t s ) r epo r t ing pe r iod of repor t ing per iod

I i) (2) (1) (2)Amount Type (e.g., V a lu e V a lu e Type (e.g.,C o d e 1 d iv . , r en t , C o d e 2 M e :h o d b u y , s e ll ,(A-H) or int.) ( J - P ) C o d e 3 redemption)( Q - W )

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

D a t e Value Gain Identity ofmm/dd/yy C 0d~ 2 C ode 1 buyer/seller

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

Delta Trust and Bank A I n t e r e s t J T

4.5.

6.

MINERAL INTERESTS--VARIOUSL A N D S 1 N T E X A S :Southland Champ ion Mineral, MorganKeegan, Lufkin, TXGrayburg Mineral Account, MorganKeegan, Lufkin TX

E Royalty L WB Royalty K W

7. S E C U R I T IE S H E L D B Y D E L T A T R U S TI N V E S T M E N T S - - A c c ou n t 18. Wachovia Bank I n t e r e s t J T9. No r fo lk Sou the rn B Dividend L T10. Wndstream A D i v i d e n d J T

1 1 .

1 2 . S E C U R I T IE S H E L D B Y D E L T A T R U S TI N V E S T M E N T S - - A c c ou n t 21 3 . W achovia Bank--from Prim e Cash Series A I n t e r e s t J T1 4 . G e ne ra l E le c t ri c com pa ny A Dividend J T1 5 . Proc tor and Gamble A Dividend J T1 6 . Dom inion Resou r sce lnc Uppe r Decs A Dividend J T1 7 . Calamos S t r a teg ic To ta l Re tu rn Fu nd A D i v i d e n d

1. Incom e Gain C odes: A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5;000(See Colum ns B 1 and 134) F =$50 001 - $ 100,000 G =$ 100,00 l - $1 ,000,000 H 1 =$1,000,001 - $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ I00,000(See Columns C 1 and D3) N =$250,001 - $500,000 O = $500,001 -$1,000,000 PI =$ t;000,001 - $5,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50;000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment(S ee Co lu mn C2 ) U = Book Valu e V = Oth er W = Es t ima ted

D =$5,001 -$15,000 E =$15,001- $50,000H2 =More than $5,000,000M=$100,001 -$250,000P2 =$5,000,001- $25,000,000T = Cash Mark e t


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FINANCIAL DISCLOSURE REPORTPage 5 of 10 Ia m e o f P e r s o n R e p o r t in gArnold, Morris S. D a t e o f R e p o r t05105/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 o.filling instructio,s.)N O N E ( N o 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 r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

Income duringr e p o r t i n g p e r i o d( 1 ) ( 2 )

A m o u n t T y p e ( e . g . ,Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d Transact o ia s dur ing r epo r t ing pe r iodof repor t ing per iod(1) (2) ( 1 ) (2) (3) (4) (5 )Value Value T y p e ( e . g ,, D a t e Value Gain I d e m i _ t y o fC o d e 2 Method b : u y ~ : s ~ l l , m m / d d / y y Cod~ 2 " Code 1 buyer/seller

( J - P ) C o d e 3 redemption) ( J - P ) ( A - H ) ( i t ~ p r i v a t e( Q - W ) t r a n s a c t i o n )

1 8 . Winds t r eam A D i v i d e n d J1 9 . Wells Fa rgo A D i v i d e n d J20 . Pu l a s k i C t y A R, A R C h i l d H o s p 3 .3% b o n d A Interest J21 .

22 . SECURITIES HELD BY TIAA-CREF #323 . Money Market A Interest24 . B la ck r o ck U S O p p o r tu n i t ie s F d A D i v i d e n d

JJ

TT Bu y 03/26/10 J

25 . Black ro ck Cap i ta l Ap p r Fun d A D i v i d e n d26 . Cohen & S tee rs Rea l ty Fd A D i v i d e n d27 . Colu m bia Mid Cap Va lu e Fd A D i v i d e n d

J

J

TT S old 03/22/10 J A Part ial sale

(part)S o l d 03/22/10 J A

28 . N o r t h e m S m a l l C a p V a l u e F d A D i v i d e n d J29 . Pionee r Cu l len Va lu e Fu nd C1 A A D i v i d e n d J30 . T R ow e Pr i ce I n tl G row th & I ncome Fd A D i v i d e n d J

31 . T R ow e Pr i ce T a x Fre e Income Fd A D i v i d e n d

32 . R o y c e V a l u e P l u s F u n d S v c C l a s s A D i v i d e n d

33 .

JJ

T

TSo ld 03/22/1 0 J A Partia l sale(part)

TIAA CREF In s t Mid Cap Value Fd A D i v i d e n d J Bu y 03/24/10 J34 . Tho rn burg L td Term Mun i Fun d A D i v i d e n d J

1. Incom e Gain C odes: A =$1 ,000 or less B =$1,001 - $2,500(See Columns B 1 and D4) F =$50,001 - $ t00,000 O =$100,001 - $1,000,000

2. Value Codes J = $15 ,000 or less K =$15,001 - $50,000(S ee Co lu mns CI and D3) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee Co lu mn C2 ) U = Book Valu e V Othcr

C = $2,501 - $5~000 D =$5,001 - $ t 5,000 E = $15,001 - $50,000H 1 =$1,000,001 - $5,000,000 H2 =More thalt $5,000,000L =$50,001 - $100,000 M =$I 00 001 ~ $250i000P 1 =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5i 00 0, 00 1 ~ $2 5 0 00 00 0P4 =More than $50 000 000S =Assessment T =Cash M ar ketW = Est ima ted


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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 depe ndent children; see pp. 34-60 o f filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( includ ing t rus t a s se t s ) r epo r t ing pe r iod

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

exempt from prior disclosure C o d e 1 div . . ren t .( A - H ) or in t . )

G r o s s v a l u e a t e n d Transact ions dur ing r epo r t ing pe r iodof r epor t i ng per i od_

(1) (2) (1) (2) (3) " (4) (5 )V a l u e Value Type (e.g., D a t e Value Gai n Identity of

C o d e 2 M e t h o d buy, selt~ , ;.~m/dd!yy C o d e 2 C o de 1 b u y e r/se lle r( j_ p) (J-P) ( A - H ) (lprwate

t r ansact ion )

35 .

36. SECURITIES HELD B Y DELTA TRUST A D i v i d e n dINVESTMENTS 1 NC- - IRA #4 K

37 . -Wachovia Bank--38 . -Dillards39. -Mattel Inc4 0. - W el ls Far go Co mp an y41 . -MFS Co re Equi ty Fun d Clas s B4 2. - Ga b el li E qu i ty T r u st In c .43 . -Gabe! l i Hea l thca re & W el lness44 . -L iber ty Al l Star Equ i ty Fun d45 .46 . SECURITIES HELD BY TIAA-CREF-IRA B Dividend L#547 . -Mo n ey market fun d48 . -Chev ron Texaco49. -Exxon Mobil

50. -Intel

51 . - P e p s i c o I n c .

1 , Incom e Ga in Codes : A =$1;000 or less B =$1,001 : $2 500(See Columns B 1 and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,0002. Value Codes J = $15 ,000 or less K =$15,001 - $50,000(See Columns C 1 and D3) N = $250,001 - $500,000 O =$500,001 = $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee Co lu mn C2 ) U = Book Valu e V = Oth er

C =$2, 50 | -$5, 000 D =$5,001 -$15,000H 1 =$1 000 001 - $5 000;000 H2 gM0re than $5~000,000L ~$50;001 - $100~000 M =$i00,001 ~ $250;000pI ~$i~000;001 , $5i000,000 P2 =$5,000,001- $25,000,000P4 =More than $50 000 000 T = Cash Mark e tS =AssessmentW = Es t ima ted

E =$15,001 - $50,000


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D a t e o f R e p o r t05/05/2011

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 a . e t a a e s those of spouse and d ependent children; seepp. 34 -60 of filing instructions.)[] N O N E ( N o reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e du ring Gross value at end(including trust assets) " reporting period 0freporting period

(1) (2) (1) (2) (1 ) (2) (3)Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., D a t e V al ue

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell , m m /d d/y y C od e 2(A-H) o r i n t . ) ( J ~ P ) Code 3 redemption) (J-P)(Q-W)

Transactions during reporung period(4 ) (5)

Gain Identity ofCode 1 buyer/seller(A-H) (if private

t r a n s a e t i o n l

52 . -W al Mart Stores53 . - W a l m a r t D e M e x i c o S a V O r d54 .

55 . SECURITIES HELD BY TIAA-CREFF-IR A #656 . -Mo n ey market fun d57 . -Amer ican Centu ry Inf la tion Bond Fd58 . -Blackrock U. S. Opportunities Fd59 . -B lack ro ck Cap i ta l Ap p r Fun d60 . - Cohen & S tee r s Rea l ty Sha re s Fd61 . - Colu mbia Mid Cap Va lu e Fu nd62 . - Nor the rn Sma l l Cap Va lu e Fu nd63 . - Pimco To ta l Return Fun d

C Dividend L T

B u y 03/26/10

Sold 03/23/I 0 J A

64. -Pioneer Cu l len Value Fund

65 . -T R owe Pr ice In t l Growth & Income66 . - Royce Va lu e Plu s Fu nd

67 . -TIAA CREF In s t Mid Cap Value Fun d B uy 03/26/10 J68 .

1. Income Gain Codes!(S ee Co lu mns Bi and 1 )4 )

2.Value Codes(S ee Co lu mns CI and D3)

3.Value Method Codes(S ee Co lu mn C2 )

A ~ $ i i 0 0 o 0 t i~ s ~ : .... B = $ i ; oo i ~ $ 2 , 5 0 0F = $50,001 - $100,000 G = $100,001 - $1 ,000,000J = $15 ,000 or less K = $15,001 - $50,000N =$ 250,001 - $5 00,000 O --$500,001 . $ I ;000,000P3 =$25,000,001 - $50,000,000Q =Appraisal R =Cost (Real Estate Only)U = Book Valu e V --Other

C =$2,501 - $5,000 D =$5,001 - $15,000H 1 =$ i ,000,001 - $5;000,000 H2 =More than $5,000,000L =$50;001 - $100,000 M = $100,001 - $250,000P 1 =$i ;000,001 - $5;000,000 P2 =$5;000,001 - $25,000,000P4 =More than $50;000,000S =Assessment T = Cash Mark e tW = Es t ima ted

E =$15,001 - $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. DDescription of Assets Incom e du ring Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period(t) (2 ) (1) (21 (1 ) (2) (3) (4) (5 )

Place "(X)" after each asset Amount Type (e.g., Value Va l u e Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code 1 div.. rent. Code 2 Method buy, sel l , m rr dd d/y y C od e 2 Code 1 buyer/seller(A-H) o r i n t . ) 0-P) Code 3 redemption) ( J - P ) (A-H) ( i f p r i v a t e(Q-W) t r a n s a c t i o n )

69. Teachers Ins & Annuity Assn Col lege F I n t e r e s t ORetirement Eq Fund # 770 .

71. TIAA-CREF (Retirement) # 872 .

I n t e r e s t K T

73. ING Select Plus Deferred Variable Annu ity A I n t e r e s t J T

i . In~0me Ga n C ddEg l . . . .. . . . A =$1~000 or less ...... B =$1,001 - $2,500(S ee Co lu mns B I and D4) F =$50,001 - $100,000 G =$100,001 - $1 ,000,000

2. Value Codes J = $15,000 or less K -$15,001 - $50,000(S ee Co lu mns C1 and D3) N =$250,001 - $500,000 O -$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R -Cost (Real Estate Only)(S ee Co lu mn C2 ) U = Book Valu e V = Oth er

C =$2,501 - $5,000H 1 = $1,000,001 - $5,000,000L =$50,001 - $ 100,000P I =$1,000,001 - $5,000,000P4 -More than $ 50,000,000S =AssessmentW = Es t ima ted

D =$5,001- $15,000H2 =More ~an $5,000,000M= $100 ,001- $2 50 ,000P2 =$5,000,00t - $25,000,000T = Cash Mark e t

E =$15,001- $50,000


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Nam e of Person Repor t ingArnold, Morris S.

Date of Repor t05/05/201 l

VIII. ADD ITIONAL INFORMATION O R EX PLAN ATIONS. (lndicate part of report.)


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Nam e of Person Report ingA r n o ld , M o r r i s S .


IX . CERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n 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 l d r e n , i f a n y ) i s

a ccu r a t e , t r u e , a n d co m p le t e t o t h e b e s t o f m y kn 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 ca u se i t m e t a p p l i c a b l e s t a t u to r yp 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 .1 f u r t h e r c e r t if 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 ts 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 n

co m p l i a n ce w i th th e 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 . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n ce r e g u l a t io n s .

Signature: S/M orris S. Arnold

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I LF U L L Y F A L S IF IE S O R F A L L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA 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 04 )

Co 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 eAdm inis t ra tive Off ice of the Uni ted Sta tes Cou r tsSui te 2-301O n e Co l um b us C i r c le , N . E .W a s h i n g t o n , D . C . 20 54 4

morris s arnold financial disclosure report for 2010

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