nncial disclosue report report itequlred by the ethics c ... · 6. sun ife ssne o. of canada,...
TRANSCRIPT
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POSITION NAMEOFORGANJZATIQN/ENTITY
PARTIES AND TERMS
AO-JO c··· 1/2004
FINANCIAL DISCLOSURE REPORT
I. Person Reporting (Last name, First name, Middle initial)
Wilson, Samuel G
4. Title (Article Ill Judges indicate active or senior status; magistrate judges indicate full- or part-time)
Active U.S. District Judge
Calendar Year 2003
2. Court or Organization
U.S.Dist. Ct.Western Dist. VA
S. ReportType (check a.Ppropriate type)
Q Nomination, Date
Q Initial @ Am1ual 0 Final
Report Itequlred by the Ethics In Government Act of 1978
(5 U.S.C. app. §§ 101-111) ·
3. Date of Report
6/412004
6. Reporting Period
111/2003
to
12131/2003
7. Chambers or Office Address
P. 0. Box 2421
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.
Roanoke, Virginia 24010-2421 Reviewing Officer Date
IMPORTANT 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.
I. POSffiONS. {Reporting individual only; see pp. 9-13 of filing instructions)
D NONE - (No reportable positions.)
I. Member Bd. Of Visitors Wake Forest University School of law
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructions)
NONE - (No reportable agreements.)
I.
SOURCE AND TYPE GROSS INCOME
SOURCE AND TYPE
SOUBCE DEOCRIJ>TION
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Wilson, Samuel G
ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 of filing instructions)
A. Filer's Non-Investment Incom
NONE - (No reportable non-investment income.)
I.
Date of Report
6/412004
(yours, not spouse's)
B. Spouse's Non-Investment lncom - (Ifyou were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)
D NONE (No reportable non-investment income.) -
1. 2003 Roanoke City School Board Teaching Salary
N. REIMBURSEMENTS - transportation, lodging, food. entertainment.
(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)
NONE (No such reportable reimbursements.) -
1.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION VALVE CODE
FINANCIAL DISCLOSURE REPORT NameofPersonReporting
Wilson, Samuel G
V. GIFTS. (Includes those to spouse and dependent children. See p p. 28-3 l of instructions.)
NONE - (No such reportable gifts.)
l.
Date of Report
6/412004
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
NONE (No reportable liabilities.) -
l.
Code l
D
FINANCIAL DISCLOSURE REPORT
Page 1of4 Name of Person Reporting Wilson, Samuel G
Date of Report 6/412004
VII. INVBS TM:ENTS and TRUSTS - income, value, transcatio11s (includes 1hose ofdie spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. Income during
Description of Assets reporting period (including trust assets)
(!) (2)
Place "(X)" after each asset exempt Amount Type (e.g.from prior disclosure Code I div. rent. or
(A-H) int.)
DNONE (No reponablc iDcome, assets, or transactions)
I. The New Economy Fund Shares in Mutual Fund A Dividend -
2. Treasury Securities - c Interest
3. Treasury Securities Series Q- D Interest
4. Condominium.Myrtle Beach. c Rent
s. Checking &Savings Accts. First Citizens Bank A Interest
6. Sun Life Assurance Co. of Canada, PolicYll A Interest
7. First Citizens Bank Checking Acct. Roanoke. A Interest
8. Capital World Grouwth & Income Fund, Shares c Dividend -
9. Smallcap World Fund, Shares. A Dividend
10. Savings Account First Citizens Bank- A Interest
11. Capital World Growth & Income Fund, Shares . c Dividend
12. Smallcap World Fund, Shares. c Dividend
13. Vodafone/Airtouch Stock. A Dividend
14. Merck & Co., Inc., Stock. A Dividend
IS. Motorola, Inc., Stock . A Dividend
16. Anderson & Strudwick, Inc. (Brokerage Acct • A Interest
17. AT&T, Stock. None
18. Vodafone/ Airtouch Stock - A Dividend
1. Income/Gain Codes: A - Sl,000 or less B = $1,001-$2.SOO
c. Gross value at end of reporting period
(I) (2)
Value Value Code2 Method (1-P) Code3
(Q-W)
M T
L T
L T
M w
J T
J T
J T
L T
L. T
J T
L T
L T
1 T
J T
J T
] T
J T
] T
c = S2,SOl-$5,000
D. Transactions during reporting period
- ---
(I) If not ex t from disclosw-c
(2) (3) •(4) (S) Type (e.g. Date: Value Gain Identity of buy, sci Month- Code2 buyer/seller merger, Day (J-P) (A-H) (if private redemption) tnnsaction)
.
Sell 12/l J B
Pt.Sell 1128 ] B
= $5,001-$15,000 E = $15,001-$50,000
(See ColwuosBl and D4) F = $50,001-$100,000 G = SIClO,OOl-Sl.000,000 HI = SJ,000,001-$5.000,000 lU =More than SS,000,000
= $15,000 or less K. =S!S,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000 2. Value Codes: J = $500,001-$1,000,000 Pl = $],000,001-$5,000,000 P2 = $5.000,001-S2S,OOO,OOO (See Columns Cl and D3) N = $250,000-SSOO,OOO 0
P3 $25.000,00\-$50,000,000 J>4 = $More than $50,000,000
3. Value Method Codes Q = Appraisal R =Cost {Real Estate Only) s = Assessment T = Casl•'Marl<et "' - t..... ; ......... , A
lfnot
•
-
(A-ti)
c. Transactions during reporting period · ··
(l)
33.
35.
(4) (S)
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page2of4 Wilson, Samuel G 61412004
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes tltose oftbe spouse and dependent children. See pp. 34-57 of filing instructious.)
A. B. D. Income during Gross value at end of
Description of Assets reporting period reporting period (including UUSI assets)
eic:empt tiom disclosure(l) (2) (2) (1) (2) (3)
Place "(X)" after eacb asset cxeiq>t Value Value Type (e.g. Date:AIOOm1t Type (e.g. Value Gain Identity of fromprior disclosure Code 2 Method buy, sell, Month-Code! div. rent. or Code2 Code l buyer/seller
19.
20.
Comcast Corp., Stock ..
Coming, Inc., Stock -
(A-H) int.)
None
None
(J-P)
J
J
Code3 (Q-W)
T
T
merger, rederq:ition)
Sell
Day
4/29
(J-P)
J B
(ifprivate tmnsaction)
-
21. E.I.. Dupont de nemours, Stock - A Dividend J T Sell 8/28 J B
22. Merck & Co., Inc.Stock - A Dividend J T Pt. Sell 113 J B
23. Sell 10/23 J B
24. Pepsico, Inc., Stock - A Dividend J T
25. Sun Microsystems, Stock - None J T
26 . Anderson & Strudwick, Inc. (Brokerage Account) A Interest J T
27. AT&T, Stock- None J T
28. Vodafone/Airtouch Stock - A Dividend J T Sell 1128 J B
29. Comcast Corp., Stock - A Dividend J T Sell 4129 J c
30. Coming, Inc., Stoc None J T Sell 1211 J A
31. E.L Dupont de nemours, Stock - A Dividend J T Sell 8/6 J- B
32. Eastman Kodak. stock9 A Dividend J T Sell 7/16 J A
Merck & Co., Inc., Stock - A Dividend J T Sell 8/6 I c
cPepsico, Inc., StocJc9 A Dividend J s Sell 1211 J34.
36.
Sun Microsystems, Stock . None J T Pt. Sell 8/6 J c
-
Sell 1211 J D
!. Income/Gain Codes: A = $1,000 or less B = Sl,001-$2,500 c = $2, 501-$5, 000 D = $5,001-$15,000 E = $15,001-SS0, 000
(See Colunms Bl and D4) F = $50,00J-$100,000 G Sl00,001-Sl,000,000 HI = $1,000,001-SS,000,000 H2 =More than $5,000,000
2. Value Codes: = $15,000 or less K = $15,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000
(See Colwuns CJ and D3) N = $250,000-$500,000 0 = $500,CXJ\-$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
3. Valuo Method Codes Q Appraisal R = Cost (Real Estate Only) S = Assessment T = Caslt'Market
W = E<timated
f
(3) (4)
E
(1)
merger,
37.
39.
4/29
49.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 3 of 4 Wilson, Samuel G 61412004
- income, value, transcations (includes diose of the spouse and dependeltt children. See pp. 34-57 offiling instructi011S.) VII. INVESTMENTS and TRUSTS
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reponiog period (including trust assets)
r not excqit from disclosure (2) (1) (2) (I) (2) (S)
Place "(X)" after each asset ex t Type (e.g.Amow11 Type (e.g. Value Value Date: Value Gain Identity of fromprior disclosure buy, sell, Code 1 div. rent or Code2 Medlod Month- Code2 Codel buyer/seller
(A-H) int.) (J-P) Code3 Day (J-P). (A-H) (ifprivate redemption)(Q-W) transaction)
Anderson & Strudwick, Inc. (Brokerage Acct) - A Interest J T
38. Lucent Technologies, Inc .• None J T
Lucent Technologies, Inc .• None J T
40. Lucent Technologies, Inc. - None J T
41. NCR Corp .• None J T
42. Covance, Inc .• None J T Sell 10/23 J B
43. Quest Diagnostic, Inc. - None J T Pt. Sell 8/6 J c
44. Quest Diagnostic, Inc .• None J T
4S. Yum Brands, Inc. None J
-
T Sell J B
46. Yum Brands, Inc. None J T Sell 7116 J B
47. Avaya.Inc. None J T
48. First Citizens IRA
so.
Europacific Growth Fund A Dividend J T -
·Growth Fund of America A Dividend J T
SI. Harford Small Co. Fund A Dividend J T
S2. Hartfund Stock Fund A Dividend J T
S3. Mutual Series Qualified Fund A Dividend J T
S4. Putnam International Growth Fund A Dividend J T Sell 11n J A
J • lncome/Gain Cock-s:
(See Colunms Bl and 04)
2. Value Codes:
(See Colw11ns Cl and 03)
3. Value Method Code'
A = $1,000 or less
F = SS0,001-$100.000
= Sl 5,000 or less
N = $250,000-$500,000
P3 = $25,000,001-$50,000,000
Q =Appraisal
" _n .......1, \1.,1 .....
B
G
K
0
R
v
= $1,001-$2.500
= $100,001-$1,000,000
= $15,001-$50,000
= $500.IJOl-Sl.000.000
=Cost (Real Eslate Only)
=Oilier
c
HI
L
Pl
P4
s
w
= $2,501-$5,000
= Sl,000.001-$5,000,000
= $S0,001-SIOO.OOO
= $1,000,001-S5,000,000
= $More than $50,000,000
= Assessment
= Estimated
D =$5,001-$15,000
H2 =More than $5,000,000
M = $100,001-$:!50.000
P2 = $5,000,001-S25,000,000
T = Caslt'MalXet
= $15,001-$50,000
I
B
T
c
I
_J
(I)
57.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 4 of 4 Wilson, Samuel G 6/412004
VII. INVESTMENTS and TRUSTS - income, \'Blue, transcatious (includes those ofllle spouse and dependent cluldren. See pp. 34-57 offiling instructions.)
A. B. c. D.
Dcscriptiou ofAssets (including trust assets)
Income during reporting period
Gross value at end of
reponing period Transactionsdwing reporting period
If not exempt from d1Sclosure (2) (1) (2) (1)
(5)(2) (3) (4) Place "(X)" after each asset exempt from prior distlosure
Amount Code I (A-H)
Type (e.g. div. rent or int.)
Value Code2 (J-P)
Value Melllod Code3 (Q-W)
Type (e.g. buy, sell,
merger, red tion)
Date: Mouth-Day
Value Code2 (J-P)
Gain Code l (A-H)
Identity of buyer/seller (ifprivate transaction)
SS. Van Kampen Government Securities A Dividend J Sell 4124 J A
56. Pershing Government Acct. (Money Market Acct.) A Interest J T
58.
Lord Abbett Mid-CP VL FDINC A Dividend J T Sell 10/3 J A
State ST Research Aurora CL A A Dividend J T
59. Goldman Sachs Growth Opptns A Dividend J T
60. Agere Systems, Inc. None Pt. Sell 12122 J A
61. Medcohealth Solutions, Inc. spinofffrom Merck A Dividend J T
81119/03
62. Alliance Bernstein Capital Reserve A Interest J T
63. Lord Abbett Limited Duration U.S. Gov. Fund A Dividend J T Buy 4124 J
-
64. PIMCO Renaissance A Dividend J T Buy 10/13 J
un65. Templeton Foreign Fund A Dividend J T Buy J
I. locome/Gain Codes: A = $1,000 or less = $1,001-$2,500 = S2,501-$5,000 D = $5,001-$15.000 E = $15,001-$50,000
(See ColunmsBI aud 04) F = $50,001-$100.000 G = Sl00,001-Sl,000,000 HI = Sl,000,001-$5,000,000 H2 =More than $5,000,000
2. Value Codes:
(Sec Cohmms Cl and D3)
J = $15,000 or less
N = $250,000-$500,000
P3 = $25,000.00J-$50,000,000
K
0
= SIS,001-$50,000
= $500,001-$1,000,000
L
Pl
P4
= SS0,001-$100,000
= $1,000,001-$5,000,000
= $More than $50,000,000
M
P2
= $100,001-$::?50.000
= $5,000,001-$25,000,000 I
I
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Ouly) s = Assessm.."llt T =Cash/Market
" -A•'h ... \\' = farirnated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Wilson, Samuel G 6/4/2004
(Indicate part ofReport.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS
Savings Account First Citi:r.ens Bank (DC) listed on Line 13 of the last report is the account of a child who is no longer a dependant.
The Anderson & Strudwick brokerage accounts listed on Lines 16, 26, and 37 were cash accounts for temporary deposits of funds by Anderson & Strudwick for sale proceeds for sales from brokerage account. Anderson & Strudwick now deposits those proceeds in a money market fund - Alliance Bernstein Capital Reserve. As with previous reports, the individual assets of the Anderson & Strudwick brokerage accounts are listed separately.
Alliance Bernstein Capital Reserve listed on Line 62 is a money market fund used for temporary deposit of funds for sale proceeds for sales from brokerage account.
Date_____,6 /'--#-'1/ _o /.____
Name of Person Reporting Date of Report FiNANCIAL DISCLOSURE REPORT
Wilson, Samuel G 6/4/2004
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 of5 U.S.C. § 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 TIIlS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. §104)
FILING INSTRUCTIONS
Mail signed original and3 additional copies to:
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544