hicks, jr . s. maurice - judicial watch · 2019. 7. 26. · hicks, jr., s. maurice date of report...
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3.
5.
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978
Rev. 112011 FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§/OJ-JI/)
J. Person Reporting (last name, first, middle initial)
Hicks, Jr., S. Maurice
2. Court or Organization
U.S. District Co., Western La.
3. Date of Report
08/16/2011
4. Title (Article Ill judges indicate active or senior status;
magistrate judges indicate full- or part-time)
U.S. District Judge - Active
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial [2J Annual
Sb. D Amended Report
D Final
6. Reporting Period
01/01/2010
to
12/31/2010
7. Chambers or Office Address
U.S. Courthouse
300 Fannin St., Suite 5101
Shreveport, LA 7110 I
8. On the basis of the information contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance
"ith applicable laws and regulations.
Revie"ing Officer Date
JMPO RT ANT 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. POSIT! 0 NS. (Reporting individual only; see pp. 9-13 of filing instrut:tions.)
D NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I. Lecturer Centenary College of Louisiana
2. Board of Directors Member Children and Arthritis, Inc. (50l(c) (3) organization)
4.
II. A GREE MEN TS. (Reporting individual only; see pp. 14-16 of filing instructions.)
[{] NONE (No reportable agreements.)
PARTIES AND TERMS
I.
2.
3.
Hicks, Jr . . S. Maurice
3.
4.
FINANCIAL DISCLOSURE REPORT
Page 2of18
Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/201 I
I II. N 0 N-INV EST ME NT IN CO ME. (Reporting indfridual and spouse; see pp. 17-14 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
SOURCE AND TYPE INCOME (yours, not spouse's)
I. 2010 Centenary College of Louisiana - Teaching $2,500
2.
3.
4.
B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income.)
SOURCE AND TYPE
I. 2010 Paraglegal services - self-employed
2.
3.
4.
IV. REIMBURSEMENTS - transportation, lodging.food, entertainmenL
(Includes those lo spouse and dependent children; see pp. 25-27 of filing ins/ructions.)
[{] NONE (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
I.
2.
5.
4.
FINANCIAL DISCLOSURE REPORT
Page 3of18
Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
V. GIFTS. (Includes tlwse to spouse and dependent children; supp. 28-31 of filing instructions.)
[{] NONE (No reportable gifts.)
SOURCE
I.
DESCRIPTION VALUE
2.
3.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.)
CREDITOR DESCRIPTION VALUE CODE
I. Ci timortgage Mortgage - Rental Property #I, Ruston, LA L
2.
3.
4.
5.
Page 4of18
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 08/16/2011Hicks, Jr., S. Maurice
VII. INVESTMENTS and TRUSTS income, 1·a1ue, transactions r1nc1udes t11ose of spouse and dependent children; see PP· 1-1-60 of filing - instructions.)
D NONE (No reportable income, assets, or transactions.)
A. 8. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets) reponing period of reponing period
C.
(I) (2) (1) (2) (I) (2) (3) (4) (5)
Place"(X)" after each asset Amount Type(e.g., Value Value Type ( e. g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 CodeI buyer/seller
(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) ( if private
(Q-W) transaction)
I. Capital One Bank Accounts D Interest M T
2. State Farm Life Insurance Co. Account None J T
3. Northwestern Mutual Life Insurance Co. None J T Account
4. Timber Land, Lincoln Parish, Louisiana - None K R 1/1/96, $30,000
5. Left intentionally blank None
6. Rental Property #I, Ruston, LA- 07/03/01, A Rent L R $75,427
7. Left intentionally blank None
8. Left intentionally blank None
9. IRA# I Morgan Keegan (prev Capital One) A Interest K T Money Fund
10. Left intentionally blank None
11. VAC Federal Credit Union A Dividend J T
12. Barksdale Federal Credit Union A Interest K T
13. Red River Syndicate LP A lnt./Div. K u
14. Left intentionally blank None
15. Janney, Montgomery Scott Brokerage None J T Account - Cash
16. Left Intentionally blank None
17. Left intentionally blank None
I. Income Gain Codes: A =$1,000 or less B =Sl,001 - $2,500 C =$2,50 I - $5,000 D =$5,001 -$15.000 E =$15,001 -S50.000
(See Columns Bl and D4) F =$50,00 I -SI 00.000 G =SI00.001 -Sl,000,000 HI =Sl.000,001 -$5.000.000 H2 =More than $5.000.000
2. V::iluc Codes J =S15,000orlcss K =Sl5,00I -S50.000 L =$50.001 - SI00,000 M =SI00.001 -$250.000
(Sec Columns Cl and DJ) N =$250.001 -$500,000 0 =$500.001 -Sl,000.000 Pl =Sl.000.001 -$5,000.000 P2 =$5.000.001 - $25.000.000
PJ =$25,000,001 - $50.000.000 N =More than $50.000.000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscs mcnt T ::o(a h Marl-.ct
(Sec Column C2) U =Book Value V =Other W =btimatcd
D.
(5)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5of18 08/16/2011Hicks, Jr., S. :\1aurice
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -
D NONE (No reportable income, assets, or transactions.)
A. 8. c. Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(4)(I) (2 ) (I) (2) (I) (2) (3) Gain Identity of Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value
Code I Code I buyer/sellerexempt from prior disclosure div., rent, Code 2 Method buy, sell, mmldd/yy Code 2
(A-H) {if private {A-H) or int.) (J-P) Code 3 redemption) {J-P)
transaction)(Q·W)
18. Left intentionally blank None
19. IRA #I XTO Energy A Dividend Sold
20. Left intentionally blank None
21. Left intentionally blank None
22. Left intentionally blank None
23. Left intentionally blank None
24. IRA #I Entrada Networks None J T
25. IRA #I Globalnet None J T
26. Left intentionally blank None
27. Left intentionally blank None
28. Left intentionally blank None
29. Left intentionally blank None
30. Left intentionall blank None
31. Left intentionally blank None
32. Left intentionally blank None
33. Giant Studios None J T
34. IRA #2 Morgan Keegan (prev Capital One) A Interest J T Money Fund
06/29/10 J A
I. Income Gain Codes: A =S 1,000 or less B =S 1.00 I - $2,500 C =$2.50 I -$5,000 D =S5.00I -$15,000 E =S15,00 I -$50,000
(See Columns Bl and [).I) F =S50,00 I - SI 00,000 G =SI00.001 - S l . 000.000 HI =Sl.000.001 -$5.000.000 H2 =More than $5,000,000
2. Value Codes J =Sl5,000 or less K =Sl5,00I - S50.000 L =$50,001 - SI00.000 M =St 00.00 I -$250,000
(Sec Columns Cl and DJ) N =$250.001 • $500,000 0 =$500,001 -Sl.000.000 Pl =S 1.000.001 - $5.000.000 P2 =$5.000,001 - $25.000,000
PJ =$25.000.001 - $50.000.000 P4 =More than $50.000.000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Ass.cssmcnl T =Cash Markel
(Sec Column C2) U =Book Value V =Other W =E 1im::itcd
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 6of18 08116/2011Hicks, Jr., S. Maurice
VII. INVESTMENTS and TRUSTS income, 1·alue, transactions (Includes those of spouse and depmdent children; SU pp. 34-60 of filing instructions.) -
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets ) reponing period of reponing period
(I) (2) (I) (2) (I) (2) (3) (4) (5)
Place "(X)" after each asset Arno um Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller
(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
35. Left intentionally blank None
36. Left intentionally blank None
37. Left intentionally blank None
38. Left intentionally blank None
39. Left intentionally blank None
40. Left intentionally blank None
41. Left intentionally blank None
42. Left intentionally blank None
43. Left intentionally blank None
44. Left intentionally blank None
45. Left intentionally blank None
46. Left intentionally blank None
47. Left intentionally blank None
48. Left intentionally blank None
49. Left intentionally blank None
50. Left intentionally blank None
51. Left intentionally blank None
I. Income Gain Codes: A =S 1,000 or less B =S l.001 - S2.500 C =S2,50 I - S5,000 D =S5,00I - Sl5,000 E =Sl5.00I -SS0.000
(See Columns BI and [).I) F =S50,00I - SI00.000 G =SI00.001 - Sl.000.000 HI =Sl,000,001 -S5,000.000 H2 =More than $5,000.000
2. Value Codes J =S15. 000 orlcss K = S 15.00I - $50.000 L =$50.00 I - SI 00,000 M =SI 00.00 I - S250.000
(Sec Columns Cl and 03) N =$250.001 - SS00.000 0 =$500.001 -s 1,000.000 Pl =Sl.000.001 -SS,000,000 P2 =SS.000.001 -$25,000.000
P3 =S25.000.00I - $50.000.000 P4 =More than $50,000.000
3. Value Method Codes Q =Appraisal R =Co t (Real Es1a1c Only) S =Assessment T =Cash Market
(Sec Column C2) U =Book Value V =Other W =Estimated
(I)
FINANCIAL DISCLOSURE REPORT
Page 7of18
Name of Pen;on Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
v II. IN v ES TM EN TS and TR us TS - income, i·alue, transactions (Includes those of spouse and dependent children; Ste pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets) reponing period ofreponing period
(I) (2) (I) (2) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
Code I Code I buyer/sellerexempt from prior disclosure div., rent, Code 2 Method buy, sell, mmlddlyy Code 2 (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
52. Left inlentionally blank None
53. Left inlenlionally blank None
54. Left intentionally blank None
55. Left intentionally blank None
56. Left intentionally blank None
57. Left intentionally blank None
58. Left intentionally blank None
59. Left intentionally blank None
60. Left intentionally blank None
61. Left inlenlionally blank None
62. Left intentionally blank None
63. Left intentionally blank None
64. Left intenlionally blank None
65. Left intentionally blank None
66. Left inten1ionally blank None
67. Left intentionally blank None
68. Left intentionally blank None
I. Income Gain Codes: A =$I ,000 or less B =$ J,00 I -$2,500 C =$2,50 I -$5,000 D =$5,001 -Sl5,000 E =SI 5,00I - S50.000
(See Columns Blond [).l) F =S50.001 -$100.000 G =SI00,001 -Sl.000.000 HI =S 1.000.00 I -S5,000.000 H2 =More than $5,000,000
2. Volue Codes J :S 15,000 or less K =Sll,001 -$50,000 L =$50.001 -$100.000 M =$I 00,00 I - $250,000
(Sec Columns Cl and DJ) N =$250.001 - $500,000 0 =$500.00 I -S 1,000,000 PI =S 1.000.00 I -$5.000.000 P2 =S5,000,00I -$25,000.000
PJ =$25.000,001 -$50.000.000 P4 =More thoo $50.000,000
3. Volue Method Code> Q =Appraisol R =Cost (Real EslOLe Only) S =Asscs mcnt T =Ca h Market
(Sl·c Column C2) U =Book Value V =Other W =Estimated
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 08/16/2011Hicks, Jr., S. Maurice Page 8of18
VII. INVESTMENTS and TRUSTS income, •·atue, transactions r1nctudes those of spouse and dependent children: see PP· J4-6o of filing instructions.) -
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets) reponing period of reponing period
(I) (2) (I) (2) (I) (2) (3) (4) (5)
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller
(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
69. Biosante Pharmaceutical None J T
70. Left intentionally blank None
71. Left intentionally blank None
72. Left intentionally blank None
73. Left intentionally blank None
74. Left intentionally blank None
75. Left intentionally blank None
76. Left intentionally blank None
77. Left intentionally blank None
78. Left intentionally blank None
79. Left intentionally blank None
80. Left intentionally blank None
81. Left intentionally blank None
82. Left intentionally blank None
83. Left intentionally blank None
84. Left intentionally blank None
85. Left intentionally blank None
I. Income Gain Codes: A =S 1,000 or less B =Sl,001 - $2,500 C =$2,50 I -$5,000 D =$5,00 I -S 15,000 E =Sl5,00I -S50.000
(See Columns BI and 0-l) F =$50.001 -SI00,000 G =SI 00,00 I - S 1.000.000 HI =S 1.000,00 I - S5. 000.000 H2 =More than S5,000.000
2. Value Codes J =S 15,000 or less K =$15.001 -S50.000 L =S50,00I -SI00.000 M =SI 00.00 I • $250.000
(See Columns Cl and DJ) N =$250.001 -$500,000 0 =S500.00 I -S 1,000, 000 Pl =Sl.000.001 - S5,000,000 P2 =S5,000.00 I -S25.000.000
PJ =$25.000,001 - $50.000.000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
08/16/2011Hicks, Jr., S. Maurice Page 9of18
VII. INVESTMENTS and TRUSTS -income, •·arue, transactions rrnc1udes those of spouse and dependent children; see PP· J4-6o of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(I ) (2) (I) (2) (I ) (2) (3) (4) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code2 Method buy. sell, mm/dd/yy Code 2 Code I buyer/seller
(A·H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
86. Left intentionally blank None
87. Left intentionally blank None
88. Left intentionally blank None
89. Left intentionally blank None
90. Left intentionally blank None
91. Left intentionally blank None
92. IRA #I Dodge and Cox Int'! Stock Fd A Dividend J T
93. Left intentionally blank None
94. Left intentionally blank None
95. Left intentionally blank None
96. Left intentionally blank None
97. Left intentionally blank None
98. Left intentionally blank None
99. Left intentionally blank None
100. Left intentionally blank None
10 I. Left intentionally blank None
102. Left intentionally blank None
1. Income Gain Codes: A =S 1,000 or less B =Sl.001 -$2,500 C =$2.50 I • $5,000 D =S5.00 I -S 15.000 E =S 15.001 - $50.000
(See Columns BI and D-1) F =$50.00 I -SI 00.000 G =$100.001 -Sl,000.000 HI =Sl.000.001 -$5.000.000 H2 =More than S5.000.000
2. Value Codes J =$15.000or lcss K =$ 15.00 I • $50,000 L =$50,00 I -SI 00.000 M =SI 00.00 I -$250.000
(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.00I • S 1.000.000 PI =S 1.000.00 I • $5.000.000 P2 =$5.000.001 -$25.000.000
PJ =$25.000.001 -$50.000.000 P4 =More than $50,000.000
J. Value Method Codes Q =Apprai>al R =CoSI (Real Estate Only) S =Assessment T =Cash Marlct
(Sec Column C2) U =Book Value V =Other W =Estimated
'
B.
FINANCIAL DISCLOSURE REPORT
Page 10of18
Name of Person Reporting
Hicks, Jr., S. :\1aurice
Date of Report
08/16/2011
VI I. IN YES TM EN TS and TRUSTS - income, •·arue, transactions r1nc1udes those of spouse and dependent children; see PP· 1-1-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. C. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets) reponing period ofreponing period
Place "(X)" after each asset
exempt from prior disclosure
I 03. Left intentionally blank
104. Left intentionally blank
105. Left intentionally blank
106. Left intentionally blank
107. Left intentionally blank
108. Morgan Keegan cash-T
109. Encana Corp-Janney
I I 0. Left intentionally blank
I I I. Left intentionally blank
I12. Left intentionally blank
113. Cubic Energy Inc
I14. Left intentionally blank
I15. Left intentionally blank
116. Left intentionally blank
I 17. IRA #3-Terra Nitrogen Co LP
118. Left intentionally blank
119. Left intentionally blank
(I) (2) (I) (2) (I)
Amount Type(e.g., Value Value Type(e.g., Code I div., rent, Code 2 Method buy, sell, (A·H) or int.) (J-P) Code 3 redemption)
(Q-W)
None
None
None
None
None
A Int./Div. J T
A Dividend Sold
None
None
None
None Sold
None
None
None
A Dividend Sold
None
None
(2) (3) (4) (5)
Date Value Gain Identity of
mm/dd/yy Code 2 Code I buyer/seller
(J-P) (A·H) (if private
transaction)
I 1/12/10 J A
11/12/10 J A
03105110 J A
I. Incom e Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =S5,00I • S15,000 E =S\5,001 -S50.000
(See Columns BI and [).l) F =S50.001 • SI00.000 G =SI 00,00 I • S 1,000.000 HI =Sl.000.001 • $5,000.000 H2 =More than S5.000.000
2. Value Codes J =S15,000orless K =$15,001 • S50,000 L =$50.00 I • SI 00.000 M =St00.001-$250.000
(Sec Columns C l and D3) N =$250.001. $500.000 O =$500,001. Sl,000.000 Pl =Sl,000.001 - $5.000,000 P2 =$5.000.001 • $25,000.000
P3 =$25,000,001 - $50.000.000 P4 =More th an $50,000,000
3. Valu e M ethod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Ca::.h Market
(Sec Column G) U :Book Value V =Other W =E::.timatcd
FINANCIAL DISCLOSURE REPORT
Page 11 of 18
Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
VII. INVESTMENTS and TRUSTS - income, 1•a/ue, transactions (Includes those ofspouu and dependent children; SU pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. D. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dcL'yy Code2 Code I buyer/seller {A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
120. Left intentionally blank None
121. Left intentionally blank None
122. Left intentionally blank None
123. Left intentionally blank None
124. Left intentionally blank None
125. Left intentionally blank None
126. Left intentionally blank None
127. Left intentionally blank None
128. Left intentionally blank None
129. Left intentionally blank None
130. Left intentionall blank None
131. Left intentionally blank None
132. Left intentionally blank None
133. Left intentionally blank None
134. Left intentionally blank None
135. Left intentionally blank None
136. Left intentionally blank None
I. Income Gain Codes: A =Sl,000 or less B =S 1,00 I - $2,500 C =$2,501 -S5.000 D =S5.00 I -S 15,000 E =$15,001 -$50,000
(See Columns Bl and !).I) F =S50.00 I -SI 00.000 G =SI 00.00 I -S 1.000.000 HI =Sl.000.001 -$5.000.000 H2 =More than $5,000,000
2. Value Codes J =S 15,000 or less K =$15.001 -S50.000 L =S50.00I -SI00.000 M =SI00.001 -$250.000
(See Columns Cl and DJ) N =$250,001 -$500.000 0 =S500,00 I -S 1.000.000 rI =S 1.000.00 I -$5.000.000 P2 =$5,000,001 - $25.000,000
PJ =$25.000.001 -$50.000.000 N =More than $50.000.000
3. Value Method Codes Q =Appraisal R =Cosl (Real Eslatc Only) S =A:io s:iomcnt T =Cash Market
(See Column C2) U =Book Value V =Other W =b1imatcd
Page 12of18
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
v II. I NV ES TM EN TS and TR us TS - income, .. atue, transactions (Includes those of spouse and dependent chi/dun; SU pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(I) (2) (I) (2) (I ) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)
(Q-W)
137. Lefi intentionally blank None
138. Left intentionally blank None
139. Scottrade Cash Acct. A Interest K T
140. Chesapeake Energy-Janney Acct. A Dividend Sold
141. Petrohawk Energy- Janney Acct. None Sold
142. Lefi intentionally blank None
143. Lefi intentionally blank None
144. Lefi intentionally blank None
145. Lefi intentionally blank None
146. Canadian Oil Sands- Scottrade A Dividend J T
147. Left intentionally blank None
148. Eagle Rock Energy- Scottrade A lnt./Div. J T Sold (part)
149. Encana Corp-Scottrade A Dividend J T
150. Lefi intentionally blank None
151. Left intentionally blank None
152. Left intentionally blank None
153. Lefi intentionally blank None
(2) (3) (4) (5) Date Value Gain Identity of
mm/dd/yy Code 2 Code I buyer/seller
(J-P) (A-H) (if private
transaction)
09123/10 J A
11/16/10 J A
03/03/10 J A
I. Income Gain Codes: A =SI ,000 or less B =S 1.00 I - S2,500 C =S2,50 I -SS,000 D =S5.00 I -SI 5,000 E =SIS,001 -$50,000
(See Columns BI and 0-t) F =$50.001 -$100.000 G =SI00.001 -Sl.000.000 HI =S 1.000,00 I -$5.000.000 H2 =More than SS.000.000
2. Value Codes J =S 15.000 or less K =$15.001 -$50.000 L =$50.001 - SI00,000 M =SI00.001 -$250.000
(Sec Columns Cl and DJ) N =$250.001 -S500.000 o =$500.001 -Sl.000.000 Pl =Sl.000,001 -S5.000.000 P2 =$5,000,001 - $25,000.000
PJ =$25.000.001 - $50.000.000 P4 =More than $50.000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S -=Assessment T =Cash Market
(Sec Column C2) U =Book Value V ::=Q1hcr W =Estimated
Series[ J
·,;;:;:;.{':;£
(I) (3) (4)
FINANCIAL DISCLOSURE REPORT
Page 13of18
Name of Person Reporting
Hicks, Jr., S. :\1aurice
Date of Report
08/16/2011
VII. INVESTMENTS and TRUSTS - inromt, •·alut, transartions (/nrludes those ofspoust and dependent children; Set pp. J.f-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. 8. c. D.
Description of Assets Income during Gross value at end Transactions du ring reponing period
(including trust assets) reponing period ofreponing period
(I) (2) (I) (2) (2) (5) Place "(X)" afier each asset g., Date Value Gain Identity of Amount g., Value Value Type (e.Type(e.
Code I buyer/sellerexempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 (A-H) (A-H) (if private or int.) (J-P) Code 3 redemption) (J.P)
transaction)(Q-W)
154. Left intentionally blank None
155. IRA 112 American Superconductors None J T
156. IRA #2 Encana A Dividend J T
157. IRA #2 National Fuel Gas A Dividend J T
158. IRA #2 Pacific Asia Petroleum None Sold 08/10/10 1 B
159. IRA #2 Smartheat Inc None Sold 04/09/10 1 A
160. IRA #2 Stericycle None J T
161. IRA #2 Teck Corp Ltd None Sold 05/11/10 1 A
162. IRA #2 Eagle Rock Energy Partners A Dividend 1 T
163. IRA #2 Kinder Morgan Partners A Dividend 1 T
164. IRA #I FHLMC CMO A Interest J T
165. IRA Ill GNMA CMO A Interest 1 T
166. Cenovus Energy-Janney A Dividend Sold 11/12/10 1 A
167. Left intentionally blank None
168. GMX Resources- Janney None J T
169. Rigel Pharmaceutical-Janney None Sold 11/12/10 1 A
170. Biomass Resources- Janney None J T
I. Income Gain Codes: A =$I ,000 or Jess B =$1.00 I -$2.500 C =$2,50 I -$5,000 D =$5,001 - Sl5,000 E =SI 5,001 -S50,000
(Sec Columns DI and D·O F =$50.001 -SJ00,000 G =SJ00,001 -Sl,000,000 H 1 =SI .000.00 I -$5.000.000 H2 =Mon: than $5,000.000
2. Value Codes J =SI 5.000 or Jess K =SI 5,001 -$50.000 L =$50.001 -$100.000 M =SI 00.00 I - $250.000
(Sec Columns Cl and DJ) N =$250.00 I - $500,000 0 =S500.00 I - S 1.000.000 Pl =Sl.000.001 - $5,000,000 P2 =$5,000.001 - $25,000,000
PJ =$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.scs mcnt T =Cash Market
(Sec Column C2) U =Book Value V =Other W =fatimated
A. D.
(I) (2) (4)
FINANCIAL DISCLOSURE REPORT
Page 14of18
Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
- income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.) VII. INVESTMENTS and TRUSTS
D NONE (No reportable income, assets, or transactions.)
B. c.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(I) (2) (2) (I) (3) (5)
Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., ren Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
171. Rental Property #2, New Orleans, LA 1/1/09 None L R $55,000
172. Breitbum Energy Partner-Janney None J T Buy 11/16/10 J
173. Eagle Rock Energy Partners-Janney None K T Buy 11/30/10 J
174. ford Motor Company-Janney None J T Buy 11/16/10 J
175. Genesis Energy LP- Janney None J T Buy 11/16/10 J
176. Cenovus Energy- Scottrade A Dividend Spino IT 01/04/10 J
(from line 149)
177. Ci ti group- Scottrade None J T Buy 04/14/10 J
178. Geron Corp- Scottrade None J T Buy 01/08/10 J
179. GMX Res Inc- Scottrade None J T Buy 04/14/10 J
180. Stec Inc- Scottrade None J T Buy 04/22/10 J
181. 3 Par Inc- Scottrade None J T Buy 04/22/10 J
182. Sold 08/16/10 J B
183. IRA #2 BP Amoco None J T Buy 02/26/10 J
184. Sold 06/09/10 J A
185. IRA #2 Johnson & Johnson A Dividend J T Buy 05/06/10 J
186. Sold 07/20/10 J A
187. IRA #2 China New Borun Corp None J T Buy 10/14/10 J
I. Income Gain Codes: A =S 1.000 or less B =Sl.001 - S2.500 C =S2.50 I - $5,000 D =S5.00 I - S 15,000 E =S 15.00 I - $50.000
(See Colwnns 8 I and [).l) F =$50.001 - SI00.000 G =SI00.001 -Sl.000.000 HI =S1.000,00 I - S5.000.000 H2 =More than S5.000.000
2. Value Codes J =$15.000 or l"'s K =$15.001 - $50.000 L =$50.00 I - SI 00.000 M =SI 00.00 I - $250.000
(Sec Columns CI and DJ) N =$250.001 - $500.000 0 =$500.001 - Sl.000,000 r1 =s1 .ooo.001 - S5.ooo.ooo P2 =$5.000.001 -$25.000.000
PJ =$25.000.001 -$50.000.000 P4 =More than $500000.000
3. Value Method Codes Q =ApprJisal R =Cosl (Real E tatc Only) S =A sscssmcnt T =Cash Market
(Sec Column C2) U =Book Value V =Other W =Estimated
of filing
... ,;::;:;:;;4 =-
l!I
A.
(2) (I) (2) (3)
Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT
Page 15of18 08/16/2011Hicks, Jr., S. Maurice
VII. INVEST MEN TS and TRUSTS - income, .. atue, transactions r1nc1udes those of spouse and dependent chitdren; see PP· J.t.60 instructions.)
D NONE (No reportable income, assets, or transactions.)
Description of Assets
B. c. D.
Income during Gross value at end Transactions during reponing period
(including trust assets) reponing period ofreponing period
(I) (2) (I) (4) (5) Place "(X)" after each asset
exempt from prior disclosure
Amount Code I (A-H)
Type (e.g.,
div., rent,
or int.)
Value
Code2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
Date
mm/dd/yy
Value
Code 2
(J-P)
Gain
Code I
(A-H)
Identity of
buyer/seller
(if private
transaction)
188. IRA #2 Cree Inc None K T Buy 09/14/10 K
189. IRA #2 Denbury Resources Inc None J T Buy 04106110 J
190. IRA #2 Dendreon Corp None J T Buy 03/02/10 J
191. IRA #2 Kraft Foods A Dividend J T Buy 04/06/10 J
192. IRA #2MolyCorp Inc None K T Buy 09/24/JO J
193. IRA#2 Sharps Compliance Corp None 1 T Buy 10/13/10 J
I 94. IRA #2 Sociedad Quimica Y A Dividend J T Buy 10/13/10 J
195. IRA #2 Southern Co A Dividend J T Buy 02/26/10 1
196. IRA #2-Genesis Energy LP A Dividend 1 T Buy 10/13/10 J
197. IRA #2 Pepsico A Dividend 1 T Buy 02/26/10 1
198. Sold 10/13/10 J A
199. IRA#l-GNMA None 1 T Buy 02/19/10 J
200. IRA #I-FNMA CMO s None J T Buy 02/05/10 J
201. IRA #I GNMA CMO Series None K T Buy 07/23/10 K
202. IRA #I Canadian Oil Sands Trust A Dividend 1 T Buy 12/01/10 1
203. IRA #3 Regions Money Fund A Interest 1 T
204. JP Morgan -Cash Acct. None J T
I. Inco me Gain Codes: A =$1,000 or less B =S 1.00 I -$2,500 C =$2,50 I - $5.000 D =$5,00 I - S 15,000 E =S 15.00 I - $50.000
(See Columns Bl and ().1) F =$50.00 I - SI 00,000 G =SI00,001 -Sl, 000,000 HI =S 1,000,00 I - $5. 000,000 H2 =More than $5.000.000
2. Value Codos J =S 15,000 or loss K =$15,001 -$50,000 L =$50,001-$100,000 M =SI 00,00 I - $250.000
(Sec Columns Cl a nd DJ) N =$250.00 I - $500,000 0 =$500,001 - Sl,000,000 Pl =Sl,000.001 -$5,000,000 P2 =$5.000,001 -$25,000.000
Pl =$25,000,001 -$50.000.000 P4 =More than $50,000,000
J. Value Method Codos Q =Appraisal R =Cost (Real Estate Only) S =Asscs:;.mcnt T ""Cash Markel
(Sec Column C2) U =Book Value V =Other W =Estimated
1 205.
Page 16of18
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Hicks, Jr., S. Maurice
Date of Report
08/16/2011
VII. INVESTMENTS and TRUSTS income, .. atue, transactions <rnc1udes t1rose ofspouu and dependent clrildren; see PP· 34-60 of filing instructions.) -
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(5) Place "(X)" after each asset Identity of
exempt from prior disclosure buyer/seller
(if private
transaction)
(I) (2) (I) (2) (I) (2) (3) (4)
Amount Type (e.g., Value Value Type (e.g., Date Value Gain
Code I div., rent. Code 2 Method buy, sell, mm/dcL'yy Code 2 Code I
(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H)
(Q-W)
Morgan Keegan Cash{] A lnt./Div. T
I. Income Gain Codes: A =$1,000 or less 8 =$1.001. $2,500 c =$2,501. $5.000 D =$5.001 • $15,000 E =$ 15,00 I - $50,000
(See Columns Bl and 1).1) F =S50.00I - SI00.000 G =SI00,001 • Sl.000.000 HI =Sl.000.001 - $5.000.000 H2 =More than $5.000.000
2. Value Cocks J =SI 5.000 or less K =S 15,00 I - $50.000 L =$50,00 I • SI 00,000 M =SI00.001 • $250.000
(Sec Columns Cl and 03) N =$250.001 • $500,000 0 =S500.00 I • $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. Value Method Codes Q =Appraisal R =CoSI (Real EstJtc Only) S =Assessment T =CJsh Market
(Sec Column C2) U =Book Value V =Other W =E::.timatcd
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 17of18 Hicks, Jr., S. :\laurice 08/16/2011
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicale partofreport.)
166. Cenovus Energy, Inc: A split from Encana Corp.
152. Pacific Asia Petro- Scottrade: should have been reported in prior year as completely sold and having no value at 12/31/2009.
170. Biomass Resources: Should have reported a partial sale in 2008, there are some shares still owned.
203. IRA #3 Regions Money Fund: should have been reported in prior years.
204. JP Morgan Cash Account: should have been reported in prior years.
205. Morgan Keegan Cash Account: was reported together with line I 08 in prior years. It should have been reported separately in prior years.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 18of18 Hicks, Jr., S. Maurice 08/1612011
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 l\ithheld 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 of 5 U.S.C. app. §SOI et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature: s/ S. Maurice Hicks, Jr.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § I04)
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301 One Columbus Circle, N.E.
Washington, D.C. 20544