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TRANSCRIPT
POSJ1JON NAME OF ORGANIZATION/ENTITY
PARIIES ANJ2 IERMS
Ql;-. l> <
21 m -rrr "'
AOJO Rev. 112010
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009
I. Prrson R•porting (la.st name, first, middle initial) 2. Court or Orgaoizatioo
HILL, JAMES C. U.S. COURT OF APPEALS, 1 JTH CIR
4. 11tlc (Anicle Ill judges indicate active or ""nior status: Sa. Rtport Ty (check appropriate type) magistrate judges indicate full- or part-time)
D Nomination, Date
SENIOR U.S. CIRCUIT JUDGE D Initial IZl Annual D Sb. D Amended Report
Final
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)
J. Datt of Rtport
5/15/2010
6. Rtporting Period
01/01/2009
to
12/31/2009
7. Chambtrs or Offic< Addrtss 8. On the b,..is or the information contain•d In this Rtport and any modifications ptrt•ining lhtnlo, II ls, In my opinion, In compliance
UNITED STATES COURTHOUSE ,.ith applicable laws and rtgulations.
POST OFFICE BOX 52598 JACKSONVILLE, FL 32201
Reviewing Officrr Dalt
. IMPORT ANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts, chuking tht NONE box for tach part M•here you have na reportable information. Sign on last page.
J, POSJTI 0 NS, (Reporting individual 011/J; supp. 9-/J of filing instructions.)
NONE (No reportable positions.) [{]
1.
2.
3.
4.
5.
II. AGREEMENTS. (R<poning indMdual only; m pp. U-16 of filing instructions.) S2 "'-> Cf) 9[{] NONE (No reportable agreemellts.) ("") C;> ::0r--r;a--
I.
2.
3.
men _,_ -< (")c
::o-- "-> rr;f'rl£:? .I:: -
-rir--
--J
Hill, James C.
SOURCE AND TYPE
SOURCE AND TYPE
SOURCE LOCATION PURPOSE
INCOME
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 2of10
Nam• or Perwn Reporting
lllLL, JAMES C.
Datt ofRtport
5/15/2010
III. N 0 N-INVESTMENT IN co ME. (Rq>orting indfridual and •pouu; m pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
NONE (No reportable non-investmelll income.) D
SEE NOTE IN SECTION VIII.
(yours, nol spouse's)
$0.001. 12/31/09
2.
3.
4.
B. Spouse's Non-Investment Income • Ifyou Wtf< marriedduring any portion oflh• r.porting ]tar, comp/tit this s<elion.
(Do/UJr amount not ttquired exceptfor honoraria.)
NONE (No reportable no11-i11vestment income.) [ZJ
I.
2.
3.
4.
IV. REIMBURSEMENTS -1ransporta1ion, lodgint.food, tnltrtainmtnl.
(/nc/wles those to spouJe a,,d dependent chi/dre11,· s e pp. 25-27 of filing irtsrructfon.s.)
NONE (No reportable reimbursements.) [ZJ
l.
2.
3.
4.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
5/1512010
Date of Rtport Namr or Ptrson Reporting
HILL, JAMES C.
FINANCIAL DISCLOSURE REPORT
Page 3of10
V. G IFf S. (lnclud<S thos• lo spowe and d•fHnd•1tt childrr:n; see pp. 28-31 of fiUng instructions.)
l2J NONE (No reportable gifts.)
1.
2.
3.
4.
5.
VI. LIABILITIES. (lnclwl.s thost o/spoust and dq••ndent children; supp. 32-JJ of filing instructions.)
12] NONE (No reportable liabilities.)
I.
2.
3.
4.
5.
I I
(I) (2) (!) (5)
____ _
FINANCIAL DISCLOSURE REPORT
Page 4of10
Namr of Prnon Rrportiog
HILL, JAMES C.
D1lr of Report
5/15/2010
D
VII. INVESTMENTS and TRUSTS - incom•, •aru., tronsactions ancrudes those of spouse and depend"" child""' ... PP· J4-6o of filing 1ns11Uc1iom.)
NONE (No reportable income, assets, or transactions.)
l.
2.
3.
4.
5.
6.
7.
8.
9.
JO.
1 I.
A.
Descrjption of As.st:ts (including lru51 assets)
Place '(X)" after eacb a.o;.<ct
exempt from prior disclosure
MONROE INV., LTD., MONROE COUNTY GA
MIDlAND OJL
•• GEELAAC COMMONWEALTII
ANNUITY PLUS (ANNUITY}
• • HARTFORD FBL CRC DIRECTOR (ANNUITY)
BANK OF AMER ICA CORPORATION
AMERICAN NA TL INSURANCE
CATERPILLAR
COCA-COLA COMPANY
CONOCOPHILLIPS
EMERSON ELECTRIC CO
EXPRESS SCRIPTS
B.
Income during
reporting period
1Amount Type (e.g., : Code l div .• rent,: (A·H) oriot.)
None
None
None
None
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
None
Value
Code 2 (J.P)
J
J
M
L
J
K
J
J
J
J
J
f 12. GENCO SHIPPING & TRDG F None J
13. GENERAL DYNAMICS CORP
14. GENERAL ELECTRIC COMPANY
15. HEWLElT·PACKARD CORI'.
16. IN"IBRNATIONAL BUSINESS MACHINES CORP.
17. MONSANTO CO NEW DEL
1 Income G•i" Codcs: (Sec Columns DI and 04)
2. Value COOct.
(Sec Column Cl and DJJ
J. Value Mel hod ('odes (Sec (' l umn Cl)
A •SI ,000 Dr Jcu f -sso.001 • s100,ooo J •SIS,000 01 ks.s N •S2SO,OOI • SS00,000
r:l •S2$,000,00J • 5.10,000,000 Q •Appn.i"'l
U •Book V alvc
A
A
A
A
A
Dividend J
Dividend J
Dividend J
Dividend K
Dividend J
B-Sl,001 • S2.500
G •5100.001 • Sl,000.000 K =S15,00I • SS0,000
0 •S .001 • Sl,000,000
R ..C<»I (Re.I E>wc Only) V :::Q1hcr
------·
(2) (I)
Value Type (e.g., Method buy, sell,
Code 3 redemption)
(Q·W) ··-··----
w
w
T
T
T
T
T Buy
T
T
T
T Buy
T
T
T
T
T
T
C =S2.501 • SS,000
HJ •Sl,000.001 · SS,000.000
L =SSU,001 • S 100.000
Pl •Sl,000,00l ·SS,000.000
P4 •More ab .. S50,000,000
S •Ass.cssmcnl W E.s.timatcd
I (2) {:I) (4)
D•l< Value Gain
lmm/dd/yy Cod< 2 Code I
(J-P) (A·H)
02/09/09 J
09/18!09 I
D =S5.00J. S!S.000 H2 =More 1han S .000.000 M =StOU,001 - 5250,000 P2 =SS.000.001 • S25,000,000
T ""Ca!ih Milikcl
Identity of
buyer/seller
(if private lransaction)
SEE NOTE lN PART VIII
SEE NOTE IN PART VIII
E .SlS,OOJ - SS0,000
• -- •••·•-• · ··----·•M
lnc :: i- Toros: Tr nsactions
Ty� .. Typ 'ie.:- -r-,
-----------�--------
K
-··-·· ·
-- ------
----
-----
'
0
Dale of ReportName uf Per.;on Rtportlne FINANCIAL DISCLOSURE REPORT
Page 5of10 5115/2010HILL, JAMES C.
VII. INVESTMENTS and TRUSTS - in com<, •·alue, lransa<lions (lnc/udts lht>Se of•pDl'se and def"ndent ckildmt; SU pp. 34-60 of filing instroctionsJ
NONE (No reportable income, assets, or transactions.) -
A. Description of Assets v e: -· ---- - - . - duri reporting period
(including trust assets) reporong pcnodfj of rcportiog period -
(5)Place "(X)" after each asset ! - v e . v -- v e :1" Identity of
exempt from prior disclosure: Code I div., rent, Code 2 Method buy, sell, mm/ddlyy Code 2 Code I buyer/seller(A·H) or int) (J-P) Cock 3 redemption) l (J·P) ' (A-H) (if private
(0-W) trans.action) -----·---- . --------- -------
18. PROCTER & GAMBLE A Dividend J T
19. WELLS FARGO & CO NEW A Dividend J T
20. GOLDMAN SACHS 6.20% PFD B Dividend K T
21. PIMCO LOW DURATION FUND B Dividend L T Buy 02/05i09 L
22. PIM CO TOTAL RETURN FUND c Di,·idend K T Buy 1/30/09 J (add'I)
23. VANGUARD LIMITED TERM A Dividend K T Buy 06/09/09 K
24. •SCHWAB I INTEREST A lnteresl K T
25. AMERICAN NA TL INSURANCE A Dividend K T
26. BB&T CORPORATION A Dividend K T
27. BANK OF AMERICA CORPORATION A Dividend J T
28. BARRICK GOLD CORP A Dividend K T
29. BERKSHIRE HA IBA WAY CL B None K T
30. BRISTOL-MYERS SQUIBB CO A Dividend K T
31. CATERPILLAR A Di\ · idend J T Buy 05/05/09 J
32. COCA-COLA COMPANY A Dividend K T
33. CONOCOPHILLIPS A Dividend T
34. DUKE ENERGY CORP NEW A Dividend J T
SEE NOTE IN PART VIII
·--·- - --· ·-- --- ··- ·-·--· - -- .. · ---- ·-·- - . . ---·- ·- - ------· ·- - - .. ·- -- - ···-·---·----I. 1ncomc G.1in Code': A dt,000 Df lcs.s D ·Sl.001 • 52,.500 C ·S2,.501 - SS,000 0 •55,00I - SIS,000 E •SlS,001 • S50.IXKI
-· (Sec ColumOi DI and 04) f •S. 0.001 • SJ00,000 G .$100,001·51,000,000 Ill ·51.000.001 - 55,000,000 H2 a.More 1h1D SS,000,000
2 Value C(lidcs. J •315,000 or k K •Sl .OOL -SS0,000 L •SS0.001 - SJ00,000 M oSI00,001 • 5250,000(See Column< Cl ond 03) N •S2.IO,OOI • SS00,000 o .s oo.001 • s 1,000.000 r1 =SJ,000,001 - ss.000.000 P2 =SS,000,001 - 525,000,000
l'J -s2.1,ooti,001 - sso.000,000 r4 =Mme thin sso.000.000 J Val Mclhod Codes 0 •Appui\al R ::Co I (Real 011.1c: Only) S •Af!>CllmC'Ot T ... c. Markel
(See Column Cl) U =Book" Value V ·01hcr W=fahmatcd
· ·
. .. . .. ,_ --·
-··-----�------·-·-·
---------- ----�
-- - ----------
T
----------------· - ·--·
I
(I) (2)
35.
41.
42.
43.
Dair of Report Name of Prrsoo Rrportiog ; .
FINANCIAL DISCLOSURE REPORT
Page 6of10 5/1512010HILL, JAMES C.
VII. INVESTMENTS and TRUSTS - inconu, valU<', transaelions (lnclwl<s I/um ofspmm and dtpendtnl children; ... pp. 34-60 offilint inslructions.)
NONE (No reportable income, assets, or transactions.) D ---------·-- - ---
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) (3) (4) (5) Place "(X)' after each asset .Amount Type (e.g., Value Value Type (e.g.,
Code I Code 2 Method buy, sell, exempt from prior disclosure div•• rent, (A·H) or iot.) (J-P) Code 3 redemption)
(Q-W) --·-------
· ------·
EMERSON ELECfRIC CO A Dividend K T
GENERAL DYNAMICS CORP A Dividend K T
Date Value Gain Identity of mm/dd/yy . Code2 Code I buyer/seller
(l·P) . (A·H) (if private transaction)
36.
37. GENERAL ELECTRIC CO A Dividend J
38. HOME DEPOT COMMON STOCK B Dividend K
39. JOHNSON & JOHNSON B Dividend L
40. PROCTER & GAMBLE A Dividend K
T
T
T
T
SOUTHERN COMPANY COMMON STOCK
B Dividend K T I i
WELLS FARGO & CO NEW A Dividend J T
WEYERHAEUSER CO A Dividend J T
44. AMERICAN BALANCE FUND CLASS B B Dividend L T Buy 05/28/09 J (add'I)
45. JENNISON HEALlll SCIENCES FUND None L T CLASS A
46. GOLDMAN SACHS 6.20% PFD A Dividend J T
47. PIMCO LOW DURATION FUND B Dividend M T Buy 09/14/09 L (add'I)
48. PIMCO TOTAL RETIJRN FUND c Dividend K T Buy 02/05/09 K (add'I)
49. VANGUARD LIMITED TERM A Dividend K T Buy 06/09/09 K
50. US TREAS BILL A lntc:rcsl Redeemed 02/26/09 K
51. •soiW AB I INTEREST A Interest L SEE NOTE IN PART VIII
1. Income Gain Codes: (Sec Column• BI 1nd 04)
2. Value: Codes (See Column• Cl ind DJj
3. Voluc Meihod Code> (Sec Colunon C2)
A ... s1,CXX>or k!!ts F •S50,001 • SI00.000 J &SIS,000 or less N •S2S0.001 • SS00.000 Pl •S2 .000.00I • SS0.000.CXIO 0 .:;.Appraiul U •Book. V:Juc
. .. · ··-·----· -
e s 1.001 • si.... C •S2,501 • Sl,000 G •S 100,001 • S 1,000,000 HI •Sl,000,001 • SS,000.000 K •Sll.001 • SS0.000 L=Sl0,001-SIOO,OOO o ssoo.001 • s 1.000.cxxi Pl ·Sl.000.001 • SS,000,000
P4 =More than S50J:XX>,OCO R •Co1.1 (Rc•l El.111c Only) S c.cr.smcnt v ..()!bet W:fa,1 matcd . · · ·· - . -· ···- _, . .. . · ·-· · .. · - ·--· · - - · - · · · ·---·--·-
D •Sl,001 • 515,000 E 415,001 - SS0.000 H2 ..More tban S!i,000,000 M -Sl00.001 • Sll0,000 P2 =SS,000,001 • Sll,000,000
T =c.uh Markel
T
---------,------
'
(I)
---�----------�----
J
FINANCIAL DISCLOSURE REPORT Page 7of10
Nam• of Ferson Rrportlng
HILL, JAMES C.
Dalt ofR•port
5/15/2010
VII. INVESTMENTS and TRUSTS - in com<, .. alut, lransactions (lncludu thos• of spoust and de ndtnl childr<n; ... PP· 34-60 of filing iui111ctions.)
NONE (No reportable income, assets, or transactions.) D A. B. c. D.
Description of Assets
(including trust assets)
Income during Gross value al end Transactions during reporting period
52.
53.
54.
55.
56.
57.
58.
59.
60.
61.
62.
63.
64.
65.
66.
67.
68.
Place "(X)' after each asset exempt from prior disclosure
AT&T INC NEW
AMERICAN NATL INSURANCE
BB&T CORPORATION
C ATERPILLAR
CONOCO PHILLIPS
EMERSON ELECTRIC CO
GENERAL ELECTRIC COMPANY
3M COMPANY
PROCTER & GAMBLE
THE SOUTllERN COMPANY
WELLS FARGO & CO NEW
ALABAMA POWER 5.2% PFD
GOLDMAN SACHS 6.20% PFD
PIMCO LOW DURATION FUND
PIMCO TOTAL RETURN FUND
VANGUARD LIMITED TERM
*SCHWAB US TREAS MONEY FD (SWEEP)
1. income Glut CMcs· A .. 11,lXXl or ICS.'i.
reporting J>Criod of reporting period -------- .. + : (1)
:Amount 'Code 1
, (A-H)
A
A
A
A
A
A
A
A
A
c
A
A
A
B
c
A
(2) Type (eg., jdiv .. rent. l
orint.) I I
Value
Code 2
(J-P)
(2) Value
Method
Code 3 (0-W)
(I) Type (e.g.,
buy, seJI,
rcdemplion)
(2) (3) Date Value
mm/dd/yy Code 2
(J-P)
_____j_
Dividend J T
Dividend K T
Dividend J T
Dividend T Buy 02/09/09 J
Dividend K T Buy 02/09/09 J (add'I)
Dividend K T Buy 06/11/09 J (add'J)
Dividend J T
Dividend K T
Dividend K T
Dividend L T
Dividend K T
Dividend J T Buy 05/05/09 J
Dividend J T
Dividend L T Buy 09/16/09 K (add'!)
Dividend K T Buy 2/5/09 K (add'l)
Dividend K T Buy 06/09/09 K
None K T
B =SI,()(JI • S2.,500 C =S2,SOI • SS.000 D =SS,001 - Sll,000
(4) Gain
Code I
(A·H)
(See Column• Bl and D4) 2. Va1\JeCodes
F •S50,00I • SI00,000 J s1s.ooo or le"
G =SlOO.ClOI • Sl.000,000
K =S 15,CXll • S50.00J
HJ =Sl,000,001- SS,000,000
L =SS0,001 • SIU0,000
H2 =More rhan S5.000.000 M =Sl00,001 • SV0.000
(See Column' C'J and DJ) N ..S250,lJOI - 5500,000 P) ·SlS,000.00J -S50,000JXJO
0 •SS00,001 -S 1,000,000 Pl =Sl,000,0Cll ·SS,000.000
P4 :More lhan S50,000,000
P2 :SS,000,001 • S25,00J.OOO
3. Value Mc:1hod Codes. 0 •Appruul R rC.0,1 (Real B.1a1c Only) S .. Alles.smenl T =C.a b M.arkd (Sec Column C2) U ;..Buok Viiluc V =Other W ::Es.1im1.tcd
'-----------------·-·-·-··----·- -- - ··-----·-·······---- ---- -··--------·. - - - ---·---------------- --
(l) Identity of
buyer/seller
(if privale
t ansac _J
SEE NOTE IN PART VIII
E •SJ5,00l -SS0.000
-i--j
- orting.period__J__'.'f
I
I
Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 8of10 5/15/2010HILL, JAMES C.
VII. INVESTMENTS and TRUSTS .. income, value, transactions (Includes tho<t of spous. and dependent children; Stt pp. J4-60 o/filint: iwstruclions.)
D NONE (No reportable income, assets, or transactions.)
69.
70.
A.
Dcscriptioo of Assets
(includ ing trust assets)
Place "(X)" after each asset
exempt from prjor disclosure
SCHWAB ADV CASH RESERVE
US TREAS BILL
B. C. Income during Gross value at end
reporting period (1) (2) (I) (2)
Amount Type (e.g .• Value Value Code l div.• renl. Code 2 Method (A-H) or int.) (J-P) Code 3
(0-W)
None J T
None
(1) Type (e.g., buy, s.ell,
redemption)
Redeemed
D.
Transactions during reporting period
(2) (3) (4) (5) Date Value Gain Identity of
mm/dd/yy Code 2 Code 1 buyer/seller (J-P) (A-H) (if private
transaction) ·----------------- ---· ·
01/22/09 L
A,.-SJ,CXX.lm ic s (Ser C"olumn' Bl and 04) F •SS0,001- SI00,000
2. Value Codu J =SIS,OOOQI lcu
(Sec Cotumni. Cl •nd 03) N ·S250,001 - SS00.000
B .Sl.CXll • S2..<00 C =52.501 • SS.000 G =5100.CJOl -Sl,000,000 HI :S!,000,001-55,000,tJOO
K •SJS.001- SS0.000 L •SS0,001 • SI00,000 O ·SS00,001 - S 1,000,000 PI .s 1.000.001 . ss.000.000
PJ ·S25.CJ(l0,001-SSO.ooo.ooo P4 ·Mme lhan SS0.000,000 3. Valu.c: Mclll(ld Cude•
(Sec Column C2) O •Arp1111hal U cBook Value
R =Co!i>I (Real Est:aic Only) V ==Other
S •Assus.mcnt
W=&tima1cd
H2 =More lhan 55,000.000
M •S 100,001 -S250.ll00 P2 •S\()(l().001 • 525.000.000
E •SIS.Oil! -SS0,000
i
S/15/2010
Dale of Report Name of Prrson Reporting FINANCIAL DISCLOSURE REPORT
Page 9of10 HILL, JAMES C.
VIII. ADDITIONAL INFORMATION OR EXPIANATIONS. (/ndicaUparlo/R•pon.)
NOTE FROM SECTION Ill:
SEE ••ANNUITIES BELOW, WHICH REFER TO ITEMS 3 AND 4 OF SECTION VIII. THESE 1WO ITEMS ARE ANNUITIES AND MAY BE
ClASSIFIED AS INSURANCE EVEN THOUGH VALlJE DEPENDS UPON IBE UNDERLYING SECURITIES.
NOTE FROM SECTION VIII:
•SCHWAB I INTEREST & SCHWAB US TREAS MONEY FD: THESE ARE MONEY MARKETS INTO WHICH A BROKER WILL PUT CASH NOT
OTHERWISE INVESTED SO THAT IT WILL NOT BE IDLE. VALUE FLUCTUATES • REPORTING AVERAGE.
•'ANNUITIES: THE GEELAAC COMMONWEALTH PLUS AND HARTFORD CRC DIRECTOR ARE ANNUITIES WHOSE VALUES WILL BE REPRESENTED BY THE VALUE OF THE UNDERLYING SECURITIES. THERE WILL BE NO INCOME UNTIL TI-IE FUNDS ARE DRAWN OUT. THE
INCOME WILL DEPEND ON WHETIIER THE INVESTMENTS HAVE RISEN OR FALLEN. THESE ARE LIFE INSURANCE ITEMS.
�-------------�--------�
... Nam• of Prnon Rtportlng Dal• of Rtport FINANCIAL DISCLOSURE REPORT .
Page 10 of 10 HILL. JAMES c. 5/15/2010
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 honoratia and the acceptance of gifts which have been reported are in compliance with the provisions of5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WI JECTTO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 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