nancial disclosure repo in govenment act of 1978 (5 …in govenment act of 1978 (5 .s.c. opp.§...

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POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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AOlO Rev. 112007

FINANCIAL DISCLOSURE FORCALENDARYEAR2006

1. Penon Reporting (last name, lint, middle lnltbl) 2. Court or Organization

Hood, Joseph M E.D.KY.

4. Title (Article III judges Indicate active or aenlor 1tato1; SL Report Type (check appropriate type) magistrate judges Indicate foll- or part-time)

D Nomination, Date U.S. District Judge (Active) D Initial Annual D Final

Sb. Amended Report

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. opp.§§ 101-111)

3. Date of Report

3/12/2007

6. Reporting Period

11112006 to

12/3112006

7. Chambcn or Office Address 8. On the b11l1 of the loformallon contained In thlJ Report and any modlftcatlons pertaining thereto, It la, In my opinion, In compliance

P.O. Box 2227 with appUcable law• and rel!'lllaHnn•

Lexington, KY 40588-2227

Reviewing omcer

IMPORTANT NOTES: The instructions accompanying this form must be followed. Comp/tit all partll, checking the NONE box/or each part where you have no reportable information. Sign on last page.

I, POSITIONS. (Reporting Individual only; 1ee pp. 9-13 ofln1tructlon1.)

D NONE (No reportable positions.)

I. Director

2. Board of Managers Diederich Educational Trust

3.

5.

II, AGREEMENTS, (Reporting Individual only; m pp. U-16 of Instructions.)

[2[J NONE (No reportable agreements.)

I.

2.

3.

SOURCE AND TYPE

SOURCE AND TYPE

INCOME

-S_u_bs_11 _·1u_e_T_e_ac _h_er

SOURCE DESCRIPTION

Page2 of8

Name or Penon Reporting Date or Report FINANCIAL DISCLOSURE REPORT

Hood, Joseph M 3/12/2007

ID. NON-INVESTMENT INCOME. (Reporting 1nd1v1dua1 and •pouu; m PP. n-u oflMfruct1otu.J

A. Filer's Non-Investment Income

[K:j NONE (No reportable non-investment income.)

I.

(yours, not spouse's)

2.

3.

4.

5.

B. Spouse's Non-Investment Income - lfyou were ma"led during any portion of the reporting year, complete thh uctlon.

(Dollar amount not required except/or honorarla.)

0 NONE (No reportable non-investment income.)

I. 2006

2.2006

3.

4.

5.

IV, REl1\1BURSEMENTS -transportation, /odglng,food, entertainment.

(Includes those to spou.e and dependent children. See pp. 25-27 of Instructions.}

D NONE (No reportable reimbursements.)

I. Kentucky Bar Association, Frankfort, Kentucky Mileage to speak at Annual Meeting, June 15, 2006 in Covington, Kentucky

2.

3.

4.

5.

SOURCE DESCRIPIION

CREDITOR DESCRIPTION

YALUE

VALUE CODE

of8

Name orPenon Reporting Dile of Report FINANCIAL DISCLOSURE REPORT Hood, Joseph M 3/12/2007

V. GIFTS, (Jncludt!J thou to ilpoU!Jt and dqundtnt children. Stt pp. 28-31 of ln1trucdom.)

[Kl NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VI. LIABILITIES. (lncludn thoilt ofilpoust and dtpendent children. See pp. 32-33 of imtruction:1.)

[K] NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

(I)

3.

5.

7.

(2) (5)

Name or Penon Reporting Date or Report FINANCIAL DISCLOSURE REPORT

of8 Hood, Joseph M 3/12/2007

VII. INVESTMENTS and TRUSTS -Income, value, transactions (Includes those of the spouse and dependent chlldren. 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 of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (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) or int.) (J-P) Code3

(Q-W)

(3) (4)

I. Fifth Third Bank, Lexington, Ky., Checking Acct. .

None J T

2. Fifth Third Bank, Lexington, Ky., Certificate

A Interest

Type(e.g. buy, sell, redemption)

Redeemed

Date Value Gain Identity of Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private

transaction)

1105 1 A

A G Edwards-single(x) c Int./Div. L T Bought 3/31 L

4. -Centennial Money Mkt

-FT INTERNATIONAL PORT#6, FIRST TRUST#955

6. -AMUSX

-ABNDX

8. -CAIBX

9. -CWGIX

10. -AEPGX

I I . -A GTHX

12. -AIVSX

13. -ANEFX

14. -SMCWX

15. -AFTEX

16. -AWSHX

17. METLIFE INVS INS CO INS PROD(X) None J T Bought 3/31 J

J. Income Gain Codes: A=$1,000orlm B =$I ,00 I -$2,500 c =$2,501 - $5,000 D =$5,001 • $15,000 E =$15,001 -SS0,000

(See Columns BI and D4) F =$50,001 -$100,000 G=SI00,001 -Sl,000,000 Ht =St,000,001 -$5,000,000 H2 More than $5,000,000

2. Value Codes J =S 15,000 or Im K =$15,001 - $50,000 L=S50,00l -SIOO,OOO M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 o=S500,001 -st,000,000 000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3=$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V =Other S ""Assessment

U=Book Value W=Eslimated

Pt =s1,ooo.001 -ss.000.

FINANCIAL DISCLOSURE REPORT

of8

Name or Penon Reporting

Hood, Joseph M

Date or Report

3/12/2007

VII. INVESTMENTS and TRUSTS -Income, value, transact/om (Includes thou of/ht spouu and dependent children. Su pp. 34-60 of filing Instructions.)


A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting.period

(1) (2) (1) (2) (1) (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, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

18. JOHN HANCOCK LIFE INS CO (X) None L T Bought 3115 K

19. LINCOLN NATIONAL LIFE INS CO (X) None J T Bought 3/31 J

20. IRA #1 (X) None J T Bought 3/30 J

21. -AMUSX

22. -AHITX

23. -ABNDX

24. -AGTHX

25. -AIBAX

26. -AWSHX

27. IRA #2(X) None J T Bought 3/30 J

28. -AMUSX

29. -AHITX

30. -ABNDX

31. AGTHX

32. -AIBAX

33. -AWSHX

34. A G Edwards-Estate(X) A Dividend J T Invest 5/02 J

c-s2,sot -ss,ooo D-SS,001 -SIS,000 E =SIS,001 -SS0,000 I. Income Gain Codes: A =$1,000 or less e s1,001-s2.soo

(See Columns BI and D4) F =$50,001-$100,000 G =$100,001 -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 • $50,000 L =$50,00t -SI 00,000 M =SI00,001-$250,000

(See Columns Cl and DJ) N =$250,001-$500,000 0 =$500,00t -$1,000,000 Pl =$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

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

(See Column C2) V =Other U =Book Value W -Estimated

1 35.

(1) (I) (3)

(A H)

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

of8 3/12/2007Hood, Joseph M

VII. INVESTMENTS and TRUSTS - Income, value, tranJactlom (lncludeJ thoJe of the JpOUJe and depmdent children. See pp. 34-60 of filing l mtructionJ.)


A. B. c. D.

Description of Assets Income during Gross value at end of Tnmsactiom during reporting period (including trust assets) reporting period reporting period

(I) (2) (2) (2) (5)(4) Amount Type (c.g. Value Value Value Gain Identity of Place "(X)" after each asset DateType (e.g. Code I Methoddiv., rent, COde2exempt from prior disclosure Month- Code2 COde I·buy, sci buyer/seller

or inl) Code 3 redemption) (J·P) (A-H)Day (if private (J-P) transaction)(Q-W)

-CENTENNIAL MONEY MKT

I. Income Gain Codes: A =Sl,000or 1 ... B =Sl,001 -$2,500 c =$2,501 •$5,000 0=$5,001-$15,000 E =SI 5,00 I •$50,000

(See Columna Bl and 04) F •$50,001 •$100,000 G =$100,00 l •SI ,000,000 HI -Sl,000,001 -SS,000,000 112 =More th.an$5,000,000

2. Value Codes J=Sl5,000orlOIS K =SI 5,00 I -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columna Cl and 03) N =$250,001•$500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 •$25,000,001 -$50,000,000 R =Coat (Real Estala Only) P4 =More than $50,000,000 T=CuhMarl:et

(See Column C 2) Q =Appraisal V"'°'her S •AMessment

U•BookValue W=Estimated

D1te or Report N1me or Penon Reporting FINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lnd/cate parlo/Report.)

Items in Part VII, Lines 3-35 were obtained through a bequest from the estate ofa family member.

l----Date



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 honorarla and the acceptance of gifts which have been reported are In compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

1z.1U)o7}UNOTE: A UAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO 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

ORGANIZATION/ENTITY

PARTIES

CJ (/)

-., CJ 9

3.

AOJO Rev.112007

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2006

1. Person Reporting (last name, first, middle initial) 2. Court or Organization

Hood, Joseph M E.D.KY.

4. Title (Article ill judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Date U.S. District Judge (Active)

D Initial Annual

Sb. D Amended Report

D Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§JOI-I II}

3. Date of Report

3/1/07

6. Reporting Period

0110112006 to

12/31/2006

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it ls, in my opinion, in compliance

P.O. Box 2227 with applicable laws and regulations.

Lexington, KY 40588-2227

Reviewing Officer

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.

Date

I. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)

D NONE (No reportable positions.)

POSITION

I. Director

NAME OF

2. Board of Managers Diederich Educational Trust

4.

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

(EJ NONE (No reportable agreements.)

I.

AND TERMS

CJ . ,,o-(/):;;?: cl> :u;:z f'l(J Ol> 'lr-

ITJ

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2.

3.

SQURCE AND IYPE

SOURCE

Date of Report Name of Person Reporting· FINANCIAL DISCLOSURE REPORT

Page 2 of8 311107Hood, Joseph M

m. NON-INVESTMENT IN COME. (Reporting individual and spouse; see PP· 17-14 of instructions.)

A. Filer's Non-Investment Income

[!] NONE (No reportable non-investment income.)

SOURCE AND TYPE

1.

INCOME (yours, not spouse's)

2.

3.

4.

5.

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.)

1. 2006

2.2006 Proctor,

3.

4.

5.

JV. REIMBURSEMENTS - transportation, lodging.food, entertainmenL

(Includes those to spouse and dependent children. See pp. 25-27 of instroctions.)

D NONE (No reportable reimbursements.)

DESCRIPTION

I. Kentucky Bar Association, Frankfort, Kentucky Mileage to speak at Annual Meeting, June 15, 2006 in Covington, Kentucky

2.

3.

4.

5.

3/1/07

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3of8 Hood, Joseph M

V• GIFTS. (Includes those to spouse and dependent children. See pp. 18-31 of instructions.)

!KJ

DESCRIPTION VALUE

!.

NONE (No reportable gifts.)

SOURCE

2.

3.

4.

5.

VJ. LIABILITIES. (Includes those of spouse and dependent children. See pp. 31-33 of instructions.)

[Kl NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

VALUE CODE

2.

3.

4.

5.

(1)

3.

4.

5.

7.

15.


Page4 of8 Hood, Joseph M 3/1/07

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) -


A. Description of Assets (including trust assets)

B. Income during reporting period

c. Gross value at end of

reporting period

D. Transactions during reporting period

Place "(X)'' after each asset exempt from prior. disclosure

Amount Code I

(A-H)

(2) Type(e.g. div., rent,

or int.)

(I) Value

Code2 (J-P)

(2) Value

Method Code3 (Q-W)

(l) Type(e.g. buy, sell, redemption)

(2) Date Month-Day

(3) Value Code 2 (J-P)

(4) Gain Code! (A-H)

(5) Identity of buyer/seller (if private transaction)

1. Fifth Third Banlc, Lexington, Ky., Checking None J T Acct..

2. Fifth Third Banlc, Lexington, Ky., A Interest Redeemed 1/05 J A Certificate

A G Edwards-single(x) c Int./Div. L T Bought 3/31 L

-Centennial Money Mkt

-FT INTERNATIONAL PORT#6, FIRST TRUST#955

6. -AMUSX

-ABNDX

8. -CAIBX

9. -CWGIX

10. -AEPGX

11. -AGTHX

12. -ANSX

13. -ANEFX

14. -SMCWX

-AFTEX

16. -AWSHX

17. METLIFE INVS INS CO INS PROD(X) J T Bought 3/31 J B

I. Income Gain Codes: A =Sl,000 or!ess B =$1,001 - $2,500 c =$2,501-$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =Sl5,00I -$50,000 L =$50,001-Sl00,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001-$500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001-$5,000,000 Pl =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than S50,000,000 T=Cash Marl<et

(See Column Cl) Q =Appraisal y =Other S =Assessment

U =Book Value W =Estimated

(4) Gain

23.

29.

30.

34.


Page 5 of8 3/1/07Hood, Joseph M

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of.filing instructions.)


A. Description of Assets {including trust assets)

B. Income during

reporting period

C. Gross value at end of

reporting period

D.

Transactions during reporting period

Place "(X)" after each asset exempt from prior· disclosure

(I) Amount CodeI

(A-H)

(2)

Type (e.g. div., rent,

or int.)

(I) Value

Code2 (J-P)

(2) Value

Method Code3

(Q-W)

(I) Type(e.g. buy, sell, redemption)

(2) Date Month-Day

(3) Value .. Code2

(J-P) Code l

(A-H)

(5) Identity of buyer/seller (if private transaction)

18. JOHN HANCOCK LIFE INS CO (X) L T Bought 3/15 K c

19. LINCOLN NATIONAL LIFE INS CO (X) J T Bought 3/31 J A

20. IRA#! (X) None J T Bought 3/30 J A

21. -AMUSX

22. -AHITX

-ABNDX

24. -AGTHX

25. -AIBAX

26. -AWSHX

27. IRA#2(X) None J T Bought 3/30 J A

28. -AMUSX

-AHITX

-ABNDX

31. AGTHX

32. -AIBAX

33. -AWSHX

A G Edwards-Estate(X) A Dividend J T Invest 5/02 J

l. Income Gain Codes: A=$1,000 orless B =$1,00 I - $2,500 c=$2,501 • $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(See Columns BI and D4) F =$50,001 - $100,000 G=$100,001 -$1,000,000 HI=$1,000,00! -$5,000,000 H2=More than $5,000,000

2. Value Codes J 415,000 orless K=$15,001 - $50,000 L =$50,001-$100,000 M=SIOO,OOl -$250,000

(See Columns Cl and D3) N=$250,00 I - $500,000 0 =$500,001 • $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Columo C2) Q =Appraisal V =Other S =Assessment

U=Boo k Value W =Estimated

C.

(2) (4) Gain

135.


Page 6 of8 311107Hood, Joseph M

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.) D A.

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

· D.

Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(1) (2) (I) (2) (I} (3) (5) Amount Type (e.g. Value Value Type(e.g. Date Value ldentity of Code l div., rent, Code2 Method buy; sell, Month.- Code2 Code 1 buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

-CENTENNIAL MONEY MKT

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 • $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(See Columns Bl and D4) F=$50,001 -$100,000 G =$100,001 • $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 orless K =$15,001 -$50,000 L =$50,001 • $100,000 M =Sloo,001 -$250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0=$500,001. $1,000,000 Pl =$1,000,001 • $5,000,000 P2 =SS,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,ooo T =Cash Market

(See Colwnn C2) Q=Appraisal V=Other S =Assessment

U =Book Value W =Estimated

3/1107

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 7 of8 Hood, Joseph M

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicaJepartofReport.)

Items in Part VII, Lines 3-35 were obtained through a bequest from the estate of a family member.

__ Date_3_,(>--• ...-I 0_1 __

' -


Page 8 of8 Hood, Joseph M 3/1/07

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 of 5 U.S.C. app. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signatur

NOT E: ANDCRIMINAL SANCTIONS (5 U.S.C. app. § 104)

. I SOR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

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 Colwnbus Circle, N.E. Washington, D.C. 20544

nancial disclosure repo in govenment act of 1978 (5 …in govenment act of 1978 (5 .s.c. opp.§...

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