tom s lee financial disclosure report for 2010

8/3/2019 Tom S Lee Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CAL E NDAR YE AR 2010

Report Required by the Ethicsin Govermnent Act of 1978(5 U.S.C . app. 5~,~ 101-111)

I . P e r s o n R e p o r t i n g (last name, first, middle initial)LEE, To m S .

4. Title (Article 111 judg es indicate active or senior status;magistrate judges indicate full- or part-time)Senior United States District Court Judg e

7. Chambers or Off ice A d d r e s s245 E ast Capitol StreetSui te 109Jackson, MS 39201

2. Court or OrganizationUnited States Dist r ic t Court Southern D ist r ic t of MS

5a. Report Type (cheek appropriate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n the basis of the information contained in th is R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t is , in m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

3 . Date o f Report05/12/201 I

6. Reporting Period01/01/2010

to12/31/2010

I Reviewing O fficer Date

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 pa rt where you have no reportable informa tion. S ign on last page.

I . P O S I T I O N S . m e ~ , o r t l n g i n , ~ i v id u u ~ o n ~ y ; , e e p ~ , . 9 -1 3 of filing instructions.)~- ~ N O N E ( N o reportable positions.)

1 . Genera l Pa rtne r2.3.4.5.

POSITION NAME OF ORGANIZATION/ENTITYTom S. Le ~ Limited P artnership

I I . A G R E E M E N T S . ( R e p o r t in g i .a i v U . . i o n l y ; s c ~ ~ , ~ , . 1 4 - 1 6 of filing instructions.)N O N E (N o reportable agreements.)

1 .20102.3.

DATE PARTIES AND TERMSState Employee Pension Fund; pension upon retirement age 65


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 8

N a m e o f P e r s o n R e p o r t in gL E E , To m S .

D a t e o f R e p o r t05/12/201 I

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Fliers Non- Inves tment Income

~ (No reportable non-investment income.)ONEDATE SOURCE AND TYPE

2.3.4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion of the reporting year, complete this section.(Dollar amoun t not required except for honoraria . )~-~ (No repor table non- inves tment income . )ONE

DATE1. 2010

2.3.4.

SOURCE AND TYPEDirecto r - Communi ty Bancshar e s o f M S, Inc .

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~( Includes those to spouse a nd dependent chi ldren; see pp. 2 5-27 o f i l l ing ins truct ions . )

~] N O N E (No reportable reimbursements.)

2.3.4.

5.

SOURCE DATES LOCATION PU RPOSE ITEM S PAID OR PROV IDED


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 3 o f 8

N a m e o f P e r s o n R e p o r t i n gLEE, Tom S.

D a t e o f R e p o r t05/12/201 I

V . G I F T S . a n c lu d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (N o re p o r ta b le g i f t s .)

SOURCE DESCRIPTIONI.2.

3.4.5.

VALUE

V I . L I A B I L I T I E S . a n cl ud e s those of spouse and dependent children; seepp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.5.

VALUECODE


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Name of Person ReportingLEE, Tom S.

D a t e o f R e p o r tO5/12/201 I

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

A. B. C.Descrip t ion of Asse ts I n c om e d u r in g Gross va lue a t end( inc luding t rus t assets) reporting pe rio d o f re po rtin g p erio d

(]) (2) (l) (2 )Place "(X)" after each asset A m o u n t Type (e.g., V a l ue Value

exempt from prior disclosure Code l d iv ., re n t, C od e 2 M e th od(A - H ) or int.) (J-P) C od e 3

(Q-W)

1. I NG NQ VAR None J T2. American Skandia NQ VA Prudentia l (name None M Tchange )3. Van K am pe n M un i Opp (VM O) A Dividend4. M S O C oupon Bond None M T5. E a ton Vanc e M S Fund B Dividend K T6. MS Hosp i ta l EQ & FAC Bond A I n t e r e s t K T7. Share s o f Community Banschar e s o f M S, E Dividend PI TInc.8. ING. NQ V~~l None J T9. American Skandia NQ~ None N TPrudentia l (name change)1 0 . His Hartford VA IRA~ None M T1 1 . Land in Sco t t Co . , MS None M T1 2 . U.S . Ser . E . Bond s None L T1 3 . Phoen ix Li fe None M T1 4 . Communi ty Bancshar e s o f M S A I n t e r e s t M T1 5 . ~ ING V IRA~I None N T

1 6 . H a r t f o r d V A N Q ] ~I [I None N T1 7 . !!.~ ING VA IRA..[~ None K T

Transac t ions during report ing pe riod

(l ) (2) (3)Type (e.g., D a t e Valuebuy , sell, mm/dd/y y Code 2

redemption) (J-P)

Sold 03/30/10 J

(4 ) (5)Gain I d e n t i t y o f

Code 1 buyer/seller(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

1. Income Gain Codes: A = $1,000 or tess B =$ 1,001 - $2,500 C =$2,501 - $5,000(See Co lumns BI and I )4) F =$ 50,001 - $ 100,000 G =$100,001 - $1 ,000,000 HI =$1,000,001 - $5,000,000

2. Value Codes J =$15,000 or less K = $15,001 - $50,000 L =$50,001 - $ 100,000(See Co lumns CI and D3) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000 PI =$1 ,000,001 - $5,000,000

P 3 -$ 25,000,00! - $ 50.000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Onlyl S =Assessment(See Co lumn C2) U =Book Value V -Other W =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M =$1 00,001 - $250,000P2 =$5,000,001 - $25,000,000T =Cash Marke t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gL E E , To m S .

D a t e o f R e p o r t05/12/201 I

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 , ,e , v o l . e , t , a n s o c a o n s (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructionD N O N E (No reportable income, assets, or transactions.)

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .26 .

127.28 .29 .30 .31 .32 .

33 .34 .

A. B. C.Descrip t ion of Asse ts I n c o m e d u r i n g Gross value at en d( in c lud ing t rus t a s se ts ) report ing pe riod of report ing pe riod

(1 ) (2 ) (l) (2)Place " ( X ) " after each asset A m o u n t T y p e ( e . g ., V a l ue Value

exempt from prior disclosure C o d e 1 div. , rent , C od e 2 M eth od( A - H ) o r i n t . ) ( J - P ) C od e 3( Q -W )Frankl in Income A DividendABB Limit ed NoneV K C & S Mu n i c ip a l D DividendFT M unic ipa l A DividendV K C & S Mu n i c ip a l C DividendThomburg Income Bui lde r C DividendFT Corp. Strength B DividendVK U ti l ity Income A DividendThomburg Income Bui lde r B DividendM atr i x Am. F ir s t Income Trends C DividendFT Munic ipa l Ins . C DividendFT Munic ipa l Ins . D DividendFT Emerging Marke ts A DividendVK Sector Ro ta t i on A DividendFT TM Adv antage A Dividend

Claymore MLP B Dividend.FT Global Commodities A Dividend

J TJ T

M T

J TL TL T

Transac t ions during report ing pe riod

K

TSold

TSold

(1 ) (2) (3)Type (e.g., Date Va lu ebuy, s e l l , m m / d d / y y C od e 2

red e m p tion ) (J -P )

03/30/10 K

08/04/10 KK

M

LLJ

KL

TTTTT

TT

B u y 07/20/I 0 J

B u y 03/30/10 KB u y 07 / 27 / 10 K

(4 ) (5 )Gain I d e n t i t y o f

Code I buyer/seller(A-H) ( i f p r i v a t e


B

C

I. Income Gain Codes: A = $1 ,000 or less B = $1 ,001 - $ 2,500 C =$ 2,501 - $ 5,000 D =$5,001 - $15,000(See Columns B 1 and D4) F =$ 50,001 - $ 100,000 G =$100,001 - $1 ,000,000 HI =$1 ,000,001 - $ 5,000,000 H2 =M ore than $ 5,000.0002. Value Codes J =$15,000 or less K = $15,001 - $ 50,000 L =$50,001 - $ 100,000 M -$100,001 - $250.000(See Co lumns CI and D3) N -$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $ 50,000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =A ppraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market(See Column C2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t i n gLEE, Tom S.

D a l e o f R e p o r !05/12 /201 I

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 dependent children; .see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descrip t ion of Asse ts Transac t ions during report ing pe riod(inc lud ing trus t a s se ts )

I n c o m e d u r i n g Gross va lue a t endreporting p erio d o f rep ortin g p eriod

( 1 ) ( 2 ) (t) (2) ( 1 ) (2) (3)Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value

exempt from prior disclosure Code I div. , r ent , C od e 2 M ethod b u y , se ll, m m / d d ! y y C od e 2( A - H ) or in t . ) ( J -P ) C od e 3 redempt ion) (.l-P)( Q - W )

(4 ) (5 )Gain I d e n t i t y o f

Code I buyer/seller(A-H) ( i f p r i v a t e


35 .~36.37 .38 .39 .

E a ton Vanc e E M L oc a l . B Dividend K T B u y 11/16/10 K

I. Income Gain Codes: A = $1,000 or less B =$ 1,001 - $ 2,500 C =$2,501 - $5,000 D =$5.001 - $15,000(See Co lumns BI and D 4) 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 =$15,001 - $ 50,000 L =$ 50.001 - $100,000 M =$100,001 - $250,000(See Co lumns CI and D3) N =$250,001 - $500,000 O =$500,001 ~ $1.000,000 P1 =$ 1,000,001 - $ 5,000,000 P2 =$ 5,000,001 - $25.000.000P3 -$25.000,001 - $50,000.000 1"4 =More than $50,000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only} S =Assessment T Cash Marke t(See Co lumn C2) U =Book Value V =Other W =Es t imated

E =$15,001- $50,000


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F I N A N C I A L D I S C L O SU R E R E P O R TPage 7 o f 8

N a m e o f P e r s o n R e p o r l in gL E E , T om S .

D a t e o f R e p o r t05/12/201 I

V II I. A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)

Practically all of my annuities, mutual fund accounts, stocks and bonds are held in my LPL Financial Account.The proceeds of all sales and redemp tions shown in this Report were received in that account and all funds for purchaseswere disbursed from that account.


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Name of Person ReportingL E E , T o m S .

Date of Report05/12/2011

I X . C E R T I F I C A T I O N .1 cer t i fy that al l information g iven a bove ( including inform ation per taining to my spouse and m inor or dependent chi ldren, i f any) isaccura te , t rue , and comp le te to the best of my know ledge and bel ief , and tha t any in format ion not repor ted was w i thheld because i t met appl icable s ta tu toryprov isions permit t ing non-d isc losure .I f u r the r ce r ti f y tha t ea r ned inco me f r o m o u t s ide emplo y men t and ho no r a r ia and the ac cep tance o f g i f t s wh ich hav e been r epo r ted a r e incomp liance wi th the prov isions of 5 U .S.C. app. 501 e t . seq . , 5 U.S.C. 7353 , and Jud ic ia l Conference regu la t ions.

Signa tur e: S/Tom S. LEE

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 L F U L L Y F A L S IF I E S O R F A I L S TO F I L E TH I S R E P O R T M A Y B E S U B J E C T TO 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 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

tom s lee financial disclosure report for 2010

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