c- · 8. n . the . ss . of i. n. o i. on contained in this reort nd a1y modiications petaining...
TRANSCRIPT
'
Reviewing-Officer. ___________ _ Date·----
POSITION NAME OF ORQANIZATION/ENTlIY
PARTIES AND TERMS
0 (,')
,, C",)
�.::
' . Report Req 1lred by the EthicsC-A0-10 FINANCIAL DISCLOSURE REPORT in Governm1mt Act of l978· U2004
Calendar Year 2003 (5 U.S.C. BPI>•§§ 101-111)
l. Pe son Reporting (Last name, :First nW!Je, Middle initial) 2. Court or Organization 3. Date of Report
oun-i,J. FOY,JR. U.S.DISTRICT COURT, N.D. ALA. 05/15/2004
4. Title (Article Ill Judges indicate active or senior status; 5. ReportType (check appropriate type) 6. Repo11ing Period magistrate judges indicate full- or part-time)
Q Nomination, Date 01/0112003 Senior U. S. District Judge
Q Initial @Annual 0 Final 1213112003
7. Ch 1mbers or Office Address 8. On the basis of the infonnation contained in this Report and a 1y modifications pertaining thereto, it is, in my opinion, in complianice
918 FEDERAL COURTHOUSE with applicable laws and regulations. 1729 FIFTH A VENUE NORTH BIRMINGHAM, ALABAMA 35.2Cl3
IMPORTANT NOTES: Tbe instructions accompanying this form must be followed. Complete aH parts, checking the NONE box for each partwhere you have no reportalble information. Sign on last page.
I. POSffiONS. (Reportiing individual only; see pp. 9-13 of filing instructions) D NONE - (No reportable positions.)
I. Director Alabama Law Institute
2.
11. AGREEMENTS. Clleporting individual only; see pp. 14-16 of filing instructions)
NONE - (No reportable l!lgreements.)
I.
n . ...,.,a-V,:7::; c_: :::> ;;::) ::-:= · ·•r i i:· ;: c-: ,.. :::r-
·i -a
.......= = ._ .... c_ c:: :;,:::
.c
lJ
.,J 0 :o
AjJ m 0 rtl -
rn 0
V1 oo
SOURCE AND TYPE GROSS INCO!Mfi
SOURCE ANP TYPE
I.
DESCRIPTION
FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting Date of ReJPOrt
GUIN, J. FOY, JR. 0511512004
ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see PP· 11 24 ortiling instructions>
A. File1r's Non-Investment Income
- (No reportable 1non-investment income.) Nro·.NE,
(yours, not spouie's)
l.
B. S1>011se's Non-Investment Income - (If you were married during any portion of the reporting year, please complete this section. (dollar a.mount not re 1uired except for honoraria)
NONE (No reportabfo 11on-investment income.) -
N. REIMBURSEMENTS - transportation. lodging, rood, entertainment.
(ln1 ludes those to spouse and dependent children. See pp. 25-27 of instructions.)
NONE - (No such reportable reimbursements.)
I.
-1 ·�--------...1.---------------------�--------J.--
·----
QESCRlPTIQN
---·-�---�-----------------------------------
DESCRIPTION
-----
"FINANCIAL DISCLOSURE REPORT Name of Person Reporting
GUIN, J. FOY, JR. 05/1512004
V. GIFTS. (Includes those to spollSe and dependent children. See pp. 28-31 ofinstructions.)
0 NONE - (No such reportable gifts.)
1. D01wntown Rotary Clulii, B'ham (See Section VIII for explana-
2. tion.) $0
VI. LlABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
hll NONE - (No reportable liabilities.)
1.
05/151'2004 ----'- --:...· ·-:-- ......_ -- -- ..J....--..:.:.:..::..:..;:.:.:..:... --l
and. TRUSTS
-
·-
10. I _ - e olutnns 2. Value
T
\
-. ..
(4)
'---3-· V-al-1re_J __ _cthod-c·o -de -s -Q -=-A_1 _.ra_i_ _' -R =-C_o_Af_(_Re_ _IE-:s_m_w_O_n_l)-·) -S =-A_s_ _·s-sn_ _n1_· ·1_· =-C.asn/ _M_a_rn_.e _t - . _ (See C2)
FINANCIAt DISCLOSURE REPORT Name of Person Reporting
- income, value, transcations (includ7s those of the sliouse and dependent children. See pp. 34-57 of filing instruction.•l.)
2.
14.
(2) {3)
P4 ""$More thari $SO,Oo-O,tl00
·.
Date of Report
Page 1 of 6 GUIN, 1. FOY, JR.
VII. INVESTMENTS -
A. B. c. D. Income during Gross value at end of Transactions during reportini: period
Description of Assets reJ1.0rting period reporting period (including trust assets)
(l) Ifnot exempt from disclosure
(5)(1) (2) (1)
(2)Place "(X)" after each uss1:t •=xempt Value Type (e.g.Amount Type (e.g. Value Date: Value Gain ldlentity of from prior disclosure Code l div. rent. or Code.2 Method buy, sell, Month- Code2 Code I
merger,{A-H) int.) (J-P) Code3 Day (J-P) (A-H) (if private (Q-W} redemption) transaction)
DNOJN"E (No reportW!le income, .assets, or transactions)
l. Office Bldg. Russellville,Afa.. D Rent L w -
buyer/seller
l/3 interest in lot located in Haleyville, Ala. A RCJ\1 J w - -
3.
4.
5.
6.
1.
8.
9.
10.
11.
12.
13.
AmSouth Bank account A Interest J T
-Regions Bank (checking) A Interest J
-B'ham Fed Employees Fed Cr Union (sav/cking) A Interest J T
-ExxonMobil Corp com D Dividend 0 T
SBC Communications, Inc com B Dividend K T
-Clipper Fund A Dividend J T
IRA ACCT.A A Div& int -
K T
--Per:shing Govt Acct (Mone market fund)
-.:reco Energy Inc com.
.
--'Teleflex Inc com. -
-AmSouth Bancorpation com -
-
15.
Home Depot, Inc com
IlllAACCT.B c Div&Int M T
-16. -Applied Materials Inc com
-17. -Bank of America Corp COIJl
18. -CVS Corp com
.ain Codes: . A ='$1,000 tit ie!ii . "'$1,00Hi2,SOO · :c =S.2.;Sincts,ooo D = $5,001-$1,5,000 E =, s1s,oo.i-:sso.ooo. · .Bl and DA) F ''=$S0,001 s.100,ooo Cl = $100,00l-$1,000;000_ ·Hl .'= Sl,OOO,tJoi-SS,Ooo,000 H2 =Mme iillln ss,000,000
Codes: J =$15.,llooor,I K. "'i!>ts,001-tso,ooo .. tso.ooi-S.too,lioo M $100;001-Siso.ooo= (See Coluinns Cl and 03) 'N = s2st1,oiJO-$SOO,tioO O. =SSOO,OO!-Sl,000,000 .P2 =$S,000,001-S25,000,-000 Pl =Si,Ooo,OOl-$S,OOO,OOO
P3 = $25,000,001-$50,000,000
_J.
Column 0 Book Value V = Oiher W =Estimated =
I
- WW
'
- -
-
-
.
- -
.•
A
-..
A c
F G
N Pl
(I)
33.
34.
35.
FINANCIAL DISCLOSURE REPORT N""" ofPmon R_;,,, Dal• of Report · · Page 2of6 GUIN, 1. FOY, JR. OS/1512004
VII. INVESTMENTS and TRUSTS - income, value, transcations (include those of the si]ouse-aud dependent children. See pp. 34-57 of filing iMlruction. .)
B. c. D. Income during Gross value at end of Transactions during reporting period
A.
Desc:ription of Assets repo_!tlng period reporting period · 
Repo;;-----i 05/15/2(
-
-
r= ;:c:;dD4) I
A
.F
P3
G
K
(2) (3) (4) (S)
;f
i
-
c =$15,0014 1. M
Pl
P4
I
If not exempt frOm disclosure -
· .
. , FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of ·· Page 3 of' 6. GUIN, J. FOY, JR.
VII. INVESTMENTS and TRUSTS - income, value, transcation. (includes hose of the spciuse and dependent children. See jrp. 34-57 of filing inSlructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period ·lelJortinll period
(I) (I)(including trust assets)
(I) (2) (2)
37.
38.
39.
40.
41.
42.
43.
44.
45.
46.
47.
48.
Place "QC)" after each as.'lCt exempt frOm prior disclosure
Johnson & Johnson com
-
IRAACCT.C
--
-Pershing Govt Acct (Money tnarket fund)
-
-Schering-Plough Cotp com
-Southwest Airlines Co com
-
-Dollar Gen Corp com
-Wendys Intl, Inc com
-
-Gralllger WW, Inc com
-
-Masco Corp com
-fohnson & Johnson com
-
BIROKERAGE ACCOUNT #1
-Verizon Communications com
Amount Code l (A -H)
A
A
Type (e.g. div. rent or int.)
Div&lnt
Dividend
Value Code 2. (J-P)
K.
J
Value Method Code3 (Q-W)
T
T
Type (e.g. buy, sell, merger, redemption)
Buy
Sell
Sell
Sell
Buy
Buy
Buy
Date: Month-Day
11125
08/15
09/18
11/13
11/14
11/19
11/25
Value Code2 (J-P)
J
J
J
Gain Code It ( A-H)
A
B
B
ld.entily of buy< r/seller (if p1rivate transaction)
-
-
49.
50.
51.
-SBC Communications, Inc com.
-
-Elell1routh Corp. com.
-
-Elarrick Gold com
A
A
A
Dividend
Dividend
Dividend
1
1
I
T
T
T
. -
52.
53.
54.
-Abbott Laboratories com.
. · -
-J!Llbertso1ns, Inc. com.
-
-Hewtett-Packard Inc. com.
A
A
A
Dividend
Dividend
Dividend
I
I
J
T
T
T
= $1,000 or le5s ·B = $1;001-$2,500 = $2,501 $5,ootJ D = $5,001-$15,000 E
"'SS(l;OCll;StOo,000 "'SlOO,OOi-Sl,000,000 iii;; si,ooo.001 ss.roo.ooo H2 "" More than $5,000,000
2. Value Codes: · ·
,. SJ S;l)OO or iess = $15,001-$50,000 . ""sso.cio1�$ioo;o00 ·= $.100,001-$2.50,000
(See Oolunnns Cl and D3) N =$250-,000-$500,000 0 = SS00,001-$1,000,000 .;-$i,D00,001-$S;OOO,OOO P2 ;,;,, $5,000,001-$25,000,000
I'' 3. Value Method Codes Q
= $25,000;00l-$50,000.000
=AJ1p1raisal R =Cost (Real Estate Only) s
= $More than $50,000,000
= Assessment T =Cash/Market
(See Ct>lumn C2) u =Book Value v =Other w =Estimated
________ o_ _._1_.ro__.J_R_. _____________ -
-
-
--
-
09/24
I
-
-
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(e.g.
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' FINANCIAL DISCLOSURE ltEPORT Name ofPersonReporting Date:ofReport P e4d6
VII. INVESTMENTS anci TRUSTS - income, value, transcations (Includes \hose of the spouse and dependent children. See PJ>. 34-57 of filing instrucl:ions.) -
A. B. c. D. "'-" Income during · Gross value at end of Transactions during reporting period
Description of Assets re ng period reporting period · fmcluding trust assets)
(1) If not exempt from disclosure (1) (2) (1) (2) (3) (4) (5)
Date: ValuePlace (X)" after each asset 1ex•empt from prior disclosure
Value Value Type (e.g.
div. rentor Amount Type Gain Identity of
1 Code IICode2. Method buy, sell, Month-Code Code2 buyer/seller(if prl\late DayInt)(A-H) merger, (J-P) (A-H)(1-P) CodeJ
(Q-W) redemption) tran.<saction)
SS. -Agil nt Technologies com None J T
56. -McDonald's Corp. com. A Dividend J . T
57. -Southwest Airlines com. A Dividend J T Partial sell B
-58. ·Flee twood Enterprises com None Sell 07/03 A
-59. -Hubbe! Inc. Class B com A Dividend Sell 08/07 A
-60. -Peps ico Inc com A Dividend J T
-·
61. -Amsouth Bancorp com A Dividend T
-62. -Texas InstrurnentS, Inc com A Dividend J T
63. -Intel Corp.com A Dividend J T
64. -PPG Industries com A Dividend I T
65. -Allian ce Govt Reserve {Mone'}' market fund} A Dividend K _T
66. -Home Depot Inc com A Dividend J T
67. -Eiristol Meyers Sqw.'bb Co c<>m B Dividend J T Partial sell 07/28 . -A
68. -.Mere·k & Co, Inc com A Dividend J T
-69. -Gien :ral Electric Co com A Dividend J T
70. -Auto,JDatic Data Processing, In1c com A Dividend J T . "-
71. -Sche ring Plough Corp corn A Dividend Sell 08/15 A
72. -Luce .nt Technologies, Inc com None J T
I. Income/Gain Codes: A ;.,; U,{}(Kl bt less (SeeColunmsBI ando4) f =$50,CIOt $ioo.ooo
'.?..Value Codes: J . "'$15,CIOO or less (See Columns Cl and 03) N = S iO.Ooo-sS00,000
P3 = $2.S,UOO;OOl-S:S0,000.000 3. Value Method Codes Q =Appraisal
(See Column C2) U = Bat>k Value
B G K 0
R V
"'St,OOI-$2,500 : =$100,00J-$1,000,0!iO
"'$15,001-$50,oOO
= $SOO,OOl·Sl,OOO,OOO
= Cost (Rea! Estate On.iy) =Other
C Ii1 L Pl P4 S W
.. si;so1"SS;OOO = Si,000,001:$5,009,000
... sso.001-$100,000 = $l;OOO,OOl-S5..ooo,ooo = $More than $50,000.000 = Assessment = Estimated
1> :"'$5,001 $i.5,000 i·I2 =iv1ore tbe.nss,000,000 M =S:10o,ooi S2so.ooo P2 .. $S,000,001-S25,000,000
T = C'.ash/M arket
E =$15,001-$50,000
ofRepl8rt
·----------�-------------"'---------------------------------------1--
-
--Kim berly
-- -
--
-=$i,lltlilori
-
-
'--��--������� -��������������������������--��������--������_J
FINAJ CIAL DISCLOSURE REPORT Name of Person Reporting
-3M
89.
(2)
'-
Da1e .
Page 5 of 6 GUIN, J. FOY, JR. os11512004
VII. INVESTMENTS and TRUSTS - income. value, transcations (include those of the siiouse-and dependent children. see· pp. 34-57 of filing instructions.) -
A. B. c. D. · ·-· Income during Gross value at e1td of Transactions during reporting 11eriod
Description of Assets . re rting period reporting period · (including trust assets)
Ifnot exempt from e (I) (2) (I) {I) (2) (3) (4) (.5)
Place "(X)" after each asset eitempt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain lde:ntity of Code2 Code I buyer/sellerfrom prior disclosure Code2 Method buy, sell, Mondt-Code I div. 11:11t or
merger,(A-H) int) (J.P) Code3 Day (J-P) (A-H) (ifjiiivatetransaction)redemption)(Q-W)
73. -Pfiz· r, Inc com A Dividend J T
74. Clark Corp com A Dividend J· T Buy 03/06 J
-75. -Jeffierson Pilot Corp com A Dividend J T Buy 06/19 J
-76. r, Inc com -Pfize A Dividend J T Buy 06/19 J
--
77. -Gmiger WW, Inc com A Dividend J T Buy 06/26 J
-78. -Medlcohealth Solutions, lnc c<1m None Spin-off 08125 Spin-off-
Merck&Co, -
79. -Nok ia Corp Sponsored ADR None J T Buy 09/17 J
80. . n& Johnson com -Johnso A Dividend J T Buy 10/23 J
81. -Ciranger WW, Inc com None J T . Buy 11/14 J
-82. -Allst ate Corp com None J T Transfer 10/02 FromBrkg
Account #3
83. -C:he'vronTexaco Corp com
-
A Dividend J _T Transfer 10/02 FromBrkg Account#3
84. eral E lectric Co com -()en
-
None ] T Transfer 10/02 From Brkg Account #3
85. Company com A Dividend J T Transfer 10/02 - From JBrkg Account#3
86. BROKERAGE ACCOUNT IJ2
87. -Amedouth Bancorp com A Dividend J T
-Ava ya, Inc com None Sell 12109 A88.
-Prob:ctive Life Corp com Dividend J T
90. -Butler, AL Utilities - bonds A Interest Redemptio 03/03 A n
I. Incoili, OainCodes: A :a· =$1,001•$2,SOO (See CiJltlllirisBI aru:!D4) F =$50,001�$100,000 ti "'SHio,OOJ•Sl,000,000
·2. Value Codes: J -=$1.5,tiOOor.kss K =$15;001-$50 000 (See O:ilumns Cl and 03) N ;,, $2:50.000,:SSOO,Oob 0 ssoo,oot,Sl,000,000=
P3 $2:5,llOO,OO I ·$50,000.000 =
3. Value Method Coclr.s Q =Appraisal R = Cos! (Real Estate Only) {See Column C2) U = Book Vaine V =Other
c =$i.5oi-ss;QOQ JJ ;= ss.001-s1s,ooo s s1s,001-sso,ooo=
Hi .;;$i,ooo,ooi�i5,-0oo,ooo 1:12 ;;,Mo1:ttkn$sJ100,ooo L .;s o.001 sHio,ooo . ivi = sioo,ooi"s:iso,ooo·
vi = $1,000;001-ss.000,000 r2 =ss;ooo,001.$2s,ooo,ooo
P4 $More than $50,000.0CIO=
S Assessment T = Cash/Markel=
W = Estimated
·�--�������--���������������������-'-�·
..
--
--
:Aoddi>f· sS·
-
J
.L
(3)
l;OOo,oOO
(4) (S)
97.
(I)
(A-H)
'-
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Dale: ofRepmi Page6 of6 GUIN, J. FOY, JR. 05/15/2004
vn. INVESTMENTS md TRUSTS -income, value, tnmscations (lncludes;those ofthe spouse and dependent children. See pp. 34-57 of filing instruction. .) j
-A. B. c. D. . ...
Income during Gross value al end of Transactions during reporting p:riod Description of Assets reporting period reporting period · including trust assets)
If not exempt from disclosure:(2) (I) (2) {I) (2)
place "(X)" after each asset exempt Amount Type (e.g. Value Val11e Type (e.g. Date: Value Identity ofGain f rom prior disclosure Code 1 div. rent or Code2. Method buy, sell, Month- Code2 Codell buyer/seller
int.) merger, Day(J-P) Code3 (J-P) (A·H) (ifprivateredemption)(Q-W) transaction)
91. !ank NA Bank Deposit Pri gram (Money-Citiil m:lll'ke ·t fund)
A Interest T
92. BJltOl ffiRAGE ACCOUNT #3
-
93. -Allstate Corp com
-
A Dividend Transfer 10/02 To Brokerage Account#l
94. -Chev ronTexaco Corp com
-
A Dividend Transfer 10/02 To Brokerage Account#!
95. -Gene :ral Electric Co com
-
A Dividend Transfer 10/02 To Brokerage Account#)
Roebuck & Co com A Dividend Sell 10/27 A
-3M C :ompanycom A Dividend Transfer 10/02 To Brokerage Account#!
98. ScuddlerVar. Life Invest. Fund (Charter Nat'J - None T money market
I. Income/Gain Codes: (See Collimrls BI and D4)
· A ;,, st)JOo cir tesf .r · =sso,,ciol sioo;OOO ·.
· · .. ·• n G
,,;s1,001 s2Jbo = $100,001-S
c ;;.;si;sol..ss,ooo HI '° s! ;OOO;Oo.I $5,iooo,ooo
o ..,,ss.001 tLs.ooo H2 = More tha.ti $5,oob.ooo .
E = 3:15,001-$50.000
2. Value Oxles:
(See Columns Cl and 03)
j .· ·
N · 2sn,oo0;$5oo;ooo k
0
.. sis,ooi-$5o,Ci00 . ; . . .
= $500,001-$1,000,000 '·' L· :..sso.i>01cs10o,ooo'
Pl =$1,oo0,001...SS,OOO;OOO M ""$100,001csiso,ooo n = $s,ooo,ooi-ru,ooo.ooo
r3 = $2s,ooo,oot:csso,ooo.ooo P4 = $Mote than $$0,000,000
3. Value Metholl Codes Q =Appraisal R = Cos1 (Real Estate Only) s = Assessrneli! T = Cash/Market
(See Column C2) U =!Boo!.: Value V =Other W = llsti mated
ofRepo ·��������������-:--����.-.....·����������....L.�
Dat1
0511512J)M
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
GUIN, J, FOY, JR.
VIII. ADDITIONAL JNFORMATION OR EXPLANATIONS (Indicate part of Report.)
Item V. Other gifts
I hold an honorary membership in the Downtown Rotary Club in Binningham, Alabama. I have attend six to eight meetings per year, but pay only for meals. I have no vote and talce no part in the club policy or decision making. Value of members ip is unknown. As explained in my letter ofJuly 6, 1995, an appropriate dollar value for this honorary menbership would be no more than S l .00. I am really only a guest who pays$ IO.po for a SS.00 meal. In :no way can this honorary me:nbership be said to have any value. There is no such thing as "a basic membership with like privileges".
Item VII. Investments and Trusts
Investments that were purchased in 2002 were combined with the same investment in the same account.
·
Name of Person Reporting FINANCIAL DISCLOSURE .REPORT Date of Report
GUIN, J. FOY, JR. 05/15/1004
IX. CERTIFICATION.
I certify that all infonnation given above (including infonnation pertaining to my spouse and minor or dependent childten, 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 pennitting non-disclosure.
I fmther certify that earned income from outside employment and honoraria· and the acceptance of gifts which have been reported are in compliance '"rith the provisions of5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Si
FULLY FALSIFIES OR.FAILS TO FILE THIS REPORT MAY SANCTIONS (5 U.S.C. app. § 104)
0
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Cominittee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544