emmett r cox financial disclosure report for 2010

8/3/2019 Emmett R Cox Financial Disclosure Report for 2010

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Rev. 1/2011FINANCIAL DISCLOSURE REPO RT

FOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , middle init ial)Cox, Emmet t R.

4. Title (Article III judges indicate active or senior s t a t u s ;magistrate judges indicate full- or p art-t ime)Senior U .S . Cir cu i t Judge

7 . C h a m b e r s o r O f f i ce A d d r e s s113 St. Joseph StreetR o o m 4 3 3Mobile , AL 36602

2. Court or OrganizationU.S. Cour t o f Ap pea ls , E leven th Circu i t

5a. Report Type (check appropriate type)

] N om ination, D ate[] Initial [] Annual [] Final5b. [] AmendedReport8. On the bas i s of the informat ion contained in thi s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

3. Date of R e p o r t04/25/2011

6. Repor t ing P e r i o d01/01/2010

to12/31/2010

R e v i e w i n g O f f i c e r D a t e

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 part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( ~ e p o , ~ i n g i n d l v i d u a l o n l y ; s e , p p . 9 - 1 3 of filing instructions.)---] N O N E (No reportable positions.)

I. Director and Secretary2. Secretary-Treasurer

3.4.

5.

POSITION N A M E O F O R G A N I ZA T I O N / E N T IT Y~ O s w a l t C o n d o m i n i u m O w n e r s A s s o c i a t i o n ( s e e S e c t io n V I I I f o r d e s c r i p t i o n )M o b i le B a y C o m pa s s R o s e F le e t o f In t e rna t io na l Ya c h t ing Fe l lo ws h ip o fRotarians (affi l iate of Rotary In ternat ional)

I I . A G R E E M E N T S . m e ~ , o r , i n g individual only; see pp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 9

N a m e o f P e r so n R e p o r t i n gCox, Emmett R.

Date of Report04/25/2011

I II . N O N - IN V E S T M E N T I N C O M E . r R e p o , i n g ~ n d i v i d u u l a n d s p o u s e ; s e e p p . 17-24of filing instructions.)A. Filers Non-lnvestmen t Income~-] (No reportable non-investment income.)O N E

D A T E S O U R C E A N D T Y P E I N C O M E( y o u r s , n o t s p o u s e s )

1. 2010 Unive r s i ty o f A labama School o f Law - Teach ing $10,000.002.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f you were m arried during anyport ion of the report ing year, complete this sect ion.(Dollar amount not required except for honoraria..)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S - t ranspor t a t i on , l odg i ng , food , entertainment.(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)~ (No reportable reimbursements.)ONE

3.4.5.

SOURCE DATES LOCATION PURPOSEGeorge Mason Univers i ty, 08 /26/1 0 - 08 /29 /1 0 Fairfax , VA Sem in a rL a w & E c o m o n i c s C e n te r

ITEM S PAID OR PROVIDEDL o d g i n g a n d m e a l s


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N a m e o f P e r so n R e p o r t i n gCOX, Emmett R.


V . G I F T S . a n a u d e s t h o s e t o s p o u s e u n d d e p e n d e n t children; s e e p p . 2 8 - 3 1 of fillng instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.

3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n c l . d e s those of spouse and de pendent children; se epp. 32-33 of f il ing instruction~)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.

2.

3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r ti n gC o x , E m m e t t R .


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 a l a e , transactions (Includes those of spouse and dep endent children; seepp. 34 -60 of f iling instructions.)N O N E (No reportable income, a ssets, or transactions.)

A. B. C. D.Description of Assets Income during Gross va lue at end Transactions during rep orting p eriod(including trust assets) reporting period of rep orting period

(1) (2) (1) (2) (l ) (2) (3) (4) (5 )Place "(X)" after each asset A mou nt Type (e.g ., Va lue Va lu e Type (e.g., D ate Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, se ll, m m/dd/yy Code 2 Code 1 buyer /sel ler(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A -H ) (if p rivate( Q - W) transaction)

I. Am er ican Funds : Euro Pac i f ic Growth A(Mutual Fund)2. RBC C entura Bank (Account)

A Dividend K T Bu y(addl)A Interest J T

12/28/10 J

3. BankTrust (Accounts) A Interes t J

5.6.7.8.9.

The Vangua rd Va lue Index Fund (M utua lF und)Harbor Fu n d Cap i ta l Ap p rec ia t ion (Mu tu a lF und)Mat th ews In t l Fu n d s : As ian Grth & In com eFund (Mutual Fund)

TDA M MM Port fo l io In v es tor C lass(Accou n t ) (Y)Army A v ia t ion Cen ter FCU (Accou n t )

A Dividend J TA Dividend J T Bu y(addl)A Dividend J T Bu y(addl)

A Interest

Bu y(addl)

12/20/1012/10/1012/10/10

JJJ

I0 . Frank l in Fede ra l A la T /F / Incm CL A A Interest K T Bu y 01/22 /10(Mutual Fund) (addl)

I 1 . Bu y i 1/22/10(addl)1 2 . Bu y 12/22/10(addl)1 3 . Op p en h eimer Dev elop in g Market s CL A A Dividend J T Bu y 12/23/10(Mutual Fund) (addl)1 4 . Si t New Beginn ing Tx F r lnc Corn (M utua l A Interes t J T Bu y 01/04/10F und) (addl)1 5 . Bu y 12/01/10(addl)1 6 . Vangua rd INFL-Pro tec ted Sees Fd(Mutua l C Dividend J T Bu y 12/29/10Fund) (addl)1 7 . TDA M MM Port fo l io In v es tor C lass(Accou n t ) (Y)

JJJJJJJ

1. Incom e Gain C0dcs: A = $1,000 or less B = $1,001 - $2.500 C = $2 ,501 - $5 ,000 D =$5,001 - $15,000(See Columns 131 and D4 ) F = $ 50,001 - $ 100.000 G = $ 100,001 - $ 1.000,000 H 1 = $ 1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value (odes J = $15.000 or less K = $15.001 - $ 50,000 L =$50,001 - $ 100,000 M =$ 100.001 - $250,000(See Co~unm s (.l and 1)3) N =$250.001 - $500,000 O =$500.001 - $1,000.000 P I = $ !, O 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0

P3 =$25,000,001 - $50,000,000 P4 =M ore than $50,000,0003 . V~lue Method (ode~ Q ~ A p p r a i ~ , al R =Cost (Real Estate Only) S =A s s e s sm e nt T =Cash Mark e t(Se e C olum n C 2) U =Book Value V =Othe r W =Es t im a ted

E =$ 15 , 001 - $ 5 0, 000


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N a m e o f P e r s o n R e p o r ti n gCox, Emmett R.

Date of Report04/25/201 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 co m e , va lu e , ,, a, sa e ao ,s a , clu d c ~ t h o ~ e o l s p o a s e a ~ d d c p c ~ d e . t children; see p p . 3 4 - 6 0 offiling instructions.)N O N E (No reportable incom e, assets , or transactions.)

A. B. C, D.Description of Assets Income during Gross value at end Transactions du ring reporting period(including trust assets) reporting period of rep orting period(1) (2) O) (2) 0) (2) (3) (4) (5 )Place " (x)" after each asset Am ount Type (e.g., Value Value Type (e.g. , D a t e Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 M e t h o d buy, sel l , mm/dd!yy Code 2 C o de l buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A -H ) (if p rivate( Q - W) transaction)

18 .

19 .20 .

21 .22 .23 .

American Funds Europacif ic Grow th F2 CL I(Mutual Fund)

Brandyw ine Funds Com (Mutual Fund)

Dividend

None

B u y 12/2 8/10 J( add l )Sold 02/16/10 J A(part)S o l d 05/17/10 J A(part)S o l d 08/16/10 J A(part)Sold I 1/15/10 J A(part)Sold ll/19/10 J C

24 .25 .26 .27 .28 .29 .30 .31 .32 .33 .34 .

Clipper Fund tnc Com (Mutual Fund)

Janus Invt Fund: Perkins Mid Cp VL Inv(Mutual Fund)Professionally Mdg Ptfl Osterweis Fund(Mutual Fund)Sequoia Fund lnc Com (Mutual Fund)

AA

Dividend K

Dividend JDividend K

None

T

T

Sold 02 /16/10(part)Sold 05/17/10(part)Sold 08/16/10(part)Sold 08116/10(part)Sold 11/15/10(part)Bu y 12/02/10( add l )Bu y 12/21/10(addl)Bu y 12/16/10(addl)Sold 02 /17/10(part)Sold 05/17/10(part)Sold 05/28/ I0

JJJ

J

JJ

J

J

J

J

J

A

A

A

A

A

AAC

I. Incom e Gain C 0dcs: A =$1,000 or less B ~$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 . $15,000(S ee Co lu mn s B I a nd D 4) F =$ 50 ,00 1 - $ 1 00 ,0 00 G =$ 100.001 - $1.000.000 H 1 =$1,000,001 - $5,000,000 H 2 = More th an $5,000.000

2. Value Codes J =$15.000 or less K =$1 5,001 - $50,000 L =$50,00t - $100,000 M ~$ 100,001 - $250,000(S ee Co lu mn s ( 1 an d D 3 ) N = $2 50 .0 01 . $ 50 0,0 00 O ~$ 50 0,0 01 - $ 1.0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P 2 = $5 ,0 00,0 01 - $2 5,0 00 ,0 00

P3 =$25.000,001 - $50,000.000 P4 =M ore than $50,000,0003. Value Method Code~ Q =A p p ra i s al R -Cost (Real Estate Only) S =A s s e s sm e nt T =Cash Mark e t(Se e C olum n C 2) U =Book Value V ~Othcr W ~ Es tim a tc d

E =$15,001- $50,000


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Name of Person ReportingCox, Emmett R.


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 ~ncludes those of spouse and dependent children; seepp. 34-60 of filing instruction~)N O N E (No reportable income, assets, or transactions.)

A. B. C. DD e s c r i p t i o n of A ssets Incom e during Gross v a l u e a t e n d T r a n s a c t i o n s during reporting p e r i o d( i n c l u d i n g t r u s t assets) rep ortin g p eriod of re portin g p eriod

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e .g . , Va lue Value Type (e.g. , D a t e V a lu e G a i n I d e n t i t y o fexempt from prior disclosure Code I div., rent, Code 2 Method buy, se ll, m m/dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W) t r a n s a c t i o n )

35.

36 .37 .

38.39.4 0.

41.42.

43.

4 4 .45 .46 .47.48.

49 .50 .51 .

Third Avenue Tr Intl Value Fund (Mutual None Sold I 1/19/10 J CFund)Ishares: Russell 3000 Index Fund (Mutual A Dividend J T B uy 12/30/10 Jfund) (addl )Ishares: GSC1 Commodity Indexed Trust None Sold 01/05/10 J B(Mutual Fund)Ishares: DJ US Real Estate (Mutua l fund) A Dividend J T B uy 12/30/10 J(addl)Americaa Funds: Euro Pacif ic Grow th F A Dividend K T B uy 12/28/10 J(Mutual Fund) (addl)

S o l d 01/25/10 J A(part)Sold 04126110 J A(part)S o l d 07/26/10 J A(part)S o l d 10/25/I 0 J A(part)

American Funds: Growth Fund of America A Dividend K T B uy 12/22/10 JF (Mutual Fund) (addl)Cl ipper Fund Inc Com (Mutual Fund) A Dividend J T B uy 12/02/10 J

(addl)Sold 01/25/10 J A(part)S o l d 04/26/10 J A(part)Sold 07/26110 J A(part)S o l d 10/25/10 J A(part)

Loomis Sayles Fds I Bd Fd lnst l (Mutual B Dividend K T B uy 01/27/10 JFund) (addl)B uy 12/10/10 J(addl)

1 . Inco me G a i n C e d e s : 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 =$ 1 00 .0 01 - $ 1,0 00 .0 00 H 1 = $1 ,0 00 ,0 01 - $5,0 00 ,0 00 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 =$ 1 00,001 - $250,000(See Co lumns CI and D3) N =$250,001 - $500,000 O =$500,001 - $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 = M ore than $50,000.0003. Value Method Codes Q =Appraisal R ~Cost (Real [!s ta te Only) S =A s s c s s m c nt T =Cash Mark e t(See Column C2) U =l~;~k Value V : Other W =Es t im a te d

E =$15,001 - $50,000


7/9


N a m e o f P e r s o n R e p o r t in gCox, Emmett R.

Date of Report04/2512011

V I I . I N V E S T M E N T S a n d T R U S T S - i.co,.e, vatuc, transactions (Ineludes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip t ion of Assets Incom e during Gross v a l u e a t e n d T r a n s a c t i o n s during reporting period( i n c l u d i n g t r u s t assets) reporting period of reporting period

(1 ) (2 ) (l) (2) (l ) (2) (3) (4) (5 )Place "(X )" after each asset A m ount Type (e.g., Value Value Type (e.g., D ate Value G a i n I d e n t i t y o f

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sel l , mrrgdd/yy Code 2 C o d e | buyer /sel ler( A - H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A -H ) ( i f p r i v a t e( Q - W) t r a n s a c t i o n )

52 .53 .54 .

55 .56 .57 .58 .

Ma instay Funds: ICAP Select Equity Fd CLI (Mutual Fund)Professionally M gd Ptfl: Osterweis Fund(Mutual fund)Sequoia Fund Inc Com (Mutual Fund)

Third Avenue Tr Int l Value Fund (M utualFund)Pimco Funds, Commodity/Real Ret Stratlnst l (Mutual Fund)Pimco Funds Commid ity/Real Ret Strat Instl(Mutual Fund)American Funds Fundamental Investors F(Mutual Fund)

A Dividend

A Dividend

None

A DividendA Dividend

A Dividend

A Dividend

JJ

KJ

K

K

T B u y 12/14/10 J(addl )

T B uy 12/16/10 J(addl )Sold 05/28/10 K

T B u y 12/22/10 J(addl )TT B u y I 1/22/10 J(addl)T B u y 06/01/101 K

D

I . Incom e Gain C odes: A = $1.000 or less B ~$1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000(S ee ~ olu mn s B I a nd D 41 F =$ 50 ,0 01 - $1 00,0 00 G =$ IO0,00l - $1,000,OO0 H i = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H 2 = Mo re th an $ 5,0 00 ,0 00

2. Value Codes J = $15,000 or less K ~$15,001 - $50,000 L =$50.001 - $ 100,000 M =$100.001 - $250,000(Se e C olum ns C I a nd D31 N =$250.0(11 - $500,000 O ~$ 50 0,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P3 : $25,000,001 - $50,000.00O P4 =More than $50,000,0003. Value Mclhod Codes Q = Appr a i s al R ~Cost (Real E~tatc Only) S =A s s e s sm e nt T - Cash Mark e t(See Column C21 U = [ took 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 in gC o x , Emme t t R o


V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.Section I. Posit ions.

~~"~"~ Oswal t Con d om in iu m O wn ers Associa t ion i s a n ot - for -p rof it as soc ia t ion th a t h old s t i tl e to an d man ag es th e comm on areas for lh ree con d om in iu m u n i t s , on e ofwh ich i s own ed by Emm et t R . Cox


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FINANCIAL DISCLOSURE REPORTPage 9 of 9

Nam e o f Per son Repor tingC o x , E m m e t t R .

Date o f Repor t04/25/2011

IX. C ERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t io n g iv e n a b o v e ( i n c lu d in g i n f o r m a t io n p e r t a in in g to m y sp o u se a n d m in o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p le t e t o t h e b e s t o f m y k n o w le d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i c a b l e s t a tu to ry

p r o v i s io n s p e r m i t ti n g n o n - d i s c lo su r e.1 f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p lo y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h ic h h a v e b e e n r e p o r t e d a r e i ncomp liance with the provis ions of 5 U .S.C. app . 501 e t . seq . , 5 U.S.C. 7353, and Judic ia l Conference regu la t ions.

Signature: S/Emmett R. Cox

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 FU L L Y F A L S IF IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B JE C T T O 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

emmett r cox financial disclosure report for 2010

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