Washington, DC 20544

Aleta A. Trauger US. Distri<:t Judge

615 736-7143 Fax 615 736-7156

UNITED STATES DISTRICT COURT

Middle District of Tennessee

August 2, 2004

825 a.s. Courthouse 801 Broadwny

Nashville, Tennessee 37203

Honorable Mary M. Lisi, Chair Judicial Conference of the United States

Committee on Financial Disclosure One Columbus Circle, N.E.

Re: Amendment to 2003 Financial Disclosure Report

Dear Judge Lisi:

Thank you for your letter of July 27, 2004. Please consider this letter as an amendment to

my Financial Disclosure Report for calendar year 2003. ·

With regard to Part m B., line 1, my hu8band is "self-employed" under the instructions to

this part in that he is a partner in a law firm partnership, the name of which is Trauger, Ney & Tulce. I hope this answers your inquiry. Please feel free to contact me should you need further information.

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______________________ _ Date. _____ _

POSITION NAME Of ORGANIZATION/ENTITY

PARTIES AW TERMS

0 --..t

"Tl 0

F11

A0-10

Rev.1/2004

FINANCIAL DISCLOSURE REPORT

1. Person Reporting (Last name, First name, Middle initial)

Traugcr, Aletll A

4. Title {Article III Judges indicate active or senior status;

magistratejudges indicate full- or part-time)

U.S. District Ct.Judge-Active

Calendar Year 2003

2. Court or Organization

U.S. District Court (MD Tenn)

5. RcportType {check appropriate type)

Q Nomination, Date

0 IDitial @ Amwal 0 Final

Report Required by th'e Ethics

In Government Act of 1978

(5 U.S.C. app. §§ 101-111)

3. Date of Report

05/13/2004

6. Reporting Period

01/01/2003

to 1213112003

7. Chambers or Office Address

825 U.S. Courthouse

8. On the basis of the infonnation contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

with applicable laws and regulations. 801 Broadway

Nashville, Tennessee 37203 Reviewing Officer

IMPORTANT NOTES: The fustructions accompanying this fonn must be fo11owcd. Complete all parts, checking the NONE box for each part

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

1 POSmONS. (Reporting individual only; sec pp. 9-13 offiling instructions)

0 NONE - (No reportable positions.)

I. Member, Board of Trustccs Cornell College, Mt. Vernon, Iowa

2. Member, Board of Trustees SL Bernard Academy

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

NONE - (No reportable agreements.)

0-1. CJ> :0

r- o- (")en% -c::.> m;oZ -

Nm2 "° < o> -0 ..,, ..- :s: rn

- 0 2flt

SQURCE AND TYPE GROSS INCOME

SQURCEANP TYPE

SOURCE DESCRIPTION

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Trauger, Aleta A

Di!le of Report .

05/13/2004

Ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.) -

I.

(yours, not spouse's)

2.

B. Spouse's Non-Investment Income-(Ifyou were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)

D NONE (No reportable non-investment income.) -

1. 2003 Income from law firm partnership

2. 2003 Distn1>ution from-estate

IV, REIMBURSEMENTS -transportation, lodging, food, entertainment.

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

NONE - (No such reportable reimbursements.)

1.

. .

SOURCE PESCRIPTION

DESCRIPTIQN VAL1JEC0PE

FINANCIAL DISCLOSURE REPORT Namc ofPcrsonRcporting

Traugcr, Aleta A

Date of Report

05/1312004

V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

NONE (No such reportable gifts.)-

l.

VI. LIAB1IlT.IES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

D NONE (No reportable liabilities.) -

CREDITOR

l. SunTrust Bank Mortgage on law flIDI building (joint liability with 4 other partners)

2. SunTrust Bank Lines of credit for law finn (joint liability with 4 other partners)

0

K

lf

B D

K

3.

7.

. - FINANCIAL DISCLOSURE REPORT Pag 1of3

Name of Per5on :ReP<>rting

Trauger, Aleta A

Date of Report

05/13/2004

VIl. INVESTMENTS and TRUSTS - income, value, transcatioos (includes those of the spouse and dcpcodent children. See pp. 34-57 of filing instructions.)

A. B. c. D.

Description of Assets (including trust assets)

Income during reporting period

Gross value at end of

reporting period Transactions during reporting period

(1) (2) (l) (2) (I) not CXC11111 from disclosule

Place "(X)" after each asset exCJl1)t from prior disclosw-e

Amount Code 1 (A-H)

Type (e.g. div. renL or int.)

Value Code2 (J.P)

Value Method Code3 (Q-W)

Type (e.g. buy, sell, merger, redeq>tion)

(2) Date: Moalil-Day

(3) Value

Codc2 (J-P)

(4) Gain Code 1 (A-H)

(S) Identity of buyer/seller (ifprivate transaction)

DNONE (No repor1able income, assets, or baDSlctions) '

1. Acc'ts. at SunTrust Bank, Nashville, TN B Interest M T

2. The Equitable All.A. Group IR.A E Interest L T

Robertson Stephens Emerging Growth Fund None M T

4. Covc;utry Health Care Inc. common stock None 0 T

s. Guilford Co., NC farmland B Rent N w

6. Cash surr. value NW Life policy None K T

Cash surr. value of2 NW Life policies None L T

8. Parnassus Fund B Dividend K T

9. Union Planters common stock B Dividend K T

10. Interest in law firm bldg. None N w

11. Profit sharing plan-Benefit Consultants Grp & None 0 T Divers. Trust

12. Fidelity Advisor Equity Growth Class T Fund None K T

13.

14.

Aintrce Capital Acc't. - IRA a) Pershing Gov't. Acc't.

Knox County, TN munic. bonds

A Interest

None

K

K

T

T

15. Rutherford Co., TN gen. oblig. bonds None K T

16. Ingram Micro, Inc. common stock None J T

17. ITECH Partners, LP. None L w

18. Promissory note from Paul C. Ney, Jr. None L T

I. IncomefGain Codes:

(Sec ColunmsBt and 04)

2. Value Codes:

(Sec Co\unms Cl and 03)

3. Value Method Codes

A - Sl;OOO orless

F - SS0,001-$100,000

J -s1s,ooo orless

N = $250,000-SSOO,OOO

P3 = $25,000,001-SS0,000,000

Q =Appraisal

G

0

R

= Sl,001-$2,SOO

· =:$100,001-Sl;OOO,OOO

= S15,001-SSO,OOO

= SSOO,OOJ"Sl,000,000

= Cost (Real Estate Only)

C =,$2;501-SS,OOO

Hl ..·51,000,00lJiS,000,000

L SSO,OOJ-S!00,000

Pl =:Sl,000,001•$5,000,000

· P4 = .SMore than £50,000,000

s = Assessment

= $5,001-S 15,000

H2 =Mon: lhan SS,000,000

M = S!00,001-$250,000

P2 = S5,000,00l ·S25,000.000

T = Casb/Markct

E = $15,001-SSO,OOO

If disclosure

(4) (S)

-

(1)

(e.g.

33.

,,. FINANCIAL DISCLOSURE REPORT D ate of Report Name of Pers0n Reporting

· Page2 of3 Traugcr, Aleta A OS/13/2004

. VIl. INVESTMENTS and TRUSTS - income, value, transcations (includes those oflhe spouse and dependent cluldren. See pp. 34-57 of filing instructions.)

A. B. c. D. Income during Gross value at end of Transactions during reporting period

Description of Assets reportingperiod reporting period (including ttust assets) not ex from

(1) (l) (1) (2) (2) (3)

Type (e.g.Place "QC)" after each asset exempt fromprior disclosure

Amount Type Value Value Dall:: Value Gain Identity of Code2 Mdbod buy, sell, Month- buyer/sellerCode I div. rent. or Codc2 Code l

(A-H) int.) (J-P) Codc3 merger, Day (ifprivaU:transaction)

(J-P) (A-H) (Q-W) )

19. Moore County, NC timber land None M w

20. SkillSoft PLC f/kla SmartForce PLC None J T

21. Qualifacts Systems, Inc. None M w

22. Metro Nashville Electric Revenue bonds B Interest K T

23. CP it'ool One, LLC None K w

24. Bank of America Corp. A Dividend K T

25. Duke Energy Corp. A Dividend J T

26. Exxon Mobil Corp. A Dividend K. T

27. Jefferson-Pilot Corp. c Dividend M T

28. Occidental Pete Corp. A Dividend J T

29. Piedm on t Natural Gas Co. A Dividend J T

30. Progress Energy Inc. A Dividend J T

31. V eriz.on Communications A Dividend J T

32. Metro Nashvtlle Electric Service 1.ero Coupon None K T Bonds

TN Housing Development Agcy. Homeownership B Interest K T Bonds

The Providence Service Corp. Common Stock None sell 8/18 M G34.

35. The Providence Service Corp. (2 notes) D Interest ex for stock 8/18 M G

36. The Camelot Schools, LLC (2 n otes) None M T

1. lnconE/Gain Codes: A = 1.000 or Jes& B = Sl ;00l,$2;SOO c -=S2so1 ss.ooo n ='.:SS.001-s1s.ooo ll -=·s1s,001 so;ooo ·

(Sec Cohmms Bl and 04) f ·•iS0,001-$100,000 G ·-'$100,001-Sl;OOO,OOO 'Hl s1;000,001-ss;ooo,ooo m =Morethan'SS;ooo,ooo

2. ValueCod:s: J -SlS,000.orless K • SlS,OO! SS0,000 L ·='"SSD,001-$100,000 ){ s100,001.:siso,ooo

(Sec CollDIIDS Cl and 03) N =$250,000.:SSOO,OOO o =:ssoo,001 s1.ooo;ooo Pl s1,ooo,001 s;ooo,ooo P2 • ., ss,ooo,001cm,ooo,ooo

P3 =$2S,000,0Cll-$50,000,000 P4 =Nore than $50,000,000

3. Value Method Codes Q = Appraisal R - Cost (Real Estate Only} S = Assessm:nt T = Cash/Market

A.

Gain

A ll •D :E

F 'G

K 1. M

s

reporting period

(I) (3) (4)

FINANCiAL DISCLOSURE REPORT Date of Report Name of Person Rep0riing Page3 of3 Trauger, Aleta A 05/1312004

- income, value, transcations (includes those ofthe spouse andclepcndentclu1drcn. Seepp. 34-57 offiling instructions.)· VII." JNVESTMENTS and TRUSTS

c D.B. Income during Gross value at end of Transactions during reporting period

Description of Assets reporting period (including trust assets)

If not exempt from disclosure(2) (2) (I)(1)

(S)(2) Place ·w· after each asset cxaq>t Amount fiomprior disclosure Code!

(A-H)

37. The Providence Service Corp. common stock

38. Centennial Money Market (A.G. Edwards) (X) A

39. Elizabethton, TN water & sewer revenue bonds

Type (e.g. div. rmL or int.)

None

Interest

None

Value Codc2 (J-P)

J

K

Value Method Codc3 (Q-W)

T

T

Type (e.g. Date: buy, sell, Month· merger, Day redemption)

cxcbglbuy 8/18

buy 1116

Value Codc2 (J-P)

Code! (A-H)

Identity of buyerfsellcr (ifprivatetlaDslction)

M

K

1. Income/Gain·Codcs:. c SI,000-'!"less .. Sl,001-$2,500 c ccS2;50!-l5,000 c$5,001-S1 .ooo =SIS,001"$50,000

(Sec CohmmsBl ml 04) = sso,001-srno;ooo s100,001"s1;ooo,ooo .HI. St;000,001-S5;000,000 H2 =More than SS,000,000

2. Value Codes: J .. SI 5,000 orless = SlS,001.:.SSO,OOO • SS0,001·S100,000 ... SI00,001 $250,000

(Sec Colmms Cl and D3) N .. $250,000-$500,000 0 = $500,001-Sl,OOO,OOO ·Pl =Sl;000,00l-S5.000,000 P2 "'SS,000,001."$25;000,000

P3 = $25,00Q,OCH-$50,000,000 -P4 = lMorc than SS0,000,000

3. Vallie Method Codes ,,.. _ _ ,..._1._,...,,\

Q Tl

=Appraisal """''D..uJ... Valu,.

R

v

.. Cost (Real &tate Only)

= 'W

= Assessment

=cEstimated

T = Casb!Market i

__J

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Trauger, Aleta A

Date of Report

OS/13/2004

VIlI. ADDffiONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)

No. 10. Not taking into account the outstanding mortgage.

Nos. 34, 3S, 37. On Aug. 18, 2003, Providence Service Corp. made an initial public offering, in which we(!) sold Providence Common Stock that we owned and (2) converted our 2 promissory notes into additional Common Stock in Providence.

CRIMIN ANCTIONS

FINANCIAL DISCLOSURE REPORT Name or Person.Reporting· Date of Report .

Trauger, Aleta A 0511312004

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

Signature

AND WILFULLY FALSIFIBS OR FAILS TO FILE TIIlS REPORT MAYNOTE: ANY INDIVIDUAL WHO KNO BE SUBJECT TO CIVIL AND (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