nncial disclosue report report itequlred by the ethics c ... · 6. sun ife ssne o. of canada,...

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___________ _ -- POSITION NAMEOFORGQY PA AN TERMS AO-JO <c··· 1/2004 FACIAL DISCLOSUR REPORT I. Person Reprting (st name, First name, Middle initial) Wilson, Samuel G 4. Title (Aricle Il Judges indicte active or seior status; magistte judges indicate fll- or part-time) Active U.S. Distict Judge Calendar Year 2003 2. Cour or Oraniztion U.S.Dist. Ct.Wes Dist.VA S. ReporType (chek a.prpriate ty) Q Noo Date Q Int @ Am1ul 0 Fl Report Itequlred by the Ethics In Government Act of 1978 (5 U.S.C. app. §§ 101-111) · 3. Dte of Repor 6/41004 6. Reoring Period 111/003 to 12131/003 7. Chamber or Ofce Addres P. 0. Box 2421 8. O the basis of te infration contine in this Reor and any moifctions peining teto, it is, in my opinion, in compliance wit aplicble laws ad rgulations. Roanoke, Virginia 24010-2421 Revieing Ofe Date IPORTAN NOTE: Te itco ac mpayng tis fo mu b flo. Complet all pa, checking te NONE bx fr each par whe you have no reportble inforation. Sig on lat pae. I. POSfONS. {eoring individual only; se pp. 9-13 of fling instuction) D NON - (No rporable psitions.) I. Mebe Bd. Of Visitr Wake Forest Univerit Schol of lw I. AGREEM N T S . (Reporting individual oly; se pp. 14-16 offlig intction) C NON E - (No rporable agents.) I.

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Page 1: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

___________ _ -----

POSITION NAMEOFORGANJZATIQN/ENTITY

PARTIES AND TERMS

AO-JO c··· 1/2004

FINANCIAL DISCLOSURE REPORT

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

Wilson, Samuel G

4. Title (Article Ill Judges indicate active or senior status; magistrate judges indicate full- or part-time)

Active U.S. District Judge

Calendar Year 2003

2. Court or Organization

U.S.Dist. Ct.Western Dist. VA

S. ReportType (check a.Ppropriate type)

Q Nomination, Date

Q Initial @ Am1ual 0 Final

Report Itequlred by the Ethics In Government Act of 1978

(5 U.S.C. app. §§ 101-111) ·

3. Date of Report

6/412004

6. Reporting Period

111/2003

to

12131/2003

7. Chambers or Office Address

P. 0. Box 2421

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Roanoke, Virginia 24010-2421 Reviewing Officer Date

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.

I. POSffiONS. {Reporting individual only; see pp. 9-13 of filing instructions)

D NONE - (No reportable positions.)

I. Member Bd. Of Visitors Wake Forest University School of law

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

NONE - (No reportable agreements.)

I.

Page 2: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

SOURCE AND TYPE GROSS INCOME

SOURCE AND TYPE

SOUBCE DEOCRIJ>TION

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Wilson, Samuel G

ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 of filing instructions)

A. Filer's Non-Investment Incom

NONE - (No reportable non-investment income.)

I.

Date of Report

6/412004

(yours, not spouse's)

B. Spouse's Non-Investment lncom - (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 Roanoke City School Board Teaching Salary

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

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

NONE (No such reportable reimbursements.) -

1.

Page 3: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

SOURCE DESCRIPTION

CREDITOR DESCRIPTION VALVE CODE

FINANCIAL DISCLOSURE REPORT NameofPersonReporting

Wilson, Samuel G

V. GIFTS. (Includes those to spouse and dependent children. See p p. 28-3 l of instructions.)

NONE - (No such reportable gifts.)

l.

Date of Report

6/412004

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

NONE (No reportable liabilities.) -

l.

Page 4: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

Code l

D

FINANCIAL DISCLOSURE REPORT

Page 1of4 Name of Person Reporting Wilson, Samuel G

Date of Report 6/412004

VII. INVBS TM:ENTS and TRUSTS - income, value, transcatio11s (includes 1hose ofdie spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. Income during

Description of Assets reporting period (including trust assets)

(!) (2)

Place "(X)" after each asset exempt Amount Type (e.g.from prior disclosure Code I div. rent. or

(A-H) int.)

DNONE (No reponablc iDcome, assets, or transactions)

I. The New Economy Fund Shares in Mutual Fund A Dividend -

2. Treasury Securities - c Interest

3. Treasury Securities Series Q- D Interest

4. Condominium.Myrtle Beach. c Rent

s. Checking &Savings Accts. First Citizens Bank A Interest

6. Sun Life Assurance Co. of Canada, PolicYll A Interest

7. First Citizens Bank Checking Acct. Roanoke. A Interest

8. Capital World Grouwth & Income Fund, Shares c Dividend -

9. Smallcap World Fund, Shares. A Dividend

10. Savings Account First Citizens Bank- A Interest

11. Capital World Growth & Income Fund, Shares . c Dividend

12. Smallcap World Fund, Shares. c Dividend

13. Vodafone/Airtouch Stock. A Dividend

14. Merck & Co., Inc., Stock. A Dividend

IS. Motorola, Inc., Stock . A Dividend

16. Anderson & Strudwick, Inc. (Brokerage Acct • A Interest

17. AT&T, Stock. None

18. Vodafone/ Airtouch Stock - A Dividend

1. Income/Gain Codes: A - Sl,000 or less B = $1,001-$2.SOO

c. Gross value at end of reporting period

(I) (2)

Value Value Code2 Method (1-P) Code3

(Q-W)

M T

L T

L T

M w

J T

J T

J T

L T

L. T

J T

L T

L T

1 T

J T

J T

] T

J T

] T

c = S2,SOl-$5,000

D. Transactions during reporting period

- ---

(I) If not ex t from disclosw-c

(2) (3) •(4) (S) Type (e.g. Date: Value Gain Identity of buy, sci Month- Code2 buyer/seller merger, Day (J-P) (A-H) (if private redemption) tnnsaction)

.

Sell 12/l J B

Pt.Sell 1128 ] B

= $5,001-$15,000 E = $15,001-$50,000

(See ColwuosBl and D4) F = $50,001-$100,000 G = SIClO,OOl-Sl.000,000 HI = SJ,000,001-$5.000,000 lU =More than SS,000,000

= $15,000 or less K. =S!S,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000 2. Value Codes: J = $500,001-$1,000,000 Pl = $],000,001-$5,000,000 P2 = $5.000,001-S2S,OOO,OOO (See Columns Cl and D3) N = $250,000-SSOO,OOO 0

P3 $25.000,00\-$50,000,000 J>4 = $More than $50,000,000

3. Value Method Codes Q = Appraisal R =Cost {Real Estate Only) s = Assessment T = Casl•'Marl<et "' - t..... ; ......... , A

Page 5: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

lfnot

-

(A-ti)

c. Transactions during reporting period · ··

(l)

33.

35.

(4) (S)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page2of4 Wilson, Samuel G 61412004

VII. INVESTMENTS and TRUSTS -income, value, transcations (includes tltose oftbe spouse and dependent children. See pp. 34-57 of filing instructious.)

A. B. D. Income during Gross value at end of

Description of Assets reporting period reporting period (including UUSI assets)

eic:empt tiom disclosure(l) (2) (2) (1) (2) (3)

Place "(X)" after eacb asset cxeiq>t Value Value Type (e.g. Date:AIOOm1t Type (e.g. Value Gain Identity of fromprior disclosure Code 2 Method buy, sell, Month-Code! div. rent. or Code2 Code l buyer/seller

19.

20.

Comcast Corp., Stock ..

Coming, Inc., Stock -

(A-H) int.)

None

None

(J-P)

J

J

Code3 (Q-W)

T

T

merger, rederq:ition)

Sell

Day

4/29

(J-P)

J B

(ifprivate tmnsaction)

-

21. E.I.. Dupont de nemours, Stock - A Dividend J T Sell 8/28 J B

22. Merck & Co., Inc.Stock - A Dividend J T Pt. Sell 113 J B

23. Sell 10/23 J B

24. Pepsico, Inc., Stock - A Dividend J T

25. Sun Microsystems, Stock - None J T

26 . Anderson & Strudwick, Inc. (Brokerage Account) A Interest J T

27. AT&T, Stock- None J T

28. Vodafone/Airtouch Stock - A Dividend J T Sell 1128 J B

29. Comcast Corp., Stock - A Dividend J T Sell 4129 J c

30. Coming, Inc., Stoc None J T Sell 1211 J A

31. E.L Dupont de nemours, Stock - A Dividend J T Sell 8/6 J- B

32. Eastman Kodak. stock9 A Dividend J T Sell 7/16 J A

Merck & Co., Inc., Stock - A Dividend J T Sell 8/6 I c

cPepsico, Inc., StocJc9 A Dividend J s Sell 1211 J34.

36.

Sun Microsystems, Stock . None J T Pt. Sell 8/6 J c

-

Sell 1211 J D

!. Income/Gain Codes: A = $1,000 or less B = Sl,001-$2,500 c = $2, 501-$5, 000 D = $5,001-$15,000 E = $15,001-SS0, 000

(See Colunms Bl and D4) F = $50,00J-$100,000 G Sl00,001-Sl,000,000 HI = $1,000,001-SS,000,000 H2 =More than $5,000,000

2. Value Codes: = $15,000 or less K = $15,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000

(See Colwuns CJ and D3) N = $250,000-$500,000 0 = $500,CXJ\-$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 = $More than $50,000,000

3. Valuo Method Codes Q Appraisal R = Cost (Real Estate Only) S = Assessment T = Caslt'Market

W = E<timated

Page 6: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

f

(3) (4)

E

(1)

merger,

37.

39.

4/29

49.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 3 of 4 Wilson, Samuel G 61412004

- income, value, transcations (includes diose of the spouse and dependeltt children. See pp. 34-57 offiling instructi011S.) VII. INVESTMENTS and TRUSTS

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

Description of Assets reporting period reponiog period (including trust assets)

r not excqit from disclosure (2) (1) (2) (I) (2) (S)

Place "(X)" after each asset ex t Type (e.g.Amow11 Type (e.g. Value Value Date: Value Gain Identity of fromprior disclosure buy, sell, Code 1 div. rent or Code2 Medlod Month- Code2 Codel buyer/seller

(A-H) int.) (J-P) Code3 Day (J-P). (A-H) (ifprivate redemption)(Q-W) transaction)

Anderson & Strudwick, Inc. (Brokerage Acct) - A Interest J T

38. Lucent Technologies, Inc .• None J T

Lucent Technologies, Inc .• None J T

40. Lucent Technologies, Inc. - None J T

41. NCR Corp .• None J T

42. Covance, Inc .• None J T Sell 10/23 J B

43. Quest Diagnostic, Inc. - None J T Pt. Sell 8/6 J c

44. Quest Diagnostic, Inc .• None J T

4S. Yum Brands, Inc. None J

-

T Sell J B

46. Yum Brands, Inc. None J T Sell 7116 J B

47. Avaya.Inc. None J T

48. First Citizens IRA

so.

Europacific Growth Fund A Dividend J T -

·Growth Fund of America A Dividend J T

SI. Harford Small Co. Fund A Dividend J T

S2. Hartfund Stock Fund A Dividend J T

S3. Mutual Series Qualified Fund A Dividend J T

S4. Putnam International Growth Fund A Dividend J T Sell 11n J A

J • lncome/Gain Cock-s:

(See Colunms Bl and 04)

2. Value Codes:

(See Colw11ns Cl and 03)

3. Value Method Code'

A = $1,000 or less

F = SS0,001-$100.000

= Sl 5,000 or less

N = $250,000-$500,000

P3 = $25,000,001-$50,000,000

Q =Appraisal

" _n .......1, \1.,1 .....

B

G

K

0

R

v

= $1,001-$2.500

= $100,001-$1,000,000

= $15,001-$50,000

= $500.IJOl-Sl.000.000

=Cost (Real Eslate Only)

=Oilier

c

HI

L

Pl

P4

s

w

= $2,501-$5,000

= Sl,000.001-$5,000,000

= $S0,001-SIOO.OOO

= $1,000,001-S5,000,000

= $More than $50,000,000

= Assessment

= Estimated

D =$5,001-$15,000

H2 =More than $5,000,000

M = $100,001-$:!50.000

P2 = $5,000,001-S25,000,000

T = Caslt'MalXet

= $15,001-$50,000

Page 7: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

I

B

T

c

I

_J

(I)

57.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 4 of 4 Wilson, Samuel G 6/412004

VII. INVESTMENTS and TRUSTS - income, \'Blue, transcatious (includes those ofllle spouse and dependent cluldren. See pp. 34-57 offiling instructions.)

A. B. c. D.

Dcscriptiou ofAssets (including trust assets)

Income during reporting period

Gross value at end of

reponing period Transactionsdwing reporting period

If not exempt from d1Sclosure (2) (1) (2) (1)

(5)(2) (3) (4) Place "(X)" after each asset exempt from prior distlosure

Amount Code I (A-H)

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

Value Code2 (J-P)

Value Melllod Code3 (Q-W)

Type (e.g. buy, sell,

merger, red tion)

Date: Mouth-Day

Value Code2 (J-P)

Gain Code l (A-H)

Identity of buyer/seller (ifprivate transaction)

SS. Van Kampen Government Securities A Dividend J Sell 4124 J A

56. Pershing Government Acct. (Money Market Acct.) A Interest J T

58.

Lord Abbett Mid-CP VL FDINC A Dividend J T Sell 10/3 J A

State ST Research Aurora CL A A Dividend J T

59. Goldman Sachs Growth Opptns A Dividend J T

60. Agere Systems, Inc. None Pt. Sell 12122 J A

61. Medcohealth Solutions, Inc. spinofffrom Merck A Dividend J T

81119/03

62. Alliance Bernstein Capital Reserve A Interest J T

63. Lord Abbett Limited Duration U.S. Gov. Fund A Dividend J T Buy 4124 J

-

64. PIMCO Renaissance A Dividend J T Buy 10/13 J

un65. Templeton Foreign Fund A Dividend J T Buy J

I. locome/Gain Codes: A = $1,000 or less = $1,001-$2,500 = S2,501-$5,000 D = $5,001-$15.000 E = $15,001-$50,000

(See ColunmsBI aud 04) F = $50,001-$100.000 G = Sl00,001-Sl,000,000 HI = Sl,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes:

(Sec Cohmms Cl and D3)

J = $15,000 or less

N = $250,000-$500,000

P3 = $25,000.00J-$50,000,000

K

0

= SIS,001-$50,000

= $500,001-$1,000,000

L

Pl

P4

= SS0,001-$100,000

= $1,000,001-$5,000,000

= $More than $50,000,000

M

P2

= $100,001-$::?50.000

= $5,000,001-$25,000,000 I

I

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Ouly) s = Assessm.."llt T =Cash/Market

" -A•'h ... \\' = farirnated

Page 8: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Wilson, Samuel G 6/4/2004

(Indicate part ofReport.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

Savings Account First Citi:r.ens Bank (DC) listed on Line 13 of the last report is the account of a child who is no longer a dependant.

The Anderson & Strudwick brokerage accounts listed on Lines 16, 26, and 37 were cash accounts for temporary deposits of funds by Anderson & Strudwick for sale proceeds for sales from brokerage account. Anderson & Strudwick now deposits those proceeds in a money market fund - Alliance Bernstein Capital Reserve. As with previous reports, the individual assets of the Anderson & Strudwick brokerage accounts are listed separately.

Alliance Bernstein Capital Reserve listed on Line 62 is a money market fund used for temporary deposit of funds for sale proceeds for sales from brokerage account.

Page 9: NNCIAL DISCLOSUE REPORT Report Itequlred by the Ethics c ... · 6. Sun ife ssne o. of Canada, Policll A nst 7. Fist Citins Bnk Chcking Acct. onoke. A nt 8. Capital World outh & Income

Date_____,6 /'--#-'1/ _o /.____

Name of Person Reporting Date of Report FiNANCIAL DISCLOSURE REPORT

Wilson, Samuel G 6/4/2004

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 of5 U.S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TIIlS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. §104)

FILING INSTRUCTIONS

Mail signed original and3 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