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TRANSCRIPT
r I
__________ _ Date ____ _
POSITION ORGANlZATION/ENTITY
PARTIES
.... ......
A0-10
Rev.112004
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2005
1. Person Reporting (Last name, First name, Middle initial)
Higgins, Thomas A
4. Title (Article III Judges indicate active or senior status;
magistrate judges indicate full· or part-time)
U.S. District Judge (Senior)
2. Court QC Organization
Middle District of Tennessee
5. ReportType (check appropriate type)
Q Nomination, Date
Q Initial @Annual 0 Flnal
Report Required by the Ethics
in Govenunent Act of1978
(5 U.S.C. app. §§ 101-111)
3. Date of Report
S/12/2006
6. Reporting Period
1/l/200S
to
12/31/200S
7. Chambers or Office Address
See cover letter for current
address
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.
Nashville, TN Reviewing Officer
. this form must be fullowed. ·Complete all parts, checking the NONE box for each part Silo Ora last page.
-
,._• '
I. POSITIONS. (Reporting individual only; see pp. 9.13 orfiling instructions)
NONE - (No reportable positions.)
NAME OF
1.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructi )
NONE (No report11ble agreements.) ·
AND TERMS
1.
· .........
... . 'Ck .
5i
SOURCE
SOURCE
DESCRIPTION
Date of Report FINANCIAL DISCLOSURE REPORT NameofPersonReporting
S/1212006Higgins, Thomas A
III. NON-INVESTMENT INCOME.(Reporting individual and spouse; see pp. 17-24 offiling instructions)
A. Filer's Non-Investment Income
NONE (No reportable non-investment income.)•
GRO SS INCOME (yours, not spouse's)
AND TYPE
1.
B. Spouse's Non-Investment Incomeifyou were married during any portion of the reporting year, please complete this section. Dollar amount not required except for honoraria.)
NONE · (No reportable non-investment income.)
AND TYPE
IV. REIMBURSEMENTS-transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)
NONE (No such reportable reimbursements.) ·
SOURCE
1.
SOURCE DESCR!PTION
DESCRIPTION VAf,UECODE
511212006
Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT
Higgins, Thomas A
V. GIFTS. (Includes those to spouse and dependent children.
NONE (No such reportable gifts.) ·
See pp. 28-31 of instructions.)
I.
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
NONE (No reportable liabilities.) -
CREDITOR
1.
(l) ltnot<IXempt= disclosure
Gain
r
=$15,00p«l® O;QQQ- 00,ooo
Ci:!dil$
$25,oOO,oor.sso.ooo,ooo ,. I
o s. 'ssoo.001 $1.000;000 , .-r ,
cost e.l \')nly)
Hl
$$Q;®hUOOiOQO f{2
S100.®l412$0,ooo iii $i.ooiooi $s;(}()(),ooo $s. 001-$2J,00q,ooo P4 =$M()ie $56;ooo,ooo
'=Alill etit
W
(2)
(A-H) (A-H)
6.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
5/1212006Page 1 of6 Higgins, Thomas A
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes those of the spouse and dependentchildren See pp. 34-57 offilinginstru4:tions.)
c. D.A. B. Gro'1S value at end of Transactions during reporting period Inrome during
Description of Assets reporting period reporting period (including trust llSS\lts)
(1)(2) (1) (2) (3) (4) (5)
Place '(X)' after each asset ex:1m1pt from prior disclosure
Value VaJuc Type (e.g. Date: Value Identity of Code 1 div. rent or Amollllt Type (e.g.
Codo2 Method buy, sell Month- Code2 Code 1 buyer/seller(ifprivate(J-P) Codc3 merger, Day (J-P)int.)
redemption)(Q-W) transaction)
(No reportable income, assets, or transactions)DNONE
l. Farm. William11on Co., TN • 2/3 undivided
2. Interest
3. Active Acct. No. 1
4. Morgan Stanley Tax Exempt Seo. Fund
s. Morgan Stanley Dividend Growth B Fund
N Q Partial Gift 12/22 K See note Part vm
D Rent
M TD Dividend
c Dividend K T
Gift 6/21 J See note Part VIII
6. Morgan Stanley American Opportunities Fund A Dividend
7. Capital Opportunities Trust B
8. Equally Weighted S&P 500
9. Active Acct. No. 2
10. Morgan Stanley Exempt Seo. Fund
Gift 6121 J See note Part VIII
A Dividend
B Dividend J T
A Dividend J T
Ll. Morgan Stanley American Valuo Fund A Dividend J T
l2. TCW/DW Latin American Growth Fund A Dividend J T
.3. MSDW C<mpetitive Edge BIP B Fund A Dividend J T
4. MorglUI Stanley S&P Select Fund B A Dividend J T
s. Morgan Stanley Strategist Fund B A Dividend J T
Morgan Stanley Dividend Growth B Fund A Dividend J T
Sale 2/2 J7. VIU!Kampen America Cap. Equity Fund A Dividend
!. InCQme/O.ain C<:>dea: A .. $1,00Q ode$$ B =$1,001.$2,50() c = $2,501-$5;006 D "$5,001-$15,000 E = $15,00!,$50,ooO .(SctC9lUn1ill!Bl !UldD4) F "'$5Q,JX)t.$100,000 G = $l00,001·$lji'.IO(j,J)OO = $1,000,00H$S;(l()Q,J)OO =Mil th$ri $5;000,000
2. Va!Uo Cod ; J K ,. $l$;QO!MO,OOQ ' L " M =
(S colUillJl..'!Clandm) N ., .: , · . = n =
PS "'
I. Valull}4\llhod Q R = &tai� ' s '
(Seo CollinJn 02) . U = !3®k Yllluo v =Ot!)er "'™Unia ·
od;ooo
t;lrJ (SecCo ClwtDl)
$2$,000;06r'S50;oo0;000 V-1µ };.fe\b.o<!C Q "'AP?rnit!ll.I
B
=$100,061·$1;000,000
o =.$ Q().w1 1.ooo;ooo
on)y)
It nom disclosure
T
"'Slod,®)•$2 9;000
(5) Gain
(I)
(A-H)
24.
= .cQ&t(}l.t\lll :Est.le
D.
reporting period
(A-H) (if private
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 2 of6 Higgins, Thomas A S/1212006
VII. INVESTMENTS and TRUSTS - income. value. ions (includes th0$C of tho spouse aru1 oopendenl chi1c1ren. Seo pp. 34-51 orti1ing instructions.)
Tramactions during reporting period A. B. c.
Inoomc during Gross value at end of Description of A.=ts reporting period(including trust 11$$C!s)
not eicempt (2) (I) (2) (I)
(2) (3) (4) Place "(X)' after each asset exempt Value Value Typo (e.g. Date: Value Identity of Amount Typo (e.g.from prior disclosure buy, sell, Code I div. rent or Codc2 Method Month· Code2 buyer/sellerCode I
int) (J-P) Codc3 ma-gee, Day (J-P)redemption)(Q-W) transaction)
18. Morgan Stanley h'tive Asset Money Trust A Dividend K T
19. Altria Group, Inc. (Common) A Dividend J T
20. Unit Van Kampen Dent Global Demographics Series 2 A Dividend J T Buy 2/2 J
21. Morgan Stanley IRA Acct. No. 1 E rnv&Int N T
i 22. -Morgan Stanley Liquid Asset Fund
23. -DW Spectrum Balanced
-DW Spectrum Strategic
2S. -DW Spectrum Tech.
26. -American Opportunities B Div&Int L T Partial sale 12/8 J
27. -International Smallcap B Div&Int M T Partial sale 11/18 L
28. -Bpecial Value Fund D A Div&Int Sale 11118 K
29. -Value Added MKT Ser/Egy
30.
H.
•VanKampen Growth& Income
-MSIF Core Plus Fixed Inc.
Exchanged 8/12 L See note Part VIII
12. ·MSIF Small Cap. A Div&Int L Partial sale 12/8 J
13. •VanKampen Aggressive Growth Exchanged 8/12 K See note Part VIII
14. •VanKampen Comstock A Exchanged 8/12 L See note Part VIII
.s. ·MS Charter MSFCM
1. Income/GainCodes: A "'s1,oo60r.les,, B "'$1,00H2,SOO c "$2,501-$5,000 D "'$5,00l•$1S,006 E = $15,001-$50,-000 (S.QO Columns.J;l I Mid D4). F "' $50;001 $1 0 HI = $!;000;001-$5,000,000 B2 =More \han $5,00o;ooo
2. Vll.lue.doocs: J .... $!5,090 I< = $15,00,l O;OOO L = $SO,()(}l,$IOO;OOO M · ·. N .•$250;®S5oo;OOO I'I = $l,000,00h$5,QOO;OoO P2 "'s ;ooo;ocn s2.5,ooo;ooo· P3 . = P4 ;;. $Mare than $50,000;000
:3. S =.AS/!e$Sm\ll\I. · · (sec Co!umn.C2) U = QQk Value V =0thcr w =Estimated
(seocotumn:1 1mdD4) : QI' 1
CQ!ui£m.ct an<ID3) mo; $509.00l
Ylll oMcthQdGodOll "' Apprlihl
u ttom disclosure
T
$2,:so1.$s;ooo .,$5,ooFSIS;Ooo HI "'Sl;()()Q,OOh$S,000,0P() :£12 .. M tl\an$S,6oo;ooo
s1 1Q9E-$50;00o t $50,001is100:Q()Q M "$1Qci9Q14i50,ooo n "sl.OOO;ooi .®.ooo n: .\J()0.00:i: 000;000
=$Mo 't!i!iif$30;@,0oo C. .(R Qtily) "; Cit''
w istiizi
Gain
37.
19.
1.
.Q
(2)
vm
FINANCIAL DISCLOSURE REPORT Date ofReport Name of PelSO!l Reporting
S/1212006Page 3 of6 Higgins, Thomas A
VII. INVESTMENTS and TRUSTS - inoomc, value, transcations (includes tho6e ofthe spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description ofAssets reporting period reporting period (including111.lst assets)
not exempt (1) (2) (I)(!) (2) (3) (4) (5)
Place "(X)' after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: div. rent. or
Value Identity of from prior disclosure Code2 Method buy, seli Month·Code I Code2 Code I buyer/seller
Day(J-P) Code3 mager,int.) (J-P) (A-H) (if private transaction)
(A-H) redemption)(Q-W)
36. ·MS CharterOraharn
·Van Kampen Comstock I Rec'dexch 8/12 L See note Part vm
·Van Kampen Aggressive Growth I Rec'dexch 8/12 K See note Part38.
39. Partial sale 12/8 J
40.
41.
-Van Kampen Growth & Income I Rec'dexch
Partial sale
8/12
8/12
L
J
See note Part VIII
42. ·MSIF International Small Cap A Buy 11/18 L
43. ·MSIF TR US Small Cap Val INST Buy 11/18 K
44. Morgan Stanley IRA Account No. 2 A Dividend J
4S. ·Morgan Stanley Div. Growth Fund
46. ·Morgan Stanley Information Fund
J7. ·Financial Services Trust B
·Value Added Mkt Ser/Eqy18.
·Amerian Opportunities Fd B.
0. Boston Financial Qualified Tille Credits L.P. V. A Interest K T
Unimprov ed Land, Humphreys Co., TN • 1/2 None L R See note Part undivided interest VIII
2. Sears Municipal TN (tax free bond) A Interest J T
. Unimproved Land, Humphreys Co., TN • 1/2 None J R See note Part undivided interest vm
l. IneomolG4Jn Cad i A ., $1,000 odCsll B ... $f;001-$2,500 c .. . D E = $15,00FsSO,OOO F "'$50,001-s100,ooo G #$100,9(,ll t,Qoo.QIJO
2, V!lluo J "' SlS;OOo • • (Sei; N • o =.$500,9Q1�1,()()0,® . ,;
P .. $2s:ooo.001.:sso.ooo,ooo . p4, . '.· · ' · · I, . . ... &ta e ·;3
(See Column C2) v *Otlt ..
In.comO/
11ndD3) I<
$250,@$500.000
000
=$1,@o,oQi- ;oob,OOO
It .ttom disclosure (2) (3)
M¢o M $loo;oo1-:szsoiooo n =Js;b00,001-s s;®;ooo
(4) (5)
$2S,ooo,001:$$0,ooo.ooo "'Ali
:.. :sMo tll&tsso.000.000 = t
(2)
57.
reporting period
(I) (2)
Date ofReport FINANCIAL DISCLOSURE REPORT Name of Person Reporting•. . 5/12/2006Higgins, Thomas A .lage 4 of6
INVESTMENTS and TRUSTS - income. value. transcations (indudes those ofthe spouse anc1 depeudent children. Sec pp. 34-s1 orfiting imtnwtions.)VII.
A. B. c. D.
ne.,.mption of Assets (including trust assets)
Income during reporting period
Gross value at end of Transactions during reporting period
(1) not exempt (I)
Place '(X)' after each asset exemptfrom prior disclosure
Amo\Dlt Code I (A-H)
Type (e.g.div. rent. or int)
Value Code2 (J-P)
Value Method Codc3 (Q-W)
Type (e.g. !my, sell, merger, redemption)
Date: Month-Day
Value Code2 (J-P)
Gain Code! (A-H)
Identity of buyer/seller (if private transaction)
S4. Bank of America Acc<>unt A Interest J T
! 55. Shares Common Nationwide Financial Services, Inc. A Dividend K T
56. Provideot Mutual Whole Life B Dividend K T
58.
Mutual ofNew York Whole Life B Dividend L T
Trust E Div. & Int. Pl T
59. ·SunTrust Tenn. Reserve Fund (Money Market Funds)
60. -Allstate Corp (Bond) Redeemed 512 K
61. -FPL Oroup Capital Inc. (Bond)
52. -Stanley WKS (Bond)
)3. ·DuPont EI DeNemours Co. (Bond)
)4. -Wells F & Co. (Bond)
;5, -Citicorp (Bood)
;5, -Caterpillar Inc. (Bond)
7. -Deere & Co. (Bond)
8. -Insured Municipals Income (TR) (Mut. Fund)
. -Municipal Insd Nat'I TR (Mut. Fund)
). -Harley Davidson Inc. (Common) Sold 10/11 J
I. -Limited Brands Inc. (Common)
I. · Codes: A .. .$1,00Qorl B =$1,001 2,SOO C "' $4,SO J.$5, o =$s,om::�ns.ooo E = $15,001-$50,000 ($. ColW)msl31 andD4) F = $50,00l-$100,00() 0 = $!00;09!•$1;000,000 · HI ·"' s1.0oo.oor, ooo.ooo H2 = thl\n ss,000,000
t Value Coqes: l tfS,QOPorless . '"$1S,QOh$S.Q;OO!) ·L . ;u·$SO;QQF$100;000 •• · · ."'-($ 90!• Cl N ... 0 ;o$SOO,Q0h$1,0QO,OOO Pi ·
f>3 .. 14·· i. ValueMcthQd Oodes Q R '!C°"t(R l:& Only) ·. S ·. ·. ·
(S Cqlumn CZ)
1.nei)mwGait\cQdes: A ( P4) Y rn c i' $l}; or!CSIJ .<S@<M 91anaD3) ,., (l. OQ.®9
P3:- -$ ;0®Pht $5 »000 Vi!t,1e!.ielbodC9d A
II xrom wsc1=
"'Sl00,l),Ql41;qoo,ooo
=$50Q;oQl l. !boo "' 001 $19();000 $i,0oo,001:.Ss,@.0oo I>2 $5,@,001.$z5;000;000
= $i:iczjltit4nssb;®o.ooo "'Coat(R l Qilly)
V{- =E
Gain
(!) (2) (2)
(A·H)
FINANCIAL DISCLOSURE REPORT Date ofReportName of PetSQn Repocting
5/1212006age 5 of6 Higgins, Thomas A
VII. INVESTMENTS and TRUSTS - income, va1uc. ons cmc1udes tbooe of the spouse and dcpendCl)t children. See PP· 34-51 or ming inst!uctions.)
A. B. c. D. Income dwing Gross value at end of Transactions dwing reporting period
Description of As$ets reporting period reporting period (including trust wets)
not e11empt (!)(I) (2) (3) (4) (5)
Type (e.g. Date: ValuePlaw '(X)' after each asset exempt from prior disclosure
Value Value Identity of Amount Type (e.g. buy, sel Month-div. rent or
int) (J-P) Code3 Method buyer/sellerCode2 Code2 Code I Code 1
mcq;er, Day (if private (J-P) (A-H)redemption) transaction) (Q-W)
-Anheuser Busch Inc. (Common)72.
73. -Pepsico Inc. (Common)
74. -Sysco Corp. (Common) Sold 10/6 K
75. -WalMart Stores (Common) Partial sale 9n J
76. -Walgreen Co. (Common)
77. -Apache Corp. (Common)
78. -Chevron Texaco Corp. (Conunon)
79. ·Exxon Mobil Corp. (Conunon)
80. ·American Int'! Group Inc. (Common)
81. -Fannie Mae (Common)
82. ..Jefferson Pilot Corp. (Common)
83. -8unTrust Bank (Common)
84. ·Biomet Inc. (Common)
lS. .Johnson & Johnson (Common)
16. -Lilly Eli & Co. (Common)
t7. ·Medtronic Inc. (Common)
t8. ·Pfizer Inc. (Common)
:9. ·Wellpoint Health Networks (Common)
l. .. $i,ti0Qqr.1®S B =$1,001-$2,500 D = $5,001-$15,000 E ., S!S,()()1-$$0,000
Col�SI and .F ,. $5(},0Ql.;$(0(),000 Q H:I "'$1,000;001;$5,000,000 !:!2· = Mot'Q tl:laitSS,000;000
. . .. 1: . K "'$J5;00l·S$O;m . L · · "'$190;.00.l•S250;000
.. t,-.. . N 0 lit·"'
• -P4·•. . =
; Q .. R · .' .· .. ·."'Aiis !lht . T "' C8sb/Market
V "'0th«
and
$25;0<l0;001.:$50;000,ooo AppraiSll)
"'$1 ,00b ;@
It = <11SC1osure
(3)
$5;900.000
"'$100;001•$2$-0,!JOO
$Moiil tMn $50,00Q,oOO = t "' arkot
Gain
90.
(!) (I) (2)
(if private transaction)
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date ofReport
}age 6 of6 Higgim, Thomas A 5/1212006
VII. INVESTMENTS and TR us Ts - income, valuo, transcations (includes those of thespouse and dependent children. Seo pp. 34-57 of filing instructions.)
A. B. c. D. hlcome during Gros:! value at end of Transactions during reporting period
Description of Assets reporting period r period(including trust assets) (2) (2) (l) not eix:empt
(4) (5) Plaee "(X)' after eaeh asset exempt Amount Type (e.g. Value Value 1YPe (e.g. Date: Value Identity of from prior disclosure div. rent. or buy, sel Month- buyer/sellerCode I Code2 Method Codo2 Code!
(A-H) int.) (J-P) Code3 merger, Day (J-P) (A-H)redemption)(Q-W)
-General Electric Co. (Common)
91. -Affiliated Computers SVCS (Common)
92. -Automatic Data Processing Inc. (Common)
93. -Cicso Syst,em9 (Comm.on)
94. -Dell Inc. (Common)
95. -Intel Corp. (Common)
96. -Microsoft Corp. (Common)
97. -Sungard Data Sys. Inc. (Common) Sold 8/12 K
98. ·EI DuPont (Common)
99. -Verizon Communications (Common)
100. -Oaieral Elec. Cap. Corp. (Notes)
101. -Merrill Lynd! & Co. (Notes)
102. -Federal Home Loan Bank (Bond)
103. -STI Classic FD-Sm Cap Val Equity (Mut. Fund) Buy 1114 J
104. - STI Classic FD-INTL Equity Index (Mut. Fund) Buy un L
I. Income/01\in Co®$: A "'$1,000 or lqss B "$.l,001-$2;$00. c = $2,501-$5,000 b = $5;001 $15,000 E = s1s,001-$sO,ooo (Slle cotunmsl;31 andD4) F "$50,001-$100,000 G =$100,001-$1;000,000 HI = $1,000;001-$5,000,00Q JU:= More than
i VtilueC cs; .. $1,5,0QO,w less . . L "'$50.001.,$100/lOO M (Seo Columns Cl D3) N " $:25q;®$.50Q.OOO o = $SOO;OOl:$1.QOO'.ooo Pt = $i.ooo.001,;sS,ooo,ooo · "'$s;ooo;oo1.$is,ooo;ooo
P3 .. P4 "'
3, ValuoMelh<x! Q .. . R =C t IEsia\oOilly) s T·
(Seo Column CZ) U =BookV!lluo v =0th w =Estii\liited
Vl\, Lines b ...... ...
---'li1Jdeath undivided ·11 tto9n<1jSii•-•
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date ofReport
Higgins, Thomas A 5/1212006
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (IndicatcpartofReport)
8/20194. Original 112 received by gift :trom..an 1951. Aoqui.red 1/3 of hc remaining 1/2 will. Gift of I/18th interest
Part 6 & Gift to
Part VII, Lines 30, 33, 34, 37, 38, and 40 represent exchanges ofone class of funds for another class and not purchases and sales.
Part vn, Line 51 Unimproved land Purchased 5/22191 Purchase price: $75,000
Part VII, Line 53 Unimproved land Purchased 5/18194 Purchase price: $11,000
__
DateofReportFINANCIAL DISCLOSURE REPORT NameofPersonReporting
. Higgins, Thomas A 511212006
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 knowle9ge 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 of 5 U.S.C. § 501 et. seq., 5 U,S.C. § 7353, and Judicial Conference re ations.
Signature
NOTE: ANY INDIVIDUAL.WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S 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