sidney a fitzwater financial disclosure report for 2009

8/3/2019 Sidney A Fitzwater Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/sidney-a-fitzwater-financial-disclosure-report-for-2009 1/9

no J0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978

, ~ e v . 1 / 7 0 t 0 [ FOR C ALENDAR YEAR 2009 ( 5 u . s . c , a p p . § § t O l . tl t )

1 . P e r s o n R e p o r t i n g ( l a s t h a .m e , f i r s t, m i d d l e i o i t i a l ) 2. Court or Organiza t ion 3 . D a t e o f R e p o r t

Fit:v.vater, Sidney A. U.S. DLstrict Court , N.D. Tex. 0 4 / 2 ~ / 2 0 1 0

4 . T i t l e ( A r t i c l e I ] 1 j u d g e s i n d i c a t e a c t i v e o r s e . ~ i o r s t a t u s ; 5 a . R e l ~ r t T y p e ( c h e c k a p p r o p r i a t e ty p e )6. Reporting Period

magist rate judges indica~ ful l - or par t - t ime)[ ] N o m i n a t i o n , D a t ~ 01101/2009

Chi ef U .S . Di s t r i c t J udge - Ac t i ve [] Initial[] A n n u a !

[] Finalto

12/31/2009

5 b . [ ] A m e n d e d R e p o r t

’~ i Chamb e r~ o r Of f i ce A ddr~s 8. On the basis oflhe Ininrmatinn ¢ontnined In this Report and onymodifications l~rtainlug thereto, It I~, In my opinion, 1~ compliance

U.S. C our th ouse with appl ienble l aw~ and regula t ions .

110 0 Co mme rce S t . , Rm. 15 28

D a l l a s , T e x as 75 242-10 3 5Rtwlewiag Off icer 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 pa~s,

checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . ~,po~,g i , a i~u~t o ,~; ,oo ;p . ~ -- o/~,~ i~, ,~)

[--] NONE (No reportable positions.)

P O S I T I O N NAME OF ORGANIZATION/ENTITY

I. Co-Trustee Trust # 3 (See Part VIII).

I I . A G R E E M E N T S . (Reporting indlvidual only; ,eepp. 14-16 of filing lns~uc~o~l 0 ~" ~~

~ N O N E ~ o reportable agreements.) ~ ~ ~

~ p~TIES A~ TE~S ~

1.



FINANCIAL DISCLOSURE REPORT

[ ~ e o r r e ~ o ~ R ~ o ~ t ~ g

D ~ t . o rR , p o ~

Pa ge 2 of 9 F i t z w a ~ r , S ~ a ~ y ~ ~0~0

I l L N O N - I N ~ S T ~ N T ~ C O ~ . ~R~vo~ ~ ~.~ ~w.~; ~ v~ ~7-z~ o~r~ ~,,~;

A. Filer’s Non-Investment Income

NONE ~o reportable non-investment income.)

D A T E SOURCg A~ T~E ~CO~~ o ~ , n o t s p o ~ ’ s )

1 .

2.

3.

4.

B . S p o u s e ’s N o n - In v e s tm e n t I n c o m e - I f y o u w e r e m a r r i e d d u r i n g a n y p o r t io n o f t h e r ~ p o r t i n g y e a r , c o m p l e t e thi~ section.

~Dollar amount ~ot required except for honoraria.)

~] NONE (No reportable non-investment income.)

DATE. SOURCE/kIND TYPE

1 . 2009 1- sa la ry

2.

3,

4.

IV. REI1MB URSEMENTS - ,~,~wao,io~ to,~u~,~. ~ood. ...... i,, ....

(Includes tho~to spouae and d~pend~ nt cl~ildren; see pp. 25-27 of filing inztr~ctiorts.)

I~ NONE (No reportable reimbursements.)

~ ~ LOCATION p U R P O S I ~ ITEMS PMD OR PROVIDED

1 . The Fre ed om F orm n , Febvaary 19-21, 2009 N ashv il le , TN Ju dg e m o o t co u rt Airfare , hote l , t ransporta t ion , and food

Ar l ington , VA ( F i r s tAmendm ent Center, Inc.,Nashvil le , T’N)

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT

I

of 9 ~t~, sidney A. ~8~0~0

~ NO~ ~o reportable g~s.)

SOURCE DESC~ON VA~E

I.

2.

3.

4.

5.

~’] NONE (No reportable l iabil it ies.)

CREDITOR DESCRIPTION VALUE CQDE

1.

2.

3.

4.

5.



FUNANCIAL DISCLOSURE REPORT ~ . ~ o r ~ , , ~ o . R e p o ~ . ~ ~ . ,e o ~ R ~ p o , ~

P a g 4 o f 9 Flt~vater, Sidney A. 04/28/2010

VII. INVESTMENTS and TRUSTS -N O N E ~ o repo~able income, ~sets, or ~a~tio~.)

KB. C . D .~scfipd~ of~ ~me d~g G~ v~u~ ~ ~d T~c~o~ d~ng ~g ~fiod

(ioclud~g ~t ~se~) ~ng

Pla~ "~" ~r ~h ~et Amour T~ (e.g~ V a l u e V a l u e T~e (e.g., ~te Va~e Grin[ Idenfi~ of

exempt ~m ~or di~lo~¢ C~ I~v~ ~ C~e 2 Me~od b~, ~ll, [~ C~ 2 C~1 ~ b u ys / s e l l e r

I. W~hin~on Mull Invcstom Fund (19~ A Di~dend J T

2. ~S B~ USA D~osit Acct. A Interest J T

3. 3 M C o r p . C o m m o n S t o ck A Dividend J T

4. J .P . M or gan C h aze & C o . C om m on S toc k A Dividend J T

5. Trust # 2 (Nos. 5-9) (S¢c Part VIII) D Dividend M T

6, -U B S R e s o u r ce M gm t . A cc t ( M o n e y M ~r k e tPor t fo l io )

7. -Ca l am o s Gr o wth F un d

8. -Lord Abbett Affil iated Fund

9. -U B S Gl o ba l A l lo ca f io n F un d

1 0 . C a l a m o s G r o w t h a n d I n c o m e F u n d A Dividend J T

1 1 . Lor d Abbet t Af f i l i a ted F und A Dividend J T

1 2, Lord Abbett Fundamental Equity (See Part None J T

13. MFS Research Bond Fund A Dividend J T

1 4 . U B S G l o b a l A l l o c a ti o n F u n d B Dividend J T

1 5 . Je ffe rson-Pi lo t L ife Ins . Co. F lex . Prem. B Interest K TSurvivor Li fe

1 6 . Tt~s t # 3 (Nos . 16 -6 5) (See Par t VI I I ) F IntJDiv. PI T

1 7 . -Dom inion Inves tor Se t’vs . , Inc . Pr imeFund(Money M kt . Acct )

1. Inc om e G ai n C odes : A r$1.000 or le~.s B ~$ 1,00! - ~2 ,500 C -$2 .501 - $5,0~ D

3. Value Me~ C~e~ Q - A p p m i ~ l R~sl ~I E~ ~ly) S =A~t T ~ M~



FINANCIAL DISCLOSURE REPO RT

of 9 Fi~,water, S i d n e y A . 04/28/2010

NONE ~o reportable income, ~setz, or ~a~actions.)

De sc d p d o a o f Asse t s ~ d~g Gro~ v~ at end . T~actio~ d~ng ~pon~ng ~od(including ~t ~) ~g

, 0) [ (~) 0) (2) 0) (~) (3) (4) (s )Pla~ "~)* ~er ~ch ~t ~o~t T~e (e.g., V~ur Va[~ ~(e.g., Da~ V a l u e Ga~ Id~ti~ ofexempt ~m ~or ~los~ C~e 1 , ~v.,~ C~e 2 Me~od ~y, seII, ~d&~ C~2 Co~ I buy~l~ller

(A-~ : orin[) (J-P) , ~ 3 , ~p6on) i:: 0-P) (A-tO (ifpdv~m ’

1 8 . -A~n Asia-Pacific ~e Income F~d

1 9. -~ Teleco~icatiom ~c. Co--onS~k

2 0 . -~Co~mfion Co--on Stock

21. -~nsoli&~d Edison, Inc. Co--on Stock I"

22 . -Dom in ion Resour c es , Inc . C om m on S toc k

2 3 . -Dreyfus Stra tegic Municipa ls Inc . ( IncomeTrus t Fund)

24 . -D uk e E n e rgy Co r p . Co m m o n S to ck

25. -Entergy Corp. Common Stock

26. -Exelon C o r p . Common Stock

27. -ExxonMobil Corp. Common Stock

- ~ ’ i ~ t e n . g y C o r p . Common Stock

29 . - F PL G r o u p h a c . C o m m o n S t o c k

3 0. -Hawaiian Electr ic Indus tr ies hac. CommonStock

3 1 . - In tegrys Energy Group Inc . Common ( fna~rPS Resources Corp )

32 . -M e dco H e a l th S ol u t io n s In c . Co m m o nStock

33 . -M e r ck & Co . I n c . Co m m o n S to ck "

34 . -M o n s a n to Co . N ew Co m m o n S to ck



FINANCIAL DISCLOSURE RE PORT a a , ~ e o r P e n o n R e p o r t i n g D a t e o r l q e p o r ~

of 9 F i t z w a t e r , S i d n e y A . 0 4 / 2 8 / 2 0 1 0

V I I. E N V ~ S T M E N T S and TR USTS - ~oo~,e, ,~t.eo ~r ..... ,io..lncludex those o f s p ..... d dependent chi ldren; s t p p . 3 4 - 6 0 of filing instruaion~.)

~-] NONE (No repor table incom e° asse ts , or transact ions . )

A. 13. I C. D .D e s c r i p t i o n o f A s s e t ~ I n c o m e d u r i n g I Gross value at end T r a . ~ a c t io ~ s d u r i n g r ’ c p ~ r d n g p e r i o d

( including was t a~ets ) r e p o r t i n g p e r i o d ! o f r e p o r t i n g p e r i o d

P h ~ e ~ ( X )~ a t let each ~et A mo un t T ype (e .g . , V alu~ V ~ lue T y p e ( e . g . , Value I Ga~ l d~ t i tyo fe x e m p t f r o m p r i o r d i s c lo s u r e Code I i d i v . , r eu t , Cod2 M e th o d buy. sell, mm/dd/yy . Code2 ] Code | ! , boyer/sdler

~ (A

( i f p r i v a t eA -H) ! o r i n t . ) (Lp) , C od~ 3 r e d e m p t i o n ) ( J - P ) -H ) i

35. - N u v e e n D i v i d e n d A d v a n t a g e M u n i c i p a !F u n d

36 . - N u v e e n D i v i d e n d A d v a n t a g e M u n i c i p a lF u n d 2

37 . - N u v e e n D i v i d e n d A d v a n t a g e M u n i c i p a l

F u n d 3

38 . -N uve e n In su re d Pre mium In c . Mun . F tmd 2 I

Inc . ( See P t VII I )

39 . - N u v e e n M u n i c i p a l A d v a n t a g e F u n d I n c .

40 . - N u v e e n M u n i c ip a l V a l u e F u n d I n c .

41 . - N u v e e n P re m i u m I n c . M u n . F u n d I n c . ( S e eP ~ V l U )

42 . - N u v e e n Pr e m i u m I n c . M u n , F u n d 2 I n c .( See P t . V I I I )

43 . - N u v e e n P r em i e r I n s u r e d M u n i c i p a l I n c om eF u n d I n c .

44 . - N u v e e n S e l e c t M a t u r i t i e s M u n i c i p a l F u n d

45. -P ep c o t to ld ings Inc . C om m on S toc k

46 . -Pe ps ico , In c . Co mmo n Sto ck

47. -P f i ze r In c . Co rmn o n S to ck

48 . -Puge t E n ergy In c . Co mm o n Sto ck (Se e Pa t~ S o l d 02 / 09 / 09 J Avm)

49 . -Spe c t ra E n e rgy Co rp . Co r rmao n Sto ck

50 . -T E CO E n e rgy In c . Co mm o n Sto ck

51 . - V a n K a m p e n T r u s t f o r In s u r e d M u n i c i p a l s

(S~e Cogurans B I ~a d D4 ) F - $ 5 0 , 0 0 1 ¯ $ 1 0 0 , 0 0 0 G - $ 1 00 .0 0 1 - $ ] . 0 0 0 ,0 0 0 H I = $ 1 ,0 0 0 ,0 0 1 - $ 5, 0 ~ 0 ,0 0 0 H 2 = M o r e th a n $ ~ , 0 0 0 , 0 ~ 02. Valu~ Code~ J - $15,0~0 or less K -$ I $,001 - $~0,000 L = $ 5 0 , 0 9 1 - $ 1 0 0 . 0 0 0 M --$100,001 - $230,000

P 2 1 - I 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P4 -More tb.m $50,000,000’ ~ . Vnlu~ M et hy l Codc ~

Q -A#p raL~ l K - ’C~ t (Rea l Esza t : Only) S = As~ etsm ent T ~ CL~ h M ~ kel(Se~ C olum n C ’2) U - B o o k V ~ l u e V -<) ther W ~Es t im at ed



F[N.MNCIAL DISCLOSURE REPORT ! r " ~ ’ ~ e ° ~ e ’ ~ ° ~ ~ P ° ’ ~ ~ e o f ~ e p o r t

of 9 F i t~ a t ~ r , S i d n e y A . 0 4 r z s i z 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i , , c o , , . . , . a . . . ,~,~,~,o.~ ( l n d u ~ e s t h o , . ofst,~ .... d,tep,n&ntci~itlten;setptt 3~-rOo1"yiiinginsrr~ction~)

NONE ~o repo~able income, asse~, or tra~actio~.)

~s~ption of ~ J ~come d~g Gm~ val~ at ~d T~n~dons d~ ~ag ~od(iocl~ing ~ a~em) ~ng p~od of r~o~ng ~

Place "~)" ~ ~ch ~et ~o~t T~ (e.g., V~e V M u e T~e (e.g., Da~ V N u e G~ Idea~ ofexempt ~m prior disclo~ C~e 1 div., ~k Co~2 ~ Me~ . buy, ~11, I~ C o d e 2 C~e 1 buyer / se l l~

’ (A-~ , orin~)( J - P ) [ ~e3 [ ~dempdon) ~ [ ( l - P ) ~ (A-[

O (ifp~va~

5 2 . -West~ En~ Inc. Common St~k

53. -Xcel En~ Inc. Co--on Stock

54. - Insur ed M u n ic ip a l s Inc om e Tr us t Se r ie s 22

55 . -Insured Municipals Income Trust Series

228

56 . -hasuxed Municipals Income Trust S~(es

314

57. -Insured Municipals Income Trust Series 79

58 . -Nuveen Tax Exempt Nat’l l~ured 251

(UIT’) (See Part VIII)

59. -Nuveen Tax Exempt Nat’l Trad. 257 Q.JIT)

6 0 . -Unit Insured Municipal Inc. Series 77

6 1 . -.Ensured Municipals Inc. Trust Unit Ser. 290

6 2 . -Nuveen Investment Quality Municipal

Fund, Inc.

6 3 . -International Bank of Commerce (’money

mkt )

6 4 . -First M,’,.rk Credit U~ion (CD) ""

6 5. -USAA Tax Exempt Long-Term Bond Fund

1. Inc om e G ai n C od~’ l : A ~ 1 ,000 ~" lexl B =51,001 - $2,50Q C -$2.501 - 55,000 D -$5,001 - 515,000 E ~ $ 1 5 , 0 0 1 - $ 5 0 ,0 0 0(See Columns B I end D4 ) F - $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 ’ 3 G --~100,001 - $1,000,000 HI =$1,000,001 - $.~,000,000 H2 =M ore than 55,006,0002. V~due ~ J -$15,000 or les~ K = ’ $ 1 5 , 0 0 1 - $ 5 0 , 0 ( 3 0 L = 5 5 0 . 0 0 1 - $ 1 0 0 , O 0 0 M =$100,001 - $250,000

(See C olum a_~ C I and D3) N =$:/50,001. $500,000 O =$500,001 - $ I ,000,000 PI -$1.000,001.55,000,000 P2 -~,000,0~1. $’25,000,000P] -$25,00~,001 - $~0.00~.000 P 4 = M o r ~ ~ 5 50 , 0 0 0 , 0 0 0

3 . V ~ I o e M ¢ ~ o d C o d e i Q "App(=isal R --Cos t t " l~a l E~e Only) S =As~me~t T ~(~ash Mat’ket(See Column C"2) U =Dock V a l u ~ Y = O ’ d a m " W -Estirrutted



FINANCIAL DISCLOSURE REPORT N , ,, ,o t r ,r s o , ~ U p o , ~ g DatvofH,port

of 9 F i t z w a t e r , S i d n e y . 4 , . 04/28i2010

VIH. ADDITIONAL INFORM ATION OR EXPLANATIONS.

Part I

[ em e th ica l ly per ta ined to se rve as Co-Trus tee o f Trus t # 3 because I am doing so u nder the wi l l o f a family m ember who died in 20 07 .

The Trust is designated as Trust # 3 to d ifferentiate it fi-om Trust # 1 and Trust # 2, which have been referred to ~n this and/or p rior reports .

See be low for addi t iona l exp la~ a t io r~ concern ing the repor t ing o f asse ts fo r Trus t # 3 .

Par t VI I , I tem Nos . 5-9 (Trus t # 2)

The type of income discIosed for Trus t # 2 is "Dividend." q~ae form does no t a l low the f i le r to repor t mu l t ip le types o f income excep t fo r the com bina t ion ofin te res t.and dividends . The Trus t incom e includes dividends and in te res t ea rned by funds and dis t r ibuted to fund ow ners . Al l income has been repor te~t in co lunmB ( I ) .

Par t VI I , I tem No. 12

This as .se t was repor ted in m y 2008 Financia l Disclosure Repor t as Lord Abbett Al l Va lue Fund. This re f lects a nam e change for the sam e asse t .

Par t VI I , I tem No. 16 (Trus t #3)

The type of income disc losed for Trus t # 3 is "~t . /Div." The form does no t a l low the f i le r to repor t m ul t ip le types o f incom e excep t fo r the com bina t ion of in te restand dividends . The Trus t incom e includes o ther income, such as cap i ta l ga ins ea rned by funds and d is t tbuted to fund ow ners . Al l incom e has been repor ted inco l um n 1 3 ( I ) .

Part VII , I tem Nos. 38, 4 I , and 42

These asse ts a re the same as I tem N~ s . 38 , 41 , and 42 in my 2008 Financia l Disclosure Repor t . In my 2008 repor t , these as , se ts were ident i f ied by the te ’~n"Premier" ra ther than "Premium ." "Prem ium " is cor rect ( I tem no . 43 of m y 2008 repor t cor rect ly used the word "Premier , " so I tem No. 43 of th is year ’ s repor taga in t rees the te r ra "Premier ." )

Par t VI I , I tem No. ’18

The t ransact ion repor ted for th is asse t is "Sold." In 2009 the com pany becam e p r iva te ly he ld under the te rms of a m erger with a group of long te rm inves tors(Puge t Holdings ) , and a l l shares were conver ted to a f igh t to rece ive a per sh~re ca sh s tma .

Par t VI I , I tem No. 58

In m y 200 8 Financia l Disclosure Repoa , th is asse t was l is ted as I tem No. 59 , and I repor ted tha t the asse t had been "Redeemed." This was ~n e r ror , so the asse t isbe i n g re po r t e d a ga i n i n t h i s ye a r ’ s report as I t em No. 58, The asset that was redeem ed was I t em No. 6 I . I t em No. 59 - Nuveen Tax Exem pt Nat ’ l Insured 251( I J IT)--~m d I tem No. 61 - - Nuveen Tax Exem pt Nat’ l Trod. 251 (UIT) - have a lmos t iden t ica l abbrevia ted nam es . The in form at ion disc losed in coIur tua D for I temNo. 59 of my 2008 Financia l Disclosure Repor t should have been disc losed for Item No. 61 . I tem No. 61 o f m y 2008 Financia l Disclosure Repor t is there foreom it ted f rom th is ye~"s repor t because i t was redeem ed on 4 /15/2008. This e r ror has no t a f fected the repor t ing o f the Trus t’ s income or va lue in e i ther a f fectedyear .



Iame of Person ReportingD a t e

INANCIAL DISCLOSURE REPORT

[ Fi ~z wa t er , S i dney A.

o f R e p o r ~ of’9

04, ’ 2~r2010

IX. CERTIFICATION.

1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n 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 , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e t 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 i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r y

p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

I f u r t h e r c e rt i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o 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 i c h h a v e b e e n r e p o r t e d a re i ncom pL i a nce w i t h the p rov i s i ons of 5 U .S .C. a pp . § 5 01 eL s eq . , 5 U .S .C. § 73 5 3 , a nd J ud i c i a l Conference ceg u la f lons .

N O T E: A N Y IN D I V I D U A L W I I O K N O W I N G L Y A N DA 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 ) W I L F U L L Y F A L S I F I E S O R F A IL S T O F I L E T II I S R E PO R T M A Y B E S U B J E C T T O C I V I L

FILING INSTRUCTIONS

M ai ! s ign ed o r i g i n a l an d 3 add i t io n a l c o p i es t o :

Com m i t te e on F ina nc ia l D isc l osu reAdm inis t ra t ive Off ice of the Un ited Sta tes CourtsSui te 2 -301One Colum bus Circ le , N.E.W ashing ton, D.C. 20544

sidney a fitzwater financial disclosure report for 2009

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