thomas a varlan financial disclosure report for 2009

8/3/2019 Thomas A Varlan Financial Disclosure Report for 2009

1/9

I , ~ o ~ 0 ] FINANCIAL DISCLOSURE REPOR T R ~ o . R e q u i r e d b y t h e E t h ic s "in Government Act of I 9 78n e v . ~ / 2 0 t 0 FOR CALENDAR YEAR 2009 ( 5 u . s . c , a p p . ,~ , ~ i 61 - ~ 0I. Person R eporting [last name, first, middle initial) 2. Court or Organization 3. Date of ReportVarlan, Thomas A. U.S. District Court, E. Tenn. 05/0412010

4. Title (A~liele 111 judges indicate active or senior status; fin. Report T ype (check appropriate W pe) 6. Reporting Periodmagistrate judges indicate full- or part-time)[] Nomination, Date 0110112009U. S. District Judge- A c t i v e ~ Initial [~ Annual [~ Final to12/31/20095b. [] Amended Re~.rt

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodificalioas pertaining thereto, it is, in my opinion, in complianceU. S. District Court with applicable laws and regulations,800 M arket StreetKnoxville, "Flq 37902 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this forat must be followed. Complete ull parts,checking the NONE box for each parl where yon have no reporlable information. Sign on last page.

~ N O N E (No reportablepositions.)POSITION NAME OF ORGANIZATION/ENTITY

I. Director Board of Visitors, University of TenneSsee, College of Arts & Sciences

2. Director Be.arden High School Foundation

I I . A G R E E M E N T S . m ~ , o r a ,, g individual on/y seepp. 14-16 of.lqling instructions,)~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS.


2/9

~ame of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORTI Varlan, Thomas A.age 2 of 9 o51~2oio

III. NO1N-INV ESTMENT IN COME. :Re~,or, i,~A. Fliers Non-investment lncome

NONE ~o reportable non-investment income.)DATE ~OURCE AND TYPE INCOME(yau~, n~t s~uses)

1.

3.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - l/you were married during anyportion of the rzporting),ear, complete tld~ sectio~(Dollar amour! no~ required except for honora~a.)

N O N E ( N o reportable non-investment income. )DATE SOURCE AND TYPE

1.

2.

3.

4.

IV . R E I M B U R S E M E N T S - ,,,,,~o~,,,io,.t htc/ude$ those In s p o u s e and dependem children," see p p . 25-27 t~ffiling inSlntClioos.)

NONE (No reportable reimbursemencs.),SOURCE DATES LO~ATION PURPOSE ,ITEMS PAID OR PROV 1 DED

I.2.3.

4.

5.


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F I N A 1 N C IA L D IS C L O S U R E R E P O R T .,m~ olPerson Reportingt Date of Repot!Page 3 of 9 Varlan, Thomas A. 05104/2010

V. GIFTS. ~1,~t~ae,N O N E ~ o reportable g~s.)

SOURCE DESCRIPTION VALUE

2.3.4.5.

I~ N O N E (No reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

1 ,2,3.4 ~5.


4/9

N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r lFINANCIAL DISCLOSURE REPORTI Varlan, Thomas A.age 4 of 9 0 s / 0 ~ / 2 0 ~ 0

NONE ~o reportable income, assets, or transactions.)D~ription of Asse~ Income during Gr~ s v~lue at end [ T ransactions during ~ng ~ riod

exempt from prior discl~r Code l d i v , , r e n t , C~e 2 Meth~ j b u y , ~ 1 1 , m~d~ C~o 2 j C~e I , buyer/seller( A - H ) o r i n t . ) ( J - P ) C~ 3 [ r e d e m p t i o n ) O - P ) ~ (A-H) ] (ifprivat~

l, AmSouf l~ Bank Accounts B lnter~st L T

2. Coca Cola Common Stock B Dividend L T~ 3 . BB&T Common Slock A Dividend J T

4. City of Knox ville Deferred Compensation A Dividend Closed 02/06/09 MProgram (457)5. - Fidelity Contrafund Sold 02t06/09 : K B6. - Nationwide Fixed Account Sold 0 2 1 0 6 1 0 9 K B7. - AIM Century Vista Fd. Sold 02106/09 J B8. - NAt Gartumura To. Return ~:und D Sold 02/06109 J A9. -FcdUS G tsc Fad 2-5Yrs. Sold 0 2 1 0 6 1 0 9 J B

tO . - New Intl. Val Inst. S vc, Sold 02/06/09 J B1 1 . - New B ar Genesis Fund Sold 02106/09 J A1 2. - American Funds Growth Fund of Am erica Sold 02/06/09 J B1 3 . Wachovia Secu rities - IRA I A D ividend Closed 02106/09 L1 4 . - Evergreen US Govt. Sold 02106/09 J A1 5 . - Alliance Bcmstcin Growth & Income Fd. Sold 0 2 1 0 6 1 0 9 J ACI.C

t6. - Allianz NJF S mall Cap Value Fund CL-C Sold 02/06/09 J A!7 . - Dreyfus Premier Worldwide Growth Fd. Sold 02/06/09 J ACi, CIncome Gain Codes: A - - - $ | . 0 0 0 o r l e s s C = $ 2 . 5 0 1 $ 5 , D O 0 D = $5.001 - $15,000 ~ =$ I 5 . 0 0 1 - $ 50.000(See Cotumns BI and D4) F --$ 50.001 - $ 100,000 G = $100,001 - $ 1.000,000 H I = $ 1 , 0 0 0 , O 0 ~ t - $ 5 , 0 0 0 . 0 0 0 H2 =M ore than2. Value Codes J =$15,000 or less K = $15.001 - $50.000 l =$50.001 - $100.000 M I ~ $ 1 0 0 .0 0 1 -(See Columns CI and D3) N =$250.001 - $500,000 O ~ $500.001 - $1.000.000 P I = $ 1 , O O 0 , O O I - $ 5 . O 0 0 . 0 O O P2 =$5.0~l,OOI -P 3 = ~ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 . 1 ) 0 0 , 0 0 0 P 4 ~ M o r t h a n $ 5 0 . 0 0 0 . 0 O O3. Value M elhod Codes Q = Appraisal R ~.Cost (Ret~| Estate On!y) S ~As~.ssment T =Cash Market~ S e e C o l m n n C 2 ) U =B~ok Value V ~Other W = E s ! . im a t o d


5/9

FINANCIAL DISCLOSURE REPORT r~.me of Person Reporting Date o| Repot!Page 5 of 9 w r l .. , T h o m a s A . 0 S / 0 4 / 2 0 1 0

~ NON~ ~o reportable income, ~sets, or transactions.)~ , ~. ~ c. - b ~ .....................................~s~iption of Asse~ Income during [ Gross value at end T~nsactions during ~ning peri~

(i~lading ~ as~) ~ning period ] of~poning period

e x e m p t f r o m p r i o r d i sc l o s u re Code I ~ div., rein, ~ C o d e 2 ~ M efl~ buy, sell, m~d~ yy C~ 2 ] Code 1 buyer/~ller

I 8. - ~ton Vm~cc Growth Tr . Wof ldwid~ So ld 02/06 /09 J AHcal~h Sc icncc ~d . C1 9 . - ~ v c r g rc c n O ~ g a F d . C l . C Sold 02/06 /09 J A2 0 . - Fidelity Advisor Ser. I M id-Cap Fd. CI. C Sold 02106/09 .I A21. - Ivy Fd. E uropean Opportunities Fd. CI. C Sold 02106/09 K A22. - Goldman Sachs Core U.S. Equ ity Fd. CI. C Sold 02/06/09 J B2 3 . - Pin, co High Yield Fund C1. C Sold 02/06/09 .1 B24. - Seligman Communication & Information Sold 02/06/09 J AFd. Inc. CI. D25. - VK Emerging Growth CL. C Sold 02/06/09 J A26. Wachovia Securities llL, k 2 A D ividend Closed 02/06/09 K2 7 . - Evergreen" Omega F d. C1. C Sold 02/06/09 J A2 8 . - Goldman Sachs Tr. Growth Opps. Fd. CI. Sold 02/06/09 J AC29. - John Hancock Invt. Tr. 11 Small Cap. Sold 02/06109 J AEquity Fd. C30. - Ivy Fd. E uropean Opportunities Fd. C1. C Sold 02/06/09 J A31. UB S A D ividend Closed 02/06/09 J32. - UBS Retirement Money Fund Sold 02/06/09 J A3 3 . U. S. Savings Bond A Interest J T34 . Tennessees BEST Prepaid Tuition Accounts A I n t e r e s l J T

I. Income Gain Codes: A = $ 1 , 0 0 0 e r r | w s s B =$ 1,001 - $2,500 C --5;2.501 - $5,000 D = $5,001 - $ 15.0002, Value C~ J ~$15~ or less K = $ } 5,~1 - $ 50,~ L =$50 ,~1 - $ I ~.~ M =$ 1 ~,~ I - $250,0~(See Colmnns CI and 03) N = $250,001 - $500.000 O

(See Column C2) U =~k Val~ V ~ther W =E~timm~


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V I I . I N V E S T M E N T S a n d T R U S T S - i . .o . ,e o ~o ~.., ,...~aaio., a.~.~., a,o~ . ~f.ro... ..d ~.p..~.,,~ ~ i~z .,.~ ,,~ ~.~ N O N E (No re~rtable income, assets, or transactionsO

A. B. C. D.D~iption of Asse~ Income during Gross value at end Tran~ctio~ during re~ing ~ri~(including ~ a~) r~ing ~6~ ~ of repoSing ~riod

Pbc"(~"dter~ch~et AmountI V~(e .g . , Vatu Value V~e(e.g., Da~e [ Value I Gnin ] [demi~of

~(i:~ ozinL)(J-P)C o d e 3 m d r m p t l o n ) [ 0-p) I (A-H) . ~i~p~va,e

3 5. St rateg ic Po~ fo] io ~c~ ice A dvantage IRA - E Divided M T O p e n 02106 /09 M1

3 6 . - Fidel i ty Adv. Strategy Income A D ivide n d J T B u y 0 2 /26 /09 J3 7 . - UMB Scout S tock A Div idend J T B u y 02126/09 J

3 8 . - Fideltiy Advisor New Insights A Dividend J T B uy 02/26/093 9 . - AM Century Eq uity Income A . Dividend J T B uy 02/26/09 J40. - Fidelity Advisors Float Rt A Dividend J T B uy 02/26/09 ,I41. - Franklin Mutual Discovery A Dividend J T B uy 0 2 1 2 6 1 0 9 J42. - American Century Diversified Bond A Dividend J T B uy 02t26/09 J43. - Amcricm~ Century Heritage A Dividend J T B uy 02/28/09 J44. - Franklin Mu tmal Discovery A Dividend J T B uy 0 3 1 1 3 ! 0 9 J(addl)45, - American Century Equity tneome A Dividend J T B uy 03/13/09 J(addq)4 6 . - Fidelity Advisors New Insights A Dividend .I T B uy 03/13/09 J(addl)4 7 . - American Century H eritage A Dividend J T B uy 03113/09 J(addl)48. - UMB S cout Stock A Dividend J T B uy 031t3109 J(addl)49. - American Century Diversified Bond A Dividend J T B uy 03/13/09 J

( a d d I )5 0 . - Fidelity Advisor Float Rt, A Dividend J T B uy 03/| 3/09 J

(addl)5! . - Fidel ity Advisors Strategy Income A Dividend J T B uy 03/13/09 J(addl)

I. Income Gain Codes: A = $1,000 or less B = 21.00! . $2.500 C =$ 2.501 - $5,000 D =$5.001 - $15.000 E =~}5.001 - ~ S O . O 0 0(Sc Columns B l and D 4 ) F =$50,0fl I - 2100,000 G =2100,0~1 - $1.000.000 H I =~$I,000,00l - $5,000,00~ H 2 = M o r n t h a n $ 5 .0 { ~ 0 , 0 0 02, Value C o ~ s J =~15.000 o" less K = $15,0~1 - $50,000 L = $ 5 0 , ~ N ) 1 - $ 1 0 0 , 0 0 0 M = $100.0~t - $250.000{See Caktffmg CI arid D3) N = 2250,00! - SS00.000 O = $ 500.001 - $ 1.00~ .000 Pt =$ 1. 000,[K H - $ 5.000,000 P2 =$5.000.001 -P3 =$ 25,000.001 - 250.000.000 P4 =M o~ than $50,000,0003. V a M M e t h o d C o d e s Q ~ Appraisal R --Co*t (Real Estate Only) S ~ A s s e s ~ n ~ n t T =Cash M a r k c l( S e c C o l u m n C 2 ) U - B o o k V a J ~ c V = ~ D t h e r W = E s t h n a t e ~


7/9

N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tPageFINANCIAL7 of 9 DISCLOSURE REPORT Varlan, Thomas A . 05t04/2010

V I I . IN V E S T M E N T S a n d T R U S T S - in o . ,e , v.t.e, ~.~* e~.. and.de, a, os. oy~ .... a dependent d~ildren; see p p . 3 4 -6 0 offiling i~truclio,lS.)NONE ~ o reportable income, assets, or transactions3

~. ~. ~ c. I D . " -D~Hpfion of A~ets Income during ~ Gr~s value at end [ Tmnsactio~ during reporting period

(including ~st ~sets) m~ning period ! of~iag--~S . . .. ~ ... . ~ ......B . . . .. . . . ~~) ........ ~ i . . . . .. . . [-1~ I ~il ~ r, .....~. Idenli~exempt from prlor disl~ure C~e I1 div., ~nt, C~e2 Meth~ buy, sell, ]m~d~ ~ Code2.1 C~e I ~ buyedseller( A - H ) orinl.)~

( J - P ) C~e3 r M e m p t io n )[ i (J-P) ~ (A-H) 1_

(irprivate(Q-~ ] ~nsaction)

5 2 . - Fideli~ Advi~r Float Rt. A Divided J T B uy 09/I 1/09 J(addl)5 3 . - Am erican Cen~ H eri tage A Dividend J T Sold 0 9 1 1 I D 9 J A5 4 . - American Cena~ Heritage A Dividend T Sold 12/30/09 J A(pan)5 5 . - Am erican Cen~ Diversi f i~ B ond A Dividend J T Sold 12/30/091 l A(pa~)5 6 . Strategic Advantage Se~i~ Pogfolio IRA - A Dividend J T Open 02/26/0925 7 . - Franklin M utual Discoveq A Dividend l T B uy 02~6/095 8 . - U MB Scount Stock A Dividend J T B uy 02/26/09 J5 9 . - Fidelity Advisors Strategy Income A Dividend J T B uy 02/26/09 J60. - Araerican Century Equity Income A Dividend J T B uy 02/26/0961. - Fidelity Advisors Float Rt. A Dividend J T B uy 02/26/09 J6 2 . - Fidelity Advisors New Insights A Dividend J T Buy 02/26/096 3 . - Am erican Century Diversified Bond A Dividend J T B uy 02/26/09 J64. - An+ eriean Century Heritage A Dividend J T B uy 02/26/09 J

65. Strategic Portfolio Service A dvantage, A Dividend J T Open 02/26/09 JSEPflRA6 6 . - Ishares Russell 3000 Index F und A Dividend J T B uy 02/26/09 J

I . In c a n + m G a i n C o d e s : A = $ | .000 or less B = $ 1 , 0 0(See Columns B l ~ ~) F =$ 50,0~1 - $100,~0 G =$1~,~1 - $ I .~,~ H I = $ l .~0.~ 1 - $5,~0,~ H2 -Morn th~ $5.~,~2. Value C~s J =$15,~ or ~ K ~15,~1 - $5~ L =$ 50,~ [ - $100,~ M =$100.~ I - ~250.~0(See Columns C I aria D 3 ) N = $250,~1 - $5~,~0 O = $5~ ,~ I - $1 ,~0 ,~0 P 1 ~$1 .~.~ ~ - $5,~,~ P2 =$5,0~,001 - $25,~.~3. Value Meted ~s Q =Ap~l R =C~ (Real Estme ~ly) S =Asse~mcnt T ~a~ M~ket{~ Col~nn ~) U =~k Val~ V =O ther W =Estimal~


8/9

Iame of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT[ Varlan, T h o m a s A .Page 8 of 9 o 5 / o ~ 2 o , o

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


9/9

FINANCIAL DISCLOSURE REPORT N ~ o f P e r ~ n a ep o r ~ n g D ~ , e o f ~ e p o r ,Page 9 of 9 V a r la , ,, T h o m a s A. 05/0412010IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and com plete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7 353, and Judicial Conference regulations.

N O T E : A N Y IN DIVIDUA L WHO KN O WIN GLY A N D WILFULLY FA LSIFIES O R FA ILS T O F ILE T HIS R EPO R T M A Y BE S UBJ ECT T O CIVILAN D CRIMINAL S AN CTIONS (5 U.S .C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Committee on Financial DisclosureAd ministrative O ffice of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D .C. 20544

thomas a varlan financial disclosure report for 2009

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