Professional Documents
Culture Documents
i/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. npp. 101-111)
[] Initial
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.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where yon have no reportable information. Sign on last page.
D
1. 2. 3. 4. 5.
NAME OF ORGANIZATION/ENTITY
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DATE
De Ment, Ira
III. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 of filing instructions.)
A. Fliers Non-Investment Income
~
2. 3. 4.
B. Spouses Non-lnvestment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
V. GIFTS. a.et.des those to spouse a.d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. anctudes those of ~pouse ond dependent chitdren; see pp. n-3J of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS -income, value, transactions anctudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(1)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
(t)
Type (e.g.,
buy, sell,
(2)
Date
(3)
Value (J-P)
mm/dd/yy Code 2
redemption)
(Q-W)
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. I I. 12. 13. 14. 15. 16. 17. U.S. SAVINGS BOND # 1 BROKERAGE ACCOUNT # 1 Regions Financial Corporation, Common AL Drinking WFA RVL Bond 4.85% due 8/15/2022 Sun Life Financial Capital Income BLDR Fd CI C Calamus Growth & Income Fd C AL State Brd Ed Reid St Tech College AL Bldg Rnvtn Fin Auth Rev Bldg BoazAL3.55% 3/I/2013 Eaton Vance Muns TR EV Natl Muni FD CitibankNA Bank Deposit Program Auburn ALA WTR WKS BRD TuscambiaALA WTR 3.4% Tuscumbia ALA WTR 4.0% Alabama WTR Pollution 3.1% IRA#I A A A A A B B B B A A A A A Dividend Interest Dividend Dividend Dividend Interest Interest Interest Int./Div. Interest Interest Interest Interest Interest
L L L K K K K K K T T T T T T T T T J J J T T T
Interest
Sold Sold
06/08/10 L 06/08/10 K
K K K K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (Scc Columns CI and I)3) 3. Vulue Mclhod Codes (See Colunm (72)
A =$1.000 or less F =$50,001 - $100,000 J = $15,000 or less N =$250,001 - $500.01)0 13 -$25.(~00.00| - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$ [00,00l - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000.000 R =Cosl (Real Eslzte Only) V ~Other
C =$2.501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50.001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,0~3,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, v.~u,, t,,ns,ctlo,s anc~,,cs thos~ o/spous, ,n, ,,p~n,~nt children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption)
Transactions during reporting period
Royce Fd Total Return Fd T Rowe Price Blue Chip Grwth Fd Dodge & Cox Intl Stock Fund Longleaf Partners FDS Trust Longleaf Partners FDS TR Small Cap Highland Bank ST Michael MN Fairholrae Fund Fairx Hartford Captial Appre Fund Class I American High Income Trust Class F
A A A
Sold
06/08/10
K K K
B A
A B A D A A A A A
05/24/I0 08/18/10
K K
29 ....continued 30. 31. 32. 33. 34. Hartford Floating Rate Fund Class I PIMCO Total Return Fund CL P PIMCO Real Return Fund CL P Templeton Global Bond Fund Vanguard BD Index FD Inc. Short Term
K K K K K
I. Income Gain Codes: (See Columns B I and I)4) 2. Value Codcs (See Columns CI and D3) 3. Value Method Codes (See (olunm C2)
A =$1,000 or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25.000.@} I - $50.000.000 Q -Appraisal U "Book Value
B =$1,001 - $2,500 G =$ 100,001 - $ 1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estalc Onlyl V =Other
C =$2,501 - $5,000 H 1 =$1.000,001 - $5,000,0~0 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 -More than $50,000,000 S =Asscssmcnt W =Eslimated
D =$5,001 - $15.000 H2 =More than $5,000,000 M -$ 100,001 - $250,000 P2 -$5,000,001 - $25,000,000 T -Cash Markct
E =$15,001 - $50,000
lue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48.
BROKERAGE ACCOUNT #2 Eaton Vance National Municipals Fund Huntsville Madison Co AL Bond 5.0% due 7/1/18 Jefferson CNTY AL Brd ED Bond 4.75% due 2/15/16 Evergreen Fixed Hi Yld CI C AL Bldg Rnvn 4% CalamosGrowth & Income Fd C Capital Income Bldr CI C Franklinlncome FD CL C Citibank NA Bank Deposit Aubum ALA WTR WKS BRD Elmore CNTY ALA PUB ED Tuscumbia ALA WTR & SWR REV FranklinUS Govemment D B A A B A A B A A A A A Int.~Div. Interest Interest Dividend Interest Dividend Dividend Dividend Interest Interest Interest Interest Dividend K K K K T T T T Buy Buy Buy Buy Sold None None K K T T Buy Buy 06/08/10 05/25/10 06/08/10 06/08/10 12/09/10 08/18/10 12/14/10 K K K K K K K K T Sold Sold Sold 06/08/10 06/08/10 06/08/10 K K K M K T T Redeemed Sold 02/17/10 05/24/I0 K K Buy 02/16/10 K
49.... continued 50. Alabama WTR Pollution 51. Birmingham ALA ARPT AUTH
I. Income Gain Codes: (See Columns B I and D4) 2. Value Cedes ( See Columns C I and D3 ) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J = $15,01)0 or less N = $250,001 - $500,1)00 P3 =$25.000,001 - $50.000.001) Q = Appraisal U =Book Va],c
B =$1,001 - $2,500 G =$ 100,001 - $1,000,000 K =$15,001 - $50,000 O =$500.001 - $ 1.000.000 R =Cost (Real Estate Ontyl V ~()thcr
C =$2,501 - $5,000 H I =$ 1.000,001 - $5,000,000 L -$50,001 - $ 100,000 P I ~$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5.000.001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - ~.con,e, ,,a~ue, tra.~actions anc~ud~s tl, ose o.~spou$e .nd ~penU~n~ chUdren; ~ ~,~. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (O Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Trust #1
Regions Bank, Montgomery, AL (formely Amsouth) Income Beneficiary only, no interest in principal Pioneer Fund C1 Y RegionsTmst Money Market Account Pioneer Mid Cap Value Fund Class Vanguard Tax Exempt Fund #42 Tax Exempt BD FD of Amer Artisan Funds Inc. Small Cap Value Fidelity Advisor Small Cap Fund Pioneer Select Mid Cap Growth Y Thomburg International Value Fund Class I Europacific Growth FD CL F2 Thornburg LTD Term MUNI Fund Class 1 RegionsCD #1 IRA #2 Davis NY Venture Fd A None Sold 06/08/10 J B A A C B B A A D B A Dividend Dividend Int./Div. lnt./Div. Interest Dividend None None Dividend Dividend Int./Div. Interest J J J J J M M T T T T T T T Buy 03/30/10 M M J 3 M T T T T Sold 03/30/10 M E
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns (l and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15.000 or less N =$250.001 - $500.000 P3 = $25,000,001 - $5(},01)0,1)00 Q =Appraised U =Book V;flue
B =$1,001 - $2,500 G ~$100.001 - $1.000,000 K = $15,001 - $50,000 O =$500.001 - $1,000,000 R =Cost (Rcal Estate Only) V =Other
C =$2,501 - $5,000 HI =$1.000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
Vll. INVESTMENTS and TRU STS - inco,.e, vatue, transactions (l,,ludes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place. "(X)" after each asset exempt from prior disclosure B, Income during reporting period (l) (2) Amount Type (e.g., Code I div.,rent, (A-H) or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Evergreen Equity Index Fd C1 C Washington Mutual Investment Fd C1 A Capital Income Bldr FD CL C Bank Deposit Program (X) See Note 1 ...continued Series HH Bonds Regions Bank Acct #5 BROKERAGE ACCOUNT #3 FirstBank PR CD ...continued Capital One 4.5% Darby Bank 3.5% Discover Bank 3.8% GE Money Bank 5% GE Money BK 4.7% Wachovia BK 4.55% Wachovia BK 5%
A A A A B A A
J J J
A A B A B B B C B
Matured Buy
102/04/10 02/04/10
K K
Redeemed Matured
02/22/10 09/07/10
K K
I. Income Gain Codes: (See Columns B I and 04) 2. Value Codes (See Colunms (1 and I)3) 3. Value Method (odes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J ,: $15.000 or Its s N =$250.001 - $500,01)0 123 $25,000J)01 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100,001 - $1,000,000 K = $15,001 - $ 50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V :Other
C =$2,501 - $5,000 H1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $ 50.000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) place "(x)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
Wachovia MTG 4.75% Cit Bank oUT 3.5% KeybankNatlAssociation 2.4% Doral Bank American High Income Trust Fund Class C PIMCO Total Return Fund Class C PIMCOReal Return Fund Class C American Express Centurion Bank CitibankMoney Market Fund Hartford Floating Rate Fund American Funds Short Term Bond RegionsCD #6 BROKERAGE ACCOUNT #4 Cash/MM
B A B A A C A B A A A B
Interest Interest Interest Interest Dividend Dividend Dividend Interest Interest Dividend Dividend Interest
K K L K
K L L J K K
T T T T T T
K K M
A A B B
T Matured T T 04/15/10 K
100. Morgan Stanley 4.05% 101. Royal Bank4.35% 102. Wachovia BK 4.55%
I. Income Gain Codes: (See Columns I~ I and D41 2. Value Codes (Sec Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J ~$15.1~) or less N =$250.001 . $500,000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B = $ 1.001 - $2.500 G =$100,001 - $1,000.000 K ~$| 5.0111 - $50.000 O =$500,t)01 - $1,000,000 R -Cos! (Real Eslale Only) V : Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =Mere than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - i.co.,e, vatue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
103. WachoviaMTG 4.55% 104. American Funds Short Term Tax Exempt 105. Eaton Vance National Municipal Income Fund 106. Limited Term Tax Ex BD FD of America 107. Hartford Floating Rate Fund CL C 108. Morgan Stanley Senior Floating Rate 109. Birmingham ALA APRT AUTH 110. Regions Bank Acct # 4 I I 1. Regions Bank Acct # 3
B A C B A
L L L L
M
T T T T
T
K K M L
T T T T
Buy Buy
12/10/10 K 12/14/10 K
A A
Interest Interest
I. Income Gain Codes: (See Columns B I and D41 2. Value Codes ISce Columns C I and D31 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.000 J = $15.000 or less N =$250.001 - $500.000 P3 = $25.000,001 - $50.000.000 Q =Appraisal U =lk~k Value
B =$1.~01 - $2.500 G =$100.001 - $1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000,000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 HI =$1.000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000.001 - $5,000.000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15.000 H2 =More than $5,000,000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15,001 - $50.000
IX. CERTIFICATION.
1 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 ~vithheld 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. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
Signature: S/IRA
DE MENT
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544