Documente Academic
Documente Profesional
Documente Cultură
l/2Ol0
no 10
[
I
I. Person Reporting (last name, first, middle initial) HOPKI1NS, VIRGINIA E. 4. Title (Ai-~icle Ill judges indicate active or senior status; magistrate judges indicate ftdl- or part-ti~ne) LINITED STATES DISTRICT JUDGE
t_.JF-] Initial
5b. [] Amended Report 7. Chambers or Office Address 619 HUGO L. BLACK COURTHOUSE 1729 5TH AVENUE N BIR2~ffNGHAM, AL 35203 8. On the basis of the information contained in thin 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 you have no reportable information, Sign on last page.
I. POSITIONS. ~em,~,~
D NONE (No reportable positions.) POSITION l. 2. TRUSTEE POWER OF ATTORNEY (POA # 1)
NAME OF ORGANIZATION/ENTITY
IRREVOCABLE LIFE INSURANCE TRUST #1 IUNFUNDED) ATIORNEY IN FACT
,...
Date of Report
05/10/2010
SO~CE A~ ~E
1. 2. 3. 4.
B. Spouses Non-Investment Income - if you ~r~ ma~ied dur~g any po~ion of the re~o~ing ~ar, comple~ th~ sectio~
(Dollar amount not ~quired ~cept for honoraria.)
SO~CE A~ ~E
1. 2009 2. 3. SELF E~LO~D A~O~EY P~C~CE
4,
LQCA~ON
SAFEST, FL
P~POSE
CLE (~AC~
1,
ALA CLE
2. 3. 4. 5.
DateofReport
05110/2010
1.
2.
3.
4. 5.
1.
2. 3.
4. 5.
~..
~oe~s,
I
D. T~aetions d~ng repoalng peHod , [ 0) ~ T~ (e.g., ~ buy, sell, r~pt[on) [ (2) (3) ~ (4) ~ate Value ~ Gain m~d&~ Code 2 ] C~e I (A-H) ~ (J-P) ~ [ [ (5) identiff of buyer/seller (if private ~ramaction)
.~
,
~ 1. 2. 3. 4. 5. 6. 71 8. , 9, 10.
NONE ~o reportable income, assets, or ~a~actionsO A. Description of As~ (including t~st ~sets) Pl~e "(X)" deer each asset exempt from prior disclo~ B. Income during repoaing period (~) i (0 Amount T~e (e,g,. Code I div., ren~ (A-H) or int.) C, [ : Gross value at end of re~aing peH~ (0 (~) Value Value ~ C~e 2 ~ Me~od C~e 3 ~ (J-P) (Q-W} K T
A A A
Buy Sold
03/18/09 07/15109 02127109 09/0t/09 05/05/09 11/10/09 06t24/09 08/07/09 09/09/09 12/24/09 I0/05/09 10/27/09
J J J J J J J J K A A A
Dividend
(part)
Sold
Sold
Dividend
None
Buy Buy
(addi)
A Dividend K T Buy Buy None K T Buy Buy (addl)
I I. APACHE COR.P 12. 13. APPLE INC 14. 15. 16, 17. APPOLLO GROUP
J J J J
A ~$1,000 ot less
B =$l.001 - $2,5~
C =$2,50l - $5.~0
D =$5,001 - $15,000
E =$15,001 - S5t),000
FINANCIAL DISCLOSURE REPORT Page 5 of 1 6 VII. I1NVESTMENTS and TRUSTS ~ NONE ~o reportable income. assets, or A. Desc6ption of Asse~ (including ~st a~ets) Place "(X)" ~er each ~et ..... pt~om priordisel .... ~ ~
05/10/2010
tra~actions.)
C. Gross value at end of~po~ing (1) (2) Value Valu~ Code 2 ~ Me~od (J-P) C~e 3 (Q-W) D. T~tions dufng reposing period (1) T~ (~,g., buy, selk redemption) ~2) 1(3)I ~ (4) Gain . Date Value ,l~m~d~ ~ Code 2 ] Code I (J-P) [ (A-H) [ 10/28/09 02/27/09 08/12/09 04/27109 07/10/09 12,/24/09 02/27/09 12/24/09 02/27109 09/16/09 11/t0/09 08/07/09 12~1/09 06/24/09 09/04/09 11117/09 12/24/09 J J J J J J J J J J J J J J J J J A A A A A A A A ~5) ldenti~ buyer/~ller (if private ~.etion)
B, In.me during ~po~ing ~fiod ~~--f- ~j Amount/ T~ (~ g, Code I ~ dl ...... ] (A-H) ~ ~ or int.) ~
!8. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. COGNIZANT TECH SOLUTIONS CKP None K T CERNER CORP None K T CENOVUS ENERGY, INC A Dividend CAMERON INTL COR.P CG ROBINSON WORLDWIDEIN NEW None None BLACKROCK INC DE A Dividend K T BERKSHIRE HATHAWAY BG GROUP PLC SPON ADR A None Dividend K T BAXTER INTL, INC DE A Dividend
(part)
Buy (addl) Sold Buy Sold Buy Sold Buy Buy (addl) Buy Buy (addl)
Sold
Column C2)
U -Book Value
V =O1h~
W =Esfima~
Date of Report
Page 6 of 1 6
aoPm_~s, VmG~Nt~ E.
05/10/20~0
VII. INVESTMENTS and TRUSTS - ~ ....... l,e, n, .... fleas (Includes those of sp ..... d defendant children; s,epp. 34-60 of filing instructlomO
[] NONE (No reportable income, assets, or transactions.)
Description of Assets (including taust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) (2) Amoum Type (e.g., i Code I div., rent, (A-H) / or int.) J ; A A Dividend Dividend K T Gross value at end of reporting period (l) (~) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during reporting period (1) Type (e.g.. buy, sell, redemption) (2) (3) (4) Date Value ! Gain i mredd~yy Code 2 i Code l (j.p) i (A-H) (5) Idenfib of bayer/seller (if private tr~saetion)
J J
None
None
T Buy
42..... 43. 44. 45. 46. 47. 48. 49. 50. 51.. MCDONALDS caRP A Dividend K T ISHAP, ES LEMAN SHORT TREAS SPDR KBW BANK ETF DE A A Dividend Dividend GILEAD SCIENCES INC None K T GENL ELECTRIC CO A Dividend
12/24/09 01/23/09 04/13/09 02/27/09 08107/09 12/2a/09 09i01/09 02/27/09 12/28/09 09/09/09 J K J J L J K K A A A A D
(part) (a~l)
Buy (addl) Sold Sold
(part)
Sold Buy
N ~250.~ I - $5~.~
O ~5~.001 - tl.060.000
Pl =$1.~.~t - S5.~0.~
P2 =$5.~.001 -
~)
(~)
O) ~ (2)
O)
T~e (e.g., buy, sell, ~empfion)
~ (~)
Date Valu* m~d~ Code 2 (J-P) G~in C~e I (A-H) ldend~ of buyer/seller (ifp~vate nansactlon)
52. 53. ~4. 55. 56. 57. 58. 59. 60: 61. 62. 63. 64. 65. 66. 67. 68. PROSHAKES TRUST PROSHARES ULTRASHORT LEHMAN 20+ YEAR TREAS None -. MCDERMOTT INTL INC NOBLE CORP POTASH CORP SASK INC CANADA PROSHARES TRUST PROSHARES ULTRASHORT S&P 500 A A None Dividend Dividend None K T MONSANTO CO ~W A Di~d~d
Buy (addl) Buy (addl) Buy Sold Sold Buy Sold Buy (addl) Buy (addq) Buy Buy (addl) Buy (addI) Sold Sold
11/10/09 12124/09 01/1~09 10/29t09 08/26/09 05,"28/09 05/05/09 04/02/09 04109t09 04/16/09 04/29/09 05/07/09 06/I 1/09 07120109 07/24/09 07/27/09 01/12/09 J K K J K J J J J J K J J J K J A A A A A A A
(addl)
(part)
Sold Sold Buy
F -550,001 - $ } 00,000
G ~$100,001 - $1,000,t}00
H1 ~$1,0~),001 - $5,000,000
U =Book Value
V =Otha~
9/=Estimated
I N ....
f P~o. gepo,~i.g
l Da,e of Report
05/1012010 [
Page 8 of 16
1[ HOP~S, ~GImA E.
(0
~ Amo~t
Code 1 (A-H)
T~ {e.g.,
div., ~nt, or int.)
(2)
~)
Value
Code 2 (J-P)
V~ug
Method Code 3 (Q-W)
(~)
(~)
T~
buy, sell, redemption)
(~)
~ m~d~
(3)
Cod~ 2 (J-P)
~)
Cod~ I (A-H)
~)
buy~/sgll~r (if private ~nsac~on)
B~ Buy Sold
~an)
Sold Buy
None
(pan)
(ada~) (~,~l)
Sold
Sold
J J
Buy Buy
78.
79.
80.
Sold
SPUR BARCLAYS CAPITAL TIPS A Dividend Buy
Sold
09/28/09
06/12/09
09/24109
J
K
K
(part)
Sold
81,
I 1/12/09
82. 83.
Dividend
J J J J
A A A A
Dividend None
Sold Sold
t. Income Gain Code.s: (See Columns B! and D4) 2. Value Codt$ (See Columns CI and D3) 3. Value Method Codes (S~ Column C2)
A -$1,0~10 or less F =$50,001 - $100,000 J =$|5,000 or Iris N =$250,001 - $500,000 P3 ~$25,000,001 - $50.000.000 Q =Appraisal O =Book Value
B =$1,001 - $2,500 G =$I00,001 - $1,0OO,000 K =$15,001 - $50,000 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V ::Other
C =$2,501 - $5,000 FIl =$1,000,001 - $5,000,000 L =$50,00| - $100,000 P1 =$1.00~.001 - $5.000,000 P4 =Mo~ than S =Assessment W =Estimated
D =$5,001 - $15.000 H~ =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001. $25.000,000 T --Cash Market
E =$15,001 - ~50.000
[)ate of Report
0~/~o/201o
I HOPKINS, VIRGINIA E.
10/30/09 K I I/I0/09 ~ J 12/24/09~ 08/12/09 ~ 09/04/~ 05~9/09 02/27/09 05/28/09 01/13f09 08/07/09 09/04109 J K J K J J K K J J J J J J J A A A A A A A A A
,,
88, 89. 90, 91. 92. 93. 94. 95. 96. 97. 98. 99. t00, 101. 102. JOHN HANCOCK CLASSIC VALUE FUND A Dividend K T XTO ENERGY INC A Dividend UNION PACIFIC CORP VISA INC CL A A A Dividend Dividend K K T T T~[E~O FISCHER SC~FIC ~C TRANSOCEAN INC ORD None None TEVA PH~ACE~ICALS ~D L~ IS~ ADR A ~dend K T
(~adl)
@art)
Sold Buy Buy Buy Sold
(a~dl)
(part)
Sold Sold (part) Sold Sold (par0 Sold
(pm)
I. Income Gain Codes: ($~ Columns BI aml D4) 2. Value Cod~ (Se~ Columns CI aM O3) 3. Value Method Codes (See Column C2)
A "$1.000 or less F =$50,001 - 5100,000 J "$15,000 or less N -5250,001 - 5500,000 P3 -525,0~0.001 - $50,000,000 Q ~Appraisal U ~B~k Value
B ~$1.001 - 52,500 G -5100.001 - 51,000.000 K =$15,1~01 - $50.000 O -$500,001 - $1,000,000 R =Co~t (Real Estate Only) V --Olher
C =52,501 - $5.000 HI =$1,000,001 - 55,000,000 L =550,001 $100,000 PI =$1,000,001 - $5,000,000 P4 ~Mor~ than 550,000,000 S =Asseasment W =Estimated
D =$5flOI - 515,000 H2 =Mo~ than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25.000,0D0 T =Cash Market
E =$15.00! - $$O.000
Date of Report
I
Transactions during reporting period O) Type (e.g., buy, sell, redemption) i ~2) (3) (4) Date Value Gain ] mm/dd/yy I Code 2 Code I (A-H) | (J-P) [
05/1o/2010
VI I. INVESTMENTS an d TR U STS - ~,o~,,. v,l~,, ~,o~aon~ a~a~ tnu,, o~s~ .... d dependent children; see pp. 34-60 of f Sing instructions.)
[] NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Place "(X)" after eaeb asset exempt from prior disclosure Income during reporting period (l) (2) Amount Type (e.g., div., rent, I Code I (A,H) or int.) Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) L K L J J K K J J K T T T T T T T T T T Buy Buy Buy Sold Buy 08/26/09 11/12/09 01108109 02/27/09 08/07/09 J J J J J .1 J J J J A A A
Identity of buyer/seller (if private aaasaction) See Section VIII Addfl lnf See Section VIII Addtl lnf See Section VIII Addtl Lnf See Section VIII Addtl Inf See Section VIII Addtl Inf
103. FIRST EAGLE OVERSEAS FUND CLAS~ 104. CASH UBS BROKERAGE ACCOUNT (X 105. Ut3S LIQUID ASSETS FUND (X) 106. UBS BAIqK USA DEPOSIT ACCOUNT (X) I07. UIBS RMA MONEY MKT. PORTFOLIO (X) 108. LORD ABBEIT MIDCAP FUND CLASS C 109. THORNBEKG INTERNATIONAL VALUE FUND CL A 110. FIRST TRUST ISE-REV NAT GAS 111. ISHAtLES TRUS DOW JONES TECH SECTOR INDEX FUND 112. ISHARES INC MSCI SWITZ INDEX FD I 13. 114. I 1S. i I 16: I 17. :: 118. ISHARES TRUST DJ U.S BASIC MATERIALS SECTR INDEX FD 119. ISHARES S&P 100 INDEX FUND ISHARES INC MSCI SINGAPOILE FREE RqDEX FD
A A A A A~ A A A A A
Dividend Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend
(part)
(a~dl)
Buy 08/25/09 (addl) A A Dividend Dividend J K T T Sold (part) Buy 02/27/09 01/08/09
N "$250,~1 - $5~,~0
0 ~$5~,001 - $1,~0,000
Pl ~$1,0~,001 - $5,~,~0
~ =$5,000,001 - $~,000,000
Date of Repor~
Page 11 of 16
noP~ar~s, VmGtNr~ E.
05/10/2OLO
VII. INVESTMENTS and TRUSTS - ,eo~.e. ~.e. t.o.~=ao., anct.a.~ Sose oSs, o~e ,,~ 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 (1) (2) Amount Type (e.g., ::Codel div.,mnt, (A-H) oriuQ Gross value at end , ~ of reporting period (1) I (2) Value ~i Value Code2 Method (JP) i Code3 Transactions during reporting period (1) Type (e.g., buy, sell, redemption) ] (2) i Date [mmidd/yy l (3) I (4) i i Value] Gain Code2 /Codel (J-P) (A-H) (5) Identity of buyer/seller (if pri.vate
t20. 121. 122. 123. 124. 125~ ISHARES MSCI EAFE INDEX FUND 26. ISHARES MCSI EMERGING MARKETS INDEX FUND 127. 128. ISHARES DJ SELECT DIVIDEND INDF_~ 129. 130. 131. 132. 133. ISHARES DOW JONES US PF[ARIVl E,FD EX FUND 134. MARKET VECTORS AGRIBUSINESS ETF 135. POVCERSHARES DYN OIL & GAS SV 136. A A A Dividend Dividend Dividend J K K T T T A Dividend A A Dividend Dividend J J T T
01/22/09 02/27/09 06/0U09 I 08/07/09 08/25109! 02127/09 02/27109 08/07109 01/08/09 02/27/09 08/07109 08/25/09 11/12/09 11/12/09 06/19/09 02127109 08/07/09
J J J J A
CaddY)
Buy (addl) Sold
(part)
So|d (part) Buy (addq) Buy Sold Buy (addI)
J J J J J J J K J J J J
A A
(a~l)
Sold Buy Buy Sold (part)
Buy
(addl)
Buy
Date of Report
Page 12 of 16
I HOPKINS, VIRGImA E.
05/10/2olo
ao~ VII. INVESTMENTS and TRUSTS - ~,~o.., ~., ~ .... (Includes those of spouse and dependent children; see pp. 34-60 of f cling instructions,)
D NONE (No reportable income, assets, or transactions.)
Description of Assels (including t~st ~sets) Place "(X)" after each assca exempt from prior disel ..... Gross value at end of reporting period V~lue code 2 [ [ Value i Method (Q-W) Type (e.g., Transactions dulring reporting period
[ <*iv., ~,,
Date
Value [ Gain
137.
138. KYDEX ETF TRUST S&P 500 EQUAL WGHTD INDEX FD INC 139. 140. SPDR S&P CHINA ETF 141. SPDR S&P EMERGING LATIN AMER ETF :142. A A Dividend Dividend J K T T A Dividend K T
13uy (addl)
Buy Buy
08/25/09
08/07/09 08/25/09 09/08/09 02/27/09 08/25/09 J J J K J A
(addl)
Buy Sold Buy
143.
144. SPDR GOLD TRUST 145. 146, 147. None K T
Buy
(addl) Buy Buy
09/24/09
I 03/27/09 04/02/09 04/20/09 06/24/09 J J J J
(addl)
Buy (addl) Buy
14s.
149. POWERSHARES D8 MULTI SECTOR COMMODITY TR DB AGRICULTURE FUND 150. I51. 152. None
Buy (addl)
Sold (part) Buy
o9/o8/o9
02/27/09
J
J A
(add0
Buy (addl) Sold
J J J A
None
Buy
05/27109
O =$500,001 - $1,000,000
P2 =$5.000,001 - $25,000,000
Page ! 3 of 16
INameofPerson Reperttng
[ HOPKINS, VIRGINIA E.
B.
Income fl~ng
C.
G~oss value at ~d T~sa~fions d~ng r~ing
0) ~
Place "~X)" a~er each ~set exempt ~m ~or di~losure
~)
0)
Value C~ 2 (J-P)
~)
Val~ Method C~e 3 (Q-W)
(~)
T~ (e.g., buy, sell, ~d~ption)
~ ~)
~3) ~)
(5)
ldenti~ of b~yer/seller (if private tr~t~ction)
[ Date V~ue Gain [ m~d~ C~ 2 Code 1 :: (J-P) (A-B) ~ i I / ~/01/~ 08/26!09 i03/10/09 03/! 0/09 06/17/09 11/30109 J ~ K L L J A A A A
154. 155. 156. ISREAL DISC BK NY US RATE 2,85% MAT 3/10/09 157. BANK OF CHINA NY US RATE 3.05% MAT 3/10/09 158. US TSY INFL PRT NOTE 02.000,4 DUE 7/15/14 159. 160. POA#I 161. CASH - WELLS FARGO BANK (X) 162. CASH - LEGACY FEDERAL CREDIT UNION (X) 163. CASH - WELLS FARGO BROKERAGE ACCT (X) 164. WESTERN ASSET MONEY MAR.KET FUND CLASS A (X) 165. CITIBANK NA BANK DEPOSIT PROGRAM (X) 166. CITICORP TRUST BANK, FSB (X) 167. AT&T INC (X) 168. HARTFORD FINL SVCS GROUP INC (X 169. 12-I" CORP (X) t70. PEPSICO INCORPORATED CA) A A A C B C B C B Interest Interest None Interest Interest Interest Dividend Dividend Dividend Dividend L L M K T T T T L N L T T T A A C Interest Interest Interest L T
(par,)
See Section VIII Addtl Inf See Section VIII Addtl lnf See Section VIII Addtl tar Closed Closed Closed 07,r30t09 07/30t09 07/30/09 J J J A A A See Section VIII Addtl Inf See Section VIII Addtl Inf See Section VIII Addtl See Section VIII Addtl Inf See Section VII! Addtl Inf Sold (part) 09111109 K E See Section VIII Addtl inf See Section VIIl Addtl Inf
A -S 1,000 or leo
B ~$1,00l - $2,5~
C =$2.501 - $5,0~
D ~$5,~1 - $15,~0
E =$15,~i - ~50.00(1
05110/2010
~,, transaeao~ (l~udes these of ~o~ ~d dependent chinch; set pp. 34-60 of fifing i~uctlom.)
C. Gross valu~ at end of ~poning period (I) ~ (2) , Value Value C~e 2 Method (J-P) Code 3 (Q-W) L K T T [ 11) ~ T~ (e.g., buy, sell, ~ ~demption) ~ D. Tmsacfions d~ng ~ing pedod (2) (3) Date Value ~d~ C~e 2 [ (J-P) ~ (4) Gain C~ I (A-H) (5) ldentiW of buyerlseller (if pfivat* ~ansaction) :See Section VIIIAddt[ Inf See Section VtllAddtl Inf : Se~ S~fion Viii Addtl In[ Buy Buy Buy Buy M~d M T Buy Sold 07~4/09 ~/15/09 ~/16/~ ~/15/09 03~W09 10~1/09 05/18/09 K L L L M L K E See Section VIII Addtl ~f See Section Vlll Addtl Inf [See Section VIE Addtl Inf See Section VII1Addtl See Section ~II Addtl Inf See Section VII1Addtl i lnf See Section VIIIAddtl Inf
~ONE ~o reportable income, assets, or ~anzactiom.) B. ~ Income during [ ~po~ing ~i~ ~ (1) i (2) Am~nt [ T~e (e.g., Code I [ div? ~n~ ~ (A-H)i or int.) ~ C B Dividend Interest
171. PF~ER INCO~OK~ ~) 172. AMERICAN GENE~L F~ANCE ~CO~ NO~S SEMI ~ CPN 4.875% 173. OENE~L ELEC C~ CO~ ~TE~OTES S~I ~ CPN
Interest
4.00% ~
174. ~ ST PORT A~H BO~S 5.0~/o D~ !0/1/12 ~) 175, ~Y B~K NA~ ASSN CD DUE 10~4/11 ~) 176. DISCO~R BK CD D~ 10/2~13 ~) 177. MIDFI~T BANK CD D~ 4128/24 ~ 178. ~iTRUST B~ - OH CD MA~ 3/20/09 ~) 179. E~RG~EN ST~OIC ~1 BOND ~ CL C ~) 180. SO~RN CO~A~ ~) A B B C B A A ~ter~t ~terest Interest Int,rest Int~t Divided Divi~nd K M M L T T T T
2. Val~e Code*
.I
o~/1o/2olo
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 tt 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FI~E THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 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