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Judicial Watch • James A Beaty Jr Financial Disclosure Report for 2006

James A Beaty Jr Financial Disclosure Report for 2006

James A Beaty Jr Financial Disclosure Report for 2006

Page 1: James A Beaty Jr Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:14

Date Created:September 13, 2007

Date Uploaded to the Library:November 13, 2013

Tags:James A Beaty Jr, Beaty, mutual, James, vanguard, 2006, EPA, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Beaty Jr., James Court Organization District Court -4th Cir. Date Report 06/19/2007 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) Article III Judge  Sa. Report Type (check appropriate type) Nomination, Date Initial  Annual Final Reporting Period 01/01/2006 12/31/2006  
Sb.  Amended Report Chambers Office Address 251 Main Street -Suite 248 Winston-Salem, N.C. 27101-3984 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

---------..--
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSIT! ONS. (Reporting individual only; see pp. 9-13 instructions.) [KJ NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 
  --,--_,,., 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) [KJ NONE (No reportable agreements.) 

Date Report 
Beaty Jr., James 
0611912007 
Ill. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.)  
SOURCE AND TYPE  (yours, not spouse's) 2006 Judicial Retirement Vested Benefit 29,570 Spouse's Non-Investment Income you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) SOURCE AND TYPE 2006 The Speech Center 

IV. REIMBURSEMENTS --transportation, /odging,food, entertainmenl 
(Includes those spouse and dependent children. See pp. 25-27 ofinstn1ctions.)  NONE (No reportable reimbursements.)  
SOURCE  DESCRIPTION  MultiDistrict Litigation  January 8-11, 2006 West Palm Beach, Florida (travel, food, lodging)  Exe. Team Dev. and Chief Judge Conf.  April 24-28, 2006 -Washingrton, D.C. (travel, food, lodging)  Ntl. Workshop for District Judges III  August 4-9, 2006 -Denver, (travel, food, lodging)  Just The Beginning Foundation Conference  September 21-24, 2006 Cincinnati, (travel, lodging, food) 

Date Report 
Beaty Jr., James 
0611912007 GIFTS. (lnc!udes those spouse and dependent children. See pp. 28-31 instructions.) 
[KJ  NONE (No reportable gifts.)  
SOURCE  DESCRIPTION  

VALUE 

VI. LIABILITIES. (lnc!udes those spouse and dependent childreic See pp. 32-33 instructions.) 	NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE Equitable Life Insurance Policy Loan 

Name Person Reporting 
Date Report 
Beaty Jr., James 
06119/2007 

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during 
Gross value end 
Transactions during reporting period 
(including trust assets) 
reporting period 
reporting period 
(I) 
(2) 
(2)
{I) 
{I) 
(5) lace "(X)" after each asset  Amount  Type (e.g.  Value  Value  
exempt from prior disclosure  Code  div., rent,  Code  Method  
(A-H) int.)  (J-P)  Code  
(Q-W)  

Type (e.g. buy, sell, redemption) Date Month-Day 
Value  Gain  Identity  
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction) Inco Codes: =$1,000 less =$l,00t  $2,500 =$2,501  $5,000 =$5,00  $15,000  E=$l5,00l -$50,000  
(See Columns and 04) =$50,00  00,000 =StOO,OOl  St,000,000 =$t,000,00t -$5,000,000 =Mor than $5,000,000 Value Codes 5,000 less =$t5,00I  $50,000  L=$50,00l $l00,000 =$100,00  $250,000  
(See Column and 03) =$250,00  $500,000 =$500,001. $1,000,000 =$1,000,00t  $5,000,000 =$5,000,00l -$25,000,000 Value Method Codes =$25,000,001  $50,000,000 =Co (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Oth ssessm =Book Value =Estimated  

Date Report 
Beaty Jr., James 
06/19/2007 
VII. INVESTMENTS and TRUSTS --income, vatue, 1ransacliolls (Includes those the spouse and dependent children. see PP 34-60 filing illstructions.; NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(I)
(2) 
(2)
(I) 
(2)
(I) 
(4) 
Place "(X)" afler each asset  Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  Month Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

18. CSX, Corp., Common  Dividend  
19. Exxon Mobil  Dividend  
20. Vanguard, 500 Mutual Fund  Dividend  Partial Exch  8/1  
21. Vanguard Healthcare Mutual Fund  Dividend  
22. Vanguard Emerging Mkt Fund  Dividend  
23. Vanguard European Fund  Dividend  Buy  8/1  
24. Bell South/  Dividend  Partial Sale  915  
25. Mutual New York-Whole Life  Dividend  Donated  12/28  
26. Mutual New York-Whole Life  Dividend  
27. Mutual New York-Whole Life  Dividend  
28. Equitable Life-Whole Life  Dividend  
29. Equitable Variable Life-Whole Life  Dividend  
30. Equitable Variable-Alliance Common Stock Fund  Dividend  
31. State Farrn Universal-Whole Life  None  Surrender  05/03 Income Gain Codes: ,000 less =$1,00  $2,500 =$2,50t. $5,000 =$5,00 -$15,000 =St5,00. $50,000  
(See Columns and 04) =$50,00 $I 00,000 =$I 00,00  $1,000,000 =$1,000,00  $5,000,000 =More than $5,000,000 Value Codes =St5,000 less 5,00  $50,000 =$50,001  $100,000 =$I 00,00  $250,000  
(See Columns and 03) =$250,001  $500,000 =$500,001. $,000,000 =$1,000,001. $5,000,000 =$5,000,001  $25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) ==Appraisal =Other =Assessment =Book Value =Estimated  

Date Report 
Beaty Jr., James 
06/19/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReporl) previously noted, monthly contributions during the reporting period were made into Dividend Reinvestment Plans Investor Plans each the following 
lists securities mutual funds: (9) Duke Energy Common, (18) CSX, (19) Exxon Mobil, (24) Bell South/AT T, (20) Vanguard 500 Mutual Fund, (21) 
Vanguard Healthcare Mutual Fund, (22) Vanguard Emerging Market Fund and the newly acquired (23) Vanguard European Fund. 
Items 2-7 were all held Wachovia Brokerage IRA. 
Amended Report: 
Part VII, Bank America Investment Services, Inc. (IRA) formerly Nations Bank (IRA); Items 11-17 have been added and are all held Bank America 
Investment Services, Inc., IRA (JO); (20) Vanguard 500, has been changed reflect Partial Exchange, (24) Bell South, has been changed reflect Partial Sale.  

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 Government Act 1978 
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-lll) Person Reporting (last name, first, middle initial) Beaty Jr., James Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) Article Ill Judge Court Organization District Court -4th Cir. Sa. Report Type (check appropriate type) Nomination, Date Initial  Annual Final Date Report 05/07/2007 Reporting Period 01/01/2006 1213112006  
Sb. Amended Report Chambers Office Address 251 Main Street -Suite 248 Winston-Salem, N.C. 27101-3984 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. OSJTJ NS. (Reporting individual only; see pp. 9-13 instructions.) 
[K] NONE (No reportable positions.) 
POSITION 	NAME ORGANIZATION/ENTITY 

II, REE (Reporting individual only; see pp. 14-16 instructions.) 
[K] NONE (No reportable agreements.) 

PARTIES AND TERMS 

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Date Report 
Beaty Jr., James 
05/07/2007 
III. N-INVESTMENT ME, (Reporting individual and spouse; see pp. 17-24 instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 
SOURCE AND TYPE 2006 Judicial Retirement Vested Benefit 
INCOME 
(yours, not spouse's) 29,570 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) 
NONE (No reportable non-investment income.) 

SOURCE AND TYPE 2006 The Speech Center 

IV. REIMBURSEMENTS --transportation, /odging,food, entertainment. 
(Includes !hose spouse and dependent children. See pp. 25-27 oj'instrnctions.) 
NONE (No reportable reimbursements.) 
DESCRIPTION 
January 8-11, 2006 West Palm Beach, Florida (travel, food, lodging) 

April 24-28, 2006 -Washingrton, D.C. (travel, food, lodging) 
Ntl. Workshop for District Judges Ill August 4-9, 2006 -Denver, (travel, food, lodging) 
Just The Beginning Foundation Conference September 21-24, 2006 Cincinnati, (travel, lodging, food) 

Date Report 
Beaty Jr., James 
05/07/2007 GIFTS, (Includes those spouse and depe11de111 children. See pp. 28-31 instructions.) 
[2[] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse a11d depe11den/ children. See pp. 32-33 ofi11structio11s.) NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE Equitable Life Insurance Policy Loan 

Date Report 
Beaty Jr., James 
05/07/2007 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes those the spouse and dependent children. see PP 34-60 offiting instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div rent,  Code  Method  buy, sell,  Month  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Wachovia Brokerage IRA  Dividend Citigroup Microsoft General Electric Omega Health Prop. Common Lithium Technology/Common Carolina Power Light Common (Now Progress Energy) American Power Conversion Company Duke Energy, Common  Dividend  
JO. Nations Bank Securities IRA  Dividend CSX, Corp., Common  Dividend  
12. Exxon Mobil  Dividend  
13. Vanguard, 500 Mutual Fund  Dividend  Exchanged  8/1  
14. Vanguard Healthcare Mutual Fund  Dividend  
15. Vanguard Emerging Mkt Fund  Dividend  
16. Vanguard European Fund  Dividend  Buy  8/1  
17. Bell South/AT  Dividend  Sell  915 Income Gain Codes: =$1,000 less =St ,OOt -S2.SOO =$2,501 $5,000  D=S5,00I -515,000 15,00 -S50,000  
(See Columns and 04) =$50,00I -SI 00,000 =SJ00,001 -St,000,000 =SJ,000,001  S5,000,000 =More than $5,000,000 Value Codes =SIS,000 less 15,00 -$50,000 =$50,00 -$100,000 =SIOO,OOt 250, 000  
(See Columns and 03) =$250,00 -$500,000 =$500,001 -Sl,000,000 =Sl,000,001. S5,000,000 =SS,000 ,00I -525,000,000 Value Method Codes =$25,000,001 -S50,000,000 =Cos! (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Other ""Assessment =Book Value =Estimated  

Name Person Reporting 
Date Report 
Beaty Jr., James 
05/07/2007 
VII. INVESTMENTS and TRUSTS income, value, transactions anc111des those the spouse and dependent children. see PP 34-60 filing ins1ruc1ions.; NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  {I) Amount Code (A-H)  (2) Type (e.g. div., rent, int.)  {I) Value Code (J-P)  (2) Value Method Code (Q-W)  {I) Type (e.g. buy, sell, redemption)  (2) Date Month -Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

18.  Mutual New York-Whole Life  Dividend  Donated  12/28  
19.  Mutual New York-Whole Life  Dividend  
20.  Mutual New York-Whole Life  Dividend  
21.  Equitable Life-Whole Life  Dividend  
22.  Equitable Variable Life-Whole Life  Dividend  
23.  Equitable Variable-Alliance Common Stock Fund  Dividend  
24.  State Farm Universal-Whole Life  None  Surrender  05103 Income Gain Codes: 1,000 less  B=Sl,OOl -S2,500  c=$2,501 -$5,000  D=S5,00I 15,000 15,00 -$50,000  
(See Columns and D4) =S50,00I -SI 00,000  G=SI00,001-Sl ,000,000 =$1,000,001 -S5,000,000 =More than S5,000,000 Value Codes  J=$15,000or less 15,00 -S50,000  L=$50,00 -$I 00,000 =SI 00,00 -$250,000  
(See Columns and 03) =$250,001 -5500,000  0=$500,00I -$1,000,000 =$1,000,00 -$5,000,000 =S5,000,00I -S25,000,000 Value Method Codes =$25,000,00 -$50,000,000 =Cost (Real Estate Only) =More than S50,000,000  T=Cash Market  
(See Column C2) =Appraisal =Other =Assessment  
U=Book Value  W=Estimated  

Date Report 
Beaty Jr., James 
05/07/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparto/Report) previously noted, monthly contributions during the reporting period were made into Dividend Reinvestment Plans Investor Plans each the following 
lists securities mutual funds: (9) Duke Energy Common, (11) CSX, (12) Exxon Mobil, (17) Bell South/AT (13) Vanguard 500 Mutual Fund, (14) 
Vanguard Healthcare Mutual Fund, 15) Vanguard Emerging Market Fund and the newly acquired 16) Vanguard European Fund. 
Items 2-7 were all held Wachovia Brokerage IRA. 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature 

NOTE: ANY 
AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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