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Judicial Watch • Thoams W. Phillips – 2012

Thoams W. Phillips – 2012

Thoams W. Phillips – 2012

Page 1: Thoams W. Phillips – 2012

Category:Federal Judges

Number of Pages:8

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Thoams W Phillips, Phillips, funds, thomas, 2012, Market, spouse, transactions, Codes, dividend, reportable, reporting, report, Federal Judge, income, Judge


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Government Act of" 1978 
Rev. 112013 
FOR CALENDAR YEAR 2012 U.S.C. app. JOI-I Person Reporting (last name, first, middle initial) Phillips, Thomas Court Organization Eastern District Tennessee Date Report 05/01/2013 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time U.S. DistrictJudge Active  Sa. Report Type (check appropriate type) Nomination Date Initial [{) Annual Sb. Amended Report Final Reporting Period 01/01/2012 12/31/2012 Chambers Office Address 
800 Market Street 
Suite 145 
Knoxville, 37902 

/MPO ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POSITIONS, (Reporting individual only; see pp. 9-13 filing instructions.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY  Member, Board Trustees  Berea College, Berea, 

II, REE MENTS, (Reporting individual only; see pp. I4-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

III. N0N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income 

[{] NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME 
(yours, not spouse's) 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 2012 ONEIDA INDEPENDENT SCHOOL SYSTEM (RETIRED TEACHER) 0.00 

IV. REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 o.ffiling instructions.) 

[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Jnc/11des those spouse and dependent children; see pp. 28-31 filing instructions.) NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE ITEND ANNUAL REVIEW TENNESSEE LAW INSTITUTE SEMINAR W/0 CHARGE 

VI. LIABILITIES. (Jnc/11des those spouse and dependent children; see pp. 32-33 ofji/lng instructions.) 

[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc1udes t1tose 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  

(1) (2) (1) (2) (I) (5) 
Place "(X)" after 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,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: 1.000 less =$1.001 -$2.500 =$2.501 -$5.000  D=$5.001 -$15.000 =$15.001  $50.000  
(Sec Columns and 04) =$50.001  $100.000  G=$100.001  $1.000.000  Ill =$1.000.001  $5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.001  $50.000 =$50.00  $100.000 =$100.00 -$250.000  
(Sec Columns and D3) =$250.001 -$500.000  0=$500.00  $1.000.000 =$1,000.001 -$5,000.000  1'2 =$5.000.001  $25,000.000  
1'3 =$25.000.001  $50.000.000  P4=More than $50.000.000 Value Method Codes  Q=Approisal =Cost (Rcnl Estate Only) =Assessment =Cash Market  
(Sec Column C2)  U=Uook Value :..:..Q1hcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, vat11e, transactions (1nc111des those ofspo11se and dependent children; see PP 34-60 filing ins1r11ctions.J NONE (No reportable income, assets, transactions.) 

Descriptio1! Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(2) (I) (2) (3) 
Place "(X)" after 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,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

 liicomc Gain Codes: =$1.000 less  1l=$1.001 -$2.500 =$2.501 $5.000  D=$5.001 -$15.000  E=$15.001 -$50.000  
(Sec Columns 131 nnd 04) =$50.001 -$100.000  G=$100.001 -$1.000.000  Ill =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15,001 -$50.000  L=$50.00 -$I 00.000  M=$100.001 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000 =$500.001 -$1.000.000 =$1.000.001 -$5.000.000  1'2 =$5.000.001 -$25.000.000  
P3=$25.000.00 -$50.000.000 =More than $50.000.000 Value Mc1hod Codes =Appraisal =Cost (Real Estate Only)  S=Assessment  T=Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, va1ue, transactions r1nc111des those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
35. GLD STRAT INCOME GOLDMAN 
Dividend Sold 08/13/12 
SACHS ASSET MGMT (part) 

36. !SH ARES SP 500 GROWTH INDEX Dividend Sold 11/29/12 
FUND 
37. COLUMBIA FUNDS BAL 
Dividend Buy 11/30/12 

38. !SH ARES LEH MAN 1-3 YEAR CREDIT
Dividend 
BOND FUND 

39. COLUMBIA FUNDS BALANCED Dividend 
40. SPDR SP DIVIDEND ETF Dividend. Sold 11/29/12 

41. SPDR SP 400 MID CAP VALUE Dividend Buy 01/06/12 

42. SPDR SP 400 MID CAP VALUE KDividend Sold 08/15/12 
(part) 
43. GLD STRA INCOME-A GOLDMAN Dividend 11/13/12 KSold 
SACHS ASSET MGMT (part) 
44. GLD STR INCOME-A GOLDMAN Dividend Sold 12/11/12 
SACHS ASSET MGMT (part) 
45. FRK MUNI BOND-A FRANKLIN Dividend 
GROUP FUNDS 
46. FRK MUT GLB DISCOVERY Dividend Sold 08/13/12 
FRANKLIN GROUP FUNDS 
47. MFS TENNESSEE MUNICIPAL BOND Interest Buy 08/16/12 

48. MFS TENNESSEE MUNICIPAL BOND Interest Buy 11130/12 
Description Assets Income during Gross value end 

Transactions during reporting period 
(including trnst assets) reporting period reporting period 
(I) 
(I) (3) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of. buy, sell, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
Code
exempt from prior disclosure 
div., rent, Code Method Income Gain Codes: A=$1 .000 Jess 13=$1.001 -$2.500 =$2.501 -$5.000 

E=$15.001 -$50.000 (Sec Columns and 04) =$50.00t -$100.000 G=$100.001 -$1.000.000 Ill =$1.000.001 -$5.000.000 Value Codes =$I 5.000 Jess =$15.001 -$50.000 L=$50.001 -$100.000 
(Sec Columns 	and 03) =$250.001 -$500.000 0=$500.00t -$1.000.000 =$1.000.001 -$5,000.000 1'2 =$5.000.001 -$25,000.000 =$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market (Sec Column C2) U=Book Value =Other =Estimated 

Phillips, Thomas 
05101/2013
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 
Did not teach 2012. 

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 of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: Thomas Phillips 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
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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