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Judicial Watch • Thomas D. Schroeder – 2012

Thomas D. Schroeder – 2012

Thomas D. Schroeder – 2012

Page 1: Thomas D. Schroeder – 2012

Category:Federal Judges

Number of Pages:12

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Eaton, Thomas D Schroeder, VANCE, Pimco, vanguard, 2012, Market, assets, transactions, TRUSTS, Codes, dividend, reportable, reporting, Federal Judge, income, Judge


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Rev. 112013 
FOR CALENDAR YEAR 2012 U.S.C. app. IOI-I Person Reporting (last name, first, middle initial) Schroeder, Thomas Court Organization Middle DistrictofN Date Report 0511512013 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge  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 
251 North Main Street, Suite 223A 
Hiram Ward Federal Courthouse 
Winston-Salem, North Carolina 27101 
/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. POSIT! NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY 
Board Member Notre Pame Law Association 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

0511512013
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-14 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 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 Piedmont Land Conservancy, salary 

IV. REIMBURSEMENTS transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children; see pp. 15-17 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 

05/15/2013 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 
SOURCE 
DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION 
VALUE CODE 

05/15/2013
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc111des those spouse and dependent c!tildren; see PP 34-60 filing ins1mctions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trnst assets)  reporting pe1iod reporting period  

(I) (I) (2) (3) 
(4) (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) Wells Fargo Accounts (f/k/a Wachovia)  Interest BBT Account  Interest Treasury Series Bonds  None First Tennessee Accounts  Interest Valic Annuity (X)  Distribution Brokerage (H) -iShares Russell 000 Index  Dividend  Sold (part)  02/21/12 -PowerShares FTSE RAFI 000  Dividend  Buy (add'!)  10/09/12 -iShares MSC! EAFE Index  Dividend  Sold (part)  02/21/12  
10.  Buy (add'!)  1019112  
11. -Vanguard MSC! EAFE ETF  Dividend  Buy  02/21/12  
12. -iShares MSC! Emerging Markets Index  Dividend  Sold (part)  02/21/12  
13.  Buy (add'!) 0109112  
14. -Vanguard FTSE Emerging Markets ETF  Dividend  Buy  02/21/12  
15. -PIMCO 1-5 Year TIPS Index ETF  Dividend  Buy  I0/09/12  
16. -PIMCO Low Duration Fund Inst!  Dividend  Sold (part)  10/8/12  
17. -Vanguard Ltd-Term Tax Exempt Adm  Dividend  Sold (part)  10/8/12 Inco Gain Codes: =$1.000 less =$1.001 -$2.500 42.50 -$5,000 =$5.001 -$15,000 =$15.00 -$50,000  
(Sec Columns and 04)  F=$50.001 -$100.000 =$I 00.00 -$1.000.000  111 =$1.000.001 -$5,000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 =$!00.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500.00 -$1.000.000 =$1,000.001 -$5.000.000  1'2 =$5,000.001 -$25,000.000 =$25.000.00 -$50.000.000  1'4 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment. =Cash Market  
(Sec Column C2) =Book Value  V=Other =Estimated  

05/15/2013
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc111des those ofspo11se and dependent c/litdren; see PP 34-60 offiting insimctions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trnst assets)  reporting period  ofreporting period  

{I) {I) (3) (4) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code 
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) 
Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
18. -Vanguard Short-Term Investment-Grade Adm  Dividend  Sold (part) 0/8/12  
19. -Fidelity Cash  Dividend  
20. -Fidelity Inst!: Tax Exempt Portfolio  Dividend  
21. Brokerage (H)  
22. -iShares Russell 000 Index  Dividend  Sold (part)  10/5/12  
23. -PowerShares FTSE RAFI 1000  Dividend  
24. -iShares MSC! EAFE Index  Dividend  Sold (part)  02/21/12  
25.  Sold (part)  10/5/12  
26. -Vanguard MSC! EAFE ETF  Dividend  Buy  02/21112  
27. -iShares MSC! Emerging Markets Index  Dividend  Sold (part)  02/21/12  
28.  Sold (part) 015112  
29. -Vanguard FTSE Emerging Markets ETF  Dividend  Buy  02/21/12  
30. -PIMCO All Asset All Authority Inst!  Dividend  Buy  10/5/12  
31. -PIMCO All Asset Fund Inst!  Dividend  Sold 0/5/12  
32. -AQR Managed Futures Strategy  Dividend  Buy 0/5/12  
33. -Eaton Vance Glbl Macro Absolute Ret Advtg  Dividend  Buy 0/5112  
34. -PIMCO Unconstrained Bond Inst!  Dividend  Buy 0/5112 Income Gain Codes: =$1.000 less  B=$1,001 -$2.500 42.501 -$5.000 =$5.00 -$15.000 =$15.001 -$50.000  
(Sec Columns and 04) =$50.001 -$100.000 =$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 =$50.001 -$100.000 =$1 00.001 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000 =$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 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

05/15/2013 
VII. INVESTMENTS and TRUSTS --income, va1ae, transactions (1nc111des those spouse and dependent children; see PP 34-60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trnst assets)  reporting period reporting period  

(2) (I) (2) (3) 
(4) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) 
Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
35. -PIM 1-5 Year U.S. TIPS Bond Index  Dividend  Sold (part)  10/5/12  
36. -PIM Global Advantage Strategy Bond Inst!  Dividend  Sold (part)  10/5/12  
37. -Vanguard Short-Term Investment-Grade  Dividend  Sold (part)  10/5/12  
38.  Sold  10/10/I2  
39. -Vanguard Short-Term Investment-Grade Adm  Dividend  Buy  IO/IO/I2  
40. -Eaton Vance Floating Rate Adv  Dividend  Sold (part)  I0/5/I2  
41. -Fidelity Cash  Dividend  
42. Brokerage (H)(X)  
43. -AQR Managed Futures Strategy  Dividend  Buy  I0/9/12  
44. -American Funds Income Fund America (X)  Sold  2/2 l/I2  
45. -American Funds Washington Mutual (X)  Sold  2/2I/I2  
46. -BlackRock Equity Dividend Inv (X)  Sold  2/21/I2  
47. -BlackRock Global Allocation (X)  Sold  2/2I/I2  
48. -Eaton Vance Gib! Macro Absolute Return  Dividend  Buy  2/2I/12  
49.  Sold  10/8/12  
50. -MuniYield Insured Fund Inc. (X)  Distribution  Sold  2/2 l/I2  
51. -Oppenheimer Main St. Growth Income (X)  Sold  2/2I/12 Income Gain Codes: =$1.000 less  ll41.00l -$2.500 42.501 -$5.000 =$5.001 -$15,000  E=$15.00l -$50.000  
(Sec Columns and 04)  F=$50.00J -$100.000 =$100,001 -$1.000.000 =$1.000.001 -$5.000,000  I12 =More than $5.000.000 Value Codes =$15,000 less =$15.001 -$50.000 =$50.001 -$100.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500.00 1.000.000 =$1.000.001 -$5.000.000 =$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 ==Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

0511512013 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes t1tose spouse and dependent c1tildre11; see pp. 34-60 t>ffiling ins1mctio11s.J 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) (I) (2) (1) (2) 
(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  redemplion)  (J-P)  (A-H)  (if private  
(Q-W)  transactiqn) Income Gain Codes: .000 less 41.001 -$2.500 42.501 -$5.000 45.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and 04) =$50.001 -$too.ooo =$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 =$50.001 -$100.000 I00.00 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500.00 -$1.000.000 =$1.000,001 -$5.000.000  1'2 =$5.000.001 -$25.000.000 =$25.000.00 -$50.000.000  1'4 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

05/15/2013
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des t1tose spouse and dependent c1ti/t1ren; see PP 34-60 offitinc 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) (I) 
(I) 
(2) (3) 
(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  0=$5.001 -$15.000 =$15.00 -$50,000  
(Sec Columns and D4)  F=$50.001 -$100.000 =$100.00 -$1,000.000  Ill =$1.000.001 -$5.000.000  112 =More than $5.000.000 Vnluc Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 to0.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500,000 =$500.001 -$1.000.000 =$1,000.001 -$5.000.000  1'2 =$5.000.001 -$25.000.000  
1'3 =$25.000.00 $50.000.000  1'4 =More than $50,000.000 Vnluc Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

05/15/2013
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those tifspouse and dependent children; see PP 34-60 filing ins/ructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  repo11ing period reporting period  

(I) (2) (I) (2) (3) (4) (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)  

86. -AQR Managed Futures Strategy  Dividend  Buy  10/8/12  
87. -Eaton Vance Global Absolute.Return  Dividend  Sold  I0/8/  
88. -Eaton Vance Gib! Macro Absolute Ret Advtg  Dividend  Buy  10/8/12  
89. -PIMCO Unconstrained Bond Inst!  Dividend  Buy  10/8/12  
90. -PIMCO 1-5 Year U.S. TIPS Bond Index  Dividend  Sold  10/8/12  
91. -Eaton Vance Emerging Mkts Local Income  Dividend  Buy  I0/10/12  
92. -PIMCO Global Advantage Strategy Bond Inst!  Dividend  Sold (part)  10/8/12  
93. -PIMCO High Yield Spectrum Inst!  Dividend  Buy  I0/10/I2  
94. -Eaton Vance Floating Rate Adv  Dividend  Sold (part)  10/8/12  
95. -Eaton Vance Floating Rate Inst]  Dividend  Buy  10/12/12  
96. -Fidelity Treasury Daily Money Market  Dividend  
97. Mass Mutual Whole Life Insurance  Dividend  
98. Mass Mutual Whole Life Insurance  Dividend  
99. Loyal American Insurance  Dividend  
100. Winston-Salem Foundation Donor Advised Fund  None  
101. Vanguard 529 -Vanguard Interest Accumulation Portfolio  Interest  
102. Vanguard 529 -Vanguard Interest Accumulation Portfolio  Interest Income Gain Codes: =$1.000 Jess  B4t.00t -$2.500 =$2.50t -$5.000 =$5.00t -$t5.000 415.001 -$50.000  
(Sec Columns and D4) =$50.001 -$t00.000 4l00.00I -$1.000.000  Ill =$1.000.001 -$5.000.000  fl2 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.00 -$I 00.000 I00.00 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500,001 t.000.000 =$1.000.001 -$5.000.000  1'2 =$5.000.001 -$25.000.000 =$25.000.001 -$50.000.000  1'4 =More than $50.000.000 Value Method Codes =Appraisal '"'Cost (Real Esrntc Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

05/15/2013
Schroeder, Thomas 
VII. INVESTMENTS and TRUSTS --income, va1ue, transactions (Includes 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 trnst assets) reporting period reporting period 
(5) 
Place "(X)" after each asset Identity exempt from prior disclosure buyer/seller (if private transaction) 
103. College Foundation 529 Dependable Income Fund Income Gain Codes: =$1.000 less =$1.00 -$2.500 =$2.501  $5.000  D=$5.001 -$15.000 =$15.00 -$50.000  
(Sec Columns and 04) =$50.00 -$I 00.000 =$100.001 -$1 .000.000  Ill =$1.000.001. $5.000.000  112 =More than $5.000.000 Value Codes =$15 .000 less  K=$15.001 -$50.000 =$50.001 -$100.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500.00 -$1.000.000 =$1,000.001 -$5,000.000  1'2 =$5.000.00 -$25.000.000  
1'3 =$25.000.00  $50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

Date Report 
05/15/2013
Schroeder, Thomas 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (/11dicute part ofreport.) 
The Winston-Salem Foundation Donor Advised Fund reflects money donated irrevocably to, and owned by, the Foundation, but and spouse can direct donations from that Fund charities our choice. can receive income from its investment; rather, the Fund receives the income. 

05/15/2013 
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: Thomas Schroeder 
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