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Judicial Watch • Thomas W. Phillips – 2009

Thomas W. Phillips – 2009

Thomas W. Phillips – 2009

Page 1: Thomas W. Phillips – 2009

Category:Federal Judges

Number of Pages:9

Date Created:September 13, 2013

Date Uploaded to the Library:December 04, 2014

Tags:Riversource, Thomas W Phillips, Phillips, ISHARES, thomas, Fidelity, 2009, assets, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act !978 
Re~. 1/20~o FOR CALENDAR YEAR 2009 Person Reporting (lasl name. first, middle initial) Court Organization Date Report Phillips, Thomas Eastern District Tennessee 
05101/2010 Title (Article Ill judges indicate aclivc senior status:magistralc judges indicate fidl- part-time) 5a. Report Type (check appropriate type) Reportiog Period 
---] Nomination, Dale 01,:01/2009 
U.S. Dislrict Judge Active Initial Amtual Final 12/3 ,2009 
 
$b. Amended Report Chambers Office Address the basis the iuformation contained lhis Report and any 
modificatlous pertaining thereto, is, opinion, romplance g_00 Market Street 
with applicable la~s and regulations. Suite !45 Ka~oxvifle, 37902 
Reviewing Officer [)ate 
IMPOR NOTES: The instructions accompanying this form must fidlowed. Complete all parts, checkit~g the NONE box for each part where you have reportable i~brmation. Sign last page. POSITION r~q, or~t,,~0 individual on(r; see pp. 9-13 filing instructions.) 
NONE OVo reportable positions.) 
POSITION NAME ORGAN [ZATION/ENTITY 
NONE (No rcT)ortabte agreements.) ....... 
DATE PARTIE~ AND TERMS ~.,. 
 
 
Phillips, Thomas ......[ ..... Reporli,,g Dale Repori 
 
Ill. NON-INVESTMENT INCOME. m~por,i.g individua! andsp .... seepp. 17-24 off!ling instructions.) Fliers Non-lnvestment Income NONE (No reportable non-investment income.) 
DATE SO! ~RCE AND TYPE 
 
(yours, not spouses) Spou ses Non-Investment Income -l/~,,,u .,e~e married during any porKon the reporting year, complete Ihis section. 
(I),;lAtr amount not required e.rcept for honoraria.) 
--] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE 2009 ONEIDA INDEPENDENT SCHOOl, SYSTEM (R.ETIR TEACHER) 0.00 d.~ ~se and depe~ tdren, see 25-2 ~[~f!ling in~tructions 
NONE (No reportable reimbursements.) 
 
SOURC~ DATES LOCATION PURPOSE ITEMS PA~D PROVIDED GIFTS. ~1.c.,d.s those spo.,, ,,.d d.~,e,,de,,, childre.; seep.. 2S-3~ ,,I.ll.g instructlon~Q 
[--~ NONE (No reportable gifts..) 
SOLrRCE DESCRIPTION VALUE ATTEND ANNUAL REVIEW TENNESSEE LAW INSTITUTE $400.0 
SEMINAR W/O CHARGE 
VI. LIABILITIES. t~,,c~,,de~,h,,~ o/,p ...... a~p~,d~,,, children; xeepp. 32-33 filing instructions.) NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 
VII. INVESTMENTS and TRUSTS -, .......... t,,,, lransactlotls (Includes those ...... dependt, tit children: see pp, 34-60 f!lln.g instructions.) NONE (No reportable income, assets, trat~sactions.) 
............................ ...... .....~ ..................~ ................................. 
 
Description Assets Income during Gross value end T~ansactions during reporting period 
(includiag trust assels) repofiin~ period rcporling ~riod Placc(X) after cach asset Amoont Type (e.g., Value Value Type (e.g., Dale Valu~ Gain Id~nti~y Code ~n/d~yy Code 
excmpl fiom prior disclosure rent, Uodc Mcth~] buy, sell, Code buyeroiler(A-H) int.) (J-P) Code rcdempt)on) O-P) (A-H) (ifprivalc ..................... (q-w) ................................. t)ansac~ion) ......... ............. 	CD-IST NATL BANK, ONEIDA, Interest Redeemed I/16/09 
[paa) 	 
CD-IST NATL BANK, ONEIDA, Interest Redeemed 04/20/09 
(paa) 	 
AMERIPRtSE BROCKE~GE ACCO~T Interest 
(CASH EQUIVALENT) 	 
CBRL GROUP, INC. Dividend 	 
AMEX TRUST CO. IRA lnt.!Div. 	 
--FIDELITY ADVISOR STRATEGIC Dividend Sold 11/04/09 
INCOME 
--RIVERSOURCE MID CAP VALUE Dividend 	Sold 
 
 
 
11104109 
--FIDELITY ADVISOR NEW INSIGHTS 1-A Dividend 	Sold 11/04/09 	 
--RIVERSOURCE INTL SELECT VALUE Dividend Sold 1/04/09 
 
 
 
t0. 	--AMERICAN CENTURY EQUITY Dividend 
 
Sold 11/04/09 INCOME 	--AMERICAN CENTURY Dividend 	Sold 11/04/09 
LONG-SHORTEQUITY 
12. --RIVERSOURCE DIVERSiEIED EQUITY Dividend 	Sold 1/04/09 1NC 
 
13. 
--LOOMIS STRAI INCOME Dividend 	Sold I.i04.09 
 
14. 	 
--AMERIFRISE INS MONEY MARKET Inleres~ 
 
 
15. 	 
--OAKNtARK INCOME Dividend t3uy 11/04!139 
OAKMARK FUNDS 
 
 
16. 	 
--1SHARES BARCLAYS AGGREGATE Dividend Buy 1/04709 FUND 
 
17. 	--ISttARES MSCt EMERGING l)ividend 13uy I104109 
MARKETS INDEX 
 
 
Phillips, Ihomas %%. 05/01/2010 ONE (No reportable income, assets, transactions.) 
Description Assets (including trust as~ts) Place after each asset Income durin~ reposing period ~Amount Type (e.g., Grosg value end reporting period Value Value Tvpe (e.g., Transactions during reporting period ..... Date Value Gain Identity 
(Q-W) transaction) 19. --IStIARES SP 500 GROWTH INDEX FUNDS --ISHARES MSCI EAFE INDEX FUND Dividend Dividend Buy Buy I/009 11/04/09 
20. 21. 22. 23. 24. 25. 26, --ISItARES RUSSELL 1000 VAI.UE INDEX FUND --ISttARES IBOXX HIG[I YIELD CORPO~TE BOND FUND --ISIIARES LEHMAN 1-3 YEAR CREDIT BOND --ISItARES LEItMAN 3-7 YEAR TREASURY BOND FUND --SPDR WILSI[IRE MID CAP VALUEETF --VANGUA~ MID-CAP GROWTH INDEX FUND AMEX TRUST CO, IRA Dividend Dividend Dividend Dividend Dividend Dividend Int,iD[v. Buy Buy Buy Buy Buy Bny 11/04/09 11104109 11!04/09 11/04/09 t/04/09 1/04/09 
27. 28. --AMERICAN CENTURY EQUITY INCOME --FIDELIFY ADVISOR NEW INSIGIITS Dividend Dividend Sold Sold 1/04/09 11/04/09 
29. 3i). 3t, 32. 33. --AMERICAN CENTURY LONG-SHORT EQUITY --R1VI~RSOURCE INTL SELECT VAULE --FIDELITY ADVISOR STRATEGIC INCOME --RIVERSOURCE INTL SELECT VALUE --RAINIER SMALLMID CAP EQUITY Dividend Dividend Dividend Dividend Dividend Sold Sold Snld Sold Sold 11/04/09 11/04,(19 11i04/09 !/04/09 11/04/09 
34. --RIVERSOIJRCE VERSIFIED EQUITYI 1NC Dividend Sold 11/04/09 .... Person Reporting 	Date Report 
VII. INVESTMENTS TRUSTS .... value, .......lions (Includes those ...... dependent children; see pp. 34-60 filing instructions.} 
 
~] NONE (No reportable income, assets, transactions.) 	B.C. 
Description Assets Income during Gross value end (including toast assets) reporting period reporting period 
Place(X)aa .....h ....t ......t Type(c.g., Value Value Type(e.g., .... from prior discl ...... Code Method buy, sell, Code div., rent, 
35. 	 
--SELECTED AMERICAN SHA~S Dividend Sold 
 
36. 	 
--RAINIER SMALL/MID CAP EQUITY Dividend Sold 
 
37. 	 
--FIDELITY ADVISOR DIVERSIFIED Dividend Sold 
INTL 
 
 
38. 	 
--FIDELITY ADVISOR NEW INS1GHTSI Dividend Sold 
 
39. 	 
--AMER1PRISE INS MONEY MARKET Interest 
 
40. 	 
--ISHARES BARCLAYS AGGREGATE Dividend BuyBD FUND 
41. 	 
--ISHARES MSCI EMERGING Dividend Buy 
MARKETS INDEX 
 
 
42. 	 
--ISHARES SP 500 GROWTH INDEX Dividend BuyFUND 
43. 	--ISIIARES MSCI EAFE INDEX FUND Dividend Buy 
44. 	--ISI lARES RUSSELL 1000 VALUE Dividend Buy 
45, 	--ISIIARES IBOXX HIGH YIELD Dividend 
Buy 
46. 	 
--ISI:tARES LEHMAN 1-3 YEAR CREDIT Dividend Buy BOND FUND 
 
47. 	 
--ISHARES LEHMAN 3-7 YEAR Diviclend BuyTREASURY BOND FUND 
 
48. 	 
--SPDR W1LSHIRE MID CAP VALUE Dividend BuyETF 
 
49. 	 
--VANGUARD MID-CAP GROWTH Dividend BuyINDEX FUND 
 
50. 	 
FIDELITY ADVIS(~~STRATEGIC Dividend 
INCOME 
 
 
51. 	 
FBR PEGASUS INV Dividend 	Sold Income Gain Codes: =SI,O00 less =5~.001 $2.500 =52.501 55.000 (Scc Columns and D4) =550,001 I0~,000 =$100,001 $1.000,000 liJ ~SI.0O0,O0l $5.000.000 aiue C~es =$15.000 less 15,001 $5(I.009 -55(J.001 5100.O00 
 
(5 Columns and 1)3) =$250.001 $500.000 =$500,001 51.000.000 -$1.000.001 $5,000,000 ~$25.000,001 $50,000,000 =More than $50.~O0,000 
 Value Method Codes =Appraisal =Cosl (Re,d Esuuc Only) =Assessment 
(See Column C2) ~Book Value =Olhcr =Estimalcd 
Tra0.sactions during reporting period 
 
 
Idenlityof Date,[Value,I Gain 
/mm/d~yy Code Code buyer/seller 
 
transaction) 1/04/09 
11/04/09 
11/04/09 
11/04/09 
 
11/04/09 1/04/09 11/04/09 11/04/09 I,/04/09 11/04/09 11/04/09 11/04/09 11/04/09 11/04/09 1/04/09 -$5,001 515,000 :$15.DOI $50,000 =More lhan gS.0D0.000 =5100.001 5250.000 =$5.000.00t 525,000.000 -Cash Market 
 
Name Person Reporting 	Date Report Phillips, Thomas 
 
VII. INVESTMENTS and TRUSTS ........ lue, ....... tlons (Includes those ,~]sp ........ dependent children see pp. 34-60 f!litlg instruclions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross aluc end Transactions during reporting pel 
(including trust assets) reporting i~riod rcportil:g period 
 
Place (X) after each assel Amotm! Type(e.g.. Value Value Type(e.g., Date Value Gain Idcntily exempt from prior discklsurc div., rent, Code Method buy, sell, imm;ddvvv Code Code buyer!sc[lci 
Code (A-H) inl.] (J-P) 	Code redemption) (.l-P) ,(A-H) (itp~ (Q-,.) Iransactionl 
52. 	 
RVS STRAT INC AI.LOC Dividend 13uy 1.,04/09 
RIVERSOURCE MUTUAL FUNDS 
 
 
53. 	 
tSHARES BARCLAYS AGGREGATE t3D Dividend Buy 1/04/09 
FUND 
 
 
54. 	 
ISIIARES IvISCI EMERGING MARKETS Dividend Buy 1/04/09 
INDEX 
 
 
55. 	 
ISHARES SP 500 GROWTfl INDEX Dividend Buy 1,,I)4/09 
FUND 
 
 
56. 	 
ISHARES MSCI EAFE INDEX FUND Dividend Buy 	11,;04/09 
57. 	tSHARES RUSSELL 1000 VALUE Dividend Buy ;04/091 
58, 	ISItAILES 1BOXX IIGt[ YIELD Dividend Buy 11/04/09! 
CORPORATE BOND FUND 	ISHARES LEHMAN t-3 YEAR CREDIT Dividend Buy 11/04/09 
BOND FUND 
60. 	ISHARES LEHMAN 3-7 YEAR Dividend Buy 11/04/09 JTREASURY BOND FUND 
61. 	SPDR WILSHIRE ,viii) CAP VALUE Dividend Buy 1/04/09 JETF 
62. 	VANGUARD MID-CAP GROWT! Dividend Buy 1!04/09 
INDEX FUND 
 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. 
Did not teach 2009. 
IX. CERTIFICATION. certify that all inlormation given above (including information pertaining spouse and minor dependent children, any) isaccurate, true, and complete the best knowledge and belief, and that any informalion not reported was withheld because met applicable statutory provisions permitting non-disclnsure. further certify that earned income from outside employmeut and honoraria and the acceptance gifts which have been reported are incompliance -.vlth the provisions U.S.C. app.  501 el. seq., U.S.C.  7353, and 3ndiclal Conference regulations. 
NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app,  104) 
FILING INSTRUCTIONS 
Mail signed original and additional copies 
Committee Financial Disclosure Administrative Office the United Stales Coarls Suile 2-30 One Columbus Circle, N.E. Washinglon, D.C. 21)544