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Judicial Watch • Thomas W. Phillips – 2010

Thomas W. Phillips – 2010

Thomas W. Phillips – 2010

Page 1: Thomas W. Phillips – 2010

Category:Federal Judges

Number of Pages:9

Date Created:September 13, 2013

Date Uploaded to the Library:December 04, 2014

Tags:LEHMAN, Thomas W Phillips, Phillips, ISHARES, thomas, credit, 2010, spouse, Codes, dividend, reportable, reporting, report, Federal Judge, income, Judge


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Government Act 1978 
FOR CALENDAR YEAR 2010 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization Date Report 
Phillips, Thomas Eastern District Tennessee 	04/14/2011 Title (Article II1 judges indicate active senior status; 5a. Report Type (check appropriate type) Reporting Period 
magistrate judges indicate full- part-time) Nomination, Date 01/01/2010 
U.S. District Judge Active Initial Annual Final 12/31/2010 
5b. Amended Report Chambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance 
800 Market Street 
 
with applicable laws and regulations. 
Suite 145 
Knoxville, 37902 
 
 
Reviewing Officer 	Date 
IMPORTANT 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. POSITIONS. (Reporang individuat o.ly; se~ pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION 	NAME ORGANIZATION/ENTITY 
 
 
II. AGREEMENTS. m~ortlng individual only; seepp. 14-16 off!ting instructions.) NONE (No reportable agreements.) 
DATE 	PARTIES AND TERMS 
Phillios, Thomas 
 
IlL ON-INVE TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
DATE 	SOURCE AND TYPE INCOME (yours, not spouses) Spouses 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.) 
DATE 	SOURCE AND TYPE ONEIDA INDEPENDENT SCHOOL SYSTEM (RETIRED TEACHER) 0.00 
 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 filling instructions.) 
NONE (No reportable reimbursements.) 
 
SOURCE 	DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
Name Person Reporting Date Report GIFTS. aneludes those spouse and dependent children; see pp. 28-31 filing instructions.) NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 
ATTEND ANNUAL REVIEW TENNESSEE LAW INSTITUTE $400.0 
SEMINAR W/O CHARGE 
VI. LIABILITIES. includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUECODE 
 
 
VII. INVES TMENTS and TRU STS income, value, ,ransactions anaudes those o/spouse and dependent children; see pp. 34-60 filing instructions.) NONE reportable income, assets, transactions.) B.C. 
Description Assets 	Income during Gross value end Transactions during reporting period 
(including trust assets} 
 
Place(X) after eaehasset Amount Type (e.g., Value Value Type {e,g., Date Value Gain Identity exempt from prior diselosure Code div, rent, Code Method buy, selI~ mrrddd/yy Code Code buyer/seller (A-H~ ira.) (J-P~ Code redemption) (J-P) (A-H) (if~xivate transaction) 
(Q-W) Redeemed 01/08/10 	CD-1 NATL BANK, ONEIDA, Interest 
 
 
(part) 
 
Interest Redeemed 04/19/10 (part) 	 
CD-1 NATL BANK, ONEIDA, 	 
AMERIPRISE BROCKERAGE Interest 
ACCOUNT (CASH EQUIVALENT) 	 
CBRL GROUP, INC. Dividend 
AMEX TRUST CO. -IRA Int./Div. 	 
--AMERIPRISE INS MONEY MARKET Interest 	 
--OAKMARK INCOME Dividend Sold 06/15/10 
OAKMARK FUNDS 	 
--ISHARES BARCLAYS AGGREGATE Dividend Sold 12/16/10 FUND 	 
--ISHARES MSCI EMERGING Dividend 
MARKETS INDEX 
 
 
10. 	 
--ISHARES SP 500 GROWTH INDEX Dividend 
FUNDS 
 
 
11. 	 
--ISHARES MSCI EAFE INDEX FUND Dividend 
 
12. 	 
--ISHARES RUSSELL 1000 VALUE Dividend 
INDEX FUND 
 
 
13. 	 
--ISHARES IBOXX HIGH YIELD Dividend 
CORPORATE BOND FUND 
 
 
14. 	 
--ISHARES LEHMAN 1-3 YEAR CREDIT Dividend 
BOND FUND 
 
 
15. 	 
--ISHARES LEHMAN 3-7 YEAR Dividend Sold 12/16/10 
TREASURY BOND FUND 
 
 
16. 	 
--SPDR WILSHIRE MID CAP VALUE Dividend 
ETF 
 
 
17. 	 
--VANGUARD MID-CAP GROWTH Dividend 
INDEX FUND =$1,00i $2,500 =$2,501 $5,000 =$5,001 $15,000 =$15,001 $50,000 
(Se~ Columns andD~l) =$50100i i001000 =$100,001 $1;000,000 =$I,000,001 000,000 =More than $5,000,000 Value Codes =$15,000 less =$15~001 $50~000 =$50,001 $100,000 =$100,001 $250,000 
(See Columns and D3) =$250,001 $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 
(See Column C2) =Book Value =Other =Estimatcd 
 
 
VII. INVESTMENTS and TRUSTS .... value, transactions (Includes those spouse and dependent children; seepp. 34-60 filing instructions.) 
NONE (No reportable income, assets, transactions.) 
18. 
 
19. 
 
20. 
 
21. 
 
22. 
 
23. 
 
24. 
 
25. 
 
26. 
 
27. 
 
28. 
 
29. 
 
30. 
 
31. 
 
32. 
 
33. 
 
34. 
Description Assets (including trust assets) 
Place (X) after each asset 
--COLUMBIA FUNDS GROUP 
 
--ISHARES LEHMAN 1-3 CREDIT 
--ISHARES LEHMAN I-3 CREDIT 
AMEX TRUST CO. IRA 
 
--AMERIPRISE INS MONEY MARKET 
--ISHARES BARCLAYS AGGREGATE FUND 
--ISHARES MSCI EMERGING 
MARKETS INDEX 
 
 
--ISHARES SP 500 GROWTH INDEX FUND --ISHARES MSC1 EAFE INDEX FUND 
--ISHARES RUSSELL 1000 VALUE 
--ISHARES IBOXX HIGH YIELD 
--ISHARES LEHMAN 1-3 YEAR CREDIT 
BOND FUND 
--ISHARES LEHMAN 3-7 YEAR 
TREASURY BOND FUND 
 
--SPDR WILSHIRE MID CAP VALUE 
ETF 
--VANGUARD MID-CAP GROWTH 
INDEX FUND 
 
--COLUMBIA FUNDS GROUP 
 
--ISHARES LEHMAN 1-3 CREDIT 
(See Columns and D4) =$50;001 $100,000 
 Value Codes =$15,000 less (See Columns and D3) =$250,001 $500,000 -~125,000,001 $50,000,000 
 Value Method Codes =Appraisal (See Column C2) =Book Value 
Income during Gross value end reporting period reporting period 
(1) (2) (lt Amount Type (e.g., Value 
Code 
 
div., rent. Code int.) (J-P) 
Dividend 
Dividend 
Dividend 
Int./Div. 
Interest 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend =$1,001- $2,500 =$100~001 $1,000,000 =$15,001- $50,000 =$500,001 -$1,000,000 =Cost (Real Estate Only) =Other 
(2) Value Method Code 
(Q-W) 
Transactions doting reporting period 
(1) (2) .:j(3)  (4) (5) Type (e.g., Date Value Gain Identity 
buy, sell~i .,. mm/dd/yy Code Code buyer/seller 
 
redemption) 
Buy Buy Buy 
Sold 
Sold 
Buy Buy =$2,501 $5,000 =$1;000i001 $5;000,000 =$50~001 100i000 =$1,000,001 $5,000,000 =More than $50,000,000 =Assessment =Estimated 
 
(J-P) (A-H) (if private transaction) 
12/14/10 12/16/10 12/16/10 
12/16/10 
12/16/10 
12/14/10 12/16/10 =$5,001 5,000 =$15,001 $50,000 =M0re than $5;000,000 ....... =$i00;001 $250,000 =$5i000,00i =$25 000,000 =Cash Market 
 
 
VII. INVES TMENTS and TRU -income, value, transactions (Includes those spouse and dependent children; see pp. 34-60 filing instructions.) 
NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) Place (X) after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code div., rent, (A-H) int.) Gross value end reporting period (1) (2) Value Nalue Code Method O-P) Code (Q-W) (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value Gain mrrddd/yy Code Code (J-P) (A-H) Identi .ty buyer/seller (ffprivate transaction) 
35. --FIDELITY ADVISOR STRATEGIC INCOME Dividend Sold 12/16/10 
36. RVS STRAT INC ALLOC RIVERSOURCE MUTUAL FUNDS Dividend 
37. GLD STRAT INCOME GOLDMAN SACHS ASSET MGMT Dividend Buy 01/11/10 
38. ISHARES BARCLAYS AGGREGATE FUND Dividend Sold 12/16/10 
39. ISHARES MSCI EMERGING MARKETS INDEX Dividend 
40. ISHARES SP 500 GROWTH INDEX FUND Dividend 
41. ISHARESMSCI EAFE INDEXFUND Dividend 
42. ISHARES RUSSELL 1000 VALUE Dividend 
43. ISHARES IBOXX HIGH YIELD CORPORATE BOND FUND Dividend 
44. ISHARES LEHMAN 1-3 YEAR CREDIT BOND FUND Dividend 
45. GLD STRAT INCOME GOLDMAN SACHS ASSET MGMT Dividend Sold (part) 10/18/10 
46. GLD STRAT INCOME-A GOLDMAN SACHS ASSET MGMT Dividend Sold (part) 11/16/10 
47. GLD STRAT INCOME GOLDMAN SACHS ASSET MGMT Dividend Sold (part) 12/16/10 
48. ISHARES LEHMAN 3-7 YEAR TREASURY BOND FUND Dividend Sold 12/16/10 
49. SPDR WILSHIRE MID CAP VALUE ETF Dividend Sold 12/16/10 
50. VANGUARD MID-CAP GROWTH INDEX FUND Dividend Sold 12/16/10 
51. COLUMBIA FUNDS GROUP Dividend Buy 12/14/10 lncome Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 $50,000 
(See Columns and 134) Value Codes =$50,001 $100,000 =$15,000 less =$100;001 $l,00000 =$k000,001- $5;000,000K =$~5,001-$50,000 .... ~$50,00, -$100,000 =More than $5,000,000 ......M =$JO0,OOI -$250;000 ..... 
(See Columns and D3) =$250,001 $500,000 =$500,001 $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) ~Assessmcnt =Cash Market 
(See Colunm C2) =Book Value =Other =Estimated 
 
Name Person Reporting Date Report 
 
04/14/2011 
VII. INVESTMENTS and TRUSTS .... value, ......tions (Includes those ......d dependent children; see pp. 34-60 filing instructions.) ~-~ NONE (No reportable income, assets, transactions.) 
52. ISHARES LEHMAN 1-3 CREDIT Dividend Buy 12/14/10 lnComc Gain Codes: A--S11000 =$1,001 $2,500 =$2,501 $5,000 =$5,001 $15~000 =$15,001 -$50,000 
(see Columns and[M) =$50;001 $100;000 --$100~001 $1,000,000 H1--$1 000 00t .-$5;000~000 ~M~re than $5~000~000 .... Value Codes =$15,000 less =$15,001 -$50,000 =$50;00 i001000 ~$iO~iOOi 
(See Columns and D3) =$250,001 $500,000 =$500,001 $1,000;000 =Sl,OO0,001-S5;0001000 =Ss;006i00i S25~0~!000 =$25,000,001 $50,000,000 ~M0re than $50;000i000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Asscssmen( ~cash Market 
(See Column C2) =Book Value =O!her =Estimated 
 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicate part report.) Did not teach 2010. 
 
 
04/14/2011 
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: S/Thomas Phillips 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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