Académique Documents
Professionnel Documents
Culture Documents
1/2011
Report Required by the Ethics in Government Act of1978 (5 U.S.C. app. ,~.~\" 101-111)
01/01/2010
to
12/31/2010
5b. [] Amended Report 7. Chambers or Office Address P.O. Box 2227 Lexington, KY 40588-2227 8. On the b~i$ of the information contained in thi~ Report and any" modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign an last page.
NAME OF ORGANIZATION/ENTITY
Diederich Educational Trust Federal Judges Accociation St. Joseph Hospital Foundation St. Joseph Berea Hospital Foundation Lexington Catholic High School
Hood, Joseph M.
2. 3.
4.
B. Spouses Non=Investment Income - If you were married during anyportion of the reportingyear, complete thi~ section.
(Dollar amount not required ercept for honoraria.)
3.
4.
DATES
LOCATION
PURPOSE
5.
Joseph 51.
V. GIFTS. anet, do, ,ho.,o ,o.,~,o~,e o,d depe, den, children; xee pp. 28-31 of filing itt~tructiott,.)
DESCRIPTION
VALUE
5.
VI. LIABILITIES. anct~de.~ tho.,e of .~po~-~e and d,p,nd~nt chitdre~; .,e, p~,. JZ-J~ of filing itt, tructio~t~.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - inco,,e. ,.oh, e, tratt~actionx (Includex those of spo~e and dependent children; xeepp. 34-60 of filing in.structlott~.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust a~ets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (2) (I) Amount : Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) : (2) Value Value Code 2 Method (.I-P) Code 3 (Q-w) J T (i) Type (e.g., buy, sell, redemption)
Trap_sactions during reporting period
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
Fifth Third Bank, Lexington, KY Checking Fifth Third Bank, Lexington, KY Checking Fifth Third Bank, Lexington, KY Checking (x) Metlife Invs Ins Co Ins Prod Lincoln National Life Ins Co ING Direst(X)
A A A
J J M J J J
Interest None
Ftdehty Investments -:~ -Ashland Inc New -Fidelity Money Market -Fidelity LeveragedCompany Stock Fd -Fidelity Leveraged Company Stock Fd. -Fidelity China Region -Fidelity China Region -Fidelity Dividend Growth Fund -Fidelity Dividend Growth Fund -Fidelity Dividend Growth Fund -Fidelity High Income A A A A A A
(part)
(part)
Dividend
I. Income Gain Codes: (~c Columns BI and D-l) 2. Va,ue Cod~.~ (Sc Columns CI and D J) 3. Va.u,: Method Codc~: (9c Column C2)
A =$1.000 or less I~ =$50.001 - $100.000 J -$15.000 or less N =S250.001 - $500.000 P3 "$25.000.001 $50.000.0~0 Q -AppraisaI U =Book Va!u
B =$1.001 - $2500 G =$100.001 - $1.000.000 K -$15.001 - $50.000 O =$500.001 - $1.000,(K10 R =Cost ~Rca! Es~al Oni.v) V =OIhcr
C =$2.501 - $5.000 III =$1.000.001 - $5.000.000 L =$50.00 1 - $1 00.000 PI -$1.000.001 - $5.000.000 P4 =Moru than $50.000.000 S -Assessment W =Estimated
D =$5.001 - $15.000 H2 -More than $5.000.000 M -$ 100.001 - $250.000 P2 -$5.000.001 - $25.000.000 T -Cash Markcl
E -$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - inco,~,. ,.atu,, tratt~action.s (Includes those of spou.se and dependent children; seepp. 34-60 of fillng instructiotts.)
D
Transactions during reporling period (i) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd~fy Code 2 (.I-P) O) Gain Code I (A-H) (s) Identity of buyer/seller (if private
trallga clion)
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (i) Amount [ Type (e.g., (ode I I div., rent, (A-H) :: or int.)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-Fidelity High Income -Fidelity High Income -Fidelity Select Materials Portfolio -Fidelity Small Cap Stock Fund -Fidelity Value Fund -Fidelity Value Fund -Janus Overseas Fund -Janus Overseas Fund -Fidelity Contra Fund -Fidelity Dynamic Strategies Fund -Fidelity Select Gold Fund -Fidelity Advisor MidCap II Fund Fidelity IRA -Fidelity Cash Reserves -Fidelity Leveraged Company Stock Fd -Fidelity Leveraged Company Stock Fd -Fidelity China Region A Dividend I T A A A A A Dividend Dividend Dividend None None Dividend Dividend J J I J K J J T T T T T T T A Dividend J T A A Dividend None Dividend K I J T T T
Sold
11/09/10 I 1/10/10
J J
(part)
Sold
Sold
(part)
11/09/10
(part)
J J J J J
Sold
(part)
11/09/10
I. Income Ga!rt Codes: (Scc Columns BI and D4) 2. Va!uc Codes tSce Columns CI and D3| 3 Va:uc Method Codes (Scc Column C2)
A =$1.000 or !css F =S50.001 - $100.000 J - $15.000 or lcs~ N =$250.001 - $500.000 P3 -$25.000.001 - $50.0~0.000 Q -Appraisal U -Book Value
B =$1.001 - $2200 G -$100.001 - $1.000.000 K -$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.000 HI -$1.000.001 - $5.000.000 L -$50.CO I $ 100.000 PI =$1.000.001 - $5.000.000 P4 =More than $30.000.000 S -Assessment W -Eslimatcd
D =$5.001 - $15.000 [12 -More than $5.000.000 M -$ 100.001 - $250.000 p2 =$5.000.0OI - $25,000.~300 T =Ca.~h Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - income, ,.alue, tratt~actions (Includes those of xpo~tw and dependent children; .see pp. 34-60 of filing instructions.)
NONE (No reportable incotne, c~qsets, or transactions.)
D~scription of Assets (including trust assets)
Place "IX)" after each asset exempt from prior disclosure
Income during reporting period (i) (2) Amount Type (e.g., Code I div., rent,
(A-H) or int.)
Gross value at end of reporting period O) (2) Value Vaine Code 2 Method Code 3 (J-P) (Q-W)
Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
-Fidelity China Region -Fidelity China Region -Fidelity Dividend Growth Fund -Fidelity Dividend Growth Fund -Fidelity High Income -Fidelity High Income -Fidelity Select Materials Portfolio -Fidelity Small Cap Stock Fund -Fidelity Value Fund -Fidelity Value Fund -Janus Overseas Fund -Fidelity Dynamic Strategies Fund -Fidelity Select Gold Fund -Fidelity Advisor MidCap II Fund -Fidelity Contra Fund Fidelity IRA #2 -Fidelity Dynamic Strategies Fund A A A A Dividend Dividend Dividend None Dividend None Dividend J 1 J J K J T T T T T T T A A Dividend None Dividend J J J "1" T A Dividend T A Dividend T
(pan)
Sold Sold
01/21/10 O7/14/IO
(p~)
Sold (Pan)
! 1/09/10
Sold (part)
11/09/10
Sold
11/09/10
(Pan)
J J J J
Buy
I 1/09110
1. Incomo Gain Codes: ISCc Co!umns BI and 134) 2. Va.uc Codes (See Co]u~rtns CI and D3) 3 Va~ue Method Codes I.%:c Co.umn C2)
A =$1.000 or less F -$50.001 - $I00.000 J -$15.000 or less N -$250.0OI - $50~.000 P3 -$25.000.0~ I - $50.000.000 Q -Appraisal U =Book Value
B -$1.001 - 1;.500 G -$ 100.001 - $1.000.(Xg0 K -$15.001 - $50.000 O =$500.001 - $ I R =Cost (Real E~iat Only) V -Other
C -$2.501 - $5.000 III -$1.000.001 - $5.000.000 L -$50.(X)1 - $100.000 P I -$ 1.000.001 - $5.000.000 P4 -More ~han $50.000.000 W =Estimated
D -$5,001 - $15.000 t12 -More than $5.000.000 M -$100.001 - $250.000 P2 -$5.000.0(I I - $25.0~0.000 ]" =Czsh Markcl
E-$15.0OI - $50.000
VII. INVESTMENTS and TRUSTS -incon,~, va.,o, tratt{action.{ (include.s those of .{Fott~e and dependent children; .seepp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
Co
Income during reporting p.,.wiod (i) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) T T J J J T T T Sold (i) Type (e.g., buy, sell, redemp~inn)
Transactions during reporting period ~) (3) O) Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
-Fidelity Select Gold Fund -Fidelity Contra Fund -Fidelity Advisor MidCap II Fund -Fidelity Cash Reserves -Fidelity Leveraged Company Stock Fd -Fidelity Leveraged Company Stock Fd -Fidelity China Region -Fidelity China Region -Fidelity China Region -Fidelity Dividend Growth Fund -Fidelity Dividend Growth Fund -Fidelity High Income -Fidelity High Income -Fidelity High Income -Fidelity Select Materials Portfolio -Fidelity Small Cap Stock Fund -Fidelity Value Fund
A A
A A
Dividend Dividend
(part)
A Dividend T Sold
11/09/10
(p~)
Sold A Dividend T Sold A Dividend T Sold
01/21/10 07/14/10
J J
(part)
(p~)
11/09/10
(part) (part)
A Dividend None A Dividend
J
04/13/10 11/09/10
I J
Sold
T T T
J
J
I. Income Gain Codes: (Sec Columns BI and D4) 2. VaIuc Codes tS,: CoIurnn~ CI and D3) 3. Value Method Codes (Sc Column C2)
A =$1.000 or ]cxs F -$50.001 - $100.000 J -$15.000 or less N =$250.001 - $500.000 P3 -$25.000.001 - $50,000.000 Q -Appraisal U =Book Value
B -$1.001 - $2~00 G -$100.001 - $1.000.000 K -$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V -Olhcr
C =$2.501 - $5.000 HI -$1.000.001 - $5.000.000 L -$50.001 - $100.000 PI -$1.000.001 - $5.000.000 P4 -More than $50.000.000 S -A~cssmcnt W =E.stlmalcd
D =$ 5.001 - $ 15.000 H2 -More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =C~h Market
E =$15.0OI - $50.0OO
VII. INVESTMENTS and TRUSTS - income, ralue, transactions (Include.,; those of spott~e and dependent children; seepp. 34-60 of filing instructiot~.)
D NONE (No reportable income, assets, or transactions.)
De~ription of Assets (including trust assets) Income during r~orth~g p~rind
Amount I
Code I (A-H)
O) [ (2)
O)
Value Code 2
(J-P)
(2)
Value Method
Code 3
(2) (3) (4) Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H)
Sold (part)
1/09/10
1. Income Gain CodtLs: (Scc Columns BI and D4) 2. Value Codc.s (See Columns CI and D3) 3. Value Mc~hod Codc~ (~cc Column C2)
A =$1.000 or less F -$50.001 - $100.000 J -$15.000 or less N =$250,001 - $500.000 P3 -$25.000,001 - $50.000.000 Q -Apprai~aI U -Book Value
B =$1.001 - $2.500 G -$100,001 . $1.000.000 K -$15.001 - $50.000 O -$500.001 - $1.000.000 R =Cosl (Real Esla~ Only) V =Olhcr
C ~$2.501 - $5.000 HI =$1.000,001 - $5.000.000 L -$50.~OI - $100.000 Pl =$1.000,001 - $5.000,000 P4 -More than $50.000.000 S -Arscssmcnl W = Esllmalcd
D =$5.o01 - $15.000 112 =More than $5.000,000 M =$100.001 - $250.000 P2 =$5.000.0~1 - $25,000.000 Y =C.x~h Markcl
1 certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that an) information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts svhich have been reported are in compliance ~ith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544