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AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010


2. Court or Organization E.D. KY.
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethics in Government Act of1978 (5 U.S.C. app. ,~.~\" 101-111)

1. Person Reporting (last name, first, middle initial) Hood, Joseph M.


4. Title (Article I!1 judgt~ indicale active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 05/05/2011


6. Reporting Period

01/01/2010
to

U.S. District Judge (Senior)

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.

I. POSITIONS. ~Re~o.i.g indiviaual only; seepp. 9-13 of filing instrucaon.g)


[~ NONE (No reportable positions.) POSITION 1. Director 2. 3.
4. 5. 6.

NAME OF ORGANIZATION/ENTITY

Board of Managers Director


Director Director Trustee

Diederich Educational Trust Federal Judges Accociation St. Joseph Hospital Foundation St. Joseph Berea Hospital Foundation Lexington Catholic High School

II. AGREEMENTS. t~po~ing individual only; seepp. 14-16 of filing ittstructiott~.)


~] NONE (No reportable agreements.) DATE PARTIES AND TERMS

Hood, Joseph M.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting Hood, Joseph M.

Date of Report 05/05/2011

Ill. NON-INVESTMENT INCOME. CRo~o,,ing individualandspouse; seepp. 17-24 of filing instructio~t;.)


A. Filers Non-Investment Income ~ NONE (No reportable DATE
non~invesDnent

income.) SOURCE AND TYPE INCOME


(yours, not spouses)

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.)

NONE (No reportable non-investment income.) DATE


1. 2.

SOURCE AND TYPE

3.
4.

IV. REIMBURSEMENTS - tratttportatlon, Iodglng, food, entertainment.


(Includes those to spott~e and dependent children: see pp. 25-27 of filing inslruction.~.)

NONE (No reportable reimbursements.) SOURCE


1. 2. 3. 4.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

5.

i FINANCIALpage 3 of I0 DISCLOSURE REPORT [ flood.


NONE (No reportable gifts.) SOURCE
1. 2. 3. 4.

Name of Person Reporting

Dale of Report 05/05/2011

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

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporling flood. Joseph M.

Date of Report 05/05/201 I

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)

Identity of buyer/seller (if private transaction)

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

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

Interest Interest Interest None None

J J M J J J

T T T T T T Sold (part) 11/09/10

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

Dividend Dividend Dividend

Dividend None Dividend

T Sold (part) "lSold Sold 08/24/10 11/09/10 J J 01/21/10

(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

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting llood, Joseph 5I.

Date of Report 05/05/2011

VII. INVESTMENTS and TRUSTS - inco,~,. ,.atu,, tratt~action.s (Includes those of spou.se and dependent children; seepp. 34-60 of fillng instructiotts.)
D

NONE (No reportable incotne, assets, or transactions.)


Description of Assets Income during Gross value at end of reporting Ix~ri od

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.)

(1) Value Code 2 (.I-P)

(2) Value Method Code 3 (Q-w)

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

Sold Buy Buy Buy Buy

(part)

10/11/10 11/09/10 11/09/10 12/01/10 11/09/10

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

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporling llood. Joseph 5I.

Date of Report 05/05/2011

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)

Buy Buy Buy Buy

11/09/10 12/01110 11/09/10 11109110

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

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting Ilood, Joseph M.

Date of Report 05/05/2011

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

Description of Assets (including trust assets)


Place "(X)" after each asset exempt from prior disclosure

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)

Identity of buyer/seller (if private


t~ansaction)

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

Dividend Dividend None

Buy Buy Buy

12/01/10 11/09/IO 11/09/10

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

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting llood, Joseph M.

Date of Report 05/05/201 I

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

Gross value at end of reporting period

Traosactions during reporting period

Place "(X)" after each asset exempt from prior disclosure

Amount I
Code I (A-H)

O) [ (2)

O)
Value Code 2
(J-P)

(2)
Value Method
Code 3

Typ~ (e.g., div., rent, o~ int.)

(I) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H)

(Q-W) 69. 70. -Fidelity Value Fund -Janus Overseas Fund


A Dividend T

(S) Identity of buyer/seller (if private ~ansaction)

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

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting llood. Joseph M.

Date of Report 05/05/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indlcate part of report.)

FINANCIAL DISCLOSURE REPORT Page 10 of" 10 IX. CERTIFICATION.

Name of Person Reporting llood, Joseph M.

Date of Report 05/05/20 ! I

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.

Signature: S/Joseph M. Hood

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

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