FINANCIAL DISCLOSURE REPORT in Govenment Act of 1978 FOR … · 2019-07-26 · FINANCIAL DISCLOSURE REPORT Name of Person Reporting : Date of Report Page 7of12 : GllN, J, FOY, R

NAME

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOlO in Government Act of 1978 Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial)

GUIN, J. FOY, JR.

2. Court or Organization

U.S.DISTRICT COURT, N.D. ALA.

3. Date of Report

0510912006

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

Senior U. S. District Judge

5a. Report Type (check appropriate type)

0 Nomination, Date

0 Initial Annual

5b. 0 Amended Report

0 Final

6. Reporting Period

01/01/2005 to

12/31/2005

7. Chambers or Office Address

918 FEDERAL COURTHOUSE 1729 FIFTH A VENUE NORTH BIRMINGHAM, ALABAMA 35203

8. On the basis of the Information contained Jn this Report and any modifications pertaining thereto, it is, in my opinion, Jn 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/or each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)

D NONE (No reportable positions.)

POSITION OF ORGANIZATION/ENTITY

I. Director Alabama Law Institute

2.

3.

4.

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

NONE (No reportable agreements.)

PARTIES AND TERMS

.:.:) t) , . . ., ( '> ::-;

r;·; :,

c-:·., :;:-·..

_J

ni CJ

1.

2.

3.

SOURCE AND TYPE

SOUR.CE AND TYPE

SOURCE DESCRIPTION

INCOME

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of12 GUIN, J. FOY, JR. 0510912006

III. N 0 N-INVESTMENT JN C 0 ME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

!KJ NONE (No reportable non-investment income.)

(yours, not spouse's)

!.

2.

3.

4.

5.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[KJ NONE (No reportable non-investment income.)

!.

2.

3.

4.

5.

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL

(includes those Jo spouse and dependent children. See pp. 25-27 of instructions.)

[KJ NONE (No reportable reimbursements.)

!.

2.

3.

4.

5.

CREDITOR DESCRIPTION VALUE

4.


Page 3of12 05/0912006GUIN, J. FOY, JR.

V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

0 NONE (No reportable gifts.)

SOURCE

I. (See Section VIII for explana-

DESCRIPTION

Downtown Rotary Club, B'ham $ 0.0

2. tion.) $ 0.0

3.

5.

VI. LIABILITIES. (includes those of spouse and dependent children. See pp. 32-34 of instructions.)

[KJ NONE (No reportable liabilities.)

CODE

l.

2.

3.

4.

5.

D.

(I) (2)

(4) (5)


Page 4of12 0510912006GUIN, J. FOY, JR.

VII. INVESTMENTS and TRUSTS - income. vatue, transactions (includes those of the spouse and dependent children. see PP· 34-s1 of filing instructionsJ

D NONE (No reportable income, assets, or transactions.)

A. B. c.

Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

Ifnot exempt from disclosure(2)(I) (I) Type(e.g. Value Value Type(e.g.Place "(X}0 after each asset Amount (2) (3)

exempt from prior disclosure Code I

(A-H) div., rent,

or int.)

Code 2

(J-P)

Method

Code3

(Q-W)

buy, sell,

merger,

redemption)

Date

Month-

Day

Value

Code 2

(J-P)

Gain

Code I (A-H)

Identity of

buyer/seller

(if private

transaction)

I. Office Bldg. Russellville,Ala. c Rent Sell 06101 L F WilliamL Thompson

2. 1/3 interest in lot located in Haleyville, A Rent J w Ala.

3. AmSouth Bank account A Interest J T

4. Regions Bank (checking) A Interest J T

5. B'ham Fed Employees Fed Cr Union A Interest J T (sav/cking)

6. ExxonMobil Corp com E Dividend 0 T

7. SBC Communications, Inc com B Dividend K T

8. Clipper Fund None Sell 10/26 J

9. FMI Funds A Dividend J T

JO. IRA ACCT. A A Div & int K T

11. -Pershing Govt Acct (Money market fund)

12. -Teco Energy Inc com.

13. -Teleflex Inc com. Partial sell 06110 J A

14. -Teleflex Inc. com. Sell 08/15 J B

15. -AmSouth Bancorpation com

16. -Home Depot, Inc com

17. -Disney Walt Co Holding Co Buy 11/10 J

l. Income Gain Codes: A =$1,000 or less B =$ 1,00 l -$2,500 c =$2,501 -$5,000 D=S5,00 l-$15,000 E=$15.00I -$50,000

(See Columns BI and 04) F =$50,00 l -$100,000 G =$100,001 -$1,000,000 HI '=$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J ::$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns CI aod 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000

3. Value Method Codes Pl =$25,000,001 - $50,000,000 R =Cost (Real Estate Oaly) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q ""Appraisal V==Other S =Assessment

U ""-Book Value W =Estimated

(l)


Page 5of12 05/09/2006GUIN, J. FOY, JR.

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. see pp. 1-1-s1 offilinc ins1ructionsJ

0 NONE (No reportable income, assets, or transactions.)

A. Description of Assets

(including trust assets)

Place 11 (X)" after each asset exempt from prior disclosure

18. -Dow Chem Co

B.

Income during reporting period

( l) Amount Code l

(A-H)

(2) Type (e.g. div., rent,

or int.)

c.

Gross value at end of reporting period

(I) Value Code2

(J-P)

(2) Value

Method Code 3

(Q-W)

D.

Transactions during reporting period

Ifoot exempt from

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

Buy 12/02 J

disclosure

(2) Date Month-Day

(3) Value Code 2

(J-P)

(4) Gain Code l

(A-H)

(5) Identity of buyer/seller (if private transaction)

19. IRA ACCT. B c Div& Int M T

20. -Applied Materials Inc com

21. -Bank of America Corp com

22. -CVS Corp com Partial sell 01/14 J A

23. -CVS Corp com Sell 06/07 J c

24. -General Electric Corp com

25. -Merck & Co Inc com

26. -Pershing Govt Fund (Money market fund)

27. -Sun Microsystems Inc com

28. -Conagra Foods, Inc com Sell 07/13 J

29. -Dollar Gen Corp com Sell 03/15 K A

30. -Stanley Works com

31. -Johnson & Johnson com

32. -Firserv, Inc com

33. -Lowes Cos, Inc com

34. -Wendys Intl, Inc com Sell 05106 J B

I. Income Gain Codes: A =S 1,000 or less B=St,001-$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =S 15,001-$50.000

(See Columns BI and 04) F =$50,001-SIOO,OOO G =SI00,001 -Sl,000,000 Ht =S!,000,001-S5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=Si5,00l-$50,000 L =$50,001 • SJ00,000 M =$100,00J -$250,000

(See Columns Cl and 03) N =$250,00 I • $500,000 0=$500,001 • $1,000,000 PI =$ 1.000,00 I-$5,000,000 P2 =$5,000,00 I • $25,000,000

3. Value Method Codes PJ =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More !ban $50,000,000 T =Casb Market

(See Column C2) Q =Appraisal V9)ther S =Assessmeot

U -=Book Value W =Estimated

(!) (1)



VII. INVESTMENTS and TR US TS - income, va1ue, transactions (includes those of the spouse and dependent children. see PP· 14-57 of filing instructions)


A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

(2)(I) (2) Ifnot exempt from disclosure

Amount Type (e.g. Value ValuePlace 11(Xt after each asset Type (e.g. MethodCode 1 div., rent, Code2exempt from prior disclosure buy, sell,

or int.) (J-P) Code3(A-H) merger, (Q-W) redemption)

35. -Gentex Corp com

(2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code 1 buyer/seller Day (J-P) (A-H) (if private

transaction)

Sell 08/29 J

36. -Nokia Corp Sponsored ADR

37. -First Data Corp Buy 01/19 J

38. -First Data Corp Sell 04/12 J

39. -Home Depot, Inc Buy 03/21 J

40. -Grainger, WW, Inc Buy 04/13 J

41. -Alberto Culver Buy 06113 J

42. -Lubrizol Corp Buy 07107 J

43. -Masco Corp Buy 07/12 J

44. -Elkcorp Buy 09/19 J

45. IRA ACCT. C A Div&Int K T

46. -Pershing Govt Acct (Money market fund)

47. -Dollar Gen Corp com Sell 03/15 J A

48. -Johnson & Johnson com

49. -General Electric Co com

50. -Nokia Corp Sponsored ADR

51. -Home Depot, Inc Buy 03/21 J

I. Income Gain Codes: A =$ J ,000 or less 8=$1,001-$2,500 c =$2,501 -$5,000 D =$5,00 I-$ 15,000 E =$15,001 -$50,000

(See Columns 81 and 04) F =$50,001-$100,000 G =$I 00,00 I -$1,000,000 HI =St,000,001-$5,000,000 H2 =More tbao $5,000,000

2. Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,00 I - $250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 Pl =$5,000,00 I -$25,000,000

3. Value Method Codes Pl =$25,000,001 -$50,000,000 R =Cost (Real Estate Only} P4 =More than $50,000,000 T ::Cash Market

(See Column C2} Q =Appraisal V=Other S =Assessment

U ==Book Value W =Estimated


Page 7of12 0510912006GillN, J, FOY, JR.

VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those of the spouse and dependent children. see PP· 34-s1 of filing


instructions)

A.

Description of Assets


Place "(X)" after each asset

exempt from prior disclosure

B. c. D.

Income during Gross value at end of Transactions during reporting period reporting period reporting period

(I) (2) (I) (2) (I) Ifnot exempt from disclosure

Amount Type(e.g. Value Value Type(e.g. (2) (3) (4) (5) Code 1 div., ren Code 2 Method buy, sell, Date Value Gain Identity of (A-H) or int.) (J-P) Code 3 merger, Month - Code 2 Code I buyer/seller

(Q-W) redemption) Day (J-P) (A-H) ( if private

transaction)

52. BROKERAGE ACCOUNT #1

53. -Bellsouth Corp. com.

54. -Barrick Gold com

55. -Abbott Laboratories com.

56. -Abbott Laboratories com.

57. -Hewlett-Packard Inc. com.

58. -Agilent Technologies com

59. -McDonald's Corp. com.

60. -Southwest Airlines com.

61. -Pepsico Inc com

62. -AmSouth Bancorp com

63. -Texas Instruments, Inc com

64. -Intel Corp. com

65. -Intel Corp. com

66. -PPG Industries com

67. -PPG Industries com

68. -Alliance Govt Reserve (Money market fund)

A

A

A

A

A

A

A

A

A

A

A

Dividend

Dividend J

Dividend J

None J

None

None

Dividend J

Dividend J

Dividend K

Dividend J

Dividend K

Dividend J

None J

Dividend J

None J

Dividend K

Sell

T

T

T Buy

Partial sell

Sell

T

T

T

T

T

T

T Buy

T

T Buy

T

01/28 J

11/16 J

03/03 J

05/31 J

11/16 J

11/25 J

l. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,00J -$15,000 E =$15,001 -$50,000

(See Columns Bl and D4) F=$50,001-$t00,000 G =$100,001. $1,000,000 HI =$1,000,001 -$5,000,000 H2 '"'More than $5,000,000

2. Value Codes J ==$15 ,000 or less K =$15 ,00 I - $50,000 L 450,001 -$100,000 M =$100,001 -$250,000

(See Columas Cl and 03) N =$250,00I -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000.000

3. Value Method Codes Pl =$25,000,001 - $50.000.000 R o::Cost {Real Estate Only) P4 ==More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraisal V=Orher S =Assessment

U =Book Value W"'-Estimated

D.

(2) (2)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page 8of12 GUIN, J. FOY, JR. 05/09/2006

VII. INVESTMENTS and TRUSTS -income, value, rransacdons (includes those of the spouse and dependent children. see PP· J4-s1 of filing instrucdonsJ



A. B. c.

Description of Assets Income during Gross value at end of

(including trust assets) reporting period reporting period

(1) (I) (I) Ifnot exempt from disclosure

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

Amount Type (e.g. Value Value Type (e.g.


Place "(X)" after each asset div., rent, Code I Code 2 Method buy, sell,

(A-H) or int.) Code3 merger,

(Q-W) redemption)

(J-P)

69. -Home Depot Inc com A Dividend J T

70. Bristol Meyers Squibb Co com A Dividend Sell 09107 J

71. -Merck & Co, Inc com A Dividend Sell 11/25 J

72. -General Electric Co com A Dividend K T

73. -Automatic Data Processing, Inc com A Dividend J T

74. -Lucent Technologies, Inc com None J T

75. -Pfizer, Inc com A Dividend J T

76. -Pfizer, Inc com None J T Buy I2/16 J

77. -Kimberly Clark Corp com A Dividend J T

78. -Jefferson Pilot Corp com A Dividend J T

79. -Jefferson Pilot Corp com A Dividend J T Buy 05/31 J

80. -Nokia Corp Sponsored ADR A Dividend J T

81. -Johnson & Johnson com A Dividend J T

82. -Allstate Corp com A Dividend J T

83. -ChevronTexaco Corp com A Dividend J T

84. -3M Company com A Dividend J T

85. -3M Company com A Dividend J T Buy 06/27 J

l. Income Gain Codes: A =$1,000 or less B =$1,001-$2,500 c =$2,501 -$5,000 D=$5,00l -$t5,000 E =$15,001 -$50,000

(See Columns Bl and 04) F =$50,001 . S 100,000 G =S 100,001 -$1,000,000 HI =Sl,000,001-$5,000,000 H2 =More tban $5,000,000

2. Value Codes J =$15,000 or less K=Sl5,00l ·S50,000 L=S50,00l -SIOO,OOO M =$100,001-$250,000

(See Columns CI and 03) N =$250,00I · $500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001-$5,000,000 P2 =$5,000,00 I -$25,000,000

3. Value Method Codes Pl =$25,000,001 -$50,000,000 R =Cost (Real Estate Ooly) P4 =More than $50,000,000 T =Cash Market

(See Colurnn C2) Q"'Appraisal V =Other S =Assessment

U .:Book Value W ""Estimated

A.


Page 9of12 05/09/2006GUIN, J. FOY, JR.

VII. INVESTMENTS and TRUSTS -income, value, transactions rmc1ut1es those of the spouse ant1 t1epent1ent chilt1ren. see PP· N-s7 of filing ins1r11ctionsJ


Description of Assets


Place "(X)" after each asset


B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.


(1) (2) (1) (2) (1) Ifnot exempt from disclosure

Amount

Code 1 (A-H)

Type(e.g.

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.

buy, sell,

merger,

redemption)

(2)

Date

Month-

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

86. -Colgate-Palmolive· co com A Dividend J T

87. -Walgreen Co com A Dividend J T

88. -Sysco Corp com A Dividend J T

89. -Neenah Paper, Inc com None Sell 03130 J

90. -Grainger, WW, Inc A Dividend K T Buy 02102 K

91. -Grainger, WW, Inc None J T Buy 11/25 J

92. -Procter & Gamble Co A Dividend J T Buy 02104 J

93. -Procter & Gamble Co A Dividend J T Buy 06127 J

94. -Alcoa, Inc A Dividend Buy 03103 J

95. -Alcoa, Inc Sell 10105 J

96. -Merck & Co, Inc None J T Buy 10/24 J

97. -United Parcel Service, Inc None J T Buy 11/04 J

98. BROKER AGE ACCOUNT #2

99. -AmSouth Bancorp com A Dividend J T

I 00. -Protective Life Corp com A Dividend J T

IOI. -Citibank NA Bank Deposit Program A Interest J T (Money market fund)

102. -General Electric Co com A Dividend J T

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15.001 - $50.000

(See Columns B l aod 04) F=$50,00l-$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More tbaa $5,000,000

2. Value Codes J =$15,000 or less K=$15,00I -$50,000 L =$50,001 -$100,000 M =$!00,001 -$250,000

(See Columns Cl and 03) N=$250,00 I -$500,000 0 -$500,00 I -$1,000,000 PI =$ i,000,00 I -$5,000,000 P2 45,000,001 -$25,000,000

J. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than S50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessment

U =Book Value W =Estimated

(2)

A.

(I)


Page 10of12 GUIN, J. FOY, JR. 0510912006

VII. INVESTMENTS and TRUSTS -income, varue, transacdons (includes those of the spouse and dependent children. see PP· 34-s? of filing instrucdonsJ


B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period reporting period reporting period (including trust assets)

(I) (2) (I) If not exempt from disclosure

Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g.

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell,

(A-H) or int.) (J-P) Code3 merger,

(Q-W) redemption)

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

103. -Intel Corp None J T Buy 1 1/15 J

104. BROKERAGE ACCOUNT #3

I05. -Federal Government Reserves A Dividend J T Buy 1 1 / 17 J

106. -Disney Walt Co Holding Co None J T Buy 11/28 J

107. -Grainger, WW, Inc None J T Buy 1 1/28 J

108. Scudder Var. Life Invest. Fund (Charter Nat'l - money market

None L T

I. Income Gain Codes: A=$ l ,000 or Jess B =$1,00 I -$2,500 c=$2,501 -$5,000 D=$5,00I-$15,000 E=$15.001 -$50,000

(See Columns Bl and 04) F=S 50,00l -$100,000 G=SI00,001-$1,000,000 HI =$1,000.001-$5,000,000 H2 =More than SS,000,000

2. Value Codes 1=$15,000orless K=Sl 5,00I -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and DJ) N=$250,001 -$500,000 0=$500,00I - $ I,000,000 PI =S l,000,00 I -$5,000,000 P2 =S5,000,001 -$25,000.000

3. Value Method Codes Pl =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C 2) Q =Appraisal V=Other S =Assessment

U ==Book Value W=Estimated

32

72



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/ReporL)

Item V. Other gifts

I hold an honorary membership in the Downtown Rotary Club in Birmingham, Alabama. I have attend six to eight meetings per year, but pay only for meals. I have no vote and take no part in the club policy or decision making. Value of membership is unknown. As explained in my letter of July 6, 1995, an appropriate dollar value for this honorary menbership would be no more than $1.00. I am really only a guest who pays $10.00 for a $5.00 meal. In no way can this honorary menbership be said to have any value. There is no such thing as "a basic membership with like privileges".

Item VII. Investments and Trusts

Some investments included on Part VII of the 2004 report have been combined on the 2005 report. The investments combined were for the same investment included on two different lines and in ·the same account. The ·investments combined for the 2005 report are as follows:

Line numbers - 2004 Line number - 2005 Firsserv, Inc com 35 &38 Pepsico, Inc com 60& 88 61 Texas Instruments, Inc com 62 & 90 63 General Electric Co com 69 & 83 Pfizer, Inc com 72 & 75 75


Page 12of12 GUIN, J, FOY, JR. 0510912006

IX. CERTIFICATION.

I 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 any 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 which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

FINANCIAL DISCLOSURE REPORT in Govenment Act of 1978 FOR … · 2019-07-26 · FINANCIAL DISCLOSURE REPORT Name of Person Reporting : Date of Report Page 7of12 : GllN, J, FOY, R