William A Pepper Financial Disclosure Report for 2009

8/3/2019 William A Pepper Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/william-a-pepper-financial-disclosure-report-for-2009 1/13



Page 2 of 1 3 ] P e p p e r ,W i ll ia m A . 0 5 / 2 8 1 2 0 1 0

I I I . N O N - IN V E S T M E N T I N C O M E .c ~ , p o . i, g in a i v i d u a l a n d s p o u s e ; s e e p p . 1 7 - 2 4of filing instructions.)

A. Filer ’s Non-Investment Income

N O N E(No reportable non-investment income..)

D AT E SOURCE.AND TYpE INCOME(yam’s, not spouse’s)

I. 2009 Public Employees R etirement System of Mississippi, retirement income $13,239.~

2. 2009 Earnings ~om law p~ctice - ~med prior ~o 7/21199 ~3,002.00

3.

4.

B . S p o u s e ’s N o n - I n v e s t m e n t[ncollle -If you were married during a n),portlon of the reportlng ),ear, complete this section.

( D o l l a ra m o u n t n o tr e q u i r e d e . ’ c c e p t f o rh o n o r a r i a . )

NONE(No reportable non-investment income.)

D AT E SOURCE AND TYPE

I.

2.

3.

4.

¯ x z ~ v . R E I M B U R S E M E N T S -~o.,po,atio,.lodging.food, entertai .... t.

NONE(No reportable reimbursements.)

~ ~ LOCATION PURPO,~E ITEMS PAID OR PRQVIDED

I.

2.

3.

4.

5,



P a g eF I N A N C I A L 3 o f 1 3 D I S C L O S U R E R E P O R TP e p p e r , Wi l li a m A . 05/28 /20!0

~ N O N E(No reportable g~s.)

~ DESC~PTION

I.

2.

3.

4.

5.

VI. LIABILITIES.a~t~a~,

N O N E(No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E

1 .

2.

3.

4.

5.



I ame of Person Report ing Date of ReportFINANCIAL DISCLOSUREREPORT

] Pepper, W illiam A.Page 4 of1 3 0 5 / 2 8 / 2 0 1 0

VII. INV ESTMEN TS and TRUSTS- i .... ~, value, t ...... lions (Includes those GaS p ...... d dependent children; see pp. 34-60 of ~gng instructions.)

[] NONE (Noreportable income, assets, or transactions.)

.......................... A-~ ...... I u. ! . . . . . . . . . . . . . .~ .. . . . . . . . . . . . .~ . . . . . .. . . . . . .. . .~scripllon of Assem ’ I n c o m e d u r i n g ~ G r o s s v a l u e a t e n d T~sactio.s d~rh~g re~ding period

0ncl~ingt~st ~se~) repoaingpe6od ~ of~po~ing pefi~

Place " (X)" a f l e r ea~ a s se t :Amount[ T~(e.g. :; Value Value ]’ T~e(e.g., ’ Date : Value I Gain ~ [denlilyof’ ’ ’ M~hod [ buy, s e l l , m~’~lyy ] Code 2 i Code 1x e m p t f r o m p r i o r d ~ s c io s ~ Code 1 ~ div., ~t, [ C~e 2

(A-H) ~ orint.)~ O - P ) Co~3 [ ~ d e m p t i o n ) [ (J-P) ’: (A-H) ( i f p ~ v a t ~

............... ~ ......... l ..........~ ............~o-w)~ ~ ~ [

I. 50% inte~st Pepp~ & Cossar-Fann land E Rent O WHumphreys Co~ MS

2, Langston N owell & Pep~r rental real es~teC Rent L WCleveland MS

3. ~ G IO N S B A N K C L E V E L A N D M S A In t e re s t J T

4. Cleveland State Bank CLEV ELA ND MS A In t e re s t L T

5. Cleveland State Bank Clcveland MS A In t e re s t K T

6. Planters Bank & Trust Cleveland MS D In t e re s t L T

7. STATE BANK & TRUST CO Greenwood C In t e re s t Redeemed 10 /6 . / 09 L

8. FIRST NATIONA L BANK ROSEDALE A In t e re s t L T Open 1 0 ! I 3 / 0 9 LMS

9. BROKER ACCOUNT 1

1 0 . -CAPITAL W ORLD GROWTH & B Dividend L TINCOME FUND-American Funds

I 1 . -CAPITAL INCOME BUILDERS B Dividend K TA-American Ftmds

1 2 . -FEDERATED AMERICAN LEADERS A Dividend Sold 9/22/09 KFUND

1 3 . FEDERATED CLOVER VALUE FUND None K T Bu y 9/22/09 K

1 4 . -GOLDMAN SACtIS GROWTH & A DMdend K TINCOME FUND

1"5,’ LORD ABBETT -AFFILIATED FUND CLA Dividend L TA

1 6 . NE W ECONOMY-FUND CL A - American None L TFunds

1 7 . -SMALLCAP WORLD FUNDCL None L TA-American Funds



FINA1NCIAL DISCLOSURE REPORT N ~ m e o f P e r s o n R e p o r t in g D a t e o f R e p o r t

Page 5 of 1 3 P e p p e r , Wi l li a m A . 0 5 / 2 8 / 2 0 1 0

V I I .IN V E S T M E N T S a n d T R U S T S-i . . . . . , ,value, t ...... ctions (Include, those of sp .... ... d dependent children; see pp. 34-60 of fding instru~on,~)

~ N O N E(No reportable income, assets, or transactions.)

........................ £ .................................... . " ~ . . . . ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . o . . . . . . . . . . . . . . . . . . . . . . . . . . .

D e s c r i p ti o n o f A s s e ~ I n c o m e d u ~ n g [ G~s val~ at end Transac t ions du r ing r epos ing(i~l~ing ~st ~sets) ~poning period [ of r epo r t i ng pe r iod

i--?iS ............ d ~ ~ - - ~ J. . . . . . . . . . . (~ ............ J- ~ ~ ......... 3 : ............ ..........Place "(X)" a~er each ~t A m o u n t ~ :T~e (e.g., ~ Value ~ Value Tyt~ ( e .g . . Da~e : V alue [ Gain } d e n t i ~ o f

e x e m p t f r o m p r i o r d i sc l o s ~ e ~ C o d e I div. , rent , i C~e 2 [ M e t h o d buy, ~I[, mmid~’yy [ C~e 2 : Code 1(A-H) ] or in t . ) ] O - P ) Code3 r edempt ion )~ (J-P) ~ (A-H) ( i fpr ivate

1 8 . -WASII INGTON MUTUAL ~VE STORSB Dividend L T

1 9 . -ZIMMER HOLDIN GS None J T

2 0 . -WALGREEN A Dividend J T

2 1 . -VAN KAMPEN UNIT TRUST (VK selectA Dividend K Tunit 613)

2 2 . -TIFFANY & CO A Dividend J T

2 3 , -DUKE ENERGY A Dividend J T

2 4 . -Edward Jo nes Money Market fond A Dividend J T

2 5 . BROKER ACCOUNT 2 I

2 6 . -AMCAP FUND CL A A Dividend K T

2 7 . -GROWTH FUND OF AMERICA CL A Dividend L T [A-American Funds

28. -NEW PERSPECTIVE FUND CL 1 3 Dividend L TA-American Funds :.

2 9 . -WAL-MART COMIVlON A Dividend J T

3 0 . -AMERICAN MOVIL SA A Dividend Donated

3 1 . -AMERICAN MOVIL SA None J T Bu y 2/28/09 J

3 2 , -EDWARD JONES MONEY MARKET A Dividend J TFUND

3 3 . -Cheesecake Factory None J T

34. -W algreen A Dividend J T

1. Income Gain Codes: A =St,000 or less B ~$1,001 - $2,5011 C =$2,501 - 55,000 D =55,001 - $ i5,000 E =515,001 - $50,000(Se e C.o lu ma s B I a nd D4 ) F =$ 50 ,0 01 - $ 10 0,0 ~0 G =$100,1301 - 51,000.000 Ill =51,000.0OI - $5,000,000 H2 =More than $5,000.000

2. Value Code* J =$15,000 or less K =$15,001 - $50,0{)0 L =550,001 - $100,000 M =5 ] 00,001 - 5250,¢,00(Se e Co lu mn s CI an d D 3) N = $2 50 ,0 01 - $ 50 0,0 00 O =$500,001 - $1,000,OOD PI =$I ,000d)OI -$5,000,000 P2 ~55,000,001 - 525.000.000

P2. "$25,000,001 - $50,0~),000 P4 =More than $50,000,0~o3. Value Melh0d Codes Q =Appraisal R =Cost (Real Estale Only) S ..A ssessment T =Cash Market

(See Column C21 U =Book Value V ~Olher W=Estimated



Name of Person Reporting[

Date of ReportFINANCIAL DISCLOSURE REPORT

I Pepper, W illiam A.age 6 of1 3 0 5 / 2 8 ; 2 0 1 0

VII. INV ESTMEN TS and TRUSTS- i,,.o ..... I . e ,transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions’.)

---] N O N E ( N oreportable income, assets, or transactions,)

Description of Assets Income during -. Gross value a| end Transa¢lions during ~porting period

! (including trust assets) ~. reporling period ~ of reporting period

][I) i (2) (1) (2) (l] (2) ’(~i ..... ]~i ............

~ exempt from prior disclosure Code l div.. rent. Code 2 Method buy, se!!, !mmidtUyy ! Code 2 Code I t huyerise ler

...............

IA-H) or int.) (J-P)

C o d e ( Q . W ) 3

redemption)

Jl _ ~

(J-I’) _ (A-H) jt r an sa c t i on ) ( i t p r i va t e

35. -Kraf t Fo~ds A Dividend J T

36 . -Pfizer A Dividend J T

3 7 . -General Electric A Dividend J T

3 8 . -Regions Financial A Dividend Sold 1 2 / 2 1 1 0 9 J

3 9 . -FPL Group A Dividend J T

4 0 . -Berkshire Hathtaway None 3" T

41. BROKER ACCOUNT 3

4 2 . -FTTEMPLETON FOREIGN FUN DC A Dividend K T

43. -FT FRANKLIN CAPITAL GROWTH None Sold 5 1 1 1 / 0 9 KFUND C

4 4 . -FT FRANKLIN TEMPLETON A Dividend K ] 3 u y 5/11/09 KCUSDODIAN GROWTH FD

4 5 . -FRANKLIN TE MPLETON EQUITY A Dividend J TINCOME A

46. -S&P DEPOSITARY RECEIPTS A Dividend K T

4 7 . -TEMPLETON W ORLD FUND A A Dividend J T

4 8 . -TEMPLETON FOREIGN FUND A A Dividend J T

49 . -TEMPLETON WORLD FUND CL C A Dividend K T

5 0 ° -BAXTER INTERN ATIONAL A Dividend K T

5 1 . -American Ecology Corp A Dividend J T



FINANCIAL DISCLOSURE REPOR T N .... f p ..... Reporting Date of Report

Page 7 of 13 Pepper, W i ll ia m A . 0 5 / 2 8 / 2 0 1 0

VII. INVESTM ENTS and TRUSTS- i .... ,, ~ t . . , t......~o,~a . a .a . ~ , h o s . o j ~ p . . .. .. d a . p .~ . . , ~ U a ~ ;~ , ~ ~ . ~ - ~ 0oy~U.~ i .~ . . io~)

~ N O N E ~ oreportable income, assets, or transactions.)

A. B~ _ D.

Descr ipt ion of A s~ Income during Gross valoe at end Transactions during reporting ~riod(including t~st assets) reposing period of ~po~ing pefi~

(i~ ........ 2 ) ( 1 ) ( 2 ) ( I ) (2) (3) ~ (4) , ( 5 )

P l a c e " ( X ) " a ~ e r e a c h a ~ e t Amount " I y ~ ( e . g . , V a l u e Va ~ T ~ e ( e . g , ~ D a te Va lue ’ ~ G~ n~ I d ~ l i t y o f

.... ptffomp~ordisel .... Codel di ...... , C~e2 Meth~ buy,~ll, ,[nmVd~" C~e2 ~Codet I buyer/seller(A-H) or int.) {J-P) Code 3 ~demption) ~ (J-P) ~ (A-It) [ (ifpfvate

(Q-W) [ ~ ] [ transaction)...................................................... [ ........................ ~ ............ ................................

52 . -Clean Ener~, Fuels N o n e J T

5 3 . -Darlinglntemational Inc None J T

5 4 . -Electronic Arts Inc None J T

5 5 . -First Solarl u c None J T

5 6 . -Google lnc None J T

5 7 . -Jacobs Engineering Group None J T

5 8 . -Monsanto Co A Dividend Sold 12/21/09 J

5 9 . -Schlumberger A Dividend J T

6 0 . -Waters Corp None J T

61. -Daily Income Fund money mkt DRTXX A Dividend J T

6 2 . -ENERGY RECOVERY None J T Bu y 3/6/09 J

6 3 . IRA 1- LINCOLN N ATIONAL LIFE D Int.iDiv. K TShareholders Advantage

6 4 . - AMERICAN FUNDS:

6 5 . --AMR AST ALLOC Bu y 1/12/09 J(add’l)

6 6 . Bu y 2 / 1 2 1 0 9 J(add’l)

6 7 . Bu y 3/12/09 J

(addq)6 8 . Buy 4/09/09 J

(add’l)

’: L I n c o m e G a i n C o d e s : A = $ 1 , 0 0 0 o r l e ss



Name of Person Reporting ] Date of ReportFINANCIAL DISCLOSUREREPORT

I Pepper, William A. [

05/28/2010age 8 of1 3

V I I .IN V E S T M E N T S a n d T R U S T S--i ......... ~,e,, ..... ~’o,,s (Includes those of sp ...... a dependen¢ children; seepp. 34-60 of fillng instr, ctiotls.)

[] N O N E (N oreportable income, assets, or transactions.)

Description of Assets Income during Gross value at end i Tr’,msactions during reporting period(including trust assets) reporting period, of reporting period

Place "(X)" a fter each asset I Amount [ Type (e.g., i Value Value Type (e.g., Date Value G~B Identity ofexempt from prior diselosure Code I div., rent, i Code 2 Method buy, sell, i mm!ddlyy Code 2 i Code I buyer/seller

(A-H) i or int.) i (J-P) Code 3 redemption) i (J-P) (A -H) (if private

69 . --AMR BLUE CHIP Buy I112/09 J(add’l)

70 . Buy 2112/09/ J(add’l )

i71. Buy 3/12109 J

(add’l )72 . Buy 4/09!09/ J

(add’l)

73 . --AMR BOND Buy 1/12/09 J(add’l)

74 . Buy 2/~ 2/09 J(add’l)

75 . Buy 3/12109 J(add’l )

76 . Bu y 4/09/09 J(add’l)

77 . - -DCA FIXqED Sold I./12/09 J(part)

78 . Sold 2/! 2/09 J(part)

79 . Sold 3/12/09 J(part)

80 . Sold 4/09/09 J

8 1 . --AMR GBLSM CAP Bu y 1 1 1 2 / 0 9 J(add’l)

8 2 . Bu y 2/12/09 J(add’l)

8 3 . Bu y 3 / 1 2 . ; 0 9 J(add’l)

8 4 . Bu y 4/09/09 J

(add’l)8 5 . --AMR GRTHilNC Bu y |/12/09 J

(add’l)

L lncum¢ Gain Cod~: A =$1,900 or less B =$1,001 - $2,50~ C =$2,51~ [ - $5,O00 D =$5,~1 - Sl 5,0~ E =515,~1 - $50,0~



FINANCIAL DISCLOSURE REPORT ] N ..... f P ..... ReportingI

Date of Report

Page 9 of 13[ Pepper, William A.

[

05/28/2010

V I I .I N V E S T M E N T S a n d T R U S T S -incom e, va lue° ,...... tions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.)

F---] N O N E ( N oreportable income, assets, or transactions.)

B. C. D.

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

.......i : i-~--[ ] (1) (2 ) (I) (2) (3) (4) (5 )Place "iX)" after each asset Amount / Type {e.g., [ Value V alue T ype (e.g ., Date Va lue Gain Identity of

exempt from prior disclosure Code l [ div., rent,~

Method buy, sell, mm]dd/yy Code 2 Code I buyer/seller( A - H ) /orint .) |i

C o d e 2(J-P) Code 3 redemption) (J-P) (A-H) (if private

J ~( Q - W ) transaction)

8 6 . Bu y 2/12/09 J(add’l)

87. Bu y 3/12/09 J(add’l)

8 8 . Bu y 4/09/09 J

(add’l)8 9 . -÷AMRGROWTH Bu y 1/12/09 J

(add’l)

90. Buy 2/12/09 J

(add’l)

91. Buy 3/12/09(add’])

9 2 . Bu y 4/9/09 J(addq)

93. --HI YIELD BON D Bu y 1 / 1 2 / 0 9 J(add’l)

9 4 . Bu y 2/12/09 J(add’l)

9 5 . Bu y 3/12/09(add’l)

9 6 . Bu y 4/09/09

9 7 . --AMR INTL Bu y 1/12/09(addq)

9 8 . Buy 2/12/09(add’i)

9 9 . Bay 3/I 2/09 J(add’l)

] 00. Buy 4/09/09 J

(add’l)

101. --AMR GOVT/AAA Buy 1/12/09 J

(add’l)1 0 2 . Bu y 2/12/09 J

(add’l)

1. Income Gain Code.s: A =$1,000 or less B =$1,001 - 52,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50.000ItSee Column.~ 131 and I24) F =$50,0OI - $100,000 G =$10a,0Ol - $1,0o0,00o H I =51 ,(KIO,O01 - $5,000~000 H2 =More than $5,000.000

2. V alue Codes J =$15,000 or less K =$15,001 - $ 50,000 L =$50,001 - 5100,000 M =$100,001 - $250,000[See Colutnr, s CI ~d D3) N =$ 250.001 - $500,000 O =55 00 ,0 01 - $ 1,00 0,0 00 P I ~ $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P 2 = $5,0 90 ,0 01 - $ 25 ,0 00,0 00

P3 =$25,00~1,001 - 550,000,0110 P4 =More than $50,000,0003, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

ISee Column C2) U =Book Value V =Other W =Estimated



P a g e FI N A N C I A L 1 0 o f 1 3 D I SC L O S U R E R E P O R TP e p p e r , Wi l li a m A . 0 5 / 2 8 / 2 0 1 0

V I I. I N V E S T M E N T S a nd T R U S T S- i, ....... ~.~, ’ ...... tions (Includes those of ~ ...... d dependent children; s pp. 34-60 of f!llng inMructions.)

N O N E (N oreportable income, assets, or transactions.)

A. B. C. D.

Description of Assets Income during Gross valu~ at end Transactions during reporting period( in c lu d in g t ru s t a s se ts ) re po rtin g p e r io d o f rep o rtin g p er io d

(I) (2 ) (I) (2) (1 ) (2) (3) (4) - ~ (5 )Place "(X)" after each asset Amount T ype (e.g ., V alue V alue T ype (e.g .,I Date Value I Gain | Identity of

exempt from prior disclosure Code I die., rent, Code 2 Method buy, sell, |mmddd/yy Code 2 Code I I buyer/seller(A-H) or int.) (J-P) Code 3

redemption) /(J-P) ] (A-H) ~1 (if private

I( Q - W ) transaction)

1 0 3 . Bu y 3/I 2/09 J(add’l)

1 0 4 . Bu y 4/09/09 J(add’l)

1 0 5 . IRA 3 - D Int./Die. N T

1 0 6 . - FEDERATED AMERICAN LEADERS Sold 9/22/09 KFD CLA

107. -FEDERA TED CLOVER V ALUE FD Bu y 9/22/09/ K

108. - HARTFORD A DVISORS FD A

109. - HARTFORD DIV & GROWTH A

1 1 0 . -LORD ABBETT AFFILIATED FD A

11 I. - HARTFORD MIDCAP A

1 1 2 . - PUTNAM INVE STORS FUND A

113. - HARTFORD CAP APPREC A

1 4 . - CAPITAL INCOM E BUILDERS A-A m e r ic a nF u n d s

1 5 . - CAPITAL WORLD GROWTH &INCOME-American Funds

1 6. - N E W W O R L D F D A m e r ic a n F u n d s

t 17. - INCOME FUND OFAMERICA-American Funds

I 18. -INVESTMENT CO OFAMERICA-American Funds

119. -FRANKLIN MUTUAL SHARES FUND

1. Income Gain Codes: A =51.000 or less B =51,001 - $2,500 C =$2,501 - $5,000 D =55,001 - $15,0{~) E =$15,(~n(See Colulntxs BI and 1~) F -$50,001 - $100,000 G =5100,001 - $1,000,000 HI =$1,000,001 - $5,000,00~ H2 =Mca’e than

2. Value Codes J =$15.000 or less g =$15,001 - $50,000 L =$50,001 - $100,000 M =$ 100,001 - $250,000(See Columns CI and D3I N =$ 250.001 - 5500.000 O ~5500.(K11 - $1.0OO.000 PI =$1.000.001 - $5.000.000 P2 ~$5.000,001 - $ 25.000.000

P3 ~$25.000,001 - $ 50.000.000 P4 =More than $ 50.000.0003 Value Method Codes Q =Appraisal R ~Cost (Real Estate Only) S =Assessment T -Cash Market

(See Column C2) U =Book Value V ~Other W =Estimated



FINANCIAL DISCLOSURE IN... f Person Repogt|ng

] Date of Report

REPORT

[ Pepper, W illiam A.

05/28/2010age 11 of 13

V I I . I N V E S T M E N T S a n d T R U S T S - ~ c o ~ , e , , .a ~ u e , t . .. .. . a o n s( I n c l u d e s t h o s eOf ~ . . . .. d depend enl children; ~ee~. ~4-60of ~ding inspections,)

NONE ~oreportable income, assets~ or transactions.)

Gross valueat end [ Transactions during re~ng periodescription A s s e ~ Incomeduritlg

(I-P) ~ Cod e3 [ ~d emption} [ ~ (J-P) ~t (A-H) [

t20. -TEMPLETON G ROWTH FUND CL A

121. - F R AN K L I N I N C O M E F U N DCL A

122 . IRA4- HARTFORD CAP APPREC N o n e J T

1 2 3 .

Income Gain Cod¢~.: A =$ I.O00 orless B =$1,001 - $2,500 C =S2,501 - $5.000 D =$5,001 - $15.~100 E :$15 ,001 - S50,000



N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r t

P a g eF IN A N C I A L I 2 o f 1 3 D I S C L O S U R E R E P O R TP e p p e r , Wi l li a m A . 0 5 / 2 8 / 2 0 1 0

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS.(l,,dica,epart

Line 87 in report for 2008 - New World Growth Fund should have been New World Fund A. Same fund is reported in line 116 in report for 2009.



FINANCIAL

[ Pepper, W illiam A.

05/28/2010age 13 of 13

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to m y spouse and mino r or dependen t children, if any) isaccurate, true, and comp lete to the best of my knowledge an d belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from outside em ployment and ho noraria and the acceptance o f gifts which have been reported are incompliance with the prov isions of 5 U .S.C. app. § 501 et. seq., 5 U .S.C. § 7353, and Ju dicial Conference regulations.

NOTE : ANY IN DIVIDUAL W HO KNOW INGLY AN D W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAN D CRIMINAL SANCTION S (5 U.S.C. app. § 104)

F IL I N G I N S T R U C T I O N S

Mai! signed original and 3 additional copies to:

Committee on Financial DisclosureAd ministrat ive Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Documents

William A Pepper Financial Disclosure Report for 2009