daniel j breen financial disclosure report for 2009

8/3/2019 Daniel J Breen Financial Disclosure Report for 2009

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I. Pers*~n Reporling (last n~m. fi~sl, middle imlial) 2. Courl or Org~ niza l ion 3 . D~ of R~por~BREEN, J, DANIEL WESTERN DISTRICT OF TENNESSEE OS.tl 0,2010

~ Nomm~h.r,, D a ~ c 01,01/2009U,S DISTRICT JUDGEiACTIVfi ~~ In,:~al ~ Annual ~ I,nal ~"I 2 [ 3

I I I SOUTH HIGHLAND AVENUF[JACKSON, TN 38301

[ M P O R T A N T N O T E S : The inseruction3 a~ompanying thia form must be fo!lo~ved. Complete all parts,~h~cMng the :VON E box for etth purl ,,here ),ou httv tto reportable in]~rmation. Sign on la.~t pttge.

1 . P O S I T I O N S . ~ , ; , , , , i , ~ , individ,,al only; see pp. 9-13 o]filing i ........ Dons.)~ N ON E (No reportablepositions.)

POSITION NAME OF OR(JANIZATION/ENTITYI. Executive Commilte.e National Contercncc of Federal Trial Judges2. Board of Directors Federnl Judges Association

3. Trustee Trusl # 1

_.J1 I . A G R E E M E N T S . a ~ , . l, ~ - ~ , , ~ . ~ , , ~ . ~ , ,, , o ~ o , , ~ , , : ~ - , , ~ , ~ , . ,- ~ , , ~ , .~ . i ~ , , . .. . ..N O N E ( N u repo~-t,~ble ogreument~.~ 7 -,

D A TE P A R T IE S A N D T E R M SI


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F I N AN C I A L DI S C L O S U R E R E PO R T IN .... fPt rSon Report ing Date of Rep~r,Pag e 2 o f t 3 ] BREEN, J. DANIEL0 5 / 1 0 , 2 0 ~ 0

1 1 1 . N O N - IN V E S T M E N T I N C O M E . (nvpo~,i,,g ,m,.vi,l,,.t.,,,t.,p ....... : . , , ~ p v . 1 7 - 2 4 o ] f i l i ,, g i ........ , i o n $ . )A. Filers Non-Investment Income

~ NONE (No reporlah!e non-im, estment income.)D A TE . S O UR C E A N D T Y P E ~Okl~

I.

3.4

~ N O N E (No reporlable non-investment income.)DATE ~ O ~ I R C E A N D T Y P E

12.3 .

1\1. R E I M B U R S E M E N T S --,,o~.~p ..... i o . , h, dgi,,g food . . . . . . .NON E (No reportable reimbt~rsements)

S O U R C E D ATES LOCATION P U R P O S E I T E M S P A I D O R P R O V I D E D1 Ameucan Bar Assoc~atton 2,12,2009-2/I 5."2009 Bos~un, MA Nauonal Con fer~cc of travel, lud~in~ and meals

Federal Trtal Judge~2 Fcderal Judges Assoctation 5 / 0 2 ~ 2 0 0 9 - 5 7 0 4 1 2 0 0 9 Washington, D C Meeting travel, !odgh~g and mea]~345.


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F I N A N C I A L D I S C LO S U RE REP O RT ~ .... of P ..... ReporlingPage 3 of 13 BREEN,J. DANIEL 0 5 ~ 1 0 2 0 1 0

~ NONE (No reportableg~is.)5OURC~ D ESCRIPTION V~I.I

3.

~ N O N E (No reportable liabilities.)CREDITOR DESCRIPTION 3/ALUE CODE

I.234.5.


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FI N A N C IA L D I S C L OS U R E R E P OR TPage 4 of 13 B R E E N , J . DANI E l .

N O N E (No reportable income, a.~sets, or t~cmsactions.)

(includha~ trust assets) rcporung period otrcpoEmg periodPlace "IX)" at t c~ each asset Amounl ~ Type (c g

exempt flora prier disclosure Code I dw. ,

Ba nco~ p S outh A h~c~st K T

2 IR.A - Fidelily Mag B D i v i d e n d L Fi L CMA ACCT - ME..XR!LL LYNCH

i4. Idaho Pov.,er Co. CS (now known as A Diwde nd J T~ Ida~o~p, Inc.)~. Procter & Gambl~ CS A D i v i d c n d K T6. ( :h icag0, IL Brd. Ed. Bonds A Interest J T

7, AT&T CS A Dividend J T

8 Coco-Cola CS A Dividend J T

~ E.I Dupon~ CS A D i v i d e n d J T

~ ~ 0 Johnson & Johnson CS A D~vidend J T

f~ W a d d c l l & R e e d A c c ~

;2 W~ddell & Reed Strategy Port A D i v i d e n d J T

13 \Vaddell & .~eed [;aianc.ed Putt A Di; idend J T

!4 Waddell & Reed Bond Purl A D w ide nd J T

15 \V,~ dde l l & R e e d Cu~ c E qui ty .4 D i v i d e n d J T

16 \Vaddc]l & Reed Growth Port A D i v i d e n d ~ T

I7 Ivy \rip Mny Mkt A Inlcrest L T


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FINMNCIAL DISCI,OSURE REPORT ] u ...... ~ P . . .. . . R e . o r . , , . [P a ge 5 o f 13] BREEN, 3. DANIEL

~ (~VO v~WoF;~b]e ittcoH~, ~ss:ts. of Iiotls~?ctiolls.)ONE

( i ~ c l u d i n g I r u s ~ a s s e t s ) r e p o r t i n g p e r i , ~ d ~ e l re p o r t in g p c r i u dPiaco(X)"af~crc~ch~sscl Amounl [ Tvpc(cg. V~lu Value Ty~(cg, Dale : V~flucs e l l . mm ,k~di)? [ Code 2 Cudc Iu y . buy~rsll.:r

1 8 . W addel l & Reed t l i+h Incom e Po+t A Dividend J ] ]1 9 . Waddll & Reed Science & 7cch Port A Dividend J T

: 2 0 Waddell & Reed Small Cap Growlh Po~ A DivMend J T2 I. Waddell & Reed T~gt. Fd. Intl Growth Port A Dividend J T2 2 . Wad0ell & Reed Value Port A Dividvnd J23 W addcll &R ccd Global Ntr[. Re s. Port A Dividend .1 T2 4 . Wadddl & Reed Mid Cap Gwth Port A Dividend J T2 5 . Waddell & Reed Target M~ctocap Gwth A Dividend J T2 6 . Waddell & Reed Target Energy Pen A Dividend J T27 D q O Ac c t .

2S. INO r~nl . Fds G~.,. , th-h~c Port A Dividend J T2 9 . Fidelity Contraftmd A Di,,idend J T /

J3 0 . [NO FP+IR SM D iversified Mid,ap A Dividend J T3 1 . fNG JP Morgm: Sma ll Cap Cove Eq. Poll A Dividend J "I3 2 . ING An. Fds. Intl Pert A Dividcr.d J T33 , IRA ACCOUNT - MERRILL LYNCH

3 4 . American Capital WI.G GRW and Inc. A Dr, idend Sold 5 i 2 6 / 0 9 J A


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FINANCIAL DISCLOSURE REPORTPage 6 o f 13 [ | BREEN, J. DANIEL 0 5 1 0 ; 2 0 lO

V I I . I N V E S T M E N T S and TRUSTS --i, , , . . . . . . . . . . .~ . . . . . . . . . . . . ., i ~ a , , . . . , ~ . . . . . . . . . . ./,~ . . . . . . . . . . . ., t . .p , . , , a . , , ,, ~ , , .a . , , , , : ., ~ . v ~ . . . - ~ o o ~ m , , , . ~ , , . , , , , , . . , ~ , , , . ~ . )N O N E ( ) V o rcportobie income, ctsset.% or trons~tCliOns.)....... ~ .......... ~ .... ~7 ....

( inc luding m~ as~cts) i rcpom:~g pcrioO of rcp~r:mg period:?fi ~ - i~; ~ " (A-HI ot rot) {J-P) Code 3 rcdcmptiuW ~ 019 ~,~.l l i (;fprlv;;tc

............................................... I. _. J ~ ;._35 .g mc~ i co n Can n a l I n co me A Dividend J 1 Bu y 526/09 J36. American Cap. WLD. GRW a~d Inc, A Dividend Sold 5/26/09 J A3 7 . American New Perspective A Dividend 3 T

3 8 . American Shun Term Bond A Dividend J I 1 3 u y 9/I 1/09 J3 9 . Coca Cola - CS A Di,idend J T

4 0 . Blackreck Low Duration Bd Fd. A Dividend K T Buy 9 , 1 1 / 0 9 K4 I. Duke Energy-CS A Dividend J T42 Exxon Mobil - CS A Dividend J T4 3 . General Electric - CS A Dividend J T44 Goldman Sachs Mid Cap Value Fd. A Dividend Sold 9:1 I;09 J A45 Home Depot - CS A Div h fcnd ~ T

46 Household lntl- CS A Dividend 2 ~,I ": 4 7 )obnsol: & Johnson - CS A Dtvidend ] "I [4~ J I% Morgan Chase & Co. A Dividend J "149 M cl)op.a lds - CS A Dividend J T50 . Loonlis Styles Strategic Inc. Fd. A Dividend J T Bu y 6Q4/0951. NI c~ i l l L ) ,n cb Var iab le Co u p o n No tes A Or,,~dcnd So.d Z,l 3/09


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F IN A N C I A L D I S C LO S U R E REP O R T ] N .... f P ... . . R e p o r t i n g D a t e o 1 r p o r ,P a g e 7 o f 13I BREEN, J. D A N I E L

0 5 1 1 0 / 2 0 1 0Vll. INVESTMENTS and TRUSTS -- i .......... ,,,,-. t ........ ions (lttclude$ tiros, orsl ......... d dt.pendetl, children" $e, pp. 34-60 of filit.g i ..............)

N O N E ( N o reportable income, as sets, or transactio~s.)D e s c r i p t i o n o f A s s e t s ~ B C. J .............................. ~.- ...........~ h~comc du~ i ng Gross value at end ~ T r a n s a c n o n s d u r i n g r c p o m n g( i n c l u d i n g m ~ s t a s s e t s ) i r e p o r t in g p c r * o d o f r e p o r t i n g p e r i o d

P l a c e " { X ) " a l l c r c a c h a s s c t ] A m o u l l t Tygc{cg. V u l u c V a h ~ c ~ ~ype{cg, / Dale ~ Value ~ Gain I I d c n t ~ t ~.... p, ,rom pr,or dtscl ...... Code I d ........ C o d e 2 b l m l : o d b u y . s e l l . [ m m . d d / y y ~ C o d e 2 C o d c I ~ b u y e r , s e l l e r: (A-II) or,n*) ( J - P ) Codc3 r c d c m p t , o n ) ~ ] tJ-P) i ( . ~ - H ~ :......... ~ ....... ( Q - W ) ~ i ; t r a n s a c , , o n )52 Microsoft Corp - (S A Dividend J T5 3 F id e li ty A d v is o r M id -C a p F d. A Dividend J T Buy 2/13/09 J54 Spectra Energy Corp CS A Dividend J T5 5 . ",VaI-Mart Stores - CS A Dividend J T

5 6 . Pimco Total Return Fd. A Dividend J T5 7 . Blackrock Global Aline. Fd . A D i v i d e n d J T B u y 1 I I 0 1 0 9 J5 8 . IRA- NIERRILL LYNCH5 9 . Sallie Mac Bank - CD A I n t e r e s t J T Buy 5/27/09 J

6 0 . DN Southside Bank - CD A I n t e r e s t J T Buy 5/21/09 J6 1 . American Cap Gr.,vth and Inc. Fd. A Dividend Sold 6 / 2 3 / 0 9 J A

6 2 . American New Perspecl ivc Fd A Dividend j T Buy 6 , 2 3 / 0 9 J 6 3 Americar* Capital Income A Dp. idend J T6 4 American Gro~vth Fd A D i v * d e c , d Sold 9/I 1/0965 Americar~ Short Term Bond Fd A Dividend J " 1 Buy 9 / I I , 0 966 Blackrock Lo;. Duration Bond Fd A Div idend K T Buy 1 0 / 2 / 0 96 7 . Fidelity Advisor A Dividend J T6 8 . Eaton Vance Low D uration Fd A Div idend J T Buy 9 / I 1 t 0 9

D =$5.fl0t - ~ 15.{)0n [- =515.001 - $50


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FINANCIAL DISCLOSURE REPORT IN ..... fP ..... Reporting DateofllportIP age 8 o f 1 3

~ (No reportable income ossets, or lransactions.)ONE., B . C , D .

( i ~ O u d i ~ g

e x e m p t f r o m p r i o r d i s c l o s u r e dP.., rein,o d e 2 . M e t h o d bJy. sell

6 9 . Blackrock Globa~ Allot A Dividend K T70 National City Sank CD A Interest Sold 5 , ~ 2 I , 0 9 J71 Frankhn Income Fd B Dividcr, d K T72 Frm~khn Gmv, th Fd. A Dividend Sold 9 / ! 1 . 0 9 J7 3 Sa! ! ie Mae Bank CD ..a. I n t e r e s t J T Bo y 5 1 2 7 / 0 9 J7 4 John Hancock Balanced A Divideod J T7 5 DN Southside Bank CD A Interest J T B u . v 5 / 2 1 / 0 9 J7 6 . AmCap. WLD Grw ar, d Inc. A Dividend Sokl 9/i 1/09 J7 7 . Am Short Tem~ Bd Fd A Dividend J T Bu y 9 1 1 1 / 0 9 J7 8 . Primco Total Retmn Fd A Divider~d J T

7 9 Ualamos Mkt Ncutrallnc Fd A Dividend Sold I 0 1 2 1 0 9 K A 8 0 Blackrock Low Darmion Bd Fd. A Dividend J T B~y 1 0 . / 2 / 0 9 ]; g I (](~ldi-.~m Sachs Grwth Fd A Dividend J T [ h ~ ) 9 " 1 1 , 0 9 Jg2 Eaton Vance Large Cap Value Fd A Dividend J T3 3 . H:ufford Cap Apl, e7 Fd A Di,.idcnd K Tb ;4 L o o m ~ s Sayle, , Strag h~c Fd A D~v,dend k . T

~ 8 5 Merrill Lynch Mene" Mad.;et F d


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FINANCIAL DISCLOSURE REPORT ~ ....r ~ . . .. . R ~ p o r t i . ~Page 9 of 13 ~av.~, J . DANIEL

~ 0 5 ; 1 0 2 0 1 0VII. INVESTM ENTS a n d TRUS TS - ~ . . . . .. . .. . . ~ . . . . . . . . . . . . . , i o . , a . , .~ . u . , ~ , o , .

N O N E (No reportable income, ossels, o~ lransaclions.)..... ~ ................... ~ .................. E ................

Dcscriplion of Ass:~ ~ Inccme during Gross value at end T r a n s a c t i o n s d u r ; n g repomng pe r~ad(including Irusl as~ct~) ~ ..... ~portln~ - ......zdod of r cpor zmg pc t md.......l) (2) " (~) ..... (2 ) (l) tq ~ (5 )Place " iX )" a~l c~ c .h ~ss c t ~Arnuunt ~ Type ~c.g.. Value V~uc lypee x e m p t f r o m p r i e r d i s c l o su r e ~ ( A - H ) o r m ~ ) ( J - I ) C o d e 3

~ 6. Me.HI Lynch Retirement Reserxes A ~ n t e ~ e s ~ J87 . Procter & Gamble CS A DLvidend J T

8 8 . Waddell & Reed Advisors Small Cap A Di. idend J T8 9 . Waddcll & Reed Accumlative A D ~ . , ~ d e n d J T90 Waddell & Reed Core In,.estment A Dividend J T

9 1 . Wadddl & Reed Advisors Cash Managmcnt A Dividend J T9 2 . Firsl State Bank CD B I n t e r e s t Redeemed 9/14:09 J A93 BanC,arp South CD A I n t e r e s t J T9 4 . Ivy VIP Asset Strategy A Dividend K T

9 5 . Ivy VIP Balanced Fd A Dividend J T96 Iv) Energy Fd A Dividend J T9 7 . Ivy Global Natl Res. Fd. A Dividend J T9 8 . Iv:, Intl Gr..vth Fd A D i v h ! r t d J T99 Ivy Sc~ NC Tech Fd ,a. Dividend J T00

101. TRUST,gl (hnes !01-128}(x~

102 - ML Bank Deposit Program A I n t e r e s t K 7


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FINANCIAL D I S C L O S U R E REPORTPagelOofl3

Vll. INVESTMENTS and TRUSTS -, ........... ; . . . . . . . .. . . , i . . , a . t , , , ~ , . , , J . . . . . .. ,f.,j . . . . . . . . . . . ~ , , , , . . , , , , , , , , , , , . . ~ , , t a . . . . . . . . ~,~,. s~-~o,,/~:i,~. , . . . . . . . . . . .,i,,,,..)" N O N E (;Vo reportable income, assets, o~ tra~l,raclio~S )

a ~ I " c ...... 5 .........l m , : l u d i n g f i r s t a s s c ~ a ) ~ ~ e p o r t m g p c r ~ o ~ o f r e p o r t i n g p e r i o d

t~) ~ ~> -(i)-----~) ......P l a c e " ( X ) " a f t e r c a c h a s s e t i A,,,ouct ~ T~c (c g. V a l u e V a k , T y p e(A}{) [ ,3r lilt ) (J-P) Code 3 r c d c m p t m n )

~ ~ ( Q - W )1 0 3 . - CD G E Capital Fir~ancial A I n t e r e s t J T1 0 4 -ML ARM SPX B Dividend Sold 1 0 , 2 2 , 0 9 L D

1 0 5 . - R B CAR N S P X A Dividend K T Bu ) 1 0 ; 2 L 0 9 K106 MUTUAL FUNDS1 0 7 . -Blackreck Global A!loc. Fd A Dividend Sold 6 . 1 8 . 0 9 L C

L,1 0 8 . -IBlackrockCap&lnc Strat A Dividend J T1 0 9 . -Btackrock Cap & lnc Strat A Dividend Sold 6 . 1 8 " 0 9 JI I 0 . - Eaton Vance Large Cap A Dividend J T Buy 6/18,09 JI II. Clough Global Atlo,c Fd A Dividend Sold 6 / 1 8 : 0 9 K

1 2 . - First Eagle Global Fd. A Dividend J T i ~ u ) 6/18.091 3 - Hartford M~tlCap FC CL C A Dividend J T ~ " 3 6 . " 1 8 / 0 91 4. - Ivy, Asset Strategy A Dividend K T Sold 6 1 1 8 ~ 0 9( p a r t )

l i5. -Jaat.lsFortyFd A Dividend K T g l , _ y 61809!6 - koemis Sayles Strategic A Dividend K T [ ~ u y 618091 7 . - Lord .,\bbett National T.tF B Dividend L T Be y 6 ~ 1 8 / 0 9

1 8 . - Nmeen H igh Y~cld Mt.m Bd. Fd. B Dividend K T ~u y 6 . 1 8 / 0 919 -Nu~ccnTrdwindsVa~ueFd A ] D~v~dend ] J 7 B t ~ ) 6 ; 1 8 , 0 9


11/13

FINANCIAL DISCLOSURE REPORT N .... P .....Page I1 of 13 BREEn,.I.D.aNIEL

N O N E (No reporlobl~. Mcome, a3.~e,s, or trunsactions.)

Place"IX[ a t tot c~h ~sse: Amounl ] 3~ pe ( c . g , I X a l , , ~ : ~alt~z ~ f~ ~e ~e g, Date ~ Value

120. - Principal High Yield A Dividend J T Bu y 6118~09 J121. -Ain~ Conscella~;on Fd A Dividend Sold 6/18/09 J122. - Oac ARn ~ogrer A Dividend J T Bu y 6/25;09123. -Citigrouolnc CS A D~vidend Sold 6118109 J124. - Conoco P h i l l ip s CS A Dividend Sold 6!18/09 J12 5 -[.ifepoint IIosp Inc. CS A D i v i d e n d Sold 6i18z09 J126. MicrosofiCu~ CS A D i v i d e n d Sold 6/18/09127. Sek Am GEIB A D i v i d e n d Sold 4118/09 L

28. Travelers Co. US A Div ide nd So~d 6/~ 8/09


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I a m e o F Pe rs on ReporIingFINANCIAL D I S C LO S URE REP O R T[ BREEN, J. DANIEL

[ D ....fR,porr

Page 12 of 13 J o 5 , 1 o , _ ~ o wV II I. AD D IT IO NA L INF O R JV lA T IO N O R EX P LA NA T IO NS.


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F I N A N C I A L D I S C LO S U RE REP O RT ~ ......Ip .....R~porllng I D ....RtportPage 13 of 13 B a E E N , J . O a N ~ E 1 .I a~,~ 0/.~tH 0

IX. CER TIFICATION.I certify that all information given abo~e (including information per taining to my spouse andminnr,~rdcpen cnlthildrcn, ifany) isaccurate, [rue, and complete t~ the best nf my knowledge and bt, lief, and that an~ information nat I ported ~ a~ ~i~hheld becatlsc it IllCl applicable Sl;llulorvprovisions permitting non-disclosure. " .I [ur0~er certify Ihal earned income from outside emplo)mcnr aud IlOllOrali:~ anti ~he ~tccplantc o1" gilts whith h~ve I~r~r~ rtparled ;~c ia

cumpliancc *vilh ~he provisioos of 5 U.S.C. app. ~ 5111 el. ~cq., 5 U.S.C. ~ 7353, and Jndicial Conft.rence rcgnla~iun~.

~g n a tu r

NOTE: ANY INDIVIDUAL W|IO KNOWINGLY AND \VILFULLY SG|IJECTTOANI) CRI.~IINAL SANCTIONS (5 LI,S.C. npp. 104~ CIVIL

F I LI N G I N S T R U C T I O N SMail signed original and 3 additional cop~es to:

Commit t cc on Financial DisclosureAdmu~istra t ive Ollicc of the United States Com~sSuite 2-30 IOne Colum bus C?irc le , N.E.Washington, D.C. 20544

daniel j breen financial disclosure report for 2009

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