__________ _

IMPORT ANT

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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Q Nomination,

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 197g

Calendar Year 2003 (5 U.S.C. app. §§ 101-111}

I. Person Reporting (Last name, First rname, Middle initial) 2. Court or Organil.ation 3. ·Date of Report

HEYBURN U. JOHN G U.S.D.C.KENTUCKY WESTERN S/21/2004

4. Title (Artfol.e m Judges indicate a1:ti.ve or senior stab.IS; S. ReportType (check appropriate type) 6. Reporting Period magistrate: judges indicate full- or pa:rt-time)

Date 111/2003 District C<1urt Judge (Active) to@ Ammal 0 Jnitial 0 f1Dal 12131/2003

7. Charnbc:rs 1Jr Office Address 8. Oil the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance 239 U.S. Courthouse . with applicable laws and regulations.

Louisville,. KY 40202 Reviewing Officer. Date

NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE oox for each part where you have no reportablle infurmation. Sign on last page.

I. POSITlONS. (Reportin.g individual only; see pp. 9-13 offiling instructions)

0 NOJ E - (No reportable piJSitions.)

l. T1111stce Charitable Foundation - H

(./) :lJ c:-:> ::'!::: rn ,.,, ::c> -< Cf> Nc::)> rn;;v:Z: CJ fTl OJ> )>

·< -qr 1m

- ICJ.. r·q w

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions) 0

NONE - (No reportableaumcmcnts.)

1.

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SOURCE AND mE GROSS

SOUR.CE AND TYPE ·

SQURCE PESCRIPTIQN

FINMtlCIAL DISCLOSURE REPORT Name of Person Reporting

HEYBURN Il, JOHN G S/21/2004

ID. NON-INVESTMEI\rf INCOME. (Reporting individual and spouse; see pp. 11-24 orming instructions)

A. Filer's Non-Investmen1t Im ome

NONE - (No reportable non-investment income.)

INCOME

(yaws, not spouse's}

1.

B. Spouse's Non-Investment Income -(If you were married during iin.y portion of the reporting year, please complete this section. (dollar amount not required c:xcept for honoraria)

NONE - (No reportable 1111 1J1-inves1mcnt income.)

1.

IV. REINIBURsEMEJ\IT'S - transportation. lodging, food. entertainment.

(I tcludes those to spouse and dependent children. See pp. 25-27 of instructions.)

NONE - (No such reportable reimbursements.)

1.

DESCRIPTION

DESCRIPTION CODE

<'

FINANCIAL DISCLOSURE REPORT NameofPersonReporting

HEYBURN II, JOHN G

V. GIFTS. (Includes those to s11>ouse and dependent children. See pp. 28-31 of i nstructions.)

NONE - (Nosuchrcportabllegifts.)

l.

Date of Report

S/21/2004 -

VI. LIABJLITIES. (Includc:s those of spouse and dependent children. See pp. 32-34 of instructions.)

NONE - (No reportable liabilities.)

l.

VALUE

__ _;.... ____ ,

rtners Ltd

Casi

ard

MiCJ 1ft

-

IEF

A B

int.)

It disclosW"e

(2)

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(3)

-

(4) (S) I

(A-ll)

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4.

8.

(1)

(e.g.

_FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 1 of5 HEYBURN II, JOHN G 5J2lfl004 .

VII. INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse Bild d< c:bildren. Sec pp. 34-S7 offiling instructions.)

A. B. c. D. --·-

Income during Gross value at end of Transactions during repoiting period Description of Assets reporting period reporting period (inc:luding ttust assets)

not exempt from (2) (1) (2) (1)

i:e "(X)" after each asset m:ipt Value Value Type (e.g. Date:Amount Type Value Gain Identity of n prior diselosure buy, sell, Month-Code I div. n:ol or . Code2 Method Code2 Code) buycr/seDer

(A-H) (J-P) c0dc3 merger, Day (J-P)redcmplioo) (if private transaction) (Q-W).

DNONE . (No reportable income, as. :s, or transactions)

I. SBC A Dividend J u

2. HIU llA RD LYONS TRUSTEF.(IRA) D Dividend N T

-

3. 1uiv. Fd.

LoniIAbbett Af. Fd.

s. Bed:shire Hathaway-B

-

6. Bris1tol Myers Squibb

-ChC' 117.

Cine 1ati Fin.

-Exx11111 Mobil9.

10. Hilli Lyons Growth Fund -

11. MBll A

12.

-

13.

14.

ZimmerHldgs

-HI LIA.RD LYONS TRUSTEE (IRA) D Dividend N

-

T

15. lnvcst(:o.ofAm.

-

16. New :onomyFd.

17. Sllll! ipWld.Fd.

18. OTI INVESTMENTS

I. Income/Gain Codes:

(See Columns: BI and 04)

2. Value Codes:

(Sec ColtJmru• Cl and 03)

3. Value Mel:hod Codes

(See Co! lffil• C2)

= S l ,OCIO or less

F = $50,CIO:l•SIOO,OOO

= $15,CIOO or less

N = S2SO,OOfJ-$500,000

P3 = $2.5,000,00!-$50,000,000

Q =Appraisal

u =Book Value

G

K

0

R

v

= Sl,001-$2,500

= Sl00,001..SI,000,000

= Sl 5,001-SSO,OOO

= $500,001-Sl,OOO,OOO

= Cost (Real Estate Only)

= Otiier

C = $2,SOl-SS,000

HI = Sl,OOO,OOI-SS,000,000

L = SS0,001-$100,000

Pl = Sl.OOO,OOl-SS,000,000

P4 = SMore than $50,000,000

S = Assessment

W = Esrimaled

D = $5,001-$15,000

H2 =More than $5,000,000

M = S!OO,OOI-S250,000

P2 = SS,OOO,OOJ-$25,000,000

T = Cash/Market

E = Sl5,001-$50,000

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24.

Type

reporting period

(l)

E -s1s.001.sso.ooo

¥INANCI.AL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page,2 of5 HEYBURN II, JOHN G 5/21/2004

- income, wlue, transcations (includes those of the spouse and dc:pendeut chihhcn. Sec pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS

B. - ·-·· c. D.A. Gross value at end of Income during Transactions during reporting pcri d

Del:cription of Assets RP0£1ing period (incl.uding trust assets)

not exempt disclosure(1)(1) (2)(2) (3) (4)

Value Type (e.g.ll'lar:e "(X)" after each asset exempt Value Date:(e.g.Amount Value Identity of Gain Code2 buyer/sellerCode l Code2 Method buy, sell, Ilion1 prior disclosure Month-Codcl div. rent. or

Code3 merger, Day(J·P) redemption) (J·P) (A·H) (if private transaction)

(A·H) int.) (Q-W)

TM19. Hilli11rds Cash Equiv.Fels. B Dividend

-

20. 3MC:o.

-

21. 3M C:o.

-

22. Wyeth, fi>rmerly Amer.Home Plrod.

-AnheuserBusch23.

c Dividend

A Dividend

gift Sil J

sale 11/4 J A

--M T sale 7/29 J A (partial)

L T sale 1114 J A (partial)

25.

gift Sil .JAltria

sale 1fl9 JAltria A

-

26. Applilcd Materials

-Bcrkllhir eHathaway27.

28. Boston C::C:ltics

29. Bristill ll ycrs Squibb

-Brovin F ormanlnc.30.

31. Chevron Corp.

32. Cineiinmlti Fin.Corp.

-

33. Clomx C:0.

-

34. Colgilte Palmolive .

5. WaltDi!:neyCo.

36. Exxonf\< lobil

A Dividend

A Dividend

None

c Dividend

A Dividend

B Dividend

A Dividend

A Dividend

A Dividend

A· Dividend

B Dividend

sale 4122 L A

L -

T

sale 4fl2 L A

N T

K T

L T

-

L T

K T

L sale ll/6 J A (partial)

K T sale 4122 K D

M T

l. Income/Gain Codes: A = Sl,000 or less B = Sl,001-$2,500 C = $2,SOJ-SS,000 D = $5,001-$15,000

(See Columns Bl am! 04) F = SS0,001-SIOO,OOO G = SIOO,OOl-Sl,000,000 Hl =SJ,OOO,OOI-SS,000,000 H2 =MoretbanSS,000,000

2. Value Codo:s: = $15,000 or less K = SI 5,001-$50,000 L = $50,001-SIOO,OOO M = SIOO,OO!-S250,000

(Sec C'.olumns C:l and D3) N = $250,llOO-SSOO,OOO 0 = SSOO,OOJ-$1,000,000 Pl = Sl.000,001-SS.OOO,OOO P2 = SS,000,001-$25,000,000

P3 = S25,0ll0,00l-S50,000,000 P4 = SMore than $50,000,000

3. Value Method Codes Q =Appraisal R Cost (Real Estate Only) S = Assessment T = Cash/Markel=

=(See Colurrm C2) u =Book Value v =Other w Estimated

I

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If Jr01I1 QISCl<lSWe

(2) (3) (4) (5) Gain

Month-Day (Ml)

.

-

--10

I '

FINANCIAL DISCLOSlfllIB REPORT Name of Person Reporting Date <>f Report

.·Page3 ofS HEYBURN U, JOHN G $/21/2004 -

- income, value, transcations (mcludcs those ofthe spouse and dependent children. See pp. 34-57 of filing instrueiio11S.) VII. INVESTMENTS and TRUSTS

A. B. Income during

c. Gross value at end of

D. - - -

Transactions dming reporting period De:saiption of Assets reporting period reporting period (me:luding llUst assets)

(1) (2) (I) (2) (I} not exempt

ce "(X)" after each asset 9cmpt Amount Type (e.g. Value Value Type (e.g. Date: Value Identity of n prior disclosure Code! div. rent. or

(A-II) int.) Code2 Method (J-P) CodcJ

(Q-W)

buy, sell, merger, redemption)

Code2 Cocle I buy $Cller (J.P) (if private

transaction)

37. Gm :ral Electric Co. B Dividend M T sale 4122 K E (partial)

38. Gcn1 Electric Co. B Dividend M T sale 7/29 K E (partial)

39. Gcn1 Electric Co. B Dividend M T sale 11/4 K E (partial)

40.

41.

42.

43.

44.

45.

46.

47.

48.

49.

50.

51.

52.

53.

54.

Billi ard Lyons Growth

Hon1er)epot Inc.

-IBM

Johll 1 and Johnson

-MBI Al nc.

--Mel'! mdCo.

-Mic1rosetft

Moc•dys:

-Nila·

-Proc:tor &Gambill

-RBIBurobey Inv. LLC

-Safeguard Scicntifics

--Sara :Corp.

Sole

-usi eless Online, Inc.

B Dividend

A Dividend

A Dividend

A Dividend

A Dividend

B Dividend

A Dividend

A Dividend

A Dividend

B Dividend

c Dividend

A Dividend

A Dividend

A· Dividend

Dividend

K T

M T

L T

L T

L T -

M T

K T

J T

M T

N T

J T

K T I

J T

J T I

sale

sale ,

sale

sale

1129 .J A

1114 J A (partial)

4122 J A

1'114 K E (partial)

7!29 J A (partial) ··-

I. Income/Gain Codes: A = $J ,00() or less B =$1,001-$2,500 C =$2,501-$5,000 D = $5,001-SIS,OOO E = $15,001-SS0,000

(See Columns BI and 04) F = S50,00J.-$100,000 G = SlOO,OOl-Sl,000,000 Hl = St,000,001-$5,000,000 H2 =More than SS,000,000

2. Value Codes: = Sl 5,000 or less K = Sl5,001-S50,000 L = S50,001-SIOO,OOO M = SIOO,OOl-S250,000

(See Columns Cl and D3) N = S250,.000-S500,000 0 = SS00,001-Sl,000,000 Pl = Sl,000,001-SS,OOO,OOO P2 = $5,000,00l-S25,000,000 P3 =$25,000,00l·SS0,000,000 P4 = SMon: than SS0,000,000

. Yalru: Method Codes Q = Apprnli :al R =Cos! (Real Esll!le Only) S =Assessment T = Cash:'Market (See Column C2 I U = Book Value V =Other w = Estimated

-Page,4 , ______ _ I

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Hldgs

mk

k

disclosure (3)

J

I

I

.

-

I I

(4) Gain

!

J

' ·- -

57.

59.

72.

{l) (2) (l)

FINANCIAL DISCLOSlfllIB REPORT Name of Pers.on Reporting Date of Report of5 HEYBURN ll, JOHN G S/21/2004 -

VII. INVESTMENTS and TRUSTS - ioc:ome, value, t111nscations fmcludcs those of the spouse and dependent children. Sec pp. 34-57 of filing instructions.) ·

B. c D.A. Income during Tnmsactions during reporting perioo

:scription of Assets Gross value at end of

reporting period reporting period D«(in 1:luding trust assets)

Value (e.g.

If not exempt ftom(2) {i)

Type Value (2) (S)

TypePiacc

111prior disclosure "(X)" after each asset cxr:aipt

fro Date:Month-(e.g. Value Identity of

Codet buyerjsellcr Code2 (if private (J.P)

buy, sell, merger,redemption)

Amount div. nml or Code! Codc2

C-Ode3Method

(A-H) inl) (J-P) (A-H)Day(Q-W) transaction)

Dividend (partial)SS. Wal K T Gifts Sil J A

Dividend (partial)56. Wal K T sale 11/4 A

-

58.

DividendZim A K T

-' D DividendTRt1ST -A N T

-on.Mar.and Bond Fd. PNC:M

-BancOne60.

61.

62.

63.

64.

65.

66.

67.

68.

69.

Gen .. Elc l

NatiOilll City

-PNC

--SYl

-mdFd. -PNC:Be

-D DividendTRUST -S N T

: Exempt Money Fd Ky.'T8ll

-CADRBP PL

Coca C::Ola Co ,._

70. Gal llJIC: ttCo.

-GbIXO71. Wellcome PLC

-Jo lllSC 111&Johnson

L lncome/G.ai11 Codes: SeeColumns B and D4)1

A = Sl,000 or less = Sl,OOJ-$2,SOO C = $2,501 -$5,000 = S5,00J-$l5,000 = SlS,OCll-$50,000 B D E SS0,001-$100,000 = SIOO,OOI-Sl,000,000 = S!.000,001-$5,000,000 H2 =More tbanSS,000,000F = G HJ(

= = $15,001-$50,000 = SS0,001-$100,000 M = SI00,001-S250,0002. Value Codes: $15,00ll or less K L = $2S0,0C(l..$S00,000 $500,001-Sl,OOO,OOO = SS,000,001-$25,000,000(See Columns Cl and D3) N 0 = Pl = S!.OOO,OO!-SS,000,000 P2 = $25,00C•,001-SS0,000,000 = SMore than $50,000,000P3 P4

Q = Appmisal = =3. Value Method Codes R =Cost (Real Estate Only} S Assessment T Cash/MarketU = Book Value (See Column :::2) V =Other W =Estimated

I

·-------

-

I II

(I) Ifnot disclosW"e

Pro1

-

-

fABLE

-

'

B

{2) (S) Gain

(Ml)

·-

---·

(l}

74.

76.

77.

79.

FINANCIAL DISCLOSURE REPORT

Page,5 ofS: N

, ame of Person Reporting

HEYBURN II, JOHN G

Date of Report 5121/2004

-income, valuc, tmnscations (includes those oflhc spouse and dependent children. Sec pp. 34-57 of filing instructiions.)VII. INVESTMENTS and TRUSTS

A. B. c. D. Gross value at cod of TnmsaaillDS during rting periodIncome during

Description of Assets reporting period reporting period(including trust assets)

exempt from(2)(1) (2)

(3) (4) I Type (e.g. Date: ValuePia!:e "(X)" after each asset exc:mpe Value Value Identity of Amount Type (e.g. : buy,sell,fnm2 prior disclosure Code2 Method Month-Code l div. rent. or buycrlselle:rCode2 Code I

Code3 merger, Day(J-P){A-H) int.) (J-P) (ifprivatetransaction)redemption} (Q-W)

Mairsh &McLennan73.

-National City Corp.

-1·&Gamble75.

Schlun1berger Ltd.

Vert Communications

-CHA FOUNDATION - H M Tc Dividend78.

Hilli1ud Lyons Growth

l . Income/Gl!iin Codes: A = $1,001) or less = $1,001-$2,SOO C = $2,SO J-$5,000 D = $5,001-SlS,OOO E = $15,00 i-SS0,000

(See Columns Bl and 04) F = $50,0IJI-$100,000 0 = SI00,001-Sl,000,000 HJ = SI,000,001-SS,000,000 H2 =More than $5,000,000

2. Value Cod1:s: 1 = $15,0l:lO or less K = SlS,001-SSO,OOO L =SS0,001-SI00,000 M =Sl00,00l-S2S0,000

(See Colwnns Cl and 03) K = $250,000-$500,000 0 = $500,001-$1,000,000 Pl = Sl,OOO,OO!-S5,000,000 P2 = S5,000,00l-S25,000,000

P3 = $25,000,001-$50,000,000 P4 =$More than $50,000,llOO

3 Value Mctilod Codes Q = Apprafaal R = Cost (Real Estate Only) S = Assessment T = Cash!Marl.:et

(See Colwm1 C2) U = Book Vruue \I =Other w = Estimated

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

HEYBURN II, JOHN G 5/21/2004J (IndicatepartofReport.)VITI. ADDITIONAL INFORMATION OR EXPLANATIONS

. ....

__ Date r I J,.,, /61

. ,

Name of Person Reporting Date of Report FINAJSCIAL DISCLOSURE REPORT

HEYBURN II, JOHN G S/21/20U.f

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is ac1cwate, true, and compifote to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statuti>ry provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported sire in compliance with. the provisions of S U.S.C. § 501 et seq., S U.S.C. § 7353, and Judicial Conference regulations .

..

Signature

NOTE: AN)' INDIVIDUAL WHO KNOWINGLY AND Wil..FULL y FALSIFIES OR FAILS TO FILE nns REPORT MA y· BE SUBJJBCTTO CNIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Comts

Suite2-301

One Columbus Circle; N.E.

Washington, D.C. 20544