james a beaty jr financial disclosure report for 2010

8/3/2019 James A Beaty Jr Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P erson R eporting (last n am e, f irs t, m idd le in itia l) 2 . C ou rt o r O rgan izatio n 3. Date of ReportB eaty Jr., Jam es A . U S D istrict C o u rt - 4 th C ir . 05/06/201 1

4. Title (Article 1 1 1 judges ind ica te ac tive or sen ior s ta tus ;magist rate judges indicate fu l l - or par t- t ime)

Ar t ic le l i t Judge

7. Ch amber s o r O f f ice Ad d r ess25 1 N. Main S t ree t - Suite 248Wins ton-S alem, N.C . 27101-398 4

5a . Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b, [] Amended Report8. On the bas is o f the in formation conta ined in th is Repor t and anymodif ica tions per ta in ing thereto , i t is , in my o pin ion , in ompliancewith appl icable l aws and regulat ions .

Reviewing Officer Date

6. Repor ting Per iod0 1 / 0 1 / 20 1 0

to12/31/2010

IMPORTANT NOTES: The ins tructions accompa nying this form m ust be fol lowea~ C omplete al l parts,checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of f!ling instructions.)~ N O N E (No reportable positions.)

POSITION1. F o u n d a t io n B o a r d M e m b e r2. B o ar d o f T r u s t ees

3. B o a r d M e m b e r

4.5.

NAME OF ORGANIZATION/ENTITYW est e r n Car o l i n a U n i v e r s i t y

S en i o r S e r v i ces o f F o r sy t h Co u n t yN e w W i n s t o n M u s e u m

I I . A G R E E M E N T S . m e p o n i n g individual only; seepp. 14-16 of filing instructions.)~] NONE (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s on R e p o r t i n gBeaty Jr., James A.

Date of Report05/06/201 l

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of f!ling instructions.)A. Filers Non-Investment Income

[~ N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

1. 2010 N C J u d i c ia l R e t i r e m e n t V e s t e d B e n e f i t $31 ,34 2 .002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.(D ollar amount not required except for honoraria.)~-] N O N E ( N o reportable non-investment income.)

D A T E S O U R C E A N D T Y P E1 . 2010 T h e S p e e c h C e n t e r -C l e r ic a l

2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertai .... t(Includes those to spouse and dependent children," see pp. 25 -27 off!ling instructions.)

D N O N E (No reportable reimbursements.)

3.4.5.

SOURCE DATES LOCATIONJ u s t T h e B e g i n n i n g 0 9 / 30 / 2 0 1 0 - 1 0 / 2 / 2 0 1 0 A t l a n t a , G e o r g i aFo un d a t io n

PURPOSEConference

ITEMS PAID OR PROVIDEDHotel , Meals , Lodging


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N a m e o f P e r s o n R e p o r ti n gBeaty Jr., James A.

D a t e o f R e p o r t05/06/2011

V . G I F T S . a n e i u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE1 .2.

3.4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; seepp. 32-33 of f!llng instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gBeaty Jr., James A.

D a t e o f R e p o r t05 /06 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B. C.Descript ion of Assets Incom e during Gross value at end( i n c l u d i n g trust assets) reporting period of reporting period

(1 ) (2 ) (1) (2) (1 t (2) (3)P l a c e "CA)" after each asset A m o u n t Type (e.g., Value V a l ue Type (e.g., Date Va lu e

exempt f rom prior disc losure Code 1 div., rent, C ode 2 Method buy, se l l , m m /d d/yy C od e 2(A-H) o r i n t . ) ( J - P ) C ode 3 redem ption) (J-P)(Q-W)

T r a n s a c t i o n s d u r n g r e p o r t i n g p e r i o d

( 4 ) ( 5 )Gain Identity of

C o d e 1 b u v e r/s e t le r( A - H ) ( i f p r iva te

t ransac non }

1 . W achovia Brokerage IRA B Dividend

2. -Citigroup Common Stock

3. -Microsoft Common Stock

4. -General Electric Comon Stock

5. -Omega Health Prop. Common Stock

6. -Lithium Technology/Common Stock

7. -Progress Energy Common Stock

8. -Precision Drilling Company CormnonStock9. Duke Energy, Common Stock A Dividend

1 0 . Spectra Energy Common Stock A Dividend

1 1 . Bank of America Investment Services, Inc. A Dividend(IRA)1 2 . -Columbia Cash Reserve Daily

1 3 . -Federated Bond Class A

J

J

M

S o l d 12/22/10 K D

S o l d 12/22/10 J A

S o l d 12/22/10 J A

S o l d 12/22/10 J A

S o l d 12/22/10 J B

S o l d 12/22/10 J A

S o l d 12/22/10 J C

S o l d 12/22/10 J A

T

T

T

1 4 . -Federated American Leaders Class Mutu alFund1 5 . -Federated Capital App reciation Class A

Mutual Fund1 6 . -Federated 1NTL Value Class A Mu tual

Fund1 7 . -Federated Kau fman Class A

1 . I ncome G ain C odes i A--$!;000 or less( S e e C o l u r r m s B I and D4) F =$50,D01 - $ I00,000

2. V alue C o de s J = $1 5,000 or tess(Se e Co lu m n s C1 a n d D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = A ppr a i sa l( S e e C o l u m n C 2 ) U =B o o k V a lu e

B=$1,001 - $2,500G=$100,001 - $1,000,000K=$15,001 - $50,0000 =$500,001 - $1,000,000R =Cost (Real Esta te Only)V = O t h e r

C =$2~501 - $5,000H 1 = $1,000,001 - $5,000,000L -$50,001 - $ 100,000P I =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S - A s s e s s m e n tW - E s t im a te d

D =$5,001 - $15,000H2 = Mor e th an $5 ,0 00 ,0 0 0M -$ 100,001 - $250,000P2 =$5,000,00I - $25,000,000T - C a s h M a r k e t

E =$15,001 - $50,000


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D a t e o f R e p o r t05 /06 /201 l

V I I . I N V E S T M E N T S a n d T R U S T S - income, valae, transactions (Includes those of sp ...... d dependent ch ildren; seepp. 34-60 of filing instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B.D e s c r i p t i o n o f A s s e t s I n c o m e dunngI including t rust assets) reporting period

(2 )P l a c e "(x )" ~(f ter e a c h a s s e t Amount Type (e.g.,

e x e m p t f rom p r ior d isc losure Code 1 div . , r e n t ,(A-H) o r i n t . )

Gross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o do f r e p o r t i n g p e r i o d(1) (2) ~1 ) (2) (3) (4) (5 )

V a l u e Value Type (e.g,, Dat~ :: Value G ai n I d e n t i t y o fC o d e 2 M e t h o d b u y , s e l l , m r r d d d / y y : C o d e 2 Code 1 : buyer/seller

( J -P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) (if privatet r a n s a c t i o n )Q - W )

1 8 . -Fed. Strat. Val. Fund Class A Mu t. Fund

1 9 . CSX, Corp., Common Stock A Dividend

2 0 . Ex x on M o b il Co mm on S to ck A Dividend

JJ

TT

21 . Bell South/A T & T A Dividend

22. Equitable Variable-All iance Common Stock A DividendFund

23 . AXA Equitable-Incentive Life/M od. A DividendCommon Fund24 . Ban k of Am e ri ca/Sav in gs Acct . A I n t e r e s t

25 . Vacant Real Estate Forsyth, NC/Parcel 1 None

26 . Vacan t Real Estate Forsyth, NC/Parcel 2 None

27 . V acant Real Estate/Union, SC None

28 . NewBridge Bank FastForward Checking A I n t e r e s tAcct.29 . Palmetto Citizens Fed. Credit Union M oney A I n t e r e s t

Market30 . Palmetto Citizens Federal Credit Union CD A I n t e r e s t

J T

J T

K T

J T

J W

K W

K W

M T

J T

K T

31 . W ac hov ia B & T CD A I n t e r e s t Closed 05/26/10 J A

32 . Wachovia B&T CD A I n t e r e s t Clo sed 10/07/10 K A33. Wachovia B & T Checking A I n t e r e s t

34. W achovia B& T Money M arket A I n t e r e s t

K

J

TT

q ih~6m ~ Ga in C0d e s : A :$1,000 0r less B =$1,001 - $2,500 C =$2,501 - $5,000(Se e Co lu m n s B I a n d 1 )4) F =$50,001 - $100,000 G = $1 00 ,0 01 - $ 1,0 00 ,0 00 H I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

2. V alu e C o de s J = $1 5,000 or less K =$15,001 - $50,000 L =$ 50;001 - $100,000(See C olumns C 1 and D3) N =$250,001 - $500,000 O =$50 0,001 - $1 ,000,0 00 P 1 =$ 1,000,001 - $5,000,000

P3 -$25,000,001 - $50,000,~00 P4 =More than $50,000,0003. Value Method Codes Q = A ppr a i sa l R = C os t (Real Estate O n l y ) S =A s s cs s m e m(See C olumn C 2) U =B o o k V a lu e V = O t h e r W =E s t im a ted

D =$ 5 ,001 - $ 1 5 ,000 E =$15,001- $50,000H2 =Mo re tha n $ 5 ,000~000M=$ I O0,OO I - $ 2 50 ,000p2=$5,000,001- $25~000,000T =Cash Market


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Date of Report05/06/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (In cludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i nc l udi ng t r us t asse t s!

Place "(X)" after each assetexempt f rom prior disc losure

B. C . D.Incom e during Gross value at e nd Transactions during reporting period

reportin g period of reporting period(1 ) (2 ) (11 (2) (I ) (2) : (3) (4) (5 )

A m ou n t Type (e.g., V a l ue V a l ue Type (e.g,, D a t e V a l ue Gain Identity ofCode 1 div., rent, C ode 2 Method buy, se l l~ m m /d d/y y C od e 2 Code 1 buyer / se l le r(A-H) o r i n t . ) ( J - P ) C ode 3 redempt ion) (J-P) (A-H) (if private(Q-W) transaction)

35 . Frist National Bank CD36 . First National Bank CD

37 . First National Bank CD

38. First National Bank CD

A I n t e r e s t Closed 03/30/10 J A



A I n t e r e s t Closed 03/30/10 K A

I . Income Gain Codes: A =$1,000 or lcss B 3 51 ,001 - $2 ,500 C = $2 .501 - $5,000 D =$5,001 - $15,000(Se e Co lu n m s B 1 a n d D4) F =$50.001 - $ 100,000 G 35100,001 - $1,000,000 H 1 =$1,000,001 - $ 5 ,000,000 H2 = Mor e th an $5 ,0 0 0 ,0 0 0

2 . Va lue C o d es J = $15 ,000 or less K 3 515,001 - $50;000 L $50,001 - $ 100~ 000 M =$100,001 - $250,000(Se e Co lu m n s CI a n d D3) N =$250,001 - $500,000 O 35500,00I - $1 ,000,000 PI =$1,000,00I - $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 - A p p ra is a l R 3Cost (Real Esta te Only) S - A s s e s s m e n t T =Ca s h Ma rk e t(Se e Co lu n m C2 ) U - B o o k V a lu e V = O t h e r W = E s t im a ted

E =$15,001 - $50,000


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Name of Per son Repor tingBeaty Jr., James A.

Date of Repor t05/06/2011

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)P a r t V I I . I t e m s 3 1 - 3 2 a n d 3 5 - 3 8 h a v e b e e n i d e n t if i e d a s c l o s e d d u r i n g t h e 2 0 1 0 r e p o r t in g p e r i o d , a n d h a v e b e e n a d d e d t o t h e b a l a n c e i n # 2 8 .


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Name of Per son Repor tingB e a t y J r . , J a m e s A .

Date of Repor t05/06/2011

IX . CERTIFICATION.I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i ft s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/James A. Beaty Jr.

N O T E : A N Y IN D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF IE S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4)

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

james a beaty jr financial disclosure report for 2010

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