joel f dubina financial disclosure report for 2009

8/3/2019 Joel F Dubina Financial Disclosure Report for 2009

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.~olo I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b . v t l , e E

I in Government Act of 1978R e ~ : / , ~ O l O FOR CALENDAR YEAR 2009 ~s u . s . c , a p p . . ~ , ~ "IOl- l / / )1 . P ~ : r s o n Re po r t ing ( l a s t name . f i r s t , tmdd lo in i t i a l) 2. Court or Organization 3. Dale of Report

D ubin a , Jo e l F. U .S. C ourt o f Ap p ea ls/l Ith C ir 05/12/2010

4. Title (Article II I judge s indicate active or sen ior status; 5 a . R e p o rt Typ e (che ck a p p ro p ria te typ e ) 6. R e p o rlin g Pe rio dmagis t ra te judge s i~ ica te fu l l - o r pa~-t imc)

~ Nomination. Date 01/01/2009U. S. Circuit Judge-- Active ~ Initial ~ Annual ~ Final to

12/31/20095b. ~ Ame~ed Rcpo~

7. Chimers or O~ce Addreas 8. On the basis or the Information contained In this Repo~ ~ndx n ymod l~catlons pe~.lnlng thereto,It Is, In myopinion, Incompli~ce

Pos; O~ce ~ox 867 ~l th appl icab lel a w s and regula t ions.Montgome~, AL 36101~867

Rev iew in g O ~cer D a te

I M P O R T A N TN O T E S :The instructions accompanying this form must be followe& Complete atl parts,checking the NON E box for each part where yoa have no reportable information. Sign on lastpage.

I . P O S I T I O N S .t S . ~ o r . ~ i ~ U . .t o . t ~ ; . e e , ~9-13 of .Fding instr~,cttons.)

D N O N E(No reportable positions.)

pQS1TION NAME OF ORGA NIZATION/ENTITY

I. Partner Investments Unlimited, a limited liability corp,

2.

(.

N O N E(No reportable agreemem~.) -.:,c:~ ". ~ . i-22 t .o~ PARTIES AND TERMS ~, " "


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FINANCIAL DISCLOSURE REPORT .~ ....f P, .o ~ R . p o . ~ n g D . , , o t a , p o .Page 2 of 10 D u b S . a , J o e ~ F. 0 ~ / 1 2 , 2 0 J 0

|lI. N O N - IN V E S T M E N T I N C O M E .t~ror~ng i.di,.ia.~t ~.d ~e .... ~ . ,~ ~ . ~ ~ -Z~ , ~ i . x

A. Filers Non-Investment Income

N O N ~ (N oreportable non-investment income.)

SOURCE AND TYPE~o~, no t s~useS)

1 .

2.

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 -~f ~,ouwoe raattled during an), portlon of Ihe reporting year, complete tMx section.~Doll~r cmmunt m~ req uired ~rcept for honoraria.)

[~] NONE (Noreportable non-investment income.)

D AT E SOURCE AND TyP]~

I,

2.

3.

IV. R E I M B U R S E M E N T S--tran.,portation, lodging, food, entertainment.(Includes those to spouse and dependent children: &ee pp. 2.$-2 70ffillng instructions.)

N O N E(]go reportable reimbursements.)

SOURCE DATES L O C AT I O N PURPOSE ITEMS PAID OR PROVIDED

1 .

2.

3.

4.

5.


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IN~m~INANCIAL DISCLOSURE REPORTPage 3 of 10 Dubina, Joelr, 0 5 11 2 t 2 0 1 0

V. G I F T S .tlncludes ,hate ta s~use and d~endcnt children; see ~ 28-31 of /~ling instructional

NONE (Noreportab& g~s.)

~gSCRIPTION

I.

2.

3.

4.

5.

[~] N O N E (N oreportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.


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FINANCIAL DISCLOSURE REPORT Sa , . . o f ~ . . . ..R e p o , ~ I n ~ D,~ o r a ~ p o r t

Page 4 o f I 0 O , ,b i o , , J o e l F. 05/12/2010

N O N E(No rep ortable income, assets, or transactions.)

D cs~ip~i~ of Asscls l~om during G ross value at ~d: T~n~tions du~ng rc~ing pcri~(including t~st m~ts) rcpoaing ~ri~ o f r epo r t ing pe r io d

~ h ~ t A m ~ n t . T y p e (e . g . , V a l u e~ Va l u ~ Type (e.g.,l a c ec ~ c m p t f ~ m p ~ o r d i s c l o s u ~ C ~ e I d i v . , r c n kC ~ e 2 ~ Mc~od u y , ~ l l , m ~ d ~ C ~ c 2

~ { A - I f ) ~ orinl.) (J-P} C ~ c 3 r c d c m p t ~ n ) " " ( J - P ) : ( A - l l ) (ifpfi~utc

I . I . J O E L F. D U B ~ A

2 . COMMON STOC~

] . I n s i g n i a F i n i G r o u p I n c . A D i v i d e n d i T

4. Torchmark Corp A Dividend K T Sold 01/07/09 J C(part)

5. U.S. She lte r Corp . De l A Divldcnd J T

6. Torchmark Cap. Tr. III See None Sold i 03/13/08 ~ J sold in 2008

7. Money M arke t Funds ~ S terne, A Interest J TAgee & Leach

8. 12.5"/. interest Investments Unlimited, an D Rent P I W See Section VIII.L.L.C.

9, 12.5% inleres t in house , Ada, AL None L W

I O. I1. TRUSTS ASSETS #1

1 1 . M oney M arket Fu nds . . . . . . .. . . . .. . . . .. . . . .. . . ."lSteme, A Interest L TAgec & Leach

1 2 . Alabama Ind. Access R& B B Interest K T

1 3 . University AL Huntsville (X) B Interest L T

1 4 . Montgomery AL Tax CPN B Interest L T

1 5 . General Eleclric C Dividend K T

1 6 . Torchmark Corp. B Div idend M T

1 7 . River Ban k and Tr~st (X) A Div idend K T

Column ~} O


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N:tme of Person R eporllnll[

D t t e o f R e p o r tFINANCIAL D IS CL O SU RE R EP ORT[ Dubina, Jocl F.a g e 5 o f 1 0 05 / i z / . , 010

V II. I N V E S T M E N T S a n d T R U S T S- ~ .... ,.,,,t,., ~,..~ao., t t .~ . ~ , , , h o ~ , o /~ . , , .. a a . ~ . ~ , . , ,, i ta , , .; , , , ~ . ~ -~ o o t~ t i .~ i . ,, , .. i o . ,. )NONE (Noreportable income, m sets, or transactions.)

- ~. " .... a . " ~.........~ ................... O. .........~rption of As~s l~ome dar~g G ~ va lu e a t e ~ Tn~a ctio ns d~n g rc~in g ~f i~

~including t~st ~ts) reporting pcn~ of r~ning per iod

(~) ~ {2) : (I) ~ (2) I (I) ~ (2) (3) ~ (4) (5 )PlacetX)"nh~cach~sct Amoun t. Ty~(e.g. , 3Val~- / Value ~ T~(e.g., ~ Date ~VaI~ Gain i Ide,tityof

cxcmptfrompfiordisclos~e Codcl : dv,rcnt , C~2/ Mc~ : buy,~ll, ~d~yy C ~2 C~I ~ buycr/~ cr - (A - H ); o r n t ) (J-P) / C~c 3 ~mption) ( J - P ) (A dD [ (ifpr ~ac

1 8 . l lun~ville, AL Wa~ Series A B Inte~st L T

1 9 . l rondale , ~ W~ - Set . D I~ . XLCA 4% B Interest L T

" 2 0 . ln t~ed iate M~. Tr Sh Ben . In t . C Interest M T

21. Kraft Foo ds, Inc. None Sold 01/30/08 K All was sold in 2008

22 . Monsanto Co. A Dividend Sold 10/30/09 J A

23. Op p, AL Wts FSA B/E Cpn B Interest L T

: 2 4 . U.S. Treasury Bond 5/375"/, C Interest L T

25 . U.S. Treasury Bond 7 .25% C Interest L T

26 . Bank of America None Sold 03/02/09 K

27 . State Street Corp. A Div idend Sold 02]05/09 J

28 . Burl ington N orthern Santa Fe A Div idend Sold 03/02/09 J

29. Symantcc Co~p, None Sold 08/03/09 K

30 . AFLAC lne . None Sold 01/22,09 K

31. Potash Corp . Sask Inc. A Dividend So l d 07/16/09 K C

3 2. Ishares MSCI Emer. Mkts. Index A Dividend K T Sold 0 8 / 2 7 1 0 9( p a r , )

3 3 . Altr ia Group Inc . B Dividend K T

3 4. Pfizer, Inc. None Sold !01/28/09


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FINANCIAL DISCLOSURE REPORT [ N , m e o l P e r ~ o n R ~ p o r t |a g D . t e o t R e p e r t

Page 6 of 10[ nubln,,-|ocl ~.

0 ~ . ~ 0 ~ 0

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

A. B. ~ C. : ............. D.D c ~ r i p d o n o f A ~ s c t ~ Inco~ during G r o s * v a l u e a t e n d~ T~nmctions d~ng rc~ing ~(iml~ing t~st ~) rc~ing ~i~ ~ o f r~ o in g p e r io d I

Pl a c e " ( X )~ af te r t~ mh as s ~ A m o u n t ~TF~ (e g., Value j V M u e T)~ (e.g., : O a~ Valu e G a in l d e n t i ty o fcxC~ from prior dimlu~t~ I C o d * I; div, r~, C~ 2 Mclh~ b u y, ~c l l , :mmt~yy C~c 2 ~ C~c I buycr/~llcr

~ ( A - H )~ or in t . ) ( J - P ) C ~ e 3 rc~mption) ~ ~ (l-P) (A - H ) (~ fp f iv a te ~

35. St o ke r Co~ . A Div idend K T

3 6. John Ha ncock Flexible Prem. LifeIns. None L U

3 7. Adobe Systems None K T B u y 06/01109 K

3 8 . Barclays PLC ADR . A Dividend B u y 1 0 8 / 0 3 1 0 9 K

3 9. Bu y 08/18/09 J

40 . Sold 1 2 ] 0 8 / 0 9 K

41 . Freeport McMoran None J T Bu y ~06/01/09 J

42 . Sold 10/28/09 J C(part)

43 . H S B C H L D G S P LC S P O N A D R N E W A Dividend K T Buy 08/18/09 K

44 . IShares MSClS Korea Index A Dividend J T B uy 09/04t09 J

45 . Microsoft Corp. A Dividend J T B uy I/11/09 J

46. Novart is A G None J T B uy 09/15/09 J

47 . Priceline Corn None J T Buy 06/01/09 K

48. Sold 08/10/09 J C(p a r t )

4 9 . Selec t Sec tor SPDR TR SBI FINANC IALA Dividend J T Bu y 07/16/091 K

50 , Sold 12/08/09 K C

5 1 . Buy i 1 2 / 0 8 1 0 9 J(addl)

2. V~I~ C~ J -$15,~ ~ k~ K "$15,~1 . $50,~ L =$50,~1 $ I~,~ M ~l~,~l - $250,~

P] ~$25,~,~1 - $50,f~,~ P4 ~M~ than3. Valu~ M~ Co&~ Q =Ap~isal R ~o~ ~R~I E~late Only) S -A~cs~t T


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FINANCIAL DISCLOSURE REPORT N.raeofPerlenReporting D|,eofReporl

Page 7 o fl 0 Dubina,J o e l F. 0 5 / 1 2 / 2 0 1 0

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

De~pzion of As~ I n c o m e d u ~ n g G m s ~ v a lu e ~ e n d(including t~sZ as~ls~ ~ ~po~ing~ ,, ofrcponingpcfiod

Phcc "(X)" aflcr ~ch as~t : A m o u n tTy~ (e.g., Va l u e Va l u e~ C ~ e I div., r~t. ~ c 2 M c t h ~ ~ b u y , ~ I I , ~ m ~ d ~ y y ~ C ~ 2 C ~ c I ~ b u y ~ i ~ l l c ~x c m p ~ f r o m p r i o r d i ~ l o s ~; ( A - H ) or ira.) {J-P} C o ~ 3

t ~ n ~ o i o n )

5 2 . S y m a n t c C o ~ , N o n e B u y 0 ~ 0 1 / 0 9 J

5 3 . Sold 08/03/09 J

54 , US Natural Gas Fund LP None K T B u y 05/20/09 K

5 5 . P E R S O N A L H O L D I N G S : :, ]

56 . Money Market Funds17 ....... ] Sterne, A Interest J TA g e e

~ 7 . Torchmark Corp. B Dividend N T Sold 07/22/091 K E{pa r t )

58. Sold 1 0 1 0 9 / 0 9 . K E( p ~ )

5 9 . T o r c h m a r k C o r p . T r , I l l S e c . N o n e S o l d 1 0 3 / 1 3 / 0 8 J S o l d i n 2 0 0 8

6 0 . 5~ TMK, United Inc. A Dividend J T

6 I. 12.5% interest Investments Unlimited, as D Rent PI W See Sect ion VIIILoL.C.

62 . 12.5% interest in house, Ado, AL None L W

6 3 . Hanoey M il l Road Farm, L.L.C. None M R See Sect ion VIII

6 4 . General E lectric Com. A Dividend J T

6 5 . Microsoft Corp. A Div idend J T

66. Southern Copper Cope. A Div idend Sold 03/25/09 J B

6 7 . ........Companh ia Va le Do R i Doce Spons Adr. None So l d 04/09/09 J A

6 8 . Fairhope , AL Utilities A Interest J T


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FINANCIAL DISCLOSURE REPORT .~ .... fP ..... R~porl|ng

Page 8 of 1 0 Dubi. , ,J o e lF.[

0 5 / 1 2 / 2 0 1 0

V II. I N V E S T M E N T S a n d T R U S T S -i.co.,o, ,,.t.., , ....... .,io.s. tlnctu,tc, tl, oseof .,~us and dtpt.aent

N O N E(No repo rtable income, assets, or transactions.)

~ription of Asse~ Income d~ing Gro ss v a l u e a t e n d Tmnsaetiom d~ing re~aing(i~luding trust as~ts) ~ning ~ri~ of rc~aing pe~

P hce "(X )" a~cr each ~t :Amou nl ~ Ty~ ~e g,,Va l u e Val~ T~ (e.g.exempt from p for di~losu~ " C~ I ~ dlv, rea l C ~c 2 Mc~ buy, sell, :m~~yy C~ 2 ~ C(~c I ~ycr/scll~

~ ( A - H ).I or in l . ) ( J - P ) C~c 3 r~mption) (J-P) ~ (A-It) (if~iva~1 i , (Q-~ ~ ; ..................... j. - transition)

6 9 . Tuscaloosa , AL Wa~ant FSA B/E A Interest K T

7 0 . Waddel l & R eed A Dividend J T ~advenently remov~2~8

7 1 . Direxion D ai ly Financia l Bear 3 Xshares None J T Bu y 05 /0 ~09 J

72 . B u y 06/05109 J

7 3 . Sold 07/I 5/09 J( p ~ r t )

7 4 . Pmshares Trust Powershares Ultrashort Real None J T Bu y 06/05/09 JEstate

7 5 . Pimco FDS Total Retu FD CLA A Dividend J T Bu y 1 0 8 / 2 0 / 0 9 J

76. Powershares GloBale Trust Aggregate PFD ADividend J T Bu y I 1 / 1 9 / 0 9 JPortfolio

77 . Altr ia Group Inc . A Dividend J T B u y 08/20/09 J

78.

!79.

(~ Col~ C2) U = B~ k Va l ue V -O~cr W =~imalcd


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FINANCIAL D ISCLOSURE REPORT

Iage 9 of 10 Dub|ha, Joel V. 0 5 / 1 2 . r 2 0 1 0V III. ADDITIONAL INFORMATION OR EX PLANATIONS.andic.,eea,lo/R.7,.,.S

PaR VII. Investments & Trusts.

No, 8 & 61. Property Ioca~ed in Montgomery Co unty, AL; Walton C ounty, FL; Lowndes C oun ty, AL

No .63 . Effec t ive D ecember 31 , 200 7 , l g i f t ed my in t e res t i n l and in Mo ntgome ry Co un ty, equa l ly to I I fo rmed an"| lanccy Mill Roa d Farm, L.L.C." My 50% interest in the lan d was dccded into llac~cey blill Road Farm, ~ICI a~ ih, .~ giflid 1ol lnequal shares. The total value of this proper~y at ~he time it gifted was ,$790,000 to be equally shared by the 4. 1 filed a girl tax return Sh04/15108.


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FINANCIAL DISCLOSURE REPOR T [ ,~ m , o r e ~ .o ~ R ~ p o . ~ ~, , ,o~ R~por~Page 10 of 10 I

IX . CERTIFICATION.

! ce r t i fy tha t a l l in format ion g iven above ( includ ing informat ion per ta in ing to my spou se and minor or depe ndent ch i ldren , If any) i saccura te , true , and comple te to the bes t o f my know, ledge and be l ie f , and tha t any informat ion not repo r ted was wi thhe ld because i t met app l icabprov is ions per ta in ing n on-d isclosu re .

! fu r ther ce r t ify tha t ea rned income f rom ou ts ide emp loyment and honorar ia and the acceptance of g i f t s which have been repor ted a re incompl iance wi th the provldons of 5 U .S .C. app . 501 c t . seq , , 5 U.S .C. 735 3 , and Judic ia l Con ference regula t ions .

Sign~

NO TE: A~NY IND IVIDUAL WIIO KN OWING LY AND WILFULLY FAL,A 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 )

FILING INSTRUCTIONS

Ma il signed or ig ina l and 3 addi t ional cop ies to :

Co mmittee on F inanc ia l D isc lo su reAdminis tra t ive O ff ice of the United Sta tes Cou rtsSu i te 2 -301O n e C o lu mb u s C i r cl e , N .E .Washing ton , D .C . 20544

joel f dubina financial disclosure report for 2009

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