william h steele financial disclosure report for 2010

8/3/2019 William H Steele Financial Disclosure Report for 2010

1/9

AO I0Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act ofl978

(5 U.S .C. a pp. ,~ .~ 101-111)

! . Person Repor l i ng (last name, firs t , middle init ial)S t e e l e , W i l l i am H .

4. Title (Article !11 judg e s i n d ica te ac t ive o r s e n i o r status;magi s t ra t e j u dges i ndi c at e f u l l - o r par t - t i me)

2 . C o u r t o r O r g a n i z a t io nU S D is t r i c t -S o . D i s t . O f A L

5 a . R e p o r t T y p e ( c h e e k a p p r o p r i a t e t y p e )] N o m i n a t i o n , D a t eUS Dis t r i c t J u dge -Act iv e

7. Chambers or Office Address113 S t . J o se p h S t r e e tM o b i l eAL 36602

[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n y

m o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r Date

3 . D a t e o f R e p o r t05/12 /201 I

6 . R e p o r t i n g P e r i o dOl/OI/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all 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 . m ~ , o ,~ , ,g i . s iv u ~ , : o , ty : s ~ p p . 9 - 1 3 o/fillng instructiong)~ N O N E (No reportablepositions.)

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (eepo.,.g individualonly; see pp. 14-16 of fillng insttuctlons.)~] (No r epor table agreeme nt s .)ONE

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t i n gS t e e l e , W i l l i a m H .

D a t e o f R e p o r t05/12/201 I

1 I I . N O N -I N V E S T M E N T I N C O M E . (Repo+ .g ind iv iduo~ ondspo . se : +eepp . 17-24 o f~ l in~ ins ,~ .c t io~)A. Filers Non-Investm ent Incom e[] NONE non-investment income. )N o reportable

DATE S OU R C E A N D TYPE INCOME( y o u r s , n o t s p o u s e s )I . 1 2-31 -1 0 C h u r c h R e a d e r F e e s $ 1 ,38 0 .002 . 1 2-31 -1 0 M u s ic i an F e e s $ 4 8 0.003.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you were m atried durlng any port lon of the report ing year, comple te this sect ion.(Dollar a mount not required except for honoraria.)

D ~o reportable income.)ONE non- inves tmentDATE SOURCE AND TYPE

I . 1 2-31 -1 0 S e l f- e m p l o y e d ( a c c o u n t in g c o n s u l t a n t )2 . 1 2 - 3 1 - 1 0 R e t i r e m e n t i n c o m e f r o m R e t i re m e n t S ys t e m s o f A l a b a m a3 . 1 2-31 -1 0 D e f e r r e d C o m p e n s a t i o n d i s t r ib u t i o n f r o m P u b l i c N a t i o n w i d e R e t i r e m e n t S o l u t i o n s4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, ent e r t a i nment .(Includes those to spouse and depe ndent children; see pp. 25 -27 of filing instructions.)

~] (No repor tab le re imbursements . )ONE

2.3.4.5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL D ISCLOSURE REPORTPage 3 of 9

N a m e o f P e r s o n R e p o r t i n gS l e e l e , W i l li a m H .

D a t e o f R e p o r t05/ 1 2/ 201 1

V . G I F T S . a n c t u d , ~ those to spouse and dependent children; see pp. 28-31 of fillng instructiong)N O N E ( N o reportable girls.)

SOURCE DESCRIPTIONI.2.3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o y ~ , o u ~ e u n d d e p e n d , n t c h U d r e n ; , e e p ~ , . ~ 2 - 3 3 of filing instructions.)[] N O N E ( N o r e p o r t a b l e l i a b i l i t ie s . )

CREDITOR1 . W a c h o v i a M o r t g a g e C o r p o r a t i o n2. Wells Far go Ad v isor s3.

4.5.

DESCRIPTIONM o r t g a g e o n r e n t a l p r o p e r t y , O r a n g e B e a c h , A L ( P t V I I , l i n e 5 9 )M a r g i n b a l a n c e

V A L U E C O D EMM


4/9

FINANCIAL DISCLOSURE REPOR TPage 4 of 9

N a m e o f P e r s o n R e p o r t i n gStee le , W i l l iam H .

D a t e o f R e p o r t05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i ....... . a l u o , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f iling instruc tions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 d u r i n g G r o s s va lu e a t e nd 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 d

( i n c luding t r u s t a s s e t s ) r e p or t in g p erio d o f r e po rt in g p er io d! (l) (2 ) (I) (2) (I) (2) (3) (4) (5 )

Place "(X)" after each asset i A m o u n t T y p e ( e . g . , V alue V alue T y p e ( e . g . , Date Value Gain Ident i ty ofe x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e th o d b u y, s e l l , m m ] d d ] y y C o d e 2 C o d e I b u ycr / s e l l e r: (A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt io n ) (J -P ) (A - H ) (ifprivate

( Q - W ) t r a n s a c t i o n )

1. AmSouth Bank Account A I n t e r e s t M T

2. F i d e l i ty P u r i t a n A Dividend J T

3. *Nationwide Reti rem ent Solutions (4 57b ) E D i s t r i b u t i o n M T

4. - Nationwide Fixed Account

5. - Fid Equity Incom e Fund

6. - FID Contrafund

7. - Janus Fund

8. - Am Cent Value IC

9. - Am Cent Vista Fd IC

1 0 . *W ells Fargo Advisors- (IRA) A Dividend J T

1 1 . -Centennial Money M arket

1 2 . - SunAmedca Blue Chip Fund Class B

1 3 . - C e n t e r st a g in g C o r p .

1 4 . - Putnam IntemationalGrowth Fund

1 5 . -Precision Dril l ing

1 6 . *W ells Fargo Advisors (IRA) B Dividend L T

1 7 . - All iance Bernstein Large-Cap GrowthClass A

1 . In co m e G ain C o d es : A = $1 ,000 o r les s B = $1 .001 - $2 .5 00 C = $2 .5 01 - $5 ,000 D =$5.O01 - $15,000( S c c C o l u m n s B I and D4) F =$50.001 - $100,000 G = $1 00 .00 1 - $1 .0 00.0 00 Il l = $1 .0 00 ,0 01 - $ 5.0 00 .0 00 112 = Mo re than $5.00 0.0 00

2 . V a l u e C od e s J =S I 5 . 0 0 0 o r l e s s K -$i 5 .~OI - $50.000 L =$50,001 - $100.000 M = $1 00 . 001 - $25 0 . (~0( S c Co l um n s CI an d D3 ) N =$250.001 - $500.000 O =$500.001 - SI,000.000 P I =$ 1. 00 0. 00 1 - $ 5. 00 0, 00 0 P 2 =$ 5.0 00 .0 01 - $2 5. 00 0.0 00P3 =$25.000.001 - $50.000.000 P 4 = F . t o ~ e t h a n $ 5 0 . 0 0 0 . 0 0 0

3 . V a l u e M e t h od C od e s Q -Appraisal R = C os t t Rc a l E s t a t e O nl y ) S =Asscssm cm T =Cash Mark e t{ S e e Co h l m n C2 ) U B o o k V a l u e V =O~hcr W = E s t i ma t e d

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


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N a m e o f P e r s o n R e p o r t i n gStee l e , W i l iam H .

D a t e o f R e p o r t05/12 /201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i , ,c o m e . , ,, ,t ,, e . ,, ,, ~ , ,c , lo ~ a , ,c t , ,, m a , o s e o . f , ,~ , o , , s ,, ,, ,d , , p e , a e , t c h U d r o , : s e e , , , ~ , . .~ 4 - , S O o ~ . m i , , g i , , s ~ , , , a i o , , ~ . . ~N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 d u r in g G r o s s v a lu e a t e n d 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 d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o di (I) (2) (I) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset i A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e ( e . g . , Da te V a l u e G a in Id e n t i ty o f

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 i Code I d i v , , r e n t , C o d e 2 M e th o d b u y, s e l l , m m ! d d / y y C o d e 2 C o d e I b u ye r / s e l l e rI (A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt io n ) ( J - P ) ( A - H ) ( i f p r i v a t e! ( Q - W ) t r a n s a c t i o n )

1 8 . - A l l i a n c e B e m s t e in G l o b a l T h e m a t i cG r o w t h F u n d1 9 . - J o h n H a n c o c k R e g i o n a l B a n k

20 . - A l l ia n c e R e a l E s t a t e I n v e s t m e n t F u n d

21 . - J e n n i s o n B l e n d F u n d C l a s s A

22 . * M o rg a n S t a n l e y S mi t h B a rn e y L L C

23 . - A l l i a n c e L a r g e C a p i t a l G r o w t h N o n e J T

24 . - J o h n H a n c o c k F in a n c i a l I n d u s t r i e s A D i v i d e n d J T

25 . * W e l l s F a r g o A d v i s o r s

26 . -C e n te n n ia l M o n e y M a rk e t N o n e J T

27 . - A M C A P F u n d ( A m e r i c a n F u n d s ) A D iv id e n d

28 . - P u t n a m V o y a g e r A D iv id e n d

29 . - T e m p l e t o n F o r e i g n A D iv id e n d K T

30 . -M u t u a l S h a re s ( T E S I X ) A D i v i d e n d K T

31 . -P u tn a m A lls ta te A d v is o r (A n n u i ty) N o n e N T

32 . - P u t n a m F D f o r G r o w t h & I n c o m e A D i v i d e n d K T

33 . - P u t n a m I n v t F d s M u l t i- C a p V a l u e F u n d A D i v i d e n d K T

34 . - F i d e li t y A d v E m e r g i n g M a r k e t s I n c o m e B D iv id e n d J TF u n d

S o l d 05112/10 L

S o l d 05/12/10 K

D

I . I n co m e G a i n Co d e s : A = $1 .000 o r less B = $1 ,001 - $2 ,5 00 C = $2 ,5 01 - $5 ,000 D = $5 .001 - $15 ,000( S cc Co l um n s B I an d D4 ) F = $ 5 0 . 0 ( 1 1 - $ 1 0 0 , 0 0 0 G =$1 00 ,00 1 - $1 .0 00,0 00 II I = $1 ,0 00.0 01 - $ 5.0 00 .0 00 112 =M ore than $5.00 0.0 00

2 . V a l u e C od e s J -$15.0OO or I c e s K =$15.0OI - $50.000 L =$50.0OI - $100.000 Is! ~$100.0OI - $250.000( S e e C o l u m n s C I a n d D 3 1 N =$250,001 - $500.000 O =$500.001 - $1,000.O00 P I = $1 . 000 . 001 - $5.000.000 P2 =$5.000.001 - $25,000.(X)O

P 3 = $ 2 5 . 0 0 0 . 0 O I - $ 5 0 .0 O O , 0 0 0 P 4 = M ore t h a n $5 0 . 000 . 0003 . V a l u e M e t h od C od e s Q A ppr a i s a l R =C ost (R ea l E sta te On ly) S = Ass es sm en t T ~ a . s h M a r k e t(Se e C oh m~n C 2) U =B o o k V a l ue V =Ot h e r W = E s l i ma t e d

E = $ 1 5 . 1 ) 0 1 - $50. 0( ~O


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N a m e o f P e r s o n R e p o r t i n gStee le , W i l l iam H .

D a t e o f R e p o r t05/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m . , , .a l u . , ~ r a . s u c , i o .~ a " ~ " d ~ , h o s e o / s p a . s . ~ .d d . p . .d . ., c h i I d r . . : s . ~ . 3 4 - 6 0 of filing i n s t r u c t i o n s . )[-~ N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Transac t ions dur ing r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n g G r o s s va lu e a t e ndr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )Amount T y p ~ ( e . g . , V a lu e V a lu e T y p e ( e . g . , D a t e V a l u e Gain Ident i ty ofC o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d , ~ c y C o d e 2 C o d e I b u ye r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 ~ d e m p t i o n ) (J -P ) (A - H ) ( i f pr i va te

( Q - W ) t r a n s a c t i o n )

35 .36 .

37 .38 .39 .40 .41 .42 .43 .44 .45 .

46 .47 .48 .49 .

50 .51 .

-Campb el l Strategic A l l oca t ion F u n d-Europacif ic Grow th Fund (AmericanF u n d s )-Fundamental Investors Inc. (AmericanF u n d s )-Grow th Fund of Amer ica (American Funds-New Economy Fund (American Funds)-W ashington Mutual (Ame rican Funds)*W ells Fargo Advisors - IRA (FBO)-Invesco Constellation Fund-Invesco Charter Fund

-Putnam Intl. Growth Fund-Putnam Invt Fds M ulti-Cap Value Fund-Putnam Vista Fund-Putnam Voyager Fund

-Euro Pacif ic G rowth (American Funds)-Grow th Fund of Amer ica (American Funds-Nuveen Diversified Commodity Fund

S t e e l e E n t e r p r i s e s L L C

None M T

A Dividend L T

B Dividend L TA Dividend M T B uy(addl)A Dividend K TB Dividend K TB Dividend N T

S o l dS o l d

N o n e M U

Merged(w i th l i n e 45 )

S o l d( p a r t )B uy

1 1 / 1 6 / 1 0

09/16/10 J A09/16/10 J A

09 / 28 / 1 0

1 1 / 1 6/ 1 00 9/2 7 /10

JJ

I . I n co m e G a i n Co d e s : A = $1.000 o r less B = $1,001 - $2 .5 00 C = $2 .501 - $5 ,000 D = $5,001 - $1 5.000( S cc Co l um n s B I an d D4 ) F = $ 5 0 . 0 ~ I - $ 1 0 0 , 0 0 0 G =$100.091 - $ 1 .000.000 I t I = $ 1 . 0 0 0 ,0 0 1 - $ 5 .0 0 0. 00 0 1 1 2 = M o re Ih a n $5 ,0 0 0 .0 O O

2 . V a l u e C od e s J = $1 5 , 000 o r l e s s K = $1 5 . 001 - $5 0 . 000 L =$50 .001 - $100.000 M =$1 00.001 - $250 .000( S e e Co l um n s CI an d D3 ) N =$250.001 - $500.000 O = $ 5 0 0 . 0 O I - $ 1 , 0 ~ O . 0 O O PI -$ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 ,C~ ) P2 =$5.000.0OI - $25,000.000

P 3 = $ 2 5 , 0 0 < ) . O 0 1 - $ 5 0 . 0 0 0 , 0 0 0 P4 =More Ihan $50.000.0003. Value M e t h o d Codes Q =Apprai sal R = C o s t t Rc a l E s ~a ~c O nl y ) S =Asscssmc~l T = C ~ h M a r k e t( S e e Co l um n C2 ) U =B o o k V a l ue V -Ot h e r W = E s t i ma l e d

E = $1 5 . 001 - $5 0 , 000


7/9


N a m e o f P e r s o n R e p o r t i n gSteele , \Vill iam H.

D a t e o f R e p o r t05/12/201 I

V I 1 . I N V E S T M E N T S a n d T R U S T S - i n c o r ~ e , v o l u e , t , o , ~ u c a o , ~ a n e l ~ d e s t h o s e o / s p o u s e o n a , ~ e p e n a e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s s e t s Tr a n s a c t io n s d u r in g r e p o r t in g p e r io d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r in g G r o s s v a lu e a t e n dr e p o r l i n g p e r i o d o f ~ : p o r t i n g p e r i o d

(1 ) (2 ) (I) (2)A m o u n t T y p e ( e .g ., Value ValueC o d e I d iv . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

(I)T y p e ( e . g . ,

buy, sel l ,r e d e m p t i o n )

(2) (3) (4) (5 )Da te V a l u e G a in I d e n t i t y o f

m m / d d / y y C o d e 2 C o d e I b u ye r / s e l l e r(J -P ) (A - H ) (i f p r iv a te

t r a n s a c t i o n )

52 . S u n L if e A s s u r a n c e C o . o f C a n a d a (a n n u i t y - F D i s t r ib u t i o nno controlI

K

5 3 . Ren t al p rop e r l y,Orang e B ea ch ,AL E R e n t M W

I. I nc ome G a i n C od e s :( S e e Co l um n s B I an d D4 )

2 . V a l u e C od e s( S e e Co l um n s CI an d D3 )

3 . V a l u e M e t h od C od e s( S e e Co l um n C2 )

A =$1.000 or l essF = $5 0 . 001 - $1 00 , 000J =$15.000 or l e s sN =$250.0OI - $5CO.000P3 =$25.000.001 - $50,000.000Q =Apprai salU =[ l o o k V a l ue

B=$1,001 - $2.500G = $ 1 0 0 , 0 0 1 - $ 1 . 0 0 0 . 0 0 0K = $ 1 5 . 0 0 1 - $ 5 0 .O D O0 =$500.001 - $1,000,000R = C os t (Re a l E ~t a t e O nl y )V = C ~h c r

C = $2 . 5 01 - $5 , 000I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 , 0 0 0L =$50.0OI - $100.000PI =$1.000.001 - $5.000.COOP 4 = M ore t h a n $5 0 . 000 . 000S = A s s , e s s n v z n tW = E s t i ma t e d

D =$5,001 - $15,000112 =More Ihan $5.0~0.000M =$100.001 - $250.000P2 =$5.000.001 - $25,000.000T =Cash Mark e t

E =$15,001 - $50,000


8/9

FINANCIAL DISCLOSURE REPORTPage 8 of 9 Ja m e o f P e r so n R e p o r t i n gS t e e l e , W i ll i a m H .

VIII . ADDITIONAL INFORM ATION OR EXPLANATIONS.

D a t e o f R e p o r t05/12/2011

V I I .1 6 - c h a n g e o f B r o k e r f r o m L e g g M a s o n t o W e l l s F a r g o A d v i s o r s .V I I .2 2 - n a m e c h a n g e f o r B r o k e r f r o m L e g g M a s o n t o M o r g a n S t a n l e y S m i t h B a r n e y LL C .V 1 1 . 3 3 - n a m e c h a n g e f o r investment from P u t n a m M i d C a p t o P u t n a m Invt. F d s . M u l t i - C a p V a l u e Fund.V I I .4 2 - n a m e c h a n g e f o r i n v e s t m e n t f r o m A I M F u n d s G r o u p - C o n s t e l l a t io n F u n d t o I n v e s c o C o n s t e l la t i o n F u n d .V I I .4 3 - n a m e c h a n g e f o r i n v e s t m e n t f r o m A I M F u n d s G r o u p - C h a r t e r F u n d t o I n v e s c o C h a r ~ e r F u n d .V I I . 4 5 - n a m e c h a n g e f o r i n v e s t m e n t from Putnum N e w O p p o r t u n i t i e s t o P u t n am I n v t . F d s . M u l t i - C ap V a l u e Fund.V I I .5 1 - I t i s n o t a n t i c ip a t e d t h a t a n y i n c o m e w i l l b e d e r i v e d f r o m t h e L L C . A l l i n c o m e w i l l b e r e a l i z e d b y t h e m a n a g e r .V I I . v a r i o u s - * d e n o t e s h e ad e r i n f o r m a t i o n .


9/9


N a m e o f P e r s o n R e p o r t i n gSteele , Will iam H.

Dale o f Re p o r t05/12 /201 I

IX. CER TIFICATION.I certify that all information given above ( including inform ation pertaining to my spouse and min or or dependent c hildren, if any) isaccurate , t rue , and comp le te to the be s t of my knowledge and be l i e f , and that any in format ion not r ep or ted was w i thhe ld because i t m e t appl i cab le s ta tu toryprovis ions perm itting non-disc losure.! further ce r t i fy that earned income from outs ide emp loyment and honorar ia and the acceptance of gifts which have b een rep orted are incompl iance w i th the prov i sions of 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 ,and Jud ic ia l Conf erenc e regu la t ions .

Signature: S[ W il l iam H . Stee le

N O T E : A N Y I N 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 I F IE S O R F A L L S T O F I LE 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 I LA 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)

Commit tee on Financial DisclosureAdministrativ e Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

william h steele financial disclosure report for 2010

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