___________ _ Date _____ 0t,1Jy; POSI - £:> ; C -· - < :n (Q Report Required by the Ethics FINANCIAL DISCLOSURE REPORT A0-10 in Government Aet of 1978 Rev.1/004 FOR CALENDAR YEAR 2004 (5 U.S.C. app. §§ 101-111) 1. Person Reporting (Last name, First name, Middle initial) Moody, James M 2. Court or Organization USDC, Easter District of A 3. Date of Report 51512005 4. Title (Article l Judges indicate active or senior status; magistrate judges indicate fll- or part-time) U.S. Distict Judge - Active 5. RcportType (check appropriate type) Q Nomnaton, Date Q Initial ( Annual Q Final 6. Reporting Period 1/1/2004 to 12/31/2004 7. Chambers or Ofice Address 600 West Capitol, Suite 381 Little Rock, AR 72201-3325 8. On the basis of the infrmation contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Ofcer I. POSITIONS. (Reporing individal see pp. 9-13 offling instructions) . . 1: D NONE - (ororte:pJtion.). NAME OF ORGANIZATION/ENTITY 1. Trustee Residuary Trust .. 2 "" = (Reporting individual only; see pp. 14-16 offling instructions) () II. AGREEMENTS. ., C) -- ; r-., 9 NONE - (No reportable agreements.) 0- m ( �: - c:)> 0 :.:1:.::£ PARTIES AND TERMS 0 rr rq C' - 1. rq 0 .:
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___________ _ Date ____ _
0t,1Jy;
POSIDON
->
£�:> ;
CJ
-· -
< n (
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT A0-10 in Government Aet of 1978
Rev.1/2004 FOR CALENDAR YEAR 2004 (5 U.S.C. app. §§ 101-111)
1. Person Reporting (Last name, First name, Middle initial)
Moody, James M
2. Court or Organization
USDC, Eastern District of AR
3. Date of Report
51512005
4. Title (Article lil Judges indicate active or senior status;
magistrate judges indicate full- or part-time)
U.S. District Judge - Active
5. RcportType (check appropriate type)
Q Nomination, Date
Q Initial (!) Annual Q Final
6. Reporting Period
1/1/2004
to
12/31/2004
7. Chambers or Office Address
600 West Capitol, Suite 381
Little Rock, AR 72201-3325
8. On the basis of the information contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance
with applicable laws and regulations.
Reviewing Officer
I. POSITIONS. (Reporting individual see pp. 9-13 offiling instructions) . .1: D NONE - (Noreportabte:posJtions.).
NAME OF ORGANIZATION/ENTITY
1. Trustee Residuary Trust
.......,2 """' =(Reporting individual only; see pp. 14-16 offiling instructions) (./)II. AGREEMENTS. .._,,C-) -- ;:o
r--..,, NONE - (No reportable agreements.) 0- m(Ij �t::' -<
c::)> 0 ::.::.1:.::PARTIES AND TERMS 0 rr,rq C'")
-
1.
rq 0..i::-
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Moody, James M 5/5/2005
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 offiling instructions)
A. Filer's Non-Investment Income NONE - (No reportable non-investment income.)
I.
SOURCE AND TYPE GROSS lNCOME (yours, not spouse's)
B. Spouse's Non-Investment Income (lf you were married during any portion of the reporting year, please complete this section. Dollar amount -
not required except for honoraria)
D NONE - (No reportable non-investment income.)
SOURCE
SOURCE AND TYPE
1. 2004 Tutoring
IV. REIMBURSEMENTS transportation, lodging, food, entertainment. -
(Includes those to spouse and dependent children. See pp. 25-27 ofinstmctions.)
NONE - (No .uch reportable reimbursements.)
DESCRIPTION
I.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Moody, James M 51512005
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)
NONE (No such repmtable gifts.) -
SOURCE DESCRIPTION
1.
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
·Page 1of25 Moody, James M 51512005
VIL INVESTMENTS and TRUSTS -income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
If not exempt from disclosure (2) (I) (I)(!) (2) (2) (4) (5)
Place "(X)" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value Value Gain Identity of from prior disclosure buy, sell, Month-Code I div. rent. or Code 2 Method Code 2 Code buyer/seller
(A-H) int) (J-P) Code 3 Day (J-P) I (A- (if private merger, redemption)(Q-W) m transaction)
DNONE (No reportable income, assets, or transactions)
!. JAMES M. MOODY
2. One Bank A Interest K T
3. Bank of America A Interest J T
4. Regions Bank A Interest J T
5. AR Fed. Credit Union, LR B Interest L T
6. Cash/Money Mkt. Funds D Interest K T
7. Very Special Tea Room (See Comnient 1, Sec. VIII) None
Place"(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Identity of Gain from prior disclosure Code 1 div. rent. or Code 2 Method buy, sell, Month- Code 2 Code buyer/seller
Code3 merger, Day I (A-(A-H) int.) (J-P) (if private redemption) transaction)(Q-W)
Pu!. Cnty. Children's Hosp. A Interest J T
38. Heber Springs School District A Interest J T Buy 8/18 J
GOV.BONDS:
40. Fed. Home Loan Mtg. Corp. B Interest L T
41. CORPORATE BONDS:
42.
43.
General Motors
MANAGED FUTURES
None L T
44. MS Spectrum Tech None J T Buy 6/1 J '
45. MS Spectrum Currency None J T Buy 6/1 J
46. ACCT A (See Comment 2, Sec. VIII):
47. MUNICIPAL BONDS:
48. Ar Dev Fin Auth SFMR A Interest J T
AR Zero Coupon None K T
50. Greene Cty, AR Housing B Interest K T
51. LR, AR Baptist Medical c Interest K ·r
52. Pul Cnty, AR Children's Hosp. B Interest K T
53. Union Cnty, AR Housing B Interest K T
AR Div Fin Auth SFM Ser B B Interest K T
.•· . B ··. . . :.µ., :. • ··
·o .. ,ooo
· · · T = Cash!Market
J"$t;oo.o;ooci·;·
:. \ .b "";;$$q'ti,001i $1;69,0,0,pq
.
4iP. e ilii\ rit :,;; ri, iifo ted
>n Iti ,···
ss;ooti,q 1 $ 5.ooo,ooo
cashMarket
E
. ...
s . . . ..
'w
. . = $5,00)c$J?,OOO
: . . . ,_ .. ·: ·_:;, :--
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 4 of25 Moody, James M 51512005
-- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)VIL INVESTMENTS and TRUSTS
A.
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
55. Pu!. AR Hlth. Fae. Catholic
56. UA-Fay Var Fae
57. AR Div Fin Auth SFM Ser B
58. Bentonville, AR Schools
59. West Fork, AR School Dist.
60. AR St Dev Fin Auth SFMR
61. Jonesboro, AR Res Housing
62. Wynne, AR School Dist 9
63. AR St Dev Fin Auth SFMR
64. Drew Cty, AR School Dist 5
65. Rogers, AR School Dist
66. Brookland, AR School Dist
67. Springdale, AR School Dist
68. Booneville, AR School Dist
69. Heber Springs AR School District
70. Springdale AR School Dist. 050
71. LR, AR Baptist Med Center
72. ACCTC (See Comment 3, Sec. VIII):
B. Income during
reporting period
(!)
Amount Code 1 (A-H)
B
B
B
B
A
A
A
B
B
B
(2)
Type (e.g. div. rent. or int.)
Interest
Interest
Interest
Interest
Interest
None
None
None
Dividend
None
Interest
None
Interest
None
Interest
Interest
c. Gross value at end of reporting period
(I) (2)
Value Value Code 2 Method (J-P) Code 3
(Q-W)
K T
K T
K T
K T
K T
K T
K T
L T
K T
L T
K T
L T
K T
D. Transactions during reporting period
(I) If not exempt from disclosure
(2) (3) Type (e.g. Date: Value buy, sell, Month- Code 2 merger, Day (J-P)redemption)
Redeem 6/4 K
Redeem 2/2 L
Redeem 112 J
Redeem 212 K
·•
Buy 8/18 K
Buy 1/29 L
Buy 1/29 L
(4) (5) Gain Identity of Code buyer/seller I A- (if private m transaction)
:"· ·0 •·.o .• _'.'.o.·_:q;_•'o_··•.·.o. _fas;o_._ci_o_·.· •o_·_&t>.• 1!2 ii $5080000 -_, ·_--7 -·$·2· ·5·0.;. ••.··o' x ' · $is;(]61 $st>;d{)o L ·•··· ·$ ()-,(]p1 $1oo;iioq':[: ·$5 8,olli- l;ooo.000 1'r"' $·\;o()(),ooic$s,ilq(),()&o
"'$10"6 kil1ru1s 9.oii():aoo =A ;t\;ent >L.: T
V
1 m
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
51512005Page 5 of25 Moody, James M
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)VII. INVESTMENTS and TRUSTS
A.
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
73. Activision, Inc.
74. IACCT-Ll.C:
75. Red River Farm
76. IACCT5 (See Comment 4, Sec. VIII):
77. Cash/Money Market Funds
7S. Wyeth
79. M icrosoft Corp.
so. Fed Home Loan Mortgage
SI. Aetna, Inc.
S2. Allstate Corp.
S3. Ambac, Inc .
S4. Office Max (formerly Boise Cascade)
S5. BP Amoco (formerly BP PLS ADS)
S6. Bristol M yers Squibb
S7. Chubb
SS. Conoco/Phillips
S9. CVS Corp.
90. Diamond Offshore Drilling
B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period
(1) (2) (I) (2) (I) If not exempt from disclosure (2) (3)
Amount Type (e.g. Value Value Type (e.g. Date: ValueCode I div. rent. or Code 2 Method buy, sell, Month- Code 2 (A-H) int.) (J-P) Code3 merger, Day (J-P)
(Q-W) redemption)
None J T
None M w
A Dividend TS 10/5
A Dividend TS S/25
None TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend TS S/25
A Dividend Sell 4/27 J
(4) (5) Gain Identity of Code buyer/seller
(A- (if private n-.msaction)
B
•. .=:s1.00;6c11.,$f;o(\ii;qoo:•. . · . .•. •. · .. M re a: ·•u_ 1:_._:_ :•$__i_••· ........' ·0·0;1,..$., .0 · ; •.nl .. · _ O'O· .... · . •· . ··• r;f. . l o .O· . .·, · a ··· · •<) i>2 =; ss,ooo;oo.i $25,oOo;ooo P4 ·
. R =e:q6 i (Rea1Esiliie:onty) . s .. "'Cash/Market·· .""Oilier W :: Esfo))i..tc;d .
=•O!her
.
(!)
::; ·1µ More.t!iM•s ,OOCf,OOO
·•t
(e.g.
95.
(4 ) (5)
.FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 6 of25 Moody, James M 51512005
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including tmst assets)
(I) (2) (!) (2) Ifnot exempt from disclosure
(2) (3) TypePlace "(X)" after each asset exempt Amount Type (e.g. Date:Value Value Identity of Value Gain buy, sell, Month-from prior disclosure Code 2 Method buyer/sellerCode I div. rent. or Code 2 Code
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting ·· Page 7 of25 51512005Moody, James M
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS
A. B. Income during
Description of Assets reporting period (including trnst assets)
(1) (2)
Place "(X)" after each asset exempt Amount Type (e.g. from prior disclosure Code 1 div. rent. or
(A-H) int.)
109. TXU Corp. A Dividend
llO. Verizon Communic ations A Dividend
ll l. W alt Disney Co . A Dividend
112. Wells F argo & Co. A Dividend
ll3. Citigroup, Inc. A Dividend
ll4. Flextronics None
115. Int'! Business M achines A Dividend
116. JP Morg an Ch ase & Co. A Dividend
117. Kimberly Clark Corp. A Dividend
ll8. Merck&Co. A Dividend
ll9. Merrill Lynch & Co. A Dividend
120. Public Service Ent. A Dividend
121. Roche Holdings A Dividend
122. Alco a, Inc. A Dividend
123. Glaxo Smith Kline A Dividend
124. Glob al S ant a Fe Corp. A Dividend
125. Jones App arel Group A Dividend
126. Pfizer, Inc. A Dividend
c. Gross value at end of reporting period
(1) (2)
Value Value Code 2 Method (J-P) Code3
(Q-W)
D. Transactions during reporting period
(1) lf not exempt from disclosure
(2) (3) (4) Type (e.g. Date: Value Gain buy, seU, Month- Code 2 Code merger, Day (J-P) I (A-redemption) J.f\
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
T8 8/25
(5) Identity of buyer/seller (if private transaction)
s5,Qdi'1sfa.ooo · E
··· ,.. .·· o,ooo··
D.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 8 of25 51512005Moody, James M
--income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) Vil. INVESTMENTS and TRUSTS
A.
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
B.
Income during reporting period
(I) (2)
Amount Type (e.g. Code I div. rent. or (A-H) int.)
c. Gross value at end of reporting period
(I) (2)
Value Value Code2 Me\ hod (J-P) CoCle 3
(Q-W)
(I)
Type (e.g. buy, sell, merger, redemption)
Transactions during reporting period
If not exempt from disclosure
(2) (3) (4) (5) Date: Value Gain Identity of Month- Code2 Code buyer/seller Day (J-P) I (A- (if private
H) transaction)
127. PNC Financial Services A Dividend T8 8/25
128. SBC Communications A Dividend T8 8/25
129. Unilever None T8 8/25
130. Total Fina J T Buy 3/25 J
131. Total Fina (same acct as above) A Dividend T8 8/25
132. Clear Channel Comm. J T Buy 3/23 J
133. Clear Channel Comm. (same acct as above) A Dividend T8 8/25
134. 1ACCT6 (See Comment 4, Sec. VIII):
135. Johnson & Johnson A Dividend T8 8/25
136. Cash/Money Market Funds A Dividend T8 8/25
137. Dover Corp. A Dividend T8 8/25
138. Freddie Mac A Dividend T8 8/25
139. Liberty Media None T8 8/25
140. Liz Claiborne A Dividend T8 8/25
141. Markel Corp. None T8 8/25
142. MBNA Corp. A Dividend T8 8/25
143. McDonald's Corp. A Dividend T8 8/25
144. Mercury General A Dividend Sell 2/2 J
W =Est[plaieil:
(2)
(J-P)
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
·Page 9of25 Moody, James M 5/5/2005
VIL INVESTMENTS and TRUSTS -income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
If not exempt from disclosure (2)(!) (I) (1)
(4)(2) (3) (5) Type (e.g.Place "(X)" after each asset exempt Date:Value Gain Identity of Amount Type (e.g. Value Value buy, sell, from prior disclosure Month-Method Code buyer/sellerdiv. rent. or Code 2 Code 1 Code 2 merger, DayCocle 3int.) (J-P)(A-H) (if private I (A-redemption)(Q-W) transaction)H'\
145. MGIC Investment Corp. A Dividend TS S/25
146. Morgan Stanley Dean Witter A Dividend TS S/25
147. Pfizer, Inc. A Dividend TS S/25
14S. Target Corp. A Dividend TS S/25
149. Viacom, Inc. A Dividend TS S/25
150. Wells Fargo & Co. A Dividend TS S/25
151. American Int'! Group A Dividend TS S/25
152. Auto Data Processing A Dividend Sell 4/26 J
153. Comcast Corp. None TS S/25
154. Costco Wholesale Corp. A Dividend TS S/25
155. Kraft Foods, Inc. A Dividend TS S/25
156. Merck&Co. A Dividend TS S/25
157. Microsoft Corp. A Dividend TS S/25
15S. Mohawk Industries None TS S/25
159. Waste Management, Inc. A Dividend TS S/25
160. Berkshire Hathaway None TS S/25
161. Charter One Financial None Sell 516 J
162. First Data Corporation None TS S/25
(VF#
'1";2
(!) (2)
·.·· .· A •·,,;Mor ·p1aji:$ ,ooo,ooo
$Hi
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 10 of25 Moody, James M 5/5/2005
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS
B. c. D.A. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period ( including trust assets)
Code I Code2 Code merger, DayCode3int.) (J-P) (A-H) A-(J-P) I (redemption)(Q-W) J.f\
T8 8/25NoneInteractive Corp. 163.
164. Nokia
165. Walgreen
166. Willis Group Holdings
167. Intuit
168. Intuit (same acct as above)
169. Taiwan Semiconductor
170. Taiwan Semiconductor (same acct as above)
171. Baxter, Int.
A Dividend
A Dividend
A Dividend
A Dividend J
A Dividend
None J
None
None J
T
T
T
Sell
T8
T8
Buy
T8
Buy
T8
Buy
4/21
8/25
8/25
5/20
8/25
3/15
8/25
3/24
J
J
J
J
172. Baxter, Int. (same acct as above) None T8 8/25
173. .Fiserv, Inc. None J T Buy 4/19 J
174. Fiserv, Inc. (same acct as above) None T8 8/25
175. France Telecom SA None J T Buy 613 J
176. France Telecom SA (same acct as above) None T8 8/25
177. Fuji Photo Film Co., Ud. None J T Buy 613 J
178. Fuji Photo Film Co., Ltd. (same acct as above) None T8 8/25
179. 1ACCT7 (See Comment 4, Sec. VIII):
180. Cash/Money Market Funds A Dividend T8 8/25
. . .
... · •· 0,900
,,,,$5;.
TT .13iiok:
> :B/ ;,; < .-. .,: · :c··· ·$.rn·a,00H$1;()09·;1ioa·· 'l · c 56 ,00JC$1,bdd;OOO·
(1)
:• :ss:<loH ft900 •:():'<
$1. o•
. . ·: .. ·.:.·· .. :. ·.
· · . !St op11s2j500 ·
(I) (2)
. . ·. ·. Mor ;
(J-P)
. -'I>2.:.:·ss;ooo;oo:1"$2$;000,o�o . .
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 11of25 51512005Moody, James M
VIL INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
B. c. D.A. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reportii1g period (including trust assets)
lfnot exempt from disclosure (l) (2) (2) (3) (4) (5)
Place "(X)" after each asset exempt Value Value Type (e.g. Date: Value Gain Identity of Amount Type (e.g.from prior disclosure Code 2 Method buy, sell, Month- Code 2 Code buyer/sellerCode I div. rent. or
int.) (J-P)(A-H) Code 3 merger, Day (Q-W) redemption)
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 15 of25 Moody, James M 5/5/2005
- income, value, trauscatioas (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS
253.
A.
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
BAE Systems
B. Income during
reporting period
(!) (2)
Amount Type (e.g. Code I div. rent. or (A-H) int.)
A Dividend
c. Gross value at end of reporting period
(!) (2)
Value Value Code 2 Method (J-P) Code 3
(Q-W)
D. Transactions during reporting period
(!) (2)
Type (e.g. Date: buy, sell, Month-merger, Day redemption)
Sell 11/9
Ifnot exempt from disclosure
(3) (4) (5)
Value Gain Identity of Code 2 Code buyer/seller (J-P) (A- (if private
H) transaction)
J B
254. BP Amoco J T
255. BT Group J T
256. Banco Bilbaovizcaya A Dividend J T
257. Banco Santander Cen J T Merger 11/18 J
Baxter Int, Inc. J T258.
259. Bayerische J T '
260. Bell South Corp. A Dividend J T
261. Berkshire Hathaway, Inc. J T
262. Office Max (formerly Boise Cascade) A Dividend Merger 1111 J . .
263. Brasil Telecom J T
Bristol Myers Squibb Co. A Dividend J T264.
265. CIT Group, Inc. A Dividend J T
266. Centrals Elec Brasileiras J T
267. Chubb Corp. A Dividend J T
268. Citigroup, Inc.-Sec. K T
269. Clear Channel Communications J T
270. Coca-Cola Co. A Dividend K T Buy 11118 K
. ..····.s' . . '""
w
·······•<••a
"'''< > .K·
.. j)!} "+v·
p
: H:·: :i 8 : 00 n
N $N19i :.lii111
(I)
· ·' · ·. · R ··'· '¢. ·� , IB:�· 1i s a�¢· ··· : =Q1her ..
9/3
sso;ooo;tqo· S =,;A s ss'm 1t .. ·· · .·.. ,T =Cash!M#i<et
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 16of25 Moody, James M 51512005
VIL INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including tmst assets)
If not exempt from disclosure (2) (I) (2) {l)
(2) (3) (4) (5) Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A -H)
Type (e.g. div. rent. or int.)
Value Code 2 (J-P)
Value Method Code 3 (Q.W)
Type (e.g. buy, sell, merger, redemption)
Date: Month-Day
Value Code 2 (J-P)
Gain Code l (A-1-T)
Identity of buyer/seller (if private transaction)
271. Comcast Corp. J T
272. Conoco Phillips A Dividend J T
273. Costco A Dividend J T
274.
275.
CVS Corp.
Deutsche Telekom
A Dividend
J T
Sell
. 12/8 J
276. SellDuke Energy Co. A Dividend J
277. Walt Disney Co. J T
278. Dover Corp. A Dividend J T
279. Dow Chemical Co. Dividend J T
280. DuPont EI DeNemours & Co. c Dividend J T
281. E.onAG A Dividend
282. El Paso Corp. J T
283. Electronic Data Systems Corp. J T
284. Fed Home Loan Mortgage A Dividend
285. Federated Dept. Stores J T
286. First Data Corp. J T
287. Fiserv, Inc. J T
288. Freddie Mac A Dividend
::. ' ><>.
: ·=· .... . . .. . =····,o·
Sell 1119 J
Sell 9/27 J
Sell 9/27 J
""$5,0QJi• 1\900
$5,POP,001';$25,ooo,ooo
I
(2)
.FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 17of25 Moody, James M 51512005
VII. INVESTMENTS and TRUSTS - income, value, transcations ( includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
If not exempt from disclosure (I) (2) (!) (2) (1)
(3) (4) (5) Place "(X)" after each asset exempt Type ( e.g. Date:Amount Type ( e.g. Vaine Value Value Gain Identity of from prior disclosure buy, sell, Month-Code l div. rent. or Code2 Method Code2 Code buyer/seller
(A-H) int.) (J-P) Code3 Day (J-P) (A- ( if private merger, redemption) J.T)(Q-W) transaction)
289. France Telecom SA None Sell 9/23 J
290. Fuji Photo Film Co., Ltd. None Sell 919 J
291. General Motors Corp. K T Buy 10120 K
292. GlaxoSmithKline J T
293. Goodyear Tire & Rubber None Sell 1115 J
294. Halliburton Co. A Dividend K T
295. Hewlett Pakcard Co. J T
296. Hitachi Limited A Dividend J T
297. IAC Interactive Corp. J T
298. IBM Corp. A Dividend J T
299. lNGGroep J T
300. International Paper Co. J T
301. Intuit, Inc. J T
302. J. Sainsbury J T
303. J.P. Morgan Chase & Co. K T
304. Johnson & Johnson, Inc. A Dividend J T
305. Jones Apparel Group, Inc. A Dividend J T Buy 11/17 K
306. Kimberly-Clark Corp. A Dividend J T
(A-
(1) (2) (2) (I) (5)
.FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 18of25 Moody, James M 51512005
VII. INVESTMENTS and TRUSTS --income, value, lTanscations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trnst assets)
(I) If not exempt from disclosure
(2) (3) (4) Place "(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Identity of Value Gain
from prior disclosure Code 1 div. rent. or Code2 Method buy, sell, Month- Code2 Code buyer/seller (A-H) int.) (J-P) Code3
(Q-W)
merger, redemption)
Day (J-P) 1 m
(if private transaction)
307. Koninklijke J T
308. Kraft Foods, Inc. J T
309. Kroger Co. None J T
310. KT Corp. A Dividend Sell 11/17 J
311. Lafarge SA. None J T
312. Lexmark Int. Group None J T
313. Liberty Media None Sell 11/2 J
314. Limited Brands, Inc. None J T
Liz Claiborne A Dividend Sell 912 J315.
316. Loews Corp. A Dividend Sell 913 J
317. MBNA Corp. None J T
318. MGIC Investment Corp. A Dividend J T
319. Markel Corp. None J T
320. Marks & Spencer None J T
321. Matsushita Elec. Ind. D Dividend J T
322. McDonalds Corp. A Dividend K T
323. Merck & Co., Inc. None J T
324. Merrill Lynch & Co. A Dividend J T
It
(4)
I:U .;Mori;ti131i: $,990,ooo ·: sioo; .56'.ooci·
(1) (2)
332.
333.
334.
335.
337.
339.
·:-:=.:·· ., ·.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 19of25 5/5/2005.Moody, James M
VII. INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
B. c. D.A. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including tmst assets)
(2)(1) (2) (1) not exempt from disclosure
(3) (5) Place "(X)" after each asset exempt from prior disclosure
Microsoft Corp. 325.
Amount Type (e.g. Value Code 1 div. rent. or Code 2
(A-H) int.) (J-P)
c Dividend J
Value Method Code 3 (Q-W)
T
Type (e.g. buy, sell, merger, redemption)
Date: Identity of Value Gain Month- buyer/sellerCode 2 Code
(if private Day (J-P) l (A-H'I transaction)
326. Micron Technology, Inc.
327. Mitsubishi Tokyo Fin. Group, Inc.
328. Morgan Stanley Dean Witter
329. Mohawk Ind., Inc.
330. Neenah Paper, Inc.
331. Nippon Telegraph & Telephone
None J T
None J T
A Dividend Sell 1113 J
None J T
None J T
A Dividend Sell 10/8 J
336.
Nokia Corp. None J T
Office Max, Inc. J T
PNC Bank K T
Petroleo Brasileiro SA J T
Pfizer, Inc. B Dividend J T
J TPortugal Telecom
Dividend K T338. Public Service Enl Group, Inc. A
J TRepsolSA
340.
341.
342.
Roche Holding, Ltd.
Safeway, Inc.
SBC Communications, Inc. A
None
Dividend
J
J
T
T
Sell 912 J
· •··
·. ',. ss. (}q;g i,s25,o o;opo
= Cas1if1'1arJ.<et ·
(I)
(e.g.
(J-P)
343.
344.
345.
349.
353.
359.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 20 of25 Moody, James M 51512005
VII. INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
If not exempt from disclosure (!) (2) (2) (I)
(2) (3) (4) (5) Place "(X)" after each asset exempt Value Value Type (e.g. Date: Value Gain Identity of Amount Type from prior disclosure buy, sell, Month-Code 1 div. rent. or Code 2 Method buyer/sellerCode 2 Code
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
51512005Page 21 of25 Moody, James M
- income, value, transcations {includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VIL INVESTMENTS and TRUSTS
A.
Description of Assets {including trnst assets)
Place "(X)" after each asset exempt from prior disclosure
361. ToysR Us
362. UST, Inc.
363. Unilever NV
364. Unisys Corp.
365. Verizon Comm.
366. Viacom, Inc.
367. Volkswagen AG
368. Walgreen Co.
369. Washington Mutual, Inc.
370. Waste Management, Inc.
371. Wells Fargo & Co.
372. Wyeth
373. Xerox Corp.
374. Daimler Chrysler AG
375. Global Santa Fe Corp.
376. Willis Group Holdings, Ltd.
377. Flextronics Int., Ltd.
378. 2ACCTI (See Comment 6, Sec. VIII):
B.
Income during reporting period
(!) (2)
Amonnt Type (e.g. Code 1 div. rent. or (A-H) int.)
None
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
c. D.
Gross value at end of Transactions during reporting period reporting period
(1) (2) {l) If not exempt from disclosure
(2) (3) (4) (5)
Value Value Type (e.g. Date: Value Gain Identity of Code 2 Method buy, sell, Month- Code 2 Code buyer/ eller (J-P) Code 3 merger, Day (J-P) 1 tA- (if private
(Q-W) redemption) 1-1\ transaction)
Sell 919
J T
J T
J T
Sell 10/18 J
J T
J T
J T
K T Buy 10/14 K
Sell 9/3 J
K T
J T
J T
J T
J T
J T
J T
· · .: . .: · · . · · . ::· . . ·· .· ,.
='$$Qo,00J:$1,ooo;poo .Pl . . .
y
=Co L(ReMtstate. ily).
. w
y
379.
394.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
Page 22 of25 5/5/2005Moody, James M
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VIL INVESTMENTS and TRUSTS
D.A. B. c. Income during Gross value al end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
(I) (2) (I) (2) (I)
Place "(X)" after each asset exempt Amount T pe (e.g. Value Value T pe (e.g. from prior disclosure Code I div. rent. or Code 2 Method buy, sell,
(A-HJ int.) (J-P) Cod e 3 merger,redemption)(Q-W)
If not exempt from disclosure (3) (4 ) (5)
Date:(2)
Gain Identity of ValueMonth- Code buyer/seller-Code 2Day I lA- (if private
m transaction)(J-P)
MONEY MARKET:
380. Money Trust A Dividend J T
381. STOCKS:
382. Chevron Texaco A Dividend J T
383. Intel A Dividend J T
384. First Horizon National Corp. (formerly First Tenn. A Dividend K T National)
385. Sun Trust Banks A Dividend Sell 611 K c
386. American Intl. GP A Dividend Sell 10/15 K D
387. General Electric Co. A Dividend J T
388. Pfizer, Inc. A Dividend J T
389. Duke Energy Corp. A Dividend J T Buy 5/21 J
390. Sotheby's Holding, Inc. None J T Buy 4/16 J
391. MUTUAL FUNDS:
392. 2ACCT2 (See Comment 6, Sec. VIII):
393. MONEY MARKET:
395.
MSDW Liquid Asset A Dividend J T
STOCKS:
396. Fedex Corp. (FDX) A Dividend L T
. .. ··.::· ···: . ·:--.<·
. s ..•
(I) (4)
m
(2) (2)
397.
399.
FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting ,Page 23 of25 Moody, James M 51512005
- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS
B. c. D.A. Income during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (including trust assets)
If not exempt from disclosure (!) (I) (3) (5)(2)
Place "(X)" after each asset exempt from prior disclosure
Intel
United Parcel Service
Type (e.g. Value Gain Identity of buy,
Value Value Date:Amount Type (e.g.sell, Month-rent.CodeI div. or Code2 Method Code2 Code buyer/seller
(A-H) int.) CJ:P) Code3 merger, Day (J-P) I ( A- (if private redemption) transaction)(Q-W)
A Dividend L T
A Dividend Sell 4/1 J B398.
400.
A Dividend J TGeneral Electric
A Dividend Sell 4/1 J AKraft Foods
401. Mattel, Inc. None Sell 1126 J
402. Qualcomm, Inc. A Dividend J T
403. Ultra Petro Corp. None Sell 1/26 J A
404. Wal Mart Stores A Dividend J T
405. Yahoo, Inc. None J T
406. JP Morgan Chase & Co. None Sell 1126 K D
407. Amer. Healthways None J T Buy 1/26 J
MUfUAL FUNDS: 408.
409. MDSW Flexible In.come Trust B A Dividend J T Partial Sell 6/24 J
410. 2ACCT3 (See Comment 6, Sec. VIII):
411. MONEY MARKET:
412. Active Assets Money Trust A Dividend K T
STOCKS:413.
414. Oracle Corp. None Sell 9/28 J B
A.
1-f\
.FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting
5/5/2005Page 24 of25 Moody, James M
-- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)VII. INVESTMENTS and TRUSTS
Description of Assets (including tmst assets)
Place "'(X)" after each asset exempt from prior disclosure
B.
Income during reporting period
(!) (2)
Amount Type (e.g. Code I div. rent. or (A-H ) int.)
c.
Gross value at end of reporting period
(1) (2)
Value Value Code2 Method (J-P) Code 3
(Q-W)
D.
Transactions during n,"Porting period
(I) If not exempt from disclosure
(2) (3) Type (e.g. Date: Value buy, sell, Month- Code 2 merger, Day (J-P)redemption)
(4) (5)
Gain Identity of Code buyer/seller 1 (A- (if private
transaction)
415. Cisco None K T
416. Dell Computer None K T
417. General Electric A Dividend K T
418. Microsoft A Dividend J T
419. Carrier I None J T
Morgan Stanley Dean Witter A Dividend K T420.
421. Dominion Res. A Dividend J T
Lyondell Chemical A Dividend J T422.
MUNICIPAL BONDS: 423.
424. Brazos Cty. Health Faes. A Interest J T
425. Harris Cty. Health Faes. A Interest J T
426. Harris Cty. GO A Interest J T
Tarrant Cty. Health Resources A Interest J T427.
428. MUfUAL FUNDS:
429. MSDW Tax Exempt B Dividend K T
430. 2ACCT4 (See Comnient 6, Sec. VIII):
431. MONEY MARKET:
432. MSDW Liquid Asset Fund A Dividend J T
p<i,000 .;ooo
•,;;- s;q9tJ;<iqi $;!s;oo9;006.
(2)
···:1 :r ;:
>q :=o
+c.:ii((R:da1
(3)
;=M6r : \ :$s,ooo,ooo··
433.
434.
·.· $so6;001-$i;ooo;iio.o
FINANCIAL DISCLOSURE REPORT Date ofReport Name of Person Reporting
51512005Page 25 of25 Moody, James M
VII. INVESTMENTS and TRUSTS - income, See pp. 34-57 of filing insttuctions.) value, LTanscations (includes those of the spouse and dep 'Ildent children.
A.
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
436. !Shares Russell 2000 Growth
437. !Shares Russell 1000 Growth
438. !Shares Russell 1000 Value
439. !Shares Russell Midcap Value
440. !shares S&P Midcap 400 Value
441. !Shares S&P Midcap 400 Growth
442. !Shares S&P 500 Barra Value
B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period
(I) (I)
Amount Type (e.g. Value
CodeI rent. or Code2
(A-H) (J-P)
If not exempt from disclosure (2) (I)
(2) (4) (5) Type (e.g. Date: buy, sell, Month-
Value Value Gain Identity of Method Code2 Code buyer/seller
merger, div.
Code 3 Day I (A- (if private int.) (J-P) (Q-W) J.n transaction)redemption)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Moody, James M
(Indicate part of Report.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS
COMMENT 1: No assets -- retaining public rights only.
COMMENT 2: ACCT A: Managed by Stearne Agee & Leach.
COMMENT 3: ACCT C: Managed by Morgan Stanley Dean Witter.
COMMENT 4: 1ACCT5, 6, 7: Managed by Morgan Stanley Dean Witter. Accounts were closed on 8/25/04 and assets transferred into "1ACCT8" managed by EDI Financial, Inc. NOTE: Under Col. D-1, the legend indicating these transfers is "T8".
COMMENT 5: 1ACCT8: Managed by EDI Financial, Inc.
COMMENT 6: 2ACCT1, 2, 3, 4: Managed by Morgan Stanley Dean Witter.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Moody, James M 51512005
IX. CERTIFICATION.
I certify that all information given above ( including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employ ment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of5 U.S.C. § 501 et. seq.,5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)