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FINANCIAL DISCLOSURE REPORT ]


FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court, E. Tenn. fin. Report Type (check appropriate Wpe) [] Nomination, ~ Initial Date [~ Annual [~ Final

R~o. Required by the Ethics"


in Government Act of I 9 78

(5 u.s.c, app. ,~,~ i61- ~ 0


3. Date of Report 05/0412010 6. Reporting Period 0110112009 to 12/31/2009

I. Person Reporting [last name, first, middle initial) Varlan, Thomas A. 4. Title (A~liele 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U. S. District Judge- Active

5b. [] Amended Re~.rt 7. Chambers or Office Address U. S. District Court 8. On the basis of the information contained in this Report and any modificalioas pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations,

800 Market Street


Knoxville, "Flq 37902 Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this forat must be followed. Complete ull parts,
checking the NONE box for each parl where yon have no reporlable information. Sign on last page.

NONE (No reportablepositions.) POSITION NAME OF ORGANIZATION/ENTITY


Board of Visitors, University of TenneSsee, College of Arts & Sciences

I.

Director

2. Director

Be.arden High School Foundation

I I. AGREEMENTS. m~,ora,,g individual on/y seepp. 14-16 of.lqling instructions,)


~ NONE (No reportable agreements.) DATE PARTIES AND TERMS.

Varlan, Thomas A.

FINANCIAL DISCLOSURE REPORT

~ame of Person Reporting I Varlan, Thomas A.

Date of Report

Page 2 of 9

o51~2oio

III. NO1N-INVESTMENT IN COME. :Re~,or, i,~


A. Fliers Non-investment lncome NONE ~o reportable non-investment income.) DATE
1.

~OURCE AND TYPE

INCOME
(yau~, n~t s~uses)

3.
4.

B. Spouses Non-Investment Income - l/you were married during anyportion of the rzporting),ear, complete tld~ sectio~
(Dollar amour! no~ required except for honora~a.)

NONE (No reportable non-investment income.) DATE


1. 2.

SOURCE AND TYPE

3.
4.

IV. REIMBURSEMENTS - ,,,,,~o~,,,io,.


t htc/ude$ those In spouse and dependem children," see pp. 25-27 t~ffiling inSlntClioos.)

NONE (No reportable reimbursemencs.) ,SOURCE


I. 2.
3. 4. 5.

DATES

LO~ATION

PURPOSE

,ITEMS PAID OR PROV1DED

FINA1NCIAL DISCLOSURE REPORT


Page 3 of 9

.,m~ olPerson Reporting

Varlan, Thomas A.

Date of Repot!

05104/2010

V. GIFTS. ~1,~t~ae, NONE ~o reportable g~s.) SOURCE DESCRIPTION VALUE

2. 3. 4. 5.

I~

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

1, 2, 3. 4~ 5.

FINANCIALDISCLOSURE REPORT Page 4 of 9

Name of Person Reporting I Varlan, Thomas A.

Date of Reporl

0s/0~/20~ 0

NONE ~o reportable income, assets, or transactions.)


D~ription of Asse~ Income during Gr~s v~lue at end [ Transactions during ~ng ~riod

exempt from prior discl~r

Code l (A-H)

div,, rent, or int.)

C~e 2 (J-P)

Meth~ C~ 3

j [

buy, ~11, redemption)

m~d~

C~o 2 j C~e I , O-P) ~ (A-H) ]

buyer/seller (ifprivat~

l, 2. ~3. 4. 5. 6. 7. 8. 9. tO. 11. 12. 13. 14. 15. 16.

AmSoufl~ Bank Accounts Coca Cola Common Stock BB&T Common Slock City of Knoxville Deferred Compensation Program (457) - Fidelity Contrafund - Nationwide Fixed Account - AIM Century Vista Fd. - NAt Gartumura To. Return ~:und D -FcdUS Gtsc Fad 2-5Yrs. - New Intl. Val Inst. S vc, - New Bar Genesis Fund - American Funds Growth Fund of America Wachovia Securities - IRA I - Evergreen US Govt. - Alliance Bcmstcin Growth & Income Fd. CI.C
-

B B A A

lnter~st Dividend Dividend Dividend

L L J

T T T Closed Sold Sold Sold Sold Sold Sold Sold Sold 02/06/09 02t06/09 : 02106109 02106/09 02/06109 02106109 02/06/09 02106/09 02/06/09 02106/09 02106/09 02106109 02/06/09 02/06/09 M K K J J J J J J L J J J J A A A A B B B A B B A B

Dividend

Closed Sold Sold Sold Sold

t
!7.

Allianz NJF Small Cap Value Fund CL-C

- Dreyfus Premier Worldwide Growth Fd. Ci, C

Income Gain Codes: (See Cotumns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Melhod Codes ~ See Colmnn C2)

A ---$ | .000 or less F --$50.001 - $100,000 J =$15,000 or less N =$250.001 - $500,000 P3 =~25,000,001 - $50.1)00,000 Q =Appraisal U =B~ok Value

G =$100,001 - $ 1.000,000 K =$15.001 - $50.000 O ~$500.001 - $1.000.000 R ~.Cost (Ret~| Estate On!y) V ~Other

C =$2.501 $5,DO0 H I =$1,000,O0~t - $5,000.000 l =$50.001 - $100.000 PI =$1,OO0,OO I - $5.O00.0OO P4 ~Mor than $50.000.0OO S ~As~.ssment W = Es!.imatod

D =$5.001 - $15,000 H2 =More than MI ~$100.001 P2 =$5.0~l,OOI T =Cash Market

~ =$ I 5.001 - $ 50.000

FINANCIAL DISCLOSURE REPORT


Page 5 of 9

r~.me of Person Reporting

Date o| Repot!

wrl.., Thomas A.

0S/04/2010

NON~ ~o reportable income, ~sets, or transactions.)

~,
~s~iption of Asse~ (i~lading ~ as~)

~.
Income during ~ning period

c.
[ Gross value at end ] of~poning period

-b~ .....................................
T~nsactions during ~ning peri~

exempt from prior disclosure

Code I ~ div., rein,

~ Code 2

~ Mefl~

buy, sell,

m~d~yy C~ 2 ] Code 1

buyer/~ller

I 8. - ~ton Vm~cc Growth Tr. Wofldwid~ Hcal~h Scicncc ~d. C 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. - ~vcrgrccn O~ga Fd. Cl. C - Fidelity Advisor Ser. I Mid-Cap Fd. CI. C - Ivy Fd. European Opportunities Fd. CI. C - Goldman Sachs Core U.S. Equity Fd. CI. C - Pin, co High Yield Fund C1. C - Seligman Communication & Information Fd. Inc. CI. D - VK Emerging Growth CL. C Wachovia Securities llL, k 2 - Evergreen" Omega Fd. C1. C - Goldman Sachs Tr. Growth Opps. Fd. CI. C - John Hancock Invt. Tr. 11 Small Cap. Equity Fd. C - Ivy Fd. European Opportunities Fd. C1. C UBS - UBS Retirement Money Fund U.S. Savings Bond Tennessees BEST Prepaid Tuition Accounts A A Interest Interesl J J T T A Dividend A Dividend

Sold Sold Sold Sold Sold Sold Sold Sold Closed Sold Sold Sold Sold Closed Sold

02/06/09 02/06/09 02106/09 .I

J J

A A A A B B A A

02106/09 K 02/06/09 02/06/09 02/06/09 02/06/09 02/06/09 02/06/09 02/06/09 02/06109 02/06/09 02/06/09 02/06/09 J .1 J J K J J J J J J

A A A A

I. Income Gain Codes: 2, Value C~ (See Colmnns CI and 03)

A =$1,000 err |wss J ~$15~ or less N =$250,001 - $500.000

B =$1,001 - $2,500 K =$ } 5,~1 - $50,~ O

C --5;2.501 - $5,000 L =$50,~1 - $ I ~.~

D =$5,001 - $15.000 M =$1 ~,~ I - $250,0~

(See Column C2)

U =~k Val~

V ~ther

W =E~timm~

VII. INVESTMENTS and TRUSTS -i..o.,eo ~o~.., ,...~aaio., a.~.~., a,o~. ~f.ro... ..d ~.p..~.,,~ ~i~z.,.~ ,,~ ~.

N ONE (No re~rtable income, assets, or transactionsO


A. D~iption of Asse~ (including ~ a~) Pbc"(~"dter~ch~et B. Income during r~ing ~6~ AmountI V~(e.g., C. Gross value at end ~ of repoSing ~riod Vatu Value Code3 ~(i:~ ozinL)(J-P) V~e(e.g., mdrmptlon) D. Tran~ctio~ during re~ing ~ri~

Da~e [ Value I Gnin ] [demi~of [ 0-p) I (A-H) . ~i~p~va,e

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45, 46. 47. 48. 49. 50. 5!.

Strategic Po~fo]io ~c~ice Advantage IRA 1 - Fidelity Adv. Strategy Income - UMB Scout Stock - Fideltiy Advisor New Insights - AM Century Equity Income - Fidelity Advisors Float Rt - Franklin Mutual Discovery - American Century Diversified Bond - Amcricm~ Century Heritage - Franklin Mutmal Discovery - American Century Equity tneome - Fidelity Advisors New Insights - American Century Heritage - UMB Scout Stock - American Century Diversified Bond - Fidelity Advisor Float Rt, - Fidelity Advisors Strategy Income

E A A A A . A A A A A A A A A A A A

Divided Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

M J J J J J J J J J J .I J J J J J

T T T T T T T T T T T T T T T T T

Open Buy Buy Buy Buy Buy Buy Buy Buy Buy (addl) Buy (addq) Buy (addl) Buy (addl) Buy (addl) Buy (addI) Buy (addl) Buy (addl)

02106/09 02/26/09 02126/09 02/26/09 02/26/09 02/26/09 02126109 02t26/09 02/28/09 03113!09 03/13/09 03/13/09 03113/09 031t3109 03/13/09 03/| 3/09 03/13/09

M J J

J ,I J J J J J J J J J J J

I. Income Gain Codes: (Sc Columns B l and D4) 2, Value Co~s {See Caktffmg CI arid D3) 3. VaM Method Codes (Sec Column C2)

A =$1,000 or less F =$50,0fl I - 2100,000 J =~15.000 o" less N =2250,00! - SS00.000 P3 =$25,000.001 - 250.000.000 Q ~Appraisal U -Book VaJ~c

B =21.00! . $2.500 G =2100,0~1 - $1.000.000 K =$15,0~1 - $50,000 O =$500.001 - $1.00~.000 R --Co*t (Real Estate Only) V =~Dther

C =$2.501 - $5,000 H I =~$I,000,00l - $5,000,00~ L =$50,~N)1 - $100,000 Pt =$1.000,[KH - $5.000,000 P4 =Mo~ than $50,000,000 S ~Asses~n~nt W =Esthnate~

D =$5.001 - $15.000 H2 =Morn than $5.0{~0,000 M =$100.0~t - $250.000 P2 =$5.000.001 T =Cash Markcl

E =~}5.001 - ~SO.O00

Name of Person Reporting

Date of Report

PageFINANCIAL7 of 9 DISCLOSURE REPORT

Varlan, Thomas A.

05t04/2010

VII. INVESTMENTS and TRUSTS - ino.,e, v.t.e, ~.~*e~.. and.de, a, os. oy~ .... a dependent d~ildren; see pp. 34-60 offiling i~truclio,lS.)
NONE ~o reportable income, assets, or transactions3

~.
D~Hpfion of A~ets (including ~st ~sets)

~.
Income during m~ning period

c.
~ Gr~s value at end ! of~iag

I
[

D.
Tmnsactio~ during reporting period

"-

iB ........ --~S .... ~ .... ~ ...... ~~) ........ ~i ........ [-1~ I ~il ~ r, ..... ~ Idenli~
. C~e I1 div., ~nt, (A-H) orinl.) ~ C~e2 (J-P) Meth~ C~e3 (Q-~ T T T J J l J J J J J J J J J T T T T T T T T T T T T buy, sell, rMemption) ]m~d~ ~ Code2.1 C~e I [ Buy (addl) Sold Sold 09/I 1/09 0911 I D9 12/30/09 12/30/091 02/26/09 02~6/09 02/26/09 02/26/09 02/26/09 02/26/09 02/26/09 02/26/09 02/26/09 02/26/09 02/26/09 J J J J J J J ~ i (J-P) ~ (A-H) 1_ ] J J J l A A A buyedseller (irprivate ~nsaction)

exempt from prlor disl~ure

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66.

- Fideli~ Advi~r Float Rt. - American Cen~ Heritage - American Cena~ Heritage - American Cen~ Diversifi~ Bond Strategic Advantage Se~i~ Pogfolio IRA 2 - Franklin Mutual Discoveq - U MB Scount Stock - Fidelity Advisors Strategy Income - Araerican Century Equity Income - Fidelity Advisors Float Rt. - Fidelity Advisors New Insights - American Century Diversified Bond - An+eriean Century Heritage Strategic Portfolio Service Advantage, SEPflRA - Ishares Russell 3000 Index Fund

A A A A A A A A A A A A A A A

Divided Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J

(pan)
Sold (pa~) Open Buy Buy Buy Buy Buy Buy Buy Buy Open Buy

I. Incan+m Gain Codes: (See Columns B l ~ ~) 2. Value C~s (See Columns C I aria D3) 3. Value Meted ~s {~ Col~nn ~)

A =$ | .000 or less F =$50,0~1 - $100,~0 J =$15,~ or ~ N =$250,~1 - $5~,~0 Q =Ap~l U =~k Val~

B =$ 1,00 G =$1~,~1 - $ I .~,~ K ~15,~1 - $5~ O =$5~,~ I - $1,~0,~0 R =C~ (Real Estme ~ly) V =Other

H I =$ l .~0.~ 1 - $5,~0,~ L =$50,~ [ - $100,~ P 1 ~$1 .~.~ ~ - $5,~,~ S =Asse~mcnt W =Estimal~

H2 -Morn th~ $5.~,~ M =$100.~ I - ~250.~0 P2 =$5,0~,001 - $25,~.~ T ~a~ M~ket

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting

Date of Report

o5/o~2o,o

[ Varlan, Thomas A. VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT N~ ofPer~n aepor~ng Page 9 of 9 Varla,,, Thomas A.


IX. CERTIFICATION.

D~,e of ~epor,
05/0412010

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. ! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7353, and Judicial Conference regulations.

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)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544