Professional Documents
Culture Documents
1/2011
Report Required b) the Ethics in Government Act ofl978 (5 U.S.C. app..~ I01-111)
[] Initial
7. Chambers or Office Address U. S. District Court 800 Market Street Knoxville, "IN 37902
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.
Re~dcwing Officer
Date
IMPORTANT NO TES: The instructions accompanying this form must be followet Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
I. 2. 3. 4. 5.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of fillng instructions.)
~ NONE (No reportable agreements.)
DATE
Varlan, Thomas A.
III. NON-INVESTMENT INCO ME. (R,po,~,g i, dlvid,,I,,d spo,se: seepp. IZ-2 of~li, g
A. Filers Non-Investment Income ~] NONE (No reportable non-investment income.)
DATE
INCOME
(yours, not spouses)
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
V. GIFTS. a, cl,~es ,hos, ,o spouse u,d de~.d,,, child,~.; s~e pp. 2S-31 of filing instructions~)
NONE (No reportable g~s.)
SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancl,,~e~ ~ho~ o/spo~se ond d~,en~n, children; see pp. 32-3J of filing in~tructlon&)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3.
4.
DESCRIPTION
VALUE CODE
5.
AmSouth Bank Accounts Coca Cola Common Stock BB&T Common Stock U.S. Savings Bond Tennessees BEST Prepaid Tuition Accounts Strategic Portfolio Service Advantage IRA -I - 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 - American Century Heritage - Franklin Mutual Discovery - American Century Equity Income - Fidelity Advisors New Insights
B B A A A E A A A A A A A A A A A
Interest Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
K L J J J M J K K K K K K K J
I. Income Gain Codcs: (See Columns B I and D4 ) 2. Value Codes ISce Columns CI and D3) 3. Value l.lclhod Codes (See Column C2)
A -$1,000 or Icss F -$ 50.001 - $ 100.000 J =SI 5.0(~ or less N =$250.001 - 5500.000 P3 -525.000.001 - $50.00~.0~1 Q =Appraisal U = t3~k Value
B =$1,001 - $2.500 G =$ 100.001 - $ 1.000.000 K =$15.0OI - $50.000 O =$50~.001 - $1,0~0.000 R =~ost {Real Estate Only) V =Other
C =52.501 o $5,000 I I I =$ 1.000.001 - $ 5.000.000 L =550.001 - 510~.000 PI =51.000.0~1 - 55.000,000 P4 =More Ihan $50.00~.000 S =Asscssmcn! W =Estimated
D =$5,001 - $15,0~0 112 ~M ore Ill,an M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.00~ T -~?ash Markc~
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS -income, value, transactions tlncludes those of spouse and dependent children; see pl~ 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust asse~) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (t) (2) i Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end
(Q-W) 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. - American Century Heritage - UMB Scout Stock - American Century Diversified Bond - Fidelity Advisor Float Rt. - Fidelity Advisors Strategy Income - Fidelity Advisor Float Re. - American Century Heritage - American Century Heritage - American Century Diversified Bond - Putnam Absolute Return 100 Strategic Advantage Service Portfolio IRA -2 - Franklin Mutual Discovery -UMB Scout Stock - Fidelity Advisors Strategy Income - American Century Equity Income - Fidelity Advisors Float Rt. - Fidelity Advisors New Insights A A A A A A A A A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Distribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J J J J J T T T T T T T T Merged 01/02/10 (with line 13) Merged 01/02/10 (with line 8) Merged 01/02/10 (with line 13) Merged 01/02/10 (with line I 1) Merged 01/02/10 (with line 7) Merged 01/02/10 (with line I I) Merged 01/02/10 (with line 14) Merged 01/02/10 (with line 14) Merged 01/02/10 (with line 13) Buy 02/16/10 J J J J J J J J J J A A A A A A A A A
transaction)
I. Income Gain Codes: (See Columr~s BI and 1)4) 2. Value Codc~ (SeeColumnsCI and D3) 3. Value Method Codes ISee Column C2)
A =$1.000 or less F =$50.001 - $100,000 l =515,000 o les~ N :$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Bc~k Value
B =$1.001 - $2.500 G =$100.0OI - $1.000,000 K =$15,001 - 550.000 O $500.001 - $1.0~0.000 R -~:ost (Real l~tale Only) V =O~hct
C =$2.501 - $5.000 I II =$1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =51.000.001 - 55.000.000 P4 ~More ihan 550.000.000 S =Assessment W =Estimated
D =$5.0OI - $15.000 112 =More than $5.000.000 M =5100.001 - $250.000 p2 =55.000.001 - $25.000~) T =Cash Market
E =515.1)01 - $50.000
VII. INVESTMENTS an d TRUSTS - i.co,ne, vot,,e. ~a.$actlo~ (Includes those ofspoase and dependent children; see plx 34-60 of filing instraction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including ~mst assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (I) (2) [ Amount Type (e.g., i Code I div., rent, ] (A-H) or int.) I C. Gross value at end ofrrponing period (I) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/ddhyy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
- American Century Diversified Bond - American Century Heritage - Putnam Absolute Ret 100 Strategic Porlfolio Service Advantage, SEP/ IRA - Ishares Russell 3000 Index Fund Varlan Revocable Living Trust
A A A A A
J J J
T T T Buy 01/15/10 J J J A A
Merged 01/15/10 (with line 28) Merged 01/15/10 (with line 28)
M
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (See Columns Cl and D3) 3. Value Method Codes (See Colmnn C2)
A =$1.000 or less F -$50.001 - $100,000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50,00).000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.001 - $50.1)00 O =$500.001 - $1.000.000 R =:Cost (Real Estate Only) V =O~her
C =$2..501 - $5,000 It I =$1,000,001 - $5.000.000 L =$50.001 - $100,000 PI =$1.000.001 - $5,000,000 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5.001 - $15.000 112 =More Ihan $5.000,000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T -~2ash Markc~
E =$15,001 -$50.000
! 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 kno~ledge and belief, and that any information not reported was ~vithheld because it met applicable statutory provisions permitting non-disclosure.
I 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)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
~0 IO Rev. 1/2011
Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..~;.~" 101-111)
I. Person Reporting (last name, first, middle initial) Varlan, Thomas A. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
[] Initial
5b. [] Amended Report 7. Chambers or Office Address 8. Off 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
Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where.rou have no reportable information. Sign on last page.
D
I. 2. 3. 4. 5.
II. AGREEMENTS. t~,po,i,g i.ai~ia.~t o.ty; s,, pp. 14-16 of firing instructions.)
J-~ NONE (No reportable agreements.)
DATE
Varlan, Thomas A. A
III. NON-INVESTMENT INCOME. tRepo~ng individual and spouxe; see pp. 17-24 of filing instruction.~)
A. Filers Non-Investment Income ~ NONE(No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-Investment Income - If you were married during any portion of the reporting )ear, complete this section.
(Dollar amount not required except for honoraria.)
[~
NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
2. 3.
4.
5.
V. GIFTS. anct,,des those to spo~e ,,nd de~,endent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1.
DESCRIPTION
VALUE
2. 3.
4.
5.
Vl. LIABILITIES. ancl,,d~ those o/spo~e ,,nd de~,endent children; see pp. 32-33 of filing instructions.) NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VI I. INVESTMENTS and TRUSTS - income, value, t~a,~a.lo~ (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
Description of Assets Income during
(2)
Type (.g.,
] Code I [ (A-H)
Code 2
(J-P)
Method
Code 3
(Q-W) I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. AmSouth Bank Accounts Coca Cola Common Stock BB&T Common Stock U.S. Savings Bond Tennessees BEST Prepaid Tuition Accounts Strategic Portfolio Service 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 - American Century Heritage - Franklin Mutual Discovery - American Century Equity Income - Fidelity Advisors Newlnsights B B A A A E A A A A A A A A A A A Interest Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend K L J J J M
J
T T T T T T
T
K K K K K K K J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes IScc Columns CI and D3) 3. Value Method COdes (See Cohtmn C2)
A -$1,000 or less F $50.001 * $100.00O J =$15.000 or less N $250.001-$500.000 P3 =$25.000.0OI - $50.000.000 Q :Appraisal U =Book Value
B =$1,001 - $2.500 G =$IO0.OOI - $1.000.000 K =$15.001 - $50.000 O=$500.001.$1.000.000 R ~Cos! tRcal Estate Only) V :Olher
C =$2,501 - $5,000 Ill =$l.000.0OI - $5.000.000 L =$50.001 - $100.000 p I =$1.0OO.001 - $5.000,000 P4 =More than $50.000.000 S =As~ssme~! W :Eslima~cd
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.0OI - $250.0~1 P2 =$5.0~O.0OI - $25.000.000 T =Cash Market
E =$15.001 - $50.000
V II. INVESTMENTS and T R U STS -incom,, ,.alum, ~o~actlo~ anciud~ thos~ o/spouse and dependent children; see pl~ 34-60 of filing instructions)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period l (1) i Amount [ Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value al end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-|I) (5) Identity of buyer/seller (if private transaction)
I
!
18. 19. 20. 21. 22. 23. 24. 25. 26. 27.
- American Century Heritage - UMB Scout Stock - American Century Diversified Bond - Fidelity Advisor Float Rt. - Fidelity Advisors Strategy Income - Fidelity Advisor Float Rt. - American Century Heritage - American Century Heritage - American Century Diversified Bond - Putnam Absolute Return 100
A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Distribution Dividend Dividend Dividend J T
Merged (with line 13) Merged (with line 8) Merged (with line 13) Merged (with line I l) Merged (with line 7) Merged (with line I I) Merged (with line 14) Merged (with line 14) Merged (with line 13) Buy
01/02/10 OI/02/lO 01/02/10 01/02/I0 01/02/10 01/02/10 01/02/10 01/02/10 01/02/10 02/16/10
J J J J J J J J J J
A A A A A A A A A
Strategic Advantage Service Portfolio IRA -2 - Franklin Mutual Discovery - UMB Scout Stock - Fidelity Advisors Strategy Income - American Century Equity Income
- Fidelity Advisors Float Rt. - Fidelity Advisors New Insights
A A A A A
A A
J J J J
J J
I. lncome Gain Codes: (See Columns BI and D4) 2. Value Cod~ (Scc Columrts CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =515.000 or less N =5250.001 - 5500.000 P3 =$25.000.001 - $50.000.0~0 Q =Appraisal U =[look Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.001 - 550.0(~) O =5500.001 - $1.00~.000 R =Cost (Real l~talc Only) V =O~her
C =$2.501 - $5,000 111 =$1.000,0~1 - $5.0~O.000 L -$50.0)1 - $100.000 PI 51.000.001 - $5.000,000 P4 =More Ihan $50.00~.000 S =Asscssmcnl W =Estimated
D 55,001 - 515.000 112 =More lhan 55.000.000 M =510~).001 - $250.000 P2 =55.000.001 - $25.000.0~O T =Cash [Slarkcl
E =515,001 - $50,000
VI I. INVESTM ENTS a nd TRU STS - i,.co,.e, vat.,,, tra.s~.io.s a.aud.s ,hos~ o/spots. ~.d d,p~.de.t chiU,,.: s~e pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "CA)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period
(i)
Value Code 2 (J-P)
(2)
Value Method
(i)
Type (e.g., buy, sell, ~:temption)
(2)
(3)
(J-P)
(4)
(A-H)
(5)
Identity of buyer/seller
(if private transaction)
Code 3
(Q-W)
35. 36. 37. 38. 39. 40. 41. - American Century Diversified Bond - American Century Heritage - Putnam Absolute Ret IO0 Strategic Portfolio Service Advantage, SEP/ IRA - Ishares Russell 3000 Index Fund Varlan Revocable Living Trust (X) (See Part VIII) A A A A A Dividend Dividend Dividend Dividend Dividend None M W J J J T T T Buy Merged (with line 28) Merged (with line 28) 01/15/10 01/15/10 01/15/10 J J J A A
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codcs (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.000 J =$15.000 or Icss N =$250.001 . $500.000 P3 =$25,00~.001 - $50.000.000 Q =Appraisal U -Book Value
B :$1.001 . $2.500 G =$100.001 - $1.0~0,000 K -$15.001 - $50.00~ O -$500.001 - $1.0~0.000 R :Cost (Real Estate Only) V =Olh...r
C =$2.501 - $5.000 Ill =$1.000,001 - $5.000.00~ L $50.0~1 - $10~.000 PI =$1.000.001 - $5.000.000 P4 =More Ihaa $50.0~0.000 S :Asscssm,"m W :kstimawcd
D :$5.001 - $15.000 112 =More lhan $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T :Cash Market
E =$15.001 - $50.000
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 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)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544