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David C Norton Financial Disclosure Report For 2009
David C Norton Financial Disclosure Report For 2009
David C Norton Financial Disclosure Report For 2009
DIST~cr oF SO~0TH
" HOLLm~S J~ic~ C~
NORTON
TELEPHONE (843)
September 23, 2010 Committee on Financial Disclosure Administrative Office of the United States Courts 2-301 Columbus Circle, N.E. Washington, D.C. 20544 irp Cha erson Baldock: 1 received your letter concerning my Calendar Year 2009 Filing. Here are ~.~spon.~s to inquiries. "Article 5 Trust" and "Article 6 Trust" are listed throughout Part VII of the report. Below is the for each Trust Account: 5 Trust Line 14 - AT&T lnc 22 - Capital World Growth and Income Fd CLA 25 - Chevron Corp 33 - Citigroup Inc 37 - CSX Corp 45 - E I Dupont Co 48 - Eli Lilly & Co 51 - Energy Transfer Partners LP 54 - Exxon Mobil Corp 61 - First Financial Holdings Inc 65 - General Electric Co. 67 - Growth Fund of America CLA 77 - 1BM 102 - Motorola 103 - Motors Liquidation Co. 107 - Norfolk Southern 145 - Wells Fargo & Co New
t ~ ~- -.
6Trust
Line 4 - Alcoa Inc 6 - Altria Group 7 - American Express Co 8 - American Intl Group Inc 10 - Ameriprise Financial lnc 11 - Angen Inc 12 - AOL Inc 13 - AT&T Inc 16 - Bank of America 17 - Bank of New York Mellon Corp 18 - Berkshire Hathaway Inc CL B 21 - Capital World Growth & Income Fd CLA 24 - Chevron Corp 27 - Cisco Sys Inc 28 - Citadel Broadcasting Corp 34 - Coca-Cola Co 35 - Comcast Corp 38 - Dell Inc 39 - Walt Disney Co 43 - Dow Chemical 46 - Eaton Vance Tax Free Fd CLA 47 - Eaton Vance Tax Free Fd CLB 52 -Expedia Inc 53 - Exon Mobil Corp 55 - Fairpoint communications Inc 57 - Federal Home Ln Mtg Corp 58 - Federal National Mortgage Assn 64 - General Electric Co 66 - Goldman Sacks Group Inc 70 - Hartford Financial Services Corp 72 - Hewlett Packard Co 73 - Home Depot Inc 75 - HSN Inc 76 - IAC/Interactive Corp 78 - Idearc Inc 81 - Intel 82 - Interval Leisure Group Inc 83 - Johnson & Johnson 84 - Kimberly Clark 85 - Kraft Foods Inc CLA 91 - MFS South Carolina Muni Bond CLA 92 - MFS South Carolina Muni Bond CLB 95 - Merck and Co Inc New 100 - Microsoft Corp
101 -J P Morgan Chase & Co 106 - Nokia Corp 110 - Pepsico lnc 1 ! 2 - Pfizer/no 113 - Phillip Morris Infl Inc I 14 - Proctor & Gamble 116 - Progress Energy 118 - Safeway Ine New 130 - Texas Instruments Inc 132 -Travelers Companies Inc 133 - Tree Com Inc 136 - Verizon 140 - Washington Mutual Inc 142 - Washington Mutual Investors Fund CLA 144 - Wells Fargo & Co New In Part VII, page 9, line 95 "Merck & Co Inc New" formed from a merger with Sehering Plough Corp on 11/5/2009. In Part VII, page 11, lines 123 & 124 "South Carolina State Deferred Comp Plan" and "South Carolina State Retirement Plan" are managed by the State of South Carolina. The Plan owner does not have control over the investments. Trust # 1 Royal Dutch Shell Lain Farm Allegheny Energy Income A, dividend Value L, cash market Income E, Rent Value D, Cost Income A, dividends Value K, cash market
Fairpoint Communications Income, none Value J, cash market Idearc Inc Income, none Value J, cash market
Lain Farm is located in Johnson County, Indiana. In Part VII, page 11 lines 130 and 132 "Ticketmaster Inc." and "Total Systems Services Inc" were erroneously omitted. They should have been listed as: Ticketmaster Entertainment Corn Income, None Value J, cash market Total Services Inc Income A, Dividend Value J, cash market ed, please do not hesitate to let me know.
5b. [] Amcnd~d R.porl 7. Chambers or Office Address P.O. Box 835 Charleston, $C 29402 8. On the basis ofhe information contained in ~;his Report and ~ny modifications pertmining there~o~ it is, in my pinion, in compliance with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followed Complete ali parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
POSITION
1. Co-Tmslee Trust (Trust # l)
NAME OF ORGANIZATION/ENTITY
2.
Trustee
Article 5 Trust
3.
Trustee
Article 6 Trust
Page 2 of 14
Norton, David C.
08/08/2010
INCOME
(yours, not spouses) $2~,780
B, Spouses Non-Investment Income - if you were married during any porllon of ~A repar~ng ye~r, complete thi~ se~ior~
(Dollar amount not required except for honoraria.)
1. 2009 2. 2009 3. 4.
LOCATION
PU~OSE
5.
V. GIFTS. a,~u~es ~, ~o ~o,~e ~#d do, e,d*nt c~ *e* rp. Z~-~ ~ of ~ ~*.~
NONE ~o reportable g~s.)
~
1.
2.
DESCRIPTION
3.
4. 5.
VI. LIABILITIES. a,,,~de~,ho~c o~ ~o .... ~d ~,~,u~, ~,,~ ~ ~,~,. ~z-~ of ~~,~ ~,~
NONE (No reportable liabilities.) CREDITOR
I.
DESCRIPTION
yALUE CODE
2. 3. 4.
5.
08/0S/2010
NONE (No reportable income, ~sets, or transaction.) D~ption of~ (including ~ a~) Pl~"(X)"~eacha~ exmpt +am mo~ dimlosure ~ ln~om during Gross value at ~d T~n~cfions ~ring ~ng ~ri~ t+nti~of
I. 2. 3. 4. 5. 6. 7.
AES Co+ AFLAC Inc Alcatel-Lucent ADR Alcoa Inc Allianz Life F~nklin Valuema,k A ltria Group American Express Co A A A A
J L J J K J J
T T T T T T T
8+ 9.
10. I I. 12. t3. 14. 15. 16. 17.
None None
Dividend None None Dividend Dividend Dividend Dividend Dividend
.1 J
J J J J J K K J
T T
T T T T T T T T
Sold (part)
06/30/09 J
F =$50,001 - $100,000
J =$15.000 or I~
O =$ I00.001 - $1,000.0~0
K -$15.001 - $50,000
H I =$1.000.001 - $5.000.000
L -$50#01 + $100,000
O -$500.001 - $1,0~0,C~0
R "~o1 (Read Estate Only) V =Other
Pl =$1.000,001 - $5,000.000
p4 ~Moce than 150,000.000 S =Asse~qlt W =Fadmaled
P2 45,000,001. $25,000.0~0
T =Cash Market
Date of Report
No~n, David c. [
081o8/2OlO
VII. INVESTMENTS and TRUSTS - ~nco.~ ~.e, ~.eao.~ a.~..s ,~o~ o/~ .... d d~endent children; see pp. 34-60 of filing
NO~ ~0 reportable income, assets, or tra~actions,)
~"
Descfi~i~ of Ass~ (inclu&ng trust assc~) P]~ ~(X)" a~vach~t ~empt ~m prior di~10s~
~o~
~i~_~.~fiod ~u~t [ T~v(c.g., [~I[ die., ren~ ~ (A-H) [ or inL)
c. ................................... ~: ...................
Gr~s value m ~ of ~ing Val~ C~e 2 (J-P) Value Me~od C~e 3 (Q-W) T T T~ctions during ~po~ing ~ri~
Da~ I Val~ ~ Ga~ II C~ 2 [ Code I [ (J-P) (A-H) [ Identi~ of buyer/~ll~ (if private
~ m~ L
18. 19,
Hone Dividend
J L
20.
21. 22. 23.
A
A A A
Dividend
Dividend Dividend Dividertd
J
K K K
T
T T T
24.
Chevron Corp
B A
A
Dividend Dividend
Dividend None None None
K K
K J J J J K
T T
T T T T T T
A A
Interest Interest
32.
33. 34.
A
A A
Interest
Dividend Dividend
K
J J
T
T T ~
Date of Report
o8/o~/2OlO
3~.
Co~t Co~
Dividend
None A Dividend
None A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend None A A B A Dividend Dividend Dividend Dividend
J K
J J J J J J J J M K K J
T T
T T T T T T T T T T T T
CSX Corp
Dell lnc Walt Disney Co walt Disney Co Walt Disney Co Dover Dow Chemical Dow Chemical E 1 Dopont Co Eaton Vance Tax Free Fund CL A Eaton Vance Tax Free Fund CL B Eli Lilly & Co Eli Lilly & Co
Dividend
None
K
K
T
T Buy 01/28/09 K
[Name
[ No,to., na,td ~.
of Person Reporting
Date of Rel~rt
og/o8/201o
[~ount I T~(e.g..
~ (A-H) ~ orint.)
T~(~.g..
~demption)
I D,~ I V~,~ I G~ I
~ [ (J-P) { (A-H)[
]d~.ti~
(ifpfiva~
52:
Bxp~ia Inc
None
A A
J K J
T T T
56.
57. 58. 59. 60. 6t. 62, 63. 64.
None
None None Interest Dividend Dividend None Dividend Dividend
J
J J O M K
T
T T T T T Merged 04/24t09 i (with line 131) J
K J
T T
65. 66.
67. 68.
B A
A A
Dividend Dividend
Dividend Dividend
K J
K K
T T
T T
(~:C~u~ ~)
U =B~k Vflue
V ~M
W =~i~ted
0S/0Sr~01o
VII. INVESTMENTS and TRU S TS - t.co~e. ..~. ,.a~o~o. a.c~,~ ,~o~ of ~. ~ ~.~.. ~,~..~ ~ ~p. ~o ~/~m.z ~.~.~
~0~ ~o reportable income, assets, or transactio~.)
~~ption of A~ (incl~ng trust a~e~) Pl~(X)~~t In~o~ du~ng ~o~ing ~6~ T~(~.g., Gm~ value at ~d of re~ing ~ri~ V~I~ [ Value T~e(e.g., Transactions during ~porting peri~
~unt
[ ~t
u ~ Gain
IdentiCal
G~dcd ~rapuctics ln Ha~ford Financial S~ices ~ HaRford Ca~lal Appr~iation Fund (IRA) HewleR Packa~ Co Home ~pot Inc Hone~ll Intl Inc HSN Inc IAOlnt~otive C~ ~M
Id~rc Inc
J J M J J J J J L
J
T T T T T T T T T
T
79.
80.
Ideate Inc
Intel (1~) lntel A
None
Dividend
J
K J J J
T
T T ~
Dividend None
Dividend
T T
84.
85.
Kim~dy Clark
Di~dond
Dividend
L t~com Gain Cod~ 2. Valu~ ~ (S~ Columns CI and D3) 3. Valt~ Method Cod~ (See CoJu~n C2)
B =$1.001 - $2,500
C -$2.50! - $5,0~0
D =$5,001 - $15,000
T ==Cash Market
VH. INVESTMENTS and TRUSTS - 1.o,~, .~,e, ~,o,~ao,~ a.a~d~ tho,~ o/~po,~ ~,~ ~po~a~,, ~s~,~; ~~ ~p. ~-~o olm~ ~,~.~
NONE ~o reportable income, assets, or transactio~O A, ~on of ~se~ (i~l~g tms~ ~se~) B. Income during reposing ~fi~ C. Gm~ value at end of r~o~ing ~ri~ D. T~mctio~ ~fing ~o~ng p~
~pt~pfio, disolo~
di .... t, [ ~d2
I Mc~od
buy, s~lt,
Le~ M~n Pa~ers A~essive ~owth FD CL C ~gg M~on Value Trust Inc Lincoln National Corp Linciln National Life Annuity (IRA) A A A
J K J M
T T T T
90. 91.
J K K
J K J
T T T
T T T Merged (with line 16) 01/02!09 J
Buy (addl)
05/27/09 K
L M N J
T T T T
A
A
Dividend
Dividend
J
J
T
T
DateofReport
Norton, ~d c. I
o~8/2olo
VII. INVESTMENTS and TRUSTS -t, eo,,~ ~ai,~o~=~,~a, cl,~,~t~o~o/~eo .... ~e~,t~#~,:~e~
NONE ~o reportable income, assets, or transactions.)
~.
D~ption of~ (including ~t ~) Pla~ )g)" ~Ror ~h ~t exem~ ~ p~r a~losu~
~.
-- ........ c~ ........................................................
Gro~ value at end of ~o~ng Valu~ Co~ 2 (J-P) Val~ Me~od c~e 3 T~ (e.g.. buy, sell, ~emption)
~ ......................................
[ In.me d~ng ] ~ing pefi~ ~ounl / T~ (=.g.. C~e I / div., rent, (A-n) / or int.)
I03. Motors liqui~fion Co, 104. 3M Company A 105. NCR Corp New 106. Nokia Corp 107. Norfolok Southern 108. North Carolina Rental Property 100% Transylvania County, NC 109. Paragon Life Fixed Fund t 10. Pepsico Ine 111. Pfizer Inc 112. Pfizer Inc t 13. Phillip Morris lntl Inc 114. Proctor & Gamble 115. Proctor & Gamble 116. Progress Energy 117. Pumam Tax Smafl FDS Equity FD CI B 118. Safeway Inc New 119. SCANA Corp A A A A A A A A A B A B 13 A
None Dividend None Dividend Dividend Rent None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
K K J J L PI J J J J J K K K M J K
(~ L~)
O ~ V~lue
V~
Da,e af Report
0S/0Z/2010
~ ~ I T~(~.g,
G~ ~ I (A-It)
ld~tiWof (ifpdvate
~ Code3
~ r~pfi~)
120. SCBT
Dividend
! 21. Scherling Plough Corp ! 22. Sruucker Co New 123. South Carolina State Deferred Comp Plan 124. South Carolina State Retirement Plan A A B
l 1/03/09
A
C
Interest
Dividend J T
Matured
06/01/09
A A
Dividend Dividend
None
L J
J J J J J
T T
T T T T T
A A A
134. UTS First TR SPL Situations TR 1559 Dow Target 10 135. UTS FPT Dow Target 10 Feb 09 (IRA) 136. Verizon A A
Sold Buy
01130/09 K 02/02/09 K
Page 12 of 14
I [
I Norton, David C.
~p~or~s~
Ph~e"(X)"~~h~
~mouatI T~(e.g.,
~ction)
137. VeHzon 138. Wachovia 139. Wach0via (IRA) 140. Washington Mutual Ine 141. Washington Mutual Investors Fund CI A 142. Washington Mutual Investors Fund CI A 143_ Washington Mutual Investors 144. Wells Fargo & Co New 145. Wells Fargo & Co New
01102109 01/02/09
J J
B B A A A
10t16/09 10/16/09
(St* Colutans BI rail D4) 2. Value Codes (Sc Cohtmra (21 amt D3)
F ~150.001 - $100,000 J =$1 $,000 ~ less N =$250.001 - $500,000 P:) =$*5,000,001 - $~0,000,000 Q =Appttlsal O ~Book V~fl~
G =$100,001 - $1,000,000 K =$15,001 - $50,000 0 -$500,001. $ 1,000,000 R =:Cc~t (Real gstat Only) V ==OtMr
HI -=$1,000.00t. $5.000.000 L ~$50,0~1 - $ 100,000 PI =$ 1,000,001. $5,000,000 P4 =More than $50,0~0,000 S ~mcat W =Estimated
Page 13 of 14
No.on, David C.
0~/0S/20t0
Explanations for Part Vll. Investments and Trusts I. General Motor~ listed on 2008 Statement. In 2009, name changed to Motors Liquidation, lnc, 2. Trust #1, Lain Farm shown on 2008 Statement is now shown on the atlachmen! sheet listed as Trust #I. 3. The rental property listed in Part VIi, line 108 is located in Translyvania County, North Carolina, USA.
08m/~01o
1 certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. 1 further certify that earned income from outside employment and honoraria and the compliance with the provisions of5 U.S.C. app. 501 et. seq., 5 U.$.C. 7353, in
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILF~iI.Ja~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
Trust # 1
~~ of Allegheny Energy ~ of Fairpoint Communication ~N~NI~I of idearc Inc ~~ of Eli Lilly & Co ~,,,,,~N~ Holdings Inc