I

Rev. ti20~O

AO ~0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
~. Court or Organization 12.1). KY. 5a. Report Type (check appropriate ty~) ~ Nomination. ~ Final ~b. ~ Amended Report Dale

R~,o,-t Req,,J,~d ~.. n,~ ~:i~,i~.~

in Government Act q] 1978

(~ u,s.c, o/,p. ,~,+" ~o~-~ ~ ~

3. Date of Report 04..30,;2010 6, Reporting Period 01,"01,"2~9 12/3 I,2009

1, Person Reporting Oasr name, first, middle initial) Hood. Joseph M. 4. Title (Al#iel Ill judges indicate active or senior s[an~s; magislmlc judges indicat~ full- or pard-lime) U.S. Dislrict Judge (Senior) ~ Initial ~ Annua!

7. Cha~nhers or O~fice Address P.O. Box 2227 Lexington, KY 40588-2227

8. On the basis of the infiwmalion cootained in this I modifications pertaining thereto, it is, ~,- wi~h applicab ....... ~nd regula0"

IMPORTANT NOTES: rl~e ins~r.c~io.s actomr.,,....~

m~st be followed. Complete all parts,

checMng the NONE box for each part where you have tto reporta~ne ipfi)rmation. ~qigtt on laxt page.

NONE (No repot-tablepositions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4, 5.

Board of Managers Direclor Director Direclur

Diederich Educational Trust Federal Judges Accociation St. Joseph Hospilal Foundation SL Joseph Berea Hospital Foundation

NONE ~No reportable agreements.) DATE PARTIES AND TERMS

Hood, Joseph M.

FINANCIAL DISCLOSURE REPORT Page 2 of 1 0

[ N .....fP ..... Reporting ] hood, Joseph M.

1)ate of Report

04/30,:_~0

Ill. NON-INVESTMENT INCOME. (Reporting indlvldual and sp .......

A. Fliers Non-Investment Income
NONE (No reportable non-investment income.) DATE
1.02~07,2009 ~2 ~i~ - Midnight Stakes Raffle Fundraiser Wmner

: see pp. 17-24 oJfillng instructionx.)

SOURCE A~ TYPE
S25,000.00

INCOME
(yours, mgt Spouses)

3. 4.

B. Spouses Non-Investment Income - cfr,,~ were married during a~portion of the reporOng year complete thi~ section.
(Dollar ~nottnt n,~t required exc~pt.fitr honoraria.)

NON (No reportable non-investment income..) DATE SOURCE AND TYPE

2. 2009 3. 4.

Proctor

IX". REIMBURSEMENTS --,,~..,-po,,.,i,,.. Ioari..~,~,,,,a. e.,e.~i ...... ,.

Hmlude~tho.~e to spouse ~ld dept~;r.lenl children,: see pp. 2.%27 o/.fili~g ittslrtttlions.)

NONE ~b reportuble reimbursements.) SOURCE

I. F.1A

DATES
5/02,2009 5~03/2009

LOCATION
Washington, DC

PURPOSE
Borad Meeting

ITEMS PAID OR PROVIDED

Housing, Travel & Meals

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Reporting

[N~ofr~ .... [ Hood, Joseph M.

[

04/3{1/2010
Date of Rel[~or~

V. G! FTS. a,,,,~,u~ t~,,,.~ ,o ,~ .......... ~ ~,,~,,,~,,, ,.~,~,: ~.~ ,~. 2s-s ~ q/~,,~. NONE (No reportable g~/?s.) SO~
1. 2. 3. 4. 5.

DESCRIPTION

VAL~

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

3. 4. 5.

] 04/30/20 I Hood, Joseph M. I VH. INVESTMENTS and TRUSTS - i.~om,. ~.t,,. , ......... ,io.,~ (Includes ,h,,.se of sp ........ d dependent children: see pt,. 34-60 t~/ filing in
NONE (No reportable income, assets, or transactions.) A Description of Assets B. [ncol~3e during C. Gross vaItte at end D. Transactions during rcp~ning period Value Date rom/dd;yy Code, 2 (J-P) Gain Code t (A-H) ldcnlib of buyer/seller fifprivatc transaction t

FINANCIAL DISCLOSURE REPORT Page 4 of I 0

Name of Person Reporting

Date of Reporlr

Placc "1X I" Mter each asset ,:xempt fiom prior disclosure

Amount Ct~te I tA-I!I

Type tc.g., div.. rent, ormtA

Value ,(_e.dc 2 ~J-Pl

Value Mclhod Code3 {Q-W) T T T

l-ypc {e.g.. buy, sell. redemption)

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. I I. 12. 13. 14. 15, J6. 17.

Fifth Third Bank, Lexington, KY Checking Fit:th Third Bank, Lexington, KY Checking ix) Metlife lnvs Ins Co Ins Prod Jol"~n Flancock Litb Ins Co Lincnln National Lil~ Ins Co I" de tv 1 westmcnts "~~i~" ~l -Ash!and Irtc New -Fidelity Money Market ~Fidelily US Govt Reserves -Fidelity Leveraged Company Stock Fd -Fidelity Levcraged Company Stock Fd -Fidelity Lcveraged Company Stock Fd -Fidelity t,everaged Company Stock Fd -Fidelity China [legion -Fidelity Dividend Growth Fund -Fidelity i)ividendGrowth Fund -Fidelity Dividend Growth Fund

A A

Inlerest Interest None None None None ,

3 ,I 3

Redeemed ,1 L J T T T Buy

06/I 0/09

A A A A

Dividend Dividend Dividend Dividend None None None

02/02/09

Sold J T Buy (addl) tSuy (addt) Buy addl) J J T T Buy Buy Bny (addl) Buy (addt)

10/12/09

.I

06702/09 08/04/09 I0/I 2.i09 10/12/09 06:O2/09 J 08/I)4/09 10112/09

A A

Dividend Dividend None None

FINANCIAL DISCLOSURE REPORT Page 5 of 1 0

, Name of Person Repot,rag ~Iood, Joseph M.

Date ofRepo|t

04/30/2010

VI L INVESTMENTS and TRUSTS - i ........ ,~,~, t ...... tions (Includes those of s/muse at~d dependettt child ....... pp. 34-60 t~ff!li,tg itlstructlon,v.)
NONE (N~) reportable income, assets, or transactions.) A, Description of Asscis (it)Clu(ling trust assets) Ph~cc "(X)" after each assel exempl from prior disclosure B. Income during
re.fling period

(! (2) Amount Type (c.g., Code I : (li~., ~nl. A-tt~ or h~l.)

C. Gross value at end of reposing period (I) (2) Value Value Method : Code 2 (J-P Code 3 (Q-W) J T

D. Transactions during reporting period (IJ

Ty~x (e.g..

b ~y, sell, redemption)

12) Dale mn3/dd;)y

(3} {4.1 Value Gain Code 2 Code I (.l-P)

151
Itlcnlily

baycr,,nctlcr mm~action)

18, 19. 20, 21. 22. 23. 24. 25, 26. 27, 28. .

-Fideliw. High Income -Fidelity High Income -Fidelity Select Materials Por~lblio -Fidelity Select Materials Porttblio -Fidelity Select Materials Portfoliu -Fidelily Small Cap Stock Fund -Fidelity Small Cap Stock Fund -Fidelity Small Cap Stock Fund -Fidelity Value Fund -Fidelily Value Fuud -Fidelity Value Fund -Janu~ Overseas Fund

Dividend None

Buy.. Buy (addl)

06~"~,09 08,04/09 06/02/09 08/04/09 10/12/09 06/02/09 08/04/09 1012/O9 06/02/09 08/04/09 10/12q)9 06/02/09 08/04/09

J J J J ,1 J J .I .I J ,I J .J

Dividend None None None None None

Buy Buy (addl) Buy (addl)

Buy Buy (addl) Buy (addJ)

Dividend None None I

Buy Buy (addl) Buy

Dividend None None

Buy Buy (addJ)

130.Janus Overseas Fund ~ ~ 3 I. 32, 33. 34. . Fidelity 1RA -Fidelily Cash Reserves -Fidelity US (io,,4 Reserves -Fideliiv Leveraged Company Stock Fd A A A

J J

T T Sold 04/02!09

Dividend I)ividend Dividend

FINANCIAL DISCLOSURE REPORT Page 6 of 1 0

VIi. INVESTMENTS and TRUSTS .. i, .......
~ NONE

~ .... f P ..... Reporting Hood, Joseph M.

Date of Repot,

04/30/2010
pp. 34-60 of f!li,tg itt~truclion.~.)

,.~. , ...... .,i,,.,,. a,,,,~,,a,,, ,ho~,~ ,[.,~ ......... a aep~,ae,, ,.hi~,~ .........
B. C, D

hVo reportable
A.

income. assets, or transactions.)

(I)
exempt th>m prior disc}osur Code I

(2)
div_ tom,

~ I ~
Code 2

i2]
Method

~ ~ )
buy. s~Jl.

(2~
mm.ddiyy

~3 ~
Code 2

(4)
th3de I

(5,
h.ycr/sellcr

tQ-W) . 35. -Fidelity Leve,aged Company Slock Fd -FMelity Leveraged Company Stock Fd 3,. 38. 39. 40. 41. 42. 43. 44. 45. 46. 471 48. 49. 50. 51. -Fidelity Lm.eraged Company Stock Fd -Fidelity China Regiou -Fidelity Dividend Growth Fund -Fidelity Dividend Growth Fund -Fidelity Dividend (iruwth Fund -F~delity Iligh Income -Fidelity High Income -Fidelity Select bfaterials Por~tblio -Fidelity Select Materials Portlblio -Fidelity Select Materials Portfolio -Fidelity Snmll Cap Stuck Fund -Fidelity Small Cap Stock Fund -Fidelity Small Cap Stock Fund -Fidelity \ralue Fund -Fidelity Value Fund A A A A A None None None Dividend Dividend None None Dividend None Dividend None None None None None Dividcnd None J T ,l T J " 7 T J T J .! l T Buy Buy (add1) 06/02/09 J J .! J d .I J ,I J

nansaclion)

08/04/09 (addl) Buy (addl) Buy Buy Buy (addl) Buy Buy Buy (add!) Buy Buy (addl) Buy (addl] laIuy Buy (addl) Buy {addl) Buy Buy (addb

10/19/09 10/12/09 06/{)2/09 ()~/04/09 11)/12/09 06."02./{)9 08i04/09 06./02/t)9 3 08/04."09

li 10/12/09 t)6/02/09 08/04/09 ] .I

IO.."l 2/0~11 .I 06/02/09 ! .I 0g104/09 J

FINA.1NCIAL DISCLOSURE REPORT Page 7 of 10

N ..... otPer.~o,, rel,orli,,~ ~ooa, Joseph M.

04/30/20

Vii. INVESTMENTS and TRUSTS-~ ......... ~ ........... ao..,, o.~.t.a.s a, o~ , ~, ........... d tlependent childre. see m,. 3d-6O oyjilit,g l
NONE (~Vo reportable income, assets, or transactions.) A. Dcscriplion of Assets
(itlcl~Jding lltlSl assels)

Hacc "{X)" after each asset exempt l?om pr~or disclosure

~, Income dfiring reporting period (I) ~2) Amount Type (c.g. Code I div.. renL IA-I{~ or i~ J

C Gross value at elld of reposing period ~1) (2) Value Value Code 2 Mclhod (J-P) Codc 3 (O-W)

D. Tcansactions during roporlillg period II) Type (e.g.. buy. sell. redemption) ~2) {3~ ~4) Date Value Gain mm.ddiyy (ode 2 Code 1 (A-H) O-P) 15) buycrscllcr (ifprlvatc transacfio~O

52. 53. 54. 55. 56. 57. 58. 59~ ~ 60. ~61. 1 62. i 63. i ~. ] 65. ~ 66. 67. ~ 68.

-Fidelity Value Fund -Janus Overseas Fund -Janus Overseas Fund Fidelity IRA #2 Spouse -Fidelity Cash Reserves -Fidelily US Govt Rese~es -Fidelity Leveragcd Company Stock Fd -Fidelilv Leveraged Company Stock Fd -Fideiily Le~emged Company Stock Fd -Fidelity Leveragcd Company Stock Fd -Fidelity Chin~ Region -Fidelity Dividend Growth Fund -Fidelity Dividend (irowlh Fund -Fidelity Dividend Growlh Fund -Fidelity High Income -Fidelity Itigh Income -Fidelity Select Materials Porllbtio A A A A A A A A

None Dividend .None None Dividend Dividend Dividend None None None Dividend Dividend None None Dividend Non~ Dividend J T J T J J T T J T .I J T T 3 T

Buy (addl) Buy Buy (addl)

10/12/09 06/02/09 "1 08/04/09 J

Sold

~/02/09

Buy (addq) Buy (addl) Buy {addl) Buy Buy Buy (addl) Buy {addJ) Buy Buy (addl) Buy

06/02/09 08,"04/09 10/12/09 10/12/O9 06/02/09 08/04/09 10/12/09 06/02/09 08/04/09 06/02,"09 J J

FINANCIAL DISCLOSURE REPORT

N ..... fp ..... R,~|,n~,in~

Hood, Joseph M.

aa,,~,,f.~,o,
04~30/20i 0

Page 8 of 10

V i 1. ! N E S TM E N ~l S a n d TR U STS .- i, ........ ~,~. t ........ io,,.v (Includes those of,~p ....... d dependent child ........... pp. 34~60 ,,filling b,strttctiO
NONE ~Vo reportable income, assets, or transactions.)
Description of Assets ~ including lrtlsl ;issels) Place "(X 1" after each asset excmpl from prior disclosure h)come during re.fling peri(~l I 1) Amounl Code I tA-HI (21 Type (e.g., div.. rent. or inl.) Gross value al end of rcp~mng period (1) Value Code 2 eJ*P~ i2) Value Me~hod Code3 (Q-W) (1) Type (.g., ony. sOL rcdemonon~ Transactions dinins repo~ing period 12~ t31 Date Value mm/dd/yy Code 2 Li-P] (4) Gain Code I (A-H)

Identity buyer/sdler (ifpnvalc nansacuon)

60. 70. 71. 72. 73. 74. 75.

-F~ddily Selecl Materials Portfolio -Fidelity Select Malerials Po~lblio

None None None None None Dividend None ..J T k T

Buy [addF) Buy (addJ) Buy Buy (addl) Buy (addT} Buy Buy (add[I Buy (addl] J T Buy Buy (addl) Closed

08~04/09

10/12709 06/02/09 [08/04/09 [ 10] ~09 ., ~, 06/02/09 08,04/09 10/12/09

J J J

-Fidelity Small Cap Stock Fund -F~delity Small Cap Stock Fund " -Fidelity Small Cap Stock Fund -Fidelity Value Fund -Fidelity Value Fund

76. 77. 78. 79.

-Fidelity Vulue [~md -Jat~us Overseas Fund -Janus Overseas Fund Fidelity ~state Account

None A Dividend

06/02/09 08/04/09

J J

None _-None

01/13,"09

FINANCIAL DISCLOSURE REPORT

Page 9 of ] 0

] Name of Person Reporting

[ Hood, Joseph M.

Date of Report 04/30,2010

Viii. ADDITIONAL INFORMATION OR EXPLANATIONS. a,aica,~p,,r,o~Rel, or,.)

FINANCIAL DISCLOSURE REPORT Page 10 of l 0 IX. CERTIFICATION.

] N ......
I

[e ..... Rl~pOF||l|g

D~|~ of Report

Hood, Joseph M.

04130/2010

I certify that all information given above (including information pertaining to my spouse and minor or depeudent children, if any~ is accurate, trne, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisi~ns permitting non-disclosnre, I further certify thai earned income from outside employment and houoraria and the acceptance of gihs which have been reported arc in compliaaee with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.SoC. 7353. and Judicial Conference regulatiuns.

NOTE: ANY INDIVIDUAl, WHO KNOWINGI,Y AND WILFUI,I,V FALSIFIES OR FALLS "|O FII,E THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAl, SANCTIONS (5 [LS.C. app. 104)

FILING INSTRUCTIONS Mail s~gned original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United Stales (ourts Suite 2-301 One Columbus Circle. N.E. Washington. D.C. 20544