arthur r randolph financial disclosure report for 2010

8/3/2019 Arthur R Randolph Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act o f 1978(5 U.S.C. app. §§ 101-111)

1. Person Reporting (last name, f irst, middle initial)

R a n d o l p h , A r th u r R .

4. Ti t le (Art ic le 111 judges indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)

J ud g e - s en i o r s t a t us

7. Chambers or Of f ice Address

U . S. Cour t o f App ea l s /D . C . C i r

3 3 3 Cons t i tu ti on Avenue , N. W .Wash ing ton , D . C . 20001-2866

2. Court or Organization

U.S. Court of Appeals/D.C. Cir

3. Date of Report

8 / 8 / 2 0 ! 1

5a. Report Type (check appropriate type)

] N o m in a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas is o f the in formation conta ined in this Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in comp liancewith applicable laws and regula tions .

R e v i e w i n g O f f i c e r D a t e

6. Repor ting Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instrucaons accompanying this form must be followeK Complete all parts,

checking the NONE box for each part where you have no reportab le information. Sign on last page.

I . P O S I T I O N S . ( R e ~ , o ,a , ,~ individual only; see pp. 9-13 of f i l ing instructions .)

D (No reportable posi t ions. )ONE

P O S I T I O N

I. D ist i ngu i shed Adj unc t Profe ssor o f Law

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

George Mason Universi ty of Law

I I. A G R E E M E N T S . (R e ~ , o ra , g i,a~vla,,t o~tv; seepS,. 14-16 of.filing instructions.)

~ (No reportable agreements . )ONE

D A T E PARTIES AND TERMS



F I N A N C IA L D I S C L O S U R E R E P O R T

of 9

N a m e o f P e r s o n R e p o r t i n g

Randolph, A r t h u r R .

D a t e o f R e p o r t

8/8/2011

I l l . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer’s Non-Investment Incom e

~] NONE non- inves tment income . )N o reportable

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e ’ s )

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - If you were married daring any portion of the reporting year, complete this section.

(Dollar am ount not required except for honoraria.)

~ (N o reportab le incom e.)ONE non- inves tment

1 . 2 0 1 0

2.

3.

4.

DATE SOURCE AND TYPE

Pi l l sbury , Winthrop, Shaw, Pi t tman

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~ (No repor tab le re imbursements . )ONE

SOURCE DATES LOCATION PURPOSE

1 . U n i v . o f Pe n n s y l v a n i a La w 2/26-27, 2010 Phi ladelphia , PA F e d e r a l i s t S o c i e t y Na t i o n a l

S c h o o l S t ud en t S y mp o s i um

2. Drexel Univers i ty 6/2/2010 Phi ladelphia , PA B o ar d o f A d v i so r s ’ Mee t i n g t r anspor ta t ion

3.

4.

5.

ITEMS PAID OR PROVIDED

t ranspor ta t ion and meal




of 9

N a m e o f P e r s o n R e p o r t i n g

Randolph, Arthur R.


8/8/2011

V . G I F T S . a n d u d e s those to spouse and dependent chi ldren; see pp. 2 8 - 3 1 o f f i li n g instruct ions.)

N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o l sp o u s e u n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 2 - 3 3 of f i l ing instruct ions.)

N O N E (No reportable l iabilities .)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUECODE




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~ a m e o f P e r s o n R e p o r t in g

R a n d o l p h , A r t h u r R .


8/8/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i , c o m e , v u l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction&)

[~ N O N E (No reportable income, assets, or transactions.)

2.

3.

4.

5.

6.

7.

8.

9.

1 0 .

1 1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

4 0 1 ( K) - F i d e l i ty A d v . G r o w t h A D i v i d e n d J T

Money Market Acct . - Jt . UBS/Paine A D iv idend S o ld 06 /01 /1 0 J

W e b b e r

M oney M ark e t Ac c t. - IRA - U BS/Pa ine A D iv idend So ld 05 /20 /10 M

W e b b e r

M utual Fund - Lord Ab b e t t Af fd - IRA A D iv idend So ld 06 /01 /10 M

M utual Fund - Wash ing ton M utua l Inves to r s A D iv id en d S o ld 06 /01 /10 M- IR A

M utual Fund - Grow th o f Amer i c a - IRA - A D iv id en d So ld 06/01 /1 0 M

Amer i c an Funds

Ci t iBank M oney M ark e t A Interest K T

M utual Fund - Lord Abbet t - A A D iv idend So ld 06/01/10 J

M utual Fund - VanKampen - Com stoc k A D iv id en d S o ld 06 /01 /10 K

M utual Fund - Inves tment Co . - Am er i c an A D iv idendFunds

401 (K) - Wo r ld Bond Fund - Amer i c an A D i v i d e n dFun d s

401 (K) - G row th Fund - Amer i c an Funds A D iv idend

K

Sold 06/01/10 K

Sold 06/01/10 K

401(K) - M L Pro t ec t ed Fund - B lac k roc k A D iv idendCore

401 (K) - Inc ome Fund - Am er i c an Funds B D iv idend

Sold 05/20/10 J

Sold 05/20/10 K

40 I (K) - P imeo Rea l B D iv idend J T

401 (K) - P imc o H igh Inc ome A D i v i d e n d J T

401(K) - D ur . Inc . Fund - Ea ton Van c e B D iv idend K T

( S e e C o l u m n s C l a n d m ) ~ =$250 ~1- $5~ ~ 0 ~$ 500;~i ~$ i~000,~0 g ~1~;~1 ~5p 3 = S 2 5 ~ o ~ 1 - $ ~ o o o o o o o b~ =~ihan $5o ~0 00o :

3 . Va lue Me tho d C ~ cs Q =Appraisal R ~ 0 S t ( R ~ i ~ t a t C O n l y ) S A A ~ S ~ S S m e n t : : ; T:~h M~k~t :: :: :

(See Column C2) U =B ook V alue V =~h~ W = E~ im a te d




of 9

~ame of Person Report ing

R a n d o l p h , A r t h u r R .

Date of Repor t

8/8/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i u e o m e , v o l u e , t r o n s u c t io , ~ a n c l u d e s , h o s e o / s p o u s e u n d d e p e n d e n t children; see p p . 3 4 - 6 0 o/filing instructions.)

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

1 8 . 401(K) - Grow th & Inc . Fund - Amer i c an A D iv idend So ld 05 /20 /10 K

Funds

1 9 . 401(K) - P imc o Rea l Re t . A D iv idend K T

20 . 401(K) - 1s t T rus t Va l . L ine A D iv idend So ld 05 /24 /10 K

21 . B l a c k ro c k G L B L E n e r g y B D iv idend So ld 05/20/10 J

22 . 401(K) - End Opp . Fund - C ohen & Stee r s A D iv idend So ld 05 /24 /10 K

23 . Pi l l sb ury Re t i r ement Sav ings Pl an A D iv idend M T

24 . Blac k roc k R . Asse t A D iv id en d S o ld 05 /24 /10 J

25 . M L & Co. S t r . ACC - Am Cap . A D iv idend J T

26 . Blac k roc k GLBL Al loc . A D iv idend So ld 05 /20 /10 J

27 . G o ld man S . Sa te l l i te A D iv idend So ld 02/10/10 J

28 . G o l d m a n S . G r o w t h A D iv idend So ld 02 /10 /10 J

29 . Ea ton Vanc e M ul t i A D iv idend S o ld 02 /1 0 /1 0 J

30 . John H anc oc k La rge Cap A D iv idend S o ld 02 /1 0/1 0 J

3 I. Blac k roc k In t . Gov’ t A D iv idend L T Bu y 05/20/10 J

32 . Ci t iban k - Savin g s C Interest K T

33 . 401(K) - U . S . Gov’ t - Amer i c an A D iv idend K T

34 . 401(K) - Shor t T . Bond ÷ Amer i c an A D iv idend L T Bu y 05/20/10 K

(See Col ....C 1 a n d 03 ) N =$2~0 00i: $500,000 O =$500;001 iS i ,0001000 p! =$i~;00! i $~;0~0,~ ~ ~$~ ~ ~! i ~2~i~Q~i : :

P3 =$25,000,001a $501000.000

3. V alue Method Codes O ~ A p p ~ i ~ a i R --Cost (Rea! Es ta~e

O n l y ) S :

mn C2 ..... V = Othe r W =Estimated ..........................See Co u ) U = Bo o k Va ue = ? = ....




of 9

N a m e o f Pe r s on R e po r t i ng

R a n d o l p h , A r t hu r R .

Date of Report

8/8/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v . i , e . .r . n s o c t i o . s ana.des those olspo.se and dependent children; see p p . 3 4 - 6 0 of filing instructions.)

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

35 . 401 (K) - Ea to n Van ce - F lo a t in g A Divid en d J T

36 . 401(K) Fidel i ty - Float ing A Divid en d J T

37 . 401(K) - Bond Fund - John H . Inv . A Divid en d J T

38 . 401(K) - Gov’ t Goldman Sac hs A Divid en d J T

39 . 401(K) - Advisor Fidel i ty A Divid en d J T So ld 02 /10 /10 J

40 . 401(K) - Advisory Fidel i ty A D i v i d e n d J T So ld 0 g / t 9 / 1 0 J(part)

4 1. M ut ual Fun d - N ATX o IR A A Divid en d K T Bu y 06/01/10 K

4 2. M utua l Fund - Ea ton G lob a l - IRA A Divid en d L T Bu y 06/01/10 L

4 3. M utua l Fund - Fi r s t Eag l e - IRA A Divid en d K T Bu y 06/01/10 K

4 4. M utua l Fund - S i l ve r T rus t - IRA A Divid en d K T Bu y 06/01 /1 0 K

4 5. M utua l Fund - S i l ve r T rus t IRA A D iv id en d So ld 11/05/10 K

4 6. M utua l Fun d - Ca lamo s Co n v- IRA A Divid en d K T Bu y 06/01 /1 0 K

4 7. M utual Fund - Ivy Asset - IRA A Divid en d L T Bu y 06/01 /1 0 L

4 8. M utua l Fund - Sun Am - IRA A Divid en d K T Bu y 08/03 /1 0 K

4 9. M utua l Fund - Am Centu ry Bond - IRA A Divid en d K T Bu y 08/03/10 K

50 . M utua l Fund - Ea ton Emerge - IRA A Divid en d K T Bu y 11/05/10 K

51 . M utua l Fund - JP T ax Free - JT A D iv idend K T Bu y 06 /01 /10 K

2. V alue C odes J = $15 ,000 o r le ss K = $1S ;00i ’ $5 0,0 00 = $i 00 , 00 i : $250~ ~

(SeeC ....C a n d D 3 ) N =$250 001 ~ $500 000 6 g SS00~ 00i ! $ i i~ 0 000

m = s 2 5 , o o o . o o ~ - s s o ,o o o ; o o o3. V alue Method Codes q = A ppraisal S ~A S~ssm e nl

( see Co lumn c2) u = Bo 0k Va lue W ~Es t imated




of 9

N a m e o f P e r so n R e p o r t i n g

Randolph, Arthur R.


8 1 8 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l n e , ~ a n s a e t io n s a n c i n d e s t h o s e o l s p o n s e a n d d ep end en t ch i ld ren; s ee p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )

~] NONE income, a ssets , or transactions.)eportable

52 . M u t u a l F u n d - S u n A m - A A D i v i d e n d K T Bu y 06/01/10 K

53 . M ut ua l Fun d - E a t o n G l o b a l - A A D i v i d e n d K T Bu y 06/01/10 K

54 . M u t u a l F u n d - F r a n k l i n T OT . - A A D i v i d e n d K T B uy 06/01/10 K

55 . W e s t e r n A s s e t M k t . F un d A D i v i d e n d N T B uy 11/18/10 N

56 . M u t u a l F u n d - Pu t n a m A D i v i d e n d K T B uy 11/30/10 K

57 . M u t u a l F u n d - S u n A m S e n i o r A D i v i d e n d K T Bu y 11/30/10 K

58 . M u t ua l F u n d - E a t o n E m e r g e A D i v i d e n d K T B uy 11/30/10 K

59 . M u t ua l F u n d - T e m p . G l o b a l A D i v i d e n d K T Bu y 11/30/10 K

60 . M u t u a l F u n d - Ea t o n T a x A d v A D i v i d e n d K T B uy 11/30/10 K

61 . W e s t e r n A s s e t M k t . F un d A D i v i d e n d S o l d 12/03/I0 M

62 . 401 ( K ) M ut ua l F un d - C l ea r B r i d g e A D i v i d e n d K T B uy 06/24/I0 K

63 . 4 01 ( K ) - T o r to i se M L P A D i v i d e n d J T B uy 07/27/10 J

64 . 4 0 I l K) - EKS POR T S t a r s A D i v i d e n d J T B uy 10/07/10 J

65 . 401(K)-BankofAm. A D i v i d e n d J T B uy 08/26/10 J

66 .

67 .

I. In com e O ain Codes: A =$1 .000 o r la ss B =$t,001 - $2,500 C =$2.501 - $5,000 D =$5.001 - $15,000

ISe e C o lum n s BI and D4 ) F =$50,001 - $100,000 G =$100,001 - SL000,000 [ t I =$ 1. 00 0. 00 1 - $5 ,0 00 ,0 00 H 2 = M o re th an $5 ,0 00 .0 00

2. V alue C odes J = $15 .000 o r le ss K =$15.001 - $50.000 L =$50,001 - $ 100.000 M = $100.001 - $250.000

( Se e C ol um ns C 1 a nd D3 ~ N =$2 50 .0 01 - $5 00 ,0 00 O =$500.001 - $1.000.000 P 1 =$1,000,001 - $5,000,000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =M ore than $50.000.000

3. V alue Method Codes Q =Appr a is a l R =Cost (Real Es tate Only) S =As s es s men t T = C a s h Ma rke t

(Se e C o lum n C 2) U =B ook V alue V = Othe r W = Es t im a te d

E =$15,001 - $50.0~0



FINANCIAL DISCLOSURE REPORT

P a g e 8 o f 9

Name of Person Repo rt ing

R a n d o l p h , A r th u r R .

Date of Repor t

8/8/2011

VII I. A D D IT IONA L INF ORM A T ION OR E X PL A NA T IONS. (lndicatepan of report.)



F I N A N C I A L D I SC L O S U R E R E P O R T

of 9

Name of Person Report ing

R a n d o l p h , A r t hu r R .

Date of Report

8 1 8 / 2 0 1 1

IX. CERTIFICATION.

i c e r t i f y t ha t a l l i n f o r mat i o n g i ven ab o ve ( i n c l ud i n g i n f o r mat i o n p e r t a i n i n g t o my sp o use an d mi n o r o r d ep en d en t ch i l d r en , i f an y ) i sa c c u ra t e , t ru e , a n d c o mp le t e t o th e be s t o f my kn o w le d g e a n d be l i e f , a n d th a t a n y in fo rma t io n n o t r e p o r t e d w a s w i th h e ld be c a u se i t me t a p p l i c a b l e s t a tu to ry

p r o v i s i o n s p e r mi t t i n g n o n -d i s c l o su r e .

I f u rt h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] Arthu r R. Randolph

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . ap p . § 1 0 4 )

C om m i t t e e on F i na nc ia l D i s c l o s ur eAdm ini s tra t ive O ff i ce o f the Uni t ed S t a t es Co ur t sSui t e 2 -301One Columbus C i rc l e , N .E .W a s h ing t on , D . C . 205 4 4

arthur r randolph financial disclosure report for 2010

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