OF TION/ENTITY

a ( -

;

: ·-:

PARTIES AND TERMS

3.

2.

Report Required h_1• thc Ethic.< FINANCIAL DISCLOSURE REPORT AOJO in Gowrnmenl Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app . .F IOI-I1Jj

I. Penon Reportin (Im name. first. middle initial)

DYK, TIMOTHY B.

4. Tille (Aniclc Ill judge• indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. CIRCUIT JUDGE - ACTIVE

2. Court or Organization

FEDERAL CIRCUIT

Sa. Report Type (check appropriate type)

D Nom.lnation, Date

D Initial 0 Annual D Final

J. Date of Rtport

0511312010

6. Reporting Period

01/0112009

to

12131/2009

Sb. 0 Amended Report

7. Chambers or Office Address

717 MADISON PLACE, N.W. WASHINGTON, D.C. 20439

8. On the basis of the information co11tained in this Report and any modifications pertaining thereto, it is. in my opinion. in compliance-with applicable bws and r<gUlation•.

Revlel\ing Officer Date

IMPORTANT NOTES: The instructions accampan,ving this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last pag"-

. I. POSITIONS. (ReportingindMdUll/only;mpp. 9-IJofflUngin>trNctions.)

D NONE (No reportable positions.)

POSITION NAME ORGANlZA

!. JUDICIAL COUNSEWR GILES RICH INN OF COURT

,-2.

i .....

4.

i

5. l -·

-i'\ <: > i-, \

II. AGREEMENTS. (Reporting u1divldu•l t>n/>'; ..e pp. 14-16 of filing Instructions.)

[{] NONE (No reportable agreements.)

I.

3.

Dyk, Timothy B.

SOURCE AND TYPE INCOME

������������

SOURCE ANP TYPE

SOURCE LOCATION PURPOSE ITEMS PAID OR PROVIDED

Date of Report Name of Penon Reportin:: FINANCIAL DISCLOSURE REPORT

Page 2of14 05/13/2010DYK. TIMOTHY B.

Ill. N 0N-INVESTMENT IN co ME. (Reporting individ1U1/ and spnuse: • .,, pp. 17-U of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

!. 2009 UNJVERSm' OF NEBRASKA - BOARD OF REGENTS (ROY AL TY}

(yours, not spouse's)

$698.00

2.

3.

4.

B. Spouse's Non-Investment Income - I/you were ma"ied during any portion of the reporting year, comple1e lhis section.

(Dollar amount not required e::cCC!pl.for honororia.)

NONE (No reportable non-investment income.) D

1.2009

2.2009

UNIVERSITY OF MICHIGA.."l

SOCIETY FOR RISK ANALYSIS

3.2009 WASHINGTON UNIVERSITY

4. 2009 TIIB BROOKINGS INSTITUTION

5. 2009 GEORGE WASHINGTON UNIVERSITY

6. 2009 PODESTA GROUP INC

7.

IV. REIMBURSEMENTS-trruupor/lllwn,lodging,food,enurtain;,.enL (lncludc.r those to spouse and clependenl children: see pp. J.j.27 of filing instructions.)

D NONE (No reportable reimbursements.}

IMIE.S

1. WILLIAM C. CONNOR INN 01/1512009. 01116/2009

NEWYORK,NY INAUGURATION TRANSPORTATION, LODGING, DINNER MEALS

2. BLOOMINGTON INDIANA 03/0612009 • BLOOMINGTON, JN MOOT COURT TRANSPORTATION, LODGING, UNIVERSITY MAUER 03/07/2009 COMPETIT!ON MEALS SCHOOL OF LAW

3. NEWYORK 0312712009 • NEW YORK, NY 87TH ANNUAL DrNNER TRANSPORTATION, LODGING, INTELLECTUAL 0312812009 MEALS

13.

FINANCIAL DISCLOSURE REPORT t'ame of Person Reportin:: Date or Report

Page 3of14 DYK. TIMOTHY B. 05/13/2010

PROPERIT LAW ASSOCIATION (NYIPLA)

4. FEDERAL CIRCUIT BAR 03/18/2009 WASHINGTON. DC FCBA SYMPOSIUM MEAL ASSOCIATION (FCBA)

5. INTELLECTUAL 04/1912009 - WASHINGTON. DC 5IB INTERN A TJONAL MEALS PROPERTY O\\INERS 04/2012009 JUDGES CONFERENCE EDUCATION FOUNDATION

6. CHlCAGO RICHARD LINN 05/1412009 - CHICAGO IL INN OF COURT TRANSPORTATION, LODGING, INN OF COURT 05/15/2009 MEETING I PROGRAM MEALS

7. INTELLECTUAL 05/2812009 WASHINGTON, DC JPO AW ARDS DINNER MEAL PR OPERTY OWNERS EDUCATION FOUNDATION

8. GEORGE MASON 02/07/2009 WASHINGTON. DC 7TH ANNUAL MOOT MEAL UNIVERSITY COURT COMPETITION

FOR LAW& ECONOMICS & A WARD CEREMONY

9. FEDERAL CIRCUIT BAR 06/18/2009 - W. SULPHUR SPRJNGS. llTH ANNUAL TRANSPORTATION, LODGING, ASSOCIATION 06/20/2009 W.VA CONFERENCE MEALS

IO. CHICAGO 09114/2009 - CHICAGO, IL CHICAGO !PO ANNUAL TRANSPORTATION, LODGING, INTELLECTUAL 0911512009 MEETING MEALS PROPERTY LAW A SSOCIATION

11. AMERICAN 10/16/2009 WASHJNGTON. DC AIPLA L UNCHEON MEAL INTELLECTIJAL

PROPERTY LAW ASSOCIATION

12. GEORGETOWN 10/2312009 WASHINGTON, DC GEORGETOWN & MEAL UNIVERSITY AND STANFORD LAW STANFORD UNIVERSITY CONFERENCE LAW CENTER

AMERICAN UNIVERSITY 10/2412009 WASHINGTON, DC 16TH ANNUAL BURTON MEAL COLLEGE Of LAW D. WECHLER IST

AMENDMENT MOOT COURT COMPETITION

14. LEGAL & INTELLECTUAL 10127/2009 WASHJNGTON. DC BIO IPCC CONFERENCE MEAL PROPERTY BIOTECHNOLOGICAL U-.L>USTRY ORGANIZATION

15. HOUSTON 11/03/2009 HOUSTON, TX ANl\'UAL DINNER MEAL INTELLECTIJAL PROPERTY LAW ASSOCIATION

16. FEDERAL CIRCUIT BAR 11/20/2009 WASHINGTON. DC 25TH ANNUAL DINNER MEAL ASSOCIATION

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

FINANCIAL DISCLOSURE REPORT

Page 4of14

Name of Penou Reportin:

DYK, TIMOTIIY B.

D11e ofkeport

05/1312010

V, G JFTS. (Includes those w spouse and dependent children: see pp. 28-J/ offilin:: lnstrur:Uons.)

[{] NONE (No reportable g/fis.)

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spauu and dependent children: see pp. 12-J3 of filing instructions.)

[{] NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

i I

i (I) (2)

I (I) (2) (l)

L_ __ _ I

I

I.

T

(2) I (3) \

(4)

l

I (5)

I

I

c.

Dote of Reporl Name of Penon Reporting: FINANCIAL DISCLOSURE REPORT

Page 5of14 DYK, TIMOTHY B. 05/13/2010

VII. INVESTMENTS and TRUSTS - income ... a1ue, tran.•actit1ns onc1udes 1110s• "'spouse and depcndoit c1uldren: see PP.. 34-60 of filinc ins1r11aions.1

0 NONE (No reportable income, assets, or transactions.)

A. B. o.

Description of Assets Income dW'ing Gross value at end

(including trust assets) reporting period of reporting period

' '

Placc "(X)" aftct each asset !Amount Typc(e.g.• Value Value I Code I div- rcnL Codc2 Methodcxcmpt from prior disclosun: i (A·Hl or int.) (J-P1 Codc3

(Q·Wl

Transactions during rcponing period

Type (c.s.• Date ' Value I Gain Identity of buy, sell mm1dd/yy Code 2 I Code I buyer/seller

redemption) (J.P) I (A-H) (if private I transaction)

LOT - TRURO, MA (PARCEL I) ($331,800)

2. CONDOMINIUM - N. MIAMI BEACH FL ($ l25,060)(X)

3. CARLYLE FUND

4. CARLYLE FUND

5. CARLYLE FUND

6. CARLYLE FUND

7. CITIBANK BK DPT

8. HIGH POINT NC GIO

9. UTAH HSG CORP SINGLE FAM

JO. ORLANDO FLA CAP

11. PHOENIX AZ GIO

12. VANGUARD MM

13. U.S. TREASURY BILL 1/15/09

14. BANK OF AMERICA (COMMON STOCK)

15. "NUVEEN MUNICPAL VALUE FUND

16. VANGUARD MONEY MARKET FUND TIE

17. VANGUARD SHORT TERM T/ E FUND

A

A

B

A

A

A

A

A

D

D

D

None N

None M

None M

None

None

None

Interest J

Interest K

Interest K

Interest

Interest

Interest K

Interest

Dividend K

Jnt./Div. M

Dividend M

Dividend Pl

s

s

T

Buy (add'l)

Buy (add'I)

Buy (add'!)

T

T

T

Redeemed

Redeemed

T

Redeemed

T

T

T

Buy

02115/09 J

03/25/09 K

08/05/09 K

10/01/09 K

07/01/09 K

01/15/09 0

07/13/09 0

l. lncomc: Gain COOes: (Sec Columns BI and [).I)

2. V•wc Codu (Sec Columns CI •nd Dl)

3. Value Method Codes (Sec Column Cll

A •$1.000 or less F •$50.DOI • $100.000 J •S.,.000 or Im N •$250,001 • $500,000 Pl -s2s.ooo.001 • sso.000.000 Q •Appraisol U •BookVal""

B •Sl.001-S2.l00 G •SI 00.00 I • U ,000.000 K •$15.001 • $50,000 0 •$500.00 I • Sl.(100,000

R -Cost Clloil E.&Utc Only) v s()lhcr

C •S1.50 I • $5.000 HI •Sl,000.00J. $5.000.01)() l •$50.001. 5100.000

Pl •Sl.000.001 • $5,000.000 P4 •More than SS0,000.000

S •AtieSSmertt W •E!tirnated

D=S5.00I • $15.000 E •S 15.001 • S50.000

w ·M= than ss.000.000 M•Sl00.001 -$250,000

P2 ss.000.001 • s2s.ooo.ooo

T =CW> Morkct

(2) (l) (2) (I)

I I

.__ ____________________________________________

FINANCIAL DISCLOSURE REPORT

Page 6of14

Name cf Penon Reportin:,

DYK. TIMOTHY B.

Date of Report

05113/2010

Vil. INVESTMENTS and TRUSTS - inc.time, value, tranmtioru (includ<S those of Spl>U.<e and dc denl children.: •te pp. 34..fiO ojfilin[! instructions.)

NONE (No reportable income, assets. or n·ansactions.) 0 A. B. c.

Description of Assets Income durini; Gross va luc at end

(including trust assets) reporting period ofreponing period

• (I) Place "(X)" after each asset IAmount Type (e.g .. Value Value Type (e.g .•

exempt from prior disclosure Code I djv .. rent. Codcl Method buy. sell, (A-H\ or int.) (J-P) Codc3 redemption)

(Q-W)

18. VANGUARD SHORT TERM Tl E FUND Non Buy (add'!)

19. ATI.AS AIR WORLDWIDE (COMMON None J T STOCK)

20. BRIGHT PT INC (COMMON STOCK) None J T

21. HARRlS INTERACTIVE INC (COMMON None J T STOCK)

22. OSI SYSTEMS INC (COMMON STOCK) None J T

23. POWERWAVETECH !NC(COMMON None J T STOCK)

I 24. SIRONA DENTAL SYSTEMS INC None J T (COMMON STOCK)

25. TETRATECH INC (COMMON STOCK)

26. UNITED NATURAL FOODS (COMMON STOCK)

'27. VA LERO ENERGY CORP (COMMON STOCK)

28. CAPMARK BANK CD DUE 07/16/12

29. WATIS WATER TECH (COMMON STOCK)

30. NUVEEN SELECT MATURITY (MUNICIPAL FUND)

3 l. VANGUARD IRA #4

32. - JAPAN FUND

33. - KAISER ALUMINUM CORP (COMMON STOCK)

34. - WILLIAMS COM GR INC. NOTES

1. loeomo Gain Codes: A -Sl,000 or less F-sso.001 - s100.ooo J •SIS,000 or less

(See Columns DI and D4) 2. Value Code5

(SeeCoiumn1CI ondDl)

3. Vatuc Method CDdcs (Sec Column C2l

N •S250,00I - SS00,000 Pl •$25,000,00 I • SS0,000.000 Q•Appra.i!Mll U •Book Value

B

A

A

D

None J

None J

one

Dividend M

Dividend J

Interest J

Dividend 0

B •SI.DOI - $1.500 o-s100.001-s1.ooo.ooo K •SIS.001 • S.S0.000 o-ssoo.001. s1.ooo.ooo

R •Cost (Roal E.>1>11: Only) V-othc<

T

T

Sold

T Buy

T

T

T

C' •S2.501- 55.000 111 -s1.ooo.001 -ss.000.000 L ooS50.00I • SI00.000 Pl =Sl,000.001-55.000,000 P4 •More than SS0.000.000 S=M1i1emneot W•Estimatcd

D. Transactions during reporting period

(2) ' (3) (4)j Date Value Gain tmm/ddiyy I Code 2 Code I

I (J-l'J (A-H)'

10/19/09 Pl

08131/09 K

07/13/09 M

o-ss.001-s1 .ooo H2 •More thsn SS.000.000

M =Uoo.001 -mo.ooo P2 =SS,000.001 • $25.000,000

T -cash Markel

(5) Identity of

buyCT/scllor (ifprivatr

trans.action)

E•SIS.001 -SS0.000

... . . ---· -···---

I

;

I

!

I

·--------·· ;

-------

L

----------------····------·-----·---------------------·------

B.

(J-P)

FINANCIAL DISCLOSURE REPORT Page 7 ofl4

Narne of Per,on Reporting

DYK. TIMOTHY B.

L>ate of Repon

05/1312010

''ll. INVESTMENTS and TRUSTS -inc<>mc. value. 1ransacu""' onc1ude .• awu ofspouuand depe,.d•nt c1.uaren: see pp. 3J-6ooffilint: insrruc1fom.1

D NONE (Na reportable income, assets, or transactions.)

A. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting p::riod of rcponing period

. en m (ll (2) --(IJ !21 (3) (4) (5) Place "(X)" after each asset iAmount I Type (e.g.. Value ! Value Type (e.g .• Dare Value Gain Identity of

Idi\' .. rent buy. •ell. :mm/dd;yy I Code 1 jexempt from prior disclosure i Code I · i (A-H)

Code J Method Code I buyer/seller

redemption) (J-P) : (A-H) (ifprivateor int) Code ;; ·

(Q-W) J · ...__J

i __ -,· ·-'-··

transaction)

35. - RYDEX INVERSE S&P FUND Buy 11124/09 L ·--· 36. - VANGUARD INTER- TERM BOND

FUND Buy 04/14/09 M

37. - VANGUARD INTER- TERM BOND FUND

Sold 09/23/09 M E

38. - I SHARES MSC! JAPAN

39. I SHARES MSCI S. KOREA

40. - FIDELITY JAPAN SMALL CO. FUND

:41. -VANGUARD MM

! 42 .

i

- DOW CHEMICAL (COMMON STOCK) Buy (add'l)

01105/09 K

43. - DOW CHEMICAL (COMMON STOCK) Sold 05129/09

10119/09

07/24/09

04/21/09

09/01/09

L

L

L

K

44.

45.

·,

46.

47.

48.

49 .

50.

51.

-GANNETT CO (COMMON STOCK)

- GENERAL ELECTRIC CO (COMMON STOCK)

- INTEL CORP (COMMON STOCK)

- NY TIMES CO (COMMON STOCK)

- PACKAGING CORP OF AMERICA {COMMON STOCK)

- WORTHINGTON INDUSTRIES (COMMON STOCK)

- CAPITAL TRUST INC (COMMON STOCK)

- SEQUOIA FUND

Sold

Sold

Sold

Sold

I

I

J. Income G»in Codc1: (Sec Co mnns BJ .nd D4)

:. Value Code) f&c-c Columns CI ahd DJ I

3. Value Method Codci (Sec Column C21

/\. •S J.000 or loss F •SSO.OOJ - SI 00.000 J ai:.$J .000 or kn N •S2S0.00i - SS00.000 P3 -ns,000.001 • S5o,ooo.ooo Q •Appraisal U -=Bc>0\r.:. Value

B •SJ.001 • $1.500 G •SI 00.00 I • S1.000.000 K •$15.001 • S50,000 O •SS00.001 • Sl.000.000

R :Co<! (Real E.<iatc Only) v =Oth<T

C •S1.SOI • SS.000

Ill •S 1.000.001 • $5.000.000 L •S!I0.001. SI00.000 Pl •Sl.000.00J -SS.000.000

P4 -More than SS0.000.000 S •Assessment W•Estimau:d

D -15.001 • SI l.000 E <>SIS.001 • SS0.000 H2 •More lhan S.S.000.000

M =SI00.001 • S2SO.OOO P1 •SS.000.00 I L?l.000,000 -T ..c;ash Market

-------------B.

I I

(3) l

L____-------------------'----�--------�---------�--�----------

i 162.

i

I

c.

(2) (2)

55.

Dale of Repor1 Name of Prnon RepordnG FINANCIAL DISCLOSURE REPORT

05/1312010DYK. TIMOTHY B. Page 8 of14

[J

VII. INVESTMENTS and TRUSTS -inL'flmc. w11ue. rransacrinns anclud"" 1ho•e ofspnusc and dependen1 children: see PP· J4-6o •ffuini: in.mucrinns.1

NONE (No rep011able income, assets, or transactions.)

A.

Description of Assets Income during Gross value at end

(including trust asscts) rcponing period ! ofrcponing period

D. T nmsactions during reporting period

i O l f2l (IJ :(II (S) Type (e.g .• Date 1 Value GalnType le.g.. Value ValuePlace "(){)' after each a'5cl IAmount

i Code I buy. sell. mm/ddiyy ' Code I Code I div.• rcn Codc1 Methodexempt from prior disclosure :

Identity of buycriscllcr

i

52. - EA TON VANCE FLOATING RA TE INCOME TRUST

53. - DOW CHEMICAL BOND DUEOS/15/14

54. - WELLS FARGO (COMMON STOCK)

(A-HJ redemption) (J-PJ (A-II) (ifpnvau:or int) (J-PJ Code 3 10-W) tranSllCtion)

Sold 12i03/09 K

06/05/09 LBuy

01/21109 KBuy

- WELLS FARGO (COMMON STOCK) LSold D03123/09

56. VANGUARD IRA-#1 c

57. -ARTIO INTL EQUITY FUND II

58. - DODGE & COX INT FUND

59. - FIDELITY JAPAN SM CO FUND

60. - CHESAPEAKE ENERGY (COMMON STOCK)

'61. - CHEVERON (COMMON STOCK)

- C HEVERON (COMMON STOCK)

63. - I SHARES JAPAN INDEX FUND

64. - JAPAN FUND

65. -AMERICAN HOME MORTGAGE (COMMON STOCK)

66. - THlRD AVE FOCUSED CREDIT FUND

67. - NY TIMES (COMMON STOCK)

68. - EMERSON ELECTRIC (COMMON STOCK)

Dividend 0 T

Sold

Sold

Sold

Buy

Sold

Sold

Buy

Buy

11/18/09 K

L11/18/09 D

10/22109 K D

03102109 L

06/10/09 L D

09121/09 J

08131/09 L

L03/10/09

I. lncomc G•in Codes: A •Sl.000 or less B •$1.0!JI - S -500 C •$2.50 I • SS .000 (Sec Column11 Bl •nd 0-4) F •!.50.00 I -SI 00.000 G •SI00.001 -Sl.000.000 HI =11.000.001 - SS.000.000

2. Value Codci (Sec Columns Cl llfld Dl)

J -sts.ooo m less N •S:B0.00 I • S 500.000 PJ -S2s.ooo.001 • sso.000.000

I< •SIS.001 - SSO,O(JO O-SS00.001 • Sl.000.000

L - so.001- SI00.000 Pl =Sl.000.001 - 55.000.000 P4 •Mon: ihan sso.000.000

3. Value Method Codci Q •Apprai::ial R •Coo (Real Estarc Ooly) S .. AJSesmicnt IS« Column Cl) U s-BooJ,;Value V -other W eE,srimated

D =SS.001 - SlS.000 E s1s.001- sso.ooo H2 =M= than SS.000.000 M •$100.00t - $2 0.000 P2 =SS.000.001 - $25.000.000

T •Cash Marice\

_I

---------A-.------------B-.---------C-.----·i-·-----

J i I

i

(2) (I) Type (e.g .• buy.sell.

redemption)

Date of Report Name of Person Reportln: FINANCIAL DISCLOSURE REPORT

Page 9of14 05/I3/2010DYK. TIMOTHY B.

VII. INVESTMENTS and TRUSTS - incumc. 1•a1ue, rran.•acrions r1ncJut1es r1iose of spoust and dependeni cliildren: see PP· 34-60 offilinK insrruc1ions.1

D NONE (No reportable income, assets, or transactions.)

D.

Transaction• during reporting period Dcscription of Assets Income during Gross. va1uc at end

(including nust aslil:IS) reporting period of reporting period

(I) (2) I (3) i (4)(2) (5)i (I) Type (e.g .. ;ValuePlace "(}()" after each asset I Amo1mti Identity of D•tc . Value GainValue

Code I mm/dd/yy i Code 2 Code 2exempt from prior disclosure : Code I buyer/sellerMethoddiv .. rent, •

I(A·ffi (J-P) Code 3 (J-P) (A-HIj (if private or inl) i

(Q-W) transaction)l1-----·--··--···

69.

- EMERSON ELECTRIC (COMMON STOCK)

70. - RYDEX INVERSE S&P 500 FUND

171.

- RYDEX INVERSE S&P 500 FUND

72. - RYDEX INVERSE S&P 500 FUND

73. - VANGUARD ADMIRAL TREAS MM

74. -LUMINENT (COMMON STOCK)

75. VAN GUARD IRA #2 D Dividend

76. -VANGUARD MONEY MARKET

77. - FIDELITY INV TRUST JAPAN SMALL CO FUND

78. - DODGE & COX fNT FUND

79. -VALERO ENERGY (COMMON STOCK)

80. - AMERICAN HOME MORTGAGE (COMMON STOCK)

Bl. -WHOLE FOODS (COMMON STOCK)

82. - CITIGROUP (COMMON STOCK)

83. -LUMINENT (COMMON STOCK)

84. - INTEL (COMMON STOCK)

85. - N Y TIMES (COMMON STOCK)

N T

Sold

Buy

Buy

Sold

Buy(add1)

Sold

Sold

Sold

Buy

06/0&/09 L E

11/20/09 L

12101/09 L

12/31/09 M

09121109 J

08131/09 K

09/21/09 J

03/13/09 K

05113109 K

1. lncomc Gam Codes: (See Columns BI ind 04)

A •$1.000 or leas F •i.10,001 ·SI 00.000

B •$1.001 • Sl.SOO

Q •SIOO.UOI -$1.000.000

(" o<Sl.501 • 15.000 HI •Sl.000.001 • SS.000.000

D •S'-00 I ·SI 5,000 H2 -More thmi ss.000.000

E •Sll.001- sso.ooo

. Value Code-1 I •SIS.OOOor IC3s K •SIS.001 • SS0.000 L •SS0.001 - SI00.000 M •SIOO.OOJ -$250.000

15«: ColumnJ Cl and 031 N -nso.001 - ssoo.ooo 0 •SS00.00 I - S1.000.000 r1 •u.000.001-ss.ooo.ooo P2 -ss.000.001 • s2s.ooo.ooo P3 •$25,000,001 • 550.000.000 P• -Mon: lhan sso.000.000

3. Value Method Codes Q•Aw•isal R -COf;l (R.t:i.1 Estate Only} S •Assessment T -CUh Marker (See Column Cl) U •Boot Value v -other WsEsumltcd

�me

I

J

(5)

---------··-·--·------------------------

I

I

Codc2

(3) Value

Date of Rep•r1 Name of Per«)n Reportin: FINANCIAL DISCLOSURE REPORT Page 10of14 05/13/2010DYK. TIMOTHY B.

VII. INVESTMENTS and TRUSTS -income, 1·atuc. transactions (/nctudes 111osc t spnuscund dcpend nt c1ii1dren: ..,, PP· .u-60 offilini: inm•Ciions.1

NONE (No reportable income. assets. or transactions.)

A. B. c. D.

Description of As.sets lncomc during l Gross value at end Transaction" during reporting period (including trust assets) reporting period ofrcponing period

(1) (2) (I) (2) (I) (2) (4)I !dcnmy ofGain

buy.&dl. : rnm/dd/yy ; Code 2 Code I I buycrlscllcr Value Value Type (C.S-· Date :Type (c.s .. Place "(X)" after each asset : Amount

Code I Methodexempt rrom J!rior disclosure div.. rcn:, : (A·H) (if privateor inL) (.1-P) Code 3 redemption) (J-PJ (A-H) transnction l ! (Q·W)

86.

!\7.

88.

89.

90.

91.

n.

93.

94.

95.

96.

97.

98.

99.

100.

I 01.

102.

-ARKANSAS BEST (COMMON STOCK>

• DODGE & COX STOCK FUND

• SEQUOIA FUND

• FAIRHOLME FUND

· EATON VANCE FLOATING RATE INC T RUST FUND

• EMERSON ELECTRIC (COMMON STOCK)

• GOOGLE (COMMON STOCK)

. THIRD AVEl\UE INTERNATIONAL VALUE FUND

• AFLAC INC (COMMON STOCK)

• AFLAC INC (COMMON STOCK)

·BP INC (COMMON STOCK)

· BP INC (COMMON STOCK)

- BP INC (COMMON STOCK)

VAN GUARD IRA# 3

·VANGUARD MM FUND

• YRC WORLDWIDE (COMMON STOCK

- RYDEX INVERSE S&P 500 FUND

c Dividend N T

Sold

Sold

Sold

Sold

Sold

Sold

Sold

Sold

Buy

Sold

Buy

Buy (add1)

Sold

Sold

Buy

06/08/09 K D

08/31/09 K

09f01/09 L

I lfl3/09 L

12/03/09 K

06108/09 K

09/23/09 M

12f07/09 K

02f06/09 K

04fl7/09 L D

02119/09 K

02127109 K

06110/09 M E

05/07/09

12/0 I/09 L

G•in Codes: A •Sl.OOOorlc:ss B •$1.001 • S::.SOO C aS"...SO I • Sl.000 D •55.001 • SIS.000 E •SI 5.00 I · SS0,000

I rSecColwnn• Ill am) 04) F •S50.001 ·SI 00.000 G •SI00.001. Sl,000.000 HI •Sl,OOO.OOl ·SS.000.000 H2 •More lhan Sl.000.000

::.. YlllucCod&:s J •Sl5.000 or k>s t; -SIS.WI· S50.000 L•SSO.OOl ·SI00.000 M •SJ00.001 • r.!50.000 (Soc Coll.llTlns Ci and Dl) N •$250.00 I • S500.000 o ssoo.001 • s1.ooo.ooo Pl •Sl.000.001 • U.000.000 Pl •SS.000.001 • 525.000,000

Pl -S2S.OOO.OOI • Sl0.000.000 P4 -Mo"' ihan Sl0.000.000 3. Value Method Coclcs Q •Appniis•I R sCosr (Real Esta!< Only) S ... A.sscssment T •Cash Mark.et

CS..: Column Cl) U •llool V aluc V -other W •Estimated

r

reporting period of rcponing period :....-- --=-'--·--.,-------'--:.C.....-._+------.---------- ---- ··--- '

(4)

_________________ ;_'_A_-H _l_,__o_r_in_

t._)_ -(-J·_ P _l __ _;_- -'_1-.:: m_p_t_ io-n) _J__ __ -'---(J--P-)_i_<_A_·H _J---- -if_:_ _:_:_l __

K

I

0

FINANCIAL DISCLOSURE REPORT Page 11 of 14

Name of Per5on Reporting

DYK, TIMOTHY B.

Date of Reporl

05113/2010

VII. INVESTMENTS and TRUSTS - income. •·aiu .. transactimu (lncludes lhase of spouse and depe"denl cld/Jren: UC pp. 14..f>O offUinJ: inSlriu:timu.)

NONE (No reportable income. assets. or transactions.)

A. B. C.

Income du ing Gross value at end

D. Transactions during reporting period Description of Assets

( includmg trust assets)

I (I) (2) (1) (2) (I) (2) (3) j (5) Place "(X)" after each asset !Amount Type (e.g.. Value Value Type (e.g., Date Value ' Gain Jdc:ntity of exempt from prior disclosure 1 Code I div .. rent, Code 2 Method

I buy. sell. mm/dd/yy 1 Code 2 I Code I buycriscllcr

103. • RYDEX INVERSE S&P 500 FUND Sold 12/31/09 L

104. -EATON VANCE FLOATING RA TE FD Sold 12/03/09 K

105. - ARKANSAS BEST CORP (COMMON Sold 06/08/09 D STOCK)

106. - THIRD A VE FOCUS CREDIT FUND Buy 09/22/09 L

107. • McCLATCHY CO (COMMON STOCK) Sold 10/19109 K

108. - SPIDER REGIONAL BANK FUND Sold 05107/W K

109. ·FAIR POINT COMMUNICATIONS (COMMON STOCK)

110. • CBS, INC (COMMON STOCK) Sold 10/19/09 K D

111. • INTEL CORP (COMMON STOCK)

I 12. TD WATERHOUSE IRA #I A Dividend N T

I 13. • SPEC SIT EQUITY FUND Sold 12131109 N E

I 14. TD WATERHOUSE IRA #2 A Dividend N T

l 15. -SPEC SIT LIFE SCIENCES FUND

I 16. CHARLES SCHWAB IRA 13 Dividend Ciosed 03/23109 N

I 17. -FIRST EAGLE OVERSEAS FUND Sold 02/09/09 J

I lR. -FIRST EAGLE US VALUE FUND Buy 01108/09 K (add1)

I 19. - FIRST EAGLE US VALUE FUND Sold 02/09109 L

1. lncomc Gain Code&: A •Sl.000 bf las D •SI.DOI· s:!.500 C •S?.SOI - SS .000 D-SS.001 - SIS.ODO E •SI S.00 I • SS0.000 (Sec C<>lumns IU •nd 04) F•SS-0.001 -SI00.000 G •SI00.00 1 -Sl.000.000 HI -S 1.000.001 • SS.000.000 H2 -More tliim SS.000.000

:. Value Codes J•SIS.OOOotlm K •SI 5.00 I • SS0.000 L •SS0.001 • SI00,000 M•SIOO.OOl -S2SO.OOO (Sec Columns C1 and Dl) N •SlS0.00 I - SS00.000 0 -SSOD.001 - S 1.000.000 Pl -s1.ooo.001 - ss.000.000 P2 •SS,000.00J • S?S.000.000

P) •S?S.000,00 I • $50.000.000 P4 •Mure th.n SS0.000.000 3. Value Mc:thod Codes Q•Appn1Slll R cos1 CR<al Escm: Only) S =Assessment T-ca.hMarl:ct

(Sec Column C?) U•BooL::Valuc V •Other W•EstiTI'Wltcd

i n:porting period -+-C·I-) -;··-'--(--!--) _.._ __ (-1)--- -(-2-) -·: . -(-3)--1 -(4_) ______ (5_) __ _ (I)

c.

Date of Report Name of Person Reportln FINANCIAL DISCLOSURE REPORT Page 12of14 DYK. TIMOTHY B. 05/1312010

\111. INVESTMENTS and TRUSTS - inc,,me. .. a1 .... rransaction.• o .. c1 .. dcs ,,,,,,. ofspouu ond dcpttad n1 chi/drY:n: - PP· u-60 of fiunr: inrrmc1ions.J

0 NONE (No reportable income. assets, or transactions.)

A. B. D.

Description of Assets lncomc during Gross value at end Transactions during reportm:; period·

(including trust asscu1 reporting per od j of

Place "(Xl" after each asset Amount exempt from prior disclosure Code I

(A·H)

Type (e.g., Value ! Value Type (c.c.. ; Date i Value / Gain Identity of div.• rent. Code 2 Method buy. sell, I mm/ddlyy ' Code 2 j Code I buycrlscllcr

or int) (.1-P) Codc3 redemption) (J-P) ; (A·Hl (if private (Q-W) transaction)

120. • MATTHEWS ASIAN GROWTH & INCOME FUND

Sold 02/09/09 J

I 12J. -TROWE PRICE CAPITAL APP FUND Sold 02109/09 K

122. - RYDEX MANAGED FUTURES FUND Buy 01/09/09 K

123. - RYDEX MANAGED FUTURES FUND Sold 02/09/09 K

124. - SCHWAB GOVT MONEY FUND Sold 03/23/09 N

125. - JP MORGAN HIGH BRIDGE

STATISTICAL MKT NEUTRAL SELE Sold 02109/09 K

126. - SPDR TRUST UNIT SRI EXPIRING ON

OJ /2212118 Sold 01/20/09 K

127. MASS MUTUAL LIFE INS A Dividend K w

128. ING LIFE INS c Dividend M T

129. PNC BANK WASH DC A Interest K T

130. US BONDS c Interest M T

13). J.J. GUMBERG LIMITED PARTNERSHIP

(X) B Distribuiion J w

132.

l. income Gain Codc:1: A-=Sl.OOOorlcu D •$1.001 • S2.SOO C •Sl,SO I • SS.000 D •SS.OOt - SIS,000 E •S!S.001 • !S0.000 (Sec Culumrur 81 ind D-1) F •SS0.001 • St 00.000 Q •SI00.001 • $1,000.000 fll •Sl.000.001 ·SS.000.000 m •Mon: 111an ss.000.000

2. Value Codes J •SIS.OOOorl"'s K •Sll.001- SS0.000 l =Sl0.001 • SI00.000 M -SI00.001 • $250.000

(See Cohnnns Cl end D3t N -siso.oo 1 - ssoo.ooo 0 •SS00.001 • Sl.000.000 Pt •St,000.001 • SS.000,000 p2 -ss.oao,oo 1 • s2s.ooo,ooo

P3 -s2s,aoo.oo t - sso.000.000 P4 •Mort !him SS0.000.000 3. Value Method Codes Q •Appraiaal R ..COS! (Real Estate Only! S '""Assessment T •CasbMaricet

(Se.c Column C2) U •Boal: Value- v-Od1cr W ""Estimated

05/13/2010

Da1e of Report Name of Person Reponing FINANCIAL DISCLOSURE REPORT

DYK. TIMOTHY B. Page 13of14

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate pan of Report)

I) TOTAL INCOME FOR IRA ACCOUNTS IS TOTAL INCOME AS REPORTED BY CUSTODIAN OF ACCOUNT.

2) TRANSFERS FROM IRA ACCOUNTS TO THRIFT SAVINGS PLAN ACCOUNTS NOT SHO\Vl".

3) LINE 2 & 131 ARE ASSETS THAT WERE INHERITED FROM.

4) LINE 57 • ARTIO INTL EQUITY FUND II WAS FORMALLY JULIUS BAER INTL EQUITY FUND II.

Date of Report N•m• of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 14of14 05/13/2010DYK. TIMOTHY B.

IX. CERTIFICATION.

I certify that all information given above (including information pertaini ng 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-di•closure.

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 S U.S.C. app. § 501 et. seq.. 5 U.S.C. § 7353, and Jndiclal Conference regulationG.

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