AO

-·

POSITION NAME OF ORGANIZATION/ENTITY

5.

fARI!ES 8�!2 TERMS

0

ii

CJ

Report Required by the Ethics FINANCIAL DISCLO URE REPORT JO in Gnl'ernmenr Act of 1978 Rev. //2010 FOR CALENDAR YEAR 2009 (5 USC:. upp. §§IOI-I II)

I. Person Reporling (last name, first, middle initial)

Harwell, Robert B.

2. Court or Org•nizatlon

U.S. District Court ofS.C.

3. Dale of Report

4/3012010

4. Title (Anick Ill judges indicaic active or senior status: magis:lrale judges indicate full- or part-tinn::)

Article Ill Judge, Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [Z] Annual

Sb. D Amcnd.:d Rcpot1

D Final

6. Re-porting PC"riod

01/01/2009

lo

12/31/2009

7. Chambers or Orfice Addrt"u 8. On the basis of the lnform1tlon contained In lhis Report and any modlncatlonl pertaining thenlo. it h:. In my opinion, in compliance "ith 1pplicable law1 and regulatlon1.401 West Evans Street

McMillan Federal Bldg Florence, SC 2950 I

Reviewing Officer __ Owte ···---

J.'tf PORTANT NOTES: The in.vtructions accompanyillg thisfonn must be followed. Complete allparts, chtcking lhe NONE box for each part wherl! you have no reportable information. Sign on fast page.

I. POSITIONS. (Rrportingindividualonfy:supp. 9-/Jofjillnginsrructions.)

D NONE (No reportable positions.)

I. OfficcriDirector --i Farms and Investment. Inc.

2. Trustee Trust Ill

3. Custodian Custodial Account #I

4. Custodian Custodian Account #2

II. AGREEMENTS. (R,porling indi•·idua/ only; supp. 14-16 of filing insrructions.)

[ZJ NONE (No reporlable agreements.)

I.

(.- ()r· ·· c•: CJ) .. c::•t , , 1'"\i.c. o 11.-....,,

ni

"-J C::::> C3

;:!-.... --<

N

}>

-J?

::;;] n-1 ()

-..... ........,' • I

0

N

2.

3.

Harwell, Robert B.

SOURCE

SOURCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

Name or Person Reporting Dalt or Hepor1 FJNANCIAL DISCLOSURE REPORT Harwell, Robert B. 4/30/2010Page 2of10

Jll. NON-INVESTMENT INCOME. (R•porring individual and spnuu; se< pp. 17-U of filing instructions.)

A. Filer's Non-Investment Income

[Z] NONE (No reportable non-investment income.)

AND TYPE (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - If you..,.,. married during any portion of the reporting y<ar, compfrte this section.

(Dollar amount no/ required except/or honoraria)

[Z] NONE (No reportable non-investment income.)

I.

2.

3.

4.

} V. RE IM BU RS EM ENTS - transportation, lodging, food, tnttrtainmenl.

{Includes tho.ti! 10 spouu and dtpendenl children; .Ut pp 2J-27 of fiUnx irutn11..-1icms.)

D

I.

2.

3.

4.

5.

NONE (No reportable reimbursements.)

SC Aar Associalion I/23 10 1/2412009 Myrtle Beach. SC SC Bar Mcc1ing Lodging

SC Assoc. for Justice 8/6 to 8/912009 Hilton !lead, SC Annual Convention Lodging and seminar rcgistralion

SOURCE DESCRIPTION

CREDITOR DESCRJPTION

YA LUE

VALUE

F.INANCIAL DISCLOSURE REPORT Page 3 of 10

Name or fcnon Reporting

Harwell, Robert B.

V, G J FTS. (Includes thost lo spouse and deptndent childrtn; 1u pp. 13-J/ of filing instructions.)

[ZJ NONE (No reportable gifts)

I.

2.

3.

4.

5.

Dal• of Repn rl

4/30/2010

VI, LIAB J Ll'fJ ES. (lnc/udts those of wouu am/ dependent childron; '"pp. 31-33 of filing in•trucrions.)

[{] NONE (No reportable liabilities.)

I.

2.

3.

4.

CODE

5.

D

o)--i---(I) !

II 12

i ---i

I

-----

(2)

I

(I) (2) (S)

I

I

i

!

I i

I !

i

F.INANCIAL DISCLOSURE REPORT Page 4of10

Namt or Pcnon R porting

llarwcll, Hobert II.

Dale or Rtporl

4/3012010

VII. INVESTMENTS and TRUSTS - jncomr, vulur, transactions (lndudes thusr ofspouu and drprndrnr chi/Jrrn; Srt pp. 34-60 offiling insrrul'liom.)

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

/\. B. c.

Description of Assets

(including trust assets) Income during

rcponing period

Gross .. ·alu..! at end

of rcPQrting pt:riod

1-Transactions <lming reporting period

6) -..

ValuePlace "(X)" after each a. set

eAempt from prior di closure j /\mount Type (e.g.,

I Code 2 ' div .. rent, Code 2

'3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

. 16.

17.

Charles Schwab (sweep accls)

Wachovia Bank Common Stock

Wells Fargo & Co. Common Stock

Autoliv !ni;. Common Stock

Rhom & Haao Inc. Common Stock

The South Financial Group Common Stock

Wachovia !:lank (various accts)

First Reliance Bank (CD)

First federal (CD) X

South Carolina Bank & Trust (CU)

Citi1 ns Bank (CD)

Anderson Brothers [lank (CD)

Carolina Uank (CD)

Notional Bank of South Carolina(CD)

BB&T Ban (various accts)

Fanns & lnvcslmenl 12 1/2% 22/J1/04 compiled $31 M

PCDG, LLC (20%) 1998 & 2000 $32,000

-· -

(A-H) . or int)

c Interest

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

c Interest

u Interest

c !nlcrest

c lnlcrcst

A Interest

A Interest

c lnlcrcst

A lnleresl

D Interest

B Dividend

None

--- - ---· -----i I. lnc;omc G.ain Codu. A •S 1,000 or less B •S 1.00 I • Sl.500

(J.P)

M

J

J

J

J

J

M

M

M

M

M

M

L

M

K

K

(Sec Column:s 0 I ar.J 04) 2. Veluc Codes

F •SI0,001 • SI00,000

J •S 15,000 or le1oJ

G •Stoo,001 • Sl,000,000 K •Sll,001 • SI0,000

fScc Column5 Cl ond OJ) N ·· Sll0,001 • SI00.000 o •1500,001. 11.000.000

3. V11ilue Method CoJe, (Sec Column Cl)

PJ •Sll,OC0,001 • Sl0,000.000 Q •Appr;111)al U ... Rook: Value

R •C(l:.'11 {Re-al Estate Only)

V•Othcr ---------- ---

Value Method

Code 3

(Q·W)

T

T

T

T

T

T

T

T

T

T

'f

T

T

T

u

R

I (3)

Type (e.g., . Date , Value

buy. sell. Immlddlyy ; Code 2

rc:demption) [ ' (J·P) __ L

Closed 01109109 M

C • S2.50t .SS.000 D -Sl,L'O I · SI 5.000

(4)Gain

Code I

(/\·H)

B

HI •Sl,000,001 · Sl,000,000 L •Sl0,001 · SI00,000

H2 '""More than S.5,00'J,000 M =SltJO,UOI • $250,000

rt •Sl,000.001 • S5,000,000 P4 -More than SSU.000,000 S •A. scs ment W"'Estim111tcd

P2 •Sl.000,001 • S21,000,000

T=-CashMar\.el

Jdcnttty of

buycrlscller(if private

tunsaction)

i

A.

I

(2) (I)

-----·

I

I

I

-· (4) Gain

Code I

iA-11)

Name of frnon Reporting Dat• of R•portFIN1 NCIAL DISCLOSURE REPORT Page 5 of 10 llarwcll, Robert B. 4!30/2010

VII. INVESTMENTS and TRUSTS - income, value, transactions (lndudes those ufspouu and "'ptndentclilldr<n; S<t pp. 34-60 uf filing imtructic>m.)

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

-, B. c. D. Dcs1.:ript1on of Assi:ts Income during Gross value at end Transactions during reporting period

(mcluding trust assets) reporting period of reporting period

(2) (I) (2) (3)! (I) (5)jValuePlace "(X)" ancr each asset i Amount Type (e.g .. Value Date j ValueType (e.g., Identity of i Code I div.• rent, Code 2 Methodex.empt from prior disclosure Code :! ; (A·ll) or int.) (J-P) Code) rcdcmp1ior.) : (J-P)

buy, sell. . mm/dd/yy huycri c\kr

(ifprivut..: (Q-W) transaction)

- -·· -·--·· ---· i ....

I 8. Charles Schwab IRA #I

19. -Charles Schwab Cash Fund

20. -Dimensional Fund Advisors Intl Small Co Port

21. -Dimensional Fund Advisors Intl Value Ill Port

22. -Dimensional Fund Advisors Large Cap Intl Port

23. -Dimensional Fund Advisors Large Cap Value Ill Pon

24. -Dimensional Fund Advisors US Large Co Inst! Index Pon

25. -Dimensional Fund Advisors US Small Cap Port

26. -Dimensional Fund Advisors US Small Cap Value

27. Charles Schwab IRA#2

28. -Charles Schwab Cash Fund

29. -Dimensional Fund Advisors Intl Small Co Port

JO. -Dimens iona l Fund Advisors Intl Value Ill Port

31. -Dimensional Fund Advisors Large Cap Intl Port

32. -Dimensional Fund Advisors Large Cap Value Ill

33. -Dimensional Fund Advisors US Lg Co. Inst Index Port

34. -Dimensional Fund Advisors US Small Cap Port

B

D

Dividend M

Dividend N

T

T

i

i

__J

I. ll'\cumc Vim Cl,)Jc•: I\ •SJ,000 or le-s' B aSl,l)(JI. Sl,500 C · 2.501 · SS.000 D •SS,IXJI ·SI 5.llOO

(See Column' l\I tmJ 04) F •Sl0,001 • SI00,000 G•lt00,001-11,000,000 Ill •Sl,000,001 - Sl,000,000 H2 rMore th!Jn S5,000,000

2. Value Co<le• J :aSJjJJOO or less K •Sll,001 - Sl0.000 L •Sl0.001. St00,000 M •SI00,001 - lll0,000

(See Column.., ll 11ni.J OJ) N •5250,001 • ll00.000 O•SSOO,llOI -St,000,000 Pl · t,000,001 · SS,OIJ0.000 P2 •Sl,000.001 - Sll,000.000 Pl •lll,000,001 -Sl0,000,000 P4 Mort" 1ha11 S50,000,000

J. Value MclhoJ Codes t} -Appraisal R sCo&I {Real Estate Only) 5,,.A,><"ssment T =Cash Mit.rkt1

(See Column (2) U •fh)l.1k Value v 01her W "'Estimated ------

---r- ; n-c ,: -ur-in-g--i- ---- - ---T-ra-nsactions rcp- -

in_g_p-cn_

o_

d_

repo ing p !

I

,__ _(_!_) -

:

FINANCIAL DISCLOSURE REPORT Page 6of10

Name of Person Rrporting

Harwell, Robert B.

Dale of Rrport

4/30/2010

VII. INVESTMENTS and TRUSTS -lncom•, value, transactions (lnclurfo thou of spouse and depmdenl chiJd,en; SU pp. 34-60 of/Wng in>truction )

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

A. Description of Assets

(including trus! assets) Gross v e at.:- i- duri

: ·--- . eriod of reporting period

Place "(X)" after each asset exempt from prior disclosure

i 35. -Dimensional Fund Advisors US Small Cap I Value

i 36. Charles Schwab IRA#3

37. -Charles Schwab cash fund

38. -Dimensional Fund Advisors US Small CapPort

39. Trust# I

40. -Cash Fund-Charles Schwab

i41. -BB&T Corp Common Stock

42. -Vanguard short-term lreasury

: 43. Berkeley Co SC Zcru 6/1/12

! 44. Clemson Universiry, SC Zero 5/1II0

45. Piedmont Mun. Power Zero 1/1/13

46. Piedmont Mun. l'owcr Zero 1/1/13

47. Piedmonl Mun Power Zero 111115

48. Richland Co SC Zero 8/1/09

49. SC Zero 7/1/12

50. Three Rivers Solid Zero 1/1/09

51. Three Rivers Solid Zero 111/11

I. Income Gain Code$ /\ '"Sl,000 or k:n (Se-e Ct.,lumns 01 1nJ 04) f •550,001 . SIC0,000

2. Value Codu J ..51s,ooo or lcu (Sec Column:i. Cl eriJ DJ) N • S2l0,t>OI - 5500,000

(I) r (2) (I) (2) Amount Type (e.g.. Ve.Ju Vstuc Type (1;.g, Code I div_, rent, Code 2 Method buy, .ell. (A-H) ! or int,) 1 (J-P) Code 3 redemption)

_I --- {Q-W)

A

c

c

D

A

A

c

A

n

ll

13

--

-

-

-

·· · -

· ·-·

Dividend

Dividend

Interest

Interest

lnleresl

Interest

Interest

ln!cresl

Interest

Interest

Interesl

B •Sl,001 - Sl,500

- --·--· -·--- - .

K T

M T

L T

L T

K T

J T

L T

L T

K T

- ··---

Matured (part)

Matured

Matured

C •S2,SO I - SS,000

G •SIOO,OOl - Sl ,000,000 Ill •St,000,001·15.000.000

K •! 15,001 - 550,000 L •150,001- SIOO,OOJ 0 •U00,00 I - St ,000,000 r I •S 1,000,00 I - SS.COO.ODO

rJ •521.000,001 - S50,0G0,000 P4 •More than S50,00D,f100

). Value Mc1hod Co.tu Q .-Apprai al R •Co t (Re"I Esti.k Only) s Asse! mmt (S e Co)umn C2) tJ •Rook Valu V•Othet W •Estimated

(2) (3) 1 Date Value l mmldd'yy I Code 2

(J-P)

···-

01/01/09 J

08/01109 L

01/0 1109 K

D cSS,l>Ol -515,000

(4) Gain

Code I (A-H)

A

A

D

112 r.Morc than $5,000,000

M •SI 00,00 I - $250.llOO

Pl •SS.000,001 - S2S,000,000

T -:-C&Sh Mark •

(5)Identity of

buyi:rJsclkr(ifplivate

trnnsaction)

E-SIS,001-150,0nu

! ·1 reporting pcn_o

__ +----1

-- -----

(3) (4)

�------ ---------- -----·- ---------(Q _-W_) _ --·-----� I

I

----------

(J-P)

EINANCIAL DISCLOSURE REPORT Page 7of10

Name of Person Reporting

Harwell, Robert IJ.

Date of Rrporl

4/3012010

VII. INVESTMENTS and TRUSTS - incom•. '"'"'· ''""'"crions (Includes rhou of spouuand dependent chitdnn; , .. PP· 14-60 offiun11 in.uruc1ion'J

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

A. B. c. D. Gross value at end Description of Assets Income during Transactions during reporting period

I of reporting period (including trust assets) . . ct (2)(I) (2) (I) (I) (2) (5)

Place "(X)" after each asset Amount Type (e.g., ValueValue Value Type (e g., Da1e Gain Identity of Code2 Method buy, sell, mm/dd/yyexempt from prior disclosure Code I div., rent, Codc2 Code I I buyer/seller

(A-H) orint.) Code 3 redemption) (A-II)(J-P)I (if priva1c I transaction)

I--- - --·· ___ L___j__. ----- -

52. Three Rivers Solid Zero J/1/12 B Interest K T

53. Three Rivers Solid Zero 1/1/13 B Interest K T

54. Dimensional Fund Advisors Tax Man US Mktwdc

A Dividend J T

55. Rental Prop North Myrtle Beach.SC (2003,$238,600)

D Rent M R

56. Prop (Cherry Grove, SC) 49% ($243,000

None M u

57. -on 2004 tax re1um)

58. College llound Fund #I ,Alliance Bernstein Mutual Funds

A Dividend J T

59. -CBF Appreciation Port Alt Bx

60. College Bound Fund #2, Alliance Berstein Mutual Funds

A Dividend J T

61. -CBF Appreciation Port Alt RX

62. SC Future Scholar Plan II I ,Columbia Mutua Funds

None K T

63. -Bond Port-A

64. -Large Cap Core Port·A

65. - M id Cap Growth Port-A

66. -Small Cap Growth Port-A

67. SC future Scholar Plan 112, Columbia Mutual Funds

None J T

68. -Bond Port-A

I. Income Gain Code$:

(Sec Columns l3I and 04) 2. Value Codes

/\ •Sl,000 or less

F •SS0,001 -SI00,000

J :aSJS,000 or less

B •Sl,001 - Sl,500

G •SI00,001 - Sl,000,000

K •Sll.001 • SS0,000

C •12,50 1 - S5.000

HI •S 1.000,00 I - SS,000,000

L •SS0.001 • SI00,000

D•S5,00!-515,000

H2: More than SS,000.00l.I

M •5100,001 -S250.000

E •SI 5,001 - S50,lllJU

(See Columns Cl and OJ) N •SlS0,001 -S500,000

Pl •Sll,000,001 - Sl0,000,000

0 •$500,00 I • !I ,000,000 Pl •Sl.000,001 - SS,llU0,000

P4 :More lhan $50,000,000

Pl •SS,000.001 - 525.000.000

3. Value Method Codes

(Sec Column C2)

Q •l\ppra1sal

U •Book Value

R '"'"Cost (Rea l Estate Only)

V =Other S Assessment

W =Estimated

T ""Cash M1:1rke1

!11.

172. I.

'

··-r- I

(I) (2) i

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

(2)

Code I dov . rent,

(1) (l)

69. -Large Cap Core Porl-A

70_ I

-Mid Cap Grow Pon-A

-Small Cap Growth Port-A

i I

Florence, SC ( 1999 -$125,000)

None M R

7J. Custodial Account# I None J T

74_ -The Soulh Financial Group Common Stock

15. Custodial Accttf2 None J T

76. -TI1e South Financial Group Common Stock

77. Florence, SC (2006 $70,000) None L R

78. SC Tuition Prepayment Program# I (nocontrol)

None K T

79. SC Tuition Prepayment Proi;rarn #2 (nocontrol)

None K T

F.ffANCIAL DISCLOSURE REPORT

Page 8of10

Name of tenon Repor1Jn2

Harwell, Hobert B.

1>:1te or Report

4/3012010

VI I. IN VESTMENTS and TRUSTS - UJCOltU!, VQ/ue, transaL-Jiuns (lndutles /ho.« of spoust und dependenl children; see PP· 34-60 11/jiling ln<truaiom.)

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

(I) (2) Type (e.g.,

(4) (5) Value Value Type (e.g .• Date : ValuePlace "(X)" after each asset Amount Gain Identity of

mrrJdJ/yy Iexempt from prior disclosure Co& 2 Method huy, sell. CC>dc 2 'Code I huycr/sc::llcr (A-H) or .int.) (l-1') Code J redemption) (A-H) (ifptivatci (J-P)

I (Q-W) transaction) . . . . . L-..

·-· -· - -··-

I. Income G;,am (oJC$. A =S 1.000 or lc s

(Sec Colurnns Bl And 04) 2_ Valli C'odn

(S« Column:i. Cl and 0\)

F -=-S50,00I - SHlo,ooo

] •S l 5,000 •H less N •5250,001 • Sl00.000

B -11.001. s2,;oo G SI00.001 - Sl .000,000

K •Sll,001 • SI0.000 0 c:SS00,00 I - S1,000,000

C • !2,501 - Sl,000 HI •Sl,000,0tJI - SS,000,00IJ L •SlU,001 · SHXl,UOO

D •ll.001 · Sll.OUO

H2 =Morc lh;in 55,UO!l.1100

M •SI00.001 • Sl50.ll<\ll ri -ss.000.001 . s25,oooJ)lX)

E ""115.UOI -150,LllJU

J. Value Method Code• (Ste Column C'2)

r J • 121,000.00 I . SI0,000,000 Q=Appraisal R •Cost (Real En111e Uni)}

V•Q1 ,

Pl •11.000.001 - ll."IO.<Xl-0

P4 :"More tl n 550,l>OO,Ot>O

T •:Ca h Market

U •Hook Value W;:bt1rna1ed

A.

Descriprion of Assets

(including trust assets)

R. c D.

lncomie during Gross valu.: at end Trnnsac1ion.o; dauing n:poning period

rcponing pr:riod of reporting penod

F.I.NANCIAL DISCLOSURE REPORT

Page 9 of JO

Namt of Person Rtporting

Harwell, Robert R.

Date or Report

4/30/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (fnd/cal<partn/R•pnrt.)

F.INA.NCIAL DISCLOSURE REPORT

Page 10 of IO

Namr of Prnon Reportine [)air or Jfrporl

Uanvell, Robert B. 4/J0/2010

IX. CERTIFICATION.

I certify Iha! all information given above (including information pertaining lo my spouse and minor or dependent children, if any) is accurate, true, and complete to the bes I of my knowledge and belief, and lhat any informalion nol reported was withheld because it met applicable stalutory provisions permilling non-disclosure.

I further certify thal earned Income from outside employment and honoraria and the accepta nce of gifts which have been reported are In compliance with the provisions ofS U.S.C. opp.§ 501 et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S 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