james l robart financial disclosure report for 2010

8/3/2019 James L Robart Financial Disclosure Report for 2010

1/22

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )Ro b a r t , J a m e s L .

4. Title (Article II1 judges indicate active or senior status;magistrate judges indicate full- or part- time)U.S. Dist . Judge (act ive)

7. Chambers or Off ice Address70 0 St e wa r t S t r e e t , 14 t h F l oo rSe a t t le , WA 9 8 10 1

2. Cour t or Organizat ionU . S . D i s t C o u r t , W . D . o f W A

5a. Repor t Type (check appropr ia te type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymod if ica t ions per ta in ing there to , i t i s, in my opinion, in com pl iancewith app l icable laws and regula t ions.

Reviewing Office r Date

3 . Date of Repor t05 /13/2011

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each pa rt where you have no reportable inform at ion. Sign on last page .

I . P O S I T I O N S . (Reporting indiv idual only; see p p . 9 - 1 3 of f!ling instructions.)D N O N E (No reportablepositions.)

1 . C h a i r o f Bo a r d o f Tr u s t e e s2. Tr u s t e e

3.

4.5.

P O S I T I O N N A M E O F O R G A N I Z A T I O N / E N T IT YW h i t m a n C o l le g e

F o u n d a t i o n # 1

I I . A G R E E M E N T S . m e p o r a n g individual only; seepp. 14-16 of f i l ing instructions.)~ (No reportable agreements.)O N E

DATE PARTIES AND TERMS


2/22

FINANCIAL DISCLOSURE REPORTPage 2 of 11

N a m e o f P e r so n R e p o r t i n gR o b a r t , J am e s L .

D a t e o f R e p o r t05 /13/2011

I lL N O N - I N V E S T M E N T I N C O M E . ~epo,~ng individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investm ent Income~-~ (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.3.4.

I N C O M E( 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 tm e n t I n c o m e - l f you were married during a ny portion of the reportlng year, complete this sectiom(Dollar amount not required except for honoraria.)

[] (No reportable income.)O N E non-investmentD A T E SO U R C E A N D T Y P E

1 .2.3.4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainmen~( In c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f !l in g i n s t r u ct io n s .)~- ~ N O N E (No reportable reimbursemen ts.)

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROV IDED1 . A m e r i c a n C o n f e r e n c e Ju ne 3 - 4 , 201 0 D alla s , T exa s D a ta P riv acy C o n fe ren ce A i r f a r e a n d L o d g i n gInstitu te C LE2. A mer ic an C on fe ren c e F ebru a ry 25 -26 , 201 0 N ew Y o rk , N ew Y o rk E m plo y m en t A i r f a r e a n d L o d g i n gInstitute Dis cr imina t ion L i t iga t i onC o n f e r e n c e C L E3. A m e r i c a n C o n f e r e n c e Ma y 18 -19 , 20 10 P h i l a d e l p h i a , P e n n s y l v a n i a L i t i g a t i n g a n d M a n a g i n g Air fa re , Tra in Trav e l , and LodgingInstitute As bes tos C la ims C LE4.5.


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N a m e o f P e r s o n R e p o r t i n gRobart , James L.

D a t e o f R e p o r t05 /13/2011

V . G I F T S . a n c t u d e s t h o s e t o sp o u s e ~ n d dependent chi ldren; see p p . 2 8 - 3 1 of filing instruc t ions. )N O N E (N o reportable gifts.)

SOURCE DESCRIPTION1.2.

3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l ~ d e s t h o s e o I s p o ~ e , ,, d d e p e n ~ , , t children; see pp. 3 2 - 3 3 of f i l ing instruc t ions. )~] (No reportable l iabi l i t ies . )ONE

CREDITOR DESCRIPTION VALUECODE1 . B an k o f A m e rica C r e d it C a rd J2. B an k o f A m e rica C r e d it C a rd J

3. W h itm an C o lleg e M u lt i-y ea r p le d g e M

4.5.


4/22


N a m e o f P e r s o n R e p o r t in gR o b a r t , J a m e s L .

Date of Repor t05 /13/2011

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 . ~ o t u e . t ~ a , ~ o a i o , ~ ( In c l u de s th o s e o f s po u s e a n d de pe n de n t children; s e e p p . 3 4 - 6 0 oyfi l ing ins t ruct ions . )~] NONE income, assets, or transactions.)eportable

1 . K e y B a n k A Interest J T2. K e y Ba nk A Interest J T

3. Oa k H a rb o r , WA Is l a nd Cn t y Re n t a l A R e n t O SPrope r t y (20 10 - $69 5 ,9 55 )

4. Se a t t le , WA K i ng Cn t y R e n t a l P rope r ty D R e n t M S(20 10 - $249 ,0 0 0 )5. Ban k o f W ash in g to n C o m m o n S to ck N o n e J T6. B R O K E R A G E A C C O U N T # 17. - S t ar b u c k s C o m m o n S t o c k D Div idend O T8.9. - - Sc hwa b Mone y Fund A Interest L T

1 0 . - - S i lv e r S t a n d a r d C o m m o n S t o c k N o n e J T1 1 . - - E ne rgy Conne c t G roup N o n e J T1 2 . - - MSC I Em . Mkts 1 -Shar es D Div idend P1 T1 3 . - - M S C I E A F E I n d e x F u n d C Div idend N T1 4 . - - S&P 6 00 I - Sha res C Div idend N T1 5 . - - V a n g u a r d R E I T F u n d D Div idend N T1 6 . - - S&P 500 ISha res D D i vi de nd O T1 7 . - - Bos t on Pr i v . F i n . Hl dg . A Div idend K T

Sold(part)D ona t e d(part)

08/11/10 K

1 . In co m e G a in C o d es : A = $1 .000 o r le ss B =$1,001 - $2,500~See Colh mns B I and IM) F =$50,001 - $100.000 . G =$100.001 - $1.000.000

2. Va l ue C o d es J =$15 .IX )0 o r less K = $15.001 - $50.000( See Colu mns CI and D 3) N =$250,001 - $500.000 O = $5 00, 001 - $1 , 000, 000

P3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 50 ,0 0 0 . 0 0 03 . V alue M eth o d C o d es Q = A p praisal R = C o s t ( Rea l Es t a te On l y )( S e e C o l u m n C 2 ) U = Bo o k Va l ue V = O t h e r

C = $ 2 . 50 t - $ 5 . 0 0 0H I = $I . 000. 001 - $5 . 000, 000L - - - $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0PI =$1.000,001 - $5,000,000P4 =More than $50.000.000S = Assessm en tW = Est i m a t ed

D =$5.001 - $15,0~0H2 =More than $5,000.000M = $100. 001 - $25 0. 000P2 =$5.000.001 - $25,000,000T -~ 2ash M ar k e t

E =$15.001 - $50.000


5/22


N a m e o f P e r so n R e p o r t i n gR o b a r t , J a m e s L .

D a t e o f R e p o r t05 /13/2011

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 a l u e , transact ions ( lndudes those o f spouse an d dependen t chi ldren; see pp . 34-60 o f f i l ing ins truct ions .)D NONE(No reportable income, assets, or transactions.)

1 8 . C h e v r o n C o m m o n S to c k D Div idend M1 9 . V a n g u a rd G N M A M u t u a l F u n d D D i vi de nd M20 . B R O K E R A G E I R A # 121 . - - S t a rbu cks C ommon S tock22 . - -G ov t FHL BB Not e s C Interest L23 . -- Resolut ion Trust St r ips N o n e L2 4. - - F ed N a t M o rt g. No te s D Interest N25 . - - MB F i na nc i a l CD A Interest26 . - - B M W B a n k C D C Interest

27 . - - Me t ro Ba nk CD C Interest28 . - - MSCI E AFE Inde x 1 -Sha re s D D i vi de nd PI29 . - - S&P 6 00 ISha res D D i vi de nd P130 . - - SW Ba N k o f S t . L ou is CD C Interest L3 1. - - C o st co C or p. N o te s C Interest L32 . - - Na t . C i t y Ba nk CD C Interest L33 . - - F i r s t Ba nk o f Pue r t o R i c o CD B Interest K34 . - - GE C ap i t . N otes D Interest M

TT

T

T

T

TTTTTTT

Sold 01/04/10 i N G

Matu r ed 07/17/10 K D(par t)

Matu r ed 03/11/10~ LMatu r ed 09/01/10 L

Matu r ed 07/16/101 LBu y 08/11/10 M(add l )Bu y 0 1/0 5 /10 L(add l )

L In co m e Ga in C o d es: A =$I,00~ o r le ss B =$1.001 - $2.500( S ee C o l um n s B1 an d D4) F.=$50.1)01 - $100.000 " G =$100.001 - $1,000.000

2. Va l ue C o d es J = $15 .000 o r le ss K = $15 .001 - $50.000( See Colu mns CI and D 3) N =$250.001 - $500.000 O =$500.001 - $1.000,000

1 : 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50,000.0003 . Va l ue M et h o d C o d es Q = A pp raisal R = C o st [R ea l Es ta te O n ly )

( See Colu mn C2 ) U = Bo o k Va l ue V = O t h e r

C = $2. 5 01 - $ 5 . 0 0 0 D =$5.001 - $15.000 E =$15.001 - $50.000HI =$1.000.001 - $5.090.000 H2 =More than $5,000.000L =$50.001 - $100,000 M =$100.001 - $250.000PI =$1.000.001 - $5.000,000 P2 =$5,000,001 - $25,000,000?4 =More than $50.000.000S = Assessm en t T - -C ash M ar k e tW = Esl i m a led


6/22

FINANCIAL DISCLOSURE REPORTPage 6 of 1 1

N a m e o f P e r s o n R e p o r t in gR o b a r t , J a m e s L .

D a t e o f R e p o r t05 /13/2011

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 u ~ u e , ~ u ,~ o a J o n , (Includes those of spouse an d d e p e n d e n t c h i l d re n ; s e e p p . 3 4 - 6 0 of f i l ing instruc t ions. )[] NONE income, assets, or transactions.)N o reportable

35 . - - Ba nc o Pop . Co rp . N.A. CD C Interest L T36 . - - G E Mone y Ba nk CD A Interest L T37 . -- U.S. Treasury Str ips N o n e K T38 . - - S&P 500 I - Sha res C D i vi de nd N T Sold 0 1/0 4 /10 L(part)39 . - - Sc hwa b Mone y Fund B Interest N T40 . - - C a p m a r k B a n k C D C Interest L T41 . - - Sa l li eM ae Bank C D C Interest L T42 . - - U.S . T IP S B N o n e N T Bu y 0 4/26 /10 M( a dd l )43 . - - V a n g u a r d R E I T D Div idend O T Bu y 0 1/0 8 /10 M(add l )44 . - - E m rg . Mk t . I-Sha re B Div idend M T Bu y 08/1 1 / I0 L( a dd l )45 . M T Sold 0 1/0 4 /10 N(part)46 . - - G e ne ra l M i l ls No t e s C Interest L T Bu y 0 1/0 8 /10 L47 . - - Ba nk o f Am e r i c a No t e s C Interest M T Bu y 0 7/0 2/10 M48 . - - Morga n St a n l e y No t e s D Interest M T Bu y 10/08/10 M

49 . B R O K E R A G E I R A # 2

D

G

50 . -- U.S. Treasury Str ips N o n e5 1 . - - A m . C e n t u r y U l t r a M u t . F u n d A Div idend

TSold 08/11/10 J

1 . I n co m e Ga i n C o d es : A = $1,000 o r le ss B = $1 .001 - $2.5 00( S ee C o l um n s B 1 an d D4) F = $ 5 0 . 0 0 1 - $ 1 0 1 3 . 0 0 0 G =$100.001 - $1.000.000

2. Va l ue C o d es J = $15 ,000 o r le ss K = $15.001 - $50.000( S ee C o l um n s C 1 an d D3 ) N =$25 0,001 - $500.000 O =$5 00.001 - $1.000.000

P3 = $ 2 5 , 0 0 0 , 0 0 1 - $50.000.0003 . V alue M eth o d C o d es Q = A p praisal R -~2o sl tR eal Es ta te O n ly )( See Colu mn C2 ) U = Bo o k Va l ue V = O t h e r

C = $2. 5 01 - $5 , 000HI -~1 . 0 0 0 .0 0 t -$ 5 . 0 0 0 . 0 0 0L =$50.001 - ~,100.000P4 =More than $50.000.000S =Assessmen~W = Est i m a t ed

D =$5.001 - $15.000}12 =More lhan $5,000.000M = $100, 001 - $25 0. 000P2 =$5.000,001 - $25,000.000T = C a s h M a r k e t

E =$15,~01 - $50,000


7/22


N a m e o f P e r s o n R e p o r t in gR o b a r t , J am e s L .

Date of R e p o r t05/13/2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , v a l u e , ~ a n s a c a a . s a . cl u d e s th o s e o l sp o u s e a n d dependent children; see 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(No reportable income, assets, or transactions.)

52 . - - J a nus Ba l a nc e d Mut . Fund53 . - - T .R . P r i c e Ne w A si a Mut . Fund54 . - - Sc hwa b Mone y Fund55 . - - M S C I E A F E I n d e x F u n d56 . - - S & P 5 0 0 I - S h a r e s57 . - - MSC I E ra . Mkt s I Sha re58 . - - S&P 60 0 1 Sh a re s59 . F O UN DATI O N # 1

60 . - - B o e in g C o m m o n S t o c k

61 . - - E x x o n M o b i l C o m m o n S t o c k62 . - - I B M C o m m o n S t o ck63 . - - V e r iz o n C o m m o n S t o c k64 . - - 3 M C o m m o n S t o ck65 . - - RBC Pr i m e Mone y Fund66 . - - B P A D R67 . - - Pa c Ca r Inc .68 . - - Ba nc ro f t Fund

A D i vi de nd K TA D i vi de nd K TA Interest J TA D i vi de nd J TB D i vi de nd M TB D i vi de nd L TA D i vi de nd L T

B u y 02/12/10 J( add l )B u y 08/23/10 J

( add l )

B D i vi de nd K T Sold 10/25/10 K(par t)A D i vi de nd K T S o l d 12/0 7/10 K(par t)A D i vi de nd Sold 10/25/10 LA D i vi de nd Sold 12/09/10 LB D i vi de nd K T Sold 10/25/10 K(par t)A D i vi de nd M TA D i vi de nd Sold 0 5 /0 9 /10 K

A D i vi de nd K T Sold 12/07/10 L(par t)B D i vi de nd Sold 11/12/10 L

D

DDDD

BEC

( S ~ C o U ~ B i h a d D 4 ) E ~$50 00l ~i~,0~ ~S!O0,O0[ ~$1 ~0 000 H i - - $ 1 , 0 0 0 0 0 i ; $ ~ ; ~ ;~ 0 H 2 ~ M 0 r t h a n $ 5 , 0 0 0 , 0 0 0 :

P 3 = $25 , 000; 00 : $5 0 000 000 P,l =Mdre than ;3. V a lue Meth od Cod es Q =A ppraisal R- -C o s t ( Rea i Es t a t e On l y ) S =As~"i~t ::

( S e e C o k t r a t x C 2 ) U =Book val~ v = G t h e r W - - E s t i m a t e d


8/22


Name of Person Repor ting [ Date of ReportR o b a r t , J a m e s L .

[05/13/2011

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 o l , , e , ~ a n s a ~ t l o n s a n c i . d e s t h o s e o f s p o u s e and dependent children; see p p . 3 4 - 6 0 of fil ing instructions.)~] NONE income, assets, or transactions.)N o repoFtable

69 . - - E a g l e M i d C a p F u n d D Div idend70 . - - F i de l i ty L e v . Co . Fund A Div idend71 . - - K e e l e y Sm . Ca p . Fund A Div idend72 . - - Russe l l E m e rg . Mkt s FD B Div idend73 . - - Thornbe rg In t l V a lu e FD B Div idend74 . - - Thor n .be r g I n t l Gr ow th F D A Div idend75 . - - E a t o n V a n c e I n c o m e F D D Interest76 . - - P i m c o B d . F u n d D Interest77 . - - J .P . Morga n Inc om e Bd . Fund E Interest78 . - - Ba nk o f Mon t r e a l A Div idend79 .80 . - - P rax a i r A Div idend81 .82 . - - ISha re s Me d D e vi c e s A Div idend83 . - - ISha res Globa l M ate r i a ls Index B Div idend84 . - - ISha res Tech Index A Div idend85 . - - I S h a r e s C o n s u m e r S e r v I n d e x A Div idend

M T

M T

N T

L TM T

M TM TN T

N T

LLLL

T

T

T

T

T

Bu y 0 7/29 /10

Bu y 0 7/29 /10(add l )

Bu y 0 6/28 /10 JBu y 0 6 1 2 8 1 1 0 K( a d d l )Bu y 11/11/10 K(ad d l ) .Bu y 0 4/15 /10 KS o l d 12/07/10 KBu y 0 1/20 /10 K

Sold 10/23/10 J(part)Bu y 02/01/10 LBu y 02/01/10 LBu y 02/01/10 LBu y 02/01/10 L

D

1 , I n co m e Ga i n C o d es :tSee Colu mns B I and

2.Val ue C o d es( See Colu mns CI and D 3)

3 . Val ue M et h o d C o d es( See Colu mn C2 )

A = $1,000 o r le ss B = $1 ,001 - $2,5 00 C = $2. 5 01 - $5 , 000 D =$5.001 - $15,000F= $5 0,00 1 - $10 0.000 G =$100,001 - $1 .000.000 HI =$1.000,001 -$5.000,000 H2 =More than $5,000.000J = $15 ,000 o r le ss K = $15.001 - $50.000 L =$50,001 - $100.000 M = $106 . 001 - $25 0, 000N =$25 0,001 - $500,000 O =$5 00.001 - $1 ,000.000 P I =$ 1.0 00 .0 01 - $ 5 .0 00 .0 00 P 2 = $5 ,0 00 ,0 01 - $ 2 5, 00 0.0 00P3 =$25,000.001 - $50.000,000 P4 =More than $50,000.000Q =Appraisal R = C o s t ( Rea l Es t a te On l y ) S = Assessm en t T = C a s h M a r k e tU = Bo o k Va l ue V = O t h e r W = Est i m a t ed

E=$15.001- $50.000


9/22


N a m e o f P e r s o n R e p o r t in gR o b a r t , Ja m e s L .

Date of R e p o r t05 /13/2011

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 u l u e , ~ a u s u e t i o n s (Includes those of s p o u s e a n d depeudent children; see p p . 3 4 - 6 0 of filing instructions.)[] NONE(No reportable income, assets , or transact ions . )

86 .

87 .

88 .

89 .

90 .

91 .

92 .

- - J . P . M o r g a n L a r g e C a p F u n d B D i v i d e n d N T B u y 07/29/10 N

- - I S h a r e s He a l t h C a r e B D i v i d e n d B u y 02101/10 L

S o l d 12107/10 L

-~ J .P. Morgan Aler i an Index

V a n g u a r d I n t l. T a x M a n a g e d F u n d

T R E A S U R Y D I R EC T A C C O U N T

- - 6 / 3 0 / 1 3 N o t e

B D i v i d e n d KE D i v i d e n d PI

C Interest

TT

2. Vaiue Codes ~ : $ i ~ i ~ $ ~ ; ~ b O :P3 =$2~j000;~ i ~ $50:000~000 ::

3 . V a l u e M e t h o d C o d e s Q ~ A p ~ a i ~ l R ~ 0 ~ t i R ~ a i ~ t ~ t~ o n ! y ) s ~A~sSrnent T ~h Marke t( S e e C o l u m n C 2 ) U = ~ o o k V a l u e w - - E s t i m a t e d


10/22

FINANCIAL DISCLOSURE REPOR TPage 10 of 11

Name o f Pe rson Report ingR o b a r t , J a m e s L .

Date of Report05/13/20I 1

VIII . ADDITIONAL INFORM ATION OR EX PLANATION S . (Indlcatepart of report.)


11/22

FINANCIAL DISCLOSURE REPOR TPage 11 ofll

N a m e o f P e r s o n R e p o r t i n gR o b a r t , J a m e s L .

Date of Repor t05/13/2011

IX. CERTIFICATION.I c e r t if y t h a t a l l i n f o rm a t i o n g i v e n a b o v e ( ~ n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e, t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l ie f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t at u t o r y

p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I further certify that earned incom e from outside employm ent and hon oraria and the acceptance of gifts which have been reported are incom pliance w ith the prov isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conferenc e regulations.

Signature: S/Jam es L. Robart

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 F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE 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 . a p p . 1 0 4 )

Committee on Financial DisclosureA d m i n i st r a ti v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


12/22

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010Report 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 o b a r t , J a m e s L .

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part- time)U. S . Di s t . Ju d g e ( ac t i v e )

7. Cham bers or Off ice Address700 Stewart Street , 14th FloorSea tt l e , WA 9810 1

2. Cour t o r O rganiza tionU . S . D is t C o u r t , W . D . o f W A

3. Date of Report09/08/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in com pliancewith applicable laws and regula t ions .

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

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followet~ Complete ail parts,checking the NONE box for each part where you ha ve no reportable in format ion. Sign on last pag~

I . P 0 S I T I 0 N S . m e p o r ~ n g i n d i v i d . a l o n t y ; see p p . 9 - 1 3 of filing instructions.)~] N O N E (No reportable positions.)

POSITION1 . Ch a i r o f Boa rd o f T rus tee s W h i t m a n C o l l e g e2. T rus tee Foun dation # 13.

4.5.

NAME OF ORGANIZATION/ENTITY

II . A G R E E M E N T S . ~ R e p o r a n g individual only; seepp. 14-16 of f i l ing instructions. )~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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F I N A N C IA L D I S C L O S U R E R E P O R TPage 2 of 11

N a m e o f P e r s o n R e p o r t i n gRobart, James L.

D a t e o f R e p o r t09/08/2011

I I I . N O N -I N V E S T M E N T I N C O M E . t R e p o r a n g i n d i v id u a l u n d s p o ~ e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Inve stmen t Income~ NO N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.3.4.

I N C O M E( 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 - I f yo u w ere married during any portlon o f t h e reporting year, complete this section~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t fo r h o n o r a r i a . )[ N O N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE1.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodglng, food, entertainment.( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c ti o n s . )~-] (No reportable reimbursements.)O N E

SOURCE DATES LOCATION ITEMS PAID OR PROVIDED1 . A m e r i c an C o n f e r e n c e June 3 -4 , 20 10 Dal las , Texas Data Pr ivacy Confe rence A i r f a r e a n d L o d g i n gInstitute C LE2. A m e r i c an C o n f e r e n c e Februa ry 25 -26 , 20 10 N e w Y o r k , N e w Y o r k Employment A i r f a r e a n d L o d g i n gInstitute Discr imin a t io n L i t ig a t io nC o n f e r e n c e C L E3. A m e r i c an C o n f e r e n c e May 18-19 , 20 10 P h i l a d e l p h i a , P e n n s y l v a n i a L i t i g a ti n g a n d M a n a g i n g Airfa re , Tra in Trav e l , an d L o d g in gInstitute A s b e s to s C l a im s C L E4.5.

PURPOSE


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F I N A N C IA L D I S C L O S U R E R E P O R TPage 3 o f 11

N a m e o f P e r s o n R e p o r t i n gRobar t , J ames L .

D a t e o f R e p o r t09/08/2011

V . G I F T S . a n a u d e s t h o s e t o s p o u , e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)NONE (No reportable gifts.)

S O U R C E D ESC R IPTION1 .2.

3.

4.5.

VALUE

V I . L I A B I L I T I E S . a n e l u d e s t h o s e o Z s p o ~ e u n d dependent children; see pp. 3 2 - 3 3 of fillng instructions.)D N O N E (No reportable liabilities.)

CREDITORi. Ban k of America C r e d it C a r d2. Ban k of America C r e d it C a r d3. W hitman College M ulti-y ear p ledge4.5.

D ESC R IPTION VALUECODEJJM


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 4 of 11 Ia m e o f P e r s o n R e p o r t in gRobar t , J ames L . D a t e o f R e p o r t09/08/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)[ ~ ] NONE(No reportable incom e, assets , or transactions.)

1 . Key Bank A I n t e r e s t J T2. Ke y Ba n k A I n t e r e s t J T3. Oak Ha rbor, WA Island Cnty Rental A R e n t O S

Property (2010 - $695,955)4. Seattle , WA K ing Cnty Rental Property D R e n t M S(2010 - $249,000)5. Bank of Washington Common Stock None J T6. B R O K E R A G E A C C O U N T # 17. -- Starbucks Common Stock D Dividend O T

8.9. - - Schwab M oney Ftmd A I n t e r e s t L T

1 0 . -- Silver Standard Common Stock None J T1 1 . -- Energy Connect G rou p None J T1 2 . - - MSCI Em. Mk ts I-Shares D Dividend PI T1 3 . -- MSCI EAFE Index Fund C Dividend N T1 4 . - - S&P 600 I-Shares C Dividend N T1 5 . - - Vanguard REIT Fund D Dividend N T1 6 . - - S&P 500 IShares D Dividend O T1 7 . - - Boston Priv. Fin. Hldg. A Dividend K T

Sold( p a r t )Donated( p a r t )

08/I 1/10 K

l . l nc0 me G a i n C o d e s : A =$1,000 or less B =$1.001 - $2.500/See Columns B1 and IM ) F =$50.001 - $i 00.000 (3 =$100.001 - $1.000.000

2 . Va lue C odes ] =$ |53~0 or less K =$15.001 - $50.000(See Columns C1 and D 3 ) N = $ 25 0.001 - $ 5 00.000 O = $ 5 00.001 - $ t . 000.000

P3 =$25.000.0~1 - $50.000.0003. V a l u e M e t h od C o d e s Q = A p p r a i s a l R =Cost (Real Estate Only)(See Column C 2 ) U =B o o k V a lu e V =Olhe r

C =$2.501 - $5,000H 1 =$1,000.O01 - $5.009.000L =$50.001 - $100.000PI =$1.000.001 - $5.000.000P4 =More than $50,000,000S = Aas eas men tW =Estimated

D =$5.001 - $15.000H 2 =More l h an $5 .0 0 0 .0 0 0M =$100.001 - $250.000P2 =$5,000,001 - $25 .000.000T-- -Ca s h M a r k e t

E =$15,001 - $50,000


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 5 of 11

~ a m e o f P e r so n R e p o r t i n gRobart, James L.

D a t e o f R e p o r t09108/2011

VII . 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 u l u e , t r o = a c , i o n s a n c i u d e s t h o s e o f s p o u s e and dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)[] NONE(N o reportable income, assets , or transactions.)

1 8 . C h e v r o n C o m m o n Stock D Di v i d en d M

1 9 . V a n g u a r d G N M A M u t u a l F u n d D Di v i d en d M

20 . B R O K E R A G E I R A #1

21 . - - S ta rbu c k s C o m m o n Sto c k N o n e

22 . - - G o v t F H L B B N o t e s C Interest L

23 . - - R e so lu tio n T ru s t Str ip s N o n e L

24 . - - F e d N a t M o r t g . N o t e s D Interest N25 . - - M B F i n a n c ia l C D A Interest

26 . - - B M W B a n k C D C Interest

27 . - - Me t r o Ba n k C D C Interest28 . - M S C I E A F E I n d e x I - S h a r e s D Di v i d en d P129 . - - S &P 6 0 0 I S h a r e s D Di v i d en d P130 . - - S W Ba n k o f S t . Lo u i s C D C Interest L

31 . - - C o s t c o C o r p . N o t e s C Interest L

32 . - - N a t . C i t y Ba n k C D C Interest L

33 . - F i r s t B an k o f P u er t o R i co CD B Interest K

34 . - - G E C a p i t . N o t e s D Interest M

TT

T

T

T

TTTTTTT

S o ld 01/04/10 N G

M a t u r e d 0 7 / 1 7 1 1 0 K D( p a r t )

Mat u r ed 0 3 /11 /10 LMat u r ed 0 9/0 1 /10 L

Mat u r ed 0 7/16 /10 LB uy 08 /1 1 / I0 M( add l )B uy 01/05/10 L( add l )

2 . V a l ,~ e c o , ~ = ~ =$~s,ooo o~ l,~ ~ =$1 s,ooi : sso.oo0 .... i( S e e C o l u m n s C I a n d D 3 ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . 0 0 0 O = $ 5 0 0 , 0 0 1 2 $ 1 ,0 0 0 ~ 0 0 0 P i - - $ ii ~ 0 ~ 0 0 1 ; $ ~ 0 0 0 ~ 0 0 0 P 2 - - $ 3 0 0 0 0 0 1 $ 2 5 0 0 0 0 0 0

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 , 0 0 03 . V a l u e M e l h o d C o d e s Q = A p p r a i sa l R = C o s t ( R e a l E s t a te O n l y )( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h er


17/22


N a m e o f P e r so n R e p o r t i n gRobar t , J ames L .

Date of Report09/08/2011

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 , ~ e , v u i n e , t r a n s a c ti o ,~ a n e l u d e s t h o ~ o y s p o u s e a 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 4 - 6 0 of f i l ing instruc t ions.)[] NONE(No reportable income, assets , or transactions.)

35 . - - Ba n c o Po p . C o r p . N . A . C D C Interest L T

36 . - - G E M o n e y B a n k C D A Interest L T

37 . - - U .S. T re a su ry Strip s N o n e K T

38 . - - S &P 5 0 0 I - S h a r e s C Di v i d en d N T S o ld 0 1 1 0 4 1 1 0 L D(par t )39 . - - S c h w a b M o n e y F u n d B Interest N T

40 . - - C a p m a r k B a n k C D C ln te res t L T

41 . - - S a l li e M a e B a n k C D C Interest L T

42 . - - U.S . TIPS B N o n e N T B u y 04/26/10 M( ad d l )43 . - - V a n g u a r d R E I T D Di v i d en d O T B u y 01/08110 M( ad d l )44 . - - Em r g . Mk t . I - S h a r e B Di v i d en d M T B u y 08/11/10 L( ad d l )45 . M T S o ld 01/04/10 N G(par t )46 . - - G en er a l M i l l s No t es C Interest L T B u y 01/08/10 L

47 . - - Ba n k o f A m e r i c a N o t e s C Interest M T B u y 0 7 / 0 2 / 1 0 M

48 . - - Mo r g a n S t a n l e y N o t e s D Interest M T B u y 10/08 /I0 i M

49 . B R O K E R A G E I R A # 2

50 . - - U.S . Treasury St r ips N o n e K T

51 . - - A m . C e n t u r y U l t ra Mu t . F u n d A Di v i d en d S o ld 08/I 1/10 J

2 , V a lu e Co d e s J=$ 15 ,0000r ie ss K--$15,001 :$50,000 L =$50 ;0 0 i ~ $1 0 0 ,0 0 0 :(Se e Co lu m n s CI a n d D3) N =$ 25 0,001 - $ 500,000 O ~$5 00;001 ~ $ i;~ 0~ 000 ~$ 1 ,000,00i ~ $ 5 i000;0~

P3 =$25 000,001- $50,000 000 p~ --M6~e thaa $501000,000 :3 , Va lue M eth od C odes Q =AppraiSal R =C o s t (Re a l Es ta t~ On ly) : S ~m~i : T ~fi ~arket :

(Se e Co lu m n C2 ) U =Book vaiue ..... v =Other ...... : w ~Estima~ed


18/22


N a m e o f Person Repor tingR o b a r t , J a m e s L .

Date of Report09/08/2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , v o l u e , ~ u n s o c a o n s a n c t u d e s t h o s e of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)~ NONE income, assets, or transactions.)N o reportable

52 . - - J anus Ba l anced Mut . Fund53 . - - T . R . Pr i ce New Asi a Mut . Fund54 . - - Schwab Money Fund55 , - - M S C I E A F E I n d e x F u n d56 . - - S&P 500 I - Shares57 . - - MSC1 Em . Mkt s I Sha re58 . - - S& P 60 0 1 Sha re s59 . F O U N D A T I O N # 160 . - - B o e i n g C o m m o n S t o c k

61 . - - E x x o n M o b i l C o m m o n S t o ck62 . - - I B M C o m m o n S t o c k63 . - - V e r iz o n C o m m o n S t o c k64 . - - 3 M C o m m o n S t oc k65 . - - RBC Pr ime Money Fund66 . - - B P A D R67 . - - PacCa r Inc .68 . - - Banc rof t Fund

AAAAB

BA

B

AAAB

AAAB

Di v i d en d KDi v i d en d K

Interest J

Di v i d en d JDi v i d en d MDi v i d en d LDi v i d en d L

Di v i d en d K

Di v i d en d KDi v i d en dDi v i d en d

Di v i d en d K

Di v i d en d MDi v i d en d

Di v i d en d K

Di v i d en d

T

T

T

T

T

T

T

T

T

T

T

B uy 0 2 1 1 2 1 1 0( a d d l )Buy 08/23/10(ad d l )

JJ

Sold 10/25/10 K(part)Sold 1 2 1 0 7 1 1 0 K(part)So ld 10125/10 LSold 12/09/10 LSold 10/25/10 K(part)

Sold 0 5 /0 9/10 KSo ld 12/07/10 L(part)Sold 11/12/10 L

D

DDD

D

B

EC

L I ncome G ain C odes :(See Columns B] and I34)

2.Value C odes(Se e Co lu m n s CI a n d D3I

3.Value M eth od C odes(Se e Co lu m n C2 )

A =$1,000 or lessF =$50 .0 0 1 -J=$15.000 or lessN =$250.001 - $500.000P 3 =$25,000.001 - $50.000.000Q=AppraisalU =B o o k V a lu e

B = $ 1 . D 0 1 - $ 2 .5 0 0 C = $ 2,5 01 - $ 5 ,000 D = $5 ,001 - $ 15 .000G =$100.001 - $1.000.000 1t | =$L000,O01 - ~;5.000.000 H2 = M or e t h anK = $ 15 .001 - $ 5 0,000 L =$50,001 - $100,000 M = $ ] 0 0 ~ 0 0 1 ~ $ 2 5 0 , 1 ) 0 0O = $ 5 00.001 - $ I . 000.000 p l = $ ] . 0 0 0 . 0 0 1 - $5,000,000 ~ 2 ~ $ ~ . 0 0 0 . 0 0 1 ~ $25.000.000

P4 =More than $50,000,000R = C os t ( R ea l Es ta t e On ly ) S = As s es s men t T - ~2ash Mark e tV = O th er W = Estim ated

E = $ 1 5 .001 - $ 5 0 .000


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 8 of 11 Ia m e o f P e r s o n R e p o r t in gRobar t , J ames L . Date of Report09/08/201 !

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 o lu e , ~ o ~ o c t i o n s a n c t u d e s t h o s e of spouse and dep en den t c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

69 . - - Eag l e Mid Cap Fund D Dividend M70 . - - F ide l i ty Lev . C o . Fund A Dividend M71 . - - Kee l ey Sm. Cap . Fund A Dividend N72 . - - Russe l l Emerg . Mkt s FD B Dividend L73 . - - Thom berg In t l Va lue FD B Dividend M7 4. - - Thornbe rg In t l Growth FD A Dividend M75 . - - E a t o n V a n c e I n c o m e F D D Interest M76 . - - P imco Bd . Fund D Interest N77 . - - J . P . Morgan Incom e Bd . Fund E Interest N

78 . - - Bank o f M ont real A Dividend7 9.80 . - - P raxa i r A Dividend K81 .82 . - - ISha re s Med Device s A Dividend L83 . - - lSha re s G loba l M a te r i a ls Index B Dividend L84 . - - IShares Tech In d ex A Dividend L85 . - - IShares C o n su mer Serv In d ex A Dividend L

TTTTTTTTT

TTTT

Bu y 0 7/29/10

B uy 0 7/29/10(add l )

B u y 06/28/10 J

B u y 06/28/10 K( ad d l )B u y ll/ll/10 K

( ad d l )B u y 04/15/ I0 KS o ld 12 /07 /10 K

B u y 01/20/10 K

S o ld I 0 / 2 3 / I 0 J(par t )B u y 02/01/10 L

B u y 02/01/10 L

B u y 02/01/10 L

B u y 02/01/10 L

D

(Se e Co lu m n s CI a n d D3) N = $ 25 0 001 g$ 5 00 O - - $ ~ 0 0 ~ i $ i ;~ 0 , 0 0 0 : Pi ~$! ~ P2 --$5 i000,00i ~ $25i900"0003 . V a lu e M e th o d C o d es Q ~A p p ra is a l R ~0~t (ResiEsta~e 0~i~) T - - C a s h M a r k e t

(Se e Co lu m n C2 ) U =Book Value .... ....... .... :


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 9 of 11

N a m e o f P e r so n R e p o r t i n gRobart, James L.

D a t e o f R e p o r t09/08/20 ! 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 u l u e , tr a u s a c t i o , ~ a n c i u d e s t h o s e of spouse and dependent chi ldren; see p p . 3 4 - 6 0 of fi l ing instructions.)D NONE(No reportable incom e, assets , or transactions.)

86 .

87 .

88 .

89 .

90 .

91 .

92 .

93 .

- - J.P. Morgan Large Cap Fund- - I S h a r e s H e a l th C a r e

- - J . P . Mo r g a n A l e r ia n I n d e x

V a n g u a r d I n t l . T a x M a n a g e d F u n dT R E A S U R Y D I R E C T A C C O U N T-- 6 /30 /13 Note

DividendDividend

Dividend K

Dividend P 1

I n t e r e s t

N T Bu y 0 7/29/10 NBu y 02/01110 LSo ld 12/07 /10 LBu y 02/01110 KSo ld 10/25/10 J(part)

2~ vaiue odes .... ? : L = $ 50 ,00 i i $ 1 ~ ;0 00 M -$ 1 0 0 ,0 0 1(See Columns C1 and D3)N ~$2~0~i ~ $500~ 0 ~$500,001 ~ $i;000,000 P l - -$ L000~00i ~ $ 5 ;000~000 P 2 - - $ 5 , 0 0 0 , 0 0 1 - $ 2 5 ~ 0 0 0 , 0 0 0

3 . Va lue M eth od C odes Q " A r a i~ a l R =C o s t (R~ f i i Es ta te On ly) S - - A s ~ i ~ m e m X = C as h M ar k e t(See o lu m n C2 ) ~ ~ O t h e r W =Estimated .........

E = $ 15 ,001- $ 5 0,000


21/22

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 1Nam e of Per son Repor ting

R o b a r t , J a m e s L .Date of Report

09/08/2011

V I II . A D D IT I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicatepartofrepor~)


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james l robart financial disclosure report for 2010

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