·nncial disclosure report reort required by the ethia for ...€¦ · vii. s. sutrust bank(ia)...

fi7I

POSITION NAME OF ORGANIZATIQNIENIDY

PARTIES AND TERMS

(_j

Report Required by the Ethia ·FINANCIAL DISCLOSURE REPORT in Government Act of/ ')78

FOR CAI.ENDAR YEAR 2009 (S U.S.C. opp• .f§ 101-111)

I. Peraoa Report1a1 (lasl name, first, middle initial)

ROBERTS, RICHARD W.

4. Tide (Artie!; m ;uc1g .. indicato octi•c or s.enior sl&tuS; magismlc judges indic&lc fuD- or pan-lime)

U.S. DISTRICT JUDGE, ACTIVE

l. Court or Or1aalz:atioa

U.S. DISTRICT COURT, 0.0.C.

Sa. Report T)11• (che<:k appropriate type)

D Nomination. Date

D Initial D AMual D Final

3. Date or port

091'z..1Jf010

6. Rcportloc Period

OJ/0112009 to

1213112009 Sb. A Repon

7. Cbaruben or Office Addrcn

U.S. DISTRICT COURT 333 CONSmUTION AVENUE, N.W. WASHINGTON, D.C. 2000 I

8. Oa the basil or the iaformado• coatalacd In lhb Report Hd uy modl!lcalloos ptrlllo.IJI& thereto. II is, la my oplaloa, la compllaact wltb appllcablt law1 •ad rcaulat!Ga1.

Rc•l•wlac Officer Datt

IMPORTANT NOTES: The illltructions tlccotnpoying tJru/onn 1t1ust be/o ..-etl. Complt!k all parts, chuklng the NONE boxfor uclt part""'" J>O" lta•t! "" reportable lnfo,,,,,,tion. Sign on lastpage.

I. POSITIONS. (RqJOnln1lirdirid'"'1onfy:mpp. 9-/Jofflil1111Ju1n.a/01U.)

NONE (No reportable positions.) [{]

I.

2.

4.

s.

II, AGREEMENTS. (Repord1ffln4iridull/onl,]1;1t1pp.U-/6"/fiU111in1u11clio11s.}

[Z] NONE (No reportable agreements.)

I.

2.

3.

····..

- ·· .. ..._,,_, -· .......

-··i

I ..c-

SO!JRCE AND TYPE INCOME

SOURCE AND TYPE

SOURCE LOCATION PURPOSE ITEMS PAID OR PROYIDED

I.

Date of Report Name of Penon Reportlnr, FINANCIAL DISCLOSURE REPORT

091'.&1/:lOIOROBERTS, RICHARD W. of8

III. NON-INVESTMENT IN co ME. (R•pordnr lntiiv/dlla/ •"" l{'OllJ<; ... pp. 17-14 11/jiUnz lllllr11ctlo11S-)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

(yours, not spouse's)

2.

3.

4.

B. Spouse's Non-Investment Income - t/10• wue 11U1triet1411rlng atryportlo11oflhueportlngye11r, complete thu uctlon.

(Dollar amount not required exceptfor honorarla.)

D NONE (No reportable non-investment income.)

I. 2009

2.

3.

4.

IV. REIMBURSEMENTS - tra rtatlort, "'"''"'·foot/, entertabunenl.

(Includes 1Jtos1 to Jp<Hlll and lkpendenl cAl/dran; '"pp. JJ.]1 ofliling ;,.,1ructiunJ.)

D NONE (No reportable reimbursements.)

l2AIES

I. HARVARD LAW SCHOOL JAN. 12 • 16 CAMBRIDGE, MA GUEST FACULTY TRANSPORTATION, SOME MEALS, OTHERS MEALS AND LODGING PROVIDED.

2. VASSAR COLLEGE OCT. 16-17 POUGH KEEPSIE, NY AWARDEE TRANSPORTATION, MEAL, AND LODGING PROVIDED.

3. NEW YORK INTELLECT UAL PROPERTY LA WYERS ASSN.

MAR. 27-28 NEW YORK, NY FED. JUDIC. DINNER TRANSPORTATION. MEALS, AND LODGING PROVIDED.

4. D.C. BAR JUN. 9, SEJ>T. 16 WASHINGTON DC CLE LECTURER PARKING

5. LA WYERS WITHOUT BO ROERS

JUL. 20 ·AUG. 2 NAIROBI, KENYA ADVOCACY TRAINING SOME MEALS AND TRANSPORT A TI ON. OTHER MEALS ANO LODGING PROVIDED.

SOURCE

CREDITOR

DESCRIPTION

DESCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT

of8

N•mc oC l'cnon Rcportln&

ROBERTS, RICHARD W.

Date e1f Report

091ij/2010

V. GIFTS• (/Adllilu llffn• to •pt11u• aN/ tlt:penicrl clUUJren; "'"pp. 28-J I of fiJ/111 /nstruCl!ons.)

[{] NONE (No repor/able gifis.)

l.

2.

3.

4.

5.

[Z] NONE (No reportable liabilities.)

l.

2.

3.

4.

s.

·---------· o.

I l l _..._ _:_W)_3- rc-dcm_pt_ion- : .J J.P> __ 1ra_<i_ _·:_ _> _____

(=----i 401(K) Y

! EMPLOYEE

! I E

-----

otini.> .L (J-P> -·o= _ _c:J .

I.

8.

14.

Q•Appm..1

Dair ofJU-portNam< or Per1<1n RrportiqFINANCIAL DISCLOSURE REPORT

of8 091z.1/2010ROBERTS, RICHARD W,

VII. INVESTJ.\.1ENTS and TRUSTS - Ju-•• ..Jw, ITOllS•ctioas (l11Cluiu t/oo•••/ JPOUU ll.M i•paWml tlliliNK; ... pp. U-611 of fl/Uiz lnslr11diolu.) 0 NONE (No reportable income, asseJs, or transactions.)

--·----1A. B. c.

l>elcriplion of As<cis Income durin1 C,.,.. value 11 tnd of Traruoc!Kim durinJ reportinc period I (includinJ lrusl useu) rcportins paiod rq>Ortina paiod

(I) (2) . --t (I) (2) (I) T (2) (3) i (4) (5)IAmOWll T)'PC(•-•· I Value Value Typc(c.1. i Dale v.1 ... Gain ldi:ntityof

i tPlacc'(X)"aflcrcochusct

ncmpl Crom prior di•closwe Code 2 Code I iII Code IA

div., n:nt, Code 2 I

Mclhod buy, sell, I M""lh • buyer/"llcr . J····--·--·-·--------------·---; < -H>

JUSTICE FEDERAL CREDIT UNION D ln1cm;t M T ACCOUNTS

2. CITIBANK ACCOUNTS

3. DELHAZE AMERICA COMMON STOCK

4. SMALL CLAIMS JUDGMENT AGAINST JOHN BOWEN

S. SUNTRUST BANK (IRA) (2CDS)

6. {FIDELIT )

7. FEDE.RATED CAPITAL RESERVES

C

A

A

A

A

Interest N T

Dividend T

None T

ln st Closed VAR. K A

lnt./Div. M T

Dividend T

VCSP COLLEGE AMERICA

9. NUVEEN MULTl-sTRATEGY +INC.

l0. STOCK OPTIONS

11. EMBARQ STOCK lit. R ST'RICTED STOCK

12. WACHOYJA ESTATE #2 ACCOUNT

13. WACHOVIA ACCOUNTS #3

A

B

B

Dividend T

None N T GRANT 2125 N

Dividend M T GRANT VAR. L

None T

lntcrc. t L T

CAPITAL WORLD GR+ INC FND Dividend TA

15. WASHINOTON MUT. INVR. FND A

16. EUROPACIFIC GR. FND A

17. E UROPAClFIC GROWTH FUND (RJ IRA }

A

1.1......., Gola Codcl; A -S 1,QOO or I.., (5"CdWIUllBl 111404) r •1'0,001 • Sl00,000

l.VaJucCoda I •Sl,,000 or lea !Sec CdllRlm Cl IDd Dl) N -sz50,00I • SS00,000

Pl -SU,000,001 • SS0,000,000

Dividend T

Dividend T

Dividend K T

·-··-- ------··B-Sl,001 • $1,SOO c -Sl,501 • $3,000 D -15,001 • S1'.000 G -SIOO.OOI • Sl.000,000 HI -Sl.000.001 • Sl,000.000 Ill •Mo .. Ihm s .000.000 K -S1'.ll01 • SlO,OOO L-S'°-001 •SIOO,OOO M -S 100.001 • SlJ0,000 O •S.l00,001 • Sl,000.000 Pl -Sl.000,001 • Sl.000,000 Pl •SM00,001 • Sll.D00.000

P4 •M,.. tbaa $30,000,000 l. Val"° Mcd>od C<>dci s-...._ ..... ,

W•Utiml<cd

I

TOCK,(RJ)

__ _

(I)

T(i)-1(3) : (4)

Dalt of Rrpor1 Name of rcnon !Uport1nc FINANCIAL DISCLOSURE REPORT

of8 ROBERTS, RICHARD W.

VII. INVESTMENTS and TRUSTS - incom•, ,,..,0#6, ,,a,,,•ction• r1,.c1Mdu 11t01••/•P•"" a"""' """'' c1tu.tnm: .,, PP· u-60 •fflTint '""'"""""'·)

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

A. B. c. D. Tnnnctio111 durinc reponin& period Descriplion of ASICll In durin1 Gro .. voJ11e ll end of

(inoluding ln!st wets) RJ>Orting period rting period

(1) (2) (I) i (2)Type <•·S-· Value Daic Value

i Month· Code 2 ! Day (1-P)

<'> Identity orbll)'cr/1cller(ifpriv11e

ll'ln>a1:tion) '

CainCode I (A•H)

'Place ·oo· after each a.u<I '. Value Type (e.s.. Method

IAmount 1 I , Code 2Code I div., mil, buy, sell,••empt from prior di<claswe :

---------t��: J...:.r:t:'.. -��:- - -�. · - ..:cm ion) I'--· ; J. ··- __ .i. _. ___J------·-·--- ·

18.

19.

FIDELITY ADVISOR NEW INSIGHTS (RJ IRA)

FRANFLIN STRATEGIC INCOME (RJ IRA)

A

c

Dividend

Dividend

K

L

T

T Buy VAR. J

20. SHARES BARCLAYS TIP (RJ IRA) B Dividend K T

21.

22.

SHARES BARCLAYS 1-3 YEAR TREAS URY (RJ IRA)

SHARES MSC£ EAFE (RJ IRA)

A

A

Dividend

Dividend

K

K

T

T

23. JP MORGAN VALUE ADV ANT AGE (RJ IRA)

B Dividend L T

24.

25.

VANGUARD TOTAL STOCK MARKET (RJ IRA)

MORGAN STANLEY CD (RJ IRA)

A

A

lntJDiv.

lnteresi

M T

Redeemed 12110 L A

26. MERRILL LYNCH CD (RJ) A Intcrcsl Redeemed 1/9 L A

27. None K T

28. CASH ACCOUNT (RJ IRA) A lnletCll K T

29. CASH ACCOUNT (RJ) A Interest L T Buy 112!> L

30. US TREASURY STRIP (RJ IRA) A Dividend K T

31. FIDELITY MUNICIPAL INCOME FD A Dividend J T Buy VAR. L

32.

33.

34.

EMBARQ STOCK (RJ)

CENTURY TEL STOCK

ALLY BANK CDS

A

A

A

Dividend

Dividend

Interest

K

L

T

T

Transferred(lo line 33)

Merged (with line 32)

Buy

7/10

7110

VAR.

J

K

L

EMBARQ BECAME CENTURY TEL

FROM EMBARQ STO CK

1. /11o>mc Oaio Codca: (5« CohmN BI and I>')

1 ValucCoJq {S<c Columns Cl Dl)

], Value Mtlhod C00et (Sec Columll Cl)

A -S 1,000 or ldll f •1'0,001 • $100,000 I-SI 5,000 or l<u N-SlS0,001 • $300,000 Pl •$15,000,001 • U0,000,000 Q•Appn.iulU •Book VIN<

B •$1,00 I • Sl..!00 o-1100.001-s1.ooo.ooo K •Sll.001. Sl0,000 0 -SSOO,O(IJ • S 1.000,000

R -COot (Res! Utou Only) V-<>th"'

C •Sl,SOJ • Sl,000 HI -SJ,000.00l ·SS.000,000 L •S l0,00 I • SI 00,000 Pl -Sl,000,001 • Sl,000,000 P4 -M lhan SS0,000.000 S-Aacumnit w •Eariaialod

D-$$,001 • Sll,000 E •Sll,001 • Sl0,000 Hl •Mort 11\an SS.000.000 M •SJ00,001 • $250.000 Pl •SS,000,001 • SlS,000.000

--

: c17°itinJ�� ( rtin �cE----1-- m-r·m .......

I ; __ :=P :.J ��>-

9A, =-:J :---i I -529A,

.---i -:J:J .. ' .

-S29A J ....

AMERJCA "j529A, · -- L .J .. U. . j( tl fCUjITlES

FUNf.11f I ; .. . .,.J

S29A,L J :-::-1 .. J AME,ICA

J. �-=l.

;.J :-----:1 :-::-] ' . .. '

n 1

, J L I GOV ITIES

:=::-1· ;. .. . . .... . . .

D.

- , ... (l)--1-·(4) --1 . · .... . ---!

Date of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT of8 09•11po10ROBERTS, RICHARD W.

VII. INVESTMENTS and TRUSTS - ,,,.,,.. e, Wt/Mt, tmuacd,,... (lnclMJa thou o/spoMU and dtpendmJ clr14/ron; '"pp. 3'-60 ofjillng instrac:tions.)

-0 NONE (No reportable income, assets, or transactions.) -· ··· ····---···-----A_.---------···-r· B. C. j

Tr1nnclions durin1 rcponlns period 1. I

. 0..aipllon or Asscls i Income durina I Gro...a1... 11 end or : (includinauus1....u)

Pbcc"(X)"11\crc:och ....1 !Amounl I ! Value ] OainIType(•.&• j Value ' Valve Typc(e.g.,

orinL)--- ---�:_ ..J. Dale ldailityof,eJ1.emp1 fi"om prior disclosu:e ; Code I div. n:nt, 1 Code 2 j Month..Mclhod buy, sel Code 2 Cod< I buyer1..11cr

J. (J·Pi_ J .. (A-. - Il m .. . ·r -·- .... .

35.

36.

37,

38.

39.

40,

41.

42.

43.

DISCOVER BANK CD

nIE GROW"rn FUND OF AMERICA -S2 .

NEW PERSPECTIVE

WASH. MUTUAL INV.

· ···· .... .

;

IBE BOND FUND OF . .. . .

·S29A

AMERICAN EY MARKET -S29A, .••• . . .. CASH MANAG. TIWSTOF AMERICA· •• . . ..•... nm GROWTH FUND OF -52 9A\••... -··· , ,,

A

A

A

A

B

A

A

lntcrcsl K

Dividend J

Dividend J

Dividend J

Dividend K

Dividend K

None 1

None

Dividend J

T Buy 11/30 K

T

T

T Sold VAR. J A (part)

T

T Sold VAR. J A (part)

T Sold VAR. J B (part)

Sold 6126 J A

T

44. NEW PERSPECTIVE -S29A, A Dividend K T

45.

46.

47.

48.

WASHINGTON MUTUAL INVESTORS -s29A.:==:J . . .. . THE BONO FUND OF AMERICA -529A,

.... " .. . .......

U.S. -S29i\,

A

B

A

Dividend K

Dividend K

Dividend K

T

T

T

I. I""""" OaWI Codn:

(Ste Colwnnt 81 &l>d I>') 2. v.i.. ccdc:J

(Sec ColUIMI Cl Mil OJ)

l. Vlluc Method Codcl (Sa: ColUIM C2)

A •Sl,OOOorlaa F •$.10.001 • SI00.000 J -SIS.COO or leu N -SH0,00 I • Sl00.000 Pl -Sl.l,000.00 l - Sl0,000,000 Q•Appraiul

U •Book Vahle

B -Sl.001 • S2.SOO 0 •SIOO,OQJ. Sl.000,000 K•Sll.001 • S.S0.000 0•1500.001 • Sl.000.000

ll-COl1 (Real Est.ic Only) v ...

C •$!,SOI • SS.000 m -s1 .000.001 . ss.000.000 I. •S!0.001 .. U00,000 Pl -SIJXJ0.001 ·Sl,000.000 P4 -Mon: tbaD s'°.000.000 S•All<umcnl

W•Enim11c4

D'"5j,001 • Sll,000 E •Sll,001 • U0.000 H2 -Mo,. d!UI U.000,00Q M •SIOQ,001 .. S2SO.OOO n -u.000.001 • m.000.000

T -Cub Maita

J STOCK,


of8

Name of Person Reportln:

ROBERTS, RICHARD W.

Datt of Report

09mpo10

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (TNl/c.Upt1tto/R•pol't..)

VII. S. SUNTRUST BANK(IRA) (2CDS) WERE CLOSED ON JANUARY 10, 2009 -$9,333.16 AND APRIL 22, 2009 -$6281.67.

VII. 8. VCSP COLLEGE AMERICA SHARES, PREVIOUSLY LISTED AS A SINGLE ACCOUNT, ARE REPORTED AS SEPARATED ACCOUNTS FROM LINES 36-47 TO DISCLOSE THE FUNDS' TRANSACTIONS.

VII. I 0. THIS INVESTMENT REFLECTS STOCK OPTIONS TiiAT WERE GRANTED ON FEBRUARY 25, 2009 AND THE TOTAL ESTIMATED VALUE OF ALL STOCK OPTIONS OWNED AS OF DECEMBER 31, 2009.

VU. 11. TillS INVESTMENT REFLECTS STOCK THAT WAS GRANTED ON FEBRUARY 7, FEBRUARY 18,AND MARCH 31, 2009 AND THE TOTAL ES Tl MA'TED VALUE OF ALL STOCK (NOT OTHERWISE REPORTED HEREIN) OWNED AS OF DECEMEBR 31, 2009.

VI I. 19. THlS INVESTMENT REFLECTS STOCKS (l'RSTX) TIIAT WERE ACQUIRED ON VARIOUS DA TES, QUANTITJES AND AMOUNTS AS FOLLOWS: 1/612009 37.927L $317.45, 21312009 28.553L $242.7, 214/2009 175.644 S1,500 00, 215/2009 0.785L $6.67, 3/3f2009 30.326L $250.49, 3/4f2009 I80.072L S I ,500.00, 3/5/2009 0.828L $6.84, 4/212009 30.667L $258.52, 41612009 ITI.936L SI ,500.00, 5/412009 30.278L S266.45, 51612009 I 70.455L Sl,500.00, 61212009 30.41 SL S274.07, 61412009 I 66.4&2L S l,500.00, 71212009 30.839L $281.56, 7n/2009 164.294L Sl,500.00, 8/4/2009 30.514L S288.97, 91212009 30.54L S290.13L, 10/1/2009 8.46SL S82.79, l l/ 009 37.433L S367.59, 121112009 36.874L 363.21, AND 12f3 l/2009 3.5.l13LS348.67.

VU. 27. EMBARQ STOCK, PREVIOUSLY LISTED ALONG WITH , ,,,, IS TREATED SEPARATELY ON UNE 32.

VII. 31.nus INVESTMENT REFLECTS STOCKS (FMPIX) THAT WERE ACQUIRED ON VARIOUS DA TES, QUANTITIES. AND AMOUNTS AS FOLLOWS: 10/13/2009 391.236L S.S,000, 11/2/2009 0.81L $10.12, 11/19/2009 401.284L SS,000, 12/1/2009 1.826L $22.82, AND 12/18/2009 398.406LS5,000.

VU. 34. ON MARCH 22, 2009 AND MAY 5, 2009 ALLY BANKS CDS WERE PURCHASED.

VII. 38. 40. FUND-529A. SHA.RES WERE SOLD (PART) FROM JUNE TO DECEMBER, 2009 TO PAY QUALIFIED COLLEGE nJITION COST.

Vil. 41. FUND·529A, SHARES WERE SOLD (PART) FROM JULY TO DECEMBER. 2009 TO PAY QUALIFIED COLLEGE TUITION COST.

VU. 42. FUND-.529A. SHARES WERE SOLD ON JUNE 26, 2009 TO PAY QUAUFlED COLLEGE TUITION COST.

Sli:natur�.----------------------


of8

Name or Person Report1n1

ROBERTS, RICHARD W.

Date or Report

IX. CERTIFICATION.

I certify that all lnCormatlon &:Ina above (lncl11dlne; lnfonution pertalnlni: lo my spouse and minor or dependent children, If any) i. accurate, true, and complete to tbe best of my knowlede:e and belief, and that any Information not reported wu withheld because It met applicable statutory provUlon1 permitting; non-dbclosve.

I furtber ccrtll'y tbat earned Income from outside emplo)'Dlent lllld honoraria and the acceptance of elfts whlcb have been reported are In compliance wltb the provblons of S u.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and JudJclal Conference regulatlon1.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MA\' BE SUBJECT TO CIVIi, 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

·nncial disclosure report reort required by the ethia for ...€¦ · vii. s. sutrust bank(ia)...

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