robert e payne financial disclosure report for 2010

8/3/2019 Robert E Payne Financial Disclosure Report for 2010

1/18

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

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

1 . P e r s o n Repo rt ing (las t name, fi rs t , middle ini t ial)Pay ne, Rob er t E .

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

Senior Ar t ic le I I I Judge

7 . Chamb er s o r O f f ic e A ddr es sUnited States Distr ict Court701 E. Broad Street, Suite 73 t 0R i c h m o n d , V i r g i n ia 2 3 2 1 9

2. Court or OrganizationU ni ted Sta tes D is t r ic t Cour t Eas ter n D is t r ic t o f Vi r g in ia

3. Date o f R e p o r t05/13/2011

5a. Repor t Type (check ap propr ia te type)[] Nomination, D a t ei[~ Initial [] Annual [] Final5b, [] Amended Report8. On the bas i s of the informat ion conta ined in th i s Repo r t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

6. Repor t ing Per iod01/01/2010

to12/31/2010

Reviewing Off icer Date

IMPORTANT NOTES : The ins tructions accompanying this form m ust be fol lowed. Com plete al l parts ,checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . t R e p o n i n g individual only; seepp. 9-13 of fi llng instructions.)~ ~o reportablepositions.)O N E

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . ~ e p o n i n g in a l v l d n u ~ o n ~ y ; se ~ V V . 1 4 - 1 6 of filing instructions.)[~ N O N E (No reportable agreements.)

D A T E PA R T IE S A N D T E R M S


2/18

FINANCIAL DISCLOSURE REPORTPage 2 o f 18

N a m e o f P e r so n R e p o r t i n gPayne , Robert E .

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

I I I . N O N - I N V E S T M E N T I N C O M E . ( l~eporting individual and sp ouse; seepp. 17-24 o f f!l ing instructions. )A. Fliers Non-lnvestm ent Income

~ (No reportable income.)ONE non- inves tmentDATE 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 - l f you were m arried during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation,lodglng, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 25 -27 o filling instructions.)

~] N O N E ( N o reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROVIDED


3/18

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 8

N a m e o f P e r so n R e p o r t i n gPayne , Robert E .

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

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of f!llng instructions.)N O N E ( N o rep o r ta b l e g i f t s .)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 of fillng instructions.)~-] N O N E (No reportable l iabi l i t i es . )

CREDITOR DESCRIPTION1 . Visa Credit Card2.3.

4.5.

V ALUE CODEJ


4/18

FINANCIAL DISCLOSURE REPORTP ag e 4 o f 18

N a m e o f P e r so n R e p o r t i n gPayne, Robert E.

D a t e o f R e p o r t05/I 3/2011

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 ~tllng instructions.)[~ N O N E ( N o reportable income, assets , or t ransact ions . )

1 . I R A # 12. - - Accor SA3.4.5. - - Ai r Pr oduc ts & Chem ical s Inc .6. - - A k a m a i T e c h n o l o g i e s7. - - A k z o N o b e l8. - - Altfia Group9. - - Amazon .com

I0 . - - A m e r i c a n E x p r e s s C o .1 1 . - - A m g e n I n c .1 2 . - - Anadar ko Pet r o leum Cor p .1 3 . Anheuser -Busch Inb ev Spor t s1 4 . A pache Corp1 5 . - - A S M L H o l d i n g s1 6 .

1 7 .

D Int./Div. NSold 02/16/10 J ASold 06/18/10 J ASold 06/23/10 J A

B uy 12/08 /10Bu y 07/26/10Sold 01/I 1/10Sold 02/16/10So ld 05 /1 7/1 0

J

J

J

J

J

A

A

A

1. Income Gain Codes:ISee Co lumn s BI an d D4)

2.Value Codes(See Co lumn s CI an d D3)

3.Value Method Codes{See Co lumn C2)

=$1,000 or less=$50,001 - $100.000

=$15.000 or less=$250_001 - $500,000

P3 =$25,000,001 - $50.000.000Q =A ppr a i sa l

=Bo o k Va lue

B=$1.001 - $2.500G =$100.001 - $1.000,000K =$15.001 - $50,000O =$500,001 - $1,000.000R =Cost (Real Estate Only)V =Oth e r

C =$2.501 - $5,000 D =$5,001 - $15,000H 1 = $1 .0 00 .0 01 - $ 5. 00 0. 00 0 H 2 = M or e th an $ 5, 00 0, 00 0L =$5~,001 - $100.000 M =$100,001 - $250,000P I -$1.000.001 - $5,000.000 P2 =$5.000.001 - $ 25.000.000P4 =More than $50.000.000S =Assessment T =Cash Mark e tW =Es t ima ted

E =$15.001- $50.000


5/18


6/18

FINANCIAL DISCLOSURE REPORTP ag e 6 o f 18

N a m e o f P e r s o n R e p o r t in gPayne , Robert E .

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 - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!llng instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t io n o f A s s e t s I n c o m e d ~ i r in g G r o s s v a l u e a t e n d : T r a a s a c t o n s d u r i n g r e p o r t i n g p e r i o d

Place "~)" after each assetexempt from prior disclosure

(2) (3) (4) (5 )Da te Value G a i n Identity of

Code 1 div., rent, C o d e 2 M e t h o d b uy , se l l , mm/dd/yy C o d e 2 Code i buye r / s e l l e r(A-H) or in t . ) ( J -P) C o d e 3 redemption) (J-P) ( A - H ) ( i f p r iva te

( Q - W ) t r a ns a c t ion)

35. Sold 06/03/10 J

36 . - - C e l e g e n e C o r p .

37. -- Century Tel Inc.

38 . - - Chubb Corp.39 . Cit r ix Sy s tems Inc . B uy 10/22/10 J40 . - - Cisco Sy s tems41. - Coca-ColaCo.

42 . -- Comcast Corp.43 . - - C o m p a g n i e Fin Richemont44. -- Conoco Phillips

45 . -- Covidien46 . -- Cree Inc. Sold 03/05/10 J( p a r t )47. Sold 04/12/10 J(part)48. Crown Holdings Inc. Buy ll/12/10 J

49 . -- CVS Caremark Bu y 11/02/10 J(addl)50. -- Dell Inc. (Y)

51 . - - D e u t sc h e P o s t

1 : Inc ome Gain C odes : A ~Sii000 0~ less B =$ii001 : $2,500 C =$2,501 : S5,000(S ee Col um ns B I and D 4) F ~$501001 : $100i000 : G ~$i00~00i ~ $ 1,000;000 H 1 --$1,000,001 - $5,000,000

2. Value Co des J =$15,000 or less K =$15;001 = $50s000 L =$50,001 - $100~000(S ee Col um ns CI and D 3 ) N =$250~001 - $500,000 O = $ 5 0 0 ~ O 0 1 = $ 1 0 O 0 0 0 0 P I =$1,000,~0| , $5,000,000

P3 =$25;000,001 - $50,0001000 P4 =More than $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only) S =Assessment

(See Co lumn C2) U =Bo o k Va lue V =Oth e r W =Es t ima ted

D = $ 5 , 0 0 1 - $ 1 5 , 0 0 01 " 1 2 = M o r e th a n $ 5 ; 0 0 0 , 0 0 0M : $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 01 ,2 = $ 5 , o o o , o o l - $ 2 5 ; 0 0 0 , 0 0 0T =Cash Mark e t

E =$15,001 - $50,000


7/18

FINANCIAL DISCLOSURE REPORTPage 7 o f 18 Ia m e o f P e r s o n R e p o r t i n gP a y n e , R o b e r t E . Date of Report05/13/2011

V I I. I N V E S T M E N T S a n d T R U S T S - i .... e, value, t ......ions (Includes those of sp ...... d dependent children; see pp. 34-60 of f iling inslrtlctions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

( 1 ) ( 2 ) (I) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g. , Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell , mm/dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private(Q-W) t r a n s a c t i o n ~

5 2. o - De vo n En er gy C or p.53 . - - Wal t D isney Co .54 . - - Di s h Ne twork Corp .

Sold 07/26/10 J A

55 . - - Direct TV56 . - - D o lb y Lab or a to r ies Inc .57 . - - D r ey f us L iq uid Asse t s58 . - - E . O N A G59 . - - Eb ay Inc .6 0. - - E 1 P aso Co rp .

61 . - - E lec t r on ic Ar t s Sold 10/15/10 J A62 . Sold 10/20/10 J A63 . Sold 10/28/10 J A64 . Sold 11/03/10 J A65 . Sold 11/05/10 J A66 . Sold 11/10/10 J A67 . Sold 11/15/10 J A68 . Sold 11/16/10 J A

(S ee Col um ns B I and I )4) F =$50,001 - $ t00;0002. Va lue Co d es J =$15,000 or less

(See Co lumn s CI an d D3) N =$250,00t - $500,000P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l

(See Co lun m C2) U =Bo o k Va lue

B =$1,001 - $2i500 C =$ 2 ,50I - $ 5 ,000G =$ 10 0,00 1 - $1 ~00 0;00 0 H 1 = $1;0 00,0 01 - $ 5,00 0,0 00K =$15,001 - $50,000 L =$50,00~ - $ ~ 00,000O =$500,001 - $1,000,000 P I =$1,000,001 - $5,000,000

P4 -More than $50,000,000R =Cost (Real Estate Only) S =A sscssmcn tV =Oth e r W =Es t ima ted

D =$ 5,001- $15,000 E = $15,001 -$ 50,000H2 =More than $5~000,000 .....M=$ 100,001- $ 250~ 000P2 =$5,000,001-$25,000,000T =Cash Mark e t


8/18

FINANCIAL DISCLOSURE REPORTPage 8 of 18 Ia m e o f P e r s o n R e p o r t in gPayne , Robert E . D a t e o f R e p o r t05/13/2011

V II. INVESTM ENTS and TRU S TS - i .... e , v a l u e , t ...... tlons (Includes those of sp ......d d e p e u d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l ln g i n s t r u c t i o n s . )N O N E ( N o reportable income, assets, or transactions.)

A: B.Description of Assets Income during(including trust assets) reporting period

(i 1 (2 )Place "(X)" after each asset Amount T y p e ( e . g .,C o d e l div.. rent,xempt from prior disclosure (A-H) o r i n t . )

69 . - - Enagas SA70 . - - Eur opean Aer onaut ic D ef ence71 . - - Exped ia Inc .72 . - - Exxon M ob i l Cor p .73 . - - Fanuc L td .74 . - - F i r s t So lar Inc .75 . - - F luor Corp .76 . - - Fo r es t Lab or a to r ies77 . - - F r a n c e T e l e c o m S A

78 . - - F reepor t McMo ran Copper & G old79 . G e m a l t o N V80 . - Gener a l E lec t r ic Co .81 . - - G enzyme Corp.82 . o- Givaudan SA83 . - - Goog le Inc .

84 . Greek Organisa t ion of l ; ootba l l P rognos t ics85 . - - Hal l ib ur ton Co .

Gross va lue a t end Transactions during reporting periodof reporting period(1) (2) (1) 12) (3) (4) (5)

Value Value Type (e .g ., Date Value Gain:: Identity ofCode 2 Method buy, sell , m m / d d /~ C o d e 2 Code I b~ver/s~ller

( J - P / Code 3 redem ption) ( J ~ P ) (A-H) (if private(Q-W) transaction)

Sold 10/05/10 J( p a r t ) A

Sold 06/22/10

So ld 10/22/10(part)Bu y 02/16/10Bu y 11/02/10( add l )

J A

J A

J

J

Bu y 01/25/10 J

1. in co me G a in Co d es : A --$I;000 Or les~ B =$1,001 - $2,500. .. .. . ( ~ e C 0 if im n s BI an d D 4) F - -$ 5 0; 00 1 - $ 10 0 ,0 00 G =$100,001 - $I,000,000

2. Value Co d es J =$15,000 or less K =$15,001 - $ 50,000(See Co lumn s C I an d D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr z i sa l R =Cost (Real Estate Only)(See Co lumn C2) U =Bo o k Va lue V =Oth e r

C =$2~501 - $5,000 D =$5,001 - $15,000H 1 = $ 1; 00 0; 00 1 - $ 5, 00 0, 00 0 H 2 =M o re t ha n $5 ;0 00 ,0 00L =$50,001 o $I00,000 M:=$100i001 -$250,000PI =$1 ;000,001 - $5;000;000 P2 =$5,000,001- $25~000,000P4 =More than $50,000~000S =Assessment T =Cash Mark e tW =Es t ima ted

E =$15,001 - $50,000


9/18

FINANCIAL DISCLOSURE REPORTP ag e 9 o f 18 Ia m e o f P e r so n R e p o r t in gPayne , Robert E . Date of Report05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, vat.e, transactions (Includes those of s p ...... d dependent children; see pp. 34-60 of f!ling ins t ruc t ions . )~ N O N E (No reportable income, assets, or transactions.)D e s c r i p t io n o f A s s e t s( i nc luding t rus t a s s e t s )

(1) (2) ( 1 )Place "(X)" after each asset A m o u n t Type (e.g., Valueexempt from prior disclosure C o d e 1 div. , r en t , Code2( A - H ) or in t . ) ( J -P)

(2 ) (1 ) (2) (3) (4) (5 )Value Type (e.g ., Date Value Gain Identity of

Method buy, sell , m m / d d /y y C o d e 2 Code 1 buyer/sellerCode 3 redem ption) ( J - P ) (A-H) (if private( Q - W ) transaction)

86 . -- Hewlett Packard Co.87. - -Hom e Depot Inc .88 . H o n da M o t o r Co89 . - - HSBC H o ld ing

Bu y 06/07/10

9 0 . - - I n t e l C o rp . Sold 01/15/10 J A91. - - I n t e rna t iona l B us ines s Ma chines Corp .

92. - - J o h n s o n & J o h n s o n93 . - - JP M o r g a n C h a s e & C o .94 . - - Jun iper N etwor ks

Bu y 02/25/10 J( add l )

95 . K D D I C o rp - JP Y96 .

Bu y 01/12/10 J( add l )So ld 0 6 /23/10 J A

97 . - - Kimb er ly Clar k Cor p .98 . - - Kra f t Foods I nc . Sold 02/26/10 J A99 . --L3 Communications100. - - Libe r ty Globa l Inc .101 . - - L ib er ty M ed ia So ld 11/15/10 J A1 0 2 . - - L ib er ty M ed ia Star z

1. Incom e G ain C odes: A =$1 ,000 or less B =$ t ,001 - $ 2 ,500(See Co lumn s BI an d D4) F =$50,001 - $100,000 G =$100~001 2 $1 ,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000(See Columns C 1 and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $ 50.000,0003. Value Method C~des Q = Appr a i sa l R =C~st (Real Estate Only)(See Co lumn C2) U =Bo o k Va lue V =Olh e r

C =$2,501 - $5,000H 1 =$ t;000;001 - $5,000,000L =$ 50,00i - $ i00 ,000P I =$1,000,001 - $ 5,000;000P4 =More than $50,000,000S =A sse ssmemW =Es t ima ted

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5;000;000M =$100,001- $250,000 ........P2 =$5,000,001 ~ $25;000,000T =Cash Mark e t


10/18

FINANCIAL DISCLOSURE REPORTPage 10 of 18

N a m e o f P e r s o n R e p o r ti n gPayne , Robert E .

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

VII. INVESTMENT S and TRU STS - ~ .come, value,, ...... tious (Includes those of spouse and repel;dent children; see pp. 34-60 of f!~ng instructions .)N O N E (No reportable income, assets, or transactions.)

A, B. C. D.Description of Assets Income dur ing Gross va lue a t end " Transactions during reporting period

(including trust assets) reporting period of reporting period(1 ) (2) (1) (2) (1) (2~ ..... (3) (4) " (5)

Place "(X )" after each asset A m ount Type (e.g.. Value Val u e Typ~ (e.g., Date ~alue Gain Identity ofexempt from prior disclosure Code l div., rent, Code 2 M e th o d buy, sell , m m / d d / y y ~ o d e 2 I C o d e t . : , : . ,buyer/sel ler(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (~zP) [ (A-H) ..... ( i ~ p r ~ v a t e

(Q - W ) transaction)

1 0 3 . - - L i n d e A G104 . - - Loews Corp .1 0 5 . - - Lo r i l l a rd I n c .

1 0 6 . - - M a r s h & M c L e n n a n1 0 7 . - - M cD onalds Cor p . Sold 10/20/10 J A1 0 8 . - - M e r c k & C o .1 0 9 . - - M ic r oso f t Cor p .1 1 0 . - - M i t sub ish i U F J111. - - N A S D A Q O M X G r p

112 . - - N a t i o n a l O i lw e l l V a r c o I n c .113. - - News Corp1 1 4 . - - N o b l e C o rp o ra t i o n

1 1 5 . - - Nov a r t i s A G

1 1 6 . - - N u c o r C o r p .1 1 7 . - - N v i d i a C o r p .1 1 8 . O r a c l e C o r p Bu y 10/13/10 J119. - - Pa l l Corp .

1 :lncome Gfiin c0deg! ..... A =$ 1,000 o r l e s s B =$1,001 - $2,500( s e e C 0 l u n m ~ l ~ i ~ f i d D 4 ) . . .. . F = ~ 5 0 : 0 0 i ~ $ I 0 0 1 0 0 0 G =$100,001- $1,000,000

2. Value Codes J =$15,000 or tess K =$15,001 - $50,000( S ee C olu mns C 1 and D3 ) N =$250,001 - $500,000 O =$500,001 - $ 1,000,000

P3 =$25,000,001 - $50,000,0003. VaIue Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)(See Co lumn C2) U =Bo o k Va lue V - O t h e r

C = $ 2 . 5 0 1 . $ 5 , 0 0 0 D = $ 5 , 0 0 1 - $ 15 . 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H 1 = $ 1,0 00 ;0 01 ~ $ 5; 0 00 ,0 00 H 2 = M 0 re th an $5 ;0 00 ,0 00~ - - $ 5 0 O O l - $ 1 0 0 ; 0 0 0 = ~ ! 0 0 , 0 0 ~ - $ 2 5 0 , 0 0 0P 1 = $ 1 , o o o , o o l = $ 5 1 o 0 0 ~ 0 o o ~ ~ $ 5 1 o o o O O l - $ ~ 0 o o o ooP 4 ~ M o r e t h a n $ 5 0 ,0 0 ~ i 0 0 0S =A . . . . . .. . t T - - C a s h M a r k e tW = E s ti m a t e d


11/18

FINANCIAL DISCLOSURE REPORT.Page 11 o f 18 Ia m e o f P e r s o n R e p o r t in gPayne , Robert E . Date of Report05/13/201 l

V II. INVESTM ENTS and TRUSTS - i .... e, ~ a t u e , t r a .s a c a o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Description of Assets Incom e during G ross va lue at end(including trust assets)

Place "(X)" atter each assetexempt from prior disclosure

120. - - Peps ico Inc .121 . - - P f ize r Inc .122. - - Phi l ip Mo r r is In t l123. - - Prec i s ion D r i l l ing1 24 . - P r o c te r & G a m b l e1 2 5 . P r o g r e s s i v e C o r p1 26 . - - Q u a l c o m m127.

128.

129.130. - - Ray theon Company1 3 1 . - - R e e d E l s e v i e r1 3 2 . - - R e x a m P l c133. - - R io T in to P lc1 3 4 . - - R o c h e H o l d i n g s135. - - Rol ls Royce Group1 3 6 . - - R o y a l D u t c h S h e l l

A m o u n t Type (e g , Value Value Type (e:g. , Date V a l u e G a i n Identity ofCode 1 buyer/sellero d e 1 div., rent, Code 2 Method buy, sell , m m /d d/y y C od e 2 I(A-H) o r i n t . ) (J-P) C o d e 3 i r e d e m p t i o n ) (J-P) (A-H) (ifprivate(Q-W) transaction)

B u y 03/22/10 J

Sold 06/02/10 J A

S o ld 06/10/10 J A

S o ld 0 6/ 2 1 / 1 0 J A

S o ld 07/12/I 0 J A

Sold 02/16/10 J A( p a r t )

S o ld 10/12/10 J A

! Income Gain Codes:(See Co lumn s BI an d 1)4)

2.Value Co d es(S ee Col um ns CI and D 3 )

3.Value Method Codes(See Co lumn C2)

=$1;000 or less B =$i;00i L $21500 C =$2;501 - $5;000 D =$5,001 - $15,000=$501001- $100;000 G ~$i 0 0 1 0 0 i: $1i000;oo 0 . . . . .. . H i = $i ,0 00 ;0 0i ~ $5 i0 00 ;0 00 H 2 = Mo re th an $ 5; 00 0, 00 0

J =$15,000 or less K --$15;001 - $50,000 L--$50,001 -$ 00~000 M =$1 0 0 0 0 1 -$2 5 0 0 0 0N =$250,001 - $500,000 O --$500;00 i : $ 1,000;000 Pi =$ I;000~00l : $5;000,000 P2 =$5,000,001 - $251000,0 0 0P3 =$25,000,001 - $50,000,000 P4 =More than $50,000;000=Appraisal R ~Cost (Real Estate Only) S =A sse ssmen t T =Cash Mark e t

=Bo o k Va lue V = O t h e r W =Es t ima ted

E =$15,001 - $50,000


12/18


13/18

FINANCIAL DISCLOSURE REPORTP ag e 1 3 o f 18

N a m e o f P e r s o n R e p o r t in gPayne , Robert E .

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 .co,-e, val.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i nc luding t rus t a s s e t s )

Gross value at end Transact ons during repo~ting periodI n c o m e d u r i n gr e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

(1) (2) (1 ) (2 ) (1 ) (2) (3) (4) (5)Place "(X)" after each asset Amount Type (e.g., V a l u e V a l u e Type (e.g., Da te V a l u e G a i n I d e n t i t y o f

e x e m p t f r o r ~ p r i o r d i s c l o s u r e Code t div. , r en t , C o d e 2 M e tho d buy, s e l l , m m /d d/y y C od e 2 Code I buye r / s e l l e r( A - H ) or in t . ) ( J- P ) C o d e 3 r e d e m p t i o n ) (J-P) (A - H ) ( if p r iv a te( Q - W ) t r a ns a c t ion)

1 5 4 . - - T e l e f o n i c a S A155.156. - - Texas Ins t ruments157. The rmo F ishe r Scient i f ic Inc .1 5 8 . - - T i m e W a r n e r I n c .1 5 9 . - - T i m e W a r n e r C a b l e In c .1 6 0 . -- T N T N V161 . - - Toky o E lec t r on ic1 62 . Toy o ta M oto r Cor p .

163. - - Tota l SA164 . - - T rave le r s Companies165 . - - Tyco Elec t ronics1 66 . - - Ty co In ter na t ional167. --UBS1 6 8 . - - U n i l e v e r P L C169 . - - Uni ted Hea l th

Sold 01/11/10 J ASold 12/13/10 J A

B u y 06/10/10 J

Bu y 12/13/10 J( add l )

Bu y 02/16/10 J

1 7 0 . - - V e r t e x P h a r m a c e u t i c a ls

L ihc0rne Gain CodES~ A --$ii000 0r less B =$1,001 - $2,500(S~6 C~i~ Bi ~d ~) ~ ~$501001 i $ i00;000 G =$100;001 : $I,000;000

2. Value Co des J =$15,000 or less K =$15,001 - $50,000(See Co lumn s CI an d D3) N =$250,001 - $500,000 O -$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R - Co s t (Rea l E s ta te On ly)(See Co lumn C2) U ~ Bo o k Va lue V =Oth e r

C =$2,501 - $5,000 D = $5,0 01 - $1 5,000 E = $15,0 01 - $5 0,000HI =$ I ,000,001 - $ 5 ,000,000 lq2 =More than $5,000~000 .... :L =$50,001 - $ 100;000 M =$100,001 - $250,000PI =$1,000,001 - $5,000,00~ P2 =$5,000,001 - $ 25,000,000P4 =More than $50,000,000S - A sscssmcn t T =Cash Mark e tW =Es t ima ted


14/18

FINANCIAL DISCLOSURE REPORTPage 14 of 18 Ia m e o f P e r s o n R e p o r t i n gPayne, Robert E. D a t e o f R e p o r t05/13/2011

V II. INVESTM ENTS an d TRU STS -i .... e , value, t ......l o n s ( I n c l u d e s t h o s e o f 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 t r il l i n g i n s t r u c t i o n s . )N O N E (No reportable tncome, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i nc luding t rus t a s s e t s )

Place "(X)" aider each assetexempt from prior disclosure

Income during Gross va lue a t end Transaetionsduring reporting periodreporting period of reporting period

(1) (2) ( 1 ) ( 2 ) ( 1 ) (2) (3) (4) (5 )A mo un t Typ e (e.g ., Value Value Typ~ (e;g:, Date:: Value Gain Identity ofCode 1 div., rent, Code 2 Method buy, selI . . . . . mm/dd/yy C o d e 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redempt ion) (J-p) (A-H) (if private

(Q-W) transaction)

171 . - - V i n c i S A172. Visa Inc .173.174 . - - Vodafone Group PLC

Bu y 05/06/! 0Bu y 05126/10I( add l )

JJ

175. -- Walma rt Stores176. - - Wea therford Intemat ional177. -- Wellp oint Inc.1 7 8 . - - W e l l s F a r g o & C o .1 7 9 . - - Y a h o o I n c .

1 8 0 . - - Y u e Y u e n181 . - - Zur ich F inancia l182.

183. IRA #2: B Int .fDiv. M T184. - - Al l s ta te Cor p .185. - - Ci t ibank N A South D ako ta Bank D epos i tP r o g r a m1 8 6 . - - K a y n e A n d e r s o n E n e r g y F u n d187. - - Kay ne Ander son M LP Inves tmen tC o m p a n y

1. InCom e Gain Codes! A =$1~000 or tess B = $1,00 1 - $2,500(See C0iumn s BI ~ n d D4) F =$50 ,001 : $ 100.000 G =$1 00,001 - $1,000,000

2. Value Co des J =$15,000 or less K =$15,001 - $ 50,000(See Co lumn s C t an d D3) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)(Sce C o lum n C 2) U =B o ok Value V =Oth e r

C =$ 2,501 - $5,000 D = $5,0 01 - $ 15,000HI =$I;000;001 ~ $5~000;000 1-12 =More than $5,000,000L =$50 001 ~ $i00,000 M =$100,001 ~ $250,000P 1 =$1 ~000,001 = $5 ,000,000 P2 =$ 5,000,001 = $25,000.000P4 =More than $50,000;000S =A sse ssmen t T = C a s h M a r k e tW =Es t ima ted

E =$15,001 - $50,000


15/18


N a m e o f P e r s o n R e p o r ti n gPayne , Robert E .

Date of Report05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inc ome , value, t ...... t l o n s ( I n c l u d e s t h o s e o f 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 o f f ! l i n g i n s t r u c t i o n s . )N O N E ( N o reportable income, assets, or transactions.)

B. C. D.A.Description of Assets during reporting period

(including trust assets)(1 ) (2 ) (1) ( 2 ) ( 1 ) (2) (3)

Place "(X)" after each asset A mo un t T ype ( e.g ., Val u e Value Type te.g., Date Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell , mm/dd/yy Code 2 Cod~ : t buyerlseller(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-~ ...... (if private

(Q - W ) transaction)

188 . - - W e l l s F a r g o & C o .189. -- Western Asset Money M arket Fund

190.191. N in th & Car y A ssoc ia tes L imi tedPar tnership (see Par t VIII) Distribution192.

1 9 3 . I R A # 3 : B Int./Div. L T194. - - American Century ln t emat ionN BondFund195. - -Amer ican Funds Europaci f ic GrowthFund196. - - Amer ican Funds Growth Fund of Amer ica197. - - Ba ron Growth Fund

Buy 06/04/10( add l )Bu y 07/23/10( add l )So ld 0 6 /0 4 /1 0

J

J

J A1 9 8 . - - D a v i s N Y V e n t u r e F u n d Sold 07/23/10 J A199. - - De laware In te rna t iona l Va lue Equ i ty Fund2 0 0 . - - D r e y f u s E m e r g i n g M a r k e t s F u n d20 1

Bu y 06/04/10( add l )Bu y 06/04 /10(add l )Sold 12/31/10

JJ

J A2 0 2 . - - D r e y f u s E m e r g i n g M a r k e t s F u n d Sold 12/31/10 J A2 0 3 . L a za r d E m e r g i n g M k t s E q u i t y F u n d Bu y 12/31/10 J204 . - - Legg Mason Growth Trus t Bu y 07/23/10 J( add l )

I. Income Gain Codes:(See Co lumn s BI an d D4)

2.Value Codes(See Co lumn s CI an d D3)

3.Value Method Codes(See Co lumn C2)

=$1;000 or tess: $ 5 o , o o l ~ $ 1 o o , o o o=$ t 5,000 or less=$250,001 - $500,000

P3 =$25,000,001 - $50,000,000=Appraisal=Bo o k Va lue

B =$1~001 - $21500G ~$~001001 = $~;ooo;oooK =$15,001 - $50,000O=$500,001 - $1;000,000R =Cost (Real Estate Only)V - O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $100i000PI =$1;000,001 - $5,000,000P4 =More than $50,000,000S =A sse ssmen tW =Es t ima ted

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5;000~000 .....M =$100~001 : $250,000P2 ~$5i0001001 ~ $25,000,000T = C a s h M a r k e t


16/18


N a m e o f P e r s o n R e p o r t i n gPayne , Robert E .

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 -income, value, transactions (Includes those of spouse a nd dependent children; see pp. 34-60 of f!ling instructions.)D NONE income, assets, or transactions.)N o reportableA. B. C. D.

D e s c r i p t o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( inc luding t rus t a s s e t s )

Xl a ce ( ) a f i e re a cha s s e lexempt from prior disclosure ~ c m O U n t

Type (e.g., Value Va lu e T y p e ( e Y g . ; Date Valueo d e 1 d v re t Code 2 Method b uy , se l l , mm/dd/yy Code 2( A - H ) o r i n t . ) ( J - P )

Gain Identity ofCode 1 buyer/seller(A-H) (if privatet r a n s a c t i o n )

205 . - - Royce Premier Fund206 . - - T. Rowe Pr ice Equity Income Fund207. -- Weste rn Asset Core Plus Portfolio208. - - Wes t ern Asse t Government MoneyMarke t Fund209.210 . Brokerage Account #1:211. -- Citibank NA Bank Dep osit Program212. -- Citibank NA South Dakota Bank DepositProgram213. - - Legg M ason Wes t ern Asse t M anagedM unicipals Fund214.215 . Ma l len Research Ltd Pshp (Y)

A I n t e r e s t

A I n t e r e s t

A Int./Div.

JJ

J

T

T

T

So ld 0 6 /0 4 /1 0 J ASo ld 0 7 /23 /1 0 J A

i In co me G a in C0d es : A=$!~000 or less B =$1 , 0 0 1 -$2 ,5 0 0(See Co lumn s Bi an d D4) F =$50100i - $ i00,000 G =$100,001- $1,0001000

2. Value Co d es J =$ 15,000 or less K =$I5 ,001 - $ 50,000(See Co lumn s C I an d D3) N =$250,001 - $500;000 O =$500,001 - $1 ;000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)(See C o lum n C 2) U =B o o k Va lue V =Oth e r

C = $2;501 - $5,000 D = $5,0 01 - $ 15,000HI =$i;000;001 -$5;000;000 H2 =More than $5~000,000L = $ 5 0 0 0 i ~ $ 0 0 ; 0 0 0 : M=$ 00001 ~$250000 .......P I = $1 ~0 00 ;0 01 - $5 00 0 00 0 P 2 =$ 5, 00 0, 00 1 ; $ 25 ;0 00 ;0 00P4 =MOre than $50,000;000S =AS s es s ment T = C a s h ~ a r k e tw =Es t ima ted

E =$ 15,001- $ 50,000


17/18


N a m e o f P e r s o n R e p o r t in gP a y n e , R o b e r t E .

Date of Repor t05/13/2011

V I I I . A D D I T 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 . (lmllcate part of report.)1 . T h e fo l l o w i n g i t e m s w e re i n a d ve r t e n t ly o m i t t e d f ro m t h e 20 0 9 a n n ua l r e p o r t , b u t sh o u l d h a ve b e e n r e p o r t e d b a se d o n b ro k e ra g e s t a t m e n t i n fo rm a t i o n .

Page/Line of 2009 Report :7 /65 - Ericcson.

2. Nin th & C ary Associa te s LP (Page 14 , l ine 176) : a l imi ted pa r tne r ship for equ ity pa r tne r s a t McGuire , Wood s , Ba t t le & Boothe (now M cGuireWo ods) . Nin th& Cary was a l imi ted pa r tne r in One James Cen te r Associa te s , a Virg in ia l imi ted pa r tne r ship tha t owned the of f ice bu i ld ing in R ichmon d, Virg in ia knowsn a s"One Jam es Cente r " and i t s a ssoc ia ted pa rk ing deck. I neve r had any pa r t ic ipa t ion in the managem ent of the LP . My ow nership sha re a s of December 31 , 2009was 1 .29 / o and is expected to decrease ove r t ime because of m y wi thdrawa l f rom the f inn . I t i s no t poss ib le to a f f ix a va lue to th is inchoa te in te re s t in the LP . In2005, the One James C ente r of f ice bu i ld ing was so ld . In 2009, I r ece ived a d is t r ibu t ion of incom e ( repor ted on Pa r t VII ) . The en t i ty was d isso lved on Decem ber31, 2010.3 . I R A # 3 A u g u s t 3 1 , 2 0 0 9 R S S m a l l e r C o . F u n d V s o l d ( l in e 1 8 8 ) a n d e x c h a n g e d i n t o B a r o n G r o w t h F u n d ( l in e 1 8 2 ) V a l u e C o d e J


18/18


IX. CERTIFICATION .

Name of Person Report ingP a y n e , R o b e r t E .

Date o f Report05/13/2011

I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n 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 re n , i f a n y ) i saccura t e , t rue , and comple t e t o the bes t o f my knowledge and be l i e f , and tha t any in fo rmat ion no t repo r t ed was wi thhe ld because i t met app l i cable s t a tu to ryprovi s ions permi t t i ng non -d i sc losure .I f u r t h e r c e r ti f y t h a t e a rn 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 ts 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 nc 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 ia l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Robert E. Payn e

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 I F IE S O R F A IL 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 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 . a p p . 1 0 4 )

C om mi t t e e on F i na nc i a l D i s cl o s u r eAdminis t ra t ive Off ice o f the Uni ted Sta tes Cour t sSui te 2-301O n e Co l um b us C i r c le , N . E .W a s h i ng t on , D . C . 20 5 4 4

robert e payne financial disclosure report for 2010

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