graham c mullen financial disclosure report for 2009

8/3/2019 Graham C Mullen Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/graham-c-mullen-financial-disclosure-report-for-2009 1/16

a o ~ 0 FINANCIAL DI SCLOSURE REPORT , ~ , , , , - , R e q u i r e d b y t h e E t h i c s "in Government ,4ct of 1978

~e,,. 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 0 u . s . ¢ , a p p . , ~ ’ k ’ l O 1 - 1 ! 1 )

i. Person Reporting (last name, firsl, middle initial) 2. Court or Org:m izatlon 3. D ate of Report

MULLEN, GRAH~\iVt C. WESTERN DISTRICT OF N.C. 7/15/2010

4. Title (Article III judger; indicate active or senior statusi 5a. Report Type (check approprialc Ivpe) 6. Reporting Periodmagistrate judges indicate full- or part-time)

r--] Nomination, Date 01/01/2009

U.S. DISTRICTJUDGE-SENIOR [] Initial [] Annnal [] t-’inal

12/31/2009

5b. [] Amended Report

7, Chambers or Office Address 8. On the basis of the information contained in this Report and an)’modifications pertniuing thereto, il is, in my opinion, in compliance

230 CHARLESR. JONAS BUILDING with applicable lairs and regulations.

401 WEST TRADE STREET

CHARLOTTE, NC 28202Reviewing Officer Date

I~WPOR TA N T NO TES: The instrm-tio~s a~’companying this form must be followed. Complete all parts,

checking the NON E box for each part where y~u have no reportable information. Sign on last page.

~ NON E (No reportable positions.)

pOSITION NAME OF ORGANIZATION/~NTITY

I.~ ~: ~l

_. :~ ~ ] : ~, :~

3.

5.

I I . A G R E E M E N T S . mworting individual only; s,’," pp. 14-16 ,¢filiu# iuatruction~)

N O N E (N o reportable agreements.)

DATE PARTIES AND TERM S

I.



FINAN( .’ IAL DISCLO SURE RE PORT , ~ ....of Person I<eporting Da,eofR,~por,

of 16 ~ tm L ~ , C R A n A ~ ’~ C . W ~ 5 ; 2 0 ~ 0

A. Filer’s Non-Investment Income

N O N E (No reportable no~-inves’tment income.)

I ) A T E _ : SOURCE AND TYPE INCOME.( y o u r s , n o t s p o u ~ - " s )

4.

B . Spouse’s Non-Investment Income - U.vo. were n~arried during an)’ portion o]’the reporting year, complete this sectio~

(~)o!!ar amoshi not required ~xt ~,pt.for honorario )

N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

1.

2.

3.

4 .

I V . R E I M B U R S E I ~ I E N T S -- trattSporration, lodging,food, entertai

NONE (No reportable reimbursements.)

SOURCE I)ATES LOCATION PURPOSE ITEMS PAID OR PROV1DED

2.

3.

4.

5.



FINANCIAL D I SCLOSU R E R EP OR T

of 16 [ MUI,LEN, G R A H A M C . 7 / J 5 / 2 0 1 0

. .a dependetH children; see p p . 2 ~ ’ - 3 1 ~’flling instructions.)

N O N E ( & ~ reportable girls.)

SOURC~ DESCRIPTION VALUE

I.

3

5 .

V I . L I A B I L I T IE S . a.a.a.,-t~,o.,.~ o,~ ....... d ~ . ~ , ~ . ~ ~ , ~ , ~ : ~ , ~ . s ~ - s s o y ~ u ~ , ~ ,~ 0 . ~ o , ~ . ~

~ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE



F I N A N C IA L D I SC L O S U R E R E P O R T

of 16

V I I . I N V E S T M E N T S a n d T R U S T S - -~ .. . .. .. . ~.,.,, ...... , i o . ~ a ~ . ~ . , t ~ o ~ . 4 . v ....... ddepenaentcmtaren;seepg34-6#off!linginstrucaons.)

N O N E (No reportable income, assets, or transactiom’.)

Description of Assets Income during Gross value at end "J’ransaclions during reporting period

(including trust ~sets) reporting period ol’rcporling period

Place"iXaft ..... basset ~A .....t: q’vpc(e,g.+ Value Value Type(e .g, + Date Value ]Gain Idcntityof

exempt [?ore prior disclosure ~ Code I dw. rent, Code 2 Method buy, sell, ]m~d~ ~’ Code z ’ Code ] buyer{seller

~ (AIH) or iut.J (J-P) Code 3 redempt on) (J-P) " (A-H) (if private

2+

4.

6.

8.

1 0 .



F I N A N C I A L D I S C L O S U R E R E P O R T s .... r r , t .s o ~ R ~ p o r t i .~]

I , ., c o f a ~ o o ~ ,

of 1 6 MULLEN, G R A H A M C.

]

7 / 1 5 / 2 0 1 0

V ! I. INVESTM ENTS and TRUSTS -- i ......... ~,,e. t ........ions an¢ludes those of sp ...... d depended, children; seepp. 34-60 of filing instruclions.)

~ NONE (No reportable income, a~sets, or lransactions.)

............. ~. ..................... ~ ............... ~ . . . . . . . . . . . ~ ............................... ~ ................[~scription of Assets lncomc during Gross value at end Transactions during fcporting ~riod

(including t~st assets) reporting period of reporting period

t~ .....

(A-tf) [ or int.) (J-P) ~ Code 3 ~ redemption) [ [ ~ J - e ) ( A -a ) (if private

) I / : i *~ i (Q wl I ] ..............., ~amaciion)

............................................................ ~ .......... ¯ ........................ i [ ’

18 .

~ 2 0 .

2 2 .

24 .



F I N A N C I A L D I SC L O S U R E R E P O R T : N ~ e o f V ..... Reportiag

[

Date o f Report

of ! 6 M U LLEN , G R A i i A M C . 7 / 1 5 / 2 0 1 0

V II. 1 NVESTM ENTS and TRUSTS -- i ....... .,t,~. tranyactbms ancludes those of spou .... d dependent children; see pp. 34-60 of filitlg instructions.)

N O N E (No reportable income, assets, or transactions.)

Description of A ssets r Income dur ing Gross value at end ] T~an~ctions during rcpoaing ~riod

(including t~st assels) rcpordng period of rcporling period [

Place "(Xj" after cac~ asset iAmount Type le.g., Value Value~

Type (e.g, ~ Date V~luc ’ Gain Identi~, of

excmp~ from prior disclosure ’ , Code I div, tent, Code 2 ~ Method ] buy, ~ell,]m~d&’~’ Code 2 Code I

buyerlseller’ ~ (A-Hi or int.J (J-P) ~ Code 3 ~ redemption) ] (J-P) , A-H) (if private

3 6 .

3 9 .

4 3 .

5 1 .

2 V a l u e ( ~ o d e s J = ~ 1 5 , 1 8 8 1 o r l e s s K = 1~ 5,~01 - $50,0~ 1. =$ 50,001 - $1~,~0 M =11~,001 - $250,0~



F I N A N C IA L D I SC L O S U R E R E P O R T N .......f P .....R¢porting]

Date of Report

of t 6 ML’LLEN, G R A I H A M C, I 7 / 1 5 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S --i,,. ...... ~ , , . . t . . . . . . , i o . ~ (1re’tortes tt~ase of spouse and depenctem children; seept,.

N O N E ( N o reportable income, a.~sets, or transactions.)

Description of Asse~ income during Grots value at end ] Transactions during rcpoaing period

(including t~sl assetsj ~ reporting period of reporting period

Place"(XV af ter each asset Amoum ~ Type (c .g. , Vahc Va ue T~e (c.g, / Date Value

exempt from prior disclosure~ (A-H) i or ira.) 0-P) [ Code 3 ~ redemption) {J-P) (A-II) I (if private

53 .

54 .

57.

6 2 .

I. Inc¢olc Gain Codes A , $ 1,l)l~) or less |] = $ 1,0tH . $ 2,500 C =$2,501 - $5,000 D =$ 5.00} - $15,009 E ~ $ I 5 ,001



F I N A N C I A L D I SC L O S U R E R E P O R T ,~a,. ,, Ol’ |’e . . . . Reporting Dale of Repurl

of 1 6 ~lU~LtN, G RAIIAM C. 7 / 1 5 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S -- i,, ..... ., vatue, t ...... lions (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructions.)

-"-] N O N E (No reportable income, assets, or transactions.)

B D.

Description of Assets Income during Gross value al end

[

Transactions during reporting period

(inciudine~ trust assets) rep ortin g perio d o f c cp orting p erio d

Place "(X)" after each asset A " .’[ " (’.g.. ~ " ~ " " ~e (e.g., ] Date Value Gain [ Identityof

’ (A-H) ~ orint.) (I-P} Code3 ] redemption) (J-P) [ (A-II) (if private

:i ’: [ (Q-W) ~ ] I transaction).......................................... ~- ........... : .......... ~ ............ [- _ L .........................

69,

7 3 ] : ~ i i ~ ~

7 4 .

7 6 .

78 .

I l/tt:omc Goin Codes: A =$ l.000or ~ess l t=$1 ,001 - $2,500

C = $ 2,50t -$ 5 .000 D = $ 5.001 ÷$ 15.000



F I N A N C I A L D IS C L O S U R E R E P O R T N , ., ¢ o r P e r s o n R e p o r t i n gI

l ) a , e o f R e p o r t

of 1 6 M U L L F - N , { . :R A l lA t ’ % I C.

~7 / 1 5 / 2 0 1 0

V I I . 1 N V E S T M E N T S a n d T R U S T S ~ i .......... ~ . ~ , , ~ o . . . . . , i o ~ s a ~ , . tu a ~ s , h o . ~ e o f s p . . . . . .. . d a~p~.ae.~ children; see p p . 3 4 - 6 0 of filing instructions.)


.... A . " ~, ~ .... ~:.: .............................. 6.Description of Assets Income during Gross value at end Transactions during re~ing period

(including ta,st . . . . ts) . r~porting period 0f r~mg P~5~

~~ ~ " (2) .... (I) ~ {2) (I) ] (2) ~ (3) (4)

Place "(X)" after each asset [Amoum Type (e.g., Value Value T)~e [c.~., [ Date ~ Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell. [~’d~vy [ Code 2 Code I [ buyer/seller(A-H) [ or int.}

( Q- W)

(J-P) Code 3 redemption) (J -P) (A-H) ] (if private

86

88 .

8 9 .

9 0 .

1 0 2 .



Iame of Person Reporting Date of ReportF I N A N CI A L D I S C L O S U R E REPORT of 16 7 / 1 5 / 2 0 1 0

V I I . I N V E S T M E N T S a n d TR_USTS - i . . . . . 2 , v a l u e , t . . .. . . l io n s ( t n c t u a e s awse ofs , ouse ana ae~naent ¢~itarem seeps. Z4-aa af ~ting i,,s~uctions.)


Description of Assel~ [ Income during Gross value at elld Tra~sa¢lions during le~i~lg period ,

(inchlding I~st ol’~epo~ting period / :

..... ptfrompriordiscl ..... ,Codcl : di," .....t, Code2 ~ Mcth~l / buy, sell, [m~d~lCode2 [Codel [ buyer/~elle, [

1 0 4 .

1 0 9 .

1 1 3 .

115.

117.



FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of R eport

Page 1 ] of 16 M ULI~EN, ( g R A I l,A M C . 7 / 1 5 1 2 0 1 0

V I I . I N V E S T M E N T S a n d TRUSTS --i,,,. . . . . . . . ~ , , , , , . . . . . . . , i o . , ( I n e t u d e s t h o s e of sp ...... d dependent cM ldren; seepp. 34-60 olfiling instructions.)

N O N E (No reportable income, assets, or transactions,)

A. B. C. D.

Descdptio~ of A~scts ~ Income during ] Gross value at end Transactions during reporting period

(including trust assets) ~ reporting period~

ofrepoOing period

Place "(X)" aft .....a s s e t A ...... t Type(e.g., / Value ] Value Type(e .g. , Date Value I GMn Ideatityof

exempt from prior disclosure ’, Code I div rcnk [ Code 2 I Me thod buy, se I, I m ~ d ~ y y Code 2 ~ Code buyer/se let(A-H) ~ orint) [ (J-P) [ Code3 redemption) (J-P) (A-H) (ifpfivate

] ..... ...........

121.

i123.

1 2 4 .

’ 125.

1 2 7 .

129.

1 3 1 .

1 3 3 .

135.



F I N A N C I A L D I S C L O S U R E R E P O R T N ..... r P ~ r , o . R ~ o r ~ i n g ’[

of 1 6 ~lt~LLEN, ( :R A H A M C . 7 / 1 5 / 2 0 1 0

V 11. INVESTM ENTS and TR U STS -- ~ ..... ~, value, , .......ions (Includes lhose of~pous, and de~ndent children; ,eepp.

~ N O N E (N o reportable income, assets, or transactions.)

............................ A. - ................ : B.

Gross value a~ cn~ Transactions during reposing ~riodescription of Assc~ 1 .......during ................

7 .............................. 65 ...............................

(including trust assets)~ reporting period ofrepoaing period

exempl *h)m prior disclosure i Code I div. rent, Code 2 Method ~ buy, sell, mm.td~ ~ Code 2 Code’: (A-It) : or int3 (J-P)

C o d e ( Q . W ) 3 t~

r e d e m p t i o n ) ~~l (j_p) (A-H)

.............. i ..................... 2 ......... ~ ............................ i .........................

I 37.

139 .

145 .

t47,

1 5 0 .

1 5 2 .



FINANCIAL DISCLOSURE REPORT N~me of Persou Reporting Date of Repor~

Page ] 3 of 1 6 MtILLEN, G R A I lA M C . 7 / 1 5 / 2 0 t 0

VI.I. INVESTMENTS and TRUSTS -- i ..... ,, value, t .......ions (Includes thas¢ of sp ...... d dependent children; seepp. 34-60 of filing instructions.)


Description of Assets Incom e during Gross vzlue at end [D.

, Trnns~ctions during reporting ~riod

including ~sl ~scts) reporting period of reporting period

Place"(X)" af ter each assel Amount : T~c (e.g.. Value Value Type (e g [ Date Value~ Gain IdentRy of

exempt from prior &sc osure Code I ~ iv.. rent Code 2 Me hod bt y, se . ~ n~d~yy Code 2 ] ~ ode I buver/~ller(A-H) or at I I [J’P} ~ Code 3 redemption) [ (J-P) ] (A-H) (~p, rate

154.

!55~" ~,~! ~"

157.

1~.

!63.

169.



FINANCIAL D I SCLOSU R E R EP OR T ~.,~ of Person ReporliagI Date of Report

of 1 6 ~ L , L ~ . V . ~ ’ , G R A I I A M t 2 . 7 / 1 5 / 2 0 1 0

~NONE (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 n c o m e d u r i n g G r o s s v a l u e a t c a d Transactioos during re~ing ~riod( i n c l u d i n g I ~ s t a s s e l s ) i r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e ~ [Amounl Type (e.g., Value Value T~e (e.g.. } Date Value {.lain I d e n t i t y ’ o f

e x e m p t l } o m p r i o r d i s c l o s u r e i Codc I { d l v , , r c n t , C o d e 2 M e th o d b u y . s e n , /mm/d~’yy Code 2 ~ Code 1 [ buyerisdler’, I.A-H) , urint.) 0-P) C od e 3 r e d e m pt i o n )

[ j (J-P) ~ (A-H) ( i f p r i v a t e

i { Q -W ) / t { t r a n s a c t i o n )............................. ~ ....... a . . . . . . . ] ...... L ...................

~71. I 3 -

1 7 2 .

1 7 5 .

176

1 7 7 .

1 7 8 .

1 7 9 .



FINANCIAL DISCLOSURE REPORT N .....P~r~on Reporting [ Date of Report

Page 1 5 of 1 6 MLq.LEN, G R A H A M C.

1

7 / 1 5 / 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. c~,,a~’~,,e~,~,,oln.~e,,r~



FINANCIAL DISCLOSURE REPORT N ..... fP ..... Reporting

of 16 ~ U ~ L L f :N , G I ~ A I IA M C .

IX. CERTIFICATION.

I certify that all information given above (including inform ation pertaining to Iny spouse and m inor or depeudenI ch ildren, if any) isaccurate, true, and comp lete to the best of my knowledge and b elief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting uon-disclosure.

I further certi~’ that earned income from outside employment and h onoraria and the acceptance of gifts which hav e been reported are ineompllauce with the provisions of 5 U,S.C. app. § 501 et, seq., 5 U,S.C. § 7353, aud Judicial Conference reg ulations.

Signatu

NOTE: ANY INDIVIDUAL WitO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (.5 U.S,C. app. § 104)

F1L1NG INSTRUCTIONS

Mail sighted original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

graham c mullen financial disclosure report for 2009

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