james l robart financial disclosure report for 2009

8/3/2019 James L Robart Financial Disclosure Report for 2009

1/11

no to [ FINANCIAL DISCLOSURE REPOR T X e p o r t R c o . i ,e a b y t ~ , ~ o E t h i c sin Government Act ofl978R c v . 1 / 2 0 1 0 [ k FOR CALENDARYEAR 2009 O uS.C . opp~l~_l.l~. .............1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i~ s t , m i d d l e i n i t ia l ) Z . C o u r t or O r g a n i z a t i o n 3 . D a t e o f R e p o r t

R o b a r t , J a m e s L . U . S . D i s t C o u r t , W . D . o f W A 0 5 / 0 4 1 2 0 1 0

4. Title (Article Il l judg~ indicate active or sen ior status: 5a. R epo rt T yp~ (check appro pria te ~pe) 6. Reporting Periodm~gistrate judges indicate full- or p3a-time)~~ Nomination. Date 01101/2009U.S. Dis t . Judge (ac t ive) ~ Imtial ~ A ...... 1 ~ Fma! 1o12131/20095b. L~ Amended Report

7. Cham bers o r O ff ice A d d res s 8. O ~ the basis o f the in fo rm atio n con ta ined in th is Report and anymodifications pertaining thereto, it is, in my opinion, in compliaoce700 Stewart Stree t , Suite 14128 with applicable laws and r~gulations.Seat t le, WA 98101

Re*iewlng Off icer Date

I MP O RT AN T N O T ES : t he i ns t r u c ti o ns a cco mp a nyi ng t hi s fo r m mu s t b e fo l lo wea ~ C o mp l e t e a l lp a r t* ,checking the NONE box for each part where you have no reportable information. Sign on last page.

1 . P O S I T I O N S . ~ o ~ o , ; .~ i , ~ , . i a a a t o , t , : , , e ~ . 9 - . o ~ m , g i . . , . . , . , i , . . s . ~---] N O N E (N o reportable positions.)

POSITION N A M E OF Q R G A N I Z A T I O N / E N T I T YI. Chair of Board of Trustees Whitman College

2 . Trus tee Foundation # 1

4. ~

~ N O N E (N o reportable agreements.)D A T E P A R T 1 E S A N D T E R M S

1.


2/11

FINANCIAL DISCLOSURE REPORT Page2ofll II11. N O N - I N V E S T M E N T IN C O M E . (Reportlng indlridual and sp ...... ; see pp. 17-Z4 of filing inutructions.)A. Fliers Non- Inves tment Income

NONE (No reportable non-investment income.)D A T ~ SOURCE AND TYPg 1NCOM~( y o u r s , n o t s p o u s e s )

1.2 .3 .4.

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 - If you were married daring an), portion of the reporffng year, complete this section.(D~llar amount not rt .quired exetpt. f .r honororia )

N O N E (No reportable non-investment income.)D A T E S O UR C E A N D T Y P E

I.2.3 .4.

IV. REIMBURSEMENTS ...... ~ o r , . , i o . , lodging , food, . . . . real .......( I ac lude ~ " tho~ e to s po . .~ e and de pe nde nt chi ldr e n" ~ c t" pp . 25- 27 o f f i~ ing ins t r uc t ions . )

~ NONE (No reportable reimbursements.)SO UR CE D A T E S L O C A T I O N PURPOSE I T E M S P A I D O R P R O V I I )E D

I A t n . C o n f . I n s t. S e p t e m b e ~ 2 2 - 2 3 , Philadelphia, PA Sp ok e at E -D i sc ov e~ q r an sp o~ at io n, lo dg in g, pa rk in g, m ea ls2 0 0 9 W o r k sh o p

3.45.


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Page 3 of 11

[~ N O N E (No reportable gifts.)S O U R C E _ D E S C R I P T I O N V A L U E

I.

3 .4.5.

V I . L I A B I L I T I E S . a,c~a,s~ho,~ ~:,~ .. . . .. ~ a ~ : , ~ a , , , , ~ h i ~ s , e ~ : ~ , ~ : v . ~ - ~ o / : ~ . ~ , , ,~ a o ~ . ~~ NONE ~o reportable liabilities.)

CREDIT~ DESCR1PTI~ VALUE COD~1. B m t k o f A m e r i ca C r e d i t C a r d J2. B a n k o f A m e r i c a C r e d i t C a r d J3 . W h i t m a n C o l le g e M u h i -y e a r p l e d g e M4.


4/11

FINANCIAL DISCLOSURE R EPORT ~ .... t e . . . . . a e p o , ~ i n : [ . aat~otR,~,, . ]. . .Page 4 of I 1 R o b , a r t , , l a m e s L . . Q 5 / 0 4 ~ 2 0 1 0

VII. INVESTMENTS and TRU STS - ~ .... ~ , ~ t . . . . . . . . . . .. . ~ o . ~ a~a~,~o~ o~ ....... a a ~ p , ~ a ~ , ~ ~ , ~ a , ,~ ; , ,~ p .~ N O N E ~ o reportable income, assets, or transactiom.).................. ;~. " .................T~ ~ ......... ~ ....... ~ ................. ~? ............

D e s c r i p t io n o f A ~ e t s I n c o m e d u r in g G ro ~ va lu e a t e n d I T r a n s a c t i o n s d u r i n g ~ c ~ r t in g ~ r i o d{ in c l u d in g ~ s t a ~ s e ~ s ) ~ r~ing ~fiod ofr~oning periM ~

exempt flora p6or disclosure ~ C~ e 1 : dl~ ., ren t, Codc 2 Meth~t buy, sell mm/d&~ Code 2 1 b~xyeriseller~ tA-HI ~ orint3 ( J - P ) ~ Co~ 3 i r e d c m p t i o n ) I I-P) ,. (AdO 0 f p n v a t ei j (Q-W) ~ i t r ~ s a c t i o n )[ 1 . Key Bauk Account A I n t e r e s t J2. Key Bank Account A I n t e r e s t J T3. Oak H arbor, WA Island Cnty RentM A ~cnt N S

Proper~ (2009 - $ 317,640)4. S e a a le , W A K in g C n ~ R e n ~ ! P r o ~ D Rent M S(2009 - $249,0~)5. ISROB A ssociates None Sold 1 ~ 3 1 1 0 9 ~ J6. Bank of Washington Common Stock None L T7. BROKER.AGE ACCOUNT #I8. - Starbucks Common Stock None O T9. -- Schwab Money Fund A I n t e r e s t N TI 0 . -- Silver Standard Comm on Stock None J T

1 . -- SPDR Units None Sold 0 Z " 0 2 / 0 9 L1 2. -- Energy Connect Group None J Tt3 . -- MSCI Em. Mkts I-Shares D Dividend O T1 4 . -- MSCI EAFE Index Fund C Dividend M T1 5 . -- S&P 600 I-Shares C Dividend N T

1 6 . - Vanguard REIT Fund D Dividend N T1 7 . -- S&P 5001Shares D Dividend N T B uy 02/03/09 L


5/11

FINANCIAL,DISCLOSURE REPORT t~ .... t v ~ o ~ ~ v o - ~ gPage 5 of 11 ........ ~ob~t. J~s L.

VII. INVESTMENTS an d TRUSTS - i ........ t . ~ . , , ......ions ancludes those of sp ...... d dependent chi ldren; seep~ 34-60 oyf i l i ng i . . . . . . . tions.)NONE ~o reportable income, assets, or transactions.)

Description of Asse~ Incom e during G ross value zt cad Tran~ctiom during ~ing(including trust as~ts) ~ r~oaing ~i~ ofrc~aing pcri~

(l) ~ (2) (I) (2) (I) " (21 ~ (3) ; t4) (5 )Place "(X)" a~er e~h ~t ~Amoum ~ T~ [eg.. Value Value Ty~ (eg.. Date Value ~ Gain Ideatity ofexempt f rom pr ior di sc losure Code I ] div., rent, Ct ~e 2 ~ Method buy, sell. l m~b d ~) T C~e 2 ~ Code I buycff~Iler; ( A- H ) , or int.) (I P) Code 3 red em ption) ~ (J-P) (A-II) (if private

18, - - Bo s to n Pr iv . F in . H ld g . A Dividend K T

: 1 9 . Chevron Common Stock D Dividend M T2 0 . Vanguard GNMA Mutual Fund D Dividend M T

21 . B ROKERA GE IRA #1 NOTE#2 2 . -- Starbucks Comm on Stock N T2 3 . - Govt FItLBB Notes C I n t e r e s t L T2 4 . -- Resolution Trust Strips None L T2 5 . -- Dorai Bank CD B Interest Matured 01/03/09 L2 6 . -- Flagstar Bank CD C I n t e r e s t Matured 0 1 / 1 0 1 0 9 L2 7 . -- Morton Bank CD C I n t e r e s t Matured 01tl5/09 L

2 8 . -- Fed Nat Mor~g. Notes D I n t e r e s t N T2 9 . -- Citibank Bank Deposit Program NOTE t/ 130 . -- bib Financial CD C Imerest L 1 "31 . -- Lchman BrosBank CD A In terest Ma tu re d :02/10.09 K3 2 . -- BMW Bank CD C I n t e r e s t L T3 3 . -- Metro Bank CD C I n t e r e s t L T3 4 . -- MSCI EAFE Index l-Shares D Di,idcnd O T B uy 02/09/09 M(addl)


6/11

FINANCIAL D ISCLOSURE REPORT 1 ~ , m e o f P e , ~ o , r ~ e ~ , , ~ i o : t,.,e of a~. ]Pa ge 6 o f 1 1 - ....[ Robart , J a m e s L . . 0 5 / 0 ~ 1 2 0 ! 0

~I. INVESTMENTS an d TRUSTS - i . . . . . . . . ~ . , , , . . . . . . . . . ~ o . ~ a n c l u d e , t h o s e of sp ...... d dependent chi ldren; s ~ e p g . 3 4 - 6 0 of f i l ing imtruc t ions. )N O N E (No reportable income, assets, or transactions.)

~ .................... ~ .......... [ c. o. ..........D e s c r i p t i o n o f A s ~ l 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 ~ a n s a c t lo n s d u r i n g r e ~ n i z ~ g ~ 6 o d(including t~l ~se~) r~ing per iod of rc~ing pehod [ ~~,~ ~2~ ....~ ~W ..... 7 ~ T . . . . . . . . .6 ...........~i~ -~) ---~ .~ . . . . .. . . ..~j ..... ~Pla~"(X"at2er~chas~t ~ A m o u n t T y p e ( e . g . . [ V a lu e V M u e ~ T)ge{e.g., Date,~ Val~e G a i n I d e n t i t y o f[ C o d e 1 d i v , . r e n t . ~ C o d e 2 M e t ho d buy,~}l, m~tdff~ ~ Code 2 C~c I buyer/~ller i,x e m p t f r o m p r i o r d i ~ l o su m ~ { A - H ) o r i n t . ) (J-P) Code3 ~ r e d e m p t i o n ) ( J - P ) ( A - I I ) ( i f p r t v a t e I

~ ~ t~n~tion)Q-W) ...... ~ ................................ ~3 5 . -- S&P600 IShares D Dividend P I T B uy 0]I22/09 O(addl)3 6 . B uy 0210~09 M(addl)3 7 . -- TIPS lghares None Sold 01122/~ N A

3 8 . -- SW Bank o f St. Louis CD C I n t e r e s t 1., T3 9 . -- Costeo Corp. Notes C I n t e r e s t L T40. -- Nat. City Bank CD C I n t e r e s t L4 1. - - F i r st Bank o f Pu ert o Ri co CD B I n t e r e s t K T4 2 . -- GECapit. Notes D Interest M T4 3 . -- Banco Pop. Corp. N.A. CD C I n t e r e s t L T4 4 . -GEMone y Ba nk CD C I n t e r e s t L T

4 5 . -- U.S. Treasury Strip:; None K T4 6 . -- S&P 500 I-Shares B Dividend PI T" - 1 7 . B u y 01/22/09 O(addl)48 . B u y 02/02,09 M(addl)49 . - Schwab Money Fund A In :crest M T

5 0 . --Capmark Bank CD C I n t e r e s t L T B uy 01/21/09 L5 1 . --SallieMae B ank CD C I n t e r e s t L T B uy 0 4 / 0 6 / 0 9 ] L


7/11

IN... f Person Report ing IINANCIAL.DISCLOSURE REPORT I Robart,.lames L. 05/04i2010age 7 of 11 ......V I I . I N V E S T M E N T S a n d T R U S T S - i..,~.. ,..~ .......... ,~,.~ ancludes tho, e oysp .......d dependent ch ildren; see pp. 3g-60 of filing instructiottx)

NONE fiVo r~ortable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s ; I n c o m e d u r i n g G ro s s v a l u e a t e n d( i n c l u d i n g m ~ s t a s ~ t s ) [ r~ing ~od of r~oning period

P i a c c " ( X ) " a ~ c r e a c h ~ s c t A m o u n t i T)~ (e.g.. Value 1 Value . T ~ ee x e m p t f r o m p r i o r d i s c l o s u re C o d e I ~ div. ren~ C o d e 2 M e th o d b u y . s e l l ,~ ( A - H ) ~ o r in t . ) ( J - P ) , C o d e 3 I ~ d e m p ~ o n ) : ( J - P )

5 2. --U.S. TIPS None M T B uy 01/2~09 L5 3 . None L T B uy 1 0 1 2 6 1 0 9 L5 4 . -- Vanguard PEIT D Dividend N T NOTE # 1

5 5 . -- Emrg Mkt. I-Share C Dividend N T B uy 0 2 1 0 3 / 0 9 M5 6 . BROKER.A.GE IRA #2 NOTE g 2

5 7 . -- U.S. Treasury Strips None K T5 8 . -- Am. Century Ultra Mut. Fund A Dividend J T5 9 . --Janus Balanced Mut. Fund A Dividend J T6 0 . -- T.R. Price New Asia Mut. Fund A Dividend K T6 1 , -- Schwab Money Fund A Interest J T6 2 . -- MSCI EAFE Index Fund A Dividend J T6 3 . -- S&P 5 0 0 1 S h a r e s A Dividend L T6 4 . -- Citibank Bank Deposit Program N O T E # 26 5 . -- MSCI Era. Mkts l Shares B Dividend I. T6 6 . -- S&P 600 1 Shares A Dividend K T

"~ . BROKERAGE ACCOUNT #2 NOTE # 36 8 . -- UoflL Notes B I n t e r e s t M a t u r e d 1 0 / 0 1 / 0 9 J


8/11

FINANCIAL.DISCLOSURE REPORT Name ofP . . . .. R e p o r t i n g .D~ t,~.o,[R.e.,po~ .., ] ..... Page 8 of 1 1 ...... n o h ~ r ~ ,J ~ m c ~ t ~ . 0 S , . 0 q , 2 0 ! O ~ . . ~

VII. INVESTMENTS an d TRUSTS - i, ........ ~,,, ....... tion., anclude., tho~, o/xp ...... d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 o / f i li n g i n s t r u c ti o n & )N O N E (No r~Tortable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t ~ ~ I n c o m e d u ~ n g G r o s s v a l u e a t e n d [ Transactions during re~ing ~riodi :( i n c l u d i n g t ~ t a x s c t s ) ! r~oni~g period of reposing pc~ ~(11 (2) (1 1 (31 (4) (5 )P ~ c c " ( X ) " a ~ c r e a c h ~ s e t ,Amoun ~~~ ( c g . V a ~ u c V a lu e T y p e ( e . g . , D a t e V a lu e G a i n Idcnn~ ofe x e m p t h o r n p r i o r d i s c lo ~ r e I C o d e I ~ d l v . , ~ n ~ C o d e 2 M c lh ~ d b u y . s e l l . I mm.Zd~ C o d e 2 C o d e I b u y e n ~ s c l l c r~ (A-H) ] o r i n t . ) [ J - P ) C~e 3 r e d e m p t i o n ) 1, i J - P ) ( . A - H ) ( i f p r i v a t e~ ( Q - W } t r a a m c t i o n )6 9 . -- WA S~. Health Bonds B I n t e r e s t Sold 1 2 / 0 3 / 0 9 K B7 0 . - Gi lber t AZ G .O. Bo n d s A Interest Matured 0 7 / 0 1 1 0 9 J7 1 . -- Maricopa AZ SD B onds A Interest Matured 07/01/09 J

7 2 . -- Tamarack Funds A I n t e r e s t Red eem ed 1 2 / 0 8 / 0 9 K7 3 . FOUNDATION # 1

7 4 . - Boeing Common Stock B Dividend L T7 5 . -- Exxon Mobil Common Stock B Dividend L T

7 6 . -- G.E. Common Stock A Dividend Sold 06/11/09 K E7 7 . -- IBM Common Stock B Dividend M T7 8 . -- MerckCo~nmon Stock A Dividend Sold 05/08/09 L7 9 . - Verizon Commo~ Stock B Dividend L T80 -- 3M Common Stock C Di , i d e n d M T

8L -- RBC Prime Money Fund A Dividend M T NOTE

82 . - - B ? AD I ~ C Dividend L r

8 3. -- PacCarlnc. A Dividend L T8 4 . -- Bancroft Fund C Dividend L T8 5 . -- Eagle Mid Cap Fund C Dividend M T ( a d d l ) B u y 08/14/09 L


9/11

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ...... ~ , t . . . .. . . t i, ,n~ ( I nc lud,x th ose o f sp . . . . .. d d ~en dnt chi ldr e n; see p p . 34- 60 o f f i l i ng ins t r uc t ions . )NONE ~0 reportable income, assets, or transactions.)

~ s c r i p ~ i o n o f A s s e ~ Income dufng i G ross value at cad ~ Transactions dufng reining ~riod (including l~t ~) [ ~aing per iod of ~oning periodP l a c e ~ ( X ) * a f t e r c a ~ h ~ a s ~ t ,IAmunt ....Ty~ (e g I V a t ~ e V a lu e : T~ (e..,g D a t e Va ue I Ga~d e n f i ~ y o f

e x c ~ t ~ f r o m p r i o r d i s c lo s u r e ~ C o d e I : d i v . , r c n L Code2 :, M e lh o d ; buy sell mnt.d&~yy ~ Code2 [ Code ! buyer/~ cr[ "- i o r i n l . ~ ( l - P ) ~ Code3 ~ r e d e m p t i o n ) , (J-P) : (A-II) ~ ( i f p f i v a t e

186. -- Fidelity Lev. Co. Fund B Dividend M T Buy 04/20/09 L(addl)8 7 . B uy 08/14/09 J(addl)8 8 . -- Keeley Sm. Cap. Fund C Dividend M T B ny ~0/09 L8 9 . -- Ru~el l Emerg. Mkus FD D Dividend L T B uy 02/17/09 J(addl)~ 0 . B uy 04/20/~) J(addl)

9 1 . -- Thomberg lntl Value FD B Dividend M T B uy 04/20/09 K(addl)9 2 . -- ~omberg lntl Growth FD B Dividend M T B uy 4~0/09 K(addl)

9 3 . - - ~ton Vancelncome F D D Interest M T B uy 07/13/09(addl)9 4 . -- Pimco Fd. Fand E I n t e r e s t N T B uy ~0/09 N9 5 - J.P . M or ga n B d Fd . E Interest N T B uy 09/30/09 N9 6 . Vanguard Int l. Tax Managed Fund F Dividend O T Donated(pan)9 7 . TREASURY DI~ECTACCOUNT

9 8 . -- 7/2/09 Note B Interest Matured 06/30/09 I.9 9 . - - 6 / 3 0 , 1 3 N o t e C I n t e r e s t L T


10/11

FINANCIALDISCLOSU~ REPORT

VIII. ~DITIONAL INFO~IATION OR EXPLANATIONS.Note # I : Form er Brokerage IRAs # 1 and #5 from 2008 reporting period were closed and invesm~e nt_g traosfc~red to former Brokerage IRA # 2 from 2008 reportingperiod. Former B rokerage IRA #2 from 2008 reporting period is now referred to as Brokerage iRA # 1 for the 2009 reporting period. The cash account fromFormer B rokerage IRA #1 from 2008 reporting period (CJtibank Bank Deposit Program) was moved to the cash account in former B rokerage IRA #2 from the2008 reporting period (Schwab Money Fund).Note # 2: Former B rokerage IRA #3 from 2008 reporting period is now rel~ned to as Brokerage IRA #2 for the 2009 reporting period. Former Brokerage IP, A #4from 2(IO8 reporting period was closed and investments transferred to what is now Brokerage IRA # 2 for the 2009 reporting period. The cash account from F ormerBrokerage IRA #4 from 2008 reporting period (Citibank Bank D eposit Program) was moved to the cash account in former Brokerage IRA #3 from the 2008reporting period (Schwab Money Fund).Note # 3: Brokerage A ccount #2 was closed during 2009. It contained only cash at the end of the reporting period.Note # 4: Tamarack Mon ey Fund replaced by brokerage firm with R.BC Prime Money Fund.


11/11

FINANCIAL.DISCLOSURE REPORT ~ ....rr .... a e p o ~ , g I " ~ ; ~ ~ Y L P - " - - I ............ Page 11 of 1 ! ....... Robart, , lames L.IX. CERTIFICATION.

I cert ify that al l information given above (including inforJnation per~aiuiug to my spouse a nd miuor or dependent children, if any) isaccurate, true, and complete to the best of m y knowledge and belief, and ~hat any infurma~ ion not reported was withheld because i t met applicable s tatutorypro~isions permitting non-disclosure.i fl ,rther cert ify that earned income from outside employment and honoraria and the acceptance of gifts which have been repor~ ed are incompliance with the provisions of 5 U.S.C. app. S01 ct. seq., 5 U.S.C. 7353, and Judicia! Conference regulations.

Signa tun

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND WII.FULI,Y FALSIFII MECT TO CIVILAND CRISIINAL SANCTIONS (5 U.S.C. app. 104)

F I LI N G I N STR U CTI O N SMail signed original and 3 ad ditional copies to:

Comm it tee on F inanc ial D isc losureAd ministrative Otfice of the United States CourtsSuite 2-301One C olumbus Ci rc le , N.E .Washington, D.C. 20544

james l robart financial disclosure report for 2009

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