john d bates financial disclosure report for 2009

8/3/2019 John D Bates Financial Disclosure Report for 2009

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, " ....... FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sI A O - 1 0 ( W P } in Government Act of l978,R e v 1 0 0 0 8L . . . . . . . : ~ F O R C A L E N D AR Y E A R 2 0 0 9 ( 5 u . 3 ~ c , a p p . l o t - e l l)- - 2. Court or O rganization1. Person Reporting (Last name, firat, middle initial) 3. Date of Report

Bates, John D. / U.S. District Court for the District of Columbia April 23, 20104. Title (drt~cle Ill judges indicate m.t~e or senior status: 56 . Report Type (check appropriate type) 6. R epo rt in g Perio dmagistrate judges indicate full- or part-ttme) __ Nomination, Date

District Judge - Article 11I (active) __ ......nitial X Annual Final ..........].. 1/112009 to 12/31/20095 b. A m en ded R epo a

7. Chambers or Offic--~-Ad~d-~tss 8. On the bas is of the information contained in this Rrport and any m odificationspertaining thereto, it is, in my opinion, in compliance with applicnhle taws and333 C onstitution Ave., NW regulations.Was hington, DC 2000 1 Rev iewing Off ice r Date

IMPORTANT NOTES: 7"he instructions accompanying this form m,,~t be fo!lowed. Complete all parts ,checking the NONE box for each part wlwre you hm,e no reportable inJbrmat ion. S ign on las t page .

I . P O S IT I O N S . (Reporting i,~l,~id~at on6, see pp. 9-13 of lnstructions.),/ ~ NONE (No reportable positions.)

p o s [ : r l O r ~ t ~ A M E O F O R C , A ~ I Z A T I O r~ ,~ T ! T y

I I . A G R E E M E N T S . ~eporting individual only; see pp. !4-16 of Instructions.) ".NONE (No reportable agreements .)

DATE PAP, TIES AND "IERM~

I I1 . N O N - I N V E S T M E N T I N C O M E . (]~eportmg individual andspouse; seepp 17.24 of lnstruct~ons)A. Fliers Non-Investment Income

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME

$

B. S p o u s e s No n -I n v e s tm e n t I n c o m e - i f yo u w e re m a rrie d duri ng a ny p o rt i o n o f the re p o rt i ng y e a r , p le a se c o m pl e te th i s se c t i o n (do l l a ramount not required except for honoraria) .

N O N E (N o r e p o r t a bl e n o n - in v e s t m e n t in c o m e . )I. 2009 ]Washington, DC2.


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D I S C L O S U R E R E PO R T [ Nam e o f Pe r so n R e po r t i ng Dal e of ReportFINANCIAL J oh n D . Bat es April 23, 2010IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment.

Includes those to spouse and dependent children. See pp. 25-27 of Instructions.)

NONE (No s u c h r e p o r t ab le r e im b u r s e m e n t s .)S O U R C E D A T ES L O C A T I O N PURPOSE ITEMS PROVIDED OR PAID

Annual Dinner in honor of t h e F e d e r a lew Y ork Intellectual 3/27/09- New York City T~ar,.sponation, meali, and Io,.IgmgProperly [..~w Assn 3F29/09 Ju&c i apf2.3.

5.

6.7.

V . G I F T S . a,,ct,,d, ,hose to spo ... . d ~ , , ,d e , , , , ~ , i t , ~ . . . . Se~ ;,.,. 2S-.~ ~i ,/ I NON E (No such reportable g if ts . )[___ !

SOUR CE D ESCR IFH ON VALI~I. $

V I . L I A B I L I T I E S .NONE (No reportable liabilities )

C I L E _ I I I I O P , DESCRI ~rlON VAL UI: CODE

*V~c~esl- J=$15,000 or less K=$15,001-$50,000 " L--$50,00 i-$100,000N = $ 25 0 , 0 0 I -$ 5 0 0 , 0 0 0 ,. ~ . O = $ 5 0 0 , 0 0 !~ $ 1 , 0 0 O , 0 0 0 P 1 = $ 1 ~ 0 0 0 , 0 0 1 - $ 5 ~ 0 0 0 , 0 0 0P2--$5,000,001:$25,000fi00 : P3=$25_~000,001~50,000,000 P4=$50,000,001 ormore


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FINANCIAL DISCLOSURE REPORT Name of P .... Rel~nmg D a t e o f R e p o r t: John D Bales A p r i l 2 3 , 2 0 1 0

VII. Page 1 INVESTMENTS and TRUSTS -- income, value, transactionsa n d d e p e n d e n t c h d d r e n . ~ e ~ e F P 3 4 - 6 0 o f l n s t r ~ c r io r ~ )

NONE (No reportable income,assets, or transactiorcg.)W a c h o v i a / W e l ls F a r g o A c c o u n t A l ~ t e r e s t J T

3 F , l o r g a n S ~ a n k ~ S i ~ i t h B a r a c y = I R A - C-- Amer Inll Group - C o m m o n N o n e s ~ l l 9 / 2 5 ] A

5 - - A u t o D a t a ho c - C o l r m ~ o n B D p A d e n d K T~ - A m e r C a p S a - ( L t d ) - C o m m o n B l~,,idend K- - A d o b ~ S ) s - C o m m o n i N o n e J T

~: 8 - - A p p l e I n c. - C o m m o n N o n e J Ti . .................................. ? ............. : .... ) ........9 B m ) k o f A ~ n ~ r - C o m m o n A Dindend J T s e l l 1 0 1 2 6 J A]0 - - B a x t e r Im q - C o m m o n A Diwdend K T

I I -- Ill Gtoup PLC A D ) , q d e n d J T1 2 - - C I S C O S y s C o m - m o n A D ) s q d e n d K T

- - C h e v ro n T e x a c o C o m m o n i A D i v i d e n d K T s e l l 1 0 1 2 6 K ; D :1 4 - - C I N N F m a n d a l C o r p . C o m m o n B D i , A d e n d K :: T1 5 - - C o g n i z an t T e c h - C o r a m o n N o n e ] ] ~ c l ) 1 0 / 2 6 B16 -- Dow Chem tort:non A D i v i d e n d K T

- - D r ey f u s M o n e y M a r k e t C D ) v i d e n d M T b u y / s e l l v a t K1 Income/Gain Codes: A=$1,000 or less B=$1,001-$2,500 C=$2,501-$5 000 D~$5,001-$15,000 E=$15,001_$50,000(See Col. BI, D4) F=$50,001-$100,000 G=$100,001-$1,000o0O 0 H 1 - - ~ $ 1 , 0 0 0 1 0 ~ } 1 - $ 5 , 0 0 0 , 0 0 0 H2.=Mor than $5,000,0(}0J=$15,000 or less K=$15 00 1-$5 0 000 L=$5 0 001 . $100 0 00 M=$100)00 i .$250 000 --~(See Col. CI;D3) N=$250 001-$500 000 O ~ $5 ~ 0 0 1 -$1 0 0 0 0 0 0 P1=$12000,001=$~,000 000 P2=$5,000,001-$2~,000,000 |P3---$250~d0,001,$~0,000,000 " ~ " P4--Mor~ than $50 000,0003 Value Method Codes: Q =Appraisal R=~? .ost (real estate only) S---.Assessment T=Cash/Mm-ket {(See Col. C2) U=B0 ok v alue V =Othe r W~Estimated


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F I N A N C I A L D I S C L OS U R E R E PO R T N~e of P .....Reporting Dale o/ReF ~,nJ oh n D . Bat es April 23, 2010V I I . Pa g e 2 I N V E S T M E N T S a n d T R U S T S - - in c o m e , v a lu e , t r an s a c t i o n s qncludes those of

spouse and dep endent children. See pp. 34-60 of lnstructions.)

... ~ .... ,, ..... , -"- - : . ..:.- .. . ~ ." . . . . . _ . : , ~ . _ " - ~

I~ntity of.

N O N E ~o repoaable incomeresets, or tr~sactiom)I 8 -- :Emerprtse Prod - Common None K T19 -- FISERV hie None J20 - H P C o m m o n A Dividend L T21 - I lome Depot Common A Dividend K T ......22 - - l tCC Ins . lf ldgs- Comm on A Dividend J T23 - Intl Gam e Tech - Common A lhvtdend J T I24 - -JP Morgun Chase & Co Common A Di,~dend K T ;25 -- Johnson & Johnson - Common A Dwidend J Y26 -- LJ Conmau- Conunon A D~vidend J T .... / " -l7 -- Marriott tnt~- Common None J T28 -- McDonalds- Common t K ]9 -- MetLife- Cormnon A D ~ v ~ d e n d J T0 -- Morgan SLmdey- Common A Di~dend J

sell - ] .....3 - NationM Oilwell - Common None 1 0 F 2 6 J A

-- Pfizer. Ct.nrtmun A Dividend K T.... None , T ,L : _]

I Income/Gain Codes: ..... ~A=$1,000 orless B=$1,001i$2 500 . C--$2,501-$5 000 " D=$5,001-$15 000 - E-~15,001-$50,00~(SeeCol. BI,D4) F=$50,001-$100.000 G~$100001.~I,000,000 Hly~$1~000,0~I-$5~000,000 H2=Mocethan$5,000,000 .2 Value Codes: L - - S ) , . S ~ 0 . 0 0 ~ . o f . ~ e s s K = $ ~ 5 , 0 0 ~ - $ ~ 0 , 0 0 0 " L~S0~001 -S~00000 " . . M=S~00,00t.S~S0000(Se~ Col.Cl, D3) p~_~ ,001-$500,000 O=$500,00!-$1,000,000 . el . -~l,000,001-$] ,000,000P2-255,000,001.$2~,000,000~$25,000,001-$50,000,000 7: P.4-s-~More than $50,000 ,0003 Value Method Codes: Q=:Appraisal R=Cost (real estate 0nly) S=A~sessment T=Cash/Ma~ket(See Col. C2) U:Book value V =Other W=Estimated


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FINANCIAL DISCLOSURE REPORT Na~e of Person Re porting Date of ReportJohn D. Bates April 23, 2010V I I . Pa g e 3 I N V E S T M E N T S a n d T R US T S - - in c o m e , v a lu e , t r an s a c t i o n s (Includes those of

spouse and dependent children. See pp. 34-60 of lnstructions.)

Descrip~i6iiofAsset~ " , . _ B..:~ 9, - - -= "; . :: ; . . : .... p p " ? s .. n l e m l o t : I . jransaenons ou ting reporting period

NONE 040 reportable income | ......... / .....assets, or transactionS)!

35 - Principal Finl - Cormnon A [ Dividend J 1 " / :

37 - Sempra Energy - Common A D~vidend38 -- Staples - Common A Dividend J T39 - TJX Co - C~mmon A ~ividend I T40 -- lyco Elec~onics, Lid A iddend s e l l 1 0 , 2 6 J A

!I I -- United I leaIth - Common A D~,~dend J 1

42 -- Venzm~x Conmmn A Dividend K T

43 M o rg~ n Sta nky Smithlla rn y. Join~

44 -- ,,M.XA Eqmtable Life Annul .ly None K T ,:4 5 -- AE S C orp C om mon None J

~4 6 -- Arch Capital Group None sell 9/25 J Ai47 - - /Liner Tower Corp - Class A None J48 - - B~lays Bank Pref None K

-- C,~b,mk Money Fund A Interest L 1- buy/sell vat. [ K49

5 I - Da,.qta Inc. None J

I Income/Gain Codes; A--$1,000 or less B-~$I,001-$2 500 C--$2;501-$5 000 D~$5,001-$15 000 E=$15,001.$50,OO0(SeeCoI. BI~D4) :F=$50,001~$100,000 G=$100,001-~I,000,000 HI--$1,000,~1-$5,000,000 H2=Morethan$5,090,0002 Value Cod~: J-~ 15,000 o~ less K=$15 001-$50 000 L = $ 5 0 , 0 0 1- $100 000 M = $ 1 0 0 , 0 0 1 _ ~ ; 250 , 0 0 0(See Col. El,D3) N--$250,001-$500,000 O=$50~ 001-$1000 000 P1=$1,000,001-$~,000 000 P2=$5,000,001-$25,000,000P3=$25,000 001-$50,000,000 . P4=More ~an $50,0~0~0 003 Value Method Codes: Q = A p p - ~ a l R - ~ - - C o s t ( r e a l c s t a te o n l y ) S=Assessment T=Ca~h./Market(See Col. C2) U=Book value V-~:~her W=Estimated


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FINANCIAL DISCLOSURE REPORT

~I. P a ge 4 I N V E S T M E N T S a n d T R US T S - - in c o m e , v a lu e , t r an s a c t i o n s O ~ c t u a e s those o fspo~e and dependent chil~en. See pp. 34-60 of lmtructiom.)

.~ +~;~,,~ ..... ".. . . ...... " . ~ - : . + C : : ] ~ . , .: ~me~,t~" -.J:, ~sS~.~ ~ " Tr~ae~o~ d~ing~oaing ~i~melU~ng~ ~): +d~g: ~ . ;~] . . :m en d 6f [ - .

P~ce ~afler b~b~i . ]?,~ i~ :~2:~-~;~ V~ue :~ . Me~ I "buy, sell, ~te: ~. VNue ! ~ "" , Iden~ty(5) of~ (A-~ [:: ~t.) ~ 0 ~ P ) (~ ) redemption) ~y (J-P) I(A-H) (ifpfivaten~action)

~NONE ~o ~e poa~Ic income,~sc~, or tr~sactions)

53 --Energy "lr~sfer ~s LP A Diudend J+ [ ................4 -- F*deli~ Blue Chip Growlh A Di~dend- F i d e l it y D i * S d e * + d G * o w O * A Dividend scll 12/I 8 J

6 +- Fisenlnc. Co--on None K57 -- D~e ~ne~. None buy 1 ~ 1 8 J

~.....

.~None T

-- 19tuit Inc. ~ None ,~ None K r

- ~ ....... ~ ~ ----~ ......~ .....

nued on attached pages -- Section VII , pages 5 - 7

I l n c o m e / G ~ f i r ~ C o d e s : A - . -- $ 1 ; ~ ) 0 0 o r le s s -B--~I 001 -$2 500. C=$2,501-$5 000 D=$5,001-$15,009 E=$15,001"$50,0OO(SeeCoI. BI. D4) F---$5,0~.0~,i-$100 ~00 0 G=$1~71~,001~1,000,000 Hi--$1,000,~1-$5,000,000 H2~More than $5,000 ,0002 Value Codes: . . J-~J ;15~00 0 o~ le~s K--+$15,001 ,$50 000 L--$50,001- $100 000 M=$100,001-$250 0 00(See CoL Cl, D3) " N---$250,001,$500,000 O=$500 001-$1000 000 P1=$1;000,001,$~ 000 000 P2=$S.000,00t ,$2+,OO0,000P3=$25,000 001-$50,000.000 .. . P4+More man $50[000~00 0.3 Value Method Codes: Q=~AppraJsal R =Cost (real estate only) S=Assessment T=Cmh]Market(See Col. C2) U = B - o b k V a /u e V = O t h e i. W=Estimated


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FINANCIAL DISCLOSURE REPORT Name of Person Reporting / ....... ~R~- .......Jo~ D. Bates ~ April 23, 2010 [

VII. Page 5 INVESTMENTS and TRUSTS -- income, value, transactionsI n c l u d e s t h o s e o fspo~e and dependent children. See pp. 34-60 of l~uctio~.)

(A-~ / ~ :~L) I (J~p). :.:(Q-~ ~demption) (ifpfiv~ ~acfion)NONE ~o re~rlable~se~ . o~ U~sactions)

6 4 . - - P G C t y . M D B o n d A Interest L T1 6 5 . - -P o w e rs h~e s E x - T rad e d F u n d " i / +~ic Biotech None J T............... & Genome : + .... J.........~6. -- Schwab Chs. Co~. A Dividend J T67. --~ime W~er .... A Dividend~ K ~ - T : ~ "68. -- Unum Group A ~Dividend~ J T69. - - United He alth Common : A Dividend~~K T70. --Univ. System MD Bond A ~ lmeres t K~ K

73. -- Bristol Myers Squibb " None 1 T ~ buy [ 12/18 J74. -- Vodaphone Group PLC None J T [ buy 12/18~ J __

spinoff 12/10~ J75. -- AOL, Inc. None

JBaneyI MorganStanleySmithU-r--+ [~+ " + .....76 . -- AT&T Inc. Common K T

7. - - Cameron lnt l Common None J T

3 VMu Me~ C~: ~App~.. R~ ost (te~ ~mte o~y) S=~sm~t T~a(S~ Col. ~) U=~y~3. V~ W=~fima~


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FINANCIAL DISCLOSURE REPORT John D. Bates ! April 23, 2010

V I I . Pa g e 6 _ _ I N V E S T M E N T S a n d T R US T S - - i n c o m e , v a lu e , t r an s a c t i o n s (Includes those o fspouse and d ependent children. See pp. 34-60 of lnstructions.)" ~ . : ,~ J . ~ i , " . : : . ~ ~ : ~ : . i .i ~ . ~ . : ) r " Transactio~ "dining reporting period

i : : ; .; ! : : : r ~ " . ~ i - : . , ,: ; i . . " ~ ; . i . : ~ ! : ~ : : , : :. ~ . : I, -~ : ~ . : e .g . , -~ ? .~.~;~: ~te:. ,V~ue::.,"~: ...... [ . (~- ~) [ " " ~ f . ) " " : ( J~P ) (~.7 ~d~gion) I D~y[ (J~"l (m-~0 ( i fphvate~sa~ion)

NONE ~o ~cpo~ble m~me,

7 8 . - - C e n t e ~o m t E n e rg y C o m m o n A Dividend J T ~ .....79. -- Colgate Pa~olive Common A ~Dividend K T80 . -- Conagra F~oods Common A Dividend J T

~ 8 1. -- Dreyfus Money M~ket A Dividend K T ~ buy/sell vat.i J82. -- Forest Oil Co~. Co~on None ~83. - - G aylord Ent. Co. Common None se ll 9/25 J ~ A84. - - HCC Ins. Hldgs. Common A Dividend J ~ T85. -- Ha~ Celestial Group Common . . None J T8 6 . -- 1 S hare s ~R - D J T ran p s . ~d e x F u n A ~ividend J T8 7 . - - I S hare s T R G lo bal I nd I n d e x F ~d ~ A Dividend~ J T ~88.-- ISh~es ~ow Jones US lleahh Care ....... ~Providers Index F u n d J T89. -- l~M Common A Dividend K T

A Dividend - -0. -- 1C Pemey Con~on J ] T91.-- Medtroaic Common A Dividend~ K T92. -- Pacfiv Corp. Comm on None J T~3.-- Powershares D~icSemiconductors A J T~94.- Pow ershares D~ aamic Media ~ ......[ ]Oonfolioy ADividend J T :

I tn~m~G~ C~: A=$1,~ o~ I~ B=$~,00~-$2,500 C~2,50~-$5,0~ . ~5,001-$15 000 E~5,00~$~0,~ ....(S~ Col. BI, ~) F = $ 5 0 , 0 0 1- $1~,~ ~100,~1-$1,~,~0. tt1~1,0~,~1-$5,~0 ~ t~=Mon ~$5,~0,~02 Value C~: J=$15,~ or I~ K~I5 ~1-$50 0~ ~50 ~i- $100 0~ M~1~,~1-$250 ~ -(S~ CoI.Cl, D3) N=~50,~1~$5~0 .~5~001-$10~0~ PI~I~0,~I,$~ 0~ ~~=$5,0~,~1-$2~,~,~0P3=$25,~0,~1 ~0~,0~ " ~ P~M~e ~ $50,~,~3 V~ue Me~ C~e~: ~Appr~ R~t (re~ ~e o~y) ~s~meut T~M~et(See Col. C2) U = B ~ v~ u e V~ W = ~fi m ~d


9/10

! Name of Person Reporting ! Date of ReporlJohn D. Bates ~ April 23, 2010

P a g e 7 I N V E S T M E N T S a n d T R US T S - i n c o m e , v a l u e , tr a n s a c t i o n s (Includes those ofspouse and dep endent children. See pp. 34-60 of lnstructions.)

(~-~ . "i~t) "_ (Jrt~ 3Q-~__ ~demption) Day~se~, ot ~saclions)

A Dividend J I T~d None J T

A Dividend J ~ T ~z _)8.--SPDR TR S&P Retail ETF A Dividend J T!TF ~D~ ] ~ T100.-SPD~ SER T~ KBW BK ETF A " " J T]Dw~dend ~.~I 01 .--SPDR SgR TR KBW ~S E~ A Dividend~ J T102.--United Tech Co~on A ~Dividend K T103.--V~guard Cons~er Staples ETF A Dividend J T104.--Vangu~d Health Care ETF ~ A ~ividend J T10 5 .- -Vanguard Info Tech ETF A ~ividend J T06.--~~ard1 A Dividend ~ T

107_-~W~sc~nsin En~gy tt~g - A ~ividend J T

[ None J T buy var. J

P3=~5,~,~1-$50,~,000 P4=Mo~ ~ $50,~0,~3 Vflu~ M~ C~ ~A~ R~o~ (~ ~ only) S=~s~sm~t T~ket(S~ C ol. ~ ) U=~ k v ~ ue V~er W = Es t ~ e d


10/10

Name of Person Reporting Date of ReportDISCLOSURE REPORT John D. Bates _ April 23, 2010

1 ce rtify that all information give n above (including information pertaining to my spous e and m inor or depende nt children, if any) is

1 further certify that earned income from outside e mployment and honoraria and the acceptance of gilts which have been rep orted are in

Signature

FILING INSTRUCTIONS:Mail signed original and 3 additional copies to: Comm ittee on Financial DisclosureAdministrative Office of theUnited States Courtssuite2-30!One_Columbus Circle, N.E.Washington, D.C. 205 44

john d bates financial disclosure report for 2009

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