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POSIDQN NAME OF ORGANlZATIONIE 'TI!'Y
PART!ES AND TERMS
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Report Requlr<d by the EthicsAO·lO FINANCIAL DISCLOSURE REPORT ln Gowrmnent Act ofl978 Rev. 112004
Calendar Year 2003 (5 U.S.C. app. §§ 101-111)
1. Pmnn Reporting (Last name, First name, Mffidte initial) Randolph, Arthur R
2. Court or Organization
U.S. Court of Appealslll.C. Cir
3. Date of Report
511312004
4. Title (Article m Judges indicate active orseciar status; magistrate judges indicate full-or part-time)
Judge active
7. Chambers: or Office Address
U.S. Court of AppeaWD.C. Cir 333 eonstiiution Avenue. N,W.
Washingtali. D.C. 20001·2866
5. Report'l'Jpe (check appropriate i;pe)
0 lnltia! @ Amlual
6. ReportingPeriod
11112003
IC 1213112003
8. On the basis of the information contained iu this Report and any modifications pemining thereto, it is. in my opinion. in compliance with applicable laws and regulations.
IMPORTA.'IT NOTES: Tho insiructions awmipanying this form must be followed. Complete all parts, ohecldng the NONE box for each part '.Vbe.."e you have no ble infomiatioo, Sign on last page,
L POSITIONS. <R<porting iucthidua!only: ""'PP· 9.13 of filing instructions)
0 NONE (No reportable poslrions.) ·
!. Distinguished Adjllllct Professor of Law George Mason Univmity School of Law
1I. AGREEMENTS.
!il NONE - (No reportable agreements.)
I.
-
,.c. fT1o(f.I % 0
-c> -
.....°'
o>-..,,,. ·= Z! ...0 (;p.(ReportingindividWllonly;seepp. 14·16offilinginstructions) m .;,i;;..
I
SOURCE
L
GROSS INCOME
SOURCE AND TYPE
SOURCE DllSCRlPTJQN
FINANCIAL DISCLOSURE REPORT NameofPersonRcJJMing
Rllndolph, Ar1hur R
III. NON-INvEsTMENT INCOME. (Reporting individual and spoose: see pp. 17·24 of filing iostructinns)
A. Filer's Non-Investme!!X Income
0 NONE · (Non:pottablellO!t·in"""1Ilentincome.)
AND TYPE
George Masrnl University School of Law teaching
:1.. -
Date of R<;lOlt
511312004
()'oun., not spouse's)
$22,500.00
B. Spouse's Non-Investment Income· (lfyou were married during any portion of the reporting year, please complete this seotion. (dollar amoont not required c=:pt furhonomria)
1.
NONE • (Ko reportable non-investment income.)
2003 U.S. DepartmentofJustice
IV. REIMBUR 'TS -transportation. loctging, ro00, entertainment
(lnclndes those ID spouse and dependon< children. See pp. 25.27 ofinstructious.)
C NONE (No suchrepottablerrimburscmonts.)·
Malibu, CA, Feb. 28-Mar. 3, moot covrt competition (transportation and meals · including
spouse)
New Haven, CT, lune 26-29, judges' seminar (transporllltioo)
I. .P<:pperdine Univmit)' School of Law
2. George Mason Ulliversit)' Law & Economics Center
SO!JRCB DESCRIPTJQN.
DESClliPTION VALWECOPE
.FINANCIAL DiSCLOSURE REPORT · N•ine of P"""'n RepOrtiug · Dare of Report
Randolph, Artbur R ·Sl!312004
.
V. GIFTS.. (Jncluoes t11ose to spouse and dependent children. see PP· 2s..31 of ios<ru<:tions.)
li".l NONE (No snch repoml>le gifts.) ·
l.
VI. I.lABil.lTIES. (Includes those of spouse and dependent children. S.. pp. 32·34 of instructions.)
li!J NONE (No reportable liabilities.)
A.
2.
4.
8.
10.
17.
(l) (2)
c. D.
(1) (2) (I) :unot.exempt t1omdisciOS'l.R'C-
(2) (3)
J
(4)
-
roporting period
. . .FINANCIAL DISCLOSURE REPORT ·Dale of Report Name of l'mon Reportillg
Pagel of2 Randolph, Artbur R 511312004
VII. INVESTME..NTS and TRUSTS
l. in : A = SE,000 or less c = ...501-$.5,0!Xi D = S5,0(H-$1 S,000 E = $15,001-$50,000 (See Coiamos Bl W D4} F = $.S0,001-SJOO,OOJ Hl = il,OOO,OOl-$5,000,QQO H2 =More than $5,00:1,000
= $15,000 or less L = £50,00J-SlOO,OOC M = SlOO,OOJ..$250,000
(Sec C'..o}WllrlS Cl 1UW D3J K r;; :S1...S0.,000-$500J}QU P'. = $!.OOD,Of.H·S5,00tL:'.1JO P2 =S5.00V,OO>S25,030,000
P3 = S25.DGO.oo;-sm.ooo,ooo P4 = S:More than $:50,00W,000
Q ""Appra;;;al :, =Cost (Rea! Estate Only) S ::c Assessn:en; T = ::.:asb/Marke1
Oe£crlpti<m of Assets Uncludin& trust ass...'11)
Place '"00" aftereaclta«et frornpriordisclosure
DNONE {l\o repomible ireom:, as$Ct&, or iransactionz)
I. GrontThomttm l'anners Savings Plan
401(K) Plan· Fid. Ret Govt. Money Market
3. 4-0 I (K) Plan • Fid. Mgd. Inc. Port.
4-0l(K) Plan • Fidelity Int. Boo
s. 40 I (K) Plan • Fidelity Orowth Inc.
6. IRA· Pldellly Adv. Growth
1. Money Marl:ot Ae<:t • Jt UBSIPaineWebber
Money MarlretAC<:t -IRA· UBS/PaineWebber
9. Mutual Fund· Lord Abbett Af!'d -IRA
Mutual Fund .Washington Mutual Jnvestm • IRA
!I. Mutual Fund • VMM U.S. Tre>s. Port. - IRA
12. Mutual Fund • &ccuJive Life Fund • IRA
13. M\llllal Fond - Growth of Am<rica • IRA
14. Mumie Mae - common •tock
15. CitiBanl:.Mooey Mamlt
16. Mutual Fuud • Looi Abbett • A
Mutual Fund· Yll!l Kampen ·Comstock
18. Money Market· UBS/Paine Webber
Jl .. 1ncon:e du."i'lg
"""""" TYP< {<q;,Codo l div. rent. or (A.JI) int.)
A Dividerul
B Dividend
A Dividrod
A Dividend
A Dividend
A Dividend
B Dividend
c Dividend
B Dividend
B Dividend
A Interest
A Interest
A Dividend
A Dividend
B Interest
A Dividend
A Di'tidend
B Interest
B :::Sl.OOJ.$2,500
G *'SI 00,0Cfl $J ,000,000
R = SiS.001.$50.000
0 :: S5DO.£hl1-S!.000,000
Gros$ value st end of du.lfu_s reporting period reporting period
Value Valoe Type (e._J Dnte: vaiu, Code2 ).{ethod buy, set!, Mon<b· Codc2 (!·Fl Codo' = · n.y (1-1')
(Q-\11 redellµtioo)-
K T
L T sell 2lll6 L
K T sell 2106 K
K T sell 2106 K
K T sell 2/06 K
T
K T
K T
M T buy 1123 K
L T
I T
J T
M T buy 71'23 K
K T sell 6110 K
K T
K T
K T
L T
Galu Identity of Code 1 buyer/-(A-llJ (if priwre
transaction)
c
l_: Bc�k Value \V = Esliiroted
-
22,
32.
B.
(I) (2)
B
A
c.
repoltlDg perlOO
(l) (2) (1) u &cms.ure
(2) (1)
7123
2128
I
.
. .
(4) (5)
-
FffiANCIAL DISCLOSURE REPORT Page2 of 2
NRme- of Person Reporting Raru!o!ph, Arthur R
. Date of Report
511312004 .
- ' valoo, muiscatio:t1: fmcludeS those of the spouse and dependent clilldrer:. See pp. 34-57 o!filing llistruct:ic:ls.} VIT. Th'VESTMENTS and TRUSTS
A.
Description of Assets (including: IJU.!lt assets)
Place "00" after each asset e t from prior disckls11te
.
19. Mntnal Food lnVcstment Co. .
20. 40l(K). World Bond Fund
21. 4()1 (K) - Gro\<1h Fund
40l(K) - ML Prorec!ed Fund
23. 401(K) - Income Furul
24. 40l(K) • Pimco Bond Fund
25. 401 (K) • Pimoo High Income
26. -«ll(K) • Dur. Inc. Flllld
Tl. .Wl(K) - Growth & Inc. Fund
28. 40l(K) • Plmro Real Ret
29. 401(K) ·Fl. Rate Inc.
30. 401(KJ - !st Trust Val Line
31. Thrift Savings Plan
401(K) - World Bond Fund
IJ>coo>O during repat1lng period
Ammmt 1)pe (•.J!.COOo 1 div. reat. or (A·H) int.)
Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
Dividend
A Dividend
A Dividend
A Dividend
A !Jltcrest
A Dividend
D. Gross value at eOO cf T:ansactions during reporting perlod
not exempt f1orn
\'alue v.ine Type ·(•·!> Date: Value <:odd MeUwd buy, sen, Mooth· Code2
·(J'..P) Cod: 3 merger. Pay (I..J')(Q-W) ll)
K T buy K
K T buy 2120 K
K T buy 2/21 K
K T buy K
K T buy 2111 K
K T buy 211! K
K T buy 4130 j
K T buy 5/30 K
K T buy 1()115
1 T buy lll/16 1
K T buy 1001 K
K T buy 6117 I
K T
sell 10!15 I
Gain Identity <If COde 1 buyerlse:ller (A.II,) (lfpriva
traruactio!l)
A
l, ln:oroel:ai;; Codes: A = SI.000 or Jess E ;;oSl,ODJ-S:,500 C = $2,50l-£5,000 D = S5,00l-$15,000 E = $15,001 -$50.ooJ
(.See Coo!.mns Bl a.'ld D4) F ,= S50,00J SIOO,OO:J G = s100,rnn -Sl,OOCl O()f; Hl =Sl,OOO;OGl-$5.000,000 H2 =More tha!l $5,0Cl0,000
2. Value Codes; J = S:ISJlOO or Jess K .:.$15,0QJ.s:.?.J,f!OO L ""'$50,00J-$ 00,000 M :c::.Sl00,001-$250,000
(See Cofamns Ct and D3) N =SZ.S!J,00..1-$500.000 o =.$50. ::111-s:;,000.000 P-1 ""'Sl,000.001·$5,000,000 P2 = S5.000,UOJ-:S25,000,000
P3 = :i25,000,0:)J-$50.000,00-:1 µ4 =$More tbtL-5'50,0C0,000
Q = Apprai.>a:
U = Bao!: Vah.J::'-
'FINANCIAL DISCLOSURE REPORT . NameofPersonReportilll!
5113/2004
DaieofReport
R1mdolpb, Arthur R
·(lmlk;aie""' orRepc"-l VIII. ADDmONAL INFOR.i.\1.A TION OR EXPLANATIONS
The Grant Thom ton Partners Savings Plan is a cOmpensa.tion· plan, It is admlnist.ered by ti Common pooL Tue be cial -0Wner has, no right to ,
direct investments to other than those esignated.
Date.-+--£?->'- -=---/ I
UAL
Narneof PetsooRep>rting Dnte of R-eport · ' FINANCIAL DISCLOSURE REPORT
Randolph, Arthur R : 511312004
JX. CBRTIHCATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete t0 the best of my knowledge and belief, and that any information not rep:>rted was v;ithheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
WHO KNO Y AND WILFULLY FALS!FIES OR FAILS TO FILE THIS REPORT MAY CIVIl.. AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FIUNG 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