ellen s huvelle financial disclosure report for 2009

8/3/2019 Ellen S Huvelle Financial Disclosure Report for 2009

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A o t0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E l h i c ~in Government Act of 197~Rev. t /20 tO FOR CALENDAR YEAR 2009 0 U . S . C . a p p . 1 0 1 - 1 ! 1 )!. Person Reporting (last name. first, middle initial) 2. Court o r Organiza tion 3 . D ate o f ReportHuvelle, Ellen S. US District Court for the District of Columbia 06 /07 /201 0

4. Title (A rticle HI judges indicate active or senior status; 5a. Repo rt T ype (check appro priate type) 6. R epo rting Perio dmagistrate judges indicate full- or part- time) [] Nomination, Date 01/01/2009US District Judge - active [] Initial vl-y-A~] A r m u a l [] Final to12/3112009

5b. [] Amended Repor*.7. Chambers or Office Ad d ress I 8. On the bas is of the information co ntained in this Report and anymodifications pertaining thereto, it is, in my o pinion, in compliance333 Constitution Avenue NW with applicable laws and regulations.W a s l~ i n g t o n D C 2 0 0 0 1

Re& e,v irtg O fficer Date

I M P O R T A N T N O T E S : The instructions accompanyh~ g this form must be followed. Complete all parts,checking the NONE box for each part ~here you have no reportable information. Sign on last page.

D NO NE ( No reportable positions.)PO SIT IO N N A M E O F O R G A N IZA T IO N /E N T IT Y

1. Board Member Board of Overseers, Boston School of Law

NO NE ( No repotable agreements.) ~ -~~ PARTIES AND TE~


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FINANCIAL D IS C LO SU R E R E P OR T N a m e o f P e r s o n R e p o r t in g I D a t e o f R e p o r t[ H uveite, Ellen S. [

06/07/2010Page 2 of 13

l I I . N O N - I N V E S T M E N T I N C O M E . ( R , p o , n n g indiv idual and spouse; see pp. 17-24 of fl l lng ins tructions .)A. Fliers Non-Investment Income

[~ NONE non-investrnent income.)eportableDATE SOURCE AND TYPE (yours, not spouses)

2.

3.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - If you were married during anyportion of the reporting ),ear, complete this section-(Dollar amaun not required except.]or honoraria.)

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

1. 2009 Self-employed, Partner in Law Firm2~3,

4.

I V . R E I M B U R S E M E N T S - ~,unsro,~,ao,. toag~,g.[ood.,n,~r,ai,,,,~( I n c l u d e s t h o s e t o s p o u s e a n d d q ~ e n d e n t e h i h t r t n ; s e e l q ~ . 2 . 5 .- 2 7 o f f il i o g i n s t r u c t i o t ~ . )~ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. New York Intellectual 3/27/2009 - N ew Yo rk, N Y A nnual Dinner Transportation, hotel, foodProperty Association 3/28/20092. B o s t o n C o l l ege L aw S eho o i 5/712009-5 /9 /2009 Boston, MA Meeting of Board of Transportation, hotel, foodOverseers3. Boston College Law School 10/9/2009-10110/2009 Boston, MA Meeting of Bo ard of Transportation, hotel, foodOverseers4.5.


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FINANCIAL DISCLOSURE REPORT N.~ of Per,o~a Reporting D.t of ReportPage 3 of 13 lluvelle, Ellen S. 06 /07/2010

V . G I F T S . a n e i n d e s , ~ ,o ~ e t o s ~ u s e u , , a dependent chitdren; see p p . 2 S - 3 1 of firing instructlons.)NONE (No reportable gifts.)

S O _ _ _ _ U _ U R C E DgSCRIPTION VALUE

2.3.4.5.

V L L I A B I L IT I E S . anet~d,s those oys~o . . . . .d depen den t ch i ldren ; see pp. 3 2 - 3 3 of ji l ing instructions.)D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODEL HSBC b l o r tg a g e o n R e n t a l P r o p e r t y , W ~ h i n g t o n , D C ( P a r t V I I , L i n e 1 1 9 ) M2.3.4.5.


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N a m e o f Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT[ Huvelle, Ellen S.age 4 of 1 3 0 6 / 0 7 / 2 O l 0

VII. INVESTMENTS and TRUSTS - ~ o ~ ~ o t ~ , . ~ . . .. ~ o , ~ anctuaes those o f s w . . . . a a e ~nd e nt c h i l d r e n; se e p p . 3 4 - 6 0 of filing ~s~rucaons.)~ N O N E (No reportable income, ~sets, or transactions.)

D e s c r i p t i o n o f A s s e ~ Income ~fing I O r o m v a l u e at end Transactions d~ing reposing ~ri~(including ~st ~ se~) ~ r~ing pefi~ [ o f r e p o r t i n g p e r i o d..... pt from prior disclosure [ C~e I di ...... 1 , 1 C~e 2 I Me~ b u y ~ 1 1 , ~d&. ; E~ 2 / C~e t b u y e r i s e l l e r( A - H ) o r i n t . ) ( J - P ) C~ 3 r ~ e m p t i o n ) : : ( J - P ) / (A-H) ( i f p r i v a t e

I. Morgan Stanley A ctive Assets Tax Free A Dividend O TT~st2 , A m e r i c a n O n l i n e ( n o w n a m e T i m e W a r n e r ) A D i v i d e n d J T

3 . C i s c o S y s t e m s N o n e S o l d 12/14/09 K A

4, iShares MSCI EAFE Fund C Dividend M T5. Oracle Corp A Dividend K T6. Cinco TX Municipal Utility 4.0% due 911/1 ( B Interest L T7. MFS Muni Bond B Dividend K T8. Van Kampen Emerging Markes N o n e K T9. Oppenheimer Developing Markets Fund A Dividend K T

1 0 , Templeton DevelopingMarke~s A Dividend K T1 1 . AIM International Growth Fund A Dividend L T1 2 . Mazaulife Venture Annuity N o n e L T1 3 . iShares Sm Cap 600 Growlh A Dividend J T1 4 . Allianz CCM Cap App Class C A Dividend K T1 5 . Calvert Large Growth Fd CI C N one K T16 . MFS lntl Growth Fd CI C A D i v i d e n d K T ....1 7 . ~,tan Kampen Comstock CI C A Dividend K T

2, Value Codes J =$1 5,000 or less K =$1 5,001 - $50.000 L =$50.1X:,1 - $100.000 M = $ 1 0 0 , 0 0 | . $ 2 5 0 . 0 0 0


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N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTn u , e t l e , E l l e n S .age 5 of 13 0 6 / 0 7 / 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~co.,e, ~ u . , ~ . a , ~ , ~ o . s a n c t u d ~ . , , o .e o / s r o . $ ~ a , a ~ . ~ . ~ ~ , u ~ ; , ,, ~ . ~ 4 ~ o o / ~ t ~ g ~structlons.)~ NONE ~o reportable income, ~sets, or ~ansactions,)

D ~ c f i p l i o n o f A S ~ I $ I n c o m e d u r i n g(i~luding ~st asse~) re~ing period ~ of reposing p~iodP l a c e " ( X ) " C~e 2 ~ Me~ buy, ~ll, m~d~y~ C~ c 2 C~ c 1 [ b u y e r / s e l l e re x e m p t f r o m p r i o r d i ~ l o s~ e C ~ e I d i v . , r e n L ~ ( J - P ) [ C~e 3[ (A-~ o r i n t . ) r e d e m p t i o n ) ( J - P ) ( A -~ ~ (ifpdvalc

1 8 . No rth Eas~ Inde~ndent Sch Dist TX 2.75 C Interest R~emed 8/3/09 L B~ due1 9 . Baker Hughes A Dividend Sold I ~18/09 J A

2 1 ) . Johnson & Johnson A Dividend K T2 1 . Morgan Stanley India Investment Fund A Dividend Sold 1 9 2 / 1 8 / 0 9 1 J A22, Powershares Wildhill Clean Energy N one J T2 3 . Whole Foods lV larkets N one Sold 4/29/09 J A2 4 . Wisdom Tree Large Cap Dividend ETF A Dividend Sold 1 2 , 1 1 8 / 0 9 K A2 5 . Eaton Vance Large Value Fund A Dividend K T26, AllianceBemstein International Growth A Dividend J T27. Las Vegas NV4.0% 10/01109 C Interest Redeemed 10/I/09 L A28. Montgomery Co. MD 5.0% 10 /01II2 B Interest L T2 9 . Amex Centurion Bank 2.9% 12110/09 N one Redeemed 1 2 / 1 0 1 0 9 L A3 0 , Bear Steams Co. 7.625,/o 12/07/09 D Interest Redeemed 1 2 / 0 7 1 0 9 L A

3 1 . Indiana St Education 5.0% 02/01/09 B Interest Redeemed 2/2/09 L A32. Market Vectors Gold Miners A Dividend K T3 3 . Morgan Stanley Bank CD 2.9% 12/11/09 B Dividend Redeemed 12/11/09 L A

o34. Palm Beach Criminal 5.3"75Y. 0 6/01/I I C Interest L T

(See Colu~ C2) U = B ~ k V a l u e V ~ O ~ e r


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N a m e o f P e r s o n R e p o r t i n g D a t e of R e l ~ r tFINANCIAL DISCLOSURE REPORT] m , v e n e , ~ : n e n s .age 6 of 1 3 0 6 / 0 7 / 2 o 1 0

N O N E ~ o reportable income, ~sets, or transactions.)A. B. C. D.

~iption of As~ I n c o m e d u r i n g G ro ~ s v al u e a t e n d Transactions during r~rting(including ~sl as~e~) r~oaing ~riod of ~orting periodValue [ Vatue ~ T ) ~ (e g, ~te Va ue Gain

~empt from prior disclosure C~e I [ div., r~t ,/ ( Q - W ) ~

3 5 . ~ydex M anaged F utu re S tra teg ies F und N one K T3 6 . Tulsa Co ISD 3.5% 08/01/10 D Interest M T3 7 . WesternBank PR CD 2.75% 0 2/02/09 A Interest Redeemed 2/2/09 L A3g. Schlumberger N one J T Buy 1 2 / 1 4 / 0 9 J3 9 . Time Warner Cable A Dividend K T . .. Buy 1 0 / 8 / 0 9 J

4 0 . Time Warner Cable A Dividend K T Buy 4/15/09 J4 1 . E MC N o n e J T Buy 2/14/09 J4 2 . Hewlett Packard A Dividend K T Buy 1 0 / 8 / 0 9 J4 3 . Hewlett Packard A Dividend K T Buy 4/t5/09 J4 4 . New Frontier A Dividend L T Buy 4/17/09 L4 5 . Netflix N one J T Buy 1 0 / 8 / 0 9 J4 6 . A m a z o n N one K T Buy 1 0 1 8 / 0 9 J4 7 . Bank of America Subordinated Notes B I n t e r e s t I. T Buy 4/22/09 L4 8 . Diamond Hill N one K T Buy 1 2 1 1 4 / 0 9 K4 9 . M S Limited Duration US Govt Tr A Dividend M T Buy / 2 1 1 4 / 0 9 M

New York St Go N one M T Buy 3/5/09 M51. iShares Barclays 1-3 V r T r e a s u r y B d N one M T Buy 1 2 / 1 4 / 0 9 M


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Ianle of Person Reporting Dale of ReportFINANCIAL DISCLOSURE REPORT[ ~ u w l l ~ , E l le n s ~Page 7 of 13 0 6 / 0 7 / 2 o l 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , ,c o , ,~ , ~, 1, ,, t .. .. a o ,~ (Includes those of ~ottse und dependenl children; seem. J , ! - 6 0 of fili.g it~strltctlons.)[--] NONE (No reportable income, assets, or transactions.)

Description of Assets Income during Gross value at end~ Tnan,,actions during tel:rotting period(including trust assets) ] reporting period of reporting period

Place "(X)" after each asset J A m o u n t Dale Value i Gain Identity ofType (e.g. , Value V alue T y pe (e.g.,exempt from prior disclosure i Code 1 div., rent, Code 2 Method | buy, sell, mm/dd/yy Code 2 i Code I buyer/selleriA - H ) ot int.) (J-P) Code 3 redemption) (J-P) i (A-H) (ifprivare(Q-W) ! transaction)

5 2 . iShares D j U S H e a l th c a r e S h a r e s A Dividend J T B u y 12/14 /09 J5 3 . i S h a r e s M S C I B r a zi l A Dividend J T B u y 1 2 / 1 4 1 0 9 J5 4 . A l li an c e B e m s te in In l l A Dividend K T B u y 12/14/09 K5 5 . IKA #2 D Dividend O T5 6 . - M o r g a n S t a n le y B a n k

5 7 . -iShares S&P Stnall Cap Value

5 8 . -iShares S& P 500 Growth

5 9 . - iS h a x e s S & P 5 0 0 V a l u e

6 0 : - iS h a x e s S m C a p G r o w t h

6 1 . -Genzyme Corp6 2 . -W almart Stores 6.875% du e 8/10/09 R e d e e m e d 8/10/09 K A

6 3 . -Van Kampen Comstock6 / J , . -MFS Value6 5 . -MFS lntl Growth

6 6 . -Calvert L arge Growth6 7 . -Abbott Laboratories

6 8 . -A merican Gr. Fund


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Name rff Person Reporting Date of ReportP a g e F I N A N C I A L 8 o f 1 3 D I S C L O S U R E R E P O R T nu~elle, E l l e n S . 0 6 / 0 7 / 2 0 1 0

VII. INVESTM ENTS and TRU STS-~no~,~t~e,, ..... a o . , a . a ~ d ~ , , h o , e o f , ~ .... nddepen dentchi l dren;seepp. 34-60 off l l ingl ns truct t~ ns .)[] NONE ~o reportable income, ~sets, or ~ansactions.)~ A. ~ B. C. D.

(inl~g Imst a~ts) ........ y~ng ~ .......... of repofling period

~

~) (2 ) o) (2) o)


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FINANCIAL DISCLOSURE R EPORT [ N u m e o f P e r s o n R e p o r t i n g D a t e o f R e l ~ r ~Page 9 of 13[ I H u v e n e , m e n s .

o 6 / o w 2 o I oV I I . I 1 N V E S T M E N T S a n d T R U S T S - ~ . c o . , e , ~ . e , ~ , . ~ . , . ~ o . s a . ~ t . ~ s , h o s ~ o f s , o . s . n a a ~ p ~ . d ~ . , e h i l d r e n t s e e p p . 34-60 o f f i li n g ~ t r u e t i o ~ . )

N O N E (No reportable income, assets, or transactions.)A. B. : C. D.~fiption of As~ I n c o m e d u r i ng G r o s s v a l u e m ~ n d Transact ions during re~ing ~(includiag t~1 as~) r e p o s i n g p e f i ~ o f r e p o s i n g p e f i ~ [

Place "(X)" after each assetm o u n l T y p e ( e . g . V a l u e ~ V ~ l u e ~ T ~ ( e . g . , D a ~ e : V a l u e G a i n I d e u t i ~ o fe x e m p t f r o m p r i o r d i sc l o s u r e [ C~e I ] div., rent, C~e 2 [ M~ I b u y ~ 1 1 , m~d~ , Co~ 2 C~e I b a y e r l s e l l e r. (A-H) ~ or int .) (J-P) [ Cod3 I r e d e m p t i o n ) : ~ (J-P) ( A ~ [ 0 ( i f p r i v a t e

8 6 . iShares MSC[ EA FE A Dividend K T8 7 . iShares S&P 500 Growth A Dividend K T8 8 . iShares S&P 500 Value B Dividend L T8 9 . iShares Small CapGrowth A Dividend K T9 0 . MS India Fund A Dividend Sold 12/17/09 J A9 ~ , _ Oysler Bay N ew York Public hnprovementsl B Interest K T5.0%9 2 . V an Kampen Em erging Markets Fund No ne K T9 3 . Van KampenComstock A Dividend Sokt 1 2 / 1 7 1 0 9 K A9 4 . Oppenheimer Developing Market,s Fund A Dividend K T

9 5 . Delaware Trend Fund N one Sold 12/17/09 K A9 6 . Atlianz Cap App A Dividend Sold 12/17/09 J A9 7 . Calvert Large Growth N one J T9 8 . M F S V al ue A Dividend K Y9 9 , Am, Inv. Co. of Am. A Dividend K T1 0 0 . Franklin Small Midcap Growth No ne K T1 0 1 . Lincoln N ational American Legacy No ne M T1 0 2 . Norlh Las Vegas Nv 4.35% 1110!110 C I n t e r e s t M T

(~c Col~nn C2) U =H~x)k V alue V ~thcr W =Esfimzted


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N a m e o l~ P e r s o n R e p o r t ia g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTn u ~ , e l l ~ , E l le n S . 0 6 / 0 7 / 2 0 1 0age 1 0 of 13

VI I. IN V E S T M E N T S a nd TRUSTS -N O N E (No reportable income, assets or transactions.)

A.D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r a s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e t ] A m o u n t T y p e ( e . g . , Value Value T y p e ( e . g . , Da ~ e ! V a l ue i G a i n . I d e n t i t y o fc x c m p ~ f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t . C o d e 2 M e th o d buy sell mm/dd/yy Code 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) , (J-P) ( A - H ) ( i f p r i v a t e............................................ 1 ] ~ - ~ . , . . . . , o . )103. MS Fx Alpha Plus Strat Porl N one K T104. AIM Tax Exempt Cash Fund A Dividend K T105. Ba~k o f lndia 2.85% 3/I 8~008 B Interest Redeemed 3/18/09 L A1 0 6 . Capital One Bank 4.0% 0 2/08/10 C Interest M T1 0 7 . Connecticut Health Education 4.0% 7/01/IO D Interest M T1 0 8 . Sovereign Bank CD 2.9% 3/17/2009 B Interest Redeemed 3/17/09 L A

0 9 . 1st Pacific Bank CD 4.05% 2/8/2010 C Interest M T1 1 0 . Delaware Emerging Markets N one K T Bu y t2/17/09 KI I 1 . Van Kampen Small Cap Value N one K T Bu y 12/17/09 K1 1 2 . A llianz NFJ Div. V alue N one J T Bu y 1 2 1 1 7 / 0 9 J

1 1 3 . I R A # 1 A Dividend L T1 1 4 . -Morgan Slanley BankYLiquid A sset Fund1 1 5 . -Delaware Small Cap Value Fund1 1 6 . ~ , ~ [~ ~ B Interest O T1 1 7 . A Distribution .I T] 18. Greenwood at Cleveland Park H,C N one J W119. Rental Property, Washington, DC D Rent N W


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FINANCIAL DISCLOSURE REPOR T Name of Person Reporting Date of ~ep0rt IPage 1 1 of 13 n . v ~ l l e , ~ e , , s . 0 6 / 0 7 / 2 0 m IV I I . IN V E S T M E N T S a n d T R U S T S -~,co, ,e. ~, t ,e. t . . . . . c~o~ a,c~ ,ae, ,*ose o~,~o ~ , ,d a~,a, . t ~aa,~,; ~ ~. ~ - ~ o

N O N E (No reportable income, ~set& or transactions.)~ . [ ...................... ~ ~ : ....... [ ......................................~: ............................Description of As~ts [ Income during ] Gross value al end [ Tmns~lions during reining(includ~g t~s~ asse~) [ r~oning ~fi~ ~ ~eponing p~od

Pl~ce"(X)"afler~h~t ~Amount T~e(.g., Value Value T~e(e.g., [ Date ~Valu [ Gan Id~tityofxc ~ r C~e 1mp ~ am prior ~losure , & v . , ~ n t , C~2 M~ buy, sell, [ ~d~yy :: C~e 2 C~1( A - H ) o r i n t . ) O - P ) ~ Co de 3 ~ rc de mpO on) [ U-P) [(A-H) [ ( i f p r i v a t

.......................... ~ ............................... t ............... ~.. _ _.= .............. ~ .......... ~ . . . . . {

120. Winslow Green Mu~I Fund A Dividend J Tt21, Retirement Account E I n t . / D i v , PI T122, -Dodge & Cox

1 2 3 , -American Funds G rowth Fund of Am.

1 2 4 . - A m e r i ca n B e a c o n S m a l l C a p

1 2 5 . - R a n i e r S m a l l /M i d C a p E q u i t y

1 2 6 . - L a z a r d E x n e r g i n g M k t s

1 2 7 . - T h o rn b u r g I n te r n a ti on a l

1 2 8 . - S c h w a b S t a b l e V a l u e

1 2 9 . - P I M C O T o t a l R e t u r n


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FINANCIAL Iame of Pers on Report ing D ate of ReportDISCLOSURE REPORT] Huvelle, Ellen S.

06/07/2010age 12 of 13VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a, di~at,~,a,to~ReporL)


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FINANCIAL DISCLOSURE REPORT N .... f P .... R e p o r t i n g D i r t , o f R e p o r tPage 1 3 of 1 3 n n v e n e , E l l e n S . 0 6 / 0 7 / 2 0 1 0

IX . CERT IFICATION.! certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my kmowledge and belief, and that any information not reported was ~thheld because it met applicable statutoryprovisions permitting non-disclosure.I further certif) that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

N O T E : A N Y I N D I V I D U A L W I t 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 FI E S O R F A I L S T O FI L E T H I S R E P OR T M A Y B E S U B J E C T T O C IV 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 pp. 1 0 4 )

FILIN(] INSTRUCTIONSMail signed original and 3 additional copies to:

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

ellen s huvelle financial disclosure report for 2009

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