richard w roberts financial disclosure report for 2010

8/3/2019 Richard W Roberts Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/richard-w-roberts-financial-disclosure-report-for-2010 1/9

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act o f 1978(5 U.S .C. app. §§ 101-111)

I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)

R O B E R T S , R I C H A R D W .

4.Ti t l e ( A r t ic l e 11I j udge s i ndic a t e a c t ive or s e nior s t a tus ;ma gi s t r a t e j udge s i ndic a t e f u l l - or pa r t - t ime )

U.S. DISTRICT JUDGE, ACTIVE

7. Chambers or Office Address

U.S. DISTRICT COURT3 3 3 C ONSTI TUTION AV E. NWW ASHINGTON, DC 20 001

2. Court or Organizat ion

U . S. D I ST R I CT CO U R T , D . D . C.

3 . Date o f R e p o r t

08/04/2011

5a. Repor t Type (check appropr ia te type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis o f the in fo rm a tion con ta ined in th is Report and anymodif icat ions per ta in ing there to , i t i s , in my op inion, in compl iancewith appl icable l aws and regula tions .

Reviewing Office r Date

6. Report ing Pe riod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each pa rt where you have no reportab le in format ion. Sign on last page.

I . P 0 S I T I 0 N S . ( R e p o r a n g ~ n d i v i d u u l o n l y ; see p p . 9 - 1 3 of filing instructions.)

N O N E (No reportable positions.)

POSITION

1.

2.

3.

4.

NAM E OF ORG ANIZATION/ENTITY

I I . A G R E E M E N T S . ( R e p o r a n g ind iv idua l onl y ; seepp . 1 4-16 o f f i l l ng ins t ruc t ions . )

~] N O N E (No reportable agreemen ts.)

DATE PARTIES AND TERM S




of 9

N a m e o f P e r so n R e p o r t i n g


D a t e o f R e p o r t

08/04/2011

III. N O N - I N V E S T M E N T I N C O M E . m e p o r a n g i n d iv i d u a l a n d s p o u s e ; see p p . 1 7 - 2 4 of f i l ing ins t ruct ions . )

A. Filer’s Non-Investm ent Incom e

~] NONE (No reportable non- inves tment income.)

DATE SOU R CE AN D TY P E I N C O M E(yours, not spouse’s)

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 ma rried during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~--] (No reportable income.)ON E non-investment

DATE

1.2010

2.

3.

4.

SOURCE AND TYPE

I V . R E IM B U R S E M E N T S - transportation, lodging, food, entertainment

( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f i ll i n g i n s tr u c t io n s . )

[] (No reportable reimbursements.)ON E

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. H AR V A R D L AW SC HO OL S EP . 15 -17 CAMBRIDGE, MA GUEST FACULTY T R A N S P O R T A T I O N , S O M E M E A L S .

O T H E R M E A L S A N D L O D G I N G

P R O V I D E D

2. NEW YORK I .P . LAW YERS MAR. 26-27 N EW Y OR K , N Y F ED. JU DICIAL DIN N ER TRANSPORTATI ON. MEAL S, ANDASSN . L ODG IN G P R OV IDED

3. D.C. BAR DEC. 7 WASHINGTON, DC CLE LECTURER PARKI NG

4. L AW Y ER S W ITHOU T N OV . 6 -13 MONR OVI A, L I B ERIA A DV OCA CY T RA IN IN G S OM E M EA LS AN D

BORDERS TRANSPORTATI ON. OTHER M EAL SAND L ODGI NG PROV I DED

5.




P a g e 3 o f 9

N a m e o f P e r s o n R e p o r t i n g


Date of Report

08/04/2011

V . G I F T S . an c lu d e s t h o s e to , p o u , e a n d d e p e n d e n t children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION

1.

2.

3.

4.

5.

V A L U E

V I . L I A B I L I T I E S . a n c lu d e s t h o s e o ls p o u s e a nd dependent children; see p p . 3 2 - 3 3 of filing instrucllon~)

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUECODE




of 9


ROBERTS, R I C H AR D W .


08/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v u t u e , t ,a ~ s a c t i o n s a n e l u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)

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

1. JUSTICE FEDERAL CREDIT UNION B Interest M T

ACCOUNTS

2. CITIBANK ACCOUN TS C Interest N T

3. DELHAZE AMERICA COMMON STOCK A Dividend J T

4. SMAL L C L AI MS JUDGMENT AGAI NST N o n e J TJOHN B OW EN

5. ~ 401 (K) (FIDELITY) A Int./Div. M T

6. F EDER ATED CAP ITAL R ESER V ES N o n e J - T

7. NUV EEN MUL TI -STRATEGY + I NC . A Dividend J T

8. ~ EMPLOYEE STOCK OPTIONS N o n e M T

9. " _ . . ~ STOCK & C Dividend N TRESTRICTED STOCK

1 0 . WACHOVIA ESTATE #2 ACCOUNT N o n e J T

1 1 . WACHOVIA ACCOUNTS #3 B Interest L T

1 2 . C API TAL W ORL D OR + I NC . FND ( JL ) A Dividend J T

1 3 . W ASHINGTON M UT. I NVR. FND ( JL ) A Dividend J T

1 4 . EUROPAC1FIC OR. FND (JL) A Dividend J T

1 5 . EUROPACIFIC GROWTH FUND (ILl A Dividend K T

IRA)

1 6 . FI DEL ITY ADV I SOR NEW I NSI GHTS A Dividend L T

( RJ IRA )

1 7 . FRANKLIN STRATEGIC INCOME (RJ C Dividend K T

IRA)

03/16/10

02/27/10

K

K

Sold 05/18/10 J C

(pa n )Sold 05/20/10 K D(pa n )

1. Income Gain Codes:

ISee Columns B1 and 1)41

2.Value Codes

{S ee C olamns C I and D 3 )

3.Value Method C o d e s

(See Column

A =$1,000 or less B =$1.~,1 - $2.509

F = $5 0,001 - $ 100 ,000 G =$100.001 - $1.000 ,000

J = $15 ,000 o r le ss K = $15 .091 - $ 50 .000

N =$250.D0 1 - $500.000 O =$5 00.0 01 - $1.0 00.0 00

P3 =$25.~)0.001 - $50.01~.000

Q =Appraisal R =Cost IReal Estate Only)

U = Bo o k V a l ue V =O th er

C =$2.501 - $5,00~ D

H 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 , 1 ) 0 0 , 0 0 0 H2 = M o r e t han $ 5 o 0 0 0 , 0 0 0

L = $5 0.001 - $ 100.000 M =$ 100,001 - $ 250 ,000

PI =$t.000.001 - $5,000.000 P2 =$5.000,001 - $25,000.000

P 4 = M o r e ~ , h a n $ 5 0 ,~ 0 0 , 0 0 0

S = Assessm en t T =C as h Mar ket

W =Estimated

E --$15.001 - $50,000




of 9

N a m e o f P e r s o n R e p o r t in g



08/04/2011

V I I . 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 t ,e , tr o , ~ n c t i o .~ a , ~ i u d c ~ t h o s e o S s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of fi l ing i ns t ruc t ions . )

~] NONE income, assets, or transactions.)N o reportable

1 8 .

1 9 .

20 .

21.

22 .

23 .

24 .

25 .

26 .

27 .

28 .

29 .

30 .

31 .

32 .

33 .

34 .

SHARES B ARC L AYS TI P (RJ I RA) B Dividend K T

SHARES BARCLAYS 1- 3 YEAR A Dividend K T

TREASURY ( I L l IRA)

SHARES M SCI EAFE (ILl IRA) A Dividend K T

JP MORGAN V AL UE ADVANTAGE (RJ B Dividend L TIRA)

VANGU ARD TOTAL STOC K MARKET B Dividend M T

~ STOCK (ILl) N o n e K T

CASH ACCOUNT (RJ IRA) A Interest K T

CASH ACCOUNT (RJ) A Interest J T

US TREASURY STRI P (RJ I RA) A Dividend K T

FIDELITY MUNICIPAL INCOME FD B Dividend L T

S o l d 05/08/10 K D

(part)

Buy 01/27/10

Buy 02118/10

Buy 03/I 8/10

Buy 04/20/10

Buy 05/19/10

Buy 06/18/10

Buy 07/20/10

Buy 08/04/10

J

J

J

J

J

J

J

J

2. V alue C0 d es J = $15 .000 o r le ss K = $ 1 5 , 0 0 i ~ $ 5 0 ~ 0 0 0 L-~$~6~00i 2 $i00;000 :

(See Col ....Cl and D3) N =$250,001 ± $500,000 O--$500i00i ; $ i;000,000 p :

P3 =$25,000.00 - SSO 000 000

3. V alue M eth o d Co d es Q = Ap praisal R =Cost (Real Estate Only)s ~se~i X = Cash M ar k e t

( S ee C olumn C 2 ) U = Bo o k V a l ue V =O th er W ~Estimated




o f 9




08/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , vul.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

35 . Buy 09/07/10

36 . Buy 10/06/10

37 . Buy 11/04/10

38 . Buy 12/06/10

39 . C ENTURY L I NK STOC K (RJ ) B Dividend K T

(FORMERL Y KNOW N AS C ENTURYTEL)

40 . A L L Y B A N K B Int./Div. L T

41 . DI SCOVER B AN K B Interest L T

4 2 . T HE G R OW TH FU N D O F A M ER I CA A Dividend J T-529A,-654

43 . NEW PERSPEC TI VE -5 29A,-65 4 A Dividend J T

44 . WASH. MUTUAL INV. -529A,-654 A Dividend

4 5 . T HE BO N D F U N D O F A M ER I CA B Dividend

-529A,-654

46 . U.S. GOVERNM ENT SEC URI TIES A Dividend

-529A,-654

4 7. A M ER IC AN F U N D M ON EY M A R K ET A Dividend

-529A,-654

4 8 . T HE G R OW TH FU N D O F A M ER I CA A Dividend-529A,-651

49 . NEW PERSPEC TI VE -5 29A,-061 A Dividend

50 . W ASHINGTON MUTUAL I NVESTORS A Dividend

-529A,-061

K T

K T

J T

J T

K T

K T

J

J

J

J

Sold 07/27/10 J A

(Se e Co lumm CI a n d 03) N ~$250;~1 ; $5~;~ ? ..... 0 ~ $ 5 0 0 ~ ~i~$i,~0;~0 P 1 :

3 . V a l u e M e t h o d C ~ Q =Appraisal : R ~ b s t ( R ~ a l ~ t a t e O n l y ) ::

(See Column C2) U = B ~ k V a i u e : V=~hff w = E ~ i m a I ed : :




of 9


ROBERTS, RICHARD W .


08/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , n e , v u l u e , t ra n s u c t i o n s a n c t u d e s t h o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)~ NONE (N o reportable income, assets , or transactions.)

51. T H E B O N D F U N D O F A M E R I C A B

-529A,-061

52 . U S G O V E R N M E N T S E C U R I T I E S A

o529A,-061

53 . # A M E R I C A N F U N D M O N E Y M A R K E T A

529A, -061

5 ~ . . B L A C K R O C K G L O B A L A L L O C A T I ON A( P , J I R A )

55 . # FI D E L I T Y A D V I SO R FL O A T I N G R A T E A

(~ I R A )

56 .

Dividend K T

Dividend K T

Dividend J T

Dividend K T

Dividend K T

Bu y

Bu y

Bu y

05/28/10

05/18/10

05/20/10 i

J

K

K

( S ee C olUmns C I and D 3 ) N --$250,001 ~ $500,000 O ~ $ 5 0 0 ; 0 0 1 - $ L 0 0 0 ~ 0 0 0 :Pi =$1 ~i00i $5~000 ........................2 ~$5,000,001 - $25;000;000 .......

p3 =$25,000.001- $50.000,000

3. Value Method Codes Q--Appraisal R =C0st (Real Estate 0nly):

(See Colum n C2 ) U --Book V alue V =Other ...... : ....




of 9


ROBERTS, RICHARD W .


08/04/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlcatepart of report.)

V I I . 8 . S TO C K O P T I O N S G R A N T E D P R E V I O U S L Y W E R E E X C H A N G E D A N D N E W O P T I O N S W E R E 1 S S U E D A C C O R D IN G T O S E V E R A L R A T I O S ,

A N D S H A R E S W E R E A L L G I V E N N E W V E S T I N G S C H E D U L E S O N J U N E 1 7 .

VII. 9. ~wgs ACQUIRED BY~ WHICH CHANGED ITS NAME TO~

V I I . 8 -9 . BO X D ( 1 ) SH O U L D BE FI L L E D W I T H T H E WO R D , " G R A N T . "

V I I . 12 - 1 4 . " J L " M E A N S H E L D BY " J O H N ST O N L E M O N




o f 9



Date of Repor t

08/04/2011

IX. C ERTIFICATION.

I c e r ti f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c cu r a te , t r ue , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t ut o r yp ro vis io n s p erm i t t in g n o n -d i sc lo sure .

I f ur t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i ch h a v e b e e n r e p o r t e d a r e i nco mp l ian ce w i th th e p ro v is io n s o f 5 U.S.C. ap p . § 501 e t . s eq . , 5 U.S.C. § 7353, an d Jud ic ia l Co n feren ce reg ula t io n s .

Signature: S[ RICHARD Wo R O B E R T S

N O T E : A N Y I N D I V I D U A L W H 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 F I E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C IV I LAND CR IM INAL SANCTIONS (5 U .S .C. app. § 104)

C o m m i tt e e o n F i n a n c i a l D is c lo s u r e

A d m i n i s t r a ti v e O f f i ce o f t h e U n i t e d S t a t e s C o u r t s

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

richard w roberts financial disclosure report for 2010

Documents