copy - judicial watch · copy financial disclosure ... ao 10 . in . govenment act of 1978 rv....
TRANSCRIPT
PARTIES AND TERMS
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COPY Report Required by the EthicsFINANCIAL DISCLOSURE REPORT AO 10 in Government Act of 1978
Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.SC. app. §§JOI-I/ I)
t. Person Reportln2 (last name. first. middle initial)
Royal, Charles A.
2. Court UI' Organization
U.S. Middle District - Georgia
J. Date of Rtport
05118/2010
4. Title (Article Ill judges indlcatc active or senior status; magistrate judges indicate full· or par1·time)
U.S. District Judge - Active
Sa. Report Type (check appropriate type)
D Nominatlon, Date
D Initial [ZJ Annual
Sb. D Amended Report
D Final
6. Reporting Period
0110112009 to
12/31/2009
7. ChamDe-rs or Office Address
U. S. Courthouse 475 Mulberry Street Macon, GA 31202
8. On the basis of the information cont•ined in thli Report and any modifications pertaining thereto, ii is, in my opinion, in tcmpliancc with applicable l•ws and rrgulations.
Rtvirwing Offic.-er _____ ---····· Datt
IMPORTANT NOTES: The insrructwns accompanying this form must be folfowed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on las/ page.
l. POSITIONS. (Reporting imlividua/only: supp. 9-IJ of filing instructions.)
D NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I. Executor Estate #I
2.
3_
4.
5_
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II. A GREEJ\1ENTS. (Reporting Individual only: ue pp. U-16 of filing instruction'-)
[ZJ NONE (No reportable agreements.)
I.
3.
Royal, Charles A.
SOURCE
SOURCE LOCATION PURPOSE ITEMS PAID OR PROVIDED
Date ol Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2 of IO 05/18/2010Royal, Charles A.
III. NON-INVESTMENT INCOME. (Reportingindividua/and spouse:see pp. 17-140/filinginstructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
SOURCE AND TYPE
I. Spring '09 Mercer University School of Law
INCOME (yours, not spouse's)
$2,000.00
2. Qrt. '09 West Services, Inc. (Book royalties) $2,677.90
3. Fall '09 Mercer University School of Law $2,000.00
4.
B. Spouse's Non-Investment Income - If you""" married during unyportiun of the reporting year, complete thi.r seCIWfl.
(Dollar amount not required e:ccepl for honoraria.)
0 NONE (No reportable non-investment income.)
AND TYPE
I. 2009 Fir.;t Presbyterian Day School - Math Teacher
2. 2009 Covenant Academy - Math Teacher
3.
4.
JV• REIMBURSEMENTS -rransportarion, lodging,food, enrmainment
(Includes those to spouse and dependent children; see pp. 25-27 offilmg instructions)
NONE (No reportable reimbursements.) [ZJ
I.
2.
3.
4.
5.
[l]
SOURCE
3
DESCRIPTION
VALLIE CODE
Date of Repon Namt or Ptrson Reporting FINANCIAL DISCLOSURE REPORT
Page 3 of IO 05fl 8/2010 Royal, Charles A.
V. GJFI,S. (lru:lude-s rhou co spouse and d p nJenr childr n.· supp. 28-3/ of filing instructiorn·.)
NONE (No reportable gifts.)
I.
2.
4.
5.
VI. LIABILITIES. (Includes thou ofspous. and dependent children; supp. JJ-33 of filing inwuctlons.)
[{] NONE (No reportable liabilities.)
CREDITOR DESCRIPTION
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3.
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FINANCIAL DISCLOSURE REPORT Page4of10
Name of Person Reporrlng
Royal, Charles A.
Dato of Roport
05/18/2010
VII. INVESTMENTS and TRUSTS -income, value, transQctions (Includes those ofspouu and dependentchildrtn; SU pp. N-60offiling instructions.)
D NONE (No reportable income, assets. or transactions.)
A. B c D
Transactions during reporting periodDescription of Assets (including trust assets)
Income during
reponing period ---· - -- ----- ---+
Gross value at end
of reporting period (I) - - --r (2)--f-())" i -- - -- - - ___ _ ]
I.
2.
3.
4.
5.
6.
-,,
8.
9.
10.
II.
12.
13.
14.
15.
16.
Place "(X)" after each asset
exempl froin pnor disclosure
Northwestern Mutual Life
SunTmst Retirement Reserve Fund
MetaMorphix, Inc.
Polywad, Inc.
SunTrust Accounl #3
SunTrust Account 114
SunTrust Account #7
Sun Trust Account #9
Edward Jones Money Market Fund
Eslate #I
!Shares, Inc. - MSCI Brazil
American Balanced Fund
Carita! Income l:luiider Fund
Capital World Growth & Income Fund
Fundamental Investors fund
Growth Fund of America
Income Fund of America
I. lnt.:omc Gain C"od : A""Sl.OOOor lcss (See Columns BI lllld 04) F •550.001 - SI00,000
2. Value Code1 J · 15,DOOor le s (Sec ColumT\Ji CI and DJ) N •SlS0,001 -SS00,000
(I)! . f Amount 11 \Code Ij (A-II) i
A
B
A
A
A
A
D
A
A
A
A
A
A
P3 "'S .5.000,001 550,000,000
J. Value Mclhod Codt-s () ... ,.t.;ipraisal (Sec CotJmn C2J U •Book Vc1luc
(2) Type (e.g.,
div .. rent,
or int.)
Dividend
lnt./Div.
None
None
Interest
Interest
Interest
None
Dividend
None
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
8 =51.001 - S2.500
(I) Value
Code 2
(JP)
L
N
J
J
J
J
J
J
J
J
K
J
J
J
J
J
J
G =5100,001 -51,tlOO,OOO
K -=S 15,00 I - SS0,000
0 =5500,001 • Sl.000.000
R =Cos! (Real Esta1e Only) V ..Other
-,---6i Value
I Method
Type (e.g., Date i Value [ Gain Identity of
buy, sell, mm/ddlyy I Code 211Code I buycrtse!lcr
Code 3
- ': ·) redemption) l (J-P) (A-H) i (ifprivalc
-· _L__ nsac !
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
C' •SUD! - S5,000 D =5l.OOI - 515,000 E =515,001 • SS0,000
Hi -51,000,001 - SS,000.000 H2 ..More th:.sn S3,000,000
l-SS0,001 - SJOO,OO(l M =s100.001 - sno.ooo Pl =Si,000,001 - 55,000.000 Pl =15,000,00I • 125,000,000
P4 "'More than SSC,000,000 S =.A cssment T=-Ca."h M21rket W =E tnnatcd
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FINANCIAL DISCLOSURE REPORT
Page 5of10
N•me of Penon Reportin&
Royal, Charles A.
D•te or Report
05/1812010
VI I. INVESTl\'IENTS and TRUSTS - income, value, transactions (Include> thou of spowse ond drpendent childr<n; SU pp. 34-60 of filing instructions.)
NONE (No reportable income, assets. or transactions.) D
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
8.
29.
JO.
31.
32.
33.
A.
Description of Assets
(including trust assets)
Pidt"C' "(X)" after ea h asset
c.,cmpt from prior disclosure
Investment Company of America Fund
New Pcrspeclivo F nd
New World fund
Seaspan Corp
Alcoa, Inc
Alla• Energy Resources
Berkshire llathaway Inc
Dow Chemical Co
DuPont E I De Nemours Co
E11.clixis Inc
General Electric
Gencnil Electric
Geneml Electric
General Elcct1ic
!Shares Inc f',-fSCI Singapore
!Shares Inc MSC! Sweden
134. Mead West Na Co Corp
t. Income Ga.in Co<les: A .. S1.000 or less
{See C-olumr:s H 1 and U4) f =Sl0.001-1100,000
2. Va1ueCo(.}es J -SI S.000 or lc!OS
(Sec Columns Cl and 03) N •SllU.OUt • 1500,000
B. Income during
reporting period
Amount Type (e.g., Code I div., rent. (A-H) orinl)
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
None
A Dividend
B Dividend
None
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
B =S 1.Cl<ll - !Z,500
c. Gross value at end
of reporting period
(2) Value Value
Code 2 Method
fJ-P) Code 3
(Q-W)
J T
J T
J T
J T
K T
K T
M T
K T
K T
L T
J T
K T
K T
(I) Type (e.g ..
buy. sell,
n:dcrr:ption)
Sold
Buy
Buy
Sold
C =S2.)0f · SS.000
G =SI 00,00 I • S 1,000,000 HI =Sl.000,001 -15,000,fX>O
K =St 5,00 I - 150.000 L '"l'.'50.001 - SI00,000 0 •Sl00,001 ·SI ,O<J0,000 Pl •11.000,001. !5,G00,000
PJ •!25,000,00t - SI0,000.000 P4 =More than SS0,000.000
3. \';iluc Me1l.od CuJes 0 ""Apprais I R =('osl (Real Estalc Only) S "'Assessment I See Column C:!) U ""Book Vatue V .,,Other W•!:::.!ot1maled
D. Transactions during reporting pe'.riod
(2) Date Value Gain Identity of
·. mrnldd'yy ' Code 2 t Code I buyer/seller I (J-P) (A-H) (if private
transaction)
Ol.'28/09 L A
03.'04109 J
03.109;09 J
07/13109 K D
D "'55.001 - S 15,0 E =115.001·150.000
H:Z ..-More lh.o.n SS.000,000
M -s 100,001 · Sl50,000 P2 =11,000,001 · l H00.000
T ==Cash Mar\i:i:I
! !
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(I) (2)
r�r,· redempt10:_ -( ) -(IJ-- -r(i)-
D.
(4) '
FINANCIAL DISCLOSURE REPORT Page 6of10
Name of Person Reporting
Royal, Charles A.
D•lr of Rrport
05/18/2010
VII. INVESTMENTS and TR u STS - income, value, tramacfions (Includes those of spouse and deperrdenf children; see PP· 14-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.) .-------- -- _ ___ -s ---- - --A T T c.
Description of Assets lnc:omc during Gross value al end reporting period of report Transactions during reponing period
(includingtrus1 assets) i ng period
Value Value (I) (3)
I Gain
(2) (5) 1
Identity ofType (e.g., Type (cg,Place "(X)" after each asset exempt from prior disclosure
'AmountCode I
jbuy. sell. Code 2 Code I buyer/sellerCode 2 Methoddiv .. rent,
(A-H) or int.) (J-P) Code l (A-H) (Q-W)
(if private
_ _ tr ::ri
)- _ ____ j
35. Penn West Energy A Dividend Sold 06/30/09 J B I
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36. Renesola LTD None J T Buy 06/30/09 J
37_ Rcxahn Pharmaceuticals None J T Buy 06/30/09 J
38. San Juan Basin Royalty T rust A Dividend K T
39. TICC Capital Corp None Sold 04/27/09 J A
40_ TICC Capital Corp None Sold 07/07/09 J A
41. TICC Capital Corp None J T Sold (part)
J0/07/09 J A
42. Sadia SA ADR None J T Buy 03105109 J I I
' 43. Seagale Technologies None K T Buy 02/10/09 J
44. American Oriental Bioengineering Com None J T Buy 04/17109 J
45_ Annaly Capital Mgmt Inc B Dividend K T Buy 02/J I /09 J
46. Anworth Mtg Asset Corp A Dividend J T Buy 12/17/09 J
47. Babcock & Brown Air Ltd None J T Buy 12/17/09 J
48. Centurytel Inc B Dividend K T Buy 07/30/09 K
49_ Chesapeake Energy Corp A Dividend K T Buy 07/30/09 K '
I50- China Sunergy Co Ltd None J T Buy 06/30/09 J
51- France Telecom A Dividend Buy 07/30/09 K
I. Income Gain Codes· A =S 1.000 or less B •S 1.00 I - S2.l00 C •S2,501 -Sl,000 D=S5.00t -Sll,000 E •SIS,001 -Sl0.000
(See Columns B l and 04) F =Sl0,001 - SI00,000 G =SI00,001 -St.000.000 HI •Sl,000.001- Sl,000,000 H2 •More than U,000,000
2. Value Codes J "'SIS .000 or less K •StS,001 - 150,000 L •SS0.001 - SI00,000 M -!100,001 - Sl50,000
(See CuJumns Cl and DJ) N •S250,00I - !500,000 0 •S500,00I -St.000,000 Pt =SI ,000,001 - Sl.000.000 P2 •SS,000,00t - S2S,OOO,OOO
P3 •Sll.000.00t - SS0,000,000 P4 •More than SS0,000,000
l Value Method Codes 0 :::Appraisal R =Cost (Real Estale Only) S "'Assessmcnl T Cash Markel
(See Column C2) U "'Book Value V =Other W • Est1ma1ed
152.
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FINANCIAL DISCLOSURE REPORT
Page7of10
Namr of Per.on Reporting
Royal, Charles A.
Date uf Report
05/18i20l0
VII. INVESTMENTS and TRUSTS - income, ""'"'· tr•ns1wions rrnctudes those of w•u" and dep•nd•nr children: "'pp. 11-60 uf filing inrrructions.J
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets
(lnduding tru!)I assets)
Frmce Telecom
53. URJ" J!rasie Foods
54. I lalozyne ll1erapeulics Inc
55. Linn Energy LLC
56. MFA Fine Inc
57. Microsoft Corp
58. Micron Technology Inc
59. Non:hstar Realty Fin Corp
60. Palomar Medical Technologies Inc
61. Pfizer Inc
62. Power One Inc
63. Atlas Energy Inc
64. Atla. Amer lnr
65. Atlas Energy Resources
66. Seattle Genetics Inc
67. Silicon Image Inc
68. Suntrust Bank Inc
lncume G11in Code-s A =Sl,Ut.>Ourlcs (See Columns BI and D4 J F =S5D,OOI - SI00,000
2. Value Codes J •S 15.000 ur Its:; (See Columns CI 1&J1d OJ) N ·5150,001 · Sl00,000
A
· A
B
A
A
A
A
A
Pl •ll5,000,00i. $50,000.000 J. Value Method Codes 0 =Appraisal
(See Columr, C:Z) U""Book Vahle
Dividend
Dividend
None 1
Dividend K
Dividend J
Di vidend K
None J
None J
None J
Oividend K
None J
Dividend K
None J
None J
None J
None 1
Dividend K
B "11,001- S1,50D
G •SIOU.001 SI ,000,UOO
K rl I S,001 • 150.000
0 "1500,001-Sl,OOO.OOO
R =Cost (Re3J Estate Only) V=Othcr
Sold
Sold
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
T
T Buy
T
T Buy
T Buy
T Buy
C •Sl,lO I • Sl,000
HI •Si,000,001 · Sl.000,000
L •Sl0.001·1100,000 Pl ·I 1,000.001 • ll,000,000
P4 =-More than SS0,000,00U
S = Asscssmenl
W""Est1matcd
D
Transactions during reporting pcriod
.. <2)!-( ) (4) Date ' Value Gain
mmidd/yy I Code 2 : Code Ii (J-P) (A·H) I 10/19109 K B
10130109 J A
07130109 J
02/I0/09 K
12117109 J
01129109 K
12117109 J
12117109 J
12/17109 J
02104/09 J
12/17/09 J
10!20109 J
07130/09 J
12117/09 J
02127109 J
D rS5.00I • ! 15.0DO H2 =More than S5.IJOO,OOU
M •SIOU.001 · S2'0,000
Pl •ll.000.001 . 115,000,000
T =Ci,sh Markel
(5) ldenrity of
buyer.1seller
(if private transaction)
t · IS.OU!· !50.000
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Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT
Page 8of10 05118/2010Royal, Charles A.
Vil. INVESTMENTS and TRUSTS - income, •alue, transactions (Include! those of spouse and dependent children: SU pp. 34-60 of filing instructiom.)
NONE (No reportable income, assets, or transactions.) D1--- --------- - - - ·------· · · -- ----· ·------1 c. o_A. B.
TIncomeduring
... rt £':ri
i A ;unl Typ /c g .
Gross value al end Transactions during reporting period Description of Assets
(including trust assc1s)
Place ..(X)'" af1er each asset
of reporting pcnod
Value Method
d
(2) i (l) (4) i2 (I) (5)
1I Value Gain Code2 Code I
1Value Date Identity of Type (e.g .• Code l !buy, sell.Code 21 div., rent. mm/dd/yyexempt from prior disclosure buyer/seller{A-H _l !redemption) I__ or int) (J-P) Code Jj (J-P) (A-H) (ifprivate
(Q-W) _l__ _ -· - _j____ _____ j_____ ._ r- . c !
69. WSP Holdings Ltd None J T Buy 12117/09 J I
70. Williams Pipeline Partners A Dividend K T Buy 07130109 K
71. Yingli Green Energy Holding Co None K T Buy 02/27/09 J
I. Income Gain Codes: A rS 1,000 or less 8 =11.tJOI -SZ,500 C =12,501 -Sl,000 D =S5,00I - $15,000 E =SIS,001 -150,000 {See Columns BJ and 04) F =!50.00 I - SI D0.000 G=llOO,OOl -Sl,000,000 HZ =More chan S5,000,000HI =11,000,001. !l.000,000
1. Value Codes J "'S 15,000 or less K •115,001 -150,000 L •150,001 · SI00.000 M •SI 00,00 I • S250,000 (See Columns CJ and DJ) N •S250.00I -1500,000 0 •1500,00 I -S 1,000.000 Pl =11,000.001 -15.000,000 P2 =15.000,001 • S25.000,000
PJ ·125.000.001 • 150.000.000 P4 =More- than SS0.000,000 3. Ye.luc Meihod Codes Q •Appra1:.al R "'Cosl (Real E:.ta1e Only} S Assessmen1 T ""Ca!>h Market
(See Column C2) U =Book Value V:Other W =Es11ma1ed
Namr of Puson R porling Date of Rtport FINANCIAL DISCLOSURE REPORT
Page9 of IO Royal, Charles A. 0511812010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (fndiral<parto/Repor )
I. POSITIONS
I have no beneficial interest in the estate. There are no assets owned by the estate. There have been no acquisitions, dispositions or capital gains. This response includes now and al all times during the reporting period.
FINANCIAL DISCLOSURE REPORT
Page 10of10
Name of Penon Re-porting
Royal, Charles A.
Dale of Report
05/18/20 I 0
IX. CERTIFICATION.
I certify that all information given above (Including Information pertaining to my spouse and minor or dependent children, if any) ls accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because II 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. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Cornrninee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544