john d bates financial disclosure report for 2010

8/3/2019 John D Bates Financial Disclosure Report for 2010

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IA~ I O ( W P )

R ~ v . 1 / 2 0 0 { {

FINANCIAL DISCLOSURE REPORT

F O R C A L E N D A R Y E A R 2 0 1 0

Report Required by the Ethics

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

1. Person Reporting (Last name, first , middle initial)

Bates , John D.

Title (Article 111judges indicate active or senior status;magistrate judges indicate full- or p art-t ime)

District Judge - Article III (active)

7. Chambers o r Off ice Address

333 Const i tut ion Ave. , NW

Washington, DC 20001

2. Cour t o r Organ izat ion 3. Date of Report

U.S. D istrict Court for the D istrict of Columbia March 11,2011

5a . Repor t Type (check appropr i a t e type) 6. Re p o r t i n g Pe r i o d

__ No m in a t io n , D a te

1/1/2010 to 1 2/31/2010~ Initial X Annual ~ Final

5b. __Amended Report

8. On the basis o f the info rmat ion con ta ined in th is R epor t and any modif icat ionsperta in ing the re to , i t i s , in my o pinion, in comp l iance wi th appl icable l aws andregulat ions .

Reviewing Officer Date

IMPORTANT NOTES: The ins truct ions accomp anying this form ’m ust . befollO~v~d: Complete ai l par ts ,

checking the NONE box]’or each pare where you ha ~e no repor taD!~ information. . , Signonlas t page

I . P O S I T I O N S . (l~ei~orting individual only; see pp. 9-13 of lttstruclions.)

~NONE (No reportable positions.) -

POSITION NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only: see pp. 14-16 of Instructions.)

~NONE (No reportable agreements.)

DATE PARTIES AND TERMS

I l L N O N - I N V E S T M E N T I N C O M E . mepor t ing i ,,m~id , o l ond spo~e: ~e pp . ~ Z -:¢ of ~ns~t~o~. )

A . Flier’s Non-lnvestment Income

~ _ ~ N ON E repo rtable income.)N o non- inves tment

DATE SOURCE AND TYPE INCOIVlE

$

$

$

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 - lfyou were married during any portion of the reporting year, please complete this section (dollar

amount no t required excep t fo r honorar ia) .

~NONE (No reportable non-investment income.)

I. 2010



#

F IN A N C I A L D I SC L O S UR E R E P O R T ~- -~ e ~ r P e - - ~ s o . R e - - -~ n i ~ g J o h n D . B a t e s

Date of Report

M a r c h 1 1 , 2 0 1 !

IV. R E I M B U R S E M E N T S - - t ra n s p o rt a t i o n , lodging, food, entertainment.

(Includes those to spouse and dependent children. See pp. 2 5-27 of Instructions.)

NONE (No such reportablereimbursements.)

SOURCE DATES LOCATION

T h e C e n t e r f o r t h e 6 / 1 5 / 2 0 1 1 - Montpelier1. Constitution 6 / 1 6 / 2 0 1 1 Station, VA

PURPOSE

Non-FJC Educational Semir~,f

ITEMS PROVIDED OR PAID

Meals, lodging, and vehicle expense (mileage)

~’ N O N E

s u c h gifts.)

SOURCE

I.

2.

3.

4.

DESCRItr[ION VALUE

$

$

$

$

V I . L I A B I L I T I E S . a , ,a ~ e s , h o se o [ s p o ~ ana aependent cl~ildren See pp. 32-33 oflnztr~ctions.)

N O N E ( N o reportable liabilities.)

CREDITOR DgSCRIPTION VALUE CODE



F IN A N C I A L D I SC L O S UR E R E P O R TName of Person Report ing

J oh n D . B a l e s

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

M a r c h I I , 2 01 1

VII. Page 1 INVE STME NTS and TR USTS - incom e, value, transact ionsand dependenl children. See pp. 34-6 0of Instructions.)

s p o u s e

IONE 0’qO rcponablein .come,asse t s , or transactions.)

W a c h o v ia / Wells Fargo Account

9 -- Bank of Amer - Common

10 - B a x t e r h t q - C o m m o n

| - BT Group PLC

12 - - C I S C O S y s . C o m m o n

13 - Chevron Corp. Common

14 - C I N N Financ ial C o r p . C o m m o n

15 - Illinois Tool Works Common

i 1 6 - Dow Chem Common

- D r e y fu s M o n e y M a r ke t

N o n e

None

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

J

J

T

T

T

T

sell

b u y

buy/sell

K

V a l 0 e M e th _ ~ 1(S~ Col . C2) .



F IN A N C I A L D I SC L O S UR E R E P O R Tame of Person Repining

J oh n D . B a t e s

Date of Report

March 1 I , 2011

VII. Page 2 INVE STME N TS and TR USTS - - income, value, t ransact ions (Includes those of

spouse and dependent chi ldren. See pp. 34-6 0 of lns t ruct ions . )

~ lg -- Enterprise Prod - Common

19 -- FISERV Inc.

[20 -HPCommon

21 -- Home Depot Common

:22 - HCC Ins. HJdgs - Common

!2 3 --’lnt’l Game Tech.- Common

24 -.IP Morgan Chase & Co. Common

2 .$ -- Johnson & Johnson- Common

26 - L3 Cornmu - Common

27 - - M a r r io t t I n t’ l - C o m m o n

28 - McDonald’s - Common

29- M etLife-Common

!3 0 -- Morgan Stanley- Common

31-- Vodaphone Group Common

!32 - Omnicon - Common

33 - Pfizer- Common

34 - Pepsico - Common

A

A

A

A

A

T

Di~dend K

Di~dend K

Di~dend!

J

Di~dend : J

Di~dend ! K

Difidend

I

K

Di~dendi j

Di6dend K

Di~dend ! K

Di~dend J

Dividend J

N o n e K

Di~dend J

A Di~dend

t ADi~dend

T

T

T

T

T

T

T

T

T

T

T

T

"I

buy

buy 8 /2 K

I i



F IN A N C I A L D I SC L O S UR E R E P O R T

VII. Page 3

Name of Person Reporting

John D. Bates

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

March l I, 2011

INVESTMEN TS and TR USTS -- income, value, transactions (Includes those o fspouse and dependent ch i ldren . See pp . 34 -60 o f lns t ruc t ions .)

(No reportable income,assets , or transactions)

[3~ -- Principal Fin’l - Common

i36 - Procter & Gamble - Common

!37 -- Semprn Fmergy - Common

i38 -- S taples-Common

39 -- TJX Co. - Common A

40 - F r o n t ie r C o m m a . C o m m o n

41 - United Health - Common

i42- V e r i z . o n C o m m o n

Dividend

Dividend

Dividend

Di~dend

T

sell

spinoff

- Am. Elec. Pwr. - Preferred

- P~dential Finl - Preferred

- XCEL E nergy - Preferred , B

!4 3 MorganS~nleySmithB~rney - Jo[nl

44 - AXA Equitable Life A~muity

- Dominion Res. - Preferred

45 - AES Co~p. Common

A Dividend

B Dividend

I n t e r e s t

B I n t e r e s t

B I n t e r e s t

-In te res t

None T

sell

buy

buy

buy

buy

7 / 2 1 J

K

K

. ~ i=: .



F IN A N C I A L D ISC L O SU R E R E P O R TH a . m e o f P e r s o n R e p o r t in g

John D. Bates

D a t e o f Report

Ma rch 1 ! , 201

VII. Page 4 INVESTMENTS and TRUSTS -- income, vahle, transactionsspouse and dependent ch i ldren . See pp . 34 -60 o f Ins t ruc t ions . )

(Includes those of

NONE (No reportable income,assets , o~ transactions)

None [ J

B Dividend K48

55

- Amer. Tower Corp. - Class A

-- Barclays Bank Pref.

- Citibank Money Fund

- Davita Inc.

- Electronics for Imaging

--Energy Transfer Pins LP

i7

i 5 6 - - F i s e r ~ I n c . C o m m o n

-- Duke Energy Corp.

- Halliburton Co. Hldgs.!

A

- Howard Cry. MD Bond i B

- Intuit Inc.

- MD Dept HSG& Comm. Dev Bond ! A

- NY Comm. Bancorp. : A

I n t e r e s t K

None

None J

Dividend J

None K

Dividend J

Dividend J

I n t e r e s t ~ L

D i v i d e n d i J

T

T

T

T

b u y l s e l l

sell

Continued on a t tached pages - - Sect ion VII , pages 5 - 7

1( S e ~ C o l .

2 Value C.od~s: ¯ ¯(See C01 .CI~ D 3)

3 Value.Methdd(See Co l . C2 )



FINANCIAL DISCLOSURE REPORT IName ofPeTson Reporl ing John D. Bates

March 11,2011

VII. Page 5__ INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

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

~N ON E (No reportable i n c o m e ,

assets , or t ransactions)

!64. -- PG Cry. MD B ond

165. --Powersh ares Ex-Traded Fund

D ~ _ a _ _ r n i ~ c _ B i ot e c ~ h _ & G e n _ _ ~ o m e

66. -- Schwab Chs. Corp.

67. -- Time W arner

68. -- Unum G roup

69. - - Uni ted Heal th Common

70. - - Univ. Sys tem MD Bond

71. -- Western Union Commo n

72. -- Wash. Sub. San . Dt . MD Bond

73. -- Bristol Myers Squibb

74. - - V odaphone Group PL C

!75. -- Europacific Growth Fu nd

B

A

A

A

B

A

MorganStanleySmfih B~irheF~ ~ kJ

76. -- AT& T Inc. Common

77. -- Cameron Int’l Common

L I T

T

Dividend J

Dividend -K~ T

Dividend J ~ T

Dividendi K T

Interest K T

!Dividend J , T

L TIn teres t

Dividend

’Nolle

None

Dividend T

N o n e T

sold

bu y

sell

10/21

.1/25

10/21

J B

B



FINANCIAL DISCLOSURE REPORT Iam¢ of Pcrson Report ing John D. Bates D a l e o f R e p o r ~

March 1 I, 2011

VII. Page.6 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those ofspouse and dependent children. See pp. 34-60 of Instructions.)

N O N E (No reportable income,assets , or t ransactions)

78. -- Centerpoint Energy Common

79. -- Colgate P almolive Common

f0. -- Conagra Fooods Common

81. -- Dreyfus Money M arket

82. -- Forest Oil Corp. Common

83 .

84. -- HCC Ins. Hldgs. Common

!85. -- Hain Celestrial Gro up Common

86. -- IShares TR-D J Tranps. Index Fund

87. IShares TR Global Ind Index Fund

88,-- IShares Dow Jon es US Health Care

~__D

ivi~ten~_

Dividend

Dividend

Dividend

] None

!Dividend

oneI

Dividend

Dividend

Divid e ndProviders Index Fund

89. -- IBM Common

90. -- JC Permey Common

91. -- Medtronic Common

92. - Pact iv Corp. Com mon

~)3.-= Powershares Dynamic,qemiconductors

;)4.-- Powershares Dynamic Media

?ortfolio

A Dividend

- A,Dividend

A IDividend

None

buy/sell

sell

merger

’1/21

A [Dividendl J

~ADividend[ J T _

11/17 J B

3:(S~CoI..C2) ....



FINANCIAL DISCLOSURE REPORT Vqa~e of Person Repoaing John D. Bates Date of Rel~rt " --~

March 11,2011 J

V I I . Page 7 INVESTMENTS and TRUSTS -- income, value, transactions (tncludes those ofspouse and dependent ch i ldren . See pp . 34 -60 o f lns t ruc t ions . )

NONE (No reportable income,assets, or transactions)

A

A

A

A

A

A

B

A

A

A

A

A

95.--Select Spector SPDR Energy ~ |--

96.--S& P No Am Tech Software Index

Fund

97.--SPDR Index SHS FD S DJ W ilshire[nt’l Real Estate

98.--SPDR TR S& P Reta i l ETF

?9.--SPDR SE R TR K BW CAP MKTS

ETF

1 00 .-SP DR SER TR KB W BK ETF

1 01 .- -SP DR SER TR KB W IN S ETF

102.--United Tech Common

Dividend

None

D i v - - i d e n d [

J

J

J

Dividend

’~Dividend

Dividend

Dividend

Dividend’.

Dividend

Divid.end

Dividend’

Dividend

Dividend

None

J

J

J

K

J

J

J

J

J

K

103.--Vanguard Consumer Staples ETF

104.--Vanguard Health Care ETF

I105.--V anguard Info Tech ETF

106.--Vanguard In t° i Equi ty (Europe an)2T F

107.-Wisconsin Energy Holding2 ommon

T

T

T

sell

T

T

T

T

T

T

T

T

T

T bu y08.--TIAA CREF R et. Acct. - C

J B

var. J



F IN A N C I A L D I SC L O S UR E R E P O R T iame of Person Repor ting John D. Bates D a t e o f R e p o r t

March I l, 2011

V I II . A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I ON S ( In d ic at e p a rt of Report.)

IX. CERTIFICATION.

I cer t ify tha t a l l informat ion g iven abov e ( inc luding informat ion per ta in ing to my spouse and minor o r dependent chi ldren , i f anaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicab

statutory provisions permitting non-disclosure.

1 further certify that earned income from outside employmen t and hono raria and the acceptance of girls which have been reported are i

compliance with the pro visions of 5 U.S.C. app. § 501 et . seq., 5 U.S.C. § 7353 and Judicial Conference regu lat ions.

ignature

N O T E : AN 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 DSUBJECT TO CIV IL AND CRIM INAL SANCTIONS (5 U.S.C. app . § 104. )

R EP O R T M A Y BE

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john d bates financial disclosure report for 2010

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