richard w roberts financial disclosure report for 2009

8/3/2019 Richard W Roberts Financial Disclosure Report for 2009

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I. Pcr~oe Rep orting (l~t r~tm, ftrt t , middle initial) 2. Cou~ or Org~t~fion 3.

~ Nomi~l~ Data 01/01~009

S~ ~ A~m~sfiont ~rt~g t~r~ R i~ I~ my oplnio& In ~mplltaceU.S. ~IST~CT COURT ~th tppl lc tMe laws and333 CONS~ION AV~UE,

WASH~GTON, D.C. 20~ I ~view~g O~*r D a t e

I M P O R T A N T N O T E S : The ~ueao~, aeco~pa~fing thk form must be followecL Complae Ml lmrt*,eheeldng the NO NE box for each tmn ~hem ~ou have ~o reportable lnformaao~ Sign on ia~t pagt.

I. POSIT ION S. t~,m,,~g ~.~o~a,,v~, ~-lJN O N E ( N o reportable positions.)

POSITION NAME OF ORG ANIZATION~NTITY1.2.3.

5.


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FINANC~L DISCLOSURE ~PORTROBERTS, RICHARD

~09/~]fl010age 2 of 8 w.

IH. N ON-~STMENT ~ C OME. (~,~,a.~ ~.~t ,~ ,~,~ ~,, ~ ~ z-~ ,~A. Filers Nan-Investment Income

~o reportable non-tnv~tment income.)O~

SO~CE ~ ~PE @am, notI.2.3.

4.

(~ llar amovnt na t r tqu~ txcep t for ho~rar la .)~ NO~ ~o reportable non-i~tment income.)

$O~CE A~ ~EI.2.

4.

I V . R E I M B U R S E M E N T S - t,,,~n,~o,~ to~,~,~,[~,,,~,,~,~,,,~( Includ~ I b m * m z ~ u M ~d~ cAl ld~; ~~ pp. 2J-27 of filing i~tructio~.)~ NONE ~o reportable reimbur~em~ts.)

~ ~ LOCATION ~ ITEMS PA~ OR PROVIDEDI . HARVA~ LAW SCHOOL JAN. 12 - 1 6 CAMBRIDGE , MA G U E S T F A CU L ~ ~N S P O R TA ~O N , S O M E M E A ~,O ~ E ~ M E A ~ A N D L O D G I N GPROVIDED.2. VASSAR COLLEGE O ~. 1 6 - 1 7 POUGH ~EPSIE, NY A W A ~ E E T~NSPORTATION, M E~, ANDLODGING PROVIDe .3. NEW YORK I~FELLECT MAR. 27-28 NEW YORK., NY F~. JUDIC. D~ER T~NSPORTATION. MEA~, ANDUAL PROPERTY LAWYERS LO~ING PROVIDED .ASSN.a. D.C. BAR ~. 9, SE~. 1 6 WASHINGTON DC CLE LE C~RE R PA R K ~G5 . ~W Y E R S W I TH O ~ BO ]UL. 20 - A~. 2 NAIROBI , ~NYA A D V O C A C Y ~A I N ~G SOME MEA~ AND T~NSPORTA~RDE~ ON. O~ER M~ AND LODGINGPROVIDED.


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-Page 3 of 8 Ro~ra~s, mcn~a~ w. ~o~0

N O N E ~ o reporlable g~s.)

3.4.

C~DITOR DES~ON1 .2,3.4.5.


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F I NA NC I A L D I S C LO S U R E R EP O R TPage 4 of 8 R O B E R ~

VII. ~ST~S and ~USTS - ~,.~ NONE ~o repor~ble income, ~, or" ~ B.

1C.

~

D.

I ~ JUS~C~ F~E~ C~DW ~lON D Int~t M TAC~

2, CITIBANK ACCO~S C [n~r~t N T3 . DELHAZE AMERICA COMMON STOCK A D i v i d e n d J T

4 . SMALL CLAIMS R]DGMENT AGAINST N o n e J TJOHN BOWEN! 5 . S U N T R U S T 1 3A N K ( i R A ) (2CDS) A lntrrrst C l o s e d VAR. K A

6 . ~4olcK) (FIDELITY) A lnt,/Div. M T

7, FEDERATED CAPITAL RESERVES A Dividend J T8. VCSP COLLEGE AMERICA9. NUVEEN MULTI-STRATEGY + INC. A D i v i d e n d J T

tO . ;, ~ EMPLOYEE STocK OFTIONS N o n e N T G RA N T 2 / 2 5 N] EMBARQ STOCK & REST B Div~Icnd M T GRANT VAR. L~hic-r~D STOCK

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

13~ WACHOV|A ACCOUNT~ #3 1 3 I n ~ r ~ s t L T

14. C A P I T A L W O R L D G R + | N C F N D A D i v i d e n d J T

15. W A S I I I N O T O N M U T . I N V R . F N D A Dividend J T

16. E U R O P A C I F I C G R . F N D A D i v i d e n d J T1 7 1 EUROPACIFICGROWTH FUND(RJ IRA A D i v i d e n d K T)


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F IN A N C I A L D I S C L O S U R EREPORT. = o r , . . . . IPage 5 of 8 R O B E R T S , m C U A R D W .~I. ~S~ENTS and TRUSTS - ~. ...... ~, ~ .... ~ , a ~ . ~ . ~ - , ~ . . o /, ~ o ~ . .. ~ z , ~ . ~ . ~~ HO~ ~o repor~ble income, assets, or transaction.)

18 . FIDELI~ ADVISORNEWINSIGHTS A Divided K T~ ~)19 . F~FL~ST~TEGICINCOME (~ C Di~nd L T Bu y VA~I R A )

2 0 . SHA~ BA~CLAYS TIP (~ 1~) B Div[~nd K T~. S~ BARCLAYS I-3 YEART~AS A Dividend K TURY (~ ~)

2 2 . S H A ~S M S C [ E A ~ ( K ] I R A ) A Di~dend K T2 3 . JP MORGAN VALUE ADVANTAGE (RJ B Dividend L TI~)2 4 . V A N G U A R D T O T A L S T O C K M A ~ T A I n t . / D i v . M T( ~ J2 5 . MORGAN STAN LEY CD (RJ IRA) A Interest R e d , c r e e d 1 2 / 1 0 L A2 6 . M E R R I L L L Y N C H C D (R./) A I n t e r n s ! R c d ~ m e d I / 9 L A27.: .........., ~ T O C K , 0 ~ J ) N o n e K T

2 8 . C A S H A C C O U N T ( R J I R A ) A L n t ~ c s t K T

2 9 . CASH ACCOUN T ( ILl ) A In t , res t L T B uy 1 / 2 9 L3 0 . US TREASURY STRIP (RJ IRA) A Dividend K T3 1 . FIDELITY MUNICIPAL INCOME FD A Dividend J T Bu y VAIL L3 2 . EMB ARQ STOCK (ILl) A Dividend Tnmffetred ; /10 J EMBARQ BECAME(t o line 3 3 ) C[~qTURY TEL3 3 . CENTURY TELSTOCK A D i v i d e n d K T Me~M 7 1 1 0 K FROM EMBARQ ST((with line 3 2 ) CK3 4 . ALLY BANK CDS A Interest L T Bu y VAR. L


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FINANCIAL DISCLOSURE RE PORT S . m , o t P .... R e p o r t i n gPage 6 of 8 a O a E R T S , m c ~ A a a w . o ~ , ~ o ~ 0VH. I~ESTMENTS and T R U S T S - ~~.~ ~.., ~.~. a.~.~ ,~o~ o/,~, ~

N O ~ ~o r~ortable income, ~sets, or ~ansactio~.)A. i B. C. ~ D.~ o[~ ~ l~omc ~8 G~u v~ a t ~nd o ~ T~tio~ ~ns ~lng ~d

35 . D I S CO V E ~ B A N K CD A ]n~st K T Bu y36 . ~1~ GRO~ ~DOF AMERICA-~2 A Divi~nd J T

37 , N~W P~SP~VE -529A, A Dividend J T

3 8 . WASH. M ~UALINV.-529A : A Divi~nd J T ~Id V~. J A3 9 . ~E BOND F~DOF AME~CA~29A, B D i v i d M K T

4 0 . U.S. ~RN~ S~CURIT~S.S29A A D i v i d e n d K T S o l d VAR. ~ A

4 1 . A M E R I CA N F ~ D M O N E Y M A ~ K ~ None J T ~[d VAR. J B4 2 . CASH M AHAG~ ~USTOF AM ERICA - ~one Sold ~6 J A4 3 , ~ E G R O W T H F ~ D O F A M E R I CA - ~ 2 A Dividend J T~. NEW PE~P~VE-529~ A Dividend K T......................4 5 . WASHINGTON MURAL INVESTO~ A Divide~ K T4 6 . THE BOND F~D OF AM E RICA -529~ B Dividend K T4 7 . U.S. ~V~ITIES-529A, A Dividend K T . . . . . . . . . . . . . . . . . . .4 8 .


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F I N A N C I A L Name of Person Reporting [ Da te ~f ReportD I S C L O S U R E REPORT[ ROBERTS, RICHARD W .age 7 of 8

V I II . AD D I T I ON AL I N FORMAT I ON OR E X PL AN AT ION S .V I I . 5 . S U N T R U S T B A N K . (I R A ) ( 2C D S ) W E R E C L O S E D O N J A N U A R Y 10, 2009 - $ 9 , 3 3 3. 1 6 A N D A P R I L 2 2 , 20 0 9 . $ 6 2 8 1VII. 8. VCSP COLLEGE AM ERICA SHARES, PREVIOUSLY LISTED AS A SINGLE ACCOUNT, ARE REPORTED AS SEPARATED ACCOUNTS FROMLINES 36-47 TO DISCLOSE THE FUNDS TRANSACTIONS.Vll, 10. THIS INVESTMENT REFLECTS STOCK OPTIONS THAT WERE GRANTED ON FEBRUARY 25, 2009 AND THE TOTAL ESTIMATED VALUEO 1 ~ A L L S T O C K O P T I O N S O W N E D A S O F D E C E M B E R 3 1 , 2 0 0 9 .V| 1.1 I. THIS INVESTMENT REFLECTS STOCK THAT WAS GRANTED ON FEBRUARY 7, FEBRUARY 18, AND M.A~CH 3 I, 2009 AND THE TOTALESTIMATED VALUE OF ALL STOCK ( NOT OTHERWISE REPORTED HEREIN) OWNED AS OF DECEMEBR 31,2009.VI I. 19. THIS INVESTMENT REFLECTS STOCKS (FRSTX) THAT WERE ACQUIRED ON VARIOUS DATES. QUANTITIES AND AMOUNTS ASFOLLOWS: 1/6,2009 37.927L $317.45, 2/3/2 009 28.553L $24 2:7,2t4/2009 175.644 $1.50000, 2/5/2009 0.785L $6.67, 3/312 009 30.326L $250,49, 3/4/2 009180.072L $1.500.00, 3/5/2009 0.828L $6.84, 4/2/2009 30.667L $258.52, 416/2009 177.936L $1,500.00, 5/4/2009 30.278L $266.4.5, 5/6/2009 170.455L $1,500.00,6/2/2009 30AISL $274.07, 6/4/2009 166.482L $1,500.00, 7/2/2009 30.839L $2 81.56, 7/7/2009 164.294L $I,500.00, 8/4/2009 30.514L $ 288 .97,9"212009 30.54L$290.13L, 10/I/2009 8.465L $82.79, 11/2/~.009 37.433L $367.59, 12/I/2009 36.874L 363.21, AND 1 2/31 /2009 35.113L $34 8.67.VII . 27 . EMBARQ STOCK, PREVIOUSLY LISTED ALONG WITH STOCK, IS TREATED SEPARATELY ON LINE 32.VII. 3 I.THIS INVESTMENT REFLECTS STOCKS (FMPIX) THAT WERE ACQUIRED ON VARIOUS DATES, QUANTITIES, AND AMOUNTS ASFOLLOWS: 10/13/2009 391.2.3fiL $5,000, 11/2/2 009 0.81L $ 10.12, 1 1/19/2009 401.2ML $ 5,000, 12/1/20~9 1.82 6L $22.82 , AND 1 2/18 /2009 398.406L $5,000.VII. 34. ON MARCH 22, 2009 AND MAY 5, 2009 ALLY BANKS CDS WERE PURCHASED.VIi. 38.40. FUND-529A. SHARES WERE SOLD (PART) FROM JUNE TO DECEMBER, 2009 TO PAY QUALIFIED COLLEGE TUITION COST.VII. 41. FLfND-529A, SHARES WERE SOLD (PART) FROM JULY TO DECEMBEP,, 2009 TO PAY QUALIFIED COLLEGE TUITION COST.VII. 42. FUND-.J29A, SHARES WERE SOLD ON JUNE 26, 2009 TO PAY QUALIFIED COLLEGE TUITION COST.


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P a ge F I N A N C I A L 8 o f 8 D I S C L O S U R E R E P O R T I R O B E R T S , R IC H A R D W . 0 9 1 : 7 1 2 0 1 0IX. CERTIFICATION.accu~te, t~ and ~mpl~tc to the b~t of my ~ge ~d ~ilef, and that any ~fomatlon not repo~protons p~l~n~

! foyer ~ that ca~ ~ome from ou~de cmplo~cnt ~d honoraria and the acce~ce of~f~ which have been ~po~compliance with the p ro~sJo~ of ~ ~.~C. app. ~ 501 eL s~. ~ ~.~. g 7~53, and Ju~~ Conference r~ulaflons.

Signature

NOTE: ANY INDIVIDUAL WHO K NOWINGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY B E SUBJECT TO CIVILAND CR IMINAL SANCTIONS (5 U.S.C. app. I04)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Comm ittee on Financial DisclosureAdministrative O ffice of the United S tares CourtsSuite 2-301One Columbu s Circle , N.E.Washington, D.C. 20544

richard w roberts financial disclosure report for 2009

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