robert b harwell financial disclosure report for 2009

8/3/2019 Robert B Harwell Financial Disclosure Report for 2009

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~ o to FINANCIAL DISCLO~U RE REPORT R e p o t /R e q u i r e d b y t h e E t h i c sin Government ,4ct of 1978Rev. 1/2010 FOR CALENDAR YEAR 2009 0 u.s c. app. ff,~" IOl. III)

I. Person Reporting {last name, first, middle initial) 1. Courl o r O rgan izstlaa 3. Date of R eporlHa~ell, Roberl B. U,S. District Court of S.C. 4/30/2010

4. Title (A~icl~ Ill judges indica~ active or sem or sla~s; 5~. Report Type (check appropriate ~) 6. Reporting Periodmagist~le judges indicate full- or pan-tim~) ~ Nomination. D a ~ e 01/0112009A~icle III Judge, Active ~ lnitiat ~ Annual ~ Final to12131/2009

S~ ~ Amended Report7. Chambers or OFfice Address 8. On Ihe basis of the information contained In this Repofl and anym~ff ic~t ions perlaining eherelo, i t i s . In my opinion, in campllance401 West Evans Street ~Rh ~pplicable I~ws and regulations.McMiiIan Federal BldgFlorence, SC 29501 : Reviewing Officer D~te

LilPORTANT N OTES: T he it~*tructions accompanying this form must be followed. Co mplete ull parts,checking the NONE bo x for each part where you have no reportable information. Sign on la~t page.

1. POSITIONS . R,po,,,~I---] N O N E (No reportable positions.)

POSITION NAME OF OR GANIZATION/ENTITYI. OfficcffDireclor -] Farms and Investment, lnc.

2. Trustee Trust #1

3. Custodian Custodial Account #1

4. Custodian Custodian Account #2

I I. A G R E E M E N T S . (geponlng lnalriduatont~; sr,pp. 14-l# offding instructions.)~ NONE (No reportable agreements.) : ~ , . " ~ ~ " ~ ~

~ PARTIES AND ~RMS

2.


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F I N A ~ /C I A L D I S C L O S U R E R E P O R T N a m e o f P e r s ~ a R ~ p o r t l n g D a t e o f R ~ : p o r lPage 2 of 1 0 llarwll, R o h e r l B . 4 / 3 0 / 2 0 1 0

1 1 1 . N O N - I N V E S T M E N T I N C O M E . (R~po~ing~dividuatan~sp .... ;se, pp. 17-24~ffillnginstructlons.)A. Filers Non-Investment Income

N O N E (No reportable non-investment income.)~ SO~CE AND ~PE INCO~(yours, not spouses)

I,

2.3.4.

~. Spo~e~s NoB-l~vstm e~t I~o ~ - if ~au were married cluing any po aion a[th rpoaing yea~, complet~ this sectio~

~ NONE (No r~porlable non-inveslmen income.)~ SO~CE AND

2.

3.

1 V . R E I M B U R S E M E N T S - , , a .~ p o , t. ti o -. toagi.g,[ooa, ,.t,.,~i .... t.t T 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 l children; see p p 2 J - 2 7 Offiling injtrulion$,)

~] NONE (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. SC Flat Association I123 Io I124/2009 Myrtle Beach, SC SC Bar Meeting Lodging

2. SC Assoc. for Justice 8/6 to 8/9/2009 Hihon llead, SC Annual Convention Lodging and seminar registration

3.4.5.


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E I N A I ~ C I A L D IS C L O S U R E R E P O R T ,~ .... ~ r ~ r , o . a . p o r , i . gP age 3 of 10 u , , -. n , R o b e r t B . 4 1 3 0 / 2 0 1 0

~ N O N E (No reportable g~s.)~ D E S C R I P T I O N

1 .2.

3.4.

5.

V I . L I A B 1 L I T I E S . (Includes those of sp ...... d detrendent ehildretl; see p p , 3 2 - 3 3 of fillng instr~tetlons.)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A I .U E C O D EI.

2.

3 .4.

5.


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EINA~qCIAL D ISCLOSURE REPORT n ....f P . . .. . g ~ p o . ~ gPage 4 of 1 0 n a r , ~ l ~ , ~ o b e r ~ , . V 3 0 / ~ 0 m

VII. I N V E S T M E N T S a n d T R U S T S - ~ . . .. .. .. t. ., ~ .. .. .. . io., (t.t.a,**~ os e o fs~ ..... a a.p..a.., children; see p p .N O N E (No reportable income, assets, or transactions..)

D e s c r i p ti o n o f A s s e ~ ~ I n c o m e d u ri n g G r o s s v a l u e a l e n d T ~ n s a c t i o n s d u r i n g r e p o s i n g p c 6 o d{ i n c l u d i n g t r u s t a s s e t ~ ) i r e p o s i n g p e r i a d of t~rting pefi~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 I, T~e (g., V alue Value T~ (e.g., . Date ~ Valuee x e m p t f r o m ~dor diselogure C~e 1 ~ d i v . , ~ n L C o d e ~ Meth~ buy, sdl, m~d~r~ ~ C~e ~ C o d e 1 buyer!stile,{A-H) { o r i n t ) ( J - P } C o d e 3 r ~ e m p t i o n ) I = { J - P ) ( A - H ) ( i f p t l v a ~ e( Q - W ) j I r a n s a c t i 0 n )

I. Charles Schwab (sweep accls) C Inlerest M T

2. W achovia Bank Common Stock A Dividend J T

, . W ells Fargo & Co. Common Stock A Dividend l T4. Autoliv Inc. Common Stock A Dividend J T

5. R.hom & Haas Inc. Common Stock A Dividend J T

6. The Soulh Financial Group Common Stock A Dividend J T7. W achovia Bank (various aects) C Inlerest Closed 02/09/09 M B

~ First Reliance Bank (CD) B Interest M T

9. First Federal (CD) X C Interest M T10 . South Carolina Bank & Trust (CD) C lnlcrest M T

1 1. Citizens Bank (CD) A Interest M 1

1 2 . Anderson Brothers Bank (CD) A I n t e r e s t

1 3 . Carolina Bank (CD) C I n t e r e s t M T

1 4 . National Bank of South Carolina(CD) A I n t e r e s t L T

1 5 . kl[:I&T B ank (various accts) D Interest M T

1 6 . } Farms & Investment 12 1 / 2 % B D i v i d e n d K U12/.1 I104 compiled $31M17. PCDG, LLC (10%} 1998 & 2000 $32,00(I None K R


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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 tFIN~,i~CIAL DISCLOSURE REPORT 1 itar~ell, Robert B.age 5 of 10

~ N ONE (N~ reportable income, assets, or transactions.)D e s c r i p t io n o r A s ~ t S / I n c o m e d u ri n g G r o s ~ v a l u e a t e n d T ~ a n ~ c t io n ~ d u r i n g r c p o ~ i n g( i n c l u d i n g t r u s t asse~s) / re~ing period o f ~ c p o n i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t ( A ~ o u n l I T~ leg,, V n [ u c V a l u e T y p e ( e . g , Date ~ Va~uc Gain((A-If)) o r i n t . ) (J-P) C o d e 3 r c d c m p t i ~ ,) ~ ~ (J-P) ( A - I ( ) ( i f p r i v a t e

18 . Charles Schwab I~k #1 B Dividend M T19 . -Charles Schwab C~h Fund

2 0 . -Dimensional Fund Advisors lntl Small CoPort2 1 . -Dimensional Fund Advisors lntl Value IIIP o r t

-Dimensiona! Fund Advisors Large Cap IntlP o r t2 3 . -Dimensional Fund Advisors L arge CapValue 111 Porl24 -Dimensional Fund Advisors US Large Colnstl Index Port

2 5 . -Dimensional Fund Advisors US Small CapP o r t2 6 . -Dimensional Fund Advisors US Small Cap

Value2 7 . Charles Schwab IRAIt2 B Dividend2 8 . -Charles Schwab Cash Fund2 9 . -Dimensional Fund Advisors Intl Small CoPort3 0 . -Dimensional Fund Advisors Intl Value IIIPort

-Dimensional Fund Advisors Large Cap IntlPort3 2 . -Dimensional Fund Advisors L arge CapValue I113 3 . -Dimensional Fund Advisors US Lg Co. lnslIndex Potl3 , 1 . -Dimensional Fund Advisors US Small CapPort


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N a m e o f P e r s o n R e p t ) r t in g I D a t eE I N A ~ q C I A L p a g e 6 o f 1 0 D I S C L O S U R E R E P O R T Iiarvl, e I. R o b e r l B . ] 4t30/2010~f Repor

VII. INVESTMENTS and TRUSTS - ~ ....... r~,., ..... a n , , (Includes those of s~ ..... d dependent ch~dr.n; see pp. 34-60 of filing i ...... i o n s )~ NONE (~ reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e ~ [ I n c o m e d u r i n g Gross value at end T n n s ~ c ~ o n s d u r i n g r e p o s i n g p e r i o d(including ~st assets) [ reposing ~riod of reposing pefi~ ,.D a t e V ~lu~ Gainl a c e " ( X ) " a l t e r e a c h a s s e t Amounl / T)?e leg.. Value V ~ i u c T ) T c ( e . g , Iexcmptfrompri.rdi~closure [Codcl / div ~n t C~e2 Mc~od b u y , s e l l . ;mmld~)W Code2 Codc l I b u y e r J s c l l e r

~ i ( A - t t ) [ o r i n t , } ~( J - P )

Code(Q_W)3r e d e m p t i o n ) ~ (J-?) ( A - H ) t r a ~ a c l i o n )

3 5 . -Dimensional Fund Adviso~ US Small Cap IValue I3 6 . Charles Schwab IRAg3 A Dividend K T3 7 , -Charles Schwab cash fund3 8 . -Dimensional Fund Advisors US Small CapP o r t3 9 . Trust//I C Dividend M T4 0 . -Cash Fund-Charles Schwab4 1 . -BB&TCorp Common Stock42 . -Vanguard short-lema treasury

4 3 . Berkeley Co SC Zero 6/1/12 C Interest L T4 4 . Clemson University, SC Zero 5/I/10 B Inlerest L ]"4 5 . Piedmont Men. Power Zero I/Ill 3 A Inlerest K T4 6 . Piedmont Mun. Power Zero I/1/13 A I n t e r e s t J T Matured 01/01/09 J A( p a r t )4 7 . Fiedmont Mun PowerZero 111/15 C I n t e r e s t I T4 8 . Richland Co SC Zero 8 /I/09 A I n t e r e s t Matured 08/01/09 I.. A4 9 . SC Zero 7/I/12 t 3 I n t e r e s t L T

5 0 . Three Rivers Solid Zero I/1/09 B I n t e r e s t Matured 01/01/09 K B5 1 . Three Rivers Solid Zero I/1/I I l} Interest K T


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F. INA~/CIAL DISCLOSURE REPORT I N a m e o f P e r s o n R e p o r t i n g DateefRepoaPage 7 of 1 0[ Hal-well, Rober! B.

4/30/2010

VII. INV ESTMENTS and TRUSTS - in ....... t,o, u .... aons (tncluaes ,hose o/sp ...... a aepena .... h i t a r e n ; s e e p p . 3 4 - 6 0 o f f i li n g i n x t r u c t i o n ~ )N O N E (No reportable income, assets, or transactions.)

A . B . C. D.D e s c r i p ti o n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d, Place "(X)" afi ..... h .... t ~ _ m ~ o _ u n , t ] T y p e ( e . g . , V alue V alue "ry~(eg., Oa,e rathe IGain ldenlilyofe x e m p t f r o m p r i o r d i s c lo s u r e ,,...u~c t ] div.,renl, C o d e 2 M e th o d b u y . s e l l , I m r r d d d ] y Y C o d e 2 C o d e I b u y e r / s e l l e r(A-H)II or ira.) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - I t ) ( i f p r i v a t e

_ _ ]~.. ...... ( Q - W ) t r a n s a c t i o n )5 2 . Three Rivers Solid Zero 1/1/12 B Interest K T5 3 . Three Rivers Solid Zero I/I/13 B Interest K T5 4 . Dimensional Fund Advisors Tax Man US A Dividend J TMktwde5 5 . Rental Prop North Myrtle Beach,SC D Rent M R( 2 0 0 3 , $ 2 3 8 , 6 0 0 )5 6 . I Prop (Cherry None M UGrove, SC) 49% ($243,0005 7 . -on 2004 tax return)5 8 . College Bound Fund ill,Alliance Bemstein A Dividend J TMutual Funds5 9 . -CBF Appreciation Port Air Bx6 0 . College Bound Fund #2, A lliance Berstein A Dividend J TMutual Funds6 1 . -CBF Appreciation Port Ale B X6 2 . SC Future Scholar Plan ~l,ColumbiaMutual None K TFunds6 3 . -Bond Poa-A6 4 . -Large Cap Core Port A6 5 . -Mid Cap Growth PorI-A6 6 . -Small Cap G~owth Port-A

6 7 . SC Future Scholar Plan tl2, Columbia None J TMutual Funds68. -Bond Port-A


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F I lv A N C I A L D I S C L O S U R E R E P O R T N .... f P .....Reporllng DatePage 8 of l 0 ~ t ~ r ~ , e ~ , R o b e r t B . 4 / 3 0 t 2 0 1 0VI i. IN V E S T M E N T S a n d T R U S T S - ~ . . . . . . : . , . , . . . . . . . i.~, a~,.~,a,,,~o.,, oz,~ ...... ~ a,~,~d,~ ~ ,,~; ,,, ~p. ~~ o

N O N E (No reportable income, assets, or transactions.)a. - ........................ ~ ~ C -- I O. ...............Description of Assels Income during [ Gross val~ at cud I Transactions during rc~ing pc~od(including t~sl assets) re ining period I ~f reposing period~-~--~i- " ~ T .......~ > . . . . . . . .. ~ ~ ~ :~ ~ ~) ~ ....Place"(X)" after each ~sc t ~mounI j T~(e.g., I V~lue Value Ty~ (e.g., i Da~e , Value Gain Identi~ of.... pt from prior di~cl ..... Code lid~ ..... t, I C~e2 Meth~ buy,~ell. ~m~d~ [ C~e2 , Code I(A-H) 1 or int.) i (JP) Code 3 : redemp ion) [ OP) (A-H) ~ [if private(Q -W ) [ i transaction)

69. -Large Cap Core PorI-A

70 . -Mid Cap Grow Por~-A

71 . -SmallCap Growth Por~-A

72. 1, Florence, SC (1999 - None M R$125,000)73 . Custodial Account#1 None J T7 4 . -The South Financial Group Common Stock

7 5 . Custodial Acctff2 None J T7 6 . -The South Financial Group Common Stock7 7 . : Florence, SC (2006 $70,000) None L R

7 8 . SC Tuition Prepayment Program #1(no None K Tconlrol)7 9 . SC Tuition Prepayment Program #2 (no None K Tcontrl)


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F.|N~CIAL DISCLOSURE REPORT ~,m, of P .....eporting Da,e of Rcpo, ,Page 9 of 1 0 n.rw~, ~obert n. 4 / 3 0 ! 2 0 ~ 0VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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F.INANCIAL DISCLOSURE REPORTPage lOoflO

1X. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and minor o r dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was w ithheld because it met applicable statutoryprovisions permitting non-disclosure.I furlhcr certify that earned Income from outside employment and hono raria and the acceptance ofgiRs which have been reported are incompliance with the provisions of 5 U.SoC. app. 501 el. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature._

NOTE: ANY INDIVIDUAL W IlO KNO\V INGLY AND W lLFULL Y FALSIFIES OR FALL S TO FILE Tills REPORT MAY BE SUBJECT TO CIVILAND CRIS, IINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 ad ditional copies to:

Committee on Financial DisclosureAdm inistrative Office of the United States CourtsSuite 2-301One Colum bus Circle, N.E.W ashington, D.C. 20544

robert b harwell financial disclosure report for 2009

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