Emmet G Sullivan Financial Disclosure Report for 2009

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I I . , : = , : a o t 0 " : . ) :- ~ : I I FINANCIAL DISCLOSURE REPORT R e t ~ , - t R e q t m e d b ) . t in _ . t , . t h i c sin GO vernment Act of 1978[ - ReV:,!/2010 " ] FOR CALENDAR YEAR 2009 5 btsc app..~,~ IOl-Illl

1. Person R eporting (last no.me, ficst, ,middle initial) 2. Court or Organ izat ion 3. [ )ate of Repor tSullivan, Emmet G. U.S, District Court for the District of Columbia 07/14/20 I0

4. Title (Article III judges indicate active or senior status: 5a. Report Type (cl~ck appropriate type) 6. Report i .g Periodmagistrate judges indicate full- or parl-timc)[] Nomination, Date

AcdveDistrict Court Judge [] Initm| [] A .... 1 [] Final to12/31/20095b. [] Amended Report

7. Chambers or (fff~:~ Address 8. On the ha, s is otr the information conta ined in this Report and anymodif ications per taining thereto, i t is , in my opinion, in com pl iance333 Constitu tion Avenue, NW with applicable laws and regulations.Washington, D.C. 20001

Revie,, , ing Officer Date

IMPO RTANT NOT ES: The instructions accompanying this form must be fo l lowed . Complete a l l parts ,checking the NO NE box for each part where j~u have n o reportable information. Sign on last page.

~ N O N E (No reportable positions.)POSITION NAME OF O~QAN1ZATION~NTITY

I.2.

1 I . A G R E E M E N T S . (Reporting indivMualonly; seepp. 14-16 of filing ins,ructions;)~ NONE 6No r~7~ortable agreemems.)~AT~ PARTIES AND T~RMS

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F I N A N C I A L p a g e 2 o f 9 D I S C L O S U R E R E P O R T I Sullivan, E m m e t G . 0711412010

I I I. N O N - I N V E S T M E N T I N C O M E . ~ R e p o. ,. x i . zi .a .~1 ~ .a ~o .~e; s~,~, , t 7 -~ o~.~ i ....... ~o~.,.~A. Filers Non-Investment Incom e

N O N E (No reportable non-investment income.)~a~.TE SOLTRCI: , AND TYPE I NCOME(yours, not spouses)

1. 2009 Pension (D.C. GovernmenQ $61,099.00

2.

3.

4.

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 married during an),por~ion of ~he rcporrlng yearo complete thts seenon.(I)ol[ar amount not required ~cept for honorariu.)~ N O N E (No reportable non-investment income.)

D A T E SOURCE AND TYPEI.

2.

3.

4.

I V . R E I M B U R S E M E N T S - t , ,,~o, t , , io. , toux i .~, .~oo~ , .. t~ .~i . . . . , .(Includes those to s~use and dependent children: see pp. 2.5-27 ~/fling inst~.ttons.)

N O N E (No reporcable reimbursements.)SOL~C~ DATE~ I ,OCATION PI,]RPOSE I T EM S P A I D O R P R O V I D ED

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3.

4.5.


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FINANCIAL D I S C L O S U R E R E PO R TPage 3 of 9 Sul li van, Emm et G. 07/14/2010

V. GIFTS. a.~t~ ~o~ ,o ~o~. ,~ ~ ,~ ~ .~ , , , ~ ,~ ,; ~ ~ .NONE ~o reportable g~s.)

~ DgSCR1PTION

2.3.4.5.

VI. LIAB ILITIES. a,,~u,~,.,,~o~,o.r,~,N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VA LI)E CODEI.2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT n .... f V , - r ~ o , ~ a c p o , ,i . g [Page 4 o f 9 Sull ivan, Emmet G.]

07/14/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i, com,, ,,lug., ..... c , l o . , (Includes those olsp ...... d dq,tnd, nt c M t d t t m s t t p V . 3 4 4 0 offili,g~ N ONE ~o reportable income, assets, or transactions.)De~ription of As~ i n c o m e d u r i n g [ G r o s s v a l u e a t e n d Transactions during re~ing(inel~ing ~st mwts) , ~ning peri~ _~ .of reining p~

~ ] (2) : (0 (2) O) ~ (2) (3) (a) (5 1Ila~ "(X)" after ~ch ~sct Amoum T~c (e .g ., Value Value T~ (e.g., D a t e Value Gain I d c n l i l y o fC o d e Ie x e m ~ f r o m p r i o r d l s c l o s u r~ div., ~nL C~c 2 Mcth~ ~y, ~tl, [ m~d/>~ C~e 2 ~ C~e I buy~/sdler(A-H) ~ orint.) ( J - I ) C~e3 r~em~ion) : (J-P) ~(A-H) ( i f p r i v a t e~ ( Q - W ) ~ ] : ~c~io~)

I. Renal Prop~y I Income (W~hin~o~ E Rent O SD.C.)2. Renal Prope~y II Income (W~hingto~h A Renl M WD.C.)3. Janney Montgome~ 1~4. Columbia FDS Class A A Div idend K T

5. Federated Equity FDS A Dividend J T6. First Eagle Fund A Dividend K T Sold 7/24/09 J A7. Growth Fund America, Inc. CLF (GFAF X) A Dividend J8. Keeley Small Cap Funds A Dividend J T

9. T. Rowe Price Growth Stock Fund A Dividend J T

1 0 . T. Rowe Price E quity A Dividend J TII. Thomburg Invt. Tr. A Dividend K T1 2 . ttarbor lnternatiomd F D A Dividend K T Sold 1 1 1 3 0 / 0 9 J A(part)1 3 . JP Morgan Trust I A Dividend J q1 4 . Arlisan Funds A Di~,idend J T1 5 . Royce Fed. Ret. A Di,idend J T1 6 . Sentinel Group FDS A Dividend .~ T1 7 . Delaware Diversified Income A Dividend J T B uy 4/8/09 J


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FINANCIAL DISCLOSURE REPORT N .... f Person ReporHng DaleofRepor!Page 5 of 9 Sull ivan, Emmet G. 0 7 ! 1 4 . t 2 0 1 0VII. INVESTME NTS and T R U S T S - in ......... lue, t ....... tJon, anclu~ ,ho~ t o[,p . . . . .. d d e p e n d e n t c h i l d r e n ; s ~ p p .~ NONE income, assets, or transactions.)eportable~ De~riplion of As~ ~ I n c o m e d u r i n g ~ Gross value at ~d $~asac~ions during reining(including t~sl ~sets) ~ ~iag ~fi~ of r~fling p~

Pla~(X)" afit~ ~ch aS~l ~Am~t ~ T~ (e.g., ] Value Value T~(e.g., D a l e Value [ Gain ldenlityof C~e 1 d i v . , ~ n t , C~c 2 M~ b u y , ~ 1 1 . m~d~yy ~ C~ 2 ~ C~e I buyer/~llerexert from prior di~l~e ( A - I I } or nt) I { J - l ) C~e 3 r~emption) (J-P) [ (A-It) ~ifpfi~le( Q - W ) : ~ction)

1 8 . I~ A~et St~tegy A A Dividend J T B uy 4/8/09 J1 9 . Pimco Total Rtn. A A Dividend J T B uy 4 / 8 t 0 9 J

20 . Rydex Series Managed Futures Strategy A Dividend J T Buy 4/8/09 J

2 I. Janney Momgmery IRA

2 2 . Columbia FDS, Class A A Dividend J T2 3 . Calamos Growlh Fund A A Dividend J T

2 4 . First Eagle Fund A Dividend J T2 5 . Thomburg Value Fund A A Dividend J T

2 6 . Allianz On-. Ren. A A Dividend J T

2 7 . Janncy MontgomeD Fund2 8 . Allianz Funds Multi Manager(X) A Dividend2 9 . Capital Income BLDR F und, Class A (X ) A Dividend K T3 0 . Columbia FDS, Class A IX ) A Dividend K T3 1 . Henderson Global FDS (X ) A Dividend J T3 2 . Ivy Funds Inc. (X.~ A I)ividend J T

3 3 . Keeley Funds Inc. (X) A Dividend J T3 4 . Kinetics Mutual Funds (X) A Dividend J T

I . Income Gain Cod~: A =$ If000 or less B =$ 1,~)1 - S2.500 C -S2,501 - $5,000 D ~$5,~01 - $ 15.00~ E ~$ 15,001 - 550.000


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VII. INVE STME NTS and TRUSTS -in~ N O N E (No reportable income, assets, or transactions.)..............................A. , , . . . . . . . . .~-. ~ .... c. - .... ii? ......De~ription of A ~ ~ Income during/ Gm~ value at end Tm~ctions during r~aing peri~(including ~st ~ets) ~ rc~ing ~rk~

Pla~(X)aftcr~ch~el ~ A ~ n t~ Ty~(c.g., Value Vslue Tyl~(e.g., Dale ~ Value ~ Gab~ ~ Idcatityof~ C~c I ~ div ,~nk C~c 2 ~ Met~ buy,~ll, m~d~ r C~e2 ] C~e 1 ~ buyer/~llcrC~e 3 ~emption) ] O-P) ~ (Adl) (ifpfivaleexempt f~ priordi~closure (A-H) o r i n t . ) (JP) ~ ( Q - W ) ~, t~n~ction)

3 5 . NFJ Div lnt and Strategy F~d (X ) A Dividend K T3 6 . Rowe T. Price lntl FDS (X) A Dividend Sold I !~4/09 J A

3 7 . q-homburg Invt. Tr Class A (X) A Dividend K T3 8 . D.C. Hsg Fin Agy Mun Bond (X ) A Interest J T

3 9 . GMAC Smartnotes Bond (X) A Interest Sold I L r 2 4 / 0 9 J A4 0 . Franklin Income Fund CLA (X ) A Dividcnd K T

4 1 . JanneyAdvantage Insured Sweep (X ) A Dividend J T4 2 . Rydex Series Funds Managed Futures None J T B uy 4/8/09 JStragtegy4 3 . Rydex Series Funds Managed Futures A Distribution Sold I 1 f 2 5 / 0 9 J AStrate~"4 4 .4 5 .

4 6 .

4 7 .

4 8 .

4 9 .

50 .

5 1 .

P 3 = $ 2 5 . 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 , 1 D 0 P 4 = M o r e t h an $ 5 0 , 0 0 0 , 0 0 0


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Page 7 of 9 Sullivan, Emmet G. 07/14/2010VII. INVESTMENTS and TRUSTS -

NONE (No reportable income, assets, or transaction.)D~fip6on of As~ I ncom e du r ~ g G~ss value at ~d T~n~ions during reining p~i~

(i~luding trust ~SC~) i r~aing~ ~:) ~ i ~ . .. .1-~- ~ ~ . . .. ~ ~~) ~ ~ ~,~ .........~s~ ........Pl~ce"(X)" a~w~ch asset A m ou r r T y~ ( e .g , V~lu ~ Value T~(e,g., ~ Date ~ Value Gain Ident i~ofcxempl ~om prior di~losur ~ C~e 1 div., r~; C ~ 2 M&~ ~y, sell, ~ m~d~)~ C~e 2 C~ I buyed~ller~ {A-II) or int.) ~]-P) C~e 3 red--priori) ~ : {J-P) IA-II} { i f p6~te ,

, (Q-W) ~ ; ~ction)

52 .

5 3 .

54 .

5 5 .

5 6 .

5 7 .

5 8 .

59 .

P3 =$25,000,001 - $ 50 , 000 . (~)1) P4 =~.lore than


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FINANCIAL DISCLOSURE REPORT t N .... f P ..... R e p o r t i n g D ~ I o f R e p o t ,Page 8 of 9 [ Sullivan, E m m e t G .0 7 / 1 4 / 2 0 1 0

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. an~ic~,or~r, oIRe, o,.~

Par~ VII. Investments and TrustsLine Item 1. One-halfinlerest Rental Property I (Washington, D.C.) - the a~sessed ~otal value is $838,500.Line Item 2. One-third inlerest in Rental Property I1 (Washington, D.C.) - the estimated total value is


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P a g eF I N A N C 1 A L 9 o f 9 D I S C L O S U R E R E P O R T SuUiva,, Emm et G . 07/14/2010

IX . CERTIFICATION.! certify that all information given above (including information pertaining to my spouse and m inor or dependent ch ildren, if any} isaccurate, true, and com plete to the b e~! of my k nowledge and b elief, and thai any information no! reported w as ~vithh eld bec ause R me! applicable statutoryprovisions permitting non-disclosure.I further certify that earned incom e from outside em ployment and h onoraria and the acceptance of gifts wh ich h ave been reported arc incom pliance with th e provisions of 5 U.S.C. app. 50 1 et. seq, 5 U.S.C. 73 53 , aad Jud icial Conference regulalio.s.

NOTE: ANY INDIVIDUAl ~VHO KNO\VINGI,Y AND WI1,FULLY FALSIFIES OR F AIl ,g; TO F II,E Ti l lS RE PORF MAY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

F ILING INSTRUCTIONSMail signed original and 3 add it ional copies to:

Committee on Financial DisclosureAd ministrat ive Office ofthe United States CourtsSuite 2-301One Columbus Circ le , N.E.Washington , D.C. 20544

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Emmet G Sullivan Financial Disclosure Report for 2009