Emmet G Sullivan Financial Disclosure Report for 2010

8/3/2019 Emmet G Sullivan Financial Disclosure Report for 2010

1/9

AO I0Rev. 1/2011

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010Report Required by the Ethics

in Governme nt Act ofl978(5 U.S.C. app..~.~ 101-I11)

I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)S ul l ivan , Em m et G .

4. Title (Article III judge~ indicate active or senior status;magistrate judges indicate furl- or part- time)Active Dist r ic t Court Judge

7 . C h a m b e r s o r Off ice Address333 C o n s t it u ti o n A v e n u e , NWWashington, D.C. 20001

2. Court or Organizat ionU.S. Dis t r ict Cour t for the Dis t r ict of Columbia

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

3. Date of R e p o r t08/09/2011

6. Report ing Pe riod01/0112010

to12/3112010

Reviewing Office r Date

I M P O R T A N T N O T E S : The ins truc tions accompanying this form ma st be fol lowe ,t Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P 0 S I T I 0 N S . t R e p o , ~ , g i , a l v l a , a t o .i y ~ s e e p p . 9 - t Z of filing instructions.)l-~ N O N E ( N o reportable p ositions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.5.

I I. A G R E E M E N T S . m e p o r a . g i . d i ,i a . a t o . ~ ; s e ~ ~ , ~ . 1 ~ - 1 6 of filing instructions.)NONE (No reportable agreements.)

D A T E1.2.

3.

PARTIES AND TERM S


2/9

F I N A N C I A L D IS C L O S U R E R E P O R TPage 2 o f 9

Name of P e r s o n R e p o r t i n gS u l l iv a n , E m m e t G .

Date of Repor t08 /09 /201 I

III. N O N - I N V E S T M E N T I N C O M E . tReponi.g i.dividua andspouse; see p~ 17-24 of filing instruction~)A, Filers Non-Investment Income

D (N o reporta ble incom e.)ONE non-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I. 2010 Pe ns i on (D. C. Gove rnm e n t ) $ 61 ,099. 002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I nc o m e - i f you were married during any p ort ion of the report ing year, complete this sect ion.(Dollar amount not required except for honoraria.)

NO NE ( No reportable non-investment income.)DATE SOURCE AND TYPE

I.

2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~(Includes those to spouse and dep endent children; see pp . 25-27 of f il ing instructions.)

N O N E ( N o reportable reimbursements.)SOURCE D A T E S LOCATION

1.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t in gF I N A N C I A L D IS C L O S U R E R E P O R TSu~ ivan , Emm et G.a g e 3 o f 9

V . G I F T S . an c l , d ~ , h o , e t o s p o u s e o n d d ~ , ~ n d e n ~ children; s e e p p . 2 8 - 3 1 of f i l lng instructions.)N O N E (No reportable gifts.)

S O U R C E D E S C R I P T I O NI.2.3.4.5.

D a t e o f R e p o r t08/09/2011

VALUE

V I . L I A B I L I T I E S . a n c l u d ~ s t h o s e o / s, o u ~ ~ n d d e p ~ n d ~ n t children; see p p . 3 2 - 3 3 of f i l ing instruct iong)N O N E (No reportable liabilities.)

C R E D I T O R D ESC R IPTIONI.2.3.

4.5.

VALUECODE


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F I N A N C I A L D IS C L O S U R E R E P O R TPage 4 o f 9 Ia m e o f P e r s o n R e p o r t i n gSul li van , Emme t G . D a t e o f R e p o r t08/09/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a lu e , ~ a ~ a c t l o ~ a n c l , d ~ ~ h o s e o /, p o ,~ e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructlons.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G ro s s v al u e at e n d T r a n s a c t i o 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[ (I) (2) (I) (2) (I) (2) (.3) (4) (5 )

P l a c e " ( X ) " a f te r e a c h a s s e t A m o u nt T y p e ( e.g ., V alue V alue T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d is c l o su r e [ C o d e I d i v . , r e n t , C o d e 2 M e t ho d b u y , se l l , m m / d d ~ r y C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t eI ( Q - W ) t r a n s a c t i o n )

I. Renta l P rope r ty I Income (Was h ington , E R e n t O SD.C. )2. Re n t a l P rope r t y 11 Inc om e (W a shi ng ton , C R e n t N WD . C . )3. Ja nne y Mon t gom e ry IRA4. Colu mbia FDS Clas s A A Div idend Sold 12/31/10 K5. Ea t on Va nc e S MID A Di vi de nd B uy 11/12/10 J6. Ea t on Va nc e S MID A Div idend Sold 12/30/10 J7. Federa ted Equi ty FDS A Di vi de nd Sold 11/12/10 J8. Firs t Eagle Fund A D ivid en d So ld 01/08 /10 J9. Growt h Fund Am e r i c a , Inc . CLF (GFAFX) A Div idend Sold 12/30/10 K1 0 . Kee ley Smal l Cap Fu nds A Div idend Sold 12/30/10 J1 1 . T. Rowe P r i c e Growth S t oc k Fund A Div idend Sold 12/30/10 K1 2 . T. Rowe Price Equi ty A D ivide n d So ld 12/30/10 J1 3 . Thom burg Inv t . T r . A Div idend Sold 12/30/10 K1 4 . Th ornbu rg Income Bu i lde r A Di vi de nd B uy 11/12/10 K1 5 . T h o m b u r g l n c o m e B u i l d e r A Di vi de nd Sold 12/30/10 K1 6 . Ha rbor In t e rna t i ona l FD A Di vi de nd Sold 12/30/10 K1 7 . J P Mor gan T r u st I A Di vi de nd Sold : 12/30/10 K

A

AACB

ACAA

ADA

I. I n c o m e G a i n C o d e s: A =$1.000 or less B = $1,001 - $2.5 00 C = $2.5 01 - $5 ,000 D =$5.001 - $15,000( See C olumns BI and 1) 4 ) F =$50,001 - $109.000 G =$100.001 - $1.000.000 III =$1,0~0.001 - $5.000.000 112 =More than $5.000.000

2 . Va l u e Co d es J $15.000 or less K = $15,0OI - $50.00~ L = $5 0.001 - $100.000 M =$ 100.001 - $250.000(See Co l u m n s CI an d D 3) N -$250.OO I - $500.0~ O O =$5 00.001 - $ 1.00~ .000 PI =$1.000,001 - $5.000.000 P 2 = $ 5 . 0 O O . 0 0 1 - $ 2 5 , 0 0 0 ,0 0 0

P3 ~$25.000.001 - $50.0~O.090 P4 =More than $50.00~.0003 . Va l u e M et h o d Co d es Q :A ppr a i s a l R =C ost (R ea l E.slate O nly) S = Ass ~ss mc ~l 1" Gas h M ar k etISee C ohlmn C 2) U = Bo o k Va l u e V =O ther W = E st im a t ed

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gSul li van , Emme t G .

D a t e o f R e p o r ~08/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income. value, t ransactions (Includes those of spou se and dependent children; seepp. 34-60 of f i l ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value a t end Transactions during reporting period

(including trust assets) r e po rt i n g p er i o d o f r e po rt i n g p er i o d(I) (2) (I) (2) (I ) (2) (3) (4) (5 )

P l a c e " O O " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , V alue V a lue T y p e ( e . g ., D a t e V a l u e Gain I d e n t i t y o fexempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e t ho d buy, sell, m m / d d /y y C o d e 2 C o d e I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t io n ) O - P ) (A-H) ( i f p r i v a t e

I ( Q - W ) t r a n s a c t i o n )

1 8 . Ar t i s an F unds A D i vi dend S o l d 12/30/10 K A

1 9 . Ro y c e F e d . Re t . A D i v i d e n d S o l d 12/30/10 K B

20 . S en t i ne l G r oup F D S A D i v i d e n d S o l d 12/30/10 J B

21 . D el aw ar e D i ve r s i f ied I ncom e A D i v i d e n d S o l d 12/30/10 J A

22 . Ivy Asse t St ra t egy A A D i v i d e n d S o l d 12/30/10 J B

23 . Ry d e x Se r i e s M a n a g e d F u t u re s S t r a t e g y A D i v i d e n d S o l d 12/30/10 J A

24 . J a n n e y M o n t g m e r y I R A

25 . C o l u m b i a F D S , C l a s s A A D i v i d e n d J T26 . C a l a m o s G r o w t h F u n d A A D i v i d e n d J T27 . F i r s t Eag l e F und A D i v i d e n d J T28 . T h o m b u r g V a l u e F u n d A A D i v i d e n d J T29 . A l l i a n zO r r . Re n . A A D i vi dend J T

30 . Ja n n e y M o n t g o m e r y F u n d

31 . A l l i a n z F u n d s M u l t i M a n a g e r ( X ) A D i vi dend J T

32. C a p i t a l I n c o m e B L D R F u n d , C l a s s A ( X ) A D i v i d e n d K T

33. C o l u m b i a F D S , C l a s s A ( X ) A D i vi dend S o l d l l /12 /10 K A34. E a t o n V a n c e S M I D A D i vi dend J T B uy l l /12 /10 J

I . I nc ome Gain C odc s : A = $1.000 o r less B = $1,001 - $2.5 00 C =$2.501 - $5.000 D =$5.001 . $15.000( See C olumns BI and D4 ) F = $ 5 0 , 0 0 1 - $ 100.000 G =$100.001 - $ 1.000.000 111 =$1.000,001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 o Ic~s K = $15 .001 - $50.000 L = $50.001 - $100.000 M =$ 100.001 - $250.000( See C olumns C I and D3 ) N =$250.001 - $500.0~O O =$5 00.001 - $1.000.000 PI =$1.000.001 - $5,000,000 P2 =$5 .000,001 - $25.000.000

P3 =$ 25.000.001 - $50.0~0.000 P4 =More than $50,000.0003 . V alue M c lhod C od~ Q = Ap p r a i sal R -~ os ! ( R eal Es ta t e O nly ) S =Asscssmcm T = Cash M ar kc~

( See C olmnn C 2) U =Book V alue V = O~h cr W =Es t imated

E = $1 5 . 0 0 1 - $5 0 . 0 ~ 0


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N a m e o f P e r s o n R e p o r t i n gSul li van , Emme t G .

D a t e o f R e p o r t08/09/2011

N O N E (No reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s e t s T r a n s a c t i o 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 )

P l a c e " ( X ) " a f te r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e

I n c o m e d u r i n gr e p o t a i n g p e r i o d

(I) (2 )A m o u n t T y p e ( e . g . ,C o d e I di v . , ren t ,

( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)

V a lue V a lueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )T y p ~ ( e . g .,buy, sell,

r e d e m p t io n )

(2) (3) (4) ( 5 )D a t e Va l u e Gain I d e n t i t y o fm m / d d ~ Code 2 C ode I buye r/se ller

( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

35 . Hender son G lobal FDS (X )36 . Ivy Funds Inc. (X )3 7. K e e le y F un d s I nc .( X )38 . Kine t ic s M utual Funds (X )39 . NFJ Div Int and Strategy Fund (X )40 . Prudential Jennison20/2041 . T h o rnbur g Invt . T r C la s s A (X )4 2. D .C . H s g F in A gy M u n B o nd ( X )43 . Janney Advantage Insured Sweep (X)44 . Rydex Series Funds M anaged FuturesS t r a g t e g y45.

A Divid end JA Divid end J

A Divid end JA Dividend JA Dividend KA Dividend JA Dividend KA I n t e r e s t JA Divid end JA Dividend.

TTTTTT B uyTTT

S o l d

11/12/10

12/30/10

46.47 .

48 .49 .50 .

5 1 .

I. I n co m e G a i n Co d es :(S e e Co lu mn s BI a n d D 4 )

2. Val u e Co d es(S e e Co lu mn s CI a n d D 3 )

3. Val u e M et h o d Co d esISc e C ohlmn C 2)

A =$1.000 or lessF=$50.001 - $100.000J =$15.(~0 or lessN =$250.001 - $500.000P 3 =$25,000.001 - $ 50.0~0.000Q =AppraisalU =Book V alue

B =$1,001 - $2.500G =$100,001 - $1,000.000K =$15,001 - $50.00~O =$500.001 - $1.000.000R = C o s t ( Rea l E s t a t e On l y )V = O t h ~

C =$2.501 - $5,000|1 1 =$1,000,001 - $5.000,000L =$50.001 - SI00,000PI =$1,000.001 - $5.000.000P4 =More than $50,000.000S =A s s es s mentW = E st im a t ed

D =$5,0~1 - $15.000tl2 =More than $5,000,000M =$100,001 - $250,000P2 =$5.000.001 - $25,000.000T = Cash M ar kc~

E =$15,0~1 - $50.000


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N a m e o f P e r s o n R e p o r t in gSull ivan, Emmet G.

D a t e o f R e p o r ~08/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t . e , ~ o . .~ a i o , ~ t tn c l . d e , t h o ~ e o / s p o t s , ~ n d ~ , p e . d e . , children; see pp. 3 4 - 6 0 of f i l ing ins t ruc t ions .)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i nc l ud i ng t rus t asse t s )

P l a c e " ( X ) " a f te r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o su r e

I n c o m e d u r i n g r e p o r t i n g p e r i o d(I) (2)

A m o u n t T y p e (e.g.,C o d e I di v . , ren t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t in g p e r i o d

(I) (2)V a lue V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

O)T y p e ( e .g . ,b u y , s e l l,r e d e m p t i o n )

(2) (3) (4)D a t e V a l u e Gain I d e n t i t y o f

m m/d d/yy C od e 2 C o d e 1 buyer/seller( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

52 .53 .

54 .

55 .

56 .57 .

58 .59 .60 .

I. I n co m e G a i n Co d es :( See C olumns BI and D4 )

2. Val u e Co d es1S e C olumns C I and D3 }

3. V alue M ethod C odes(See Column C2)

A =$1.000 or lessF =$50,001 - $100,000J =$15.000 or leasN =$250,001 - $5 00.000P 3 = $ 2 5 , 0 O O . 0 0 1 - $ 5 0 . 0 0 0 .0 0 0Q = Ap p r a i salU - B o o k V a l u e

B =$1,001 - $2,500G =$100,001 - $1.000,000K =$15.001 - $50,000O =$500.001 - $1,000.000R :=Cost (Real Estate O n l y )V =O ther

C = $ 2 . 5 0 1 - $ 5 , 0 0 0I I I = $ 1 . 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0L = $ 5 0 . 0 ~ 1 - $ 1 0 ~ . 0 0 0P I = $ 1 , 0 0 0 . 0 0 1 - $ 5 . 1 Y ) 0 . 0 0 0P 4 =Mo re than $50.000,090S = A s s e s s m e n tW = E b l i ma t e d

D =$5.0OI - $15.000112 =More than $5.009.000M =$100.0OI - $250.000P 2 = $ 5 . 0 O O . 0 O I - $25,000.000T = Cash M ar kc l

E =$15,001 - $50.000


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FINANCIAL DISCLOSURE REPORTPage 8 o f 9

N a m e o f P e r s o n Repor tingS u l l iv a n , E m m e t G ,

Date of Repor t08/09/201 I

V I I I . 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 O N S . (lndicatepartofrepor~)Part VII. Investments and TrustsLi ne I t e m 1 . O ne -ha l f i n t e r e s t Re n t a l P rope r t y I (Wa shi ng t on , D . C . ) - t he a sse sse d t o t a l va l ue i s $ 1 ,000 ,000.Li ne I t e m 2 . O ne - t h i rd i n t e r es t i n Re n t a l P rope r t y I I (Wa shi ng t on , D . C .) - t he e s t i m a t e d t o t a l va lue i s $ 5 00 ,000.


9/9

FINANCIAL DISCLOSURE REPORTP a g e 9 o f 9

Name o f Pe rson Report ingS u l l iv a n , E m m e t G .

I X . C E R T I F IC A T I O N .

D a t e o f R e p o r ~08/09/2011

I c e r t i fy t h a t a l l i n fo rm a t i o n g i v e n a b o v e ( i n c l u d i n g i n fo rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u ra t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y kn o ~ v l e d g e a n d b e l i e f , a n d t h a t a n y i n fo rm a t i o n n o t r e p o r t e d wa s wi t h h e l d b e c a u se i t m e t a p p l i c a b l e s t a t u t o ryp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o su re .

! f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h ic h h a v e b e e n r e p o r t e d a r e i nco m p l ian ce wi th the p ro vis io n s o f 5 U.S .C. ap p . 501 e t . s eq . , 5 U.S .C. 7353, an d Jud ic ia l Co n fere n ce reg ula t io n s .

Signatu re: S[ Em me t G. Sullivan

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 10 4 )

C o m m i tt e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a te s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

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Emmet G Sullivan Financial Disclosure Report for 2010