Mark S Davis Financial Disclosure Report for 2009

8/3/2019 Mark S Davis Financial Disclosure Report for 2009

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R ~ . 1 / 2 0 l O FOR CALENDAR YEAR 2009 0 v . s . c , a p p . , ~ , ~ I o I - 1 ~ 1 )I . Per~n Report ing 0ast nam e, f i rst , middle in i t ia l ) 2. Court or Orgaviza t len 3, Date of ReportDavi s , Mark S. U.S. Distr ict Cour t. E.D. Va. 05/10/2010

4. Title (Arlicle Ill judges in dicate active or senior s~a tus; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e ly p e ) 6. Report ing Periodmagistrate judges indicate full- or part-time) [ ] No m in a t i o n . D a t e 01/01/2{)09

U.S. Di s t r i c t Judge [] Initial [] Annual [] Final to12/31/2009f i b . [ ] Am ende d R epo r t

7 . C h a m b e r s o r Office Address 8. O n t h e b a s i s o f the Informat ion conta ined In th is Report and anymodif icat ions per taining thereto, I t i s , In my o pinion, In compl ianceUni ted S ta tes Dis t r ic t Cour t with nppl icable laws and regnla t iona .Waite r E . Hof fman Uni ted S ta tes Cour thouse600 Granby S t r ee t , Su i te 329Nor fo lk , VA 23510 Reviewing Officer D a t e

I M P O R T A N T N O T E S : the instructions accompanying this form must be followed. Complete all parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

I. P O S I T I O N S . ( R e p a r t tn g i n d i v id u a l o n l y s e e p p . 9-13 offding instructions.)D N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTVIYI. Vi s i t o r Regen t Un ive rs i ty Schoo l o f Law Boa rd o f V is i to r s , an adv i s o ry boaxd to thel aw schoo l w i th no po l icy -m ak ing au tho r i ty

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I f . A G R E E M E N T S . : ~ , ~ , , ~ . # ~ , a i ~ a . . ~ , . ~ : . ~ , , ~ . u - ~ o : : ~ # ~ . ~ , ~ , ~ )~ NONE ~o reportable agreements.,)

~ PARTIES AND TE~SI . 2 0 0 3 V i r g i n i a R e t i r e m e n t S y s t e m ( r e ~ c o n t i n u e d ~ s c ~ i n V R S f r o m s e ~ i ~ ~ V i r g i n i a j u d g e f r o m 2 ~ 3 - 2 0 0 8 )


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FINANCIAL DISCLOSURE R EPORT r a m , o ~ e e r ~ o . R e p o r t l . g D . ~ . o ~ R ~ p o r tPage 2 of 7 o a , ~ i ~ , M a r k S . 0 5 / 1 0 / 2 0 1 0

I I I . N O N - I N V E S T M E N T I N C O M E . CR e, r~ng ~ .~ i~u at o .d~ ,o~e, ~ee ,~ . ~-2~A. Fliers Non- Inves tmen t IncomeNONE (No reportable non- investment incom e.)

D A T E SOURCE AND TYPE( y o u r s , n o t s p o u s e s )

I.2.3.4.

B . S p o u s e s N o R - I n v e s t m e n t I n e o m e - If you were married during any portion of the reporting ),ear, complete this sectla~(Dollar amount not required except for hotmrar~a,)

[~ N O N E ( N o r e p o r t a b l e n o n - O~ v e s t me n t i n c o me . )D A T E SOURCE AND TYPE

I.2.3.4,

IV . R E I M B U R S E M E N T S - ,....~ort.tio,., Io,tgi.g, ~ood,( Includes those to s~us and de~ndtn t ch ildren; s1 ~p . 25-27 q ffi l ing inst~ tctio~ .)

NONE (No reportab& re imbursements .)~ ~ LOCATION ~ ITEMS PAID OR PROVIDED

I.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT N . ~ . o t P ~ r ~ . a e p o r ~ g D.t.of a.po ,Page 3 of 7 Davis , MarkS. 0 5 / 1 0 / 2 0 1 0

V . G I F T S . a ~ a ,d ~ , t* o ~ e t o ~ o ~ o ~ d ~ e , d ~ t children; s e t p ~ 2 8 - 3 1 of f!linz instructions.)NONE ~o reportable g~s.)

SOURCE DESCRIPTION ~1 .2.3.4.5~

V I . L I A B I L I T IE S . a , a , ~ , ~ , ~ o , , o ~ , , o ~ . . . . ~ depemtent children; see p p . 3 2 - 3 3 of filing lt*$tructlons.)N O N E O V o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.


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FINANCIAL DISCLOSUR E REPORT I N a m e o f P e r s o n Reporting DalofReportPage 4 of 7 I naris, ~a~k s. o 5 / ~ o / 2 o 1 0VII. 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 , . ~ t u e , r .... ,in,, (Includes those of xp ...... d dependent children; seep~ 34-60

N O N E (No reportable income, asse ts , or t ransact ions, )

D~cr ip t i o n o f Asse t s l n c o m d u r i n g i G ~ s s v a l u e a t e n d Tra~ctions during reposing ~ri~ ( i n c lud in g ~ s t a s se t s ) ~ reposing peri~ of repo~g ~

Place(X)"a~er~chas~t *~unt[ T~e(e.g., 1, Valu, ] Value T~(e.g.. ] Date ] Valet Gainexemptf~mpfiordisclosure C~el~ div.,rent, ~ C~2 ] Mth~ buy,~ll, m~d~C~e2 C~l buyer /se l l e r

I. Nationwide Life Insurance Whole Life None K YPolicy2. LincoM National Annui~

3. Virginia Retirement System Pension:4. IRA #1 D Dividend M T5. UBS Pace M o n ey Market Investment Fun,C l a s s P6. American Funds Growth Fun d of America S o l d 03 /23 /09Class F7. ING International V alue Fund Class A S o l d 03 /23 /098. PIMCO Total Return Fun d Class A9. Blackrock U.S. Opportunities A Sold 0 3 /2 310 9

IO . First Eagle Overseas Fund Class A Sold 03/23/09II. Royce Premier Fund Sold 03/23/0912 . Loomls Say les S t ra teg ic Income Fund Class Sold 03 /23 /09A13 . Oppenheimer International Bond Fund Class Sold 03123/09A14 . Blackrock Equity Dividend Fund A So ld 0312310915 . Ivy Global Nalural Resources Fund Class A Sold 0 312 3 /0 916 . Ivy Asset Strategy Fund Class A

17. Gateway Fund Class A Sold 03/23/09

(See Columns BI and D41 F ~$50,601 - $ I00,000 G -$ 100,001 $1.000.000 HIi 2. Va lue Cod e s J ~$15 ,000or ks.s K =$15.001 - .$50,O00 L =$5 0,001 - $100.000 M =SlO0.O01 . $ 250.000(See Columns CI and D3) NP.] "12.$,000,001 - 150,000,000 P 4 =Mo re than $50 ,090,0003 . Value Method Codes Q =Appraisal R =Cost (Rcal Estate Only) S =Assessment T -Cash Matkd~Sc Column C2) U =Book Value V ~Othcr W = Est imat ed


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F I N A N C I A L D I SC L O S U R E R E P O R T S a m ePage 5 o f 7 D a v i ~ ,V I I . I N V E S T M E N T S a n d TRUSTS - i.co,.e, v.t~e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of jTIlng instructions.)- - - -] NONE ~o reportable income, assets, or transactions.)..................... ~.- .................... ~ ...... .. . .~ ......... : . . . . . . . . . .c? .......... ~ ............................... b ...........................

De sc f ip fo n o r Asse t~ ,: I n c o m e d u r i n g , Gros s v a l u e a t e nd , T~ctiom during ~ing ~ri~~ (i~luding ~stassets) , ~aing ~i~ ~ offering period l

exempt frompriordiscl~u~ Code I div.,r~/, ~ C~e2 [ Meth~ buy ~11 m~d~ I C~e ~ ~ C~ I ~verl~ er(A-H)[ orient .) : ~J -P) / Code3 r e d e m p l i o n ) [ 0 1 ( ) J - P ~ ( -,: AH ( pi~ r ivate

18 . Blackrock Inflation Protect~ Bond A

19 . Delaware Diversified Income Fund Class A

20 . FTlempleton Global Bond A

21 . FT-Franklin US Govt Sec A

22 , FundPIMCOcla s s lnve s tmentA Gt ade Corpora t e Bo nd2 3 . JP Morgan H ighbr idge Sta t Marke t Neutra l

Fund A24 . Rydex/SGI Managed Futures S t ra tegy Fund

A25 . Blackrock Global Allocation Fund Inc. A

26. Oakmark Equity & Incom e Fund Class I

27 .i8 . . , , ,2 9 .


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 6 of 7I Davis, Mark S.

05/I 0 /2010

V II !. ADDITIONAL INFORM ATION OR EXPLANATIONS. ~t,a~te p ~rto/~op o,~)Vll. iNVESTMENTS ANDTRUSTS-*Th e fol lowing m utua l funds , l i s ted under IRA #1. were sold dur ing the repo r t ing per iod and the pro ceeds were re invested in the other asse ts of the IRA:Amer ican Funds G rowth Fund of Am er ica Class F, ING Inte rna t iona l Value Fund Class A, Blackrock U.S. Oppor tuni t ie s A, Fir s t Eagle Overseas Fund ClassRoyce Prem ier Fund, Loomis Sayles Stra tegic Income Fund Class A, Oppenhe im er Inte rna t iona l Bon d Fund Class A, Blachock Equity Dividend Fund A, IvyGlobal Natura l Resources Fund Class A, Gateway Fund Class A, The proceeds f rom these m utua l funds were re inve sted in the fol lowin g asse ts of the IRA:Blackrock Inf la t ion Protec ted Bond A, Delaware Divers i f ied Income Fund Class A, FT T cmple ton Global Bond A, FT-Frankl in US Govt See A, PIMCOInvestm ent Grade Corpora te Bo nd Fund Class A, JP Morga n Highbddg e Sta r Marke t Neutra l Fund A, Rydex Manag ed Futures Stra tegy Fund Class A, Blac~ockGlobal Alloca t ion Fund Inc . A, Oak.mark Equity & Incom e Fund Class 1 .


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F I N A N C I A L D I SC L O S U R E R E P O R T r ~ . ~ , , o f P e r s o n R e p o r t i n g D a t e o f R e p o r t 1Page 7 of 7 Davis, M ark S. 05!10/2010IX. CERTIFICATION.

I c e r t if y t h a t a l l I n f o rm a t i o n g i v e n a bo ve ( I n c l ud i n g i n f o rm a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t ch i l d r e n , i f a n y ) isa ccu r a t e , tr u e , a n d co m p l e t e t o t h e b e s t o f m y k n o w 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 f o rm a t i o n n o t r e p o r t e d w a s w i t h h e l d b e ca u s e i t m e t a p p l i c a bl e s t a t u to r yp r o v i s i o n s p e rm i t ti n g n o n -d i s c l o s u r e .I f u r t h e r c e rt i fy t h a t e a r n e d i n co 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 cce p t a n ce o f g i ft s w h i ch h a ve b e e n r e p o r t e d a r e i nco m p l i a n ce w i t h t h e p r o v i s i o n s o f 5 U .S .C. a p p . 50 1 e L s e q . , $ U .S .C . 7 3 53 , a n d J ud i c ia l Co n f e r e n ce r e g u l a t io n s .

Signatur

NOTE : ANY INDIV IDU AL W HO K NOW ING L Y AND W IL FU L L Y FAL SIFIE S OR FAIL S TO F IL E THIS R E P OR T MAY B E SU BJE C T TO C IV ILAND CRIMINAL SANCTIONS (5 U.S.C. app . 104)

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t io n a l c o p i e s t o :

C o m m i t te e o n F i n a n c i a l D i s cl o s u r eAdm in i s t r a t ive Of f i c e o f th e Un i t e d S t a t e s Cour t sSu i t e 2 -301One Columbus Circle, N.E.W a s h i n g t o n , D .C . 2054 4

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Mark S Davis Financial Disclosure Report for 2009