Patrick M Duffy Financial Disclosure Report for 2009

8/3/2019 Patrick M Duffy Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/patrick-m-duffy-financial-disclosure-report-for-2009 1/9

FINANCIAL DISCLOSURE REPORT n e p o r t R e q . i~ c d b y t h e E s h Z ~in Government Act ofl978

FOR CALENDAR YEAR 2009 0 v.s.c, app ,~§ lOl-ill)

I . P e r s o n R e p o r t t o l ~ ( la s t n a m e . f i rs t ~ m i d d l e i n i t ia l ) 2. Court or Organizst ioa 3 . D a t e o f R e p o r l

Duff-i , Pa trick M. U .S . Dis t r i c t Cour t 0 4 / 2 1 1 2 0 1 0

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a ~ f i v e o r s e n i o r s t a t u s ; 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 t y p e ) 6. Reporting Periodm a g i s tr a t e j u d g e s i n d i c a t e g u l l - o r p a n - q i m e }

[ ] N o m i n a t i o n , D a t e 01/01/2009

U.S. D i s t r i c t C o u r t Ju d g e [] Initial [] A n n u a l [] Finalto

1 2 . / 3 1 / 2 { ) O 9

S b . [ ] A m e ~ l e d Re p o r t "

7 . C h a m b e r s o r O f f ic e A d d r ~ s 8. On the basis of the information contained in this Report and anymodifica tions perta ining the re to , i t Is, In m y o p i n i o n , i n compliance

P . O . B o x 835 with app licable laws and regu la t ions.

Char l e s ton . S C 29 40 2

Reviewing Officer D a t e

I M P O R T A N T N O T E S : The ins t ructions accom panying this farm m ust be fo l lowed~ Complete al l par ts ,

checking the NONE box for each part where you have no reportabl~ information. ~ign on last page.

~ NON E ( N o reporlablepositions.)

P O S I T I O N NAME OF O R Q A N I Z A T I O N / E N T I T Y

I. Dir ec to r P s a r a s Founda t ion

2. Director D o o n b e g F o u n d a t io n

NONE ~o reportable agreements.)

~ PARTIeS_AND TE~S -,.? :"



FINANCIAL DISCLOSURE REPORT

Page 2 of 9 D , ,r r r , P a t r i c k M .

[

0 4 / 2 1 / 2 0 1 0

I H . N O N - IN V E S T M E N T I N C O M E . tR ~ o a r ~ n g ?ndividual and sp .... ; ,te pp. 17-2of fding Instructions.)

A. Filer’s N o n - I n v e s t m e n t I n c o m eNONE ~o reportable non-inv~tment income.)

~OURCE AND TYPE( y o u ~ , ~ t

I. 2~9 Ch~leston School of ~w $24,7~

B . S p o u s e ’ s N o n - I n v e st m e n t Income - t /. F o u .~r~ married during an.F portlon of the reporting.Fear, complete this section.

(Dollar amount n ot required except for honoraria.)

[’--] NONE (No reportable non- inves tment income.)

D A T E SOURCE AND TYPE

I. 2009 Spouse is self-employed health care consullanl

I V . R E I M B U R S E M E N T S - ,, ~ ,~ m , ,~ o n , t u d s ~ n g , ~ ’ o o , ~ e n , , , ~ a J n m , n ~( Includes th~e to x~uJe and de~ndent chlld~n: see pp. 25-27 of f i l~g ins~ctio~.)

~ N O N E (No reportable reimbursements . )

~ ~ ~ PU~OSE ITEMS PAID OR PROVIDED

1. SC A~ialion for Jmtice Au~st &8, 2~9 Hilton Head Isled, SC ~ucafion Expels for regis~fion fee, ~vel ,food~d lodging.

3.

4.

5.



Nam e of Perso e Reporting Date of ~eport

]

FINANCIAL DISCLOSURE REPORT [ Duffy, Patrick M.

04/21 /2010.age 3 of 9

[~] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

1 .

2.

3.

4.

5.

V I . L I A B I L I T I E S . an a~,~ ~o.,~ o~ ~, ..... a dependent ch i ldren; ~ee p p . 3 2 - 3 3 of filing ittsttuctions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTIO N VALIJE CODE

1 . Bank of America C r e d i t L i n e J

2.

3.

4.

5.



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 E e p o r t

PageF INANCIAL4 of 9 DISCLOSURE REPORT ] Duffy , Patrick M, 0 4 / 2 1 / 2 0 1 0

NO ~ (No reportable income, assets, or tramactio~.)

D e ~ @ t ~ n o f A s ~ l Inco~ d~ing Gro~ value a t

(t) ( 2 ) ( t ) ( 2 )

PI~ "~" ~er e~ ts~ ~nt T~ (e.g. , Va lu e V a l ~b~, sell~’ I. m~’d~x~pt ~om pr ior d i~los~e ~e I d i v . , r e n t , C ~ e 2 Me~ ~e 2 i ~ I [ buyer/~ller

(A-H) ] o r in t . ) ( J - P ) C o d e 3 ~ redemption) [ (J-P) [ (A-H) ] ( i f p r i v a t e

1. ~ward Jones Money M~et F~d A Inmrest J T

2. ~w~ Jones Money M~et Fund A lnte r~t J T

3. E d w a r d J o n ~ M o n e y M a r k e t Fu n d A Interest J T

4. G en er a l E lec t r i c Co None J T

5. Bo n d Fu n d o f A m e r i ca C L A - A me r i can A Di v i d e n d J TBo n d F u n d o f A m cr i ca

6. Fede r a l Home Loan M or t Cor p A D i v i d e n d J T

7: Inv es tment Co of Amer ica CL B - Amer ican A D i v i d e n d J TBo n d F u n d o f A m e r i ca

8. D u k e E n e r g y C o A D i v i d e n d J T

9. J ohns on & J ohns on A D i v i d e n d J T

1 0 . X L C api ta l LTD S enior Note A D i v i d e n d J T

1 1 . Bank o f America Corp None Sold 03109/09 J A

1 2 . Cl or ox Co A D i v i d e n d J T

1 3 . P eps ico Inc A D i v i d e n d J T

1 4 . Mi cm so f l C o r p A Di v i d e n d J T

1 5 . O p p e n h e ime r M a in S tre c t F u n d C I A Non e S old 0 9 /0 8 /0 9 J A

16 . P r oc tor & G ambl e Co A D i v i d e n d J T

1 7 . P u t n a m ’N e w O p p o r t C L A None Sold 0 9 /0 8 /0 9 J A



N a m e o f P e r s o n R e p o r t in g [ D s t e o f R e p o r tFI NANCI AL DI SCL OSURE RE POR T

D u f fy o P a t r ic k M .age 5 of 9[

0 4 / 2 l /Z 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . .. t . ., t r a n s a c t i o n s C t ~ c t . d e s ~o,e o / s ~ , a~a depenant c h i l d r e n ; s e e p p . 3 4 - 6 0 of firing instrucaons.)

--] NONE (No reportable income, assets, or transactions.)

A . " ..............~ ................................. d. " ................. b." .....................D e s c r i p t i o n o f A s s e ~ s I n c o m e d u r i n g Gross value at cad T r l m 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

(including m~st as,~) t ~ p o r t l n g p e r i o d o f ~ : p o r t i n g p e r i o d

’-~--I- ~ 2 ) (,~ [ ’ ~-- ...... ~ ... . . i ’-I~i[ b) .....i ~ - - ~ . . . . . . . . . . . .(~- .. . . . .P l a c e " I X ) " a f t ~ " e a c h a s s e t A m o u n tI Type (e.g., V alu e V alu e T y p e ( e . g . , i Date V alue G ain I d e n t i ty o f

C o d e 1| div., real,

]

buy, sell I m r r d d d / y y C o d e 2 C o d e I buyerlsellerx e m p t f r o m p r i o r d i s c l o s u r e Code 2 M e t h o d

(A-H) ~ o r i n L ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( f p r i v a t e

....................................~( Q - W )

. .i ]] h ’ a n s a c t i o n )

1 8 . 1 - 26 /78 As s oc ia te LLC i2 /3 0 /8 8 $60 ,0 0 0 None L R

1 9 . Ma ss Mu t u al A n n u i t y None J T

20 . Fi r s t Fede r a l o f Ch a r le s ton A Interest J T

21 . B a n k o f A m e r i c a A Interest J T

22 . As s e t All oca t ion Fund Inv None J T

2 3 . M o r g a n G r o w t h F u n d I n v A D i v i d e n d J T

24 . A I M Le i su r e Fu n d I n v C l ass A Dis t r ibu t ion J T

25 . AIM T ech Fund Inv es to r Cl as s None J T

26 . Bond Fund of Amer ica CL A- Amer ican A D i v i d e n d J TBo n d Fu n d o f A m e r i ca

27 . J o h n s o n & J o h n s o n A D i v i d e n d J T

28 . Bo n d Fu n d o f A m e r i ca C L A - Am e r i can A D i v i d e n d J TBo n d F u n d o f A m e r i ca

29 . U ni ted T echnol og ie s Cor p A D i v i d e n d J T

3 0 . Fede r a l N~l iona l M or t As s n Me d T er m Note A Interest J T

31 . A m e r ica M o vi l S A D E C V A D i v i d e n d J T

32 . C ap i t a l I n co m e Bu i l d e r Fu n d A D i v i d e n d J T

33 . Allian c e B cms t¢ in B a la n ce d W e alth S tra t Non e S old 09/08/09 J AF u n d C L A

34 . C e n tra l Eu ro p e a n D isl C o rp No n e J T

(~ ~ CI ~ 03) N ~2~1 - $~.~ O -$5~.~1. $ I,~,~ P I ~ I,~,~1 - $5.~.~ ~ -$5.~,~1.

~ ~l~ ~) U=~k V~ v ~ w -~



N a m e o f P e .... R e p o r t i n gF IN A N C IA L D IS C LO S U RE R E P O R T

[ Duf fv , Pa t r i ck m.a g e 6 o f 9 . 0 4 / 2 1 / 2 0 1 0

NONE ~o reportable income. ~sets, or transactiom.)

[ .... ~ ....... c: ...................Desc~pt~a of Asse~

/la~d~ng Gm~ value a t end T r ~ s ~ fo n s d ~ n g ~ m i n g p ~ i ~

(i~lu~g ~ ~e~) ] _~oaing p~i~ of ~aing p~

~,~ ’l---~ .....0 - ; . . . . . . . . . ~ 3 - (, TPI~ "(X)" af te r e~ s~et l ament [ T~ (e .g . , Value [ Value T~e (e.g., D a t e / V a ~ u * ~ G a i n Identi~ of

~m~ordimlos~e ] C ~ = I/ a’~.,=~ C o ~ ] ~ * ~ a b ~ . ~ = " , I~O~./~a== [C~I buy~/mlle ,(A-H) J orinL) { J - P ) } Co~3 r~emption)

/ {J-P) [(A-H)( i fp r i v ~

....... ! ................ 5 ~ - 7 ~ . . . . . . . . . . . . . .

35 . S C A G O ~ u ~ ti o n M F A C S P i c k e ~ ~h None J T B u y 0 ~1 0 /0 9Dist SC ~11Rev

3 6 . B~wine Blue Fund A Di v i d e n d J T B u y 09 / 14 / 09

3 7 . C o l u mb i a M i d C a p V a l u e F d C I Z A Di v i d e n d J T B uy 09114/09 J

3 8 . D o d g e & C o x i n c o m e F un d A Di v i d e n d J T B u y 09/14109 J

3 9 . D o d g e & C o x I n t l S to c k F u n d A D i v i d e n d J T B u y 09114/09 J

4 0 . DW S Sm al l C ap Val u e Fu n d I n s t l A Di v i d e n d J T B u y 0 9 1 1 4 1 0 9 J

41 . Fi d e l i ty Ne w I n s i g h t s Fd l as t l A Di v i d e n d J T B u y 09 / 14 / 09 J

42 . G o l d m a n S a c h s G r w & I n c m F d I A Di v i d e n d J T B uy 09 / 14 / 09 J

43 . Har t f o r d Div idend & G r owth I A Di v i d e n d J T B uy 09 / 14 / 09 J

4 4 . J P M o r g a n C o r e B o n d F u n d S e l e c t A Di v i d e n d B u y 09 / 14 / 09 J

45 . J P M o r g a n C o r e B o n d F u n d S e l e c t None S old 10/02/09 J A

46 . Jp m Fe d Mo n e y Mar k e t l ~ t l C ! A Di v i d e n d B u y 09 / 14 / 09 J

47 . Jp m Fe d Mo n e y Mar k e t I n s t l C ! None So ld 10/02/09 J A

48 . JPMo rgan High Yield Fd Selec t A Dividend Bu y 09/14/09 J

JPM o r g an t t i g h Yie l d Fd Se l e c t None So ld 1 0 1 0 2 1 0 9 J A

50. Lord A b b e t t T o t a l R e t u rn F d F A Dividend B u y 0 9 1 1 4 1 0 9 J

5 I . Lord Abbe t t Tota l Re tu rn Fd F None S old 10/02/09 J A



FINANCIAL DISCLOSURE REPORT r ~ . ~ . e o r e e , , o . R e p o r t i n g

Page 7 of 9 p u n y , P a t r ic k M . 04~ ! /2010

V I I . I NV E S T M E N T S a n d T R U S T S - ~ ....... ~, t ..... tMm ancl~ ~ose of ,~aM demeri t chi ldren; set p~ 34-60 of f!~ng

~ ~o re portable incom e, ~sets, or t ransact ion. )ONE

A. B. C. D.D ~ f i p t i o n o f ~ s ~ I n c~ e d u r i n g G r o ~ v M u c a t e n d Tran~ons during ~ng

( including ~st asse~) r ~ n ~ g p e ~ o d of ~ing

PI~ "~)" ~ ~ch ~srt ~nt T~ (e.g., Value I Value T~¢ (e.g., Dam [ Value ] G~ / Id:nti~ of~empt~ompr~rdi~losure ~1 ] div.,~m, C o d e 2 t ~e~od buy , ~l l , m~ C~2 ~C~el

(A-H) [ or in~) O ’ P ) I C~3 ~mptlon) ! I (J’P)](A-~ / ( i f p r i v a t e

52 . O p p n h ~ C m d S ~ a t Td R m C I Y A D i v i d e n d B u y 0 9 1 1 4 1 0 9 J

53 . Op pnh mr Cmd S ~a t T t l R m C l Y None So ld 1 0 /0 ~0 9 J

54 . O p p ~ h e i m e r l n tl B o n d F ~ d Y A D i ~ d e n d B uy ~ / 1 4 / 0 9 J

55 . ~ p e ~ e i m e r In t l B o n d F u n d Y S old 10/0~ J A

5 6 . P i o n e e r F u n d C l Y A D i v i d e n d J T B u y 09/1~,/09 J

5 " 7 . T hombur g Inv t T r V al ue Fd I A D i v i d e n d J T B u ~’ 09f1 4/09 J

5 8 1 V i r t ~ F ~’ g n O p p t s F d C I I A D i v i d e n d J T B u y 0 9 1 1 4 1 0 9 J

59 . V ir tus Fr gn Oppts Fd CI 1 None So ld 10/02 /09 J A

6 0. Virtus Real Estate Sees CI I A Div idend J T Bu y 09/14[09 J

6 1.

6 3.

I . I /r , eom¢ Gai~ Codlin A "$ I ,~0 0 o r le ts B - $ 1 ,0 0 1 - $ 2 ,5 0 0 C = $ 2 ,5 0 k - $ ~ ,0 0 0

¯ (S~ Columns BI lind IV) F ~50,001 - $100,000 G = S t0 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0 H I = 1 1 , O O 0 , 0 0 1 - $ 5 , 0 0 0 ,0 0 0 H 2 = M o ¢ ~ t h a n

2 . V a l t m C o ~ ’ t J -$1 $ . 000 o 1 le . ~ K ~$ 1 5 .0 0 | ¯ $ 50 .0 0 0 L - $ $ 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M - $ 1 0 0 . 0 0 1 -

( S e t " C ol u r an l C I and O3) N - ~ 2 s n , 0 0 1 - $ 5 0 0 , 0 0 0 O = 1 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 P I , = $ 1 , 0 0 0 . 0 0 1 ¯ $ ~ i,O00.O 00 P2 1 5 5 , 0 0 0 , 0 0 1 -

p2 l - $ 25 ,0 0 0 ,0 0 1 - $ 50 .0 0 0 ,0 0 0 P 4 = M or~ t h ~ t~

. 1 . V a l u e M c t h o ~ C o d a Q -Al:~a~l R - C o s t ( R e a l E s t a t e O n l y ) S - A s * e s s t t m m T = , C . ~ h M a r k e t

(S~ ,~. ,o] urea C2) U - BO ok V a lu e V ,=Othe r W = F . t t imat e d



N tm e o f P e ~ ’ s o n R c p o r t ln 8 D a t e o f R e p o r t

FINANCIALpage S of 9 DISCLO SURE REPO RT z ~ , , r ry , P a t r i c k M . 0 4 / 2 1 / 2 0 1 0

VHI. ADDITIONAL INFORMATION OR EXPLANATIONS.



FI NANCI AL DI SCL OSURE R E PORT

P a g e 9 of 9 o n f r y , P a t r ic k

IX. CERTIFICATION.

! ce r t i fy t h a t a l l i n f o r m at i o n g i ve n ab o v e ( i n cl u d i n g i n f o r m at io n p e r t a i n i n g t o m y sp o u se an 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 an y ) I s

accura t~ t rue , and comple t e t o t he be s t o f my know ledge and b e l i e f , and t ha t any i n fo rma t ion no t r epo r t ed was w i t hhe ld becau se i t me t app l lcable s t a tu to ryprov i s ions pe rmi t t i ng non-d i sc losure .

I f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r ia 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 i c 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 i an ce w i t h t h e p r o v i s i o n s o f 5 U.S .C . ap p . § 501 e L se q ~ 5 U.S .C . § 7353 , an d Ju d i c i a l C o n f e r e n ce r e g u l a t i o n s .

S i g n a t u r e

N O T E : AN Y I ND I V 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 I F IE S O R F A I L S T O F i L E T HI S R E P O R T M A Y B E S U B J E C T T O C I ’ ~ ILA N D C R I M I N A L S A N C T IO N S ( 5 U . S . C . a p p . § 1 0 4 )

FILING INSTRUCTIONS

M a i l s i gne d o r i g i na l a nd 3 a d d i t i ona l c op i e s t o :

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a ti v e O f f i c e o f t h e U n i t e d S t a t e s C o ur t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Patrick M Duffy Financial Disclosure Report for 2009