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any applicable

______________ ____ _

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2.

_Rev. 112008

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

2. Court or Organization

Report Required by the Ethics in Government Act of 1978, (5 U.S.C. app. §§101-11 I)

I. Person Reporting (last name.first, middle initial)

Bates, John D. U.S. District Court for the District of Columbia

3. Date of Report

March 11, 2011

4. Title (Article II/judges indicate active or senior status; magistrate judges indicate full- or part-lime)

Sa. Report Type (check appropriate type) 6. Reporting Period

_ Nomination, Dale 1/1/20!0 to 12/31/2010

FinalDistrict Judge - Article III (active) Initial Annual

Sb. _Amended Report

7. Chambers or Office Address

333 Constitution Ave., NW Washington, DC 20001

8. On the basis of the information contained in this Report and modifications pertaining thereto, it is, in my opinion, in compliance with laws and regulations.

I Reviewing Oflicer Date

IMPORTANT NOTES: The instructions accompanying thisforni ·must befollowe<L Complete al/parts,

checking the NONE box for each part where you have no reportable infori'1ation,' Sign on last page,

I. POSITIONS. {Reporting individual only; see pp. 9-13 of Instructions.)

./ NONE (No reportable positions.) .

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of Instructions.)

[] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

.: :)

.----- · · _. ,..

:> .. ,

·-:-.1 -·. il -11 --CJ ,.,

-

.:;J

.c

-o

-.? <Jl <.Fl

III. N0N-JNVESTMENT JN COME. (Reporting individual and spouse; see pp. I 7-21 of Instructions.)

A. Filer's Non-Investment Income

[J NONE ( No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME

I. $

$

3. $

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, please complete this section (dollar

amount not required except for honoraria).

D NONE (No reportable non-investment income.)

I. 2010 .... Washington, DC

2.

Bates, John D.

Pers-on_

R_

e-porting

- ·--D-at -o-fR-epo;-· D _.

_

B

_

a

_

te

_

s ____ I a

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t t-------- -··-·------

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-------- -- ------ --·--·------ ·---------·----··-------------- ----·-----------

----------

- --·------- -·------------------------

-------------

I l I.

· fame of --- · FINANCIAL DISCLOSURE REPORT John . ___ ._ M rch 11, 2011

J

IV. REIMBURSEMENTS - - transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children. See pp. 25-27 of Instructions.)

D NONE (No such reportable reimbursemen s.)

SOURCE DATES LOCATION PURPOSE ITEMS PROVIDED OR PAID

I.

2.

The Center for the Consti ution

6/1512011·6/1612011----· --

Montpelier S ation, VA Non·FJC Educational Seminar

--

Meals, lodging, and vehicle expen e (mileage)

-- --- -------···-··

3.

4.

5.

6.

7.

V• GIFTS. (Includes those to spouse and dependent children. See pp. 28-J I of Instructions.)

[J NONE (No such reportable gifts.)

DESCRIPTION

I. s

2. s

3. s

4. s

VI. LIABILITIES. (Includes those of spouse and dependent children See pp. 32-JJ ofInstructions)

./ NONE (No reportable liabilities.)

CREDITOR DESCRJPTION VALUE CODE

2.

3.

4.

5.

-- ----------

] arch 201-1-

----- --�-

A.

!I_ Ab l I

r-------------···------+-----r----

5

6

I 11

I 9

·

- -+------_J I i

_::-BT G _u_p_P_Lc--------- -+----+-----+---1-----+-------t----;------.---r----------

! I

2

3

Name of Person Reporting FINANCIAL DISCLOSURE REPORT

John D. Dates Date of Report

-· JI,

- -------·

VII. Page 1 INVESTMENTS and TRUSTS - income, value, transactions (lncJudesthoseof spouseand dependen1 children. See pp. 3 4-60 of In.st ructions.)

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

j I Wachovia I Wells Fargo Account I . I

1-j2Gl\iorganStantey siliitbn·amey ._ iRA;•; c

4 -- Conoco Phillips -Common

- Auto Data Proc - Common

-- Amer Cap Str (Ltd) -Common

-- Adobe Sys • Common

-- Apple Inc. ·Common

•• Banlc of Amer· Common

I 0 - Baxter lnt1 • Common

i

----, A Di,idend K

B Dhidend K

None

·-1None K

A Dividend

A Dividend

T buy

T

T

T

T

sell

812

918

K

K D

A Dividend T I t 2 ·- CISCO Sys. Common

13 - Chevron Corp. Common

l 4 - CINN Financial Corp. Common

15 - niinois Tool Works Common

- Dow Chem Common

17 - Dreyfus Money Market

A Dividend

B Dividend

A Dividend

A Dividend

c Dividend

K T

K T

K T

---1 K T buy 812

K T

M T buy/sell K A

jName Perso I

--

I 1 -

-

Comm

-

on

-- ------- -

D

-

i

-

vid

-

e

-

nd T --K--i 1--1--r-_______ ____ __,r----t---

N-o_n

_e--+-----+---

T ,--

I I ·-------------<

r-------------

= --JP-Morgan-Ch-ase & o. c_orn_m n

--

---- --A---D-iVJ-·d_e_nd--<--K--+---T--l-------"----1-----+---+-----------l

r------1----+----"�_J___ .��____._--+-------

i -

--i

-----+--+------+----+-------+-_,_____,._--

1--------------+---+----r---+---+-----+----,----l---+-----------l

134

2

3

FINANCIAL DISCLOSURE REPORT of Reporting

- -- - -

John D. Bates

VII. Page 2 INVESTMENTS and TRUSTS income, value, transactions (includes those of spouse and dependent children. See pp. 34-60 of instructions)

L__

NONE (No reportable income, assets, or transactions)

!is - Enterprise Pr:d

--

T

--

I · 19 -- FISERV Inc_

!20 -HP Common

21 -- Home Depot Common

:22 - HCC Ins. Hldgs - Common

i23 -- lnt'I Game Tech_ - Common i

----1--

A . Dividend K T

A Dividend K T

A Dividend T

A Dividend T

25 - Johnson & Johnson - Common A Dividend K T buy 812 J' 26 - L3 Commu - Common A Dividend T

127 -- Marriott Int'I - Common A Dividend K T

r-------1 /28 - McDonald's - Common A Dividend K T

c----: 29 - MetLife - Common A Dividend T

I3 0 -- Morgan Stanley - Common

-· Vodaphone Group Common

132 - Omnicon - Common

3 3 - Pfizer - Common

- Pepsico - Common

A

A

A

A

Divide nd T

None K T buy 8f2 K

Dividend T

Dividend K T

Dividend T

-. ---. --.-.-. -

I [3

! I

i36

m i

1-'--, I

i

I

2

3

FINANCIAL DISCLOSURE REPORT

VII. Page 3 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.)

. ... ..

,-- NONE (No reportable income, ,_J assets, or transactions) ·-·--r -· --·1 ------,: J ' T-· Principal Fin'l - Common A Dividend

- Procter & Gamble • Conunon B Dividend K T

--·-- --··--·-

-· Sempra Energy - Conunon A Dividend T

i38 -- Staples - Conunon A Dividend T

i39 -- TJX Co. - Conunon A sell 1211 D

spinoff 1f2

40 - Frontier Commu. Common

sell 7121

141 - United Health • Conunon A Dividend T

j42 -- Verizon Common B Dividend K T

------r-------

-Am. Elec. Pwr.·Preferred B Interest K T buy 2118 K

- Dominion Res. - Preferred B Interest K T buy 2118 K

- Prudential Fin1 • Preferred B Interest K T buy 2118 K

- XCEL Energy· Preferred B Interest K T buy 2118 K

!43 MorganSunlcySmithBanicy ·Joint

44 - AXA Equitable Life Annuity None K T

____J 45 - AES Corp. Common None T

INAN IAL SCLOSURE J:"""w"'' "' n�:e:--�--1 J

I r-------·------------ --_.... __ ·--T

i

i

------�-+-----1------+----�<---+-� ----

15_6_ -_-_Fi-sc_r

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K---r----T--1---

se_u __ ...,----8/-30-1r-----'---+-----·--- ----.I,

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________ l 15

162 _ _,__ __ _L_ ____ Ll __ --'-------'----�-.1---'---- �--- �- ----

2

3

REPOR John o. : ';:;,, VII. Page 4 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.)

' -- NONE ___ I

(No reportable income, assets, or transactions)

------

-­-

--

-­­

! i

1 so -Davita Inc.

52 - Electronics for Imaging

! 53 --Energy Transfer Ptns LP

i54

A

None

Div dend

Interest

None

None

Dvidend

--------1

T

K T

K T

T

T

T

55 I--i

8 - Halliburton Co. Hldgs.

i 59 - Howard Cty. MD Bond

60 - Intuit Inc.

I6 I - MD Depl HSG&Comm. Dev Bond

- NY Com m. Banc o .

A

D

A

Dividend

Interest L

None

Interest K

T

T

T

T

A Dividend T

Continued on attached pages -- Section VII, pages 5 - 7

·;;t--;·"'·.i.. •.,.·_

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B=t- ,-· t--t---t------- ·--->-------+

r-7_3_. _--_B_r_i s_to_l_M_ye_r_s_s_q_u_ib_b ____ --+-A--+-

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se K

I I I -t---i------r---__,

Date of Report FINANCIAL DISCLOSURE REPORT

- -- -- ---· .. March 11,2

VII. Page 2._ INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.) -. -. · •· _ . ::i!.<.: ·<---

[] NONE (No reportable income, assets, or transactions)

i ! 64. -- PG Cty. MD Bond

165. --Powershares Ex-Traded Fund

IDynamic Biotech & Genome

, 66. -- Schwab Chs. Corp.

'67. -- Time Warner

68. -- Group

-

69. -- United Health Common

70. -- Univ. System MD Bond

71. -- Western Union Common

72. -- Wash. Sub. San. Dt. MD Bond

B · Interest L

None J A Dividend J

A Dividend K

A Dividend J

A Dividend i K

A [ Interest K

A i Dividend J

8 i Interest L

I T

T

T

T

T

T

_174. -- Vodaphone Group PLC None i ! sold 10n1 J B

'75. -- Europacific Growth Fund

MorganStanleySinith ·Bih:ney:,; ;;.,J 76. --AT&T Inc. Common

77. -- Cameron Int'l Common

None buy ,

i B

B Dividend K T

None J T

--pc5giptioi1-0f (mcludmg

/ 179. ommon

m

Divi J I

t-------------+--+-----+---1 ---t------r---r---1-------

L r-,8-.,,8-.----IS_h_a- re_ s_D_ o_w_J_o_n

_es

_U_S_H

_e_al-th_C_ar_e-,----+- --1f---

J- -

T-- ----+---t-

I

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D-iv

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-d

-+--J

- r--T

---+--- --+----+----+-- ---- r-9_1_._--_Me_ d_t r _o_ n _ic_c_ o_mrn _ _ o_n ____ -1---

A -D-1 _·v_ id_ e_n_d.J--_K_ r--T-- ---,r-----+---t-- ----r-- - -r---

-

-

-

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rt-e_m_i_c_o_nd_u_c_to_ r _s _________ --11----J..---+----.----r------+---+----+---------- 4.--

A..

--!T N one

I

FINANCIAL DISCLOSURE REPORT

VII. Page __&. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of · spouse and dependent children. See pp. 34-60 of Instructions.)

--.', _,_ Asse -. -trt!st assets) - -- -

D NONE (No reportable income, assets, or transactions)

1s. - Centerpoint Energy Common

-- Colgate Palmolive

A

B Dividend

T

K T

T80. -- Conagra Fooods Common A Dividend J

var.1 J T81. -- Dreyfus Money Market A Dividend K T buy/sell

sell82.-- Forest Oil Corp. Com on None

83.

A ·Dividend

I · 86.-- !Shares TR-DJ Tranps. Index Fund A ·Dividend J T

i

84.-- HCC Ins. Hldgs. Common TJ

) 85. -- Hain Celestrial Group Common TJI

j 87. -- IShares TR Global Ind Index Fund ; A Dividend J • I·-1T -·A Dividend'Providers Index Fund

189. -- IBM Common A Dividend K 1;·

92. - Pactiv Corp. Com on None merger 11117 J B 3.-- Powershares Dynamic A Dividend J T

Powershares Dynamic Media ortfolio A Dividend J T

--

I f Oj,;d

·

-H-T

_

None - .

I I !

I

loivid nd

I

I

I r ·

==

VII. Page 2 INVESTMENTS and TRUSTS income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.)

D NONE (No reportable income,

assets, or transactions)

f5.--Select Spector SPDR Energy A

A Dividend J T

S&P No Am Tech Software Inde>

.--SPDR Index SHS FDS DJ Wilshire t'I Real Estate

8.--SPDR TR S&P Retail ETF

9.--SPDR SER TR KBW CAP MKTS TF

I 00.-SPDR SER TR KBW BK ETF

l 01.--SPDR SER TR KBW INS ETF

I 02.--United Tech Common

103.--Vanguard Consumer Staples ETF

104.--Vanguard Health Care ETF

1105.--Vanguard Info Tech ETF

I 06. --Vanguard Int'! Equity (European) TF

l 07.--Wisconsin Energy Holding ommon

A

A

A

A

A

B

A

J T

Dividend: J T

Dividend·

•Dividend J T

Dividend J T

Dividend J T

Dividend• K T

Dividend' J T

A J T

A Dividend 1

J j T --r

A Dividend J T

sell J B

-----

108.--TIAA CREF Ret. Acct. - C None K T buy var. J

Signature f ··--· ·· 1r-------WILFU tt:L'lll IC;:> VI\: 1 RIL'l 10 1 ice In}S

FINANCIAL DISCLOSURE REPORT

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)

IX. CERTIFICATION.

I certify that all infonnation given above (including infonnation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any infonnation not reported was withheld because it met applicable statutory provisions pennitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 50 I et. seq., 5 U.S.C. § 7353 and Judicial Conference regulations.

. -,---·

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104.)