Andre M Davis Financial Disclosure Report for 2009

8/3/2019 Andre M Davis Financial Disclosure Report for 2009

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1 o I FINANCIAL DISCLOSURE REPORT Report Required by the Ethicsin Government Act o f l978R ~ v . 1 / 2 o l o [ F OR C AL E NDAR YE AR 2009 d u . s . c , a p p , . ~ 1 0 1 - 1 1 1 )I. Person R eporting (last name, first, m~d~l initial) 2. Court or Organiaafion 3. Date of ReportDavis, Andre M. Court of Appeals for the Fourth Circuit 05/15/2010

4~ T itle (Article IIl judges indicate active or senior status; 5a. Report Type (ch eck appropriate type) 6. Reporting Periodmagistrate judges indiea~-e full- or part-time) [] Nomination, Date 0110112009Circuit Judge [] Initial [] Annual [] Final to12/31/2009

5b, [] Amended Report7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in complianceU S Court.house with applicable laws and regulations.101 W. Lombard StreetBaltimore, MD 21201 Reviewing O fficer Date

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,ch eck ing th e z VON E b o x f o r each p ar t w h ere yo u h ave no rep o r tab le in f o rm at io n . Sign o n l as t p age .

I . P O S I T I O N S . ~R,po,i.gD N O N E ( N o r e p o r t a b l e p o s i t i o n s ,)

POSIT ION N A M E O F O R G A N I Z A T I O N ! E N T IT Y1. Member University of !rID School of Law B oard of Visitors2. Member University o f MD School of Law Dean Search Committee3. Instructor University of MD School of Law

4. Instructor National Judicial College5. Lecturer Pass the Maryland Bar, Inc.6. Director Open Society Institute-Baltimore

7. Member of the B oard B altimore U rban Debate League, Inc.8. Membe~ of the Boaxd Community Law in Action, Inc.

~ N O N E ( N o r e p o r t a b l e a g r e e m e n t s .)D A T E P A R T I E S A N D T E R M S

1.


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N ame of P erson Reporting Date of ReportF I N A N C I A L D I S C L O S U R E R E P O R T o a~ s, A . d re , a.Page 2 of 1 1 0 5 / 1 5 1 2 0 1 0

I II . N O N - I N V E S T M E N T L N C O M E . (Reporting individual andsp .... ; s e e p p . 1 7 - 2 4 o f f d i n g i n s t r u c t i o n s . )A. Filers Non-Investment Income

N O N E ( No r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e . )D A T E SOURCE AND TYPE ~COME(yours, not spouses)

I. 12/24/2009 State of MD $3,750.002.4/I/2009 Pass the Maryland Bar, Inc. $1,008.003.4.

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 - t ! ~ o u w e r e married d u r i n g a n y p o r t i o n o f th e r e p o r t i n g year, omptete this section.( D o l l a r a m o u n t n o t r e q u i r e d e x c e p l f o r h o n o r a r i a . )

[~ NONE (No r e p o r t a b l e n o n - i n v e s tm e n t i n c o m e . )D A T E SOURCE AND TYPE

I. 1213112009 Self Employed Education C onsultant2.3.4.

I V . R E I M B U R S E M E N T S -, . . .~po.,~t~. , taZZ~,g,!ooa, e.,..,.," .... .( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n , " s e e p p . 2 5 - 2 7 o f f i lm s i ~ t ru c t i o n s )

~ NON E (b~ r e p o r t a b l e r e i m b u r s e m e n t s . )~ DATES LOCATION PURPOSE ITEMS PAID QR PRODDED

1 . H arv ard L aw Sc ho ol September Cambridge, MA InstmctouTfial Advocacy Transpoflation, Lodging, and Food28-October 2, 2009 Course2. V illanova ~w School Febma~ 2 I, 2009 V illanov~ PA Moot cou~ Tr~spo~ation, ~dging, ~d Food3.4.5.


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N ame of Person Reporting Date of ReportF I N A N C I A L p a g e 3 o f 1 1 D I S C L O S U R E R E P O R T D a v i ~ , A n ~ r c ~ l .

V . G I F T S . a n c l , d ,, ,h o ~ ~ ~ o ~ , ~ ~ , ~ , ~ , ,~ i ~ , ~ ; ~ , ,~ . : ~ . ~ o / ~ i ~ instr~tia~,)N O N E OVo reportable gifts.)

S O U R C E D E S C R I P T I O N1 .2,3,4.5.

V I . L I A B I L I T I E S . a,a ,a, , tho,, o~, ,~ . . . . ..~ dependent childre. see p p . 3 2 - 3 3 off c l ing instruc tions.)~ N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E CO D EI, S o v e r e ig n B a n k M ortgage on Rental Property/Eastham, M A O2.3.4.5.


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Name of Person Reporting D a t e o f R e p o r tFINANCIALpage 4 of 1 1 DISCLOSURE REPOR TD a v i s , a n d r e l ~ l . 0 5 1 1 5 1 2 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 - income, value, tr .... rion.~ (Includes thos, Of spO ..... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f . f i l i n g i r . ~ t t u c l i o n s . )~] N O N E (No reportable income , asse~s, or transactions.)

A. B. C. I 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 r o s s v a l u e a t e n dI

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

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n T y p e ( e . g . , Value Value T y p e ( e g ., D a t e Value I C,a~n I d e n t i ty o fe x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r c ~ t , C o d e 2 M e th o d b u y , s e l l , m m / d d / y y C o d e 2 Code I b u y e r / s e l l e r( A - H ) o r i n t . ) ( . L P ) C e 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 e( Q - W ) h " a n s a c t i 0 n )

I. Citibank Accounts A Interest K T2. Capital One Accounts A Interest J T3. Bank or" America Accounts A Interest K T4. Google Common Stock None Sold 06/08/09 K A5. Legg Mason Common Stock A Dividend Sold 01/29/09 K A6. Roper Indus. Common Stock A Dividend B uy 01 / 06 / 09 J7. -- Sold 04/14/09 J A( p a r t )

] 8 . - * So ld 05/27/09 K A9. Suntech Power Hldgs Common Stock None B uy 02/02/09

1 0 . - - Sold 05!21/09 K DI I 1 . AES Corp. Common Stock None B uy 0 4 / 0 7 1 0 9 J

1 2 . - - B uy 04/14/09 J( a d d l )

1 3 . - - Sold 06/19/09 K C1 4 , Apartment Investment & Management Co A Dividend B uy ! 0 1 / 0 6 / 0 9 JClass A Corrunon Stock1 5 . - - B uy 0 2 . / 1 3 / 0 9 J(addl)1 6 . - - B uy 04/07/09(~dl)1 7 . - - B uy 04/14/09 J(addl)


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. N a m e o f P e r s o n R e p o r t in gPageFINAN CIAL5 of 1 1 DISCLOSURE REPORT o a ~ s , A n d r e 51 . ] 0 5 / I 5 ! 2 0 1 0

~I. INVESTMENTS and T R U S T S - in ...... lue. t t . . . . ctions (Inclu~s those of spouse and decadent children; se,pp. 34-60 of filing ins~uctM ns.),NONE ~o reportable income, asse~, or transaction.)

A . B. C . D.D e s c r i p t lo ~ o f A ~ s ~ s In.me during Gross v~ue ~t end Zr~actio~ du~ng reacting period(including t~st ~s~) reposing period of reposing period

Place "{X)" after ~ch ~et Amo~t/ Type (e.g, Value/ Value Type (e.g., I Date [ Value Gain I d e n 6 t y o f( A - H ) orint) (JP) / Code 3 r e d e m p t i o n )

1 8 . - - Sold 05/27/09 K C1 9 . BankofAmerica Common Stock A Dividend Bo y 01/06;09 J(addl)2 0 , - - B uy 01/20/09 J

(addl)2 1 , - - B uy 01/29/09 J(addl)2 2 . -- B uy 0 1 1 1 3 / 0 9 J(addl)2 3 . - - Sold 02/24/09 K C( p a r t )24. - - Sold 05/12/09 J D( p a r t )25. - - Sold 0 6 / 0 8 1 0 9 J D2 6 . Clean Energy Fuels Corp. Common Stock None B uy 02/24/09 J27 . -- Sold 06/04/09 K D2 8 . General Electric Com mon Stock A Dividend B uy 01i29/09 J(addl)29. -- B uy 02/13/09 J(addl)30. - - Sold 06/04/09 K A3 1 . Hewlett Packard Com mon Stock A Dividend B uy 01/06/09 J(addl)3 2 . -- B uy 02/13/09 J(addl)

3 3 . -- Sold 06/04/09 K B34. Johnson & Johnson Common Stock None Sold 02/13/09 K A

1. Income Gain Coder: A =$ I.O0o tx le!;s B =St,001 - $2.500 C =$ 2.501 - $5.000 D = $ L001 - $ 15.000 E = I15.001 -$ 50,000(S~ Colum ns B I and D 4) F =$ 50 ,6 01 . $ 10 0.0 00 G = $ 10 0.0 01 - $ 1,0 00 .0 00 I1 1 = $ 1,0 00 ,0 0! - $ 5,0 00 .0 00 H2 =More :ban $~.000,0002. Value Codc~ J -$15,000 or It~ K =$1~,001 - $50,000 [. ~$50.001 - $ 100.O00 M =$ 100,001 - $250,000(~ee Colum.nr (21 an~ D3) N =$250,001 . $500.000 O =$500.00l - $1,600.000 PI =$1.0O0.00t - $ 5.000,000 P2 = $ 5 , 0 0 0 , 0 0 1 -P3 =$ 25,000.001 - $ 5 0,000 ,000 P4 =More tb.an3, Value: Method Codes Q -Appraisal R ~C ogt (R eal Estate Only) S =A ssessment T =Cash lvlacket{See Column Cl) O =Book Va/ue V =Other W = Esumated


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F I N A N C I A L Ia m e o f P e r s o n R e p o r l in g D ~ t e o f R e p o r tD I S C L O S U R E R E P O R T[ D a ~ , A n d r e ~ . 0 S / 1 5 / 2 0 1 0age 6 of 1 1

V I I . I N V E S T M E N T S a n d T R U S T S -- i . .. .. . . . ~ , , .. .. .. r i o . $ a , , a . a e ~ , ~ o ~ , o l . p . .. .. , f a e ~ . . . d ~ . , ~ . ; r ~ o p p . ~ - ~ o o s Y a i . g i .~ , ~ o , , ~ ;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 in gI

G r o s s v a l u e a t 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 ) ~~1) (2) (I) (2) [ (3) (4) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T y p e ( e . g . , Value [ Value T y p e ( e . g ., Dat~ I V alue G a i n I d e n t i ty o fe x e m p t f r o m p r i o r d i s c lo s u r e Code I d i v . , r e n t , C o d e 2 M el h o d b u y , s e l l , m m / d d /y y ] C o d e 2 C o d e 1 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 e

! 3 5 . Merck Common SIock A D ividend Sold 06/04/09 K A3 6 . Qwest Communications Common Stock A Dividend Sold 0 6 1 0 4 1 0 9 K A3 7 . Starbucks Common Stock None B uy 0 1 1 2 9 / 0 9 J3 8 . Sold 04115,09 K B3 9 . Verizon Common Stock None Sold 01i16/09 K A40. Lines 40 to 78 report CLOSED-END andEX C HANG E TR ADED F U NDS4 1 . India Fund None K T Sold 01/06/09 K A4 2 , 1Shares Silver Trust A Distribution J T Sold 0 2 1 2 4 / 0 9 J D( p a r t )43. IShares S & P Global Clean Energy A Dividend Sold 02i02/09 .1 A4 4 . IShares MSCI Brazil Index None B uy 05/27/09 K4 5 . -- Sold 06/08/09 K A4 6 . IShares IlK China Index None B uy 05/27109 K47 . - - Sold 06/08/09 K B4 8 . IShares MSCI em erging Markets Index None B uy 04/14/09 K4 9 . - - B uy 04115/09 J(addl)5 0 . -- Sold 06/04/09 K D5 1 . M~rgan Stanley China A Shares Fond A Dividend B u y 01/06 /09(addl)

Val~ Method C~cl Q -Appraisal R ~ost (R~I ~tat Only) S ~sment T ~ash MuratColumn C2) U


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FINANCIAL DISCLOSURE REPORT [ N ~ m e o f P e . .. . a e p o r t i n ~Page 7 of 11 ] ] Davis, Andre M. 05/15/2010V I I . I N V E S T M E N T S and T R U S T S -. i . . . . . . . . l,~, t . . .. . . tl o r t ~ ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t ru c t i o n s . )[] NONE (Ao reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p o f A s s e t s 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 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 ~ . c l u d i n ~t assets) 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 ) ( 1 ) ( 2 ) (13 ( 2 ) ( 3 ) ( 4 )P l a c e " { X ) " : r e a c h a s s e t A m o u n t T y p e ( e g , Value Value T y p e ( e . g ., D a t e Value G~un i I d e n t i t y o fe x e m p t f r o m l o r d i s c l o s u r e Code l d i v . , r e n t , Code 2 M e t h o d b u y , s e l l , m m / d d Y y ~ C o d e 2 Code II b u y e r / s e l l e r( A - H ) o r i ~ . 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 e( Q - W ) t r a = s a c t i 0 n )

5 2 . -- Sold 01129/09 K A

5 3 . Powershares Wilderhill Clean Energy None B uy 02/02109 JPortfolio (addl)1 5 4 .. B uy 04114/09 J

(addl)5 5 . - - B uy 04116/09 J(addl)

5 6 . -- Sold 06/04/09 K D

5 7 . Pov,ershares QQQ Trust Series 1 A Dividend B uy 04/14,09 J(add ] )5 8 . -- Sold 04 i07109 J B(part)5 9 , - - Sold !06/04/09 K D6 0 , Powershares Ex Traded FD Dynamic Clean A Dividend K TTech Port Trust6 1 . Powershares Golden Dragon Halter USX A Dividend K TChina Portfolio (X)6 2 . Royce Micro Cap Trust None B uy 01/29/09(addl)6 3 . - - B uy 02/02/09 J(add l )6 4 . - - B uy 03/06/09 J(addl)

- B uy 0 5 / 1 8 1 0 9 J(addl)6 6 . -- Sold 06/04/09 J

6 7 . Royce Focus T rust, Inc. A Dividend B uy 01/06/09 K(addl)6 8 . -- B uy 02tl3/09 J(addl)

2. Valu= C~c= J -$15,0~ or I~ K = $ I ~ ,~1 - 150,0~ L =$50,~1 - ~ 100,~ M =$ t00,~l -(Se* Columni CI =nO D3) W -$250,~1 - $5~,~0 O ~500,001 - $1,0~,000 PI =$1 ,~#0l - 15,000,0~ P2 =$~,~0.~1 -P] ~2~,~,001 - $50,~,~0 P( =More t~ 150,~0,000


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FINANCIAL DISCLOSURE REPORT ,~ . . . . r P e r , . ~ v m ~ . : I ) ~ , e o t R , . 0 o r tPage 8 of 11 0~, Andre M. 0 5 1 1 5 1 2 0 1 0V I I. I N V E S T M E N T S a nd T R U S T S - ~ .... e, .at~,, , . . . . .. ,~o., a.ct.a .$ ,ho,. o;,.o.,, a.d a.~.d ..r ~ha ~..~

NONE 6Vo reportable income, assets, or transaction.)

Description of A~e~ I n c o m e d u r in g ~ Gro~s valae at e~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(including t~st ~sets) r e p o m n g p e r i o d ] o f r c p o ~ i n g p e r i o dP l a c e " ( X ) " a l t e r e a c h a n s e t A m o u n t T y p e ( e . g . , Value V~lue T~e(e g, Date ~ V alue Gaia I d e n t i ty ~ f

e x e m p t f r o m p r i o r d i s c lo s u r e Code ! d i v . , r e n k C o d e 2 Me~od b u y , ~ e l l , a~d~yy I Code 2 C o d e I b u y e t l s e l ~ e r(A-~ orinC) I ( J - P ) ] Code ~ I r e d e m p t i o n ) ~ ( J - P ) ( A - H ) 0 f p r i v a t e

6 9 . - - B uy 03t16/09(addl)7 0 . -. Sold 06/04/09 K C7 1 . Select Sector SPDR Utilitie~ A Dividend B uy 03~5/09 K7 2 . - - B uy 0 3 / 3 1 1 0 9 J(addl)7 3 . - - Sold 06/09/09 J A7 4 . Select Sector SPDR TRX Financial None B uy 04,q5/09 J(addl)7 5 . -- Sold 06/09/09 K A7 6 . Templeton Dragon Fund None Sold 04114/09 K A7 7 . Diamonds Trust Series 1 None B uy 05127/09 K7 8 . - - Sold 06/04/09 K A7 9 , Lines 80 to 84 repoa MUTU AL FU NDS

8 0 . Davis NY Venture Fund Class C A Dividend K T8 1 . Europacifio Growth Fund Class A A ! Distribution K T8 2 . Legg Mason O pportunity Trust None J T8 3 . Legg Mason V alue Trust A Distribution J T

8 4 . T Row e Price Growth Fund A I Distribution J T8 5 . Rental Property--Eastham, MA (X) A Rent P I W

Z. Vnh~ C~ ]-$15,O~orless K ~15,~1 - 150,0~ L =$50,~1 - $100,0~ M = S TY ,001


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F I N A N C I A L D I S C LO S U R E RE P O R T N ~me of Person Reporting Dale of Reporl:P age 9 of 11 D a vi s , A n d r e M . 0 5 1 1 5 / 2 0 1 0

NONE ~o reportable income, assets, or transactions.)A. B. C. I D.~scriptioa of Assets Income during Gross value ~ end

JTractions during rc~ing ~riod(includir, g ~t ~sets) ~r~o~ti~g period of reporting period

Place "(X)" after each asset Amount Type leg., Value Value T~e (e.g., Da~ ] Valu~ [ Gain Identityofexempt from prior disclosure ] Code I d[v., ~nt, Code 2 Method buy, sell. mm/d&~ / Code 2 ] Code I buyer/seller[A- H) or int.) (J-P) Code 3 redemption) (J-P) (A -H) (if private(Q~ / umsac~0n)Trust No. I This i~ an income beneficiaW E ~istributien PI Wtrust.

Cole~nl B I and 04)Columns CI ~M D3 ) N =~250,~1 . $5G0,000 0 =$ 500,~1 -


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FINANCIAL DISCLOSURE REPORT ~ .... f Person Reporting DatePage 10 of 1 1 D ~ i ~ , A n d r e 5 1 . 0 5 1 1 5 1 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. ~Imticate part of Report)


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F I N A _ N C I A L D IS C L O S U RE R E P O R T N . , , e o r P e ~ o . a e p o r , i o l h a , , o r R , ~ , o r tPage 1 1 of 11 D a v i s , A n d r e r ~ . O5/~SnO~OIX. CERTIFICATION.

I certify that all information given above (including Information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my know ledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.

! further certify |bat earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

N O T E : A N Y I N D I V I D U A L W I IO K N O W I N G L Y A N D W I L FU L L Y FA L S I FIE S O R FA I L S T O FI L E T H I S R EP O R T M A Y B E S U B J E C T T O C I V I LAND CRI .MINAL SANCTION S (5 U.S.C. app . 104)

FILING INSTRUCTIONSMail signed original and 3 add itional copies to:

Com mittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One C olumbus Circle, N.E.Washington, D.C. 20544

Documents

Andre M Davis Financial Disclosure Report for 2009