Brock D Hornby Financial Disclosure Report for 2009

8/3/2019 Brock D Hornby Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/brock-d-hornby-financial-disclosure-report-for-2009 1/13

4 o 1 0 FINANCIAL DISCLOSURE REPOR T R

- , R e ~ . z / 2 o 1 0 FOR CALENDAR YEAR 2009 ....

I ¯ P e r s o n R e p o r t i n g ( l a s t f r a m e , f i r s t, r a i d d l e i n i t i a l ) 2 . C o u r t o r O r g ~ u i z a t t o ~ * 3 . D a t e o f R e p o r t

H o r n b y , l )o B r o c k District of Ma ine 04116/2010

4 . T i t l e ( A r t i c l e I l l ju d g e s i n d i c a t e a c t i w : 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 e c i a t e t y p e ) 6 . R e p o r t i n g P e r i o dm a g l s t r a t e j u d g e ~ i n d i c a t e f u l l - o r p a r t - t im e )

[ ] Nomi na t i on . D a ~ e 01 /01 /2009

Dis tr i c t Judge (ac t i ve ) [] In i t i a l~[7] A n n u a l

[] F i n a l to

i 2 /3 ! /2009

5h. [] Amended Report

7 . C h a m b e n g o r O f f ic e A d d r e s s & O n t h e b a s i ~ o f t h e i n f o r m a t i o n c o n t a i n e d t n t h i s R e p o r t a n d a n ym o d i f i c a ti o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n s i n c o m p l i a n c e

U n i t e d S t a t e s D i s t r i c t C o u r t w i t h a p p l i c a b l e la w n a n d r e g u l a t io n s .

] 5 6 F e d e r a l S t r e e tP o r t l a n d , M E 0 4 1 0 1

R e v i e w i n g O f f i c e r D a t e .

IMPORTANT NOTES: The ins t ruct ions accompanying ~ht s form mus t be fol lowe,~ Complete all parts,

checking the NO NE box for each par t wher~ you have no repor table informat ion. Sign on lu~t page.

L P O S IT I O N S . ~ R e ~ o , ~ t ~di~tdual Only: see plX ~-l.t offing ~u~)

~ NO~ ~o reportable ~sitio~)

POS~ION NAME OF ORG~IZA~ON~NTI~

I. Co~eil Mem~r The Ame~c~ ~w ~s~m~

2. M ember , Committee on Sc ience , Technology and the Law The National Academies

I I . A G R E E M E N T S . (Repor~g lndi, idual o~ly~ see pp.

~ NO~ ~o repormb& agreementsO

PARSES A~ ~S



rIINA1NCIAL DISCLOSURE REPORT

r ~ m , e fP e r s e n R e p o r t i n g DateefReimrt

P a g e 2 o f 1 3 H o r n b y , D. Brock 04 / 16 / 2010

III. N ON-INVESTMENT IN C O ME. (~o~ ~u~t ~,~ ~ ~ ~ : z-u of~ ~.~

A. Flier’s Non-Investment Income

H O N E ~ o repo~able non-investment income.)

~ SO~CE AND ~E ~COME(yo~, not

1.09~6~0~ A~ J~i~e S~i~-D~itt D~dn~ish~ S~ce ~ J~dce $15,~.~

A~d

B. Spou se ’ s Non-Inve s tmen t Income - i f you were married during any portion o]’#lw reporting ~ r , ~ m p ~ W ~ s ~

~ollar amo~ ~l ~quired ~cept for ~no~)

~ N0~ ~o reportable non-inv~ent income.)

~ ~O~CE A~ ~E

I. 20~ H~hy Zeller ~iat~ (~ag~ent ~B~I~ to ~te gov’~ iB h~ ~i~s ~) (S~ ~tion

~I-Add~ ~ ~tion Ilia))

I V . R E I M B U R S E M E N T S - ~ o r t # # o . , rod.s.food, e..,~,,.~,~(l~cluder thos~ ~o s~e ~ d~ent chll~en: see ~, 25 -27 of filing ~t~ct~.)

~ N O N E ~ o reportable reimbursemen~O

SOURCE ~ LOCATION P~OSE I~MS PA~ OR PROVIDED

1. ~Americ~ Law I~tim~ 07 /08-13109 B~jing, China E~cafion~ Pm~ ~id ~v¢l and lodging for ~lf, ~d m~l

expels f~ self~d s~e

2. American Judicature Society 09/12-13/09 W ashington, D C Ceremony for D evitt paid travel, lodging and meal expensesAward for self and spouse

3. American Law hisdtut¢ 1 0 / 9 - 1 1 1 0 9 Philadelphia, PA M eeting of Restatement paid travel, lodging and meal expensesAdvise~

4. The National Academies 10/18-20/09 Washington, D C CST L Committee Meeting paid travel, lodging and meal expenses

5. American Law Institute 1 0 1 2 2 - 2 4 / 0 9 New York, NY Council Meeting paid travel, lodging and meal expenses



FINANCIAL DISCLOSURE REPORT

I N a m e o f P e e l o n R e p o r t i n g

D a t e o f R e p o r t

Page 3 o f 1 3 Horn by , D . Brock 04 / 16 / 2010

NO~ ~o r ep o r C a b & g ~ s . )

2.

3.

4.

VI. LIABILITIES. an a.d ~

NONE (]go repor tab l~ l iabi l~¢ies . )

CREDITOI~ DESCRIPTION

1 .

2.

3.

4.

5.



Iame of Person Reporting [ Date of ReportFINANCIAL DISCLOSURE REPORT

P a g e 4 o f 1 3 o 4 / i 6 / ~ o i o

~ N O ~ ~ o r e p o r t a b l e i n c o m e , ~ e t s , o r

D~pt~n orals In.me ~ng G m ~ ~ l u e ~ ~ d T~fi~ d~g r~ing

(t) (2 ) (~) (2) (~ ) { 2) (3 ) ( 4 )

( A - H ) or ~L) ( J - P ) C~e 3 ~e~n) ( J - P ) (A-~ (if

(~ ~ction)

2. Ally B~ a~oun~ (f~ly GMAC) C In~r~ M T

3. Emig~nt Direct C Int~t M T

4. PayPa[ Mon~ Mkt A ~t~est J T

5. U.S. Savin~ Bon~ None L~ T

~ore

8. ~ine S~te T urnpike Auth’y ~nds C ~te~t L T

9. M aine H~th & H igher ~u . Fa~. ~u th . D Intercst M T~ndg

1 0 . ~e~ ~co ~blic Fi~ce Co~. ~ B Int~st K T

1 I. Bangor M E ~nd A ~t~t K T

12 . Sc~rou~ ~ ~nd B Int~ K T

1 3 . M aine Mu nicip~ B~d Bank ~nd A Interest J T

1 4 . Po~d ME Ai~o~ ~nd A In~ J T

1 5 . ~e~ ~co Public Bldgs AuthofiW bond A Inm~ K T

1 6 . Common w~I~ of ~ ~ bonds C ~t~ K T Buy 4115/~ K

’ " 1 7 . Univ. of Ma~ Sys~ ~nd A lnt~t J T



FINAN CIAL DISCLOSURE REPORT~ a ~ e o f r ~ o n a , ~ o . i~ g r ~ a t e o f n e ~ .

Page 5 of 13 Hornby, D. Brock 04116/2010

V II. IIN V E S T M E N T S a n d T R U S T S -

~0~ ~o reportable income, ~sets, or ~a~actio~.)

~ B. C. D.

D~pfion of As~ In,me d~ ng(inc~ding ~t a~) ~n8 ~ of~g p~od

0) (2) O) (2) 0) (2) (3) (4) ( 5 )

Place "(X)" a~ ~h ~ t ~t T~ (e.~, Val~ V~ue T~ ( e .~ , D a t e V~ Gain Id~W of

~t ~ p~or ~]o~re(A-~ ~ ~t. ) ( J - P ) ~ 3 ~m~) ( J - P ) (A-~ (i~p~vate

~ 8 . ~e~o ~ Elcc. ~ Au~. bond A Inte~st J T Bu y 2/25/~ J

~/ZS/, 9

[ 1 9 . ~eno ~ico A~t & ~wcr Au~. ~nd A Intent J T Bu y 3/13/~ J

20 . ~C Wcal~ M~ ff~crly J.B. H~a~r & A Inter~t J T

Co.) mon~ ~t ~t

21. T. E owe P~ c e M u l l F u n~

22 . -International Stock A Dividend K T

23. Vanguard G r o u p M utual Funds

24. -Asset Allocation Fund A Dividend J T

25. .Value Index Fund A Dividend K T bu y mthly J

26 . -Inflation Protected Security lnv A Dividend J T

27 . -Strategic Equity Fund A Dividend J T

28 . -Tax Mgt Int’l Fund A Dividend J T

29 . TheM P63 Fund, Inc. (mutual fund) A Dividend K T bu y mthly J

30 . Alpine Funds

31 . -Dynamic Dividend C Dividend K T bu y mthly J

32 . - Inte rnat ional Keal Es tate A Dividend K T bu y mthly J

33 . -Dynamic Balance A Dividend J T bu y mthly J

34 . Bridgeway Funds



Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT

I Hornby, D. Brockag e 6 o f 1 3 0 4 / 1 6 / 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 - mco=~ ..t.~ ,+.~o.s a .dud~ t h o s e ofs~a ~

N O N E ~ o reportable income, assets, or ~ansactio~O

A . B . C+ I D +~ipfion of ~ I~ ~g Gr~ ~ 1~ at ~ d T m ~ tions(i~luding ~st ~) ~ng ~ of~ng ~od

0) (2) 0) ~ ~2) 0) (2) (3) ~ (4) (5 )P~ "(X)" a~r ~ch ~ Am~nt T~ (e .g . . V~ue ~ Val~ T ~ @ .~ , D a t e V~u¢ ~ G~ Id~fiW of

ex~pt ~ om prior di~l~ C~1 ~ v . , r e n L ~e 2 Me~ b u y . r o l l m~d~(A-~ ~ inL) ( J - P ) C~ ~ ~mpfion) ( J . P ) ( A - H ) (if~t~

35 . - O l ~ - S m a l l C om p l y M ~ F ~ d A Dividmd K T b u y m~ly

36. Matthcws Asian Funds

3 7 . -Asia Pacific A Dividend K T .. buy mthly J

38 . -India A Dividend K T b u y mthly J

3 9 1 The Fairholme Fund A Dividend K T Buy athly j

40 . corn stk Avon Products A Dividend K T buy mthly J

4 1. co rn ~ k H .J . He inz Co. A Dividend K T b u y mthly J

42. corn s tk l ll inois Tool Works A Dividend K T b u y mthly J

43 . Brokexage Acct T. R owe Price

4 4. -Cash Ma na gemen t Acc oun t A Interest K T

45 . -ecru stk UNUM Provident Corp. A D ividend Sold 8 / 28 / 09 K [qovte

46 . - o r f l s t k T u p p v r w a r ¢ C o r p . A Dividend Sold 9/24 /09 J C

47 . -ecru stk J P M organ Chase & Co. A Dividend Sold 8/28 /09 J B

48. -corn s tk Genera l Electric Co. A Dividend J T

4 9 . -c~ m st k Diageo PLC nvw (AD R) A Dividend J T

5 0 . - co rn s tk Av o n P ro du ct sA

Dividend J T

51. -ET F I Shares MS CI Mexico A Dividend K T



FIN/UNCIAL DISCLOSURE REPORT N * * , e o ~ P e ~ o n a ~ o ~ a ~ g ~ of Repe.

P ag e 7 o f 1 3 H o r n b y , V . B r o c k 04 / 16 / 2010

54. -Bmelays Bank PLC iPath Index Fund N one J T

55. -eom stk Newell Rubbennaid A Dividend J T

56. IRA Brokerage Acct T. Rowe Price # 1

5 7 . -Cash M anage~aent Acet A Interest K T

58 . -corn stk LandAmefica Financial Group, Inc.

59 , -¢om stk Intel Corp. A Dividend K T

60 . -corn stk Starbueks Corp. None J T

61 , -corn stk IACilntemctive Corp. None Sold 9 /24/09 J A

62 . -corn s~k HSN Inc. None Sold 9 1 2 4 1 0 9 J A

63 . -corn stk Interval Leisure Group Ine, None Sold 9/24/09 J A

64 . -corn stk Tickelmaster None Sold 9/24/09 J A

65 . -eom stk Tree.corn Inc. None Sold 9 / 2 z f f 0 9 J A

66 . .-corn stk Popular, Inc. A Dividend J T

67 . -Washington P ElT B Dividend K T

68 . -¢ora stk P ioneer Natural Resources A Dividend J T



FINANCIAL DIS CLOSURE REPORT r ~ a m , of Person Reporting D a t e o f R e po r t

P ag e 8 o f 1 3 h e r e b y , D . B r o c k 0 ~ n 6 t 2 0 1 0

7 0 . -mutual Fairholme Fund A Dividend K T

7 I . -Blackrock Int’l Bond P ortfolio A Dividend I T

7 2 . -Atnericun Campus C ommunitie* REIT A Dividend K T

7 3 . -~om stk Grupo Televisa A Dividend J T

74 . -Tu rkish Investment Fund None K T

7 5 . -P rudent Bear Fund N one J T

7 6 . -corn stk Peabody Energy Corp A Dividend J T

7 7 . .-corn stk Patriot Coal Cow. None J T

7 8 . -Alpine Total Dynamic Div. F~und A Interest J T

79 . -T. Rowe Price Emerging Europe None J T

8 0 . -Matthcws Korea Fund A Dividend J T

81 . -corn stk Amazon.corn None K T

82. IRA Brokerage Acct T. Rowe Pdce #2

83 . -Cash M anagement Acct A Interest K T

84 . -¢o~a stk DWS Europe Equity FundA

Dividend J T

85 . -corn stk LandAm¢fi~ Fimmcial Group(Y)



Name of Person Repor~ng ]Date o f R e p o r tF I N A N C I A L DISCLOSURE REPORT

[ Hornby, D. Brockage 9 of 13 0 4 / 1 6 / 2 o 1 0

VII. IN VEST M EN TS and TRUST S - ~=~ , ,~,~ ~,. ,~,,ao~ a~a~ ~o,, ofs~and awend~

N O N E ~ o reportable income, ~sets, or

~pfion of A~ I~o~ ~g O~ val~ at ~d T~fio~

(in~l~ing ~t asse~) r~ng ~ of~g ~

0) ] (2) O) (Z ) 0) (2) O) (~) (~ )

~ (A-H ) I[ ~ int.) ( J - P ) ~ 3 ~e~ion) ( J - P ) (A-~ (ifpfivate

86 , ~m s~ Pow~ QQQ (f~ N~ A Divided J T

87 . ~m s~ ~m~o~n Inc. None J T

88 . -U.S. Global ~v~w~ E~tem Eu~ None J T(mu~)

89 . -Van~ ~IT Vip~ A Dividend ~ T

90 . ~m s~ C~a Cola A Dividend J T

91 . -Vanguard Strategic Equity A Dividend J T

92. -corn stk Medtronic Inc . A Dividend J T

93 . -adrNokia Corp, A Dividend J T

94 . -Dev elopers Diversified Realty REIT A Dividend J Tpreferred Class H

95 , -corn atk Cisco Systems Inc. None J T

96 , -adr Vodafone Group PLC A Dividend J T

97 . --cam stk N autilus Group Inc. None J T

98 . -corn stk D evelopers Diversified Realty A Dividend J TPEn"

99 . -Value Line Fund Inc. None K T

100 , -Prudent Bear Fund None K T

101. -Fidelity Nordic Counn’ies Fund A Dividend J T

102 . -I Shares M SCI Japan A Dividend J T

(see Col~ tm m B | ~ d [3 4) F -$50 ,0 0 1. $10 ~,0 00 G ~.$1O0,00l - $1.01)0 .000 H 1 =$ 1.0OO,(]01. $5,000 .000 H 2 = M 0 ~ t h an

2. Value C3x]~, J =$15,0 0 0 or leas K =$15,0 0 1 - $50 ,0 0 0 L =LS0,001 - $100,0GO M =$100, 00 l - $250, 000(S¢Cohtmm~ C l and D3 ) N = ~ 5 0 , 0 0 1 - $ 5 0 0 . 0 6 0 O =$500 ,001 - $1,000 ,00 0 Pl ~t t .000,00 t - $5. txO0,iM)O P2 =$5 , 000 .00t - ~ .~ , 000, 000

P3 =$25. 000 ,001 . $50 ,000 ,00 0 P4 =More than

3 . Vahte M ~thod C oS ts Q =Appraisal R =Cost (Real .F..~ate Only) S =i,~asessment T =Cash Manet

(See Col,,mn C2) U =Book Value V =Ot l~ r W =E stimated



FINANCIAL DISCLOSURE REPORT ] N a m e e f p e r m u ReportingDateofRepert

Page 10 of13I Hornby, D. Brock

0 4116120 10

VII. INVESTM ENT S and T R U S T S - ~,~. ~ , ~ r ~ . , ~ o , ~ a . c ~ u d ~ ~, ~ ,~ ~,~ ¢hildr~" see ~. 34-60 of fling tnsW~)

N O N E ~ o repomable income, ~sets, or wansactions.)

A. B. C. D.

D~dpti~ of~ In~ d~g ~s ~ue at ~d T~io~ during ~ing ~

(I) ] (2) (1) (~) (1) (2) (3)((A])~ (5)

A~ T~ (e.g., T~l~ "~)" ~er ~h ~ V~ Val~ Da~ Value ~ Gain I~ntiW of

~pt~o~l~ C~el ~ div.,~ ~e2 M¢~ ~y, sell, ~ ~2 ~1 ~y~/~ller

(A-~ ~ ~t.) (J-~ ~ 3 ~mpdon) (J -P) (if~vate

~.~ ~tion)

103. -T. Rowe P~ce A~ & Middle ~t A Divided J T

1 0 4 . -I shaxes TR S&P Global lnfi-astntcture A Dividend J T Bu y 6/16/09 J

Index Fund

10 5. Pension P lan Acct. T IAA-CRE F N one M T

106. Pens ion Plan Acct. TIAA-CREF None 0 T

107 , 401K Pla~ CM C Interactive LLC

1 0 g . -F i r s t E a g l e O v e r A * C Dividend L T

109 . -Calarnos G rowth A* None S o l d 6/17/09 K A

110. -Am Fds Gro v .~h Fund R4 (RGAEX) A Dividend K T Bu y 6/17/09 K

111. -Perk ins M id-Cap Value Inv (JM CVX) A Dividend J T Bu y 12/2/09 J

! 12. -Royce Total Return* A Dividend K T

113. -O akrnark Equity & Income J* B Dividend K T

114. -S~lcct~l Amoriean* A Dividend K T

115. -Cohrnbia Acorn Fund * A Div idend K T

I 16 . -Piraoo Total Return A Dividend J T

117. - Schwab lnt’l Index* A Dividend K T

118. -Principal Investor s High Y ield II A Dividend J T

l 1 9 . n o n v o t in g s t k M a n d e l I n v e s tm e n t C o r p , A Div idend N U



Name o f Pe r t on RCPor t in~Date of Report

P a g e F I N A ~ C I A L 1 1 o f 1 3 D I S C L O S U R E R E P O R T [ Hornby, D . B r o c k 0 4 / 1 6 / 2 0 1 0

[ - - - ] NO /f iE (No reportable income, assets, or transactions.)

A. B. C, D.

Ik scrip tlon of A ssets Income daring Gross value at cud Transactions during reporting pcriud

(including Irust assets) reporting period of reporting pcriud

(I) (2) (I) (2) (I) (2) (3) (4) (5)

place "(X)" after each a.ss~:t Amount Type (e .g., Value Valu e Type (e .g., Date Value Gain ldantRy of

,-~npt from prior disclosure Code I die., rent, Cod~ 2 M ethod bu y, sell, m m !d d! yy C od e 2 Code I buy~’/sel l~r

( A - H) or int.) (J -P ) Code 3 nxtemption) (J-P ) (A -H ) {if private

( Q - W) ] transaction)

1 2 0 . I/2 u nitltd, partnership int. irt FallsDevelopment Assoc.,

1 2 1 . ltd. real estate partnership purchased12/30/85; total

1 2 2 . of $16,489 .50 pd in installments completed None K R

2 / 1 0 / 9 0

123. ltd. partnership int. in Miraculous, LLC, ltd.

! 2 4 . $ 5 0 , 0 0 0 r e a l e s t a t e p a r t n e r s h ip p u r c h a s e d 2 / 1 1 / 0 2 B Distn’bution L R

125. M innesota Life:endowment life A Dividend J T

126, H ornby Zeller Properties LLC None N U

27. BACH ZA, Inc. None l U

1 2 8 .

1 2 9 . * a m o u n t s e o a t r i b u t & l a u t o m a t i ca l l y o nr e c u r r e n t

130 . bas i s by employer and employee



FINANCIAL DISCLOSURE REPORT N i n e o f P e ~ o R R e p o ~ R g V.t~. a.pon

Page 1 2 o f 13 H o r n b y , D . B r o c k 0 4 4 1 6 / 2 0 1 0

VIII . ADDITIONAL INFORM ATION OR EX PLANATIONS.

Part Ill(B): My income derives from salary and distributions in the management consu l~g finn ofwhich~is a fifl~ percent shaw,,holdcr, officer andemploy~ (subchapter S coq?orat~on). T her~ ~s one othe~ shareholder and officex. The firm s income denves from contracts w~th sta~ governments and,occasionally, nonprof it corporations.



FINANCIAL DISCLOSURE REPORT N~. ef Persont Reporting Date of Report

Page 13 o f 1 3 H o r n b y , D . B r o c k 04 /16 /2010

IX. CERTIFICATION.

I certify that all information given above (including Info rmation pertaining to my spou se and minor or de pendent children, if any) Isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable ttatutoryprovisions permitting nen-disdosure~

I further certify that earned income from outside employment and honoraria and the acceptance of gift~ which have been reported are incompliance with the provisions of 5 U.S .C. app. § S0 1 et. seq. 5 U,S.C, § 73 53, and Judicial Conference regulations.

NO T E: ANY I ND I VI D U AL W H O K NO W I NGL Y AND W I L FUL LY FAL S IFIES OR FAI LS T O FIL E T HI S R EP OR T M AY B E S U B JEC T T O (AND CRIMINA L SANCT IONS (5 U.S.C. app. § 194)

FILING INSTRUCTIONS

M ail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAdministrative Office of the United States CourtsSu i te 2 - 3 01One Columbus C i rc le , N .E .W ashington, D .C. 20 544

Documents

Brock D Hornby Financial Disclosure Report for 2009