Charles Ashley Royal Financial Disclosure Report for 2009

8/3/2019 Charles Ashley Royal Financial Disclosure Report for 2009

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COPYI ~o,0 I FINANCIAL DISCLOSURE REPORT Report Required by the EthiCS~ e ~ , J / 2 o l o FOR CALENDAR YEAR 2009 (5 u.s.c ~pp. tot-Hi)I . Person Reporting (last name. f irst, middle init ial) Z. Co,rt or Organizat ion 3. Dale o f Repor tRoyal, Charles A. U.S. Middle District - Georgia 05118/2010

4. Title {Article Ill judges indicalrc active or senior status; 5a. Repor t Type (check appropr iate lypc) 6. Repor t ing ger iodraagistrate judges indicate full- or part-t ime)[] Nomination, Date 0110112009

U.S. District Judge - Active [] lnidal [] A .... I [] Final to12131/20095b. [] Amended Report

7. C ha m b e r s o r Of f i c e A ddr e s s 8. O. the basis of the informat ion contained in this Reporl Bod an)modif icat ions p~r taintng therelo, it is, in my opinion, in compl ianceU. S. Courthouse wi th app lk ab le l aws a nd regu la t i ons .475 Mulberry StreelM a c o n , GA 31 2 0 2 Revi~wh~g Offker D~te

IMPORT ANT NO TES: The instructions accompanying this form must be followed. Complete all parrs,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ~ , p o , i n ~ individual only; se, pp. 9-13 of ~l ing i ....... i O n S . )[~] NONE (No reportable positions.)

POSITION N A M E O F O R G A N I Z A T I O N ~ N T IT YI. Executor E s t a t e # I

~ N O N E ( N o reportable agreements.)D A T ~ P A R T I E S AN D T E ~ S

I.


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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 R e p o r tF I N A N C I A L p a g e 2 o f 1 0 D I S C L O S U R E R E P O R T R o y a l , C h a r l e s A.I

0 5 / 1 8 / 2 0 1 0

I II . N O N - I N V E S T M E N T I N C O M E . cRopo. i .~ individualandsp . . . . ; s e e p p . 1 7 - 2 4 o f . f i l ln g i n s t r u c t i o n s . )A. Filers Non-Investment Income

NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours, no! spouses)1. Spring 09 Mercer U niversity School of L aw $2,000.002 . Q r t . 0 9 West Services, Inc. (Book royalties) $2,677.903 . F a l l 1 ) 9 Mercer University School of Law $2,000.004.

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 - Ifyo~ were married daring any portion of the reporting )ear, complete this section.(Dollar ornount not required except for honoraria.)

~-] NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I. 2009 First Presbyterian D ay School - Math Teacher2 . 2 0 0 9 Covenant Academy - Math Teacher3.4.

IV . REIMBU RSEME NTS . .. . s p a . a r i a n , i o d g i . g , S o o d , e n , e . ~ i . . .. L(Includes those to spathe and dependent children," see pp. 25-27 of filing instructions)

NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROV1DED1 .2.3 .

5.


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Name of Person Reporting I Date ofINANCIAL DISCLOSURE REPORT [ Royal, Charles A.I

0 5 ~ 1 8 / 2 0 1 0age 3 of I 0

~ N O N E (No reportable g~s.)~ D g S C R 1 P T I O N

I.2.3.4.5.

W!V,toII ~" D ~/"rm "~ r"O L,I Z~XI.~I lallllL,~o (Includes thos, of sp ....... d dependent children: see pp. 32- 33 of firing i ....... tton$.)NON E (/go reportable liabilities.)

C R E D I T O R D E S C R I P T I O N VALU~ CODEI.2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT N .... f Person ReportingPage 4 o f 10 Royal, Charles A.I

05/18/2010

VII. INVESTMENTS and TRUSTS - i~ ....... t.., t ...... tlons (Includes those of sp ....... 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 fi l ln g i n s ~ u c t i o n s . )NONE ~0 reportable income, assets, or transactions.)

Descriplion of Assets ! Income during Gross valu~ at ~d Transactions during reposing

P l a c c " ( X ) " a f t e r e a c h a s s e t A m o u n t T~ (e.g. ~ V a i u c [ V a l u e I D a t e :~ Value ~ Gain ;: ldenli~ of: ..... pl f,om prior discl ..... { C~c { di ...... L { C o d ~ 2 [ M m t h ~T y ~ { e . g ., , .b u y , s e l l , m~d~z~ C~ 2 I C~: I ~ buyer/sellerr c d c m p l i o n )A - H ) o r i n t . ) ( J P ) [ C o d e 3 ( I - P ) ( A - H )

I. No~hwes~m M ura l L i fe A Div idend L2. SunTmst Retirement Rese~e Fund B I n t . , f t . ) i v . N T3. MetaMorphix, Inc. None J T4. Polywad, lnc . None J T5. SunTrust Account #3 A I n t e r e s t J T6. SunTrust Account #4 A I n t e r e s t J T7 . Sunlrust Account #7 A I n t e r e s t J T8. SunTrast Account #9 None J T9. Edward Jones Money Market Fund A Dividend J T

10 . E s t a l e # I None .1 T11 . IShares, Inc. - MSCI Brazil D Dividend K T12 . American Balanced Fund A Dividend 3 T13 . Capi tal Income Bui lder Fund A Dividend

1 4 . Capi ta l World Growth & Income Fund A Dividend1 5 . Fundamental Investors Fund A Dividend J T1 6 . Growth Fund of Am erica A Dividend J T I7 . Income Fund of Amefica A Dividend J T


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FINANCIAL DISCLOSURE REPORTPage 5 o f 10 Royal, Charles A. 05118/2010

~ N O N E (No reportable income, assets, or transactions.)i ......... A . " ............................... ~ ; . . . .. . ; cf .................................... fi~ ................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 d T ~ n s a c t i o n s d u r i n g r e p o s i n g p e ~ o d( i n c l u d i n g t ~ s t~ Place"(X)"aflereachasse~ jAmo unt[ F~e[e.g., V alue V alue T~c.g. D a t e ~ V a l u e ~ G a in Identi~ofe x e m p t f r o m p r i o r d is c l o s u re Code I ~ d[v., ~n~ C~e 2 Meth~ b u y . s e l l , "m~dd,~. ~ C~e 2 ~ Code I buyer/sellert ( j _ p ) . ( A - H ) ( i f p r i v a t e,, ( Q - W ) ~ I~nsncron)....... ~ ............... ~ I

18 . Investmenl Company of America Fund A Dividend J T19 . New Perspective Fund A Dividend J T

2 0 . New W or ld Fund A Dividend2 1 . Seaspan Corp A Dividend J T2 2 . Alcoa, lnc A Dividend K T

2 3 . Atlas Energy Resources A Dividend K T2 4 . 13erkshire Ilathaway Inc None M T2 5 . Dow Ch emical Co A Dividend K2 6 . DuFont E I De Nemours Co 1 3 Dividend K T2 7 . Exeli~is Inc None L T2 8 . General Elecmc A Dividend Sold 0 1 . " 2 8 / 0 9 L A2 9 . General Eleclric A Dividend B uy 0 3 , 0 4 1 0 9

I3 0 . General Electric A Dividend B uy 03/09/09 J3 1 . General [ilechi A Dividend Sold 07/13/09 K D32 IShares Inc MSCI Singapore A Dividend J T3 3 . ISharcs lac MSC1 Sweden A Dividend K T3 4 . Mead We~t Na Co Corp A Dividend K T


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N a m e 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 tINANCIAL DISCLOSURE REPORTRoyal, Charles A. 05/18/2010age 6 of 10

VII. INVESTMENTS and TRUSTS - ~. ....... ~.e, t ......ion$ (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; $ ~ e p p . 3 4 - 6 0 o f f i l in g inslrucrior~.)F--] NONE (No reportable income, assets, or transactions.)

1 , i . . . . . . . . . . . . . . . . . . . . . ~ ......., ..................... Oi.......D e s c r ip t i o n o f A s s e t s I n c o m e d u r i n g i Gross value at end T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d(including trust ......) r y _ p o r t _ i n ~ _ p e _ r _ i _ o d . _ _~_ ?.f .r_ep_ort i~n_g p~n.od _e x e m p ! f r o r n p r i o r disclosure i C o d e I d i v . . r e n t , ~,Code 2 i Method buy. sell. m m / d c V n , C od e 2 C od e I buyer/seller

.. .............. ii (A-H)or int.)

_ !1OP) ........

C o d e ( Q . W ) ]redemplion) (J-P) (A-H)] l r a n s a l i o n ) ( i f p l i v a t e

3 5 . Penn West Energy A Dividend Sold 06/30/09 J B3 6 . Reneso]a LT D None J T B uy 06!30/09 J3 7 . Reahn Pharmaeeulieals None J T B uy 06/30/09 J3 8 . San Juan Basin Royalty Trust A Dividend K T3 9 . TICCCapital Corp None Sold 04/27/09 J A

4 0 . TlCCCapital Corp None Sold 0 7 1 0 7 1 0 9 J A4 1 . TICC Capital Corp None J T Sold 10/07/09 J A(part)4 2 . Sadia SA AD R None J T B uy 03/05/09 J4 3 . Seagate Technologies None K T B uy 02/10/09 J4 4 . American Oriental Bioengineering Corn None J T B uy 04/17/09 J4 5 . Annaly Capital Mgrnt Inc B Dividend K T B uy :02/11/09 J4 6 . Anworth Mtg Asset Corp A Dividend J T B uy 12/17/09 J4 7 . Babcock & Brown Air Lid None 3 T B uy 12/17/09 J4 8 . Centurytel Inc B Dividend K T B uy 07/30/09 K4 9 . Chesapeake Energy Corp A Dividend K T B uy 07/30/09 K5 0 . China Sunergy Co Ltd None J T B uy 0 6 / 3 0 , / 0 9 J5 1 . FranceTelecom A Dividend B uy 07/30/09 K

I . Income Gain Codes" A : $1 .0 0 0 o r l e s s B :$ 1.09 1 - $ 2.500 C =S2,S01 -$ 5,000 D :$5.001 - $15,000 E r$1S,001 - $5(~.O00(S ee Co l u rnns B I and D 4) F =$50,0~1 - $100,000 G =$100.001 - $l.000,OOO H I =$I.000,00} - $5,000,0(R) H2 -More than2. Value Codes J =$15.000 or less K =$15,00! - [50,000 L -$50,0OI . $I00.{X~ M -Sl00.001 - $2S0,000(See Colun~ns [.1 and D3) N =$250,001 - $500.000 O = $ 50 0,0 01 - $ 1,0 00 .0 00 P I = $1 ,0 00 .O 01 - $ 5. 00 0,0 00 P2 ~$5,000,0OI -P3 =$25.000,O01 - $50.D00,000 P4 =More Ihan $50,000,0003. Value Method Cod~s O =A ppraisal R ~Ct)~t (Real Estate Only) S ~A ssessm en l T =Cash Marke t(See Column C2) U = B o o k V a l u e V =Othe~ W -Estimaled


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N ....f P e r s o n R e p o r ~ n g I O . te u ~ R , p o r !Page 7 o f 10 0 5 n 8 ~ 0 ~ oV I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . .. t . , . g r a n s a c t ~ o n s ( ln l u d e s t h o s e o f s p ...... d a~endent childrcn; see pp, 3#-60 of filing lns.~cgio~.)

NONE ~o reportable income, assets, or transactions.)A , B . C , D .

D c s c ~ p ~ i o n o f A s s e ~ l n o m d u r i n g G r o ~ v a l u e a t e n d Transactions during re~ing p~od( i n c l u d i n g t r u ~ l aSSClS) reposing ~ri~ of re~ng pefodP l a c e " ( X ) " a f t ..... h a s s e l T~te.g.. V a ~ = ~ ] va~ t~e(e.~.. O~te i V~u I Gainc x e m p l f r o m p r i o r d is c l o s u re d i v . , r e n t , C o d e 2 ~ M e t h o d b u y . s e l l . mngd~ ] Code 2 ~ Code 1 buyer/seller( J - P ) C od e 3 r e d e m pt i o n ) I I ( J - P ) : (A - H ) ( i f p r i v a t e( Q - W ) ~ ~ I r a n s a c t ~ o n )

~ 5 2 . F~ance Telecom A Dividend Sold 10/19/09 K B5 3 . B~: Br~ ie Foods " A Dividend Sold 1 0 / 3 0 / 0 9 J A5 4 . H~lo~ne ~he~peutics Inc None J T B uy 07/30/09 J5 5 . Linn Energy LLC B Dividend K T B uy 02/10/09 K

5 6 . MFA Fine lnc A Dividend J T B uy 1 2 / I 7 s 0 9 J5 7 . Microsoft Co~ A Dividend K T B uy 0 1 , Q 9 / 0 9 K5 8 . M~crcn Technology Inc None J T B uy 1 2 / 1 7 / 0 95 9 , Neahstar Real ty Fin Co~ None J T B uy 12/17/09 J6 0 . Pa~omar Medical Technologies Inc None J T B uy 1 2 / 1 7 / 0 9 J6 1 . Pfizer Inc A Dividend K T B uy 02/~/~ J6 2 . Power One Inc None J T B uy t2/17/09 J6 3 . AI]~ Energy Inc A Dividend K T6 4 . At!~s Amer I~c None J T B uy 1 0 , 2 0 / 0 9 J

6 5 . AI]~ Energy Resources None J T6 6 . Seattle Genetics lnc None J T B uy 0 7 / 3 0 1 0 9 J6 7 . Silicon Image Ine None J T B uy 12/17/09 J6 8 . Sun.s t Bank Inc A Dividend K T B uy 02/27/09


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FINANCIAL DISCLOSURE Jame of Person Reporling Dale of Repor~REPORT[ Royal, C h a r l e s A .

05/18/2010age 8 o f 1 0V I I . 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 o , v a ~ . e , , . . . . . t i o n s ( I n c l u d e s t h o s e o f s p o a .... 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 ! l in g i n s t ru c t i o n . ~ . )

NONE ~o reportable income, assets, or transactions.)Description of Assets ~ Incom~ during Gross valu~al end T~nsactions during rc~ing period( inc lud ing t~st assc~s) ~ reposing period [ of reporting pc~od

: [ ( Q - W ) ~ " transaction)

6 9 . W S P H o l d i n g s L td N o n e J T B u y 1 2 / 1 7 / 0 9 J7 0 . W illies Pi~line Pa~n~s A D i v i d e n d K T B u y 07/30 /09 K7 1 . YingliGreen Encr~ Holding Co N o n e K T B u y 02/27/09


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FINANCIAL DISCI.OSURE REPO RT N .... ~ P . . .. . R ~ p o , - ~ . , g v , , t . o ~ a , ~ p o . IPage 9 of I0 n o y a l , C h a r ~ e s A . 0 5 / 1 8 / 2 0 1 0V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (t,,,tita,epan ofgepo,~)

I. POSIFIONSI have no beneficial interest in the estate. There are no assets owned by the estate. There have been no acquisitions, dispositions or capital gains. This responseincludes now and a| al l times during the reporting period.


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N a m e o f P e r s o n R e p o r / in g D a t e of ReportP a g e F I N A N C I A L I 0 o f 1 0 D I S C L O S U R E R E P O R T ] Royal, Charles A. 05/18/2010IX. CERTIFICATION .

I cert ify that all information given above (Includfng Inform ation pertaining to my spouse and minor or depen dent children, if any) isaccurate, true, and complete to the best of my know ledge and belief , and that any information not reported w as w ithhePd because i t met applicable statutoryprovisions permitt ing non-disclosure.

I further certify that earned income from outside employme nt and honoraria and the acceptance of gif ts which have been reported are incompliance w ith the provisions of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Judicial Conference regula0ons.

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W 1 L F U L L Y F A L S I F I E S O R FA I L S T O F I L E T i l l S R EP O R T M A Y B E S U B J E C T i O C I V I LAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

F I L I N G IN S T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSui te 2 -301One Columbus Circle, N.E.Washington, D.C. 20544

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Charles Ashley Royal Financial Disclosure Report for 2009