Richard L Voorhees Financial Disclosure Report for 2010

8/3/2019 Richard L Voorhees Financial Disclosure Report for 2010

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I A O I ORev . 1 /2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required b) the Ethicsin Government Act o f 1978(5 U.S.C . app. .~ .~ 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)Voorhees, Richard L.

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 c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or p art- t ime)U. S. Distr ic t Judge-Active

7. Chambers or Office AddressU. S. Cou r thouse , Su i te 250401 West Trade StreetCharlotte , North Carolina 28202

2 . C o u r t o r O r g a n i z a t i o nWestern Dis tric t Court -North Carol ina

3. Date of R e p o r t04/21/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] .Initial [] Annual [] Final5 b . [ ] A m e n d e d R e p o r t8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n ed i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

6 . R e p o r t i n g P e r i o d01 / 01 / 2010

to12/31/2010

R e v l e , ~ i n g O f f ic e r D a t e

I M P O R T A N T N O TES: Th e ins t ru c t io ns acco m p any ing th i s f o r m m u s t b e f o l lo we ~ Co m p le t e a l l p ar ts ,checking the NONE box for ea ch part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . ( R e ~ , o r t l . g i n d i v l d u a l o n l y ; s ,, w . 9 - 1 s of f iling instructions.)N O N E (No reportable positions.)

POSITION1 .2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)N O N E (No reportable agreements.)

D A T EI.2.

3.

PARTIES AND TERMS


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F IN A N C I A L D I SC L O S U R E R E P O R TPage 2 of 8

N a m e o f P e r s o n R e p o r t in gVoorhees, Richard L .

D a t e o f R e p o r t04/21/2011

I 1 1 . N O N - I N V E S T M E N T IN C O M E . tRO,o ,~ng i n ~ i r i ~ u a l o n d s p o u s e ; s e e p ~A. Filers Non-lnvestment Income

~] NONE n on - in ves tmen t in come. )N o reportableDAT E S O U R C E A N D T Y P E

2.

3 .

4 .

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f y o u were m arried during an), port ion of the report ing year, comple te this sect ion.(Dollar amount not required e xcept for honoraria.)

D (No reportable income.)O N E n on - in ves tmen tDATE SOURCE AND TYPE

1. 2010 The Cam e E . and Lena V . Glenn Fou nda t ion, Inc . -Sa lary2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation, Iodglng, food, e n t e r t a i n m e n t( 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 l i n g i n s t r u c t i o n s . )

[] (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 8

Name of Person Report ingV o o r h e e s , R i c h a r d L .

Date of Report04/21/201 I

V . G I F T S . an c l ud e s , h o s e t o s ~ o ~ s e a n d ~ e p e n d e , t children; see p p . 2 8 - 3 1 of filing instruction&)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.2.3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a , c l u ,t ~ t h o s e o f s p o u s e a . d d e p e . ~ c n , c h i l d r en ; s e e p p . ~ - ~ of f i l ing instruction~.)[~ N O N E (No repo rtable liabifities.)

CREDITORI. Capt ia l On e Bank2. Wachovia Bank , N .A.3.

4.5.

Credi t CardCredi t Card

DESCRIPTION V A L U E C O D EK

J


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N a m e o f P e r so n R e p o r t i n gVoo rhees, Richard L.

Date of R e p o r t04/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.eo,.e, vat.e. ~. .... o , ~ t ln e l a 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 . ~ 4 - 6 o o f l r l i n g ins t ruc t ions . )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 i n g G r o s s v a lu e a t e n d T r an sac t i o n s d u r i n g repining p eriod( 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 ) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f te r e a c h a s s e t I 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 a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o su r e [ C o d e I d i v . , r e n t , C o d e 2 M e t ho d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I 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~ ( Q - W ) t r a n s a c t i o n )

I. Weststar Fin. Services Corp. A Dividend J T So ld 12/31/10 J A2. A T & T A Divid en d J

4.

5.

6.7.

Guard ian Capi ta l , LLC IRA R o l lover -Individual Assets( a ) Pe r sh ing Gov t MM A A Dividend Closed 04130110 MWachovia Bank -check ing / s avings (Las tyear on line 34) A DividendMountain Federa l Credi tUnion(checking& A Dividendsavings)Vangu ard Asset Al loca t ion Fun d R!O IRA A Dividend J T

To Fidelity Inv. Co.A To RBS Ci tizens , Line20

8. V a n g u a rd G N M A F u n d R / O I R A A Dividend K T

1 0 .1 1 .

1 2 .

Vangu ard Prime Money M arke t Ro llover A Dividend J TIR AVangu ard To ta l S tock Marke t Ind . Fund R/C A DividendIRA/Adm i ra l SharesV an g u a r d W e l li n g t o n F u n d R /O & N o n - R ! A Dividend K TO IRASouthe rn Company A Dividend J T

Conver ted to Adm i ralShare

1 3 . Vangu ard Group Ind ividua l Inves tments1 4 . ( a ) V an g u ar d Pr ime Mo n ey Mar ke t Fu n d A Divid en d J T

1 5 . (b ) Vanguard Windso r I I Fund A Dividend J T1 6 . Fidelity Cash Reserves1 7 . Fidelity Cash Reserves

A Dividend J T So ld 04/14/10 J A(part )Sold 04/19/10 J A(part )

I . Income Gain Codes: A = $ 1.00~ or less B = $ 1.001 - $ 2.500 C = $2.501 - $ 5.000 D = $ 5 . 0 0 1 - $ 1 5 . 0 ( 1 0(See Columns B I and D4) F = $ 50.001 - $ 100,000 G = $100.001 - $1 .000.000 I l l =$1.0~ ,001 - $5.000.000 1 1 2 = M o r e t ha n

2. V aloe C odes J = $15.000 o~ less K = $ 1 5 . 1 3 0 1 - $ 5 0 . 0 0 0 L =$50 . 001 - $100 . 0~ M =$100.001 - $250.000{See Colum rts CI and D3) N -$250.001 - $ 500.000 O =$500.001 - $1 .000.00~ PI = $ 1.000.001 - $ 5.000.000 P2 =$5.000.0~1 - $25,0~0.000

P3 =$25.000.001 - $50.000,000 P4 =M or e t han $50 . 0~. 0003. Value Method Codes Q =Appraisal R =Cost (Real Estalc Only) S =Assessment 1" =Cash Market( see Column C2) U B o o k V a l u e V = O ~her W = E stim ated

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 0 0


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N a m e o f P e r s o n R e p o r t in gV o o r h e e s , R i c h a r d L .

Date of Report04/21/2011

V 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 e , v u t u e , ~ a , ~ a e t i o . ~ a n c l u d e s t h o s e o / ~ p o . s e a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s 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 io d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texemp t from prior disclosure

I n c o m e d u r i n g G r o s s v a lu e a t e n dr e p o rt i n g p e r i o d o f r e p o rt i n g p e r i o d

(I) (2) (I) (2) (I ) (2) (3) (4) (5 )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 a i n I d e n t i t y o fC o d e 1 d i v . , r e n t , C o d e 2 M e t ho d b u y , s e l l , m r n / d d / y y C od e 2 C o d e I 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( Q - W ) t r a n s a c t i o n )

1 8 . Fide li ty Equi ty - lncome Fun d B Dividend M T1 9 . Fideli ty Investment Co., IRA rollover-Individual Assets

20 . ( a ) RBS C i t izens Depos i t Accoun t B Dividend M T21 . (b) Fideli ty Floating Bond A Dividend L T22 . (c) Fidelity Total Bond A Dividend L T23. (d) Fideli ty Strategic Bond A Dividend L T24 . Vanguard Group-R/O- IRA I25 . ( a ) Vangua rd Windsor 11 A Dividend K T26 . (b ) Vangu ard US Growth A Dividend J T27 . (c ) Vangu ard To ta l S tock M arke t Index A Dividend J T28 . ( d ) V a ngua r d 5 0 0 I nd ex F un d A Dividend J T29 . Vangu ard Group-Ro l lover IRA II30. ( a ) P r ime M oney Marke t A Dividend J T31. (b) International Growth Investors A Dividend K T32. (c ) In te rna t i ona l Va lue Inves to rs A Dividend K T33. Vangu ard Group-Trad i t iona l IRA34. ( a ) Cap i tal O ppor tun i ty Fund A Dividend K T

Trans fe r red f rom L ine3

O p e n 04/30/10 J Trans fe r red f rom L ine4

Bu y 05/12/10 L RBS C i t izensBu y 05/12/10 L RBS C i t izensB uy 05/12/10 L RBS C i t izens

I . Income Gain Codes: A = $ 1.000 or Jess B = $ 1,001 - $ 2.500 C =$2,501 - $5,000 D =$5,001 - $15.000(See Columns B I and D4) F =$50.0~1 - $ 100,000 G =$100,001 - $1.000,000 I I I = $ 1 .0 00 .0 01 - $ 5 .0 0~ . 00 0 1 1 2 = M o re Ih an $ 5. 00 0. 00 0

2. V alu e C odes J = $ 15.000 or less K = $ 15.001 - $ 50.0~ ) L =$50 . 0~1 - S I 0~. 0~) M =$100.001 - $250.00)(See Columns CI and D3) N =$250.001 - $500.000 O -$ 50 0.0 01 - $1 ,0 ~0.00 0 P I = $1 .0 (~ .00 1 - $ 5.0~ ),0 00 P2 =$5.000.001 - $25.000.000

P3 = $25.0~ 0.001 - $50.0~ ).0~0 P4 = M ore than $ 50,000.0003. Value Mclhod Codes Q =Appraisal R =(ost (Real Estate Only) S =Asscssmcm T -~Sash Markett Scc Column C2) U = Book Va l ue V =O~hcr W = E s t ima t ed

E = $1 5 . 0 0 1 - $ 5 0 . 0 0 0


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N a m e o f P e r s o n R e p o r t in gVoorhees, Richard L.

D a t e o f R e p o r t0 4 / : 2 1 / : 2 0 1 I

V I I . I N V E S T M E N T S a n d T R U S T S - i ncom e , v al ue , transactions (Includes those of spouse and dependent children: seepp. 34-60 of filing instructions.)D (No reportable income, assets, or transactions. )ONE

A. B. C.D escrip t io n o f A sse ts In co m e d u r in g G ro ss v a lu e a t e n d( inc luding t rus t asse ts ) rep ort in g p eriod o f re por tin g p erio d

(I) (2) (I) (2)P l a c e " O O " a f t e r e a c h a s s e t I A m o u n t Type (e.g., V a l u e V a l u e

ex em p t f r o m p r i o r d i s c l o su r e I Code I d iv ., ren t , C o d e 2 M e t h o d: : ( A - H ) or in t . ) ( J l P ) C o d e 3i ( ~ - w )

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

(1 ) (2) (3) (4) (5 )T y p e ( e . g ., Date V a l u e Gain Ident i ty of

bu y , se l l, m m /d dhy y C o d e 2 C o d e I buyer / se l le rr e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

35 . ( b ) S tr ag et ic E q u it y

36 . (c ) Vanguard REIT Admira l Index Fund

37 . (d) Van guard W ellington Fund-AdmiralIRA38 . W ac h ovi a Cor p or at ion ( W e ll s Farg ot r a n s i t io n o n g o i n g )

A Dividend K TA Dividend J T

B Dividend L TA Dividend J T

1. Income Gain Codes: A =$1,000 or less B $ 1 . 0 0 1 - $ 2 ,5 0 0 C-$2 . 501 - $5 , 0~0 D =$5.0OI - $15.000(See Columns B I and D4) F =$50,001 - $100.000 G =$100.001 - $1,000,000 1 1 1 ~ $ 1 . 0 G O . 0 0 1 - $ 5 . 0 0 0 . 0 ~ 0 112 =More than $5.000.C002. V alu e C odes J = $ 15.000 or less K = $15.001 - $ 50,000 L =$50,001 - $ 100.000 M = $ I 0~ .001 - $ 250.000

{See Columns CI and D3) N = $ 2 5 0 . 0 ( 1 1 - $ 5 0 0 , 0 0 0 O = $500.001 - $1.000.000 P I = $1 ,000,001 - $5.000,000 P2 =$5.0~ O.09 1 - $25.000.0~ )P3 =$25,0~).0~1 - $50.000.0~0 P4 =M ore than $50.000.0003. Value Method Codes Q =Appraisal R ~ost {Real Es t a l e On ly ) S =Assessment T = C ~ h M a r k c!(See Column C2) U = Book Va l ue V = O l he r W = E s t ima t ed

E =$15,001 - $50,000


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FI N A N C I A L D IS C L O S U R E R E PO R TPage 7 of 8

N a m e o f P e r so n R e p o r t i n gVoorhees, Richard L .

Date of Report04/21/201 l

VIII . ADDITION AL INFORM ATION O R E X P L A N A T I O N S . (lndlcate part of report.)Addi t i ona l Info rm at ion regard ing Par t VIILine l.- -Wests tar Fin. Services Corp. was own ed on the las t day of 2010 , but, was also sold on the las t day of 2010. (12/31/10)

Line 3 . - I s a header . Also , Guard ian C api ta l , LLC IRA Ro l lover Ind ividua l Asse ts t rans f e r red to Fide l i ty Inves tment Com pany IRA R o l lover -lnd ividua l Asse ts on4/30/10.L ine 4 . -Persh ing Gov t M MA was c lo sed and t rans fe r red to RBS Ci t izens Depos i t on L ine 20.L ine 10. - -Vanguard To ta l S tock Marke t Ind . Fund R/O IRA was conver ted to Vanguard To ta l S tock Marke t Ind . Fund R /O IRA -Admi ra l SharesL ine 13-Vang uard Group Ind ividua l Asse ts i s a headerL ine 16 -Fide l i ty Cash Reserves was so ld i n par t on 4 /14 /10Line 17 -Fide l i ty Cash Reserves was a lso so ld in p ar t on 4 /19/10- Al thoug h , L ine 16 & L ine 17 a re the s am e account I p u t them on two separa te l i nes because therewere two di f ferent dates where account was sold in p art.Line 19--Fideli ty Investment Co., IRA Rollover Individual Assets was transferred from Line 3, Guardian Capi tal, LLC IRA Rollover Assets on 4/30/10.Line 20.- -RBS Ci tizens Deposi t Amount was tranferred from Line 4, Pershing Gov t MMA on 4/30/10.Line 24.- -Is a header.Line 29 .- -Is a header.Line 33.- -Is a header.


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Name of Person Report ingV o o r h e e s , R i c h a r d L .

Date o f Repo~04/21/2011

IX. CERTIFICATION.I c e r ti f y t ha t a l l i n f o rm a t i on g i v e n a bov e ( inc l ud i ng i n f o rm a t i on pe r t a i n i ng t o m y spou se a nd m i no r o r de pe nde n t c h i l d re n , i f a ny) i s

a c c u ra t e , t rue , a nd c om p l e t e t o t he be s t o f m y kn owl e dg e a nd be l ie f , a nd t ha t a ny i n f o rm a t i on no t r e po r t e d wa s wi t hhe l d be c a use i t m e t a pp l i c a b l e s t a t u t o ryp rov i s i ons pe rm i t t i ng non - d i sc l o su re .! f u r t he r c e r ti f y t ha t e a rne d i nc om e f rom ou t s i de e m p l oym e n t a nd hon ora r i a and t he a c c e p t a nc e o f g i f t s wh i c h ha v e be en r e po r t e d a r e i nc om p l i a nc e wi t h t he p rov i s ions o f 5 U .S .C . a pp . 5 0 1 e t . se q . , 5 U .S .C . 735 3, a nd Jud i c i a l C on f e re nc e r e gu l a t ions .

Signature

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 I L F U L L Y F A L S IF I E S O R F A I LS T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a pp . 1 0 4 )

C o m m i t te e o n F ina nc ia l D i sc l o su reAdm inis t ra t ive Of f ice o f the Un i ted S ta tes Cour t sSui te 2 -301O ne C o l um b us C i rc l e, N . E .W a s h ing t o n , D . C . 20544

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Richard L Voorhees Financial Disclosure Report for 2010