Richard M Gergel Financial Disclosure Report for Gergel , Richard M

8/3/2019 Richard M Gergel Financial Disclosure Report for Gergel , Richard M

1/16

,4010Rev . 1 /2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Repor t Req,dred by the Ethicsin Governme nt Act of l978(5 U.S.C. app. 5 101-111)

I. Person Repor ling ( las t name, f ir s t , middle init ial)G e r g e l , R i c h a rd M .

4. Tit le (Art ic le I11 judges ind ica te ac t ive o r sen io r s ta tus;magistrate judges indicate full- or part-time)

U ni t ed S t a t e s D i s t r i c t Ju dge - A c t i v e

7. C ha m be ~ o r Of f i ce Addre ss85 Broad S t ree tCharles ton, SC 29401

2. Cour t o r Or ganiza t ionDis t r ic t o f Sou th C aro l ina

5a. Report T.~pe (check appropriate type)] Nomina t ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancewith appl icable l aws and regula t ions .

Revie~Jng Office r Date

3. Date of Repor t07/12/201 I

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete ali parts,checking the NONE box for each part whe re you have no r eportable information. Sign on last page.

I . P O S I T I O N S . m , p o r , i n g i n d i v i d u u l o , ty ; s e e p p . 9 - 1 3 of f i l ing instructions. )~1 N O N E ( N o reportab le positions.)

POSITION

2.

3.

4.5.

N A M E O F O R G A N I ZA T I O N / EN T I T Y

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions0~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

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

D a t e o f R e p o r ~07/12/2011

I I 1 . N O N - I N V E S T M E N T 1 N C O M E . m e p o ~ i n g individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investment Income[~ NONE non-investm ent income.)N o reportable

DATE SOURCE AND TYPE INCOME(yours, not spouses)

I. 2010 Gergel, Nickles and Solomon, P.A. $ 1 , 7 0 4 , 2 5 1 . 0 02.

3.

4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - if you were m arried during any portion of the reporting year, complete this section.(D ollar amount not required except for honoraria.)[-~ (No reportab le incom e.)ONE non-investment

DATE SOURCE AND TYPEI. 2 0 1 0 Columbia City Council Salary

2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~(Includes those to spouse and dependent children," see pp. 25-27 off!ling instructions.)

D (No repo r table re imbursements .)ONESOURCE

1. SC Defense Trial Attorneys2.3.

4.5.

DATES LOCATION PURPOSEI I / I I - 12/2010 Pinehurst, NC P r e s e n t a t i o n

ITEMS PAID OR PROVIDED

H otel and Meals


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

D a t e o f R e p o r t07/12/2011

V . G I F T S . a n c l ,d ~ s , h o s , , o 5 p o , s e a n d d ~ , e n d ~ n , children; s c c p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts .)

S O U R C E D E SC RI P T I O NI.2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n c l a d , , , h o , o o f , p o , s e . ,d d e p c n d e n , children; see p p . 3 2 - 3 3 of filing instructions.)D N O N E (No re portable liabili ties .)

2.

3.

4.

5.

C R E D I T O RB a n k o f A m e r i caB a n k o f A m e r i ca

D E SC RI P T I O NMortgage on I nves tment P rope r ty : Edi s to Beach , Sou th Caro l inaMor tgage on I nves tment P rope r ly : Char l e s ton , Sou th Caro l ina

V A L U E C O D ENN


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FINANCIAL DISCLOSURE REPORTPage 4 of 8 Ia m e o f P e r s o n R e p o r t i n gGe r g e l , R~c h a r d 5 1 . D a t e o f R e p o r t07/12/201 I

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, transactions (Includes those of spouse and dcptndent chi ldren; see pp. 34-60 of f i l ing instructions. )N O N E ( N o reportable income, assets, or transactions.)

A. B. C.Descriplin n o f A ssets In com e durin g Gross va lue a t end( inc luding t rus t asse ts ) reporting period of repor t ing per iod

(I) (2) (I) (2) (I ) (2) (3)Place "(X)" after each asset A mo u n t Type (e.g. , V alue V a lue T y p ~ ( e . g . , D a t e V a l ue

exempt f rom pr ior d isc losu re Co d e I div. , rent, C o d e 2 Method buy, se l l , mm/d d /y y C o d e 2(A-H) o r i n t . ) (J-P) C o de 3 redem ption) 0-P)( Q - W )

N o n e PI WN o n e N W

D Re n t M W

N o n e K TB Int . /Div. J TA lnt ./Div. K TA Int . /Div. K TD Int . /Div. M T

A Int . /Div. J TB Int . /Div. K TA Int . /Div. K TA Int . /Div. J T

N o n e J TA Int . /Div. J T

N o n e J T

A lntJDiv. J TA Int . /Div.

I. I nves tment P rop e r ty , Edi s to Beach , SC2. I nves tment P ro pe r ty , Char l e s ton , SC

3. 1 5 1 9 R i c h l a n d L L P , C o l u m b i a , S C4. Prudent i a l L i fe I nsu rance5. C o l u m b i a C a s h R e s e r v e s6. All iance Balance W eal th St ra teg ies C las s A7. Am. U.S . Government Secur i t i e s Clas s B8. A m . B a l a n c e d C l a s s A9. A m . B a l a n c e d C l a s s BI0 . A m . H i g h I n c o m e T r u s t C l a s s AI I . C o l u m b i a M a r s ic o F o c u s e d E q . C l a s s A1 2 . AM. Europa ci f ic Growth Clas s A1 3 . Goldman Sachs St ra teg ic Fund1 4 . Har t ford Ad v i sors Clas s A1 5 . Pu tnam I n t e rna t iona l Equ i ty Clas s A

1 6 . A m . W a s h in g t o n M u t u a l I n v . C l a s s B1 7 . Ship F inanc ia l In te rna t iona l Com LSD Sold 08/03/10 J A

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( 4 ) ( 5 )

Gain Identity ofC ode I b uye r/se ller(A-H) { i f p r i v a t e

t r a n s a c t i o n )

I . Income G ain C odes : A = $ 1 , 0 0 0 o r le ss B = $ 1,001 - $ 2,500 C =$2,501 - $5 ,000 D =$5,001 - $15,000( Se e C o lu m ns B I a nd IM ) F - $5 0,0 91 - $ 10 0,0 00 G = $ I 0~.0~ I - $1,00~.000 H I = $ 1 ,000 ,001 - $5,0~,000 H2 =More th an $5

2. Va lu e C o d es J = $1 5.000 or less K = $ 15.001 - $ 50.000 L = $ 50.001 - $ 100.000 M =$100.001 - $250.000( S e e C o l u m n s C I a n d D 3 ) N =$250.001 - $500.090 O -$ 500 ,09 1 - $1,0 ~0,00 0 P I = $1,00 0,0 01 - $ 5,00~ ,0~ 0 P2 =$5.000.001 - $25.00~,090

P3 $25.0~0.001 - $50.00~.000 P4 =More than $50,000.0(KI3 . Valu e Meth od Codes Q = A p p r a i s a l R =Co~t (R eal Es l a l e Only ) S =As s es s ment T =Cas h Mark c l( S e e C o I u m n C 2 ) U =Book Valu e V =Oth er W =Es t imated

E =$15,091 - $ 5 0 , 0 0 0


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Name of Person Repor t ingGergel, Richard M.

Date of R e p o r t07/12/201 I

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, transactions a.ctuaes those of spouse a.a aepe.~e.t children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t io n o f A s s e ts Income dur ing G r o s s v a lu e a t e n 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

0) (2) 0) (2)Place "(x)" af ter each asset A m o u n t T y p e ( e . g ., Value Valueexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

0)T y p e ( e . g .,

buy, s e l l ,r e d e m p t i o n )

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(2) (3) (4)

D a t e Value G a i nm m / d d / y y C o d e 2 Code I(J-P) (A-H)

(5 )Identity of

buyer/ se l le r(if private

transaction)

1 8 . All ianceBer Large Cap Growth C las s A A Int . /Div. J T1 9 . Morgan S lan l ey Div iden t Growth Clas s B A Interest J T20 . Morgan S tan l ey European Equ i ty Clas s B A Int . /Div. J T21 . Morgan S tan l ey L iqu id As se t Fund A Int ./Div. J T22 . Morg an S tan l ey S t ra teg i s t Fund A A Int ./Div. J T23 . B a n k M e r i d i a n N A N o n e K T24 . F i r s t N a t i o n a I B a n k s h a re s l n c N o n e Sold 08/03/t 0 J A25 . Tide lands Baneshares Inc N o n e Sold 08/03/I0 J A26 . Vis taBank South Caro l ina N o n e K T27 . B a n k o f A m e r i c a A lnt ./Div. K T28 . T I A A - C R E F D Int ./Div. M T29 . E x x o n M o b i l N o n e Sold 08/03/I 0 J A30 . C o l u m b i a T a x E x e m p t R e s e r v e s A Int . /Div. J31 . W achov ia Cer t i f i ca te s o f Depos i t A Int . /Div. J32 . Morgan S tan l ey Globa l Div . Growth / A Int ./Div. JSect ion A33 . A m . S h o rt T e r m B o n d / C l a s s A A Int . /Div. K

TT

T

T34 . Lord Abbot t Shor t Dura t ion Tax Free Fund B Int ./Div. L Bu y 06/22/10 L

I. Income Gain Codes: A =$ 1,000 o r less B = $ 1,001 - $2 ,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000(S~e Co lumn s BI an d D4) F =$50.001 - $10~ .00~ G =$100,001 - $1.000.0~0 H I = SI .0~.001 - $5 .00~.090 H2 =M ore th an $5 .000,000

2. V alu e C od es J = $1 5,000 o r le ss K :$1 5,001 - $ 50.000 L =$50.001 - $ 100.000 M -$ 100,001 - $250.000(See Co lumn s CI an d D3) N =$ 250.001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,090,000 P2 =$5,000.001 - $25,000.000

P3 -$25,000,001 - $50,000,000 P4 =Mo re Ih an $50 ,000,0003 . Valu e Mc th ed Codes Q =Appra i s a l R =C os t (R eal Es t a t e Only ) S =As s c s s mc nl T = Cash Marke t( s e e C o l u m n C 2 ) U =Book Valu e V = O the r W = E s t im a t e d

E = $ 1 5 . 0 0 1 - $ 5 0 . 1 ~ 9 0


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

D a t e o f R e p o r t07/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S -inc~me~~alue~transacti~ns(~nc~udesth~se~fsp~useanddependentchildren;seepp~34~6~f~inginstructi~n~[~ N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i on o f A s s a t s I n c o m e d u r i ng G r o s s v a l u e a t e n d( in c l u d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d

O) (2) 0) (2)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 T y p e ( e . g ., Value Valueexempt from prior disclosure Code I div . , r ent , C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3

( Q -W )

Type (e.g. ,buy, se l l ,

redempt ion)

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

(2) (3) (4) (5 )Dat e Value [ Gain I d e n t i t y of

m m / d d / y y Code 2 i Code l b u y e r / s e l l e r(J-P) i (A-H) ( i f p r i v a t e

[ t r a n s a c t i o n )

35. Blackrock GlobalAllocation Fun d B Int./Div. L T Bu y 06/22/10 L36. T em p l eton G lobal Bon d Fun d B Int./Div. L Bu y 06/22/10 L

I. In co m e Gain Cod es : A =$1 ,000 or less B = $1 ,001 - $2 ,500 C = $2,501 - $5 ,000 D =$5.001 - $15,000(See Co lumn s BI an d D4) F =$50,001 - $100,000 G =$100.001 - $1.000.0OO H I =$ 1.0 00 .0 01 - $ 5. 00 0.0 00 H 2 = M or e t ha n $ 5, 00 0, 00 02. Valu e Codes J =$15,000 or less K = $ 15,001 - $ 50,000 L = $50,001 - $ 100.000 M = $ 100.001 - $250.000(See Co lumn s CI an d D3) N ~$250,001 - $500,000 O -$500,001 - $1,000.000 P I =$ 1, 0~ X L0 0I - $ 5, 00 0.0 00 P 2 =$ 5.0 00 ,0 01 - $ 2 5.0 00 ,0 00

P3 =$25,000,001 - $50.000.000 P 4 Mo re than $50 ,000 .0003 . Valu e Meth od Codes Q = A ppr a i sa l R =Co s l (R eal Es t a te Only ) S A s s c s s m c n l T C a s h M a r k c l~S c c Colu mn C2) U =Book Valu e V O l h cr W = E s t im a t e d

E =$15.001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 7 of 8 Iame o f Pe rson Report ingGergel, Richard 51. Date of Report07/12/2011V I II . A DD IT 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 . (Inaicate part of report.)


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N a m e o f P e r s o n R e p o r t in gGergel, Richard 51.

D a t e o f R e p o r t0 7 / 1 2 / 2 0 1 1

IX. CERTIFICATION.I certify that all information given above (includ ing information pertaining to my spou se and m inor or dependent children, if any) is

accurate, true, and comp lete to the best of my kn owledge and belief, and that any inform ation not reported svas withheld because it met app licable statutorypros~isions permitting n on-disclosure.1 further cert ify that earned income from outside employm ent and honoraria and the acceptance of gifts which have been reported are in

compliance with the provisions o f 5 U . S . C . a p p . 501 et. s e q . , 5 U . S .C . 7 3 5 3 , and Jud icial Conference regulations.

S i g n a tu r e : S / R i c h a r d M . G e r g e l

N O T E : A N Y I N D IV I D UA L W H O K N O W I N G L Y A N D W I L FU L L Y F A L SI F IE S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B JE C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 104)

Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544


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AO IORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Govermnent Act o f 1978(5 U.S.C . app..~sq 101-111)

1 . Person Reporting (last name, first , middle initial)Ger ge l , R ich ar d M .

4. Title (Article 111 judges ind icate active or senior status;magistrate judges indicate full- or part-t ime)

United States Distr ict Judge- Active

2. Court or OrganizationDis t r ict o f So u th Ca ro l ina

5a. Report Type (check appropriate type)] Nomination, D a t e[] Initial [] Annual5b. [] Amended Report

] Final

7. Chambers or O ffice Address85 Broad St r ee tCharleston, SC 29401

3. Date of Report05/04/201 I

6. Repor t ing Per iod01 / 01 / 2010

to12/31/2010

8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancevdth applicable laws and regulations.

Reviewing Officer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe ,! Complete all parts,check ing the NONE box for each par t where you have no repor table information. S ign on las t page.

I . P O S I T I O N S . ( Report in g in div idua l on ly ; seepp . 9 - 13 o f f i l in g in s truc tion s . )~ (No reportab leposi t ions .)O N E

POSITION N A M E O F O R G A N I Z A T I O N / E N T IT Y

2.

3.

4.

5.

I I . A G R E E M E N T S . t R e ~ , o r t in g i n d i v ld u a l o , ly ; s e e p p . 1 4 - 1 6 of filing instructions.)~ (No reportab le agreemen ts . )O N E

DATE P A R T I ES A N D T E R M S


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N a m e o f P e rs o n R e p o r t i n gGergel, Rich ar d M .

D a t e o f R e p o r t05/04/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o , ~ i ,g i , d i v i d u a l a , d , p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Incom e~-] (No reportable income.)O N E non-investment

D A T E SO U R C E A N D T Y P E INCOME(yours, not spouses)1. 2010 Gerge l , Nickles and Solomon, P .A. $1 ,704 ,251 .002.3.4.

B . S p o u s e s N o n - l n v e st m e n t I n c o m e - If you were ma rried during any portion of the reporting year, comple te this section.(Dol lar amount not required except for honorar ia . )

D (No reportable income.)O N E non-investmentD A T E SO U R C E A N D T Y P E

I . 201 0 Colum bia C i ty Counci l Sa la ry2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, ente r ta inment(Includes those to spouse and dependent children," see pp. 25-27 of fi l ing instructions.)

D (No reportable reimbursements.)O N ES O U R C E

I. SC D efense Tr ia l At to rneys2.3.4.5.

DATES LOCATION PURPOSEI I / l I - 1 2 / 2 0 1 0 Pinehurst, NC P r e s e n t a t i o n

ITEMS PAID OR PROVIDEDHote l and Mea ls


11/16

FINANCIAL DISCLOSURE REPORTP a ge 3 o f 8

N a m e o f P e r so n R e p o r t i n gGe rg e l , R i c h a rd M .

Date of Report05/04/201 I

V . G I F T S . a . c t .d . ~ , h o ~ e , o ~ , o u ~ o u . d d o , , .d o . , c h i td r e . : ~ e e p p . Z S - J t of filing inxtructions.)N O N E ( N o repor table g~s .)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l ~ d e s , h o s e o f s p o u s e ~ n d ~ e p e . d e ~ t children; see p p . 3 2 - 3 3 of f i l ing instructions.)D (No repo rtable liabilities.)O N E

C R E D I T O RI. B a n k o f A m e r ica2. Bank of Amer ica3.4.5.

DESCRIPTIONMortgage on I nv es tment Prope r ty : Ed is to Beach , Sou th Ca ro l inaMor tgage on I nv es tment Prope r ty : Cha r le s ton , Sou th Ca ro l ina

V A L U E C O D ENN


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N a m e o f P e r s o n R e p o r t in gGergel, Richard 51 .

D a t e o f R e p o r t0J/04/2011

V I I . I N V E S T M E N T S an d T R U S T S - income, ,alu, ira .... t ions ( Includes those o f spouse and dependent ch i ldren; see pp . 34 -60 o f f i l ing instruction~)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Income during( 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) (2)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 T y p e ( e . g .,e x e m p t f r o m p r i o r d i s c l o s u re C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value

C o d e 2 M e t h o d( J - P ) C o d e 3( Q - W )

T y p e ( e . g .,b u y , s e l l,

r e d e m p t i o n )

Transactions during reporting period(2) ( 3 ) (4)

D a t e Value Gainmm /dd!yy C ode 2 C ode I

(J-P) (A-H)

( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

I. I nv es tment P rope r ly , Ed is to Beach , SC! 2 . Investment Property, Charleston, SC

3. 1519 Richland LLP, Columbia , SC D

N o n eN o n eRent

PIN

M

www

4. Prudent ia l Life Insurance N o n e K5. Columbia Cash Reserves B Int. /Div.6. All iance Balance Weal th S tra tegies C lass A A Int. /Div.7. Am . U.S. Government Secur i t ies C lass B A Int. /Div.

J

KK

T

T

T

8. Am . Balanced C lass A D Int. /Div. M9. Am . Balanced C lass B A Int. /Div. J1 0 . Am . High Income Tru s t Cla ss A B Int.tDiv. KI 1 . Colum bia Marsico Focused Eq. C lass A A lnt./Div. K1 2 . AM. Europacif ic Growth Class A A Int. /Div. J1 3 . Goldman Sachs S tra tegic Fund N o n e J1 4 . Har t fo rd A dv isor s Cla ss A A lnt./Div. J

TTTTT

1 5 . Pu tnam I n te rnat iona l Equ i ty Cla ss A

1 6 . Am . Wash ing ton Mu tu a l I nv . Cla ss B1 7 . Ship F inancia l In te rna t iona l Com LSD

AA

N o n e

lnt./Div.Int. /Div.

JJ

T

TSold 08/03/10

I. Incom e Gain C odes: A = $1.000 o r less B $1 . 001 - $2 . 500 C = $2 .5 01 - $5 ,000 D = $5,001 - $15,000(See Columns BI and I ) 4 ) F =$50.001 - $100.1~0 G = $1 00 .0 01 - $ 1.0 00 .0 00 H I = $1 .0 00 .0 01 - $ 5.0 00 .0 00 H2 =More than $5.000.000

2 . Va lu e Codes l = $ 1 5 . 0 1 3 0 o r l e s s K =$15.001 - $50.000 L -$50,001 - $100,000 M -$1 00,001 - $2 5 0.000[See Col umns CI and D3) N =$250.001 - $500.000 O =$500.001 - $1,000,000 P I = $1 ,0 00 ,0 01 - $ 5, 00 0,0 00 P 2 =$ 5.0 00 ,0 01 - $25.000,000

P3 =$25 .000.001 - $50.000.000 P4 =More Ihan $50,000,0003. Value Method Codes Q =Appraisal R =Cosl [Real Estate Only) S = Assessmen t T =Cash Mar ket( See Col umn C2) U = Book Valu e V = Other W = E s t ima ted

E =$15,001- $50,000


13/16


N a m e o f P e r so n R e p o r t i n gGergel, Richard 51 .

Date of R e p o r t05/04/201 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 . c o m e , ,,ol.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Desc r ip l ion o f Asse 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

( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod o f r e p o r t i n g p e r i o d(I) (2) O) (2 )

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu eexempt from prior disclosure Code I d i v , , r e n t , C o d e 2 Method

( A - H ) or in t . ) (J-P) C o d e 3( Q - W )

Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

Transact ions du r ing repor t ing per iod

(2) (3) (4)D a t e V a l u e G a in

mm/dd/yy Code 2 Code I( J - P ) ( A - H )

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t e

t r ansac t ion )

1 8 . AllianceBer Large Cap Growth Class A A Int./Div. J T1 9 . M organ Stanley Divident Growth Class B A I n t e r e s t J T

20. Morgan Stanley European Equ i ty Clas s B A Int./Div. J T21 . M organ Stanley Liquid Asset Fund A Int./Div. J T22 . M organ Stanley Strategist Fund A A Int./Div. J T2 3. B an k M e ri dian NA None K W24 . First National B ankshares Inc None Sold 08/03/10 J A25 . Tidelands B aneshares Inc None Sold 08/03/10 J A26 . VistaBan k South Carolina None K W2 7. B an k of Am eric a A Int./Div. K T28 . T I A A - C R E F D Int./Div. M T29 . Exxon M obi l None Sold 08/03/10 J A30. Columbia Tax Exempt Reserves A Int./Div. J T

3t. Wachovia Certificates o f Dep o s i t A Int./Div. J T32 . Morgan Stan ley Globa l Div . Growth / A lnt./Div. J TSection A33 . Am . Shor t Te rm Bond/Cla ss A A Int. /Div. K T34 . Lord Ab bo t t Shor t D u ra t ion T a x F re e Fu nd B Int./Div, L T Bu y 06/22/10 L

| . Income Gain Codes : A =$1 ,O00 or less B =$1,001 - $2,500 C = $2 ,5 01 - $5 ,000 D = $5 ,001 - $| 5 ,000( See Col umns B I and [M) F =$50.001 - S 100.000 G =$100.001 - $1.000.000 HI =$1.000.001 - $5.000.000 H 2 = Mor e t han $5 . 0~. 000

2. Value Codes J =$15.000 or less K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.0~1 - $250.000ISecCol umns CI and D3) N =$250.001 - $500,000 O $500,001 - $1,000,000 PI -$1.000,001 - $5,000.000 P 2 - $5 ,000,001 - $2 5 ,000,000

P3 $25.000,001 - $ 50.000,000 P4 = M ore than $50.000,0003. Value Method Codes Q =A ppra i sa l R =Cosl (Real Estate Only) S =As~s_~mcnt T =Cash Mar ket

( See Col unm C2) U = Book Valu e V -O t her W =Estimated

E =$ |5 ,00 | -


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N a m e o f P e r so n R e p o r t i n gGergel, Richard 51 .

D a t e o f R e p o r ~05/04/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c o ,, o, , , ,I , ,o . t r a n s a c t i o n s ( I nc l u d e s th o se o f sp o u se a nd d e p e nd e n t children;see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of A ssets Incom e during Gross value at end Transactions during reporting period

(including trust assets) reporting period o f rep orting period(I) (2) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X )" after each asset A mount Type (e.g., Valu e Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell , mm/dd/yy C o d e 2 i C o d e I buyer/seller(A-H) o r i n t . ) O-P) Code 3 redemption) U-P) (A-H) (if private(Q-W) , transaction)

135. Blackrock Global Allocation Fund B Int./Div. L T B uy36. Temp letonGlobal Bond Fund B Int./Div. L T B uy

06/22/10 L06/22/I 0 L

I. Income Gain Codes: A =$ 1,000 or less B - $1 ,001 - $2 ,5 00 C = $2 ,501 - $5,000 D = $5,001 - $15 ,000(See Co lu mns B I and D4) F =$50,D01 - $100,000 G = $100.001 - $1,000,000 H I = $1 ,000,001 - $5,000,000 H2 = More than

2. Valu e C odes J = $15 ,000 or le ss K =$15,001 - $50,000 L =$50,001 - $10~.00~ M =5100.001 - $250,1)09(See Co lu mns C I and D3) N =$250.001 - $50~.0~0 O =$50~.001 - $1,000,0~ Pl =$1,000,001 - $5,000,0~ P2 =$5,000,0~1 - $25,0~9,000

P3 =$25.000.001 - $ 50.000.000 P4 More than $50,000.0003. Value Method Codes Q = A p p r a i~ l R Co st ( Real Est a l c O nl y l S = A ssessm en t T = C ash Mark cl(.See Column C2) U = Book Valu e V = Other W = E s t ima ted

E =$15,001 - $50,00~


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N a m e o f P e r s o n R e p o r t in gGergel, Richard 51 .

D a l e o f R e p o r t05/04 /201 I

V 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 . (ln,tica,e part of report.)


16/16


Nam e of Person ReportingG e r g e l , R i c ha r d M.

D a t e o f R e p o r t0 5 / 0 4 / 2 0 1 1

IX. CERT IFICATION.I c e r t if y t ha t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h il d r e n , i f a n y ) i s

accurate , t rue , and complete to the bes t o f my knowledge and bel i ef , and that any in format ion no t repor ted was wi thheld because i t met app l icab le s t a tu to ryprovi s ions permi t t ing non-d i sc losure.I f u r t he r ce r t i fy t ha t e a rne d i nc ome f rom out s i de e m p l oy m e n t a nd hono ra r i a a nd t he a c c e p t a nc e o f g i ft s w hi c h ha ve be e n r e po r t e d a r e i ncom pl iance wi th th e pr ov is ions of 5 U .S .C . app. 501 e t . s eq . , 5 U .S .C . 7 3 53 , and Jud ic ia l Conf e r ence r egu la t ions .

Signature: S/Richard M . Gergel

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 I F I E S O R F A I L S T O F I L E T H I S 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 p p . 1 0 4 )

Com m i t t ee on F inanc ia l D i sclosu reA d mi n i s t r a ti ve O f f ic e o f t he U n i t e d S t a t e s C o u r t sSui te 2 -301O n e C o l umb u s C i r cl e , N . E .Wa s h i n g t o n , D . C . 2 0 5 4 4

Documents

Richard M Gergel Financial Disclosure Report for Gergel , Richard M