William M Nickerson Financial Disclosure Report for 2009

8/3/2019 William M Nickerson Financial Disclosure Report for 2009

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I A o J o I FINANCIAL DISCLOSURE REPOR T a c t . o , - , R e q . i r e , ~ b ~ , t h ~ E t h ~ ,in Government Act of 1978~e~. ~,2010 FOR CALENDAR YEAR 2009 (~ U.SC. app. }~ lOl-llO1. Person Reporing (last nam e, ~rst, middle initial) ~. Courl or Organizat ion 3. Date of ReporlN~ckerson, William M. Ma~land 04/27/2010

4. Tille (A~iclc ill judges indicate activc or senior status; ~ 5a. Rcpor~ T ype (check appropriate Ivpc) 6. Reporting Periodmaglstra~c udgc~ indicate tkdt- or pa~-mne) [ ~ Nomination, Date 01/0112009U.S. Dislrict Judge, Senior St ~ lmtial ~ Annual ~ Final to12/31/2009

5b. ~ Amended Report7. Chambers or Office Address 8. On lhe b~s is o[ the informnd~n cm~t~ined in th is Reporl ~ndI01 W. Lombard Slreet with ~q)plic~ble laws and regul~li~ns.B al t im or e MD 21201

Reviewing Officer Date

I . ~ I P O R T A N T N O T E N : The imtructiot ~ accompanying this form must be f!~llo,,,ed. Complete all tmrts,checking the NONE box fi~r each part where k,~m h~ve no reportable inf!~rmation. S@n on last page.

~ NONE (No neportab!e agreem~mts.)DAT~ P A R T I E S A N D T E R M S

1. 1216/93 State of Md. Jndicial Pension Plan;


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 2 of 12

] Nickersan. %Villiam M.04/27/2010

Ill.NON-IN VE STMENT IN COME. (~,i,,~A. Fliers Non-Iuves tment Income

NONE (No reportable non-im, estment income.)D A T E S O U R C E A N D T Y P E ~COME( y o u r s ~ n o t s p o u s e s )

I. modishly Stale of M& Judicial Pension Plan $29,091.96

3.4

B. Spouses No n-lm gstmelli Income - Uyo,, were married during any portit, n t;f the ~eporting kear, complete the" section,

~ N O N E (No reportable ~on-investmem income,)D A T ~ ~URCE AND TYPE

1.234.

"1~./,~x, REIMBURSEMENTS .... .,,,,~ ..... ,,o., h.dgir,g.food, ~rnt, r,mi ........N O N E ( N o r~:)7(.)rta~,?e reimburset~ ents.)

~ ~ [OC&TION P U R P O S E I T E M S P , ~ [ D O R P R O S q D E D1 .

234.5.


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 3 of 12

! Nickerson, W i l li a m M . 0 4 : 2 7 / 2 0 ~ 0

V . G [ F T S . . n , . , d e , h , .~ , , , .t . u . . ,, d dependem children: see I P" 2 8 .3 1 cq" f!gng instruction*.)NONE (iX9 reportable

~ D g S C R I P T I O N VALI~

3.4.5.

~ N O N E OVo r~7)


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F I N A N C I A L D I S C L O SU R E R E P O R T ~ .. ..Page 4 of ! 2 Niekerson, W i ll ia m M . 04/27:20!0

V I I . 1 N V E S T S I E N T S a n d T R U S T S -- i,,, ........ . ~ , + . t . . . . .. . . " t i o n s ( I n c l u d e . , t h o . s e u f . V, .......... l dependent child ........ pp. 34-60 ,filix,g i ....... lions.)NONE (;vo reportable income, a ssets, or transactiom.)

( i n c i u d i n g m ~ s : a s s e t s~ ~ r e p o r t i n g p e r i o d } o f r c p o r 6 n g p e r i o d, , . ~ ; . , r ".P , a c c ~ X ) " a ~ t e r e a u h a s s e ~ { A m a u nt F v p c ~ e . ~ . ,e x e m p t t r o m p r m r d i s c l o s u r e { C o d e ! ~ d i v . , r c n l , ~ C o d e 2 I M e th o d b u y , s e l l , m m , d d ~ y [ C o d e 2 { C o d e I b u v e t . s e l i e ~( A - t I ) ~ o r i n t . ) 1 ( J - P ) C e d e 3 ] c d c m p f i o n ] ~ (J-P) ; (A-II) [ ( i f p r ~ v a l ~

1 . Wyeth cnm A Oividend Distribuled 1 0 / 1 6 / 0 9 K E2. Bristol Myers Squibb cmn B Divtdend K T

3 . Chevron Texaco Corp ibrrn~rly Chevron B Dividend KCorp cmn4. Coea Cola Co cmn B Dividend L T5. Colgate Pahnolive Co. cnm B Dividend L T6. D~amond Ofl}hore Drilling Co cnm A Dividend K T7. DuPonl, E. I cmn A Di~idend J "1"8. Equii)ax Inc. cmn A Dividend K T9. General E lectric Co. cmn B Divide~d K T

1 0. (.iencrat Mills Inc. cmn I} Dividend K T11 Johnson & Johnson cmn C Dividend L T

112. Merck & Co, inc. cmn A Dividend K T1 3. Pitney i3owes, lnc cmn A Dividend J T1 4 . Procter & Gamble Co. cmn A Dividend J T1 5 . Mutual Shares Fund A Dividend J T1 6. Consteliation Energy cmn A Dividend J T-, l .....7 . Cheesecake Factory Inc. cmn None K T


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F I N A N C I A L D I SC L O S U R E R E P O R T t ~ . . .. . . ~ . . . . .. . R ~ v o ~ . . gPage 5 of 12 ~~rso. , wm ~,, , ~L

VII. IN~ EST~ IENTS and TRUSTS -~ .......... a , ~ , , , . . . . .. . . . , io n s a , , : t, , d e s 1 ~ . . . .. . . 4 . w , , , s e ,, , ,a a , W , n d e , , e , m t d , e n ; s e ~ p p . S 4 - ~ O q t r m , , x i ........ d o n s . )~ NONE (~k.b reportable income, assets, or lransactions.)

A. B. C, D.(including tr:s asset:0 ~ r c p o m n g p c r l o d ~ f f r e p o n i n g p c r i o d

c x g m p l f r o m p r i o r d i s c l o s u r e ; Code I ~ 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. [:nm~d~/vv Cofi 2 Code ~ b u v t r ~ s c f i c r( A - t l ) o r i n l . ) ( J - P ) C o d e 3 r e d e m p~ : o n )........................................................ ~ ..................... (Q-W~

I ~ t ransae tm n)~ 1 8 . Jones Appard Orp emn A Dividend J T~ 1 9 . T.RP. Md. Tax F~ee Bond C Dividend L T

~ 2 0 . T.R.P. Tax Exempl M.M A Dividend M T2 ~ . J P Morgan - Trust A ~istribution P I T

- J P Murgan Deposit Sweep Instl (ChaseMarket R ate Acct)2 3 . - Venzon Com municati(ms

2 4 . - Chevron Corp. ] Sold 06/29/09 K(pan)~ s - " " Sold 07/01/09 K( p a r t )2 6 . - Dow Chemical2 7 . - Gen E lect Co Sold 0 W O l z 09 K( p a r t )28 - Exxon Mobil Copp Sold 0 7 . / 0 2 " 0 9 K(pan)

2 9 . Sold 0 7 . 0 7 ; 0 9 L( p a r t )3 0 . - J P Morgan Core Bond Sel Fid F,and3 !. Altria Group, Inc.

3 2 . - American Elecmc Power Co.

3 3 . - Bank of America Co~ New3 4 . - Bristol Me)ers Squibb Co


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F I N A N C I A L D I S C L O SU R E R E P O R T N ..... Person Report ing I Date o~" ReporlPage 6 o f 1 2 Nickerson, \ V i l l i a m M.1

04/27/20~0

~ NONE, ~ (~ ,~ repo rtable income, assets, or transactions.)

P~acc "(X~" af:er each a~set Amoun~ T5 pc (cg, V~h~c Value T?pc (e,g, Da:e Value ] Gainexemp~ from prior discio~ur~ Code I ~ d~x., rent. ~ Code 2 M ~ : l h o ~ buy, s~. m~d~, x ,y C~,dc 2 Code ~ buyeziseilcr[ (A-It) ~rint) ~ ( . I - P ~ Cod3 ycdemption [ {J ) ~ (AH~ (fprvalc

35 . - Cidgroup Inc. [ Sold ] 01.22:09 J36 . - Consolidated Edison,

37 . - Dnminion Resources [nc VA

38 . - [:.astman Chemical Co So ld I !,05 , 09 K

39 . - ScanaCorp

4t). - Washington Mu~ Inc. Sold 09.16/09 J

41 . FNMA 3.375% 12/15/08 .... ~ .........- i Redeemed ~2.15.08 K

42 . -- Merr il l Lynch N! I .~ 4.125% 1/15/09 Redeemed 01 q 5..09 K

43 . - Morgan Stard~y 4,25% 5/15/10

44 , - Donneltcv RR & Sons Co.

45 . - Duke Ener gy Hldg . Cor p .

46 . - Trave l e r s C os . Inc .

47 . - Wachovia Corp 2nd New Sold 09:~6."09 J

48 . - ~\hirlpool Corp.

49 . - G lax os m i~hkl ine l l .C Spons or ed A D R Sold I ] 05/09 K50 - ldearc, Inc. Sold 10;27,.09 J51 . KJaft Foods. Inc.


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F I N A N C I A L D I SC L O S U R E R E P O R T ~ . . . . of F ..... R e p o r t | n g [ D a , e o f R ~ p o r tPage 7 of 12 Nickerson, William M,

]04/27/20!0

NONE ~Zo reportable income, assets, or transactions.)

D : s c r ip ~ o t ~ o i A s s e ts ~ l n c o m ~ d u r in g [ G~oss value at end [ T ~ a ~ s a c ~ i o n s d ~ i n g r c p o ~ i n ~ p e r i o d( i n c l u d in g b u s ~ a a s c : s , ~ , e p o ~ : , ~ g p e r i o d o f f , p o r t in g p e r i o d

{A-H) . e: ira) ( J - P C o d e }. ~ Q . W ) " "............................................................. i .................................... [ ........... I ................. I t r a n s a c t ~ o n ~5 2 . - Spectra Energy Corp. I5 3 . - Fairpoinl Communications, Inc. (X) Soid 1 ( V 2 7 ~ 0 9 J5 4 . * Philip Morris [ntl., Inc. (X)

5 5 . - Pitney Bowes, Inc. Buy 0 7 0 7 i 0 9 K~ 5 6 . . . . . . So ld t I , : 0 5 / 0 9 K~ < ~ - Ke l logg Co . B u y 0 7 , ~ 0 7 1 0 9 K] 5 8 . - J P M o rgan M un . B d . ~ d . B u y 06!30i09 L~ 5 9 . ....... B u y i 1 /0 3 1 0 9 M[ 6 0 . - Coca-Co la Co. Buy 07 /07 /09 K

6 I. - S y s c o C o r p . Bu y 07/07/09 K~ " 6 2 . Del l , I nc . Cmn N o n e So ld 1 2 / 1 5 / 0 9 J A

6 3 . Exxon Mobi l Corp cmn ] A Div idend K T64 lnml Coq~ cmn Dividend J

6 5 . PNC Finl. Svs. Grp. cmn A Dividend K T6 6 . Microsoft Corp cmn A l)ividend J T6 7 . F. Rowe Price Inc. cmn ~ A Dividend K T

6 8 . Zebra Tech cmn None K T


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F I N A N C I A L .D I SC LOSU R E R EP O R TPage 8 of 12 Nickerson, William M, 0 4 / 2 7 ; 2 0 ! 0

V I I . IN V E S T M E N T S an d T R U S T S .. i . . . . . . . . . . ; , , , ,NONE ~Vo reportable income, assets, o~ transactions.)

~ .{ m d u d i t ~ g ~ r u s t a s s c r s~ ~ reporting pcr{od of

] l a c e " ( X ) " a f t e r e a c h a s s e l A m o u n t r v ~ , c ~ e . g , V a m ee x e m p t fr o m p r i o r d s c ~ s u c C o d e I d v ten ~ Code 2 M e h o d b u , ~ e { l mmd~y~ "ode 2 Code I b u y e r ! s e l . r( A . 1 4 ) o

6 9 ~ Pfizer tnc cmn A Dividend Sold 1 2 ~ 1 5 , ( 9 J A7 0 . Wal-Ma~t Stores cnm A Dividend J T7 1 . f:idel~ty Natt. lnib Svcs. Inc. cmn A Dividend J T7 2 . Zimmer Hides. Inc. amn None J T~ Smucker J M Co cnm A Dividend J T7 4 . Mcdc)hcalth Sohttions Inc. cmn None J T7 5 . W.P. Stex~art (}~owth Fd., Inc. D Dividend Sold I0/13/09 1. E7 6 . ....... D Dividend Sotd 1 2 / 0 1 1 0 9 L E7 7 . btassachusetls Mutual ins. Co. - whole lif~ C Dividend L Tpolicy7 8 . Ameripfise Trust Co. ACF W. M. NickersonIR A7 9 . - AME X Insd. M.M acct. A Dividend Redeem ed 1 2 , 1 4 / 0 9 J

8 0 . - Columbia Acorn Fd. - A A Dividend L T81 - Rivers{~urce Diversified Bd. Vd. C! A A Dividend K T8 2 . - Rlversource High Yield Bd. [;d. C[ A A Dividend K T8 3 . - hidelity ADV Mid Cap Fd. CI T None Sold 01/12/09 K8 4 . 1 Shares N]SCI Em elgmg Mkts. A Dividend J T8 5 . - I Shnres Russell 1000 Value A Dividend K T


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F I N A N C I A L D I SC L O S U R E R E P O R T s .... f P e r s o n R e p o r t i n g D B ~ . e o f R e p o , lPage 9 of 12 Nickerson,~il amN, 0 4 1 2 7 , 2 0 ! 0

N O N E [~Nro reportable i~come, assets, or trm~sactions.)

( i n c l u d i n g t r u s t a ~ c t s ) r e p o r t i n g p c r i o ~ o f r e p o s i n g p e r i o dPlacc"(X)"aflcreachaslet i a ~ , o u n l lvpc(eg V ite k.aue ! T~pc{cg. D a t e , Vahc ] G a I d e n l i i ) o t

r ( J - P ) i (A-E) ( i f p r i v a t e(Q-W) ~ [ ~ r z s a c..................................................... ~ ............................. { .................... .~ .......8 6 . - [ Shares Russell 1000 Gro~tk ] A Dividend K f87 - I Shares S&P E urope 350 Index A I)ividend J8 8 . - 1 Shares S&P Midcap400 Barra Growth A Dividend K Thxdex Fd.8 9 . - I Shares S&P Midcap d00 Barra-Value A Dividend K T[. Index Fd.9 0 . - 1 Sha~es S&P Sin!!leap 600 Index Fd. A Dividend K T9 1 . - MorganSlanley CapilalTrust V A Dividend J r9 2 . - F de ty Advisor Ncw Insights - T Fd. None K T9 3 . - RVS Diverse Equity Inc - A None Sold 1 2 i l 1 / 0 9 K9 4 . - MFS Intl. Diverse- A A Dividend K "1".L. - Pidclity Advisor l,Iid Cap II - A None K T Buy 01 !2i09 K9 6 R SR V U .S . G o ve rn m en t - R A {)ivide,~d Sold 0 1 / 1 6 , 0 9 .I A9 7 . Riversource hi d Sel \ aI-A Fund A Dividend K T9 8 . Ot~tumbia .,,lid Cap Value -A Fund A Dividend9 9 . Cc~lumbia Small Cap ,la~uc A Pt.lnd None1 0 0 . i:ldeliry Advisor M~d Cap II-A F d. None1 0 1 . Morgan Stanley Capital Trusl V A Dividend

1 0 2 . Oppcnkeimer Developing Mkts. - A Fd. A Dividend


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F I N A N C I A L D I SC LOSU I LE R EP OR T N ...... Persor~ Reporting I Da,e of ReportIag e 10 o f 12 Nickerson, V , il li a m M . 04/27i2010VII. INVESTMENTS and TRUSTS --~,,. ....... ~ , , , , ......... tion, (:ncludes those ,~ ........... d dependent ~l, ildren; seepp. 34-60 of f!fin, i ........ .ti,ms.)

~ N O N E ~ V o reportable income, nssets, or transactions.).................... Z .......................................Descr~p;~on of Assets Income during Gross value~ ctuding Irt s assets) reporling period of reposing period.....Place ",.X)" after each ~ssct Amount [ T y p e {cg . , [ Value l. kalec Type (e .g . , I)a~ Vah~c (;aia ldcntir. ofexem pt flora prior disclosure C ode 1 I div., rent, . Code 2 Method buy. sell. :nm.drt"vy [ Code 2 [ Code 1 buvcr..sdier" (A-H) ~ or int) Q-P) C,,de 3 redemption) ] tJ-P) ] {A-It) (if private] i ( Q-W ) transact{on)..................................................... ~ ................. : .............. . .. ... .. .. .. .. .. .. .. .. .. .. .. .. .. . i . .. .. .. .. .. ... .. .. .. .. .. .. .. .. .. .. .. ..

103 River3ource Diversified Equity Inc. - A A Dividend Sold 12:11/09 K A

104. Riv~rsource Ret. Adv. Plus Annuity A Int . iDiv . L

t(15. Rivcrsource Rot. Adv Plus Annuity A Int . /Div. k U

106. Wmdstream Co~. cmn B D~vidend Sold IZ!5.09 K A

107. Investment property, Ballimorc. MD None M R1 0 8 . Amish Naturals, Inc. - cmn None Sold 1 2 . . 1 5 / 0 ! ) J A1 0 9 L e n d e r P r o c . S v c s . , In c . - c m n A D i v i d e n d J Tt 1 0 . Riversource Ret. Adv 4 Ad. VA Annuity A [nt./Div. L .1 1 ; . Riversource Rec. & Inffa. A Fd. A Dividend J T Buy 1 2 . 2 4 / 0 9 K1 1 2 . Franklin MD Tax Free Inc. - A A Dividend J T F ; u y 02/10/09 J


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P a ge F I N A N C I A L 1 I o f 1 2 D I S C L O S U R E R E P O R T Nickerson.. W ill iam M.[ 04i27i2010

VIH. 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 . z,,,~,.~,~,,,r, o/R~,,r,.)

Part V{1, line 41 : This asset, as with all of the assets listed under the J P Morgan Trust, beginmng at hne 2 I, is only reporled to mc in accord witlt the trusts fiscalreporting fr,am .)u[y 1 to June 31. Thus, I am limited to reporting for six months of the "}ear prior to the reporting 3,car and the first six months fthe reporting year.Part Vii, fine 107: As reported for 2008, dais proper~y was purchased on I b07;2007 for $1 i0,000.


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~ m ~ of Person Reportin~ D ~ t e o f R e p o r tFINANCIAL DISCLOSURE REPORTPage 12 of 121X. C ERT I F I C A T I ON .

I certify that all information given above (including inlbrmation pertaining to my spouse anti minor or dependent children, if any) isaccorale, true, and con~plete 1o the best of m y knowledg e and belief, and that any ioformai-ion not reported w as wilhheld hecause it m et applicable statutoryprovisions perm il l ing nou-disclosure,I fur|bet certify that earned income I:rom oulside employment and honoraria and lbe accelltance of gifts which have been reported are incompliance with the p rovisions of 5 U.S.C. app. 501 e~. seq., 5 U.S.C. 7353, aud .Judicial Conference regnlatious.

Si

NOTE: ANY INDIVIDUAl . , AHO KNOWINGLY AND WILFULI,Y FALSIFIES OR FALLS TO F ILE TH IS REPORT MAY BE SUBJECT TO CIVI l,AND CR IMINAl, SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original attd 3 additional copies to:

Committee on Financial DisclosureAd mini s t ra ti ve Off ice of t he Uni t ed Sta t es Court sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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William M Nickerson Financial Disclosure Report for 2009