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1. Person Reporting (last name, first, middle inifial) BOWEN, DUDLEY H. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. lOl-lll)
[] Initial
5h. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
FEDERAL JUDGES ASSOCIATION. ~ TERM ENDED MAY 1,2011
2. 3. 4. 5.
II. AGREEMENTS. ~eporting individual only; see pp. 14-16 of f!ling instructions.)
~] NONE (No reportable agreements.)
DATE
Bowen, Dudley H.
IlL NON-INVESTMENT INCOME. ~Repo.ing individual andspouse; seepp. 17-24 of filing instructions.)
A. Fliers Non-lnvestment Income
~] NONE (No reportable non-investment income.)
DATE
2. 3. 4.
B. Spouses Non-Investment Income - If you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria,)
DATE
1. 2. 3. 4.
~]
DATES
May 22-25, 2011
LOCATION
Washington, DC
PURPOSE
Bd of Directors Mtg FJA
3. 4.
5.
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes those o/spouse und dependent children; see pp. 32-33 of f!ling instructlong)
NONE (No reportable liabilities.)
CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - i.come, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing i~structions.)
[~]
NONE
(No reportable
Code2 (J-P)
: buy~sell~ redemptio~l)
CHARLES SCHWAB IRA #1 MBIA, Inc General Maritime New F Citigroup Pimco Total Return Fund General Electric Federated Adj Gwth Govt Fund Dynegy Inc Dynegy Inc Pimco Real Return Fund Ford Motor Co Sch US Tips ETF AMERITRADE ACCOUNT Wahlco Envirosystems corn Merrill Lynch Pfd Pengrowth Energy Helios Adv Inc Fd -name change RMK A A A B Dividend Dividend Dividend Dividend J J T T Sold Sold 03/03/10 J 03/03/10 J A A A A A B A B A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend K K L T T T J T L J T T Sold Buy Sold Buy Buy Buy 07/26/10 01/06/10 12/30/10 12/03/10 11/24/10 12/08/10 K J J K K L A A K J T T Sold (part) Sold Sold 01/19/10 03/09/10 12/03/10 J K L B A C
(part)
(part)
1. lncomc Gain C0des: (See Columns B 1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A --$1,000 or less F ~$50100i - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B ~$1,001 - $2,500 : G =$100,001 - $1,000,000 K --$15s001 ~ $50,000 O =$500,001 - $1,000;000 R =Cost (Real Estate Only) V =Other
C =$2,501-$5,000 H i =$1,000~001 - $5,000,000 L =$50;001 : $100,000 PI =$1,000,001 2 $5,000,000 P4 =More than $50,000~000 S =AssesSment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000;000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
B. Income during reporting period (2) (1) .Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
D. Transactions during reporting period (1) Type (e:g., buy, selb redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H~ (5~ Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31.
Ameritrade cash acct Dynegy Inc Dynegy Inc Marshall Intermediate Tax Free Marshall Intermediate Tax Free BUILDERS DESIGNS 1NC COM STK AMER ON LINE COM STK CIT GROUP COM STK 1NTEL COM STK ABN AMRO/VERDUS AGG GWTH FUND EXXON MOBIL COM STK DUPONT E I DE NEMOUR & CO COM STK WACHOVIA CORP NEW COM STK Dreyfus Hi Yld Strategy Fund
A A A A A A A A A A A A A A A B A
Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J J K L K J J
T T T T T T T T
T
J Sold 07/13/10 J A
34. Citigroup
Sold
12/14/10 J
1. lncome Gain Cc, d~g: : (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (Sec Column C2)
A =$1 ;000 or less F =$50,00! - $I00,000 J =$15,000 or less N =$250,001 ~ $500,000 P3 =$25;000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Rcal Estate Only) V =Other
C =$2,501 - $5,000 H i =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI $1,000,001-$5,000,000 P4 -More than $50,000,000 S -Assessment W =Estimated
D $5,001- $15,000 H2 =Morethan $5,000,000 M=$100,001- $250,000 P2 -$5,000,001- $25,000,000 T =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRU STS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code 1 (A~H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) D. Transactions during reporting period : (1) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (k-H) (5) Identity of buyer/seller (i~private transaction)
A A A
J K K
A A A
A A B
A
Sold Sold K
K
J K L
L
A C A
D
T
T
Sold (part)
(part)
Sold 07/26/10 L A
Sold
42.
Dividend
43.
Pengrowth Energy Tr
Distribution
Sold
08/02/10
44.
Dynegy Inc
Dividend
Buy
04/08/10
45.
Dynegy Inc
Dividend
Sold
12/30/10
46.
47. 48. 49. 50. 51.
OTHER INV/TRUSTS
ABN AMRO VERDX MCGFX FUNDS (ALLEGHANY) E I DUPONT - DRIP GA BK & TR MONEY MKT ACCOUNT GA BK & TR SVG ACCT. TIAA-CREF MUTUAL FUND D A B A A Dividend Dividend Interest Interest Dividend M J M K L T T T T T
11 lnc0me Gain C0desl (See Columos B 1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Columo C2)
A =$1,000 Or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Valuc
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K=$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V -Other
C =$2,501 - $5,000 H 1 =$ t,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$11000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
=$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 $250,000 P2 $5,000,001 -$25,000,000 =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A, Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) D Transactions during reporting period: (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Value Gain Date mm/dd/yy Code2 Code 1 ~ (J-P) (A-H) (5) Identity of buyer/seller (itprivate transaction)
52. 53, 54. 55. 56. 57. 58. 59. 60. 61, 62. 63, 64, 65. 66. 67. 68.
CSRA FED CR UNION REAL PROPERTY, MCCORMICK CNTY, SC BARCLAYS MONEY MKT ACCOUNT ATLANTIC AMER COM STK REGIONS BANK SAVINGS ACCOUNT Charles Schwab IRA #2 IDII STOCK Merrill Lynch Pfd Vanguard Gwth Fd Pimco Real Return Fund Pimco Total Return Fund Pengrowth Energy Trust fTrust Pengrowth Energy Trust FTrust Ridgeworth US Gov Ultra Short Ridgeworth US Gov Ultra Short CHARLES SCHWAB FORMERLY T ROWE PRICE MOTOROLA
A D B
J J J J J
T W T T T
Interest
A A A A A A A A A
J K K J K
T T T T T Buy Buy Buy Sold Buy Sold 06/03/10 06/03/10 06/03/10 08102/10 02105/10 06/03/10 J K J J K K A A
Dividend
1. Income Gain Codes: (See Columns B 1 and 134) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50~000,000 Q =Appraisal U =Book Value
B =$1,001 - $2;500 (3 =$I 00,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,0001001 - $5,000;000 L =$50;00i - $100,000 P I =$I,000,001 = $51000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250;000 P2 $5,000;001-$25,000,000 "i- =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, vatue, transac~ns anciudes those oSspoase and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) P ace "(X)" aider each asset exempt from prior disclosure B. Income during report ng period (1) Amount Code I (A-H) (2) Type (e.g., div., rent, or int ) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) J T D Transactions during reporting ~riod (t) Type (e.g., buy, sell, redemption) (2) Date ..... mm/dd/yy (3) (4) (5) Value da~ Code 2 Code l (J=P) (A-~: ........
69.
LUCENT
Dividend
A A A
J J J
T T T
KINDER MORGAN INC NORTHERN BORDERS PTNERS (NBP) NORTHERN BORDERS PTNERS (NBP) Trust Charles Schwab
Willis Group Holdings
J K J
T T T
Dividend
79.
80.
B
A
Dividend
Dividend J T
Sold
07/26/I0 J
81.
82. 83.
Ridgeworth US Govt
Pimco Tot Retn Fund TRow~Price Spectrum
A
A A
Dividend
Dividend Dividend K J T T
Sold
Sold (part) Buy
06/03/10 K
12/03/10 01/07/10 J J
A A
84. 85.
A A
Dividend Dividend
K K
T T
01/07/10 K 12/02/10 J
A
1. Income Gain Codes: (SeeColunms B1 and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$i;000 Or iess F=$501001 ~ $I00,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 : $2,500 G =$i00,001 ~ $i,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,000,001 ~ $5i000,000 L =$50,001 - $100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000
E =$15,001 - $50,000
H2 =More tha~ $5;000,000 ........ M =$100,001 Z $250;000 P2 =$5,000,001- $25i000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, vat,e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g.. Code t div., rent, (A-H) or int.)
Gross value at end Transactions during reporting period (4) (2) (3) Date Value Gain mm/dd/yy Code 2 Code 1
(J-P)
of reporting period (2) O) (1) Type (e.g, Value .... Value Code 2 Method ..... bu~;selli (J-P) Code 3 ~demption) (Q-W) J T Buy Buy Sold J J J K K T T T Buy Buy Buy Buy Buy
(A-H)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97.
Marshall Intermediate Ga Pwr Ser 5.7 Ga Pwr Ser 5.7 Commercial Metals Johnson & Johnson Lowes Southern Co Pimco Total Return Fund Charles Schwab IRA #3 Rollover Schwab Adv Cash Reserve Nokia Pimco Total Reserve Fund
A A A A A A A A
J K K J J J
06/07/10 K 06/07/10 K
A A A
12/03/10 K
1. Income Gaifi C6desi (See Columns BI and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1 ;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1~001 , $2i500 G =$I00,001 - $L000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C--$2~501 - $5,000 H i g$i;000,00i -- $5;000;000 L =$5o,0o!: $100~000 Pl =$1i000,001- $5,000,000 P4 =MOre than $50;000;000 S =Assessment W =Estimated
D =$5.001 -$15,000 H2 =M0re than $5;000;000 M =$~00,001 - $250;000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544