David A Faber Financial Disclosure Report for 2010

8/3/2019 David A Faber Financial Disclosure Report for 2010

1/14

AO 1 0Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Required by the E thicsin Government Ac t of 1978(5 U.S.C. app. ~.~ 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l )F A B E R , D A V I D A .

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 ;magis t ra te judges ind ica te fu l l - o r p ar t - t ime)

SENIOR U.S . DISTRICT JUDGE

7 . C h a m b e r s o r O f f i ce A d d r e s sP. O . B OX 4 2 7 8BLU E F I E LD, W V 24701

2 . C o u r t o r O r g a n i z a t i o nW E S T V I R G I N I A S O U T H E R N

5a. Report Type (check appropr iate type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d 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 , it i s , 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 i o n s .

3 . Date o f Report5/12/201 I

6. Report ing Per iod01/01/2010

to12/31/2010

R e v ie win g Of f i c e r 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 pa r t where you have no repor table in formation . S ign on las t page.

I . P O S I T I O N S . (Repor t ing ind iv idua l o n l y ; seepp . 9 -13 o f f i l ing ins truc tions . )~] N O N E (No reportable positions.)

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 . R e p o r t i n g ind iv id aa l o nly; s e e p p . 1 4 - 1 6 of filing instructions.)N O N E (No reportable agreements.)

D A T EI.

2.

3.

PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 7

N a m e o f P e r s o n R e p o r t i n gFABER, DAVID A.

D a t e o f R e p o r t5/12/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . t R e p o ~ i n g individual andspouse; seepp. 17-24 of filing instructions.)A. Fil e r s Non-Inves tmen t Incom e

~ (N o re po rta b le incom e .)ONE non-investmentDATE SOURCE AND TYPE

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 tm e n t I n c om e - I f you were married during any port ion of the report ing year, complete this sect ion.[Dollar amount not required except for honoraria.)--] N O N E ( N o reportable income . )on - i n v e s l m e n t

DATE SOURCE AND TYPEI . 2010 S a la ry a s te a c h e r , M e rc e r C o u n ty , W es t V irg in ia B o a rd o f E d u ca t io n2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.2.3.4.5.

PURPOSE ITEM S PAID OR PROVIDED


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N a m e o f P e r so n R e p o r t i n gF A B E R , D A V I D A .

Date of Report5/12/201 I

V . G I F T S . a n c l u d e s , h o s e , o s p o u s e o n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 S - 3 t o / ~ l in # instructions.)N O N E (No reportable g~s.)

S O U R C E D E SC R I PTI O N1.2.3.4.

5.

VALUE

V I . L I A B I L I T IE S . a n a u d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gFABER, DAVID A.

D a t e o f R e p o r t5/12/201 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 lhose of spouse and dependent children; see pp. 34-60 of filing instructions,)~-~ (No repor tab le assets, orONE income, transactions. )

A. B. C.Descrip tion of Asse ts In co m e d uring Gross value at end( inc lud ing t rus t asse t s ) reporting period of reporting period

O) (2) (1) (2)Place "(X)" a fte r each asse t Am ount Type (e.g., V a lu e V alueexempt f rom pr ior d i sc losure Code I div., rent, C o d e 2 Method(A-H) o r i n t . ) (J-P) C o d e 3

(Q-W)

I. Smi th Ba rney Ci t i g roup IRA2. Bank Deposit Program

3. C o m m o n S t o c k s:4. ~ PGN5. [] BMY6. [] BMY7. ~ PCL8. [11~ SEIC9. 1~ SEIC

10 . []VZ

II. [ VZ

12 . ~CSCO13 . ~ CSCO

1 4 . ~ CAG

151noN16 . ~ MSFT

1 7 . [~ PFE

E Dividend O T

T ra 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

(I ) (2) (3)Type (e.g., D a t e V a lu e

buy, sel l , m m / d d / y y Code 2redempt ion) (J-P)

Sold 04/20/10 K

(4) (5 )Gain Identi ty of

Co de I b uy e r/se lle r(A-H) (if private

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

A

I. Income Gain Codes :(See Co lunms BI and 124)

2.V alue Codes( S e e C o l u m n s C I a n d D 3 )

3.V alue Meth od Codes(Scc C olumn C 2)

:$1,000 or less=$50,001 - 5100.0~0=$15,0~0 or less=$250.001 - $500,0~0

P3 =525 .00~.0~1 - $50.000.000=Appraisal=Book V alue

B $1 .0 0 1 - 52,50 0G = 5100.001 - $1,00~,000O =$ 500.001 - $ 1,000.000R -Cost I Rcal E:, talc Only)V =Oth er

C =$2,501 - 55 ,000H I = $ 1.000.001 - $5L =$50,001 - $ 1 0 0 . 0 0 0P I =$ 1.000.001 - 55,090,000P4 =Mo re than $50,000.000S =A s s es s men tW =E~.t imatcd

D = $5,001 - 515,000H2 =Mor e t h anM = SI0O,001 - $250.000P2 =$5 ,090,001 - $25,000,000T - C a s h M a r k e t

E =$15,001 - $5 0.000


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FINANCIAL DISCLOSURE REPORTPage 5 o f 7


D a l e o f R e p o r t5/12/201 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 dependent children: seepp. 34-60 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 I n c o m e d u r i n g( in c lu d in g tr u s t a s s e ts ) re p o r t in g p e r io d

(i) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d i v . , r e n t ,( A - H ) or i n t . )

G r o s s value at endof r e p o r t i n g p e r i o d(i) (2)

V a lu e V a lu eC o d e 2 M e t h o d

O - P ) C o d e 3( Q - W )

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

redemptioa)

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 od e 2 C od e I

(J-P) ( A - H )

(s )I d e n t i t y o fb u y e r / s e l l e r( i f p r i v a t e

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

1 8 . [] BP1 9 . ~ BTGroup20 . D GE21 . D INTC22 . ~WFC23 . ~ WFC24 . ~DD25 . U S A A M o n e y m a r k et26 . Gold co in co l l e c t i on27 . [] FTR28 . [] NOC29 . [] PG

A Interes t

A

JJ

S o l d 04/20/10 K A

TW

Spino f f 07/08/10 J(from line I I)Bu y 04/20/I 0 K

Bu y 04/20/10 K

1 . In co me Ga i n C o d es : A =$ 1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5 ,001 - $15,000(See Co lunms B I and D 4) F -$ 50.001 - $100.000 G =$ 100,001 - $1,000,000 H I =$1,000,001 - $5 ,000,000 H2 =More than $5,000,000

2 . V alue Codes J =$15,000 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 =$25 0.001 - $500.00~ O $500.00| - $1.00~.00~ Pl :$1.0~3.00| - $5,000,0~3 P2 = $5.000.001 - $25.00~.000

P3 =$25.000.001 - $50.000.000 P4 =Mo re than $50.000.0003 . V alue Meth od Codes Q = Ap p ra i sal R C o s t (Rea l Es l a l c On l y) S =As~ .c s smcn t T -C ash Marke t( S e e C o l u m n C 2 ) U - B o o k V a l u e V =Oth er W =Es t imat ed

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


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FINANCIAL DISCLOSURE REPORTPage 6 o f 7

N a m e o f P e r s o n R e p o r l i n gF A B E R , D A V I D A .

D a t e o f R e p o r t5/12/2011

V I I I . A D D I TI ONA L I NFORM A TI ON OR EXPLA NA TI ONS. fin,ticoteport ofreportOExcep t fo r l ine s 25 and 26 , a l l o f t he a sse t s l i s t ed i n Pa r t VI I we re he ld i n t he So lom on , Sm i th , Ba rney IRA iden t i f i ed i n Pa r t Vl l .


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Name o f Pe rson R epor t ingF A B E R , D A V I D A .

Date of Report5/12/2011

IX. CERTIFICATION.i c e r t i f y t h a t a l l i n fo rm a t i o n g i ven ab o ve ( i n c l u d i n g i n fo rm a t i o n p e r t a i n i n g t o m y s p o u s e an d m i n o r o r d ep en d en t ch i l d r en , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d ~ v a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s io n s p e r m i t t in g n o n - d i s c l o s u r e .I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s ~ v h i c h h a v e b e e n r e p o r t e d a r e inc o m p l i a n c e w i t h th e p r o ~ s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 73 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signa tu r e : S[ DAVID A. FABER

N O T E : A N Y I N D I V I D U A L ~ V 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 IE 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 . 10 4 )

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m in i s t ra t i v e O f f i c e o f th e 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 lu mb u s C i r c l e , N . E .W a s h in g to n , D . C . 2 0 5 4 4


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AO 10 [Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government A ct of l978(5 U.S .C. app. ~.~ 101-I11)

!. Person Reporting (last name, first, middle initial)FABER , DAVID A.

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

S ENIOR U.S . DISTR IC T JUDGE

7. Chamb ers or Office AddressP.O. BOX 427 8BLUEFIELD, WV 24701

2. Court or OrganizationW E S T V I R G I NI A S O U T H E R N

3. Date of Report7/27/201 I

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the informat ion contained in th is Repor t and anymodifications perlaining thereto, it is, in my opinion, in compliancewith appl icable laws and regula t ions.

Reviewing Officer Date

6. Repor t ing Per iodOl/OI/2010

to12/31/2010

I M P O R T A N T N O T E S : The instruct ions accompanying this form must be fol lowecL Complete al l parts,check ing the NO NE box for each par t where you have no repor table in formation . S ign on las t page.

I . P O S I T I O N S . m e p o n l . g individual only; seepp. 9-13 of f i l ing instructions.)~ ( No reportab leposi t ions . )ON E

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.

5.

I I. A G R E E M E N T S . m e p o m n g i n d l v id u a t o n t y ; s e e p p . 14-16 of f!ling instructionsO~] NONE (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 7


D a t e o f R e p o r t7/27/20 ! I

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income~ ( No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y ou r s , no t s pou s e s )

B . S p o u s e s N o n - ln v e s tm e n t In c o m e - I f you were m arried during any portlon of the reporting year, complete th is section.(Do llar amount not required except for honoraria.)D ( No reportable non- investment income. )ONE

DATE SOURCE AND TYPE1. 2010 Sala ry as teacher , Merce r County , W est Virgin ia Board of Educa t ion2.3.4.

I V . R E I M B U R S E M E N T S - transpo.tu,io. , lodging, food, e n t e r t a i n m e n t .(Includes those to spouse a nd dependent children; see pp. 25-2 7 of filing instructions.)

N O N E ( N o reportable reimbursements.)SOUR CE DAT ES L OCAT ION

I.2.3.4.

5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r so n R e p o r t i n gFABER, DAVID A.

D a t e o f R e p o r t7/27/201 I

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

SOURCE DESCRIPTION1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o y s p o u s e a n ,~ d e p e n d e , ,, c h i l d r en ; s e e p p . ~ 2 - 3 3 of filing instruction~)N O N E ( N o r epor tab l e l i ab il i t ie s . )

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPO RTPage 4 of 7


D a t e o f R e p o r t7/27/2011

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 dependent children; seepp. 34-60 of filing instructions.)~-q (No reportable income, assets, orONE t ransac t ions . )

A. B. C.Description of Assets Incom e during Gross value at end(including trust assets) reporting period of repo rtin g p eriod

(I) (2) (I) (2)Place "(X)" after each asset Am ount Type (e.g., Value Value

exempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3(Q-W)

I. Smith Barney Citigroup IRA

2. Smith Barney Bank Deposi t P rogram

3. Common Stocks :4. I000 PGN5. 500 BMY6. 5 0 0 BM 7. 2000 PCL8. 4000 SEIC9. 1000 SEIC

1 0 . 610 VZ1 1 . 890 VZ1 2 . 1000 CSCO1 3 . 1000 CSCO1 4 . 1500CAG1 5 . 1000 HON

1 6 . 2000 MSFT

E Dividend O


0) (2) (3)Type (e.g., Date V a lue

buy , se l l , m m / d d / y y C o d e 2r e d e m p t i o n ) (J-P)

Sold 04/20/10 K A

(4) (5 )Gain Identity of

Code I buyer/seller(A-H) (if private

transaction)

17. 2000PFE

I . Income Gain Codes: A =$ 1,000 or less B = $ 1,001 - $2 ,500 C = $ 2,501 - $5 ,000 D = $5 .001 - $ 15,000(See Columns B I and [M) F -$5 0.001 - $100.000 G = $100,001 - $1,000.000 HI =$1.000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J = $15,000 or less K = $15,001 - $ 50,000 L -$ 50,001 - $ 100.000 M =$ 100.001 - $250,000(See Columns C I and D3) N = $250.001 - $500,000 O =$500,001 - $1,000,000 P I =$ 1, 00 0, 00 1 - $ 5,0 00 ,0 00 P 2 =$ 5,0 00 ,0 01 - $ 25 ,0 00 ,0 00

P3 -$25.000.001 - $50.000.000 P4 =More than $50.000,0003. Value M clhod Codes Q =Appraisal R =Cost (Real Estate Only) S =As ~ s s me nt 1" =Cash Market

(See Column C2) U =Book Value V =Other W =Est im ated

E =$15,001 - $50,000


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D a t e o f R e p o r t7/27/201 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 ncome , v a l ue , t ransac t i ons ( Inc l udes t hose o f spouse and dependent ch i l d ren; se epp . 34-60 of f i l i ng i ns t ruc t i ons . )N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Assets I n c o me d u r i n g( in c lu d in g tru s t a sse ts ) rep o rtin g p er io d

(I) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div., ren t ,( A -H) or in t . )

Gr 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)V a lu e V a lu e

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

O)Tyl:~ (e.g.,buy, se l l ,

r e d e mp t i o n )


( 2 ) (3) ( 4 )D a t e Value G a in

m m / d d / y y C o d e 2 C o d e 1(J-P) (A-H)

( 5 )I d e n t i t y o f

buyer / se l l e r( i f p r i v a t e

n a n s a c t i o n )

18. 500BP

1 9 . 1000 BTGroup20. 1000 GE

21. 1500 INTC22. 1000WFC Sold 04/20/10 K A23. 1000WFC

24. 1000DD

25 . USAA Money marke t26 . Gold coin col lect ion

A

A

I n t e r e s t

None

J

JTW

27 . 360 FT R28 . 600 NOC29. 600 P G

Spinoff 0 7 / 0 8 / 1 0 J(from lin e 1 I)Bu y 04/20/I 0 KBu y 04/20/10 K

I. Income Gain Codcs:( S e e Columns BI and EM)

2, Value Codes(See Columns CI and D3)

3.Value Method Codes(Sce Column C2)

A=$1,000 or lessF -$50,001 - $ 100,00~J =515,000 or lessN =$250.0~1 - $50~,0~0P 3 =$25,000,001 - $50.000,00~Q =AppraisalU =Book Value

B=$1,001 - 52,500G =$10~.001 - $1.000,0~)K -$15,001 - $50.0000 -$500.001 - $1,000.000R =Cost (Rcal Estate Only)V =O ther

C =$2,501 - $5,000H I =51,000.001 - $5,0~.000L =S50,001 - $100,000PI =$1.0~0,001 - $5,0~,0~0P4 =More thanS =AssessmentW =Esl im ated

D =$5,001 - $15,000H2 =More than $5,00~.000M =$100,001 - $250,000P2 =$5,000,001 - $25,090,000T =Cash Mark e t

E =$15,001- $50,000


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FINANCIAL DISCLOSURE REPORTPage 6 of 7 Ia m e o f P e r s o n R e p o r t i n gFABER, DAVID A. Date of R e p o r t7/27/201 I

VIII. ADDITIONAL INFORMATION O R EXPLANATIONS.Except for l ines 25 and 26 , a l l of the a sse ts l i s ted in Pa r t VII were he ld in the Sa lomo n, Smith , Barney IRA ident i f ied in Pa r t Vl l .


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Name of Person Repo rt ingFABER, DAVID A.

Date of Report7/27/201 I

IX. CERTIFICATION.! c e r t i fy tha t a l l i n fo rma t i on g i ve n a bov e ( i nc l ud i ng i n fo rma t i on pe r t a i n i ng t o m y spou se a nd m i nor o r de pe nd e n t c h i l d re n , i f a ny ) i s

a c c u ra t e , true , a nd c omp l e t e to t he be s t o f my k n owl e dg e a nd be l i e f , a nd t ha t a ny i n fo rma t i on no t r e por t e d wa s wi t hhe l d be c a u se i t me t a pp l i c a b l e s ta t u t o ryprov i s i ons pe rmi t t i ng non-d i sc l osu re .I f u r t h e r c e r ti f y t h a t e a rn e d i n co m e f ro m o u t s i d e e m p l o y m e n t a n d h o n o ra r i a a n d t h e a cce p t a n ce o f g i f t s s v h i ch h a v e b e e n r e p o r t e d a r e i ncom pl iance ~v i th the prov is ions of 5 U.S .C. app. 501 e t . seq ., 5 U.S .C. 7353, and Judicia l Confe rence regu la t ions .

Signatu re: S/DAVID A. FABER

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financia l DisclosureAdm inis t ra t ive Off ice of the United S ta tes Cour tsSui te 2-301One Colum bus Circle , N.E.W a s h in g to n , D.C . 2 054 4

David A Faber Financial Disclosure Report for 2010

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Transcript of David A Faber Financial Disclosure Report for 2010