George S Agee Financial Disclosure Report for 2009

8/3/2019 George S Agee Financial Disclosure Report for 2009

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I , ~ o t o [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q u t r , d b y t h , " E t h i c s "in Gc~vermnent Act of 197,~IR e v . 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 r 5 U S c " . p p ~ I O / - H hI . P e r s o n R t . p o r r in g ( l~a n a m e , f i r s t, m i d d l e i n i t ia l ) 2. C o u r t or Orgaaizaf ion 3.Agee , Geo rge S. 4 t h C ~ r c u i t { } 4 , 1 9 / 2 0 1 0

4 . T il l e [A r t i c l e I1 1 u d ge s i n di c a l e a c t i v e o r s e ni o r st a t u s ; 5 a. R e p o~ T y pe (c h e c k ~ p pr o pr i ~ tc ty pe ) 6 . R t . p o r l i n g P r r i o dm ~ g ~ r ~ e ~ u d g e s i n d i c a te l u l l o r p ~ n - t m ~ e )~ Ntmaina t ron , DateCircuit Judge ~ ln,~i~ ~ Annual ~ Ymal 12 .5b. ~ Amen ded Repo r t

7, C h a m b e r s o r O f f i c e A d d r e s s 8 . O n f h e b a s i s o f t h e in f o r m a l i o n c o n t a i n e d h ~ I b i s R e p o r t a n d a n ymodifieali~s perlalatng therein, it is , in my opinion, inFou~h Circuit U.S. Court of A ppeals ~*ilh applicable la~s and regulalio ns.1100 E M ain S~rectRichmond, VA 2321S R e v i e ~ i n g O f f i c e r I)at .....

I M P O R T A N T N O T E S : The instrtwtions accompanying this fi, rm must be followed (o,,,ptete all part~,thecldng the IVONE box f#r each part where you ha~,e no reportable i~formation. Sign on la.st page.

I . P O S I T I O N S . t~,eo,n,g indi~.idual only; see pp. 9-13 of filing~] NONE (No reportable positions.)

POS1TI ( )N [ q A M L : O F O R G A N I Z A T I O N :F , N T IT Y|. Trustee Trust #l

~." " l r u s t e c Bridgewa te r Co l l ege3. Director Bradley Free Cl in ic

1 1 . A G R E E M E N T S . O~eporangtnai~iauat,,n~v;seepp. 14-160ffifingin~truction.~.) " "" " ~ :.NONE (~Vo reportable agreements.)

D A T E PARTIES AND TERMS ~-~1.


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FINANCIAL DISCLOSURE REPORT ~ .... r P . .. . . a ~ p o r , i . ~ O . , , o f a r p o .Page 2 of 1 3 ~ g e ~ , G e o r g t , S . 0 4 / 1 9 / 2 0 1 0

1 1 1 . N O N - I N V E S T M E N T I N C O M E . c~,,~o.,i.,~, i.ai,,~a.,,~ ~.~ ,~ ...... : , e e l , i ,. 17-24 ,~]iling i ...... " l i o n s . )A. Filcrs Non-Investment Income

NONE (No reportable non-investment income.)D A T E S()UR(.U AND TYPE INCOME[yours , nol spouses)

I 2009 C o m m o n w e a h h o f V i r g i n i a - Re t ir e me n t Incnme $64,000.002

3.4 .

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were ma rried during any portion of the reporting 3ear, complete this sec~io~(Ihdlar anmunt ~or required ~z+pt.fi~r honoraria.)

~ N()NE (No reportable non-investment income)DAT~ SOURCE AND TYPE

I. 2009 Car i l l on C l in i c - Sa l au 2 . 2 0 0 9 RGC Resot~rces , Inc. - Direclo~ Fees

3 .4.

IV . RE!M l ~ 1 I ~ - ~ ~ , ~ , ., ~ : ~ ~ . , , ~ : , 1 ~ I O | ~ . ~ I L A ~ ~ i I L , ~ . ~ I ~ ~ - - tran.,7~ortation, I o d g i n g , f i , o d , e n t e r t a i n[~ NONE (No reportable rei~nbursements.)

SOURCE D A T E _ . ~ S L O C A T 1 O N PURPOSE ITFMS PAH~ OR PROVIDEDI. Unive r s i ty o f V i r , g in i a Schoo l A pr i l 3 -4 , 2009 Charlottesvi l le, VA / v l t . ) o t ( ? o u r ! M ea l s , Lodg ingof Law2. George Mason Lrnivers iD " April 17-23. 2009 Tucson. Arizona [!ducationa l S eminar Transportat ion. Meals , LodgingLaw & Econ omics Cente r3.45.


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FINANCIAL DISCLOSURE REPORT !~ .... f ~ . . . . . R ~ p , ,r , ~ . gPage 3 o f 1 3 a ~ , ,, G e o r g e S .

V. G ] F~S. (Includes th,,~e to .*p,,use and dependent ,h~dret,; see pp. 28-31 oifiling inxtructian~.)N O N E (No r,7~orlable

S O U R C E DESCRIPTION VAI l!EI.

2.3.4.5.

V I . L I A B 1 L 1 T I E S . a n ~ l ,d , . , , h o . ,~ o Z . ,p . . . .. .. ~ dependent children: see t P . 3 2 - 3 3 offiling i n . ~ t r u c t i o n s . )N O N E (Ao reportable liabilities.)

(REI)ITQR DESCRIPTION V A L U E C O D F .

2.3 .4.5.


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FINANCIAL DISCLOSURE REPORTPage 4 of 1 3 A ~ , . G e o r g e S . 0 4 / 1 9 / 2 0 1 0

V ! l . 1 N V E S T M E N T S a n d T R U S T S - i ........... ~ . . . . . . .. . . . a , , , , (Includ es those ofspo . . . .. d dependent children; see p p . 3 4 - 6 0 o[f i l ing i n s t r u c t i , m ~ . )~ N O N E (No reportable income, assets, or transactions.)........ ~7 ~ -- u " c.

( . i n c l u d i n g . l ~ s t a s ~ t s ) rc~)rnn~ pcrt{~ ~ o r e p o r t m E ~rlodP l a c e " ( X } " a f i c { e a c h ~ s c t A m o u n t ; " 1 " ) p ~ ( ~ . Value Va h lc " l y~ (e . g . Date . Val,

e x e m p t lr o m p r i o r d i s c l o s u r e I C L U e I [ di~,rcnt. Code 2 [ Mctht~ ; buy, sell. ~ , m m M ~ y y ~ C o d e 2 ( " ,~ d I b u y e r , , c l l c r] (A -tt) ~ o r i r a } ( . J P )........................ ~ ...........I. Main~{ree~ Bankshares A Dividend J

2. WB (now WFC) Name Change by Merge r - A Dividend J -fSee Line 1 1 2 1: 3 SUW l, LLI_" B l)lstribmion I, W

4. - Rental Property #1 Roano ke, VA

5. - Rmtal Property #2 Roanoke, VA

i . Agcc M il l . LLC A Disuibution K W7 . RGC Resources, Inc , A I)ividcnd J T8 F i l st C i t iz e n s B a n k A c c o u n t A I n t e r e s t J ]"

,9 Ilomet0,.vn Ba nk A Dividend J U1 0. Mo rgan S t an l ey Account ( name changed A I n t e r e s t J Tfrom Cit ibank)I I. Metro Wash DCA A irport Bond A I n t e r e s t J T12 . B B I - A Dividend J T1 3 . BM Y A l ) iv idend So ld 0 9 ,0 2,:0 9 J A1 4 . (; E A Dividend S o l d 09/02,09 J15 . I N T ( . ? A Dividend J T1 6 . N I C K A D i v i d e n d J T


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FINANCIAL DISCLOSURE REPORT[ ~ .... rP ..... ~ p o ~ + . ~ ,P age 5 o f 13 Agee, George S. 04."19201

N O N E (No reportable income, assets, or transactionx.)

0ncludmg t~u+l assets) ~c~t~ing pe/ i~ i t+f rcpof l i ng per i od(I) 12 1 ~1) , (2~ (I)


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FINANCIAL DISCLOSURE REPORTPage 6 o f 13 o 4 . , 1 9 . , 2 0 1 o

~ (No reportable income, arsets, or transactions.)O N EA. B. C "1 3

Description of A~sets ~ Income during (;tuss valisal clld Tran~cl ions dur i l lg re . f l ing I~r i t~l(including m~sl ~sse~s) ] re~ng ~riod o1 rcporling pcriudr (I) ~21 1 1 1 2) {I) (2J (t) I/)Place "(X)" a f tc~ cad~ a~se t Amou n t ~)pe (eg.. V a lue ~a lu e Type (eg. Dale V a lue { , a i n Idcnl i ly . f

cxempl f rom pf i~r d isc losure , C~e I div . rent . Code 2 Mcth~ buy, ~ell, :ram dd yy i (~e . ( ode I bu~er/sdlcr~ (A-II) or in~.) (J-P) C,~te 3 rcdcmp~;unl I (l-l) I A - I I )

3~ . ~UCX A I) ividCnd K T

3 6 . L I ~ I V T X .~ D M de n d J T3 7 . A C l _ IL X A Dividend K T38 . TF\;AX A Dividend 1 T B u y 0 1 /0 2/0 9 J

39 . A / q E C X A Dividend J "1 B u y 0 1 0 2/09 140 ANWPX A Dividend J T B uy 0 1 . 0 2 , 0 9 J4 1 . Edward Jones Accmtnt (X) A I n t e r e s t J T4 2 . B R O AD WAY V A I D A B O N D A h ~ t e ~ c s t J T4 3. IRA ;1 1 " No n e 1 . "F

1 4 4 . - IGAAX4 5 . - ANWPX

4 6 . -4 7 . - AMRMX

,1 8 - AN(I:X,19. - CAIIIX

50 . - AMECX

51 - A M C P X


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FINANCIAL DISCLOSURE REI)ORTPage 7 of 13 Agee, George S.V I I. IN V E S T M E N T S and TRUSTS . .

N O N E (No r~7~or tahh , income, a s se t s , or t r anxact ions . )Descriptio n o f A ~se~ In co me du rin gOr~ciuding m~sl assclq r e i n i n g p e e r e d

V~lucmounl Ty W Ic E . Va l ueexempt f rom pr ior d i~lo~urc C~e I div, rent , C~Ic 2(A - H)

~2 . - AGTHX

53. - NEWFX

5 4 . RETIREM ENT ACCO I!NI 1!1 VIRGINIA None bl TDEFERRED C OM Pt.NSAT1ON P[.AN

5 5 . - RUSSF~LI. It)00 V ALUE IND|!XI 5 6 - STABLE VA I.UE FU ND57 - SAND P 500 INDEX FUN[)5 8 . - ACTIVE GLO BAl . FQI! ITY FUND5 9 . - ACTIVE I3OND FUND

6 0 . - RUSSELl. 1000 GROWTI| INDEXFUN D61 . - RUSSEI.I, 3000 INDEX F! rND

6 2 . T R U S T !!l None M T63 . - VALL.IPI" BANK ACCO UNT

64 - BANK OF AMERICA A(COUNf

6 5. - t!I)WARI) JONES ACCOUNT (X)

/

6 ( ~ . - MET

6 7. - W F C ( f o w ~ w rl y W B 1 ~ , ar n e c h a n g e b ymerger)

68. - A(ERX


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FINANCIAL DISCI,OSURE R EPORTPage 8 o f 1 3

V I 1 . IN V E S T M E N T S a n d T R U S T S _ ~ . .. .. .. . ~.,., ........ . a o . ~ ( I n c l u d e ~ t h , ,x e of,,p . . . . . . . . d decadent ch i ldren: s e e n , . 3 4 - 6 0NONE (~ reportable income, assets, ortransactions.)

( i ac ludin~ I~t as s~l s ) te~rhng i~ri~Place "(X)TM after each asse A$0tml ; Typeexempt f rom p6ur d isdosur~ [ C~e I ; d~v, real. ("t~tc 2 ~ Mclh~ [ ht=), scll, :mnl.dd/yy t~e 2 Code

........................... : .................6 9. I R A # 2 N o n e K T70 . - IGAAX

7 1 . - ANWPX

7 2 . - CWG1X

7 3 . - ANRMX

7 4 . - ANCFX

7 5 . - CAIBX7 6 . - A M E C X77 - AMCPX

7 8 - AGTI IX7 9 . - NEW FX

~ 0 . RETIREM ENI" ACCOUNT #~"CAR1LION None N THE.ALT[I SYSTEM SEC 403(b) PLANg l. - PIMC O I .OW DURATION

8 2 . - VAN KA MPEN EQU ITY & INC83 . - FID SPARTAN USEq IDX

8 4 . - FIDLOW PRICED STO CK ~5. - American I:unds Euro Pacific Growlh


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FINANCIAL DISCLOSURE REPORTPage 9 o f 13 Agee, G e o r g e S . 04/192010

N O N E (No reportable income, assets, or transactions.)

( inc luding t~t as sc l s} r repo rtin g pe ri~ o f repo sin g per io dPlace" (X)" a f ic~ each as se~ ~ A m o u n t : T y p e { c g . , Value ~ Value "ly~ (cg, I [)alc Value (iam Idelmty of

exempt from pfior disc losure Code I ~ div..rcm. C~Me2 ~ Me~hod bu y, s el l :~m nV d& ~y y C o de 2 ~ C ~M e I bu3cr~c cr

...............................~6 - Goldman Sachs MDCAP VaI*A

]I87 . - JenndD Jenn Sm Company A- Munder Mid Cap Core Gr A

89 . REFIREMENT ACCT tG CARII.ION N o n e L TIIEALTH SYSTEM SEC 457(b) ILAN90 . - VAN KAMPEN EQUITY & INC

91 . - DODGE & COX ST()CK FUND

9 2 . RETIREM ENT ACCOUNT 1 ,4 EQUIVEST None K TTSA 501(c}(3} PLAN9 3 . - EO G UARANTEED INTEREST94 . - EQ ALl.lANCE BERNSTEIN INTl.

9 5 . - EQ ALLIANCE BE RNSTEIN Sm CpGR

9 6 . - EQ MARKE T PLUS M ID CAP VALUE97 . - EQ BLACK ROCK BASIC

9 8 . - E q ~ f i ta b l e ? .t u l tm a a n a g e r C o r e B o n d

I 9 9 . - Equitable Muhimanager Iligh Y~eld .....1 0 0 . RF-HREM ENT ACCO UNT #5 ALLIANCE = N,auc N TBENEFIT GROUP CAPITAL ACCU AC101. - T\ ;"EAX102. -CAAPX


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FINANCIAL DISCLOSURE REPORT .~ .... f P . . . . . . m p o , , + , ~Page 1 0 of 1 3 A e c e , G e o r g e S . 0 4 1 1 9 / 2 0 1 0

NON E fNo reportable income, assets, or Iransactions.~

I ~} i ~2} {~ ~ ...... ~} {~} t2] O} {4}c x e m p l f r o m p r i o r d i ~ lo s u r e , . C o d e I p d B . . re n t . C { ~ c 2 M e t h & l b u y . s c l l , ~ m n v d ~ , ) ) Ce de 2 Co de l

[ ( A - I I ) o r i n u ~ b l - l ~ C o d e . i r c d c m p r i u n ) H - I ~ I A - l l . ) ( , f p r B a t c

103. -FEIRXI04. - FMCAX

1 0 5 . - FAERX106 . +GAB(;X

107 . -WEBAX

1 0 8 - GABAX

1 1 0 9 -GABEX

110 . - PREIX

Ill. -UICIMA

12 . - BGNAX B uy 06 ]3 ( } 09 .)

1 3 . - F U SE X B uy 06 f300 9 K1 1 4 . - VFIIX Bu y 06/30z09 .~1 1 5 . I ,IFE INSURANCE POLICY #1 NA f L None L TLIFE INS. CO. WH OLE LIFE

1 1 6 . I+IFE INSURANCE POLICY #2 N o t + e J TEQUITABLE VA RIABLE LIFE11 7 529 VIRGINIA COI , I+EG E SA VINGS None K 1PLANI~ - Piedmon! Po~lfoh o

1 9 . - l t ighlands Portfo l io


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FINANCIAL DISCLOSURE REPORT ~ NameofP .... Repor, ing ] D a t e o l R e p o r !

N O N E ~ V o reportable inc~me, assets, or transactions.)

lincluding I~s~ assc~s) ~poning period , o f r cp~ n ing pe r i odPlace "(X)" a l~e r each a ss e t A m o un txempl f rom pr io r d~sdosure ; Code I div. rcnl. ~ Code 2 Meth~ buy..,.el l , [ m n~ dg* y y Cod e 2 ~ U~d c I bu~er~ellcr

................................ .... ~ ....... I .......~ .NATL LIFE INS CO.PREM.I.IFE

12I. AWStIX A D~v~dend ~uy ] 0 1 /21 / 09


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FINANCIAL DISCLOSURE REPO RT ~ .... r e . . . . . ~,o~,i~ o,t, of~p ,,.Page 12 o f 13 A z e , - , G , e ,, r ~ I e S . 0 4 , 1 9 , 2 0 1 0

V I I 1 . 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 . a,ai,.a,,p~,,o~no, o,,)

I. Noit~come from "Imst #! comes to n,,e a s Trustee an d is sole]:, for the benefit of a third.! party. ] r,.:ccive no co mpensafio~ from the Trus l.2. In Part VII. hems 118 and I 19, the portfol io accounts in thc Virginia Col lcgc S a , ings Pla~ \~,crc inzldvcrtcnt ly omil tcd in l as t )car s rcpol l


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FINANCIAL DISCLOSURE REPO RT N~,~ of~o~ ~pom .~ ] ~,,,,}t~,l,,,~,Page 1 3 of 13 , ,, ~ : , c , ( ; e n r g e SI

0 4 ; 1 9 / 2 0 1 0IX. CERTIFICATION.

I c e r t ify t im! a l l i n fo rma t ion g iven =bo re ( i nc l ud ing i n f i ) rma t ion pe r ta in ing to my spouse and minn r or dependent ch ih l rcn , i ran) ) i~accnra te , t rue , and co mple te to the bes t o f my kno ~ledge an d be l ie f , and tha t any in fo rmat ion no l repnHed wa ~ wi thhe ld because i t met appl icable ~ta fu lo rvprovisions permitting uon-disclosure. " -I fu r the r ce r ti fy I ha l ea rned inco me f rom outs ide employment and hono ra r i a and the acceptance o fg i f l~ wh ich have been rcp{wtcd a~e in~ompl iance ~ i l h the prov i s iuns n f5 U .S .C. app. ~ 501 e l . seq ., 5 U .S .C. ~ 7 353 , and Judic ia l ( on fe rcn~e rcgu l a l ions .

S i g n a t u r e _ IN O T E : A N Y I N DI VI DU A L W t lO K N O W I NG L Y A N D \ V |L F U L L Y F A L S I F IE S O R F A I I, S T O F I L E T Il l S RE P O RT M A Y BE S U BJ E CT T O C I VI LAND CRI~,IINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 addilional copies lo:

Committee on Financial DisclosureAdministrative Office of ~hc United States CourtsSuite 2-301O n e C o l u m b u s C i r c le , N.E.Washington, D.C. 20544

George S Agee Financial Disclosure Report for 2009

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