George S Agee Financial Disclosure Report for 2010

8/3/2019 George S Agee Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Governm ent Act of 1978(5 U .S.C. app. .~ 101~111)

I 1 . Person Reporting (last name, first, middle initial)

Agee, George S .

4. Title (Article l lI judges indicate active or senior status;magistrate judges indicate full- or part-time)

Circui t Judge

7. Chambers or Office Address

Fourth Circui t U.S. Court of Appeals1100 E. Main StreetRichmo nd, VA 23218

2. Courtor Organization

4th Circuit

3. Date of Report

04/21/2011

5a. Report Type (check appropriate type)

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis o f the in format ion conta ined in th i s Report and anymodifications pertaining thereto, i t is~ in my opinion, in compliancewith appl icable laws and regulat ions.

6. Reporting Period

01/01/2010to

12/31/2010

Reviewing Officer Date

I M P O R TA N T N O T E S :The instructions accompanying this form must be followecL Complete all parts,checking the NONE box for each part where you ha ve no reportable information. Sign on lastpage.

I . P O S I T I O N S .m e p o n in g in d iv id .a t o n ly ; s ~ p p . 9 -1 3of filing instructions.)

D N O N E (N oreportable p ositions.)

POSITION

1 . Trustee Tr u s t # 1

2. Trustee Bridgewater Col lege

3. D irecto r Brad ley Free Clin ic

4.

5.

N A M E O FORGANIZATION/ENTITY

I I . A G R E E M E N T S .m e p o . i . gindividual only; see pp. 14-16 of filing instructions.)

~] N O N E(No reportable agreements.)

D ATE P AR TIES AN D TER M S


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FINANCIAL DISCLOSURE REPORT

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N a m e o f P e r s o n R e p o r ti n g

Agee, George S.

Date of Report

04/21/2011

I l L N O N - I N V E S T M E N T I N C O M E .(Reporting individual and spouse;seepp. 17-24 of f!llng instructions.)

A. Filer s Non-Investment Income

~ (No reportable non-investment income.)O N E

D ATE SO UR CE AN D TYP E INCOME( y o u r s , n o t s p o u s e s )

1. 2010 Com m on w ealth o f Virg in ia - R etirem en t Inco m e $64,000.00

2.

3.

4.

B . Sp ou s e s Non- I n ve s tm e n t I nc om e- if you were m arried during anyportion of the reporting year, com plete this section.(Dollara m o u n tnot required exceptJbr honoraria.)

D N O N E(No reportable non-investment income.)DATE SOURCE AND TYPE

1. 20010 Caril ion Clinic - Salary

2. 2010 R GC R esources , Inc. - D irector Fees

3.

4.

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

~] N O N E(No reportable reimbursements.)

2.

3.

4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t in g

Agee, George S.

D a t e o f R e p o r t

04/21/2011

V. G I F T S .a n c l u d e sthose to spouse and dependent children; see pp. 28-3! of filing instructions.)

N O N E(No reportable gifts.)

SOURCE DESCRIPTION

1 .

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 l s p o u s eund dependent children; see pp. 32-33 of filing instructions.)

NONE (Noreportable liabilities.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUE CODE


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Agee, George S.

Date of Report

04/21/2011

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; see pp. 34-60 of filing instructions.)

N O N E ( N oreportable income, assets, or transactions.)

Descr ip t ion of Asset s( i nc lud ing t ru s t as se t s )

Place "(X)" after each assetexempt from prior disclosure

In co m e d u r i n grepo r t i ng per iod o f r ep o r t i n g p e r i o d

(1) (2) (1 ) (2 ) (1 ) (2) (3) (4) (5 )

Amount Type (e.g., Val u e Value Type (e.g,, D a t e Val u e Gain Ident i ty of

C o d e l div. , rent , C o d e 2 M eth o 6 buy, sel l , mm/dd/yy C o d e 2 Code 1 buyer / s e l l e r

(A -H ) or int .) (J -P ) Code 3 redemption) (J-p) (A-H) ( i f pr ivate

(Q-W) t ransac t ion )

1. M a in stre et B an ks ha re s A Dividend J U

2. SUWI, LLC B Distr ibution L W

3. - Renta l Proper ty #1 Roanoke , VA

4. - Renta l Proper ty #2 Roanoke , VA

5. Agee Mil l , LLC A Distribution K W

6. RGC R esources , Inc . A D i v i d e n d J T

7. First Citizens Bank Account A Interest J T

8. Ho meto wn Ban k A D i v i d e n d J U

9. M organ Stanley Account (Y)

1 0 . Metro Wash DCA Airport Bond A I n t e r e s t J T

1 I. BBT A Dividend J T

12. 1NTC A D i v i d e n d J T

13. MCK A Dividend J T

14. MSFT A Dividend J T

1 5 . WFC (formerly WB) A Dividend J T

16. CAIBX A Dividend K T

17. CWGIX A Dividend J T

1. lnc0me 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 =$50,001 - $ 100,000J =$15,000 or lessN ~$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q ~Appraisal

U =Book Value

B =$L001 -$ 2 ~ 5 0 0G =$100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $ 1,000,000

R =Cost (Real Estate Only)V =Oth er

C --$2,501 - $5,000 D =$5,001 - $15,000

HI =$1 000 001 - $5,000,000 H2 =More than $5,000,000

L =$50;00!~ $100,000M =$i00;00!- $250,000

Pl =$1,000~001 - $5,000 000 P2 =$5,000,001 - $25,000,000

P4 =M0re than $50,000,000. T =Cash MarketS =Assessment

W =Estimated

E =$15,001 - $50,000


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Agee, George S.

Date of Report

04/21/2011

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; see pp. 34-60 of filing instructions.)

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

A. B. CDescr ip t ion of Asset s I n c o m e d u r i n g Gross value at end

( i nc lud ing t ru s t as se t s ) repo r t i ng per iod o f r ep o r t i n g p e r i o d

(1) (2)

Place "(X)" after each asset Amount Type (e.g..C o d e 1 div., rent,xempt from prior disclosure(A-H) or int.l

1 8 . A N C F X A Dividend

1 9 . AGTHX A Dividend

20 . A N W P X A Dividend

21 . N E W F X A D i v i d e n d

22 . IGAAX A D i v i d e n d

23 . C O F A D i v i d e n d

24 . V Y F C A Int. /Div.

25 . N Y V C X A D i v i d e n d

26 . K A U C X A Dividend

27 . L M V T X A Dividend

28 . A C E R X A Dividend

29 . T F VA X A Dividend

30 . A M E C X A Dividend

31 . A N W P X A Dividend

32. Edward Jones Account (Y)

33. B R O A D WAY VA I D A B O N D A Interest

34 . IRA#l* N o n e

Transact ions dur ing report ing per iod

(1) (2) (1) (2) (3) (4)

Value Value ~ y p e { ,e .g ., D a teValue Gain

Code 2 M ethod buy, sell~ m m/dd/yyCode 2 C o d e 1

( J - P ) Code 3 redem ption) ( J - P ) (A-H)

( Q - W )

T

T

T

T

T

T

T

T

T

T

T

T

T

T

K

K

J

J

K

J

J

J

K

J

K

J

K

K

T

T

J

L

(5 )Identity of

buyer/seller(if private

t r a n sa c t i o n

I. Income Gain Codes: i

(See Columns BI and 1)4)2. Value Codes

(See Columns CI and D3)

3. Value Method Codes(See Column C2)

A =$i 000oi e~ : B=$1 001 -$2 500

F =$50,001 - $100,000 G =$100,001 - $1,000,000J =$15,000 or less K =$15;001 - $50,000

N =$250,001 - $500,000 O =$500,001 - $1,000,000P3 =$25,000,001 - $50;000,000Q =Appraisal R =Cost (Rea! Estate Only)

U =Book Value V =Othe r

c =$2 ,50~ - $5 ,00oH l =S 1,000,00 t : *5,000,000L =$50~001 - $100,000

PI =$1,000,001- $5,000,000P4 -More than $50,000;000

S =AssessmentW =Estimated

D =$5,001 -$15,000

H2 =More than $5,000,000M=$100,001- $250,000P2 $5,000,001 - $25,000,000

T =Cash Market

E =$15,001 -$50,000


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N a m e o f P e r so n R e p o r t i n g

Agee, George S.

Date of Report

04/21/201 l

V I I. I N V E S T M E N T S a n d T R U S T S- incom e, value, transactions (Includes those of spouse an d dependent children; see pp. 34-60 of filing instructions.)


A. B. CDescr ip t ion of Asset s In co m e d u rin g G ro ss va lue at en d Transact ions dur ing report ing per iod

of report ing per iod

(l) (2) (l) (2) (1 ) (2) (3) (4) (5 1

Place "(X)" after each asset A m o u n t Type (e.g.. Val u e Value Type (e.g,, D a t e Val u e Gain Identity of

Code 1 div. , ren t , C o d e 2 M e t h o d buy, s e l l , m m /d d /y y C od e 2Code 1 buyer / s e l l e rexempt from prior disclosure(A H) or i n t . ) (J -P ) C o d e 3 (J -P)r ed em p t i o n ) (A-I- l) (ifprivate

35 . - IGAAX

36 . - ANWPX

37 . - CWGIX

38. - AMRMX

39. - AN CFX

40 . - CAIBX

41. - AM ECX

42 . - AMCPX

43. - AGTHX

44 . - NEWFX

45 . RETIREMENT ACCOUNT #1 VIRGINIADEFERRED COM PEN SATION PLAN

46 . - RUSSELL 1000 VALUE IND EX

47 . - STABLE VALUE FUN D

48 . - SAND P500 INDEX FUND

49 . - ACTIVE GLOBAL EQUITY FUND

50 . - A C T IV E B O N D F U N D

51. - RUSSELL 1000G R O W T H IN D E XFUND

None M T

~rans .ac t i on )(Q-W)

1: lncOmc Ga in C~d~i : ::A =$1~000 or less

(See Co lumn s BI an d D 4 ) F =$50,001 - $100,0002. Value Codes J =$15,000 or tess

( Sc c C olu m ns C I a nd D 3) N =$25 0,0 01 - $5 00 ,0 00P3 =$25,000,001 - $50,000,000

3. Value Method Codes Q =Appraisal(Sec Column C2) U =Book Value

B =$1,001 - $2,500G =$100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $ 1,000,000


C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L =$50,001 - $100~000P I = $ 1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001- $15,000

H2 =Morethan $5,000,000M=$100~001 -$250,000P2 =$5 ,000,001 - $25;000,000

T =Cash Markct

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 8 of 12

~ a m e o f P e r s o n R e p o r t i n g

Agee, George S.


04/21/2011

V I I. I N V E S T M E N T S a n d T R U S T S- incom e, value, transactions (Includes those of spou se and dependen t children; see pp. 34-60 of filing instructions.)


AB. C. D

D escr ip tio n o f A ss ets In co m e d u rin g Gross value at end Transact ions dur ing report ing per iod

( i nc lud ing t ru s t as se t s ) repo r t i ng per iod of report ing per iod

(1) (2) (1) (2 ) (1 ) (2) (3)

~ rn o u n t Type (e.g., V alue V a lue Type (e.g., D a t e ValueCode 1 div., reni~ C o d e 2 M eth o d b uy , s e l l , m m / d d / y yC o d e 2

(A-H) or int.~ (J -P ) C o d e 3 red em p t i o n ) (J-P)

( Q - W ~

Place "(X)" after each assetexempt from prior disclosure

(4 ) (5 )Gain Ident i ty of

Code 1 buyer/ sel l er

(A-H) ( i f pr ivatet ransac t ion )

6 9 . - A G TH X

70. - NEWFX

7 1. R E T IR E M E N T A C CO U N T #2 C A R IL LO N

HEALTH SYSTEM SEC 403(b) PLAN72 . - PIMCO LOW DURATION

None N

73 . - VAN KAMPEN EQUITY & INC

74 . - FID SPARTAN USEq IDX

75 . - FID LOW PR ICED STOCK

76. - American Funds Euro Pacific Growth

77 . - Goldman Sachs MDCAP V al /A

78 . - Prudential Jennison Sm Company A * 1

79 . - Munder Mid Cap Core Gr A

80 . RETIREMENT ACCT#3 CARILIONHEALTH SYSTEM SEC 457(b) PLAN

81 . - VAN KAMPEN EQU1TY & INC

82 . - D O D G E & c o x S T O C K F U N D

None M T

83 .

84 .

85 .

RETIREMEN T ACCOUN T #4 EQUIVESTTSA 501(c)(3) PLAN

- EQ GUARAN TEED INTER EST

None K

- EQ ALLIANCE BERN STEIN INTL

1. Incom e Gain Codes: A =$1,000 or less B =$1~00!- $2~500 C =$2,501 - $5,000

(See Columns B 1 and 1)4) F -$50,001 - $100,000 O =$100,001 - $1,000,000 H I =$1,000,00 i - $5,000,0002. Value Codes 3 $15,000 or less K =$15;001 - $50,000 L =$50,001 - $100,00 0

(See Co lum ns C1 an d D 3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000P 1 =$1,000,001 - $5,000,000

P3 =$25,000,00I - $50,000,000 P4 =More than $50;000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment(See Column C2) U =Book Value V -Other W =Estimated

D =$5,001- $15,000 E =$15,001 - $50,0

H2 =More than $5~000,000M =$100,001 - $250i000P2 =$5,000,001 - $25,000,000

T =Cash Market


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N a m e o f P e r s o n R e p o r t in g

Agee, George S.

Date of Report

04/21/2011

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 dependentchildren; see pp. 34-60 of filing instructions.)


A. B. C D.

Descr ip t i on o f Asse t s In co m e d u r i n g Gross va lue a t end Transac t ions du r ing repo r t i ng per iod

( inc lud ing t ru s t as se t s ) repo r t i ng per iod of report ing per iod

(1) (2) (1) (2) (1 ~ (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., Val u e Value Type (e.g., D~t~ Value: Gain .. Identity of

exempt from prior disclosure Code 1 div. , rent , C o d e 2 M e t h o d buy. sel l . mm/dd/yy Code 2(A -H ) or int .) (J-P) C o d e 3 r ed em p t i o n ) (J-P)

(Q-W) t r a n sa c t i o n )

86 . - EQ ALLIANCE BERNSTEIN Sm CpG R

87 . - E Q M A R K E T P L U S M I D C A P VA L U E

88 . - EQ BLACK ROCK B ASIC

89. - Equitable Multimanager Core Bond

90.

91 ,

92.

- Equitable Mult imana ger Mult i Sector Bond*2

RETIREMENT ACCO UNT #5 ALLIANCEBENEFIT GROU P CAPITAL ACCU.AC

- TWEAX

None N

93. - CAAPX

94. - FEIRX Sold 06/30/10 K A

95. - FMCAX

96. - FAERX

97. -GABGX

98. - WEBAX

99. - GABAX

100. -GABEX

101 . - PREIX

102. - FTCIMA

I. In com e Gain Co des: A=$! i000 o r le ss,(Se e C olu nm s BI an d D 4) F =$5 0,0 0t - $10 0,00 0

2. Value Codes J -$15,000 or less

(See Co lumn s CI an d D3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal

(See Colunm C2) U =Book Value

B =$1,001- $2,500

G =$100,001- $1,000,000K=$15,001 -$50,000O -$500~01-$1,000,000


C = $2,501 - $5,000 D =$5 ,001 - $15,000 E =$15,001 - $50,000

H~ =$1,o00,o01 ~ $510001000L=$50;001 ~$ 0o00o M~$ O oio0 i .$~50i000P l = $1 ~0 00 ,0 01 -$ 5i 00 0, 00 0 P 2= $5 00 0 0 01 ;$ 25 00 0 0 00P4 =More than $50,000,000 ......S =Assessment T =Cash Marke t

W =Estimated


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Agee, George S.


04/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S- incom e, value, transactions (Includes those of spouse and depen dent children; see pp. 34-60 of f!ling instructions.)


A. B C.Description of Assets lncome during Gross value at end

(including trust assets) reporting period

(ll (2)

Place "(X)" after each asset Amount Type (e.g., Valueexempt from prior disclosure Code 1 d iv. . r en t . Code 2

(A-H) or in t . ) (J-P)

Transactions during reporting period

(5 )

Value . 3 : y p e ( e . g . , Date Value I Gain Identity of

Method : buy, sell, m m /d d/yy Cod e 2Code 1 buyer/seller

Code 3 redemption) (J-P) (A-H) ( i f p r iva te

(Q-W) t r a n sa c t i o n )

1 0 3 , - B G N A X

104 , - FUSEX

105 , - VFIIX

1 0 6 , - V F N I X

107, L I FE I N S U R A N C E P O L I C Y # 1 N AT LLIFE INS. CO. WHOLE LIFE

108, L I FE I N S U R A N C E P O L I C Y # 2EQUITABLE VARIABLE LIFE

109, 5 2 9 V I R G I N I A C O L L E G E S AV I N G SPLAN

110, - Piedmont Por t fol io

111. - Highlands Po rtfo l io

112. LIFE INSURANCE POLICY #3 LINCOLNNATL LIFE 1 NS.CO.PREM .LIFE

None

None

None

N o n e

Bu y

L T

J T

K T

12/30/10 K

I. ind0me Gain Codes: A =sis000 or less

(See Columns BI and IM) F =$50,001 - $100,0002. Value Co d es J =$15,000 or less

(See Co lu mn s CI an d D3 ) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,000

3. Value Method Codes Q =Appraisal(See ColumnC2 ) U =Book Value

= $ 1,0 0 1 - $ 2 ;50 0 C = $2 ,5 01 - $5 ,0 00 D =$5 ,001 - $15 ,000

=$100 ,001 ~ $1 ,000 ,000 Hi--s1 ,000 00 i ~ $51000 000H 2 = M o r e t h a n $ 5 ,0 0 0 , 0 00= $ 1 5 , 0 0 1 : $ 5 0 , 0 0 0 L =$50 ,00 i =$100 ;000 M =$ i 0 0 0 0 t - $ 2 5 0 ;0 0 0= $50 0,00 1 - $ 1,00 0,00 0 PI = $1 ,0 00 ,0 01 = $5 i0 00 ;0 00P2 - -$5 ,000,001- $25 ,000 ,000

P 4 = M o r e t h a n $ 5 0 , 0 0 0 ,0 0 0=Cos t (Rea l Es t a t e On ly ) S = A s s e ss m e n t T = C a s h M a r k et

=O t h e r W =Es t i m a t e d

E =$15,001 - $50,000


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N a m e o f P e r so n R e p o r t i n g

Agee, GeorgeS.


04/21/2011

V III. ADDITIONAL INFORMATION OR EXPLANATIONS.(lndicatepart of report.)

1. No incom e f rom T rus t #1 comes to m e as Trus tee and i s so le ly for the benef i t of a th i rd par ty. I r ece ive no comp ensa t ion f rom the

2. Part VII , I tem 9 - the value of this account was below a reportable amount .

3. Part VII , I tem 32 - the value of this account was below a reportable amount .

4. Part VII, I tem 78 -*1 Prudent ia l Jenni son Sm Com pany A i s former ly known as Jenndry Jenn Sm Com pany A.

5. Part VII, I tem 90 -*2 Equi tab le Mul t iman ager Mul t i Sector Bond i s fo rmer ly known as Equi tab le Mul t imanager High Y ield .

6. Part VII , I tem 112 - I previously reported the accumulat ion values of this pol icy incorrect ly and now have a correct valuat ion fromnow represented.


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FINANCIAL DISCLOSURE REPORTPage 12 of 12

IX. CERTIFICATION.

Iame of Person Report ingAgee, George S.Date of Repor t

04/21/201 l

1 cert i fy tha t a l l informat ion given above ( inc luding informat ion perta ining to my spouse and minor or dependent chi ldren, i f accu ra te , t r ue , an d co m p l e t e t o t h e b es t o f m y k n o wl ed g e an d b e l i e f, an d t h a t an y i n fo rm at io n n o t r ep o r t ed was wi t h h e l d b ecau se ip rov is ions permi t t ing non-d isclosure.

I fu r the r c e r ti fy tha t e a rne d inc ome f rom ou t s ide e m ployme n t a nd honora r i a a nd the a c c e p ta nc e o f g i f t s wh ic h ha ve be e n re pocom pl iance wi th the p rov is ions o f 5 U .S .C. app . 501 et . seq . , 5 U.S .C. 7353 , and Jud icial Con ference regu lat ions .

Signatu re: S/George S. Agee

NO T E : ANY IND IVIDUAL W HO KN OW INGLY AN D W IL F UL LY FAL S IF IE S OR FAIL S TO F IL E T HIS RE P OR T M AY BE S UBJAND CRIMIN AL SANCTION S (5 U.S.C. app. 104)

Com m it tee on F inanc ia l D isc lo su reAdm inis tra t ive Off ice of the Un ited Sta tes CourtsSuite 2-301On e Columbus Circ le , N .E.Washington , D .C. 20544

George S Agee Financial Disclosure Report for 2010

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Transcript of George S Agee Financial Disclosure Report for 2010