Gray H Miller Financial Disclosure Report for 2009

8/3/2019 Gray H Miller Financial Disclosure Report for 2009

1/12

FINANCIAL DISCLOSURE REPORT I,,po,tin GovernmentReqzdred AbYFOR CALENDAR YEAR 2009 (5 u~s.c , app. .f f 1oi 1.1t )

1 . P e r s o n R e p o a i n g ( la s t name , f i rs t , midd le i n i t i a i ) 2 : . C o u r t o r O r g a n i z a t in n 3 . D a t e o f R e p o r tM IL L E R , G R A Y [I. U .S. D IS T , C O U R T , S O . D IS T . T X 07/12/2010

4 . T i t l e { . A r t i c l e 1 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 ; 5 a . R e p o r t T y p e ( c h e e k a p p r o p r i a t e q c p e ) 6 . Report ing Pe riodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) ~ N o m i n a t i u n , D a t e 01/01,2009U . S . D I ST R I C T J U D G E - A C T I V E I--1 Ini t i a l [~ A n n u a ~ ~ Final to1 2 1 3 1 / 2 0 0 95 b . [ ] . ~ n e n d e d R e p o r t7 . C h a m b e r s o r O f fi c e A d d r e s s 8 . O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t b i s R e p o r t a n d a n ym o d i f ic a t i o 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 eB O B C A S E Y U . S . C O U R T t I O U S E w i t h a p p l i c a b l e l a w s a n d r e g u la t i o n s .5 1 5 RU S K A V EH O U S T O N , TX 75002 R e v i e w i n g O f f i c e r D a t e

IMPOR TAN T N OTES: The ins t ruc t ions accom panying th i s o lbrm mus t be fo l low ed . C omp lete al l par t s ,checking the NONE box for each part where you have no reportable inf i )rmat ion. Sign on last page.

l . P O S I T I O N S . t ~ , ~ , o , , i, .~ i , , d i ~ , ~ . s o ~ t ~ , a e e p p . 9 - 1 3 af filing instruction&)~ NONE (No reportable positions.)

POS]TION N A M E O F ORGANIZATION!ENTITYI . M e m b e r o f t h e A d v i s o r y " B o a r d U S S Ca v a l l a H i s t o r i c a l F ounda t i on

i i . A G R E E M E N T S . (u~uo.. .g individual only ..... p p . 1 4 - 1 6 o f f ! l i n g i t m l r u c t i o n s . )~ NONE ~Vo reportable ag~eemems.)

~ATE P~TI gS AN ~ TERM S


2/12

F IN A N C I A L DI S C L O S U R E R E P O R T [ N ~ , , e o f ~ r , ,o . R e p o r t i .~]

Date of ReportP a g e 2 o f 1 2

[ N I I L L E R , G R A Y H . 0 7 / 1 2 / 2 0 1 0

I I I . N O N - I N V E S T M E N T I N C O M E . :~o,,,~ individual and W ........ pp. 17-24 o f f i l ing ins truc~o~. )A. Filers Non-Investment Income~ (No reportable non-investment income.)O N E

D A T E SOURCE AND TYPE I N C O M E(yours, not spouses)l.2 .3.4.

B . S p o n s P ~ s N o n - I n v e s tm e n t I n c o m e - l !y o u were married dt~ring a~v portion of the repor~ng year, complete this section{O:~llar amou.t not required e.~cept fi~r honoraria.)

N O N E (No reportable non-invesm~ent income.)D A T E SOURCE AND TYPE

1 .2.3.4.

N O N E (No reportable reimbursements.)S O U R C E D A T E S L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED

l.2.3.4.5.


3/12

FI NA N C I A L D IS C L O S U R E R E P O R T N .... f P .....Reporting Date of ReporlI

Page 3 of 12 M n ,J ~ r ~R , G R A Y H . 0 7 ; 1 2 / 2 0 ! 0

~ N O N E (No reportable g:~s)SOURCE Dg S C ~ P T I ON V A L U E

I.2 .3.

5.

V I. I~I-:-~DII~IIIIL ~o (Includes those of sp .......d e p e , t d e n t c h i l d r e n ; s e e P I . 3 2 . 3 3 ~ f i l i n g i n s t r u c t i o n s . )~ N O N E (No reportable liabilities.)

C R E D IT O R D E S C R IP T IO N VALUE CODE1 . Trapeze Capi t a l Corp. M ar g i n A c c ou nt j

2 .3 .4.

5.


4/12

F IN A N C I A L DI S C L O S U R E R E P O R T [Name of P .....Reporting [ DaCe of ReportPage 4 of 12 [ ~m.LEXa, ~RAV H. I 0 7 / ~ Z . m 0V I I I. I N V E S T M E N T S a n d T R U S T S - i, , , ,o .. . . . . l . e , t r a n s a c t i o n s ( I n c l u d e s t h o s e q f s p . . . . . . . . d dependent children; see p p . 3 4 - 6 0 o f i lling instructions.)

NONE (No reportable income, assets or transactions.)

D e s c r i p t io n o f A s s e t s [ I n c o m e d u r i n g ~ G r o s s v a l u e a t e n ~ ~ T r a n s a c t i o n s d u r i n g r e p o s i n g p e r k M( i n c lud in g t~ s t a zse ~ ) r e p o s i n g p e r i o d of ~rtin8 periodP l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e { e . g , V a lue V a lue [ T~e (e.g., D ate Val ue Gain ~ I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e ~ Code 1 di v. , ren t , C o d e 2 M e t h o d ] buy, sel l , mm/d~yy [ Code 2 C o d e I ~ b u ye r / m l l e r: ( A - H ) o r i n t . ) (J -P) (J - P ) (A-H) [ ( i f p r iva t eo d e 3 ~

r e d e m p t i o n )........... ~ ( Q - W ) L t r m ; s a c t i o n )

1. Chase Ba~ Account~ A [ n l e r e s t J T2. Everbank Bank Aecoun(s C I n t e r e s t L T3 . Peoples Sta te Bank Account (Y)4. Compass Bank Money Market Account (X) A I n t e r e s t J T5. B a n k o f A m e r i ca ( C D ) ( X ) B In te re s t C l o s e d 02/I 7/09 J6 . Excels ior Fund L.P. A Int.iDiv. R e d e e m e d 04/07/09 L7. Glenrock Global Partners AI I..P. A l n l . , . Di v. Redeemed 0 7 / 1 7 / 0 9 M(part)8. Redeemed !0107109 ] J D9 . Copernicus Interna t ional Market Neut ra l A Int.!Div. R c d c c m e d ! 0 5 [ 0 4 i 0 9 M DFund, LP

10 . Nippon Renewal Par tners [ , .P. A Int.iDiv. " R e d e e m e d 07/17/09 L(pa rt)I 1 . R e d e e m e d 10/07/09 J B1 2 . F ede r a t ed P r u den t B ea t F u nd ( M u t ua l F u nd None S o l d 0 3 / 0 6 . / 0 9 k E13 . P c r f o r m ex M u l ti M ana ge r F u nd 3 c l L P A I , a t . ./ D i v . O T B uy 0 9 / 2 4 . : 0 9 O1 4 . Bu y 10/21/09 K( a d d l )

1 5 . 13rokerage Account # I

1 6. - Fide l i ty Core (?ash Account A Interest J T1 7 . - F i d e l it y U S T r e a s u r y M o n e y M a r ke t A D i v i dend C l o s e d 08/18/09 M


5/12

F IN A N C I A L DI S C L O S U R E R E P O R T ] N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e 5 o f 12] MILI.ER, (;RAY 14.

07/12/2010

V I I. IN V E S T M E N T S a n d T R U S T S -- i,, ......... t , ,e, trartqactlons (lmludes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - ~ 1 0 a l l , l i n g i n s t r u c ti o n a . . )N O N E (No reportable income, assets, or transactions.)

D e s c r ip t i o n o f A s s e t s ~: I n c o m e d u r i n g [ G r o s s v a l u e a t e n d T r a n s a c l io n ~ d u r i n g r e p r o l i n g p e r i o d( inc luding t rust asseg ) repos ing pe riod ] o f re p o rt i n g p er io dP l a c e " ( X ) " a f t e r e a c h a s s e ~ A m ou n l T y p e ( e . g . . ! Va lue V alue T y p e ( e . g . , D a t e V a l ue ~ Ga i n l d e n t iW o fe x e m p t f r o m p r i o r d i s c lo s o r e ~ C o d e I d iv ~ea t ] U~c 2 M e th o d buy, se ll, [m~d~ Code 2 ] Code 1 b u y e n ~ s e t l e r (A-H) or i n t ) { J - P 5 Co d e 3 r e d e m p t i o n ) ( J - P ) i lAd-l) ( i fpr ivam( Q - W ) ~ t r a n s a c t i o n )

t8 . - Ri s i ng U S D ol l a r P r o F und l nv C l a s s N o n e S o l d 0 3 / 0 9 ~ 0 9 K A19 . - iShares Barclays 7-10 Year Treasury Bond A D i v i dend S o l d 0 7 , 2 7 ! 0 9 K~ ~ ) ( I F . F )

2 0 . - T e m p l e t o n E m e r g i n g M a r ke t s l n c Fd None Buy ! 0 7 / 2 0 / 0 9 .I2 1 . B uy 08t06 /09 J( add l )2 2 . S ol d 08/18/09 K2 3 . B r o ke r a g e A c c o un t

2 4 . - Canad i an S u pe r i o r E ne r gy U ni t s None S o l d 02/13/09 J2 5 . - C u n o P e t r o le u m l n c C o m m o n None J T S o l d 09/30/09 J(par t )2 6 . - C a n o r o R e s L t d . U n i t s ( Y )

2 7 . - C o r r i d o r R e s In c . C o m m o n S t o c k None K T Bu y 02/24/09 .l( add l )2 8 . - M a l a g a I n c None J T Bu y 1 0 8 ! 0 5 / 0 9 J( add l )2 9 . - ORCA Explora t ion N o n e J T I3 0 . - E t r us c a n R e s o u r c e s I n c . C o m m o n S t o c k None J T3l . - G l o b e s t a r M i n i n g C o r p C o m m o n S t o c k None S o l d 03/24/09( p a n )

3 2 . S o l d 0 7 1 2 8 ; 0 93 3 . - G o l d l h t b C o r p C 1 - A S v s N o n e J T3 4 . - t l igh River GId Qly Cv Rs 8 % 3 II)ecl I A In te re s t J F


6/12

F IN A N C I A L D IS C L O S U R E R E P O R T N a , n e o f P e r s o n R e p o r t i n gPage 6 of 12 ~ J L L E R , O R A Y H . 0 7 / 1 2 / 2 m 0

V I I. I N VE S T M E N T S a n d T R U S T S ..~ N O N E 6Vo reportable income, assets, or transactions.)........ ...... L ..................~ . . . . . . .. . B~ .. . . . . .~ .......C. ................ D~ ...........D e s c r ip t i o n o f A s s e t s Income m~ng G r o s s v a l u e a t e n d ~ Transact ions during re~ing pe riod0 n c t u d i n g t r u s t a s s e ~ ) ~ repos ing pe riod . o f r epor t i ng pe r i ~

Pla~"(X)"afi . . . . . h ..... IA .... t T y p e ( e . g . , [Value Value ; T y p e ( e . g . , Date Value G a i n } l dc m i l y ofe x e m p t f r o m p r i o r d i s c lo s u r e : : C o d e 1 d i v . , r e n t , ~ C o d e 2 M e th o d buy, sell, m m t d & ~ ~ C o d e 2 C o d e 1 ~ buyer/sellert A - I I ) o r i n t . ) ~ ( J - P l C o d e 3 ~ r e d e m p t i o n ) t J - P ) ( A - H ) ( i f p r i v a t eI ~ ( Q - W ) I r a n s a c t i o n )3 5 . - Pe~ol i t~m Pet roleum Lid N o n e J T Bu y 08/28/09 J( a d d l )

3 6 . - SpeciM D Foods Gg ~ Vr iRI ]4/Decl 1 B l n t e res l J T3 7 . - S t. A n d r e w G o l d f i e l d s - Ne w C o m m o n N o n e J TStock3g . - S t e d i n g R e s l a d . None J I S o l d 12/17/09 J A(pa~)3 9 , - S t o ~ C a t E n e r g y C o ~ C o m m o n ( Y )4 0 . - P a c i f i c E n e r g y R e s None S ol d 12/22i09 J4 1 . - F i r s t g o l d C o r p C o m m o n ( Y )

4 2 . - S e r ra n o E n e r g y L t d - N e w C o m m o n S t o ck N o n e d T4 3 . - . Stom~ Cat Engy-B L33QYCV9.25% N one S o l d 1 2 1 2 4 / 0 9 J3 1 M ar l 24 4 . - T G W o r l d E n e r g y C o rp C o m m o n45, - Canad i an P h oen i x Res - N ew ( F or m er l y .. , None J T4 6 . - M c K e s s o n C o r p o r a t i o n C o m m o n S t o c k A D i v i dend Bu y 0 4 / 2 2 1 0 9 J( add l )

4 7 . S o l d 08i21/09 J A(par t )4 8 . S ol d 10/09/09 J B4 9 . - P ac i f i c E gy Res 3 3L Reg S None S o l d 1 2 / 2 2 / 0 9 i J5 0 . - A e m a l n c - Ne w C o m m o n S t o ck A D i v i dend J T Bu y 0 5 / 1 3 1 0 9 J5 I. B uy 06t09/09 J( add l )

2. V a l u e C ~ c s J - $15,0~ or le~ K =$ i 3.00 l - $50 ,000 L =$ 50,00 t - $ l 0t} ,000 M = $ 1 0 0 . ~ I - 1 2 5 0 ,0 0 0


7/12

F IN A N C I A L DI S C L O S U R E R E P O R T ~ .... f P e r s o n R e p o r t i n g [ Date of ReportPage 7 of 12 _~IIL L E R, G R A Y H . I

V I I. I NV E S T M E N T S a n d T R U S T S - -i .... e ~ v M u e ~ r a n s a c ~ i ~ n s ( ~ n c ~ u d e s t h ~ s e ~ f s ~ u s e a " d d e p e ~ d e n t c h i ~ d ~ n ; s e e p p ~ 3 4 - 6 ~ f ~ i n I 4 i n s t r ~ c ~ i ~ n s ~),~] N O N E (No reportable income, assets, or trans~ctions.)

....... ~.~ ...................... ~ ~. . . . . . . . . . ~ ..... ~ ........................... ~ . - . . . . . . . . . . . . . .D e ~ c f p t i o n o f A s s e ~ I n c o m e d u 6 n g G r o s s v a l u e a ~ e n d l r a n s a c t io n s d u r i n g r e p o s i n g p e r i o dof repos ing ~riodP l a c e " ( X ) " a f t e r e a c h ~ s e l T~ c tc Value V a l n e T y p e ( e . g . , ~ Da t e Value G a i n ~ h l e n t i l y o fe x e m p t f r o m p r i o r d i s e l o s u r e { Code I ] d i v . , r e n t , C o d e 2 M e th o d buy, sell, ~ m m id ~ ~ C o d e 2 C o d e 1 bayer/seller( A -H ) . or int.) [ J - P ) C o d e 3 ~ e d e m p l i o n ) 1 ( J - P ) I A - H ) ( i f p r i v a t e[ ( ~W ) t r a n s a c t i o n )

5 2 . S o l d 09/29/09 J A(pa~)5 3 . - B J S Res t au r an t s ~ c N one S o l d 06/17/09 J S ee no t e i n p a~ VII I5 4 . Ba y 0 7 ~ 2 2 / 0 9 J5 5 . - Cal i fornia Pizza Ki lchen N o n e S o l d 04/27/09 J S e e n o t e i n p a r l V I I I5 6 . Buy 07/23/09 J A

5 7 . - P a l m l n c None S o l d 09/15/09 J S ee no l o i n pa r t V I I I5 8 . B u y 09/I 7/09 J5 9 . S o l d 09/2zr09 J6 0 . Buy 10/30/09 J A

6 1 . - Ru by T u es day l nc Com m on S t oc k N o n e J T Bu y 0t /28/09 J6 2 . S o l d 0 4 . / 0 9 , 0 9 J 1 3( p a r 06 3 . S o l d 04/24.09 J A( p a r t )6 4 . S ol d 04/29/(/9 Jt p a r 06 5 . [ ~ u y 08/20/09 J( add l )6 6 . E l u y 1 0 /3 0 /0 9 .!( add l ) ,6 7 . - K r o g e r C o C o m m o n S t o c k A D i v i dend J T Buy 08/24/09 J6 8 . Buy 09 /l 5/09( a d d l )


8/12

D I S C L O S U R E Ia m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tF I N A N C I A L REPORT] M I L L E R , G R A Y H .a g e 8 o f 1 2 0 7 / ! 2 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i n t o . . . . . ~.e, tr . . . . . t ions (Includes those of spouse and dependent children; seepp 34-60 o/filing instructions.)1~] NONE (No repottab& income, assets, or transactions.)................ AI .................... ~ . ~: 7, .................................................. D. .................D e s c r ip t i o n o f A s s e t s Income dufng G r o s s v a l u e a ~ e n d ~ Tran~ctions da ring fen cing pe riod(iaclud ing ~s t a s se ts ) i r e p o r t i n g p e r i o d ~ of re~a ing pe riod ~

P l a c e " ( X ) " a f t e r e a c h a _ s s e t Amount ~ Ty~ (e.g., ~ Value V a h m T y p e ( e .g . , Date Value Gain Iden ti W o fe x e m p t f r o m p r i o r d i s c lo s u r e : : C o d e I [ d i v . , r e i n , C o d e 2 [ M e th o d buy, se ll, m ~ df f y 3 Code 2 , Code I buyer!seller ::..... ~ : " ( Q - W ) ] ............ :: ...........................................r a n s a c t i o n )

6 9 . - C l o ro x C o m p a n y C o m m o n S l e ek A D i v i dend J T Bu y 10/01/09 J7 0 . - C V S C a r e m a r k C o r p o r a ti o n C o m m o n A D i v i dend .I /" Buy 03/17/09 J7 1 . Bu y 1 0 1 0 5 / 0 9 J

( a d d l )7 2 , - . l a ck i n th e B o x ln e Co m m o n None ! T B uy 1 0 / 3 0 1 0 9 J7 3 . - G a m e s t o p C o r p C I -A C o m m o n None J T Bu y 12/03/09 J7 4 . Brokerage Account #37 5 . - P o w e r s ha r e s Q Q Q T r u s t Se r ie s I E T F None B uy 0 5 1 0 1 1 0 9 K7 6 . S o l d 0 5 1 0 6 1 0 9 K A7 7 . B uy 05/26/09 L7 8 . S o l d 0 5 , 2 6 / 0 9 L7 9 . - SP D R T r u s t U n i t Se r ie s t E T F None Bu y 05/01109 K8 0 . S o l d 0 5 1 0 4 / 0 9 K8 1 . Bu y 05/05/09 K

8 2 . S o l d 05/06/09 K8 3 . IRA #1 (: tbmm rly IRA #2)

8 4 . - P X Con c ep t s G l ob a l F unds M as l e r T r u s l None R e d e e m e d 0 8 / 1 4 . / 0 9 N G( tRA I n v e s tm e n t )

8 5 . - AIS Future s Fun d I I L . P . ( IR A In ve s t m e n t ) E I n t . ~ ; D i v . R e d e e m e d 08!07/09 L

I . I o c or r m G a u l C o d e s : A = $ 1 . 0 0 0 o r t e : s~ B = $ 1 , { R I ~ - $ 2 , 5 0 0 C ~ $ 2 , 5 0 1 - $ 5 , 0 0 0 !) =$5.00i - $I 5,000 E =$15,001 - $50.000


9/12

F IN A N C I A L D IS C L O S U R E R E P O R T N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 9 of 12 r ~ n L L E R , G R A Y H . 0 7 / 1 2 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - - i , , . o , ~ e , v,~ue, ~ ...... thins (Includes those of sp ........ d depettdent children: seepp. 34-60 of filing ins/ruc~o~.)~ N O N E ( N o reportab& 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 G r o s s v a l u e a t e n d ~ T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t ~ s t a s s m s ) r ~ r d n g p e r i o d of r e~ a i ng pe r i ~ ]P l a c e " I X ) " a f t e r e a c h a s s e t ~ o u n t / T y p e ( e . g . , Value Value T~e (e .g . , D a t e V a lu e [ G a in t dea t iWoxempt t~m prior disclosure [ C o d e ~ [I a i r . , r e n t , C~ 2 Method bny, sell, m~tltb~ Code 2: Code I buyer/scllcr(A-H) ~ orint.) ( J - P ) C o d e 3 , r e d e m p t i o n ) [ ( d - P ) ( A - H ) 0fpriva te

Z tO-, ~ , r a u s a c ~ i o n )[ 8 6 . - P r i s m O f f h a r e F un d L t d . ( 1 ~ None R e d e e m e d 1 0 / 1 4 / . 0 9 NInves tmen t)

8 7 . - Spra t ( Capi t a l l . .P. ( IRA inves tment ) D Int./Div. R e d e e m e d 1 0 / 2 6 / 0 9 O G8 8 . - Tr iumph Offshore Fund Ltd. ( IRA C lnt.!Div. R e d e e m e d 0 8 / 0 7 / 0 9 M

Inves tmen t)8 9 . Chase Bank Acoount ( IRA) (Y)9 0 . C ha s e B a n k A c c o un t # 2 ( I R A ) ( Y )9 l. P er f onne x M u l ti M anag e r F u nd 3 c l L P A ln t . iDiv. PI T B uy 0 8 / 1 8 ; 0 9 O( I R A l n vc s l m e n t )9 2 . Bu y 1 0 i 1 9 / 0 9 O( add l )9 3 . B uy 1 0 / 2 7 / 0 9 0( add l )9 4 . Trust#1

9 5 . - Fidelib C o r e C a s h A c c o u n t A In te re s t J T9 6 . - D uk e E ne r gy Car p N ew Com m on A D i v i dend S o l d 0 8 / 3 1 , " 0 99 7 . - G e n e r a l E i e c tr i c C o C o m m o n S t o c k A D i v i dend S o l d 08/3t /099 8 . - A p p l e l n c C o m m o n S t o c k None S o l d 03, 19/09 J B

9 9 . - Ford M,~r Co Dcl Cam N one S o l d 0 3 / 1 9 . / 0 9 J1 0 0 . - Sho r t D o w3 0 P r o Sha r e s E T F N o n e J T Buy 0 8 /!9 /0 9 J1 0 1 . - Ul t ra Shor t Dow30 ProsShares ETF None J T Bu y 08/19/09 J10 2 T rus t ~2

I I n c o m ~ G a l a Co d e s : A =$ I , 0 0 0 o r l e s s B =$ !,0 0 l - $2 .50 0 C = $2 50 1 - $ 5,0 0 0 D =$ 5,0 01 - S t 5.0 00 E = S t 5d Y 3I - $ 50 .0 0 0


10/12

Nam e of Perso n Reporting Date of Repor~F IN A N C I A L DI S C L O S U R E R E P O R T I~,][LLER, G R A YPage 1 0 of 12 0 7 / ~ 2 / 2 0 1~qI. INVESTMENTS and T R U S T S - i . . . . . . . . ~ . e , , r . . ~ o . ~ . , , , . ~ a . c t ~ a e ~

~ NONE ~ro reportable income, assets~ or transactions.)D e s cr ip t io n o f A ss e ts In co m e d urin g ~ G r o s s v a l u e a t e n d T m n ~ c f i o n s d u r in g r e p o r t i n g p ~ i o d

P l a ~ " ( X ) " a l } e r e a c h ~ s c t [ A m o u n t T y p e ( e . g . , V a lue V a lue T ) ~ e ( e . g . , D a t e Value Gain [ Iden t i ty o l"e x + m p t f r o m p r i o r d i s c l o s ur e ~ Code 1 di v. , ren t , . C c ~ e 2 M e tho d buy, s e l l , mn~d~b~T Code. _9 ~[ Code 1 ~ bu~. er/s~lier{A-H) or i n t . ) [ ( J-P ) C o d e 3 r e d e m p t i o n ) ( J-P ) ~ ( A-H I ; ( i f p r iva t et [ ( Q - W ) ~ ransact ion l103. - Fideliq Core Cash Account A l o t e r e s t J T1 0 4 . - Duke Energy Corp New Common A D i v i d e n d S o ld 0 8 /3 1 ./0 9 J105. - General Electric Co Common Stock A D i v i d e n d S o l d 0 8 / 3 1 1 0 9 J1 0 6 . - Apple lnc Common Stock None S o ld 0 3!1 9 /0 9 J B1 0 7 . - Ford Mtr Co Del Corn None S o l d 0 3 1 1 9 / 0 9 J1 0 8 . - Sho r t D o w3 0 P r o Sha r e s E T F None J T Bu y 0 8 ! 1 9 ; 0 9 J1 0 9 . - U l t r a Sho r t D o w3 0 P r o s Sha r e s E T F None J T B uy 08/19/09 J

r n c o , n e G a i n Co d e s : A = $ t , ~ 0 0 o r t~s B =~ i i~)o~ ~ ~2,500 t . ; , S 2 , 5 01 - s s , ~ m t ) = $ 5 . 0 0 1 - ~ 1 5 . 0 ~ E ~ $ 1 5 . 0 0 1 - $ 5 0 ,0 0 0

Colunms CI and 1.13~ N =$250.001 - 1500.~ O = $ 5 0 0 . 0 0 ! - S t . 0 0 0 ,0 0 0 PL ~l.~),0Ol - $5,000.~90 P 2 =$ 5 5 i 0 0 , 0 0 1 -

Co l u m n C2 ) U =N ~ o k V a l u e V = O t h e r W =E s t i m a t e d


11/12

Page 1 1 of 12 M I L L E R , G R A H . 0 7 , ! 1 2 / 2 0 1 0

V I II . A D D I T I O N A L I N FO R M A T I O N O R E X P L A N A T I O N S .

N o t e : E T F st a n d s f o r E xc ha n g e T r a d e d F u n d .P ar t VI I , page 6 , l i ne 4 5 - T hi s a s s e t w as f om r e r l y k now n a s Canad i an P h oen i x Res Ca r p Com m o n.P a r t VI I , page 7 , l i ne 5 3 - B JS Res t au r an t s l nc w as s o l d s h or t on 0 6 /1 7 /0 9 and c ov e r ed on 0 7 /2 2 ~0 9 . Co l u m n C h as b een l e f t b lank s i nc e t h i s s t oc k w as no l onge rheld a t the end of the repor t ing per iod.P ar t VI I , page 7 , l i ne 5 5 - Ca l if o r n i a P i z z a K i t c h en w as s o l d s h or t on 0 4 /2 7 /0 9 and c ov e r ed on 0 7 /2 3/0 9 . Co l um n C h as b een l e f t b l ank s i nc e t h is s t oc k w as n ok r uge r h e l d a t t h e end o f t h e r epor t i ng pe r i nd . Co l u m n D ( 4 ) on page 7 , l i ne 5 6 s h ow s a g a i n b ec aus e w h en t h e s t oc k w as b ough t ( c ov e r ed t h e s h or t s e l l ) a ga i n w asg e n e r a t e d .P ar t VI I , page 7 , l i ne 5 7 - P ah n l nc w a s s o l d s h t ~ r t on 0 9 /1 5 /0 9 and c ov e r ed on 0 9 . /17 /0 9 and t h en s o l d s h or t aga i n o n (19/22/09 m i d c ov e r ed o n 1 0 /3 0 /0 9 , Co l u m n Ch as b een l e f t bl ank s i nc e t h is s t oc k w as no l on ge r h e l d a t t h e end o f t h e r epo r t i ng pe r i od . Ce[um n D ( 4 ) on p age 7 . l i ne 60 s h ow s a ga i n b ec au s e w h ey . t h e s t oc k w asb o ug ht ( c o ve r e d t he s ho r t s e l ! ) a g a i n wa s g e n e r a t e d .Par t VII , page 9, l ine 89 - The Chase Bank Account ~ , IR~4.) i s s t i l l open but some of t i l e money was ro l l ed over in to the Per fomaex Mul t i Manager I :und 3c 1 LP( IRA l nv es anen t ) w h i c h i s on P a r t VI I , page 9 . l ine 9 1 . T h e p r oc eeds f r om t h e r edeem ed a s s e t s i n IRA # 1 w er e depo s i t ed i n t o t h e Ch as e B ank A c c ou nt ( IRA ) andt he n u s e d t o p u r cha s e t he i n t e r e s t i n t he P e r f o r m e x M u l t i M a n a g e r F u n d 3 c ! L P ( I R A I n ve s t m e n t ) whi c h i s o n P a r t V I I , p a g e 9 , l i n e 91 .


12/12

FINANCIAL DISCLOSURE REPORT [ Name o f P . . . . . Report ing Da ,e o f ReportP a g e 1 2 o f 1 2 ] M IL L E R , G R A Y r l . 0 7 / 1 2 / 2 0 1 0IX. C E R T I F I C A T I O N .

I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l ud i n g i n f o r m 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 a n d m i n o r o r d e p e u d e n t c h i l d r e n , i f a n y ) i sa c c u ra t e , t r ue , 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 w a s w i t h h e l d b e ca u s e i t m e t a p p l i c a b l e s t a tu t o r yp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o sure .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id 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 w h i c h h a v e b e e n r e p o r t e d a r e i nco m p l i a n ce w i t h t he p ro v i s i o n s o r s U . S . C . a p p . 5 0 1 e t . s e q . , 5 U. S . C . 7 3 53 . a n d Jn d i c i a l C o n fe re n ce r e g ul a t i o n s .

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND \VILFULL CIVIl,AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signcd original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , 1 ) . ( . ; . 2 0 5 4 4

Gray H Miller Financial Disclosure Report for 2009

Documents

Transcript of Gray H Miller Financial Disclosure Report for 2009