Merrick B Garland Financial Disclosure Report for 2010

8/3/2019 Merrick B Garland Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/merrick-b-garland-financial-disclosure-report-for-2010 1/10

Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Govermnent Act of 1978(5 U.S.C. app. §§ 101-111)

I . P e r s o n Report ing ( las t nam e, f i rs t , middle ini t ial)

G ar land , Mer r ick B.

4. Title (Article III judges indicate active or senior status;

magistrate judges indicate full- or part-t ime)

US Circu i t Judge -Act ive S ta tus

7. Chambers or O ffice Address

U.S. Courthouse333 Const i tu tion Avenue , N .W.Washington, D.C. 20001

2. Court or Organizat ion

US Cour t of A ppea ls DC Circu i t

3. Date of R e p o r t

0.5/I 1/2011

5a. Report Type (check appropriate type)

] N o mi n a t i o n , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

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 O fficer Date

6. Repor t ing PeHod

01/01/2010

to

12/31/2010

IMPORTA NT NOTES: The inst ruct ions accom panying th is form must be fo l lowe~L Co mplete al i parts ,

checking the NONE box for each pa rt where you have no repo rtable information. Sign on last page.

I . P O S I T I O N S . ~ R , p o , i n g i n d i v i d u a l o , ly ; s e , p ~ , . 9 - 1 3 of filing instructions.)

~ (No reportab lepositions.)O N E

POS I T I ON

I. President

2.

3.

4.

5.

N A M E O F O R G A N I Z A T I O N / E N T IT Y

Boar d o f O ve r s ee r s , H a r va r d Unive r s i ty

I 1 . A G R E E M E N T S . m , ~ , o , ~ i n g individual only; see pp. 14-16 of filing instructions.)

~ (No reportable agreements.)O N E

DATE P A R T I E S A N D T E R M S




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

Garland , Merrick B .

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

05/I 1/2011

1 1 1 . 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 offillng instructions.)

A. Filer’s Non-Investment Incom e

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

DATE SOURCE AND TYPE

2.

3.

4.

I N C O M E( 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 o m e - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~-] N O N E ( N o reportable non-investment income.)

D A T E S O U R C E A N D T Y P E

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enterta inment .

( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n , " s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c ti o n s . )

[-~ N O N E (No reportable reimbursements.)

SO U R CE D A T E S LO C A T IO N P UR P O SE IT E M S P A ID O R P R O V ID E D

1. Harvard University 02 /05 -08 C am brid g e , M A Bd o f O verseers M ee tin g T ranspo rta tio n , m ea ls, ro om

2. Harvard University 04/10-12 Cambr idge , MA B d o f O v er se er s M ee ti ng T ra ns po rt at io n , m ea ls , ro o m

3. Harvard University 05 /25 -27 Cambr idge , MA B d o f O v er se er s M ee ti ng T ra ns po rt at io n , m ea ls , ro o m

4. Yale Law Journa l 10/22-24 New Haven, CT Careers Discussion Group Transpor ta t ion , m ea ls , room

5. Harvard University 12/01-03 Cambr idge , MA Vis i t ing C omm i t tee Transpor ta t ion , m ea ls , roomMeet ing

6. Yale Law Schoo l 12/06-07 New Haven, CT Moot Court Transpor la t ion , m ea ls , room

7.




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

Garland , Merr ick B.


05/11/2011

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 u n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 8 - 3 1 of fil ing i n s t r u c t i o n s . )

NONE(N o reportable gifts.)

SOURCE

I.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . an c l u d o s t h o s e q s p o u s e and dependent children; see pp. 32-33 of filing instruction&)

N O N E (No reportable liabilities.)

CRED1 TO R DESCRIPTION

1 .

2.

3.

4.

5.

VALUECODE




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Garland, Merrick B.


05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e , v a lu e , t ra nsa c t io ns (Inc lude s th o se o f spo u se a nd de pe nde n t c h i ldre n; se e pp . 34-60 o f f i l ing in s t ru ct io ns . )

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 clu d in g tru s t a sse ts ) rep o rtin g pe riod

O) (2)

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

exempt fromprior disclosure Code I div . , rent ,

( A - H ) or int.)

G r o s s v a l u e a t e n d

o 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 )

Type (e.g.,

buy, se l l ,

r e d e mp t i o n )

Transac t ions dur ing repor t ing per iod

(2) (3) (4)

D a t e Val ue Gain

mm/dd/yy Co d e 2 Code I

(J -P) (A-H)

I d e n t i t y o f

buyer /se l l e r

( i f pr ivate

t r ansact ion)

1 . Sun Trust Bank Accounts B I n t e r e s t M T

2. Sun T r us t Bank A ccoun t s B I n t e r e s t M T

3. Justice Federal Credit Union Accounts C I n t e r e s t M T

4. Citibank Bank Accounts B I n t e r e s t M T

5. Bank of America Bank Accounts A I n t e r e s t J T

6. U.S. Savings Bonds

7. IRA#1

None K T

I n t e r e s t L T

8. -Edward Jones Co. Money Market & cash

balance

9. -Summ it State Bank CD

1 0 . -Plainscapital Bank CD

II. -Integrity Bank CD

1 2 . Brokerage Account #1

1 3 . -General Mills Inc. Common C Dividend L T

Bu y

Bu y

Redeemed

01/26/10

06 /25 /10

06/I 5/10

K

K

K

1 4 . -Pfizer Comm on

1 5 . -Bristol-Myers Squibb Co. Comm on

1 6 . -Zimm er Holdingslnc. Comm on

1 7 . -General Electric Co. Commo n

A Dividend

B Dividend

None

B Dividend

J T

K T

Donated

I. Income Gain Codes: A =$ 1,000 or less B =$ 1,001 - $2 ,500 C = $2,501 - $ 5 ,000 D =$ 5 .091 - $15 ,000

( See Columns B I a nd IM ) F = $ 50,001 - $100,0~ G =$100.001 - $ 1,0O0,000 H I = $1.000,001 - $ 5 .000,000 H 2=

More tha n $ 5.0~0.0~0

2. Value Codes J = $15 .000 or less K -$15 .0~1 - $ 50 ,000 L =$50,0~1 - $100,000 M =$100 .0~1 - $250 .0~

(S ee C olum ns C I and D3) N =$250,001 - $500,000 O =$500.001 - $1,00~.000 PI =$1.009,001 - $5.000,000 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 ~ 0 ~ 1

P3 =$25,000,0~1 - $50,000.000 P4 =More than $50.0~0.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S :Ass~ssm enl T : Ca s h Ma rkc t

(S ee C olum n C 2) LI =Book Value V = O l h e r W =Estimated

E =$15.001- $50,000




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

Gar land, Merr ick B.

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

05/I 1/2011

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 c o m e , , . o ,~ e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


D e scrip tio n o f A ss ets In co m e d u rin g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

P 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 . ,

e x e m p t fr o m p r i o r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )



(I) (2)

Value Value

C o d e 2 M e t ho d

(J-P) C o d e 3

( Q - W )

Type (e.g.,

buy, sell,

redemption)

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

(2) (3) (4)

D a t e Value Gain

m m/ dd /yy C od e 2 Code 1

( J - P ) ( A - H )

( 5 )

Identity of

buyer/seller

(if private

transaction)

1 8 . -P roc ter & Gamb le Co . Common D Dividend M T

1 9 . - J .M. Smucker Co. Comm on A Dividend J T

20 .

21 .

22 .

23 .

24 .

25 .

26 .

27 .

28 .

’29 .

30 .

31 .

32 .

33 .

34 .

-C i t igroup Inc. Commo n

-Cred i t Sui s se Large Cap . Fund ( fo rmer lyCap. Apprec. Fnd)

-Nuveen M aryland P rem. Inc. Municipa l

Fund

-Univ. Md. Sys. Aux. Bond

-Md. Sta te Heal t h & Higher Ed . Rev . Bond

-U.S. Treasury Notes/Bills (combinedlisting)

-JPMorganU.S. Treas . P lus MoneyMktFund

-JP Morgan Chase Bank D eposi t Account

None J

B Dividend L

E Dividend N

B Interest L

D Interest M

D Interest N

A Dividend

A Interest

T

T

T

T

T

T Bu y 03/08/10 N

Bu y 04/19 /10 N

R e d e e m e d 06/10/10 N

(part)

Bu y 06/14/10 N

R e d e e m e d 07/15/I 0 M

(part)

R e d e e m e d 10/21/10 N

(part)

Bu y I 1/01/10 N

R e d e e m e d 12/16/10 N( p a r t )

Sold 03/02/10 0

T Bu y 03/02/10 0

I. Income Gain Codes: A = $1,000 or less B = $1,001 - 52 .500 C = $2,5 01 - $5 ,000 D =$5,001 - $15,000

(Se e Columns BI a nd D 4) F = $ 50,001 - 510~.000 G = $100,001 - $1,000,000 H 1 = $1,000.001 - $5.000,000 H2 = More than

2. V alue C odes J = $ 15 ,000 or less K -5 15 ,001 - $5 0,000 L 550.001 - 5100.000 M =$100,001 - $250.000

(S ee C olum ns C I and D3) N ~$25 0.001 - $5 00,000 0 =$500.001 - $1,0@ 0,000 PI -$1.000.001 - $5,000.000 P2 =$5,000,001 - $25,000,000

P3 =$25,00~.001 - $50.000.000 P4 -More than $50,000,000

3. Value Method Codes Q =Appr’aisal R =Cosl (Real Estale Only) S = A s~s~.m cnl T = C ash Market

(Se e Column C2) U ~B o~k Value V -O lh cr W -E stim ated

E =$15,001 - S50,000




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

05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i.cor.o, ,.alu., ,ra.sac,io.s (Includes ,hose of spouse and dependent children; see pp. 34-60 of filing instructionsO

~ ( N o r e p o r t a b l e i n c o m e , a s s e t s, o rONE t ra nsa c t i ons . )

A.B. C.

Descrip t ion of Assets Income during Gross va lue a t end

( inc luding t rus t as s e t s ) report ing per iod of report ing pe r iod

(I) (2) (I) (2)

Place "(X)" af ter each asse t A m o u n ! Type (e.g., V a lu e V a lu e

e x e mpt f r om pr i or disc losure Code I div . , rent , C o d e 2 M e t h o d

( A - H ) or int.) (J -P ) C o d e 3

( Q - W )

3 5 . B ro k er ag e A cc ou n t # 2

36 . -Fidelity M unicipal Money Market A Dividend L T

37 . -Fidelity Equity Income II C Dividend M T

38 . -Fidelity Spartan 500 Index Fund D Dividend N T

39 . Fidelity Contrafund C Dividend O T

40 . IRA #2 A Dividend J T

41 . -Edward Jones Co. Money Ma rket (Y)

4 2. - Am e r. Fu n ds M o ne y M kt . F un d

4 3. R et ir em e nt A cc ou nt B Dividend M T

44 . -Fidelity Magellan Fund

4 5. T ru s t #1 A (f or m er ly # 1) D I n t e r e s t O T

46. -U.S. Treasury Notes (combined l i st ing)

4 7 . - G ab e ll i G r ow t h Fu n d (G A M CO )

48 . -JP Morgan Prime Money Mkt Fund

49 . -JP Morgan Chase Bank Deposit Account

50. - iShares Tr . MSCI EAFE Index Fund

151.

Transact ions dur ing repor t ing per iod

(i) (2) (3)

Type (e.g., Date V a l u e

buy, se l l , m m / d d / y y C o d e 2

r e de mpt i on ) (J-P)

Redeemed 03/15 /10 K

(part)

S o l d 10/25/I 0 L

S o l d 03/04/10 M

B u y 03/04/10 M

B u y 10/26/10 K

Bu y 12/02/10 J

(4) (5 )

G a i n I d e n t i t y o f

C o d e 1 b u y e r / s e l l e r

( A - H ) ( i f p r i v a t e

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

I. n c o m e G a i n Codes: A = $1,000 or less B = $1.001 - $2 ,500 C = $2,5 01 - $5 ,000 D =$5,001 - $15,000

(S ee C olu rnns B I and I )4 ) F =$50.0~1 - $100.000 G =$100.0’01 - $ 1 . 0 ’ 0 0 , 0 ’ 0 ~ HI =$1,0~},001 - $5.0~0,0OO H2 = More than $ 5 .0~.0~O

2. Value Codes J = $ 15 ,000 or less K $ 15 ,001 - $5 0.0~O L =$50,001 - $100.0~0 M =$100,001 - $250.00~

(See C olum ns C I and D 3) N =$250.0OI - $500.0~)O O -$500,001 - $ I ,O0’0.000 PI =$1,0~0,001 - $5,0~,000 P2 =$5,0OO ,0OI - $25.000,000

P3 =$25 .0(~).001 - $ 50.000.000 P4 -More than $50,00~,0~

3. Value Mclhod Codes Q :Appraisal R =Cosl (Real Estate Only) S = Assessm ent T = C a s h M a r k e t

[Se e Column C2) U = B ook Value V O l h er W = Esl im alcd

E =$15.0~1 - $50,000




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Garland , Merrick B .


05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e , v a lu e , t ra nsa c t io ns (Inc lu de s tho se o f spo u se a nd de pe n de n t c h i ldre n; sc e pp . 34-60 o f f i l ing ins t ru c t io ns . )


D e scrip tio n o f A sse ts In co m e d u rin g

( includ ing t ru s t a sse t s ) repor t ing per iod

(l) (2)


exempt from prior disclosure Code I div . , rent ,

( A - H ) or int.)



O) (2)

V a lu e V a lu e


(J-P) C o d e 3

( Q - W )

Type (e.g.,

buy , se l l ,



(2) (3) (4)

Date V a l u e Gain

m m / d d / y y C o d e 2 Code I

(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

t r ansact ion)

5 2. -Vangu ard To ta l S tock Mkt E T F

5 3.

Bu y

Bu y

10!26/10 L

12/02/10 K

54. T~st#1B A I n t e r e s t K

55 .

56 .

5 7.

58 .

59 .

60 .

61 .

62 .

63 .

64 .

65 .

-JP Morgan Chase Bank Deposit Account

Trust #2A (formerly #2)

-U.S. Treasury No tes (comb ined listing)

-Gabelli Growth Fund (GAMCO)

-JP Morgan Prime Money Mkt Fund

-JP Morgan Chase Bank Deposit Account

-iShares Tr. M SCI EAFE Index Fund

-Vanguard Total Stock Mkt ETF

T~st#2B

D I n t e r e s t O

A I n t e r e s t K

Bu y 02/01/10 K

Redeemed 03/15/10 K

( p a r t )

Sold 10/25110 L

Sold 0 3 1 0 4 1 1 0 M

Bu y 03/04110 M

Bu y 10/26/I 0 K

Buy 1 2 / 0 2 1 1 0 J

Buy I0126/10 L

Buy 12/02/10 K

66 . - JP Morgan Chase Bank D eposi t Account

67 . R o l l o v e r I R A D Dividend N

Bu y 02/10/10 K

68 . -Fide l i ty Spar tan 500 Index Fund

( form.Spar.US E qui ty Index )

I. Income Gain Codes:

(See Columns BI and 134)

2. Value Codes

[Scc Columns CI a nd D 3)

3. Value Method Code~

I Scc Column C2)

A =$1,000 or less

F =$50,001 - $100,0~)

J =$15,000 or less

N =$250.001 - $500,000

P3 $25.000.0~1 - $50,000,000

Q =Appraisal

U = B ook Value

B =$1,0~)1 - $2,500

G =$100,001 - $1,000.0~0

K =$15.001 - $50,000

O=

$500.001 - $1,0~0.000

R =Cost (Real Eslale Only)

V O t h e r

C =$2,501 - $5,000

H I =$ 1.000.0~ I - $5,000,0~0

L =$50,001 - $100.000

P I =$ 1,000,001 - $ 5 , 0 0 0 , 0 0 0

P4 -More than $50,000.000

S = Assessm ent

W = Est im ated

=$5,001 - $15,000

H2 = More than

M =$ 100.001 - $250,000

P2 =$5,000,001 - $25,000,000

= C ash Market

E =$15,001 - $50,000




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05/I 1/2011

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 c o m e , v a t .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

NO NE (No reportable income, assets, or transactions.)

Descr ip t ion o f A sse t s I n c o me d u r i n g

( includ ing t ru s t a sse t s ) repor t ing per iod

(l) (2)


exempt fromprior disclosureC o d e I div . , rent ,

( A - H ) or int.)



(I) (2)

V a l u e V a l u e


(J-P) Code 3

(Q-W)

(i )Type (e.g.,

buy , se l l ,



(2) (3) (4)

D a t e Value G a i n

m m/ dd /yy C od e 2 Code I

( J - P ) (A -H )

( 5 )

Idemty of

buyer /se l l e r

( i f pr ivate

t r ansact ion)

69 . Brokerage Account #3

70 . -Fide li ty Cas h Res e rve s

71 . -Fidelity Contrafund

72 . -Fidelity Mun. Money M kt

73. Trust #3

74 . -Property, NY, NY

75 . - JP Morgan Chase Bank Account

A I n t e r e s t

A Dividend

A Dividend

E Rent

J T

L T

M T

PI W

I. Income Gain Codes:

(See Colurc~s B I and

2.Value Codes

(Se e Columns CI a nd D 3)

3. Value Method Codes

{S ee C olum n C 2)

A =$1,000 or less

F =$50,001 - $100,0(~

J =$ I 5 ,000 or less

N =$250,001 - $500.000

P3 =$25,000.001 - $50.000.000

Q =Appraisal

U = B ook Value

B=$1,001 - $2,500

G -$100,001 - $1

K - $ 15 , 001 -

0 -$500.001 - $1,000,000

R Cos t (Rea l Es la leOnly)

V = Olhcr

C =$2,501 - $5,000

HI =$1,000,0¢| - $5,000.000

L =$50,1)01 -

PI =$1.000,001 - $5,000,000

P4 =More than $50,000.000

S = Assessm ent

W = Est im ated

D =$5,001 - $15,000

H2 =More than $5.000.000

M =$100,001 - $250,000

P2 =$5,000,001 - $25,000,000

T = C ash Market

E =$15,001- $50,000




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Name of Person Report ing

Garland, Merrick B.

D a t e of Repor~

0 5 / I 1 / 2 0 1 1

IX. CERTIFICATION.

I ce r t ify t h a t a l l i n fo rma t i on g i ve n a b ove ( i nc l ud i ng i n fo rm a t i on pe r t a i n i ng t o my spou se a nd m i nor o r de pe nd e n t ch i l d re n , i f a ny ) i s

a ccu ra t e , true , a nd com pl e t e t o t h e b e s t o f my know l e dge a nd b e l i e f , a nd t h a t a ny i n fo rma t i on no t r e por t e d wa s w i t h h e l d b e ca use i t me t a pp l i ca b l e s t a t u t o ryprov i s i ons pe rmi t t i ng non-d i sc l osu re .

1 f u r t h 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 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 ts ~ v h i c h h a v e b e e n r e p o r t e d a r e i n

comp l i a nce w i t h t h e p rov i s i ons o f 5 U .S.C. a pp . § 5 01 e t . se q , 5 U.S.C. § 7 35 3 , a nd Jud i c i a l Confe re nce re gu l a t i ons .

Signature: S] M errick B. Garland

N O T E : A N Y I N D I V ID U A L W 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 IF I E S O R F A L 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 TI O N S ( 5 U . S . C . a p p . § 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States Courts

Suite 2-301

One Colum bus Circle, N.E.W ashington, D.C. 20544

Merrick B Garland Financial Disclosure Report for 2010

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Transcript of Merrick B Garland Financial Disclosure Report for 2010