David S Tatel Financial Disclosure Report for 2009

8/3/2019 David S Tatel Financial Disclosure Report for 2009

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, ~o /o [ FINANCIAL DISCLOSURE REPORT in Go~ernment Act of 19781 / 2 o l o ] F O R C A L E N D A R Y E A R 2 0 0 9I . P e r s o n R e p o S i n g (last name. f irst , middle init ial) 2 . Cour t or O rgani t a tion 3. Dalr o f ReporlT a t e l . D a v i d S . U .S . C o u rt o r" A p p ea ls , D C C ir. 0 5 /1 2 /2 0 1 0

4. Tit le {Art ic le I l l judges ind tea te a ,z tzv o r sen io r sta tus; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r l a z c t ~ . p ) 6 . R e p o r t i n g P e r i o dm a g i s t r a t e j u d g e s i n d i c a te f u l l - o r p a r t - ti m e ) ~ Nommaliom D a t e 0 ! , 0 1 / 2 0 0 912, 31/2009

5b. ~ Amended Report7 . 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 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 h is R e p o ~ a n d a n ym o d i f i c a t i e n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n l o n , l n c o m p l i a n c ePret tyman U .S. Couflhouse w i l h a p p l i c a b l e l a w s a n d r t g u l a t i o n $ .333 Const i tut ion Ave. , NWWashing ton , D C 20001 Rviessing Officer~ D a t e

L ~ I P O R T A N T N O T E S : The instructions accompanying this form must be follo.,ed. Complete all parts,checking the NO NE box for each part ~here.tou hm,e no reportable information. Sign on lust page.

1 . P O S I T I O N S . ~ , ~ , o , , i , x . individual only; setpp. 9-13 of f!llng i ...... tions )~ ~ N O N E ( :V o reportable positions.)

PQS!I[ON N A M E O } : O R G A N I Z. A T I O N !I ~ N I T I YI. D i r e c t o r Carnegie Foundation [or the Advancement of Teaching2. Dircclor Histor ical Soc iety fo r t he D i s t r i c ! o f Co l u m b i a C i r c u i t

Director E q ua l J u s t ic e W or k s

I 1 . A G R E E M E N T S . fa,p,,r,i,~, individual o,1); see pp. 14-16 of filing instruction,.)~ (No reportt~ble agreements.)O N E

D A T E P A R T I ES A N D T E R M SI.


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N am e u f P e r s o n R ep n r l in g I D a ~ e o f R e p o r ~FINANCIAL DISCLOSURE REPORT Page 2 of ] 1

I 1 1 . N O N - I N V E S T M E N T I N C O M E . tRep~,, i ,~ it,di~idualand ,pottSe; seepp. 17-24 offiling i ...... l i ~ n s . )A. Filers Non-investment Income~ NONE non-investment income.)N o rq) ortable

DATE SOURCE AN 13 TYPE I N C O M E{., , ,our s no t spouses )

B . Sp ous e s Non- l nve s t m e n t I nc om e - t/you .,o,married during any porrion of the repvrting yem, complete this

~ 1 NONE non-investment income.)N oDATE SOURCE AND TYPE

1 . 2 { 1 0 9 Se l f -Em p l oy e d ( e duc a t i on

! V. REIMBURSEMENTS ..... ~ p .....o., ]odgit*g, food . . . . . . . . . i .....[lnctudca Ihoae to spouse and d~.pendent chtldren; see pp 25.27 ~brf!ling m.*tructton~ )~ N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE IIt_:,MS PAID OR PROVIDEDI I tarvatd Univers i ty , Boston. 1 /1 6-hl 7/2 0 0 9 Bo ston , ~,IA D e l i ve r t h e k e y no t e a dd r e s s Taxi & a wporl t )a~kingMA at the Char l e : ; Hami l tonHous ton Ins t i tu teS y m p o s i u m2 C a r ne g i e Foun da t i on f o r t h e 3 1 1 0 - 3 / 1 6 ! 0 9 S ta n fo rd , C A B o a M & Ex ecu tive Air fare . rental car. m eal s , l o c a lAdva nc e m e n t o f T e a c h ing . C om m i l ! e e m e e t i ngs l r a n s p o r t a t i c , nSt a n f o r d . C A3 Univers i ty of Cal i fornia . 4111-4/~5/09 Berkeley. CA M oot C our t C om p e t i uon Lodging, rental car , meals , localB e r k l c y Sc h oo l o f L a w, t ranspo rtat ionBerkley, CA4. E q ua l J u s t ic e W or k s , 6111-6/12/09 Ne w Yor k , NY l]nard Meet ing T l a i n , l o c a l t r a l ~ s p e r t : t t i o t ~W a s h i ng t on , D . C .


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F IN A N C I A L D IS C L O S UR E R E P O R T I~ . . ..r ~ , . . . . . a e p , , , , i n g D , , ~ o f R ~ p o -Page 3 o f I I [ Tatel, D a v i d S .05;12 / 2010

5 . Am e r i c a n C ons t i t u l ion 6;19/09 W a s h i ng t on , D .C . A t te n d na ti on a l c on v en ti on M ea ls , lo ca I tr an s p or ta ti onSoc i e t y, W a s h i ng ton , D . C .6 Carnegie Fonn dat~on for the 7 i 1 6 - 7 . " 1 7 / 0 9 St a n f o r d , C A B oa rd & Ex ecu tiv e A irfa rc, lo dg in g, re nta l ca r, me als , lo ca lA.dvancement of Teaching , C om m i t t e e m e e t ings t ranspo rtat ionS l a n f o r d , C A7. C a r ne g i e Foun da t i on f o r t h c 9/25/09 St a n f o r d , C A C om m i t t e e m e e t ings Air fare , rental car , meals , localAdva nc e m e n t o f T e a c h ing , t~anspm~atio~, mcn ,bershipSt a n f o r d , C A8 Envi ronm cnta! La;v Ins t i tu t e , I 0 ~ 6 , ; 0 9 W a s h ing t on , D . C . At t e nd s y m p os i um Local t r anspor t a tionW a s h i n g to n , D C9. The N,~t iona l Academies , 1 0 ; 1 9 , " 0 9 W ~ s hin g t o n , D .C . C om m i t te e m e e t i ngs Local t r anspor t aoonW a s h i ng t on , D . C .

I0 C h i c a go L a wy c e s C om m i t te e 10/22 10/23/09 Chicago, I I . Attend 40 th Ann iversar . , A i r f a ~ c . I c ~ d g i n g . l o c a l tr a r ~ s p o r t a t io nf o r C i v i l R i gh t s Unde r L a w, Celebrat ionInc . . Chicago, IL1 I . C a r ne g i e Foun da t i on f o r t h e 1 0 / 2 2 o I 0 ~ 2 3 1 0 9 C hica g o , IL C om m itte e m e e tin gs Local t r anspor t a t ion , meal sAdva nc e m e n t o f 7e a c h ing ,S t a n f o r d , C A1 2 Sper~cc~ Foundat ion , Chicago, I 0 . " 2 8 - 1 0 / 2 9 / 0 9 Chicago, I I . A ~ t e n d l _ e c m r A i* f a r e , l o c a l t ~ a t ~ sp o r t , ~ li o n , m e a l s1 L


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F IN A N C I A L D IS C L O S UR E R E P O R Tl

Name o[ I" ..... ReportingI Dale o! Rpor~age 4 of 1 1 " r , , t e ~ , o ~ , , . i a s . o ~ a ~ a o ~ o

V . G I F T S . a ~ c t u a , ~ , ~ o , e , o s p . . .. .. ~ de~ndent children; ~tt p p . 2 8 - S l of filing instructions.)N O N E (No reportable g~s.)

~JRCE D E S C R I P T I O N VAI. U E1.

3 .4.5.

~ N O N E (No reportable liabilities.)C R E D I T O R D E ~ C R I P I I O N VALUE (:ODE

I.

2.2 ,.4.

5.


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FINANCIAL DISCLOSURE REPORT N .... f P .....R , p o ~ i n g Da t e o [ Re p or tP a g e 5 o f I 1 Talel, D a y d S . 0 5 : 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 - 1 . .. .. . . .. ; , , . , . . . . . . . . i o , ~ ( I n c l u d e s t h , , ~ e 4~P ...... d dependent c h i l d r e n ; ~ , e p p . 34-604filing i n s t r u c t i o n ~ . )N O N E ( N o reportable income, assets, or transactions.)

D c s c n p . o ~ u f A ~ s c t ~ I n c o m e d u n n g ~ G r o s s v a l u e a l e n d [ T ~ a n ~ a c ~ o n s d u r i n g r c ~ m g i ~ r Jo d{ i n c l u d i n g t r ~ l a s s e t s ) ~ r e p o s i n g p e r i o d ] o f r e p o ~ i n g p e r i o dP l a c e " ( X } " a f l ~ c ~ c h a s s e t A m o u n t [ T y p e ( c g . V a l u e V~lue : T~pc (e~, D~te i Vnluc : Gain "

e x e m p t f r o m p r i o r d i s c l o s u re , : C o d e I ~ div~ ren t . C o d e 2 Method : b uy. se l l . mm/d~~ Code 2 Code I , {A-H) ~ D r ink . ) ( J -P) C o d e 3 ~ r e d c m p t i o n ) J [ (j-P) [ (A-ll)

I C h e ~T Chase ~ank- checking acct. A I n t e r e s t J T

2 . I N G B a n k - s a v in g s a c c t( s ) A I n t e r e s t J T3. ING B:.fi.. checking accl No, he J T

5. St a nda r d & P oor s M idc a p 4 00 A D i v i de nd 1. T

6. F c d e r l . d R e a l t y l n v c s t m e ~ . t 1 ~ u s t B D i v i de nd K T7. Avahmhzy Communities B D i v i d e n d K T

8. -Sec Line 7 B u y 1 /2 7;0 9 J( ~ d d l )9. -Sec Line 7 S o l d 2 / 2 0 / 0 9 3 A

(pan)10 . tlarford Cnty MD 4.25% 1:15i09 A I n i e r e s t M a t u r e d 1/ 15: 09 K A

I 1 . I S H A R E S R u s s e l l 2 0 0 0 A Dv,, idend K T

1 2. Nexen Inc. A D b . ,i d e n d K T13 . Suncor Energy Inc. A D i v i d e n d K T

1 4 . Encana Corp A D i v i d e n d J F

Daily Income 1R Gov! Port CI |J A D i v i d e n d NI T

1 6. GE Mone y B a nk C D 2 . 55% due 1 2 / 18 / 09 B I n t e r e s t Matured 1 2 / 1 8 i 0 9 k A

1 7 . N e w p o r t N e w s . V A 5 % d u e I 1,115 B In terest L


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F I N A N C I A L D IS C L O S U R E R E P O R TP a g e 6 o f 1 1 T a t , ~ I , O ~ , .i d S . 0 5 ~ 2 , C 0 ~ 0VII. IN VESTMENT S a n d TRUSTS - i ........ t ........... i ,, , ( I n c l u d e s t h o s e 4spo~e and dependent children; s e e p p . 3 4 - 6 0 o/JHing i . . . . . . lions.)

~ N O N E (No reportable income, assets, or transactions.)~ ( i n c lu d i n g t ~ s I a s s e t s ) ~ r e p o s i n g p e r i o d ol r e f e r r i n g

: : (A-H) o r( Q - W )

I 8. W i s c ons i n S t 4 . 75% d ue 5 / I / 25 B [ n t e t e m L TSpr ing. TX Indpl Sch 5% due 8/J5/33 B I n t e r e s t K T

2 0 , G o l d C o a s l B a , k C D 1 . 7% d u e 1 2 / 2 3 / 0 9 A I n t e r e s t Bu y 1 / 1 4 / 0 921 . -Se e l . i ne 20 Matured 1 2 ! 2 3 / 0 9

22 . C e novus E ne r gy I nc. A D i v i d e n d J T S p i n o f f I 1 / 3 0 ! 0 9I ( f rom l ine 14)2 3 . Ntmp l i li ed I : .mpkLyee Pens ion I lan C I n t ! D h . N ~ T( SE P -I R A)2 4 . --SEI Dai ly Income ]-R Govt Por t C1 B

2 5 . - -C a na d i a n O i l Sa nds T r us t

26 . - -F ir s t Fe d B a nk C D 3 . 25% du e I 17 / 09 Matured I;7/09 K A27 . - -C a p i t a l O n e Ba n k C D 3 . I % d u e 2 / I 3 , " 0 9 Matured 2 , 1 3 / 0 9 K A2 8 . - -C o m m e r c ia l B a n k GA C D 4 . 0 5 % d u e4/28/102 9 . - -Ge or g i a B a nk & ] r u s t C D 1 . 65V0 due B .y I/7,09 KI !22/103 0 . --SPDI~, S & P 5 0 0 E T F ] r u s t Bu y 1 1 2 7 / 0 9 K3 I . - -B a n k C o m m o n w e a l t h N o r l bl k VA C D Bu y 2 /4 /0 9 K1.8% due 8 /13!103 2 . I nd i v i dua l R e t i r e m e n t Ac c oun t F In t . iDiv. PI T

3 3 . - - I shar es M S CI Can ad : l n d ex F u n d . In c3 4 . --Morgan Stanley MTN Var-Cpn 2 /111 I


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F IN A N C IA L D I SC L O S U R E R E P O R T

~ N O N E (No reportable income, assets, or transactions.)Description 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 l e n d ~ 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 i o d(including :n~ asse[s) [ r e p o s i n g p e r i o d o [ r e p o ~ i n g p e r i o d ,

~ ( Q - W } / / ~ t tr~sacuon}

3 5 . - -W e i nga ~ e n R e a h y Inve s t o r s Fund

3 6. --CISCO Systems, Inc.

3 7 . - - P r o k ~ g i x S o l d 8 ! 2 5 . 0 9 J l)3 8 . - - F i rs t M er i t Bk O t l CD 5 2 5 % d u e 7 q 0 ~0 9 Matured 7 / 1 0 , 0 9 L A i3 9 . --SEI Dai ly Income TR Govt Por t fol io CI B

4 0 . - - S A P A kt i en g c sc l lsc haf l S p n s A D R4 1 . - -C a p i t a l O ne B a nk C D 3 . 1% due 2 I I 3 / 09 Matured 2/13!09 M A

4 2 . - -F ir s t Na t l B a nk NE C D 2 . 8 5% due 4 / 3 / 09 Mat tued 4/3/09 M A

4 3 . --GE Mo ne y B a nk C D 2 .0 5% d ue 6/I 810 9 Ma tu re d 3 /I0 /0 9 M A( p a r t )

4 4 --See Line 43 Matured 6/18/09 L A(par0,1 5 --Comer ica Bank MI CD 3.55, /o d~e 10f l ,09 Matured 10/ I /09 M A

4 6. --GE Money Bank CD 2.55% doe 12/! 8:09 M a t u r e d 1 2 / I 8 . O 9 M A

4.0_ .,o d u e 2 1 1 2 : 1 07 . --Homest reet Bank CD

4 8. --BMW Bank NA UTCD 3 95% due

4 9. --ln~,estors Cmnty CD 3 75% due 5,24,10

50 . - -U. S . T r e a s u r y TIPS 2% due I i l 5/2(-5 1 . - - Van g u ar d S . ; F In v es t m en t G r ad e F d


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FINANCIAL DISCLOSURE R E PO R T [ ~ . . . . f P ..... ~ , p o ~ , i ~ [ o , , , o f a , p o .Page 8 of lliI T a r s i , D ; , , ia S . I

0 5 , 1 2 / 2 0 1 0

VII. IN VESTMENTS an d TRUSTS -- ~ ........ ~.,, . . . . . . . i,,., ( I n t r u d e s t h o s e of sp ...... d d e p e n d . . .. h i t d r e n ; s , e p p . 3 4 - 6 0 o f f i r i n g i ...... ctions.)~ (No reportable income, assets, or 3O N E transactions

A . B . C ~ D .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 t u e a t e n d ~ Transaction~ during re~ng ~nodU n c l u d i n g t ~ s t a s s e t s ) I r e p o r t i n g p e r i o d l o f r e p o ~ , n g p e r i o d ~I d e n t i t yPlace "(X)" aft .....a s s c l A m o u n t T ) ~ c ( e . g . , Value i Valu{ ~ T y p ~ ( e g , V a l . e t G a , nC o d e I d w . . t c n L C o d e 2 M e t h o d [ b u y . s e l l . m m / d d ~ y y C o d e 2 C o d e I b u y e r / ~ c l l c r

52 . - -C h a t te r B a nk Sa n t a Fe C D 1 . 8 5% due B uy 2 H 0 / 0 9 M5 3 . - -SPD R S& P 500 E T F T r us t B u y 2 /1 70 9 K

54 + N e s tl e S A S p o r t s A D R s l . ~ u y 4;3 /09 K5 5 . - -C oc a C o l a C o . B uy 4/I 5/09 K56 --McDonalds Corp. B n y 4 1! 5 / 0 9 K57 . - -Se e l . i ne 56 Bu y 1 2 i 3 " 0 9 K

(add!)58 . - -Va ngua r d I n t e r " l cm l C or p o r a t e B ond Fd B u y 4 ;1 5 /0 9 L59 . --Yum! Brands , Inc . I ] t l y 4 q 5 / 0 9 K

6 0 . - -Se e L i ne 059 S o l d 1 1 2 4 : 0 9 i K D

6 I. - -U. S . T r e a s u r y B i l ls 0% due I 1 / 27 /09 Bu y 6d /09 M6 2 . --See Line 61 Matured I 1 i 2 7 / 0 9 M A63 . --Bank of America CD .9% duc 9/2110 Fluy 8 / 2 5 ; 0 9 ,,s.]

6 4 . - -T . R o we P r ic e Ne w As i a Fun d # 3 9 B u y S/25 09 K6 5 . - - W r i g h t E xp r es s F i n an c i a l S er v i c es CD 6 % B uy 9 . 2 9 , " 0 9 Mdue 10 ! 15 /1066 --Pepsico Inc . B uy 1 : 2 4 / 0 9 K

6 7 . - -W a l m a r t S t o r e s I nc B u y I 1 ; 2 4 / 0 9 K6 8 . - - Go l d C o a s t B a n k C D I % d u e 4 ! 1 I /l l ] B uy I 1 / 2 5 / 0 9 LI

V a l u e C o d e s ) ~ I : 1 5 , 0 ~ ~ o r l e s s K : $ 1 5 . 0 0 1 - $ 3 0 . 0 ~ L


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F I N A N C I A L D IS C L O S U R E R E P O R T , ~ , , . e o ~ e r , o . a e p o . i . ~Page 9 o f l 1 X ~ t ~ , O ~ . i ~ S .

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. ,a.a.~ ,, ,~ o,, o~ . . .. . . a ~ ,~ ,~ a .... hildren; ~eepp. 34-~Oaf f!ling in~tructions.)N O N E (No reportable income, assets, or transactions.)

A i " -~ " C. D :

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 [ Z ) p c ( c g . . V a l u e [ V~ltte Typ e {c t~ . D a t e Valueexemptl~ompriordisclost:re ICdel i d iv .,r cn t . C od e 2 ~ Nlcthod b uv se l l[~A -H ) or trot ) (J-P) t C o d e 3 le d cm ptio n ) ( i f p r l~a tc

6~ . - -G U Money ~an k (?~ 6% due12.~30;lO l Bu y ~ 12,2 I,09I70 . lnsuranceL~fe Insurance- klassachttsctts Mutual Life N o n e M T

7I. Retrial prt,per~y. Ral~paham~ck County, VA R c n ~ ]( 8 ! 2 : ~ i f i 1


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\Till. ADDITIONAL INFORMATION OR EXPLANATIONS.


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F IN A N C IA L D I SC L O S U R E R E P O R T N .... f, ..... R e p o . i . ~ I ~~~"P a g e I 1 o f ll " r a t e l , D a v i a S . I0 ~ q 2 . ~ : o t o

I X, C E R T I F IC A T IO N ,I certify thai all information given above (including information pert~,ining to my spouse and minor or dependent children, if anyt isaccurale, true, and complete to the best of my knowledge and belief, and that any information not reported was withbeld because it met applicable ~tatutory

prnA~ion~ permitting nou-disclosure.I further certify that earned income fromoutside eznployme~t and honoraria and the acceptance of gills which have been reported are inc o m p l i a n c e w i t h the provisions of 5 I.l,~.C. app. 501 el. scq., 5 U.S.C. 7353, and Judicial Conference regulations.

~ignalure~ ............

NOTI.:: ANY INDIVIDU.~.L WIIO KNOWINGLY AND \VILFULLY FALSIFli;S OR FALLS TO FILl: TillS REPORT MAY BE SUBJECI TO CIVILAND CRI~IINAL S,\NCT|ONS (5 U.S.C. app. 104)

F IL I N G I N S T R U C T I O N SMail signed original and 3 additional copies to:

Comm~uee on Financial DisclosureAdministrative Office of lhe United States CourtsS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

David S Tatel Financial Disclosure Report for 2009

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Transcript of David S Tatel Financial Disclosure Report for 2009