Skip to content

Judicial Watch • John D. Bates – 2009

John D. Bates – 2009

John D. Bates – 2009

Page 1: John D. Bates – 2009

Category:Federal Judges

Number of Pages:10

Date Created:September 9, 2013

Date Uploaded to the Library:June 29, 2014

Tags:John D Bates, Bates, 2009, INVESTMENTS, TRUSTS, Codes, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!

  • demand_answers

See Generated Text   ˅

Autogenerated text from PDF

AO-10 (WP} Government Act ofl978, u.3~c, app. lot-ell) 
Rev 10008 ....... 	FOR CALENDAR YEAR 2009 Date Report 
--2. Court Organization Person Reporting (Last name, firat, middle initial) April 23, 2010 
Bates, John U.S. District Court for the District Columbia Title 	(drt~cle Ill judges indicate m.t~e senior status: 56. Report Type (check appropriate type) Reporting Period magistrate judges indicate full- part-ttme) Nomination, Date 
Initial Annual Final ..........].. 1/112009 12/31/2009 
 
District Judge Article 11I (active) ...... 
5b. Amended Repoa Chambers Offic--~-Ad~d-~tss the basis the information contained this Rrport and any modifications 
pertaining thereto, is, opinion, compliance with applicnhle taws and 
 
regulations. 
333 Constitution Ave., 
Washington, 20001 Reviewing Officer Date 
 
IMPORTANT NOTES: 7he instructions accompanying this form m,,~t fo!lowed. Complete all parts, 
checking the NONE box for each part wlwre you hm,e reportable inJbrmation. Sign last page. POSITIONS. (Reporting i,~l,~id~at on6, see pp. 9-13 lnstructions.) NONE (No reportable positions.) 
pos[:rlOr~ 	t~AME ORC, A~IZATIOr~,~T!Ty AGREEMENTS. ~eporting individual only; see pp. !4-16 Instructions.) 
NONE (No reportable agreements.) 
DATE 
 
PAP, TIES AND IERM~ 
II1. NON-INVESTMENT INCOME. (]~eportmg individual andspouse; seepp 17.24 lnstruct~ons) Fliers Non-Investment Income 
NONE (No reportable non-investment income.) 
DATE SOURCE AND TYPE INCOME 	Spouses Non-Investment Income you were married during any portion the reporting year, please complete this section (dollar amount not required except for honoraria). 
NONE (No reportable non-investment income.) 2009 	]Washington, 
 
Bates, John 
Dale Report 
FINANCIALDISCLOSURE REPORT Name Person Reporting 
John Bates April 23, 2010 
IV. REIMBURSEMENTS transportation, lodging, food, entertainment. 
Includes those spouse and dependent children. See pp. 25-27 Instructions.) 
NONE (No such reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PROVIDED PAID 
New York Intellectual 3/27/09-Annual Dinner honor the Federal 
New York City T~ar,.sponation, meali, and Io,.Igmg 
Properly [..~w Assn 3F29/09 Juciapf FTS. a,,ct,,d, ,hose spo ....d ~,,,de,,, ,~,it,~ .... Se~ ;,.,. 2S-.~ NONE (No such reportable gifts.) [___ 
SOURCE DESCRIFHON VALI~ 
 
 
 
VI. LIABILITIES. 
NONE (No reportable liabilities 
CILE_I OP, DESCRI ~rlON VAL UI: CODE 
 
*V~c~esl- J=$15,000 less K=$15,001-$50,000 L--$50,00 i-$100,000 
N=$250,00 I-$500,000 ,.~ O=$500,00 !~$1,00O,000 =$1 ~000,001 -$5~000,000 
P2--$5,000,001:$25,000fi00 P3=$25_~000,001~50,000,000 P4=$50,000,001 ormore 
 
Name .... Rel~nmg Date Report 
John Bales April 23, 2010 
VII. Page INVESTMENTS and TRUSTS income, value, transactions 
and dependent chddren. ~e~e 34-60 lnstr~crior~ 
NONE (No reportable income,assets, transactiorcg.) Wachovia Wells Fargo Account l~terest lorganS~ank~Si~ithBa racy =IRA Amer Inll Group -Common None s~ll 9/25 --Auto Data hoc Colrm~on DpAdend Amer Cap Sa- (Ltd) Common l~,,idend Adob~ Common None Apple Inc. Common .................................. Bm)k ofA~n~r Common None ............. Dindend .... sell 10126 ........ Baxter Imq -Common Diwdend Ill Gtoup PLC D),qdend 
 .13 CISCO Sys Com-mon Chevron Texaco Common INN Fmandal Corp. Common D)sqdend Dividend Di,Adend sell 10126 Cognizant Tech- Coramon Dow Chem tort:non None Dividend ~cl) 10/26 Dreyfus Money Market D)vidend buy/sell vat Income/Gain Codes: A=$1,000 less B=$1,001-$2,500(See Col. BI, D4) F=$50,001-$100,000 G=$100,001-$1,000o0O0 Value Cod~: J=$15,000 less  K=$15 001-$50 000 (See Col. CI;D3) N=$250 001-$500 000 O~$5~ 001-$1000 000 P3---$250~d0,001,$~0,000,000 Value Method Codes: Q=Appraisal R=~?.ost (real estate only)(See Col. C2) U=B0ok value V=Other C=$2,501-$5 000 H1--~$1,00010~}1-$5,000,000L=$50 001. $100 000 P1=$12000,001=$~,000 000 P4--Mor~ than $50 000,000 S---.Assessment W~Estimated D~$5,001-$15,000 H2.=Mor than $5,000,0(}0 M=$100)00 i.$250 000 P2=$5,000,001-$2~,000,000 T=Cash/Mm-ket E=$15,001_$50,000 --~ 
 
VII. Page INVESTMENTS and TRUSTS income, value, transactions qncludes those 
spouse and dependent children. See pp. 34-60 lnstructions.) 
... .... ..... --  ..:.-  ....._.:,~. _-~ 
I~ntity of. 
NONE repoaable income resets, tr~sactiom) :Emerprtse Prod Common FISERV hie None None Common Dividend lome Depot Common ltCC Ins. lfldgs- Common Intl Game Tech Common --JP Morgun Chase Common Johnson Johnson Common Conmau- Conunon Marriott tnt~- Common McDonalds- Common MetLife- Cormnon Morgan SLmdey- Common Dividend Dividend lhvtdend Di,~dend Dwidend D~vidend None D~v~dend Di~dend  ...... .... /lT NationM Oilwell Common None sell .....10F26 Pfizer. Ct.nrtmun Dividend 134 --Peps,co-Co .... None Income/Gain Codes: ..... A=$1,000 orless B=$1,001i$2 500 C--$2,501-$5 000 D=$5,001-$15 000 -E-~15,001-$50,00~(SeeCol. BI,D4) F=$50,001-$100.000  G~$100001.~I,000,000 Hly~$1~000,0~I-$5~000,000 H2=Mocethan$5,000,0002 Value Codes: L--S),.S~0.00~.of.~ess  K=$~5,00~-$~0,000 L~S0~001-S~00000 M=S~00,00t.S~S0000(Se~ Col.Cl, D3) p~_~ ,001-$500,000 O=$500,00!-$1,000,000 . el.-~l,000,001-$],000,000P2-255,000,001.$2~,000,0003~$25,000,001-$50,000,000  P.4-s-~More than $50,000,0003 Value Method Codes: Q=:Appraisal R=Cost (real estate 0nly) S=A~sessment T=Cash/Ma~ket(See Col. C2) U:Book value V=Other W=Estimated . 
 
VII. Page INVESTMENTS and TRUSTS income, value, transactions (Includes those 
spouse and dependent children. See pp. 34-60 lnstructions.) 
Descrip~i6iiofAsset~ B..: jransaenons outing reporting period 
~ 9,- --= .:: ;..:   .... pp?s eml ot:  
NONE 040 reportable income ......... ..... 
 
assets, transactionS) Principal Finl Cormnon Dividend : Sempra Energy Common D~vidend Staples Common Dividend TJX C~mmon ~ividend lyco Elec~onics, Lid iddend sell 
10,26 
!I United leaIth Common D~,~dend Venzm~x Conmmn Dividend rg~ Sta nky Smithlla y. Join~ ,,M.XA Eqmtable Life Annul .ly 
None :45 AES Corp Common 
None 
~46 Arch Capital Group None sell 
9/25 i47 --/Liner Tower Corp Class 
None B~lays Bank Pref 
None C,~b,mk Money Fund Interest 1-buy/sell vat. 
 Da,.qta Inc. 
None Income/Gain Codes; A--$1,000 less B-~$I,001-$2 500 C--$2;501-$5 000 D~$5,001-$15 000 E=$15,001.$50,OO0 
(SeeCoI. BI~D4) :F=$50,001~$100,000 
G=$100,001-~I,000,000 HI--$1,000,~1-$5,000,000 
H2=Morethan$5,090,000 Value Cod~: J-~ 15,000 less K=$15 001-$50 000 L=$50,001-$100 000 M=$100,001_~;250,000 
(See Col. El,D3) 
N--$250,001-$500,000 O=$50~ 001-$1000 000 P1=$1,000,001-$~,000 000 P2=$5,000,001-$25,000,000 
P3=$25,000 001-$50,000,000    
P4=More ~an $50,0~0~000 Value Method Codes: Q=App-~al R-~--Cost (real cstate only) S=Assessment T=Ca~h./Market 
(See Col. C2)  U=Book value V-~:~her W=Estimated 
 
~I. Page INVESTMENTS and TRUSTS income, value, transactions O~ctuaes those 
spo~e and dependent chil~en. See pp. 34-60 lmtructiom.) +~;~,,~ ..... ... ...... 
 .~-:. +C: ~me~,t~ -.J:, ~sS~.~ 
tmelU~ng~ ~): Tr~ae~o~ d~ing~oaing ~i~ 
+d~g: . ;~] end 6f[-. 
P~ce ~afler b~b~i ]?,~i~:~2:~-~;~ V~ue :~.  Me~I buy, sell, ~te: VNue Iden~ty(5) (A-~ [:: ~t.) 0~P) redemption) (J-P) I(A-H) (ifpfivaten~action) NONE ~epoa~Ic income,~sc~, tr~sactions) --Energy lr~sfer Diudend ................ F*deli~ Blue Chip Growlh Di~dend 
 
-Fidelity Di*Sde*+d G*owO* Dividend 
scll 12/I 156 Fisenlnc. Co--on 
None D~e ~ne~. None  buy 
1~18 
..... 
:59 How~d Cb, Bond None 
 
I-~ 19tuit Inc. None ~61 M1) l)ep~ HSGCo~ Dev Bond None ....... ----~ ......~ ..... 
Continued attached pages Section VII, pages 
 lncome/G~fir~ Codes: A-.--$1;~)00 less -B--~I 001-$2 500. C=$2,501-$5 000 D=$5,001-$15,009 E=$15,001$50,0OO 
(SeeCoI. BI. D4) F---$5,0~.0~,i-$100~000 G=$1~71~,001~1,000,000 Hi--$1,000,~1-$5,000,000 H2~More than $5,000,000 Value Codes: J-~J;15~000 le~s K--+$15,001,$50 000 L--$50,001- $100 000 M=$100,001-$250 000 
(See CoL Cl, D3) N---$250,001,$500,000 O=$500 001-$1000 000 P1=$1;000,001,$~ 000 000 P2=$S.000,00t,$2+,OO0,000 P3=$25,000 001-$50,000.000 ..   P4+More man $50[000~000. Value Method Codes: Q=~AppraJsal R=Cost (real estate only) S=Assessment T=Cmh]Market (See Col. C2) U=B-obk Va/ue V=Othei. W=Estimated 
 
VII. Page INVESTMENTS and TRUSTS income, value, transactions(Includes those 
spo~e and dependent children. See pp. 34-60 l~uctio~.) 
(A-~ ~ :~L) I (J~p). :.:(Q-~ ~demption) (ifpfiv~ ~acfion) NONE re~rlable 
~se~. U~sactions) 
64. Cty. Bond Interest  
165. --Powersh~es Ex-Traded Fund 
NoneJT 
D~ic Biotech .... 
............... Genome ......... 
 
66. Schwab Chs. Co~. Dividend 
67. 
 --~ime W~er .... 	Dividend~ ~-T 
 
68. Unum Group 	~Dividend~ 
 
69. United Health Common Dividend~~K lmerest 
 
 
70. 
 --Univ. System Bond 
 
 
73. Bristol Myers Squibb 	 None buy 12/18 
74. Vodaphone Group PLC None buy 12/18~ 
spinoff 12/10~ 
 
 
75. AOL, Inc. 	None 
BaneyI MorganStanleySmithU-r--+ [~+ ..... 
76. ATT Inc. Common Cameron lntl Common 	None VMu Me~ C~: ~App~.. R~ost (te~ ~mte o~y) 
S=~sm~t T~a 
(S~ Col. U=~y~3. 	W=~fima~ 
FINANCIAL DISCLOSURE REPORT 
John Bates April 23, 2010 
VII. Page 6__ INVESTMENTS and TRUSTS income, value, transactions (Includes those 
spouse and dependent children. See pp. 34-60 lnstructions.) 
 
 
~.:,~J.~ i,. :.~~:~:.i ~.~.:)r 
Transactio~ dining reporting period 
i::; .;! :::r~.~i .,,: i..~;.i.:~!:~ ::,::.~ 
5,-~: e.g., ?.~.~;~: 
~te:. ,V~ue::.,I ~: ...... [.(~-~) ~f.) :(J~P)  (~.7 ~d~gion) D~y[ (J~l (m-~0 (ifphvate~sa~ion) NONE ~cpo~ble m~me, 
78. Cente~omt Energy Common Dividend ..... 
79. Colgate Pa~olive Common ~Dividend 
80. Conagra F~oods Common Dividend 81. Dreyfus Money M~ket Dividend buy/sell vat.i 
82. Forest Oil Co~. Co~on None 
83. Gaylord Ent. Co. Common None sell 9/25 
84. HCC Ins. Hldgs. Common Dividend 
85. Ha~ Celestial Group Common None 
86. 1Shares ~R-DJ Tranps. ~dex Fun ~ividend 
87. IShares Global Ind Index F~d Dividend~ 
88.-- ISh~es ~ow Jones lleahh Care ....... Providers Index Fund 
89. l~M Common Dividend 
90. Pemey Con~on Dividend 
91.-- Medtroaic Common Dividend~ 
 
92. Pacfiv Corp. Common None ~3.-- Powershares D~ic 
Semiconductors~94.~ ...... Powershares D~aamic Media Dividend ]Oonfolioy tn~m~G~ C~: A=$1,~ B=$~,00~-$2,500 C~2,50~-$5,0~ ~5,001-$15 000 E~5,00~$~0,~ .... 
(S~ Col. BI, F=$50,001-$1~,~ ~100,~1-$1,~,~0. tt1~1,0~,~1-$5,~0 t~=Mon ~$5,~0,~0 Value C~: J=$15,~ K~I5 ~1-$50 ~50 ~i- $100 M~1~,~1-$250 
(S~ CoI.Cl, D3) N=~50,~1~$5~0 .~5~001-$10~0~ PI~I~0,~I,$~ ~~=$5,0~,~1-$2~,~,~0 
P3=$25,~0,~1 ~0~,0~    P~M~e $50,~,~ V~ue Me~ C~e~: ~Appr~ R~t (re~ o~y) ~s~meut T~M~et 
(See Col. C2) U=B~ v~ue W=~fim~d 
Date Reporl! Name Person Reporting 
John Bates April 23, 2010 
VII. Page INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children. See pp. 34-60 lnstructions.) 
(~-~ i~t) (Jrt~ 3Q-~__ ~demption) Day 
~se~, ~saclions) Dividend None 
I~d 
97.--SPDR lndex SHS FDS Wilshke Dividend 
Intl Real Es~te 
)8.--SPDR SP Retail ETF Dividend 
!TF 
~D~ J T100.-SPD~ SER KBW ETF 
]Dw~dend ~.~ .--SPDR SgR KBW Dividend~ 102.--United Tech Co~on ~Dividend 103.--V~guard Cons~er Staples ETF Dividend 
104.--Vangu~d Health Care ETF ~ividend 105.--Vanguard Info Tech ETF ~ividend ~106.--~~ard Dividend 
107_-~W~sc~nsin En~gy tt~g ~ividend 08.--TIAA C~F Ret. Acct. None buy var. 
P3=~5,~,~1-$50,~,000 P4=Mo~ $50,~0,~ Vflu~ ~A~ R~o~ only) S=~s~sm~t T~ket 
(S~ Col. U=~k v~ue V~er W=Est~ed 
Name Person Reporting Date Report 
DISCLOSURE REPORT John Bates April 23, 2010 
VIII. ADDITIONAL INFORMATION EXPLANATIONS (Indicate part Report.) 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gilts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353 and Judicial Conference regulations. 
Signature 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  10~1.) 
FILING INSTRUCTIONS: 
Mail signed original and additional copies to: 	Committee Financial Disclosure 
Administrative Office the 
 
United States Courts suite2-30! One_Columbus Circle, N.E. 
Washington, D.C. 20544