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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization

Report Required by the Ethics in Government Act of 1978, (5 U.S.C. app. 101-111) 3. Date of Report

1. Person Reporting (Last name, first, middle initial)

Bates, John D.
Title (Article 111judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. District Court for the District of Columbia

5a. Report Type (check appropriate type) __ Nomination, Date

March 11,2011

6. Reporting Period

1/1/2010 to 12/31/2010

District Judge - Article III (active)

7. Chambers or Office Address

~ Initial X 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 Officer Date

333 Constitution Ave., NW Washington, DC 20001

IMPORTANT NOTES: The instructions accompanying this form must. befollO~v~d: Complete ail parts, checking the NONE box]or each pare where you ha~e no reportaD!~ information.., Signonlast page

I. POSITIONS. (l~ei~orting individual only; see pp. 9-13 of lttstruclions.)

~NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

II. AGREEMENTS. (Reporting individual only: see pp. 14-16 of Instructions.)

~NONE (No reportable agreements.) DATE PARTIES AND TERMS

IlL NON-INVESTMENT INCOME. meporting i,,m~id, ol ond spo~e: ~e pp. ~ Z-: of ~ns~t~o~.)
A. Fliers Non-lnvestment Income

~_~ NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE

INCOIVlE

$ $ $
B. Spouses Non-Investment Income - lfyou were married during any portion of the reporting year, please complete this section (dollar
amount not required except for honoraria).

~NONE (No reportable non-investment income.) I. 2010

Bates, John D.

FINANCIAL DISCLOSURE REPORT

--~e~r Pe--~so. Re---~ni~g John D. Bates

Date of Report

March 1 1, 201 !

IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children. See pp. 25-27 of Instructions.)
NONE (No such reportable reimbursements.) SOURCE
The Center for the 1. Constitution

DATES
6/15/20116/16/2011

LOCATION
Montpelier Station, VA

PURPOSE
Non-FJC Educational Semir~,f

ITEMS PROVIDED OR PAID

Meals, lodging, and vehicle expense (mileage)

~
I. 2. 3. 4.

NONE such SOURCE gifts.) DESCRItr[ION

VALUE
$ $ $ $

VI. LIABILITIES. a,,a~es,hose o[spo~ ana aependent cl~ildren See pp. 32-33 oflnztr~ctions.)
NONE (No reportable liabilities.) CREDITOR DgSCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting John D. Bales

Date of Report March I I, 2011

VII. Page 1 INVESTMENTS and TRUSTS - income, value, transactions

and dependenl children. See pp. 34-60of Instructions.)

spouse

NONE 0qO rcponablein.come, assets, or transactions.) J T

Wachovia / Wells Fargo Account

None None

-- Bank of Amer - Common

Dividend

10 - Baxter htq - Common | - BT Group PLC

Dividend Dividend

sell

12 -- CISCO Sys. Common 13 - Chevron Corp. Common 14 - CINN Financial Corp. Common 15 - Illinois Tool Works Common i 16 - Dow Chem Common - Dreyfus Money Market
Dividend Dividend Dividend Dividend Dividend

T T
T

buy

buy/sell

Val0eMeth _~1 (S~ Col. C2) .

FINANCIAL DISCLOSURE REPORT

ame of Person Repining

Date of Report

John D. Bates

March 1 I, 2011

VII. Page 2 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-60 of lnstructions.)

~lg

-- Enterprise Prod - Common -- FISERV Inc. -HPCommon -- Home Depot Common - HCC Ins. HJdgs - Common --lntl Game Tech.- Common -.IP Morgan Chase & Co. Common -- Johnson & Johnson- Common - L3 Cornmu - Common -- Marriott Intl - Common - McDonalds - Common - MetLife-Common A A A A Di~dend Di~dend Di~dend Di~dend Di~dend Difidend I Di~dend i Di6dend Di~dend ! Di~dend A Dividend None Di~dend A tA Di~dend Di~dend K K J J K K j K K J J K J T T T T T T T T T T T T T "I buy 8/2 K buy

19 [20 21 :22 !23 24 2.$ 26 27 28

! : !

29 !30 -- Morgan Stanley- Common -- Vodaphone Group Common - Omnicon - Common - Pfizer- Common - Pepsico - Common

31 !32 33 34

Ii

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Date of Report

John D. Bates

March l I, 2011

VII. Page 3 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-60 of lnstructions.)

(No reportable income,

assets, or transactions)

[3~

-- Principal Finl - Common - Procter & Gamble - Common -- Semprn Fmergy - Common -- Staples-Common -- TJX Co. - Common A Dividend Dividend Dividend Di~dend sell spinoff T

i36 !37 i38 39

40

- Frontier Comma. Common sell 7/21

41

- United Health - Common

--

A B

Dividend Dividend buy buy K K

i42 Veriz.on Common

- Am. Elec. Pwr. - Preferred

Interest B B Interest Interest

- Dominion Res. - Preferred - P~dential Finl - Preferred - XCEL Energy - Preferred

buy buy

Interest

!43

MorganS~nleySmithB~rney - Jo[nl

44

- AXA Equitable Life A~muity None T

45 - AES Co~p. Common

. ~ i=:.

FINANCIAL DISCLOSURE REPORT

Ha.me of Person Reporting

Date of Report

John D. Bates

March 1 !, 201

VII. Page 4 INVESTMENTS and TRUSTS -- income, vahle, transactions(Includes those of

spouse and dependent children. See pp. 34-60 of Instructions.)

NONE (No reportable income,

assets, o~ transactions)

- Amer. Tower Corp. - Class A :48 -- Barclays Bank Pref. - Citibank Money Fund - Davita Inc. - Electronics for Imaging --Energy Transfer Pins LP B

None [ Dividend Interest None None Dividend

J K K

T T buylsell

J J

55

i56 -- Fiser~ Inc. Common

None Dividend A B Dividend Interest ~

K J J L T T

sell

57 -- Duke Energy Corp.

- Halliburton Co. Hldgs. - Howard Cry. MD Bond - Intuit Inc. - MD Dept HSG&Comm. Dev Bond - NY Comm. Bancorp. ! : A A ! i

Dividend

Continued on attached pages -- Section VII, pages 5 - 7

1 (Se~ Col. 2 Value C.od~s: (See C01.CI~ D3) 3 Value.Methdd (See Col. C2)

FINANCIAL DISCLOSURE REPORT

Name ofPeTson Reporling John D. Bates

March 11,2011

VII. Page 5__ INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-60 of Instructions.)

NONE

(No reportable income, assets, or transactions)

!64. -- PG Cry. MD Bond 165. --Powershares Ex-Traded Fund D~_a__rni~c_Biotec~h _& Gen__~ome 66. -- Schwab Chs. Corp. 67. -- Time Warner 68. -- Unum Group 69. -- United Health Common 70. -- Univ. System MD Bond 71. -- Western Union Common 72. -- Wash. Sub. San. Dt. MD Bond 73. -- Bristol Myers Squibb 74. -- Vodaphone Group PLC !75. -- Europacific Growth Fund

LIT

T Dividend J

Dividend -K~ T A Dividend J~T T T , T T

Dividendi K
A

Interest

K J L

A !Dividend B A !Interest Dividend

Nolle

sold buy

10/21 .1/25 10/21

None sell B

MorganStanleySmfih B~irheF~ ~ kJ 76. -- AT&T Inc. Common 77. -- Cameron Intl Common Dividend None T T

FINANCIAL DISCLOSURE REPORT

Nam of Pcrson Reporting John D. Bates

Dale of Repor~

March 1 I, 2011

VII. Page.6 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-60 of Instructions.)

NONE (No reportable income,

assets, or transactions)

78. -- Centerpoint Energy Common 79. -- Colgate Palmolive Common

__

ivi~ten~_ Dividend Dividend Dividend ] None buy/sell sell

1/21

80. -- Conagra Fooods Common

81. -- Dreyfus Money Market 82. -- Forest Oil Corp. Common 83. 84. -- HCC Ins. Hldgs. Common

!Dividend

!85. -- Hain Celestrial Group Common 86. -- IShares TR-DJ Tranps. Index Fund 87. IShares TR Global Ind Index Fund 88,-- IShares Dow Jones US Health Care Providers Index Fund 89. -- IBM Common 90. -- JC Permey Common 91. -- Medtronic Common 92. - Pactiv Corp. Common ~)3.-= Powershares Dynamic ,qemiconductors ;)4.-- Powershares Dynamic Media ?ortfolio A -A

oneI
Dividend Dividend Dividend Dividend ,Dividend

A IDividend None A [Dividendl J ~A Dividend[ J T_

merger

11/17 J

3:(S~CoI..C2) ....

FINANCIAL DISCLOSURE REPORT

lqa~e of Person Repoaing John D. Bates

Date of Rel~rt " --~

March 11,2011 J

VII. Page 7 INVESTMENTS and TRUSTS -- income, value, transactions (tncludes those of
spouse and dependent children. See pp. 34-60 of lnstructions.)

NONE (No reportable income, assets, or transactions)

95.--Select Spector SPDR Energy~ 96.--S&P NoAm Tech Software Index Fund 97.--SPDR Index SHS FDS DJ Wilshire [ntl Real Estate 98.--SPDR TR S&P Retail ETF ?9.--SPDR SER TR KBW CAP MKTS ETF 100.-SPDR SER TR KBW BK ETF 101.--SPDR SER TR KBW INS ETF 102.--United Tech Common 103.--Vanguard Consumer Staples ETF 104.--Vanguard Health Care ETF I105.--Vanguard Info Tech ETF 106.--Vanguard Inti Equity (European) 2TF 107.-Wisconsin Energy Holding 2ommon

|-- A

Dividend None

J J J

T T T sell JB

A A A A A B A A A A A

Div--idend[ Dividend ~Dividend Dividend Dividend

T T T T T T T T T

J J

Dividend. K Dividend Divid.end Dividend Dividend Dividend J J J J

J

108.--TIAA CREF Ret. Acct. - C

None

buy

var.

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting John D. Bates

Date of Report

March I l, 2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)

IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. 1 further certify that earned income from outside employment and honoraria and the acceptance of girls which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353 and Judicial Conference regulations.

ignature NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104.) REPORT MAY BE

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