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Gray H Miller Financial Disclosure Report for 2009

Gray H Miller Financial Disclosure Report for 2009

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Published by: Judicial Watch, Inc. on Dec 03, 2011
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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

I¢,,po,’tin GovernmentReqzdred AbYcttheo/" 19
(5 u~s.c, app..¢ff 1o’i 1.1t)

1. Person Repoaing (last name, first, middle initiai) MILLER, GRAY [I. 4. Title {.Article 1II judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. DISTRICT JUDGE- ACTIVE

2:. Court or Organizatinn U.S. DIST, COURT, SO. DIST. TX 5a. Report Type (cheek appropriate qcpe) ~ Nominatiun, I-’-1 Initial Date [~ Annua~ ~ Final

3. Date of Report 07/12/2010 6. Reporting Period 01/01,’2009 to 12131/2009

5b. [] .~nended Report 7. Chambers or Office Address BOB CASEY U. S. COURTtIOUSE 515 RUSK AVE HOUSTON, TX 75’002 8. On the basis of the information contained in tbis Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

IMPOR TANT NOTES: The instructions accompanying this olbrm must be followed. Complete all parts, checking the NONE box for each part where you have no reportable infi)rmation. Sign on last page.

l. POSITIONS. t ~,~,o,,i,.~ i,,di~,~.s o~t~, a’ee pp. 9-13 af filing instruction&)
~ NONE (No reportable positions.) POS]TION I. Member of the Advisory" Board

NAME OF ORGANIZATION!ENTITY
USS Cavalla Historical Foundation

ii. AGREEMENTS. (u~uo...g individual only .....
~ NONE ~Vo reportable ag~eemems.) ~ATE

pp. 14-16 of f!ling itmlructions.)

P~TI gS AN ~ TERM S

Miller, Gray H.

FINANCIAL DISCLOSURE REPORT
Page 2 of 12

[ N~,,e of~r,,o. Reporti.~
[
NIILLER, GRAYH.

Date of Report

07/12/2010

]
pp. 17-24 of filing instruc~o~.)

III. NON-INVESTMENT INCOME. :~o,,,~ individual and W ........
A. Filer’s Non-Investment Income ~ NONE (No reportable non-investment income.) DATE l. 2. 3. 4.

SOURCE AND TYPE

INCOME (yours, not spouse’s)

B. SponsP~s Non-I nvestment Income - l!you 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.)

NONE (No reportable non-invesm~ent income.) DATE 1. 2. 3. 4. SOURCE AND TYPE

NONE (No reportable reimbursements.) SOURCE l. 2. 3. 4. 5. DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT
Page 3 of 12

N ....

f P .....Reporting

Date of Reporl

Mn,J~r~R, GRAY H.

07;’12/20!0
I

~

NONE (No reportable g:~s)
SOURCE

DgSC~PTION

VALUE

I. 2. 3.

5.

VI.
~

I~I-:-~DII~IIIIL ~’o (Includes those of sp ....... d depe,tdent children; see PI’. 32.33 ¢~filing instructions.)

NONE (No reportable liabilities.) CREDITOR DESCRIPTION
Margin Account

VALUE CODE
j

1. 2. 3. 4. 5.

Trapeze Capital Corp.

FINANCIAL DISCLOSURE REPORT Page 4 of 12
VIII. INVESTMEN TS an d TR USTS - i,,,,o ......

[Name of P ..... Reporting [

[

DaCe of Report

07/~Z’.m0 ~m.LEXa, ~RAV H. I
d dependent children; see pp. 34-60 o filling instructions.) l.e, transactions (Includes those qf sp ........

NONE (No reportable income, assets or transactions.)
Description of Assets (including t~st azse~) Place "(X)" after each asset exempt from prior disclosure ........... 1. 2. Chase Ba~ Account~ Everbank Bank Aecoun(s A [ Income during reposing period Type {e.g, div., rent, orint.) ~ ~ Gross value at en~ of ~rtin8 period Value Code 2 (J-P) Value Method Code 3 (Q-W) [nlerest J T Transactions during reposing perkM

~

Amount ~ Code 1 : (A-H)

[ ] ~ L

T~e (e.g., buy, sell, redemption)

Date Value Gain ~ mm/d~yy [ Code 2 Code I ~ (J-P) (A-H) [

Identity of buyer/mller (if private trm;saction)

C

Interest

L

T

3.
4.

Peoples State Bank Account (Y)
Compass Bank Money Market Account (X) A Interest J T

5. 6.
7.

Bank of America (CD)(X) Excelsior Fund L.P.
Glenrock Global Partners AI I..P.

B A
A

Interest Int.iDiv.
lnl.,.’Div.

Closed Redeemed
Redeemed (part) Redeemed

02/I 7/09 04/07/09
07/17/09 !0107109 ]

J L
M J D

8.

9. 10. I 1. 12. 13. 14. 15. 16. 17.

Copernicus International Market Neutral Fund, LP Nippon Renewal Partners [,.P.

A A

Int.!Div. Int.iDiv.

Rcdccmed " Redeemed (part) Redeemed

! 05[04i09 07/17/09 10/07/09 03/06./09 09/24.:09 10/21/09

M L J k O K

D

B E

Federated Prudent Beat Fund (Mutual Fund Pcrformex Multi Manager Fund 3cl LP A

None I,at../Div. O T

Sold Buy Buy (add’l)

13rokerage Account # I - Fidelity Core (?ash Account - Fidelity US Treasury Money Market A A Interest Dividend J T Closed 08/18/09 M

FINANCIAL DISCLOSURE REPORT

] Name of Person Reporting
] MILI.ER, (;RAY 14.

Date of Report 07/12/2010

Page 5 of 12
VII. INVESTMENTS and TRUSTS -- i,, ......... t,,e, trartqactlons (lm’ludes those of sp ......

d dependent children; see pp. 34-~10 all,ling instructiona..)

NONE (No reportable income, assets, or transactions.) Description of Assets (including trust asseg) Place "(X)"aftereach asse~ exempt from prior disclosore ~: Income during reposing period Type (e.g.. div ~eat orint) [ Gross value at end ] of reporting period ! Value ] U~c 2 {J-P5 Value Method Code3 (Q-W) Type(e.g., buy, sell, redemption) Transaclion~ during reproling period

Amounl ~ Code I ’ (A-H)

Date Value ~ Gain [m~’d~ Code 2 ] Code 1 (J-P) i lAd-l) ~ 03/09~09 07,’27!09 ! 07/20/09 08t06/09 08/18/09 K K .I J K A

ldentiW of buyen~setler (ifprivam transaction)

t8. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 3l. 32.

- Rising US Dollar Pro Fund lnv Class - iShares Barclays 7-10 Year Treasury Bond ~~) (IF.F) - Templeton Emerging Markets lnc Fd A

None Dividend None

Sold Sold Buy Buy (add’l) Sold

Brokerage Account - Canadian Superior Energy Units - Cuno Petroleum lnc Common - Canoro Res Ltd. Units (Y) - Corridor Res Inc. Common Stock - Malaga Inc - ORCA Exploration - Etruscan Resources Inc. Common Stock - Globestar Mining Corp Common Stock None None None None None K J J J T T T T Sold (pan) Sold None A Interest J J T ’F 03/24/09 07128;09 Buy (add’l) Buy (add’l) 02/24/09 108!05/09 .l J I None None J T Sold Sold (part) 02/13/09 09/30/09 J J

33. - Goldlhtb Corp C1-A Svs 34. - tligh River GId Qly Cv Rs 8% 3 II)ecl I

FINANCIAL DISCLOSURE REPORT
Page 6 of 12 VII. INVESTMENTS and TRUSTS ..
~

Na,ne of Person Reporting

~JLLER, ORAY H.

07/12/2m0

NONE 6Vo reportable income, assets, or transactions.)

........ ’ ......

L ..................~ ......... B~ .......~ .......C. ................
Income m~ng ~ reposing period IA .... t Type(e.g., :: Code 1 div., rent, tA-II) or int.) ~ I None B lnteresl None None Gross value at end . of reporting peri~ [Value ~ Code 2 ~ (J-Pl Value Method Code 3 (Q-W) T T T I Sold (pa~) 12/17/09 J ~ ; Type(e.g., buy, sell, ~ redemption) Date Value mmtd&’~ ~ Code 2 t J-P)

Description of Assets 0nctuding trust asse~) Pla~"(X)"afi ..... h ..... exempt from prior disclosure

Transactions during re~ing period

D~ ...........
Gain } Code 1 ~ (A-H) ldcmilyof buyer/seller (if private Iransaction)

35. 36. 37. 3g. 39, 40. 41. 42. 43. 44. 45, 46. 47. 48. 49. 50. 5I.

- Pe~olit~m Petroleum Lid - SpeciMD’ Foods Gg~ VriRI ]4/Decl 1 - St. Andrew Goldfields- New Common Stock - Steding Res lad. - Sto~ Cat Energy Co~ Common (Y) - Pacific Energy Res - Firstgold Corp Common (Y) - Serrano Energy Ltd- New Common Stock -. Stom~ Cat Engy-B L33QYCV9.25% 31Marl2 - TG World Energy Corp Common - Canadian Phoenix Res- New (Formerly.., - McKesson Corporation Common Stock A

J J J J

Buy (add’l)

08/28/09

J

A

None

Sold

12/22i09

J

None None

d

T Sold 12124/09 J

None Dividend

J

T Buy (add’l) Sold (part) Sold 04/22109 08i21/09 10/09/09 12/22/09 i 05/13109 06t09/09 J J J J J J A B

- Pacific Egy Res’33L Reg S - Aema lnc- New Common Stock A

None Dividend J T

Sold Buy Buy (add’l)

2. Value C~cs

J - $15,0~ or le~

K =$ i 3.00 l - $50,000

L =$ 50,00 t - $ l 0t},000

M =$100.~ I - 1250,000

FINANCIAL DISCLOSURE REPORT

~ .... f Person Reporting _~’IILLER, GRAY H.

[

Page 7 of 12
VII. INVESTMENTS and TRUSTS--i ....
,~]

I
~.
Type (e.g., buy, sell, ~edemplion) ~ Date ~mmid~’~ 1 Value Code 2 (J-P) Gain ~ Code 1 IA-H)

Date of Report

e~vMue~ransac~i~ns(~nc~udesth~se~fs~usea"ddepe~dentchi~d~¢n;seepp~34-6~f~inI4instr~c~i~ns~) ~. ......... ~ ..... ~ ...........................
Gross value a~ end of reposing ~riod Value Code2
[J-P)

NONE (No reportable income, assets, or trans~ctions.)

....... ~.~ ...................... ~
De~cfption of Asse~

- ..............

Income du6ng

l ransactions during reposing period

Place "(X)" after each ~sel exempt from priordiselosure

{ Code I ] (A-H) . [

T~ctc div., rent,
or int.)

Valne Method Code 3 (~W)

hlentily of bayer/seller (if private transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. - Kroger Co Common Stock A Dividend J T - Ruby Tuesday lnc Common Stock None J T - Palm lnc None - California Pizza Kilchen None - BJS Restaurants ~c None

Sold (pa~) Sold Bay Sold Buy Sold Buy’ Sold Buy Buy Sold (par0 Sold (part) Sold tpar0 [~uy (add’l) Eluy (add’l) Buy Buy (add’l)

09/29/09 06/17/09 07~22/09 04/27/09 07/23/09 09/15/09 09/I 7/09 09/2zr09 10/30/09 0t/28/09 04./09,09 04/24.’09 04/29/(/9 08/20/09 10/30/09 08/24/09 09/l 5/09

J J J J J J J J J J J J J J .!

A See note in pa~ VIII

See note in parl VIII A See nolo in part VIII

A

13 A

, J

FINANCIAL DISCLOSURE REPORT Page 8 of 12

I

Name of Person Reporting

Date of Report

] MILLER, GRAY H.

07/!2/2010

VII. INVESTMENTS and TRUSTS - into ..... ~.e, tr ..... tions (Includes those of spouse and dependent children; seepp 34-60 o/filing instructions.)
1~] NONE (No repot’tab& income, assets, or transactions.)

................ AI ....................
Description of Assets (iacluding ~st assets) Place "(X)" after each a_sset exempt from prior disclosure ..... 69. 70. 71. 72, 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. IRA #1 (:tbmmrly IRA #2) - PX Concepts Global Funds Masler Trusl (tRA Investment) - AIS Futures Fund II L.P. (IRA Investment) E - SPDR Trust Unit Series t ETF - .lack in the Box lne Common - Gamestop Corp CI-A Common Brokerage Account #3 - Powershares QQQ Trust Series I ETF - Clorox Company Common Sleek - CVS Caremark Corporation Common

~.
Income dufng i reporting period Amount ~ Ty~ (e.g., :: Code I [ div., rein, ~ A A ’: Dividend Dividend

~:
~ Value Code 2 " J .I

Gross value a~ end ~ of re~aing period

7, .................................................. D. .................
~ ~ Type (e.g., buy, sell, ] ............ Buy Buy Buy (add’l) Tran~ctions daring fencing period Vahm [ Method (Q-W) T ’/" Date Value Gain m~dff’y3’ Code 2 , Code I IdentiW of buyer!seller

::

transaction) :: ........................................... 10/01/09 03/17/09 10105/09 10/30109 12/03/09 J J J J J

None None

! J

T T

Buy Buy

None

Buy Sold Buy Sold

05101109 05106109 05/26/09 05,¢26/’09 05/01109 05104/09 05/05/09 05/06/09

K K L L K K K K A

None

Buy Sold Buy Sold

None Int.~;Div.

Redeemed Redeemed

08/14./09 08!07/09

N L

G

I. Iocorrm Gaul Codes:

A =$1.000 or te:s~

B =$1 ,{RI~ - $2,500

C ~$2,501 - $5,000

!) =$5.00i - $I 5,000

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 9 of 12

Name of Person Reporting r~nLLER, GRAY H.
thins (Includes those of sp ........

Date of Report

07/12/2010
d depettdent children: seepp. 34-60 of filing ins/ruc’~o~.)

VII. INVESTMENTS and TRUSTS --i,,.o,~e, v,~ue, ~ ......
~ NONE (No reportab& income, assets, or transactions.) Description of Assets (including t~st assms) Place "IX)" after each asset
oxempt t~m prior disclosure

[

Income during r~rdng period

Gross value at end of re~aing peri~ Value
C~ 2

~’ ] T~e (e.g.,
bny, sell,

Transactions during reporting period

~ount/ Type (e.g., [ Code ~ [I air., rent, (A-H) ~ orint.) Z

Value
Method

Date [

Value [ Gain (d-P) (A-H)

tdeatiW
buyer/scllcr

m~¢tltb~’ Code 2: Code I

(J-P)

Code 3 tO-’,

, redemption) ~ Redeemed Redeemed Redeemed

0fprivate ,rausac~ion)

[ 86. 87. 88. 89. 90. 9l. 92. 93. 94. 95. 96. 97. 98. 99.

- Prism Off’hare Fund Ltd. (1~ Investment) - Sprat( Capital l..P. (IRA investment) - Triumph Offshore Fund Ltd. (IRA Investment) Chase Bank Acoount (IRA) (Y) Chase Bank Account #2 (IRA) (Y) Perfonnex Multi Manager Fund 3cl LP (IRA lnvcslment) A D C

None Int./Div. lnt.!Div.

10/14/.09 10/26/09 08/’07/09

N O M G

lnt.iDiv.

PI

T

Buy Buy (add’l) Buy (add’l)

08/’18;09 10i 19/09 10/27/09

O O 0

Trust#1 - Fidelib’ Core Cash Account - Duke Energy Carp New Common - General Eiectric Co Common Stock - Apple lnc Common Stock - Ford M,~r Co Dcl Cam A A A Interest Dividend Dividend None None None None J J T T J T Sold Sold Sold Sold Buy Buy 08/31,"09 08/3t/09 03,’19/09 03/19./09 08/!9/09 08/19/09 J J J J B

100. - Short Dow30 ProShares ETF 101. - Ultra Short Dow30 ProsShares ETF 102 Trust ~2

I Incom~ Gala Codes:

A =$I,000 or less

B =$ !,00l - $2.500

C =$2 501 - $5,000

D =$5,001 - St 5.000

E =St 5dY3I - $50.000

FINANCIAL DISCLOSURE REPORT Page 1 0 of 12 ~qI. INVESTMENTS and TRUSTS - i ........
~

Name of Person Reporting I~,][LLER, GRAY

Date of Repor~

07/~2/201

~.e, ,r..~o.~.,,,.~ a.ct~ae~

NONE ~ro reportable income, assets~ or transactions.)
Description of Assets Income during ~ Gross value at end Tmn~cfions during reporting p~iod

Pla~ "(X)" al}er each ~sct ex+mpt from prior disclosure

[Amount ~ Code 1 {A-H) t

Type (e.g., Value div., rent, . Cc~e 2 or int.) [ (J-P) [

Value Method Code 3 (Q-W)

T)~e (e.g., buy, sell, redemption)

Date Value Gain [ mn~d~b~T Code. _9 ~[ Code 1 ~ (J-P) ~ (A-HI ;

Identity ol" bu~. er/s~lier (if private ~ransactionl

103. - Fideliq Core Cash Account

A A

loterest Dividend

J

T

104. - Duke Energy Corp New Common 105. 106. - General Electric Co Common Stock - Apple lnc Common Stock

Sold Sold

08/31./09 08/31109

J J

A

Dividend None

Sold

03!19/09

J

B

107. - Ford Mtr Co Del Corn 108. - Short Dow30 ProShares ETF 109. - Ultra Short Dow30 ProsShares ETF

None None None J J T T

Sold Buy Buy

03119/09 08!19;’09 08/19/09

J J J

rnco,ne Gain Codes:

A =$ t, ~00 or t~s

B =~ ii~)o~ ~ ~2,500

t.;, S2,501 - ss,~m

t) =$5.001 - ~ 15.0~

E ~$15.001 - $50,000

Colunms CI and 1.13~

N =$250.001 - 1500.~

O =$500.00! - St.000,000

PL ~l.~),0Ol - $5,000.~90

P2 =$55i00,001 -

Column C2)

U =N~ok Value

V =Other

W =Estimated

Page 1 1 of 12

MILLER, GRA¥’H.

07,!12/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Note: ETF stands for Exchange Traded Fund. Part VII, page 6, line 45 - This asset was fomrerly known as Canadian Phoenix Res Carp Common. Part VII, page 7, line 53 - BJS Restaurants lnc was sold short on 06/17/09 and covered on 07/22~’09. Column C has been left blank since this stock was no longer held at the end of the reporting period. Part VII, page 7, line 55 - California Pizza Kitchen was sold short on 04/27/09 and covered on 07/23/09. Column C has been left blank since this stock was no kruger held at the end of the reporting perind. Column D(4) on page 7, line 56 shows a gain because when the stock was bought (covered the short sell) a gain was generated. Part VII, page 7, line 57 - Pahn lnc was sold sht~rt on 09/15/09 and covered on 09./17/09 and then sold short again on (19/22/09 mid covered on 10/30/09, Column C has been left blank since this stock was no longer held at the end of the reporting period. Ce[umn D(4) on page 7. line 60 shows a gain because whey. the stock was bought (covered the short sel!) a gain was generated. Part VII, page 9, line 89 - The Chase Bank Account ~,IR~4.) is still open but some of tile money was rolled over into the Perfomaex Multi Manager I:und 3c 1 LP (IRA lnvesanent) which is on Part VII, page 9. line 91. The proceeds from the redeemed assets in IRA #1 were deposited into the Chase Bank Account (IRA) and then used to purchase the interest in the Performex Multi Manager Fund 3c! LP (IRA Investment) which is on Part VII, page 9, line 91.

FINANCIAL DISCLOSURE REPORT

Reporting

Da,e of Report

Page 12 of 12
IX. CERTIFICATION.

[ Name of P .....

07/12/2010

] MILLER, GRAY rl.

I certify that all information given above (including information pertaining to my spouse and minor or depeudent 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. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions ors U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353. and Jndicial Conference regulations.

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

CIVIl,

FILING INSTRUCTIONS Mail signcd original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, 1).(.;. 20544

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