Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
5b. [] Amended Report 7. Chaml~rs or Office Address 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
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete afl parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
D
1. 2. 3. 4. 5.
NAME OF ORGANIZATION/ENTITY
II. AGREEMENTS. me~,o,~ng ~naivia, at o,ty; se~ ~,~,. t4-t6 of fillng lnstructlons.)
[-~ NONE (No reportable agreements.) DATE
Royal, Charles A.
INCOME
(yours, not spouses)
$2,000.00 $2,707.67
B. Spouses Non-Investment Income - If yoa were married daring any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATE
1.2010 2.2010 3. 4.
~]
2. 3. 4. 5.
V. GIFTS. anclud~ those to spo,~e and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3.
4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancludes those oI~ponse and dependent children; see pp. 32-33 of fillng instructions.) NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS an d TRU STS - income, volue, ~u,~acao~s ancl~d~ ,hose o/spouse a.a dependent children; see pp. 34-60 of filing instructionsO
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end Transactions during reporting period
reporting period (l) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) L N J J J J J J J J K J J J J J J T T T T T T T T T T T T T T T T T
(2) (3) (4) Date Value Gain mm/ddk~y Code 2 Code I (J-P) (A-H)
Northwestern Mutual Life SunTrust Retirement Reserve Fund MetaMorphix, Inc. Polywad, Inc. SunTrust Account #3 SunTrust Account #4 SunTrust Account #7 SunTrust Account #9 Edward Jones Money Market Fund Estate #1 IShares, Inc. - MSCI Brazil American Balanced Fund Capital Income Builder Fund Capital World Growth & Income Fund Fundamental Investors Fund Growth Fund of America Income Fund of America
A A
A A A
Dividend None
B A A A A A A
E --$15.001 - $50.000 2. Value Codes (see Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,000 or less . N =$250,001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =B~ok Value K ~$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Olher L =$50,001 - $100,000 Pl =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated M =$100.001 - $250.000 P2 =$5,000.001 - $25,000.000 T =Cash Market
VII. INVESTMENTS and TRUSTS - ineo~,e, value. ~ra.~a.io,~ anetud~ those of spouse and dependent children; see pp. 34-60 of filing instrucliong) ~] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" atter ~ch asset exempt from prior disclosure
Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
Gross value at end of reporting period (I) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) J J J T T T
Transactions during reporting period (l) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
Identity of
Investment Company of America Fund New Perspective Fund New World Fund Seaspan Corp
A A A
Sold Sold J T Sold Sold Sold L J K T T T Sold K J K K T T T T Sold (part) Sold (part)
01/25/10 01/25/10
J J
C C
22. Alcoa, Inc 23. Atlas Energy Resources 24. Berkshire Hathaway Inc 25. Dow Chemical Co 26. DuPont E I De Nemours Co 27. Exelixis Inc 28. 29. 30. 31. IShares Inc MSCI Singapore IShares IncMSCI Sweden Mead West Va Co Corp Renesola LTD A A A A
Dividend None Dividend None None Dividend Dividend None None None
M K K J
D D D C
01/25/10
32. Rexahn Pharmaceuticals 33. San Juan Basin Royalty Trust 34. TICC Capital Corp B B
Dividend Dividend
04/08/10
2. Value Codes (See Colunms CI and D3) 3. Value Method Codes (S~e Column C2)
E =$15,001 - $50,000
Date of Report
05/09/2011
VII. INVESTMENTS and TR U STS - income, ,.i,e, ,ra,~acao,~ anci,de, ,ho,e olspo,e ond derende,~ children; see pp. 34-60 of filing instructions;)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
Income during reporting period Gross value at end of reporting period
Transactions during ~-~orting period (I) Type (e.g., buy, sell, ~demption) (2) (3) (4) Date Value Gain mm/dd~/y Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private ~ransaction)
35.
SadiaSAADR
None None None D Dividend None None A B A Dividend Dividend Dividend None A Dividend None None None None None A Dividend J J J J K T T K J K J
T T T T
Sold
10/20/09 J
36. Seagate Technologies 37. American Oriental Bioengineering Corn 38. Armaly Capital Mgmt Inc 39. Anworth Mtg Asset Corp 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. Anworth Mtg Asset Corp Fly Leasing LTD f/k/a Babcock & Brown Air Ltd Centurytel Inc Chesapeake Energy Corp China Sunergy Co Ltd BRF Brasil Foods Halozyne Therapeutics lnc Linn Energy LLC MFA Fine lnc Microsoft Corp Micron Technology Inc Northstar Realty Fin Corp
K J J
A
K J J
D A A
Sold
01/25/10
Sold Sold
01/25/10 01/25/1~
K J
D A
c =s2,5Ol -Ssi000 :
~See Columns::B land 134) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (See Column C2) F--$50~001 -$100.000 J =$15,000 or I~s N =$250.001 - $500.000 P3 =$25,000.001 - $50.000.0~0 Q =Appraisal U =Book Value G =$100;001 - $1.000~000 K =$15,001 - $50.000 O =$500,001 - $1.0~0.000 R =Cost (Real Estate Only) V =O~her HI =$L009~001 : $5.000~0~0 L =$50.001 - $100,0~ PI =$1.000,001 - $5.000,000
P4 =Mora than $50,0~0.000 S =Assessment
D =$5,001 -$15,000 H2 =More than $5,000,000 M =$100.001 - $250,000 P2 =$5,000,001 - $25,0~0,000 T =Cash Market
E =$15,001 - $50.0~
W =E~imated
tio,~ VII. INVESTMENTS and TRUSTS - inco,~e, vai~e, ,, .... (Includes those of spouse and dependent children; see pp. 34-60 of filing instructiong)
(including trust assets) Place "(X)" after each asset exempt from prior diselosure
B. Income during reporting period (1) (2) . Amount Type (e.g., Code 1 div.,rent, (A-H) or int.)
C. Gross value at end of reporting period (I) (2) Value Value Code2 Method Code 3 (J-P) (Q-W)
J T
D.
Transactions during reporting period
(2) (3) (4) Date Value Gain mm/dd,,q/y COde2 Code I (J-P) (A-H)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Palomar Medical Technologies Inc Pfizer Inc PowerOne lnc Atlas Energy Inc Atlas Energy, Inc. AtlasAmerlnc Seattle Genetics Inc Silicon Imagelnc Suntrust Bank Inc WSPHoldingsLtd Williams Pipeline Partners Yingli Green Energy Holding Co Legacy RESVS Freeport-McMoran Copper& Gold Freeport-McMoran Copper & Gold Alliance BemsteinHLDG Apollo Investment Corp A A B A
None None None None None None None None None None None None Dividend Dividend None Dividend Dividend
Sold Sold Sold J T Sold (part) Sold Sold Sold Sold J T Sold J K T T Sold (part) Buy Buy Sold K J T T Buy Buy
K J K K J J J K
C A C A A A A E
K J K J M K J
D D
E --$15,0(11 - $50,0~0 F =$50,001 ~ $100~000 : (S~bi~nsalaMD4) ...... 2. Value Codes (See Columns CI and D3) 3. Valuc Method Codcs (S~e Column C2) J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000.0OI - $50.000.000 Q =Appraisal U =Book Value :: G =$100~00F~ $ L000~000 K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Other H I --$L000;091 : $5:000.000 L =$50.001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated H2 =More than $5,000~000 M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
reporting period
(l) (2)
of reporting period
(1) (2)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Apollo Investment Corp Apollo Investment Corp Synovus Financial Corp AT & TInc Centurylink Inc f!k/a Centurytel Frontier Communications Corp Verizon Communications Northwestern Corp American Capital Agency Corp Anworth Mtg Asset Corp CapsteadMtgCorp Capstead MtgCorp Hatteras Financial Corp HatterasFinanciaICorp Invesco Mtg Capital Inc Invesco Mtg Capital Inc MFA Financiallnc A B C A B B D A A A B B A A A
None None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J T J K K J K K K K T T T T T T T T
(part)
Sold Buy Buy Buy Sold (part) Buy Buy Buy Buy Buy Sold Buy Sold Buy Sold Buy
Sold
07/09110 10/13/10 06/22/10 03/23/10 07/26/09 07/15/10 03/23/10 03/18/10 03/18/10 03/25/10 03/25/10 04/01/10 03/25/10 04/01/10 03/25/10 04/01/10 12/14/09
J J J K K J K K K J J J K K K K J
A A
E =$15,1)01 - $50,000 (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) F =$50~001 - $100,000 J =$15,1)00 or less N =$250,1)01 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value O =$I00.001 - SL000:000 K =$15,001 - $50.000 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V =Other HI --$1~000,001 - $5,000,000 L =$50.001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More lhan $50,000.000 S =Assessment W =Estimaled H2 =More lhan $5.000,000 M =$100,001 - $250,0~1 P2 =$5,000,001 - $25,0~0,000 T =Cash Market
VII. INVESTMENTS and TRU STS - inco,~e, value, tro,~aelio,~ ancl~d~ those o/s~,o~se ~nd de~,e, aent children; see pp. 34-60 of filing instructions.)
D NONE
(No reportable
Description of Assets (including Ulast assets) Place "(X)" after each asset exempt from prior disclosure
of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
transaction) Buy Sold Buy Sold 03/16/10 06/15/10 03/25/10 04/01/10 12/01/10 03/25/10 04/01/10 03/25/10 04/01/10 03/25/10 04/01/10 10/26/10 03/25/10 i 04/01/10 03/18/10 03/25/10 04/01/10 L K K K K J J K K J J L K K K J J A A A A A A A
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
BP PLC SPONS ADR BP PLC SPONS ADR EV Energy Partners EV Energy Partners Firstenergy Corp Gulf Resources Inc Gulf Resources Inc Halliburton Co Halliburton Co Idera Pharmaceuticals Idera Pharmaceuticals Ishares S & P PFD STK Martin Midstream Parlners Marlin Midstream Partners B
None None None None None None None None None None None Dividend None None None None None K T ~L T K T
Buy Buy Sold Buy Sold Buy Sold Buy Buy Sold Buy Buy Sold
100. Omnivision Technologies 101. PDL Biopharma Inc 102. PDL Biopharma Inc
E =$15,001 - $50,000 2. Valu~ Codes (See Colunms CI and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Olher L --$50,001 PI =$1,000,001 - $5,000,000 P4 =More than $50.000.0~0 S =Aas~sment W =Estimaled
VII. INVESTMENTS and TRU STS -inco,~e, volue, tru,~cao,~ tIncl~de* those of *po~se ~nd de~,endent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (!) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) K J T T
Transactions during reporting period
(2) Date
mm/dd/yy
Identity of
buyer/seller
103. Pioneer Southwest Energy 104. Prospect Capital Corp 105. Prospect Capital Corp 106. Provident Energy 107. Pace Oil & Gas LTD 108. Questcor Pharmaceuticals Inc 109. Sciclone Pharmaceuticals Inc 110. Southern Company 111. United Microelectrics Corp 112. Xinyuan Real Estate Co
B A A A
03/18/10 03/25/10 04/01/10 03/18/10 ~ 07/23/10 03/16/10 03/16/10 03/18/10 03/18/10 03/16/10
K K K J J J J K J J
Buy Sold
J J K J J
T T T T T
B A
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
D =$5,001 - $15,000 H2 --More than $5,000,000 M =$100.001 - $250.000 P2 =$5.000,001 - $25.000.000 T =Cash Markct
E =$15,001- $50,000
Date of Report
05/09/2011
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. 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 of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544