richard l williams financial disclosure report for 2009

8/3/2019 Richard L Williams Financial Disclosure Report for 2009

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A o 1 o FINANCIAL DISCLOSURE REPORT R e p o r t R e q u t r e d b y th e E t h i c ~in Gove~nment Act of 1978R o y . 1 / 2 0 2 0 FOR CALENDAR YEAR 2009 (s t/s C app. lOl-lt01, Person R eporting (last name, first, middle initial) Z. Court or Organization 3. Date of ReportWILLIAMS, RICI-1ARD L U.S. District Court ED!VA 04/30/2010

4. Title (Article Ill judges Indicate active or seruor status, 5a. Report T ype (check appropriate bpe) 6 , Reporting Periodmagistrate judges indicate full- or p art-time)[] Nommalmn, Date 01/01/2009

SeniorU.S Dl.~trict3udge [] Inttlal [] Annual [] Final to12/31/20095b. ~ Amended Report

7. Chambers or Office Address 8. On the bas~s of the information contained in th~s R eport and a~ymodifications pertaining thereto, it is, in my op inion, in comphaneeRobmson~qVlerhige U S Courthouse with apphcable laws and regulations.701 E Broad St., State 3000Pdchmond, Virginia 23219 Reviewing Officer Date

IMPO RTANT NO TES: The instructions accompanying this form must be followed. Complete all pa rts,checking the NONE box for each pa rt where you have no reportable information. Sign on lastpage.

--] N O N E (No reportable positio~z~.)POSITION NA M E OF ORGANIZATION/ENTITY

I Trustee Revocable Trust Agreement dated as of 11/29/05 to hold Scott & StringfeltowAccoun t - Trust #12 Trustee Revocable "I rust Agree~nent dated as of I 1/29,05 to hold Scott & StringfellowAccount - Trust #23 Trustee Revocable Trust Agreem ent dated as of 11/29/05 to hold Merrill Lynch A ccount-Trust//3

1 1 . A G R E E M E N T S . (Report,t,g itulividua! only; sea pp. 14-16offiffngin~trutt ....... )~ NONE (No reportable agreements )

J)AIE PAR TI E S AN D TE R M S12


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FINANCIAL DISCLOSURE R E P O R T N~.e 0fPersoa Report ing I Date of ReportPage 2 of 8 W n ~ L J A ~ 1 S , R I C H A R D L, I 0 4 / 3 0 / 2 0 1 0

I l L N O N - IN V E S T M E N T I N C O M E . ~ort~.z indlvidt,a! and spouse; ~ee pp. 17-24 of ~llng ins~uclions.)A. Filers Non-lnvestment Income

NO~ (~o reportable non-investment income.)D A T E SOU R CE AN D TY PE ~COME~you/s, no~ spot~ses)

l 1/1-12/31 V~gm~a SuppIemcmal R~t~remea~re~irement Total - $10,626.00

2

3

4

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were married during anypottlon of the report~ng year, complete this section.(Dollar ~raount not required except for honorarta )

NONE (No reportable non-investment tncome.)D A T E S O U R CE A N D T Y P E

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2

4

IV. REIMBURSEMENT S -(I~lude~ tho~" to ~pou~e and dependent ~hlldren; see pp 2.~-27

N O N E (No reportable retmbursements.)SO UR CE D A T ES I~OCATION PURPOSE ITEmS PAID OR PROVIDED

2.345


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FIN A N C IA L D I SC LO SU R E R E P O R T Name of P .....Reporting[

Date of ReportPage 3 of 8 WILLIAMS, R I C H A R D L . 0 4 / 3 0 / 2 0 1 0

V . G I F T S . a n c t , d , s ,h o s e , o s p . . . .. . d dependent children; see p p . 2 8 - 3 1 of filing instructions.)NONE (No reportable $~s.)

S O U R C E D~SC~PTION VALUE1 .

2.345.

VI. LIABILITIES. a,d,,de,N O N E ( N o reportable liabilities.)

C R E D I T O R D E S C R I P T I O N VALUE CODE

2.3.4.

5.


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Page 4 of 8 ] W I L L I A M S , R I C / - I A R D L . 0 4 / 3 0 / 2 0 1 0VII. INVESTMENTS and TRUSTS - i ........ lue, tr ..... tions (Includes those of sp ...... d dependent children; seepp. 34 -60 of filing inst ......... )---] NONE (No reportable income, assets, or transactions.)

A B. I C. DD e s c r i p t i o n o f A s s e t s I n c o m e d u n n g I G r o s s v a l u e a t e n d T r a n s a c t i o n s d u n n g r e p o r t in g p e r i o d0 n c l u d ~ n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d . o f r e p o r t i n g p e r i o d(l) (2 ) (I) (2) (1 ) (2) (3) (4) (5 )P l a c e " ( X ) " a ~ e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Value T y p e ( e g , D a t e Value G u m I d e n t i t y o f

e x e m p t f i o m p r i o r d ~ s c l o s u r e C o d e I d l v , r e n t , C o d e 2 M e th o d b u y , s e l l , m~tdd/yy C o d e 2 C o d e 1 buyer/seller( A - H ) o r m r . ) ( . l - p ) C o d e 3 r e d e m p n o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) I t r a n s a c t i o n )

1 Bank of America/Richmond, VA/Aeets A Interest K T2. Suntrusr./Rtchmond, VAJAcct A Interest J T3 Revocable Trust fi l/Scott & Stringfellow E htt/D~v. N T

Contpnsed of"4. - Bristol Myers Squibb Co (Common Stock5. - lntel Co~p (Common Stock)6 - Intl Business Much (Common Stock)7 - Microsoft (Common Stock) Sold 5/14/09 J See Notes( p a r t )8 - Minnesota Mng Mfg - (3M Co.) (Commo~Stock)9 - Suntntst Banks (Common Stock)1 0 . - Verizon Communications (Common Stock

I - Johnson & Johnson (Common Stock)12 - Smucker JM Co (Common Stock)13 . - AT & T14 - Amem H~gh Inc Tr CL B Buy 3/31/08 K See Notes15 - Richmond VA MET Auth Expwy RevITM 01161316 - Harrisonburg VA REDV HSG 07161417 - Umts Tax Exempt Bd FD VA

Income Galn Codes A =51,000 or less B =51,001 - 52.500 C =52,501 - $5,000 D =55,001 - $15,000 E =515,001- 550,000( Se e C olu mn s B I a nd 0 4) F = 55 0, 00 1 - $1 00 ,0 00 G =5100,001 - St,000,000 HI = ~;1,000,001 - $5,000,000 H. =More lhan 55,000,000Value Codes J = $15,000 or less K = 515.001 - $50,000 L =$50,001 - 5100.000 M =5100,001 - 5250,000(See Colum ns C I and D 3) N =$250,001 - $500,00{) O =5500,001 - $I ,000,000 PI =$1,000,001 - $5,000,000 P2 =55,000,001 - 525,000,000P3 = $25,000,001 - $50,000.000 P4 =More than $50,000,000Value Metbod Codes Q =Apprm~al E =Co~t (R41 E~tate Only) S =A~se~srne~t T =Cash Market(See Column C2) U =8oek Valise V =Olher W =Esumated


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FINANCIAL DISCLOSURE REPORT ] N .... fP .... Reporting ~ Date ofl~eportPage 5 of 8Ii WILLIAMS, RI Cll ARD L . [

04/30/2010

~ONE (No reportable income, assets, or oansactions.)

D e s c r i p t io n o f A s s e t s [ Income during [ Gr~s value at end T r a n s a c t i o n s d o n n g r e p o r ti n g p e r i o d(including t~st assets) [~ re~ng pe6od ofrepo~g periodP l a c e " ( X D " a f t e r e a c h a s ~ t ~ A m o u n t ~ T~c (e g, [ Value Value T~e (e g, D a t e Value G a i n lden~ ofe x e m p t f r o m p 6 o r d z s e lo s ~ e ~ C o d e I I div, renl. C o d e 2 M e th o d b u y , ~ 1 1 , fi~d&}3 C o d e 2 C ,J d e I b u y e r / s e l l e r/ (AH) ~ .... t, G - P ) Code3 r e d e m p t i o n , , { J - P ) tA-~ ( , f p r , v a t e(~W) j t r ~ s a c U o n )

1 8 . - H enfieo VA 6.5 060122

1 9 . - Va St RDA-D 6.0 040124! 2 0 . - Fairfax FINL 042612

21 - Loudoun VA VAR 080128 Sold 2 1 2 / 0 9 J See Notes22 - Albemafle Va. 01011223 - Smithfield 0801

2 4 . - Srznthfield 101509 Bu y 1 0 1 0 1 / 0 8 J See Notes

25 Sold [0/15/09 J See Notes~. - Va Bch Va Dv Ath Res Cmo Fee 7101110

2 7 - VA St Hous Rev 0l 0} 16 Buy 1/28/09 K2 8 . Revocable Trust #2 - Scott & Stringfellow D Int/Div M TAcct. Comprised of2 9 . - Va St Re~ Auth Wtr & Swr Sussex Sold 7/22/09 K See Notes3 0 . - Pmc W m Co Va W stmnstr Lake 610[ 13

I1 - Va. St Res Auth Rcv htfra Sub Pooled. F r o g I I 0 1 I ]1 3 2 - Hennco Co Va EeonDv Utd Moth 6/01/28

3 ? , . - Fairfax Co Va Econ Dv Goodwln l lsI0/01/16

3 4 . - Cheslerfield Co VA 010120 Bu y 7/23/09 L

I Income Gain Codes A ~$1,~00 or Ic~. B = $1,001 - $2,500 C = $2,$01 - $5.000 D =$5.001 * $ [ 5,000 E =$15,001 - $50,000~,Sge Coltmms 131 =ttd D4) F -$50,001 - $100,000 O =$1 fl0,001. $1.(1~).000 H I = $1,000,001 - $5,000,000 112 =More than $5,000,0002 Value Codes I ~$15,000 or less K =$15.001 - $50,000 L =$50,0~1 - $100.000 M = $1D0,0OI - $250,000(See Co[uml*$ CI and D3) N = $25 0.001 - $5 00.000 O = $5 fl0.001 - $1,000.00O P I = $1 ,000,001 - SS,00fi,0[l~ P2 =$5 ,1~)0,001 - $25,000,000P3 ~$25.000.001 - $50.000.000 P4 =h[oie than $50.000,000


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F IN A N C IA L D IS C LO S U R E R E P O R T n,me of Person Reporting [ Date of ReportPage 6 of 8 WILLIAMS, RICHARD L.[

04/30/2010

VII. INVESTMENTS and TRUSTS - in ....... i.e,, ...... tlons (Includes those of sp ...... d dependent children; seepp. 34-60 o/f!ling instructions.)[] N O N E (N o reportable income, assets, or transa ctions)

A B C. D.Description of Assets Income during Gross vaIue at end Tmnsacnons during reporting period(including trust assets) repomng period of reporting period

0) (2) ] 0) (2 ) O) (2 ) (3) (4) (5 )Place "tX)" after each asset Amount Type (e g"I

Value Value Type (e g, D ate Value G ala Identity ofexempt fromprior disclosure Code l dlv, rein, Code 2 Method buy, sell, mm/dd!yy I Code 2 Code I buyer/sdler( A - H ) or int ) (J-P) Code 3 redemption) [ (J-P) (A -H ) (if private

I ( Q -W ) ] [ ! t r a n s a c t , o n )35 Revocable Trust #3 - Memll Lynch CMA D Int/D~v N Tcomprised o f"3 6 . - Norfolk VA Wtr Eev 1LFDG FSA 110123

3 7 . - V A St Res Auth Wtr& Sys Rev Sussex RF R e d e e m e d 7 / 2 2 1 0 9 J AOIL 100125

3 8 . - V A St Res at INFP,.A Rev Pooled LN B D D i s t r ib u t e d 6/26/09 K S e e N o t e s0501173 9 . - VA St Res Auth 050117 (10K) Spinoff 6/26/09 I See Notes(from hne 38)

40 - VA St Res Aulh 050117 (15K) Spm off 6/26/09 K See Notes(from hne 38)4 1 - V A Cllge Bldg Auth Wash-Lee MBIA0101264 . 2 . - Arhngton Co VA Pub IMPT 02012019

4 3 . - Southeastern Pub Svc Au th 07012015

44-. - Norfolk Va. Cap Impt MBIA 03012016

45 - DC FIallpk Rev 2012019

46 - Blaekrock MuniVe.~t Fund, Inc

I Income Gain Codes A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - 55,000 D =55.001 - $15,000 E =$15,001 - 550,000(See Columns kl I and O4) F =SS0,0Ol - 5100,000 G "$100,001 - 51,000,000 H I = $1 ,0 00 ,0 0 [ - S 5 ,0 00 ,0 00 1 1 2 ~ M or e t ha n 55 ,0 00 ,0 002 Value Codc~; J ~515,000 or less K ~$15,001 - $50,000 L =$50,001 - $100,000 M = $100,001 - $250,000 ISee Columns CI and 03) N =$250,001 - 5500.000 O =$500,001 - $1,000,000 PI ~St,O00,001 - $5,000,000 P2 =$5,000,001 - $25.0~0,000P3 ~$25,000,001 - $50.000,000 P4 =More than $5 0,000,0003 Valne Method Codes Q =Appraisal R Cost (R~I Estate Only) S =Assessment T = Cash Market/See Colttmn C2) O =Book Value V OIher W =Esl*matcd


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FINANCIAL DISCLOS URE RE PO RT ] ~ ..... f P . . . . .R ~ p o r ~ n . ~ ~ o f R ~ p o r tPage 7 of 8/ W I L L I A M S , R I C H A R D L .

04/30/2010

V III. ADDITIONAL INFORM ATION OR E X PLANATIO NS. a.#i~.~,.p.~, oy~,o.~)

Entries of new acqtusltions have been listed m each brokerage account, not at the end of the report, in order to keep each account Iogether.Part VII - Line 7 - No appropraate letter code "fhts asset was sold at a lossPart VII - L ine 14 - Inadvertently omitted form 2008 report.Part VII - L ine 21 - No appropriate letter code No gain on this transaction.Part VII - L ine 24 - Inadvertently omitted from 2008 report.Part W lI - Line 25 - No appropriate letter code No gain realized on th~s transaction.Part VII - L ~ne 29 - No approprmte letter code. Th~s aszet was sold at a loss.Part VII - L~ne 38 - No appropriate classification for exchanges. Th~s asset was exc hanged for Va St. Res Auth_ entries listed on Lines 39 at~d 40


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F IN A N C |A L D IS C L O S U R E R E P O R T I N a m e o f P . . . .. R e p o S i n g D a t e o f R e p o r tPage 8 of 8 [ WILLIAMS, R I C H A R D L . 0 4 / 3 0 1 2 0 1 0I X . C E R T IF IC A T I O N .

1 certify that all information ~ven above (including information pertaining to my spo use and minor or d ependent children, if any) isaccurate, true, and com plete to the best of my kn owledge and belief, and that any information l~ot reported was withheld because kt m et applicable sfatutoryprovisions permitting non-disclosure.I fisrther certify that earned income from outside employm ent and honoraria and the acceptance o f gifts which have been repm ~ted are incotnpliance with the provisions of 5 U.S.C. app. S01 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANV TiNDIVIDUAL W ItO KNOWING LY AND WIL FULLY FAL SIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SA NCTIONS (5 U.S.C. app. 104)

F I L I N G I N STR U CTION SMail signed original and 3 additional copras to:

Committee on Financial DisclosureAdministrat~vc Office of the Umted Statcs CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C 20544

richard l williams financial disclosure report for 2009

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