,

AO-10 (WP} Rev 10008 ....... : ~

" .......

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
-2. Court or Organization

Report Required by the Ethics

in Government Act ofl978, 3. Date of Report

(5 u.3~c, app. lot-ell)

April 23, 2010

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

Bates, John D.
4. Title (drt~cle Ill judges indicate m.t~e or senior status: magistrate judges indicate full- or part-ttme)

/ U.S. District Court for the District of Columbia

56. Report Type (check appropriate type) __ Nomination, Date 6. Reporting Period

District Judge - Article 11I (active)

7. Chambers or Offic--~-Ad~d-~tss 333 Constitution Ave., NW Washington, DC 20001

Initial X Annual Final .......... ].. 1/112009 to 12/31/2009 __ ......

Amended Repoa 5b. 8. On the basis of the information contained in this Rrport and any modifications pertaining thereto, it is, in my opinion, in compliance with applicnhle taws and regulations. Date Reviewing Officer

IMPORTANT NOTES: 7"he instructions accompanying this form m,,~t be fo!lowed. Complete all parts, checking the NONE box for each part wlwre you hm,e no reportable inJbrmation. Sign on last page.

I. POSITIONS. (Reporting i,~l,~id~at on6, see pp. 9-13 of lnstructions.)

,/ ~ NONE (No reportable positions.)

pos[:rlOr~

t~AME OF ORC, A~IZATIOr~,~T!Ty

I I. AGREEMENTS. ~eporting individual only; see pp. !4-16 of Instructions.)

NONE (No reportable agreements.)
DATE

".

PAP, TIES AND "IERM~

II1. NON-INVESTMENT INCOME. (]~eportmg individual andspouse; seepp 17.24 of

A. Fliers Non-Investment Income NONE (No DATE

lnstruct~ons)

reportable non-investment income.)

SOURCE AND TYPE INCOME

B. Spouses Non-Investment Income - if you 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. 2009

2.

]Washington, DC

Bates, John D.

FINANCIAL DISCLOSURE REPORT

Dale of Report

[ Name of Person Reporting John D. Bates

April 23, 2010

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

I New York Intellectual Properly [..~w Assn

DATES
3/27/093F29/09

LOCATION
New York City

PURPOSE
Annual Dinner in honor of the Federal Ju&ciapf

ITEMS PROVIDED OR PAID

T~ar,.sponation, meali, and Io,.Igmg

2. 3.

5.

6.
7.

V. G I FTS. a,,ct,,d, ,hose to spo .... d ~,,,de,,, ,~,it,~ .... Se~ ;,.,. 2S-.~ ~
i ,/ [___ I NONE (No such reportable gifts.) ! SOURCE I. DESCRIFHON VALI~ $

VI. LIABILITIES.
NONE (No reportable liabilities ) CILE_I II I OP, DESCRI ~rlON VAL UI: CODE

*V~c~esl-

J=$15,000 or less K=$15,001-$50,000 " L--$50,00 i-$100,000 N=$250,00 I-$500,000 ,.~ . O=$500,00 !~$1,00O,000 P2--$5,000,001:$25,000fi00 : P3=$25_~000,001~50,000,000

P 1 =$1 ~000,001 -$5~000,000 P4=$50,000,001 ormore

FINANCIAL DISCLOSURE REPORT

:

Name of P .... Rel~nmg John D Bales

Date of Report April 23, 2010

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

and dependent chddren. ~e~e FP 34-60 of lnstr~crior~ )

NONE (No reportable income, assets, or transactiorcg.) Wachovia / Wells Fargo Account A l~terest J T

F, lorganS~ank~Si~ithBa racy =IRA - C -- Amer Inll Group -Common None B B i DpAdend l~,,idend None K K J T T ) ........ T sell 10126 J A T s~ll 9/25 ] A

-- Auto Data hoc - Colrm~on - Amer Cap Sa- (Ltd) - Common -- Adob~ S) s- Common

~
17

~: 8 -- Apple Inc. - Common . ..................................

i
9 II 12 .13 14 15 I 16

None J ? ............. : .... A Dindend J

Bm)k ofA~n~r - Common -- Baxter Imq -Common -- Ill Gtoup PLC -- CISCO Sys Com-mon -- Chevron Texaco Common -- C INN Fmandal Corp. Common -- Cognizant Tech- Coramon -- Dow Chem tort:non -- Dreyfus Money Market 1 i

]0

A A A A B

Diwdend D),qdend D)sqdend Dividend Di,Adend None

K J K K K :: ] K M

T T T T T ] T T buy/sell vat K E=$15,001_$50,000 --~ | { ~cl) 10/26 B sell 10126 K ; D :

A C

Dividend D)vidend

17

Income/Gain Codes: A=$1,000 or less B=$1,001-$2,500 (See Col. BI, D4) F=$50,001-$100,000 G=$100,001-$1,000o0O0 " 2" Value Cod~: J=$15,000 or 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 " 3 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-$5,000,000 L=$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

FINANCIAL DISCLOSURE REPORT

N~e of P ..... Reporting

Dale o/ReF~,n

John D. Bates

April 23, 2010

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

...

~ ....

,, .....

-"-

- :.

..:.- .. . ~ ."

....._.:,~. _"-~

I~ntity of.

NONE ~o repoaable income

resets, or tr~sactiom)

I8 19 20 21 22 23 24 25 26 27 28 29 30 13

-- :Emerprtse Prod - Common -- FISERV hie - HP Common - I lome Depot Common -- ltCC Ins. lfldgs- Common - Intl Game Tech - Common --JP Morgun Chase & Co Common -- Johnson & Johnson - Common -- LJ Conmau- Conunon -- Marriott tnt~- Common -- McDonalds- Common -- MetLife- Cormnon -- Morgan SLmdey- Common - NationM Oilwell - Common A A A A A A A

None None Dividend Dividend Dividend lhvtdend Di,~dend Dwidend D~vidend None t A A D~v~dend Di~dend None

K J L K J J K J J J K J J

T T ...... T T T Y T .... T ] T " ;

l
sell - ] ..... 10F26 J A

-- Pfizer. Ct.nrtmun 134 --Peps,co-Co ....

Dividend None

K ,

T T ,

L
~ I Income/Gain Codes: ..... A=$1,000 orless (SeeCol. BI,D4) F=$50,001-$100.000 2 Value Codes:

: E-~15,001-$50,00~

_]

p~_~ ,001-$500,000 O=$500,00!-$1,000,000 . el.-~l,000,001-$],000,000P2-255,000,001.$2~,000,000 3~$25,000,001-$50,000,000 7: P.4-s-~More than $50,000,000 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

(Se~ Col.Cl, D3)

L--S),.S~0.00~.of.~ess

B=$1,001i$2 500 . C--$2,501-$5 000 " D=$5,001-$15 000 G~$100001.~I,000,000 Hly~$1~000,0~I-$5~000,000 H2=Mocethan$5,000,000

K=$~5,00~-$~0,000 " L~S0~001-S~00000 " .. M=S~00,00t.S~S0000

FINANCIAL DISCLOSURE REPORT

Na~e of Person Reporting

Date of Report

John D. Bates

April 23, 2010

VII. Page 3 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-60 of lnstructions.) Descrip~i6iiofAsset~ " ,. ~ 9,- --= "; .:: ;..: _ B..: .... pp"?s .. nl eml ot: I . jransaenons outing reporting period

NONE

040 reportable income

assets, or transactionS)

| .........

/ .....

!
35 - Principal Finl - Cormnon A [ Dividend J 1" / :

37

- Sempra Energy - Common

A A A A A

D~vidend Dividend ~ividend iddend D~,~dend J J I T T sell 1 10,26 J

38 -- Staples - Common 39 40 !I I - TJX Co - C~mmon -- lyco Elec~onics, Lid -- United I leaIth - Common

42

-- Venzm~x Conmmn

Dividend

43

M o rg~ n Sta nky Smithlla rn y. Join~

44

-- ,,M.XA Eqmtable Life Annul .ly

None

:45

-- AES Corp Common

None

~46

-- Arch Capital Group --/Liner Tower Corp - Class A -- B~lays Bank Pref -- C,~b,mk Money Fund

None None None A Interest J K L 1-

sell

9/25

i47
48 49

buy/sell

vat.

5 I - Da,.qta Inc.

None

I Income/Gain Codes; A--$1,000 or less (SeeCoI. BI~D4) :F=$50,001~$100,000 2 Value Cod~: J-~ 15,000 o~ less (See Col. El,D3) N--$250,001-$500,000 3 Value Method Codes: Q=App-~al (See Col. C2) U=Book value

P3=$25,000

B-~$I,001-$2 500 G=$100,001-~I,000,000 K=$15 001-$50 000 O=$50~ 001-$1000 000 001-$50,000,000 .

C--$2;501-$5 000 D~$5,001-$15 000 HI--$1,000,~1-$5,000,000 H2=Morethan$5,090,000 L=$50,001- $100 000 M=$100,001_~;250,000 P1=$1,000,001-$~,000 000 P2=$5,000,001-$25,000,000

E=$15,001.$50,OO0

R-~--Cost (real cstate only)

V-~:~her

P4=More ~an $50,0~0~000 S=Assessment

W=Estimated

T=Ca~h./Market

FINANCIAL DISCLOSURE REPORT

~I. Page 4 INVESTMENTS and TRUSTS -- income, value, transactions O~ctuaes those of
spo~e and dependent chil~en. See pp. 34-60 of lmtructiom.) " tmelU~ng~ ~): .~ +~;~,,~ ..... "... .~-:. +C: : ~me~,t~" -.J:, ~sS~.~ +d~g: ~ . ;~] . . :m end 6f . ...... ] ~ ., ~ " [ . Tr~ae~o~. d~ing~oaing ~i~

P~ce ~afler b~b~i . ~ ~ NONE ~ ~o ~epoa~Ic income, ~sc~, or tr~sactions)

]?,~i~:~2:~-~;~ V~ue :~. Me~I "buy, sell, (A-~ [:: ~t.) ~ 0~P) (~ ) redemption)

~te: ~. VNue ! ~ "" , Iden~ty(5) of ~y (J-P) I(A-H) (ifpfivaten~action)

53

--Energy "lr~sfer ~s LP -- F*deli~ Blue Chip Growlh - Fidelity Di*Sde*+d G*owO*

A A A

Diudend

~
54 156

+
Di~dend Dividend None None K buy 1~18

[ ................

scll

12/I 8

+- Fisenlnc. Co--on

57 -- D~e ~ne~.

.....
:59 -- How~d Cb, MD Bond

I-~

None None None K ,

.
-- 19tuit Inc. ~61 - M1) l)ep~ HSG&Co~ Dev Bond ~ ~

- ~ .......

----~ ...... ~ .....

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

2 i ~- 3 I

lncome/G~fir~ Codes: A-.--$1;~)00 or less -B--~I 001-$2 500. (SeeCoI. BI. D4) F---$5,0~.0~,i-$100~000 G=$1~71~,001~1,000,000 Value Codes: . . J-~J;15~000 o~ le~s K--+$15,001,$50 000 (See CoL Cl, D3) " N---$250,001,$500,000 O=$500 001-$1000 000 P3=$25,000 001-$50,000.000 .. . Value Method Codes: Q=~AppraJsal R=Cost . estate only) (real (See Col. C2) U=B-obk Va/ue V=Othei

C=$2,501-$5 000 D=$5,001-$15,009 Hi--$1,000,~1-$5,000,000 H2~More than $5,000,000 E=$15,001"$50,0OO L--$50,001- $100 000 M=$100,001-$250 000 P1=$1;000,001,$~ 000 000 P2=$S.000,00t,$2+,OO0,000 P4+More man $50[000~000. S=Assessment T=Cmh]Market W=Estimated

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

/ ....... ~R~- .......

Jo~ D. Bates

~ April 23, 2010

VII. Page 5 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spo~e and dependent children. See pp. 34-60 of l~uctio~.)

(A-~ / ~ :~L) I (J~p). :.:(Q-~

~demption)

(ifpfiv~ ~acfion)

NONE ~o re~rlable ~se~. o~ U~sactions) 64. -- PG Cty. MD Bond 165. --Powersh~es Ex-Traded Fund D~ic Biotech ............... & Genome 66. -- Schwab Chs. Co~. A " : A A A : A A Interest None Dividend L J J T i T T T: T T ~ " + .... /
~ .........

67. --~ime W~er .... 68. -- Unum Group 69. -- United Health Common 70. --Univ. System MD Bond

Dividend~ K ~~Dividend~ J

Dividend~~K ~ lmerest K~ K

73. -- Bristol Myers Squibb 74. -- Vodaphone Group PLC 75. -- AOL, Inc.

" None

1 None

T~ J T[

buy buy

[ 12/18

J __

12/18~ J

None

spinoff 12/10~ J

BaneyI MorganStanleySmithU-r--+ [~+ 76. -- AT&T Inc. Common 7. -- Cameron lntl Common None K J T T

"

+ .....

3 VMu Me~ C~: ~App~.. (S~ Col. ~) U=~y~3.

R~ost (te~ ~mte o~y) S=~sm~t V~ W=~fima~

T~a

FINANCIAL DISCLOSURE REPORT

John D. Bates

April 23, 2010

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

"~.:,~J.~ i,". : :.~~:~:.i .i ~.~.:)r "

Transactio~ "dining reporting period

5,-~: ~ .: e.g., -~ ?.~.~;~: "~: ...... NONE ~o ~cpo~ble m~me,

i::; .;! :::r~".~i -: .,,: ; i.."~;.i.:~!:~ ::,::.~ .:

~te:. ,V~ue::.,

[.(~-~) ["" ~f.)" " :(J~P) (~.7 ~d~gion) I D~y[

(J~"l (m-~0 (ifphvate~sa~ion)

78. -- Cente~omt Energy Common 79. -- Colgate Pa~olive Common 80. -- Conagra F~oods Common ~ 81. -- Dreyfus Money M~ket 82. -- Forest Oil Co~. Co~on 83. -- Gaylord Ent. Co. Common 84. -- HCC Ins. Hldgs. Common 85. -- Ha~ Celestial Group Common 86. -- 1Shares ~R-DJ Tranps. ~dex Fun

A A A A

Dividend ~Dividend Dividend Dividend None None

J K J K

T ~ ..... T T T ~ sell 9/25 J~A ~ buy/sell vat.i J

Dividend .. None

J J J J J

T T T T ~ T T J]T -~

~ividend Dividend~

87. -- IShares TR Global Ind Index F~d ~ A 88.-- ISh~es ~ow Jones US lleahh Care ....... Providers Index Fund 89. -- l~M Common 90. -- 1C Pemey Con~on 91.-- Medtroaic Common 92. -- Pacfiv Corp. Common ~3.-- Powershares D~ic Semiconductors -- Powershares D~aamic Media [ ]Oonfolioy A A

Dividend

A Dividend A Dividend~ None K J J J

T T T T: C~2,50~-$5,0~ . ~ ......

~94.
I

A Dividend B=$~,00~-$2,500

M~1~,~1-$250 ~ (S~ CoI.Cl, D3) N=~50,~1~$5~0 .~5~001-$10~0~ PI~I~0,~I,$~ 0~ ~ ~=$5,0~,~1-$2~,~,~0 P3=$25,~0,~1 ~0~,0~ " ~ P~M~e ~ $50,~,~ 3 V~ue Me~ C~e~: ~Appr~ R~t (re~ ~e o~y) ~s~meut T~M~et (See Col. C2) U=B~ v~ue V~ W=~fim~d

(S~ Col. BI, ~) 2 Value C~:

tn~m~G~ C~: A=$1,~ -o~ I~

F=$50,001 $1~,~ J=$15,~ or I~

~100,~1-$1,~,~0. K~I5 ~1-$50 0~

tt1~1,0~,~1-$5,~0 ~ ~50 ~i- $100 0~

~5,001-$15 000 t~=Mon ~$5,~0,~0

E~5,00~$~0,~ ....
-

FINANCIAL DISCLOSURE REPORT

! Name of Person Reporting

Date of Reporl

John D. Bates

April 23, 2010

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

(~-~ . "i~t) "_ (Jrt~ 3Q-~__ ~demption) Day

~se~, ot ~saclions)

Dividend None

J J J J

T T

I~d

97.--SPDR lndex SHS FDS DJ Wilshke A Dividend Intl Real Es~te z A Dividend )8.--SPDR TR S&P Retail ETF !TF 100.-SPD~ SER T~ KBW BK ETF I 01 .--SPDR SgR TR KBW ~S E~ 102.--United Tech Co~on 103.--V~guard Cons~er Staples ETF 104.--Vangu~d Health Care ETF 105.--Vanguard Info Tech ETF ~1 06.--~~ard 107_-~W~sc~nsin En~gy tt~g

~ _

T~ T

] ~D~ "" J A ]Dw~dend A Dividend~ J A ~Dividend A ~ A A A - A Dividend ~ividend ~ividend Dividend ~ividend K J J J ~ J

~ T T ~.~ T T T T T T T

[I 08.--TIAA C~F Ret. Acct. - C

None

buy

var.

Vflu~ M~ C~ ~A~

(S~ Col. ~)

P3=~5,~,~1-$50,~,000 R~o~ (~ ~ only)

U=~k v~ue

V~er

P4=Mo~ ~ $50,~0,~ S=~s~sm~t

W=Est~ed

T~ket

Name of Person Reporting

Date of Report

DISCLOSURE REPORT

John D. Bates

_ April 23, 2010

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

IX. CERTIFICATION.
1 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 gilts 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.

Signature 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. 10~1.)

FILING INSTRUCTIONS: Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts suite2-30! One_Columbus Circle, N.E. Washington, D.C. 20544