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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S. DISTRICT COURT, DISTRICT OF MAINE 5:~. Rep rt" "ype (cheek app~c, pria~e type) [] Nomination, [] Initial Date ~ ~ Anl)U~,l [] Final

in Government Act t~1978

!. Person l~eporthag (last name, first, middle iuidal) CARTER, GENE 4. Title Article III judges indicate active or seaior stalus; tr, agist~ate judges indicate ftfll- o~ part-time) SENIOR DISrRICTJUDGE

3. Date of Report 06/01/2010 6. Reporting Period 01/01!2009 12,31/2009

5b. [] Amended Report 7. Chambers or Office Address 156 FEDERAL STILEET PORqLAND. MAINE 0A]01 8. On the basis of the Information contained in this Report and an)" mndificatiuns pertatining thereto, it is, In my opinion, in ompliance ~ith applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking theNONE box for each part where you have no reportable it~ormation. Sign on last page.

I. POSITIONS. (Reporting individual only; see pt,. 9-13 of f!ling instruction~.)

[~] NONE (No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTiTY

II. AG REEMEN TS. ~,po~i~. i~aivla,~t o,~.v: ,~e pp. 14-16 af f!ling instructions.)
~ NONE (No reportable areements.) DATE PARTIES AND TERMS

Carter, Gene

FINANCIAL DISCLOSURE REPORT

Name of Persian Reporting

Date of I~.cport

Page 2 of 10

CARTER, GENE

06/01/2010

III. NON-INVESTMENT INCOME. ,,,t,o,,i.g ~,,ui,,iu~o~ a.u.~.o..,,: ~ ,p. ~-~ o~,~i.~

A. Fliers Non-lnvest~nent Income
NONE (No reportable non-investment income.)

DATE
I.

SOUR(~E AND TYPE

(ytmrs, not spouses)

2.
3. 4,

B. Spouses Non-Investment Income - ~,,. were married during anJlaortion of the reportbtg year, complete this section.
(Dollar amotott not required #.~c~l f!)r honoraria.)

NONE (No reportable no~-investment income.) DATE

I. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS --,~..~.o..,io. t,,agi.~, t,,,,a e.,.~,.~ ..... ,.

(Incll, dcs those to ~pouse and dep~n, le~tl chil, h-en. sec pp. 25-27 of filing in~tructlons.)

NONE (No reportable reimbursements.) SOURCE

I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page 3 of 10

I
DESCRIPTION VAIAIE

V. GIFTS. a,,ct~d~ o o~ to w ....... a a~e~a~nt children; see p~ 28-31 of f!ling in.~tructio,t~) NONE (No reportable ~
1. 2. 3. 4. 5.

VI. LIABILITIES. a~,,t~a~,~h,,.,, o~r w ....... a a~a,,~ children; seepp. 32-33 of filing instructians.I [] NONE (~ro reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 1 0

Name0fP ..... Reporting CARTER, GENE

Date of Report

06/01/2010
d dependent children; see pp. 34-60 t,f filing instructions.)

VII. INVESTMENTS and TRUSTS -- ~, ........

[~ - ...... A. Descriplion of Assets (including trust assets) Place "IX)" after each asset pl from prior discl ..... B. Income during reporting period Amount Code 1 IA-H)

lions ~ue, t ....... (Includes those of sp ......

NONE (No reportable income, assets, or transactions.) C. Gross value at end of reporting period Value Code 2 (J-P) ValueI Method[ C,xle3 [ " ........ D. Transactions during reporting perlt)d

, I ....

Type (e.g., di ...... t, orint)

Type (e.g.. buy, sell, rcdcmplionl

Dale I Value [mm!ddgyy ! (_:ode 2 | (J-P) I

Gain Code I ! (A-1t) /

Idendty of buyer/seller (if private

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

Maine Health & Higher Education U.S. Govl Treas. Notes maturing 2/15/07-11/15/07 U.$. Govt Treas. Notes maturing 11/15/07-11/15/11 Royce Microcap Realty Trust Berkshire Hathaway CLB Berkshire ttathaway CLB U.S. Govt Treas. Nine maturing I 1/I 5/22 Davis NY Venture Fund Class A Strategic Global Income Fund RoyceValue Trust NewruontMining Co. Newruont Mining Co. Duke Realty lnc. Kinder Morgan Euergy Firsl Eagle Gold Fund Harlford Capital Appreciation Fund Oak Ma~k Fund Class A

A B A A A A A A A B A A C C E E E

Interest Interest Interest Interest Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K M K J J K K J J K K K J J K K K

T T T T T T T T T T T T T T T T T Buy 3/05/09 J

1. Income Gain (.odes: (See Colu:nns 131 and D4) 2 Value Codes {See Columns Cl a~d D3) 3. Value b, lethod Codes (See Column C2)

A ~$1.000 or less 1- =$50,1,~01 - $100,000 J = $15.~10 ol less N =$250.001 - $500,000 P3 =$25.000,001 - $50.000.000 Q =Apprmsal U =Book Value

B =$1,001 - 12,500 G :$100,001 - $1.000,000 K -$15.001 - $~0,000 O =$500,001 - $1.000,000 R =Cost (Real Eslate O~ly} V =Other

C =$2,501 - $5,000 II1 =$1,000.001 - $5,000,000 L --$50,001 - $100,O00 PI =$1,000,001 . $ 5,000,000 P4 =More than $50,000,000 S =Assessment W =Eslimated

D =$5,001 - $15,000 112 =More than $5,000,000 M =$100.001 - $250,000 P2 =$5.000,001 - $25,000,000 T =Cash IMarkl

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 10

CARTER, GENE

[o6/omolO

VIi. INVESTMENTS and TRUSTS --i,,. ......

.,i,~. t ....... i,,n.~ (Inch,des those of sp ......... d dependent children seepp. 34-60 of filing in.~tructio,~s.)

~ NONE (A~ reportable income, assets, or transactions.)

(including trust assets) Place "lX)" after each asse~

reporting period Amount Type (e.g. Code I div., rm~t,

of repoaing period Value r Value Code 2 Mc0~l C~Me 3 (Q-W) J J .I

J

Typeleg.. ] Date [ Value boy, sell, mm,d~U~a,[ C~e 2 (J-P) ] redemption) .[ ..................

Gain C,xle ! IA-III

Idcnti~yof buycffsclter (if private transaction)

18. 19. 20.

21.

Ace Limited Bermuda Becton Dickson Dineen Emergy Corp.

IICA Inc.

B B B
B

Dividend Dividend Dividend

Dividend

T T T
T

22. 23. 24.. 25. 26. 27. 28. 29. 3(/. 31. 32, 33. 34.

Aberdeen Asia Pac, Income Fund Aberdeen Asia Pat, Income Fund Pelroleum Brasileiro Gold Corp. Inc. New U.S. Treas Note matures 7115/13, 7/15/12 U.S. Treas Note matures 1!15/10, 1115/I 1 First Eagle Gold Fund Plum Creek Timber Co. Plutn C~eekTimber Co. TINT Bonds Due 11/15/08-11/15/10 New Zealand Govt. Ex Div l:irsl Toast Value Line I Shares Silver Trust

E E D D E E D D D F A ix. A

Dividend Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Inlerest Dividend Dividend Dividee, d

K K 1 J

T T "1T Sold Sold 5/07/09 5/07/09 I. I, I) D

J J J L J J J

"IT T T T T T

FINANCIAL DISCLOSURE REPORT Page 6 of 10

N~or~, ...... CARTER, GENE

06/I)1/2010

VII. INVESTMENTS an d TRUSTS - i ........ .~.., tr ..... lions (Includes tl .... qsp ........ d dependent children; see IP 34-60 ,filling instructions.)
NONE (No reportable it~come, assets, or transactions.) Description of Assets (including ~st asse~s) Income during reporting ~rit~d

Gross value at end j of ~epo~ing period

Transactitms during ~cponing pcrkxt

[J-P)

Code 3 (Q-Wi -l"

redemption) ]

(J-P) ~ (A-II)

(ifl.ivalc t~ansaction)

35. I Shares Silver Trust

Dividend A A B B A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Divide,d Dividend Dividend

J J J 3 J J J K J J $ J J J K J L

[36.
~ 37 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. aS. 49. 50. 51.

1~ Global N.R. Fund CLA Southern Co~er Corp. Southern Copper Co~. Frontline Limited Ba~ick Gold Co~. I~ Global Nat. Resources Fund Street Tracks Gold Trust ~ights ~ridgeT~nkers Telecom Co~. New Zealand Ene~lus Resources Fund Enc~lus Resources Fuud EPA Czpital Fund Inc. EPA Capilal Fund Inc. l_oomis Saylcs Stral. Income Fund Loomis Sayles Strat.lncome Fund Exxon Mobil Corp.

T T T T

Buy

3/05/09

T T T T T T T T

~uy

3/05/09

A A A A A A

T T

FINANCIAL DISCLOSURE REPORT

Page 7 of 10 VII. INVESTMEN TS an d TRUSTS - i ..........

! Name of Pe .... Reporting

Dale of Report

CARTER, GI:NE

0601;2010

~,,~, tran~actlons (Ireluaus those gW ....... a dependent children; see pp. 34-60 qf!ling in3trltcllons.)
~. C,
Gross value at end of re~qting ~riod (I) ~ (2) Valoe i Value Code 2 Mcth~ OP~ ] Code3 (I) TS? {eg., buy, sell, redemption)

N ONE (No reportable income, assets, or transactions.

..............

A. ....

" .......b~ ..........

T~ansactions during rcpt~rting pcri~ (2) (3) l)a~e Value mm/d&~ Code 2 0-P) {4) , Gain I (k~e ] (A-II) [ (~) ]dcmity of buy~w!seller (ifp, ivate

Description of Assets (including trust ~sets) Place "(X)" after each asscl cxcmp~ from prior disclosure

Income during [ l, reporting peri~ (2) , (11 Amount 7~(e.g., C~e l div., rent, orint.) [ (A-H)

~ 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66, 67. 68.

Gabclli Equily Trust Maine Municipal Assoc. 1.oomis Sayles ,Strategic Income FD Millea Holdings Inc. Tele None Leste Particicopacoes SA Teppan Priming Ltd Royce Microcap DavisNew York Vexiture Fund Ivy Cundill Global Value Fund koomis Sayles Sitar, Income Fund First Eaglc 1",? Global Nat. Rcsuurces Fund J. Sainsbury PLC Fair~hx Fml IIGG Ltd Eagle Bolk Shipping Ycllow Pages Income Fund Provident Energy ]rust

A B A A A A A A A A A A A A A A A

Dividend Interest Dividend Di;idend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend M L J l .1 J J J J J J J J J J J ] T T T T T T T T T T T T T T T

Sold

5:07/09

Sold (part,}

6/01/09

Buy

5/07/09

Name FINANCIAL DISCLOSURE REPORT I CAR]ER,of Person Repor~i,g GENE

I DateofReport

Page 8 of 10

VII. INVESTMENTS and TRUSTS - i, ....... ,o~u,, tra ..... tions a,ctt, aes those of ~v ........ a dependent children; ,et PP. 34-60 o[]illng in~tru,tSons.)
NONE (Aro reportable income, assets, or transactions.) Description t~f Assets (including It~st assels) ~ h~come during ~ re~rting ~riod ~ Gross value at end ~ of reporting ~riod D. Trar~sactions during reporting period .....

;(A-t0 / or int.)

: (J-P)

Ct~le3

] rcdemptio,0 I (J-P

!,X- }

borer/seller <if private

69. 70. 71. [ 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82.

Penn West Encr~ Tn~st Kinder Morgan Energy Ene~lus Resources Fund N0vecn Muni Valoe Fund U.S+ TSY INFL Prot Vermillion Energy TR Proctor & Gable Plizer Co. Johnson & Johnson Co. Ge~. Electric Co. Coca Cola Co. Ctm. Edison Co. (Hldg. Co.) Duke Energy H dg. Co. Vcrizon Comm. Inc.

A A A C E II B B B B B B B B

Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J ~ K M J J J J J J J J J

T T T T T T T T T T T T T T Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy 5]07/09 3/05]09 3/05/09 3]05.:09 3/05]09 3/05/09 3/05]09 3/05]09 3/05/09 5/07;09 J J J J M J

FINANCIAL DISCLOSURE REPORT Page 9 of 1 0

N ....

fPersonReporting

DateofReport

CARTER, GENE

06/01/2010 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~aic~,epa, oIR~vo,)

Effective June 30, 2009 my broker changed his affiliation from L1BS Financial Services, Inc. to Morgan Stanly, Smilh Barney. and my porlfolio with UBS was cotirely transferred to new accounts within Morgan 5tanly, Srnilh Barney ,~here it is today. That transl~r bad no effect on the value of any of the ilems in my portfolio.

FINANCIAL DISCLOSURE REPORT Page 10 of I 0 IX. CERTIFICATION.

N ....

fPerson Reporling

Dale of Report

o6,o ~ :2 o ~ o ] CAnrER. C,~:NE

I certify that nil information given above (including information pertaiuing to my spouse and minor or dependent cldldrcn, if any) is accurate, true, and complete to the best of my knowledge and belief, and thal any informatiou uol reported was withheld because it reel applicable sta|u|ory provisions permitting non-dlsclosure. " I further certify that earned income frnm outside employment and honoraria and the acceptance of gifts which have hcen 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.

Sit

NOTE: ANY INDIVIDUAL WHO KNO\VINGLY AND WII.FULIA" FALSIFIES OR FAILS TO FILE TillS REPORT MA~" lie SUBJECT TO CIVIL AND CRIMINAL SANCTIONS !5 U.S.C. app. 1114)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disc!osure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544