D NONE (No reportable positions.)

Transcription

1 Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2011 (5 U.S.C. app. JOI-I I I) I. Person Reporting (last name, first, middle initial) Court or Organization Duffy, Patrick M. U.S. District Court Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Court Judge Sa. Report Type (check appropriate type) D Nomination Imti al [{ D Sb. D Amended Report D Date Annual Final 6. Reporting Period 01/01/2011 to 12/31/ Chambers or Office Address P.O. Box 835 Charleston, SC IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature on last page. I. POSIT} ONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Director Doonbeg Foundation 5. II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2of9 Duffy, Patrick M. Ill. N 0 N-INVES TMENT IN CO ME. (Reporting individual and spouse; see pp. I 7-24 of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Charleston School of Law $24,780 B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE I. IV. REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those to spou;e and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED 1. Carolina Association for Justice August 4-6, 2011 Hilton Head Island, SC Professional Association Convetion Convetion Registration and Hotel Room 5.

3 Page 3 of9 Duffy, Patrick M /2012 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. Bank of America Credit Line 5.

4 Page 4 of9 Duffy, Patrick M VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp of fillng ins1r11ctions.j D NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) Code3 redemption) (J-P) (A-H) (if private (J-P) (Q-W) transaction) D. ' I. Edward Jones Money Market Fund A Interest J T Edward Jones Money Market Fund A Interest J T Edward Jones Money Market Fund A Interest J T Investment co of America CL C -American A Dividend J T Bond Fund of America 5. Duke Energy Co A Dividend J T 6. XL Capital LTD Senior Note None Sold 08/22/1I J A 7. Pepsico Inc A Dividend J T 8. Microsoft Corp A Dividend J T 9. Proctor & Gamble Co A Dividend J T JO. I-26/78 Associate LLC 12/30/88 $60,000 None L R 11. First Trust Build America Bonds A Interest J T 1 Van Kampen Build America Bonds A Interest J T 1 First Federal of Charleston A Interest J T 1 Bank of America A Interest J T 15. Johnson & Johnson A Dividend J T 16. United Technologies Corp A Dividend J T 17. SCA GO Educational F ACS Pickens Sch A Interest J T Dist SC Install Rev 1 Income Gam Codes A =$1.000 or less B 41,001 -$2,500 c=$501 - $5,000 D=$5,001 -$15,000 E 415,001 -$50,000 (See Columns Bl and D4) F=$50.00! $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5, Value Codes J or less K =$15,001 -$50,000 L=$50,001 - $100,000 M =$ $ (See Columns Cl and D3) N=$ l - $500,000 0 =$500,00 l -$ l,000,000 Pl =$1.000,001 -$5,000,000 P2 =$5.000,001 - $25,000,000 P3 =$ I - $50, P4 =More than $50,000,000 3 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U=Book Value V=Othcr W=Estimated

5 Page 5 of9 Duffy, Patrick M. VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc1udes those of spouse and dependent children; see PP offiting instr11ctions.; D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reportmg period (including trust assets) reporting period of reporting period Place "(X)" after each asset exempt from prior disclosure (!) (2 ) (!) (2) {l) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 18. Brandywine Blue Fund None J T 19. Columbia Mid Cap Value Fd Cl Z A Dividend J T 20. Credir Suisse Commodity Return Strategy A Dividend J T Buy 09/12/11 J Fund 21. Dodge & Cox income Fund A Dividend J T 2 Dodge & Cox Intl Stock Fund A Dividend J T 2 DWS Small Cap Value Fund Inst! A Dividend J T 2 Fidelity New Insights Fd Inst! A Dividend J T 25. Hartford Dividend & Growth I A Dividend J T 26. JPMorgan Core Bond Fund Select A Dividend J T 27. JPM Fed Money Market Inst! CI A Dividend J T 28. JPMorgan High Yield Fd Select A Dividend J T 29. Loomis Sayles Investment Grade Bond Fune A Dividend J T Buy 09/09/11 J CLY 30. Lord Abbett Total Return Fd F A Dividend J T 31. Oppnhmr Cmd Strat Ttl Rtn CI Y A Dividend J T 3 Oppenheimer Intl Bond Fund Y A Dividend J T 3 Pimco Funds Total Return Fund IVlnst CL A Dividend J T Buy 09/12/11 J 3 Pioneer Fund CI Y A Dividend J T I Income Gam Codes: A =$1.000 or less B =$1,00 I -$500 c=$2,501 -$5,000 D=$5.001-$ E =$15,001 -$ (See Columns Bl and D4) F=$50.00l -$100,000 G =$100,00 I -$1, HI =$1,000,001 -$5,000,000 H2 =More than $ Value Codes J=$ or less K=$15,001 -$50,000 L =$50.00 I -$I M =$I I -$ (See Columns CI and D3) N =$ $500,000 0 =$500,00 I -$1, Pl =$ $5,000,000 P2 =$5,000,001 -$25, P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U=Book Value V=Other W=Esttmated

6 Page 6 of9 Duffy, Patrick M. VII. INVESTMENTS and TRUSTS -- income, va111e, transactions r1nc111des those of spouse and dependent children; see pp of filing instructions.; D NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting penod ofreporting period (I) (2) (I) (2) (I) (2) (3) (4) Place "(X" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) {if private (Q-W) D. (5) transaction) 35. Thornburg Invt Tr Value Fd I A Dividend J T 36. Virtus Frgn Oppts Fd CII A Dividend J T 37. Virtus Real Estate Secs Cl I A Dividend J T 38. New World Fund CL Fl A Dividend J T 39. T Rowe Price Equity Income Fund A Dividend J T 40. Brandywine Blue Fund None J T 41. Columbia Mid Cap Value Fund CL Z A Dividend J T 4 Credit Suisse Commodity Return Strategy A Dividend J T Buy 09/12/11 J Fund 4 Dodge Cox Income Fund A Dividend J T 4 Dodge Cox International Stock Fund A Dividend J T 45. DWS Small Cap Value Fundlnstitutional CL A Dividend J T 46. Fidelity Advisor New Insights Fund Inst CL A Dividend J T 47. ING Global Real Estate Fund CL I A Dividend J T 48. Investment Co of America CL F-American A Dividend J T Bond Fund of America 49. JP Morgan Core Bond Fund Select CL A Dividend J T 50. JP Morgan Federal Money Market Fund A Dividend J T Institutional CL 51. JP Morgan High Yield Fund Select CL A Dividend J T 1. Income Gam Codes A =$1.000 or less B =$1,001 -$2,500 c=$501 -$5,000 0=$5.001-$15,000 E=$15,00I -$50,000 (See Columns Bl and 04) f=$50,001 -$100,000 G=$100,001 -$1, Ill =$1.000,001 -$ H2 =More than $5,000,000 Value Codes J=$15,000 or less K=$15,00I -$50,000 L=$50.00I -$ M =$100,001 -$ (See Columus Cl and 03) N=$ I -$ =$500,001 -$1, Pl =$1.000,001 -$5.000,000 1'2 =$5.000,001 -$25,000,000 P3 =$ $50.000,000 P4=More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market (See Column C2) U=Book Value V=Othcr W=Estimated

7 Page 7 of9 Duffy, Patrick M. VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children: see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (includmg trust assets) reporting penod of reporting period (!) (I) (2) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code 1 buyer/seller (A-H) or mt.) (J-P) Code3 redemption) (A-H) (if private (2) (Q-W) (I) (J-P) (4) transaction) 5 Loomis Sayles Investment Grade Bond Fund A Dividend J T Buy 09/12/11 J CLY 5 MFS Research International Fund CL I A Dividend J T 5 New World Fund CL Fl A Dividend J T 55. Oppenheimer Commodity Strategy Total A Dividend J T Return Fund CLY 56. Oppenheimer International Bond Fund CL Y A Dividend J T 57. Pimco Funds Total Return Fund A Dividend J T Buy J 58. Pioneer Fund CL Y A Dividend J T 59. T Rowe Price Equity Income Fund A Dividend J T 60. T Rowe Price New Income Fund A Dividend J T 61. Thornburg Value Fund CL I A Dividend J T I. Income Gam Codes A =$1.000 or less B =$1,001 - $500 c =$501 -$5,000 0=$5.001-$15,000 E =$15,001 -$50,000 (See Columns BI and 04) F =$ $100,000 G =$100,001 -$1, HI =$1,000,001 -$5,000,000 H2 =More than $ Value Codes J =$ or less K =$15,001 -$ L =$50,001 -$ M =$ $ (See Columns Cl and 03) N =$ $ =$ I -$1, Pl =$ $5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V =Other W=Est1matcd

8 Page 8 of9 Duffy, Patrick M. VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate partofreport.) I. Line 4, General Electric was erroneously listed on 2009 report. It was sold 11/21/2008, value "J", income "A". Line 37, JP Morgan Core Bond Fund Select should have been listed on 2009 report as partial sale. Line 38, JP Morgan Money Market Institutional CL should have been listed on 2009 report as partial sale. Line 39, JP Morgan High Yield Fund Select should have been listed on 2009 report as partial sale. 5. Line 40, Lord Abbett Total Return Fund F should have been listed on 2009 report as partial sale. 6. Line 41, Oppenheimer Cmd Strat Ttl Return CLY should have been listed on 2009 report as partial sale. 7. Line 48, Oppenheimer Intl Bond Fund Y should have been listed on 2009 report as partial sale. 8. Line 45, Virtus Frgn Oppts Fund CL I should have been listed as partial sale. 9. Line 15, I-26/78 Associates, LLC was purchased on 12/30/1988 for the sum of$60,000. IO. On the 2009 report: Line 19, Mass Mutual Annuity Line 22, Asset Allocation Fund Inv. Line 23, Morgan Growth Fund Inv. Line 24, AIM Leisure Fund Inv Class Line 25, Aim Tech Fund Investor Class These assets were listed on the 2009 Financial Disclosure Report however were liquidated sometime in 2008 (per broker actual date not known). The assets were shown on the previous reports until it could be determined that they owned.

9 .., FINANCIAL DISCLOSURE REPORT Page 9 of9 Duffy, Patrick M. 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. Signature: s/ Patrick M. Duffy NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY 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 One Columbus Circle, N.E. Washington, D.C