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1 AOJO Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 Report Required by the Ethics in Governmenl Act of 1978 (5 US.C. app.. H JOI-I I I) L Person Reporting (last name, first, middle initial) 2. Court or Organization FOURTH CIRCUIT 08/09/20I 3 Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) CI RCUIT JUDGE AC TIVE D D Initial [{l Annual D Final to Nomination Date Ol/Ol/20I2 Sb. Amended Report D 12/31/20I2 7. Chambers or Oflice Address 227 West Trade St. Suite I610 Charlotte, NC IMPORTANT NOTES: The i11structio11s accompa11yi11g this form must be followed. Complete al/parts, checking the NONE box for each part where you have 110 reportable i11formation. I. POSITIONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Board of Advisors Marine Corps Coordinating Council of Greater Charlotte 2. Part-Time Instructor University of North Carolina, Charlotte Board of Advisors ASPIR A NC Member Contracts Law Drafting Committee, National Conference of Bar Examiners 5. Board of Advisors Wake Forest School of Law Journal of Law & Policy 6. Board of Advisors George Mason University School of Law Judicial Education Program II. AGREEMENTS. (Reporting individ11ol only; see pp of filing instruclions.) D NONE (No reportable agreements.) PARTIES AND TERMS I Judicial Retirement Plan; receiving annual pension from the state of North Carolina for prior service as a state trial judge Medical Insurance Coverage; receiving health care coverage from the state of North Carolina for prior service as a state trial judge.

2 '.. FINANCIAL DISCLOSURE REPORT Page 2 of7 III. N 0 N-JNVESTMENT IN CO ME. (Reporting individ11al and spo11se; see pp 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 University of North Carolina Charlotte, teaching $7, Multistate Bar Exam Contracts Drafting Committee, National Conference of Bar Examiners, stipend $7, North Carolina Judicial Retirement $20, B. Spouse's Non-Investment Income - I/you were married d11ring any portion of the reporting year, complete this section. (Doll or amounl not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE Carolinas HealthCare System, salary 2. IV. REIMBURSEMENTS - transportation, lodging,food, entertainment. (Includes those to spouse and dependent children; see pp of filing instruc1ions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. University of North Carolina 2/24/2012 to Chapel Hill, NC Preside over Moot Court School of Law 2/25/2012 competition 2. National Conference of Bar 3/29/2012 to 4/1/2012 New York, NY Attend contracts law Examiners committee meeting Duke University School of 4/5/2012 to 4/6/2012 Durham, NC Preside over Moot Court Law competition Boston University- 5/18/2012 to Boston, MA Give commencement Metropolitan College 5/19/2012 address Meals, Hotel 5. National Conference of Bar to Santa Monica, CA Attend contracts law Examiners 9/15/2012 committee meeting

3 Page 3 of7 6. North Carolina Bar 10/4/2012 Association Cary, NC CLE Speaker Transportation 7. George Mason University 1017/2012 to School of Law and American 10/10/2012 Bar Association Washington, DC Attend Educational Program 8. George Mason Univesity 11/30/2012 to Coral Gables, FL Attend Board of Advisors School of Law 12/2/2012 Meeting

4 Page 4 of7 V. GIFTS. (lnc/udes those lo spouse and dependent children; see pp of filing ins/ructions.) [{] NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. North Carolina College Foundation, Inc. Plus Education Loans 2. North Carolina College Foundation, Inc. Stafford Education Loans 5.

5 Page 5 of7 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. D. Description of Assets Income during Gross value at end Transactions during reporting period (including tmst assets) reporting period ofreporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amounr Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I (A-H) div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) I. Vanguard Primecap Fund Admiral IRA B Dividend L T 2. Vanguard 500 Index Fund Admiral IRA B Dividend L T T. Rowe Price Mid Cap Growth Fund IRA A Dividend J T T. Rowe Price Short Term Bond Fund IRA A Dividend J T 5. T. Rowe Price Prime Reserve Fund None J T 6. Cox & Dodge International Stock Fund B Dividend L T 401K 7. Neuberger Genesis Advisor Fund 40 l K A Dividend Sold 5/31/12 K 8. Vanguard Total Stock Market Index Signal A Dividend L T Buy 5/31112 K 9. Carolinas Healthcare System Retirement c lnt./div. K w Plan IO. T. Rowe Price Capital Appreciation Fund B Dividend K T IRA 11. USAA Insurance Co. Subscriber's Account None J T 12. Navy Federal Credit Union Accounts A Interest K T I. Income Gain Codes: A =$ t.000 or less B =$ $2.500 c =$ $5.000 D=$5.00I -$ E =$ $ (Sec Columns BI and D4) F =$50,00 I - $I G =$I I - $ Ill =$ $ H2 =More 1han $ Value Codes J =$ or less K =$ $ L =$ $ M =$ $ (Sec Columns Cl and D3) N =$ $ =$ I - $ Pl =$ $ P2 =$ $25, P3 =$ $ P4 =More 1han $ Value Mc1hod Codes Q =Appraisnl R =Cosl (Real Estalc Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Othcr W :=Estimated

6 ' FINANCIAL DISCLOSURE REPORT Page 6 of7 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parlofreporl.) Part VII

7 Page 7of7 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/ ALBERT DIAZ 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

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