UNITED STATES DISTRICT COURT DISTRICT OF MARYLAND. August 7, 2009

Transcription

1 UNTED STATES DSTRCT COURT DSTRCT OF MARYLAND CHAMBERS OF ANDRE M. DAVS UNTED STATES DSTRCT UDGE U.S. COURT HOUSE 101 W. LOMBARD STREET BALTMORE, MARYLAND (410) August 7, 2009 The Honorable Bobby R. Baldock Char udcal Conference of the Unted States Commttee on Fnancal Dsclosure One Columbus Crcle, N _E. Washngton, D.C G,..., = (/ = C.._,., r. :::, o::.. = m (f :: : - l' :? o., G".. () m r )> <.,, m () n 0.. Dear udge Baldock Thank you for your letter dated uly 14, 2009, dentfyng certan entres n my 2009 Fnancal Dsclosure Report whch call for my attenton. As set forth below, ths letter amends my report as needed_ Part V, page 16, lne 214 s amended to delete the word "part" n column D(l); and Part V, page 14, lne 180, s amended by the ncluson of the word sold n column D(l); Part V, page 18, lne 250, s amended to nclude the followng note n column A: "Ths s an ncome benefcary asset." Unted States Dstrct udge Davs, Andre M

2 AOO Rev FNANCAL DSCLOSURE REPORT FOR CALENDAR YEAR 2008 Report Requred by the Ethcs n Government Act of 1978 (5 USC. app ) 1. Person Reportng (last name, fst, mddle ntal) 2. Court or Organzaton 3. Dale of Report Davs, Andre M. Dstrct Court of Maryland 06/15/ Ttle (Artcle judges ndcate actve or senor status; Sa. Report Type (check approprate tye) 6. Reportng Perod magstrate judges ndcate full- or part-tme) D Nomnaton, Date 01/01/2008 Dstrct udge D ntal 0 Annual D Fnal Sb. 0 Amended Report 7. Chambers or Offce Address 8. On the bass of the nformaton contaned n ths Report and any U S Courthouse O l W. Lmnbd lfss flaltlmore, MD modfcatons pertanng thereto, t s, n my opnon, n complance wltls lk>l..w. <nd reg..on._ R. K Offk-«&. to 12/31/2008 M PORT ANT NOTES: The nstructons accompanyng ths form must be followed. Complete all parts, checkng the NONE box for each part where you have no reportable nformaton. Sgn on last page.. POST 0 NS, (Reportng ndvdual only; see pp of flng nstructons.) D NONE (No reportable postons.) POSTON NAME OF ORGANZATON/ENTTY 1. Member Unversty of MD School of Law Board of Vstors 2. Member Unversty of MD School of Law Dean Search Commttee 3. nstructor Unversty of MD School of Law 4. nstructor Natonal udcal College 5. Lecturer Pass the Marland Bar, re. 6. Drector Open Socety nsttute-baltmore 7. Member of the Board Baltmore Urban Debate League, nc. 8. Member of the Board Communty Law n Acton, nc.. AGREEMENTS. (Reportng ndvdual only; see pp of flng nsrructons.)!2 NONE (No reportable agreements.) C,... = = ;o m 0 fl -& r; r., c:: a=:: c:: :z (f : c- F' : -< N ft o>, r- -r C 0 f' C) )> < rn PARTES AND TERMS

3 FNANCAL DSCLOSURE REPORT Page 2 of20 Davs, Andre M. 06/15/2009. N 0 N-NVESTMENT NC 0 ME. (Reportng ndvdual and spouse; see pp of flng nstructons.) A. Fler's Non-nvestment ncome D NONE (No reportable non-nvestment ncome.) SOURCE AND TYPE NCOME (yours, not spouse's). 12/24/2008 State of MD $3, P-ss fhc Maryland at, nc. $, B. Spouse's Non-nvestment ncome - /you were marred durng any porton of the reportng year, complete ths secton. (Dollar amount not requred except/or honorora.) D NONE (No reportable non-nvestment ncome) SOURCE AND TYPE L 12/31/2008 Fuson Partnershps, nc /31/2008 Self Employed Educaton Consultant V. REMBURSEMENTS - transportaton, lodgng.food, entertanment. (ncludes those to spouse and dependent chldren; see pp of flng nstructons.) D NONE (No reportable rembursements.) SOURCE DATES LOCATON PUROSE TEMS PAD OR PROVDED. Natonal udcal College Aprl 14-18, 2008 Sedona, AZ CLE Course/NC Transportaton, Logdng, and Food

4 FNANCAL DSCLOSURE REPORT Page 3 of20 Davs, Andre M. Dale of Report 06/15/2009 V, GFTS, (ncludes those to spouse and dependent chldren; see pp of flng nstructons.) [Z NONE (No reportable gfts.) SOUE DESCRPTON VALUE. 2...c =" - = V. LABLTES. (ncludes those of spouse and dependent chldren; see pp of flng m tructons.) D NONE (No reportable labltes.) CREDTOR DESCRPTON VALUE CODE. Soveregn Bank Mortgage on Rental Property/ Eastham, MA

5 FNANCAL DSCLOSURE REPORT Page 4 of20 1lavs, Andre M. 06/15/2009 V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see pp of flng nstructons.) 0 NONE (No reportable ncome, assets, or transactons.) ' ' (Q-W) ' ' transacton)... - r Ctbank Accounts B nterest K T 1 T r A. B. C. D. Desc' pton ofasse lncome durng Gross vaue a end of Transacnons <urmg reponmg penod (ncludng trust assets) reportng perod reportng perod (1) () () (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempt from pror dsclosure Code 1 dv., rent, Code 2 Method buy, sell, Month - Code2 Code 1 buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A-H) ( f prvate (3) 2. Captal One Accounts A l.!ww T 3. Bank of Amerca Accounts B n terest L T 4. Superor Bank ofn.e. A nterest Merged 3/31 (wth lne 2).. 5. Western Asset Money Market A Dstrbuton Closed 8/ Smth Barney Money Market Account A Dstrbuton Closed 3/31 7. Berkshre Hathaway Class B Stock None 413 K D 8... None 5/22 K None 11/6 K O. - - None 12/15 K 11. Chna Moble, Ltd. Common Stock A Dvdend 1/ / / /6 K 15. CountryWde Fn. Common Stock None / K 17. Ebay Common Stock None 2/20 K. ncome Gan Codes: A =S,000 or ess B =Sl,001 S2,500 c=$2,501 $5,000 D =$5,001 - S E =$15,001 - $ (See Columns B and D4) F =S S00,000 G =S00,001 - Sl, H =$1, S5, H2 =More than S5.000, Value Codes =$15,000 or ess K =S5,00 -S L =$ $100,000 M =$100,001 -$250,000 (See Columns C and D) N =$250,001 - $500,000 0 =$500,001 S,000,000 Pl =$1,000,001 -$5, P2 =$5,000,001 $25,000,000 P =$25,000,001 - $50,000,000 P4 =More lhao $50,000, Value Method Codes Q =Apprasal R=Cost (Real Estate Only) S =Assessment T=Cash Market (Se e Column C2) U =Book Value V=Otber W =Estmated

6 FNANCAL DSCLOSURE REPORT Page 5 of20 Davs, Andre M. 06/15/2009 V. NVESTMENTS and TRUSTS - ncome, value, transactons (ncludes those of spouse and dependent chldren; see PP of flng nstructons.) (ncludng trust assets) reportng perod reportng perod Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan exempt from pror dsclosure Code dv., rent, Code 2 Method buy, sell, Month- Code 2 Code (A-H) or nt.) (-P) Code) redempton) Day (-P) (A-H) (Q-W) 1 0 NONE (No reportable ncome, assets, or transactons.) A. B. C. D. Descrpton of Assets ncome durng Gross value at end of Transactons durng reportng perod () 1R Google C:ommon Sloe Noo!( T s y!.'23! {-..:') - l9. - 4/28 "' () () l (3) (4) (5) dentty of buyer/seller (f prvate transacton) l Ruv R/22 T / /20 K /3 B Legg Mason Common Stock A Dvdend K T (add'l) 7/18 B 10/29 K 11/6 27. (add'l) 11/ (add'l) Sell 1/11 K 30. Level 3 Communcatons Common Stock None /22 A 33. Sell 8/22 K 34. MBA Common Stock None 1/7. ncome Gan Codes: A =S,000 or less B =Sl,001 -$2,500 C=S2,501 -$5,000 D =$5,001 -$15,000 E =S5,00 -$50,000 (See Columns B and 04) F =$50,001 -S00,000 G =$100,001 -Sl,000,000 H =s1.ooo,001 -S5.ooo.ooo H2 =More than SS,000, Value Codes =Sl 5,000 or less K =Sl5,00! -S50,000 L =$50,001 -S00,000 M =$100,001 - $250,000 (See Columns C and D) N =$250,00 -$500,000 0 =$500,001 -S,000,000 Pl =S l,000,001 S5,000,000 P2 =$5,000,001 -$25,000,000 P =$25,000,001 -$50,000,000 P4 =More than S50,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estmated

7 FNANCAL DSCLOSURE REPORT Page 6of20 - Davs, Andre M. 06/15/2009 V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see pp offlnc nstructons.) D NONE (No reportable ncome, assets, or transactons.) A. B. C. D. Descrjpton of Assets ncome durng Gross value at end of Transactons durng reportng perod (ncludng trust assets) reportng perod reportng perod () () (Q W) () (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempt from pror dsclosure Code dv., ren Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A-H) (f prvate transacton) 1s Roper ndus Common Stock Noo K!!')/O! l 6 1/-& /4 l 38. Srus Sat. Rado Common Stock None /30 (par) / Sprnt Nextel Common Stock None 1/ / Stfel Fnancal Common Stock None 5122 K /31 K c 48. Sun Mcrosystem Common Stock None 1/ (par) 51. 6/3 A. ncome Gan Codes: A =S 1,000 OT ess B =$1,00 -$2,500 C =S SS,000 D =S5,001 Sl5,000 E =S 5,001 -$50,000 (See Columns Bl and 04) F =$50,001 - $!00,000 G=$100,001-Sl,OOO,OOO H =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less K =$15,001 -SS0,000 L =$50,001 - S00,000 M =S00,001 $250,000 (Sec Columns Cl and 03) N =$ $500,000 0 =$500,001 -Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 -$50.000,000 P4 =More rhan $50,000, Value Method Codes Q =Apprasal R =CoS (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value: V =Other W =Estmated

8 FNANCAL DSCLOSURE REPORT Page 7 of20 Davs, Andre M V. NVESTMENTS and TRUSTS - ncome, value, transactons (ncludes those of spouse and dependent chldren; see PP of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) A. B. c. Descrpton of Assets nco me durng Gross value at end of Tr ansac to ns du rng rep ortng perod (ncludngtrst assets) reportng perod repo r tng perod (1) (1) (1) (3) Pl ace "(X)" after each asset Amou nt Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exem pt fro m pror dsclosure Code 1 dv., rent, Code2 Method buy, sell, Month - Code2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redem pton) Day (-P) (A-H) (f prva te (Q-W) trans.a!o!1) L ; ; D. (4) (5) 52 j Suntech Power Hld_s Common Stock Non!( T :_'f K. 53 Bu 4/L5 54. Ruv 4/ / /3 K / / /22 K A 60. 4/3 K /22 K 62. Whole Foods Common Stock None 8/ Yahoo Common Stock None 1/ /1 D 66. AES Corp. Common Stock None K T 3/ / /8. ncome Gan Codes; A =S,000 or less B =S,001 $2,500 C =S2,501 S5,000 D =S5,00 Sl5,000 E=Sl5,00l -S50,000 (See Columns B and 04) F =S50,00 S00,000 G =S00,001 -Sl,000,000 H =Sl,000,001 $5,000,000 H2 =More than S5,000, Value Codes =S 15,000 or less K =$15,001 $50,000 L =$50,001 S00,000 M =$100,001 $250,000 (See Columns Cl and D) N =$250,00 S500,000 0 =$500,001 Sl,000,000 Pl =$1,000,001 S5,000,000 P2 =$5,000,001 $25,000,000 P =$25,000,001 $50,000,000 P4 =More than $50,000, Value Merhod Codes Q =Apprasal R =Co st (Real Esta te Only) S =A ssessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estma ted

9 FNANCAL DSCLOSURE REPORT Page 8of20 :avs, Andre M V. NVESTMENTS and TRUSTS - D NONE (No reportable ncome, assets, or transactons.) ncome, value, transactons (ncludes those of spouse and dependent chldren; see PP of flng nstructons.) A. B. c. Descrpton of Asseb lncome <lurng (ncludng trust assets) reportng perod reportng perod Gros:: \.ra]ue a end of () () () Place "(X)" after each asset Amount Type ( e.g., Value Value Type(e.g., exempt from pror dsclosure Code dv.. rent. Code2 Method buy, sell, (A-H) or nt.) (-P) Code 3 redempton) (Q-W) D. Trauso.;to;) d 111g 'Cp..1ng perdd (3) (4) (5) Date Value Gan dentty of Month- Code2 Code buyer/seller Day (-P) ( A-H) (f prvate transacton) Apartment nvestment & Management Co Class A Common Stock Bank of Amerca Common Stock -. A Dvdend T None T 12/4 1/! < l 71. \au<l 5129 K (add'l) 12/ K B K 75. Clean Energy Fuels Corp. Common Stock None T 2/21 K 76. 2/ / / /28 c K /22 B 83. General Electrc Common Stock None K T 10/2 K 84. Hewlett Packard Common Stock A Dvdend K T 5121 K 85. 5/22 L ncome Gan Codes: A =Sl,000 or less (See Columns B and 04) F =$50,001 -S Value Codes =$15,000 or less {See Columns Cl an d 03) N =$250,001 $500,000 P =$25,000,001 - S50, Value Method Codes Q =A pprasal (See Column C2) U =Book Value B =S,001 - $2.500 C =S S5.000 G =swo,001. s1.ooo.ooo H =Sl,000,001 - $ K =$15,001- $50,000 L =$50,001 - $100,000 0 =S Sl,000,000 Pl =Sl.000,001 - Sl,000,000 P4 =More than $50, R =Cost (Real Estate Only) V=Other S =Assessm en W =Estma ted 0 =S Sl5.000 E =Sl S50,000 H2 =More than $ M =S00,001- $250,000 P2 =$5,000,001 - S25,000,000 T =Cash Market

10 FNANCAL DSCLOSURE REPORT Page 9 of20 Davs, Andre M. 06/ 5/2009 V. NVESTMENTS and TRUSTS - ncome, value, transactons (ncludes those of spouse and dependent chldren; see pp of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) f A. B. C. D. Descnpton of Assets ncome durng uross value at end of Transacoons durng reportng perod (ncludng trust assets) reportng perod reportng perod () () () (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempt from pror dsclosure Code Q-W) ; 86 - '<old R" l dv., rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A H) (f prvate (4) (5) transacton) 1 87 ohnro 8. fohm,-m Common Sto Nff K T lly!2/!5 K 88. P Morgan Chase Common Stock A Dvdend Buv 5129 K /3 (add') 91. 8/6 K 92. Merck Common Stock None K T 0/2 K 93. Qwest Communcatons Common Stock None T / /4 95. Starbucks Common Stock None T 8/ / l /l 99. Verzon Common Stock None K T /11 K OO. Amazon Common Stock None 2/9 K O. 2/ /28 _nco me Gan Codes: A =S 1,000 or less B =Sl,001 S2,500 C =$2,501 Sl,000 D =Sl,001 Sl5,000 E =$15,001 S50,000 (Sec Columns B' and 04) F =$50,001 -S00,000 G=SOO,OOl Sl,000,000 H =S,000,001 Sl,000,000 H2 =More lhan S5,000, Value Codes =Sl5,000orless K=Sl5,00l S50,000 L =$50,001 S00,000 M =S00,001 $250,000 (See Column s Cl and D3) N =$250,00 S500,000 0=$500,001 Sl, Pl =Sl, $5,000,000 P2 =$5,000,001 $25,000,000 P3 =S25,000,00 $50,000,000 P4 =Mo re tha n $50,000, Value Method Codes Q=A pprasal R =Co s! (Real Estate Only) S =A ssessment T =C ash Marker (See Column C2) U =Book Value V=Other W =Estma ted

11 FNANCAL DSCLOSURE REPORT Davs, Andre M V. NVESTMENTS and TR u STS - ncome, value, transactons (ncludes those of spouse and dependent chldren; see PP of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) () A. B. c. D. Descrpton of Assets ncome durng Gross value at end of Transactons durng reportng perod (ncludng trust assets) reportng perod reportng perod Place "(X)" after each asset ex mpt from pror dsclosure () (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of Code dv., rent, Code2 Method buy, sell, Month - Code2 Code buyer/seller (A-H) or nt) (-P) Code3 redempton) Day (-P) (A-H) (f prvate () 101 Snlr 41?? j( l04 Ameran!ntematool Gt&ll Comm.."! Sw ck fq-w) N& 5!9 K /21 K {' transacton) l 106. Amgen Common Stock None 2120 K / / /7 K c 110. Apple Common Stock None K 1/23 Page 10 of / /11 K B /23 K D 115. Appled Materals nc. Common Stock A Dvdend K 4/ /2 K 118. Aqua Amerca Common Stock None 316 K K A. ncome Gan Codes: A :::$ l,000 or less B=St.001 -S2.SOO C =S2,SOt -SS,000 D =SS,001 -S 5,000 E =Sl5,00 -$50,000 {See Columns B and 04) F =S50,00 - S 00,000 G =St00,001 -Sl,000,000 Ht =S,000,001 -$5,000,000 H2=More than SS,000, Value Codes =$15,000 or less K =$15,001 - $50,000 L =$50,001 -S00,000 M =S00,001 -$250,000 (See Columns Cl and 03) N =$250,00 -$500,000 0 =S500,00 - S 1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -SS0,000,000 P4 =More then SS0,000, Vatue Method Codes Q =Apprasal R =Cost (Real Estate Only} S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Other W =Estmated

12 FNANCAL DSCLOSURE REPORT Page 11 of 20 Davs, Andre M V. NVESTMENTS and TRUSTS - D NONE (No reportable ncome, assets, or transactons.). ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see PP of flng nstructons.; A. B. D. Descrpton o'assets ncome dllng Gross val at nd of Transactons durn reportng perod (ncludng trust assets) reportng perod reportng perod Place "(X)" after each asset exempt from pror dsclosure () Amount Code (A-H) () - () Type (e.g., Value Value Type (e.g., dv. rent, Code 2 Method buy, sell, or nt.) (-P) Code 3 redempton) (Q-W) (3) (4) (5) Date Value Gan dentty of - - Month- Code 2 Code buyer/seller Day (-P) (A-H) (f prvate transacton) Babcock & Brown Wnd Partners Common Stock None -. 4/15 -..! A 122. Brstol Myers Squbb Common Stock A Dvdend /21 A 124. Calpne Corp. Common Stock None 3/1 K K /22 K c /25 K A 128. Chesapeake Energy Corp. Common Stock None 7130 K /22 K B 130. EMC Corp. -Mass. Common Stock None 4/ sold 519 K 132. Eastman Kodak Common Stock A Dvdend / Frst Solar nc. Common Stock None 10/ /4 A 136. FedNatMortgageAsso Common Stock None 8/22 1. nco me Gan Co des: A =S 1,000 or less B =S,001 - S2,500 C =S2,501 - S5,000 D =$5,001 - S 5,000 E =S 5,00t -S50,000 (See Co lumns Bl and D4) F =S50,00 - S00,000 G =S00,001 -Sl,000,000 H =S,000,001 - $5,000,000 H2 =Mo re than S5,000, Value Codes =$15,000 or less K =S 5,001 - $50,000 L =$50,001 - $100,000 M =$100,001 $250,000 (See Columns C and D3) N =$250,001 -S500,000 0 =S500,00 - $1,000,000 Pl =Sl,000,001 -S5,000,000 P2 s5,000,001 - $25,000,000 P =S25,000,00 -$50,000,000 P4 =More than S50,000, Value Method Codes Q =Apprasal R =Co st (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =B ook Value V =Other W =Estmated

13 FNANCAL DSCLOSURE REPORT Page 12of20 Davs, Andre M V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see pp of flng nstructons.; D NONE (No reportable ncome, assets, or transactons.),,.,., j A. B. c. D. Descrpton of Assets ncome durng Gross value at end of Transactons durng reportng perod (ncludng trust assets) repo r; ng perod reportng perod (!) () () (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempl from pror dsclosure Code dv., rent, Code 2 Method buy, sell, Month- Code2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A-H) (f prvate transacton) (Q W) R' "'! { '!) - 8/27 c. j m Fed Home Loan Mt(! Com Common Stock NnnP. Ruv '/ / Fronter Comms Corp/Ctzens Comms Co. A Dvdend 316 K Common Stock /15 K c 145. Foster Wheeler Ltd Common Stock None 2/27 K /6 K / /23 (add'l) K / L D 815. ncome Gan Codes: A =S 1,000 or less B =S S2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$ S (See Columns Bl and D4) F =$50,001 -S00,000 G =$100,001 -Sl,000,000 H =Sl,000,001 S5,000,000 H2 =More han $5,000, Value Codes =S 5,000 or less K=S15,001 -$50,000 L =$50,001 -$100,000 M =S00,001 - $250,000 (See Columns Cl and D3) N =$250,001 - S =$500,001 -S,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25.000,000 P =S25,ooo,oo 1 - s5o.ooo.ooo P4 =More than $50,000, Value Method Codes Q =Apprasal R =Cost {Real Estate Only) S =Assessment T =Cash Market {See Column C2) U =Book Value V=Other W =Estmated

14 FNANCAL DSCLOSURE REPORT Page 13 of20 Davs, Andre M V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see pp of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.)! 1 <1 A. B. C. D. Descrpton of Assets ncome durng Gross value at end of Transactons durng reportng perod (ncludng trust assets) re portng perod reportng perod Place "(X)" after each asset exempt from pror dsclosure () () () (4) (5) Amount Type (e.g., Value Value Type (e.g., Code dv., rent, Code 2 Method buy, sell, (A-H) Code3 redempton) or nt.) (-P) (Q W) So!d (3) Date Value Gan dentty of Month- Code 2 Code buyer/seller Day (-P) (A-H) (f prvate 7/1! transacton) /18 K c 157. Human Genome Common Stock None 2/ / /23 K /12 K 162. ntel Corp. Common Stock None 10/2 K /30 K 164. Motorola Common Stock A Dvdend 2/ (add'l) / Pfzer Common Stock None 5/ / St oe Company Common Stock None 5/22. ncome Gan Codes: A =$ 1,000 or less B =Sl,001 -$2,500 C =$2,50 - $5,000 0 =$5,001 -$15,000 E =$15,001 - S50,000 (See Columns B and 04) F =$50,001 -$100,000 G =S00,001 -S l,000,000 H =Sl,000,001 S5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less K =$15,001 S50,000 L =S50,00 -S00,000 M =S00,001 $250,000. (See Columns Cl and 03) N =$250,001 -$500,000 0 =S500,00 -S,000,000 Pl =Sl,000,001 - $5,000,000 P2 =S5,000,00 -$25,000,000 P3 =S25,000,00 $50,000,000 P4 =More than S50,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U=Book Value V=Other W =Estmated

15 FNANCAL DSCLOSURE REPORT Page 14 of20 - Davs, Andre M. 06/15/2009 V. NVESTMENTS and TRUSTS - ncome, varue, transactons r1nc1udes those of spouse and dependent chtdren; see PP of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) A. Descrpton of Asser. (ncludng trust assets) Place "(X)" after each asset exempt from pror dsclosure 173. Gannn Ltd Common Stock B. c. lncom.e durng Gross value a! end of - - _ reportng perod (!) Amount Code (A-H) - - Type (e.g., dv. rent, or nt.) None reportng perod (!) Value Code 2 (-P) Value Method () Type (e.g., buy, sell, Code 3 redempton) (Q-W) _L (aclcl" D. Transactons durng reportng perod (3) (4) (5) Date Value Gan dentty of Month- Code 2 Code buyer/seller Day (-P) (A-H) (fprvate 5/27 8/15 6/3 K transacton) ' j /30 K 175. Lnes 176 to 241 report CLOSED-END and EXCHANGE TRADED FUNDS 176. Adams Express Co. A Dvdend 2/ /30 K 179. Claymore Exch-Traded Fund Tr BNY BRC ETF None 2/1 K /20 K A 18. DWS RREEF Real Estate Fund A Dvdend 1/16 K 182. DWS RREEE Real Estate Fund, nc. A Dvdend Sell 2/7 K B 183. Eaton Vance Tax Advantaged Global Oppty Fund A Dvdend Sell 2/7 K A 184. Frst Tr Exchange Traded Fund Botechno logy None Sell 2/20 K 185. nda Fund A Dstrbuton K T 4/ /22 K /27. ncome Gan Codes: A =Sl,000 or less (Sec Columns B and D4) F =S50,00 - S00, Value Codes =$15,000 or less (See Columns Cl and D) N =$250,00! -$500,000 P =S25, $50,000,000 B =S.001 -S2.500 G =S00,001 -S,000,000 K =$15,001 -$50,000 0 =SS00,001 -Sl,000,000 C =S2,501 - S5.000 H =S,000,001 -SS,000,000 L =$50,001 -$100,000 Pl =Sl,000,001 - SS,000,000 P4 =More than $50,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment (See Column C2) U =Book Value V=Other W =Estmated D =S5,00 -$15,000 E =Sl5,00 - S50,000 H2 =More than SS, M =$ $250,000 P2 =SS,000,00! -$25,000,000 T =Cash Market

16 FNANCAL DSCLOSURE REPORT Page 15of20 Davs, Andre M V. NVESTMENTS and TRUSTS - ncome, vatue, transactons r1nc1udes those of spouse and dependent chldren; see pp of flng nstructons. D NONE (No reportable ncome, assets, or transactons.) r \"< ") l og "'. A. B. c. Descrpton of Assets ncome durng Gross value at end of (ncludng trust assets) reportng perod reportng perod () (1) () D. Transactons durng reportng perod (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempt from pror dsclosure Code dv., rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A-H) (f prvate!0:.w'! {a<') /30 (add') A1n1 l? (add') 11)1' ('.V;;..',; transacton) 191.!Shares Slver Trust None L T 4/ / /11 (add'l) /28 (add'l) /26 (add'l) K B /16 K B /4 L D / !Shares Dow ones US Home Constr. ndex None 117 Fund /30 K /25 A 203.!Shares MSC! apan ndex Fund None 4/ /11 K. ncome Gan Codes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501 $5,000 D =$5,001 S 15,000 E =$15,001 $50,000 (See Columns B and D4) F =$50,001 S00,000 G =S00,001 S,000,000 H =S,000,001 $5,000,000 H2 =More than S5,000, Value Codes =S 15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =S00,001 $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001 Sl,000,000 Pl =$1,000,001 $5,000,000 P2 =$5.000,001 $25,000,000 P3 =$25,000,001 $50,000,000 P4 =More than S50,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U Book V aluc V =Other W=Eshmated

17 FNANCAL DSCLOSURE REPORT Page 16 of20 Davs, Andre M. 06/15/2009 V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see PP of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) A. B. C. D. nescrptnn of AsSC'tS (ncludng trust assets) ncome durng reportng perod r SS V al ue a. r en d o_ f reportng perod Transacton dur ng TApOrt a pernd - - Do - - Place "(X)" after each asset (1) (1) (1) Amount Type (e.g., Value Value Type (e.g., (3) (4) Date Value Gan (5) dentty of exempt from pror dsclosure Code 1 dv.. rent, Code 2 Method buy, sell, (A-H) or nt.) (-P) Code 3 redempton) (Q-W) Month- Code 2 Code Day (-P) (A-H} buyer/seller (f prvate transacton) j 20.s. lshares 5 & P G1obal Cean l:ergy A Dvdend T 10/ / Market Vectors ETR None 4/25 K / K A K B 21. Morgan Stanley Chna A Shares Fund A Dvdend K T 0/ / MQuare Frst Global lnfras. Utls.Dv. & nc. Fund (X) None 1/16 L / Powershares Wlderhll Clean Energy Portfo lo None T 10/ / / Powershares QQQ Trust Seres A Dvdend K T 12/4 K 219. Powershares Ex Traded FD Dynamc Clean Tech Port Trust None K T 220. Powershares Golden Dragon Halter USX Ch na Portfolo (X) A Dvdend T 4/ /29. ncome Gan Codes: A =S 1,000 or less (See Columns B and 04) F =$50,001 - S00,000 B =S l,001 -$2,500 G =S00,001 -Sl,000,000 C =$2,501 -S5,000 H =Sl.000,00 -$5,000,000 D =$5,001 - $15,000 H2 =More than $5.000,000 E =S l 5; S50, Value Codes =$15,000 or less K =$ $50,000 L =$50,001 -S00,000 M =S00,001 - S (See Columns C and D3) N =$250,001 -S500,000 0 =$500,00t -Sl,000,000 Pl =S l,000, $5,000,000 P2 =$5,000,00! - $25,000,000 P3 =$25,000,00 - $50,000,000 P4 =More than $50,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment T =Cash Markel (See Column C2) U =Book Vaue V=Other W =Estmated

18 FNANCAL DSCLOSURE REPORT Page 17 of20 Davs, Andre M. Dale of Report 06/15/2009 V. NVESTMENTS and TRUSTS - D NONE (No reportable ncome, assets, or transactons.) ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see pp of flng nstructons.) 'l'm A. B. c. D. Descrpton of Assets ncome durng Gross value at end of Transactons durng reportng perod C me u d" mg trus t assets reportmg pen "od reportmgpen "od () () () (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gan dentty of exempt from pror dsclos,ure Code dv.. rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (A-H) or nt.) (-P) Code 3 redempton) Day (-P) (A-H) (f prvate.. 1 ">< "'"""- Ruy } (4>jr' ) 2: Su d 9/22 (par) D'r. ll'p A';rrn r!' Tn!d A n1vlrlpn:r1 ( T Ruv 1/18 {Q-W) transacton) ""= : :1 l / Royce Focus Trust, nc. A Dvdend T 316 K /4 12/ Select Sector SPDR Utltes A Dvdend K T 3125 K /31 12/ Select Sector SPDR TRX Fnancal None - 7/31 K / K 235. Sun Amerca Focused Alpha Large Cap Fun None 1/16 K d /24 K 237. Templeton Dragon Fund None K T 9122 K 238. Vanguard Growth Fund ETF A Dvdend 8/15 K. nco me Gan Codes: A =Sl,000 or less B =Sl,001 -$2,500 C =S2,501 - SS,000 D =S5,001 - Sl5,000 E =S15,00 -$50,000 (See Columns B and 04) F =$50,001 S00,000 G =S 100,001 - S,000,000 H =$1,000,001 -$5,000,000 H2 =More than SS,000, Value Codes =Sl5,000 or less K=Sl5,00 - S50,000 L =S S00,000 M =S 100,00 - S (See Columns Cl and 03) N =S250,00 -$500,000 0 =S500,00 - S 1,000,000 Pl =Sl,000,001 - SS,000,000 P2 =S5,000,00 - S25,000,000 P =S25,000,001 - S50,000,000 P4 =More than SS0,000, Value Method Codes Q =Apprasal R =Cost (Real Estare Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Olher W =Estma ted

19 FNANCAL DSCLOSURE REPORT Page 18of20 Davs, Andre M V. NVESTMENTS and TRUSTS - ncome, value, transactons r1nc1udes those of spouse and dependent chldren; see PP of flng nstructons.) D NONE (No reportable ncome, assets, or transactons.) A. Descrpton of Assets (ncludng trst assets) ( l) B. ncome durng reportng perod Gross val at end of reportng perod (l) Place "(X)" aft er each asset Amount Type(e.g., Value Value Type (e.g., exempt from p ror dsclosure Code l dv., rent, Code 2 Method buy, sell, (A-H) or nt.) (-P) Code 3 redempton) (Q-W) (!) D. Transactons durn reportng perod (3) (4) (5) Date Value Gan dentty of Month - Code 2 Code l buyer/seller Day (-P) (A-H) (f prvate transacton) 2' (a<l'!) (adc 822-8/ K 242. Lnes 243 to 248 report MUTUAL FUNDS 243. Davs NY Venture Fund Class C A Dvdend K T /5 K 245. Europacfc Growth Fund Class A c Dstrbuton K T 246. Legg Mason Opportunty Trust c Dstrbuton K T 247. Legg Mason Value Trust c Dstrbuton T 248. T Rowe Prce Growth Fund A Dstrbuton T Rtmtal PropertyEastham, MA (X) D Rent Pl w 250. Trust No. E Dstrbuton Pl w l. ncome Gan Codes: A =S 1,000 or less B =St,001. $2,500 c =S2,50t -$5,000 D =$5,001 - $15,000 E =$15,001.- $50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 - S,000,000 H =Sl,000,001 - $5,000,000 H2 =More than $5,000, Va tue Codes =S 5,000 or less K =$15,001 -S50,000 L =$50,001 S00,000 M =St00,001 - $250,000 (See Columns Ct and 03) N =$250,00 t - $500,000 0 =$500,00 - S1,000,000 Pl =S l,000,001 -$5,000,000 P2 =$5,000,001 - S25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than SS0,000, Value Method Codes Q =Apprasal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=OthtT W =Estmated

20 FNANCAL DSCLOSURE REPORT Page 19 of20 Davs, Andre M. 06/15/2009 V. ADDTONAL NFORMATON OR EXPLANATONS. (ndcateparto/report.)

21 FNANCAL DSCLOSURE REPORT Page 20 of20 Davs, AndreM X. CERTFCATON. certfy that all nformaton gven above (ncludng nformaton pertanng to my spouse and mnor or dependent chldren, f any) s accurate, true, and complete to the best of my knowledge and belef, and that any nformaton not reported was wthheld because t met applcable statutory provsons permlttllg non-dtsclosure. further certfy that earned ncome from outsde employment and honorara and the acceptance of gfts whch have been reported are n complance wth the provsons of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udcal Conference regulatons. Sgnature NOTE: ANY NDVDUAL WHO KNOWNGLY AND WLFULLY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBECT TO CVL AND CRMNAL SANCTONS (5 U.S.C. app. 104) FLNG NSTRUCTONS Mal sgned orgnal and 3 addtonal copes to: Commttee on Fnancal Dsclosure Admnstratve Offce of the Unted States Courts Sute One Columbus Crcle, N.E. Washngton, D.C