. AOJO Rev. 112008 FOR CALENDAR YEAR 2008 Report Required by the Ethics in Government Act of 1978 (5 U.S.C app. O///) Person Reporting (last name, first, middle initial) Court or Organization Date of Report Sullivan, Emmet G. U.S. District Court for the District of Columbia itle (Anicle ll judges indicate active or senior status; Sa. Report ype (check appropriate type) magistrate judges indicate full or pantime) D Nomination, Date Active District Court Judge D nitial [Z Annual D Final Sb. D Amended Repon 6. Reporting Period 01/01/2008 to 12/ 31/2008 7. Chambers or Office Address 8. On the basis of the nformation contained n this Report and any modifications pertaining thereto, it is, n my opinion, in compliance 333 Constitution Avenue, NW with applica ble laws and regulations. Washington, D.C. 20001 Reviewing Officer Date MPORAN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no '! rtbleinf}miiion. Sign on last age.'' POS! 0 NS. (Reportmg individuat only; see pp. 9/J of ftling instructions.) [Z NONE (No reportable positions.) POSON NAME OF ORGANZAON/ENY AGREEMENS. (Reportmg individual only; see pp. 1416 of filing insiructions.) [Z NONE (No reportable agreements.) PAR ES AND ERMS c..,. ' c:;.:: (!.' c:: :U "' ::: o> '1 'l () Pl.. = = = ;: = G J u r;y 4 c rn (" Sullivan, Emmet G
.. Page 2 of9 Name of Person Reporting Sullivan, EJttmet G. Datt of Report 0810612009 N 0 NNVESMEN N CO ME. (Reporting individual and spouu; see pp. 17U of filing instructions.) A. Filer's Nonnvestment ncome D NONE (No reportable noninvestment income.) SOURCE AND YPE NCOME (yours, not spouse's) 2008 Pension (D.C. Government) $57.749.00 B. Spouse's Nonnvestment ncome /you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.)!z NONE (No reportable noninvestment income.) SOURCE AND YPE V. REMBURSEMENS transportation, lodging.food, ente'!ai!'ment. (ncludes those to spouse and dependent children; see pp. 2527 of filing instructions.)!z NONE (No reportable reimbursements.) SOURCE DAES LOCAON PURPOSE EMS PAD OR PROVDED
Page 3 of9 Nim of Person Reporting Sullivan, Emmet G. Date of Report V. GF'f S. (ncludes thou to spouu and dependent children; see pp. 1611 of filing instructions.) [l NONE (No reportable gifs.) SOURCE DESCRPON VALUE V LABLES. (ncludes those of spouse and dependent childun; see pp. 1111 of filing instructions.) [l NONE (No reportable liabilities.) CREDOR DESCRPON VALUE CODE....
Name of Person Reporting Oate of Report Page 4 of9 Sullivan, Emmet G. V NVESMENS and R u SS income, value, transactions (ncludes those of spouse and deptndent children; Ste pp. 3460 of filing instructions.) D NONE (No reportable income, assets, or transactions.)! A. B. C.! J Description of Assets ncome during Gross value at end of ransactions during reporting period (including trst assets) ; reporting period reporting period (!) ) (1)! ()! f i Amount ype (e.g., Value Value ype (e.g., Date dentity of buy, sell, Month buyer/seller (AH) or int.) (JP) Code 3 redemption) (if private (QW) transaction) J Rental Property ncome (Washington, D.C. E Rent 0 s ) Rental Property ncome (Washington, D.C A Rent M w.) Janney Montgomery RA C od e div., rent, Code 2! Method j, J D. (3f(:! tvaluc Gain Code 2 Code r Day (JP). (AH) J. J J J (5) Columbia FDS Class A A Dividend K Federated Equity FDS A Dividend J 6. First Eagle Fund A Dividend K Sold 4107 J A (part) 7. Growth Fund America, nc. CLF (GFAFX) A Dividend J 8. Keeley Small Cap Funds A Dividend J 9.. Rowe Price Growth Stock Fund A Dividend J 10.. Rowe Price Equity A Dividend J 11. hornburg lnvt. r. A Dividend K 1 Harbor nternational FD A Dividend K 1 JP Morgan rust A Dividend J 1 Artisan Funds A Dividend J 1 Royce Fed. Rel. A Dividend J 16. Sentinel Group FDS A Dividend J 17. Janney Montgomery RA ncome Gain Codes: A =$ 1,000 or less B =S1,00 $2,500 C =S2,501 S5,000 D =S5,00 $15,000 E =$15,001 $50,000 (See Columns Bl and 04) F =$50,001 S00,000 G=S00,001Sl,000,000 H =Sl.000,001S5,000.000 H2 =More than $5,000,000 Value Codes J =S 5,000 or less K =$15,001 SS0,000 L =SS0,001S00,000 M =S 00,00 S250,000 (See Columns Cl an DJ) N =$250,00 $500,000 0 =$500,00 S 1,000.000 Pl =Sl,000,001 $5,000,000 P2 =S5,000,00 $25,000,000 PJ =$25,000,00 $50,000,000 P4 =More than SS0,000,000 Value Meth Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U =Book Value V=Other W =Estimated
Name of Ptrson Reporting Dal< of Report Page 5of9 Sullivan, Emmet G. V NVESMENS and RUSS income, value, transactions (lncfudes t/1oseofspouseand dependentchildrm: SU p p. 1460 of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. D. Description of Assets Jncom uring l :ross val at end of (including trust assets) Place "(X)" after each asset exempt from prior disclosure J / / rerting period! reporting period j Code div., rent, (A :int r(ii Code 2 j (JP) ransactions during reporting period o> <2> <2> (5) Amount yp (e.g., Value Value dentity of Method buyer/seller (if private transaction) i...; 18. Columbia FDS, Class A A Dividend J 19. Calamos Growth Fund A A Dividend J 20. First Eagle Fund A Dividend J 21. hornburg Value Fund A A Dividend J 2 Allianz Orr. Ren. A A Dividend J 2 Janney Montgomery Fund 2 Allianz Funds Multi Manager (X) A Dividend J 2 Capital ncome BLDR Fund, Class A (X) A Dividend K 26. Columbia FDS, Class A (X) A Dividend K 27. Henderson Global FDS (X) A Dividend J 28. vy Funds nc. (X) A Dividend J 29. Keeley Funds nc. (X) Dividend ' J.A 30. Kinetics Mutual Funds (X) A Dividend J 31. NFJ Div nt and Strategy Fund (X) A Dividend K 3 Rowe. Price ntl FDS (X) A Dividend J 3 hornburg lnvt. r Class A (X) A Dividend K 3 D.C. Hsg Fin Agy Mun Bond (X) A nterest J ncome Gain Codes: A =S 1,000 or less B =Sl,001 S2,500 C =$2,501 S5,000 D =$5,001 $15,000 E =S15,001 $50,000 (See Columns Bl and 04) F =S50,001 S00,000 G =S 100,00 S 1,000,000 H =Sl,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =S5,000 or less K =$15,001 $50,000 L =SS0,001 S00,000 M =S 00,00 S250,000 (Sec C0lumns Cl an DJ) N =S250,00 S500,000 0 =5500,001 Sl,000,000 Pl =Sl,000,001 $5,000,000 P2 =SS,000,001 S25,000,000 PJ =s2s.ooo.001 S5o.ooo.ooo P4 =More than $50,000,000 Value Method Codes Q =Appraisal R =Ost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U ""Book Value V=Other W=E stimated
! Name or Person Reporting Date or Report Page 6 of9 Sullivan, Emmet G. V NVESMENS and RUSS income, value, transactions (ncludes those of spouse and dependent childrm; SU pp. 3.Ooffiling instructions.) D L NONE (No reportable income, assets, or transactions.) A. Description of Assets (including tr assets) Place "(X)" after each asset exempt from prior disclosure L B. c. ncome during reporting period Gross value at end of reporting period ()! (2) () (2) Amount yp(e.g., Value Value Code div., rent, Code 2 Method (AH) or int.), (JP) Code3 J. (QW) () (2) ype(e.g., buy, sell, D. ransactions during reporting period Date Monthredemption) i Day.. J (j) 1 (5 (4! Value i Gain identity of! Code 2 Code 1 buyer/seller (J.P)! (AH), (ifprivate i transaction).. L... 3 GMAC Smartnotes Bond (X) A nterest J 36. Franklin ncome Fund CLA (X) A Dividend K 37. Janney Advantage nsured Sweep (X) A Di vid;;d J 38. 39. 40. 41. 4 4 4 4 46. 47. 48. 49. 50. 51. ncome Gain Codes: A =$1,000 or less B =$1,00 S2,500 C =S2,501 $5,000 D =S5,00 $1000 E =$15,001 $50,000 (See Columns Bl and 04) F =$50,001 S00,000 G =S00,001 Sl,000,000 H =$1,000,001 $5,000,000 H2 =More than SS.000.000 Value Codes J =S 15,000 or less K=SS,001SSO,OOO L =SS0,001 S00,000 M =S00,001 $250,000 (See Columns Cl and DJ) N =$250,001 5500,000 O =$500,001 Sl,000,000 Pl =Sl,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 PJ =S2ooo,001 s5o.ooo.ooo P4 =More than S50,000,000 Value Meth Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U Book Value V..er W=Estimated
Page 7 of9 Name or Person Reporting Sullivan, Emmet G. Date or Report V NVESMENS and RUSS income, vatue, transactions rrnctudes 11rou ofspouu and dependent children; supp. J46o offiting 1nstruc1ions.J D NONE (No reportable income, assets, or transactions.) 5 A. Description or Assets (including tr assets) Place "(X)" after each asset exempt from prior disclosure B. C. ncome during Gross value at end or reporting period reprting period i. i ( ) (2) (). i Amount i ype (e.g.,! Code / div., rent, ; (AH) i or int.) L J Value (2) Value Code 2 Method (JP) Code 3 :\\'> o:, ransactions during reporting perod J (l) <2 > rc3)"<4l i ype (e.g., i Date Value i Gain / dentity of j t :; buy, sell,! Month 1 Code 2 j Code! buyer/seller :: L:: L p J J 5 5 ncome Gain Codes: A =$1,000 or less B =$1,00 $2,500 c =$2,501 55,000 D =$5,001 $15,000 E =51001 550,000 (See Columns Bl and D4) f =$50,001 $100,000 G =5100,001 Sl,000,000 H =Sl,000.001 $5,000,000 H2 =More than $5,000,000 Value Codes J =S 15,000 or less K =$15,001 $50,000 L =SS0,001 S00,000 M =$ 00,00 $250,000 (See Columns Cl and DJ) N =5250,001 5500,000 0 =5500,00 S.000.000 Pl =SJ,000,001. 55,000.000 P2 =55,000.001 $25,000,000 PJ =525,000,00 550,000,000 P4 =More than $50,000,000 Value Meth Codes Q=Appraisal R =Cost (Real Esrate Only) S =Assessment =Cash Market (See Column C2) U=Book Value V=Other W =Estimated
Page 8 of9 Name of Ptnon Rtporting Sullivan, Emmet G. Dalt of Report. V ADDONAL NFORMAON OR EXPLANAONS. (lndicate partofreport) Part V nvestments and rusts Line tem Onehalf interest Rental Property (Washington, D.C.) the assessed total value is $770,000. Line tem Onethird interest in Rental Property (Washington, D.C.) the estimated total value is $500,000.
Name of Person Reporting Date of Report Page 9 of9 Sullivan, Emmet G. 08/0612009 X. CERFCAON. 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 nondisclosure. further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported arc in compliance 'lith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Sign NOE: ANY NDVDUAL WHO KNOWNGLY AND WLFULLY FALSFES OR FALS O FLE HS REPOR MAY BE SUBJEC O CVL AND CRMNAL SANCONS (5 U.S.C. app. 104) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite 2301 One Columbus Circle, N.E. Washington, D.C. 20544