ul. 11. 2008 3:50PM US DSRC UDGE DEVER No. 1458 P. 2.AM;;S C. DEV. ll LNrrlfo S"AE DSC UDGE UNl:D SAES DSRC COUR E'ASE:RN DSRC Or NORH CAROLNA 310 NEW l3ern AVE:NUE RALEGH, NORH CAROLNA 27601 F(LEPl-ONE: (9191135-6570 uly 11, 2008 VA FACSMLE and U.S. MAL he Honorable Ortric D. Smith Committee on Financial Disclosure Administrative 01'ice of tho United States Comts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 Re: Your ettr of une 23, 2008 Dear udge Smith: hank you for your letter of untl 23, 2008. am writing to confi1111 that in part V, page 4, lines 11and12, and page 5, lines 21-22, and 31-32, the income amount code for each should be "A" (i.e., $1,000 or less) and the type for each should be dividend. As for column C conceming those assets, the value method is and the value code for lines 11 and 12 is. he value code for lines 31 and 32 is. As for part V, page 4, lines 14-17, and page 5, lines 18, 20-28, an<l 30-32, you note Lhat my report lists "Lwo Northwe,stern Murual Life Policfos and tht: 111utual fund investments associated with those policies." Your letter states that "the filing instructions require that [] disclose the full nan1e of each mutual fund, which includes both the specific fund an<l the fm<l family." Your letter then states, 4'P1ease di0close the name of the company that sponsors each fond, e.g., Vanguard ndex 500 Stock Fund." l havc: contacted my insurance agent. He advised me that Northweslem Mutual does not invest the assets in the life insurance policies in nmtu<i1 funds. Rather, Northwestern Mutual invests the money in portfolios.. he portfolios are run similar to muttml funds, but there is no stock symbol or mutual fund symbol. he particular portfolios arc only available to Northwestern Mutual annuity and variable life policy holders. Moreover, the portfolios and the entities which over!>ee the investments in the items listed in part V, lines 15-22, and lines 25-32 arc as follows:
u1.11. 2008 3:50PM US DSRC UDGE DEVER No. 1458 P. 3 he Honorable Ortrie D. Smith uly l 1, 2008 page 2 ndex 500 Stock (lines 15 and 25) Aggressive Growth Stock (lines 16 and 26) ndex 400 Stock (lines 17 and 27) and Alliance Bernstein Small Cap Growth Stock (lines 18 and 28) Mu::on Street Advisors. Rowe Small Cap Value Ma on Street Advisors (lines 19 and 29) 'uid. Rowe Price Cap Guard Dornestic (lines 20 and 30) nternational Equity (lines 21 und 31) and Capital Guardian and Franklin empleton Equity ncome (lines 22 and 32) and. Rowe Price hope that this letter answers all or your questions. f not, plea e contact me. Very truly yours, ames C. Dever l
AO O in Government Act of 1978 Rev. 112008 FOR CALENDAR YEAR 2007 (5 US.C. app. O/-/!) Report Required by the Ethics. Person Reporting (last name, first, middle initial) Court or Organization Dever, ames C U.S. District Court, EDNC 0510912008 itle (Article ll judges indicate active or senior status; Sa. Report ype (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) U.S. District udge- Active D D [Z D Sb. Nomination, Date 01/01/2007 nitial Annual Final D Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any U.S. District Court 310 New Bern Ave. Raleigh, NC 27601 modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date to 12/31/2007 MPOR AN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.. PQS 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.) D NONE (No reportable positions.) POSON NAME OF ORGAN1ZA ON/ENY. Adjunct Law Professor Campbell University, N.A. Wiggins School of Law Director North Wake County Baseball Association 5.. AG REE MENS. (Reporting individual only; see pp. 14-16 of filing instructions.) D NONE (No reportable agreements.) PARES AND ERMS C = (./) = c: ;o (') :s:: ;' rn -< b., (/)Z (' C:)> :::o:r:.c m f)( '11- -, 1 () - 0)> 1 < rn 0 rq w N. 2007 Agreement to teach as an adjunct law professor at Campbell University 2007 Maupin aylor, P.A. Profit Sharing Plan (Maupin aylor P.A. is my former law firm.)
Page 2 of 7 Dever, ames C 05/09/2008. N 0 N-NVESMEN N CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.) A. Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE AND YPE NCOME (yours, not spouse's). 2007 Campbell University (wages) $ 6,760 B. Spouse's Non-nvestment ncome - lf you were married during any portion of the reporting year, complete this sectiorc (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND YPE l. 2007 Substitute teacher, Our Lady of Lourdes Catholic School, Raleigh, North Carolina (wages) V. REMBURSEMENS - trnnsportation, lodging, food, entertainment. (ncludes those to spouse and dependent children: see pp 25-27 of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DAES LOCAON PURPOSE EMS PAD OR PROVDED. Duke University School April Durham, NC Moot Court udge Meals of Law 12-13, 2007 5.
Page 3of7 Dever, ames C 05/09/2008 V. GFS. (lncludes those to spouse and dependent children; see pp. 28-31 of filing instructions.) [Z NONE (No reportable gifts.) SOURCE DESCRPON VALUE. 5. V. LABLES. (ncludes those of spouse and dependent children; see pp. 32-33 of filing instructions.) [Z NONE (No reportable liabilities.) CREDOR DESCRPON VALUE CODE l. 5.
! Page 4of7 Dever, ames C 0510912008 V. NVESMENS and RUSS - D NONE (No reportable income, assets, or transactions.) 1------ ---;;: -------------r----- / l - --- --------- income, value, transactions r1nc1udes those of spouse and dependent children: see PP 34-60 of filing instructions.). B C. D. Description of Assets! ncome during Gross value at end of ransactions during reporting period (including trust assets) r;porting pe; d reporting period ( 1 (!) (2) (2) 1(4)-i Amount ype (e.g., Date Gain, (3) Place "(X)" after each asset Value Value ype (e.g., Value, exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code buyer/sel!er (A-H) or int.) (-P) Code 3 redemption) Day (-P) (A-H) (if private - l. Maupin aylor, P.A. Profit Sharing Plan (Q-W) (!) (5) dentity of transaction) - Money Market Fund, Wachovia Securities A nt. sell 7/07 - AFBX Fundamental nvs. nc. - B D Dividend L - BF ABX Bond Fund of Am. - B B Dividend sell 7/07 5. - HCAX Hartford Cap Apprec Fund - B D Dividend L 6. - NYYBX Davis NY Venture - B B Dividend 7. - OGLBX Oppenheimer GLBL FD - B B Dividend 8. - PVBX Putnam Vista FD - B A Dividend 9. - EDBX Mutual Sec FD Discover - B B Dividend O. - MBAGX MFS Aggressive GR Allo - B A Dividend. Capital ncome Bldr Fd C!BBX buy 7/07 1 Mutual Series FD nc Discovery FD ED BX buy 7/07 1 1 Northwestern Mutual Life Policy 15. - ndex 500 Stock B Div. part sale 8/07 16. - Aggressive Growth Stock A Div. sale 8/07 17. - ndex 400 Stock A Div. part sale 8/07 1. ncome Gain Codes: A-""$,000 or less B =Sl,001 - S2,500 C =$2,50 - S5,000 D =S5,00 - S 15,000 E =Sl5,00 - $50,000 (See Columns B 1 and 04) Value Codes F =S50,00 S00,000 =S S,000 or less (See Columns Cl and 03) N =S250,00 - $500,000 G =S 00,00 - S 1,000,000 =$15,001 -$50,000 H =Sl,000,001 -S5,000,000 L =550,001 - S00,000 0 =S500,00 - $1,000,000 Pl s1,ooo,001 -S5,ooo,ooo H2 =More than S5,000,000 M =$ 00,00 -$250,000 P2 =$5,000,001 - S25,000,000 Pl =S25,000,00 - S50,000,000 P4 =More than $50,000,000 ' Value Method Codes Q =Appraisal R ""Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U =Book Value V=Other W :::Estimated
Page 5of7 Dever, ames C 0510912008 V. NVESMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP 34-60 of filing instructions.; _ 0 NONE (No reportable income, assets, or transactions.) --- ------A - ---... B. ----- Description of Assets! ncome during Gross value at end of (including trust assets) reporting period reporting period Place "(X)" after each asset exempt from prior disclosure _ () (2) () (2) Amount ype (e.g., Value Value Code div., rent, Code 2 Method -- _=: or-in_t._) ( --P ) _Llo_o - - '--- -.. _ _ C. -- 18. - Small Cap Growth Stock A Div. part sale 8/07 19. - Rowe Small Cap Value A Div. part sale 8/07 20. - Cap Guard Domestic Eq B Div. part sale 8/07 21. - nternational Equity buy 8/07 2 -Equity ncome buy 8/07 2 2 Northwestern Mutual Life Policy 25. - ndex 500 Stock A Div. part sale 8/07 26. - Aggressive Growth Stock A Div. sell 8/07 27. - ndex 400 Stock A Div. part sale 8/07 28. - Small Cap Growth Stock A D.iv. part sale 8/07 29. - Rowe Small Cap Value A Div. part sale 8/07 30. - Cap Guard Domestic A Div. part sale 8/07 31. -nternational Equity buy 8/07 3 -Equity ncome buy 8/07 3 3 RBC Centura Bank Account A nterest.. ncome Gain Codes: A =S1,000 or less B =$1,001 S2,500 C =52,50 55,000 D =55,001 $15,000 E =$15,001 550,000 (See Columns B and D4) F =$50,00 - S 00,000 G =S 00,00 - $1,000,000 H =Si,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes o:::ss,000 or less =$15,001 $50,000 L =$50,001. S00,000 M =S00,001 - $250,000 (See Columns Cl and 03) N =$250,00 5500,000 0=$500,001-Sl,OOO,OOO Pl =S,000,001 - S5,000,000 P2 =55,000,001 - $25,000,000 P3 =525,000,001. 550,000,000 P4 =More than SS0,000,000 Value Method Codes Q :::Appraisal R :::Cost (Real fatale Only) S :::Assessmenl =Cash Market (See Column C2) U "'Book Value V=Other W :::Estimated
Page 6of7 Dever, ames C 05/09/2008 V. ADDONAL NFORMAON OR EXPLANAONS. (lndicateparto[report.)
Page 7of7 Dever, ames C 05/09/2008 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 non-disclosure. 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 udicial Conference regulations. Signa NOE: ANY NDVDUAL WHO NOWNGLY AND WLFULLY FALSFES OR FALS O FLE HS REPOR MAY BE SUBEC 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 Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544