Gene Carter Financial Disclosure Report for 2009

8/3/2019 Gene Carter Financial Disclosure Report for 2009

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I ao lo I FINANCIAL DISCLOSURE REPORT in Government Act t~1978~ e v . ~ / 2 o ~ o [ FOR CALENDAR YEAR 2009!. Person l~eporthag (last name, first, middle iuidal) 2. Court o r Organization 3. Date of ReportCARTER, GENE U.S. DISTRICT COURT, DISTRICT OF MAINE 06/01/2010

4. Title Article III judges indicate active or seaior stalus; 5:~. Rep rt" "ype (cheek app~c, pria~e type) 6. Reporting Periodtr, agist~ate judges indicate ftfll- o~ part-time)[] Nomination, Date 01/01!2009SENIOR DISrRICTJUDGE [] Initial ~ ~ A n l ) U ~ , l [] Final 12,31/20095b. [] Amended Report

7.Chambers or Office Address 8. On the basis of the Information co ntained in this Report and an)"mndificatiuns pertatining thereto, it is, In my opinion, in ompliance156 FEDERAL STILEET ~ith applicable laws and regulations.PORqLAND. MAINE 0A]01

Reviewing Officer Date

IMPOR TANT NOTE S: The instructions accompanying this form must be followed. Complete all parts,checking theNONE box for each part where you have no reportable it~ormation. Sign on last page.

I. P O S I T I O N S . ( R e p o r t i n g i n d i v i d u a l o n l y ; s e e p t , . 9-13 of f!ling instruction~.)[~] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTiTY

I I . A G R E E M E N T S . ~ , p o ~ i ~ . i~ a i v l a , ~ t o , ~ . v : ,~ e p p . 1 4 - 1 6 af f!ling instructions.)~ NONE (No reportable areements.)

DATE PARTIES AND TERMS


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Name of Persian Report ing D ate of I~ .cportF I N A N C I A L D I S C L O S U R E R E P O R TCAR TER , GENE 0 6 / 0 1 / 2 0 1 0age 2 of 10

I I I . N O N - I N V E S T M E N T I N C O M E . , , , t,o , , i.g ~ , ,ui ,, iu~o~ a.u.~.o. . , ,: ~ ,p . ~-~ o~,~i .~A. Fliers Non- lnvest~nent Inc ome

N O N E (No reportable non-investment income.)DATE SOUR(~E AND TYPE (ytmrs, not spouses)

I.

2.3.

4,

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - ~ , , . were married during anJlaortion of the reportbtg year, complete this section.(Dollar amotott not required #.~ c~l f!)r honoraria.)

N O N E (No reportable no~-investment income.)DATE SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - -, ~ .. ~ .o .. , io . t, ,agi.~, t, , , ,a e. , .~, .~ ..... ,.(Incll, dcs those to ~pouse and dep~ n, le~tl chil, h-en. sec pp. 25-27 of filing in~tructlons.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I.2.

3.

4.

5.


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FINANCIAL DISCLOSURE REPORTPage 3 of 10 I [

V . G I F T S . a , ,c t ~ d ~ o o ~ t o w . . .. . . . a a ~ e ~ a ~ n t children; see p ~ 2 8 - 3 1 o f f ! l in g in.~tructio,t~)N O N E (No reportable

~ DESCRIP TION V A I A I E1.2 .3 .4.5.

V I . L I A B I L I T I E S . a~,,t~a~ ,~h,,.,, o~r w ... . . . . a a~a,,~ children; s e e p p . 3 2 - 3 3 of filing instructians.I[] NONE (~ro reportable liabilities.)

C R E D I T O R DESCRIP TION V A L U E C O D E

3 .4.

5.


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FINANCIAL DISCLOSURE REPORT Name0fP .. . . . R e p o r t i n g D a t e o f R e p o r tPage 4 of 1 0 CARTER, GENE 0 6 / 0 1 / 2 0 1 0

V II. INVESTMENTS and TRUSTS -- ~, ........ ~ue, t .......ions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 t , f fi l in g i n s t r u c ti o n s . )[~ NONE (No reportable income, assets, or transactions.)- . . . . . . A. B. C. " ........ D.

D e s c r i p l i o n o f A s s e t s I n c o m e d u r i n g G ro s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r l t ) d( i n c l u d i n g t r u s t a s s e t s ) r e po rt i n g p er i o d o f r e p o rt i n g p e r i o d

, P l a c e " I X ) " a f t e r e a c h a s s e t A m o u n t T yp e ( e . g . , V a l u e ValueI T y p e ( e . g . . Dale I V a lue G a i n I d e n d t y o fI .... pl from prior discl ..... C o d e 1 di ...... t, C o d e 2 Method[ b u y , s e l l , [ m m ! d d g y y ! (_ : o d e 2 Code I ! buyer/sellerI A - H ) orint) ( J - P ) C,xle3 [ r c d c m p l i o n l I | (J-P) (A-1t) / ( i f p r i v a t e

1. Maine Health & Higher Education A Interest K T2. U.S. Govl Treas. Notes maturing B Interest M T2/15/07-11/15/073. U.$. Govt Treas. Notes maturing A Interest K T

11/15/07-11/15/114. Royce Microcap Realty Trust A Interest J T5. Berkshire Hathaway CLB A Dividend J T6. Berkshire ttathaway CLB A Dividend K T7 . U.S. Govt Treas. Nine maturing I 1/I 5/22 A Interest K T8. Davis NY V enture Fund Class A A Dividend J T B uy 3/05/09 J9. Strategic Global Income Fund A Dividend J T1 0 . RoyceValue Trust B Dividend K T1 1 . NewruontMining Co. A Dividend K T1 2 . Newruont Mining Co. A Dividend K T1 3 . Duke Realty lnc. C Dividend J T1 4 . Kinder Morgan Euergy C Dividend J T1 5 . Firsl Eagle Gold Fund E Dividend K T

1 6 . Harlford Capital Appreciation Fund E Dividend K T1 7 . Oak Ma~k Fund Class A E Dividend K T

1. Income Gain (.odes: A ~$1.000 or less B = $1,001 - 12,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50.000(See Colu:nns 131 and D4) 1- =$50,1,~01 - $100,000 G :$100,001 - $1.000,000 II1 =$1,000.001 - $5,000,000 112 =More than $5 ,000,0002 Value Codes J = $15.~10 ol less K -$ 15.001 - $~0,000 L --$50,001 - $ 100,O00 M =$100.001 - $250,000{See Columns Cl a~d D3) N =$ 250.001 - $ 500,000 O =$ 500,001 - $ 1.000,000 P I = $ 1, 00 0, 00 1 . $ 5 ,0 00 ,0 00 P 2 =$ 5 .0 00 ,0 01 - $ 25 ,0 00 ,0 00P3 =$25.000,001 - $50.000.000 P4 =More than $50,000,0003. Value b, lethod Codes Q =Apprmsal R =Cost (Real Eslate O~ly} S =Assessment T =Cash IMarkl(See Column C2) U =Book Va lue V =Other W =Eslimated


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F I N A N C I A L D I S C L O S U R E R E P O R TCARTER, G E N Eage 5 of 10 [ [o6/omolO

V I i . I N V E S T M E N T S and T R U S T S --i,,. ...... .,i,~. t ....... i , ,n . ~ ( I n c h , d e s t h o s e o f s p . . .. . .. . . d d e p e n d e n t c h i l d r e n s e e p p . 3 4 - 6 0 o f f il i n g i n . ~ t r u c t i o , ~ s . )~ NONE (A~ reportable income, assets, or transactions.)

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d o f r e p o a i n g p e r i o dP l a c e " l X ) " a f t e r e a c h a s s e ~ Amount Type (e.g. Value r Value Typeleg.. ] Date [ Value G a i n I d c n t i ~ y o fC o d e I d i v . , r m ~ t , Code 2 Mc0~l b o y , s e l l , m m , d ~ U ~ a ,[ C ~ e 2 C , x l e ! b u y c f f s c l t e rC ~ M e 3 ] redemption) ( J - P ) I A - I I I ( i f p r i v a t e( Q - W ) .[ .................. t r a n s a c t i o n )

1 8 . Ace Limited Bermuda B Dividend J T1 9 . Becton Dickson B Dividend J T

2 0 . Dineen Emergy Corp. B Dividend .I T21 . IICA Inc. B Dividend J T

2 2 . Aberdeen Asia Pac, Income Fund E Dividend K T2 3 . Aberdeen Asia Pat, Income Fund E Dividend K T2 4 . . Pelroleum Brasileiro D Dividend 1 "1-2 5 . Gold Corp. Inc. New D Dividend J T2 6 . U.S. Treas Note matures 7115/13, 7/15/12 E Interest Sold 5/07/09 I. I)2 7 . U.S. Treas Note matures 1!15/10, 1115/I 1 E Interest Sold 5/07/09 I, D2 8 . First Eagle Gold Fund D Dividend J " I-2 9 . Plum Creek Timber Co. D Dividend J T3 ( / . Plutn C~eekTimber Co. D Dividend J T3 1 . TINT Bonds Due 11/15/08-11/15/10 F Inlerest L T3 2 , New Zealand Gov t. Ex Div A Dividend J T3 3 . l:irsl Toast Value Line ix . Dividend J T

3 4 . I Shares Silver Trust A D i v i d e e , d J T


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FI N A NC I A L D I SC L OSU RE R E P O RT N ~ o r ~ , . . .. . .Page 6 of 10 C A R T E R , G E N E 0 6 / I ) 1 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . .~.., tr . . . . . lions (Includes tl . . . . qsp . . . . . . .. d depen dent childre n; see IP 34-60 ,filling instructions.)

N O N E (No reportable it~come, assets, or transactions.)

Description of Assets Income during Gross value at end j Transactitms during ~cponing pcrkxt(including ~st asse~s) r e p o r t i n g ~ r i t ~ d o f ~ e p o ~ i n g p e r io d

[ J - P ) C o d e 3 r e d e m p t io n ) (J-P) ~ (A-II) (ifl.ivalc( Q - W i ] t ~ a n s a c t i o n )35. I Shares Silver Trust A Dividend J -l"

[ 6 . 1~ Global N.R. Fund CLA A Dividend J T B uy 3/05/09 J~ 3 7 Southern Co~er Corp.

A Dividend J T3 8 . Southern Copper Co~. B Dividend 3 T3 9 . Frontline Limited B Dividend J T

4 0 . Ba~ick Gold Co~. A Dividend J4 1 . I~ Global Nat. Resources Fund A Dividend J T ~u y 3/05/09 J4 2 . Street Tracks Gold Trust A Dividend K T4 3 . ~ights ~ridgeT~nkers A Dividend J T4 4 . Telecom Co~. New Zealand A Dividend J T

4 5 . Ene~lus Resources Fund A Dividend $ T4 6 . Enc~lus Resources Fuud A Dividend J T4 7 . EPA Czpital Fund Inc. A Dividend J TaS. EPA Capilal Fund Inc. A Dividend J T4 9 . l_oomis Saylcs Stral. Income Fund A Divide,d K

5 0 . Loomis Sayles Strat.lncome Fund A Dividend J T5 1 . Exxon Mobil Corp. A Dividend L T


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FINANCIAL DISCLOSURE REPORT ! N a m e o f P e . . .. R e p o r t i n g ] D a l e o f R e p o r tPage 7 of 10 C A R T E R , G I : N E 0 6 0 1 ; 2 0 1 0V II. INV ESTMEN TS an d TRUSTS - i .......... ~ , , ~ , tran~actlons (Ireluaus those gW ....... a dependent children; see pp. 34-60 qf!ling in3trltcllons.)~ NO N E (No reportable income, assets, or transactions............... A. .... ~ ~. C, " .......b~ ..........D e s c r i p t io n o f A s s e t s [ I n c o m e d u r i n g G ro s s v a l u e a t e n d T ~ a n s a c t io n s d u r i n g r c p t ~ r t in g p c r i ~(including trust ~sets) l, reporting peri~ of re~qting ~riod

, (11 (2) (I) ~ (2) (I) (2) (3) {4) , (~ )P l a c e " ( X ) " a f t e r e a c h a s s c l A m o u n t 7~(e.g., V a l o e i Value T S ? { e g . , l ) a ~ e V a l u e Gain I ] d c m i t y o fC~e lc x c m p ~ f r o m p r i o r d i s c lo s u r e d i v . , r e n t , C o d e 2 Mcth~ b u y , s e l l , mm/d&~ C o d e 2 (k~e ] b u y ~ w ! s e l l e r[ (A - H ) o r i n t . ) O P ~ ] Code3 r e d e m p t i o n ) 0 - P ) (A-II) [ ( i f p , i v a t e

~ 5 2 . Gabclli Equily Trust A Dividend Sold 5:07/09 J C5 3 . Maine Municipal Assoc. B Interest M ]5 4 . 1.oomis Sayles ,Strategic Income FD A Dividend L T5 5 . Millea Holdings Inc. A Di;idend J T5 6 . Tele None Leste Particicopacoes SA A Dividend l T5 7 . Teppan Priming Ltd A Dividend .1 T5 8 . Royce Microcap A Dividend J T

5 9 . DavisNew York V exiture Fund A Dividend J T6 0 . Ivy Cundill Global V alue Fund A Dividend J T6 1 . koomis Sayles Sitar, Income Fund A Dividend J T6 2 . First Eaglc A Dividend J T6 3 . 1",? Global Nat. Rcsuurces Fund A Dividend J T

6 4 . J. Sainsbury PLC A Dividend J T6 5 . Fair~hx Fml IIGG Ltd A Dividend J T Sold 6/01/09( p a r t , }6 6 , Eagle Bolk Shipping A Dividend J T6 7 . Ycllow Pages Income Fund A Dividend J T B uy 5/07/096 8 . Provident A Dividend J Tnergy ]rust


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Name of Person Repor~i,g IFINANCIAL DISCLOSURE REPORT I CAR]ER, GENE DateofReportPage 8 of 10V I I . INVESTMENTS and T R U S T S - i , . . . . . . . ,o~u,, tra ..... tions a,ctt, aes those of ~v ........ a dependent children; ,et PP. 34-60 o[]illng in~tru,tSons.)

N O N E (Aro reportable income, assets, or transactions.)

D e s c r i p t i o n t ~ f A s s e t s ~ h~come during ~ G r o s s v a l u e a t e n d ] D.( i n c l u d i n g I t ~ s t a s s e l s ) ~ re~rting ~riod ~ o f r e p o r t i n g ~ r i o d Trar~sactions during reporting period .....

< i f p r i v a t e;(A-t0 / or int.) : ( J - P ) C t ~ l e 3 ] r c d e m p t i o , 0I (J-P

!,X- } borer/seller

6 9 . Penn West Encr~ Tn~st A Dividend J T7 0 . Kinder Morgan Energy A Dividend J T7 1 . Ene~lus Resources Fund A Dividend ~ T

[ 7 2 . N0vecn Muni Valoe Fund C Dividend K T7 3 . U.S+ TSY INFL Prot E I n t e r e s t M T B uy 5]07/09 M7 4 . Vermillion Energy TR II Dividend J T B uy 3/05]09 J

7 5 . Proctor & Gable B Dividend J T B uy 3/05/097 6 . Plizer Co. B Dividend J T B uy 3 ] 0 5 . : 0 9 J

7 7 . Johnson & Johnson Co. B Dividend J T B uy 3/05]09 J7 8 . Ge~. Electric Co. B Dividend J T Bu y 3/05/09 J7 9 . Coca Cola Co. B Dividend J T B uy 3/05]09 J8 0 . Ctm. Edison Co. (Hldg. Co.) B Dividend J T B uy 3/05]09

8 1 . Duke Energy H dg. Co. B Dividend J T B uy 3/05/098 2 . V crizon Comm. Inc. B Dividend J T B uy 5/07;09


9/10

F I N A N C I A L D I S C L O S U R E R E P O R T N .... f P e r s o n R e p o r t i n g I DateofReportPage 9 of 1 0 CARTER, GENE

I0 6 / 0 1 / 2 0 1 0

VIII. ADDI TIONAL INFORM ATION OR EXPLANATIONS. a~aic~,epa, oIR~vo,)

Effective June 30, 2009 my broker changed his affiliation from L1BS Financial Services, Inc. to Morgan Stanly, Smilh Barney. and my porlfolio with UBS wascotirely transferred to new accounts within Morgan 5tanly , Srnilh Barney ,~h ere it is today. That transl~r bad no effect on the value of any of the ilems in m yportfolio.


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F I N A N C I A L D I S C L O S U R E R E P O R T N .... fPerson Reporl ing Dale of Reporto6,o ~ :2 o ~ oage 10 of I 0 ] C A n r E R . C , ~ :N E

I X . C E R T I F I C A TI O N .I certify that nil information given ab ove (including information pertaiuing to my spouse and minor or depend ent cldldrcn, if any) isaccurate, true, and complete to the best of my knowledge and belief, and thal any informatiou uol reported was withheld because it reel applicable sta|u|oryprovisions permitting non-dlsclosure. "I further certify that earned income frnm outside employment and honoraria and the acceptance of gifts which have hcen reported are incompliance w ith the provisions o f 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353. and Jud icial Conference regulations.

S it

NOTE: ANY INDIVIDUAL WHO KNO\VINGLY AND WII.FULIA" FALSIFIES OR FAILS TO FILE TillS REPORT MA~" lie SUBJECT TO CIVILAND CRIMINAL SANCTIONS !5 U.S.C. app. 1114)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial Disc!osureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Gene Carter Financial Disclosure Report for 2009