Robert B King Financial Disclosure Report for 2010

8/3/2019 Robert B King Financial Disclosure Report for 2010

1/8

Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of1978(5 U.S.C. app..~.~," 101-111)

1 . Person R eport ing (last name, f i rst , middle ini t ia l )King , Rober t B .

4. Title (Ar tic le 111 judges ind ica te ac tive or sen ior s ta tus ;magist rate judges indicate fu l l - or par t - t ime)

U. S. C i r cu i t Judge - Ac t ive

7 . C ha m b e r s o r Of f i ce A d d r e s s300 Virg in ia St r eet , Eas tSuite 7602Char les to n , W V 253 0 1

2. Court or Organizat ionU.S. Court of Appeals , 4 th Circuit

5a . Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final

[ 5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Rep or t and anymodif ica tions per ta in ing thereto , i t is , in my opin ion , in compliancewith appl icable laws and regulat ions .

R ev iew in g O ffice r D ate

3. D a t e o f R e p o r t05/03/2011

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followet Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~ NONE(No reportableposi t ions.)

I. Vice Chai rman , Board o f D ir ec to r s2.3.

4.5.

P O S I T I O N NAME OF ORGANIZATION/ENTITYWVU Col lege of Law Alumni A ssoc iation

I I . A G R E E M E N T S . m e p o r t in g i n d i v id u u l o n l y ; s e ~ p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPOR TPage 2 of 8

N a m e o f P e r so n R e p o r t i n gKing, Robert B.

D a t e o f R e p o r t05/03/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( ~ e ~ , o ,~ i n g i n d i v i d u a l a n d s p o u s e ; ~ e e p p . t 7 - 2 4 o f ~ l l, g instructions.)A. Filers Non-Investment Incom e

~ (No reportable non-investment income.)O N EDATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s )

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 - l f you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

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

|.

2.

3.

4.

I V . R E I M B U R S E M E N T S - t ransportat ion , lodging, food, entertainment.(Includes those to spouse a nd dependent children; see pp. 25-27 of filing instructions.)

~ N O N E (No reportable reimbursem ents.)

2.3.

4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 8


D a t e o f R e p o r t05/03 /201 I

V . G I F T S . a , c l ,d e s t h o s e t o s p o , s e a , d ~ e p e , d e , t children; see p p . 2 8 - 3 1 of filing instructions.)~] N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o , ~ s p o u s e a n ~ ~ e ~ e n d e n , children; see pp. 3 2 - 3 3 of Jqling instructions.)~-] (No reportable l iabili t ies.)ONE

3.4.5.

CREDITORFranklin American M tg. Corp.(assigned from United Bank )

DESCRIPTIONReal Estate Loan residential property in Lewisb urg, W V

VALUECODEN


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N a m e o f P e rs o n R e p o r t i n gKing, Robert B.

D a t e o f R e p o r t05/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D N O N E ( N o reportable income, assets, or transactions.)

A. B. C.Descr ip tion of Asse ts Incom e d u ring Gross va lue at end( inc luding trust asse ts ) report ing per iod of report ing per iod

(1) (2) (t) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g ., V a l u e V a l u e

e x e m p t f r o m p r i o r d i sc l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M et h o d( A - H ) o r in t.) ( J- P ) C o d e 3( Q - W )1 . TimeWam er Inc. (comm on)2. Cisco Systems Inc. (common)3. Proctor & Gam ble Co. (common)4. Intel Corp. (comm on)

5. M icrosoft Corp. (comm on)

6. RF Micro Devices Inc. (commo n)7. Sun M icro Systems Inc. (comm on)

8. M organ Stanley Co. (common)

9. Starbuck s Corp. (comm on)

1 0 . Legg Mason Clearbridge Appreciation FundClass C *See note*1 1 . Legg Mason Special Investment Trust

1 2 . LeggMason V alue Trust1 3 . Legg Mason Growth Trust

1 4 . LeggMason Am erican Leading Companies1 5 . Legg Mason Emerging Markets Trust

1 6 . Legg Mason International Equity Trust

1 7 . Legg Mason Small- Cap V alue Trust

B Dividend L TNone K T

C Dividend L TC Dividend L TB Dividend L T

None K TNone

B Dividend L TA Dividend K TA D i s t r i b u t i o n K T

None K TNone K TNone K TNone J TNone K T

A D i s t r i b u t i o n K TNone J T

Transact ions during report ing per i od

(1 ) (2) (3)T y p e ( e . g . , D a t e V a l u e

buy, sell, mm/dd/yy Code 2r e d e m p t i o n ) (J-P)

S o l d 06/24/10 J( p a~)S o l d ll/01/10 J( p a~)

(4 ) (5 )G a i n I d e n t i t y o f

C o d e I b u y e r / s e l l e r(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

AA

S o l d 01/20/10 K A

1. I n c o m e G a i n C o d e s : A = $ 1.000 or le ss B = $ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15.000(See Columns BI and 134) F -$50,001 - $1~0,000 G = $100,001 - $1,000,000 H I = $1 .0 00 ,~ 01 - $ 5, ~0 0, 00 0 H 2 = M or e t ha n2 . V z l u c C o d e s J =$15,000 or less K = $15,001 - $50.000 L = $50.001 - $ 1 00,000 M = $ 100,001 - $250,000(See Columns CI and D 3 ) N =$ 250,001 - $500,000 O -$500.00I - $1 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 -$ 25,000,001 - $ 50,000,000 P 4 =More than $50.000,0003. Value M ethod Codes Q = A p p r a i sa l R Cost (Rcal Estate O n l y ) S =A ssessmen t T Cash Market(See Column C2 ) U =Book V alue V =Other W =Estimated

E =$15.001 - $50,000


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D a t e o f R e p o r t05/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t ,e , t ra n s a c t i o n s a n e t ~ , te s t h o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)[~ N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n of Assets Incom e d u r i n g( inc luding trust asse ts ) report ing per iod

0) (2)P l a c e " ( X ) " a l t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f r o m p r i o r d i sc l o s u r e C o d e 1 d i v . , r e n t ,

( A - H ) or int . )

Legg Mason Clearbridge Aggressive A D i s t r i b u t i o nGrowth Fund *See note*Legg Mason Opportunity Trust NoneLegg Mason Clearbridge Fund amental A D i s t r i b u t i o nValue Fund *See note*Royce Pennsylvania Mu tual Fund A D i s t r i b u t i o nRoyceTotal Return Fund A D i s t r i b u t i o nRoyce Trustshares Fund A D i s t r i b u t i o nDell Compu ter Corp. (comm on) NoneE.1. DuPont De Nemours & Co. (common) A DividendM ineral interests, Tyler County, W V Seebelow a, b, e , d, e

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .30 .31 .32 .33:34.

a. East Resources Inc.b. Ergon Oil Purchasing

c. Consol Gas Co., successor Dom inionAppalach ian Dev. Inc.d. BD Oil Gathering Corp.e. Texas Keystone, Inc.M ineral Interests, Doddridge County, W VM ineral Interests, Wetzel County, W VTime W arner Cable Inc. (common)

G r o s s va lu e a t endof report ing per iod(1) (2)

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3(Q-W)

K T

J TK TJ TJ TJ TJ TJ T

B

A

A

A

A

Royal ty J WRoyal ty J WRoyal ty J WRoyal ty J WRoyal ty J W

N o n e J WN o n e 3 W

Dividend K T

Transac t ions dur ing report ing per iod

(l ) (2) (3)T y p e ( e . g ., D a t e V a l u ebu y , s e ll , m m /d d /y y C o d e 2

r e d e m p t i o n ) (J-P)

(4 ) (5 )G a i n I d e n t i t y o f

Code 1 b u y e r / s e l l e r(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

1. I n c o m e G a i n Codes : A = $1,000 o r less B = $1 ,001 - $ 2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B 1 and D 4 ) F =$50,001 - $100,000 G =$ 100,001 - $ 1,000,000 H 1 =$1,000,001 - $5,000,000 H 2 =More than $5,000,0002 . Va lu e Co d c s J =$15,000 or less K =$15,001 - $ 50,000 L =$50.001 - $1 00,000 M =$1 00,001 - $250,000

(See Co lu m n s CI a n d D3) N =$250,001 - $ 500,000 O = $500,001 - $1,000,000 PI =St,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P 3 - $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 1 ) 0 0 , 1 N ) 0 P4 More than $50,000,0003. Value Mcthod Codes Q =A ppr a i s a l R =Cos t (Real Estate Only) S = As s e s s m e n t T =Cash Market

(See Column C2) U = Bo o k Va lu e V =Other W =Estimated

E =$15,001 - $50,000


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D a t e o f R e p o r t05/03/201 I

V I I . I N V E S T M E N T S a nd T R U S T S ~inc~me~valu~transacti~nsan~lude~h~se~fsp~useanddependentchildr~n;seepp~34~6~f~lingins~ructi~ns~)~] N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s In c o m e d u r in g G ro ss v a lu e a t e n d

( in c lu d in g tr u s t a s s e ts ) r e p o rt in g p e r io d o f r e p o r t i n g p e r i o d(1) (2) (1 ) (2)

Place "(X)" after each asset Amount Type (e.g., V a l u e Valueexempt from prior disclosure Code l d iv . , r en t , C o d e 2 M e th o d

( A - H ) o r in t.) ( J- P ) Code 3(Q-W)

35 . X C E L E n e r g y I n c . ( c o m m o n )36. Appl ied Mater ia l s Inc . ( common)37 . A T & T I n c . ( co m m o n )38 . A T & T I n c . ( co m m o n )39 . C h e s a p e a k e E n e r g y C o r p . ( c o m m o n )40 . Br is to l Myer s Squibb ( common)41 . A 1 2 3 S y s t e m s I n c . ( co m m o n )42 . A O L I n c . (c o m m o n )

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

None

None

J TJ T

J TJ TJ T

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 i o d

(l ) (2) (3)Type (e.g., D a t e V a l u ebuy, se l l , m m / d d / y y C o d e 2

r e d e m p t i o n ) (J-P)

S o l d 04/14/10 J

Sold 04/14/10 J

S o l d I 1/08/10 J

G a i n I d e n t i t y o fC o d e 1 bu y e r/s e l le r( A - H ) ( i f pr i vat e

t r ansac t i on)

A

A

A

1 . In com e G ain Cod es: A = $1,000 o r less B = $1,001 - $ 2,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000( Se e C ol um ns B 1 an d D 4) F =$ 50,001 - $ 100, 000 G = $100,001 - $ 1,000,000 H 1 -$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value Codes J $15 , 000 or l ess K = $1 5,001 - $ 50.000 L = $50,001 - $1 00,000 M = $1 00,001 - $250,000(See Co lumns CI and D 3 ) N -$ 250,001 - $500,000 O -$ 500,001 - $ 1,000,000 P I = $1 ,000,001 - $ 5,000,000 P2 = $5,000,001 - $25,000,000

P3 -$25,000,001 - $50.000,000 P 4 = M o re than $ 50,000,0003. Value Method Codes Q =A ppr a i s a l R Cos t (R ea l E s ta te On ly) S =Asscssrnent T = Ca s h Ma rk e t( S e e C o l u m n C 2 ) U = Bo o k Va lu e V -Ot her W ~ Es t im a te d

E =$15,001 - $50,000


7/8


N a m e o f P e r so n R e p o r t i n gK i n g , R o b e r t B .

D a l e of Repor l05/03/201 I

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. a.~icate~,art o.rrepo..~F o r i n v e s t m e n t s o n l i n e s 1 0 , 1 8 , a n d 2 0 , p l e a s e n o t e t ha t t h e L e g g M a s o n P a r t n e r s f u n d s a r e n o w k n o w n a s t h e L e g g M a s o n C l e a r b r id g e f u n d s . T h i s n a m e c h a n g eoccur r ed in 2010.


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FINANCIAL DISCLOSURE REPORTP a g e 8 o f 8

Name of Per son Repor tingK i n g , R o b e r t B .

Date of Report05/03/201 I

IX . CERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .! f u r t h e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Robert B. King

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W 1 L F U L L Y F A L S I F IE S O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J E CI " T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f ic e o f t h e Un i t e d S t a t e s C ou r t sSu i t e 2-301O ne C o l u m b u s C i r c l e , N . E .Wa s h i n g t o n , D . C . 205 4 4

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Robert B King Financial Disclosure Report for 2010