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Karen L Henderson Financial Disclosure Report For 2010
Karen L Henderson Financial Disclosure Report For 2010
1/2011
Report Required by the Ethics in Government Act ofl978 (5 U.S. C. app. ,~~ I01-I11)
I. Person Reporting (last name, first, middle initial) Henderson, Karen L. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it Is, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NO TES: The 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.
2. 3. 4. 5.
Henderson, Karen L.
II1. NON-INVESTMENT INCOME. tRepo.i.g individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income ~] NONE reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-lnvestment Income - If you were married during any por~ion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~]
I. 2. 3. 4.
~]
2. 3. 4. 5.
V. GIFTS. andude~ thn~e to ~,nu~e and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable g~s.) SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes,ho~e o/~pou~e a.d depe.de.t children; see pp. 32-33 offiling instructions.) NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - inco,,,. ,.alue. tra,~action$ ancluae$ those or ,po~e and depend,,t children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period C. Gross value at end of reporting period D. Transactions during reporting period
O)
Amount Code I (A-H)
{2)
Type (e.g.,
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3
(I)
Type (e.g.,
(2)
Date
(3) ]
(4)
Identily of buyer/seller (if private ~ransaetion)
div., rent,
or int.)
buy, sell,
redemption)
mm/dd/yy
(Q-W)
I.
2.
A
A
Interest
Interest
J
J
T
T
Suntrust Bank Investment Account Allis Chalmers Energy Inc.: Common Citigroup Account Contains: **Smith Barney Cash Accounts **AT&T Inc.: Common **Alcatel-Lucent: Common **NCR Corp: Common **Teradata Corp: Common **LSI Corporation: Common **International Business Machines: Common IRA CD: Wachovia Bank IRA: Citigroup Contains: **AT&T Inc.: Common **Citigroup Inc.: Common **Alcatel-Lucent: Common
Dividend None
M J
T W
A B
K K J J J J J J
T T T T T T T T
A A
Dividend Interest
L J J
T T T
1. Income Gain Codes: {See Columns B I and [M) 2. Value Codes ISeeColumnsCI and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50.001 . $100.000 J =$15,000 or less N-$250.001 - $500.0~) P3 =$25.000.001 - $50.000.000 Q = Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.001 - $1.0~0.000 K =$15.001 - $50.000 O $500.001 - $1,000.000 R =Cost (Real Estate Only) V -Other
C =$2,501 - $5,D00 HI =$1,000,001 - $5.000,000 L $50,001 - $100.000 PI =$1.000.001 -$5,000.000 P4 =More than $50,000,000 S =A sgrssment W =Estimated
D =$5.001 - $15,000 H2 =More than $5.00.000 M -$100,001 - $250.000 p2 =$5,000,001 . $25,000.000 T =Cash Market
E =$15,1)01 - $50,000
VII. INVESTMENTS and TRUSTS -income, ealue, transactions (lncludes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period O) (2)
Value Value
(2)
Date
(3)
Value
(4)
Gain Identity of
Code 2
(J-P)
Code I (A-H)
18.
L J J L J J
19. **NCR Corp.: Common 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. **Teradata Corp:Common **Citigroup Cash Accounts **LSI Corporation: Common **Travelers Companies: Common Merrill Lynch Account Contains: **Federal Signal Corp.: Common **Schlumberger Ltd: Common **CD:CapitaIOne Bank **CD: Capital One NA McLean **CD: Bank of America **CD: Firstbank of PR **Arizona Sch Facs BRD 5.0% **Georgia State 5.0% **Georgia State 5.0% **Charlotte NC CTFS 4.0% B C B B A A A A A C A A
T T T T
Dividend Dividend Interest Interest Interest Interest Interest Interest Interest Interest
K N
T T
J J L L L
Redeemed 11/08/I 0 L K K J M
T T T
I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes {Scc Colunm C2}
A =$ 1,000 or less F =$50,001 - $100.009 J =$15.000 or less N =$250.0~1 - $500.000 P3 =$25.000.091 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.0Ol - $1,00O,000 K =$15,001 - $50.000 O -$50~.001 - $1,000.000 R =Cost (Real Eslale Only) V -Other
C =$2.501 - $5,000 HI =$l,000,00l - $5,00.009 L =$50.~OI - $100,090 PI -$1.000.001 - $5,090,000 P4 -More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5,000,000 M ~$100.001 - $250.000 P2 =$5,0~0,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - incomo, ,blUe, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE
Description of Assets
(including trust assets) Place "(X)" after each asset exempl from prior disclosure
or int.)
C. Gross value at end of reporting period (i) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) L L T T
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
**New Jersey Econ Dev 5.0% **New Jersey Econ Dev 5.0% **Berkeley Cnty SC Sch Dist. 5.75% **Laurens Co SC Wtrswr 3.4% **SCTransn Infrastr Rev 5.0% **SC Jobs-EDA Hsp Fcs 5.0/o **Beaufort Cnty SC OlD 2.875% **South Carolina St Hwy 5.0% **South Carolina St Hwy 5.0% **South Carolina Transn Infra Ser 5.1%o **California ST Economic 5.75% **Clemson University, SC4.0% **New York, NYC Tran Fin 5.5% **New York, NY 6.0% **Florida St DeptTransn 5.0%. **South Dakota St Bldg 5.0% **Halliburton Co.: Common
B B B A C A B B B C B B B B C B A
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend
Redeemed 01/15/10 K T Redeemed Redeemed L L L L T T T T Redeemed Redeemed Redeemed Redeemed Redeemed Redeemed K T 01/04/10. 05/03/I 0 05/03/I 0 05/17/10 07/01/10 12/01/10
10/01/10 L 11/01/10 J
K L L L L K
I. Income Gain Codes: (See Columns B I and [M) 2. Value Codes (see Columns CI and D3) 3. Value Method Codes (see Column C2)
A =$1,000 or Icss F = $50.001 - $ 100.000 J =$15.000 or less N =$250.001 -$500.000 P3 =$25.000.001 - $50.000.000 O ~Appraisal U =Book Value
B =$1.001 - $2,500 G =$100.001 - $ 1.000.000 K =$15.001 - $50.000 O $500.001 -$1.0430.000 R =Cost {Real Estate Only} V -Other
C =$2,501 - $5,000 H I =$1.000.001 - $5.0~.000 L -$50.001 - $100,000 PI =$1.000.1)4)1 - $5.000.000 P4 -More than $50,000.000 S =Assessment W =Estimated
D =$5,1)01 - $15.000 H2 =More than $5,000.000 M =$100,001 - $250.000 P2 =$5,000.001 - $25,000.000 T =Cash Market
E =$15.001 -
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (1) (2) Value Value
Code 2 (J-P) Method Code 3
(Q-W) 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. **Transocean Inc.: Common **Merrill Lynch Cash AccounLs **Delhaize Group Spons Adr: Common **El Paso Corporation: Common **Valhi Inc.: Common **Titanium Metals Corp. **DirecTV Group Inc.: Common **NewsCorp Ltd: Common **Allstate Corp: Common **Morgan Stanley: Common **Discover Financial Services: Common **Chevron Corp:Common **Marathon Oil Corp: Common **Royal Dutch Shell PLC Merrill Lynch IRA Contains: **AT&T, Inc.: Common **AlcateI-Lucent: Common A Dividend
None
None A A A A Interest Dividend Dividend Dividend None None A A A A C B E Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L N J K J J J
J
T T T T T
T T T T T T
J J M L O
T T
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (S~c Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1 K =$15,001 - $50,000 O =$500,001 - $1,00~,0~0 R =Cosl (Real Estale Only) V -Other
C =$2,501 - $5,000 H I =$1.000,001 - $5,0~1,000 L =$50,001 - $100,000 PI =$1.000,001 - $5,000,0~0 P4 -More than $50,000.00~ S =Assessment W =Estimated
D =S5,001 - $15,000 H2 =More than $5.000.0OO M =$100,001 - $250,000 P2 =$5,0(KI,0~1 - $25,000.000 T =Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) T T T Typ~ (e.g., buy, sell, redemption)
Transactions during reporting period
(2)
Date mm/dd!yy
(3)
Value Code 2 (J-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
69.
J M J
71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
**Merrill Lynch Cash Accounts Wells Fargo Rollover IRA Contains: **Wells Fargo PT Money Market Fund **United States Treasury Bills Due 06/30/201 I **United States Treasury Bills Due 12/31/2010
Interest None
J PI
Interest
**United States Treasury Bills Due 07/01/1( Stanley Black & Decker Corp.: Common Bank America Corp.: Common The Boeing Co.: Common Campbell Soup Co.: Common Colgate-Palmolive Co.: Common Genereal Electric Co.: Common The Goodyear Tire & Rubber Co.:Common IBM Corp.: Common
B A B D D E E
Redeemed
Dividend
I. Income Gain Codes: (See Columns B I and D4) 2. Value Code~ (See Columns CI and D3) 3. Value Method Codes (S~ Column C2)
A =$1,000 or less F =$50.001 - $100.00~ J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000.0~1 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.0Ol - $1.000.000 K =$15.0~ I - $50.000 O =$500,001 - $1,000.000 R =Cosl (Real Estate Only) V =Olhcr
C =$2,501 - $5,000 HI =$1.000,001 - $5.000.000 L =$50,001 - $ 100.090 PI =$1.000.001 - $5,000.0~0 P4 -More than $50.000,0~0 S =Asscssmcnl W =Eslimalod
D =$5.091 - $15,000 H2 =~dore than $5.000.000 I,,t -$ 100.001 - $250,00~ P2 =$5.0~0.001 - $~5.0~0.000 1 =Cash Market
E =$ 15.001 - $50,0~O
VII. INVESTMENTS and TRUSTS - i.co..e, ,alae, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(t)
Amount Code I (A-H)
(2)
Type (e.g., div.. rent, or int.)
0)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W) Typ~ (e.g., buy, sell, redemption)
(2)
(3)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
Exxon-MobiI Corp.: Common El Paso Energy: Common PfizerCo.: Common Solutialne.: Common
D A D
N L M
T T T T
90.
C C
D E A B A A A B A A B
Dividend Dividend
Dividend Dividend Dividend Rent Interest Interest Interest Interest Interest Interest Interest
M L M L J .I L L K L K K L
T T T T T W T T T T T T T
I01. CD: South Carolina Bank & Trust 102. CD: First Citizens Bank
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes (S~e Column C2)
=$1,000 or less =$50,001 - $100,000 =$15.000 or less $250.001 - $500,000 P3 =$25,000,001 - $50.000.000 =Appraisal =Book Value
B =$1.001 - $2.500 G =$100.001 - $1.0~).00~ K =$15,001 - $50,000 O =$51KI.001 - $ 1,000.000 R -Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$ 1,000.001 - $5,000,0OO L =$50.001 - $I00,0OO Pl =$1,0~0.001 - $5,0~,0~0 P4 -More Ihan S =As~ssmcnl W =Estimated
D =$5.001 - $15,00~ H2 =More than =$ 100,001 - $250,000 P2 -$5,000,0~ I - $25,000,000 =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - inco,.e, ,.alu., trun$action, a.ctude~ those of ~pou~e and dependent children; ~ee pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporling period (I) (2) Value Value Method Code 2 (J-p) Code 3 (Q-W) L
L
A
B
Interest
Dividend
T
T
105. John Hancock Life Insurance Policy 106. Merrill Lynch SEP Contains: 107. **Merrill Lynch SEP Cash Accounts 108. **Chevron Corp: Common 109. **American Growth Fund of America 110. **American Euro Pacific Growth Fund I I I. **Thomburg International Value Fund 112. Wells Fargo Bank Trust Contains: 113. **Artio lntl Equity Fund 114. **Dodge & Cox International Stock Fund 115. **Evergreen Equity Tr Intrinsic Value Fund 116. **Wells Fargo Advanced Intrinsic Value Fund 117. **Golden Large Core Value Fund 118. **Goldman Sachs Growth Opportunity Fund 119. **Goldman Sachs Large Cap Value Fund
Dividend
A D A A A
J M K K M
A A
A A
I. Income Gain Codes: (See Columns BI and 194) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes {See Column C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15.000 or less N =$250.0OI - $500.000 P3 =525.000.0OI - S50.000.000 Q =Appraisal U =Book Value
B =$1,001 - 52,500 G =$100.001 - $1,000.000 K = $15.001 - $50.000 O -$500,001 - $1,0OO,000 R =Co,t {Real Estate Only) V =Other
C =$2,501 - $5,000 HI =51,000,001 - $5.000,000 L =$50,001 - $ 100.000 PI =$1,000,0~l - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than 55,000.000 M =5100,001 - $250.0OO P2 =$5,000.001 - $25,000,000 T -Cash Markel
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~)
---] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place"(X)" after each asset Income during reporting period Gross value at end of reporting period Transactions during reporting period
(I)
Amount
(2)
Type (e.g.,
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(1)
Type (e.g., buy, sell, redemption)
(2)
Date
(3)
Value
(4)
Gain Code I (A-H) Identlty of buyer/seller (if private transaction)
Code I
(A-H)
div., rent,
or inL)
120, **ING International Real Estate Unit 121. **Janus Advisor Perkins Mid Cap Fund
Dividend
None
J
Sold 12/20/10 J
c J J J J J J C B A
122. **Royce Value Plus Fund 123. **SSGA Emerging Markets Fund 124, ** Wells Fargo Advantage Endeavor Select Fund 125. **Nuveen Limited Term Muni Fund 126. **Vanguard Intermediate-Term Tax-Exempt Fund 127, **Golden Small Core Value 128. **Pimco Commodity Real Return Strategy Fund 129, **Rowe T. Price Real Estate Fund 130. 131. **Evergreen International Bond Fund 132. ** Wells Fargo Advantage International Bond Fund 133. **Nuveen Funds High Yield Muni Fund 134. **Pimco Emerging Markets Bond Fund 135. **Pimco Foreign Bond Fund 136. **Evergreen Intermediate Municipal Bond Fund
Dividend
Sold J
J
12/20/10
Dividend None
T T T T
A A
J K
A A
Dividend Dividend
Sold
01/05110 12/20/10
J J
(part)
Sold
A A A A A
Sold (part)
12/20/10
Buy (addl)
01/05/10
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes IScc Column C2)
A =$1.000 or less F =$50,001 J =$15.000 or less N -$250.001 - $500,0~0 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 K -$15.001 - $50.000 O =$500,001 - $1,000,000 R -Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 L =$50.1)01 - $100.000 PI =$1,000,001 - $5,000,0~0 P4 -More than $50,000,000 S =Assessment W =Eslimatcd
=$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25.000.000 =Cash Market
E =$15,001 - $50.000
(5)
Identity of
Code 2
(J-P)
Method
Code 3
redemption)
137. 138. **Wells Fargo Advanced Intermediate Tax Free Fund 139. **Dreyfus Tax Exempt Cash Management Fund 140. **Dreyfus Emerging Markets Debt Fund 141. **JP Morgan Mid Cap Value Fund 142. **Keeley Small Cap Value Fund 143. **Vanguard Emerging Markets ETF Fund 144. **Vanguard REIT Viper Fund 145. **TCW Small Cap Growth Fund 146. Wells Fargo Brokerage Account Contains: 147. **US Treasury Bill Due 09/16/10 148. 149. **US Treasury Bill Due 03/18/10 150. **US Treasury Bill Due 03/17/I 1 Interest None PI B Interest A A A A A A Dividend Interest Dividend Dividend None Dividend Dividend None K J J J J J J J T T T T T T T T
1. Income Gain Codes: (See Columns B I and 134) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,0~1 - 52,500 G =$10~,0~1 - $1,1~0,0~ K :$15,0~ I - $50,000 O =$50~,001 - $1,000,00~ R =Cost (Real Estate Only) V
C =$2,501 - $5,000 H 1 =51,1~0,001 - $5,000,000 L =$50,001 - $100.000 P I =51,000,001 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5.000.000 M =$ 100,001 - 5250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15,001- $50,000
IX. CERTIFICATION.
I 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.
I 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 Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544