Charles Ashley Royal Financial Disclosure Report for 2010

8/3/2019 Charles Ashley Royal Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S .C. app . 101-111)

1. Person R eport ing (las t name, f i rs t , middle ini t ia l)Roya l , C har le s A .

4. Tit le (Ar t ic le I I I judges indica te ac t ive or senior s ta tus ;magi s W ate judges i ndi cat e f u l l - or par t - t ime)

2. Court or Organizat ionU .S. M iddle D is t r ic t - G eor g ia

5a . Repor t T ype (check appropr ia te type )] N o m in a t i o n , D a t e

U .S , D i s t r i c t J u d g e - A c t i v e

7 . C h a m l ~ r s o r O f f i c e A d d r e s sU . S . C our thous e47 5 M ulbe r r y S t r ee tM a c o n , G A 3 1 2 0 2

[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is of the informat ion conta ined in th is Repor t and anymodi f ica t ions pe r ta in ing the re to , i t i s , in my op in ion , in com pl iancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i ce r D ate

3. Date of Repor t05/09/2011

6 . Repor t ing Per iod01 / 01 / 201 0

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form m ust be followed. Com plete afl parts,checking the NONE box for each part where you h ave no reportable information. S ign on las t pag~

I . P O S I T I O N S . ~ R e ~ , o m , , ~ ~ , , a i v i a , , , ,t o , l y ~ s , , ~ , ~ , . 9 - 1 3 of filing instructions.)D NONE(No reportableposi t ions.)POSITION

1 . E x e cu to r Esta te #12.3.

4.5.

N A M E O F O R G A N I Z A T I O N / E N T IT Y

I I . A G R E E M E N T S . m e ~ , o , ~ n g ~ n a i v i a , a t o , t y ; s e ~ ~ , ~ , . t4-t6 of fillng lnstructlons.)[-~ 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 REPORTPage 2 of 12

N a m e o f P e r so n R e p o r t i n gRoyal, Charles A.

D a t e o f R e p o r t05/09/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ~Repo,~ng i ,~ivid.ai andspo.se: see pp. 17-24A. Fliers Non-Investment IncomeD (No reportable income.)ONE non- inves tmen t

DATE SOURCE AND TYPE INCOME(yours, not spouses)

1 . Spr ing 10 M er c e r U nive r s i ty Sc hool o f L aw $ 2,000.002 . 2 0 1 0 W es t Se r v ic es , Inc . ( Book r oya l t i e s ) $ 2 ,7 07 .673.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f y o a were married daring a ny port ion of the report ing year , comp lete this sect ion.(Dollar a mount not required except for honoraria.)

N O N E ( N o r e por t ab le n o n - i n v e st m e n t i n c om e . )

1 . 201 0

2 . 2 0 1 03.

4.

DATE S O U R C E A N D TYPEF i r s t P r e s by t e r i an D ay S c ho o l - M a t h Teac he r

C o v e n a n t A c a d e m y - M a t h T e a c h e r

I V . R E I M B U R S E M E N T S - t ranspor ta t ion, l odg i ng , f ood , entertainment.(Includes those to spouse and dependent children; see pp. 25-27 off!ling instruciions.)

~] (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE D A T E S _ LOCATION PURPOSE ITEMS PAID OR PROVIDED


3/12

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 2

N a me o f Pe r s o n R e p o r t i n gR o y a l , C h a r l e s A .

Date of Report05/09/2011

V . G I F T S . a n c l u d ~ t h o s e t o s p o , ~ e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.

5.

VALUE

V I . L I A B I L I T I ES . a n c l u d e s t h o s e o I ~ p o n s e a n d d e p e n d e n t children; see pp. 3 2 - 3 3 of fillng instructions.)N O N E ( N o reportable liabilities.)

C R E D I T O R D E S C R I P T I O N1 .2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPOR TPage 4 of 12

N a m e o f P e r s o n R e p o r t in gR o y a l , C h a r l e s A .

Date of R e p o r t05 /09/2011

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 o l u e , ~ u , ~ a c a o ~ s a n c l ~ d ~ , h o s e o / sp o u s e a .a depen den t ch i l d ren ; see p p . 3 4 - 6 0 of filing instructionsON O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s 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( i n c l u d i n g l a u s t a s s e t s )

P l a c e " ( X ) R a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n g G r o s s v a l u e a t e n dr e po rt i n g p er i o d o f r e po rt i n g p er i o d(l) (2) (l) (2) O) (2) (3) (4) ( ~ )A m o u nt T y p e ( e. g ., V alue V alue T y p e ( e . g ., D a t e V al ue G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d k ~ y C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 g d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 . N or thw es te r n M utua l L i f e A Di v i d en d2. S u n T r u s t R e t ir e m e n t R e s e r v e F u n d A Int . /Div .3. M etaM or phix , Inc . N o n e4. P olyw ad, Inc . N o n e5. SunT r us t A c c ount # 3 A Interes t6. SunT r us t A c c ount # 4 A Interes t7. SunT r us t A c c ount # 7 A Interes t8. SunT r us t A c c ount # 9 N o n e9. E d w a r d J o n e s M o n e y M a r k e t F u n d A D i v i d e n d1 0 . Esta te #1 N o n e1 1 . IS h ar es , In c . - M S CI B r az i l B D i v i d e n d1 2 . A m e r i c a n B a la n c e d F u n d A D i v i d e n d1 3 . C a p i t a l I n c o m e B u i l d e r F u n d A D i v i d e n d1 4 . C a p i t a l W o r l d G r o w th & I n c o m e F u n d A Di v i d en d1 5 . F u n d a m e n t a l I n v e s t o r s F u n d A Di v i d en d1 6 . G r o w t h F u n d o f A m e r i ca A D i v i d e n d1 7 . I n c o m e F u n d o f A m e r i c a A Di v i d en d

L TN TJ TJ TJ TJ TJ TJ TJ TJ TK TJ TJ TJ TJ TJ TJ T

2 . Va l u e Co d es J = $1 5 ,000 o r le s s K ~ $1 5 ,001 - $5 0,000 L = $5 0 ,001 - $100 ,000 M = $100 .001 - $250 .000( s e e C o l u m n s C I a n d D 3 ) . N =$250,001 - $500,000 O = $ 5 00 , 001 - $ 1 , 000 , 000 P l =$ 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 = M o re t ha n $ 5 0 , 000 . 000

3 . V a l u e M e t ho d C o d e s Q = A p p ra i s a l R = C o s t (R e a l E s t a te On l y) S =Assessm en t T =Cash Mar ke t( S ee Co l u m n C2 ) U =B ~ o k Va l u e V = O l h e r W = E s t i ma t e d

E --$15.001 - $50.000


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FINANCIAL DISCLOSURE REPO RTPage 5 of 12

N a m e o f P e r s o n R e p o r t i n gR o y a l , C h a r l e s A .

D a t e o f R e p o r t05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ne o~ , e , v a l u e . ~ r a . ~ a . i o , ~ a ne t u d~ those of spouse and dependent children; see pp. 34-60 of filing instrucliong)~] (No reportable asse ts , orONE income, t ransact ions. )

D e s c r i p t i o n o f A s s e t s T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" a t t e r ~ch as se texempt from prior disclosure

I n c o m e d u r in g G r o s s v a l u e a t e n dr e p o r t i n g p er i o d o f r e po rt i n g p er i o d

( 1 ) ( 2 ) (I) (2)A m o u n t T y p e ( e .g . , Va lu e V al ueC o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

(l ) (2) (3) (4)T y p e ( e . g ., D a t e Va lu e G a i nb u y , s e l l, m m / d d / y y C o d e 2 C o d e I

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

1 8 . I n v e s tm e n t C o m p a n y o f A m e r i ca F u n d A D i v i d e n d J T1 9 . N e w P e r s p e c ti v e F u n d A D i v i d e n d J T20 . N e w W o r l d F u n d A D i v i d e n d J T2 1. S ea sp an C orp N o n e S o l d 0 1 / 2 5/ 1 0 J C22 . Al co a , In c N o n e S o ld 0 1 /2 5 /1 0 J C23 . At l as En er g y R eso u r ces A D i v i d e n d J T24 . Ber k s hi r e Ha thaw ay Inc N o n e S o ld 0 4 /0 9 /1 0 M D25 . D o w C h e m i c a l C o A D i v i d e n d S o l d 0 1 / 2 5/ 1 0 K D26 . D u P o n t E I D e N e m o u rs C o N o n e Sold 0 1 / 2 5/ 1 0 K D27 . Exe l ix i s I nc N o n e L T Sold 0 1 / 2 5/ 1 0 J C(part)28 . I S h a r e s I n c M S C I S i n g a p o r e A D i v i d e n d J T29 . I S h a r e s In c M S C I S w e d e n A D i v i d e n d K T30 . M e a d W e s t V a C o C o rp N o n e S o ld 0 1 /2 5 /1 0 K E31 . R e n e s o l a L T D N o n e K T32 . R e x a h n P h a r m a c e u tic a ls N o n e J T33 . San Juan Bas in Roya l ty T r us t B Di v i d en d K T34 . T IC C C api ta l C or p B Di v i d en d K T S o ld 0 4 /0 8 /1 0 J A(part)

I d e n t i t y o fb u y e r / s e l l e r( i f p r i v a t et r a n s a c t i o n )

2 . Va l u e Co d es J =$15.1)00 o Ices K = $1 5 ,001 - $5 0.000 L = $5 0 .001 - $100 .00~( S ee Co l u n m s CI an d D 3 ) N =$25 0 ,001 - $5 ~ ),000 O =$5 00 ,001 - $1 ,000.000 P1 =$1.0~0.001 - $5,000.000

P3 =$25.000.001 - $50.000.000 P4 = M o re t ha n $ 5 0 . 000 . 0003 . V a lu e M etho d C o d e s Q = A p prais al R = C o s t (R e a l E s t a te On l y) S =Assessm en t( S ~ e Co l u m n C2 ) U =B o o k Va l u e V = O~ he r W = E s t i ma t e d

D =$5,001 - $15,000H 2 = M o re t ha n $ 5 . 000 . 000M =$100.001 - $250.000P2 =$5,000.001 - $25.000.000T = C a s h M a r k e t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPOR TPage 6 of 12 Ia m e o f P e r s o n R e p o r t i n gR o y a l , C h a r l e s A . Date of Report05 /09/2011

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 , , . i, e , , ra , ~ a c a o , ~ a n c i ,d e , , h o , e o l s p o , e o n d d e r e n d e , ~ children; see p p . 3 4 - 6 0 of filing instructions;)N O N E ( N o reportab le income , asse ts , or transa c t ions . )

D e s c r i p t i o n o f A s s e t s T r a n s a c t io n s d u r i n g ~ - ~ o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t er e a c h a s s e t

exempt from prior disclosure

I n c o m e d u r in g G r o s s va lu e at e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(I) (2) ( 1 ) ( 2 ) (I ) (2) (3) (4) ( 5 )

A m o u n t T y p e ( e .g . , Va lu e V a lu e T y p e ( e . g ., D a t e Va lu e G a i n I d e n t i t y o fC o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d ~ / y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 ~demption) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) ~ r a n s a c t i o n )

35 . S a d i a S A A D R N o n e36 . S e a g a t e T e c h n o l o g i e s N o n e K37 . A m e r i c a n O r i e n t a l B i o e n g i n e e r i n g C o r n N o n e J38 . A r m aly C api ta l M gm t Inc D D i v i d e n d K39 . An w o r th Mtg As s e t C o rp N o n e J40 . An w o r th Mtg As s e t C o rp N o n e41 . F l y L e a s i n g L T D f / k / a B a b c o c k & B r o w n A D i v i d e n d JA ir L td4 2. C en tu ry te l In c B D i v i d e n d K4 3. C he sa pe ak e E ne rg y C o rp A Di v i d en d44 . Ch i n a S u n er g y Co Lt d N o n e45 . B R F B r a s il F o o d s A D i v i d e n d46 . H a lo zy n e T h e ra p eu tics ln c N o n e J47 . L i n n E n e r g y L L C N o n e48 . M FA Fin e ln c N o n e J49 . Micro s o f t C o rp N o n e50 . M ic ro n T e ch n o lo g y In c N o n e51 . N or ths ta r Rea l ty F in C or p A Di v i d en d J

T

T

T

T

T

T

Sold 10/20/09 J A

Bu y 0 3 / 1 6 / 1 0 KBu y 0 3 / 2 5/ 1 0 J

S o ld 0 4 /0 1 /1 0 J(part) A

S o ld 0 1 /2 5 /1 0 K DSold 0 1 / 2 5/ 1 0 J ASold 0 1 / 2 5/ 1 0 J A

S o l d 0 1 / 2 5/ 1 0

KJ

S o l d 0 1 / 2 5/ 1 0S o ld 0 1 /2 5 /1 ~

D

DA

~See Columns::B land 134) F --$50 ~ 0 0 1 -$1 0 0 . 0 0 0 G = $ 1 0 0 ; 0 0 1 - $ 1 . 0 0 0 ~ 0 0 02 . V a lu e C o d es J = $1 5 ,0 0 0 o r I~ s K =$15,001 - $50.000

( S ~ e Co l u m n s CI an d D 3 ) N =$25 0.001 - $5 00 .000 O =$5 00 ,001 - $1 .0~0 .000P3 =$25,000.001 - $50.000.0~0

3 . V a lu e M etho d C o d e s Q = A pp raisa l R = C o s t (R e a l E s t a te On l y)( S ee Co l u m n C2 ) U =B o o k Va l u e V = O~ he r

c = s 2 ,5 Ol -Ss i000 :HI =$L009~001 : $5.000~0~0L =$50 . 0 0 1 - $1 0 0 , 0 ~PI =$1.000,001 - $5.000,000P 4 = M o r a t h a n $ 5 0 , 0 ~ 0 . 00 0S = A s s e s s m e n tW = E ~ i m a t ed

D =$5 , 0 0 1 -$1 5 , 0 0 0H 2 = M o re t ha n $ 5 , 000 , 000M =$100.001 - $250,000P2 =$5,000,001 - $25,0~0,000T =Cash Mar ke t

E =$1 5 , 0 0 1 - $50 . 0 ~


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N a m e o f P e r s o n R e p o r t i n gRoyal, Charles A.

D a t e o f R e p o r t05/09/2011

VII. INVESTMENTS an d TRUSTS - inco,~e, v ai~e, , , .. ..io,~ (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 of filing instructiong)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t i o n o f A s s e ts I n c o m e d u r i n g G r o 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 i o d( 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 i n g p e r i o d o f r e p o r t i n g p e r i o d

(1) (2) (I ) ( 2 ) ( 1 ) (2) (3) ( 4 ) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t . A m o u n t T y p e ( e . g ., V alue V alue T y p e ( e .g . , D a t e V al ue G a i n I d e n t i~ y o fe x e m p t f r o m p r i o r d i s e lo s u r e C o d e 1 div.,rent, C o d e 2 M e th o d b u y , s e l l , m m / d d , , q / y C O d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C od e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) m m s a c a o n )

52 . P a l o ma r M e d i ca l T e ch n o l o g i e s I n c N o n e J T

53 . Pfizer Inc N o n e S o l d 01/25/10 K C

54 . P o w e r O n e l n c N o n e S o l d 01/25/10 J A

55 . A tla s E n e r g y In c N o n e S o l d 01/25/10 K C

56 . A t l a s E n e r g y , I n c . N o n e J T S o l d 06/15/10 K A(par t )57 . A t l a s A m e r l n c N o n e S o l d 01/25/10 J A

58 . S e a tt le G e n e t ic s In c N o n e S o l d 01/25/10 J A

59 . S i l ic o n I m a g e l n c N o n e S o l d 01/25/10 J A

60 . S u n t r u s t B a n k I n c N o n e S o l d 01/25/10 K E

61 . W S P H o l d i n g s L t d N o n e J T62 . W i l li a m s P i p e l in e P a r t n e r s N o n e S o l d 01/25/10 K D

63 . Y i n g l i G r e e n E n e r g y H o l d i n g C o N o n e J T S o l d 01/25/10 J D(par t )64 . L e g a c y R E S V S B D i v i d e n d K T B u y 03/18/10 K

65 . F r e e p o r t- M c M o r a n C o p p e r & G o l d A D iv id e n d B u y 03/18/10 J

66 . F r e e p o rt - M c M o r a n C o p p e r & G o l d N o n e S o ld l l /0 5 /1 0 M E

67 . A l l i a n c e B e m s t e i n H L D G A D i v i d e n d K T B uy 03/18/10 K

68 . A p o l l o I n v es t m en t C o r p A D i v i d e n d J T B u y 03/16/10 J

F = $ 5 0 ,0 0 1 ~ $ 1 0 0 ~ 0 0 0 G =$ 1 0 0 ~ 0 0 F ~ $ L 0 0 0 ~ 0 0 0 H I --$L000;091 : $5:000.000 H2 =More than $5,000~000: (S~bi~nsalaMD4) ...... : :2 . Va l u e Co d es J =$15.000 or less K =$15,001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250,000

( S ee Co l u m n s CI an d D 3 ) N =$250 .001 - $5 00 .000 O =$5 00 .001 - $1 ,000.000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5,0 00 ,0 01 - $2 5, 00 0,0 00P3 =$25.000.0OI - $50.000.000 P4 = M o re t ha n $ 5 0 , 000 , 0003 . V a l u c M e t ho d C o d cs Q = A p p ra i sa l R = C o s t (R e a l E s t a te On l y) S =Assessm en t T =Cash Mar ke t

( S ~ e Co l u m n C2 ) U =B o o k Va l u e V = O t h e r W = E s t i ma t e d

E - - $ 1 5 , 0 ( 1 1 - $ 5 0 , 0 ~ 0


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FINANCIAL DISCLOSURE REPO RTPage 8 of 12


D a t e o f R e p o r t05/09/2011

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

D e s c r i p t i o n o f A s s e t s T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt f r om pr ior d i s c los ure

I n c o m e d u r i n g G r o s s v a l u e a t e n dr e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d(l) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )A m o un t T y p e ( e. g ., V al ue Va lu e T y p e ( e . g . , D a t e Va lu e G a i n I d e n t i t y o fC o d e 1 d i v . , r e n t , C od e 2 M e th o d b u y , s e l l , n m l / d d ~ C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) m m s a c t i o n )

69 . A pol lo Inves tm ent C or p N o n e70 . A p o llo In v es tm e n t C o rp N o n e71 . Synovus F inanc ia l C or p A D i v i d e n d J T72 . A T & T I n c B Di v i d en d K T73 . C entu r y l ink Inc f !k /a C entu r y te l C Di v i d en d K T74 . F r o n t ie r C o m m u n i c a t i o n s C o r p A Di v i d en d J T75 . V e r i z o n C o m m u n i c a t i o n s B D i v i d e n d K T76 . N or thw es te r n C or p B D i v i d e n d K T77 . A m e r i ca n C a p i t a l A g e n c y C o r p D Di v i d en d K T78 . An w o r th Mtg As s e t C o rp A Di v i d en d K T79 . C a p s t e a d M t g C o r p A Di v i d en d80 . C a p s t e a d M t g C o r p A Di v i d en d81 . Hat te r a s F inanc ia l C or p B D i v i d e n d82 . H a t t e r a s F i n a n c i a I C o r p B Di v i d en d83 . Inves c o M tg C api ta l Inc A D i v i d e n d84 . Inves c o M tg C api ta l Inc A Di v i d en d85 . M F A F i n a n c i a ll n c A Di v i d en d J T

S o l d 07/09110 J A( p a r t )S o l d 10/13/10 J ABu y 06/22/10 JBu y 03/23/10 KBu y 07/26/09 K

S o ld 0 7/1 5 /1 0 J A(part)Bu y 03/23/10 KBu y 0 3 / 1 8 / 1 0 KBu y 0 3 / 1 8 / 1 0 KBu y 03/25/10 JBu y 03/25/10 JSold 04/01/10 J ABu y 03/25/10 KS o l d 04/01/10 K ABu y 03/25/10 KS o l d 04/01/10 K ABu y 12/14/09 J

( S ee Co l u m n s B I an d D 4 ) F = $50~001 - $100,000 O =$I00 .001 - SL 000:000 H I -- $1 ~0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 = Mo re l ha n $5 .0 00 ,0 002 . Va l u e Co d es J = $ 1 5 , 1 ) 0 0 o r l e s s K =$15,001 - $50.000 L =$50.001 - $100.000 M =$100,001 - $250,0~1

( S ee Co l u m n s CI an d D 3 ) N =$250,1)01 - $500.000 O = $ 5 00 , 001 - $ 1 , 000 . 000 PI = $ 1 , 000 , 001 - $ 5 , 000 , 000 P2 =$5,000,001 - $25,0~0,000P3 =$25.000.001 - $50.000.000 P4 = M o re l ha n $ 5 0 , 000 . 000

3 . V a l u e M e t ho d C o d e s Q = A p p ra i s a l R = C o s t (R e a l E s t a te On l y) S =Assessm en t T =Cash Mar ke t( S ee Co l u m n C2 ) U =B o o k Va l u e V = O t h e r W = E s t i ma l e d

E =$15,1)01 - $50,000


9/12


N a m e o f P e r s o n R e p o r t in gR o y a l , C h a r l e s A .

D ate o f Repor t05/09/201 I

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 , ~ e , v a l u e , t r o , ~ a e l i o , ~ a n c l ~ d ~ t h o s e o / s ~ , o ~ s e ~ n d d e ~ , e , a e n t children; see pp. 3 4 - 6 0 of filing instructions.)D N O N E income, assets, or transactions.)N o reportable

D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g( i n c l u d i n g U l a s t as s e t s ) r e p o r t i n g p e r i o d

(l) (2)P l a c e " ( X ) " a f 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 s c lo s u r e C o d e ] d i e . , r e n t ,( A - H ) o r i n t . )

86 . B P P L C SP O N S A D R N o n e87 . B P P L C S P O N S A D R N o n e88 . EV En e rg y P a r tn e rs N o n e89 . E V E n e r g y P a r t n e rs N o n e90 . Fir s tene r gy C or p N o n e91 . Gu l f R eso u r ces In c N o n e92 . Gu l f R eso u r ces In c N o n e93 . Hal l ibur ton C o N o n e94 . H al l i b u r t o n Co N o n e95 . I d e r a P h a r m a c e u t i c a ls N o n e96 . I d e r a P h a r m a c e u t i c a ls N o n e97 . I s h a re s S & P P F D S T K B D i v i d e n d98 . M ar t in M ids t r eam P a r lne r s N o n e99 . M ar l in M ids t r eam P a r tne r s N o n e1 0 0 . O m n i v i si o n T e c h n o l o g i e s N o n e101. P D L B i o p h a r m a I n c N o n e1 0 2 . P D L B i o p h a r m a I n c N o n e

G r o 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 i o do f r e p o r t i n g p e r i o d

( 1 ) (2 ) ( 1 ) (2) (3) (4) ( 5 )V a lue V alue T y p e ( e . g . , D a t e V al ue G a i n I d e n t i t y o fC o d e 2 M e th o d b u y , s e l l, m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r( J - P ) C o d e 3 i ~ : t e m p t i o n ) ( J - P ) ( A - I T ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

Bu y 0 3 / 1 6 / 1 0 LS o ld 0 6 /1 5 /1 0 K ABu y 0 3 / 2 5/ 1 0 KS o l d 04/01/10 K A

K T Bu y 12/01/10 KBu y 03/25/10 JS o ld 0 4 /0 1 /1 0 J ABu y 03/25/10 KS o l d 0 4 / 0 1 / 1 0 K ABu y 0 3 / 2 5/ 1 0 JS o ld 0 4 /0 1 /1 0 J A

~ L T Bu y 10/26 /10 LBu y 03/25 /10 i KS o ld 0 4 /0 1 /1 0 K A

K T Bu y 0 3 / 1 8 / 1 0 KBu y 03/25/10 JS o l d 0 4 / 0 1 / 1 0 J A

2 . V a l u ~ C o d e s J = $1 5 .000 o r le s s K = $1 5 ,001 - $50 ,000 L --$50,001 -( S ee Co l u n m s CI an d D 3 ) N =$250.001 - $500.000 O = $5 00 ,00 1 - $1 ,0 00,0 00 P I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P2 =$5.000,001 - $25,000.000

P3 =$25,000.001 - $ 5 0 . 0 0 0 , 0 0 0 P4 = M o re t ha n $ 5 0 . 000 . 0~ 03 . V a l u e M e t ho d C o d e s Q = A p p ra i sa l R = C o s t (R e a l E s t a te On l y) S = A a s ~ s m e n t T =Cash Mar ke t

(S ee C o lum n C 2) U = B o o k V a lue V = O l h e r W = E s t i ma l e d

E =$15,001 - $50,000


10/12


N a m e o f P e r s o n R ep o r t i n gR o y a l , C h a r l e s A .

Date of R e p o r t05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o ,~ e , v o l u e , tr u , ~ c a o ,~ t I n c l ~ d e * t h o s e o f * p o ~ s e ~ n d d e ~ , e n d e n t chi ldre n; se e p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g( 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 i n g p e r i o d(!) (2)P l a c e " ( 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 . ,e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)V alue V alue

C o d e 2 M e th o d( J - P ) C o d e 3( Q - W )

(i )T y p e ( e . g .,buy , se l l ,

r e d e m p t i o n )

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

(2) (3) (4)D a t e V al ue G a i n I d e n t i t y o fm m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r

( J - P ) ( A - H ) ( i f p r i v a t ew a n s a c t i n n )

1 0 3 . P i o n e e r S o u t h w e s t E n e r g y1 0 4 . P r o s p e c t C a p i t a l C o r p1 0 5 . P r o s p e c t C a p i t a l C o r p1 0 6 . P r o v i d e n t E n e r g y1 0 7 . P a c e O i l & G a s L T D1 0 8 . Q u e s t c o r P h a r m a c e u t i c a l s I n c1 0 9 . S c i c l o n e P h a r m a c e u t i c a ls I n c1 1 0 . S o u t h e rn C o m p a n y1 1 1 . Un i t ed M i cr o e l ec t r i c s Co r p1 1 2 . X i n y u a n R e a l E s t a te C o

B D i v i d e n d K T Bu yA D i v i d e n d J T Bu y

A D iv id e n d S o ld(part)

A D i v i d e n d J T Bu yN o n e S o l dN o n e J T Bu yN o n e J T Bu y

B D i v i d e n d K T Bu yA D i v i d e n d J T Bu y

N o n e J T Bu y

03/18 /10 K03/25 /10 K04/01/10 K03/18/10 ~ J07/23/10 J03/16 /10 J03/16 /10 J03/18 /10 K03/18 /10 J03/16 /10 J

2 . Va l u e Co d es J =$15 .1)00 or le s~ K =$15,001 - $50,000 L =$50,1)01 - $100.000( S ee Co l u m n s CI an d D 3 ) N =$250 ,001 - $500,000 O =$5 00 .001 - $1 ,000 .000 PI = $ 1 , 000 , 001 - $ 5 , 000 ,000

P3 =$25.000,001 - $ 5 0 , 0 0 0 . 0 ~ 0 P4 =M ore than $50.000.0003 . V a l u e M e t ho d C o d e s Q = A p p ra i sa l R = C o s l (R e a l E s t a t e On l y) S =Assessm en t( S ee Co l u m n C2 ) U =B o o k Va l u e V - ~3 the r W = E sfim ato d

D =$5,001 - $15,000H2 --More than $5,000,000M =$100.001 - $250.000P2 =$5.000,001 - $25.000.000T = C a s h M a r k c t

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0


11/12


N a m e o f P e r s on R e p o r t i n gR o y a l , C h a r l e s A .

Date of Report05 /09/2011

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndicateparlofreport.)I . P O S I T I O N SI h av e n o b en ef i c i a l in t e r es t i n t h e es t a t e . Th er e a r e n o as se~s o w n ed b y t h e es t a t e . Th er e h av e been no a c q u i s i t i o n s , dispositions o r c a p i t a l g a i n s . T h i s responsei n c l u d es n o w an d a t a l l t i mes d u r i n g t h e r ep o r t i n g p er i o d .V I I . IN V E S T M E N T S A N D T R U S T S3 5 . S a d i a S A A D R w a s m i s t a k e n l y n o t r e p o r t e d f o r 2 0 0 9 .7 3 . C entu r y l ink , Inc . f !k /a C entu r y te l w as m is tak en ly no t r epor ted f o r 2009.8 5 . M F A F i n a n c i a l, I n e w a s m i s t a k e n ly n o t r e p o r t e d f o r 2 0 0 9 .1 0 7 . P a c e O i l i s a s p i n o f f f r o m l i n e 1 0 8 P r o v i d e n t E n t e r g y T r u s t .


12/12

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 2


D ate o f Repor t05/09/2011

IX . CERTIFICATION.i c e r ti 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 lu d i n g i n f o r m a t io n p e r t a in 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 , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o th 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 t u to r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .i f u r th e r c e r ti f y t ha t e a r n e d i n c o m e f r o m o u t s id 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 ic 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 .

Signatu re: S/Charles A. Royal

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 I L F U L L Y F A L S IF I E S O R F A I 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 EC T T O C I V I LA 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 tt e e o n F i n a n c ia l D i s c lo 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 U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

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