Robert T Dawson Financial Disclosure Report for 2009

8/3/2019 Robert T Dawson Financial Disclosure Report for 2009

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ao i0 I FINANCIAL DISCLOSURE REPORT a e p o , .~ R e q u i r e d b ) , ,I r e E t h i c . *in Government Act of1978g e ~ . ~ / 2 o ] o [ FOR CALEND~ YEAR 20091. Person Reporting (Last nam e, first, middle initial) 2. Court or Organization 3. Date of ReportDawson, Robert T. U.S. District Cou~ 0412812010

4. Title (Article Ill judges indicate active or senior sta~as; 5, . Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or pan-time) [] Nomination, Date 01/01/2009U.S. District Judge [] Initial [] Annual [] Final to12/31/2009

5b. [] Amended Report7. Chamber~ or Office Address 8, On the basil of the Information contained in this Report and anymodifications pertaining thereto, i t is, in my opinion, In complianceP O Box 1624 with applicable laws and regulations.Fort Smith, AR 72902-1624

Reviewing Officer Date

L ~ I P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,checking the NO NE box for each parf where you have ~o reportable information. Sign on lastpage.

I . P O S I T I O N S . t R c p o r , i. g ~ . d i a d . a ~ o ~ f ~ ; s o o p ~ . ~ - , n ~ i o ~ instructions.)~ N O N E (No reportablepositions.)

POSITION NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . meparting individual only; ,ee pp. 14-1a of filing Instruction~) -~ i~ NONE (No reportable agreements.) ~ ~

DAT E PARTIES AND TE~S


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FINANCIAL DISCLOSURE REPORT . o 4 / 2 8 n o ~ oPage 2 of 1 1

III. N O N - IN V E S T M E N T I N C O M E . (sopo.~.z individual and sp .... ; $ e , p p . 1 7 - 2 4 o f . f il i n g i n ~ t r o c t i o n ~ . )A. Filers Non-lnvestment Income

NONE (No reportable non-investment income.)DATE ~OURCE AND TYPE INCOME(yours, not spouses)

1.2.3.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - g ~ , o u ~ e r e m a r t le d d u r l n g a t ~ y p o ~ t l o n o f t h e r e p o r t i r t g y e a r , c o m p l e t e this section( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )[] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE1.2.3.4.

I V . R E I M B U R S E M E N T S - , , o . sp o - . , i o . , Io~gi .g ,~oo~, . . ,en~ .... ~( I n c l u d e s t h o ~ e t o s p o u s e a n d d e p e n d ~ n t c h i l d r e n : s ~ e p p . 2 5 . 2 7 o f f i l i n g i n s t r u c t i o n s . )D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION pURPOSE ITEMS PAID OR PROVIDED1. George Mason University Oct 15, 2009 thru Oct San Diego, CA Education Hotel and some meals18, 20092. Rene Cassio Seminar April~r", 2009 thru Strasbourg, France Education Hotel and some mealsApril t~, 2009

3.4.5.


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FINANCIAL DISCLOSURE REPORT r ~ , m , o t P . . .. a ~ p o r , ~ o * . D , , , , ,t ) ~ , . p o r ,Page 3 of 11 D a , , s o n , R o b e r t T . 04/28/2010

~ NONE ~o reportable g~s.)~ DESCRIPTION

1.2.3,4.5.

[~] N O N E ( N o reportable liabilities.)CREDITOR DESCRIPT|ON VALUE CODE

1.2.3.

5.


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FINANCIAL DISCLOSURE REPORT N a m e o r P , rs o n R r p a r t | n g [ Dale of ReportPage 4 of 1 1 Dawson, R o b e r t T . 0 4 / 2 8 / 2 0 1 0

---] N O N E (No reportable income, assets, or transactions.)A. B. C. D.D e s c r ip t ie n o f A s s e t s Income during 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 a r i n g r e p o r t i n g l x t io d

{ i n c l u d i n g t r u s l 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 dO) (2) ( 1) ] ( 2 ) (1) ( 2 ) ( 3 ) i 1 , ~ ) (~)Place(X)" after each ~sel Amoum Type(e.g., Value [! Value T y p e ( e . g ., D a t e V alue i Gain I d e n t i t y o f

e ~ m p l f ro m p r i o r d is c l o s u r e Code I d i ~ , . , r e n t , C o d e 2 i M e t ho d buy, sell, m m ] d d ] y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) (JP) i 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 ) l t r a n s a c t i o n )

I, TIAA-CREF C Interest M T2. Enterprise Growth Fund C1 A 215 A Dividend J T3. Stephens Production Company (oil & gas) A Royalty J W4. XT O Energy (oil & gas) A Royalty J W

5. Cypress Production (oil & gas) A R o y a l t y , J W

6. Tellus Operating (oil & gas) A Royalty J W7. ACXIOM A Dividend K T8. Simon Properly Group B Dividend K T9. Alltel Corp Del B Dividend Sold 11/19/09 J A1 0 . Motorola Inc. A Dividend Sold 12/15/09 J A1 1 . USA Truck A Dividend J T Sold 0 3 1 0 3 / 0 9 J A(part)1 2 . Arkansas St College Svgs B B Interest K T1 3 . Arkansas St College Svgs A B Interest K T1 4 . Cisco Sys Inc. A Dividend J T1 5 . Coca Cola A Dividend J T Sold 03/09/09 J A( p a r t )

" 1 6 . Wachovla/Wells Fargo A Dividend J T1 7 . General Ekxt tic A Dividend J T Sold 1 2 / I 5 1 0 9 J A( p a r t )

o~ (s~ ~l~n c2) u = B ~ k V a l u e V ~h~ W


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FINANCIAL DISCLOSURE REPORT r~ ....~ p .... R ~ p o r t i n g o . , ~ , r ~ e p o r ,Page 5 of 11 D a w s o . , R o b e , - t r .

VII. INVESTMENTS and TRUSTS - i, ....... I,o. t .......io,s (Includ thosof ~fl ...... d depnd .... hildren; s-eg,C.p. 34-60 of filing in,tructlons.)NONE (No reportable income, assets, or transactiom,)

A. , .... ~urlng C. ~ D. [D e s c r i pt i o n o f A s s e ~ s G r o s s v a l u e a t e n d ~ Tr~cfions d~ng rc~iag ~ri~~including ~sl ~sets) ~poaing period of ~poa[ng peGod ]Place "(X)" afl ..... has~t A m o u n t V ~e(e.g.. V aue V aue T~e{t.g., [ D~I~ [ V a lue i Gain ldentityof

( 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 It) ( i f p r i v a t e( Q -W ) ; tr~ction)

1 8 . Prater & Gam ble Co, A Dividend J T

1 9 . Johnson & Johnson A Dividend K T Sold 03/06/09 J A(part)20. McDonalds Corp A Dividend J T Sold 0 3 1 0 3 / 0 9 J C( p a r t )21. Southwest Airlines A Dividend J T

22. Chevron Texaco Corp A Dividend J T Sold 1 0 ! 1 4 / 0 9 K A(~art)23. lntel Corp A Dividend J T24. W alt Disney A Dividend J T

25 . A lca te l- Lu ce nt T echn olo/ ~e s A Dividend Sold 1 0 7 / 0 3 / 0 9 J A

26. Sun Microsystems A Dividend J T

27. American Small Cap World A Dividend J T

28. Vanguard 500 Index Fund A Dividend K T29. NASDAQ 100 Unit Trust Series I/Power A Dividend M TSh~.res QQ Q30. Vanguard 500 Index Fund A Dividend K T Sold 0 7 / 0 1 1 0 9 K AL v a r ~ )3 I. Watson Chapel AR School Dist. A luterest Matured 0 8 / 1 7 1 0 9 J A

32. Merck & Co. A Dividend J T

33. Univ of Ark A Interest J T34. Cincrgy Cotp/Duke Energy B Dividend l T Sold 0 3 1 0 2 1 0 9 K C(part)

I, lncon~ G,in Codes: A -$1,000 or less B


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Name of Pcr$on Reporting Date of ReportPageFINANCIAL6 o f I 1 DISCLOSURE REPORT O a w s o n , Robert T . 0 4 / 2 8 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i, ........ t~,. tr ..... tion$ (Includes ,ho,e of spouse and dependent children; seepp. 34-60 of filing inxtructions.)N O N E (No reportable income, assets, or transactions.)

A. B. ~ C. D.Description of As~s 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 ~ d Transactions during rcpo~ing ~riod(including ~st assc~) ~ p o ~ i n g p e r i o d offering period0) I) ~ O) ~ (~ ) (I) (~) (3) (4 )P l a c e " ( ~ " a ~ e a c h a ~ e t A m o u n l T ~ e { e . g . , ~ V a l u e

~

V a l u e T ~ e ( e . g . , D a t e V a l u e G a i n I d c n l i ~ o fe x ~ p t f r o m p r i o r ~ s e l o s u r c C ~ e I div., rent,o d e 2 M e l h o d buy, sell,m~d~ C o d e 2 C o d e I buyer!seller( A - H ) or inL) (J-P) C o d e 3 r e d e m p 6 o n ) (J-P) ( A - l l ) (if private~ (Q-W) ~ a n s a c t i o n )

3 5 . A m e r e n C o ~ A D i v i d e n d J T S o l d 1 2 / 1 5 / 0 9 J A( p a ~ )

3 6 . C o a s o l i ~ l e d E d i s o n A D i v i d e n d S o l d 0 1 / 2 0 1 0 9 J A

3 7 . Bank of HapoaHm NY A Interest Matured 0 5 / 2 6 . / 0 9 L A38. Progress Energy Inc. A Dividend J T3 9 . Pub Svc Ent A Dividend Sold 03/06/09 J A40. Liule Rivet Cly AR Rev. A Interest J T41 . B an k of Am eric a A Dividend Sold 12/15/09 $ A42. En terg y Corp A Dividend J T43. Phoenix RisingfVirtus Growth A Dividend l T44. Murphy Oil A Dividend J T4 5. B an k of A meric a A Dividend46. Ark St Fed Hwy Grant A Interest K T47 . Blackrock Global A Interest J T48 . Windstream/Alltel A Dividend J T Sold 03/03/09 K B(part)49. Li.tle Rock AR New Pub A Int,rest J T50. Amer Funds Cap Inc. A Dividend J T51. Amer Funds Euro Pacific A Dividend J T


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Name of Person Reporting Dale of ReporlPageFINANCIAL7 of I 1 DISCLOSURE REPORT O a ,* s o n , n o b ~ t T . 0 4 / 2 8 / 2 o 1 0

[---] N O N E (No reportable income, assets, or transactions.)A. ~ / B. C. D.D e s c r i p ti o n o f A s s e t s [ Income during G r o s s v a l u e a ~ 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 ) k 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

Ptaca(~)" after each asset I A m o u n t T y p e ( e . 8 . , V a l u ~ Value T y p e ( e . g . , D a t e V alue i Gain I d e n t i t y o fe x e m p t f ro m p r i o r d is c l o s u r e , C o d e 1 di .... t. Code2 M e th o d buy, sell. m m / d d ! y y Code2 ,Code 1 _ buyer/seller( A - H ) o r in t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J P ) I [ ( A H ) (ifprivsle( Q - W ) I t r a n s a c t i o n )

5 2 . Amer funds W ashington Mutual A Dividend J T

53. Janus Worldwide Fund (IRA) E Int./Div. L T

54. Spectra A Dividend J T55. Goldman Sachs CD A Interest J T56. Bentonville, AR Sch A lnteres~ K T57 . Hartford Life Ins. Bond A Interest K T

58. Crittenden County Bond A Interest J T59. Conway AR Sch Bond A Interest J T60. Nuveen Prem I n s . A Interest .I T61. K i n d e r M o r g a n A I n t e r e s t J T62. Ark St H igher Educ A Interest K T63. J P Morgan Chase A Interest J T64. Hartford Growth bond A Interest J T65. Fed Kaufman Small Cap A Interest l T66. Matthews Asia A Interest Sold 0 4 / 1 5 1 0 9 J A

67 . John Hancock Large Cap A Interest Sold 04/15/09 J A68 . Allianz NFJ A Inleresl Sold 0 4 1 1 5 1 0 9 J A

(See Coltwara/B I and ~ ) F =S50,~ I - $ I ~,~0 G =$ ] 00,001 - $ I ,O ~,000 H I ~$ l ,~0.001 - $ $ .~,~0 H2 =Mo~ zh~n $ 5,0~,~ [


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FINANCIAL DISCLOSURE REPORT N .... f Person Reporting D,te of Repar!Page 8 of I 1 ID~wson, Robert T, 0 4 / 2 8 , ~ 2 0 1 0

V I I. I NVESTMENTS an d TRUSTS - i . . . . . . . . ~ ........... ~ o n ~ a . c ~ u a e s , h o ~ e o l s v . .. .. . ~ ~ o ~ , ~ . . . . ~ " ~ ~ ; ~ " r ~ ~ - ~ 0 o Z ~ n . ~ i . . . . . . . ,~.~N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s ~ t s ~ In~during Gross value al end ~ Tran~ctions during rcpo~ng ~i~(including ~l ~ts) ~ r e p o a i n g p e r i o d of relning p~fiod ~P l a c e " ( X ) " a f l ~ e a c h a ~ c t A m o u n t ~)~e (e.g., Value Val~e ] T~(e.g., D a t e V~lue Gain l d c m i ~ y o f

Code~2 M e ~ h o d ~e x e m p t f ro m p r i o r d is c l o s u r e ~ C~e I d i v . , r e n q b u y , r o l l , m~d~ C o d e 2 Code I buyer/sellcr( A - H ) o r i n t . ) ( ~ - P ) C o d e 3 I~ r e d e m p t i o n ) ( J - P ) ( A - H ) transaction)(ifPriva~~ ( Q - W ) i , ,6 9 . Julius Baer IntVA nio lntl A Intense J T

7 0 . Mutual Discovery A Interest Sold 10/08/09 J A71. Davis New York A Interest Sold 04II5/09 J A72. Neuberg & Bermn A Interest J T73. AIM Intl A Interest Sold 1 0 / I ) 8 / 0 9 J A74 . Crocs A Interest J T7 5 . Hillcrest CD B Interest L T7 6 . Bank of Rogers CD B Interest Matured 05/06/09 L A77 . Colonial Bank CD B Interest Matured 08/25/09 L A78 . Van Kampen A Interest Sold 02102/09 J A79. Buckeye Ohio Bond A Interest J T8 0 . New York Ci~ Bond A Interest J T81. Bentonville AR Sales A Interest K T82. Little P, ock AR Sewer A Interest J T83. Baron Partners A Interest J T84 . Cambiar Opp. A lntJDiv. J T85. Ivy Asset A Interest J T


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|FINANCIAL DISCLOSURE R EPORT N , m , o f P e r s o n R e p o r t i n g [ O J t e o f R ~ p o r tPage 9 of I 1 ~..son,.b. ~" IVI I. INV ESTMENTS and TRUSTS - i. ....... t~,., ......n o ~ , anCld$ thO,t gS~ .....d dependent children; ~11 p p . 3 4 " 6 0 of filing~ NONE ~o reporlable income, assets, or transaction.).......... A. B. C. : ..... fi. - ....................... Description of Asse~ Income du~ng Gro~ value at end Tran~cfion~ during reporting ~od

(including ~st as~ts) ~ r~o~ing period ofrepo~ing periodo) ~2) o) (2) o) (2) " ~-~ ~ ......... ~ ..........Place "(X)" afi~ each as~t Amount T~ {e.g., Value Val~e T~e (e g., Date ~ Valuc Gain ldent~, of

e~cmpt from prior d~sci~re ~ C o d e I div., ren~ Code 2 Method buy, sell m~d~ [ C~ 2 [ Co~ I buyer/seller~ (A-H) or int.) O-P) Code 3 redempti~) (J-P) {A-HI (if private~ (Q-W) : Ir~sacti

86. DN Lehman Bro CD A lnte~st K T

8 7 . G e n e r a l E l e c t ~ o C a p A I n t e r e s t K T

88 . V e r i z o n A I n t e r e s t J Tg9. Amer Exp CD B Dividend90. SunAmerica A Dividend91 . C it ig ro up 5. 12. 5% C Interest L T Buy 09/30/09 L92. Franklin Mutual Growth D Dividend J T Buy ] 1/27/09 J93. Third Ave V alue Fund D Dividend J T Bu y 10/08/09 J94. "/homburg Intl D Dividend J T Buy 1 0 1 0 8 / 0 9 J95. Baxter CountyB ond D I n t e r e s t J T B u y 07/07/09 J96. ArkState UnivRev D I n t e r e s t J T B u y 07/07/09

97 . B e a v e r W a t e r B o n d D I n t e r e s t J T B u y 01/13/09 J98 . Little Rock Ark Libr D I n t e r e s t J T B u y 01/13/09 J99. White Hall Bond D Interest J T Bu y 1 0 1 3 0 / 0 9 J100.

(S~ Columcs CI ~nd D3) E -$250,001 - $500.0~ O =$5~,001 - S 1,0~,0~ PI =S 1,0~,~l - $5,0~,0~ P2 = SS,~O,O01~ Q -Ap~l ~t (Re~I Onl~) S =Ass~ent T =Cash. Val~ Cod~s R


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FINANCIAL DISCLOSURE REPORTPage l0 of 1 1 D ~ w s o . , R i b b e r ! T . 0 4 / 2 8 ; 2 0 1 0\II11. ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPOR T I N .... fP . . . . . R e p o r t i n g D a l e o f R e p o r ~Page 1 1 of 1 1[ I D a , ~ s o n , R o b e r t T . 0 4 / 2 S / 2 0 ~ 0

IX. CERTIFICATION .I cer{ify 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 m y knowledge and belief, and that any information not reported was w ithheld because it met applicable slatuloryprovisions permitting non-disclosure.I further certify that earned income from outside em ployment and honoraria and the acceptance of gifts which have been reported are incomp liance with the provisions of 5 U .S.C. app. 501 el. seq., 5 U.S.C. 7353, and J udicial Conference regulations.

Signature

NOTE: ANY INDIV IDUAL W HO KNOW INGLY A ND WILFULI.Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUB JECT TO CIVILAND CRIMINAL SA NCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Comm ittee on Financial DisclosureAdm inistrat ive Office of the U nited States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544

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Robert T Dawson Financial Disclosure Report for 2009

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