1/2olo
(s u.s.c, app.
1. Person Reporthag (last name, first, middle initial) Duffey, Jr., William S. 4. Title (Arsclu FII judges indicate active or senior status; magistrate judges indicate full- or part-tlme) District Court-Active
7. Chambers or Office Addres~ 1721 United States Courthouse 75 Spring Street, S.W. Atlanta, GA 30303-3309
5b. [] Amended Report 8. On the ba~l~ of the information eenlained in thi~ R~port and any modffications pertaining therein, it Is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable informaliot~ Sign on lust pag~
POSITION
NAME OF ORGANIZATION/ENTITY
~
1.
PARSES A~
Nam~ofPerson Reporting
DateofReport
5/12/2010
B. Spouses Non-Investment Income - If you wer married during any portion of the reporting year, complete this sectiott
(Dollar amount not required except for honoraria.)
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE Mary Hall Freedom House, Inc. - Salary Holtzbrink Publishing Holdings, LP - royalties from copyrights Penguin Group (USA) Inc. - royalties from copyrights Random House, Inc. - royalties from copyrights Self-employed writer
DateofReport
5/12/2010
V. GIETS. (Includes those to spouse and dependent children; see pt~. 28-31 of filing instructions.)
DESCRIPTION
DESCRIpTION
3.
4.
5.
VH. INVESTMENTS and TRUSTS - ~co.....~., ..... ao~ a,~t~a~.ho, o o/spo.~, ..aa.p..a,., ~h~..~ ~,,~. ~.~0 o~ ~.,,ao.~)
~ NONE (No repomable income, msets, or ~ans~tions.)
A. Description of A~ts (including trust assets) Place "(X)" afl~ ~ch asset exempt from pfi~ di~lo~ B. In.me d~ng ~ng p~ C. ~oss val~ at end ofr~o~ p~iod D. Tra~actio~ during m~ning pefi~
0)
Amo~t Code I (A-~
)
Ty~ (e.g., div., r~ or ~t.)
(t)
Valus Code 2 (I-P)
(~)
Value Me~od Code 3 (Q-W)
0)
T~e (e,g., buy, sell, r~emp~on)
(2)
Date ~d~
(3)
Vflu~ Code 2 (J-P)
(4)
Gain Code I (A-~
(~)
Idmti~ of buyer!seller (if private ~a~aon)
1.
Brokerage Ac~unt #2
2.
Interest
3,
Interest Dividend K T
Sold
06/16/09 K
6. 7. 8. 9. I0. 11.
12.
Interest None
K K
-Van Kampen EQI GRW C (name change) -Unit Van Kampen Equity Allocation Portfolio A A
-Black.rock Global Allocation C A
Sold Sold
Buy
03/13/09
13.
(part)
-Van Kampen Capital Growth C None K T Buy
Sold
06/16/09
14.
03/19/09
15.
-Van
Dividend
Buy
Sold
03/02/09
16.
Interest
(part)
N T
1 2/I 0/09
I.,
17.
IRA #1
Dividend
1. Income Gain Codes: (se Colunms Bl and 134) 2. VMue Codes (See Colurrms C 1 at~d D3) 3. Value Method Codes (Se~ Column C2)
A -$1,000 or less F =$50,001 - $ 100,000 J -$15,000 or less N -$250,001 - $500,000 P~. e$0.5,000,0(11 o $50,000,000 Q -Appraisfl U ~Book Value
B -$1,001 - $2,500 G -$100,00l - $1,000,000 K ~$15.0O 1 - $50,000 CI =$5{X),001 - $1.000,000 R =Cost (Real Esl~t~ Only) V -Other
C -$2,501 - $5.009 HI ~$1,000,001 - $5,1X10,000 L ~$51),00 ] - $ 100,000 P1 =$1,000,001 - $5.0t~0,000 P4 =More than 50,000,000 S -Assessment W ~stimsted
D -$5,001 - $15,000 H2 -Mo titan $5,000,000 M -$ 100,001 - $250,000 P2 ~$ 5,(100,001 * $25.000,000 T =~ash Market
E -$15,001 - $50,0~)0
FINANCIALDISCLOSURE REPORT
Page 5 of 15
5/12/2010
VII. INVESTMENTS and TRU S TS - i~co,,~ ,,a.o, , ..... lions (Includes tSos* of sp ..... d depend*ha chltd, tn; s~ pp. 34-S0 offalng instruct;on.~)
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 peciod Amount I Type (e.g., Code I div., rent, (A-H) orint.) C. Gross value at end of reporting period Value .~ode 2 (J-P) Type (e.g., buy, sell, redemption) D. Transactions during reporting period
Interest
(part) (pan)
Sold Sold
Sold
12/15/09
12/25/09
J
J
22.
03/02J09
(pan)
Buy Sold
Sold
L K K A
Sold Buy
Buy Buy Buy
04/13/09 04/21109
04/21/09 04/21/09 04/21/09
K K
J J
J J J
A -$1,~00 or less F =$50.~ l - $ 100.0~ l -$1J,~0 or le~ P3 =$25,000,001 - $50,0~,~0 Q -Ap~isal U "B~k Vat~
Date of Report
5/12/2010
VII. INVESTMENTS and TRUSTS - ~,o,.. va~.o, transactions (IncI.des those of sp ...... d dependent children; $cepp. 34-60 of fillng instrmction.s.)
NONE (No reportable income, assets, or trm~actions.)
A. Dcscriptioo of AssEts (includin~ trust assets) Plac~ "(X)" ai~Er each asset exempt from prior disclosure B. Income durhng r=porti~g pc~od C. Gross value at End of reportir~g p~riod D. Transa~ions during reponing
(0
.~wnount Code I (A-H)
(2)
Typ~ (e.~., d~v., ~ent, or int)
O)
Value Code 2 (I-P)
(2)
Value MEthod Code 3
(1)
T)?e (e.. buy, sell, redemption)
(2)
(3)
(4)
Gah~ Coda I (A-H)
(s)
IdenfiU of buyerl$e]le.r (ifprlwle
(Q-W)
35, -General E]~c~c Capital Corp Buy 04/21/09
~a~o~)
36,
-Morgan Stanley
Buy
04/21/09
37.
Buy
04/21/09
38.
Buy
04/2 1/09
39.
Buy
04/21/09
40.
-V~rizon Communications
Buy
04/21/09
4[.
Buy
04/21/09
42.
Buy
04/21/09
43.
Buy
04/21109
44.
-AT&T Inc
Buy
04/2|/09
4~.
-Metlif~ Inc
Buy
04/21/09
46.
-Boeing Co
Buy
04/2]/09
.]
47.
Buy
04/2]/09
48.
Buy
04//I/09
49.
Buy
!04/21/09
50.
IRA #2
Interest
51.
1. Income Gain Code~: (Sc Colar~n~ BI and D4) 2. Vslue Codes (See Colurans CI ~nd D3) 3, Valu~ Method Code~
B ~$1,001. $2,500 G -$100,001 - $1,000,000 K ~$11,001 - $50,000 O -$500,D01 - $1,000,000 R -.Co~t (Real E:~tat Only)
E =$15,001. $50,000
blameofPerson Reporting
DateofR,port
P age 7 o f 15
VH. INVESTMENTS and TRUSTS - ~eom~ ~,~, , .....
5/! 2/20
aons anc~udo, ,~o~ oy~, ,~ a~, ~r~; ~ Pr. ~*-~0 om~ ~,.~#o~.~
52. -AWABSRT 53. 54. 55, 56. 57. 58. 59, 60. 61. ~2. 63. 64. 65. 66. 67. 68. Bevy Bya~, Inc. Gold cairn C & B Capital II, L.P. ** -Ke~onh B~ Roth I~ #I -V~ ~mp~ Gro~ & ~me C -Van ~mpen ~o~te Bond C Ro~ I~ g2 -V~ Kampen Growth & Income C NWMu~I Estate CompLife NW Mutual65 ~fe K & S Inves~ents C & B Capital I, L.P. * A B A A A None None None Interest Di~dend Mtcrest Dis~bufion Dividend None None M K W T L O L L J K T T U U A Dividend J T A Dividend J T Sold Buy 3/0~09 3/0~09 J J
I. Income Gain Codes: (Sc Colurar~ B I tad D4) 2. Value Codes (Se~ Cotumr~ CI tad D3) 3. Value Method ~..od ea (~ee Coluttm C2)
A -$1.000 or less F-$50,001 - $100,000 J -$15.000 or less N -$250,001 - 1500,000 P.~ -$25,00a,001 - $50.000,000 Q =Appmlsal O ~Bo~k Vldue
B =$1,001 - $2,500 G -$100,001 - $1,000,000 K -$15,001 - $50.000 O -$500,001 - $1,000,000 R -43o~t (Real Estate Ordy) V =Other
C =$2,501 - $5,000 HI -$I,000.001 - $5,000,000 L -$50,001 - $100.000 PI -$1.000,001 - $5,000,000 P4 =Mor~ than $50,000,000 S -As~-osment W -Estimated
D -$5.001 - $15,000 H2 -More than $5,000,000 M =$100,001 -$250,000 P2 =$5,000,001 - $25.000,000 T =Cash Magacet
E =$15,001 - $50.000
Date of Report
S112/2010
VII. INVESTMENTS and TRUSTS - i ........ ~,, t ...... tigris (Includes those of spouse and dependent children; set pp. Z#-~O 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
Income during reporting period (1) ) ~anount Type (e,g. Code I div., rent, (A-H) or int.)
~.
c.
(1) Type (e.g., buy, sell, redemption)
D.
Transactions during reporting peaSod (2) (3) Value n~ m yy Code 2 (.I-P) (4) Gain Code 1 (A-H) (5) ldentit7 of buyer/seller (if private ~amaction)
Gross value at end of reporting period (1) (2) I Value Value Code 2 Method (J-P) Code 3 (Q-W)
69.
Brokerage Account #1
-MS Bank Deposit Program -MS Equally Weighted S & P 500 -Blackrock Global Allocation C
-Blackroek National Muni C
K K
K J A
Interest
Buy Sold
(part)
Brokerage Account #3
-MS Bank Deposit Program -Ishares Dow InsUS Financial Sector -Ishares DJ US Cnsmr Non Cyclcl
-Ishares DJ US Healthcare Sorer
T Sold Sold
Sold
02126/09 03/02/09
02/26/09
K K
K
-Ishares DJ US Indl Seter -Ishares MSCI Emerging Mkts Fd -lshares MSCI EAFE Fund
-Standard& Poors Midcap 400
K J K
K B
84. 85.
Dividend
Buy Sold
04122/09 09/15/09
K K. A
Date of Report
Page 9 of 1:5
S.
5/12/2010
VII. INVESTMENTS and TRUSTS - income. ~a~o, t ...... tions (Includes those of spouse and dependent children: $et 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
(I)
Amount Code 1
(2)
Type (e.g.,
(1)
Value Code 2
(2)
Value Method Code 3 (Q-W)
(I)
Type (e.g.,
buy, sell,
(2)
(3)
(J-P)
(4)
Gain Code 1 Identity of
(A-H)
(J-P)
redemption)
(A-H)
86. 87.
88.
Dividend
Buy Sold
04/22/09 09/15/09
04/22/09
J J
J
Dividend
Buy
89.
90. -Ishares S&P 500 GRWTH Index
A
A
Distribution
Dividend K T
(part)
Buy
Sold
06/26/09
04/22/09
J
K
91.
92. -Ishares S&P 500 Value Index A Dividend K T
(part)
Buy
Sold
06102/09
04/22/09
J
K
93.
Sold
(paa)
-Ishares S&P Midcap 400 Index A Dividend J T Buy Sold -Ishares S&P Smallcap 600 Index A Dividend Buy Sold -Nuveen Municipal Value FD INC A
B
06/02/09
J J J J K
.I A
Dividend
Interest
Buy
Sold
(pan)
Buy
None
06/26/09
Sold Buy
12/11/09 04/22/09
J J
1. Income Gain Codes: (See Columns B I az~d D4) 2. Value Codes (See Columns CI aad D3) 3. Value Method Codes (See Colunm 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 - $2,500 G =$ l 0O,001 - $ 1,000,000 K -$15,001 - $50,000 O -$500,001 - $I ,000,000 R =Cost (Real Estate Only) V =Other
C -$2,501 - $5,000 H 1 =$ ] ,000,00 ] - $5,000,000 L -$50,001 - $100,000 P 1 ~$1,000,0Ol - $5,000,000 P4 ~More th~n $50,000,000 S -Assessment W -Estimated
D -$5,001 - $15,000 H2 =More than $5,0D0,000 M -$100,001 - $250,000 P2 -$5,000.001 - $25.000,000 T =Cash Market
E =$15,001 $50,000
Date of l~eport
5/1zt20~0
VII. INVESTMENTS and TRUSTS - z~ ...... ~.~, t ...... tion$ (Incl~de$ those of spouse and dependent children; see pp..~#-60 offring 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
0)
Amount Code 1 (A-H) I
(2)
Type (e.g., div., rent, or int.)
(])
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
Cl)
Typ* (e.g., buy, sell, redemption) ]
(2)
(3)
(4)
Gain Cod~ 1 (A-H)
(s)
Identity of buy=r/sello" (if private tranzactlon)
103.
104. -Vanguard EMRG MKTS ETF
105.
Sold
A Dividend J T Buy
Sold
12/1 !/09
04/22/09
06/02/09
J
J
J
Dividend
Buy
04/22/09
107.
Sold
06/02/09
Dividend
Buy
04/22/09
109.
(part)
A Dividend J T Buy
Sold
06/02/09
06/26/09
11 1.
Distribution
I 12. IRA #3
113. ! 14. ! 15. -Morgan Stanley Bank Deposit Program l 16. -The Technology Sel Sec SPDR FD 117. -Ishares Dow Jns US Fincl Sectr
E
C A
Dividend
Interest Distribution
Sold Sold
3/0709 3/2/09
K I
Sold
Sold
3/2/09
2/26/09
K
K
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Code~ (S~e Columm CI ~nd D3) 3. Value Method Code~ (S Columa C2)
A -$1,~00 vr Iesx F =$50,001 - $I00,000 J -$15.000 or less N-$250.001 - 1500.000 P] -$25.000,001 - $50.000.000 Q -Apprtisal O -Book V~.lu
B -~l,001 - $2.500 G =$100,001 - $1,000,000 K =$15,001 - $50#00 O -$500.001 - $1.000,000 R -Cost (Re~l Estat~ Only) V ~Dth~
C -$2,501 - $5.000 HI =$1.000,001 - SS,000,000 L =$_10.00] - $ I ~0.000 PI =$1.000,001 -$5,000.000 P4 =More than $50.000,000 S -Assc~m~at W -Est~r~tc.d
D ~$ ~;,001 - $] 5,000 H2 =Mort tlum M =$100,001 . $250.000 P2 =$~.000,001 - $25,000,000 T =Ca-~,h Mtrk~
E=$15,001. $50.000
Page 1 1 of 1 5
5/12/2010
VII. INVESTMENTS and TRUSTS -income, value, tranxac~ion, (lncludt~ those oDpo~e and dependent children; see Pl. 34-60 of fil~.g instru~onz)
---] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assels) Place "(X)" after each asset exempt from prior c[isclosur~ , I B. Income during r~ortit~g period C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Trunsactions daring reporting period (2) (3) Date Value mm]dd/yy Code 2 (J-P) 14) Gain Code 1 (A-H) [ (5) Identity of buyer!sailer (if privaIe. transaction)
(1) (2) Amount Type (e.g., ~ Code 1 div., rent, (A-H) or int.)
Sold
3/2/09
Sold
2/26/09
Sold
3/2/09
Sold
05/26/09
Sold
03/02/09
Sold
05/26/09
Sold
(part)
Sold Sold
Matured
12/20/09
127. -US TSY Note 8/15109 128. -MFS Charter Income TR SBI
129. -US TSY BD Fed 2/15/09
05126/09 5~6/09
02]15/09
K K
K D
Sold
03/02/09
131. -FHLMC 7/15/14 132. -Ishares Glbl Tech Sectr 133. -Ishares IBOXX InvostGR. 134. -[shares Barclays AGG (name change) 135. -FHLMC 11/20/15 136. -Ishares Barclays Tips BD FD
L K L M K K
(part)
I. Income Gain Codes: (See Columns B l end D4) 2. Value Codes (See Columns C i and D3) 3. Value Me~od Codes (See Column C2)
A =$1,000 or less F =$-~0.001 - $ 100,000 J =$15,000 or less N -$250,001 - $500.000 P] =$25,000,001 - $50,000,000 Q -Appraisal O =Book Value
13 =$I,001 - $2,$00 G -$ 100,00 ] $1,000,000 K =515,001 - $50,000 O -$500,001 - $1,000.000 R ~C~ (Reel Es~.te Only) V ~Oth~r
C =$2,501 - $5,000 FI ] =$ !,000,001 - $5.000,000 L ~$50,001 - $100.000 PI -$ l,O00.00l - $5,000,000 P4 -More S -A~mcnt W =Estimated
D -$5.001 - $15,000 H2 -More than $5,000.000 M =$1 P2 -$5,000,001 - $25.000,000 T -C~s~ Market
E-$15,001 - $50,000
1 N ....
I
fee.o.Repo.l.~
5/12/2010 Duffey, Jr., William S.
Page 12 of 15
VII. INVES TMENTS an d TRUSTS - ~=~, ~t~, ,...~..io.. a~a~ ~o,. o~,~ .... ~ dep~nd~nt ch~rn; 3e1 ~ 34-60 of fd~g
NONE ~o reportable income,. ~sets, or transac~ons.)
~ ~scfiption of Assm (includes ~t assem) Plac~ "(X)" aRer each asset exempt ~m prior disclose B. In,me d~g mpoging ~od 0) (2) Amo~t Type (e.g., C~ I ~v., rent, (A-~ ~ int.) C. Gross ~luc at ~nd of r~o~ing period 0) {2) Value ~ Value Code 2 Mrth~ (J-P) C~ 3 ~ (Q-W) 137. Sold 12/I~09 K B O) T~ (.g., buy, sell, redemption) D. Tr~aotions d~ng m~ming (2) (3) (4) ~at~ Valu~ Gain m~d~ C~r 2 C~e I O-P) (A-H)
Buy
05~6/09
Sold Buy
Sold
12/16/09 5/26/09
12/16/09
M M
L
(pa~)
Buy
12/16/09
143.
K K K K
144. -Ishares MSCI Canada Index FD 145. -Ishares MSCI Japan Index Fund 146. -Ishares MSCI Pac EX-JPN IDX
Buy
Sold (part) Buy
Sold
05/26/09
12/I 6/09 05/26/09
12/16/09
K
K L
K D
(p~)
151. -lshares S&P Midcap 400 Index Buy 05/26/09
152. -[shares SP Smalleap 600 Index 153. -Ishares TR MSCI Small Cap
Buy Buy
05/26/09 12/16/09
K K
I. Income Oai~ Cod~s: (See Col~s BI and ~) 2. Value ~es (Sos CoI~ C1 ~d D3) 3. Value M~ C~rI (S~ ~l~ ~)
A =$1,000 or less F -150,~1 - $l~.~O ~ =$15,000 or lesa N *$~0.~1 - $500,~ Q -~w~isll U "B~k Value
B =$1.001 - $2,5~0 G =$100.001 - $1.000,0~ K =$15,~1 - 150,~ O ~5~,~1 - $ I,O~.000 R ~t ~1 ~{at Only) V -Other
E =$15,~1 - 150.000
W -~ti~
Date of Report
5/12/2010
VII. INVESTMENTS and TRUSTS - i .... e. r~alu, transactions (Includes those of sp ..... d dependent children; see pp. 34-60 of.filing instructions.)
NONE (No reportable income, assets, or trar~actions.)
A. D~criptinn of Asse~s (including trust assels) B. Income during reporting p~riod C. Gross value at end of reporting period D. Transactions during reporting poriod
(1)
Place "(X)" after each asset exempt from prior disclo~re Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(l)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(l)
Type (e.g., buy, sell, redemption)
(2)
(3)
(4)
(5)
154. -Powershares DB Comm TRK INC 155. -Vangaurd EMRG MKTS ETF 156. -Vangaurd European ETF 157. -Vangaurd Intermediate Term BND 158. -Vangaurd REIT ETF 159. -SPDR Gold TR Gold SHS 160. 161. -Standard & Poors DEP ILECPTS 162. 163. -Vanguard Pacific ETF 164.
165. OneGeorgia Bank None J T
Buy Buy Buy Buy Buy Buy Sold Buy Sold Buy Sold
12/16/09 12/16/09 12/16/09 12/16/09 6/26/09 05/26/09 12/16/09 03/27/09 5/26/09 5/26/09 12/16/09
K L L M K K K L M J J B D C
l. Income Gain Codes: (See Co]~tarts B ! and D4) 2, V~l~e Codes (See Colmams C ] md D3) 3. Value M~lhod Codea (See Colum~ C2)
A -$1,000 or less F f$50,001 - $100,000 J "$ ! $,000 ~r less N -$2~0,001 - $5~0,~00 P~ -~;2~o000,001 - $50.000,000 Q -AppraisaJ U -Book Value
B =$1,001 - $~500 G -S100,001 - $1.000,000 K =$15,001 - $50,000 O ~$500,001 - $1,000,000 R -Cos~ (Real E.~tat~ Only) V -Other
C =$2,50 ] - $5.000 HI -$1.000.001 - $5,000,000 L =$50,00 ] - $100,000 PI ~$1,000.001 - $5,000,000 P4 -More than $ -Assessmgnt W
Date of Report
Page 14 of 15
5112/2010
"
Date of R~port
5/12/2010
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 staiulory 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 W1LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copieg to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.t~. Washington, D.C. 20544