R~v.

1/2olo

1o

I
[

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organiaafion Court of Appeals for the Fourth Circuit 5a. Report Type (check appropriate type) [] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act ofl978

d u.s.c, app, .~ 101-111)

3. Date of Report 05/15/2010 6. Reporting Period 0110112009 to 12/31/2009

I. Person Reporting (last name, first, m~d~l initial) Davis, Andre M. 4~ Title (Article IIl judges indicate active or senior status; magistrate judges indiea~-e full- or part-time) Circuit Judge

[] Initial

5b, [] Amended Report 7. Chambers or Office Address U S Court.house 101 W. Lombard Street Baltimore, MD 21201 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. Date

Reviewing Officer

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the zVONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. ~R,po,i.g
D NONE (No reportablepositions,) POSITION
1. 2. 3. 4. 5. 6. 7. 8. Member Member Instructor Instructor Lecturer Director Member of the Board Membe~ of the Boaxd

NAME OF ORGANIZATION!ENTITY
University of !rID School of Law Board of Visitors University of MD School of Law Dean Search Committee University of MD School of Law National Judicial College Pass the Maryland Bar, Inc. Open Society Institute-Baltimore Baltimore Urban Debate League, Inc. Community Law in Action, Inc.

NONE (No reportable agreements.) DATE PARTIES AND TERMS

1.

Davis, Andre M.

FINANCIAL DISCLOSURE REPORT Page 2 of 1 1

Name of Person Reporting oa~s, A.dre ,a.

Date of Report

05/1512010

III. NON-INVESTMENT LNCOME. (Reporting individual andsp ....

A. Filers Non-Investment Income NONE (No reportable non-investment income.) DATE
I. 12/24/2009 2.4/I/2009 3. 4. State of MD Pass the Maryland Bar, Inc.

; seepp. 17-24 of fding instructions.)

SOURCE AND TYPE

~COME
(yours, not spouses) $3,750.00 $1,008.00

B. Spo uses No n-Investment Income - t!~ou were married during any portion of the reporting year, omptete this section.
(Dollar amount not required excepl for honoraria.)

[~

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

Self Employed Education Consultant

I. 1213112009 2. 3. 4.

IV. REIMBURSEMENTS -,...~po.,~t~., taZZ~,g,!ooa, e.,..,.," .... .

(Includes those to spouse and dependent children," see pp. 25-27 of films i~tructions )

NONE (b~ reportable reimbursements.)

~ DATES September 28-October 2, 2009 Febma~ 2 I, 2009 LOCATION Cambridge, MA PURPOSE InstmctouTfial Advocacy Course Moot cou~ ITEMS PAID QR PRODDED Transpoflation, Lodging, and Food

1.

Harvard Law School

2. 3. 4. 5.

Villanova ~w School

Villanov~ PA

Tr~spo~ation, ~dging, ~d Food

Name of Person Reporting

Date of Report

FINANCIALpage 3 of 11 DISCLOSURE REPORT

Davi~,An~rc~l.

V. GIFTS. ancl, d,,,ho~ ~ ~o~, ~ ~,~,~,,~i~,~; ~,,~. :~.~ o/~i~ instr~tia~,)

NONE OVo reportable gifts.) SOURCE
1. 2, 3, 4. 5.

DESCRIPTION

VI. LIABILITIES. a,a,a,, tho,, o~, ,~ ......~ dependent childre. see pp. 32-33 off cling instructions.)
~ NONE (No reportable liabilities.) CREDITOR
I, 2. Sovereign Bank

DESCRIPTION
Mortgage on Rental Property/Eastham, MA

VALUE CODE
O

3.
4. 5.

Name of Person Reporting

Date of Report

FINANCIALpage 4 of 1 1 DISCLOSURE REPORT Davis, andrel~l.

0511512010

VII. INVESTMENTS and TRUSTS - income, value, tr ....

~] NONE (No reportable income, asse~s, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period Amoun Code I (A-H) Type (e.g., div., rc~t, or int.)

rion.~ (Includes thos, Of spO ..... d dependent children; seepp. 34-60 of.filing ir.~ttuclions.)

C. Gross value at end of reporting period Value Code 2 (.LP) Value Method Cede 3 (Q-W) T T T

I I Type (eg., buy, sell, redemption)

D. Transactions during reporting period

Date mm/dd/yy

Value I C,a~n Code 2 Code I (J-P) (A-H)

Identity of buyer/seller (if private h"ansacti0n)

I. 2. 3. 4. 5. 6. 7. ] 8. 9. 10. I I 1. 12. 13. 14, 15. 16. 17.

Citibank Accounts Capital One Accounts Bank or" America Accounts Google Common Stock Legg Mason Common Stock Roper Indus. Common Stock --* Suntech Power Hldgs Common Stock -AES Corp. Common Stock --Apartment Investment & Management Co Class A Corrunon Stock ----

A A A

Interest Interest Interest None

K J K

Sold Sold Buy Sold

06/08/09 01/29/09 01/06/09 04/14/09 05/27/09 02/02/09 05!21/09 04/07109 04/14/09 06/19/09 ! 01/06/09 02./13/09 04/07/09

K K J J K

A A

A A

Dividend Dividend

(part)
Sold None Buy Sold None Buy Buy (addl) Sold A Dividend Buy Buy (addl)

A A

K J J K J J

(~dl)
Buy (addl)

Buy

04/14/09 J

.Name of Person Reporting

PageFINANCIAL5 of 1 1 DISCLOSURE REPORT

oa~s, Andre 51.

05/I 5!2010

~I. INVESTMENTS and TRUSTS - in ......

A. Descriptlo~ of A~s~s (including t~st ~s~) Place "{X)" after ~ch ~et B. In.me during reposing period

lue. tt .... ctions (Inclu~s those of spouse and decadent children; se,pp. 34-60 of filing ins~uctMns.)

,NONE ~o reportable income, asse~, or transaction.) C. Gross v~ue ~t end of reposing period Value/ Value (JP) / Code 3 D. Zr~actio~ du~ng reacting period

Amo~t/ Type (e.g, (A-H) orint)

Type (e.g., I Date [ Value Gain redemption)

Iden6tyof

18. 19. 20, 21, 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

-BankofAmerica Common Stock ------Clean Energy Fuels Corp. Common Stock -General Electric Common Stock --Hewlett Packard Common Stock --Johnson & Johnson Common Stock None A Dividend A Dividend None A Dividend

Sold Boy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Sold Buy Sold Buy (addl) Buy (addl) Sold Buy (addl) Buy (addl) Sold Sold

05/27/09 01/06;09 01/20/09 01/29/09 01113/09 02/24/09 05/12/09 06/08109 02/24/09 06/04/09 01i29/09 02/13/09 06/04/09 01/06/09 02/13/09 06/04/09 02/13/09

K J J J J K J J J K J J K J J K K

C D D

B A

1. Income Gain Coder: (S~ Columns B I and D4) 2. Value Codc~ (~ee Colum.nr (21 an~ D3) 3, Value: Method Codes {See Column Cl)

A =$ I.O0o tx le!;s F =$50,601 . $100.000 J -$15,000 or It~ N =$250,001 . $500.000 P3 =$25,000.001 - $50,000,000 Q -Appraisal O =Book Va/ue

B =St,001 - $2.500 G =$100.001 - $1,000.000 K =$1~,001 - $50,000 O =$500.00l - $1,600.000 R ~Cogt (Real Estate Only) V =Other

C =$2.501 - $5.000 I11 =$1,000,00! - $5,000.000 [. ~$50.001 - $ 100.O00 PI =$1.0O0.00t - $5.000,000 P4 =More tb.an S =Assessment W =Esumated

D =$L001 - $15.000 H2 =More :ban $~.000,000 M =$100,001 - $250,000 P2 =$5,000,001 T =Cash lvlacket

E =I15.001 -$50,000

FINANCIAL DISCLOSURE REPORT

Page 6 of 1 1

Name of Person Reporling

D~te of Report

0S/15/2010

[ Da~, Andre ~.
VII. INVESTMENTS and TRUSTS -- i ........ ~, , ...... rio.$ a,,a.ae~,~o~, ol.p ..... ,f ae~...d~., ~.; r~o pp. ~-~o osYai.g i.~,~o,,~;
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 I of reporting period ~~1) (2) Value Value Code 2 [ Melhod (J-P) Code 3 D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) [ (3) (4) Dat~ I Value Gain mm/dd/yy ] Code 2 Code 1 (A-H) [ ! 35. 36. 37. 38. 39. 40. 41. 42, 43. 44. 45. 46. 47. 48. 49. 50. Verizon Common Stock Lines 40 to 78 report CLOSED-END and EXCHANGE TRADED FUNDS India Fund 1Shares Silver Trust IShares S & P Global Clean Energy IShares MSCI Brazil Index -IShares IlK China Index -IShares MSCI emerging Markets Index --Sold None None A A None Distribution Dividend None K J T T Sold Sold Sold Buy Sold Buy Sold Buy 01/06/09 02124/09 02i02/09 05/27/09 06/08/09 05/27109 06/08/09 04/14/09 K J .1 K K K K K J B A A D A None Merck Common SIock Qwest Communications Common Stock Starbucks Common Stock A A Dividend Dividend None Sold Sold Buy Sold Sold 06/04/09 06104109 01129/09 04115,09 01i16/09 K K J K K B A (J-P) A A (5) Identity of buyer/seller (if private

(part)

Buy 04115/09 (addl) 06/04/09 K D

51.

M~rgan Stanley China A Shares Fond

Dividend

Buy (addl)

01/06/09

Val~ Method C~cl Column C2)

Q -Appraisal U

R ~ost (R~I ~tat Only)

S ~sment

T ~ash Murat

FINANCIAL DISCLOSURE REPORT

[N~meofPe .... aeportin~

] ] Davis, Andre M. 05/15/2010

Page 7 of 11

VII. INVESTMENTS and TRUSTS -.i ........ l,~, t ...... tlort~ (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
[] NONE (Ao reportable income, assets, or transactions.) Descrip (i~.cludin Place "{X)" exempt froml A. of Assets ~t assets) :r each asset or disclosure B. Income during reporting period (i) (2) Amount Type (e g, Code l div., rent, (A-H) or i~.t,) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Sold None D. Transact.ions during reporting period (13 Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value G~un i mm/ddYy~ Code 2 Code II (J-P) (A-H)

Identity of buyer/seller (if private tra=sacti0n)

52. 53. 154 55. 56. 57. 58. 59, 60, 61. 62. 63. 64.

-Powershares Wilderhill Clean Energy Portfolio .. --Pov,ershares QQQ Trust Series 1 --Powershares Ex Traded FD Dynamic Clean Tech Port Trust Powershares Golden Dragon Halter USX China Portfolio (X) Royce Micro Cap Trust --A A Dividend Dividend None K K Sold A 06/04/09 K Dividend D

01129/09

Buy (addl) Buy (addl) Buy (addl)

02/02109 04114/09 04116/09

J J J

Buy (add]) Sold (part) Sold T T Buy (addl) Buy (addl) Buy (addl)

04/14,09 04i07109 !06/04/09

J J K B D

01/29/09 02/02/09 03/06/09 J J J

66. 67. 68.

-Royce Focus Trust, Inc. -A Dividend

Sold

Buy 05/18109 (addl) 06/04/09 J

Buy (addl) Buy (addl)

01/06/09 02tl3/09

K J

2. Valu= C~c= (Se* Columni CI =nO D3)

J -$15,0~ or I~ W -$250,~1 - $5~,~0 P] ~2~,~,001 - $50,~,~0

K =$ I ~,~1 - 150,0~ O ~500,001 - $1,0~,000

L =$50,~1 - ~ 100,~ PI =$1 ,~#0l - 15,000,0~ P( =More t~ 150,~0,000

M =$ t00,~l P2 =$~,~0.~1 -

FINANCIAL DISCLOSURE REPORT Page 8 of 11

,~ ....r Per,. ~vm~.:

0~, Andre M.

I)~,e otR,.0ort
0511512010

VII. INVESTMENTS and TRUSTS - ~ .... e, .at~,, , ...... ,~o., a.ct.a.$ ,ho,. o;,.o.,, a.d a.~.d..r ~ha~..~
NONE 6Vo reportable income, assets, or transaction.) Description of A~e~ (including t~st ~sets) Place "(X)" alter each anset exempt from prior disclosure Income during repomng period Amount Code ! (A-~ Type (e.g., div., renk orinC) ~ Gro~s valae at e~d[ ] of rcpo~ing period Value Code 2 I (J-P) V~lue Me~od ] Code ~ T~e(e g, buy, ~ell, redemption) I Transactions during reporting period

Date ~ Value a~d~yy I Code 2 ~ (J-P)

Gaia Code I (A-H)

Identity ~f buyetlsel~er 0fprivate

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79, 80. 81. 82. 83. 84. 85.

--. Select Sector SPDR Utilitie~ --Select Sector SPDR TRX Financial -Templeton Dragon Fund Diamonds Trust Series 1 -Lines 80 to 84 repoa MUTUAL FUNDS Davis NY Venture Fund Class C Europacifio Growth Fund Class A Legg Mason Opportunity Trust Legg Mason Value Trust T Rowe Price Growth Fund Rental Property--Eastham, MA (X) A A A A A Dividend ! Distribution None Distribution I Distribution Rent K K J J J PI T T T T T W None None None A Dividend

Buy (addl) Sold Buy Buy (addl) Sold Buy (addl) Sold Sold Buy Sold

03t16/09 06/04/09 03~5/09 03/31109 06/09/09 04,q5/09 06/09/09 04114/09 05127/09 06/04/09 K K J J J K K K K A A A A C

Z. Vnh~ C~

]-$15,O~orless

K ~15,~1 - 150,0~

L =$50,~1 - $100,0~

M =STY,001

FINANCIAL DISCLOSURE REPORT

N~me of Person Reporting

Dale of Reporl:

Page 9 of 11

Davis, Andre M.

05115/2010

NONE ~o reportable income, assets, or transactions.)

A. ~scriptioa of Assets (includir, g ~t ~sets) Place "(X)" after each asset exempt from prior disclosure B. Income during ~r~o~ti~g period Amount ] Code I (A-H) Type leg., d[v., ~nt, or int.) C. Gross value ~ end of reporting period Value Code 2 (J-P) Value Method Code 3 (Q~ E ~istributien PI W I J T~e (e.g., buy, sell. redemption) Da~ ] Valu~ [ Gain mm/d&~ / Code 2 ] Code I (J-P) (A-H) / Identityof buyer/seller (if private umsac~0n) D. Tractions during rc~ing ~riod

Trust No. I This i~ an income beneficiaW

trust.

Cole~nl B I and 04) Columns CI ~M D3) N =~250,~1 . $5G0,000 0 =$500,~1 -

FINANCIAL DISCLOSURE REPORT Page 10 of 1 1

~ .... f Person Reporting

Date

D~i~, Andre 51.

0511512010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. ~Imticate part of Report)

FINA_NCIAL DISCLOSURE REPORT Page 1 1 of 11

IX. CERTIFICATION.

N.,,e or Pe~o. aepor,iol Davis, Andre r~.

ha,, or R,~,ort O5/~SnO~O

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. ! further certify |bat earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRI.MINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544