AO I0 Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. District Court for the District of Columbia
5a. Report Type (check appropriate type) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..~.~ 101-I11)

I. Person Reporting (last name, first, middle initial) Sullivan, Emmet G. 4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate furl- or part-time)

3. Date of Report 08/09/2011 6. Reporting Period 01/0112010 to 12/3112010

Active District Court Judge

[] Initial

5b. [] Amended Report

7. Chambers or Office Address 333 Constitution Avenue, NW Washington, D.C. 20001

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 mast be followe,t Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~

I. P 0 S I T I 0 N S. tRepo,~,g i, alvla, at o.iy~ see pp. 9-t Z of filing instructions.)

l-~ NONE (No reportable positions.) POSITION
NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. mepora.g i.di,ia.at o.~; se~ ~,~. 1~-16 of filing instructions.)
NONE (No reportable agreements.)

DATE
1. 2. 3.

PARTIES AND TERMS

Sullivan, Emmet G.

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Person Reporting Sullivan, Emmet G.

Date of Report 08/09/201 I

III. NON-INVESTMENT INCOME. tReponi.g i.dividua andspouse; see p~ 17-24 of filing instruction~)
A, Filers Non-Investment Income D NONE (No reportable non-investment income.) DATE
I. 2010 2. 3. 4.

SOURCE AND TYPE

Pension (D.C. Government)

INCOME (yours, not spouses)

$61,099.00

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE

I.

SOURCE AND TYPE

2. 3.
4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmen~

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE 1. 2. 3.

4.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting

Date of Report 08/09/2011

Su~ ivan, Emmet G.

V. GIFTS. ancl, d~,ho,e to spouse ond d~,~nden~ children; see pp. 28-31 of fillng instructions.) NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. anclud~s those o/s, ou~ ~nd dep~nd~nt children; see pp. 32-33 of filing instructiong) NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporting Sullivan, Emmet G.

Date of Report 08/09/201 I

V I I. I N V E S T M E N T S a n d T R U S T S - income, value, ~a~actlo~ ancl,d~ ~hose o/,po,~e and dependent children; see pp. 34-60 of filing instructlons.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
[ (I)

B. Income during reporting period

(2)

C. Gross value at end of reporting period

(I) (2) (I)

D. Transactions during reporting period

(2) (.3) (4) (5)

Place "(X)" after each asset exempt from prior disclosure

Amount [ Code I (A-H) I E C

Type (e.g., div., rent, or int.)

Value Code 2 (J-P)

Value Method Code 3 (Q-W) S W

Type (e.g., buy, sell, redemption)

Date Value Gain mm/dd~ry Code 2 Code I (J-P) (A-H)

Identity of buyer/seller (if private transaction)

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

Rental Property I Income (Washington, D.C.) Rental Property 11 Income (Washington,

Rent Rent

O N

D.C.)
Janney Montgomery IRA Columbia FDS Class A Eaton Vance SMID Eaton Vance SMID Federated Equity FDS First Eagle Fund Growth Fund America, Inc. CLF (GFAFX) Keeley Small Cap Funds T. Rowe Price Growth Stock Fund T. Rowe Price Equity Thomburg Invt. Tr. Thornburg Income Builder Thomburglncome Builder Harbor International FD JP Morgan Trust I

A A A A A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

Sold Buy Sold Sold Sold Sold Sold Sold Sold Sold Buy Sold Sold Sold

12/31/10 11/12/10 12/30/10 11/12/10 01/08/10 12/30/10 12/30/10 12/30/10 12/30/10 12/30/10 11/12/10 12/30/10 12/30/10 : 12/30/10

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

A A C B A C A A

A D A

I. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISee Cohlmn C2)

A =$1.000 or less F =$50,001 - $109.000 J $15.000 or less N -$250.OOI - $500.0~O P3 ~$25.000.001 - $50.0~O.090 Q :Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15,0OI - $50.00~ O =$500.001 - $1.00~.000 R =Cost (Real E.slate Only) V =Other

C =$2.501 - $5,000 III =$1,0~0.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000,001 - $5.000.000 P4 =More than $50.00~.000 S =Ass~ssmc~l W =Estimated

D =$5.001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.0OO.001 - $25,000,000 1" Gash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting Sullivan, Emmet G.

Date of Repor~ 08/09/2011

VII. INVESTMENTS and TRU STS -income. value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "OO" after each asset exempt from prior disclosure I 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Artisan Funds Royce Fed. Ret. Sentinel Group FDS Delaware Diversified Income Ivy Asset Strategy A Rydex Series Managed Futures Strategy Janney Montgmery IRA ColumbiaFDS, Class A CalamosGrowth Fund A First Eagle Fund ThomburgValue Fund A AllianzOrr. Ren. A Janney Montgomery Fund Allianz Funds Multi Manager (X) Capital Income BLDR Fund, Class A (X) Columbia FDS, Class A (X) Eaton Vance SMID A A A A Dividend Dividend Dividend Dividend J T J K T T Sold Buy ll/12/10 ll/12/10 K J A A A A A A Dividend Dividend Dividend Dividend Dividend J J J J J T T T T T A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend B. Income during reporting period (I) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (A-H) O-P) (5) Identity of buyer/seller (if private transaction)

Sold Sold Sold Sold Sold Sold

12/30/10 12/30/10 12/30/10 12/30/10 12/30/10 12/30/10

K K J J J J

A B B A B A

I. Income Gain Codcs: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mclhod Cod~ (See Colmnn C2)

A =$1.000 or less F =$50,001 - $ 100.000 J =$15.000 o Ic~s N =$250.001 - $500.0~O P3 =$25.000.001 - $50.0~0.000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $ 1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R -~os! (Real Estate Only) V =O~hcr

C =$2.501 - $5.000 111 =$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 =Asscssmcm W =Estimated

D =$5.001 . $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000,001 - $25.000.000 T =Cash Markc~

E =$15.001 - $50.0~0

FINANCIAL DISCLOSURE REPORT Page 6 of 9

Name of Person Reporting Sullivan, Emmet G.

Date of Report 08/09/2011

NONE (No reportable income, assets, or transactions.)

Description of Assets Income during repotaing period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period Transactions during reporting period

(including trust assets) Place "(X)" after each asset exempt from prior disclosure

(I)
Value Code 2 (J-P)

(2)
Value Method Code 3

Typ~ (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-H)

(Q-W)
J J J J K J K J J T T T T T T T T T Sold 12/30/10 Buy
11/12/10

(5) Identity of buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46.
47.

Henderson Global FDS (X) Ivy Funds Inc. (X) Keeley Funds Inc.(X) Kinetics Mutual Funds (X) NFJ Div Int and Strategy Fund (X) Prudential Jennison20/20 Thornburg Invt. Tr Class A (X) D.C. Hsg Fin Agy Mun Bond (X) Janney Advantage Insured Sweep (X) Rydex Series Funds Managed Futures Stragtegy

A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend.

48. 49. 50. 51.

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISce Cohlmn C2)

A =$1.000 or less F=$50.001 - $100.000 J =$15.(~0 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50.0~0.000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100,001 - $1,000.000 K =$15,001 - $50.00~ O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Oth~

C =$2.501 - $5,000 |11 =$1,000,001 - $5.000,000 L =$50.001 - SI00,000 PI =$1,000.001 - $5.000.000 P4 =More than $50,000.000 S =Assessment W =Estimated

D =$5,0~1 - $15.000 tl2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5.000.001 - $25,000.000 T =Cash Markc~

E =$15,0~1 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting Sullivan, Emmet G.

Date of Repor~ 08/09/2011

VII. INVESTMENTS and TRUSTS -income, vat.e, ~o..~aio,~ ttncl.de, tho~e o/spots, ~nd ~,pe.de., children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3 Transactions during reporting period

(I)
Place "(X)" after each asset exempt from prior disclosure Amount
Code I (A-H)

(2)
Type (e.g.,
div., rent, or int.)

O) Type (e.g., buy, sell, redemption)

(2) Date mm/dd/yy

(3) (4) Value Gain Code 2 Code 1 (J-P) (A-H)

(Q-W) 52. 53.

54. 55.

Identity of buyer/seller (if private transaction)

56.
57.

58. 59. 60.

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes 1Se 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 leas N =$250,001 - $500.000 P3 =$25,0OO.001 - $50.000.000 Q =Appraisal U -Book Value

B =$1,001 - $2,500 G =$100,001 - $1.000,000 K =$15.001 - $50,000 O =$500.001 - $1,000.000 R :=Cost (Real Estate Only) V =Other

C =$2.501 - $5,000 I I I =$ 1.000,001 - $5.000.000 L =$50.0~1 - $10~.000 PI =$1,000.001 - $5.1Y)0.000 P4 =More than $50.000,090 S =Assessment W =Eblimated

D =$5.0OI - $15.000 112 =More than $5.009.000 M =$100.0OI - $250.000 P2 =$5.0OO.0OI - $25,000.000 T =Cash Markcl

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting Sullivan, Emmet G,

Date of Report 08/09/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofrepor~)

Part VII. Investments and Trusts Line Item 1. One-half interest Rental Property I (Washington, D.C.) - the assessed total value is $1,000,000. Line Item 2. One-third interest in Rental Property II (Washington, D.C.) - the estimated total value is $500,000.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Person Reporting Sullivan, Emmet G.

Date of Repor~ 08/09/2011

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 kno~vledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

! 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.

Signature: S[ Emmet G. Sullivan

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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