ao ~0

~e,,. 1/2010

FINANCIAL DI SCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Org:mizatlon WESTERN DISTRICT OF N.C. 5a. Report Type (check approprialc Ivpe) r--] Nomination, [] Initial [] Annnal 5b. [] Amended Report Date [] t-inal

,~,,,,-, Required by the Ethics"

in Government ,4ct of 1978

0 u.s., app. ,~k lO1-1!1)

3. Date of Report 7/15/2010 6. Reporting Period 01/01/2009 12/31/2009

i. Person Reporting (last name, firsl, middle initial) MULLEN, GRAH~\iVt C. 4. Title (Article III judger; indicate active or senior statusi magistrate judges indicate full- or part-time) U.S. DISTRICTJUDGE-SENIOR

7, Chambers or Office Address 230 CHARLES R. JONAS BUILDING 401 WEST TRADE STREET CHARLOTTE, NC 28202

8. On the basis of the information contained in this Report and an) modifications pertniuing thereto, il is, in my opinion, in compliance with applicable lairs and regulations.

Reviewing Officer

Date

I~WPOR TA NT NO TES: The instrm-tio~s a~companying this form must be followed. Complete all parts, checking the NONE box for each part where y~u have no reportable information. Sign on last page.

NON E (No reportable positions.) pOSITION NAME OF ORGANIZATION/~NTITY

~ :~ ~ ] : ~: ~, :~ ~l

I. _. 3.

5.

I I. AGREEMENTS. mworting individual only; s,," pp. 14-16 ,filiu# iuatruction~)

NONE (No reportable agreements.) DATE
I.

PARTIES AND TERMS

Mullen, Graham C.

FINAN(.IAL DISCLOSURE REPORT Page 2 of 16

,~ .... of Person I<eporting ~tmL~, CRAnA~~ C.

Da,eofR,~por,

W~5;20~0

A. Filers Non-Investment Income NONE (No reportable no~-investment income.) I)ATE_: SOURCE AND TYPE INCOME. (yours, not spou~-"s)

4.

B. Spouses Non-Investment Income - U.vo. were n~arried during an) portion o]the reporting year, complete this sectio~
(~)o!!ar amoshi not required ~xt ~,pt.for honorario )

NONE (No reportable non-investment income.) DATE 1. 2. 3. 4. SOURCE AND TYPE

IV. REIMBURSEI~IENTS -- trattSporration, lodging,food, entertai

NONE (No reportable reimbursements.) SOURCE I)ATES LOCATION PURPOSE ITEMS PAID OR PROV1DED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 16

MUI,LEN, GRAHAM C.

7/J5/2010

..a dependetH children; see pp. 2~-31 ~flling instructions.) NONE (&~ reportable girls.)
SOURC~
I.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. a.a.a.,-t~,o.,.~ o,~ ....... d ~.~,~.~ ~,~,~: ~,~. s~-ss oy~u~, ~,~0.~o,~.~
~ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 16

VII. INVESTMENTS and TRUSTS--~ ........ ~.,.,, ...... ,io.~a~.~.,t~o~.4.v ....... ddepenaentcmtaren;seepg34-6#off!linginstrucaons.)
NONE (No reportable income, assets, or transactiom.)
Description of Assets (including trust ~sets) Place"iXaft ..... basset exempt [?ore prior disclosure Income during reporting period ~A .....t: qvpc(e,g.+ ~ Code I dw. rent, ~ (AIH) or iut.J Gross value at end olrcporling period Value Code 2 (J-P) Value Method Code 3 Type(e.g, buy, sell, redempt on) "Jransaclions during reporting period

+ Date Value ]Gain ]m~d~ ~ Code z Code ] (J-P) " (A-H)

Idcntityof buyer{seller (if private

2+

4.

6.

8.

10.

FINANCIAL DISCLOSURE REPORT Page 5 of 1 6 V! I. INVESTMENTS and TRUSTS -- i ......... ............. ~. .....................
[~scription of Assets (including t~st assets)

s .... r r,t.so~ R~porti.~

MULLEN, GRAHAM C.

] ]

I,.,c ofa~oo~, 7/15/2010

~,,e. t ........ tions anludes those of sp ...... d depended, children; seepp. 34-60 of filing instruclions.)

~ NONE (No reportable income, a~sets, or lransactions.)

~ ............... ~ ........... ~ ............................... ~ ................

lncomc during reporting period Gross value at end of reporting period Transactions during fcporting ~riod

t~ .....
(A-tf) [ ~ or int.) (J-P) i ............................................................ ~ .......... 18. ~ Code 3 ) (Q wl I ........................ ] ............... i ~ redemption) [ I /

[ ~J-e)
:

i [

(A-a)
* ,

(if private ~amaciion)

~20.

22.

24.

FINANCIAL DISCLOSURE REPORT

: N~eofV .....

Reportiag [

Date of Report

Page 6 of ! 6
VII. 1 NVESTMENTS and TRUSTS -- i .......

MULLEN, GRAiiAM C.

7/15/2010

.,t,~. tranyactbms ancludes those of spou .... d dependent children; see pp. 34-60 of filitlg instructions.)

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

Description of A ssets (including t~st assels) Place "(Xj" after cac~ asset excmp~ from prior disclosure Income during rcpordng period Type le.g., div, tent, or int.J Gross value at end of rcporling period Value Code 2 (J-P) Value ~ Method ~ Code 3 ] [ Type (e.g, buy, ~ell, ~ redemption) ~ ] ~ Date V~luc Gain ]m~d&~ Code 2 Code I ] (J-P) , A-H) Identi~, of buyerlseller (if private T~an~ctions during rcpoaing ~riod

iAmount , Code I ~ (A-Hi

36.

39.

43.

51.

2 Value (~odes

J =~15,1881 or less

K =1~ 5,~01 - $50,0~

1. =$50,001 - $1~,~0

M =11~,001 - $250,0~

FINANCIAL DISCLOSURE REPORT

Page 7 of t 6

N ....... P .....Rporting f ]

Date of Report

MLLLEN, GRAIHAM C,

7/1512010

VII. INVESTMENTS and TRUSTS --i,,. ...... ~,,.. t ...... ,io.~ (1retortes tt~ase of spouse and depenctem children; seept,.
NONE (No reportable income, a.~sets, or transactions.)
Description of Asse~ (including t~sl assetsj Place"(XV after each asset exempt from prior disclosure income during ~ reporting period Amoum ~ Type (c.g., ~ (A-H) i or ira.) Grots value at end ] of reporting period Vahc Va ue Transactions during rcpoaing period

T~e (c.g, / Date Value ~ redemption) {J-P) (A-II) I (if private

0-P) [ Code 3

53. 54.

57.

62.

I. Incolc Gain Codes

A , $1,l)l~) or less

|] =$1,0tH . $2,500

C =$2,501 - $5,000

D =$5.00} - $15,009

E ~$I 5,001

FINANCIAL DISCLOSURE REPORT

Page 8 of 1 6

,~a,.,, Ol |e ....Reporting

Dale of Repurl

~lU~LtN, GRAIIAM C.

7/15/2010

VII. INVESTMENTS and TRUSTS -- i,, ..... ., vatue, t ...... lions (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructions.)
-"-] NONE (No reportable income, assets, or transactions.)
Description of Assets (inciudine~ trust assets) Place "(X)" after each asset B Income during reporting period A" (A-H) .......................................... ~- ........... 69, :i ~ : .[ " (.g.. orint.) Gross value al end of ccporting period ~" (I-P} ~ " D. Transactions during reporting period [ " ~e (e.g., ] Date Value (J-P) Gain [ (A-II) [[ Identityof

Code3 ] redemption) [ (Q-W) ~ ] : .......... ~ ............

(if private I transaction) _ L .........................

73] 74.

: ~ii~~

76.

78.

I l/tt:omc Goin Codes:

A =$l.000or ~ess

lt=$1,001 - $2,500

C =$2,50t -$5.000

D=$5.001 $15.000

FINANCIAL DISCLOSURE REPORT

N,., or Person Reporting

MULLF-N, {.:RAllAt%I C.

l)a,e of Report

Page 9 of 1 6

7/15/2010

~
VI I. 1 NVESTMENTS an d TRUSTS ~ i .......... ~.~, ,~o ..... ,io~s a~,.tua~s ,ho.~e of sp ........ d a~p~.ae.~ children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)

....

A. "
Description of Assets (including ta,st .... ts)

~,

~ ....
Income during r~porting period

~:.: .............................. 6.
Gross value at end 0f r~mg P~5~ (I) ~ {2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during re~ing period (I) ] (2) ~ (3) (4) T)~e [c.~., [ Date ~ Value Gain buy, sell. [~d~vy [ Code 2 Code I [ redemption) (J-P) (A-H) ] Identity of buyer/seller (if private

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

. ~~ ~ " (2) .... [Amoum Type (e.g., Code I div., rent, (A-H) [ or int.}

86

88.

89. 90.

102.

FINANCIAL DISCLOSURE REPORT Page 10 of 16

Name of Person Reporting

Date of Report

7/15/2010

VII. INVESTMENTS and TR_USTS - i ..... 2, value, t ...... lions (tnctuaes awse ofs, ouse ana ae~naent ~itarem seeps. Z4-aa af ~ting i,,s~uctions.)
NONE (No reportable income, assets, or transactions.)
Description of Assel~ (inchlding I~st [ Income during Gross value at elld ol~epo~ting period / Tra~salions during le~i~lg period , :

..... ptfrompriordiscl .....

,Codcl : di," .....t, Code2 ~ Mcth~l / buy, sell, [m~d~lCode2 [Codel [

buyer/~elle,

104.

109.

113.

115.

117.

FINANCIAL DISCLOSURE REPORT Page 1 ] of 16

Name of Person Reporting

Date of Report

MULI~EN, (gRAIl,AM C.

7/1512010

VI I. INVESTMENTS and TRUSTS --i,,,. ....... ~,,,,, ....... ,io., (Inetudes those of sp ...... d dependent cMldren; seepp. 34-60 olfiling instructions.)
NONE (No reportable income, assets, or transactions,)
A. Descdptio~ of A~scts (including trust assets) Place "(X)" aft ..... basset exempt from prior disclosure ~ ~ B. Income during reporting period C. ] Gross value at end ~ ofrepoOing period ] Value I Method [ Code3 Type(e.g., buy, se I, redemption) D. Transactions during reporting period

A ...... t Type(e.g., / Value , Code I div rcnk [ Code 2 (A-H) ~ orint) [ (J-P)

Date Value I GMn

Im~d~yy Code 2 ~ Code

(J-P) (A-H)

Ideatityof buyer/se let (ifpfivate

] ..... ...........
121.

i123. 124. 125.

127.

129.

131.

133.

135.

FINANCIAL DISCLOSURE REPORT Page 12 of 1 6 V 11. INVESTMENTS and TR U STS -- ~ .....

~
............................ A. - ................ Description of Assc~ (including trust assets) : ~

N ..... r P~r,o. R~or~ing

~lt~LLEN, (:RAHAM C.

[ 7/15/2010

lions (Includes lhose of~pous, and de~ndent children; ,eepp. ~, value, , .......

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

B. 7 .............................. 1 .......during ................ a~ cn~ Gross value reporting period ofrepoaing period 65 ............................... Transactions during reposing ~riod

exempl *h)m prior disclosure .............. i ..................... I 37.

i Code I div. rent, : (A-It) : or int3

Code 2 (J-P)

Method ~

buy, sell, redemption)

mm.td~ ~ Code 2 Code ~ ~l (j_p) (A-H) ~ ............................ i .........................

Code(Q.W)3 t~ 2 .........

139.

145.

t47,

150.

152.

FINANCIAL DISCLOSURE REPORT

Page ] 3 of 1 6 VI.I. INVESTMENTS and TRUSTS -- i .....

N~me of Persou Reporting

Date of Repor~

MtILLEN, GRAIlAM C.

7/15/20t0

,, value, t .......ions (Includes thas of sp ...... d dependent children; seepp. 34-60 of filing instructions.) ,

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

Description of Assets including ~sl ~scts) Place"(X)" after each assel exempt from prior &sc osure Income during reporting period Gross vzlue at end of reporting period Value Me hod ~ Code 3 [ , D. Trnns~ctions during reporting ~riod

Amount : T~c (e.g.. Value Code I ~ iv.. rent Code 2 (A-H) or at I I [JP}

Type (e g [ Date bt y, se . ~ n~d~yy redemption) [

Value~ Gain Code 2 ] ~ ode I (J-P) ] (A-H)

IdentRy of buver/~ller (~p, rate

154. !55

~" ~,~!

~"

157.

1~.

!63.

169.

FINANCIAL DISCLOSURE REPORT

~.,~ of Person Reporliag

I Date of Report

Page 14 of 1 6

~L,L~.V.~, GRAIIAM t2.

7/15/2010

NONE (No reportable income, assets, or transactions.) Description of Assets (including I~st assels) Place "(X)" after each asse~ exempt l}om prior disclosure Income during reporting period Gross value at cad of reporting period Value Code 2 0-P)

Transactioos during re~ing ~riod

[Amounl Type (e.g., i Codc I { dlv,, rcnt, , I.A-H) , urint.) i

Value T~e (e.g.. } Date Value {.lain Identity of buy. sen, Method buyerisdler /mm/d~yy Code 2 ~ Code 1 [ Code 3 redemption) (if private j (J-P) ~ (A-H) [ {Q-W) { transaction) ............................. ~/ ....... a ....... t ...... L ................... ]

~71.
172.

175. 176 177. 178. 179.

FINANCIAL DISCLOSURE REPORT Page 1 5 of 1 6

N .....fP~r~on Reporting

Date of Report

MLq.LEN, GRAHAM C.

7/15/2010 1

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. c~,,a~~,,e~,~,,oln.~e,,r~

FINANCIAL DISCLOSURE REPORT

N ..... fP ..... Reporting

Page 16 of 16
IX. CERTIFICATION.

~U~LLf:N, GI~AIIAM C.

I certify that all information given above (including information pertaining to Iny spouse and minor or depeudenI 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 uon-disclosure. I further certi~ that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in eompllauce with the provisions of 5 U,S.C. app. 501 et, seq., 5 U,S.C. 7353, aud Judicial Conference regulations.

Signatu

NOTE: ANY INDIVIDUAL WitO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (.5 U.S,C. app. 104)

F1L1NG INSTRUCTIONS Mail sighted 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