Beruflich Dokumente
Kultur Dokumente
1/2010
AO t0
I. Person Reporting (last name, first, middle initial) PAULEY IlI, WILLIAM H.
4. Title (Article IIl judges indicate active or senior status; magistrate judges indicate full- or part-time) U,S. DISTRtCT JUDGE(active)
[] Initial
5b. [] Amended Report 7. Chambers or Office Address UNITED STATES COURTHOUSE 500 PEARL STREET NEW YORK, NEW YORK 10007-1581 8. On the basis of the information contained in this Report and any modifications pertainiog thereto, it is, in my opinion, in compliance with applicable la~s and regulations. Reviewing Officer. Date
IMPORE4NT NOTES: The instructions accampanying this f~rm must be f!llowed. Camplete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Duke Univetsib, School ofkaw
-__..
II. AGILEEMENTS. (Reporting individual only: see pp, 14-16 of f!ling instructions,)
~ NONE (No reportable agreements.) DATE
1998
--.-~i
LJ
~o~_
Continuation ~f payments agreement with fo~er law partner, Franklyn H. Snitow, and his law fim~, Snitow Kanfer Holtzer & Mi[lus. LLP.
DateofReport 05/IZ"2010
IlI. NON-INVESTMENT INCOME. (~e~,ora,,g i,,ai.ZUu.~ .,,a~po.se; ~ee :~. t~-2~ o::ti.~ instructions.)
A. Filers Non-Investment Income
NONE (No reportable non-im~estment income.) DATE . I. 2009 Snitow & Pauley, a former law partnership winding-down its affairs (continuation of payments agreement described in Part II, line I) SOURCE AND TYPE INCOME (yours, not spouses) $3,081.00
B. Spouses N on-Investment Income - If you were married during any portion of the reporting year, complete this section.
(t)oHar amount nol required ~rcept for honoraria.)
NONE ~%ro reportable non-investment income.) DATE 1. 2009 2. 2009 SOURCE AND TYPE Self-Employed Licensed Real Estate Sales Person Self-Employed Floral Designer
2.
3.
Washington DC
N~ of P .....Reporting
Da,e of Report
PAt~.,}ZV m, W~L~,~AM H.
os~2/2o~o
V. GIFTS. a,~t,~s
NONE (No reportable g~s.)
SOURC~
1.
DgSCRIPTION
VALUE
3. 4. 5.
VI. LI~ILITIES. (Includes those of *~ ...... d dependent child ........ pp. 32-33 of filing instructions.)
NONE ~o reportable liabilities.) CREDITOR
1. 2.
DESCRIPTION
VALUE COOE
3.
4. 5.
N ....
fPerson Reporting
DateofReport
)5/12/2010
NONE ~ reportable income, assets, or transactions.) D~scfiption ofAssels (including trust assets) Place "(X)" after each asset exempl from prior disclosure Income during repoaing period [ ~) Amount Code ] div., rent, (A-H) j or int.) ~ Gross value at end of reporting period Transactions during reporling period
Code 2 (J-P)
mn~ddlyy
Code 2 (J-PI
Code I (A-II}
1. 2. 3. 4. 5.
COMMON STOCKS EXXON/MOBIL AXA AMERICAN DEPOSITORY SttARES PRUDENTIAL FINL SRVS IBM A A A A Dividend Dividend Dividend Dividend Sold Sold Sold Sold 08/25/09 08/25/09 08/25/09 08/25/09 J J J J D D (2 C
7. 8. 9. 10.
MUTUAL FUNDS ALGER FD BAL PORTFOLIO CL A (ALBAX) DAVIS NY VENTURE Flo.,ND CL A (NYVTX) DRYDEN TOTAL RETURN BOND FUNE CL A (PDB~%X) A A A A A B A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividcttd Sold Sold Sold Sold Sold Sold Sold Sold Sold Sold 08125109 08/25/09 08/25/09 08,"25/09 08/25/O9 08f25/09 08125109 08/25/09 08/25/09 08125/09 K K J K K 1, K J K K B B A B C A
l ~. DRYDEN ACTIVE ALLOCATION FUND CL A (PIBAX) I2. 13. 14. 15. 16. 17, DRYDEN INTL EQTY FD CL A (PJRAX) DRYDEN STOCK INDEX FUND CL A (PSlAX) DRYDEN SM CAP CORE EQTY FD CL A (PQVAX) FEDEfL,\TED INTERNATIONAL VALUE FUND CL A (FGFAX) GOLDMAN SACHS MID CAP VALUE FUND CL A (GCMAX) J. HANCOCK US GLOBAL LEADERS GROWTH CL A (USGLX)
..
Income during reporting period Amoun~ Type (e.g., ~ Code I , div., rent, (A-H) [ orint.) ] A A A Dividend Dividend Dividend None None A Dividend None A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Distribution Dividend Interest None
Gross value at end of reporting period Value Code 2 (J-P) Value lvlethod Code 3 (Q-W)
[ Date Value Gain ! ! rnm/dd!yy Code 2 [ Code 1 } : I (J-P) [ (A-II)[ ~ i [ 08;25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08125/09 08;25109 08.!25109 08!25/09 08/25t09 08!25109 08!25/09 08/25/09 08/25/09 08/25/09 K L K K K J K K J K K K J K J K J D
18. FUNDJENENISONcL ANATURAL(PGNAX) RESOURCES 19. 20. 21. 22. 23. 24. 25, 26. 27. 28. 29. 30. 3 I. 32. 33. 34. JD MODERATE ALLOCATION FD CL A (JDTAX) JENNISON UTILITY FUND CL A (PRU:aX) 3ENINSON SMALL CO. FUND CLASS A (PGOAX) DRYDEN STRATEGIC VALUE FUND CL A ($UVAX) SELIG INCOME A.ND GROWTII CL A (SINFX) SELIG SM CAP VALUE FD CL A (~SCVX) AGDAX - ALLIANCE BEKNSTEIN HIGH INC FD MCGFX- ASTOR FUNDS MONTAG & CALDWELL SMGIX- COLUMBIA CONTRARIAN CORE FD GSFTX - COLUMBIA FDS SER TRI DIV INC DPLTX - DREYFUS HIGH YIELD FD KDSSX - DWS VALUE SER INC SM CAP SGIIX - FIRST EAGLE GLOBAL FUND ICHHX - FRANKLIN/TEMPLETON HARD CUR FD FNYTZ - FRANKLIN NY TAX FREE INT TRM HFMCX - IlARTFORD MUTUAL FD MID CAP
Sotd Sold Sold Sold Sold Sold Sold K J K K K J K J K J T T T T T T T T T T Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
FINANCIAL DISCLOSURE REPORT ! Name of Person Reporting Page 6 of 1 1 P,U.tLF~V 111, WILLIAM 1t.
Date of Report
05!1212010
NONE (No reportable income, assets, or transactiot~.) Description of Assets {including tmsl assets) Place(X)" at~er each asset exempt liom prior disclosure [ ~ Income during reposing pe~od (1) (2) Amount Type (e.g., Code I div., rcnk [ (A-H) :. orint.) { A Interest None A A A A A Dividend Interest Dividend Dividend Dividend Non~ A A A A Dividend Interesa Dividend Interest Gross value at end [ of reporting period (11 {2) Value Value Code 2 Method [J-P) Code 3 (Q-W) K J K K K K K J J K J K T T "r T T T T T T T T T Tra~actiom during ~po~ing period
Date Value Gain i mm.,"d~yy { Code 2 Code 1 : (J-P) (A-II) . ~ ~ 08/25/09 08/25/09 08.25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/~5/09 08/25/09 08/25/09 K J K K K K K J J K J K
35. 36. 37. 38. ~39. 40. 41. 42. 43. ~4. 45. ~6 J47. 48. 49. 50.
FDHIPIX - HARTFORD INFLATION PLUS HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD IVQAX - MORGAN STANLEY ]%WL VALUE EQUITY FD SBN~ - LEGG MASON NY MUN FD LSGIX - LOOMIS SAYLES VALUE FD LISFX - LO~ ABBE~ M UN INC TR INTER FD MG~X - MFS INTL GROWTH FD NEFJX - NATIXIS ADVISOR SM CAP VAL FD PCG~ - PIONEER MID CAP VAL FD RMUNX - ROCHESTER M~I FD RYMFX - RYDEX SGI MANAGED FUT ST~T TGB~ - TEMPLETON GLOBAL BOND FD
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
51
A =$1,00) or less
[ [
Page 7 of ! I
VII. INVESTMENTS and TRUSTS - ~ .... ~, value, r ...... tious (Includes those esponse and dependent chitdrett; see pp. 34-60 of filing itlstr~ctio~s.)
NONE (No reportable income assets, or transactions.)
Description of Assets (including ~s~ assets) Place "(X)" after each ~set exempt from prior d~sclosnre Income during reposing period O) ~ (~) Amount] Type (e.g., Code 1 div., rent, (A-H) ~ or int.) ~ Gross value at end of repo~it~g perR~ (t) I Value Code 2 (3-P) (2) Value ~ ~ Method Code 3 iQ-W) (~) T~e (e.g., bay, sell. redemption) Tr~sacfions during reposing peri~ (2~ (3) Date Vaktc r~medd!yy Code 2 (J-P) ~ i4) Gain Code I ~A-ll) (5) Identi~, of buyer/seller (ffprivn~e transaction)
52.
JP MORGAN CHASE
tnterest
08:25/09 I0/15/09
53.
Interest
~4.
Interest
~ 55. 56.
AXA FINL LIFE INS (C~h Surrender Value) AXA FINL LIFE I~S (C~h Su~ender Value) WACHOVIA MONEY MA~T ACCOST EVERGREEN ~IC~AL MONEY MANET F~D NEW YO~ STATE COLLEGE TUITION SAVINGS FUND PROG~M WACI IOVIA
Dividend Dividend
A A
L ~
T T
57.
~ntercst
58. 59.
Interest
Sold L T Buy
08/25/09 I2/23/09 J
Interest Interest
60.
Sold
08/25/09
TPMXX - RBC PRIME MONEY MARKEI FD ACMXX- KBC MONEY MARKET OBLIGATIONS TRUST
A A
Interest Interest
K J
T T
Buy Buy
08/25/09 08/25/09
K J
RETIREMENT ACCOUNTS
401K PLAN ING IRA SCUDDER ALGER CAPITAL APPRECIATION FD CL A (AC,~X) JENNISON GROWTH CL A (PJFAX)
A A
K K
2. Valtlc Codes
J =1 t 5,000 or Jess
K =515,001 - $50,~
L =$50,001 - $100.0~
M =$ i00,00] - $250,000
Date of Reparr
05/12/2010
~ NONE ~qo reportable income, assets, or transactions.) B. ~ Income during J rcpo~ing period t~ (2) Amoun Type (e.g., Code 1 div., rea~ ~A-H) or Jut.) ~ None A Dividend None A D~vidend None None A A A A A A A A A A A lnterest Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J J J J J J T T "1" T T T T T T 3 T D, Transactions during rcpo~ing period 0) Type (e.g., buy, sell, redemption) (2) Date Value amddd/yy Code 2 (J-P)
69. 70. 71. 72. 73. 74. 75, 76. 77. 78. 79. g0. 81. 82, 83. 84.
JE~ISON MID-CAP GROWTtl FUND CL A (PEEAX) DAVIS NY VENTURE FLeD CL A (N~VTX) GOLDMAN SACHS TRUST F~D CAP GRWTH POKTFOLIO CL A (GSCGX) JENN1SON HLTH SCI FD CL A (PHLAX) JE~ISON SELECTGROWTII FUND CL A (SPFAX) SELIG COMM & INFO FD CL A (SLMCX) WACHOVIA MONEY MARKET FUNDS UTS GOVT SEC EQUITY TRUST TPMXX- RBC PRIME MONEY MARKEI FD ACMXX - RJ3C MONEY MARKET OBLIGATIONS TRUST AGDAX- ALLIANCE BERaNSTEIN HIGII INC FD MCGFX - ASTON FUNDS MONTAG & CALDWELL BGN1X - BLACKROCK GNMA PORTFOLIO SMGIX - COLUMBIA CONTRARIAN CORE FD GSFTX - COLUMBIA FDS SER TRI DIV INC DPLTX- DREYFUS HIGH YIELD FD
Sold SoId Sold Sold Sold Sold Sold Sold Buy Buy Buy B~y Buy Buy Buy Buy Buy
08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25,/09 08/25/09 08/25/09 08/25/09 08/25109 08125!09 08/25/09 08/25109 08,25/09 08/25/09 J J J J .I J 3 A A
|J rBca~k Value
V -Other
W =Estimated
Dateof Reporl
05/12/2010
VII. INVESTMENTS an d TRUSTS - i.eo.,., v.t~e, t ...... tion.v (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
a.
Description of Assets (including mast assets) Place "(X)~ after each a~set exempt from prior disclosure
[ Income during. i reporting period (2) ] (i) i Amount Type (e.g., Code I div., rent. (A-H) or int.I
B.
c.
(i) Type (e.g., buy, sell, redemptiun)
D.
Trausacfiuns during repor~ing period (2) (3) ~4) Date Value Gain mn~dd;yy Code 2 Code 1 I J-P) (A-H) i Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy gny Buy Buy Buy Buy 08/25/09 08/25/09 08,25.;09 08.."25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25.;09 J 08.."25/09 08/25/09 0812511)9 08/25109 08~5109 08125.,09 08125/09 J J J J J J J 21 J J J J
Gross value a~ end i of reporting period (l) ! (2) VaIne i Value Code 2 Method i Code 3 i (J-P) i i (Q-W) J J J J J J J .I J J J ,I J J J J T T T T T T T T T T T T T T T T
86. 87. 8& 8% 90. 91. 92. 93, 94. 95. 96. 97, 98. 99,
SGIIX - FIRST EAGLEGLOBAL FUND ICHHX - FRANKLINfFEMPLETON HARD CUR FD HFMCX - HARTFOR3) MUTUAL FD MI.E CAP I IIPIX - t tARTFORD INFLATION PLUS FD HLLVX- JP MORGAN SHORT DUR BOND FD HSKSX - JP MORGAN TR1 II1GHBRIDGE STAT FD WOBDX - JP MORGAN TR2 CORE BD LSGLX- LOOMIS SAYLES VALUE FD MGRAX - MFS INTL GROWTH FD IVQAX - MORGAN STANLEY INTL VALUE EQUITY FD NEFJX- NATIXIS ADVISOR SM CAP VAL FD PAGNX - PIMCO GNMA FD PCGR.X - PIONEER MID CAP VAL FD RYMFX - RYDEX SGI MANAGED FUT STRAT
A A A A A A A A A A A A A A A A
Distribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
100. TAIBX - TARGET PORTFOLIO INTER TERM BD 101. TGBAX - TEMPLETON GLOBAL BOND FD
A :,$1,000 er less
B =$I.0~31 - $2.500
C :$2,501 - $5.Y30
13 :~5,001 - $t5.~0
U =B~k Va~ue
V ~Other
Nolle,
DateofReport
05/12i2010
I certify that all information given above (including information pertaining to my spouse and minor or dependent chilttrcn, 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. 1 further certify lhat earned income front outside emplo)Tnent and honoraria and the acceptance of gifts which have beeu reported are in compliauce ,,~th the provisions of 5 U.S.C. app. 501 et. seq., 5 I.I.S.C. 7353, and Judicial Conference regulations.
Signatu
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIl, AND CRIMINAL 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