FI1 ANCIAL DISCLOSURE REPORT

Transcription

1 _ A010 Rev. 1/2004 FI1 ANCIAL DISCLOSURE REPORT Calendar Year 2003 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app ) 1. Person Reporting (Last name, First name, Middle initial) Collyer, Rosemary M 4. Title (Article m Judges indicate active or senior status; magistrate judges indicate full or parttime) U.S. District Court Judge 2. Court or Organization District Court Washington D. 5. ReportType (check appropriate type) 0 Nomination, Date 0 0 Final 3. 5/15/ Reporting Period 1/1 /2003 to Chambers or Offce Address E Barrett Prettyman Courthouse 300 Constitution Avenue, NW Washington, DC On the basis of the infonnation contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Offcer Date IMPORTANT NOTES: The instrctions accompanying this fonn must be followed. Complete all pa, checking the NONE box for each par wher you have no reportble infonnation. Sign on la page. I. POSffONS. (Reporting individual only; see pp. 913 of filing instructions} 0 NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/E l. Trutee Trust # II AGREEMS. NONE (No reportable agreements.} (Reporting individual only; see pp of filing instructions} l. PARTIES AND TERMS Cl (/) (""',., D=: r..r..:.. c"" C) P1... C:::: =.&:"...,_ :; < AJ ii :;1 CJ ' rn, _......_ co f'"ll) :: :!:.. <.:..., lj, ;, rn ""1 w 0 N co

2 I INAJ CIAL DISCLOSURE REPORT Collyer, Rosemary M 5/ ill. NONINSTMENT INCOME. (Reporting individual and spouse; see pp of filing instructions) A. Filer's NonInvestment Incom D NONE (No reportable noninvestment income.) SOURCE AND TYE GROSS INCOME (yours, not spuse's) l Crowell & Moring U., Distrbution of Capital Account 239, B. Spouse's NonInvestment Incom (If you were married during any portion of the reporting yer, pleae complete this section. (dofiar amount not reuired except for honoraria) NONE (No reportable noninvestment income.) SOURCE AN TYE l. N. REIMUREMES transportation, lodging, food, entertainment. fl J {Includes those to spouse and depen ent children. See pp of instructions.) NONE (No such reportable reimbursements.) SOURCE DESCRIPTION l. 2.

3 l''inancial DISCLOSURE REPORT Collyer, Rosemary M 5/15/2004 V. GIFTS. (Includes those to spouse and dependent children. See pp of instructions.) 0 NONE (No such reportable gifts.) SOURCE DESCRIPTION VALUE!. Crowell & Moring LLP Engrved crystal gavel $ Crowell & Moring LLP Labor & Tiffny bras clock Employment Law Group $ Occidental Chemical Corp. Crystal decanter and glass $ R. Emmett Boyle and Debbie Bolger Crytal vase $300 VI LIAILITIES. (Includes those of spouse and dependent children. See pp of instructions.) 0 NONE (No reportble liabilities.) CREDITOR DESCRIPTION VALUE CODE 1.

4 , Fii Al CIAL DISCLOSURE REPORT Date ofrepmt Page 1of7 Collyer, Rosemary M 5/15/2004. vrr. INSTMENTS and TRUSTS income, value, transcations (includes those of the spouse and dependent children. See pp of filing instrctions.) A. B. c. o. Descrition of Assets (including trt assets) Place "(X)" aftr each asset exe111>t fim prior disclosur Income during Gross value at end of Transactions during reporting period reporting period reporting period (I) (2) (I) (2) Nmun Code I (AH) Typ {e.g. div. rcl or in) Value Code2 (JP) Value Method CodeJ (QW) (I) Type (e.g. buy, sell, me, retion) (2) Date: Month Day If not exempt fiom disclosure (3) (4) Value Code2 (JP) Gain Code I (AH) (5) Identity of buyerseller (if prvate trnsaction) DNONE (No reble income, assets, or trnsctions) 1. QUALIIED REMENT PLAN #I I Fidelity Aggrsive Grwt Fund... Sell 10/ Sequoia Fund 4. Fidelity Spartan US Equity Index Fund 5. Fidelity Puritan Fund 6. Fidelity Diversified International Fund 7. Fidelity Managed Income Portolio II (Stable Value Fund) 8. Fidelity Money Market Mutual Fund Sell Sell 10/15 _,..:.. Sell! 11/18..:.. Sell , Sell 10/15 ;..:.. Sell ;.. 9. BROKERAGE ACCOUN #1 10. AACommon..,.....,.. Buy 1/16.! 11. Partal Sale ; 12. AA Call Option Sell Short 4/ ADRX Common Exerised 11/4.... Sell ADRX Call Option.... Sell Short 4/11 m:.... Exerised 6120 : 17. AFC Common 18. APPX Common.... Buy 4/24 ii IncomeGain Codes: A = $1.000 or less B = SI,00lS2,500 c = $2,501$5,000 D = $5,001$15,000 E = $15,001$50,000 (See Colwnns Bl and D4) F = $50,001$100,000 G = $100,001$1,000,000 HI = $1,000,001$ H2 =More than $5,000, Value Codes: J = $15,000 or less K = St5,001$50,000 L = $50,001$100,000 M = $100,001$250,000 (See Colums Cl and D3) N = $250,000$500,000 0 = $ $1,000,000 Pl = $1,000,001$5,000,000 P2 = $5,000,00!$25,000,000 P3 = $25,000,001$50,000,000 P4 = $More thn $50,000, Value Method Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessmnt T =Cash/arket (See Colwnn C2) u =Book Value v =Other w =Estimated

5 Fl ANCIAL DISCLOSURE REPORT Page 2of7 Collyer, Rosemary M 5/15/2004 VII. INVESTMNTS and TRUSTS income, value, transcations (inclu des those of the spouse and dependent children. See pp of fiing instructions.) A. Description of Assets (inclu ding tr assets) B. c. Incme durng Gross value at end of Transactions during reorting period rertng period reportng period D. lfnot exempt frm diclos (\) (2) (\ ) (2) (l) (3) (4) (5) Place "(X)" aftr each asst exempt Atmllll Typ (e.g. Value Value Type (e.g. Date: Value Gain Identi of ftm prior disclosure Code I div. ret or Code 2 Method buy, sell, Monlh Codc2 Code I buyerfseller (AH) int) (JP) Code 3 merger, Day (JP) (AH) (if private redemption) trction) (QW) (2) i Sell 7/ APPX Call Option.. Sell Short 21. Exerised 7/ BRK Common Class A : I......, BVF Common (X Sell 10/ BVF Call Option Sell Short 3/ Expired / CMGI Common i CMS Common (X Sell 1/8 CN 28. Common (X DDCommon Buy 1/ I.. : 30. DD Call Option Sell Short 512 '..;.. : EP Common (X Sell 7n GECommon Buy 1/ Partial Sale 12/26..: GECall Option Sell Short 3/ GMCommon I.... Exercised Buy 1/ Ill I. IncomeGain Codes: A = $1,000 or less B = $1,00lc$2,500 c = $2,501$5,000 D = $5,001$15,000 E $15,001$50,000 (See Colum BI and D4) F = $50,001SI00,000 G = $100,001$1,000,000 Hl = $1,000,001$5,000,000 H2 =More thn $5,000, Value Codes: = $15,000 or less K = $15,001$50,000 L = $50,00 l$100,000 M = $100,001$250,000 (See Colums Cl and D3) N = $250,000$500,000 0 = $500,001$1,000,000 Pl = $1,000,001$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50, P4 = $More thn $50,000, Value Method Codes Q =Appraal R =Cost (Real Estate Only) s = Assessment T = CashMarket (See Colunm C2) u =Book Value v =OU1er w =Estimated

6 FINANCIAL DISCLOSURE REPORT Page 3 of 7 Collyer, Rosemary M 5/15/2004 VI INSTMENTS and TRUSTS income, value, trnscations (includes those of the spouse and dependent children. See pp of filing instrctions.) A. B. c. D. Income dwing Gros value at end of Transactions during reporting per Descrition of Assets rerting period reportg period (including trt assets) (I) (2) (1) lfnot exempt fiom disclosur (2) (3) ( 5 ) Place "PO" after each asset exempt Ammmt Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of frm prior disclosur Code 1 div. renl or Cod 2 Metod buy, sell, Month Code 2 Code! buy/seller inl) (JP) Cod merger, Day (JP) (AH) (ifprvate (QW) redemption) trnsaction) (AH) (2) (I) (4) GM Call O p tion Sell Short 6/ HON Common Buy 1/ ,.. : 39. HON Call O p tion Sell Short 5/14 40.,I.... IL Common (X Sell 11/ INC Common 42. INC Call O p tion....., Sell Short 10/ JPM Common.... Buy 1/16 44.! Sell : '... JPM Call O p tion Sell Short 4/14 Exercised , MDCl Common (X.... I MLNM Common (X.. 49.,_.... MOCommon Buy Partial Sale ; 51. MO Call Option I.... Sell Short 5/ MSFT Common I..... Exercise , NPSP Common m111 wwwi.. Buy 10/ l. fncorugain Codes: A = $1.000 or less B = $1,001$2,500 c = $2,501$5,000 D = $5,001$15,000 E (See Colum B 1 and 04) F =$50,001$100,000 G = $100,001Sl,000,000 HI = Si,000,001$5,000,000 H2 =More than $5,000, Value Codes: J = $15,000 or less K = $15,001$50,000 L = $50,001$100,000 M = $100,001$250,000 (See Colwnns Cl and DJ) N = $250,000$500,000 0 = $500,001$1,000,000 Pl = $1,000,001$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50,000,000 P4 = $More thn $50,000, Value Method Codes Q =Appral R =Cost (Real Estate Only) s = Assessmnt T = Cash/arket (See Colwim C2) u =Book Value v =Other w =Estimated = $15,001$50,000

7 li'inancial DISCLOSURE REPORT Page 4of7 Collyer, Rosemary M 5/15/2004 VII. INSTMENTS and TRUSTS income, value, trnscations (includes those of the spouse and dependent children. See pp of fiing instructions.) A. B. c. D. Income during Gross value at end of Transactions during reporting period Description of Assets reporting period rerting period (including trt assets) If not exempt fi disclosure Place "(X)" after each asset exempt frm prior dilosur (I) (2) (!) (2) (I) (2) (3) (4) (5) Almunt Type (e.g. Value Value Typ (e.g. Date: Value Gain Identity of Code I div. ret. or Code 2 Meth buy, sell, Month Code 2 Code I buyer/seller (AH) int.) (JP) Cod3 mciger, Day (AH) (if prvate (QW) retion) trtion) 55. PFE Common : Buy , 57. PFE Put Option (Exp 1116/03) (X Partial 1/16 _,.... : 58. Buy to 1/17 Close 59. PFE Put Option (Exp 1/17/04) Exer Sell Short (JP) TON Common Spinoff 1/6 61. XEL Common (X).... Sell XOM Common :.... Buy 1/16 l XOM Call Option Sell Short 3/ ING Emerging Countries Class A Fund.... Sell 1/17 Bi 65. Fidelity Spartan Maryland Mun Fund _..:.. Sell 8129., 66. Fidelity Spartan Mun Money Mkt Fund :.., I.. Sell 9/ Massachusetts Muni Bonds.....: I 68. NY Urb Dev Muni Bonds.... Sell 1/1., i Hopkins, MN Muni Bonds.. Sell MD Gen Obi Muni Bonds (10/15/09) MD Gen Obi Muni Bonds (10/15/11) 72. Anne Arundel Co MD Muni Bonds I.... i.... I. InmeGain Codes: A = $1,000 or less B = Sl,001$2,500 c = $2,501$5,000 D = $5,001"$15,000. E = $15,001$50,000 (Sec Colwnns B 1 and 04) F = $50,001$100,000 G = $100,001$1,000,000 HJ =Sl,000,001$5,000,000 H2 =More thn $5,000, Value Codes: J = $15,000 or less K = $15,001$50,000 L = $50,001$100,000 M = $100,001$250,000 (See Colunms Cl and DJ) N = $250,000$500,000 0 = $500,001$J,000,000 Pl = $1,000,001$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50,000,000 P4 =$More than $50,000, Value Method Codes Q =Appraisal R = Cost (Real Estate Only) s =Asssmnt T = CashMarket (See ColWlm C2) u =Book Value v =Otlier w =Estimated

8 FINANCIAL DISCLOSURE REPORT Page 5of7 Collyer, Rosemary M 5/15/2004 VII. INSTMENTS and TRUSTS income, value, trnscations (includes those of the spouse and dependent children. See pp of filing instrctions.) A. B. c. D. Income during Gross value al end of Transactions during reporting period Description of Assets reportng period reportng period (including trt assets) (1) (1) (2) (1) If not exempt frm disclosure (2) (4) (5) Place "(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of fim pri disclosur Code 1 div. re or Co Meth buy, sell, Month Code2 Codel buyer/seller (AH) inl) (JP) Cod3 merger, Day (JP) (if prvate (QW) reemn) traction) (2) (3) (AH) 73. Balta MD Const Pub hnp Muni Bonds I..;...; I MD Health&Higher Ed Faes Muni Bonds (7/1113) 75. MD Health&Higher Ed Faes Muni Bonds (7/1/23).... :.. i Fidelity Core Account (Cash) Sell 9/11 B! : US Trust Co CD Buy 9/ IR#l.....j i 79. GTCommon Buy 9/ i 80. GT Call Option Sell Short 9/11 I VRTX Common Sell 1117 I XOMA Common j..:.. Buy 1/17.i 83. XOMA Call Option Sell Short 9/ Schwab Money Market Fund Account... I IR#2..,...: 86. ADRX Common Buy 8/ ADRX Call Option Sell Short 10/30..: APHT Common Paral Sale APHT Common Sell 7/9.....: 90. BCRX Common Buy 11/ B c = $2,501$5,000 D = $5,001$15,000 E = $15,001$50,000 l. Income/Gain Codes: A = $1,000 or Jess = $1,001$2,500 (See Colwtms Bl aud D4) F = $50,001$100,000 G =$100,001$1,000,000 Hl = $1,000,001$5,000,000 H2 = More than $5,000, Value Co: J = $15,000 or less K = $15,001$50,000 L = $50,001$100,000 M = $100,001$250,000 (See Colum Cl and DJ) N = $250,000$500,000 0 = $500,001$1,000,000 Pl = $1,000,0Ql$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50,000,000 P4 = $More th $50,000,000 = 3. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessmt T Cash/arket (See Column C2) u =Book Value v =Other w =Estimated

9 FiNANCIAL DISCLOSURE REPORT Page 6of7 Collyer, Rosemary M 5115/2004 VII. INSTMNTS and TRUSTS income, value. transcations (includes those oftlie spouse and dependent children. See pp of filing instrctions.) A. 8. c. D. Income durng Gross value at en d of Transactions during reporting peiod Description of Assets reporting period reporting period (including trt assets) If not exempt trm disclosure (1) (2) (1) (2) (1) (4) (2) (3) (5) Place "(X)" after each asset exempt Ar wit Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of fi prior disclosure Co 1 div. rent. or Code 2 Method buy, sell, Month Code 2 Code! buyeseller (AH) int.) (JP) Code 3 meer, Day (JP) (AH) (if private (QW) retion) trtin) 91. Buy ELGX Common..: GTCommon.. Buy 9/11 I GT Call Option.. Sell Short 9/ HGSI Common.. Sell HGSI Call Option.... Sell Short Expired 10/18 I....., 98. JCOS Common Buy 9/8.....; 99. ICOS Call Option Sell Short IV Common Partial Sale 9/19 1..:..: Sell MTSX _Common MLNM Common Sell Bl 104. MLNM Call Option (Exp ) Sell Short Expired 8/16 II MLNM Call Option (Exp 11/22/03)..... Sell Short 8/ Exercised 11/ NBIX Common Sell 2/ Ill l. IncomeGain Codes: A c D E = $1,000 or less B = $1,001$2,500 = $2,501$5,000 = $5,001$15,000 $15,001$50,000 {See ColWI BI and D4) F = $50,001$100,000 G = $100,001$1,000,000 HI =$1,000,001S5,000,000 H2 = More.thn $5;000, Value Coes: J = $15,000 or less K = $15,001$50,000 L = $50,001$100,000 M = $100,001$250,000 (See ColWI Cl and DJ) N = $250,000$500,000 0 = $500,001$1,000,000 Pl = Sl,000,001$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50,000,000 P4 =$More than $50,000, Value Method Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessment T = Cash/Market (See Co!Wlm C2) u =Book Value v =Other w =Estimated

10 ii FINANCIAL DISCLOSUR REPORT Page 7of7 Collyer, Rosemary M 5/15/2004 VII. INSTMENTS and TRUSTS income, value, trnscations (includes those of the spouse and dependent cluldren. See pp of filing instructions.j Description of Assets (including lrt assets) B. A. c. D. Income during reportng period Gross value at end of reportng period (!) (2) (1) (2) (1) Transactions during reorting period Ifnot exempt lim disclosure {2) (3) (4) (5) Place "(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of ftm prior disclosure Code 1 div. ret or Cod2 Meth buy, sell, Month Code 2 Code I buyer/seller (AH) int) (JP) Code3 merger, Day (AH) (if private (QW) redemptin) trnsaction) (JP) 109. WMCommon.... Buy 110. Schwab Money Market Fund Account.... : 111. UST Inflation Index Notes 3.375% 1115/12 TIPS 112. IR#3..:.... l...: 113. BRKB Common Class B.... : CCommon Buy IDEV Common Buy , 116. PLM Common Buy :., 117. UST Inflation Index Notes 3.375% 1/15/12 TIPS j.... ll8. Schwab Money Market Fund Account.., Buy 11/ Merrill Lynch Account Citibank Account ;.....: 1= Trust#! ,.. : I. IncomeGain Codes: A = $1,000 or less B = $1,001$2,500 c = $2,501$5,000 D = $5,001$15,000 E = $15,001$50,000 (See Colums Bl and D4) F = $50,001$100,000 G = $100,001$1,000,000 HI = $!,000,00!$5,000,000 H2 = More thn $5,000, Value Codes: J = $15,000 or less K = $15,001$50,000 L =$50,001$100,000 M = $100,001$250,000 (See Colun Cl and D3) N = $250,000$500,000 0 = $500,001$1,000,000 Pl =$1,000,001$5,000,000 P2 = $5,000,001$25,000,000 P3 = $25,000,001$50,000,000 P4 =$More than $50,000, Value Method Codes Q =Appraisal R = Cost {Real Estate Only) s =Assessment T = Cash/arket (See Coluom C2) u =Book Value v =Otlier W =Estimated

11 FIANCIAL DISCLOSURE REPORT Collyer, Rosemary M VIIl. ADDITIONAL INORMATION OR EXPLANATIONS (Indicate part of Report) Ther ar several discrepancies between this report and the initial disclosure report, dated 5/29/02. Unless otherise noted, the following comments apply to Section VII. A. On the initial report, Lines 4456 represent securities sold in 200 l. Therefore they have been removed frm the currnt report. B. On the initial report, Lines 16, 24 and 33 represent securities sold in 2002 (after 5129). Therfore they have been removed from the currnt report. C. On the initial report, Line 20 (ING Asia Pacific Equity Class A Fund) appears under a differnt name in the currnt report (ING Emerging Countries Class A Fund). D. On the initial report, Line 27 (MD Gen Obi Muni Bonds) and Line 30 (MD Health & Higher Ed Faes Muni Bonds) each appear under two separte lines in the currnt reor as they each represent two different issues with differt maturity dates. E. On the initial report, Lines I and 2 now appear under IR #1. F. On the initial reort, Lines 3 8, and 10 apper in the currnt report under QUALIFIE RETIREMET PLA #1. That account wa closed in 2003 and assets we trnsferred to IR #3. G. On the initial report, Lines 9 and 11 now apper under IR #3. H. On the initial reort, Lines now appea under BROKEAGE ACCOUNT #1. I. On the initial rert, Lines now appear under IR #2. J. On the initial report, the Insurace Trust referrd to in Section I, Line 3 and in Section VI Line 57 is now referrd to as Trust #1. K. On the currnt reprt, items followed by an (X) repreent stocks bought (or options sold short). during the reporting gap between 5/29/02 and l/l/03.

12 FIANCIAL DISCLOSURE REPORT Name of Person Reportng Collye, Rosemar M 5/15/2004 IX. CERTIFCATION. I certi tht all information given above (including informtion pertaining to my spouse and minor or dependent children, if any) is accurate, tre, and complete to the best of my knowledge and belief, and tht any informtion not reported wa withheld because it met applicable statutory provisions permittng nondisclosure. I fuer cer that eaed income frm outside employmnt an honorara and the acceptace of gi which have been reported are in compliance with the provisions of 5 U.S.C. 501 el seq., 5 U.S.C. 7353, and Judicial Conference regulations. Date /2 Zr4 NOTE: AN INDIVUAL WHO.KNOWIGLY AN WILY FALIFS OR FAIL TO FI mrs REORT MAY BE SUBJECT TO CI AN CRAL SANCTONS (5 U.S.C. app. 104) FILG INSTRUCTONS Mail signed origi an 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Court Suite 2301 One Columus Circle, N.E. Washington, D.C