Pauley III_William_H

Transcription

1 Pauley III_William_H

2 Page 2of11 Name or Penon Reporting PAULEY III, WILLIAM H Date or Report 05/14/2008 III. NON-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-U of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Snitow & Pauley, a former law partnership winding-down its affairs $0 (continuation of payments agreement described in Part II, line I) B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this sectiotl (Dollar amount not required except/or honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Self-Employed Licensed Real Estate Sales Person Self-Employed Floral Designer IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenl (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PUROSE ITEMS PAID OR PROVIDED I. Duke University School of Law April 12-15, Law School Board of Visitors Meeting. (travel, food and lodging)

3 Name of Person Reporting Page 3of11 PAULEY III, WILLIAM H 05/14/2008 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [Z NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I VJ. LJABJLJTJES. (Includes those of spouse and dependent children; see pp ofjlling instructions.) [Z NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I

4 Name of Person Reporting Page 4of11 PAULEY III, WILLIAM H 05114/2008 VII. INSTMENTS and TRUSTS - 0 NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nctudes those of spouse and dependent chitd en: see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trst assets) reporting period reporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private (Q-W) I. COMMON STOCKS 2. EXXON/MOBIL A Dividend K T 3. AX AMERICAN DEPOSITORY A Dividend J T SHARES 4. PRUDENTIAL FIN'L SRVS A Dividend J T 5. IBM A Dividend J T MUTUAL FUNDS 8. AIM SM CAP EQUITY FUND CL B A Dividend Conversion 3/28 K (SMEBX) 9. AIM SM CAP EQUITY FUND CL A Conversion 3/28 K (SMEAX) JO. AIM SM CAP EQUITY FUND CL A A Dividend Sell 4124 K (SMEAX) 11. ALGER FD BAL PORTFOLIO (ALGBX) A Dividend Conversion 413 K 12. ALGER FD BAL PORTFOLIO CL A A Dividend K T Conversion (ALBAX) 4/3 K 13. ALLIANCE FOCUSED GROWTH Sell 1/12 K INCOME CL A (ADGAX) 14. DA VIS NY VENTURE FUND CL A A Dividend K T (N) 15. DRYDEN TOTAL RETURN BOND FUND A Dividend J T CL A(PDBAX) 16. MONEYMART ASSETS INC. CL B 8 Dividend M T (PBBXX) 17. DRYDEN ACTIVE ALLOCATION FUND B Dividend L T CL A(PIBAX) I. Income Gain Codes: A =S or less e =S s2.soo C =$2,SOI - $5,000 D =SS.001-$15,000 E =$15,001 - $50,000 (See Colum Bl and 04) F =$50,001- $100,000 G =SI00,001 -$1,000,000 HI =Sl,000,001 -$5, H2 =More than $5,000, Value Co J =SI S,000 or less K =SIS,001-$50,000 L <o0,001 - $100,000 M =SI 00,00I S250,000 (Sec Columns Cl and DJ) N =$250,001 $500,000 0 =SS00,001 -Sl,000,000 Pl =Sl, SS,000,000 P2 =$5, I - $25,000,000 PJ =S2S,000,00I -$50,000,000 P4 =More than SS0,000,000 J. Value Metho Codes Q =Apprisal R =Cost (Real Estate Only) S =Assessment T =Cash M;nket (Sec Column C2) U =Book Value V =Oher W=Esrimated

5 Name of Penon Reporting Page 5of11 PAULEY Ill, WILLIAM H 05/14/2008 VII. INSTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children: see PP J4-6o offuing instructions.) 0 NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trst assets) Place "(X)" after each asset B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) 18. DRYDEN INTL EQTY FD CL A (PJRAX) A Dividend K T 19. DRYDEN STOCK INDEX FUND CL A B Dividend L T Partial Sale 4/24 K (PSIAX) 20. DRYDEN SM CAP CORE EQTY FD CL A None K T (PQVAX) 21. FEDERATED INTERNATIONAL VALUE A Dividend Conversion 817 J FUND CL B (FGFBX) 22. FEDERATED INTERNATIONAL VALUE A Dividend J T Conversion 8/7 J FUND CL A (FGF AX) 23. GOLDMAN SACHS MID CAP VALUE A Dividend Conversion 6/18 K FUND CL B (GCMBX) 24. GOLDMAN SACHS MID CAP VALUE Conversion 6118 K FUND CL A (GCMAX) 25. GOLDMAN SACHS MID CAP VALUE A Dividend K T Partial Sale 1/12 K FU CL A (GCMAX) 26. J. HANCOCK US GLOBAL LEADERS A Dividend K T GROWTH CL A (USGLX) 27. JENNISON NATURAL RESOURCES c Dividend L T Partial Sale 1/12 K FUND CL A (PGNAX) 28. JENNISON FIN SERVS FD CL A (PFSAX B Dividend Partial Sale 1/12 J 29. JENNISON FIN SERVS FD CL A (PFSAX Sell 12/28 L 30. JD MOD ERA TE ALLOCATION FD CL A L T Buy 12/28 L (JDTAX) 31. JENNISON EQTY OPP CL A (PJIAX) A Dividend Sell 4/24 K 32. JENNISON UTILITY FUND CL A A Dividend K T (PRU AX) 33. JENINSON SMALL CO. FUND CLASS A A Dividend K T (PGOAX) 34. DRYDEN STRATEGIC VALUE FUND Cl A Dividend K T A(SUVAX) 111. I. Income Gain Codes: A =Sl.000 or less B =Sl,001 -$2,500 C =$2,50 I $5,000 D =SS,001 -$ E =$15,001 -$ (See Colu Bl an 04) F =SS0,001 - Sl G =SI00,001. Sl.000,000 HI =Sl,000,001 SS,000,000 H2 =Mor than SS,000, Value Co J=Sl5,"00orless K =$15,001 $50,000 L =$ SI00,000 M =SI S250,000 (See ColUlll Cl and DJ) N =$ $ O =$500,001 Sl.000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,001 - $25, PJ =$25,000,001 $50,000,000 P4 =More th $50,000, Value Metho Coda Q =Appraisal R =C (Real Estate Only) S =AJment T=Cas Mare< (See Colwnn C2) U =Book Value V --her W =Estimated

6 Page 6of11 Name of Person Reporting PAULEY III, WILLIAM H 05/14/2008 VII. INVESTMENTS and TR US TS - 0 NONE (No reportable income, assets, or transactions.) income, varue, transactions r1nc1udes those of spouse and dependent children; see PP of fiing instructions.) A. B. c. D. Deption of Assets Income during Gross value at end of Transactions during reporting period (including trst assets) reporting period reporting period (I) (2) (I) (2) (I ) (2) (3) (4) (5) Place..(X)" after each asset Amount Type (e.g. Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A- (if private (Q-W) 35. PUlNAM HEAL TH SCI TRUST CL B None Conversion 1/22 K (PHSBX) 36. PUlNAM HEAL TH SCI TRUST CL A None Conversion 1/22 K (PH STX) 37. PUlNAM HEALTH SCI TRUST CL A None Sell K (PH STX) 38. PUlNAM SM CAP VALUE CL A A Dividend Sell 4/25 K (PS LAX) 39. SELIG LASALLE DIVIDEND REAL A Dividend Conversion 2/1 K EST A TE FUND CL B (SREBX) 40. SELIG LASALLE DIVIDEND REAL Conversion 211 K EST A TE FUND CL A (SREAX) 41. SELIG LASALLE DIVIDEND REAL A Dividend Partial Sale 1/12 K ESTA TE FUND CL A (SREAX) 42. SELIG LASALLE DIVIDEND REAL A Dividend Sell K ESTATE FUND CL A (SREAX) 43. SELIG INCOME FUND CL B (SIBBX) A Dividend Conversion 211 K 44. SELIG INCOME AND GROWTH CL A B Dividend K T Conversion 2/1 K (SINFX) 45. SELIG SM CAP VALUE FD CL B A Dividend Conversion 211 K (SSCBX) 46. SELIG SM CAP VALUE FD CL A A Dividend K T Conversion 211 K (SSCVX) 47. SELIG FRONTIER FUND CL B (SLFBX) A Dividend Conversion 211 K 48. SELIG FRONTIER FU CL A (SLFRX) K T Conversion 211 K ANNU!TIES 51. DISCOVERY PLUS B Interest M T I. Income Gain Codes: A =Sl,000 or lcsi B =S 1,00 I $2,500 c =$2,501. $5,000 D s5,00i - SIS,000 E =$15,001 - $50,000 (See ColUlll Bl an 04) F=SS0,001 SI00,000 G =SI00,001 Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000, Value Code J =$15,000 o r less K =$15,001- $ L =$ SI M =SI $250,000 (Sec Columns Cl and DJ) N =$ $500,000 0 =$ Sl Pl =Sl, $5.000,000 P2 =S I - $ PJ s25,ooo,001. S5o.ooo.ooo P4 =More than $50.000, Value Metho Codes Q =Apprsal R =Cost (Real Estate Only) S :cassessmcnt T =Cash Market (Se Colwnn C2) U =Book Value V =-her W=Estimated

7 Name of Penon Reporting Page 7of11 PAULEY III, WILLIAM H 05/14/2008 VII. INSTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, varue, transactions r1nc1ut1s those of spouse and di!endent children; su PP of filing instrucrions.j A. B. c. D. Description of Assets Income during Grss value at end of Transactions during reporting period {including trt assets) reportng period reporting period Place "(X)" after each asset (I) Amount Code I (A-H) (2) (I) (2) {I) (2) (3) (4) Type (e.g., div., rent, or int.) Value Code 2 {J-P) Value Method Code3 {Q-W) Type (e.g., buy, sell, redemption) (5) Date Value Gain Identity of Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private CASH AN CASH EQUIVALENTS 54. JP MORGAN CHASE B Interest K T 55. U.S. TREASURY BILLS E Interest 0 T Buy 8/23 L 56. DREYFUS LIQUID ASSETS INC. A Dividend J T 57. U.S. SAVINGS BONDS A Interest J T 58. AX FIN'L LIFE INS (Cash Surrender B Dividend M T Value) 59. AX FIN'L LIFE INS (Cash Surrender A Dividend L T Value) 60. WACHOVIA MONEY MARKET B Interest J T ACCOUNT 61. EVERGREEN MUNICIPAL MONEY A Interest J T MARK FUND 62. NEW YORK STATE COLLEGE TUITION c Interest L T Buy J SAVINGS FU PROGRAM 63. NEW YORK STATE COLLEGE TUITION Sell 8/16 J SA VIN GS FU PROGRAM 64. WACHOVIA None L T 65. BB&T BANK CD None Redemption THIRD FEDERAL S & L CD None Redemption 11/ FIFTH THIRD BANK CD None Redemption 2/ I. Income Gain Cods: A =$1,000 or less B =$1,001 $2,500 c =$2,501 $5,000 D =$5,001 - $15,000 E =St5,00I $50,000 (See Colum Bl an 04) F =$50,001 SI G =SI00,001 Sl,000,000 HI =Sl,000,001. SS,000,000 H2 =Mor than $5,000, Value Co J =$15,000 or less K =$15,001- $50,000 L =$50,001 SI00,000 M =$100,001 $250,000 (See Colum Cl and 03) N =$250,001 $ =$500,001- Sl,000,000 PI =$1,000,00 I - $5,000,000 P2 =$5,000,001 - $25,000,000 PJ =$25,000,001 - $50,000,000 P4 =More than $50,000, Value Metho Codes Q =Appraisal R =Cos (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V =Oer W =Estimated

8 Name or Penon Reporting Date or Report Page 8of11 PAULEY III, WILIAM H 05114/2008 VII. INESTMENTS and TRUSTS - 0 NONE (No reportable income, assets, or transactions.) A. B. c. Deption of Assets (including trst assets) reporting period reporting period income, value, transactions r1nc1udes those of spouse and dependent children: see PP of filing instructions.) Income during GroSll value at end of Transactions during reporting period D. (I) (2) (I) (2) (I) Place "(X" after each asset Amount Type (e.g., Value Value Type (e.g., Code I div., rent. Code 2 Method buy, sell, (A-H) or int) (J-P) Code3 (Q-W) redemption) (2) (3) (5) (4) Date Value Gain Identity of Month - Code 2 Code I buyer/seller Day (J-P) (A-H) (if private 69. RETIREMENT ACCOUNTS K PLAN- ING A Dividend K T 71. IR SCUDDER B Interest L T 72. ALGER CAPITAL APPRECIATION FD None Conversion 614 J CL B(ACAPX) 73. ALGER CAPITAL APPRECIATION FD None J T Conversion 614 J CL A(ACAAX) 74. JENNISON GROWTH CL A (PJFAX) A Dividend K T 75. JENNISON TECH FUND CL A (PTY AX) None Conversion 9/24 J 76. JENNISON MID-CAP GROWTH FU None J T Conversion 9/24 J CL A(PEEAX) 77. DA VIS NY VEN FUND CL A A Dividend J T (N) 78. GOLDMAN SACHS TRUST FUND CAP None J T GRWTH PORTFOLIO CL A (GSCGX) 79. JENNISON HLTH SCI FD CL A (PHLAX) A Dividend J T 80. JENNISON SELECT GROWTH FU CL None Conversion 611 I J B (SPFBX) 81. JENNISON SELECT GROWTH FUND CL None J T Conversion 6/11 J A(SPFAX) 82. STRATEGIC PARTNERS NEW ERA None Conversion 315 M GRWTH FD CL B (SNGBX) 83. JENNISON MID-CAP GROWTH FUND None Conversion M CL B (PEEBX) JENNISON MID-CAP GROWTH FUND None Sell 9/19 M CL B(PEEBX) 85. SELIG COMM & INFO FD CL A A Dividend J T (SLMCX) t. lacome Gain Cod: A =St,000 or less B =St,OOt - $2,500 c =$2,501 - $5,000 D =S5,00I St5,000 E =St5,00I -$50,000 (See ColWllD BI an 04) F=S50,001-SIOO,OOO G =SIOO.OOl -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More thaa $5,000, Value Co J =$15,000 or less K =Sl5,00t - $50,000 L =S50 i't - SI00,000 M =SI00,001 -$250,000 (Sec Colum Cl ao DJ) N =$250,001 - $500,000 0 =$500,001 - Sl,000,000 r1 = S5.ooo,ooo P2 =$5,000,001 $25,000,000 PJ =525,000,001 $50,000,000 P4 =More than $50,000,000 J. Value Metho Cod.. Q =Appraisal R =Cos (Real Estate Only) S =Assesment T =Cash Market (Sec Colwnn C2) U =Book Value v =Ohe W =Esmated

9 Name of Penon Reporting Page9of11 PAULEY III, WILLIAM H VII. INSTMENTS and TRUSTS - 0 NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc111des those of spouse and dependent children; see PP of fuing instructions.) A. B. D. Description of Assets (including trst assets) Place " (X)" after each asset (I) Amount Code I (A-H) Income during reporting period (2) Type (e.g., div., rent, or int.) c. Gross value at end of reporting period (I) (2) Value Code 2 Value Method (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) Date Month - Day (3) (4) (5) Value Gain Identity of Code 2 Code I buyer/seller (J-P) (A-H) (if private 86. WACHOVIA MONEY MARKET FUNDS A Interest K T 87. U.S. THRIFT SA VINOS PLAN (GOVT SECURITIES FUD) D Interest N T Rollover 10/17 M 88. UTS GOV'T SEC EQUITY TRUST A Dividend J T I. Income Ga Cod: A =S 1,000 orlcsj B =Sl,001-$2..lOO C =$2,501 - SS,000 D $ SIS.000 (Sec Colum BI an 04) F =$50,001 $100,000 G =$100,001. Sl,000,000 HI=Sl.000,001 SS,000,000 H2 =More than SS,000, Value Co J =SI 5,000 or r,ess. K =SIS,001- $50,000 L =$50,00 I SI 00,000 M =$100,001 $250,000 (Sec ColumnJ Cl and DJ) N =$250,001 - $500,000 0 =$ Sl,000,000 Pl =Sl,000,001. $5,000,000 P2 =$5,000,001 - $25,000,000 PJ =$25,000,001 $50,000,000 P4 =More than $50,000, Value Metho Codes Q =Apprsal R =Cost (Real Estate Only) S =Assessment T =Cash Market E =SI $50,000 (Sec Column C2) U =Book Value V =Other W =Estimated

10 Page IO of 11 Name of Penon Reporting PAULEY 111, WILLIAM H 05/14/2008 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parto/report) None.

11 '. FINANCIAL DISCLOSURE REPORT Name of Penoo Reporting Page 11of11 PAULEY Ill, WILLIAM H 05114/2008 IX. CERTIFICATION. I certify that au 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. I 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. Sign a NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS 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 Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C