Maurice M Paul Financial Disclosure Report for 2010

8/3/2019 Maurice M Paul Financial Disclosure Report for 2010

1/22

Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R epor t ing ( las t name, f i r s t , middle ini t i a l )PA U L , MA U R I CE M.

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

SENIOR DISTRICT J UDGE

7. Chambers or O ffice Address.401 S.E. 1st. AveGainesvi l le , Flor ida32601-6805

2. Court or Organizat ionNORTHERN DISTRICT of FLORIDA

3. Date of Report06/03/20

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

6. Repor t ing Per iod01/01/2010

to12/31/2010

Reviewing Officer Date

IMPORTANT NOTES : The instruct ions accom panying this form m ust be followed. Com ple te a l l parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e p o r t i n g i n d i v id u a l only; see p p . 9 - 1 3 o f fd i n g i n s t r u c t i o n s . )~ (No reportablepositions.)O N E

P O SIT IO N

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


2/22

FINANCIAL DISCLOSURE REPORTPage 2 of 6

N a m e o f P e r s on R e p o r t i n gPAUL, MAURICE M.

D a t e o f R e p o r t06/03/2011

I I I . N O N - I N V E S T M E N T I N C O M E .


3/22


N a m e o f P e r s o n R e p o r t in gPAUL, MAUR1CE M.

D a t e o f R e p o r t06/03/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)NONE (No reportable gifts.)

SOURCE DESCRIPTION1 .2.

3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n e l u d e s t h o s e o S s p o u s e und dependent children; see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUE CODE


4/22

FINANCIAL DISCLOSURE REPORTPage 4 of 6 Ia m e o f P e r s o n R e p o r t i n gPAUL, MAURICE M. D a t e o f R e p o r t06/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i, come, vatue, t ...... tions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)N O N E (No reportable income, assets, or transactions.)

2.

3.

4.

5.

6.

7.

8.

9.

10 .

1 1 ,

1 2.

1 3.

1 4 .

16 .

17 .

Checking Accoun t -Capital City NationalBankBank of America -Orlando-checking

W achovia - Orlando

Citadel Broqd casting Corp. (CDL)U.S. Savings BondsCertificate of Deposit - Wach ovia

None J T

None J T

None J T

None J TA Int./Div. K T Redeemed J( p a r t )A Int./Div. K T Closed K

A

A

1. lneome Gain C 0 d~ s :( s e e o ~ U ~ B i a n d

2, Value Codes(See C o lu mns C I and D3)

3,Value Method Codes(See C o lu mn C 2)

A =$1,000 or less~ - - $ 5 0 ; 0 0 i : $ i 0 o ; 0 0 0J :$15,000 or lessN =$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q = A p p r a i s a lU =Book Value

B =$1,001 . $2,500 C --$2,501 - $5,000 D = $5,001 - $15,000 E =$15,001 - $50,000G =$1 001001 ~ $ii000i000 .... H i g $ 1 1 0 0 0 1 0 0 i 5 $ 5 i0 0 0 1 0 0 0 H2 =More than $5;000;000 . . . . . . . . . . . .~ = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 L--$~O00 ~$100000 M = $ i 0 0 ~ 0 0 1 = $ 2 ~ 0 0 0 0O =$500,001 - $1,000;000 Pl=$ 000 001z $5 000 000 P2=$5 000 001- $25 000 000

P4 =MOre than $50;000,000R =Cost (Real Estat~ Only) S =Assessment T ~Cash ~kh~V =Other W =Estimated


5/22

FINANCIAL DISCLOSURE REPO RTPage 5 of 6

N a m e o f P e r s o n R e p o r t i n gPAUL, MAURICE M.

D a t e o f R e p o r t06/03/2011

V III. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndlcatepart of report.)VII. Invcstmnts and Trusts

Pa ragraph (4 ) . This s tock r epre sen ts sha re s acqu i r ed by v i r tue o f own er sh ip in wa l t D isney w hen i t so ld i t s in te r e s t in ABC Rad io to Ci tade l Broadcas ting Corp(CDL) in J une o f 2007.

P a rq a g ra p h 6 ) . ~w a s l i s te d a s a s e co n d o w n e r o n a ce r t i f i c a t e o f d e p o s i t p u r s cha s e d by a n d o w n e d b y ~ f ro m h i s i n d e p e n d e n t a s s e t s w h i ch he r e d e e m e ddur ing the r epor t ing pe r iod .


6/22


Name of Person ReportingPAUL, MAURICE M.

Date of Report06/03/2011

IX . CERTIFICATION.I c e r ti f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o rm a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t C h i l d r e n , i f a n y ) isa ccu ra t e , t r u e , a nd compl e t e t o t he be s t o f my k nowl e dge a nd be l i e f , a nd t ha t a ny i n fo rma t i on no t r e po r t e d wa s wi t hhe l d be ca u se i t me t a pp l i ca b l e s t a t u t o ry

p rov i s i ons pe rmi t t i ng non -d i sc l o su re .I f u r th e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i ncom pl iance wi th the p rov i s ions o f 5 U.S.C. app . 501 e t . seq . , 5 I J .S .C. 7353, and Ju d ic ia l Conference regu la t ions .

Signature: S] MAURICE M. PAUL

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S IF I ES O R F A I L S T O F I LE T H I S RE PO R T MA Y B E S U B J E C T T O C I V I LAND CR IMINAL SANCTION S (5 U.S .C. app. 104)

Com m i t t ee on F inanc ia l D i sc losu reAdm inis t ra t ive Off ice of the Uni ted S ta tes Cour tsSui te 2 -301O n e C o l u m b u s C i r c l e , N . E .W ash ing ton , D . C. 20 544


7/22

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

L Person R eport ing (las t name, fi rs t , middle ini t ial)P A U L , M A U R I C E M .

4. Ti t l e (Ar t i cle I I I judges indica te act ive o r senior s t a tus ;magistrate judges indicate full- or part-time)

S E N I O R D I S T R I C T J U D G E

7. Chambers or Office Address401 S.E. I s t . AveGainesv i l le , Flor ida32601-6805

2. Court or Organizat ionN O R T H E R N D I S T R I C T o f F L O R ID A

3. D a t e o f R e p o r t06/03/201

5a. Repor t Type (check appropr ia te type)] Nomination, D a t e[] Initial [] Annual [] Finalgb. [] Amended Report

On the bas i s of the informat ion conta ined in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.


to12/31/2010

Reviewing Off icer Date

IMPORTANT NOTES: The instructions accompanying this form mast be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Report ing individual only; seepp. 9-13 of fi ling instruct ions.)~ (No reportable positions.)O N E

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . m e p o r t in g i n d l v l d u u t o n t y ; s e e p V . 1 4 - 1 6 o filling instructions.)~ ~o reportable agreements.)O N E

DATE PARTIES AND TERMS


8/22


N a m e o f P e r so n R e p o r t i n gPAUL, MAURICE M.

D a t e o f R e p o r t06/03/2011

I l L N O N - I N V E S T M E N T I N C O M E . m e p o . i .g individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investment Income~] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.3.

4.

INCOME(y o ur s , n o t sp o use s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - lf you were married during anyportion of the reporting year, complete this sect ion.(Dollar amount not required except for honoraria.)

[] N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1.2.3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

~] N O N E (No reportable reimbursemen ts.)

2.3.

4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


9/22


N a m e o f P e r so n R e p o r t i n gPAUL, MAURICE M.

D a t e o f R e p o r t06/03/2011

V . G I F T S . a . c l u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c ~ u d e s t h o s e o f s p o u s e ~nd depen dent chi ldren; see pp. 32-3 3 of f i l ing instruct ions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.

2.

3.

4.

5.

VALUECODE


10/22

FINANCIAL DISCLOSURE REPORTPage 4 of 6 Ia m e o f P e r s o n R e p o r t in gPAUL, MAURICE M. D a t e o f R e p o r t06/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ,c o , .e , v a ~ u e , t r a , s u c t l o , s a n d u d e s t h o s e o , s p o u s e a n d d e ~ , e n a e , t c h l ld r e n ; s e e r ~ , . 3 4 - 6 0 of filing instructions.)

2.

3,

4.

5.

6.

7.

8.

9.

1 0 .

1 1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

N O N E (No reportable income, assets, or transactions.)

Description of Assets(including trust assets)

P l a c e " f i X ) " a f t e r e a c h a s s e texempt from prior disclosure

B. C . D.Income dur ing Gross va lue a t end Transactions during reporting period

reporting period of reporting period(!) (2 ) (~): (2) (1) ,, (2) (3) (4) ( 5 )Amount. Type (e.g., V alu e V a lu e T y p e ~ e : g ~ , Date :: Value G ai n Identity ofCode I div., rent, Code 2 M e t h o d b u y ~ s e l t ~ i : ~ : :. : : i i a h n / d d / y y Code 2 Code 1 buyer/seller

( A -H ) o r i n t . ) (j-p) Code 3 r e d e m p ~ O ~ a ) : : (J-P) [ ( A - I - I ~ ( i f p r i v a t e( Q - W) transaction)

Check ing A cco tmt -Cap i ta l Ci ty N at ionalB a n kB a n k o f A m e r i c a - O r l a n d o - c h e c k in g

N one J TN o n e J T

W a c h o v i a - O r l a n d o N o n e JCitadel Br oqdcas t ing Cor p . ( CD L)U . S . S a v i n g s B o n d sCer t i f ica te o f D epos i t - W achovia

N o n e J T

A Int . /Div. K T R e d e e m e d J A( p a r t )A Int . /Div. C l o s e d K A

I . l n(6~ e ~ a i f i C rd~ i A =$L 000 0r te s s B =$I ,00t - $2;500 C =$2i501 = $S,000 D =$5;001 -$15,000( s e e C 0 1 ~ S B i f i n d D 4 ) : F =$561001- $I00,000 G ~$100,00i ~ $ii000;000 Hi --$i;000100i i $5;000i000 H2 =More than $5~000,00 0

2. Value Codes J =$15,000 or less K =$15,001 - $50;000 ...... L = $50 ;00i ~ $ i0 0,006 M --$1001 06] 2 $~5 0,000(See C o lumn s C I an d D3) N =$250,001- $500,B0~3 O = $500,001- $1 ,000;000 PI ~ii000i00i ; $5;~300;000 P2 --$5;000;00i ~ $25,000,000

P3 =$25,000,001 - $50,000,000 P43. Va lue Me tho d C o d es Q = A ppr a i sa l R =Cost (Real Estate Only) S =Asse ssmen t T = C a s h M ~ r k e t(See C o lun m C 2) U =Bo o k Va lue V =Othe r W =E s t ima ted

E =$15,001 - $ 5 0 , 0 0 0


11/22


N a m e o f P e r s o n R e p o r t in gP A U L , M A U R I C E M .


V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)VII . I nves tmen ts and Tr us t s

Par ag r aph ( 4) . This s tock r ep r esen ts shar es acqui r ed by v i r tue o f own er sh ip in wal t D isney wh en i t so ld i t s in ter es t in ABC R ad io to Ci tadel Br oadcas t ing Cor p( CD L ) in J une o f 2 0 0 7.Parag rap h (6 ) . ~ w as l i st ed a s a s ec o n d o w n e r o n a c e r t if i c a t e o f d ep o s i t p u r s c has ed by an d o w n ed b y ~ f ro m h i s i n d ep en d e n t a s s e t s w h i c h he r ed eem eddur ing the r epor t ing per iod .Response to Let te r o f Inqui r y o f Augus t 2 9 , 2 0 1 1 : In r esponse to th i s l e t t e r o f inqui r y f r om Com mit tee ( D oe. 4 in m y F iD o f o lder ) , my o f f ice con tac ted Rachel a t202-502-1850 on Thursday , Septem ber 22 , 2011 . She indica ted tha t the va lues in co lumns D(3) for l ines 5 and 6 were cor rec t , and tha t the le t te r of inqu iry wasincor rec t for a sk ing for them . I remo ved the va lues in co lumn C for l ine 6 , the W achov ia Cer t i f ica te of Depos i t s ince i t had been r edeem ed com ple te ly du r ing therepor t ing pe r iod . Also , Rache l sugges ted tha t I wr i te he re to ind ica te tha t I do not r em ember the d a te s for the pa r t ia l r edempt ion of the U S Sav ings Bon d in l ine 5or the Ce r t i f ica te o f D epos i t in l ine 6 , o ther than tha t they occur r ed in 2 0 1 0 .


12/22


Na m e o f Pe r son Re por t i ngP A U L , M A U R I C E M .


IX. CERTIFICATION .I c e r t if y t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i saccura t e , t rue , and comple t e t o t he bes t o f my knowledge and be l i e f , and t ha t any in fo rmat ion no t repo r t ed was ~vi thhe ld because i t met app l i cab l e s t a tu to ryp rovi s ions permi t t i ng non -d i sc losure .I f u r t h e r c e r ti f y t h a t e a rn e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a ti o n s .

Signature: S] M A U R I C E M . P A U L

N O T E : A N Y I N D I V ID U A L W H O K N O V C I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


13/22

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n Report ing (las t nam e, fi rs t, middle ini t ial)P A U L E Y I I I , W I L L I A M H .

4. Ti t l e (Ar t i cle I I I judges indica te act ive or sen ior s t a tus ;magistrate judges indicate full- or part-time)U.S. D ISTRICT J UD G E ( ac t ive)

7 . Ch amb er s o r O f f ic e Addr es sU N I T E D S T A T E S C O U R T H O U S E5 0 0 P E A R L S T R E E TN E W Y O R K , N E W Y O R K 1 0 0 07 - 1 5 81

2. Court or Organizat ionS O U T H E R N D I S T R I C T O F N E W Y O R K

3. D a t e o f R e p o r t05/13/2011

5a. Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion conta ined in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.


to12/31/2010

Reviewing Off icer Date

IMPORTANT NO TES: The instruct ions accom panying this form mu st be fol lowed. Com plete al l parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R c p o , ~ i n g i n d i v i d u a t o . l y ; s e e p p . 9 - 1 3 of filing instructions.)~ N O N E (No reportable positions.)POSITION

1 . M e m b e r o f B o a r d o f V i s i to r sNAME OF ORGANIZATION/ENTITY

Duke Univer s i ty School of Law

3.4.

5.

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of f!ling instructions.)N O N E ( N o reportable agreements.)

1.1998D A T E P A R T IE S A N D T E R M S

C o n t i n ua t i o n o f p a y m e n t s a g re e m e n t w i t h fo rm e r l a w p a r t n e r , F ra n k l y n H . S n i t o w , a n d h i s l a w f i rm , S n i t o w Ka n fe rH o l t ze r & M i l l us , L L P .


14/22


N a m e o f P e r s o n R e p o r t in gPAULEY IlI, WILLIAM H.

D a t e o f R e p o r t05/13/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Fliers Non-Investment Income~ NO N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE

2.3.4.

I N C O M E(yours , not spouses)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were m arried during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1.20102 .2 0 1 03.

4.

DATE SOURCE AND TYPES e l f - E m p l o y e d L i c e n s e d R e a l E s t a t e S a l e s P e r s o nS e l f - E m p l o y e d F l o r a l D e s i g n e r

I V . R E I M B U R S E M E N T S - transportation, lodging~food, entertainment.( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d re n , " s e e p p . 2 5 - 2 7 o f f !l i n g i n s t ru c t i o n s . )

~ N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . F e d e r a l B a r C o u n c i l February 2 I , 2010 - Kona , HI W i n t e r B e n c h a n d B a r Trave l , food , and lodging .Mar ch 1 , 2 0 1 0 C o n f e r e n c e2. D u k e U n ive rs ity Sch o o l o f A pril 15 - 17 , 2010 D urh a m , N C B oar d o f V isito r s M eeting Trave l , food , and lodging .L aw3. D uke Univer s i ty Schoo l o f O c tob er 2 8 - 30 , 2 010 D urh a m , N C B oar d o f V is ito r s M eeting Trave l , food , and lodgingL aw4.5.


15/22


N a m e o f P e r so n R e p o r t i n gPAULEY III, WILLIAM H.


V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTIONI.2.

3.

4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; seep p. 32-33 of filing instructiong)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


16/22


N a m e o f P e r so n R e p o r t i n gP A U L E Y 1 1 1 , W I L L I A M H .

D a t e o f R e p o r t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a l u e , tr a n s a c t io n s a n c l u d e s t h o s e o S s r o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)D (No reportable income, assets, orO N E transactions.)

A. B. C. D.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d Transact ions dur ing repor t ing pe r iod

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d of reporting periodPlace "(X)" after each asset

exempt from prior disclosure C o d e I div., rent, Code 2 Method ~buy, sell, m m / d d /y y C o d e 2(A-H) (J-p)

(5)of

Code 1 buyer/seller( A - I - I ) (if private

t r a n s a c t i o n )

1 . M U T U A L F U N D S2. AGDAX - A L L I A N C E B E R N S T E I N H I G H A D ividend KINC FD3. M C G F X - A S T O N F U N D S M O N T A G & N o n e KC A L D W E L L4. S M G I X - C O L U M B I A C O N T R A R I A N A D ividend KC O R E F D5. GSFTX - C O L U M B I A F D S S E R T R 1 D I V A D ividend KIN C6. DPLTX - D R E Y F U S H I G H Y I E L D F D A D ividend K7. K D S SX - D W S V A L U E S E R IN C S M C A P A D ividend J8. S G I I X - F IR S T E A G L E G L O B A L F U N D A Distribution K

10 .1 1 .

1 2 .

1 3 .

1 4 .1 5 .

I C H H X - F R A N K L I N iT E M P L E T O NH A R D C U R F D A DividendF N Y T Z - FR A N K L I N N Y T A X F R E E 1 N T ATR M Interes t KHFMCX - H A R T F O R D M U T U A L F D M I D NoneCA PH I P I X - H A R T F O R D I N F L A T I O N P L U S A Interes tFD KHSKSX - J P M O R G A N T R 1H I G H B R I D G E S T A T F D N o n eI V Q A X - M O R G A N S T A N L E Y I N T LV A L U E E Q U I T Y F DS B N Y X - L E G G M A S O N N Y M U N F D

AA

D ividend K TInteres t K T

1 6 . L S G I X - L O O M I S S A Y L E S V A L U E F D A D ividend K T1 7 . L I S FX - L O R D A B B E T T M U N I N C T R A D ividend KI N T E R F D

Ii ia~o~e Gain C0d~S! A =$1;000 0r !ess B =$1,001 - $2 .500 C =$2;50i ~ $5,000 D =$5,001 - $15,000 E = $15,001 - $50,00 0(See C 01umn g BI hf id IM) F =$50;001 - $100;000 G~$100;00~$1;000 ,000 Hi --$!i000;001 - $5;000,000: H2 =More than $5,000,000 .....

2. Va lue C o d es J =$15,000 o r le ss K --$15,001 ~ $50,000 L =$50 00i ~ $100~000 M =$100,001- $250;000(See C o lumn s C I an d D3) N =$250.001 - $500,000 O =$500~001. $1;000,000 p1 =$1i000,001 - $5;000~ 000:P2 =$5~ 000,001 -$25,000.000

P3 =$25,000,001 - $50,000,000 P4 =M0f~ th~ $5010001000 .. ..3. Va lue Me tho d C o d es Q = A ppr a i sa l R =Cost (Real Estate Only) S = A s s e s s m e n t T ~ C ash Mark e t(See C o lumn C 2) U =Bo o k Va luc V =Othe r W =E s t ima ted


17/22


N a m e o f P e r so n R e p o r t i n gP A U L E Y I l l, W I L L I A M H .


V I I. I N V E S T M E N T S a n d T R U S T S - ~ .... value, t ...... tlons (Includes those of sp .... and depen dent children; see pp. 34-60 of f!llng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

Income during G r o s s v a l u e a t e n d T r a n s a c t i o n s d n r i n g r e p o r t i n g p e r i o dr e p o r t in g p e r i o d of reporting period(1 ) (2 ) (1) (2) (1) (2) (3) (4) (5 )A m ount T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e Value G a i n I d e n t i ty o fC o d e l div.,rent, C o d e 2 M e t h o d : buy, sell, m m / d d / y y C o d e 2 C o d e 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) (J-P) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 8 . M G R A X - M F S IN T L G R O W T H F D A D ividend K1 9 . N E F J X - N A T I X I S A D V I S O R S M C A P N o n e JV A L F D20 . P C G R X - P I O N E E R M I D C A P V A L F D A D ividend J

TTT

2 1 . R M U N X - R O C H E S T E R M U N I F D B Interes t L22 . R Y M F X - R Y D E X S G I M A N A G E D F U T N o n e JS T R A T23 . T G B A X - T E M P L E T O N G L O B A L B O N D A Interes t KFD24 . D B P I X - D W S A D V I S O R F D S H O R T A Interes t JD U R A T I O N P L U S25 . L F R F X - L O R D A B B E T T I N V T T R F L T G A Interes t JR A T E F D C L F26 . P S S A X - P I M C O S T O C K S P L U S T R N o n e JS H O R T S T R A T E G Y

127.

TTT Bu yT Bu yT Bu y

05/18/10

05/18/10

03/24/10

J

J

J

2 8 . A N N U I T I E S29 . D I S C O V E R Y P L U S C Interes t M T30 .31 . C A S H A N D C A S H E Q U I V A L E NT S32 . J P M O R G A N C H A S E A I n t e r e s t M33 . U . S . T R E A S U R Y B I L L S B Interes t3 4 . U . S. S A V I N G S B O N D S A Interes t

NJ

TT

Sold( p a r t ) 10/21/10 L

1~ lnc0m~ Gai~ C0des: ~ ~$ ii000 61:i~g B =$1,001 - $2;500(S ee ~; i unm ~ Bi : 00100i-$1 i0001000

2. Va lue C o d es J =$15,000 o r le ss K = $ 1 5 ; 0 0 ] - $ 5 0 , 00 0(See Columns C 1 and D3) N =$250,001 - $500,000 O = $5 0 0 ; 0 0 1 - $1 , 0 0 0 , 0 0 0

P3 =$25,000,001 - $50,000,001)3. Value Method Codes Q = A ppr a i sa l R =Cost (Real Estate Only)(See C o lumn C 2) U =Bo o k Va lue V =Othe r

C =$2,501 - $5,000H1 =$1,000;001 -$5;000;000L =$50,001 - $100i000PI =$1,000,001 - $5;000;000P4 =More than $50,000~000S =Asse ssmen tW =E s t inmtcd

D=$5,001- $15,000H2 =More than $5,000,000M= $1 0 0 , 0 0 ] -$2 5 0 , 0 0 0P2 =$5,000,001 -$25,000,000T =C ash Mark e t

E =$15,001- $50,000


18/22


N a m e o f P e r s o n R e p o r t in gPAULEY 111, W ILLIAM H.

D a t e o f R e p o r t05/13/2011

V II. INV ESTMENTS and TRUSTS - i,eo,,e, value,, ...... tions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross va lue a t end Transactions during reporting period(including trust assets) repo rtin g perio d o f rep orting p eriod

(1) (2 ) (1) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset A mo unt T yp e (e.g ., V alue V a lu e Type (e.g., D a t e Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell , mm/dd!yy Code 2 ~ Code 1 buyer / se l l e r(A-H) o r i n t . ) ( J - V ~ C ode 3 redem ption) (J-p) (A-H) (if private( Q - W ) t r a n s a c t i o n )

35 . A X A F 1 N L L I F E I N S ( C a s h S u r r e n d e r B Div idend N TV a l u e )36 . A X A F I N L L I F E I N S ( C a s h S u r r en d e r A Div idend M TV a l u e )37 . W A C H O V IA M O N E Y M A R K E T A Interes t J TA C C O U N T38 . N E W Y O R K 5 29 C O L L S V G S M O D A G E - B Interes t L T Bu y 12/21/10 JB A S E D O P T : I N C O M E P O R T F O L I O39 . N E W Y O R K 5 29 C O L L S V G S M O D A G E - A Interes t K T Bu y 12/21/10 JB A S E D O P T : C O N S ER V G R O W T H40 . N E W Y O R K 5 2 9 C O L L S V G S I N T E R E S T A Interes t J TA C C U M U L A T I O N P O R T F O L I O4 1. T PM X X - R BC P RI M E M O N EY M A RK ET A Interes t M erg ed 03 /2 4 /10 JFD ( wi th l ine 43 )42 . A C M X X - R B C M O N E Y M A R K E T A Interes t M e r g e d 03/24/ I0 JO BL IG A T IO N S T R U ST ( w ith lin e 4 3)43 . T R M X X - R B C P R IM E M O N E Y A Interes t J T Sold 05/18/10 JM A R K E T F D R E S E R V E C L (part)44 .45 . R E T I R E M E N T A C C O U N T S46 . 40 1 K PLAN - IN G A Interes t K47 . I R A S C U D D E R - D W S C O R E PL U S A Interes t K TI N C O M E F U N D48 . I R A S C U D D E R - D W S G L O B A L A Interes t J TT H E M A T I C F U N D49 . J E N N IS O N S E L E C T G R O W T H F U N D C L N o n e SoldA ( S P F A X )50 . T P M X X - R B C P RI M E M O N E Y M A R K E T N o n e M e r g e dFD ( wi th l ine 5 1 )51 . T R M X X - R B C P R IM E M O N E Y N o n e J TM A R K E T F D R E S E R V E C L

05/05/100 3 / 2 4 / 1 0

JJ

2. Value C o d es J =$15,000 o r less K =$15;001 - $50,000(S ee C o lum ns C I an d D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50;000,0003. Value Method Codes Q = A ppr a i s a l R =Cost (Real Estate Only)(S ee Col unm C2 ) U =Bo o k Va lue V =Othe r

C =$2,501 - $5,000H 1 =$ 1,000,001 - $5,000;000L =$50,001 - $100,000P I =$ l i000,001 - $ 5,000,000P4 M ore t h an $5 0 , 0 0 0 , 0 00S =Asse ssmen tW =E s t ima ted

D =$5,001 - $15,000H 2 = M o r e t h a n $ 5 ,0 0 0 , 0 00M - $ 1 0 0 , 0 0 t- $ 2 5 0 , 0 0 0P2 =$ 5,000i001 ~ $25,000,000T C a s h M a r k e t

E =$15,001 - $ 5 0 , 0 0 0


19/22


N a m e o f P e r so n R e p o r t i n gP A U L E Y I I I , W I L L I A M H .


V I I. I N V E S T M E N T S a n d T R U S T S - i .... e , value, transactions (Includes those of spo use and depen dent children; see pp. 34-60 of f!ling instructions.)NONE ( No reportable income, assets, or transactions.)

D e s c r i p t i o n 0 f A s s e t s Income dur ing( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

{1 1 ( 2 ) (1) (2) (! ~Place "(X)" after each asset A m o u n t T y pe ( e .g ., Value Value Type(e.g.,exempt from prior disclosure C o d e 1 d iv . , r e n t , C od e 2 M e t h o d b u y , : s e l l,( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption)

( Q - W )

Gross value at end ..... Transactions during reporting period(2) ~, O)

Date Valuem m / d d !y y . C o d e 2O-P)

O) (5 )Gain Identity ofCode 1 buyer / se l l e r(A-H) (if private

t r h n s a c t i o n )

52 .53 .54 .55 .56 .57 .58 .59 .

A C M X X - R B C M O N E Y M A R K E T A Interes t J TO B L I G A T I O N S T R U S TA G D A X - A L L I A N C E B E R N S T E I N H IG H A D ividend J TI N C F DM C G F X - A S T O N F U N D S M O N T A G &C A L D W E L L N o n eB G N I X o B L A C K R O C K G N M A A D ividendP O R T F O L I OS M G I X - C O L U M B I A C O N T R A R IA N A D ividendC O R E F DGS FTX - C O L U M B I A F D S S E R T R I D I V A D ividendIN CD P L T X - D R E Y F U S H I G H Y I E L D F D A D ividend J TK D S SX - D W S V A L U E S E R IN C S M C A P A D ividend J T

60 . S G I IX - F I R S T E A G L E G L O B A L F U N D A Distribution J T

61 . I C H H X - F R A N K L I N / T E M P L E T O N A D ividendH A R D C U R F D62 . H FM C X - H A R T FO R D M U T U A L FD M ID N o n eC A P63 . H I P I X - H A R T F O R D I N F L A T I O N P L U S A D ividendFD64 . H L L V X - J P M O R G A N S H O R T D U R A D ividendB O N D F D65 . H S K S X - J P M O R G A N T R 1 N o n eH I G H B R I D G E S T A T F D66 . W O B D X - J P M O R G A N T R 2 C O R E B D A D ividend

J

JJJJJ

TT

T

T

T

T

67 . L S G I X - L O O M I S S A Y L E S V A L U E F D A D ividend6 8 . M G R A X - M F S I N T L G R O W T H F D A D ividend

JJ

TT

i . inconie Oaif i Cod~s! A =$!;000 or !ess(See C o lumn s B I an d 1)4) F =$50;001 = $100,000

2. Value Codes J =$15,000 or less( Se e C olu nm s C I a nd D3 ) N =$ 25 0,0 01 - $ 50 0,0 00

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = A ppr a i sa l

(See C o lumn C 2) U =Bo o k Va lue

B-$1,001- $2,500G =$100,001- $1,000,000K =$15,001- $50,000

R =Cost (Real Estate Only)V =Othe r

C =$2,501 - $5,000 D =$5,001 - $15,000H1 =$L000;001- $5;000;000 H2 =More than $5;000,000L =$50,001- $100,000 M =$!00i001 - $250;000PI =$ 1,000,001 - $5,000,000 P2 =$5~000,001 - $25;000~000P4 =More than $50,000,000S =Asse ssmen t T = C a s h M a r k e tW =E s t ima ted

E =$15,001- $50,000


20/22


N a m e o f P e r s o n R e p o r t in gPAULEY l lI , WILLIAM H .


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a lu e , tr a n s a c t i o n s a n d u d e s t h o s e o f s p o u s e u n d d e , e n d c n t children; see p p . 3 4 - 6 0 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

B. C. D.Incom e during G ross va lue at end Transactions during reporting period

reporting period of reporting period(1) (2) (1) (2) (1) (2) (3) (4) ( 5 )

A m o u n t Type (e.g., Value ~alUe Type (e.g., Date Value Gain " " Identity ofCode 1 div., rent, Code 2 Method buy, se l l , mm/dd!yy ,: Code 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) C o d e 3 redemptibn) O - P ) (A-H) ( i f p r i v a t e( Q - W ) transaction)

69 . I V Q A X - M O R G A N S T A N L E Y 1 N T L A D ividendV A L U E E Q U I T Y F D7 0. N E F J X - N A T I X I S A D V IS O R S M C A P N o n eV A L F D7 1. P A G N X - P I M C O G N M A F D A D i v i d e n d

JJJ

TTT

72 . P C G R X - P IO N E E R M I D C A P V A L F D A D i v i d e n d J

7 3. R Y M F X - R Y D E X S G I M A N A G E D F U T N o n e JS T R A T7 4. T A I B X - T A R G E T P O R T F O L I O I N T E R A D ividend JT E R M B D75 . T G B A X - T E M P L E T O N G L O B A L B O N D A D ividend JFD7 6. P S S A X - P I M C O S T O C K P L U S T R A Interes t KS H O R T S T R A T E G Y7 7 . L F R F X - L O R D A B B E T T I N V T T R F L T G A Interes t JR A T E F D C L F7 8. R B L C X - R U S S E L L I N V T B A L A N C E D A D ividend KS T R A T E G Y F D C L C7 9. D B P I X - D W S A D V I S O R F D S H O R T A Interes t JD U R A T I O N P L U S

TT

TT Bu yT Bu y

T Bu yT Bu y

03/24/10 K05/18/10 J

05/05/10 K05/18/10 J

1 . Inc ome Gain Codes : A =$ 1,000 or less B =$ ti001 -$2~500(See C o iumn s BI an d D4) F =$50;001 - $100;000 G =$I00;001 - $1,000~0002. Value Codes J =$15,000 or less K =$15,001 - $50,000(See C o lumn s C I an d D3) N =$250,001 - $500,000 O = $ 5 1 ) 0 , 0 0 1 - $ I ; ~ 0 0 ; 0 0 O

P 3 $25.000.001 - $50,000,0003. Value Method Codes Q = A ppr a i sa l R =Cost (Real Estate Only)(See C o lumn C 2) U =Bo o k Va lue V - O t h e r

C =$2,501 - $5.000H 1 --$1,000i001 - $5;000,000L =$50,001- $100,000P 1 =$1,000,001 - $5,000,00~P4 =More than $50,0001000S =Asse ssmen tW --Es t imated

D = $5.0 01 - $ 15,000 E = $15,001 - $ 50.000H2 - - Mo re than $5;000~ 000M = $!0 0 0 0 1 , $2 5 0 0 0 0 :F2 =$5,000i001 ~ $25,000 000 ....T = C a s h M a r k e t


21/22


Name of Person Rep or t ingP A U L E Y 1 1 1 , W I L L IA M H .

Date of Repor t05/13/2011

V III . ADDIT IONAL INF OR MA T ION OR EX P LANAT IONS . (lndicate part of report.)

N one.


22/22


Name of Person Report ingP A U L E Y I II , W I L L I A M H .

Date o f Report05/13/201 |

IX. CERTIFICATION I c e r t if y t h a t a l l i n f o rm a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o rm a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signature:S/WILLIAM H. PAULEY III

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eAd m in is t ra t ive Off ice o f the U ni ted S ta tes Cour t sSui te 2 -301O n e C o l um b us C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 44

Maurice M Paul Financial Disclosure Report for 2010

Documents

Transcript of Maurice M Paul Financial Disclosure Report for 2010