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Judicial Watch • Neil V Wake Financial Disclosure Report for 2004

Neil V Wake Financial Disclosure Report for 2004

Neil V Wake Financial Disclosure Report for 2004

Page 1: Neil V Wake Financial Disclosure Report for 2004

Category:Financial Disclosure

Number of Pages:22

Date Created:December 13, 2005

Date Uploaded to the Library:November 13, 2013

Tags:MutFd, Neil V Wake, Gross, stock, 2004, INVESTMENTS, TRUSTS, dividend, Financial Disclosure, ICE, CIA, financial, Judge


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rtRequired the Edllcs 
FINANCIAL DISCWSURE REPORT Government Act 1978 FOR CALENDAR YEAR 2004 U.8.C. app.  101-111) Person Reporting (Last name, Fust name, Middleinitial) Court Organization Date ofRq>ort Wake,Neil U.S. District Court, Arizona 8/12/2005 Title (Article Judges indkate actiw senior status; S. ReportType (check appropriate type) ReportingPeriod magistrate judges indicate full-or part-time)  Nomination. Date 1012212003 11112004 Initial @Annual Final 
1113112004 Chambers Office Address the basis the infoimatioo contained this Report and any 
cations pertaining thereto, is, opinion, compliance 
.401 Washington St, SPC 
with applicable laws and regulations. Phoenix, 85003 
IMPORTANTNOTES: The iustructions accompanying this form must.be followed. Complete all parts, checking the NONE box fur each part POSmONS. (Reporting individual on1y; see pp. 9-13 filing instructiona) NONE -(Noreportablepositions.) Law Offices ofNeil Vincent Wake  Trustee Trust#  Trustee  Trust#2  
i.  Tr..::a!J  Appellate Practice Section, State Bar Association Arizona  
Trustee  Law Offices Neil Vmcent Wake Maney Purohase Plan  

......... ...,.,  
II. AGREEMENTS. (Repoitingvidual only; see pp; 14-16 filing instructions) NONE -(Noieportabteagn:emmts.)  ('"J ..,, o(f)kc:: :Po ;o:Z[TlO ;J::>c:=en (') m-< ; 
.:! ::.:.'-: . .-, 

Ill NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 filing instructions) Filer's;Nen-Jnvestmentlncome NONE (No reportable non-inwstment income.) 
(yours, not spouse's) 2004 Law Offices ofNeil Vincent Wake (law practice) 259,618 Spouse's Non-Investment Income (If you were D1lllried during anyportion the reportingyear, please complete this section. Dollar amoUDt not NONE . (No rCportable non-investment income.)
 Self-employed attorney and mediator 
IV. REIMBURSEMENTS -tmnsportation, lodging, rooc:1, entertainmeul 
-w ..OOQbildtw. Si:epp, 2S27 instructions.) fi!I NONE (No sudl Iq>Ortable reimburseinents. 
 '-- .: ___ :,.  ... 
Name Person Reporting 
Date Report
Wake, Neil GIFTS. (Jllcludes those spouse and dependent children. See pp. 28-31 instructions.) NONE (Nosuchreportablegifts.)
SOURCE 	James and Arlene Bak.er (i0tml: clients; fountain pen $520 gift investitore) James and Arlene Baker (former clients.. dinner gift certificate $100. gift investiture) IJABILITIBS. (Includes those spouse and dependentcbildm1. See pp. 32-34: ofinstructions.) NONB -(Non:portabteliabilities.> -i. -- -..  . ':_; "i' :;./.. ;: 	;';.:,. 
Name Person Reporting 
W::ke, 1'1'..ei! 
F.11212oos vn. lNVBSTMENTS and TRUSTS -income, '8lue, tions (inclu lhoso the spouse and dependentchildren. Seo pp. 34-51 offiling ill5lnletions.) Jncomo during Gross "8lue end during rqx>rting period 
Descriptionof Assets 
reporting period reporting period 
(including 1[Ust assets) 
(2) (1) (2) (l) not 
(2) (3) (4) (5) pJaCe "(X}" .assetmiernpt Amount Type (e.g. Value Value Typo (e.g om prior disclosure div. nmt. buy, sell. Date: Value Identity 
buye:rlsollcr
Code2 
Month 
Codo2
Codol Codol Day (J.P)int) (JP) Code3 
(A-Hj (if private 
transal:lion) 
merger,
tedemption) (Q-W) 
DNONB (No icportablo income, assets, ortransadioas) Wells Fargo accounts Interest 
Law Offices ofNeil Wake (ceased business) 	None -prot: corp (fbrmerly mistakenly listed her None uame) ApachePeak Inv., Dis1n"bution Cowiey-OOwMI.LC Distribution 
-"'"-----ir .......____ i:-;-. ....s -'S.-	'i'"' :--. =i. ..... : ;;>"'""' "'1UU1....,.  .I.AU.  1.Jli)lll.UU:URl. ....  A.:--:! fPJ {ti-:;:.::-1 !."'..,,,i.!.il.'!,l.k.;;  12-04) 
401!.!Q !'I.!!!? -Mamilife Lifestyle Growth Fund Dividend 
10. Trust# (trustee) 
11. -Murin Lynch accts Interest 
12. -ReimanScbneider note (paid 5-04) Interest 	PaidS-20 
13. -Bm!k ofN Co. Inc. commonstock (BK) (sold 12-None 2-..lt-03) 
14. ..:.Pfi7.ec IncDel (PFE) 	None Sold part 2-4 
15. 
-Pfizer Inc Del (PFE) 	None Sold 3-31 

16. 
-Wcent Technologies Inc (LU) (X) 

17. 
-Imerstare Vent (omittedbeforeby error) 	None 

F'JN"ANCIAL DISCLOSURE REPORT 
Name Person Reporting Date Report 
P2ge1of!7 
Wake, !'!ci! M2!2005 INVESTMENTS and TRUSTS -income, valuo, transQBtionS (includes those tho spoU5C and dependent hildren. See pp. 34-57 filing ins!IUctions.) 
Gross value end Transac:tions during reportingperiod
Im:ome during 
Description Assets 
reportingperiod.
(ini:ludingtrust assets) (2) (1) (2) (S}Place "(X)" after each assetCLUmpt Type (e.g. 
Type (e.g. Value Value 
from priordisc:losure 
div. rent. 
Date: 
Value Identity bllyc:r/scller
buy. sell. MonthCode2 MethodCodel Code2 Codel tninsaction} Code3 mmger, Day (J..P} 
redemption)
(AH) int.) (A-ff)
(Q-W) 
18.  TlllSt (trustee)  
19.  -Merrill Lynch Money Market  Interest  
20.  -Reimansclmeider note (paid 5-04)  Intaest  Paid  5-20  
21.  -Bank Co. Inc. common stock (BK)  
-Pfizer Inc. Del (PFE)  Dividend  
23.  -Lucent Technologies Inc (LU) (X)  
24.  -Interstate Vent (omitted befuJe error)  Distribution  
25.  Trust# (trustee)  
26.  -Gaty Lowness note  None  
27.  -Manulife Ins. whole life ins  None  
28.  Brohnge Acct  

1'!- .a.---r..._.a .,o;.n.,.r. 7_.:__ J. UUU."a.u.a..1 ............ 

..,,:,  ...,.!if'IPi n#--z-1 f'.r--r -;;;; -.!:  ni>.-iitol One Financial None Sold 4-22 
-Ebay Inc None Buy 1-12 
88. 
-Ebaylnc None Sold 5-14 

89. 
-EdwaJrls Inc None Buy 3-26 

Name Penon Reporting 	Date Report 
W::ke, Neil !!112'2005 INVESTMENTS and TRUSTS -incomo, llllue, transcationa (ineludes thoso tho spouse and dependent children. See pp. 34-57 filing instructions.) IDllOIDO during Gross value end Traruiactions during reporting period Description Assels 
reporting period reporting period
(lllC!uding trust assets) 
(1) (2) (I) 	(2) 
Placo *(X)" afta-each asset cm:mpt 
Date: Value Idc:Jitey
Type (e.g. Valuo Value div. nmLor 
ftom prior disclosure Codcl Codc2 buy, sell. Month Code2 buyer/seller 
(A.ff) int.) (J.P) 	Code3 merger, Day (J..P) (if private (Q-W) Rdemptioo) tmnsai:tion) 
90. -Edwards Inc 	None sOld 5-14 
91. -Eon Labs Inc 	None Buy 
,.-;n Labs None Sold 5-14 -EsteeLauderCo Inc (X) None Sold 5-14 
94. 
-Fannie Mae 	None
Buy 
Sold
-Fannie Mae 	None
95. 
96. -Fastenal (X) None Sold 5-14 ':17. -Oeozyme (Gen Div) None Buy 1-30 
98. 
- 1DCODlll during Gross va1uC end TranS!ICtions during reporting period 
Description Assets 
reporting period reportingperiod
(induding 1tst assets) 
(1) (2) (1) 
(2) 	(S)
Date: Value Gain
Valuo Value 
Identity 
buyertseller
Typo (e.g. 
Month
Cade2 CodolCodo2 Method buy,llell, 
div. rent. 
int.) (J-P) Codo3 merger. Day (J-P) (A-II) (if private (Q-W) redemption) transaction) 
162. -HCA Inc 
None 	Sold 5-14 
163. 
-Oracle (X) 	None Sold 5-14 

164. 
-Pepsico (X) 	None Sold 5-14 

165. 
-Target Cotp (X) 	None Sold 5-14 

166. 
-Wachovia Corp 2rld New Coin 	None Buy 3-23 

167. 
-Wachovia Cotp 2nd New Com 	None Sold 514 

168. 
-United Technologies Buy 1-13 

None 	Sell 5-14 
170. IRA#3 
 
171. -LiquidAssetFund (MM) Dividend 
172. 
...
i13. 	" 
176. -LiqUidAssetFund(MM) Dividend 
177. 
-Pulnam Voyager (Mot Fd) Dividend 

178. 
UTMA ACct 

179. 
-liquidAssetFund(MM) Dividend 

Name Person Reporting Date Report of17 W:ll:e, NeilV 8/1212005 
INVESTMENTS and TRUSTS -income, value, transcations (includes those tho spouso and dopendent children. Sec pp. 34-57 filing instructions.) Incomeduring Gross value end Transactions during rq>Orting period 
Description Assels repor1ing poriod 
(im:luding tmst assets) 
(I) (2) (I) (2) 
PJacc "(X)" after each asselcm:mpt  (e.g. Va!llO Vale Type: (e.g. Date: Identityof 
div. rent. buy, sell, buyalscller (ifprivatr: 
limn prior disclosure MonthCodc2 MethodCode Code2 Codol 
redemption)
Code3 Day(A-II} int.) (.J..P) (.J..P) (AH) 
(Q-W) 
180. -MS Information Etind (Mnt Fd) Dividend 
181. -MS European GrowthFundB (MutFd) Dividend 
182. -Putnam V0yagerA (Mut Fd) Dividend 
183. Brokerage Acct# 
184 -SEI Tax-Free Fund (MM) Dividend 
185. -sEI Tax-Mgd Large Cap Fund (MM) Dividend 
186. 
-Jntcl Corp common stock Dividend 

187. 
-Cisoo Systems inc common slook 

-Medtronic Inc common stock
188. 
189. --Altera Coip common stock None 
Htt. Umtfweessiugfil1Hl00!D16!l;eeic 
 ;;......., 1'--...----1 ;-.
-.1-.... 
;t;."' -Rf n,,;;.-= l-J.-r..A ... 
194. -SEI Small Cap Growth Fund (Mut Fd) Dividend 
-Oeneral Eleclric Common stock  Dividend  
196.  -Veriwn Commnnications common stoCk.  Dividend  
197.  -sun MicrosystelJ1s Inc common stock  Dividend 
Name ofPerson Reporting Date Report Page of17 Wale, Nei!V l!J12l2005 
Vll. INVEST.MBNTS and TRUSTS -income, wtue. lranS(lalion' cmcludes those ort1ic spouso and dependent childMt. See 34-51 ruing instructions.) Income during Gross value end TlTlllSllClions during reporting periodDescriof Assets 
reportingperiod
(indudins trust -assets) (1) (2) (2) (1) 
not-pt 
(2) (3) {4) (5) 
PW:e. "(XY-' .afttlr  -.. from prior disclosure  Amount Code (AH)  Typo (e.g. div. rent. int.)  Vah Code2 (J..P)  Valuo Mothod Code3 {Q-W)  TYJIC {e.g. buy, sell, merger,redemption)   Month Day  Code2 (J..P)  Code! {A-H)  Identity-of buyer/sellor (if private transaction)  
198.  -Microsoft Corp common stook  None  
199.  -SEI Intermediate-Term MunicipalFund (Mut Fd)  Dividend  
200.  -SEI Intemational Fixed IncomeFund (Mnt Fd)  Dividend  
201.  -SEIHigh YieldBondFund(MutFd)  Dividend  
202.  -$E1EmergjngMarkllts DebtFund (MutFd)  .Dividend  

203.  -SEI lntemation.al Equit}r  (Mut Fd)  
204.  -8EI EmergingMukets Equity Fund (omitted  Dividend  
emir before)  

205. 
Brokerage.Acct# 

206. 
-SEI Tax-Mgd Large Cap Fond (Mt Fd) Dividend 	... 
,., / 
?.!! -SE! d::!:ts DehtFi..md .!Jt Fd) DMd!!!!d 
212. 
-SEIHigb Yield Bond Fond (MutFd) Dividend 

213. 
-SEI International Equity Fund (Mot Fd) Dividend 

214. 
-SEI Emerging Markets Equity Fund (Mut Fd) 	Dividend 

215. 
Brokerage Acct# , : 
FlNANCIAL DISCLOSURE REPORT {'.:.. ;....Date Report 
Name Person Reporting
'Page Wilke, Nei! 8!!2'2005 
INVESTMENTS and TRUSTS -income, value, lnlnBC4tions (includes those the spouse and dependentllhiklrea. Sei: pp. 34-S? filing instrulltions.} D.Income durina Gross wlllo end Tiamactions during lq)Orling period 
(1) (2)
P1ac:O"'(X)9-alter each SllC:t.c.umpt  Aiiioimf 'TYJio Typo. (e:g;from priordisclosm:e Code! div. 1Cllt. buy, sell,llleJ.IOf, 

v
Codo2Codc2(JP) 
Month-Day 
Codcl(A-ff) 
buyer/seller
Codc3(A-H) int.) (J.P) 
(Jfpriva18tnmsalllion)
(Q-W} 
216. -SEI Large Cap GrowthFund (Mut Fd) Dividend 
-SEILargeCap ValueFund(MutFd) Dividend
217. 

218. 
-8EI Small Cap Value Fund (Mut Fd) Dividend 

219. 
-8EI Small Cap Growth Fund (Mut Fd) Dividend 

220. 
-Medtronic Inc common stock Dividend 

221. 
-Microsoft Cotp common stock None 

222.' -Verimn Conmnmications common stock Dividend 
-8EI International Equity Fund (MutFd) Dividend
223. 

-SEI Emerging Markets Equity Fund (Mut Fd) Dividend
224. 

F.ixect-iilcom Ftlrut(Mid.-Far 
226. .,..8Eiintematlonni-Fixeci-mcometttlti



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