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Judicial Watch • William H Pauley III Financial Disclosure Report for 2003

William H Pauley III Financial Disclosure Report for 2003

William H Pauley III Financial Disclosure Report for 2003

Page 1: William H Pauley III Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:11

Date Created:February 3, 2005

Date Uploaded to the Library:November 23, 2013

Tags:SELIG, Conversion, Jennison, William H Pauley III, pauley, Distribution, 2003, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 
... ev. 1/2004 

Calendar Year 2003 U.S.C. app.  101-111) Person R::porting (Last name, First name, Middle initial) Court Organization 
PAULEY Ill, WILLIAM SOUTHERN DISTRICT NEW YORK 	Title (Article III Judges indicate active senior status; ReportType (check appropriate type) magistrate judges indicate full-or part-time) Nomination, Date, 
U.S. DISTRICT JUDGE (active) Initial @Annual Final Date Report 511212004 	Reporting Period 11112003 
12131/2003 	Chambers Office Address the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance 
UNITED STATES COURTHOUSE 
with applicable laws and regulations. 
500 PEARL STREET 

Reviewing Officer NEW YORK. NEW YORK 10007-1581 

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reponable information. Sign last page. POSIDONS. (Reporting individual only; see pp. 9-13 filing instructions) 
 NONE -(No reportable positions.) AGREElmNTS. (Reporting individual only; see pp. 14-16 filing instructions) NONE -(No reportabh: agreements.) 	1998 Continuation payments agreement with former law partner, Franklyn Snitow, and his law finn, Snitow Kanfcr Holtzer Millus, LLP.
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IV. REl11BURSE11ENTS transportation. lodging, food, entertainment.
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No such reponnble reimbursements.) Duke University School Law 

PAULEY Ill, WilllAM 
5/1212004 GIFTS. (Includes those spouse and dependent children. (No such reportable gifts.) Former law clerks UABil.ITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) (No reportable liabilities.) 

FINJNCIAL DISCLOSURE REPORT 
Date Repon Description As.cts (including trust assets) Place "{X)" after each asset exempt !fom prior disclosure NONE (No reportable income, assets. transactions) COMMON STOCK !neon.: during repol'ling period (I) (2) Atrounl Type (e.g. Code div. n:nt (AH) int) Gross value end rtingperiod (I) (2) Value Value Codc2 Method (JP) Code3 (Q-W) Transactions during reporting period (I) not exempt from disclosure (2) (3) Type (e.g. Date: Value buy. sen. MonthCode2 merger, Day (JP)redemption) (5) Gain Identity Code buyer/seller (Ml) (if private transaction) EXXON/MOBIL Dividend AXA AMERICAN DEPOSITORY SHARES Dividend PRUDENTIAL FIN'L SRVS Dividend IBM Dividend MUTUAL FUNDS ALGER BAL PORTFOLIO Dividend ALI.IANCE PREMIER GRWTH 10. ALLIANCE DISCIPLINE VALUE Dividend Dividend  Sell/ Exch 12118 Buy/ Exch 12118  
11. VIS VENTURE FUND 12. FEDERATED WORLD INVT SRVS GLOBAL FIN'L SRVS 13. GOLDMAN SACHS TRUST MID CAP EQUITY FUND CLB 14. HANCOCK CAP 15. HANCOCK CAP 16. HANCOCK GLOBAL LEADERS GROWTH CLB 17. HANCOCK GLOBAL LEADERS GROWTH 18. AIM VALUE Dividend Dividend Dividend Dividend Dividend Dividend Dividend Distribution  Sell/ Exch 12/18 Sell/ Exch 12/18 Buy/ Exch 12118 Buy 12/18 Exch Sell/ Exch 12118  Income/Gain Codes: Sl,000 orless Sl.001-S:!,500  s$2.SOl-S5,000  cS5,001-SJ5,000 Sl5,00lS50.000  
{See Columns and 04) $50,001-SIOO,OOO $100.00l-Sl,000.000 s1,ooo,001-s.ooo,ooo More than ss.000,000  :!. Value Codes: $15,000 less SIS.001-SSO.OOO  =SS0,001-$100,000 SIOO,OOlS250,000  
t from disclosure (3) -(S) Type (e.g. Date: Value Gain Identity buy, sen. Month Code2 Code bv.yer/scncr merger, Day (J-P) (AH) (ifprivateredemption) transaction) Sell/ Exch 12118 Sell /Exch 12118 Buy/Exch 12118  
59.  
60.  ANNUITIES  
61. 62.  DISCOVERY PLUS Interest  
63.  CASH AND CASH EQUIVALENTS  
64. MORGAN CHASE Interest  
65.  U.S. TREASURY BILLS Interest  
66.  DREYFUS LIQUID ASSETS, INC. Dividend  
67.  U.S. SAVINGS BONDS Interest  Buy 6/6  
68.  AXA FIN'L LIFE INS (Cash Su1TC11der Value) Dividend  
69.  AXA FIN'L LIFE INS (Cash Surrender Value) Dividend  
70.  PRU MONEY MARKET ACCOUNT Interest  
71.  PRU TAX FREE MONEY MARKET ACCOUNT Interest  
72.  NEW YORK STATE COLLEGE rumoN Interest  Buy 12123  
SAVINGS FUND PROGRAM Income/Gain Codes:   SJ,000 less Sl,OOlSSOO   $2.SO!-SS,000 SS,OO-SIS,000 SlS,OOl-SS0,000  
(See Colmons aud D4) SS0,001-SIOO,OOO SIOO.OOlSl,000,000 Sl,OOO,OOl-SS,000,000 More than $5,000.000 Value Codes: $15,000 less   $15,001-SSO,OOO SS0,001-SIOO,OOO Sl00,001-$250,000  
!SeeColumnsCI andD3) S:?SO,OOO-SS00.000 SSOO,OOl-Sl,000,000   Sl,OOO,OOlS5,000,000   $5,000,001-$25,000.000 $25,000.001-SS0.000,000 SMore than SS0,000,000 Valu" Method Codes  Appraisal  Cost Real Estate Only) Assessment Cash/Market  =S:e.ti1nMt"'ti  

Date Report 
Name Person Reporting 
PAULEY III, WIU.IAM 
5/1212004 
VII. INVESTMENTS and TRUSTS -income, value. transcalions (includes those the spouse and dependent childn:n. See pp. 34-57 offiling instructions.) Income during Gross value end Transactions during n:porting period Description Assets 
repo1'ting period reporting period
(including trust assets) not exempt from disclosure(1) (I) (2) (2) 
(5) 
Place"(X)" after each asset exciqn 	Value Value Type (e.g. Date:
Amowit Type {e.g. Value Gain Identity prior disclosure buy, sell. 1onth
Code! div. rent Code2 Method Code2 Code buyer/seller (A-H) inL) (J-P) Code3 Day (J-P) (A-H) (ifprivate
merger, redemption)
(Q-W) 	transaction) 
RETIREMENT ACCOUNTS 
74. 
76. 
401K PLAN -ING Dividend 
IRA SCUDDER Interest 
ALGER CAPITAL APPRECIATION Interest 
78. 
PRU JENNISON GROwrH Interest 	Conversion 10/1 

79. 
JENNISON GROwrH Interest Conversion 10/l 

80. 
PRU JENNISON GROwrH Interest 	Conversion 10/l 

81. 
JENNISON GROWTH Interest Conversion 10/l 

82. 
PRU TECH FUND Interest Conversion 10/l 

83. 
JENNISON TECH FUND Interest Conversion 10/1 

84. 
DAVIS VENTURE FUND Dividend 

GOLDMAN SACHS TRUST FUND CAP Dividend 
GRWTH PORTFOLIO 

85. 
86. 
PRU HLTH SCI Distribution Conversion 10/1 

87. 
JENNISON HLTH SCI Distribution Convesrion 10/1 

88. 
PRU HLTH SCI Distnbution Conversion 10/1 

89. 
JENNISON HLTH SCI 	Distribution Conversion 10/1 

STRATEGIC PARTNERS FOCUSED GROWTH Distribution 
FUND CLB 

90. $15,00l-SS0,000I. Income/Gain Codes: $1,000 less S1.00 lS2,500 S2.SOl-S5,000 =S5,00!-Sl5,000 
tSee Columns and 04) $50,001-SIOO,OOO $0.001-Sl,OOO.OOO Sl,000,001-$5,000,000 Mor.: than $5.000.000 Value Codes:  =SI 5,000 less Sl5.00l-$50.000 SS0,001-SI00,000 SIOO.tlOl-$250,000 See Columns and 03) $250,000-$500.000 S500.00l-Sl,000,000  s1.ooo,001-ss.ooo,ooo ss.ooo.001-S2s.ooo.ooo $25,000.001-550.000,000   SMort than SS0,000,000 Valu..-Method Codes Appniisal  =Cost !Real Estate Only)   AsseSSllllmt   CasbiMarket  

rage 6of6  PAULEY III, WILLIAM  5/12/2004  

VIL INVESTMENTS and TRUSTS -income, value, transcations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period TrullSctions during tq>Orting period  
91.  Place "{X)" after each asset exempt from prior disclosure STRATEG PARTNERS NEW ERA GRWTH FDCLB  (I) ArnoWlt Code {A-H)  (2) Type (e.g. div. mlt. int.) Distribution  (I) Value Code2 (J-P)  (2) Value Method Code3 (Q-W)  (I) Type (e.g. buy, sell. merger, redemption) from disclosure (2) (3) (4) (S) Date: Value Gain Identity MonthCodc2 Code buyer/seller Day (J-P) (A-H) (ifprivate transaction)  
92.  SELIG COMM INFO  Distribution  
93.  COMMAND MONEY MKT FDS  Interest  
94.  UTS GOV'T SEC EQUITY TRUST  None  
95. 96. 97. lncomeiGain Codes:   Sl,000 less 1.001-$2,SOO  -s2.so1ss.ooo  -SS,001-SIS,OOO   $15,001-S.50,000  
tSce Colunms and 04) $50,001-S 100,000 s100.001-s1.ooo.ooo Sl,000,001-SS,000,000 More than ss.000.000 Value Codes: $15,000 less $15,001-$50,000 $50,001-Sl00,000 Sl00,001-S250,000  
!See Columns and 03) $250,000-$500.000 $500,001-$1,000,000  =Sl,000,001-$5.000,000 S5,000,00l-S25,000.000 S25,000.00l-S50.000,000 SMarc than sso.000.000 Valu Metb.od Codes  Appraisal  =CDS! (Real Estate Only)   Assessment Caslv'Market  

PAULEY III, WIUlAM 
5/1212004 
artorReport.>
VID. ADDIDONAL INFORMATION EXPIANATIONS 

IX. CERTIFlCATION. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE TIDS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies 
to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544