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Judicial Watch • William H Pauley III Financial Disclosure Report for 2004

William H Pauley III Financial Disclosure Report for 2004

William H Pauley III Financial Disclosure Report for 2004

Page 1: William H Pauley III Financial Disclosure Report for 2004

Category:Financial Disclosure

Number of Pages:10

Date Created:December 13, 2005

Date Uploaded to the Library:November 23, 2013

Tags:DRYDEN, Conversion, Jennison, William H Pauley III, pauley, money, Gross, 2004, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev.1/200 
Calendar Year 2004 U.S.C. app.  101-111) Person Reporting (Last name, Fjrst name, Middle initial) Court Organization  
PAuLEYIJI. WILUAM  SOurHERNDffiTRICTOFNEWYORK Title (.lrticle mJudges indicate active senior status; magistrate judges indicate full-or part-time) ReportType (check appropriate type) Nomination, Date  
U.S. DffiTRICT JUDGE (active) 1Ditial  @Annual Flnal 	DateofReport 5/13/2005 Reporting Period 
111/2004 
12131/2004 	Chambers Office Address the basi!I the information contained this Reportand any 
modifications penaining thereto, is, opinion, compliance

UNITED STATES COURTIIOUSE 
with applicable laws and regulations. 
SOO PEARL STREET 
Reviewing Officer. 

NEW YORK. NEW YORI( 10007-1581 
IMPORTANTNOTES: The instructions accompanying this fonn must followed. Complete all parts, checking the NONE box for each part 
Where you have reportable infonnation. Sign last page.  POMONS. (Reporting individual only; see PP 9-13 filing instructions) N:O:lE  -(!:-lo rep0rta_i>1e positions.) 

, Member Board V1Sitors 	Duke University School law 
'  
. n.: ..AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions) .;-' . NONE -(No reportable agreements.) 
,.,
  ::0 	r-::;;:: 	1998 Continuation payments agreement with former law partner, Franklyn Snitos lawlif!n,
KanferHoltzer Millus, UP. NON-INVESTMENT INCOME. (Reporting individual and spouse; see PP 11-24 filing instructions) Filer's Non-Investment Income NONE -(No reportable non-investment income.) 
(yaws,. notspouse's) 2004 Snitow Pauley, fonner law partnership winding-down its affairs $63,043(continuation payments agreemmtdescn'bed Part ll, line 1)' :.Sp.ouse's Non-Inyestment Income-.(If :you manied during anyportion the reporting year, pleasecompletethis section. (dollar amountnot required except for honom,ia) NONE (N.repbenon-invcstment me.) 2004 Self-Employed Licens Real Estate Sales Person 
IV. REIMBURSEMENTS -transportation, lodging. food. entertainment. ... 
 
(Includes those spouse and dependent cbt1dren. See pp. 25-27 instructions.)  NONE (Nosuchreportablereimbursements.) 
SQURCE DON Duke UniverSity SchoOl Law October 7-9, 2004. Law School Board Visitors Meeting. (travel, food and lodging) 
 
5/13/2005
PAULEY III, WILLIAM GIFI'S. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (Nosuchreportablegifts.)
 IJABILITIES. (Jnclud".5 those spouse and dependent children. See pp. 32-34 instructions.) 
 NONE (No reportable liabilities.) 
 

F"INANCIAL DISCLOSURE REPORT 
DateofReport
Name Person Reporting 
5/13/2005
PAULEY WILLIAM VIL INVEST.l1ENTS and TRUSTS -income. value. transcations fmcludes those the spouse and dependent children. Sec PP. 34-s1 filing instructions.> Income dilling Gross value end Transactions dmiDg reportingperiod
Description Assets 
reportingperiod reportingPeriod 
(including truSt assets) 
Ifnot exempt :from disclosure 
(l) (1) (1) 
(2) (3) 
Place "(X)" after each asset exempt Am>Ulll Type (e.g. Value Value Type (e.g. Date: Value Gain Identity fi'om prior disclosure Month-
div. tent. Code2 redent>lion) 
buy, sell, buyer/sellerMethod 
Codcl
Code2
Codct 
(J-P) Code3 merger, Day 
(if private 
inL) (A-H)(A-H) 
frallsaction)(Q-W) 
DNONE (No reporlablc income, assets. lr.tnSactions) 
COMMON STOCKS 
EXXON/MOBll.. Dividend 

AXA AMERICAN DEPOSITORY SHARES Dividend 
PRUDENTIAL FIN'L SRVS Dividend 
IBM Dividend 
' 
MUI'UAL FUNDS 
AIM CAP EQUITY FUND CLB Dividend 

ALGBRFD BALPORlFOUO Dividend 
10. 

11. 

12. 

13. 

14. 
15. 
ALLIANCE DISCIPLINE ALUB CLB  
ALLIANCE FOCUSED GROwnI INCOME  
DAVIS VENTURE FUND CLB  
DRYDEN SHORT TERM CORP BOND  
DRYDEN TOTALREnJRN BOND FUND  
DRYDEN SPEC MONEY MRKT FUND Ci..B  

Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Conversion  Conversion  
Sa1e/Exch  Buy/Bxch  Buy/Bxch  

12/15  
12115  
12129  
12129  
12/29  

16.  DRYDEN ACTIVE_ALLOCATION FUND CLB  Dividend  Buy/Exch  12129  
17.  DRYDEN INTLEQTY  Dividend  
18.  DRYDEN STOCKJNDEX FUND CLB  Dividend  Partial Conv  12129
- .:tsri)liimri'i:cL2.ndPl) .-N_
:.: ...
:,:s:}'....=$500 _ : ::f1
... ss.;90013);l(l,ooo ..... .:::::4 --
::'..:o;:
 -Ap)iiaiSlij.:R-=CottQlC!il.Q.lllrL =C8sh1Matl;ei =Other 
Date Report 
Name Person Reporting 
5/13/2005 Page2 of5 
PAULEYill, WILUA 
-income, vulue, lions (U1Cludes those the spouse and dependent children. See pp. 34-57 offiling ins"tructiom.)
VIl. 	INVESTMENTS and TRUSTS 
Incoruc during Gross value end Transactions duringreporting period Description Assets Jq>orting period reporting period (inclwling trustassets) 
Ifnot exempt fromdisclosuie
(1)
(1) (2) 
(2) (3) (4) Date: Value Identity 
Type (e.g. 
Place "(X)" after each asset exeiqit from priordisclos= 
Value Value
Amount Type 
Code2 Method buy, sell, Month-Code2 Codel buyer/seller 
Code 
div. renter 
int) (J-P) Code3 merger, Day Q-P) (A-H)

(A-H) (ifprivatetransaction)
redetq11ion)
(Q-W) Conversion 1212919. DRYDENSTOCK. INDEX FUND Dividend 
20. 
DRYDENSM CAP CORE EQTY FDCLB Dividend 

21. 	
FEDERATED WORLD INVT.SRVS GLOBAL Dividend Conversion FIN'L

SRVS CLB 

22. 
fEDERATED INTERNATIONAL VALUEFND Dividend Conversion CLB 

23. 
GOIDMAN SACHS TRUST MID CAP EQUITY Dividend 	Conversion 6/15 

FUNDCLB 
... 
GOIDMAN SACHS MID CAPVALUE FUND Dividend Conversion 6115 
.  25. 26. HANCOCK GLOBAL LEADERS.GROWTH CLB HANCOCK GLOBAL LEADERS GROwrH CLA  Dividend Dividend  
27.  JENNISON NATURAL RESOURCES FUND CLA  Distn'bution  
28. 29.  JENNISON FINSERVS FDCL JENNISON FINSERVS  Dividend Dividend  Partial Exch  2120  
30.  JENNISON BQTY OPP  Dividend  
31.  JENNISON UI'lll1Y FUND CLB  Dividend  
32.  JENNISON SMAILCO FUND CLB  Dividend  ]:>artial ex.ch  9113  

JENINSON SMAIL CO.FUND CLASS Dividend Exchange 9/13 
34. 	STRATEGIC PAR1NERS FOCUSED VALUE DMdend Partial 1/07 FUNDCLB 
Conv 
STRATEGIC PAR1NERS FOCUSED VALUE Dividend Conversion 1107 FUND 
36. 	PUTNAM HEALTiiSCI TRUST CLB Dividend ,,c .._. :A.3. .;.iJ'QQQ:or=  .:. ., :;;dlli  	 .
 2i .'  :'.:::.-. ...M 	.
 
-Gocval!lfD:>.) : s.2so,oo;o.og:. .'!'"a;: .oaio1.$000,009  . p1.'tiofil-0on-iooir :Pi..o;eQu;OOl-S2So,omr 

 
	 
. P3.SOQ,:Si.Goo  ::-.::..:=:. .:.: 	- ;:i-_  .
.... ,7,ptaisal 
:::; ... :}-::4.MotltbPJ$5DJ1boo- ... -_:_:::,.

(See Column C2) ... eosi:tate:Oajy) ..;,$iilent ...,Cash/.Matket. 

 .=; 9ther =ated 
 
Name Person Reporting 	Date Report 
PAULEY III, WILLIAM 	5fl3f200S 
VU. INVESTMENTS and 1RUSTS -income, value, transcalions (includes those ofthe spouse and dependent childnm. Seepp. 34-57 filing instructions.) 
 Income during Gross value end Transactions during reporting period Description Assets 
reporting period reporting period 
(including trust assets) 
not exempt :limn (1) ('2) (1) (l) (3) (4) {S)
Place "(X)" after each asset exempt 	Type (e.g. Dale:
Amollllt Type (e.g. Value Value 
Idcntilyof
Value
buy, sell, 
:from priordisclosurc 
M011th 
Codcl div. rent. Codc1 Method bll}'llf/scller Codc2 Codcl 
Day
(AH) int.) (IP) Code3 mei:ger, 
(if private 
(1-P)
Rdemption) 
transaction)
(Q-W) 
PUTNAM CAP CLB Dividend Exchange 2120
37. 

38. 	
PUTNAM CAP VAWE CLA Dividend Exchange 2120 

39. 	SEUG LASAU..E DIVIDEND REAL ESTATE Dividend FUNDCLB 
40. 	
SEUG INCOME FUND CLB Dividend 

41. 	
SELIG CAP VALUE CLB Dividend 

42. 	
SEUG FRONTIER FUND CLB Dividend 
44. ANNUITIES 
DISCOVERY PLUS Interest 
46.  
47.  CASH AND CASH EQUIVALENTS  
48. MORGAN CHASE  Interest  

U.S. TR.aA.sURY BILLS Interest 
so. DREYFUS UQUID ASSETS, INC. Dividend 
51. 
U.S. SAVINOS BONDS Interest 

52. 
AXA FIN'L IlFE INS (Cash Surrender Value) Di"ridend 

53. 	
AXA FIN'L IlFE INS (Cash Surrender Value) Dividend 

54. 	
PRU MONEY MARKET ACCOUNT Interest Conversion 9/4 

Date Report 
Name Person Reporting 
_Page4 of5 
5/1312005
PAULEY IIl. WlLUAM 
VIL INVESTMENTS and TRUSTS -income, value, transcatioos (mcludcs those the spouse and dependent children. See pp. 34-57 of:liling instructions.) Income during Ttllnsactions duringreportig period 
Descriptionof Assets (including trustassets) 
reporting period 
Gross value end reportig period 
(t) (2) 
exempt ftom disclosure 
(1) 
Place "QC}" after each asset exempt .Amollllt Type (e.g. Value Value Type (e.g.from prior disclosute Codel div. rent. Code2 Method b11Y. seU. 
(2) (3) (4) (:S) 
Date: Value Gain Identity 
Month
(A-H)  int.)  (1-P)  Code3(Q-W)  merger,redemption)  Day  (J-P)  (A-H)  (if private lransaclion)  
SS.  WACHOVIA MONEY MARKET ACCOUNT  Interest  T  Conversion  914  
56.  PRU TAX FREE MONEY MARKET ACCOUNT  Interest  Conversion  914  

Code2 Codel buyer/scller 
EVERGREEN MUNICIPAL MONEY MARKET Interest Conversion
51. 	FUND
58. 	
NEW YORK STATE CCU.EGE TUmON Interest Buy 12122 SAVlNGS FUND PROGRAM 

59. 

RETIREMENT ACCOUNTS
60. 	401KPLAN-ING Dividend 
62. 	
IRA SCUDDER Interest 

63. 	
ALGER CAPITAL APPRECIATION Interest 

64. 	
JENNISON GROWlH Interest 

65. 
JENNISON GROWffi CLB Interest 

66. 
 JENNISON TECH FUND Interest 

67. 
DAVIS VEN1URE FUND CLA Dividend 

68. 
OOIDMAN SACHS TRUST FUND CAP GRWI'H Dividend
PORTFOUO CLA 
69. 
JENNISON HLTH SCI Distn1>ution 

70. 
JENNISON HLTII SCI Distn"bution 

71. 
STRATEGIC PARTNERS FOCUSED GROWTH Dis1n"bution FUND CLB 

72. 
STRATEGIC PARTNERS NEW ERA GRWTH Distnoution CLB 

. ValueMethodCodes "'AWtlil. ao'ODJY> :S: :.:;fu(O '"'0 
"-' .,.1..P.-. ..::Other 
  "" 
DateofReport 
s11312oos
PAULEY ID, WIWAMH vn. INVESTMEN'fs and 1RUSTS 
-income:, value, tr.mscations (includes those ofthe spouse and dependentchildren. See pp. 34-57 filing instructions.) 
Income during Gross value end Transactions during reportingperiodDeScription AsselS 
reporting period reporting period (iru:luding tnlSt asselS} 
not cxcmpt from 
(2) (1) (2) (1) 
{S) 
Place "(X)" after each asset ex.empt ftonl prior disclosuze 
Date:
.Am::mnt div. mit.or 
IdentilyofValue Value Value(e.g. 
buy, sell, 
redeiq>tion) 
Month-Method 
buyer/seller (if private 
Codct 
Code2 Code2 Codel
DayCode3 (A-H)
int) (1-P) 
(1-P) 
transalllion} (Q-W) 
73. 
SEUG COMM INFO CLA Dislnbution 

74. 
COMMAND MONEY MKT FDS Interest Exchange 03/iO 

75. 
U.S. THRIFr SAVINGS PUN (GOVT lnterest Exchange 03/10 

SECURITIES FUND) 

76. 
UTS GOV'T SEC EQUITYTRUST None 
 
79. 
_.., ... 
 
J;ValueMiithod Qoiies ... prlil 
VIII. ADDIDONALINFORMATION OREXPLANATIONS (JndicatcpartofReport.)  
None.  

.:. 
Name Person Reporting 
PAUI.EYI1f, WIUJAMH 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief; and that any infonnation not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance ofgifts which have been reported are compliance with the provisions U.S.C.  501 seq., U.S'.C.  7353, and Judicial Conference regulations  
NOTE: ANY INDIVIDUAL.WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT crvIL AND cRlMiNAL 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



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