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Judicial Watch • William H Pauley III Financial Disclosure Report for 2007

William H Pauley III Financial Disclosure Report for 2007

William H Pauley III Financial Disclosure Report for 2007

Page 1: William H Pauley III Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:11

Date Created:October 28, 2008

Date Uploaded to the Library:November 23, 2013

Tags:Conversion, Jennison, William H Pauley III, pauley, william, 2007, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 US.Capp. 101-111) Person Reporting (last name, firs middle initial) PAULEY III, WILLIAM Court Organization SOUTHERN DISTRICT NEW YORK Date Report 05/14/2008 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. DISTRICT JUDGE (active)  Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Sb. Ame nded Report Final Reporting Period 0110112007 1213112007 Chambers Office Address UNITED STATES COURTHOUSE 500 PEARL STREET NEW YORK, NEW YORK 10007-1581 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box/or each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 

NAME ORGANIZATION/ENTITY 
Member Board Visitors 	Duke University School Law 

,.._, (./) :::0 o--<
(l)Z cJ:>
JI. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.)
:::DZ c.n
rr10 NONE (No reportable agreements.) 	O):> -ci, 

-F.
PARTIES AND TERMS 
f'1 .+::" 1998 	Continuation payments agreement with former law partner, Franklyn Snitow, and his law firm, Snitow Kanfer Holtzer Milius, LLP. 

Date Report 
PAULEY III, WILLIAM 
0511412008 
Ill. N-JNVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME 
(yours, not spouse's) 2007  Snitow Pauley, fonner law partnership winding-down its affairs  
(continuation payments agreement described Part II, line Spouse's Non-Investment Income lfyou were married during any portion the reporting year, complete this section.
(Dollar amount not required except/or honoraria.) NONE (No reportable non-investment income.) 

SOURCE AND TYPE 2007 Self-Employed Licensed Real Estate Sales Person 
Self-Employed Floral Designer 

JV. REIMBURSEMENTS -transportation, /odging,food, entertainment (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.)  
DATES  LOCATION  PURPOSE  ITEMS PATD PROVIDED  Duke University School Law  April 12-15, 2007. Law School Board Visitors Meeting. (travel, food and lodging) 

Date Report 
PAULEY Ill, WILLIAM 0511412008 
V GIFTS. (Includes those spouse and dependent children; see pp. 28-3I filing instructions.) 
[ZJ NONE (No reportable gifts.) 
DESCRIPTION VALUE 

VJ, LJABJLJTJES. (Includes those spouse and dependem children; see pp. 32-33 filing instructions.) 
[ZJ NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

Date Report 
PAULEY III, WILLIAM 05/14/2008 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(!) (2) (2) 
(2) 
(3) 
(4) (5) 
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g., div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g., buy, sell, redemption)  COMMON STOCKS 
EXXON/MOBIL Dividend 
AXA AMERICAN DEPOSITORY Dividend SHARES 
PRUDENTIAL FIN'L SRVS Dividend 
IBM Dividend 

Date 
Month Day 

Value Gain Identity Code Code buyer/seller (J-P) (A-H) (if private 
transaction) 
MUTUAL FUNDS 
AIM CAP EQUITY FUND Dividend 
Conversion 3/28 
(SMEBX) AIM CAP EQUITY FUND Conversion 
3/28 
(SMEAX) IO. AIM CAP EQUITY FUND Sell Dividend 
4124 
(SMEAX) 
11. ALGER BAL PORTFOLIO (ALGBX) Dividend 
Conversion 
413 
12. ALGER BAL PORTFOLIO Dividend Conversion 413 
(ALBAX)  
13.  ALLIANCE FOCUSED GROWTH INCOME (ADGAX)  Sell  1112  
14. VIS VENTURE FUND (NYVTX)  Dividend  
15.  DRYDEN TOTAL RETURN BOND (PDBAX)  Dividend  
16.  MONEYMART ASSETS INC. (PBBXX)  Dividend  
17.  DRYDEN ACTIVE ALLOCATION FUND (PIBAX)  Dividend Income Gain Codes: 1,000 less =$1,001 -$2,500 =$2,50  $5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less 15,00 -$50,000 =$50,001 -$100,000 =$100,001. $250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,001. $1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) ===Assessment =Cash M;1rket  
(Sec Column C2) 'Book Value =Other ==Estimated  

Date Report 
0511412008PAULEY III, WILLIAM 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 fl/inc instructions.; NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  
Place "(X)" after each asset exempt from prior disclosure  (1) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (I) Type (e.g., buy, sell, redemption)  (2) Date Month -Day  (3) (4) Value Gain Code Code (J-P) (A-H)  (5) Identity buyer/seller (if private transaction)  

18. 
DRYDEN INTL EQTY (PJRAX) Dividend 

19. 
DRYDEN STOCK INDEX FUND Dividend Partial Sale 4124 (PSIAX) 

20. 
DRYDEN CAP CORE EQTY None (PQVAX) 

21. 
FEDERATED INTERNATIONAL VALUE Dividend Conversion 817 FUND (FGFBX) 

22. 
FEDERATED INTERNATIONAL VALUE Dividend Conversion 817 FUND (FGFAX) 

GOLDMAN SACHS MID CAP VALUE Dividend 
Conversion 
6/18 
FUND (GCMBX) 
24. 	GOLDMAN SACHS MID CAP VALUE Conversion 
6/18 FUND (GCMAX) 
25. 	GOLDMAN SACHS MID CAP VALUE Dividend Partial Sale 
1/12 
FUND (GCMAX) 
26. HANCOCK GLOBAL LEADERS Dividend GROWTH (USGLX) 
JENNISON NATURAL RESOURCES Dividend Partial Sale 
1112 
FUND (PGNAX) 
28. 	JENNISON FIN SERVS (PFSAX Dividend 
Partial Sale 1112 
JENNISON FIN SERVS (PFSAX  Sell  12/28 MODERATE ALLOCATION  Buy  12/28  
(IDT AX)  

31. 
JENNISON EQTY OPP (PJJAX) Dividend 	Sell 4124 

32. 
JENNISON UTILITY FUND Dividend (PRU AX) 

JENINSON SMALL CO. FUND CLASS Dividend (PGOAX) 
DRYDEN STRATEGIC VALUE FUND Dividend (SUVAX) Income Gain Codes: =$1,000 less =$1,001  $2,500 =$2,501 -$5,000 =$5,001 -$15.000 =$15,001  $50,000  
(See Columns and 04) 450,001 -Sl00,000 =SI00,001 -$1.000,000 =Sl,000,001 -$5,000,000 =More than $5.000,000 Value Codes 15,000 less 15,00 -$50,000  L=S50,00l -$100,000 =$I 00,00 -$250,l:.-O  
(See Columns and 03) =$250,001 -$500,000 =$500,001 -SI ,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25.000,000 =$25,000,001 -$50,000,000 =More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Esti mated  

Date Report 
PAULEY Ill, WILLIAM 05/14/2008 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 offilinc instructions.; NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(2) 
(2)
(I) (2) (3) 
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g.. div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  
35.  PUTNAM HEAL SCI TRUST (PHSBX)  None  

36. 
PUTNAM HEAL SCI TRUST None (PH STX) 

37. 
PUTNAM HEAL SCI TRUST None (PHSTX) 

38.  PUTNAM CAP VALUE (PS LAX)  Dividend  
39.  SELIG LASALLE DIVIDEND REAL  Dividend  
EST FUND (SREBX)  
40.  SELIG LASALLE DIVIDEND REAL  
EST FUND (SREAX)  

Type (e.g buy, sell, redemption) 
Conversion 
Conversion 
Sell 
Sell 
Conversion 
Conversion 
Date 
Month-
Day 

1122 
1122 
12/28 
4125 
211 
211 
Value Code (J-P)  Gain Code (A-H)  Identity buyer/seller (if private transaction) Income Gain Codes: 1,000 Jess =Sl,001. $2,500 =S2,50 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00 -$t 00,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000  112 =More than $5,000.000 Value C-Odes =$15,000 less =$15.00 -$50,000 =$50,00 -$I 00,000 =$100,001 -$250,000  
(See Columns and DJ) =$250,00J -$500,000 =$500.00 -$1,000.000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000.000 =$25,000,001 -$50.000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) ==Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
PAULEY III, WILLIAM 0511412008 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  
(!)  (2)  (!)  (2)  (I)  (2)  (3)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  Month Code  Code  buyer/seller  
(A-H) int.)  (J.P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

52. 
CASH AND CASH EQUIVALENTS MORGAN CHASE Interest 
U.S. TREASURY BILLS Interest Buy 8123 
DREYFUS LIQUID ASSETS INC. Dividend 

57. U.S. SAVINGS BONDS  Interest  
58. AXA FIN'L LIFE INS (Cash Surrender Value)  Dividend  

59. 
AXA FIN'L LIFE INS (Cash Surrender Dividend Value) 

60. 
WACHOVIA MONEY MARKET Interest ACCOUNT 

61. 
EVERGREEN MUNICIPAL MONEY Interest MARKET FUND 

62.  NEW YORK COLLEGE TUITION SAVINGS FUND PROGRAM  Interest  Buy  12/24  
63.  NEW YORK COLLEGE TUITION  Sell  8/16  
SAVINGS FUND PROGRAM  
64.  WACHOVIA  None  
65. BANK  None  Redemption  7/2  
66.  THIRD FEDERAL  None  Redemption  11/10  
67.  FIFTH THIRD BANK  None  Redemption  2/21  
68. Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,50  $5,000 45,001 -$15,000 =$15,00 -$50,000  
(See Columns and D4) =$50,001  $100,000 =$100,001  $1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,00  00,000 00,00 -$250,000  
(Sec Columns and DJ) =$250,001 -$500,000 =$500,00 ,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001  $50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment ""Cash Market  
(Sec Column C2) "'Book Value =Other =Estimated  

VII. INVESTMENTS and -income, vatue, transactions r1nctudes those spouse and dependent children; see PP 34-60  ins1ruc1io11s.J  NONE (No reportable income, assets, transactions.) 
Transactions during reporting period 
Gross value end 
Description Assets Income during 
(including trust assets) reporting period reporting period 
Place "(X)" after each asset exempt from prior disclosure 
69. 	
RETIREMENT ACCOUNTS 

70. 
401K PLAN -ING 

(I) Amount Code (A-HJ  (2) Type (e.g., div rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (I) Type (e.g., buy, sell, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) Dividend 
71. 
IRA SCUDDER Interest 

72. 
ALGER CAPITAL APPRECIATION None Conversion 614 (ACAPX) 

73. 
ALGER CAP APPRECIATION None Conversion 614 A(ACAAX)  
74.  JENNISON GROWTH (PJFAX)  Dividend  
75.  JENNISON TECH FUND (PTY AX)  None  Conversion  9124  

JENNISON MID-CAP GROWTH FUND None Conversion 9124 A(PEEAX) VIS VENTURE FUND Dividend (NYVTX) 
78. GOLDMAN SACHS TRUST FUND CAP None GRWTH PORTFOLIO (GSCGX) 
JENNISON HLTH SCI (PHLAX) Dividend 
80. 	
JENNISON SELECT GROWTH FUND None Conversion 6/1 (SPFBX) 

81. 	
JENNISON SELECT GROWTH FUND None Conversion 6/l (SPFAX) 

82. STRATEGIC PARTNERS NEW ERA GRWTH (SNGBX) 83. JENNISON MID-CAP GROWTH FUND (PEEBX)  None None  Conversion Conversion  315 315  
84. JENNISON MID-CAP GROWTH FUND (PEEBX)  None  Sell  9119  
85. SELIG COMM INFO (SLMCX)  Dividend Income Gain Codes: =$1,000 less =Sl,001 -$2,500 =$2,501-$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,00 -SI 00,000 =SI00,001-Sl,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 Value Codes 15,000 less =$15,001-$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000 =$500,001-s 1,000,000 =Sl,000,001-$5,000,000 =$5,000,001  $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) Assessment =Cash Market  
(See Column Cl) =Book Value =-Other =Estimated  

Name Person Reporting 
Date Report 
PAULEY III, WILLIAM 05/14/2008 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 offuing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset 
exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(!)  (2)  (!)  (2)  (!)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction)  

86.  WACHOVIA MONEY MARKET FUNDS  Interest  
87.  U.S. THRIFT VINOS PLAN (GOVT SECURITIES FUND)  Interest  Rollover  10/17  
88.  UTS GOV'T SEC EQUITY TRUST  Dividend Income Gain Codes: =Sl,000 less =Sl,00! -$2,500 =$2,501  $5,000 =$5,001  $15,000 =$15,001  $50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,00! -$1,000,000 =$1,000,001  $5,000,000  112 =More than $5,000,000 Value Codes =$15,000 less =Sl5,00I  $50,000 =S50,001  $100,000 !00,00  $250,00C  
(See Columns and D3) =$250,00! -$500,000 =$500,00  ,000,000 ,000,00  $5,000,000 =$5,000,00!  $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
PAULEY III, WILLIAM 
05/14/2008 

VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReport.) 
None. 

Date Report 
PAULEY III, WILLIAM 
05/14/2008 
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 information 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 gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS 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