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William H Pauley III Financial Disclosure Report for 2009

William H Pauley III Financial Disclosure Report for 2009

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Published by: Judicial Watch, Inc. on Dec 03, 2011
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FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization SOUTHERN: DISTP,1CT OF NEW YORK
5a. Report Type Icl~eck appropria|e p,.,pe) ] Nomination. Date [] Annual [] Final

~eportin GovernmentRequired Aetb)’ theof Ethics!978
0 u,s.~ app. §)" lOl.l ll.)
3. Date of Report 05/12/2010
6. Reporting Period 01/01/2009 to 12/3 l./2009

I. Person Reporting (last name, first, middle initial) PAULEY IlI, WILLIAM H.
4. Title (Article IIl judges indicate active or senior status; magistrate judges indicate full- or part-time) U,S. DISTRtCT JUDGE(active)

[] Initial

5b. [] Amended Report 7. Chambers or Office Address UNITED STATES COURTHOUSE 500 PEARL STREET NEW YORK, NEW YORK 10007-1581 8. On the basis of the information contained in this Report and any modifications pertainiog thereto, it is, in my opinion, in compliance with applicable la~s and regulations. Reviewing Officer. Date

IMPORE4NT NOTES: The instructions accampanying this f~rm must be f!llowed. Camplete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

1. POSITIONS. (Reporting indiuidual only; see pp. 9-13 of filing instructions.)
[---] NONE (No reportable positions.) POSITION
I. Member of Board of Visitors

NAME OF ORGANIZATION/ENTITY
Duke Univetsib, School ofkaw

-__..

II. AGILEEMENTS. (Reporting individual only: see pp, 14-16 of f!ling instructions,)
~ NONE (No reportable agreements.) DATE
1998

--.-~i

LJ

~~ PARTIES AND TE~S

~o~_

Continuation ~f payments agreement with fo~er law partner, Franklyn H. Snitow, and his law fim~, Snitow Kanfer Holtzer & Mi[lus. LLP.

Pauley III, William H.

FINANCIAL DISCLOSURE REPORT
Page 2 of 11

/ Na ....f Person Reportillg
[ PAULEY Ill, WILLIAM H.

DateofReport 05/IZ"2010

IlI. NON-INVESTMENT INCOME. (~e~,ora,,g i,,ai.ZUu.~ .,,a~po.se; ~’ee :~. t~-2~ o::ti.~ instructions.)
A. Filer’s Non-Investment Income
NONE (No reportable non-im~estment income.) DATE . I. 2009 Snitow & Pauley, a former law partnership winding-down its affairs (continuation of payments agreement described in Part II, line I) SOURCE AND TYPE INCOME (yours, not spouse’s) $3,081.00

B. Spouse’s N on-Investment Income - If you were married during any portion of the reporting year, complete this section.
(t)oHar amount nol required ~rcept for honoraria.)

~

NONE ~%ro reportable non-investment income.) DATE 1. 2009 2. 2009 SOURCE AND TYPE Self-Employed Licensed Real Estate Sales Person Self-Employed Floral Designer

IV. REIMBURSEMENTS ........ po~,.,i,,., Iodgblg, food, entertainment.
(Inch~dcs those to ~)pouse and devendenl children; see pp 25-27 of filing instrt ctions.) [~ NONE (No reportable reimbursements.) SOURCE 1. Duke University School of Law Duke University School of Law George Washington Univ School of Law DATES April 16-17, 2009 LOCATION Durham, NC PURPOSE Board of Visitors Meeting ITEMS PAID OR PROVIDED "l’ravcl. tbod, and lodging.

2.

October 29-30, 2009 Durham, NC

Board of Visitors Meeting

Travel, food, and lodging.

3.

Novcntbcr 10-11, 2009

Washington DC

Moot Court Trial

Travel, food, and lodging

FINANCIAL DISCLOSURE REPORT
Page 3 of 11

N~ of P .....Reporting

Da,e of Report

PAt~.,}ZV m, W~L~,~AM H.

os~2/2o~o

V. GIFTS. a,~t,~s
NONE (No reportable g~s.)

SOURC~
1.

DgSCRIPTION

VALUE

3. 4. 5.

VI. LI~ILITIES. (Includes those of *~ ...... d dependent child ........ pp. 32-33 of filing instructions.)
NONE ~o reportable liabilities.) CREDITOR
1. 2.

DESCRIPTION

VALUE COOE

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 1 1 VII. INVESTMENTS and TRUSTS --

N ....

fPerson Reporting

DateofReport

PAUL~:V IH, WILLIAM H.

)5/12/2010

NONE ~ reportable income, assets, or transactions.) D~scfiption ofAssels (including trust assets) Place "(X)" after each asset exempl from prior disclosure Income during repoaing period [ ~) Amount Code ] div., rent, (A-H) j or int.) ~ Gross value at end of reporting period Transactions during reporling period

Code 2 (J-P)

Method ~ Code 3 :: (Q-W)

buy. sell, redemption)

mn~ddlyy

Code 2 (J-PI

Code I (A-II}

buyer,’seller 0fptivale transactioo)

1. 2. 3. 4. 5.

COMMON STOCKS EXXON/MOBIL AXA AMERICAN DEPOSITORY SttARES PRUDENTIAL FIN’L SRVS IBM A A A A Dividend Dividend Dividend Dividend Sold Sold Sold Sold 08/25/09 08/25/09 08/25/09 08/25/09 J J J J D D (2 C

7. 8. 9. 10.

MUTUAL FUNDS ALGER FD BAL PORTFOLIO CL A (ALBAX) DAVIS NY VENTURE Flo.,’ND CL A (NYVTX) DRYDEN TOTAL RETURN BOND FUNE CL A (PDB~%X) A A A A A B A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividcttd Sold Sold Sold Sold Sold Sold Sold Sold Sold Sold 08125109 08/25/09 08/25/09 08,"25/09 08/25/O9 08f25/09 08125109 08/25/09 08/25/09 08125/09 K K J K K 1, K J K K B B A B C A

l ~. DRYDEN ACTIVE ALLOCATION FUND CL A (PIBAX) I2. 13. 14. 15. 16. 17, DRYDEN INTL EQTY FD CL A (PJRAX) DRYDEN STOCK INDEX FUND CL A (PSlAX) DRYDEN SM CAP CORE EQTY FD CL A (PQVAX) FEDEfL,\TED INTERNATIONAL VALUE FUND CL A (FGFAX) GOLDMAN SACHS MID CAP VALUE FUND CL A (GCMAX) J. HANCOCK US GLOBAL LEADERS GROWTH CL A (USGLX)

FINANCIAL DISCLOSURE REPORT
Page 5 of 1 1

N ...... f P ..... Reporting

Date of R.eport 05/IZ/2010

..

PAULEY II1, WILLIAM H.

VII. INVESTMENTS and TRUSTS - i..,~. ~. ..........
---] NONE (No reportable income, assets, or transactions.) Description of Assets (including trust asse~s) :: Place "(X)" after each asset exempt from prior disclosure

tio,,s (Includes those of spo .....

d dependent children; see ptx 34-60 of filing instructions.)

Income during reporting period Amoun~ Type (e.g., ~ Code I , div., rent, (A-H) [ orint.) ] A A A Dividend Dividend Dividend None None A Dividend None A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Distribution Dividend Interest None

Gross value at end of reporting period Value Code 2 (J-P) Value lvlethod Code 3 (Q-W)

: Type (e.g., buy, sell, rcdelnption)

Transactions during reporting period

[ Date Value Gain ! ! rnm/dd!yy Code 2 [ Code 1 } : I (J’-P) [ (A-II)[ ~ i [ 08;’25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/’09 08125/’09 08;25109 08.!25109 08!25/09 08/25t09 08!25109 08!25/09 08/25/09 08/25/09 08/25/09 K L K K K J K K J K K K J K J K J D

Identity of buyeriseller (if private transaction)

18. FUNDJENENISONcL ANATURAL(PGNAX) RESOURCES ¯ 19. 20. 21. 22. 23. 24. 25, 26. 27. 28. 29. 30. 3 I. 32. 33. 34. JD MODERATE ALLOCATION FD CL A (JDTAX) JENNISON UTILITY FUND CL A (PRU:aX) 3ENINSON SMALL CO. FUND CLASS A (PGOAX) DRYDEN STRATEGIC VALUE FUND CL A ($UVAX) SELIG INCOME A.ND GROWTII CL A (SINFX) SELIG SM CAP VALUE FD CL A (~SCVX) AGDAX - ALLIANCE BEKNSTEIN HIGH INC FD MCGFX- ASTOR FUNDS MONTAG & CALDWELL SMGIX- COLUMBIA CONTRARIAN CORE FD GSFTX - COLUMBIA FDS SER TRI DIV INC DPLTX - DREYFUS HIGH YIELD FD KDSSX - DWS VALUE SER INC SM CAP SGIIX - FIRST EAGLE GLOBAL FUND ICHHX - FRANKLIN/TEMPLETON HARD CUR FD FNYTZ - FRANKLIN NY TAX FREE INT TRM HFMCX - IlARTFORD MUTUAL FD MID CAP

Sotd Sold Sold Sold Sold Sold Sold K J K K K J K J K J T T T T T T T T T T Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy

I, lncomc Gain Codes: 2. Value Codes

A =$ |.000 or lu~s J =$15.000 or less

B - $1,001 - $2,500 K =~ 15,001 - ~50.0(~

C $2.501 - $5,000 L =$50.001 - $ 100.0~

D =$5,001 - $15.~0 M =$I 00.0Ol - $250.000

FINANCIAL DISCLOSURE REPORT ! Name of Person Reporting Page 6 of 1 1 P,U.tLF~V 111, WILLIAM 1t.

I

Date of Report

05!1212010

NONE (No reportable income, assets, or transactiot~.) Description of Assets {including tmsl assets) Place’(X)" at~er each asset exempt liom prior disclosure [ ~ Income during reposing pe~od (1) (2) Amount Type (e.g., Code I div., rcnk [ (A-H) :. orint.) { A Interest None A A A A A Dividend Interest Dividend Dividend Dividend Non~ A A A A Dividend Interesa Dividend Interest Gross value at end [ of reporting period (11 {2) Value Value Code 2 Method [J-P) Code 3 (Q-W) K J K K K K K J J K J K T T "r T T T T T T T T T Tra~actiom during ~po~ing period

Type (e.g., buy, sell, ~demption)

Date Value Gain i mm.,"d~yy { Code 2 Code 1 : (J-P) (A-II) ’. ~ ~ 08/25/09 08/25/09 08.¢25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/~5/09 08/25/09 08/25/09 K J K K K K K J J K J K

ldnmity buyer/seller (ifpri~tc transactmn)

35. 36. 37. 38. ~39. 40. 41. 42. 43. ~4. 45. ~6 J47. 48. 49. 50.

FDHIPIX - HARTFORD INFLATION PLUS HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD IVQAX - MORGAN STANLEY ]%WL VALUE EQUITY FD SBN~ - LEGG MASON NY MUN FD LSGIX - LOOMIS SAYLES VALUE FD LISFX - LO~ ABBE~ M UN INC TR INTER FD MG~X - MFS INTL GROWTH FD NEFJX - NATIXIS ADVISOR SM CAP VAL FD PCG~ - PIONEER MID CAP VAL FD RMUNX - ROCHESTER M~I FD RYMFX - RYDEX SGI MANAGED FUT ST~T TGB~ - TEMPLETON GLOBAL BOND FD

Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy

ANNUITIES DISCOVERY PLUS C Interest M T

51

CASt l AND CASIt EQUIVALENTS

I. [ng’Om~ Gain Codes:

A =$1,00) or less

FINANCIAL DISCLOSURE REPORT

~ame of Person Reporting PAULE’~ III, ~;V1LLIAIVl 11.

[ [

Date of Reporr 05/12/2010

Page 7 of ! I

VII. INVESTMENTS and TRUSTS - ~ .... ~, value, ¢r ...... tious (Includes those esponse and dependent chitdrett; see pp. 34-60 of filing itlstr~ctio~s.)
NONE (No reportable income assets, or transactions.)
Description of Assets (including ~s~ assets) Place "(X)" after each ~set exempt from prior d~sclosnre Income during reposing period O) ~ (~) Amount] Type (e.g., Code 1 div., rent, (A-H) ~ or int.) ~ Gross value at end of repo~it~g perR~ (t) I Value Code 2 (3-P) (2) Value ~ ~ Method Code 3 iQ-W) (~) T~e (e.g., bay, sell. redemption) Tr~sacfions during reposing peri~ (2~ (3) Date Vaktc r~medd!yy Code 2 (J-P) ~ i4) Gain Code I ~A-ll) (5) Identi~, of buyer/seller (ffprivn~e transaction)

52.

JP MORGAN CHASE

A

tnterest

L

T

Sold tpart) Sold (part)

08:25/09 I0/15/09

K

53.

U.S. T~ASURY BILLS

C

Interest

O

T

L

~4.

U.S. SAVINGS BONDS

A

Interest

~

T

~ 55. 56.

AXA FIN’L LIFE INS (C~h Surrender Value) AXA FIN’L LIFE I~S (C~h Su~ender Value) WACHOVIA MONEY MA~T ACCOST EVERGREEN ~IC~AL MONEY MANET F~D NEW YO~ STATE COLLEGE TUITION SAVINGS FUND PROG~M WACI IOVIA

B

Dividend Dividend

M

T

A A

L ~

T T

57.

~ntercst

58. 59.

A

Interest

Sold L T Buy

08/25/09 I2/23/09 J

B

Interest Interest

60.

A

Sold

08/25/09

J

61, 62. 63.
64.

TPMXX - RBC PRIME MONEY MARKE’I FD ACMXX- KBC MONEY MARKET OBLIGATIONS TRUST

A A

Interest Interest

K J

T T

Buy Buy

08/25/09 08/25/09

K J

RETIREMENT ACCOUNTS

65, 66. 67. 68.

401K PLAN ING IRA SCUDDER ALGER CAPITAL APPRECIATION FD CL A (AC,~X) JENNISON GROWTH CL A (PJFAX)

A A

Interest Interest None None

K K

T T Sold Sold 08/25/139 08/25/09 J J

2. Valtlc Codes

J =1 t 5,000 or Jess

K =515,001 - $50,~

L =$50,001 - $100.0~

M =$ i00,00] - $250,000

FINANCIAL DISCLOSURE REPORT Page 8 of 11

Name of Person Reporting

[

Date of Reparr

PAULEY III, WILL1AM H. [

05/12/2010

VII. INVESTMENTS and TRU STS - i .....
~. ~scfiption of A~ets (including trust assets) Place "~K)" after each asset exempt fromprior disclosure

,, vat ........... ,ions (Includes those of ~p .....
C, Gross vaiu¢ at end of repoaing period (D ] (2) Value ~ Value Code 2 ~ Method (I-P) : Code 3 (Q-W)

d dependent children; see pp. 34-60 of filing instructions.)

~ NONE ~qo reportable income, assets, or transactions.) B. ~ Income during J rcpo~ing period t~ (2) Amoun Type (e.g., Code 1 div., rea~ ~A-H) or Jut.) ~ None A Dividend None A D~vidend None None A A A A A A A A A A A lnterest Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J J J J J J T T "1" T T T T T T 3 T D, Transactions during rcpo~ing period 0) Type (e.g., buy, sell, redemption) (2) Date Value amddd/yy Code 2 (J-P)

Gain : Code 1 (A-II~ ~ ] I

[dcnti~ of buyer/seller (if private transaction)

69. 70. 71. 72. 73. 74. 75, 76. 77. 78. 79. g0. 81. 82, 83. 84.

JE~ISON MID-CAP GROWTtl FUND CL A (PEEAX) DAVIS NY VENTURE FLeD CL A (N~VTX) GOLDMAN SACHS TRUST F~D CAP GRWTH POKTFOLIO CL A (GSCGX) JENN1SON HLTH SCI FD CL A (PHLAX) JE~ISON SELECTGROWTII FUND CL A (SPFAX) SELIG COMM & INFO FD CL A (SLMCX) WACHOVIA MONEY MARKET FUNDS UTS GOV’T SEC EQUITY TRUST TPMXX- RBC PRIME MONEY MARKE’I FD ACMXX - RJ3C MONEY MARKET OBLIGATIONS TRUST AGDAX- ALLIANCE BERaNSTEIN HIGII INC FD MCGFX - ASTON FUNDS MONTAG & CALDWELL BGN1X - BLACKROCK GNMA PORTFOLIO SMGIX - COLUMBIA CONTRARIAN CORE FD GSFTX - COLUMBIA FDS SER TRI DIV INC DPLTX- DREYFUS HIGH YIELD FD

Sold SoId Sold Sold Sold Sold Sold Sold Buy Buy Buy B~y Buy Buy Buy Buy Buy

08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25,/09 08/25/09 08/25/09 08/25/09 08/25109 08125!09 08/25/09 08/25109 08,’25/09 08/25/09 J J J J .I J 3 A A

85. KDSSX - DWS VALUE SER INC SM CAP

(Sec Colm’m C2)

|J rBca~k Value

V -Other

W =Estimated

FINANCIAL DISCLOSURE REPORT Page 9 of 1 1

Narae of Person Reporting

Dateof Reporl

PAULEY III, WILLIAM H.

05/12/2010

VII. INVESTMENTS an d TRUSTS - i.eo.,., v.t~e, t ...... tion.v (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)

a.
Description of Assets (including mast assets) Place "(X)~ after each a~set exempt from prior disclosure

[

[ Income during. i reporting period (2) ] (i) i Amount Type (e.g., Code I div., rent. (A-H) or int.I

B.

!

c.
(i) Type (e.g., buy, sell, redemptiun)

D.
Trausacfiuns during repor’~ing period (2) (3) ~4) Date Value Gain mn~’dd;yy Code 2 Code 1 I J-P) (A-H) i Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy gny Buy Buy Buy Buy 08/25/09 08/25/09 08,’25.;09 08.."25/09 08/25/09 08/25/09 08/25/09 08/25/09 08/25.;09 J 08.."25/09 08/25/09 0812511)9 08/25109 08~5109 08125.,’09 08125/09 J J J J J J J 21 J J J J

Gross value a~ end i of reporting period (l) ! (2) VaIne i Value Code 2 Method i Code 3 i (J-P) i i (Q-W) J J J J J J J .I J J J ,I J J J J T T T T T T T T T T T T T T T T

Identity of buyer;seller (ifpxivate traasaclion)

86. 87. 8& 8% 90. 91. 92. 93, 94. 95. 96. 97, 98. 99,

SGIIX - FIRST EAGLE’GLOBAL FUND ICHHX - FRANKLINfFEMPLETON HARD CUR FD HFMCX - HARTFOR3) MUTUAL FD MI.E CAP I IIPIX - t tARTFORD INFLATION PLUS FD HLLVX- JP MORGAN SHORT DUR BOND FD HSKSX - JP MORGAN TR1 II1GHBRIDGE STAT FD WOBDX - JP MORGAN TR2 CORE BD LSGLX- LOOMIS SAYLES VALUE FD MGRAX - MFS INTL GROWTH FD IVQAX - MORGAN STANLEY INTL VALUE EQUITY FD NEFJX- NATIXIS ADVISOR SM CAP VAL FD PAGNX - PIMCO GNMA FD PCGR.X - PIONEER MID CAP VAL FD RYMFX - RYDEX SGI MANAGED FUT STRAT

A A A A A A A A A A A A A A A A

’ Distribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

100. TAIBX - TARGET PORTFOLIO INTER TERM BD 101. TGBAX - TEMPLETON GLOBAL BOND FD

i 1. Income Gain C~bas:

A :,$1,000 er less

B =$I.0~31 - $2.500

C :$2,501 - $5.¢Y30

13 :~5,001 - $t5.~0

E

lScc Column C2)

U =B~k Va~ue

V ~Other

W

FINANCIAL DISCLOSURE REPORT
Page 10 of l I

Name of Person Reporting PAULEY Ill, WILLIAM H. "

Date of Report 05/12/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Nolle,

FINANCIAL DISCLOSURE REPORT
Page 11 of 1 1 IX. CERTIFICATION.

NameofPerson Reporting PAULEV Ill, WH,LIAM H.

DateofReport

I

05/12i2010

I

I certify that all information given above (including information pertaining to my spouse and minor or dependent chilttrcn, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. 1 further certify lhat earned income front outside emplo)Tnent and honoraria and the acceptance of gifts which have beeu reported are in compliauce ,,~th the provisions of 5 U.S.C. app. § 501 et. seq., 5 I.I.S.C. § 7353, and Judicial Conference regulations.

Signatu

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIl, AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

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