Professional Documents
Culture Documents
1. Person Reporting (last name, first, middle initial) Atlas, Nancy F. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge, Active
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
7. Chambers or Office Address United States District Court 515 Rusk Street, Room 9015 Houston, TX 77002
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY VICTORY (Houston American Cancer Society) Trust 1 Trust 2 Trust 3 Trust 4 Trust 5 American Bar Association Section of Litigation
4. 5. 6. 7.
Atlas, Nancv F.
IlL NON=INVESTMENT INCOME. (Reponing individual andspouse; seepp. 17-24 of f!ling instructions.)
A. Filers Non-lnvestment Income ~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reportlng year, complete this section.
(Dollar amount not required except for honoraria.)
~]
DATE
2. 3. 4.
~]
NONE (No reportable reimbursements.) SOURCE DATES 01/14-01/16/10 01/29/10 02/04-02/07/10 03/25-03/26/10 04/22-04/24/10 LOCATION New Orleans, LA San Antonio, TX Orlando, FL New York, NY New York, NY PURPOSE Winter Leadership Meeting Alternative Dispute Resolution Program Midyear Meeting ITEMS PAID OR PROVIDED transportation, lodging, and meals transportation, lodging transportation, lodging, and meals
1.
Admitted Students Program transportation, lodging, meals Annual Conference transportation, lodging
Washington, D.C
transportation, lodging
7. 8.
06/29-07/01/10 08/05-08/10/10
9.
09/30-10/02/10
Chicago, IL
10/28-10/29/10
Austin, TX
transportation, meals
FINANCIAI~DISCLOSURE REPORT
Page 4 of 10
[ Atlas, Nancy F.
V. GIFTS. anciudes those to spouse and dependent children; seepp. 28-31 of filing instructions.)
~
1. 2. 3. 4. 5.
NONE (No reportable gifts.) SOURCE (Section v Note 1) See Section VIII
DESCRIPTION
VALUE $0.0
VI. LIABILITIES. ancludes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR 1. 2. 3. 4. DESCRIPTION VALUE CODE
VII. INVES TMENTS and TRU S TS - in,o,,e, value, transactions (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 trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 Code 3 O-P) (Q-W) L T D. Transactions during reporting per od (!) Type (e.g., buy, sell, redemption) (2) (3} (4) Date ....... Value mm/dd/yy Code 2 (J:P) (5) Identity of buyer/seller (if private transaction)
AXA Equitable Universal Life Insurance BBVA Compass Bank, Houston, TX Diamond Castle Partner IV, L.P. (FN 1) Diamond Castle Partner IV, Offshore Fund, L.P. Dreyfus 100% U.S. Treasury Money Market Fund Dreyfus Appreciation Fund IRA Rollover: Vanguard Treasury Money Market Fund IRA: Vanguard 500 Index Fund IRA: Vanguard Treasury Money Market Fund ITT Hartford Annuity JP Morgan Chase Bank MetLife Investors Group Inc. Nexus BT, LLLP (7) Nexus Resources LLC-Preferred Real Property, Travis County, TX Roth IRA (was IRA): Vanguard Treasury Money Market Fund Roth IRA (was IRA): Vanguard Small Cap Index Fund D E D A A A B A A A A A
None
Interest Int./Div. Int./Div. Dividend Int./Div. Int./Div. Int./Div. Interest None None None Int./Div. Int./Div. Rent Interest None
M M J M K O K L L
T See Note 7
K N J L
1~ income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 0r less F =$50,00 i ~ $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 -$2,500 G =$100,001 o $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000 001 - $5,000,000 P4 =More than $50,000,000 S =Asscssmcnt W =Estimated
D=$5,001-$15,000
H21=More ~a~ S51000;000 M=$100;001~$250,000 P2 =$5,000,001- $25;000,000 T=Ca~ Manet
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -income, value~ transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructio,s.)
NONE (No reportable income, assets, or transactions.)
A. B. C.
Description of Assets (including trust assets) Place "(X)" after each asset exemptfrompriordisclosure
Income during reporting period (1j (2) Amount Type (e.g., Code 1 div..rent. (A-H) or int.I
Gross value at end of reporting period (1) (1) (2) Type (e.g, Value Value buy. sell. Code2 Method Code 3::: redemption) (J-P) (Q-W) Sold K J L L P1 PI L N T T T U T T T W Buy Sold Buy Buy
Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code2 Code 1 (J-P) (A-H) (5) Identity o~ buyer/seller (if private transaction)
Roth IRA: Vanguard Money Market Roth IRA Rollover: Vanguard 500 Index Fund St. Clair, Patricia & Kellee TD Ameritrade Money Market Acct. TPG Partners V, L.P. (FN 2) V&E401(K): General Investments Fund (FN 3) V&E 401(K): JPM Prime Money Market A B A
None None Interest None Int./IS)iv. None None Interest None A A A A A A E D Int./Div. Int./Div. IntJDiv. Interest Int.iDiv. Int./Div. Int./Div. Interest J J O J L K N U T T T
12/31/10 K 12/31/10 K
12/21/10 K
12/23/10 N 12/23/10 N
25. Vinson & Elkins Capital Account 26. 27, 28. 29. 30. 31. 32. 33. 34, Vinson & Elkins Pension Plan (FN 4) Vanguard Emerging Markets Stock Index Fund Vanguard European Stock Index Fund Vanguard Extended Market Index Fund Vanguard Federal Money Market Fund Vanguard Pacific Stock Index Fund Vanguard Treasury Money Market Fund Wegorna Berkshire VII, L.P. (FN 5) WG&M Capital Account
Sold (part)
07/15/10 N
I. lncome Gain Codes: (See Colunms B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J -$ t 5,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50,000.000 Q =Appraisal U =Book Value
B =$1,001 - $2~500 G =$ 100,001 - $1,000,000 K -$15,001 - $50,000 O =$500,001 - $1,000,000 R -Cost (Real Estate Only) V =Other
=$2,501 - $5,000 I41 =$1,000,001 - $5,000,000 .L =$50;001 - $100,000 P 1 =$1,000,001 - $5i000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5;001 - $15,000 H2 =More than $5,000,000 M =$I00,001 - $250,000 P2 =$5,0001001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets~ Place "(XY after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (t) Value Code 2 (J-p) (2) Value Method Code 3 (Q-W) (1) Typ~ (e,g., buy, sell, redemption)
Transactions during reporting period
(2) (3) (4) (5) Identity of Date Value Gain mm/dd/yy C0d~:2 Code 1 buyer/seller (J-P) (A-H) ...... : (if private transaction)
35. 36. 37. 38. 39. 40. 41, 42. 43, 44, 45. 46. 47. 48. 49, 50,
WG&M Partners Target Pension Plan (8) TRUST 1 - Dreyfus Appreciation Fund TRUST 2 - BBVA Compass Bank, Houston, TX Acct. #4 - Vanguard Emerging Markets Stock Index Fund - Vanguard European Stock Index Fund - Vanguard Extended Market Index Fund -Vanguard Federal Money Market Fund - Vanguard Mid-Cap Index Fund - Vanguard Small-Cap Index Fund - Vanguard Index Trust 500 Portfolio TRUST 3 - BBVA Compass Bank, Houston, TX Acct. #5 - Vanguard European Stock Index Fund -Vanguard Federal Money Market Fund - Vanguard Mid-Cap Index Fund A A D
None Int./Div.
L N
W T
Int./Div. Interest Int,/Div, Int./Div. Int./Div. Interest Int./Div. Int./Div. Int./Div. Int./Div. None Int./Div. Interest Int./Div.
51,
1, Income Gain Codes: (See Co|umns B I and 134) 2. Value Codes (See Columns CI and D3) 3, Value Method Codes (See Column C2)
=$t,000 Or less =$ 50,001 - $ 100,000 =$I 5,000 or less =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 =Appraisal =Book Value
B =$i,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 t wS =A=Estimated ........
D =$5,001 - $15,000 M =$10~ 00l ~$250 000 P2 =$5;000i001 ~ $25,000~000 T =C~sh Markbt
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - i,come, value, transactions (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 trust assets) Place "~X)" aRer each asset exempt from prior disclosure B. Income during report ng period (1) Amount Code 1 (A-H) (2) Type (e.g., div.. rent, or int ) C. Gross value at end of reporting period (1) (2) Value Code 2 (J-P) D. Transactions during reporting period (2) (3) [ (4) Date .... Value 1. Gain mm/dd!yy Code 2 Cede 1 (J-P) (A-H)
52.
Int./Div. None N T
TRUST 4 (FN 6) - BBVA Compass Bank, Houston, TX Acct. #6 - Pacific Life Ins. Co. (was "Mercury Equity Index Fund") TRUST 5 - American General Life Ins. Co. (Universal Life Ins.) - Lincoln National (formerly Jefferson Pilot Life Ins. Co.) - Vanguard Index Trust 500 Portfolio A
L lneome Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50~001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2~500 G =$100,001 - $1,0001000 K=$15,001 - $50,000 O =$500,001 - $1,000,000 R -Cost (Real Eslate Only) V =Olher
E =$15,001 - $50,000
(1) Diamond Castle Partner IV, L.P. is a private equity fund that makes periodic capital calls. In response to capital calls, we invested an amount within category K on 114/10 and an amount within category J on 4128, 6/10, 8/26 and 11/2/10. (2) TPG Partners V, L.P. is a private equity fund that makes periodic capital calls. In response to capital calls, we invested an amount within category J on 2/I 7, 4/20, 5/20, 7/23, and 7/28/10. (3) Although~ left the employ ofVinson & Elkins, L.L.P. in 2006,~ continues to participate in the Vinson & Elkins, L.L.P. Retirement Plans A and B. These are individual account defined contribution plans qualified under I.R.C. Section 401(a). The contributions by the firm were fixed during~~ employment by the firm. Retirement Plan A has a salary reduction I.R.C. Section 401(k) feature. The Trustee of the Plan is JPMorgan Chase Bank, N.A., has no investment discretion with respect to the investments of this defined contribution plan, except for the after-tax contribution Houston, Texas. component as has the liminted discretion to choose any of a number of funds that are available. The General Investment Fund is mostly an equity fund managed by several outside investment advisors. I cannot determine how much of the change in total market value since last year was due to interest and/or dividends. JP Morgan Chase informed~ that they cannot provide me with this information. (4) Annual payment (beginning 1/15/15) of a fixed amount times years of service starting 1/1/95. Present value was provided by~ former law firm. (5) Wegoma Berkshire VII, L.P. is a private equity fund that makes periodic capital calls. In response to capital calls, we invested an amount within category J on 4/20, 7/28, and 12/8/10. (6) For the item in line 55, Pacific Life Insurance Co. says that it cannot provide the income for any year. Company representatives state that because I hold an interest in an index fund in which the cash value of an insurance policy has been invested, and not an individual taxable investment, there are no individual dividends or realized gains to report; all that is reported are gains or losses to the policy cash value. In addition, the company states, under applicable government regulations, an insurance policy is considered an asset, not an investment. (7) Nexus BT, LLLP was consolidated into Nexus Resources LLC effective 12/31/10. (8) The WG&M Partners Target Pension Plan was inadvertently omitted from the F.D.R. for 2009 and 2010.
IX. CERTIFICATION.
1 certify that all information given above (including information pertaining to my spouse and minor or dependent children, 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.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
Report Required by the Ethics in Government Act of 1978 (5 U.S.C app. 101-111)
7. Chambers or Office Address United States District Court 515 Rusk Street, Room 9015 Houston, TX 77002
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable la~vs and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followetL Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
II. AGREEMENTS. tgepo.ing individual only; see pv. 14-16 of filing instructions.)
NONE (No reportable agreements.) DATE
1. 2. 3.
Atlas, Nancy F. A
IlL NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income ~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
2. 3. 4.
B. Spouses Non-Investment Income - lf you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~-~
1. 1/1-8/31 2. 3. 4.
~]
LOCATION
New Orleans, LA
PURPOSE
Winter Leadership Meeting
1.
2.
01/29/10
San Antonio, TX
transportation, lodging
3.
02/04-02/07/10
Orlando, FL
03/25-03/26/10
04/22-04/24/10
New York, NY
New York, NY
Washington, D.C
transportation, lodging
7. 8.
06/29-07/01/10 08/05-08/10/10
9.
09/30-10/02/10
Chicago, IL
10/28-10/29/10
Austin, TX
transportation, meals
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
D NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5. (Section V Note 1) See Section VIII
DESCRIPTION
VALUE $0.o
VI. LIABILITIES. (Includes those of spouse und dependent children; see pp. 32-33 of f!ling instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
Vll. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Income during reporting period II) (2) Amount Type (e.g., Code I div., rent~ (A-H) or int.)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W~ L
M
:: : (3) " (4) (2) Value Gain Date mm/dd/yy Cod~ 2 Code 1 (J-P) (A-H)
1.
2.
None
Interest
T
T
3.
Diamond Castle Partner IV, L.P. (FN 1) Diamond Castle Partner IV, Offshore Fund, L.P. Dreyfus 100% U.S. Treasury Money Market Fund Dreyfus Appreciation Fund
Int./Div. Int./Div. Dividend Int./Div. Int./Div. Int./Div. Interest None None None
M J M K O K L L
U U T T T T T T
Closed 10/12/101
B A A
A A
Sold
06/17/10 M
(part)
IRA Rollover: Vanguard Treasury Money Market Fund IRA: Vanguard 500 Index Fund IRA: Vanguard Treasury Money Market Fund ITT Hartford Annuity JP Morgan Chase Bank MetLife Investors Group Inc. Nexus BT, LLLP (7) Nexus Resources LLC-Preferred Real Property, Travis County, TX Roth IRA (was IRA): Vanguard Treasury Money Market Fund Roth lRA (was IRA): Vanguard Small Cap Index Fund
T See Note 7
D E D
07/28/101 N
12/31/10 12/31/10 L L
I. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 or less F =$50,001 - $i00,000 J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1;001 2 $2;200 G =$100,001 = $I,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate only) V =Other
C =$2,501 -$5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 ~ $100,000 P I =$ 1,000,001 - $5,000,000 P4 =More than $50,000;000 S =Assessment W =Estimated
D =$5,001 -$15,000 H2=Mote than $5;000,000 M=$100 00 . $250 000 P2 =$5;000,001 - $25,000,000 T =Cash Market
E =$]5,001- $50,000
VII. INVESTMENTS and TRUSTS - i.come, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assetsl
C.
D.
O) (2) (1) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
(2) (l) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
(4) (3) Gain Type(e.g.; Date : Nalue buy, sell;:: :. mm/dd/yy , Gode 2 Code 1 redemption) (J-P) (A-H)
"
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
Roth IRA: Vanguard Money Market Roth IRA Rollover: Vanguard 500 Index Fund St. Clair, Patdcia & Kellee TD Ameritrade Money Market Acct. TPG Partners V, L.P. (FN 2) V&E 401(K): General Investments Fund fiN 3) V&E 401(K): JPM Prime Money Market Vinson & Elkins Capital Account Vinson & Elkins Pension Plan (FN 4) Vanguard Emerging Markets Stock Index Fund Vanguard European Stock Index Fund Vanguard Extended Market Index Fund Vanguard Federal Money Market Fund Vanguard Pacific Stock Index Fund Vanguard Treasury Money Market Fund Wegoma Berkshire VII, L.P. (FN 5) WG&M Capital Account A A A A A A E D A B A
None None Interest None Int./Div. None None Interest None Int./Div. Int./Div. Int./Div. Interest Int./Div. Int./Div. Int./Div. Interest J J O J L K N T T T T T U T K J L L Pl PI L N T T T U T T T W
Sold Buy
12/31/10 12/31/10
K K
Buy
12/21/10
Buy Sold
12/23/10 12/23/10
N N
(part)
(part)
Sold
07/15/10 N
1. lncome Gain Codesi (See Columns BI and D4) 2. Va,ue Codes (~e Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$L000 or less F =$50,001 - $100,000 J =$151000 or less N =*250,001 - *500,000 P3 =$25,~0,001 - $50.000,0~ Q =App~i~l U =Book Value
B =$1,001 -$2,500 G =$100,001 - $1,000,000 K =$15,001- $50,000 O =$500,001- $1,000,000 R =Cost (Real Estate Only) V =Othcr
C =$2i501 ~ $5,000 H i ~11000160i ; $510001000 L =$50~00i : $ 00~000: Pl =$ 000,001 : *5,000~000 P4 =More than $50,000,000 S =AssesSment " W =Estimat~
D =$5,001 -$15,000 H2 ~M~ithan $~,b~0,000 ..... ~ ~$5;060;00i 2 S25 000,000 T --Cash Market
E =$15,001 -$50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets
B. Income dunng reporting period (1) (2) Amount : Type (e.g., Code 1 div.,rent, (A-H) or int.)
C. Gross value at end of reporting period (1) Value Code2 (J-P) (2) Vatue Method Code 3 (Q-W)
D. Transactions during reporting period (1) (2) (3) (4) Type (e~g.; Date Value Gain Code 1 " bu3~,se!l~ inm/dd/yy Code2 r~demption) (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49.
WG&M Partners Target Pension Plan (8) TRUST I - Dreyfus Appreciation Fund TRUST 2 - BBVA Compass Bank, Houston, TX Acct. #4 - Vanguard Emerging Markets Stock Index Fund - Vanguard European Stock Index Fund - Vanguard Extended Market Index Fund -Vanguard Federal Money Market Fund - Vanguard Mid-Cap Index Fund - Vanguard Small-Cap Index Fund - Vanguard Index Trust 500 Portfolio TRUST 3 - BBVA Compass Bank, Houston, TX Acct. #5 - Vanguard European Stock Index Fund A A D
None Int./Div.
L N
W T
IntJDiv. Interest Int./Div. Int./Div. Int./Div. Interest Int./Div. Int./Div. Int./Div. lnt./Div. None Int./Div. Interest Int./Div.
50. -Vanguard Federal Money Market Fund 51. - Vanguard Mid-Cap Index Fund
1. lne0m~ Gain Codes: (See Columns BI and 134) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$1 ;000 Or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
G =$100,001 - $1,000,000 K =$15,001 -$50,000 O =$500,001 - $1,(100,000 R =Cost (Rea! Estate Only) V =Other
C =$2,50! - $5,000 HI =$I,000,00i - $5i000,000 L --$50,001 - $100~000 P [ =$1,000,00 ! - $5,000,000 P4 =More than $50;000i000 S =Assessment W =Estimated
E =$15,001 - $50,000
M=$100100~ -$250,000
P2=$5~000,001- $25,000,000 T =Cash Market
VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 o:filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code I (A-H~ (2) Type (e.g~, div., rent, or int.) C. Gross value at end of reporting period (2) (1) Value Value Code 2 Method (J~P) Code 3 (Q-w)
Transactions during reporting period
(4)
Gain Code 1 (A-H)
(5)
Identity of buyer/seller (if private transaction)
- Vanguard Small-Cap Index Fund TRUST 4 (FN 6) - BBVA Compass Bank, Houston, TX Acct. #6 - Pacific Life Ins. Co. (was "Mercury Equity Index Fund") TRUST 5 - American General Life Ins. Co. (Universal Life Ins.) - Lincoln National (formerly Jefferson Pilot Life Ins. Co.) - Vanguard Index Trust 500 Portfolio A
1. lncome Gain c6dEsi (See Colunms BI and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Colunm C2)
~ ~$11000 or:ies~ : .... F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$!,001 =$2,500 G :$100,001 - $1,000,000 K =$15,001 - $50;000 O =$500,001 - $I,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 -$5,000 H 1 =$ 1,000,00 ! - $5,000,000 L =$50,001 - $100,000 P1 =$1,000,001-$5,000,000 p4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001-$50,000
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, 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 that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544