no reportable positios.) - judicial watch · on the basis of the information contained in this...

POSITION ORGANIZATION/ENTITY

PARTIES AND TERMS

CJ

(/)

.,

CJ -

5.

Report Required by the EthicsA010 FINANCIAL DISCLOSURE REPORT

in Government Act of 1978Rev.112007 FOR CALENDAR YEAR 2006 (5 u.s.c. app. §§ 101-111)

1. Person Reporting Out name, first, middle Initial)

WOOD, KIMBA M

2. Court or Organization

U.S. District Court SDNY

3. Date of Report

05/08/2007

4. Title (Article mjudges Indicate active or senior status; magistrate judges Indicate full- or part-time)

Chief U.S. District Judge

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial Annual D Final

6. Reporting Period

01/01/2006 to

12/31/2006

Sb. D Amended Report 7. Chambers or Office Address

500 Pearl Street New York, N.Y. 10007

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.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)

0 NONE (No reportable positions.)

NAME OF

I. Board Member The Institute of Judicial Administration, New York University School of Law

2. Board Member New York City Ballet, Inc.

3. Board Member CEELI Institute

4.

,....,, rn (/)"""·- -< ()c:>· ;o .......II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.) -- rnco

-rq[RJ NONE (No reportable agreements.) oJ> <

-01r- )> m 0

fTl +="

I.

2.

3.

SOURCE AND TYPE

SOURCE DESCRIPTION

3.

2.2006

3.2006

Date or Report Name or Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 2 of6 05/08/2007WOOD, KIMBA M

ID. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 11-24 of instructions.J

A. Filer's Non-Investment Income

[RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

4.

5.

B. Spouse's Non-Investment Income - I/you were married during any portion o/the reporting year, complete this section. (Dollar amount not required except for honoraria.)

0 NONE (No reportable non-investment income.)

I. 2006 Rockefeller Brothers Fund Finance Committee Fees

Sonic Corp. Board of Directors & various Committee Fees

Vestar, Harding, Lehman Brothers, ENM, Inc., Bear Steams Merchant Bank & Park Avenue Equity - Fee Income

4.

5.

IV. REIMBURSEMENTS -transportation, lodging.food, entertainment. (Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

(E:J NONE (No reportable reimbursements.)

I.

2.

3.

5.

SOURCE DESCRIPTION YALUE

VALUE

3.

5.

4.

Name of Penon Reporting Date of Report

WOOD, KIMBA M 05/08/2007

FINANCIAL DISCLOSURE REPORT

Page 3 of6

V, GIFTS, (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

[KJ NONE (No reportable gifts.)

I.

2.

4.

VI, LIABILITIES, (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1. Margin Account

CODE

Goldman, Sachs (see Note #20 in P2 Section VIII

2. Vestar Loans M

3. ENM, Inc. Escrow Account L

Citibank Line of Credit Pl

5. Citibank Line of C redit Pl

6. Citibank Line of Credit Pl

7. Citibank Unsecured Tenn Note Pl

8. Citibank Rental Property Mortgage N

9. American Exp ress Credit Card K

IO. Citibank Credit Card J

" '. I::- · .

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 4 of6 WOOD, KIMBA M 05/08/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (lndudes those of the spouse and dependent children. See PP. 34-60 of filing instructions.)

0 NONE (No reportable income, assets, or transactions.)

A. Description of As sets

(inclu ding trus t assets)

Place "(X)" after each asset exempt from prior disclosure

B. c. D. Income during Gross value at end of T ransactions during reporting period

repor ting period reportingperiod

(I) (2) (I) (2) (1) (2) (3) (4) (5) Amount Type(e.g. Value Value Type(e.g. Date Value Gain Identity of Code! div., rent, Code2 Method buy, sell, M onth- Code2 Code I buyer/seller (A-H) or int) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

I. See attached

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

1. Income Gain Codes: A=Sl,OOOorless B =Sl,001 - $2,500 C =$2,501 - S5,000 D =$5,001 • SlS,000 E -$15,001 - SS0,000 : -. ' \ :.,,r,;,· ,, ,,.!/.'

\See Columns Ci and DJ) N =$250,00 I - S5U0,000 0 =$500,00 l - s 1,000,000 Pi =Sl,000,001 • SS,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than SS0,000,000 3. Value Method Codes R=Cost (Real Estate Only) T :Cash Marlee!

(See Column C2) V=OtherQ=Appraisal s =Alscssmeot U=Book Value W:J!stimated

---- ------

( 2) ( 4)

( Q-W)

14

Kimba M. Wood MAY, 2007

A. B. c. D.

GROSS VALUE AT

INCOME DURING END OF REPORTING

o;,:·· .:RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 3) ( 5)( 2) ( 1) ( 2) ( 1) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE METHOD CODE CODE (IF

(J - P) ( J - P) (A- H) PRIVATE) ----···

EXXOt· 'JRP COMMON STOCK B DIVIDEND L T

------

2 GRES

(SEE

.ND LP (IRA)

'TES 1 & 16 IN SECTION VllQ

G K-1 DISTR P1 T

3 ADOB:

(SEE

'STEMS INC COMMON STOCK

.-TE 4 IN SECTION VllQ

NONE SOLD 7/31 J

4 NEW -.: ·' < URB DEV CORP ZERO COUPON BOND

(SEE "'. TE 2 IN SECTION VllQ

A OID J T PARTIAL BOND CALL 1/3 J c

5 SCHW/:. · - ONEY MARKET FUND A DIVIDEND CLOSED ACCOUNT 813 J

6 GOLDfl! SACHS BANK DEPOSIT #1

(FKA .· · _OMAN SACHS INST ASSETS FEDL PORTFOLIO #1)

B DIV/INT K T

7 GOLD, ·· . · SACHS BANK DEPOSIT #2

( FKfi, .. -.. .OMAN SACHS INST ASSETS FEDL PORTFOLIO #2)

A DIV/INT J T

8 AUTOi'-·· C DATA PROCESSING INC COMMON STOCK

( SEE • -,-E 4 IN SECTION VllQ

A DIVIDEND SOLD 10/5 K c

9 BLACK .:GK INC COMMON STOCK B DIVIDEND M T PURCHASE 518 J

10 CONOC +llLLIPS COMMON STOCK A DIVIDEND K T

11 FE DEY 'JRP COMMON STOCK NONE K T PURCHASE 10/5 K

12 GEN P-< - hE COMMON STOCK (SEE · - TE 4 IN SECTION VllO

NONE SOLD 9/1 K A

13 HEWLF -PACKARD CO COMMON STOCK NONE K T PURCHASE 9/29 K

HOME C ::POT COMMON STOCK A DIVIDEND K T

--

--

------

------

15

B.

{ 1) { 4)

{ J - PJ


A. c. D.

GROSS VALUE AT


DE ·:mPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD ·

·---·· · · ·

{ 1) {2) { 1) {2) {2) {3) {5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

{A- H) CODE METHOD CODE CODE {IF

{A- H) PRIVAT{J - PJ {Q-W) ----··

JOHNS: ·,; & JOHNSON COMMON STOCK A DIVIDEND K T

16 SONIC . ·. 'MMON STOCK NONE L T

17 STRYV ."· CORP COMMON STOCK A DIVIDEND K T

18 SU NCC '':NERGY INC COMMON STOCK A DIVIDEND K T

19 WAL fV• ,· STORES INC COMMON STOCK

(SEE . ::TE 4 IN SECTION VllO

A DIVIDEND SOLD 7/14 K

20 CMA T' · · EXEMPT FUND - ML #1 A DIVIDEND J T

21 MERR: .. :.YNCH ACCOUNT - ML #2 A INTEREST J T

22 FEDEF. .. '=D CAPITAL RESERVES MONEY MARKET B DIVIDEND K T

23 AMER!c· · ,; MUTUAL FUND B DIV/DISTR K T

24 CAPIT

(M.

\/COME BUILDER FUND

.JAL FUND)

B DIV/DISTR K T

25 FUND/

( rv.

i\JTAL INVESTORS INC

. .AL FUND)

B DIV/DISTR K T

26 GROW

( rV'. · ·'UNO OF AMERICA

-.JAL FUND)

c DIV/DISTR L T

27 INVES-

(Mt_

. l\JT COMPANY OF AMERICA

. JAL FUND)

c DIV/DISTR K T

28 WASH!' . :-oN MUTUAL INVESTORS FUND

( ML"':.JAL FUND)

B DIV/DISTR L T

COM\:•' STQCKS/MUTUAL (LINES 30-25§) (SEE VllO

------

31

32

33

34

37

( 2)

D.

( 1) ( 2)

Kimba M. Wood MAY,2007

A. B. c. GROSS VALUE AT


DC:.':GRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---·

( 1) ( 1) ( 2) ( 3) ( 4) ( 5) VALUE GAIN IDENTITYAMT CODE TYPE VALUE VALUE TYPE DATE

-- --- ···-

(A-H) CODE ( J-P)

METHOD

( Q-W) CODE

{J - P) ------

CODE

{A- H) (IF

PRIVATE)

29 U.S. G .

(iv: · '.:RNMENT SECURITIES FUND

JAL FUND) A DIVIDEND J T

30

.. ·.'

ABBO:. _ABORATORIES

FNDS NOTE 4 IN SECTION F DIVIDEND P1 T PARTIAL SALE 10/19 P1 H1

ADVJI. :C"'D MICRO DEVICES INC NONE PURCHASE 6113 J

SOLD 10127 J

AEsc·.c.p NONE J T PURCHASE 12/5 J

AETl\L -!C A DIVIDEND M T PURCHASE 812 M

35 AGILE' TECHNOLOGIES NONE PURCHASE 6113 J

36 SPUN OFF VERIGY 1111 J

SOLD 1214 J A

38 AKAM· ' 'ECHNOLOGIES NONE J T PURCHASE 9118 J

39 ALCA.c ,c c DIVIDEND N T

40 ALCC.· .•C A DIVIDEND PURCHASE 6113 J

41 SOLD 10/16 J

42 ALCQ',. ,:·-ic NONE PURCHASE 6113 J

43 SOLD 11/7 J A

44 ALLEGHENY TECHNOLOGIES INC A DIVIDEND J T PURCHASE 6113 J

-- ------

45

51

54

( 4)


A. B. c. D. GROSS VALUE AT


DE' :::;RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD ---- ·

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) (Q-W) ( J - P) (A- H) PRIVATEl ----- ------

ALLEF -,N INC A DIVIDEND J T PURCHASE 8/17 J

46 ALL TE. :::ORP c DIVIDEND M T SPUN OFF WINDSTREAM 7/21 K

47 AMER ... MOVIL E DIVIDEND P1 T PURCHASE 6/13 J

48 AMER . ·\I INTERNATIONAL GROUP A DIVIDEND SOLD 5/17 M D

( AKI·. ''MER INTL GROUP)

49 AMER \J TOWER CORP NONE PURCHASE 6/13 J

50 SOLD 11/27 J B

AMR Cc '

-- ----

------

------

-- -- · · ·

77

93

( J - P) (Q-W)

D.


A. B. c.

GROSS VALUE AT


DE.: '.' RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) (A- H) PRIVATE)

.CATEF-:: LAR INC A DIVIDEND PURCHASE 6/13 J

78 SOLD 11/10 J

79 CELG;cv CORP NONE J T PURCHASE 12120 J

80 CEMEl A A DIVIDEND M T PURCHASE 3/31 M

81 CHAR:. . ' SCHWAB CORP A DIVIDEND PURCHASE 6/13 K

82 SOLD 11/20 K B

83 CHICACF MERCANTILE EXCHANGE A DIVIDEND J T PURCHASE 6/13 J

84 CISCC . STEMS NONE J T PURCHASE 12112 J

85 PURCHASE 12113 J

86 CIT GF .. . .iP D DIVIDEND M T PURCHASE 6/13 J

87 PARTIAL SALE 8/16 J

88 PARTIAL SALE 9/1 N E

89 PURCHASE 12/27 L

90 CITRIX -- -STEMS INC NONE PURCHASE 6/13 J

91 SOLD 9/11 J

92 COAU ·;c NONE K T PURCHASE 6/13 J

PURCHASE 8/14 J

-- ---

------

------

94

D.

( 4)

4/3




C• ··::RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---·

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN

( 5) IDENTITY


( J P) (Q-W) ( J P) (A- H) PRIVATE,)--

COC!-• :oLA CO A DIVIDEND J T PURCHASE 11/28 J

95 COG1< · '- ' !\JT TECHNOLOGY SOLUTIONS NONE J T PURCHASE 6/13 J

96 COMC: '.,. CORP NONE J T PURCHASE 11/8 J

97 COMP "ARE CORP NONE PURCHASE 6/13 J

98 SOLD 8/18 J

99 CONC . '"HILLIPS E DIVIDEND P1 T RECEIVED THRU MERGER M

100 CONf '.=:NERGY INC . _

101

. .op102 cvsc·

103

104 DAN/l. :R CORP

105 DIAMc·-:i OFFSHORE DRILLING INC

106

107

108 DIREC GROUP

109 ELEC,-::

9/5


A. B. c. D.

GROSS VALUE AT


Dt . ·:RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---·· ------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)


(A- Ji CODE METHOD CODE CODE (IF

( J- PJ ( Q-W) ( J - PJ (A- Ji PRIVATE) -- ---· ·· ------

111 EMBA'-· NONE SPUN OFF FROM SPRINT 5/23 J

112 SOLD 5/23 J A

113 EMBR .. -EMPRESA BRASILEIRA DE AERONAUTICA c DIVIDEND M T PURCHASE 614 K

114 EXPEl. ORS INTERNATIONAL A DIVIDEND J T PURCHASE 6/13 J

115 EXPR

------

------

( 1) ( 2) ( 2) ( 4)


A. B. c. D.

GROSS VALUE AT


Di. < '.RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

-- ---···

( 1) ( 2) ( 1) ( 3) ( 5)



( J PJ ( Q-W) ( J PJ (A- H) PRIVATE)---- ---·

128 GOLD:· .· '· SACHS GROUP ( INCLUDES CALL OPTIONS) NONE L T PURCHASE 1211 J

129 PURCHASE 12/29 L

130 GOOG· 'NC NONE K T PURCHASE 6/13 J

131 HARR> ·:;ORP A DIVIDEND PURCHASE 6/13 J

132 PARTIAL SALE 10/6 J A

133 SOLD 10/10 J A

134 HEWLc --PACKARD CO A DIVIDEND 0 T PURCHASE 6/13 J

135 PURCHASE 9/1 0

136 HOME 'POT INC E DIVIDEND P1 T

137 HUGCJ . \!ROYALTY TRUST A DIVIDEND J T SPUN OFF FROM XTO ENERGY 5/12 J

138 INTER :, llONAL BUSINESS MACHINES B DIVIDEND L T PARTIAL SALE 2116 M

139 PURCHASE 5/17 K

140 INTUli- '' SURGICAL INC NONE J T PURCHASE 6/13 J

141 JABIL . ,;:cuJT A DIVIDEND PURCHASE 6/13 J

142 SOLD 9/20 J

143 JACOBS "'NGINEERING GROUP NONE PURCHASE 9/15 J

144 SOLD 11/27 J

-- -----· --··- ------

( 1) ( 2) ( 1) ( 2)

9/5


A. B. C. D.

GROSS VALUE AT


DE -:. ;RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 2) { 1) ( 3) {4) {5)

-- ---·-····-

AMT CODE

{A- H)

TYPE VALUE

CODE

{J - P)

VALUE

METHOD

(Q-W)

TYPE DATE VALUE

CODE

( J - P) ------

GAIN

CODE

(A- H)

IDENTITY

{IF

PRIVATE)

145 JOHN:: > ,• & JOHNSON G DIVIDEND P1 T PARTIAL SALE 11/14 0 G

146 PURCHASE 12/1 J

147 JOY G· " 3AL INC A DIVIDEND PURCHASE 6/13 J

148 SOLD 10/19 J

149 KERR MCGEE CORP NONE PURCHASE 6/13 J

150 SOLD 7/6 J B

151 KOHL'.: NONE J T PURCHASE

152 LAM R

\

------

-- --- ·-· ------

A.

( 2)

c.

( 1)

B.


D.

GROSS VALUE AT


DEs; RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---·-- · ·-·

( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) ( Q-W) ( J - P) (A- H) PRIVATE)

162 MANPQ, '::R INC A DIVIDEND J T PURCHASE 6/13 J

163 MARR!


A.

OF.. :· :RIPTION OF ASSETS -- ---··

-- ---·

178 MONS . > :. WORLDWIDE INC

B.

INCOME DURING

REPORTING PERIOD

( 1) ( 2)

AMT CODE TYPE

(A-1-0

NONE

c.

GROSS VALUE AT

END OF REPORTING

PERIOD

( 1) ( 2)

VALUE VALUE

CODE METHOD

( J -P) (Q-W)

0.

TRANSACTIONS DURING REPORTING PERIOD ------

( 1) ( 2) ( 3) ( 4)

TYPE DATE VALUE GAIN

CODE CODE

( J - P) (A-l-0 ----------

PURCHASE 6/13 J

( 5)

IDENTITY

(IF

PRIVATE)

179 SOLD 10/23 J

180 NEWF:._ J EXPLORATION NONE SOLD 10/5 M

181 NEWS '{P NONE J T SOLD 2116 M

182 PURCHASE 1214 J

183 NIKE NONE J T PURCHASE 10/30 J

184 NORFC. , SOUTHERN CORP A DIVIDEND PURCHASE 6/13 J

185 SOLD 10/18 J A

186 NVIDIA. ;'.)RP NONE PURCHASE 6/13 K

187 PARTIAL SALE 10/6 K c

188 SOLD 1117 J B

189 OCCIDc>FAL PETE CORP A DIVIDEND L T

190 OFFICF ::i;::POT INC NONE PURCHASE 6/13 J

191 SOLD 1211 J

192 OLSTE :-< rlNANCIAL ALERT FUND ( MUTUAL FUND) D DIVIDEND M T PURCHASE 12112 J

193 OMNICO:'vi GROUP NONE J T PURCHASE 11/1 J

194 ORACLE CORP NONE M T PURCHASE 2122 M

( 1) ( 1)

{ J - P)


A. B. c. D.

GROSS VALUE AT


DE' "::RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

-- ---· ... -- -·-·· ------

( 2) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)



( J P) ( Q-W) - {A- H) PRIVATE) -- ---··- ····- ------

195 PURCHASE 10/4 J

196 PURCHASE 10/11 J

197 PAYC!

-- ---· ··· -- --- --- ---

( 1) ( 1) ( 4)




o: ::OCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

(2,) (2,) ( 1) ( 2,) ( 3) ( 5)

--

212

-----·

AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

(Q-W)

TYPE

PURCHASE

DATE VALUE

CODE

( J - P) ------

11/8 J

GAIN

CODE

(A- H)

IDENTITY

(IF

PRIVATE)

213 SEAG :_ - _ TECHNOLOGY A DIVIDEND PURCHASE 6/13 J

214 SOLD 10/2 J A

215 SEARc "CllDINGS CORP NONE P1 T PURCHASE 10/12 P1

216 SEI 11-; -sTMENT co NONE J T PURCHASE 11/16 J

217 SHIP, ANCE INTERNATIONAL LTD c DIVIDEND SOLD 3/31 M

218 SMIT!-' ''ERNATIONAL NONE J T PURCHASE 11/28 J

219 SMUP: -- -STONE CONTAINER CORP NONE L T PURCHASE 9/1 L

220 SONIC :RP NONE P3 T

221 SPRlt\ , !·:EXTEL CORP ( FKA SPRINT CORP) A DIVIDEND M T SPUN OFF EMBARQ 5/23 J

222 STRY:·· - CORP A DIVIDEND N T

223 SUNU'.··: ':'NERGY c DIVIDEND P1 T

224 T ROii'-· -- ''RICE GROUP A DIVIDEND PURCHASE 6/13 J

225 SOLD 11/22 J A

226 TELL.A_,::_·:. NC NONE PURCHASE 6/13 J

227 SOLD 9/19 J

228 THIRD A 'ENUE INTL VALUE FUND ( MUTUAL FND) E DIV/DISTR M T PURCHASE 6/6 M

B.

( 2)


A. c. D. GROSS VALUE AT

END OF REPORTING INCOME DURING [)'.; 2°CRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

-- ---· ··· ··-- ------

( 1) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) VALUE VALUE TYPE DATE VALUE GAIN IDENTITYAMT CODE TYPE

-- ----· · ·

229

(A- H) CODE ( J - P)

METHOD ( Q-W)

PURCHASE

CODE (J - P)

------

12/20 J

CODE (A-H)

(IF PRIVATEJ

230 UNITE' -:-ECH CORP E DIVIDEND P1 T

231 UNITL · EAL TH GROUP NONE M T PURCHASE 5/17 M

232 PARTIAL SALE 9/1 K c

233 UNUMPROVIDENT c DIVIDEND M T

234 VALERO ENERGY c DIVIDEND M T PURCHASE 6/13 J

235 PARTIAL SALE 7/19 J A

236 PARTIAL SALE 9/11 0 G

237 VERIGY LTD NONE J T SPUN OFF FROM AGILENT 11/1 J

238 VODAFONE GROUP NONE SOLD 3/2 M

239 WAL MART STORES F DIVIDEND P1 T PARTIAL SALE 10/17 P1 G

240 WARREN RESOURCES INC NONE L T PURCHASE 12/27 L

241 WEATHERFORD INTERNATIONAL LTD NONE PURCHASE 6/13 K

242 SOLD 11/1 J

243 WELLS FARGO D DIVIDEND M T

244 WENDY'S INTERNATIONAL INC A DIVIDEND PURCHASE 6/13 J

245 SOLD 8/14 J A

(LINES 257-25!»

(LINES 259-27 4}

( 1) ( 1)

( Q-W)

D.


A. B. c.

GROSS VALUE AT


DE'

STOCK§/BONDS (LINES 275-28m (SEE VllD

------

( 1)

(Q-W)


A. B. c. D.

GROSS VALUE AT


De. ; C:RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

-- ----··· · --

AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

VALUE GAIN IDENTITYTYPE VALUE VALUE TYPE DATE


( J P)- ( J P) (A-H) PRIVATE}--- ----- ------

262 CITIBiJEY MARKET A INTEREST J T

264 CITIB .'•< CHECKING ACCOUNT NONE L T

265 CITIBANK ASSET ACCOUNT NONE M T

266 CITIBANK CASH RESERVE ACCOUNT G INTEREST P1 T

267 CITIBANK CASH RESERVE ACCOUNT #2 B INTEREST OPENED ACCOUNT 5/24 J

268 CLOSED ACCOUNT 617 P1

269 CITIBAM( INTEREST CHECKING ACCOUNT# 2 A INTEREST J T

270 BEAR, : - ":ARNS ACCOUNT #1

(SEE >'UTE 3 IN SECTION VllO

NONE J T

271 NEUBERGER BERMAN INSTL LIQDTY SER INSTL CASH c DIVIDEND K T

272 DEUTS::O-IE BANK ALEX BROWN MONEY MARKET B INTEREST N T

273 LEHMJ'.i\: '3ROTHERS CASH ACCOUNT A INTEREST J T OPENED NEW ACCOUNT 9/27 N

274 BLACK ROCK MONEY MARKET/PNC CASH B DIVIDEND L T OPENED NEW ACCOUNT 6/30 K

275

FOUNDATION COMMON

ABBOTT LABORATORIES

NOTE 4 IN SECTION

D DIVIDEND N T PARTIAL SALE 5/8 M

276 ALTRIA GROUP INC D DIVIDEND N T

277 ANHEUSER BUSCH COS INC A DIVIDEND SOLD 3/3 M F

:JRG

INVE_', C 284-4 1 1) (SEE 4, 5. VllD

B.

( 2)


D.A. c.

GROSS VALUE AT


cc· CRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- -----· -·····- ---- ----

( 1) ( 2) ( 1) ( 1) ( 2) ( 3) (4) ( 5)

-- ___.... , . . _

AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

(Q-W)

TYPE DATE

----

VALUE

CODE

(J - P) ----

GAIN

CODE

(A - H)

IDENTITY

(IF

PRIVATE)

278 BANI' .. : CORP NONE J T

280 GENc.' .'.'...ELECTRIC CO c DIVIDEND M T

281 ITT 8. ·.JS NONE DONATED FROM TRUSTEE 1 1/1 3 P1

282 SOLD 12/18 P1

283 UNIF: · TECHNOLOGIES CORP D DIVIDEND N T

284

. _·JiENTS IN NON-PUBLIC COMPANIES LINES

ARIZ'. : \ SNOWBOWL (AKA SUNWEST HOLDINGS)

(SE'·

------

( 4)

4/3


A. B. c. 0.

GROSS VALUE AT


DC.:c. ·. RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---- ,. .. __

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 5)



( J - P) (Q-W) ( J - P) (A- H) PRIVATE)

-- ----· ------

291 OF Fr .._L F K-1 DISTR N w DISTRIBUTION J

( SEi

292 OPUS

(SE!':

293 BEAF;

(SE'.'

294

295

296

297

298

299

300

301

302 BEAF

(SE

·

.

•.)TE 9 IN SECTION VllO

1 .• :DIA PARTNERS NONE N w

. '>TE 9 IN SECTION VllO

.. '.ARNS MERCHANT BANK II G K-1 DISTR/ 0 w DISTRIBUTION 2/22 M

.·;TES 9 & 16 IN SECTION VllO DIVIDEND

ARNS MERCHANT BANK Ill A K-1 DISTR M w

;QTE 9 IN SECTION VIII)

303 BIRD'.:' .• !':: FOODS ( FK A AGRILINK) NONE P1 w

(SE :OTE 17 IN SECTION VllO

304 ADVA' :.":D ORGANICS NONE

(SE ..• ·!OTES 8 & 17 IN SECTION VllO

305 BORD'.': ''i MEDIA NONE 0 w

ADDITIONAL INVESTMENT


DISTRIBUTION


DISTRIBUTION

DISTRIBUTION


DISTRIBUTION

INITIAL INVESTMENT

DISTRIBUTION


2122 K

4117 K

4/17 M

5/15 J

5/15 J

6/29 K

12/8 K

12/8 K

11/14 M

12/8 J

9/28 J

( 2) ( 1)

( J - P)


A. B. c. D.

GROSS VALUE AT


c·. . ':'GRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---W•< • - - ------

( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)


(A-l-0 CODE METHOD CODE CODE (IF

( J - P) ( Q-W) (A-1-0 PRIVATE) -----

306

(SF ·· iOTE 17 IN SECTION VllD


------

10/6 L

307

308

AEAf

(SF·-

FKA CABOT SAFETY CORP)

\'OTE 17 IN SECTION VllD

NONE SOLD

ADDITIONAL PROCEEDS

3/31

6/15

N

J

G

D

BEAR STEARNS

309 DYN!'·

(Sf.

.X

'TE 10 IN SECTION VllD

NONE

314

315

VEs- . ··

( Sff

. • :QUITY PARTNERS/ASSOC. ( ID

.TE 10 IN SECTION VllD

A K-1 DISTR LIQUIDATION DISTRIBUTION

LIQUIDATION DISTRIBUTION

1218

12111

J

J

316 VEST/

(SE

:APITAL PARTNERS/ASSOC. ( llD

.OTES 10 & 16 IN SECTION VllD

D INTEREST DISTRIBUTION 12/8 J

317 VES•·

(Sc.

APITAL PARTNERS/ASSOC. ( IV & AIV)

OTES 10 & 16 IN SECTION VllD

E K-1 DISTR L w DISTRIBUTION 12118 J

318 VEST: - .:APITAL PARTNERS/ASSOC ( V)

(SE:. ;. OTES 10 & 16 IN SECTION VllD

A K-1 DISTR

319 GOLD -- . =.: (FKA CLUETT AMERICAN) NONE SOLD 1117 0 G BLACKSTONE

------

-- ---- · - -

.. .... _

D.

( 4)


TRANSACTIONS DURING REPORTING PERIOD

A. B. c.

GROSS VALUE AT


c··:s ::RIPTION OF ASSETS REPORTING PERIOD PERIOD -- ---···

( 2)( 1) ( 2) ( 1) ( 2) ( 1) ( 3) ( 5)

AMT CODE TYPE

(A- H)

(SL .\'.)TE 17 IN SECTION VllO

320 CONS - ·DATED CONTAINER D INTEREST

(SE': ,.•QTE 17 IN SECTION VllO

321 ST JC: .\S KNITS NONE

(SE .'OTE 17 IN SECTION VllO

322 VALC'' . :•)MMUNICATIONS F DIVIDEND

(SEO: ''10TE 17 IN SECTION VllO

323 ARGC _·. '.::H NONE

(SF: .:OTE 17 IN SECTION VllO

324 CES/,. : IORUCCI NONE

(Sf:' : '

-- ------

335

345

( Q-W)

( 4)


A. B. c. D.

GROSS VALUE AT


CGRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

---·· ·· · · ·-

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 5)



( J - Pl ( J Pl (A- H) PRIVATE,)--- ----· · ------

(SE,- 'OTE 17 IN SECTION VllQ

332 ADDITIONAL INVESTMENT 1/24 M

333 RETURN OF OVERFUNDING 7/19 J

334 OGF'. ,jp NONE N w RECAPITALIZATION 10/3 M G

(SF _ . ''.JTE 17 IN SECTION VllQ

PAR! , NONE M w INITIAL INVESTMENT 11/6 J

(SE_ 'OTE 17 IN SECTION VllQ

336 ADDITIONAL INVESTMENT 11/30 M

337 FL SF IA D INTEREST SOLD 1/31 P1 G KOH LB ERG

(s,;:;.-- . 'JTE 17 IN SECTION VIII) KRAVITZ

338 ADDITIONAL PROCEEDS 2/1 J A

339 SEVE' .oA NONE L w INITIAL INVESTMENT 4/24 L

(SE \ OTE 17 IN SECTION VllO .

340 RETURN OF OVERFUNDING 7/19 J

341 SOLC "COMPANY NONE P1 w

(SE ::nE 17 IN SECTION VllO

342 SUNF. \llEDICAL NONE 0 w RETURN OF CAPITAL 7/21 K

(St.: :JTE 17 IN SECTION VllQ

343 SYMF . FINANCIAL NONE N w

(SE' · :JTE 17 IN SECTION VllO

344 VALIC iOLDINGS NONE 0 w

(SE': JTE 17 IN SECTION VllQ ·

cWABC NONE ADDITIONAL SALE PROCEEDS 10/3 J

( SEL "OTE 17 & 21 IN SECTION VllQ

347

349

350

351

352

354

355

359

4/4

·•. ·: RIPTION OF ASSETS ·--

-- ----· ·· · --

346 WIL TC. , ;OTE 17 IN SECTION VllQ

· · METALLURGICA

·OTE 17 IN SECTION VllO

'."ER MEDINENTERPRISE NEWSMEDIA

.\OTE 1 IN SECTION VllO

REPORTING PERIOD PERIOD

( 1) ( 2) ( 1) ( 2) AMT CODE TYPE VALUE VALUE

(A- H) CODE METHOD

( J - P) (Q-W)

NONE 0 w

NONE

H2 DIV/INT


( 1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITY

CODE CODE (IF

( J - P) (A- H) PRIVATE)

------

ADDITIONAL INVESTMENT 514 N

ADDITIONAL INVESTMENT 715 N

SOLD 12/8 L CIVIDALE

LOAN REPAYMENT 5/31 L


A. B. c. D.

GROSS VALUE AT


D'.' -- ---···

348 ZANU•

(SE.

NEWS.<

(SU

SPUN OFF AVON DISTR LLC 5/11 P1

SPUN OFF CHICOPEE DISTR LLC 5/11 N

SOLD 617 P2 H1 GATEHOUSE

MEDIA

353 ADDITIONAL SALE PROCEEDS 9/27 M G

AVO'r'. •

·

•'

'·TRIBUTION LLC B K-1 DISTR P1 v SPUN OFF FROM NEWSPAPER 5/11 P1

(SE QTES 1 & 18 IN SECTION VllQ MEDINENTERPRISE NEWSMEDIA

CHIC•.. :c: DISTRIBUTION LLC NONE SPUN OFF FROM NEWSPAPER 5/11 N

(SE"•· .. OTES 1 & 12 IN SECTION VllQ MEDINENTERPRISE NEWSMEDIA

356 LIQUIDATING DISTRIBUTION 9/6 N G

357 FLAG JTURE PARTNERS G K-1DISTR/ P1 w ADDITIONAL INVESTMENT 216 L

(SE:' OTES 9 & 16 IN SECTION VllO DIV/INT

358 DISTRIBUTION 2/16 K

DISTRIBUTION 3/30 K

ADDITIONAL INVESTMENT L 360

-- ---

------

------

( St-

( 4)


A. B. c. D.

GROSS VALUE AT


o: :

379

( J - P) ( Q-W)

D.

( 4)


A. B. c.

GROSS VALUE AT


o;· :

·- ------

394

395

399

( 2) ( 4)




De: .';RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ---···

( 5)( 1) ( 2) ( 1) ( 2) ( 1) ( 3)

-- ---·····

AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

( Q-W)

TYPE DATE VALUE

CODE

( J - P) ------

GAIN

CODE

(A- H)

IDENTITY

(IF

PRIVATE)

(SE. , 0TE 17 IN SECTION VllO

391

392

NOR : ' =ooD GROUP

(Si":· ··.'.HES 17 & 21 IN SECTION VllO NONE ADDITIONAL SALE PROCEEDS

ADDITIONAL SALE PROCEEDS

5/5

5/8

J

J

c

B

393 ROM!.

(SE

· p JTE 17 IN SECTION VllO

NONE SOLD 5/5 J BONDHOLDERS

ADDITIONAL SALE PROCEEDS 6/29 J

BUFF

oTw:- '!VESTMENTS/NOTES

-- ----·· · · · ------

B.

( 1)


A. c. D.

GROSS VALUE AT


D:'..' GRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5)

--

404

___..

AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

(Q-W)

TYPE

DISTRIBUTION

DATE VALUE

CODE

( J - P) ------

7/24 0

GAIN

CODE

(A- H)

IDENTITY

(IF

PRIVATE)

405 ADDITIONAL INVESTMEMT 9/6 M

406 DISTRIBUTION 11/30 K

407

408

LEHIV

(SE.

3ROTHERS CO-INVESTMENT LP/CAYMAN AIV LP

· .OTES 9 & 16 IN SECTION VllQ

NONE 0 w INITIAL INVESTMENT

ADDITIONAL INVESTMEMT

9/29

11/20

N

M

409 DISTRIBUTION 12113 K

410 ADDITIONAL INVESTMEMT 12/26 M

411

412 CHE :

(Sr

RECEIVABLE:

cAKE PARTNERS

:OTE 1 IN SECTION VllQ

H1 K-1 DISTR P2 u

DISTRIBUTION

PARTIAL WITHDRAWAL

12126

1/3

J

P1

413 FAR/1· 'J CAPITAL PARTNERS

(Sf: .. :OTES 1 & 16 IN SECTION VllQ

G K-1 DISTR P1 u

414 AXIO

( SF

TERNATIONAL INVESTORS LLC

;OTE 1 IN SECTION VllQ

NONE P1 u INITIAL INVESTMENT 7/31 P1

415 THE''

(SF:

.,HEIM FUND LLC

PRO:._ _'.:)HARING (LINES 429-43 (SEE VllQ

---------

419

422

( 1)

( J - P)

( 2)

2/3

5/5


A. B. c. D.

GROSS VALUE AT


L'c' ·: RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -- ----· . ------

( 2) ( 1) ( 2) ( 1) ( 3) ( 4) ( 5)



( Q-W) ( J - P) (A- H) PRIVATE) -- ----·

ADDITIONAL INVESTMENT K

420 ADDITIONAL INVESTMENT 3/10 K


ADDITIONAL INVESTMENT K


424 DISTRIBUTION 12/28 0

425 RAU' ,_. ')RSES NONE L w

426 OP4C.

( s ,:oTE 5 IN SECTION VllO

NONE L w

427 OSC/

(Si

.-; SCHAFER PARTNERS 11

. · OTE 1 IN SECTION VllO

G K-1 DISTR P1 u

428 NOE .: 0oCEIVABLE - ELIZABETH REILLY NONE LOAN REPAID 1/3 K

429

PLAN FUNDS

- lr--1:_: • 0LDMAN SACHS CORE EQUITY

NOTE 4 IN SECTION

NONE SOLD 1/23 M c

430 --- Al\ ' .:;:CAN BALANCED FUND NONE SOLD 1/23 L A

431 --- IN - . ROWE PRICE EQ INCOME PT NONE M T PURCHASE 1/23 M

432 -- INC . ARSICO INTERNATIONAL OPP PORT NONE L T PURCHASE 1/23 K

433 GOLDMAN SACHS BANK DEPOSIT #4

( FKf., :: OLDMAN SACHS INST ASSETS FEDL PORTFOLIO #4)

c DIV/INT M T

------

439

( 2) ( 2) ( 4)



INCOME DURING END OF REPORTING 0; : . RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

_____ ..

( 1) ( 2) ( 1) ( 1) ( 3) ( 5)

-- --- - . - ··-

AMT CODE

(A- H)

TYPE VALUE CODE ( J - P)

VALUE METHOD ( Q-W)

TYPE DATE VALUE CODE ( J - P)

------

GAIN CODE

(A- H)

IDENTITY (IF

PRIVATE)

434 CITIBA> < INTEREST CHECKING ACCOUNT #2 A INTEREST J T

435

436

ENTE···

(SE

-l.ISE NEWSMEDIA, INC.

.·;oTES 1, 4 & 7 IN SECTION VllO E DIVIDEND SPUN OFF AVON DISTR LLC

SPUN OFF CHICOPEE DISTR LLC

5/11

5/11

K

J

437

438

SOLD

ADDITIONAL PROCEEDS

617

9/27

M

J

F

c

GATEHOUSE

MEDIA

AVO ·

.

. ··

'

.

:.TRIBUTION LLC A K-1 DISTR K v SPUN OFF FROM ENTERPRISE 5/11 K (SF :OTES 1 & 18 IN SECTION VllO NEWSMEDIA, INC.

440 CHIC: 'E DISTRIBUTION LLC NONE SPUN OFF FROM ENTERPRISE 5/11 J (Sc. :.!OTES 1, 4 & 12 IN SECTION VllO NEWSMEDIA, INC.

441 LIQUIDATING DISTRIBUTION 9/6 J c

442 BLAC · :lCK INC COMMON STOCK B DIVIDEND M T PURCHASE 5/8 K

443 CONC . ·?HILLIPS COMMON STOCK B DIVIDEND M T

444 FEDE . ORP COMMON STOCK NONE L T PURCHASE 10/5 L

445 GEN .: . JBE INC COMMON STOCK NONE SOLD 9/1 K A (S''.

". C #2)

-- ___ ........ ------

453

454

459

( 1) ( 2)

( Q-W) ( J - P)

4/7


A. B. c. D.

GROSS VALUE AT


DE.::C.::RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 2) ( 1) ( 1) ( 2) ( 3) ( 4) ( 5)


(A-H) CODE METHOD CODE CODE (IF

( J - P) (A- H) PRIVATE) -- ---·· · · · --- ------

449 LUCE -:-,- :-ECHNOLOGIES CONV PREFD NONE J T

450 MEDTi': >JIC COMMON STOCK A DIVIDEND L T

451 SONIC : ·'RP COMMON STOCK NONE M T

452 STRYh, c CORP COMMON STOCK A DIVIDEND L T

SUNC'.; : i:NERGY COMMON STOCK A DIVIDEND M T

TYCO :_ COMMON STOCK A DIVIDEND SOLD 9/1 K

(SE:: · ::>TE 4 IN SECTION VllO

455 UNITE . '.:CHNOLOGIES CORP COMMON STOCK B DIVIDEND M T

456 VALE::" '. NERGY CORP COMMON STOCK

(SE>- '/)TE 4 IN SECTION VllO

A DIVIDEND SOLD 9/11 L D

457 RENT: • 'ROPERTY PNC CHECKING ACCOUNT NONE J T

458 PACIF !FE INSURANCE POLICY NONE CANCELLATION OF POLICY 2/24 L F

ADDITIONAL SURRENDER VALUE J c

460 TRUS :· FKA TRUST E DIV/INT P1 T

( SE'' ·,oTE 4 IN SECTION VllO

461 --GC· _.- :iAN SACHS BANK DEPOSIT/CASH #5

( FKf'. _ :LOMAN SACHS INST ASSETS FEDL PORTFOLI0#6/CASH)

462 ---ABP·· T LABORATORIES COMMON STOCK

463 --ANHi:C'.JSER BUSCH COS INC COMMON STOCK

( #ID

------ -----

B.

( 1)

(Q-W)

473

474

475

476

479

9/1

Kimba M. Wood

A. c. D.

GROSS VALUE AT


DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

··

MAY, 2007

( 5) IDENTITY

(IF

PRIVATE)

AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) TYPE VALUE VALUE TYPE DATE VALUE GAIN

(A- H) CODE METHOD CODE CODE

( J P)- ( J P) (A- r ---------····

464 --- AUTOMATIC DATA PROCESSING COMMON STOCK SOLD 9/1 L E

465 --- BLACKROCK, INC COMMON STOCK SEE NOTE 15 IN SECTION VIII

466 --- FEDEX CORP COMMON STOCK PURCHASE 10/5 K

467 --- GEN PROBE INC COMMON STOCK SOLD K A

468 --- HEWLETT-PACKARD CO COMMON STOCK PURCHASE 9/29 L

469 --- HOME DEPOT INC COMMON STOCK

470 --- JOHNSON & JOHNSON COMMON STOCK

471 --- LUCENT TECHNOLOGIES CONV PREFD

472 --- MEDTRONIC INC COMMON STOCK

--- SONIC CORP COMMON STOCK SEE NOTE 15 IN SECTION VIII

--- SYSCO CORP COMMON STOCK SOLD 911 L D

--- WHITE MTNS INS GROUP COMMON STOCK

-- PLUM CREEK TIMBER CO INC STOCK

477 TRUST #2 FKA TRUST F INT/DIV/CIL DISTRIBUTION 2/1

( SEE NOTE 4 IN SECTION VllO

478 0DISTRIBUTION 311

DISTRIBUTION 318 N

DISTRIBUTION 3/9 N 480

L

---

( 2) ( 2)

. (Q-W) ( J - P)

493

494

MAY, 2007

( 5)

IDENTITY

(IF

PRIVATE) -----···-

Kimba M. Wood

A. B. c. D.

GROSS VALUE AT


DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

--- --- ---.. ·--··

( 1) ( 1) ( 1) ( 2) ( 3) (4)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAii'-'

(A- H) CODE METHOD CODE com

( J P)- (A- H:,

481 DISTRIBUTION 3/13 N

482 DISTRIBUTION 612 N

483 DISTRIBUTION 9/27 N

484 DISTRIBUTION 12/8 L

485 -- BLACKROCK LIQUIDITY FUNDS MONEY MARKET CLOSED 12/29 L

486 --- USA TREASURY BILL PARTIAL SALE 1/27 K

487 SOLD 2/21 N

COMMON STOCKS:

488 GENERAL ELECTRIC CO SOLD 2/21 L B-·-

489 --- TYCO INTL LTD SOLD 2/21 L

490 --- ALTRIA GROUP INC SOLD 2/21 L E

491 --- COSTCO WHOLESALE CORP SOLD 2/21 K D

492 --- PROCTER & GAMBLE CO PARTIAL SALE 2/21 N F

SOLD 6/1 N c

--- PROCTER & GAMBLE OPTIONS ( PREPAID FORWARD CONTRAcn DELIVERED SHARES 5/24 H1

( FORWARD CONTRACT EXPIRED)

-- WAL-MART STORES INC SOLD 2/21 L

496 --- CONOCOPHILLIPS SOLD 2/21 L E

495

497

498

( Q-W)

D.

1/3


A. B. c.

GROSS VALUE AT


D' .'·GRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 2,) ( 1) ( 2,) AMT CODE TYPE VALUE VALUE

(A- H) CODE METHOD

------

( 1) ( 2,) ( 3) ( 4) ( 5)

TYPE DATE VALUE GAIN IDENTITY

CODE CODE (IF

( J - PJ (A- H) PRIVATE)

------

SOLD 2/21 L D

SOLD 2121 L

( J - PJ

---EXY ·.''J MOBIL CORP

---AM'>' CAN INTERNATIONAL GROUP INC

499 --MB: ·.CORP TENDERED SHARES -MERGER

WITH BANK OF AMERICA

M

500 --- BJ, · · ')F AMERICA CORP RECEIVED SHARES 1/3 M

MERGER WITH MBNA CORP

501 SOLD 2/21 M

502 ---AP .. D MATERIALS INC SOLD 2/21 K D

503 --- AU - \t1ATIC DATA PROCESSING INC SOLD 2/21 L D

504 --Fi ' DATA CORP SOLD 2/21 K B

505 --- MIC ')SOFT CORP SOLD 2/21 M

506 --FF·: i'\OUP SOLD 2/21 L D

507 ·-· BR )L MYERS SQUIBB CO SOLD 2/21 L

508 ---JC· · · >ON & JOHNSON SOLD 2/21 L D

509 -·- MEf '.) HEAL TH SOLUTIONS INC SOLD 2/21 K D

510 --ME,; '< & CO INC SOLD 2/21 M

511 --ME'

-- ----

C TRUST #4)

COMy:_

------

515

( 2) ( 2)

3/9

( 4)


A. B. c. D.

GROSS VALUE AT


o,_ -.';RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 2) ( 1) ( 1) ( 3) ( 5)



( J - P) (Q-W) ( J - P) (A- H) PRIVAT -- ---- - --- ----

513 TRUS o FKA E INT/DIV/ J T DISTRIBUTION 3/1 0

(St

(SEE VllD

TRU;::>__J:: ( #-0 534

537

539

D.

( 1)




DF.'.'GRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

-- _____ ... ___ ------

( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5)

-- ----·

AMT CODE

(A- HJ TYPE VALUE

CODE

(J - P)

VALUE

METHOD

( Q-W)

TYPE DATE VALUE

CODE

(J - P) ------

GAIN

CODE

(A- HJ

IDENTITY

(IF

PRIVATE)

529 --FP! .. :-: OUP INC SOLD 2/21 K D

530 ---US. qEASURY BILL SOLD 2127 P1

531

532

ESTA .:_ACCOUNT NOTE 4 IN SECTION

---Bli . .ROCK LIQUIDITY FUNDS

A DIV/STTMNT

PROCEEDS

DISTRIBUTED

SOLD

716

6/30

J

J

533 ---OT'- .. '\ PERSONAL TY DISTRIBUTED 6127 L

FKA TRUST E DIVIDEND M T

(SF . ''0TE 4 IN SECTION VllQ

535 ---BL.·· . . · ROCK LIQUIDITY FUNDS

COl\lh . .•: STOCKS: 536 ---Gf ·

. . ''.RAL HOME LOAN MTG CORP

SOLD

SOLD

SOLD

SOLD

SOLD

SOLD

6/1 J A

6/1 J

6/1 J

6/1 J c

5/22 J

6/1 J

--

( #ID

547

548


A. B. c. D.

GROSS VALUE AT


Do< '. RIPTION OF ASSETS -----· · · · -

-- ----

546 --- CIS .. ' SYSTEMS INC

--- DE' :-.ic

--- E 11,· ::ORP

--- M;_- SOFT CORP

--- OF . :_ E CORP

--- TE . ; INSTRUMENTS INC

--- FF: .. ,'{OUP INC

--- JC;- ·:ON & JOHNSON

--- LIL: . · :. LI & CO

--- ME:''. · RONIC INC

--- ZllV · ''R HOLDINGS

--AT_. NC ( FKA SBC COMMUNICATIONS)

MUT,. ' c . FUNDS: --- IS'.- 'C:S TR - S&P SMALLCAP 600 INDEX FUND

--- Mi: . 1\P SPDR TR STANDARD & POORS

--- JE'. · · SON 20/20 FOCUS FUND

--- TH · J AVENUE INTERNATIONAL VALUE

TRUS -__15 FKA TRUST ( Sf::: \JOTE 4 IN SECTION VllQ

REPORTING PERIOD PERIOD

( 1) ( 2) ( 1) ( 2) AMT CODE TYPE VALUE VALUE

(A- HJ CODE METHOD

( J - P) ( Q-W)

D DIVIDEND L T


( 1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITY

CODE CODE (IF

( J - P) (A- H) PRIVATE) ------

SOLD 6/1 J A

SOLD 6/1 J A

SOLD 6/1 J

SOLD 6/1 J

SOLD 6/1 J

SOLD 6/1 J

SOLD 6/1 J B

SOLD 6/1 J c

SOLD 6/1 J

SOLD 6/1 J

SOLD 6/1 J B

SOLD 6/1 J

SOLD 6/1 J B

SOLD 6/1 J B

PURCHASE 6/1 K

PURCHASE 6/1 K

PURCHASE 6/5 L

549

550

551

552

553

554

555

556

557

558

559

560

561

562

563

COM(\<


A. B. c. D.

GROSS VALUE AT


D :· : GRIPTION OF ASSETS

564

565

566

567

568

-BL! .

MUTL; fUNDS:

----

591 --- JO:-. 30N & JOHNSON

( 1)

(Q-W)

(4)

Klmba M. Wood MAY,2007

A. B. c. D.

GROSS VALUE AT


D.·=:.:::;RIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) ( 2) ( 2) ( 1) ( 2) ( 3) ( 5)


(A-HJ CODE METHOD CODE CODE (IF

( J - P) ( J - P) (A- HJ PRIVATE)

----···

580 --- Mo:::·;·AN STANLEY

581 ---W'e:.: :>FARGO & COMPANY

582 --- Al.' '·iATIC DATA PROCESSING INC

583 --- Cl · ..•... SYSTEMS INC

584 --- FIR'.· .. OATA CORP

585 --- IN-.- · ORP

586 --- Ml:.=. ·SOFT CORP

587 --- OR : . _E CORP

588 -- FP'.. ,.,.

----

----

( 2)

598 RENT

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WOOD, KIMBA M 05/08/2007

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Report.)

See attached.

Kimba M. Wood - May, 2007 (Page 1 of5)

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

NOTEl

If there was either a partial withdrawal or no withdrawal from this S corporation or partnership during the reporting year, all K-1 activity (interest, dividends, capital gains, ordinary income, etc.) was netted together, and, if that net figure was larger than the required income threshold, it was included in Column B.(1) with Column B.(2) noting "K-1 DISTR" (K-1 Distribution). If the K-1 activity netted to a loss, then Column B.(1) was left blank and "NONE" was included in Column B.(2).

If the S Corporation or partnership interest was either sold or fully withdrawn from during the reporting year, the capital gain amount is included in Column D along with other transaction details. The remaining K-1 figures were netted together, and iflarger than the required income threshold, included in Column B.(l) with Column B.(2) noting "K-1 DISTR".

Both of the above approaches were obtained from Mr. George Reynolds, Financial Disclosure Examiner.

NOTE2

This bond is a zero coupon bond. Therefore, there is no interest paid to the holder. However, the financial institution does report Original Issue Discount (OID) to the holder and that is the amount that is included on this report. The cost of this bond was not available. Thus, all proceeds were considered gain when determining the gain code.

NOTE3

This is an investment account with a core cash account attached. All of the stock/mutual fund investments are listed separately on this report. Neither the income nor the cash balance at year-end met the threshold for reporting. However, since there are other reportable accounts at this financial institution, this account is deemed reportable.

NOTE4

The gain/loss on investments is calculated on a book basis not a tax basis.

NOTES

There are many investments in non-public companies. The estimated market values used for all such investments, unless otherwise noted, are based upon the current knowledge of the worth of such companies, discussions with the companies' management and company issued reports.

Kimba M. Wood- May, 2007 (Page 2 of5)

NOTE6 Some of the investments in non-public companies include an equity piece and a debt piece (note receivable). The two pieces are not reported separately in Section VII because the valuations of the companies already include both pieces.

NOTE7 For those entities which issued K-ls, ifthe K-1 netted to a loss but there was another source of income from the entity, the source of the other income is listed instead of "NONE". If there was K-1 income and an additional source of income, both amounts were summed to determine the code for Column B.(1) and both types of income were noted in Column B.(2).

NOTES Although there is an investment in this company, it is considered worthless. Therefore, there is no year-end value code reported in Column C.(1).

NOTE9 There is a limited partnership interest in this entity. Since the filer cannot "direct, influence or in any other manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity", Financial Disclosure Filing Instructions, page 35, the assets held by the partnership are not reportable.

If the partnership had a capital call for an investment in a specific company, "ADDITIONAL INVESTMENT" is noted in Column D.(1). The name of the underlying company is not listed. Further, ifthe partnership either returned capital or sold one of its investments and returned funds to the reporting family, "DISTRIBUTION" is listed in Column D.(1). Neither the name of the underlying company nor the gain amount is listed.

The entity's K-1 is considered the source document for all income from this investment (including capital gains/losses). All K-1 activity was netted together and if greater than the required income threshold, included in Column B.(1) with Column B.(2) noting "K-1 DISTR". If the K-1 activity netted to a loss, then Column B.(1) was left blank and "NONE" was included in Column B.(2).

NOTE 10 There are several Vestar and Sentinel Partnerships (See Lines 207-210 and 255-257 in Section VII). The companies they own are all listed separately on this report because the filer "can direct, influence or in any other manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity," Financial Disclosure Filing Instructions, page 35.

Kimba M. Wood- May, 2007 Page (3of5)

In each of the Vestar and Sentinel Funds, there is both a limited partner (LP) and general partner (GP) interest (each interest is housed in a different partnership). For purposes of this report, the K-1 information for the LP/GP interests of each Fund is combined and included on one line. This approach matches the way the Funds' portfolio companies are included on this report (the GP/LP interests are both included when determining the value code for Column C.(l)).

Each year, there is a K-1 from each of the partnerships. The K-ls summarize all of the ordinary income (loss), portfolio income, capital gains/losses, etc., for all of the underlying companies. To avoid double counting, if an underlying company was sold, the capital gain/loss is included on the line where the actual company is listed and is excluded from the K-1 income reported in Column B.(1) for each of the partnerships.

The remaining K-1 items were netted together. If the net amount was larger than the required income threshold, that amount was included in Column B.(l) with Column B.(2) noting "K-1 DISTR". If the K-1 activity netted to a loss, then "NONE" is included in Column B.(2). As a result, since all K-1 activity is accounted for at the partnership level, the underlying companies which are listed separately do not show any income in Column B.(l) (unless there is an item that is not included on the K-1).

Vestar I issued its final K-1 in 1999; therefore, there is no income to report. Also, as of the end of the reporting period, all ofVestar I's portfolio companies were divested. Therefore, going forward, it is no longer reportable.

Vestar V made its first investment in 2006 and hence it is now included on this report.

Of the Vestar Funds and the Sentinel Funds, only Vestar IV had a value on the books as of the end of2006. Therefore, there is no market value reported in Column C.(1) for any of the other funds. Because the Partnerships' portfolio companies are listed separately on this report, the partnerships themselves oftentimes show no market value.

NOTE 11 The only item remaining in this Trust is a small amount of uninvested cash.

NOTE 12 This Partnership distributed all of its assets on 916106. It filed its final K-1 in 2006. Therefore, there is no market value to report as of the end of 2006.

NOTE 13 The filer is the sole shareholder of this S corporation. The company was funded throughout the year in order to cover expenses. According to Dotty Abell, Financial Di r:h ur? fv0m1nP'."

Kimba M. Wood- May, 2007 (Page 4of5)

The company's assets are limited to office furniture, office equipment, a checking account, a money market account and a limited partnership interest which is listed separately on this report. The value used to determine the year-end valuation code was the checking/money market account balances plus the office furniture/equipment less accumulated depreciation balance from the 2006 tax return prepared by Price WaterhouseCoopers.

NOTE14 Dyersburg Corporation did not pay a dividend in 2006. However, the filer received a replacement check for dividends paid in a prior year.

NOTE 15 This stock was purchased in 2005 but was inadvertently omitted from the 2005 Financial Disclosure Report (FDR). Since the same stock was included elsewhere on the 2005 FDR, the 2005 FDR was not amended to include the purchase.

NOTE 16 This company's 2006 K-1 was not received by the May 15, 2007 Disclosure Report filing date. Therefore, the company's income has been estimated. Once the actual K-1 is received, an amended report will be filed ifthe income code based on the actual K-1 is different than the code reported in this report. This approach was deemed appropriate by Mr. John Staley, Financial Disclosure Office.

NOTE 17 This investment is made through either a Vestar or a Sentinel partnership (See Lines 313-318 and 375-377 in Section VII). Since the filer can "direct, influence or in any other manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity", Financial Disclosure Filing Instructions, page 35, the partnership's assets must be listed separately on this report. As a result, this company is reportable.

All transactions (investments, sales and related gain/(loss ), distributions, etc.) are reported for the company. Any K-1 income (excluding gain/(loss) on sales) attributable to the company, however, is included in the partnership's line. Ifthere was income received separate from the K-1 it is recorded in Column B. See Note 10 for more information.

NOTE 18 The Ending Capital Account value from the entity's 2006 K-1 was used to determine its year-end value code for Column C.(l).

Kimba M. Wood - May, 2007 (Page 5of5)

NOTE 19

This asset had no value on the books as of the end of the year. Therefore, there is no value code reported in Column C.(1). However, the K-1 reported income over the threshold level so the asset is reportable.

NOTE20

This cash sub-account is attached to margin debt. For monthly statement purposes, the investment bank nets the cash balance against the margin debt. For purposes of this report, the same approach is used. Therefore, we have not shown the cash account in Section VII. Instead, we have netted the cash balance against the total debt amount in order to determine the value code for the liability shown in Section VI.

NOTE21

This company was sold in a prior year. Therefore, there is no year end value reported in Column C.(l).

NOTE22

There is no asset value remaining on the books; hence, there is no year end value reported in Column C.(l). There was no K-1 income during 2006. Therefore, this investment is no longer deemed reportable.

NOTE23

This partnership is winding down. In 2004, its consulting business and its fund of funds business were sold. Those businesses made up the bulk of the partnership. Subsequent to the sales, the partnership changed its name to Cosmos Partners.

Milliman purchased the consulting business in a cash/note payable deal. Milliman will continue to make payments against the note in 2007 and 2008.

The amount used to determine the code for Column C.(1) was the estimated value of the outstanding Milliman note payments.

Date ___ S /_1_5 /_0_7 __ _


Page 6 of6 WOOD, KIMBA M 05/08/2007

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.

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.

Signature

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)

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

no reportable positios.) - judicial watch · on the basis of the information contained in this...

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