william h pauley iii financial disclosure report for 2009

8/3/2019 William H Pauley III Financial Disclosure Report for 2009

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AO t0 ] FINANCIAL DISCLOSURE REPORT ~eportin G o v e r n m e n t R e q u i r e d A e t b ) t h e o f E t h i c s ! 9 7 8R e v . 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 0 u,s .~ app. )" lO l . l l l .)I. P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l) 2. Cour t or Organ iza t ion 3. Date of R e p o r tP A U L E Y I l I , W I L L IA M H . S O U T H E R N : D I S T P ,1 C T O F N E W Y O R K 05 /12/2010

4 . T it le (A rtic le IIl ju dg es in dica te a ctiv e o r se nio r sta tu s; 5 a. R epo rt T ype I cl~ ec k a pp ro pria |e p,. ,p e) 6 . R e p o r t i n g P e r i o dmag is t r a te judges i ndicate ful l - or p ar t - t ime)] N omination. D a t e 0 1 / 0 1 / 2 0 0 9U,S. DISTRtCT JUDGE(active) [] Initial [] Annual [] Final to1 2/3 l . /20095b. [] Amended Report

7. C ha m be rs o r O ffice A d d r ess 8. O n the ba sis o f the in fo r m a t io n c o n ta in e d in this R ep o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i o g t h e r e to , i t i s , i n m y o p i n i o n , i n c o m p l i a n c eUNITED STATES COURTHOUSE w i t h a p p l i c a bl e l a ~ s a n d r e g u l a t i o n s .500 PEARL STREETNEW YORK, NEW YORK 10007-1581 R e v i e w i n g O f f i c e r . D a t e

I M P O R E 4 N T N O T E S : The instructions accampanying this f~rm must be f!llowed. Camplete all parts,checking the NONE box for each par t where you have no reportable information. Sign on las t page.

1 . P O S I T I O N S . (Reporting indiuidual only; see pp. 9-13 of filing instructions.)[---] N O N E ( N o r e p o r t a b l e p o s i t i o n s . )

P O S I T I O N N A M E O F O R G A N IZA T I O N / EN T I T YI. Member of Board of Visitors Duke Univetsib, School ofkaw

- _ _ . .

I I . A G I L E E M E N T S . (Reporting individual only: see pp, 14-16 of f!ling instructions,) - - . - ~ i LJ~ N O N E (No reportable agreements.) ~~ ~ o ~ _

D A T E PARTIES AND TE~S1998 Continuation ~f payments agreement with fo~er law partner, Franklyn H. Snitow, and his law fim~, Snitow Kanfer

Holtzer & Mi[lus. LLP.


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FINANCIAL DISCLOSURE R E P O R T / Na ....f Person Re porti l lg D a t e o f R e p o r tP a g e 2 o f 1 1[ P A U L E Y I ll , W I L L I A M H .

05/IZ"2010

I lI . N O N - I N V E S T M E N T I N C O M E . (~e~,ora, ,g i , ,ai .ZUu.~ . , ,a~po.se; ~ee :~. t~-2~ o::ti .~ instructions.)A. Filers No n - In v es t men t In co me

N O N E (No reportable non-im~estment income.)

DATE SOURCE AND TYPE INCOME. (yours , not spouses)I . 2009 Sni tow & Pauley, a former law partnership winding-down i ts affai rs $3,081.00(cont inua t ion of payments agreement descr ibed in Par t II, l ine I)

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you were ma rr ied during any port ion of the report ing year , complete this sect ion.(t)oHar amount nol required ~rcept for honoraria.)

~ N O N E ~%ro reportable non-investment income.)DATE SOURCE AND TYPE

1 . 2 0 0 9 Self-Employed Licensed Real Estate Sales Person2. 2009 S el f -E mp lo y ed F lo r a l Des i g n er

I V . R E I M B U R S E M E N T S . .. . .. .. po~ , . , i, , . , Iodgblg , food , e n t e r t a i n m e n t .( I n c h ~ d c s t h o s e t o ~ ) p o u s e a n d d e v e n d e n l c h i l d r e n ; s e e p p 2 5 - 2 7 o f f i li n g i n s t r t ct i o n s .)[~ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . Duke Univers i ty School of A pril 1 6-1 7, 2 0 0 9 D u rha m , N C Bo ar d o f V i s i to r s M eet in g " lravcl . tbod, and lodging .L a w2. Duke Univers i ty School of Oct o b er 2 9 - 30 , 2 00 9 Du r h am , NC Board of Visi to rs Meet ing Tr a ve l , food , a nd l odg i ng .L a w3. G e or ge W a s hi ng t on U n i v N ovcn tbcr 1 0 -11 , W a shing to n D C M oo t C ou rt T r ia l Tr a ve l , food , a nd l odg i ngS ch o o l o f L aw 2 0 0 9


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F IN A N C IA L D IS C LO S U R E R E P O R T N~ of P .....R epor t i ng D a , e o f R e p o r tPag e 3 o f 1 1 P A t ~ . , } Z V m , W ~ L ~ , ~ A M H . o s ~ 2 / 2 o ~ o

V. GIFTS. a ,~t ,~sN O N E (No reportable g~s.)

S O U R C ~ D g S C R I P T I O N VALUE1 .

3.4.5.

V I . L I ~ I L I T I E S . (Includes those of *~ ...... d dependent child ........ pp. 32-33 of filing instructions.)N O N E ~ o reportable liabilities.)

C R E D I T O R D E S C R I P T I O N VALUE COOE1.2.3.4.5.


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F IN A N C I A L D I S C L O S U R E R E P O R T N .... fPerson R epor t i ng D a t e o f R e p o r tP a g e 4 o f 1 1 P A U L ~ :V I H , W I L L IA M H . 5 / 1 2 / 2 0 1 0V I I. IN V E S T M E N T S a n d T R U S T S --

N O N E ~ reportable income, assets, or transactions.)

D ~ s c f i p ti o n o f A s s e l s[

I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o a i n g p e r i o d o f r e p o r t i n g p e r i o d~)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n te x e m p l f r o m p r io r d i s c l o s u re Code ] d i v . , r e n t , C o d e 2 M e t h o d buy. sell, m n ~ d d l y y C o d e 2 Code I b u y e r , s e l l e r( A - H ) j o r i n t . ) ( J - P ) ~ C o d e 3 r e d e m p t i o n ) ( J - P I ( A - I I } 0fptivale~ :: ( Q - W ) t r a n s a c t i o o )

1 . C O M M O N S T O C K S2 . E X X O N / M O B I L A Dividend S o l d 08/25 /09 J D3. A X A A M E R I C A N D E P O S IT O R Y A Di v i d en d S o l d 08/25 /09 J D

S t t A R E S4. P R U D E N T I A L F I N L S R V S A Di v i d en d S o l d 08/25 /09 J (25. IB M A Di v i d en d S o l d 08/25 /09 J C

7. M U T U A L F U N D S8. A L G E R F D B A L P O R T F O L I O C L A A Di v i d en d S o l d 0 8 1 2 5 1 0 9 K B( A L B A X )9. D A VIS N Y VEN T U R E F l o . , N D C L A A Di v i d en d S o l d 08/25/09 K C( N Y V T X )

1 0 . D R Y D E N T O T A L RETURN B O N D F U N E A Di v i d en d S o l d 08/25/09 J AC L A ( P D B ~ % X )l ~ . D R Y D E N A C T I V E A L L O C A T I O N F U N D A Di v i d en d S o l d 0 8 , " 2 5 / 0 9 KC L A ( P IB A X )I2 . D R Y D E N I N T L E Q T Y F D C L A ( P J R A X ) A Di v i d en d S o l d 08/25/O9 K A13 . D R Y D E N S T O C K I N D E X F U N D C L A B Dividend S o l d 08f25/09 1,( P S l A X )14 . D R Y D E N S M C A P C O R E E Q T Y F D C L A A Di v i d en d S o l d 0 8 1 2 5 1 0 9 K B( P Q V A X )15 . F E D E f L , \T E D I N T E R N A T I O N A L V A L U E A Di v i d en d S o l d 08/25 /09 J BF U N D C L A ( F GF A X )1 6 . G O L D M A N S A C H S M I D C A P V A L U E A Di v i d en d S o ld 08/25 /09 KF U N D C L A ( G C M A X )17 , J . H A N C O C K U S GL O B A L L E A D E R S A Dividcttd S o l d 0 8 1 2 5 / 0 9 KG R O W T H C L A ( U S G LX )


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F IN A N C I A L D I S C L O S U R E R E P O R T N .. . .. . f P . . . . . R e p o r t i n g D a t e o f R . e p o r tP a g e 5 o f 1 1. . P A U L E Y I I 1 , W I L L I A M H .

0 5 / IZ / 20 1 0

VII . INVESTM ENTS and TRUSTS - i..,~. ~. .......... t i o , , s (Includes those o f spo . . . . . d dependent c h i l d r e n ; se e p t x 3 4 - 6 0 of f i ling instructions.)---] N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G ro s s va l u e a t e n d : T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e ~ s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d:: P l a c e " ( X ) " a f t e r e a c h a s s e t Amoun~ Type (e .g . , Value Value T y p e ( e . g ., [ D ate V a lu e G a in ! I d e n t i t y o fe x e m p t f r o m p r io r d i s c l o s u re ~ C o d e I , d i v . , r e n t , C o d e 2 l v l e t h o d buy, sell, ! r n m / d d ! y y Code 2 [ Code 1 } buyeriseller( A - H ) [ o r i n t . ) ( J - P ) C od e 3 r c d e l n p t i o n ) : I ( J - P ) [ (A-II)[ ( i f p r i v a t e] ( Q -W ) i [ ~ t r a n s a c t i o n )

1 8 . F U N D J E N E N I S O N c L A N A T U R A L ( P G N A X ) R E S O U R C E S A D ividen d S o td 08;25/09 K D1 9 . J D M O D E R A T E A L L O C A T I O N F D C L A A Dividend S o ld 08/25 /09 L( J D TA X )20 . J E N N I S O N U T I L I T Y F U N D C L A A Dividend S o ld 08/25 /09 K

(P R U : a X )2 1 . 3 E N I N S O N S M A L L C O . F U N D C L A S S A N o n e S o ld 08/25 /09 K( P G O A X )2 2 . D R Y D E N S T R A T E G I C V A L U E F U N D C L N o n e S o l d 08/25 /09 K

A ( $ U V A X )2 3 . S E L I G I N C O M E A . N D G R O W T I I C L A A Dividend S o l d 08/25 /09 J( S I N F X )24 . S E L I G S M C A P V A L U E F D C L A N o n e S o l d 08/25/09 K( ~ S C V X )2 5 , A G D A X - A L L I A N C E B E K N S T E I N H I G H A Dividend K T B u y 0 8 1 2 5 / 0 9 KI N C F D2 6 . M C G F X - A S T O R F U N D S M O N T A G & A Dividend J T B u y 0 8 ; 2 5 1 0 9 JC A L D W E L L2 7 . S M G IX - C O L U M B I A C O N T R A R I A N A Dividend K T B u y 0 8 . ! 2 5 1 0 9 KC O R E F D2 8 . G S F T X - C O L U M B I A F D S S E R T R I D I V A Dividend K T B u y 08!25/09 KIN C2 9 . D P L T X - D R E Y F U S H I G H Y I E L D F D A Dividend K T B u y 08/25t09 K3 0 . K D S S X - D W S V A L U E S E R I N C S M C A P A Dividend J T B u y 0 8 ! 2 5 1 0 9 J3 I . S G I IX - F IR S T E A G L E G L O B A L F U N D A Distribution K T B u y 08!25/09 K3 2 . I C H H X - F R A N K L I N / T E M P L E T O N A Dividend J T B u y 08/25 /09 JH A R D C U R F D3 3 . F N Y T Z - F R A N K L I N N Y T A X F R E E I N T A I n t e r e s t K T B u y 08/25 /09 KTR M3 4 . H F M C X - I lA R T F O R D M U T U A L F D M I D N o n e J T B u y 08/25 /09 JC A P

I , l n c o m c G a i n C o de s : A =$ |.0 0 0 o r lu ~s B - $ 1 ,0 0 1 - $ 2 ,5 0 0 C $ 2 . 5 0 1 - $ 5 , 0 0 0 D = $ 5 , 0 0 1 - $ 1 5 . ~ 02 . V a lu e C o des J = $ 1 5 .0 0 0 o r less K = ~ 1 5 ,0 0 1 - ~5 0 .0 (~ L = $ 5 0 .0 0 1 - $ 1 0 0 .0 ~ M = $ I 0 0 .0 Ol - $ 2 5 0 .0 0 0


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F I N A N C I A L D I S C L O S U R E R E P O R T ! Name of Person Reporting I D a t e o f R e p o r tPage 6 of 1 1 P ,U. t L F ~ V 111 , W I L L I A M 1 t . 0 5 ! 1 2 1 2 0 1 0

N O N E (No reportable income, assets, or transactiot~.)

D e s c r i p t i o n o f A s s e t s [ I n c o m e d u r i n g Gross value at end [ Tra~actiom during ~po~ing period{ i n c l u d i n g t m s l a s s e t s ) ~ reposing pe~od o f r e p o r t i n g p e r i o d(1) (2) (11 {2)P l a c e ( X ) " a t ~ e r e a c h a s s e t A m o u n t T yp e ( e .g ., Value Value T y p e ( e . g ., D a t e V alu e Gai n l d n m i t ye x e m p t l i o m p r i o r d i s c l o s u re C o d e I d i v . , r c n k C o d e 2 M e t h o d b u y , s e l l , i m m . ," d ~ y y { C o d e 2 C o d e 1 b u y e r / s e l l e r

[ ( A - H ) : . o r i n t . ) [ J - P ) C o d e 3 ~ d e m p t i o n )~

: ( J - P ) ( A - I I ) . (ifpri~tc{ ( Q - W ) ~ t r a n s a c t m n )3 5 . F D H I P I X - H A R T F O R D I N F L A T I O N P L U S A Interest K T B u y 08/25 /09 K3 6 . H S K S X - J P M O R G A N T R I N o n e J T B u y 08/25/09 JH I G H B R I D G E S T A T F D3 7 . I V Q A X - M O R GA N S T A N L E Y ] % W L A Di v i d en d K "r B u y 0 8 . 2 5 / 0 9 K

V A L U E E Q U I T Y F D3 8 . S B N ~ - L E GG M A S O N N Y M U N F D A Interest K T B u y 08/25/09 K

~39. L S G IX - L O O M I S S A Y L E S V A L U E F D A Di v i d en d K T B u y 08/25 /09 K4 0 . L I S F X - L O ~ A B B E ~ M U N I N C T R A Di v i d en d K T B u y 0 8/2 5 /0 9 KI N T E R F D4 1 . M G ~ X - M F S IN T L G R O W T H F D A Di v i d en d K T B u y 08/25/09 K4 2 . N E F J X - N A T I X IS A D V I S O R S M C A P N o n ~ J T B u y 08/25/09 JV A L F D4 3 . P C G ~ - P I O N E E R M I D C A P V A L F D A D ivide n d J T B u y 08/25/09 J~ 4 . R M U N X - R O C H E S T E R M ~ I F D A Interesa K T B u y 08/~5/09 K4 5 . R Y M F X - R Y D E X S G I M A N A G E D F U T A Di v i d en d J T Bu y 08/25 /09 JST~T~6 T G B ~ - T E M P L E T O N G L O B A L B O N D A Interest K T B u y 08/25 /09 KF DJ47.

4 8 . A N N U I T I E S4 9 . D I S C O V E R Y P L US C Interest M T5 0 .

5 1 C A S t l A N D C A S I t E Q U I V A L E N T S

I . [n g O m ~ G a i n C o d e s : A = $ 1 , 0 0 o r l e s s


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~am e o f Person R epo r t i ng [ D a t e o f R e p o r rFINANCIAL DISCLOSURE REPORTP a g e 7 o f ! I P A U L E ~ I I I, ~ ; V 1 L L I A I V l 1 1 . [ 0 5 / 1 2 / 2 0 1 0V I I . INVESTMENTS and TRUSTS - ~ .... ~, value, r ...... tious (Includes those esponse and dependent chitdrett; see pp. 34-60 of filing itlstr~

N O N E ( N o r e p o r t a b l e i n c o m e a s s e t s , o r t r a n s a c t i o n s .)Descr ip t i on of Asset s I n c o m e d u r i n g Gr oss value at end T r ~ s a c f i o n s d u r i n g r e p o s i n g p e r i ~(in clu d in g ~s~ a ssets) r epo sin g p er io d o f repo ~it~g perR ~

O) ~ (~) (t) I (2 ) (~) (2 ~ (3) i4) (5 )P la ce " (X )" a fte r e a ch ~ set A m o u n t ] T ype (e .g . , V a l u e ~ V a l u e T~e (e.g., D a t e V a k t c Gain Ide n t i~ , o fexemp t f r om p r ior d~sclosnr e C o d e 1 div., ren t , C ode 2 ~ Meth od bay, sell. r~medd!yy C o d e 2 C o d e I buyer/seller( A - H ) ~ or in t . ) (3-P) C o d e 3 r edemp t ion) (J-P) ~A-ll) ( f fp r ivn~e~ i Q - W ) ~ t r ansact i on)

5 2 . JP MORGAN CHASE A t n t e r e s t L T S o l d 0 8 : 2 5 / 0 9 Ktpart)

5 3. U.S. T~ASURY BILLS C I n t e r e s t O T S o l d I 0 / 1 5 / 0 9 L(part)

~4 . U.S. SAVINGS BONDS A I n t e r e s t ~ T

~ 55. AXA FINL LIFE INS (C~h Surrender B D i v i d e n d M TValue)5 6. AXA FINL LIFE I~S (C~h Su~ender A D i v i d e n d L TValue)5 7. WACHOVIA MONEY MA~T A ~nte rc st ~ TACCOST5 8. EVERGREEN ~IC~AL MONEY A Interest S o l d 0 8 / 2 5 / 0 9MANET F~D5 9. NEW YO~ STATE COLLEGE TUITION B Interest L T B u y I 2 / 2 3 / 0 9 JSAVINGS FUND PROG~M60 . WACI IOVIA A Interest S o ld 0 8/2 5 /0 9 J6 1 , T P M X X - R B C P R IM E M O N E Y M A R K E I A Interest K T B u y 08/25 /09 KF D6 2 . A C M X X - K B C M O N E Y M A R K E T A Interest J T B u y 08/25 /09 JO B L I G A T IO N S T R U S T6 3 .

64 . RETIREMENT ACCOUNTS

6 5 , 4 0 1 K P L A N I N G A Interest K T6 6 . I R A S C U D D E R A Interest K T6 7 . A L G E R C A P I T A L A P P R E C I A T I O N F D N o n e S o l d 0 8 / 2 5 / 1 3 9 JC L A ( A C , ~X )6 8 . J E N N I SO N G R O W T H C L A ( P J F A X ) N o n e S o ld 08/25 /09 J

2 . V a l t l c C o de s J = 1 t 5 , 0 0 0 o r J e s s K =515,001 - $50,~ L = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 ~ M = $ i 0 0 , 0 0 ] - $ 2 5 0 , 0 0 0


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FINANCIAL DISCLOSURE R E P O R T Nam e o f P erson R epor t i ng [ D a t e o f R e p a r rP a g e 8 o f 1 1 P A U L E Y I II , W I L L 1 A M H .

[0 5 /1 2 /2 0 1 0

V I I. IN V E S T M E N T S a n d T R U S T S - i ..... ,, v a t . . . . . . .. . . . ,ions (Includes those of ~p . . . . . d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )~ N O N E ~ qo reportable income, assets, or transactions.)

~. B. ~ C, D,~scfiption of A~ets I n c o m e d u r in g J G r o s s v a i u a t e n d T r a n s a c t i o n s d u r i n g r c p o ~ i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r c p o ~ i n g p e r i o d o f r e p o a i n g p e r i o dt~ (2) (D ] (2) 0) (2 )P l a c e " ~ K ) " a f t e r e a c h a s s e t A m o u n T y p e ( e . g . , Value ~ Value T y p e ( e . g . , D a t e Value G a i n : [dcnti~ ofe x e m p t f r o m p r i o r d i s c l o su r e C o d e 1 d i v . , r e a ~ C o d e 2 ~ M e t h o d buy, sell, amddd/yy C o d e 2 C o d e 1~ A - H ) o r J u t . ) ( I - P ) : C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - I I ~ ~ b u y e r / s e l l e r] ( i f p r i v a t e~ ( Q - W ) I t r a n s a c t i o n )

6 9 . J E ~I S O N M I D -C A P G R O W T t l F U N D N o n e S o l d 0 8/ 2 5 / 0 9C L A ( P E E A X )7 0 . D A V I S N Y V E N T U R E F L e D C L A A D ividen d S o Id 08/25/09 J( N ~ V T X )7 1 . G O L D M A N S A C H S T R U S T F ~D C A P N o n e S o ld 0 8/2 5 /0 9 J

G R W T H P O K T F O L I O C L A ( G S C GX )7 2 . J E N N 1 S O N H L T H S C I F D C L A ( P H L A X ) A D~vidend S o l d 08/25/09 J A7 3 . J E ~I S O N S E L E C T G R O W T I I F U N D C L N o n e 3 T S o l d 08/25 /09 JA ( S P F A X )7 4 . S E L I G C O M M & I N F O F D C L A N o n e S o ld 08/25 /09 .I( S L M C X )7 5 , W A C H O V I A M O N E Y M A R K E T FU N D S A lnterest S o l d 08/25 /09 J7 6 . U T S G O V T S E C E Q U I T Y T R U S T A Di v i d en d S o l d 0 8 / 2 5 , / 0 9 3 A7 7 . T P M X X - R B C P R IM E M O N E Y M A R K E I A Interest J T B u y 08/25 /09FD7 8 . A C M X X - R J 3C M O N E Y M A R K E T A Interest J T B u y 08/25 /09O B L I GA T I O N S T R U S T7 9 . A G D A X - A L L I A N C E B E R a N S T E I N H I G I I A Di v i d en d J "1" B u y 08/25/09I N C F Dg0 . M C G F X - A S T O N F U N D S M O N T A G & A Di v i d en d J T B~ y 0 8 / 2 5 1 0 9C A L D W E L L8 1 . B G N 1 X - B L A C K R O C K G N M A A Di v i d en d J T B u y 0 8 1 2 5 ! 0 9P O R T F O L I O8 2 , S M G I X - C O L U M B I A C O N T R A R I A N A Di v i d en d J T B u y 08/25 /09C O R E F D8 3 . G S F T X - C O L U M B I A F D S S E R T R I D I V A Di v i d en d J T B u y 0 8 / 2 5 1 0 9IN C8 4 . D P L T X - D R E Y F U S H I G H Y I E L D F D A Di v i d en d J T B u y 08,25/098 5. K D S S X - D W S V A L U E S E R I N C S M C A P A Di v i d en d J T B u y 08/25 /09

(Sec Co l m m C2 ) |J rBca~k Value V -Other W = E s t im a t e d


9/11

F IN A N C IA L D IS C LO S U R E R E P O R T Narae o f Pe rson R epor t i ng D a t e o f R e p o r lPage 9 o f 1 1 PA U L EY II I, W I L L I A M H . 0 5 / 1 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . e o . , . , v . t ~ e , t . . . . .. t ion .v ( I nc lude s those o f sp ouse a n d de p e n de nt c h i ldre n; se e p p . 34-60 o f f i l ing ins truc t ions . )

N O N E (No reportable income, assets, or transactions.)a. [ B . ! c. D.D e s c r i p t i o n o f A s s e t s [ I n c o m e d u r i n g . G r o s s v a l u e a ~ e n d T r a u s a c f i u n s d u r i n g r e p o r ~ i n g p e r i o d( i n c l u d i n g m a s t a s s e t s ) i r e p o r t i n g p e r i o d i o f r e p o r t i n g p e r i o d] (i) (2) (l) ! (2) (i ) (2) (3) ~4)P l a c e " ( X ) ~ a f t e r e a c h a ~ s e t i A m o u n t T y p e ( e . g . , V a I n e i Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t . C o d e 2 M e t h o d b u y , s e l l , m n ~ d d ; y y C o d e 2 C od e 1 b u y e r ; s e l l e r( A - H ) o r i n t . I i ( J - P ) i C od e 3 r e d e m p t i u n ) I J - P ) ( A - H ) ( i f p x i v a t ei i ( Q - W ) i t r a a s a c l i o n )

8 6 . S G I IX - F I R S T E A G L E G L O B A L F U N D A Dist r ibut ion J T Bu y 08/25/09 J8 7 . I C H H X - F R A N K L I N f F E M P L E T O N A D ivide n d J T B u y 0 8/2 5 /0 9 JH A R D C U R F D8 & HFMCX - H A R T F O R 3 ) M U T U A L F D M I . E A Di v i d en d J T Bu y 0 8 , 2 5 . ; 0 9

C A P8 % I I IP I X - t t A R T F O R D I N F L A T I O N P L U S A Di v i d en d J T B u y 0 8 . . " 2 5 / 0 9 JF D9 0 . H L L V X - JP M O R G A N S H O R T D U R A Di v i d en d J T B u y 08/25/09 21B O N D F D9 1 . H S K S X - J P M O R G A N T R 1 A D ivide n d J T Bu y 08/25/09 JI I 1 G H B R I D G E STA T F D9 2 . W O B D X - JP M O R G A N T R 2 C O R E B D A Di v i d en d J T B u y 08/25/09 J9 3 , L S G L X - L O O M I S S A Y L E S V A L U E F D A D ivide n d .I T B u y 08/25/099 4 . M G R A X - M F S I N T L G R O W T H F D A Di v i d en d J T B u y 08 /25 . ; 09 J9 5 . I V Q A X - M O R G A N S T A N L E Y I N T L A Di v i d en d J T B u y 0 8 . . " 2 5 / 0 9V A L U E E Q U I T Y F D9 6 . N E F J X - N A T I X IS A D V I S O R S M C A P A Di v i d en d J T B u y 08/25 /09 JV A L F D9 7 , P A G N X - P IM C O G N M A F D A Di v i d en d ,I T g n y 0 8 1 2 5 1 1 ) 9 J9 8 . P C G R . X - P I O N E E R M I D C A P V A L F D A Di v i d en d J T B u y 0 8 / 2 5 1 0 9 J9 9 , R Y M F X - R Y D E X S G I M A N A G E D F U T A Di v i d en d J T B u y 08~5109 JS T R A T1 0 0 . T A I B X - T A R G E T P O R T F O L I O I N T E R A Di v i d en d J T B u y 0 8 1 2 5 . , 0 9 JT E R M B D1 0 1 . T G B A X - T E M P L E T O N G L O B A L B O N D A Di v i d en d J T B u y 0 8 1 2 5 / 0 9 JF D

i 1. Income Gain C~bas: A :,$ 1 ,0 0 0 e r less B = $ I.0 ~3 1 - $ 2 .5 0 0 C :$ 2 ,5 0 1 - $ 5 . Y 30 13 :~5,001 - $t5.~0 E

lScc C o l u m n C 2 ) U = B ~ k V a ~ u e V ~O the r W


10/11

F IN A N CIA L D IS C LO S U R E R E P O R T N a m e o f P e r s o n R e p o r ti n g D a t e o f R e p o r tP a g e 1 0 o f l I P A U L E Y I l l , W I L L I A M H. " 0 5 / 1 2 / 2 0 1 0

V III. A D D IT I O N A L IN F O R M A T I O N O R E X P L A N A T IO N S .

N o l l e ,


11/11

F IN A N C I A L D I S C L O S U R E R E P O R T NameofPerson Repor t ing DateofRepor t IIa g e 1 1 o f 1 1 PAULEV Ill, W H ,L IA M H . 0 5 / 1 2 i 2 0 1 0IX. CERTIFICATION.

I c e r t if y tha t a l l i n f o rm a t io n g ive n a bo ve ( in c l u d in g in f o rm a t io n pe r t a in in g to m y spo u se a n d m in o r o r de pe n de n t c h i l tt rc n , i f a n y) i sa c c u ra te , t ru e , a n d c o m pl e te t o the bes t o f m y kn o wl e dg e a n d be l ie f , a n d tha t a n y in f o rm a t io n n o t re po r te d wa s wi thhe l d be c a u se i t m e t a ppl ic a bl e st a tu to ryp r o v i s i o n s p er mi t t i n g n o n - d i s c lo s u r e .1 f u r the r c e r t if y l ha t e a rn e d in c o m e f ro n t o u t s ide e m pl o ) Tn e n t a n d ho n o ra r i a a n d the a c c e pta n c e o f g i f t s whic h ha ve be e u re po r te d a re i nco mp l i au ce , ,~ t h th e p r o v i s io n s o f 5 U . S . C . ap p . 501 e t . s eq. , 5 I . I . S .C . 7 353 , a n d Ju d i c i a l Co n f er en ce r eg u la t i o n s .

S i g n a t u

N O T E : A N Y I N D I V I D U A L W H O K N O W I N GL Y A N D W 1 L F U L L Y F A L S I F IE S O R F A L L S T O F I L E T il lS R E P O R T M A Y B E S U B J E C T T O C I V Il ,A N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p. 1 0 4)

F I L IN G IN S T R U C T I O N SM a i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t t ee o n F i n a n c i a l D i s c lo s u r eA d m i n i s t ra t i v e O f f i c e o f t he U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c l e , N . E .W a s hi n g t o n , D . C . 2 0 5 4 4

william h pauley iii financial disclosure report for 2009

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