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

Transcription

1 Doherty_Rebecca_F 1

2 Page 2 of7 Doherty, Rebecca F. Ill. N 0 N-NVESTMENT N CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [Z NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I. B. Spouse's Non-Investment Income - lfyou were married during any portion of the reporting year, complete this sectwn. (Dollar amount not required except for honoraria.) [Z NONE (No reportable non-investment income.) SOURCE AND TYPE I. IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenl (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Louisiana State University 8/10/08-8/13/08 Baton Rouge, Louisiana Trial Advocacy Progr Travel, food lodging 5.

3 Page 3 of7 Doherty, Rebecca F. V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-3I of filing instructions.) l2 NONE (No reportable gifs.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [Z NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

4 Page 4 of7 Doherty, Rebecca F. VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructwns.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description Of Assets Income during Gross value at end of Transactions d.uring reporting period (including trust assets) reporting period reporting period (I) (2) (!) (2) {l) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclos.ure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (-P) Code 3 redemption) Day (-P) {A-H) (if private (Q-W) transaction) I. UBS Bank Deposit USA A Interest T Bank Hapoalim CD B Interest Redeemed 02/04 K Federated Market Opportity B Dividend K T Franklin Templeton Health None Sold 08/18 A 5. PIMCO Foreign Bond B Dividend K T 6. Allianz Health Care Fund None T 7. PIMCO Commodity Real Return A Dividend T 8. Franklin Templeton Founding Funds A Dividend T Buy 08/18 (add'!) 9. Franklin Templeton Foreign Fund A Dividend T 10. PIMCO All Asset A Dividend K T 11. Evergreen Asset Allocation B Dividend T 1 UBS Dynamic Alpha Fund B Dividend T 1 Toyota Financial Services A Interest Redeemed 01/08 K 1 Calvert Global Alterntive Energy Fund None T Buy 08/ Putnam Health Sciences Trust B Dividend T Buy 02/ Lehman Bro. Bank, Utah A Interest K T Buy 02/27 K 17. Oppenheimer International Bond A Dividend T Buy 08/18 I. Income Gain Codes: A =S 1,000 or less B =$1,001 -$2,500 C =S2,501 -S5,000 D =$5,00I- S 15,000 E =Sl5,00I - $50,000 (See Columns BI and D4) F =$50,00I -$ I00,000 G =SI00,001 - Sl,000,000 HI=Sl,000,001-$5,000,000 H2 =More than S5,000,000 Value Codes =$15,000 or less K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N=$250,001 -$500,000 0=$500,001-$1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q=Appraisal R=Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U=Bo ok Value V=Other W=Estimated

5 Page 5 of7 Doherty, Rebecca F. VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of filing instruc1ions. D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (4) (I) (2) (1) (2) (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value exempt from prior disclosure Code l div., ren Code 2 Method buy, sell, Month- Code 2 (A-H) or int.) (-P) Code 3 (Q-W) redemption) Day (-P) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction) 18. PIMCO Developing Markets Fund A Dividend T Buy 02/ Ivy Asset Strategy Fund B Dividend T Buy 08/18 K 20. Legg Mason Partners Intermediate Term M uni Fund B Dividend Buy K 21. Colonial Bank - CD A Interest Buy 02/16 K 2 Colonial Bank - CD A Interest Redeemed K I. Income Gain Codes: A =$1,000 or less B=$1,001 -$2,500 C=S2,501-S5,000 0=$5,001-$15,000 E =$15,001 -$50,000 (See Columns Bl and 04) F=$50,001 - $100,000 G =$100,001 -Sl,000,000 HI =$1,000,001 -$5,000,000 H2 =More th $5,000,000 Value Codes =$15,000 or less K=$15,001-$50,000 L=$50,001 -SI00,000 M =Sl00,001 -$250,000 (See Columns Cl and 03) N=$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =S,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessm ent T =Cash Market (See Column C2) U =Book Value V=Other W=Estimat ed '

6 Page 6 of7 Doherty, Rebecca F. VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate parto/report.) Investments listed in 2007 report, and shown as sold in 2007 are: Franklin Templeton Foreign Small Companies Templeton China CD-Washington Mutual Bank, CA CD-Countrywide, VA

7 Page 7 of7 Doherty, Rebecca F. 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 udicial Conference regulations. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND AND CRTh1INAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C

8 Doherty_Rebecca_F 2

9 Page 2 of7 Doherty, Rebecca F. Ill. N 0 N-NVES TMENT IN CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [Z NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 1. B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, comp/ere this section. (Dollar amount not required except for honoraria.) [Z NONE (No reportable non-investment income.) SOURCE AND TYPE 1. IV. REIMBURSEMENTS -transportation, lodging,food, entertainmenl (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PROVIDED PAID OR I. Louisiana State University 8/10/08-8/13/08 Baton Rouge, Louisiana Trial Advocacy Progr Travel, food lodging

10 Page 3 of7 Doherty, Rebecca F. V, GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp offding instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

11 Page 4 of7 Doherty, Rebecca F. VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) 0 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 (l) c. Gross value at end of reporting period (l ) (2) (2) Amount Code l (A-H) Type (e.g., div., rent, or int.) Value Code 2 (-P) Value Method Code 3 (Q-W) D. Transactions during reporting period (l) (2) (3) (5) Type(e.g., buy, sell, redemption) Date Month - Day Value Code 2 (-P) Gain Code l (A-H) Identity of buyer/seller (if private transaction) (4) 1. UBS Bank Deposit USA A Interest T Bank Hapoalim CD B Interest Redeemed 02/04 K Federated Market Opportunity B Dividend K T Franklin Templeton Health None Sold 08/18 A 5. PIMCO Foreign Bond B Dividend K T 6. Allianz Health Care Fund None T 7. PIMCO Commodity Real Return A Dividend T 8. Franklin Templeton Founding Funds A Dividend T Buy 08/18 (add'!) 9. Franklin Templeton Foreign Fund A Dividend T 10. PIMCO All Asset A Dividend K T 11. Evergreen Asset Allocation B Dividend T 1 UBS Dynamic Alpha Fund B Dividend T 1 Toyota Financial Services A Interest Redeemed 01/08 K 1 Calvert Global Alternative Energy Fund None T Buy 08/ Putnam Health Sciences Trust B Dividend T Buy 02/ Lehman Bro. Bank, Utah A Interest K T Buy K 17. Oppenheimer International Bond A Dividend T Buy 08/18 l. Income Gain Codes: (See Columns Bl and D4) Value Codes A =$1,000 orless F =$50,001 - $100,000 =$15,000 or less B =$1,001 $2,500 G =$100,001 $1,000,000 K =$15,001 $50,000 C =$2,50 I $5,000 HI =$1,000,001 $5,000,000 L =$50,001 $100,000 D =$5,001 $15,000 H2 =More than $5,000,000 M =$I 00,00 I $250,000 E=Sl 5,00l -S50,000 (See Columns Cl and D) N =$250,00I - $500,000 0 =$500,001 $1,000,000 Pl =$1,000,001- $5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V =Other W=Estimated

12 Page 5 of7 Doherty, Rebecca F. VII. INVESTMENTS and TR u STS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. C. Income during Gross value at end of Trasactions during reporting period reporting period reporting period (1) (2) (1) (2) (1) (2) (3) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (-P) Code 3 redemption) Day (-P) (A-H) (if private (Q-W) transaction) D. (4) (5) 18. PIMCO Developing Markets Fund A Dividend T Buy 02/ Ivy Asset Strategy Fund B Dividend T Buy 08/18 K 20. Legg Mason Partners Intermediate Term M uni Fund B Dividend Buy 01/17 K 21. Colonial Bank - CD A Interest Buy 02/16 K 2 Colonial Bank - CD A Interest Redeemed 08/13 K I. Income Gain Codes: A =S l,000 or less B =S 1,00 I - $2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns BI and 04) F=$50,001 - $100,000 G =$100,001 - Sl,000,000 Hl =Sl,000,001 - $5,000,000 H2=More th $5,000,000 Value Codes =$15,000 or less K=$15,00l -$50,000 L =$50,001- $100,000 M =$100,001 - $250,000 (See Columns Cl and 03) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More th $50,000,000 Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

13 Page 6 of7 Doherty, Rebecca F. VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate partofreporl) Investments listed in 2007 report, and shown as sold in 2007 are: Franklin Templeton Foreign Small Companies Templeton China CD-Washington Mutual Bank, CA CD-Countrywide, VA

14 Page 7 of7 Doherty, Rebecca F. 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 udicial Conference regulations. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C