[E NONE (No reportable positions.)

Transcription

1 :: OIO Rev.1/2007 FINNCIL DISCLOSURE REPOR Report Required by the Ethics in Government ct of 1978 FOR CLENDR YER 2006 (5 U.SC. app ) 1. Person Reporting (last name, first, middle initial) Court or Organization BERZON, MRSH S U.S.C.. NINII CIRCUI 05/09/2007 itle (rticle IIIjudges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. CIRCUI UDGE - CIVE Sa. Report ype (check appropriate type) D Nomination, Date D Initial nnual D Final 6. Reporting Period 01/01/2006 to 12/31/2006 Sb. D mended Report 7. Chambers or Office ddress 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance 95 SEVENH SREE with applicable laws and regulations. P.O. BOX SN FRNCISCO, C Reviewing Officer Date IMPORN NOES: he 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., POS 0 NS. (Reporting individual only; see pp of instructions.) [E NONE (No reportable positions.) 1. POSIION NME OF ORGNIIONfflNIY (/ (""),..., C _, :::i:: : C:=:> ::z a- m 1'10 - O)::> > < -!rrn -, 1 c )., U1 m, GREEMENS. (Reporting individual only; see pp of instructions.) [E NONE (No reportable agreements.) PRIES ND ERMS 1.

2 FINNCIL DISCLOSURE REPOR Page 2of11 Name or Person Reporting BERZON, MRSH S Date or Report 05/09/2007 III. N 0 N-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of instructions.). Filer's Non-Investment Income 0 NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) NEW YOR UNIVERSIY HONORRIUM $ 1, B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) 0 NONE (No reportable non-investment income.) SOURCE ND YPE SELF-EMPLOYED IORNEY V. REIMBURSEMENS transportation, lodging, food, entertainment. (Includes those to spouse and dependent children. See pp of instructions.) 0 NONE (No reportable reimbursements.) SOURCE DESCRIPION 1. MERICN CONSIUION SOCIEY 6/15-6/18/06 - WSHINGON, D.C. PROFESSIONL SSOCIION CIVIY (RVEL, LODGING, MELS) NEW YOR UNIVERSIY 7/08-7/14/06 - NEW YOR, NEW YOR PROFESSIONL SSOCIION CIVIY (RVEL, LODGING, MELS)

3 ' ' FINNCIL DISCLOSURE REPOR Page 3of11 BERZON, MRSH S 05/09/2007

4 . ' FINNCIL DISCLOSURE REPOR Page 4of11 BERZON, MRSH S 05/09/2007 V GIFS. (Includes those to spouse and dependent children. See pp of instructions.) I NONE (No reportable gifts.) SOURCE DESCRIPION VLUE I. VI. LIBILIIES. (Includes those of spouse and dependent children. See pp of instructions.) I NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE I.

5 ' ' FINNCIL DISCLOSURE REPOR Page 5of11 BERZON, MH S 05/09/2007 VII. INVESMENS and RUSS.. income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. Description of ssets Income during Gross value at end of (including trust assets) reporting period reporting period (1) (2) (1) 11(X1 Place after each asset mount ype (e.g. Value Value ype (e.g. exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, (-H) or int.) (-P) Code 3 redemption) (2) (Q-W) (!) D. ransactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month - Code 2 Code 1 buyer/seller Day (-P) (-H) (if private transaction) 1. BN OF MERIC CCOUN Interest & NEW COMMON SOC. SELL 6/02 COC-COL COMMON SOC COMCS CORP. NEW CL COMMON SOC PEPSICO COMMON SOC 6. LSI LOGIC CORP COMMON SOC 7. SOURCE INERLIN COMPNY COMMON SOC 8. CORNING COMMON SOC M 9. BELLSOUH CORPORION COMM01' SOC SELL 9/26 D 10. EYSPN CORPORION COMMON SOC 11. NSR COMMON SOC 1 PUBLIC SVC EN GROUP COMMON SOC 1 VERIZON COMMUNICIONS COMMON SOC 1 VODFONE GROUP DR 1 SCHWB PREMIER EQUIY M 16. DREYFUS PPRECIION FUND B 17. DREYFUS EMERGING LEDERS FUND E L 1. Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 $15,000 E =$15,001 -$50,000 (See Columns Bl and D4) F =$50,001 $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 - $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 Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal V =Other S :::ssessment U =Book Value W =Estimaled

6 FINNCIL DISCLOSURE REPOR Page 6of11 BERZON, MRSH S 05/09/2007 VII. INVESMENS and RUSS -- D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of ransactions during reporting period reporting period reporting period (1) (2) (1) (2) (1) (2) (3) (5) mount ype (e.g. Value Value ype (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private (Q-W) transaction) (4) 18. DREYFUS PREMIER NEW LEDERS FUND E M 19. RS MIDCP OPPORUNIIES FUND E VNWGONER EMERGING GR OWII FUND 21. VN WGONER SMLL CP GR OWH FUND 2 SCHWB C MUNI MONEY FUND (SWEEP) 2 SCHWB C MUNI MONEY FUND (NON-SWEEP) c L 2 FIDELIY C M X FREE MONEY M(FORMERL Y FID. SPR N) F Pl 2 PSP#l CCOUN) E N 26. -IM GGRESSIVE GR OWII FUND - REORGOU 3/24 CL * IM BLUE CHIP FUND- CL REORGOU 3/24 * IM CHRER FUND - CL REORGIN *4 4/ IM CHRER FUND - CL SELL 4/21 M 30. -IM CONSELLION FUND - CL REORG IN *5 3/24 L 31. -IM CONSELLION FUND- CL REORGIN*2 3/24 3 -IM CONSELLION FUND- CL PRIL SLE 4/21 M 3 -IM PREMIER EQUIY FUND - CL REORGOU 4 4/07 3 -IM WEINGREN FUND - CL REORGOU 3/24 L 1. Income Gain Codes: =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 0 =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 - $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 Value Method Codes P3 =$25,000,001 - $50,000,000 (See Column C2) Q =ppraisal U =Book Value R =Cost (Real Estate Only) V =Other P4 =More than $50,000,000 S =ssessment W =Estimated =Cash Market

7 -- FINNCIL DISCLOSURE REPOR Page 7of11 BERZON, MH S 05/09/2007 VII. INVESMENS and RUSS income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. Income during Gross value at end of reporting period reporting period (1) (2) (1) (2) (1) mount ype (e.g. Value Value ype (e.g. Code 1 div., rent, Code 2 Method buy, sell, (-H) or int.) (-P) Code 3 redemption) (Q-W) D. ransactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code 1 buyer/seller Day (-P) (-H) (if private transaction) *5 3 -IM CPIL DEVELOPMEN 36. -IM INERNIONL SMLL CO FD CL 37. -IM L RGE CP GROWH FUND - CL REORG IN *3 3/ IM L RGE CP GROWH FUND - CL SELL 4/ IM GLOBL EQUIY FUND - CL 40. -IM MULISECOR FUND - CL 4/ IR#l CCOUN D M 4 -MERICN FUNDS WSH MUUL INV FUND - CL PRIL SLE E 4 -MERICN FUNDS MCP FUND- CL 4 PSRP#l CCOUN E N 4 -MERICN FUNDS GROWH FUND OF MERIC- CL 4/ MERICN FUNDS NEW ECONOMY FUND- CL 47. -MERICN FUNDS NEW PERSPECIVE FUND - CL 48. -MERICN FUNDS CPIL WORLD GROWH N INCOME FUND - CL 4/ MERICN FUNDS FUND MEN L NVESORS - CL 50. -MERICN FUNDS INVES CO OF 1. Income Gain Codes: =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 (See Columns BI and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 H1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000 E =$15,001 - $50,000 Value Codes =$15,000 or less =$15,001 - $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 Pl =$5, 000,001 - $25,000,000 Value Method Codes P3 =$25,000,001 - $50,000,000 (See Column CZ) Q =ppraisal U =Book Value R =Cost (Real Estate Only) V =Other P4 =More than $50,000,000 S :::ssessment W =Estimated =Cash Market

8 FINNCIL DISCLOSURE REPOR Page 8of11 BERZON, MH S 05/09/2007 VII. INVESMENS and RUSS.. D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.). B. c. Description of ssets Income during Gross value at end of (including trust assets) reporting period reporting period (1) (2) (1) (2) (1) Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, (-H) or int.) (-P) Code 3 redemption) (Q-W) D. ransactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code 1 buyer/seller Day (-P) (-H) (if private transaction) MERIC - CL 51. MERICN FUNDS WSH MUUL INV FUND - CL 5 -MERICN FUNDS INCOME FUND OF MERIC - CL 5 MERICN FUNDS INCOME FUND OF MERICN - CL 5 -MERICN FUNDS MERICN BLNCED FUND- CL 4/21 6/02 4/21 5 -MERICN FUNDS MERICN BLNCE FUND CL 6/ MERICN FUNDS CSH MG R OF MERIC CL 57. IR#2 F Pl 58. -MERICN FUNDS EUROPCIFIC GROWH FUND- CL 59. -MERICN FUNDS GROWH FUND OF MERICN CL 60. -MERICN FUNDS NEW PERSPECIVE FUND - CL 4/ MERICN FUNDS CPIL WORLD GROWH ND INCOME CL 6 -MERICN FUNDS FUNDMENL INVESORS - CL 6 -MERICN FUNDS INVESMEN PRIL COMPNY OF MERIC - CL SLE 6 -MERICN FUNDS CPIL INCOME BUILDER - CL 4/21 N G 6 -MERICN FUNDS INCOME FUND OF MERIC - CL 66. -MERICN FUNDS MERICN 1. Income Gain Codes: =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 HZ =More than $5,000,000 Value Codes =$15,000 or less =$15,001 - $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 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column CZ) Q =ppraisal V =Other S :;ssessment U =Book Value W =Estimated

9 FINNCIL DISCLOSURE REPOR Page 9of11 BERZON, MRSH S 05/09/2007 VII. INVESMENS and RUSS -- income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (1) (2) (1) (2) (3) (4) (5) (1) (2) Place " (X) " after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (-H) or int.) (-P) Code 3 (Q-W) redemption) Day (-P) (-H) (if private transaction) BLNCED FUND - CL 67. -MERICN FUNDS CSH MNGEMEN RUS OF MERIC- CL 68. CPIL CCOUN IN LW FIRM PRNERSHIP *I D Interest u 1. Income Gain Codes: =$1,000 or ess B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000 Value Cndes =$15,000 or less =$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 Value Method Cndes P3 =$25,000,001 - $50,000,000 R =Cnst (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q =ppraisal V =Other S =ssessment U =Book Value W =Estimated

10 FINNCIL DISCLOSURE REPOR Page 10of11 BERZON, MRSH S 05/09/2007 VIII. DDIIONL INFORMION OR EXPLNIONS. (Indicate part of Report.) *1 HE ERNINGS REPORED IN PR VII REPRESEN HE DISRIBUIVE SHRE OF PRNERSHIP INERES INCOME. *2 lm GGRESSIVE GROWH FUND CLSS WS REORGNIZED O IM CONSELLION FUND CLSS ON 3/24/06. *3 lm BLUE CHIP FUND CLSS WS REORGNIZED O lm LRGE CP GROWH FUND CLSS ON 3/24/06. *4 IM PREMIER EQUIY FUND CLSS WS REORGNIZED O IM CHRER FUND CLSS ON 4/07 /2006. *5 lm WEINGREN FUND CLSS WS REORGNIZED O lm CONSELLION FUND CLSS ON 3/24/2006. *VLUE N INCOME OF SSE LISED IN PR VII, LINE 7 OF PREVIOUS YER'S REPOR HS DECLINED BELOW REPORING VLUE.

11 FINNCIL DISCLOSURE REPOR Page 11of11 BERZON, MH S 05/09/2007 IX. CERIFICION. 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. --""' ij 17 NOE: NY INDIVIDUL WHO NOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) FILING INSRUCIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C