a. vjckee - judicial · pdf filej. ud. ge lisi, co.littee on financial disclosre page2 ....

15
0 " OJ ., ., : .. C' ·* Judge Theodore A. !JcKee Suite 20614 U.S. Courthouse 601 Market St. Philadelphia, Pa. 19106 = = = : (" ( ,. ., .. f September 4, 2004 a- " () :: ( c:> I Committe on Financial Disclosure :Z co m - ln One Columbus Circle, N.E. < -1r 1 m n 0 ( Washington, D.C. 20 544 Reply to August 4, 2004 Letter Dear Judge Lisi: This letter and te enclosed revised Section VI of my 2003 Annual Finacial Disclosure Report is sent in response to your August 4, letter to corect and amend the 2003 report 204 (and, where indicated te 2002Report ) as idicated below: 1). I have aended Section VII to reflect partial sales of the items mentioned in iJ 1 of your letter where appropriate. However , I am a bit confused as te letter states that i column "D: I lsted "the sale" of te items specified.However , lines 1, 8, 10, 19 and 4, 30do not list sales in Column "D." Rather , they either list purchases or are lef blank. \'here blank, The date specifed under column D(2) and the value code in D( 3) ae te dates ad codes fr the dividend listed in column B( 2). The only "sale" listed for te items refrenced in your I is \hole Foods at line 31, and I have chaged that enty to accurately refl et a full sale. 2).You note that on Pa VI, "page l , lines 1and 4, Column D(l) was lef blank but Columns D(2)-(4) were completed indicating a tansaction," and request the type of tansaction. This is confusing as, in 1) of your letter, you state that "lines 1, " 4, ... listed a sale of certain stock in Column D(l ). In fct, the transactions refrred to on lines 1 and 4 are payments of dividends a noted-in Column B(2) . .. . 3). I have listed "Dividend" under Colum B(2) to identify the type of income fr the Amount Code listed i Column B(l). 4). Corrected.on attached Amendment. - 5). You have asked me to provide the income type and amount code for the securities mentioned in 5. I don't understand the concer because none of tose compaies paid a dividend in 2003 ad therefore there is no income type or amount to provide.

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Page 1: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

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Judge Theodore A. !VJcKee Suite 20614 U.S. Courthouse

601 Market St. Philadelphia, Pa. 19106

= = = :;:o("") (/)

,.... ..,, ...,... fT1September 4, 2004 a- "' (;') :;:o,:: (')c::> I

Committee on Financial Disclosure ::>:JZ co m -l"Tln

One Columbus Circle, N.E. < -11r 1J

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Washington, D.C. 20544

Reply to August 4, 2004 Letter Dear Judge Lisi:

This letter and the enclosed revised Section VII of my 2003 Annual Financial Disclosure Report is sent in response to your August 4, letter to correct and amend the 2003 report 2004 (and, where indicated the 2002 Report ) as indicated below:

1). I have amended Section VII to reflect partial sales of the items mentioned in iJ 1 of your letter where appropriate. However , I am a bit confused as the letter states that in column "D: I listed "the sale" of the items specified. However , lines 1, 8, 10, 19 and 4, 30 do not list sales in Column "D." Rather , they either list purchases or are left blank.

\\'here blank, The date specified under column D(2) and the value code in D( 3) are the dates and codes for the dividend listed in column B( 2). The only "sale" listed for the items referenced in your I is \l\'hole Foods at line 31, and I have changed that entry to accurately reflect a full sale.

2).You note that on Part VII, "page l ,lines 1and 4, Column D(l) was left blank but Columns D(2)-(4) were completed indicating a transaction," and request the type of transaction. This is confusing as, in 1) of your letter, you state that "lines 1, "4, ... listed a sale of certain stock in Column D(l ). In fact, the transactions referred to on lines 1 and 4 are payments of dividends as noted-in Column B(2) .

.. .

3). I have listed "Dividend" under Column B(2) to identify the type of income for the Amount Code listed in Column B(l).

4). Corrected. on attached Amendment.

-

5). You have asked me to provide the income type and amount code for the securities mentioned in 5. I don't understand the concern because none of those companies paid a dividend in 2003 and therefore there is no income type or amount to provide.

Page 2: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

Judge Lisi, Com.'Tlittee on Financial Disclosure Page2

Accordingly, I left the columns you have inquired about blank. Where I sold stock for any of those companies, I listed the "income" information (i.e. "gain") in the appropriate space under Column D.

6). After reviewing my earlier reports, and account registers, I realize that the shares of "Staples" you refer to should have first been reported on my 2002 report. Please consider the following grid as an addendum to my 2002 annual report: .. .

ASSET I N C O M E VALUE AT TRANSACT!

DURIN G END ONS

PERIOD DURING

REPORTING

PERIOD

AMT CODETYPE CODE METHOD TYPE DATE VAL CODE GAIN C

STAPLES STOCK

STAPLES STOCK

STAPLES STOCK

STAPLES STOCK

STAPLES STOCK

STAPLES STOCK

A DIVIDEND J

JT

JT

JT

JT

T

JT

BUY

BUY

PART SALE

BUY

B UY

5/212002

61312002

7/212002

75/2002

5/1/2002

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7). Corrected on attached An1endment.

ASSET TRANSACT!

ONS

DURING

REPORTING

PERIOD

TYPE DATE VAL CODE GAIN C

CISCO

8). You refer to several assets in 4J 8 that were listed in 2002, but not 2003. I am hereby amending the 2003 report as follows:

I N C O M E

DU R I N G

PERIOD

VALUE AT

. •Et-ID ·• <

AMT CODETYPE CODE METHOD

A DIVIDEND J T

There were no purchases or sales of CISCO during 2003.

The remaining securities inquired about in 1J Sdeclined to the the point of exemption from disciosure as follows:

Page 3: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

Judge Lisi, Committee on Financial Disclosure Page 3

Calvert Appreciation Fund (X) Calvert Ariel Fund (X)

DISNEY (X) ML Biqtech Mutual Fund (X) Goldman Sachs TollKeeper Fund (X) Dupont {X) Phoenix Bal Fund (X) Phoenix Tax Exempt Fund (X) Phoenix Balanced Fund (X)

I believe (his responds to each of th concerns expressed in your letter and will serve as an amendment to m 2 3 re o 1an ,romy 2002 report.

. .. ;

Page 4: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

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Page 7: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

____________ _ Date. ____ _

.--&Q1_:-v;:���i "'v.;_f-<1:,, '''.2'1"�2.:riiA!&ir';ij!J:l;,f;t,

POS:CJQ:i AME OF ORQANJZATION/EN!TIY

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Report Required by the Ethics FINANCIAL DISCLOSCRE REPORT · in Government A.ct of 1978

Calendar Year 2003 (SU.S.C.npp. §§ 101-111) l. Person Reporting st na.'Ue, First name, :JJ::dle initi?J) - 12. CourtorOrgaoi.z.at:cn

McKee, Theodore .4- ' ' Third Circuit

4. Titre (ArtidC Ill Judges indicate active or senior status; 5. ReportTypc (check appropriate type)

magfatra'J!jndges indicate fu:U- or part-time)

Ju ge _

@ Am:m.aI 0 Final

3. Date of Report

6130/2004

6. Reporting Pedod

!1:12003

"' 12/31/21){)3

7. Chambers or Office Address 8. On the bnsis of the infonnatian contained in this Report and any

20614 U.S. CotL'thousc modifications per ning thereto, it is, in my opinior::, in con1pliance with applicnble laws ruid regulations,

601 Marketstreet

Philadelpha, Pa. 19106 Reviewing Officer

ns ac:U)mpanying th:.s form n::.ust b fullowed. Complete all parts, checidng the NONE Cox for each part

tion. Sign on last page,

L POSffiONS. (Reporting individual only; see pp. 9· 13 offilillg instructions)

CJ NONE (No reportable positions.) ·

G-..ueral Partner Pujlree Associat.es

2. Board of Trustees Edna McConnell C:ark Foundation

3. Director Fox Chase Cancer Center

4. Advisory Board Member City Year C--reater Phila<J.s;:lphia

Advisory Board Barristers Association of Philadelphia

ll AGREF.MENTS. (Repor'Jng individual o.nly; see pp, 14-16 of filing instructions)

!ti NONE · (No reportabte agreemwt.)

1.

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rn ::! o> .,,r

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2

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Page 8: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

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SOURCENJDTYPE

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GROSS INCOME

SOLACE AND TYPE

SOURCE DESCR;.."l'flON

2.

$644) Airfare and Lodging rela:e:! :.c participatio:: in panel a: Sum:furd Lav,· Schoo! (f-eD. 24-26, 2003.

FINA.c""ICIAL DISCLOSURE REPORT Name of Person Reporting

I! li:cKee, Theodore A

Date of Report

m NON-INVESTMEi'\fT INCOME. (Reporting inaividua1 anuspame; see pp. 17.2• offiling instructions)

A. Filer's .Non-Investment Incom

NONE - (No reportable non-investment income.)

!. 2003 Presbyterian Medical Cente::-

(.,vour , :J.?t spouse's)

2C03

Administrative Office Pa. Courts vested reti:re:n.em from prior sta:e court approx. 12,000-

judgship

B. Spouse's Non-Investment Income - (liyou t>.'Cre married during any portion of the reporting year, please complete this section. (dolla: amount not required except fo:- honoraria)

D NONE · (Noreportahlenon·inv.,;tm !llincome.)

1.

IV. RF.JMBl:RSE."VJENTS -111UlSpmtation, lod(;ing, foo:!, entertainment

(Includes these to .spouse and dependent c:hlldre:'L See pp. 25 27 ofiruitruction.s,)

..J N01"'E · (No such reportable reimb•m"ments.)

L \;oi:ed Stllles State Departmeot (maroh 17-18, 2003). Reimburse room a."l.d bO'ilrQ. expenses incurred while making official visits to officials: in ($3CO). Ghanian governmen while traveling in Ghana

2. U,S, Court of Appeals for Third Circuit ($3,058) Travel, room and board pertaining to cou,_'1 sitting in Virgin Islands A.pril 28 May2, 2003_

V .S. Court of Appeals for Third Circuit ($365.) Court retreat - rootn and board {11.1ay 5-6, 2003),

4. U.S. State Department ($2,000). Room, board and related expenses ncludiag required vaci.inatio;:c; for visit to Ghana as part ;Jf official ]'.ldicial delegation {Sept 22 M Oct 3

5. Starifoni University

6. Edna }£cCor.net: Clark Foundutil"'Jn

Page 9: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

PESCRJPTIQN

FfNANCL.\cL DISCLOSURE REPORT Name of Person Reporting Date of Report

McKee, Theodore A 6130i20J4

IV. REil\IBDl;<SEMENTS tronsportation, 1'>dging, fuod, en:e:tainmem.

(fncfodes fuoso to spouse and dependent children. See pp. 25-27 oft:lstructions.)

NONE (No such reportable reimbursements.) -

7. Saine as above reL-z:bnrse travel to l\'YC July 1M2, 2003 ($204)

Same As above Tru'tees meeting, tmvcl ro NYC, Sept !6-17, 2003 ($204.}

9. Same as Above lodging pert<IB:hg t-0 T=t= Meeting in NYC Dee 16-17 ($115) travel paid fur directly by Foundatior..

10.

Page 10: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

,SOURCE

CREDITO]& DESCRIPTION

ANCL-\L DISCLOSURE REPORT Name of Person Reporting

McKee, Theodore A

Dare of Report

613012004

V. GIFTS.

NONE

(Includes those to spouse and dependent children. Se:e pp, 28 3 l ofinstructions.)

- (!'lo such reportable gifu.)

!.

DESCRJPTI01'

VL LL>\.BIIJTIES. (Tu eludes those of spouse and dependont children. See pp. 3Z-34 of instructions.)

C NONE (No rewiable liabilities.) -

1. Commev::ial Bank Credu Ca:d

VALUE C,Qllli

J

Line of Credit K

Page 11: A. VJcKee - Judicial · PDF fileJ. ud. ge Lisi, Co.littee on Financial Disclosre Page2 . Accordingly, I let the columns you have inquired about blank. here I sold stock or any of those

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FIN'ANCIAL DISCLOSURE REPORT Name of:Person Re;:>orting Date of Report Page 1 of3 McKee, Theod( rc A 613012004

VIL mvESTIVIENTS and 'IRUSTS income, y,;jue, ITTmSCa ions J.h:)te cffae spouse aud depeadeni cli.fo:iren. See pp, 34-57 of filing icstructioos.)

B.. c Jncorae during C-::uss vu!ne at ttA of Transac:fcns during re period

Descrir.r!.io:t ;;f Assets rep:::t:ng patiod reporting per!oC(inclmfu:g t:ust ausets) net exempt trorn dmclos�-e(I) (2) (2) (!)

(2) (3) (4) (5)Place "(X)" after each asset exempt Amo<mt {e.g. Valae Vol Type (e.g. Date: Valu.e Identitycli· from prior disclosur-e Codo I tli\'. rent or Code2 :.1ethod buy, sell, Mc:>tll - Code2 C:::de hliyertseller

(A-H) int) C-Ode 3 merge:, Th\Y \rl'privatetrans:actlon)(Q-W)

DNONE (No re?')rtab]e inw:ne, assets, ot trnusaclions)

CEN"J"E,'l: CO.MIJON STOCK Dividend J T 118 J

A BlJ'Y 119 J

3. CENTEX· A BUY J

CENTEX A Dividend T 4110 J

5. A Dividend ) T FL"LSALE 6/l9 J T

CHA "ITEM C COMMON (SEE SECTION Vlilj A Dividend FL1L 10120 1 T SALE

CARDINAL HEALIB CORP STOCK A Dividend

CHlCOS A DiviC:e:nd

9. CH!COS A Dividend

JO. CH!COS A Dividend

COCA COLA (SEE SEC VID) A Dividend

12. MERCK CORP (SEE SEC VII:) DividenC

13. INTEL CORP. (SEE SEC \.1ll) A Dividend

14. DRHORTONINC. A Dividend

Dividend ·IS. DO MINT SOC JAL INDEX FUND A

Dividend16. FTI CONSULTING A

Dividend17. JOHNSON AND JOE.'ISON A

J

J

l

J

J

J

1 ""

T

T

T

T

T

T

T

BUY

BUY

BUY

BUY

J T

J T BUY

BUY

10/13

J013l

12i4

12111

m

3/12

J.

J

J

J

J

T

T

J buy !0113 J:9ividenrl18. LEN"NAR CORPORATION A

-s-.•::v1:.;)2500 l5,'.JC1-S15',00 15.:< lG1-S5':.DOO fSet." .¢0ii:.."Tl:IB Btaru!TI4--·, "" 81 OOJ�J S! ;O!Jl.l,QO{' -HJ ""Sti'.lOC"OOl-$5,C·}:,0'.>0 :!;<::.2 "" f..--<;_o $5,00D:®O

.

'2."Viluo- C>:>des· -.

SJ 5;!XH-$5G,0Df1 =-SSO,OOJ 1.J '..'.D,S'il) =$700.00 i-S:SD,V(l.(1 Cl and-D31

.· =-£500, 001-$ lJJOD .om; Pi "Sl,2'.l\l,UOt-SS,ttlGJXit ""':r: -000. 0(.' }- 25 _(.(1Q '00:;

?3 = :s::s:obb,o.;', 1-ssr .uoo,tro!J ,,., Skioc<-' than $5{J;OOO,OOO (• "' .''.pp:11fa2: R "'-Cost :R<.":1 Es :at Onl;

= 3 :ii: '',,/;;:ln;: Y =Orfa�;

I

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. A

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(l) l (2) (I) tram dise.nmlJte

Type

I

A

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FINANCIAL DISCLOSURE REPORT Date of Report1\ ame of Persou Reporting

Page2 of3 !vfcKee, TheodoreA 613012004

Vll INVESThIBNTS and TR.USTS - income, valu.e, trnt:Scations (includes U:.:rne of the spouse ar.ci & nden! ch.il:l.rcr.. See pp. 34.57 uffilin.g ins.trucifo;;;s,)

B,. c. lnceim.e dmi:ag Gross value tit end cf Transactions duri:lg reponing period :'.)e;s{:riptio:i. of' A.stets repcrtillg period """''""" rmriOO {i;o,cluding 1nist assets}

r :wt exem:;;: ('.) (2)

Place (Xl after each asset e¥empt from prior C.lsoloS"'.t.re

(e.g,Type Date:\'alu.e VolueA."!loi::Jt v- Grun Ide:ntty of buy, sell, buyer/seller

(J-P) C00.3 -· Dey l (A· ('if private trru::i cn)

Month-Code2 Mcllrod Co®l div, Coderent or

(A-ff) int,) reclemi;:tiGn)(Q-W)

19. MBNA CORPORATION A Dividend J T BLY 1n J

20. MBNA FULL 10113 J A

21. MOBILITY ELECTRONICS INC J T BUY 10120 J .

22. MOBJ.IZJY ELECTRONICS INC T BUY 10/31 J

23. MOBJLITY ELECTRONICS T BliY 1115 J

24. NETEA.SE.COM lli'C BliY 1/27 J . . . • '

25. NETEASE.COM NC

26. SLM CORPORA:ITON

27. SSGA TIJCKERJ0A'\ REIT FUND

28, . TELEFON DE MEXICO

29. TELEFON DE MEXICO

30. WHOLE FOODS

31. i'iHOLE FOODS

,.'"' STAPLES

33. BEN AND JERRY'S

34. DRESENER RCM B!OTEC1iMUTUAL FIJ!>'D

35. CITIZENS CORE GROWTH FUND (SEE SECT VllIJ

36. CITlZENSEMERGlNGGROWTHFUND

Dividend J T

A Dividend J T

A DiS!ribution

A _pistr:lbution

J T

J T

A Dividend J T

A Dividend

A Div de;od

A Dividend J T

A Dividend J T

FOLL SALE

BUY

BUY

BUY

FOLL SALE

BUY

SELL

.

2128

1/24

ll:l

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6123

J

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se.e:Colonµls-3: ar.-::lD4) F "'"i5Q,00;.-$;0DJXJ\J_ G "" lG'.LCDl;S:.::r::;G.000 Ri "'Sl,'.D!){l,V l- 5.;00C,S'OG - H.:; .;;-· ;�fore:.'fm.n 5:5.·0;;1})'.f:J.0 ::. Value C4tiet = $'\5.00:'! vr hs:: J ""t.i:5·,0G-!.'.-S5H,DOD L ,,,,550,.:xn toG,?((: lvf ""'S:'..G'.l_:no:-s::s:o,oo.c

- s:: c cilu:ntl.$ c; ar;C �3) s ""' S2'iU,U'IC-150Q,DilO o = E:':l\'.<,eor-S:.ooG.ooo ?.;:. =Si·1oN iJMn S50;POC•.000

Q "'"J\pf>rl!J3,d ""C;}Sf(R«il Est*-f 0L}'l -"'Assetsment

'[ =.500.L \ C..Eio" \ ·

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I

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. A.

(!) (2)

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(!) (2) (1) I

I (2) (3} (4)

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FINANCIAL DISCLOSCJRE REPORT Date of Report Name c.f Person Reporting

!-1cKee, ::heodore APage 3 of3 613012004

··Income, '>u.11.w, trans:ca:io:Js (inc!u-ies those oftlw spouse and depec:i-- t cl-.Jtren. See pp, 34-57 of 5lirtg icst:uC.tiou.;.) VIL lNVESTMF.NTS and TRUSTS

B. c. l'.l•

Income dm:ing Gross vnlne at end cf f Tn:nsactions ::ci:ig report.ingperiodIk-Script[C>fl of A:EeiS jreporting period reporting perioci (:iuifod.IDg assets)

lJ :::ic'; e.>..empt from. disclosure

. Place "(Xt afu:r .each asset exen:p from prior disclosure

Amont Co& J (A·h)

'?}'p::- (e.g. div. WlLOr int.)

Value Coli 2 (;.;>)

Value Method Codo3 (Q-WJ

Tl'JX' (e.g. buy, •el n:erger, redem;1tlon.}

Date: Moo.th

Day

Value Codd O·P)

Garn Cade

(A-L')

:icientity of bcyerls.eller (if private trans:aciicn)

37. C!T!ZENSGLOBALEQU11Y A Dividend J T

38. MFS EMEREG!NG GROWTH FLW (SEE SEC. Vl!Q

A Dividend J T

39. AME!CAN WA$!fillGTON MUTUAL FL1''D (SEE SEC \ill!) -

-M Dividend J T

40.

41.

EURO PACIFIC GROWTH FL'ND

REEBOK CORP

A

A

Dividend

Dividend

J

J

r

T BUY 9.14 l

J. Cork:E; -_B ""'to/,C�::: ·- 2,5C:'. D =_s:::,ou; $15,UOL'

'(S::e.Cbit.ntls 31 tnd D4! f _,_,, s::sc,oc.1 s;.10,-o'o _G "' J1'.l0,0t:1-£l,_,DfKt0-0D B.1 "'Sl,000,COl :?5,0DV,UOO rr:· "";:-:rwe thrm sJ1m,i,:060 \:;Liu,: Co2ks· "" 11 J 5J){if! of it%s K "°':S15;®l•$:_5QJJl)D ""55(: .OU l '\:'. 00.GOf.1 �� ""-s·:·uG_hG1->:!5D,00'0 :&,e.Col:: .s Cl nn-:i D3:1 N "-$250,00D-S5iiD;CCC 0 '°' $500 00:1 S.I,\.IDV.000

P.3 =-S25.0f!U.D01-S5i,'}l\iCJ,00(

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THEPOSIDON IN MFS EUROPE AND AMERICAN WASHJNGTON 1\'ERE ALSO INADVERTENILY 0Mr!Th1l FROM PRIOR REPORTS. •·

THEY ARE EELD IN A'IACCOUNT THAT IS ;,,!Al\AGED BY A BROKER IHA VE NOT BEEN INVOLVED JN ANY CASE WHERE ANY OF THESE ENTI11ES WERE INVOLVED.

!HAVE PREVIOUSLY EXPLAINED THE PARTNERSHIP, 'PUJKEEASSOC" DISG' OSED UNDER "POSillONS" THOSE EXPLANATIONS CONTINL1' TOAPPLY

ADDIDONAL 2002 SALE -INTEL CORP. ON .JUL y 2, 2002, l sow' ALL TI-IE SHARES I THEN OWN'ED OF INTEL STOCK, THE v ALUE OF THE SALE wAS CODE 'J" AND THE GAIN

' '

Dute of Report

VIlL

'

ADDIDONAL INFORJVIA.TION OR EXPLANATIONS

FINANCIAL DISCLOSURE REPORT

McKee, Theodo:e A 6/3012004

Name of Persoo Reporling

EXPLANATION FOR CHATIBM J:-!C IN PART VJl INVES1'.MENTS;

CHATIEM INC COMMON STOCK IS LISTED HEREAS A Fuli SA2.Jl, BUT IS NOT SHOw'N JN MY 2002 REPORT. IN PREPA.Rh'iGTHIS REPORt ! DISCOVERED THAT II WAS !NADVERTENTL Y OMITTED FROM THE 2002 REPORT. IN 2002 !BOUOG'r.."7 SHARES ON7/24 FOR AVALUE CODE OF J. THE VALUE AT IHE END.O F 2002 WAS J, INCOME DURING 2002 WAS A CALCULATED USJNG "'f' METHOD.

PLUASE CON SIDER THIS DECLARATION AS AN AMll'NDMEl'1'! TO .MY 2002 REPORT.

EXPLANATION FOR C!TIZENS HOLDINGS · !',,lFS "1JRDPE FUND • AlVIERICANW ASHIKClTON MUTUAL INVESTORS FUNDINC

'iliE THREE CITIZENS MIYJ1JAL FUNDS LISTED ON SECTION Vii WERE INADVERTENTLY OMJTIED FORM MY 2002 REPORT. THEY WERE, HOIN'JNER :JISCLOSED ON PRIOR REPORTS.

WAS CODE "A." IN COMPLETING THlS REPORT I DISCOVERED THAI SA:ll WAS OMJTIED FROM THE2002 REPORT EVEN AS MIENDED OK NOVEMBER 19, 2303. PLEASE ACCEPT THIS ASA"-' AMENDMENT TO THE 2002 DISCLOSURES.

EXPLANATION OF MERK, INTEL, A.'>'D COCA COLA l WOULD LIKE TO ADD A CLARIFICATION FOR MY lNTERESTS IN INTEL, '°ERCK, AND COCA COLA I SOLD ALL SHARES OF COCA

COIA ON MARCH 3, 1999 FOR VALUE CODE 'J" AND A GAJN OF "A." 1 SOLD ALL SHARES OF MERCK AS-REPORTED ON MY 20C2 DISCLOSURE FORM ON JULY 2, 2002. HOW.EVER ll' TH3 CASE OF MERCK, INTEL AND COCA COLA I PLACED COMPUTER ORDERS TO SELL TI!E NUMBER OF SHARES I OWNED AT THE TIME OF THE ORDER !NTHE CASE QF MERCK, lNTEL A.-..,1) COCA COLA. HOWEVER, BETIV'EEN Tllll TIME THE ORDER WAS EXECU1ED, A.'iD THE TIME : PLACED IT, FRACTICNAL SR S FOR EACH WERE DBl'OSITED TO MY ACCOUNT. TIJ:S HAS RESULTED IN DIVIDENDS BEING PAID EACH QUARTER SlNCETHE DATE OF THE SALE, AND Til!S IS THE REASON THAT! AM S!lOVllNG DIVIDENDS IN UllS REPORT FOR MERCK, IN1'El, AND COCA COLA EVEN THOUGH MY POSffiON WAS PREVIOUSLY SOW. THE DIVIDENDS QUITE LITER,\LLY AMOUh'T TO "l'EN:>lES" AS THEY WERE PAID ON IESS TIIAN A \VROLE SHARE AND TllERlifY FALL ll-l'TO VALUE CODE "J" A."<'D THE \I ALL'E AT T'rlE END OF T'tlE Al'PUCAllLE RERPORTING PERIODS woum ALSO BE "l" IR.\ VE TRIED TO SELL THESE FR ACTIONAL SP' ARES SIMPL y TO SIMPLlFY TI!lS REPORT BUT I CA.'i NOT I>'XECL'TE A SALE FOR LESS THAN ONE SHARE. JN AD DITTON, DOIKG SO WOULD TRIGGER A COl>fMlSSION TilAT WOULD EXCEED THE "GAu">.J" FROM THE SALU. ACCORDlNGLY, THESE FRACTIONAL SHARES REMAIN IN MY ACCOL�'T AND CONTD<"IJE TO Gfil,,'J?RATE DJ:Vr:.JENDS THAT ARE MORE "Nll!Sk'1CE" THA'! "GAIN." HOWEVER, FOR WHATEVER VALUE II MAY HAVE, PLEASE NOTE THAT LAST YEAR DIVIDE1'TIS JN THE AMOUXT OF A PENNY, EIGHT CENTS A.-..,'D 20 CENTS DRIPPED ll'i"l'O MY ACCOUNT EACH QUARTER LAST YEAR FROM THESE FRACTIONAL SHARES.

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" .

Date of Report FINAXCIAL DISCLOSURE REPORT NameofPcrsonReportbg

.t>1cKee, 'Theodore A

IX. CERTIFICATION.

I ce:iify that all infurudon given above (including informa'.ior. pertaining to my spouse and minor o: dependent children, if any) is accurate, true, and complete to the best of my .knowledge and belief, and that arry information not reported was withheld because it met applicable statutory provisions penuitting non-disclosure.

I furJ:ier cen;;.fy that earned income from outside employment <m.d honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

OKNOWTIGLY A.ND WILFULLY FALSIFIES ORFAfLS TO FILE TIIIS REPORTYIAY CT TO CIVIl,A._ND CRJMil\AL SANCTIONS (5 U.S.C. app. § JOL)

FJLING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-3Ql

One Columbus Circle, N.E.

Washington, D.C. 20544