finnal disclose report repot requid by the ethis rev. in … · 2019-07-26 · to 12/3112003 : 8....
TRANSCRIPT
______________________ _ Date _____ _
. .
PO SIDON NAME OE ORGANIZATIQNIENTITY
PARTIES ANP TERMS
(,.\,,) ::0
·
Report Required by the Ethics A0-10 FINANCIAL DISCLOSURE REPORT In Government Act of 1978 Rev. 1/2004
Calendar Year 2003 (S U.S.C app. §§ 101-111)
I. Person Reporting (Last name, First name, Middle initial)
Whaley, Robert H
4. Title (Article m Judges indicate active or senior status;
magistrate judges indicate full- or part-time)
District Court Judge
7. Chambers or Office Address
United States District Court
P.O. Box283
Spokane, WA 99210:.0283
2. Court or Organization 3. Date of Report
United States District Court 0612812004
S. RcportType (ch k appropriate type) 6. Reporting Period
Q Nomination, Date Ol/Ol/2003
Q Initial. @Annual 0 Final to
12/3112003
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
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. POSIDONS. (Reporting individual only; see pp. 9-13 of filing instructions)
li!J NONE - (No reportable positions.)
1.
0-en 0 r-..,..o- c::::> mC? :Z:: c::> 0 ;:oZ mo rr;
f\) -oi= Q)
IL AGREEMENTS. (Reporting individual only; sec pp. 14-16 of filing instructions) .,, r- ::::. < ..,, =::- mIi!! NONE - (No reportable agreements.) 0 -
c:::> 0I'll ..c:.. .
1.
SOVRCE AND IDE GROSS INCOME
SOVRCE AND TYPE
SOURCE DESCRIPTION
FINANCIAL DISCLOSURE REPORT Name of Person Reporti!'g
Whaley, Robert H
Date ofRepon ·
06/28/2004
Ill. NON-INVESTMENT lNCOME. (Reporting individual and spouse; sec pp. 17-24 of tiling instructions)
A. Filer's Non-Investmentlncome
NONE - (No reportable non-investment income.)
1.
(yours, not spouse's)
2.
B. Spouse's Non-Investment Income - (Ifyou were manied during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria) ,
D NONE (No reportable non-investment income.) -
1. 2003 Winston & Cashatt Law Firm, Salary
2. 2003 Winston & Casahtt, Consuhing Fee
N, REIMBURSEMENTS - transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children. Sec pp. 25-27 of instructions.)
Ii!! NONE . - (No such reportable reimbursements.)
I.
SOURCE DESCRIPTION
CREPITOR DESCRIPTION VALUE CODE
FINANCIAL DISCLOSURE REPORT Name ofPerson_Reporting
,' Whaley, Robert H
Dlite of Report
0612812004
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)
NONE (No such reportable gifts.)-
I.
I.
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 ofinstructions.)
Ii!! NONE - (No reportable liabilities.)
ti'om disclosure
(S)
-
.
- -'_=_E_s_tim:i te_d
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page 1 of9 Whaley, Robert H 0612812004
VIl. INVESTMENTS and TRUSTS - income, value. tnmscations {includes those ofthe spouse and dependent children. See pp. 34-57 of filing instructions.)
A. B. c. D. Description of Assets (including b'USt IWCIS)
Income during reporting period
Gross value at end of reporting period
Transactions during reponing period
Place •ex)" after each asset exemptfiom prior disclosure
DNONE (No reponablc illCMIC. assets. or transactions)
1. FIDELITY INVESTMENTS ULTRA ACCOUNT: .
2. -Nokia Co..Poration ADR Common Stock .
3. -Fidelity Contrafund Mutual Fund -
4. -Fidelity Equity Income II Mutual Fund
s. -Fidelity Dividend Growth Mutual Fund
{I)
Amount Code! (A·H)
A
A
A
A
(2)
Type (e.g.div. rent. or inL)
Dividend
Dividend
Dividend
Dividend
(I)
Value Code2 {J.P)
J
K
K
K
(2)
Value Method Code3 (Q-W)
T
T
T
T
(I)
Type (e.g. buy, sell, merger,redemption)
I(2)
Date: Month· Day
fnot exempt
(3) Value
Code2 (J·P)
(4)
Gain Code I (A·H)
Identity of buyer/seller (if private transaction)
6. -Fidelity Select Technology Mutual Fund .:·None J T
7. -Fidelity Select Electronics Mutual Fund None J T
8. -Fidelity Select Computers Mutual Fund None I T
9. -American Investment Company of America CL A Mutual Fund
A Dividend K T Part Sold 2-24 J
10. -American Investment Company of America CL A Mutual Fund
11. -Core Cash Account
12.
13. SMITH BARNEY:
14. -Citibank NA Bank Deposit Program
15. -AMNEX, Inc. NEW Common Stock
16. -Plum Creek Timber Co., Inc. Common Stock
17. -Ford Motor Company Capital TR Preferred Stock
18.
A
A
A
A
A
Dividend
Dividend
Interest
None
Dividend
Interest
K
J
J
J
J
J
T
T
T
T
T
T
Part Sold 11-17 K c
l. Income/Gain Codes: A c Sl,000 or less a s1.001-s2.soo c -s2.so1-ss.ooo o -ss.001.s1s.ooo E - St>,001-sso.ooo
(SecColurrnisBt andD4) F -sso.001-s100.ooo G -s100.001-s1.ooo.ooo HI -s1.ooo.001-ss.ooo.ooo H2 -More than ss,000,000_
2. Value Codes: -s1s.ooo or less K c S!S,001-$50.000 t -sso.001-s100.ooo M -s100.001-si5o.ooo
(Sec Colunul Cl and 03) N c $250.000-$500,000 o -ssoo.001-s1.ooo.ooo Pl = $1,000,001-SS,000,000 P2 =$5,000,001·$25.000,000
PJ - s2s,ooo,001-sso.ooo.ooo P4 = SMore than SS0.000,000
3. Value Method Codes Q - Appr isal R =Cost (Real Estate Only) S -Assessmc:nt T - Caslvlvlarkct ( rnl11rm1 C2) l.' = Bool. Value V =Other
If disclosure
.
.
..
..
FINANCIAL DISCLOSURE REPORT- Name of Person Reporting Date of Report
Page 2 of9 Whaley, Robert H 0612812004
VIl. INVESTMENTS and TRUSTS - income. value. transcarions {includes dKm of the spouse and dependent children. See pp. 34-S7 of filing instructions.)
19.
20.
2l.
22.
23.
24.
25.
26.
27.
28.
29.
30.
3l.
32.
33.
34.
35.
36.
A.
Description of AsselS (including trust assets)
Place "(X)" after each asset exempt !Tom prior disclosure
FRANKLIN TEMPLETON:
-Templeton Developing Mar ets Trust Mutual Fund
CHASEMELLON: -
-Occidental Petroleum Corp. Common Stock
NATIONAL SECURITIES CORPORATION:
-Montana Precision Mining Ltd. Common Stock
FIDELITY INVESTMENTS:
-Fidelity Diversified International
· -Fidelity Small Cap Stock
-Fidelity Cash Reserves
·Fidelity Contrafund Mutual Fund
-Fidelity Magellan Mutual Fund
-Fidelity Low Priced Stock
-Fidelity Blue Chip Growth Mutual Fund
-Fidelity Dividend Growth Mutual Fund
B. Income durini
reponing period
(1) (2)
AmoW1t Type (e.g. Code I div. rent. or (A-H) int.)
A Dividend
A Dividend
None
A Dividend
None
A Interest
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
c. Gross value at end of
reporting period
(I) (2)
Value Value Code 2 Method (1-P) Codel
(Q-W)
J T
J T
J T
K T
K T
J T
L T
K T
K T
M T
D. Transactions during reporting period
(I) not exempt liom
(2) (l) (4) (S) Type (e.g. Date: Value Gain Identity of buy, sell, Month· Code2 Code I buyer/seller merger, Day (J-P) (A-H) (irprivateredemption) transaction)
-
,
Buy 12-19 K
Buy 12-15 K
Part Sold 12-15 K B
Buy 12-15 K
Sold 12-15 K E
·-·
l. lucome!Gain Codes: A • S 1,000 or less B • $1,001 ·$2,SOO c c $:?,501-$5,000 D • $5,001-SlS.OOO E • SlS,OOl·SS0.000
(Sec Columns Bl and 04} F • $50,001-$100,000 G • SI00.001-$1,000,000 HI • Sl.000,001·55.000,000 H2 - More than SS,000,000
2. Value Codes: J =S!S,OOOorless K - SIS,001-$50,000 L = SS0,001-$100.000 M = $100,001-S250.000
(See Columns Cl and D3) N • S2SO,OOO.$SOO.OOO 0 = S500,00l·Sl,OOO,OOO Pl = $1,000,001-SS.OOO,OOO P2 = $5,000,001-$25.000,000
Pl • $25,000,00l ·SSO.OOO.OOO P4 = SMore than SS0.000.000
3. Value Method Codes Q = Appraisal R = Cost (Real Estate Only) S = Assessment T • Casb/Market
C = Book Value V =Other W =Estimated
If
(4) (S)
Code3
.
B
c
c E
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page3 of9 Whaley, Robert H 06128/2004
VIL INVESTMENTS and TRUSTS - income, value. lranscations (includes those of the spouse and dependent children. Sec pp. 34-57 of filing instructions.)
37.
38.
39.
40.
41.
42.
A.
Description of Assets (including trust assets)
Place "(X)" after each asset cll from prior disclosme
SMITH BARNEY PROFIT SHARING #I ACCOUNT:
. -SB Money Funds Govt Port L A
-
-Amnex, Inc. New Common Stock
-Benj Franklin Svgs & Ln Assn Common Stock (see VIII)
-Cisco Systems Inc. Common Stock
-EMC Corp. Common Stock
B. Income during
reporting period
(I) (2)
Amowit Type (e.g. Code I div. rent. oc
(A·H) int.)
A Dividend
None
None
None
None
..
c. Gross value at end of
reporting period
(I) (2)
Value Value Code2 Method (J-P)
{Q-W)
J T
J T
J T
J T
(I)
Type (e.g. buy. sell, merger. rede°"tion)
Sold
'
D. Transactions during reponing period
not exempt from disclosure
(2) (3) Date: Value Gain Identity of Month- Code2 Code I buyer/seller Day (J-P) (Ml) (if private
transaction)
.
12-08 J A
43. -GA TX Corporation Common Stock A Dividend Sold 4-24 J B
44. -Gold Reserve Corporation Common Stock (sec VUI) None Sold 12-08 K E
45.
46.
-Intel Corp. Common Stock
-McData Corp Class A Common Stock
A Dividend
None
J T
Sold 12-08 J
47.
48.
49.
so.
Sl.
52.
53.
54.
-Microsoft Corp. Common Stock
-Pfizer Inc. Common Stock
-Time Warner Inc. (sec VllI)
-AIM Constellation Fund Class A Mutual Fund
-Neuberger Berman Rlty Income Fd Inc
-Nuvcen Pfd &. Conv Income Fd
-Calamos Growth Fund Cl B -
-FPA Perennial Fund
A Dividend
A Dividend
None
None
Dividend
Dividend
None
None
J T
J T
K T
L T
K T
K T
Sold
Sold
Buy
Buy
Buy
12-08 J A
1-31 L
4-24 ' K
3-31 L
12-19 K
·.·
I. Income/Gain Codes: A c S l,000 or less B • Sl,001-$2,SOO • S:?,501-$5,000 D • SS,001-S 15,000 = Sl5,001-SS0,000
{Sec Colll!11l1S Bl and 04) F c SS0,001-SIOO,OOO G • SI00.001-$1,000,000 Hl • S 1,000,00 l -SS,000.000 H2 =More lliau SS,000,000.
2. Value Codes: 2 S 15,000 or less K = $15,001-SSO,OOO L E $50,001-S I 00.000 M = s100,001-s2so.ooo
(See Colwnns Cl and 03) N = S250.000-$500,000 0 = ssoo.001-s1.ooo.ooo Pl = s 1,000,001-ss.000.000 P2 = $5,000,001-$25.000,000
P3 c S:?S,000,001-$50,000.000 P4 = SMore lhan $50.000.000
3. Value Method Codes Q •Appraisal R = Cost (Real Eslllte Only) S = Assessment T = Cash/Market
Tl =R.IV'\l-V!l\11e V = Other W = Estimued
reporting period
fiom disclosuie
(3) (4)
-
L
-
c D E
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page4 of9 Whaley, Robert H 0612812004
VlI. INVESTMENTS and TRUSTS - inc:omc, value, traoscations {includes those orthe spouse and depcndcnt children. Sec pp. 34.57 of filing instructions.)
SS.
56.
57.
58.
59.
60.
A.
Description or Assets (including trust assets)
Place "(X)" after each asset exempt ftom prior disclosure ·
-Fidelity Advisor Equity Growth Fund Class T
-MTB Small Cap Growth Fllll:d Cl A (see VIII) -
-Evergreen Growth &. Income Fund Class A Mutual Fund
-Russell Multi Manager Principal Protected Fd Cl B
-Smith Barney Classic Values Fund Class B
-Van Kampen Equity and Income Fund Class C Mutual fund
B. Income during
(I) ('.!)
Am>unt Type {e.g. Code I div. rent: or (A·H) int.)
None
None
A Dividend
A Dividend
A Dividend
A Dividend
..
c. Gross value at end of n:porting period
(I) (2)
Value Value Code2 MedlOd (J·P) C.odeJ
(Q-W)
J T
K T
T
K T
K T
D. Transactions during ieporting period
(I) Ifna1 exempl
(2) (S) Type (e.g. Date: Value Gain Identity of buy, sell. Month- Codc2 Code I buyer/seller merger, Day (J-P) (A·H) (if privale redemption) transaction)
Sold 4-24 K A
Buy 2.03 L
Buy 4-24 K
61.
62.
-Strips-Tint-US Treasury Bonds (see VIII) None . . Redeemed 3.06 L E
63. SMrm BARNEY PROFIT SHARING #2 ACCOUNT:
64. -SB Money Funds Govt Port Class A A Dividend J T ..
65. -Advanced Remote Communications Solutions Inc. Common Stock
None J T
66.
67.
68.
69.
70.
71.
72.
-MPM Technologies, Inc. Common Stock
-Nuvcen Quality Pfd Income Fd 2 Mutual Fund
-Fidelity Advisor Equity GTowth Fund Class T Mutual Fund
-SunAmerica Focused Large-Cap Growth Class B
-Van Kampen Equity and Income Fund Class C Mutual Fund
-
None
B Dividend
None
None
A Dividend
J T
K T
L T
J T
Sold 6-10 K
Buy 6-11 - K
.,
\. lncom:IG:iin Codes: A •SI ,000 or k:ss B c $1.001-$2,500 - $2.501-SS,OOO - $5,001-$15,000 -s1s,001-sso.ooo
(SeeColumnsBl andD4J F • $50,001-$100.000 G - $100.00\-$\,000,000 HI s$\,000,001-S5.000,000 H2 - More than $5,000,000
2. Value Codes: = SI S,000 or less K = SIS,001-$50.000 L - SS0,001-$100,000 M = s100,001-s25o.ooo
(See Colwnns Cl and 03) = S250,000-$SOO,OOO 0 = S500,00l·Sl.OOO,OOO Pl = St,000,001-SS,OOO,OOO P2 = $5,000,001-$25,000.000
P3 • S:?S,000,001-SS0,000,000 P4 = $More than SS0.000.000
3. Value Method Codes Q •Appraisal R c Cos1 (Rc:il Estate Only) S s Asscssm:nt T -Cash/Market
t: = Book Value V =Other W = Estimated
77.
- .
It uisclosure
(S)
-·
c D E
D.
FINANCIAL DISCLOSURE REPORT . Name of Person Reporting Date of Report
Pages of9 Whaley, Robert H 06128/2004
VIL INVESTMENTS and TRUSTS - income, value. ttansca tious (includes those of the spouse and dependent childn:o. Sec pp. 34-57 ortlling instructions.)
A. B. c. Income during Gross value at end of Transactions during rqioiting period
Oescriplion of Assets reporting period rqiorting period (including ttust assets) not exempt from (1) (2) (I) (2) (l)
73.
74.
75.
76.
78.
Place ·cxr after each asset exempt from prior disclosure
FIDELITY INVESTMENTS IRA:
-Fidelity Low Priced Stock .•
-
-Fidelity Select Technology Mutual Fund
-Fidelity Select Develop Communications Mutual Fund
-Fidelity Select Biotechnology Mutual Fund
-Fidelity Cash Reserves
Amount Code I (A·H)
A
A
Type (e.g. div. rcnL or int)
Dividend
None
None
None
Dividend
..
Value Code2 (J-P)
J
J
J
J
J
Value Method Code3
(Q-W)
T
T
T
T
T
Type (e.g. buy, sell, merger, redemption)
Buy
(2) Date: Month-Day
12-16
(3)
Value Code2
(J-P)
J
(4)
Gain Code I (A-H)
Identity of buyer/seller (if private transaction)
-
79. -Fidelity Select Computers Mutual Fund None .K T .
80. -Fidelity Select Electronics Mutual Fund None K T
81.
82. ST. JUD. RETIREMENT (FIDELITY INDEPENDENCE FUND) Mutual Fund
A Dividend K T
83.
84.
85.
86.
87.
88.
89.
90.
SMITH BARNEY:
-SB Money Funds Govt Port CL A
-Amgen Inc. Common Stock
-Bcnj Franklin Svgs & Loan Assn Common Stock
-Bristol Myers Squibb Co. Common Stock
-Cisco Systems Inc. Common Stock
-Walt Disney Holding Co. Common Stock
A
A
A
Dividend
None
None
Dividend
None
Dividend
J
K
J
J
J
J
T
T
T
T
T
T ·.·
1. lncom:!Gain Codes: A -S 1,000 or less B • Sl,001-S2.500 = S2.501-S5,000 = S5,00t-S!5.000 -S!S,00\-$50,000
(See Colunms Bl and 04) F • S50,00l-St00,000 G = SIOOJJO!-Sl,000,000 Ht • Sl,000,001-$5.000.000 H2 •Mon: than $5,000,000
2. Value Codes: -s1s,ooo or less K = SlS,001-$50,000 L = sso.001-s100.ooo M = SI00,001-S250.000
(See Colwms Cl and 03) N - s2so,000-ssoo.ooo 0 -ssoo.001-s1.ooo.ooo Pl = Sl,000,001-SS.OOO.OOO P2 = S5,000,001-S25.000.000
Pl -$:?5,000,001-$50.000,000 P4 - SMon: than $50,000,000
3. Value Method Codes Q • Appraisal R - Cost (Real Eslate Only) s = AsseSsment T • Cash!r.lalket
(See Co\wm C2) u = Book Value v = Other w = Estimated
D.
lt rtom disclosure
(3) (4)
-
c D E
w
{J1COl1lC during
FINANCIAL DISCLOSUREREPORT Name of Person Reporting Date of Report Page6 of9 Whaley, Robert H 0612812004
VII. INVESTMENTS and TRUSTS - income, value. lnUISCations (includes those of the spouse and dcpcndcnt children. See pp. 34-57 of 61ing instnwtions.)
A. 8. c.
Description or Assets Gross value 1t end of Transactions durins reponing period
rqiorting period reporting period (including ttust assets)
Place "(X)" after each asset elle t from prior disclosure
(l)
AlllOWlt Code I (A-H)
(2)
Type (e.g. div. rent. or
inL)
(I)
Value Codel (1-P)
(2)
Value Method Code3 (Q-W)
(1)
Type (e.g. buy, sell, merger, redemption)
(2) Date: Month-Day
001 exempt
Value Gain Code2 Code l (J-P) (A-fl)
(S) Identity of buyerlseller (ifprivate ttansaction)
91.
92.
93.
94.
-Time Warner Inc. Common Stock
-Worldcom lno. Worldcom °!">up Com Common Stock
.
-Worldcom Inc. GA New MCI Group Com Common Stock
-Zimmer Holdings Inc. Common Stock
None
None
None
None
J
J
J
J
T
T
T
T
-
95.
96.
97.
-AIM Constellation Fund Class A Mutual Fund
:.:Fidelity Advisor Equity Growth Fund Class T Mutual Fund
-Putnam New Opportunities Fund Mutual Fund
None
None
..
None
K T ,
Sold
Sold
12-16
12-16
L
K
98.
99.
·American Balanced Fund Class C
-Calamos Growth Fund Class C
None
None
K
K
T
T
Buy
Buy
12-17
12-17
K
K
100.
101. IDELITY INVESTMENTS:
102.
103.
104.
105.
106.
107.
108.
-Fidelity Canada
-Fidelity Diversified International
-Fidelity Small Cap Stock
-Fidelity Asset Manager Growth
-Fidelity Contrafund
-Magellan .
-Fidelity Aggressive Growth
A
A
A
None
None
None
Dividend
Dividend
Dividend
None
J
1
J
K
K
J
T
T
T
T
T
T
Buy
Buy
Buy
Sold
12-31
12-31
12-16
12-15
J
J
J
J c
-· ·
·-·
I. lucome/Gain Codes: A s Sl,000 or less B s S1,00l·S2,500 =s2.so1.ss.ooo s S5,00l-Sl5.'J<l0 - St5,00l-S50.000
(Sec Columus Bl aud 04) F c $50,001-SIOO.OOO G - $100.001-$1,000,000 H1 - s1,000,001-$5,000.000 H2 •Motl: than $5.000,000
2. Value Codes: - SI S,000 or less K = Sl5,00I-$SO.OOO L c SS0,001-S 100,000 M = s100.001-s:so.ooo
(See Columns Cl and 03) N = S250,Q0(}.$500.000 0 = SS00,001-S!,000,000 Pl = S l ,000,00 l -SS.000.000 P2 = ss,000.001.s:.s.ooo.ooo
P3 • S25,000,00l·SSO.OOO,OOO P4 • SMore than s.so.000.000
3. Value Method Codes Q =Appraisal R - Cost (Real Estate Only) s - Assessment T •Cash/Mark
1"1-P C'nlwnn C2\ t; =Book Value v =Other =Estinm1ed
lf rrom disclosure
(J)
.
c D E
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page 7 of9 Whaley, Robert H 0612812004
VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 or filing instructions.)
109.
110.
11l.
112.
113.
114.
A.
Dcsc:ription of Assets (including trust assets)
Place "OC)" after each asset exempt ftom prior disclosure
-Fidelity Low-Priced Stock
-Fidelity Blue E:hip Growth
-
-Fidelity Dividend Growth
-Fidelity Select Technology -
-Fidelity Select Develop Communicatns
-Fidelity Export & Multinational
B. Income during
reporting period
(1) (2)
Amount Type (e.g. Code I div. rent OT
(A·H) inL)
A Dividend
A Dividend
A Dividend
None
None
None
. .
c. Gross value at cod of
reporting period
(I) (2)
Value Value Code2 Metbod (J·P) Coc!el
(Q-W)
L T
K T
K T
J T
D. Transactions during reporting period
.
{I) not exempt
(2) (4) Type (e.g. Date: Value Gain buy, sell, Month- Code2 Code I metger, Day (J·P) (A·H)redemption)
Sold 12-15 K c
Sold 12-31 J .
Buy 12-31 J
(5)
Identicyor buyer/seller (irprivate transaction)
-
115. -Fidelity Select Biotechn0logy None soid' 12.:31 J
116. -Fidelity Select Electronics None Sold 12-31 J
117.
118.
119.
120.
121.
122.
123.
124.
125.
126.
-Vanguard Index Trust S&P 500 Port
-Fidelity Cash Reserves
FIDELITY INVESTMENTS IRA:
-Fidelity Cash Reserves
-Microsoft Corp. Common Stock
-Fidelity Total Bond Mutual Fund
-Fidelity Select Technology Mutual Fund
-Fidelity Select Health Care Mutual Fund
-
-Fidelity Select Electronics Mutual Fund
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
None
A Dividend
None
K T
J T
J T
K T
J T
J T
J T
J T
1. Income/Gain Codes: A $1,000 or less B • $1,001-$2,SOO $2.501-$5,000 • S5,00l-S15.000 - $15,001-$50.000
(See Columns Bl and 04) F • SS0,001-$100,000 G • SIOO,OOl·Sl,000,000 Hi • Sl,OOO,OOl·SS.000,000 1-12 s More than $5,000,000
2. Value Codes: s $15,000 or less K = Sl5,001-SSO.OOO L = S50.(JO 1-S I00.000 M = S100,00i-S2SO.OOO
(See Columns Cl and 03) N E S2SO.OOO-SSOO,OOO 0 = $:500,001-Sl.OOO,OOO Pl =S 1,000,001-SS,000,000 P2 = $5,000,001-$25,000.000
P3 = $25,000,00l·SSO.OOO.OOO P4 c SMore lhan sso,000.000
3. Value Method Codes Q s Appraisal R Cost (Real Estate Only) s = Assessmc:nt T = Cash/Market
<See Column C2l u = Book Value v =Other W = Estimated
B.
It fi'om disclosure
(J) (4) (S)
'
(2) not ex t
(A·H) (J-P)
140.
143.
FINANCIAL DlSCLO.SURE REPORT Name of Person Reponing Date of Report
Page 8 of9 Whaley, Robert H 06128/2004
VII. INVESTMENTS and TRUSTS - income, value. tr.mscarions (includes those ofthe spouse and dependent children. See pp. 34-S7 of filing instnictions.)
A. c. D. Income during Gross value at end of Transactions during reporting period
Description of Assm reporting period reporting period (including trust assets)
(I) (I) (2) (1) (2)
Place "(X)" after each asset exempt Type (e.g.Amount Type (e.g. Value Value Date: Value Gain Identity of fiom prior disclosure buy. -sell,Code I div. renl or Code2 Method Month- Code2 Code 1 buyerfseller
inl) Codel merger, Day (Q-W) reden1>tion)
(J·P) (A·H) (if private transaction)
127. -Fidelity Select Computers Mutual Fund None J T
128.
129.
-Fidelity Advisor Growth OpP.ty Class T Mutual Fund -
..Qakmarlc Select Mutual Fund
A
A
Dividend
Dividend
J.
J
T
T
130. -White Oak Growth Stock Mutual Fund None J T
131.
132.
133.
-Templeton Foreign Class A Mutual Fund
.
-Vanguard Growth lndcx Mutual Fund
A
A
Dividend
Dividend ..
J
J
T
T
134. SMITH BARNEY:
135.
136.
137.
138.
-SB Money Funds Cash Portfolio
-Ait'!l Equity- Constellation Mutual Fund
-Fidelity Advisor Growth Opportunities Mutual Fund
-Calamos Growth Fund
A
None
None
Dividend
None
J
J
T
T
Sold
Sold
Buy
12-19
12-19
12-17
J
1
1
139.
VANKAMPEN:
. . 141. -Enterprise Fund A Mutual Fund None 1 T
142.
Ltd. Partner, Demi!IS & Ass., Roswell, NM (HUD A Dividend K w
Project)
144. . ..
C • $2,501-$5,000 D • $S,001-S15.000 E • S15,001-S50.000 l. lncoux:'Gain Codes: A - Sl,000 or less B - s1.001-s2.soo
G -s100.001-s1.ooo,ooo HI • Sl,000.001-$5,000,000 H:? =More than $5,000,000. (See Columns Bl and 04) F -sso.001-s100.ooo
2. Value Codes: J s1s,oooorless K - $15,00l-SS0.000 L =$50,001-S!OO,OOO l •S100,001-S250,000
(See Columns CI and 03) N - S2S0.000-$SOO,OOO 0 • $500,001-Sl.000,000 Pl - s1,ooo,00 1 -S5,000,ooo P2 = ss,000,001-sis.ooo.ooo
Pl - S25,000,001-$50,000.000 P4 • SMore than $50,000,000
3. Value Method Codes Q = Appraisal R • Cost {Real Estate Only) S • Assessment T = CashiMarket
U =Book Value V =Other w =Estimated
chih
B.
reporting period disclosure
.
c E
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page9 of9 Whaley, Robert H · 06/2812004
VIl. lNVESThIBNTS and TRUSTS - income, value, transcations (includes those ofthe spouse and dcpelldcut See pp. 3"-s7 orfiling )
145.
146.
147.
148.
149.
150.
A.
Description of Assets (including trust assets)
Place "(X)" alter each asset eitell1JI from prior disclosure
Lot & House, Laclede, ID
.
-
Logue McDonald Corporation, Spokane, WA
-
MassMutual: GP Life at 69
Income during
(I} (2)
Amount Type (e.g. Code I div. rcnL or
(A·H) inL)
None
None
A Dividend
..
c. Gross value at end of reporting period
{I) (2)
Value Value Code2 Method
(J·P) Codel (Q-W)
N w
J w
K T
D.
Transactions during iq>0ning period
(I) 11 not cxcn
(2) (3) Type (e.g. Date: Value buy, sell, Month- Code2 merger, Day (J-P)redemption)
,
11t ftom
(4)
Gain Code I (A-H)
(S)
Id entity of buyer/se ller (if private ttansaction)
-
ISL MassMutual: Whole Life None .K T
152.
1. lnco1nc/G3it1 Codes: A = Sl.000 or less B = Sl,001-52,500 • S2.SOl-S5,000 D •S5,00l-Sl5.000 = 515,001-SS0.000
(Sec Columns Bl and 04) F - $50,001-$100.000 G • SI00.001-Sl,000,000 Hl •Sl,OOO,OOl-S5,000,000 H2 •More lhan SS,000,000
2. Value Codes: I = SlS,000 or less K = S 15,00 I-SS0,000 L = SS0,001-S100,000 M = SI00,001-S250,000
(See Columns Cl and 03) N = S250,000-S500,000 0 = $500,001-51,000.000 Pl • s1.ooo,001-5s.ooo.ooo P2 = SS,OOO,OOl-$25.000,000
P3 = S25,000,001-SSO;OOO.OOO N = SMore than $50.000.000
3. Value Method Codes Q •Appraisal R •Cost (Real Estate Only) s • Assessment T - Cash/Market
r<:ee Colwm1 C2l 1J c Book Value v =Other \\' c Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Whaley, Robert H 0612812004
{Indicate part of Report.) VIII. ADDmONAL INFORMATION OR EXPLANATIONS
Comments re entries in Section VII:
Page 3, line 40: The cost of the Benjamin Franklin Savings & Loan Common Stock is unknown. Records are available only back to 12-31-91. At that time, the stock was not listed. Years ago, the U.S. Government closed Benjamin Franklin Savings & Loan; and shares were written off. There was an anticipation of reimbursement to Benjamin Franklin Savings & Loan of assets confiscated the the U.S. Government. Because of this potential reimbursement. the stock began actively trading again and was characterized on Smith Barney's records as •position adjustment/reinstate l 0-18-91
deletion" on 3-18-97. Using that value as the cost (J) would yield a gain of A. This is a 9best guess.•
Page 3, line 44: The cost of the Gold Reserve Corporation Common Stock is unknown. Records are available only back to 12-31-91. At that time, the value was J. Using that cost and the value of the sale would yield a gain of E, but this is a "best guess.•
Page 3, line 49: Name change of stQck on I0-16-03 I.Tom AOL Time Warner Inc. to Time Warner.
Page 4, line 56: Name change of fund on 8-29-03 I.Tom Ark Small Cap Equity Portfolio Fd Mutual Fund to MTB Small Cap Growth Fund Cl A.
Page 4, line 61; Strips-Tint-US Treasury Bonds were redeemed! and the proceeds were used to purchase Nuvcen Pfd & Conv Income Fd.
Page 6, line 91: Name change of stock on I 0-16-03 I.Tom AOL Time Warner to Time Warner.
Date ' Co -2? =Q l£
INDIVIDU
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Whaley, Robert H
IX. CERTIFICATION.
Date or Report
0612812004 .
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 of5 U.S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Si
NOTE: ANY KNOWINGLYAND WILFULLY FALSIFIES OR FAILS TO FILE nns 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