rebecca f doherty financial disclosure report for 2009

8/3/2019 Rebecca F Doherty Financial Disclosure Report for 2009

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,~o]o I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c .vi n Gov e r nme n t A c t o . /1978~ e ~ , 1 / 2 0 1 o ] FOR CALENDAR YEA R 2009 ( 5 u . s . c , a p p . l o ] . n O1 . P e r l ~ o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l) 2. Cour t ur Organizat ion 3 . D a t e o f R e p o r tDoher ty, Rebecca F. Western Dis t r~ct o f Louis iana 0 5 / 0 6 ~ 2 0 1 0

4. Tilk ( Article)!l judges ind icate active or senior s~atus;. 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Reporting Periodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] No m in a t i o n , D a t e 0 1 / 0 1 / 2 O 0 9U.S. Dis t r ic t J udge , Ac t ive [] Initial [] A .... I [] Final t~12i31/20095b . [ ] Am en d ed Rep o r t

7. Chambert or Office Addres~ g. On the b a s k o f the information contained i n t h i s Repo r t an d anymodificat ions per la lning t h e r e t o , i t t % ~ my opin ion , In complianceJohn M. Shaw U .S . Cour thouse with appl icable laws and regul*t lons.800 Lafayet te St . , Ste. 4900Lafayette, LA 70501 Reviewing O[licer Date

I MP OR TANT NO TE S: The ins t r uc t ions accom panyh~g thi s for m must be fo l lowe~L Com ple te al l par t s ,checking the NONE box for each part where )~,u have no reportable information. Sign on last page.

I. P O S I T I O N S . ~,~,,or,~,NONE (No repo r tab l e po 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 IZ A T I O N / E N T I T 5 21 .2.


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FINANCIAL DIS CLOSURE REPORT .~ .... f W r ~ o . ~ v o ~ i ,~ [ a , ~ e 0 f R ~ p o ~P a g e 2 o f 7 Dohe~y , Rebecca F .]

05/06/2010

I I I. NON- INVEST M ENT ~C OME. :~o~ ~i~t ~.~ w .... ; ~ p ~ ~ z - 2 ~ o / : ~ gA, Fliers Non-lnves~ent Income

N O N E ( N o r e p o r t a b le n o n - in v e s t m e n t i n c o m e . )DAT~ SO~CE A~ ~E ( yo~ s , no t

I.

3.

4.

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 - l ~ y o u ~ , ~ a ~ , d d a r i n g a n y p o r t i o n o f t h e r e ~ i n g y e a r , c o m p l ~ thi~ sectiom(D~lar amount not required ~rc~l for honoraria)

N O ~ ~ O reportable non-investment income0SO~CE A~ ~E

I.

2.3.

4.

I V . R E I M B U R S E M E N T S - - ,~ .~po r ,a ,i o . , 1o~ , .~ ,~oo a, , ., ., ,~;~,..,~( l n c l u d e ~ t h o s e t o s p o u s e a n d d e l ~ e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f il l n g b u t ~ c t io n s , )

~ N O N E ( N o r e p o r t a b le r e i m b u r s e m e n t s .)~ ~ L O C A TI O N P~OSE ITE~ PAID OR PBOVIDED

1 . ~ulsi~a State Bar Au~st 20 - 2 I, 2009 New Orl~s, LA Emplo~nen t Law CLE lmve l , ho te l , f~d , p a r k ingAs~i~ion S~inar2.3 .4.5.


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Ia m e o f P e r s o n R e p o r t i n g D a t e o r R e p o r tF I NANC I AL DI S CL O S URE R E P O R T I Doh e rty , Re b e c ca F . 0 5 / 0 6 / 2 0 1 0Page 3 of 7V . G I F T S . rz,,~.,~ ~,,,~ ,o ~ p . . .. .. d d ~ , , ~ e , , c h ~ d , ~ , ; ~ ~ V . 2~-~ ~ o ~ . , - a ~ . g i . ~ , r . c , ; o . ~

NONE (No reportable gifts.)SOURCE D ~ $ C R r r T ~ O N VALUE

1 .2.3.4.5.

V I . L I A B I L I T IE S . a . a . a ~ , ~ o ~ o o ~ . .. .. ~ dtpendenl children; ~ p p . J / - J J of filing instructior~)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODEI.2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT r~ .... fPer ,on Report ing [ Date0fReportPage 4 of 7 O o h e r t y , R e b e c c a F . I0 5 / 0 6 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ c o , , , v a n e , , . . . . . ~ o , ~ (Include~ those of spouse and dependent children; r,e p p . 3 4 - 6 0 of f i l ing instruaions~)N O N E (No reportable income, assets, or transactions.)

A. B. C . D.D e s c r i p d o r t o f A s s c t s lncome during G r o s s , v a l u e a t e n d Transactions during r~erting period( i n c l u d i n g t r u s t a s s e t s ) r e pc a t i n g p er i o d o f r e po rt i n g p er i o dcot c2) o) c25--- c~ 1 c2) o) (4)--]P l ~ c e " ( X ) " a f t e r e a c h a s a e t A .... t T y p e { e . g ., Value Value T y p e ( e . g ., [ Date I Value [ Gain i I d e n t i l y o fe x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , $ e l ~ , ] m m ! d c l i) 3 , [ C o d e 2 I C o d e I bwer!seller(A-H) o r i n t . ) ( J - P ) C o d e 3 ~ c d e m p f i o n ) | ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W )

1 . U BS Ba nk Dep os it USA A Inte.rest J T2. Federated Market Opportun i ty B Div i d e nd K T3. PIMCO Fore ign Bond A Div i d e nd 3 " T B uy 1/26/09 J

( a dd l )4. PIMCO Fore ign Bond A Div i d en d J T So l d 1/26/09 J A( p a r t )5. Al[i anz H ea l th Ca re Fund N o n e So ld 8 / 2 f l / 0 9 l A6. PIMCO Commodi ty Re~l Retu rn A Div i d e nd J T B u y 1/26/09 J(~dl)7. Frank l i n Templemn Found ing Funds A Div i d e nd So ld 8/28/09 K A8. Frank l i n Temple ton Fo re ign Fund None So ld 8 / 2 8 1 0 9 J A

9. "PIMCO All Asset None So ld 1/26/09 K A1 0 . Evergreen Asset Al locat ion None So ld 1/26/09 J AI l . UBS Dynamic ~~pha Fund None Sold 1 / 2 6 1 0 9 J A1 2 . Calvert Global Al terna t ive Energy Fund N o n e J T Bu y 1/26/09 J( add l )1 3 . Pu tnam H ea l th Sciences Trus t A Div i d e nd J T1 4 . I~hman Bro . Bank , Utah B Interest K T1 5 . Oppenheimer Lntemat ional Bond A Div i d e nd J T Bu y 1/26/09 J( add l )

" ~ 6 . PhMCO Devel op ing Marke t s Fund A Div i d e nd J T B ay 01/26/09 J1 7 . Ivy A~get Strategy Fund A Div i d en d J T

(gee Co~a C2) U ~k Value V ~O~r W =~ima~


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i a m e o f P e r s o n R e p o r t i n g D t t c o f R e p o r tP a g e F I N A N C I A L 5 o f 7 D I S C L O S U R E R E P O R T I Doherty, Rebecca F. 0 5 ! 0 6 / 2 0 1 0~ NONE (No reportable income, assets, or transactions,)

B , T C . D.A. Income during ] G r o s s v ~ l u a t c n d T~sactlon~ d~ng r~ng ~odDes~pt ion of A~~( including ~t assets) r e~ i n g p ~ r i o d ] of)~aing

Place (X)af l~cach . . . . t ~untI T~(e.g., I V ~ u : ~ V~ T~(e.g., D a t e I v~

1 8 . Le~ Mason P~em Inte~i~te Te~ B ~vid~d K TM~ F~d1 9 . Oppe~e imer Deve lop ing M arke~ Fund A D i ~ d e n d B u y 1~6 /09 J20. Op p e nhe imer De v e l o p i ng M ~ k e ~ F ~ d A Div idend S o l d 08~g/09 J

21 . PIMCO S tock P l u s Sho r t Fund A Di~Adend J T B uy g/28/09 J

2 2 . . Tonp l e ton Ch ina Fund A Div idend J T B U Y 01/26/09 J

2 3 . Frank l i n ADJ Ra te Govenunen t Fund A Div idend K T B uy 08/28/09

2 4 . Oppenheimer Lid. Term Govt Fund A "Dividend J T B uy 8 1 2 8 1 0 9 J

25. Black Rock Globa l Al l Fund A Div idend J T Bu y g/28/09 J

26 . Black Ro ck Scien ce an d T ech Fu n d Non e B u y 01/26/09 J27 , Black Rock "Sc i ence and Tech Fund None S o l d g/28109 J A28 .

f


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F I N A N C I A L D IS C L O S U R E R E P O R T 1 ~ .... fe .... R e p o r t i n g D a t e o f R e p o l -tP a g e 6 o f 7 [ Doher(y, Rebecca F. 06/06/2010

V I I I. A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a.a~c,a.~,,~,~

Pa r t VI I - I nves tmen t s and Trus l sI tems l is ted on 2008 report tha t were ei ther redeemed or sold in 200g:L ine 2 - Bank H apoa l im CDLine 4 - Frank l i n Temp le t on H ea l t hLine 13 - Toyota Financia l ServicesL ines 21 & 22 - Co lon i a l Bank CD


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F IN A N C I A L D IS C L O S U R E R E P O R TP a g e 7 o f 7

] DoherD, R e b e c c a F .0 5 / 0 6 / 2 0 1 0

I X . C E R T I F I C A T I O N .I ce r ti fy tha t a l l in fo rmat ion g iven abov e ( inc lud ing in fo rmat ion pe r ta in ing to my sp ouse and minor o r depen dent ch i l d r en , i f any) i s

accur a te , t r ue , and co mp le te to the bes t o f my knowled ge and be I ie f , and tha t any in format io n no t r epor ted wa s w i thhe ld because i t me t app l icab le s t a tu to ryp r o v i s i o n s p e r m i tt i n g n on - d i s c l o s u r e.I f u r t h e r c e rt i f y t h a t e a r n e d i n c ome f r om ou t s i d e e mp l oyme n t a n d hono r a r i a a n d t h e a c c e p ta nc e o f g i f t s w h i c h h a v e be e n r e p o r t e d a r e i ncomp l iance w i th the p r o v i s ions of 5 U .S .C . app . 501 e t . seq ., 5 U .S .C . 7353 , and Jud ic ia l Confe r ence r egu l a t ion s .

NOT E: ANY INDIV IDU AL W H O KNOW ING LY ANDAND CRIMINAL SANCT IONS (5 U .S .C . app . 104 )

FILING INSTRUCTIONSM a i l s i g 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 to :

Commi t t e e on F i nanc i a l Di sc l o su reAdmin i s t r a t i v e O f f i ce o f t he Un i t ed S t a t e s Cou r t sSu i t e 2 -301One Co lu mbus C i r c l e , N .E .W a s h i n g t o n , D.C. 20544


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a o l o FINANCIAL DISCLOSURE REPORT R e p o , t R e q u i r e d b y t h e E t h i c ~in Governmenf Act of 1978~ e ~ . / ~ 0 ~ 0 FOR CALENDAR YE~ 2009L P~rson R eport ing ( l~ t name, f i rs t , midd le ioh~~1 ) 2. Court or Organ izat ion 3. Date of ReportDoherty, Rebecca F. Western District of Louisiana 05/06;2~10

4. Title (Article Ill judges indicate ac tive or senior status;. 5a. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time)i [] Nomination, Date 01/01/2009

U.S. District Judge, Active [] Initial [] A .... I [] l:inal to12/31/20095b. [] Amended Report

I 7. Chambers or O ffi~e Address 8. On the basis of the informat ion cont l lned in this Report and anymodifications pertaining thereto, it is, in my opinion, in complianceJohn M. Shaw U.S. Courlhouse with applicablelaws and regulations.800 Lafayette St., See. 4900Lafayette, LA 70501 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all part~checking the NON E b ox for each t~art n,here )~u h ave no reportable informatlon~ Sign on last pa g~

I . P O S I T I O N S . ~ e ~ o , , .g ~ , , ~ i . i a . a o .O , ; . ~ . ~ , r . ~ - s ~ of fillng lnstruct~ons,)NONE ~o reportable positions.)

POSITION ~AME OFORGA~ZATION~l.2.

3.

4.

I I . A G R E E M E N T S . (Reporan inalvlauat onty: seepp. 14o16 0f filing fnstructions.)NO~ ~o reportable agreement.)

PARTIES1.


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F IN AN C IAL D IS C L O S U RE RE P O R T r ~ . m e o ~ t . .. .. a ~ p o ~ t l n ~ [ t ~ . ~ o f ~ . e p o ~ tPage 2 of 7 Doherty, Rebec~:a F. 05/O6/2010

I 1 1 . N O N - I N V E S T M E N T ~COM E. :~,:o~i~g individual and ,p .... ; seepp. 17-24 o/fillng i~tructions.)A. Fliers Non-Investment IncomeN O N E (No rep ortable non-investment income.)

D A T E saUCE A~ T~E ~COME(yours, not ~u ~es)I.

2.

3.

4.

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 - lf you were married during any portlon of the teportlng year, complete this section.(Dol lar amount not required e .~ccpt for honoraria)

N O N E (No reportable non-O~vestment income.)DA~E S O U R C E A N D T Y P E

1.2.

3.4.

IV. R EIM BUR SEM ENTS -,ra,,,p o..,io.. to~i~,[ooa, e. ,e~.i~e~(Includes those to spouse and d~,~oendent children: $ep.o. 25-27 of filing instructions,)[---] N O N E (No reportable reimbursements.)

SOURCE D A T E S LOCATION ~ I T E M S P A I D OR P R OVI D E Dl. Louisiana Stale Bar August 20 - 21, 2009 New Orleans. LA Employment Law CLE travel, hotel, food, parkingAssociation Seminar2.

3.

4.

5.


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Iam e of Person R eporting Date of R eportF INANCIAL DISCLOSURE REPORTI Doherty, Rebecca F.Page 3 of 7 o 5 / o ~ 2 o ~ o

~ NO~ (No reportable~ DgSCR~TION

1.2.3.4.5.

V I . L I A B I L I T I E S . a , c t ~ , , ,n o , , o ~ " ~ p . . .. .. a d e p e n d e n t chitdren; see p p . 3 2 - 3 3 of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE|.2.3.4.5.


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Name of Pcrson Reporting [ D a t e o f R e p o r tPageFINANCIAL4 of 7 DISCLOSU RE REPORT D o h e r ty , R e b e c c a r. [ 0 5 / 0 6 / 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 - ~.~o.,., . , a . . , tr .... ctlonx (Includes thos. o/sp ..... d dependent children; see p~ 3~-60

~ NONE (No reportable income, assets, or ~sactions.)A. B. C, D .

~ripSoa orates ln~m during G ross value m cad T~nsa~oas du~ng ~po~ing p~fiod(inclu~ng t~s~ ~sc~s) r~in8 peri~ ofrc~ning p~M

[ Pla~"(X)"a~crcach~ct Amou.tI T~(e.g., Value V~u V~(e.g., / Da~ I Value { Ggn ldenfi~of[ .... pt from prior disel .... Code 1 ~ ...... t, Cod~2 Meth~ ~,sell, /~d~ ] C~2

I. U BS Bank Deposit USA A Interest J T2. F~eratcd Market Oppo~niW B Di~nd K T3. PIMCO Fore i~ Bond A ~vidend J T Bu y 1~6/~ J

(addl)4. PIMCO Foreign Bond A Dividend J T Sold I/26/09 J A5. Alli~ H~I~ Care Fund None Sold g~09 J A6. PIMCO Com modity Real Return A Dividend J T Buy 1/26/09 J(a~d07. Franklin Templeton Founding Funds A Dividend Sold 8/28/09 K A8. Franklin Templeton Foreign Fund None Sold 8/28/099. PIMCO All A~set None Sold 1 / 2 6 1 0 9

1 0 . Evergreen Asset Allocation None Sold 1/26/09! I i U BS Dynamic Alpha Fund None Sold 1/26/091 2 . Calvert Global Alternative Energy Fund None J T Bu y 1 / 2 6 1 0 9 J(addl)1 3 . Putnam Health Sciences Trust A Dividend J T1 4 . Lehman Bin. Bank, Utah I~ Interest K T1 5 . Oppenheimer International Bond A Dividend J T Bu y 1 / 2 6 / 0 9 J(addl)I"6. PI~CO Developing Markets Fund A Dividend J T Buy 01/26109 J(addl)1 7 . Ivy Asset Strategy Fund A Dividend J T

(See Cotuma C2) U =B~k Value V = OI ~r W =~imal~


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Name of Person Reporting D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTI Doherty, Rebecca F.age 5 of 7 0 5 / 0 6 / 2 0 1 0

V II. INV ESTMENTS and TRUSTS - i~come, , . ~ ,[~ NONE (No reportable income, assets, or transactions.)

A. " B. Y D.D e s c r i p ti o n o f A s s e ts Income during 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 t ti 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) 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

Plac(X)"af~ercach .... , t ~ A m ~ o u n . tl T y p e ( e . g ., [ Value I Value T > ~ a e ( e . g . , Da~Value ~ Gain I I d e n t i t y o fexemptfrompr~ordiselosure I ~ o ~ a ~ I d i v . , r e n t , I Code2 [ Method buy, sell, mm!d&yy Code2 ~ Code I b u y e r / s e l l e r

1 8 . Legg M ason Partners Intermediate Term B Dividend K TMtmi Fund1 9 , Oppenheimer D~veloping Markets ~und A Dividend B uy 1/26/09 J

2 0 . Oppenheimer Developing Markets Fund A Dividend Sold 08/28/09 J C2 1 . PIMC O Stock Plus Short Fund A Dividend J T Bu y 8/28/09 J2 2 . Templeton China~und A Dividend J T BU y 01/26/09 J2 3 . Franklin ADJ Rate Govermnent Fund A Dividend K T Bu y 0 8 / 2 8 . / 0 9 K2 4 . Oppenheimer Ltd. Term GoCt Fund A Dividend J T Bu y 8 / 2 8 1 0 9 J25. Black Rock Global All Fund A Dividend J T Bu y 8/28/09 J26. Black Rock Science and Tech Fund None Buy 01/26/09 J27 ", Black RockSci~nce and Tech Fund None Sold g/28/09 J A28.

r

(See Column C2 ) U -B~k Value V ~t~ W =E~imaled


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F IN AN C IAL D IS C L O S URE RE P O RTI ~ t ~ R e o o , .. ~ .... ..... I D , t , o , e p o aage 6 of 7 D o h e r l y . R e b e c ~ F . 0 5 / 0 6 / 2 0 1 0

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. O.~i~*t .pa ,~o~~epo~O

Part VII - Investments and TrustsItems ligted on 2008 report that were either redeemed or sold in 2008:Line 2 - Bank Hapoalim CDLine 4 - Franklin Templeton HealthLine 13 - Toyota Financial ServicesLines 21 & 22 - Colonial Bank CD


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FINANCIAL DISCLOSURE REPORT ~,me of Person Reporting Da,e of Repot,Page 7 of 7 D o h e r t y , Rebecca F. 05/06/2010IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my kn owledge and b elief, and that an) information not reporied was w ithheld because it met applicable statutoryprovisions permitt ing non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U .S.C. app. 501 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

N O T E: A N Y I N D IVI D U A L ~ 1 0 KN O WI N G LY A N D \ VI LF UAND CR IMINAL SANC TIONS (5 U.S.C. app. 104)

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

C o m m i t t e e 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 r a t i v e O f f ic e o f t h e 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 ashington, D.C. 2054 4

rebecca f doherty financial disclosure report for 2009

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