rebecca f doherty financial disclosure report for 2010

8/3/2019 Rebecca F Doherty Financial Disclosure Report for 2010

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I AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Government Act of 1978(5 U .S.C. app. ~5q 101-111)I. Person Repor ting ( las t name, f ir s t , middle init ial)Doher ty , Rebecca F.

4. Tit le (Art ic le l I1 judges ind ica te ac t ive o r sen io r s ta tus;magistrate judges indicate full- or part-time)

U.S . Di s t r i c t Judge , Act ive

7. Chambers or Off ice AddressJohn M . S haw U.S . Cour thous e800 Lafayet te St . , Ste. 4900La fa ye t t e , LA 70501

2. Cour t o r O r ganiza t ionW es te rn D i s t r i ct o f Loui s i ana

5a . Report Type (check appropria te type )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

R e vi e w i n g O f f i c e r Date

3. Date of Repor t05/04/20

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,checking the NO NE box for each pa rt where you have no reportable information. Sign on last pag e.

I . P O S I T I O N S . < R e ~ , o r , in g i .d l v i ,t u a l o n i y ; s e e p p . 9 - I 3 offiling instructions.)~] N O N E (No reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . < R e p o n i , g i , d i v id u a l o n + ; s e , p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

Name of Person ReportingD o h e r t y , R e b e c c a F .

Date of Report05/04/2011

I I I . N O N- IN V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. I7-24 offiling ins tructions.)A. Filers N o n - l n v e s t m e n t I n c o m e

~ (No reportable income.)O NE non-investmentDATE SOURCE AND TYPE

2.

3.

4.

I N C O M E( y o u r s , n o t s p o u s e s )

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 - i f you were ma rried daring any portion of the reporting year, complete this section.(D ollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment incom e.)DATE SOURCE AND TYPE

I.

2.3.

4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~ (No reportable reimbursements.)O NE

2.3.4.5.

S O U R C E D A T E S LO C A T IO N PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 7

Name of Person ReportingDoherty, Rebecca F.


V . G I F T S . a u c ~ u d e s t h o s e t o s p o u s e o . d dependent children; see p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

SOU R C E DESCRIPTIONI.2.

3.

4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; seepp. 32-33 of fillng instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.

3.

4.

5.

VALUE CODE


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V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[~ N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at en d

( i n c lu d in g t ru s t a ss e t s ) re p o r t i n g p e r io d o f r e p o r t i n g p e r i o d(I) (2) (1 ) ( 2 )

Place "(X)" after each asset A m o u n t Type (e.g., Value Valueexempt from prior disclosure C o d e 1 d i v , , r e n t , C o d e 2 M e t h o d

( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

I. UBS Bank De posit USA A I n t e r e s t J T2. Federated Market Opportunity A Dividend K T3. PIMCO Foreign Bond A Dividend J T4. PIMCO Comm odity Real Return A Dividend K T5. Calvert Global Alternat ive Energy Fund None J T6. Putnam H ealth Sciences Trust A Dividend J T7. Lehman Bro . Bank, Utah A I n t e r e s t

8. Oppenheim er Internat ional Bond A Dividend J T9. PIMCO Deve loping M arket s Fund A Dividend J T

1 0 . Ivy Asset Strategy Fun d A Dividend J TI 1 . Legg M ason Partners Intermed iate Term A DividendMun i Fund12. Oppe nhe i me r D ev e lop i ng Mark e t s Fu nd A Dividend J T13. PIMC O St oc k Pl u s Sh or t Fu nd A Dividend J T1 4. T e m p le ton Ch in a F un d A Dividend J T15. Frankl in AD J R a te Gov e rnme n t Fu nd A Dividend K T16 . Oppenhe imer Ltd . Term G ovt Fund A Dividend J T1 7. B l ac k Roc k G lob a l A ll Fu n d A Dividend K T

DoT r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(l ) (2) (3)Type (e.g ., Date Va l uebuy, sell, mm/dd/yy C o d e 2

redempt ion) (J-P)

Redeemed 08116/10 K

S o l d 06/01/10 K

(4 ) (5 )Gain Ident i ty ofCode 1 buyer/se l le r(A-H) (if private

transaction)

I. In co m e G a in C o d es : A = $ 1,000 or le ss B = $1,001 - $ 2,500 C = $ 2,501 - $5,000 D = $5 ,001 - $15 ,000( S ee C olumns BI and D4) F = $ 50,001 - $ I00.000 G = $ 100.001 - $ 1.000,000 H I = $ 1 .0 00 ,0 01 - $ 5 ,0 00 ,0 00 H 2 = M o re th an $5 ,0 00 ,0 00

2. Value (odes J = $15,000 or less K = $15,001 - $50,000 L -$50,001 - $ 100,000 M =$106,001 - $250,000( See Co l u m n s ( 1 an d D 3 ) N =$25(I.001 - $500,000 O =$500,001 - $1,000,000 P I -$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25,000,001 - $50.000,000 P4 =Mere than $50,000,0003. Value Mclhod (odes Q = Ap p r aNal R =C os t ( R eal Es t a t e O nly ) S =A s s es s ment T = C a s h M a r k e t( S ee ( o lunm C 2 ) U = B o o k Va l u e V = O t h e r W =Es t imated

E =$15,001 - $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - in c o ,. e , v a l u e , ,r a n s a c t io n s a n e t u d e s t h o s e o / s p o u s e a n d dependent children; see pp. 3 4 - 6 0 of filing instructions.)[~] N O 1 N E (No reportable income, assets, or transactions.)

A. B. C.Description of A ssets In com e d ur in g G ro ss value a t e n d

(in clud in g trus t asse ts ) rep orting period of reportin g perio d(l ) (2) O)

Place "(X)" after each asset Amount Type (e.g. , Value Va l ueexempt f rom pr ior d isclosure C o d e l div., rent, C o d e 2 Method(A-H) o r i n t . ) (J-P) C o d e 3

(Q-W )

Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4) (5 )D a t e V a l u e G a i n Identity of

mmdd/yy C o d e 2 Code l b u y e r / s e l l e r( J- P ) (A - H) (if private

t r a n s a c t i o n )

B u y 08/18/10 KI [

I. Income Gain C0dcs: A = $ 1,000 o r le ss B = $ 1,001 - $ 2,500 C = $ 2,501 - $ 5,000( S C olumns BI and D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ 1,000,000 HI =$1,000,001 - $5,000,000

2 . Value C odes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000( S c c C olumns C I and D3) N =$250,001 . $500,000 O = $5 00,0 01 - $ 1,00 0,00 0 P I = $1 ,000 ,00 1 - $5 ,000, 000

P3 = $25,000,001 - $50.000,000 P4 -More than $50,000,0003 , Va l u e Met ho d Co d es Q ~A p p r a i sal R ~ C os l ( R eal Es t a t e O nly ) S =A s s es s ment( S ee ( o lumn C 2 ) U =Book VaIu V : O t h e r W =Es l imatc d

D =$5,001 - $15,000H2 =More lhan $5,000,000M -$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C as h Mar k et

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 6 o f 7

Name of Person ReportingD o h e r t y , R e b e c c a F .

Date of Report05/04/201 I

VII I. ADDITIONAL INFOR MAT ION OR EXP LANATIONS. (D;dicatepart of report.)Pa r t VI I - I nve s t m e n t s a nd T rus t sI t ems l i s t ed on 2009 repor t tha t were e i the r redeem ed or s o ld i n 2010 :L i n e 4 - P i m c o F o r e i g n B o n dLine 5 - Al l i ance Hea l th Care FundL i n e 7 - F r a n k l in T e m p l e t o n F o u n d i n g F u n d sLine 8 - Frank l in Temple ton Fore ign FundLine 9 - P IM C O Al l As s e tL ine 10 - Eve rgreen As s e t Al loca t ionL i n e 1 1 - U B S D y n a m i c A l p h a F u n dL i n e 1 4 - L e e m a n B r o . B a n k , U t a hL i n e 2 0 - O p p e n h e i m e r D e v e l o p m i n g M a r k e t s F u n dL i n e 2 6 - B l a c k R o c k S c e i n c e a n d T e c h F u n dL i n e 2 7 - B l a c k R o c k S c i e n c e a n d T e c h F u n d


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FINANCIAL DIS CLOS URE REP ORTP a g e 7 o f 7

N a m e o f P e r s o n R e p o r t i n gD o h e r t y , R e b e c c a F .

D a t e o f R e p o r t05/04/2011

I X . C E R T I F I C A T I O N .1 c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d ~ v a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t ti n g n o n * d i s c lo s u r e .1 f u r t h e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signatu re: S[ Rebecca F. Doherty

N O T E : A N Y IN D I V ID U A L W H O K N O W I NG L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t i v e O f f i c e o f t he U n i t e d S t a t e s C o u r t sSui te 2-301O n e C o l u m b u s C i r c l e , N .E .W a s h i n g t o n , D .C . 2 0 5 4 4

rebecca f doherty financial disclosure report for 2010

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