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United States District Court Southern District of Texas Houston Division 515 Rusk Avenue Houston, TX 77002-2601 Nancy F. Atlas Tel.: 713-250-5990 United States District Judge Fax: 713-250-5994
August 23, 2004 (J) ;.u 0 c...uiit1,... ..,, c;::::l ;:;,!'.':'.)..:,,::;i:Honorable Mary M. Lisi, Chair m::=:;;>Committee on Financial Disclosure ftiAdministrative Office of the United· States Courts )1, m-.One Columbus Circle, N.E., Suite 2-301 0c:::>C>
Washington, D.C. 20544 m Dear Judge Lisi: In response to your letter dated July 30, 2004, I am enclosing the original and two copies of my Amended Annual Report which addresses the concerns expressed in your letter. For your convenience, the following are the Part, page and line references that were · amended: Part IV, line 1, the location of the meeting of the Women's Initiative Advisory Board was inadvertently left off. Part VII, page 1, line 1, Boston Celtics LP Il Sub Deb. Part VII, page 1, line 3, Citigroup Common. Part VII, page 1, line 15, Mass Mutual Group Universal Life Ins. (not mentioned in your letter). Part VII, page 1, line 16, Medco Health Solutions, Inc. Part VII, page 2, line 25, Shaw, Patricia loan (18). Your letter describes this as a "sale or disposition of ... assets." But this Was an additional loan we made to Ms. : Shaw. Part VII, page 2, line 29, Time Warner, Inc. -Common.
l':\FINDISCL\2004\Lisi hr re amended repon.wpd 04-01123.1141
P:\FINDISC!..\2004\Lisi lttre amcnd<d roport.wpd 040823.1141
AMENDED Report Required by the Ethics A0-10 FINA1'1CIAL DISCLOSlJRE REPOR Rev. l/2004 In Government Act of 1978 Calendar Year 2003 (5 u.s.c. app. §§ 1o1-1 n)
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l. Person Reporting (Last name, First name, Middle initial) 2. Court or Organization
3. Date of ReportI Atlas, Nancy F U.S.D.C.-S.D. Tx.8/20120044.. Title (Article Ill Judges indicate active or senior status; 5. ReportType (check appropriate type)
6. Reporting Periodmagistratejudges indicate full-or part-time}Q Nomination, Date111/2003U.S. District Judge, Activeto0 fnilial @ Amwal Q Fina\12131/20037. Chambers or Office Address 8. On th e l:!asis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance
United States District ColD't ·with applicable laws and regt.dations.SIS Rusk Slfeet, Room 9015
Reviewing OfficerHouston , TX 77002 IMPORTANT NO'fES: The instructions accompanying this form must be followed. Complete all parts, checking theNONE box for each partwhere you have no reportable infunnation. Sign on last page. ·l POSffiONS. (Reporting individual only; see pp. 9-13 of.filing instructions) 0 NONE -(Nareportablepositions.)1. Associate Member VICTORY (Houston American Caru:er Society)
2. Co-Trustee Trust l (l)
3. Co-Trustee Trust2 (2) o::;
i'I 4. Co-Trustee Trust3 ::.c; t.7_;;,'F,'!tf# s. Co-Trustee Trust4 (4) f"rt
_,, 6. Co-Trustee Trust S (1 )(4)
7. Co-Trustee Trust6 (2) (4)
8. Task Force Co-Chair American Bar Associatians Section of Litigation IT. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions)
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01
NONE -(No reportable agreements.)
l.
·FINANCIAL DISCLOSURE REPORT Name of Person Reporting Atlas, Nancy F Date of Report812012004 ID. NON-INVESTMENT JNCOME. (Reporting individual anct spouse; see PP· i1-24 offiling instructions) A.Filer's Non-Investment Incom 0 NONE -(No reportable non-investment income.)1. 2003 (I.aw Finn), Partner(s) (yours. not spouse's) 0.00
B. Spouse's Non-Investment Incom -(If you were married during any portion of the reporting year. please completethis section. (dollar amount not required except for honoraria)0 NONE (No reportabl e non-investment income.)-AND TYPE IV. REIMBURSEMENTS transportation, lodging, food, entertainment.-(Includes those ID spouse and dependent children. See pp. 25-27 of instructions.) 0 NONE (No such reportablereimbursements.)·omen's Initiative Advisory Board 6/5/03 -617/03 Meeting. Austin, Texas (lodging and meals): F'INAfCIAL DISCLOSURE REPORT Name of Person Reporting Date ofReportAtlas, Nancy F 8/20/2004
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-3 l of instructions.) 0 NONE (No suchreportable gifts.)-
Date of Report Page 1of6 Name of Person Reporting Atlas, Nancy F 3/J0/2004 v11. INv"'ESThIENTS and TRUSTS income, value, !r.mscations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) Description ofAssets (including trustassers) B. !ncome during reporting period c. D. Gross value at end of Transactionsduring reporting period reporting period
{I)Ifnot exempt ftom disclosure(l)(2) (3) Place "(X)" after each asset exempt Value Value Type (e.g. Date;Amount Type {e.g.Identity ofValueGain from prior disclosureCode2 Method buy, sell, Month-Code I div.rent. orbuyer/sellerCode2 Code I(A-H) int.) (J-P) Code3 merger, Day (1-P) (A-H) (ifprivalt: (Q-W} transaction)Rl!lemption)0 NONE (No reportable income, asseis, or transactions)Boston Celtics LP II Sub Debl.Cisco Systems Iilc. (2)Citigroup -Comrn2n
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4. Coca-Cola Co. -Common (2)
5. Dreyfus Appreciation Fund (2)
6. Equitable Universal Life Insurance (6)
7. Franklin Templeton Mutual Beacon Fnd
8. Goldman Sachs Il..A -Prime Oblgtns Portfolio (2)
9. Intel Corp. (2)
IO. IRA: Dreyfus Appreciation Fund (2) 11. IRA: Vanguard Iildex Trust 500 Portfolio
12. ITT Hartford Annuity (6)
Janus Worldwide Fund
13.
14. JP Morgan Chase Bank (2)
. Mass Mutual Group Univmal Life Iils (2X 6) 16. Medco Health Soulutions, Iilc. (9)
17. Merck & Co. Inc. -Common (2)
18. Merrill Lynch Bank Deposit Program (17)
Income/Gain Codes; A = Sl,000 or less B =$1,001-$2,500 = $2,501-£5,000 =$5,001-:&1.S,OOO = $15,001$50,000 (SeeColumnsBI andD4) F =SS0,001-$100,000 G $100,001-$1,000,000 Hl = $l,000,00l ..S5,000,000 H2 =More trum $5,000,000 = 2. Value Codes; $15,000 or less K =Sl5,00l-$50,000 L =$50,001-$100,000 M =$100,001-$250,000 (See Columns C land 03) N = S250,00\)-$500,000 0 = $500,001-$1,000,000 Pl =$1,000,001-$5,000,000 !'2 = $5,000,001-$25,000.000 P3 = $25,000,00I-$.50,000,000 P4 =$More than $50,000,000 3. Value Method Codes Q =Appraisal R =Co.st (Real Estate Only) s = Assessment T =Cash/Markel
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v =Olher W =Estimated
Name of Person Reporting Date of Report Page 2of6 Atlas, Nancy F 312012004 income, value, tnmscations (includes those of the.spouse and dependel!t children. See pp. 34-57 oi filing instructions.) VIl. INVESTMENTS and TRUSTS B. c. D.A.Income during Gross value at end of Transactions during reporting periodDescription of Assetsreporting period reporting period(including !.rllSt assets)Ifnot exempt from discloslll'e (l) (I) (l)Place "(X)" after each asset exen-.>tAmount Type (e.g.from prior disclosure Code l div. rent or (A-H) int.)19. MetLife Investors Group Inc. (6)20: Nexus BT, LLLPNexus Members 1999 Drilling Fund LLLP21.
22. Nexus Resources LLc-Preferred
23. Partnership in real estate, Houston, TX (10)
24. Polaris Aircraft V-A 1984. Ltd. Partnership (7)
25. Shaw, Patricia loan (18)
26. T. Rowe Price Small Cap Value Fund
Tens Regional Bancshares, Inc. -Comrµon (2)
27.
28. Texas State Bank. Houston, TX (2)
29. Time Warner, Inc. -Common (8)
30. Tower Equity '84 Ltd. Partnership (11)
31. Traveler's Property Casualty Grp. (X)U.S. Savings Bond (Series EE) (2)32.
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33. -Annuity(5)
34. -Capital Account
35.
36. Vanguard 500 Index Fund
1. hlcome/Gain Codes; A =·$1,000 or less ='$1,001•$2,SOO {See Columns BI and D4) ,p ;=$50,001,$100,000 G = $100,001-$!,000,000
2. Val1t1;Cddes: J =Sl5,000·orless K = $15,001-$50,000
{See Columns Cl and 03) N =:$250,000-$500,000 0 =.$500,001-$1,000,000 Pl =$25,000,001-$SO,OOO,OOO 3. ValueMefuod Codes Q =Appraisal R =Cost (Real Estate Only) (2) Value Value Type (e.g. Date; Value Identity of Codel Method buy, sell, Month Code2 Code I buyer/seller merger, (J·P) Code3 Day {J-P) (A-H) (if private redemption) (Q-W} lrallsadion) ·= $2,301"$5,00() D = $5,001-$15,000 =·$15;001•$50,000 HI = Sl,000,001-$5,000,000 H2 =More liu!n $5,000,000 L = S5D,001-$l 00,000 M = $100,001-$250,000 Pl =Sl,000,001•$5,000,000 P2 =$5,000,001-lli,OOO,OOO P4 · = 1Mme lhlm sso;ooo,oo() s =Assessment T =Cash/Market FINANCIAL DISCLOSURE REPORT Date of Rep<Jrt Page 3of6 Atlas, Nancy F 8.'20/20(}4 Vil INVESTMENTS and TRUSTS -income, value, transcations (includes tllose of the spouse :ind dependent children. See pp. 34-:57 offiling instructions.) 37. 38. 39. 40. 41. 42. A. Description of Assets (including ttw;t assets) Place "O::t after each asset exempt li:oinprior disclosw-e Vanguaro Extended Market Index Fund Vanguard Short-Tenn Bond Fund (2) VanguardTotal Stock Market Fund (2) Visteon Corp. Detaware :zero Coupon Dollar Savings Bond for St. of Israel (I} TRUST I B. Incomeduring teporting period (l) (2) Amount (e.g. Code! div. rent. or (A-H) int.) c. Gross value at end of reporting period (l} (2) Value Value Code2 Method (J-P} Cod.el (Q:-W) n. Transacfons during reporting period (I) If not exempt from disclosure (2) Type (e.g. Date: Value buy, sell, MonthCode2 merger, Day (J-P)redemption) Code l (A-H) Identity of buyedseller {if private transaction) 43. 44. 45. 46. 47. 48. 49. 50. SI. 52. 53. -Dreyfus Appreciation Fund TRUST2 -CATS -Coca-Cola Co. -Common Goldman Sachs Il.A -Prime Oblgtns Portfolio -Medco Health Soulutions, lnc. (9) -Merck & Co. Inc. -Common -TIGR -Vanguard Trust 500 Index Fund Trust3 CATS 54. -Coca-Cola Co. -Common
l. ·Income/Gain Coikls: A = :n,ooo or less = $1,001-$2,500 -$2,:501-$5,000 = $5,001-$15,000 E =$15,001-SS0,000 (See·cohmms Bl and D4} F = $50,001-$100,000 $100,001-$1,000,000 HJ =·s1,oon.001
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ss.ooo,ooo H2 =More than $5,000,000 2. Value Codes: J = $15,000 or less K $15,0CH.$50,000 L = SS0,001-$100,000 M =$!00,001-$250,000 (See Columns.Cl and 03} N = $250,000..SSOO,OOO 0 = $500,001-$1,000,000 Pl = $1,000,00l-$5,000,000 P2 =$5,000,001-$25,000.000 P3 = $25,000,00!-$:50,000,000 P4 = SMore than $50,000,000 3. Value Method Codes Q =Appraisal R Cost (Real Estate Only) s =Assessment T Cash/Market (See Colwim C2) =Book Value =Other W =Estimated
:FINA1'iCIAL DISCLOSURE REPORT Date of Report Page 4of6 Atlas, Nancy F Name of Person Reporting 8/20/2004 'lII. INVESTMENTS and TRUSTS -income, lllllue, transcations (includes those of the spouse and dependent clu1. See pp. 34-57 offiling instructions.) A. B. c. D. Income during Gross value at end of Tra11sactions during reporting period Description of Assetsreporting period reporting period(includillg trust assets)(2) (1) (2)(1)If not exempt from disclosure(2) (4) (5)Place "(X)" after each asset exemptType (e.g. Value Valoe Type (e.g. Date: Value Gain Identity ofAlmwltfiomprior disclosurediv. rent or Code2 Method buy, sell, Month· Code2 Code ICode Ibu)'Cr/seller(A-H) int) Codel Tiletger, Day (J-P) {Ml) (if privatetransaction)(Q-W)-Goldman Sachs UA -Prime Oblgnts Portfolioredemption)56. -Medco Health Soulutions, Inc. (9)-Merck & Co., Inc. -Common58. -Vanguard Index Trust 500 Portfolio
59. TRUST4(4)
60. -Mercury Equity Index Fund
TRUSTS (4)
61.
62. -Active Assets Money Trust Insured Account(l 7)
63. -Delphi TR I Ser.
64.
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-FHLMC 2489 lA {15)
66. -Ford Motor Co.-Ford Motor Co.-Gen. Motors CV Sen. Notes67. 68. -GNMA 02-33 BA (16)
69. -Muni Bond (FL): Dade School District
-Muni Bond (FL): Hillsboro Aviation -Muni Bond (FL): Hollywood WIS.. -Muni Bond (FL): Homestead Assessment 72. I. Income/Gain Codes: A =Sl,000 arless B = s1;00H;2,5oo ='$2,501-$5,000 D = $5,001-$15,000 E = $15,001$50,000 . (See Colurrms B 1 arid D4) F = $50,001-$100,000 G = $100,001-$1,000,000 HI. = $1,000,00I-$5,000;000 ll2 =More than $5,000,000 2. Value Codes: J ;= $15,000 OT Jess K = $15,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000 (See Columns Cl and D3) N = $250,000-$500,000 0 = $500,001-$1,000,000 Pl = $!,OOO.OOJ-$5,000,000 P2 =S5,000,001·$25,000,000 P3 = $25,000,001-$50.000,000 P4 = $More than SS0,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) s = Assessment T =Cash/Market (See Colwnn C2) u =Book Value 'i =Other W =Estimated
Na111e of Person Reporting 1 Date oiReport Pages of6 Atlas, Nancy F 8/20/2004 -income, v11lue. tnmscations (includes those of the spDuse and dependent childrea See pp. 34-57 of filing ins1ruetio11S.) Vll INVESTMENTS and TRUSTS A. Description of Assets (including trust asselS} Place "CXr after each asset exempt fiom prior disclosure B. Income during reporting period (2) Amount Type (e.g. Code I div. rent. or (A-H) int.) c. Gross value at end of reporlillg period (I) (2) Value Value Code2 Metllod (J-P) Code3 (Q-W} D. Transactions during reporting period (I) If not exempt from disclosure (2) (S) Type (e.g. Date: Value Gain idelllityof buy, sell, MonthCode2 Code l buyer/seller merger,, "'demption) Day (J-P) (A-H) (if pri\'ale transaction) 73. 74. 15. 76. 77. 78. -Muni Bond (FL): Ja cksonville Sew -Muni Bond (IL): Illinois Health Faes -Silver Cross · -Muni Bond (IL): lllinois Health Faes BE -Dupage -Nabisco -SAT -GB Global lns. -Time Warner, Inc. (8) -79. 80. 81. 82. 83. -U.S. Treasury Note 11/lS/04 -U.S. TreasuryNoteS/lS/06 -U.S. Treasury Bond S/15/16 -Unit MIT Muni Put NY l TRUST6{4) 84. 85. 86. 87. 88. 89. 90. -Active Assets Insured Accunt & Money Trust (17) -American Electric Power -American Electric Power -FHLMC 2489 I.A (20) -First Republic Cap. Corp. -Ford Motor Credit Corp. -Ford Motor Credit Corp.
1. , IncomefGain Codes: A = $1;000,or less B = $1,001-$2,500 =$2;501-$5,000 D = $5,001-$15,000 $15,001"$50;000 . (See Columns Bl and 04) F =$50,001-SioO.OOO G = $100,00h$l,000,000 HJ =$1,00(},001-$5,000,000 B2 =More than $5,000,000 2. ValueCodes: J •$15,000 or less K = $15,001-$50,000 L =$50,0fil-$100,000 M = SI00,001-$250,000 (See Columns Cl and DJ) N = $250,000-$SOO,OOO , 0 = $500,00!-$!,000,-000 Pl =
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$1,000,00!·$5,000,000 P2 = $5,000,00J-$25,000,000 P3 = $25,000,00l-$50,000,000 P4 =$More tlun $50,000,000 3. ValueMethodCodes Q =Appraisal R = Cost {Real Estate Only) s = Assessment T = Cash/Ylarket u =Book Value v Estiimted
Date of Report Name of Person Reporting Page 6of6 Atlas, Nancy F 812012004 -income, value, lraliscarions [includes 1hose of the 5)lOUSe and dependent children. See pp. 34-57 of filing instructions.) VII. INVESTMENTS and TRUSTS A. Description of Assets (including trust assets) Place "(X)" after each asset eicemp! fu>mprior disclosure B. Incduring reporting period (2) Amount Type (C:g. Code I div. rent or (A-H) illi.} c. Gross value at end of reporting period (1) (2) Value Value Code2 Method (J·P) Code3 (Q·W) D. Tmnsactions during reporting period (I) If110t exempt from disclosure {2) Type {e.g. Date: Value blly, sell, MonthCode2 merger, Day (JP)redemption) Gain Code I (A-H) (5) Idenlityof .buyer/seller (if private transaction) 91. 92. 93. 94. 95. 96. 97. ·GM CVT Sen. Nts. -GNMA 01-63 BH (19) -GNMA 02-33 BA (22) -Muni Bond {FL): Cape Coral Health Faes A -Muni Bond {FL): Jacksonville Pollution Control -Muni Bond (NY): New York City G.O. Rfdg. Ser.F -Muni Bond {TN): Tennessee Housing Dev. (21) ---·-· 98. 99. 100. -Muni Bond: NY State Mortgage Agency ·SAT -GE Global Ins. • Trans Canada Ltd. Pfd Sec. 8.25%
1. Inrorne/Gairi Codes: A =Sl;Oooorless c -"'$2,501-$5;000 D $5,001-$15,000 E = $15,001-$50,000 {See Columns BI and 04) F 'F$50,001.:Si00;000 G = SiQ0,001-$1,000,000 Hl .= Sl,000,00!-$5,000,000 H2 = MoN than $5,000,000 2. Value Codes: 1 =$15,000m less .K ='$15,001-$50,000 L = $50,00lSIOO,OOO M = $100,001-$250,000 (See Columns C1 and 03) N = $250,000.$500,000 0 = $500,001-$1,000,000 Pl =$1,000,001-$5,00(),000 P2 $5,000,001-$25,000,000 P3 = :&25;000.0-01-$50,000,000 P4 =$More than $50,00-0,000 3. Value Method Codes Q =Appraisal R Cost (Real Estate Only) s =Assessment T CasllfMarket
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report ! Atlas, Nancy F 8120/2004 (lndicale part ofReport.) \!IlI. ADDITIONAL INFORMATION OR EXPLA.i'lATIONS Section l Notes: (l} Under the Will o
(2)Under the Will o
Section V Note.s:
(I) A few times each year. friends sit with them at tables they have purchased at a charity event. We occasionally invite fi:iends to us at a for a charity event. Since my confirmation, each time any fi:iend has invited us to sit at their table, made a contribution to the organization hosting the event equal to or at least the cost of two tickets to the event. Each time, the fi:iend a close fi:iend whose fi:iendship long predated my nomination. A few of those fiiends are lawyers and could some day represent clients in my court. To my knowledge, none of those fiiends were parties ore represented clients in my court atthe time of the event at which we sat at their table.
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Section VD Note.s: (1)No interest income is included in Column B(l )on zero coupon bonds until maturity.
(2)Several entities of the same. asset (e.g., equity, checking accounts, variable life insurance policies) have beencombined into a single entry.
(3)All mutual fund distn"butions, whether dividend, interest, or capital gains, are listed as •dividends• inColumn B(I).
( 4) Trust 4 in this report is a new trust. Trust 4 in prior reports is now listed as Trust 5. Trust 5 from prior reports is labelled Trust 6 in this report. payment (beginning 1115/15) of a fixed amount times years of service starting 1/1/95. Presen1 value was provided by an actuary hired by my
(6)Cash surrender value provided by the company.
(7)Polaris, a limited partnership in invested in 1984, purchased an airplane that was leased to an airline company and wassold in 2001. Some proceeds from the sale had as of 111, but this yeats distn"bution is the final one. The current year'sincome and
-value are based on the.(8)Fonnerly known as AOL Time Warner, Inc.
(9)Medco Health Solutions, Inc.: spin-off from Merck & Co., Inc. on 8120/03.
(10)This is a partnership iDvestment in real estate in Houston, Teicas that was sold in 200I. Some cash from the sale hasnot yet been distnouted.
( 11) This partnership interest reilects passive investments by has no business activity or management role in connection with this investment.
(12)ciPates in th Retirement Plans A and B. These are individual account defined contn"butian plans qualified under.
I.R.C. Section 401(a). The contributions by the firm are Plan A has a salary reduction l.R.C. Section 401 (k) feature.The Trustee of the Plan is JPMorgan Chase Bank, N.A.,Houston. Texas. no investment discretion with respect to theinvestments of this defined contribution plan, except for the after-tax constribution has the liminted discretion tochoose any of a number of funds that are available. The General Investment Fund is mostly an equity fund managed byseveral outside investment advisors. The finn made deductions from ayroll account, ea.eh in the value o.on the
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following dates in 2003: 211, 3/1, 5/1, 711, 811, 1011, 1111, 1211,and 12131. (13) SAT-OE Global Ins.: purchases made on 6/13/03, 6/Z6/03 and 7124/03. (14)SAT-OE Global Ins.: purchases made on 6/11103and11/4/03.
(15)FHLMC2489 I.A: return of principal received on 1115/03. Yullyamortized.
(16)GNMA02-33 BA: return of principal received an 1/21/03. Fully amortized.
(17)Money Market Account containing some cash at year end.
(18) This is an individual loan.(19) GNMA 0 1-63 BH: return of principal received on 1120/03. Fully amortized.(20) FHLMC 2489 LA: return of principal received on 1/15103. Fully amortized.(2!) Muni Bond Tennessee Housing Dev.: At the start of200 Trust 6 contained -units of this asset. Of the total,its werecalled
·in 2002. Jn 2003 ore units were called, leaving in the Trust units at year-end. This is a clarification of my 2002 Report, which might·suggest the entire assei: was sold that year.
(Indicate part of Report)VIII. ADDIDONAL JNFORMATION OR EXPLANATIONS(22)GNMA 02-33 BA: return of principal received on l/2 l/03. Fully amortized.
(23)Unit Muni PlTf NY 1: return of principal received on 5/25/03, 11/25/03 and 12125/03, plus small amount of interest.Partially amortized.
(24)Dreyfus Appreciation Fund: purchases in the amount omade on 6/27/03 and I 0/16/03.
any) is accurate, true, and complete to the best of my knowledge and belief: and that any information not reported waswithheld because it met applicable statutory provisions permitting non-disclosure.I further certify that ·earned income from outside employment and honoraria and the acceptance of giftswhichhave been reported are in compliance with the provisions of5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
FINANCIAL DISCLOSURE REPORTin Government Act of 1978 Calendar Year 2003 (5 U.S.C. app. §§ 101-111)1. Person Reporting (Last name, First name, Middle initial) 2. Court or Organization 3. Date of Report
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Atlas, Nancy F U.S.D.C. -S.D. Tx. 614/200 4 4. Title (Article III Judges indicate active or senior status; 5. ReportTypc (check appropriate type} 6. Reporting Period magistrate judges indicate full-or part-time) Q . Nomination, Date 1/112003 U.S. DistrictJudgc, Active to 0 Initial (!) Annual 0 FlnaI 12/31/2003 7. Chambers or Office Address 8. On the basis of lhe infonnation contained in this Report and any · modifications perutlning thereto, it is, in my opinion, in compliance United States District Court with applicable laws and regulations. 515 Rusk Street, Room 9015
Reviewing Officer Houston, TX77002 ctions accompanying this form must be followed. Complete all parts, checking the NONE box for each part Sign on last page. I. POSffiONS. (Reporting individual only; see pp. 9-13 offding instructions} 0 NONE -(No reportable positions.}POSIDON OF1. Associate Member VICTORY (Houston American Cancer Society}
2. Co-Trustee Trustl (1)
Co-Trustee Trust2 (2) 4. Co-Trustee Trust3
5. Co-Trustee Trust4 (4)
6. Co-Trustee Trust5 (1)(4}
7. Co-Trustee Trust 6 (2) (4)
8. Task Force Co-Chair American Bar Associations Section of Litigation
IT. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions) ,_, = NONE -(No reportable agreements.) = -,;J 1. PARTIES AND TERMS CJ r--.,, o:::; c.".l-c:J> c__ c:: I _o rn 0 rn o:r> -nr -rt .. 0
,., N r.
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V. GIFTS. {Includes thoseto spouse and dependent child ren. See pp. 28-31 of instructions.) D NONE -(No such reportable gifts.)
1. $0
VJ. LIABILillES. (Includes thoseof spouseand dependent children. See pp. 32-34 of inslructions .) 0 NONE (No reportable liabilities.)·
VALUE
1. Texas State Bank Mortgage on property #1, Galveston, Texas (Not for production of income N or investment) 2.
"FINANCIAL.DISCLOSURE REPORT Name of Person Reporting Date of Report Page 1 of6 Adas, Nancy F 61412004 -income. value, trans cations{includes those of the spouse and dependent children. See pp. 34-57 of filill8 instruction:.) VIl. INVESTMENTS and TRUSTS A. B. c. D.Income during Gross value at end of Transactions during rep!lrting period DescriptionofAssets reporting periodreporting period(including trust assets)Ifnot coomipt from disclosure(1) (2) (J)Value Type (e.g.Place "(X)" after each asset exemptfrom prior discloS1111:T.YPe
Dale:Va1ue Value Identity of Amount Code2 Method buy,selJ, Monlb div. tcnt. or buyer/seller (A-H) int.) (J..P) Code3 . Day (J-P) I (A-(ifprivahl redemptioo) transaction) D NONE (No rq>ortable income, asselli, or tran5actions) (Q-W) Boston Celtics LP JI Sub Deb 1.
2. Cisco Systems Inc. (2)
3. Citigroup -Common4. Coca-Cola Co. -Common (2)Code I Code2
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Dreyfus Appreciation Fund (2) 6. Equitable Universal Life Insurance (6) 7. Franklin Templeton Mutual Beacon Fnd 8. Goldman Sachs ILA -Prime Oblgtns Portfolio (2)
Intel Corp. (2)IRA: Dreyfus Appreciation Fund (2)10.
IRA: Vanguard Index: Trust 500 Portfolio 11.
12. m Hartford Amntity (6)
13. Janus Worldwide Fund
14. JP Morgan Chase Bank: (2)
15. Mass Mutual Group Universal Life Ins (2X6)
16. Medco Health Soultttions, Inc. (9)
17. Mk & Co. Inc. -Common (2)
18. Merrill Lynch Bank Deposit Progi:am (17)
. l. hicrime!Gaill Codes: k ;,, ;i;ooo orls • B: :=$1;001-si,soo •C •= $2;SOI"Ss.ooo :D -:-SS/l<ll$15,000 ;--:(seeCe1��'.an:4). : ·f Ss;oiu1p0o& ····:•o .• . Hr•::-sh«><i;OC)jsftooiooo. •'Bl· 7'M�thal!s.ooo;a<»2. v.iiuo Codes: . . . J • '= SU;llOO or less ..•. ·· :&..• = $1s,0015o;b()O' M .. ""'SJ00;00!-$250;000.. .
(See ColumnsC1 !llldD3) . . · N ,.:s2so,o00.$soo,ooo · · o .. = ssoo;oo1.s:1;000,ooo · p1·· . s1Q00-001,0Q�ooo. ' · :·pi. -·ss.,0Qo;o012s,ooo,QcO !'3 = Sis;ooo;ooi;sso;ooo,ooo P4 ,;; $More than $5(l,-ODO;JOO .. 3. Value Method Codes Q = Apprnisnl R = C<lst (Real Estate Only) S ;,, Assessment T ''" Casb.iM.aib:t Name ofPerson Reporting Pagel o:f6 Atlas, Nancy F 6/4/2004 -income, value, tnmscations (includes those of the spouse and dependent children. &e pp. 34-57 of filing instmcti.) VII. INVESTMENTS and TRUSTS 8. c. D. fnc.ome during Gross value at end of Transactions during reporting period A. DCSGription of Assets
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reporting period RpOning period (mcluding trust assets) Ifnot exempt :from (l)(!) (2) (2)Place "(X)" after each asset exemptfi:om prior diselown:19. MetLife Investors Group Inc. (6)20. N=xus BT, LJLP21. Nexus Members 1999 Drilling Fund ULP22. Nexus Resources I.LC-Preferred23. Partnership in real estate, Houston, TX (10)
Am<ltmt Type (e.g. Value Value Type (e.g. Date: Value Gain ldeolityof Code 1 div. rent or Code2 Method buy, sell,Month-Ccde2 bu:yerlsclkr {A·H) int.) (J·P) Code3 merger, Day (J..P} 1 (A-(ifpriwll::(Q-W) !'lldemplion) ttaosaction)Polaris Aircraft V-A 1984 Ltd. Partnership (7)25. Shaw, Patricia loan (1&)
26. T. Rowe Price Small Cap Value Fund
Texas Regional Bancshares, Inc. -Common (2) 28. Texas State Bank, Houston, TX (2) 29. Time Warner , Inc. -Common (8) 30. Tower Equity '84 Ltd. Partnership (11) 31. . Traveler's Property Casualty Olp. 32. U.S. Savings Bond (Series EE) (2) 33. 34. -=apital Account 35. ..General Investmen Fund (12) 36. Vanguard SOO Index Fund
·· ·· ··A =·Sl,000 orless . a .. w :c :o_ ='.ss,1-s1s,1100. '.!' ..•. • : {See Coi.mk Bl anilo4r F 50,001$100;000: .. G :=:Sl ep;Ooi$1,000,00Q ' lit= $.1 iOOo,ooi;OOO;oo!i: :m '"" M lhan $S;Ooo;OOO ,;Yeioodes:.. J. ,;.$1.S,OOOoriess "=·SU,bol-$50,000 L : ,;;$50;001100;000 . . :;M SHJOiJo1-S250,oociI . (See Columns Cl and D3) N '." szso,ooo.;ssoo.ooo . =.ssoo,00111;000,000 Pl .i.is1;000;001-ss,ooo,ooo ,..s5,ooo;eioi;ooo.ooo P.3 "'S25,0DO,OOI·S50,000,00o P4 =SMtlian sso,ilOO,ooo
j 3.Value Method Codes Q Apprais:il R Cost (Real B:.tale Only) S Assessment r Cash!Market = = = ·= = 1 <See Colulllll. C2) U =Book Vaiue V =Other W Estimated
,• FINANCIAL DISCLOSURE REPORT Date of Report Name of Pe coo Reporting Page3 of6 Atlas, NancyF . 614120 04
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i
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes those of the spouse and dependent chlldren. See pp. 34-57 of filing instructions.) B. c. D. Income during Gross value at end of Transactions during reporting period A. Description of Assets reporting period reportingperiod {incllldingtxust assets) If not exempt from disclosure (2) (I) (3) (4) Place "(X)" after each asset exempt Value Value Type (e.g. Dat.e: Value Identity of Code2 Method buy, sell, Month· Code2 buyer/seller Amount Type from prior disclosure Code I div. rent. or int.) (J-P) Code3 merger, Day (J-P) I (A· (if private {Q.W) transaction) (A-H) n:demption) Vanguard Extended Market Index Fund 37.
Vanguard Short-Term Bond Fund (2) 38.
Vanguard Total Stock Market Fund (2) Visteon Corp. Delaware 40. Zero Coupon Dollar Savings Bond fur St oflsrael(l)42. TRUST l
-Dreyfus Appreciation Fund
43.
--( TRUST2 44. 45. -CATS 46. -Coca-Cola Co. -Common 47. -Goldman Sachs ILA-Prime Oblgtns Portfolio 48. -Medco Health Soulutions, Inc. (9)
• Merck &Co. Inc. • Common -TIGR so. 52. -Vanguard Trust 500 Index Fund
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Trust3 54. -CATS -Coca-Cola Co. -Common :1.s: A:,,,stooooi1e5s B =St;iltlics2.'51io . .(Collllnns 61 lllld DJ.) 'F '"$so;ooJc$IOO;ooo G e:$HJQ;Ool-Sl,00(l,OOO :Hl = $l,OOO,QOHJ:s.JiOO;Q(l0 H2 '"'MOl1lihl!n $5,0QQJl()O . 2;Vii!ueCodes: · .J "".SiS;oo:OCiess . K ""$15,001-$50,QOO . L =:Sso,oo.1.s100.oo:o M ;.uoo,001,si50,ooo {SeeCoilirtins Cl and D3) N = $250,000.:$500,000 o =-ssoo;oii1-$1;000,000 Pl =·n,000J)o1.ss,ooo,ooo P2 = ss,ooo.orn..s2s;rioo,ooo P3 "'S25;000,00l-$50,000,000 P4 =:SMore ttum $50,000,000 ii, Value Method Codes Q Appraisal R Cpst (Real Estate Only) S = Asses;;ment T CashlM<irket FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page"4 .of 6' Atlas, Nancy F 6/4/2004
-income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.) Vil. INVESTMENTS and TRUSTS A. B. c. D.Description of Assets (including trust assets) Inoome during reporting period (I) (2) Gross value al end of reportingperiod (1) (2) Transactions during reporting period (I) Ifnot exempt from disclosure (2) (3) (5)Place "(X)" afler each asset exempt from prior disclosure Amount Type (e.g. Code I div. rent or (A-H) int) ValueValue Code2 Method (J-P) Code3 (Q-W) Type (e.g. Date: Valuebuy, sell, MonthCode2 merger, Day (JP)redemption) Gain Code l (AHI Identity of buyer/seller (if private transaction)55. -Goldman Sachs ILA -Prime Oblgnts Portfolio56. • Medco Health Soulutions, lnc. (9)57. -Merck & Co., Inc. -Common -58. -Vanguard Index Trust 500 Portfolio59. 60. 61. 62. 63. 64. 65. TRUST4 (4) -Mercury Equity Index Fund TRUST 5 (4) -Active Assets Money TrustInsured Account(l 7) -Delphi TR 1 Ser. -FHLMC 2489 LA (15) -Ford Motor Co. 66. 67. 68. 69. 70. 71. 72. -Ford Motor Co. -Gen. Motors CV Sen. Notes -GNMA 02-33 BA (16) -Muni Bond (FL):Dade School District -Muni Bond (FL): Hillsboro Aviation ·Muni Bond (FL): Hollywood W/S -Muni Bond(FL): Homestead Assessment
· · · 'Inconie/OainCodes: A =SI.ODO :or less · B =Sr,001"s2.soo c '=·S2,50icS5,000 · : D . =S5:,1101ns,ooo Hi ;.M.orethan$5;000;000 ' {See Co!Uinns IH and 1)4) F '=:sso;ooHIOO;OOO ' HI =S!;000,001"$5;'1)00000 2. Vallie Codes: J :: Sl5,0GO oi1eiis K = $1S;OOicS:So;ooo L =$50;001-SlOO,OOO :M =SHJ(),OOI'S250;000 (SeeColunmsCJ and D3) N · =S25o,ooo-ssoo;ooo .o ,,,:$5ob;oo1cs1;000,ooo Pl =$!,OOO,U!il'$5,000;000 . Pi =$5,000;001-$25;000;000 P3 =:S25,ooo.oaHso,ooo.ooo P4 =:SMore ilian S50,0DO,OOO 3. Value M!>thod Codes Q =Appraisal R = Cost (Real Estate Onlr) S =Assessment T = Cashi'Market (See Column C2) U =Book Value V =Other W =Estimated
Date of Report Name ofPerson Rep orting Page'5.of6. Atlas, Nancy F 6/4/2004 VIl. INVESTMENTS and TRUSTS -income, value, transcalions (mcludes those of the spouse and dependent children. See pp. 34-S7 offiling instructions.) A. Description of Assets (including trust assets) Place"(){)" after each asset exempt fi'OIIl prior disclosure B. c Income during Gross value at end of reporting period reporting period (1) (2) (I) (2) Amount Type (e.g. Value Value Codel div. rent or Code2 Method {A-H) int.) {J..P) Ccde3 (Q-W) D. Tnmsactions during reporting period (1) If not exempt from disclosure Type (e.g. Date: Value ooy, seU, MonthCode2 Code merger, Day (J-P) I (A-redemption) H\ (S) Identity of buyer/seller (If private lransaction)
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73 . -Muni Bond (FL): Jacksonville Sew 74. 75. -Muni Bond (Il..): Illinois Health Faes -Silver Cross -Muni Bond (Il.Illinois Health Faes BE • Dup age . ): 76 . 77. -Nabisco -SAT-GE Global Ins. 78. -Time Warner, Inc. (8) 79. -U.S. Treasury Note 11/15/04 80 . -U.S. Treasury Note 5/lS/06 81. -U.S. Treasury Bond S/lS/16 82. 83. -Unit MIT Muni Put NY 1 TRUST6(4) 84. 85. 86. 87. 88. 89. 90. -Active Assets Insured Accunt & Money Trust (17) -American Electric Power -American Electric Power -FHLMC 2489 LA (20) -First Republic Cap. Corp. -Ford Motor Credit Corp . • Ford Motor Credit Corp. '
A =Sl;Oll!Lodess • B ,;;s;1,oot-:S2,:rno c ,;; S2.so 1ss;ooo '"' s,oo1 isrn,O(lo ' · ,csc&1Ullllis Bl l!IJ.<lDj,) F =·s.001-srno;ooo. G. . =$100;00.l'Sl;QO:Q;O!)O . Hl >=Sl;OQO,QOl7$5,0lJQ;ll(lO =MOTi:iliBri S5,()00;0® · . -. ' . . . . . . "'$.1$,()QI$50000· .. 20\'alue .Codes: J ""SlS,llOO orless . K. • L ..,;s;o,001:.Sioo,ooo M =sioh,ooi:"fuo.ooo . · . · (See Colllliins 01.imd 03) N = $20,001}.:$500,000 Pl ".' $1,000,00FS5!00li,ooo l'2 "'$S,000,00l·S25,000,000 . PJ· .$2S,000,0lll$SO.;OOO;Oo0 P4 · = SMDr• than sso,tioo,ooo , \liilue Method Codes Q = ApJiraisru R "" C (RealEstale Oiiiy) S Assessment T =' Cii.sh!Market . ' ' . . . . . = Gross value at eod of FINANClAL DISCLOSURE REPORT Date of Report Name of Person Reporting 6/4/2004 Page·6 ,of 6: , Atlas, Nancy F VII. INVESTMENTS and TRUSTS -income, value, lranscatiom; (includes those of the spouse and dependentchildren. See pp. 34-57 offiling instructions.) c D.A. B.Transactions dwing reporting periodIncome duringDescription of Assetsreporting period(including trust assets)Ifnat exempt ftom disclosure(1) (2) (l)(2)(3)Type (e.g. Date:Place •(X)" after each asset exemptValue Value ValueIdentity ofAmount Type (e.g.Code2 Method buy, sell, Month-Code2from prior disclosure
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buyer/sellerCode I div. rent or(A·H) int.}(J-P)Code 3 merger, Day(J-P) I(A·(if privatetransaction)redemption)-GM CVT Sen. Nts.-GNMA 01-63 BH (19)92. 94. -GNMA 02-33 BA (22)-Muni Bond (FL): Cape Coral Health Faes A-Muni Bond (FL): Jacksonville Pollution Control 95. -Muni Bond (NY): New York Cicy G.O. Rfdg. Ser. F
96. --Muni Bond (TN): Tennessee Housing Dev. (21)97.-Muni Bond: NY State Mortgage Agency98. -SAT -GE Global Ins.99.
·Trans Canada Ltd. Pfd Sec. 8.25% 100.
· ·i:-·;moo·Cods: · >A · '.==:!S100:0r:ss B :'$!;.Oof•$2,MO . D = $5,001·$15,000 E = tl5;0014SO;otio (S:GOilllmlS'Bl t!D4) · F ;;:S.50,P!.;$100;000 ·. G '."'SIOO,O()l-$1,000;000 HI =$1,i}00,:001,.$$,'D.OO,OOO H2 =Morethan$5,000,000 2. V!l!ue.G.Odes: J .,,SIS;OOOorless K =SJ5,00lc$50;lloo. · L =$50;00!-SHlO,OOO M = $100,00l<i>2.50,000 .(See Columns ClantJD3) N ='S250,00()-S.SOO,-OOO o = ssoo;iltiH1:000,0oo Pl = s1;000.001..ss,ooo;ooo n = ss;ooo,oai-s2s,ooo,ooo P3 =:s2s,ooo;o01.sso,ooo,ooo P4 = $More than sso,ooo;ooo 3, Value Method Codes Q = Appraisal R =Cost (Real Esttle Only) S = Assossment T = Cash/Market
vm. ADDmONAL INFORMATION OR EXPLANATIONS Section l Notes:
Section V Notes: (I) A few times each year, friends invite -me to sit with them at tables they have purchased at a Charity event We occasionally invite friends to join us at a table we have purchased for a charity evenl Since my confirmation, each time any friend has invited us to sit at their table, made a contribution to the organization hosting the event equal to or at least the cost of two tickets to
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the event Each time, the friend inviting us has been a close friend whose friendship long predated my nomination. A few of those friends are lawyers and could some day represent clients in my court To my knowledge, none of those friends were parties ore represented clients in my court at the time of the event at which we
(1)No interest income is included in Column B{l) on zero coupon bonds until maturity.
(2)Several entities of the same asset (e.g., equity, checking accounts, variable life insurance policieS) have been combinedinto a single entry.
(3)All mutual fund distributions, whether dividend, interest, or capital gains, are listed as "dividends" i.n Cotumn B{l).
( 4) Trust 4 in this report is a new trust Trust 4 in prior reports is now listed as Trust 5. Trust 5 from prior reports is labelled Trust 6 in this report.
(5)Annual payment (beginning 1/15/15) of a fixed amount times years of service starting 1/1/95. Present value wasprovided by an actuary hired by my -awfum.
(6)Cash surrender value provided by the company.
(7)Polaris, a limited partnership in which--I invested in 1984, purchased an airplane that was leased to an airline oompanyand was sold in 2001. Some proceeds from the sale had not yet beeil distributed as of 111, but this year's distribution isthe final one. The current year's income and value are based on
(8)Formerly known as AOL Time Warner, Inc.
(9)Medco Heallh Solutions, Inc.: spin-off from Merck & Co., Inc. on 8/20/03.
(13)SAT-GE Global Ins.: purchases made on 6/13/03, 6126/03 and 7/24/03.
(14)SAT-GE Global Ins.: purchases made on 6/11/03 and 1114/03. (IS) FHLMC 2489 LA: return of principal received on 1/15/03. Fully amortized.
(16)GNMA 02-33 BA: return of principal received on l/21/03. Fully amortized.
( 17) Money Market Account containing some cash at year end.(18) This is an individual loan.(l 9) GNMA 01-63 BH: return of principal received on 1/20/03. Fully amortized.
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(20)FHLMC 2489 LA: return of princ ipal received on 1115/03. Fully amortized.
(21) Muni Bond ( : Tenn essee Ho using Dev.: At the start of2002, Trust 6 contained. ofthis asset Of the total,'91iits were called in 2002. In 2003,-re units were called, leaving in the Trustnits at year-end.This is a clarification of my 2002 Report, which might suggest the entire asset was sold that year.
Date of Report FINANCIAL DISCLOSURE REPORT Atlas, Nancy F 6/412004 (Indicate part of Report.) VIII. ADDIDONAL INFORMATION OR EXPLANATIONS(22)GNMA 02-33 BA: return of principal received on 1121/03. Fully amortized.
(23)Unit Muni PUT NY l: return of principal received on SD.5/03, 11/25/03 and 12/25/03, plus small amount of interestPartially amortized.
(24)Dreyfus Appreciation Fund: purchases in the amount of fvere made on 6D.7/03 and 10/16/03.
FINANCIAL DISCLOSURE REPORT Atlas, Nancy F 61412004
IX. CERTIFICATION. I certify that all infonnation given above (including infonnation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belie and that any information not reported was withheld because it met applicable statutocy 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. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIBS OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVlL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104) FILING INSTRUCTIONS l\:fail 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
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