SOURCE AND TYPE
SOURCE
DATES
LOCATION
PURPOSE
ITEMS PAID
FINANCIAL DISCLOSURE REPORT
Page 2of11
Name or Penon Reporting PAULEY III, WILLIAM H
Date or Report 05/14/2008
III. NON-INVESTMENT IN CO ME.
(Reporting individual and spouse; see pp. 17-U of filing instructions.) A. Filer's Non-Investment IncomeD
NONE (No reportable non-investment income.)
SOURCE AND TYPE
INCOME
(yours, not spouse's) I. 2007 Snitow & Pauley, a former law partnership winding-down its affairs $0
(continuation of payments agreement described in Part II, line I)
2. 3. 4.
B. Spouse's Non-Investment Income -If you were married during any portion of the reporting year, complete this sectiotL (Dollar amount not required except/or honoraria.)
D
NONE (No reportable non-investment income.)
I. 2007 Self-Employed Licensed Real Estate Sales Person
2.2007 Self-Employed Floral Designer
3. 4.
IV. REIMBURSEMENTS
-transportation, lodging, food, entertainmenL (Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)D
NONE (No reportable reimbursements.)
OR PROVIDED
I. 2. 3. 4. 5.Duke University School of Law
April 12-15, 2007. Law School Board of Visitors Meeting. (travel, food and lodging)
Name of Person Reporting Date of Report
FINANCIAL DISCLOSURE REPORT
Page 3of11
PAULEY III, WILLIAM H 05/14/2008V. GIFTS.
(Includes those to spouse and dependent children; see pp. 18-31 of filing instructions.)[ZJ
NONE
(No reportable gifts.)
SOURCE
DESCRIPTION
I.VALUE
2. 3. 4. 5.VJ. LJABJLJTJES.
(Includes those of spouse and dependent children; see pp. 31-33 ofjlling instructions.)[ZJ
NONE
(No reportable liabilities.)
CREDITOR
DESCRIPTION
I.VALUE CODE
2. 3. 4. 5.2.
FUND
Name of Person Reporting Date of Report
FINANCIAL DISCLOSURE REPORT
Page 4of11
PAULEY III, WILLIAM H 05114/2008VII. INVESTMENTS and TRUSTS
-income, vatue, transactions r1nctudes those of spouse and dependent chitd en: see PP· 14-60 of filing instructions.)0
NONE(No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5)
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, Month- Code 2 Code I buyer/seller
(A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (ifprivate
(Q-W) transaction)
I. COMMON STOCKS
EXXON/MOBIL A Dividend K T
3. AXA AMERICAN DEPOSITORY A Dividend J T
SHARES
4. PRUDENTIAL FIN'L SRVS A Dividend J T
5. IBM A Dividend J T
6.
7. MUTUAL FUNDS
8. AIM SM CAP EQUITY FUND CL B A Dividend Conversion 3/28 K
(SMEBX)
9. AIM SM CAP EQUITY FUND CL A Conversion 3/28 K
(SMEAX)
JO. AIM SM CAP EQUITY FUND CL A A Dividend Sell 4124 K
(SMEAX)
11. ALGER FD BAL PORTFOLIO (ALGBX) A Dividend Conversion 413 K
12. ALGER FD BAL PORTFOLIO CL A A Dividend K T Conversion 4/3 K
(ALBAX)
13. ALLIANCE FOCUSED GROWTH Sell 1/12 K
INCOME CL A (ADGAX)
14. DA VIS NY VENTURE FUND CL A A Dividend K T
(NYVTX)
15. DRYDEN TOTAL RETURN BOND A Dividend J T
CL A(PDBAX)
16. MONEYMART ASSETS INC. CL B 8 Dividend M T
(PBBXX)
17. DRYDEN ACTIVE ALLOCATION FUND B Dividend L T
CL A(PIBAX)
I. Income Gain Codes: A =S 1.000 or less e =S1.001 -s2.soo C =$2,SOI - $5,000 D =SS.001-$15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F =$50,001- $100,000 G =SI00,001 -$1,000,000 HI =Sl,000,001 -$5,000.000 H2 =More than $5,000,000
2. Value Codes J =SI S,000 or less K =SIS,001-$50,000 L <o0,001 - $100,000 M =SI 00,00I • S250,000 (Sec Columns Cl and DJ) N =$250,001 • $500,000 0 =SS00,001 -Sl,000,000 Pl =Sl,000.001 -SS,000,000 P2 =$5,000.00 I - $25,000,000
PJ =S2S,000,00I -$50,000,000 P4 =More than SS0,000,000
J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash M;nket
Cl
25.
29.
Name of Penon Reporting Date of Report
FINANCIAL DISCLOSURE REPORT
Page 5of11
PAULEY Ill, WILLIAM H 05/14/2008VII. INVESTMENTS and TRUSTS
-income, value, transactions r1nc1udes those of spouse and dependent children: see PP· J4-6o offuing instructions.)0
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
18. DRYDEN INTL EQTY FD CL A (PJRAX)
B. c. D.
Income during Gross value at end of Transactions during reporting period reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5)
Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
A Dividend K T
19. DRYDEN STOCK INDEX FUND CL A B Dividend L T Partial Sale 4/24 K (PSIAX)
20. DRYDEN SM CAP CORE EQTY FD CL A None K T (PQVAX)
21. FEDERATED INTERNATIONAL VALUE A Dividend Conversion 817 J FUND CL B (FGFBX)
22. FEDERATED INTERNATIONAL VALUE A Dividend J T Conversion 8/7 J FUND CL A (FGF AX)
23. GOLDMAN SACHS MID CAP VALUE A Dividend Conversion 6/18 K FUND CL B (GCMBX)
24. GOLDMAN SACHS MID CAP VALUE Conversion 6118 K
FUND CL A (GCMAX)
GOLDMAN SACHS MID CAP VALUE A Dividend K T Partial Sale 1/12 K FUND CL A (GCMAX)
26. J. HANCOCK US GLOBAL LEADERS A Dividend K T GROWTH CL A (USGLX)
27. JENNISON NATURAL RESOURCES c Dividend L T Partial Sale 1/12 K FUND CL A (PGNAX)
28. JENNISON FIN SERVS FD CL A (PFSAX B Dividend Partial Sale 1/12 J
JENNISON FIN SERVS FD CL A (PFSAX Sell 12/28 L
30. JD MOD ERA TE ALLOCATION FD CL A L T Buy 12/28 L
(JDTAX)
31. JENNISON EQTY OPP CL A (PJIAX) A Dividend Sell 4/24 K
32. JENNISON UTILITY FUND CL A A Dividend K T (PRU AX)
33. JENINSON SMALL CO. FUND CLASS A A Dividend K T (PGOAX)
34. DRYDEN STRATEGIC VALUE FUND A Dividend K T A(SUVAX)
I. Income Gain Codes: A =Sl.000 or less B =Sl,001 -$2,500 C =$2,50 I • $5,000 D =SS,001 -$15.000 E =$15,001 -$50.000 (See Colu11111.1 Bl and 04) F =SS0,001 - Sl00.000 G =SI00,001. Sl.000,000 HI =Sl,000,001 • SS,000,000 H2 =More than SS,000,000
2. Value Codes J=Sl5,"00orless K =$15,001 • $50,000 L =$50.001 • SI00,000 M =SI00.001 -S250,000 (See ColUlllD.I Cl and DJ) N =$250.001 • $500.000 O =$500,001 • Sl.000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,001 -$25,000.000
PJ =$25,000,001 • $50,000,000 P4 =More than $50,000,000
3. Value Method Coda Q =Appraisal R =Cost (Real Estate Only) S =AJKSsment T=Cash Marlee< (See Colwnn C2) U =Book Value V --Other W =Estimated
FINANCIAL DISCLOSURE REPORT
Page 6of11
Name of Person Reporting PAULEY III, WILLIAM H
Date of Report 05/14/2008
VII. INVESTMENTS and TR US TS
-income, varue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)0
NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I ) (2) (3) (4) (5)
Place .. (X)" after each asset Amount Type (e.g.• Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-I-I) (if private
(Q-W) transaction)
35. PUlNAM HEAL TH SCI TRUST CL B None Conversion 1/22 K
(PHSBX)
36. PUlNAM HEAL TH SCI TRUST CL A None Conversion 1/22 K
(PH STX)
37. PUlNAM HEALTH SCI TRUST CL A None Sell 12128 K
(PH STX)
38. PUlNAM SM CAP VALUE CL A A Dividend Sell 4/25 K
(PS LAX)
39. SELIG LASALLE DIVIDEND REAL A Dividend Conversion 2/1 K
EST A TE FUND CL B (SREBX)
40. SELIG LASALLE DIVIDEND REAL Conversion 211 K
EST A TE FUND CL A (SREAX)
41. SELIG LASALLE DIVIDEND REAL A Dividend Partial Sale 1/12 K
ESTA TE FUND CL A (SREAX)
42. SELIG LASALLE DIVIDEND REAL A Dividend Sell 12128 K
ESTATE FUND CL A (SREAX)
43. SELIG INCOME FUND CL B (SIBBX) A Dividend Conversion 211 K
44. SELIG INCOME AND GROWTH CL A B Dividend K T Conversion 2/1 K
(SINFX)
45. SELIG SM CAP VALUE FD CL B A Dividend Conversion 211 K
(SSCBX)
46. SELIG SM CAP VALUE FD CL A A Dividend K T Conversion 211 K
(SSCVX)
47. SELIG FRONTIER FUND CL B (SLFBX) A Dividend Conversion 211 K
48. SELIG FRONTIER FUND CL A (SLFRX) K T Conversion 211 K
49.
50. ANNU!TIES
51. DISCOVERY PLUS B Interest M T
I . Income Gain Codes: A =Sl,000 or lcSI B =S 1,00 I • $2,500 c =$2,501. $5,000 D s5,00I - SIS,000 E =$15,001 - $50,000 (See ColUlllDJ Bl and 04) F=SS0,001 • SI00,000 G =SI00,001 • Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 o rless K =$15,001- $50.000 L =$50.001 ·SI 00.000 M =SI00.001 • $250,000 (Sec Columns Cl and DJ) N =$250.001 - $500,000 0 =$500.001 • Sl.000.000 Pl =Sl,000.001 - $5.000,000 P2 =S5.000.00I - $25.000.000
PJ s25,ooo,001 . S5o.ooo.ooo P4 =More than $50.000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Est ate Only) S :cAssessmcnt T =Cash Market
(I) (5)
54. 55. 56.
59.
Name of Penon Reporting Date of Report
FINANCIAL DISCLOSURE REPORT
Page 7of11
PAULEY III, WILLIAM H 05/14/2008VII. INVESTMENTS and TRUSTS
-income, varue, transactions r1nc1ut1es those of spouse and di!pendent children; su PP· 14-60 of filing instrucrions.JD
NONE(No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period {including trust assets) reporting period reporting period
(2) (I) (2) {I) (2) (3) (4)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A-H) Type (e.g., div., rent, or int.) Value Code 2 {J-P) Value Method Code3 {Q-W) Type (e.g., buy, sell, redemption) 52.
53. CASH AND CASH EQUIVALENTS
Date Value Gain Identity of Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private
transaction)
JP MORGAN CHASE B Interest K T
U.S. TREASURY BILLS E Interest 0 T Buy 8/23 L
DREYFUS LIQUID ASSETS INC. A Dividend J T
57. U.S. SAVINGS BONDS A Interest J T
58. AXA FIN'L LIFE INS (Cash Surrender B Dividend M T
Value)
AXA FIN'L LIFE INS (Cash Surrender A Dividend L T
Value)
60. WACHOVIA MONEY MARKET B Interest J T
ACCOUNT
61. EVERGREEN MUNICIPAL MONEY A Interest J T
MARKET FUND
62. NEW YORK STATE COLLEGE TUITION c Interest L T Buy 12124 J
SAVINGS FUND PROGRAM
63. NEW YORK STATE COLLEGE TUITION Sell 8/16 J
SA VIN GS FUND PROGRAM
64. WACHOVIA None L T
65. BB&T BANK CD None Redemption 712
66. THIRD FEDERAL S & L CD None Redemption 11/10
67. FIFTH THIRD BANK CD None Redemption 2/21
68.
I. Income Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E =St5,00I • $50,000
(See Columns Bl and 04) F =$50,001 • SI00.000 G =SI00,001 • Sl,000,000 HI =Sl,000,001. SS,000,000 H2 =More than $5,000,000
2. Value Coda J =$15,000 or less K =$15,001- $50,000 L =$50,001 • SI00,000 M =$100,001 · $250,000
(See Column.s Cl and 03) N =$250,001 • $500.000 0 =$500,001- Sl,000,000 PI =$1,000,00 I - $5,000,000 P2 =$5,000,001 - $25,000,000
PJ =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(4) 69. 73. 74. 75. 77. 315
Name or Penon Reporting Date or Report
FINANCIAL DISCLOSURE REPORT
Page 8of11
PAULEY III, WILLIAM H 05114/2008VII. INVESTMENTS and TRUSTS
-income, value, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 of filing instructions.)0
NONE (No reportable income, assets, or transactions.)
D.
B.
A. c.
Income during GroSll value at end of Transactions during reporting period Description of Assets
(including trust assets) reporting period reporting period
(3)
(2) (5)
(2) (I) (I) (2) (I)
Place "(X)" after each asset Amount Type (e.g., Value Value
exempt from prior disclosure Code I div., rent. Code 2 Method (A-H) or int) (J-P) Code3
(Q-W) RETIREMENT ACCOUNTS
401K PLAN- ING A Dividend K T
Type (e.g., buy, sell, redemption) Date Month -Day
Value Gain Identity of Code 2 Code I buyer/seller
(J-P) (A-H) (if private
transaction)
70.
71. IRA SCUDDER B Interest L T
72. ALGER CAPITAL APPRECIATION FD None Conversion 614 J
CL B(ACAPX)
ALGER CAPITAL APPRECIATION FD None J T Conversion 614 J
CL A(ACAAX)
JENNISON GROWTH CL A (PJFAX) A Dividend K T
JENNISON TECH FUND CL A (PTY AX) None Conversion 9/24 J
76. JENNISON MID-CAP GROWTH FUND None J T Conversion 9/24 J
CL A(PEEAX)
DA VIS NY VENTURE FUND CL A A Dividend J T
(NYVTX)
78. GOLDMAN SACHS TRUST FUND CAP None J T
GRWTH PORTFOLIO CL A (GSCGX)
79. JENNISON HLTH SCI FD CL A (PHLAX) A Dividend J T
80. JENNISON SELECT GROWTH FUND CL None Conversion 611 I J
B (SPFBX)
81. JENNISON SELECT GROWTH FUND CL None J T Conversion 6/11 J
A(SPFAX)
82. STRATEGIC PARTNERS NEW ERA None Conversion 315 M
GRWTH FD CL B (SNGBX)
83. JENNISON MID-CAP GROWTH FUND None Conversion M
CL B (PEEBX)
84. JENNISON MID-CAP GROWTH FUND None Sell 9/19 M
CL B(PEEBX)
85. SELIG COMM & INFO FD CL A A Dividend J T
(SLMCX)
t. lacome Gain Code&: A =St,000 or less B =St,OOt - $2,500 c =$2,501 - $5,000 D =S5,00I • St5,000 E =St5,00I -$50,000
(See ColWllDI BI and 04) F=S50,001-SIOO,OOO G =SIOO.OOl -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More thaa $5,000,000
2. Value Codea J =$15,000 or less K =Sl5,00t - $50,000 L =S50 i'Ot - SI00,000 M =SI00,001 -$250,000
(Sec Columns Cl aod DJ) N =$250,001 - $500,000 0 =$500,001 - Sl,000,000 r1 =11.000.001 • S5.ooo,ooo P2 =$5,000,001 • $25,000,000 PJ =525,000,001 • $50,000,000 P4 =More than $50,000,000
J. Value Method Cod .. Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
c.
Name of Penon Reporting Date of Report
FINANCIAL DISCLOSURE REPORT
Page9of11
PAULEY III, WILLIAM H 0511412008VII. INVESTMENTS and TRUSTS
-income, value, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 of fuing instructions.)0
NONE (No reportable income, assets, or transactions.)
A. B. D.
Description of Assets (including trust assets)
Income during reporting period
Gross value at end of reporting period Place " (X)" after each asset
exempt from prior disclosure
(I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption)
Transactions during reporting period (2)
Date Month
-Day
(3) (4) (5)
Value Gain Identity of
Code 2 Code I buyer/seller (J-P) (A-H) (if private
transaction)
86. WACHOVIA MONEY MARKET FUNDS A Interest K T
87. U.S. THRIFT SA VINOS PLAN (GOVT
SECURITIES
FUND)
D Interest N T Rollover 10/17 M
88. UTS GOV'T SEC EQUITY TRUST A Dividend J T
E =SI 5.001 - $50,000
I. Income Gain Code.: A =S 1,000 orlCSJ B =Sl,001-$2..lOO C =$2,501 - SS,000 D •$5.001 -SIS.000
(Sec Columns BI and 04) F =$50,001 • $100,000 G =$100,001. Sl,000,000 HI=Sl.000,001 • SS,000,000 H2 =More than SS,000,000
2. Value Codes J =SI 5,000 or . r,ess K =SIS,001- $50,000 L =$50,00 I • SI 00,000 M =$100,001 • $250,000
(Sec ColumnJ Cl and DJ) N =$250,001 - $500,000 0 =$500.001 • Sl,000,000 Pl =Sl,000,001. $5,000,000 P2 =$5,000,001 - $25,000,000
PJ =$25,000,001 • $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
FINANCIAL DISCLOSURE REPORT
Page IO of 11
Name of Penon Reporting PAULEY 111, WILLIAM H
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
(lndicate parto/Report.)Date of Report 05/14/2008
' .
Date of Report Name of Penoo Reporting
FINANCIAL DISCLOSURE REPORT
Page 11of11
PAULEY Ill, WILLIAM H 05114/2008IX. CERTIFICATION.
I certify that aU 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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Sign a
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS 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 DisclosureAdministrative Office of the United States Courts Suite
2-301
One Columbus Circle, N.E. Washington, D.C.
