! POSITION PARTIES AND TERMS c> . C < ? 3. Repon Required by the Ethic FINANCIAL DISCLOSURE REPORT A010 in Goverment Act of1978 Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C app . §§ 101-111) I. Person Reportng (last name, first, middle Initial) Bergan, Helen G 2. Court or Organiztion Easter Distict of Louisiana 3. Date of Report 07/07/2006 4. Title (Artcle Ill judges Indicate active or senior status; magistrate judges Indicate full- or part-time) Aricle III Judge - Active Sa. Report Type (check appropriate type) D Nomination, Date D Initial t Anul D Final 6. Reporting Period 01/01/2005 to 12/3112005 Sb. D Amende Reor 7. Chambers or Offce Addres 500 Poydrs Steet, Room C-556 United Sttes Courthouse New Orleans, LA 70130 8. On the basis of the Information contained In this Report and any modifcations pertaining thereto, It Is, In my opinion, In compliance with applicable laws and regulations. Reviewing Offcer Date IMPORTANT NOTES: The instructions accompanying thi form must be followed Complete all pars, checking te NONE box/or each part where you 1ave no reporabl inforation. Sign on last page I. POSITIONS. (Reportg individual onl; see pp. 9-13 of instructins) 0 NONE (o reportable positions.) NAME OF ORGANIZATION/ENTITY I. Member Louisiana State Bar Assn. Post Conviction Representation Committee 2. Member Board of New Orleans Federal Bar Association 3. Member Board of George & Jean Pugh Foundation: LSU Law School 4. Member Board of Trustees, Louisiana State Univerity, Law Center 5. I. AGREEMENTS, (Reportig individual only; see pp. U-16 ofinstuctions.) ! NONE (o reportable agreements.) I. 2. oU: ( i) C) ,- ., o:; c.n _. c ) ;Z p·1 p OJ" •>i- -n r··1 =- <- c . _ J < . r ( r < rn 0
Transcript
!
POSITION
PARTIES AND TERMS
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3.
Repon Required by the Ethics FINANCIAL DISCLOSURE REPORT A010 in Government Act of 1978 Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C. app . §§ 101-111)
I. Person Reporting (last name, first, middle Initial)
Berrigan, Helen G
2. Court or Organization
Eastern District of Louisiana
3. Date of Report
07/07/2006
4. Title (Article Ill judges Indicate active or senior status; magistrate judges Indicate full- or part-time)
Article III Judge - Active
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial tl9 Annual D Final
6. Reporting Period
01/01/2005
to
12/3112005
Sb. D Amended Report
7. Chambers or Office Address
500 Poydras Street, Room C-556 United States Courthouse New Orleans, LA 70130
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 Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box/or each part where you 1iave no reportable information. Sign on last page.
I. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)
0 NONE (No reportable positions.)
NAME OF ORGANIZATION/ENTITY
I. Member Louisiana State Bar Assn. Post Conviction Representation Committee
2. Member Board of New Orleans Federal Bar Association
3. Member Board of George & Jean Pugh Foundation: LSU Law School
4. Member Board of Trustees, Louisiana State University, Law Center
5.
II. AGREEMENTS, (Reporting individual only; see pp. U-16 of instructions.)
NONE (No reportable agreements.)
I.
2.
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4.
7.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2of8 07/07/2006Berrigan, Helen G
III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; se11 pp. 17-24 of instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
INCOME (yours, not spouse's)
SOURCE AND TYPE
West Services, Inc.; Book Royalties
LSU Law School; Teaching
I/you were married during any portion of the reporting year, complete this section.
SOURCE AND TYPE
Berrigan, Litchfield, Schonekas, Mann, Traina & Thompson Law Firm
- transportation, lodging, food, entertainment.
DESCRIPTION
I. 2005
2.2005 $ 1,500.00
3.
4.
5.
B. Spouse's Non-Investment Income -
(Dollar amount not required except for honoraria.}
D NONE (No reportable non-investment income.)
I. 2005
2.
3.
5.
IV. REIMBURSEMENTS (Includes those to spouse and dependent children. See pp. 25-27 of instructions.)
2. Federal Judicial Center Educational Seminar March 16-18, 2005 New York, NY (Meals, Lodging & Transportation)
3. Federal Judcial Center Administrative Meeting April 13-15, 2005 Washington, DC (Meal, Lodging & Transportation)
4. D!!fense Research Institute Seminar June 8-11, 2005 Las Vegas, NV (Meals, Lodging & Transportation)
5. George Mason University Seminar July 14 - 17, 2005 Sedona, AZ (Meals, Lodging & Transportation)
6. Federal Judicial Center Educational Seminar August 10- 12, 2005, Dallas, TX (Meals, Lodging & Transportation)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 3of8 Berrigan, Helen G 07/07/2006
8.
SOURCE
CREDITOR
3.
s.
Date of Report Name of Person Reportlng FINANCIAL DISCLOSURE REPORT
Page 4of8 07/07/2006Berrigan, Helen G
V. GIFTS. (lncllldes those to spollse and dependent children. See pp. 28-31 ofinstrucJions.)
[Kl NONE (No reportable gifts.)
DESCRIPTION
1.
2.
3.
4.
s.
VI. LIABILITIES. (lncllldes those of spouse and dependent children, See pp. 32-34 ofinstrllctions.)
[Kl NONE (No reportable liabilities.)
DESCRIPTION
VALUE
VALUE CODE
1.
2.
4.
•
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5of8 07/07/2006Berrigan, Helen G
VII. INVESTMENTS and TRUSTS - income, vatue, transactions (inctudes those of the spouse and dependent children. see PP· 14-s1 offiling instructionsJ
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
B.
Income during
reporting period
c.
Gross value at end of
reporting period
D.
Transactions during reporting period
(I) (2) (I) (2) (I) If not exempt from disclosure
Amount
Code I
(A-H)
Type (e.g.
div., renti
or int.)
Value
Code 2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.
buy, sell,
merger,
redemption)
(2)
Date
Month-
Day
(3)
Value
Code 2
(J-P)
(4) Gain
Code I
(A-H)
(5) Identity of
buyer/seller
(if private
transaction)
I. Citigroup-Common Stock c Dividend L T
2. IBM - Common Stock B Dividend M T
3. Tri-Continental Corp. Mutual Fund B Dividend L T
4. Salomon Bros. Fund Mutual Fund A Dividend K T
5. T. Rowe Price Growth Stock Mutual Fund
A Dividend L T
6. Profit Sharing Plan (See VIII) A Dividend K T
7. IRA Plan (See VIII ) A Dividend L T
8. Liberty Finan ervices, N.0., LA (common stock)
A Dividend L T
9. Rental Property #1 New Orleans, LA Appra. 8/21/85
D Rent M Q
10. Rental Property #2 New Orleans, LA D Rent L w
11. Profit Sharing Plan (See VIII) E Dividend
intt<es+ N T
12. Exxon Corp. Common Stock B Dividend L T
13. General Electric Common Stock B Dividend L T
14. ONEOK Common Stock B Dividend K T
15. Westar Energy, Inc. - Common Stock A Dividend D T
16. Fidelity Advisor -High Yield Portfolio Class T
B Dividend K T
17. Van Kampen - Capitol Prime Rate Income Trust
B Dividend K T
1. Income Gain Codes: A =S 1,000 or less B -Sl,001-$2,500 c -$2,501 -$5,000 D-$5,00I -SI 5,000 E-$15,001 -S50,000
{See Columns BI and 04) F-$50,001 -SI00,000 G-SJ00,001 -SJ,000,000 HJ -s1,ooo.001 -S5,ooo.ooo H2 =More than $5,000,000
2. Value Codes J =SlS,000 or less K -s I 5,001 -$50,000 L-$50,001 - $100,000 M-SI00,001 -$250,000
{See Columns Cl and 03) N-$250,001 -$500,000 o -s500,001 -s1 ,000,000 PI -s1,ooo,001 -S5,ooo,ooo P2 -ss.000.001 -s25,ooo,ooo
3. Value Method Codes Pl -$25,000,001 -$50,000,000 R -Cost {Real Estate Only) P4 -More than $50,000,000 T =Cash Market
{See Column C2) Q =Appraisal v-Other S =Assessment
U =Book Value W =Estimated
Date of Report Name of Person Repordog FINANCIAL DISCLOSURE REPORT
Page 6of8 07/07/2006Berrigan, Helen G
VII. INVESTMENTS and TRUSTS - income, value. transactions rmc1udes those of the spouse and dependent children. see PP· 34-s7 of filing ins1ructionsJ
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
B.
Income during
reporting period
c.
Gross value at end of
reporting period
D.
Transactions during reporting period -
(I) (2) (I) (2) (1) If not exempt from disclosure
Amount
Code l
(A-H)
Type (e.g.
div., rent,
or int.)
Value
Code 2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.
buy, sell,
merger,
redemption)
(2)
Date
Month -
Day
(3)
Value
Code2
(J-P)
(4) Gain
Code I
(A-H)
(5) Identity of
buyer/seller
(if private
transaction)
18. Command Money FWld (Wachovia Securites)
A Interest L T
19. International Paper Company Common Stock
A Dividend J T
20. ING Golden Select Guarantee Annuity A Interest K T
2 1. Dryden Ultra Short Bond Fund Y B Dividend M T
1. Income Gain Codes: A =S!,000 or Jess B =$1,001 -$2,500 c =$2,501 -$5,000 0=$5,001-$15,000 E=$15,001-S50,000
(See Columns Bl and D4) 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 =$15,000 or less K=$15,00I -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000
(See Columns Cl and 03) N=$250,001 - $500,000 0=$500,001-Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =S5,000,001 - $25.000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) Q=Appraisal V=Other S =Assessment
U =Book Value W=Estimated
Section VII #7 IRA Plan is invested in Dreyfous New Leaders Mutual Fund.
Section VII # 11 See Attached:
Joseph E. Berrigan, Jr., TrEE Joseph E. Berrigan, Jr., Inc., PLC P.S. Plan Statement from Wachovia Securities
FINANCIAL DISCLOSURE REPORT
Page 7of8
Name of Person Reporting
Berrigan, Helen G
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of Report.)
Section VII #6 Profit Sharing Plan is invested in Dreyfous Growth and Income Mutual Fund and Dreyfous Growth & Opportunity Mutual Fund.
Date of Report
07/07/2006
____ J \\ 1
FINANCIAL DISCLOSURE REPORT
Page 8of8
Name of Person Reporting Date of Report
Berrigan, Helen G 07/07/2006
IX. CERTIFICATION.
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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature Date "2..Do '-
NOTE: ANY IN ALSIFIES 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 Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
JOSEPH PS
' . '
summary 0.1.D.
•
Price or
· JOSEPH E BERRIGAN JR TTEE · Page 3of12 E BERRIGAN JR INC PLC • WACHOVIA SECURITJES ACCOUNT STATEMENTPLAN
• : ; I. :. I • • ., I; .... I( ,•
December 1·December31, 2005
Portfolio Assets This section Includes estimated or unrealized gains or losses for your information only and should not be used for tax purposes. If acquisition information is not available, the gain/loss information may not be displayed and section and totals may not reflect your complete portfolio. Cost basis information provided by the account owner is not verified by First Clearing, LLC and should not be relied upon for legal or tax purposes. Bonds purchased at a premium or (Original Issue Discount) will be carried at the original cost basis. Factored bonds (GNMA, CMO, etc.) will be adjusted for paydown of principal. Systematic lnwstments in mutual funds and reinwsted dividends for mutual funds and stocks haw been consolidated fur each position. Unit cost data for systematk: inwstments and dividend reinwstment securities is provided for informational purposes only and is a non-weighted average. To update your cost information or provide omitted cost information, contact Your Financial Advisor. Estimated Current Yield on Money Market funds, when available, reflects the current estimated yield for the Interest Period dates displayed. Estimated Annual Income, when available, reflects the estimated amount you muld earn on a security if your current position and its related income remained constant fur a r. Estimated Annual Y"teld, when available, reflects the current estimated annual income divided by the current value of the security as of the statement closing date. The information used to deriw these estimates Is obtained from various outside vendors: FCC is not responsible for incorrect or missing estimated annual income and yields.
Cash and Money Market Funds Est current
Description Current market value Est. ann. Income yield(%)
Cash $505.85
BANK DEPOSIT SWEEP $27,386.06 $684.65 2.50 OPTION Interest Period 12/01/05 - 12131/05
Total Cash •nd Money Market Funds $27,891.91
Curious how your securities are performing? The "Unrealized Gain/loss" column tells you how much each stock has Increased or decreased in value sinee u purchased it On some cases, this is based on cost data supplied by you or by an ou1si<E source, which may not be complete). Revisions 1o this Information (because of corporate mergers, tenders, and other reorganizations, for example) may be necessary from time to time. To update your cost Information or provide omitted cos1s, contact Your Financial Advisor. When Information Is available, tax lots are maood with an "L" to denote l.Dng-t.erm (shares held more than 1 year) or an "S" to denote Short-term (shares held 1 year or less).
Stocks and Options
Stocks Current Current Unrealized Est. Ann. Est. Ann.
GLATFELTER GLT Acquired 12/0Ml8 L 12.87 $4,625.80 14.1900 $4,96$.50 $340.70 $126.00 2.53 INOONESIAN DIAMOND l TO IOIMY
ADA .NIM NIA · . ·N!A'· . NIA NIA NIA NIA KINDER MOaGAN ENERGY KMP PARTNERS L P UNIT I.TO PARTNERslilP INT '
Id L 42;22 SG.843.72 $11,955.00 $2.111.28 $790.00 , ·----·--·-- ·-... .NEW PLAN EXCEL AL TY TA NXLINC . . . . · 03/1WJL '20.98 $10,857.78 ., 23.1800 $12,749.00 $1,891.22 $687.50
PEN\! REAL EST INV TR SB! PEI. . ..RErt . ' . Acquilld 11/201llel 22.75 '$9,014.94 ' . ·37.3600 $14,944,oo $5,929.06 $912.00 �J; RlY GROUP PG
-------·----··------·------·--ACqiilr8cl 10l1811M L ' $4,974.M ', . 7USOO ' $6;743.44 St 1246:40 3.65 TANGER FACTORY OUTLET SKT A,l:IT ce RS INC . .. . Acquil9d 03/1afa6 L 1 2.-43' Acqulreil 05110/04 L $1,290.00$3;587.01 28.7400 114,370 00
17.56 $6,889.21 $14,370.00
��=2 PANY $1,142.46 ______
VERIZON COMMUNICATION$ · · .
111/07/1!2 L $1,142.15 $324.00
llBllllllllHllllllUI
4.92
6.60
6.10
4.48
) )
or __ Basi$
• _ _
kqulred $67,068.1�------------ 9.08__
TIUs u ily '!DI rel ltd Cost information for one more
PJ11f Xe4 Castor
&sis Pile$ -
LWlLE Ai:qi.il 03/22/li1L II CN.LABLE 11'21·08
II 'i1/18/03l
l1/ll,l/?tl 11/01f.!006
25;()(1
. . .
6.97
23,363
WACHOVIA SECURITIES JOSEPH E BERRIGAN JR TTEE JOSEPH E BERRIGAN JR INC PLC PS PLAN
AC:LOlJNI
Page 5 of 12 STATEMENT
December 1·December31, 2005
and Options tocks contnl.l8d
Price or Cost Cui'reol Current Unrealized Esl. Ann. Est.Ann. Description Symbol Cluantity Adj. Cost Other Price Market Vailie Gain/loss Income Yield (%)· ·
Q"" " Nl.,tual Fu._ Estima.tlld nnLJCll incxune and Id refer to dividends and interest income only. and typically oo not reflect total return. If a portion of ur fund positlan was converted, the 'cost of current holdings' may 1ne1ucte reinvestments from previously held positions.
Pr or Cost or Current Curren I Unrealized Est. Ann. Est. Ann. OescriptlOn Symbol Quantity Aclj. Cost Other Basis Price Market Value Gainll.oss Income Yield (o/o)
FIDELITY SER !I HIGH FD CL T On Reinvestment ·
L L
Dividend reinvestment S
FAHYX
13.24 9.56 9.87
$9,964:n $5,927.87 $1,274.23
9.7600 $7,371.59 $6,046.37 $1,25 U2
• $2,593.18 $118.50 ·$15.11
$1,296.42 8.83
To $17;166.87 9.7600 $14.677.08 • $2,489.79 $1,296.42 8.83
HIGH YIELD FD PBHAX
Cost ol Current Holding (Exeluding Dividencl Aetllvestments) Current Value of Total Holdings (Including Dividend Reinvestments}
10122/04 L 12.21 $10,000.00 10 . 7400 reinvestment L
$516.78 11.51 $287.72 $268.25
$439.57 • $0.82DiViciilnd r nvestmenl S 10.76 $440,39
Total $10,728.11 10.7400 $9,5(>3.87 • $1,224.24 $516 .78
Cost ot Current Hok.lings (Excluding Dividend Reinvestments) $10,000.0Q Current Value of Total Holdtllg& (Including DiYldend Reinvestments) .·$9.503,87
IBlllllllllll lllllllll llllllllllllll
VAN MPEN $ENIOR
Acc;ount No. -
- - - - -----·
Price
-
PM INPQNIE A.Cclu@d Q7/Q7 Aequlr 12iW/01 L 7.08
INCOME AqquilJIQ
scuooeR ESTATEFD2
Ill •
•
---·--· · -
Qpen nd Mutual F..-nds
Sub I Branch I Rep.
FD INC $9,853.20 L
M1 RICA STRATEGIC
01/Q5198 L
15.25
-$340.50
$679.83
. ...
JOSEPH E BERRIGAN JR TTEE Page 7 ot 12 JOSEPH E BERRIGAN JR INC PLC • WACHOVIA SECURITIES . . . A C: C < l lJ N T S l A I E l\l I.: N IPSPLAN
I Account Nci. I CAP December 1·December31, 2005
Price or Cost or Current Current Unrealized Est. Ann. Est. Ann. npti()n Symbol Quantity Adj. Cost Other Basis Market Value Gain/Loss Income Y111ld (%)
XPRTX LO FD CL IB
On flllj!Mislrn!lnt Acquir /12196 L 10.02 $16,944.56 9.0400 $15,331.82 $1,612.74 •
Acquir&Q 03112196 L 11).02 $6.13 $5.50 • $0.63 Total
Tolal 0,,.... End u.,tllal Funds $16,950.69
$63,85fJ.83
9.0400 $15,337.32
$52,642.65
• $1,613.37
• $11,214.18
$679.83
$3,376.09
4.43
6.41
Clo"- nd Mt.du.I flW E$Umatecl annual income and yield refer to dividends and Interest income only, and typically oo not r flect totalreturn. If a portion of ur fund position was converted. the 'cxist of current holdings' may Include reinvestments from previously held positions.
Price or Cost or Currant Description Symbol Quanti1y Adj. Cost Other Basis Price
Current Marl!et va1ue
Unrealized Gain/1..0&5
Est. Ann. Income
Est. Ann. Yield ('Yo)
ACG 8.38 $9,895.49
$2.nuo 8.?8()0 • $42.29. $1 ,848.00 7 .. 97
$500.58$3,27$.88Ai:qUired IW27/04 L 7.86 $9;810.92 $10,951 92 $241.00 Total $22,484.71 8.2800 $23,184.00 . $699.29 $1,848.00 7.97
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