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[· AO· ·
o R':!v. 1/2004 -
..,
___________ _
rosmoN ORGANIZATION/ENTITY
P:A.RTIES AND TERNIS
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Reviewing Officer
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Report Required by the Ethics FINAl'-....,IAL DISCLOSURE REPORT in Government Act of 1978
Calendar Year 2003 (5 t;.S.C. app. §§ IOl·lll)
l. Person ReJPorting (Last name, First name, Middle initial) 2. Court or Organization 3. Date of Report
ALDRICH, ANN U.S. DISTRICT NO DLST OHIO 5/5i1004
4. Title (Art1icle ill Judges indicate active or senior status; 5. ReportType (check appropriate type) 6. Reporting Period
magistrate judges indicate full- or part-ltirne) Q Nomination, Date 11112003 JUDGE (SENIOR STATUS) to0 Initial @Annual Q Final
12/3112003
7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining !thereto, it is, in my opinion, in compliance
CARL B. STOKES US COURTHOUSH with applicable laws and regulations,
801 WEST SUPERIOR AVE, STE 17B Date
CLEVELAND, o:mo 44113
IMFOR.TANT NOTES: The ir1structions accompanying this fonn must be followed. Complete all parts. checking the NONE box for each part
where you have no reportable information. Sign on last page.
I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions)
NONE - (No reportable positions.)
NAME OF
1.
instructions)II. AGREEMENTS-. (Reporting individual only; see pp. 14-16 offiling
NONE - {No reportable agrii:ements.)
1.
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DIBQ l_ __M _P_' _--T- N-ru_re_o_f_P_ _w_.n _R_ _o_n_in _g _______ -_. ______ L_ _m_a_f_R_ _a_n_J
SOURCE
SOURCE
SOUR.CE DESCRIP1.10N
ALDRICH, ANN 5/5/2004
ill. NON-INVESTMENT I C01\.1E. <Reporting individual and spouse: see PP· 11-24 of filing instructions)
A. Filer's: Non-Investment lnc:o1m
0 NONE - (No reportable non··investment income.)
1.
AND TYPE
THE EQUITABLE ANNUITY
GROSS INCOME
()'OW'S, not spouse's)
754
2. TEACHERS INSURANCE AND ANNUITY ASSOCIATION 740
3. TEACHERS INSURANCE AND ANNUITY ASSOCIATION 548
B. Spouse's Non-In vestment Income - (If you were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)
NONE (No reportable non,-i1nvestment income.) -
AND TYPE
l.
IV. REil\.1BURSEMENT8 - transportation, lodging, food, entertainment.
(Inclludes those to spouse and dependent children. See pp. 25"27 of instructions.)
0 NONE (No such reportable: reimbursements.) -
1. GEORGE MASON UNIVERSOYSCHOOL OF LAW - MARCH 10-16-ARLINGTON, VA-SEMINAR RE: CIVIL SOCIETY
LAW & ECONOMICS CENTER (TRANSPORTATION, MEALS AND LODGING)
DESCRIPTION
DESCRIPTION CODE
Name of Person Repoi:ing FINANCIAL DISCLOSURE REPf T
ALDRICH, ANN
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)
NONE - (No such reportable: gifts.)
1.
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)
NONE (No reportable liabilities.)-
I.
VALUE
-j ____J
, ______ _
-
(2) (3)
I
I
l1 11
(4)
·-
·-�������������������������������-���-��--'
FINANCIAL DISCLOSURE REPo:· Name of Person Reporting Date of Report
?.age i of 3 ALDRICH, ANN 5/5/2004
VII. INVESTufENTS and TRUSTS - income, value, transcations (includes those of th spouse and dependent children. See pp. 34-57 of filing instnictions.)
A. B. c. D. Income during Gross value at end of Transactions during reponing period
Description of Assets reporting period reporting period (including trust assets)
If not e.'<empt from disclosure (I) (2) (I) (2) (!)
Place "(X)" after each asset excmpi from prior disclosure
-
DNONE (No reportable income, asse1ts,, or transactions)
l. TRUST PART A:. MONEY MARKET FUND -FLEET NATIONAL BANK
2. CHECKING - KEY BANK - CLEVELAND, OHIO
3. CHECKING - KEY BANK - CLEVELAND, OHIO
4. CHECKING- CAYMAN NATI, BANK-CAYMAN BRAC, BRITISH W.I.
5. UNIMPROVED REAL PROPERTY .CRES WEST END CAYMAN BRAC
6. HOUSE AND LOT - CAYMAN BRAC, BRITISH W.I.
Amotmt Code I (A·H)
c
A
A
Type (e.g. div. rent. or iat.)
Interest
Interest
Interest
None
None
None
Value Code2 (J-P)
M
J
I
J
0
N
Value Method
Code3
{Q-W)
T
T
T
T
Q
w
Type (e.g. buy. sell. merger. redemprion)
Date: Month· Day
Value Code 2 (J-P)
Gain Code I (A-1·1'
(5) Identity of buyer/seller (ifpriva = transacti1)n I
7. IRA SMITH BARNEY - JOHN HANCOCK REGIONAL BANK SHARES
-
8. CHECKING- KEY BANK - CL.EVELAND, OHIO
-
9. 9LoT 'PRINCE GEORGES COUNTY, MD
-
10. VERJZON COMMUNICATIONS COMMON STOCK
B
A
A
Interest
Interest
None
Dividend
K
J
K
T
T
w
T
11. HOST MARRIOTT COMMON STOCK A Dividend J T
12, SOUTHERN COMPANY COMMON STOCK A Dividend J T
13. PEPC:.O HOLDING INC A. Dividend J T
14. SMilJi BARNEY UNIT TRUST
-
15. DEAN WITIER MUTUAL FUND- MSDW LIQUID ASSET FUND
-
'16. NlNEEN DN ADVANTAGE MUNI FUND
A
A
A
Dividend
Dividend
Dividend
L
L
J
T
T
T
17. ISTAR FINANCIAL INC
-
18. CffiGROUP, INC.
A
A
Dividend
Interest
J
K
T
T PARTIAL SALE
10/03 K D
l. Income/Gain Codes: A = $1,0 0 ur less B = $1,001-$2,500 C •$2,501-$5,000 D =S5,001-S15,000 E =$15,001-$50,000
(SeeColtmmsBl andD4) F =$50,001-SI00,000 G =$100,001-Sl,OOO,OOO Hl • $1,000;001-$5,000,000 H2 =More than $5,000,000
2. Value Code:s: J = $!5,0100 or less K = $15,001-$50,000 L =$50,001-SI00,000 M = $100.001-$250,000
(See Columns Cl and D3) N = $250,000-SSOO,OOO 0 = $500,001-$1,000,000 Pl =$1,000,001-SS,OOO,OOO P2 = SS,000,001-$25;000,000
P3 = $25,000,001·$50,000,000 P4 = $More than SS0,000,000
3. Value Method Codes Q =Appmisal R =Cost (Real Estate Only) S =Assessment T =Cash/Mad:et
(See Column C.'2) U =Book Value v = Other W =Estimated
·---'---------�------------�--""------------------------------------------------1..------------·-----
--(2) (3) (4) (5)
--
I
--
-
-
/',: B·
F ..
24.
35.
FIN L\NCllAL DISCLOSrRE REPOf •Name of Person Reporting DateofRcport P.age of 3 ALDRICH, ANN 51512004
VII. INVESTi\1ENTS and TRUSTS - income, value, transcations <includes those ar111e spouse and oep•mdent children. See pp. 34-s1 or ming instructions.)
A. B. c. D.
Description of Assets (including trust assets)
Pllace "(X)" after each asset exempt" from prior disclosure
19. JOHN HANCOCK REGIONAL BANK FUND B
-
20. US TREAS HH BONDS
21. US TitEAS E BONDS
22. IRA -TiiE EQUITABLE -ALLlANCE GROwrH INVESTORS FUND
23. SALOMON BROTIIERS HIGH INCOME FUND II
Income during reporting period
(1) (2)
AmOIUll Type (e.g. Code I div. r=nL or (A-H) int.)
A Dividend
c Interest
B Interest
B Interest
A Interest
Gross value at end of reporting period
(1) (2)
Value Value Code2 Method
Code3(J-P) (Q-W)
TL
L T
K T
TK
TJ
Transactions during reporting period
(1) !f not exempt from disclosure
Type (e.g. Date: Identity ofValue Gain buy, sell, Month- Codc2 Code buyer/seller merger, Day [ifprivat1i(J-P) I {A-redemption) 1-1'\ transaction)
25.
SUMMIT CO OHIO REF & IMP SER A A Interest REDEEM 08/01 J
-
MIRANT CORP A Dividend J T
26.
27.
-
BLACK ROCK INVESTMENT QUALITY MUNI TRUS:T
-
BLAC:KROCK MUNICIPAL INCOME TRUST
c
B
Dividend
Dividend
L
K
28. FORD MOTOR CREDIT PFD i'/375% B Dividend K
29. GENERAL MOTORS ACCT CORP PFD 7.3% B Dividend K
30. PUBLIC STORAGE INC PFD
-
B Dividend K
31.
-
REGIONS FINANCING TR PFIJ 8% B Dividend K
32.
-
ROYAL BANK SCOTLAND GRJP PFD 7.875% B Dividend K
33.
-
ST PAUL CAPITAL TRUST PFD 7.6% B Dividend K
34. SUNTRUST CAPITAL IV PFD 7 .. 6% B Dividend K
-
T
T
T
T
T
T '
T
T
T
36.
TAR.GETS TR XI TARGETED GROwrH B Dividend J T ENlL CED TERM SEC ON AMX
TARGETS TRX TARGETED GROwrH B Dividend J T ENR CED TERM SEC ON GE
'
1. Income/Gain Codes: = $1,001) c>r less ;=$1,QOl-$2.500 c ,;. $2,501-$5,000 D ;..$5,001-$15,000 E = SI 5,00 l-SSCl,000
(SecCobmmsBl andD4) - $50,001-$100;000 G = $100,00l-Sl,000,0(H) HI =s1,000;001-ss.ooo,ooo m ·-More thmt ss,000,000
2. Value Codes: J .. $15,000 Of less K = $15,001-$50,000 L. =$50,001-$100,000 M = SI00,001-$250,000
{See Colw11ns Cl and D3) N = $250,1)01)...$500,000 0 = SS00,00.l-$1,000,QOO Pl - $1,000,001-$5,000,000 P2 -ss.ooo,001..s25,ooo,ooo P3 = $25,0130,001.$50,000,000 P4 = $More than $50,1 00.000
3. Value Method Codes Q = Apimiis I R = Cost (Real Estate Only) s = Assessment T = Cash!Marlcet
(See Column C2) u =Book Value v =Other W =Estimated
·-
c.
(3) (4) (5)
-
--B T
--
l
--
-
B -Sl5,00J-$S0,1
J L.
_J s
D.
(e.g.
(J-P)
37.
39.
43.
45.
47.
48.
"
FINANCIAL DISCLOSURE REPO Name of Person Reporting Date of Report
i>age 3of3 ALDRICH, ANN 5/5/2004
VII. INVESTMENTS and 1J US TS - income, •'lllue. transcarions (inctudes 11iose or ttie spouse anct dependent children. Si!e pp. 34-57 or ming inscrucrions.J
-
Transactious during reponing period
B. Income during
A. Gross value al end of
Description of Assets reporting period reporting period(including trust assets) . .
If not e:<empt from disclosure(1) (1) (2)(2) (I) (2)
Place "(X)" after each asset exempt Type (e.g. Date:Value ValueAmount Type Identity of Value Gainfrc>m prior disclosure buy, sell, Month-Code I Code2 Methoddiv. rent. or Code2 buyer/sellerCode
merger, Day(J-P) Code 3int.){A·H) I (A· (if private redemption)(Q-W) l-l\ transaction)
38.
TELEPHONE & DATA SYSTEMS PFD 7.6% A Dividend SELL 06/19 K B
-VALLEY NATIONAL BANCORP PFD 7.75% Dividend K
40.
JOHN HANCOCK FINANCIAL INDUSTRIES A Dividend J T FUND
SMITH BARNEY MANAGED MUNICIPALS D Dividend M T FUND
-41. SMITH BARNEY MUNI MONEY MARKET A Dividend L T
FUND -
42. TRAVELERS PPTY CAS COR1' A Dividend SELL 10/03 K A
NUVEiEN QUALITY PFD INCOME FUND 2 c Dividend K T
-ALLIANCE NATL MUN INCOME FUND B Dividend K T44.
46.
GENL. MOTORS ACCEPT CORP PFD 7.35% c Dividend L T
-HOUSEHOLD FIN CORP INTERNOTES BANK B Dividend K T
WASHINGTON ST PUB PWR SUPPLY A Dividend REDEEM 07/01
-NUVEEN PFD & CONY INCOJME FUND 2 A Dividend K T BUY 06125 K
49. SALOMON BROS EMERGING };ll(TS DEBT
FUND -
50. SALOMON BROS GLOBAL HlGiH INCOME FUND
-51. AIM MONEY MAR.KET FUND
GENERAL MOTORS ACCEPT CORP BOND 52.
A
A
A
A
Dividend
Dividend
Dividend
Dividend
K T
K T
K T
K T
BUY
BUY
BUY
12101 K
07128 K
09/11 K
l. Income/Gain Codes: A =S 1 ,001). orless • Sl,001-$2.SOO c $2;501-$5,000 D = S5,00\-S15,000 E ..,(See Columns Bl and:D4) F = sso;o1n-s100.ooo G = s100,001-s1,ooo,ooo Hl = $1;000,00H.5,000,000 H2 =More than SS,000,000
2. Value Codes: = $15,0lllO or less K = $15,001'-SSO,OOO· = $50,001-SIOO,OOO . M =SlOO,OOl-$250,000
(See Coiwtms Cl andD3) N = $250,lll00-S500,000 0 • SS00,00 i-S l ,000,000 Pt =St,ooo,001 ss,ooo,ooo P2 =$5,000,00l-S2S,OOO,OOO
P3 = $25,()00,001-$50,000,000 P4 =SMorethiinsso,000,000
= Cash/Market3. Value Method Codes· = Appniisal R =Cost (Real Estate Only) = AssessmentQ (See. Column C2) u =Book Value v -Other W Estimated=
T
Report! I
�--�----��_,_--�-----�------'----_J 5/5/2004
Name of Person Reporting Date of FINAi""'lCIAL DISCLOSURE REP .T
ALDRICH, ANN
(lndicate part ofReport.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS
VIL LINE 1. TRUST DATED JUNE 22, 1966. 50% LIFE INTEREST ..
VII. LINE 5 .•CRES WEEST END CAYMAN BRAC, CAYMAN ISLAND, B.W.I. HALF OWNED JOIN"TL Y. APPRAISAL DATE: JANUARY 9, 1992.
VII. LINES 10-19 AND 23-52. HELD IN BROKERAGE ACCOUNTS UNDER SEPARATE OWNERSHIP IN MY SPOUSE'S TRUST.
VII. LINES 7-21 AND 23-52. PURSUANT TO OUR PRE-NUPTIAL AGREEMENf, I DO NOT HAVE, NOR WII.L I EVER HAVE, ANY FINANCW. INTEREST IN ANY OF 'nIE ASSETS OWNED BY MY SPOUSE AS LISTED HEREIN.
VIL LINES 24 AND 47. NO GAINS INCURRED FROM REDEMPTION OF BONDS.
VII. LINE 51. THIS ITEM WAS IN.AJDVERTENTL Y OMITTED ON PREVIOUS REPORTS.
I Name of Person Reporting r
Fl:''iANCIAL DISCLOSURE REP .T
ALDRICH, ANN
Date of Report
l/512004
J 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 compfote to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoiry provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported ar1e in compliance with the provisions of 5 U .S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WTI.,FULLY FALSIFIES ORF AILS TO FILE THIS REPORT MAY BE SUBJECT TO CNIL 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
Suite2-301
One Columbus Circle, N.E.
Washington, D.C. 20544