~e~, 1/201o

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I
]

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court ur Organization Western Distr~ct of Louisiana 5a. Report Type (check appropriate type) [] Nomination, [] Initial Date [] A .... I

Report Required by the Ethic.v

in Government Act o./1978

(5 u.s.c, app. lo].nO

3. Date of Report 05/06~2010 6. Reporting Period 01/01/2O09 t~ 12i31/2009

1. Perl~on Reporting (last name, first, middle initial) Doherty, Rebecca F. 4. Tilk (Article)!l judges indicate active or senior s~atus;. magistrate judges indicate full- or part-time) U.S. District Judge, Active

[] Final

7. Chambert or Office Addres~ John M. Shaw U.S. Courthouse 800 Lafayette St., Ste. 4900 Lafayette, LA 70501

5b. [] Amended Report g. On the bask of the information contained in this Report and any modifications perlalning thereto, it t% ~ my opinion, In compliance with applicable laws and regul*tlons. Reviewing O[licer Date

IMPOR TANT NO TES: The instructions accompanyh~g this form must be followe~L Complete all parts, checking the NONE box for each part where )~,u have no reportable information. Sign on last page.

I. POSITIONS. ~,~,,or,~,
NONE (No reportable positions.) POSITION
1. 2.

NAME OF ORGANIZATION/ENTIT52

Doherty, Rebecca F.

FINANCIAL DIS CLOSURE REPORT

Page 2 of 7

.~ ....fWr~o. ~vo~i,~
Dohe~y, Rebecca F.

[
]

a,~e 0f R~po~
05/06/2010

III. NON-INVESTMENT ~COME. :~o~ ~i~t ~.~ w .... ; ~ p~ ~z-2~ o/:~g

A, Fliers Non-lnves~ent Income NONE (No reportable non-investment income.)
DAT~ SO~CE A~ ~E (yo~s, not

I.

3. 4.

B, Spouses Non-Investment Income - l~you ~, ~a~,d daring any portion of the re~ing year, compl~ thi~ sectiom
(D~lar amount not required ~rc~l for honoraria) NO~ ~O reportable non-investment income0

SO~CE A~ ~E
I. 2. 3. 4.

IV. REIMBURSEMENTS --,~.~por,a,io., 1o~,.~,~ooa, ,.,.,,~;~,..,~

(lnclude~ those to spouse and del~endent children; see pp. 25-27 of fillng but~ctions,)

NONE (No reportable reimbursements.) ~ ~ LOCATION P~OSE

Emplo~nent Law CLE S~inar

ITE~ PAID OR PBOVIDED

lmvel, hotel, f~d, parking

1.

~ulsi~a State Bar As~i~ion

Au~st 20 - 2 I, 2009 New Orl~s, LA

2. 3. 4. 5.

Name of Person Reporting FINANCIAL DISCLOSURE REPORT I Doherty, Rebecca F. Page 3 of 7

Date or Report

05/06/2010

V. GIFTS. rz,,~.,~ ~,,,~ ,o ~p ...... d d~,,~e,, ch~d,~,; ~ ~V. 2~-~ ~ o~.,-a~.g i.~,r.c,;o.~
NONE (No reportable gifts.)

SOURCE
1. 2. 3. 4. 5.

D~$CRrrT~ON

VALUE

VI. LIABILITIES. a.a.a~ ,~o~o o~ ..... ~ dtpendenl children; ~ pp. J/-JJ of filing instructior~)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT

Page 4 of 7

r~ .... fPer,on Reporting

Date0fReport [

Ooherty, Rebecca F.

05/06/2010

I VII. INVESTMENTS and TRUSTS - ~co,,, vane,, ..... ~o,~ (Include~ those of spouse and dependent children; r,e pp. 34-60 of filing instruaions~)
NONE (No reportable income, assets, or transactions.) A. Descripdort of Asscts (including trust assets) Pl~ce "(X)" after each asaet exempt from prior disclosure B. lncome during repcating period A .... t t Code 1 (A-H) C. Gross, value at end of reporting period Value Code 2 (J-P) D. Transactions during r~erting period

co c2) {e.g., Type

div., rent, or int.)

o)

c25--Value Method Code 3 (Q-W) T T T T

Type (e.g., buy, $el~, ~cdempfion)

c~

1 c2)

o) (4)--]

[ Date I Value [ Gain i ] mm!dcli)3, [ Code 2 I Code I | (J-P) (A-H)

Identily of bwer!seller (if private

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. I l. 12. 13. 14. 15. "~6. 17.

UBS Bank Deposit USA Federated Market Opportunity PIMCO Foreign Bond PIMCO Foreign Bond Al[ianz Health Care Fund PIMCO Commodity Re~l Return Franklin Templemn Founding Funds Franklin Templeton Foreign Fund "PIMCO All Asset Evergreen Asset Allocation UBS Dynamic ~~pha Fund Calvert Global Alternative Energy Fund Putnam Health Sciences Trust I~hman Bro. Bank, Utah Oppenheimer Lntemational Bond PhMCO Developing Markets Fund Ivy A~get Strategy Fund

A B A A

Inte.rest Dividend Dividend Dividend None

J K 3" J

Buy (addl)

1/26/09 1/26/09 8/2fl/09 1/26/09 8/28/09 8/28109 1/26/09 1/26/09 1/26109 1/26/09

J J l J K J K J J J A A A A A A A

(part)
Sold

Sold

A A

Dividend Dividend None None None None None

Buy (~dl) Sold Sold Sold Sold Sold

J J K J J J

T T T T T T

Buy (addl)

A B A A A

Dividend Interest Dividend Dividend Dividend

Buy (addl) Bay

1/26/09 01/26/09

J J

(gee Co~a C2)

U ~k Value

V ~O~r

W =~ima~

PageFINANCIAL5 of 7 DISCLOSURE REPORT

i I Doherty, Rebecca F.

Name of Person Reporting

Dttc of Report

05!06/2010

NONE (No reportable income, assets, or transactions,) A. Des~ption of A~~ (including ~t assets) Place(X)afl~cach .... t B, Income during re~ingp~riod ~untI T~(e.g., C. T ] Gross v~lu at cnd ] of)~aing I V~u: ~ V~ T~(e.g., D. T~sactlon~ d~ng r~ng ~od

Date

I v~

18. 19. 20. 21. 22. 23. 24. 25. 26. 27, 28.

Le~ Mason P~em Inte~i~te Te~ M~ F~d Oppe~eimer Developing Marke~ Fund Oppenheimer Developing M~ke~ F~d PIMCO Stock Plus Short Fund . Tonpleton China Fund Franklin ADJ Rate Govenunent Fund Oppenheimer Lid. Term Govt Fund Black Rock Global All Fund Black Rock Science and Tech Fund Black Rock "Science and Tech Fund

B A A A A A A A

~vid~d Di~dend Dividend Di~Adend Dividend Dividend "Dividend Dividend None None

T Buy Sold 1~6/09 08~g/09 g/28/09 01/26/09 08/28/09 8128109 g/28/09 01/26/09 g/28109 J J J J A J J J J

J J K J J

T T T T T

Buy BUY Buy Buy Buy Buy Sold

FINANCIAL DISCLOSURE REPORT

Page 6 of 7

1~ ....
[

fe .... Reporting Doher(y, Rebecca F.

Dateof Repol-t 06/06/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.a~c,a.~,,~,~

Part VII - Investments and Trusls Items listed on 2008 report that were either redeemed or sold in 200g: Line 2 - Bank Hapoalim CD Line 4 - Franklin Templeton Health Line 13 - Toyota Financial Services Lines 21 & 22 - Colonial Bank CD

FINANCIAL DISCLOSURE REPORT Page 7 of 7 ] DoherD, Rebecca F. IX. CERTIFICATION.

05/06/2010

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 beIief, 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.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND 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

a o lo ~e~. /~0~0

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YE~ 2009

2. Court or Organization Western District of Louisiana 5a. Report Type (check appropriate type) i [] Nomination, [] Initial Date [] A .... I [] l:inal

Repo,t Required by the Ethic~

in Governmenf Act of 1978

L P~rson Reporting (l~t name, first, middle ioh~~1) Doherty, Rebecca F. 4. Title (Article Ill judges indicate active or senior status;. magistrate judges indicate full- or part-time) U.S. District Judge, Active

3. Date of Report 05/06;2~10 6. Reporting Period

01/01/2009
to 12/31/2009

5b. [] Amended Report I 7. Chambers or O ffi~e Address John M. Shaw U.S. Courlhouse 800 Lafayette St., See. 4900 Lafayette, LA 70501 8. On the basis of the information contllned in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicablelaws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all part~
checking the NONE box for each t~art n,here )~u have no reportable informatlon~ Sign on last pag~

I. POSITIONS. ~e~o,,.g ~,,~i.ia.a o.O,; .~. ~,r. ~-s ~ of fillng lnstruct~ons,)

NONE ~o reportable positions.) POSITION
l.
2. 3. 4.

~AME OF ORGA~ZATION~

II. AGREEMENTS. (Reporan inalvlauat onty: seepp. 14o16 0f filing fnstructions.)

NO~ ~o reportable agreement.) PARTIES
1.

Doherty, Rebecca F.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

r~.me o~ t ..... a~po~tln~

Doherty, Rebec~:a F.

t~.~ of~.epo~t
05/O6/2010

I11. NON-INVESTMENT ~COME. :~,:o~i~g individual and ,p ....

A. Fliers Non-Investment Income NONE (No reportable non-investment income.) DATE
I. 2. 3. 4.

; seepp. 17-24 o/fillng i~tructions.)

saUCE A~ T~E

(yours, not ~u~es)

~COME

B. Spouses Non-Investment Income - lf you were married during any portlon of the teportlng year, complete this section.
(Dollar amount not required e.~ccpt for honoraria)

NONE (No reportable non-O~vestment income.) DA~E

1.
2.

SOURCE AND TYPE

3. 4.

IV. REIMBURSEMENTS -,ra,,,po..,io.. to~i~,[ooa, e.,e~.i~e~

(Includes those to spouse and d~,~oendent children: $e p.o. 25-27 of filing instructions,)

[---]

NONE (No reportable reimbursements.) SOURCE DATES LOCATION ~

Employment Law CLE Seminar

ITEMS PAID OR PROVIDED

travel, hotel, food, parking

l.

Louisiana Stale Bar Association

August 20 - 21, 2009 New Orleans. LA

2. 3. 4.

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 7

Name of Person Reporting

Date of Report

o5/o~2o~o

I Doherty, Rebecca F.

NO~ (No reportable

~ DgSCR~TION

1.

2.
3. 4. 5.

VI. LIABILITIES. a, ct~,, ,no,, o~" ~p ...... a dependent chitdren; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
|.
2.

DESCRIPTION

VALUE CODE

3. 4. 5.

Name of Pcrson Reporting

PageFINANCIAL4 of 7 DISCLOSURE REPORT

VII. INVESTMENTS and TRUSTS - ~.~o.,., .,a.., tr ....
~

Date of Report

Doherty, Rebecca r.

05/06/2010

ctlonx (Includes thos. o/sp ..... d dependent children; see p~ 3~-60

NONE (No reportable income, assets, or ~sactions.) A. ~ripSoa orates (inclu~ng t~s~ ~sc~s) B. ln~m during r~in8 peri~ Amou.tI T~(e.g., Code 1 ~ ...... t, C, Gross value m cad ofrc~ning p~M Value Cod~2 V~u Meth~ V~(e.g., ~,sell, D. T~nsa~oas du~ng ~po~ing p~fiod

[ [ ....

Pla~"(X)"a~crcach~ct pt from prior disel ....

/ Da~ I Value { Ggn /~d~ ] C~2

ldenfi~of

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. !Ii 12. 13. 14. 15.

UBS Bank Deposit USA F~eratcd Market Oppo~niW PIMCO Forei~ Bond PIMCO Foreign Bond Alli~ H~I~ Care Fund PIMCO Commodity Real Return Franklin Templeton Founding Funds Franklin Templeton Foreign Fund PIMCO All A~set Evergreen Asset Allocation UBS Dynamic Alpha Fund Calvert Global Alternative Energy Fund Putnam Health Sciences Trust Lehman Bin. Bank, Utah Oppenheimer International Bond

A B A A

Interest Di~nd ~vidend Dividend None

J K J J

T T T T Buy (addl) Sold Sold 1~6/~ I/26/09 g~09 1/26/09 8/28/09 8/28/09 1/26109 1/26/09 1/26/09 1/26109 J J J J J K A A A

A A

Dividend Dividend None None None None None

Buy (a~d0 Sold Sold Sold Sold Sold

J J K J J J T

T T T T Buy T

Buy (addl)

A I~ A A A

Dividend Interest Dividend Dividend Dividend

Buy (addl) 01/26109 (addl)

1/26/09 J

I"6. PI~CO Developing Markets Fund 17. Ivy Asset Strategy Fund

(See Cotuma C2)

U =B~k Value

V =OI~r

W =~imal~

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting I Doherty, Rebecca F.

Date of Report

Page 5 of 7
VII. INVESTMENTS and TRUSTS - i~come, ,.~,
[~

05/06/2010

NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) " B. Y I Income during reporting period Gross value at end I of reporting period [ Value I Code2 I Value [ Method T>~ae(e.g., buy, sell, D. Transactions during repotting period

Plac(X)"af~ercach .... , exemptfrompr~ordiselosure

t~Am~oun.tl Type(e.g., I ~o~a ~ I div.,rent,

Da~ Value ~ Gain I mm!d&yy Code2 ~ Code I

Identityof buyer/seller

18. 19, 20. 21. 22. 23. 24. 25. 26. 27, 28.

Legg Mason Partners Intermediate Term Mtmi Fund Oppenheimer D~veloping Markets ~und Oppenheimer Developing Markets Fund PIMCO Stock Plus Short Fund Templeton China~und Franklin ADJ Rate Govermnent Fund Oppenheimer Ltd. Term GoCt Fund Black Rock Global All Fund Black Rock Science and Tech Fund Black RockSci~nce and Tech" Fund

B A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None None

T Buy Sold 1/26/09 08/28/09 8/28/09 01/26/09 08/28./09 8/28109 8/28/09 01/26/09 g/28/09 J J J J K J J J J A C

J J K J J

T T T T T

Buy BUy Buy Buy Buy Buy Sold

(See Column C2)

U -B~k Value

V ~t~

W =E~imaled

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Doherly. Rebec~ F. I~ t~ Reoo,..~ .... .....

05/06/2010 I D,t,o, epoa

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. O.~i~*t.pa,~o~~epo~O

Part VII - Investments and Trusts Items ligted on 2008 report that were either redeemed or sold in 2008: Line 2 - Bank Hapoalim CD Line 4 - Franklin Templeton Health Line 13 - Toyota Financial Services Lines 21 & 22 - Colonial Bank CD

FINANCIAL DISCLOSURE REPORT Page 7 of 7

IX. CERTIFICATION.

~,me of Person Reporting

Da,e of Repot, 05/06/2010

Doherty, Rebecca F.

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 an) information not reporied 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 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL ~10 KNOWINGLY AND \VILFU 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