_.-

I

[· 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.

0

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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