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August 13, 2004

Honorable Mary M. Lisi Chair Committee on Financial Committee One Columbus Circle, N.E. Washington, D.C. 20544

-Re: Calendar Year 2003 Filing

Dear Judge Lisi:

In response to the questions raised in your of July 27, 2004, which concern my financial dated May 5, 2004, I offer the following:

1. In Part V, I was not reimbursed for food, lectures, and hotel expense. All of these expenses were paid for by George Mason University Law and Economics Center. The $1889 f1gure is the cost furnished by George Mason for the items furnished to me. I did.not receive any gifts of reimbursement as set forth in Part V.

2. My U.S. Treasury bills were redeemed in full. At the end of the 2003 reporting year, I owned no Treasury Bills . .

I hope this answers your questions.

Sincerely,

WLO:ajv

(2) copies attached

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POSmON ORGANIZATION/ENTITY

PARTIE.'i AND TERMS

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Rrport Requirru hy the Ethics .. \0-10 FINANCIAL DISCLOSURE REPORT

in GO\'Crnmcnt Act or 1978 RC\'. 1/21104 Calendar Year 2003 (5 l!.S.C. app. §§ 101-111)

3. Date ofRcpmtPerson Report ing. (Lllst name. First name. Middle initial) 2. Court or Organi?.:ition

OSTEEN, WILLIAM L MIDDLE. DISTRICT OF N. C. 51512004

4. Title (Article Ill Judges indicnte active or senior status: 5. RcponTypc (check apprupriatc type) 6. Reporting Period

magistrate judges ind icate full- or part-time) 0 No1nina1ion. Date 4/25/1991 1/112003

U.S. DISTRICT JUDGE toQ Initial @Annual Q Flnal 12/3112003

7. Chambers or Office Addr.:ss 8. On the basis ofth.: inlbrmation co1Haincd in this Rcpon and any modifications pertaining thereto. it is. in my opinion, in compliance

P.O. BOX 3485 with applicable IDws and regulations. GREENSBORO NC 27402

Reviewing Officer Dute

. . ....... .. •·.· - · ..

IMPORTANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts, checking the NONE box for each pan

where you have no reportable information. Sign on last page. .. . .•'•. . .:. ' .. .. .. · · ·;<-;:·>!•f• ., · ·.: .. ··:. ;-·.. ;·"

I. POSITIONS. (Reporting individual only: sec pp. 9-13 of filing instructions)

0 NONE - (No reportable positions.)

NAME OF

I. Panncr Morganton Rel Partnership

Partner NC SS Partnership

3. Panner Silver Briar Partnership

Partner WACO Partnership C') .,,

5. Partner Oak Hill Partnership r/)Z

:oz ;710 .....

m Qo>

..,, .- :;g m:! -(') c;::) c m ..c:.II. AGREEMENTS. (Reporting individual only; sec pp. 14-16 of filing instructions)

NONE - (No reportable agreements.)

I. ••NOTHING TO REPORT ••

I

SOURCE AND TYPE GROSS INCOME

SOURCE AND TYPE

SOURCE DE5CRJ!>TION

Nam.: of Person Reporting FINANCIAL DISCLOSURE REPORT Date of Report

OSTEEN, WILLIAM L 51512004 .

Ill. N 0 N-INVES T1vIENT INC 0 ME. (Reporting individual and spouse; see pp. 17-24 of filing. instructions)

A. Filer's Non-Investment lncom

NONE (Nu reportabli:non-investmenl income.) -

(yoms. noc spouse's)

I.

B. Spouse's Non-Investment 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-investment income.) -

I .

IV. REIMBURSEMENTS transportation, lodging, food, entertainment.-

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

0 NONE (No such reportable reimbursements.) -

I. Chemonics International, Inc. - contractor with U.S. State June 11-June 25; meeting with Russian judges; food, lodging, transportation; Petrogavodsk.

Dep't Sl,000.00

2. George Mason Univ. Law&. Economics Center Apr. 30-May 6; travel to/from Tucson, AZ. $455.00

SOURCE DESCRIPTION

CREDITOR DESCR!PTION VALUE CODE

I

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

OSTEEN, WILLIAM L

V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-3 l of instmctions.)

0 NONE - tNo such reportabk gifts.)

1. George Mason Univ. Law & Economics Center

Apr. 30-May 6; food, transportation, lectures; Tucson, AZ.

Date of Report

5/5/2004 .

VALUE

Sl,889

VI. LIABILITIES. llncludes those of spouse and dependent children. See pp. 32-34 f instructions.)

NONE (No reportable liabilities.) ·

I.

t4)

B c D

0

3.

17.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page 1of3 OSTEEN, WILLIAM L 51512004

VII. INVESTMENTS and TRUSTS

A.

Description of As. ts

(including trust assets)

Place "(X)" afier each asset e empt from prior c.lisclosme

DNONE (No rcpo1t:1bh: income, nsscls, or transactions)

I. First Citizens, GSO, NC

2. Common Stock, Southern Nat'I (now BB&n

Common Stock, New Park Resource- A Dividend ] T

4. Mutual Fund, Putnm Fund, Boston, MA. Managed Muncipal, Inc.

5. Interstate Sec., Tulsa, VA

6. Silver Briar, GSO, NC

7. NC 55, Greensboro, NC

8. Morganton Rd., GSO, NC

WACO, GSO, NC9.

10. Oakhill, GSO, NC

I I. Wachovia, GSO, NC

IRA American Pace Interstate12.

13. American Funds Groups

14. Promissory Note - W.L. Osteen, Jr.

15. BB&T, GSO, NC

16. Interstate/Johnson Lane Account

- income. val11c:. tr.UISCations (includes those of the spous.: and d iiende111 children. S.:e pp. J4-57 of filing ilL'<lroctions.)

D. Transictions during reponiug p.!riod

If not e. empt from disclosure <l) I ) Pl 1Sl

T iie \e.g. Date: ldcntity of Vaine Gainbuy, sdl, Month- buyer/sellerCode2 Codemeq!Cr, Day (ifpri "llle. (J-P) I IA·reden1ption) H\ transaction)

B. c. Income during Gross value 111 end of

reporting period retlOl'ling period

(I I (2l ti)

Amount Type (e.g. Value Code 1 div. rent. or Code:? (A-H) int.) (J-PJ

B Interest K

E Div 0

(21

Value M.:thod C 3 \Q-W)

T

T

A Dividend K

A Pship J

D Pship L

c Pship K

D Pship L

D P'ship i<

c P'ship K

E Interest N

A Dividend J

B Div M

D lnt M

D Interest L

A lntcRst J

T

T

T

T

T

T

T

T

T

T

T

T

T

Redeemed 01103 M U.S. Gov'tTA lnteJcst MU.S. Treasury Bills

TD Interest MWachovia Bank 18.

l. income/Gain Clldes: A = $I .000 or less = S J ,001-$2,SOO "'S2.SOl-S5.000 = SS,001-S I 5.000 E = S 15,001-S50.000

(See Colwnns Bl and D4) F $50,001-SlOO.OOO G = SJOO,OOl-Sl.000.000 HI = Sl,OOO,OOl-S5,000,000 H� = More tl1au $5,000,000

Value Clldes· -· SlS,000 ur less K S 15.001-S50.000 L $50,001-S!OU.000 M = SI00,001-$ 50,00U

1S Column< CI and D3i " = S25D.OOG-S50(),00(J () = 5500,001-S I .000,00!J Pl = s1.oor1.001-s5.ooo.uoo p = ss.ooo,oo:-s2s.ono.ooo

p;. 0 S2S,OOO,Oli i -S50,000.000 1'4 SMorc than 550,000.000

Value M..:1hrn.i Cod ,; l) .-\pprai R -'- Cosr (Rea Est;ifc Oniv I s -· Asses...:;mem T ° C asl1iMark 1

;S Column ('2J tJ == Ron , Va ue \• = U1he w : E!-itntutteC

A. c.

!Tom

Pl

J

-

14)

FINANCIAL DISCLOSURE REPORT Name or Person Rcponing Daw ofR.:port

Page 2of3 OSTEEN, WILLIAM L S/S/2004.

VII. INVESTMENTS and TRUSTS - income, value. transca1ions (includes those of the spouse and ck.'Jll.-nd "l•I children. See pp. J4-57 ofllling inSlntClions.)

I

19.

20.

21 .

22.

23.

24.

25.

26.

27.

Description of As...:ts (including tn1st nsscts)

Place "( X)" atier each asset C."<cmpl from prior di...:losure

John H ncock Regional

Fidelity Advisor Growth

MFS Capital Opport.

MFS Research Fund .

MFS Emerging Growth

Pfizer

America OnLinc:

Nokia

Amgen

-

B. Income during

reporting period

(II (2)

Amoun1 Typ.: (e.g. Code 1 div. rent. or

(A-H) mt.)

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

Gross value at end of r.:110rti11g period

II) (21

Value Value Codc2 Method (J-P) Code3

\Q-Wl

T

J T

K T

J T

J T

J T

J T

J T

K T -

D. Tr:111sactio11s during reporting periud

t 1) If not exempl disclosure

t.:!l T)pe {q!. Dare: Value buy, >Cll, Month- Code 2 lllf..'1' '1', Day (J-P)redemption)

Gain Cude I (A-1-l\

cs·1

Identity of buyeriseller (ifprivat.: tr:msaciioo)

28. CISCO A Dividend J T

29. Duke Energy A Dividend K T

30. General Electric A Dividend K T

31. Home Depot A Dividend J T

32. Merck &.Co. A Dividend J r

33. Seligman Fund A Dividend K T

34.

35.

36.

RF Micro

EMC

Lowe's

A Dividend

A. Dividend

A Dividend

K T

J T

K T

l. lncome.'Gam C.ides: A = S 1.000 nr less B = s .001-s2500 C =$2.501-$5.000 D =S5,001-$15.000 E = Sl5,llO\-S50.0{)(J

iSec Columns 131 and D4) F S50,00l-SIOO.OOO G : Sl00.001-Sl.000.000 H l : S 1,000,001-S.5,000,000 H1 =More than S5,000,000

.::. V aluc Cotics: ... l5 ,000 or les.' K ·- Sl 5.001-S50,UOO L 50,001-SIOU.000 M SI00,001-S.:!50.00U

\Sec Cniumns Cl and 03) N = S25ll.OOU-$500.000 0 = $500,001-S l.000,000 Pl =Sl.000.00!-S5.000.000 P2 =S5,000.00i-S25JJOO.CJOO

P S25.000.0lll-S50,!JOO,fJOO P4 = $More limn S50,001i,OOO

Vaiuc M.:thml Cod > () - .'\pprms:i R .. CtlSI (Real Esm1 Univ! S As.,cssincn: r ·· CashiMark t

\ · = B,mt Valu< \' ,- )thee \V = F.stunateJ

c D E

. .

FINANCIAL DISCLOSURE REPORT Date of Rl!port Nam.: of Pl!rson R.:porting

. Page 3of3 OSTEEN, WILLIAM L 51512004

VII. INVESTh1ENTS and TRUSTS - income, value. trauscatiuns (includes those of the spm.,;c and dc:po:11d.."11I children. S1:c pp. ·'4-57 of filing instn1ctiuns.)

A.

Description of As 'ls (including trust assets)

Place •1 X )" after i:ach asset e><e111p1 from prior disclosure

B. Income during

reponing period

( 11 (2)

Amount Type (e.g. Code I div. rent. Ill'

CA-H) int)

c. Gross value at end of reponing period

Cl) (2)

Value Value Code:! M 1hod

CJ-P) Codd \0-Wl

Transactions

(I) l

(:?) Type (e.1,1. Date: buy, sell, Month-lllt:l'f?CC, Day redemption)

D.

P>

Value Code2 {J-P)

during reportin

fnot exem

14)

Gain

Code I {A-1 \

pcrfod

p1 li'11m disclosure

15) ldcntityuf buyer/seller Cirpri,'llle tran. actiun}

37. Bank America A Dividend K T

38. Mc Data - None J T

39. Walmart A Dividend K T Buy 6/10 K.

40. Microsoft A Dividend J T

I_ Income/Gain Codes: A = S !.000 or less B = S l,001-S2.500 = $ .S01-S5.000 =S5.00l-Sl5.000 = s 15,001-550.000

(Sc Colwm1s Bl a11d 04) F - $50,001-SlOO.ODO G SlDO.OOl-S!.000.000 HI = Sl,OOO.OOl-SS,000,00fJ H = More th:m SS,DCJ0,000

2. Value Codes· .. S\5,000 or less 0 Sl5.00l-S50.000 L $5C.OO!-SJ00,(}()(1 M = S 100,0D l-S:!50.00\I

(S<!e Coiumns Cl aml D3i t\ = S:!50,00U-S5U0.000 0 = S50u.ll0 1-S i .000,00<; Pl = $ Ul<JU.001-SS.000.000 P:! = S5,000,0Ui-$25.000.000

P3 S25,000,00l-S50,000.000 p = SMun: 1h:lr; $50,00Ll.OOO

Value M.:rlmd Cotb Q - :\ppra1sa! R - :.'.11s1 (Real ::state Only: s - Assessmcm T = Cash!Mark l

s Column C ) 1: = Bont Vaiue \' = ltner IJ.' = futnnated -- ---------·------·- -

I Nnmc of Person Reporting Date ofR.:portFINANCIAL DISCLOSURE REPORT

OSTEEN, WILLIAM L 5/512004 .

Vill. ADDITIONAL INFORMATION OR EXPLANATIONS onwcatcpanorncport.)

Part VU. Line 40: The Microsoft stock was purchased approximately five years ago by Until this year, I thought the R.F. Micro stock wsas what llahad purchased.

A ,/- zmr1 A'\\ I r

F.INANCIAL DlSCLOSURE REPORT Name of Person Reporting

OSTEEN, WILLIAM L

Dalt: nf R..:pon

5/5/2004-

IX. CERTIFICATION.

r certify that all infonnation given above (including infonnation 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 pennitting non-disclosure.

r 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. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature Date .

NOTE: ANY UAL 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 Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N .E.

Washington, D.C. 20544