# Edward F. Shea

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/6527

## Record

- **Judge:** Edward F. Shea
- **Year:** 2015
- **Report type:** Annual
- **Pages:** 9

## Text

Northwestern Mutual Life Insurance — Int/Div
Northwestern Mutual Life Insurance — Int/Div
Northwestern Mutual Life Insurance — Int/Div
Prudential Life Insurance — Int/Div
South Boston Savings Bank Life Ins — Int/Div
GESA Credit Union — Interest
Comms — None
Fishcreek Lid — None
An — None
Vanguard Health Care Fund, Admin Personal Acct — Int/Div
E/SCHWAB RETIREMENT IRA then, Pershing 7/13/15 rollover
BAC(IRA) — None
Ferrell Gas — None — Buy (add'l)
FMILX — None — Sold
FBSOX — None — Buy (add'l)
Globix Corp = Pershing removed, no transfer agent, no value
KMP (reorganized now KM) — None — Sold
Pentair — None
Prudential (PRL) — None
PIMCO — None — Buy
PIMCO — Buy (add'l)
PIMCO — Buy (add'l)
PIMCO — Buy (add'l)
Rare Elements — None
SPHD=#*=* — None — Buy (add'l)
STEM CELLS — None
US Bank — None
Vanguard Health Care Fund (IRA) — None
Schwab cash reserves to Pershing Gov't Fund Roll over
M/RETIREMENT ACCOUNT
Diversified Investment Advisors (DIV) Plan Advisors*®
Allainz NF) Dividend Value A Fund became Loomis Value N — Sold
Columbia Small Cap became AIAINZ Small Cap — Sold
Goldman Sacks Mid Cap Value Fund became Artisan N.C.V — Sold
Mamstay Lg Cap Growth Fund became Fidelity Am. Cent, Grth ** — Buy (add'l)
Mamstay Lg Cap Growth Fund became Fidelity Am. Cent, Grth ** — Sold
Pimco Tot. Ret. Fund** — Sold (part)
Pimco Tot. Ret. Fund** — Sold
TFLIC** — Buy (add'l)
TFLIC** — Sold (part)
TFLIC** — Sold
Vanguard Inst] Index — Sold
Pershing Gov't Roll Over
MIRA - SCHWAB
Calumet Sp. Prod — Sold
Powershares ETF SPHD — Sold (part)
Powershares ETF SPHD — Sold
Schwab Money Mkt — Interest
SCHWAB JT ACCOUNT
Brush Petroleum — None — Buy
Brush Petroleum — Buy (add'l)
Brush Petroleum — Sold
Ferrell - FGP — None — Buy
LINN ==»
Rare Elements ****
Schwab Money Market Fund SWRXX — Interest
Schwab Invest Money Fund (Pers) SWZXX — hy
SHPD — Int/Div — Buy
Officer/Director, EE - Corporation
Liability — VISA — Consumer Card
* Part VII, Investments and Trusts - Line 35; Through employer - account was with TransAmerica. In 10/2018 another company took over employee's company.

They switched all retirement accounts to Fidelity. In 12/2015 that account was rolled over to Pershing.

**Part VII, Investments and Trusts - Line 40; Line 42, Line 44, Line 45 Estimated date of 4/1/15 to 6/30/15 as actual date 1s not in the quarterly report

*** Part VII, Investments and Trusts - Line 61; This was completely sold on 12/22/14; code "J". The entry was inadvertently omitted from 2014 report

#%%% Part VII, Investments and Trusts - Line 62; This was completely sold on 12/22/14; code "J". The entry was inadvertently omitted from 2014 report

24% Part VIL, Investments and Trusts - Line 28; Date is estimated as actual date is unknown

By way of explanation:

Transamerica provided investor service for [JI employer's 403(b) Plan. When a new company took over the operation, it switched the retirement plans to

it's Value Plan 403(b), The plan investments of my spouse were simply converted to comparable investments/mutual funds in the new Value Plan - with the total

amount remaining the same.

The transfer occurred on or about October 23, 2015. At that time [JN had the following investments prior to the switch:

Name

Value Code

PIMCO Total Return Inst -J C

TFLIC Guaranteed Pooled Fund - L C

Alluniz GI Div. Value -L C

Col. Sm. Cap Value -L C

Goldman Sachs Mid Cap Value- L C

Mainstay Lg. Cap Growth - L C

Vanguard Inst. Index - L C

Upon transfer to the new company's Value Plan, those investments were changed to:

PIMCO Total Return = J J

TFLIC GID Pool Funds - L L-C

ALLAINZ NFJ Sm Cap Value L L

American Cent. Growth - L L-C

Artisan Mid Cap Val. - L L

Loomis Value N- L L-B

Vanguard Inst. Index - L

On 12/7/°5 those seven holdings were sold for same letter values as on tranfer in, gains/no gains, shown in right column. If loss or no gain, column left blank.

All cash was then transferred to Pershing. Year end "0" - *T*

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/6527. Public record. Not legal advice.