D NONE (No reportable positions.)

Transcription

1 AOIO Rev FINANCIAL DISCLOSURE REPORT Reporl Required by!he E!hics in Government Ac/ of 1978 FOR CALENDAR YEAR 2012 (5 U.S.C. app ) I. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Pregerson, Harry United States Court of Appeals for Ninth Circuit Title (Article Ill judges indicate active or senior status; magistrate judges indicate fu ll- or part-time) Uniied States Circuit Court Judge - Active Sa. Report Type (check appropriate type) D Nomination D Initial [Z Sb. Amended Report D Date Annual D Final 6. Reporting Period 01/01/2012 to 12/31/ Chambers or Offce Address Oxnard S tree I Suite 1140 Woodland Hills, Ca IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. I. POSI1'J 0 NS, (Reporting indi vidual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Member Marine Corps Reserve Officers Association 2. Member Advisory Board, Childhelp USA 3. Member Advisory Board of Directors, Metropolitan Division, The Salvation Anny 4. Member Board of Directors, Devil Pups, Inc 5. Member Advisory Board, Foundation for Pierce College II. AGREEMENTS. (Reporting indi vidual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PAR TIES AND TERMS I

2 Page 2of12 III, N 0 N-INVESTMENT JN CO ME. (Reporting indi vid11a/ and spo11se; see pp of filing instmctions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I State of California Judge's Retirement System $17, Raymond James & Assoc - IRA $1, B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except.for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Los Angeles Community College District - Salary CA Public Employees Retirement System CA State Teachers Retirement System 4. IV, REIMBURSEMENTS --transportation, lodging,food, entertainment. (Includes those lo spouse and dependent children; see pp c?ffiling instructions.) [Z NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I

3 Page 3of12 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I

4 Page 4of12 Pregerson, Harry 06/11/2013 VII. INVESTMENTS and TRUSTS --income, va1ue, transactions r1nc111des those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (2) (2) (I) (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (4) (5) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.). (J-P) Code 3 redemption) (J-P) (A-H) (if private I. Lot 59, Oxnard Shores, CA (1964) None 0 w 2. Lot 60, Oxnard Shores, CA (1964) None 0 w 3. Lot 88, Woodland Hills, CA None 0 w 4. Ltd Partnership Interest-Penn Cal Investors, G Rent 0 u Pittsburgh,P A 5. CGM403(8) Custodian UIPL LA Community College (H) 6. - CG Capital Markets Money Market Fund A Dividend J T 7. - CG Capital Markets Core Fixed Income B Dividend K T Buy Fund 8. Sold 9. Sold CG Capital Markets Lg Capital Value c Dividend M T Buy 11. Sold 09/15/12 J 08/24/12 K B 11/9/12 J A 09/05/12 K 08/24/12 J B CG Capital Markets Sm Capital Value B Dividend J T Buy 09/05/I2 J 13. Sold CG Capital Markets Emerging Markets B Dividend L T Buy 15. Sold 16. Sold CG Capital Markets International Fixed c Dividend L T Buy Income 08/24/12 J A K 11/9/12 K c 08/24/12 J A 08/24/12 J I. Income Gain Codes: A =$1.000 or less 13=$1.001 $2.500 c =$2.501 $ =$5.001 $ E =$ $ (Sec Columns BI and 04) F =$ $ G=$ $ =$ $ =More than $ Value Codes J =$ or less K=$ $ L=$ $ M =$ $ (Sec Columns Cl and 03) N=$ $ =$ $ Pl =$ $5, '2 =$ I - $ P3 =$ I - $ '4=More than $ Vnlm:: Method Codes Q =Appraisal R =Cos1 (Real Estate Only) S =Assessment T=Cash Market (Sec Column Cl) U=Book Value V =Other W '=Estimated

5 . FINANCIAL DISCLOSURE REPORT Page 5of12 VII. INVESTMENTS and TRUSTS --income, va/11e, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporting period (including tmst assets) reporting period of reporting period (I) (2) (I) (2) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., e empt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, (A H) or int.) (J-P) Code3 redemption) (I) (2) (4) Date Value Gain Identity of (3) (5) mm/dd/yy Code 2 Code I buyer/seller (J-P) (A-H) (if private 18. T Buy CG Capital Markets International Equity B Dividend L T Buy 20. T Buy 21. Buy CG Capital Markets Lg Cap Growth B Dividend M T Buy Investment J 08/24/12 K 09/05/12 J 11/9/12 P K 23. T Buy I 1/09/12 J 24. Sold CG Capital Markets Sm Capital Growth B Dividend K T Buy 26. T Buy 08/24/12 K D 08/24/12 J J 27. T Buy (add'i) J 28. CG Capital markets High Yield A Dividend K T Buy 08/24/12 K 29. T Buy 30. Sold J J A 31. Morgan Stanley A/C (H) 32. Morgan Stanley Liquid Asset Fund, Inc. A Interest Distributed 12/31/12 J 33. Chase cash accounts A Interest M T CG Capital Markets International Equity A Dividend L T Buy (add'i) 08/24/12 K I. Income Gain Codes: A =$1.000 or less B =$ $2.500 c=$ $5.000 D=$ $15,000 E =$15.00 I -$ (Sec Columns BI and IJ4) F=$ $ G=$ $ Ill =$ $ =More than $ Value Codes J.=$ or less K=$ $ L=$50.00I -$ M =$ I - $ (Sec Column s Cl and IJJ) N =$250.00I -$ =$ I -$ Pl =$1, $5, P2 =$ $25, P3 =$ I $50, P4 =More than $ Value Mc1hod Codes Q =A pprnisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =-Book Value V =Other W =Estimated

6 Page 6of12 VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des those ofspo11se and dependent children; see pp of filing instr11ctions.j A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (I) (2) (2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (I) (3) (4) 35. T Buy 11/09/12 K CG Capital Markets Lg Cap Growth A Dividend M T Buy 11/09/12 J Investment 37. Sold 08/24112 K D Citicorp Trust Bank A Interest J T Citibank NA South Dakota BDP A Interest Redeemed 03131/12 M CG Capital Markets - Money Market A Interest J T CG Capital Markets Core Fixed Income B Dividend K Sold 08/24/12 J A 42. Sold 08/24112 K B 43. Sold 11/9/12 J A CG Capital Markets Lg Capital Value B Dividend M Sold 8/24/12 J B CG Capital Markets Sm Capital Value A Dividend J Sold 08/24112 J A CG Capital Markets Emerging Markets B Dividend L Sold 08/24/12 J A 47. Sold 11/9/12 J B CG Capital Markets International Fixed c Dividend K T Buy 08/24112 J I ncorne CG Capital Markets Sm Capital Growth A Dividend K T Buy 08/24/12 J 50. Bank oflndia NY CD A Interest M T Buy 05/04112 M 51. Discover Bank Greenwood DE CD A Interest M T Buy 05/04112 M I. Income Gain Codes: A =$1.000 or less B=$1.00l -$2.500 c=$ $5.000 D=$ $ E =$ $ (Sec Columns Bl nnd 04) F =$ $ G =$ $ =$ $ =More thnn $ Value Codes J =$ or less K =$ $ L=$ $ M =$ I - $ (Sec Columns Cl and D3) N=$ $ =$500.00I -$ Pl =$ $ '2 =$ I - $25, '3 =$ I $50, '4 =More than $ Value Method Codes Q =A pprnisnl R =Cost (Renl Estnic Only) S =Assessment T=Cash Market (Sec Column C2) U=Book Value V=Other W=Estimated

7 Page 7of12 VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreporting period (1) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (2) (I) (I) (2) (3) 52. CG Capital Markets High Yield B Dividend K T Buy 08/24/12 K 53. Sold 11/9/12 J A 54. Ally Bank UT DTD B Interest Redeemed 03/31/12 M Northern Trust (H) MFO American Centy CA Tax-Free Bd Fd D Dividend N T Inv MFB NTHN CA Mun Money Mkt A Interest M T 59. Raymond James (H) 60. Bank of China-NY Certificate of Deposit A Interest Redeemed 01/09/12 M JP Morgan Chase & Co. Notes B Interest K T Microsoft Coporation Stock A Dividend K T FHLM 2.5% Due I 0/15/22 A Interest Redeemed 04/06/12 L American Express MM A Interest L T Seadrill Limited Corporate Stock D Dividend L T 66. Regions Bank Money Market A Interest M T 67. Raymond James Money Market A Interest L T 68. Citibank Money Market A Interest J T l. Income Gain Codes: A =$1.000or less B =$ $2.500 c =$2.50t - $5.000 D =$ $15,000 E =$ $ (Sec Columns Bl an d D4) F =$ $ G =$ $ Ill =$ $ I t2=more than $ Value Codes J =$ or less K =$15.00 I $ L =$ $ M =$ $ (Sec Columns Cl and D3) N =$ I - $ =$ I $ Pl =$ $ '2 =$ $25, P3 =$ I $ P4 =More than $ Vahtc R =Co st (Real Estate Only) T=Cash Market Method Codes Q =Appraisal S =Assessment (Sec Column C2) U=Uook Value V =Other W=Estimated

8 Page 8of12 Pregerson, Harry 06111/2013 VII. INVESTMENTS and TRUSTS -- income, value, transactions <Includes those of spouse and dependent children; see PP of filing instructions.) A. Description of Assets (including trust assets) reporting period of reporting period B. c. D. Income during Gross value at end Transactions dming reporting period "(2) (I) (I) (2) (I) (2) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-H) (if private (J-P) (3) (5) 69. Raymond James IRA #I: Raymond James A Dividend J T Distributed Bank J 70. Raymond James IRA #2: Raymond James A Interest J T Distributed Bank 1217/12 J 71. Raymone James IRA #2: Seadrill Ltd Stock A Dividend J T 72. Harry Pregerson 1996 Irrevocable Trust (H) US Bank cash account A Interest J T Janus Fund A Dividend J T 75. Ing Direct - Orange Savings A Interest M T 76. City National Bank (H) 77. CD/Money Market A Interest N T Checking Accts A Interest J T 79. Janus Money Market Fund D A Int./Div. N T 80. Wells Fargo Bank cash account A Interest N T 81. Vanguard 403(B)7 A/C Total Bond Mkt B Dividend L T Index Inv 82. Chase (H) 83. JP Morgan Trust II Liquid Assets A Dividend J T 84. SPDR S&P 500 ETF TR A Dividend J T 85. Vanguard Sector Index Funds A Dividend J T Buy J I. Income Gain Codes: A =$1.000 or less B=$1.00J -$2.500 c=$ $ =$ $ E =$ $ (Sec Columns Bl and IJ4) F=$ $ G=$ t00.00 I -$ HI=$ $ =Moret han $ Value Codes J =$ orless K=$\ $ L=$50.00I - $ t M=$\ $ (Sec Columns Cl and D3) N =$ $ =$ I -$ Pl =$ $5, P2=$ $ '3 =$ I $ P4 =More than $ Vnluc Mc1hlld Codes Q=Apprnisa\ R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

9 Page 9of12 VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des those of spouse and dependent children; see pp of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including tntst assets) reporting period of reporting period (I) (I) (2) (2) (I) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (4) 86. Blackrock Funds II US A Dividend J T Sold 03/13/12 J A 87. Delaware Group Emerging Market Funds A Dividend J T 88. Federated Institutional High Yield Bond A Dividend J T Fund 89. Goldman Sachs Emerging Market Debt A Dividend J T Fund 90. Oakmark Fund A Dividend J T 9 1. JP Morgan Trust I US Equity Fund Select Cl A Dividend J T 92. JP Morgan Trust II Core Bond Fund Select A Dividend J T Sold Cl 05/22/12 J A 93. JP Morgan Trust I MidCap Equity Fund A Dividend J T Select Cl 94. JP Morgan Trust II High Yield Select Cl A Dividend J T Sold 09/12/12 J A 95. JP Morgan Short Duration Bond Fund Select A Dividend J T Cl 96. JP Morgan Trust I Int'! Value Fund Select Cl A Dividend J T 97. JP Morgan Trust I Emerging Mkts Equity A Dividend J T Fund Select 98. MFS Ser Tr X Emerging Market Debt Fund A Dividend J T Class I 99. T Rowe Price New Income Fund Inc A Dividend K T Sold 05/22/12 J A 100. Thornburg Intl Value Fund Class I A Dividend J T IOI. JP Morgan Trust 11--SUIEX A Dividend Sold 09/12/12 J A I02. DWS Inst Funds A Dividend Sold 09/12/12 J A I. Income Gain Codes: A =$1.000 or less B =$1.00 I - $2.500 c =$ $ $ E =$ $ (Sec Columns 81 rid 04) F =$ $ G =$ $ =$ $ f12 =More than $ Vnluc Codes J =$ or less K =$ $ L =$50.00 I - $I M =$ $ (Sec Columns CI and 03) N =$ $ =$ I - $ Pl =$ $ P2 =$ $25, P3 =$ $ '4 =More than $ Value Mc1hod Codes Q =Apprnisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U ::Book Value V =Other W=Estimated

10 Page 10of12 VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc111des those of spouse and dependent children; see PP of filing ins1ruc1ions.j A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (1) (2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (2) (I) (I) (2) (3) (4) exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private I. Income Gain Codes: A =$1.000 or Jess B=$ $2.500 c=$ $ =$5.001-$15,000 E=$15.00l -$ (Sec Columns Ill ond 04) f=$ $ G =$ I -$1, Ill =$ $ U2=More than $ Value Codes J=$ or less K =$ $ L=$ $ M=$ $ (Sec Columns Cl ond 03) N =$ I - $ =$ $ Pl =$1, $ '2 =$ $25, '3 =$ I -$ '4 =More than $ Value Mc1hod Codes Q =Apprnisol R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V =Other W=Estimated

11 Page 11of12 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.) Part VII, lines 80, 84, 85, were inadvertently omitted on the 2011 financial disclosure report

12 Page 12of12 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 complete to the best of my knowledge and belief, 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 b een 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. Signature: s/ Harry Pregerson NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C