D NONE (No reportable positions.)

Transcription

1 Otero, Samuel. FINNCIL DISCLOSURE REPOR FOR CLENDR YER 2010 Report Required by the Ethics in Government ct of 1978 (5 U.S.C. app ) 1. Person Reporting (last name, first, middle initial) Court or Organization Otero, Samuel. U.S. District Court itle (rticle III judges indicate active or senior status; Sa. Report ype (check appropriate type) magistrate judges indicate full- or part-time) D Nomination, Date U.S. District udge, ctive Initial nnual D [Z D Sb. mended Report D Final 6. Reporting Period 01/01/2010 to 12/31/ Chambers or Office ddress 8. On the basis of the information contained in this Report and any United States District Court 312 North Spring Street Suite 244-P Los ngeles, C modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPOR N NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSIIONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSIION NME OF ORGNIZION/ENIY 1. udicial oard Member ssociation of usiness rial Lawyers 5. II. GREEMENS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PR IES ND ERMS I California udges Retirement Plan; Pension Upon Retirement, ge Los ngeles Employees Retirement Plan; Pension Upon Retirement, ge 55

2 FINNCIL DISCLOSURE REPOR Page 2of11 Otero, Samuel. Ill. N 0 N-INVES MEN IN CO ME. (Reporting individual and spouse; see pp of filing instructions.). Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) I. 01/2010 Los ngeles Employee Retirement Pension $16, 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 ND YPE I. 01/2010 Los ngeles Unified School District IV. REIMURSEMENS - transportation, lodging, food, entertainment. (Includes those lo spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DES LOCION PURPOSE IEMS PID OR PROVIDED I. ssociation of usiness rial 04/09-04/11 Phoenix, rizona Program Participant Meals, Hotel, ransportation Lawyers U.S. Department of ustice 12/15-12/17 Columbia, South Carolina National dvocacy Center Meals, Hotel, ransportation Program Participant 5.

3 FINNCIL DISCLOSURE REPOR Page 3of11 Otero, Samuel. V. GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable gifts.) SOURCE DESCRIPION VLUE I. L.. LP. Inn of Court Membership $ VI. LIILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE I. Sallie Mae Student Loan 5.

4 FINNCIL DISCLOSURE REPOR Page 4of11 Otero, Samuel. 05/10/201 I VII. INVESMENS and R us S - 0 NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.).. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period (1) (2) (1) (2} (I) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype (t! g., Date Value Gain Identity of mm/dd/yy exempt from prior disclosure Code I div., rent, Code2 Method buy,.sell, Code2 Code I buyer/seller (-H) or int:) (-P) Code 3 redemption) (-P) (-H) (if private (Q-W) transaction) I. Franklin California ax Free Income Fund Galliard Stable Value (L De Interest Comp.Wash. Mutual Liquid) First Investors Cash Management Fund Sold 02/02/10 (brokerage acct #I) First Investors Investment Grade Fund (brokerage acct #I) 5. First Investors Fund for Income (brokerage acct #1) 6. First Investors Government Fund (brokerage Sold 02/02/10 acct #1) 7. Oppenheimer Discovery Fund 8. Oppenheimer Equity Fund 9. viva Life Insurance Strategy Select 10. Great merican Life Insurance I I. First Investors Growth & Income Fund (X Sold 01/1 I/IO br. acct #1) 1 First Investors Situations Fund (X br. acct #I) 1 First Investors Global Fund (X br. acct Sold 01/21/10 #1) 1 First Investors otal Return fund (X br. acct L 12/13/O L #1) 15. California Ins ax Exempt Fund (X br. acct c Sold 12/03/10 L #1) 16. First Investors Select Growth Fund (X br. Sold O/I I/O 1 acct #1) 17. First Investors Int'! Fund (X br. acct #1) l. Income Gain Codes: 41,000 or less =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns l and 04) F =$50,00I -$100,000 G =$100,001-$1;000,000 Hl =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (Sec Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =ook Value V =Other W =Estimated

5 FINNCIL DISCLOSURE REPOR Page 5of11 Otero, Samuel. VII. INVESMENS and R us S - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). Description of ssets :.,. (inchidin tiust assets) Place "(X)" after each asset exempt from prior disclo!iure (1). Income during reporting period c. Gross value at end ofreporting period (2) (!) (I) mount ype (e.g., Value Value ype (e.g., Code I div., rent, Code 2 Method buy, sell, (-H) or int.) (-P) Code 3 redemption) (2) (Q-W) D. ransactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of mm/dd/yy Code2 Code I buyer/seller {-P) (-H) (if private transaction) 18. First Investors Value Fund (x brokerage acct #1) 12/13/ ank of merica (X "common" brokerage 01/12/ ank of merica (X "common" brokerage 03/29/ ank of merica (X "common" brokerage ank of merica (X "common" brokerage 07/12/10 2 ank of merica (X "common" brokerage 07/19/10 2 ank of merica (X "common" brokerage Sold 08/02/ ank of merica (X "common" brokerage 08/09/ ank of merica (X "common" brokerage Sold 08/24/ ank of merica (X "common" brokerage 10/01/ ank of merica (X "common" brokerage ank of merica (X "common" brokerage ) 11/04/O 30. ank of merica (X "common" brokerage I1/05/O 31. Ford Motor (X "common" brokerage 01/11/10 3 Ford Motor (X "common" brokerage 01/12/10 3 Ford Motor (X "common" brokerage 01/25/10 3 Ford Motor (X "common" brokerage account #2 03/18/10 I. Income Gain Codes: =$1,000 or less =$1,00 I - $2,500 C =$2,50I - $5,000 D =$5,00I - $15,000 E =$15,001 -$50,000 (See Columns I and 04) F =$50,00 l - $100,000 G =$100,001 -$1,000,000 HI =$1,000,00I - $5,000,000 HZ =More than $5,000,000 Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec Columns CI and 03) N =$250,00I - $500,000 0 =$500,00I - $1,000,000 PI =$1,000,00I - $5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 - $50,000,000 Value Method Codes Q =ppraisal (See Column C2) U =ook Value R =Cost (Real Estate Only) V =Other P4 =More than $50,000,000 S =ssessment W =Estimated =Cash Market

6 FINNCIL DISCLOSURE REPOR Page 6of11 Otero, Samuel. - VII. INVESMENS and R US S income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.).. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period ofreporting period (!) (2) (!) (2) (!) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype(e.g., Date Value. Gai Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (-P) Code 3 redemption) (-P) (-H) (if private (Q-W) transaction) 35. Ford Motor (X "common" brokerage 03/19/ Ford Motor (X "common" brokerage Sold 05/06/ Ford Motor (X "common" brokerage Sold 05/07/ Ford Motor (X "common" brokerage 06/24/ Ford Motor (X "common" brokerage Ford Motor (X "common" brokerage 06/28/10 account #2 41. Ford Motor (X "common" brokerage Sold 07/22/\0 4 Ford Motor (X "common" brokerage 08/10/10 4 Ford Motor (X "common" brokerage Sold 08/24/10 4 Ford Motor (X "common" brokerage 10/06/ Ford Motor (X "common" brokerage 12/29/10 account #2 46. SPDR Gold rust (X "common" brokerage 01/20/ SPDR Gold rust (X "common" brokerage Sold 01/21/ SPDR Gold rust (X "common" brokerage 01/25/ SPDR Gold rust (X "common" brokerage Sold 01/29/ SPDR Gold rust (X "common" brokerage 02/02/ SPDR Gold rust (X "common" brokerage Sold 03/19/10 1 I. Income Gain Codes: 41,000 or less =$1,001 -$2,500 c =$2,50l - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns I and 04) F =$50,001 - $100,000 G =$100,001-$1,000,000 HI =$1,000,00I -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,001 -$ M =$100,001 -$250,000 (Sec Columns Cl and 03) N =$250,001 -$500,000 0 =$500,00I -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =ook V aluc V =Other W =Estimated

7 FINNCIL DISCLOSURE REPOR Page 7of11 Otero, Samuel. VII. INVESMENS and R us S - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.).. Description of ssets Income during (including trust assets) reporting period (1) (2) Place "(X)" after each asset mount ype (e.g., exempt from prior disclosure Code I div.,rent, ("H) or int) 5 SPDR Gold rust (X "common" brokerage 03/22/10 5 SPDR Gold rust (X "common" brokerage 03/24/10 5 SPDR Gold rust (X "common" brokerage 05/10/ SPDR Gold rust (X "common" brokerage Sold 07/22/ SPDR Gold rust (X "common" brokerage 10/01/ SPDR Gold rust (X "common" brokerage 10/05/ SPDR Gold rust (X "common" brokerage 10/08/ SPDR Gold rust (X "common" brokerage 11/09/ SPDR Gold rust (X "common" brokerage Sold 12/23/ SPDR Gold rust (X "common" brokerage Sold 12/28/10 6 CitiGroup CX "common" brokerage 01/12/ /26/ /12/ Sold 04/22/ /19/ Sold 05/10/ I. Income G.iin Codes: 41,000or less =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns l and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =Mo rethan $5,000,000 Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec Columns CI and D3) N =$250,001 - $500,000 0 =$500,00I - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00I -$25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =ook Value V =Other W =Estimated

8 FINNCIL DISCLOSURE REPOR Page 8of11 Otero, Samuel. VII. INVESMENS and R us S - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) 69. CitiGroup CX "common" brokerage 07/12/ Sold 08/24/ /04/10 7 CitiGroup CX "common" brokerage 11/05/10 7 P PLC (x "common" brokerage) None 04/20/10 7 P PLC (x "common" brokerage None 04/26/ P PLC (x "common" brokerage None Sold 04/30/ lamo Energy (x "common" brokerage acct None 04/05/10 #2) 77. lamo Energy (x "common" brokerage acct None 12/27/10 #2 78. erkshire (x "common" brokerage acct #2) None 04/20/ erkshire (x "common" brokerage acct #2) None 04/26/10 ] 80. erkshire (x "common" brokerage acct #2) None Sold 05/07/ pple (x "common" brokerage acct #2) 10/15/10 8 pple Inc (X brokerage 10/15/10 8 pple (x "common" brokerage acct #2 12/29/10 8 Matthews Pacific iger Fund x "common" 11/09/10 brokerage acct #2) 85. ohnson & ohnson (x "common" acct #2) 12/29/10 I. Income Gain Codes: $1,000 orless $1,001 -$2,500 c $2,501 -$5,000 D $5,001 -$15,000 E $15,001-$50,000 (Sec Columns I and 04) F $50,001 -$100,000 G $100,001 -$1,000,000 HI $1,000,001 -$5,000,000 H2 More than $5,000,000 Value Codes $15,000 or less $15,001 -$50,000 L $50,001 -$100,000 M $100,001 -$250,000 (Sec Columns Cl and 03) N $250,001 -$500,000 0 $500,001 -$1,000,000 Pl $1,000,001 -$5,000,000 P2 $5,000,001 -$25,000,000 P3 $25,000,00 I -$50.000,000 P4 More than $50,000,000 Value Method Codes Q ppraisal R Cost (Real Estate Only) S =ssessment cash Market (Sec Column C2) U =ook Value V Other W =Estimated

9 FINNCIL DISCLOSURE REPOR Page 9of11 Otero, Samuel. VII. INVESMENS and RUSS D NONE (No reportable income, assets, or transactions.} - income, value, transactions (Includes those of spo use and dependent children; see PP of filing instructions.). Description of ssets (including trust assets) Place. "(X)" after each asset exemptfrom prior disclosure 86. I Shares Silver (x "common" brokerage acct #2) 12/29/ United States Savings ond 88. Chase ank ccount oint Interest 89. L.. Federal Credit Union ccounts Interest M 90. Calif Credit Union Interest l. Income Gain Codes: =$1,000 or less =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns 1 and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 Hi =$i,ooo,001-$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,001 $100,000 M =$100,001 -$250,000 (Sec Columns Cl and D3) N =$250,001-$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 '$5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ossessmcnt =Cash Market (Sec Column C2) U =ook Value V =Other W =Estimated

10 FINNCIL DISCLOSURE REPOR Page 10of11 Otero, Samuel. VIII. DDIIONL INFORMION OR EXPLNIONS. (lndicatepartofreport.) he majority of the "buy" transaction activity for the first investors trust funds reported in Section VII are actually exchanges and transfers within the first investors family of funds. he funds reported in section VII items 6 and 15 were not owned at the end of the reporting period. In September I opened brokerage account # he stock held in the account is reported in Section VII items 19 through 86. P PLC, lamo Energy and erkshire stock reported in Section VI item 46, 73 and 78 were not owned at the end of the reporting period.

11 FINNCIL DISCLOSURE REPOR Page 11of11 Otero, Samuel IX. CERIFICION. 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 been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. Signature: s/ Samuel. Otero NOE: NY INDIVIDUL WHO NOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY E SUEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C