D NONE (No reportable positions.)

Transcription

1 , AO 10 Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app I1) Person Reporting (last name, first, middle initial) Court or Organization Alvarez, Micaela District Court - S.District-TX 06/04/2013 Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge - Active 7. Chambers or Office Address Sa. Report Type (check appropriate type) D Nomination Date D Initial [{ Annual Sb. D Amended Report D Final 6. Reporting Period 01/01/2012 to 12/31/ W. Bus. 83 McAllen, Texas 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. POSIT! 0 NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY Director Texas Exes, University of Texas School of Law I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2of7 II N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. I 7-24 of filing instructions.) A. Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 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.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE JV. REJMB URSEMENTS -- transportation, lodging.food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

3 Page 3 of7 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE V LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

4 Page 4 of7 VI INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children: see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) 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) (I) (2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (2) (J-P) (Q-W) (3) (4) exempt from prior disclosure Code I div., rent, Code2 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 transaction) Rental property : :. Hidalgo County, TX None J R - see Part VIII American Centy Mut. FDS Growth Fund A Dividend Sold 09/21/12 J American Centy Invt. TR Diversified BD A Dividend J T INSTL CL Artisan FDS Inc Small Cap Value FD A Dividend Sold 09/21/12 J ARTVX Dodge & Cox FDS INTL STK FD DODFX A Dividend Sold 09/21/12 J 6. Eaton Vance SER II Income Fund Goston A Dividend Sold 09/21/12 J CL I EIBIX 7. Eaton Vamce Large Cap Value Fund Class I A Dividend Sold 09/21/12 J EILVX 8. Goldman Sachs TR Finl Square Treas Instrs A Dividend J T FD INSTL CL FTIXX 9. Harbor Fund Cap Appreciation FD INSTL A Dividend Sold 09/21/12 J CLHACAX 10. Harbor FD INTL Crowth Fund ISTL Class A Dividend Sold 09/21/12 J HAIGX 11. Janus INVT FD Flexible BD FD Class I A Dividend Sold 09/21/12 J JFLEX 1 JPMorgan Core Bond FD Sleet WOBDX A Dividend J T 1 Munder Ser TR Midcap Core Grwth FD CL A Dividend Sold 09/21112 J YMGOYX 1 Nuveen INVT FDS Inc Real Estate Secs A Dividend J T Fund CL I F ARCX 1 Pimco FDS Pac lnvt Mgmt Ser Total Return A Dividend J T FD Inst! CL PTTRX 16. Pimco FDS Pac lnvt Mgmt Ser-Commodity B Dividend J T Real Return STrat FD I 17. Pioneer Ser Tr lil Cullen Value FD CL Y A Dividend Sold 09/21/12 J CVFYX Income Gain Codes: A =$1.000 or less B =$1.001 $500 c =$501 - $000 D =$001 $1000 E =$ $ (See Columns Bl and 04) F=$ $ G =$ $ Ill =$ $ =More than $ Value Codes J =$1000 or Jess K=$1001 -$ L=$ $ M=$ $ (See Columns C 1 and D3) N=$ I -$ =$ $ Pl =$ $ P2 =$ $ P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

5 Page 5 of7 Alvarez, Micaela 06/04/2013 VI INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP offiting instructions.) D NONE (No reportable income, assets, or transactions.) 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) (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 (Q-W) transaction) 18. Pioneer Ser TR I Pioneer OAD Ridge Small A Dividend Sold 09/21112 J Cap Growth Fund CL 19. Dreyful Emerging Mkts Fd CL I DRPEX A Dividend Sold 09/21/12 J 20. Royce Funds Value Plus Fund-Inv RVPHX A Dividend Sold 09/21112 J 21. Wt Mut FD Crm Mid Cap Value FD Inst! A Dividend Sold 09/21/12 J CL CRIMX 2 Blackrock FDS Core Bond Port Inst! Class A Dividend J T Buy J BFMCX 2 CRM Small/Mid Cap Value Fund InvClass A Dividend J T Buy J CRMAX 2 Europacific Crowth FD CL F-1 AEGFX A Dividend J T Buy 09/2 1/12 J 2 Fidelity ADV Emerg MKTS Inc CL 1 A Dividend J T Buy J FMKIX 26. John Hancock FDS III Global Shareholder A Dividend J T Buy 09/2 1/12 J YLD Class I JGYIX 27. MFS Ser Tr I Value FD CL I MEIIX A Dividend J T Buy J 28. Mainstay FD High Yield Corporate BD FD A Dividend J T Buy 09/2 1/12 J CL IMHYIX 29. Managers Funds Bond Fund MGFIX A Dividend J T Buy 09/21/12 J 30. Metropolitan West FDS Total Return BD A Dividend J T Buy 09/2 1/12 J CLIMWTIX 31. Virtus Emerging Markets Opportunities A Dividend J T Buy J FND CL I HIEMX 3 Alger Smallcap and Midcap Grow CL I A Dividend J T Buy 09/ J ASIMX 3 Pimco FDS lnvt Diversidied Inc FD Inst! A Dividend J T Buy 09/2 1/12 J PDIIX 3 T Towe Price Blue Chip Growth Fund A Dividend J T Buy J TRBCX 1. Income Gain Codes: A =$1.000 or less B =$1,001 -$500 c=$501 - $000 D=$001 - $1000 E =$100 I -$ (See Columns Bl and D4) F=$50,001 -$ G =$ $ Ill =$ $ =More than $ Value Codes J=$1000 or less K =$1001 -$ L=$ $100,000 M =$ $ (Sec Columns Cl and 03) N=$ $ =$ I - $ Pl =$1, $ P2 =$ $25, P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U=Book Value V=Othcr W=Estimated

6 Page 6 of7 VII ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.) Part I, Positions - this position comenced July 2009 The porperty listed in Part VII, line 1 was purchased on July 25, 2003 for the price of $14, No rental income was received during the reporting period but it is listed for the sake of thoroughness. In Part VII, the assests sold were reinvested in the asses! purchased.

7 FINANCIAL DISCLOSURE REPORT Page 7 of7 Alvarez, Micaela 06/04/2013 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 been reported are in compliance with the provisions of5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Micaela Alvarez 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 Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C