carlos t bea financial disclosure report for 2009

8/3/2019 Carlos T Bea Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/carlos-t-bea-financial-disclosure-report-for-2009 1/8

¯ ~ ~ Repot! Required by the EthicsI , ~ 0 , ’ 0 [ FINANCIAL DISCLOSURE REPORT i , G o v e r n m e n t A c t o f1 9 7 8R e v . ~ / 2 0 1 0 ] FOR CALENDAR YEAR 2009 ( 5 u . S . c , a p p . § § I O I - 1 1 1 )

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l ) 2. Cour t or Orgnntznt ioa 3. Date of Report

Bea . Ca r los T . U.S . Cou r t o f Appea ls f o r t he N in th Ci rcu i t 05/12/2010

4 . T l’ t l e ( A r t i c le I I I j u dg es in di c a t e a c t iv e o r s e n io r s t a t u s; 5 a. R e p or l T y p e ( c he c k a p p r o pr i a te t y pe )16 . Repor t ing Per iod

m a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a n - t i m e )

I [ ’- ] Nomina t ion .D a t e 01/01,’2009

Circu i t J udge(Act ive) [] Initial [] Annual [] Final to

12/31/20095 h . [~ A m e nd e d Re p o r t

’ 7. Chambers or Off ice Address II. On the basis of the Informa tion onta ined in th i s Repor t and any

modifications pertalnlng thereto, It i s , In my opinion, In c o m p l i a n c e

U.S. Court o f Appe als for the Ninth Circu i twith applicable laws and regulat ions .

95 Seventh Street , Sui te 205San Francisco , CA 94103 Reviewing Off icer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed~ Complete atl parts,

checking the NONE b ox for each part where yau have no reportable information. Sign on last page.

I . P O S I T I O N S . tn o p o r , i ,~ ~ . d ~ a , ,o ~ o , U y ; ~ e V p . ~ - t 3 o ~ r . ~ n n ~ i . ,~ , , io n , . )

[’--] N O N E (No reportable posi t ions.)

~ NAME OF ORGANIZATIONIENTITY

:. ¯--’ . ’ - - : i " . ’ ~

I I . A G R E E M E N T S . (Reporting individualonly; seepp. 14-16of fl!ing instruction~) i’ -- :- "

NONE (No repor t a b l e a g reem e n t s .) ,. ,: ,.,..

DATE P A R T I ES A N D T ER MS .’-’.~~ ~-..._~,~

I. I123/1990 Judges Re t i r eme n t Sys t em, S t a t e o f Cal i f o rn i a (PERS)r ,t ~ , . _

2.1/23/1990 Ci ty and Coun t ry o f San F ranc i sco De f e r r ed Compe nsa t i o n P lan (Aema)



F I N A N C I A L D I S C L O S U R E - R E P O R T

I . ~ , m , o f P , r , o o R . p o , ~ o g

, .t . a t R e p o ~ t

of 8 B e , , C a r Z . s T . 0 s / l ~ o ~ 0

IlL NO1N-INVESTMENT INCOME. ~Roloor,l .gi .di~iduoland~

A. Flier’s Non-Investment Income

N O N E (No reportable non- investment income.)

DATE SOURCE AbrD TYP E INCOME( you r s , n o t spou se ’ s )

I. 2009 $78,444.70

2.2009 SF J u d g e s R e t i r em en t $97,193.00

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - If you w ere married during an), portion of the reporting year, com plete th is section.

( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )

N O N E (No reportable non- investment income.)

D A T E S Q I ./ R C E A N D T Y P E

I.

I V . R E I M B U R S E M E N T S - t ,° ,~ponat lo~, toa~in~,~’ood, e n ~ . a i n ~ e n ~

( I n c l u d e s t h o . s e t o ~ ’ p o u s e o n d d e p e n d e n t c h i l dr e n ; s e e l o p . 2 5 - 2 7 o f f i li n g i n s t r u c t i o n s . )

[---1 NONE (No repor t a b l e r e i m bursem en t s .)

SOURCE DATES ~ PURPOSE ITEMS PAID OR PROVIDED

I. Fede ra l i s t Soc i e t y I123/09 - 1 /25 /09 S ina i Val ley , CA Activi ty, Professiona l Trave l , lo dg ing , f o od

Associat ion

2. P e p p e rd in e Un ive rsi ty 3 /19/09 - 3 /21 /09 Mal ibu , CA La w t e ach ing Trave l , I o d ing , f o od

3 . I t e r i tag e Foun da t i o n 4/22109 Los Ange l es , CA Activi ty, Civic Associat ion Trave l , lo d i ng , f o od

4. Gru t e r Founda t i o n 5/17/09 - 5/I 8/09 S quaw V a l l e y , CA Act iv ity , P ro fe ssi on al T ra ve l, Io din g, f oo d, r eg is tr atio n f eeAssociat ion

5 . Federal i s t Socie ty 1 I/11/09 - 1 I/I 51 09 Washing ton , D.C. Activity, Profess ional Trave l , Iod ing , foodAssociat ion



FINANCIAL DISCLOSURE REPORT ~ ’ S . m ~ of Ptrton Rtportint, Dtt¢ of Report

of 8 B e a , C a r ~ o s a ’ . 0 5 / l Z a 0 1 0

~ NONE ~o reportable g~s.)

~ DESCRIPTION

I.

2,

3.

4.

5.

~ N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION NALUE CODE

1 , Vi sa c r~ i t c a~s : F i~ t USA B=k , Cha rge s fo r l iv ing exp ens e s , i nc l ud ing t r ave l ~d t u i t i on ch~ges KN.A., per l icense from Visa U SA

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT ] N.me of Per$ou Repor t ing Date of Reper t

of 8

I B e n , Ca r l o s T .

05/12/2010

N O N E (No repor t a b l e i ~om e , a ~x e t ~, ~r t ra n sa c t i on .)

~s~ption of ~scts G r o s s v a l u e a t e n d T ~ s a c t i o n s d u ~ n g r e p o r t in g p e r i o d

( inc l ud ing t~ t a~t s ) mp0~ing pcH~ of r~o~in8 p ~ H o d

Value Va lue T~e (e .g . , I I d~f i ty o fC~ 1 div., ~n~ C o d e 2 M e t h o d buy, ~II, m~d~ ~ Cod~ 2 [ ~e I ~ buyc r /~ l l e r

l, Dodge & Cox Stock F~d A Di~dend J T

2. Vaag~a~ Cal . In ter , Tax Exempt A Dividend J T

3. UBS Mon ey Fund , I n c . Depo s i t AJC A Div idend J T

4. Franklin Templeton Cal. Tax Exempt Fund C Div idend N TCB

5. Franklin Templeton Cal. Tax Exempt Fund A Divid¢nd J TLB

6. Cal . S t . GO Ambac 5 . 5% ’09 C Inte res t S o l d 08/03/09 L A

7. Cal . S t . Ve t e r an G O 5 . 75% ’10 I’ C Inte res t S o l d 08/03/09 L A

8. Lassen Ca Mun Ut i l Rev FSA 4 .5% ’11 C Interest S o l d 08/03/09 L" A

9. Los Ange le s Co Met Se rv 6% ’11 C Inte res t S o l d 08/03/09 L C

1 0 . San F ran I n t ’ l A i rpo r t 4 % ’1 0 C Inte res t S o l d 0 8 1 0 3 1 0 9 L A

1 1 . San Mateo Cn ty J r Pwr 3 . 6% ’09 C Inte res t S o l d 08/03/09 L A

i2 . Hummcr /Winb lad I I Ltd . P a r t A Distr ibu t ion K W

1 3 . FPA Campus Com mons Assoc i a t e s , LLC A Distr ibu t ion J W

’ 1 4 , I sha re FTSELKin Hu a A Dividend So l d 06/10/09 M E

1 5 . I shar e JP Morgan USD Bond Fund : EMB D Dividend O T

1 6 . S P D R Le hman I n t ’ l T r e a s u ry B o n d : BW X l’ A Dividend O T

1 7 . SPDR S&P 5 00 ETF TR D Dividend So ld 03 /09/09 N E(part)

1 . In co m e G a in Co d ~: A =$ 1 ,090 o r l~ss B =$1 .0(t I - $ 2,5 00 C =$ 2.5 01 - $ 5 JX ,0 D =$ 5 .001

(S~ Colons B 1 and D4) F ~$50.~1 - $1 ~.~ O =$1~.~1 - $1.~,0~ H 1 =11,~,~I - $5,0~.~ H2 =M or e

2. Vat~ C~e~ J =~1 ~ ,0~ o r I~ s K ~15,~1 - $50,~ I. =~50,~1 - $100,~ M = 1 1 ~ , 00l



FInaNCIAL DISCLOSURE REPORT

I s ’ ~ e ° f V e ’ ° n a ’ P ° " ~ g

D a t e o f a e p o "

I of 8 n e a , C a r l o s T . 0 5 / 1 2 1 2 0 1 0

V I I . ~ E S T M E N T S a n d T R U S T S - ~ . . . . . t ~ , , t ~ n s a c t lo n s ( ln c l u d e s t h o s ¢ o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e ¢ p ~ 3 4 ~ O o f f iH n g l n s t r u c t lo ~ . )

NONE ~o re por tab le inc om e , asse t s , o r t ransac t io t= .)

A. T B. C. D.De~npt lon of As~ts l I ncome d~ng ~s s v a l u e a t ~d T ~ a c t io n s d u r i n g r e p o ~ i n g ~

( inc l u~ng ~t ~se t s ) [ r~o~ing per iod o f r e po~ng p e r i od~

P l~e " (X)" a f t e r ~ch ~ t A m p u l T y p e ( e . g ., Valu e Va lu e T~e (e .g . , D ~ t e Value Gain Idcnt i~ ofexempt f~mpf iordisc losu~ C~e I div.,r~ C o ~2 Me~od buy , sel l , ~ C~ e 2 I Cod e I [ buye r /~ l l e r

~ (A-~ orint .) ( J - P ) C o d e 3 r~emplionl [ (/*P) (A-H) I (ifprlvale

~ ~ Ir~sactio~}

1 8 . SPDR S&P 5 00 ETF T~ D Div idend So l d 08/09/09 O E

1 9 . I sMr e MSC I C an ~I n dex FD C Div idend N T

20. I shar e MSCI Swi t z I ndex FD A Div idend N T

2 1 . l sha reS&P G loba l l n fo Tech Index FD A Div idend N T

[ 2 2 . I shar e S&P Globa l Te le I ndex FD D Div idend N T

! 2 ’ 3 , Cur rency Shar e s : Aus t r a l i an Do l la r T ru s t B Inte res t M TSH S

’ ~ 4 . Cur rency Shar e s : Br i t i sh Pound S t e r l i n g A I’ Inte res t M TT r u s t S H S

25 . C u r r e n cy Sh a r e s : Sw i s s F r a n c T r u s t SHS A Inte res t M T

2 6 . Cur rency Shar e s : Japan ese Yen Tru s t SHS A Inte res t M T

27 . LI.S. Treasury Note 3.75% 11)-15-09 D Inte res t So l d 08/03/09 M A

2 8 , U.S. Trea~xry Note3,625% 10-31-09 E Inte res t So l d 08/03/09 O A

29. l shar e S&P G loba l F in . I ndex A Div i d e n d S o l d 11/02/09 N D

30 . I P a th . DJ UBS Nat ’ l Gas Tru s t SUB A Div idend S o l d I 11/02/09 M A

31 . Pow er s shar e s DBA Agr i cu l t u r e A Div idend M T [’

32 . SP DR G o l d T r u s t A Div i d e n d M T " ’

3 3 . G Distr ibu t ion N W

3 4. IRA: US Trea sury Note 3.375 % 10-15-09 D Inte res t So l d 04/2!/09 N A

(See C o l u m n s C I e n d D 3 ) N

3. Va~ Mc~ C~ Q -Ap~sal R ~ (Rea l ~l e Only ) S -~ssm~ T ~ a s h M a r k ~( S e e C o l u m n ~ ) U " B ~ k V a lu e V ~h~ W = E ~ i m a te d



FINANCIAL DISCLOSURE REPORT ~ameorVer*on Reporting

P a g e 6 o f 8 n e a , C ~ r ~ o ~ T .

V l l. IN V E S T M E N T S a nd T R U S T S - ~ .co ~ , ~ ~ t~ o , t , .. so c , ~ o . s a .a ~ 4 ~ , , h o , ~ o ~ , vo ~ s e

N O N E (No re po r tab le inc ome , ~se t s , o r t ramac t ions . )

A. ~ B. C. D.~fiption of As~ [ Income during G r o s s v a l u e a t e n d Tmnsac t i om du r i ng ~ning ~r iod( including ~t m~e~) [ r e p o r t i n g p e r i o d o f r e i n i ng pe r i o d

exempt f rom ~or oi~losu~ Co~ I div., ~nL C M ¢ 2 Me te d b W , ~ 1 1 , [m~d~ ~ C~2[ Cod, 1 [ buytr/s*ll~

(~ t r m s a c t i o n )

3 5 . I R A :U B S B a n k D e , s it A In tcmt J T

36. ~: lsh~cs S&P Global IXG A Div i d e n d J T

37 . " " IRA: D~g¢ & Cox S t~k Fun d A Div i d e n d J T

3 8 . 1 ~ : US T r e a s uu N o t e T i p I n t l . D In tc~s t N T

3 9 . IRA: US Tre asu~ No t e 3 . 375% 10-15-09 A In tc~s t So l d ~121109 L A

4 0 . l ~ : US T r e ~ u~ N o t e 3 . 625 % 1 0 -03 -09 A Interest S o l d 0 4 1 2 1 / 0 9 N A

41 . ~: UBS Bank De, sit A Interest J T

~2. I~: Ishares S&P Global ~G A Div idend J T

43 . I ~ : D ~g ¢ & C o x S t o ck Fu n d A Div idend J T

44 . 1 ~ : US T r v~ u~ N o t e T i p I n t l . D Inte res t N T



FINANCIAL DISCLOSURE REPORT ~,me of Person Reporting [ D.te of Report

P a g e 7 o f 8 B e , , C a r l o s T .

I0 5 1 1 2 / 2 0 1 0

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . ¢ ~ , ~ c a ~ e p on o ,~ R , p o~



F I N A N C I A L D I S C L O S U R E R E P O R T I ram, of pcr,o. R~po~i.~

I D ~ t , o ~ a e p o r ,P a g e 8 o f 8

I B e , , C a r l o s r .0 5 / 1 2 / 2 0 1 0

I X . C E R T I F I C A T I O N .

I c e r ti f y t h a l a l l in f o r m a t i o n g i v e n a b o v e ( i n c lud i ng i n f o r m a t i o n p e r t a i n i n g t o m ) ’ s p ou s e a nd m ino r o r d e p e nd e n t c h |I d r e n , I f a ny ) i sa c c u r a t e , tr u e , a nd c om p l e t e t o t h e b e s t o f m y kno wl e dg e a nd b e l i e f , a nd t h a t a ny i n f o r m a t i o n no r r e p o r t e d w a s w i t hh e l d b e c a u s e I t m e t a p p l i c a b l e s ta t u t o r yp r ov i s io n s p e r m i t t in g non - d i s c l o s u r e .

! f u r t h e r ce r t i f y t h a t e a r n e d I n c om e f r om ou t s i d e e m p l oym e n t a nd hono r a r i a a nd l h e a c c e p t a nc e o f g i f t s wh i c h h av e b e e n r e p o r t e d a r e i ncompl i ance wi th the provislon~ o f 5 U .S .C . a p p . § 5 01 e L s e q . , 5 U .S .C . § 7 3 5 3 , a nd J ud i c i a l Con f e r e nc e r e gu l a t io n s .

S i g n a t u r e . , 1 M A Y 1 2 2 0 1 0

N O TE : A N Y IN D IVID UA L W H O K N O W IN GL Y A N D W IL F UL L Y FA L S IF IE S O R F A ILS TO F IL E T i l ls RE PO RT MA Y B E S UB JE CT T O CIVILAND CRIMINAL SANCTIONS (5 U.S .C. app . § 104)

FILING INSTRUCTIONS

Ma i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o mm i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a ti v e O f f i ce o f t h e U n i t e d S t a t e s Co u r t sSu i t e 2 -301On e C o l u mb u s C i r c l e , N . E .W a s h i n g t o n , D . C . 20 5 4 4

carlos t bea financial disclosure report for 2009

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