carlos t bea financial disclosure report for 2010

8/3/2019 Carlos T Bea Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Reporting (last name, first , middle initial)B ea , C ar l o s T .

2. Court or Organiza t ionU.S. Court of Appeals for the Ninth Circuit

4. Title (Article I11 judges indicate active or s e n i o r s t a t u s ;magistrate judges indicate full- or part-t ime)

Circuit Judge (Active)

7. Chamb ers or Off ice A d d r e s sU.S. Court of Appeals for the Ninth Circuit95 Seventh Street, Suite 205San Francisco , Ca l i fo rn ia 94103

3, Date of Report05/I 5/2011

5a. Report Type (check appropriate type)] Nomination, D a t e[] Initial [] Annual [] Final5h. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n y

m o d i f ic a t i o n s p e r t a i n in g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c ewi th appl i cabl e laws and regulat ions.

R e v i e w i n g O f f ic e r

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

D a t e

1MPOR TANT NOTES : The inst ructions accom panying th is form must be fo l lowed . Complete al l parts ,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e ~ , o n i n g i n d l v i d u a t o n l y ; se ~ p e . 9 - 1 3 of f!ling instructions.)[~ N O N E (No reportable po sitions.)

P O S I T I O N

3.

4.5.

N A M E O F O R G A N I Z A TI O N / E N TI TY

I I. A G R E E M E N T S . m ~ p o n i n g in a i v i a u a i o n t y ; see pp. 14-16 of filing instruction~)[~ N O N E (No reportable agreements .)

D A T E1.1/23 /19902. 1/23/1990

P A R T I E S A N D T E R M SJudges Re t i r ement Sy s tem , Sta te o f Ca l i fo rn ia (PERS)Ci ty and County o f San Francisoc Defe r red Com pensa t ion Plan (Grea t Weste rn Re t i r ement Se rv ice s)


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FINANCIAL DISCLOSURE REPORTPage 2 o f 9

N a m e o f P e r s o n R e p o r t in gBea , Car los T.

D a t e o f R e p o r t05/15/2011

I I I . N O N - I N V E S T M E N T I N C O M E . < + + e p o r ~ i n g i n d i v i d u a l a n d s p o u s e ; seepp. 17-2 4 of fi l ing instructions.)A. Fi le r s Non-Inve s tm ent Incom e~- ~ N O N E (No reportable non-investment income.)

D A T E S O U R C E A N D T Y P E

1 . 201 02.2010 San Franc isco Judges Re t i rement

I N C O M E(yours, not spouses)

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - 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.)

1.20102 .2 0 1 03.

DATE S O U R C E A N D T Y P E

San Franc isco Judges Re t i rement

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E ( N o reportable reimbursements.)S O U R C E D A TE S LO C A TIO N P U R P O SE ITE M S PA ID O R P R O V ID ED

1 . L a w O ff ic es o f A li sa T ho m a s 1 /6 /2 01 0 Santa Cruz, C a l i fo rn ia S p eech to San ta Cruz Trave lI m m ig r a t i o n B a r2. Federalist Society 3/1 /2010 Simi Va l ley , Ca l i fornia Mo d era te a p an e l Trave l , lodging, food3. Davis School of Law 3/19/10 Davis , Ca l i fornia Judge a Moot Cour t Trave l , lodging, food4. ~~ 6/22/2010 Los An geles , Ca l i fornia A p p e a r be f o r e t a x c o u r t f o r T r a v e l , l o d g i n g , f o o da hear ing5. ~ 9/21 /2010 Los An geles , Ca l i fornia Appear before t ax cour t fo r Travel , lodg ing , fooda heat ing


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9


D a t e o f R e p o r t05/15/2011

6. Reno Fed era l Bar Assoc ia tion 12/13/2010 Reno, Cal i fornia Speech to the Reno Fede ra l Trave l , lodging, foodBar A ssocia t ion7. Federalist Society 9 /2 9/ 20 1 0- 10 /2 /2 01 0 P h oe ni x, A ri zo n a Speech Trave l , lodging, food8. Fed e ralis t So ciety 1 1 /17 /201 0-1 1 /22/201 C , W ash in g ton D.C. M o dera te a p anel fo r the Trave l , lodging, foodannua l convent ion9. ~ 12/30/2010 Los Angeles , Ca l i fornia Appear before tax court for Trave l , lodging, fooda hear ing


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FINANCIAL DISCLOSURE REPORTPage 4 of 9

Name of Person Report ingBea, Car los T .

Date of Report05/15/2011

V . G I F T S . a n e l u d e s ,hose to spouse und dependent children; see pp. 28-31 of filing instructions.)N O N E (No repo rtable gifts.)

S O U R C E1 .2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n d u d e s t h o s e o l s p o u s e a n d dependent children; see p p . 3 2 - 3 3 of filing instruction~)N O N E ( N o reportable liabilities.)

C R E D I T O R DESCRIPT ION1 .2.3.

4.5.

V A L U E C O D E


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N a m e o f P e r s o n R e p o r t i n gBea , Car l o s T .

Date of Report05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transact ions (Includes those of spouse and d ependent chi ldren; see pp. 34-60 of fi l ing instructions.)[ ~ ] N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

B, C. D.Income during G r o s s v a l u e a t e n d Transactions during reporting periodr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

O) (2) (1, (2) (l ) (2) (3) (42 ..... ( 5 )Amount T y p e ( e . g .~ V alue V alue T y p e ( e . g . , D a t e Value G a i n I d e n t i ty o Code t d i v ; ; r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) O - P ) ( A - H ) (ifpriyate(Q -W) t r a t r s a e t i o n l

2. FPA Associates, L.L.C., Newport Beach,CA3. Frank l in Temple ton Ca l . Tax Exempt Fund4. Hum mer /Winb lad 11 L td . Pa r tne r sh ip5. Vangua rd Ca l i fo rn ia Tax-Exempt MoneyMarket6 .7. Currency Shares: Australian Dollar TrustSH S8. Cur rency Sha re s : Br i t i sh Pound Ste r l ingTrust SHS9. l sha re MSCl Canada I ndex FD

1 0 . l sha re JP Morgan USD Bon d Fund: EMB1 1 . I sha re S&P Globa l I n fo Tech I ndex FD1 2 . Powersha re s DBA Argicu l tu re13 . UBS M oney Fund , I nc . Depos i t A/C1 4 . AT&T In c .

A Rent J UA Div idend M TA Distribution Distr ibuted 09/15/10 J A H u m m e r / W in b la dA Div idend J TG Distr ibution N SB Interest S o ld 02/03/1 0 M D MarketA Interest Sold 02/05/10 M A MarketA Div idend Sold 02/03/10 N D MarketB D iv iden d S o ld 02/03/10 M D MarketD Div idend Sold 02/03/10 N E MarketA D iv iden d S o ld 02/03/I 0 M A Market

A Int . /Div. K TB Div idend M T

15. Blackrocklnc. A Div idend K T1 6 . Caterpillar Inc.1 7 . Chevro n Co rp .

A Div idend LA Div idend M

TT

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Co lu mns BI and D4 ) F =$50.001 - $100,000 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $1 ,0 00 ,0 01 - $ 5,0 00 ~0 00 H2 =More than $5,000~000

2. V alue Codes J = $ 15,000 or less K =$15,001 - $50,000 L =$50,001 ~ $100,000 M = $100,001 - $250,000(See Co lu mns CI and D3) N =$250,001 - $500,000 O =$500,001 - $1 ,000 ,000 P 1 = $1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 00 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = Assessmen t T = Cash Mark e t(S ee Co lunm C 2) U = Book V aluc V = O t h er W = Es t ima ted

E =$15,001 - $50,000


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D a t e o f R e p o r t05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~] N O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f A~se t s( includ ing t rus t a s se t s )

Place "(X)" after each assetexempt from prior disclosure

I n c o m e d u r i n gr epo r t ing pe r iod o f r e p o r t i n g p e r i o d

(1 ) (2 ) (1 ) (2) (1) ...... (2) " (3)A m o u n t Type (e.g., Value Value Type (e ,g , ; . D a t e V a l u eC o d e 1 div.,rent, Code2 Method .buy;sell, mmidd/yy Code2(A-H) or in t . ) ( J :P) Code 3 ~ed~mpt i on) (J-P)

( Q - W )

( 4 ) ( 5 )Gak n . IdentiLy of

Code t ..... buyer / se l l e r(A-tO ( Jr p r iva te

t r ansact ion )

1 8 . Cisco Systems Inc. A Div idend L T

1 9 . Com er ica I nc . A Div idend L T20 . Cummins Inc . A Dividend M T21. E MC Co rp . M A SS A Div idend M22 . Ex x o n M o b i l C o rp A Div idend M

TT

2 3. Do d ge & Co x St oc k Fu nd A Dividend J T24 . Fifth Third Ba nk Corp A Dividend L T25 . Freep o r t_McMo ran Co p p er & Go ld In c . B Div idend M26 . Ishares Inc. M SCI Switz Index FD C Div idend O T27 . Google Inc . CL A A Div idend M T28 . McDo n ald s Co rp C Div idend M T29 . Me rk & Co Inc . New COM B Dividend M T3 0. Pfizer Inc. B Div idend M T3 1. Po lo Ra lp h L au re n Co rp . A Dividend L T32. Quinstreet Inc Corn A Dividend L T33 . V a l e S A - S P S P O N A D R A Div idend L T34 . YUM! Brands I nc A Div idend L T

1. I ......Gain Codes: A =$1i000 or less B =$1,001 - $2,500(See Columns B 1 and D4) F =$50,001 - $100,000 G :$100,001 - $1,000,000

2. V alue Codes J = $15,000 or less K -$15,001 - $ 50,000(See Co lu mns C I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Co lu nm C2 ) U = Book Va lu e V = O t h er

C =$2,501 - $5,000 D = $5,001 - $1 5,000 E = $ t 5 ,001 - $ 50,000HI =$1,000 00i -$5,000,000 H2 =i~lor~ than $5~000~000 .......L =$50,001- $100 000 M =$1 00 00~-$250 000PI = $i i0 0 0 10 0 -$ 5 ;0 0 0 ;0 0 0 :P2 a$5 ~0 0 0 ;0 0 1 ~$2 5 ;0 0 0 ;0 0 0P4 =More than $50,000,000S = Assessmen t T = Cash Mark e tW = Es t ima ted


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Date o f Report05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Place "(X)" aider each asselexempt from prior disclosure

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 ) ( 1 ) ( 2 ) ( 1 . ) (2) (3) (4) ( 5 )

Amount Type (e.g., Va l u e V al ue Type (e,g., ~ate . Va l u e Gain Identity ofCode 1 div., rent, Code2 Method buy, sell , m m/dd/yy Cgd~ ~ Code 1 buyer/seller(A-H) o r i n t . i ( j _ p ) " " i:(~:~ . redeml~i]0~): ( J - P ) (A-H) (if private( Q - W )

35 . I sha re S&P G loba l Te le I ndex FD A Div idend N T36 . Cur rency Sha re s Swiss Franc Trus t SHS A Div idend N T37 . Cur rency Sha re s Japanese Yen Trus t SHS A Div idend N T38 . SPDR Lehman I n t l Treas Bond C Div idend O T39 . SPDR G o ld Trus t B Distribution O T40 . I RA Trad i t iona l : UBS Bank Depos i t A Interest J T41 . I RA Trad i t iona l: I SHARES I nc M SCI Switz A Div idend J TI ndex FD42 . I RA Trad i t iona l : Dodge & Cox Stock Fund A Div idend J T43 . IRA Trad i t io n a l : US Treasury TIP D Interest N T44 . I RA Trad i t iona l : I sha re s S&P G loba l I XG A Div idend45 . I RA R ol love r : UBS Bank Depos i t A Interest J T46 . I RA R ol love r : I sha re s lnc MSCI Switz A Div idend J TI ndex FD47 . I R A R o l l o v er : D o d g e & C o x S t o c k F u n d A Div idend J T4 8. I RA R ol love r : US Treasury TI P D Interest N T

Sold 09/07/t 0 K A Market

t r a n s a c t i o n ~

49 .

l ,q nc ome Gain Codes : A =$1,000 Or less(See Columns BI and 134) F =$50,001 ~ $t00,000

2. V alue Codes J = $15,000 or tess(See Co lu mns CI and D3) N =$250,001 - $500,000

P3 3525,000,001 - $50,000,0003. Value Method Codes Q =Appraisal(See Co lu mn C2 ) U = Book Va lu e

B = $ 1,001 - $2,500 C = $2,501 - $ 5,000 D =$5,001 - $15,000G =$ 10 0,0 01 ~ $ ii0 00,0 00 H i = $1 ,00 0,0 0 i ~ $ 5;00 0;00 0 H2 =Mo re than $5,000;000K =$15,001 r $50,000 L =$50i001 ~ $100;000 M =$100 001 -$250,000O =$500~001 - $1,000;000 PI --$1~000~001 ; $5 000 P2 g$5,000,001 - $25~000,000

P4 --M ore than $50,000;000R =Cost (Real Estate Only)S =Assessment T =Cash MarketV = O t h e r W ~Estimatcd

E ~$15~001 - $50,000


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D a t e o f R e p o r t02/15/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. an~icatepart of report.)Part VII . I tem 6. Assessed value is $1,200,000.00.


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Name of Person Repo rt ingBea, Car los T .

Date of Repor t05/15/2011

IX . CERTIFICATION.I c e r t if y t h a t a l l in f o r m a t i o n g i v e n a bo v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a n y ) i saccurate , t rue , and complete to the bes t o f my knowledge and bel i ef , and that any in format ion no t repor ted was wi thheld because i t met app l icable s t a tu to ryprov i s ions permi t t ing non-d i sc losure .I f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s wh i c h h a v e be e n r e p o r t e d a r e i ncomp l iance wi th the p rov i s ions o f 5 U.S.C . app . 501 e t . seq . , 5 U.S.C . 7353, and Jud ic ia l Conference regu lat ions .

Signature: S/Carlos T. Bea

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E CT T O C I V I LA N D C R I M I N A L S A N C T I ON S ( 5 U . S . C . a p p . 1 04 )

Com m i t t ee on F inanc ia l D i sc losu reAdminis t ra t ive Off ice of the Uni ted Sta tes Cour tsSui te 2-301One Columbus Circ le , N .E.Wash ing ton , D . C . 2 0 544

carlos t bea financial disclosure report for 2010

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