financial disclosue report report require.d by the ethics i … · 2019-07-26 · i posion name of...
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I
POSITION NAME OF ORGANIZATION/ENTITY
PARTIES AND TERMS
5
Report Require.d by the EthicsFINANCIAL DISCLOSURE REPORT AOJO in Governme11•1 Act of 1978 Rev. 112010 . FOR CALENDAR YEAR 2009 (5 USC. app. !i§ 101-11 J)
I. l'erson Reportl11g (last name. first, middle initial)
Wilson, Stephen V.
l. Court or Organi:zatlon
U.S. District Court
3. Date o( Report
06/28/20 I 0
4. Tiiie (Article Ill ;udges mdicate acttve or senior status; magistratejudges indicate full· or part-time)
U.S. District Judge
5a. Report Type (check appropnate type)
0 Nomination Date
D ln111al [{] Annual
Sb. D Amended Repon
D final
6. Reporting Period
01/0112009 to
12/31/2009
7. Chombers or Office Address
U.S. District Court 312 N. Spring Street, Room 217J Los Angeles, CA 90012
8. On the basis of the Information contained in this Report and any modifications pertaining thereto, it is In my opinion, in t"ompliance with applicable laws and regulations.
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box/or each part where you have no reportable information. Sign on last page.
I. POSITJ ONS. (Reporting lndMdual only; see pp. 9-IJ of filing instrurtions.)
[{] NONE (No reportable positions.)
I.
2.
3.
4.
II. AGREEMENTS. (Reporting indiv/t/110/ only; see pp. 14-16 v/ filing imlrurtions.)
[ZJ NONE (No reportable agreements.)
r- - -- .
( --( - -- -;- .
-:-1. ---.-,I.
2.
3
SOURCE TYPE
SOURCE
[-zl SOURCE LOCATION PURPOSE
INCOME
OR PROVIDED
2.
FINANCIAL DISCLOSURE REPORT
Page 2 of 16
Name ur Person Reporting
Wilson, Stephen V.
Date or Report
06/2812010
Ill, N 0N-JNVESTMENT IN CO ME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
NONE (No reportable non-investment income.) [Z]
AND (yours, not spouse's)
I.
3.
4.
B. Spouse's Non-Investment Income - I/you wue married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honorana)
[Z] NONE (No reportable non-investment income.)
AND TYPE
I.
2.
3.
4.
JV• RE JMB URSE MENTS lran>portutilln, lodging,fooJ, rnlert<1inment.-
(lncludev those 10 spo11se and dependent cJuldren, tee pp ]j.]7 of filing Jns1n1c11ons)
NONE (No reportable reimbursements.)
I.
2
3.
ITEMS PAID
4.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
Name of Person Reporting DMle of Report FINANCIAL DISCLOSURE REPORT
Page 3of16 Wilson, Stephen V. 06128/2010
V. Gl.FTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[Z] NONE (No reportable gifts.)
2.
3.
4
5
VI. LJABILJTJ ES. (Includes I/lose of spouse and depe11dent childr<n; see pp. 31-33 of filing instructions.)
D NONE (No reportable liabilities.)
I . North Fork Bank
2.
3
4.
5.
mortgage - real estate (Capri) P2
3
10:-·
I
I
---- ----- r-1-H - --- ---- - - -
i
i
I
i
!
I
--- - - - - - --
(I) (2) (2)
Name of Person Reporting - Date of ReponFINANCIAL DISCLOSURE REPORT
Page 4of16 Wilson, Stephen V. 06/2812010
VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransac1ions rrnctudes tho ... ofspou .. and dependent rh11dren; see PP· 34-60 of filing ins1ruct1vn ..>
D NONE (No reportable income, assets, or transactions.)
A. ----
- --------B
Income durrng
reporting period ---
{I) Amount Code I
(A-H)
--- - -
(2) -
- ----
-------- ------ · --,- --- ---- -- ---· ------ -
c.
- --
D.
Transactions dunng reportmg p nod
- ---- ---------Gross value at end Descnption of Assets
of reporting period(including trust assets)
(I) (3) (4) (5) Value Goin IValue ValuePlace "(X)" after each asset Type(e.g., ldennty of Type (e.g .. Date
exempt from prior d1sdosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/sellerr-- ! redemption) ' Ior int) (J-P) Code 3 (J-P) (A-H) (If private
(Q-W) rransaction)
I.
2.
4.
5.
6.
1.
8.
9.
11.
12.
13_
14.
15.
16
17.
El Dorado - Real Estate-Partner
Harbor City Mobile Park - Partner
Sandpiper LTD -
Capital - Partner
Capri- NY
Malibu(NY)
BONDS:
State of Israel Bond
BROKERAGE ACCT# I
UB Highmark Div. MM
CA State Wtr Dev
CAStGO
LA CA Uni Sd Dtst
CA ST Runs
Alameda Cnty Pension Plan
Baldwin Park CA Uni Sehl Dist
CA St. Rev Antics NTS
D
D
D
c
G
E
B
Dividend
Dividend
Dividend
Dividend
Rent
Rent
Interest
None
None
None
None
None
None
None
None
0 w
M w
M w
M w
P2 w
P2 w Sold (part)
K T
L T
Redeemed
M T
M T
Redeemed
M T Buy
L T Buy
0 r Buy
02/09/09 M G Feldnan
03/02/09 M
05120109 0
04/08/09 M
08/10/09 L
09129/09 0
I
i.
i
-I lnoomc Gam Codes. A =s1.ooo or less s st.001- s2,500 C =$2,501 -Sl,000 D =$5.001 -$t5,000 E oo1 :s5o.ooo
-l (Sec Columns BI and 04) F-$50,001 - St00,000 G =$I 00,00 I - St .000,000 HI =SJ 000,001 -Sl.000.000 H1 ""More th.iin $5,000,000
'2 Value Codes J =1:1""i,000or le,c; K •$ 15.001 -$50,000 L =$50,001. SI00,000 M =1Hl0,001 - 210,000 (See Columns CI and 03) N =$250,001 - $500.000 0 =$500,00 t • $1 ,000,000 Pl =$1,000,00t - $5,000,000 P2 =$5,000,00 I - $2),000,000
Pl c$25.000,00I -$50,000,000 P4 "'"'More than $50,000,000 I
3 Value Method Codes Q =Appraisal R =Cos.l (Re I E Ltie Only) S ""As.sessm::nl T =Cash Market i (See Column C2) tJ ..Book Ve.!uc V=Othcr \\. =Es111natc<l
-- ---- ___]
i-------- nsac •= (I) (2) (4)-T---rn-------
I
(Q- 2__ --- lion)
!
i
i
!
i
I
i
Gwss e al end dun reportm p:nod - - - ---- -
ofreportmg period
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 5of16 Wilson, Stephen V. 0612812010
VII. INVESTMENTS and TR us TS - income, value, transactions (Includes those of spouse and depmdent children; seePP· 34-60 of fil/ng instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. Descriphon of Asset• Income during
reporting period (including trust assets)
<-1)-- !2) ___ ,--<1)-- !1"l--l (3)v.1u. Value Type (e.g., : Dale ' Value Gain Identity ofPlace "(X)" after each asset Amount Type (e.g.,
Code I div., rent, Code 2 Melhod buy, sell, Imm/dd/yy Code 2 Code I buyer/sellerj !e:itempt from prior disclosure (A-H) or int) (J-P) Code 3 redemption) ' ' (J-P) (A-H) ! (ifpnvate
_____ _ ______ 1 ___ ___L_ ___ ____ ______
18.
19,
20.
121,
22_
23.
24.
25.
26.
27.
28
29,
30.
31.
32
33.
34.
BROKERAGE ACCT #2
MSSB MM Funds
Fed Natl Mtg_ Assoc
FHLMC
FHL Mtg Corp
GNMA
BROKERAGE ACCT 113
IRA - Charter Prime MM Fund
FHLB
Fed Fann C. BK
" n
CNI Gov'tMM
Lehman Bros CD
Wash Tr Bk CD
Bankers Tr CD
Goldman Sachs CD
NCB Svgs Bk CD
None N
None M
None N
None
None M
None Pl
None
None Pl
None
None L
None
None
None
None
None
T
T
T Redeemed
(part)
Redeemed
T Buy
T
Redeemed
T Buy
Redeemed
T -
Redeemed
Redeemed
Redeemed
Redeeme-0
Redeemed
12/15/09 L
04115109 N
12/16/09 M -
02/19/09 Pl
02/19/09 Pl
0519109 Pl
04/02/09 L
05120109 L
05/29/09 L
05105109 M
05105109 M
I
I
I
I. lncome Gain Codes· A "'3$) ,000 or less ( =$2,501 - $5,000 D =Sl,001 - Sll,000 E=$15,001-Sl0,000
(See Columns Bl and 04) F •$50,001 - SI00.000 G =SI00,001 - SI ,000,000 HI =Sl,000,001 -SS,000,000 H2 =More tlum Sl,000,000
2 Value Codec; J""Sl5,000orless K =S 15,00 I - $50,000 L=$50,00l -$100,000 M =$100.001-$250,000
(See Column• CI anJ DJ) N •$250,001 - $500,000 0 •$100,001-$1,000,000 Pl =Sl,000,001 - S),000,000 P2=$5.000.00l -S75,000,00ll
PJ •$25.000.001 -$50,000,000 P4 =More than $)0,000,000
3 Value Method Codes 0 =Apprs.1sal R "'-Cost (R(".ll [stale Only) ,5i:=oAsscssincnl(Sec Column C2) U =Book Value V"-Olher W =E;;umated
-
Nome of Person Reporting l{)ate of Report FINANCIAL DISCLOSURE REPORT
Page 6of16 Wilson, Stephen V. 06128nOIO
D VII. INVESTMENTS and TRUSTS - income, •a111e, 1rrmsac1ion• (Includes 1hv•e of spouse und dependent children; see pp. 3<1-60 of filing ;,,,,,,,c1ions.>
NONE (No reportable income, assets, or transactions.)
35. First Merchants Bk CD None Redeemed 06119109 M
36. Bank Amer NA CD None Redeemed 03/31/09 M I I
37. Midwesc Bk & Tr CD None Redeemed 06130109 M
38. Branch Bkg & Tr CD None Redeemed 07/22/09 K
39 CA ST Bonds None M T Buy 03/26/09 M
40. Ally Bk Midvale Utah CD
41 Bank America Char NC CD
None
None
M
M
T
T
Buy
Buy
08/12/09
08/12/09
M
M
42. Standard Bk & Tr Co IL CD
43. Midfirst Bk Okin City CD
None
None
M
M
T
T
Buy
Buy
08/12/09
08/05/09
M
M
44. CA ST 00 Bonds None L T Buy 10/08/09 L
45. BROKERAGE ACCT #4
46. CA STRFDG None L T
47. CA ST Var Purp None L T
48 CA ST RFDG
49. CA ST Vnr Purp
None
None
L
M
T
T
50. FHLB None Redeemed 02112/09 M
51. FHLMC None Redeemed 02125109 M
-I lncomu G,1in Codes A ... s 1,000 or less B -S 1,00 I - S2.500 C =$2,501 · SS.000 D •S5.00I - $15,000 E =$1 5.001 · $50,000
(See Columns BI and n4) F $50,00 I - $ I00,000 G =SI 00,00 I - $1,000.000 HI =$1,000.00 I • $5.000.0-00 H2 =More !han SS,000,000
2 V J!uc Codes J Sl'),OOOor Iese; K=Sl ,001 -$50,000 l =S50.'lll I - ! I 00.000 M =!100.001-$250,000
(Sec Columns CI and r>3) N =$250,001 - S00,000 0 •$500.001 -Sl.000,000 Pl =SL.000.001 - ss.000.000 P2 = 5.000.001 -SZ\000,000
P3 =$25,000,00 I - $50.000.000 N =More than SS0.000.000
J Value Method Codes R =Cost (Real Estate Only) S =A sscssment T =Cash Mark¢! I (S.:c Column C2) ll =Rook Value V =Other W =Estimated 1--·· --·--- -·- - Q =Appra.1sal
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7 of16 Wilson, Stephen V. 06/28/2010
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instrucncms.J
D NONE (No reportable income, assets, or transactions.)
52 CA ST None Redeemed 06/22109 L
5J. CA ST None L T
54. CAGO None L T Buy 01/07/09 L
55. CA ST Economic Rec Ser None M T Buy 04/03/09 M
56. CA St Var Purp None K T Buy 08/19/09 K
57. CA St Antic None M T Buy 09/29/09 M
58 RMA Fund Inc None K T K • see explanation
59 BROKERAGE ACCT #5
60. CA STGO None N T
-
61 BS Fed Fund None M T
62 State of CA None M T
63. Puerto Rico Comwlth None L T
64. red Hrn Loan Bk None Redeemed 01123/09 M
65. GE Money Bk CD None Redeemed 12/18/09 L
66. Viking Bk Seattle WA None M T Buy 01126109 M
67 1111r1 n None Redeemed 12/30/09 M
68. Bank Baroda NY None J T Buy 03/J 1/09 J
I Income Gam ('odes. A =$ 1,000 or less B =Sl,001-$2,500 C =$2,SOI · $5,000 0=$5,001-$15.000 6 =m.001--:-1sii"io- I {See Column) BI aml D4) F·$50,00l -SIOO,OOO G •$!00,001 -$1,000,000 HI =Sl,000,001-$5,000,000 H2 :More lh1rn SS,000.000
2 Value Codes: J -=$15 000 or less K =$15.001 · $50,000 L =$50,1101 - SI00,000 M •$100.001 · $250,000 I {Sec Columns Cl anJ D)) N •$250,001 - Sl00,000 0 =Sl00,001 -$1,000,000 Pl =Sl,000,001 -SS,000,000 P2 =$5,000,001 - $25,000,000
PJ •$15,000,001 - $50,000,000 P4 =Mort: than $50,000,000 I 3 Value Method Code::. Q -- pprat<ol R =Cost (Roal E;t>te Only) S =As ssrmnt T=Cash MBrb.el
{See Column C'2) U -Booh Value W=fu.uma1ed\/=Other
7L
- --j-(2) -1- -11
-- -- -- - ----- ------ -- -- ---- ----- --
i
- ----(Q-W)
FINANCIAL DISCLOSURE REPORT Page 8of16
Name of Person Repor!lng
Wilson, Stephen V.
Date or Report
06128/'20!0
VII. INVESTMENTS and TRUSTS -income, varue, 1ranm·1ions (Includes those of spouse and dependem children; see PP· 34-60 of filing instructions.>
D NONE (No reportable income, assets, or transactions.) ------e.---------c:- _____________ ----o:-· ---------------- ------_1
.A.
Description ofAssets
(including tmst assets)
Place "(X)" afler each asset
exempt from prior disclosure
Income during Gross value at end Trans,.ctions dunng reporting period reporting penod of reporting period -
- (l)J-(2)- --(1) 1(2) I (!) -rw----(4) - -- 6)- - --Amount Type (e.g., Value Value Type (e.g., Value Gain Identity of Code I Code 2 Method (A-H) (J-P) Code 3
Date
buy. sell,div., rent, mmrd,1. n Code 2 Code I buyer/seller
(if private or int.) redemption) (J-P) (A-H)J transaction)--
69_ CA St Rev Antics CS NTS None J T Buy 09124109 J
70. BROKl!RAGE ACCT 116
Centennial CA - name changed to AGE Bk Sept.08
None J T
72_
73_
CA STRFDG
CA ST Var Purp
None
None
L
M
T
T
74_
75_
76_
CA ST Var Purp
CAST FGIC
Oakland CA Ser
None
None
None
M
L
K
T
T
T -· ·
77_
78.
CAST
Pasadena CA USO
None
None
. Redeemed
Redeemed
08/03/09
11/02/09
K
K
79 CA State None Rede-emed 02103/09 L
80. Central CA JT None K T
81 Fed I I Im Ln Rk None K T
82
83.
US Treas
CAST
None
None
K
L
T
T
84 CA ST Var Purp None K T
85_ Fremont CA CTF None K T
I Income Gam Codes: A •S1,000 or less B =Sl,001 • $2,500 C •SZ,501 - $5.000 D=S5,001-$t5,000 E =$15,001- $50,000
(Sec Columns 8 l and 04} 2 Vefue Codes
F •$50,001-SIOO.OOO
J ,,_S 15.000 or leo;s
G =$100,UOI -St.000,000
K =St5,001 -$50,000
HI =$l,OOO,OOl - S5,000,000
L =S50.0ot - $100,000
H2 =More than 55,000,000
M =itllO,O-Ot - $210,0IJO
(See Columns CI and DJ) N •$250,001 • $500,000 0 =$500,001-St,OOO,OOO Pl =St,000,001 -S5,000,000 ?2 •S5,000,00t -$15.000,000
1'3 =$25,000,00 I - SS0,000,000 ?4 =More th>n $50,000,000
J Value Method Code$ Q-Appnusal R =Cosl (Real Estate On!y) S ""Assessment T =Ca:;:h Market
(Sec Column C-2) U :::118ook Value V -Other W-=E!.hmaled
-R------, ----c------, -
-- - - - -- -- ---------- - -- --
L
L T
' !
I
! I
- (Q-W)
Name of Person Reporting Unte of Report FINANCIAL DISCLOSURE REPORT Page 9of16 Wilson, Stephen V. 06/28/2010
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; •ee PP. 14-60 of fiting 1ns1rue11ons.J
D NONE (No reportable income, assets, or transactions.) - ---- - --- --·--D.-- - -- -- ·-------- -
A.Description of Assets T Income .dunng I Gross value at end · Transactions dunng t eport1ng pcnod
(including trnst assets) :I reporting period of reporting period !
-,Place "(X)" after each asset v L el v e Code Iexempt from pr1or disclosure div, rent, Code 2 Code 2
Code 3 redemption) I (J-P)
r:l : 1-T::.:. ---- v . -µYP l:eg -Method buy, sell, mm/dd/yy
(A-H) or int.) (J-P)
(4) (5) Gain Identity of
Code I buyer/seller
(A-H)_L (if private I
, transaction) - -
86. CA ST Dept Water
87. 1111n 11
88. CASTRFDG
89. University CA RVS
90. Las Virgenes CA Uni Sehl
91. CAST
92. CAST
93. LA CA Dept Water -·
94. CAST
95. LA CA Dept Wtr Pwr
96. M If Ir II h
97. CA ST Vur Purp
98. CA ST RFDG BE
99_ CA STRFDG BE
100. ABC CA Unified SD
IOI. CA ST
102. ""
None
None
None K
None
None K
None K
None K
None K
None M
None L
None
None M
None L
None K
None K
None M
None
T
Redeemed
T
T
T
r
T
T
T Buy
Redeemed
T Buy
T Buy
T Buy
T Open
T Open
Redeemed
12113/09 M
01/28/09 L
07/0l/09 L
03/25/09 M
03124109 L
04106109 K
K
M
04101109 M
•see explanation
•see explanation
•see explanation
'
I
I Income Gain Codes: A s1.ooo or less s 1.001 - s2.5oo C =$2,50 I - $5,000 0=$5,001 -$15,000 E=Sl5,00I -550,000
(See Columns BI and 04) F •SS0,001 - SJ00,000 () =$100,001-$1,000,000 Ill =Sl,000,001 - SS,000,000 H2 =More Lhan $5,000,000
2. Value Codes J =SI 5,000 or Im K s15.001 -s5o,ooo L=SS0,001 - SI00,000 M =$100,001 -$250,000
(Sec Colwnns Cl and DJ) N =$250.001 - $500,000 0 =$500,001 -SI 000,000 Pl =Sl,000.001 - Sl,000,000 P'.! =$5,000,00 1 - $25,000,000
PJ s2s,ooo,001 - S5o.ooo,ooo P4 =More 1han $.50,000 000
3 Volue Method Codes Q=Appn11.al R ==Cost (Real Estate Only) S =Asc;cssmenl T =Cash Markel
(hce Column C2) U =BooJ.. Value V=Othcr W =E!o;,IHT'l!.lcd
A.:.-_ --
----r-1 co -during e=T h
A:.::.. l ';;:.T C -1 --- ---- -- - -- --- --- -- - --- - -- -- - -----
T
------ -- ---------------
- ------ - - - - - =:11 o
f ·1-010» . eat ______ T:. ::::o=-d ri reporting peno:-- -----
Name of Person Reporting O·ate of Report FINANCIAL DISCLOSURE REPORT Page 10of16 Wilson, Stephen V. 06128/2010
VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransac11ons r1nc1ut1e-' those of spouse and tkpent1en1 chitdw•1 see pp. u-60 of filing 1ns1ruc11ons.>
D NONE (No reportable income, assets, or transactions.)
ofrepomng penod (including trust as.,elS) Ireporting period -1 v - p ?.. -:-r · �� .- 1- : ::- Ide of-
rnm/dd/yy Code 2 Code I " ·oo· ..., · - i
Code lA MethodCode 2 buy, sell, redemption)
div., rent,exempt from prior disclosure buyer/seller(J-P) Code 3
I, H) (J-P) (A-Hl (1f private
transaction)or int)
---"--L (Q-W)
- -- - -- - -103. CA ST UNREF Bal-Ref
104. CA ST Waler Res Dev-Ser
!05. CA ST Rev Anltc NTS
106. LA CA MTA
107. ,. ,, ..
108 CA STRFDG
109. BROKERAGE ACCT #7
110. Citibank Bk Dep Program
111 Fed Natl Mtg Assn Debs
112 CAST
113. CA ST Var Purp
114. CA CT Var Purp
i 115. CA ST Var Purp
116. CAST
117. CA ST Var Purp
118. CAST
I 19. CA ST Var Purp
None K
None K
None L
None L
None
None K
None K
None
None L
None K
None K
None L
None M
None 0
None M
None M
T Buy
Buy
T Buy
T
Redeemed
T Buy
T
Redeemed
T
T
T
T
T
T
T
T Ruy
08/19/09 K
08/24/09 K
09/24/09 L
11/06/08 L
12/02/09 K
05/!5/09 L
01/08/09 M
•see explanation
*see explanation
i
I Jncomc Gain COOes. A -S 1,000 orlcss D -$I ,DOI - $2.100 C =$2,lOI - $5.00il 0 $5,001-$15,000 E =$15,001 -U0.000
(Sec Columns BI and 04) F =Sl0,001- $100,000 G c$JOO.OOI -Sl,000,000 HI =Sl,000.001-Sl,OOO.OOO H2 ;>More than SS,D0.0,000 2 Value Codes J =S 15,000 o• less K =U5.00I -110,000 L =1 50,001 - St00,000 M =SI00,001 - S250,000
(See Columns CI and 03) N - 250,001 - $500,000 0 =$500,001 - $1,[)jJ0.000 p I =$I 000.00 I - ss.0011.000 P2 =11.000,001 - $25,tlOO,OOO
PJ =$25,000,001 - $50,000.000 P4 -More than $50 000.000
3 Value Method C'odc::t Q ""Appraisal R =Cost (Rca1 Esme Only} S =.&..ssessmcnt T =Cash Msi-ket (Sec Column C2) U =Book Value V -01hcr W =Cshme.tcd
--- -- - -
K T
-E=SIS,001-!lo.ooo] -- - -
Name of Person Reporllng Date of Report FINANCIAL DISCLOSURE REPORT
Page 11 of 16 Wilson, Stephen V. 06128/2010
VII. INVESTMENTS and TRUSTS - income, •DIM, /runsaclions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
120. CA ST REV ANTIC
121. CA ST REV ANTIC
122. BROKERAGE ACCT #8
123. ML Short Tenn Global Income Black Rock IRRA
124. NY ST Pwr Auth Rev Gen Purp R
125. Mutual Fund - Muni Inv Trust
126. Murual Fund - NUV NY Select
127. CA ST
128. CA ST
129. CA ST
130. CA ST
131. LACA
132. CAST
133. ML Bank USA RASP CMA Fund
134. Capmark Bank Midvale CD
135. Sallie Mae Bank, M. Utah
136. CA ST Rev Antic NTS
None M
None M
None L
None K
None M
None
None J
None L
None L
None
None K
None K
None N
None L
None L
None M
T Buy
T Buy
T
T
T
Redeemed
T
T
T
T
T
T
T Buy
T Buy
T Buy
09/24/09 M
09/24/09 M
07/09/09 M
04/30/09 L
04/30/09 L
09/24/09 M
i
r-- -I. Income Vatn Codes. A =SJ,OOOorl"'s B =SJ,001-$2,500 c •$2.501 . $5.000 -[),:S5:'001-Sl5,000-·
--(See Colurruu DI and 04) P -s50.001 - uoo.ooo G -SJ00,001 -$1,000,000 HI =$1.000.001-$5,000.000 H2 =More Utan $5,000,000
2 Value Codes J -s I 5,000 or less K -SJ5,00J - $50.000 L =$50.001 -$100.000 M =$100,001 - $250.000 (Sec Colurruis CI and LJJ) N •$250.001 · $500,000 0 •$500.00 I · $1,000,000 Pl =SJ,000,001 -Sl,000.000 ?2-$5,000,00J - $25,000.000
Pl ·$25,000.00 I - Sl0,000.000 P4 =More 1han $50,000,000 3 VHlue Method Codes Q <Appraisal R -:Cost (Real Estate Onlyl S =Asscssmenl T o::Castt Marke:
(See CohlJTlll C2) U ::-:Hook Vahu: V .:=Other W .-Esumatcd
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 12of16 Wilson, Stephen V. 06/28/20!0
VII. INVESTMENTS and TRUSTS - income, value, 1ra11sac1ions r1nc1udes 1hose of spouse and dependent c1,;1dren; see PP. 14-60 ,,,ffillng mstr ..cnons.J
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from pnor disclosure
137. BROKERAGE ACCT #9
138. CW Genl Govt Mny Mkt CIB None J r
139. CA STGO
140. CA ST
141. CA ST Economic
142. CA ST
None
None
None
None
N
L
T
T
Redeemed
Redeemed
Buy
10/01/09
02/02/09
02/11/09
L
K
L
143. CA ST REV None N T Buy 09/01/09 N
144. BROKERAGE ACCT# I 0
145. MM Fund s - RBC None K T
146. ETrade CD None Redeemed 1/16/09 L
147. GMACBKCD None Redeemed 1/16/09 L
148. Park Sterling Bk CD
149. Sterlings Savgs Bk CD
None
None
Redeemed
Redeemed
03/03/08
01/16/09
M
L
•see explanation
150. Wash Mutual Bk CD
15 I. Northpoinl Bk CD
None
None
Redeemed
Redeemed
03/01/08
01116109
L
L
•see explanation
152 Cap One Bk CD
153. State ofCA GO
None
None L T
Redeemed Ol/l 6/09 L
I Income Ga111 Codes A -s 1,000 or less B •Si,001 • U,500 C · 2.501 - S5,000 D-$5,001-$15,000 b =$15,001- $50,000
(See Columns Bl and 04) F =$50,001 • 5100,000 G St00,001. $1,000,000 HI =$ i,000,001. $S,000,000 H2 More 1han $5,000,000
2 Valm•• Cocies J •S 15,000 or less K s1s,001 • . 50,000 L=S50,00l -SIOO,OOO M =SI00.001 - S?S0.000
(Sec Columns l I &nd DJ) N s250,00I • $500,0llO 0 =$500,001 - $1,000,000 PI =S ].000,00 I • $5,000.000 Pl =$5,000.00 I - $25,000.000
P3 425,000,001 • $50,000,000 P4 =More than $50,000,000
J Value Method Codes Q-Appra1"I R =Cos1 (Rc.:1! fau1c Only) S =Asses!>mcru T .::(ash MYrkct
(See Column ('2) 11 =flook Value V=-Uthcr W =Esuma1cd
__ D_esc_n fn· :·. -:------1--I m ·duri:g- Gro:: e rcpo mg
reponi_n_g_l)Cr
-
--- -(ZJ,I rnm/dd/yy
K
G11i
FINANCIAL DISCLOSURE REPORT Page 13of16
Nome of Person Reporting
Wilson, Stephen V.
Date of Reporr
06/28/2010
-VII. INVESTMENTS and TRUSTS income, value, transactiom (1nc111des those ofspou •e and dependent ch1tdren; see pp. 34-60<>!filing1ns1r11c1wns.J
D NONE (No reportable income, assets, or transactions.) ------ ---of or=--[- ---- ransa=i n:-duri p ---------
(mcluding trust assets) r'- .. .
ofrepon1ng permd
J "(1)--T -{i) - - --(,) - (3)"}(4)f -- (5)
154
155.
156
157.
158.
159
160
161.
162.
163.
164.
165.
166.
167.
168.
169.
170
Place "(X)" after each asset A ;unt Typ 2ie g, Value
I Value l'ype (e g, Date Value Ga111 - lde:t -;-
--·
exempt from prior disclosure Code I div., rent, Code 2 Method buy, ;ell, Code 2 Code I buyer/seller(A-H) or mr.) (J-P) Code 3 redempuon) (J-P) (A-H) (ifprivate ___ __ __ _ _ __ ____ _ ___ _ ____ _ _ __ _ __ ]_ (Q-W) _ \ _______ ___ _ __ 1ra ---
State of CA GO None L T
State of CA GO None L T
CAST GO None K T
CA ST Rev Antics NTS None 0 T Buy 09/24/09 0
BROKERAGE ACCT #11
Pennsylvania ST None M T Redeemed 07/10/09 M *see explanation (part)
ITT Corp None K T
Gen! Mtrs None K T
FT Enhance Eqty None J T
FNMA MTN Oond None Redeemed 04/19/09
TV A Electmts None Redeemed 03/19/09 K
General None K T Duy 03/20/09 K
So.CA None K T Buy 08/03/09 K
BROKERAGE ACCT #12
Wachovia MM Fund - Inv Cash Tr Treasury None N T
CA ST RFDG None L T
US Treas Nts None M T
r --i-ln mc cod -es.-· .
(See Columns RI and 04)
A -S 1,000 or le"
F-$50,001 - SI00,000 J =S l 1),000 or lcs!I
B Sl,001 -$2,500
G n$100,00t - I 1,00IJ,000 K =Sll,001 - $50,000
c =$2,501 - $5,000
HI =$1.000,001 $5.U00,000
L =$50,IJO I - $I 00,000
D =$5,001 - S15,000 E s 15.oo t • S5o,ooo H2 =More lh•n $5,000,000
2. Value Codes
(SccCo\unllls Cl and 03)
3 Value Method Codes
tScc Column C2)
N =$250,001 - $500.000
Pl -\25,000.(lOI -110,000.000
Q -Appraisal U =Book Value
o ssoo.oo 1 • s 1.000.0DO
R =C'osl (Real Estate Only) V =Other
Pl =$1,000,001-$1,000,000
P4 =More lhan $50,00tl,OOO
S -=As.-,cssmcnt W ""Esl1mated
M =$100,001-$250,000
r2 s5,ooo.oo1 . 125,000.000
T =Ca3h Market
; -T - ncon! n:-
= ;u 1-T 2:=g I -- -- --- --- __ _j -m- _ _ _ _
Ga;(.o s:
\ l.
L T
-
--
'
---- ----- :.:ripti:: .-- -------- - T r :: " --]-1
Code I div., ren Code 2 j Melhod
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 14of16 Wilson, Stephen V. 06/2812010
VII. INVESTMENTS and TRUSTS - Income, value, mmsactions (Includes those ofs1•ouse and dependent children; see pp. 34-60 of filing Instruct/ans.)
NONE (No reportable income, assets, or transactions.)
reporting period
_
D
of reporting period ,-� -,--V e ·:
D.Transactions during reporting period ::.1E.g T = 11 ' :,: T -- : of
J P - - A ) , :: :: :)L
_ -----
buy, sell, mm/dd/yy Code 2 Code I buyer/sellerre: :: _L ---- I
(including trust assets) Place"(X)"aftereachassel
exempt from prior disclosure Ior n _ '.J _i ;_ _-------· --- -- ---171. CAST None
172.
173.
Top Ships Inc
Fed Natl Assn
None
None
K T
Redeemed 07113/09 N
174.
- J-!;c mc __ _ A -S 1,000 or less B m$ J ,00 I - 2.500 c =$2,501 - $5,00-0 (Sec Columns RI an1! 04) F =$50,001-SJOO,OOO G =$I 00,00 I - $ J ,000,000 HI =SJ,000,001 -$5,000.flOO I 2 Value Codes J =$15,0-00 or less K =$15,001 - $50,000 L sso.0-01 - s100,ooo
I (See Cohunn:i. CI am.I 03) N $250,001 - $500,00-0 o ssoo,001- s 1.000.000 Pl=$ J ,000.001 -$5,000,000
PJ =$25,000,001 - $50,000,000 P4 =More than $50,00-0,000
J Value Method Code'! Q =Appra1 al R =Co91 (Real Estate Only) S =Assessment (See Column C2) U =Book Value V..::01h(r W=Esumalcd
-----, D =$5,001. $15,000 E=S15,00l ·$l0.000
H2 "'"More than $5,000,000
M •$100,001 -S250.0!l()
P2 s5,ooo.001 - s2s.ooo,ooo
T=Cash Market
FINANCIAL DISCLOSURE REPORT
Page 15of16
Name of Penon Reporting
Wilson, Stephen V.
Date of Report
06128/2010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicalepartofReport.)
Page 7 - Line 58: RMA: Should have been on privious reports
Page 9 - Line 86: CA ST: This was on the 2007 Report and should have been listed on-the 2008 Report
Page 9 - Line 100: ABC CA Unified · This should have been on last year's report.
Page 9 - Line I 0 I: CA ST: This should have been on last year's report
Page I 0 - Line l 06 & 107: LA CA MT A: This should have been on 2008 report (purchased in 2007, redeemed 2008)
Page 12 - Line 148: Park Sterling Bk CD This was purchased in 2008 and redeeemed in 2008
Page 12 - Line 149: Wash Munial Bk CD· This was purchaed on 1/9/08 and redeemed 3/3108
Page 13 --Line I 59: Pennsylvania -- Column C( I) should be M on last year's report
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 16of16 Wilson, Stephen V. 06/28/2010
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 knowledg e and belief, and that any infom1ation mot reported was withhe ld because It met applicable statutory provisions permitting non-disclosure.
I further certify thut 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 Judicial Conft-rence regulations.
Signet
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAl.SIFIES OR FAJLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544