richard g seeborg financial disclosure report for 2010

8/3/2019 Richard G Seeborg Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/richard-g-seeborg-financial-disclosure-report-for-2010 1/10

,40 tO

Rev. 1/2011

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 20 10

Report Re quired by the Ethics

in Governmen t Act o f 1978

(5 U .S .C. app . ,~ ,~; 101-111)

I . Person Reportlng (last name, f irst, middle initial)

S E E B OR G , R I C H A R D G .

4. Tit le (Art icle I l l judge~ indicate act ive or senior status;m a g i s tr a t e j u d g e s i n d i c a te full- or part-time)

United States Distr ict Judge

7. Chambers or Of f ice Address

United States Courthouse

450 G o ld en G ate A ven ueSan Fran c i s co , CA 9 41 02

2. Court or Organization

U.S. Distr ict Court N,D. Cal .

3. D a t e o f R e p o r t

4/18/2011

5a. Report Type (check appropriate q,’pe)

] N o m i n a t i o n , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Off ice r D a t e

6. Report ing Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The ins tructions accomp anying this form must be fol lowed C omplete a l l par ts,

checking the NON E box for each part where you have n o reportable inforraation. Sign on last page.

I . P O S I T I O N S . ( R , v o r a , g i .a i v U . o t o . { v ; ~ , o ~ , p . 9 - i s of filing instructlong)

~] (N o reportable posi t ions. )ONE

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . AGREEMENT S. tR~vo,,i,g

~] NONE (No repor t ab l e agreement s . )

DATE PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

of 10

N a m e o f P e r s o n R e p o r t in g

SEEBORG, RICHARD G.

D a l e o f R e p o r t

4/18/2011

I 1 1 . N O N - I N V E S T M E N T I N C O M E . tnepor~ .g i .d iv iduot and~po use: seepp . IZ-2 oI~i ing i . s~ .u . io .~)

A. Filer’s Non-Investm ent Income

[~1 NONE non- inves tmen t income . )eportable

DATE SOURCE AND TYPE INCOME(yours, nol spouse’s)

I. 2010 M atthew Bend er & Co., Inc. (Book Royalties) $1,591.32

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion of the reporting year, complete this section.

(Dol l ar amount not requi red except for honorar i a . )

D N O N E ( ] g o reportable non-investment i n c o m e . )

DATE SOURCE AND TYPE

I. Not Applicable

2.

3.

4.

I V . R E I M B U R S E M E N T S - t ra .spor ta , io . . Iodgi .g , Iood, e . ,er ta i .men~

(Includes those to spouse and dependent children; see pp. 25-27 of fi l ing instructions.)

N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION

I.

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 1 0

N a m e o f P e r s o n R e p o r t i n g

SEEBORG, RICHARD G.

Date of Report

4/18/201 I

V . G I F T S . a n c l u d o s t h o s e to s p o u s e a n d d e p e n d e n t chi ldren; see pp. 2 8 - 3 1 of fillng instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

V A L U E

V l . L IA B I L I T I E S . a n c t u d e s th o s e o / s p o u s e a n d dependent children; see p p . 3 2 - 3 3 of filing instructions.)

D N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1. W ells Fa rg o Ba n k 17% o f m ortg ag e o b lig a tio n o n ren tal p ro p erty , K am uela, HI

2.

3.

4.

5.

VALUECODE

L



FINANCIAL DISCLOSURE REPORT of 10


SEEBORG, RICHARD G.

D a t e o f R e p o r t

4/18/2011

V I 1. INV ESTM EN TS an d T RU STS - i ........u e , t r a n ~ t a c t i o n s (lncludt.s those ofsp ...... d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 off i l lng ins t r uct ions . )

N O N E (No reportable income, assets, or transactions.)

A. B. D.

Description of Assets Income during T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( i n c l u d i n g t rust assets) r e p o r t i n g p e r i o d

(l) (2)

i Amoun t T y p e ( e . g .,

Code I d i v . , r e n t ,( A - H ) o r i n t . )

P l a c e " t ’ X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

G r o s s v a l u e a t end

o f r e p o r t i n g p e r i o d

(I) (2)

V alue V alue

C o d e 2 M e t h o d

( J - P ) C o d e 3

( Q - W )

(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o f

buy, sel l , mm/dd~ Code 2 Code I buye r/se ller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

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

I. M organ Stanley Asset Fund (M oney D I n t e r e s t PI

M a r k e t )

2. Merck & Co., Inc. B Dividend K

3. Aegon NV ADR A Dividend J

4. Applied Materials A Dividend J

5. Schlumberger Ltd. A Dividend K

6. Scudder Greater-Europe Growth Fund A Dividend J

7. Scudder Latin America Fund B Dividend L

8. Templeton W orld Fund - Class I A Dividend K

9. T e m p l e to n D e v e lo p i n g M a r k e t Trus t Class A Dividend JA

1 0 . V a n g u a r d 5 0 0 Index Fund B Dividend L

1 1 . Vanguard Growth Index Fund A Dividend K

1 2 . Vanguard IntemationalGrowth Fund A Dividend K

1 3 . Vanguard U.S. Growth Fund A Dividend K

1 4 . W ells Fargo Checking Account A I n t e r e s t K

1 5 . Navin.com (See Part V III) None J

1 6 . Emerson Electric A Dividend J

1 7 . John Hanc ock Regional Bank Fund B Dividend K

T

T

T

T

T

T

T

T

T

T

T

T

T

T

U

T

T

I . Income Gain Codes: A = $ 1,000 o r less B = $ 1,001 - $ 2,500 C -$2.501 - $5,000 D =$5,001 - $15,000

(S¢ c Co lum n s BI a n d IM) F =$50.001 - $ 100.000 G =$100,00l - $1.000.000 I I I =$1.000.001 - $5.000.000 112 =More than $5,000.000

2. Value Codes J = $ 1 5 . 0 O O o ~ " l e s s K = $15.0OI . $ 50.000 L = $ 50.0OI . $100.000 M =$100.001 - $250.0(~

(Sc¢ Columns CI and D3) N =$250,001 - $500.00’3 O =$500.001 - $1.000.1~0 P I =$ 1, 00 0. 00 1 - $ 5. O0 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P3 = $25.000.001 - $50.000.000 P4 =More than $ 50.000.000

3 . V alu e Method C odes Q =Appraisal R =Cost (Rea l Estate Only) S =Assessment T =Cash Marke~

(See Column C2) U =Bo o k Va lue V =O~her W = E s t imated

E =$15,0’01 - $50.000




of 1 0 Ia m e o f Pe r s on R e p o r t i n g

SEEBORG, RICHARD G.


4/I 8 /2011


D e s c r i p ti o n o f A s s e ts I n c o m e d u r in g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

i (t) 12 1

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c l o s u r e ! Code I d i v . , r e n t ,! ( A - H ) o r i n t . )

1 8 . JP Morgan Ch ase ( fo rmer ly Bank One Corp’ , A D ivid en d

1 9 . Compu te r Sc i ences Corp . A D ivid en d

20 . Intel Corp B D ivid en d

21 . V a n K a m p e n C o m s t o c k F u n d A D ivid en d

22 . In vesco Sp ec ia l Va lve Fun d C A D ivid en d

23 . Jo hn H an co ck Smal l Cap Value Fun d A D ivid en d

24 . A merican A mcap FD A D ivid en d

25 . A merican New Persp ec t ive Fun d A D ivid en d

26 . Amer ican Growth F undofAmer ica A D ivid en d

27 . Van Kam p en G lo ba l Fran ch ise Fun d C D ivid en d

28 . A merican W M utua lA Fun d B D ivid en d

29 . Allianz Int ’l Fund A D ivid en d

30 . MF S New E ndeav or A F u nd A Dividend

31 . A merican Euro p ac i f i c G ro wth A D ivid en d

32 . D uk e En erg y A Dividend

’33. First Energy A Dividend

34 . Jet Blue Airways A D ivid en d

G r o s s v a l u e a t e n d


O) (2)

Value Value

C o d e 2 M e t ho d

( J - P ) C o d e 3

J T

J T

K T

L T

K T

K T

L T

L T

L T

L T

K T

J T

K T

J T

J T

J T

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

(t ) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o f

b u y , s e l l , m m / d d i y y C od e 2 C o d e I b u y e r / s e l l e r

r e d e m p t i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e


I . Income Gain Codes: A = $ 1.000 o r less B = $ 1,001 - $ 2.500 C = $ 2,501 - $ 5.000 D = $ 5.0OI . $15.000

(See Columns BI and 12 )4 ) F = $50.001 - $ 100.000 G = $100.001 - $1.000.000 III =$1.000.001 - $5.000.000 1 1 2 = M o r e t h an $ 5 . 0 0 0 . ! 3 O O

2 . V a l u e C o d e s J = S I 5 . 0 O O o r l e s s K = $15,0OI - $50.0~O L ~$50.0OI - $ 100.000 M = $ 1 0 0 . 0 0 1 o $ 2 5 0 .1 ~ O

(See Columr~.s CI and D3) N -$250.001 - $500,000 O =$500.0OI - $ 1,000.000 PI =$1.000.001 . $5.000,000 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 , 0 0 0 . 0 O O

P3 = $25,000.001 - $ 50.000.000 P 4 = M ore than $ 50.000,000

3 . V alu e Method C odes Q =Appraisal R =Co sl (R ea l Esta te On ly) S = Assc ssm cn ! T = C ~ h M a r k c ~

IScc Colu m n C2) U = Book V alue V =O~hcr W = E s t imated

E =$ 1 5 ,0 0 1 - $ 5 0 .0 0 0




of 10


SEEBORG, RICHARD G.


4/I 8/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i, co m , . , a l~ o . ~ a , ~ a ~ a o ~ a n c lu d ~ s t h o ~ e o S s p o u s , o ,d d e p ~ e , t children; see p p . 3 4 - 6 0 of filing i n s t r u c t i o n s . )

D (N o repor tab le asse ts , orONE i ncome , transact ions. )

A. B. C.

Description of Assets h ~ c o m e d u r i n g Gross value at end

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t I m o u n t T y p e (e . g . , V a lue Va l u e

exempt from prior disclosure I Code I d i v . , r e n t , Code 2 M e t ho d

(A-H) o r i n t . ) ( J - P ) Code 3

( Q - W )

35 . Peet ’s Coffee A Di v i d en d J T

36 . M o r g a n S t a n l e y No t e A Interest K T

37 . S c h e l l -V i s t a F i r e B o n d A Interest K T

38 . V an Kam p en S en i o r L o an A Di v i d en d K T

39 . A I li a n z Na c m I n t e rn . A Di v i d en d K T

40 . Ch e v r o n Co r p A Di v i d en d K T

41 . Clorox Corp A Di v i d en d K T

42 . C o m p a s s F u n d A Di v i d en d L T

43 . Gen er a l El ec t r i c C o r p A Di v i d en d J T

44 . H ig hwo o d A Interest J T

45 . M o r g a n S t a n l e y F o c u s G r o w lh F u n d A Di v i d en d J T

46 . I n v esc o Di v i d en d Gr o w t h S ec u r i t i e s F u n d A Di v i d en d J T

47 . I n v e s c o A d v a n t a g e F u n d A A Di v i d en d K T

48 . V i r t u s ( f o r mer l y P h o en i x S mal l C ap V a l u e A Di v i d en d J T

F u n d A )

49 . M o r t g ag e S t an l ey S t r a t eg i s t F u n d A A Di v i d en d K T

50 . V a n K a m p e n G l o b a l F ra n c h i s e F u n d A Di v i d en d K T

51 . On e-s i x t h in t e r es t Co n d o mi n i u m Kam u e l a , D R e n t L WHI

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e V a lue Gain I d e n t i t y o f

buy, sell, m m /dd~ ,y Code 2 Code I buye r/se ller



I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 c =$2 .501 - $5 ,000 D =$5,001 - $15.000

(Se e Co lum n s BI a n d IM) F =$50.001 ¯ $ 100.000 G =$100,001. $1,000.000 I I1 =$1.000.001 - $ 5.000.000 112 =More than $5,000.000

2. Valu~ Codes J = $15.000 or less K = $15,001 o $50.000 L =$50,0OI - $ 100,000 M =$109.001 - $250.0~0

(See C o lum~ C I and D3) N =$250.0OI - $500.0~ 0 O = $500,001 - $1,000.000 PI =$I,000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 = $25.00~ .001 - $50.0~0.0~O P 4 =M ore than $ 50.000,0~O

3. V alu e Method C odes Q :Appraisal R =Cost (Re~tl Estate Only) S =Assessment T .=Cash Markcl

(See Column C2) U = B ook V alu e V =Oth e r W =Estimated

E = $ 1 5 .00 1 - $ 5 0 .0 0 0




of 10

N a m e o f P e r so n R e p o r t i n g

SEEBORG, RICHARD G.


4/I 8/201 I

V I I . I N V E S T M E N T S and T R U S T S - i n c o . ~ e , v a l u e , , . a ,~ a c t i o ,. . a . a u d . ~ , n o t e q ~ p o u s e a n d dependent children; see pp. 34-60 of fi l ing instructions.)

D (No reportable assets, orONE income, transactions.)

D e s c r i p ti o n o f A s s e ts I n c o m e d u r in g

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

i (I) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t [ A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e n t ,(A-H) or int . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d


(t ) (2 ) (t ) (2) (3) (4) (5 )

Valu e Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o f

C o d e 2 M e t ho d b u y , s e l l , m m / d d / y y C od e 2 C o d e I b u y e r / s e l l e r

( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A-tl) ( i f p r i v a t e

( Q - W ) t r ansac t i on)

52 . L.A. Water Dept Bond B Interest L T

53 . Pomona Sch ooI Bond A Interest

54 . Monteb e l l o Sch ool Bond A Interest

55 . l rv in e Scho o l Bo n d A Interest

56 . San F ranc i sco Ci ty F inance Bond A Interest

57 . Manh a t t an Beach Wate r Bond A Interest J T

58 . Amer i can Capi t a l Wor ld Growth F u nd B Interest K T

59 . Van K ampen Dynamic Opp F u nd B Div idend K T

60 . BSTH o sp i t a l i tyLLC A Distribution M U

61 . Spect ra E ne rgy A Dividend J T

62 . H ig hlan d Cred i t St ra teg ies Fun d A Dividend J T

63 . Cont ra Cost ra Pu b l i c F inance Bond (2 pans) A Interest J T

64 . Cal EDLF ac . Bond A Interest L T

65 . AcalonesSchoo l Bond A Interest L T

66 . California Health Facil i t ies Bond A Interest M T

67 . Cal i fo rn ia Sta te Pub l i c W o rk s Bo n d A Interest L T

68 . Metrop ol i tan Water Distr ict - So Cal Bond A Interest L T

R e d e e m e d 0 2 / 0 1 / I 0 L

R e d e e m e d 08/02 /10 J

R e d e e m e d 01/04/10 L

R e d e e m e d 07/29/10 J

Bu y 07/29/10 L

Bu y 06 /07 /10 M

Bu y 07 /26 /10 L

Bu y 09/28 /10 L

I . Income Gain Codes: A = $1.000 or less B = $ 1,001 - $ 2.500 C = $ 2.501 - $5.000 D = $ 5.001 - $15.000

(SColumns BI and D4) F = $50,001. $100,000 G = $100,001. $1 .000,000 |11 =$1,000.001 - $5.000.000 112 =More than $5.000,000

2. Va lue Co d ~ J = $15.0~O o¢ less K = $ 15.001 . $50.000 L =$ 50.0OI - $100.000 M =$100.001 - $250,000

|Se e Co lum n s CI a n d D3 ) N =$250.001 - $500.000 O =$500.001 - $1,000.000 PI =$1,000.O01 - $ 5 , 0 0 0 , 0 0 0 1’2 =$5.000.001 - $25,000,000

P3 = $25.000.001 - $50.000,000 P 4 = ? , ,t o r e t h a n $ 5 0 . 0 0 0 . 0 0 0

3. V alue M ethod COdcs Q = Appraisa l R ~o s t (R ca l Es ta te On ly) S =Asscssm~ml Y ~L’ash Market

(See Column C2) U =Bo o k Va lue V -N ~hc r W =Estimated

E =$15.001 - $50.000




of 1 0 Ia m e u f P e r s o n R e p o r t in g

SEEBORG, RICHARD G.


4/18/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in t o .. . . . l u e , tr .... tlons I n c l u d e s t h o s e o f s p o .. .. . d d e p e n d e n t c hi ld r e n ; s e e p p . 3 4 - 6 0 of filing i n s t r u c t i o n ~ )


D escr i p t i on of A sset s I n c o m e d u r i n g

(in c lu d in g tru s t a ss e ts ) re p o rtin g p e r io d

(I) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I di v . , r en t ,

(A-H) or i n t . )

G r o s s v a l u e a t e n d


(I) (2)

V a l u e V a l u e

C o d e 2 M e th o d

( J - P ) C o d e 3

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e V a lue Gain I d e n t i t y o f

buy, sell, m m / d d , " y y Code 2 Code I buyer/sel ler



69. American M oney M arket A (SeePart VIII) A Interest [ K T

I . Income Gain Codes: A -$ 1.000 o r less B = $ 1,001 - $2.500 C =52.501 - 55,000 D =55,001 - 515,000

{See Columns BI and D4) F = $ 50.0~1. 511~).000 G = $100.0~ 1 - $ 1.0~0.0~ 0 I11 = $ 1.000.0~1 - $5.000.000 112 = More than $5.000.000

2. V alu e Codes l = $ 15.000 o r less K ~$15.001 - $ 50.000 L = $50.001 - 5100.000 M = 5100.001 -

[See Columns CI and D3) N =$250.001 - $ 500.000 O = $500.0OI - 51.000.000 P I = $1.000.0(11 . $5.000.00~ P2 =$5.000.001 .

P 3 = $ 2 5 . 0 0 ~ . 0 O I - $ 5 0 . 0 ~ O . 0 ( 1 0 P4 =More than $ 50.000.000

3 . V alu e M ethod Codes Q = Appraisa l R =Cosl (Real Estate O’~ly) S =Assessment T =Cash Markc~

( S e e Column C2) U -Bo o k Va lue V = O ~ h , . . ’ r W -Es l im a te d

E =$15,001 - $50.000



FINANCIAL DISCLOSURE REPOR T

of 10


SEEBORG, RICHARD G.


4/I 8/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (lndicate part of report)

Part VI, Line 15: Startup dissolved and investment wri t ten off: 2010.Pa r t VI , Line 6 9 : P u rch ase o f Mo ney Marke t F u nd on 12 /30 /08 i nadv e r t en t ly om i t ted f rom pr io r r epor t s .




of 10

Name of Per son Repor ting

SEEBORG, RICHARD G.

Date of Report

4/18/2011

IX . CERTIFICATION.

I c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n i n 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 l d re n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o ~ v l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r y

p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

I f u r t h e r c e r t if 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 ts w h i c h h a v e b e e n r e p o r t e d a r e i nco m p l i a n ce wi th the p ro v i s io n s o f 5 U . S . C. a p p . § 5 0 1 e t . se q ., 5 U . S . C. § 735 3 , a n d J u d i c i a l Co n fe re n ce r e g u la t i o n s .

Signature: $[ RICHARD G. SEEBORG

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 F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J EC T T O C I V I LA ND CRIM IN A L SA NCTIO NS (5 U .S.C. ap p . § 1 04)

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richard g seeborg financial disclosure report for 2010

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