tiue {aricle lljndgs indicate active or senior stains ... · 5. 4. fnancial disclosure report page...
TRANSCRIPT
ORGANIZATION/ENTITY
PARTIES AND TERMS
Ul C)
.) ,.
.,
: i
n
...,,,
( • .J'l ...._ .
=
C:::;:> Cf')
-·.··�0 ;;.•l ':"1
" ,,j-i:
'·
; :· . .. ""!
-- ,.._
Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT
in Government Act of 1978Rev.1/2006 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§ 101-111)
1. Penon Reporting (last name, first, middle initial) 2. Court or Organization 3. Date of Report
BERZON, MARSHA S U.S.C.A. ·NINTH CIRCUIT 04/20/2006
4. TiUe {Article Illjndges indicate active or senior stains; magistrate judges indicate full· or part-time)
U.S. CIRCUIT JUDGE· ACTIVE
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial Annual D Final
6. Reporting Period
01/01/2005 to
12/31/2005
7. Chambers or Office Address
95 SEVENTII STREET P.O. BOX 193939 SAN FRANCISCO, CA 94119-3939
Sb. D Amended Report
8. On !be basis o(tbe Information contained In this Report and any modifications pertaining tbereto, lt Is, in my opinion, In compliance 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 for each part where you have no reportable information. Sign on last page.
I. POSITIONS. (Rtporting Individual 011/y; m pp. 9-13 of instructions.)
(KJ NONE (No reportable positions.)
POSITION NAME OF
1.
2.
3.
4.
5.
-� ::0.-..
t-·-
.,,, J"'-..)
'·
; J.) <..11 \j"')-.'.,·'>-"
., ]
:;:;.":':1'
II. AGREEMENTS. (Reporting Individual 011/y; set pp.14·16 of instructions.) .. , \_ _ .__,..)<IJ
IE] NONE (No reportable agreements.)
1.
2.
3.
SOURCE AND TYPE
SOURCE AND TYPE
SOURCE DESCRIPTION
4.
5.
4.
FINANCIAL DISCLOSURE REPORT
Page 2of9
Name of Person Reporting
BERZON, MARSHA S
Dale of Report
04/20/2006
Ill, N 0 N-INVESTMENT INC 0 ME. (Reporting individual and spouse; see pp. 17·24 of instructions.)
A. Filer's Non-Investment Income
IKJ NONE (No reportable non-investment income.)
1.
INCOME (yours, not spouse's)
2.
3.
5.
n. Spouse's Non-Investment Income. I/you were married during any portion of/he reporting year, complete this sec!Wn.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income.)
1. 2005 SELF-EMPLOYED ATIORNEY
2.
3.
4.
IV. REIMBURSEMENTS -transporta!Wn, lodglng,/ood, enterlainment.
(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)
D NONE (No reportable reimbursements.)
1. CORNELL UNIVERSITY 2/18-2/20/05 - ITHACA, NEW YORK PROFESSIONAL ASSOCIATION ACTIVITY (fRA VEL, LODGING, MEALS)
2. U.C. DAVIS 4/16/05 ·DA VIS, CALIFORNIA UCD SCHOOL OF LAW COMPETITION (TRAVEL, MEALS)
3. AMERICAN CONSTITUTION SOCIETY 7/28-7/31/05 - WASHINGTON, D.C. PROFESSIONAL ASSOCIATION ACTIVITY (TRAVEL, LODGING, MEALS)
5.
CREDITOR DESCRIPTION
VALUE
YALUECODE
4.
FINANCIAL DISCLOSURE REPORT
Page 3of9
Name or Person Reporting
BERZON, MARSHA S
Date or Report
04/20/2006
V• GIFTS. (lncwths those to spouse and dependent children. See pp. 28-31 of instructions.)
l.KJ NONE (No reportable gifts.)
SOURCE DESCRIPTION
1.
2.
3.
4.
5.
VI. LIABILITIES. (lncwths those of spouse and dependent children. Su pp. 32-34 of instructions.)
[K) NONE (No reportable liabilities.)
1.
2.
3.
5.
A.
(1) (2) (1) (2) (3)
(H)
M9n: ..t10o.001
(4) (5)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 4of9 04/20/2006BERZON, MARSHA S
vn. INVESTMENTS and TR u STS - income, value, transacticns (includes those of the spouse and dependent children. See PP· 34.57 of filing instructicns)
D NONE (No reportable income, assets, or transactions.)
ii; c. D. DescripJion of Assets Income during Gross value :at end of Ttan a·ctions during reporting period
(including trust assets) reporting riod reporting J)cr!,Q<! {l) (2)
Place "(X)" after each asset Amount Ty (e.g. Vallie Yalue Type (e.g. exempt from prior disclosure Code l div., rCiit, Code2 Method bu , sell, Date Value Giiin Identify of
(A-H) or int.) (J,P) Codc3 m·e,rger, Mi>nih·- Code2 CP<le l buy t/�e,]ler
{Q·W) redemption) Day (A·H) (!fpri ate lransai;tiop)
1. BANK OF AMERICA ACCOUNT A Interest K T
2. AT & T NEW COMMON STOCK None K T •4 (FKA SBC COMM)
3. COCA-COi.A COMMON STOCK A Dividend K T
4. COMCAST CORP. NEW CL A None J T COMMON STOCK
5. PEPSICO COMMON STOCK A Dividend K T
6. LSI LOGIC CORP COMMON STOCK
7. LUCENT TECHNOLOGIES INC
COMMON STOCK
8. SOURCE INTERLINK COMPANY
COMMON STOCK
9. CORNING COMMON STOCK
10. BELLSOUTH CORPORATION
COMMON STOCK
11. KEYSPAN CORPORATION
COMMON STOCK
12. NSTAR COMMON STOCK
13. PUBLIC SVC ENT GROUP
COMMON STOCK
14. SBC COMMUNICATIONS INC.
COMMON STOCK
15. VERIZON COMMUNICATIONS
COMMON STOCK
16. VODAFONE GROUP COMMON
STOCK
17. SCHWAB PREMIER EQUITY
A
A
A
A
A
A
A
A
None J
None J
None L
None M
Dividend J
Dividend J
Dividend J
Dividend J
Dividend
Dividend J
Dividend J
Dividend M
T
T
T
T
T
T
T
T
T
T
T BUY 3/18 L
•4
1. . h:K:-om Ga,in Code$: A a:$1,000 or less B :$1,001 • $2,500 c &$2,501 - $5,QOO D ,,$5,QOI • $15,000 E $15,00I • $50,000 (Ste Oilurims Bl and D4) F :$50,001 • $i00,000 G •$100,001 • $1,000,000 HI =$!;000,00I - $5,(JOO;ooo l!2 th>o·$ .ooo.ooo
2. Value aides J •$15;00o or less K •$15,001 - $50,ooo. L s$50,001 ''$too;Qll0 t;i - $250,000 (Ste Oilumns Cl and DJ) N .$250,001 • $500,000 0 •$500,001 • $1,000,000 Pl ;41,ooo',001 $5;000,000 P2 45,000,001 • $25,000,000
:i. Value Method aides P:i :$25,000,001 • $5-0,000,000 R :Co.t (Real Estafe Only) P4 =Moio than $50,oOO,ooo T.c.sbMiuket
(See Oilumn C2) Q:Apprllisal Y :Other s •A.Ss.cssmcDr U •Book Villue w •Estimated
29. CLA
(PSP
31.AI FUND CLA
(PSP)
(2) (2) (3) (4) (5)
FINANCIAL DISCLOSURE REPORT Page 5 of9
Name of Penon Reporting
BERZON, MARSHA S
Date of Report
04/20/2006
VII. INVESTMENTS and TR u STS - Income, valat, transactions (includes those of the spouse and dependent children. Set pp. 34-57 offiling instructions)
0 NONE (No reportable income, assets, or transactions.)
A. I!. c.
Description of Assets (inclilditig trust assets)
Inctime :during rePQrti.nl periQd
Gross.value at end of reporti!lg�_riod
!'lace "(X)" after ca·ch asset exemptfrom prior discl0sure
18. DREYFUS APPREC IAT ION FUND
19. DREYFUS EMERGING LEADERS
FUND
20. DREYFUS PREMIER NEW
LEADERS FUND
21. RS MIDCAP OPPORT UNIT IES
FUND
22. VAN WAGONER EMERGING
GROW TH FUND
23. VAN WAGONER SMALL CAP
GROW TH FUND
24. SCHWAB CA MUNI MONEY FUND
VALUE ADVANTAGE SHARES
25. SCHWAB CA MUNI MONEY
MARKET FUND
26. FIDELIT Y SPARTAN CALIFORNIA
MUNI M ONEY FUND
27.AIMA-ND
CLA (PSP
28. CLA
(PSP
30.Al-N FUNDCLA
(PSP)
32. NDCLA
(PSP
33.AMER.FUNDS W -CLA (IRA)
34. AMER. FUNDS GROWI11 FUND OF
1. Income Oain O>des: (Sec ColUJlUIS 1Jl and 04)
2. Value Codes
A c$1,00p or less
F c$50,00I-$iOO,OOO 1 -$15,(i()() or less
(1)Amount-C-Oµe 1
(A,H}
A
D
D
B
A
F
A
A
A
D
A
(Sec Columns Cl and DJ) If-'$25-0,001-$500;000
(2). Type( :g.diY. i:eilt,
i>r iot:)
Dividend
Dividend
Dividend
None
None
None
Dividend
Dividend
Dividend
None
Dividend
Dividend
None
Dividend
None
Dividend
Dividend
B ;$1,001-$2,500
(1)Valu.e c0Qe2
(JfJ') .
K
L
M
N
]
K
L
]
Pl
K
K
L
L
K
L
M
K
0 ;$!00;!'1Ql -$1,000,000 Ji: a$H,OOI -$50,qOD 0 •$500,001- $1,000,000
Value MeiJ!oo C<\<ic 3
(Q W)
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
(1)Type (e.g. buy; sell, lijc;r er,redemptfon)
c c$2,501-$5,,000 HI .,SlioOO;ool -$5,000,000 L c$50,001-$100,(i()() Pl .$i,OOO,OOI -$5,000,000
D. Transactions during reportiog·period
if ¢);c pi - ! u c
Daic Value Morit.h- Cbde2 Day (J-P)
D ;$5;001-$15,000 H2 ,;Mote •"-"1 $5,00Q,000 M $100,001- $2SQ,000
- · · .. ·-
Gafo I entiwqt 'C;;del li yer/seller (A,H) {if')Jiiv ie
•:tia!i,AAt fr)
B;$15,001-$5il,OOO
n -ss,(i()();oor-$2S;OOO,ooo 3. Value Melhod Codes P3 -425,000,001 - $50,000,000 P4 •Mor< than $50;DOO,OOO R (Real Bstale Only) T oCash Markel
(Sec Column C2) S =A.xs.cssmcrif Q •Appralsal V.otber U•BootValoe W•Estiriated
ONY
38.AMERICAN (PSRP)
-RICA-A
APJTALACCOUNTIN
c
m (:i) (1)
coo.02 COli*'j
\
ISTRJBUTED
. (2) (3) Va(ue
(J'l')
.�5)
A.
(1)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 6of9 04/20/2006BERZON, MARSHA S
VII. INVESTMENTS and TRUSTS - income, va1ue, transactions (includes those of th• spouse and dependent children. s .. PP· J4-s7 of filin1 instructions)
D NONE (No reportable income, assets, or transactions.)
B. c. D. Description ·of Assets Income during Gross value at end of Transactions during reporting period·
(including trust a,ssets) reporting perio? r p<?rtih!l peri£d
(2) Place•"(X)" after ea'cb ·asset Amouli.t Typ�(q. V l e Va.IJl.e Type(e g. ··(4)
i:x:eniptirom prior djsdos'!'e C::Ode 1 div., ient, Method' bu;;;.s¢,1!; P.M · Gato idi:nfiiy of (A-1:!) or Int'.) (J-P) m .rs r kiinih- . cQpe2 Ccici.c 1 b.uyer/seller
(0-:W) red inptioii} Day (A-H) (if private @J)Sa qon)
AMERICA -A (PSRP
35. AMERICAN FUNDS NEW ECONO -A(PSRP
36. AMERICAN FUNDS NEW PERSPE VE FUND A(PSRP
37. AMERICAN FUNDS FUNDAMENTAL INVESTORS-A(PSRP
AMERICA
A Dividend K T
B Dividend K T
A Dividend K T
A Dividend ] T
39. AMERICAN FUNDS WASH B Dividend K T MUTUAL INV FUND-(PSRP
40. AMERICANFUNDS R (PSRP
41. AMERICAN FUNDS EUROPACIFIC GROWTH FUND-A (IRA RIO)
42. AMERICAN FUNDS NEW PERSPECTIVE FUND-A(IRA RIO)
43. AMERICAN FUNDS FUNDAMENTAL INVESTORS-A (IRA RIO)
44. AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA-A (IRA RIO)
45. AMERICAN FUNDS CASH MANAGEMENT TRUST OF AMERICA-A (IRA RIO)
LAW FIRM PARTNERSHIP •t
47. TRUST#l
48. -BANK ACCOUNTS AND BONDS (OVER 5,000 LISTED BELOW)
49. --BANK OF AMERICA STANDARD CHECKING
Dividend
D Dividend
A Dividend
A Dividend
E Dividend
B Dividend
D Interest
E Interest
M T
M T
] T
K T
0 T
L T
J u
3/30 0
•2
•2
J. Income Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c '4'.<.501 • $5,000 D =$5,001 • $15,000 E =$15,001 - $50;000 (sCc Columns BI and 04) F =$50,001 - $100,000 G =$100,001 "$1,000,000 HI '4i,Ooo,001 • $5,000,000 112 •More lhll1 $5;000,000
2. Value Codes J z;$15,0Cl0 or less K =$15,001 -$50,000 L $50,.001-.$100,000 M 4100,001 - $250,000 (Ste Columns Cl and 03) N =$250,00 • $500,000 o ssoo.001.• s1,ooo.ooo Pl =$1,000;001 -$5,000;DOO P2 45.()00,001 • $25,000,000
3. Value Method Codes P3 =$25,000.001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50.000,000 T..c.st>Market (Ste Column C2) Q •Appraisal V =Othor S =Ass=nienl
U =Book Value W •&stlmate.d
c.
(2)
D.
(;i) (:i)
0,90'.2 (H)
3/28
(4)
O>d'e 1
(5) Value Mi:\hOa
(1)
2/4
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 7of9 04/20/2006BERZON, MARSHA S
VII. INVESTMENTS and TRUSTS - mcom•, varu., transacrwns rmc1mus thou of the spouse am1 dependon1 children. s .. pp. u-s1 of filing instrucrwnsJ
0 NONE (No reportable income, assets, or transactions.)
A. B Description .of Assets locomedurll)g Gross value at end of · Tra sacticms duriDg .. iepoiti g period
(incluc!ing trust assets) reporting period report)Ii pericld
Type {eog. (1) m (1)
Place '(X)' after each asset A.mount Typ (e.g. V:ilue from prior disclosureexe·mpt div.;·reot, COde.2 buy, ell, Value d inaxle! Pat¢ Jd )l\ii ' f
or int) (J-P) CQile 3 er&�t! iiuyfri�eU r(AcH) .Month -(0:-W) redemption) Day (A·H) {if private
tra sattion)
50. ·-BANK OF AMERICA INVESTMENT CD
CLOSED N
51. ··BANK UNITED 2 CDs CLOSED in M
52. --WASHINGTON MUTUAL CD CLOSED 1/4 M
53. --WORLD SAVINGS CD CLOSED 1/4 K
•2L54. --U.S. SAVINGS BONDS DISTRIBUTED
55. U.S. SAVINGS BONDS
56. U.S. SAVINGS BONDS E Interest
57. U.S. SAVINGS BONDS D Interest
RCVD DISTR.
REDEEMED
REDEEMED
2/4 K •3
2/4 K •3
2/16 ] •3
l. Income Gain Codes: A =$1,000 or less B -Si,001- $2,500 c =$2,501 - $5,000 o s5,001- s15,ooo E =$15;001 - $50,000 (See Columns BI and 04) F =$50,001 - $100,000 0 =$100,001- $1,000,000 HI a$1,000,001 • $5,000,000 H2 •More than $5,000,000
2. Value Codes 1 -$15,000 or less K .$15;001 • $50,000 L -$50,001 • $100,000 M a$100,001 - $250,000 (See Columns Cl and DJ) N -$z:;G,00l - $500,000 0 •SS00,001- $1,000,000 Pl -$1,000,001 • $5,000,000 P2 .$5;000,001 - $25,000,000
3. Value Method Codes P3 -$25,000:001 - $50,000,000 R .cost alEstate Only) P4 Mi>rc than $5p,ooo,ooo ToCashM.,ktt (See Column C2) Q ·Appraisal v.Olher S rcAssessment
U •Jlook Value W !"Esdm.\1cd
BE_ IATELY ! DISTRIBUTIVE
I lts{AD bNbl'lU •
OM, TRUSt
WERik : T DEFER'
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 8of9 04/20/2006BERZON, MARSHA S
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicaleparlo/R•port.)
*l ARNINGS FROM TIIE LAW FIRM HA VE DISCLOSED IN PART III OFTIIE CURRENT YEAR REPORT. THE EARNINGS REPORTED IN PART VII REPRESENT ONLY SHARE OF PARTNERSHIP INTEREST INCOME.
•2 UPON nm DEATH OF TIIE FILER'S ECAME TIIE SUCCESSOR CO-TRUSTEE OF THE LIVING TRUST. AN INC REMAINDER INTEREST IN TIIE TRUST. IN 2005, SA VINOS BONDS WERE DISTRIBUTED TO SPECIFIC ALL REMAINING BANK ACCOUNTS AND CERTIFICATES OF DEPOSIT HELD BY TIIE LIVING TRUST WERE CLOSED. SPECIFIC BEQUESTS WERE PAID, AND TIIE RESIDUAL WAS DISTRIBUTED TO TIIE REMAINDER BENEFICIARIES, INCLUDING
LIVINGss r ri'iF :g p :;; T i:5 6:= 1C:C[ g>
INTEREST PREVIOUSLY .
*4 SBC COMMUNICATIONS ACQUIRED AT&T AS OF 11/18/05 AND CHANGED ITS NAME TO AT&T, INC.
Signature ____ -"------------------------ Date
__________ _
Dale oCReport Name or Person Reporting FINANCIAL DISCLOSURE REPORT
Page 9 of 9 04/20/2006BERZON, MARSHA S
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 ii 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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
11·:lfJ"0 &
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIF1ES OR FAILS 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