uc regent - pattiz - financial disclosure

8/14/2019 UC Regent - Pattiz - Financial Disclosure

http://slidepdf.com/reader/full/uc-regent-pattiz-financial-disclosure 1/22

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CALIFORNIA FORM 700FAIR POUTICAL PRACTICES COMMISSION

/

S T A T E M E N T O F E C O N O M IC IN T E RE S TS

L.;~! ")

'. C OY ER P AG E,) ~-i··lJ: ":'0

A Public Document Please type or print in ink.

(LAST) (FIRST) DAYTIME TELEPHONE NUMBERNAME

PATTIZ NORMAN

(MIDDLE)

JOEL ( 818 ) 592-2000 X278

MAILING ADDRESS STREET

(May use business address)CITY OPTIONAL: FAX IE-MAIL ADDRES

8965 L1NDBLADE STREET CULVER CITY

1. Office, Agency, or Court

Name of Office. Agency, or Court:

UNIVERSITY OF CALIFORNIA

Division, Board. District. if applicable:

BOARD

Your Position:

REGENT

~ If filing for multiple positions, list additional agency(ies)/

position(s): (Attach a separate sheet if necessary.)

Agency: ___

Position: _

2. Jurisdiction of Office (Check at least one box)

~ State

o County of _

o City of _

UMulti-County _

oOther _

3. Type of Statement (Check at least one box)

o Assuming Office/lnitial Date: ----.1----.1__

~ Annual: The period covered is January 1, 2008.

through December 31, 2008.

-or-

O The period covered is ---.1----.1__ . through

December 31, 2008.

o Leaving Office Date Left: ----.1----.1__

(Check one)

o The period covered is January 1, 2008, through the

date of leaving office.

-or-

o -;De period covered is ---.1----.1__ , through

-~5 c'a:e of leaving office.

STATE ZIP CODE

CA 90232 818-592 -6363

4. Schedule Summary

~ Total number of pagesincluding this cover page: _

~ Check applicable schedules or "No reportable

interests. "

I have disclosed interests on one or more of theattached schedules:

Schedule A-1 ~Yes - schedule attached

Investments (Less than 10% Ownership)

Schedule A-2 0Yes - schedule attached

Investments (70% or greater Ownership)

Schedule BOYes - schedule attached

Real Property

Schedule C ~Yes - schedule attachedIncome, Loans, & Business Positions (Income Other than Gifts

and Travel Payments)

Schedule D 0Yes - schedule attached

Income - Gifts

Schedule E 0Yes - schedule attached

Income - Gifts - Travel Payments

-or-

o No reportable interests on any schedule

5. VerificationI have used all reasonable diligence in preparing this

stal:"ement. I have reviewed this statement and to the bes

of my knowledge the information contained herein and in an

attached schedules is true and complete.

Icertify under penalty of perjury under the laws of the State

of California that the foregoing is true and correct.

Oat

i_our filing offiCial.)

I

FPPC F 00 (2008 2



SCHEDULE A-1

Investments

Stocks, Bonds, and Other Interests(Ownership Interest is Less Than 10%)

Do not attach brokerage or financial statements.

~ NAME OF BUSINESS ENTITY

AIRGAS INC

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INDUSTRIAL EQUIPMENT WHOLESALE

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

~ $10,001 - S1UU,UUU

DOver $1,000,000

NATURE OF INVESTMENT

IZ I Stock

(Describe)

IF APPLICABLE, LIST DATE:

---.! ---.!....QSLACQUIRED

__J---.! ....QSL

DISPOSED


HSBC HOLDINGS PLC


CBS CORP


BROADCASTING TV

FAIR MARKET VALUE

n$2,000 - $10,000

o 5100,001 - $1,000,000

~ $10,001 - $100,000

DOver 51,000,000


IZ I Stock

o Other (Describe)


---.!---.! ....QSLACQUIRED

----.! ----.!....QSLDISPOSED


INTERPUBLIC GROUP


COMVERSETECHNOLOGY


TECHNOLOGY

FAIR MARKET VALUE

n52,000 - 510,000

I ! 5100,001 - S1,000,000

~ $10,001 - $100,000

DOver $1,000,000

.,:.. ;.n .;" '..= : 0:0 iNV!::STMENT

X 2=-

~ ~-~~

_ ,- ,- c := :-


arne

NORMAN JOEL PATIZ


DISCOVER FINANCIAL SERVICES


FINANCIAL

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

[g ] $10,001 - 3100,000

DOver 51,000,000


~ Stock

o Other (Describe)


----.! ----.!....QSLDISPOSED


FINANCIAL

FAIR MARKET VALUE

o $2,000 - $10,000

0$100,001 - $1,000,000

IZ I $10,001 - $100,000

DOver $1,000,000


IZ I Stock

(Describe)


----.! ---.!....QSLACQUIRED

----.! ----.!....QSLDISPOSED


ADVERTISING

FAi"'RMARKET VALUE

0 $2 ,0 00 - $ 10 ,0 00

o $100,001 - $1,000,000

[g] $10,001 - 5100,000

DOver 51,000,000


IZ I Stock

o Other (Describe)


---.! -----1....QSL

ACQUIRED

----.!----.!....QSL

DISPOSED

FPPC Form 700 (2008/2009) Sch, A

FPPC Toll-Free Helpline: 866/ASK-FPPC wwwJppc.ca.go



SCHEDULE A-1

Investments


00 not attach brokerage or financial statements.


KEYCORP NEW


FINANCIAL

FAIR MARKET VALUE

o $2.000 - $10.000

o S100,001 - $1,000,000

IZ l $10,001 - $100,000

DOver $1,000,000


IZ l Stock

(Describe)


---.J---.J~

ACQUIRED---.J---.J~

DISPOSED

~ NAME OF BUSINESS ENTiTY

REPUBLIC SERVICES


MORGAN STANLEY


FINANCIAL

FAIR MARKET VALUE

o $2,000 - $10.000

o $100,001 - $1,000,000

IZ l $10,001 - $100,000

DOver $1,000,000


~ Stock

o Other - -:=-_,---:- _(Describe)

iF APPLICABLE, LIST DATE:

---.J---.J~

ACQUIRED---.J ---.J-.!JJL

DISPOSED


HENRY SCHEIN INC


NAVIGANT CONSULTING INC


MANAGEMENT SERVICES

FAIR MARKET VALUE

o $2,000 - $10,000

LJ $100.001 - $1,000.000IZ l $10,001 - $100,000

DOver SI ,000,000

N.~illR.=Of l~rV~STMt:NI

X .3::c;;

CALIFORNIA FORM 700FAIR POLmCAL PRACTICES COMMISSION

Name

NORMAN JOEL PATTIZ


PHILIP MORRIS INTL


CIGARETTES

FAIR MARKET VALUE

IZ l $2,000 - $10,000

o $100,001 - $1,000,000

o $10,001 - $100,000

DOver SI,OOO,Ooo


IZ l Stock

o Other _

(Describe)


---.J---.J~ACQUIRED

---.J --.l...!1!L..DISPOSED


WASTE MANAGEMENT

FAIR MARKET VALUE

o $2,000 - $10,000

o$100,001 - 51,000,000

IZ l $10,001 - S100,000

DOver 51,000,000


IZ l Stock

oOther --- _

(Describe)


---.J---.J~

ACQUIRED

---.J --.l-.!JJL

DISPOSED


MEDICAL EQUIPMENT

FAIR MARKET VALUE

o $2,000 - 510,000

0$100,001 - $1,000,000

~ $10,001 - $100,000

DOver 51,000,000


IZ l Stock

o Other (Describe)


---'---.J~

ACQUIRED

---.J --.l-.!JJL

DISPOSED

FPPC Form 700 (2008/2009) Sch. A-l

FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

http://www.fppc.ca.gov/




SCHEDULE A-1

Investments



. . NAME OF BUSINESS ENTITY

3COM CORP


NETWORKING & COMMUNICATION

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000


~ S10,001 - $100,000

DOver 51,000,000

(Describe)

---1---1~

DISPOSED

CAUFORNIA FORM 700FAIR POunCAL PRACTICES COMMISSION

Name

NORMAN JOEL PATTIZ

.. NAME OF BUSINESS ENTITY


FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

0$10,001 - $100,000

DOver $1,000,000


o Stock

o Other _

(Describe)


---1---1~

ACQUIRED---1---1-.SJL

DISPOSED

.. NAME OF BUSINESS ENTITY.. NAME OF BUSINESS ENTITY


FAIR MARKET VALUE

o S2,OOO - S10,OOO

o $100,001 - $1,000,000


o Stock


---1---1-.SJL ACQUIRED

o S10,001 - $100,000

DOver $1,000.000

{Describe)

---1---1~

DISPOSED


FAIR MARKET VALUE

0$2,000 - $10,000

0$100,001 - $1,000,000

o $10,001 - $100,000

o Over $1 ,000,000


o Stock

o Other ---- ---:::---::----: _(Describe)


---1---1-.SJL ACQUIRED

---1---1-.SJL DISPOSED

NAME OF BUSINESS ENTITY .. NAME OF BUSINESS ENTITY


FAIR MARKET VALUE

o 52,000 - 510,000

o S100,001 - SI,OOO,OOO

~-

o S10,001 - $100,000

DOver 51,000,000

~ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

-~--..---=--=-- ~-- ~ = -


FAtR MARKET VALUE

o $2,000 - $10,000

0$100,001 - $1,000,000

0$10,001 - $100,000

DOver 51,000,000


o Stock

o Other (Describe)


--.J--.J-.SJL AcaUIRED

---.J---.J~

DISPOSED

FPPC Form 700 (2008/2009) Sch. A-1



SCHEDULE A-I

·\nvestments

Stocks, Bonds, and other Interests(Ownership Interest is Less Than 10%)

00 not attach brokerage or financial statements

USINESS ENTITY

M TECHNOLOGY

DESCRIPTION OF BUSINESS ACTIVITY

ICAL SERVICES

KET VALUE

- S10,000

01 _ $1,000,000

IZ l $10,001 - $100,000

DOver $1,000,000

OF INVESTMENT

k

er--------------------~::~:;--------------(Describe)

CABLE, LIST DATE:

,

NORMAN JOEL PATTIZ-

l= = = = = = = = = = = - - - - -

.. NAME OF BUSINESS ENTITY

APPLE INCGENERAL DESCRIPTION OF BUSINESS ACTIVITY

PERSONAL COMPUTER SYSTEMS

FAIR MARKET VALUE

IZ l $2,000 - $10,000

o $100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


IZ l Stock

o Other --------:;;-:-:::;:::;------ (Describe)


~~~ ACQUIRED

~~~ DISPOSED

~~.J2!LDISPOSED .. NAME OF BUSINESS ENTITY

CONOCOPHILLIPSOF BUSINESS ENTITY

OTT LABORATORIESAL DESCRIPTION OF BUSINESS ACTIVITY

UG MANUFACTURERS

MARKET VALUE

,000 - 510,000

100,001 - $1,000,000

I8 l $10,001 - $100,000

Dover $1,000,000

RE OF INVESTMENT

Stock

Other (Describe)

PPLICABLE, LIST DATE:


INTERGRATED OIL AND GAS

FAIR MARKET VALUE

I Z I $2,000 - $10,000

0$100,001 - $1,000,000

o$10,001 - S100,000

Dover $1,000,000

NATURE OF INVESTMENT~ Stock

o Other ----------------- (Describe)


~~~ ACQUIRED

~~.J2!LDISPOSED

.J2!LACQUIRED

~~.J2!LDISPOSED

.. NAME OF BUStNESS ENTITY

CANADIAN NATURAL RESOURCESME OF BUSINESS ENTITY

DOBE SYSTEMS INCENERAL DESCRIPTION OF BUSINESS ACTIVITY

APPLICATION SOFTWARE

AIR MARKET VALUE

g ; 52.000 - 510,000

i'5..00.001 - 51.000,000

o$10,001 - $100,000

DOver $1,000,000

,!!,-u=t 0::: 1I'.V;:St;..t.ENI

X S=,o

~-=---~ - = :r=-::;.~ ~ -..-=:


INDEPENDENT OIL AND GAS

FAIR MARKET VALUE

\8 l $2,000 - $10,000

0$100,001 - $1,000,000

o510,001 - $100,000

DOver $1,000,000


~ Stock

o Other (Describe)


~~~ ACQUIRED

~~J2LDISPOSED



SCHEDULE A-1

Investments




CELGENE CORP

BIOTECHNOLOGY


FAIR MARKET VALUE

o $2,000 - $10,000

U$100,001 - $1,000,000


~ Stock

~ $10,001 - $100,000

DOver $1,000,000

o Other --------r;:;;;;;;:;;;;;-------


---.J---.J~

ACQUIRED

(Describe)

---.J---.J~DISPOSED

CAUFORNIA FORM 700'FAIR POUTICAL PRACTICES COMMISSION

arne

NORMAN JOEL PATTIZ


MEDTRONIC INCGENERAL DESCRIPTION OF BUSINESS ACTIVITY

MEDICAL APPLIANCES AND EQUIPMENT

FAIR MARKET VALUE

D $2,000 - $10,000

0$100,001 - $1,000,000

~ $10,001 - $100,000

DOver $1,000,000


~ Stock

D Other (Describe)


---.J---.J~ACQUIRED

---.J---.J...JJLDISPOSED


MICROSOFT CORP


CISCO SYSTEMS INC


NETWORKING AND COMMUNICATION

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000


~ Stock

[g J $10,001 - $100,000

nOver $1,000,000

o Other --------m:;;;;;ji;)------


---.J---.J~ACQUIRED

(Oescribe)

---.J---.J~DISPOSED


APPLICATION SOFTWARE'

FAIR MARKET VALUE

D $2,000 - $10,000

D$100,001 - $1,000,000

~ $10,001 - 5100,000

DOver $1,000,000


~ Stock

o Other -------------:c:-------:-----:------(Describe)


---.J---.J~ACQUIRED

---.J---.J~

DISPOSED


ILLUMINA INC


NUVASIVE INC

BIOTECHNOLOGY


FAIR MARKET VALUE

o $2,000 - $10,000

o 5100,001 - $1,000,000

N,/I.TURE OF !NVESTMENT

~ Stock

I Z l $10,001 - 5100,000

DOver $1,000,000

~------------------------(Descrioo)

• 08------


MEDICAL INSTRUMENTS AND SUPPLIES

FAT", MARKET VALUE

~ $2,000 - $10,000

D $100,001 - $1,000,000

D$10,001 - $100,000

DOver $1,000,000


~ Stock

o Other -----------------(Describe)

IF APPliCABLE, LIST DATE:

___ I---.J~

ACQUIRED

---1~.Jlli.....

DISPOSED

FPPC Form 700 (2008/2009) Sch A-



SCHEDULE A-1

Investments




NOKIA CORPORATION


COMMUNICATION EQUIPMENT

I"I'.IR MARKET VALUE

!X l S2,000 - $10,000

o $100,001 - 51,000,000

0$10,001 - $100,000

DOver $1,000,000

NATURE OF !NVESTMENT

!Xl Stock

UOther

(Describe)


--1--1~

ACQUIRED

--1--1~

DISPOSED


SCHLUMBERGER LTD


OIL & GAS EQUIPMENT & SERVICES

FAIR MARKET VALUE

I 2 S J $2,000 - S10,000

o $100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


[g J Stock

n Other

(DeSCribe)


--1--1~

ACQUIRED

--1--1~

DISPOSED


SOUTHWESTERN ENERGY CO


INDEPENDENT OIL AND GAS

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

[ Z J $10,001 - 5100,000

DOver $1,000,000


IX! Stock

"=------------------------------

____ ..J!!L

CAUFORNIA FORM 700FAL~pounCAL PRACTICESCOMMISSION

arne

ORMAN JOEL PATTIZ

~ NAME OF BUSINESS ENTiTY

3M COMPANY

GENERAL DESCRIPTION OF BUSINESS ACTiVITY

CONGLOMERATES

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

[ Z J $10,001 - $100,000

DOver $1,000,000


~ Stock

o Other ------------------(Describe)


--1--.-J~

ACQUIRED

--1--1~

DISPOSED


TEVA PHARMACEUTICAL


DRUG MANUFACTURERS

FAIR MARKET VALUE

IZ I $2,000 - $10,000

0$100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


[g J Stock

o Other --------------------------------(Describe)


--1---1~

ACQUIRED

--1--1~

DISPOSED


THERMO FISHER SCIENTIFIC


SCIENTIFIC & TECHNICAL INSTRUMENTS:::'i',

FAIR MARKET VALUE

[g J $2,000 - $10,000

o $100,001 - $1,000,000

0$10,001 - $100,000

DOver 51,000,000


[g J Stock

o Other ---------------------------------(Describe)


~---1~

ACQUIRED ~~~ DISPOSED



SCHEDULE

.Investments

Stocks, Bonds, and Other Interests(Ownership Interest is Less Than 10 0 /0 )


~ NAME OF· BUSlt'-JESS ENTITY

WESTERN UNION. .


PERSONAL SERVICES-

F ,A J R rv1A~RKET\/ALUE

o $~,OOO - $10,000

o $100,001 - $1,000,000

. fX l $10,001 - $100,000t.: .4

DOver $1 ,000,000

NATURE OF fNVESTf\1ENT

1 8 l Stock

D Other .

(Describe)


_.--if· / 08ACQUIRED

_-..",1/ I 08

DISPOSED

~~AME OF BUSINESS ENTITY

WAL-MART STORES. .

GENERAL DESCRIPTION OF BUS1NESS ACTIVITY

DISCOUNT VARIETY-STORE

FAIR MARKET .VALUE

[8 J $2,000 - $10,000

I I $100,001 - $1,000,000

D$10,001 - $100.000

DOver $1 ,000,000


.IX ) Stock

o Other . , .(Describe)

IF APPL.tCABLE, LIST DATE:

, / / 08_

ACQUIRED

_ I / 08

DISPOSED

.....,-

'N JOEL PATTlZ-

~ NAME OF BUSINESS ENTln-

-GENERAL DESCRIPTION OF B U S tN E S ·~,-·

-FAIR MARKET VALUE. . . . . . - . - - .. - - - . . . .

o $2.000 - $10,000

D$100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


o Stock

[] Other __

(Describe)


----J./_= I 08 ACQUIRED

_--....II I 08

DISPOSED


-GENERAL DESCRIPTION OF BUSINESS ACTIVITY

. 1 . J' d •

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

D $10,001 - $100,000

DOver $1,000,000


o Stock

o Other · - '(Describe)


---.I / 08AC·QUIRED

_---.J1 I 08 DISPOSED

NAME OF BUSINESS EN-TITY

•

GENERAL DESCRIPTION OF BUStNESS ACTIVITY

FAIR MARKET VALUE

o $2,000-$10,000

o $100.001 - S1,OOO,OOO

o $10,001 - $100,000

nOver $1,000,000

if sl

III•

I I •

, I i ,,I I :, !I •I

1' 1 I I, . '

l ! : :. . .

:~·~)'It'

I

~ il\

~ f!'l~ I ) ' " _

" " , "


. .


FAIR MARKET VALUE

D$2,000 - $10,000

o $100,001 - $1,000,000

D $1.0,001 - $100,000

DOver $1,000,000


o Stock

. -•

Orner (Describe)

J r - " R ILE .. LI·ST D·ATE:

_ _ _ _ _ I I 08 _-.4j. I 08 DISPOSED'ii' f J R · ~ E . , . , 1 1

U"L '!. I · ·il .\

- . -III

. . .

FPPC Form 700 (2008/20 09) Schw A-1



SCHEDULE A-1

Investments



NAME OF BUSINESS ENTITY

ISHARES TR S&P


MUNICIPAL BOND FUND

FAIR MARKET VALUE

D52.000 - $10,000

~ $100,001 - 51,000,000

o $10,001 - $100,000

DOver $1,000,000


o Stock

~ Other BOND FUND(DesCribe)

IF APPLICABLE, LIST DATE

---1---1~ACQUIRED

---1---1~DISPOSED


CGM FOCUS


SECTOR SPDR TR SHS BEN INT ENERGY


ENERGY FUND

FAIR MARKET VALUE

0$2,000 - S10,000

o 5100,001 - $1,000,000

~ S10,001 - $100,000

DOver $1,000,000


~ Stock

(Describe)


---1---1~

ACQUIRED

---.!---1~

DISPOSED

CALIFORNIA FORM 700FAIR POunCAL PRACTICES COMMISSION

Name

NORMAN JOEL PATTIZ


NUVEEN TRADEWINDS GLOBAL

GENERAL DESCRIPTION OF BUSiNESS ACTIVITY

WORLD STOCK FUND

FAIR MARKET VALUE

o 52,000 - $10,000

o 5100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


o Stock

~ Other MUTUAL FUND(Describe)


---1---1~ACQUIRED

---1---1~DISPOSED


LARGE BLEND FUND

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

~ $10,001 - $100,000

DOver $1,000,000


o Stock

1 Z J Other MUTUAL FUND(Describe)


---1---1~

ACQUIRED

---1---1~

DISPOSED


IVA WORLDWIDE FUND CL I


FAIRHOLME FUND


WORLD ALLOCATION FUND

FAIR MARKET VALUE

0$2,000 - S10,OOO

o $100,001 - S1,000,000

o $10,001 - 5100,000

DOver 51,000,000

iV.A.IURE OF INVESTMENT

nStccl:

X ::5= ~)


LARGE BLEN FUND

FAIR MARKET VALUE

0$2,000 - 510,000

0$100,001 - 51,000,000

jg] $10,001 - 5100,000

DOver $1,000,000


o Stock

1 Z J Other MUTUAL FUND(DesCribe)


---1---1~

ACQUIRED

---1---.!~

DISPOSED

FPPC Form 700 (2008/2009) Sch. A-1

FPPC Toll-Free Helpline: 866/ASK-FPPC wwwJppc.ca.gov



SCHEDULE A-1

Investments

Stocks, Bonds, and Other Interests (Ownership Interest is Less Than 10%)

Do not attach brokerage or financial statements.NAME OF B USI NE S S E NTI TY

T ARGA RE PARTNERS LP


FAIR MARKET VALUE

o $2,000 - $10,000

$100,001 - Sl,OOO,ooo ~ S10,001 - $100,000

DOver $1,000,000

ATURE OF INVESTMENT

o Stock

Other .!:!MITED PARTNER *

(Describe)

APPLICABLE, LIST DATE:

C A LIFO R N IA FO R M

FAIR POl/TICAL PRACTICES

-NORMAN PA


GPS NEW EQUITY FUND LPGENERAL DESCRIPTION OF BUSINESS ACTIVITY

MANAGED ASSET FUND

FAIR MARKET VALUE

0$2,000 - $10,000

~ $100,001 - $1,000,000

IF APPliCABLE, liST DATE:

--l--l--.!lL

ACQUIRED


MKA GPS LENDING LLC

0$10,001 - S100,000

DOver 51,000,000


o Stock

f2 j Other LIMITED PARTNER-=

(Describe)

MANAGED ASSET FUND

FAIR MARKET VALUE

0$2,000 - 510,000

0$100,001 - 51,000,000

IF APPliCABLE, LIST DATE:

--l--l--.!lLACQUIRED

E OF BUSINESS ENTITY

PS INCOME FUND

F BUSINESS ENTITY

HIGH YIELD EQUITY FUNDDESCRIPTION OF BUSINESS ACTIVITY

GED ASSET FUND

KET VALUE

- $10,000

- $1,000,000o $10,001 - $100,000

~ Over $1,000,000

ERAL DESCRIPTION OF BUSINESS ACTIVITY

NAGED ASSET FUND

MARKET VALUE

,000 - $10,000

00,001 - $1,000,000 o $10,001 - $100.000

DOver $1,000,000

E OF INVESTMENT

tock

ther LIMITED PARTNER *

(Describe)

CABLE, liST DATE:

----I--l--.!lLDISPOSED

GENERAL DESCRIPTION OF BUSiNESS ACTIVITY

~ $10,001 - $100,000

DOver $1,000.000


o Stock

Ig j Other . . 0 MITED PARTNER *

(Describe)

F INVESTMENT

LIMITED PARTNER *-------{:::-De-scri-::-be7') _

~

--l----l--.!lLDISPOSED



FAIR MARKET VALUE

o $2,000 - 510,000

0$100,001 - 51,000,000 0$10,001 - $100,000

DOver $1,000.000


o StOck

o Other

-----------------~(D~e~sc=H~be~)----------- '-

IF APPLICABLE, liST DATE:



SCHEDULE A-1

Investments




ESC CONSECO


CORPORATE BOND

FAIR MARKET VALUE

$2,000 - $10,000

IXi S100,001 - 51,000,000

o $10,001 - S100,000

DOver $1,000,000


o Stock

~ Other FIXED INCOME(Describe)


~~~ ACQUIRED ~~~ DISPOSED

~ NAME OF BUSINESS ENTITY~ NAME OF BUSINESS ENTITY

SOUTHPORT CLO LTD


CORPORATE BOND

FAIR MARKET VALUE

o $2,000 - $10,000

o S100,001 - S1,OOO,Ooo

1 8 1 510,001 - 5100,000

DOver $1,000,000


o Stock

~ Other FIXED INCOME(Describe)


~~~ ACQUIRED

~~~ DISPOSED


Name

NORMAN JOEL PATTIZ



FAIR MARKET VALUE

0$2,000 - $10,000

o S100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000

(Describe)


~~~ ACQUIRED ~~~ DISPOSED


FAIR MARKET VALUE

o S2,000 - $10,000

o S100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000

(Describe)


~----.I~

ACQUIRED

----.I----.I~

DISPOSED

~ NAME OF BUSINESS ENTITY ~ NAME OF BUSINESS ENTITY


FAIR MARKET VALUE

o52,000 - 510,000

0$100,001 - 51,000,000 o$10,001 - $100,000

DOver $1,000,000


o Stock

o Other (Describe)

-----1---1~

::;;S?OS:::O


~,

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000 o$10,001 - S100,000

DOver $1,000,000


o Stock

o Other ----- _

(Describe)


~~~ ACQUIRED

----.I----.I~

DISPOSED

~~_.~.L5; _

FPPC Form 700 (2008/2009) Sch. A-1






SCHEDULE A-1

Investments




PIMCO CALIF MUN INCOME FUND II


NON DIVERSIFIED INVESTMENT CO

FA!R MARKET VALUE

I I S2,OOO - $10,000

o S100,001 - $1,000,000

~ $ 10 ,0 01 - S IO O,O OO

DOver $1.000,000


I X ! Stock

o Other ----------;;:::::::;;;:::::;-------(Describe)

IF'APPLICABLE, LIST DATE:

-.--1 ~....illLACQUIRED

__ I-.--1....illL

DISPOSED


WESTWOOD ONE INCNAME OF BUSINESS ENTITY

PIMCO CALIF MUN INCOME FUND


NON DIVERSIFIED INVESTMENT CO

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

~ 510,001 - S100,OOO

DOver $1,000,000

NATURE OF INVESTMENT~ Stock

o Other ---------::::---.::-::-:-------(Describe)

!F APPLICABLE, LIST DATE:

-.--1~....illLACQUIRED

----1----1....illL

DISPOSED

~ NAME OF BUSINESS ENTITY~ NAME OF BUSINESS ENTITY

S & P 500 DEPOSITORY RECEIPT


INDEX FUND

FAIR MARKET VALUE

o $2,000 - S10,000

!Z l $100,001 - $1,000,000

o $10,001 - $100,000

DOver $1,000,000


~ Stock

LJ Omer ~==~--------(Describe)

_____ f~ ~~....illLCIS?OS:::D

CALIF ORNIA FORM 700FAIR POUnCAL PRACTICES COMMISSION

Name

NORMAN PATTl


VANGUARD EMERGING MKTS VIPERS


INDEX FUND

FAIR MARKET VALUE

o $2,000 - $10,000

0$100,001 - $1,000,000

I X l $10,001 - $100,000

DOver 51,000,000


~ Stock

o Other ------------:::--::-:-----------(Describe)


-.--1-.--1~ DISPOSED


RADIO BROADCASTING

FAIR MARKET VALUE

o 52,000 - $10,000

05100,001 - $1,000,000

I X l $10,001 - 5100,000

DOver $1,000,000


I X l Stock

o Other --------------::::---.::-::-:---------(Describe)


~~....illLACQUIRED

-.--1-.--1....illLDISPOSED


FAIR MARKET VALUE

0$2,000 - $10,000

0$100,001 - $1,000,000

0$10,001 - $100,000

Dover $1,000,000


o Stock

o Other ------------------(Describe)


~----1....illL

ACQUIRED

-.--1-.--1....illL

DISPOSED

~~~~: ---------------------------------------------------~--------

FPPC Form 700 (2008/2009) Sch



SCHEDULE A-1

Investments




INTEL CORP


FAIR MARKET VALUE

U$2,000 - $10,000

nS100,001 - 51,000,000

o $10,001 - $100,000

DOver $1,000,000


!Xi Stock

(Describe)


~~~1 ~~~ACQUIRED DISPOSED


Name

NORMAN JOEL PATTIZ



FAIR MARKET VALUE

0$2,000 - $10,000

o $100,001 - $1,000,000

0$10,001 - $100,000

DOver 51,000,000


o Stock

o Other -- _

(DeSCribe)


-..-J-..-J~ACQUIRED

-..-J-..-J~DISPOSED


INTEL GAME TECHNOLOGY



FAIR MARKET VALUE

D $2,000 - 510,000

0$100,001 - $1,000,000

D $10,001 - S100,000

DOver $1,000,000


~ Stock

o O~er __

(Describe)


~~t:1f:a1 ~~~ ACQUIRED DISPOSED


FAIR MARKET VALUE

D $2,000 - $10,000

o $100,001 - $1,000,000

D $10,001 - $100,000

DOver $1,000,000


oStock

D Other-- _

(Describe)


-..-J-..-J.§LACQUIRED

-..-J-..-J~DISPOSED


PEPSICO



FAIR MARKET VALUE

D $2,000 - $10,000

D S100,001 - 51,000,000

D $10,001 - $100,000

DOver $1,000,000

,\lATURE OF INVESTMENT

~ Stock

[ J O~er ~-~-------_

(DeSCribe)

r;:'.??UCABL::.US, JATE:

~O ____ ' .!m _:!J_LE...i.§L

J!SPOS::D


FAIR MARKET VALUE

D $2,000 - $10,000

D $100,001 - $1,000,000

D $10,001 - $100,000

DOver $1,000,000


D Stock

D Other ------------- ~-----------(Describe)


-..-J-..-J.§L

ACQUIRED

-..-J-..-J~DISPOSED

FPPC Form 700 (2008/2009) Sch. A-1

FPPC T ll F H l li /ASK FPPC f





SCHEDULE A-1

Investments




ABERCROMBIE & FITCHGENERAL DESCRIPTION OF BUSINESS ACTIVITY

CLOTHING RETAILER

FAIR MARKET VALUE

0$2,000 - $10,000

nS100,001 - 81,000,000

~ S10,001 - $100,000

DOver $1,000,000


I X ! Stock

U Other ---------::::-:-:::::;:-::-;-------(Describe)


IO r'?

~ /~ {i'S" ~~~

ACQUIRED DISPOSED

CALIFORNIA FORM 700FAIR POUTICAL PRACTICES COMMISSION'

Name

NORMAN JOEL PATTIZ


FLUOR CORPGENERAL DESCRIPTION OF BUSINESS ACTIVITY

CONSTRUCTION

FAIR MARKET VALUE

o 82,000 - $'10,000

o $100,001 - $1,000,000

~ $10,001 - $100,000

DOver $1,000,000


~ Stock

o Other ------- _

(Describe)


~~-..mLACQUIRED

~~~ DISPOSED


ACE LIMITED


MARRIOTT INTL


FINANCIAL

FAIR MARKET VALUE

o $2,000 - $10,000

0$100,001 - $1,000,000

~ $10,001 - $100,000

DOver $1,000,000


~ Stock



0 ' 1VI(V/~

ACQUIRED

~~~ DISPOSED


LODGING

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

~ 510,001 - $100.000

DOver $1,000,000


~ Stock

D Other (Describe)


0 ' 7 J 2 5 .J (V/ ,-98'- J. .2 . . .J~~

ACQUIRED DISPOSED


AIR PRODUCTS & CHEMICALS


CHEMICALS

FAIR MARKET VALUE

o $2,000 -510,000

o $100,001 - 51,000.000

~ 510,001 - $100,000

DOver $1,000,000

N.t\TURE OF INVESTMENT

~ Stock

o Other (Describe)

~!~~

OlS?DS=~


MEMC ELECTRONICS


SEMI-CONDUCTOR MFG

FXlR MARKET VALUE

~ $2,000 - $10,000

o $100,001 - $1,000,000

0810,001 - $100,000

DOver $1,000,000


~ Stock

o Other -'-----------------(Describe)

IF APPLICABLE. liST DATE:

L-) ~~/ (> 9" ~~ ~ACQUIRED DISPOSED



SCHEDULE A-1

Investments




TRANSOCEAN INC


OIL AND GAS DRILLING

FAIR MARKET VALUE

oS2,000 - 510,000

nS100,001 - S1,000,000

o 510,001 - $100,000

DOver 51,000,000


!X i Steck

(Describe)


~I.l7.,'L~ ACQUIRED

~~~ DISPOSED


GOODRICH CORP


WESTERN UNION


PERSONAL SERVICES

FAIR MARKET VALUE

! X I 82,000 - $10,000

o $100,001 - 51,000,000

o $10,001 - S100,000

DOver $1,000,000


IX ] Stock

o Other (Describe)

IF APPLICABLE, lIQ,T DATE:

L/1/ I j_~ ~~~ACQUIRED DISPOSED

I

CALIFORNIA FORM 700FAIR POLITICAL PRACTICES COMMISSION

Name

NORMAN JOAL PATTIZ


CISCO SYSTEMS


NETWORKING AND COMMUNICATION

FAIR MARKET VALUE

0$2,000 - 510,000

o 5100,001 - $1,000,000

I X I 510,001 - $100,000

DOver 51,000,000


~ Stock

o Other - --:::- _

(Describe)

IF APPLICABLE,}I~T DATE:

~7ACQUIRED

~~~ DISPOSED


INDUCTRIAL GOODS

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

~ $10,001 - S100,000

DOver $1,000,000


1 8 1 Stock

o Other (Describe)


~Z-f/...QLACQUIRED

~~~ DISPOSED


SPX CORP


EXELON CORP


APPLIANCES

FAIR MARKET VALUE

o $2,000 - S10,000

o S100,001 - $1,000,000

I X I 510,001 - $100,000

DOver $1,000,000


~ Stock

(DeScribe)

~ 08 r...QL~IS?OSEO


UTILITIES

FAIR MARKET VALUEo 52,000 - $10,000

o S100,001 - $1,000,000

1 8 1 510,001 - 5100,000

DOver S1,000,000


~ Stock

o Other (Describe)


Jj~c:i ACQUIRED

~~~ DISPOSED

FPPC Form 700 (2008/2009) Sch. A-1






SCHEDULE A-1

Investments




PNC FINANCIAL

FINANCIAL


FAIR MARKET VALUE

052,000 - $10,000

0$100,001 - 51,000,000


!Xi' Stock

~ 510,001 - S100,000

DOver $1,000,000

o Other (Describe)

IF APPLICABLE, LIST Dp,TE:

fJ 1 ] ,£ : 1

~ ...::-. J ..J ~ ACQUIRED ~~~ DISPOSED


Name

NORMAN JOEL PATTZ


AMERICA MOVIL


WIRELESS COMMUNICATIONS

FAIR MARKET VALUE

o S2,000 - $10,000

o S100,001 - $1,000,000

~ $10,001 - $100,000

DOver $1,000,000


~ Stock


IF APPLICABLE, LIST DATE:. _ -'r

~ p,: I "0 ...1

ACQUIRED ~~~ DISPOSED


TORCH MARK CORP

LIFE INSURANCE


FAIR MARKET VALUE

0$2,000 - $10,000

0$100,001 - $1,000,000


!X l Stock

~ $10,001 - $100,000

DOver S1,000,000

o Other ------------------


Lt/l/~ACQUIRED

(Describe)

.J.2..J~~DISPOSED


CHEVRON CORP


OIL AND GAS

FAIR MARKET VALUE

0$2,000 - $10,000

0$100,001 - $1,000,000

IZ l $10,001 - $100,000

DOver $1,000,000


IZ l Stock

o Other ------------------(Describe)

IF AP~lICABLE, .•L~ST DATE:

~.1.!i; ~8 ~~~ ACQUIRED DISPOSED


XILINX

SEMICONDUCTORS


FAIR MARKET VALUE

0$2,000 - $10,000

0$100,001 - S1,000,000


lZ i Stock

~ $10,001 - $100,000

DOver 51,000,000

: A..=:?~3L:::. l;ST DATE:

o Other (DesCribe)

> 1 ,./ 14 :Qr --_._-

.:::::. .....~=::!

.J.Q..;~~DIS?OSED


EXXON MOBIL


OJI..,ANDGAS

FAIR MARKET VALUE

o 52,000 - $10,000

05100,001 - $1,000,000

! Z I $10,001 - $100,000

DOver S1,000,000


~ Stock



07 _ 1 : :. . . /Z - I(~

ACQUIRED

~~~ DISPOSED

FPPC Form 700 (2008/2009) Sch. A-






SCHEDULE A-1

Investments




EXPRESS SCRIPTS


MANAGEMENT SERVICES

FAIR MARKET VALUE

o S2,000 - $10,000

o S100,001 - 51,000,000

~ $10,001 - 5100,000

DOver $1,000,000


Xi Stock

o Other (Describe)

F APPLICABLE, liST DATE:

07

L~~ACQUIRED~~~

DISPOSED

CALIFORNIA FORM 700FAIR POUnCAl PRACTICES COMMISSIO

Name

NORMAN JOEL PATIIZ

~ NAME OF BUSINESS i::NTITY

ORACLE CORP


APPLICATION SOFTWARE

FAIR MARKET VALUE

o $2,000 - $10,(WO

o 5100,001 - $1,000,000

igj 510,001 - $100,000

DOver 51,000,000

NATURE OF iNVESTMENT

~ Stock

o Other (Describe)


_L-1-iJ p ; ~ ~ ~ ACQUIRED DISPOSED


NEWS CORP

NAME OF BUSINESS i::NTITY

FIRSTENERGY


UTILITIES

AIR MARKET VALUE

$2,000 - $10,000

o S100,001 - $1,000,000

I 2 : $ l 510,001 - $100,000

DOver 51,000,000

ATURE OF INVESTMi::NT

Stock

o Other (DeSCribe)

F APPLICABLE, LIST DATE:

., _ <1/ ~QI>

ACQUIRED

~~~ DISPOSED


ENTERTAINMENT SERVICES

FAIR MARKET VALUi::

o $2,000 - $10,000

o $100,001 - $1,000,000

~ $10,001 - 5100,000

DOver $1,000,000


Igj Stock

o Other (Describe)

IF APPLICABLE, L1;;T DATE:

3-·r a~~ ~~-'-

ACQUIRED~~~

DISPOSED

AME OF BUSINESS ENTITY

GENERAL CABLE~ NAME OF BUSINESS ENTITY

THERMO FISHERENERAL DESCRIPTION OF BUSINESS ACTIVITY

NDUSTRY ELECTRICAL

AIR MARKET VALUE

j $2,000 - $10,000

o $100,001 - $1,000,000

o $10,001 - 5100,000

DOver $1,000,000

ATURE OF iNVESTMENT

Stock

(Describe)

10/~~

---==S?GS:::J


SCIENTIC AND TECHNICAL EQUIPMENT

FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

IZ l $10,001 - $100,000

DOver $1,000,000


1 8 I Stock

o Other - ::-- _

(Describe)

IF APfLiCABLE, ~!ST DATE

~ I& t_-d _r ~~~ACQUIRED DISPOSED

~~\...1. II,\:YL.vll\"lIC.lliT



SCHEDULE A-1

Investments




EMERSON ELECTRIC


INDUSTRIAL EQUIPMENT

FAIR MARKET VALUE

o 82,000 - $10,000

o $100,001 - S1,000,000

I X i S10,001 - $100,000

DOver $1,000,000


I X i Stock

(Describe)


-a? ~~~ .J.Q..;..Q§0...illL

ACQUIRED DISPOSED


Name

NORMAN JOEL PATTZ


CVS CAREMARK


DRUG STORES

FAIR MARKET VALUE

0$2,000 - S10,000

o 8100,001 - 81,000,000

~ S10,00'1- $100,000

DOver $1,000,000


I X i Stock

o Other (Describe)


,...----- 07~~~ .J.Q..;.2G~

ACQUIRED DISPOSED


NORTHERN TRUST


GENERAL MILLS


FINANCIAL

FAIR MARKET VALUE

o $2,000 - $10,000

o 8100,001 - $1,000,000

o $10,001 - S100,000

DOver $1,000,000


~ Stock

(Describe)


07

~.!2J~ ACQUIRED

~~...illLDISPOSED


CONSUMER GO.ODS

FAIR MARKET VALUE

o $2,000 - $10,000

0$100,001 - $1,000,000

I X i $10,001 - $100,000

DOver $1,000,000


I X ! Stock

o Other (Describe)


.. 07 . - ! : : : . . J l: . . i. J ,Q8

ACQUIRED

~~...illLDISPOSED


FOREST LABS


GENZYME CORP


DRUG MFG

FAIR MARKET VALUE

~ $2,000 - S10,000

o 5100,001 - 51,000,000

0$10,001 - $100,000

DOver $1,000,000


I X ! Stock

n Other (Describe)

IF A??UCABL'::. liS-:- DAT':::

~ , , , , , , ? ~~~...illL

DiSPOSED

s VESTMENT

FPPC Form 700 (2008/2009) Sch. A-1FPPC Toll-Free Helpline: 866/ASK-FPPC www.fppc.ca.gov

H.B


BfOTECH

FAIR MARKET VALUE

o82,000 - $10,000

o S100,001 - 51,000,000

~ $10,001 - $100,000

DOver 81,000,000


I Z I Stock

o Other --------~-,-------(Describe)


~(:r;~7 ~~~

ACQUIRED DISPOSED





SCHEDULE A-1

Investments




MEDTRONIC INC


MEDICAL APPLIANCES

FAIR MARKET VALUE

n$2.000 - 510,000

i 1$100,001 - $1.000,000

~ $10,001 - 5100,000

DOver 51,000,000


!Xl Stock

n Other (Describe)


2/"2.0 /~ ~~~

ACQUIRED DISPOSED

CALIFORNIA FORM 700. FAIR POLITICAL PRACTICES COMMISSION

Name

NORMAN JOEL PATTIZ


PROCTOR AND GAMBLE


CONSUMER GOODS

FAIR MARKET VALUE

0$2,000 - $10,000

o 5100,001 - 51,000,000

Igj $10,001 - $100,000

DOver 51,000,000


~ Stock

o Other ------------------(Describe)

IF APPLICABLE, LIST. DATE:

->-~~llL; ~ 7'ACQUIRED

~~~ DISPOSED


MERCK& CO



DRUG MFG

FAIR MARKET VALUE

o 52,000 - $10,000

0$100,001 - 51,000,000

~ $10,001 - $100,000

DOver $1,000,000


~ Stock

o Other ------------------(Describe)


C-- 07

~~~ ACQUIRED

J_l.J __~~DISPOSED


FAIR MARKET VALUE

o $2,000 - $10,000

o $100,001 - $1,000,000

0$10,001 - $100,000

DOver $1,000,000


o Stock

o Other ---------::::--::-c------(Describe)


.----J.----J ~

ACQUIRED

.----J.----J ~

DISPOSED


PEPSICO


CONSUMER GOODS

FAIR MARKET VALUE

o 52,000 - 510,000

o $100,001 - 51,000,000

[g J 510,001 - $100,000

Dover $1,000,000


~ Stock

I i Other {Des::nbe}

o< I { ~



FAIR MARKET VALUE

o 52,000 - 510,000

o $100,001 - $1,000,000

0$10,001 - 5100,000

DOver $1,000,000


o Stock



.----J.----J~

ACQUIRED

.----J.----J . . . . . i l l L .DISPOSED

~~ s.~ OF I"'VESTMENT

FPPC Form 700 (2008/2009) Sch. A

FPPC Toll-Free Helpline: 866/ASK-FPPC www-Fppc.ca.go



SCHEDULECIncome, Loans, & Business

Positions

(Other than Gifts and Travel Payments)


Name

NORMAN JOEL PATTIZ

NAME OF SOURCE OF INCOME

1. INCOMERECEIVED ~·1.INCOME RECEIVED

NAME OF SOURCE OF INCOME

WESTWOOD ONE

ADDRESS

8965 LlNDBLADE ST, CULVER CITY, CA 90232

3US!NESS ACTIVITY, IF ANY, OF SOURCE

RADIO BROADCASTING

YOUR BUSINESS POSITION

CHAIRMAN OF THE BOARD

GROSS INCOME RECEIVED

I i S500 • 51,000 0 $1,001 - $10,000

0510,001 - $100,000 ~ OVER $100,000

CONSIDERATION FOR WHICH INCOME WAS RECEIVED~ S al ary 0Spouse's or registered domestic partner's income

o Loan repayment

o Sale of(Properry, car, boat. etc.)

o Commission or 0Rental Income, lis[ each source of 510,000 or more

o Other (Describe)

NORMAN PATTIZ 1996 CHARITABLE TRUST

ADDRESS

21731 VENTURA BLVD #300, WOODLAND HILLS

BUSINESS ACTIVITY, IF ANY, OF SOURCE

YOUR BUSINESS POSITION

TRUSTEE

GROSS INCOME RECEIVED

0$500 - $1,000 0 $1,001 - $10,000

~ $10,001 - $100,000 0 OVER $100,000

CONSIDERATION FOR WHICH INCOME WAS RECEIVED

o Salary 0Spouse's or registered domestic partner's income

o Loan repayment

o Sale of(Property. car boar. etc)

o Commission or D Rental Income, list eech source of $10,000 or more

~ Other TRUST DISTRIBUTION(Describe)

~ 2. LOANSRECEIVEDOR OUTSTANDING:DURINGTHE,REPORTINGPERIOD'

* You are not required to report loans from commercial lending institutions, or any indebtedness created as part

of a retail installment or credit card transaction, made in the lender's regular course of business on termsavailable to members of the public without regard to your official status. Personal loans and loans received

not in a lender's regular course of business must be disclosed as follows:

NAME OF LENDER'

ADDRESS

BUSINESS ACTiVITY, IF ANY, OF LENDER

HIGHEST BALANCE DURING REPORTING PERIOD

o 5500 - $1,000

o $1,001 - $10.000

o $10,001 - $100,000

DOVER 5100,000

INTEREST RATE TERM (MonthslYears)

_____ % 0None

SECURITY FOR LOAN

o Personal residence

o Real Property Street address

City

o Guarantor ---------------------

o Other (Describe)

Comments:

uc regent - pattiz - financial disclosure

Documents