Claudia Wilken Financial Disclosure Report for 2010

8/3/2019 Claudia Wilken Financial Disclosure Report for 2010

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AO IO

Rev . 1 /2011

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government A ct ofl978(5 U .S.C. app. .6ff 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l )

WILK EN , CLA U D IA

4 . T i t l e (A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magis t r a te judges ind ica te fu l l - o r pan- t ime)

US DISTRICT JUDGE, ACTIVE

7 . C h a m b e r s o r O f f i ce A d d r e s s

1301 CLAY STREET

OAKLAND, CA 94612

2 . C o u r t o r O r g a n i z a t io n

U S D C F O R T H E N O D I S T O F C A L I F

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

05/15/201 I

5a. Repor~ Type (check appropriate Ope)

] N o m i n a t i o n , Da te

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance

,~ith applicable laws and regulations.

6. Reporting Period

01/01/2010

to

1 2 / 3 1 / 2 0 1 0

R e v i e v , i n g O f f ic e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete a/l parts,

checking the NONE box for ea ch part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . m e v o r t i . # individual only; seepp. 9-13 of fi ling instructions.)

D (No rep ortable posi t ions.)O NE

POSITION

1 . TR U S TE E TRUST #3

2. TR U S TE E TR U S T # 4

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)

NONE (No reportable agreements.)

D A T E

1.

2.

3.

PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

Page 2 of 7

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

WILKEN, CLAUDIA

I I I . N O N - I N V E S T M E N T I N C O M E . ( ne~o,a .g indi , ’ i d ,a l ond spo ,se : see pp . 17 -24 of filing instructions.)

- A. Flier’s Non-Investment Income

~] NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE

2.

3.

4.

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

05/15/201 I

INCOME

(yours, not spouse’s)

B . S p o u s e ’ s N o n - In v e s tm e n t I n c o m e - l f ~ , o u w e r e m a r r i e d d m q n g a n y p o r t i o n o f t h e r e p o r t i n g y e a r , c o m p l e t e t hi s s e c t i o n .

(Dollar amount not required except for honoraria.)

[-~ NO NE (No reportable income.)on-investment

D A T E SOURCE AND TYPE

I . 2010 S A L A R Y F R O M G O V E R N M E N T E M P L O Y M E N T

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.

(Includes those to spouse and dependent children; see pp. 2 5-27 of filing instructions.)

D (No reportable reimbursements . )O NE

S O U R C E _

3,

4.

5.

STATE BAR OFCALIFORNIA

DATES LOCATION PURPOSE

2 /19 /10 -2 /21 / 10 Y OSEM tT E , CA EDUCAT I ON

ITEMS PAID OR PROVIDED

M E A L S A N D L O D G I N G




P a g e 3 o f 7

Name of Person Repor t ing

\ V IL K E N , C L A U D I A

Date o f Repor t

05/15/201 !

V . G I F T S . a , c l u d ~ , h o ~ e , o ~ p o , s , a , , d , r e n , e n t c l , i l d , o n : s e , r ’ . 2 S - 3 1 o l f i l in g instructionsO

N O N E (No reporta ble gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n ~ l u d ~ th o s e o / ~ , o u s ~ a n ~ d e , ~ n ~ n , ~ h i ld r e n ; see p p . 3 2 - 3 3 o f f il i n g i n s tr u c t i o n & )

N O N E (No repo rtable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

V A L U E C O D E




Page 4 of 7

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

WILKEN, CLAUDIA


05/15/201 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 .c o ~ e . ~ o l ~ e , ,, ~ ,~ o a ~ o , ~ a n c l ~ d e $ , h o s e o l sp o . s e a n ~ ~ e p e n d o n , children; s e e p p ~ 3 4 - 6 0 of f i l ing ins truct ions)

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

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n 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 ~ r i o d

(1) (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 1 d i v . , r e n t ,(A-tl) o r i n L )

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

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

(0 (2)Value Value

C o d e 2 M e t ho d

( J -P) C o d e 3

(1 )T y p e ( e . g .,

b u y , s e l l,

r e d e m p t i o n )

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

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

D a t e V a lue Gain I d e n t i t y o f

m m / d d ~ Code 2 Code I bu yer/se lle r

( 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. Wel l s Fargo Bank accoun t s A Interes t J

2. Schwab US Tsy Money Fd A Div idend J

3. Schwab CA Muni Money Fd A Div idend K

4. IRA # I : Wel l s Fargo Advan t ag e Govt A D iv i d e nd J

5. IRA #1 : F ide l i ty Equi ty Income Fd A Div idend K

6. IRA #1 : Drey fus In te r na t iona l S tock Index A D iv i d e nd JFd

7. IRA #I : Dr ey fus Smal l Cap S toc k Index Fd A Div idend J

8. IRA #2: Schwab US Tsy Money Fd A Div idend J

9. I RA # 2 : Sch w ab V a l u e A d v an t ag e F d A Div idend L

1 0 . I RA # 2 : D o d g e & C o x I n co me F d B Div idend K

1 1 . IRA #2: Drey fus In te r na t iona l S tock Index B Div idend LFd

1 2 . IRA #2: J anus Fund A Div idend J

T

T

T

T

T

T

T

T

T

T

T

T

1 3 . IRA #2 : Vanguard 500 Index Fd B Div idend L

1 4 . IRA #2 : Wel l s Fargo Advan t age G ovt Sec C D iv i d e nd M

1 5 . IRA #2: I sha r es Tr Rus se l l 2000 A Div idend K

1 6 . IRA #2: I sha r es S&P Midcap Index Fd A D iv i d e nd K

1 7 . IRA #3 : Schwab Depos i t Account A Interes t K

T

T

T

T

T Open 03/31/10

I . I ncome Ga in Codes : A = $1.000 o r less B =$1.001 - $2,500 C =$2.501 - $5 , 000 D =$5.001 - $I 5.000

(See Co lumns BI and D4 ) F =$50.0~1 - $100,000 G =$100,001 - $1.000.000 Il l =$1.000.0~1 - $ 5,0(~.000 112 =More than $5.090.000

2. Value Codes J =$15.000 or less K = $ 1 5 . 1 3 ( 1 1 - $ 5 0 . 0 0 0 L = $ 5 0 . 0 0 1 - $ 1 0 0 . 1 3 0 0 M =$10~.001 - $250,000

( S e e Co l u m ~ CI a n d D3 ) N $250.0~1 - $500.000 O =$ 50 0.0 01 . $ 1.0 00 .0 00 P I = $1 ,0 00 .0 01 - $ 5,0 00 .0 ~0 P2 =$5.000.001 - $25,000.000

P3 =$25.000.001 - $50.000.000 P4 =More than

3. Value l ’4ethod Codes Q = Ap p ra i sa l R ~os t (Rea l Es t a t e On ly) S = Assessm,"~t T ~h Market

(See Column C2) U =Book Va lue V =O the r W =Es t ima t ed

E $15 ,001-$50,000




Page 5 of 7

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

WILK EN, CLAUDIA


05/15/201 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 , c o m e , v a lu e , ~ a , ~ a c t lo ,~ a n c ~ u d e ~ t h o s , o / s p a u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing instruction~)

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

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

( in c lud ing t ru s t a s se t s ) repo r t ing i~r iod

0) (2)Place "(X)" after each asset [ A m o u n t T yp ~ ( 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 iv . , r en t ,[ (A-H) o r in t . )

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

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

O) (2)

V a lu e V a lu e

C o d e 2 M e th o d

( ,LP) 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)

Type (e .g . , Date Va lue Ga in

buy , s e l l , m~’dd/yy C o d e 2 C o d e I

r e d e m p t i o n ) (J-P) (A-ll)

(5 )I d e n t i t y o f

buye r / s e l le r

( i f p r i v a t e

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

1 8 .

20 .

21 .

22 .

23 .

Schwab Value Advantage Fd

Schwab US Tsy M oney Fd

Trust #3: Schwab 529 Aggressive

Trust #4: Schwab 529 M oderate

Trust #4: Schwab 529 M oderate

A Dividend

A Dividend

None

None

None

J

J

J

Closed

C l o s e d

T B uy

(add’ l )

T B uy

(add’ l )

T Bu y

( a d d ’ l )

07/26/10 K

07/26/10 J

01/25/10 J

01 /25 /10 J

04/07/10 J

I. I n co me Ga i n Co d e s :

( s e e C o l u m n s B I a n d D 4 )

2. Valt~ Codc~

(See Co lumns CI and D3)

3. Va lu e Me tho d Co d e s

ISce Co lumn C2 )

A =$1.000 or less

F =$50.001 - $100,000

J =$15.000 o~ less

N =$250.001 -

P 3 = $ 2 5 . 0 O O . 0 0 1 - $50.000.000

Q = Ap p ra i sa l

U =Book Va lue

B =$1,001 - $2.500

G = $ 1 0 0 , 0 O I - $ 1 .0 ~ 0 . 0 0 0

K =$15.001 - S 5 0 . 0 0 0

O=$500.001 - $1.000.000

R =CoS~ (Real Estate Only)

V =O~h e r

C - $ 2 , 5 0 1 -

I11 =$1.000.001 - $5.000.000

L =$ 50 .0~1 -

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

P4 ~M or e t hz n $ 50 .00~.000

W = E s t im a t e d

D =$5.001 - $15.000

112 =More than $5.0~0.000

l’,t =$1t~.001 - $250.000

P2 -$5.000.0OI - $ 2 5 . 0 0 0 . 0 0 ( I

T - C a s h M a r k c ~

E =$ 15 .001 - $ 50 .000




Page 6 o f 7


W I L K E N , C L A U D I A


05/15/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.




Page 7 of 7


\ V I L K E N , C L A U D I A

Date of Report

05/15/2011

IX. CE RTIFICATION.

I c e r ti f y t h a t a l l in f o r m a t i o n g i v e n a b ove ( i n c l u d i ng 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 spo u s e a nd m i no r o r d e p e nd e n t c h i l d r e n , if a ny ) i sa c c u r a t e , t ru e , a nd c om p l e t e t o th e b e s t o f m y k no w l e dg e a nd b e l i e f , a nd t h a t a ny i n f o r m a t i o n no t r e po 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 pp l i c a b l e s t a t u t o r yp r ov i s i o n s p e r m i t t i n g n on - d i s c l o su r e .

i f u r th 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 ncom pl i ance w i t h t h e p r ov i s i ons o f 5 U.S .C . app . § 501 e t . s eq . , 5 U.S .C . § 7353, and Jud i c i a l Conf e r enc e r egu l a t i on s .

Signature: S] C L A U D I A W I L K E N

NO TE : ANY I NDI VI DUAL W HO KNO W I NGL Y AN D W I L FUL L Y FAL S IFI E S O R FAL L S TO FI L E THI S R E PO R T M AY B E S UBJE C T TO C I VI LAND CRIMINAL SANC TIONS (5 U.S.C. app . § 104 )

C o m m i tt e e o n F in a n c i a l D i s c lo s u r eA d m i n i s tr a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t s

S u i t e 2 - 3 0 1

One Columbus Circle, N.E.

W a s h i n g t o n , D . C . 2 0 5 4 4

Claudia Wilken Financial Disclosure Report for 2010

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