Cormac J Carney Financial Disclosure Report for 2010

8/3/2019 Cormac J Carney Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required @ the Ethicsin Governmen t Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)C a r n e y , C o r m a c J .

4. Ti t l e (Ar t ic le III judges indica te act ive or senior s t a tus ;magis t ra te judges indicate fu l l - or par t - t ime)

U.S. Di s t r i c t Judge - Act ive

7. Chamber s or O f f ic e Addr es sR o n a l d R e a g a n F e d e r a l B u i l d i n g41 1 W es t Four th St ree tSanta And , Ca l i fo rn i a 92701 -451

2. Cour t o r O r ganiza t ionDis t r i c t Cour t - Cent ra l Di s t r i c t o f Ca l i fo rn i a

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the hasis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in ompllan tewith appl icable l aws and regula t ions .

3. Date of R e p o r t04/21/2011

6. Report ing Pe riod01/01/2010

to12/31/2010

Reviewing Of f icer Date

IMPORTANT NOTES: The instruct ions accom panying this form m ust be followed. Com plete al l parts,checking the NONE box for each part where you have n o reportable informatior~ Sign on last page.

I . P O S I T I O N S . m e ~ , o n l n g individual only; see pp. 9-1 3 of f .cling instructions.)---] N O N E (No reportable positions.)

P O S I T I O N1. Deans Council

NAME OF ORGANLZATION/ENTITYC h a p ma n L a w S c h o o l

3.

4.5.

I I . A G R E E M E N T S . m e p o m n g i n d i v id u a l o . l y ; s ~ p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 10

N a m e o f P e r s o n R e p o r t in gCarney, Cormac J .

D a t e o f R e p o r t04/21/2011

I I I . N O N - I N V E S T M E N T I N C O M E . mepor, i.g indiv idual andspouse; seep p. 17-24 of f i ling instruct ions. )A. Fliers Non-Investment Incom e~ (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.3.4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - ln v e s tm e n t I n c o m e - i f you were m arried during any por t ion of the report ing year, complete this sect ion.(Dollar a m o u n t not required except for honoraria.)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n L(Includes those to spouse a nd depend ent children; see pp. 25-27 of filing instructions.)~-] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATIONAmer ican Bar As s ocia t i on A pril 21-23, 2010 N ew Yo rk , N ew Yo rkA m er ican Ba r A sso cia tio n A ug ust 6 -10 , 2010 S an Fran cis co , C A

P U R P O S ES p e a k e rS p e a k e r

ITEMS PAID OR PROVIDEDT ra nspo r t a t ion , M e a l s , H o t e lT ra nspo r t a t ion , M e a l s , H o t e l


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FINANCIAL DISCLOSURE REPORTP 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 in gCarney, Cormac J .

D a t e o f R e p o r t04/21/2011

V . G I F T S . a n c i u d e s those to spo ..... d dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o repo rtable gif ts .)

SOURCE DESCRIPTION1 .2.3.

4.5.

VALUE

V I . L I A B I L I T I E S . a n d u d e s those of spouse and dependent children; seepp. 32-33 of filing instructions.)N O N E ( No repo rtable l iabil i t ies .)

CREDITOR DESCRIPTIONI.

2.3.4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t in gCarney , Cormac J .

D a t e o f R e p o r t04/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.come, value, transactions (Includes those of spouse a.d dependent children; see pp. 34-60 of filing instructions.)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 l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt f rom pr io r d i sc losu re

1. W ells Fargo Bank Accounts2. W ells Fargo Bank Account (Y)3. W ells Fargo CD (Y)4. Hom e Savings CD5. Ho me Savings Account6. Vanguard W ell ington Fund

7. Vanguard Health Fund8. Janus Twenty Fund9. Columbia Strategic Investor Fund

1 0 . Janus Glob al Technology1 1 . American Century- Ultra

1 2 . County Deferred Comp. Plan - Stable ValueFund1 3 . IRA Brokerage

1 4 . -Schwab Tota l Bond Fund - SWLBX

1 5 . -Schwab Mone y Ma rke t Fund1 6 . - C O S T1 7 . -C lipper Fun d C F I M X

Income dt~ng G r o s s v a l u e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(i) (2) (~ ) (Z) , ..... ~ - (~) (3 )Amount Type (e.g.. V a l u e Va l u e ]Zy p e (e .g ., D a t e ValueC o d e 1 d i v ., r e n t , C o d e 2 M e t h o d b u y , s e l l , mm/dd/yy C o d e 2( A - H ) or i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) O - P )( Q - W )

A In te re st K T

A In te re st K T

A In te re st K T

A D i v i d e n d K T

A D i v i d e n d J T

A D i v i d e n d L T

A D i v i d e n d K T

N o n e J TA D i v i d e n d K T

A D i v i d e n d J T

D D i v i d e n d N T

f 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

(4 ) (5)Gain Id e nti~ o f

C ode 1 buyer/se l le r(A-H) (if private

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

1, i nc ome G ain c odes ! A=$1 ~000 or less B =$1,001 - $2,500(Se~ Colur~ms BI ahd I)4) F ~$50,001 - $100,000 G =$100;001 = $1,0001000

2. Value Codes J = $ 15,000 o r le ss K = $15,001 - $ 50,000( S e e C o l u m n s C I a n d D 3 ) N =$ 250,001 - $ 500,000 O =$ 500,001 - $ 1,000,000

P3 =$25,000,001 - $50,000,0003. Va lue M eth o d C o d es Q = A p praisa l R = C o s t ( Rea l E s t a t e O n l y )( See Column C2 ) U =Book Value V =O ther

--$21501 - $5,000 D =$5,001 - $15,000~ = $ J , o 0 o ; o 0 i = $ 5 i 0 o 0 ; 0 o 0 n 2 = M o r e th a . $ ~ , o o o , o o oL =$50 00!- $100 000 : M --$100~001, $250 000P1 =$t,000;001 ~ $5~000fl00 P2 =$ 5;000,001 - $25,000,000P 4 = M o r e t h an $ 50 , 000 , 000

=A s s es s ~eht T =CaSh Mar k etW =Es t imated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gCarney, Cormac J.

Date of Report04/21/2011

VII. INVESTM ENTS and TRUSTS - i .... e , value, t r a n s a c a o . s (Includes those of spouse and d e p e n ~ e m c h i l d r e n ; s e e p p . 3 4 - 6 0 o f fi l in g i n s t r u c t i o n s . )~ NONE income, assets, or transactions.)N o reportable


Place "(X)" after each asselexempt from prior disclosure

1 8 . -H D1 9 . - M R K

20 . - B R K B21. -TGT22. -P & G23 . - Me r i d i a n Growt h Fund- MERDX24 . - S c h w a b 1 0 0 0 In d e x F u n d - S N X S X25 . - S c h w a b I n tl I n d e x F u n d - S W 1 N X26 . -Tweedy Browne Globa l Va lue Fund -TBGVX27 . - V a n g u a r d S m a l l C a p In d e x F u n d - N A E S X2 8 . 4 0 1 ( k )29 . - D a v i s N V e n t u r e - N Y V R X30 . - J P M o r g a n S m a r t R e t ir e m e n t 2 0 2 0 S e l e c t31 . B r o k e r a g e A c c o u n t32 . - A m e r i c an F u n d s - B a l a n c e d

33 . -Capi t a l Income Bldr FD - CIBCX34 . - A m e r i ca n Funds Growt h Fund

B. C. D.Inco m e during Gro ss value a t e n d Transact ions dur ng repor t ing per iod

report ng period of reporting period(1) (2 ) (1) (2) (1) .... (2) (3) (4) (5 )

A m o u n t Type (e.g. , Value ~alue Type (e.g ., Da te Value Gai~ I d e n t it y O fC ode 1 d i v . ~ r e n t , Code 2 Method buy, sell,: : mra/dd/yy Code 2 C ode 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redempt ion) (J-P) ( A - I - - I ~ ( i f p r i v a t e( Q - W) t r a n s a c t i o n )

None K T

A Dividend J TA Dividend J TA Dividend K T

1. Inc ome G ain Codes i( S e e C o h m m s B I a n d

2.Value Codes( S e e C o l u m n s C I a n d D 3 )

3.Value Method Codes( S e e C o l u m n C 2 )

--$1~0o0 0~!~i B - - $ 1 , 0 0 i i $ 2 ; 5 0 0........ .....=$15,000 or less K ~$15 ,0 0 ] z $5 0 ,0 0 0= $250,001 - $500,000 O =$ 500,001 z$ 1,000,000

P3 =$25,000,001 - $50,000,000~App~i ~l R =Cos t ( R eal Es t a t e O nly )=Book Value V = O t h e r

C =$2~501 - $57000 D =$5,001 - $15,000H i =$ L 000,00 i - $5,000,000 H2 =More than $5;000,000L =$ 50;00! - $100,000 M =$100~00.1 - $250,000PI = $L0 0 0 ,0 0 I- $5 ,0 0 0 ,0 0 0 P2 -$5,000,001 - $25,000,000P4 =More than $50,000~000S =A s s es s ment T = C a s h M a r k e tW =Es t imated

E =$15,001- $50,000


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N a m e o f P e r so n R e p o r t i n gCarney , Cormac J .


V II. INVESTM ENTS and TRUSTS - i ...., value, t r a n s a c t i o n s ( I n c lu d e s t h o s e o f s p ou s e a n d d e p e n d e n t c h i ld r e n ; see pp. 34-60 of f i l ing ins truct ionsN O N E ( N o reportable income, assets, or transactions.)

A. B.Description of Assets Inco m e during Gross value a t end

( including t rus t asse ts ) r e l ~ o r t i n g p e r i o d of reporting period(~) (2) (1) (2) (l ) (2) (3)

Place "(X)" after each asset " : ~m6unt :Type (e.g. , Value Value Type (e.g. , D a t e Valueexempt from prior disclosure Code l c l i v . , r e n t . Code 2 Method buy, se l l , m m /d d/yy C od e 2(A-H) o r i n t . ) ( J - P ) C ode 3 redempt ion) ( J ~ P )

(Q-W)

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

(4 ) (5 )Gain Identity of

C ode 1 buyer/seller(A-H) ( i f p r i v a t e

transaction)

35 . -(Investco) Van K ampen Equity Small Caps A Dividend J T3 6. -W a s h in gt o n M utua l In ves to r s Fun d - A Dividend J TW S H C X3 7 . -Am e ri ca n F un d s Ne w P e rs p e ct iv e F und A Dividend J T38 . - - P u t n a m C A T a x E x e m p t I n c o m e FD - B Int./Div. L TC L C39 . I R A R o l l o v er A Dividend K T40 . - Growt h FD A m e r I nc - GFA CX41 . -Frank l in Ri s ing Dividends - FRDTX42 . -Al l i anz N FJ Smal l Cap - P CVCX43 . -Capi t a l W or ld Growth & Income -C W G C X4 4 . - P im c o To ta l R e tu rn - P I- T CX45 . - A m e r B a l a n c e d F u n d - B A L C X46 .47 .48 .49 .50 .51 .

-(Invesco) VK Glob al Franchise Fund -V GFCX529 Savings Plan #2 Divid end K T-American Funds - G rowth Fund-American Funds - New Perspective Fund

-Wash ington Mutua l Investors Fund

S o l d 09/10/10 J A( p a N )S o l d 12~0/10 J A( p a N )

1. i nc ome G ain Codes : A = $1 i000 6r le s s( S e e C o l u m n s B i a n d D 4 ) F =$501001- $ i00,000

2. Value Co de s J = $15,000 or less( See Columns C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003 . Value Method Codes Q = Ap p r a i sa l( S e e C o l u m n C 2 ) U =Book Value

B =$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $ 1,000,000R =Cos t ( R eal Es t a t e O nly )V Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $ 100.0g,0P I =$ 1,000,001 - $ 5,000,000P4 =More than $50,000,000S =A s s es s meu tW =Es t imated

D =$5,00t - $15,000H2 -More than $5,000,000M -$I 00,0~1 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 7 o f i 0

N a m e o f P e r s o n R e p o r t in gCarney , Cormac J .


V I I . I N V E S T M E N T S a n d T R U S T S - ineome, value, transactions (Includes those of sp .... and dependent children; seepp. 34-60 of filing instructions.)[] N O N E ( N o 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 i n g p e r i o d

52. -American Funds - Cap i ta l Income Builder53 . -Am e ri ca n Fun d s - B a la n ce d Fun d5 4. - Am e ri ca n Fu n ds - B o nd F u nd55. 529 Savings Plan #356. -Am e ri ca n Fun d s - G ro wth Fun d57 . -American Funds - New Perspective Fund58 . -Washington Mutual Investors Fund59 . -Am e ri ca n F und s - Ca p it a l In co m e B i ld e r60 . -American Funds - B alanced Fund

6 1. - Am e ri ca n Fu n ds - B o nd F u nd62. Va r ia b le Li fe In sur an ce6 3. - NW M u t u al - Mi d Ca G r th S to ck64 . -NW Mutua l Growth Stock Fund65. -NW M utual Index 400 Stock Fund66. -NW M utua l Sm a l l Ca p G ro wth St o ck F und67 . -Russell Non-US Fund

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

Value Value Type (e.g. , Date Value Gain Identity ofC o d e 2 Method b u y , se l l , .... mm/dd/yy C o d e 2 C o d e l buyer/se l le r

( J - P ) Co de 3 red em ptio n) (J-P ) (A-H ) ( i f p r i v a t e( Q - W 3 ~ r a n s a e t i o n )

So ld 12/06/10 J(par t)

B D i v i d e n d K T

C D i v i d e n d M T

68 . -Russell Real Estate Securities Fund

I l nc 0 me G ai f i Codes : A ~$ii000 or less( Se~ C6 1umns BI and IM) F - - $ 5 0 ; 0 0 1 ~ $ 1 0 0 1 0 0 0

2. Va lue Co d es J = $ 15,000 o r le ss( See Columns C I and D3) N = $250,001 - $500,000

P3 =$25,000,001 - $50,000,0003 . Value Method Codes Q --Appraisal

( S e e C o l u m n C 2 ) U =Book Value

=$1,001- $2,500G=$100,001 - SL000,000

=$15,001 -$50,000=$500,001- $1,000,000

R =Cost (Real Estate O n l y )V =O ther

C = $ 2,501 - $5,000 D =$ 5,001 - $15,000HI =$1,000,001 -$5,000,000 H2 =More than $5;000,000L =$50,001 - $100,000 M =$]0 0 ~0 0 1 - $2 5 0 ,0 0 0P I =$ 1,000,001 - $ 5,000,000 P2 =$5,000;001 - $25~000~000P4 =More than $50,000.000S =A s s es s ment T = C a s h M a r k e tW =Estimated

E =$15,001- $50,000


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N a m e o f P e r s o n R e p o r t i n g I Dat e o f Repor tCarney , Cormac J .

[04/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


(1 ) (2 )Place "(X)" after each asset Amount Type (e.g. .C ode 1 d ranxempt f rom pr ior d isclosure _tv .v t ,(A-H)

(1) (2) (1 ) (2) (3) (4) (5 )Va lu e Va lue Type(e.g., Date Value Gain Identity ofCode 2 Method buy; se l l , m m / d d /y y C o d e 2 C o d e 1 buyer/se l le r

(J-P) (A-H) (if privatetransaction/

69 . - S m a l l C a p V a l ue7 0. -Domes t i c E q ui ty7 1. Inhe r i t ed IRA (X ) C Dist r ibut ion M7 2. -JPM7 3. -FD FFX

~74. - PRPFX!75 . - F D R X Y! 7 6 . JP M organ - In t rep id M id Cap Fund A D i v i d e n d

Bu y 10/14/10 KBu y 07/ 28 / 1 0 KBu y 10/29/10 LBu y 07/ 28 / 1 0 JS o l d 01/21/10 J

I . Inc ome G ain Codes : A =$1,000 or less B =$1,001 - $2,500( See Columns B 1 and I ) 4 ) F =$50,001 - $100,000 G =$100,001 -SL000,000

2. Value Co d es J = $ 15,000 or less K =$15,001 - $50,000( S e e C o l u m n s C I a n d D 3 ) N = $250 ,001 - $ 500,000 O =$ 500,001 - $ 1,000;000

P3 =$25,000,001 - $50,000,0003 . Value Method Co des Q = Ap p r a i sa l R =Cos t ( R eal Es t a t e O nly )( S e e C o l u m n C 2 ) U =Book Value V - O t h e r

C =$2,501 ~ $5i000HI =$i;0001001 - $5,000,000L =$ 50,001 = $100~000P 1 =$ 1,000;001 - $5,000,000P4 =MO re than $50,000,000S =A s s es s mentW =Es t imated

D =$5,001 - $15,000H 2 =Mor e than $ 5 ~ 0 0 0 , 0 0 0M =$100,001 - $250~000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50,000


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N a m e o f P e r s o n Repor t ingCarney, Comae J.

Date o f Report04/21/2011

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndlcatepart of report.)I . P a r t V II : I te m 3 0 : T h e P l a n s t r u s te e s r e p l a c e d F i d e l i ty A d v i s o r F r e e d o m 2 0 2 0 w i t h J P M o r g a n S m a r t R e t i r e m e n t 2 0 2 0 S e l e c t .2. Par t VII : I t em 7 6: Th is fun d w as in h er i t ed an d so ld .


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Nam e of P e r son Repor t ingC a r n e y , C o r m a c J .


IX. CERTIFICATION.I c e r t if y t h a t a l l 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 i n 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 r e n , if a n y ) i s

a c c u r a t e , tr u 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 w 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 l e s ta t u t o r yp r o v i s i o n s p e r m i t t in g n o n - d i s c l o s u r e .I f u r t h e r ce r t i fy 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 t s 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 nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Corma c J. Carney

N O T E : A N Y I N D I V ID 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 FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

Co m m i t te e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f i ce o f t h e U n i t e d S t a t e s Co u r t sSui t e 2-301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 54 4

Cormac J Carney Financial Disclosure Report for 2010

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