Harry Pregerson Financial Disclosure Report for 2009

8/3/2019 Harry Pregerson Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/harry-pregerson-financial-disclosure-report-for-2009 1/14

no w t FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t i le E d t i c sin Government Act of 1978

R e v . 1 / 2 0 t 0 [ FOR CALENDAR YEAR 2009 (5 U . S . c a p p . . ~ . , ~ ~ d t - l t J )

1 , Person Repor t ing (last name, first, middle initial) 2. court or Organization 3. Date of Report

Pregerson, Harry United States Court of Appeals ~br Niuth Circuit 05/18/2010

4. Title iA’aiclc Ill’judges indicate active or senior status: 5a. Report Type (check appropriate type) 6. Reporting Period

magistrate judges indicate full- or parMimc)

] Nomination, Date 01/01/2009

United States Circuit Cour~ Judge [--] Initial ~ Annual ~ Final to

12.,"31/2009

5b. ~ Amended Repot~r

7 . Chambe’~s or Office Add .... 8. On the basis of the informatio ....rained in this Report and any

modifications pertaining there|o, it ts~ in my opinioo, in compliance

21800 Oxnard Street with applicable laws and regulations.

Suite 114 0

Woodland Hills, Ca 91367Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompat~r’ing this form must be followetL Complete all parts,

checking the NONE box for each part where you ha~,e no reportable information. Sign on last page.

1. POSITION S.

[~ N O N E (No reportable positions.)

POS1TION NAM E OF ORGAN1ZA’I ’ ION!ENFITY

1. Member Marine Corps Resen’e Officers Association

2. Member Advisory Board, Childhelp U S A

3. Member Advisory Board of Directors, Metropolitan Division, The Salvation Anny

4. Member Board of Trustecs Devil Pups. Inc

~ N ON E ~N~o reportable agreements.)

DAT E P A R T I ES A N D T E R M 9



FINANCIAL DISCLOSURE REPORT

P age 2 o f 14 ~ ’ ,’ ~ r ~ o ~ . m ~ r o ~ ~ , ~ o ~ 0

A . F i lc r ’ s N o n- lnv e s t m en t I nc o m e~ NONE (No reportable non-investment income.)

I)A~ [~ SOURCE AND TY PE tNCQ M E

I , 2009 Sta t e o fCa l i~ k~ rn ia Judge ’ s Rcfircmen! System $17. ,387.00

2. 2009 G G W H l .. k (’ $ ] s , o o o . /} o

3.

B. Spouse’s Non-lnveslmen{ I n eome - ~I_~-o. ,,.~,,. marrird duri~,g am’por6on

, ~ N O N E ( N o reportable non- im,esmw nt income.

~ SOl !RCE A N D T Y P ~

1. 2 0 0 9 L o s A n g e e s C o m m u n i D’ ( ’ o H e ~ d e I ) i s t n c l - S a l a r y

2.

3.

4.

IV.R E I M B U R S E M E N T S - , .. . .,p o . ,o , i o . lodging, food. .......

(l*:cludes tko~e to spouse t~zM dependcnt chi!dre~r see pp 25-27 ~f!!ing in~tm.’ti, ms )

NONE (No reportable reimbursements.)

~ ~ LOCATION PI~P~ ~k!~_OR PR.~

I.

2.

4 ,

5.



FINANCIAL DISCLOSURE REPORT N

Page 3 of 14

NON E (No reportable g~s.)

1.

2.

Y

4.

5.

N O N E (No reportable liabilities)

I.

2.

3.

4.

5.



F IN ANCIAL DISCLOSURE REPORT

Page 4 of 1 4 0

N O N E (No reportable h)come, assets, or transoctions.)

Descriplion of Assets ~ Income durln~ Gross. ~alue al c~d TIansacfions during ~cpomn~. period ~,

Place"(X~"aa ..... .. .... [A ......... ~ Tvpclcg. Vahm ] Vah,c

. m )

F l . Lot ~, Oxnard Shoes, CA (

2. Lc,~ ~. ( I 9 6 4 ) None 0 Wxnard Shoes. CA

3. Par! of Lol~, W~dland Hills, CA (1963) Noue O W

4. Pan of kot~, Wood]und Hills. CA l1979) None N W

5. I>ar~ of Lo~ Woodland Hills CA 11084) None N W

~>. l_imi~cd Pum~ership hucres~ m Penn Ca! G Rent O U

Inx estors. Cal t.TD

7 C(;M403(B) Cnstodiall UIPL I.A

(’ommuniff Collese

J g .- CG Capital Markets kg Cap ta] Value A Dividend g~dd 02/23/09 M A

9. - CG Capital Markets SmCapital Value A Dividcnd Sold 02123/09 K A

1 0 . - CG Capital Marke~s Emerging Marke~s A Dividend Soht 02/23/09 L A

I I . - CG Cupital Ma rkets International Equib, A Dividend Sold 02/23~09 L A

1 2 . - CG Capital Markcts Lg Cap Growth A Dividend Sold 02/23/09 M A

13. - CG Capital Markets Sm Capital Growth A Dividend Sold 0~23/O9 K AInvestments

1 4 . - CG Capital Markms Core Fixed Income A Dividend Sold 02123*09 K A

1 5 . - CG Capilal Ma~kels lnlemalional Fixed A Dividend Sold 0Z123109 J A

1 6 . - CG Capital Markets Money Ma~et Fund A Dividend J T

17.-CGCapitalMarkelsCoreFixcdlncomeAl)ividendK T Bu y

106112,’09

/

~ ~Ftmd "



FIN ANCI AL DISCLOSURE REPORT [ ~ . ~ ....f P ......Report ing Dale of Report

Page 5 of ! 4i Pregerson , I larrv

0 5 / 1 8 , ’ 7 , ) 1 0

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

Dc~ri~ on of Assc~s lnc :me dt ring / Gro..s ’alue, end "I’ran~cfions dt~ring rcpo~h~g

~includlng ~,us, ~scts) ~ r¢.poming ~ri~ _ [_ 0t rc~ommg ~-r od

cxc~npr from prior dis~k:,su~c 1 o t J c 1 ~ div.. rcnt.!Codc Z Method buy. sell i t ~ l r ~ t d ~ / y y Code 2 [ ( ~,dc } : I,uycr.’scllcr

1 9 . Buy 08/14/09 J

2 0 . Buy 0 9 ! I 5 / 0 9

( a d d ’ l )

21. ~uy IWI5/09 J

22. Buy 1 t/13/09 J

~add’l)

23. - CG Capital Markets Lg Capi~l Value B Dividcm] L "I B~y 06/12/09

24 . Buy 07/15/09

tadd’l)

25. Buy 08/t4/09 J

I add’l)

26. Buy 09/15,"09

(add’l)

27. f)uy 10t 15/09 3

(add’l)

28. Bu y 1 }/I3/09 J~ a d d ’ J > .

29 . - CG Capi{al M zrkets Sm C~pit~l Value A Dividend K T Bu y 06/12109

30 . l)uy 07/15/09 J

(add’I)

31 . Bu y 08/) 5/09 J

(add’l)

32. Bu y 08/21!09(~dd’l)

33. Buy 09/15/09 J~add’ )

34 Bu y

(add’ ~



FINANCIAL DISCLOSURE REPORT ~ ...... P ......Report ing

Page 6 of 14 t ’ r ~ g e ~ , , o . , h a m . ,

VII. INVESTMENTS and TRUSTS - i.,.,,.,~, ,.,a ........... .,io.~ ~.,.~,,..~ . . ,, , . , ¢ . ~ . . . . . . . . a . . ~ , ~ . ~ . , , . ~ . . , ,, . , ~ ~ . ~ , ~ , . ~-~o ,¢.m~.g ~. . . . . . .

N O N E ( N o reportable income, assets, or transactions.)

Dcscrlplion durin[ period

(includln~ tn~s l agscts) rc ~ r~ i ng p~ i od ofrcp~ing ~ri~

Placc "¢X)" aftcr each assc~ Am ount t Typc (c.g.. V : d u c V t d l l c "l~Ttr (c ~ ~ Dulc Value

[ (add’l)

~ 6 . - (TO Capital Markels Emerging M arkups A Dividend k f Buy 06112109 1.

3 7 . Bu y 0 7 / I 5 / 0 9 J

(~dd’l)

3 8 l ~ u y 0 8 / ~ 4 / 0 9(add’l)

39 Bu y 08:21/00 .!(add’l)

,I0 Buy t)q/15~’09

{add’l) iJ 4 Bu y 10t15/0o

(add’l)

42 . B u y ! 1/I M 09

(add’l)

43. - CG Capital Markets lntcmationaI Fixed A Dividend J T [h*y [06/I 2/09Income ]oveslfnenls

44 . - CG Capital Markets International Equip,A Dividend K 1" Bu y 06il2/09 J

~ 4 5"

Buy : 0 7 / 1 5 1 0 9 J

iadd’l)

~ ’ 4 6 .Buy [08/14/09

{add’l}

47. Bu y 09/1510o J(add’l)

48 Bu y ! 0115~09 J

(add’t)

49. Bu y 1/13/09(adt’)

~"q CG Capital Mzrkets l.g Cap Growth A Dividend L T Bu y 06/t 2/09 J

51. Buy 07/15/09

(add’l) ]



FINANCIAL DISCLOSURE REPORT ~ . . . . . .f ~ ’ . . . . . . r ~ , ~ p o r , i . g/

V I I . I N V E S T M E N T S a n d T R U S T S - i,,. ..... ~ . . . . . .. . . . i o , , (Includ,.s those qsp ....... a d ¢ ~ e n d e n t c h i h l . .. .. .. .. P P . 34-,0 o l ~ 7 1 i n g i n x t r u c t i o n s . )

N O N E ¢No r~7~ortabte income, assets, or transactionx)

Description of AsSC~s h,con,c during ] Gross v,!,,e at cnd ~ lr,~a¢fions during rcpu~i~g pcri~(I

exempt llo~t p~io~ disclosure C~de I di~. rent.! I fC~c 2

M c l } ~ o O! buy. ~ll. t~d~’~ [C~Ic 2 ~.~d(’ I i 1 3 u ~ ’ c r i s e l l e r

Buy

{ addq~

-- ¯ Buy 09/~ 5/~)9

(add’l)

5 , 1 .

Bu y ] O i I ~ i ~ 9 J(~dd’l)

55 . Bu y I 1 i13/09 J

(add’J )

56 . - CG Capital M~kets Sm (’apical Growth A D~vidend K T Buy 06112/09 J

57. Buy 07/15/09

(add’l)

58 . Buy 08/14/D9 J

(add’l)

59. Buy 08~21/09 J

(add’l)

60 . Buy 09/I 5/09 J

(add’I)

61 . Buy ] 0115/09 J(~dd’l)

62.

(add’l)

63 . C h a ~ ; e C Interest L T

64 . Wacht~via Bank CD B hltt’rcM Man,red 06130/09

65. Wachovia Bank CD C lnteres~ Matured 06/30/09

66 . Wachovia Bank CI) B Interest Marred 06130/09

67. Wachovia Bank CD B Imerest Matured 06/30/09

68 . Wachovia Bank CD B Interest 1. T

I




Page 8 o f 14

] ~,~o., n~

o s q a , , ’ 2 0 ~ o

VII. l N VESTMENTS and TRUSTS - ~ ......~ ,

N O N ~ (No reportabh~ income, assets, or transactions,)

Description of A sse~s Income during Gross vague at end Transactions durin~ rcpvr~ing period

( m c l u d t n ~ t r u s l a s s e ts } rc~ing peri~ o f n T p o ~ i n g ~ r i o d

.......c~e, , ~i ......

69 W~chevia Bank

7 0 . MorgaoS~anlcy Sm~h g amey

71 - CG Capital blarkets Core Fixeed Income A Dividend Sold 0 2 / 0 6 , ’ 0 9 .I AFund

7 2 . - CG Capital Markets [.g Capital Value A Dividend Sold 0 2 , ’ 0 6 " 0 9 L A

7 3 . - CG Capital Markets Sm Capiud V alue A Dividend Sold 0 2 . ’ 0 6 ; 0 9 J A

’ 7 4 - CG Capital Markets Emcrgi.g Markets A Dividend Sold 0 2 1 ( ~ ) / 0 9 K A

7 5 . CG Capital Markets International Fixed A Dividend Sold 02/06/09 J A

7 6 . - CG Capital Markets Interna6onal Equity A Dividend K ~ Sold 0 2 ~ ’ 0 6 / 0 9 K AInvestments

7 7 . guy 0 6 1 1 2 / 0 9

{add’l)

Buy 08]10/09 K(add’l)

7 9 . SoJd 0 8 ~ 2 1 1 0 9 J A(pa~)

8 0, - CG Capital Ma~kel~ Lg Cap Growth A Dividend L T Sold 02/06/09 LI n v e s tm e n t (pa~)

8 1. Buy 0 6 / 1 2 1 0 9 K(add’J)

8 2 , Buy O 8 / I O 1 0 9 K(add’l)

8 3 . Sold 08/21/09 K A(part)

8 4 . - CG Capital Markets Sm Capital Growth A Dividend Sold 02/06/09 J A

85, - Eurobank CD C I n ~ e r e s l Matured 0U02/09 L




Page 9 o f 1 4 P r e ~ e r s o n , H a r r y 0 5 ; 1 8 1 2 0 1 0

VII . 1 N V E S T M E N T S a n d T R U S T S - i.,.om~. ,,., .......... ,io.+ (I nclu des those Of sp ...... d dependent children;~ee pp. 34-60 of illing instructions.I

NONE (No reportable income, assets, or transoctions.)

L ’. D.D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g G ro s s ; v a l u e a l e n d - F r a n v a c li o n s d u n n g r e p , m i n g p e r i o d

P l a c e " { X ) " a f t . .. . . h a s s c l A .. ... .. l’ v , c e .g .. V a l u e V a l u e

R d . - Capital One Bank CD L " I m c r e s ~ Matured 0 4 i O 2 , 0 9 t. ] ] ’

/g?. - Capila~ One NA CD C Imeresl M a ~ u r e d 0&02;09 L .

8 8 . - Compass Bank CD A I n t e r e s t [ h L ’ v 0 2 / I I . . O 9 i .!

89. Matured 08/I I!09 J

90. - Counto+xvide Bank CD B Interest Matured 04;02;09 L

91 . - Sil’,ermn Bank CD C Interest Matured 04/02+’09 k

9 2 . - \Vestem Asset Class A CG Capital Mks B l n t e r e s ! N IMoney Fund (Y)

9 3 . - RBS Citizens, NA CD A I n t e r e s l Buy 0 2 1 1

9 4 1 Matured 08]11/09

9 5 . - Citibank NA BDP A I n t e r e s t M T Open 0 2 / O 6 / O 9 M

9 6 . - Citicorp Trust Bank A lnteresl M 3 Open 0 2 1 0 6 / 0 9 M

9 7 . - Citibank NA Sond~ Dakota BDP A I n t e r e s ! M T Open O 2 / 0 6 , 0 9 M

9 8 . - CG Capital Markets- Money Market A I n t e r e s t J T Open 0 2 1 0 6 : 0 9 M

9 9 . - CG Capital Markets Core Fixeed Income A Dividend K T Buy 06/12;09 JFund

] 0 0 . Buy 08/10/09 J(add’l)

10l. - CG Capital Markets Lg Capital Value B Dividend k T Buy 0 6 / 1 2 ~ 0 9 K

1 0 2 . Buy 0 8 + ’ 1 0 / 0 9 K(add’l)



FIN.~aNCIAL DISCLOSURE REPORT ~ . . . . f P . . .. . ~ . p o r , l . g

Page 10 of 1 ~ ~o~, ~y

VII. INVESTMENTS an d TRUSTS --i ......... ~ . . . . . . .. . . . i , , , , , a . , . , ~ a , , , n . , . o ~ . , ~ . . . . .. . ~ ~.~., ,-~,~.~.;

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

A " ....................B. ~. ............... D. .............

Description of,As~s Income during Gross value at end I’ran~clions during rcpo~in~ period

Prate "(X)" after each asset Amoum Type (e.g. Value ~ Value Type fog.. I Date Value Gain Idcmity of

{A-H) or int ) { . i + p ) ’, Code3 rcdclllpliuIi}I

(J-P) (A-HI lif pro’ale

t03. - (’G (’apilal Markets Sm Capilal Value A Dividend ] K [ ! ~u y 06/12/09 J

I(add’l}

105. ~t~y 08/21/09

(add’l)

106. - CG Capital Markets Emerging Markets A Dividend 1. 1 Buy 06/12/09 K

107. Buy O g J t 0/09 K

(add’l)

108.Buy 08/21/09 J

{add’l)

109. - CG Capital Markels International Fixed A Dividend J T Buy 06/12/09

[ 10. Bu y ~ 08/t 0,"09 J

(add’l)

I I I. - C(.) Capital Markets Sm Capila! Growth A Dividend K T Buy 061~2/09

I 12, Bu y 0g/i 0/09

(add’l)

] 13.Buy 08/21/09

{add’l)

I t4. No,hem Tmsl

]5 . - MFO American Cent), CA Ta~-F~ec Bd Fd D Dividct~d N T

1 6 . - MFB NTHN CA Mun Money Mkt A Interest M T

17. Raymond James

118. - Citigmup CHP XVll A Interest SohJ 03/04109 J

119. - US Treasu~’ Bills 08."15/23 B Interest L T



FINANCIAL DISCLOSURE REPORT N . . . . . r P . , - ~ o , , r . t ~ p o r , i ,, g

Page 11 of 14 Pregerson, !1 arry 05/I 8/20

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

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

G m ~ s v a lu e a ~ e n d~

l ’ r ~ n g ~ c l i t ~ n s d u r i n g

i i n c l u d i n g I m s l a ~ c l s ) , rcpooing pc~k~l ~ ofre~wlin~ ~:riod1

.....Ptacept from pri~r discle"lX~" after ezch as~ ..... ( ~ It~ " " " ". A .......

/2vpc~c~.

]V a h m

~V a l . . . .

[ r~.~( ..... [ Dine [Vahm [Gain [ Idcnlitvof

1 2 0 . - US "lreasury Bills 081!5!21 B h a e r e ~ t [ K T

1 2 1 . US Treasury Bills 08115/20 B Imerest [ K q

1 2 2 . US TreasnO, Bills 08,1_,~ ~ h~ere~ I K f

1 2 3 , US Treasury Bills 08/I 5/24 A I n ~ e r e s ~ K 1.

1 2 4 . U S Treasu~,Bills 08il5126 A Ime~es~ I K T

I

1 2 5 . JP Mo~gun Chase CO Notes A Dividend K T

1 2 6 . Raymond James Money Marke~ A I n t e r e s t J T

1 2 7 . Schlumberger LTD Slock A Dividend K T[ I

1 2 8 . Microsoft Coporalion St~k A Dividend J T

1 2 9 . Nuveen Prege~ed & Cony Income Fund 2

B Dividend K T

1 3 0 . Cmnmuni~" B~nk & T~s~ CD A I m c ~ e s ~ R~deemed 01/30/09 I K

1 3 2 . Compass Bm~k A I n l e r e s ~ g r Buy 0 6 / 0 5 / 0 9 i

A lnlerest Buy 01!30109~ L3 3 , USAmeribal~

1 3 4 . Redeemed 0 5 l ~ 3 / 0 9 [ L

1 3 5 . Raymond James IRA #1: Microsol) A Dividend K TCorporation Sttmk

1 3 6 . Raymond James IRA #2: CommuniU’ Bank A I n t e r e s t J& T ms~ CD



FINANCIALDISCLOSURE REPORTP a g e 1 2 of" 14 o ~ : l , s a 0 1 0

N O N E ( N o reportable income, assets, or transactions.)

Description of Assets income during ~ Gross value at eM [ran~cti~ns during rcp,)nmg period

Place"tX)" a~er each a~sc~ A ~ n o u n t I-ypc (eg.. ~ V~tue ] Value ~ l}p¢~c g )ate [ Value [ Gain Idcnmy ofexempt from Wit,, ~isclosure Code I di~. rent. [ C~Ie 2 ~ Mcth,~d [ buy, sell Immd~.’,~’ ~ Code 2 Code I[ buyer:seller

~A-H) orim.) (J.l’) ~ C~e3 ] redemption : ( J - P ) J (A-tf) dfpriva~c

137. Ha~ry Pregeryon ] 996 Irrevocable

138. - CalNational Bank A In~eresl ~ T

139. - Janus Ftmd A Dividend J "l

140. Ing Direct

1 4 } . - O~:mge Savings 1 3 Interest K T

142. - ()range CI) t3 Interest K T

143. - O~ange CD B lnlerest K T

144. Citi National

145, - CDs C Interest N r Open 06"30/09 N

146. - (~hecking Accls A h~teresl M T Open06/30.’U9 M

147. Janus Money Market Fund D (X) A lnt.,q-)iv. N T

148.



N ome of Person R epuri’in~I

]Dale of lqeporlIN,~kN CIA L REPORTPage 13 o f 14

VIII. ADDITIONAL INFORMATION OR EXP1 ~ANATIONS.

Asset # 147 .lam~s Money Market reported under asset #28 with (Y ) on 2008 Financial Disclosure Report due to the missing information for this investment at that



FINANCIAL DISCLOSURE REPORT . ~a~e o f Pe r s on Rep o r t i n g / Dale of Report~

Page 14 of 14 p r e ~ , ’ r ~ o n , n a r , -y 0 5 . , ’ I S ; 2 0 ~ 0

IX. CERI"IFICATION.

certify 1bat all information given above (including information perlaining to my spnuse and minor or dependent children, if an)) isaccurale, lrue, and complete Io ~he besl of my knowledge and belief, and lhal any infarma~io~ nol reported was withheld because il me~ applicable s~a(ulary

isions permitting nnn-disclasure.

further certify that earned income frolll outside employment and honoraria and ~he acceptance of gifls which ha~e bet’n reporlcd are int~mpliance ~xith ~he pro~ isions ~f 5 U.S.C. app. ~ S01 eL seq., S U.S.C. ~ 7353, a~d Judicial Conference regulalions.

NOTE: ANY INDIVIDU,,$.I, WIIO KNO\VINGLY AN D WILFULLY FAL,SIFIES OR FALLS TO FILE fills REPORT MAY BE SUBJECT’rO CIVIl.

AND CRIMINAL SANCIIONS (5 U.S.C. app, § 104)

FILING INSTRUCTIONS

Mail sigmed ~riginal and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States CourtsSuite 2-301One Columbus Circle, NE.

Washinglon, D.C_ 205"44

Harry Pregerson Financial Disclosure Report for 2009

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