John T Noonan Jr Financial Disclosure Report for 2010

8/3/2019 John T Noonan Jr Financial Disclosure Report for 2010

1/9

AO 10Rev. 1/20H [

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. P e r s o n R e p o r t in g ( l a s t n a m e , f ir s t , m i d d l e initial)Noona n , Jr ., John T.

4 . T i t l e (A r t i c l e 1 1 1 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 tra te judges indica te ful l- o r par t-t ime)Art ic le 11I Judge , Sen ior

7 . C h a m b e r s o r O f f ic e A d d r e s sU.S. Cour t o f Appea l s9 5 Sev en th S t r e e tSan Fr an c i s co , C A 9 4 10 3

2. Court or Organizat ionU.S. Cour t of Appe als , 9 th

5a. Report Type (check appropriate type)

] Nomina tion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n th e basis of t he i n forma t i on c on t a i ne d i n t h i s Re por t and anymodi f i ca t i on s pe r t a i n i ng t he r e t o, i t i s , i n m y op i n i on , i n com pl i a ncewi th a pp l i c a bl e l a ws a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r D a t e

3. Date of Repo rt06/28/2011

6. Report ing Period

01/01/2010to12/31/2010

I M P O R T A N T N O T E S : 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 iast page.

I . P O S I T I O N S . ~ e , o . i n g i n d i v l d . a l o n l y ; ~ e , p p . 9 - 1 3 of fillng instructions.)~-~ N O N E ( N o reportable positions.)

1 . Pre s i den t an d D i r e c to r2. M e m b e r3. M e m b e r4. M e m b e r5.

POSITION NAM E OF ORGANIZATION/ENTITYT h o m a s M o r e - J a c q u e s M a r i ta i n I n s t i t u t e ( n o n - p r o f i t c u l t u ra l o r g a n i z a t i o n )

A d v i s o r y C o u n c i l , T r a n s p a r e n c y I n t e r n a t io n a lE d i t o r i a l B o a rd , A m e r i c a n J o u r n a l o f J u r i s p r n d e n c eP r e s i d e n t s C o u n c i l , G r a d u a t e T h e o l o g i c a l S c h o o l

I I . A G R E E M E N T S . m ~ p o , ~ i , g individual only; seepp. 14-16 of filing instructions,)N O N E (No reportable agreements.)

1.07/01/862.3.

D A T E PARTIES A ND TE R M SU n i v e r s i ty o f C a l i f o r n i a p e n s i o n b a s e d o n s e r v i c e


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FINANCIAL DISCLOSURE REPORTPage 2 o f 9

Name of Person ReportingNoonan , Jr . , Jo l~n T.

Date of Report06/28/2011

I l l . N O N - IN V E S T M E N T I N C O M E . (nepor, lng individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm en t Inco m eD (No reportable non-investment income.)ONE

D ~ A T E SOURCE AND TYPE

1.2010 Pen s ion : U n iv e r s i t y o f C a l i f o rn i a2. 2010 R o y a l t y- W e s t Gr o up F o un da t i o n P r e s s3.2010 St i pen d : Un iv e r s it y o f Sou the rn C a l i f o rn i a4 . 2010 R e f u n d : C a li fo rn ia Fra n c h ise T a x B oa rd

INCOME(yours , no t spouses )$43,391.80

$708.51$ 1,000.00$1,918.00

B , S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.(Dollar amount 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,entertainment.(Includes those to spouse and dependent children," see pp. 25-27 o filling instructions.)D (No reportable reimbursements.)O N E

SOURCE DATES LOCATION

1. In s t i tu te fo r Advanced 3/23/2010-3/25/2010 L os A ng ele s, Ca li fo rn ia Le ctu reCathol ic Studies-Univers i tyo f Sou the rn C a l i f om ia

PURPOSE ITEMS PAID OR PROVIDE

Air fare , Transpor ta t ion , Tips

2. Cour t Symposium 4 /1 8 /2 01 0 -4 /2 1 /2 01 0 R a n c h o P a lo s V er d e s, C o n f e r e n c e Lodg in g , Food , T ips , A i r f a r e ,Ca l i fo rn i a Transpor ta t ion3. Arizona S ta te Un ivers i ty- 4 / 2 5 /2 0 1 0 - 4 /2 6 / 20 1 0 T e m p e , A r i z o n a C on fe re n c e A irfa re , Lod g in g , T ra n sp o rta t ion , M e a l ,C o l l e ge o f Law Tips4.5.


3/9

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

Name of Person Report ingNoonan , Jr . , John T.

Date of Report06/28/201 I

V . G I F T S . a , ,a o d e s t h o s e t o s p o u s e a n d d e p e n d e n t chi ldren; see p p . 2 8 - 3 1 of f i l ing in s t r u c t ions . )N O N E (No reportable gi f ts . )

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u ,~ e s those of spouse and dependent children; seepp. 32-33 of fillng instruction&)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .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 gNoonan , Jr., John T.

Date of Report06/ 28/ 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 fillng instructions.)D NONE(No reportable income, a ssets, or transactions.)

Descr i p t io n o f As s e t s I n c o m e d u r i n g( i n c lud i n g t ru s t a s s e t s ) r e p o r t in g p e r i o d

(1 ) (2 )Place "(X)" af ter each asse t A m o u n t Type (e.g.,

e x e m p t f r o m p r i o r d i s cl o su r e Code l d iv . , r en t ,( A - H ) o r int . )

1 . Fidelity Mag ellan Fund A Dividend2. Fide l i ty CA Muni Incom e Fund ( former ly D I n t e r e s tSpartan CA Muni Fd)3. BP P.L.C. A Dividend4. W ells Fargo Checking Account A I n t e r e s t5. W ells Fargo Market Rate Account A Dividend6. W ells Fargo IRAs B I n t e r e s t7. Dreyfus Mun i Bond Fund ( former ly Insured A DividendMuni Bond Fund)8. Teachers Insuran ce and Ann uity Association D I n t e r e s t9. DWS Global Fund ( form er ly Scudder Int l B DividendBond Fund1 0 . W ells Fargo Inves tm ents -Thomburg D DividendInvestment Trust1 1 . W ells Fargo Bank CD ( form er ly Wachovia A I n t e r e s tTime Deposit)1 2 . Fide l ity Inves tme nts (X) C Dividend1 3 . Fide l ity Inves tme nts (X) A Dividend1 4 . Legacy Treasur y Direct (X) B I n t e r e s t1 5 . Legacy Treasur y Direct (X) B I n t e r e s t1 6 . Bank of America (form erly Cam bridge Trusl A I n t e r e s tCompany) (X)1 7 . Brokerage Account Num ber l Bear Steams

Gro s s va lu e a t e ndo f r epo r t i n g pe r i o d(i) (2)

Va lu e Valu eC o d e 2 M e t h o d(J-P) C o d e 3( Q - W )

M T

M TJ TM T

L T

K T

M TK T

N T

N TJ TK T

K TL T

(1 )Type (e.g.,

b u y , sell,r e d e m p t i o n )

T rans ac t ion s dur ing r epor t ing per iod

(2) (3) (4)D a t e V a l u e G a i n

m m / d d / y y Code 2 Code 1(J-P) C A - H )

Redeemed 03/03/10 J A

C losed 04/24/10

(5)I~te n t i ty of

b u y e r / s e l l e r( i f p r i va t e

t ran sac t i o n )

1. I n c o m e G a i n Codes: A =$1,000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Co lumns B 1 and D4) F =$ 50,00 ! - $ 100,000 G =$ 100,001 - $1 ,00 0,000 H I =$ 1,000,001 - $ 5,000,000 H 2 = M ore than $ 5,000,000

2. Va lu e Cod e s J = $15,000 or le ss K =$15,001 - $ 50,000 L = $50.001 - $ 100,000 M =$100,001 - $250,000(Se e Colum ns C I a n d D 3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 -More than $50,000,0003. Value Method Codes Q =Appra i sa l R =Cos t (Real Estate On l y ) S - A s s c s s mc n t T = C a s h Market(See Column C2) U =Book Va lue V = O t h e r W =Estimated

E =$15,001 - $50,000


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Name of Person Report ingNoonan , Jr . , John T.


V I I . I N V E S T M E N T S a n d T R U S T S - i.co.,c, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ NOINE(No reportable incom e, assets, or transactions.)

( 2 )V a l u e T y p e ( e .g . ,

M e t h od b u y , s e l l ,C o d e 3 r e d e m p t io n )( Q -W )

1 8 . -JP Morgan Chase A Dividend L T1 9 . -Gene ral Mills B Dividend L T20 . -Procter & Gamble Comm on B Dividend L T2 i. -Neurobiological Technolog ies None J T2 2. -B P P.L.C. A Dividend K T2 3. -Co ca Co la Co m m o n B Dividend L T24 . -Eli Lilly Corpora tion B Dividend K T25. - IBM Comm on B Dividend L T26 . -Fortune Brand s A Dividend K T27 . -Monsanto A Dividend K T28 . -Pfizer B Dividend K T29 . -Calvert Social Investmen t Fund None K T3 0. -JP Morgan Pr ime Money Market Fund A I n t e r e s t M T B u y3 1 . - JP M o r g an Pr im e M o ne y M a r ke t Fu nd B u y3 2. -JP Morgan Pr ime Money Market Fund B uy3 3 . - Di am o nd H i ll Lo ng -Sh or t Fu nd None L T3 4. -Ca State University Reven ue Bo nd B I n t e r e s t K T

A. B. C. D.D e s c r i p t io n o f A s s e t s In c o m e d u r in g G ro s s v a lu e a t e n d T ra n s a c t io n s d u r in g re p o r t in g p e r io d

( in c l ud ing trust assets) r e p o r t i n g p e r i od o f r epo r t i n g pe r i o d(1 ) (2 ) (1 ) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e~g, Value D a t e Value Gain Identity ofexernptffompriordisclosure C o d e 1 div . , ren t~ Code2 mm/dd/yy Code2 C o d e 1 buyer/seller( A- H ) or i n t . ) ( J -P ) (J-P) ( A -H)

02/01/10 J08/02/10 J11/01/10 J

( if pr iva tetransact ion)

I . Income Gain Codes: A =$1,000 or Ic ss B =$ 1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000(Se e Columns B 1 and D4) F =$50,001 - $100,000 G =$ 100,001 - $ 1,000,000 H I =$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Va lu e C od es J = $15,000 or les s K ~$15,001 - $50,000 L =$50,001 - $ 100,000 M = $100,001 - $250,000(Se e Co l u m n s C I and D3) N = $250,001 - $500,000 O ~$500,001 - $ 1,000,000 P I = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25.000,001 - $50,000,000 P4 =M ore than $50,000,0003 . Va lue Method Codes Q =Appra i sa l R =Cos t (Rea l Es ta te Only) S = A ssc s sm c n t T = Ca sh M a r k e t( S e e Co l u n m C2 ) U =Book Va lue V = O t h c r W = E s t im a t e d

E = $15,001- $50,000


6/9


Name of Person Report ingNoonan , Jr ., John T.


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 l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)N O ~ E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion of Assets In com e du rin g Gross value a t end Transact ions dur ing repor t ing per iod( including t rust asset s) re portin g p eriod of reportin g p eriod

( 1 ) ( 2 ) (1) (2) (I ) (2) (3) (4) (5 )Place "(X)" a f ter each asse t A m o u n t T y p e ( e . g ., V a l u e Va lue Type (e.g., D a t e Value Gain Ident i ty of

exempt f rom pr ior disc losure Code 1 div., rent, C ode 2 Method bu y, se ll , m m/d d/yy Co de 2 C ode I buyer/se l ler(A-H) orint.) (J-P) C o d e 3 redemption) O - P ) [ (A-H) ( i fpnva t e(Q-W) transact ion)

35 . -Nor th o f th e Rive r Sa n i t a ry D i s t r i c t Bond B In t e re s t K T

36 . T r u s t N u m b e r I ( N o p e r s o n a l i n c o m e ) D D i v i d e n d N T37 . - W e s t f i e l d M a s s G O B o n d s R e d e e m e d 05/03/I0 J38 . -F l ee t I n t e rn a t iona l Equ i ty Fund B u y 07/06/10 J39 . -F l ee t " ra x Exem pt Fund B u y 07/06/10 K40 . - F l e e t L a rg e C a p V a l u e F u n d Sold 07/06/10 J41 . - F l e e t S m a l l C a p G r o w t h F u n d Sold 07/06/10 J42 . - F l e et M i d C a p G r o w t h F u n d Sold 07/06/10 J43 . - F l e e t L a r g e C a p G r o w t h F u n d Sold 07/06/10 J44 . -F l ee t I n t e rn a t iona l Equ i ty Fund Sold 10/05/10 K45 . - F l e e t S m a l l C a p G r o w t h F u n d Sold 10/05/10 J46 . - F l e e t M i d C a p G r o w t h F u n d Sold 10/05/10 J47 . - F l e e t T a x E xe m p t F u n d Sold 10/05/10 J48 . - C o l u m b i a H i g h Y i e ld M u n i F u n d B u y 10/05/10 J49 . - F l e e t La r g e C a p V a l u e F u n d B u y 10/05/10 J50 . - D e l a w a r e E m e r g i n g M a r k e t s F u n d B u y 10/05/10 K51 . - N a t i x i s F u n d s T r u s t B u y 10/05/10 J

A

A

A

A

A

A

A

A

A

1. Income Ga in Codes : A = $1,000 or less B =$1,00 l - $2,500 C -$2,501 - $5 ,000 D =$5,001 - $15,000(See Columns B 1 and D4 ) F =$50,001 - $100,000 G = $100,001 - $1,000,000 H l = $1,000,001 - $5,000,000 H2 = M ore tha n $5,000,000

2. Va lu e Cod e s J -$15,000 or le s s K -$15,001 - $50,000 L -$50,001 - $100,000 M -$100,001 - $250,000( S ee Co lu m ns C I a nd D3) N =$2 50 .00 1 - $ 50 0,0 00 O = $500,001 - $1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5, 00 0, 00 1 - $2 5, 00 0, 00 0

P3 -$25,000,001 o $50,000,000 P4 -More than $50,000.0003 . Va lue Method Codes Q =Appra i sa l R =Cost (Rea l Esta te On ly ) S = A sse s sm e n t T = Ca sh M a r k e t( S c c Co l u m n C2 ) U =Book Va lue V = O t h e r W = E s t i m a t e d

E = $15,001- $50,000


7/9


Name of Person Report ingNoonan , Jr ., John T.


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o 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 . 34 -6 0 o / f il i n g i n s t r u c t i o n s .)N O I ~ E (No reportable income, assets, or transactions.)

A. B.Description of Assets I n c o m e d u r i n g G ro s s v a l u e a t e n d

( 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 o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (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 ., V a l u e V a l u ee x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t . C o d e 2 M e t h o d

T rans ac t ion s dur ing r epor t ing per iod

(1 ) (2) (3) (4)Type (e.g., D a t e Value Gain

buy, sel l , mm/dd~yy C o d e 2 C o d e 1

5 2. - Ol d M u tu a l M i d Ca p Va lu e Fu nd

5 3. - Pi m c o Co m m o d it y Re a l Re t ur n Fu nd

54. -W estc0re Small Cap Value Fund

5 5. Tr u st Nu m b e r 2 (No p e r so na l i n co m e )

56 . -Colum bia High Yie ld Mun i Fund

57 . -Delaware Emerging Markets Fund58 . -Eaton Vance Large Cap Value Fund

59. -Pimco Commodi ty Fund

60 . -Fl e et In te rna t iona l Equ it yFund

6 1. -Fleet Small Cap Gro wth Fund

6 2 . - M A In t er m e d ia te Te r m Fu nd

6 3 . -Flee t Mid Cap G rowth Fund

6 4. -Fleet Large Cap Gro wth Fund

(A-H) o r i n t . )

D Dividend

(J-P) Code 3 redem p tion ) (J-P) (A-H)( Q -W )

M T

B uy 10/05/10 JB u y 10/05/10 JB uy 10/05/i 0 J

Bu y 10/05/10 JBu y 10/05/10 JBu y 10/05/I 0 JBu y 10/05/10 JSold 10/05/10 JSold 10/05/10 JSold 10/05/10 JSold 10/05/10 JSold 10/05/10 J

AAAAA

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

b u y e r / s e l l e r( i f p r i v a t e

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

65 .

I. I n c o m e G a i n C o d e s : A =$ 1,000 or le ss B =$ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B I a nd 194 ) F =$50,001 - $100,000 G =$100,00! - $1,000,000 H1 =$1,000,001 - $5,000,000 H 2 ~More than $5,000,000

2. Va lu e C od e s J = $15,000 or le ss K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000(See Co lumns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $I,000 ,00 1 - $5 ,000 ,000 P2 =$5,000,001 o $25,000,000

P3 = $25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method C o d e s Q =Appra i sa l R =Cost (Rea l Esta te On ly ) S = A sse s sm e n t T = C a s h Market( S e e Co l u m n C2 ) U =Book Va lue V = O t h e r W =Est imated

E =$15,001- $50,000


8/9

FINANCIAL DISCLOSURE REPORTPage 8 of 9

N a m e o f P e r s o n R e p o r t in gNoonan , Jr. , John T.


V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indleate part of report.)Two t rus t s r e fe r red to in th i s r epor t a re a s fo l low:1. Trust: The~ ~ Trust was created by ~"* ~ ~ on December 15 1976. It became irrevocable on her death in 1990 and dividei n to t h r e e sha r e s . T he t r u s t e e has d i s c r e t i on t o pay t he i n com e an d p r i n c i pa l o f my sha r e t o ~ 1976 Trust: 1 9 7 6 T r u s t w a s formed by in 1976 and became irrevocable on his death in 1987. On his deaproper ty was d i v i d e d i n t o equal shares The trustee has discretion to pay some or all of the net income or principal oT he t r u s t t e rm in a t e s on t he de a th

yea r s o f age . A t t h e req ue s t o f t h e C omm i t t e e on F in an c i a l D i sc lo su r e , I h av e summ ar i z ed t he r epo r t s I h av e r e c e iv ed .I n Apr i l 2 0 0 0 , F le e t B an k a cq u i r ed t he B an k o f B os ton an d b ec am e the t r u s t e e o f t h e ab ov e t r u s t s . T he t r u s t s we r e a l so sub d iv ided i n to d i s t i n c t t r u s t s f o r e ach o fthe of the grantors, so that there is now a distinct trust for~ : ~ under the same trust instruments. Report is not made here of the salesof odd l o t s ( t yp i c a l l y on e o r two sha r e s ) made t o m ak e i t e a s i e r t o d iv i de t h e t r u s t s in to t h i r d s . T he mon ey m ark e t f un d , Ga l axy , was a r r an ged b y F l e e t t o t ak e ov ethe f un c t i on s pe r f o rme d b y the mon ey ma rk e t Bos ton 17 8 4 f un ds ; i n v e s tmen t s i n t h e se mon e y mark e t f un ds a r e n o t ed on an an n ua l b as i s .


9/9


Name of Pe r son Re por t ingN o o n a n , J r . , J o h n T .


IX. CERTIFICATION.I c e r ti f y t h a t a l l i n f o rm 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 , i f a n y ) i sa c c u r a t e , t ru 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 te 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 t a tu t o r ypr ov i s i on s pe r mi 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 ti f 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 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 om pl i an c e w i t h t he p r ov is i on s o f 5 U .S .C . app . 501 e t . s e q . , 5 U .S .C . 7353, an d Jud i c i a l Con fe r e n c e r e g u l a t i on s .

Sign ature: S/John T. Noon an, Jr.

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I LF U L L Y F A L SI F IE S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA ND C RI M I NA L S A N CTI ON S (5 U .S .C . a p p . 104 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

John T Noonan Jr Financial Disclosure Report for 2010

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