Lawrence J ONeill Financial Disclosure Report for 2009

8/3/2019 Lawrence J ONeill Financial Disclosure Report for 2009

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.w J 0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e Ethicsin Government Ac t of t978R ~ . ~ / 2 0 0 6 FOR CALENDAR YEAR 2009I. Person Reporting Oast name, first , middle initial) Z. Coup/or Orgznbazion 3. Date o[ONeil l , Lawrence J ~zcm District of California ~il ~2010

4. Tide (A~c[ i l l judg~ ind icate scdve or ~n ior i~tus; $a. Repo~ Ty~ (check apprup~~e) 6. Repo~ng Pe r t~ms~slr~te judg~ Indicate full- or p~-tlme) 0 ]/0 [/200~Nomination, ~A~icl I l l Judge (act ive) ~ I n i t i a l ~ hnnml ~ Final !2131/2~

~ Amend~7. Chambe~ or Off ice Addre~l 8. On the basis of the information contained in this Repo~ ~ndmodiflcaHon~ pe~lning thereto, R I~ in my opinion, in complianceUnited States Cou~ou~ wRh applkable law~ and regulations.25~ TutmeFresno , Cal i fo rn ia 93721 Reviewing O~c~r DII~

I M P O R T A N T N O T E S : The instructions accompanying thi, s forra must be followed~ Complete all parCs, .check ing th e NONE box for each par t where you have no repor table information. Sign on las tpage.

I . P O S I T I O N S . rR,~,a,~~ N O N E ( N o reportable positions.)

POSITION NAME OF QRQANIZATIQN/ENT1TYI. Trustee Tn~st

2 . Boa rd o f D i rec to r Federal Bar Associat ion

[] NONE (No reportable agreements.)DATE PARTIES AND TERMS

1. 1999 Sta t e o f Ca l i fo rma Ju dge s Re t i r emen t P l an (pens ion comm ence s a t a ge 62)2.


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F I N A N C I A L D IS C L O S U R E R E P O R T] N . . ..

t ~ , . . .. n . p o ~ . gPag e 2 of 9 ONei l l , L a w r e n c e J 0 4 [ 1 ~ 2 0 1 0

I l l. N O N - I N ~ S T M E N T I N CO M E . r~ . ~ ind~Mu~and,pous.: s.epp.A . F l i e r s N o n - l n v e s~ e n t I n c o m e

N O N E ~o reportable non-investment income.)DATE SQURCE AND ~PE

[yo~s , not spouses )1.

2.3.4.5.

B . S p o u s e s N o n - ln v e s tm e n t I n co m e - I f you were marr ied during any pordon of the repor ting year, complete th i t s ec~ot~(D ollar amount not req uired except for honoraria.)

X~ NONE (No reportable non-investment income.)

~ SOURCE AND TYPE1.2.3.

4.5.

IV. REIMBURSEMENTS -(Includ~ those to spouse and dependent children. See pp. 75-27 ql-instructions.)

~ (No reportable reimbursements.)ONE

SOURCE DESCRIPTIONI.

2 .3.

4.

5.


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F I N A N C I A L D IS C L O S U R E R E P O R T N . . .. fe . . . . s e p o . l . g D . , ~ o f a q , o .P age 3 o f 9 ONei l l , L a w r e n c e J 0 4 / 1 2 / 2 0 1 0

~ N O N E ~o reportable g~ts.)~ D E S ~ R I P T I Q N ~

1 .2 .3 .4.5.

VI. LIABILITIES. a,,~,,~,sN O N E ( N o reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E1 .2 .3 .4.

5.


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Iame af P ....ReportlagI Date af Repair

FINANCIALDISCLOSUREREPORT] ONeill, Lawrence J

04/1~2010age 4 of 9V I I . I N V E S T M E N T S a n d T R U S T S - ~,,o,.o. ~,~u~. ~,o,~,ao,~ on,~,d ,~ ,,o,, oS,h, ,p .....d ~ , ~ d e , , ,h i ~ e ~ S , e p p . ~ + S ~ o ! f a ~ , ~~ N O N E ~ V o reportable income, transact ions.)r

A. B. C. D.(including trust assets) reporting period reporting period

Place "(X)" utter each asset

[

Amount type (c.g Value V a l u Type (e.g. (2) (3) (4 )exempt from prior disclosure Code I div., r~nt, Code 2 Method buy, ~ell, Date Value G a i n Identity of(Q-W) redemption) Day ( J - P ) (A-H) (if private

1

I . Prudentia l Fin hie (Schwab acct) C Interest L T

2. Metropoli ta l W es t STrategic income B Dividend K T sell 04/I 6 K(Schwab) IRA3. Noah Track Geneva Growth Fund A Interest J T(Schwab) IRA4. RS Global Natural Resources Fund B Interest K T(Schwab) IRA5. Kensingqoa Strateg ic Real ty Fund A Distribution J T(Schwab). IRA6. Dodge and Cox Stock Fund (Schwab) C Dividend L T

[7. Art isan lnt l Small Cap Fund (Schwab) B Interest K T8 . Amer i can F un d New W o r l d A [me re s t J(Schwab)(IRA)

9. I -Shares Russe ll 1000 V alne Index Fund A Interest K T sell 01/26 K(Schwab)10. Schwab US Treasury Money fund A Interest K T( IR~,)I I . Longleaf Parsers Fund (Schwab) (IRA) C Interest J T sell 01/26 J12. We l ls Fargo Bank Trust #l A Interest J T

13. Ameican Fund New World (Schwab) B Dividend K T sell 01/30 JIRA14. RS Global Natural (Schwab) IRA A Interest J T bu y 01130

t 5, Fir,st Eagle Overseas (Schwab) A I n t e r e s t l T bu y 0 1 / 3 0 J16. American Funds New Wo rld (Schwab) A Dividend J T bu y 01/26IR A17. Kensing ton Select Income (Schwab) A Dividend K TIRA


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INamef P e r s o n R e p o r t in g [ D a t e o f R e p o r tD IS CL O S UR E R EP O R T[ o r ~ e l ) l, L a w r e . e e Jage 5 of 9 0 4 / i z ! 2 0 1 0

~ . NONE (No reportable income, transact ions.)ssets, orA. l ~. c. o.Description of Assets ] Incom e during Gros~ value at end of Transactions during reporting p


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Iam e of Person Reporting [ Date of ReportFINANCIAL D I S C L O S U R E R E P O R TPage 6 of 9[ ~ ] N O N E (No reportable income, assets, transactions.)rA. B. C. D.Deacription of A~sats Income during ~ Gro~ value at end of Transactions during reporting period(including tm~t assets) reporting period repoaing period

Pkacc "IX)" after each ~t~se~ Amount Type (e.g. Value Value Type (e.g. (2) (3) (4) (5)exempt from prior disclosure Code I div., rent, Code 2 M e t h o d buy, sell, Date Value Gain Identity of(A-H) or int.) (J-P) Code 3 merger , Month - Code 2 Code I buyer/seller(Q - W) redemption) D n y (J-P) /A-II) , lif privatetransaction)

35. GTE North lnc bond A Interest J T36. K.ey Bank corporate bond B Interest K T

37 . Lac lede Gas Co I s t mor tgage B Interest J T

38. Pacifr ic Bell corp bond B Interest K T

39, Providence Go* Co bond A Interest J T40. Prudent ial F in l Inc corporate bond B Interest K T

41. Soathwes tern Bell Te . Co corpora te B Interest K Tbond4 2 . Bank o f Am er ica s tock A Dividend J T sell 06/I 7

43. American Fun ds , Fund Inv F, B Dividend J T sell 01!30

~. American Funds, Fund Inv F-t A Dividend K T bu y 01/26 K

45. Capita l W orld Growth and Income A Inte~s t J Tmu tu a l fu nd"16. Pureto Rico Convention Center bonds B Interest K T

47. Contra Cos ta Community College A Interest J Tbonds48. Encin i tas Ca Publ ic Library A Interest J TConstruct iion Bonds,19. Schwab Govt M oney Fund : A Interest KIRA--Schwabb50 . Morgan S tan l ey CD (Schwab) B Interest K T

51. Schwab Govt Mo ney Fund : Schwabb D Interest M T


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FINANCIAL Jam e o f P~:rson Reporting I Date af ReportD I S C L O S U R E REPORT{ ONeill, Lawrence J t

04/12/2010age 7 of 9V I I . I N V E S T M E N T S a n d T R U S T S - ~ , c o ., ~ . ~ t . ., ~ . . .. i . ., n . c l . d e ~ , h o ~ o f r h ~ . p . . .. . ~ ~ . ~ o .~ . , ~ U O ~ S o ~ ~ . S ~ 4 7 o ! ~ U ~ ~ .... ~ , . >~ income, assets, or transact ions.)ONE (N o reportableA~ B. C. D,Description of Assels try:dine during Gros~ value at cod of Transactions during ~rling period(iacluding trust assets) r~porling period reporting period ~

"(X)" aflar each asset ~,mount Type/e .g . V a ? u e Value Type (c.g, ?i2~- (3 ) (4) (5 /Placeexempt from prior disclosm,~ Code I d i v . , r ~ n ~ , Code 2 Method buy, sell, Date V a G u e G a i n Identity of(A-H) or ial.) (.Lp) Code 3 I merger. Month - Code 2 Code I buyer/seller(Q-W) rcdempfion) Day (J-P) (A-H) (if privateIransaction)

52. Vsnguad Ca Inlerm Term Tax Exempt C Interest k T bu y 01/26 ! KFD (Schwab)53 . Vangu a rd Pr imecap Core Fu n~ B lnteres~ K T bu y 0~il 7 K

54. TCW Tota l Return Bond (schwab) IRA C Interest K T bu y IM/I 7 K55 . T C W Tota l Return Bond (schwab) IRA C Interest K T sell 12/1056. JP Morgan H ighbridge Slat Mkt Neutral B Dividend K T buy 08/05 KSelect CL57. Lo0mis Sayles Bond CI (Schwab) B Dividend K T bu y 08/05 K(IRA)58. Tweedy Brown Global Fund B Dividend K T(schwab- -IRA)59 . Vangu a rd GNM A Fu nd I nv e s to r Sha re B Dividend K(IRA)60, Schwab Ca Muni Money Fd Sweep A Interest J Tsha r es61. Pimco All Asse t Fund , Inst i t c lass B Interest K TSchwab62. SCH Ca Mu n i Money Fd s ha re s D Interest M T(Schwab)63 . San Francisco Cal i f Ci ty/County Pub l ic A Dividend K TUtility bond s


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FINANCIAL DISCLOSURE REPORT ~.~ of P ....Reporting I ) . t , o[ ReportPage 8 of 9 ONeill, Lawrence J 04t12/2010VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~a~,,,~,, ,o;R,~,,~)


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FINANCIAL DISCLOSURE REPORT IN fP Repo.~.~ .... ....I D a * e o f R ~ p o . [P age 9 o f 9 O N e i l l , L a w r e n c e J 04/12/2010

IX. CERTIFICATION.

1 certify that all Information given above (Including information pertaining to my spouse and minor o r dependent children, If any) Isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovis ions permit t ing non-disclosure .1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are Incompliance with the provisions of 5 U.S.C. app. 501 et, seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY II~ TO FILE THIS REPORT ,MAY BE SUB3ECT TO CIVILA N D

FILING INSTRUCTIONSMai l s igned o r ig ina l and 3 add i t iona l cop ies to :

Comm i t tee o n F inancia l D isc losureAdm inis trative Off ice of the Un ited States CourtsSuite 2-30IOne Columbus Circle, N.E.W ash ing ton , D .C . 20544


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a o ~ o FI NANCI AL DI S CL O S URE R EP O R T R e p o r t R e q u i r e a b y l h e E t h i c sin Government Act ofl978R ~ v . J ~ 2 0 0 ~ FOR CALENDAR YEAR 2009 t 5 ~:s .c ~pp . tol-Jlt)L Person R eporting (last name, first, middle initial) Z C ourt or O rganization 3, D areof R eport

ONeill, Lawrence J Eastern District of California 03/01/2010

4.1~lle (~ticle IH judg~ i~i~t active or ~nior s~t~; 5a. Re~rt Ty~ (chug appropr~te ty~) 6. Re~i~ Peri~~g~trate judg~ indJ~ full- or part .time) 0 ]/0 ] ~~ Nomm~i~ D a~ toAflicle 1II Judge (active) ~ laifi~ ~ A~u~ ~ Fill 12/31/2~

7. Cham~rs or ~ Addr~ ~ the b~ of lhe inlo~ation ~on~t~ in th~ Re~ and anym~ifi~fiom ~r~i~ng t~rto, it ~, in my opin~n, in complian~United S~te$ Cou~ouse with appli~ble ~ws and r~ulatio~,25~ Tulle StreetFr~no, Califo~ia 93721 R e v l e w~ng O~r D a~

I M P O R T A N T N O T E S : The instructions aecompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . POSITIONS . ,s,ao~,~] (No reportable positions.)ONE

POSITION NAME OF ORGANIZATION/ENTITY1. "lT~stee Trust #i2. Board of D irector Federal Bar Association

[f~ NONE (No reportable agreements.) ~."L ~ t i:i]DATE PARTIES AND TERIvIS cD a~> "~ ~

I . 1 9 ~ ) Sta~e of Califo~ia Judges Retirement P lan (~nsion commences at age 62 ~~ ~ ~

2 .


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Page 2 of 9 oNem, Lawrence J 0 3 / 0 1 / 2 0 1 0

!II. NON- INV ESTM ENT INCOM E. (S~,~gindi,idualandspouse;A. Fliers Non-lnvestm ent Incom e~ N O N E (No repomable non-o~vestment income.)

DATE SOUR~ AND TYPE I N CO M ~(y~u~, 11ol s~useS)

1 .23.4.

5.

~ N O N E (N o reportable non-investment inco~.)DATE SOb~CE ~D T~

2.

3.4.

5 .

I V . R E I M B U R S E M E N T S - . t ~ . ~ o . . ~ o . , lodging, food, entertainmeca,[ N O N E (No reportable reimbursements.)

SOURCE DESC~ION!.

2.

3.

5


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Iam~ of Person Reporting Date of ReportPageFINAN CIAL3 of 9 D ISCLOSU RE R EPOR T I o t~eia,~ N O N E (No reportable g~s.)

~ DESC~IION

2.3.4.

5 .

VI. LIABILITIES. a.~.a~ ~o~. q~ ..... a~,~.a~.,~ N O N E (No reportable liabilities.)

C~DITOR DESC~tON V~[~ CODE1.2.3.4.

5 .


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Ia~r~ of Per~n ReportingFINANCIAL DISCLOSURE R E P O R T[ ONem, Lawrence Jage 4 of 9 0 3 1 0 1 1 2 0 1 0

Vll. INV E S T M E N T S a n d T R U S T S - i ....... ~ , , t ..... t~ns (incl~,s those of ~s~us~ ~ de~n~nt c~,n. See pp. J&57 of rang inst=~ns)N O N E (No reportable incite, assets, or tra~actions.)

De~ti~ of A~ 1~o~ dung :~Gro~ vMue a t ~ of ~ Tr~ctio~ during ~g

Zl~e "(X)" ater each ~t amo~t T~ (e.g. ~ V~u e ~ Val~ T~te g. r2). ~ ............ ,~ ....exempt ~om ~or ~l~m C~e l ~ div., reaL ~ C~ 2 r Me~ buy. ~11, Da~ [Vah~ G a i n l~nfib of~ ~ , (~W) ~demption) D ay

1. Prudential Fin lnc ~Schwab accl) C Interest 1. T

2. Mctropolital West STrategic Income /3 Dividend K T sell 04/16 K(Schwab) IRA3. Nor th Track Geneva Growth Fund A lmerest J "1(Schwab) IRA4. RS Global Natura l Resources Fund B Interest K T(Schwab) IRA5. Kensington Strategic Realty Fund A Distribution J T(Schwab) IRA6. Dodge and Cox St~x:k Fund (Schwab) C Dividend L T

7. A.atisan lntl Smalt Cap F und (Schwab) B Interest K T

8. American Fund New World A Interest J T(Schwab)(IRA)9. 1-Shales Russe l l 1000 V alue lades Fund A [merest K T sell 01/26 K(Schwab)I0. Schwab US Treasu~ Money fund A interest K "F(rRA)I 1. Longleat Partners Fnnd (Schwab) (IRA~ C Interest J T sell 0t,26 .~12. Wells Fargo Bank q"m st #I A Interest J T

13. Amcictm t und New W orld (Schwab) B Divide~d K "1 sell 01130 JIR A14. RS Global Nanm~l (Schwab) IRA A Interest J T buy 01/3015. First Eagle Oversea.~ (Schwab) A Interest ) T ba y 0113016. American Funds New World (Schwab) A Dividend 1 T buy 0 1 / 2 6 JIRA17, Kensington Select Income (Schwab) A Dividend K " 1IRA


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Nam e of Person Reporting Date of Repor~FINANCIALDISCLOSUREREPORT] ONeill, Lawrence Jage 5 of 9 o ~ o l / ~ o ~ o

V II. INV ESTm eNTS and TRUSTS -~ ...... ~,, .....~.~.~a~..~o..o:,~.~ .... ~ d e ~ n d e n t c h ~ e n . S e e p p . 3 ~ 5 7 o f ~ in g ~ s t ~ c t~ n s )~ N O N E (No reportable income, assets, or fransactions.)................... ~~ .................................... ~ ............. ~ ..... c .........................................................................

De~rip~ of As~ts Inco~ d~g G~ss vMue at ~ of T~c~ons ~g ~ing~mclu~g trust ~) i reining ~fi~ ~g..............

exem~ from ~or ~los~ C~ I ~v., rein, C~ 2 Me[h~ ~ Y ~ f l / Da ~ ] VM~ [Um I~ntily o f~ / ~ ~ansacfion)

l 8 . LongleM Pa~ne~ Fund IRA (Schwab) A Interest K T

19. Clovis Community Bank A Interest J T

20, Ay gonaut C orp, I . iver tnore. California D Distribution M R1985 $84.21~)Trns~ #l21. Columbia Housing 1X L td pr tner 1988 B Distribution K R$25,767 (trust # I )22. Wells Fargo Bank, acct #2 A Interest 1 T

23. Deser t Funding, Inc. /vlor tgage Note D Interest M T(rrust #1)24. Macwest Rivers ide Housing Inv, LLC None M U

25. California State Univers ity R evenue A Interest K TMnni Bond

26. Dallas/Ft. Worlh, Texas lntl Muni Bone B Interest K T27. Oregon Go E lder ly /Disabled muni bond A Interest J

[T

28. American Fnnd Am Cap Fun d Schwab~ A Divide~d K T sell 01126 K29. l~erto RiCO Electric Power Muni bond A Interest K "1-

30. San Francisco Intl Airpor t muni Hond A lnteresl I T

31. St. l.ouis MO AJrl~~rt muni bond A luterest l T

32. P ermanent Port fol io (Schwab) A Dividend K T sell 05t0133. Bauk of America Sub Not corporate B I n t e r e s t K Tbonds34 . General Electric Cap Corporate bond A I n t e r e s t


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FINANCIAL DISCLOSURE REPORT N a , ~ or~,,, R , ~ , . ~ n g I Iage 6 of 9 o~, L.~ J 0 ~ / 0 ~ 0 ~ 0~ N O N E (No reportable income, a sset& or transactions.).......................... -X; ............ ~. - ................. ?:~ ........~ ........

De~ of As~ I~o~ dung (;ross v~ue at end of qY~ons ~ng m~g(mclu~g ~st ~) re~mg ~ri~l m~g ~fi~ .PI~C "(X)" ~r each ~t ~o~1 ~ T~[~ {e.g. V~u : Val~ ; ly~ {e.g. 12 } (3)exempt from p~ol ~l~u~ C~ t ; div., ~ C~ 2 NI~ , buy, ~IL Date V~(A-It) o~ mL) (J.P) ~ Ct~ 3 ~rg~. M~ - C~ 2{Q-W) m~m~} Day (J-P) (A-H) (if privatei

35 G~ No~ Inc bond A Interest J T

36. Key Bank corpora te bond B Interest K T

37 Ladede Gas Co 1st mortgage B Interest l T

38. Pacifric Bell corp bond B lnh:rest K TI 39 Providence Gas Co bond A I n t e r e s t J T

40. Prudential Finl Inc corporate bond B I n t e r e s t K T41. Southwestern Bell "re. Co corporate B lmerest K Tbond42. Bank of Am erica stock A Dividend J T sell 06117 J

43. American Funds, Fnnd lnv F, B Dividend l T sell 01/3044. Am erican Ft rads, Fund lnv F- i A D ividend K "1" buy 01/26 K

45. Capi ta l World Growth and Income A Interest .I TmntuaI fund4-6 Pureto Rico Convention Center bonds B lnleres~ K T

47. Contra Cosla Comm uni ty Col lege A tnteresl I "1"bonds48. Encinita.s Ca P ublic l.ibrary A Interest J TConsm~ctiion Bonds,19 . Schwab Govt Money Fund: A Interest K T1RA--Schwabb50. Morgan Stanley CD (Schwab) B Interest K T

51. Schwab Govt Money Fund: Schwabb D I n t e r e s t M T


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FINANCIAL DISCLOSURE REPORT N,m ~ of Person Reporting Date of ReportPage 7 of 9 O N e i l l , L a w r e n c e J 0 3 / 0 1 1 2 0 1 0VII. INVESTM ENTS and TRUSTS - i ....... ,~ue. ~.~o.~ ,nct.a,s thos, oJ th, ~ ....~ d~p,,,,~t ~ h i ~ , n . S , ~ ~ . ~ - S 7 o ; ~ ~ , * ,~ t ~ , . ~

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

(~clu~g ~st as~ts) ~ re~g ~ri~ ~ ~g ~fi~Pl~e "~X)" ~et ~ch ~t ] Amou r "I~ (e.g. ~ Value I Val~ T~ (e.g. (3) I ,~ , 5 )exempt ~m prior &~l~ C~ I , ~v., renL C~ 2 Me~ ~y. ~B, Da m ValmI G a i n l~mity of:: (A-H) or int.) ; (J-P) C~ 3 merger, Mon~- C~ 2 C~ I buyer/~ller

~i ~( QW ) re~mption) Day (J-P) (A-H) ~ff ~vam

52. V~guad Ca lnte~ Te~ T~ Exempt C Interest L T bu y 01/26 K~ (Schwab)53. V~gu~d Pnmecap Core Fund B Interest K T bu y (M/17

54. TC W Tota l Return Bond (schwab) IRA C Interest K T bu y 04/1755. T CW T ota l Return Bond (schwab) IRA C Interest K T sell 12/1056. JP Morgan Highbr idge Seat Mkt Neutra B Dividend K T bu y 08/05 KSelect CL57. Loomis Say les Bond CI (Schwab) B Dividend K T bu y 08/05(IRA)58. Tweedy Brown Global Fund B Dividend K T(schwab--IRA)59. V anguard GNMA Fund Investor Share B Dividend K T(IRA)

60. Schwab Ca Muni Money Fd Sweep A Interest J Tshares61. Pimco All Asset Fund, lnstit class B Interest K TSchwab62. SCH Ca Muni Money Fd shares D Interest M T(Schwab)63. San Francisco Calif City /County Ptlblic A Dividend K TUtility bonds


17/27

Page 8 of 9 ONeill, Lawrence J 0 3 / 0 1 / 2 0 1 0VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (l~aic~, p~ of Report.)


18/27

Nam e of Person Reporting Da~e of ReportFINANCIAL D IS C LO S UR E R E PO R TI ONeill, Lawrence Jage 9 of 9 o 3 / o t / 2 o i o

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) ixaccurate, true, and complete to the best of my knowledge and belieL and that any information not reported was withheld beca~xse it met applicable statutoryprovisions permi t t ing non-disclosure .I further certify that earned income from outside employment and honoraria and the acceptance of gifU which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.Co 7353, and Judicial Conference regulations.

NOTE: A.rqy FAILS TO FILE THIS REPORT MAY BE SI~BJF,(~T TO CIVIl,.AND CRIMINAL ~

FII,ING INSTRUCTIONSMait signed original ,and 3 additional copies to:

Com mit tee on Financial DisclosureAdministrative Office of the Lrnited States CourtsSuite 2-301One C olumbus Circle, N.E.Washington, D.C. 20544


19/27

A o / o FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978R e v . J , 7 o o 6 FOR CALENDAR YEAR 2009 (5 u.s .c, a p p . , ~ 1 0 1 - 1 1 1 )L Person Reporting (last nam e. first, middle initial) 2. Court or organization 3. Date of ReportONeill , Lawrence J Eastern District of California 0Ill 3/2010

4 . T it l~ (A rt ic le Il l j ud ge s i nd ic m e a ct iv e o r ~ ni nc s ta tm ; ; 5 a. R ep or t T yp e ( ch ec k a pp ro pr ia te Lv pe ) 6, Reporting Periodmagistrate judges indicate full- or port-time) 0]/01,r2009Artic le I I I Judge (ac tive) 1--1 Initial [~ . ,Xrmual ~ Final 12/31/2009

5b. [~ Amendext Rel:~r~7. Chambers or Office Addres s 8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in complianceUnited Sta tes Courthouse with applicable laws and regulations.2500 Tulare StreetFresno, California 93721 Reviewing Officer D a v e

I M P O R T A N T N O T E S : The inStrucffons accompanying this form must be followecL Complete all parts,check~ng the NONE box for each part where you have no reportable informalon. Sign on last page.

I . P O S IT IO N S . ~ R 0 p o , ~[~ N O N E (No reportable positions.

POSITION NAME OF ORG ANIZATION/~NTITYI . Tn~s lee Trust #12. Board of Direc tor Federa l Bar Associa t ion

I I . A G R E E M E N T S . t R ~ o ~ , ~ , o a , .~ o o ~ y : s o , p ~ . 1 4 - 1 6 o f i n s t r u c t i o n s . )~ NONE (No r~Tortable agreements.)

P~TIES AND TERMS1. 19~ State of California Judges Retirement Pl~ {.~nsion commences at age 62}

2


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F I N A N C I A L D I S CL O S U R E R E P O R TI Nan~ o[ P ....

Report i ng Date o f Repo rtPage 2 o f 9 O N ei l l, L a w f en c e J 01 / 13/2-010

I I I . N O N - I N V E S T M E N T I N C O M E . ~R,pon~ ~,~,~ ,ds, ouse; ~oe pp. ~z.24 o/ ~ . . . . .A . F f le r s N o n - l n v e s ~ e n t I n c o m eN O N E (No reportable non-investment inco~.)

DA~ SOURCE ~D T~E I N C O M E(yotl~, not s~uses)

1.2.

3.

4.

5.

B. S~ets Non-Investment Income - if you w,r, m~d du~ng any poreon of the reporting y~, comp&tt this( Doll~ ~nount ~1 required e.~cept J~r honorari~ )

N O N E (No reportable non-investment income.)SOURCE ~D T~E

I.2.3.

4.5.

IV. REIMBURSEMENTS ....o , , ~ o ~ , ~ g i . ~ . . ~ o o a , .. . .. .~ . . . .t.~_~ (No reportableO N E

S O U R C E D E S C R IP T IO N1.

3.

4

5.


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F I N A N C I A L DI S C LO S U R E R E P O R TP a g e 3 o f 9 O N e f f i , L a w r e n c e J

V . GI F T S . a ~ ~ o ~ ~ ~ . . . .. z ~ p , ~ , ~ h ~ . s ~ ~ .~ N O N E (No reportable g~s.)

~ DESC~ION1 .2.3 .4.

5.

VI. LIABILITIES. a,c~s ~os~ oy~p . . . . . a dependent c h i l d r e n . S e e p p . 3 2 . 3 4 ofingruc~ions .)[ N O N E (No re po rtable liabili t ies .)C R E D I T O R D E S C R I P T I O N V A L U E C Q D _ _ _ ~ E

2.3 .4.

5.


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FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t i n g D a ~ o f R e p o r tP a g e 4 of 9 O N e i l l , L a w r e n c e J 01/13/2010

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

~fi~ of A~B 1~o~ ~g C~o~ v~ at end of Tr~cfons during re~g ~ri~

( A - H ) : o r ~ t . ) (J-P) C~ 3 ~ger, M o n ~ - ] C~ 2 ~ C~ i ~yer!~ll~~nsacoon)

1. Prudentia l Fin luc (Schwab acct) C Interest L T ~

2. Meuo~li~l West ST~tegi~ Income B Dividend K T sell ~116 K~Schwab) IRA3. No~ Track Geneva Grow~ F~nd A Interest J T(Schwab) IRA [4. RS Global Natural Resources Fund B Interest K T(Schwab) ~5. Kens inbaoa S~ategic Realty Fund A Distribution I T(Schwab) IR A6. D~ge and Cox St~k Fund (Schwab) C Dividend L T

7. Artisan Intl Small Cap Fund (Schwab) B I n t e r e s t K T8. American Fund New World A Interest J" T(SchwabXlRA)9. l-Shares Russell 1000 Value lodex Fund A Interest K T sell 01/26 K(Schwab)10. Schwab US Treasu~" Money fund A Interest K T(IRA)I 1. Longleaf Partners Fnnd (Schwab) (IRA. C Interest J T sell 01 ~6 J

12. Wells Fargo Bank Tn~st #1 A Interest J T

13. Ameican Fund New Wo rld (Schwab) B Dividend K T sell 01/30 JIRA14 RS G lobal Natural (Schwab) IRA A Interest J T buy 01130

15. First Eagle Overseas (Schwab) A Interest J T buy 01/30

16. American Funds New World (Schwab) A Dividend J T buy 0I,r26IRA17. Kens ingtnn Select Income (Schwab) A Dividend K TIRA


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F IN A N C I A L D IS C L O S U R E R E P O R T n a ~ o f P , r ~ n a e p ~ in g [ D a t ~ o f R e p o r tP a g e 5 o f 9 o s ~ , L a w r e a ~ J I

0 1 / 1 3 / 2 0 1 0VI I. INVESTmeNTS and TRUSTS - i .... ~, ~, t ....,~.~ a .u~ ~ o ~ o / t~ ~ ~ a ~ . ~ . ~

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

D~ti~ of A~ l~o~ d~ng ~os~ v~ue at end of i "F~cfi~ d~g re~ng(~clu~g ~st as~) r~g ~d~ re~g

exempt ~m ~ ~1~ C~ I div.. renL C~ 2 Me~ buy, ~11. Da ~ V~ G a~ I~ nfity o f~ A - H J ~ ~t.) e J - P ) C~ 3 merger, Mon~ - C~ 2 C~ I ~yer/~lle~(Q-W) ~ ~m~on~ Day

I8. Longte~ P~ne~ Fund I~ (Schwab) A Interest K T

19_ Clovis Community Bank A Interest J T

20. Axgonaut Corp, Livermo re. California D Distribntion M R1985 $84,200 Toast #121. Columbia Hous ing IX 1. td prtner 1988 B Distribution K R$25,767 (trus t #1)22. Wells Fargo Bank, acct #2 A Interest J T

23. De~r l Funding, Inc . Mortgage Note D Interest M T " 1(Trust # 1 )24. Macwest Rivers ide Housing lnv , LLC Noue M U

25. California State Univers ity Revenue A Interest K TMuni Bond26. Dallas/Ft. Worth, Texas lntl Muni Bond B Interest K T27. Oregon Go Elderly/Disabled muni bone A Irtterest J T

28. American Fund Am Cap Fund Schwabt A Dividend K T s o l 1 0 1 / 2 6 K29. Puerto Rico Electric Power Muni bond A I n t e r e s t K T30 San Francisco Int l Airlx~rt muni Hond A haerest J T

3 !, St. Louis MO Airport muni bond A Interest J T

32. Pemmnent Portfolio (Schwab) A Dividend K T s e l l 0 5 1 0 133. Bank of Am erica Sub Not corporate B Interest K Tboads34. Genera l Electric Cap Corpora te bond A Interest J l


24/27

F I N A N C I A L D I S CL O S U R E R E P O R T N ~ m e o r ~ , ~ o . a e p o . * i~ m ~ . o r a , ~ o r tP a ge 6 o f 9 O N e i l l , L a w r e n c e J 0 1 / 1 3 / 2 0 1 0

37. Laclede Gas Co 1st moilgage B Interest J T

38. Paciftic Bell corp bond B I n t e r e s t K T39. Providence Gas Co bond A I n t e r e s t J T40. Prudentia l Finl lnc corpora te bond B Interest K T

41. Southwestern Bell Te. Co corporate B Interest K Tbond42. Bank of ,4america s tock A Dividend .1 T sell 06117 J

43, American Funds, Fnnd lnv F, B Dividend J 1 " sell 01130 J44 Am er ican Funds , Fund lnv F- l A Dividend K T buy 01t26 K

45. Capita l World Growth and Income A Interest J Tmutual fund46. P~reto Rico Convention Center bonds B Interest K T

47. Contra Costa Community College A Interest J Tbonds48. El~cmitas Ca ~blic Library A luterest J TConstpactiion Bonds49. Schwab Govt Money Fund: A Interest K TIlL~--Schwabb50. Morgan Stanley CD (Schwab) B [nte~st K T

51. Schwab Govt Moncy Fnnd: Schwabb D Interest M T


25/27

Name o f Perso n Repo rt ing Date o f Repo rtP a g e F I N A N C I A L 7 o f 9 D IS C L O S U R E R E P O R T O N e i u , L a w r e n ~ c e J 0 1 t 1 3 1 2 0 1 0

VII. INVESTMENTS a n d T R U S T S -- i .... e, value, transactions (includes those of the spo .... nO dependent children. See pp. 34-57 of fd ing inxtructiorts)N O N E (No reportable income, assets, or transactions.)

Descriptio~ of Asse~ Income during Gross value at end of Transactions during reporfmg period( i n c l u d i n g t ~ t ~ ; t a s s e t s ) rel~orting period reporting p~iodPlace: "(X)" aft ..... asse, Amount Type (e.g. Value , Value Type ,e.g. F~ / (3) (4) [ (5 ,exempt from pric~ disclosure Code t diu.. rent. Code 2 M e f f a ,. ~ d buy. sell. !~~I Dat~] Value Gain

IIdentity of(A-H) i u r i n e _ ) (J-P) , C~3 merger , ~Mouth. ] Code2 Codel bu.yctlsell~(Q -W) redemFtion) Day ~ " ~ - P ) i (A-Hi (if privatei transaction)

52. Vanguad Ca lnterm Term Tax Exempt C Interest L T buy 01/2.6 KFD (Schwab)53 . Vanguard Pr imecap Cor e Fund B Interest K T

54. TCW Total Return Bond (schwab) IRA C h t t e r e s t K T buy 0 4 1 1 755. TCW Total Return Bond (schwab) IRA C l r ~ t e r e s t K T sell 1 2 / 1 056, JP Morgan Highbridge Slat Mkt Neuua B Dividend K T buy 0 8 1 0 5 KSelect CL57. Loomis Saytes Bond Ct (Schwab) B Dividend K T buy 0 8 1 0 5(IRA)


26/27


27/27

F IN A N C I A L D IS C L O S U R E R E P O R TP a ge 9 o f 9

I X . CE R T I F I CA T I O N .I certify that all information given above (including informalion p~rtaining to my spouse and m inor or dependent children, if ally) isaccurate, true, and complete to the best of my knowledge and belief, and that any inform ation not reported was withheld because it met applicable statutoryprovisions permitting non.disdosure.l further certify that earned income from out, de employment and honoraria and the acceptance o1 gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C- 7353, and Judicial Conference regulations.

FILING INSFRUCTIONSMail s igned original and 3 ad ditional copies to:

Comm ittee on Fir~ztncial DisclosureAdministrative Office of the United States ConrtsSuite 2-301One Colum bus Circle , N.E.Washington. D.C. 20544

Lawrence J ONeill Financial Disclosure Report for 2009

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