Lawrence K Karlton Financial Disclosure Report for 2009

8/3/2019 Lawrence K Karlton Financial Disclosure Report for 2009

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I Ao io: I FINANCIAL DISCLOSURE REPORT ReportReqmreabytheEthicsinii. ~v. ]/2olo :I FOR CALENDAR YEAR 2009 ( 5 c . s .c , o p p . ] o 1 - 1 1 1 )1. Person Reporting (last name, first, middle mhia]) 2. Court or Organization 3. Date of ReportKarlton, Lawrence K. U.S. Distric~ Court - Eastern California 04/2g/2010

4. Title (Article llI judges indicate amiv or semor status: 5a. Report Type (check app ropriate t3Ve) 6. Repotling Periodmagistrate judges indicate full- or part-time) ] Nomination. Date 01/01/2009Chief Judge Emeritus- Senior St [] hUdal [] Annual [] Final to12/31/2009

5b. [] Amended Report7. Chambers or Office Address 8. On the basis of the inform ation containt~l in this Report and artymodifications pertaining thereto, it i~, in m.v opinion, in com plianceU.S. Courthouse with applicable lairs and regulations.50! I Street, 15th Floor,//230Sacrmnento, CA 958 !.4 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accomt,ar~ring thisform must be follou,ed. Complete alt part%checking the ATO NE box for each part where ,ou have no reportable information. Sign on last page.

I . P O S I T I O N S . m~po,i,g i,,di,.idua! o,d.v; see pp. 9-13 of filing instructions.)~ NONE (No reportable positiot~s.)

POSITION N A M - E OF ORGANIZATION/ENTITY

~ NONE ~o reportable a~eements.)DATE P~TIES AND TERMS

2.


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FINANCIAL D IS C LO S UR E R E PO R T] Karlton, Lawrence K.

Page 2 of 7 t ~ 4 / 2 8 r 2 0 1 o

Ill. NON-INVESTMENT INCOME. mwo,.,~,~A. Filers Non-lnvestment Income

N O N E (No reportable non-ira estme~ income.)D A T E SOE~CE AND TYPE ~COM~(you~. not spouses)

l.2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - ~[.vo. were married &,qng a~r pv.qion of the reporting year, comph,w this section.~ N O N E (No reportable no,-investme, income.)

DAT~ SOE~CE AND TYPEI. 2009 County of Sacramento. wages

2.3.

4.

I V . R E I M B U R S E M E N T S - ,~.~,~,.;,.,, ~od~i,,~,y,,,,,~. ........ ~,,.,~,..NONE (No reportable reimbursemenls.)

S OIIRCE DA TE S I .OCATION PURPOSE ITEMS PAID OR PROVIDED1.2.3.

5


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FINANCIAL DISCLOSURE REPORT[ N .....

fPerson Report ing Da,e of ReportPage 3 of7 Karlton, Lawrence K. 04/28/2010

V . G I F T S . m , c l , a e , , h o , ~ , o , , p o , , ~ , , , , , , d a , ~ , , a , , , , t ~ i t a , ~ , : . , , . ,, ~ , p . z , s - . ~ z o f f ! l i n g in~tructim,s.)N O N E (No reportable

SOURC~ DESCRIPTION VAI,L~i.2.3.4.5.

V I . L I A B I L I T I E S . ( J , ~ l , ~ , . , , ~ , , ~ o f s p . . .. . .. a , / , ~ , , a , , , , .~ , i ~ , ~ , . ~ , ; , , ~ ~ , . . ~ : - . ~ . ~ o y ~ , , g i . . . .. . . , i o , , , . )N O N E ( N o repo rtable l iabil it ies.)

C R E D I T O R D E S C t L I P T I O N V A t U E C O D E

2.3.4,

5.


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FINANCIAL DISCLOSURE REPORT [ N .... . . f P e r s o n R e p o r t i n g D a , e o f R e p o ! !IPage 4 of 7 IKarlton, Lawrence K . )4/28/2010VII. INVE STMEN TS and TRUSTS - i .......... ~,,,,. o a o s a c t i o n s f l n c l u d e s t t , a _ ~ e ~ . v ! > . . . . . . . d d e p e n d e n t ~ h i l d ~ n ; s e e p p . 3 4 - 6 0 o f f ! l i n g i . . . . . . . " t i o n s . )

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

D e s c f i p t i ~ o f A s s e t s ~ l n c o m c d u r i n g ~ Gro~ value at end ] T r a n s a c l 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(includ~g ~t assets) ~ reposing period of reposing pe~odP l a c e " ( X ) " ~ f l e r e a c h a s s e t l . ~ m ~ m t S y p e (e.g.. Y a l u e I Value T y p e l e . ~ . Date ~ Yaluc I d e m i t v o f

e x e m p ~ I ? o m p d o r d ~ s c l o x u re C o d ~ I air. rcm. C o d e 2 M e ~ h o d buy. sell. ~ mm:dd:5) Code 2 b u y e r ~ e l k ~~ ( A - H ) o t m t ) ( J - P ) C o d e 3 ~ redemption) ~ O-P) ( A - H ) 0fpnvate

1 . Olaxo~nithkline PLC A Dividend K T 2 . Franklin CdifTax-Ex empl Money Fm~d B Dividend K T Sold 12/30/09 K A(part)3. PNM Resources 1no. A Dividend J4. American Electric Power A Dividend J T5. P~d=~ti~ Insurance A Interest J T

-6. Sems ltolding Co~ None J T= 7 . Nstar. Inc. B Dividend K T8 . DWS Scudder Mid Cap Gro~h F und - A - None M T

9 . CA Dept W ater Resources Bond A Interesl J I"

l O . l . Jn~on B ~r~ - checking A Interest L. T

I1. Fidelity Investments - IIL~ Disciplined NoneEquity1 2 . Fidelity lnvestmems - IRA. Spartan 500 Nonehtdex1 3 . Schools Federal Credit Union A Interest1 4 . First US Cmnmunity Credit Union B Interest M T1 5 , Morgm~ Stanley Ca Tax-free htc, ome Fund A l m . q T ) i v . J T1 6 . Putnam Ca Tax-exempt Income B tnt./Div. K T

i 1 7 . GeneralE lectric Corp A Dividend J T

t . lnome Gain Codes: A =~ t,000 or I~s~ B =$1.00t - $2.500 C =$2.501 - $5000 D =$5,00! - $15.000 E =$15,(101 - $50.000


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FINANCIAL DISCLOSURE REPORTPage 5 of 7 Karlton, Lawrence K. 0 4 1 2 8 1 2 0 1VII. I N V E S T M E N T S a n d T R U S T S - - i . . . . . . . . . . .

NONE (No reportahle income, assets, or transactions.)

D e s c r i p t i o n ~ f A~Sels ~ Income d~ing G r o s s v M u e a t e n d q r a n ~ a c n ~ ) n ~ d u r i n g r e ~ m n g p e r i o d(~cludh~g t~s~ ~se~) [_. re~mg period of reposing periodP l a c e " ~ ) " a f t e r e ~ c h a s s e t A m o u n t Type (eg. Value Value T y p e ( e . g . . Dale i Valne Gain I d e n t i t y o f

e x e m p t l ? o m p r m ~ d ~ s c l (, a ~ a r e C o d e I d i v , r e n t , C o d e 2 M e t h od ~ buy. sell n m ~ " d d ; ~ T I ( o de 2 ~ C o d e I buyer.sell~b4 - H ) o r i n L ) ( J - P ) ] C o d e 3 r e d e m pt i o n ) (I-P) [(A-~ ( i f p r o , a t e

18 . Sacramenlo Credit I Jaion A Interest J T1 9 . Prudential FinancialInc A Dividend J T20 JP Morgan Chase A l n t e r e s ~ .I T Name change from

WaMu2 1 . ING Direct A Interest K T

2 2 . qhe G olden l Credit Union A I n t e r e s t 3 T2 3 . SlerlingSnvingsBank A Interest J T Open 11/09/09 J2 4 . Thenno Electron Corp None .1 "r B uy t2:30/09 J

2 5 . Peers None J T B uy 12/30/09 J2 6 . Best Buy None J "I" Bn y 12/30/09 J2 7 . Barnes & Noble N c n t e ,1 T B uy I 1 2 ~ 3 & 0 9 J2 8 . Af&T None J T B uy 1 2 / 3 0 1 0 9 J2 9 . Blackrock Muni Holding Cal has Fund None K T B uy 1 2 ; 3 0 / I } 9 K


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FINANCIAL DISCLOSURE REPORT .~ ... . fP ... .. Reporting Dale ol" ReportPage 6 of 7 Karl~on, Lawrence K. 04/28/2010VIII., ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPORT N ..... o f P e r s o n R e p o r t i n g D a , e o f ] R e p o r tPage 7 of 7 Karlton, Lawrence K, 04/28/2010

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and minor or de pendent children, if an.,,) isaccurate, true. and complete to he best of my kn owledge and belief, and that any information not reported was withheld because it met applicable statnto~Tprox isions permitting ool;-disclosure.1 fmther certify that earned income from o~tside emplo)mcnt and hon oraria and the acceptance of gifts which bare been reported arc incompliance with the provisions of 5 [i.S.C. app. 501 et. seq., 5 U .S.(:. 7353, and Jndicial Conference regulations.

NOTE: A NY 1N DI][DI..~AL ~VFIO I~2NOWING LY AND W 1LFI]LLYAN /) CRIMINAL SA NCTION S (5 U.S.C. app. 104)

F I L I N G I N S T R U C T I O N SMail signed original and 3 additionaI copies ~o:

Comm ittee on Financial DisclosureAdm inistrative Office of the Un ited States CourtsSuite 2-301One Colmnbus Circle, N.E .W ashington, D.C. 20544

Lawrence K Karlton Financial Disclosure Report for 2009

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