Lucy H Koh Financial Disclosure Report for Koh, Lucy H

8/3/2019 Lucy H Koh Financial Disclosure Report for Koh, Lucy H

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Rev. 1/20!1 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010Report Reqtdred by the Ethicsin Govermnent Act of 1978(5 U .S.C. app..~q~ 101-111)

I . Person Rep ort ing (las t name, fi rs t , middle ini t ial)K O H , L U C Y H .

4. Title (Article 111 judges indicate active or senior s ta tus;magistrate judges indicate full- or part-t ime)

U.S. Dis t r ic t Judge , Act ive S ta tus

7 . Ch amb er s o r O f f i c e A ddr es s280 South Firs t StreetS a n J os e , C A 9 5 113

2. Cour t or Organizat ionU .S . D is t r i c t C ou r t

5a. Report Type (check appropriate type)

] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion conta ined in thi s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancew i t h app l i c ab le l aw s and r egu l a t ions .

Reviewing Off icer Date

3. D a t e o r " R e p o r t05/I 1/201 I

6. Reporting Period01 /01 /201 0to12/31/2010

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,check ing the NON E box for each par t where you have no repor table informat ion. S ign on l as t pa ge.

I . P O S I T I O N S . m e p o n i n g individual only; see pp. 9-13 of f il ing instruaions.)D NONE (No reportable positions.)I. U.S. Dis t r ic t Cour t Judge2. Super ior Cour t Judge3.

4.5.

POSITION NAME OF ORGANIZATION/ENTITYU. S. Di s t r i c t C o u r t , N o r t h e rn Di s t r i c t o f C a l i fo rn i aSu p e r i o r C o u r t o f C a l i fo rn i a fo r t h e C o u n t y o f Sa n t a C l a ra

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)[~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 6

N a m e o f P e r s on R e p o r t i n gK O H , L U C Y H .

D a t e o f R e p o r t05/I 1/2011

I l l . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Fi|ers Non-Investm ent Incom eD N O N E (No reportable non-investment income.)

D A T E _ SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I . 2010 State of California -- salary $67,094.452.2010 County of San ta Cla ra - - sa la ry $3,595.463.4.

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.(Do lhtr amount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1 .20102.20103.4.

DATE SOURCE AND TYPE- - sa la ry

Ex e cu t i v e Of f i ce o f t h e P re s i d e n t - - sa l a ry

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL(Includes those to spouse and d ependent children: see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t i n gK O H , L U C Y H .

D a t e o f R e p o r t05/I 1/2011

V . G I F T S . a . a . d e s t h o s e to , p o ~ s e ~ n d dependent children; see pp. 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCEI.2.3.4.5.

D E S C R I P TI O N VALUE

V I . L I A B I L I T I E S . a , c t ~ d e s t h o , e o S s p o . s e . n d d e p e n d e . t c h i l d r e n ; s e e p p . 3 2 - 3 3 of filing instructions.)D N O N E (No reportable liabilities.)

2.3.

4.5.

CREDITORU.S. Depa r tment of Educa t ionFide l i ty Inves tments

DESC RIPT IONDirect S tudent LoanL o a n a g a i n s t r e t i r em e n t a c c o u n t

V A L U E C O D EKK


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FINANCIAL DISCLOSURE REPORTPage 4 o f 6

N a m e o f P e r so n R e p o r t i n gK O H , L U C Y H .

D a t e of ReportO5/I 1/201 I

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; see pp. 34-60 af filing instru,tions.)~] N O N E (No reportable incom e, assets, or transactions.)

A, B. C.D e s c r ip t i o n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d( inc luding trus t a s se t s ) repor t ing per iod of report ing per i od

(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 e

e x e m p t f r o m p r i o r d i sc l o s u r e C o d e ] d i v . , r e n t , C od e 2 M e t h od( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

I. Wells Fargo Accounts A I n t e r e s t J T2. Stanford Federal Credit Union A I n t e r e s t J T3. State of California Savings Plus Program None J T4. American Funds W ashing ton M utua l A None K TMu tual Funds5. Frontegra IronBridge Small Cap None K T6. PIMCO Total Return lnstl None K T7. Dodge & Cox Balanced None K T8. Va nguard 2035 Target Retii -ement None K T9. PIMCO Total Return Admin None J T1 0 . Van guard 2035 Target Retirement None M T1 1 . CA Judges Retirement System II None K T1 2 . CollegeBoundfund None K T1 3 . W ells Fargo Investments LLC ScholarShare None J TAdvi sor14.

1 5 .

1 6 .

Transac t ion s dur ing repor t ing per i od

(0 (2) (3)Type (e.g., Dat e V a l u eb uy , s e l l , m m / d d / y y C o d e 2

redempt ion) ( J - P )

( 4 ) ( 5 )G a in Ident i ty of

Code I buyer / se l l er( A - H ) (i f p r i v a t e

t r an sac t ion )

1 7 .

1 . I n c o m e G a i n C o d e s : A ~$1,000 or less B =$ 1,001 - $2,500 C =$2,501 - $ 5,000 D =$5,001 - $15,000(See Columns B I and D 4) F = $50,001 - $100,000 G = $100,001 - $1,000,000 H 1 =$1,000,001 - $5.000,000 H 2 =More than $5,000,0002, V a l u e C o d e s J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M -$100,001 - $250.000(See Column s C I and 1 3 3 ) N -$250,001 - $500,000 O =$500,00t - $1 ,000,000 P 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 = $5 ,0 00 ,0 0t $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value M ethod Codes Q = A p p r a i sa l R = Cos t (Real Estate O n l y ) S =A sse ssmen t T =Cash Market(See Column C2) U =B o o k Va lu e V =O th e r W =Estimated

E = $15,001 -$50,000


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FINANCIAL DISCLOSURE REPORTPage 5 o f 6

N a m e o f P e r s on R e p o r t i n gK O H , L U C Y H .

D a l e o f R e p o r t05/I 1/2011

V I II . 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 . (lndicate part of report.)Par t Vl l . I nv es tmen ts and Tr u s t sThe CA Judges Re t i r ement Sys tem I1 funds only becam e ava i lable to me a f te r I r e t ir ed f rom the Ca l i forn ia Supe r ior Cour t to jo in the U.S . Dis t ric t Cour t bench inJune 2010 .

~ ;~ . : , : : 529 educa t iona l funds , Col legeB oundfun d and W el ls Fa rgo Inves tments LLC Schola rShare Adv isor , were inadve r ten t ly le f t o f f of roy Janua ry 20 ,2010 Nom ina t ion Financia l Disclosure Repor t .


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Name of Person Repor t ingK O H , L U C Y H .

Date o f Report05/11/2011

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

a c c u r a t e , t r 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 wl e d g e a n d b e l ie 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 wa s w i t hh e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o ryp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .1 f u r t h e r c e r t if 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 wh i c h h a v e b e e n r e p o r t e d a r e i ncompl i ance wi th the p rovi s ions o f 5 U.S .C. app . 501 e t . s eq. , 5 U.S .C. 7353, and Jud ic i a l Conference regula t i ons .

Signatu re: S/LUCY H . KOH

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 L FU L L Y F A L SI FI E S O R F A I LS T O F I L E 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 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 04 )

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


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I AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CAL E NDAR YE AR 2010 Report Required by the Ethicsin Governm ent Act of 1978(5 U.S.C . app. ~q~ 101-111)I . Person Repo rting ( last name, f irst , middle init ial)K O H , L U C Y H .

4. Ti t le (Art ic le 111 judges indicate active o r s e n i o r s t a t u s ;magistrate judges indicate full- or part-t ime)

U.S. D is t r ic t Judge , Act ive S ta tu s

7. Chambers or Office A d d r e s s280 S ou th F i r s t S t re e tS a n Jos e , CA 951 1 3

2. Court or OrganizationU.S. Dis t r i c t Cour t

5a. Report Type (check appropriate type)] Nomina t ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the informat ion contained in th is Repor t and anym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , in c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

3. Date of Report09/15/201 I

6 . Repor t ing PeHod01/01/2010

to12/31/2010

Revie~ v ing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each pa r t where you have no repor table in formation . S ign on las t page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~ N O N E (No reportablepositions.)P O S I T I O N

I. U.S . Dis t r ic t J ud g eN A M E O F ORGANIZATION/ENTITY

U .S . D is t r ic t Cou r t , N or the rn D is t r i c t o f Ca l i fomia2. Su p erio r C o u rt Ju d g e S u p erio r C o u rt o f C a lifo m ia fo r the C o u n ty o f San ta C la ra3.4.5.

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 o f f i l ing ins truct ions . )~ NONE (No reportable agreeme nts . )DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 6

N a m e o f P e r s o n R e p o r t in gK O H , L U C Y H .

D a t e o f R e p o r t09/15/2011

I ll . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filer s Non-Investment Incom e

~ (No repor tab le non - inves tmen t income. )O N ED A T E _ SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

1. 2010 Sta te of Ca l i forn ia - - sa la ry $67,094.452.2010 County of Santa Cla ra - - sa la ry $3,595.463.4.

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 - t f y o u were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)~-~ (No repor tab le non - inves tmen t income. )ONE

1 .20102.20103.4.

DATE SOURCE AND TYPE- - sa la ry

Exe cu t i ve O f f i ce o f t h e P re s i d e n t - = sa l a ry

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)~] N O N E (No repor table re imbursements .)

2.3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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D a t e o f R e p o r t09/15/201 I

V . G I F T S . a n c l u d e s those to spouse an d dependent chi ldren; see pp. 28-31 o f fi l ing instruc t ions.)[~] N O N E (No repor table gi f ts .)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a . c l u d e s t h o s e o l s p o u s e . n d dependent chi ldren; see pp. 3 2 - 3 3 of filing instructions.)D N O N E (No repor table l iabi l it ies .)

2.3.

4.5.

C R E D I T O RU.S. Depa r tment of Educa t ionFidel i ty I nves tm en ts

DESCRIPTIONDirect Student LoanLoan against retirement account

VALUECODEKK


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D a l e o f R e p o r t09/15/201 I

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; see pp. 34-60 ,~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(in c lu d in g tru s t a s se ts ) re p o r tin g p e rio d

(1 ) (2 )Place "(X)" after each assel A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or in t . )

1. Wel l s Fargo Accounts A I n t e r e s t2. Stanford Federa l Cred i t Union A I n t e r e s t3. State of Ca lifornia Savings Plus Program None

4. American Funds Wash ington Mutua l A NoneMutua l Funds5. Frontegra IronBridge Small Cap None

6. PIMCO Total Return lnst l None7. Dodge & Cox Balanced None8. Vanguard 2035 T arget Ret irement None9. PIMCO Tota l Return Admin. None

1 0 . Vanguard2035 T arge t Re t ir ement None1 1 . CA Judges Ret ireme nt System II None1 2 . All ianceBerns t e in Co l legeBoundfundAge NoneBased Portf. 02-041 3 . Fidelity ScholarShare Advisor Calif . 529P o r t f . 2025 Class B1 4 .

1 5 .

1 6 .

None

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(l) (2)

V a l u e ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

J T

J TJ T

K T

K T

K T

K T

K T

J TM T

K T

K T

J T

Transac t ions dur ing repor t ing pe r iod

(1 ) (2) (3)Type (e.g., D a t e Valuebuy, sell , mm/dd/yy Code 2

redemption) ( J - P )

(4 ) (5 )Gain Iden tity of

Code I buyer/seller(A-H) (if private

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

1 7 .

I . Incom e Gai n Codes : A =$1,000 or less B =$1 ,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( Se e C olu m ns B 1 an d D 4) F = $50,001 - $ 100,0 00 G =$ 100 ,00 1 - $1 ,000 ,00 0 H I = $1 ,000 ,001 - $ 5,000,00 0 H 2 =M ore than $ 5,000,0002. Value Codes J =$15.000 or le ss K =$1 5,001 - $50,000 L $50,001 - $100,000 M =$100,001 - $250.000(See Col u m ns C I and D 3) 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 More than $50,000,0003. Value Method Codes Q =Appraisal R =Co s t (Rea l Es ta te On ly ) S =Assessmen t T C a s h M a r k e t(See Col u m n C2) U =Bo o k Va lue V =Other W =Es t ima ted

E $1 5,001 -$50,000


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D a t e o f R e p o r t09/I 5/2011

V I II . 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 PL A N A T I O N S .Par t VI I . I nves tmen t and Tr us t sThe CA Jud ges Re t i r ement Sys tem I I funds only becam e ava i lable to me a f te r I re t i r ed f rom the Ca l i forn ia Supe r ior Cour t to jo in the U .S . D is t r ic t Cour t bench inJune 2010 . 529 educa t iona l funds , A l l ianceBerns te in Col legeBoun dfund Ag e Based Po r t fo l io 2002-2004 Al te rna t ive C Shares and Fide l i ty Sch01arShareAdv isor Fund C a l i forn ia 529 Por fo l io 2025-Class B, were inadve r ten t ly le f t o f f of my Janua ry 20 , 2010 Nom ina t ion Financia l D isc losu re Repor t .


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F I N A N C I A L D I S C L O S U R E R E PO R TPage 6 o f 6

Name of Person Report ingK O H , L U C Y H .

Date of Report09/I 5/2011

I X. C E R T I F IC A T I O N .I c e r t i fy 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 in 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 s

a c c u r a t e , t r 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 kn o wl 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 wa s w i t h he l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n -d i s c l o s u r e .1 f u r t h e r c e r t if y t h a t e a r n e d in 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 wh i c h h a v e b e e n r e p o r t e d a r e i ncom pl i ance wi th the p rov i s ions o f 5 U.S.C . app . 501 e t . s eq . , 5 U.S.C . 7353, and Jud i c i a l Conference reg ula t i ons .

Signature : S /LUCY H . KOH

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 1 L F U L L Y FA L S I F IE S O R F A I L S T O FI L E 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 VI LA N D C R I M I N A L S A N C T I O N S ( 5 U o S . C . a p p . 1 0 4 )

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

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Lucy H Koh Financial Disclosure Report for Koh, Lucy H