Marsha S Berzon Financial Disclosure Report for 2009

8/3/2019 Marsha S Berzon Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/marsha-s-berzon-financial-disclosure-report-for-2009 1/10

lo FINANCIAL DISCLOSURE REPORT R e p o , , R e q u i r e d b y t h e E t h i c sin Government Act ofl978

1/2010 FOR CALENDAR YEAR 2009 (~ u.s.c, app §§ lOt-lit)

I . P e r s o n R e p o r t i n g ( l a s t n a m e . f i r s t, m i d d l e i n i t i a l ) 2 . Court o r Organ iza t ion 3 . D a t e o 1 " R e p o r t

B E R Z O N , I M A R S H A S U . S . C A . N I N T t l C I R C U I T 0,I/I 2 / 2 0 1 0

4. Ti t l e (Art i c l e I ll j udges i ndi ca t e ac t i ve or seni or s t a t us ; 5a . R epo r t T ype (check a ppro pr ia te type ) 6 . R e po r fin g Per io dmagi s t ra t e j udges i n di ca t e f i d l- o~ par t - t i me)

~ Nomination, D a tc 01/01/2009

U.S. CIRCUtT JUDGE- ACTIVE [] hfitial [] Annual [] Final to

12/3 1/2009

5b. [] Amended Report

7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n I h ~ t b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym 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 , i n c o m p l i a n c e

95 SEVENTII STREET ~ ’, i t h appl i cabl e l aw s and regul a t i ons .

P . O . B O X 1 9 3 93 9 3SAN FRANCISCO, CA 94119-3939

R e ~ , i e ~ i n g O f f i c t .r D a t e

I M I ’O R T A N T N O T E S : The instructions accompanying this form must be fi~Howed. Complete all parts,

checking the NONE box for each part " "here)ou have no reportable tnformatton. Sign on lastpage.

I . P O S I T I O N S . (Reporting indi,.idual otil),; so, pp. 9-13 of filing instructions.)

N O N E (No reportable positions.)

P O S I T 1 O N N A M E O F O [~ GA N I Z A T I O N ~ N T ] T Y

I.

2.

o

N O N E (No reFort~ble agreements.)

DATE PARTIgS AND TgRMS



FINANCIAL DISCLOSURE REPORT N .... fP ..... R e p o r t i n g D a t e o f R e p o r t

P a g e 2 o f i 0 m . :R Z O ~ , ~ I ,U ~ S U , ~ S .

1 1 1 . N O N - I N V E S T M E N T I N C O M E , ~,,.s,,x i~s~,,~a.~..s,~ ........~ . ~ - : ~ . /~ u . ~ ~

......A. Flier’s Non-lnvestmenl Income

N O N E ~ o reportable non-investment income.)

D A T E S O U R C E A N D T Y PE I N C O ~ tE{yours, not spou se’s)

I.

2 .

3 .

4 .

B. Sp~t l$~’g N o n - l n v e s l m e n l ]llCgllle - I f you were m arried durin.~ a~v par6on a]the raport i~g j ’ear, ra~plg~e this

~ N O N E (No repor lah le non- invescmen t income .)

DATg SOUNC~ AND TYPE

1 . 2 0 0 9 S ~ g ~ -E M P g O Y ~ D A ~ T O R N E Y

2

3

4

I V . R E 1 I M B U R S E M E N T S . . . .. . , - ~ o , , o , ~ , . t o a g i , g . j a o d . , ’ . , , ’ r , a ~ . . . . , .

~ N O N E (No reportable reimbursements.)

SOUR~ DATES LOCATION PURPOSE ITEMS PAID OR PROV]DED

I. T H E G E O R G E 0 1 / 2 1 1 2 0 0 9 - W A S t l I N GT O N , D . C . E D U C A T I O N A L ] ~ X V E I . , L O D G I N G , M E A L S

W A S I I I N G T O N 01/2 2 /2 009 A C TIVITYU N I V E R S I T Y

2 A M E R I C A N 0 1 ! 2 2 ~ 2 0 0 9 - P H IL A DEL P H IA , P A E D U C A T I O N A L T R A V E l . , L O D G I N G , M E A L SC O N S T I TU T I O N S O C I E T Y 01/2 4/2 009 A C TIVITY

3 Y A L E U N I V E R S IT Y 02 /06;2 009 - N E W H A VE N , C T C I V I C O R G A C T I V I T Y T R A V E L , L O D G I N G , M E A L S02/06/2009

4. A S S O C I A T IO N O F 0 6 / 1 2 1 2 0 0 9 - L O N G B E A C H , C A C I V I C O R G A C T I V IT Y T R A V E L , L O D G I N G , M E A L SA M E R I C A N L A W { ~ . ’ 1 2 1 2 0 0 9

S C H O O L S

5. A M E R I C A N 06/I 9/2~9 - W A S H I N G T O N , D . C . C I V I C O R G A C T I V IT Y T R A V E L , L O D G I N G , M E A L SC O N S T I T U T I O N S O C I F ’ I Y 06/21/2009



FINANCIAL DISCLOSURE REPORT N a m e o f P c r s o n R C p o r li ,e g

[

I ) * l e o l ’ R e p o r l

Page 3 of 10 B E R Z O , X , M A R S I I A S . 0 4 / I 2 / 2 0 1

6. W IL L A M ETTE 10/15/2 009 - P O R T L A N D , O R E D U C A T I O N A L "I’RAV [ ,. ’L . LODGING. ME AI.SU N IV ER S IT Y I 0 i 1 6 , ’ 2 0 0 9

A CT IV IT Y

7 C O R N E L L U N I V E R S I T Y 10/27/2009 - I T H A C A . N Y E D U C A T I O N A l . " 1 R A V E L , L O D G I N G , M E A L SI 1/01/2009 A CT IV IT Y



FINANCIAL DISCLOSIJRE REPORTI N ....

l’r’ ..... R e p o r t i n g

Page,4 of 1 0

I BERZON, M A R S I IA S .

0 4 / 1 2 1 2 0 ~ 0

~ N O N E (No reportable g~s.)

S O U R C E D E S C R I P T I O N

I.

2.

3.

4.

5.

V I . L I A B I L I T I E S . ~ , .~ a ~ , , * o . ~ , . o z , ~ . .. . .. .. a ~ , ~ ¢ , a , , ,, ~ u , ~ ,; .~. ~-~ ,,z~i,,g i .. . . . ..

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VAI.UE CODE

I.

2.

3 .

4.

5.



FINANCIAL DISCLOSURE REPORT

] BERZON, MARSIIA S.age . 5 of ] 0 o 4 n 2 . , 2 o lo

V I I. I N V E S T M E N T S an d TRUSTS - i ........ r , ,e . , . . . . . . . . , i , , , , ~rt , , , - t , , a , . , , , , , , . o / .~ p . .. .. .. ~ a ~ p ~ , a . .. . , , a , o , : ~ o ~ v v . j ~ . ~ o

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

...... .*. .. - ........... c. - ............ fi7 ....

( i nc l udi ng t ~ t ~ sse t s ) rc~ing period o f r e p o s i n g ~ r i o d

Pl~ t:c " (X)" a fter ea ch a S scl A m o u n l ] l)pe (e.g., ~ a l u e V M u e q)’pe (eg . , D~le ; Value Gain Idcnl i t )’ of

exempt t ?om pri or d i sc l osure ~ Code 1 ’ d w,, r en t . C~e 2 Me th od buy. sell , mmld~))" " C~e 2 C~c I buyer, tseller .

~A’I0 o r in t , ) (J-P) C o d e 3 redempt i on) (J-P) f A - I I ) ( i fpr i~a lei ~ (Q-W) ;

1. BANK OF AMERICA ACCOUNT A In teres t M q"

2. CITIBANK CD D Interes= N T Open 07;14 . ,09 N

3. PACIFIC NATIONAL, A DIVISION OF C In te res t N T O p e n 07/14;09 N tUS BANK CD

4. MERRILL I,YNCH BANK & TRUST C/O C ln tc rcs l N T O p c n 07/07/09 NFIRST REPUBLIC BANK CD

5. COCA COLA COMPANY - COMMON B D i v i d e n d K TSTOCK

6, COMCAST CORP NEW CL A - A D i v i d e n d J TCOMMON STOCK

7. CORNING INC~ COMMON STOCK B D i v i d c n d M T

8 LSI CORPO~TION - COMMON STOCK N o n e J T

9. NSTAR - C O M M O N S T O C K A D i v i d e nd J T

1 0 . P E PS I C O I N C O R P O R A T E D - C O M M O N A D i v i d e n d K TS T O C K

[. P U B S V C E N T G R O U I’ IN C - C O M M O N A D i v i d e nd J TS T O C K

1 2 . S O U R C E I N T E R L IN K C O M P A N Y - N o n e Clo se d 0 9 , ’ 0 3 / 0 9 JC O M M O N S T O C K *2

13 V E R 1Z ( )N C O M M U N I C A T IO N S - A I) ivideml J TC O M M O N S T O C K

14 V O D A F O N E G R O U P N E W A D R F A D i v i d e nd J T

1 5 . DRE Y FUS A C T I V E MIDCAP FD A D i v i d e nd M T(FR N ILY PR EMIER N EW L EAD E R SF U N D )

1 6 . D R EYFU S APPR ECIATION FD A Dividend K T

17. D R E Y FU S E I v lE R G I N G L E A D E R S F U N D A D i v i d e nd K T



FINANCIAL DISCLOSURE REPORT~ .... fP .....Reporling

[

Dal¢ofRepor!

Pag e . 6 of l 0 ~RZO. ~. ~ tARS. a S .

[

0 V ~ 2 , " 2 0 ~ 0

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

A B. C. D.

~cripti~n cfAssct~ j I n c o m e d u r i n g ( i rons v Muc a t e nd Tran~ cl i onx dur i ng i cpor t l ng [~ r i t ~ l

( , ~ l u d ~ g ~ 5 t a s ~ ¢ t s~ I re po ~n g pe r io d o f re po rt in g ~ fio d _ _ . .

t (0 (2 ) O) !2) (I) , (a )

Pla c e " IX)" a ft e r c~ ch a sse t A m o u n t [ Type (e .g . . V a lu e V a lu e T y p e ( e . g . Date , Va]~ Gain Id en t i ty o f

ex empt f ro m p6o r d i sclo su re C~e I ~ di v . , ren t . C o d e 2 M¢th od buy, sell. I mm~d~vy Code 2 I C~le I buycr/~l~

( A - H ) ~or mr) (J- I , ) C o d e 3 r e d e m p t i o n ) ’ (J-P) (A-II) ( i f pr iv a te

( Q . W ) ~ t ~ n ~ a c h o n )

18. E M B A R C A D E R O A L L CAP G R O ~ q ’ I I N o n e K T

FD

19 EMBARCADERO SMALL CAP N o n e J T

GROWTH FD

2 0. RS MID CAP OPPORTUNITIES EUND N o n e N T

2 1 . S C H W A B P R E M I E R I :O U H ’ Y S E L E U T A D i v i d e nd L TS t t A R E S

2 2 . S C I t C A M U N I M O N E Y FD ( S W E E P ) A D ividen d L l

2 3 . S C I IW A B C A M U N I M O N E Y FD A D i v i d e nd L T( N O N - S W E E P )

2 4 . F ID E L I T Y C A A M T T A X F R E E M M K T D Interest PI TI N S T C L A S S

25 PSPgl --1 ACCOUNT) B D i v i d e nd M T

26 -AIM CAPITAL DEVELOPMENT

FUND-CLASS A

:27. -AIM INTERNATIONAL SMALL COFD

-CI. A

28 -AIM GLOBAL EQUITY HJND - CLASS

2 9.-AIM MULTI-SECTOR FUND- CLASS A

30 IRAr*I --] .a, CCOUNT) C D i v i d m ~ d bl "1

31 . -ANICAP FUND - CLASS A

32 . -WASHINGTON NIUTUAI. INVESTORS

FUND - CLASS A

33 . I’SRP.~ I --1 ACCOUNT) D D i v i d e n d N T

34 . -AMERICAN FUNDS - EUROPACIFIC

GROW’HI FUND - CL A"



FINANCIAL DISCLOSURE REPORT

Pag e 7 o f 10I[ BERZ ON, M:\RSilA S. [ ~ 0 . 1 / 1 2 1 2 0 1 0

V 1 I. I N V ESTMENTS and TRUSTS -,.¢ ...... ~ , , . , ....... l i o n s a n c l u d e s t h o s e oZs~uS, and dependent &ildren; seepp. 3 g - 6 0 offillng i ....... i,ms.)

. N O N E (No rqmrtahle income, assets, or tram’actions.)

Descri p6on of Asse t s ~ Income d~ng Gros s v a lue

( inchdhg t rus t .~e{s J r e p o s i n g p e r i ~ o f r e p o ~ i p g p e r i ~ :.

P l a c e " ( X ) " a ~ c , e a c h ~ s e t ,+ Amou,l Ty~ (e.g.. Va lu e V a lu e V)’~" C~e I , di v . . ren t . C~e 2 Met hod buy. sell. m. b’d&’yy ; Cod¢ 2 C o d e I b.yer;sdkt

ex~mpl from prior disclosur~ ~ {A-It) or ipt.) (J-P) Code 3 redemption) (J-P) (AdO illprivate

( Q - W )

35 . -AMERICAN F[~I)S - THE GROWTH

FUND OF AMERICA - CL A"

-AMERICAN F~DS- THE NEW

ECONOMY FUND - CL A"

37. -AMERICAN FUNDS - NEWPERSPEUI’IVE EUND- CL A"

38 . -AMERICAN FUNDS - CAPITAL

WORLD GROW’fH AND INCOME FUND

-CL

39 . -AMERICAN FUNDS - FUNDAMENTAL

INVESTORS - CL A"

40 . -AMERICAN FUNDS - THE

INVESTMENT COMPANY OF AMERIC~

-CLA"

41 -AMERICAN FUNDS - WASHINGTON

MUTUAL INVESTORS F~D - C[. A"

42 . -AMERICAN FUNDS - "FILE INCOME

F U N D O F A M E R I C A - C I . A ~

a 3. -AMERICAN FUNDS - ANIER1CANBALANCED FUND- CL A"

44 . -AMERI(’AN F~DS - AMERICAN B u y 06/09,’09 KFUNDS MONEY MARKET FUND-A

45 . -VANGUARD - 5~ INDEX FL~D

46 -VANGUARD EMFRGING MARKETS

S]O(:K INDEX FUND

47 . IRA,2 E D i v i d e n d O T

48 . -AMERICAN FUNDS - EUROPACIFICGROWTIt FUND - CI, A

49 . -AMERICAN FUNDS- TItE (;ROW II!

FUND OF AMERICA - C L A

50. -AME~CAN F U N D S - N E W

PERSPECTIVE FUND - CI. A

5 I. -AMERICAN F~DS - -CAPITAL

%’O~D GROWTH AND INCOME



FINANCIAL DISCLOSURE REPORT N

Page 8 of 1 0 B E R Z O N , / ~ I A R S I I A S , 0 4 1 1 2 / 2 ( 1 1 0

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

A. B. ~ C. D.

D escriptio n o f A sse~ In co m e du r in g/

G~os s v a lue a t e nd T r a n s a c t i o n s d u r i n g r c ~ t n g p e r . ~ d

(including tt~st assets) ’ rc~ning peri~

j

ol reining ~riod

P l ~ c e " (X)" a~er e~ch asset ~ A~otmt Type (eg., V 3 1 u c

¢x empl f ro m pr io r d i sclo su re C o d c I d i v . , renl . [ C o d e 2 Mclhi~d buy, sell, m ~ d & ~ y y ; C o d e 2 C o d e I b~ycr/seller

( A - H ) or mr) (J-P} C o d e 3 redempt i on) (J-P) (A- t t ) Ill’private

: (Q -W) ~ t r ans ac t ion)

~ F ~ D - C L AII

52 . -AMET(ICAN FU~[)S - -FUNDAMENTALINVESFORS - C L A

53 . -AMERICAN FinDS - TIlEINVESTMENT COMPANY OF AMERICA

-CLA

54 . -AMERICAN F~DS - CAPITALINCOME BUILDER - A

55 -AMERICAN F~DS - THE INCOME

F~D OF AMERICA - CL A

56 . -AMERICAN FUNDS - AMERICAN

BALANCED - CL A

57. ~CAPITAL ACCOST IN LAW D h~ t eres t J UFIRM PAR~ERSHIP * 1



FINANCIAL DISCLOSURE REPORT N .... fP ....Rtporling I Date o[ReporlI

Iage. 9 of ] 0 B ~ . u z o .~ , M A R S I I A S . 0 . I / I 2 . ’ 2 0 1 0

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 . a,,~ic~,,ro,,ofRepo,,.~

*1 T H E ; E A R N I N G S R E P O R T E D I N P A R T VII REPRESENT "[HE--] I)ISTRIIIUTIVE SttARE OF PARTNERSItlI’ IN|’ER E.",T INtT()M E

"2 COMPANY BANKRUIq"



FINANCIAL DISCLOSURE REPORT ~ ..... f P ....R,po~ling D:m.. o[ Report

Pag~ 10 of 10 B v . R Z O . , , ’ , r ~ t a n S l l A S . 0 - 1 , ’ ~ 2 ; ? 0 ~ 0

IX. CERTIFICATION.

certify that all information given above (including information pertaining to my sponsc and minnr or dependent children, if an)’) is

accurate, true, and complete to the best of my knowledge and belief, and that any information not reported v, as withheld because it met applicable statutory

provisinns pcrmilting uoa-disclosure.

further certify that earned income from outside e~npln)men! and honoraria and the acceptance of gifts which have bcen reported are in

compliance with the provisions of 5 U.S.C. app. § 501 cl. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signaturd

N O T E : A N Y I N D I V I D U A l . , W H O K N O W 1 N G Io Y A N D \ VI L FU L L Y F A L S I FI E S O R F A I I, S T O F I L E T i ll 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 )

F IL I N G IN S T R U C T |O N S

Mvit signed original and 3 additional copies to:

Committee on Financial Disclosure

A d m i n i s t r a t i v e O t ’ f i c c o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u n ~ b u s C i r c le , N . E .

Washington, D.C. 20544

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Marsha S Berzon Financial Disclosure Report for 2009