Richard G Seeborg Financial Disclosure Report for 2009

8/3/2019 Richard G Seeborg Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/richard-g-seeborg-financial-disclosure-report-for-2009 1/10

FINANCIAL DISCLOSURE REPOR T R e p o r t R e q u i r e d b y t h e E t h i c . ~in Government Act of l 9 78

FOR CALENDAR YEAR 2009 t5 u .s .c , app. §§ lO t-I l l)

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 ir s t , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t i o n I 3 . D a t e o f R e p o r t

S E E B O R G , R I C H A R D G . U . S . D i s t r ic t C o u r t N . D . C a l . 04130 / 2010

4. Title (Article HI judges indicate active or senior status; 5a. Report ’l[’ype (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time)

[] /qominatiom Date 01/01/2009

United States District Judge (See Pall VIII) I’-’--I Initial ~ Annua! [-’--I Final to

12/3112009

5b. [] Amended Report

7 . Chambers or Off ice Address 8. On the basis of the information contained in this Report and anymodil’tcations pertaining Ibereto , it Is , in nty opinion, in compliance

United States Courthouse with appl icable laws and regula t ions,

450 Golden Gate Avenue

San Francisco, CA 94102Reviewing Off icer Date

L ~ I P O R T A N T N O T E S : The instructions accompanying th£v form must be followed. Complete all parts,checking the NO NE box for each pa rt where you ha ve no reportable information~ S ign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-I3 o[filing Instructions.)

NONE (No reportable positions.)

pOSITION NAME OF ORGANIZATIONIENTITY

I.

2.

3,

4.

I I. A G R E E M E N T S . (R, ,ora,~ indi~a,ot o,~y; ~, ,pe. l~-r6 o/:ti,~ instructiont) .. -

NONE (No reportable agreements.) -=. :

DATE PARTIES AND TERMS

1.



F IN A N C IA L D I SC L O S U R E R E P O R T ] Name of rerson R eporting [ D a t , o f R e p o r l[

I Iage 2 of 1 0 S E E B O R G , R IC H A R D G . 0 4 / 3 0 / 2 0 1 0

I lL N O N - IN V E S T M E N T I N C O M E . ~R,~o,~ng i~i,~d~at o~,~o~o: ~,~ ~. ~-~ o::ai~ i~o~.~

A. Filer’s Non-Investment IncomeNONE ~o reportable non-investment income.)

~ SO~CE AND TYPE ~OME(yours, not s~use’s)

1.2~9 Matthew Bcndcr& Co., Inc. (B~k Royalli~s) $1,443.~

2.

3.

4.

B. Spouse’s Non-Investment I ncome - if you were marred dur~g any potion of lhe reponlng year, complete

(Dollar amoto~t not required except for honoraria.)

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

D A T E S O U R C E A N D T Y P E

1. Not Applicable

2.

3.

4.

I V . R E I M B U R S E M E N T S - ,rar~portation, Iodging,]’ood, enttrtainmcnt.(lnclud~ those to sp ouse and dependent children; see pp. 2 5-27 ~f fi ling instm~ctionx.)

N O N E (No reportable reimbursements.)

~ D A T E S L O C A T I O N p U R P O S E I TE M S P A I D O R P R O V I D E D

1.

2.

3.

4.

5.



Name of Person R eporting D a t e o f R e p o r ~F IN A N C I A L D I S C LO S U R E R E P O R T

[ S E E B O R G , R IC H A R D G .

0 4 / 3 0 / 2 0 1 0 Iage 3 of 10

V . G I F T S . a , ,~ , ~ d o ~ t h o s , to ~ , o ~ s e ~ , ~ ~ , ~ . ~ . t c h i l d r e n ; s e e p ~ 2 8 - 3 1 Of~Hng

NONE ~o reportable g~s.)

~ DESCRrPq’ION

I.

2.

3.

4.

5.

¥1. /Ll~|l.~l 1 lib,. (Includes those of spouse and dependent children; see pp. 32-33 of fding instruc~tong)

D N O N E (N o reportable lia bili ties .)

CREDITOR DESCRIPTION VALUE CODE

I, Wells Fargo Bank 17% of mortgage obligation on renlat property, Kamuela, 111 L

2.

3 .

4.

5.



N a m e o f P e r s e n 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 F I N A N C I A L 4 o f 1 0 D I S C L O S U R E R E P O R TSEEBORG, R I C H A R D G . 0 4 / 3 0 / 2 0 ! 0

V II. INVESTMENTS and TRUSTS - i ........ n , e , t ..... lions (Includes those of sp ..... n d d e p e n d e n t c h i l d r e n ; s e e p p , 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n . , .)

D NONE (No reportable income, assets, or transactions.)

^.! o ~ o ~ . ~ r ! n g .

c _D e s c r i p t i o n o f A s s c t s G m s ~ value at end I

D. ,

" l ’ r a r t ~ a e t io n s d u r i n g ~ " p o r t i n g p e r i o d

(including(ms(assets) i " repertingperiod[

ofzepertingperiod

Place"(X)’aflere~cbassct Amount[ Type(e.g.,I Value I’ V~lue [ Type(e.g., Date Value Gain Identityuf

e x e m p t f r o m p r i n r d i s c l 0 s u r e Codel 1 ~tiv.;~4 " Code2M e t h o d buy, sell, mm/dd/yy [ Cod e 2 I Code I I buyer/seller

1. Morgan Stanley Asset Fund (Money D I n t e r e s t PI TMarket)

2. Merck & Co., Inc. B Dividend K T

3. Aegon NV ADR A Dividend J T

4. Applied Materials A Dividend J T

5. Schlurnberger Lid. A Dividend K T

6. Scudder Greater-Europe Growth Fund A Dividend J T

7, Scudder Latin America Fund B Dividend L T

8. Templeton World Fund - Class 1 A Dividend K T

9, q’cmpleton Developing M arket Trust Class A Dividend J TA

1 0. Vanguard 500Index Fund B Dividend L T

1 1 . Vang uard Growth Index Fund A Dividend K T

1 2 . Vanguard International Growth Fund A Dividend K T

1 3 . Vanguard U.S. Growth Fund A Dividend K T

1 4 . Wells Fargo Checking Account A I n t e r e s t K T

1 5 . Navin.com None J U

1 6 . Emerson Electric A Dividend J T

1 7 . John ltanco,ck Regional Bank Fund B Dividend K T



N a m e o f Person Reporllng[

Date of R e p o r tFINANCIAL D I S C L O S U R E R E P O R T

ISEEBORG, RICHARD G.age 5 of 10 ~ / 3 0 / 2 0 1 o

V I I . I N V E S T M E N T S a n d T R U S T S -i . .. . .. .. ~ , , . , . .. . ~ o ~ , a n c t , ,a ~ ~ S o s t of spo~e ,~ aeptnaent c h i l d r e n : s ee p ~ 3 4 - 6 0 of filing instruction.)

NONE ~o reportable income, assets, or transactions.)

A. .B . C. [ D .~scfipt on of Asst.. In .me ~Hng G~ value at ~dI ’Tran~cf ions ~dng ~ng ~f iod(incl~g ~st ~) ’ :~g p~od of r~oaing period

(1) I (2)’ ’(i) (2} (1 )

P~ "(~* afl~ e~h ~set ~ount I T~ (e.g., Value Value T~ (e.g~ Date Value Gain Id~ti~ ofexemptfmmpfiordlsclo~e C~el I div.,r~ C~2

I Me~odb~,~ll, m~d~ C~e2

:

( A H ) ¯ or ~t) ( J P )

C ~ e ( Q . ~ 3

~empti0n)

__.~~saetioa)(if pri~te

t 8 . JP Morgan ~ e ( f o~e r l y Bank One Co~ ) A Dividend J T

1 9 . Computer Sciences Corp. A Dividend J T

2 0 . lntel Corp A Dividend K T

2 1 . Van K ampen Comstock Fund A Dividend L T

2 2 . Special Value Fund A Dividend K T

2 3 . John Hancock Small Cap V alue Fund A Dividend J T

2 4 . American Amcap FD A Dividend L T

2 5 . American New Perspective Fund A Dividend L T

2 6 . American Growth Fund of America A Dividend K T

2 7 . Van K ampen Global Franchise Fund C Dividend L T

2 8 . American W Mutual A Fund B Dividend K T

2 9 . Allianz lnt’l Fund A Dividend J T

3 0 . MFS New Endeavor A Fund (See Part V III) A Dividend K T

3 1 . American Europacific Growth A Dividend K T

3 2 . Duke Energy A Dividend J T

3 3 . First Energy A Dividend J T

3 4 . Jet Blue Air, rays A Dividend J T



FINANCIAL DISCLOSURE R E P O R T [ N . m e o f P e r ~ n R e p o r t i n gI

D a t e o f R e p o r t

Page 6 of 1 0 I [ SEEBORG, RICHARD G.

]

04130/2010

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 . ~ , , : t = . , , . .. . . n o . ~ ¢[nelude$ ,hose a/$pou~e and ~penden, chUdren¢ see pp. 34~ 0 of ~ding i~tr~ction~)

NONE ~o reportable income, assets, or transactiomO

A. B. .: C.. D .~cfiption of A~e~ ~c0me ~g : G ~ S ~ Value at ~d T~n~fions d~g ~ng ped~

(iacl~g~stas~) r~g~fiod " : 0fr~ingp~

O) [ (~) (0 (~) (0 - (2) O) (4) (~)Phce " (X )" ~er e~h ~t A m ou nt [ T~ (e.g., V a l u e V a l u e T~ (e .g . , D a t e V a l u e ~ in I~nti~ of

3 5 . Peet’s Coffee A Di~dend J T

~ 3 6 . Morgan Stanley Note A Interest K T

3 7 . SchelI-Vista Fire Bond A Interest K T

3 8 . ContraCosta County Water Bond A Interest Redeemed 10/01/09 L

3 9 . Van K ampen Senior Loan A Dividend J T

4 0 . Allianz Nacre Intern. A Dividend K T

4I . ChevronCorp A Dividend J T

4 2 . Clorox Corp A Dividend K T

4 3 . Compass Fund A Dividend L T

4 4 . General Electric Cot0 A Dividend J T

4 5 . l l ighwood A Interest J T

4 6 . Focus Growth Fund A Dividend J T

4 7 . Dividend Growth Secur it ies Fund A Dividend J T

4 8 . Global Advantage Fund A A Dividend K T

49 . Virtus (formerly Phoenix Small Cap Value A Dividend J TFund A)

50 . Strategis t Fund A A Div idend K T

5 1 . Van K ampen Global Value Equity Fund A Dividend K T(See Part VIII)



Page 7 of 10 [ SEEBORG, RICHARD G. 04/30/2010

V I I . I N V E S T M E N T S a n d T R U S T S -i.con,.. v a ~ o e , o . . . . a o ~ (Includes those of spouse and dependent children; see pp . 3 4 - 6 0 of j~ding imtructio~.)

NONE ~o reportable income, assets, or transactions.)

De~fiption of Asse~ , , Income d~ng Gr~ value at end T~cfions ~ng ~o~g ~

(!) (2) 0) (2) 0) 1~) (3) (4) (5 )¯Place "(~ ~e~h a~t i A m ~ n t T~ (e.g., Value Value T~ (e.g, Date Vaiue G~ n ldenti~ of

¢xemptfrompd0rdisclO~ " [Code.l: d~.,~t, . o ~ 2 Me~od buy,~E, ~d~ ~e2 C~ I buy~lIer

~sacdon)

5 2 . Van K ampea Global Franchise Fund A Dividend K T

5 3 . One-sixth interest Condominium Kamuela, D Rent L S1 tl

5 4 . L.A. Water Dept Bond B Interest K "I

5 5 . Pleagant V alley School Bond A Interest Redeemed 08/03/09 J

5 6 . Albany School Bond A Interest Redeemed 08/I0/09 J

5 7 . Pomom School Bond A Interest L T

5 8 . lvtontebello School Bo nd A Interest K T

5 9 . Irvine SchoolBond A Interest J T

6 0 . San Francisco City Finance Bo nd A Interest J T

6 1 . Manhattan Beach W aterBond A Interest J T

6 2 . San Diego Public Works B ond A Interest Redeemed 05/15/09 J

6 3 . Highland Credit Strategies Bond Fund (See A Interest J TPart VIII)

6 4 . American Capital W orld Growth Fund B Interest K T

6 5 . Van K ampen Dynamic Opp Fund B Dividend K T

6 6 . BSTllospitality LLC A Distribution M U

6 7 . Spectra Energy A Dividend J T

6 8 . Highland Credit Strategies Fund A Dividend J T



Name of Person Report ing Date ef ReportFINANCIAL D I S C L O S U R E REPORT

[ SEEBORG, RICHARD G.age 8 of l0 0 4 1 3 0 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i ...... ~.,, trans,ctions (Includes those of spouse and dependent children; tee pp. 34.60 of rUing instructions.)

NONE (No reportable income, assets, or transactiom.)

A. B ," C. : D.

I~’~cription of Assets Income during Gm~ va lue a t end . ¯ . Transactions during txporting period(including trust a~sets)

:repotaing period of reporting period : :

1 ! ) (2) (t) (2) (t) ( 2 ) ( 3 ) ( 4 )

Place "(X)" a fte r each a~se t Amo~mt Type (e.g., va ]uc Value I Typ~ (e-g-, Date Value Gain ldent i ty of

eaemptfmmpr~ordlsclosur~ . . Code I div. , reat , C.ode2 M ethod buy, sell, :mm/&V~ Cede2 i Code I buyer/seller: , (A-H). or ira.) " (J-P) Code 3 redemption) (J.P) (A-It) (if private

(Q-W) transaction)

69. Contra Costra Public Finance Bond (2 parts) A Interes t J T Redeemed 06/01109 J

( p a r t )

70 . Union Bank of Kansas City (CD) A lnteres t Redeemed 01126/09 K

7 1 . Cal Poly University Bon d A Interest Redeemed 0 7 / 0 1 1 0 9 L

7 2 . Cal EDL Fac. Bond A Interest L T

7 3 . Compass Bank (CD) A Interest Redeemed 0 1 / 2 6 1 0 9 1 L

7 4 . Goldman Sachs (CD) A Interest Redeemed 06130/09 M



FI NA N C I A L D I S C L O S U R E R E PO R T N l m ~ o f P e r s o n R e p o r t in g[ D,te of Report

Page 9 of 10 S E E B O R G , R I C H A R D G.

]

0 4 / 3 0 / 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 n~ , ’c o ,,~ ,o , ,o / R e ~ ,o , ,. )

Personal Information : United States District Judge (01/04/2010 to present); Mag istrate Judge Full Time (to 01/04/2010)Part VI, Line 30: merged into MFS Core Equity A on 07/27/09.Par~ V I, Line 51 : merged into Line 52, V an K ampen Global Franchise Fund, on 10/06/09.

PartVl, Line 53: Condominium was purchased on 02/1012006. My share ofthe purchase price was $75,000.Part VI, Line 63: merged into Line 68, Highland Cred it Strategies Fund.



Documents

Richard G Seeborg Financial Disclosure Report for 2009