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AO 10Roy. 1/2011
FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2 0 1 0
Report Required by the E thics
in Government Act o f 1978
(5 &’.S.C. app. ,~i,~" /0/-11/)
1 . P e r s o n Reporting (las t name, firs t , middle ini t ia l)
B A T T A G L I A , A N T H O N Y
4. Tit le (Art ic le i l l j udges indicate ac t ive or senior s ta tus;magistrale judges iodicatc ful!- or part÷time)
D I S T R I C T J U D G E - A C T I V E
7 . C ha m be r s o r O f f i c e A d d r e s s
Un i ted S ta tes D is t r ic t C o ur t
9 4 0 Fr o n t S t r ee t , R o o m 2 1 2 5Sa n D i e go , CA 92101-8 927
2 . Court or O rganiza t ion
U S D I S T R I C T C O U R T
Repor t Type (check appropr ia te type)
] N o m i n a l i o n , D a t e
[] Ini,ial [] Annual [] Final
3. Date o f R e p o r t
05/04/2011
6. Repor t ing Per iod
0 i f 0 1 / 2 0 1 0
to
1 2 1 3 1 1 2 0 1 0
5b. [] Amended Report
8. On the basl~ of the information contained in thh Report and any
m o d i f ic a t io n s p e r t a in i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c ew 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 i o n s .
Revle.wing Officer Date
IMPOR TANT NO TES: The ins tructions accomp anying th is form mus t be fo l lowed. C omplete a l l par ts ;
checking the NONE box for each part where you have no reportable information. Sign on last page.
I . P O S I T I O N S . t R , ~ n ~ .~ ~ . d i v i d = t o .t ~ ; ~ e e n ~ 9 . 1 3 of f il tng instruetionsJ
~ N O N E (No reportablepositions. )
POSITION NAM E OF ORGANIZATION/ENTITY
I. Trus tee Pen s io n & P r o f i t Sh ar in g T r us t
2. Trus tee T r us t I ( h as n o r ep o r tab le as se t s )
3. Trus tee Trust 2 -.
4. Dir ec to r , Immed ia te Pas t Pr es id en t Fed er a l Mag is t r a te J ud g es Asso c ia t io n
N O N E (No reportable agreements.)
D A T E PARTIES AND TERM S
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FINANCIAL D ISCLOSURE REPORT
Page 2 of 7
N a m e o f P e r s o n R e p o r t in g
B A T T A G L I A , A N T H O N Y
Date of Repor t
05/04/201 I
1 1 1 . N O N - I N V E S T M E N T I N C O M E . ~ p o . i , , g individual and spouse; see pp. 17-24 o, ffiling instructionsO
A. Filer’s Non-Investm ent Income
~ (No reportable non-investment income.)ON E
DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e ’ s )
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 - I f you were raa rricd during any po rt lon of the report lng year, complete this seet iog
( D o l l a r a m o u n t n o t ~ ’ e q u i r e d e x c e p t f o r h o n o r a r i a . )
N O N E ( N o reportable non-investment income.)
1 . 2 0 1 0
2.
3.
4.
DATE SOURCE AND TYPE
S e l f e m p lo y e d , A t to rn e y
I V . R E I M B U R S E M E N T S -~ u . ~ p o . a n o n , Ioagi.g./ood,
( I n c l u d e s t h o s e t o s p o u s e o n d d ~ p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f ! l fn g i n s t r u c t i o n s . )
[~ N O N E ( N o reportable reimbursements,)
3.
4.
5.
SOURCE DATES LOCATION PURPOSE
F e d e r a l M a g i s t ra t e J u d g e s 02/27-03/02 Wa s h in g to n , D . C . B o a r d M e e t in g
A s s o c .
ITEMS PAID OR PROVIDED
F o o d & L o d g i n g
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FINANCIAL DISCLOSURE REPORT
P a g e 3 o f 7
N a m e o f P e r s o n R e p o r ti n g
B A T T A G L I A s A N T H O N Y
Date of Report
05/04/20 ! !
V . G I F T S . a , ~ u d e s ~hose to sponse and dependent children; seepp. 28-3 i of filing instructions.)
N O N E (No repo rtable gifts .)
S O U R C E D E S C R IP T IO N
I.
2.
3.
4.
5.
VALUE
V I . L I A B I L I T IE S . ( ~ n ¢ l u d e s t h o s e o f sp a u s e a n d dependent children; see p p . 3 2 - 3 J o f f d f n g i n s t r u e t i o n s . )
[ - - - - ] N O N E (No reportable liabilities .)
C R E D I T O R DE S C RI PTIO N
I. Sa l l i e Ma e S t u d e n t L o a n
2. G r e a t L a k e s S t u d e n t L o a n
3. C ifib an k S tu d e n t L o a n
4.
5.
VALUE COD.E
J
J
J
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FINANCIAL DISCLOSURE REPORT
Page 4 of 7
N a m e o f P e r so n Report ing
B A T T A G L I A , A N T H O N Y
D a t e o f R e p o r t
05/04/2011
N O N E ( N o reportable income, assets, or transactions.)
Description of Assets In co me d ur in g
(including trust asse~s) r e p o r t i n g p e r i o d
(l) (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 . ,
exempt from prior disclosure Code I d i v . , r e n t ,
(A-H) o r i n ( , )
C.G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
it) (2)V a l u e V a l u e
C o d e 2 M e th o d
( J - P ) C o d e 3
( Q - W )
D+
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
(I) ( 2 ) { 3 ) ( 4 ) ( 5 )
T y p e ( e .g . , D a t e V a l u e Gain ] d e n t i t y o f
boy , sell, m mld d]yy C ode 2 Code I buyer / se l le r
r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
T R o we Pr ice Eq ui ty ln c Fun d ( Pen s io n
Plan )
2. T ~ R o w Pr ice Pr ime Fun d ( Pen s io n Plan )
3. V a n g u a r d G N M A F u n d ( P e n s i o n P l a n )
4. V a n g u a r d H i g h Y i e ld F u n d ( P e n s i o n P l a n )
5. V a ngu a rd St a r Fu nd (P ro f i t Sha r i ng P l a n )
6, V a ngu a rd P r i m e Fu nd (P ro f i t Sha r i ng )
7. T . R o w e P r i c e H i g h Y i e l d F u n d ( P r o f i tS h a r i n g )
8. V a n g u a r d G N M A F u n d ( P r o fi t S h a ri n g )
9, T . R o we Pr ice Sp ec t r um Gr o wth Fun d( Pr o f i t Sh ar in g )
I O . L aw Of f ice C lo se C o r p , S to ck
C Divid en d M
A Divid en d J
B Divid en d K
B Divid en d K
B Divid en d M
A Divid en d K
A Divid en d J
B Divid en d L
A Divid en d L
N o n e J
T
T R e d e e m ed 0 8/0 9
T
T
T
T R e d e e m e d 0 3 /0 9
T B uy 08/09
T B u y 01/I 1
T
W
A See VIII
J A S e e V I I I
J S e e V I I I
K S e e V l l l
II .
1 2 ,
1 3 .
1 4 .
1 5 .
1 6 .
1 7 .
H e n n e s s y F u n d ( T a m a r a c k B a b s o n V a l u e
Fun d XPen s io n Fun d )
P r o c t or & G a m b l e C o m m o n S t o c k
A
A
Divid en d
Divid en d
K
J
T
T
T , R o we Pr ice Eq ui ty ln c , Fun d A D i v i d e n d
V a ngu a rd Inde x 500 Fu nd (P ro f i t Sha r i ng AP l a n )
V a n g u a r d M o n e y M a r k e t A
Divid en d
Divid en d
K
J
T
T
T . Rowe Price Equity Income Fund (Trust#2 )
V a n g u a r d H e a l t h C a r e F u n d ( P r o f it S h a r in g ) D
D i v i d e n d K
D i v i d e n d M
T R e d e e m e d 10/18
( p a u l
T B uy 03/09
J
J
S e e V I I I
T r a n s f e r f r o m 7
I. In com e G ~ tin C odes: A = SI J~ ,)O o r less B = $ 1 , 0 0 1 - $ 2 ,5f l0 C = $2 . 5 0 1 - $5 ,0 ~ D = S 5 , ~ ) 1 - S ! 5 , ~
2.V a l u e C M e s J= S 1 5 , ~ 0 r
( s ~ C o l u m ~ C I
3 . V a l u e M e t h ~ C o d e s Q = A p p a r e l R ~ o s t ( R e a l ~ m t e ~ l y ) S =~ssm~t T ~h Market
( ~ C o l u m n C 2 / U = B ~ V ~ l ~ e V ~her W ~Eslim~
E =$15.001 - S 5 0 , 0 ( } 0
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F I N A N C I A L D I S C L O S U R E R E P O R T
P age 5 o f 7
N a m e o f P e r s o n R e p o r t in g
BATTAGLIA, ANTHONY
D a t e o f R e p o r t
05/04/2011
V I I . I N V E S T M E N T S a n d T R U S T S - i, ,. o, ,, , v.~. , . , , , , , ,cao,, a,~,d, , , tho, , o/,~, , , , ,~ d,p, ,de.t children; seepp. 34-60 of f i l ing ins trmlions . )
N O N E (No reportable income, asse ts , or t ransact ions . )
D e s e r i p d o ~ o f A s s e t s l n c o m c d u r i n g
( incL uding t rus t a s s e t s ) r e p o r t i n g p e r i o d
(I) (2)
Place "iX)" a~r each ~t A m o u m Ty~
exempt f~m prior di~los~c C~c t d iv. , r en t ,
(A-H) or in t . )
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
O) (2)
V a lu e V a lu e
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q - W )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(~ ) (2) (3) ( 4 )
T y p e (e.g., D a t e V a l u e G a i n
buy, s e l l , m m ! dd /y y C od e 2 C o d e I
r e d e m p t i o n ) ( J - P ) ( A - H )
(5 )
I d e n t i t y o f
buy er / se l le r
( i f p r i v a t e
t r a n s a c t i o n )
1 8 . Artisan Mid Cap F u n d (Profi t Sharing Plan) A Divid en d
1 9 . Van guard Inflat ion Protected Securit ies D Dividend
20. V an guard G NM A F un d - I RA A Dividend
21 . Sempra Energy A Dividend
22. Vangu ard 500 Index IRA A Dividend
J T
M T
K T
J T
K T
23 . V a n g u a r d M i d ¢a p I R A A Divid end J T
24 . Vanguard Tota l Bond B Dividend L T
i25. Vanguard Smal l Cap IRA
26 . V a n g u a r d I n t e r n a t io n a l
A Divid end J T
A Dividend K T
l , I n c o m e G a i n C o d e s :
( S ee C o l u mns BI and D4 )
2 . Val u e c odes
(S ~ C o l u m n s C ! a n d D 3 )
3.V a l ue Me t h o d C o d e s
(See Column C2)
=$ 1.000 or l ass
=$50.001 - $100.000
=$15,000 or less
=$250.001 - $500.00~
P 3 = S 2 5 , 0 0 0 , 0 0 1 -
=Appra i sa l
=B ~o k V a t u~
B =$1,001 - $2,500
13 =$100,001 - $1
K =$15,001 -
O=$500,001 -
R =Cost (Real Estate Only)
V =Ot h e r
C =$2,501 - $5,000
H I + + $ 1 . 0 0 0 . 0 0 1 -
L =$50,001 - $ I
P I =$ I, (~0,00 I
P 4 = M ore t h= ~
S =Asse ssme n t
W = E s t i mat ed
D =$5,001 - $15,000
H2 =M o re t h a n $5 f~O, 000
M =$t00D0t - $250,000
P 2 = $ 5 , 0 0 0 . 0 0 1 - $ 2 5 , 1 1 0 0 , 0 0 0
T =( . ’ a sh Ma rk e t
E- - -~I S , 001- $ 50, 000
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F I N A N C I A L D I SC L O S U R E R E P O R T
Pa g e 6 o f 7
N a m e o f P e r s o n R e p o r t in g
BATTAGLIA, ANTHONY
Da|e of R ep o r l
05/04/20 | 1
V l ll . ADDITIONAL INFORM ATION OR EXPLANATIONS.
Par t Vi i .#7 08/09/10 trans fe r to #19#9 Pension plan contribution~
# 1 8 Pa r t i a l r e d e m p t io n fo r b e n e f i t o f b e n e f i c i a ry
# l 9 Tra n s fe r f ro m # 7# 3 R e d e e m a n d t r a n s fe r t o # 8
# 8 Tra n s fe r a l l f ro m # 3
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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 P O R T
Pa g e 7 o f 7
Name of Person Repor t ing
B A T T A G L I A , A N T H O N Y
Date of Report
05/04/201 I
IX. CERTIFICATION.
i c e r t if y t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r dependen t c h i l d r e n , i f a n y ) i sa 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 w l 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 w a s w i t h h e ld 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 y
p 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 .
! fur ther c e r t ify tha t e arned income from outs ide emp loyment and honorar i a and the accep tan ce o f g i ft s wh ich have be en r epor ted a r e incomp liance with the p rovisions of 5 U.S.C. app . § 501 et. scq., 5 U.S.C. § 7353, and J ud icial Conference regu lations.
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 F U L L Y F A L S IF I ES O R F A L L S T O F I L E T H IS 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 0 4 )
C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eAdmin i s t r a t ive Of f i ce o f th e Uni t ed S ta t es Cour t sSu i t e 2 -3 01O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4