Samuel James Otero Financial Disclosure Report for 2010

8/3/2019 Samuel James Otero Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app, 101-111)

1 . P e r s o n Report ing (las t nam e, fi rs t , middle ini t ial)Oter o , Samuel J .

4. Ti t l e (Ar t i cle l I l judges indica te act ive or senior s t a tus ;magistrate judges indicate full- or part-time)

U.S . Dis t r ic t Judge , Ac t ive

7. Chambers or Off ice AddressUnited States Distr ict Court312 Nor th Spr ing S t r ee t Sui te 244-PLos Angeles , CA 90012

2. Cour t or Organ iza t ionU.S. Distr ict Court

3. Date o f R e p o r t05/10/2011

5a. Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b . [] Amended Report8. On the bas i s of the informat ion conta ined in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

Reviewing Off icer Date

6. Report ing Period01/01/2010

to12/31/2010

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 part where you have no reportable informatior~ Sign on last page.

I . P O S I T I O N S . (Reporting individual o . l y ; seepp. 9-13 of filing instructions.)~ N O N E (No reportable positions.)

POSITION1 . J u d i ci a l B o a r d M e m b e r2.3.

4.5.

NAME OF ORGANIZATION/ENTITYAsso c i a t i o n o f Bu s i n e ss T r i a l L a w y e r s

I I . A G R E E M E N T S . ( R e p o r t in g i n a l v ia u u l o n l y ; s e e p p . 1 4 - 1 6 of filing instructions.)[~] N O N E ( N o reportable agreements.)

1.20032 .19883.

D A T E P A R T I E S A N D T E R M SCa l i fo rn i a Jud g e s Re t i r e m e n t P l a n ; Pe n s i o n Up o n R e t i r em e n t , Ag e 6 3L o s An g e l e s E m p l o y e e s Re t i r e m e n t P l a n ; Pe n s i o n Up o n Re t i r e m e n t , Ag e 5 5


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FINANCIAL DISCLOSURE REPORTPage 2 o f 11

N a m e o f P e r s o n R e p o r t in gOtero, Samue l J.

Date of Report05/10/2011

I I I. N O N - IN V E S T M E N T I N C O M E . ( R e p o r t i n g individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e~ NO NE (No reportable non-investment income.)

D A T E SO U R C E A N D T Y PE INCOME( y o u r s , n o t s p o u s e s )1.01/2010 Los Ange le s Employee Re t i r ement Pens ion $16,000.00

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 - if you were m arried during anyportion of the reporting year, complete this section.(Dollar amo unt not required except for honoraria.)

[] (No reportable non-investment income.)ONED A T E

1.01/2010

2.

3.

4.

SOURCE AND TYPELos Ang e le s Unif ied School Dis t r ic t

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.(Includes those to spouse and depend ent children; see pp. 25-2 7 of filing instructions.)

~ N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

Assoc ia t i on o f Bus ines s Tr i a l 04/09 - 04/11 Phoenix, Ar izonaLawyer s Program Par t ic ipant Meals , H o te l , T r anspor ta t ion

2. U .S . D ep ar tm e nt o f J us ti ce 1 2/1 5 - 12 /1 7 C o l um b i a , S o u th C a ro l in a N a ti o n al A d v o ca c y C e n te r Meals, Hotel , Transpor tationProgram Par t ic ipant3.4.5.


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FINANCIAL DISCLOSURE REPORTPage 3 of 11

Name of Person Repor t ingO t e r o ~ S a m u e l J .

Date of Repor t05/10/2011

V . G I F T S . a n c i u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)[~ N ON E ( N o reportable gifts.)

SOURCE1 . L.A. I .P . Inn of C our t Memb er sh ip2.3.4.5.

DESCRIPTION VALUE$750.00

V I . L I A B I L I T I E S . a n d u d e s t h o s e o l s p o a s e a n d d e p e n d e n t children; see pp. 3 2 - 3 3 of filing instructions.)~-] N O N E (No reportable liabilities.)

CREDITOR1 . Sa l l ie Mae2.3.

4.5.

Student LoanDESCRIPTION VALUE CODE

J


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N a m e o f P e r s o n R e p o r t i n gOtero, Samuel J.


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 (In cludes those of spouse and d ependent children; see pp. 34-60 of f iling instructions.)~] NONE income, assets, or transactions.)eportable

A, B. C,

( Q - W ) t r a n s a c t i o n )

1 . Frankl in Ca l i forn ia Tax Free Incom e Fund A Dividend J T2. Gall ia rd S tab le Va lue (LA Def .Com p.Wash . Mutual Liquid )3. Fir s t Inves to r s Cash Managem en t Fund A

( b r oker age acc t # 1 )4. Fir s t Inves to r s Inves tmen t Gr ade Fund A( b r oker age acc t # 1 )5. Fir s t Inves to r s Fund f o r Income ( b r oker ageacct # I )6. Fir s t Inves to r s Gover nm en t Fund ( b r oker ageacct # 1)7. Oppenh eimer Discover y Fund8. Oppenh eimer E qui ty Fund9. Aviva L ife Insurance St ra tegy Se lec t1 0 . Grea t Am er ican L ife Insurance1 1 . Fir s t Inves to r s Gr owth & Income Fund ( Xb r . acc t # 1)1 2 . Fir s t Inves to r s S i tua t ions Fund A ( X b r . acc t#1 )1 3 . Fir s t Inves to rs Glob al Fund A ( X b r . acc t#1 )1 4 . First Investors Total Return fund (X br . acct# I)1 5 . C~ l i f o r n ia Ins Tax E xem pt Fund ( X b r . acc t#1 )1 6 . First Investors Select Growth Fund A (X br .acc t # 1)1 7 . First Investors Intl Fund A (X br . acct #1)

A Interes t J TA Dividend J T Sold( p a ~ )A Dividend K TA Dividend J TA D iv id en d So ldB Dividend K T

02102/10

02/02/10 K

B Dividend K TB Dividend K TA Dividend K TB Dividend J T Sold 01/11/10 J( p a r t )A Dividend J TA Dividend K T Sold 01/21/10 K(part)B Dividend L T Buy 12/13/10 L

C Dividend Sold 1 2 / 0 3 / 1 0 L

A Dividend J T Sold 01/11/10 J "(part)A Dividend K T

! l n c0 n ic G a in C o d cs :(S ee Co lu mn s B t an d D 4)Value Codes(S ee Co lu mn s CI an d D 3 )

3.Valu e Me tho d Co d es(S ee Co lu mn C2 )

F =$50,001 - $100,000 G =$100,001 - $1;000,000 HI =$1,000,001 -$5,000,000~ = $ 1 5 , 0 0 0 o r ~ e s s K = $ ~ 5 ; 0 0 1 $ 5 0 ; 0 0 0 L = ~ 5 0 , 0 0 ~ : $ I 0 0 , 0 0 0N =$250,001 -$500,000 O =$5 00, 001 - $1 ; 000 , 000 P l =$1 , 000; 001 ~ $5 , 000 , 000P3 =$25,000,001 - $50,000~000 P4 =Mor~ than $50,000,000Q =Appraisa | R =Cost (Real Estate On|y) S = A sse ssmen tU = Bo o k Va lu e V Ot h er W = ESt imated

D =$5 , 001 - $15 , 000n 2 ~ 6 ~ - e t ~ h ~ 5 i 0 0 o , 0 0 0M =$ i 00,001 ~ $250;000~ = $ 5 , 0 0 o , 0 0 1 - $ 2 5 ,0 0 0 o o oT = Cash Mark e t

E =$15,001 - $50,000


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V I I. IN V E S T M E N T S and T R U S T S - i .... e , va lue, t ransact ions (Includes those o f spouse and dependent ch i ldren; see pp . 34-60 o f f i l ing instruct ions.)~ NONE income, assets, or transactions.)eportable

A. B. C. D.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d Transact ions dur ing repor t ing pe r iod( i n c l u d i n g i t m s t a s s e t s ~

Place "(X)" after each assetexempt from prior disclosure

A m o u n t Type (e.g. , ValueCode 1 div. , rent. Code 2(A-H) o r i n t . ) O - P )Value Type (e.g., D a t e Value

M et h od buy, sell , mm/dd/yy Code 2Code 3 redemption) (J-P)(Q - W )

Gain l d e n t i~ o fCode 1 buyer/selle~(A-H) (i~private

transaction)

1 8 . Fir s t Inves tor s Va lue Fund (x broke rage acc t A Dividend K T Buy 12/13/10 K# I)1 9 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 01/12/10 Kaccoun t # 2)20 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 03/29/10 J

accoun t # 2)21 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Div idend K T Bu y 06/29/10 Jaccoun t # 2)22 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 07/12/10 Jaccoun t # 2)23 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Div idend K T Bu y 07/19/10 Jaccoun t # 2)24 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Sold 08/02/10 Kaccoun t # 2) (part)25 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 08/09/10 Kaccoun t # 2)26 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Sold 08/24/I0 Kaccoun t # 2) (part)27 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Buy 10/01/10 Jaccoun t # 2)28 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 10/05/10 Jaccoun t # 2)29 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 11/04/10 Kaccoun t # 2)30 . B a n k o f A m e r i c a ( X " c o m m o n " b r o k e r ag e A Dividend K T Bu y 11/05/10 Jaccoun t # 2)31 . For d Moto r ( X "common" b r oker age A Dividend K T Bu y 01/11/10 Jaccoun t # 2)32 . For d Moto r ( X "common" b r oker age A Dividend K T Bu y :01/12/10 Jaccoun t # 233 . For d Moto r ( X "common" b r oker age A Dividend K T Bu y 01/25/10 Jaccoun t # 234 . F o r d M o t o r ( X " c o m m o n " b r o k e r a g e A Dividend K T Bu y 103/18/10 Jaccoun t # 2

(See Colun m s B 1 and D4) F = $50,001 - $100,000 G = $100;001 - $I,000,000 H 1 =$1 ;000,001 - $5,000,00 02. Value Codes J =$15,000 or tess K =$15,001 2 $50,000 L =$50;001 - $100,000

(S ee Co lu mn s C I an d D 3 ) N :$250,001 - $500,000 O =$500,001 - $ 1,000,000 P 1 v$ 1,000,00 i - $5,000;000P3 =$25,000,00i - $50,000~000 P4 =More than $50,000;0003. Value Method Codes Q ~ A p p r a i s al R =Cost (Real Estate Only) S = A sse ssmen t

(S ee Co lu mn C2 ) U =Book Val ue V = O the r W = Es t ima tcd

D =$5,001 -$15,000H2 =Mo~ than $5,000,000M=$100~001 -$250,000P2 -$5,000,001-$25,000,000T : C ash M arke t

E =$15,001- $50,000


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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 of f!llng instructions.)N O N E (No reportable income, assets, or transactions.)

AoD e s c r i p ti o n o f A ~ s e t s( i n c l u d i n g t r u s t a s s e t s ~Place "(X)" after each assetexempt from prior disclosure

Income during Gross value atendr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(1 ) (2 ) (1) (2) (I) (2) (3) (4) (5 )Amount T y p e ( e .g . . Value Value T y p e { . e . g . ,: D a t e Value Gain I d e n t i t y o fC o d e 1 d i v . , r e n t , C o d e 2 Method b u y , S e l l, m r r d d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) ( i f p r i v a t eA - H ) o r i n t o ) ( J - P ) C o d e 3 redemption) ( J -P) I t r a n s a c t i o n )( Q - W )

35 .36 .37 .38.39 .4 0.41 .42.~

43 .44 .45 .46 .47 .48 .49 .

50 .51 .

For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2Ford Motor (X "comm on" brokeragea c c o u n t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2F o r d M o t o r ( X " c o m m o n " b r o k e r a g eaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2For d Moto r ( X "common" b r oker ageaccoun t # 2S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)

A Dividend K T Bu y 03/19/10 JA Dividend K T Sold 05/06/10 K(part)A Dividend K T Sold 05/07/10 J

(part)A Dividend K T Bu y 06/24/10 JA Dividend K T Bu y 06/25/10 JA Dividend K T Bu y 06/28/10 JA Dividend K T Sold 07122110 K( p a r t )A Dividend K T Bu y 08/10/10 KA Dividend K T Sold 08/24/10 K(part)A Dividend K T Bu y 10/06/10 JA Dividend K T Bu y 12/29/10 KB Dividend Bu y 01/20/10 JB Dividend Sold 01/21/10 K(part)B Dividend Bu y 01/25/10 KB Dividend Sold 01/29/10 K(part)B Dividend Bu y 02/02/10 KB Dividend Sold 03/19/10 J(part)

i i lncom~ G~ifi C6des: A = $1,000 or te ss B =$1,001 - $2,500 C =$2,501 - $5,000(S ee Co | u n ms B I an d D 4) F =$50,001 - $100,000 G =$100,00 t - $1,000,000 H 1 =$1,000,001 - $5,000,0002. Va lue Co d es J = $15,000 or less K-$15,001 - $50,000 L =$50,001 - $100.000( Se e C ol um n s C I an d D 3) N =$ 25 0,00 1 - $5 00,0 00 O =$500,001 - $ 1,000,000 P I =$ 1,000,001 - $5,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000;0003. Value Method Codes Q =Appr a i s a l R =Cost (Real Estate Only) S -Assessm ent

(See Colurntx C2) U = Bo o k Va lu e V O t h e r W = Es t ima ted

D =$5,001 - $15,000H2--M~r~ tha~ ~5i0001000M = $ i o 0 1 o o i : ~ 5 0 ! 0 0 0P ~ = $ S i 0 0 0i O O l ~ $ 2 5 ; 0 0 0 ~ 00 0T - - C a s h M a r k e t

E =$15,001 - $50,000


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D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc ome, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions)NONE (No reportable income, assets, or transactions.)

A.D e s c r i p t io n o f A s s e t s( i nc lu ding t ru s t a s s e t s )

Place "(X)" after each assete x e m p t f r o m p r i o r d i s c l o s u re

B. C. D.Income dur ing G r o s s v a l u e a t e n d Transactions during reporting periodr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (1~ (2) (1 ) (2) (3) (~

A m o u r t t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o C o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , . ., m m / d c Y y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) O - P ) C o d e 3 redemption) ( J - P ) ( A -H ) ( i f p r i v a t e(Q-W) transaction)

52 .53 .54 .

55 .!5 6 .57 .

58.59 .60 .

61.62 .63 .

64 .65 .66 .

67 .68 .

S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)SPDR Gold Tr us t ( X "common" b r oker ageaccoun t # 2)SPDR Gold Tr us t ( X "common" b r oker ageaccoun t # 2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)SPDR Gold Trust (X "comm on" brokerageaccount #2)S P D R G o l d T r u s t ( X " c o m m o n " b r o k e r a g eaccoun t # 2)SPDR Gold Tr us t ( X "common" b r oker ageaccoun t # 2)SPDR Gold Tr us t ( X "common" b r oker ageaccoun t # 2)SPDR Gold Tr us t ( X "common" b r oker ageaccoun t # 2)C i t iG r o u p C X " c o m m o n " b r o k e ra g e

B Dividend Bu y 03/22/10 KB Dividend Bu y 03/24/10 KB Dividend Bu y 05/10/10 JB Dividend Sold 07/22/10 K( p a r t )B Dividend Buy 10/01/10 JB Dividend Buy 10/05/10 JB Dividend Bu y 10/08/10 JB Dividend Buy 11/09/10 JB Dividend Sold 12/23/10 K( p a r t )B Dividend So ld 12/28/10 J( p a r t )B Dividend J T Bu y 01/12/10 J

C i t iG r o u p C X " c o m m o n " b r o k e ra g e B Dividend J T Bu y 01/26/10 JC i t iG m u p C X " c o m m o n " b r o k e ra g e B Dividend J T Bu y 03/12/10 JC i t iG r o u p C X " c o m m o n " b r o k e ra g eC i t iG r o u p C X " c o m m o n " b r o k e ra g e

B Dividend J T Sold 04/22/10 J(part)B Dividend J T Bu y 04/19/10 J

C i t iG r o u p C X " c o m m o n " b r o k e ra g eC i t iG r o u p C X " c o m m o n " b r o k e ra g e

B Dividend J T Sold 05/10/10 J(part)B Dividend J T Bu y 06129/10 J

i : in c o m e G a i n C o d e s :( S e e C o l u m n s B I a n d

2 . V a l u e C o d e s( S e e C o l u m n s C I a n d D 3 )

3. V a l u e M e th o d C o d e s( S e e C o l u m n C 2 )

A=$i i000 or lessF =$50,001 - $ 100,000J =$15,000 or lessN =$250,001 - $500,000P 3 =$25,000,001 - $50,000,000Q =AppraisalU =Book Value

=$1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000 E = $15,001 - $50,000G =$100,001 - $ L000,000 tt i --$ i~00~00 i ~ $510001000 ......... H2 =More than $5~000,000 ..... ..............

=$~5,001 - $50,000 L =$50i00i:: $t 00;000 M =$100,001 - $250;000=$500,001 - $1,000~000 PI --$1;000;001 .- $5,000,000 P2 =$5,000,001 = $25,000~000

P4 =More than $50,000,000=Cost (Real Estate Only) S = A sse ssmen t T = Cash Mark e t=Other W =Estimated


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D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v.t.e, tro,s,cao,~ (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ NONE(No reportable income, assets, or transactions.)

69 . C i t iG r o u p C X " c o m m o n " b r o k e r a ge B Dividend70 . C i t iG r o u p C X " c o m m o n " b r o k e r a ge B Dividend71 . C i t iG r o u p C X " c o m m o n " b r o k e r a ge B Dividend

J

J

J

T

T

T

Bu y 0 7 / 1 2 / 1 0Sold 08/24/10(pm)Buy 11/04/10

J

JJ

72 . C i t iG r o u p C X " c o m m o n " b r o k e r a ge B Dividend J T B u y 11/05/10 J73 . BP PL C (x "c o m m o n " bro k erag e ) N o n e B u y 04/20/10 K

74 . B P P L C ( x " c o m m o n " b r o k e r a g e N o n e Bu y 04/26/10 J75 . B P P L C ( x " co m m o n " b ro k e r a g e N on e So ld 04/30/10 K76 . A l a m o E n e r g y ( x " c o m m o n " b r o k e r a g e ac c t None#2 )77 . A l a m o E n e r g y ( x " c o m m o n " b r o k e r a g e ac c t None#278 . B e r k s h ir e ( x " c o m m o n " b r o k e r a g e a c c t # 2 ) None

JJ

TT

Bu y 04/05/10Buy 12/27/10

Bu y 04/20/10 i

JJ

J79 . B e r k s h ir e ( x " c o m m o n " b r o k e r a g e a c c t # 2 ) N o n e Bu y 04/26/10 "J80. B e r k sh ir e ( x " co m mo n " b r o k e r ag e a cc t # 2) N one81. A p p l e ( x " c o m m o n " b r o k e r a g e a c c t # 2 ) A Dividend82. Apple Inc ( X b r oker age accoun t # 2) A Dividend

K T

K T

Sold 05/07/10Bu y 10/15/10I

Bu y 10/15/10

KK

83. A p p l e ( x " c o m m o n " b r o k e r a g e a c c t #2 A Dividend K T Bu y 12/29/10 K84 . Matth ews Pac i f ic Tiger Fund x "common"broke rage acc t #2)85. Joh nson & Joh nson ( x "common" acc t # 2)

A D iv ide nd J T

A D i v i d e n d J T

B u y 11/09/10 J

B u y 12/29/10 J

I. Income Gain Codes:(S ee Co lu mn s B I an d D 4)

2.Value Codes(See Colura~s C I attd D3)

3.Value Method Codes(sec C ol um n C 2)

F =$50,001 - $ t 00,000 G =$100,001 - $1,000,000J =$15~000 or less K =$15;001 - $50;000N =$250,001 - $500;000 O $50 0 ,0 0 l -$1,0 0 0,0 0 0P3 =$25,000,001 - $50,000,000Q =A ppr a i sa l R =Cost (Real Estate Only)U = Bo o k Va lu e V -Olhe r

C =$2,501 - $5;000 D =$5,001 - $15,000 E =$15,001 - $50,000H I ~ $ 1 0 0 0 0 0 i~ $ 5 0 0 0 0 0 0 H 2 = M 6 r e t h a n $ 3 1 0 0 0 ~ 0 0 0~ 1 = ~ 1 , 0 0 o ; o o l = $ ~ , o 0 o i0 o o ~ : $ ~ o 0 o l o o 1 ~ i 0 o o i o 0 oP 4 = M o r e th an $ 5 0 , 0 0 0 , 0 0 0S = A sscssmcn t T ~ Cash Mark e tw = Es t ima tcd


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N a m e o f P e r s o n R e p o r t i n gOtero, Samu el J .

D a t e o f R e p o r t05/10/2011

VII. INVESTM ENTS and TRUSTS - i .... e, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ NONE (N o reportable income, assets , or transactions.)

86. I Sha res S i lve r (x "common" broke rage acc t A Dividend J T Bu y#2 )87. Uni ted S ta tes Savings Bond A Dividend J T

12/29/10 J

8 8. Ch a se B a nk Ac co un t J oi nt B I n t e r e s t K T89. L.A. Federal Credit Union Accounts B I n t e r e s t M T90. Calif Credit Union A I n t e r e s t J T91 .92 .93 .

i . ifi~hi6 Gai~ CodeS: A =$1,000 or less B =$1,001z $2,500 C =$2;501 = $5,000: D = $5,001 - $15,000(S ee Co lu mn s BI an d D 4) F =$50,001- $100,000 G = $I00,001 - $1,000;000 H~ --$i;000106i--~;~00i~0~ H~ --M6re than $5;000~000

2. Value Codes J = S15,000 or less K = $15;001, $50;000 L ~$50;00i ~ ~$100i001 = $250,000(See Col ....C I a n d 0 3 ) N = $250,001 - S S00,000 O = SS 00,001 - $1,000,000 ~i--~ii000~001 ~ $5;000;0~6 P2--$5;000,001 : $25,000;000

P3 =$25,000,001 - $50,000,000 P4--More than $50~000i0003. Value Method Codes Q = Appr a i sa l R. =Cost (Real Estate Only) S --Assessmen~ T - -c ash M arke t( s e e C o l u m n C2 ) U = Bo o k Va lu e V = O the r W = Es t ima ted

E =$15,001 - $50,000


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Name of Person Repor t ingOtero, Samuel J.


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 . (Indicate part of report.)Th e m ajo r i ty o f th e "b uy" t r ansac t ion ac t iv i ty f o r th e f i r s t inves to r s t r us t f unds r epor ted in Sec t ion VII a r e ac tua l ly exch anges an d t r ans f er s wi th in th e f i r s t inves to r sf amily of funds . The funds r epor ted in sec t ion VII i tems 6 and 15 w ere not owned a t the end of the r epor t ing pe r iod .

I n S e p t e m b e r 2 0 0 9 ~ ~ I o p e n e d b r o k e r a g e a c c o u n t # 2 . T h e s t o c k h e l d i n t h e a c c o u n t i s r e p o r t e d i n S e c t io n V I I it e m s 1 9 t h r o u g h 8 6 . B P P L C , A l a m oEnergy and B erksh i re s tock r epor ted in Sect ion VI i tem 46 , 73 and 78 were n ot owned a t the end of the r epor t ing pe r iod .


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Name of Person R eport ingOt e r o , S a m u e l J .

Date o f Report05/10/2011

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 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 sa c c u r a t e , tr 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 l d b e c a u s e i t m e t a p p l i c a b l e s t a t u to r y

p r o v i s i o n s p e r m i t t i n g n u n - d i s c l o s u r e .I f u r t h e r c e r ti f 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 ts w h i c h h a v e b e e n r e p o r t e d a r e i ncompl iance wi th the prov is ions of 5 U.S.C . app. 501 e t . seq . , 5 U.S.C . 7353, and Judic ia l Confe rence r egula t ions .

Signature: S] Samuel J . Otero

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 E S O R F A I L S 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 ILA 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 l o s u reAdm in is t ra tive Off ice o f the Uni ted S ta tes Cour t sSui te 2-301O n e C o l um b us C i r c l e , N .E .W a s h i n g t o n , D . C . 2 05 44

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Samuel James Otero Financial Disclosure Report for 2010