Wallace A Tashima Financial Disclosure Report for 2010

8/3/2019 Wallace A Tashima Financial Disclosure Report for 2010

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A O I ORev. 1 /2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Governmen t Act o f 1978(5 U.S.C. app. ,~,~ 101-111)

I . P e r s o n R e p o r t i n g ( las t name, f i r s t , m i d d l e i n i t i a l )TASHIMA, A. WALLACE

Title (Article |1| judge~ indicate ac t ive or sen io r s t a t u s ;magistrate judges indicate full- or pan-time)U.S. Circuit Judge - Sen ior

7 . C h a m b e r ~ o r O f f ic e A d d r e s s125 Sou th Gr and AvenuePasadena , CA 91105-1652

2. Court or OrganizationU.S.C.A. - Ninth Circuit

3. Date of R e p o r t5/16/201 I

! 5a . Report Type (check app ropriate ~ype)] N o m i n a t i o n . D a t e[] Initial [] Annual [] Final5 b . [] Am e n d e d Re p o r t8. O n t h e b a s i s o f th 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 fi c a t io n s p e r t a i n in 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 ia 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 .

R e v i e w i n g O f f i c e r D a t e

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be fo/Iowet Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . ~ R e ~ , o m , , g i .a ~ v i d . a t o n t r ; s e e r e . 9 - 1 3 of f i l ing instructions.)[~] NONE ( No reportable positions.)

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I. A G R E E M E N T S . m c p o m , , # i .a~v~a.at o,0; see pp. 14-1 6 of filing instructions.)~] (N o re por tab le a gre e me nts . )ONE

DATE PARTIES AND TERMS

Tashima A. Wal lace


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FINANCIAL DISCLOSURE REPORTPage 2 o f 7

Name of Per son R e p o r t i n gTASHIMA, A . \VALLACE

D a t e o f R e p o r t5/16/2011

I I1 . N O N - I N V E S T M E N T I N C O M E . t R O , o~ n ~ individual andspouse: set pp. 17-24 of filing instruction~)A. Filers Non- I nve s t me n t I n come[~ NONE non- inv e s tme nt income . )N o reportable

D A T E SOURCE AND TYPE INCOME(yours , not spouses )1.3/23/10 Thomson/Reuters , Eagan, MN - Royalties $23,742.002. 9/20/10 Thomson/Reuters , Eagan, MN - Royalties $53,016.003.4.

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 - i f y o u were married during any portlon of the reportlng year, complete this sectlon~( Dol lar amount not re quire d e xce pt for hon oraria. )

~] NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I.2.3.4.

I V . R E I M B U R S E M E N T S - , r a n s p o r t o . o ., I o d g l n g , ~ o o d , e n t e r ta i n m e n t .( I n c l u d e s t h o s e t o s p o u s e a n d d e 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 il i n g i n s t r u c ti o n s . )

~] (N o re por tab le re imburse m e nts . )ONE

2.3.4.

5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a ge 3 o f 7

N a m e o f P e r s o n R e p o r t i n gTASHIMA, A. \VALLACE

D a t e o f R e p o r ~5/I 6/2011

V . G I F T S . ( Includes those to spouse and depen dent children; see pp . 28-3 1 o f f i l ing instructionsON O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.

4.5.

VALUE

V I . L I A B I L I T I E S . a , c l , d e , t h o s e o l s p o n s e u n d d c p e , a c , t children; see p p . 3 2 - 3 3 of filing i n s t r u c t i o n s . )D (No reportable l iabi li t ies .)O NE

CREDITOR DESCRIPTION

3.4.5.

JP Morgan Chase , NY ( successor toWash ing ton Mutua l ) Mortgage on investm ent proper ty (J)VALUE CODE

o


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N a m e o f P e r s o n R e p o r t i n gTASHIMA, A. \VALLACE

D a l e o f R e p o r t5/16/2011

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 a t u e , ~ a ~ a c a o ~ a n d u d ~ t h o s e o / s p o ~ s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Description of Assets Transactions during reporting p ~riod(including trust assets)

P l a c e " ( X ) * a f t e r e a c h a s s e texemp t from p rior disclosure

Income during Gross value at endreporting period o f r e p o r t i n g p e r i o d

(1) (2) (0 (2) (i ) (2) (3) (4) (5 )Amount T y p e ( e . g . , Value Va lue T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fCode I d i v . , r e n t , Code 2 M e t h o d buy , se ll, m m/dd,~, Code 2 Code I buy erlse lle r(A-H) o r in t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

I. Drey fus L iqu id As s e t Fund B Dividend K

2. Rowe Pr ice Int l Bond Fund A Div idend J

3. John Hancock Money Ma rke t Fund B Dividend K

4. Rowe Pr ic e Equi ty Income Fund A Div idend K

5. W.L. Morgan Growth Fund (Vangua r d ) A Div. & C.G K

6. Vangua r d W indsor I I Fund A Div. & C.G K

7. Citibank[] A Interes t K

8. Honeywe l l I n t l . Comm on A Div idend K

9. Chas. Schwab & Co. Brokerage Acct . A Dividend JMoney Ma rke t1 0 . Hend r i c k s Vi l l a , I n c . , comm on C Int./Div. O

II . Ci t ibank -Check ing ( 2 ) A Interes t J1 2 . Cit ibank - Saving s A Interes t J1 3 . Janus Res ea r ch Fund A Dividend K1 4 . Renta l Prop. #2, L.A. , CA Ap pra isa l Date : A Rent PI12/17/031 5 . Janu sGIoba l Se l ec t Fund A Div idend J

1 6 . Bank o f Ame r i c a A ln teres t K

1 7 . JP Morgan Chas e A Interes t L

T

T

T

T

T

T

T

T

T

U

T

T

T

QT

T

T

I. Income Gain Codes: A =$1,000 or less B = $1,001 . $2,500 C =52,501 - $5,000 D =$5,001 - $15,000(See Columns B I and I34 ) F = $50.001 - $ 100,000 G = $100.001 - $ 1.000.000 I I I = $ 1 , 0 0 0 . 0 0 1 - $ 5 . 0 ~ 0 , 0 0 0 t l2 =More than $5,000.000

2. Value Cod~ J =$15,000 or less K = 515.001 - $50.0~) L = $50.0O I - $100.00) M =5100.0~1 - 5250.0~0~Se Columns CI and D3) N =$250,001 - $500.000 O = $500.0QI - $1,000.000 PI =51.000.001 - $5.000,000 P2 =$5,0~.001 - $25,000.000

P3 =$25.000,001 - 550.000.000 P4 =More tEan3. Value Method C o d e s Q =Appraisal R = C o s t (Real Estate Only) S ~Assessment T =Cash Ma.rkcl(See Column C2) U =Book Value V =O~her W =Es t ima t ed

E =$15,001 -


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N a m e o f P e r so n R e p o r t i n gT A SH I M A , A . WA L L A C E

D a t e o f R e p o r t5/16/2011

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 ,~ e , v ~ t u e , t , u n s a c t i o n s (Includes those of spouse and dependent children see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )D (N o re por tab le income , a sse t s, or t ransac t ions . )ONE

Descr ip t ion o f Asse ts( inc lud ing t rus t a sse ts )

P l a c e " ( X ) " a f t e r e a c h a s s e texem pt from prior disclosure

B. C. D.I n com e du r i ng G ross va lu e a t e n d T ra n s a c t ion s d ur in g re p or tin g p e riod

repo r t ing pe r iod o f r epo r t ing pe r iod(I) (2) (I) (2 ) (1 ) (2) (3) (4) (5 )

A m o u n t T y p e ( e . g . , Va l u e Va l ue Type (e.g., Date Val ue Gain I d en t i t y o fCode 1 d iv. , r en t , Code 2 Method buy , se ll , m m /d dk y y Cod e 2 C ode I buyer / se l le r(A -H ) or in t . ) ( J -P ) Code 3 re d e m p tion ) (J -P ) ( A - H ) ( i f p r ivat e

( Q - W ) t r ansac t ion )

1 8 . Promissory Note (S, as Trus tee ) D I n t e r e s t N T

1 9 . Citibank (S) Chi ldrens Trust Non e J T

20 .21 .22 .

Golde n State Scholarshare Trust~Gab riela Perez, Benef .

A Div idend L T

Golden Sta te Scho lar share Trust~ Jo j iPerez, Benef ic iaryGolden Sta te Scho lar share Trust~ Ja sonPerez, Benef ic iary

A Dividend L T

A Dividend L T

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C ~$2,501 - $5,000 D =$5,001. $15,000(See Columns BI and 134) F = $ 5 0 . 0 0 1 - $ 1 ( 3 0 . 0 0 0 G =$1 00 .00 1 - $1.0 00.0 00 I1 1 = $1 ,0 00 .00 1 . $5 .0 00 .0 00 112 =M ore tha n $5,00 0.000

2. Value Codcs J -$15.000 or I~s K =$15.001 - $50.000 L =$50.001 - $100.0~) M =$10O.001 - $250.000(See Columm CI and D3) N $250.001 - $500.000 O = $500.001 - $1.00~.000 p I =$1.000,001 - $5.000,000 P2 = $5.000.001 - $25,000.~0

P3 =$25.000.001 - $50.000.000 P4 =More than3. Value Method Codes Q =Appraisal R =Cost (Rcal Estate Only ) S =Asscssn~mt T = ~h Markc t(See Co lumn C2) U -Book Value V =Olhcr W =Estimated


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N a m e o f P e r so n R e p o r t i n gTASHIMA, A. WALLACE

D a t e o f R e p o r t5/16/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofrepor~)Al l o f t he a s s e t s l i s t ed in Pa r t VII , n e s 18 -23 , a r e he d by t rus tee (or otherwise in a t rus t capacity ) a nd i have no beneficia l in teres t in said asse t s .


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Name of Person ReportingT A S H I M A , A . ~ V A L L A C E

Date of Report5/16/2011

IX . CERTIFICATION.I ce r t i f y t ha t a l l in fo rma t ion g iven above ( inc lud ing in fo rma t ion pe r t a in in g to my sp ou se and m ino r o r d epen den t ch i l d r en , i f any ) i saccu r a t e , t r u e , and comp l e t e to th e bes t o f my kn owledge and be l ie f , and th a t any in fo rma t ion no t r epo r t ed ~vas w i thhe ld becau se i t m e t app l icab l e s t a t u to ryp rovis ions pe rm i t t ing non-d i sc lo su r e .I f u r th e r ce r t i f y th a t ea r ned incom e f rom ou t s id e emp loym ent and hono r a r ia and th e accep t an ce o f g i f ts wh ich have been r ep o r t ed a r e incomp l i ance wi t h t he p rov i s ions o f 5 U .S .C . ap p . 501 e t . s eq . , 5 U .S .C . 7353 , and Jud ic i a l Con fe r en ce r egu l a t ions .

Signature: S] A. WALLACE TASHIMA

N O T E : A N Y I N DIVI DU A L WH O K N O WI N G L Y A N D WI L F U L L Y F A L SI F IE S 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 SU B JE C T T O C I VILAND CRIMINAL SANCTIO NS (5 U .S.C. app . 104 )

Comm ittee on Financia l Disc losureAdmin istrative Office of the United States CourtsSuite 2-301One Colum bu s Circle, N.E.Wash ington , D.C. 20544


8/8

C H A MB E R S OFA. WALLACE TASH IMAUNITED STATES CIRCUIT JUDGE

UNITED STATES COURT OF APPEALSFOR THE NINTH CIRCUIT

1 2 5 S O U 1 tH G R A N D A V E N U EPO. BOX 915510

PASADENA. CALIFORNIA 91109-1,510

August 30, 2011TEL: |626) 229-7373

Committee on Financial Disclosurec/o Adm inistrative Office of U.S. CourtsOne Colurnbu s Circle, NE , Suite 2-301Washington. DC 20544Re: Amendment to 2010 Financial Disclosure Report

Dear Committee Members:In response to your letter to me of even date, I hereby amendg/i~y2010 Financial Disclosure Report, as follows:1. In Part VII, page 5, Column A, add "Hendricks Villa Inc..

common ~ as Trustee) (Y)," at line 23.2. In Part VIII, add the following explanation:

~ ~ ~~i~~,~ ~, ,The trust, of ~ . ~ . ! ] Trustee, in Parthich ~ . ~.. : , ~ was listed VII.line 23, has matured and its corpus (i.e., Hendricks Villa Inc.comm on] has been distributed to the beneficiaries namedtherein.I also enclose three copies of this Letter amendment.

Ao

encl.

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Wallace A Tashima Financial Disclosure Report for 2010