Cynthia H Hall Financial Disclosure Report for 2009

8/3/2019 Cynthia H Hall Financial Disclosure Report for 2009

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. ~ o t o [ FINANCIAL DISCLOSURE REPORT R e p o r : R e q u i r e d b y t h e E t h i c s in Government Act of 19781/2010 [ FOR CALENDAR YEAR 2009 0 u.s. c. app. tot-riO

1. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Date of Reportllall, Cynthia H. Ninth Cixcut Court of Appeal~ 04/27/2010

4. Title (Article Ill judges indicate aclive or senior stares; 5a. Report T} pe (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time) [] Nomination, Date 01/01/2009

Senior U.S. Circuit Judge [] Initial [] Annual [] Final to12/31/20095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, In my opinion, in compliance125 S. Grand Avenue, Suite 603 with applicable la.~s and regulations.Pasadena, CA 91105

Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be Jbllowed. Complete all parts,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 o ~ o r a , , ~ individual only; see pp. 9-13 of filing i,tstructions.)N O N E (No. reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITYI.2.

3. ~"

~I

~ NON~ (No reporlable agreemems.)DAT ~ PARTIES A~ Tg~S

1.


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F I N A N C I A L D IS C L O S U R E R E P O R T nau, Cynthia II. I 0 4 / 2 7 / 2 0 1 0 Iage 2 of 8I II . N O N - I N V E S T M E N T I N C O M E . (Repor,i ,g indmdual ond spouse; see pp. 1 7 - 2 ~A. Fliers Non-Investment Income

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

1.2.3.4.

B. Spouses Noll-Illveslmell| Illcome - If you w~re married during any portion of the reporting year, complete this section.(Dol lar amount no t required except for honoraria. )

N O N E (No reportable non-investmcnt income.)DATE SOUR(TE AND TYPE

I.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertai .... t.(lnchugc$ those to spovae and dependent children; see pp. 2.1-27 of filing instr~*ction$.)

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

I.

3.4.5.


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Name of Person Reporting [ D a t e o f R c ~ rtPageFIN A N C IA L3 of 8 D I S C L O S U R E R E P O R T u , u , C y n t h i a 11 . I 0 4 / 2 7 / 2 0 1 0

V . G I F T S . a - c ~ - ~ e , ,h o , e t o ~ , . . . .. ~ dependent childrett; s e e p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable g~s.)

S O U R C E DESC~PTION VAL~

3.4.5.

~ N O ~ (No re~rtable liabiliti~.)CI~DITOR D E S C R I P T I O N VALUE CODE

I. T D A M E R r r R A D E M A R G I N T R A D I N G A C C O U N T J2.3.4.5.


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Name of Person Reporting Date of ReportPageFINANCIAL4 of 8 DISCLOSURE REPORT na 1 , C y n t h i a H . 0 4 / 2 7 / 2 0

VII. INVESTMENTS and TRUST S - i .... e, ralue, lr .....1ton$ (Includes those of spo ..... d d e V e . d e . t childtln; see pp. 3140 of filing instructio,s.)[] (No reportable income, ~sets, or transactions.)ONE

B . C . - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Dcscdp~on of AS~L~ I n c o me d ~ g G~s value at ~d T~n~c6on~ d~ ~ing( i n c l u d i n g t ~ t a ~ e t s ) ~ning ~Hed o f r e ~ m i n g

{I) (2) O ) ( 2 ) (I) ( 2 ) ( 3 )P l a c e " ( X ) " a ~ e r e a c h a s s e t Am o u n ~ T y ~ ( g . , Value Value T~ (e.g., Da~e Val~ ~ Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r c C o d e I d i v . , ~ n ~ Code 2 Mefl~d b u y . s e l l , m~D Code 2 i C~ I b u y e r / s e l l e r(AdO o r i n l . ) ( J - P ) Code 3 r e d e m p t i o n ) (J-P) [ (A-H~ 0fpfvate

l . . . . . . . . . . . . . . . . . . . . . . . . . . . . .I . LBO INVESTMENT PARTNERSHIP A I n t e r e s t K T

2. BANK OF AMERICA A Inlcrcst J T3. B R E I T B U R N E N E R G Y C O A R o y a l t y J W

4. I R A A M E R I T R A D E ( A G G R E G A T E D ) (2 l n t . / D i v . K T N o t e ; q I o n P a n V I I I

5. -MONEY blARK ET FUND Redeemed 06!02/09 J Note t/l on Part VIII

6. -PUBLIC STORAGE INC Note #1 on Pan Vlll

7. -SOVRAN SELl: STORAGE INC Note #1 on Pan VIII8. -NUVEEN MULII-STRAT INC Note #1 on Part VIII9. -PREFERRED PLUS TRUST Note #l on Part VIII

1 0 . -NUVEEN QUALITY PREFERRED INC Note #1 on Pap.VIII

1 1 . -VANGUARD INTERM TEP, M B uy 0 6 1 1 5 / 0 9 J Note #1 on Part VIIITREASURY FUNI)1 2 . -INSURED DEPOSIT ACCOUNI (XI Note #1 on lart VIII1 3 . A,",IERICAN FUNDS NEW C Dividend N "1" Sold 8 [ 1 3 1 0 9 M EPEI~,SP F.CFIVE A (pact)14, Buy 12123/09 J(addI)15. AMERICAN FUND S FUNDAMENTAL D Dividend O T Buy 02/24/09 JINVESTORS A (addl)16. Buy 05,~8/09 J

(addl)17 , Sold 08/13/09 N E( p a r t )


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PageFINANCIAL5 of 8 DISCLOSURE REPORT Hall, C y n t h i a 1 1 . 0 4 / 2 7 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S -i~ .. . . . . . .. ~.o,~ .. . . . non , (Includesthose of spo ..... d aependent children; see pp. 34.~Oof f!ling inxtructfons.)

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

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g 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(including trust .... ts ) r e p o r t i n g p e r i o d | _ _ o f r e p o _ a . i n g p e r i o d _ ~-)---{T I (} 7 {l} I IPlace "(X}" aft ..... basset A .... t T y p e { e . g . , | Value | Value Type(e.g, D a l e [Value Gain / ldentilyof/ C o d e 2/ Method J - P )

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 div., real b u y , se l l . m m / d d / y y Code 2 Code I / b u y e r / s e l l e r( A - I f ) o r i n t . ) ( J - P ) . C o d e 3 r e d e m p t i o n ) ] {A-It) / ( i f p r i v a t e/ { (~ - w ) I . . . . . . . . . . . L ........1 8 . B uy 8/18/09 J(addl)1 9. B uy 12/16/09 J(addl)

2 0 . AMERICAN FUNDS EURO PACIFIC D Dividend N T Sold 8/13/09 M EGROWTit A ( p a r t )21. B uy 1 2 / 2 8 1 0 9 l(addl}2 2 . MONEY MARKETIAmeriuade) {X) A Interest Redeemed 12/30/09 K23. EZCItlP SEMICONDUCTOR LTD None J T2 4 . ALCOA A Dividend Sold 1 2 / 1 / 0 9 J25. VANGUARD CALIF TAX FREE- INSD L E Dividend PI T B uy 8/14/09 0TR M (addl)2 6 . VANGUARD CALIF TAX FREE- CALIF A Dividend M TMONEY MKT2 7 . CITIGROUP INC COM A Dividend J T28. ACACIA P, ESEARCII COIH~ (Ameritrade) None K T2 9 . W ELLS FARGO ADVANTAGEFDS CA A Dividend B uy 1 / 0 5 / 0 9 JTX-FREE MONEY MARKET (addl)3 0 . Sold 1 / 0 7 / 0 9 M3 1 . B uy 2 1 3 / 0 9 J(addl)3 2 . B uy 3/3/09 J(addl)3 3 . B uy 4/~09 J(addl)3 4 . B uy 5/4/09 J(addl)

I. I~-.ome Gain COd~: A =$1,000 or less B =$1,001 - $2.500 C =$2,501 - $5.000 D =$5.~)1 - $15,000 E =$15.001 - $50.000~. Value (~od~ J ~$15,000 or le~s K ~$15,001 - $50,000 L ~$50,001 . $100,000 M =$ 100.001 - $250.000

P3 ~$25,000,001 - $50.000,000 P4 ~Mor than $50,090,000


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F IN A N C I A L D IS C L O S U R E R E P O R T Name of P ..... Reporting ] Date of ReportP age 6 of 8 Hall , C y n t h i a 1 1 . IVII. INVESTMENTS and TRUSTS - in . . . . . . . ~ . e , , . . . . . . . o . s ( I nc l u d e s , h o s t o f s p o u , e a n d d e p e n d e n t c h i l d r e n ; se e p p . . 1 4 4 0 o f f i r i n g ins t ruct ions .)

N O N E (No reportable income, assets, or transactions.)A. B. C. D.Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

Place(X)" after each asset Amount / Type (e.g., Value Value I T y p e ( e . g . , / Date I Value I Gain Identi~y of.... ptfrompriordiscl ..... Codel / div.,rent, Code2 Method ! ~oy, sell,/ m . ~ d * . lC o d e 2 I C o d e , bo~er~Xle~,.P, Code3,edemption, [(Q_W) iI

I~JP) IAH) t r a n s a c l i o n , ( i f p r i v a t e

3 5 . Sold 5/15/09 L3 6 . B uy 6 / 2 . / 0 9 J(addl)3 7 . B uy 7/2/09 J(addl)3 8 . B uy 8/4/09 J(addl)3 9 . B uy 9/2/09 J

(addl)40. Sold 9/11/09 K

41. W ATERSIDE PARTNERS C lnt./Div. M T

I. Income Gain Cod~s: A =$1.0~0 or less B -$1,0Ol - $2,.~9 C =$2,501 - $5,00~ D =$5.001 - $15.000 E =$15,D01 - $30.000(S~-~ Colum~ BI a~d D-l) F o$50,001 - $100,~ G =$ 10 0.0 01 - $1 ,0 00 .0 09 H I = $1 ,0 00 ,0 01 - $5 ,0 ~0 ,0 00 H2 =Mort: tl.an $5,000,0002. Value Codes J =$15,000 or Ices K -$15,001 - $50.000 L = $50,001 - $100.000 M = $I00,001 - $250.000(See Columr~ CI and D3) N -$250.001 - $50~.000 O =$500,001 - $1,000,000 PI =$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 ~125.000,001 - $50.000.000 P4 =More than $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T --Cazh Market(See Column C2) U ~Book Value V =O0~er W =Est imated


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N a m e o f P c r s o n R c p o r t in g D a ~ e o f R e p ~ r { II N A N C I A L D I S C L O S U R E R E P O R Tn ~ , C y . ~ h i a ~ . Iage 7 of 8 o 4 / 2 7 / 2 a ~ o

V I II . 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.dicatom,~o~n~po~

#I) On part VII, the dividends and m arket value tbr all cash and securities oflincs 5 (MONEY MARK ET FUND), 6 (PUB LIC SIORAGE INC), 7 (SOVR ANSELF STORAGE INC), 8 (NUVEEN MULTI-STRAT INC), 9 (PREFERREDPLUS T RUST). 10 (NUVEEN QUALITY PR EFERRED INCI, I I (VANGUARDINTERM TER M TREASURY FUND) and 12 (INSURED DEPOSIT ACCOUNT) are presented in aggregate under line 4 lIRA AMERITRADE AGGREGAfE).


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N ~ m e o f P e r s o n R e p o r l in g I ] ) ~ t e o f R e p o r !INAnCIaL D]S~LOSLTRE REPORT n a ~ , ~ y . t h i a I t.I

04~010~g~ ~ of ~IX. CERTIFICATION.

1 certify that all information given above (including information pertaining to m y spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my kn owledge an d belief, and that any information not reported w as withheld because it met applicable statutoryprovisions pcrmitling non-disclosure.I further certify that earned income from outside employm ent and honoraria and the acceptance of gifts which have been reported are incompliance ~ith the pro~isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 73~3, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL \VIIO KNO\V1NGLY AND W1LFULLY FAI,SIF1ES OR FAILS TO bILE TIllS REPORT MAY B E SUB JECT TO CIVILAND CRIMINAL SAN(YIIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed o riginal and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One C olumbus Circle, N.E.W ashington, D.C. 20544

Cynthia H Hall Financial Disclosure Report for 2009

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