Dean D Pregerson Financial Disclosure Report for 2009

8/3/2019 Dean D Pregerson Financial Disclosure Report for 2009

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AO I O I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i , e d b y t h e E t h i c sI in Government Act ofl978Rev. 1/2010 F OR C AL E NDAR YE AR 2 0 0 9 ~5 u.s.c, app. lO1-111)I. Person Reporting (last name, first, middle initial) 2. Court or Organization 3 . Da t e o f Repor t

Pregerson, Dean D . Central District of California 05/25/2010

4. Title (Article 11I judges indicate active or senior status; 5a. Report T ype [check appropriate type) 6. Reporting Periodraagistratejudges indicate full- or part-time)[] Nomination, Date 01/01/2009U.S. Distr ic t Judge, Active .. [] Initial [] Annual [] Final to" 12/31/20095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining theretn, it is, in my op inion, in compliance312 N . Spr ing Street with applicable laws and regulations.Los Angeles, CA 90012

Reviewing Off icer . Date

I M P O R T A N T N O T E S : the instructions accompanying this form must be follow ed. Complete a ll parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only: see pp. 9-13 o filling instructions.)[~] N O N E (No reportable positions.)

POSITION N A M E O F ORGANIZATION/ENTITYI. Advisory Board Member Salvation Artny Los Angeles Metropolitan2. Custodian Smith Barney U/CAyUTMA

3. Custodian Smith Barney U/CA/UTMA

5.

~ NON~ (No reportable agreemems.)D A T ~ PARTIgS AND TE~S


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Na me o f P e r s on Repor t i ng [ Date of ReportF I N A N C IA L D I S C L O S U R E R E P O R TP r e g e r s , ,n , D e a n D .

]05 /25 /2010age 2 of 9

IIL N O N - I N V E S T M E N T I N C O M E . n , , p , , , t i , . ~ indi,.idual~a_,~,o,.,.e; ,,~,,p,. 17-240f filing instructions.)A . F li e r s N o n - I n v e s t men t I n c o m eNONE ~ reportable non-investment income)

D A T E SO~CE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

2,3.4.

B . S p o u s e s N o i l - l n v e s t m e n t IllCOIII e - If you ~re married during an),porti~n of tlw reparting ,ear. complete this section( D o l l a r a m o u n t n o t r t , q u i r e d tX(Lpt ]?~r hOtlOl"tJtigL.)~-] NONE (No reportable non-im~estment income.)

DATE S O U R C E A N D T Y P EI. 12/31/09 Sett2Employed Consultant!Counselor2.3 .4.

N O N E (No reportable reimbursements.)SO~CE DATE~ L O C A T I O N PUR PO SE IT E M S PA ID OR PR O VID E D

2.3 .4.


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F I N A N C IA L D I S C L O S U R E R E P O R T N .... fP ..... d e p o t - r i n g[

a ~ t , ~ o f R ~ , o ~Page 3 of 9 P r e g e r s o n , Dean D. 05!25:2010

V . G I F T S . a n c t , d e . , . ,h , , ~ , o , r . . . .. . . . a dependent children; s e e p p . 2 8 - 3 1 o/f!ling instructions.)N O N E (No reportable g~fis.)

~ DESCRIPTION VALUE1.2.

3.4.5.

[~ N O N E ( N o reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

l.2.3 .4.5.


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F INANCIAL DISCLO SURE REP O RT ~ ..... f P e r s o n R e p o r t i n g D a t e o f R e p o r t IIage 4 of 9 Pregerson, D e a n D . 0 5 / 2 5 / 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, ........ ,,e, tr ..... tions (lnc,udes those of sp ...... d dependent children; see pp. 3 4-60 o f filing instructions.)

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e l s ] Income during G ross value at end [ T r a n s a c t i o n s d u r i n g r e p o a i n g p e r m do f r e p o r t i n g p e r i o d~ ( ~ ) (2) {5)

C o d e I~mpt From prior disclosure div., rcm,o d e 2 ~ M e t h o d buy, sellm ! d & ~ : C o d e 2 , C o d e ] buyer;seller[(A-H) o r i n t . ) ( J - P ) code3r e d e m p t i o n ) ] : (J-P) . {A-H ) i ( i f p r i v a t e1 . Stnith B arney

2. - Citibank NA South Dakota B ank Deposit A Interest J T Open 06/30/09 JProgram3. - Microsoft D Dividend N T Sold 09/03/09 M F(part)4. - Meflife Ins Co of Conncc ticuit Annuity None M T5. Smith Barney U/CA/UTMA B6. - Money Market A Dividend K T7. - lntel A Dividend ] T8. - Microsoft A Dividend J "1"9. - Pfizer lnc A Dividend J T

1 0 . -Tim H ortons lnc A Dividend J T1 I. - W al-Mart Stores INc A Dividend J T1 2 . - W endys International lnc A Dividend J T13 . - Fidelity Spartan 500 A Dividend ] T

1 4 . -Janus Fund A Dividend J T1 5 . -Janus Orion A Dividend K T16. - Israel Due 2014 7th Dev B A Dividend J T1 7 . Smith Barney U/CA/UTMA D

[ I.IncomeGainCods: A :SI.000orless B=$1,O01-52,500 C=S2,50t-$5,000 D:55,001- $15,000 E=$15,001 -SS0,OOn! (S ee C olu mns B I a nti D 4) F =5 50 ,0 01 - $ 10 0,0 00 G = 51 00 ,0 01 - 5 1,0 00 ,0 00 H I = 5 h 00 0,0 OI - $5 .0 00 ,0 01 1 H2 =More than 1;5.000,000I 2. ValueCod-~ J =$15,000 or less K=$15,001 -S50,000 L=$50,001 -$100,000 M~S!00.001.$250.000(See ColumnsCI andD3) N =$250,001 - $500.000 O =$500,(]01 -51.000,000 PI =$1,(RIO,00t-55,000.000 P2 =$5,(RR),on - $25.Jl0,0{30P3 =S25,000,001 - $50.00U,000 P4 =More than $50,000,0003. Value Method Codes O =Appraisal R =Cost (Real Estate Only) S =Assessment T :Cash Market(See Column C2) U ::Book Value V =Other W =Estimated


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FINANCIAL DISCLOSURE RE PORT ~ a ~ e o f ~ e r s ~ n R e p o r t i n g D a t e o f R e p e r tPage 5 of 9 Pregerson, Dean D. 05 / 25 / 20

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 + + , + : t : , . ~ , . . . . . . t ~ o , , + ancludes those o/sp ...... d dependent children: .see p p . 3 4 - 6 0 of fiting ins~ucti,ms.)~ N O N E (No reportable income, assets, or transactions.)

D e ~ r i p t i o n o f A s s e l s ~ l 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 ~ T r a n s a c t i o n s d u r i n g r c p o r l i n g p e r i ( ~ d( i n t r u d i n g ~ u s t a s s e t s) :: r e p o r t in g p e r i o d ] of reposing p~iod [ .......... p~ from prior discl .... C o d e I di ...... t. :: C o d e 2 M e t h od ] b u y , s e l l , ]mnVd~yy [ Code 2 ~ Code I [ b u y e r / s e l l e r( A - H ) orinl.) :. ( J - P ) ; Code3 r e d e m p t i o n ) i (.l-P) ~(A-H ) [ ( i f p r i v a t c

1 8 . - Cash & Moeny Marke t A Div idend K Tt9. - IntelCarp A Dividend J T2 0 . - Microsoft Corp A Dividend J T2 I. - P f i z e r l r ~ c A Dividend J T2 2 . - W aI-Mart Stores Inc A Dividend J T

2 3 . - Fidelity Spartan 500 Index A Dividend J T2 4 . - JanusFund lnc A Dividend J T2 5 . - Janus Invt Fd Twenty Fd A Dividend J T2 6 , - JanusOrion Fund A Dividend K T2 7 , Smith Barney IRA #2

2 8 . - Alliancebernstein httenaational Growth I: A Dividend J T2 9 . - Legg Mason Partners Aggre.ssive G rowth A Dividend J TFd3 0 . - 2 l.egg Mason Parlners Appreciation Fund A Dividend J TA3 1 , Piduciary Cap Pension Prts DDP None J U3 2 , Smith Barney IRA #I

3 3 . - SB Money Market A Interest Closed 04/01/09 K3 4 . - Citibank Batik Deposit Prograro A Interest Closed 04/01/09 L


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N a m e o t " P e r s n n R e p o r t i n g l ) a (e o f R e p o t !FINANCIAL DISCLOSURE REPORTPregerson, Dean D. 05 /25!2010age 6 of 9

V I I . I N V E S T M E N T S a n d T R U S T S -- i,,. ....... t , , e , tr ...... t i o n s C i n c h , d e s th .... )f sp ...... d dependent children: see pp, 3 4 - 6 0 of filing instruction.,;.)~l NONE (No reportable income, assets, or transactions.)

............... ~ ........... ~ . c . " . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Description of Assels Income during Gross value at end Transactions during rcpo~fing( i n c l u d i n g t r u s t a ~ e t s ) rc~ming period o l r e p o r l i ~ g p e r i o d

P l a c e " { X } ~ a f t e r e a c h ~ s e t Amour Ty~ (e .g . , V a lu e V a lu e T y p e ( e . g ., } Date Value G a i n I d e n t i t y n fe x e m p t f r o m p r i o r d i s c t o s u re C ~ e t ~ 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 l d d / } T C od e 2 C o d e I b u y e r / s e l l e r{ A - H } { o r i r a . ) { J - P ) C o d e 3 r e d e m p t i o n ) ~ ( J - P ) ( A - H ) ( i f p r i v n l e~ ( Q - W ) [ t r a n s z c t i o n )3 5 . - Citicorp Trust Bank, FSB A Interest Clos~l 04/01/093 6 . - Citibank NA South Dakota Bank Deposit B Dividend M TPr3 7 . - GNMA MAT Y: 2015 A I n t e r e s t J T3 8 . - Fiduciat3, Cap Pension Prts (Y) None J U3 9 . - CG Capital Markets - Large Cap Value lay C Dividend M T B uy 07/10/09 J(addIt4 0 . Sold 04/17/09 J A(part)

4 1 . Sold 08/21/09 t A(part)4 2 . - CG Capital Markets - Small Cap Value Inv A Dividend K T B uy 0 8 ~ 2 1 / 0 9 J(addIt

4 3 . - CG Capital Markets- Emerging Markets hi A Dividend L T B uy 08/21/09 J(addl)4 4 . Sold 07/10/09 J A(part)4 5 . - CG Capital Markets - tntematl Equity B Dividend L T B uy 08/21/09 J(addl)4 6 . Sold 0 4 / t 7 1 0 9 K A(pan)4 7 . Sold 07/10/09 J A( p a t 1 )4 8 . - CG Capital Markets - Large Cap G rowth A Dividend M T B uy 04/17/09(addIt4 9 , B uy 07/10/09 J(addl)5 0 . Sold 0 8 / 2 I 1 0 9 K A(part)5 1 . - CG Capital Markets - Small Cap G rowth A Dividend K T B u y 0 4 1 1 7 / 0 9 J(addl)


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F I N A N C IA L D I S C L O S U R E R E P O R T . ~ .me of Person Repor t ing Da t ePage 7 of 9 P r e g e r s o n , D e a n D . 0 5 / 2 5 / 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. ........ ~.~, ~ ....... tions (Includes those of sp ....... d depend .... hildren; .veepp. 34-60 of filing instructions.)NON E (~ reportable income, assets, or transactions.)

Description of Assets Income during G ross value at end ~ Transactions during r~po~ing perked(including trust a~scts) ~ reporting period of reposing periodPlace "(X)" aRcr each assel [Amount Type i.g., Value : Value ; Ty~ (e.g., ~ Date ~ Valueexempt from prior disclosure ]Code I ~ ally., rent. Code 2 Method buy. ~1!, mm!d~L yy i Code 2 ~ (ode I buyer;seller(A-H) or inL) (J-P) ; Code3 ~ redemption ~ ; : U-P~ [ ~A-H)~ ~Q~W) ................................. . ............... : ...... ~ .... [ transaclion)

52 . B u y 08/21/09(addl)53 . - Strips:fiat-US Treast~ MAD: 2010 A Interest K T54 . -Money Market A lnIerest 1 T55 . - American Express Centurion Bk CD B Interest L "1 Open 04/01109 L56 . - Capmad Bank CD B lutcrest L T Open 04/0t.,"09 L57 . - G N~ ,X C Ban k CD B Interest L T Open 04/01.4)9 L58 . - Keybank NatL A ssociation CD A Interest K T Open 04/0t/09


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FINANCIAL DISCLOSURE REPORT r~ . . . . . f P ..... R e p o r t i n g D a t e o f R e p o r tPage 8 of 9 Pregerson, Dean D. 0 5 / 2 5 . / 2 0 1 0V Ii i. ADDITIO NAL INF O RM ATIO N O R EX P LA NATIO NS.


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F IN A N C IA L D ISC L O S U R E R E PO R T ~ a . , e o f l e ....a e p o r t i ~ g O ~ o f a ~ p o r,Page 9 of 9 Pregerson, Dean D . 0 5 / 2 5 . . 2 0 1 0IX. CERTIFICATION.

! certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccnraIe, true, and eomplete ~ o the best of my know ledge and belief, and that any information not reporled was withheld because it met applicable statutoryprovisions permitting nou-disclosure.I further certify that earned income from outside employment and honoraria and the acc eptance of gifts which have been reported art" incompliance with the provisions of 5 U.S.C. app. 50 1 et. seq., 5 U.S.C. 7353 , and Judicial Conference regulations.

N O T E : A N Y IN D IV IDU A L W H O K N O W IN G L Y A N D W IL FU L LY TO CIVILAND CRIMINAL SAN CTIONS (5 [; .S.C. app. 104)

FI LING INSTRUCTION SMail signed original and 3 additional copies to:

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

Dean D Pregerson Financial Disclosure Report for 2009

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