FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111) 1. Person R eporting (last nam e, first, middle initial) Pregerson, Dean D. 4. Title (Article llI judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge, Active 7. Chambers or Office Address 312 N. Spring Street Los Angeles, CA 90012 2. Court or Organization Central District of California 3. Date of Report 05/25/2011 5a. Report Typ e (check appropriate type) ] Nomination, Date [] Initial [] Annual [] Final 5b. [] Amended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date 6. Reporting Period 01/01/2010 to 12/31/2010 IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I . PO SITION S. (Repo,~i,g inaiviaual onty; see pp. 9-13 of filing instructions.) [~ NONE (No reportable positions.) POSITION 1 . Advisory Board Member 2. Custodian 3. Custodian Smith Barney U/CA/UTMA 4. 5. NAME OF ORGANIZATION/ENTITY Salvation Army Los Angeles Metropolitan Smith Barney U/CA/UTMA I I. AG RE EM EN TS. (Reporting inalvlauo~ o niy; se~ ,,. 14-16 of filing instructions.) ~] N O N E (N o reportable agreements.) DATE PARTIES A ND TERMS Pre_qerson, Dean D.
Transcript
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
in Government Act of 1978(5 U.S.C. app. §§ 101-111)
1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l )
Pregerson, Dean D.
4. Title (Article llI judges indicate active or senior status;
magistrate judges indicate full- or part-time)
U.S. Dist r ic t Judge, Act ive
7. Chambers or Office Address
312 N. Spring StreetLos Angeles , CA 90012
2. Court or Organization
Cen tral District of California
3. Date of Report
05/25/2011
5a . Report Typ e (check appropria te type )
] Nomination, D a t e
[] Initial [] Annual [] Final
5b. [] Amended Report
8. On the basis of the information contained in this Report and anymodifications pertaining thereto, i t i s , in my opinion, in compliancew 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 .
Reviewing Officer Date
6. Rep ort ing Period
01/01/2010
to
12/31/2010
I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. 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 . ( R e p o , ~ i , g i n a i v i a u a l onty; see pp. 9 - 1 3 of filing instructions.)
[~ N O N E (No reportable positions.)
POSITION
1 . Advi so ry Board Mem ber
2. Custodian
3. Custodian Smi th Barney U/CA/UTMA
4.
5.
NAME OF ORGANIZATION/ENTITY
Salvat ion Army Los Angeles Metropol i tan
Smi th Barney U/CA/UTMA
I I . A G R E E M E N T S . (R e p o r t i n g i n a l v la u o ~ o n i y ; s e ~ , , . 1 4 - 1 6 of filing instructions.)
~] N O N E ( N o reportable agreements.)
DATE PARTIES AND TERMS
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
V I I. IN V E S T M E N T S a n d T R U S T S - i .... e , value~ t ......tions (Includes those of sp ...... d dependent children; seepp. 34-60 of fillng instructions.)
N O N E (No reportable income, assets, or transactions.)
Descrip t ion o f Assets
( inc luding t rus t asse ts )
Place "(X)" after each asset
exemp t from prior disclosure
B, C. D.
Incom e during G ross value at end Transactions during reposing period
repor ting per iod . . . . . of reporting period
( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )
Am o u m Type (e:g.. Value Value T y p e t , e . g ., Date Value Gain ,Identity of
Code 1 div.,:renL Code 2 Method buy, sell, mm/dd/yy Code 2 I Code 1 .... buyer/se l ler
(A-H) o r i n t . ) ( J - P ) C ode 3 redem p tion) (J-P) (A-H) ’ (if private
(Q -W) transaction)
1. Smith Barney
2. - Citibank NA South Dakota Bank Deposi t
Program
3. - Microsof t
~ 4 . - M et l ife Ins Co o f Connect icuit Annuity
Closed
D Dividend M T
None N T
06/30/10
5. Smith Barney U/CAiUTMA B
; 6. - Money Market A Dividend L
7. - Intel A Dividend J
8. - M i c r os o f t A Dividend J
9. - Pfizer Inc A Dividend J
1 0 . - T imHo r t o n s In c A Di v i de nd J
1 1 . -W al -Mart S tores lNc A Di v i de nd J
1 2 . - Wendys Intemat ional lnc A Dividend J
1 3 . - Fidelity Spar tan 500 A Dividend J
1 4 . - Janu s Fund A Dividend J
1 5 . - Janus Global Select A Dividend K
1 6 . - Israel Due 2014 7th Dev B
1 7 . Smith Barney U/CA/UTMA D
A Dividend
1. Income Gain Codes: A =$ 1,000 or less B = $ 1,001 - $ 2,500
( See Col umns B1 and D4) F =$50,001- $100,000 G ~$i00106i~ $]i0~0~000
2. Value C odes J = $15,000 or less K =$15,001 - $50,000
( See Col umns C I and D3) N =$250,001 - $500,000 O =$500,001 - $ 1,000,000
P3 =$ 25,000,001 - $50,000,000
3. Value Method Codes Q =Ap p ra isa[ R = Cost ( Real Est a t e onl y )
( Sec Col umn C2 ) U =Book Value V = O t her
C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
H1 ~ $ i i000,001 -$5;000;000 H2 =Mor~ than $5;000;000 ..... ... :
L =$50i001 - $100,000 M =$i00 001 = $250 000 ....
PI =$1,000,001 -$5,000,000 F2 =$5,000,001 = $25~000,000
P4 =M ore than $50,000,000
S = Assessment T - -Cash Mar ket
W = Est i mat ed
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
V I I. I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, t ...... tions (lndudes those of sp ...... d dependent children; seepp. 34-60 of f!llng instructions.)
~ -~ N O N E income, assets, or transactions.)N o reportable
1 8 . - Cash & Moeny Marke t A Dividend K T
1 9 . - Intel Corp A Dividend J T
20 . - Microsoft Corp A Dividend J T
21 . - Pfizer Inc A Dividend J T
22 . - W al-Mart Stores Inc A Dividend J T
23 . - Fidel i ty Concord Str Spartan US E quity A Dividend J T
24 . - Janus Fund Inc A Dividend J T
25 . - Janus Invt Fd Twenty Fd A Dividend J T
26 . - Janus Globa l Se l ec t A Dividend K T
27 . Smi th Bamey IRA #2
28 . - All iancebernstein Internat ional Growth A A Dividend J T
29 . - Legg M ason Par tners Aggres s ive G rowth A Dividend K TFd
30 . - Legg Mason Partners Appreciat ion Fund A A Dividend J T
31 . Fiduciary Cap Pension Prts DDP None J U
32 . Smi th Barney IRA #1
3 3 . . - Ci t i bank NA Sou th Dako ta Bank Depos i t A Dividend L T
Pr
34 . - GNMA MAT Y: 2015 A Interest J T
1 . ln e 0 n ~ 6 G a i n C O d C g i A - -$ i i 0 0 0 ~ i ~ : B =$1;00i = $Z500
(See Co lumns BI and [M) F =$501~) ~ $ i001000 . . . . . G ~I001001 ~ $1~0001000
2. Value Codes J =$15~000 or less K = $15,001 -$50,000
( See Col umns CI and D3) N =$250,001 : $500,000 O =$500,001 : $1,000,000
P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only)
( See Col umn C2 ) U =Book Value V = O t her
C = $ 2 ,501 : $ 5 ; 000 D ~$5i001 ~ $ 15,000 E =$t5,001 - $50,000
Hi ~$ii000!~01 ~ ~5;000;006 t~ ~M~i~ thfia $~i000~000 ....... ........
L =$50,00i ~ Sl00,000 ..............
P I =$1,000,00 $5,000~000 ~2 ~$5~000~0~ ~ *~ ~0~000 .........
P4
W = E s t im a t ~
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
---] N O N E (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s
( i n c l u d i n g t r u s t a s s e t s )
Place "(X)" after each asset
exempt from prior disclosure
Income during G r o s s v a l u e a t e n d
r e p o r t in g p e r i o d of reporting period
(1) (2) (1) (2~ (1)
Am oun t Type (e .g .. Value V a b a e T y p e ( e . g . ,
( Q - W )
(2 ) (3) (4) (5 )
Date Value Gain Iden t i ty o£
C o d e 1 buyer / se l le r
(J-P) (A-H) ( i f p r i v a t e
t ransac t ion)
35 . - CG Cap i t a l Marke t s - Large Cap Value Inv D
36 . - CG Cap i t a l Marke t s - Smal l Cap Value Inv A
37 . - CG Capi t a l Marke ts - Em erg ing Marke t s I~ C
38 .
39 . - CG Cap i tal Markets - Internat’l Equi ty B
40.
41 . - CG Capi t a l Marke ts - Large Cap G rowth A
42 .
43 .
4 4 . - C G C ap i t a l M ar k e t s - S m a l l C ap G r o w t h A
Dividend M T Bu y
(add’ l )
Dividend J T Sold( p a r t )
Dividend L T Bu y
(add’l)
Sold( p a r t )
Dividend L T Bu y
(add’l)
Sold( p a r t )
Dividend M T Bu y
(add’l)
Sold( p a a )
Bu y
(add’l)
Dividend J T
06/04/10 J
06/04 /10 K B
06/04/10 J
07/23/10 J A
06/04/t 0 K
07/23/10 J A
06/04 /10 J
06/04/10 K A
07/23/10 K
45 . - Str ips-Tint-US Treasury Maty: 2010 Matured 08/16/10 K A
46 . - Money Market A Interest J T
47 . - Am er i can Ex pres s Cen tu r ion Bk CD A Interest L T
48 . - Capm ar t Bank CD A Interest L T
49 . - G M A C B a n k C D A Interest L T
50 . - K eybank Nat ’L Assoc i a ti on CD A Interest K T
1 inC b m e G aif i C ~ d~ i A =$ i,000 or iess B =$li001 ~ $2;500 C = $ 2 1 5 0 1 ~ $ 5 ~ 0 0 0 D--$5;001 - $15,000 E =$15,001 -$50,000
2. Value Codes J =SIS,000 or less K =$15;001 - *50;000 L Z$56;001 ; *100;000: M =$i00,001 :$250,000
( See Col umns CI and D3) N =$250,001-$500,000 O=$500,001-$1,000,000 p I =$1~000~06i ~ $5~006~0~ ~ =$5;000,001 L $25,000;000
P3 =$ 25,000,001 - $50,000,000 P~ =M6 r~ than $50;000;000
3. Va lue Meth~ C odes Q =Ap p ra isal R =Cost (Reai Estate Only) S~A~S~ent T ~CaSh Mar ket
( See Col umn C2 ) U = Book Val ue V = O t her W = E s t im a t ~
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
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 . (]ndicate part of report.)
Asset #15 nam e changed f rom Janus Orion to Janus Global Select Fund
Asset #23 nam e changed f rom Fideli ty Spar tan 500 Index to Fidel i ty C oncord STR Spar tan US E qui ty Index FundAsset #26 nam e changed f rom Janus Orion to Janus Global Select Fund
8/3/2019 Dean D Pregerson Financial Disclosure Report for 2010
I ce r t i fy tha t a l l informat ion given above ( inc luding informat ion per ta ining to my spouse and minor or dependent ch i ldren, i f any ) i s
accu r a t e , t r u e , an d co m p l e t e t o t h e b e s t o f m y k n o w i ed g e an d b e l i e f , an d t h a t an y i n f o r m a t i o n n o t r epo r t ed w as w i t h h e l d b ecau s e i t m e t app l i cab l e s t a tu t o r yp r o v i s io n s pe r m i t ti n g n o n - d i s c lo s u r e .
I fu r t h e r c e rt i fy t h a t e a r ne d i nc om e f r om ou t s ide e m p l oy m e n t a nd h on or a r ia a nd t h e a c c e p t a nc e o f g i f t s w h i c h h a ve b e e n r e p o r t e d a r e incom pl iance wi th the pro vi s ions o f 5 U.S.C. app. § 501 et . seq. , 5 U.S.C. § 7353, and Judicia l Confe rence regulat ions .
S igna tu r e : S /Dean D . Pr eg e r s on
N O T E : A N Y I N DI VI DU A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S IF IE S O R F A IL S T O F I LE T H I S R E P O R T M A Y B E S U B JE 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 )
