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POSJTION NAME OF ORGANIZATION/ENTITY
PARTIES AND TERMS
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AOJO Rev. 112010
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009
I. Person Reporting (last name, first, middle initial) 2. Court or Organization
Houston, John A. Southern District of Califomi
4. Title (Article IJl judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicale fult or part-time)
0 Nomination, Date U.S. District Court Initial Annual
Sb. Amended Report
Final
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-1 II)
3. Date of Report
05i14/2010
6. Reporting Period
01/0112009 to
12/31!2009
7. Chambers or Oftke Address 8. On the basis of the information contained in this Rep-Ort and :any modifications pertaining thereto, it is, in my opinion, in compliance
940 Front Street with applicable laws and regulations. Suite 2140 San Diego, CA 92101-1118
Reviewing Officer ______ Date------ --- --
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete afl parts, checking the NONE box for each part where you have no reporlable information. Sign on last page.
I. POSIT! 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)
D NONE (No reportable positions.)
I. Co-Trustee
2.
3.
0
II. AGREEMENTS. (Reporting individual only; •·ee pp. 14-16 of filing instructions.)
[ZJ NONE (No reportable agreements.)
Trust
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4.
5.
1.
2.
3.
Houston, John A.
SOURCE AND TYPE
SOURCE
SOURCE LOCATION PURPOSE
INCOME
lTEMS PAID OR PROVIDED
4.
Date of Report Nam• of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2 of8 05/14/2010Houston, John A.
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 offWng instructions.)
A. Filer's Non-Investment Income
[Z] NONE (No reportable non-investment income.)
(yours, not spouse's)
I.
2.
3.
B. Spouse's Non-Investment Income - ljyou were married during any portitm of the reporting year; complete this section.
(Dollar amount not required except for honoraria,)
D NONE (No reportable non-investment income.)
AND TYPE
Self Employed (consultant/clinical psychologist)
ERM, San Diego, CA (consulting)
I. 2009
2. 2009
3. 2009 Center For Creative Leadership, La Jolla ,CA
4. 2009 Dynamic Consulting, San Diego, CA
5. 2009 Innolect, Inc., Tega Cay, SC
6. 2009 The Broad Residency, Los Angeles, CA
IV, RE IMB URS EMENTS - transportation, lodging.food, entertaitiment.
(Includes those to spouse and dependent children; see pp. 25-27 of filing ;nstructions.)
D NONE (No reportable reimbursements.)
I. George Mason School ofLaw April 17 - 23, 2009 Tucson, AZ CLE Program Room, Meals, and Transportation
2. Searle Institute -Northwestern School of Law
November 8 - 13, 2009
Chicago, lL CLE Program Room, Meals, and Transportation
3.
4.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
FINANCIAL DISCLOSURE REPORT
Page 3of8
Name of Person Reporting
Houston, John A.
Date of Report
05/14/2010
V. GIFTS. (Includes those to spouse and dependent children; seepp. 28-31 of filing insiructions.)
[{] NONE (No reportable gifts.)
2.
3. ---------··--- ----
4.
5.
VI. LJABILITJES. (Includes those of S/'(JUse and dependent children; seepp. 32-33 of filing instruction.,.)
D NONE (No reportable liabilities.)
I. CitiBank --- Mortgage - Rental Property - San Diego N
2. Wells Fargo Bank Mortgage - Investment Real Property K
3. Citi Bank American Express
4. Clti Bank Mastercard
5.
Credit Card
Credit Card
' :
____ _;__ __ (_!_) -
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-------- ··---
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--ll E SIS,001-$50,000
I I
FINANCIAL DISCLOSURE REPORT Page4of8
Name of Person Reporting
Houston, John A.
Date of Report
05/14/2010
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· J4-6o of filing instructions.;
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust asse1s)
Place "(X)" after each asset
exempt from prior disclosure
B. Jncome during
reporting period
! (l) (2)
IAmount I Type (e.g., Code l ' div .. rent,(A·H) I orint.)
-----·-· -··-·--·----·--·.. ----···--··--·.......____·-·--··----··---·--'
I. Rental Property (2), San Diego County, CA D Rent
2. San Diego Gas & Electric (Sempra) A Dividend
c_ Gross value at end
of reporting period <i) --(2)Value Value Type (e.g.,
Code 2 Method buy, sell,
{J-P) . Code 3 redemption). (Q-W)
0 w
J T
j 3. San Diego Gas & Electric (Sempra) A Dividend J T I
I 4. Oppenheimer Capital Appreciation Mutual Fund- IRA -IRA
5. Oppenheimer Capital Appreciation Mutual Fund- IRA
6. Fidelity Funds - IRA A Dividend J
7. --Fidelity Discovery Fund
8. --Fidelity New Markets Fund
9. Trust A Interest J
JO. - Leap Wireless Communications (Common Stock)
11. - Nuveen Limited Term Municipal Bond Fund
12. Trust #2 D Distribution M
13. -·MSDW Dividend Growth Securities Fund
14. --MSDWCalifornia Tax-Free Income Fund
15. --AIM Advisor Real Estate Fund
i 16. --Eaton Vance WW Health Sciences Fund
17. --Eaton Vance Taz Managed Growth Fund
I. Income Gain Codes:
(See Columns Bl and 04) 2. Value Codes
(Se< Columns Cl aod DJ)
3. Value Method CodeS (Sec Column C2)
·-A =Sl,000 or less F=SS0,001 $100.000
J =$15,000or less
N =$250.001 • $500,000
P3 s2s,ooo.001 - s5o,ooo,ooo Q =Appraisal
U•BookVaJuc:
B =S 1,001 - $2,500 G =$t00,00t • St,000,000
K =$15,001 - $50,000 0 =$500,001 - SI ,000.000
R -Cost (Real Estate Only) V =Other
Sold
Sold
T
T
Redeemed
T
C =S2.50 t - S5.000
HI =Sl.000,00t - $5,000,000
L=SSO.OOt - SI00,000 Pl =Sl,000,00t · S5,000,000 P4 =More than $50,000,000
S =Assessment
W =Estimated
D. Transactions during reporting period
l (2) --1 · (3) 1 · (4)Date Value Gain
mmldd/yy
I Code 2 I Code l
, (J-P) (A-H)
4123/09 L D
12115109 L D
02/22/09 J B
D s5.001. s1s,ooo
H2 ""More than $5,000,000
M =$100,00 I - $250,000 P2 =$5,000.00t - $25,000,000
T "-'Cash Market
(5) Identity of
buyer/seller
(if private
transaction)
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r 1-- (2) l- (3) (4) --1- (5)
Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT
Page 5 of8 05/14/2010Houston, John A.
VII. INVESTMENTS and TRUSTS - income, val11e, triln.•actions (Includes those ofspoust and dependent children; SU pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
--- -]ns
ni
eGain
·____
ti: =---
- ra:.aGross v e at end c-·Jncom uring .o( cluding tmstassets)
Amount C
Value
Code 2 Value IdType (e.g.,I buy, sell. I•
Date 1Place "(X)" after each asset Type (e.g., Value
I.
Code Ide I div., rer1 Code 2 Method or int.)
mm/ddlyy nti y of
buyer/seller 11exempt from prior disclosure o
, (J-P} (A-H)•
··---- --;__,.__,.
18. --Franklin Calif Trax Free Income Fund
19. --MFS MidCap Growth Fund
20. --Putnam Research Fund
21. --Putnam International Voyager Fund
22. --Sentinel Small Cap Companies Fund
23. --Reserve Primary Fund Class R
24. --Lord Abbet Mid Cap Val Class C
25. MFS Val Class B A Dividend J
'26. MFS Value Class C A Dividend J
27. American AMCAP Class C A Distribution J
28. John Hancock US Glob Leaders Growth A Dividend J ClassC
29. Putnam Tax Smart Equity Class B A Dividend J
30. Delaware Tax-Free California Class B A Interest J
!31. Phoenix Mutual Funds- Simple-IRA
T
T
T
T
T
T
Sold 12115/09 c
! I Codd(A-H) ,(J-P) (if private transaction)
redemption)
•! (Q-W)L·-·-·-·· "---·-·-··- ···-----
32. Phoenix Strategic Theme Class B --Simple Sold 12/15/09 L D IRA
33. Real Property (3), Birmingham, AL c Rent L w
34. Real Propery (3)-Vacant Lot, San Diego -X
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..
w
..
1. Income Gaib Codes: (Sec Columns BI and 04)
2. Vn!U< Codes (See Columns Cl and D3)
3. Value Method Codes (See C lumn C2)
A =$1 >000 or less
F-$50,001 · Sl00.000 J =Sl 5,000 or ic>s N =$250,001 -SS00,000
PJ =$25,000,001 - SS0.000,000
Q =Appraisal
U =Book Value
B =$1,001 - S2,500 G =SI00,001-S1.000,000
K =$15,001 - $50,000
0=$50-0,001 · Sl,000,000
R =Cost (Real Estate Only) V-Otbe1
··-··
c =$2,501. $5,000
Hl =Sl,000,001 -$5.000,000 L =$50,001 - SI00,000
Pl =$1,000,001. $5,000,000
P4 =More than SS0,000,000
S "",'\ssessment W =Estimated
D =$5,001 - $15.000 H2 =More than $5,000.000 M s100,001 -$250,000 P2 =$5,000,001 . $25,000,000
T =Cash Market
·-·· -- --·---··-·
E s 15,00 I - $50,000
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36.
Dale of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT Page 6 of8 05/14/2010Houston, John A.
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing imtrucJions.}
D NONE (No reportable income, assets, or transactions.) ·-----of reporting periodreporting peri d
-I(including trust assets) -
(I) (2) (J) (3) - · (5)ValueAmount Type (e.g., Type (e g., Date Value Identity ofPlace "(X)" after each a set Value
35. Van Kampen Insured Muni Income Trust A L12/10/09Interest L T Buy589
Pacific Innovative Select -Quailfied Annuity T LA Distribution L Buy 04/23/09
37. Unfon Bank Marked Linked Cert of Deposit 12!15/09Interest KA T Buy K -IRA
38. Union Bank Marked Linked Cert of Deposit A LInterest T Buy 12/15/09 -Simple IRA
. ---· · 1. Income Gaia Codes: A '"51,000 or less B =$1,001 - $2,500 C -$2,50 I - $5,000 0=$5,001 $15,000 E =$15,001 • $50,000·(See Columns BI and 04) F =$50,001- $100,000 G =$100,001 - $1,000,000 HI =Sl,000,00I. $5,000,000 H2 =More than $5,000,000
z. Value Codes J ""SlS,000 or less K •_SJS,001 • $50,000 L =$50.!lO I • SI 00,000 M =$100,001 - $250,000
(See Columos Cl and DJ} N =$250,001 • $500,000 0 =$500,001 • $1,000,000 Pl =$ l,000,001 · $5,000,000 P2 =$5,000,001 · $25,000,000 P3 =$25,000,001 • $50,000,000 P4 <=More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Otbcr W =E$1.imated ... __ _j
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page7 of8 05/14/2010Houston, John A.
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicalepartofReport)
Part VII.
Item 34 was previously owned but not reportable.
Item 4 sold and replaced with item 36,
Item 5 sold and replaced with item 37.
Items 31 and 32 sold and replaced with item 38.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 8 of8 Houston, John A. 05/14/2010
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signal
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSJ
AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544