Howard A Matz Financial Disclosure Report for 2009

8/3/2019 Howard A Matz Financial Disclosure Report for 2009

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A o l 0 I .FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978.~. t / 2 o o ~ I FOR CALENDAR Y EAR 2009 0 u ,s .c , a p p . .~ l o t - r i O1. Person Reporting (last name , first, middle initial) 2. Court or Organizat ion ! 3. Date of ReportMatz, Howard A. Central District of California 05/14/2010

4. Title (Article Ill judges indicate active or senior status; 5a. Report Type (check appropriate lype) 6. Report ing Periodmagbtmt judges indicate full- or[] Nomination , Date 01/01/2009

U.S. District Judge-Active [] initial ~1~ Aanual [] Final to12/31/20095b. [] Amended Report

7. Chambers or Off ice Address 8. On the bas is of the inform alion conta ined in this Report and anymodifiea l ions perta ining there to , I t is , In my opinion, in complianceU.S, Districl Court with app l icable laws and regulat ions.312 N. Sprlng St., Room 170Los Angeles, CA 90012 Reviewing Off icer__ Date

[MPORT ANT NO TES: The htstructlons accompanying this form must be fidlowed, Complete all parts,checking the ,NONE box ~/br each part where yau hav e no reportable information. Sign on last pag~

I. PO SITIONS. ~,~oning[--] N O N E (No reportable positions.)

POSITION NAME QF QRGANIEATIONiENTITY1. Co-Trustor and Co-Trustee Trust

II. AGREEMENTS .~ NONE ~o reportab& agreements.)

1.


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F INANCIAL D ISCLOS U R E R E P O R TPage 2 of 13 Matz., H o w a r d A . 0 5 1 1 4 / 2 0 1 0

l l I . N O N - I N V E S T M E N T I N C O M E . (Repo~ingi~dividualandspause;seeplx !7-24of filing instruclior~)A. Fliers Non-Investment Income

N O N E (No reportable non-investment income.)D A T E SOURCE AND TyPE I N C O M E(yours , not spouses)

I.

2.

3.

4.

B . S p o u s e s N o n - I n v e s tm e n t In c o m e - if you were married during any porti~n of the reportlng year, complete th~ section(Dollar amount not required except for honoraria.)

[~ NONE (No reportable non-investment income.)D A T E S O U R C E A N D T Y P E

1.

2.

3.

4.

IV. RE IMBU RS EM ENT S _, . , ,, ., .o ,- , ,, ,~ ., . , ~oagi.g. ,rooa .......... .(Includes those to spouse and dependent children; see pp 25-27 offiling inst~wtions.)

D N O N E (No reportable reimbursements.)~ ~ L O C A T I O N P U R PO S E IT E M S PA ID 0t~ P R O VID E I)

1. State Bar of California November 12-13, 2009 Dana Po int, Cati~brnia Recipient of Award Reimbursement for food and lodging, $600.002.

3.4.5.


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Name of Pe~on R epot-l ing Date of Repor tFINANCIAL DISCLO SUR E R EP O RT I mat~ now~ra A.o s / 1 4 a o l oage 3 of 13

~ NONE (No rwortable g~s.)S O U R C E DES CRI P TI ON

1.2.3.

4.

5,

Vl. l.~l!~J~t I ,IlIF~.~. (Includes ~ho$~ of ~p . . . . nd dependent chi ldren; ~e~ pp. 32-33 of f i l ing ir~rucl ion.~-)N O N E ( N o reportable liabilities.)

C R E D I T O R DES CRI P TI ON VALUE CODE1.2.

3.4.

5.


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N a m e o 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 tFINANCIAL D I S C L O S U R E R E P O R T} Matz~ Howard A.age 4 of 1 3 0 ~ / 1 4 / ~ o ~ 0

VII. I N V E S T M E N T S a n d T R U S T S - ~ ,c o . , ~ . .~e. ,ra,~.~ a,~l.ac, ~no ,~ oS~ .. . . . a d~endent ehOdren; see p p . 3 4 - 6 0 offalng ~aio~.)~ NONE (No reportable income, assets, or ~ansactions.)

Description of A~ l n c e m e d u r i n g G r o s s v ~ u e a t e n d o f T~ctions during re~ng period(including ~s ~sets) m~aing peri~ r~ng ~ .......Place~(X)"after~ch~se, Am o~t~ T)~(e.g., V a l u e Value T~(e.g. , ; Date [ V a l u e [ G=in ld~ti~ofC~e I ~ d i v . , ~ n ~ C o d e 2x e m p l f r o m p r i o r d i s c l o s u r e Mc~od b u y , ~ 1 ~ [ Mon~ - j C~e 2 [ C~e I buys/seller( A - H ) ! o r i n t . ) ( J - I ) C~e 3 r ~ e m p t i o n ) [ D ay ~ ( J - P ) ] (A-H) (ifp~vate

1. TRUST NO. 3 D Dividend O T2. AllianceBernstein Tax Mged B uy 1 /5 J

3. AllianceBernstein Tax Mged Sold 1 1 8 J A4. AllianceBernstein Tax Nlged Sold 1 / 3 0 J A5. All ianceBernstein T a x Mged Sold 2 / 2 7 J B6. AtlianceBernstein Tax Mged Sold 3 / 3 } J D7. AllianceBernstein Tax Mged Sold 4/7 J A

8 . AllianceBernstein Tax Mged Sold 4/30 J A9. AtlianceBernstein Tax Mged Sold 5 F 2 9 J A

1 0. AllianceBernstein Sold 6 1 3 0 J A [a x MgedI 1 . AllianceBernstein Tax Mged Sold 7/t3 J A12 . AtlianceBernslein Tax Mged Sold 7 / 3 1 J A13 . AIlianceBernstein Tax Mged Sold 8 / 3 1 J A14 . AllianceBernsteia Tax Mged Sold 9/4 L E

1 5 . AllianceBernstein Tax Mged Sold 1 0 / 2 1 J A

1 6 . AllianceBemstein Tax Mged B uy 1 2 / 2 2 J1 7. Bernstein Ca lifornia Municipal Portfolio Sold 1 /8 J A


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F INANCIAL D I S CLO S U R E R E P O R T ~ .... ~ P . . . . ~epo,~Page 5 of 13 m , , t~ , H o w a r d A. [ 0 5 1 1 4 , t 2 0 1 0VII. INVESTM ENTS and TR USTS - i. ....... ~ , ,, ~ a ~ a ~ o ~ ( tnct~a~ ~ost of s~ . . . . . ~ depe~ent ch~dren; see p p . 3 4 ~ 0 of f cling

NONE ~o repo~able income, assets, or transactions.)De~ription of As~ ~ I n c o m c d u r i n g t Gross value at ~d of T~nsacfions ~ng ~poaing period(including trus~ ~ts) rc~rlin~ ~fi~ ~poning peri~

Place(X)a~,ch~sel ]A ... . . ~1 Type{e.g., [ V a l u e [Value Ty~(e.g.. Date ~ Value Gain: ldent i~ofe x e m p t f r o m p g o r d i s c l o s u r e [ C~e I [div. xm, ! C~e2 I Mefl,~ buy, sell Mon~- ] Code2 ~ C~e I buyeds~ller(A-H) orint.) ~ ( J - P ) ~ C~e3 r e d e m p t i o n ) [ D a y U-P) (A-H ) [ (ifpfivate..................................... J ............... ~ ( Q - W ) 1 ~ j : t ...... t i o n )

1 8 . Bemstein Califo~ia Municipal Portlblio Sold 4/7 J A1 9 . Bemstein California Municipal Portfolio Sold 7 / 1 3 J A

2 0 . Bemstein California Municipal Portfolio Sold 9 13 L D2 1 . IRA ONE B Dividend M T2 2 . AllianceBerastein Wealth Apprec Sold 1 /8 J A2 3 . Alliance 13emstcin Wealth Apprec Sold 4/7 J A24 . Alliance Bernstein Wealth Apprec B uy 3/1725 . Alliance Bernstein Wealth Apprec B uy 3/2326 . Alliance Bemstein WeaIth Apprec Sold 7/122 7 . Alliance Bernstein Wealth Apprec Sold i0/21 J A2 8 . Alliance Bernstein Wealth Apprec B uy l~21 J29. IRA TWO t3 Dividend M T3 0 . Alliance Bernstein Wealth Apprec Sold 1 /8 J A3t. Alliance 1Bernstein Wealth Apprec B uy 3/17 J3 2 . Alliance Bernstein Wealth Apprec Sold 4i7 J A3 3 . Alliance Bernstein Wealth Apprec Sold 7/13 J A3 4 . Alliance Bernstein Wealth Apprec Sold 1 0 / 2 1 J A


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F INANCIAL D ISCLOS U R E R E P O R T :N ....f r e ~ n . R e p o . io g [ D a t ~ o ~ R e p o r tPage 6 of 13 ~lam Howard A.

[05/14/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~.,,.e, ~.l.e, tra~a o,,~-a-d ,,,~., ,h,,,. oy,p ..... a dependent c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing i~a ucdon. v . )N O N E (No reportable income, assets, or transactions.)

D~cfipfion of A~ ~ ln~ d~ing ~ Gro~ value at ~d of ~ T~cfions during r~aing(including t~t ~) re~ing ~fi~ reiningPlace "{X)* afi .....h .... ,Amount ~ T~(eg. [ Vaue VMue T~(e.g,. / Date [V~ne Gain Identibof.... pt.om prior disc[ ..... ~ C~ 1 [ ~ .....k C~e 2 ~ M~ buy, selk Mon~- C~e 2 C~c I

35, Alliance Bemstein Weal~ Apprec B uy I2/21 J36 , TRUST ONE D Dividend N T

37. Allia~ Occ3 8 . Artisan Intl. Fund3 9 _ AT&T Sold 9/ 240 . Black Rock Equity Dividend Fund41 . Comcas~ Corp Sold 9/ 2

"~2. Fidelity Advisor Mid Cap Ill Sold 5/2843 . Fidelity Floating Rate High Income B uy 1/2344 . Fidelity Ftoatir~g Rate High Income Sold 5/t 545 . General Electric

46 . Goldman Sachs Small Cap Value Instituti Sold 6/I 8onal47. Harbor Capital Appreciation Sold 2/l 848 . Harbor International Fund Sold 7/1~9. JP Morgan Mid. Cap Value

50 , Merger Fund51 . Morgan Stanley Inst. Emerging Markets

I. Income Gain Co&~: A =$1.000 m" less B -$ 1.001 - $2.509 C =$2.50 t - $5.{XIO D =$5.0OI - $15.00~ E =515.0t) I - $50.000(See Columns IBI ~nd D 4 ) F =$50.00| - $100.0(K) (; - - $ I ~ ) , 0 ( 1 1 - $1,009.000 Ill =$1.00~.001 - $5,004).0~0 H2 -Moron ~ n $5,000.000


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F IN A N C I A L D I S C L O S U R E R E P O R T s ....~ P~o. R e p o r t i . ~ D a t ~ o ~ R e p o t ,Page 7 of 13 lvlatz, H o w a r d A . 05/14/2010V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . . . ~ , , , , .... ~ions (lnctudes those of spa .... d dependent chltaren; s e e pp. 34-~0 of fiting instructi*nsO

NONE (7/0 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 G r o s s v a l u e a t e n d o f 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

[ P l a c e " ( X ) " a f t e r e a c h a s s e t Amount Typ~ (e.g., Value [ Value T y I ~ ( e .g . , Date Value ] Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e Code I i d iv., rent. C o d e 2 M e t h o d b u y , s e l l. ! M o n t h - Code 2 ! Code I b u y e r ! s e l l e r............................................................. ~ . _~[ ............ ..... t r a n s a c t i o n )5 2 . Pem~anent Portfolio Sold l/22 J A

5 3 . Permanent Portfolio Sold 5/15 J A5 4 . Schwab Money Fund5 5 . Selected A merican Shares" 5 6 . SPDR S&P lnt l Small Cap Sold 6 /1 J A5 7 . Vefizon Comm.5 8 . Walt Disney Co.

5 9 . Fidelity Contra Fund B uy 2/19 J6 0 . TCW Total Return Bond Fund B uy 5/18 K6 1 . TCW Total Return Bond Fund Sold 1 2 / 1 4 K B6 2 . Morgan Stanley Inst. Mid Cap Fund B uy 5/296 3 . Oakmark International Small Cap Fund B uy 6 /3

6 4 . I:M Small Company Portlblio B uy 6/196 5 . Dodge & Con Intl. Stack Fund B uy 7 /26 6 . Forward Tactical Growth Inst. B uy 1 2 / 1 5

6 7 . JP Morgan Strategic Income Fund B uy 1 2 / 1 56 8 . IRA ROLLOVER E Dividend P l T


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FINANCIAL DISCLOSUR E RE PO RTPage 8 of 13 r ~ u , n o , ~ a r d * . 0~4~0~0

VII. INVESTMENTS and TRUSTS - ~o~, ~,N O N E (No reportable income, assets, or transactions.)

A. R C. " D.Description of As~ Income d~ng Gro~ val~ at

(including tms~ ~sets) re~ing ~i~

P l a c e ( X ) " a f t . . . . I . . . . , ~A .... t T~ (e.g.. Va~ue ~ Value [ T~ (~.g., ~ Date [ Valuo I G~n ~ Id~fi~ of(A:H) orlnl.) O-P) ] Code3 [ redemption) [ Da y (J-P) (A-H) ~ (ifp~vate

] 6 9 . Allianz Occ Oppoa7 0 . Aaisan International

7 1 . Chesapeake Core Fund Sold 2/19 L A7 2 . ~ge & C ox Int l . St~k Fund

" ~ ~ . Dodge & Cox Stock Fund Sold 2/2 L A7 4 . Fideli~ Floating Rate High Income B uy 1~3 K7 5 . Fidelity Floating Rate H igh Income B uy 4/29 K

7 6 . FideliD Floating Rate H igh Income Sold 5/22 L D7 7 . Fideli~ Floating Rate High Income Sold 6,~9 K B7 8 . ICM Small Company Po~folio7 9 . JP Morgan Mid-Cap Value Fund8 0 . Merger Fund8 1 . MS Inst. Emerging M~ke~8 2 . k1S Inst. Mid-Cap Growth8 3 . O~mark Intl. Small Cap Fund

8 4 . ?e~nent Poafol io Sold 1 , ~ 2 K A


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N a m e o f P e r s o n R e p o r t i n g D a t e o f g e p o r ~FINANCIAL DI S CLO S URE R E P O R TI Ma tz, Howard A.

0 ~ / ~ 4 : ~ 2 0 1 0age 9 of 13V I I . I N V E S T M E N T S a nd T R U S T S - i.o~, 0~.,, ~ ..... no.~ (Incl.d~ those of sp ...... d ~peMent chUdren: seepp. 34~0 of fding ~s#uc~)

NONE ~ro repo~able income, assets, or ~ansactions.)A . B. - ......... ~. ............ D .Description of A~ tnco~ during G r o s s v a l u e a t e n d o f T~c~ons d~ng ~ning ~fiod ~[including ~l ~sets) re~ing ~riod ~epoming ~ri~ ~

( A - H ) o r i n t . ) ( J - P ) ,, C~e 3 ~ d e m p t i o n ) D ay ] (J-P) ~ ~ A - H ) ] ( i f p r i v a t e

8 6 . Permanent Portfolio Sold 5/19 L A8 7 . Selecled American Sh~es

8 8 . Schwab Money Fund8 9 . Black R~k Equiw Dividend Fund B uy 21 3 I.9 0 . Fidelity Contra Fund B uy 2/20 L9 1 . TCW Tolal Re~ Bond Fund B uy 5 / 2 0 L

9 2 . TCW Total Re~ Bond Fund B uy 5/26 L9 3 . TCW To~l ReU~m Bond Fund B uy 6 ! 3 0 K9 4 . TCW Total Return Bond Fund Sold 1 2 1 1 4 M D9 5 . Fo~ard Tactical Growth Inst. Fund B uy IZ/I5 L

" 9 6 . JP Morgan S~ategic Income Fund B uy 1 2 / 1 5 I.9 7 . "IRUS~ NO. TW O E Interest O T9 8 . Op~nheimer M!M

~ 9 . ~ittierCA ~on

t 0 0 . Calif St G/O Bond 2035

1 0 1 . C o n tc a C o s l a L A B o n d1 0 2 . Hayward CA Bond R e d e e m e d 8 / 3 K C


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FINANCIAL DISCLOS URE RE PO RT N ....fP .... a e 0 o r t i . g D = e ,f R ~ o r tPage 10 of 13 Matz, Howard A. 05/14/20!0

NO~ ~o repo~able income, assets, or transactions.)D~fipfion of A~ In.me during Gr~ value at ~nd of Tmn~c~ions d~ng

Phce"(X)" after ~ch a~et ~ount [ Fy~(e.g., V~ue Value T~ (e,g., [ Da~e Value ~ Gain ldentiD ofexert ~om p~or disclosure . C~e 2 bleth~ ~y, sell Mon~ - i C~ 2 ~ C~e 1 buyedsell~ri (A-H) t or int.) ( J -P) C~c3 r edempt ion) [ Day /

~ (Q-W) .................. ~ .........~ ........... ~ction)

103. Calif. St G!O 2033

104. CA Edl Fac Bond

105. San Bemard~no BondI06. Cal St G/O B ond 201510 7 . To~ ce C A B ondi08. Capis~oCA Bond

109. South "r~ Buy 8/5 K110. Bonita Canyon CA B ond

1 I 1. Ce~t~ CA ~nd112. Wil l is CA Bond113. Cupertino CA Bo ndI t4. Calif. |IPA (Purchase 2005) Redeemed 1 2 / I K A115. Calif. Sewde 5/.75% (State W ater Dev.)16. Calif. HFA 5.975%17. Bel l Gardens 5%

18. TRUST NO. 6 B Interest L T19. TIAA-CREF D Interest N T

Columns C 1 and D31 N --$250,001 - $500.000 O ~$ 500,001 - $ 1,000,000 P l = 51,000.001 - $ 5,000,000 P2 =$5,000.001 - $25,000,000P3 =525.0~0.001 - $ 50,000.000 P4 =More t~an


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F INANCIAL D I S CLO S U R E R EP O R T ] N ~ o ~ P . . .. a e ~ , ~ i o g Iage 1 1 of 1 3 r ~ l a t ~ , H o w a r d A . 0 5 1 1 4 / 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 - ~ . . . . . . . ~ . . . . . . . .. no~ (lnclu~ thee of s~ .... d depe~nt children; see p p .

N O N E (No r~ortable income, ~sets, or transactions.)A. B. ] C. D.Description of A~ Income dur ing G~ss value at ~d of T~etions d~ng re~ing pe~od

(including l~st ~ts) reining ~fi~ ~ ~ing ~-~~-~ ....~ .........~ .......~-- ~ ~i~ ......1--i~-~Code ~ v 9 ~ ~ : - :xempt from p~or disclos~e .. mn~ [ C~c. i Meth~ ] buy, sell, Mon~ - C~e ~ ~ C~e I [ buys/seller( A - H ) ~ orint.) ! (J-P) C~e3 [ r~emption) ~ Day ~ (J-P) ~ (A-H)


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FINANCIAL DISCLOSURE REPORT r ~ .... fPerson Repor ting ] Date of Repor~Page 12 o f 13 M~ Uo~,~d A.

I0 . ~ / ~ 4 / 2 0 ~ 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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F INANCIAL D I S CLO S U R E R E P O R T ~ a m . 0 t e o . o . ~ p o ~ . ~ [ D ~ , . o~ R ~ p o .Page 13 of 13 M a ~ H o , ~ a r d n .

[0 5 / 1 4 / 2 0 i 0

IX. CER TIFICATIO N.I cer tify that a ll information given ~bove ( including information perlaining to m y spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and bel ief, and that any information not reported w as withheld because i t met appl icable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gif ts which have been reported are incompliance w ith the provisions of 5 U .S.C. app. 501 el. seq, , 5 U.S.C. 7353, and Judicial Couference regulations.

NOTE: ANY INDIVIDUAL W H O KNOW INGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TH IS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SA NCTIONS (5 U.S.C. app. 104)

FILING INSTRUCT IONSMail s igned original and 3 addi t ional copies to:

Committee on Financial DisclosureAdm inistrat ive O ffice of the United States CourtsSuite 2-301One C olumbus Ci rc le , N.E.Washington, D.C. 20544

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Howard A Matz Financial Disclosure Report for 2009

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