Ronald M Whyte Financial Disclosure Report for 2010

8/3/2019 Ronald M Whyte Financial Disclosure Report for 2010

1/18

A O I ORev. 1 /2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Re qtdred by the Ethics

in Government Act of 1978(5 U .S .C. app. .~; .~ I01-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , middle initial)5hyte , Ronald M.

4 . T i t l e ( A r t i c l e I I ! ju d g e ~ i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part-t ime)U .S. D i s t r i c t J u dg e - Sen io r

7. Chambers or Office AddressU.S. Dis tric t Cou rt280 S. Firs t StreetSan Jose , C A 95113

2 . C o u r t o r O r g a n i z a t i o nNorthern Dist r ic t Cal i fornia

3. Date of R e p o r t05/13/2011

5a. Report Type (check appropriate q,pe)] N o m i n a t i o n , Date[] Initial [] Annual [] Final5b. [] Amended Report8.O n t h e bas is of the information contained in this Report and anymodifications pertaining thereto, it is, 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 D a t e

6. Repor t ing Per iod01/01 /2010

to12/31/2010

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 . m , ~ o m . g i . a iv i a , a t o , O ; s e e p p . 9 - 1 3 o f ~ U . g instructions .)[] N O N E ( N o reportable p ositions.)

POSITION NA M E O F O R G A NI Z A T I O N/E NT I T YI. Me m b e r o f Ex e c . C om m i t t e e S a n t a C l a r a Inn o f C ou r t

2. M e m b e r I n te ll e c tu a l P ro p e r ty Bo a rd o f A dv i s o r s - Geo rg e Was h ing to n Law Sc h o o l

3. M em ber San ta C lara Law Sc h ool IP A d v is ory B o ard

4.5.

I I. A G R E E M E N T S . m e m a , ,g i.aivia.al o.l~; ~ee ~,~,. 14 -16 offillng instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERM S


2/18

FINANCIAL DISCLOSURE REPORTPage 2 o f 9

N a m e o f P e r so n R e p o r t i n g5 h y le , R o na ld 5 1 .

D a t e o f R e p o r t05/13/2011

III. N O N - I N V E S T M E N T I N C O M E . ~ R e p o r, i n ~ indi,idual andsp .... ; s eepp . 17 - 24 o f f i l i ng i ns t ruc ti ons . )A. Fliers Non-Invest ment Income[~] NONE non- inves tment income . )N o reportable

D A T E SOURCE AND TYPE

2.

3.4.

INCOME(yours, not spouses)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - i f y o u were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

~ (No reportable income.)ON E non- inves tmentDATE SOURCE AND TYPE

1. 2010 Court Designated Child Advocates - w ages

2.3.4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food,entertainment.(Includes those to spouse and dependent children: see pp. 25-27 of fi ling instructions.)

NONE (No reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


3/18

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

Name of P erson Report ing5hyde, Rona[d M.

Date of Report05/13/201 !

V . G I F T S . (lncludes those to spouse and dependent children; $ee pp. 28-31of fillng instructions.)N O N E (No reportable gif ts .)

SOURCF D ESCRI PTI O N1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n e ~ n d e s t h o s e o / s p o . se a n d dependent chi ldren; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUECODE


4/18


N a m e o f P e r s o n R e p o r t i n g5hyte , Ron ald M .

D a t e o f R e p o r ~05/13/2011

V I I . 1 N V E S T M E N T S a n d T R U S T S - i n c o ,~ e . , ,~ l ~ e , , ~ a n s ~ c t i o ,~ a n c l u d e s t h o ~ e o I ~ p o u s e ~ n d dependent children; s e e p p . 3 4 - 6 0 of f!llng instructions.)D (No reportable assets, orONE income, transactions.)

A. B. C. D.Description of Assets Income during G ross valu e at end Transactions du ring reporting period(including trust assets) reporting period o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I ) (21 (3) (4) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t Amount T y p e ( e . g . , V alu e V alu e T y p e ( e . g . , D a t e Val u e Gain I d e n t i t y o fexempt from prior disclosure [ Code I d i v . , r e n t , Code 2 M e th o d buy, sell , mm!dd~,y Code 2 C ode I buyer/seller[ ( A - H ) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t eI ( Q - W ) t r a n s a c t i o n )

I. Emeryv i l le Redev Bond A Interest J T2. Sacramento Utili ty Bond A Interest J T3. Cal i fo rn ia Wate r Bond due 2016 A Interest J T4. Cal i fo rn ia Wate r Bond due 2018 A Interest J T5. Davis NY Ven tu re Mut Fund B Dividend M T6. Davis NY Ven tu re Mut Fund7. Temple ton Fore ign Fund B Dividend L T8. Pruden t ia l ( Dryden) C al Mu ni Fund B Dividend K T9. Pax Wor ld Fund C Dividend M T

1 0 . First Eagle Global Fund C Dividend M T1 1 . Bank of the Wes t Acc t A Interest J T1 2 . Bank of the Wes t Acc t A Interest K T1 3 . C ondo, Ketchum, B laine C oun ty, ID D Rent N S1 4 . C ondo, Los Gatos , San ta C lara C ou n ty, C A None N S1 5 . Calamos Investment Trust Growth Fund None L T1 6 . Eaton Vance Hea l th Sc ience Fund D Dividend L T1 7 . yon Weise P roper t ies , LLC E Distribution N W

Sold 07/13 /1 0 J A(part)Sold 10/12/10 J A(part)Sold 04/15/10 L A(part)

Sold 04/15/10 K(part)

I. Income Gain Codes: A $1,000 o r I cs s B = $1,001 - $2.500 C = $2.501 - $5.0~ 0( Se e C olu mn s B I a nd D4 ) F =$ 50 .0 01 - $ 10 0,0 00 G = $ 100.001 - $ 1.000.000 I I I =$ 1,000.001 - $5.000.000

2. Vah. Codes J = $15,000 or less K = $15.001 - $50.000 L = $50.001 - $100.000(See Columns CI and D31 N $250.0OI - $500.000 O =$500.001 - $1.000.000 PI -$1.000.001 - $5.000.000

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.0003. V alu e M ethod C odes Q = A ppraisal R -~Sost iRcal Estate O n l y ) S = A sse s smen t

IS ce Co h lm n C2 | LI =Book Value V -Olhcr W = Es t ima ted

D -$5.001 - $15.0001 1 2 = M o r e th a n $ 5 . 0 0 0 . 1 ~ 0 0M =$i00.001 - $250.000P2 =$5.000.001 - $25,000.000T = C ~ h M a r k e t

E =$15.001- $50.000


5/18


Name o f Per son R e p o r t i n g5hyte, Ronald 51.

Date of Report05/13/201 I

V I I. IN V E S T M E N T S a n d T R U S T S - ~ n c o , ~ e , v a lu e , ~ a ~ c t i o ~ a , c tu d e s t h o s e o f ~ v o u s ~ ~ n d d e v e n d e n t children: s e e p p . 3 4 - 6 0 of filing instructions.)D NONE income, assets, or transactions.)N o reportableA. B. C.Desc r ipt ion of A sse t s I n c o me d u r i n g G r o s s v a l u e a t e n d( i n c l u d i n g tr u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

( t ) ( 2 ) ( i ) ( 2 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Valuee x e m p t fr o m p r i o r d i s c lo s u r e i C o d e 1 d i v . , r e n t , C o d e 2 M e t ho dI ( A - H ) o r i n t . ) ( J - P ) C o d e 3

1 8 . Art io In ter Fund ( Ju l iu s Baer) B Dividend J T1 9 . Oppenheimer Dev Mrks Fd A Dividend K T20 . C hase ( former ly Wash Mut Bank) A Interest J T21 . Rosemead Ca 3 .5 Redev Bond B Interest22 . Ceres Ca Redev Bond A Interest K T23 . SolanoCA 3.5% Bond B Interest K T24. P o m o n a C A B o n d B Interest L T25 . CMA Money F und A Dividend J T26 . MLBank Depos i t A Interest M T27 . Sacramento San Bd B Interest L T28 . Reas su re Annui ty D Interest M T29 . Fremont CA Un High Sch Bond B Interest K T30 . Alameda Cor r ido rTran Bond None L T31 . San Jose Redev Agy Bond C Interest L T32 . CD Captial One Bk D Interest33 . C DA m e r i ca n E xp r e s s B k D Interest M T34. Dreyfus App rec ia tion Fund B Dividend L T

T r a n s a c t io n s d u r i n g r e p o r l in g p e r i o d

(I ) (2) (3) (4) ( 5 )T y p e ( e . g . , D a t e Val u e Gain I d e n t i t y o fbuy, sell , m m / d d ~ Code 2 C ode I buyer/se ller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

Sold 112/31/10 L(part) A

Redeemed 10/01 / 10 L A

Redeemed 12/03/I 0 M A

I. Income Gain Codes: A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5.001 - $15,000(See Columns B I and D4) F =$50.001 - $109.000 G :$ 100.001 - $1,000.000 I I I =$ 1.000,001 - $5.000.000 1 1 2 = M o r e th a n $ 5 . 0 0 0 . 0 0 0

2. Va lue Cod~ J = $15.000 or less K = $15.001 - $50.0(X ) L = $50.091 - $100.000 M =$100.001 - $250.0(]0( S ee Co lu m ns CI and D 3) N -$250.001 - $500.000 O = $5 00 ,0 01 - $1 .0 00 .0 00 P I ~ $1 ,0 00 .0 01 - $5 ,0 00 .~ O9 P 2 = $5 .0 00 .0 01 - $2 5.0 00 .0 00P3 = $25.000.001 - $50.0(~ .000 P4 ~ M ore than $50.00~ .000

3. V alu e M ethod C odes Q =A pp raisal R ::Cost {Real Eslate Only) S =Assessm ent T = C ~sh Marke t(See Cohann C2) U -Bo o k Valu e V =Other W =Estimated

E = $ 1 5 . 0 9 1 - $50.000


6/18


N a m e o f P e r s o n R e p o r t i n g5hyte , Ron ald M .

Date of Repor~05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , , c o , , , e . v , ~ t , , e . ~ - , , , ~ , , a l o ~ (lncludes those of spouse and dependent children: see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Desc r ipt ion of A sse t s T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( i nc l uding t r u s t a s s ~s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o me d u r i n g G r o s s v a l u e a t e n drepor t ing pe r iod o f r e p o r t i n g p e r i o d(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t ho d b u y , s e l l , m m ! d d . ~ y 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 n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

35 . F IA C ard Serv ices N A None36 . Pimco Shor t Term Fd . C Dividend Sold 04/15/10 L( pa r037 . USAA C orners tone Stra t Fund A Dividend38 . BlackrockGlobal Al loc. Fund B Dividend Bu y 04/15/10 M39 . Currency Shares-Australian Dollars A Interes t Buy 01/13/10 J40. Cur rency Sha re s -Canadian ETF A Interest Bu y 01/13/10 J41. i Shares Barclays 1-3 year credit B Dividend Bu y 01/13/10 K42. i Shares Barclays 1-3 Treas. A Dividend Bu y 01/13/10 K43 . Iv y A ss et Str ate g y Fd A Dividend Bu y 04/15/10 L44. M e r ckH a r d C u r r e n cy F d. A Dividend Bu y 04/27/10 K45. Pimco Com modi ty RRStra t. C Dividend Bu y 04/16/10 K46. Sector SPDR Utilities A Dividend Bu y 04/15/10 K47. SPDRGold Trus t None Bu y 04/19/10 J48. SPDRS P Divd ETF A Dividend Bu y 04/15/10 K49. V a n g u a r d M S C I E m e r g A Dividend Bu y 04/16/10 K50 . Wisdomtree Inv. Inc. A Dividend Bu y 01/13/10 J51 . Currency Shares Swiss Fr . None Bu y 01/13/10 J

M TM TJ T

M TJ TJ T

K TK TL TK TK TK TK TK TK TJ T

I. Incom e G ain C odes : A -$1.000 or les s B = $1,001 - $2,500 C = $2.501 - $5,000 D = $5.001 - SI 5.000(See Columns BI and D4) F =$50.001 - $100.000 G =$1 00 .0 01 - $1 .0 00 .0 00 II I = $1 .0 00 .0 91 - $ 5.0 ~0 .0 00 112 =More than $5.000.000

2. V alu e C odc ~ J = $15.000 o less K = $15.001 - $50.000 L = $50.0(,1 - $100.000 M =$100.001 - $250.000( S ee Co lu m ns CI and D 3) N =$250.001 - $500.000 O = $ 5 0 < ) . 0 0 1 - $ 1 , 0 0 0 . 0 0 O PI -$1.000.001 - $5.000.000 P2 =$5.000.0~1 - $25.000.000

P3 = $25.000.001 - $50.000.000 P4 = M ore than $50.000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate O~ly) S = A ssc s smtmt T =Cash Marke t( S ce Co lu m n C2) U = Book V a lue V =Olhcr W = Es t ima ted

E =$15.001 - $50.000


7/18


N a m e o f P e r so n R e p o r t i n g5hyte , Ronald M .

D a t e o f R e p o r t05/13/2011

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, tr .... t i on~ ( Inc ludes t hose o f spouse and dependen t ch i ldren ; seepp . 34-60 of filing instructions.)~ (No re por ta b le in come , a sse t s , or t ra n sa c t ion s .)ONE

A. B. C.Desc r ipt ion a t A sse t s Income d u r i n g Gros s v a l u e a ! e n d

( i nc l uding t r u s t a s s e t s ) r ep or ting p er io d o f r ep or tin g p er iod(1) (2) (I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e .g . , V a l u e Value

e x e mp t f r o m p r i o r d i s c l o s u r e 1 C o d e I d iv ., r en t, C od e 2 M eth odI (A-H) or int.) ( J - P ) C o d e 3

O)T y p e ( e . g . ,buy, s e l l ,

r e d e mp t i o n )

Transactions d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4) ( 5 )D a t e Value Gain Identity o f

m m! dd/y y C od e 2 Code I buyer/seller( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

52 . C u r r e n c y S h a r e s S w i ss F r . None Sold 04/15/10 J A53 . M L I R A A c c t C a s h A Interest L

1. Income Gain Codes: A -$1.000 or less B =$1,001 - $2,500 C = $2.501 - $5,000 D -$5.001 - $15.000(See Columns B I and D4) F =$50,001 . $100,009 G =$100.001 - $1,000.000 |11 -$1.099.001 - $5.009.090 112 =More than $5.0~0,0002 . Valu e Co d~ J =$15.000 or less K =$15.001 - $50,000 L = $50.001 - $100.00~ M $1OO.001 - $250,000( S ee Co lu m ns CI and D 3) N $250,001-$500.000 O=$5 00 . 001 -$1 . 000 . 000 p I = $ 1 .0 00 .0 01 - $ 5 . 0 O O . 0 O O p 2 = $ 5 .0 O O . 0 O I - $2 5 . 0 00 .0 O O

P 3 = $ 2 5 . 0 O O . 0 0 1 - $ 5 0 . 0 0 0 ,0 ~ O P4 =More than $50.000.0003. Value M e th o d C o d e s Q = A p p r a i s a l R = C o s t (Real Estate Only) S = A sse s smen t T -Cash Marke t( S ee Co lu m n C2) U Book Va lue V =Olhcr W =Estimated

E =$15,001- $50,000


8/18


N a m e o f P e r so n R e p o r t i n g5hyte , Ron ald M .

D a t e o f R e p o r t05/13/201 I

V I I I . A D D I T IO 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 . (lndicate part of report)Par t VI I , i tems 5 and 6 : I tem 5 shows the income r ece ived du r ing the r epo r t ing pe r iod f rom the sha re s he ld in the NY Davis f u nd and the v laue o f the a s se t he ld a tthe end o f the r epo r t ing pe r iod. I tem 6 jus t shows the va lue and g a in r ea l ized f rom the second sa le s t r ansac t ion o f a po r t ion o f the NY Davis f und ho lding dur ingthe reporting period.Part VII, I tem 13: Ketchum ID condos assessed value is 5414,000.P a r t V I I , I t em 14: Lo s Ga to s C A c o ndo s a s s e s s ed v a lu e i s $ 26 4,7 54.


9/18


Name of P erson Repor t ing5hyte , Ron ald M .

Date of Report05/13/201 I

IX. CERTIFICATION.I c e r t i f y tha t a l l in f o r mat ion g iven ab ove ( in c lud in g in f o r m at ion pe r ta in in g to my s p ous e an d m in or o r d epen d en t ch i ld r en , i f an y) i s

ac cu r a te , tr ue , an d com ple te to the b es t o f my kn o~v led ge an d b e l ie f , an d tha t an y in f o r mat ion n o t r epo r ted was wi thhe ld b ecau s e i t met app l i c ab le s ta tu to r yp r ov is ion s pe r mi t t in g n on - d i s c los u r e .I f u r the r c e r t i f y tha t ea r n ed in come f r om ou t s id e emp loymen t an d hon or a r ia an d the ac cep tan ce o f g i f t s ~vh ich have b een r epo r ted a r e incom pl ian ce wi th the p r ov i s ion s o f 5 U. S . C . app . 501 e t . s eq . , 5 U. S . C . 7353, an d Jud ic ia l Con f e r en ce r egu la t ion s .

Signatu re: S[ Ronald M . 5hyte

N O T E : A N Y I N DI V I DUA L W H O K N O W I N G L Y A N D W I L F UL L Y F A L S I F I E S O R F A L L S T O F IL E T H I S R E P O R T M A Y B E S UB J E C T T O C I V I LAND C RIMINA L SANC TIONS (5 U.S .C. app. 104)

Committee on Financial DisclosureA d m i n i s t r a ti v e O f f i c e o f t h e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544


10/18

AO IORev . 1 /2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

I. Person Rep ort ing (las t name, f i rs t , middle ini t ia l)5hy te , Rona ld M .

4. Tit le {Art ic le I I I judges indica te ac t ive or senior s ta tus ;magistrate judges indicate full- or part- t ime)U . S. D i s t r ic t J u d g e - S en i o r

7. Chambers or Office AddressU . S . D i s t r i c t C o u r t280 S. F irs t StreetS an J o s e , C A 9 5 1 1 3

2. Cour t or Organiza t ionN o r l h em D i s t r i c t C a l i f o r n i a

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report

3. Date of R e p o r t05/13/2011

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance, M t h a p p l i c a bl e l a w s a n d r e g u l a t i o n s .

Reviewing Officer D a t e

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 b ox for each part where you have no reportable information. Sign on last pag~

I . P 0 S I T I 0 N S . R e p o r n n g i n d i v id u a l o n l y ; s e e p p . 9 - 1 3 of filing instructions.)[] (No reportable posi t ions.)ONE

POSITION1. M em b er o f E x ec . C o m m i t t ee

2. M e m b e r

3. M e m b e r

NAME OF ORGANIZATION/ENTITYSan t a Cl ar a In n o f Co u r tIn t e l l ec t u a l P r o p er t y Bo ar d o f Ad v i so r s - G eo r g e W ash i n g t o n L aw Sch o o lSan t a Cl ar a L aw Sch o o l IP Ad v i so r y Bo ar d

I 1 . A G R E E M E N T S . m e p o , ~ n g ind i~ iduo l on ly ; seepp . 1 4-16 o f f i l ing in s t ruc t lon~)~] NONE (No reportable agreements.)

D A T E PARTIES AND TERMS


11/18

FINANCIAL DISCLOSURE REPORTPage 2 o f 9 Ia m e o f P e r s o n R e p o r t i n g5hyte , Ronald M.

I I I . N O N - I N V E S T M E N T I N C O M E . tRepo . i .g ind iv idua l a n d s p o u s e s e e p p . 1 7 - 2 4 of f i l ing ins truct ions . )A, Filers Non-lnvestment Income

~] N O N E (No reportable income.)on-investmentDATE SOURCE AND TYPE

2.

3.

4.

D a t e o f R e p o r t05/13/201 I

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - t f y o u were married during any portion of the reportlng Fear, complete this section.(Dol lar amount not requ ired except for honoraria . )

D N O N E (N o reportable non-investment income.)DATE SOURCE AND TYPE

1. 2010 Court Designated Child Advocates - wages2.3.4.

I V . R E I M B U R S E M E N T S - t runspor , oa o . , Iodg l ng ,~ ood , en t e , ,o i ....( Includes those to spouse and dependent chi ldren," see pp. 25-27 of f i l ing instructions. )

~] NONE (No reportable reimbursements.)

2.3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


12/18


N a m e o f P e r s o n R e p o r t i n g5hyte , Ronald 51.

Date o f Repor t05/13/2011

V . G I F T S . a , ,c t , , d ~ , h o ~ e t o ~ p o n s e ~ n d d e r e n , ~ e n t c h i l d r e n ; ~ e e p p . ~ S - ~ ; o y ~ l i n g i n s t r , ~ c t i o n ~ . ~[] N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.2.

3.

4.

5 .

VALUE

V I . L I A B I L I T I E S . ancludes those o l s p o u s e ond depe ndent chi ldren; see plx 32 -33 of f i l ing instruct ions.)NONE (]go reportable liabilities.)

CREDITOR DESCRIPTION1.

2.

3.

4.5.

VALUECODE


13/18


N a m e o f P e r s o n R e p o r t i n g5 b y t e , R o n a l d M .

Date o f Repor t05/13/2011

V I I . I N V E S T M E N T S a n d TRU STS - i,,,-o .,,e, ,,,,I,,,,, , r a . s a . i o , ~ a . c ~ . d e s t h o s e o / ~ p o ~ s e ~ . a d . p e . ~ e . t ~ h i ~ . e . : s .e p ~ 3 4 - 6 0 of filing instructionD (No reportable assets, orONE income, transactions.)

A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d of repining period

i (I) (2) (I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t ] A m o u n t T y p e ( e . g ., V a lu e V al uee x e m p t f ro m p r i o r d i s c l o s u r e ] C o d e 1 d i v . , r e n t , C od e 2 M e th o d

i ( A-H ) o r i n t . ) ( J - P ) C o d e 3I ( Q - W )

I. E m e r y v i l le R e d e v B o n d2. S ac r am ento Ut i l i ty B ond3. Cal i f o r n i a W at er Bo n d d u e 20164. Cal i f o r n i a W at er Bo n d d u e 20185. D a v i s N Y V e n t u r e M u t F u n d6. D a v i s N Y V e n t u r e M u t F u n d7. Temp l e t o n F o r e i g n F u n d8. P r udent ia l ( Dr yden) C a l M uni Fund9. P a x W o r l d F u n d1 0 . F i r s t Eag l e G l o b aI F u n d1 1 . B a n k o f t h e W e s t A c c t1 2 . B a n k o f t h e W e s t A c c t1 3 . C ondo, Ke tc hum , B la ine C ounty , ID1 4 . C ondo , Los Ga tos , S an ta C la r a C ounty , C A1 5 . C alam os Inves tm ent T r us t Gr owth Fund1 6 . E a t o n V a n c e H e a l t h S c ie n c e F u n d1 7 . von W eis e P r ope r t i e s , LLC

A In teres t J T

A In teres t J T

A Interes t J TA Interes t J TB D i v i d en d M T

B D i v i d en d L TB D i v i d en d K TC D i v i d en d M TC D i v i d en d M TA Interes t J TA Interes t K TD R e n t N S

N o n e N SN o n e L T

D D i v i d e n d L TE Distr ibution N W

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d(I ) (2) (3) (4) (5 )

T y p e ( e .g . , D a t e V a l u e Gain I d e n t i t y o fbuy, sell , m m / d d ~ " y Code 2 Code I buyer!seller

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

S old 07/13/10 J A(part)So l d 10/12/10 J A(part)So ld 04/15 /10 L A(part)

S old( p a~) 04/15/10 K

1. In co m e G ain Co d es : A = $1,000 or less B-S1,001 - $2.500 C =$2.501 - $5,000 D $ 5 .0 0 1 - $ 1 5 , 0 0 0( see C o l u m n s B I an d D 4) F = $ 5 0 . 0 0 1 - $ I 0 O , 0 0 0 G =$100.001 - $1,000.000 I I I =$ 1 .0 00 ,0 01 - $ 5. 00 0. 09 0 1 12 = Mo re t ha n $5 .0 00 .0 00

2. Value COdes J = $ 1 5 . 0 0 0 o r b ~ " s s K = $15 ,001 - $ 50.000 L -$5 0.0~1 - $1 ~0.000 M = $100.001 - $250.000( see C o l u m n s C I an d D 3 ) N = $25 0.0O I - $ 500.0( XI O - $5 00,001 - $ 1.1300.000 PI ~$1.000,001 - $5 .000,000 P 2 - $ 5 . 0 ( 3 0 . 0 0 1 - $ 2 5 , 0 0 0 . 0 O O

P3 =$25.000.001 - $50.000.000 P4 =More than $ 50.000.0003. Value I . tcthod Codes Q = Ap p ra i s al R :=Cosl (Real Esta lc Only) S = As s cs s n , -mt T =~a~h [vlarkct( See C o l u m n C 2 ) U = B o o k V a l u e V = O l h t~ r W = E s l ima t cd

E :$15,001 - $50.000


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N a m e o f P e r s o n R e p o r l in g5 h . v t e , R o n a l d 5 1 .

D a t e o f R e p o r t05/13/2011

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, transactions ( I n d u d e s t h o s e o f sp o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets In co m e during Gross v a lue at end Transactions during reporling period(including trust assets) reporting period of reporling period

[ (!) (2 ) (I) (2) (I) (2) (3) (4)P l a c e " I X ) " a f t e r e a c h a s s e t ! A m o u n t T y p e ( e . g ., V alue V a lu e T y p e ( e . g ., D a t e V a l u e Gain

exempt from prior disclosure I Code I d i v . , r e n t , Code 2 M e th o d buy, sell , m m / d d , 3 " y Code 2 Co d e Ii (A-I t} o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H)~ ( Q - W )

1 8 . A r t i o I n t e r Fu n d ( J u l i u s Ba e r ) B D i v i d e n d J T S o l d 12/31110: L A(par t )1 9 . O p p e n h e i m e r D e v M r k s F d A D i v i d e n d K T

20. Ch a s e ( f o r me r l y W a s h M u t Ba n k ) A In teres t J T

21. R o s e m e a d C a 3 . 5 R e d e v B o n d B In teres t Redeemed 10/01/10 L A

22. C e r e s C a R e d e v B o n d A In teres t K T

23. S o l a n o C A 3 . 5 % B o n d B In teres t K T

24 . P o m o n a C A B o n d B In teres t L T

25 . C M A M o n e y Fu n d A D i v i d e n d J T

26. M L B a n k D e p o s i t A In teres t M T

27. S a c r a m e n t o S a n B d B In teres t L T

28. R e a s s u r e A n n u i ty D In teres t M T

29. F r e m o n t C A U n H i g h S c h B o n d B In teres t K T

30. A l a m e d a C o r r i d o r T r a n B o n d N o n e L T

31. S a n J o s e R e d e v A g y B o n d C In teres t L T

32. CD Ca p t i a l O n e Bk D In teres t R e d e e m e d 12/03/10 M A

33. C D A m e r i c a n E x p re s s B k D In teres t M T34. D r e y f u s A p p r e c i a t i o n Fu n d B D i v i d e n d L T

I d e n t i t y o fbuyer/seller

( i f p r i v a t et r a n s a c t i o n )

I . I n c o m e G a i n C o d es : A = $ 1.000 or les s B = $ 1,001 - $ 2.5 00 C = $ 2.501 - $ 5 .000 D = $5 .001 - $ 15 .000(See Columns B I and 1)4) F =$50.001 - $ 100,000 G =$ 100.001 - $ 1.000.000 1 1 1 = $ 1 . 0 0 0 . 0 ~ I - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e ~han $5.000.(900

2 . Va l u e C o d es J =$15.0~O or less K $ 1 5 .0 OI - $ 5 0 .0 0 0 L =$50.001 - $100.00(} M =$100.001 - $250.000IS ee Colu mns CI and D J ) N = $ 25 0.001 - $5 00.000 O =$ 5 0~.001 - $ 1.000.000 P l = $1.000.0(11 - $5 .000.000 P2 =$5.000.001 - $25.000.000P3 -$25.000.001 - $50.000.000 P4 =More than $50.000.0003 . Va t u c Mel h o d C o d es Q A p p r a i s a l R ~-"ost (Real Estalc Only) S -Asscssrik,~t T ~ a s h M a r k c l( See C o l u m n C 2 ) U B o o k V a l u e V - O t h e r W = E s t i ma t e d

E = $ i 5 . 0 0 1 - $50.000


15/18

FINANCIAL DISCLOSURE REPORTP a g e 6 o f 9 Ia m e o f P e r s o n R e p o r t i n g5 h y te , R o n a l d M . D a t e o f R e p o r t05/13/201 I

V I 1 . I N V E S T M E N T S a n d T R U S T S - in c o ~ ,,, , alu e , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 -6 0 o f fi l in g i n s t r u c t i o n ~ )N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c lo s u r e

Income during G r o s s v a l u e a t e n dr e po rt i n g p er i o d o f r e p o rt i n g p e r i o d

(I) (2) (I) (2) (I ) (2) (3) (4) (5 )A m o u n t T y p e ( e . g ., V alue V alue T y p e ( e . g ., D a t e V al ue G a i n I d e n l i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m r n / d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ( 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 a t e( Q - W ) t r a n s a c t i o n )

35 . F I A C a r d S e r v i c e s N A N o n e36 . P i m c o S h o r t T e r m F d . C D i v i d e n d S o ld 04/15 /10 L( p a n )37 . US AA C or ne r s tone S t r a t Fund A D i v i d en d38. Bl ackr o ck G l o b al Al l o c . F u n d B D i v i d e n d Bu y 04/15/10 M39 . C ur r enc y S har es -Aus t r a l i an Dol la r s A Interes t Bu y 01/13/10 J40 . C u r r e n c y S h a r e s - C a n a d ia n E T F A Interes t Bu y 01/13/10 J41 . i S ha r es B ar c lays 1 -3 yea r c r ed i t B D i v i d en d Bu y 01/13/10 K42 . i S ha r es B ar c lays 1 -3 T r eas . A D i v i d e n d Bu y 01/13/10 K4 3. I vy A ss et St ra te g y F d A D i v i d e n d Bu y 04/15/10 L44 . M e r c k H a r d C u r r en c y F d . A D i v i d e n d Bu y 04 /27 /I 0 K4 5. P im c o Co m m o di ty R R S tr at. C D i v i d e n d Bu y 04/16/10 K46 . S ec tor S P DR Ut i l i t i e s A D i v i d e n d Bu y 04/15/10 K47 . S P D R G o ld T ru s t No n e Bu y 04/19/10 J48. S PD R S P Div d E TF A D i v i d e n d Bu y 04/15/10 K49 . V a n g u a r d M S C I E m e r g A D i v i d e n d Bu y 04/16/10 K50 . W i s d o m t r e e I n v . I n c . A D i v i d e n d Bu y 01/13/10 J51 . C urren cy S ha res S wis s Ft. No n e Bu y 01/13/10 J

M T

M T

J T

M T

J T

J T

K T

K T

L T

K T

K T

K T

K T

K T

K T

J T

I . I n c o m e G a i n C o d es : A = $1.000 or less B = $ 1,001 - $ 2.5 00 C $2 .5 01 - $5 ,00~ D =$5,001 - $15,000( See C o l u m n s BI an d D 4) F = $ 5 0,001 . $ 100,000 G = $100.001 . $ 1,000.000 III ~$1,000.001 -$5 .000.000 112 =More than $5,000.000

2. V a l u e Co d e s J = $15 .000 or le ss K = $ 15,001 - $ 50,000 L =$50.001 - $100.000 M =$100.001 - $250.000(S ee Co lu tn ns CI an d D 3) N S25 0.0 01 - $ 50 0.0 00 O =$500,001 . $1,000.000 p I = $ 1. 00 0. 00 1 - $5 ,0 00 .0 00 p 2 - $ 5. 00 0. 00 1 - $2 5 .0 00 .0 00P3 =$25,000.001 - $5 0.000,000 P4 =More than $50.000.0003. V a l u e M e t h o d Co d e s Q =Appraisal R -Cost ( Real Esta lc Only) S A s s e s s m e n t T = C ~h M a r ke t

( See C o l u m n C 2 ) U = B o o k V a l u e V = Ot h e r W -Es l i m a t ed

E = $1 5 .0 0 1 - 5 5 0 .0 0 0


16/18

FINANCIAL DISCLOSURE REPORTPage 7 of 9

N a m e o f P e r s o n R e p o r t i n g5byt e , Rona ld M .

Date of R e p o r t05/13/201 I

VII. IN VESTMENTS and TRU STS - in c ...... , , , o , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)[] (No reportable income, assets , or transactions.)ONE

A. B. C.D e s c r ip t io n o f A s se t s I n c o m e d u r in g G r o ss v a lu e a t e n d

( in c lu d in g tru s t a s s e ts ) r e p o r t in g p e rio d o f r e p o r t ln g p e r io di (1 ) ( 2 ) (1) (2)P l a c e " ( X ) " after each asset [ Amount T y p ~ ( e .g . , V alu e V a l u ee x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d iv ., r e n t , C o d e 2 M e t h o d( A - H ) or in1 . ) ( J - P ) C o d e 3[ ( Q - W )

T r a n s a c t i o n s d u r i n g r e p ~ r t i n g p e r i o d

(I) (2) (3) (4)Type (e.g., D a t e V a l u e G a i nb uy, s e l l , m r n ~ d d / y y C o d e 2 C o d e I

r e d e m p t i o n ) ( J - P ) ( A - H )

(5 )I d e n t i t y o f

buyer/seller( i f p r i v a t e

t r a n s a c t i o n )

52 . C ur r enc y S har es S wis s Fr .53 . M L I R A A c c t C a s h A

N o n e

I n t e r e s t T

S o l d 04/15/10 J A

I. I n co me Ga i n Co d e s :(Scc Columns B I and 1}4)

2. V a l u e Co d c~( See C o l u m n s C I an d D 3 I

3. V a l u e M e t h o d Co d e s( See C o l u m n C 2 )

A =$1,000 or lessF =$50.001 - $100,000J =$15.000 or lessN -$250.001 - $ 5 0 0 . 0 0 0P3 =$25.000.001 - $ 50.000.000Q = Ap p ra i sa lU B o o k V a l u e

B=$h001 - $2,500G =$100.001 - $1,000,000K =$15,001 - $50,0000 =$500.001 - $1,000.000R ~ S o s t ( R e a l E s t a t e O n l y )V = O ~ h , r

C=$2,501 - $5,000ItI =$1.000,001 . $5.000,000L =$50.001 -P4 =More than $50.0~1.00~S = As s e s s me n tW = E s t i ma t e d

D =$5,001 - $15.000112 =More than $5.000.000M =$10O.001 - $250.000P2 =$5 ,000,001 - $25,000,000T = Ca s h M a rkc~

E =$15 .1991 - $50 .000


17/18


N a m e o f P e r s o n R e p o r t i n g5byte , Ronald 51.

D a t e o f R e p o r t05/13/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofrepor~)P a r t V I I , i t e ms 5 a n d 6 : I t e m 5 s h o w s t h e i n co me r e ce i v e d d u r i n g t h e r e p o r t i n g p e r i o d f r o m t h e s h a r e s h e l d i n t h e N Y D a v i s f u n d a n d t h e v l a u e o f t h e a s s e t h e l d a tt h e e n d o f t h e r e p o r t i n g p e r i o d . I t e m 6 j u s t s h o w s t h e v a lu e a n d g a i n r e a l i z e d f ro m t h e s e co n d s a l e s t r a n s a c t i o n o f a p o r t i o n o f t h e N Y D a v i s f u n d h o l d i n g d u r i n gt h e r ep o r t i n g p e r i o d .

P a r t V l l , I t e m 1 3 : K e t ch u m I D co n d o s a s s e s s e d v a l u e i s $ 4 1 4 ,0 0 0 .P a r t V I I , I t e m 1 4 : L o s G a t o s CA co n d o s a s s e s s e d v a l u e i s $ 2 6 4 ,7 5 4 .


18/18


N a m e o f P e r s o n R e p o r t i n g5 h y t e , R o n a l d M .

Date o f Repor t05/13/201 I

IX. CERTIFICATION.

I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e h e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a bl e s t a t u to r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s ~ v h i ch h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] Ronald M . 5hyte

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA 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)

Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsS u i t e 2 - 3 0 1One Colum bus Circle, N.E.W ashin gton, D.C. 20544

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Ronald M Whyte Financial Disclosure Report for 2010

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