Carlos F Lucero Financial Disclosure Report for 2009

8/3/2019 Carlos F Lucero Financial Disclosure Report for 2009

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SELF INITIATEDA M E N D M E N TUui~e~ ~tate~ (~ourt of ~ppeals

for t h e e n t h1823 STOUT STREET

DENVER, COLORADO 8025"7CARLOS F. LUCERO 303-844-2200c ~ R c U ~ T ~ U D G E

May 18, 2010

Committee On Financial DisclosureAdministrative Office of the United States CourtsOne Columbus Circle, N.E., Suite 2-301Washington, D.C. 20544

Ladies and Gentlemen: o~ ~ ~Please allow this letter to serve as an amendment to part IV of my l~t~nc~l I~Disclosure Report for Calendar Year 2009. The below was inadver~y ~mit~from the report. Thank you. ~ ~

Source Dates Location Purpose Items Paid orProvidedEnvironmental 3/18 - 3119/09 Santiago, Chile Non-FHC Transportation,Law Institute; Educational Food, LodgingUS.Dept. of SeminarJustice

Carlos F. LuceroCFL/smenclosures


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I A a 1 0 FINANCIAL DISCLOSURE REPORT R q , o r ~in Government Act ~ t978R e v . 1 ~ 0 1 0 F O R C A L E N D A R YEAR 20091. Person Re p~rting (last name, first, middle initial) 2. Court or Organization 3. Date of ReportLUCERO, CARLOS F. US COURT OF APPEALS - 10TH C1R 05/15/20t0

4. Title (Article !11 judges indicate active or senior status; 5a. Report Type (ch eck appropriate, type) 6, Reporiing Periodmagistrate judges indicate foil- or part-time) ~] Nomination. Date 01/01/2009ARTICLE IlIJUDGE-ACTIVE [] Initial [] Annual [] Final to12/3 It2009

5bo [] Amended Report7. Chambers or Office Address 8. On the basis of the information contained iu this Report and anymodifications pertaining thereto, it is, in nay opinion, in compliance

1823 STOUT STREET with applicable laws and regulations,DENVER, CO 80257Reviewing Officer ..... I)ate.

I M P O R T A N T N O T E S : The instructions accompanying this form must be fi~llowed. Complete all parts.checking the NONE box for each part where you have no reportable informatioa. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-I3 of Jiltng instructions.)[~] N O N E (No reportable posi t ions.)

PQSIT1ON N A M E O F O R G A N I Z A T I O N /E N T I T YI. PRESIDENT & DIRECTOR CARLOS F. LUCERO, PROFESSIONAL CORPORATION

I I . A G R E E M E N T S . (n..o.. , ,g i , ,ai .i , t ,, , ,! o,,ty; ~ t , . , ~4-~ o/ ~,, , ,g inslrnctionsO~ N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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I I I . N O N - I N V E S T M E N T I N C O M E . ~ g , p o , i ,, g i ,, ~ i ~ . i ,~ , , ~ ~ , ,d ~ o , , ~ , ; ~ , ~ p p . 1 7 - 2 4 Of filittg instrt~ctions.)A. Fliers Non-Investment Income

[~ (No reportable income.)ONE non-investmentD A T E SOURCE AND TYPE ~(yours, not spouses)

1. Monthly Carloz F. Lucero, P.C. - Annuity payments received for prior services $22,299.60performed for law firm.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 - ~ f y o u , , ,~e married during an y portlmt of the reporting year, complete this section.( D o l l a r a m o u n t t ~ o t r e q u i r e d c x c e p t J b r h ~ m o r u r i a . )

NONE (No reportable non-investment income.)DAFE SO1 JRCE AND TYPE

1.2,

3.

I V . R E I M B U R S E M E N T S --t~..,..o~t,.io,,,(hlcludes thosc" to ~:pouse and de, pendent childr~tl; see pp. 25-27 t~ filing, instructions.)

~ (No reportable reimbursements,)ONESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . A m er ic an Bar A s so ci at io n 3 ! 1 6 - 3 1 1 7 Panama City, Panama Non-F.~C Edu Seminar "transportafior~, Foo~:l, Lodging2. American l~ar Association t0/9/2009 W ashington D.C. Non-FJC Edu Seminar Transportation, Food, Lodging3. New York U niversity Law 2/21 - 2123 New York, NY Non-FJC Edu Trausportation, food, LodgingSchool4.5.


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FINANCIAL DISCLOSURE REPORT N~e of Person Rept~rling Date of ReportPage 3 of 8 ~ .~ ; c ~ R o , C A R L O S F . 0 5 / t 5 / 2 0 1 0

V . G I F T S . ~ t, ,~ , d , those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gidts.)

S O U R C E DESCRIPTION VALUEI.2.

3.

4.

5.

V I. LIAB ILITIES. r~,,~,,,~.~,o,e o,po, .....t dependent childre,t; see p p . 3 2 - 3 3 oJfiling ittstructions.)~ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VAI.UE CODEI. ESTATE OF MARIA MEDINA ~STALLMENT NOTE TO PURCHASE 1/2 INTEREST IN ~ K

RIO ARRIBA COUNTY, N.M.

2.

3.

4.

5.


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FINANCIAL DISCLOSURE REPORT ~ a . ~ e O f P e r s o n R e p o r t i n g D a t ~ : o l " R e p o rtPage 4 of 8 L U C E R O . C A m e O S ~ . 0 5 / ~ 5 / 2 0 ~ 0V I I . I N V E S T M E N T S a n d T R U S T S . . i,.co,,te, v.t.., t . . . . . . . . lions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

D e s c r ip 0 o n o f A s s e l s [ I n c a m e d ~ r h ag Gross vNue al end T r a n s a c l io 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 ) ~ repomng period ~ of reporting periodPlace "{X )" aft ...... I ..... t I ~ A m u n t T y p e ( e . g ., [ Value [ Vt~lue T y p e ( e . g ., D a t e , Value Gain I d e n t i t ye 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 d i v . , r e n t . ~ Code 2 M e t h o d buy sell, Imm/dd/yy { Code 2 ~ Code I b ayer/se e

I ( A - H ) oriot0 { J - P ) [ Code3 r e d e m p t i o n ) ~ 0-P) ~ ( A - H ) (ifprivate

l, ~ COMMERCIAL BUILDING, F Renl K W];~LAMOSA COUNTY, CO2. ~ AP AR TM ENTS , ALAM OS A E Rent M WCOUNTY, CO

; 3 . ~ I/4 SE~ION FARM LAND A Rent K W:{{)NE.IOS C O U N T Y , C O

: , 1 . Vacant Land, Conqos County Co None K R5. 1/2 INTEREST IN O None M Q See # 4ARRIBA COUN TY, NM6. VACANT LO T" JEFFERSON None M SCOUN TY, CO7. LOS IqERMANOS LUCEROS, LID A Dividend M O See # 1PARI:NERSHIP (14% INIEREgT)8. CARLO S F. LU CERO, PC (100% ST~K) E Dividend J U See # 29. ~ LCM, INC. ( 100% MU TUA l., FUN DS) E Dividend N T See # 3

1 0 . TD AMERITRADE IRA BROKERAGEA C C O U N Tt I . Dianlonds Trust Series lCom (DIA ) A Dividend K T1 2 . Powershares QQQ (QQQQ ) A DivMend K T

1 3 . Proshares Ultra QQQ: (QLD) None Sold 12/I 5/09 J ..1 4 . Slxh"l"r Unit Ser I (SPY) A Dividend K T1 5 . V anguard Funds Emerging Markets Vipers A Dividend J T(vwo)

1 6 . Prudent Global Inc FD SH BEN INT A Dividend K T( P S A F X )1 7 . Harbor FD BD ~D INSTL (HABDX ) A Dividend J " 1


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FINANCIAL DISCLOSURE REPORT r~ ..... f Ierson R e p o r t i n g Dale of ReportPage 5 of 8 LU C ER O, C AR I , OS F, 05/I 5/2010V I I . INVESTMENTS and TRUSTS .- i . . .. . .. . .. . . t ,, e , l . . . .. . .. . , ~ o , , , ~ , , , . l, , ,~ e , o , o , e o . , s p o , , , e . , , ,~ a . p . , , d . , o , ~ , i t a , ~ , , ; ~ . , ~ . 3 * 6 0 o ~ ~ , , ,~

N O N E (No reportable inco~ne, assets, or transactions.)

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 i n g ~ Gross value at end ~ 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(including n~gI assets) re~ing permd o f r e p o r t i n g p e r i l e d~-S~--~ ............(6 ..... ..........- - ~ i 7 ~ - ~ 3 . . . . . . . . . . . .~ .........................exempt finn, prio; disclosure ~ C o d e I d i v . . r e in , C od e 2 Method ~ buy, sell [mm/d~yy I Code 2 ; Code 1 I buyer/seller( A - H ) o r i n t . ) U - P ) C o d e 3 ~ e d e m p t i o n ) ~ (J-P) (A-H) ~ ( i f n i v a t

........................................... ~ ................. i .................L~_ L .......... . - _L ............ .............................1 8 . Mmhews lntI FDS Pacific Tiger (MARX ) A Dividend K T1 9 . Payden Invt Emerging Mark ets BD FD A Dividend J T(PYEMX)20. Payden lnvl Group GNMA (PYGNX ) A Dividend J T21. P1MCO Funds Invest Grade Corp BD F D A Dividend K T ....(PGCAX)22. PIMCO H igh Yield fq) ADMIN (PH YAX ) A Divide~d K T23. PIMCO Real Return (PRRD X ) A Dividend L T24. Ishares S&P Small C ap 6(.)0 Index A Dividend K T2 5 . Money Market Fund TDAM US Goverment None J TPort Class A2 6 . Harbor FD H igh Yield Borid Fund (HYFIX ) A Dividend J T Buy . 06/12109 J2 7 . }~ID AMERIFRADF. BR OKERAGE None ; \~C OU NT2 8 , Diamond Trnst Series I COM (DIA) A Dividend K T29. Shares Boxx & 1NVTO P INVES FI) (LQI)) A Dividend K TJ0, PIMCO Corp Oppor tuni ty Fund Closed End A Dividend J T(PTY)3 I, Powershares QQQ (QQQQ ) A Dividend K T3 2 . SFDII TR Unit Set 1 (SPY) A Dividend K T

3 3 . Vanguard Msci US MID Cap 450 INDE X A Divhlcnd J T(vo)3 4 , Diamond Hill FDS L ong-Short FI) CI A A Dividend Sold 06/09/09 K A


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FINANCIAL I)ISCLOSURE REPOR T N .... of Person Reportirig D a t e ~ ) 1 ~ " R e p o t !Page 6 of 8 L U C E R O , C A R L O S F . 05/15/2010

V I I . I N V E S T M E N T S a n d T R U S T S -. , , e o , , , , , ~,e, transact ions (h,ch.les those of spot tse and dependent ch i ldren; see pp. 34- 60 ~]" f i l ing instruet ions.):~ -] NONE (No reportable income, assets, or transactions.)

D e s c r ~ p u o n a t A s s e ~ s Income during [ G ro s s v a lu e a t e n d 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/including trust assets.} [ reporti~g period [ of ceporti~g period ...........~ P l a c e " ( X ) " a f te r e a c t ~ a s s e l A m o u n t T y p e ( ~ .g . , Value { V a l ue ] y p o ( e . g . , D a t e V alue Ga n I d e n t i ty o f~ e x e m p t f ro m p r i o r d i s c lo s u r e C o d e ] d i v , , r e a r , ~ C o d e 2 ~ Method buy, sell .... m / d ~ V y y C o d e 2 Code ] ~ buyer/seller~ ( 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

3 5 . Leuthold (?ore Investments FD (LCOR X ) A Dividend K T36. PIMCO T otal Re, Fd Admio A DividerKl K T37 . Money Market Fund Dividends TDAM U S None ,1 T

Goverment Pot, Class A3 . 3 . Vanguard Con, Sees FD SII BEN INT None J T see # 639. Fidelily Advisor Set V [~loaling RT H I INC None K T B uy 06/~)/09 KFD Retail (FFRHX )40. ~ C H A R ] ,E S S C H W A B & C O , I N C . NoneB R O K E R A G E A C C O U N T41. --SCHW AB MUNI MONEY FUND J T42. --EQUITABLE t.. tI:E ASSURAN CE D Dividend M W See #2SOCIETY--ANNUIIY43. --SAFECO LIFE INSURANC E D Dividend M W .See # 2COMPANY--ANNUITY: 1 4 . - .C O L O R A D O B O N I ) SH A R E S E DivMer~d N T45. LCM 3, LLC A Distribution J S See # 546. Vie ) ) C l a r o Energy, LLC None J U B uy 0 2 1 2 4 1 0 9 .l

t. hwmnc Gairt Co,:les: A = $ 1,000 or less B =.$ LOOt - $2,500 C =$2.501 - $5,~0 D ~$5,~1 - $15,~ E =$ 15,~1 - $50d~)0


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N a m e o f P e r so n R e p o r ti n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTPage 7 of 8

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS,#1 . Assets over $I0 ,000 va lue consist o ranch, land , water rights , ex luipment, l ivestock and re la ted proper ty .#2. Assets ov er $10,000 value consist of law parmership income earned prior to June 30, 1995 in the form of armuities. For tax purposes, annuity income isreported by CFL, P.C. i own 100% of the stock of "Carlos F. Lucero, PC" however the assets orthis corporation include only a bank account for which the valueand incon~e amounts are less than the required reporting amounts, i.e. the value is less than .1;5,000 and the income earned is less than $ 200. This corporation doesreceive income in the form of an annuity and is reported in Part l!l.#3. Assets over $10,000 value consists of mutual funds. LCM, lnc s a corporatio ~ owned by The assets include a bm~k account, certificates of deposit,a money markel account, and Colorado Bondshares mutual fund, .#4. Land was purchased on January !, 2003 for $50,17,1 from the estate of Maria Medina, property is subject to mo,tgage (part VI, L ine I ).#5. Assets of LCM 3, LLC consist of oil/gas investments through Avanti Exploration, LLC and are believed to be worthless at the close of the year. Inco~ne in2009 was the result of refunds c,t prior year fees.#6. Vanguard Cony Sees };D SII BEN 1NT line 38 of section 7 was not listed in the previous year report in error. This fund was purchased 12/10/2008 value code


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FINANCIAL D ISCLOSURE REPORT [ N a m e o f P e r s on R e p o r ,i n g D a t e , if R e p o t !Page 8 of 8] L U C E R O , C A R L O S F .

05/15/20!0

IX. CERTIFICAT ION.1 certify that all information given above (including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my k nowledge and belief, and that any iuformation not reported w as withheld because it met applicable statutnryprovisions permitting non-disclosure.1 fnrther certify that earthed income hom outside e~nployment and honoraria and the ac ceptance of gihs which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regnlations.

Signature

NOTE: ANY I NDI VI DU AL W H O K NO W I NGL! t AND W I LF U LLY F ALS IF I ES OR F ALLS TO F I LE TH I S R EP OR T M AY B E S U B J EC T TO C I V I LAND CRIMINAL SANCT IONS (5 U .S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Finm~cial DisclosureAdministrative O[[ice of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Carlos F Lucero Financial Disclosure Report for 2009

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