Samuel James Otero Financial Disclosure Report for 2009

8/3/2019 Samuel James Otero Financial Disclosure Report for 2009

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~ o to 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 1978Rev. 1/2010 FOR CALENDAR YEAR 2009 (5 u.s .c, app. 101-1!1)I . P e r s o n R e p o r t i n g ( t a s l n a m e , f ir s t , m i d d l e i n i t i a l ) 2 . C o u r ~ o r O r g a n i z a t io n 3 . D a t e o f R e p o r t

O t e r o , S a m u e l J . U . S . D i s t r i c t C o u r t 05/10 /2010

4. Title (Article 111 judges indicate active or senior status; 5a. Report Type (check appro pria te type) 6. Repo rting Perio dmagis t r a te judges indica te fu l l - or par t - t ime)[] Nomination, D a C e 01/01/2009U.S. District Judge, Active [] Initial [] Annual [] Final to12/31/20095b. [] Amended Report

7. Chambers or Off ice Address 8. On the basis of the information con ta ined in th is Report and anymodificat ions per ta ining thereto, i t i s , in my opinion, in compl ianceUnited States District Court with appl icable laws and regulat ions .312 North Spring Street Suite 244-PLos Ange l e s , CA 90012 Reviewing O ff icer Date

IMPO RTA NT NO TES: The i ns t ruc t i ons ac c omp any i ng t hl s f o rm m us t be f o l lowe d. Com ple t e a l l par t s ,checking the NONE box for each part where you have no reportable in formatior~ Sign on las t page.

I . P 0 S I T I 0 N S . ~ R e p o . i . g i n d i v i d u a l only; see p p . 9 - 1 3 of filing instructions.)-q NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1. Co-Trustee Trust #12. Judicial Board Member Association of Business Trial Lawyers3.

1 1 . A G RE EMENTS. m e po , t i ng i ndi ~i d~o t oo t y ; ~ , , pp . t 4 .l~o f y - a ing i ~ , t , ,~ i o , t ~ . )~ NONE (No reportable agreements.)

DATE PARTIES AND TERMS1 . 2 0 0 3 California Judges Retirement Plan; Pension Upon Retirement, Age 632. 1988 ~s Angeles Emp oye~ Refiremen~ Plan; Pension Upon Retiremen t, Age 553.


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]Namef P e r s o n R e p o r t in g J D a t e o f R e p o r tFINANCIAL DISCLOSURE R E P O R TI Otero, Samuel J.

Page 2 ot"7 0 5 / 1 0 / 2 0 ~ 0

I I I . N O N - I N V E S T M E N T I N C O M E . ~ R , p o r , l n g individual and spouse; see pp. 17-24 o.ffiling instructions.)A , F l ie r s N o n - I n v e st m e n t I n c o m eNONE (No reportable non-investment income.)

DATE SOURCE AND TY PE INCOME(yours, not spouses)1.01/2009 Los Angeles Employee Retirement Pension $15,666.002.3.4.

B. Spouses Non-II|vestntenl Income - i f you were m arried during any portion o f the reporting year, com plete this secrio~( D o l la r a m o u n t ~ o t r e q u i r e d e x c e p t f o r h o n o r ~ t r i ~ .)[~] NONE (No r ep o r t a b l e n o n - i n ves t m en t i n co m e . )

DATE SOURCE AND TY PEI. 01/2009 Los Angeles Unified School District2.

3.

4.

I V . R E I M B U R S E M E N T S --transportation, toaging, fooa, e n t e r t u i n , n e n a( ln c l u d ~ " t h o s e t o s p o u s e m ~ d d e p e n d e n t c h i ld r e n : s e e p p . 2 5 - 2 7 t ~ f! li n g i n s t ~ w D o n s , )

~ NONE (No reportable reimbursements.)SO~CE DATES LOCATION P~OSE ITEMS PAID OR PRQVIDED

1. Association of Busine~ Trial 09/3012009 through Colorado gprings, Prog~m Pa~ic ipant meals, hotel, ~s~ation~wye~ 10/04/2009 Colorado2. Association of Busine~ Trial 03~72009 through Ojai, California Board Meeting m~ls , ho te l , t rans~ t i on~wye~ 03~9/2~93,4.5.


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Nam e o f Perso n R ep o rting D ate o f R ep o rtF I N AN C I A L D I S C LO S U R E R E P O R TO t e r o , S a m u e l J .age 3 o f 7 0 5 1 1 0 1 2 0 1 0

V . G 1 F T S . a n ~ l . d e ~ t h o ~ e t o , p o . ~ e o n d d e p e . d e . t c S U d r e n ; , e e p p . : S -3 1 of filing instructions.)[~ NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUEI. L.A. 1.P. lnn of Court Membership $750.002.3.4.5.

V I . L I A B I L I T I E S . (Includes tho~e of spouse a nd d ep end ent children; see pp. 32-33 of filing instructions.)~] N O N E (No reportable l iabil i ties.)

CREDITOR DESCRIPTION VALUE CODEI. S a l l ie M a e S t u d e n t L o a n j

3.4.

5.


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N a m e o f P e r s on R e p o r t in g D a t e o f R e p o r tF I NA N CI A L D I S C L O S U R E R E P O R TO t e r o , S a m u e l J .age 4 o f 7 0 5 / i 0 / 2 0 1 o

V I I . I N V E S T M E N T S a n d T R U S T S - /, . . . . . . . . i . , . t r a n s a c t io n s ( I n c lu d e s t h o s e of sp ...... d d ep en d en t c h i l d r e n ; s e e p p . S 4 - 6 0 o f f ! t i n g instructions.)N O N E (No reportable income, assets, or transactions.)

13.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 T m n s a e ti o n s d u r i n g r e p o r t i n 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 ts ) 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

P l a c e " ( X ) " a f t e r e a c h a s s e t t A m o u n t T y p e ( e . g ., V alue V alue T y p e ( e .g . , Date Value [ Gain [ I d e n t i ty 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 C o d e ! d i v . , r e n t , C o d e 2 M e t ho d buy, sell, m m / d d / y y Code 2 Code I | buyer/seller(A "H )

o r i n t . ) ( J - P ) Code3 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 ) l r a n s a e t i o n )

I. Franklin California Tax Free Inco me Fund A Dividend J T2. Gall iard Stabie V alue (LA Def. Comp.Wash A I n t e r e s t .I TMu tua l L iquid)3. First Investors Cash Management Fund A A Dividend J T Buy 10/26/09 J(brokerage act #1)4. First Investors Investmen t Grade Fund A B Dividend K T B uy 1 0 / 2 6 1 0 9 K(brokerage acct #I)5. First Investors Fund for Income (brokerage A Dividend J T B uy 10/26/09 Ja c c t # 1 )6. First Investors Blue Chip Fund A (brokerag~ A Dividend Redeemed 0 3 / 3 1 1 0 9 J Aa c c t # 1 )7. First Investors Go vernment Fund (brokerage A Dividend J T Bu y 1 0 / 2 6 / 0 9 Ja c c t # 1 )8. Oppenheimer Discovery Fund A Dividend K T9. Oppenheimer Equity Fund A Dividend K T

1 0 . Aviva Life Insurance Strategy Select A Dividend K TII. Great American Life Insurance A Dividend K T1 2 . First Investors G rowth & Incom e Fund (X A Dividend J T Bu y 10/26/09 Jbr. acct # 1)1 3 , First Investors Situations Fund A (X hr. acct A Divideud J T Bu y 08/11/09 J# ~ )1 4 . First Investors Glo bal Fund A (X br. acct A Dividend J T Bu y 10/26/09 J1 5 , First Investors Total Return fund (X hr. acct B Dividend .1 T B uy 10/26/09 J#1 )1 6 . California Ins Tax Exempt Fund (X br. acct B Dividend K T Bu y 06/29/09 K#1 )1 7 . First Investo rs Select Growth Fund A (X hr. A Dividend J T Bu y 10/26/09 Ja c c t # 1 )

I. Inco me G ain Codes: A ~ $1 ,00 o r le ss B =SI,001 - $ 2,500 C =S2,50~ - $ 5,000 D =$5,001 - $ 15,000 E =$15.00t - $50,000(See C01umns B I and D4) F =$50,001 - $100,00(3 G =$ 1 00,~ I - $ 1 ,00 . 000 H 1 = $ 1 ,000 ,001 - $ 5.000,000 H2 =Mo re than $ 5,000.0002. V alue Co des J =$15,000 or less K =$1 5.fl01 - $50,000 L =$50,001 - $100,fl00 M =$ 100,001 - $250,1~0i (See Columns CI and D3) N = $250,0OI - $ 509,000 O = $500,001 - SI,000,000 P l =$ 1 ,0 00 ,0 OI - $ 5 ,0 00 ,0 00 P 2 =$ 5 ,0 00 ,0 01 - $ 2 5, 00 0,0 00P3 =$ 25,000.001 - $50.000,000 P4 =M ore than(See Column C2) U =Book Va lue V =Other W =Est imated


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F I NA N C I AL D I S C L O S U R E R E P O R T N .... f Person Reporting Iage 5 of 7 O t e r o , S a m u e l J . 05/10 /2o~oV 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 , v a l ~ e , t . . . . . ~ o ~ (Includes those of sp ..... d dependent children; ~e p p . 3 4 - 6 0 of f i l ing inst ruc t ion .)

N O N E (No r~ortabte income, assets, or o-ansactions.)A. [ B. C. D .

Description of As~ts ; Income during Gross value at ~nd T~sactions during rc~ing periodtincluding t~st agars) ..... ~ ~ .., of repoSing period

[ l a c e " ( X ) " a f t e r e a c h a s s c ~ Amount TF~ .g., Value ] Value T~ (c.g,, D a t e Value [ Gain I d e n t i t y o fe x c e p t ~ o m p r l o r d ~ s c l ~ u r c ] d"., ~ , Code 2 Method b u y ,

l (A-H) ] orint.) O-P) C~e3 ~demption) (J-P). . . . .

(Q-W)

1 8 . First Investors lntl FuM A (X br. acc t #1) A Dividend K T Buy 1 0 / 2 6 / 0 9 K19. Apple Inc (X brokerage account #2) A Dividend J T Bu y I0/06/09 J20. Bank of Amfca (X "commo n" brokerage A Dividend J T Bu y ~/15/09

account #2 )21, Ford Motor (X"common" brokerage A Dividend K T Bu y 12/02,t09 Kaccount #2)2 2 . SPDR Gold T~st (X "com mon" brokerage B Dividend K T Bu y 1 0 / 2 6 / 0 9 Ka~o u m #2 )23 . B e & s h i r e H a t h a w a y ( X " co m m o n " A D i v i d e n d J T B u y 09/17/09 Jb r o k e r a g e a c c o u n t 0 2 )2 4 . Uait~ S~tes Savings Bond A D i v i d e n d J T2 5 . C h a s e B a n k A c c o u n t J o in t B I n t e r e s t K T2 6 . L . A . F e d e r a l C r e d i t U n i o n A c c o u n t s B I n t e r e s t M T

2 7 . C a l i f o rn i a C r e d i t U n i o n A I n t e r e s t J T2 8 . T r ~ s t # 1 C D i v i d e n d J W

I. income Ga in Code~: A =$ 1,000 Or less 1 ~ = $ 1 . 0 0 [ - $2,.500 C =$ 22.01 - $ 5.000 D =$ 5,1201 - $15,000 E =$15.00 i-


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N a m e o f P e r s on R e p o r t in g D a t e o f R e p o r tF INANC IAL D I S C L O S U R E R E P O R T[ o t e , o , S a m ~ , e ~ a .age 6 of 7 0 . s / ~ 0 ! 2 0 i o

V I I I . A D D I T I O N A L I N FO R M A T I O N O R E X P L AN A TI O N S .

The Trust Fund reported in Section V II item 18 was estab ished by In 2008 and 2009, the trust assets were f~lly distributed. My share was depo sitedin my First Investors and o ther bank accounts.The majority &the "buy" transaction activity for the tint investors trust fund s reported in Section V II are actually exchanges and tran sfers within the first investorsfamily of ~unds. In June of 2009, I deposited ne w mone y into the first inv~to rs aceounls and o pened the Calitbrnia Ins Tax Exempt Fund.In September 2009,:: I opened brokerage account # 2. The stock held in the accunts are repotted in Section VII itmes 19 through 23.In 2009, I received a non-reportable settlement. This sum was depos ited in the first investors and bank acco unts.The legal organizations reported in Section 1 have bank accounts Ihat are maintsined for organization expenses.


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FINANCIAL D IS C LO S U R E R EP O RTPage 7 of 7 o 5 / ~ o / 2 0 ~ o .

I X . C E R T I F I C A T I O N .I certi fy that al l information g iven above (including info rmation pertaining to m y spouse and mino r or dependen t chi ldren, if any) isaccurate, t rue, and complete to the best of m y knowledge an d belief, and that any informat ion not reported was w ithheld because i t met applicable statutorypropuls ions permitting non-disclosure.1 further certi fy that earned incom e from outs ide em ployment and ho noraria and the acceptanc e of gif ts which have been reported are incompliance with the provis ion s of 5 [/,S.C. app. 501 et. seq. , 5 U.S.C. 7353, and Judicial Conference regulations .

Signa ture

NOTE: ANY INDIVIDUAL W HO KNOW INGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRINIINAL SANCTIONS (5 U.S.C. app. 1 04)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Samuel James Otero Financial Disclosure Report for 2009

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