c@ »w . fnr t4e weut4 tirruitj ) lj 1 m 0 fi\.. luiteh tutes tnurt nf appeus . c@ »w . fnr t4e...

15
C ( J( ' m 0 Fi\e. luit.h :tut.s (nurt nf App.ul C@ lW . fnr t4. w.ut4 (irruit 1823 STOUT STREET DENVER, COLORADO 80257 CARLOS F. LUCERO 303-844-220 CIRCUIT JUDGE FAX 844-2201 May 18, 2006 SEF INITIATD AMENDME N T Committee On Financial Disclosure Administrative Offce of the United States Courts .. = One Columbus Circle, N.E., Suite 2-301 Washington, D.C. 20544 C , . o- (Z = 0 :: - ; m 0 c: :z - - Ladies and Gentlemen: OJ . , ) - < m 0 ... It is my understanding fom a conversation with the staf of the Cofmitte following receipt of Chairman Ortrie D. Smith, dated May 16, 2006, that judging at a moot court competition sponsored by a law school is an "expense paid seminar" that requires reporting on Section IV of our Financial Disclosure Statements. This has not been my previous understanding of the rule or the examples provided. Enclosed in quadruplicate are amended parts IV to this year's Financial Disclosure, as well as amended parts IV fr the reporting years 2000, 2001, 2002 and 2004. CFL/sm enclosures

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Page 1: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

CJ

(/)

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'1

m

0

Fi\e..

luit.eh tut.es (!tnurt nf App.euls CC@ lf»W .fnr t4.e w.eut4 (!tirruit 1823 STOUT STREET

DENVER, COLORADO 80257

CARLOS F. LUCERO 303-844-2200 CIRCUIT JUDGE FAX 844-2201

May 18, 2006

SELF INITIATED AMENDMENTCommittee On Financial Disclosure

Administrative Office of the United States Courts ......,=

One Columbus Circle, N.E., Suite 2-301 Washington, D.C. 20544

CJ , ..,o-(J)Z°

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Ladies and Gentlemen: OJ> .., , )>

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It is my understanding from a conversation with the staff of the Coffimitte following receipt of Chairman Ortrie D. Smith, dated May 16, 2006, that judging at a moot court competition sponsored by a law school is an "expense paid seminar" that requires reporting on Section IV of our Financial Disclosure Statements. This has not been my previous understanding of the rule or the examples provided.

Enclosed in quadruplicate are amended parts IV to this year's Financial Disclosure, as well as amended parts IV for the reporting years 2000, 2001, 2002 and 2004.

CFL/sm enclosures

Page 2: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

AND

SOURCE DESCRIPTION

m o

:n

('")

< )> m 0

3.

AMENDED

FINANCIAL DISCLOSURE REPORT

Page 2of9

Name of Person Reporting

LUCERO, CARLOS F

Date of Report

5/18/06

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-U of instructions.)

A. Filer's Non-Investment Income

(K] NONE (No reportable non-investment income.)

SOURCE TYPE INCOME (yours, not spouse's)

I.

2.

4.

5.

B. Spouse's Non-Investment Income - I/you mre married during any portion of the reporting year, complete this section.

(Do/Jar amount not required except for honoraria.) ,._,CJ =>

(K] NONE (No reportable non-investment income.) =

SOURCE AND TYPE

I.

(/) ("") , .,., o-U>Z c::)> ;oz

OJ;> ... .

,.,

:::0er

::;;:::: m:x>--< (") ..0 m

-

N

2.

3.

4.

5.

IV. REIMBURSEMENTS -transportation, iod glng,food, entertainmenL

(lnc/ude.r t hose to spouse and dependent children. See pp. 25-27 ofinstructions.)

0 NONE (No reportable reimbursements.)

I. Duke University Law School Moot Court Competition

2. University of Pennsylvania Law School Participation in Latin American Law School Association Program

3. Cornell University Law School Moot Court Competition

4. Yale University Law School Moot Court Competition

5. George Washington University Law School Participation in Symposium on the Legacy of the Rehnquist Court

6. University of California at Los Angeles Moot Court Competition

Page 3: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

SOURCE DESCRIPTION

0 (/)

§5 = 111

SB:;;; l> < m -

rri N

AMENDED2004 FINANCIAL DISCLOSURE REPORT Page 2 of9

Date of Report Name of Person Reporting

LUCERO,CARLOSF 5/18/06

III. N 0 N-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-U of instructions.)

A. Filer's Non-Investment Income

[KJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

INCOME (yours, not spouse's)

2.

3.

4.

5.

B. Spouse's Non-Investment Income - If you ,..re married during any portion of the reporting year, comp/eu this section.

(Dollar amount not required except for honoraria.)

(gJ NONE (No reportable non-investment income.) ,.._..,= = <:;}-SOURCE AND TYPE 0 ;o3:::: . ...,, ;:i:,..o- rn

(/) :z:: !. -< (')

-Drrio -2.

3. 2]r-

4. -'

5.

IV. REIMBURSEMENTS - transportation, lodging.food, enUrtainment

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

0 NONE (No reportable reimbursements.)

I. American Bar Association Participation with Justice Breyer, et al., on the ABA Commission program to Commemmorate the 50th Anniversary of Brown v Board of Ed.

2.

3.

4.

5.

6.

Page 4: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

TYPE

SOURCE DESCRIPTION

= (/)

fTI("')

....., CJ

(yours, not spouse's)

AMENDED2002 Date of Report Name of Peno a ReportingFINANCIAL DISCLOSURE REPORT

Page 2 of9 LUCERO, CARLOS F 5/18/06

JIJ. NON-INVESTMENT JN COME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

(RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME

I.

2.

3.

4.

5.

;:o m

B. Spouse's Non-Investment Income - I/you""" married during any portion of the reporting year, comple this section. () (Dollar amount not required except/or honora fa.)

rn [Kl NONE (No reportable non-investment income.)

-

< SOURCE AND m

0 I.

.......,

0-CJ :s:: , ., ;;:,,.. o- -<(/) z c::l> ::oz _Q

OJ> )>-., ,

fTI N

2.

3.

4.

5.

JV• REIMBURSEMENTS - transportation, /odging,food, entertainmen

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

0 NONE (No reportable reimbursements.)

I. Cornell University Law School Moot Court Competition

2.

3.

4.

5.

6.

Page 5: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

SOURCE

SOURCE DESCRIPTION

e """" =

rri (")

C)

(/) =- ;:o(") . .....,

3:' m::i::.. a- -< ()cn:Z c:: .l>

m::0 :e: ..0 -0.l> }> < >Jr- m-.l

0Pl

AMENDED2001 Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2 of9 LUCERO, CARLOS F 5/18/06

III. NON-INVESTMENT INCOME. (Reporting individual andspouse;supp.17-14 of instructions.)

A. Filer's Non-Investment Income

[KJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

5.

B. Spouse's Non-Investment Income - If you re married during any portion of the "porting year, complete this section.

(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

AND TYPE

1. N -J

2.

3.

4.

5.

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE (No reportable reimbursements.)

1. University of Southern California Law School Moot Court Competition

2.

3.

4.

5.

6.

Page 6: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

AND TYPE

SOURCE DESCRIPTION

(/)

3.

2000 FINANCIAL DISCLOSURE REPORT Page 2of9

AMENDED N2me of Person Reporting Date of Report

LUCERO, CARLOS F 5/18/06

III. NON-INVESTMENT IN COME. (Rtporting individual QJld spouse; set pp. 17-14 of instructions.)

A. Filer's Non-Investment Income

[KJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

].

2.

4.

5.

B. Spouse's Non-Investment Income - IJyou were married during any portion of the reporting year, complett this section.

(Dollar amount not required except/or honoraria.)

NONE (No reportable non-investment income.)

SOURCE

I.

2.

3.

4.

5.

D

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL

(includes those to spouse and dependent children. See pp. 25-27 of instructions.)

NONE (No reportable reimbursements.)

'

::u CJ = m , ,, :I> o- -< ()(f)Z cl> rn:DZ _o -rrio

<Op )> ,,, rn ,,

0CJ1-•1 N

__J l. Notre Dame University Law School Moot Court Competition

2. George Washington University Law School Moot Court Competition

3. American Bar Association Appellate Judges Planning Conference

4.

5.

6.

Page 7: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

PARTIES AND TERMS

' c .. . ·-

f±)

Report Required by the Ethics AO JO FINANCIAL DISCLOSURE REPORT

in Govemment Act of 1978Rev. 112006 FOR CALENDAR YEAR 2005 (5 V.S.C. opp.§§ IOI-I I I)

I. Person Reporting Oast name, lirst, middle Initial) l. Court or Organization 3. Date of Report

LUCERO,CARLOSF US COURT OF APPEALS-I OTH CIR 05/16/2006

4. Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges Indicate full- or part-time)

ARTICLE Ill JUDGE-ACTIVE D Nomination, Date

D Initial Annual D Final

01/01/2005 to

12/31/2005

Sb. D Amended Report

7. Chambers or Office Address

1823 STOUT STREET

DENVER, COLORADO 80257

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Oflicer Date

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have 110 reportable i11formalio11. Sign 011 las/ page.

I. POSITI 0 NS. (Reporting indMdual only; see pp. 9-13 of Instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. PRESIDENT & DIRECTOR CARLOS F. LUCERO, PROFESSIONAL CORPORATION

2.

II. AGREEMENTS. (Reporting individual only; see pp. U-16 of instructions.)

NONE (No reportable agreements.) [KJ

(1') ;;:'.>r· .-.,,

.. -

..c_: f"lr'1

Page 8: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

SOURCE DESCRIPTION

FINANCIAL DISCLOSURE REPORT

Page 2 of9

Name of Person Reporting

LUCERO, CARLOS F

Date of Report

05/16/2006

III. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-14 of instructions.)

A. Filer's Non-Investment Income

IB"J NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

IB"J NONE (No reportable non-investment income.)

SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, lodging.food, entertainment

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

IB"J NONE (No reportable reimbursements.)

Page 9: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

SOURCE DESCRIPTION

CREDITOR DESCRIPTION VALVE COPE

Dale of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page3of9 05/1612006LUCERO, CARLOS I'

V• GIFTS. (Jncludesthose to spouse and deper1dent children. See pp. 28-31 of instructions.)

fKJ NONE (No reportable gifts.)

NONE (No reportable liabilities.)

VALUE

VJ. LJABJLJTJES. (lllc/udes those of spouse and dependent children. See pp. 32-34 of instructions.)

D

I. ESTATE Of' MARJA MEDINA INSTALLMENT NOTE TO PURCHASE 1/2 INTEREST I K ..RIO ARRIBA COUNTY, N.M.

2.

3.

4.

5.

Page 10: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

(I) (1) (I)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 4 of9 05/16/2006LUCERO, CARLOS F

VII. INVESTMENTS and TRUSTS - income, varue, transactions (lnc1ut1es those of the spouse and dependent children. see PP· 34-s1 of filing instructions)

D NONE (No reportable income, assets, or transactions.)

A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

1f not exempt from disclosure

(2)

Date (3)

Value (4)

Gain (5)

Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private transaction)

(2) (2) Place "(X)" after each asset

exempt from prior disclosure

OMMERCIAL BUILDING, OSA COUNTY, CO

2. ARTMENTS; ALAMOSA CO TY,CO

3.•1/4 SECTION FARM LAND; CONEJOS COUNTY, CO

4. SINGLE UNIT RENTAL. ALAMOSA COUNTY, CO

Amount

Code I (A-H)

E

E

A

Type (e.g. div., rent,

or int)

Rent

Rent

Rent

None

Value

Code 2 (J-P)

M

M

K

K

Value

Method

Code 3

(Q-W)

w

w

w

w

Type (e.g.

buy, sell,

merger,

redemption)

SEE* 4

5. 112 INTEREST RIO None ARRIBA COUNTY,

6. VACAANT LOT; JEFFERSON COUNTY, CO

7. LOS HERMANOS LUCEROS, LTD PARTNERSHIP (14% INTEREST)

8. CARLOS F, LUCERO, P.C. (100% STOCK)

9-CM, INC. (100% MUTUAL F S)

10. TD WATERHOUSE, IRA BROKERAGE ACCOUNT

11. -DWS A FLAG INVESTORS COMMUN.

12. --DWS A FLAG INVESTORS COMMUN.

13. --DWS A MICRO CAP

14. -EMERALD BANKING & FINANCE

15. --ICON HEALTHCARE FUND

16. --ICON HEALTHCARE FUND

17. -SHARES MSC! EMERGING MARKET INDEX

L R SEE *5

None L w

E Dividend M u SEE*!

E Dividend J u SEE *2

E Dividend 0 T SEE *3

BUY

SELL

SELL

SELL

E Dividend J T BUY

BUY

SELL

01/11 K

03107 K

01/11 K

02/23 L A

02/24 L

03/08 K

03/29 L

I. Income Gain Codes: A =$1,000 or less B =$1,00 I - $2,500 c =$2,501 -$5,000 D=$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 =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M=Sl 00,001-$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0=$500,001-$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessment

U =Book Value W=Estimated

Page 11: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

200C

200<

200(

200(

FINANCIAL DISCLOSURE REPORT

Page 5 of9

Name of Person Reporting

LUCERO, CARLOS F

Date of Report

05/16/2006

VII. INVESTMENTS and TRUSTS - income, valtu, transactions (includes those of the spouse and dependent children. Su PP· 34-57 of filing instructions)

D NONE (No reportable income, assets, or transactions.)

A.

Description of Assets

{including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.

Transactions during reporting period

{I) Amount

Code I

(A-H)

(2) Type (e.g.

div., rent,

or int.)

{I) (2) Value Value

Code 2 Method

(J-P) Code 3

(Q-W)

(I) Type (e.g.

buy, sell,

merger.

redemption)

Ifnot exempt from disclosure

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code 1 buyer/seller

Day (J-P) (A-H) (if private

transaction)

18. -!SHARES MSC! JAPAN FUND BUY 11/08 L

19. -!SHARES RUSSELL 1000 A Dividend L T BUY 06/03 L GROWTH INDEX

20. -!SHARES S&P LATIN AMERICA SELL 04/15 K 40INDEX

21. --!SHARES S&P LATIN AMERICA SELL 03/23 K 40INDEX

22. -!SHARES S&P LATIN AMERICA BUY 06/03 K 40INDEX

23. -!SHARES S&P LATIN AME RICA SELL 10/20 L D

40INDEX

24. -RYDEX 1 INVERSE RUSSELL BUY 08/25 L

25. --RYDEX 1 INVERSE RUSSELL SELL 08/31 L

26. --RYDEX 1 INVERSE RUSSELL BUY 10/05 L

27. -RYDEX 1 INVERSE RUSSELL SELL 11/02 L

28. -RYDEX 1 SMALL CAP GROWTH BUY 06103 L

29. -RYDEX 1 SMALL CAP GROWTH SELL 08/25 L c

30. --RYDEX 1 SMALL CAP GROWTH BUY 11/02 L

31. -RYDEX I SMALL CAP FUND BUY 08/31 L

32. -RYDEX 1 SMALL CAP VALUE SELL 10/05 L

33. -SUN AMEREICA A FOCUS BUY 02/23 L MULTICAP VALUE FUND

34. -SUN AMERICA A FOCUS SELL 04/15 K MULTICAP VALUE FUND

I. Income Gain C-Odes: A =$I ,000 or Jess B =$1,001 - $2,500 c =$2,501 -$5,000 0 =$5,001 -$15,000 E =$15,001 - $50,000

(See Columns BI and 04) F =$50,00 I -$I 00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns CJ and 03) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 n $5,000,001 -$25,ooo,ooo

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R ost (Real &tate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal Y=Other S =Assessment

U =Boole Value W =Estimated

Page 12: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6 of9 0511612006LUCERO, CARLOS F

VII. INVESTMENTS and TRUSTS - income. varue, transactions (inclulks those oflhe spouse and dependent children. see PP· 34-57 offuing instructions)

D NONE (No reportable income, assets, or transactions.)

A. D. Description of Assets Transactions during reporting period (including trust assets)

Place 11(X)" after each asset Type (e.g. exempt from prior disclosure buy, sell,

merger,

redemption)

B. c.

Income during Gross value at end of

reporting period reporting period

(1) (2) (I) (2) Amount Type (e.g. Value Value Code I div., rent, Code 2 Method

(A-H) or int.) (J-P) Code3

(Q-W)

(1) Ifnot exempt from disclosure

(2) Date

Month-Day

(3) Value

Code 2

(J-P)

(4) Gain

Code 1

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

35. -SUN AMERICA A FOCUS TECHNET

SELL 02123 L

36.•TD WA TERHIOUSE BROKERAGE ACCOUNT

37. --BRAZOS MUT FDS MICRO CAP PORTFOLIO CL Y

A Dividend SELL 05113 K A

38. -DIAMOND HILL FOCUS LONG

SHORT FUND CL A A Dividend K T BUY 02/25 K

39. -EMERALD MUTUAL FUNDS SELECT BKG & FIN FD CL A

40. -HARRIS ASSOC INVT TR-OAK.MARK. SELECT FUND

41.-HUSSMAN INVT TR-STRATEGIC GROWTH FUND

42. -ICON FUND-LONG/SHORT FUND CL!

43. -ICON FUND-HEALTHCARE FUND

44. --LEUTHOLD GRIZZLEY SHORT FUND

45. --LEUTHHOLD GRIZZLEY SHORT FUND

46. -LEUTHHOLD CORE INV FUND

47. -PIMCO A ALL ASSET FUND

48. -PIM CO A ALL ASSET FUND

49. -RYDEX SER FD-INVERSE

SMALLCAP FUND CL H

50. liHARLES SCHWAB & CO, INC. BRO RAGE ACCOUNT

51.-FIRST DATA CORPORATION

A Dividend SELL

A Dividend SELL

c Dividend K T

A Dividend SELL

A Dividend K T

BUY

SELL

c Dividend L T BUY

A Dividend BUY

SELL

A Dividend K T BUY

A Dividend SELL

02/23 K A

10/13 L c

10/13 L A

10/26 L

12/13 K

10/17 L

06/02 K

12/12 K

12/30 K

04107 K c

J. Income Gain Codes: A ""'$1,000 or less B =$1,001 -$2,500 c=$2,501 -$5,000 D=$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 =$1,000,001 -$5,000,000 H2=More than $5,000,000

2. Value Codes J=$15,000or less K=$15,001 -$50,000 L=$50,001 -$100,000 M =$100,001 -$250,000

(See Colwnns Ci and 03) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001-$5,000,000 P2=$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C 2) Q ==Appraisal v Other S =Assessment

U=Book Value W=Estimated

Page 13: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

B. c.

(I)

c

A.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 7 of9 0511612006LUCERO,CARLOSF

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. see PP· 14-s1 offumx instructions)

D NONE (No reportable income, assets, or transactions.)

Description of Assets Income during

(including trust assets) reporting period

Place "(X)" after each asset Amount

exempt from prior disclosure Code I

(A-H)

52. --SCHWAB 1000 INDEX FUND

(2)

Type(e.g.

div., rent,

or int.)

None

D.

Gross value at end of Transactions during reporting period reporting period

(I) Value

Code2

(J-P)

(2) (I)

Value Type (e.g. Method buy, sell,

Code 3 merger,

(Q-W) redemption)

SELL 05/31 K

If not exempt from disclosure

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

53. EQUITABLE LIFE ASSURANCE D Dividend M w SEE*2 SOCIETY - ANNUITY

54. SAFECO LIFE INSURANCE COMl'ANY -ANNUITY

55. COLORADO BONDSHARES

D

E

Dividend

Dividend

M

N

w

T

SEE*2

56 .• LCM 3, LLC (SEE * 6) None ] u BUY 05128 K

57.

58.

59.

1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns Bl andD4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than$5,000,000

2. Value Codes I =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns CI and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=CashMarlcet (See Column C2) Q =Appraisal V =Other S =Assessment

U =Book Value W=Estimated

Page 14: C@ »W . fnr t4e weut4 tirruitJ ) lJ 1 m 0 Fi\.. luiteh tutes tnurt nf Appeus . C@ »W . fnr t4e weut4 tirruit . 1823 . STOUT STREET DENVER, COLORADO . 80257 . CARLOS F. LUCERO

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 8 of9 05/16/2006LUCERO, CARLOS F

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReporL)

*I. Assets over $ I 0,000 value consist of ch, land, water rights, equipment, livestock, and related propety.

*2. Assets over$ 10,000 value consist oflaw partnership income earned prior to June 30, 1995 in the form of annuities. For tax purposes, annuity income is reported by CFL, P.C.

*3. Assets over$ 10,000 value consists of mutual funds.

*4. House was destroyed by fire on JUiy 25, 2004. Insurance company paid$ 95,206 for damages in 2004 and$ 5,823 in 2005. *5. Land was purchased on January I, 2003 for$ 50, 174 from the estate of Maria Medina. Property subject to mortgage (Part VI, Line I).

*6 Assets of LCM 3 llc consist ofoil/gas investments in Avanti Exploration, LLC.

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0 KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Y BE SUBJECT TO CIVIL

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 9 of9 05/16/2006LUCERO, CARLOS F

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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY I

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