carlos f lucero financial disclosure report for 2010

8/3/2019 Carlos F Lucero Financial Disclosure Report for 2010

1/8

I A O 10Rev. 1/2011 FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 20 10 Report Required by the E thicsin Government Act of 1978(5 U.S.C. app . .~" 101-111)1 . P e r s o n Report ing (las t nam e, fi rs t , middle ini t ial )LU C ER O , C A R LO S F ,

4. Title (Article 111 | u d g e s indica te ac t ive or senior sta tus;magistrate judges indicate full- or part-time)A R T I C LE I I I JU DGE- A C T I VE

7. Chambers or Office A d d r e s s1 823 S T O U T S T R EETDEN VER , C O 80 25 7

2. Court or OrganizationU S C O U R T O F A P P E A L S - 1 0 T H C I R

3. Date of Report0 5 /1 5 /20 1 1

5a. Report Type (check appropria te type)

] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n the ba s i s o f t he in fo rma t ion con ta ine d in th i s Re por t a nd a nymod ificat ions perta ining thereto, it is , in my op inion, in compliancewith ap p l icab le laws an d r eg u la t io n s .

6. Report ing Period

01/ 01 / 2010to1 2 /31 /20 1 0

R e v i e w i n g O f f i c e r D a t e

IMPORTANT NOTES: 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 . ( R e p o r t in g i n d i v id u a l o n l y ; s e e p p . 9 -1 3 offillng instructions.)~] NONE (No reportable positions.)

2.

3.

4.5.

POS IT IONP R E S I D E N T & D I R E C T O R

N A M E O F O R G A N I Z A T IO N / E N T IT YC A R L O S F . L U C E R O , P R O F E S S IO N A L C O R P O R A T I O N

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] NONE (No reportable agreements.)

DAT~ PARTIES AND TERMS


2/8

FINANCIAL DISCLOSURE REPORTPage :2 o f 8

Name of Person Report ingLUCERO, CARLOS F.

Date o f Repor t05/15/2011

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; see pp. 17-24 of filing instructions.)A. F il er s Non- lnves tm en t Incom e

D (No reportable non-investment income.)ONEDATE SOURCE AND TYPE

1 . Mo n th ly Car los F. Lucero, P.C. - Annui ty paym ents r ece ived for pr ior se rv icesper formed for law f i rm.

INCOME(yours, not spouses)$22,300.00

B . S p o u s e s N o n - l n ve s tm e n t I n co m e - If you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I.

2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

D (No reportable reimbursements.)O N E

2.3.4.5.

SOURCE DATES LOCATIONAmer ican Bar Assoc ia t ion 5/16 - 5 /21 L ojo , E c u a dorAmerican Bar Associat ion 6 /1 3 - 6/1 7 M exic o C ity , M exico

PURPOSEN o n - F J C E d u S e m i n a rN o n - F J C E d u S e m i n a r

ITEMS PAID OR PROVIDEDT r a ns por t a t ion , F ood , L o dg i ngT r a ns por t a t ion , F ood , L o dg i ng


3/8

FINANCIAL DISCLOSURE REPORTPage 3 of 8


Da t e o f R e p o r t0 5 /1 5 /20 1 1

. ~JlPl~. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.

5.

V A L U E

V I . L I A B I L I T IE S . Onctudes those of wouse and dcpe.dent children; see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

3.4.

5.

CREDITORESTA TE O F MA RIA MEDIN A

DESCRIPTIONI N S T A L L M E N T N O T E T O P U R C H A SE 1 / 2 I N T E R E S T I N ~ ~ ~

~ i ~ ~ i - :~ ~ R I O A R R I B A C O U N T Y , N . M .

VALUECODEK


4/8

FINANCIAL DISCLOSURE REPORTP a g e 4 o f 8

N a m e o f P e r s on R e p o r ti n gLUCERn, CARLOS F.

Date of Report05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)NOiNE (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period(1 ) (2) (1) (2) (l) (2) (3) (4) (5 )Place " (X)" af ter each asset A mou nt T yp e (e.g ., Va lue V alue Type (e.g., D a t e V a l u e Gain Identity ofexempt from prior disclosure Code l div ., rent, Code 2 Method buy, sel l , m m /d d/y y C od e 2 C o de l b u yer/se lle r(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-H) (if private

( Q - W ) transaction)

C O M M ER C I A L B U I LDI N G,A LA M O S A C O U N T Y, C OA P A R T M EN T S , A LA M O S AC O U N T Y, C O1 / 4 S E C T I O N F A R M L A N D ;C O N E J O S C O U N T Y , C O

Vacan t Land, Cone jos County Co

F Rent K W

E Rent M W

A Rent K W

N o n e K R

6 .7.

8.

9.

1 0 .

I1.

1/2 INI~EREST IN R IOA R R I B A C O U N T Y , N M~7~7~ VACANT LOT; JEFFERSONC O U N T Y , C OL O S H E R M A N O S L U C E R O S , L T DP A R T i N E R S H I P ( 1 4% I N T E R E S T )C A R L O S F . L U C E R n , PC ( 1 0 0 % S T O C K )

None M

None M

F Distribution M

E Dividend J

QSuU

i ~ L C M, INC . ( 100% MUT UAL F UN D S ) E D i v i de nd NT D A M E R I T R A D E I R A B R O K E R A G EA C C O U N TSPDR Dow Jo ne s (DIA) A Dividend K

See # 4

S e e # 1

See # 2

See # 3

See # 81 2 . P o w ers h a re s Q Q Q (Q Q Q Q ) A D i v i de nd Sold 03/18/10 K D1 3 . Spdr TrUnit Ser 1 (SPY) A Dividend K1 4 . V a ngu a r d F u nds E m e r g i ng Ma r k e t s V i pe r s( V W O )1 5. Prudent Global Inc FD SH BEN INT

(PSAFX)1 6 .

DividendD i v i d e n d K

H a r bo r F D B D F D 1 N S T L ( H A B D X ) A D i v i d e n d J

1 7 . M athe ~vs Intl FDS Pacif ic Tiger (M APTX) A Dividend K

I . Income Ga in Code s : A =$1,000 or less B = $1 ,001 - $2 ,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See ColumnsB1 and D4) F = $50,001 - $100,000 G -$100.001 - $1,000,000 HI -$1,000,001 - $5,000,000 H 2 = More t ha n $5,000,0002. Va lue Codes J =$15,000 or less K = $15,001 - $ 50,000 L = $ 50,001 - $100,000 M = $1 00,001 - $250,000(See ColumnsC I and D3) N =$250,001 o $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 = $25,000,001 - $50,000,000 P4 = M o re th an $50,000,0003 . Va lue Me thod Code s Q =Appraisal R =Cos t (Rea l Es ta te Only) S =Assessment T = C a s h M a r k e t(See C olum n C2) U = B ook V alue V Other W = Est imated

E =$15,001- $50,000


5/8

FINANCIAL DISCLOSURE REPOR TPage 5 o f 8

N a m e o f P e r so n R e p o r t in gLUCERO, CARLOS F.


V l I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , v a l . e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)D NONE (No reportable incom e, assets, or t ransact ions.)

De s c r i p t i o n o f A s s e t s Income during( i n c lud in g t ru s t a s se t s ) r e p o r t i n g p e r i o d

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 div., rent,( A - H ) o r i n t . )

1 8 . Payden lnv t Em erg i ng M arke t s BD FD A Div i dend(P YEM X )1 9. Paydenlnvt Group GNMA (PYGNX) A Dividend

20. PIMCO Funds Invest Grade Corp BD FD A Dividend( P G C A X )21. PlMCO High Yield FD ADMIN (PHYAX) A Dividend22. PIMCO Real Return (PRRDX) A Dividend

23. Ishares S&P Small C ap 600 Index A Dividend24 . Money Market Fund TDAM A Interest25. Harbor FD H i g h Yield Bond Fund (HYFIX)A Dividend26. ~i TD AMERITRADE BROKERAGEACCOUNT27 . S P DR Do w Jo n es (DI A ) A Div id e n d28. Shares Boxx & INVTOP INVES FD (LQD) B Dividend

29. PI M C O C or p Opp or t u n i ty Fund Closed End A Dividend(PTY)30. P o w er sh a re s Q Q Q (Q Q Q Q ) A Dividend31. SPDRrR Unit Ser 1 (SPY) A Dividend32. V a n g u a r d Msci US MID Cap 450 INDEX A Dividend( V O )33. Leuthold Core Investments FD (LCORX) A Dividend

34. PIMCOTotal Ret Fd Admin A Dividend

Gr o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a lu e V a lu eC o d e 2 M e tho d

( J - P ) C o d e 3( Q - W )

J TJ TK T

K T

L T

K T

K T

J T

K

K

J

K

K

J

K

K

TTTTTTTT

(1 )Type (e.g.,b u y , s e l l ,

redemption)

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(2) (3) (4)

D a t e V alue Gainmm/dd/yy Code 2 Code 1

( J - P ) (A-H)

( 5 )Identity of

b u y e r / s e l l e r(if private

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

See # 6

S e e # 9

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 1 and 134) F = $50,001 - $1 00,000 G = $100,001 - $1 ,000,000 H 1 = $1 ,000,001 - $5,000,000 H2 =More than $5,000,000

2. V alue Codes J = $1 5,000 or le ss K = $15,001 - $50,000 L = $50,001 - $ 100,000 M = $ 100,001 - $250,000(See Columns CI and D3) N =$250,001 - $500,000 O ~$500,001 - $1 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4-More than $50 ,000 ,0003. Value Method Codes Q = Appra i s al R =Cos t (Rea l Es ta te Only) S =Assessment T = C a s h M a r k e t(See Colunm C2) U =Book Value V = O t h e r W =Est imated

E =$15.001 - $50,000


6/8

FINANCIAL DISCLOSURE REPORTPa g e 6 o f 8

N a m e o f P e r s on R e p o r ti n gLUCERO, CARLOS F.

Date of Report0 5 /1 5 /20 1 1

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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NO1NE (No reportable income, assets, or transactions.)

A. B. C.De s c r i p t i o n o f A s s e t s Income during Gr o s s v a l u e a t e n d

( in c lu d in g tru s t a s s e ts ) re p o r tin g p e r io d o f r e p o r t i n g p e r i o d(1 ) (2 ) (1) (2) (I)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value Type [e.g.,exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l ,( A - H ) or in t . ) ( J-P) C o d e 3 r e d e m p t i o n )

( Q - W )

T ra n sa c t i o n s d u r in g r e p o r t i n g p e r io d

(2) (3) (4)D a t e V a l u e G a in

m m /d d/y y C od e 2 C o d e 1( J- P ) (A - H )

( 5 )Identity of

b u y e r / s e l l e r(if private

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

3 5. M o n ey M ar ke t Fu n d TDAM A None J S e e # 73 6 . Van guar d Conv Secs FD SH BEN INT None K37 .38 .39 .

Fideli ty Adviso r Ser V Floatin g RT HI INCFD Retail (FFRHX )"~ CH ARLES SCHW AB & CO, INC.BROKERAGE ACCOUNT

--SCHW AB M UNI M ONEY FUND

None K

40 . --EQUITABLE LIFE ASSURANCESOCIETY--ANNUITY41 . --SAFECOLIFE INSURANCECOMPANY--ANNUITY42 . --COLORADO BONDSHARES

D

D

E

Dividend M WDividend M WDividend N T

See # 2See # 2

43 . ~i:i~i.~ LCM 3, L L C None J See # 544 . ~ . ~ . ., 1 V i e n t o C l a r o E n e r g y , L L C None J U

I. Income Ga in Code s :(See Colunms B I and D 4 )

2.Va lue Code s(See Columns C I and D3)

3.Va lue Me thod Code s(See Column C2)

A=$1.000 or lessF =$50,001 - $I00,000J =$15,000 or lessN =$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q=AppraisalU = Book Va lue

B =$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $ 1 ,000,000R = C os t (Re a l Es t a t e Only )V = O t h e r

C =$2,501 - $5 .000H 1 =$1,000,001 - $5,000,000L -$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 -More than $50,000,000S =AssessmentW =Es t imated

D =$5,001 - $15,000H 2 = More t ha n $5,000,000M =$100~001 - $250~000P2 =$5,000,001 - $25.000.000T C a s h M a r k e l

E =$15,001 o $50,000


7/8




V I I I . A D D I T I O 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.)# I . Asset s over $10,000 value c ons i s t o f~ r anch, land, wate r r ights , equipment , l ives tock and re la ted prope r ty he lp in " ~ ..... ~partnershlp~ ~I nc ome w a s de r i v e d f r om t h e s a l e o f l i v e s toc k .#2 . Asse ts over $10,000 va lue consis t of law par tner ship incom e earned pr ior to June 30, 1995 in the form of annui t ies . For tax purposes , ann ui ty income isr e po r t e d b y C F L , P . C . I ow n 100% of t h e s t oc k o f " C a r l o s F . L u c e r o , PC " h ow e v e r t h e a s s e t s o f t h i s c o r po r a ti on i nc l u de on l y a b a n k a c c ou n t f o r w h i c h t h e v a l u ea nd i nc om e a m ou n t s a r e l e s s t h a n t h e r e q u ir e d r e po r t ing a m ou n t s , i .e . t h e v a l u e i s l e ss t h a n $ 5 , 000 a nd t h e i nc om e e a r ne d i s l e s s t h a n $ 2 00 . T h i s c o r po r a t i on dorece ive incom e in the form of an an nui ty and i s r epor ted in Par t I I I .

a mon e y ma r k e t a c c ou n t , a nd C o l o r a do B onds h a r e s mu t u a l f u nd . .#4 . Land was purchased o n January 1 , 2003 for $50,174 f rom the es ta te of Mar ia Medina , proper ty i s subjec t to mor tgage (par t VI , Line I ).#5. Asse ts of LCM 3, LLC con sis t of oi l /gas inves tments through A vant i Explora t ion, LLC and a re be l ieved to be wor th less a t the c lose of the year .#6 As s e t na me c h a nge f r om ( Mone y Ma r k e t F u nd T D AM US G ov e r me n t Por t C l a s s A) on l i ne 2 5 o f t h e 2 009 F D R t o ( Mone y Ma r k e t F u nd T D AM ) l i ne 2 4 2 010F D R .#7 As s e t na me c h a nge f r om ( Mone y Ma r k e t F u nd D i v i de nds T D AM US G ov e r me n t Port C l a s s A) on l i ne 3 7 o f t h e 2 009 F D R t o ( Mone y Ma r k e t F u nd T D AM )l ine 35 2010 FDR.#8 As s e t na me c h a nge f r om ( D i a monds T r u s t S e ri e s 1 C or n D I A ) on l i ne 11 on t h e 2 009 F D R t o ( S PD R D ow J one s D I A ) l ine 11 2 01 0 F D R .#9 As s e t na me c h a nge f r om ( D i a monds T r u s t S e r i e s 1 C om D I A ) on l i ne 2 8 on t h e 2 009 F D R t o ( S PD R D ow J one s D I A ) l i ne 2 7 2 010 F D R .


8/8


N a me o f Pe rs on Re por t ingLUCERO, CARLOS F.

Da te o f Re por t0 5 /1 5 /20 1 1

IX . CERTIFICATION.I c e r t if y t h a t a l l i n fo 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 in 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 re n , i f 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 b 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 rm 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 b l e s t a tu t o r yp r o v i s io n s p e r m i t t i n g n o n -d i sc lo su 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 ts w h i c h h a v e b e e n r e p o r t e d a r e i nco m p l i a n ce ~ v i t h t he p r o v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 35 3 , a n d J ud i c i a l Co n f e r e n ce r e g u l a t i o n s .

Sign a tu re : S /CARLOS F. LUCERO

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 IF I E S O R F A I L S T O F I L E T H IS 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)

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

carlos f lucero financial disclosure report for 2010

Documents