sandra ikuta financial disclosure report for 2009

8/3/2019 Sandra Ikuta Financial Disclosure Report for 2009

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,w ~ 0 FINANCIAL DISCLOSURE R EPORT R e p o t , R e q u i r e d b y t h e E t h i c sin Government Act of 1978R e v . I / n O l O FOR CALENDAR YEAR 2009 (5 u .S , C. a p p . .~ . ~ l O l -I ~ 0I. Person Reporting (last name, first, middle initial) 2. Court or Organization 3t. Dale of Reportlkura, Sandra S, Ninth Circuit 07112/2010

4. Title (Article Ill judges indicate active or neuter status; 5a. Report Type (check appropriate type) t 6. Reporting Periodmagistrate jndges indicate full- or part-time)[] Nomination. Date 01/01/2009

Circuit Judge [] Initial [] Annual [] Final to12/31/20095b. [] Amended Report

7, Chambers or Office Address 8. On the basis otr the information contained in this Report and anymodifications pertaining thereto, il is, in my opinion, in complianceU.S. Court of Appeals - Ninth wi th applicable laws and regulations.125 South Grand AvenuePasadena, California 91105 Reviewing Officer Date

IMPORT ANT N OTES: The instructions accompanying this fbrm must be followe~L Complete all parts,checking the NONE box far each part where you ha~,e no reportable information~ Sign on last page.

1 . P O S I T I O N S . (Reporting individual only; seepp. 9-I3 of filing i ..... tions.)[~] NONE (No reportable positions,)

POSITION NAME OF ORGANIZATION/ENTITYI Trustee #1 Trust #1

I I . A G R E E M E N T S . ( ~ e ~ , o , a . g individual only; see pp. 14-1~ of filing instructions.)[~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS1. t997 OMelveny & Myers Defined Benefit Plan with former law fi~m, no control


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FIN A N C IA L D ISC LO SU RE REPO RT N a m e o f P e r ~ o n R e p o r t i n g Da,e of ReporlPage 2 of 8 lkuta, S a n d r a S . 0 7 / 1 2 / 2 0 1 0

l ll . N O N - I N V E S T M E N T I N C O M E . : R e p o r ,Z n # indiriduaI and s! ..... : seepp. 17-24 o f f i l i n g instructions.)A. Filers Non-Investment Income

N O N E (No reportable non-investment income.)D A T E S O U R C E A N D T Y P E I N C O M E

(yours, not spouses)

t.

3.

B . S p o u s e s N o n - ] n v e s t m e n l I n c o m e - t y , , o u were married during any portion of the reportlng ),ear, complete this sectior~(DolIar amount not required except fi~r honororia.)

~ N O N E (N~ reportable non-investment income.)D A T E S O U R C E A N D T Y P E

1. 2009 self-employment earnings, freelance photographer

2

3

4.

IV. R E I M B U R S E M E N T S - ,~anspo,tat~on,(Includes those to spouse and dependent children; see pp. 25-27 of fiiing instructions.)

NONE (No reportable reimbursements.)S O U R C E D A T E S L O C A T IO N P U R P O SE ITEMS PAID OR PROVIDED

1.

2.3.4.5.


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IN,mef P e r s o ~ R e p o r t in g D ~ o f R ~ p o r ~F I N A N C I A L D I S C L O S U R E R E P O R TPage 3 of 8 o 7 / 1 2 / 2 o l oV . G I ~ S . O.~t.a~.~ ~nos~ tO S~ ...... d a~pendent chltdren; see pp. 2~-3 1 oyf!ling instructions.)

N O N E (No reportable g~s.)SOURCg DESCRIPTION VALUg

I.2.3.4.5.

VI. LIABILITIES. a~-~,~ N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE COD~1. B an k o f Am e~ca Mo~age on rental prope~, Agoura, California M2. Citimo~gage Me~tgage ~n renal property, W est Los Angeles, California M

3. Union Bank Mortgage ~n r~l prope~, W est Los Angeles, Califo~ia M4. Union Bank Mortgage ~n rental proper~, Santa Monica, California O

5.


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F I N A N C I A L D IS C L O S U R E R E P O R T Nam~ of Person Reporting DaCe of Repor,Page 4 of 8 ~ k . ~ a , S a n d ~ a S . 0 7 / ~ 2 / 2 m 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 n c o , , , , v,l,,,, ...... tio,,s tlnclades those of spouse and dependent children; see pp. 34-60 of filing instructions,)N O N E (No reportable income, assets, or transactions.)

A. ..................... B. ~ .... c~ ..... D ,Description of Asse~ In.me d uring ] Gross value at end Transactions ~fing r~ing(including tarsi assets) repo~ng ~fi~ ~ of reporting

~~[ (~) (2) (1) [ (2) (3) ~ (4) ~ (5)Place"(X)"afler~cb~set Ammmt [ T~e(e.g.. [ Value Value T~ (e.g., ~, ~te Value ~ Gain Identi~ ofexem~l~ompfiordisclosure Code 1 ~ div.,rent, [ C~e2 Me~ buy, sell. m~ddiyy Code2 ] C~e I buyer/seller(A-H) ~ or int.) [ (J~P) Code 3 redemption) (J-P) (A-H) (if private

~. (Q-W) [ t ......tion)

1. ~G Direct AccounU (cash equivalent) A Interest J T2. B a n k o f A m e r i ca A Dividend J T

4. -Rental Property, Agoura, California E Rent O W5. -50% interest in rental property, Venice, E Rent 0 WCalifornia6. -50% interest in rental p~operty, W. Los E Rent N WAngeles, California7. -Investment property, K utakai, Hawaii None N W8. -33% interest in rental property, Santa None N WMonied, California9. IRA#2 C Dividend N T1 0 . -Columbia FDS SER Tr 21st Cent~ W Fd CIA1 1 . -John Hancock Classic V alue Fund Class A1 2 . -Oppenheimer Intl Bond Fund Class A

1 3 . -Oppenheimer Global Opportunities Fund

t4 -van Kampen Small Cap Value FD Chuss A1 5 . -Van K ampen Equity Tr Small Cap CI A

1 6 . -Pershing Government Account1 7 . Brokerage Account #1

I. Income Gain Cxxles,: A =$1,000 or less B =$ 1,001 - $2,500 C = 52.501 - $5,000 D =$5,001 - $15,000 E =$15.001 - $50,000(See Columns El I and D4), F = $50,001 - 5100,000 G ~$ 100,001 - $ 1,000,000 H I = $ 1, 00 0, 00 1 - I; 5, 00 0, 00 0 H 2 = M 0~ : I ht ~n $ 5, 00 0, 0~ 02. Val~e Codes l =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ I00,0~0 M = $100,001 - $250,000(See Co|umm CI and D3) N -$250,001 - $500,000 O =$500,0OI - $1,000,000 Pl =51,000,001 . 55,00~,000 p2 =$5,000,001 - ~;25,.000,0~P3 ~$25,000,001 - 550,000,000 P4 =More than $50,000.0003. Value Melhed Codes Q =Appraisal R ~Cosl (Real Estate Only) S =Assess:m~ln T ~Cash Market

(See Column C2) U =Book Value V ~Olher W :~ Estimated


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N a m e o f P e r s o n R e p o r t i n g

[

D a t e o f R e p o t !I N A N C I A L DIS CLOS UR E R E P O R TI lkuta, Sandra S.

07/12/7010age 5 of 8

~ NONE (No reportable income, assets, or transactions.)[ A. B _ C. D .~ription of A~ets ln~me during Gro~ value al end T r a ~ s a c l i o n s d u r i n g r e p o r t i n g ~ r i o d(including t~st asseks) , re~aing ~riod o f r e p o S 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 ~ t ~ A m o u n l : 1 T ~ ( e . g ., Value ~_ (Q-~ValueT y p e ( e . g ., l[ Date Value [Oai~ ~ I d e n t i t y o fe a e m p t fr o m p 6 o r d i sc l o s u r e ~ C e d e I d i v . , r c n [ ~ C o d e 2 M e l h o d b u y . s e l l . m~d~yy Code 2~l C~e I buyer/se er( A - H ) : o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) O-P) ~ (A-H) ~ (ifprivale

1 8 . -500Index Fund Inv B Dividend K T1 9 . -Small-Cap Index Fund Inv A Dividend K T2 0 . American Funds V CSP/ColIege America B Dividend L T

529A2 1 . -Growth Fund of Am erica

2 2 . -The Investment Company of America

2 3 . -Washington Mutual Investors Fund

2 4 . -The Bond Fund Of America2 5 . Brokerage Account #2

2 6 . -First Allied Securities, Inc. Money M arket A Divideod K TAccount2 7 . -Eaton Vance Tax Managed G rowth Fund None Sold 0 6 1 1 9 / 0 91.1 Class A2 8 . -MFS Core Equity Fund Class A None Sold 0 6 1 1 9 / 0 92 9 . -American Funds New Perspective Fund None Sold 06/19/09 .1Class A3 0 . -Putnam Voyager Fund Class B None Sold 06t19/09 J3 1 . -Oppenheimer California Muni Class A D lntfDiv. L T Sold 06/19/09 LOpen End Fund ( p a r t )3 2 . -Van K ampen High Yield Muni CI A C h ~ t e r e s t K T Sold 06/19/09 K( p a r t )3 3 . -Van Kam pen Amer Franchise Fund Class A A Dividend L T Sold 06/19/09 L( p a r t )7 , 4 . -Oppenheimer lntl Diversified FD CL A B Distribution L T Sold 06/19/09 ~(pan)

1. h~com Gain Codes: A =$1,000 or les.s B =$1.0OI " S2,5O0 C = $2,50| - $5,000 ~ D =$5.001 - $ |5 ,000


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F I N A N C IA L D I S C L O S U R E R E P O R T r ~ a , , e o n ~ s o . , e p o ~ i n ~ D a t ePage 6 of 8 J k , t a . Sa n d r a S . 0 7 / 1 2 1 2 0 1 0

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 e o ,, e . ~ f , e . t. ,, ~ , c a o n s a , a ~ d ~ ~ o ~ o ~ ~ ...... ~ dependent children; s e p p . 3 4 - 6 0 of filing instruction&)N O N E (No reportable income, assets, or ~ansactions.)

A~ B. [ C. D,Oe~ription of Assets I~come dufng

/

Gro~ value at end T~nsactlons during re~ing ~riod(i~lud~ng trust assets) re~ing ~riod of repo~ing ~fiod t--~ ..... ~-]) ~) O) (2)

Place "(X)" after each assel ~Amoun~ Ty~ (e.g., , V alue V alue ~ T~e (e.g., Date [ Value Gain Identi~y ofexempt t?om pfor d isclosure ~ C~e I die., rent, Code 2 Method buy, ~ll, mnffd~yy ~ Code 2 C~e I buyer!seller~ (J-P) (A-H) (if priuateA-H) or int.) (J-P) Code 3 redemption) transaction)

35 . -Fidelity Advisor Leveraged Co. Stock CL t A Dividend K T Sold 061t9/09 K I(pa~)36 . -Fideli~ Advisors New Insights Fd CI T "None K T Sold 06119109 K(pao)37 . -Fideli~ Advisors Small Cap Fund Class T None L T Sold 06119109 K

(paa)38 . Flexible Variable UniversalLife Ins A Dividead M Tlncenlive Life39 . -Eq/Common Stock Jndex

40. -EQ/Large Cap Va]ue Plus

4 1 . -Eq/Equi .ty 500 Index

4 2 . -EQ Mid Cap V alue PLUS43. -Eq/BlackRock Bsic V alue Equity44 . -Eq/Black Rock International Value

45. -EQiLarge Cap Growlh Plus46. S er ie s EE U.S, Savi ngs Bon d s A I n t e r e s t J T

I. Income Gain Code~: A ~$1,000 or le~s B =$1,001 - $2.500 C --$2.501 - $5,O00 O =$5.001


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F I N A N C I A L D IS C L O S U R E R E P O R TPage 7 of 8 ~ k u t a , S a .~ r ~ S . 0 7 / ~ 2 / 2 0 1 0

V ill i. A D D ITIO N A L IN FO RMA TIO N O R EX PL A N A TIO N S.Part VI, Line 2:1 have reported a value code for the entire mortgage amount, although 1 have only a 50% ownership interest,Pa~t V], Liae 3: I have reported a value code for the entire mo rtgage amount, although I have only a 33% ownership interestPart VII, Lines 5 and 6:1 have reported the gross value of my 50% interest.Part Vll, Line 8: I have reported the gross value of my 33% interest.Part Vll, Line 39: formerly -Eql.,kllBrnstn Common Stock (name change)


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FINANCIAL DISCLOSURE REPORT N~ of Person Reporting Date of Repo!!Page 8 of 8 Ikuta, Sandra S. 0 7 / 1 2 / 2 0 1 0IX. CERTIFICATION.

I certify that all information given abov e (including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best ol r my kn owledge and belief, and that any information n ot reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.i further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 LI.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WH O KNO W INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMa il signed original anti 3 additional copies to:

Committee on Financial DisclosureAdmin istrative Office of the United States CourtsSuite 2-301One Co lumbus Circle,W ashington, D.C. 20544

sandra ikuta financial disclosure report for 2009

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