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Rev. ~/2010

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Orgnntzntioa U.S. Court of Appeals for the Ninth Circuit 5a. Reporl Type (check appropriate type) I[-] Nomination. [] Initial Date [] Annual [] Final

Repot! Required by the Ethics

i, Government Act of1978

(5 u.S.c, app. IOI-111)
3. Date of Report 05/12/2010 16. Reporting Period 01/01,2009 to 12/31/2009

I. Person Reporting (last name, first, middle initial) Bea. Carlos T. 4. Tltle (Article III judges indicate active or senior status; magistrate judges indicate full- or pan-time) Circuit Judge(Active)

5h. [~ Amended Report 7. Chambers or Office Address U.S. Court of Appeals for the Ninth Circuit 95 Seventh Street, Suite 205 San Francisco, CA 94103 II. On the basis of the Information ontained in this Report and any modifications pertalnlng thereto, It is, In my opinion, In compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed~ Complete atl parts,
checking the NONE box for each part where yau have no reportable information. Sign on last page.

I. POSITIONS. tnopor,i,~ ~.d~a,,o~ o,Uy ; ~e Vp. ~-t 3 o~r.~nn~ i.,~,,ion,.)

[--] NONE (No reportable positions.) ~ NAME OF ORGANIZATIONIENTITY

:.

--

.--:
--

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:- "

II. AGREEMENTS. (Reporting individualonly; seepp. 14-16of fl!ing instruction~)

NONE (No reportable agreements.)
DATE I. I123/1990 2.1/23/1990 PARTIES AND TERMS.-.~ Judges Retirement System, State of California (PERS) City and Country of San Francisco Deferred Compensation Plan (Aema)

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Bea, Carlos T.

FINANCIAL DISCLOSURE- REPORT Be,, of P,r,oo R.po,~og Page 2 of 8 I .~,m, CarZ.s T.

IlL NO1N-INVESTMENT INCOME. ~Roloor,l.gi.di~iduoland~
A. Fliers Non-Investment Income NONE (No reportable non-investment income.)

,.t. at Repo~t 0s/l~o~0

DATE
I. 2009 2.2009 SF Judges Retirement

SOURCE AbrD TYPE

INCOME
(yours, not spouses) $78,444.70 $97,193.00

B. Spouses Non-Investment Income - If you were married during an), portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.)
NONE (No reportable non-investment income.) DATE
I.

SQI./RCE AND TYPE

IV. REIMBURSEMENTS - t,,~ponatlo~, toa~in~,~ood, en~.ain~en~

(Includes tho.se to ~pouse ond dependent children; see lop. 25-27 of filing instructions.)

[---1

NONE (No reportable reimbursements.)

SOURCE DATES I123/09 - 1/25/09 ~ Sinai Valley, CA PURPOSE Activity, Professional Association Law teaching Activity, Civic Association Activity, Professional Association ITEMS PAID OR PROVIDED Travel, lodging, food

I.

Federalist Society

2. 3. 4.

Pepperdine University Iteritage Foundation Gruter Foundation

3/19/09 - 3/21/09 4/22109 5/17/09 - 5/I 8/09

Malibu, CA Los Angeles, CA Squaw Valley, CA

Travel, Ioding, food Travel, loding, food Travel, Ioding, food, registration fee

5.

Federalist Society

1 I/11/09 - 1 I/I 5109

Washington, D.C.

Activity, Professional Association

Travel, Ioding, food

FINANCIAL DISCLOSURE REPORT

~S.m~ of Ptrton Rtportint,

Dtt of Report

Page 3 of 8

Bea, Car~os a.

05/lZa010

NONE ~o reportable g~s.) ~ DESCRIPTION

I. 2, 3. 4. 5.

NONE (No reportable liabilities.) CREDITOR 1, Visa cr~it ca~s: Fi~t USA B=k, N.A., per license from Visa USA DESCRIPTION Charges for living expenses, including travel ~d tuition ch~ges NALUE CODE K

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Page 4 of 8

] N.me of Per$ou Reporting

I Ben, Carlos T.

Date of Repert 05/12/2010

NONE (No reportable i~ome, a~xet~, ~r transaction.)

~s~ption of ~scts (including t~t a~ts) Gross value at end of r~o~in8 p~Hod Value Code 2 Value Method T~e (e.g., buy, ~II, T~sactions du~ng reporting period

mp0~ing pcH~ C~ 1 div., ~n~

m~d~ ~ Cod~ 2 [ ~e I ~

Id~fity of buycr/~ller

l, 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. i2. 13. 14, 15. 16.

Dodge & Cox Stock F~d Vaag~a~ Cal. Inter, Tax Exempt UBS Money Fund, Inc. Deposit AJC Franklin Templeton Cal. Tax Exempt Fund CB Franklin Templeton Cal. Tax Exempt Fund LB Cal. St. GO Ambac 5.5% 09 Cal. St. Veteran GO 5.75% 10 Lassen Ca Mun Util Rev FSA 4.5% 11 Los Angeles Co Met Serv 6% 11 San Fran Intl Airport 4% 10 San Mateo Cnty Jr Pwr 3.6% 09 Hummcr/Winblad II Ltd. Part FPA Campus Commons Associates, LLC Ishare FTSELKin Hua Ishare JP Morgan USD Bond Fund: EMB SPDRLehman Intl Treasury Bond: BWX

A A A C A C I C C C C C A A A D l A

Di~dend Dividend Dividend Dividend Dividnd Interest Interest Interest Interest Interest Interest Distribution Distribution Dividend Dividend Dividend

J J J N J

T T T T T Sold Sold Sold Sold Sold Sold 08/03/09 08/03/09 08/03/09 08/03/09 08103109 08/03/09 L L L" L L L A A A C A A

K J

W W Sold 06/10/09 M E

O O

T T

17.

SPDR S&P 500 ETF TR

Dividend

Sold (part)

03/09/09

1. Income Gain Cod~: (S~ Colons B 1 and D4) 2. Vat~ C~e~

A =$1,090 or l~ss F ~$50.~1 - $1 ~.~ J =~1 ~,0~ or I~s

B =$1.0(t I - $2,500 O =$1~.~1 - $1.~,0~ K ~15,~1 - $50,~

C =$2.501 - $5 JX,0 H 1 =11,~,~I - $5,0~.~ I. =~50,~1 - $100,~

D =$5.001 H2 =More M =11 ~,00l

FInaNCIAL DISCLOSURE REPORT

Date of aepo"

Page 5 of 8

nea, Carlos aP"~g I s~e f VenT.

05/1212010

VII. ~ESTMENTS and TRUSTS - ~ ..... t~,, t~nsactlons (lncludes thos of spouse and dependent children; se p~ 34~O of fiHng lnstructlo~.)
NONE ~o reportable income, assets, or transactiot=.)
A. De~nptlon of As~ts (inclu~ng ~t ~sets) Pl~e "(X)" after ~ch ~t exempt f~mpfiordisclosu~ T l [ B. Income d~ng r~o~ing period Type (e.g., div.,r~ orint.) ~ D C A A D B A A A D E A A A A G IRA: US Treasury Note 3.375% 10-15-09 D Dividend Dividend Dividend Dividend Dividend Interest I Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Distribution Interest M M N T T W Sold 04/2!/09 N A N N N N M M M M T T T T T T T T Sold Sold Sold Sold 08/03/09 08/03/09 11/02/09 I 11/02/09 M O N M [ " A A D A Sold 08/09/09 O E C. ~ss value at ~d ofrepo~ng period Value Co~2 (J-P) Value Me~od Code 3 T~e (e.g., buy, sell, r~emplionl D. T~actions during repo~ing ~ ~ D~te ~ Value Gain C~e2 I Code I [ (A-H) I [ (/*P) Idcnti~ of buyer/~ller (ifprlvale Ir~sactio~}

Ampul C~e I ~ (A-~ ~

18. 19. 20. 21. [ 22. ! 23, ~4. 25. 26. 27. 28, 29. 30. 31. 32. 33. 34.

SPDR S&P 500 ETF T~ IsMre MSCI Can~Index FD Ishare MSCI Switz Index FD lshareS&P Global lnfo Tech Index FD Ishare S&P Global Tele Index FD Currency Shares: Australian Dollar Trust SHS Currency Shares: British Pound Sterling Trust SHS Currency Shares: Swiss Franc Trust SHS Currency Shares: Japanese Yen Trust SHS LI.S. Treasury Note 3.75% 11)-15-09 U.S. Trea~xry Note3,625% 10-31-09 lshare S&P Global Fin. Index I Path. DJ UBS Natl Gas Trust SUB Powersshares DBA Agriculture SPDRGold Trust

(See Columns CI end D3)

N Q -Ap~sal U "B~k Value R ~ (Real ~le Only) V ~h~ S -~ssm~ W =E~imated T ~ash Mark~

3. Va~ Mc~ C~ (See Column ~)

FINANCIAL DISCLOSURE REPORT Page 6 of 8

~ameorVer*on Reporting

nea, C~r~o~ T.

Vll. INVESTMENTS and TRUSTS - ~.co~,~ ~t~o, t,..soc,~o.s a.a~4~, ,ho,~o~,vo~se

NONE (No reportable income, ~sets, or tramactions.)
A. ~fiption of As~ (including ~t m~e~) ~ [ [ B. Income during reporting period C. Gross value at end of reining period D. Tmnsactiom during ~ning ~riod

exempt from ~or oi~losu~

Co~ I

div., ~nL

CM 2

Meted (~

bW, ~11,

[m~d~ ~ C~2[ Cod, 1 [

buytr/s*ll~ trmsaction)

35.

IRA:UBS Bank De,sit

A A A D A A A A A D

Intcmt Dividend Dividend Intc~st Intc~st Interest Interest Dividend Dividend Interest

J J J N

T T T T Sold Sold ~121109 L 04121/09 N A A

36. ~: lsh~cs S&P Global IXG 37." " IRA: D~g & Cox St~k Fund 38. 39. 40. 41. ~2. 43. 44. 1~: US Treasuu Note Tip Intl. IRA: US Treasu~ Note 3.375% 10-15-09 l~: US Tre~u~ Note 3.625% 10-03-09 ~: UBS Bank De, sit I~: Ishares S&P Global ~G I~: D~g & Cox Stock Fund 1~: US Trv~u~ Note Tip Intl.

J J J N

T T T T

FINANCIAL DISCLOSURE REPORT

~,me of Person Reporting

D.te of Report

Page 7 of 8

Be,, Carlos T. I

05112/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. ~,~ca~epono,~R,po~

FINANCIAL DISCLOSURE REPORT I ram, of pcr,o. R~po~i.~ Page 8 of 8 I Be,, Carlos r. IX. CERTIFICATION.

05/12/2010 D~t, o~ aepor,

I certify thal all information given above (including information pertaining to m) spouse and minor or dependent ch|Idren, If any) is accurate, true, and complete to the best of my knowledge and belief, and that any information nor reported was withheld because It met applicable statutory provisions permitting non-disclosure. ! further certify that earned Income from outside employment and honoraria and lhe acceptance of gifts which have been reported are in compliance with the provislon~ of 5 U.S.C. app. 501 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature.,

1 MAY 1 2 2010

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

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