Professional Documents
Culture Documents
AO 10 Rev. 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
[] Initial
7. Chambers or Office Address U.S. District Court 312 N. Spring Street, Room 170 Los Angeles, CA 90012
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 Officer Date
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.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.)
DATE
Matz, Howard A.
IlL NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income ~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
[~
2. 3. 4. 5.
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes those of spouse and dependent children; see pp. 32-33 of filing instructiong)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
~-~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets B. Income during C, Gross value at end
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (2) O) Amount Type (e,g., Code 1 div., rent. (A-H) or int.)
TRUST NO. 3 AllianceBemstein Tax Mged AllianceBernstein Tax Mged AllianceBernstein Tax Mged AllianceBernstein Tax Mged AllianceBernstein Tax Mged AllianceBernstein Tax Mged IRA ONE AllianceBernstein Wealth Apprec AllianceBemstein Wealth Apprec AllianceBernstein Wealth Apprec AllianceBernstein Wealth Apprec AllianceBernstein Wealth Apprec AllianceBernstein Wealth Apprec IRATWO AllianceBernstein WealthApprec A]lianceBernstein Weallh Apprec
Int./Div.
O Sold Sold Sold Sold Sold Buy 01/27/10 04/14/10 04/19/10 07/16/10 10/14/10 12/23/10 J J J J J J
A A A A A
Int./Div.
M Sold Buy Sold Sold Sold Buy 01/27/10 04/14/10 04/19/101 07/16/10 10/14/10 12/20/10 J J J J J J A A A
Int./Div.
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or lcss F =$50,001 - $100.000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 o $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $ 1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $100.000 P I 251,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001- $15,000 H2 =More than $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 T -Cash Markct
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - income, valae, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
Q NOblE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) Amoum Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 (J-P) Method Code 3 (Q-W)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.
AllianceBemstein Wealth Apprec AllianceBemstein Wealth Apprec AllianceBemstein Wealth Apprec AllianceBemstein Wealth Apprec TRUSI" ONE AIlianz AGIC Opport Artisan Intl Black Rock Equity Dividend Fund General Electric JP Morgan Mid Cap JP MorganMid Cap Merger Fund Morgan Stanley Inst. Emerging Markets Permanent Portfolio Schwab Money Fund Selected American Shares
C Dividend N T
J J J J A A
Sold
12/03/10 J
J J J J J
A A A B A
Sold
12/27/10
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F = $ 50,001 - $100,000 J -$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U ~Book Value
B =$1,001 - $2,500 G =$ 100,001 - $1.000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ 1,000,001 - $5,000,000 L =$50,~01 - $ ! 00,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $ 5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 -$50,000
VII. INVE STMENTS and TRU S TS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-6o of filing instructions.)
~]
35. 36. 37, 38. 39. 40. 41. 42. 43. 44. 45. 46, 47. 48. 49. 50. 51.
Walt Disney Fidelity Contra Fidelity Contra Morgan Stanley Inst. Mid Cap Growth Fund Morgan Stanley Inst. Mid Cap Growth Fund Oakmark Intl. Small Cap Fund 1CM Sn~all Company Fund Dodge & Cox Intl. Stock Fund Forward "tactical Growth JP Morgan Strategic Income Fund JP Morgan Strategic Income Fund RS Emerging Markets MLP Alphon Fund Frontier Comm. Corp IRA ROLLOVER Allianz AGIC Opp Artisan Intl. Fund Dividend
J PI
J J J J
B B B B
Sold
12/13/10
Sold Sold
J J J J J
A A A
Buy Buy
01/08/10 07/30/10
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes [See Column C2)
A -$1,000 orless F =$50,001- $100,000 -$15,000 orless N =$250,001 -$500,000 P3 =$25,000,001 -$50,000,000 Q =Appraisal U =Book Value
B =$1,001- $2,500 G =$100,001- $1,000,000 K =$15,001- $50,000 O=$500,001 -$1,000,000 R =Cost(Real Eslate Only) V =Other
C =$2,501- $5,000 HI =$1,000,001- $5,000,000 L -$50,001- $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Eslimated
D =$5,001 -$15,000 H2 =More ~an $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 T =Cash Markct
E =$15,001- $50,000
VII. INVE STMENTS and TRU STS -income, va~ue, transactions (Includes those of spouse and dependent children see pp. 34-60 of filing instructions.)
~] 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 (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) I (5) Identity of buyer/seller (if private transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Dodge & Cox Intl. Stock Fund ICM Sn~all Company Portfolio JP Morgan Mid. Cap Value Fund Merger Fund MS Inst. Emerging Markets MS Inst. Mid Cap Growth Oakmark Intl. Small Cap Permanent Portfolio Selected American Shares Schwab Money Fund Black Rock Equity Dividend Fund Fidelity Contra Fund Forward qactical Growth Fund JP Morgan Strategic Income Fund RS Emerging Mkts UBS E.Tracs Alerican MLP Permanent Portfolio Buy Buy Sold 01/08/10 08/02/10 05/19/10 L L L Sold 03/31/10 J A Sold 10/05/10 J A Sold Sold 01/07/10 01/07/10 L L B D
1. Income Gain Codes: (See Columns BI and 1M) 2. Value Codos (See Columns CI and D3) 3. Value Method Codes (See Column C2)
=$1,000 or less =$50,001 - $100,000 =$15,000 or less =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $ 1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost { Real Estale Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P I =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I00,001 - $250,000 P2 ~$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVE STMENTS and TRUSTS - i.eo,.e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NOI~E (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 (1) (2) Amount Type (e.g., Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mrrddd/yy (3) (4) Value ~ Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Selected American Shares Schwab Money Fund Black Rock Equity Dividend Fund Fidelity Contra Fund TCW Total Return Bond Fund TCW Total Return Bond Fund TCW ~rotal Return Bond Fund TCW Total Retum Bond Fund Forward "tactical Growth Inst. Fund JP Morgan Strategic Income Fund TRUST NO. TWO Oppenheimer M/M Whittier CA Bon Calif. St. G/O Bond 2035 ContraCostaLA Bond UplandCA Bond Cal EDL Fac 5.25%4/1/24 Buy Buy 01/05/10 K 02/22/I 0 K
L L L L K M L L D
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
=$1,000 or less =$50,001 - $I00,000 $15.000 or less =$250,001 - $500,000 P3 =$25.000,001 - $50.000,000 Q =Appraisal =Book Value
B =$1,001- $2,500 G=$100,001 - $1,000,000 K =$15,001- $50,000 O=$500,001- $1,000.000 R =Cost(Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$ 1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$1,000,001 - $ 5,000,000 P4 =More lhan $50,000,000 S =Assessment W ~Estimated
D =$5,001- $15,000 H2 =Mo~ man $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 T =Cash Markct
E =$15.001- $50,000
VII. INVESTMENTS and TRUSTS -ineome, ~lue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (1) Type (e.g., buy, sell, redemption) Transactions during reporting period
(t)
Place "(X)" after each asset exempt from prior disclosure Amount Code I
(A-H)
(2)
Type (e.g., div., rent,
or int.)
(4)
Gain
Code 1 (A-H)
(5)
Identity of
buyer/seller (if private
(Q-W)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. Calif. St G/O 2033 CAEDL Fac5% 10/1/2036 San Bemardino Bond Cal St G/O Bond 2015 Torrance CA Bond Capistrano CA Bond South "lahoe Bonita Canyon CA Bond Cerritos CA Bond Willis CA Bond Cupertino CA Bond Montclair CA Bond Calif. Stwde 5.75% (State Water Dev.) Calif. HFA 5.375% Buy 07/29/10 K Redeemed Redeemed 01/19/10 08/02/10 K K A A
transaction)
100. Bell Gardens 5% 101. TRUSq" NO. 6 102. T1AA-CREF B D Interest Interest L N T T
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See ColumnsC I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50,000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G ~$100,001 - $1.000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L -$ 50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M -$100,001 - $250.000 P2 =$5,000,001 - $25,000,000 T =Cash Markct
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS -i, eo,,e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(1)
Amount Code t (A-H)
(2)
Type (e.g., div.. rent, or int.)
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(s)
Identity of buyer/seller (if private transaction)
(Q-W)
103. Israel Bonds A Interest J T
1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A=$1,000 orlcss F =$50,001- $100,000 J =$15.000 orlcss N =$250,001- $500,000 P3 =$25,000,001- $50,000.000 Q =Appraisal U =Book Value
B =$1,001- $2,500 G=$100,001 -$1,000,000 K =$15,001- $50,000 O=$500,001 -$1,000,000 R =Cost(Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 ~$ 1,000,001 - $5,000,000 L =$50,001 - $ 100.000 P I =$1,000,001 - $5,000,000 P4 -More than $50.000,000 S =Assessment W =Estlmatcd
D =$5,001 -$15,000 H2 =More ~an $5,000,000 M=$100,001- $250,000 P2 =$5,000,001 - $25,000,000 T-Cash Market
E =$15,001- $50.000
IX. CERTIFICATION.
1 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. 1 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544