Dean D Pregerson Financial Disclosure Report for 2010 | Dividend | Capital Market

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) Pregerson, Dean D.
4. Title (Article llI judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge, Active

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)

2. Court or Organization Central District of California
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

3. Date of Report 05/25/2011 6. Reporting Period 01/01/2010 to 12/31/2010

5b. [] Amended Report

7. Chambers or Office Address 312 N. Spring Street 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.

I. POSITIONS. (Repo,~i,g inaiviaual onty; see pp. 9-13 of filing instructions.)
[~ NONE (No reportable positions.)
POSITION
1. 2. 3. 4. 5. Advisory Board Member Custodian Custodian NAME OF ORGANIZATION/ENTITY Salvation Army Los Angeles Metropolitan Smith Barney U/CA/UTMA Smith Barney U/CA/UTMA

II. AGREEMENTS. (Reporting inalvlauo~ oniy; se~ ,,. 14-16 of filing instructions.)
~] NONE (No reportable agreements.)
DATE PARTIES AND TERMS

Pre_qerson, Dean D.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filer’s Non-Investment Income
~] NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

INCOME (yours, not spouse’s)

2. 3. 4.

B. Spouse’s Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

~]

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
Self-Employed Consultant/Counselor

1. 12/31/10 2. 3. 4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertai .... ~
(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

~-]

NONE (No reportable reimbursements.)

SOURCE

DATES.

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

V. GIFTS. (Includes those to sp ...... d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.)

CREDITOR
1. 2. 3. 4. 5. MorganStanley Portfolio CreditLine

DESCRIPTION

VALUECODE
K

FINANCIAL DISCLOSURE REPORT Page 4 of 8 VII. INVESTMENTS and TRUSTS - i ....

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

e, value~ t ......tions (Includes those of sp ......

d dependent children; seepp. 34-60 of fillng instructions.)

NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)

B, Income during reporting period ..... (1) Amoum Code 1 (A-H) (2) Type (e:g.. div.,:renL 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 t,e.g., buy, sell, redemption)

D. Transactions during reposing period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 I Code 1 .... (J-P) (A-H) (5) ,Identity of buyer/seller ’ (if private transaction)

Place "(X)" after each asset exempt from prior disclosure

1. 2. 3. ~4. 5.

Smith Barney - Citibank NA South Dakota Bank Deposit Program - Microsoft - Metlife Ins Co of Connecticuit Annuity Smith Barney U/CAiUTMA B A A A A
A A

Closed D Dividend None M N T T

06/30/10

; 6. - Money Market 7. - Intel 8. - Microsoft 9. - Pfizer Inc 10. 11. 12.
13.

Dividend Dividend Dividend Dividend
Dividend Dividend

L J J J
J J

-TimHortons Inc -Wal-Mart Stores lNc - Wendys Intemationallnc
- Fidelity Spartan 500

A A A A A

Dividend Dividend Dividend Dividend Dividend

J J J K

14. - Janus Fund 15. 16. 17. - Janus Global Select - Israel Due 2014 7th Dev B Smith Barney U/CA/UTMA D

1. Income Gain Codes: (See Columns B1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (Sec 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 =Appraisa[ U =Book Value

B =$1,001 - $2,500 G ~$i00106i~ $]i0~0~000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate only) V =Other

C =$2,501 - $5,000 H1 ~$ii000,001 -$5;000;000 L =$50i001 - $100,000 PI =$1,000,001 -$5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 E =$15,001 - $50,000 H2 =Mor~ than $5;000;000 ........ : M =$i00 001 = $250 000 .... F2 =$5,000,001 = $25~000,000 T --Cash Market

FINANCIAL DISCLOSURE REPORT Page 5 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

VII. INVESTMENTS and TRUSTS - income, value, t ......
~-~ NONE

tions (lndudes those of sp ...... d dependent children; seepp. 34-60 of f!llng instructions.)

(No reportable

income, assets, or transactions.)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32.

- Cash & Moeny Market - Intel Corp - Microsoft Corp - Pfizer Inc - Wal-Mart Stores Inc - Fidelity Concord Str Spartan US Equity - Janus Fund Inc - Janus Invt Fd Twenty Fd - Janus Global Select Smith Bamey IRA #2 - Alliancebernstein International Growth A - Legg Mason Partners Aggressive Growth Fd - Legg Mason Partners Appreciation Fund A Fiduciary Cap Pension Prts DDP Smith Barney IRA #1

A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K J J J J J J J K

T T T T T T T T T

A A A

Dividend Dividend Dividend None

J K J J

T T T U

33.. - Citibank NA South Dakota Bank Deposit Pr 34. - GNMA MATY: 2015

A A

Dividend Interest

L J

T T

1. lne0n~6 Gain COdCgi (See Columns BI and[M) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

: A --$ii000 ~ i~ F =$501~) ~ $i001000 ..... J =$15~000 or less N =$250,001 : $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1;00i = $Z500 G ~I001001 ~ $1~0001000 K =$15,001 -$50,000 O =$500,001 : $1,000,000 R =Cost (Real Estate Only) V =Other

E =$t5,001 - $50,000 D ~$5i001 ~ $15,000 C =$2,501 : $5;000 " Hi ~$ii000!~01 ~ ~5;000;006 t~ ~M~i~ thfia $~i000~000 ....... ........ L =$50,00i ~ Sl00,000 ..............
P I =$1,000,00 $5,000~000 ~2 ~$5~000~0~ ~ *~ ~0~000 .........

P4 W =Estimat~

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
---] NONE (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) (2) Amount Type (e.g..

Gross value at end of reporting period (1) (2~ Value Vabae

(1) Type (e.g.,

(2) Date

(3) (4) Value Gain Code 1 (J-P) (A-H)

(5) Identity o£ buyer/seller (if private transaction)

(Q-W)

35. 36. 37. 38. 39. 40. 41. 42. 43.

- CG Capital Markets - Large Cap Value Inv - CG Capital Markets - Small Cap Value Inv - CG Capital Markets - Emerging Markets I~

D A C

Dividend Dividend Dividend

M J L

T T T

Buy (add’l)

06/04/10 06/04/10 06/04/10 07/23/10 06/04/t 0 07/23/10 06/04/10 06/04/10 07/23/10

J K J J K J J K K A A A B

(part)
Buy (add’l) Sold

Sold

(part)
- CG Capital Markets - Internat’l Equity B Dividend L T Buy (add’l)

(part)
- CG Capital Markets - Large Cap Growth A Dividend M T Buy (add’l)

Sold

(paa)
Buy (add’l) A Dividend J T
Matured 08/16/10 K A

Sold

44. - CG Capital Markets - Small Cap Growth 45. 46. 47. 48. 49. 50. - Strips-Tint-US Treasury Maty: 2010 - Money Market - American Express Centurion Bk CD - Capmart Bank CD - GMAC Bank CD - Keybank Nat’L Association CD

A A A A A

Interest Interest Interest Interest Interest

J L L L K

T T T T T

1 inCbme Gaifi C~d~i 2. Value Codes (See Columns CI and D3) 3. Value Meth~ Codes (See Column C2)

A =$i,000 or iess J =SIS,000 or less N =$250,001-$500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$li001 ~ $2;500 K =$15;001 - *50;000 O=$500,001-$1,000,000 R =Cost (Reai Estate Only) V =Other

C =$21501 ~ $5~000 L Z$56;001 ; *100;000: p I =$1~000~06i ~ $5~006~0~ P~ =M6r~ than $50;000;000 S~A~S~ent W =Estimat~

D--$5;001 - $15,000 M =$i00,001 :$250,000 ~ =$5;000,001 L $25,000;000 T ~CaSh Market

E =$15,001 -$50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (]ndicate part of report.)
Asset #15 name changed from Janus Orion to Janus Global Select Fund Asset #23 name changed from Fidelity Spartan 500 Index to Fidelity Concord STR Spartan US Equity Index Fund Asset #26 name changed from Janus Orion to Janus Global Select Fund

FINANCIAL DISCLOSURE REPORT Page 8 of 8

Name of Person Reporting Pregerson, Dean D.

Date of Report 05/25/2011

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 knowiedge 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: S/Dean D. Pregerson

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

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