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I
I

FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
L Courl or Organization U, S. District Court 5a. Report Type (check appropriate ~’pe) ] Nomination, Date [] Annual [] Fina~

Report Required by the Ethics

0 u.s.c, app. §f lOI lid
[ 3. D~te o{ Report 0~/I 4,’2010 6. Reporting Period 01/01/2009 to 12:31/2009

l, Person Reporting tIast name, first, middle inili~l’} Shubb. William B. 4. Title (A~icle IIl iudges indicate active or senior s:atus: magistrate judges indicate full- ~)r part-tittle) Senior U.S. District Court Judge

[] Initial

5b. [] Amended Report 7. Chambers or Office Address 501 1 Street Suite 14-210 Sacramento, CA 95814 8. On the basis of the information contained in this Repozt and any modifications pertaining thereto, it is. In my opinion, in compliance with applicable laws and regulations. Revles,,ing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be folio,red. Complete all parts, checking the NONE box for each part where you have no reportable informatiog Sign on last page.

I. POSITIONS. ¢u,:o,,i,g i, ui,.iu, o~ o,o., s,, rp. 9-~s of f!lin~, instructions,)
~’] NONE (No reportable positions.) POSITION
1 Adjunct Professor

NAME OF ORGANIZATION/ENTITY
Universi .ty of the Pacific. McGeorge School of Law University of California, Davis, School of Law

2. Adjunct Professor

NONE OVo reportable agreements.) DATE PARTIES AND TERMS

~.

Shubb, William B.

I~INANCIAL DISCLOSURE REPORT Page 2 of 1 1

~ ....

fPe .... Reporting 1 Daleo[Report

Sh,bb, Wi iam g.

04114.’2010

A. Filcr’s Non-Investment Income NONE (No reportable non-im’estment income.) DATE SOURCE AND TYPE IN(’OME
()’ours. not spouse’s)

3. 4.

B. Spouse’s Non-Investment Income - r[~,o. ~e,, married during any portion of the reportlng year, complete th;~ sectior~
tDollar amount not requ red orcept f~r honoraria. )

NONE (No reportable non-investment income,) DATE
I. 2. 3. 4.

SQURCE AND TYPE

IV. REIMBURSEMENTS (Includes throe to .~7~ouse and d~’pendent children, s,’e pp. 25-27 O[~I~ling ir~tructions

NONE (No reportable reimbm:~emenz~.) ~
I. 2. 3. 4. 5.

DATES

LOCATION

PL~PQSE

ITEMS PAID OR PROVIDED

F~INANCIAL DISCLOSURE REPORT
Page 3 of I 1

N .....fPerson Reporting

Date of Report

S~,,bb, William B.

04.’14.;2010

[~]

NONE (No reportable girls.) ~ DESCRIPTION VALUE

1. 2. 3.
.~.

5.

VI. LIAB1 LITIES. ,.c~.a.~ ,~,o~, oz~o ..... d dependent ,bird ....... pp. S2-33 of filing instructiott,.)
NONE (No reportable liabilities.) CREDITOR !. DESCRIPTIQN VALUE CODE

3. 4. 5.

I~INANCIAL DISCLOSURE REPORT Page 4 of 1 1

n ..... fP .....Reporting

l)ateofRepor!

Shubb, William B.

04!14,’2010

NONE (No reportable income, assets, or transactions.)
A Descriplion of Asset~ (including trust a~ct~) " ~ - B. Income du~ng reporting period (I) exempt from prior disclosure (2~ Code 2 (i P) C. Gross value a~ end ol re~mng period ~D Method Code 3 (Q-W) (2) buy. sell ,edcmptior~) D. Transactions during r~rting ~ri~ (I) (2) (3) (4) buyeffscller (ifprvale mmsaction)

Cndc I [ div.. r~, (A-H) ] or int. I

mm;dd’yy C~e 2 [ C~e I (J-P) : (A-H) ::

I.

BANK ACCOUNTS

~~
3.

Bank America (Choking)
Bank America (Maximizer)

A
A

Interest
Interest

K
J

T
T

4.

I st Community Credit Union

A

Interest

6. ANNUITIES 7. 8. American Skandia Ventnre Annuity None None M J T "1

I0.

LIMITED PARTNERSHIPS

I I. Municipal Mortg. & Equity’ 12.
13. RAYMOND JAIvlES IRA

B

Dividend

K

’,%,’

14. 15. 16.
17.

Government Strips Capstead Mortgage R.I Bank Dep. /%. A

None Dividend Dividend

J J

T "1

N .... of Person Reporting

Date of Report [

PageFINANCIAL5 of 1 1 DISCLOSURE REPORT

Sh.bb, William B. [

04/14/2010

VII. INVESTMENTS an d TRUSTS - i. ....... t.e, t .......tiom a.~t~aes those of spouse ~na aep*.aent chaaren; ~e. lW. ~0 of flUng
NONE (No reportable income, c~sets, or transactions.)

A
Des~iption of Assets (including trust assc~s) Place "(X)" after each asset exempt from prior disc[o~re ]

~.
Income during tcpoaing p~iod ~2) ~ Amount Type (c.g, CMe I div., rent. [ (A-H) or int.)

6~ ......................
Gross value at end of reposing period (~) (~) Value Value C~e 2 : Meth~ (J-P) Code 3 (Q-W) ti~ Type (t’.g., buy, sell. redemptionj

O.
Transacl ons du~ng rc~aing ~riod . (~) ~ ~3~ ~ (4) Date Value : Gain .mm"d~yY (_’ode 2 Code I ~ ~ (J-P) (A-H~ ~ [ .........~ ldcnti~’ of buycri~ller (if pdvatc transaction)

:,

I8. 19. 20.

RAYMOND JAMES ACCOUNT # I T

Eagle Muni Cash Trust,tinily known ms Heritage Cash TrustMun Evergreen Strategic Muni Fund

A

Dividend Dividend

J J

A

T

21. ~2. 23. 24.
25.

Franklin CA High Yield Muni Seligman CA Hi YId Muni Van Kampon Hi Yld Muni

C C B

Dividend Dividend Dividend

K L K

T T T

RAYMOND JAMES ACCOL.~T #2

26. 27_
28.

Eagle Muni Cash Trust, fmrly known as lteritage Cash TrusMtmi Alliance Muni Income In~’d CA
Franklin Income Fund Franklin Strategic Income Fund Highland Capital Floating Rate

A B
C C B

Dividend Dividend
Dividend I)t~idend Dividend

J K
L L K

T T
T T T

Sold (part)

05..’26~09

L

29, 30.

3 I. 32.
33.

Oppenheimer Scnior Fltg Rate Van Kampen Equity Income Fund
Citizens Bank 2,55% 6/01/11 CD

A A
A

Dividend Dividend
Dividend

J K
L

-I" T
T Buy 05/26/09 L

34.

Preferred Bank 1.15% 5~28/I0

A

Dividend

L

T

Buy

05/26"09

L

P3 =$25 ~l.O~] - ~50.09~J.OI]fl

P4- More

I~INANCIAL DISCLOSURE REPORT
Page 6 of 1 1 VII. INVESTMENTS and TRUSTS -

f .~ ...... P .....Reporting Shubb, William B.

Date of Report

04/14/2010

~
.

N ONE (~Vo reportable income, assets, or transactions.)

.....

~
’ 36. 37. 38.

~~ .......

~?Income dcr~ng r~Toning ~rh~ (l) (2) Amount Type (cg., ~ Code I div.. renL (A-H) or (I} Value Code 2

c.
Gross value a~ end of reporting ~rit~ Va~ue Method (Q-W} T)pc ~e g., buy, sell.

ff .......
"]ransacdons during rc~in~ period

Des~iption of Assets (including ~st a~ct$) Place "(XI" afi¢~ each assc~ cxempt from prior disclosure

Dale ] Value Gain [ [m~dg’yy :. Code 2 Code I~

IdemiD of buyer/seller transaclion}

WACHOVIA IRA Equally Weighted S&P Fund Dividend J T

A

39. 40. 41. 42.
43.

WACHOVIA ---~ Bank sweep acct. Boeing Chevron
Coca Cola

A A A
A

Dividend Dividend Dividend
Dividend

K K K
K

Z T 11T

Sold (part)

03/30..:09

J

Buy !add’l)

03/30.’09

J

¯ 14. General Electric

A

Dividend

K

45. lntel a6.
47.

A A

Dividend Dividend

K K

"I" T

Proctor & Gamble

48. 49. 50. 51.

IRA -’-] Wachovia Bank Deposit Sweep Dividend Growth Fund Apache Corp. A A A Dividend Dividend Dividend 3 J K T "1" T

I. IncomcGatnCodes:

A -$1.000 or less

B=5;I.e01-$2,50{~

(7 $2.SfH-$s.l)llt}

D=$5.001-S15,000

E ~15.{301-$50.0(R}

p3 =g25.I]00,0(d . $50,000.~30

p.l M~ re t ban .~ 50.0~ 0.if, q0

N.me of P Reporting .....

D.teofl~eport

I~INANCIALpage 7 of 1 1 DISCLOSU~ ~PORT

Shubb. William B.
[ ~. ~ .....

~/14/2010
[ tion.~)

VII. INVESTMENTS and TRUSTS - i~ ........
A. Description of .Assets (including mist as~c~s) Place "{X)" at]or each asscl exempt from prior d~sclosure " ~

dons ilncIud~ those of s~use a~d dependent children: see ~p, 34~0 of filing i .....

NONE (No reportable income, assets’, or transactions.)
B Income dur~g re~alng period q’ype (eg._ div.. rent, or int.) C. :: G~ss value a~ c~d of ~iag period Value Code 2 (J-P) Value Me~ Code 3 T)pe (e.g.. buy sell redemption) D. ~rznsacfions during reporting ~riod

Amount Code 1 [A-H)

[ [)~tc

Value

Gain

I n ~dd, yy ~ Code 2 :~ Code 1 : ~ (J’P’I I (A-H)

den ty of buyer, seller lifprivmc

52. 53.

Sempra En~’

A

Dividend

J

T

54. 55. 56. 57.

IRA/ROLLOVER of tIR-10 Wachovia Bank Sv, ccp Acct. A Dividend J T Sold Sold {par0 Franklin Income Fund C Dividend Dividend L L T T Buy (ztdd’[) 03/24/09 09/29,’09 09..’2%’09 L J J

58. 59. 60.

Equally WeightedS&P 500 Dividend Growth Fund JPM International Value Ftmd

A A A

Dividend Dividend

M K

T T

61. 62. 63. 04. 65. 66. 67. 68.

Abbo! Labs AT&T Boeing Bristol Mcyers Catepillar Chevron Cisco Coca Cola

A B A A B 13 /X A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K K K K K K J K

T T 7 "1 T T T T Buy (add’l) 0~/24/00 1 Buy (add’l) 03/24,’09

FINANCIAL DISCLOSURE REPORT Page 8 of ] 1

~ ...... f P ..... Reporting

Dale of Repol~

Shubb. William U.

04/14/2010

VII. INVESTMENTS and TRUSTS - i .......... l ......... .,io,, (Include~ those of Sp ...... d dependent children; see pp. 34-60 of j~llng instructions.)
NONE (No reportable income, assets, or transactions.) A. Description of Asseu (including ~s~ assct~) Place"(X)" after each asset exempt ~om prior d~s¢losure [ Income during ~ repo~£ng ~riod lAmount ~ Type cg. ] Code 1 ~ div., renl. {A-tt) or int.) Gros~ ~alue at end of re~rting period Value Code 2 ~J-P) Value Methl~ Code 3 Typc (e g., boy. soil rcdcmpt~onl
Tran~clions during reporting peri~

Date ~ Value ~ Gain m~vd~yy Code 2 ’ C~ 1 (~-P] I IA-HI

ldentiD’ of bu)eri~ller (if private

’ 69. [70. 71. 72. 73. 74. 75. 76. ~ 77. 78. 79. 80. 81. ~2. ~ 83. 84. 85.

Comcast Cunoco I~ Pent General Electro Hewlett Packed lntel IBM Johnson & Johnson .~ca~cl-Lucent Microso~ Prater & Ga~nble Scmpra Encr~ Tar~t Wal~ D~sncy Yum Bra~ds Zimmer Holdings BofA t.10% 4:01/10 A

A B A A A B B B A

Dividend Dividend ~ividcnd Dividend ~ividend Dividend Dividend Dividend Dividend K ~

J K[ T Buy ~add’l) 03’24;09 J [

K

K L K 1 T J K J K J [ [ [ [ ~ I

T

[’ T

Buy (add’l)

03i24/09 3

I

Dividend A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Int.,,’Div.

T

Buy (add’l)

03/24’09 J

[

T I

1

I
Buy 03;24/09 K

K

]

T

(See Column C’2)

U = Bt,ok V~t!ue

V - I)t~er

W = ~tlmated

~INANCIAL DISCLOSURE REPORT Page 9 of I 1

NameofP~rson Reporting Shubb, William B. [

Date of Report

04/14/2010

VII. INVESTMENTS and TRU STS - i,,,. ....... i,o. tratt~’actions (Includes those of sp ...... d dependent children; ,seepp. 34-60 o]’fillng instructions,)
NONE (No reportable income, assets, or transactions.)
A Description of Assc’Is (including t~st assets) Place "(X)" after each asset exempt from p~or disclosure B. Income during ft.’porting period C. Gross value at end of re!’x’,rting period Transactions during reporting period

:

:

0) ! t:~
,Amous~t ! C(.,d¢ I (A-H~ : T~pc (e.g., div,. rent, or int.)

o~
Value Code 2 ~J-P’I

Value Method Code 3 (Q-W)

~ .....

(t) ~ (2~ -! (3)

t4)

(5)
ldeml bu.s’ei’~seller (if priva:c transaction)

qype (eg., ] buy. sctl. rode~ption}

Da’.e. , \’able :: Gain mm/dd/y2’.’ i COde 2 Code I (J-P) (A-If) ] ] i ._

86.

CORTS- BMY Squibb 8-1-97 (KNR)

B

Dividend

J

T

87. : 88. 89. 90. 91. 92. ¯ 93. 94. 95.

GE Capital St. Notes 2/18;33 (GED.) GE Capital PINES 6/28/32 (GEA) GECC 6.1’.% PINES 11/15/32 (GEC) Georgia Power Sr. Note,,, I/15’45 (GAH) Morgan Stanley 6.45% Pfd 4/I 5/67 (MSK) SATURNS GE 6% Pfd 3/15:;32 (DKC) Wachovia 6.375%,Pfd 6,’1/67 Wells Fargo Capital 6.25°A, 6q5/67 (F\~T)

t3 B 13 !t 13 B ~3 B

Dividend Di’,’idcnd Dividend Dividend Dividend Dividend Dividend Dividend K K K K K K K T T T T T T T

P3 =$25, W~) (I01 . $50,O(IrLO )0

P4 :More than SSO.OOO.( ((

FINANCIAL DISCLOSURE REPORT Page 10 of 1 1

,~me of Pcrxo~l ReportiBg ]

Date of Report

Shubb, William B.

04/14/2010

[

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~ic~,,~,~,~ojR,~,o,.~
Line 19, Eagle Muni Cash Trust was formerly known as Heritage Cash Trust Municipal. Line 26. EagIe Muni Cash Trust was forrr.erly known as Heritage Cash Trust Muni~:ipal. Line 57, Franklin Incom~ Fund, Column B,(2) was incorrectly listed as "Distribulion" in 2008.

FINANCIAL DISCLOSURE REPORT Page 1 1 of 1 1 IX. CERTIFICATION.

s.~or e~,~o. ~.po,~a.g Shubb, Wi liam B.

04/14/20t0 I DsteorReport

J

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 knowledge 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 ~vith the provisions of 5 U,S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WIlt KNOWINGIoY AND \VILFUIA~Y FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCIIONS (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 2-30 I O11e Columbus Circle, N.E. Washington, D.C. 20544