,40 tO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010
2. Court or Organization U.S. District Court N,D. Cal.
5a. Report Type (check appropriate q,’pe) ] Nomination, Date [] Annual [] Final

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

I. Person Reportlng (last name, first, middle initial) SEEBORG, RICHARD G.

3. Date of Report 4/18/2011
6. Reporting Period 01/01/2010 to 12/31/2010

4. Title (Article Ill judge~ indicate active or senior status; magistrate judges indicate full- or part-time) United States District Judge

[] Initial

5b. [] Amended Report

7. Chambers or Office Address

United States Courthouse 450 Golden Gate Avenue San Francisco, CA 94102

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 inforraation. Sign on last page.

I. POSITIONS. (R,vora, g i.aivU.ot o.{v; ~,o ~,p. 9-is of filing instructlong)
~] NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. tR~vo,,i,g ~] NONE (No reportable agreements.) DATE
PARTIES AND TERMS

Seebor.cl, Richard G.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Dale of Report 4/18/2011

I11. NON-INVESTMENT INCOME. tnepor~.g i.dividuot and~pouse: seepp. IZ-2 oI~iing i.s~.u.io.~)
A. Filer’s Non-Investment Income
[~1 NONE

reportable non-investment income.)
DATE SOURCE AND TYPE
Matthew Bender & Co., Inc. (Book Royalties)

INCOME
(yours, nol spouse’s)

I. 2010 2. 3. 4.

$1,591.32

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

D

NONE (]go reportable non-investment income.)
DATE SOURCE AND TYPE
Not Applicable

I.

2. 3.
4.

IV. REIMBURSEMENTS - tra.sporta,io.. Iodgi.g, Iood, e.,ertai.men~
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE
I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/18/201 I

V. GIFTS. ancludos those to spouse and dependent children; see pp. 28-31 of fillng instructions.)
NONE (No reportable gifts.) SOURCE
I.

DESCRIPTION

VALUE

2. 3.
4.

5.

Vl. LIABILITIES. anctudes those o/spouse and dependent children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5. Wells Fargo Bank

DESCRIPTION
17% of mortgage obligation on rental property, Kamuela, HI

VALUECODE L

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/18/2011

l V I 1. INV ESTMEN TS an d T RU STS - i ........ue, tran~tactions (lncludt.s those ofsp ...... d dependent children; seepp. 34-60 offillng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "t’X)" after each asset exempt from prior disclosure B. Income during reporting period (l) i Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3

D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

(Q-W) I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Morgan Stanley Asset Fund (Money Market) Merck & Co., Inc. Aegon NV ADR Applied Materials Schlumberger Ltd. Scudder Greater-Europe Growth Fund Scudder Latin America Fund Templeton World Fund - Class I Templeton Developing Market Trust Class A Vanguard 500 Index Fund Vanguard Growth Index Fund Vanguard IntemationalGrowth Fund Vanguard U.S. Growth Fund Wells Fargo Checking Account Navin.com (See Part VIII) Emerson Electric John Hancock Regional Bank Fund A B D B A A A A B A A B A A A A Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest None Dividend Dividend PI K J J K J L K J L K K K K J J K
T T T T T T T T T T T T T T U T T

I. Income Gain Codes: (S¢c Columns BI and IM) 2. Value Codes (Sc¢ Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50.001 - $100.000 J =$15.0OO o~" less N =$250,001 - $500.00’3 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,00l - $1.000.000 K =$15.0OI . $50.000 O =$500.001 - $1.000.1~0 R =Cost (Real Estate Only) V =O~her

C -$2.501 - $5,000 III =$1.000.001 - $5.000.000 L =$50.0OI . $100.000 PI =$1,000.001 - $5.O00,000 P4 =More than $50.000.000 S =Assessment W =Estimated

D =$5,001 - $15,000 112 =More than $5,000.000 M =$100.001 - $250.0(~ P2 =$5,000,001 - $25,000,000 T =Cash Marke~

E =$15,0’01 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 1 0

I

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/I 8/2011

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 (t) 121 i Amount Type (e.g., ! Code I div., rent, ! (A-H) or int.) Gross value at end of reporting period O) (2) Value Value Code 2 Method
(J-P) Code 3

Transactions during reporting period (t) Type (e.g., buy, sell,
redemption)

i

(2) (3) (4) Date Value Gain mm/ddiyy Code 2 Code I
(J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

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

JP Morgan Chase (formerly Bank One Corp’, Computer Sciences Corp. Intel Corp Van Kampen Comstock Fund Invesco Special Valve Fund C John Hancock Small Cap Value Fund American Amcap FD American New Perspective Fund American Growth FundofAmerica Van Kampen Global Franchise Fund American W MutualA Fund Allianz Int’l Fund MFS New Endeavor A Fund American Europacific Growth Duke Energy

A A B A A A A A A C B A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J K L K K L L L L K J K

T T T T T T T T T T T T T

J J J

T T T

’33. First Energy 34. Jet Blue Airways

I. Income Gain Codes: (See Columns BI and 12)4) 2. Value Codes (See Columr~.s CI and D3) 3. Value Method Codes IScc Column C2)

A =$1.000 or less F =$50.001 - $100.000 J =SI 5.0OO 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 =$15,0OI - $50.0~O O =$500.0OI - $1,000.000 R =Cosl (Real Estate Only) V =O~hcr

C =$2,501 - $5.000 III =$1.000.001 - $5.000.000 L ~$50.0OI - $100.000 PI =$1.000.001 . $5.000,000 P4 =More than $50.000,000 S =Asscssmcn! W =Estimated

D =$5.0OI . $15.000 112 =More than $5.000.!3OO M =$100.001 o $250.1~O P2 =$5.000.001 - $25,000.0OO T =C~h Markc~

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/I 8/201 I

V I I. I N V E S T M E N T S a n d T R U S T S -i, com,. ,al~o. ~a,~a~ao~ a nclud~s tho~e oS spous, o,d dep~e,t children; see pp. 34-60 of filing instructions.)
D

NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. h~come during reporting period C. Gross value at end of reporting period Value Code 2 (J-P) Value Method Code 3 (Q-W) T T T T T T T T T T T T T T T T W (I) Type (e.g., buy, sell, redemption)
Transactions during reporting period

IAmount
I Code I (A-H)

Type (e.g., div., rent, or int.)

(2) (3) (4) Date Value Gain mm/dd~,y Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Peet’s Coffee Morgan Stanley Note Schell-Vista Fire Bond Van Kampen Senior Loan AIlianz Nacm Intern. Chevron Corp Clorox Corp Compass Fund GeneralElectric Corp Highwood Morgan Stanley FocusGrowlh Fund Invesco Dividend Growth Securities Fund InvescoAdvantage Fund A Virtus (formerly Phoenix Small Cap Value Fund A) Mortgage Stanley Strategist Fund A Van Kampen Global Franchise Fund One-sixth interest Condominium Kamuela, HI

A A A A A A A A A A A A A A A A D

Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Rent

J K K K K K K L J J J J K J K K L

I. Income Gain Codes: (See Columns BI and IM) 2. Valu~ Codes (See Colum~ 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 =$250.0OI - $500.0~0 P3 =$25.00~.001 - $50.0~0.0~O Q :Appraisal U =Book Value

B =$1,001 - $2.500 G =$100,001. $1,000.000 K =$15,001 o $50.000 O =$500,001 - $1,000.000 R =Cost (Re~tl Estate Only) V =Other

c =$2.501 - $5,000 II1 =$1.000.001 - $5.000.000 L =$50,0OI - $100,000 PI =$I,000.001 - $5.000.000 P4 =More than $50.000,0~O S =Assessment W =Estimated

D =$5,001 - $15.000 112 =More than $5,000.000 M =$109.001 - $250.0~0 P2 =$5.000.001 - $25.000.000 T .=Cash Markcl

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/I 8/201 I

VII. INVESTMENTS and TRUSTS - inco.~e, value, ,.a,~actio,.. a.aud.~ ,note q ~pouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporling period i (I) [ Amount Code I
(A-H) Gross value at end of reporting period Transactions during reporting period

(2) Type (e.g., div., rent,
or int.)

(t) Value Code 2 (J-P)

(2) Value Method Code 3
(Q-W)

(t) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-tl)

(5) Identity of buyer/seller (if private
transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60.

L.A. Water Dept Bond Pomona SchooI Bond Montebello School Bond lrvine School Bond San Francisco City Finance Bond Manhattan Beach Water Bond American Capital World Growth Fund Van Kampen Dynamic Opp Fund BSTHospitalityLLC

B A A A A A B B A A A A A A A A A

Interest Interest Interest Interest Interest Interest Interest Dividend Distribution Dividend Dividend Interest Interest Interest Interest Interest Interest

L

T Redeemed Redeemed Redeemed Redeemed 02/01 / I 0 08/02/10 01/04/10 07/29/10 L J L J

J K K M J J J L L M L L

T T T U T T T T T T T T Buy Buy Buy Buy 07/29/10 06/07/10 07/26/10 09/28/10 L M L L

61. Spectra Energy 62. Highland Credit Strategies Fund

63. Contra Costra Public Finance Bond (2 pans) 64. Cal EDLFac. Bond

65. AcalonesSchool Bond 66. 67. 68. California Health Facilities Bond California State Public Works Bond Metropolitan Water District - So Cal Bond

I. Income Gain Codes: (S Columns BI and D4) 2. Value Cod~ |See Columns CI and D3) 3. Value Method COdcs (See Column C2)

A =$1.000 or less F =$50,001. $100,000 J =$15.0~O o¢ 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 ~ost (Rcal Estate Only) V -N~hcr

C =$2.501 - $5.000 |11 =$1,000.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1,000.O01 - $5,000,000 P4 =?,,tore than $50.000.000 S =Asscssm~ml W =Estimated

D =$5.001 - $15.000 112 =More than $5.000,000 M =$100.001 - $250,000 1’2 =$5.000.001 - $25,000,000 Y ~L’ash Market

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 1 0

I

Name uf Person Reporting SEEBORG, RICHARD G.

Date of Report 4/18/2011

V I I. I N V E S T M E N T S a n d T R U S T S - into ..... lue, tr ....
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

tlons

(Includes those of spo .....

d dependent children; see

pp. 34-60 of filing instruction~)

Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3

Transactions during reporting period

(I)
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

(I) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd,"yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

69.

American Money Market A (SeePart VIII)

A

Interest [

K

T

I. 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 or less F =$50.0~1. 511~).000 l =$15.000 or less N =$250.001 - $500.000 P3 =$25.00~.0OI - $50.0~O.0(10 Q =Appraisal U -Book Value

B =$ 1,001 - $2.500 G =$100.0~1 - $1.0~0.0~0 K ~$15.001 - $50.000 O =$500.0OI - 51.000.000 R =Cosl (Real Estate O’~ly) V =O~h,..’r

C =52.501 - 55,000 I11 =$1.000.0~1 - $5.000.000 L =$50.001 - 5100.000 PI =$1.000.0(11 . $5.000.00~ P4 =More than $50.000.000 S =Assessment W -Eslimated

D =55,001 - 515,000 112 =More than $5.000.000 M =5100.001 P2 =$5.000.001 . T =Cash Markc~

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/I 8/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate part of report)
Part VI, Line 15: Startup dissolved and investment written off: 2010. Part VI, Line 69: Purchase of Money Market Fund on 12/30/08 inadvertently omitted from prior reports.

FINANCIAL DISCLOSURE REPORT Page 10of 10 IX. CERTIFICATION.

Name of Person Reporting SEEBORG, RICHARD G.

Date of Report 4/18/2011

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 kno~vledge 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: $[ RICHARD G. SEEBORG

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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