lawrence k karlton financial disclosure report for 2010

8/3/2019 Lawrence K Karlton Financial Disclosure Report for 2010

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AO 1 0Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Required by the Ethicsin Government Act o f 1978(5 U.S.C. app. 101-111)

I. Person Repor ting ( las t name, f ir s t , middle init ial)K ar l ton , La~vTence K .

4. Tit le (Art ic le I I I judges ind ica te ac t ive o r s en io r s ta tus;magis t ra te j udges indicate fu l l - or pan- t ime)Chief Jud g e Em eri tus - Sen io r St

7 . C h a m be r s o r Of f i c e Ad d r e s sU . S. Cour thous e501 1 Street , 15th Floor, #230S a c r a m e n t o , C A 9 5 8 1 4

2. Court or OrganizationU . S. Di s t r i c t Cour t - E as t e rn Ca l i fo rn i a

3. Date of R e p o r t05/05/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, It is, in my opinion, in compliancewith applicable laws and regulations.

6. Repor t ing P e r iod01/01/2010

to12/31/2010

R e v i e w i n g O f f i c er Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,checking the NONE box for each par t where yoa have no repor table in formation . S ign on las tpage.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)1-~ N O N E (No reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/~NTITY

I I . A G R E E M E N T S . ( R , p o r t ln g individual only; see pp. 14-I6 of filing instructions.)~] NONE (N o reportable agreements . )DATE PARTIES AND TERM S


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N a m e o f P e r s o n R e p o r t in gKarl ton, Lawrence K.

D a t e o f R e p o r t05/05/201 I

III. N O N - I N V E S T M E N T I N C O M E . ( R e p o . i . g indivldualandspouse; seepp. 17-24 of filing instructions,)A. Fliers Non-Investm ent Incom eD NONE non- investment income. )N o reportable

DATE SOURCE AND TYPE INCOME( y ou r s , no t s pou s e s )I . 09/20/2010 P rudent i a l E qui ty Group - adm in i s t ra ti ve p roceed ing p roceeds $484.00

2.3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during any portlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

D (No reportable incom e.)O NE non-investment

1 .20102.3.4.

DATE SOURCE AND TYPEC o u n t y o f S a c r a m e n t o , w a g e s

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and de pendent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.2.3.4.

5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t in gKarl ton, Lawrence K.

D a t e o f R e p o r t05/05/2011

V . G I F T S . a n c t u d e ~ , h o s e ,o , p o u ~ e . n d d e p e n d e , , c h i ld r e n ; ~ o e p p . 28-31of filing instructionx.)~ N O N E ( N o reportable g~s.)SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c t ~ d e , t h o , e o l s p o , s e a , d dependent children; see pp. 3 2 - 3 3 of fillng instruction~)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.

5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gK a r l t o n , L a w r e n c e K .

D a t e o f R e p o r t05/05/201 I

VII. INVESTM ENTS and TRUSTS - i .... e . v a l u e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.---] N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d0 ) ( 2 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e . g . ,exempt from prior disc losure C o d e I d i v . , r e n t ,

( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)Value Value

C o d e 2 M e t ho d(J-p) C o d e 3

( Q - W )

(t )T y p e ( e . g .,b u y , s e l l,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(2) (3) (4)

D a t e Va l u e Gainm m /d d/yy Co de 2 Code 1

(J-P) (A-H)

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

I. G l a x o s m i t h k li n e P L C A2. F r a n k l in C a l i f T a x - E x e m p t M o n e y F u n d B3. P NM Res ources I nc . A

D i v i d e n d K TD i v i d e n d K T

D i v i d e n d J T4. A m e r i c a n E l e c tr i c P o w e r A D i v i d e n d J T5. P rudent i a l I ns urance A Interest J T6. Sears H o ld in g Co rp None J7. Nstar , Inc . B Dividend K8. D W S S c u d d e r M i d C a p G r o w t h F u n d - A - B Int ./Div. MIR A9. C A D e p t W a t e r R e s o u rc e s B o n d A Interest JI0 . U n i o n B a n k - c h e c k in g A Interest LII . Fid e li ty In v e s tm e n ts - IR A D isc ip lin ed No n e JEquity1 2 . Fide l i ty Inves tmen t s - I RA Sp ar t an 5 0 0 A Int ./Div. JIn d ex1 3 . Scho o ls F ed era l Cred i t Un io n A Interest L

T

TTTTTTT

1 4 . Fi rs t U S Comm uni ty Cred i t U nion A Interest M1 5 . M o r g a n S t a n l e y C a T a x - f r e e I n c o m e F u n d None J1 6 . P u t n a m C a T a x - e x e m p t I n c o m e B Int ./Div. K1 7 . G en era l E lec t r i c Co rp A D i v i d e n d J

TTTT

I. In co m e G ain C od es : A ~ $1,000 or less B = $1,001 - $2 ,500 C = $2.501 - $5 ,000 D = $5,001 - $15,000(Se e Co lumn s B I a n d I M ) F = $ 5 0 , D O I - $ 1 0 0 , D O 0 G = $ 1 D O . D O I - $ 1 . D O O . D O O H I = $ 1 . D O O , D O I - $ 5 . 0 0 0 . D O 0 H 2 = M o r e th a n $ 5 . 1 ) O 0 . 1 3 0 0

2. V alu e C odes J =$15.DO0 or less K - $15.D01 - $ 50.000 L $50,001 - $ I DO.0@) M = $ I D O . @ ) I - $ 2 5 0 ,0 0 0(S c Co lumn s CI a n d D3 ) N =$ 2 5 0 .0 0 1 - $ 5 b ~ . D O O O =$ 5 D O .0 0 1 - $ 1 , D O 0 .0 0 0 P I =$ 1, 00 0, DO I - $ 5. 0D O, 00 0 P 2 = $5 ,D O0 ,0 01 - $2 5, 00 0. 00 0

P3 = $25,000.DOI - $50,000.000 P4 =More than $50.000,0003. V alu e M eth od C odes Q ~A p p r a i sa l R =Cost (Real Estate Only) S = As s es s ment T =Ca~ . h Mar ke t!.Scc Co lum n C2) U = B o o k V alue V = O t h e r W = E s t imaled

E =$15,DOI - $50.DOO


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N a m e o f P e r s o n R e p o r t in gK a r l t o n , L a w r e n c e K .

D a t e o f R e p o r t05/05/201 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 n c o m e , , ,a t . . , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s In c o m e d u rin g G ro s s v a lu e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r e po rt i n g p er i o d o f r e p o r t i n g p e r i o d

0) (2) 0) (2)Place "(X)" after each asset A m o u n t Typ~ (e.g., V a lu e V a lu e

exempt fromprior disclosure C o d e I d iv . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d

(0 (2) (3)Type (e.g., D at e V a l u eb u y , s e l l, m n d d d / y y C o d e 2

r e d e m p t i o n ) (J-P)

1 8 . Sacramen to Cred i t Un io n A Interest Clos ed 03/03/10 J1 9 . Prud en t ia l F in an c ia l In c A D i v i d e n d J T20 . J P M o r g a n C h a s e A Interest J T21 . ING Direct A Interest J T22 . T h e G o l d e n I C r e d i t U n i o n A Interest J T23 . S t e r l in g S a v i n g s B a n k No n e Clo sed 1 2 1 3 1 1 1 0 J24 . T h e r m o E l e c tr o n C o r p A D iv id e n d J T25. P eets A D i v i d e n d J T26 . Best Buy A D i v i d e n d J T27 . Barn es & No ble A D i v i d e n d J T28. A T & T A D i v i d e n d J T29 . Blackro ck Mun i H o ld in g Cal In s F un d B Interest So ld 11/08/10 K30 . Nuveen I ns Ca l P re l nc Muni Fd A Int ./Div. K T Bu y 1 i /08/10 K

31. Fo rd Mo to r Co A D i v i d e n d J T Bu y 05/21/10 J32 . Genera l Motors A D i v i d e n d J T Bu y 11/18/10 J33 . Southwes t A i r l i nes Co A Dividend J T Bu y 12/08/10 J34 . P a l o m a r M e d i c a l T e c h A D i v i d e n d J T Bu y 12/08/10 J

(4 ) (5 )G a i n I d e n t i t y o fCode I buye r /s e l l e r

( A - H ) ( i f p r i v a t et r a n s a c t i o n )

B

I. In co m e Gain Cod es : A =$1,000 o r less B = $1,001 - $2 ,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000I Sc e Co lumn s B I a n d I M ) F = $50.001 - $100,000 G = $100.001 - $1.000,000 H I = $1 ,0 00 ,0 01 - $ 5. 00 0. 00 0 H 2 = Mo re t ha n $5 ,0 00 ,0 00

2. V alu e C odes J $15 . 000 or l ess K -$15,001 - $50.000 L =$50,001 - $100,000 M = $I00,001 - $250.000(Se e Co lumn s CI a n d D3 ) N =$250.001 - $500.000 O =$500,001 - $1,000.000 PI =$1.000.001 - $5.000,000 P2 =$5,000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =More Ihan $50.000,0003. V alu e M eth od C odes O =A p p r a i sa l R C os t ( R ea l E s t a t e Only l S = As s es s ment T =Ca sh M a rke t( S ee C olu nm C 2) U - B o o k V a l u c V = O t h e r W = E s t imated

E ~ $ I 5 , 0 0 1 - $ 5 0 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 6 of 8

N a m e o f P e r so n R e p o r t i n gKarl ton , Lawrence K.

D a t e o f R e p o r t05/05/201 !

V I I . I N V E S T M E N T S a n d T R U S T S - i.co.,e, ,,al.e. transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ (No reportable incom e, assets , or transact ions . )ONE

A. B. C .D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i n c lu d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2) (I) (2)Place "(X)" after each asset A m o u n t Type (g., V a lu e V a lu e

exempt fromprior disclosure Code I d iv . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)D a t e Va l u e Gain

mm/dd/yy Code 2 Code I( J - P ) ( A - H )

Idemty ofb u y e r / s e l l e r( i f p r i v a t e

t r a n s a c t i o n )

35. Fidelity- cash A Int./Div. J T B uy 12/07/10 J

I. Income Gain C odes :( S e e C o l u m n s B I a n d D 4 )

2. V alu e C odes{S cc C olu mns C I and D 3)

3. Value Method Codes[S ee C olu mn C 2)

A=S1,000 or lessF =$50,001 - $100,000J = $15,0~3 or lessN =$250,001 - $500,000P3 =$25.000,0OI - $50.000.000Q =A p p r a i sa lU = Book V alu e

B=$1,001 - $2,500G =$1 0 0 .0 0 1 - $1 ,0 ~ .0 ~0K -$15,001 - $50,000O = $500.001 - $ 1 ,0~ .0~ 0R Co s l (Re a l Es ta te On ly )V = O l h e r

C =$2,501 - $5,000H I = $ 1,000,001 - $ 5,000,000L -$50,001 - $100,000PI =$1,000.001 - $5,000,0~0p4 - M or e th an $50,000,000S - A s s c s s m c n tW = E s t imated

D :$5,001 - $ I 5,000H2 =More Ihan $5,000,000M =$100,001 - $250,000P2 -$5,000,001 - $25,000.000T = C as h M ar k et

5,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gKarl ton , Lawrence K.

Date of Report05/05/2011

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofrepor~.)


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FINANCIAL DISCLOSURE REPO RTPage 8 of 8

IX . CERTIFICATION.

Name o f Pe rson Report ingK a r i t o n , L a w r e n c e K .

Date of Repor t05/05/201 I

1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e be s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y in f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

1 f u r t h e r c e r ti f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] Lawren ce K. Kar l ton

N O T E : A NY I ND I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colum bu s Circle, N.E.W ashington, D.C. 20544

lawrence k karlton financial disclosure report for 2010

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