philip s gutierrez financial disclosure report for 2010

8/3/2019 Philip S Gutierrez Financial Disclosure Report for 2010

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I AO IORev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Government A ct of l978(5 U .S.C. app..sc.ss" 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l)GUTIERREZ, PHILIP S.

4 . T i t l e ( A r t i c l e I 1 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magis t ra te judges ind ica te fu l l - o r par t - t ime)

U.S. DISTRICT JUDGE - AC TIVE

7. Chamber~ or O f f i c e Address255 E. TEMPLE STREETSUITE 870LOS ANGELES, CA 90012

2. Court or O r g a n i z a t i o nU.S. DISTRICT CO URT - CENTRAL DISTRICT OF CA

3 . D a t e o f R e p o r t05/10/201 I

5a. Report Type (check app ropr iate lype)] Nomina t ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h is R e p o r t a n d a n y

m o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r egu l a t i on s .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31 /2010

R e s i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,check ing the NO NE box for each pa r t where you have no repor table information. S ign on las t page.

I . P O S I T I O N S . ( R e v o . i n g individual only; seepp. 9-13 of f il ing instructions. )D NONE (N o reportable positions.)

POSITIONI. President

2. Boa r d Me m be r Assoc i a t i on o f Bus ine ss Tr i a l Lawye rs3.

4.5.

NAM E OF ORGANIZATION/ENTITYL o s A n g e l e s C r i m i n a l J u s t i c e In n o f C o u r t

I I . A G R E E M E N T S . ( R e p o . i n g individual only; see pp. 14-16 of filing instructions.)~] N O N E (No repor table agreements .)

D A TE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r so n R e p o r t i n gGUTIERREZ, PHILIP S.

D a t e o f R e p o r t05/10/201 I

III. N O N - I N V E S T M E N T I N C O M E . t R e p o . i n g indiv idual and spouse; seepp . 17-24 of f i l ing instruct ions. )A. Filers Non-Inves tmen t Income~ (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.3.4.

INCOME(you r s , no t spou ses )

B . S p o u s e s N o n - I n v e s tm e n t ! n c o m e - If k.ou were married during any portlon of the reporting.Fear, complete this section.(Dol lar amount not requi red except for honorar ia . )--] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE1. 2010 Onta r i o - Mo nt c l a i r Schoo l D i s t r i c t2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta inmen t( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n , " se e p p . 2 5 - 2 7 o f f i li n g i n s t r u c ti o n s . )D (No reportable reimbursements.)ONE

3.4.5.

SOURCE DATES LOCATION PURPOSEAsso c i a t i o n o f Bu s i n e s s T r i a l 1 0 / 1 9 / 10 - 1 0 / 24 / 1 0 Koha l a , HI S e m i n a rLawyer s

ITEMS PAID OR PROVIDEDTrave l a nd l odg i ng


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FINANCIAL DISCLOSURE REPORTPage 3 o f 8

Name o f Per son Repo r t ingGUTIERREZ, PHILIP S.

Date of Report05/10 /2011

V . G I F T S . a n t e . d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable g~s. )

SOURCEI.2.3.4.5.

DESCRIPTION VALUE

VI. LIAB ILITIES. ancludes ,hose oysp ... . .. dependent children; s c e p p . 3 2 - 3 3 of filing instructions.)~~ N O N E (No reportable l iabi li ties . )

CREDITORI. B ank o f Ame r i c a2.3.

4.5.

Credi t CardDESCRIPTION V A L UE C O D E

J


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FINANCIAL DISCLOSURE REPO RTPage 4 of 8 Ia m e o f P e r s o n R e p o r t in gGUTIERREZ, PHILIP S. D a t e o f R e p o r t0~/10/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, 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 esc r i p t i o n o f A s s e t s In c o m e d u r in g G ro s s va 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 rt i n g pe ri o d(I) (2) (I) (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 . , Value Va lue

exempt from prior d isc losure Code I d i v . , 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 )

(I )Type (e.g.,buy, sel l ,

redempl ion)

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 lu e Gainm m/d d/yy C od e 2 Code 1

(J-P) (A-H)

O)I d e n t i t y o fb u y e r / s e t l e r( i f p r i v a t e

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

I. B a n k o f A m e r i c a A c c o u n t A Interes t J T

2. Sta t e Teache r s Re t i r emen t Sys t em C I n t e r e s t M T

3. Onta r i o -M ontc l a i r Schoo l D i s t . 403(b) ,Pu tnam Inves tmen t s

4. - P u t n a m Eq u i t y I n c om e Fund C I -A A Dividend J5. - Pu tnam Growth Opps CI-A A Dividend J6. - Pu tnam In t l Cap i t a l Opps CI-A A Dividend J7. - P u t n a m Re s e a r c h Fund C I -A A Dividend J

TTTT

8. Onta r i o -M ontc l a i r Sch. D i s t . 403(b) , TheB es t o f Am e r i c a IV9. - AM CENT VP VALUE I A Dividend Sold 12/10/10 JI0 . - DREY VIF2 A PPRECIATION PT IS A D i v i d e nd J TI I. - FID VIP 2 ASSET MGR PORT A Dividend J T1 2 . FID VIP 2 CONTRAFND PORT A Div i dend J T1 3 . - NVIT INV DEST MOD AGGR 2 A Div i dend J T1 4 . - NVIT MULT-MGR SMCAP VAL I A Dividend J T1 5 . - NVIT MULT-MGR LG CA P GR 1 A Dividend J T1 6 . - OPP GLOBAL SEC FUND/VA 111 A Dividend J T1 7 . - NVIT MULTI CAP VAL 1 A Dividend J T Bu y 12/10/10 J

I . Incom e Gain Codes : A =$1,000 o r less B =$1,001 - $2,500 C =$2,501 - $5,000 D :$5,001 - $15,000(See Columns BI and 1341 F =$50.001 - S 100.0~0 G = $1 00 .0 01 - $ 1,0 00 .0 (~ H I = $1 ,0 00 .0 01 - $ 5,0 00 .0 (~ H2 =More than $5,000.000

2. V alu e C od es J = $15.000 o r le ss K =$15,001 - $50.0(~ L =$50,001 - $100.000 M $100,001 - $250.1~0ISce Columns C I and D3) N =$250.001 - $500,000 O -$500.001 o $1,0(~1,000 PI =$1,000.001 - $5,000,000 P2 =$5.000,001 - $25.090.000P3 =$25,000,001 - $50.000.000 P4 =More than $50,000.00~

3 . Value Method Codes Q =Appr a i s a l R =Cosl (Real Estate Only) S =As s es smen t T =Cash Marke t{Scc Co lumn C2} U =Book Value V =O~hc r W =Es t imat ed


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D a t e o f R e p o r l05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes tho~e of spouxe 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 Income during( 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 d

(1) (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 p rior d isc losure Code 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 ValueC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

O)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 lu e Gainm m / d d Y y y Code 2 Code

( J - P ) (A-H)

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

1 8 . - OP P G LOBA L S EC V A 3 A Dividend19 . Am e r i c a n F und s , F undam en t a l Inve s t o r s -A A Dividend

JJ

TT

Bu y 12/10/10 J

20 . Lincoln F inanc ia l Group (Lincoln Nationa lCorp.)2 I. - Ame r i c a n F und s B ond - C l a s s 2 /R A Dividend J

22 . - A m e r i c an Fund s G l oba l G row t h I n c . A Dividend K23 . - Amer i c an Funds Growth A Dividend J T24 . - A m e r i c a n Fund s G row t h I n c om e A Dividend J25 .26 .27 .

28 .29 .30 .31 .32 .

33 .34 .

Me r r i ll Ly n c h We a l t h Ma na g e m e n t- Janu s INTECH Risk Man aged Growth A Dividend( JRMGX)J anus En t e rp r i se Cl a ss I ( JMGRX) A Dividend

K

JTT

- C o l u m b i a M a r s ic o G r o w t h F u n d ( N M G I X ) A Dividend K- Ea t on Vanc e La rge C ap Va l ue F und A Dividend(EHSTX) K T- Co l um b i a La r g e Ca p V a l u e Fund A Dividend(N VLEX ) K T- G o l dm a n S a c h s M i d Ca p V a l u e Fund A Dividend(GC MAX) T- A l ge r Sma l l C ap Grow th F und (ALSRX ) A Dividend J

- Wel l s F a r go Advan t a ge Sm a l l C apD i s c i p li n e d ( S COV X )- Ar t i san In t e rna t iona l Fund (ARTIX)

AA

DividendDiv idend

Sold 12/6/10

I. In co m e Gain Co d es: A =$1,000 o r less B = $ I,001 - $2,500 C =$2,501 - $5,000 D =$5.1301 - $15,000( Se e C olu nu as B I a nd D4) F = $5 0.0 01 - $ 10 0,0 ~0 G =$100,001 - $1,0~.000 HI =$1,000.001 - $5.000.000 H2 =More than $5.000.000

2. Value Cod es J =$15,000 o r less K -$15,001 - $50.000 L =$50,001 - $100.000 M $100.001 - $250.000(See Co lumns C I and D3) N =$250.001 - $500,000 O =$500.001 - $1.000,000 PI =$1.000.001 - $5.000,000 P2 =$5.000.001 - $ 25.000.000p3 =$25,000.001 . $50,000.000 P4 M o re th a n $50.000,000

3 . Value Method Codes Q =App ra i sa l R :Cost (Real Eslale Only) S =As s es smen t T =Cash Marke t(See Column C2) LI =Book Va l u e V = O t h e r W =Es t imat ed

E =$15 .0 0 1 - $50 . 000


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D a t e o f R e p o r t05/10/201 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 . , , ~ a l ~ . , l r a n ~ a , io . s a .c l a d , s th o s e o S s ~ , o ~ s o a n d d e p e n d e n , chi ldren; see pp. 34-60 of f iling in structions.)NONE (No reportable income, assets, or transactions.)

De 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 d

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

exempt from prior disclosure Code I div . , ren t ,( A -H ) or in t . )

G ros s v a l u e a t e ndo f r e po r t i n g p e r i o d(t) (2)

V a lu e V a lu eC o d e 2 M e t h o d(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 ran s a c t i o n s d u r i n g r e po r t i n g p e r i o d

(2) (3) (4)D a t e Va lu e Gain

mm/dd!yy Code 2 Code 1(J -P) (A-H)

(5 )I d en t i t y o fb u ye r / s e l l e r

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

35 . - Harbor International Fund (HAINX) A Dividend K

36. - PIMCO Total Return Fun d ( PTTPX) B Dividend LTT

37 .38 .39 .

- BlackRock High-Yield Bond Fund A Dividend( B H Y A X )- Columb ia Cash Reserve s (NCRXX) A Dividend

TS o l d 08/15/10 J

Me tlife Variable Universal Life Fixed Fund A I n t e r e s t J T

I . Incom e Gain Codes : A =$|,600 or less B =$1.001 - $2,50~ , C $2 , 50 | - $5 , ~0~ D =55.00 | - $15.000(S e e C o l um ns B I a nd 0 4 ) F =$50,091 - 510(I.000 G =5100.001 - $1,0~0.000 HI =$1.000.0~1 - $5,0~.000 H2 -More t han $5.000,000

2. Value Codes J -515,000 or less K = 515.0~ I - 550.0~0 L =550.001 - $ 100,000 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 ~ 1 ~( S c C ol um n s C I a nd D3 ) N =$ 25 0,0 01 - $ 50 0,0 ~ O -$500.001 - $1,0~O.00O PI -$1,000,001 - $5,000,000 P2 =$5,000,0~1 - $25,0~1.000

P3 =$25.00~,0~1 - $50.0~0,000 P4 =More than $50,00~.0003 . Value Method Codes Q =Apprai :,al R =Cost (Real Estate Only) S =As~c~,smcnt T =Cash Marke t

(See Column C2) U =Book Value V - O l h c r W =Es l imal cd

E =515,001 -


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D a t e o f R e p o r t05/10/2011

V III . ADDITIONAL INFORM ATION OR EX PLANATIONS.Par t VII, Line 25 - On Au gus t 15 , 2010, Banc of Ame r ica Inves tment Services , Inc . merged in to M err i l l Lynch W ea l th Manag em ent .Par t VII, Line 36 - Typograp hi ca l e r ro r on t he 2009 repor t . Cor rec t ed f rom P I -FAX to P Iq PX.


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Name o f Pe rson Repor t ingGUTIERR EZ, PHILIP S.

Dale of Repor t05/I 0/2011

IX. CERTIFICATION.I c e r t if y t h a t a l l i n fo rm a t i o n g iv en above ( i n c l u d i n g i n fo rma t i o n p e r t a i n i n g t o my s p ou s e an d m in o r o r d ep end e n t ch i l d r en , if an y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e 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 i n 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 ld 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 io n s p e r m i t t in 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 ncom p l i a nc e w i t h t h e p r o s ~ s i on s o f 5 U.S .C . a pp . 501 e t . s e q . , 5 U.S .C . 7 3 53 , a nd J ud i c i a l C on f e r e nc e r e gu l a t i on s .

Signatur e: $/PHILIP S. GUTIERREZ

N O TE: AN Y IN DIVIDUA L WHO K N O W IN GLY AN D W ILF ULLY F ALSIF IES O R F AILS TO F ILE THIS REPO R T MAY B E SUB JEC T TO C IVILAND CRIMINA L SANCTION S (5 U.S .C. app . 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

philip s gutierrez financial disclosure report for 2010

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