Mariana R Pfaelzer Financial Disclosure Report for 2009

8/3/2019 Mariana R Pfaelzer Financial Disclosure Report for 2009

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I . ~ o ~ o FINANCIAL DISCLOSURE REPORT in Government Act of t978~,. ~/20m FOR CALENDAR YEAR 20091 . P e r s o n R e p o r t i n g 0 a s ~ n a m e , f ir s t , m i d d l e m i t i a ll 2 . C o u r t o r O r g a n i z a t i o n 3 . D a t e o f R e p n r t

P f a e l z e r , M a f i a n a R . C e n t r a l D ~ s ~ r i c t o f C a l i f o r n i a 5 ~ 4 , " 2 0 1 04. Title (Arlicle II[ judges indicale ~ctive ,ar senior stains: 5a. Repo rt T ype icheck appro pria te type) 6. Reportin g Perio dmagistrates, urines indicate full- or par~-time)

~ Nommamm. Da~eSenior U.S. Dist~ct Judge ~ lnin:d~ ~ Annual ~ Final

fib. ~ Amended Repo~7. Ch am ber ~ or Of f ice Addr es s 8. On the basis of lhe information contained in ~ his Repor t and anymodif ications per lainin~ ~here~o. i t is , in my opinion, in com pfianceU.S. District Court ~ith applicable laws and regulalions .3 12 Nor th Spr ing Strec~Los Angelcs, CA 90012 Revie~s.in~ Officer ............................. Dale

IMPORTAN T NOTES: The instructionx accoml,ato4ng this]brm must be. followed. Complete all parts.checking the NONE box for each part r~here you have no reportable information. Sign on tast page.

I . P O S I T I O N S . m,,o~a ,~ ,~ N O N E ~ V o r~:~ortablepositions?

PQSIT1ON ~AM~OF ORGANIZATIQN/ENTITY1. Member, Board of T~stccs No.on Simon Museum

2. Trustee T n t s ~ ~ I

4.

,." : --< :i ?

I I . A G R EEM EN T S . ~ . . - . w . , , . ~ . i~ . ~ , , ~ o .~ N O N E (No re/~ortab/c agredments .

D A T E PARTIES AND TERMS1.


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F IN A N C I A L D I S CL O S U R E R E P O R T N . . .. ~ . . . . . n o , o . i . ~ o ~ . , o r u ~ o , , .P a g e 2 o f 1 2 Pfaetzer, M a r i a n a R . 5 1 4 . " 2 0 1 0

I l L N O N - IN V E S T M E N T I N C O M E . :n~,o,,i.xi~di,i~,~.~.,pA. Fliers Non-Investment Income

.NONE (No r~7)ortable ~on-investment income.)D A T E SOURCE A~D TYPE INC~E( . y o u r s , n o ~ s p o u s e s )

I. VARIOUS DISTRIBUTION FROM RETIREMENT ACL OUNT FROM JUI)ICIAL g~ 73.60800RETIREES & SURVIVORS {.ADMIN OFFICE OF THE US COURTS~

B . S p o u s e s N on-Investment i ncome - If.van were married during an "!,ortism ~Fthe reportitr.~, year. complete thi.s t~ction.

~ NONE 0Vo reportable non-investment income.)SOURCE AN]) TYPE

1\:. R E I M B U R S E M E N T S . . .. . . . . .. . . i , ,. , ~,,d~i.x ~ , , , , , ~ . . . . . . . . . iN O N E L ~ "o re!~ortahl(: ,eimbu~av ement .v.)

SOL2RCE D A T E ~ LOC-2TION PURPOSE t~EMS PAID OR PROVIDED

3 .4.

5


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F IN A N C I A L D I S CL O S U R E R E P O R TP a g e 3 o f 1 2 P f a e l z e r . M a r i a n a R . 5/4/2010

N O N E ( ) V o reportable .g{,f!s. ~_ , ~ L . Q _ U R C E ])ESCRII?.TION \ALLIE

I.2.3.4 .5.

~ N O N E ( N o reportab le :iabiiiliea...~CREDITOR [)ES(~ "RIPT ON" V A L U E . C O D E

2.3.4 .5.


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F I.N A N C I A L D IS C LO S U R E R E P O R T l N . . . . . o f P e . . . . ..R e p o r t i n g DzteofReoort

P a g e 4 o f 1 2 , Ptzelzer. M~,riana R. 5!4/2010VII. INVESTMENTS a n d T R U S T S - i . .. . . . . . ~=,,., ........ ~,,,., ,J,,ao~,.~,h ,,.,,, ~i.,-, ........... ~ .,,e,,a ...... ~,~ ..... , , , . ~ , . . ~ - ~ o

N O N E L~;o reportable income, assets, or transaction3.)

(1 } ( 2 ~ 1 1 ) (2 ) ~li ~ t 131 ....

I Wcli~; Farzo Bank IRA (CDs) C Inlcrcst M2 D Distribtmon Sac Sect ion Vll !3 W~iS ~:argo Checking A Interest K T4. W ells Fargt~ IRA # I (U.S. TreasuD, Nolesl ~ tntcresl PI "I

{ .~ G Distribution See Section VIII6. Wells t;argo Cuglodv Account g I -header7 - Zemth National Insurance Co. Common D Dividend M "I8. -Shares W ells Fargo CA Tax-Free Money A Dividend MMarket F u n d

~ D lnlercsl M atured ! 0 ~ 0 1 . " 0 9 L

IO . - CA State 5.0% ~;1:09 D Interest Matured 0 3 / O 1 / O 9 Mi 1 - ( "A Sta ,c 5 .0% 3"l /Oq- }{] C interest Matured 03"01/0) 1 .12 ( . , k S t at e 5 0 % 2 , 1 / 0 9 { { { { { { { { ] C In,crest Matured 2 . 1 i 0 9 i_~3 . - (A S,mc a q", 2:109 ( I m c r ~ s l ~lamred ~ 2 . " 1 . . 0 91 4 . - CA Infrastructure & Econ 50% 10iI.q)9 - 1) Interest Ntalurcd 1 0 . q I l Y L

1 5 . - CA Slate 5.0.,, &t i 09 C Interest Matured 6 . " 1 . 0 9 LI~ , - CA Sta~c 5.0% 4q."09- C I m s r e s ~ Matured 4/I/09 ~


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INANCIAL D IS C LO S U R E R E P O R T ~ ..... f P e r s o n R e p o r , in g D a t e o f R e p o r tP a g e 5 o f 1 2 P f a e l z e r , M a r i a n a R . 5 ; 4 / 2 0 1 1 . t I I . I N E S T M E N I S a n d T R U S T S - i,,,. ......... J,,c., ....... ,io,,, (Inclu des th ...... [sp ...... a dependent ct, ildren: see pp. 34-60 ,qfiting i ........ ions.)

N O N E (No reportahle income, assets, or tranxact~ons.).D ,

P l a c e " i X ! " a t ~ e r e a c h a s s e t A m o t m ~ ~ g 3 , ~ e ~ c g . k " a k ~ e V a h m 7 ~ y p e ~ e . g , D a t e V a l u e G a i n [ d e n m ye x e m p t f r o m ~ r ~ t r d ~ s c i o s u r e C o d e 1 : d i ~ . r e n t (ode 2 M e t h o d b u y , sell m m / d d i ~ q u C o d e 2 C o d e I b u y e r~ A - H } o r l n [ . ~ ( J - P I C o d e ~ ~ e d c m p m m ~ ( . l - p ~ ( A - H . ~ ! ~ l p r w a ~ e

18 - CA State Dco W ater Res Power 5.5% B t n t c r c s ~ I Matured 5!1/091 9 . - CA State 6% !2q*09 -~ C lalcrest M atured 12/01/09

{ 2 0 . - CA Sta te Economic 5% 7/ :{N - ~ C lmcrcs{ Malurcd 07/01/09 L2 1 . - Riverside CA Sewer Roy 7% g;l/09 - B tntercsl Sold 4 1 9 . / 0 9 L2 2 . - Fresno CA Unified School t)ismc~ 4.5% B Interest Sold 4 t 9 1 0 9 L5/t/I 0 -~2 3 . - CA S~tc 4 .0% 6/1)10 - C I n t e r e s t M T2 4 . - CA State 4.0% 2/1 ~10 - C Ialerest M T2 5 . - CA State 4.0% I i/Ill0 -~- B Interest Sold 06/15/09 M2 6 . - CA Statc 5.0~, 21 0 - (" l n m r c s ~ M T2 7 . - (TA Stale 5.0% 2.lgl I B lntcrcs~ Sold 6 ; 1 5 1 0 9 M

i 2 g . - CA State 5.75% ~. 1/I I -I (" interest Sold 6q 5/09 M2 9 . - CA Stale 5.75% 10. ," l . ](J - C Interest L T3 0 . - C~N Slate 5 . 0 % 4q q 0- : ] C l,tcrest M "l3 1 . - CA State . . . .. ,,, =. hi0 - D Interest M

3 4 . - CA Stale 5 5% fiq!l [ -}}} (" Into es Sold 6/15!09 M "


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F IN A N C I A L ,D I S CL O S U R E R E P O R T ~ ..... f P . . . . . R e p o r t i n g I )a, ..................(I) i2) (I~ ~ (2~ ~I) 12) ,~3~ ~4} ............. ~~5)

tran~mtitm)

F 3 5 - C A S~atc 5 75Z, 5;I/a~~ lnlcrcs~ ]3 6 . CA Ntam l)cpamncn~ Watc~ 5.5% 5.q 10 - C lntcrest Sold (," 15i~ M

~ 5 " / 0 - --7 - CA State Economic 5 . . . . ,o ~ Jntercsl N T3 8 . - CA Stme Ecom~m ic 5.25% I/l/I } - D [nteresl M T

i 3 9 . - CA State Economic 5,0% 111/II - C lnteresI M T4 0 - Elk Grove CA Fin 5.0% 9/1ll0 - B interest Sold 04/)1i09 L

" 4 1 . - Los Angeles CA Mun i 5.0% t l I/I I B Interest Sold 0/t5/U9 M - - ua - Los Angeles CA WT 5.0% 7!t..10 - C interest Sold 6 1 1 5 / 0 9 M43. - LA. (TA Antelope Valley Cou~ho~se C lmcresl M T~.. . . .~.,~ I 1il/10 _. ... J44 Sacramcnlo (A Cil~ Fina Aut Cap Impt D Interest M T5 45%6/t719- ~4 5 - ( A Stmc 5% - 12/1.:10- D lnlcrcst M T4 f i . CA SImc 3% - 3: l .... - D Interest M T4 2 - CA Stale 5% -4 .qql - ;} {{1 B Imeresl Sold 61509 M

- .. 1 ...... 6 ! 1 / 3 1 - D lnteresl M [ ~49 - CA State 5.25% 2:1/I1 -)l C h,mrcs l Sold 6 , ~ 5 , 0 9 L

51 - ( A S~atc 5.0% - 10,1/1;~ C" Intc~csl Matured I( .1/00 k ]


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FI N A N C IA L D IS C LO S U R E R E P O R T ~ . , . , ~ . f P e , - ~ , , , , ~ ~ , , , r ~ . ~ D ~ , e 0 f . e p , , r ~Page 7 of ]2 Pfaelzer. Mariana R. 5/4/2010

V I I . I N V E S T M E N T S a n d T R U S T S -- ~ ........ ~ ............. ,~,,,., lncludes tho~e t~f sp ...... . d dependent children: see pp. 34-60 ~[:~ling i ....... . ion .,.)NONE (?~o reportable income, assets. ~;r mun.~actions.)

Des cnp ~ m oA s s e ts Inc( ,mc during (.)~()s~ vah~e z[ end Transacuon$ during repot n~ period

Pl~ce "O:)" ~fler each asse: A mo u m ~ 3 v ~ c ~ e ~ k a ~ u c ~Mtle +[ ype ~.g.. Date V~luv Gem [denm~. o~exe~p~ from prm~di~closure (ode I ~ d~. ~em. ~. ~de 2 Method buy. sell. ~mm?ddfyy Code 2 Code l buycr.selteT

152. - CA State Economic 5 0% !.l"0O - A[, ;

53. - CA S ta~e Econom ic 5% - I/I.10 - B In[crcs~ L T.

54 - CA S~atc Economic 5 2~.,, - ll10 - D Intcres~ M T55 . - CA State Public Work 5%- 1 ~t.1 ] B Intcrcs~ Sold 6/15/09 M56 . - Lo~ A,,gel~s CA 3.6%- 611/11 - ~ I r~ lm er cs ~ Sold )4i~ 9!09 M57 . VR CA S~a~e Economic ~ f)% - v.. I:"3 - D lmcrc~ N T5 8 . - V R. CA Stme Economic 3.5% - 7/I,23 - C Interest M T59 . - VR CA State Ecom~mic 5.0% - 7/1:23 - E Interest () T60 - \.;R CA S~atc Economic 5.0% - 7/1:23 - D Interes t M T

~6t. - Sacramento CA CIT 5.75%- 7/I/t3 - C tntercs l Matured 07/01!09 L62. - Soulh Orange County CA 8.0% - 8115.09 - (" I m ~r ~s t Maturcd 8/17~09 L63. - US Trcasu~ No~es 3.875 ~ 7,I 5. 10 .... D Intcrcs~ N T64 . - US Trcasury Notes 4.25%- !/15/11 ( Im c ,cs , M 365 . - US Treasu~, No~es 4.5% - I .. 5. 0 D lm cr cs ~ N T6 6 . - U S T r c a s u o . . Notes 4 . 5 % - 2 2 8 / 1 1 ) :l C l n t c r c s t M T67 . - US Treasu~ Notes 4.125% - 8/15,,10 - C Interes t M T68. - US Treasu~ Notes 425%- 1(i15.10 - D Imcrc~t M T


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F I N A . N C I A L D I S CL O S U R E R E P O R T N ...... f P ..... Reporting DaleofRepartP age 8 of 12

V I I. IN V E ST M E N T S a n d T R U S T S -~ NONE No repottable income, assets, or transactions.l

B. C D

( ~ " ~2)~ ~ 1 ~ ~ 2 ~ ~1~ (2 ~ ~ 3 ~ ~4 ~5 )

~ 9 . - US ~rcas~w5 No~cs 3.875% - 9/15/I. - I E [ntcrcsl N T70 - US Trcasur; Notes 3 625% 1;15:10 - D lmcrcst M T7 1 . - US TrcasuQ_ Nom.~ 3.625% - 6/15/t0 - C Interest lv l T

7 2 . - US Treasury Notes 4.625% - 8,31.1 I - D l n t c r c s ~ M "1 B uy 0 2 , 1 1 ~ / 0 9 73. - US Treasury Notes 4 5% - 9/30.t1 I - D Interest M T B uy 02/03i09eaddl

7 4 . - US Treasu W Notes 4.5% - 9/30/I 1 -~ B Interest M T B uy 06/22;097 5 .

76. - US "rrcasu~, Notes 4.625% - 10;31!1add~

7 7 . - LIS TrcasuO " No~cs 4625% - 10 3i/I 1 - B Interest M T B u? ~ , 4 ~ 0 9 a d d l )7 8 . - USTrcasu~ Nom s 4.875% 7/31/11 - D l n t e r e s ~ M T B n ? 0 2 1 0 3 , ; ~ ) 9

70. - US Trcasu D Notes 4.875% - 7/31/I I - B Interest M "[ t ~ u ? ~ 1 6 . 2 2 , ( b ~I addl}

~ 8 2 . - US ]rcasuQ Notes 4.875% - 4~30/I I - C lmercsl M "l [ ~ u y 0 3 ! 0 ~ a ~ O q83. - US Trcasu~ Notes 4.S75% - 4/30,[ I - C Interest M T B uy 3 : 2 6 . 0 984. - LJS Treasury Nolcs 4.875% - 430~11 - C l n t c r e s * M T B uy (M/06;0985.


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F IN A N C IA L D I S CL O S U R E R E P O R T N . . . .. of P . . . . . R e p , w t b l R I ) . . . . fReportPage 9 o f 1 2 P l ~ e ~ . e r , M a r i a n a R . 5 / 4 / 2 0 1

~ N O N E (N o reportable income, assets, or rr~n.saction.s.)C. D

- US Treasury Notes 4.875" ~, - 5,3 I. ] t - lntetcsl M T B uy 03/09/09 M[87. - US Treasury No~cs 4.g75q. - - 5:31t ~ Inn:rest M T B uy 4/6/09 M- ~addl)

8 8 . - tJS "lrcasu~ Notcs 5.1255b - 6/301 l - (" h n e ~ c s ~ M T go v 6 ~ 2 1 0 9 M-~89. " ...., - U S T r e a s u % N o t e s 5 . ~ 2 5 ~ ; ,_ - 6 / 3 0 . 1 1 - C I n t e r c g ~ M T B uy 06/22/( 9 M~ {addf)("0. - US TrcasuD , Notes 4.625% I I;! 5i09 - Interest l" Redeemed 1 1 / 1 5 1 0 9 M

9 1 . - US Trcasmw. Notes 4.5% - 11/30/11 - ~ Imcrcst M T B uy 02i0909 MUS Treasury Notes 4.625% . 12/3 I/I I -

] C I n t c r c s ~ M q B uy 02/09/09 M .9 3 . - US Treasu~, Notes 4.75% 1/3 ltl 2 - I n t e r c s ~ M T B uy 02/09/U9 M9 4 . - US Treasury Notes L75% - t 1/15/I t - [ B lmcrcs~ M T

95 . ~}J~J~l rcasu~ N o l c s 1 . 7 5 % - I 1/I5/!1 _ ~l Blntercsl M T ( a d d j ) B u y 2/23/09 M

,96 . - t)S Trcasu~ Notes 1.75% - 11, !5/11 [ A lme~cst k.1 1 B uy 6 , 2 2 1 0 o M9 7 . - US Trcasu~, Notes 1.75 ~i, - I 1 15q ~ ,X I n t e r e s t M T B uy 9 " 4 / 0 9 M

I n ~ c r c s t M T B t y 2 . 3 4 ) 0 M

~ a d d ~ I n t c r e m M T B u y ! , 2 0 / 0 9 M ""laddl)

, 1 0 1 . - USTreasur? Notes 0.875% , -3/3111- j A l n ~ e r c s t M T B uy 331/09 M1 0 2 . - U,. Trcasu~ Notes 1 5 / 1 2 : A lmcresr M "g B uy. (1 % - I.15./I 2 A _ _


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F IN A N C I AL D I S CL O S U R E R E P O R TPage 1 0 o f 12 Pthelzer, M a r i a n a R . 5 / 4 / 2 0 | 0

V I I . IN V E S T M E N T S a n d T R U S T S - . ~ .. .. .. .. ~ .......... , ~ 0 . . ~ a . ~ . ~ , , , . , ~ o , , , o z ~ , . . . . . . . ~ a ~ , ~ . a ~ . , ~ i ~ a .........~ N O N E (No reportable income, assets, or transactions.]

~ .........................C ........... D. ........(I) ~ 2 ~ i]~ ~ (2} ~ 1 ~ : , (3 )

( Q W ~

1 ( ~ 4 . - U~ "trcm, u~ Notes 1.375%- 5zt5.12 - B uy I I. ~ 2 0 / 0 9 M

1 { ! 6 - US ~reasurx. No~cs .5% 7: 5 2 B uy I 1:20/09 M1 0 7 - US Treasu~ Notes 4.~5 3/31!11 . C [nteresl M T B uy 0 2 , , 2 4 1 0 9 M

. _(} ~ - US Treasury Notes 4.75 3/31/1 I C lnteres~ M T ~u y 03/09/09 M(add l)1 0 9 , 2010 gese~,oir RD lnveslors LLC-Ma~Ian( D Rent I U

I 0 A I n t c r c s t , Sec Section VI I II I A i D istribution See Sccl ion V i i i1 2 . "lr~st # I- hcadcr

[ I 1 3 - Sharcs W clls Fargo Govt Mo~ev M arket A Dividend K Tfqmd


11/12

FI N A N C IA L DI S C LO S U R E R E P O R TPage 11 ofl2

V I I I. A DD IT I O N A L I N F O R M A T I O N O RVII. page 4, # 2 Dis[rJbulio~ l~ om #VII. pa ~~ 4, f; 5. l)istr ibu[ ion from ~VII. pa~e 10. ~ I I0. Inmrest from ~VII page l~J, g l1 I . Dist~bmion from


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F IN A N C I A L D I S CL O S U R E R E P O R T ~ .... fP er s o n R ep o r t in g Date o f R ep o rtPage 12 of 12 ~ f ~ e U e r . M ~ , i - .. ,a R . 5 / 4 , 2 0 . I

I X . C E R T I F I CA T I O N .I cerl i fy that al l information given abnve (includ ing information pertaining to m y spouse and m innr or dependen t cbi ldren, i f any) isaccurate, t rue. and com plete to the best of my knowledg e and bel ief, and that any informalion not reported was withheld because i t met appl icable stataroryprovisions permit t ing non-disclosure.1 further eert i~, that earned income from outside em ployment and hon oraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 51}1 el . seq, 5 U.S.C. 7353, and Judicial Conference regu lat ions.

Signa ture

NOTE: ANY INDIV IDUAl , WHO KNOW tNGLV A ND W ILFULL~ FA LSIFIES OR FALLS TO FILE THIS REPORT ~dAY BE SUBJECT TO CIVIl ,AND CRIMINAL SANCTIONS (5 [! .S.C. app. 104)

FII.ING INSTRUCTIONSMail signed original and 3 additional copies

Commitzee on Finaneia! DisclosureAdministrative ()ft~ce of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washinglon, D.C. 20544

Documents

Mariana R Pfaelzer Financial Disclosure Report for 2009