Marilyn H Patel Financial Disclosure Report for 2010

8/3/2019 Marilyn H Patel Financial Disclosure Report for 2010

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AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name, f i r s t, middle ini t ia l )PAT E L , M AR IL YN H.

4. Title (Article IIl judges indicate active or senior status;magistrate judges indicate full- or part-t ime)Active Judge USDC

7. Chambers or Off ice AddressUnited States Distr ict CourtP.O. Box 36060San Francisco, CA 94102

2 . C o u r t o r O r g a n i z a t io nNorthern District California

3. D a t e o f R e p o r t05/11/2010

5a. Repor t Type (check appropr iate type)] Nomination, Date[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

R e v i e w i n g O f f ic e r D a t e

6. Repor t ing Per iod01/01/2010

to12/31/2010

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,checking the NO NE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . m e , o r ti n g i n d i ~ i d .. ~ o n l y ; ~ e ~ p p . 1 4 - 1 6 of filing instruction~)~] N O N E (N o reportable agreements.)

D AT E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r so n R e p o r t i n gP A T E L , M A R I L Y N H .

Date of Report05/11/2010

III. N O N - I N V E S T M E N T I N C O M E . ~ R e p o n i n g individual and spouse; seepp. 17-24 of f!ling instructions.)A. Filers Non-Investm ent Incom e

~] (No reportable income.)ONE non- inves tmentDATE SOURCE AND TYPE

2.

3.

4.

INCOME(y ours , no t s pous e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you were m arried during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)~ NONE (No reportable non-investment income.)

DATE S O UR C E A N D TY P E

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.(Includes those to spouse and dependen t children," see pp. 25-27 o ff!ling instructions.)

~] (No repor table re imbursements . )O NESOURCE

1. ALI-ABA, Lit igat ingEmployment Discriminat ion2. ABTL M a rc h 27-30, 2009 Ojai, CA Conference m eals, lodging and transportation3.4.

5.

DATES LOCATION PURPOSEMarch 5-7, 2009 Scottsdale, AZ Lecture/presentation

ITEMS PAID OR PROVIDEDmeals, lodging and transportation


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Name of Person Repor t ingP A T E L , M A R I L Y N H .

Date of Repor t05/11/2010

V . G I F T S . (Includes those to sp . . . . . . d dependent children; see pp. 28-31 of f i l ing instructions.)N O N E ( N o reportable gifts.)

SOURCEt.2.

3.

4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o S ~ p o u s e and depende nt chi ldren; see pp. 32-33 of fi l ing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .

2.

3.

4.

5.

V A L U E C O D E


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N a m e o f P e rs o n R e p o r t i n gPATEL, MARILYN H.


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 , v a t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 offiling instructions.)N O N E (No reportable income, assets, or transactions.)

A, B. C, D.Descr ip t ion of Asse ts In c o m e d u r in g G ro s s v a lu e a t en d Transact ions dur ing repor t ing per iod(in c lu d in g tru s t a s se ts ) r ep o rtin g p e rio d o f r e p o r t i n g p e r i o d

(1) (2) (1 ) (2 ) (1 ) (2) : {3) (4) {5 ~Place "(X)" after each asset A m o u n t Type te.g., V a l u e Value 3"ype (e .g . , Date .... Value Gain : IdeMity of

exempt from prior disclosure C o d e 1 div. , ren t , C o d e 2 M eth o d ., huy,sell, m~dd/~ :: Cod~2 Code 1 .... buyer / se l le r(A-H) orint.) (J -P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) ( i f pr iva te

( Q - W ) t r a n s a c t i o n )

1 . Adobe Sys . Inc N o n e2. Aegean Marine Petro Inc. A Dividend

LL

T

T Bu y 9/14/09 L

3. Anadigics Inc. None Sold 8/21/09 K4. Banco Bradesco B Dividend L T5. Bank of America A Dividend N T6. BB&T Corp . A Dividend L T Buy 9/14/09 L

7. BE Aerospace Inc. None K8. Boeing C Dividend M9 . C h e s a p a e k e E n e r g y C o r p . A Dividend L

TT Bu y 9/30/09 L

1 0 . China Medica l Tech ADS B Dividend K T1 1 . C h in a S e c & S u r v e i l l a n c e N o n e So ld 9/30/09 J1 2 . CIA Vale Do Rio Doce A Dividend K T1 3 . Ciena Corp . N o n e Sold 8/21/09 K1 4 . C i t ig roup Inc . B D i v i d e n d L T

1 5 . Citizens Rep. Bank Co. None J1 6 . Cliffs Natural Res.Inc. A Dividend M T Buy 9/30/09 L1 7 . Cognizant Tech Sol. C1. N o n e M T Bu y 8/21/09 M

L Incom e Gain Codes: A =$ 1,000 o r lcss B = $ 1,001 - $2,500 C =$2, 501 - $5 , 00 0(S ee C o lumns BI and D 4) F =$50,001 - $100,000 G =$100~001 - $11000!000 H 1 =$1;000,001 = $5;000;000

2. Va lue Codes J = $ 15,000 or less K -$15,001 - $50,000 L -$50~001 - $100,000(S ee C o lumns C I and D 3 ) N =$250,001 - $ 500,000 O =$500,001 - $ t ,000,000 P 1 =$ 1,000,001 - $51000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $ 50;000~0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment(S ee C o lumn C 2 ) U = Book Value V = Oth er W =Estimated

D =$5,001 - $15,000 E = $15,001 - $50,000H2 =More than $5;000,000M =SiOO;OOi- $~5o,oooP2 = $5,000,001 :$25,000,000T = C ash M ark e t


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N a m e o f P e rs o n R e p o r t i n gP A T E L , M A R I L Y N H .


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 , v a t u e , t ransac t ions, Inc ludes those of spouse and dependent chi ld ren; seepp . 34 -60 of f i l ing inst ruc t ions . )~ N O N E ( N o reportable incom e, assets, or transactions.)

: : Place ~(X)i

1 8 . Colonia l Bank Group N o n e1 9 . C o m in g I n c . A Dividend20 . Co un t rywid e Cap N o n e L21 . D o w C h e m i c al C o . A Dividend M22 . Electric A rts In c. No ne23 . Electr ic Arts Inc. N o n e24 . Em brae r Em p resa B ras D D A D S No ne25. EMC Co rp . N o n e K26 . Emerson Elec t r ic Co . C Div idend L27 . F re ep or t Mc Mo ra n N o n e M28 . Fu el Sys tem s Solution s N o n e M29 . Fushi Copperweld Inc. None30 . G Market Inc. N o n e31 . Gafisa SA A Dividend L32 . Gen co Ship p in g & Trad in g Ltd . N o n e L33 . Genera l Elec t r ic Co . A Dividend M34 . H arris S tra tex N e t N o n e K

TT

T

T

T

T

TTTT

Sold 8/21/09 JSold 9/30/09 K

Bu y 8/21/09 MBu y 8/21/09 LSold 11/13/09 LSold 11/13/09 K

Bu y 9/30/09 MSold 6/27/09 JSold 6/17/09 K

Bu y 9/14/09 LBu y 9/30/09 MBu y 9/17/09 K

1: lnc0nle Gain Codesi A S$I;0~ 6 r ! ess B =$1,001 ; $2,500( S e e C o l u m n s B I a n d D 4 ) (3--$100~001 - $1,000,000=$50;001 = $100~000

2. Value Codes J = $15,000 or less K = $ 15,00I - $ 50,000(S ee C o lumns C l and D 3 ) N =$250,001 - $500,000 O =$500,001 - $1 ;000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee C o lumn C 2 ) U = Book Value V = Oth er

C =$2,501 ~ $5,000 D =$5,001 2 $15,000 E =$15,001 - $50,000HI =$1 000 001 ~$ 5 000;000 H2 =M0re than$5;000,000 .... .......... ....L =$50,001 ~ $i00i000PI =$ L000!001 - $5;000!000 = S 5 ; 0 0 0 ; 0 0 1 3 $ 2 5 ; 0 0 0 ; 0 0 0 . . .. . .. . .. . . .. . .. .P4 : Mor e t han $50 , 000 , 000 :S =Assessmdnt T ~ Cash Mar ket


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N a m e o f P e r s o n R e p o r t in gP A T E L , M A R I L Y N H .


VI I. INVESTM ENTS an d TR U STS - i .... e , va lue, t ransact ions ( lndudes those o f spouse an d dependen t ch i ldren; see pp . 3 4-60 o f f i l ing instructions .)NONE (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gr os s v a lu e a t end Tr ans ac t ions du r ing r epor t ing pe r iod

(including trust assets) reporting period of reporting period(1) (2) ( 1 ) : ( 2 ) (1 ) (2) . (3) (4)

Place "(X)" after each asset Amount Type (e.g.. Value Va lue : : : .T y p~(e ~g .~ : : : : : Da te Vaine Gain Identity ofexempt from p rior disclosure C o d e l div.,rent, Code,2 M~th~ .i.~!seil, ~m/dd!yy Co d e2 C o d e l buyer/seller(A-H) (J -P) ( A - I T ) (if privatet r a n s a c t i o n )

35 . Hartford Fnl. Services Grp. A Dividend L T Bu y 9/14/09 L36 . H o lo g ic In c . N on e Sold 8/21/09 L

37 . Honeywell Intl D Dividend M T38 . H S B C H l d g s P L C B Dividend M T Bu y 8/21/09 M39 . Hunt ing ton Bancshs Inc . A Dividend K T Bu y 6/12/09 K40 . ICICI Bank LTD N o n e M T Bu y 8/21/09 M

41 . ING Groep NV N on e Bu y 9/14109 L

42 . ING Groep NV N o n e Sold 12/23/09 L D4 3. In tel Corp. B Dividend K T

44 . JP Morgan Chase B Dividend O T Bu y 6/12/09 N45 . Johnson Controls Inc. A Dividend M T Bu y 8/21/09 M

Add l purchase

4 6. K ey C orp. In c. A Dividend M T Bu y 6/12/09 M47 . Kimco R ea l ty Corp . A Dividend L T Bu y 9/30/09 L48 . Marshall & Ilsley Corp. A Dividend K T Bu y 8/21/09 L49 . Mechel OAO N o n e L T Bu y 9/30/09 L

50 . Mitsubishi FNL. A Dividend Sold 9/30/09 K51 . Morgan S tan ley A Dividend M T

i i hedmd ~ ai ~ Codesl A =$1,000 or less B = $ 1 ,001 . $ 2;500 C--$2,501 -$5~ 000 D =$5,001 -$15,000(See C01~ BI and D4) F =$50,001 - $100;000 ........ : G--$100;001 ~ $1;000;000 I l l =$1 000 001 ~ $5 000 000 H2 = M ore th an $ 5 0 0 0 0 0 0

2. Value Codes J =$15,000 or less K =$15,001. $50;000 L ~$50;001 - $100~000 M --$ i00,001 ~ $2501000( Se e C ol um n s C I a nd D 3) N =$ 25 0,0 01 - $ 500 ,00 0 0 = $50 0,0 01 ~ $ 1;0 00;0 00 P I- -$ 1;0 00 100 i 2 $ ~i0 00 ;00 0 P 2 = $5;000,001 ~ $ 25,00 0;0 00

P3 =$25,000,001 - $50,0~0,000 P4 =M0te than3. Value Method Codes Q =Appraisal R :C ost (R ea l Es ta te On ly ) S ~Assessm ent T :cash Marke t

(S ee C o lumn C 2 ) U = Book Value V = Oth er W ~Estimated

E =$15.001 - $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 gP A T E L , M A R I L Y N H .


V I I . I N V E S T M E N T S a nd T R U S T S - i ne o, -e , va lu e, , ,a n s u c , lo n s a n c l ~ d e s t h o s e o S s p o ~ s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A B. C. D.Description o f Assets Incom e during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period(1) (2) (1) (2) (1 )

A m ou nt Ty pe (e .g ., Value ~a lue T y p e t t e .g . ,Code 1(A-H)

Place "(X)" after each assetexempt from p rior disclosure

(2) (3) (4) (5)Date Va lue Gain Identity of

div.,rent ,. Co d e2 Meth0~ buy, sell , mm/dd/yy Co d e2 Code 1 buyer/sellero r i n t . ) O-P) Code 3 redemption) (J-P) (A-H) (if private( Q - W )

52 . Mylan Inc. N o n e K T53 . N ig hthaw k R ad io lo g y In c. N o n e So ld 9/30 /09 J

54 . No ble In tl Ltd N on e Sold 8/21/09 J55 . Nokia C .P. B Dividend Sold 9/30/09 K56 . Raytheo n Co . A Dividend Sold 9/30/09 K57 . Regions F inanc ia l Corp . A Dividend L T Bu y 6/12/09 M58 . Sa tyams Compute r Svc N o n e K T Bu y 8121/09 L59 . Schwab Cash Res . C Dividend M T60 . Sterlite Inds Ltd A Dividend L T

61 . Sun Po wer Co rp . N o n e Sold 8/21/09 K62 . Suntech Power Hldgo . N o n e K T Bu y 6/12/09 L63 . U n im pro v ed Lo t (See no te in Sectio n VIII) N on e L W64 . U.S . Bancorp . A Dividend L T Bu y 8/21/09 M65 . V a le S A A Dividend L T Bu y 6/12/09 K66 . V i m p l e C o m m u n i c a ti o n s B Dividend L T67 . Wachovia ( former ly Wor ld Sav ings) A Interest K T68 . Webste r F inanc ia l Corp . A Dividend L T Bu y 9/30/09 L

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

D

Part VllI, #I

World Sav ings Sold to

2. Value Codes J = $15,000 or less K =$] 5~ 00] -$50 ,000(S ee C o lumns C I and D 3 ) N =$250,001 -$500;000 O--$500,001 . $1;000,000p 3 ~ $ 2 5 , 0 0 0 , 0 0 ~ - $ 5 0 i 0 0 0 , 0 0 0

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee C o lumn C 2 ) U = Book Value V = O~h er

C =$2,501 - $5,000 D =$5,001 - $15,000HI =$ti000;001-~5,000;000 H2 =More than $5,000,000L =$50i001 - $100,000 M =$100,001 - $250,000PI =$1,000,00!- $5,000,000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000S = Assessmen t T -Cash Mar ketW =Estimated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 8 of 1 0

N a m e o f P e rs o n R e p o r t i n gPATEL, MARILYN H.

D a t e o f R e p o r t05/11/2010

(including trust assets)Place "(X)" after each assetexempt from prior disclosure

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 , v u tu e , t r a n s a c t i o n s a n c l u d e s t h o s e o l s p o u s e a . d d e p e . d e n t children; see p p . 3 4 - 6 0 of filing instructions.)NONE ~o reportable income, assets, or transactions.)

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 T r a n s a c t io n s d u r i n g r e p o s i n g p e r i o dre p o s in g pe r io d o f re p o S in g pe r io d

(1) (2) (1) (2) (1 )Amount Type (e.g ., V a l u e V a l u e T~e (e.g.,

(2) (3) (4) (5 )D a t e Value Gain Identity ofCode 1 d iv .. re n t. C o d e 2 M e t h o d buy sell, mm/dd/yy Code 2 " Code 1 buyer / se l le r

( A - H ) or in t . ) ( J -P) C o d e 3 r e d e m p t i o n ) (J-p) ( A~ H) ( i f p r iva te( Q - W ) t r ansac t ion )

69. Zoltek Co. None So l d 8/21/09 K I

B =$1,001 - $2~500(See C01um ns B I and D 4) F = $ 50;001 - $ I00;000 G= $ ] 00,001 - $1 ,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000( See Col umns Ct and D3) N = $250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003, Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee C o lunm C 2 ) U = Book Value V = Oth er

C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L =$50,001 - $ 100.000PI =$1,000,001 - $5,000,000P 4 M ore th an $ 5 0 ,0 0 0 ,0 0 0S =Assc ssmc mW =Estimated

D =$ 5,001 - $15,000 E =$ 15,001 - $50,000H2 = M ore ~an $ 5 ,0 0 0 ,0 0 0

M =$100,001 -$250,000P2 =$ 5,000;001 - $25;000;000T = C ash M ark e t


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N a m e o f P e r s o n R e p o r t in gPATEL, MARILYN H.


V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndlcate part of report.)1 . Sec t ion VII ( Inves tments and Trus ts ) , No. 63 : We have owned th is lo t s ince 1970 . The va lue a sc r ibed to i t by the cod e r e f lec ts wha t appea r s to be va lues fo ro the r lo ts in the a r ea tha t have gone on the m arke t r ecen t ly . I t ha s no t been appra ised and the "cur ren t va lue" i s on ly an approx ima t ion based on com parab le s .


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Name of Person Report ingP A T E L , M A R I L Y N H .

Date of Repor t05/11/2010

IX. CERTIFICATION.I c e r t if y t h a t a l l i n f o rm 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 i n 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 , tr 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 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 y

p 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 re .I f u r t h e r ce r t i fy t h 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 th th e p r o v i s io n s o f 5 U . S . C . a p p . 50 1 e t . s e q . , 5 U . S . C . 7 3 53 , a n d J u d ic i al C o n f e r e n c e r e g u l a t i o n s .

Signature: S/MARILYN H. PATEL

N O T E : A N Y I N D 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 I L S T O F I L E TH 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 LAND CR IMINAL SANCTIONS (5 U.S .C . app . 104)

I C o m mi t t e e o n F i n a n c i a l D i s c l o s u r eAdm inis t ra t ive Off ice of the Uni ted S ta tes Cour tsSui te 2-301One Columbus Circ le , N.E.W a s h i n g t o n , D . C . 20 544

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Marilyn H Patel Financial Disclosure Report for 2010