William B Shubb Financial Disclosure Report for 2009

8/3/2019 William B Shubb Financial Disclosure Report for 2009

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t Report Required by the EthicsA o l O I FINANCIAL DISCLOSURE REPORTR e ~ , . , / 2 0 t o I FOR CALENDAR YEAR 2009 0 u.s.c, app. f lOI lidl , Person Reporting tIast name , first, middle inili~l} L Courl or Organizat ion [ 3 . D~te o{ ReportShubb. William B. U, S. District Court 0~/I 4,2010

4. Title (A~icle IIl iudges indicate active or senior s:atus: 5a. Report Type (check appropriate ~pe) 6. Report ing Per iodmagistrate judges indicate full- ~)r part-tittle) ] Nomination, Date 01/01/2009Senior U.S. District Court Judge [] Initial [] Annual [] Fina~ to12:31/2009

5b. [] Amended Report7. Chambers or Off ice Address 8. On the bas is of the information conta ined in this Repozt and anymodifica t ions perta ining there to , i t is . In my opinion, in compliance

501 1 Stree t with applicable laws and regulations.Suite 14-210Sacramento, CA 95814 Revles,,ing Officer Date

IMP ORTA NT N OTES : The instructions accompanying this form must be folio,red. Complete all parts,checking the NONE box for each part where you have no reportable informatiog Sign on la st page.

I . P O S I T I O N S . u , : o , , i ,g i , u i , .i u , o ~ o , o . , s , , r p . 9 - ~ s of f!lin~, instructions,)~] NONE (No reportable positions.)

POSIT ION N A M E O F OR G A N IZA T IO N /E N T IT Y1 Adj u nc t P r of es s or Universi .ty of the Pacific. McGeorge School of Law

2. Adjunct Professor University of California, Davis, School of Law

N O N E OVo reportable agreements.) ~.D A T E P A R T IE S A N D T E R M S


2/11

I~INANCIAL DISCLOSURE REPORT ~ .... fPe ....Report ing1 Daleo[Reportage 2 o f 1 1 S h , b b , W i ia m g . 0 4 1 1 4 . 2 0 1 0

A. Filcrs Non-Investment IncomeN O N E (No reportable non-imestment income.)

D A T E SO U R C E A N D T YPE I N ( O M E() ours . not spouses)

3.

4.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - r [ ~ ,o . ~e,, married during any portion of the reportlng year, complete th;~ sectior~tDollar am ount not requ red orcept f~r honoraria. )

N O N E (No reportable non-investment income,)D A T E SQ U R C E A N D T YPE

I.

2.

3.

4.

IV. REIMBURSEM ENTS -(Includes throe to .~7~ ouse and d~pendent children, s,e pp. 2 5-27 O[~I~ ling ir~tructions

N O N E ( N o reportable reimbm:~emenz~.)~ D A T ES LO C AT IO N P L ~ P Q S E I T E M S P AI D O R P RO V I DE D

I.2.3.4.

5.


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F~INANCIAL DISCLOSURE REPORT N .....Person Report ing Date of ReportPage 3 of I 1 S ~ , ,b b , W i ll i a m B . 0 4 . 1 4 . ; 2 0 1 0

[~] N O N E (N o reportable girls.)~ D E S C R IP T IO N VALUE

1.2.3..~ .

5.

V I . L I A B 1 L I T I E S . , . c ~ . a . ~ , ~ , o ~ , o z ~ o . .. . . d dependent , b i r d . . . .. .. p p . S 2 - 3 3 of filing instructiott,.)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R IP T IQ N VALUE CODE!.

3.4.

5.


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I~INANCIAL DISCLOSURE REPORT n ..... fP .....Reporting l)a teofRepor!Page 4 of 1 1 S h u b b , W i ll ia m B . 0 4 ! 1 4 , 2 0 1 0

N O N E ( N o reportable income, assets, or transactions.)A " ~ - B. C. D.

Descriplion of Asset~ Income du~ng Gross value a~ end Transactions dur ing r~r ting ~r i~(including trust a~ct~) reporting period ol re~mng per iod

(I) (2~ ~D (2) (I) (2) (3) (4)exem pt from prior disclosure Cndc I [ div.. r~, Code 2 Method buy. sell m m;ddyy C~e 2 [ C~e I buyeffscller(A-H) ] or int. I (i P) Code 3 ,edcm ptior~) (J-P) : (A-H) (ifprvale(Q-W) :: mmsaction)

I. BANK ACCOUNTS

~ ~ B a n k A m e r ic a (C h o k i n g ) A I n t e r e s t K T3. Bank Am erica (Maximizer) A Interest J T4. I s t C o m m u n i ty C r e d i t U n i o n A I n t e r e s t

6. ANNUITIES

7. A m e r i ca n S k a n d i a N o n e M T

8. Ventnre Annuity None J "1

I 0 . LIMITED PARTNERSHIPS

I I . Municipal Mortg. & Equity B Dividend K ,%,1 2 .

13. R A Y M O N D J A I v lE S I R A

1 4 . Government Strips None J T1 5 . Capstead Mortgage /%. Dividend J " 11 6 . R . I B a n k D e p . A D i v i d e n d

17.


5/11

N ....of Person Report ing [ Date of ReportP a g e F I N A N C I A L 5 o f 1 1 D I S C L O S U R E R E P O R T S h . b b , W i ll ia m B. [0 4 / 1 4 / 2 0 1 0

VII. I N V E S T M E N T S an d T R U S T S - i. ....... t.e, t ....... i o m a . ~ t ~ a e s t h o s e o f sp o u s e ~ n a a e p * . a e n t c h a a r e n ; ~ e . l W . ~ 0 o f f l U n gN O N E (No reportable income, c~sets, or transactions.)

A ~ . 6~ ...................... O.Des~iption of Assets ] Income during Gross value at end Transac l ons du~ng rc~aing ~riod(including trust assc~s) tcpoa ing p~ iod of reposing period .

~ ~ 2 ) (~) (~) ti~ (~) ~ ~3~ ~ (4)Place "(X)" af ter each asset Amount Type (c .g , Value V alue T ype (t.g., Date Value : Gain ldcnti~ ofexempt from prior disc [o~re CMe I div., rent. C~e 2 : Meth~ buy, sell. .mm" d ~ yY ( _ o d e 2 Code I ~ buycri~ller[ (A-H) or int.) (J-P) Code 3 redemptionj ~ (J-P) (A-H~ ~ (if pdvatc :,(Q-W) [ .........~ transaction)

I8 . RAYMOND JAMES ACCOUNT # I

19. E agle Mu ni Cas h T r u s t, t in i ly k nown m s A Dividend J THeritage Cash TrustMun20 . Evergreen Strategic Muni Fund A Dividend J T

2 1 . Franklin CA High Yield Muni C Dividend K T

~ 2 . Seligman CA Hi YId Muni C Dividend L T2 3 . Van Kampon Hi Yld Muni B Dividend K T2 4 .

25. RAYMOND JAMES ACCOL.~T #2

2 6 . Eagle Muni Cash Trust, fmrly known as A Dividend J T Sold 0 5 . . 2 6 ~ 0 9 Llteritage Cash TrusMtmi (part)27 _ Alliance Muni Income In~d CA B Dividend K T28 . Franklin Income Fund C Dividend L T

29 , Franklin Strategic Income Fund C I) t~ idend L T

30 . High land Capi ta l F loa t ing Ra te B Dividend K T

3 I. Oppenheimer Scnior Fltg Rate A Dividend J -I"3 2 . V a n Kampen Equity Income Fund A Dividend K T33 . Citizens Bank 2,55% 6/01/11 CD A Dividend L T B uy 05/26/09 L

3 4 . Preferred B ank 1.15% 5~28/I0 A Dividend L T B uy 0 5 / 2 6 " 0 9 L

P3 =$25 ~l.O~] - ~50.09~J.OI]fl P4- More


6/11

I~INANCIAL DISCLOSURE REPOR T .~ ......f P .....Reporting Date of ReportPage 6 o f 1 1 Shubb, W i ll ia m B . 0 4 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S -~ N ONE (~Vo reportable income, assets, or transactions.)~. ..... ~~ ....... ~ ? - c. ff .......Des~iption of Assets Income dcr~ng Gross value a~ end "] ransacdons during rc~in~ period(inc luding ~s t a~c t$) r~Toning ~rh~ o f reporting ~rit~(l) (2) (I}Place "(XI" afi~ each assc~ Amount Type (cg. , Value Va~ue T)pc ~e g . , Dale ] Valu e Gain [ Id e miD ofcxempt from prior disclosure ~ Code I div.. renL Code 2 Method buy, sell. [m~dgyy :. Code 2 Code I~ buyer/seller (A-H) o r (Q-W} transaclion}36 . WACHOVIA IRA

37 . E qu a l ly Weigh ted S&P Fu nd A Dividend J T

38 .

3 9 . WACHOV IA - - -~4 0 . Bank sweep acct. A Dividend K Z Sold 0 3 / 3 0 . . : 0 9 J( p a r t )4 1 . Boeing A Dividend K T4 2 . Chevron A Dividend K 1 -43 . Coca Cola A Dividend K 1- B uy 03/30.09 J!addl) 14. General Electric A Dividend K T

45. lntel A Dividend K "I"a6. Proctor & Gamble A Dividend K T47.

4 8 . IRA --]

4 9 . Wachovia B ank Deposit Sweep A Dividend 3 T5 0 . Dividend Growth Fund A Dividend J "1"5 1 . Apache Corp. A Dividend K T

I. Incom cGatn Co des: A -$1.000 or less B=5;I.e01-$2,50{~ (7 $2.SfH-$s. l) llt} D=$5.001-S15,000 E ~15.{301-$50.0(R}

p3 =g25.I]00,0(d . $50,000.~30 p.l M~ re t ban .~ 50.0~ 0.if, q0


7/11

N.me of P Reporting .....

[

D.teofl~eport

[I ~ IN A N C I A L p a g e 7 o f 1 1 D I S C L O S U ~ ~ P O R T S h u b b . W i ll ia m B . ~ / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i~ ........ ~. ~ ..... dons ilncIud~ those of s~use a~d dependent children: see ~p, 34~0 of filing i ..... tion.~)N O N E ( N o reportable income, assets, or transactions.)

A. " B C. D.Income dur~g :: G~ss value a~ c~d ~rznsacfions during reporting ~riodD e s c r i p t i o n of .Assets

(including m ist as~c~s) ~ re~alng period of ~iag periodPlace "{X)" at]or each asscl Amount qype (eg._ Value Value T)pe (e.g. . [ [)~tc Value Gain den ty o f

exempt from prior d~sclosure Code 1 div.. rent, Code 2 Me~ buy sell I n ~dd, yy ~ Code 2 :~ Cod e 1 buyer, seller[A-H) or int.) (J-P) Code 3 redemption) : ~ ( J P I I (A-H) l ifpr ivmc

52 . Sempra En~ A Dividend J T

53 .

54 . IRA/ROLLOVER of tIR-10

55 . W ac h ov ia Bank Sv , c c p Ac c t . A Dividend J T So ld 03/24/09 L

56 . Sold 09/29,09 J{par057 . Franklin Income Fund C Dividend L T B uy 09..2%09 J(ztdd[)58. Equally WeightedS&P 500 A Dividend L T

59 . D iv idend G r owth Fu nd A Dividend M T

60 . JPM International Value Ftmd A Dividend K T

6 1 . Abbo! Labs A Dividend K T6 2 . A T & T B Dividend K T B uy 0 3 / 2 4 , 0 9(addl)6 3 . Boeing A Dividend K 70 4 . Bristol Mcyers A Dividend K "16 5 . Catepillar B Dividend K T B uy 0~/24/00 1(addl)6 6 . Chevron 1 3 Dividend K T6 7 . Cisco /X Dividend J T6 8 . Coca Cola A Dividend K T


8/11

FINANCIAL DISCLO SURE REP O R T ~ ...... f P ..... R e p o r t i n g D a l e o f R e p o l ~Page 8 of ] 1 S h u b b . W i ll ia m U . 0 4 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i .......... l . . .. . .. . . ., i o , , (I n c l u d e ~ t h o s e of Sp ...... d dependent children; see p p . 3 4 - 6 0 of j~l lng i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

A. [ I n c o m e d u r in g G r o s ~ ~ a l u e a t e n d Tran~clions during reporting peri~D e s c r i p ti o n o f A s s e u( i n c l u d in g ~ s ~ a s s c t ~ ) ~ repo~ng ~riod o f r e ~ r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t l A m o u n t ~ Type cg. V alue V alue T y p c ( e g . , Date ~ V alue ~ Gain l d e n t iD o fe x e m p t ~ o m p r i o r d ~ s l o s u r e ] C o d e 1 ~ d iv . , r e n l . C o d e 2 M e t h l ~ b o y . s o i l m~vd~yy Code 2 C~1 bu)eri~ller{ A - t t ) o r i n t . ) ~ J - P ) C o d e 3 r c d c m p t ~ o n l (~-P] I IA-HI ( i f p r i v a t e

6 9 . Comcast A Dividend J

[70. Cunoco B Dividend K [ T B uy 0324;09 J~addl) [7 1 . I~ Pent A ~ividcnd

7 2 . General Electro A Dividend K

7 3 . Hewlett Packed A ~ividend7 4 . lntel B Dividend K T

7 5 . IB M B Dividend L7 6 . Johnson & Johnson B Dividend K [ B uy 03i24/09 3 I(addl)

~ 7 7 . .~ca~cl-Lucent A Dividend 1 I T7 8 . Microso~ A Dividend K ~ T7 9 . Prater & Ga~nble A Dividend J [ T B uy 03/2409 J [

[ (addl)8 0 . Scm pra En cr~ A Dividend K [8 1 . T a r ~ t A Dividend J ~ T

I~ 2 . W a l~ D ~ s n c y A Dividend K I8 3 . Yum Bra~ds A Dividend J [ 18 4 . Zimmer Holdings A Dividend8 5 . BofA t.10% 4:01/10 A I n t . , , D i v . K ] T B uy 03;24/09 K

(See Column C2) U = Bt,ok V~t!ue V - I)t~er W = ~tlmated


9/11

~INANCIAL DISCLOSURE REPO RT N a m e o f P ~ r s o n R e p o r t i n g[

Date of Report

Page 9 of I 1 Shubb , W i ll ia m B . 0 4 / 1 4 / 2 0 1 0VII. INVESTMENTS a n d T R U S T S - i,,,. ....... i,o. tratt~actions (Includes those of sp ...... d dependent children; ,seepp. 34-60 o]fillng instructions,)

N O N E (No reportable income, assets, or transactions.)A B. C.

Description of AsscIs Incom e during Gross value at end Transactions during reporting period: (including t~st assets) ft.porting period of re!x,rting period: 0) ! t:~ o~ ~ ..... (t) ~ (2~ -! (3) t4) (5 )Place "(X)" after each asset ,Amous~t T~pc (e.g., Value Value qype (eg., Da.e. , \able :: Gain ldeml

exempt f rom p~or d isclosure ! C(.,d I div ,. rent, Code 2 Method ] buy. sctl. mm/dd/y2. i C O d e 2 Code I b u . s e i ~ s e l l e r(A-H~ or int.) ~ J - P I Code 3 rode~ption} ] (J-P) (A-If) (if priva:c: (Q-W) ] . _ i transaction)

86 . CORTS- BMY Squibb 8-1-97 (KNR) B Dividend J T

8 7 . GE Capital St. Notes 2/18;33 (GED.) t3 Dividend

: 8 8 . GE Capital PINES 6/28/32 (GEA) B Di,idcnd K T8 9 . GECC 6.1.% PIN ES 11/15/32 (GEC) 1 3 Dividend K T9 0 . Georgia Power Sr. Note,,, I/1545 (GAH) !t Dividend K T9 1 . Morgan Stanley 6.45% Pfd 4/I 5/67 (MSK) 1 3 Dividend K T9 2 . SATURNS GE 6% Pfd 3/15:;32 (DKC) B Dividend K T

9 3 . Wachovia 6.375%,Pfd 6,1/67 ~ 3 Dividend K T9 4 . Wells Fargo Capital 6.25A, 6q5/67 (F\~T) B Dividend K T9 5 .

P 3 = $ 2 5 , W ~ ) ( I 0 1 . $ 5 0 , O ( I r L O ) 0 P 4 : M o r e t h a n S S O . O O O . ( ( (


10/11

FINANCIAL DISCLOSURE R EPORT ,~me of Pcrxo~ l Report iBg ] Date of ReportPage 10 of 1 1 Shubb, W i l li a m B. [ 0 4 / 1 4 / 2 0 1 0

V I II . 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 . a~ic~,,~,~,~ojR,~,o,.~

Line 19, Eagle Muni Cash Trust was formerly known as Heritage Cash Trust Municipal.Line 26. EagIe Muni Cash Trust was forrr.erly known as Heritage Cash Trust Muni~:ipal.Line 57, Franklin Incom~ Fund, Column B,(2) was incorrectly listed as "Distribulion" in 2008.


11/11

FINANCIAL DISCLOSURE R EPORT s . ~ o r e ~ , ~ o . ~ . p o , ~ a . gI D s teo rR epo r t JPage 1 1 of 1 1 Shubb , W i l ia m B . 0 4 / 1 4 / 2 0 t 0

IX. CERTIFICATION.i cer tify that a ll information given above ( including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incomp liance ~vith the provisions of 5 U,S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

N OTE: AN Y INDIVIDUAL W Il t KN OWIN GIoY AN D \VILFUIA~Y FALSIFIES OR FAILS TO FILE Ti l ls REPORT MAY BE SUB JECT TO CIVILAN D CRIMINAL SAN CIIONS (5 U.S.C. app. 104)

F I L I N G I N S T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-30 IO11e Columbus Circle, N .E.W ashington, D.C. 20544

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William B Shubb Financial Disclosure Report for 2009