raymond c fisher financial disclosure report for 2010

8/3/2019 Raymond C Fisher Financial Disclosure Report for 2010

1/9

AO 10Rev. 1/2011

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report Re quired by the Ethicsin Governme nt Act of l978(5 U.S.C. app. 101-111)

I I. Person Reporting (las t name, firs t , middle ini t ia l)F I S H E R , R A Y M O N D C .

4. Tit le (Art ic le I l l judges ind ica te ac t ive o r sen io r s ta tus ;magis t ra te judges ind ica te fu l l - o r par t - t ime)

U .S . C IRC U IT J U DG E - Ac t i ve

7 . C h a m b e r s or Off ice AddressU . S . C O U R T O F A P P E A L S - 9 th C I R C U I T1 2 5 S . G R A N D A V E . # 4 00P A S A D E N A , C A 9 1 1 0 5

2. C our t o r Organ iza t ionU . S . C O U R T O F A P P E A L S - N I N T H C I R C U I T

3. Date of Repor t05/16/201 I

5a. Repor t Type (check appropr iate type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h 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 i s R e p o r t a n d a n ymodif icat ions per ta ining thereto, i t i s , in my opinion, in compliancewi th a p p l i c a b le l a ws a n d r e g u la t io n s .

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

to12/31/2010

R e v i e vd n g O f f i c e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,! Complete ali parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

I. P O S I T I O N S . t R e p o r t i n g individual only; seepp. 9-13 of f i l ing instruct ions. )D NONE (No reportable posi t ions.)POSITION NAME OF ORGANIZATION/ENTITY

1. M e m b e r , B o a r d o f D i r e c t o rs C ons t i t u t i ona l R i gh t s F ounda t i on (nonpro f i t ) , Los Ange l e s , C A2. Vice-Cha i r , Board of D i rec tors We st e rn J us t i ce C e n t e r (nonpro f i t ) , Pa sa de na , C A3.4.5.

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)[~] N O N E (No reportable agreem ents.)

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gFISHER, RAYM OND C.

D a t e o f R e p o r t05/16/201 !

I I I . N O N - I N V E S T M E N T I N C O M E . ~ e p o r t i n ~ i n d i ~ i d .a i ~ n d ~ p o . s e ; s e e p p . 17-24of filing instructions.)A. Fliers Non-Investm ent Incom e

~] (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.3.

4.

INCOME( y o u r s , n o t s p o u s e s )

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 portion of the reporting year, complete this section.(Dollar a m o u n t not required except for honoraria.)D N O N E (No reportable non-investment income.)

D A T E S O U R C E A N D T Y P EI . J a n -De c 10 C A S t a te T e a c h e r s R e t i r e m e n t S y s t em - P e n s i o n2.3.4.

I V . R E I M B U R S E M E N T S -- t,a~sportaaon, lodging, food, e n t e r t a i n m e n 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 , " s e e p p . 2 5 - 2 7 o f fi l in g i n s t r u c t i o r ~ . )

D N O N E (No reportable reimbursements.)

3.4.5.

S O U R C E D A T E S LO C A T IO NA m e r i c an U . W a s h i n g t o n O ct.20-24, 2010 W as h in gto n, D .C .C o l l e g e o f L a w

P U R P O S EJ ur i s t - i n -Re s i de nce( l e c t ur i ng )

I T E M S P A I D O R P R O V I D E DLodg i ng , M e a l s , Tra nspor t a t i on


3/9

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

N a m e o f P e r s o n R e p o r t in gFISHER, RAYMOND C

Date of Repor t05/16/2011

V . G I F T S . a n c l ,,d e s ,h o ~ , t o s p o u s o a n d d e p e n d e n t c h i l d r ~ , : s e ~ p p . ~ s . ~ of filing instructions.)~] N O N E ( N o reportable gi.fis.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L IA B I L I T I E S . a n d u d e s those of spouse and dependent children; see pp. 32-33 of filing instructlon~)N O N E ( N o reportable l iabilities.)

CREDITOR DESCRIPTIONI.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 gFISHER, RAYM OND C.

D a t e o f R e p o r t05/16/2011

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

A. B. C. D.Description of Assets Income dur ing Gross value at end Transac t ions dur ing repor t ing per iod( inc lud ing t rus t asse t s ) reporting period of reporting period

(2 ) 0) (2) (3) i (4) (5 )I) (2) (I )P lace "(X )" a fte r each asse t Am ount Type (e.g., Value Va lu e Type (e.g., D a t e Value i Gain Identity of

exempt f rom pr ior d i sc losure C o d e I div., rent , C o d e 2 Metho d buy, sel l , m m / d d / y ~ C o d e 2 [ C o d e I buyer/ sel ler(A-H) o r i n t . ) (J-P) C o d e 3 redem ption) ( J - P ) [ ( A - H ) ( if private( Q - W ) I[ t ransaction)

I. F I A C a r d S v c s N A R A S P

2. M . L Y N C H R E A D Y A S S E T S T R U S T

3. R F C S T R I P S 0 % I 1 1 5/ 1 0

4. R F C S T R I P S 0% 4 115111

5. R F C S T R I P S 0 % 7 / I 5 / I 1

6. R F C S T R I P S 0 % 41 1 5 / 12

7. R F C S T R I P S 0 % 1 0 / 1 5 / 1 3

8. R F C S T R I P S 0 % 1 0 / 15 1 1 5

9. U S T R E A S S T R I P S 0 % 5 / I 5 / 11

1 0 . U S T R E A S S T R I P S 0 % 1 1 / 1 5/ I I

I I . U S T R E A S S T R I P S 0 % 2 / 1 5 /I I

1 2 . U S T R E AS S T R I P S 0 % 1 1 / 1 5/ I I

1 3 . U S T R E AS S T R I P S 0 % 8 / 1 5 1 1 2

1 4 . U S T R E A S S T R I P S 0 % 5 / 1 5/ 1 3

1 5 . U S T R E A S S T R I P S 0 % 8 / 1 5 /1 3

1 6 . U S T R E A S S T R I P S 0 % 2 / 1 5/ 1 4

1 7 . U S T R E A S S T R I P S 0 % I 1 / 1 5/ 1 4

A

A

Dividend

Dividend

None

NoneNone

None

None

None

None

None

None

NoneNone

None

None

None

None

J

J

K

K

K

K

K

K

K

K

K

TT

TT

T

T

T

T

T

T

T

Redeemed 01115/10 J A

Redeemed 10/27/10 J A



I. In co m e G ain C od es : A = $1,000 o r le ss B $ 1 . 0 0 1 - $ 2 ,5 0 0 C = $2,501 - $5,000 D = $5,0O I - $15.00~{See C o l umns B I and D 4) F = $ 50.001 . $ 100,000 G =$100.001 - $1.000,00~ H I =$ 1, 1~ 0, 00 1 - $ 5, 00 0, 00 0 H 2 -M o re t ha n $ 5, 00 0, 0~ O

2. Value Code~ J -$ 15.000 o r le s s K $ 15.0~ 1 - $ 50.000 L =$50,001 - $100.00~ M =$100.0~1 - $250,000( Se e C olu m ns C I a nd D3 ) N =$ 250 .~ )1 - $ 50 0.00 0 O =$500.001 - $1.0OO,0~O PI =$1,00~,001 - ~5.0~O,000 P2 =$5,090,001 - $25.000,000

P3 =$25.1)~0.001 - $50.000.000 P4 =More than $50,000,0003. Value b.lcthod Codes Q ~Appraisal R Co~ t (Re a l Es ta te Only) S = A s s es s men t T = C as h Mar k e t

(See Column C2) U = Book V al ue V = O th er W = E stim ate d

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 gFISHER, I~.YMOND C

D a t e o f R e p o r t05/16/2011

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 those of ~pouse and dependent children; see pp. 3 4-60 of f i l ing instruct ion~.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t io n o f A s s e t s Income during G r o s s v a lu e a t e n d Transact ions d uring report ing period( i n c l u d i n g t r u s t a s s e ts ) r e po rt i n g p er i o d o f r e po ta in g p er i o d

(I) (2) (i) (,) 0) (2) (3) (4) (5 )Place "(x)" after each asset A m o un t T y pe (e . g . , Value Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fe x e m p t f ro m p r i o r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m /d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) O - P ) C o d e 3 r e d e m p t i o n ) ( . I - P ) ( A - H ) ( i f p r i v a t e

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

1 8 . F I N A N C I N G C O R P S T R I P S 0 % 2 / 8/ 10 N o n e Redeemed 02/08/10 J1 9 . F I N A N C I N G C O R P S T R I P S 0 % 5 / 3 0 / 1 3 N o n e J T

20. F INANC ING C ORP S TRIPS 0% 5/3 0/14 N o n e J21. F HLM C NOTE 5 .125% 7/15/12 A In terest K T22. C D A M EX BK 2.3 5% 3/18 /I I A In terest L T23 . C D HILLC RES T BK, KS 4 .15% 6 /29/12 A In terest24 . C D F I R S T B K , P U E R T O R I C O 1 .8 % A In terest K10/20/I 225. C D F I R S T B K , P U E R T O R I C O 2 .0 % A In terest K4/1/1326 . C D W E B S T E R B K , C T 3 / 3 1/ 1 4 A In terest K27 . C D C ITIBA NK N A,NV 2.55% 3/24/15 A In terest J28. A M E R I C A N G R O W T H F U N D A D i v i d e n d L

R e d e e m e d 10/27/I 0 JT Bu y 03/17/10 KT Bu y 03/17/10 K

T Bu y 03/17/10 K

T Bu y 03/17/10 JT

29. B L A C K R O C K L A R G E C A P G R O W T H N o n e Sold 03/17/10 L30. B LA C K.R O C K EQ U IT Y D IV F D A Di vi de nd L31. B L A C K R O C K G L O B A L A L L O C A T I O N A ~ Dis tribution MFD32. C O L U M B IA M A R I S C O G R O W T H F D A D i v i d e n d L

T Bu y 06/08/10(a dd l )T Bu y 03/17/10(a dd l )T

JL

33 . D A V I S N Y V E N T U R E F D A D i v i d e n d L T34 . D E L A W A R E L T D T E R M D I V E R S . FD A D i v i d e n d K T

1. Income G ai n C odes : A =$ 1,000 or less B =S 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(Se e C o lum ns B I a n d D 4) F = $50.001 - $100,00~ G ~ $100,001 - $1,0~0,00~ HI =$ 1.000.001 - $5,00~.000 H 2 = Mor e t h an

2. Value C o des J = $15.000 o r le ss K $ 15.001 - $ 50.1)00 L $50.001 - $100.000 M =$100.001 - $250.1)00( See C o l umns C I and D 3} N $ 250. 001-$ 500 . 000 O=$500,001-$1,000.009 P I =$ 1,0~)0.001 - $5,00~,00 0 P2 =$5,000.001 " $25,000,004)

P3 =$25.0~0.001 - $50.00~.000 P4 =More than $50.0~0.0003. V al ue Met h od C odes Q =Ap p ra i sa l R = C os t ( R ea l E s t a t e O n l y ) S = A s s cs s mcn l T = C a s h M a r k e t( S e e C o l u m n C 2 ) U = Book V al ue V = O t h er W = E s t i mat ed

E =$ 15,001 - $50,0~Q


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N a m e o f P e r so n R e p o r t i n gF I SH E R , R A Y M O N D C .

D a t e o f R e p o r t05/16/201 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 income, or transactions.)eportable assets,

A. B. C.Description of Assets Income dur ing Gross value at end( including t rust assets) reporting period of repor t ing per iod

O) (2) O) (2)Place "(X)" after each asset Amount Type (e.g., Value Va l ue Type (e.g.,exempt f rom pr ior d i sc losure C o d e I div., rent , C o d e 2 Method buy, sel l ,(A-H) o r i n t . ) (J-P) C o d e 3 redempt ion)

(Q-W)

Transact ions d uring report ing period(2) (3)

D a t e Valuem m / d d / y y C o d e 2

( J - P )

35. F I D E L IT Y A D V S T R G C I N C F D N o n e S ol d 06/08/10 L

36 . F I D E L I T Y A D V N E W I N S I G H T S A D i v i d e n d L T

37 . G O L D M A N S A C H S L A R G E C A P A Di vi de nd K T3 8. H A R TF O R D F LO A T IN G R A T E F D B D i v i d e n d L T39. H A R T F O R D G R O W T H F D A D is t r ib u t io n L T40 . I V A W O R L D W I D E F D A Distr ibution K T4 1. J.H A NC O CK LG C AP EQ F D A D i v i d e n d L T4 2. .I P M O R G A N V A LU E OP P . F D A Di vi de nd L T43 . L O O M I S S A Y L E S S T R T G C I N C F D B D i v i d e n d L T44 . N A T I X I S G A T E W A Y F D A Di vi de nd K T45 . O P P E N H E I M E R S M A L L / M I D C A P V A L N o n e S o ld 06 /08/10 JFD46 . P IM CO T OT AL RE TR N FD A D i v i d e n d K T4 7. T EM P LE TO N W OR LD F D A D i v i d e n d L T48 . V I R T U S M U L T I S E C T O R B O N D F D B Di vi de nd L T49 .

50. C . S C H W A B M U N I F U N D A D i v i d e n d .I T5 1 . P E R K I N S M I D C A P V A L U E F D A D i v i d e n d J T

( 4 ) ( 5 )Gain Identi ty of

C o d e I buyer/ sel ler(A-H) ( if private

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

I, In co m e G ain C o d es: A = $1,000 o r le ss B = $1,001 - 52,500 C = $ 2,501 - $5,000 D =55,001 - $15,000( See C o l umns B I and I ) 4 ) F =$50.001 - $100.000 G =$100,001 - 51.000.000 H I = $ 1,000.001 - $ 5.000,000 H2 =Mo re than $5.000.000

2. Value Codes J =515.000 or less K =$ 15.001 - $50.000 L -$50,001 - $100,000 M =5100.001 - $250,000( See C o l umns C I and D 3) N = $250.001 - $500,000 O =$500.001 - 51,000,000 PI = 51,000,001 - $5.000.000 P2 =$5,000,001 - $25.000,000

P3 =$25.000.001 - $50.000.000 P 4 = Mor e t h an3 . V al ue Met h od C odes Q =Ap p ra i sa l R = C os t ( R ea l E s t a t e O n l y ) S = A s s es s men t T = C as h Mar k e t( S e e C o l u m n C 2 ) U = Book V al ue V = O t h er W = E s t i mat ed

E = $15.001 - $50,000


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N a m e o f P e r so n R e p o r t i n gFISHER, RAYM OND C.

D a t e of Report05/I 6/2011

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 ,, e . , , ~ l ~ o , , r a n s, c ,i o n , a n e l , d o s , h o s e o r s p o ~ s e o n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 r in g G ro s s v a lu e a t e n d 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( i n c l u d i n g t r u s t a s s e ts ) 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

(l) (2) (I) (2 ) (I) (2) (3) ] (4) (5 )P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ., D a l e V a l u e i G a i n I d e n t i t y o f

e x e m p t f m m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , Code2 M e th o d b u y , s e l l , m m / d d / y y Code2 i Code I b u y e r / s e l l e r( A - H ) o r i n t . ) (J -P) C od e 3 r e d e m pt io n ) (J-P) I (A-H) ( i f p c i v a t e( Q - W ) ] t r a n s a c t i o n )

152. C O A C H M A N C O M M O N S T O CK N o n e C l o s e d 12/31/10 J

53 .:54.55 .56 .

N A T I O N W I D E A M E R I C A S V IS I O NA N N U I T Y ( F I D .V I P E Q U I T Y )JACK SON NATL LIFE (ANNUITIES) B

None L T Distributed 12/01/10 J(part)i n t e r e s t M T

M E R N A N 1 4 5 L TD I N V E S T M E N TP R O P . # 1, L A , C A ( R E S T A U R A N T )V E N W E S T D E V E L O P M E N T L P I - LT DP TR

None J TNone K W

I. In co m e G ain C o d es: A -$ 1,000 o r le ss B =$1,001 - $2,500 C =$2,501 - $5,000( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100.000 G = $100, 001 - $1,00 0,000 H I = $1,0 00 ,00 1 - $5.0 ~0, 000

2. Va lue C o d es J = $15,000 o r le ss K -$15,001 - $50,000 L =$50.0OI - $ 100,000( S e e C o l u m n s C I a n d D 3 ) N = $250.001 - $500,000 O = $500, 001 - $1,00 0,000 P I = $1, 000 .0 01 - $5.000 .00 0

P3 =$25.000,001 - $50.000.000 P4 =M ore than $50.000.0003. V al ue Met h od C odes Q =Ap p ra i sa l R = C os t ( R ea l E s t a t e O n l y ) S = A s s es s men tISce C o lum n C 2) U = B oo k Value V = O t h er W = E s t i mat ed

D =$5,001 - $15,000H2 =Mo re than $5.000.000M =$100,001 - $250,000P2 = $5,000.001 - $25.000.1)00T = C a s h M a r k e t

E =$15.001 - $50.000


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N a m e o f P e rs o n R e p o r t i n gFISHER, RAYM OND C.

D a t e o f R e p o r t05/16/2011

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 . fln~licate part of report.)VII. L.51: PERKINS PREVIOUSLY K NOWN AS JANU SVII. L.52: COACHM AN DELISTED, NO ASCERTAINABLE MAR KET OR VALUEVII. L.53: NATIONWIDE AM ERICAS VISION ANNUITY PREVIOUSLY KNOW N AS BESTOF AMERICA OR BEST AM ERICAN FUND


9/9


~ a m e o f P e r s o n R e p o r t i n gFISHER, RAYMOND C

Date of Report05/16/201 I

IX. CERTIFICATION .I c e r t if y t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d in 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 ld r e n , i f a n y ) i s

a 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 ~ v 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 th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id 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 ts 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[ RAYM OND C. FISHER

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S IF I E S O R F A I L S T O F I LE 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 . 10 4 )

C o m m i t t e e o n F i n a n c ia l D i s c lo s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301O n e C o l u m b u s C i r c l e , N .E .W a s h i n g t o n , D . C . 2 0 54 4

raymond c fisher financial disclosure report for 2010

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