richard a paez financial disclosure report for 2009

8/3/2019 Richard A Paez Financial Disclosure Report for 2009

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I . Person R eport ing ( l~s~ name. f i rsL m ldd lc in i l~ l ) 2. ~our l or Organizat ion 3, D~le of Repor~Paez, Richard A. U,S. Court of Appeals f~r the Ninth Circui~ 06/14/2010

4. Titl~ (Artic[c Il l .fudges buhcam active o~ senior s~atus. 5a. Re po rl T ype (che ck appropria te type) 6. Re po rting Pe rio d~ Nominat ion, D a ~ e 0l!01..2009

12/3 ! g2009I Sb. ~ Amended Report

. Cha~nbers or Office Address 8. On lhe bas is oflh~ informalion contained in this Report and anyU.S Court ~{" Appeals wilh applicable laws and r~gulalions.125 S. Grand Avenue, S~e. 3)~)

Pasadcaa. CA 91105 Revie~iag Ofllcer ......................................... Dale

I M P O R T A N I " N O T E S : The i,~slructions *~ccompanying this fi~rm ma~sl be folh~wed. (7omple~e all parls,checking the" NONE box fi~r each purl where y~u hove no reporlable information. Sign on htsg page.

~__7] NON E (No reportabie positions.)POSITION ~AME QF ~R~,~ ~I~A

l. Board of Directors Western Justice Center

2. Board of Directors Association of Business Trial L a w y e r s

~."

..................

. ! I . A G R E E M E N T S . m:?,,.i,,, individ,,al o,,I ; see pp. 1,l.~ N O N E ( :V o ref,,::rlab/


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FINANCIAL DISCLOSURE REPOR T N o ~ . , . o , P ~ r s o o R ~ p 0 r , i o g Dale of Repor!Page 2 of 1 4 Pae?. R i c h a r d A. 0 6 / 1 4 / 2 0 1 0

III. N O N - IN V E S T M E N T I N C O M E . ~ n ~ , o ~ , i , , ~ indivldual ands I, ....... ;seep1,. 17-24 ,~filing instructions.)A. Filers Non-lnveslmenl I n c o m e

~ ( ; ~ % r e p o r t a b le m ~ n - i n v e s t m e n t i n c o m e . )ONEDATE SOURCE AND TYPE INCOME(yours, not spouses)

!.2.3 .

4.

I)AT~ S O U R C E A N D T Y PEI. 2009 Cedars Sinai Medical Center2.

34

~ N O N E LVo reggorlabte reimbtrsements.)S()URCE D A T E S L O C A T I O N P U R P OS E ITEMS PAID OR PROVIDED

I. New York Umvcrsily ] 0/27/2009 NY, NY Root-Tilden-Root Travel. Housing, MealsScholarship Program

3

5.


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FINANCIAL DISCLOSURE REPOR TPage 3 of 1 4 Paez, Richard A. 06/14/2010

V . G I F T S . a , a , , , ~ , ~ , . . .. . .. ~ , . . . . .. . .. , a ~ , p ~ , , a , . ,, ~ c h i h t r . . .. . . . P l . 2 8 - 3 1 ,~ f!ling instrt, ctl,ns )NONE (No reportable g~is.)

S O U R C E DESCRIPTION VALUEI.2.3 .4 .5

~ ; i . I N O N E ( N o repo,lab!e liabilities.)C R E D ! T O R D E S C R I P T I O N V A L U E C O D E

1 . S a l l ie M a e S t u d e n t L o a n s K2. C h a s e N a ~ l B a n k C r e d i ~ c a r d j3

5.


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Ia m e o f P e r s o n R e p o r t i n g I D a t e o fFI NANCI AL DISCLOSURE R E P O R T[ P~ez, Richard ,4..

Page 4 of t 4 06/~/2mo

~ N O N E ~ N o r e p o r t a b le i n c o m e , a s s e t s , o r t r o n s a c t i o n s .)...............................................................~.~ . ~ .. - : ........................~.. ..................D e 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 Gross ~aluc at e.d T r : , n s a c 6 o n s d u r m ~ r c p o r t i u g p e r i o d

(I ) (2 ) (~) 17) O) [ 12) ... . . . . O) .... (~) ......... (~) ......P l a c c " ( X ) " a f t e r e a c h a s s e t A m o u n ~ T y p e e . ~ * V a t n c V a l u e T y p e ( c g . . ~ Da te Value G a i n I d e n t i ty o fcxcmp~ l)onl prior disclosur~ C o d e I d i v . . ~ e n t , C o d e 2 M c ~ ho d buy. sell ~ ] m m / d ~ y ~ y ~ C o d e 2 C o d e I buyer/sc cr( A . I t ) o r i n t . ) ( J - P ) C o d e 3 r c d c m p l i o n ) [ ( J - P ) ( A - I I ) ( i f p r i v a t e~ I Q - W ) ~ m m s a c l i o n )

1 . F k t c l i t y Magellan A Dividend J T 1 ~2. Fidelity Cash Rese~es {IRA) A Dividend J T Sold 0 1 / 0 5 : 0 9 J A(purr)3 . Fidelity Cash Reserves (IRA) A Dividend 3 T B uy 01/26/09 L(addl)4. Fidelity Cash Resen, cs (IRA) A Dividend J T Sold 03/02/09 J A(pan)5. Iideli~y Shon ]erm Bond (IRA) B Dividend K T Sold 0 1 , , " 2 6 , , 0 9 J A(part)6. Fidelity Inter Bond (1RAI A Dividend Sold 01/~5/09 K A(part)

~ 7 . Fidelity. ln~cr Bond (IRA) A Dividend Sold 01/26/09 K A8. Fidelity Govt lncome (IRA) D Dividend K T Sold 0 8 . q 1 5 / 0 9 K A(part)9. Fidelity CA Muni M M A Dividend J T Sold 04,06/09 J A(part)

I 0 . Cedars Sinai Mad Ctr 403b - 1NG *See Note A Dividcnd t. Ti n P a r t V I I 1 .I I . - Vanguard Target Redremcnl-2025 Buy/Month 01"01/09 J12 . S S GA S &P I ndex Fund l )u y ~ M ~ m l h 01/01/09 JIY - Vanguard M idcap Index l :und 13uy~omh 01~0]/09 J14 . Ficl e l itv Cash Reserves IRA ~ A Dividend J15 F i d c li ~ P A S ( I RA ) ~ * * S e e N o t e D Dividend N T1 6. - Fidelity Diversified InIl J T Sold 02/I 3/09 J

1 7 . - Fidelity Diversified lntl B uy(addI)


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Name of Person Reportiog { Date of Repor~FI NANCI AL D IS C LO S UR E R E PO R TP a g e 5 o f 1 4

~ (No reportable income, assets, or transactions.)O N E.. C D.D escription of A sse ts Incom e during G ross value al end ~ Transactions during rcD~rtir~g period(includin~ Irus~ assets) rcD~rting period of re pomng pc 6 od ~

Place "{X)" a f ter each asgeI A l ~ O U l l t Type (c .~ . , Value Value ~ Type lc .g . . Dine Value Gain Ideotity ofexempt from prior d isc losure [ C~dc I div., rent.. Code 2 Method ~ buy, sell, mm/ddZyy i Code 2 : Code I buyer~sellcrtA-H) or int.) (J-P) Code 3 redem ption) I ~ (J-P) ~ (A-t l ) i l lprivate{ Q- W ) ~ [ transacuon)

lB . - Fidelity Diversified lntl Sold I 1/04/09 J +{parl) ~19. - Fidelity Diversified Ira[ Sold 12/16]09 J +(part)20, - Fidelity Advisor Diversified Sold 09~08/09 J A i

21. - Fidelity Real Estate Inv. Sold 02125709 J A22. - Fidelity I.ow Priced Stock J I" Sold 04/08]09 J A

(part)23 . - Fidelity Iow Priced Stock Sold 07~10109 J A(part)24. - Fidelity l.ow Priced Stuck Sold 08/07109 J A

(part)25 . - Fidelity Eow Priced Stock B uy t 1]04/09 J26 . - Fidelity Advi+or New Insights CI Sold 07110]09 J A27 . - Fidelity Advisor New Insights C!. Sokl 08/07/09 J A28. - Fidelity Growth Camp. J T B u y [ 04/)8i09 J29. - Fidelily (.irowlh Camp. Sold O7710/09 ~ .I A(pan)30 . - F ide l i ty G l owth C O l l lp . Sold 08/0/09 J A

(part)31 . - Am Beacon kge Cap Val Plan ~uy 07/10/09 J(addl)32 . - A, Beacon Lge Cap Val Plan Sold ! 1/04/09 J A(parO33 . - William Blair tntl Growth CL N J T Sold 05/22109 J A(part)

~ 34 - William Blair Int] Growth CL N B uy


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Name of Person Reporting [ [)ate of ReportINANCIAL DISCLOSURE R E P O R T[ eacz, Richard A . I

06/14/2010age 6 of 14VII. INVESTMENTS and TRUSTS --i .......... o~ ........... ,,~,,~ (Includes tl, ...... ~f sp ........ d depend ..... hildren; Seeltp. .t4-6O ,f!/ing in ....

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

Oescriplion of Assets Income dur ing Gross value a~ end lransactio~$ during reporting period(inch dlng trust K~scls) reposing period of reposing per lodPlace "(X)" a f ter each asset Amount Type (c.g., Value : Value Type (e.g.. Date Value Gainc.~cmpt l?om prior disclosure Code I :~ dN.. rent C~le ,9ethod buy, sell, Immdd&vY Code 2 Code 1 buyer/seller. ( ,&-H) or int.) ~J-P) ; Code 3 ~cdcm ption) ~ {J-P) (A- ~ (if private(Q-W) ~ransac~ion)

35 . - WNmm Blair lntl Growth CL N Sold(par0

36 . - Causeway Intl Val. Investor Sold I 1/04/09 J A(part.)37 . - EATON VANCt~ Large Cap Val Sold 08/07/09 J A38 - Johtl [ lancock US Global Leaders Growth Sold 01..09A)9 J ACL A (part)39 . - John Hancock I.JS - Global Leaders Sold 08/07/09 J AGrowth CL A part)40. - Oakmark Fund ] J T Sold 01/14/09 1 A(par041. - Oakmark Fund I Sold 0l!16/09 J A(parO42. - Oakmark Fund l Sold ~ 0 7 1 ~ 0 / 0 9 J A(parq43 . - Oakmark Fund 1 Sold I 1/04/09 J A(parl)4 4 , - Harffbrd Cap Appreciation CL A J T Sold 02/13/09 J A

(part)45 - HartFord Cap Appreciation CL A Sold 03/27 /09 J A(par0

~.46. - l lmtti-~rd Cap Appreciation C!.A J T Sold 05/22 /09 J A(parO47. - Hartford Ca p Appreciation CLA Sold 08107/09 J A

(part)48 , - Janus Fund J T Sold 02/13/09 J A

(par049 . - Janus Fund Sold 03" 13/09 J A(par~)50 - Janus Fund Sokt 07/10/09 J A(par051. - Janus Fu~d Sold 08/07/09 J A(pan)


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FINANCIAL DISCLOSURE REPOR T N u m ~ t f fPerson Repot,lug [ Da,e of Repor~Page 7 of 1 4 P a e z , R i c h a r d A .

l06/14/2010

V I I. I N V E S T M E N T S a n d T R U S T S --i ............. t,,., ........ i , , , s a n c l u d e s ,hose t~sp ........ d d e / , e , d en t c / d l d r en ; s e ep p . 3 4 -6 0 o] ~ / i n g i , , s tr u c t i , m s . )NONE (No reportable income, assets, or transactions.)

O.Description of Assels h~come durra8 G ross value at cud l- ransactions during rcpom ing period[including Irust assets) reporting period of reporting period[i) (2) (I) ~2) ~ (1 ) ~2) ~31 14) ~5 ~Place "(X)" afte r each asscl Ameunt Type (e ~ ., Value Value Type {e.g . Dale . Value . Gaiu Ideulil~ ofexempt l iom prier d isc losure Code I ~ div., toni. Code 2 M ethod buy. sell, m m / d ~ y y C e de 2 i C ode I buyer/seller( A - H ) ~ or int.) (J-P) Code 3 rcdempt ioni (J-P) { A - H ) (ifpri~atc: ( Q - W ) ~ I ransacaon)

52. - Perkins Mid Cap Value Inv. (name change J T Sold 05,22/09 J Awas Janus Perkins) (pan)53 . Perkins Mid Cap VM~e Inv. J T Sold 07/10/09 3 A{part)54 . - Perkins Mid Cap Value Inv. Sold 08/07109 J A{part)55 - Icrkins Mid Cap Value Inv. J T Sold 12/16/09 J A56 . - Legg Mason Parmers Lg Cap Growth A 3 T Sold 01~09/09 J A(part)57 . - Legg Mason Partners Lg Cap Growfl~ A Sold 03/13109 J A(part)58 . - Legg Mason Partners Lg Cap Growth A Sold 07;} 0/09 J A59 . - Legg Mason Parlners Lg Cap Growth A Sold 08/07{09 J A{part)60 . - Masico Focus J T Sold 03/13/09 J A{part)61. - Masico Focu~ Sold 07/10109 J A

(part)62 . - Maisco Focus Sold [ 08/07/09 J A(part)63 . - Morg, an Stanley Ins~ Inc. [ml Equity B 3 T B uy O8/07/09 .I64. - Morg m Slanley hast Inc. Intl Eqtmy B So}d I 1/04]09 J A(part)65 . - Morgan Stanley Inst Inc. Intl Equity B Sold 12/l 6/09 J A(part)66 . - Pimco Commod Real Ret Strat Admin CL ~uy 05/22/09 J67. - T.R0wc Price Valne Fund Advisor Sold 12/0g/09 ~ A "6 8 . - Selectcd Am Shares J T Bu y 03:!3/09


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FINANCIAL DISCLOSURE REPOR TP a e z , R i c h a r d A . I Iage 8 of ] 4

V I I . I N V E S T M E N T S a n d T R U S T S - - i .. .. .. .. .. ~ .......... tions (h,cludesthose of sp .......... a aependenr chitdren; see pp. 34-60 o/~ilin,e instrtactions )N O N E (No reportable income, assets, or tra~Tsactions.)

D e s c r i p t i o n o f A s s e t s i I n c o m e d u r i n g G r o s s v a l u e a l en 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 c l s ) ! r c 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 dP 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 . ~ ., V a h ~ c Value T y p e ( c g . ., D a t e V a lu c " Gain l d c m i ty o fe x c t o p l f i o i n p r i o r d i s c l o s u r e C o d e I d i v . , r c n t , C o d e 2 M et 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 I buyer/selleri (A-tI) o r i n l . ) ( J - P ) C o d e 3 r c d c m pl i o n ) ( . I - P ) i (A-H) (ifprivalc( Q - W ) I r a o s a c t i o n )

6 9 . - Selected Am Shares Sold 03/27/09 J A( p a r t )7 ( / . - Selected Am Sheres Sold 05/22/09 J A( p a r t )7 1 . - Selected Am Shares .I T Sold 07/10/09 J A( p a r t )7 2 . - Selected Am Shares Sold 08/07/09 J A( p a r t )73 - Selected Am Shares Sold ] 2 / 1 6 / 0 9 ! J A( p a r t )74 - Fidelity Cap & Income .] T Sold 05/19/09 J A( p a r t )7 5. - Fidelity Cap & Income Sold !07/10/09 J A( p a r t )7 6 . -Fidel ity Cap & Income Sold I 1 / 0 4 / 0 9 J A( p a r t )

7 7 . - Fidelity Short Term Bnnd J T B uy 0 3 , t l 3 / 0 9(addl)

7 8 . - Fidel i ty Short Tcrm B ond Bu y 05/22/09 J(addl)7 9 . - Fidelity Shot1 Term Bo nd Sok| 07/10/09 J A( p i n t )8 0 . - Fidelity Sborl "Ic~T~ Bond Bu y 08!07/09 J(addl)

8 1 . - Fidelity Short Term Bond Sold 1 , 0 4 / 0 9 J A(par08 2 . - Fidelity To~al Bond J T [ ~ u y 01;09/09 J(addI)8 3 . - Fidelity Total Bond Sold 02/I 8/09 J A( p a r t )8 4 . - Fidelity Total Bond Sold 03tl 3/09 J A( p a r t )8 5 . - Fidelity Total Bond B uy 0 3 / 2 7 1 0 9 J(addl)


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FI NANCI AL DI S CLOS URE I~EPOR T N ..... lp ....... R e p o r t i n gPage 9 of 14 ~ , , e z , R i b : h a r d A . 0 6 ; 1 4 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S -- i . . . . . . .. . . . ~.~ ., . . . . .. , io , , ~ (h , c lude s tho~e of sp ....... d &7,e,,dent children; se ep p . 34 -60 of filing instru,tionsO

N O N E (No reportable income, ctssel.v, or..... Z ~ ....... ~.- ...........C. ....... ...........................D e 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 G r o s s v a l u e o ~ e n d T r a n s a c t i o n s d u r i n g r c p o n i n ~ p e r i o d( i n c l u d i a g t r u s t a s s e t s ) r c p m 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 dP l a c e " ( X ) " a f t e r e a c h a s s c l A m o u n t l v p c ( c . ~ , , Vuluc : V a h te ~ T ~ c ~ c . g . , [ Date Value : Gain I d e n t i t y. . . . . . p t [ i o t a p r i o r d i s c l o s . . . . " C o d e l d ] v . r c n ~ ~C o d e 2 M e th o d ~ buy, sell m m / d d , ) ~ Code 2 ~ Code I b u y e r , " s c l l c r~ A - H ) o r i n t . ) ~ J - P ) C o ~ c 3 ~ c d e m p t i o n ) . ( J - P ) ( A - H ) (ifprivale~ ( Q - W ) ~ ~ t r a n s a c t i o n 0

8 6 . - Fidelity Total Bond Bu y 0 5 . ~ 2 2 / 0 9 J(addl)8 7 . - Fidelity Total Bond Bu y ~ 0 7 i i 0 / 0 9 J(addl)

8 8 . - Fidelity Total Bond Bu y 08/07/09 J(addl)8 9 . - Fidelity Total Bond ~old I t/04/09 J A9 0 . -Fidelity Total Bond Sold I 1 / 1 6 / 0 9 J A(parQ9 1 . - Pimco High Yield Admin Shs J T Sold 05;22/09 J A( p a r t )9 2 . - Pimco High Yield Admin Shs Sold 07/10/09 J A( p a r t )9 3 . - Pimco Total Return Admin ~hs Sold 01/09/09 J A( p a r t )9 4 . - Plmco ]real Return Admin Shs. Sold 02/I 3 / 0 9 J A

( p a r t )9 5 . - Plmco Total Return Admin Shs J T B uy 03/27/09 J(addl)9 6 . - Pimco Totzl Rclu~ Admin Shs B t I y 04!08/09 J(addq)9 7 . - Pimco Tolal Rem~ Admin Shs 1 3 u y 05/22i09 J(addl)9 8 . - Piracy) Total Return Admin Shs Bu y 08!07/09 Jtaddl)9 9 . - Pimco -lolal Return Admin Shs Sold i I ~ / 0 4 1 0 9 J A(pan)I 0(~. - Pimco "l~)tal Return Admi~) Shs Sold 12116109 J A(pa~)

1 0 1 . - Pimco Sho~t Term Adm in Shs J T Sold 03/13/09 J A(parQ1 0 2 . - Pimco Short Tena~ Admin Shs Sold 0 3 / 2 7 1 0 9 J A( p a r t ) I


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FINANCIAL DISCLOSURE REPOR T N . . . .. . ~ P . . . .. . r e p o r . , , ~Page 10 of 1 4 P a e z , r i c h a r d A . 06114/2010

V I 1 . I N V E S T M E N T S a n d T R U S T S .. i ......... ~ . . . . . . . . . . . . . u,,,, a,,.t,,a~., ,,o,


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FINANCIAL D]SCLOSUREREPORT ..... fP ..... f D .... /Page 1 1 of 14 P a e z , R i c h a r d A . 0 b i l 4 / 2 0 1 0V I I I . I N V E S T M E N T S a n d TR U STS --~.~.o, , , , , , ~.~,,~. ~ ...... , ~ o . ~ a . ~ . d ~ . ~ a , o ~ , , / . ~ . . . . . . . a a . p ~ , , a ~ , . . ~ , u a ~ , . . ; ~ . ~ . ~ - 6 0 o : : m . ~ i ......... ~ , , , , ~ o

NONE (No reportable income, assets, or trans~ctions.)

~scription 0I Assets I n c o m e d u r i n g , G r o s s v ~ l u e a l 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 in g p e r i o d( i n c l u d i n g t n ~ s ~ a s s e t s ) ~ reporting period ] o ~ r e p o r t i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s ~ c t ~Am ounl Type (e4, Value Value l y p e ( e g . . ~ Da le Va~ue , . Gain I d e n t i t y o fe x e m p t t ? o m p r i o r d i s c lo g u r c C ~ d e I ~ d ~ v . , r e i n , C o d e 2 M et h o d buy, scll, m m . , d d !y y : ~ C o d e 2 ~ C o d e 1 buycf f se l le r( A - I t ) o r i n t . ) ~ ( . l - p ) C o d e 3 r e d e m p t i o n ) , (J-P) t A - I I ) ( i f p r i v a t e~ Q - W ) ~ ; t r a n s a c t i o n )

1 2 0 . Fidelity Pas Small Cap Fund of Funds A Dividend Bu y 12/28/09 J1 2 1 . Fidelity lntl Discov A Dividend J T B uy 07/10/09 J1 2 2 , Fidelity Intl Discov A Dividend B uy 08/07/09 J(addl)1 2 3 . Fidelity lntl Discov A Dividend Sold I 2 / 0 6 1 0 9 J A~par01 2 4 . Fidelity Emerging Markets A Dividend J Bn y O7/10/09 Jt 2 5 . Fidelity En~erging Markets A Dividend B uy 08/07/09(addl)

1 2 6 . Fidelity Emerging Markets A Dividend Bn y 1 1 1 0 4 ~ 0 9 J~ {addl)1 2 7 . Fidelity Strategic Adm isors Val Fd A Dividend J T Buy 0U09/09 J1 2 8 . Fidelity Strategic Adm isnrs Val Fd A Dividend B uy 0 1 1 1 4 / 0 9(addl)1 2 9 . Fidelity Strategic Adm isors Val Fd A Dividend B uy 01/16,:09 J(addl)t 3 0 . Fideli lv Stralegic Admisors Va~ Fd A I)ividend B uy ~02/13~09 J(addl)

"131, Fidelity Slrategic Admisors Val Fd A Dividend Buy 12/16/09( ad d 0] 3 2 . Fidelity Strategic Adm isors Val Fd A Dividend B uy t 2 , I 8 1 0 9(add)1 3 3 . Fideli ly Stralegic Adm isors Val Fd A Dividend B uy 1 2 / 2 1 1 0 9 J(addl)1 3 4 . John Hancock Cl&ssic Value CL A Dividend j " f B uy 0 5 / 2 2 / O 9 J1 3 5 . Johll Hancock Classic Value C L A Dividend B uy 07/10/09 J(addq)1 3 6 . John Hancock Classic Value CL A Dividcnd Sold ! / 0 4 1 0 9 J A(part)


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I NANCIAL D I SCL OS URE R E P ORTPaez, Richard A. 06/14/2010age 12 of ! 4

V 1 I . I N V E S T M E N T S a n d T R U S T S - - i .. .. .. .. .. .. t .. .. .. .. .. . i,,., a,,ct,,a~., . . , ~ , . , . , , ~ , ~ . . . . . . . a a q , , .. a , , ., o , ~ . ~ . ;N O N E (No reportable income, assets, or transactions.)

~. ...... ~ ~. " " [ .... c. " . . . . . ~ ............ a - .....

P l a c e " { X ) " a f te r e a c h a s s e t A m o u o l T y p e ( e . g . , Value Value i T y p e ( e . g ., D a t e Value G a i t : ldemily of. (A-t) o r i r a . } { l - [ ) C o d e 3 r e d e m p t i o n ) , ( . L P ) ( A - H ) ( f f p r i v a l e~ ( Q - W ) t r a n s a c t i o n )

!37. Royce Penn Mt~l Fd A Dividend J T B uy 07/10/09 J1 3 8 . Royce Penn Mill Fd A Dividend Bu y 0 8 / 0 7 . 0 9 J: (addl~1 3 9 . Fidelity PAS Core Income Fund of Funds A Dividend J T Bu y 1 2 / 1 6 . 0 9 Jt 4 0 . I:rank[in GoM and Precious Metals A Dividend J T B uy 0 3 / 2 7 1 0 9 J

1 4 I . Franklin G old and Precious Melals A Dividend B t y 04/08/09 J( a d d l )1~ 2 Franklin Gold and Precious Mclals A Dividend Sold I 1 / 0 4 i 0 9 J(pant1 4 3 . Templelon Global B ond Class A A Dividend J T B uy 05/22/09144. Templeton Global Bond Class A A Dividend B uy 05/26/09

(addl)!45. Tcmpleton Global Bond Class A A Div ide nd B uy 105/27/09

(addl)146. Fidelity Money Market A Div ide nd J T B uy 07;10,"09147. Fidelity Money Market A D i v i d e n d Sold 08/18/09(pmt t148 F~de l i ty Mone y Ma rke ~ A D i v i d e n d B uy 11104109!addl)149. Fidelity Money Market A D i v i d e n d So M 1/24 /09(part)150. l:ideli~y Money Marke~ A Dividend B uy 12/16/09(a dd I )

1 5 2 .

1 5 3 .


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F I N A N C IA L D I S C L O S U R E R E P O R T N ..... fP ..... R e p o r t in g DateofReporPage 13 of 14 P a e z , R i c h a r d A . 06/14/2010

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 . (Indicate part of Report.)

Part VII Investments and Trusts (contd)a monthly comribution to her Cedars Sinai Medical Cenler 403(b) Plan.

* Fideli ly Por lfol io Advisory Ser \ , iccs manage s IRA.


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FINANCIAL DISCLOSURE REPOR TPage 14 of 1 4 P a e z , R i c h a r d A . 0 6 / 1 4 2 0 1 0

IX. CERTIFICATION.I certify that all information given abme (including information pertaining to m y spuuse and minor nr dependenl children, if any) isaccurate, true+ anti complete to the best of my knowledge and belief, and that any informatiun not reported was withheld because it met applicable statutoryprovisions permitting non-disclosnre.I further certify that earned income from outside employment and honoraria and the acceptance uf gifts which have been reporled are in

compliance with the provisic, ns ors U.S.C. app. 50| et. seq., 5 U.S.C, 7353, and Judicial Conferenre regulations.

Signat

NOTE: ANY IND IVIDUAl WHO K NOW INGLY AN D W 1LFUIA~ Y FAI .SIFIES OR FALLS TO FI I.E THIS REPORT MAY BE SUBJECT TO CIVILAND CRI~IINAL SANCTION S (5 U.S.C, app. 104)

F I LI N G I N S T R U C T IO N SMail sigued original and 3 additional copies to:

Committee on Financial DisclosureAdrninistrat ive O ffice of the United States Cou rtsOne Colum bus Ci rc le , N.E,W ashington, D.C. 20544

richard a paez financial disclosure report for 2009

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