sandra ikuta financial disclosure report for 2010

8/3/2019 Sandra Ikuta Financial Disclosure Report for 2010

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AO I0Rev. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Government Act of 1978(5 U.S.C app. 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l )I k u t a , S a n d r a S .

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

Circu i t Judge

7. Chambers or Office AddressU .S. Co u r t o f Ap p ea l s - N in th125 South Grand AvenuePasadena, Cali fornia 91105

7. Cour t or Organizat ionNinth Circuit

3. Date of Report07/27/20

5a. Repor t T )pe (check app ropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b . [] Amended Report8. On the bas i s of the inform at 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.

Reviewing Off icer Date

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 NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ~ R c ~ , o n i n g individual only; seep p. 9-13 of fi ling instruct ions.)D NONE(No reportableposi t ions.)POSITION

1 . Trustee # I T r u s t # 12.3.

4.

5.

N A M E O F O R G A N I Z A T IO N / E N T IT Y

I I . A G R E E M E N T S . m c p o . i n g i .d i v i d u a l o . ly ; s e e p p . 1 4 - 1 6 of filing instructions.)O N O N E ( N o reportable agreements.)

DATE P A R T I E S A N D T E R M SI. 1997 O M elveny & M yers D ef in ed B en ef it P lan w ith fo rm er law firm , n o con tro l2.3.


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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 i n gikuta, Sandra S.

D a t e o f R e p o r t07/27/2011

I 1 1 . N O N - I N V E S T M E N T I N C O M E . ( R , p o . i n g individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investm ent Income[~] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.

3.

4.

INCOM E(you rs , no t s pou s e s )

B . S p o u $ e s N o n - ! n v e s t m e n t I n c o m e - lf yo u were raa tried du ring any portion of th e reporting year, comple te this section~(Dollar amount not required except for honoraria.)

~ (No repor table n on- inves tment income. )ONE

1.20102.3.4.

DATE SOURCE AND TYPE

self-employment earnings, freelance photographer

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enterta inment .(Includes those to spouse an d dependent children; see pp. 25-27 of filing instructions.)

[~ NO NE (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE

George WashingtonUnive r s i ty School o f Law

ITEMS PAID OR PROVIDED

1 1 2 7 / 1 O - 1 1 2 9 1 1 0 W ash in g to n , D .C . Jud ging M o ot Co urtcompe t i t ion Transportation and hotel

2. Unive r s i ty o f Ca l i fomia , 4/16/10-4/17/10 Dav is , CA Jud ging M oot Co urt T ransp ortatio n and ho telDav is compe t i t ion3.4.

5.


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N a m e o f P e r s o n R e p o r t in glkuta, Sandra S.

V . G I F T S . (Include~ thosc to spouse and dependent children; see pp. 28-31of filing instructions.)N O N E (No re portable gifts .)

SOURCE DESCRIPTIONI.2.3.4.

5.

D a t e o f R e p o r t07/27/201 I

VALUE

V I . L I A B I L I T I E S . a . c l u d c s t h o s e o f s p o u s e und depen den t ch i ldren; see pp. 32-33 of filing instructions.)[~ N O N E ( N o reportable liabilities.)

CREDITORI. B a n k o f A m e r ic a2. C i t im o r tg a g e3. Union Bank

4. Union Bank5.

D E S C R I PT I O NMortgage on renta l proper ty , Agoura , Ca l i forniaMor tgage on renta l proper ty , West Los A nge les , Ca l i forniaMor tgage on renta l proper ty , West Los A nge les , Ca l i fornia

Mor tgage on r en ta l p rope r ty , San ta Monica , Ca l i fo rn ia

V A L U E C O D EMM

M

O


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N a m e o f P e r so n R e p o r t i n gIkuta, Sandra S.

D a t e o f R e p o r t07/27/201 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 ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o dO) (2)P 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 . g .,exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)Value Value

C o d e 2 M e t h o d( J - p ) C o d e 3

(I)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

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(2 ) (3) (4)

D a t e Value Gainm m /dd /y y C od e 2 Code 1

(J-P) (A-H)

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

I. ING D irec t Accounts ( ca sh equ iva len t )2. B a n k o f A m e r ic a

A

A

Interest J TInt . /Div. J T

3. Trust I

5.6.

7.

8.

9.

-Renta l Prope r ty , Ag oura , Ca l i fo rn ia E Rent N W-50% interest in rental property, Venice,Cali fornia-50% interest in rental property, W. LosAngeles , Ca l i fornia- Inves tment p rope r ty , Kulaka i , Hawa i i

EE

Ren t N WRent N W

N o n e N W

-33% interest in rental property, SantaMonica, CaliforniaIRA#2

E

B

Rent N W

Dividend N T1 0 . -Columbia FDS SE R Tr 21s t Century Fd CIAI I . -John Hancock Class ic Value Fund Class A

SoldSold

10/05/I 0 L10/05/10 L

1 2 . -Oppenhe imer In t l Bond Fund Cla ss A1 3 . -Oppenhe imer G loba l Op por tun i t ie s Fund1 4 . - V a n K a m p e n S m a l l C a p V a lu e F D C la s s A1 5 . -Van Kam pen Equi ty Tr Sma l l Cap CI A

1 6 . -Pe r sh ing Gove rnment Account1 7 . -CN I Mo n ey Mark e t

Sold 10/04/10 LSold 10/05/10 LSold 10/05/10 MSold 10/05/10 L

Closed 10/05/10 JO p en 10/12/10 J

E

B

ED

1. Incom e Gain Codes: A = $1.000 o r less B = $1,001 - $2 ,500 C = $2.501 - $5 ,000 D = $5,001 - $15,000( See Col um ns BI and D 4) F ~$ 50.001 - $100.000 G = $100,001 - $1.0~ ),0(X ) H I =$1 .0~0 ,001 - $5,0~,000 H2 =More than $5.000.000

2. Value Codes J = $ 15.000 or less K =$15.001 - $50,000 L =$50,001 - $100.000 M = SI00, 001 - $ 250, 000(Sec C o lumns C I and D3) N =$250,001 - $500.000 O =$500,001 - $1,000,000 P I = $ 1, 0~ 0 . , 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5 ,0 00 .0 01 - $2 5. 00 0. 00 0P3 =$25.000.001 - $50.000.000 P4 -More than $50,000.000

3. Value Method Codes Q =A p p ra i s al R = C os t ( rea l Es ta te On ly ) S = Assessmcn l T = C ash Marke t( See Col um n C2) U = Book Value V =O~hc r W = Est ima ted

E = $ 15, 001 - S 5 0 , 0 0 0


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N a m e o f Person Report ingIkuta, Sandra S.

D a t e o f R e p o r t07/27/201 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 instruction~.)N O N E (No reportable income, assets, or transactions.)

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( i n c l u d i n g m . t s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)P 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 . g .,exempt from prior disclosure C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)Value Value

C o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

O)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

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

(2) (3) (4)D a t e Value Gain

m m /d d/y y C od e 2 Code I(J-P) (A-H)

( 5 )I d e n t i ty o fbuyer/seller

( i f p r i v a t et r a n s a c t i o n )

1 8 .

20 .

21 .22 .23 .

24 .25 .

-CNI Cha r te r Lg Cap Va l Eq ty- lns t

-CNI Cha r te r Lge Cap Grwth - lns t-CNI Cha r te r Corp Bond Fd- lns t l-CNI Cha r te r Govt Bd F d- lns t l CI-CNI Cha r te r H igh YId Bd FD- lns t lBroke rage Account #1-500 Index Fund Inv B Dividend K T

Bu y 10/12/10 KSold 10/15/10 J(part )Bu y 10/12/10 LBu y 10/12/10 MBu y 10/12/10 MBu y 10/12/10 J

26 . - S m a l l - C a p I n d e x F u n d ln v27 . A m e r ic a n F u n d s V C S P / C o l I e g e A m e r i c a529A28 . - G r o w th F u n d o f A m e r i c a

A

B

Dividend K TDividend L T

29 . -The Inves tment Company o f Amer ica30 . -Wash ing ton Mutua l Inves to r s Fund31 . -The Bond Fund o f Amer ica32 . Brokerage Account #2

33 . -Fi r s t A l l ied Secur i t ie s , I nc . Money Marke tAccount34 . -Oppenhe im er Ca l i fo rn ia Muni C la ss AOpen End Fund

N o n eDividend T

ClosedSold(part )

12/15/1009/15/10

JL

I. Income Gain Codes: A = $1,000 o r less B = $1,001 - $2 ,500 C =$2.501 - $5.000 D :$5.001 - $15.000(See C o lumns B I and D4) F = $50.001 - $100.00~ G = $100.001 - $1,000.000 HI =$1,000.001 - $5.090.000 H2 =~.tore than $5.000.000

2. Value C odes J = $ 15,000 or less K =$15,001 - $ 50,000 L =$50,001 - $ 100.000 M =$ 100,001 - $250.000(See C o lumns C I and D3) N =$250.001 - $50~,000 O = $ 500, 001 - $1,000,099 PI =$1,000,001 - $5,090,000 P2 =$5,0~0,001 - $25.000.000P3 =$25,000,0~1 - $50,000,000 P4 =More than $50,000.000

3. Value Method Codes Q =A p p ra i s al R =Cost (Real Estalc Only) S = Assessmen t T -Ca ,h M arke tSec C o lumn C 2) U = Book Value V -O t her W = Est ima ted

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 glkuta, Sandra S.

D a l e o f R e p o r t07/27/2011

NONE (No reportable income, assets, or transactions.)

3 5 .

3 6 .

3 7 .

3 8 .

3 9 .

4 0 .

4 1 .

4 2 .

4 3 .

4 4 .

4 5 .

4 6 .

4 7 .

4 8 .

4 9 .

5 0 .

A. B. C. D.Description of Assets Income during Gross value at end Transactions during report ing period

( i n c l u d i n g trust assets) repor t ing p e r i o d of report ing period(I) (2) (I) (2 ) (I) (2) (3) ] (4) (5 )

P l a c e " ( X ) " a f t e r e a c h asset Amount Type (e.g., Valu e Valu e Type (e.g., D a t e Valueii G a i n I d e n t i t y o fexemp t from prior dislosure Code I div.,rent, Co d e2 Method buy, sell , mm/dd/yy Co d e2 [ Co d e 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemplion) ( J - P ) [ (A-H) (ifprivate

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

S o l d 10/04/10 L D

S o l d 10/04/10 L D

S o l d 09/15/10 L

S o l d 09/15110 K

S o l d 09115/10 K

S o l d 09/15110 L C

O p e n 09116/10 J

B u y 09/16/10 K

S o l d 10/15110 J A(pa n )B u y 09116/10 L

B u y 09116/10 N

-Van Kam pen High Yield Mu ni CI A

-Van K ampen Amer Franchise Fund Class A

-Oppenh eimer Intl Diversified FD CL A

-Fidelity Advisor Leveraged Co. Stock CL t

-Fidelity Advisors New Ins ights Fd CI T

-Fidelity Advisors Small Cap Fund Class T

-CNI M oney Market Account

-CNI Charter Lg Cap Val Eqty- lnst

None

None

None

None

None

None

A Dividend

A Dividend

J T

K T

-CNI Charter Lge Cap G wth -lnstl

-CNI Charter Cal Tx Exm pt Insti

Flexible Variab le Universal Life InsIncentive Life-Eq/Common Stock Index-EQFLarge Cap Value Plus

-Eq/Equity 500 Index

-EQ M id Cap Value PLUS

A D i v i d e n d L T

B D i v i d e n d N T

A D iv ide nd M T

51 . -Eq /B lackRock Bs ic Va lue E qu ity

I. I n c o m c G a i n C o d e s : A =$ 1,000 or less B =$1,001 - $2.500 C = $2,501 - $5,000 D =$ 5.001 - $15,000(Se C o lumns B I and D4) F = $50,0O I - $100.000 G -$ I00,O 01 - $1.000.000 H I = $ 1. 0~ O ,0 01 - $ 5. 00 0, 0O O H 2 =M o re th an $ 5. 00 0. 0O O2. Value Codeg J -$ 15,000 o r less K =$15,001 - $50.000 L -$50.001 - $100.000 M $100.001 - $250.000(sec C olumns C I and D3) N =$250,0OI - $500.000 O =$500,001 - $1,0OO.0~O P I = $ 1 . 0 0 0 . 0 0 1 - $ 5 , 0 0 0 . 1 ~ O O P2 =$5,000,001 - $25,000,000

P3 =$25.000.0OI - $50.000,000 P4 =More than $50,000.0003. Value Method Codes Q =A p p ra i s al R =Cos t (Rcal Estate O nl y) S =A s:,c~sraenl T =Cash Market

( Sec Col um n C2) U = Book Value V -O t her W = Esf ima led

E =$ 15 , 001 - $ 50 , 0O O


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N a m e o f P e r s o n R e p o r ti n gIkuta, Sandra S.

D a t e o f R e p o r t07/27/2011

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 spouse and dependent children; seepp. 34-60 of filing instructions.)D (No reportable income, assets , or transactions,)ONE

A. B. C.D e s c r i p t io n o f A s s e t s In c o m e d u r in g G ro ss va lu e at e n d

(in c lu d in g tru s t a s se ts ) r ep o rtin g p e riod o f r e p o r t i n g p e r i o d(I) (2) (I) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu eexempt from prior disclosure Code I d iv ., re n t, C o d e 2 M e t h o d( A - H ) or in t . ) ( J - P ) C o d e 3

( Q - W )

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

(I ) (2) (3) i (4)Type (e.g., D a t e Value i Gainbuy, sell , mm/dd/yy Co d e 2 i Co d e I

redemption) (J-P) (A-H)I d e n t i t y o f

buyer /se l l e r( i f p r i v a t e

t r ansac t ion )

52. -Eq/Black Rock International Value

53 . -E Q. F L ar g e Cap G r o wt h P l u s

54 . Ser i es EE U.S . Sav ings Bonds A I n t e r e s t J

I. Income Gain Codes: A = $1,000 or less B = $1.001 - $2 ,500 C =$2,501 - $5,000 D ~$5,001 - $15,000(See Col urans B I and IM ) F = $ 50.0~ I - $ 100.000 G = $ 100.001 - $ 1.00~.0~ H I = $ 1,000.001 - $ 5.000,000 H 2 = More tha n $ 5.000.000

2. Value Codes J $15 .000 or l ess K $ 15. 001 - S50. 000 L =$50,001 - $100,009 M =$100,001 - $250,000(See C o lumns C I and D3) N = $250,001 - $500.000 O = $500,001 * $ 1.0~ 0,0~ 0 PI =$1,00~.0~1 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 =More than $50,000,0003. Value M clhod Codcs Q =Appraisal R Cosl ~Real Estatc Only) S = A ssessm en t T = C ash M arketI sec Col um n C2) U = Book Value V = Other W = Es t ima ted

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 gIkuta, Sandra S.

Date of Report07/27/2011

V I II . A D D I T IO 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 . (lndicate part of report.)Par t VI , Line 2 : I have repor ted a va lue code for the ent i re mor tgage am ount , a l though I have only a 50% ownersh ip in te res t .Par t VI , Line 3 : I have repor ted a va lue code for the ent i re mor tgage am ount , a l though I have only a 33% ownersh ip in te res tPar t VII , Lines 5 and 6: I have repor ted the gross va lue of m y 50% inte res t .Par t VII , Line 8 : I have repor ted the gross va lue of m y 33 % inte res t .


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FINANCIAL DISCLOSURE REPORTP a ge 9 o f 9

Nam e of Person Repor t ingIkuta, Sandra S.

D a t e o f R e p o r t07/27/2011

IX. CERTIFICATION.I cer t ify tha t a l l inform at ion given above ( inc luding informat ion perta ining to m y spouse and m inor or dependen t chi ldren, i f any) i saccura te , true , and com ple te to the bes t of my knowiedge and be l ie f , and tha t any informat ion not reported w as wi thheld because i t met appl icable s ta tutoryprovis ions perm it t ing non-disclosure.1 fu r t he r c e r t i fy t ha t e a rne d i nc ome f rom ou t s i de e mp l o )a ne n t a nd hono ra r i a a nd t he a c c e p t a nc e o f g i f t s whi c h ha ve be e n r e po 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 io n s .

Signature: S/Sandra S. Iku ta

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 L L S T O F I L E 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 ILA 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 . 1 0 4)

Com m i t tee on F inanc ia l D i sc losu reA d m i n i s tr a t iv e O f f i c e o f t h e U n i t e d S t a te s C o u r t sSui te 2 -301O n e C o l u m b u s C i r cl e , N .E .W ash ing ton , D . C . 2054 4

sandra ikuta financial disclosure report for 2010

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