D Ill

POSITION NAME OF ORQANIZATION/ENTIIY

PARTIES ANP TERMS

3.

· ·. -

.r• i L.:

AOlO Rev.112010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

J. Penon Roporlillg (bost name, frrst, middl< initial) 2. Co11rt or OrganlzatlClll

Alarcon., Arthur L. U.S. Cowt of Appeals

4. Tltle(Article Illjudges indicate active or senior status; SL Rrport Type (check •wropriate type) magistrate judges indicate full· or pan-time)

D Nomination. Date

Circuit Judge • Senior Status Initial Annual

5b. D Amended Report

D Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. opp.§§ 101-1 J l)

3. Date or Rq>ort

04/1212010

6. I«portlni Ptriod

01/01/2009

to

1213112009

7. Chambers or Offia Addrus B. Oa the basis of the la.formation mnhbicd la dds R<pert and ny modificalions pcrtalnlt11t thereto, II b, 111 my opinion, la compllance

U.S. Courthouse with applfcable la"5 and rq:•lallo..._

312 No. Spring Street Los Angeles, CA 90012

Rn-lewlag Offictr Dale

IMPORTANT NOTES: The instr11ctions accompanying thb form m11.<t be follo....,d. Co111pkte au parts, chttlring the NONE OO:c for each part where you h no reportll.bk infontUllion. Sign on /Jut page.

I. POSITIONS. (Rq>01tilrgbrt!Md1Udonly;mpp. 9-130/fi/U.gf11Str11etiold.)

D NONE (No reportable positions.)

1. Director Las Familias del Pueblo (a not-for-profit corporation)

2.

4.

5.

II. AGREEMENTS. (RqHJninginm.i4aalo,.Jy;supp. U-16 o/fi/blgin.<trJU:tknu.J

D NONE (No reportable agreements.)

Employee's Retirement Benefit (Los Angeles County)

2. 6176 Employee's Retirement Benefit (State of California)

3. 6/92 State Judge's Pension

Alarcon, Arthur L.

SOURCE AND TYPE

SOURCE AND TYPf:

SOURCE LOCATION PURPQSE

INCOME

IIEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page2of10

Name or Person R<p<)rllng

Alarcon, Artlomr L.

Date of Report

04/12/2010

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

Retirement Benefits, State of California

(yours, not spon.1C's)

$2,522.00I.2009

2.2009 Retirement Benefits, Los Angeles County Sll,564.00

3.2009 Retirement Benefit<, State of California Judges $41,920.00

4.2009 West Services lnc. $13,297.00

B. Spouse's Non-Investment Income - lfyo•-relffllTriNi•ri"l:•"Ypor1iono/11te,,porlin1:,.-r,c""'f1/c1etJtluution.

(Dollar amount not required o:cepr for honoraria.)

D NONE (No reportable non-investment income.)

I. 2009 Retirement Plan of Citibank

2.2009 Retirement Plan of Honeywell

3.

4.

IV. REIMBURSEMENTS -1ra11sport4fin,., lait:ini:,Jood, ntutoinme111.

(lnclude.s those lo spotlSe and dependent children; see pp. 15-27 of filing inslnlctions.)

[ZJ NONE (No reportable reimbursements.)

1.

2.

3.

4.

5.

SOURCE DESCRIJYDON

CREDITOR DESCRIPTION

VALUE

YALUECODE

L

FINANCIAL DISCLOSURE REPORT

Page3of10

[Z] NONE (No reportable gifts.)

Name of Person Rq>ertlng

Alarcon, Arthur L.

Date of Rrpnr1

04/12/2010

2.

3.

s.

VI. LIABILITIES. (lnduia ,,,,,,.., of"P"-""' chi14ntt; -pp..11-11 of fdbrs iMJNH:tiom.)

[l] NONE (No reportable /iabiiities.)

I.

2.

3.

4.

s.

I

---------

·-,--·----- Tran ctions rc: ng -::---·---1 ··r=-·(,-) - f(J)"T(4)- --! Galn

---�-----'----------L.

---- ----- -------·-----·· ----

I

Cmiss va e at cod

1. 2.

3.

4.

5.

6.

7.

8.

9.

10.

11. 12.

13.

A. Description of Assets (including trust assets)

Place "(X)" afta' each asset exempt from prior disclosure

Cal Western Life Ins Co

U.S. Treaslll)' Bills

Unite.::! Airline Stock

Citibank Accounts

Brokerage Account #1: ·TD Ameritrade MMDA Sweep Account

- Citigroup Stock

- Coca Cola Stock

114. ·Hewlett Packard Stock

15. • Microsoft Stock

16. ·Proctor & Gamble Stock

17. - Nokia Stock

I. Jnc-omc Gaio:Cod.c:s:: (Sec Colwnns BI znd D4)

1.. Value Codes (Sc<C<>l..,,..Cl mdD3)

A =S 1,000 or kss F -SSO,OOl -SI00,000 I .-$15,000 odes•

N --$250,001 -SSOO,ooo

B.Income during · r g period

I (I) I (2)Amount Type(e.g.,

. Codcl .I div., rent, (A-H) odnq

dur

ofreporting period I . -<Ill -rn .. ·r(2) . m. -- - -

Value ' Value

I Type (e.g., Date I Value I Identity of [

Code 2 I Method buy. sell, lmm/dd/yy I Code 21 Code I buycr/.,,ller I (J-P) Code 3 redemption) ; (J-P) (A-JI) I (ifprivate

i (Q-W) 11 I , transaction)

A

A

A

A

A

A

A

A

A

A

Interest K

Interest K

None J

Interest K

Interest K

Dividend I

Dividend J

Dividend K

Dividend J

Dividend J

Dividend I

B :$ 1,001 - S2.lOO G.-$100.001 -Sl,000,000 K .-$15,001 • SS0,000 0 :$500,00 I - S 1,000,000

w

T Redeemed 06/04109 K (part) Buy 06/04/09 K

(add'!)

Redeemed 12103/09 K (part)

Buy 12/03/09 K (add'I)

Redeemed 08128109 K (part)

Buy 08/28/09 K (add'!)

T

T

T

T

T

T

T

T

T

c 42.501-$5,000

HI :$1 ,000,001 -$5,000,000

L-S50,00t -SI 00,000

D.-$5,001-Sll,OOO

112 •Moo: than SS,000,000 M -SI 00.001 - $250,000 P2 ..SS,000,001 - rn,000,000

E•Sl5,001-$SO,OOO

J. V1lat Method Codes l___.(Scc Column C!)

Pl -s2.1,ooo.001. sso.000.000

Q-Appru•al R -Cost (Rn! !:.<tat. Only) v ""°"""

Pl -Sl.000.001 • $5,000,000 P4-M°"' than S50.000,000 S=Mi;:c cntW-EstimAtcd

T-C.shM>trl<rt U-BookVaJue

FINANCIAL DISCLOSURE REPORT Page4of10

Nam• of PerlOn Reporting

Ala!"l'on, Arthur L.

Dare or Report

04/1212010

VII. INVESTMENTS and TRUSTS -inct>lrle, ""111e, tr1UWZdiom (lncltuln thm;e ofspoa•e tmd d tulenJ thildrm; •tt pp. U-60 of {Wng irrsrr11c:tion.<.)

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

I ·· ·-(!-) -1· -(2_)_ ,

·------- ' ____ I

- ----� --- -c_Q_-W>_ - -----�

·(4)1 --(s)- I I

---'--------·----------- ·

-c ..

Dale of R<p<>rt Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

Pages oflO 04/1212010Alarcon, Arthur L.

VII. INVESTMENTS and TRUSTS - UrrortK, valu, tran.'ftlctioM (l1"111tla dw.<tt of pow;e """tlepemlmt chiltlrm; m pp. 14-60 of filinK insrr11rtlons.)

D NONE (No reportable income, assets, or transactions.) r---··---·

A. Description of As.<ets

(including rru.t a<scts)

Place "(X)" after each asset exempt from prior disclosure

B. C. hol Income during Gross value al end

rqxxting period of reporting period (I) (2) (I)

·Amount , Type {e.g., Value Value Type (e.g., I Code 1 ! div., rent. Code 2 Method buy, sell,

I (A-Jn : or inL) (J-P) Code 3 redemption)

18. -IBM Stock

19. - Sara Lee Stock

20. - Mastercard Inc Stock

21. - Paterson-UT! Energy Inc Stock

22. Brokerage Account #2:

23. ·TD Amerilillde MMDA Sweep Account

24. ·Honeywell Stock

25. ·Cisco Stock

26. - Pfizer Stock

27. - Merck Stock

28. - International Papec Stock

29. - EXXON Mobile Corp Stock

30. - 3M Compaoy Stock

31. - Intel Stock

32. ·Clorox Company Stock

33. - Newell Rubbermaid Inc Stock

34. - Citigroup Inc Stock

t I. Inconx: Gain Codes:: (S..C-OlummBl mdD4)

2 Value Code< i (Sex Colwmu Cl and 03) i I ). ValucMelhodCodcs

L (Soc C-Olomn C2)

A-Sl,OOOorlc<e

F-S.S0.001. sroo.ooo

J -SIS,000 ..-J<.. N -slS-0,001 • SS00.000 P3 •S25,000,IJOl - SS0,000,000 Q-Appnis.al U-Book.Valuc

A

A

A

A

A

A

A

A

A

A

A

A

A

A

A

Dividend J T

Dividend J T

Dividend J T

Dividend J T

Interest K T

Dividend K T

None K T Sold

(part) Dividend J T

Dividend J T

Dividend Sold

Dividend J T

Dividend J T

Dividend J T

Dividend J T

Dividend J T

Dividend J T Buy (add'!)

B •$1,001- S!,500 C 42,501 - SS,000

G-SIOO,OOl -Sl,000,000 HI -s1,ooo,001 -ss.000.000

K415,00I • SS0.000 L-SSO,OOl -Sl00,000 0 "'5500,001 • s 1,000,000 Pl '"51,000,001 - SS,000,000

P4 ·Mon: than $50,000,000 R -U... (Real Esta re Only) S-Anessmart V oOthcr W•utimalcd

D. lTransactions during reporting period I

c2i (3) Dale Value Gain Identity of

trunfdd/yy Code 2 ' Code I ' buyerlsc:lla II (J-P) J {A-H) 1 (if private j'I tran.c-.action)

10123/09 J

10123/09 J

10123/09 J

D-SS,OOl -SH,000 E•SIS,001-SSO,OOO ··-·1 H2 •Mnn: dun $5,000,000 I M-SIOOJJOI - $250,000 !P2 -SS,000,001 - $25,000,000 I

T h Marko!

-··

I

I I I

l i

i __ c_2J _____ u_-1Jook_v_.i_._e ____ _

------

c.

(I)

o.

·-·--·· I

Name of Person Rrportlng Date of Report FINANCIAL DISCLOSURE REPORT Page 6of10 04/12/2010Alarcon, Arthur L.

VII. INVESTMENTS and TRUSTS -income, ...rue. 1ran..,,a1om (lnrlades 11rou ofspo11se and depmt1e,., c1r11i1rm; ue rP. 14-60 of filinc i1J.rtr11ction. .. J

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

8.A. Grross value at end Income during Description of Asscl< Transactions during reporting period

I (including tm<l >.<.<el<)

Place "(X)" after each asset

0freporting period reporting period - ···-·-·-··- · -j

I (I)(2)(2)(I)

Date Value Gain

mm/dd/yy Code 2 Code I(2) (3) (4)(J·P) (A·II)

Value Type(e.g.,valuc (5)Identity of

buyer/seller

(if private transaction)

Amount Type(e.g., Code I buy, sell, code 2 Methoddiv., rent,

I exempt from prior disclosure , (A-H) or int)

... --··-

(J·P) 1i

Codel redemption) i . (Q-W)l ..

35. - GE Stock A Dividend J T

36. Brokerage Account #3:

37. - Wells Fargo Bank Deposit Sweep Option A Interest J T

38. - Lehman Commercial Bank CD c Interest Redeemed 08/17/09 L

39. - Calif State Bond (acquired 12115/08) D Interest M T

40. - Carolina First Bank CD B Interest Redeemed 01130/09 L

41. - National Bank CD c Interest Redeemed 06/19/09 L

42. - Silverton Bank CD B Interest Redeemed 05107109 L

43. - Southwest Bank CD D Interest L T

44. - American Express FSB CD A Interest Buy 02/03/09 L

45. Redeemed 05/11/09 L

46. - Midfust Bank CD None L T Buy 05/21/09 L

47. - Carolina First Bank CD None L T Buy 05121/09 L

48. - Beal Bank CD A Interest Buy

'

06/24/09 M

49. Redeemed 09/30/09 M

50. - First Bank PR CD A interest Buy 08/21/09 L

51. Redeemed 11/30/09 L

I. lncomc Gain Codes: A=$ 1,000 or leu B-$1,001-$2,500 C-$2,501 -$5,000 D-S5,00I • $15,000 E -$15,001 -$50.000 (See Cnlumru R 1 and D4) F -sso,001 • s100,ooo G --$100,001 • Sl,000,000 HI -S 1,000,001 -SS,000,000 112-Morc than $5,000,000

2. Valuceo&s J-=$15,000orlco;s K-il5,001-S50,000 L-$50,001. $100.000 M -S100,001 -$250,000

(Sec Columns Cl snd DJ) N =$250,00 I • $500,000 o-ssoo.001. s1,ooo.ooo Pl •$1,000,001 - $5,000,000 P2-S5,000,001-S25,ooo,ooo P3 -$25,000.001 • $50.000.000 P4 =Mon:: lhan S50J>OO.OOO

J. Value Method Codes Q-Appraisal R -CO.. (Real Estate Only) S --Abscsmieat T -U..b Mad.ct V--c>thcr W=Estimatcd

-- ___ ____J

----- ·-Dc-

_-f.C

-ripl_

i_:._· o_f_A_sse- --

----1--1-nc-o-m

-!

- -. -g---,-- ros.< reporting ·

-(I-) T<2>-i---(I-) -- -1(2)-1(3) ----(S-) -----ij �------------··

,---·--------·-----

I

·---; _

--

va e •I aid I 1

-,i --'(2)' rcportmg period

FINANCIAL DISCLOSURE REPORT Page7of10 Alarcon, Arthur L.

Datt or R<port

04112/2010

VII. INVESTMENTS and TRUSTS - w..-, POJ,,,,, trtuu11cdbns <Tnct•w """''of <fKJllSe llJld depmden1 r/U/4rm; m PP. 1uo "'fillnr 1n.umtions.J

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

Tran.<actions dur ---1 '

o (including trust assets) frqxxting period

Place "(X)" after each asset Amount Type (e g., Value 1 Value Type (e.g., Date Value G11.1n ld<ntity of exempt from prior disclosure Code I div., rent. Code 2 1 Method buy, sel mm!dd/yy 1 Code 2 Cede I buyer/sellerII (A-H) I or int) {J-P) I Code 3 redemption) ' (J-P) I (A-II) I (if private

I ; (Q-W) transaction) _I 52. - GE Money Bank CD

53. - Ca St Rev Bond (acquired 12/01/09)

54. Brokerage Account #4:

55. -Wells Fargo Banlc Deposit Sweep Option A

None

None

Interest

M

L

J

T

T

T

Buy

Buy

10106109

12/01/09

M

L

56. -American Exp Banlc CD A Interest Redeemed 03/03/09 M

51. - Bank India CD c Interest Redeemed 07/0&/09 L

58. - Colonial Bank CD

59. -Wachovia Bank CD

c

A

Interest

Interest

Redeemed

Redeemed

06/04/09

04/13/09

L

L

60. - Bank Baroda CD None M T Buy 09/14/09 M

61. - Beal Bank CD A Interest Buy 06/04/09 M

62. Redeemed 09/09/09 M

63. - Wilmington TR CO CD A Interest Buy 07/15/09 M

64. Redeemed 10/22/09 M

65. • Grcystone Bank CD Nooe L T Buy 11/12109 L

66. ·Ca St Econ Recov Ser B Bond (acquired 5/21/09)

B Interest L T Buy 05/21/09 L

67. - Ca St Pub Wks Brd Bond (acquired 3/24/09)

c Interest L T Buy 03124/09 L

68. -Ca St Univ Rev Ref Bond (acquired 03/24/09)

B Interest K T Buy 03/24/09 K

! I. Income Gain Codes: A -S1,000 ot less B -Sl,001-$2,500 C=S2,501-SS,OOO

(See C<>lumns Bl and 04) F-SS0,001-S!OO,OOO G-S!00,001 - Sl,000.000 HI -Sl.000,001 -$5,000,000

2. Valueu,&s: I -s 15,000 or le.<• K=SlS,OIJJ. $50,000 L=$50,00I -SJ00,000

(See Column• Cl and DJ) N -$250,001 - $500,000 O-S500,001-Sl,OOO.OOO Pl-Sl,OOO,OOl -S5,000,000

PJ •$25,000,001 -$50,000,000 P4 =Mor< than SS0.000,000 3. Va Joe Method Cod

(See Colwnn C2) Q-APP"i•al U =Boo< V aluc

R -<:oot (Real E<tai. Only) V-<>thcr

S •As..cssment W=Estimaltd.

D =$5,001 • $15,000 E -St5,00I • $50,000 H2 -Mon: thnn $5,000,000 M-SIOO,OOl ·S2SO,OOO I P2=15,000,001-125,000.000 i

IT-C..hMIUl<et II

of f-.rins

I i

. I I

(4) I i

-···-·--··-----------------

Q·App<>iul

(2) I

I

Dal• of Report Name of Prnon Rrportlng FINANCIAL DISCLOSURE REPORT

Page & of 10 04/12/2010Alarcon, Arthur L.

VII. INVESTMENTS and TR us TS -inc:ome, ""1uc, lrallstu:tWM (focludn llro ofr;pouse """ i<JK71dcnl c/Jildrctr; Set: pp. Jl-60 1 ... <1n1ctlnn.<.)

D NONE (No reportable income, assets, or transactions.) ·--1 -,

D.Tran.'8ctions during reporting pcrioJ Gross value at end

c.A. B. IDescription of As.cl< [ncome during

(including lro<l ai;.sets) reporting period

i

or int)

ofreporting period (l)·-r --"

(I)·----·-Wo .. -.

(I) i (2) (5)Identity of

1 Dar<: 1 Value Gain

mm!ddlyy : Code 2

• (l-P)0) '"

Type (e.g., buy, i;ell.

redemption)

Placr "(X)" dter each asset Value Value

Code ITypc(e.g.,div., rent. Code2 Metlmd

(A·H)11 buyer/seller

tran...clion)

exempt from prior disclosure

__j(J-P) CodeJ (A·ll) (if private

(Q·W)I -·

69. - Ca St Econ Recov Ser A Bond (acquired B Interest K T Buy 04123/09 K4123/09)

-··-1. Income Galo Codec;: A=$1,000orles.< B-SI,OOI -S2,500 C Sl,501 - S5,000 D -SS,001 - S15,000 E-Sl5,00!-S50,000

(Sc. Columns Bl and 04) :?. Value Codes

(Sec Column• Cl and 03)

F•SS0,001 • SI00,000

l ·$1 S,000 o<I= N =$250,001 • SS00.000

P3-S25,000,00I • $50,000,000

G -SI00,001 • SJ,000,000 HI -Sl,000,001 • $5,000,000 H2 =Mon: dun SS.000,000

K -SlS,001 • $50,000 L-$50,001-$100,000 M-S100,00l - S250,000 O-S5oo,oo! -S!,000,000 PI -S l.000.00 I - SS,000,000 1'2-SS,000.001 • $25,000,000

P4 =More than SS0,000,000 R "°"'1 (Real Estare Only)3 Value Method Codes S=AsSC#mc:nt

(Sec Column Cl) U-Valuc V--Other W-Btiltlat<d

N amc of Person Rq>&ttlng Date of Report FINANCIAL DISCLOSURE REPORT

Page 9 oflO Alarcon, Arthur L. 04/1212010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lntlicateputo/Report.)

I) Part VII: differences between 2008 and 2009 for entries in Column B (Income) and C (Gross Value) are due to fluctuation in stock prices and interest/dividends. 2) Part VII, the •Audit" flagged lines I 0, 22, 36, and 54 with • .. .if the entry in column A is not a header then . ... • The entries in lilies I 0, 22, 36, and 54 are headers. 3) Part VII, lines 37 and 55, Column A: formerly Wachovia Bank. (Column A is not large enough ta add "(formerly Wachovia Bank)" after Wells Fargo Bank.)

Date el RrportName ef Pcnon R<porthrg FINANCIAL DISCLOSURE REPORT

Page 10 of IO 04/12/2010AlarcGn, Artlaur L.

IX. CERTIFICATION.

I certify that all Information given above (Including Information pertamlng to my spouse and minor or dependent childrtn, lf any) Is acc:urate, true, and c:omplete to the best of my knowledge and bellel, and that any Information not reported wu withheld bttanse It mtt applicable statutory provisions permitting non-dlaclomre.

I further c:ertffy that earned Income from outside employment and bonorarla and the acceptance of giflJ which bave bttn reported arc ht compliance with the provlaloas of 5 U.S.C. app. § 561 et. seq., 5 U.S.C. § 7353, and Jadlclal Confereac:e regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite2-301 One Columbus Circle, N.E. Washington, D.C. 20544