Professional Documents
Culture Documents
1/2011
Report Required by the Ethics in Government ,4ct of 1978 (5 U.S.C. app. 101-111)
I. Person Reporting (last name, first, middle initial) Shubb, William B. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it ix, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followe,t Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
I. 2. 3. 4. 5.
Adjunct Professor
II. AGREEMENTS. ~Repon~.~ individ,ui o,ly; s,, p,. 14-16 of filing instructions.)
[~ NONE (No reportable agreements.) DATE
Shubb, William B.
INCOME
(yours, not spouses)
$4,238.00
B. Spouses Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~]
1. 2. 3. 4.
~]
2. 3. 4. 5.
V. GIFTS. anclud~ ,hose ,o spo~e und dependent children; see ~p. 28-31 of filing instructions.) [~] NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
VI. LIABILITIES. ancl~des ,hose ols, o,se and de~ndent children; see pp. 32-33 of filing instructions0 NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
V II. INVESTMENTS and TR U STS - inco~,e, vol.e, ~o,~o~o~ Cinctures those ofsp ...... dependent children; see pp. 34-60 offillng instructions.) d
NONE (No reportable income, assets, or transactions.)
Description of Assets (including laust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
I (i)
Amount Code I i (A-H)
(2)
Type (e.g., div., rent, or int.)
(~)
Value Code 2 (J-P)
(2)
Value Method Code 3
(2) (3) (4) Value Gain Date mm!dd~cy Code 2 Code I (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction
BANK ACCOUNTS Bank America (Checking) Bank America (Maximizer) 1st Community Credit Union A A A Interest Interest Interest K J J T T T
RAYMOND JAMES IRA Government Strips Capstead Mortgage RJ Bank Dep. Oppenheimer Senior Fltg Rate Fund A A A
None
I. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (S Columns CI and D3I 3. Value Method Codes (See Column C2)
A =$1,000 or less F=$50,001 - $100.000 J -$15.000 ~ less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1 ,IDOl - $2,500 G =$100.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1.000.0OO R =Cost (Rcal Estate Only) V -~)~hcr
C =$2.501 I I I =$ 1.000.001 - $5.000.000 L -$50.001 - SI00.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Asscssm~.nlt W =Estimated
D =$5.001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 -S5.000.0OI - $25.000.000 T -Cash Market
E =$15.091 - $50.000
V I I. I N V E S T M E N T S a n d T R U S T S - i ........ rue, tr .....tions (Include~ those of spouse and dependent children; see pp. 34-60 of filing instructions~)
~-] NONE ~o reportable income, assets, or transactions.) A. Descdplion of Assets (including trust assets) Place "(X)" al~er each asset exempt from prior disclosure B. Income during reporting period i (I) (2) Type (e.g., i Amount div., rent, i Code I ! (A-H) or int.} ~ C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code3 (Q-w) Tran.~actions during reporting period O)
Type (e.g.,
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
Eagle Tax Free Money Fund, fmrly Eagle Muni Cash Trust WF Advantage Strategic Muni Bond Fund, fmrly Evergreen Franklin CA High Yield Muni Seligman CA Hi YId Muni lnvesco Van Kampen Interm Muni Fund A C C
RAYMOND JAMES ACCOUNT #2 Eagle Tax Free Money Fund, fmrly known as EagleCash TrusMuni Alliance Muni Income Insd CA Franklin IncomeFund Franklin Strategic IncomeFund Highland Capital Floating Rate Oppenheimer Senior Fllg Rate Invesco Van Kampen Equity Income Fund, fmrly Van Kampen Eqty Citizens Bank 2.55% 6/01/11 CD Preferred Bank 1.15% 5/28/10 A B C C A D A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J K L L K M K T T T T T T T Redeemed Redeemed 03/01/10 05/28/10 L L Buy (addl) 06/08/I 0
1. Income Gain Codes: (See Colum~ BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100.000 J =$15.0OO o less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.13OI - $50.0OO O =$500.001 - $1.000.000 R ~Cos! (Real Estate Only) V -Other
C =$2.501 - $5,000 III =$1.000.001 - $5.000.000 L =$50.0OI - $10~.000 PI =$1.000.001 - $5,000.000 P4 =More tb.an $50,000.0~0 S =Assessment W =Estimated
D =$5,001 - $15.000 112 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000,001 - $25,000.000 T =Cash Markcl
E =$15.001- $50.000
V 1 I. I N V E ST M E N T S a n d TR U ST S -income, ,alue, ~ .... ,io~ (Includes those of spouse and dependent children: see pp. 34-60 of.filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) t (1) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (2) Type (e.g., div., rent, or int.) ! Amount i Code I Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3 Transactions during reporting period
i(A-II)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
(Q-W)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50.
51. IRA~oI
J J
T T
12/06/10 01/29/10
J J
WACHOVIA "~ Bank sweep acct. Boeing Chevron Coca Cola General Electric Intel Proctor& Gamble Investment Company of America New Perspective Fund A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J K K K K K K K K T T T T T T T T T Buy Buy 01/29/10 12/07/10 K K Sold (part) 01/29/I0
I. Income Gain Codes: (See Columns BI and D4) 2. Value Cod,:s IS~:e Columns CI and D3) 3. Value Method Codes (Sc Column C2)
A =$1.0OO or less F =$50,001 - $100,000 J =$15.000 or less N =$250,001 - $500.000 P3 =$25,000.001 - $50,000.000 Q -Appraisal U =Book Value
B =$1,001 - $2.500 G=$100.001 - $1.000.000 K =$ 15.001 - $50.000 O =$500.001 - $1.000.000 R =:Cost (Real Eslate Only) V =Other
C =$2,501 - $5.000 III =$1.000.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 112 =More than $5.000.000 M =$100,001 - $250.000 P2 =$5.000.001 * $25,000.000 T =Cash Market
E =$15,001 - $50.000
o, value, transactionS (lndud~ those of spouse and dependent children: see pl~ 34-60 of fillng instructions.)
52. 53.
54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
Bank Deposit Sweep, frmrly knwn as Wachovia Bank Dep. Sweep Dividend Growth Fund Apache Corp. Sempra Energy
A A A A
IRA/ROLLOVER of HR- I 0
Bank Deposit Sweep, frmrly knwn as Wachovia Bank Dep. Sweep Franklin Income Fund
A D
Dividend Dividend
.I L
Dividend
B A A
B
M K K
K
T T T
T
66. 67.
A A B
K K L
T T T
68. Catepillar
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (See Columns CI and D3) 3. Value Melhod Codes (Scc Column C2)
A =$1.000 or less F =$50.001 - $100,000 J =$15.0~0 o less N =$250.001 - $500.0~0 P3 =$25,000.001 - $50.000.000 Q =Appraisal U -Book Value
B =$1,0Ol - $2.500 G =$100.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.0OI - $1.000.0~0 R =Cost (Real Estalc Only) V =Other
C =$2,501 - $5,000 I11 =$1,000,001 - $5.000.000 L =$50.001 - $100.000 PI =$I.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Eslimatcd
D =$5,O01 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 T =Cash Market
E =$15,001 - $50,000
l VII. INV ESTMENTS and TRU STS - inc ......ue, trat~actiotls (Includes those of spo .....d dependent children; see pp. 34-60 Of fillng instructions~)
D
(2) (3) (4) Date Value Gain mm/dd~/ Code 2 Code I (J-P) (A-H)
(Q-W) 69. 70. 71. 72. Chevron Cisco Coca Cola Comcast B A A A B A A A B B B A A
A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
Dividend
L J K
J
T T T
T
73. Conoco 74. 75. 76. 77. 78. 79. 80. 81.
82.
K K K K K
L
T T T T T
T
Du Pont General Electric Hewlett Packard Intel IBM Johnson & Johnson Microsoft Proctor & Gamble
Sempra Energy
83.
Target
Walt Disney
Dividend
84.
Dividend
85.
Yum Brands
Dividend
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes {Set: Columns CI and D3) 3. Value Mclhod Codes {Sec Column C2)
A =$1.000 or less F =$50.001. $100,000 J =515.1300 or le~s N =$250.001 - $500.000 13 =$25.00{).001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100,001 - $1,000.000 K =515.001 - 550,000 O =$500.001 - $ I.OO0.000 R =Cost (Real Es~ate Only) V =O,hcr
C =52.501 - $5,000 Itl =$1.000.001 - $5.0~0.000 L =$50.001 - $100.000 PI =51.000.001 - $5,000.000 P4 =Mo~e Ihan $50.000.0{)0 S =Asscssn~nt W =Eslimatcd
D =$5.001 - $15.000 112 =More Ihan $5.000.000 M =510~.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Marko
E -$15.091 - $50.000
rue, tratt~actiot~ (Includes those of sp ...... d dependent children see pp. .t4-60 of f!llng instructlon~.)
(Q-W)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. Zimmer Holdings BofA 1.10% 4/01/10 CORTS- BMY Squibb 8-1-97 (KNR) Delphi Fincl 7.376% Pfd 5/1/67 GE Capital St. Notes 2118/33 (GED) GE Capital PINES 6/28/32 (GEA) GECC 6.1% PINES 11/15/32 (GEC) Georgia Power Sr. Notes 1/15/45 (GAH) Mississipi Pwr 5.625% Pfd 4/15/67 Morgan Stanley 6.45% Pfd 4/15/67 (MSK) SATURNS GE 6% Pfd 3/15/32 (DKC) Wachovia 6.375% Pfd 6/1/67 Wells Fargo Capital 6.25% 6/15/67 (FWF) A A B A B B B A A B B B B Dividend lnt./Div. Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J K K K K T T T T T J J K K K T T T T T Redeemed 01/20/10 K Buy 10/25/10 J J T
Matured 04/01/10 K
Buy
10/25/10 J
99.
1. Income Gain Codes: (,See Column~ B[ and D4} 2. Value Cod~ ISc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50,001 - $100,000 J =$15.000 or le~ N =$250.001 - $500,000 P3 =$25.00~.001 - $50.0~).0~0 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100,001. $1,000,090 K =$15,001 - $50.000 O =$500.001 - $1.000.000 R ~Cos~ (Real Estate Only) V =Other
C =$2.501 - $5.000 III =$1.04)0.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1,000.0OI - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimalcd
D -$5.001 - $15.000 112 =More than $5.00~.000 M =$100.001 - $250.000 1"2 =$5.000.001 - $25.000.000 T =Cash Markel
E =$15.001 - $50.000
Date of Report
Shubb, William B.
04/27/2011
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544