Professional Documents
Culture Documents
1/2011
Report Reqtdred by the Ethics in Government Act of 1978 (5 U.S.C. app..~;.~ I01-111)
I. Person Reporting (last name, first, middle initial) 5hyte, Ronald M. 4. Title (Article II! judge~ indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge - Senior
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NO TES: 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. POSITIONS. m,~om.g i.aivia, at o,O; see pp. 9-13 of ~U.g instructions.) [] NONE (No reportable positions.)
POSITION
I. 2. 3. 4. 5. Member of Exec. Committee Member Member
NAME OF ORGANIZATION/ENTITY
Santa Clara Inn of Court Intellectual Property Board of Advisors - George Washington Law School Santa Clara Law School IP Advisory Board
II. AGREEMENTS. mema,,g i.aivia.al o.l~; ~ee ~,~,. 14-16 offillng instructions.) ~] NONE (No reportable agreements.) DATE PARTIES AND TERMS
5hvte, Ronald M.
INCOME
(yours, not spouses)
2.
3. 4.
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.)
2. 3. 4.
DATES
LOCATION
PURPOSE
V. GIFTS. (lncludes those to spouse and dependent children; $ee pp. 28-31of fillng instructions.) NONE (No reportable gifts.)
SOURCF
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ane~ndes those o/spo.se and dependent children; see pp. 32-33 of filing instructions.) NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. 1 NVESTMENTS and TRUSTS - inco,~e. ,,~l~e, ,~ans~ctio,~ ancludes tho~e oI ~pouse ~nd dependent children; see pp. 34-60 of f!llng instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., [ Code I div., rent, [ (A-H) or int.) I C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (21 (3) (4) Date Value Gain mm!dd~,y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
Emeryville Redev Bond Sacramento Utility Bond California Water Bond due 2016 California Water Bond due 2018 Davis NY Venture Mut Fund Davis NY Venture Mut Fund Templeton Foreign Fund Prudential (Dryden) Cal Muni Fund Pax World Fund First Eagle Global Fund Bank of the West Acct Bank of the West Acct Condo, Ketchum, Blaine County, ID Condo, Los Gatos, Santa Clara County, CA Calamos Investment Trust Growth Fund Eaton Vance Health Science Fund yon Weise Properties, LLC
A A A A B
J J J J M
B B C C A A D
L K M M J K N N L L N
T T T T T T S S T T W
Sold (part)
Sold (part)
04/15/10 K
D E
Dividend Distribution
I. Income Gain Codes: (See Columns B I and D4 ) 2. Vah. Codes (See Columns CI and D31 3. Value Method Codes ISce Cohlmn C2|
A $1,000 or Icss F =$50.001 - $ 100,000 J =$15,000 or less N $250.0OI - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal LI =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 -~Sost iRcal Estate Only) V -Olhcr
C =$2.501 - $5.0~0 I I I =$ 1,000.001 - $5.000.000 L =$50.001 - $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 $5.000.1~00 M =$i00.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =C~h Market
E =$15.001- $50.000
VII. INVESTMENTS and TRUSTS - ~nco,~e, value, ~a~ctio~ a,ctudes those of ~vous~ ~nd devendent children: seepp. 34-60 of filing instructions.)
NONE
C.
Gross value at end Transactions during reporling period
Description of Assets
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (t) (2) Amount Type (e.g., i Code 1 div., rent, I (A-H) or int.)
of reporting period (i) (2) Value Value Code 2 Method (J-P) Code 3
(2) (3) (4) Date Value Gain mm/dd~ 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.
Artio Inter Fund (Julius Baer) Oppenheimer Dev Mrks Fd Chase (formerly Wash Mut Bank) Rosemead Ca 3.5 Redev Bond Ceres Ca Redev Bond SolanoCA 3.5% Bond Pomona CA Bond CMA Money Fund MLBank Deposit Sacramento San Bd Reassure Annuity Fremont CA Un High Sch Bond Alameda CorridorTran Bond San Jose Redev Agy Bond CD Captial One Bk CDAmerican ExpressBk Dreyfus Appreciation Fund
B A A B A B B A A B D B
Dividend Dividend Interest Interest Interest Interest Interest Dividend Interest Interest Interest Interest None
J K J
T T T
Sold (part)
112/31/10 L
C D D B
I. Income Gain Codes: (See Columns B I and D4) 2. Value Cod~ (See Columns CI and D3) 3. Value Method Codes (See Cohann C2)
A =$1,000 or less F =$50.001 - $109.000 J =$15.000 or less N -$250.001 - $500.000 P3 =$25.000.001 - $50.0(~.000 Q =Appraisal U -Book Value
B =$1,001 - $2,500 G :$ 100.001 - $1,000.000 K =$15.001 - $50.0(X) O =$500,001 - $1.000.000 R ::Cost {Real Eslate Only) V =Other
C =$2,501 - $5,000 I I I =$ 1.000,001 - $5.000.000 L =$50.091 - $100.000 PI ~$1,000.001 - $5,000.~O9 P4 ~More than $50.00~.000 S =Assessment W =Estimated
D =$5.001 - $15,000 112 = More tha n $5.000.000 M =$100.001 - $250.0(]0 P2 =$5.000.001 - $25.000.000 T =C~sh Market
E =$15.091 - $50.000
VII. INVESTMENTS and TRUSTS - ~,,co,,,e. v,~t,,e. ~-,,,~,,alo~ (lncludes those of spouse and dependent children: see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust ass~s) Income during reporting period Gross value at end of reporting period Transactions during reporting period
(2) (3) (4) Value Gain Date mm!dd.~y Code 2 Code I (J-P) (A-H)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
FIA Card Services NA Pimco Short Term Fd. USAA Cornerstone Strat Fund BlackrockGlobal Alloc. Fund Currency Shares-Australian Dollars Currency Shares-Canadian ETF i Shares Barclays 1-3 year credit i Shares Barclays 1-3 Treas. Ivy Asset Strategy Fd MerckHard CurrencyFd. Pimco Commodity RRStrat. Sector SPDR Utilities SPDRGold Trust SPDRS P Divd ETF Vanguard MSCI Emerg Wisdomtree Inv. Inc. Currency Shares Swiss Fr. A A A C A B A A B A A A C A
None Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend None Dividend Dividend Dividend None
M M J M J J K K L K K K K K K J
Sold (par0
04/15/10
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
04/15/10 01/13/10 01/13/10 01/13/10 01/13/10 04/15/10 04/27/10 04/16/10 04/15/10 04/19/10 04/15/10 04/16/10 01/13/10 01/13/10
M J J K K L K K K J K K J J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codc~ (See Columns CI and D3) 3. Value Method Codes (Sce Column C2)
A -$1.000 or less F =$50.001 - $100.000 J =$15.000 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 =$15.001 - $50.000 O =$50<).001 - $1,000.00O R =Cost (Real Estate O~ly) V =Olhcr
C =$2.501 - $5,000 III =$1.000.091 - $5.0~0.000 L =$50.0(,1 - $100.000 PI -$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Asscssmtmt W =Estimated
D =$5.001 - SI 5.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.0~1 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
FINANCIAL DISCLOSURE REPORT Page 7 of 9 VII. INVESTMENTS and TRUSTS - income, value, tr ....
~
tion~ (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
Amount
1 Code I I (A-H)
Type (e.g.,
div., rent, or int.)
Value
Code 2 (J-P)
Value
Method Code 3
O)
Type (e.g., buy, sell, redemption)
(2) (3) (4) Value Gain Date mm!dd/yy Code 2 Code I (J-P) (A-H)
52.
53.
None
Interest L
Sold
04/15/10 J
1. Income Gain Codes: (See Columns BI and D4) 2. Value Cod~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -$1.000 or less F =$50,001 . $100,009 J =$15.000 or less N $250,001-$500.000 P3 =$25.0OO.001 - $50.000,0~O 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 Estate Only) V =Olhcr
C =$2.501 - $5,000 |11 -$1.099.001 - $5.009.090 L =$50.001 - $100.00~ p I = $1.000.001 - $5.0OO.0OO P4 =More than $50.000.000 S =Assessment W =Estimated
D -$5.001 - $15.000 112 =More than $5.0~0,000 M $1OO.001 - $250,000 p2 = $5.0OO.0OI - $25.000.0OO T -Cash Market
E =$15,001- $50,000
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 kno~vledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts ~vhich 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
AO IO Rev. 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
Nomination, [] Initial
Reviewing Officer
Date
IMPORTANT NOTES: 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 pag~
NAME OF ORGANIZATION/ENTITY Santa Clara Inn of Court Intellectual Property Board of Advisors - George Washington Law School Santa Clara Law School IP Advisory Board
DATE
5hvte, Ronald M. A
2.
3.
4.
B. Spouses Non-Investment Income - tf you were married during any portion of the reportlng Fear, complete this section.
(Dollar amount not required except for honoraria.)
1. 2010 2. 3. 4.
~]
SOURCE
DATES
LOCATION
PURPOSE
2. 3.
4.
5.
V. G I FTS. a,,ct,,d~ ,ho~e to ~ponse ~nd deren,~ent children; ~ee pp. ~S-~ ; oy~ling instr,~ction~.~
[] NONE (No reportable gifts.) SOURCE
1. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancludes those olspouse ond dependent children; see plx 32-33 of filing instructions.)
NONE (]go reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VI I. IN VESTMENTS and TRU STS - i,,,-o.,,e, ,,,,I,,,,, ,ra.sa.io,~ a.c~.des those o/~po~se ~.a d.pe.~e.t ~hi~.e.: s.e p~ 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (I) (2) ] Amount Type (e.g., ] Code 1 div., rent, or int.) i (A-H) I I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Emeryville Redev Bond Sacramento Utility Bond California Water Bond due 2016 California Water Bond due 2018 Davis NY Venture Mut Fund Davis NY Venture Mut Fund Templeton Foreign Fund Prudential (Dryden) Cal Muni Fund Pax World Fund First Eagle GlobaI Fund Bank of the West Acct Bank of the West Acct Condo, Ketchum, Blaine County, ID Condo, Los Gatos, Santa Clara County, CA Calamos Investment Trust Growth Fund Eaton Vance Health Science Fund von Weise Properties, LLC D E B B C C A A D Dividend Dividend Dividend Dividend Interest Interest Rent None None Dividend Distribution L K M M J K N N L L N T T T T T T S S T T W Sold (pa~) 04/15/10 K
A A Interest Interest
C. Gross value at end of repining period (I) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
J J T T
A A B
J J M
1. Income Gain Codes: (see Columns B I and D4) 2. Value COdes (see Columns CI and D3) 3. Value I.tcthod Codes (See Column C2)
A =$1,000 or less F =$50.001 - $ I 0O,000 J =$15.000 or b~"ss N =$250.0OI - $500.0(XI P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B-S1,001 - $2.500 G =$100.001 - $1,000.000 K =$15,001 - $50.000 O -$500,001 - $1.1300.000 R :=Cosl (Real Estalc Only) V =Olht~r
C =$2.501 - $5,000 I I I =$ 1.000,001 - $5.000.090 L -$50.0~1 - $1 ~0.000 PI ~$1.000,001 - $5.000,000 P4 =More than $50.000.000 S =Asscssn,-mt W =Eslimatcd
D $5.001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 -$5.0(30.001 - $25,000.0OO T =~a~h [vlarkct
E :$15,001 - $50.000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Indudesthose ofspouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "IX)" after each asset exempt from prior disclosure B. Income during reporting period [ (!) (2) ! Amount Type (e.g., I Code I div., rent, or int.) i (A-It} ~ B A A B A B B A A B D B Dividend Dividend Interest Interest Interest Interest Interest Dividend Interest Interest Interest Interest None C D D B Interest Interest Interest Dividend M L T T K K L J M L M K L L T T T T T T T T T T Redeemed 12/03/10 M A C. Gross value at end of reporling period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) T T T Redeemed 10/01/10 L A (I) Type (e.g., buy, sell, redemption) D. Transactions during reporling period (2) (3) (4) Date Value Gain mm/dd,3"y 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.
Artio Inter Fund (Julius Baer) Oppenheimer Dev Mrks Fd Chase (formerly Wash Mut Bank) Rosemead Ca 3.5 Redev Bond Ceres Ca Redev Bond Solano CA 3.5% Bond Pomona CA Bond CMA Money Fund ML Bank Deposit Sacramento San Bd Reassure Annuity Fremont CA Un High Sch Bond Alameda Corridor Tran Bond San Jose Redev Agy Bond CD Captial One Bk CD American ExpressBk Dreyfus Appreciation Fund
J K J
Sold (part)
12/31110:
I. Income Gain Codes: (See Columns B I and 1)4) 2. Value Codes ISee Columns CI and DJ) 3. Vatuc Melhod Codes (See Column C2)
A =$1.000 or less F =$50.001 - $ 100,000 J =$15.0~O 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 $15.0OI - $50.000 O =$50~.001 - $1.000.000 R ~-"ost (Real Estalc Only) V -Other
C =$2.501 - $5.000 111 =$ 1.000.0~ I - $5.000.000 L =$50.001 - $100.00(} Pl =$1.000.0(11 - $5.000.000 P4 =More than $50.000.000 S -Asscssrik,~t W =Estimated
D =$5.001 - $15.000 112 =More ~han $5.000.(900 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T ~ash Markcl
E =$ i 5.001 - $50.000
VI 1. INV ESTMENTS and T R U STS - inco~,,, ,alue, transactions (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) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
M M J M J J K K L K K K K K K J T T T T T T T T T T T T T T T T
Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mrn/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Idenlity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
FIA Card ServicesNA Pimco ShortTerm Fd. USAA Cornerstone Strat Fund Blackrock Global Alloc. Fund Currency Shares-Australian Dollars Currency Shares-Canadian ETF i Shares Barclays 1-3 year credit i Shares Barclays 1-3 Treas. Ivy Asset Strategy Fd Merck Hard CurrencyFd. Pimco Commodity RR Strat. Sector SPDR Utilities SPDRGold Trust SPDRS P Divd ETF Vanguard MSCI Emerg Wisdomtree Inv. Inc. Currency Shares Swiss Ft. A A A C A B A A B A A A C A
None Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend None Dividend Dividend Dividend None
Sold (pan)
04/15/10
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
04/15/10 01/13/10 01/13/10 01/13/10 01/13/10 04/15/10 04/27/I0 04/16/10 04/15/10 04/19/10 04/15/10 04/16/10 01/13/10 01/13/10
M J J K K L K K K J K K J J
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Colutnns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50,001 . $100,000 J =$15.000 or less N S250.001 - $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 Estalc Only) V =Other
C $2.501 - $5,00~ III ~$1,000.001 -$5.000.000 L =$50.001 - $100.000 p I =$1.000.001 - $5,000.000 P4 =More than $50.000.000 S Assessment W -Eslimated
D =$5,001 - $15,000 112 =More than $5,000.000 M =$100.001 - $250.000 p2 -$5.000.001 - $25.000.000 T =C~h Market
E =$15.001 - 550.000
,,,o, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[
52. 53. Currency Shares Swiss Fr. MLIRAAcct Cash
A
(Q-W)
None Interest
T
Sold
04/15/10 J
I. Income Gain Codes: (Scc Columns B I and 1}4) 2. Value Codc~ (See Columns CI and D3I 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J =$15.000 or less N -$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U Book Value
B =$h001 - $2,500 G =$100.001 - $1,000,000 K =$15,001 - $50,000 0 =$500.001 - $1,000.000 R ~Sost (Real Estate Only) V = O~h,r
C =$2,501 - $5,000 It I =$1.000,001 . $5.000,000 L =$50.001 P4 =More than $50.0~1.00~ S =Assessment W =Estimated
D =$5,001 - $15.000 112 =More than $5.000.000 M =$10O.001 - $250.000 P2 =$5,000,001 - $25,000,000 T =Cash Markc~
E =$15.1991 - $50.000
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 hest of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts ~vhich 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.
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544