fortunato p benavides financial disclosure report for 2010

8/3/2019 Fortunato P Benavides Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Governmen t Act of 1978(5 U.S.C app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)Benav ides , For tu na to P .

4. Title (Article l lI judges indicate active or senior status;magis t ra te judges indicate ful l - or par t - t ime)

U.S. C i rcu i t Jud g e; Act ive

7. Chamber s or O f f ice Addr es s903 San Jac in to B lvd . , Rm. 450A ust i n , T X 7870 1

2. Court or Organiza t ion5th Circui t Court of Appeals

3. Date of Repor t05/12/20

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my o p in ion , in compliancewith appl icable l aws and regula t ions .

6. Report ing Pe riod01/01/2010

to12/31/2010

Reviewing Of f icer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followea~ Complete all parts,checking the NON E box for each part where you have no reportable information. ~qlgn on last page.

I . P O S I T I O N S . m e p o , ~ i . g l , d l v i a , , t o , t y ; s e , p p . 9 - I 3 offiling instructions.)--] N O N E ( N o reportable positions.)

POSITION1 . A d v i s o ry B o a r d M e m b e r2. A d v i s o ry B o a r d M e m b e r3.

4.5.

N A M E O F O R G A N I Z A T IO N /E N T I TYU . o f H ou s t on L aw Cen t e r s B l ak e l y Adv oc ac y I ns t i t u t e s Adv i s o r y Boa r d

U . o f H ou s t on Cr i m i na l Ju s t i c e I ns t it u t e Adv i s o r y Bo a r d

I I . A G R E E M E N T S . m e , o n i .g i . d i v ia . a t o . ~ y ; ~ e p p . 1 4 - 1 6 of filing instructions.)~ (No reportable agreemen ts.)O N E

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 6

N a m e o f P e r s o n R e p o r t in gBenavides, Fortunato P.

D a t e o f R e p o r t05/12/2011

I I I. N O N - I N V E S T M E N T I N C O M E . ( ~ e p o , ~ i n g individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Incom e~ N O N E ( N o reportable non-investment income.)

D A T E SO U R C E A N D TYPE I N C O M E( y o u r s , n o t s p o u s e s )1. 2010 Sta te o f Texas Jud ic ia l Ret i rem en t Sys tem m o n th ly b en ef i t s fo r year $60,000.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - i f you were m arried during any p ort ion of the report ing year , complete this sect ion.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1 . 2 0 1 02.3.4.

DATE S O U R C E A N D TYPES ou t hw es t A i r l ine s ( f l i gh t a t t endan t )

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta inmen~(Includes those to spouse and depend ent children," see pp. 25-27 offiling instructions.)

D (No reportable reimbursements.)O N E

3.4.

5.

SOURCEF o un d at io n fo r Researcho n E c o n o m i c s a n d t h eE n v i r o n m e n t

D A T E S L O C A T I O N . P U R P O S E0 8/0 8 /10 -0 8 /12 /10 B o z e m a n , M T Ed u ca t i o n a l S e m i n a r

ITEMS PAID OR PROVIDEDfood, lodging, transportation


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Date of Report05/12/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of f!ling instructions.)N O N E ( N o re portable g if ts.)

SOURCE DESCRIPTION

1.2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; seepp. 32-33 of filing instructions.)N O N E (No reportable l iabili t ies.)

CREDITOR DESCRIPTION1.

2.

3.

4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 6 Ia m e o f P e r s o n R e p o r t i n gBenavides, F o r t u n a t o P . Date of Report05/12/2011

V I I . IN 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 (No reportable income, assets, or transactions.)

D escriptio n o f Assets Incom e d urin gOne uding t rus t asse ts) reporting period

O~ (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt f rom pr ior d isc losure C o d e 1 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 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 do f r e p o r t i n g p e r i o d(1) (2) (1 ) (2) (3) .......(4 ) (5 )V alue V alue T yp e ( e . g . , D a t e Valu e Ga i n : I d e n t i t y o f

C o d e 2 M e t h o d b u y , s e l l , m m / d d/ y y C o d e 2 Code I buyer/seller( J - P ) C o d e 3 r e d e m p t i o n ) (J-p) ( A r H ) ( i f p r i v a t e

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

C h a s e B a n k o f T X , A u s t in T X , R e l a t e d C k g& Say . Acc t .U niv . Fed . Cred i t U nion , Au s t in , TX; IRAS a v i n g A c c t .S e e V I I IP r i n c ip l e F i n a n c i a l G r o u p , C o m m o n S t o c k

A Interest

A InterestA D i v i d e n d

LJ

J

T

TT

11/15/10

4. V an K am p en M u tua l F un d -A CP A X N o n e J5. V a n K a m G l o b a l F r a n c h is e F u n d C l a s s A(VGFA X) s ee pa r t VI I I6, 40 lK -Vangu ard Ins t i tu t i ona l Index Fu nd

N o n eN o n e

JL

TT

7. 401K -Harbor Capi t a l Apprec i a t i on Fu nd N o n e M T8. 401K -E uro P a c G ro w th F un d -R 5 (R E R FX ) N o n e M T9. 4 0 1 K - D o d g e & C o x S t o c k F u n d N o n e L

1 0 .

1 1 .

1 2 .

1 3 .

14 .

S W A i r li n e s P r o f i t S h a r i n g P l a n - H a r b o rCapi t a l App rec i a ti onS W A i r li n e s P r o f i t S h a r i n g P l a n - E u r o P a cG r . F u n d - R 5 (R E R F X )S W A i r l i n e s P r o f i t S h a ri n g - D o d g e & C o xStock Fu nd

N o n eN o n eN o n e

LLL

T

T

T

S W A i r l i n e s P r o f i t S h a r i n g - V a n g u a r d I n s t .I n d e x F u n d N o n eRoya l t y I n t e r e s t , S t a r r C oun t y , T X C Roya l ty K W

1 5 . U niv e rs i ty Fede ra l Cred i t U nion , Au s t in , TX A( C D )1 6 .

Interest

1 7 .

i ] Inc0me G~in CodeS! A =$i;000 0r less( S ee C olumns B I and D4) F =$50,001 - $100,000

2. V alue Co d es J =$15,000 or less( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003 . Value M ethod C odes Q = Ap p r a i sa l( S ee C olumn C 2 ) U =Book Value

B =$1,001- $2,500G =$1 00,001- $1,000,000K=$1 5 ,0 0 1 - $5 0 ,0 0 0O=$500,001- $1,000,000R =C os t ( R eal E s t a t e O nly )V = O l h e r

C =$2,501- $5,000HI =$1,000,001- $5,000,000L =$50,001-$100,000PI $1,000,001 -$5,000,000P4=More than $50,000,000S - A s s es s mentW =E s t imatcd

D =$5,001 - $15,000H2 =M0re than $5;000,000M =$100,001 - $250i00~P2 =$5;000,001 - $25,000~000T = C a s h M a r k e t

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 gB e n a v i d e s , F o r t u n a t o P .

D a t e o f R e p o r t05/12/2011

V I II . A D D I TI 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 IO N S . (lndicate part of report.)VII . I t em 2 abov e re f l ec t s ro l lov e r o r t r ans fe r o f IRAYCD f rom Ch as e Bank of Texas ( I t em 2 f rom 2009 Repo r t ) to U niv e rs i ty Fede ra l Cred i t U nion , Au s t in , Texaso n 11/15/10; n o g a in .


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FINANCIAL DISCLOSURE R EPORTPage 6 of 6

Name o f Pe rson Report ingB e n a v i d e s , F o r t u n a t o P .

Da te o f R e por t05/12/2011

IX. CERTIFICATION.1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p i e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o 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 i o n s .

Signature: S/Fortunato P. Benavides

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 LY F A L S I FI E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C IV I LA 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 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f ic e o f t h e U n i t e d S t a t e s C o u r t sSui te 2-301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4


7/12


8/12




I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andsp .... ; seepp. 17-24 of f!ling instructions.)A. Filers Non-Investment Incom e

D N O N E (No reportable non-investment income.)D A T E SO U R C E A N D T Y P E I N C O M E( y o u r s , n o t s p o u s e s )

1 .2010 Sta te o f Texas Jud ic ia l Ret i remen t Sys tem mo n th ly b en ef i t s fo r year $60,000.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were ma rried during anyportion of the reporting year, complete this section.(Dollar amount not required except for honorar ia. )

N O N E ( N o reportable non-investment income.)

1 .20102.3.4.

DATE S O U R C E A N D T Y P ESou thwes t Ai r l i nes ( f l i gh t a t t endant )

I V . R E I M B U R S E M E N T S - tr an sp o rt a tio n , lodging, food, entertainmen~(Includes those to spouse and dependent children; see pp. 25- 27 offiling instructions.)

~] N O N E (No reportable reimbursements.)

3.4.5.

S O U R C EF o u n d a t i o n f o r R e s e a r c ho n E c o n o m i c s a n d t h eE n v i r o n m e n t

DATES LOCATION PURPOSE08/08/10-08/12/10 Bo zem an , M T Ed uca tio n al Sem in ar

ITEMS PAID OR PROVIDEDfood, lodging, transportation


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N a m e o f P e rs o n R e p o r t i n gBenavides, Fortunato P.


V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1 .2.

3.

4.

5.

VALUE

~ , T v i . L I A B T ~ r ~ ~ c~ l l ~ll l l2~. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructioni)N O N E ( N o reportab le liabilities.)

CREDITOR DESCRIPTION1 .

2.

3.

4.5.

V A L U E C O D E


10/12

FINANCIAL DISCLOSURE REPORTPage 4 of 6 Ia m e o f P e r s o n R e p o r t i n gB e n a v i d e s , F o r t u n a t o P . Date of Report05/12/2011

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; 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 io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt f rom pr ior d isc losure

Income dur ingr e p o r t i n g p e r i o d

O) (2)A m o u n t T y p e ( e . g . ,C o d e 1 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

(1) (2) (1 ) (2~ ..... (3) (4) ( 5 )Value Value T yp e ( e . g . , D a t e , Valu e G a i n I d e n t i t y o f

C o d e 2 M e t h o d b u y , s e l l , m r r d d d / y y C ode 2 C o d e 1 buyer/seller( J - P ) C o d e 3 r e d e m p t i o n ) O - P ) (A-H) (iprivate

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

C h a s e B a n k o f T X , A u s t in T X , R e l a t e d C k g& Say . Acc t .U niv . Fed . Cred i t U nion , Au s t in , TX; IRASavin g Acct .SeeV IIIP r i n c ip l e F i n a n c i a l G r o u p , C o m m o n S t o c k

A InterestA InterestA D i v i d e n d

LJJ

T

TT

11 / t5 /10

4. V an K am p en M u tua l F un d -A CP A X N o n e J5. V a n K a m G l o b a l F r a n c h is e F u n d C l a s s A(VGFAX ) s ee pa r t VI I I6. 401 K -Vang u ard Ins t i tut i ona l Index Fu nd

N o n eN o n e

JL

TT

7. 401K -Harb o r Cap ita l A p p re cia tio n Fun d N o n e M T8. 4 0 1 K - E ur o P a c G r o w t h F u n d - R 5 ( R E R F X ) N o n e M T9. 4 0 1 K - D o d g e & C o x S t o c k F u n d N o n e L

1 0 .

1 1 .

1 2 .

1 3 .

1 4 .

S W A i r li n e s P r o f i t S h a r i n g P l a n - H a r b o rCapi t a l App rec i a ti onS W A i r li n e s P r o f i t S h a r i n g P l a n - E u r o P a cG r . F u n d - R 5 ( R E R F X )S W A i r l i n e s P r o f i t S h a ri n g - D o d g e & C o xStock Fu nd

N o n eN o n eN o n e

LLL

T

T

T

S W A i r l i n e s P r o f i t S h a r i n g - V a n g u a r d I n s t .I n d e x F u n d N o n eRoya l t y I n t e r e s t , S t a r r C oun t y , T X C Roya l ty K W

1 5 . U niv e rs i ty Fede ra l Cred i t U nion , Au s t in , TX A( C D )1 6 .

Interest

1 7 .

i i~ G~in Cbde~i A = $1;000 o r le ss B = $1 ,001 - $2 ,500 C :$2,501 - $5,000iSe e c 0 iu n ms B I a n d I M ) F =$50,001 - $i00,000 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $ t ,0 00 ,0 01 - $ 5.0 00 ,0 00

2. V alue Co d es J = $15,000 or less K =$15,001 - $ 50,000 L =$50,001 - $100,000( S ee C olumns C 1 and D3 ) N =$250,001 - $500,000 O =$ 500 ,0 01 -$1 ,00 0,000 P I $ 1,000 ,0 01 - $5 ,0 00,00 0

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003 . Value M ethod C odes Q =Ap p r a i sa l R - C os t ( R eal Es t a t e O nly ) S = A s s es s ment( S e e C o l u m n C 2 ) U = Book Value V = O t h e r W = Es t imated

D =$ 5, 001 - $ 15 , 000H2 =More than $5i000,000M =$! 00~00i-$250;000P2 :$5,000,001 - $25000,00OT = C a s h M a r k e i

E =$15,001 $50,000


11/12


N a m e o f P e r so n R e p o r t in gB e n a v i d e s , F o r t u n a t o P .

Date o f Report05/12/2011

V I II . A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . (lndlcatepart of report.)

V II . It em 2 ab o ve re f l ec t s ro l lo ver o r t ran s fer o f IRA/ CD fro m Ch ase Ban k o f Te xas ( I t em 2 f ro m 2009 R ep o r t ) to Un ivers i ty F ed era l Cred i t Un io n , Aus t in , Texaso n 11/ 15/ 10; n o g a in .V II . I tem 1 5 C . (1) sh o u ld b e "L" in s tead o f"K" .


12/12


N a m e o f P e r so n R e p o r t i n gB e n a v i d e s , F o r t u n a t o P .

Date o f Report05/12/2011

IX. CERTIFICATION.1 c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) is

a c c u r a t e , t r u e , a n d c o m p l e t e t o th e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .1 f u r t h e r ce r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i ft s w h i c h h a v e b e e n r e p o r t e d a r e i n

c 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 o 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 i o n s .

Signature: S/Fortunato P. Benavides

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A LS I FI E S O R F A I L S T O F I LE 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 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

fortunato p benavides financial disclosure report for 2010

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