john a houston financial disclosure report for 2009

8/3/2019 John A Houston Financial Disclosure Report for 2009

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a o 1 0 [ FINANCIAL DISCLOSURE REPORT ~ e p o r t R e q u i r e d b y t h e E t h i c s in Governme~tl Act of 1978~ e v . ~ / 2 o 1 0 ] FOR CALENDAR YEAR 2009 (5 U. S . C . ~ p p ~ , ~ J o ~ 1 1 1 )I. Person Reporting (last name, first, middle initial) 2. C o urt o r O rga n iza tio n 3. D a te o f R epo rt

Houston, John A. Southern District of Catiforni 05/t 4/2010

4. Title (Article Ill judges indicate active or senior s~atus; 5 a. R epor t Type (c hec k appro pr ia te lype) 6. R epor ting Per iodmagistrate judges indica te fifll- or part-tithe)[] Nomination, Date 0I/01/2009

U.S. District Court [] Initial [] Anm.ta! [] Final to12 /3 l!200 95b. ~-~ Amended Report

7. Chambers or Office Address 8. On the basis of the informat ion contained in this Report and anymodif ic a tions per ta in ing thereto , i t is , in m.v opinion , in c o mplianc e940 Front Slreet with applic able laws and regu la tions.Su ite 2 14 0San Diego, CA 92101-1118 Reviewing Officer Date

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 informatlog ~ign on last page.

I . P O S I T I O N S . ~ r o , n u g i n d ~ d u o i o , ly ; ~ e ~ ~ . 9 4 ~ o f # ~ z ~ g i , ~ r ~ a i o ~ . )~-] N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1. Co-Trustee Trust

11. A GRE E M E N T S . (R epor~ing individual only; see pp. I4-I 6 of filing instructions.)~ N O N E fNo reportable agreements.)

D AT E pARTIES ~ND TI~RMS


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P a g e 2 o f 8 H o us t o n , J o hn A . 05/14/2010

Ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of f!ting instructions.)A. Filers Non-Investment Income

NONE (No reportable non-investment income.)D _ . & T . . g _ SOURCE AND TYPE INCOME(yours, not spouses)

1 ,2.3.4.

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 married during any po rt ion of the report ing y e a ~ comp le te this sec tion{ D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )[~] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPEI. 2009 Self Employed (consultant/clinical psychologist)

2 . 2 0 0 9 ERM, San Diego, CA tconsulting)

3 . 2 0 0 9 Center For Creative Leadership, La Jolla ,CA4 . 2 0 0 9 Dynamic Coosulting, San Diego, CA5 . 2 0 0 9 Innolect, Inc., Tega Cay, SC6. 2009 The Broa d Residency, Los Angeles, CA

I V . R E I M B U R S E M E N T S - - lean,pan, no . . Iodgi .g ,/ood, en~ena i .... t .( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f! l in g i n .~ t r u c t i o n s . )[~] NONE (No reportable reimbursements.)

SOURCE ~ LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. George Mason School of Law April 17 - 23, 2009 Tucson, AZ CL E Program Room, Meals, and Transportation2. Searle lnstilute -Northwestern November 8 - 13, Chicago, IL CLE Program Room, Meals, and TransportationSchool of La w 20093.4.5.


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F I N A N C I A L D I S C L O S U R E R E P O R T] N a m e o f P e r s o n R e p o r t in g

I

D a t e o f R e p o r tPage 3 o f 8 H o us t o n , J o hn A . 05/14/2010

~] N O N E (No reportable gifts.)~ DESCRIPTION V _ A _ L U E

2 ~3.4.5.

~] NONE (No reportable liabilities.),CREDITOR D E S C R I P T I O N VALUE CODE

1 . C i t i B ~ a ~ k --- Mortgage - Rental Property - San Diego N2. Wells Fargo Bank Mortgage - Investment Real Pro perty K3. Citi Bank American Express Credit Card J4. Clti Bank Mastereard Credit Card J5.


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL D IS C LO S U RE R E PO R T[ Houston, John A.age 4 of 8 0 5 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o . e , value, transactions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f fi l in g i n s t r u c t i o n s .)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 ! htcome during 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 d( i n c l u d i n g t r u s t a s s e t s ) ! ~eporting period o f r e p o r t i n g p e r i o d

P l a c " ( X ) " a f t e r e a c h a s s e t A m o u n t T yp e < e .g . , " v a h e I Value T y p e ( e . g . , [ Date ] Value Gain] I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u re Code I d i v . . r e n t . COde2 [ Method b u y , s e l l , ]mm/ddiyy Code 2 [ Code 1 buyer/selleri ( A - I t ) o r i n t . ) ( J - P ) [ C o d e 3 r e d e m p t i o n ) i " ( J - P ) ( A - H ) ( i f p r i v a t e: , ( Q L W ) i , I t r a n s a c t i o n )

I. Rental Property (2), San Diego County, CA D Rent O W2. San Diego Gas & Electric (Sempra) A Dividend J T3. San Diego Gas & Electric (Sempra) A Dividend J T

I 4. Oppenheimer Capital Appreciation Mutual Sold 4/23/09 L DFund- IRA -IRA5. Oppenheimer Capital Appreciation Mutual Sold 12/I 5/09 L DFund- IRA6. Fidelity Funds - IR A A Dividend J T7. -~idelity Discovery Fund8. --Fidelity New M arkets Fund

i 9 . Trust A Interest J T

1 0. -Leap Wireless Comm unicat ions (CommonSlock)1 I. -Nuveen Limited Term Municipal Bond Redeemed 02/22/09 J BFund1 2. Trust #2 D Distribution M T1 3. -MSDW Dividend G rowth Securities Fund1 4. --MSDW California Tax-Free Income Fund

1 5 . --AIM Advisor Real Estate Fund

1 6 . --Eaton Vance WW Health Sciences Fund

1 7 1 --Eaton Vance Taz Managed Growth Fund

I. Income Gain Codes: A =$1 ,0 0 0 o r tess B =$1 ,0 0 | - 1 .2,50 0 C =$2,50 t - $5.000 D =$ 5. 0 0 1 - $ 1 5, 0 0 0 E =$15,0OI - $50,000(S~ Columns BI and IM) F =$ 50 ,0 0 1 - $ 1 0 0 . 0 0 0 G = $ 1 0 0 , O 0 1 - $ 1 , 0 0 0 , 0 0 0 H I = $ 1. 00 0 ,0 0 1 - $ 5, 00 0 ,0 0 0 H 2 = Mo re th an $ 5,0 0 0 ,0 0 02. V a lue Co des J = $1 5,0 0 0 o r I~ss K =$ 1 5, 0 0 1 - $ 50 , 0 0 0 L =$50.001 - $ ! 00,000 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0

P $ = $ 2 5 ,0 0 0 1 0 0 1 - $ 5 0 ,0 0 0 , 0 0 0 P4 =More than $50,000,000


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tN ame of Person R eport in g [ D a t e o f R e p o r tP a g e F I N A N C I A L 5 o f 8 D I S C L O S U R E R E P O R T [ n o n s , o n , J o h n A .]

0 5 / 1 4 / 2 0 1 0

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, tr ..... t i o n s a n c l u d e s t h o s e o f w o u s e a ~ d e ~ n d e n t c h i l d r e n ; ~ e p p . ~ 4 - 6 0 o f f c li n g i ~ t r u ~ i o ~ . )N O N E (No reportable income, assets, or transactiom.)

A. B. C.~dption of Assets In,me during Gross v~uc at end T~nsactions ~ring ~ing period

(including tn~st as~) repo sing perio d o f repo sing perio dPlace "(~" aaer each asset A ....t T~ (e,g., Valu e [ Value I T~e (e.g., [ Da~ [ VaMe [ Gain ~ Identi~of~xempt ~om prior disclo~ , C~e ! div., r~t~ Code 2 [ Method [ bW, sell, ~ ~d~ ~ Code 2 [ Code I [ buyer/seller(A-H) , o[~nL) Q -P) ~ Cod~3 ~ r~mptJon> ~ / (J-P) ! (AH) !

18. --Franklin CalifTrax Fr~ Income Fund

1 9. --MFS MidCap Growth Fund2 0 . --Putnam Research Fund2 I. --Putnam International Voyager Fund

22. --Sentinel Small Cap Companies Fond

23. --Reserve Primary Fund Class R

24. -Lord Abbet Mid Cap Val Class C

25 . MFS Val Class B A Dividend J T

26. MFS Value Class C A Dividend J T27. American AMCAP Class C A Distribution J T

2 8 . J0hla Hancock US G lob Leaders Growth A Dividend J TClass C2 9 . Putnam Tax Smart Equity Class B A Dividend J T3 0 . Delaware Tax-Free California Class B A Interest J T3 I . Phoenix M utual Funds- Simple-IRA So ld 1 2/1 5/0 9 K C3 2 . Phoenix Strategic Theme Class B --Simple Sold t2/15/09 L D

IRA3 3 . Real Property (3), Birmingham, AL C Rent L W

3 4 . Real Pmpery (3)-Vaca nt Lot, San Diego ,C ~ O W-X

3.


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Iame of Person Reporting Date of ReportF IN A N CIA L D IS CL OS UR E R EP OR TI ~ o ~ a t o n , J o h n A .Page 6 o f 8 0 5 / 1 4 / 2 o 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - - i n e o ,~ e , ~alne, r a n s a c t i o n s (tnctuaes those o f s r o . . . . ~ d e p e n d e n t c h i l d ~ n ; se e p p . 3 4 - 6 0 o f ~ l i n g~ O N E (No reportable income, assets, or tra~actions.)

t I n co me ~ ~oss value end T~nsaction~ during ~ding periode s c ~ p t i o n(incl~ing ~st assets) reining pefi~ of ~poaing period

Pla="(X)"aaere~h~s~t A m o u rI T~e(e.g. , Value ~ Valoe ] Type(e,g., [ Date I Value [Gain[ ldent i~ofexempt ~om prior di~los~e Code l ] die., r~L Code 2 I Meth~ bny, sell, I~d~3~ ] Code 2 ~ Code ! [ buyeaseller( A - H ) o r i n t . ) ( J - P ) ] Code 3 ] r e d e m p t i o n ) ~ ! 0-~) [ ~A-n) I ( i f p r i v a t e

3 5 . Van Kampen Insured Muni Income T~st A Interest L T B uy 1 2 1 1 0 / 0 9 L5893 6 . P a c i f i c I n n o v a t i v e S e le c t -Q u a l if i ed A n n u i ~ A D i s t r i b u t i o n L T B u Y ~ / 2 3 / 0 9 L3 7 . U n i o n B a n k M a r k e d L i n k ed C e r t o f D e p o s i t A I n t e r e s t K T B u y 12/t5109 K- IRA3 8 . U n i o n B a n k M a r k e d L i n k ed C e r l o f D e p o s i t A I n t e r e s t L T B u y 12/15/09 L- Simple IRA

I. lucorne Gain Codes: A --$1,000 or less B =$1 ,0 0 1 - $ 2.50 0 C =$2,50 1 - $5,0 0 0 D =$ 5)0 0 1 $ t5,0 90 E =$15,001 - $50,1}00(See Columas 131 and D4) F = $5 0 , 0 0 t - $1 0 0 , 0 0 0 G =$ ! 0 0 , 0 0 1 . $ 1 , 0 0 0 , 0 0 0 H I = $1 )0 0 0 ,0 0 1 - $ 5) 00 0 ,0 0 0 FJ 2 = Mo re tha u $5 ,0 0 0,0 0 0

2. Valtle C o d e s J =$15,000 Or less K = ~ $ 15o001 - $ 50 , 000 L =$ 50 . 0 0 1 - $ 1 0 0 , 0 0 0 M =S t 0 0 , 0 0 1 - $ 250 , 0 0 0{S e e Columns CI and D3) N =$ 250 ,0 0 1 - $ 50 0 , 0 0 0 O =$ 50 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 P1 =$1.000.001 . $5,00U,(~0~ P 2 ~$ 5,0 0 0 . 0 0 1 - $ 25,0 0 0 , 0 0 0P 3 =$ 25,0 0 0 , 0 0 1 - $ 50 , 0 0 0 , 0 0 0 P4 =More than $50,000,0003. Value Method Code~ Q ~Appraisa l R -~2~o~t (P,~I Estate Only) S =Assessment T =Cash Market(See olurrm C~) U =Bo o k V a l ue V =Other W =Est imated


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F I NA N C I A L D I SC L O S U R E R E P O R T N ~ , , ~ e o f P e r s o n R e p o r t la g D a t e o f R e p o r t [Page 7 of 8 n o , ~ s to n , J o h n A . 0 5 / 1 4 / 2 0 1 0V I I I . A D D I T I 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 I O N S . a,,,~ic,,,,p,,,t oyne~,ort)

Part VII.

Item 34 was previously owned but not reportable.Item 4 sold and replaced with item 3,5,Item 5 sold and replaced with item 37.Items 31 and 32 sold and replaced with item 38.


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L D IS C LO S UR E R E PO R T[ t l o n s t o n , J o h n A.age 8 o f 8 0 5 / 1 4 / 2 0 1 0

I X . C E R T I F IC A T I O N .1 certif~v that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and co mplete to the best of my kno wledge and belief, and that any information n ot reported was withheld because i t met applicable statutory.provisions permitting non-disclosure.I further certif~ that earned income from outside employment and ho noraria and the acceptance o f gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signal

N O T E: ANY I N DIV I DUAL W HO K N O WI N GL Y AN D W I L FUL L Y FAL SI ~ : ~ : : ~ i i V I LAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

john a houston financial disclosure report for 2009

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