FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

i. Person Reporting (last name, first, middle initial) SEEBORG, RICHARD G.
4. Title (Article HI judges indicate active or senior status; magistrate judges indicate full- or part-time) United States District Judge (See Pall VIII)

Report Required by the Ethic.~

in Government Act of l 9 78

t5 u.s.c, app. lOt-Ill)

I 3. Date of Report 04130/2010
6. Reporting Period 01/01/2009 to 12/3112009

2. Court or Organization U.S. District Court N.D. Cal.

5a. Report l[ype (check appropriate type) [] /qominatiom I---I Initial Date ~ Annua! [---I Final

5b. [] Amended Report 7. Chambers or Office Address United States Courthouse 450 Golden Gate Avenue San Francisco, CA 94102 8. On the basis of the information contained in this Report and any modiltcations pertaining Ibereto, it Is, in nty opinion, in compliance with applicable laws and regulations, Reviewing Officer Date

L~IPORTANT NOTES: The instructions accompanying thv form must be followed. Complete all parts,
checking the NONE box for each part where you ha ve no reportable information~ Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-I3 o[filing Instructions.)

NONE (No reportable positions.)

pOSITION
I. 2. 3, 4.

NAME OF ORGANIZATIONIENTITY

I I. AGREEMENTS. (R,,ora,~ indi~a,ot o,~y; ~,,pe. l~-r6 o/:ti,~ instructiont)

NONE (No reportable agreements.) DATE
1.

.. -

-=. : PARTIES AND TERMS

Seeborg, Richard G.

FINANCIAL DISCLOSURE REPORT

Page 2 of 1 0

I
~

] Name of rerson Reporting

SEEBORG, RICHARD G.

Dat, of Reporl

04/30/2010

IlL NON-INVESTMENT INCOME. ~R,~o,~ng i~i,~d~at o~,~o~o: ~,~ ~. ~-~ o::ai~ i~o~.~
A. Filers Non-Investment Income
NONE ~o reportable non-investment income.)

SO~CE AND TYPE

Matthew Bcndcr& Co., Inc. (B~k Royalli~s)

~OME
(yours, not s~uses) $1,443.~

1.2~9 2. 3. 4.

B. Spouses Non-Investment I ncome - if you were marred dur~g any potion of lhe reponlng year, complete
(Dollar amoto~t not required except for honoraria.)

---]

NONE (No reportable non-investment income.)

DATE
1. Not Applicable

SOURCE AND TYPE

2. 3.
4.

IV. REIMBURSEMENTS - ,rar~portation, Iodging,]ood, enttrtainmcnt.

(lnclud~ those to spouse and dependent children; see pp. 25-27 ~f filing instm~ctionx.)

NONE (No reportable reimbursements.)

~
1. 2. 3. 4. 5.

DATES

LOCATION

pURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting

Date of Repor~

04/30/2010

[ SEEBORG, RICHARD G.
V. GIFTS. a,,~,~do~ thos, to ~,o~se ~,~ ~,~.~.t children; seep~ 28-31 Of~Hng
NONE ~o reportable g~s.) ~
I. 2. 3. 4. 5.

DESCRrPqION

1. /Ll~|l.~l 1 lib,. (Includes those of spouse and dependent children; see pp. 32-33 of fding instruc~tong)

NONE (No reportable liabilities.) CREDITOR DESCRIPTION

17% of mortgage obligation on renlat property, Kamuela, 111

VALUE CODE
L

I, 2.

Wells Fargo Bank

3.
4. 5.

Name of Persen Reporting

Date of Report

PageFINANCIAL4 of 10 DISCLOSURE REPORT

SEEBORG, RICHARD G.

04/30/20!0
nd dependent children; seepp, 34-60 of filing instruction.,.)

VII. INVESTMENTS and TRUSTS - i ........

n,e, t ..... lions (Includes those of sp .....

c_
Gms~ value at end I [ ofzepertingperiod Value Code2

N ONE (No reportable income, assets, or transactions.)

^.
Description of Asscts (including(ms(assets) Place"(X)aflere~cbassct exempt fromprinrdiscl0sure i "

!o~o~.~r!ng .
repertingperiod Amount[ Type(e.g.,I Codel 1 ~tiv.;~4 "

D. , "lrart~aetions during ~"porting period

I V~lue [ Type(e.g., Method buy, sell,

Date Value Gain mm/dd/yy [ Code 2 I Code I I

Identityuf buyer/seller

1. 2. 3. 4. 5. 6. 7, 8. 9, 10. 11. 12. 13. 14. 15. 16. 17.

Morgan Stanley Asset Fund (Money Market) Merck & Co., Inc. Aegon NV ADR Applied Materials Schlurnberger Lid. Scudder Greater-Europe Growth Fund Scudder Latin America Fund Templeton World Fund - Class 1 qcmpleton Developing Market Trust Class A Vanguard 500Index Fund Vanguard Growth Index Fund Vanguard International Growth Fund Vanguard U.S. Growth Fund Wells Fargo Checking Account Navin.com Emerson Electric John ltanco,ck Regional Bank Fund

D B A A A A B A A B A A A A

Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest None

PI K J J K J L K J L K K K K J J K

T T T T T T T T T T T T T T U T T

A B

Dividend Dividend

FINANCIAL DISCLOSURE REPORT

Name of Person Reporllng [ SEEBORG, RICHARD G.

Date of Report

Page 5 of 10

I
D. Tran~cfions ~dng ~ng ~fiod Date Value Gain m~d~ C~e2 __.~

~/30/201o

VII. I NVESTMENTS and TRUSTS -i ........ ~,,. , .... ~o~, anct,,a~ ~Sost of spo~e ,~ aeptnaent children: see p~ 34-60 of filing instruction.)
NONE ~o reportable income, assets, or transactions.) A. ~scfipt on of Asst.. (incl~g ~st ~) P~ "(~* afl~ e~h ~set exemptfmmpfiordlsclo~e : t 8. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. JP Morgan ~e (fo~erly Bank One Co~) Computer Sciences Corp. lntel Corp Van Kampen Comstock Fund Special Value Fund John Hancock Small Cap Value Fund American Amcap FD American New Perspective Fund American Growth Fund of America Van Kampen Global Franchise Fund American W Mutual A Fund Allianz lntl Fund MFS New Endeavor A Fund (See Part VIII) American Europacific Growth Duke Energy First Energy Jet Blue Air, rays A A A A A A A A A C B A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend .B. In.me ~Hng :~g p~od (1) T~ (e.g., ~ount II (2) C~el I div.,r~ (A H) or ~t) C. [ G~ value at ~dI of r~oaing period (i) (2} (1) Value Value T~ (e.g~ C~2 I Me~od b~,~ll, (J P) ~empti0n) C~e(Q.~3 J J K L K J L L K L K J K K J J J T T T T T T T T T T T T T T T T T

Id~ti~ of ~saetioa)(if pri~te

FINANCIAL DISCLOSURE REPORT Page 6 of 1 0

[ N.me of Per~n Reporting

I [ SEEBORG, RICHARD G.

I ]

Date of Report 04130/2010

VII. INVESTMENTS and TRUSTS - i~co.~ ,,:t=., , ..... no.~ [nelude$ ,hose a/$pou~e and ~penden, chUdren see pp. 34~0 of ~ding i~tr~ction~)
NONE ~o reportable income, assets, or transactiomO A. ~cfiption of A~e~ (iacl~g~stas~) Phce "(X)" ~er e~h ~t B. ~c0me ~g r~g~fiod .: C.. :G~S~ Value at ~d " : 0fr~ingp~ - (2) O) Value (4) (~) T~ (e.g., D. T~n~fions d~g ~ng ped~

O) [ (~) (0 (~) (0 Amount [ T~ (e.g., Value

Date

Value

~in

I~nti~ of

35. ~ 36. 37. 38. 39. 40. 4I. 42. 43. 44. 45. 46. 47. 48.
49. 50.

Peets Coffee Morgan Stanley Note SchelI-Vista Fire Bond ContraCosta County Water Bond Van Kampen Senior Loan Allianz Nacre Intern. ChevronCorp Clorox Corp Compass Fund General Electric Cot0 llighwood Focus Growth Fund Dividend Growth Securities Fund Global Advantage Fund A
Virtus (formerly Phoenix Small Cap Value Fund A) Strategist Fund A

A A A A A A A A A A A A A A
A

Di~dend Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend
Dividend

J K K

T T T Redeemed 10/01/09 L

J K J K L J J J J K
J

T T T T T T T T T T
T

Dividend

51.

Van Kampen Global Value Equity Fund (See Part VIII)

Dividend

Page 7 of 10

SEEBORG,

RICHARD G.

04/30/2010

VII. INVESTMENTS and TRUSTS -i.con,.. va~oe, o .... ao~ (Includes those of spouse and dependent children; see pp. 34-60 of j~ding imtructio~.)
NONE ~o reportable income, assets, or transactions.) De~fiption of Asse~ Place "(~ ~e~h a~t xemptfrompd0rdisclO~ ,, Income d~ng (!) i Am~nt [Code.l: (2) T~ (e.g., d~.,~t, . Gr~ value at end 0) Value o~2 (2) Value Me~od 0) T~ (e.g, buy,~E, T~cfions ~ng ~o~g ~ 1~) Date ~d~ (3) (4) Vaiue G~n ~e2 C~ I (5) ldenti~ of buy~lIer ~sacdon) 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. Van Kampea Global Franchise Fund One-sixth interest Condominium Kamuela, 1tl L.A. Water Dept Bond Pleagant Valley School Bond Albany School Bond Pomom School Bond lvtontebello School Bond Irvine SchoolBond San Francisco City Finance Bond Manhattan Beach WaterBond San Diego Public Works Bond Highland Credit Strategies Bond Fund (See Part VIII) American Capital World Growth Fund Van Kampen Dynamic Opp Fund BSTllospitality LLC Spectra Energy Highland Credit Strategies Fund A D B A A A A A A A A A B B A A A Dividend Rent Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Distribution Dividend Dividend J K K M J J T T T U T T L K J J J T T T T T Redeemed 05/15/09 J K L K T S "I Redeemed Redeemed 08/03/09 08/I0/09 J J

"

FINANCIAL DISCLOSURE REPORT Page 8 of l0

Name of Person Reporting [ SEEBORG, RICHARD G.

Date ef Report

04130/2010

VII. INVESTMENTS an d TRUSTS - i ...... ~.,, trans,ctions (Includes those of spouse and dependent children; tee pp. 34.60 of rUing instructions.)
NONE (No reportable income, assets, or transactiom.)
A. I~~cription of Assets (including trust a~sets) Place "(X)" after each a~set eaemptfmmpr~ordlsclosur~ :, B," Income during repotaing period C.: Gm~ value at end of reporting period : . D. . Transactions during txporting period :

: ..

1!)
Amo~mt Code I (A-H).

(2)
Type (e.g., div.,reat, or ira.) "

(t)
va]uc C.ode2 (J-P)

(2)

(t)

(2)

(3)

(4)
ldentity of buyer/seller (if private transaction)

Value I Typ~ (e-g-, Method buy, sell, redemption) Code 3 (Q-W)

Date Value Gain :mm/&V~ Cede2 i Code I (J.P) (A-It)

69. 70.

Contra Costra Public Finance Bond (2 parts) Union Bank of Kansas City (CD)

A A

Interest lnterest

Redeemed

(part)

06/01109 01126/09

J K

Redeemed

71. 72. 73. 74.

Cal Poly University Bond Cal EDL Fac. Bond Compass Bank (CD) Goldman Sachs (CD)

A A A A

Interest Interest Interest Interest L T

Redeemed

07/01109

Redeemed Redeemed

01/261091 06130/09

L M

FINANCIAL DISCLOSURE REPORT

Page 9 of 10

Nlm~ of Person Reporting

D,te of Report

SEEBORG, RICHARD G. ]

04/30/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. an~,co,,~,o,,o/Re~,o,,.)

Personal Information: United States District Judge (01/04/2010 to present); Magistrate Judge Full Time (to 01/04/2010) Part VI, Line 30: merged into MFS Core Equity A on 07/27/09. Par~ VI, Line 51 : merged into Line 52, Van Kampen Global Franchise Fund, on 10/06/09. PartVl, Line 53: Condominium was purchased on 02/1012006. My share ofthe purchase price was $75,000. Part VI, Line 63: merged into Line 68, Highland Credit Strategies Fund.

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

~ .... fP .... Reporting

SEr.BOR~, mCnAR~ ~"

I
I

DateofReport

04/30/2010

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. I 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.

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 signcd original and 3 additional copies to: Co~nmittee on Financial Disclosure Administrative Office of the United States Com:ts Suite 2-301 One Columbus Circlc, N.E. Washington, D.C. 20544