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AO IO Rev. 1/2011
Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..sc.ss" 101-111)
I. Person Reporting (last name, first, middle initial) GUTIERREZ, PHILIP S. 4. Title (Article I11 judges indicate active or senior status; magistrate judges indicate full- or part-time)
5b. [] Amended Report 7. Chamber~ 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. Resiewing 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 page.
NAME OF ORGANIZATION/ENTITY
Los Angeles Criminal Justice Inn of Court
II. AGREEMENTS. (Repo.ing individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DATE PARTIES AND TERMS
Gutierrez, Philil s S.
III. NON-INVESTMENT INCOME. tRepo.ing individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-I nvestment ! ncome - If k.ou were married during any portlon of the reporting.Fear, complete this section.
(Dollar amount not required except for honoraria.)
--]
DATE
1. 2010 2. 3. 4.
3. 4. 5.
V. GIFTS. ante.des those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable g~s.)
SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes ,hose oysp ......dependent children; sce pp. 32-33 of filing instructions.) d
~~ NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5. Bank of America Credit Card
DESCRIPTION
VALUECODE
J
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets B. Income during C. Gross value at end
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
of reporting period (I) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
J T
I.
Interest
2. 3. 4. 5. 6. 7. 8. 9.
I0.
State Teachers Retirement System Ontario-Montclair School Dist. 403(b), Putnam Investments - Putnam Equity Income Fund CI-A - Putnam Growth Opps CI-A - Putnam Intl Capital Opps CI-A - Putnam Research Fund CI-A Ontario-Montclair Sch. Dist. 403(b), The Best of America IV - AM CENT VP VALUE I
- DREY VIF2 APPRECIATION PT IS
Interest
A A A A
J J J J
T T T T
A
A
Dividend
Dividend J
Sold T T T T T T T T Buy
12/10/10 J
- FID VIP 2 ASSET MGR PORT FID VIP 2 CONTRAFND PORT - NVIT INV DEST MOD AGGR 2 - NVIT MULT-MGR SMCAP VAL I - NVIT MULT-MGR LG CAP GR 1 - OPP GLOBAL SEC FUND/VA 111 - NVIT MULTI CAP VAL 1
A A A A A A A
J J J J J J J
12/10/10
I. Income Gain Codes: (See Columns BI and 1341 2. Value Codes ISce Columns C I and D3) 3. Value Method Codes {Scc Column C2}
A =$1,000 or less F =$50.001 - S 100.0~0 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 - $1,000.0(~ K =$15,001 - $50.0(~ O -$500.001 o $1,0(~1,000 R =Cosl (Real Estate Only) V =O~hcr
C =$2,501 - $5,000 HI =$1,000.001 - $5,000.0(~ L =$50,001 - $100.000 PI =$1,000.001 - $5,000,000 P4 =More than $50,000.00~ S =Assessment W =Estimated
D :$5,001 - $15,000 H2 =More than $5,000.000 M $100,001 - $250.1~0 P2 =$5.000,001 - $25.090.000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes tho~e of spouxe and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asset.s) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (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)
18.
A A
Dividend Dividend
J J
T T
Buy
12/10/10
- Columbia Marsico Growth Fund (NMGIX) A - Eaton Vance Large Cap Value Fund (EHSTX) - Columbia Large Cap Value Fund (NVLEX) - Goldman Sachs Mid Cap Value Fund (GCMAX) - Alger Small Cap Growth Fund (ALSRX) - Wells Fargo Advantage Small Cap Disciplined (SCOVX) - Artisan International Fund (ARTIX) A A A A A A
I. Income Gain Codes: (See Colunuas BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,0~0 J =$15,000 or less N =$250.001 - $500,000 p3 =$25,000.001 . $50,000.000 Q =Appraisal LI =Book Value
B =$I,001 - $2,500 G =$100,001 - $1,0~.000 K -$15,001 - $50.000 O =$500.001 - $1.000,000 R :Cost (Real Eslale Only) V =Other
C =$2,501 - $5,000 HI =$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 =$5.1301 - $15,000 H2 =More than $5.000.000 M $100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - incom., ,~al~., lran~a,io.s a.clad,s those oSs~,o~so and dependen, children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(~)
Type (e.g., buy, sell, redemption)
(5)
Identity of buyer/seller (if private transaction)
35.
A B A A
K L
T T T Sold 08/15/10 J
36. - PIMCO Total Return Fund (PTTPX) 37. 38. 39. - BlackRock High-Yield Bond Fund (BHYAX) - Columbia Cash Reserves (NCRXX)
I. Income Gain Codes: (See Columns BI and 04) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$|,600 or less F =$50,091 - 510(I.000 J -515,000 or less N =$250,001 - $500,0~ P3 =$25.00~,0~1 - $50.0~0,000 Q =Apprai:,al U =Book Value
B =$1.001 - $2,50~, G =5100.001 - $1,0~0.000 K = 515.0~ I - 550.0~0 O -$500.001 - $1,0~O.00O R =Cost (Real Estate Only) V -Olhcr
C $2,50| - $5,~0~ HI =$1.000.0~1 - $5,0~.000 L =550.001 - $ 100,000 PI -$1,000,001 - $5,000,000 P4 =More than $50,00~.000 S =As~c~,smcnt W =Eslimalcd
D =55.00| - $15.000 H2 -More than $5.000,000 M =$ 100,001 - $250,0~1~ P2 =$5,000,0~1 - $25,0~1.000 T =Cash Market
E =515,001 -
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. 1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the pros~sions 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 FAILS 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