Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
[] Initial
7. Chambers or Office Address 940 Front Street San Diego, California 92101
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 NOTES: The instructions accompanying this form must be followea~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
II. AGREEMENTS. gepo.i.g indiviaual only; see pp. 14-16 of f!ling instructions.)
~] NONE (No reportable agreements.) _DATE
PARTIES AND TERMS
Benitez, Ro er T.
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 offiling instructions.)
A. Filers Non-Investment Income
~ NONE(No reportable DATE
non-investment
2. 3. 4.
B. Spouses Non-Investment Income - If you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE(No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALU.__E_E
VI. LIABILITIES. ancludes those olspouse und devendent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1.
2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets
B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div.,rent, (A-H)
D. Transactions during reporting period (5) Identi.ty of buyer/seller (if private transaction)
(2) ~1~ (2) (3) (4) Type(e,g., Date Value Gain Value M~od .... buy~sell,:::: mm/dd/yy Code2 Code I (J-P) (A-H)
Parcel 2 E1 Centro, Ca~ Parcel 3 E1 Centro, Ca~ Parcel 4 Salton City, Ca~ Northern Life Annuity/ING Citibank- Bank Deposit Program Amerigas Partners LP Unit-APU-limited partnership interest Apple Inc. AAPL- common stock Automatic Data Processing ADP-common stock BP PLC Sponsor BP- common stock Berkshire Hathaway B-BRKB-common stock Boeing Corporation-BA common stock Bristol Myers BMY sommon stock Centurylink CTL common stock Chevron Corp.-CVX-common stock Clorox Company CLX common stock Ei Dupont-DD-common stock General Electric- GE-common stock
D D
L M J K J J K J J
K J
S S S T
B A A
T T T T T T T T T T T T Buy (addl) 05/28/10 Buy (addl) 05/28/10 Buy Buy 01 / 13/10 J 01/13/10 J Buy Buy (addl) Buy 09/28/10 K 02/02/10 02/02/10 J J
A A
Dividend Dividend
None
Dividend
A A A A A A
J J J J J K
I. income Gain C0des: (See C0lunms Bi and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
E =$15,001- $50,000
=$t5,000 or ~ess
=$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal =Book Value
K =$t5,001 - $50;000
O =$500,001 ~ $1;000,000 R =Cost (Real Estato Only) V =Other
L =$50,001 ~*i00~000
PI =$1;000~00i - $5,0001000 P4--M0re than $50,000,000 S =Assessment W =Estiniated
M =$100,00~ - $250,000
P2 =$5,000,00i- $251000,000 T =Cash Market
VII. INVESTMENTS and TRU S TS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE
(No reportable
income, assets,
or
(2) Date
(Q-W) 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Atlas Pipeline Partners, limited partnership interest- APL Crosstex Energy LP- limited partnership interest--XTEX A A HJ HEINZ -HNZ-common stock Mirant Corp-common stock Nexaim Wireless -NXWI- conunon stock Pitney Bowes, Inc.-PBI-common stock Progress Energy, Inc. PGN -common stock Alcoa Inc.-AA-common stock Proctor & Gamble-PG-common stock Spectra Energy Corp-SE-common stock Walmart Stores, Inc.-WMT common stock Wells Fargo Bank-WFC-common stock Ameren Energy- AEE/Common Stock Costco -COS-common stock JP Morgan Chase preferred stock Capstead Mortgage- REIT-- CMO A A A A A A A A A A Dividend None None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None None None Distribution Distribution J J T T J T Sold Sold Buy Sold Buy Buy 01/13/10 01/25/10 06/24/10 09/13/10 09/13/10 10/29/10 J J J J J J A A A J J J J J T T T T T Buy (addt) Sold Sold Sold Sold Sold 05/28/10 05/05/10 05/05/10 05/05/10 01/13/10 09/28/10 J J J J J J A B A A A Buy 05/05/10 J
1. income G~in Codes: (See Columns B I and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1~000 or !~ss F =$50,001 - $100,000 J =$15,000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$I,OOI ~ $2,500 G =$100,001 - $I,000,000 K =$]5,001 - $50,000 O =$500,001 - $ I;000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1~000,001 - $5~000,000 L =$50,001 - $ 100,000 P 1 =$1,000,00! - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001- $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 - income, vatue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
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 (1) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (!) Type (e.g., buy sell redemption) D. Transactions during reporting period (2) (3) Date Value mm/dddyy Code 2 (J~P) (4) (5) Gain Identity of Code I ........... buyer/seller (if private (A-H) transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Annaly Capital -NLY Diana Shipping DSX-common stock Mueller Water Products--MWA Tortoise MLP Fund--NTG
Dividend None
J J J J J K J J J K J J
T T T T T T T T T T T T
Buy
06/24/10
A A
Buy Buy
09/13/10 07/28/10
J J
Dinuba CA Fing Wastewtr Reclamation Reclamation ..... Bond Ontario Cmnty FACS Dist Bond Franklin Fund-small cap growth fund IFRSGX class Valic Fixed Account Plus Valic Midcap Strat. GR./Morgan Stanley AIG Valic Mid Cap Fund (Wellington) Valic Small Cap Special Value-Evergreen/ Putnam Valic International Small Cap Equity/AIG World Savings(now Wachovia) aggregate Washington Mutual-(now Chase Bank-) aggregate San Diego County Credit Union aggregate Temecula Valley Bank (now First Citizens Bank)- aggregate Bank of America aggregate A A B B A A A
Interest None Dividend None None None None Interest Interest Interest Interest lnterest
Closed O M M J T T T T
04/02/10
:: i i~ Gain Codesi (See Columns B 1 and D4) 2. Value Codes (See Columns 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 =$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 =$500,001 - $ 1,000,000 R -Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$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 =Estiraated
D =$5,00 t - $15,000
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, voloe, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
~] NONE
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62.
San Diego National Bank- (now US Bank)aggregate Scottrade Power of Attorney ---- -USFFCredit Union (aggregate) - --Chase Manhattan (aggregate) ---Property l,Tampa Florida, ---Property 2, Tampa Florida, ---Property 3, St. Cloud, Florida, B B A
Interest None
K J
T T Open 09/13/10
K 0 L L L
T T W W W
1: Incom~ Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns 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 =$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 =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ t ,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 H2 ~M0re than $5~0001000 M=$100,001 - $250,000 P2=$5,000,001~$25;000 000 T =Cash Market
E=$15,001- $50,000
1 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: S[
Roger T. Benitez
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
Report Required by the Ethics in Government Act of 1978 (5 U.S.C app. 101-111)
7. Chambers or Office Address 940 Front Street San Diego, California 92101
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 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.
~
1. 2. 3. 4~ 5.
NAME OF ORGANIZATION/ENTITY
Benitez, Ro er T. A
IlL NON-INVESTMENT INCOME. <Repo.ing +divid.al undspo.se; see pp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income
~]
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-lnvestment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
1.2010 2. 3. 4.
DATES
LOCATION
PURPOSE
V. GIFTS. andudes ,hose ,o sponse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. a.eludes those olspo~se a,d dependent children; see pp. 32-33 of filing instructions)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and depe,dent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets Iincluding trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (!) Amount Code 1 (A-H) (2) T3,pe (e.g., div.; rent, or int.) C. Gross value al end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3
(Q-W)
D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) Value Date mm/dd/yy Code 2 (J~P) (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
Parcel 2 E1 Centro, Ca (98,026) Parcel 3 El Centro, Ca (106,694) Parcel 4 Salfon City, Ca (2,508) Northern Life Annuity/ING Citibank- Bank Deposit Program Amerigas Partners LP Unit-APU-limited partnership interest Apple Inc. AAPL- common stock Automatic Data Processing ADP-common stock BP PLC Sponsor BP- common stock Berkshire Hathaway B-BRKB-common stock Boeing Corporation-BA common stock Bristol Myers BMY sommon stock Centurylink CTL common stock Chevron Corp.-CVX-common stock Clorox Company CLX common stock Ei Dupont-DD-common stock General Electric- GE-common stock
D D
L M J K J J K J J K J J J J J J K
S S S T T T T T T T T T T T T T T Buy (addl) 05/28/10 J Buy (addl) 05/28/10 J Buy Buy 01/13/10 01/13/10 J J Buy Buy (addl) Buy 09/28/10 02/02/10 02/02/10 K J J
B A A
A A
A A A A A A A
1, ]ncomg Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 Or iess F =$50,001 - $I00,000 =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$i,001 : $2,500 ~ ~$100,00i ~ $11000,000 K =$15,001 - $50,000 O=$500,001. $1i0001000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI ~$ii000100i ~ $~i0001000 L =$50 00!- $100;000 Pl =$],000~001 755,000,000 P4 =More than $50;000,000 S =ASSessment W =Estimated
D =$5,001 - $15,000 H2 --M0re thau $5~000,000 M =$I00,001 - $250,000 P2 =$5,000i001 - $25,000,000 T =caSh Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 )filling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during C. Gross value at end D. lransactions during reporting period
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
HJ HEINZ -HNZ-common stock Mirant Corp-common stock Nexaira Wireless -NXWI- common stock Pitney Bowes, Inc.-PBI-common stock Progress Energy, Inc. PGN -common stock Alcoa Inc.-AA-common stock Proctor & Gamble-PG-common stock Spectra Energy Corp-SE-common stock Walmart Stores, Inc.-WMT common stock Wells Fargo Bank-WFC-common stock Ameren Energy- AEE/Common Stock Costco-COS-common stock JP Morgan Chase preferred stock Capstead Mortgage- REIT-- CMO
J J J J J
Buy
05/05/10 J
A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None None None
J J J J l J A B A A A
T Sold Sold Buy Sold 01/13/10 0 t/25/10 06/24/10 09/13/10 09/13/10 10/29/10 J J J J J J A A A
Atlas Pipeline Partners, limited partnership interest- APL Crosstex Energy LP- limited partnership interest--XTEX
A A
Distribution Distribution
J J
T T
Buy Buy
~Se ~0iumnS Bi a~d 134) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
F =$50,~i 2 ~i00,b00 ........... J =$15,000 or less N =$250,00i -$500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
G ~$100100 i : $1,000,000 K =$15;001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50,000~000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I00,00] - $250,000 P2 =$5,000;001 - $25,000,000 T -Cash Market
E =$15,001 - $50,000
I
(2)
VII. INVESTMENTS and TRUSTS - income, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling 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 Amount Code I
(A-H)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
35. 36.
Dividend None
J J
Buy
06/24/10
37. Mueller Water Products--MWA 38. Tortoise MLP Fund--NTG Dinuba CA Fing Wastewtr Reclamation Reclamation ..... Bond Ontario Cmnty FACS Dist Bond Franklin Fund-small cap growth fund IFRSGX class Valie Fixed Account Plus Valic Midcap Strat. GR./Morgan Stanley AIG Valic Mid Cap Fund (Wellington) Valic Small Cap Special Value-Evergreen/ Putnam Valic International Small Cap Equity/AIG World Savings(now Wachovia) aggregate Washington Mutual-(now Chase Bank-) aggregate San Diego County Credit Union aggregate Temecula Valley Bank (now First Citizens Bank)- aggregate
Bank of America aggregate
A A A A
J J J ~ K J J J K J J T T T T T T T
Buy Buy
09/13/10 J 07/28/10
39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50.
51.
A
A
Interest
Interest
Closed
04/02/10 J
B B
A
Interest Interest
lnterest
M M
J
: i l~6~d Gfiifi C6des: (See Colunms BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or !dss 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 =$1,001- $2,500 G=$100,001 -$1,000,000 K =$15,001- $50,000 O=$500,001 -$t,000,000 R =Cost(Real Estate Only) V =Other
C =$2,501- $5,000 HI =$1,000,001 - $5,000,000 L =$50,001- $100,000 P1 =$1,000.001- $5,000,000 P4 =More than $50,000,000 S =Assessmem W=Estimatcd
D=$5,001 -$15,000 H2 ~M0re than $5~000,000 M=$100 001 -$250i000 P2 =$5;000,001 - $25 000~000 T =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of.Fding instructions.)
[~
Date mm/dd/yy
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62.
San Diego National Bank- (now US Bank)aggregate Scottrade - moneymarket Power of Attorney ---- -USFFCredit Union (aggregate) - --Chase Manhattan (aggregate) ---Property l,Tampa Florida, ---Property 2, Tampa Florida, ---Property 3, St. Cloud, Florida,
Interest None
K J
T T Open 09/13/10 J
B B A
K O L L L
T T W W W
.... L income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$t,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 =$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 =Other
C =$2;501 - $5~000 Hi ~$i~000i00i ~ $5i000i000 L =$50~001- $100i000 PI =$1,000;001 = $5;000,000 P4 =More than $50,000~000 S =Assess~6nt W =Estimated
D =$5,001 - $15,000 H2 ~M0~e than $5;000~000 M =$i00 001 - $250~000 P2 =$5~000i001 - $25,000,000 T =Cash Market
E =$15,001- $50,000
IX. CERTIFICATION.
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 UoS.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