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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009


2. Court or Organization U.S. Distric~ Court - Eastern California 5a. Report Type (check appropriate t3Ve) ] Nomination. Date [] Annual [] Final

ReportReqmreabytheEthicsin Goven,me (5 c.s.c, opp. ]o1-111)


3. Date of Report 04/2g/2010 6. Repotling Period 01/01/2009 to 12/31/2009

1. Person Reporting (last name, first, middle mhia]) Karlton, Lawrence K. 4. Title (Article llI judges indicate amiv or semor status: magistrate judges indicate full- or part-time) Chief Judge Emeritus- Senior St

[] hUdal

5b. [] Amended Report 7. Chambers or Office Address U.S. Courthouse 50! I Street, 15th Floor,//230 Sacrmnento, CA 958 !.4 8. On the basis of the information containt~l in this Report and arty modifications pertaining thereto, it i~, in m.v opinion, in compliance with applicable lairs and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accomt,ar~ring thisform must be follou,ed. Complete alt part%
checking the ATONE box for each part where ,ou have no reportable information. Sign on last page.

I. POSITIONS. m~po,i,g i,,di,.idua! o,d.v; see pp. 9-13 of filing instructions.)

~] NONE (No reportable positiot~s.)


POSITION NAM-E OF ORGANIZATION/ENTITY

NONE ~o reportable a~eements.)

DATE

P~TIES AND TERMS

2.

Karlton, Lawrence K.

FINANCIAL DISCLOSURE REPORT


Page 2 of 7 ] Karlton, Lawrence K. Ill. NON-INVESTMENT INCOME. mwo,.,~,~ A. Filers Non-lnvestment Income NONE (No reportable non-ira estme~ income.) DATE l. 2. 3. 4. SOE~CE AND TYPE ~COM~ (you~. not spouses) t~4/28r201o

B. Spouses Non-Investment Income - ~[.vo. were married &,qng a~r pv.qion of the reporting year, comph,w this section.

~
I. 2009 2. 3. 4.

NONE (No reportable no,-investme, income.) DAT~ SOE~CE AND TYPE County of Sacramento. wages

IV. REIMBURSEMENTS - ,~.~,~,.;,.,, ~od~i,,~,y,,,,,~. ........ ~,,.,~,..


NONE (No reportable reimbursemenls.) S OIIRCE 1. 2. 3. DATES I.OCATION PURPOSE ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT


Page 3 of7

fPerson Reporting

Da,e of Report

Karlton, Lawrence K.

04/28/2010

[ N ..... V. GIFTS. m, cl, ae, ,ho,~ ,o ,,po,,~,, ,,,,d a,~,,a,,,,t ~ita,~,: .,,.,,~,p. z,s-.~z off!ling in~tructim,s.) NONE (No reportable
SOURC~
i. 2. 3. 4. 5.

DESCRIPTION

VAI,L~

VI. LIABILITIES. (J,~l,~,., ,~,,~ ofsp ....... a,/,~,,a,,, ,.~,i~,~,.~,; ,,~ ~,..~:-.~.~ oy~,,g i ...... .,io,,,.) NONE (No reportable liabilities.) CREDITOR DESCtLIPTION VAt UE CODE

2. 3. 4, 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 7 VII. INVESTMENTS and TRUSTS - i ..........


~

[ N ...... I

f Person Reporting

Da,e of Repo!! )4/28/2010

Karlton, Lawrence K.

~,,,,. oaosactions flncludes tt,a_~e ~.v!> .......

d dependent ~hild~n; see pp. 34-60 of f!ling i .......

"tions.)

NONE (No reportable income, assets, or transactions.)

...................................~.
Descfipti~ of Assets (includ~g ~t assets) Place"(X)" ~fler each asset exemp~ I?om pdor d~scloxure

~ ........................ ~. ~
~ ~ lncomc during reposing period Sype (e.g.. air. rcm. ot mt )

~ ......................... ~ .......................
Transaclions during reporting period Type le.~. buy. sell. ~ redemption) Idemitv of buyer ~elk~ 0fpnvate

~ Gro~ value at end ] of reposing pe~od Yalue Code 2 (J-P) I Value Me~hod Code 3

l.~m~mt Cod~ I ~ (A-H)

Date ~ Yaluc ~ mm:dd:5) Code 2 ~ O-P)

(A-H)

1. 2. 3. 4. 5. -6. = 7. 8. 9.
l O.

Olaxo~nithkline PLC Franklin CdifTax-Exempl Money Fm~d PNM Resources 1no. American Electric Power P~d=~ti~ Insurance Sems ltolding Co~ Nstar. Inc. DWS Scudder Mid Cap Gro~h Fund - A CA Dept Water Resources Bond
l.Jn~on B~r~ - checking

A B A A A

Dividend Dividend Dividend Dividend Interest None

K K J J J J K M J
L.

T T Sold (part) 12/30/09 K A

T T T T T I"
T

Dividend None

A
A

Interesl
Interest

I1. 12. 13. 14. 15, 16. i 17.

Fidelity Investments - IIL~ Disciplined Equity Fidelity lnvestmems - IRA. Spartan 500 htdex Schools Federal Credit Union First US Cmnmunity Credit Union Morgm~ Stanley Ca Tax-free htc, ome Fund Putnam Ca Tax-exempt Income GeneralElectric Corp A B A B A

None None Interest Interest lm .qT)iv. tnt./Div. Dividend M J K J T T T T

t. lnome Gain Codes:

A =~ t,000 or I~s~

B =$1.00t - $2.500

C =$2.501 - $5000

D =$5,00! - $15.000

E =$15,(101 - $50.000

FINANCIAL DISCLOSURE REPORT

Page 5 of 7
VII. INVESTMENTS and TRUSTS -- i ...........

Karlton, Lawrence K.

041281201

NONE (No reportahle income, assets, or transactions.) Description ~f A~Sels (~cludh~g t~s~ ~se~) Place "~)" after e~ch asset exempt l?om prm~ d~scl(,a~are ~ Income d~ing Gross vMue at end of reposing period Value Code 2 (J-P) Value Method ] Code 3 ~ Type (e.g.. buy. sell redemption) qran~acn~)n~ during re~mng period Identity of buyer.sell~ (if pro,ate

[_. re~mg period Amount Type (eg. Code I div, rent, 4-H) b or inL)

Dale i Valne

Gain

nm~"dd;~T I (ode 2 ~ Code I (I-P) [(A-~

18. 19. 20 21. 22. 23. 24. 25. 26. 27. 28. 29.

Sacramenlo Credit I Jaion Prudential FinancialInc JP Morgan Chase ING Direct qhe Golden l Credit Union SlerlingSnvingsBank Thenno Electron Corp Peers Best Buy Barnes & Noble Af&T Blackrock Muni Holding Cal has Fund

A A A A A A

Interest Dividend lnteres~ Interest Interest Interest None None None Ncnte None None

J J .I K 3 J .1 J J ,1 J K

T T T T T T "r T "I" T T T Open Buy Buy Bny Buy Buy Buy 11/09/09 t2:30/09 12/30/09 12/30/09 I 12~3&09 12/30109 12;30/I}9 J J J J J J K Name change from WaMu

FINANCIAL DISCLOSURE REPORT

.~ ....

fP .....

Reporting

Dale ol" Report

Page 6 of 7

Karl~on, Lawrence K.

04/28/2010

VIII., ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

N ..... of Person Reporting Karlton, Lawrence K,

Da,e of]Report 04/28/2010

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if an.,,) is accurate, true. and complete to he best of my knowledge and belief, and that any information not reported was withheld because it met applicable statnto~T prox isions permitting ool;-disclosure. 1 fmther certify that earned income from o~tside emplo)mcnt and honoraria and the acceptance of gifts which bare been reported arc in compliance with the provisions of 5 [i.S.C. app. 501 et. seq., 5 U.S.(:. 7353, and Jndicial Conference regulations.

NOTE: ANY 1NDI][DI..~AL ~VFIO I~2NOWINGLY AND W1LFI]LLY AN/) CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additionaI copies ~o: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Colmnbus Circle, N.E. Washington, D.C. 20544

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