AO 10 Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

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

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

I. Person Reporting (last name, first, middle initial) Karlton, La~vTence K.

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or pan-time)

3. Date of Report 05/05/2011

6. Reporting Period 01/01/2010 to 12/31/2010

Chief Judge Emeritus - Senior St

[] Initial

5b. [] Amended Report

7. Chambers or Office Address

U.S. Courthouse 501 1 Street, 15th Floor, #230 Sacramento, CA 95814

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 followe~L Complete all parts,
checking the NONE box for each part where yoa have no reportable information. Sign on lastpage.

I. POSITIONS. (Reporting individual only; seepp. 9-13 of filing instructions.)

1-~ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/~NTITY

2. 3. 4. 5.

II. AGREEMENTS. (R,portlng individual only; see pp. 14-I6 of filing instructions.)

~]

NONE (No reportable agreements.) DATE

PARTIES AND TERMS

Karlton, Lawrence K.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/201 I

III. NON-INVESTMENT INCOME. (Repo.i.g indivldualandspouse; seepp. 17-24 of filing instructions,)

A. Fliers Non-Investment Income

NONE (No reportable non-investment income.)

DATE
I. 09/20/2010 2. 3. 4.

SOURCE AND TYPE

Prudential Equity Group - administrative proceeding proceeds

INCOME
(yours, not spouses)

$484.00

B. Spouses Non-Investment Income - If you were married during any portlon of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

County of Sacramento, wages

1.2010 2. 3. 4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.)

SOURCE
I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/2011

V. GIFTS. anctude~ ,hose ,o ,pou~e .nd depende,, children; ~oe pp. 28-31of filing instructionx.)

~
I. 2. 3. 4.

NONE (No reportable g~s.)

SOURCE DESCRIPTION

VALUE

5.

VI. LIABILITIES. anct~de, tho, e olspo,se a,d dependent children; see pp. 32-33 of fillng instruction~)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS - i .... e. value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
---] NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end

Transactions during reporting period (t) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)

(including trust assets) Place "(X)" after each asset exempt from prior disclosure

reporting period (2) 0) Amount Type (e.g., Code I div., rent,

(A-H) or int.)

of reporting period (i) (2) Value Value Method Code 2

(J-p) Code 3

(Q-W) I. 2. 3. 4. 5. 6. 7. 8. 9. I0. II. 12. 13. 14. 15. 16. 17. Glaxosmithkline PLC Franklin CalifTax-Exempt Money Fund PNM Resources Inc. American Electric Power Prudential Insurance Sears Holding Corp Nstar, Inc. DWS Scudder Mid Cap Growth Fund - A IRA CA Dept Water Resources Bond Union Bank-checking Fidelity Investments - IRA Disciplined Equity Fidelity Investments - IRA Spartan 500 Index Schools Federal Credit Union First US Community Credit Union Morgan Stanley Ca Tax-free Income Fund Putnam Ca Tax-exempt Income General Electric Corp B A A A A B B A A A B A A A Dividend Dividend Dividend Dividend Interest None Dividend Int./Div. Interest Interest None Int./Div. Interest Interest None Int./Div. Dividend K K J J J J K M J L J J L M J K J T T T T T T T T T T T T T T T T T

(5) Identity of buyer/seller (if private transaction)

I. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes !.Scc Column C2)

A ~$1,000 or less F =$50,DOI - $100,DO0 J =$15.DO0 or less N =$250.001 - $5b~.DOO P3 =$25,000.DOI - $50,000.000 Q ~Appraisal U =Book Value

B =$1,001 - $2,500 G =$1DO.DOI - $1.DOO.DOO K - $15.D01 - $ 50.000 O =$5DO.001 - $1,DO0.000 R =Cost (Real Estate Only) V =Other

C =$2.501 - $5,000 HI =$1.DOO,DOI - $5.000.DO0 L $50,001 - $ I DO.0@) PI =$1,000,DOI - $5.0DO,000 P4 =More than $50.000,000 S =Assessment W =Estimaled

D =$5,001 - $15,000 H2 =More than $5.1)O0.1300 M =$ I DO.@) I - $250,000 P2 =$5,DO0,001 - $25,000.000 T =Ca~.h Market

E =$15,DOI - $50.DOO

FINANCIAL DISCLOSURE REPORT Page 5 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS - income, ,,at.., 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 Transactions during reporling period

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

reporting period 0)
Amount Code I

(2)
Typ~ (e.g., div., rent,

of reporting period 0) (2)

Value Code 2 (J-P) Value Method

(0
Type (e.g.,

buy, sell,
redemption)

(A-H)

or int.)

Code 3 (Q-W)

(4) Gain mnddd/yy Code 2 Code I (J-P) (A- H) (2) (3)

Date Value

(5) Identity of
buyer/seller

(i f private transaction)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

Sacramento Credit Union Prudential Financial Inc JP Morgan Chase ING Direct TheGolden I Credit Union Sterling Savings Bank Thermo Electron Corp Peets Best Buy Barnes & Noble AT&T Blackrock Muni Holding Cal Ins Fund Nuveen Ins Cal Pre lnc Muni Fd Ford Motor Co General Motors Southwest Airlines Co Palomar Medical Tech

A A A A A

Interest Dividend Interest Interest Interest None J J J J T T T T

Closed

03/03/10

Closed J J J J J T T T T T Sold K J J J J T T T T T Buy Buy Buy Buy Buy

12131110

A A A A A B A A A A A

Dividend Dividend Dividend Dividend Dividend Interest Int./Div. Dividend Dividend Dividend Dividend

11/08/10 1 i/08/10 05/21/10 11/18/10 12/08/10 12/08/10

K K J J J J

I. Income Gain Codes: ISce Columns BI and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Colunm 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 O =Appraisal U -Book Valuc

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 Onlyl 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 Ihan $50.000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I00,001 - $250.000 P2 =$5,000.001 - $25.000.000 T =Cash Market

E ~$ I 5,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/201 !

VII. INVESTMENTS and TRUSTS - i.co.,e, ,,al.e. 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 Transactions during reporting period

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

reporting period
(I) (2) Amount Type (.g., Code I div., rent, (A-H) or int.)

of reporting period
(I) (2) Value Code 2 (J-P) Value Method Code 3 Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)

Idemity of buyer/seller (if private transaction)

(Q-W)
35. Fidelity- cash

Int./Div.

Buy

12/07/10

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes {Scc Columns CI and D3) 3. Value Method Codes [See Column C2)

A =S1,000 or less F =$50,001 - $100,000 J = $15,0~3 or less N =$250,001 - $500,000 P3 =$25.000,0OI - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100.001 - $1,0~.0~0 K -$15,001 - $50,000 O =$500.001 - $ 1,0~.0~0 R Cosl (Real Estate Only) V =Olher

C =$2,501 - $5,000 H I = $ 1,000,001 - $ 5,000,000 L -$50,001 - $100,000 PI =$1,000.001 - $5,000,0~0 p4 -More than $50,000,000 S -Asscssmcnt W =Estimated

D :$5,001 - $ I 5,000 H2 =More Ihan $5,000,000 M =$100,001 - $250,000 P2 -$5,000,001 - $25,000.000 T =Cash Market

5,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 8

Name of Person Reporting Karlton, Lawrence K.

Date of Report 05/05/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofrepor~.)

FINANCIAL DISCLOSURE REPORT Page 8 of 8 IX. CERTIFICATION.

Name of Person Reporting Kariton, Lawrence K.

Date of Report 05/05/201 I

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. 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 provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S] Lawrence K. Karlton

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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