Skip to content

Judicial Watch • Lucy H. Koh – 2011

Lucy H. Koh – 2011

Lucy H. Koh – 2011

Page 1: Lucy H. Koh – 2011

Category:Federal Judges

Number of Pages:12

Date Created:October 17, 2011

Date Uploaded to the Library:November 11, 2014

Tags:LUCYH, Lucy H Koh, Superior, California, Retirement, 2011, office, district, court, filing, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

Rev. 112011 Government Act 1978 
FOR CALENDAR YEAR 2010 U.S.C. app. /OJ-/ Person Reporting (last name, first, middle initial) KOH, LUCY Court Organization U.S. District Court Date Report 05/11/2011 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge, Active Status Sa. Report Type (check appropriate type) Nomination, Date Initial [{) Annual Sb. Amended Report Final Reporting Period 01/01/2010 12/31/2010 Chambers Office Address 280 South First Street San Jose, 95113 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY U.S. District Court Judge U.S. District Court, Northern District California Superior Court Judge Superior Court California for the County Santa Clara 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PAR TIES AND TERMS 
 
 
 
Koh, Lucy 
 
 
 
Ill. N-INVES TMENT INC ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
SOURCE AND TYPE INCOME 
(yours, not spouses) 2010 State California --salary $67 094.45 
2.2010 County Santa Clara --salary 595.46 Spouses Non-Investment Income -I/you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 2010 
--salary 
Executive Office the President --salary 
IV. REIMBURSEMENTS transpotation, lodging, food, entertainment 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
V GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) [{] NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
VJ. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE U.S. Department Education Direct Student Loan Fidelity Investments Loan against retirement account 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 1if filing instru,tion..J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(I) (2) (I) 
(4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
 
transaction) Wells Fargo Accounts Interest Stanford Federal Credit Union Interest State California Savings Plus Program None American Funds Washington Mutual Mutual Funds None Frontegra JronBridge Small Cap None PIMCO Total Return Inst None Dodge Cox Balanced None Vanguard 2035 Target Retfrement None PIMCO Total Return Admin None 
10. Vanguard 2035 Target Retirement None 
11. Judges Retirement System None 
12. CollegeBoundfund None 
13. Wells Fargo Investments LLC ScholarShare Advisor None 
14. 
15. 
16. 
17. Income Gain Codes: ,000 less =$I ,00 -$2,500 =$2,50 -$5,000 =$5,00 -$15,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000.000 =More than $5.000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100.000 =$100.00 -$250.000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5.000,00 -$25.000.000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) Assessment =Cash Market 
(See Column C2) =Book Value =Other Estimated 
 
 
Name Person Reporting 
 
05/11/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreport.) 
Part VII. Investments and Trusts The Judges Retirement System funds only became available after retired from the California Superior Court join the U.S. District Court bench 
 
529 educational funds, CollegeBoundfund and Wells Fargo Investments LLC ScholarShare Advisor, were inadvertently left off ofroy January 20, 
 
 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: LUCY KOH 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
AOJO Rev. 112011 Report Required rhe Ethics Government Act of1978 FOR CALENDAR YEAR 2010 U.S.C. app.  101-1 ll) Person Reporting (last name, first, middle initial) KOH, LUCY Court Organization U.S. District Court Date Report 09/15/2011 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge, Active Status Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. [{] Amended Report Final Reporting Period 01/01/2010 12/31/2010 Chambers Office Address 280 South First Street San Jose, 95113 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSIT! NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY U.S. District Judge U.S. District Court, Northern District California Superior Court Judge Superior Court California for the County Santa Clara 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
 
 
Koh, Lucy 
 
 
 
JIJ, N-INVES TMENT ME, (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) 2010 State California -salary $67,094.45 
2.2010 County Santa Clara --salary $3,595.46 Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
Executive Office the President --salary 
 
 
IV, REIMBURSEMENTS -transportation, lodging.food, entertainment 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
Name Person Reporting 
 
09/15/2011 
KOH,LUCYH. 
V GIFTS. (Includes those spouse and dependent children; see pp. 18-31 filing instructions.) [{] NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 31-33 filing instructions.) 	NONE (No reportable liabilities.) CREDITOR 
DESCRIPTION VALUE CODE 
U.S. Department Education Direct Student Loan Fidelity Investments Loan against retirement account 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1ut1es those spouse and dependent drildren; see PP 14-60 ti/filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
(1) 
(1) (2) (I) (2) (3) 
(4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
Code 
exempt from prior disclosure div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) Wells Fargo Accounts Interest Stanford Federal Credit Union Interest State ofCalifornia Savings Plus Program None American Funds Washington Mutual Mutual Funds None Frontegra IronBridge Small Cap None PIMCO Total Return Inst! None Dodge Cox Balanced None Vanguard 2035 Target Retirement None PIMCO Total Return Admin. None 
10. Vanguard 2035 Target Retirement None 
11. Judges Retirement System None 
12. AllianceBernstein CollegeBoundfund Age Based Portf. 02-04 None 
13. Fidelity ScholarShare Advisor Calif. 529 Portf. 2025 Class None 
14. 
15. 
16. 
17. Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,00 -$15,000 =115,001 -$50,000 
(See Columns and 04) =$50,00 I00,000 =$100,00I -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,00 -$250.000 
(Sec Columns and 03) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,00 -$25.000.000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
 
 
Name Person Reporting 
09/15/2011 
KOH,LUCYH. 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicatepartofreport.) 
Part VII. Investment and Trusts The Judges Retirement System funds only became available after retired from the California Superior Court join the U.S. District Court bench 
 
 
 
 
 
 
Name Person Reporting Date Report 
 
 
KOH,LU CYH. 
09/15/2011 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
 
Signature: LUCY KOH 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544