Report Required by the Ethics AOlO in Government Act of 1978 Rev.112007 FOR CALENDAR YEAR 2006 (5 u.s.c. app. 101-111) J. Penon Reporting Qast name, first, middle initial) Bea, Carlos T 2. Court or Organization U.S. Court of Appeals,9t Circ 05/10/2007 11tle (Article ID judges indicate active or senior status; magistrate judges indicate full or part-time) Circuit Judge (Active) Sa. Report Type (check appropriate type) D Nomination, D Initial Sb. D Amended Reprt Date Annual D Final 7. Chambers or Offce Address 8. On the basis ofthe information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance U.S. Court of Appeals, 9th Cir with applicable laws and regulations. 95 7th Street, Ste. 205 San Francisco, CA 94 I 03 Reviewing Offcer Date 6. Reporting Period 01/01/2006 to 12/31/2006 IMPORT ANT NOTES: The instructions accompanying this form must be/of/owed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSITIONS. (Reportng individual only; see pp. 9-JJ of instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/NTITY I. Managing Partner... lllt LLC 2. IJ. AGREEMENTS. (Reportng individjlal only; see pp. 14-16 of instructions.) 0-0?J NONE (No reportable agreements.) <f rn PARIES AN TE rn...- 1) {1 o'p 2. 1/23/90 City and County of San Francisco Deferred Compensation Plan (Aetna).o\" 0 Cl-n s:,_ 0 ;... 0%- -- <f"? - c: ;t.c I. 1/23/90 Judges Retirement System (State of Californa) PERS?J Cl.c. Cl 0 1017/03 U.S. Court of Appeals - Thrift Savings Plan rn U1 :: - t9 rn
Page 2 of8 Bea, Carlos T 05/10/2007 Ill. NON-INVESTMENT JN CO ME. (Reporting individual and spouse; see pp. 17-24 of instructions.) A. Filer's Non-Investment Income 0 NONE (No reportable non-investment income.) SOURCE AND TYE INCOME (yours, not spouse's) I. 2006 LC $ 67,637.16 2.2006 Judges Retirement System $ 85,99536 2006 ING Life Ins & Annuity $ 4,4685 2006 IR Rollover $ 23,390.00 2006 IR $ 30,158.00 B. Spouse's Non-Investment Income - Jfyou were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.} (E NONE (No reportable non-investment income.) SOURCE AND TYE I. 2. JV. REIMBURSEMENTS -transportation, lodging.food, entertainment (Includes those lo spouse and dependent children. See pp. 25-27 of instructions.) 0 NONE (No reportable reimbursements.) SOURCE DESCRITION I. AC! (American Conference Institute) 9126-28106, National Advanced Forum on Consumer Finance Class Actions and Litigation, New York, NY (Transportation, Meals, and Room) 2. ABTL (Association of Business Trial Lawyers) 10118-22106, Annual Seminar, Maui, HW (Transportation, Meals, and Room) The Federalist Society l l/12-19/06, Annual National Lawyers Convention, Washinton D.C. (Transportaion, Meals, and Room)
Page 4of8 Bea, Carlos T Date of.report 05/10/2007 V GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.) NONE (No reportable gifs.) SOURCE DESCRITION VALUE I. 2. VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.) D NONE (No reportable liabilities.). CREDITOR DESCRIPTION VALUE CODE I. Visa Credit Cards; First USA Banl, Charges for living expenses, including travel and tuition charges K N.A. per license from Visa U.S.A. 2. U.B.S. Loans for LLC N
Page 5of8 Bea, Carlos T 05/10/2007 VII. INVSTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent childretl see PP 34-60 of fiing instructions.; A. B. C. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (1) (2) (I) (2) (3) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (4) (5) (Q-W) transaction) I. Dodge & Cox Stock Fund E Dividend Pl T Buy 12/29 0 NIA 2. Vanguard Calif. Inter. Tax Exempt E Dividend 0 T Buy 12/29 K UBS Money Fund, Inc. A Dividend J T Russell 1000 Value (IWD) E Dividend 0 T Sale 02-03 L E Franklin Templeton Cal Tax Exempt Fund B Dividend L T CB 6. Franklin Templeton Cal Tax Free Fund LB D Dividend N T 7. Cal St GO Ambac 5% '09 c Interest L T 8. Cal St Veteran GO 75%'10 c Interest L T 9. Fresno Ca Jt Pwrs FNG 4% '08 c Interest L T JO. Lassen Ca Mun Util Rev FSA 5% '11 c Interest L T 11. Los Angeles Co Met Serv 6% 11 c Interest L T 12. San Fran Ca Int'! Airport 4% 'l0 c Interest L T 1 San Mateo Coty Jr. Pwr 6% '09 c Interest L T 1 IRA-Ford Motor Credit 6.875% '06 c Interest L T Redemption 02-01 L A 1 Gen! Motors Corp 7. I% 06 c Interest L T Redemption 03-15 L A 16. Target Corp Notes 6.35% 'l I c Interest L T Sale 04-07 L A 17. US Tsy Note 25% '07 B Interest M T I. lncome Gain Codes: A =SI,000 or less B =Sl,001 -S2,500 c=$2,501 -$5,000 D=$5,001 - $15,000 E =$15,001 -$50,000 (See Columns BI and D4) F=$50,001 -$100,000 G =$100,001 Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than S5,000,000 2. Value Codes J=S 15,000 or less K=S15,00I -S50,000 L=$50,00I -SI 00,000 M =SI 00,00 I - S250,000 (See Columns Cl and D3) N=S250,00 I - $500,000 0=$500,001 -Sl,000,000 Pl =Sl,000,001 -S5,000,000 P2 =$5,000,00 I - $25,000,000 Value Melbod Codes (See Column C2) P3 =$25,000,00 I $50,000,000 Q =Appraisal U=Book Value R=Cost (Real Estate Only) V=Other P4 =More than SS0,000,000 S =Assessment W=Estimated T=Cash Market
Page 6of8 Bea, Carlos T 05/10/2007 VII. INVESTMENT s and TR u STS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of fiing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (1) (2) (I) (2) (I) (2) (4) (5) Place "(X" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) (3) transaction) 18. US Tsy Note 0% 'I I D Interest M T Sale 04-07 M A 19. US Tsy Note 5% '09 D Interest M T Sale 04-07 L A 20. US Tsy Note 6.125% '07 D Interest M T 21. Ford Motor Credit 6.875% '06 c Interest K T Sale 02-01 L A 22. Genl Motors Corp 7.1 % c Interest L T Sale 03-15 L A 2 Target Coip NTS 6.35% '11 c Interest L T Sale 04-07 L A 2 US Tsy Note 0% '11 c Interest M T Sale 04-07 L A 2 US Tsy Note 5% '09 D Interest M T Sale 04-07 M A 26. Hummer/Winblad III Ltd Part A Distribution K w 27. F&F Flair Center El Monte, Ltd Part LB D Distrbution K w 28. LLC G Distribution 0 s 29. l. Income Gain Codes: A =Sl,000 or less B =Sl,001. $2,500 c=$2,501 - $5,000 0 =$5,001 - Sl5,000 E=$15,001 - $50,000 (See Columns Bl and 04) F=$50,001 - SI00,000 G =$100,001 -$1,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000 2. Value Codes J=S 15,000 or less K=$15,001 -$50,000 L=$50,00l -SIOO,OOO M =$100,001-$250,000 (See Columns Cl and 03) N=$250,001 - $500,000 0=$500,001 -Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2=$5,000,001 - $25,000,000 Value Method Codes (See Column C2) P3 =S25,000,00I - $50,000 000! Q =Appraisal U=Book Value R =Cost (Real Estate Only) V=Other P4 =More than $50,000,000 S =Assessment W =Estimated T=Cash Matket
Page 7of8 Bea, Carlos T 05/10/2007 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreporl}
Page 8of8 Bea, Carlos T 05/10/2007 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 U.S.C.. 7353, and Judicial Conference regulations. Signature MAY 11 2007 NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TIDS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544