# William J. Lafferty

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/10061

## Record

- **Judge:** William J. Lafferty
- **Year:** 2012
- **Report type:** Annual
- **Pages:** 25

## Text

pak) — Sold
For Filer (includes CP) (H)
Charles Schwab Bank, Deposit Account — Interest
CBS Corp., Common Stock — Int/Div
Dreyfus Growth & Income Mutual Fund — Int/Div
Howard Rice Investment Fund 01 (no control) — None
Howard Rice Investment Fund 02 (no control) — None
A Howard Rice Investment Fund 04 (no control) — istrnibution
Howard Rice Investment Fund 05 (no control) — None
Howard Rice Investment Fund 06 (no control) — Distribution
Howard Rice Investment Fund 07 (no control) — Distribution
Howard Rice Investment Fund 08 (no control) — None
Howard Rice Investment Fund 09 (no control) — Int/Div
Howard Rice Profit Sharing Plan (no control) — Int/Div
Howard Rice 401(k) Match (no control) — Int./y
I Trust No. Family Trust (H)
Real property, Orinda, CA — None
HL Spouse (includes (CP) (H)
Rental Property, Alameda, CA — Reat
Rental Property, Ventura, CA, & see discussion under "VII — Rent
Schwab Money Market Fund: SWMXX — Int/Div
Vanguard Total Intl Stock Market Index Fund: VGTSX — Int/Div
Vanguard Total Stock Market Index Fund. VTSMX — Int/Div
Capital One (savings) — Interest
Wells Fargo Bank (Deposit Account) — Interest
Cross Timbers Parmership — Int/Div
Schwab Short-Term Bond Market Funds SWBDX — Int/Div
A. Cathy Scharf Retirement Accounts (H)
1. TPMG Salary Deferral (H)
FID Contra Fund K. See Text in Part VII — Int/Div — Sold
BTC US Equity Market — Int/Div — Buy (add'l)
Cap Guardian International Equity — Int — Sold (part)
TPMG Target DT 2020 — Int/Div
FIDMIPHHCLDY — Int/Div — Sold (part)
FIDMIPHHCLDY — Sold (part)
FR Fixed Income — Int/Div — Buy (add'l)
TPMI International Foreign Fund (new) — Int/Div — Buy
2. Permanente Contribution Plan (H)
BTC US Equity Market — Int/Div
FID Contra Fund K — hy — Sold
Cap Guardian International Equity — Int/Div
TPMG Target DT 2020 — Int
FIDMIPH CLD — Int/Div — Sold
FR Fixed Income — Int/Div
TPMI International Foreign Fund (new) — Int/Div — Buy
3 Kaiser Fouidation Health Plan (H)
a) Plan B (H)
Vanguard Wellington Fund, Inv — Int/Div
Vanguard Total Bond Mkt 1x Ist Plus (See text VII — Int/Div
Vanguard 1st Tt St. Mkt Inx Ist Plus (See text VII — Int./hv
KP Growth Equity Fund — Int/Div
KP Interest Income Fund (X) — Int/Div
Bb) TSA (H)
Vanguard Wellington Fund, Inv — Int/Div
Vanguard Stable Income Fund (X) — Int/Div
Janus Adviser Forty — Int/Div
Vanguard Total Bond Mkt 1x Ist Plus (See ext VII — hy
Vanguard 1st Tt St. Mkt Inx Ist Plus (See ext VII — Int/Div
Wells Fargo Deposit Account — Int/Div
IV. FRC Accounts: Family Trust, [mm Trust, William IRA — Int
Amylin Pharmaceuticals, — Buy
Amylin Pharmaceuticals, — Buy (add'l)
Amylin Pharmaceuticals, — Buy (add'l)
Amylin Pharmaceuticals, — Sold (part)
Amylin Pharmaceuticals, — Sold (part)
3M Company — Sold (part)
3M Company — Sold (part)
3M Company — Buy (add'l)
Access Midstream Partners, L.P (fka Chesapeake Midstream) — Buy (add'l)
Access Midstream Partners, L.P (fka Chesapeake Midstream) — Sold (part)
AES Corporation — Sold (part)
AES Corporation — Sold (part)
AES Corporation — Buy
AES Corporation — Buy (add'l)
AES Corporation — Buy (add'l)
Allscripts Healthcare Solution — Sold (part)
Altria Group Inc
Amarin Corporation plc — Buy
Amarin Corporation plc — Buy (add'l)
Amarin Corporation plc — Buy (add'l)
Amarin Corporation plc — Buy (add'l)
Amarin Corporation plc — Buy (add'l)
Amarin Corporation plc — Buy (add'l)
Amazon.com Inc — Sold (part)
Amgen Inc — Buy (add'l)
Amgen Inc — Buy (add'l)
Amgen Inc — Buy (add'l)
Amgen Inc — Buy (add'l)
Amgen Inc — Sold (part)
Amgen Inc — Sold (part)
Amgen Inc — Sold (part)
Apple Inc — Buy
Archer Damels Midland
Australia & NZ Bank — Sold (part)
Automatic Data Processing Inc — Buy
Automatic Data Processing Inc — Buy (add'l)
Automatic Data Processing Inc — Buy (add'l)
Automatic Data Processing Inc — Buy (add'l)
Bristol-Myers Squibb Co — Buy (add'l)
Bristol-Myers Squibb Co — Buy (add'l)
Bristol-Myers Squibb Co — Buy (add'l)
Broadcom Corporation — Buy (add'l)
Broadcom Corporation — Buy (add'l)
Chipotle Mexican Grill — Buy
Chipotle Mexican Grill — Buy (add'l)
Chubb Corp — Buy
Chubb Corp — Buy (add'l)
Chubb Corp — Buy (add'l)
Church & Dwight Co Inc — Sold (part)
Church & Dwight Co Inc — Sold (part)
Church & Dwight Co Inc — Buy (add'l)
Coca-Cola Company
Columbia Large Cap Enhan Core FD CL Z NMIMX
Costco Wholesale Corp
Cree Inc — Buy (add'l)
Cree Inc — Buy (add'l)
Cree Inc — Sold (part)
Cree Inc — Buy (add'l)
Cree Inc — Buy (add'l)
Cross Timbers Royalty — Buy (add'l)
Cross Timbers Royalty — Buy (add'l)
Deere & Company
DFA Intemational Core Equity DFIEX — Sold (part)
DFA Intemational Core Equity DFIEX — Sold (part)
DFA USS. Large Cap Value Portfolio DFLVX
Emerson Electric Co — Buy (add'l)
Engility Holdings, Inc. (Spinoff from L-3 Communications) — Sold (part)
Exxon Mobil Corporation — Sold (part)
Exxon Mobil Corporation — Sold (part)
Exxon Mobil Corporation — Sold (part)
Exxon Mobil Corporation — Buy
Fidelity National Info Sry
Fifth Third Bancorp — Sold (part)
First Eagle Overseas Fund — Sold (part)
Freeport-McMoran Copper
Generac Holdings Inc — Buy
Generac Holdings Inc — Buy (add'l)
Generac Holdings Inc — Buy (add'l)
Gentex Corporation — Buy
Gentex Corporation — Buy (add'l)
Gentex Corporation — Buy (add'l)
Gentex Corporation — Buy (add'l)
Google Inc — Buy
Google Inc — Buy (add'l)
Google Inc — Buy (add'l)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Honeywell Intl Inc — Sold (part)
Hudson Pacific Properties, Inc — Buy
Hudson Pacific Properties, Inc — Buy (add'l)
Hudson Pacific Properties, Inc — Sold (part)
Hudson Pacific Properties, Inc — Sold (part)
IBM Corp — Buy
IBM Corp — Buy (add'l)
IBM Corp — Buy (add'l)
lMumina Inc — Sold (part)
lMumina Inc — Sold (part)
lMumina Inc — Sold (part)
Intel Corporation — Buy
Intel Corporation — Buy (add'l)
Intel Corporation — Buy (add'l)
Intel Corporation — Buy (add'l)
Intel Corporation — Buy (add'l)
Intermational Flavors& Frag
Intuit Inc
Johnson & Johnson — Buy (add'l)
Johnson & Johnson — Buy (add'l)
Johnson & Johnson — Sold (part)
Johnson & Johnson — Sold (part)
Johnson & Johnson — Sold (part)
Kinder Morgan, Inc. ¢l P — Sold (part)
Kinder Morgan, Inc. ¢l P — Sold (part)
Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Buy (add'l)
Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Buy (add'l)
Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Sold (part)
Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Sold (part)
L-3 Communications
Martin Marietta Materials Inc
Merck & Co. Inc
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Sold (part)
Microsoft Corporation — Buy (add'l)
Mondelez International Inc (f/k/a Kraft Foods Inc.)
Monsanto Co — Sold (part)
Nestle SA. ADR — Sold (part)
Nestle SA. ADR — Sold (part)
Nestle SA. ADR — Sold (part)
Newmont Mining Corp — Buy
Newmont Mining Corp — Buy (add'l)
Newmont Mining Corp — Buy (add'l)
Nokia Corp — Sold (part)
Norfolk Southern Corp — Sold (part)
Norfolk Southern Corp — Sold (part)
Norfolk Southern Corp — Sold (part)
Norfolk Southern Corp — Buy (add'l)
Norfolk Southern Corp — Buy (add'l)
Norfolk Southern Corp — Buy (add'l)
Novartis AG
Novo-Nordisk A/S — Sold (part)
Novo-Nordisk A/S — Sold (part)
Novo-Nordisk A/S — Sold (part)
OmmiVision Technologies — Buy (add'l)
OmmiVision Technologies — Buy (add'l)
OmmiVision Technologies — Buy (add'l)
OmmiVision Technologies — Sold (part)
OmmiVision Technologies — Sold (part)
OmmiVision Technologies — Sold (part)
OmmiVision Technologies — Sold (part)
OmmiVision Technologies — Buy (add'l)
OmmiVision Technologies — Buy (add'l)
Oracle Corporation — Buy (add'l)
Oracle Corporation — Buy (add'l)
Oracle Corporation — Buy (add'l)
Oracle Corporation — Buy (add'l)
Oracle Corporation — Buy (add'l)
Oracle Corporation — Buy (add'l)
Paychex, Inc — Sold (part)
Paychex, Inc — Sold (part)
Paychex, Inc — Sold (part)
Paychex, Inc — Sold (part)
Pfizer Inc — Buy (add'l)
Pfizer Inc — Buy (add'l)
Pfizer Inc — Buy (add'l)
Pfizer Inc — Sold (part)
Philip Morris Intl — Sold (part)
Philip Morris Intl — Sold (part)
Philip Morris Intl — Sold (part)
Philip Morris Intl — Buy (add'l)
Philip Morris Intl — Buy (add'l)
Potash Corp. Saskatch — Sold (part)
Potash Corp. Saskatch — Sold (part)
Potash Corp. Saskatch — Buy (add'l)
Principal Financial Group — Buy
Principal Financial Group — Buy (add'l)
Principal Financial Group — Buy (add'l)
ProShrs UltraShort Leh 20+ Trea — Sold (part)
ProShrs UltraShort Leh 20+ Trea — Buy (add'l)
Qualcomm Inc — Sold (part)
Qualcomm Inc — Sold (part)
Qualcomm Inc — Sold (part)
Qualcomm Inc — Buy (add'l)
Roche Holdings Ltd — Buy
Roche Holdings Ltd — Sold
Roche Holdings Ltd — Sold
Roche Holdings Ltd — Sold
Roche Holdings Ltd — Sold
Roche Holdings Ltd — Sold
Roche Holdings Ltd — Sold
bad) — Sold
bad) — Sold
Sabine Rovalty Trust — Buy
Schlumberger Lud — Buy
Schlumberger Lud — Buy (add'l)
Schlumberger Lud — Buy (add'l)
Schlumberger Lud — Buy (add'l)
Schlumberger Lud — Sold (part)
Schwab Value Advantage Money Fund
Sigma-Aldrich Corporation — Sold (part)
Sigma-Aldrich Corporation — Sold (part)
Sigma-Aldrich Corporation — Sold (part)
Sue Street Corp — Buy
Sue Street Corp — Buy (add'l)
Suncor Energy — Sold (part)
Suncor Energy — Sold (part)
T Rowe Price Group Inc — Buy
T Rowe Price Group Inc — Buy (add'l)
T Rowe Price Group Inc — Buy (add'l)
Thomas & Betts Corp — Sold (part)
Thomas & Betts Corp — Sold (part)
Thomas & Betts Corp — Sold (part)
Thomas & Betts Corp — Sold (part)
Ultra Petroleum Comp — Buy (add'l)
Ultra Petroleum Comp — Buy (add'l)
Unilever PLC ADR — Sold (part)
Unilever PLC ADR — Sold (part)
Unilever PLC ADR — Sold (part)
Unilever PLC ADR — Sold (part)
Union Pacific Corp. — Sold (part)
Union Pacific Corp. — Sold (part)
Union Pacific Corp. — Sold (part)
United Technologies Corp — Buy
United Technologies Corp — Buy (add'l)
United Technologies Corp — Buy (add'l)
United Technologies Corp — Buy (add'l)
Vale SA — Buy
RIT) — Buy (add'l)
RIT) — Sold (part)
RIT) — Sold (part)
Vanguard Total Bond Market Index Fund Inve
Vanguard Total Stock Market Index Fund — Sold (part)
VimetX Holding Corp — Buy
VimetX Holding Corp — Sold (part)
VimetX Holding Corp — Sold (part)
Vornado Realty Trust — Buy (add'l)
Vornado Realty Trust — Buy (add'l)
Vornado Realty Trust — Buy (add'l)
W.R. Berkley Corp — Sold (part)
W.R. Berkley Corp — Sold (part)
Walter Energy, Inc — Buy (add'l)
Walter Energy, Inc — Buy (add'l)
Walter Energy, Inc — Buy (add'l)
Walter Energy, Inc — Buy (add'l)
Walter Energy, Inc — Buy (add'l)
Wright Medical Group Inc — Buy (add'l)
Wright Medical Group Inc — Buy (add'l)
Wright Medical Group Inc — Buy (add'l)
Wright Medical Group Inc — Sold (part)
Wright Medical Group Inc — Sold (part)
Xilinx Inc — Sold (part)
Xilinx Inc — Sold (part)
RE¥S — Buy (add'l)
RE¥S — Buy (add'l)
Trustee, Trust No.
Partner, vanous Howard Rice Investment Funds, Howard Rice Investments Funds, 01-09
Agreement — 1/198 — Filer and Spouse, Family Trust
Agreement — 3/1/93 — Filer and py et al, See "8" for details
Liability — Head Royce School — Tuition Agreement
Liability — Bank of America — Credit Card
Liability — GSA VISA — Credit Card
Liability — LLBean — Credit Card
Spouse's income — 2012 — The Permanente Medical Group--Salary
In Part 11:

Although | terminated my employment with (then) Howard, Rice et al. in April 2011, and withdrew as a member of and a director of the firm at that time, | had

also participated, in my cacpacity as a member and director of the firm, in various "Howard Rice Investment” partnerships, each of which is still in existence, and

in each of which 1 am, indirectly at least, a participant. Thus, while I am no longer directly a party to an "agreement" concerning these entities, I um still an equity

holder in, and, at least indirectly, a participant in, these entities.

In Part VII;

In description of Wife's Investments and Trusts:

I. From "Rental Property, Ventura® Please note that this property, which was inherited from Wife's mother in 2009, first generated rental income in November

2011, total rental income in 2011 to Wife , $800. This amount was inadvertently deleted from my Initial Report,

2. With respect to entries for "Vanguard Total BondMkt. 1x 1st Plus” within discussion of "Kaiser Foundation Health Plan”, "Plan B* and "TSA", please note that

this fund was renamed from “Vanguard Total Bond Mkt Index" as reported in my Initial Report.

3. With respect to entries for "Vanguard 1st Tr St Mkt. Ist Plus” within discussion of "Kaiser Foundation Health Plan”, "Plan B™ and "TSA", please note that this

fund wus renamed from "Vanguard Total Stock Mkt Index Inst" as reported in my Initial Report.

Line 17, Property was purchased in August 2, 2011 for $220,000.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/10061. Public record. Not legal advice.