# Carolyn Chiechi

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/13328

## Record

- **Judge:** Carolyn Chiechi
- **Year:** 2017
- **Report type:** Annual
- **Pages:** 13

## Text

SAB HR 10 Plan — Int/Div — Distnbuted — Min. Dis. (RMD)
SAB HR 10 Plan — Int/Div — Distnbuted — to 1.94, 115-130
Coca Cola Co. Common Stock — Int/Div — part from 1.77
BP PLC. Common Stock — Int/Div
Merck & Co... Common Stock — Int/Div — part from 183
Express Scripts Holding Co., Common Stock — None
Stryker Corp., Common Stock — Int/Div
WalMart Stores, Inc... Common Stk — Int/Div
Marriott Intl, Inc. New, Class A, Common Stock — Int/Div
Marmot Vacations Worldwide Corp Common Stock — Int/Div
Host Hotels and Resorts Inc., Common Stock — Int/Div — VII
PNC Fmancial Corp., Common Stock — Int/Div
Microsoft Corp., Common Stock — Int/Div — Sold (part)
Medtronic. Common Stock — Int/Div
Bank of America (MM/Ckg Accts) — Interest
Boeing, Co. Common Stock — Int/Div
NIKE. Class B Common Stock — Int/Div
Apple Inc., Common Stock — Int/Div — part from 1.73
Alphabet Inc Class C (name change from Google Inc.,) Capital Stock — None
Alphabet Inc Class A (name change from Google Inc.) Common Stock — None
Amgen. Inc., Common Stock — Int/Div
General Electric. Common Stock — Int/Div
Memill Lynch (ML) Bank Deposit (Money Market Fund) — None — part from 1.72
Berkshire Hathaway B, Common Stock — None
Cisco Systems Inc. Common Stock — Int/Div
Johnson & Johnson, Common Stock — Int/Div
AT&T Inc.. Common Stock — Int/Div
Amazon.com, Inc., Common Stock — None — Buy (add'l)
Biogen Idec Inc., Common Stock — None — 1.30
Bioverativ Inc.. Common Stock — None — from line 29) — 1.29
Home Depot Inc., Common Stock — Int/Div
Beneficial. interest in Lehman Bros Holdings Inc Plan Trust — None — VII
Bank of America Corp... Common Stock — Int/Div
Micron Tech lnc.. Common Stock — None
Pepsico Inc., Common Stock — Int/Div
Phizer Inc.. Common Stock — Int/Div
Proctor & Gamble, Common Stock — Int/Div
Texas Instruments. Common Stock — Int/Div
Walt Disney Co., Common Stock — Int/Div
Exxon Mobil. Common Stock — Int/Div
Colgate Palmolive, Common Stock — Int/Div
Southern Co.. Common Stock — Int/Div
Abbvie Inc.. Common Stock — Int/Div
Conoco Philips, Common Stock — Int/Div
Devon Engery, Common Stock — Int/Div
Dupont E de Nemours, Common Stock — Int/Div — 1.47, see VII
DowDupont Inc., Common Stock — Int/Div — 1.46, see VII
Eastman Chemical. Common Stock — Int/Div
IBM Corp, Common Stock — Int/Div
Phillips 66, Common Stock — Int/Div
Thompson Reuters Corp, Common Stock — Int/Div
United Tech Corp, Common Stock — Int/Div
IM Company, Common Stock — Int/Div
Williams Company. Common Stock — Int/Div
Nuveen Sanata Barbara Fund. Mutual Fund — Int/Div
Santander Bank, 0.70% fixed rate CD, due 24/17 — Interest — Redeemed
Sallie Mae bank 0.60% fixed rate CD due M417 — Interest — Redeemed
McDonald's Comp., Common Stock — Int/Div — part from 180
EU) — as RMD 168
Citizens Bank 0.75% fixed rate CD, due 7217 — Interest — Buy
Citizens Bank 0.75% fixed rate CD, due 7217 — Redeemed
First Virginia Community Bank 0.45% fixed rate CD, due 228/18 — Interest — Buy
Compass Bank 1.15% fixed rate CD, due 228/18 — Interest — Buy
ML Beneficiary IRA { beneficiary of Em IRA)
Chevron Comp., Common Stock — Int/Div
Glaxosmithkline PLC. Common Stock — Int/Div
Lockheed Martin Corp., Common Stock — Int/Div
McDonald's Corp., Common Stock — Int/Div — Sold (part) — see 1.59
Pfizer Inc.. Common Stock — Int/Div
ML Bank Money Market Fund — None
Estate
ML Bank Deposit {Money Market Fund) — None — Distnibuted — dst'd to me, see 1.23
Apple Inc., Common Stock — Int/Div — Distnbuted — dst’d to me, sec LIS
Chevron Corp.. Common Stock — Int/Div — Sold (part)
Chevron Corp.. Common Stock — Int/Div — Distributed — dst'd to me, see 1.76
Chevron Corp., Common Stock — Int/Div — 1.75
Loca Cola, Common Stock — Int/Div — Distnbuted — dst'd to me, sec 1.3
Lockheed Martin Corp., Common Stock — Int/Div — Distnbuted — dst'd to me, see 1.79
Lockheed Martin Corp. Common Stock — Int/Div — l. 78
McDonalds Corp., Common Stock — Int/Div — Distnbuted — dst'd to me, see 158
Roval Dutch Shell PLC, Common Stock — Int/Div — Distnbuted — dst'd to me, see 182
Roval Dutch Shell PLC, Common Stock — Int/Div — 1K]
Merck & Co... Common Stock — Int/Div — Distributed — dst'd to me, see 1.5
Real Property (Essex County, NJ) Total $804 500 — None — Distnibuted — dst'd to me- jt tenant
ML IRA
BP PLC. Common Stock — Int/Div
General Electric. Common Stock — Int/Div
Goldman Sachs. Common Stock — Int/Div
AT&T Inc. Common Stock — Int/Div
Schlumberger, Common Stock — Int/Div
Target, Common Stock — Int/Div
St Paul Travelers. Common Stock — Int/Div
Kinetics New Paradigm Fund CI A Mutual Fund — None
ML Bank Deposit (Money Market Fund) — None — part from 1.2
Abbott Labs. Common Stock — Int/Div
Abbvie Inc.. Common Stock — Int/Div
Johnson & Johnson, Common Stock — Int/Div
Apple Inc., Common Stock — Int/Div
BB&T Corp., Common Stock — Int/Div
General Motors Co... Common Stock — Int/Div
National-Oilwell Varco Inc., Common Stock — Int/Div
Repsol S.A. Common Stock — Int/Div
Smith & Nephew Group, Common Stock — Int/Div
Devon Energy Comp., Common Stock — Int/Div
Sabrient Bakers Dozen Portfolio Fund, ser 2016, Mutual Fund — None — Sold
Safra National Bank, 0.60% fixed rate CD, due 329/17 — Interest — Redeemed
Columbia Dividend Opportunity Fund A, Mutual Fund — None
Hartford Equity Income Fund A, Mutual Fund — None
Peoples Bank 0.70% fixed rate CD, due wi — Interest — Redeemed
Sabrient Bakers Dozen ser 2017, Mutual Fund — None — Buy
Peoples United Bank, 0.70% fixed rate CD, matures 7/25/17 — Interest — Buy
Peoples United Bank, 0.70% fixed rate CD, matures 7/25/17 — Redeemed
Luther Burbank Savings Bank 0.70% fixed rate CD, matures 1/29/18 — Interest — Buy
ZB Bank 1.25% fixed rate CD, matures 41218 — Interest — Buy
Alphabet Inc., Class C, Common Stock — None — Buy — trom 1.2
Amazon.com, Common Stock — None — Buy — from 1.2
Apple Inc., Common Stock — Int/Div — Buy — trom 1.2
Celgene Corp., Common Stock — None — Buy — from 1.2
Raytheon Co., Common Stock — Int/Div — Buy — trom 1.2
Ishares Core S&P Small Cap ETF, Mutual Fund — Int/Div — Buy — from 1.2
Ishares [Boxx Investment Grade Corp Bond Fund, Mutual Fund — Int/Div — Buy — from 1.2
Ishares Core S&P S00 ETF, Mutual Fund — Int/Div — Buy — trom 1.2
Ishares Core S&P U.S. Growth ETF Mutual Fund — Int/Div — Buy — from 1.2
Ishares Core S&P U.S. Value ETF, Mutual Fund — Int/Div — Buy — from 1.2
Ishares U.S. Treasury Bond ETF, Mutual Fund — Int/Div — Buy — from 1.2
SPDR Bloomberg Barclay High Yield Bond ETF, Mutual Fund — Int/Div — Buy — trom 1.2
SPDR U.S. Financial Sector ETF, Mutual Fund — Int/Div — Buy — from 1.2
Vanguard FTSE Emerging Markets ETF Mutual Fund — Int/Div — Buy — from 1.2
Vanguard FTSE Developed Markets ETF Mutual Fund — Int/Div — Buy — from 1.2
Vanguard Mortgage-Backed Securities, Mutual Fund — Int/Div — Buy — trom 1.2
Executor, Estate (mm
Agreement — 09/1992 — Sutherland, Ashill & Brennan (SAB) (See VIL Additional Information or Explanations)
11. AGREEMENTS (Cont'd).

At least for the foreseeable future, | decided to continue to have certain of the amounts | had accumulated in the HR 10 Plan, which is sponsored by SAB of

which I was a partner through September 30, 1992, and which is an independently managed, fully funded, defined contribution plan that allows for self-directed

investments, to be managed by the advisor retained by SAB. In July 2000, 1 rolled over into an IRA at Morgan Stanley the balance of those amounts. In 2007, 1

rolled over my Morgan Stanley IRA accounts into IRA accounts at UBS Financial Services, Inc. (UBS). In 2014, | rolled over my UBS IRA into IRA accounts at

Merrill Lynch (ML). In 2017, | rolled over the entire amount in the HR 10 Plan to IRA accounts at ML.

I have a vested interest in the Sutherland, Asbill & Brennan Defined Benefit Plan for Partners and Noalegal Personnel. The benefit Tam entitled to receive

under that plan is an annual income on a straight-line basis of $6,782.15 per year, commencing at normal retirement age of 63 and which became effective as of

1/1/09. Annual amount is paid equally over 12 months. Pursuant to the terms of the plan. | was not entitled to a lump-sum payout when | withdrew as a partner

from SAB effective October 1, 1992, because, as a relatively new plan, the benefits to the participants of the plan were not fully funded. The plan provides that

pension payments were to begin automatically after 1 attained the normal retirement age of 65. The amount of the pension payments are in no way affected by

the profitability of SAB or by the performance of the trust fund. If the trustee of the plan were to realize a better or 4 worse investment rate than assumed in the

actuarial calculations for the plan, SAB either would contribute less or more to provide the defined benefit of all participants. The plan may be terminated either

because of a change in the law or a decision by the partners of SAB to discontinue this benefit. In the event of plan termination, ERISA provides very specific

rules for the allocation of plan assets among participants, with those who have already retired being given fully funded benefits first. If SAB were not able to

provide all benefits, the Pension Benefit Guaranty Corporation would pick up the liability for any shortfall up to the benefit levels insured by that agency. It is my

understanding that, except in that unlikely event, my benefit under the plan is a fixed amount,

VIL

INVESTMENTS AND TRUSTS

P4, line 11

I failed to include in my 2016 Financial Disclosure Report that only part, not all, of Host Hotels and Resorts Inc. was sold im 2016.

P. 5, line 32

In 2012 Lehman Bros. Holdings, Inc., commenced bankruptcy proceedings, its stock was canceled. and its stockholders received proportionate beneticiul

interests in or rights to the Lehman Bros Holdings, Inc., plan trust. Although | placed a yearend value in my 2012 financial disclosure report on my interest in or

right to that plan trust, upon reflection | believe that a value really was not ascertainable for that interest or right at the end of 2012, 2013, 2014, 2015, 2016, or

2017 because of the uncertainties involved in the bankruptcy proceedings, Nonetheless, | indicated that the value code is J, i.e., "$15,000 or Jess”,

P._ 6, lines 46 and 47

Dow Chemical and DuPont E | de Nemours merged and the new company name is DowDupont, Inc.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/13328. Public record. Not legal advice.