# Ronald H. Sargis

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/16538

## Record

- **Judge:** Ronald H. Sargis
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 16

## Text

Rental Property. Sacramento, California — Rent
Bank of America Demand Accounts — Int/Div
Golden Credit Umon Demand Account — Interest
Bank of the West Demand Account — Interest
State Farm Whole Life Insurance — Interest
Mineral Rights, Livingston, CA — None
XXX XXX XXX
BROKERAGE ACCOUNT #1
Memil Lynch Direct Deposit (Cash) Account) — Int/Div
Adient PLC SHS «= ADNT — Int/Div — from line 12)
Cesca Therapeutics, Inc (fka Theomogensis) KOOL — None
Johnson Controls Inter -- JCI (Exhanged for TYCO Shares) — None — Buy — 2nd Amended Note
Mallinckrodt PLC - MNK (X) — None — 2nd Amended Note
Medtronic PLC « MDT (fka Covidien PLC) — Int./y
Nokia Corp -- NOK — Ine
Oracle Corp «= ORCL — Int/Div
Pentair PLC -- PNR — Int/Div
Sirus SM = SIRI — Int/Div
TE Connectivity -- TEL — Int/Div
ersmsrarmesn
All Shares Disposed of mn Acct in 2016
ADT Corp Cash Merger — Distribution — Sold
Tyco Intemational — Int/Div — Sold — 2nd Amended Note 1
XXXXXXXXXxxx
BROKERAGE ACCOUNT #3
Insured Bank Deposit U.S. Bank — Int/Div — Open — 2nd Amended Note 3
Dreyfus Technology Growth -- DTGRX — Distribution
Gateway CL C Remvestments — GTECX — Int/Div — Buy
29 — istmbution
Hartford Cap Appre FD -- HCACX — None — 2nd Amended Note 3
Hartford Cap Appre FD -- HCACX — Sold
XXXXXXXXXXXX
BROKERAGE ACCOUNT 2 (Closed in 2015)
Cash Account, Goldman Sachs Bank USA (xX) — None — Closed — 2nd Amended Note 4
Discover Bank — None — Closed — "
NX XXXXXXXXX
BROKERAGE ACCOUNT #2-1 (Account Closed 2016) — Closed — 2nd Amended Note 22
Hartfor Cap Apprec FD - HCACX — to Acct #3
Federated Cap Reserves (money market) — None — Closed — Transfer to Acct F's]
XXXXXXXXXXXX
BROKERAGE ACCOUNT #8 IRA ROLLOVER
General MMKT Class A Cash Fund — Int
First Trust Utilities Alphadex -- FXL — Int/Div — Buy
Flexshares Trust Qlty Div Index Fund - QSF — Int/Div — Buy
Flexshares Trust Qlty Div Index Fund - QSF — Buy (add'l)
Global X MSZCI Norway ETF << NORW — Int/Div — Buy
Goldman Sachs Activebeta US Large Cap Equity ETF -- GSLC — Int/Div — Buy
Ishares MSCI Switzerind Capped ETF - EWL — Int/Div
shares MSC Australia ETF «« EWA — Int/Div — Buy
Ishares Core MSC Emerging Markets ETF w [EMG — Int/Div — Buy
Ishares Core MSC Emerging Markets ETF w [EMG — Buy (add'l)
Ishares Core MSC Emerging Markets ETF w [EMG — Buy (add'l)
Ishares Core MSC Emerging Markets ETF w [EMG — Buy (add'l)
Ishares Core MSC Emerging Markets ETF w [EMG — Buy (add'l)
Ishares Core MSC Emerging Markets ETF w [EMG — Buy (add'l)
Ishares Core MSC Emerging Markets ETF w [EMG — Sold (part)
Ishares Core MSC Emerging Markets ETF w [EMG — Sold (part)
Ishares Core S&P SOO ETF IVV — Int/Div
Ishares Core S&P SOO ETF IVV — Sold (part)
Ishares Core S&P SOO ETF IVV — Buy (add'l)
Ishares MSCI EAFE ETF - EFA — Int/Div
Ishares MSC1 EAFE Value ETF -- EFV — Int/Div — Buy
Ishares MSC1 EAFE Value ETF -- EFV — Buy (add'l)
Ishares MSC1 EAFE Growth ETF -- EFG — Int/Div — Buy (add'l)
Ishares MSC1 EAFE Growth ETF -- EFG — Sold (part)
Ishares MSC1 EAFE Growth ETF -- EFG — Sold (part)
Ishares MSC1 EAFE Growth ETF -- EFG — Buy (add'l)
Ishares MSC1 EAFE Growth ETF -- EFG — Sold (part)
Ishares U S Health Care Providers ETF - IHF — Int/Div — Buy
Ishares U S Financial Services ETF -- IYG — Int/Div — Buy
Ishares NASDAQ Biotechnology ETF - IBB — Int/Div — Buy
Ishares Core S&P Small Cap ETF - UR — Int/Div — Buy
Ishares Core S&P Small Cap ETF - UR — Sold (part)
shares LU S Consumer Goods ETF -- 1YK — Int/Div — Sold (part)
shares LU S Consumer Goods ETF -- 1YK — Sold (part)
shares LU S Consumer Goods ETF -- 1YK — Sold (part)
Ishares Intl Select Dividend ETF -- IDV — Int/Div — Buy
Ishares Currency Hedged MSC Japan ETF «— HEW]) — None — Buy
Ishares Currency Hedged MSC Japan ETF «— HEW]) — Buy (add'l)
Ishares Currency Hedged MSC Japan ETF «— HEW]) — Sold (part)
Ishares Currency Hedged MSC Japan ETF «— HEW]) — Sold (part)
Ishares Currency Hedged MSC Japan ETF «— HEW]) — Buy (add'l)
Powershares Aerospace & Defense ETF - PPA — Int/Div
Powershares QQQ ETF -- QQQ — Int/Div — Buy
Powershares KBW Regional Banking ETF «—- KBWR — Int/Div — Buy
Powershares S&P 500 Ex Rate Sensitive Low Vity ETF - XRLV — Int/Div
Sector Financial Select Sector SPDR ETF -- XLF — Int/Div
Consumer Discretionary Select Sector SPDR ETF - XLY — Int/Div — Buy
Select Sector TR Real Estate SPDR ETF XLRE — Int/Div — from line 7)
SPDR Series Trust SPDR Morgan Stanley Technology ETF — MTK — Int/Div
SPDR S&P Capital Markets ETF -- KCE — Int/Div — Buy
SPDR S&P Transporatation ETF «- XTN — Int/Div — Buy
Vanguard Large Cap ETF -- VV — Int/Div
Wisdomtree Trust Europe Hedged Equity Fund ETF — HEDJ — Int/Div — Buy (add'l)
Wisdomtree Trust Europe Hedged Equity Fund ETF — HEDJ — Sold (part)
Wisdomtree Trust Europe Hedged Equity Fund ETF — HEDJ — Sold (part)
Wisdomtree Trust Europe Hedged Equity Fund ETF — HEDJ — Sold (part)
Wisdomtree Trust Intl Hedged Quality Dividend Growth Fund ETF -- THDG — Int/Div — Buy
Wisdomtree Japan Small Cap Dividend ETF « DFJ — Int/Div — Buy (add'l)
Wisdomtree Japan Small Cap Dividend ETF « DFJ — Sold (part)
Wisdomtree Japan Small Cap Dividend ETF « DFJ — Buy (add'l)
Wisdomtree Large Cap Value ETF - EZY — Int/Div — Sold (part)
Wisdomtree Large Cap Value ETF - EZY — Buy (add'l)
UBS AG Jersey Branch E Tracs LKD Alerian MLP Infrast. Index - MLPI — Interest — Buy
ALPS Riverfront Strategic Income Fund RIGS — Int/Div
ALPS Riverfront Strategic Income Fund RIGS — Buy (add'l)
ALPS Riverfront Strategic Income Fund RIGS — Sold (part)
ALPS Riverfront Strategic Income Fund RIGS — Sold (part)
ALPS Riverfront Strategic Income Fund RIGS — Sold (part)
Pimeco 0-5 YR High Yield Corporate Bond Index ETF — HYS — Int/Div — Buy
Pimeco 0-5 YR High Yield Corporate Bond Index ETF — HYS — Buy (add'l)
SPDR Bloomberg Barclays Short Term High Yield Bond ETF -- SINK — Int/Div — Buy
All Interests Disposed of From Invt Acct 8 in2016
Deutsche X-Tracker MSCI EAD Hedged Equity ETF — None — Sold (part)
Deutsche X-Tracker MSCI EAD Hedged Equity ETF — Sold
First Trust NYSE ARCA Biotechnology Index EFT FBT — Int/Div — Sold
Global X F1SE Nordic Regional ETF GXF — Int/Div — Sold
ISHARES MSC Japan ETF EW) — None — Sold (part)
ISHARES MSC Japan ETF EW) — Sold (part)
ISHARES MSC Japan ETF EW) — Sold (part)
ISHARES MSC Japan ETF EW) — Sold
ISHARES U S Home Construction ETF ITB — Int/Div — Sold
ISHARES Currency Hedged MSCI German EFT HEWG — None — Sold
ISHARES MSCI United Kingdom Index ETF EWU — None — Sold (part)
ISHARES MSCI United Kingdom Index ETF EWU — Sold
Powershares KBW Bank ETF KBWB — None — Sold
Powershares Europe Currency Hedged Low Volatility ETF FXEU — Int/Div — Buy
Powershares Europe Currency Hedged Low Volatility ETF FXEU — Buy (add'l)
Powershares Europe Currency Hedged Low Volatility ETF FXEU — Sold (part)
Powershares Europe Currency Hedged Low Volatility ETF FXEU — Sold
Vanguard FTSE Europe ETF VGK — None — Sold
Vanguard FTSE Developed Mkets ETF VEA — None — Sold
Wisdomtree Japan Hedged Equity ETF DX) — None — Sold
Wisdomtree Large Cap Dividend ETF DLN — None — Sold
PIMCO Enhanced Short Maturity Active ETF MINT — Int/Div — Sold
VANECK VECTORS OIL SVCS ETF fka Market Vectors Oil Services ETF OIH — None — Sold (part) — Amended Note §
VANECK VECTORS OIL SVCS ETF fka Market Vectors Oil Services ETF OIH — Sold (part) — "
VANECK VECTORS OIL SVCS ETF fka Market Vectors Oil Services ETF OIH — Sold
XXX XXXNXXXXXXX
Brokerage Account 9 IRA Rollover
CASH/MMONEY MARKET -- RW Baird Genal MMKt Class A — Int/Div — Amended Note 6
Gateway CL A Reinvestments GATEX — Int/Div
Oakmark Intl OAKIX (Hareris Oakmark on Prior Statements) — Int/Div — Buy
Oakmark Intl OAKIX (Hareris Oakmark on Prior Statements) — Buy (add'l)
Ishares Russell 1000 Growth EFT IWF — Int/Div — Buy
shares Russell Mid Cap IWR — Int/Div
Advisory Research MLP & Energy Income INFIX — Int/Div — Buy (add'l)
Principal Mid Cap — Distribution — Buy (add'l)
Principal Mid Cap — Buy (add'l)
SPDR Series Trust S&P Dividend SDY — Int/Div — Buy
152. — Distribution
Sterling Capital Stratton Small Cap STSCX — Iistnbution
Sterling Capital Stratton Small Cap STSCX — Int/Div — Buy (add'l)
LOCORR Market Trend LOTIX — Int/Div — Buy
LOCORR Market Trend LOTIX — Buy (add'l)
NATIXIS ASG Global Alternatives GAFYX — None — Buy (add'l)
NATIXIS ASG Global Alternatives GAFYX — Sold (part)
Principal Global Divversifed Income PGPDX — Int/Div — Buy (add'l)
Blackrock Strategic Income Opptys BSIXX — Int/Div — Buy (add'l)
Blackrock Strategic Income Opptys BSIXX — Sold (part)
Eaton Vance Global Macro Absolute Return FIGMX — Int/Div — Buy (add'l)
Eaton Vance Global Macro Absolute Return FIGMX — Buy (add'l)
Loomis Sayles Bond Inst] LSBDX — Int/Div — Buy (add'l)
Templeton Global Bond Advisor TGBAX — Int/Div — Buy (add'l)
All Interests Disposed of in 2016 From Account 9
Capital World Gwth & Income FD CWGFX — Int/Div — Buy (add'l)
Capital World Gwth & Income FD CWGFX — Sold
Davis New York Venture DNVYX — None — Sold — Amended Note 7
Growth Fund of America GFAFX — None — Sold
IVY FDS Inc Assets Strategy FD WASYX — None — Sold — "
CALAMOS CONVERTIBLE FUND CICVX — None — Sold — VII Amended Note 8
XXXXXXXNXXXXXXX
Trust #1
California Bank and Trust — Deposit Accounts — Interest
Bank of America - Deposit Accounts — Interest
US Goverment Bonds — Interest
Trurstee - Trust #1], Trust #1 Fmaily Member
Reimbursement — Consumer Bankruptcy Attorneys — Association's Conference — one night's stay and parking, and meals
Reimbursement — Bankruptcy Judges — Meetings of the National Association — partial reimbursement on room, partial meals
Income — 01:052016 — University of Pacific, McGeorge School of Law -- Co-Teaching Bankruptcy Course — $2,400.00
Spouse's income — 2016 — State of California, California Department of Public Health --- Salary
For this Second Amended Filing, the additions and changes are designated as "2nd Amended.” The Amended Note numbers have been updated to allow for the

added 2nd Amended Notes to be structured in an order consistent with the order they arised in Section VII, The line numbers for the prior Amended Notes have

been update to account for line inserts which change subsequent line numbers.

Section VII Explanations

2nd Amended Note | (Account 1):

Lines 12 and 23: Tyco International Stock was exchanged for Johnson Controls International when Tyco was merged into Johnson Controls.

Line 13 -- Brokerage Account #1.

This amendment designates this addition to Brokerage Account #1 as being made for the asset Mallinckrodt PLC

which was (and still is) under the threashold reporting amount -- the *(X)" designation in Column A for line 13. Though the amount for this and several

other assets fall below the threshold reporting amount all are listed for consistency in reporting.

2nd Amended Note 2:

The Brokerage Account numbers have been mantained from the origional report, with the closed accounts and the accounts previously reported

as having been for I being deleted, The Deleted Accounts are:

[1] Lines 33-35 -- As stated on the the 2015 Report (Line 23), Brokerage Account 2 wus closed September 2015. All monies in the Cash Account Goldman Sachs

Bank USA and Discover Bank (Cash) Account were trunsferred into the Merril Lynch Direct Deposit (Cash) Account in Brokerage Account #1.

They

are accounted for in the 2015 statment of gross account value for the Merril Lynch Direct Deposit (Cash) Account in Borkerage Account #1,

[2] Lines 37-39 -- Brokerage Account No. 2-1 was closed and the Hartford Cap Apprec and cash from the Federated Cap Reserves (money market fund) were

transferred to Brokerage Account No. 3 (correction of account identification - Account Numbers Reversed in prior 2016 Orginal and First Amended Reports).

Transfer shown by 2/26/2016 opening of the US Bank (Cash) Deposit Account - Line 26. For the transfer of the cash the “open” designation was used for the

US Bank Account and The Transaction Type (D{1)) was left blank because there was not a "ransfer" option.

[3] Brokerage Account No. 4 for I, and

[4] Brokerage Account No. § for J

2nd Amended Note 3 (Account #3)

Line 26 -- Amended to identify US Bank as Insured Deposition Bank. The date of transfer of money into the deposit account ("Opened") is

included.

Line 30 -- Amended to show the transfer of Hartford Cap Appre from Acct #2-1 to Acct #3, and then the sale of the mutual fund shares occurred after transfer to

Acct #3,

2nd Amended Note 4 (Closed Account #2)

Lines 34-35 Former Brokerage Account #2, closed in 2015, with all assets transferred into Account #1. {See 2nd Amended Note 2 [1] above),

Amended Note 5

Line 137, 138, 139 -- Brokerage Account #8,

Amendment to list the sale of all shares of Vaneck Vectors Oil SVCS ETF, fka Marker Vectors Oil Services

ETF.

Amended Note 6

Line 142-- Amendement to List the Cash/Money Market -- RW Baird General MMKT Class A account for Borkerage Account #9, IRA Rollover. This was

"input error” due to there being only a value of $0.07 in the account on the year end statement.

Amended Note 7

Lines 170, 171, and 172 -- Amendment to add information for gain/loss from sales. Used "A" ($1,000 or less) for sales which resulted in loss.

Amended Note 8

Line 173 -- Amendment to add information for the sale of all shared of Calamos Convertable Fund

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/16538. Public record. Not legal advice.