# Marilyn D Go

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/18579

## Record

- **Judge:** Marilyn D Go
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 14

## Text

CMA at Citibank, N.A — Interest
Tesoro Petroleum (common stock) — Int/Div
Brokerage Account 21 (IRA - stock)
Bristol Myers Squibb Co. (common shares in IRA) — Int/Div
ChevronTexaco Corp. (common stock in IRA) — Int/Div
Exxon Mobil Corp. {common stock in IRA) — Int/Div
A Frontier Communications Corp. (common stock) — Int/Div
Hawaiian Electric Industries Inc. (common stock in IRA) — Int/Div
Hewlett Packard Enterprise {common stock in IRA) — Int/Div
HP Inc. (common stock in IRA) — Int/Div
Microsoft (common stock m IRA) — Int/Div
Raytheon (common stock m IRA) — Int/Div
Vernzon Communications (common stock m IRA) — Int/Div
Morgan Stanley Private Bank Deposit Prog (for uninvested funds in IRA) — Interest
New Combined Account (previously Brokerage Acct, #2 and #3 — note 1. Pr. VII
Ace Ltd. (common stock) See note 2, Pt vi — with line 51) — note 2. Pr. VII
Alliancebernstein Holding L.P. (common stock) — Int/Div
AT&T (common stock) — Int/Div
Becton Dickenson & Co. (common stock) — Int/Div
Blackstone Group LP (common stock) — Int/Div
Boeing (common stock) — Int/Div — Buy (add'l)
Bristol Myers Squibb Co. (common stock) — Int/Div
Chevron Corp. (common stock) — Int/Div
Church & Dwight Co Inc. (common stock) — Int/Div
Exxon Mobil Corp. {common stock) — Int/Div
Glaxosmithkline PLC ADR (common stock) — Int/Div
Hawaiian Electric Indusctries, Inc. (common stock) — Int/Div
Intel (common stock) — Int/Div
KKR & Co LP (common stock) — Int/Div
Lockheed Martin Corp. (common stock) — Int/Div
Lvondellbasell NV Cl-A(common stock) — Int/Div
Merck & Co. Inc. New (common stock) — Int/Div
Pepsico Ine NC (common stock) — Int/Div
Pfizer Inc. (common stock) — Int/Div
PPG Inductries Inc. (common stock) — Int/Div
Prairiesky Rty Ltd (PREKF) — Int/Div — from line 49) — note 3, Part VII
Quality Care Properties Inc. (OCP) — Int/Div — from line 56)
Unilever NV NY Sh New (common stock in IRA) — Int/Div
Verizon Communications (common stock in IRA) — Int/Div
Walt Disney Co Holdg Co (common stock in IRA) — Int/Div
Wells Fargo & Co. New (commen stock in IRA) — Int/Div
Morgan Stanley Bank Deposit Prog {for uninvested fds in KEOGH) — Int
Combined New Account (cont'd) {previously Brokerage Acct. #3) — note 1, Part VII
ACE Lud. {common stock ) — with line 51) — note 2, Part VII
Apple Inc. (common stock) — Int/Div
AT&T (common stock) — on line 18 peru.
American Electric Power Co., Inc. {common stock) — Int/Div — Buy (add'l)
Bristol Myers Squibb Co. (common shares) — on line 22 peru.
Canadian Natural Resources Ltd. (common stock) — Int/Div — ln 36:0 3. Pt VIL
Chevron (common stock) — on line 23 peru.
Chubb Corp. (common stock 1mm KEOGH) — Int/Div — Sold (part) — note 2, Part VII
Conoco Phillips {common stock in KEOGH) — Int/Div
Con Edison Inc. (common stock) — Int/Div
Enterprise Products Prins LP (EPD) — Int/Div
Exxon Mobil Corp. (common stock) — on line 25 per.
HCP Inc. (New) (commong stock) — Int/Div
Hawaiian Electric Indus. Inc. (common stock) — on line 27 peru.
Health Care REIT (name change to Welliower, line 75) — note 4, Part VII
Hess Corporation (common stock) — Int/Div
J.P. Morgan Chase & Co. {common stock) — Int/Div
Johnson & Johnson (stock) — Int/Div — Buy (add'l)
McDonalds Corp. (common stock) — Int/Div — Buy (add'l)
Merck & Co Inc NEW stock — on line 32 peru.
Nextera Energy {common stock in KEOGH) — Int/Div
Oracle (common stock in KEOGH) — Int/Div
Phizer Inc. (common stock) — on line 34 pern.
PPG Industries Inc. (common stock) — on line 35 per.
Royal Dutch PTLM (NY registrty shares in KEOGH) — Int/Div
Schlumberger Ltd. (stock in KEOGH) — Int/Div
Transocean Lid (RIG) — Int/Div
Verizon Communications (common stock) — on line 39 peru.
Walt Disney (common stock) — on line 40 per.
Wells Fargo & Co. New (common stock) — line 4! pern
Welltower Inc. (common stock m KEOGH) — Int/Div — note 4, Part VIII
PDR Servs, LLC: SPDR Dow Jones Indl Avg ETF (equity portfol) — Int/Div
Barclays Glob Fd Advises: IShares TR Dow Jones Sel Div Ind — Int/Div
Barclays Global Fd Advisrs: ISharesRussell 2000 Index Fd — Int/Div
PDR Services LLC: SPDR S&P ETF Trust {equity portfolio) — Int/Div
Morgan Stanley Bank Deposit Prog (for uninvested fds in KEOGH) — on line 43 pero.
End of New Combmed Account
Nanox Imaging Lid. — None — note 3. Pr. VII
Stone Isruventures LLC — None — Buy (add'l)
Softbank Technology Ventures, L.P {limited ptership int.) — None
rental meome from umit nm Kmgs County New York — Rent
Brokerage Account #4 (IRA mutual funds)
American Funds: American Fds Growth Fund of America (IRA) — Int/Div
Blackrock Inc.: Blackrock Equity Dividend Fund — Int/Div
Columbia Management Funds: Columbia Acorm Fund Class A (IRA) — Int/Div
Federated Funds: Federated Kaufman Fund Class A (IRA) — Int/Div
First Eagle Funds: First Eagle Global Fund Class A (IRA) — Int/Div
Loomis Sayles Funds: Loomis Sayles Bd Fd Class Retail (IRA) — Int
MFS: MFS Bond Fund A (IRA) — Int/Div
MFS: MFS Research Fund Class A (IRA) — Int/Div
Parnassus Investments: Parnasus Equity Income Fund — Int/Div
Pimco Funds: Pimco Real Return Fund Class A (IRA) — Int/Div — Sold (part) — sules on 7/22, 10024
Royce Special Equity Fund (IRA) — Int/Div
Victory Capital Management Inc.: Victory Estab. Value Fund — Int/Div
Virtus Funds: Virtus Multi-sector Short Term Bond Fun (IRA) — Int/Div
end of Account £4
Account #5
American Funds : AMCAP FUND CLASS $29C (college trust fund) — Int/Div — Sold — final sale on 1213
American Funds : American Mutual Fund Class $29C — Int/Div — Sold — final sale on 12/13
American Funds: Amer Cap Wrld Grwth & Inc (collge trust fd) — Int/Div — Sold — final sale on 1213
American Funds : Euro PacGrowth Fund of America Class $29C — Int/Div — Sold — final sale on 12/13
American Funds: Washington Mut Investrs Fd (college tr fd) — Int/Div — Sold — final sale on 1213
American Funds: The Income Fd of Amer {college tr fd) — Int/Div — Sold — final sale on 12/13
American Funds: The Bond Fund of Amer {college tr fd) — Int/Div — Sold — final sale on 1213
American Fds: Grwth Fd of Amer cl 529 {collge trust fd) — Int./y — Sold — final sale on 1213
Account 26
American Funds : AMCAP FUND CLASS 529C (college trust fund) — Int/Div
American Funds : American Mutual Fund Class $29C — Int/Div
American Funds: Amer Cap Wrld Grwth & Ine (college trust fd) — Int/Div
American Funds : EuroPac Growth Fund of America Class 529C — Inv
American Funds: Washington Mut Investrs Fd (college tr fd) — Int/Div
American Funds: The Income Fd of Amer {college tr fd) — Int/Div
American Funds: The Bond Fund of Amer (college tr fd) — Int/Div
American Fds: Grwth Fd of Amer cl 529¢ {collge trust fd) — Int/Div
Account £7
American Century Inv. : Centuury Heritage Funds — hy — Sold (part) — add'l sales. See note Hh
American Funds: Growth Fund of America Class F — hy — Sold (part) — add'l sales. See note Hn
Dreyfus: Dreyfus Small Company Value Fund — Int/Div — Sold (part) — add'l sules. See note H
First Eagle: FE Overseas Funds — Int/Div — Sold (part) — add'l sules. See note -
Franklin Templeton Investments: FT Mut Glob Disev Fd C1 A — Int/Div — Sold (part) — add'l sales. See note -
GAMCO Investors: Gabelli Equity Inv Fund C1 A — Int/Div — Sold (part) — add'l sales. See note a
MFS: MFS Value Fund Class A — None — Sold (part) — add'l sules. See note I
Oppenheimer Funds: Oppenheimer Dey Mrkts FACIL A — Int/Div — Sold (part) — add'l sales. See note Hh
Royce: Royee Special Equity Fund — Int/Div — Sold (part) — add'l sales. See note -
Virtus Funds: Virtus Contrarian Val Fund C1 1 — Int/Div — Sold (part) — note 8
Virtus Funds: Virtus Multi-Sector Short Term Bd Fund C1 — Int/Div — Sold (part) — note 8
WellsFargo: WF Ad vantage Growth Fund — Int — Sold (part) — add'l sales. See note Hh
Baring Global Credit Inc Opp Fund Class A. formerly Babson GI Cred 10F — Int/Div — Sold (part) — add'l sales. See note -
Baring Global Floating Rate Fund Class A. formerly Babson Glob F1 Rt — Int/Div — Sold (part) — add'l sales. See note a
John Hancock: John Hancock NY Tux Exmpt Fd Cl A — None — Sold (part) — add'l sules. See note -
IP MorganStrategic Inc. Fund — Int — Sold (part) — add'l sales. See note Hn
Looms Sayles Strategic Income Fund Class A — Int/Div — Sold (part) — add'l sales. See note Hh
Lord Abbett Total Return Fund Class A — Int/Div — Sold (part) — add'l sales. See note 6
Pimco Funds: Pimco Real Return Fd C1 A — None — Sold (part) — add'l sales. See note I]
Pimco Funds: Pimco Commodity Real Ret Strat Fd C1 A — Sold — note 10
BlackRock Funds: Blackrock Glob Alloctn Fd lnc A — Int/Div — Sold (part) — add'l sules. See note 9
Yackuman Asset Mgt: Yacktman Fund Service — Int/Div — Sold (part) — add'l sules. See note -
UBS Bank USA Deposit Acct (for uninvested funds) — Int/Div
end of account
Chase Bank accounts — Interest
Empower Retirement: Key Guaranteed Portfolio Fd — Int/Div — Buy (add'l) — 11, Pt VII
PowerMat Ltd — None
Wellsense, Inc. formerly Enhanced Surface Dynamics Ine. — None — Buy (add'l) — note 12, Part VII
SPDR S&P 500 ETF (SPY) in Morgan Stanley Roth IRA — Int/Div — Buy
Adjoc Investors LLC — None — Buy — placement
Spouse's income — 2016 — Self-employed lawyer (partner in law practice)
1. Part VII, lines 15-80 (New Combined Account). The accounts identified in prior disclosure reports as "Brokerage Account #2* and "Brokerage Account #3*

were combined on March 29, 2016 into one retirement account now called "New Combined Account.” For ease of comparison with the last year's report, | have

kept the listings in the same order as previously reported for the prior two accounts. For assets previously held in both of the prior accounts, the combined values

of such stocks are reported only once for the first listing in Brokerage Account #2; no value will be reported for the second listing of the sume stock for Brokerage

Account #3, but the line number for the first listing will be noted.

2. Part VII, lines 16, 44, 51. (Ace Ltd., Chubb Corp.). Ace Ltd. bought Chubb in January 2016, but kept the Chubb name. On 1/19/2016, the original shares

in Chubb were redeemed and shares in the new company (still named Chubb) were issued and cash paid, The shares in Ace were renamed to Chubb. 1 have

estimated the gain with respect to the cash distribution, which is reported under Chubb.

3. Part VIL, lines 36, 49. (PrairieSky Royalty Ltd., Canadian Natural Resources Limited). After Canadian Natural and PrairieSky completed the combination

of their royalty businesses on December 16, 2015, PrairieSky issued common shares to Canadian Natural and certain of its wholly-owned affiliates as partial

consideration for the sale of the royalty assets to PrairieSky, Canadian Nutural fater distributed the Prairiesky shares to Canadian Natural shareholders pursuant to

& Share Distribution Agreement.

4. Part VIL, lines 58, 74 (Health Care REIT, Welltower, Inc.). There was a name change from Health Care REIT to Welltower, Inc. on 9/30/2015, which |

improperly reported on the 2015 Financial Disclosure Report as an acquisition of Welltower,

5. Part VII, line 81. (Nanox Imaging Ltd.) As previously reported, mterests in Nunox are held i three separate brokerage accounts, two of which are for separate

trusts. The amount reported is for the combined value of the investments bused on the amount of the investment.

6. Part VII, lines 119, 120, 121, 123, 124, 125, 126, 130, 132, 139 and 139. Besides the reported sale on 3/31/2016 for each asset, six additional sales were made

on 4/26/2016, 6/14/2016, 6/23/2016, 8/23/2016, 10/25/2016 and 11/23/2016, The reported amount is the aggregate value of the sales and gains for cach, All

of the individual transactions involved amounts within value code "1" and most of the transactions were not reportable because they involved amounts less than

$1,000 and income of less than $200.

7. Part VII, lines 122, 127, 131, 132, 133, 134, 135, 136 and 140. Besides the reported sale on 3/31/2016 for each asset, seven additional sales were made on

4/26/2016, 5/2/2016, 6/14/2016, 6/23/2016, 8/23/2016, 1025/2016 and 11/23/2016. The reported amount is the aggregate value of the sales and gains for each,

All of the individual transactions involved amounts within value code J" and most of the transactions were not reportable because they involved amounts less

than $1,000 and income of less than $200.

8. Part VII, lines 128, 129, (Virtus Funds). | misreported the holdings in Virtus Funds in my 2014 and 2015 reports by failing to note as to Account #7 that Virtus

Mid-Cap Val Fund CI A was renamed Virtus Contrarian Fund in 2014 and that an additional Virtus fund (the Virtus Multi-Sector Short Term Bond Fund) had

been acquired on 6/5/2014 at a value range of "1." Although not reported in this account, the acquisition of the same Virtus had been reported as to a different

brokerage account.

Besides the reported sale on 3/31/2016, seven additional sules were made in 2016 for both accounts on 4/26/2016, 5/2/2016, 6/14/2016, 6/23/2016, 8/23/2016,

1072572016 and 11/23/2016, The reported amount is aggregate value of the sales and gains, The reported amount is the aggregate value of the sales and gains for

cach. All of the individual transactions involved amounts within value code “J” and most of the transactions were not reportable because they involved amounts

less than $1,000 and income of less than $200.

9. Part VIL line 137. (Pimco Real Return). Besides the reported sale on 1/22/16, five additional sales were made on 4/22/2016, 6/23/2016, 8/23/2016, 10/25/2016

and 11/23/2016, The reported amount is aggregate value of the sales and gains,

All of the individual transactions involved amounts within value code "1," with

most of the transactions involving amounts of less than $1,000 and income of less than $200,

10. Part VII, line 138 (Pimco Commodity Real Ret Strategy Fund). | fuiled to report the sale of this asset in earlier reports.

11. Part VII, line 144, (Empower Retirement). In addition to the reported purchase, two additional purchases were made on 11/25/15 and 12/9/15, both within

value code [J]. The amount reported on the form is the aggregate value of the investments made.

12. Part VII, line 146. (Wellsense, Inc.) As previously reported, interests are held in three separate brokerage accounts, two of which are for separate trusts. The

amounts reported are for the combined values of the investments.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/18579. Public record. Not legal advice.