You are on page 1of 23

CALIFORNIA FORM

cS:TiA'llEMENT OF ECONOMIC INTERESTS


: r.!S: POLl11Ch ic:Es coHr1ss1utcoV
ER PAGE

700

RE

FAIR P01 ll CAL PRAC-:'!CES cor.1. SS 01

ED

;: 2008

. r

2008 FEB I 9 AH 9: Ji3Public Document

Please type or print in ink

O'lt!A

FI

.i<.

(LAST)

ME

(FIRST)

GRILLI
MAILING ADDRESS
STREET
(May use business address)

(MIDDLE)

MARY
CITY

SANTA CLARA COUNTY SUPERIOR COURT


Division, Board, District, if applicable:

- If filing for multiple positions, list additional agency(ies)/


position(s): (Attach a separate sheet if necessary.)

-------

2. Jurisdiction of Office

City of

(Check at least one box)

SANTA CLARA

Schedule A-1

Schedule B

schedule attached

Schedule C

Iii Yes - schedule attached

Schedule D

0 Yes -

schedule attached

0 Yes -

schedule attached

Income, Loans, & Business Positions (Income 011ter than Gills


and Travel Paym&nts)

Schedule E

______________
_

-or-

Assuming Office/Initial

00

Annual: The period covered is January


through December 31, 2007.

Date:--

1, 2007,

-orThe period covered is --. through


December 31, 2007.

Leaving Office
(Check one)

No reportable interests on any schedule

(Check at least one box)

Date Left: -

The period covered is January


date of leaving office.

1, 2007.

5. Verification
I have used all reasonable diligence in preparing this
statement. I have reviewed this statement and to the best of
my knowledge the information contained herein and in any
attached schedules is true and complete.
I certify under penalty of perjury under the laws of the State
of California that the foregoing Is true and correct.

through the

-or0

0 Yes -

Real Property

Income - Travel Payments

3. Type of Statement

schedule attached

Schedule A-2
00 Yes - schedule attached
Investments (10% or greater Ownrsh/p)

0 Other -------

00 Yes -

Investments (Less than 10% Ownership)

Income - Gifts

_______________
_

Multi-County

1.-2_
...

I have disclosed interests on one or more of the


attached schedules:

SUPERIOR COURT JUDGE

of

- Total number of pages


including this cover page:

- Check applicable schedules or "No reportable


interests."

Your Position:

00 State
Iii County

95113

CA

4. Schedule Summary

Name of Office, Agency, or Court:

Position:

( 408 )
OPTIONAL: FAX I E-MAIL ADDRESS

ANN
STATE ZIP CODE

SANJOSE,
1. Office, Agency, or Court

DAYTIME TELEPHONE NUMBER

Date Signed

8
21., _0
2.,..
1 1..
_

______

_____
_

(monlh, day year)

The period covered is --. through


the date of leaving office.

00

Candidate

FPPC Form 700 (2007/2008)


FPPC Toll-Free Helpline: 866/ASKFPPC

CALIFORNIA JUDICIAL BRANCH NEWS SERVICE

CJBNS.ORG

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%}


Do not attach brokerage or fn
i ancial statements.

>

>

NAME OF BUSINESS ENTITY

KLA TENCOR
OF

BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

SEMICONDUCTOR EQUIPMENT

SEMICONDUCTOR EQUIPMENT

FAIR MARKET VALUE

FAIR MARKET VALUE

D s2.ooo s10.ooo
0 $100,001 $1,000,000

0 $10.001 - $100,000
0 Over $1,000,000

0 $2,000 $10,000
00 $100,001 - $1,000,000
-

NATURE OF INVESTMENT

00

Other _______________
(Desaibe)

IF APPLICABLE. LIST DATE:

>

LOWE'S COMPANIES

CONSUMER DISCRETIONARY
FAlR MARKET VALUE

D s10.001 s100.ooo
0 Over $1.000,000

00 $2,000

Other _______________
(Desaibe)

IF APPLICABLE. LIST DATE:

ACQUIRED

>

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

CONSUMER STAPLES

$10.000

!Kl $10,001 $100,000


0 Over $1,000,000

Stock

Other

(Desaibe)

Comments:

PROCTER & GAMBLE

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

FAIR MARKET VALUE

0 $2,000

IX] $10,001 - $100,000

$10,000

D s100.001 - s1.ooo.ooo

0 Over 51,000,000

Other ______________ _
(Describe)

IF APPLICABLE. UST

IF APPLICABLE, LIST DATE:

ACQUIRED

NAME OF BUSINESS ENTITY

IKJ Stock

______________
_

__JJll_

DISPOSED

NATURE OF INVESTMENT

NATURE OF INVESTMENT

00

__J

CONSUMER STAPLES

$1,000,000

Olher __ ____________ _
(Oesaibe)

ACQUIRED

>

PEPSICO

D s2.ooo

$100,000

Stock

_!_J.E._

DISPOSED

NAME OF BUSINESS ENTITY

0 $100,001

0 Over $1,000,000

IF APPLICABLE, LIST DATE:

__;.E._

FAIR MARKET VALUE

0 $10.001

$10,000

NATURE OF INVESTMENT

IK)

Stock

...!..J2:!.JJR_

0 $100,001 - $1,000,000

NATURE OF INVESTMENT

NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

CONSUMER DISCRETIONARY

00

DISPOSED

NIKE

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

__J..!fl_

ACQUIRED

>

NAME OF BUSINESS ENTITY

00 $2.000. $10,000
0 $100,001 $1,000,000

Other _______________
(Oosaibe)

__J__J._

DISPOSED

FAIR MARKET VALUE

Stock

IF APPLICABLE, LIST DATE:

__J__j._

ACQUIRED

Stock

__J__J_9L

00 $10 001 $100,000


0 Over $1,000,000

NATURE OF INVESTMENT

NAME OF BUSINESS ENTITY

ASYST TECHNOLOGY

GENERAL DESCRIPTION

00

700

FAlq POlIT CAL PRAc1cES CO'N111S!) ON

__J__J.E._
DISPOSED

JR_
ACQUIRED

DATE:

__j__J.JL
DISPOSED

------

FPPC Form 7DO (20D7/2D08) Sch. A-1


FPPC Toll-Free Helpline: 866/ASKFPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

NAME OF BUSINESS ENTITY


BP PLC
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

>

FAIR MARKET VALUE


0 $2,000 . $10.000
D s100.001 $1.000.000

00 $10,001

FAIR MARKET VALUE


D s2.ooo s10.ooo
0 $100,001. $1,000,000

$100,000

0 Olher

(Oesaibe)

ACQUIRED

DISPOSED

NAME OF BUSINESS ENTITY


CITIGROUP INC.
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

>

!RI $10,001 $100,000


0 Over $1,000,000

0 Other

NAME OF BUSINESS ENTITY


JP MORGAN CHASE & CO.
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

!Kl $10,001 $100,000


0 Over $1,000,000

NATURE OF INVESTMENT
00 Stock
0 Other

(Desctibe)

tF APPLICABLE. LIST DATE:


ACQUIRED

Comments:

>

__J__J_!E_
DISPOSED

NAME OF BUSINESS ENTITY


WELLS FARGO
GENERAL DESCRIPTION OF BUSINESS ACTIVITY
FINANCIALS
FAIR MARKET VALUE
D s2.ooo $10.000
D s100.001 $1.000.000

Ii] $10,001 $100,000


0 Over $1,000,000

NATURE OF INVESTMENT
00 Stock

______________
_

___jJl]_

(Oeseribel

ACQUIRED

DISPOSED

_
______________

.E.L.l.JJ!l....

__J__JJ!]_

FINANCIALS
FAIR MARKET VALUE
D s2.000 s10.ooo
D s100.001. s1.ooo.ooo

!XI $10,001 $100.000


0 Over $1,000,000

IF APPLICABLE, LIST DATE:

IF APPLICABLE. LIST DATE:

>

NAME OF BUSINESS ENTITY


GOLDMAN SACHS
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

NATURE OF INVESTMENT
00 Stock
(Describe)

ACQUIRED

DISPOSED

______________
_

_g_L.l.JJ!l....

__J__J

FINANCIALS
FAIR MARKET VALUE
0 $2,000 $10.000
D s100.001. s1.ooo.ooo

NATURE OF INVESTMENT
!Kl Stock
0 Other

(Oeseribe)

_R_J-1...
..J

__J__J

FINANCIALS
FAIR MARKET VALUE
D $2.ooo. s10.ooo
D s100.001 s1.ooo.ooo

_
______________

IF APPLICABLE. LIST DATE:

IF APPLICABLE, LIST DATE:

>

NATURE OF INVESTMENT
00 Stock

-------

ACQUIRED

!Kl $10,001 $100,000


0 Over $1,000,000

0 Over $1,000,000

NATURE OF INVESTMENT
!Kl Stock

__J__J...E_

NAME OF BUSINESS ENTITY


CHEVRON TEXICO
GENERAL DESCRIPTION OF BUSINESS ACTIVITY
ENERGY

ENERGY

0 Other

70 0

FAIR POLITICAL PRAC ..ICLS con.11ss:oN

Other

______________
_

(Oesaibe)

IF APPLICABLE. LIST DATE:

__J__JJl]_
DISPOSED

__J__JJ!]_
ACQUIRED

__1__1Jl]_
DISPOSED

------------

FPPC Form 700 (200712008) Sch. A-1


FPPC TollFree Helpline: 866/ASKFPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

>

NAME OF BUSINESS ENTITY

JOHNSON & JOHNSON

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

FAIR MARKET VALUE

HEALTH CARE
FAIR MARKET VALUE

$10,001 $100.000
0 Over $1.000,000

D s2.ooo - s10.ooo

0
0

s100.001. s1.ooo.ooo

NATURE OF INVESTMENT

Stock

!Kl

Other

Stock

IF APPLICABLE, LIST DATE:

__J__JJR_

__J__JJR_
DISPOSED

ACQUIRED

>

3M CO.

NAME

OF

DISPOSED

BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INDUSTRIALS

INDUSTRIALS

FAIR MARKET VALUE

FAIR MARKET VALUE

s10 ooo

D s100.001

IKl $10,001 $100,000


0 Over $1,000,000

s1.ooo.ooo

NATURE OF INVESTMENT

Stock

Other -------

(Oesaibe)

IF APPLICABLE. LIST DATE:

lij

Stock

her -------

IF APPLICABLE, LIST DATE:

_LJ.!!!_

--1--1.!!L

ACQUIRED

DISPOSED

ACQUIRED

>

NAME OF BUSINESS ENTITY

L-3 COMMUNICATIONS

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INDUSTRIALS

INDUSTRIALS
FAIR MARKET VALUE

00 $10.001
0

$100,000

Over $1,000.000

NATURE OF INVESTMENT

Other _______________
(Oescnbe)

IF APPLICABLE. LIST DATE:

ACQUIRED

!XI $10,001 - $100.000


0 Over $1,000,000

0 $2,000 $10,000
0 $100,001 - $1,000,000

NATURE OF INVESTMENT

Stock

__J__J..!R_

DISPOSED

NAME OF BUSINESS ENTITY

FAIR MARKET VALUE

__J__J_!R

UNITED PARCEL SERVICE

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

0 $2,000 $10,000
0 $100,001 $1,000,000

NATURE OF INVESTMENT

JR_

!Kl $10.001 $100,000


0 Over $1.000,000

D s2.ooo s10 ooo


D s100.001 s1.ooo.ooo

__J__/Jll_

GENERAL ELECTRIC

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

s2.ooo -

Over $1,000,000

(Oewibe)

NAME OF BUSINESS ENTITY

IKJ

$1,000,000

(Oesalbe)

ACQUIRED

IX! $10,001 - $'100,000

$10,000

HEAL TH CARE FUND

__j.2!1..J..JfL

>

$2,000

$100,001

NATURE OF INVESTMENT

IKJ

IF APPLICABLE. LIST DATE:

>

NAME OF BUSINESS ENTITY

HEAL TH CARE SELECT SECTOR

HEALTH CARE FUND

700

FAIR POLITICAt PRACTICES CO MMIS SIO

IKJ

Stock

Other _______________

IF APPLICABLE. LIST DATE:

__J__J.J]_
DISPOSED

__)JR_
ACQUIRED

--1--1..!L
DISPOSED

FPPC Form 700 (200712008) Sch. A1


FPPC Toll-Free Helpline: 866/ASK-FPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

>

NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION

OF

BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INFORMATION TECHNOLOGY

INFORMATION TECHNOLOGY

FAIR MARKET VALUE

FAIR MARKET VALUE

00 $2,000 - $10,000
D s100.001. s1.ooo.ooo

$100,000

NATURE OF INVESTMENT

[Kj

Stock

[]

Other

Other ______________
_
(Oesaibe)

______________
_

(Oe8Clibe)

IF APPLICABLE, LIST DATE:

IF APPLICABLE. LIST DATE:

___;....QL

_J_J
DISPOSED

ACQUIRED

0 Over $1,000,000

liJ stock

_J_JJ!._

IX! $10,001

D s2.ooo s10.ooo
D s100,001 s1.ooo.ooo

0 $10,001 $100,000
0 Over $1,000,000

NATURE OF INVESTMENT

_J___J

ACQUIRED

>

NAME OF BUSINESS ENTITY

DISPOSED

NAME OF BUSINESS ENTITY

E.I. DUPONT OE NEMOURS

AT&T

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

TELECOMMUNICATIONS

MATERIALS
FAIR MARKET VALUE

0 $100,001

FAlR MARKET VALUE

0 $2,000. $10,000

1K1 s10.001 s100.ooo


0 Over $1,000,000

D s2.ooo - s10.ooo

$1,000,000

(Describe)

_J___j_fil_
>

UTILITIES

D s2.ooo. s10.ooo
D s100.001 s1.ooo.ooo

00 $10,001

$100.000

0 Over $1,000.000

(Describe)

ACQUIRED

___J___!
_J
!!_
DISPOSED

NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

Iii $10,001 $100.000


0 Over $1,000,000

D s2.ooo s10.ooo
D s100,001 s1.ooo,ooo

NATURE OF INVESTMENT

______________
_

_J___j..._

(Ot8Clibel

FAIR MARKET VALUE

NATURE OF INVESTMENT

IF APPLICABLE, LIST

______________
_

BONDS

FAIR MARKET VALUE

Other

Other

FHLB

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

ACQUIRED

DOMINION RESOURCES

Stock

Stock

_!_J.B.J

DISPOSED

NAME OF BUSINESS ENTITY

IRJ

00

IF APPLICABLE, LIST DATE:

IF APPLICABLE. LIST DATE:

ACQUIRED

NATURE OF INVESTMENT

NATURE OF INVESTMENT

_g_J___j..._

00 $10,001 $100.000
D Over $1.000,000

D s100.001. s1.ooo.ooo

Iii stock

>

NAME OF BUSINESS ENTITY

YAHOO

MICROSOFT

>

70 0

FAIR PO.ITICA ... PRACT1C[S co.0111SS10N

DATE:

Stock

!RI

Other

BONDS

IF APPLICABLE, LIST DATE:

___J__.![!_
_J
DISPOSED

___J___J.![!_
ACQUIRED

___j_J..._
DISPOSED

FPPC Form 700 (2007/2008) Sch. A-1


FPPC Toll-Free Helpline: 866/ASK-FPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

NAME OF BUSINESS ENTITY

>

BLACKROCK INTL. BOND

PIMCO TOTAL RETURN

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GLOBAL BOND FUND

BOND FUND

FAIR MARKET VALUE


0 $2,000 $10,000

!RI $10,001 - $100,000

0 Over $1,000,000

NATURE OF INVESTMENT

D Stock

00 Other GLOBAL BOND FUND

00 Other BOND FUND

IF APPLICABLE. LIST DATE:

IF APPLICABLE. LIST DATE:

__J__J...E_
ACQUIRED

_J__J2_
ACQUIRED

(Desaibel

_J__J.L_
DISPOSED

NAME OF BUSINESS ENTITY

>

(Describe)

__J__J..]J_
DISPOSED

NAME OF BUSINESS ENTITY

PIMCO HIGH YIELD FUND

PIMCO DEV. LOCAL MKTS. FUND

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

BOND FUND

BOND FUND

FAIR MARKET VALUE


D s2.ooo - s10.ooo
0 $100,001 - $1,000.000

FAIR MARKET VALUE

D s2.ooo

00 $10,001 - $100,000
0 Over $1,000,000

0 Over $1,000,000

IXl Other BOND FUND

(Oesaibel

IF APPLICABLE. LIST DATE:


ACQUIRED

IX] $10,001 - $100,000

s10.ooo

NATURE OF INVESTMENT
0 Stock

IKJ Other BOND FUND

....!Q..J_!l_J..!L_

0 $100,001 - $1,000,000

NATURE OF INVESTMENT
0 Stock

>

IX! $10,001 - $100,000

D s100,001 - s1.ooo.ooo

0 Over $1,000,000

NATURE OF INVESTMENT
0 Stock

>

NAME OF BUSINESS ENTITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

FAIR MARKET VALUE


0 $2.000 - $10.000
0 $100,001 - $1.000,000

(Oesaibe)

IF APPLICABLE, LIST DATE:

-1--1..!L

_J_JJE.._
ACQUIRED

DISPOSED

NAME OF BUSINESS ENTITY

>

_J_J_!_
DISPOSED

NAME OF BUSINESS ENTITY

PIMCO EMERGING MARKETS FUND

DFA INrL. SMALL CAP VALUE

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

BOND FUND

STOCK FUND

FAIR MARKET VALUE


D s2.ooo - s10.ooo
D s100.001 - s1.ooo.ooo

FAIR MARKET VALUE


0 $2,000 - $10,000

IX! $10,001 - $100,000

0 Over $1,000,000

NATURE OF INVESTMENT

IKJ Other BOND FUND

D s10.001 - s100.ooo

lil $100,001 - $1,000,000

0 Over $1,000,000

NATE OF INVESTMENT
O Stock

D Stock

(OeSA:libe)

IF APPLICABLE, LIST DATE:

_J__J..!L_
ACQUIRED

70 0

FAIR POLIT:CAL PRACTICES CGrl'.1 SSION

__J__J..!L_
DISPOSED

IXl ether STOCK FUND


IF APPLICABLE, LIST

.JJ..J...ll.JJE.._
ACQUIRED

(Describe)

DATE:

__J_J..!L_
DISPOSED

FPPC Form 700 (2001/2008) Sch. A1


FPPC Toll-Free Helpline: 866/ASK-FPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

NAME OF BUSINESS ENTITY


DFA INT'L. VALUE PORTFOLIO
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

>

STOCK FUND

FAIR MARKET VALUE

S2.000 - $10,000

1K1 s100.001 - s1.ooo.ooo

0 Over $1.000,000

D s100.001 - s1.ooo,ooo

NATURE OF INVESTMENT

NATURE OF INVESTMENT
Stoel<

Other STOCK FUND

00 Other STOCK FUND

(Oesaibe)

IF APPLICABLE. LIST DATE:

......__]JL
ACQUIRED

>

..l!.J._

__J__J._
DISPOSED

STOCK FUND
FAIR MARKET VALUE

Iii

0 $2.000 - $10.000

ACQUIRED

>

$10,001 - $100,000

NATURE OF INVESTMENT

NAME OF BUSINESS ENTITY


DFA EMERGING MARKETS VALUE
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

Other STOCK FUND

IKI Other EMERGING MARKETS FUND

(Describe>

(Describe)

IF APPLICABLE. LIST DATE:

>

DISPOSED

NATURE OF INVESTMENT
Stoel<

0 Stock

ACQUIRED

__J__JJ}]_

EMERGING MARKETS FUND


FAIR MARKET VALUE
!Kl $10.001 - $100,000
D s2.ooo - s10.ooo
D s100.001 - s1.ooo.ooo
0 Over $1.000,000

0 Over $1,000,000

0 $100,001 - $1,000.000

__J__J..!lI._

(Oescnbe)

IF APPLICABLE, LIST DATE:

NAME OF BUSINESS ENTITY


HARBOR INTERNATIONAL INS.
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

!Kl

Iii $10,001 - $100.000


0 Over $1,000,000

0 $2,000 - $10,000

$10.001 - $100.000

0 Stoek
jg]

NAME OF BUSINESS ENTITY


DFA INT'L. VALUE PORTFOLIO
GENERAL DESCRIPTION OF BUSINESS ACTIVITY
STOCK FUND

FAIR MARKET VALUE

IF

--1--1..!lL

EMERGING MARKETS FUND


FAIR MARKET VALUE
Iii $10.001 - $100,000
0 $2,000 - $10,000
0 Over $1.000,000
0 $100,001 - $1,000,000
NATURE OF INVESTMENT

APPLICABLE. LIST DATE:

.11...!lL
..J
ACQUIRED

DISPOSED

NAME OF BUSINESS ENTITY


DFA EMERGING MARKETS VALUE
GENERAL DESCRIPTION OF BUSINESS ACTIVITY

>

--1--1...E....
DISPOSED

NAME OF BUSINESS ENTITY


DFA EMERGING MARKETS VALUE
GENERAL DESCRIPTION OF BUSINESS ACTIVITY
EMERGING MARKETS FUND
FAIR MARKET VALUE
Iii $10,001 - $100.000
D s2.ooo - srn.ooo
0 Over $1,000,000
0 $100,001 - $1,000,000
NATURE OF INVESTMENT
Stock

0 Stock
EMERGING MARKETS FUND
IKI Other

Iii Other EMERGING MARKETS FUND

IF APPLICABLE.

IF APPLICABLE. LIST DATE:

(DscnbeJ

LIST DATE:

-1!.J..!lL
ACQUIRED

700

FAIR POLITICAL PRAClCES cor.n:ss CN

--1--1..!lL
DISPOSED

(Describe)

...!QL..!l..JJlL
...

ACQUIRED

--1--1..!lL
DISPOSED

FPPC Fonn 700 (2007/2008) Sch. A1


FPPC Toll-Free Helpline: 8661ASK..fPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

l>

NAME OF BUSINESS ENTITY

>

FIRST EAGLE GOLD FUND-A

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GOLD FUND

GOLD FUND

FAIR MARKET VALUE

FAIR MARKET VALUE

!Kl $10,001

IX! $2,000

$100,000

0 Over $1,000,000

NATURE OF INVESTMENT

!Kl Other GOLD FUND

IF APPLICABLE. LIST DATE:


ACQUIRED

(Oescribt)

IF APPLICABLE, LIST DATE:

__;__;

_l_J_L;

DISPOSED

ACQUIRED

NAME OF BUSINESS ENTITY

>

__;__;
DISPOSED

NAME OF BUSINESS ENTITY

AMGEN

MORGAN STANLEY INS. REAL-A

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

HEALTH CARE

REAL ESTATE FUND

FAIR MARKET VALUE

FAIR MARKET VALUE

0 $2.000. $10,000
0 $100.001 $1,000,000

00

$10,001

$100,000

NATURE OF INVESTMENT
Stock

NATURE OF INVESTMENT

D 0t11er

l!'l

_
______________

IF APPLICABLE. LIST DATE:


ACQUIRED

0 Over $1,000,000

IKJ Stock

__;__;..!!!__

IRl $10,001

D s2.ooo s10.ooo
0 $100,001 $1.000,000

$100,000

D Over $1,000,000

>

NATURE OF INVESTMENT

(Oesaibe)

__;__;

0 $10,001 $100,000
0 Over $1,000,000

$10,000

0 Stock

GOLD FUND

Other

0 $100,001 . $1,000,000

D stock

>

NAME OF BUSINESS ENTITY

FIRST EAGLE GOLD FUND-A

0 $2,000 $10,000
0 $100,001 $1.000.000

Olher REAL ESTATE FUND

(Describe)

IF APPLICABLE, LIST DATE:

_LJ...ll.JJ!L

2-J...1i.JJ!]_
DISPOSED

ACQUIRED

NAME OF BUSINESS ENTITY

>

__;__;
DISPOSED

NAME OF BUSlNESS ENTITY

LAUDUS ROSENBERG VALUE

PFIZER

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

ABSOLUTE RETURN FUND

HEALTH CARE

FAIR MARKET VALUE

FAIR MARKET VALUE

$2,000

IX! $10.001

$10,000

0 $100,001

$1,000,000

$100.000

0 Over $1,000.000

NATURE OF INVESTMENT
Other

(Oesaibe)

IF APPLICABLE. LIST DATE:


ACQUIRED

NATURE OF INVESTMENT
Stock

ABSOLUTE RETURN FUND

__;__;._

0 $10,001 $100.000
0 Over 51,000,000

Ii] $2,000 s 10,000


D s100.001 s1.ooo.ooo
IKJ

0 Stock
IRl

7 00

FAIR POLII !CAL PRACTICES CQ',1MISSION

D Other

_
______________

(Describe)

IF APPLICABLE, LIST DATE:

_..!!__J_!Q_jJ!]_
DISPOSED

_J__;J!]_
ACQUIRED

......L!....!.i.JJ!L..
DISPOSED

FPPC Form 700 (2007/2008) Sch. A-1


FPPC Toll-Free Helpline: 866/ASKFPPC

CALIFORNIA FORM

SCHEDULE A-1
Investments

Name

Stocks, Bonds, and Other Interests

MARY ANN GRILLI

(Ownership Interest is Less Than 10%)


Do not attach brokerage or financial statements.

>

NAME OF BUSINESS ENTITY

>

MORGAN STANLEY INS. US REAL-A

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

INTL. DEVELOPOED MARKETS FUND

REAL ESTATE FUND

FAIR MARKET VALUE

FAIR MARKET VALUE

D s10.001 s100.ooo
D 0ver s1.ooo.ooo

s2.ooo. s10.ooo

D s2.ooo

!Kl $100.001. $1.000.000


NATURE OF INVESTMENT

Iii

Other

Iii

(Describe)

IF APPLICABLE. LIST DATE:

$100.000

0 Over $1.000,000

0t11er

REAL ESTATE FUND

(Describe)

IF APPLICABLE. LIST DATE:

....LJ.1...1..J[L

__J__j..J[l_
ACQUIRED

DISPOSED

NAME OF BUSINESS ENTITY

>

...RJ_gL_
DISPOSED

NAME OF BUSINESS ENTITY

MORGAN STANLEY INT'L. REAL ESTATE

THERMAWAVE

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

REAL ESTATE FUND

SEMICONDUCTOR EQUIPMENT

FAIR MARKET VALUE

FAIR MARKET VALUE

D s2.ooo. s10.ooo
D s100.001 s1.ooo.ooo

Iii $10.001 $100.000


0 Over $1,000,000

NATURE OF INVESTMENT

Iii Stock

REAL ESTATE FUND

(Describe)

IF APPLICABLE. LIST DATE:

__J__J.!E_
ACQUIRED

NAME OF BUSINESS ENTITY

>

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

D s10.001

(Describe)

...l.__j
....J
_J_
DISPOSED

NAME OF BUSINESS ENTITY


GENERAL DESCRIPTION OF BUSINESS ACTIVITY

FAIR MARKET VALUE

s100.ooo

0 Over $1,000,000

0 $10.001 $100.000
0 Over $1.000,000

D s2.ooo - s10.ooo

D s100.001 - s1.ooo.ooo
NATURE OF INVESTMENT

NATURE OF INVESTMENT
Stock

______________
_

__J__J.E!__
ACQUIRED

DISPOSED

FAIR MARKET VALUE

Other

IF APPLICABLE, LIST DATE:

...1.J_!!JJg_

D s2.ooo. s10.ooo
D s100.001 s1.ooo.ooo

NATURE OF INVESTMENT

!Kl 0t11er

0 $10.001 $100.000
0 Over $1,000.000

00 $2.000. $10.000
D s100.001 s1.ooo.ooo

O Stock

>

!Kl $10,001

s10.ooo

NATURE OF INVESTMENT
0 Stock

INTL. DEVEOPED MARKETS FUND

__J__J_!rr_
ACQUIRED

D s100.001 . s1.ooo.ooo

D Stock

>

NAME OF BUSINESS ENTITY

MORGAN STANLEY INSTL. EQ.-A

D Stock

0t11er _______________

(OescnbeJ

D Othec

------

IF APPLICABLE, LIST DATE:

IF APPLICABLE. UST DATE:

__j__j..J[l_

__J__J.E!__
ACQUIRED

ACQUIRED

70 0

FAIR POLITICAL PRACTICES co.MISSION

__J__J.E!__
DISPOSED

__j__j._
DISPOSED

FPPC Form 700 (2007/2008) Sch. A-1


FPPC Toll-Free Helpline: 866/ASKFPPC

CALIFORNIA JUDICIAL BRANCH NEWS SERVICE

SCHEDULE A-2

CJBNS.ORG

Investments, Income, and Assets

FAIR POl'IC/\L PRAC11CES COMMISSIO>l

Name

of Business Entities/Trusts
(Ownership Interest is 10% or Greater)
>

> 1

1 BUSINESS ENTITY OR TRUST

GRILLI REVOCABLE TRUST

700

CALIFORNIA FORM

MARY ANN GRILLI

BUSINESS ENTITY OR lRUST

JOHN GRILLI ROLLOVER IRA-FIDELITY INV.

Name

Name

191 N. FIRST ST., SAN JOSE, CA


Address
Check one
Ill Trust, go to 2
0 Business Entity, complete the box, then go to 2

191 N. FIRST ST., SAN JOSE, CA


Address
Checll one
O Trust. go to 2
O Business Enlity, complete lh11 box, then go to 2

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

GENERAL DESCRIPTION OF BUSINESS ACTIVITY

IF APPLICABLE, LIST DATE:

FAIR M ARKET VALUE

IF APPLICABLE. LIST DATE:

__J__J 07
ACQUIRED

B
0

__J __J 07
ACQUIRED

FAIR MARKET VALUE


$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000

__J__J 07

DISPOSED

Over $1,000,000
0 ------
Other

YOUR BUSINESS POSITION -----IOE" TIFY THI: GROSS !\COM!:: RECEIVl:D (INCLUDE YOUR PRO RAIA

$0. $499
D ssoo - s1.ooo
D s1.001 - s10.ooo

$100,001 - $1.000,000

__/__/. 07

DISPOSED

.'.>

--::
...,.-

---

---

Olher

YOUR BUSINESS POSITION -----> 2

IDEmrY THE GROSS !!'.;COME RECEIVED (INCLUDl YOUR PRO RATA

D s10.001 - s100.ooo
D OVER $100,000

0 $0 - $499
0 $500. $1,000
0 $1,001 - $10,000

0 $10,001 - $100,000

D OVER $100,000

INCOME OF $10,000 OR MOR[ (aH.ich

> J UST ltlL NAME or LACH REPORTABLE SINGLL SOURCE Of

INCOME OF $10,000 OR MORE {ln.1,n

'..C'ur,!1 :.hn1:1 11 nC'Cl'S'>,f))

INVESTMENTS ANO INTER!-STS IN REAL PROPERTY Hl::LD B_'r'. THE


BUSINESS ENTITY OR TRUST

Check one box:


IRJINVESTMENT

$10,001 - $100,000

SHARE OF THE GROSS INCOME !.0 THE ENTITY/TRUST)

J. LIST THE NAME OF EACH REPORTABLE: SINGLE SOURCE OF

> 4

$10,000

NATURE OF INVESTMENT
0 Sole Proprietorship 0 Partnership

SHARE Of THE GROSS INCOME IQ THE: ENTITY/TRUST)

>

0 Over $1,000,000

NATURE OF INVESTMENT
0 Sole Proprietol$hip 0 Partnership

> 2

$2,000

> 4

r.cpJrlt .,11"1 ,, n..c-;o;J-yl

INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD BY THE


BUSl'.lESS ENTITY

Check one box:


!ii INVESTMENT

Q REAL PROPERTY

.'.l

OR lRUST
Q REAL PROPERTY

SEE SCHEDULE A1
Name d Business Enlity 2!
Street Address or Assessor's Parcel Number of Real Property

JOHN GRILLI ROLLOVER IRA


Name of Business Entity l2I:
Street Address or Assessor's Parcel Number of Real Property

Descriplion of Business Activity SI!


City or Other Precise Location of Real Property

Description of Business

ROLL OVER IRA

IF APPLICABLE, LIST DATE

FAIR MARKET VALUE


0 $2,000 - $10.000
0 $10,001 - $100,000
$100,001 - $1,000,000
0 Over $1.000.000

__J__J 07

ACQUIRED

NATURE OF INTEREST
0 Property Ownership/Deed of Trust
O Leasehold

Adivity ll
City or Other Precise Location of Real Property

0 Stock

__J__J 07

DISPOSED

0 Pwtnership

T RU ST
IX! Other _
__ _ _ _____

Yrs, remaining

0 Check box if additional schedules reporting investments or real property


are attached

FAIR MARKET VALUE


0 $2.000 - $10,000
0 $10,001 - $100,000
IXl $100,001 - $1,000,000
0 Over $1,000.000

IF APPLICABLE. LIST DATE.


__J__J 07
ACQUIRED

NATURE OF INTEREST
Q Property Ownership/Deed of Trust
0 Leasehold

Yrs. reminir\ij

0 Stock

__/__/. 07

DISPOSED

Q Partnership

!Kl Other ROLL OVER IRA

0 Check box if additional schedules reporting investments or real property


are attached

Comments=-------

FPPC Form 700 (2007/2008) Sch. A-2


FPPC Toll.free Helpline: 866/ASK..fPPC

SOCIOECONOMIC BIAS IN THE JUDICIARY


MICHELE BENEDETTO NEITZ*
ABSTRACT
Judges hold a prestigious place in our judicial system, and they earn double the
income of the average American household.
How does the privileged
socioeconomic status of judges affect their decisions on the bench? This Article
examines the ethical implications of what Ninth Circuit Chief Judge Alex Kozinski
recently called the unselfconscious cultural elitism of judges.** This elitism can
manifest as implicit socioeconomic bias.
Despite the attention paid to income inequality, implicit bias research and
judicial bias, no other scholar to date has fully examined the ramifications of implicit
socioeconomic bias on the bench. The Article explains that socioeconomic bias may
be more obscure than other forms of bias, but its impact on judicial decision-making
processes can create very real harm for disadvantaged populations. The Article
reviews social science studies confirming that implicit bias can be prevalent even in
people who profess to hold no explicit prejudices. Thus, even those judges who
believe their wealthy backgrounds play no role in their judicial deliberations may be
influenced by implicit socioeconomic bias. The Article verifies the existence of
implicit socioeconomic bias on the part of judges through examination of recent
Fourth Amendment and child custody cases. These cases reveal that judges can and
do favor wealthy litigants over those living in poverty, with significant negative
consequences for low-income people.
The Article contends that the American Bar Association (ABA) Model Code of
Judicial Conduct (the Code), the document designed to regulate the behavior of
judges, fails to effectively eliminate implicit socioeconomic bias. The Article
recommends innovative revisions designed to strengthen the Codes prohibition
against bias, and suggests improvements to judicial training materials in this context.
These changes will serve to increase judicial awareness of the potential for implicit
socioeconomic bias in their judicial decisions, and will bring this issue to the
forefront of the judicial agenda.

Professor of Law, Golden Gate University School of Law, San Francisco, California.
The author served as a law clerk for the Honorable Napoleon A. Jones, Jr., in the Southern
District of California. I am grateful to Professor Deborah L. Rhode, Professor Eric C.
Christiansen, Professor Kathleen Morris and Jennifer Pesetsky for their thoughtful comments
on earlier drafts. I appreciate the assistance of research assistants Sharon Alkire and Richard
Hullinger. This Article is dedicated to Wiley Neitz.
** United States v. Pineda-Moreno, 617 F.3d 1120, 1123 (9th Cir. 2010) (Kozinski, C.J.,
dissenting).

137

CALIFORNIA JUDICIAL BRANCH NEWS SERVICE


Published by EngagedScholarship@CSU, 2013

CJBNS.ORG
1

138

CLEVELAND STATE LAW REVIEW

[Vol. 61:137

I. INTRODUCTION .................................................................... 138


II. THE CHALLENGES OF IDENTIFYING IMPLICIT
SOCIOECONOMIC BIAS ......................................................... 142
A. The Economic Status of Judges ................................... 142
B. Socioeconomic Bias vs. Class Privilege ...................... 143
C. The Challenge of Identifying Socioeconomic Bias ...... 144
1. The ABA Model Code of Judicial
Conducts Prohibition of Socioeconomic Bias .... 144
2. The Unique Nature of Socioeconomic Bias ......... 146
3. The Challenge of Identifying Implicit Bias .......... 149
i. The Implicit Association Test ........................ 150
ii. How Can We Measure Implicit
Socioeconomic Bias? .................................... 152
III. IMPLICIT SOCIOECONOMIC BIAS IN FOURTH
AMENDMENT AND CHILD CUSTODY CASES ......................... 154
A. Implicit Socioeconomic Bias in Fourth
Amendment Cases ........................................................ 154
B. Implicit Socioeconomic Bias and Child
Custody Determinations .............................................. 158
IV. PROPOSED RECOMMENDATIONS .......................................... 161
A. Judicial Discipline: An Ineffective Solution ................ 161
B. Clarifying the ABA Model Code of Judicial
Conduct........................................................................ 162
C. Judicial Trainings ........................................................ 163
V. CONCLUSION ....................................................................... 165
I. INTRODUCTION
In the early 1970s, Robert William Kras asked the United States Supreme Court
to allow him to proceed in bankruptcy court without paying the requisite filing fees.1
Mr. Kras lived in a small apartment with multiple extended family members and his
younger child was hospitalized with cystic fibrosis.2 Mr. Kras had been unemployed
for several years, after losing his job with a life insurance company when the
premiums he had collected were stolen out of his home.3 His wife had to give up her
employment due to her pregnancy, and she was focused on caring for their ill son.
The family lived on public assistance benefits and had no real assets.4

United States v. Kras, 409 U.S. 434, 437 (1973).

Id.

Id.

Id. at 438.

http://engagedscholarship.csuohio.edu/clevstlrev/vol61/iss1/6

CALIFORNIA JUDICIAL BRANCH NEWS SERVICE

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31

CJBNS.ORG

CALIFORNIA CODE OF JUDICIAL ETHICS

Amended by the Supreme Court of California effective August, 19, 2015; adopted
effective January 15, 1996; previously amended March 4, 1999, December 13, 2000,
December 30, 2002, June 18, 2003, December 22, 2003, January 1, 2005, June 1, 2005,
July 1, 2006, January 1, 2007, January 1, 2008, April 29, 2009, January 1, 2013, and
January 21, 2015.
Preface
Preamble
Terminology
Canon 1. A judge shall uphold the integrity and independence of the judiciary.
Canon 2. A judge shall avoid impropriety and the appearance of impropriety in
all of the judges activities.
Canon 3. A judge shall perform the duties of judicial office impartially, competently,
and diligently.
Canon 4. A judge shall so conduct the judges quasi-judicial and extrajudicial
activities as to minimize the risk of conflict with judicial obligations.
Canon 5. A judge or candidate for judicial office shall not engage in political or
campaign activity that is inconsistent with the independence, integrity, or impartiality
of the judiciary.
Canon 6. Compliance with the Code of Judicial Ethics.

CANON 3
A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL
OFFICE IMPARTIALLY AND DILIGENTLY
A. Judicial Duties in General
All of the judicial duties prescribed by law* shall take precedence over
all other activities of every judge. In the performance of these duties, the
following standards apply.
B. Adjudicative Responsibilities
(1) A judge shall hear and decide all matters assigned to the judge
except those in which he or she is disqualified.
ADVISORY COMMITTEE COMMENTARY
Canon 3B(1) is based upon the affirmative obligation contained in the
Code of Civil Procedure.
(2) A judge shall be faithful to the law* regardless of partisan interests,
public clamor, or fear of criticism, and shall maintain professional
competence in the law.*
(3) A judge shall require* order and decorum in proceedings before
the judge.
(4) A judge shall be patient, dignified, and courteous to litigants,
jurors, witnesses, lawyers, and others with whom the judge deals in an official
capacity, and shall require* similar conduct of lawyers and of all court staff
and personnel* under the judge's direction and control.
(5) A judge shall perform judicial duties without bias or prejudice. A
judge shall not, in the performance of judicial duties, engage in speech,
gestures, or other conduct that would reasonably be perceived as (1) bias or
prejudice, including but not limited to bias or prejudice based upon race, sex,
religion, national origin, disability, age, sexual orientation, or socioeconomic
status, or (2) sexual harassment.
(Canon 3B (5) amended effective December 22, 2003.)
(6) A judge shall require* lawyers in proceedings before the judge to
refrain from manifesting, by words or conduct, bias or prejudice based upon
11

CANON 3
A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL
OFFICE IMPARTIALLY AND DILIGENTLY
A. Judicial Duties in General
All of the judicial duties prescribed by law* shall take precedence over
all other activities of every judge. In the performance of these duties, the
following standards apply.
B. Adjudicative Responsibilities
(1) A judge shall hear and decide all matters assigned to the judge
except those in which he or she is disqualified.
ADVISORY COMMITTEE COMMENTARY
Canon 3B(1) is based upon the affirmative obligation contained in the
Code of Civil Procedure.
(2) A judge shall be faithful to the law* regardless of partisan interests,
public clamor, or fear of criticism, and shall maintain professional
competence in the law.*
(3) A judge shall require* order and decorum in proceedings before
the judge.
(4) A judge shall be patient, dignified, and courteous to litigants,
jurors, witnesses, lawyers, and others with whom the judge deals in an official
capacity, and shall require* similar conduct of lawyers and of all court staff
and personnel* under the judge's direction and control.
(5) A judge shall perform judicial duties without bias or prejudice. A
judge shall not, in the performance of judicial duties, engage in speech,
gestures, or other conduct that would reasonably be perceived as (1) bias or
prejudice, including but not limited to bias or prejudice based upon race, sex,
religion, national origin, disability, age, sexual orientation, or socioeconomic
status, or (2) sexual harassment.
(Canon 3B (5) amended effective December 22, 2003.)
(6) A judge shall require* lawyers in proceedings before the judge to
refrain from manifesting, by words or conduct, bias or prejudice based upon
11

CANON 3
A JUDGE SHALL PERFORM THE DUTIES OF JUDICIAL
OFFICE IMPARTIALLY AND DILIGENTLY
A. Judicial Duties in General
All of the judicial duties prescribed by law* shall take precedence over
all other activities of every judge. In the performance of these duties, the
following standards apply.
B. Adjudicative Responsibilities
(1) A judge shall hear and decide all matters assigned to the judge
except those in which he or she is disqualified.
ADVISORY COMMITTEE COMMENTARY
Canon 3B(1) is based upon the affirmative obligation contained in the
Code of Civil Procedure.
(2) A judge shall be faithful to the law* regardless of partisan interests,
public clamor, or fear of criticism, and shall maintain professional
competence in the law.*
(3) A judge shall require* order and decorum in proceedings before
the judge.
(4) A judge shall be patient, dignified, and courteous to litigants,
jurors, witnesses, lawyers, and others with whom the judge deals in an official
capacity, and shall require* similar conduct of lawyers and of all court staff
and personnel* under the judge's direction and control.
(5) A judge shall perform judicial duties without bias or prejudice. A
judge shall not, in the performance of judicial duties, engage in speech,
gestures, or other conduct that would reasonably be perceived as (1) bias or
prejudice, including but not limited to bias or prejudice based upon race, sex,
religion, national origin, disability, age, sexual orientation, or socioeconomic
status, or (2) sexual harassment.
(Canon 3B (5) amended effective December 22, 2003.)
(6) A judge shall require* lawyers in proceedings before the judge to
refrain from manifesting, by words or conduct, bias or prejudice based upon
11

race, sex, religion, national origin, disability, age, sexual orientation, or


socioeconomic status against parties, witnesses, counsel, or others. This
Canon does not preclude legitimate advocacy when race, sex, religion,
national origin, disability, age, sexual orientation, socioeconomic status or
other similar factors are issues in the proceeding.
(7) A judge shall accord to every person who has a legal interest in a
proceeding, or that person's lawyer, full right to be heard according to law.*
A judge shall not initiate, permit, or consider ex parte communications, or
consider other communications made to the judge outside the presence of the
parties concerning a pending or impending proceeding, except as follows:
(a) A judge may obtain the advice of a disinterested expert on the law*
applicable to a proceeding before the judge if the judge gives notice to the
parties of the person consulted and the substance of the advice, and affords
the parties reasonable opportunity to respond.
(b) A judge may consult with court personnel* whose function is to aid
the judge in carrying out the judge's adjudicative responsibilities or with
other judges.
(c) A judge may, with the consent of the parties, confer separately with
the parties and their lawyers in an effort to mediate or settle matters pending
before the judge.
(d) A judge may initiate ex parte communications, where
circumstances require, for scheduling, administrative purposes, or
emergencies that do not deal with substantive matters provided:
(i) the judge reasonably believes that no party will gain a
procedural or tactical advantage as a result of the ex parte communication,
and
(ii) the judge makes provision promptly to notify all other
parties of the substance of the ex parte communication and allows an
opportunity to respond.
(e) A judge may initiate or consider any ex parte communication when
expressly authorized by law* to do so.

12

(9) A judge shall not make any public comment about a pending or
impending proceeding in any court, and shall not make any nonpublic
comment that might substantially interfere with a fair trial or hearing. The
judge shall require* similar abstention on the part of court personnel*
subject to the judge's direction and control. This Canon does not prohibit
judges from making statements in the course of their official duties or from
explaining for public information the procedures of the court, and does not
apply to proceedings in which the judge is a litigant in a personal capacity.
Other than cases in which the judge has personally participated, this Canon
does not prohibit judges from discussing in legal education programs and
materials, cases and issues pending in appellate courts. This educational
exemption does not apply to cases over which the judge has presided or to
comments or discussions that might interfere with a fair hearing of the case.
ADVISORY COMMITTEE COMMENTARY
The requirement that judges abstain from public comment regarding a
pending or impending proceeding continues during any appellate process and
until final disposition. This Canon does not prohibit a judge from commenting on
proceedings in which the judge is a litigant in a personal capacity, but in cases
such as a writ of mandamus where the judge is a litigant in an official capacity,
the judge must not comment publicly.
(10) A judge shall not commend or criticize jurors for their verdict
other than in a court order or opinion in a proceeding, but may express
appreciation to jurors for their service to the judicial system and the
community.
ADVISORY COMMITTEE COMMENTARY
Commending
or criticizing jurors for their verdict may imply a judicial
expectation in future cases and may impair a juror's ability to be fair and
impartial in a subsequent case.
(11) A judge shall not disclose or use, for any purpose unrelated to
judicial duties, nonpublic information* acquired in a judicial capacity.
ADVISORY COMMITTEE COMMENTARY
This Canon makes it clear that judges cannot make use of information from
affidavits, jury results, or court rulings, before they become public information, in
order to gain a personal advantage.
C. Administrative Responsibilities

14

(1) A judge shall diligently discharge the judge's administrative


responsibilities impartially, on the basis of merit, without bias or prejudice,
free of conflict of interest, and in a manner that promotes public confidence
in the integrity of the judiciary. A judge shall maintain professional
competence in judicial administration, and shall cooperate with other judges
and court officials in the administration of court business.
ADVISORY COMMITTEE COMMENTARY
In considering what constitutes a conflict of interest under this Canon, a
judge should be informed by Code of Civil Procedure section 170.1(a)(6).
(Canon 3C(1) amended effective April 29, 2009.)
(2) A judge shall require* staff and court personnel* under the judge's
direction and control to observe appropriate standards of conduct and to
refrain from manifesting bias or prejudice based upon race, sex, religion,
national origin, disability, age, sexual orientation, or socioeconomic status in
the performance of their official duties.
(3) A judge with supervisory authority for the judicial performance of
other judges shall take reasonable measures to ensure the prompt disposition
of matters before them and the proper performance of their other judicial
responsibilities.
(4) A judge shall not make unnecessary court appointments. A judge
shall exercise the power of appointment impartially and on the basis of merit.
A judge shall avoid nepotism and favoritism. A judge shall not approve
compensation of appointees above the reasonable value of services rendered.
ADVISORY COMMITTEE COMMENTARY
Appointees of a judge include assigned counsel, officials such as referees,
commissioners, special masters, receivers, and guardians, and personnel such as
clerks, secretaries, court reporters, court interpreters, and bailiffs. Consent by the
parties to an appointment or an award of compensation does not relieve the judge
of the obligation prescribed by Canon 3C(4).
(5) A judge shall perform administrative duties without bias or
prejudice. A judge shall not, in the performance of administrative duties,
engage in speech, gestures, or other conduct that would reasonably be
perceived as (1) bias or prejudice, including but not limited to bias or
prejudice based upon race, sex, religion, national origin, disability, age, sexual
orientation, or socioeconomic status, or (2) sexual harassment.
15

(1) A judge shall diligently discharge the judge's administrative


responsibilities impartially, on the basis of merit, without bias or prejudice,
free of conflict of interest, and in a manner that promotes public confidence
in the integrity of the judiciary. A judge shall maintain professional
competence in judicial administration, and shall cooperate with other judges
and court officials in the administration of court business.
ADVISORY COMMITTEE COMMENTARY
In considering what constitutes a conflict of interest under this Canon, a
judge should be informed by Code of Civil Procedure section 170.1(a)(6).
(Canon 3C(1) amended effective April 29, 2009.)
(2) A judge shall require* staff and court personnel* under the judge's
direction and control to observe appropriate standards of conduct and to
refrain from manifesting bias or prejudice based upon race, sex, religion,
national origin, disability, age, sexual orientation, or socioeconomic status in
the performance of their official duties.
(3) A judge with supervisory authority for the judicial performance of
other judges shall take reasonable measures to ensure the prompt disposition
of matters before them and the proper performance of their other judicial
responsibilities.
(4) A judge shall not make unnecessary court appointments. A judge
shall exercise the power of appointment impartially and on the basis of merit.
A judge shall avoid nepotism and favoritism. A judge shall not approve
compensation of appointees above the reasonable value of services rendered.
ADVISORY COMMITTEE COMMENTARY
Appointees of a judge include assigned counsel, officials such as referees,
commissioners, special masters, receivers, and guardians, and personnel such as
clerks, secretaries, court reporters, court interpreters, and bailiffs. Consent by the
parties to an appointment or an award of compensation does not relieve the judge
of the obligation prescribed by Canon 3C(4).
(5) A judge shall perform administrative duties without bias or
prejudice. A judge shall not, in the performance of administrative duties,
engage in speech, gestures, or other conduct that would reasonably be
perceived as (1) bias or prejudice, including but not limited to bias or
prejudice based upon race, sex, religion, national origin, disability, age, sexual
orientation, or socioeconomic status, or (2) sexual harassment.
15

JUDGE
MARY ANN 5. GRILLI
SUPERI OR COURT O F CALI FORN IA
COUNTY OF SAN TA CLARA
f.B0 FiOiii
l Liiili E

all the help she received from court

........
..
..

staff. She hopes to adapt some proce

....

dures in probate court when she returns

to family court, such as having a court


staff person who takes "notes" on each

Elected judge of Santa

case so, in ongoing proceedings, the

Clara

judge knows the history of what has

County Superior Court, 1996; Superior


Court commissioner,

happened before.

1993-96; sole

"It's a very varied calendar," Grilli

practitioner, 1987-93; attorney in part

said

nership with John Miller and Jerry

of her

current

assignment.

It

includes not just traditional probate

Berg,1973-87

work and conservatorships but also

Age 62

adoptions and guardianships.


"There are a lot more lawyers than

By Craig Anderson

in family court," she said.

Daily Journal Staff Writer

A native of Ithaca, N.Y., Grilli

SAN JOSE - Santa Clara County

grew up in Baton Rouge, La., the

Superior Court Judge Mary Ann Grilli,


a veteran of family court both as

daughter of a Louisiana State University

an

professor of animal breeding and genet

attorney and a judge, will be heading

ics. She was taking pre-med classes at

back there in January after spending

the University of California, Berkeley,

two-and-a-half years handling probate

when she decided it was not for her and

matters.
Probate lawyers say they are going
to miss her.
"She is everything a judge should
be," said Michael Desmarais, a veteran

that the law interested her a lot more.


Grilli

success to her experience in the rough

majored

in

criminology,

and-tumble atmosphere of family court,

graduating in 1968, the same year she

where parents wage emotional battles

married John Grilli, whom she met

Los Gatos attorney. "She has empathy,

over money and their children, often

when they were working as switchboard

patience

without lawyers.

operators at their dormitory.

and

intelligence.

She

has

shown me enormous patience and has

In conservatorship cases, parents

She attended night classes at Santa

actually tried to lead me into realizing

often disagree about how to deal with

Clara University School of Law and had

that I don't know it all in my area of spe

their young adult children with disabili

two children. The night program lasted

cialty. And she has done so very tactful

ties - a situation not dissimilar from

four years, and Grilli graduated in 1973.

arguments that rage in family court

She worked part-time for three years

ly."
Desmarais said probate attorneys

between divorcing spouses. In other

until starting full-time in 1976, working

tried, without success, to persuade the

cases, it is the parent who needs care,

with John Miller and Jerry Berg at a

court to keep her on the probate calen

with children and new spouses at odds.

family and criminal law firm where she

dar, which speaks to how well she has

"The judge's experience in family

managed to overcome her own limited

law gives her substantial sensitivity in

experience in that area of the law.

the conservatorship field," Stem said.

became a partner in the early 1980s.


Her two children are adults now,
and Grilli has six grandchildren.

"When we have a judge who has

After a career in family court, as a

Grilli specialized in family law,

not done probate before, there is always

lawyer and then a commissioner and

and started her own practice in Palo

concern about how that person will

finally a judge, Grilli said she is happy

Alto in 1987. Six years later, the judges

work out," said Palo Alto attorney Peter

to have made the switch to probate

of Santa Clara County Superior Court

Stern. "I think things have worked out

court. But, she adds, "I'm happy to be

appointed her a commissioner. She han

very well."

going back."

dled family law, child support and


domestic violence.

Stern and other lawyers say Grilli,

The judge said she had to learn

62, has the legal chops to understand the

about conservatorships - not just the law

In 1996, Grilli ran for an open seat

ins and outs of wills, trusts, and conser

but also the practical reality - by visiting

on the Superior Court bench, defeating

vatorship dispt1tes that come up on her

elder facilities.

defense attorney Thomas Spielbauer.

calendar, but also the temperament and


experience to deal with the emotional
issues that arise: in contested cases.
Several attorneys attributed G1illi's

Daily Journal Corporation

"I learned a lot about politics," she

"I went to places to see what it is


like," she said.

said.

Grilli has enjoyed her time in pro

Grilli, who took office the next

bate court, saying she has appreciated

year, found herself dealing with protests

2010-1

JUDGE MARY ANN S. GRILLI, SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA

and acrimony over the way Santa Clara

bate

County family court judges handled


divorce and custody cases.
She was not the primary target of
protesters' vitiiol, and attorneys who
were among the court's critics back then

Attorneys:
Ellen McKissock,
Hopkins & Carley, San Jose; John
Posthauer, Santa Clara county counsel's
office; and Sheri Sudweeks, Los Gatos

say they are happy about her return.


"She's

known

quantity

and

knows the law backwards and for


wards," said Los Gatos family law attor
ney Robin Yeamans.
While some attorneys say it is bet
ter for judges to get switched away from
family court to avoid burnout, Grilli
bristles at the suggestion. She points out
that many judges who handle criminal
calendars have spent virtually their
entire careers as prosecutors or criminal
defense attorneys before joining the
bench.
"That question doesn't get asked
[of them]," she said.
Desmarais said Grilli's courtroom
can get very crowded, with as many as
a dozen attorneys representing various
factions of an extended family in dis
putes over living trusts.
"Lawyers are getting angry and
clients are getting angry," Desmarais
said. "A lot of judges would let some of
that anger seep through. She doesn't."
Jack Coward, a Los Gatos sole
practitioner, said Grilli is always pre
. pared and efficient in moving through
her calendar.
"She's fair and will let the lawyers
present and argue their case," Coward
said. "When there's a repetition of the
argument, she will rein them in."
Grilli said she is proud of her role
in promoting a program to encourage
low- and no-cost representation for
guardians of children, known as the
Guardianship Access Program, and
hopes to create a similar program in
family court.

- In re Conservatorship. of Frank
Reed, l-07-PR-161658 - conservator
ship
Attorneys: Mark Gonzalez, Santa
Clara county counsel's office; Vincent
Kilduff, San Jose; and Sung Lee, Santa
Clara County public defender's office
- In re Conservatorship of Diana P.,
l -07-PR-162463 conservatorship
Attorneys: Rebecca Weisman,
Fleishman & Weisman, San Jose, and
Howard Frank, Frank Law Firm, San
Jose

This profile originally appeared in


the Los Angeles Daily Journal and the
San Francisco Daily Journal December
29, 2009.

Here are some of Judge Grilli's


recent cases and the lawyers involved:

- Dantzig Trust, l -05-PR-156777 living trust


Attorneys: Jack Coward, Los
Gatos; Peter Stern, Palo Alto, and
Terrance Heath, Heath Law Group, San
Francisco
- Raffanti Living Trnst, l-08-PR163480 - living trust
Attorneys: Paul Breen, Hoge,
Fenton, Jones & Appel, San Jose, and
Michael Desmarais, Los Gatos
- In re Co:nservatorship of Gary B.,
l-97-PR-141989 - conservatorship/pro2010-1

------ -

Daily Journal Corporation

.JUDGE MARY_ANN S. GRILLI, SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA

BIOGRAPHY
CURRENT ASSIGNMENT

1990-present: Academy of Family


Mediators

Court: Superior Court of California


County of Santa Clara

1983-1993: Santa Clara County Bar

Association (Family Law

Title: Judge

Executive Committee)
1973-present: Admitted to California
Bar
Pafo Alto Area Bar Association
(President)

Dates: 1997 to Present


Status: Elevated
Appointed by: Election
Date: March 1, 1996
PREV IOUS JUDICIAL

PERSONAL HISTORY

APPOINTMENTS

Status: Appointed
Appointed by: Court
Date: November 1, 1992
EDUCATION

Law School: Santa Clara University


School of Law
Location: Santa Clara, CA
Date: 1973
Degree: J.D.
Honors: Magna cum laude
College: UC Berkeley
Location: Berkeley, CA
Date: 1968
Degree: B.A. Criminology
PRACTICE HIS TORY

Birthplace: Ithaca, NY
Sex: F
Spouse: John Grilli
Religion: Jewish
Political Affiliation: Democrat
Recreation: Hiking, cooking
MILITARY

OTHER

Continuing Education Taught: Child


Support LegiSlation, 1992
Continuing Education Taught:
Trying a Family Law Case, San
Jose 1980, 1982
Moderator, CEB program, "Dividing
Property on Dissolution of
Marriage," 1994

Sole Practitioner
Location: Palo Alto, CA
From: 1988 to 1992
Specialty: Family Law
In partnership with Attorney John
Miller
Location: Palo Alto, CA
From: 1978 to 1988
Specialty: Family and Criminal Law
Matters
Assoicate of Attorney Jerry Berg
Location: Palo Alto, CA
From: 1973 to 1978
Specialty: Family and Criminal Law
Matters
BARS AND RELATED
PROFESSIONAL ACTIVITIES

1996-present: Judicial Council


Family and Juvenile Advisory
Committee
1994-present: Domestic Violence
Council, Santa Clara County
(Chair)

Daily Journal Corporation

20101

You might also like