FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111) I. Person Reporting (last nam e, first, m iddle initial) Kozinski, Alex 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) 2. Court or O r g a n i z a ti o n Ninth Circuit Court of Appeals 5a. Report Type (check appropriate type) ] Nomination, Date Circuit Judge - Active 7. Cham bers or Office Address 125 S. Grand Avenue Suite 200 Pasadena, CA 91105 [] Initial [] Annual [] Final 5b. [] Amended Report 8. O n the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in com pliance with applicable laws and regulations. Reviewing Officer Date 3. Date of Report 06/13/2011 6. Reporting Period 01/01/:2010 to 1:2/31/2010 IMPORTANT NOTES: The instructions accompanying this form must be followecL Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. PO SITIONS. tRepomng individual only; seepp. 9-I3 of filing instructions.) D NONE (No reportablepositions.) POSITION 1 . All Limited Partnerships 2. 3. 4. 5. NAME OF ORGANIZATION/ENTITY Reported in Section VII I I . A G R E E M E N T S . mepo.ing individuol only; see pp. 14-16 of filing instructions.) ~] NONE (No reportable agreements.) DATE PARTIES AND TERMS Kozinski, Alex
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Alex Kozinski Financial Disclosure Report for 2010
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8/3/2019 Alex Kozinski Financial Disclosure Report for 2010
FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0
Report Required by the Ethics
in Government Act of 1978(5 U.S.C. app. §§ 101-111)
I . P e r s o n Repor t ing ( l as t n a m e , f i r s t , m i d d l e i n i t ia l )
Kozinski , Alex
4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-time)
2. Court or O rganization
N in th Ci r cu i t Cour t o f Appeals
5a. Repor t Type (check appropr ia te type)
] Nomination, D a t eCircui t Judge - Ac t ive
7. Ch a m be rs o r Off i c e Addre ss
125 S. Gr and AvenueSu i te 200Pasadena, CA 9 1105
[] Initial [] Annual [] Final
5b. [] Amended Report
8. O n the basis of the informat ion c o n t a i n e d i n t h i s Repor t and any
m o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , in c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .
Reviewing Officer Date
3. Date of Report
06/13/2011
6. Repor t ing Per iod
01/01/:2010to
1:2/31/2010
IMPORTANT NOTES: The ins tructions accompanying this form must be fol lowecL Com ple te al l parts ,
checking the NONE box for each part where you have n o reportable information. Sign on last page.
I . P O S I T I O N S . t R e p o m n g individual only; seepp. 9-I3 of filing instructions.)
D NONE(No reportableposit ions.)
POSITION
1 . All L imi ted Par tner sh ips
2.
3.
4.
5.
NAME OF ORGANIZATION/ENTITY
Repor ted in Sec t ion VII
I I . A G R E E M E N T S . m e p o . i n g i n d i v id u o l o n l y ; se e p p . 1 4 - 1 6 of filing instructions.)
~] N O N E (No reportable agreements.)
DATE P A R T I E S A N D T E R M S
8/3/2019 Alex Kozinski Financial Disclosure Report for 2010
7. A m e r i c a n A c a d e m y o f April 8-9 Ph oen ix , AZ S p e a k i n g E n g a g e m e n t Trave l & LodgingAppellate Layers
8. F o r d h am U n i v S c h o o l o f April 23-27 N ew Yor k , N Y S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g f o r S e l f a n d S p o u s eLaw, In te l l ec tua l Pr oper y ,
M ed ia & En ter ta inmen t LawJ o u m a t |
9. Univ . o f Ch icago Feder a l i s t May 16-18 Chicago, IL S p e a k i n g E n g a g e m e n t Trave l & LodgingSociety
I 0 . Univer s i ty o f C al i f . , San ta May 20-21 Santa Barba ra , CA S p e a k i n g E n g a g e m e n t Tr avel & Lodg ins
Bar bar a
I I. Los Angeles Feder a l i s t June 4 Los Angeles , CA S p e a k i n g E n g a g e m e n t D i n n e rSociety
12 . Association of Business Tr ial Sept . 27-28 S a n D i e g o , C A S p e a k i n g E n g a g e m e n t Trave l & LodgingLaw yers
13 . Los Angeles Copyr igh t Oct. 13 Los Ange le s , CA S p e a k i n g E n g a g e m e n t D i n n e rSociety
1 4 . D eP au l Un iv e rs ity O ct. 20-22 C h i c a g o , I L S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g
1 5 . V i r g n i a L a w R e v i e w Oct. 22-23 Ch ar lo t tesv i l l e , VA S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g
1 6 . Feder a l i s t Socie ty -Univ . o f Nov. 3 Ber keley , CA S p e a k i n g E n g a g e m e n t L u n c h
Cal i f . Ber keley
17 . ]’he Independent Insti tute Dec . 9 -10 O a k l a n d , C A S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g
1 8 . Los Angeles Associa t ion o f D e c . 6 Los Angeles , CA S p e a k i n g E n g a g e m e n t D i n n e r
Tax Counsel
8/3/2019 Alex Kozinski Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~)
N O N E (N o reportable income, assets, or transactions,)
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g
( i nc l ud i ng trust a s s e t s ) r e p o r t in g p e r i o d
(] ) (2 )
Place "(X)" after each assel A m o u n t Type (e.g.,
exempt from prior disclosure C o d e I div., rent,
( A - H ) or in t . )
G r o s s v a l u e a t e n d
of repor t ing pe r iod
(i) (2)
V a lu e V a lu e
C o d e 2 M e t h o d
(J-P) C o d e 3
( Q - W )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(1 ) (2) (3)
Type (e.g., D ate V a l u e
buy, sell , m m /dd!yy C ode 2
redemption) ( J - P )
(4 ) (5 )
G a i n Identity of
Code I b u y e r / s e l l e r
( A - H ) (if private
t r ansac t ion)
1 . ~. SANM1NA-SC I A D i v i d e n d J T
2. STANCORP A Interest J T
3. DREYFUS MUNI MONEY M ARKET D I n t e r e s t NFUND
4. COCA COLA (KO) A Dividend J
T
T
5. SCHW AB M ONEY M ARKET FUND A I n t e r e s t J
6. S E P . T R D G . R E G . A Interes t Redeemed 08/15/10 K D
7. ["SCHW AB M ONEY M ARKETFUND(SWMXX)
8. Fidel ity Cash Reser ves ( FDRX X )
9. TI P
1 0 . HY G
1 1 . GD X
1 2 .
1 3 .
14 . BN D
1 5 . V WO
1 6 . V G K
1 7 . V PL
A I n t e r e s t J
A I n t e r e s t K
None J
None J
None M
None
None
None
None
J
J
J
J
T
T
T
T
T
T
T
T
B u y 04/09/10
(a dd’ l )
Sold 08/03/10
(part)
S o l d 08/03/10(part)
B u y 07 / 27 / 10
(a dd’ l )
B u y 08/30/10
(a dd’ l )
S o l d 08/03/10
(part)
S o l d 0 g /0 3 /1 0
(part)
S o l d 08/03/10
(part)
S o l d 08/03/I 0
(part)
S o l d 08/03/10
(part)
K
K
K
L
L
J
K
J
J
J
A
A
A
A
A
A
A
I. I ncome G ain Codes :
(See C o lu mn s B I an d D4 )
2. Value Codes
(See C o lu mn s C I an d D3)
3. Value Meth od Codes
(Sce C o tu n m C 2 )
A=$ 1,00Oorl css
F =$ 50 ,001- $100,000
J ~$15,000 orlcss
N =$250,001- $500,000
P3 =$25,000,001 o $50,000,000
Q= Ap p ra isa l
U = B o o k V a lu e
B =$1,001- $2,500
G=$100,001- $1,000,000
K =$15,001 -$50,000
O=$500,001 -$1,000,000
R = C o s t (Rea l Es ta te On ly )
V = O t h e r
C =$2,501 - $5,000
H 1 =$1,000,001 - $5,000,000
L = $5 0 ,0 0 1 - $ 1 0 0 . 0 0 0
PI $1,000,001 - $5,000,000
P4 =More than $50,000,000
S = Assessmen t
W =Estimated
D -$5 ,001- $15,000
H2 =Morethan $5,000~00
M-S100,001- $250.000
P2 -$5,000,001- $25.000,000
T = C a s h M a r k e t
E =$15,001- $50,000
8/3/2019 Alex Kozinski Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l .e , t ra n s a c t io n s ancludes those of spouse a n d dependent children; see pp. 3 4 - 6 0 of filing instructions.)
NONE ~o reportable income, assets, or transactions.)
A. B. C.
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d
( in c lu d in g tru s t a s se ts) re p o rt in g p e r io d o f r e p o r t i n g p e r i o d
(1) (2) O) (2 )
Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e
exempt from prior disclosure Code l d iv ., r e n t, C od e 2 M e t h o d
( A - H ) or i nt . ) ( J - P ) C o d e 3
( Q - W )
0)Type (e,g.,
buy, s e l l ,
r e d e m p t i o n )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)
D a t e V a l u e Ga in
mm/dd/yy Code2 Code I
(J-P) ( A - H )
Identity of
b u y e r / s e l l e r
(if private
t r ansac t ion)
18. VNQ
19. VB
20 .
21 .
22 .
23 .
24. SCHO
None
None
None
J
J
T S o l d(part)
T Bu y
(add’l)
Bu y
(a dd’ l )
S o l d(part)
S o l d
(part)
S o l d(part)
B u y
08/03 /10
03 /08/10
04/09/10
07/27/I 0 I
08/03 /10
08/06 /10
08/12/10
J
L
K
L
K
K
L
A
A
A
25 . Sold 08/26/10 L A
26 . V TI
27 . V N Q
None
None
S o l d 08/02/10 K A
(part)
S o l d 0 7/2 7 /1 0 L D
28. TIP None Sold 03/08/10 M
29. IBOXX None Sold 04/09/10 K A
30. (PTR) H ISTORIC PRE. PROP. A I n t e r e s t J
31 . ( PTR) WIN GATE HSG. I I A I n t e r e s t J
1. I n c o m e G a i n C o d e s :
( S e e C o l u m n s B 1 a n d D 4 )
2. V a l u e C o d e s
( S e e C o l u m n s C I a n d D 3 )
3. V a l u e M e t h o d C o d e s
( S e e C o l u m n C 2 )
A =$1,000 or less
F=$50,001 - $ 100,000
J =$15,000 or less
N =$250.001 - $500,000
P3 -$25.000.001 . $50,000,000
Q =Appraisal
U =Book Value
B=$1,001 - $2,500
G =$100,001 - $1,000,000
K=$15,001 - $50.000
O =$500,001 - $1,000,000
R =Cost (Real Estate Onty)
V - O t h e r
C =$2,501 - $5,000
H 1 =$ 1,000,001 - $5,000,000
L =$50,001 - $100.000
P I =$ 1,000,001 - $5,000,000
P4 =More than $50,000,000
S = Asscssmcn t
W =Estimatcd
D =$5,001 - $15,000
H2 -More than $5 ,000.000
M =$ 100,001 - $250,000
P2 =$5,000,001 - $25 ,000,000
T =Cash Marke t
E =$15,001- $50,000
8/3/2019 Alex Kozinski Financial Disclosure Report for 2010
1 c e r t i f y t h a t a ll i n fo r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n fo r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e to t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n fo r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r y
p rov i s ions permi t t i ng non -d i sc losu re .
1 fu r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i ncompl i ance wi th the p rov i s ions o f 5 U.S.C. app . § 501 e t . s eq . , 5 U.S.C. § 7353, and Jud ic i a l Conference regu la t i ons .
Signature: S] Alex Kozinski
N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F AL S I FI E S O R F A IL S T O F I L E T H IS R E P O R T M A Y B E S U B JE C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . § 1 0 4 )