Andrew J Kleinfeld Financial Disclosure Report for 2010

8/3/2019 Andrew J Kleinfeld Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/andrew-j-kleinfeld-financial-disclosure-report-for-2010 1/9

AO 10

Rev. 1/201i

FINANCIAL DISCLOSURE REPORT

FOR C A LEN D A R Y EA R 2010

Report Required by the Ethics

in Govermnent Act q[ 1978

(5 U.S .C. a pp. ,~q~" I01-11 I )

I. Person R eport ing (last name, f i rst , middle ini t ia l )

Klein fe ld , Andrew J .

4. Tit le (Ar tic le 111 judges ind ica te ac tive or sen ior s ta tus ;

magistrate judges indicate full- or part-time)

Circui t Judge (Ac t ive)

7. Chambers or Office Address

Cour thouse Square250 Cushma n St . Sui te 3 -AFai rb an ks , A laska 997 01

2. Court or Organizat ion

Nin th Ci rcu i t

5a . Repo r t T yp e ( ch e ck app rop r i a t e t yp e )

] Nominat ion, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas is o f the Information con ta ined in th is Repor t and any

modif ica tions per ta in ing the re to , it is , in my opin ion , in com pliancew 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 Off icer Date

3. Date of Report

07/8 /201 I

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e v o m n g individual only; see pp. 9-13 of f iling instructions. )

D N O N E (No reportablepositions.)

POSITION

1 . Co -T rus tee Trust # 1

2.

3.

4.

5.

N A M E O F ORGANIZATION/ENTITY

I I. A G R E E M E N T S . e n e v o . i n g individual only; seepp. 14-16 of filing instructions.)

NO NE (No reportable agreements.)

1. 2010

2.

3.

DATE PARTIES AND TERMS

ABA Mem bers Ret i rement Program, no control




P a g e 2 o f 9

N a m e o f P e r s o n R e p o r t in g

Kle infe ld , Andrew J .

D a t e o f R e p o r t

07/8 /2011

I I I . N O N - I N V E S T M E N T I N C O M E . ~ g e p o . i .g i n d l v l d a a l a . d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)

A. Filer ’s Non-Investme nt Incom e

D (No reportable non-investment income.)O N E

D A T E SO U R C E A N D T Y P E

1.2010 State o f Alaska, Permanen t Fund Div idend

2. 2010 M etro p o lita n L ife In su ra n ce C o . (D e fe rred C o m p )

3.2010 Pruden t ia l Li f e Insurance Co. (Defer r ed Comp)

4.

INCOME

(yours , not spouse’s)

$1,281.00

$21,936.00

$20,652.00

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.

(Dol lar amoun t not required except for honorar ia . )

D (No reportable non-investment income.)O N E

1.2010

2.2010

3.2010

4 . 2 0 1 0

DATE SOURCE AND TYPE

Self employed w r i ter and educa t ional consul tan t - See Par t VIII

Univer s i ty o f Alaska - Salary

S t a te o f A l a s k a - P e r m a n e n t F u n d D i v i d e n d

State o f Alaska - Ret i r ement

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.( Inc ludes those to spouse and dependent chi ldren ," see pp. 25 -27 o f i ll ing ins truct ions .)

~] (No reportable reimbursements.)ONE

SO U R CE D AT ES L O C A T IO N P U R P O SE ITEMS PAID OR PROVIDED




Page 3 o f 9

N a m e o f P e r s o n R e p o r t i n g

Kleinfe ld , Andre~v J .


07/8/201 I

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of fih’ng instruaions.)

NONE (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 of fih’ng instructions.)

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUECODE




Page 4 o f 9


Kleinfeld, Andrew J.


07/8 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (includes those of spouse and dependent children; seepp. 34-60,,filling instructions.)

N O N E (No 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 Incom e during G ross value at e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

0) (2) O) (~) (l ) (2) (3)Place "(x)" af ter each asset A m o u n t T y pe ( e . g ., Value Value T y p e ( e . g ., D a t e Value

exempt f rom pr ior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m /d d / y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P )

( Q - W )

1 . Mo rg an S tan ley - Mo n ey Mkt A cco un t

2. R a d i o S h a c k C o m m o n S t o c k

3. D W S F u n d s

4. K e o g h P l a n o A d m i n i st e r ed b y A B A

5. B l a c k R o c k T o t a l R e t u r n F u n d

6. 4 0 3 ( b ) P l a n w / I N G ( n o w V a n g u a r d )

7. A T & T C o m m o n S to c k

8. Q w e s t C o m m o n S t o c k

9. A m E l e c t P o w e r C o m m o n S t o c k

1 0 . V e r i z o n C o m m o n S t o c k

1 1 . N o r t h ro p G r u m m a n , C o m m o n S t o c k

1 2 . Denal i Sta te Bank Accoun ts

1 3 . Mo rg an S tan ley G lo b a l I n fas t ruc tu r U T LQX(Trus t # I )

1 4 . U.S. Savings Bond (Trus t # 1)

1 5 . M o r g a n S t a n l e y T a x E x e m p t S e e T rT A X D X ( T r u st # 1 )

1 6 . Fran k l in Fed T ax Free In c Fd FK T IX (T rus t#l)

1 7 . Frankl in Tax Free Tr FKlTX (Trus t# I )

A D i v i d e n d L T

A D i v i d e n d J T

C D i v i d e n d M T

G Int ./Div. PI T

D D i v i d e n d M T

F l n t . , q S ) i v . N T

B D i v i d e n d K T


C D i v i d e n d L T


C D i v i d e n d M T

A Interest M T

A Interest K T

D Interest M T

C Interest L T

DInterest

M T

B D i v i d e n d K T

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

( 4 ) ( 5 )

G a i n I d e n t i t y o f

Code 1 buyer/seller

(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

M o v e d t o V a n g u a r d

Sp in -o f f Fro n t i e r

I . In c o m e G a in C~ d c s : A = $.1 ,000 o r less 13 = $1 ,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

(Se e Co lun m s B I a n d D 4 ) F = $50,001 - $ 100,000 G -$ 100,001 - $ 1 ,000,000 H 1 = $1 ,000,001 - $5,000,000 H 2= M ore than $ 5,000,000

2. V zlu e Co d es J = $1 5,000 or le ss K =$15,001 - $50,000 L =$50,001 o $ 100,000 M = $100,001 - $250,000

(See C o lumns C I and D3) N = $250,001 - $500,000 O =$500.001 - $1,000,000 P I = $1 ,000,001 - $5,000,000 P 2 -$5,000,001 - $25,000,000

P3 -$25,000,001 - $50.000.000 P 4 More than $ 50,000,000

3 . V a lu e Me th o d Co d e s Q =Appraisal R =Co s t (Re a l E s ta te O n ly ) S =A s s e s s m e n t T =Ca s h Ma rk c l

~ $e e Co lu m n C2) U =B o o k V a lu e V - O t h e r W =E s t im a te d

E =$15,001- $50,000



F I N A N C I A L D I S C L O S U R E R E P O R T

Page 5 o f 9

N a m e o f P e r s o n R e p o r t in g


D a l e o f R e p o r t

07/8 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o , ~ e , v a t . e , t r a n s a c t io n s ( I n c l u d e s t h o s e of spouse and dependent children; see pp. 34-60 of fi l ing instructians. )

~-] N O N E (No reportable income, assets, or transactions.)

A. B. C.Desc ript ion of Assets Income dur ing Gross va lue a t end

(including trust assets) repo rting period of repo rtin g p eriod

(1 ) (2 ) (1) (2)

Place "(X)" after each asset A m ou n t Type (e.g., Value V a l ue

exempt f rom prior disc losure Code 1 div., rent, Code 2 Method

( A - H ) o r i n t . ) ( J - P ) Code 3

(Q-W)

1 8 . Me t L i fe - T ru s t I n t e re s t s A D i v i d e n d J T

1 9 . N o r t h er n G r o w t h E q u it y F u n d N O G E X A D i v i d e n d M T( T m s t # 1 )

20 . N o r t h e r n I n c o m e Eq u i t y F u n d N O I E X B D i v i d e n d M T

( T r u s t #1 )

2 1 . Nor thern Int ’ l Growth Equi ty Fund NOIG X A Dividend K T( T r u s t # 1 )

2 2. T I AA - CR E F R e ti re m e n t An n u it y E Int./Div. M T

23 . N o r t h e r n Mo n ey Mr t A c c o u n t ( T r u s t #1 ) A Interes t J T

24 . T r a n s a m e r i c a W h o l e L i fe P o l i c y A Interes t K T

25 . Tr an samer i c a W h o l e L i f e P o l i c y A Interes t L T

26 . A K S t a t e H o u s i n g F i n C o r p B Interes t K T

27 . K i t s a p C n ty W a s h G O A Interes t K T

28 . M a t - S u A K P o r t B Interes t K T

29 . We l l s -Eve rg re e n Mo n e y Ma rke t A Interes t J T

30. F i d e l i t y In v es t men t s D ef e r r ed C o mp A Interes t J T

31 . F ai r p o i n t C o mmu mi c a t i o n , l n c s t o c k A D i v i d e n d J T

32 . F i r s t T r u s t Ta r g e t D ec 08 A Interes t

33. Syme t ra I n ve s t Se rv Ca sh Ac c t A Interes t J T

34 . C a l a m u s G r o w t h F u n d B D i v i d e n d K T

Transac t ions d uring report ing per iod

(I ) (2) (3)

T y p e ( e . g ., D a t e V a l ue

buy , se ll, m m /dd/yy Code 2

redemption) (J-P)

S o l d 02/12/I 0 K C

B u y 02/12/10 J

( 4 ) ( ~ )

G a in Identity of

Code 1 buyer/seller

(A-H) (if private


D r o p p e d " O c c i d e n t ia l "

D r o p p e d " O c c i d e n t ia l "

I . I ncome Ga in C odes : A -$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000

( S e e C o lu m n s B I a n d D 4 ) F = $50,001 - $100,000 G =$100,001 - $1,000.000 H 1 = $1,000,001 - $5,000,000 1-12 =More than $5,000,000

2. V alue Co d es J = $1 5,000 o r le ss K =$15,001 - $50,000 L -$50.00I - $100,000 M -$100,001 - $250.000

(See C o lunms C I and D3) N -$250,001 - $500,000 O =$500,001 - $ 1 ,000,000 P 1 =$1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000.000

P3 =$25,000,001 - 550.000,000 P4 =M ore than $50,000.000

3 . V a lu e Me th o d Co d e s Q =Appraisal R =Cost (Real Estate Only) S =Assessmen t T =C ash Marke t

(Sce C o lumn C 2) U =B o o k V a lu e V = O t h e r W =E s t im a te d

E =$15,001 - $50,000




Page 6 o f 9


Kle in f e ld , A n d r e w J .


07/8/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a lu e , t ransact ions ( Includes those o f spouse a nd dependen t chi ldren; see pp . 34-60 o f f i ling instruct ions. )

D N O N E (No 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 Income during G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

C1) (2) (1) C2)

Place "(X)" after each asset A m o u n t T y p e ( e . g . , Value Value

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

O)Type (e.g.,

b u y , 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 in g p e r i o d

(2) (3) (4)

D a t e Value G a i n

m m / d d / y y C o d e 2 Co d e l

(J- P ) (A -H )

(5 )

I d e n t i t y o f

buyer/seller

( i f p r i v a t e


35 . A m e r i c a n F u n d s E u r o G r o w t h F n d A D i v i d e n d K T B uy 02/12/10 J

36 . F a i r h o m e F u n d A D i v i d e n d K T B uy 02/12/10 J

37 . F i r s t E a g l e S o g e n A D i v i d e n d K T B uy 02/12/10 J

38 . G r o w t h F n d A m e r ic a B D i v i d e n d L T B uy 02/12/10 J

39 . J a n u s P e r k i n s M i d C a p V a l u e F d l n v A D i v i d e n d K T B uy 02/12/10 J

40 . Legg Mason Pt r s Agress ive Growth Fd B D i v i d e n d L T B uy 02/12/10 * J

41 . Loom is Sayles Invt Tr Bond Class R A D i v i d e n d K T B uy 02/12/10 J

42 . P I M C O F D S P a c I n v t M g m t S e r T o t a l B D i v i d e n d K T B uy 02/12 /10 JRetu rn Fd ln s t l CI

43 . D a v i s N Y V e n t u r e F d I n c C I Y B D i v i d e n d L T B uy 02/12/10 J

44 . M C F S P D R G o l d T r G o l d S h a re s G L D N o n e K T(T rus t # i )

45 . M F O P i m c o F d s P a c I n v t M g m t P C R I X B D i v i d e n d K T(Trust # 1)

46 . M F O V a n g u a r d F i x e d I n c S e e s V I P S X A D i v i d e n d K T(Trust # 1)

47 . M F C I s h a r e s T r M S C I E m e r g M k s E E M A D i v i d e n d K T(Trust # 1)

48 . M F B N F u n d s S t k I n d e x F d N O S I X ( T ru s t A D i v i d e n d L T

4 9. M F B N Mu lt i M g r M id C ap F d N M M CX A D i v i d e n d K T(T rus t # i )

50 . F r o n t ie r C o m m u n i c a t io n s C o m m o n S t o c k A D i v i d e n d J T S p i n o f f( f rom l ine 10)

51 .

06/07 /10

1. Income G ain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

(See Co lum n s B 1 an d t34) F = $50,001 - $100,000 G =$1 00,001 - $1,000,000 H 1 = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 = M o re th an $ 5,0 00 ,0 00

2. Value Codes . I =$15,000 or less K $15 , 001-$50 , 000 L =$50,001 - $I00,000 M =$100,001 - $250,000

(See C o lumrts C I and D3) N = $250,001 - $500,000 O = $500,001 - $1,000,000 P I = $1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =M ore than $50,000,000

3 . V a lu e Me th o d Co d e s Q = Appr a i s a l R =Co s l (Re a l E s ta te O n ly ) S =A s s e s s m e n t T =Ca s h Ma rk e t

( S e e C o l u m n C 2 ) U =B o o k V a lu e V =O th e r W = E s t im a te d

E =$15,001 - $50,000




Page 7 o f 9




07/8/201 I

V I I . I N V E S T M E N T S a n d T R U S T S -inc~me~va~ue~transacti~ns(~nc~udesth~se~fsp~useanddependentchi~dren;seepp~34~6~f~inginstructi~ns~)

D N O N E (No reportable income, assets, or transactions.)

A. B. C.Desc ript ion of Assets Inco m e during G ross value at end

( inc luding tms t as se ts ) repo rtin g perio d o f rep ortin g p eriod

(1) (2) (l) (2)

Place "(X)" after each asset Am oun t Type (e.g. , Value V a l ue

exempt f rom prior disc losure C o d e 1 div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) C ode 3

(Q-W)

(1 )

Type (e.g.,

b u y , 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 Value G a i n

m m / dd / y y C o d e2 C o d e 1

(J-P) (A-H)

( s )I d e n t i t y o f

b u y e r / s e l l e r

( i f p r iva te

t r ansac t i on)

52 .

I. In c o m e G a in Co d e s :

( S e e C o lu m n s B I a n d D 4 )

2.Value Codes

(See C o lumns C I and D3)

3.V a lu e Me th o d Co d e s

(See C o lumn 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 = Appr a i s a 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 =Co s t (Re a l E s ta te O n ly )

V = O t h e r

C =$2,501 - $5,000

HI =$1.000,001 - $5,000,000

L =$50,001 - $ 100,000

P I =$1.000.001 - $5,000,000

P4 =M ore than $50,000,000

S =A s s e s s m e n l

W =E s t im a te d

D = $5,001 - $15,000

H2 =More Ihan $5,000,000

M =$ 100.001 - $250.000

P2 =$5,000,001 - $25,000.000

T =C ash Markc l

E =$15.001 - $50,000




Page 8 o f 9

N a m e o f P e r so n R e p o r t i n g

Kleinfe ld , Andre~ v J.

D a ~ e o f R e p o r t

07/8/201 I

V I I I . A D D I TI ON A L I N FOR M A T I ON OR EX PLA N A T I ON S. a , ,~ . , ~ , of report.)

V a r i o u s s t o c k s ( in c l u d i n g Q w e s t , A m e r i c a n E l e c t r i c, A T & T , N o r t h r u p G r u m m a n , F a i r p o i n t, a n d V e r i z o n ) a c c r u e a d d i t i o n a l s h a r e s t h r o u g h d i v i d e n d r e i n v e s t m e n t

p r o g r a m s .

Jud g e K le in fe ld (Perso n Rep o r t in g ) i s a Co -T rus tee o f a t ru s t (T rus t #1 ) . No r th ern T rus t Ban k o f Flo r id a i s th e Co -T rus tee . Jud g e K le in f¢ ld rece ives in co me

a n d h a s t h e p o w e r t o i n v a d e p r i n c ip a l s u b j e c t t o a s t a n d a r d . T h e t r u s t w a s e s t a b l i s h e d p u r s u a n t t o J u d g e K l e i n f e l d ’ s i .~ ! ~ ~ es ta te p lan , w i th ~: :~[~ as th eb en ef ic ia r i es . T h e d escr ip t io n s o f th e as se t s co n t ro l l ed b y th e t ru s t a re l i s t ed in Par t VI I o f th e d i s c lo su re rep o r t , an d a re fo l lo w ed b y a (T rus t #1 ) d es ig n a t io n .

In 2010 Perso n Rep o r t in g ’ s sp o use rece ived co mp en sa t io n fo r a r t i c l es w r i t t en , research p ro v id ed , o r co n fe ren ces a t t en d ed f ro m th e U n ivers i ty o f A laska , an d th e

Fa i rb an ks D a i ly New s-Min er .




Page 9 o f 9

Name of Per son Repor ting

Kleinfeld, Andrew J.

Date of Report

07/8/201 I

IX. CERTIFICATION.

I c e r t if y t h a t a l l in f o 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 f o 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 s

a c c u r a t e , tr u e , a n d c o m p l e t e t o 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 f o 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 l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r th e r c e r t i fy 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 n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signatu re: S] Andrew J. Kleinfeld

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 A L SI F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E 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 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

O n e C o l u m b u s C i rc l e , N o E .Washington, D.C. 20544

Andrew J Kleinfeld Financial Disclosure Report for 2010

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