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Judicial Watch • Andrew J. Kleinfeld – 2010

Andrew J. Kleinfeld – 2010

Andrew J. Kleinfeld – 2010

Page 1: Andrew J. Kleinfeld – 2010

Category:Federal Judges

Number of Pages:9

Date Created:September 12, 2013

Date Uploaded to the Library:November 11, 2014

Tags:kleinfeld, Andrew J Kleinfeld, andrew, trust, stock, 2010, assets, transactions, Codes, dividend, reportable, reporting, report, Federal Judge, income, Judge


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Rev. 1120JI 
Reporl Required 1he E1hics Governmcnl Ac/ 1978 FOR CALENDAR YEAR 2010 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Kleinfeld, Andrew Court Organization Ninth Circuit Date Report 07/8/2011 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) Circuit Judge (Active) Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2010 12/31/2010 Chambers Office Address Courthouse Square 250 Cushman St. Suite 3-A Fairbanks, Alaska 99701 the basis the Information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORT ANT NOTES: The ins/rue/ions accompanying this form mus/ followed. Complete all parts, checking the NONE box for each par/ where you have reporlable informalion. Sign las/ page. POSIT! NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Co-Trustee Trust 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 
 
PARTIES AND TERMS 2010 ABA Members Retirement Program, control 
 
Kleinfeld, Andrew 
 
 
 
 
 
Date Report 
Name Person Reporting 
07/8/2011Kleinfeld, Andrew 
III. N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-14 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) 2010 State Alaska, Permanent Fund Dividend $1,281.00 
2.2010 Metropolitan Life Insurance Co. (Deferred Comp} $21,936.00 
3.2010 Prudential Life Insurance Co. (Deferred Comp) $20,652.00 Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
SOURCE AND TYPE 
I.2010 Self employed writer and educational consultant -See Part VIII 
 
2.2010 University Alaska -Salary 
3.2010 State Alaska -Permanent Fund Dividend 
4.2010 State Alaska -Retirement 
 
IV. REIMBURSEMENTS -transportation, lodging.food, entertainment (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instrutions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[{] 	NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 
 
 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes tlrose spouse and dependent drildren; see PP J4-6o filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(1) (2) (I) (2) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
 
Gain Identity exempt from prior disclosure div., rent, Code2 Method buy, sell, mmldd/yy Code 
Code 
Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) Morgan Stanley -Money Mkt Account Dividend Radio Shack Common Stock Dividend DWS Funds Dividend Keogh Plan -Administered ABA Int./Div. Black Rock Total Return Fund Dividend 403(b) Plan ING (now Vanguard) Int./Div. Moved Vanguard ATT Common Stock Dividend Qwest Common Stock Dividend Elect Power Common Stock Dividend 
10. Verizon Common Stock Dividend Spin-off Frontier 
11. Northrop Grumman, Common Stock Dividend 
12. Denali State Bank Accounts Interest 
13. Morgan Stanley Global Infastructur UTLQX (Trust #I) Interest 
14. U.S. Savings Bond (Trust #I) Interest 
15. Morgan Stanley Tax Exempt Sec TAXDX (Trust #I) Interest 
16. Franklin Fed Tax Free Inc FKTIX (Trust #1) Interest 
17. Franklin Tax Free FKITX (Trust#)) Dividend Income Gain Codes: =$1,000 less =$1,00 -$2,500 =$2,50 -$5,000 =$5,001 -$15.000 E=$15,00I -$50,000 
(Sec Columns and 04) F=$50,001 -$100.000 =$100,001 -$1,000,000 =$1,000,00 -$5,000.000 =More than $5,000.000 Value Codes =$15,000 less =$15,00 -$50,000 =$50.00 I00.000 I00.001 -$250,000 
(Sec Columns and DJ) =$250.001 -$500,000 0=$500.001-$1,000.000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25.000.001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
VII. INVESTMENTS and -income, value, transactions (Includes tlw..-e spouse and dependent children; pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(1) (2) (I) (2) (I) (2) (3) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
 
(A-H) int.) 
(A-H) (if private 
Code redemption) (J-P) 
(Q-W) 
transaction) 
18. Met Life -Trust Interests Dividend 
19. Northern Growth Equity Fund NOGEX Trust #1) Dividend 
20. Northern Income Equity Fund NOIEX (Trust #I) Dividend 
21. Northern IntI Growth Equity Fund NOIGX (Trust #I) Dividend 
22. TIAA-CREF Retirement Annuity Int./Div. 
23. Northern Money Mrt Account (Trust #I) Interest 
24. Transamerica Whole Life Policy Interest Dropped Occidential 
25. Transamerica Whole Life Policy Interest Dropped Occidential 
26. State Housing Fin Corp Interest 
27. Kitsap Cnty Wash Interest 
28. Mat-Su Port Interest 
29. Wells-Evergreen Money Market Interest 
30. Fidelity Investments Deferred Comp Interest 
31. Fairpoint Commumication, Inc stock Dividend 
32. First Trust Target Dec Interest Sold 02/12110 
33. Symctra Invest Serv Cash Acct Interest 
34. Calamus Growth Fund Dividend Buy 02/12110 Income Gain Codes: =$I ,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,00 -$15,000 =$15,001 -$50,000 
(Sec Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,00l -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50.001 -$100,000 00,001 -$250,000 
(Sec Columns and 03) =$250,00 -$500,000 =$500,00 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,00 -$25,000.000 =$25,000,00  $50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
 
Name Person Reporting 
Date Report 
Kleinfeld, Andrew 
07/8/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing insrructitm ...J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(1) (2) (I) 
(2) (2) (3) 
(4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code2 Method buy, sell, mm!dd/yy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
35. American Funds Euro Growth Fnd Dividend Buy 02/12/10 
36. Fairhome Fund Dividend Buy 02/12/10 
37. First Eagle Sogen Dividend Buy 02112110 
38. Growth Fnd America Dividend Buy 02/12/10 
39. Janus Perkins Mid Cap Value Inv Dividend Buy 02/12/10 
40. Legg Mason Ptrs Agressive Growth Dividend Buy 02/12110 
41. Loomis Sayles Invt Bond Class Dividend Buy 02/12/10 
42. PIMCO FDS Pac Invt Mgmt Ser Total Return Instl Dividend Buy 02/12/10 
43. Davis Venture Inc Dividend Buy 02/12/10 
44. MCF SPDR Gold Gold Shares GLD (Trust #1) None 
45. MFO Pimco Fds Pac Invt Mgmt PCRIX (Trust #I) Dividend 
46. MFO Vanguard Fixed Inc Secs VIPSX (Trust #I) Dividend 
47. MFC !shares MSC! Emerg Mks EEM (Trust #1) Dividend 
48. MFB Funds Stk Index NOSIX(Trust #I) Dividend 
49. MFB Multi Mgr Mid Cap NMMCX (Trust #I) Dividend 
50. Frontier Communications Common Stock Dividend Spinoff (from line 10) 06/07/10 
51. Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5.000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,00 -$50,000 =$50,001 -$100,000 =$100,00 -$250,000 
(Sec Columns and 03) =$250,00 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) Assessment =Cash Market 
(Sec Column C2) =Book Value =Other Eslimated 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent cltildren; pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
 
Description Assets 
(including trust assets) 
Place (X) after each asset Identity 
exempt from prior disclosure buyer/seller (if private transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,50 -$50000 =$5,00 -$150000 =Sl5,00I -$50.000 (Sec Columns and 04) =$500001 -$0,000 =$100,001 -$1.000,000 =$1,000,001 -$5,0000000 =More lhan $5,000.000 
Value des =$15,000 less =$15,00 -$50,000 =$50,001 -$100.000 =$I 00.00 -$250.000 
 
(Sec Columns and 03) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,00 -$25.000.000 =$25,000,001 -$50,000,000 =More than $50.000.000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =-C ash Market (Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
 
Name Person Reporting 
Date l{eporl 
Kleinfeld, Andrew 
07/8/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 
Various stocks (including Qwest, American Electric, ATT, Northrup Grumman, Fairpoint, and Verizon) accrue additional shares through dividend reinvestment programs. Person Reportings spouse received compensation for articles written, research provided, conferences attended from the University Alaska, and the Fairbanks Daily News-Miner. 
 
 
 
 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: Andrew Kleinfeld 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, .E. Washington, D.C. 20544