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Judicial Watch • Andrew J Kleinfeld Financial Disclosure Report for 2010

Andrew J Kleinfeld Financial Disclosure Report for 2010

Andrew J Kleinfeld Financial Disclosure Report for 2010

Page 1: Andrew J Kleinfeld Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:9

Date Created:November 5, 2013

Date Uploaded to the Library:November 13, 2013

Tags:kleinfeld, Andrew J Kleinfeld, andrew, trust, stock, 2010, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, 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.) Filer's Non-Investment Income NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) 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 Spouse's 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 instru'tions.) 
[{] 	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 Int'I 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 Reporting's 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