andrew j kleinfeld financial disclosure report for 2009

8/3/2019 Andrew J Kleinfeld Financial Disclosure Report for 2009

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, . : ~ / v [ FINANCIAL DISCLOSURE REPORT R < p < . t R ~ q , , i ~ d t O , t h ~ ~ . , m ~ - .


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FINANCIAL DISCLOSURE REPO.RT x ..... fP ..... R e p o r t i n g D a / e o f R ~ . ~ p o r tPage 2 of 9 m e i .r e l d , o ~ o , ~ r e , , J . 0 7 : _ ~ , 2 0 ~ 0

1 ! l . N O N - I N V E S T M E N T I N C O M E . CR ,p,,r,i,,~. i.ui,,iU ,,,,~..u ~p ...... : . ~ . ~ p , . ~ ~ - ~A. Filers Non-Investment Income

NONE (No reportable non-investment income.)DAT E S OU R C E A N ~ T Y P E (yours, ~Rfl spouses)

I 2 0 0 9 State of Alaska. Permanent Fnnd Dividend S ~ , 3 0 5 . 0 02. 2009 Metropolitan Life Insurance Co. (Deferred Com p) $21,936.003 . 2 0 0 9 Prudential Lil~ Insurance Co, (Deleted Comp) $20.652.004.

B. Spouse s Non-Investment I ncome - If you were married during any porrion of the reporting ),ear, complete this

~ NONE (No r~ortable non-investment income.)DATE SOURCE AND TYPE

1 . 2 0 ~ 9 Self employed ~vriter and educational consultant - See Pa~ t VI II2. 2009 University of Alaska- Sala~3 . 2 0 0 9 State of Alaska - Permanent Fund Dividend4.

IV . RE1M B U RS EMENTS .. . .. . . . v , , . , . , i . . , l odgi ng, f i red , ...... ta i ..... t.NONE (No reportable reimbursements.)

~ D ATE~ L O C A T I O N PURPOSE I T E M S P A I D OR P R OV I D E D!.2.3.4 .5 .


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FI N A N C I A L D I SC LO SU R E R EP O R T ~ .... fP .....ReportingPage 3 of 9 Kleinfeld, A n d r e w 3 . 0 7 , / 2 8 , 2 0 1 0

V . G I F T S . , , ,~ , a ~ . ,- , ~ , o ~ , , ~ o . v .......... d dependent c~itdr ....... pp. 28-31 ~f!ling ins truct ion.v~NONE (z~ reportable g{fis.)

~ DESCRIPTION

4.

[~] N O N E ( N o reportable liabilities.)CREDITOR DESCRIPTION V A L U E C O D E

1.

3 .4,5.


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FINANCIAL DISCLOSURE REPORT ~x . . . . . . fp . . . . . . R e p o r , i n g [ D : ~ t e o f R e p o r tPage 4 of 9 K einfeld, Andrew J,

[07/28/20t0

NONE (No reportable income, assets, or trartsactions.)A . B . ( . D.

(including ,rust ....... ~ ~ rcpt,.y~i~ pyriod of rcpcming period ~5) " (4~ " ~5~ " X c t l~ p t 1 ~ O 1 ~ p r i o r d N c t o s u r c C o d e I d i v . . r e n t . C ~ x l , : 2 M c l h o d { b t l y , s e l l . ~ mm;dd,yy Code 2 Code ! I m ~ c r . . s c l i c r1 A - I f ) = o r i n t . ) L I - P } C t ~ d c 3 r c d c m p l i o n J .( Q - W ) ~ t r : m s a c t i o n J

I. Morgan Sl~mley - Money blkt Account A Dividend L T2. Radio Slmck Common Stock A Dividend J T

3. DWS Funds f~ Dividend M T4 . Keogh Plan - Administered by At3A A InlJDiv. P1 T5 , [3lack Rock Total Return Fund D Dividend Iv l T6 . 403(b) Plan w! ING D lntJDiv. N T7. AT& T Common Stuck B Dividend K T8. Owest Commot~ Stock A Dividend J T9. Am Elect Power Common Stock C Dividend L " F1 0 . Verizon Common Stock A Dividend J TI. Northrop Grumman. Common Stock C Dixidend L T

t2 . DenMi State Bank Accounts A I n t e r e s t N T[ 3. Morgan Stanley Global lnt2~structure (Tnmt A I n t e r e s t K T#I )14 . LL S. Savings [~t~nd (Trust gl) I) I n t e r e s t M T15 . Morgan StaMey US Oovt Secaritics Tr B [ n t c r e s ~ Sold I I102/09 1 , A{Trusl #i )16. Morgan Stanley Tax Exempt Sec Tr (Trust C Interest L T17. Franklin Fed Tax Free Inc Fd (Trust #1) D I n t e r e s t M T


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P a g e F IN A N C I A L 5 o f 9 D I S C L O S U R E R E P O R T Kleinfeld, Andrew J, 0 7 , ; 2 8 i 2 0 1 0

N O N E (:~~ reportable income, asset.r, or transactions.)

(inch,cling ............. ) , r.~r?}~ag period o f r e p o r t i n g p e r i o d(I) (2) (] )

P l a c e " ( X ) " a f te r e a c h a s s c l : A m o u n t T y p e ( e . g . , V a l u e V a k m T y p e { c . g . D a t ee x e m p t l ? o m p r i o ~ d ~ s c l o s u r c C o d e ~ d i v . . r e n L C o d e 2 M c ~ h o d b u y . s c i i , m m . d ~ y y C o d e 2 C o d e 1 b u y c r . ~ c l l c r A - H ) o r i n t . ) ~ { J - I ) C n d c I r e d c m p l i n n ) : ( . l - p ) { A - H ) { i f p r i v a te~ ( Q - W I18 . Franklin Tax Free Tr (Trast#l) B Div{dend K T!9. Met Li~ - Trust Inlerests A Dividend J T

2 0 . Northern Growth Equity Fund (Trust #1) 1 3 Dividend M T Sold 1 0 / 2 9 . " 0 9 K A{ p a r t )2i . Northern Income Equity Fund (Trust #1) 1t Dividend M "r2 2 . N~rthern lntl Growth Equity [m~d (Tntst A Dividend K "I"#1)2 3 . AIM Equity Cap De,.; Fm:ds A Dividend Sold 03/I0/09 K A2 4 . AIM Global Small & Mid Cap (;rowth Fd A l)ividend Sold 0 3 / t 0 1 0 9 K A

i 2 5 . Davis NY Venture Ftmd A Div[dend Sold 0 3 / 1 0 . : 0 9 K A

2 6 . Allianz CCM Capital Apprec A Dividend Sold ! 0 3 / 1 0 . " 0 9 K A27. Allianz OCC Target A Dividend Sold ~ ) 3 / 1 0 / 0 9 K A2 8 . TIAA-CREF Retirement Annuity E l n t . / D i ~ . . M T2 9 . Davis Set Inc Growth Opportunity A Dividend Sold 03/10/09 J A30 Evergreen Slralegic Muni Bond Fnd .A h a l e r e s ) Sold 0 3 . 0 5 / 0 9 K A3! Symetra-403{b) D I n t e r e s t Closed ~ 1 1 2 / 0 9 N A Acc~ transf ~o lng3 2 . No~heru bloney Mrt Acctmnt (Trust ~1 ) A Interest J T3 3 . Transamerica Occidental Life C " I r , t e r e s t L T3 4 . "F~ansammica Occidental Li~e C Interest I._ " F


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FI N A N C I A L D I SC LO SU R E R EP O R T ~ ........Pt. ......a,eparting t Dante o|RepartPage 6 of 9 i n c . ,r e I d . A n d r e ~ ,L]

0 7 ; 2 S , , 2 0 1 0V l l. I N V ESTM EN TS and T R U S T S -~ NONE (No tw~ortabte income, assets, or transactions.) ......................................v ~ ? . . . . .. . : ..... c. " ........ .......... r~.

j includin; ~rus~ assets) .r~p~mi~ period

(A-H) : or int.) { . l - P ) Code 3 redculpt~on) bl.P) C-~-H {if private

35 . AK State liousing Fin Co~ B Interest K T

3 6 . K . i t sa p ( . n ~ " W a s h G O A I n t e r e s t K T37. Mat-Su AK Port [~ Interest K T Nmne Correction

381 XVe!ls-Ever~reen Mollcy Market A Interest J T Nnme chlmge

39. Fidelity Investments Deleted Comp A Interest J T

4 0 . Fairpoint (ommumication, Inc stock A Dividend J T4 1 . First Tntst Target Dec 0 g A I n t e r e s t K T4 2 . First Trust Target May 08 A I n t e r e s t Sold 0 8 / 0 5 ; 0 9 .! A43 . First Trust Target April 08 A Interest Sold 07/06,09 K A4 4 . S y t n e t ~ a I n v e s t S e r v C a _ s l ~ A c c t A I n t e r e s t J i B uy 0 4 i t ) 1 , 0 94 5 . Calamus Growth Fund A Dividend K T B uy 0 3 " ! 0 . ~ 0 c )

46 . American Funds Euro Grov.,th Fnd A : Dividend K T B u y 0 3 / t 0 i t t 9 K47 . Fairhome Ftmd A Dividend K T B uy 03.10i09 K48 . First Eagle Sogen A Dividend K 7" B uy 03/10/09 K49 . Growth Fnd America A Dividend I. T B uy 03/10/09 K50 . Jantls Perkins Mid CapValue Fd In,, A Dividend K " 1 B uy 03,10/09 J5 1 . Legg Mason Ptrs Agressive Growth Fd A Dividend L "I [ 3 u y 03/10/09 K


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FINANCIAL DISCLOSURE REPORT / ~ ....... fP ...... R e p o r t i n g I Date~fllrportPage 7 of 9 I Kk.infcld, Andrew J"I

07.28/2010

V I I . I N V E S T M E N T S a n d TRUSTS -- i . , . . . . . . . . . ~ . . . . . . . . . . . . .. . . . , i o . ~ f l n c l u , h , s , h , x , e qtSl,Ottst" at,a depen&,nt rhildre,,; s,, pp 3.1-60 qL/~ling it,xtrttctions.)~ NONE (No reportable income, assets, or transactions.)

..... ~(.- ................. ~ ......................................... c....... : ...............

I q a c c " ( X j " a f te r e a c h a s s e t A m o u n t : " I v p c ( e . g . ~ a t u c k : a l u c T y p e ~ c . g . , t . ) ~ t c V a l u e Gain ~ h J m ~ t i t y o fc x c m p ~ f r o m prh~c disclosure C o d e 1 ~ div.. rein, C o d e 2 : M o d r e d buy, sell m m d d / y y ; U o d c 2 : ~odc t b t t y c r ; s c I l e r: {A-H) o r i n t . ! { . I - P ) : C o d e 3 r e d e m p t i o n ) ~ J . P ) ~ {A-H) (ifpriva:c

5 2 . Loomis Sayles Invt Tr B ond Class R A Dividend K T B uy 0 3 . . 1 0 / 0 9 J5 3 . PIMCO FDS Pac lnvi Mgn Set Tota A Dividend K T B uy 03/10/09 KRemm Fd lnstl CI5 4 . Vanward Total Stock Mkt Index l:d ~nv A Dividend B uy 03/10.09 K5 5 . Sold 05/14/09 K D5 6 . Davis NY Venture Fd lnc CI Y A Dividend k T B uy 5/1409 K5 7 . McF SPDR Gold-lr Gold Shares [Trust .g-l) A Dividend K T B uy 1 2 / I 4 . 0 9 K Income - appreciation

5 8 . MFO Pimco Fds Pac lnvt Mgmt (Trust #1) A Dividend K T B uy 1 2 ; I 5 . 0 9 K5 9 . MFO Vanguard Fixed hie Sees (Trusl # 1) A Dividend K T B uy 1 2 , I 5 / 0 9 K6 0 . MFC Isha~s Tr MSCI Emerg Mks {T rusl A Dividend K T B uy 1 0 / 2 % 0 9 K6 1 . MFFI N Funds Stk lndcx Fd (Trust t/l) A Dividend L T B uy 1 0 : 2 9 . . 0 9 t..6 2 . "MFI3 N Mulli Mgr Mid Cap Fd ITrust #1 ) A Dividend K T lluy I 0 : " 2 9 , i 0 9 K6 3 .

6 4 .


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFI N A N C I A L D I SC LO SU R E R EP O R T~: e rife d, Andrew J.age 8 of 9 0 % , 2 8 / 2 0

V I II . A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . a,,,.c.,,.p,,,,,,.~R~.~,,..~

Various stocks (including Qwcst, American Eleclric. AT&T, Nor,hrup Grumman. Fahi~ofi~l, and Verizon) accrue additional slmres ~hmugh dividend reinveslmentI z r o g r a l r l s .Judge Kleinfeld ~Person Reporting) is ~ Co-Trustee of a trust (Trust #1 ). Northern Trust Bank of Florida is the Co-Trustee. Judge Kleinfeld receives income andhas tl~e power ~o invade principal subject 1o a standard. The beneficiaries are members ~ff Judge Kleinfelds ~. The descriptions of the assets contru[led bvm~s~ are listed in Part VII of the disciosure rept)rt, and are followed by a (Trust ~1) designation.In 2009 Person Reporting s~ recetved compensation for articles wril~en, research provided, nr conferences a~tcnded from the University of Alaska, and thegairbanks Daily News Miner


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FINANCIAL DISCLOSURE REPORT n ......Page 9 of 9 K~einfeld, Andrew J"

I~ J 7 : 2 8 . . 2 0 1 0

IX. CERTIFICATION.I certify that al! information given abov e (including information pertaining to my spoose and minttr or dependent children, if any) isaccurate, true~ and complete to the best of my knowledge and belief, and ~ hat any information not reported was wi|hhel~t because i~i met applicable s~atutoryprovisions permitting no n-disclusure.I fi~r~her certify that earned income from outside cmploymen~ and honoraria and the acceptance of gifts which have been reported are incompliance wit.h the provisions ors U.S,C. app. 5 01 e~. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL \Vt lO KNO\VINGLY AND W II ,FULLY FAL SIFIES OR FAI1 ,S TO FILE THIS REPORT MAY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C, app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E,Washington, D.C. 20544

andrew j kleinfeld financial disclosure report for 2009

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