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Rev. 1/2010

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organizallon Ninth Circuit 5a. Report Type (~hcck appropriate type)

R<p<.t R~q,,i~dtO, th~ ~.,m~-.<

in Go vcrnmenl A ct o/ ! 978

~ u.s.c, app. ,~.~ /o~-~/ L~

3. Date nf Report 07,28.2010 6. Rt.porting Period 01 "0~12009 I. 12/31 ."2009

i. Person Reporting (last name, first, middle inkial) Kleinfcld, A ndrew J. 4. Title (A~ic~c tII judge~ indicate activ~ or senior stamp: n,agisrratc judges indicate flfi[- or pad-time) Circuil Judge (Active)

Nomination,

I)atc ~ Annual ~ Final

~ Initial

7. Chainbers or Office Address Cotll~ho~se Square 250 Cushman St. Suite 3-A Paicbanks, Alaska 99701

5b. ~ Amended Report I 8. On the b~sis of the hlfarmalion tin/ained in this Report and any modifications periainin~ thereto, it is. in my opinion, in eompllall~ with applicable laws and r~golations. Reviewing Officer D~le

IJfPOR TANT NOTES: The instructions accompanying thL~" fi~rm must be followed. Complete all parts.
checking the NONE box for each part where yea have no reportable itqbrmation. Sign an last page.

i. POSITIONS. c~.p.,,~,,,~ ~.ui~,~u,.,t ,,.ty; .,~. pp. 9-. ,,is~,,,g instructions.)

~ NONE (No reportable positions.) POSITiON
t Co-Trustee Trust # 1

NAME OF ORGANIZATION/ENTITY

4.

L-~-

" -~ "~.~

NONE (No reportable agreements.) DAI E

1. 2009

PARTIES AND TERMS

ABA Mcmbers Retirc~}ent Program, no conlrtll

Kleinfeld, Andrew J.

FINANCIAL DISCLOSURE REPO.RT

x ..... fP ..... Reporting

Da/eof R~.~port

Page 2 of 9

mei.reld, o~o,~re,, J.

07:_~,20~0

1 ! l. N ON-IN VESTMENT IN COME. CR,p,,r,i,,~. i.ui,,iU,,,,~..u ~p ......

A. Filers Non-Investment Income
NONE (No reportable non-investment income.)

: .~.~p,. ~ ~-~

DATE
I 2009 2. 2009 3. 2009 4.

SOURCE AN~ TYPE

(yours, ~Rfl spouses) State of Alaska. Permanent Fnnd Dividend Metropolitan Life Insurance Co. (Deferred Comp) Prudential Lil~ Insurance Co, (Deleted Comp) S ~ ,305.00 $21,936.00 $20.652.00

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 1. 20~9 2. 2009 3. 2009 4. SOURCE AND TYPE Self employed ~vriter and educational consultant - See Pa~t VIII University of Alaska- Sala~ State of Alaska - Permanent Fund Dividend

IV. RE1M BU RS EMENTS ...... ..v,,.,.,i.., lodging, fired, ...... tai ..... t.
NONE (No reportable reimbursements.)

~
!. 2. 3. 4. 5.

DATE~

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

~ ....

fP ..... Reporting

Page 3 of 9

Kleinfeld, Andrew 3.

07,/28,2010

V. GI FTS. ,,,~,a~.,- ,~,o~,, ~o.v .......... d dependent c~itdr ....... pp. 28-31 ~f!ling instruction.v~ NONE (z~ reportable g{fis.) ~ DESCRIPTION

4.

[~]

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

1.

3. 4, 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 9

~x ...... fp ...... Repor,ing K einfeld, Andrew J,

D:~teof Report 07/28/20t0

NONE (No reportable income, assets, or trartsactions.) A. (including ,rust ....... ~ Xctl~pt 1~O1~ prior dNctosurc B. ~ rcpt,.y~i~ pyriod Code I div.. rent. 1A-If) = or int.) (. of rcpcming period D.

~5) " (4~ "

C~xl,: 2 LI-P} Mclhod Ct~dc 3 (Q-W) T T T T T T T T "F T T T T T Sold L M T T I I102/09 1, A
{

~5~
Im~cr..sclicr tr:msactionJ

"

btly, sell. rcdcmplionJ

~ mm;dd,yy Code 2 Code ! .

I. 2. 3. 4. 5, 6. 7. 8. 9. 10. I. t2. [ 3. 14. 15.

Morgan Sl~mley - Money blkt Account Radio Slmck Common Stock DWS Funds Keogh Plan - Administered by At3A [3lack Rock Total Return Fund 403(b) Plan w! ING AT&T Common Stuck Owest Commot~ Stock Am Elect Power Common Stock Verizon Common Stock Northrop Grumman. Common Stock DenMi State Bank Accounts Morgan Stanley Global lnt2~structure (Tnmt #I) LLS. Savings [~t~nd (Trust gl) Morgan StaMey US Oovt Secaritics Tr {Trusl #i )

A A f~ A D D B A C A C A A I) B C D

Dividend Dividend Dividend InlJDiv. Dividend lntJDiv. Dividend Dividend Dividend Dividend Dixidend Interest Interest Interest [ntcres~ Interest Interest

L J M P1 Ivl N K J L J L N K M

16. Morgan Stanley Tax Exempt Sec Tr (Trust 17. Franklin Fed Tax Free Inc Fd (Trust #1)

PageFINANCIAL5 of 9 DISCLOSURE REPORT

Kleinfeld, Andrew J,

07,;28i2010

NONE (:~~ reportable income, asset.r, or transactions.)

(inch,cling ............. ) Place "(X)" after each asscl exempt l?om prio~ d~sclosurc

, r.~r?}~ag period (I) (2) : Amount Type (e.g., Code ~ div.. renL (A-H) or int.) ~ B A 13 1t A A A A A A E A .A D A C" C Div{dend Dividend Dividend Dividend Dividend Dividend l)ividend Div[dend Dividend Dividend lnt./Di~.. Dividend haleres) Interest Interest Ir, terest Interest

ofreporting period (]) Value Vakm Code 2 Mc~hod ~ {J-I) Cndc I (Q-WI K J M M K T T T "r "I"

Type {c.g. buy. scii, redcmplinn)

Date mm.d~yy Code 2 : (.l-p)

Code 1 {A-H)

buycr.~cllcr {if private

18. !9. 20. 2i. 22. 23. 24. i 25. 26. 27. 28. 29. 30 3! 32. 33. 34.

Franklin Tax Free Tr (Trast#l) Met Li~ - Trust Inlerests Northern Growth Equity Fund (Trust #1) Northern Income Equity Fund (Trust #1) N~rthern lntl Growth Equity [m~d (Tntst #1) AIM Equity Cap De,.; Fm:ds AIM Global Small & Mid Cap (;rowth Fd Davis NY Venture Ftmd Allianz CCM Capital Apprec Allianz OCC Target TIAA-CREF Retirement Annuity Davis Set Inc Growth Opportunity Evergreen Slralegic Muni Bond Fnd Symetra-403{b) No~heru bloney Mrt Acctmnt (Trust ~1 ) Transamerica Occidental Life "F~ansammica Occidental Li~e

Sold {part)

10/29."09

Sold Sold Sold Sold Sold M T Sold Sold Closed J L I._ T T "F

03/I0/09 03/t 0109 03/10.:09 !03/10."09 ~)3/10/09

K K K K K

A A A A A

03/10/09 03.05/09 ~112/09

J K N

A A A Acc~ transf ~o lng

FINANCIAL DISCLOSURE REPORT Page 6 of 9 V ll. INVESTMENTS and TRUSTS -

~ ........ Pt. ......a,eparting f

Dante o|Repart

inc.,reId. Andre~ ,L ]

07;2S,,2010

~ NONE (No tw~ortabte income, assets, or transactions.)

...................................... ,v
j includin; ~rus~ assets)

~? .......
.r~p~mi~ period

: .....

c.

~ .... ..........

r~.

" ....

(A-H) :

or int.)

{.l-P)

Code 3

redculpt~on)

bl.P)

C-~-H

{if private

35.

AK State liousing Fin Co~

Interest

36.
37. 381

K.itsap (.n~" Wash GO

Mat-Su AK Port XVe!ls-Ever~reen Mollcy Market

A
[~ A A

Interest
Interest Interest Interest

K
K J

T
T Nmne Correction Nnme chlmge

T T

39.

Fidelity Investments Deleted Comp

40. 41. 42.

43.

Fairpoint (ommumication, Inc stock First Tntst Target Dec 0g First Trust Target May 08
First Trust Target April 08

A A A
A

Dividend Interest Interest

Interest

J K

T T Sold
Sold

08/05;09
07/06,09

.!
K

A
A

44. 45.
46. 47. 48. 49. 50.

Sytnet~ a Invest Serv Ca_sl~ Acct Calamus Growth Fund

American Funds Euro Grov.,th Fnd Fairhome Ftmd First Eagle Sogen Growth Fnd America Jantls Perkins Mid CapValue Fd In,,

A A
A: A A A A

Interest Dividend
Dividend Dividend Dividend Dividend Dividend

J K
K K K I. K

i T
T T 7" T "1

Buy Buy
Buy Buy

04it) 1,09 03 "! 0.~0c)

03/t0itt9 03.10i09 K K K K J

Buy Buy

03/10/09 03/10/09 03,10/09

Buy

51.

Legg Mason Ptrs Agressive Growth Fd

Dividend

"I

[3uy

03/10/09

FINANCIAL DISCLOSURE REPORT

Page 7 of 9

/~ ....... fP ......
I

Reporting Kk.infcld, Andrew J"

I I

Date~fllrport 07.28/2010

VII. INVESTMENTS and TRUSTS -- i., ......... ..... ~(.- .................

~ ................ .,io.~ flnclu,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.
...... : ............... Amount : "Ivpc (e.g. Code 1 ~ div.. rein, : {A-H) or int.!

Iqacc "(Xj" after each asset cxcmp~ from prh~c disclosure

~atuc Code 2 {.I-P)

k:aluc : Modred : Code 3

Type ~c.g.,
buy, sell

redemption)

t.)~tc Value Gain ~ mm dd/yy ; Uodc 2 : ~odc t ~J.P) ~ {A-H)

hJm~tity of bttycr;scIler (ifpriva:c

52. 53. 54. 55. 56. 57. 58. 59. 60. 61.

Loomis Sayles Invt Tr Bond Class R PIMCO FDS Pac lnvi Mgn Set Tota Remm Fd lnstl CI Vanward Total Stock Mkt Index l:d ~nv

A A A

Dividend Dividend Dividend

K K

T T

Buy Buy Buy Sold

03..10/09 03/10/09 03/10.09 05/14/09 5/1409 12/I 4.09 12;I 5.09 12,I 5/09 10/2%09 10:29..09 I0:"29,i09

J K K K K K K K K t.. K Income - appreciation D

Davis NY Venture Fd lnc CI Y McF SPDR Gold-lr Gold Shares [Trust .g-l) MFO Pimco Fds Pac lnvt Mgmt (Trust #1) MFO Vanguard Fixed hie Sees (Trusl # 1) MFC Isha~s Tr MSCI Emerg Mks {Trusl MFFI N Funds Stk lndcx Fd (Trust t/l)

A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend

k K K K K L K

T T T T T T T

Buy Buy Buy Buy Buy Buy lluy

62. "MFI3 N Mulli Mgr Mid Cap Fd ITrust #1 ) 63. 64.

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting ~: e rife d, Andrew J.

Date of Report

Page 8 of 9

0%,28/20

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. 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 reinveslment Izrogralrls. 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 and has tl~e power ~o invade principal subject 1o a standard. The beneficiaries are members ~ff Judge Kleinfelds ~. The descriptions of the assets contru[led bv m~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 the gairbanks Daily News Miner

FINANCIAL DISCLOSURE REPORT Page 9 of 9

IX. CERTIFICATION.

n ......
K~einfeld, Andrew J" I ~J7:28..2010

I certify that al! information given above (including information pertaining to my spoose and minttr or dependent children, if any) is accurate, 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~atutory provisions permitting non-disclusure. I fi~r~her certify that earned income from outside cmploymen~ and honoraria and the acceptance of gifts which have been reported are in compliance wit.h the provisions ors U.S,C. app. 501 e~. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL \VtlO KNO\VINGLY AND WII,FULLY FALSIFIES OR FAI1,S TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C, app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E, Washington, D.C. 20544