2. Court or O rg uniiatioo

Ninth C ircuit

4 TitJc ( Attkl c I ll Judge !I indicate active or sem or stalllS

n 1agist.ra tejull. gcs indicate full· or part· l1mc) 5 . ReJ>OrtTypc ( check apprC1pnatc cype)

(5 ll.S . C •PP· § § IOl-111 )

p

81512005

6 . Reporti 1 1g Pcnod

1 0

12/3t/2004

r c

c tr c

aRcviewinsOlliccr, ____________ _ Date ____ _

-''· IMPORTANT NOTES: The insuuctions accom panying !his form must be foUowcd. Comp lete all paru, chccldng lhe NONE bo x for each pan

,,. ... '," ..... J,; · -s-3-j.:l! [l, -;:;z · · . -] ... §;1 , . -- , , 1!·'.!l !!t: · ;::;rn ! ··:, ;;: :::±'.'.:::::::::::

fQSWON NAME O f ORGANIZAIIONIENTJTY

L r e r

2.

I.

PARTIES AND URMS

m

)> ..., Q n

'

AO-JO

Rt''· 1/200_,

FtNANClAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2004

I. Pc.Ison Reponjng. (La.Sl n3Jnc. Firs! name, Nliddk initial)

Kleinfeld, Andrtw J

1 ; Nom1n;auon, Date Circuit Judge (Active)

J lruti;il (! AM�I ' I f(n2J

Rtpor1 Rtquirtd by the £tbit1

in Go\·trnmtot ,\(tor 1978

3. Date ofRc on

11112004

7. Chrunbcrs OfOUicc Addrcs,s

Cou thouse Sq uw

8. On the: b:lSis of 1he iofonnatton on ained in this Repon and any

1nodifications pc lluning 1hcrc10, ir 1s. irt my opuuon, in comphan c with applicable laws and regulatioos.

250 Cushm n St.. Suite 3 A

Fairbanks, Alaska 9970I

�'here you have oo rq>on.able infonnation. Si_g;n on last page.

C°"" T uste

I. POSITIONS. (Rop<>ning individual only; seepp. 9·13offtli"iins11uc1ions)

0 NONE - (No repo<toblcposiuons.)

T ust# !

II, AGREEMENTS, (Rcponing individual only; see pp. t4-16 of filing insuvct.,.,S)

0 NONE · (Non:portab!e�ccmcnis.)

2004 ABA MembcrS Retirement Progra , no controll

S2 U> n .-..., o-U>Zc:: :i> ::a::rrt£2 O;l> ...

.., Ul ..D

= =

» = e-.i I

..D

rn () rn -

< rn 0

io

f

2004

2004

3 .

SOURCE TYPB

State or AJas.ka, Ptnnllll C O l fund Div idend

Me1r0p0li1M Life Insuran ce Co. (Deferred Comp)

Prudential Life losurancc Co. (De fcmd Comp)

American Ent:erpisc lrutitut c (wrote arti cle)

l>.ltc ofRcpon

GROSS INCOME

21 936 .00

206$2. 00

1 000 .

n m

$01IRCE AND TYPE

I . Self employed wriltr and educa t nal consultant - Sec Pan vm

2004 University or Alaska · SaJaty

2004 State of Alaska • Permanent Fund Dividend

n m s

3. B oston Univers i ty

L

DESCRJPTIQN

a

as

May 8 & 9 . Sostoo MA. participant in seminar (transportation, meals and lodging)

e p e

FINANClAL DISCLOSURE REPORT Name nfPerson Rc:pOrtlng

IUemfcld, Andrew J

ill. NON-INVESTMENT INCOME. IReporting md1'1dual and spou.«. sec pp 17-24 of iling ins1rnc11ons)

ANO

s1snoos

()'O..-s. notspouse's)

920.

October 29-JO, Washington, O.C., George f\.fason Judicial Advisory

A. Filer's Non·lnvestment Income

C NONE (No rep(ln<:ible nt>n-1nvcstmcn1 income.) -

DATE

I.

2.

2004

4. 2004

B. Spouse's Non·lnvestment Income· (If you were married during any portion of the reporting year, please complete lhas section. Dollaramount no1 required except for honoraria.)

0 NONE (No reportable on-investment inco e.)·

2004

2.

3.

N. REIMBURSEMENTS -uansponation,lodging, food,cntatainmenL

(Includes those 10 spouse and dependent childn:n. See pp. 2S·27 of instructions.)

0 NONE (No sucb reportable n:imbuf'S<n>enis.) ·

SOUR("E

I. George Mason Uojversiry, Law & Eco o ic Center M3td! 25 -2$, 1.a Jolla.CA. particip nt in seminar for judges (transportation, meals and lodging)

2. nie Federalist Sociery For Law & Public PolicyStudies �1ay 14, Harvard University, guest spe ker Student Chapter of federalist Sociccy (tran portation, meals and k>dg.ing)

4. George Mason University, aw & Economics Certcr Board Meeting (ltansponation. meals and lodging)

s. The Fcder3list Sociery November4, Seattle. WA. Speaker at fourth annual dinner, Puget Sound Lawy rs' Cha t r (1ransportation. meals and lodging)

N antc (I f P-:rson Rc pon;og

Klc1nfdd, Andrew J

SOURCE DES CR !p110N

CRED!TQR

I.

YA!.!lE COQE

V. GLFTS. (ln�ludc) c to spouse onJ depcndcru children

Pl NONE (Nosu<h rerortabl< ins l.

FTNANClAL DISCLOSURE REPORT

S« pp 28·31 of uhttucuons}

VI. LIABILITIES. (Includes 1h0»0 ofsPou>e and dependent children. See pp. 32.34 ofinSlructiuns.)

li2J NONE (No rcp0rtablc liabilities.)·

DESCRIPTION

Nrunc of Person R.cportin

Kleinfeld. And1i:w J

B.

rcponin.s µ.:riot! rcpoituig penod

( l j (2) \ I ) (2)

«• Value Cod<2

w)

I. Morgan Stanley - Money Mkt Account A Div idend T

2. Radio Shack c o mmon stock Dividend T

3 Scudder Investments-Int'] Global Funds Oi\• idend T

4. K eogh Plan • Administered by .'\BA F D ividend Pl T

; , Merrill Lynch Bond Fund c Dividend M T

6 . 403(b) Plan wt ING B lntct<S ! K T

7 . US Treasury Bonds at Morgan Stanley lntercst

8. SBC common stock Dividend J T

9 . Qwest common stoc k: A Dividen d J T

1 0. Am Elecl Powa common stock Dividend K T

Bell South common stock Divldend J T

V erizon common stock Div idend J T

Northrop Grumman. common s coc k B Dividend T

1 4. Denali State Bank Accounts Interest

I S. Wachovia. Tax Free M o ney Market Account Interest

16. Morgan S!M l ey Utili<y Fund (Trust # I ) B lntcres1 L T

)7, U. S. Savings Bonds (Trust #I) D Interest M T

18. .t.1orgao Stanley U S Go vt Sccutili cs Tr (frust #J) B Jn1ercs1 L T

A B c

N

I),

Dace ofRepon

81S/200S

m If IM>f C ll'CIU,PI lrOCl diSC.w.urc

fl) ( .3 ) l 'l ( SJ O:ltt: vai., Gain.

buy, sclJ coo. 2 Cod e 1 merger. i J · P) I A·H)

Rcdemptio 11 -IS K

<ell 4114 J sold fractiooal $hues

c.Joscd

D E

l

1'

(Sei;; Coh1.m11 C l l u ,., 8<!..lk V;ih1 \." v "' Oth e r w E.sl1:na1«1

I

I I

.FJNA NClAL DISCLOSURE RE.PORT

Page J of3

A. (;,

lk:i;cn1,11on Q(A:iS4:b Income dunng GrOS$ \'3h.1( :it e11cl of

(1odlldtt1Flf'bil :t1.Vt.SJ

Pbcc "(X)" •fler c:Kh asse1 cxcmpi fmri JW•ur d1sdo:sur�

.'\mc.M.Jnt Type Va.lei.: Codd div ren1 \lt M<">Od (A-Hj (J·P1 C«lc 3

\Q-V.1

CNONE ( "'o re)'lfJrl3blc 1m.-01:n.:, allllct$, or lr::t.n:ia<:l>On� >

L

A J

B M

A

A

B

IL A

12. A

13. L

A K T

A

I. luoome1C:ti.n Code': .. Sl,000 « ku •S1.00J-S2.5(0 • S2.SOl·S5.000

<Scc<.:ollllonsBI ood 04) f .. SSO,QOl-Slt"QJ)OO c = SJOO,OOJ.St,000,000 HI '"'s1.ooo.001.ss,ooo. ooo

2. V:1Jl,)C Cadcs: J -Sl5,000orl s K , lll,001-$50,000 L • SSO OOl·SI00,000

(Ste Colum:n5 (:1 :md 03) = $2$0,000-S500.000 0 - SSOO,OOl·Sl,000.()0(f ,,, si.000.001-s;.roo.ooo

Tr:1t1$;ictinns dw1ug r cponins pc:rtod

Type (C.f;. Jdcur11 of Moorh + b1iycr/$dl(I' Chy (1fpn\·Me:

tedempb('!n) lr'M19Cl•QllJ

A n

A

-ss.OOJ·SIS.000 .. SIS.001-S?Q.DOO

R2 a Mort t1tan SS.000,000

M = SIOl).OOl0S2SO,OOO

P2 = SS,OOfl,Ol'll ·S:ZS,000.000

P'3 $1),l)(XU)()l-\50.CO'J,CU('! N ...1.,.fo;a: ;!'.:m S50,000-J 00

l Val'oc Mdl-S Cock:1 '·' -;\ppr.11sal R ... C"5t (Rc:al F.Aat.:Only) s -AssesSflM:llt Cdi·!Yl•MI !

Name: of Person R..:ponin

Kleinfeld. Andrtw J s 1;1200;

J9. Morg an Stanley Tax ExcmpJ See Tr (Trust # I)

20. franklin Fed Tax Fr ee toe Fd (Trust #J)

21. Wash St Pu b Pwr (Trust II )

22 . fran.k:lin Tax Free Tr ( Trust# I)

23. Met Life • Trust loterests

24 . Northern Growth Equity Fund · (Trust#!)

25. Northern Income Equicy Fund (Trust I I)

26. NOflhem lnt'I Growth E q uity Fund (Trust#!)

27. AIM Equity Cap Dev Funds

28. AH.1 lnl' I Aggressive Groth Fun d

2 9 . Davis NY V uitu rc fWld

30. Pimco Cap ital Apprec

31. Pimco Growth

32. P imco Target

33. TIAA·CREF Retirement Annuily

34. Davis Ser Inc Gro"'th Opportunity

35. Evergreen Hi l11 c M uni Bond Fnd

36. Symetra40J(b ) (formerly Safeco Li fe lnsuran<e)

: A .. SI , 000 or I C$$

J V a b.'. MtthoJ C(J(le.11

{ Sot Column Cl> U .. Bwk V al\1 e

p

a c. 0. r

rq:iomng period 1 tpo111n Jl c>C"\'ld

(I ) (2) \I ) (2) JI) JI I .CW ltlpl 11-001 di5"losufc

(l J 14) (l) p V :1J uc G""

C00. 2 C odt I .. ) �er.

c lnreresr

D Interest

A Interest

B Dividend

Div idend

c Dividend

c Dividend

Dividend

B Dividend

B Div idend

c Dividmd

c Divide n d

Dividend

8 Dividend

E lntertSI

Divid<nd

B Lntcrest

D Interest

L T

M T

matured

K T

J T

M T

M T

T

K T

K T

L T

L T

sold 1/6 K

K T

M T

K T

K T

T

1

V .. Oth e r V. • b;;unared

(A·H )

A

__ j

)

(C. .

Cod< J

l''lNANClAL DISCLOSURE REPORT .Page 2 of3

VII. INVESTMENTS and TRUSTS •• tnooir.-t, val\IC, lr.i1lSoC<lt10lli (mcludes 1110$< n(dte s ouse 3nd dcpcndC-'!lt cluldren Sec pp -Si offiling inst n:.chott<;

A. Cnco:ne d!1rit.g Grol'$ valtXa1 c:rid or T t100.1 d'11nni. rcpon · pr iod De�nptMm of Ai.,;c1:-

(ioduding tr\l$1 3."cu)

(2)Pl.ace "f)C)'' a.Iler c:ii:;h .JS tlltmpt

div rt'tlLOf Value Valot T)-pe (c.g Date:Am<Junl Ty o ldenlll)' of ftotn pr;o, di$dOs1v.: Cock I Method buy, sell,C<Xk2 Month· l'lll�'t'l Jk!

(Q-W) (J·PJ{A.H) (lfps-1v�1eO.y IJ·P)

ttdcmpt1on) t.rlltlSaC:ftOnJ

A

A

A

B

711

K

M

A

1. lnconlo'O i.in Codes: B =St.OOJ-S2.m 0 =SS,CIOl·Sl5.000 I! - Slj:,001-SSO.OOO

tSce Colunl:flSBl td 1)4)

Z. Vtt..lue CCldcs·

F =s;o.001.s100.ooo

-. 515,000« It$$

G

K

s100,oot-Sl,OOO,OOO

.. s1s,001.sso.ooo

tt1 .. s1.ooo.001-ss.ooo.ooo

l. ... S50,001-SIOO,OOO H2 =l\1ore 1ba.r1 s .Oi1>. 000

�i .,. 100.001-ruO,(IOO

1$ee C-0lunal'l!I Cl :ind DJ) N ,.. Sl!'O,()(l(J.$500,000 0 -S!-OO,OOl·Sl, 000. 000 P1 - s1.000.001-ss.OOO.Ot.'ll P2 .. s s. ooo,001-s2 .ooo.ocxi

P.3 SZ5.0(!0.ClCll·S50.COO,OVO P4 .. J�furc tll;u; S50.000.000

Q .. Aptni.Al I< ... C�1 (Rcal Estate ():llyl S .o\�C

Nainc o f Person Rq>ott in:,

Kleinfeld. Andrew J

c.

rcp.. u tin p:riod

( I ) C!J \I) (2)

(ca;.

ml )

37. Northern Money Mn A cco unt (Trw1 # J) B l ntcrcst L T

38. Transameri c a Occi dental life fntuest L T

39. T rans illTlcrica Occidential Life B lnl eres l K T

4 0. Nat'I Equity Lows Ser S I Dividend

41. Nat'I Equity LowS Ser S4 Oividcod

42. Nat1 Equity Topl O Ser42 Dividen d

43. Nar i Equity SPSOO Ser 19 Dividend

44. Ak State Hous in g Fin Co rp A Interest K T

4 5. Kiisap Cnty Wash 00 A Interest K T

46. Milt-Su 00 Interest K T

Waehovia cash ac.oount lntcrest l T

48. Wachovia . Evergreen money mark et A Interest J T

49. Unit 82 1 Dow Targ et Interest L T

so. U nit 872 Dow w g ct A lnter<St K T

s 1. Firs t 'trust Dow Tatgd Int erest T

5 2 . Fidelity lllvestmc nts Deferred Comp A lntcrest l T

I. ln comciG2rn Co der; : A • Sl,000 Of Lui. 9 c

0 R '

(S« Column C.2) u Book Valu.: v .. Other w • .'..lt1m iated

0.

D ale ofRt{IO!\ 8t snoos

n

fl) If Ml excnll'>f from discmure

<2. J l • J ) Valot G<w>

buy,sdL Codc2 Code I ma;a, I>ay JA.H) tcdC111Cl( IOO J

sold 4/13 D

sold 10/25 K A

sold 917 K B

sold 4 /13 J B

buy S ecVID explanation

buy 2110 K

buy 2112 K

opened

opened

buy 418 L

buy 9113 K

buy 10/2 8 l

Buy I/IS J

D E

0

l'2

r

FINANCIAL DISCLOSURE REPORT

Page 3 of3

VIL INVESTMENTS and TRUSTS

A. 0.

lk nrrion vf Asscc lncou)t dunnlJ Giws v:alue 01 et1d ol

(mcluding 1n1.�1 set•) n:ponm;; penod

Pi;acc "(X)" after c-ach as.se1 exempt Amoun1 Type Va.hie Valuefrum prwr dU:cltt'l(m..• C«i<l dn• rent or c.dcl Mctlu;,d

(A·H) ( Pl Code3 (Q-WJ

c

A

A

A

A

A

47. A

c

A K

Tr.lnSat'llo s dwm' rqxmu1g penod

(l) <SJ T "pt (cg D:t1c ldet1ti1yc/

t-.1on1.h. buyct/ulkr O·P) (d'pnvatc

"''"""""")

K

• St.001·!2.SOO .,. $:? . .SOl·SS,000

tSceCol111nrisBI ;"'d 1.>4) F $5(),DOl·SI 00,000 0 • s100.001.s1,ooo.ooo HJ .. s1.ooo,001.ss.ooo.ooo

2 Value Code$ J =$1 S,000 or less t1s.001.sso.ooo l - Sl-O.OOl·SI00.000

1Sc:c:Cohmm Cl :ind 03) N ....SJ 0.000-SSOO.OOO 0 - SSOO,OOl·SI.000,0CO l'I -S1.0fJ0,001 ·S5.0f.IO.OOO

1 3 ..-S25.000Jl0 I·\SC,(:00,(1(;(1 p.1 ,.. SMote than SS0,000,0c:>

l Vi&l\1 McllllOd Co.le, • Appr.us:al • Cl'.'sc (Re.al tS1111� ().ly\ /\SSL'SSl'llCCI

• SS.OOJ-SIS.000 • Sll.OOl-SS0,000

.H2 ,,.More thanSS,000,UOO

M • SI 0,001-S2SO,(l('.0

$.S,QOO,OOJ S2S,(l(l0,tl00

...Ca>ti ;\1atL�t

Date · v r Rcpor 1 FINANClAL DISCLOSURE REPORT

KJeinfeld, Andrew J 81512005

(lndloCat< pan ofR po11.) vrn. ADDITIONAL INFORMATION OR EXPLANATIONS

Various stocks (including SBC, Qwest, American Ekctric, Betl South. Northrup Grumman. and Verizon) accrue additional shares thr0ugh dividend n:invesl0lcn1 programs.

Judge Kleinfeld (Person Reporting) is O>-Trustee of a l!ust (Trust Ni). Northern Trust Bank of Florida is the Co--Trustee. Judge KJeinleld rocci\'CS income and has the p0wcr to invade principal subject to a .standard. The beneficiaries arc member$ ofJudge KJeinfeld's- The descriptions oflhe usci.s

controlled by the trust arc listed in Pa;t VU ofthe dfaclosurc report and are followed by a (T'rust #I) designation.

Person Repoojng's-has received compensation for artcles wriuen. research services pro\•ided or confctenccs attended from the fofloy,·ing enliticsiAlaska Humanities Forum. Ancb()fa8C School District, Boston University. Fairbanks Daily News-Mine.r, Ohio University, Univeisity of Nebraska, \VellC$kyCollege, and Publishers Marketing Association, Inc.

Person Reportin1 failed to r'tport and include o n the 2003 FinanciaJ Disckisurc Report, the purchase on August 27, 2003 ofan Alaska State Housing finance Corp. bond. Please accept this notice as ao amendment of lhc 2003 FDR. See item #44 of Part VU.

Drue l.,f Report

____

flNANClAL OlSCLOS\.JRE REPORT

KJcinfcld, A.ndrew J 8/ll200l

IX. CERTIF!CA TION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, trne, and complete to the best ofmy knowledge and belief, and that any information not reported was withheld because it met applicable starutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 50 I et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature.

NOTE: ANY INDNIDUAL \VHO KNOWINGLY AND WlLFULLY FALSIFIES ORF AILS TO FILE THJS REPORT MAY BE SUBJECT TO CNIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee o n Financial Disclosure

Administrative Office ofthe United States Coons

Suite 2-30 I

One Columbus Circle, N.E.

Washington, D.C. 20544