alex kozinski financial disclosure report for 2009

8/3/2019 Alex Kozinski Financial Disclosure Report for 2009

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.4 0 J 0 [ FINANCIAL DISCLOSURE REPOR T g e p o , - , ~ e q . ~ , ~ d ~ ,~,~ ~ , / , i ~ . ~in Government Act of 1978g~v. ] /2o lo [ FOR CALENDAR YEAR 2009 ( 5 u . s . c , a p p . 3 ~ 10-1-!1!)1 . P e r s o n R e p o r t i n g ( l a s t a t o n e , f i r s t , m i d d l e i n i t i a l ) 2 . C o o r t o r O r g a n i z a t i o n 3 . D a t e o f R e p o r t

K o z i n s k i, A l e x N i n t h C i r c u i t C o u r t o f A p p e a I s 05/24/20104. Title (Article Ill judges indicate active or senior status; fin. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or pad-time)

[] Nomination. Date 01/01/2009Circuit Judge-Active [] Initial [] Annual [] Final tu!2/31/2009

5b. [] Amended Report7. Chambers or Office Address 8. On the bas is t~f the information contained in this Report and anymodifications pertaining thereto, it is, ia my opinion, in compliance

125 S. Grand Avenue v,.ilh applicable laws anti regulations.Suite 200Pasadena, CA 9l 105 Reviewing Officer Date

1 3 tP O R T A N T N O T E S : The instructions accompanying this form must be follawecL C omplete all parts,checking the NON E box for each part ~,here you have no reportable information. Sign an lastpage.

1 . P O S I T 1 O N S . m q o r , i . g individua! only; see pt ~ . 9 -13 o / f tl i n g i . . . . . . . c l a n s . )[~ NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1. All Limhed Partnerships Reported in Section VII

3. ~ .... c-.~4.

5 . c~ ~ ~ ~

1 I . A G ~ E M E N T S . (~po~ti.g individual only; seepp. 14-16 ,~fillng in,truction$O ~~ N ONE (No reportable agreemems.)DAng PARTIES AND Tg~IS


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FI N A N C IA L D I S C LOS U R E R EPO R T] N ....

f P ..... R e p o r t i n g D a t e o f R e p o r tPage 2 of 1 0 K o z i ,, , ~ i , A l e x 0 5 / 2 4 / 2 0 1 0

1 1 1 . N O N - I N V E S T M E N T I N C O M E . ~R ~,o .n .g ~ .d~ , ia .~ l .~ ~u ~: s .~ ~ ,p. 1 7 -~4 o .~t~r~ .~ instructions.)A. F i le r s Non -Inves tment Incom e

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME(yours, not spouses)

M arch 9-II W ashington State B ar l~th Annual Intellectual Property Institute, Lecture $2,000,00F ee

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during a~j, porth)n of the reporting year, compfetelhissection.(Dollar amount not required except for honoraria.)

[~ NONE (No reportable non-investment income.)D A T E SOURCE AND TYPE

1 . 1 / 1 - 1 2 / 3 1 Self-employed as attorney

I V . R E I M B U R S E M E N T S - r~. , ,~p, ,~t . t~o. . Ioagi , ,g, .~ood. entertai .... t(hwlud~!s those to spm~se and dependent children; see pp. 25-27 oj fi/ ing instructior~.)

[~ NONE (No reportable reimbursements.)S U _ _ ~ Q _ . ~ _ ~ .C ~ DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

l. AALS Constitutional Law Jan. 7-8 San Diego, CA Speaking Engagernenl M ileage & LodgingSection2. F ederalist Society Jan. 13 Los Angeles, C A Speaking Engagement Parking3. Columbia Law School 1an. 21-23 New Y ork, N.Y . Speaking Engagement Travel & Lodging4. Copyright Society of the U.S. Feb. 5-6 New York, N.Y. Speaking Engagement Travel & Lodging5. California Academy of Feb. 7 Pasadena, CA Speaking EngagementAppella~e Lawyers6 . W ashington State Bar, 14th March 9-l I Seattle WA Speaking Engagement Travel & t.odgingAnnual Intellectual Propery


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Ia m e o f P e r s o n R e p o r t in g D a t e o f R e p o ~ tFI N A N C I A L D IS C LOS U R E R EPO R T[ K o z i n s k i , A l e x

Page 3 of 10 0 5 / 2 4 ; 2 0 ~ 0Institute

7 . Univ. of San Fracisco March 23 San Francisco , CA Speaking Engagem ent DinnerFederalist Socieb8 . Harvard law School April 1-2 Cambridge, M A Speaking Engagement Travel & LodgingFederalist SocieW9. Arizona State University April 2-4 Tempe, AZ Speaking Engagement Travel & Lodging

I0 . U.S. Sentencing Commission May 27 Stanford, CA Speaking Engagem ent Dinner & LodgingI 1 . U niv. of Minnesota Law October 15-16 M inneapolis, M N Speaking Engagem ent Travel & LodgingReveiw

12 , Pomona College N o , , . , ~ 2 P o r ~ a o n a , C A Speaking Engagetnent Dinner


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FINANCIAL DISCLOSURE REPOR T N ..... Pe ....Report ing Date of ReportPage 4 of ! () Kozilaski, Alex 05/24/2010

V . G I F T S . (I.ct.aes those to ,~pouse and aepenaem children; seepp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE ~ E S C R t P T 1 O N V A L U I .. ._ . ~!.2,3.4.

5.

VI. LIABILITIES. a~z~N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION ~DE1.2,

3.4.

5.


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FINANCIAL DISCLOSURE REPORT Name of P ..... R e p o r t i n g t D a t e o f R e p o r lPage 5 of 1 0 K o z i n s k i , A l e xI

0 5 / 2 4 / 2 0 1VII. INVESTMENTS and TRUSTS - i ........ l u e , t ...... tions (Includes those o/spo ..... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f il i n g i u s t r u c t l o n a : )~ NONE (No reportable income, assets, or transactions.)...................... ~ ....................... T ....... ~T ..... ~ ..... .......................... U .......................

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g [ G r o s s v a l u e a t e n d T r a ~ s a c l i o ~ s d u r i n g r e p o r t i n g p e r i o d{including t~st asse~) reposing peri~ of r~oning ~riodP l a c e " ( X } " a f t e r e a c h ~ s e t Amount T~e (e .g . V a l u e Value T y p e ( e . g ., D a t e Value [ Gain I d e n t i t y o fe x e m p t f r o m p f i o r d is c l o s u re C~e 1 ~, d i v . , r e n t , C o d e 2 ~ M e l h o d b u y , s e l l , nu~d~/yy Code 2 ~ C~c I buyer/seller(AqI) or at) i ( / - P ) ~ C o d e 3 r e d e m p t i o n ) ( 3 - P ~ ~ (A-H) ( i f p r i v a t e~ ~ " ~ ~ ( Q - g 3 ~ ..... t r a n s a c t i o n )

1. CON EDISON A Dividend Sold 1 1 / 2 0 / 0 9 K D" ~ . " PUGET ENERGY A Dividend Closed 0!/30/09 3 B3. RMA TA X FREE FUND, INC. A I n t e r e s t Sold 1 0 / 2 0 / 0 9 L A4 REF CORP - BONDS A I n t e r e s t Redeemed 4/I 5/09 J5 . AM ERICAN FUNDS CAPITAL INCOME A Dividend Sold 1 0 , , " 0 / 0 9 L DBUI LDER FUND6. i : ~l SANM INA-SC1. A Dividend a T7 . STANCOKP A Interest J T8 . DR.EYFUS Mbq~I MONEY MARKET D Interest N TF L F N D9. WILLIAM BLAIR G ROWTH A Dividend Sold !0/28/09 J BF U N D ( B G F I X )1 0 . ] COCA COLA (KO) A D M d c n d JI I, F DELITY DEVONSItlRE FUND (FIUIX) A Dividend Sold 1 0 , 2 0 / 0 9 J A1 2 . FIDELITY EQUITY INCOME F U N D A Dividend Sold 1 0 1 2 0 / 0 9 J A(FEQIX)1 3 . FIDELITY EQUITY INCOME II FLrND A Dividend Sold 1 0 1 2 0 / 0 9 J A(FEQTX)14 . FII.)ELITY LOW PRtCED STOCK A Dividend Sold 1 0 / 2 0 , . " 0 9 K EFUND(FLPSX)1 5 . SCUDD ER GROWTH & I NCOME A Dividend Sold ] 1 1 2 0 / 0 9 J AFLrND(SCDGX)16 . l JANUS WORLDWIDE A Dividend Sold 1 0 / 2 0 / 0 9F U N D ( J A W W X )1 7 . LONGLEAF PARTNERS FUND(LLSCX) I3 Dividend ] Sold 10/20/09 K DI

i I Income Gain Cod~: A =$l,000 or less B :$l.00l - $2,5(}0 C =$2,501 - $5,00B D =$ 5.~}01 - $15.000


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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 tFINANCIAL DISCLOSURE REPOR TK o z i , s k * , . ~ e xage 6 o f 10 0 5 / 2 4 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i,co,,e, ,,t,~, r~, .... ti,,ns (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g~ NONE ~0 reportable income, assets, or transactions.)........... ~. ....... ~ B . -T c. " .................................... 5 ~ ...............................D e s c r i p t i o n o f A s s e t s ~ I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d n r i n g r ~ o n i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) re~ing per iod o f r e p o a i n g p e r i o d

{ 1 ~ . . . . . . . . . i2~--~~ ~ {1) (2) (3) (4) ....... {i)- .........e x e m p t f r o m p r i o r d i s c l o s u r e , C o d e 1 d i v . r e n t ~ C o d e 2 " M e t h o d 1 buy, sell, ~m~d~yy Code 2 [ Code I [ buyer/seller( A - . H ) o r i n t . ) ( J -P ) C o d e 3 r e d e m pt i o n ) [ [ < J - P ) [ < A - H ) I (ifpri,ate

18 . MA NAGERS I~"L EQU ITY A Dividend Sold l 1/20/09 J BPUND(MG ITX )19 . W E L L S F A G O ~ D S M O N T G OM E R Y A Dividend Sold 10/20/09 J CE M E R G ~ G ( M F F A X }

2 0 . WHI TE OAK GROWTH FU ND( WOGSX) A Dividend Sold 11/20/09 J A2 1 , R O Y C E P E NN MUT UA k F ~ D ( P E ~ X ) A Dividend Sold I U 2 0 / 0 9 : K2 2 . STONG HI GH YI ELD FU ND( STHYX) A Dividend Sold 12/1/09 J C2 3 . TOR~AY FUND( TORYX) A D ividend Sold [ I 1 / 2 4 / 0 9 K A2 4 . IRAs

2 5 . FIDEL1TY SPARTAN (FSTMX ) A Dividend Sold 8 / 6 1 0 9 K2 6 . SCHW AB M ONEY MA RKET FUND A Interest J T2 7 . SCHWAB S&P 500 INDEX A Dividend Sold 8 1 5 / 0 9 J AFUN D(SWPIX)2 8 . A I n t e r e s t K T2 9 . VANGUARD LI FE STRATEGY A Dividend Sold 8 1 5 / 0 9 K AGROWTH FU~qD ( VASGX)3 0 . [ "SCHW AB M ONEY M ARKET A Interest J T,

F U N D ( S W M X X )3 !. VANGUARD TOTAL STOCK M KT A Dividend Sold 8 / 5 1 0 9 K AI NDEX FD ( VTSMX)3 2 . SCtlWAB TOTAL STK MKT-INV A Dividend Sold 8/5/09 J A(SWTIX)3 3 . SPARTAN US EQUITY INDEX(FUSEX) A Dividend Sold 12/2/09 K 133 4 . DREYFUS SHORT A Dividend Sold 12/02/09 J 13INTERGOVERNM ENT(DSIGX)


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FINANCIAL DISCLOSURE REPOR T r ~ a . ,~ o f P . .. .. R e p o . i . ~ D ~ t e o r r ~ e r , , , aPage 7 of 1 0 Koz inski, Alex 0 5 / 2 4 i 2 0 1 0VII. INVESTMENTS and TRUSTS -

N O N E (No reportable income, assets, or transactions.)

[ Description of Assets ~B. C. -- D.

t ~ Incom e during Gross value a~ ~d Transactions during reporting period(including m~st assets) I reposing period of reposing pe~odPlace "(X)" a~ .....h ...., I~t I Type( ..... Value ~ Value T~e(e.g.. [ Date [ Value ~ Gain ldenti tyofexemp~ #omphor d isc losure ~ u~e ~ [ diD., rent . Code2 ] Method buy, sell, ~mntld~ ~ Code2 [ C~e I buyeriscller, (A-H) I~ or int.) (J -P) Code 3 redempt ion) ] ~ (J-P) (A-H) (if private

35 . FideliD Cash Reserves~D~X) A Interes l J T

~ 36. DI~CTV G~ F~D A Div ide nd Sold 9/30109 J A~ 37. DI~CTV EQUITY F~D A Div ide nd Sold 9/30/09 J A

38 . NEWS CORP STOCK FUND A Div ide nd Sold 9/30/09 J A39 . DI~CTV BALANCED F~D .... A D iv iden d So ld 9/30/09 J A40 , DIbIECTV FIXED INCOME A D iv iden d So ld 9/30/09 J A41 . TIP None J T Buy 8/7/09 ,~42 . H Y G None J T B uy 8/7/09 J43 . G D X N oDe J T B uy 8/4/09 J44 . B ND None J T B u~ 8/4/09 J45 . V W O None K T B uy 8/4/09 J46 ~,;GK None J T B uy 8/4/09 J47 . V PL None J T B uy 8/4/09 J48 . V NQ None J T B uy 8/4/09 J49 V B None K T B uy 8/5/09 K50. VTI None K T B uy 8/5/09 K5 I. V NQ None L T B uy 8/27/09 L

; P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 , 0 0 t L 0 0 0 P 4 = M o r e lh a ni (Scc C~lu~ C2) 1 9 = 1 3 o o k V a l u e V = O t he ~ W = E s t im a t e d


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FINANCIAL DISCLOSURE REPOR T :~,~ of P .....Reporting [ Date of ReportPage 8 of 10 K o z i n s k i , A l e x1

05/24/ 2010

VII. INVESTMENTS and TRUSTS - i. ........ ~.e, t .......lons (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructions.)NONE (No reportable income, assets, or transactions.)

B. C. D. -- ...................DescriptionAof Assets I Income dur ing I G ros s va lue a t e nd Transactions during reporting period(including trust assets) re por t ing pe r iod L o f re por t ing pe r iodPtacc "(X)" after each asset / A o , o < , . < l Type(e .g. , /V~iue t Value T ype (e .g . , i Date Value I Gain Ide n t i tyof

[ Code I [ di ...... Code 2 Method buy sell, I rrlrrddchvy" Code 2 ! Code I buyer/sellerxempt from prior disclosure ] (A- H) ~ orin t ) [ IJ-p) i Code 3 redempt ion) I " (J-P) ] (A -H ) (i~privatc

I 52. TIP N o n e M T Buy 8/24!09 M53. IBOXX None K T B u y 12i08/09 K54 . LIMITED PARTNERSHIPS:

5 5 , (PTR) HISTORIC PRE. PROP. A Interest J U5 6 , (PTR) WINGATE ttSG. 11 A Interest J U


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FINANCIAL D1 SCLOSURE REPORT ] N ....f Person Report ing Da le o f Re por tPage 9 of 101[ ~ o z i n s u , A , e x

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPORT / Name of P ..... R e p o r t i n g D a t e o f R e p o r tPage 1 0 o f 10 K o z i n s k i , , ~ l e x 0 S : 2 4 / 2 0 ~ 0

IX. CERTIFICATION .I certify that all information given above ( including information pertaining to my spouse an d minor or d ependent children, if any) isaccurate, ~rue, and complete to the best of m y knowledge and belief, and that an) information no t reported was withheld because it m et applicable stalutoryprovisions permitting non-disclosure.I further eertlfy that earned income from outside employm ent and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. S01 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Sign

N O T E: A N Y I N D I V I D U A L W I tO K N O W I NG L Y A N D W I L F U L L Y F A L S IF I E S OR F A I L S T O F I L E T H I S R E PO R T M A Y B E S U B J E C T T O C I V I LAND CRIMINAL SA NCTIONS (S U.S.C, app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United Slates CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20.544

alex kozinski financial disclosure report for 2009

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