Alex Kozinski Financial Disclosure Report for 2010

8/3/2019 Alex Kozinski Financial Disclosure Report for 2010

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Rev. 1/2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. §§ 101-111)

I . P e r s o n Repor t ing ( l as t n a m e , f i r s t , m i d d l e i n i t ia l )

Kozinski , Alex

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-time)

2. Court or O rganization

N in th Ci r cu i t Cour t o f Appeals

5a. Repor t Type (check appropr ia te type)

] Nomination, D a t eCircui t Judge - Ac t ive

7. Ch a m be rs o r Off i c e Addre ss

125 S. Gr and AvenueSu i te 200Pasadena, CA 9 1105

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n the basis of the informat ion c o n t a i n e d i n t h i s Repor t and any

m o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , in c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Officer Date

3. Date of Report

06/13/2011

6. Repor t ing Per iod

01/01/:2010to

1:2/31/2010

IMPORTANT NOTES: The ins tructions accompanying this form must be fol lowecL Com ple te al l parts ,

checking the NONE box for each part where you have n o reportable information. Sign on last page.

I . P O S I T I O N S . t R e p o m n g individual only; seepp. 9-I3 of filing instructions.)

D NONE(No reportableposit ions.)

POSITION

1 . All L imi ted Par tner sh ips

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

Repor ted in Sec t ion VII

I I . A G R E E M E N T S . m e p o . i n g i n d i v id u o l o n l y ; se e p p . 1 4 - 1 6 of filing instructions.)

~] N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S



FINANCIAL DISCLOSURE REPORT

of 8

N a m e o f P e r s o n R e p o r t in g

Kozinski, Alex

Date of Report

06/13/201 l

I lL N O N - IN V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of.filing instructions.)

A. Filer’s Non-lnvestment Incom e

D (No reportable income.)O N E non-investment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e ’ s )

|o

2. Feb. 3-6 Va nde rb i l t U niv . L a w S c h oo l -L e c tu re Fe e $1,300.00

3 . Mar ch 18 S t . J oh n’ s L a w Re v ie w -Cons t i tu t iona l L a w Pa ne l $2,000.00

4. Oct . 22 D e P a u l U n i v e r s i ty $2,000.00

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - If you were married during anyportion of the reportlng year, complete this section.

(Dollar amount not required exce pt for honoraria.)

D N O N E (No reportable income.)on- inves tmen t

DATE

1 .1 /1 -12 /31

2.

3.

4.

SOURCE AND TYPE

Sel f -employed as a t to r ney

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainmeng

(Includes those to spouse and de pendent children," see pp . 25-27 off!ling instructions.)

Q N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE

1. C h a n c e r y C l u b o f L o s Jan. 7 L os A nge le s S p e a k in g E n g a g e m e n t

A n g e l e s

2. Va nde rb i l t U niv . L a w S c h oo l Fe b . 3 -6 N ash v ille , T N S p e a k in g E n g a g e m e n t Tra v e l & Lo d g i n g

3. S a n ta C ru z C o u n ty F eb . 26 S a n ta C ru z S p e a kin g E n g a g e m e n t L u n c hI m m i g r a ti o n L a w y e r s

4. F e d e ra l Ba r Asso c i a t i o n Mar ch 11 L o s A n g e le s S p e a kin g E n g a g e m e n t L u n c h

5. S t . J oh n’ s L a w Re v ie w Mar ch 17 -19 Qu e e n s , N Y S p e a kin g E n g a g e m e n t Tra v e l & Lo d g i n g

6. F e d e ra l Ba r Asso c i a t i o n Mar ch 24 S a n F ra n c isc o , C A S p e a kin g E n g a g e m en t L u n c h

ITEMS PAID OR PROVIDED

Lunch




of 8

N a m e o f P e r so n R e p o r t i n g

K oz ins k i , A le x

Date of Repor t

06/13/201 I

7. A m e r i c a n A c a d e m y o f April 8-9 Ph oen ix , AZ S p e a k i n g E n g a g e m e n t Trave l & LodgingAppellate Layers

8. F o r d h am U n i v S c h o o l o f April 23-27 N ew Yor k , N Y S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g f o r S e l f a n d S p o u s eLaw, In te l l ec tua l Pr oper y ,

M ed ia & En ter ta inmen t LawJ o u m a t |

9. Univ . o f Ch icago Feder a l i s t May 16-18 Chicago, IL S p e a k i n g E n g a g e m e n t Trave l & LodgingSociety

I 0 . Univer s i ty o f C al i f . , San ta May 20-21 Santa Barba ra , CA S p e a k i n g E n g a g e m e n t Tr avel & Lodg ins

Bar bar a

I I. Los Angeles Feder a l i s t June 4 Los Angeles , CA S p e a k i n g E n g a g e m e n t D i n n e rSociety

12 . Association of Business Tr ial Sept . 27-28 S a n D i e g o , C A S p e a k i n g E n g a g e m e n t Trave l & LodgingLaw yers

13 . Los Angeles Copyr igh t Oct. 13 Los Ange le s , CA S p e a k i n g E n g a g e m e n t D i n n e rSociety

1 4 . D eP au l Un iv e rs ity O ct. 20-22 C h i c a g o , I L S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g

1 5 . V i r g n i a L a w R e v i e w Oct. 22-23 Ch ar lo t tesv i l l e , VA S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g

1 6 . Feder a l i s t Socie ty -Univ . o f Nov. 3 Ber keley , CA S p e a k i n g E n g a g e m e n t L u n c h

Cal i f . Ber keley

17 . ]’he Independent Insti tute Dec . 9 -10 O a k l a n d , C A S p e a k i n g E n g a g e m e n t T r a v e l & L o d g i n g

1 8 . Los Angeles Associa t ion o f D e c . 6 Los Angeles , CA S p e a k i n g E n g a g e m e n t D i n n e r

Tax Counsel




P a g e 4 o f 8

Name of P e rs on R epor t ing

Kozinski , Alex

V . G I F T S . a . c l .d e ~ , h o s e , o ~ ,o u ~ e o n d d , p e n d c n , children; s e e p p . 2 8 - 3 1 of filing instructions.)

N O N E (No re portable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

Date of Report

06/13/2011

V A L U E

V I . L I A B I L I T I E S . an c ~ u d c s , h o s c o f s p o u s e a . d dependent children; see p p . 3 2 - 3 3 offillng instructions.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

V A L U E C O D E




of 8

N a m e o f P e r so n R e p o r t i n g

Kozinski, Alex

Date of Report

06/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~)

N O N E (N o reportable income, assets, or transactions,)

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

( i nc l ud i ng trust a s s e t s ) r e p o r t in g p e r i o d

(] ) (2 )

Place "(X)" after each assel A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I div., rent,

( A - H ) or in t . )

G r o s s v a l u e a t e n d

of repor t ing pe r iod

(i) (2)

V a lu e V a lu e

C o d e 2 M e t h o d

(J-P) C o d e 3

( Q - W )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(1 ) (2) (3)

Type (e.g., D ate V a l u e

buy, sell , m m /dd!yy C ode 2

redemption) ( J - P )

(4 ) (5 )

G a i n Identity of

Code I b u y e r / s e l l e r

( A - H ) (if private

t r ansac t ion)

1 . ~. SANM1NA-SC I A D i v i d e n d J T

2. STANCORP A Interest J T

3. DREYFUS MUNI MONEY M ARKET D I n t e r e s t NFUND

4. COCA COLA (KO) A Dividend J

T

T

5. SCHW AB M ONEY M ARKET FUND A I n t e r e s t J

6. S E P . T R D G . R E G . A Interes t Redeemed 08/15/10 K D

7. ["SCHW AB M ONEY M ARKETFUND(SWMXX)

8. Fidel ity Cash Reser ves ( FDRX X )

9. TI P

1 0 . HY G

1 1 . GD X

1 2 .

1 3 .

14 . BN D

1 5 . V WO

1 6 . V G K

1 7 . V PL

A I n t e r e s t J

A I n t e r e s t K

None J

None J

None M

None

None

None

None

J

J

J

J

T

T

T

T

T

T

T

T

B u y 04/09/10

(a dd’ l )

Sold 08/03/10

(part)

S o l d 08/03/10(part)

B u y 07 / 27 / 10

(a dd’ l )

B u y 08/30/10

(a dd’ l )

S o l d 08/03/10

(part)

S o l d 0 g /0 3 /1 0

(part)

S o l d 08/03/10

(part)

S o l d 08/03/I 0

(part)

S o l d 08/03/10

(part)

K

K

K

L

L

J

K

J

J

J

A

A

A

A

A

A

A

I. I ncome G ain Codes :

(See C o lu mn s B I an d D4 )

2. Value Codes

(See C o lu mn s C I an d D3)

3. Value Meth od Codes

(Sce C o tu n m C 2 )

A=$ 1,00Oorl css

F =$ 50 ,001- $100,000

J ~$15,000 orlcss

N =$250,001- $500,000

P3 =$25,000,001 o $50,000,000

Q= Ap p ra isa l

U = B o o k V a lu e

B =$1,001- $2,500

G=$100,001- $1,000,000

K =$15,001 -$50,000

O=$500,001 -$1,000,000

R = C o s t (Rea l Es ta te On ly )

V = O t h e r

C =$2,501 - $5,000

H 1 =$1,000,001 - $5,000,000

L = $5 0 ,0 0 1 - $ 1 0 0 . 0 0 0

PI $1,000,001 - $5,000,000

P4 =More than $50,000,000

S = Assessmen t

W =Estimated

D -$5 ,001- $15,000

H2 =Morethan $5,000~00

M-S100,001- $250.000

P2 -$5,000,001- $25.000,000

T = C a s h M a r k e t

E =$15,001- $50,000




of 8


Kozinski , Alex

Date of Report

06/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l .e , t ra n s a c t io n s ancludes those of spouse a n d dependent children; see pp. 3 4 - 6 0 of filing instructions.)

NONE ~o reportable income, assets, or transactions.)

A. B. C.

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

( in c lu d in g tru s t a s se ts) re p o rt in g p e r io d o f r e p o r t i n g p e r i o d

(1) (2) O) (2 )

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e

exempt from prior disclosure Code l d iv ., r e n t, C od e 2 M e t h o d

( A - H ) or i nt . ) ( J - P ) C o d e 3

( Q - W )

0)Type (e,g.,

buy, s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a t e V a l u e Ga in

mm/dd/yy Code2 Code I

(J-P) ( A - H )

Identity of

b u y e r / s e l l e r

(if private

t r ansac t ion)

18. VNQ

19. VB

20 .

21 .

22 .

23 .

24. SCHO

None

None

None

J

J

T S o l d(part)

T Bu y

(add’l)

Bu y

(a dd’ l )

S o l d(part)

S o l d

(part)

S o l d(part)

B u y

08/03 /10

03 /08/10

04/09/10

07/27/I 0 I

08/03 /10

08/06 /10

08/12/10

J

L

K

L

K

K

L

A

A

A

25 . Sold 08/26/10 L A

26 . V TI

27 . V N Q

None

None

S o l d 08/02/10 K A

(part)

S o l d 0 7/2 7 /1 0 L D

28. TIP None Sold 03/08/10 M

29. IBOXX None Sold 04/09/10 K A

30. (PTR) H ISTORIC PRE. PROP. A I n t e r e s t J

31 . ( PTR) WIN GATE HSG. I I A I n t e r e s t J

1. I n c o m e G a i n C o d e s :

( S e e C o l u m n s B 1 a n d D 4 )

2. V a l u e C o d e s

( S e e C o l u m n s C I a n d D 3 )

3. V a l u e M e t h o d C o d e s

( S e e C o l u m n C 2 )

A =$1,000 or less

F=$50,001 - $ 100,000

J =$15,000 or less

N =$250.001 - $500,000

P3 -$25.000.001 . $50,000,000

Q =Appraisal

U =Book Value

B=$1,001 - $2,500

G =$100,001 - $1,000,000

K=$15,001 - $50.000

O =$500,001 - $1,000,000

R =Cost (Real Estate Onty)

V - O t h e r

C =$2,501 - $5,000

H 1 =$ 1,000,001 - $5,000,000

L =$50,001 - $100.000

P I =$ 1,000,001 - $5,000,000

P4 =More than $50,000,000

S = Asscssmcn t

W =Estimatcd

D =$5,001 - $15,000

H2 -More than $5 ,000.000

M =$ 100,001 - $250,000

P2 =$5,000,001 - $25 ,000,000

T =Cash Marke t

E =$15,001- $50,000




P a g e 7 o f 8



Date of Report

06/I 3 /2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.




of 8

Nam e of Person Repor t ing


Date of Repor t

06/13/2011

IX. CER TIFICATION.

1 c e r t i f y t h a t a ll i n fo r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n fo r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e to t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n fo r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r y

p rov i s ions permi t t i ng non -d i sc losu re .

1 fu r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i ncompl i ance wi th the p rov i s ions o f 5 U.S.C. app . § 501 e t . s eq . , 5 U.S.C. § 7353, and Jud ic i a l Conference regu la t i ons .

Signature: S] Alex Kozinski

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F AL S I FI E S O R F A IL S T O F I L E T H IS R E P O R T M A Y B E S U B JE C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . § 1 0 4 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

Alex Kozinski Financial Disclosure Report for 2010

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