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Judicial Watch • Joan B Gottschall Financial Disclosure Report for 2005

Joan B Gottschall Financial Disclosure Report for 2005

Joan B Gottschall Financial Disclosure Report for 2005

Page 1: Joan B Gottschall Financial Disclosure Report for 2005

Category:Financial Disclosure

Number of Pages:10

Date Created:December 1, 2006

Date Uploaded to the Library:November 13, 2013

Tags:regulations, Gottschall, Joan B Gottschall, committee, Growth, vanguard, stock, 2005, EPA, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev. 112006 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-lll) Person Reporting Oast name, first, middle initial) Gottschall, Joan Court Organization U.S. District Court, NDJL Date Report 0511512006 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge--active status  Sa. Report Type (check appropriate type) Nomination, Date Initial 129 Annual Final Reporting Period 01/01/2005 12/31/2005  
Sb. Amended Report Chambers Orfice Address 219 South Dearborn St. Room 2356 Chicago, 60604 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  
IMPORT ANT NOTES: The instructions accampanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign ot1 last page. OSITI NS. (Reporting individual only; see pp. 9-J instnictions.) NONE (No reportable positions.) POSITION Member Visiting Committee the Divinity School, University Chicago 
Member, Board Directors Illinois Humanities Council 
Member, Board Directors Martin Marty Center the University Chicago Divinity School 
Chair, Disuict Selection Committee The Rhodes Trust 
Member, Board Directors Foundation for Law and Science Centers 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
,_._, 
[20 NONE (No reportable agreements.) 

PAR TIES AND TERMS 

0511512006
Gottschall, Joan 
III. NON-INVESTMENT INCOME, (Reporting individual and spouse; see pp. 17-U instructions.) Filer's Non-Investment Income  NONE (No reportable non-investment income.)  

 SOURCE AND TYPE  INCOME  
(yours, not spouse's)  See Section VIII, note 0.00 Spouse's Non-Investment Income -I/you were married during any portion t/le reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[RJ NONE (No reportable non-investment income.) 

SOURCE AND 

IV, REIMBURSEMENTS -transportation, lodging, food, entertainmenl 
(fncludes those spouse and dependent children. See pp. 25-27 instructions.)  NONE (No reportable reimbursements.)  
SOURCE  DESCRIPTION Benzie Area Women's History Project  Crystal Mountain, MI, 3/18-3/20, conference speaker (air fare, meals, lodging) Yale University  New Haven, Conn., 9115-9116, speaker Sarah Smith Memorial Conference (air fare, ground transportation, meals, lodging) lllinois Humanites Council  Springfield, IL, 9/29-9/30, attendance Illinois Humanities Council board meeting (meals, lodging) GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) NONE (No reportable gifts.) SOURCE DESCRIPTION Reduced annual dues for judges Union League Club Chicago 2352 

VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) 
 	NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 

0511512006
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS income, vatue, transactions (includes those the spouse and dependent children. see PP 34-57 offilinc instructions) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure 
L_____ ---------- Income during reporting period Gross value end reporting period Transactions during reporting period  
(I)  (2)  (!)  (2)  (I)  Ifnot exempt from disclosure  
Amount Code (A-H)  Type(e.g. div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) Vanguard Wellington Fund  Dividend Vanguard Wellesley Fund  Dividend Vanguard Index Trust  Dividend Vanguard Prime Portfolio  Dividend Van Kampen Emerging Growth Fund  None Eaton Vance Muni Bond Fund  Dividend Treasury Strip (11-15-09)  None Fed Credit Union Accts  Interest IBM common stock  Dividend  
10. Sr.Hi Inc Port.  Dividend Viacom c/stock Class  Dividend  
12. Viacom c/stock Class  Dividend  
13. Munder Net Net Fund (now Internet Fund)  None  
14. Time Warner c/stock  Dividend  
15. Intel c/stock  Dividend  
16. Waste Management c/stock  Dividend  
17. Vanguard Tax-Managed Growth Income Fund  Dividend Income Gain Codes: =$i ,000 less =$1,001 -$2,500 $2,50t -$5,000 =$5,001 -$15,000  
(See Columns and 04) $50,001 -St00,000 =$I 00,00 -$1,000,000 =$1.000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less  K=$15,00! -$50,000 =$50,00 -$I 00,000 =$100,001 -$250,000  
(See Columns and 03) $250,00t -$500,000 $500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 Value Method Codes =S25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Markel  
(See Column C2) =Appraisal  V:=:Other =Assessment =Book Value :=:Estimated  

0511512006
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see pp. 34-57 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
(1)  (2)  (1)  (2)  (1)  Ifnol exempt from disclosure  
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g. div. rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g. buy, sell, merger. redemption)  (2) (3) (4) (5) Date Value Gain Identity Month-Code Code buyer/seller Day (J-P) (A-H) (if private transaction)  

18. Flextronics c/stock  None  
19. Hewlett-Packard c/stock  Dividend  
20. Caremark c/stock  None  
21. Dycom c/stock  None  
22. MVSN c/stock  None  
23. MFS Mid-Cap Growth Fund  None  
24. Putnam New Value Fund  Dividend  
25. MFS Utilities Fund  Dividend  
26. MFS Govt Securities Fund  Dividend  
27. MFS Value Fund  Dividend  
28. MFS Large Cap Growth (name change: Core Growth)  None  
29. Morgan Stanley Active Assets Money Trust  Dividend  Bought/Sold    *passim  
30. Morgan Stanley Liquid Assets Fund  Dividend  Bought/sold    *passim  
31. Vanguard Capital Opportunity Fund  Dividend  
32. MFS Government Mortgage Fund (name change: MFS Govt Sec  Dividend  
33. Morgan Stanley (MS) Govt Sec. Fund  Dividend  
34. Large Cap Value (name change: Mercury Large Cap Value)  Dividend Income Gain Codes:  A=$ ,000 less =$1,001 -$2.500 =$2,50 -$5,000  D=S5.00l -$15.000  E=Sl5.00I -$50,000  
(Sec Columns and 04) =$50,00 -$100.000 =$I 00,00 -$1.000.000 =$1.000,001 -$5.000.000 =More than SS,000,000 Value Codes  J=SIS,000 less =$15.001 -$50.000  L=$50,00l -$J00,000 =$100,001 -$250,000  
(Sec Columns and DJ) =$250.00 -$500,000  0=$500,00 .000,000 =$1,000,00 -$5.000,000 =$5,ooo.oo -$25.ooo.ooo Value Method Codes =$25,000.001 -$50,000,000 =Cost (Real Estate Only) =More than .$50,000,000 :=:Cash Marke!  
(See Column C2) =Appraisal  V=Otber =Assessment =Book Value  W=Estimated  

0511512006
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS income, value, transactions (includes those the spouse and dependent children. see PP 14.s1 filing instructionsJ NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) Amount Code (A-H) (2) Type (e.g. div., rent, int.) Gross value end reporting period (I) Value Code (l-P) (2) Value Method Code3 (Q-W)  (!) Type (e.g. buy, sell, merger, redemption) Transactions during reporting period not exempt from disclosure (2) (3) (4) Date Value Gain Month-Code Code Day (J-P) (A-H) (5) Identity buyer/seller (if private transaction)  

35. Value Opportunities (name change: Mercury Value Opport)  Dividend  
36. MuniEnhanced Fund  Interest  2004 Report error: Value Income Gain Codes: ==SI.ODO less Sl,001 -S2,500 =$2,501  $5,000  D=S5,001-Sl5,000 =$15,001 -S50,000  
(See Columns and 04) =$50,00 to0,000 =SI00,001  St,000,000 =$1,000,001 -$5,000,000 =More than SS,000,000 Value Codes ""$15,000 Jess 15,00 -S50,000 =$50,00 SI 00,000 =$100,001 -$250,000  
(Sec Columns and 03) =S250,00 -$500,000 =S500,00  1,000,000 =$1,000,00t -S5,000,000 =$5,000,001  $25,000,000 Value Method Codes =S25,000,001  $50,000,000 :Cost (Real Estate Only) =More than SS0,000,000 ""Cash Market  
(See Columa C2)  Q=Appraisal  V=Otber =Assessment =Book Value =Estimated  

0511512006
Gottschall, Joan 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicateparto/Report.) 
NOTE (Section Ill) 
Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting period. 

Date Report 
Gottschall, Joan 
0511512006 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

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

JUDICIAL CONl"llltENCI 01" THI: UNITED STATES 
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Uhited States District Court 
219 South Dearborn Street 
Chicago, Illinois 60604 

Re: Docket No. 828 
Dear Judge Gottschall: Canadian corporation whose shareholders will the partners the dissolved partnership. After the partnership formed, your sole role will serve shareholder. shareholder, you will share proceeds arising from the sales the book and the use the rights the book. You ask whether you may pdrticipate this ar=gcet ithot transgressing either the Code Conduct for United States Judges the Ethics Reform Act  1989.  
permitted write  The under  receipt the Code non-legal  income from Conduct. subjects.  writing editing book canon says, judge may The Committee believes that  

editing and proofreading are activities covered the word "writing." And the Committee has approved, least implicitly, the receipt income from writing. Advisory Opinion No. 55. Ther are restrictions the manner which judge's name may used the promotion book, but, assume, these restrictions are not likely involved your case since you are not the author and your name unlikely used connection with selling the book. Nor there anything about the nature the 

Honorable Joan Gottschall 
October 23, 1991 

book, "Food and the Gut Reaction", that suggests your association with the book would "detract from the dignity the judge's office." Canon SA. 
Under Canon 5C(2) judge may serve "director (or) 
active partner any business wholly owned mebers the judge's family all whom are related the judge 
within the third according the law system." 
related you within the third degree,  business shareholder 
The language th2 Carim perni ts, _g_ inactive partner and non
family enterprise. Your participation 
violate your duty under Canon SC. minimize the number cases which the judge disqualified"; this because you could not, any event, hear cases which have interest. Canon JCl{d). 
Finally, the Ethics Reform Act does not generally prohibit either serving p?rtner shareholder. There are specific limitations such activity, but these are not, save one, remotely applicable here. Regulations the Judicial Conference the United States Under Title the Ethic Reform Act 1989 
Regulations"). The .Tit'ke'VI-Regulations bar any

"for compensation officer member the boa"t'."d 
corporation other entity." 
 (a) (4). your case, you will not serve officer board member and ihe prohibition  5(a)(4) does not apply your proposed activity. 
You also should aware that the Ethics Reform Act limits the amount outside income earned any one year. The income limit :-ict C.p?l icable your i.rcuI!'.stances. Title Regulations  J(b) (2) provides that "funds received for services rendered before January 199111 are not outside earned income. 
The Committee advises that the course action proposed you consistent with the Codes Conduct and the Title Regulations the Judicial Conference.