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Judicial Watch • Joan B Gottschall Financial Disclosure Report for 2006

Joan B Gottschall Financial Disclosure Report for 2006

Joan B Gottschall Financial Disclosure Report for 2006

Page 1: Joan B Gottschall Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:10

Date Created:January 31, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Viacom, canon, Gottschall, Joan B Gottschall, committee, united, 2006, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. opp. 101-111) Person Reporting (last name, first, middle initial) Gottschall, Joan Court Organization U.S. District Court, NDIL Date Report 05/15/2007 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  Annual Final Reporting Period 01/01/2006 12/31/2006  
Sb. Amended Report Chambers Office 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  

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY  Member  Visiting Committee the Divinity School, University Chicago  Member, Board Directors  Illinois Humanities Council 
Member, Board Directors 
Chair, District Selection Committee 
Member, Board Directors 

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

PARTIES AND TERMS 

Date Report 
Gottschall, Joan 
05/15/2007 
Ill. N-INVES TMENT INC ME. (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 -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[2[J NONE (No reportable non-investment income.) SOURCE AND TYPE 

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.)  NONE (No reportable reimbursements.)  
SOURCE  University St. Thomas (Minneapolis) Law School  Food, lodging and transportation law school seminar 

Date Report 
Gottschall, Joan 
05/15/2007 GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 	NONE (No reportable gifts.) DESCRIPTION VALUE Reduced annual dues for judges Union League Club Chicago 2004 

VJ. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
(KJ  NONE (No reportable liabilities.)  
CREDITOR  DESCRIPTION  

VALUE CODE 

Date Report 
Gottschall, Joan 
05115/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 offl/ing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place "QC)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: 1.000 less =Sl,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4)  F=$50,00I -SI00,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15 ,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,00t -$250,000  
(See Columns and DJ) =$250,001 -$500,000 =S500,00t -St,000,000 =St,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -S50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Other =Assessment =Book Value  W=Estimated  

Date Report 
Gottschall, Joan 
0511512007 
VII. INVESTMENTS and TRUSTS -income, valae, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: 1,000 less =Sl ,001 -$2,500 =$2,501 -$5,000 =$5,001 -Sl5,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -SI,000,000 =Sl,000,001 -S5,000,000  H2=More than $5,000,000 Value Codes  J=S15,000 less =$15,001 -$50,000  L=S50,00l -SIOO,OOO =$100,001 -$250,000  
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -SI,000,000 =Sl ,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =S25,000,00I -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal  V=Other ""Assessment  
U=Book Value =Estimated  

Date Report 
Gottschall, Joan 
05/15/2007 
VII. INVESTMENTS and STS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset 
exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(!)  (2)  (J)  (2)  (J)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.  Value  Value  Type (e.g.  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month- Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

34. Mercury (now BlackRock) Large Cap Value  Dividend  
35. Mercury (now BlackRock)Value Opportunities  Dividend  
36. (now BlackRock) MuniEnhanced Fund  Interest  
37. CBS Cl. c/stock (sold 5/07)  Dividend    1-4  *Viacom sh/for/sh dividend  
38. CBS Cl. c/stock (sold 5/07)  Dividend    1-4  *Viacom sh/for/sh dividend  
39. Bank Dep. Program  Interest  Bought/sold    *passim. See VJII, n.3 Income Gain Codes: 1,000 less =Sl ,001 -$2,500  c=$2,501 -$5,000  D=$5,001 -$15,000  E=Sl5,00I -S50,000  
(See Columns and D4)  F=$50,00I -$100,000 =$100,001 -SI,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes  J=$15,000 less  K=$15,001 -$50,000  L=SSO,OOl -$100,000 =$!00,001 -$250,000  
(See Columns and D3)  N=$250,001 -$500,000 =$500,001 -SI,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Yalu Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only)  P4=More than $50,000,000  T=Cash Market  
(See Column C2)  Q=Appraisal =Other =Assessment  
U=Book Value =Estimated  

Date Report 
Gottschall, Joan 
05/15/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicate partofReporL) 
NOTE (Section III) 

Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting period. 

NOTE (Section VII, lines 11-12, 37-38) January 2007, Viacom Inc. redeemed certain number its shares and gave, what calls stock dividend, equal number CBS shares. Thus, Viacom 
took back 177 Class Viacom shares and distributed 177 shares CBS Class shares me. took back Viacom Class shares and distributed CBS Class shares me. This was partial redemption; column reflects holdings the end the reporting period. 

NOTE (Section VII, lines 29, 39) 
Over the course the year, Morgan Stanley eliminated its Active Assets Money Trust, short-term money market fund for holding cash, and moved all funds 
from that fund what called the Morgan Stanely Bank Deposit Program. statement indicates some cash Discover Bank; informed Morgan 
Stanley that will place funds with different banks its discretion. 

Date Report 
Gottschall, Joan 
05/1512007 

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 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
R06]
Date 
NOTE IVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND SANCTIONS U.S.C. app.  104) 
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 

COMMITTEE CODl!:S 01' CONDUCT 
01' TH" 
JUDICIAL CONl'UtlCNCE 01' THI: UNITl!:D STATl!:S 
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Juoor It. LAHICll ANOCHOH, Ill WILMINGTON, Dl:l.AWAIH lt801 
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 JONU 
Juoc NATHANICL " JONU October 23, 1991 
COUNll:L 
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Juoor JAN ZAOIL 
Juooc WAI. TIJl rA,,LTOJlif 
CHAl,. norble J0an Gottsh l 
United States District Court 
219 South Dearborn Street 
Chicago, Illinois 60604 

Re: 
Docket No. 828 

Dear Judge Gottschall: 1986, 1987, and 1988 you, along with your itten your 
for its 
canada 
whose 
will 

turn, transferred Canadian corporation whos.e 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 thia ar=agc=et ithot trancgressing either the Code Conduct for United States Judges the Ethics Reform Act 1989. 
The receipt income from writing editing book permitted under the Code Conduct. Canon says, judge may non-legal subjects." The Committee believes that and proofreading are activities covered the word And the Committee has approved, least implicitly, 

the receipt income from writing. Advi sory Opinion No. 55. There are res trictions the manner which judge's name may bfl used the promotion book, but, sume, 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] business wholly owned mebers whom are related the judge according the civil law system." related you within the third degree, usiness shareholder The language thn Canon permits, .fl inactive partner and nona........nterprise. Your participation violate your duty under Canon SC. 
interests minimize the number cases which the judge disqualified"; this not, any event, hear cases which your 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 bar any compensation 
member the boa""."d 

corporation other entity.  5(a) (4). your case, you will not serve officer board member and the prohibition  (a) 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 :1ct applicable i!1 your ci.rctmstances. Title Regulations  J(b) (2) provides that "funds received for services rendered before January 1991" 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. 

For the Committee