Skip to content

Judicial Watch • Karen K. Caldwell – 2003

Karen K. Caldwell – 2003

Karen K. Caldwell – 2003

Page 1: Karen K. Caldwell – 2003

Category:Federal Judges

Number of Pages:23

Date Created:February 3, 2005

Date Uploaded to the Library:August 28, 2014

Tags:Karen K Caldwell, Caldwell, Karen, Bought, credit, 2003, Codes, dividend, disclosure, reporting, report, Federal Judge, income, Judge


File Scanned for Malware

Donate now to keep these documents public!

  • demand_answers

See Generated Text   ˅

Autogenerated text from PDF

Government Act 1978 
 
Calendar Year 2003 u.s.c. app.  101-111) Person Reporting (Last name. First name, Middle initial) Court Organization Date Report Caldwell,. Karen U.S.D.C. -Eastern District 812312004 Tiiie (Article indicate active senior status; magistrate judges indicate full. part-time) 
Article Judge. Full-time ReportType (check appropriate type) Reporting Period 
Date tn/2003 Annual Flml Initial 
 
l2/31J2003 Cwnbers Office Address the basis the information contained this Report and anymodificatioos pertaining thereto, is, opinion, compliance 
434 United States Courthouse 
with applicable laws and regulations. 310 South Main Sb:Cet 
Date 
Londoil, 40741 
IMPORTANT NOTES: The instroctions acccmpanying this form nwst followed. Complete all parts, checking the NONE box for cac:h part where yoa have reportable information. Sign last page. POSmONS. (Rcpcrtingindividual only; sec pp. 9-13 offiling instructions> NONE. - Filers Non-Investment Incom 
 NONE -{No reporiable non-investment income.) 
()ours, notspauses) Spouses Non-Investment Income -(Ifyou were maniedduring any portion ofthe reportingyear, please complete this section. (dollar amount not required except for honoraria)  NONE -(No reponable non-investment income.) 2003 Retirement Benefit -Ashland, Inc. 
2003 Rctirrment Benefit-Greenebaum Doll McDcmld; PU.c 
,;; 2003 Self-employed Environmental Law REIMBURSEMENTS -uanspmtation. lodging. food. entmtainmcnt. 
(Includes those 1to spouse and dependent children. See pp. 25-27 ofinstructians.) Ii!! NONE -(No such reponablc rcimburscmc:nts.) 
Name Person Reporting 
FfNANCIAL DISCLOSURE REPORT 
Date Report 
Caldwell,. Karen GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (No such reportable gifts.) 
 UABILlTIES. (Includes those spouse and dependent childmi. See pp. 32-34 inslrllctions.) NONE (No reponablc liabilities.) Citibank Line Credit-Credit Card AAA Fiuancial Services Line Credit-Credit Card Fifth Thhd Bank, T-nlstce for Uoyd cRss Promissory Notes 
Rclircmcnt Account ... American Express Line Credit Credit Card :FirstUSA Line Credit-Credit Card P.N.C.Bank Commercial Loan USAA Line Credit  Credit Card 
Capital One Bank Line Credit  Credit Can:! 
AIM Fund Services {Lloyd Cress Pension Plan Loan Retirment Account) 
 
 
 
 
-FINNCIAL DISCLOSURE REPORT 
Name Person Reporting 	Date: Report 
.Page of6 
Caldwell,, Karen 	5110/2004 
-income, value, tnmscations (mcludes lhose the spouse and dependent cllildrcn. See pp. 34-57 filing inslructions..) 
VII. 	INVESTMENTS and TRUSTS 
Description Assets (including llllSt assets) Income during reporting period (1) (2) Oross value end reparting period (1) (2) (1) Transactions during n:porting period not e=mpt from discJosun: 
(2) 
Place (X) after each asset exmiqit fiom prior disdosure Amoullt Codcl (AH) Type (11.g.div. reDL iat.) Value Code2 (J-P) Value Method Codc3 (Q-W) Type (e.g. buy, sell, merger, redemption) Date: MO.lltb Day Value Cod=2 (1-P) Gain Code CA Identity bu)Cffscller (Ifprivate lraDSlclion) 
DNONE (No n:ponable iacome. asse1s, traosactiom) Keogh Plan Trust Account-Fifth Third Bank lntDiv 
 
-USAA Income Fund Dividend sell 3111 -USAA Income Slock Fund Dividend sell 3111 -USAA International Fund Dividend -Lloyd Cress Notes lnterest 
-MClrill Lynch Focus Valuefund Dividend 	sell 1rn 
-Fifth Third Money Market Fund Dividend AIM Investments Solo 40l(k) consisting items 9-c lutDiv -AIM Blue Chip lFmid Dividend Buy 3131 
10. 	-AIM Money Market fund 
11. 	.-Uoyd Cress Notc 
National Fmanciall Service IRA consisting items 
13-93 
13. 	-Debt Strab:gics F11nd Commoa 
14. 	-AEP Common -Arch Coal Common 
16. 	-Arch Coal Common 
17. 	-Savicnt Phann (FDnneriy Bion:clmology General) 
18. 	-Intel Common Dividend 
Jntcrcst 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend 
Dividend Sell Partial Buy Buy 
Sell 
Sell 
Buy Partial Sell 
 
3131 
613 
12118 
10/22 
10/16 
10/20 lncoox:/Qain Codes: =$1,000 Jess $1,001-$2,500 S2,50J.$5,000 =$5,001-$15,000 
(See Columns and D4) $50,001-$100,000 $100,001-$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes: $15,000 less SI5,001-$50,000 $50,001-$100,000 =$100,001-$250,000 
(See Colnmas and D3} $::!.50,000-SSOO,OOO $500,001-Sl,000,000 =$1,000,00J-$5,000,000 =$5,000,001-$25.000,000 $:?5.000.001-$50.000,00!l =$More lhllnSS0,000,000 Value Method Codei Appruislll Cost (Real Estllte Only) =Assessment Casb/Marl;et 
(See Column C2) Boal: Value Otii:r =Estimued 
 
Income during 
Dat1: Report 
Name Person Reporting 
Caldwell., Karen 
5n012o04 -iocom:. value. tr.mscations [mcludes those lhe spollSc and dcpemient children. See pp. 34-S7 filing icslrl:ictions.) 
VII. INVESTMENTS and TRUSTS 
DcscripuonofAsscu 
(including llUst assets) 
Gross value end olf Transactions during reporting p;:riod 
reporting period 
(1) (2) (2) not Cllcmpt disclosure 
(2) (3) Place p.1 after each assetexempt Value Value Type (e.g. Dale: 
Amomlt Type (e.g. Value Gain Identity 
from prior disclosure Code div. n:nt. Code2 Method buy, sen. MOil1h Codc2 Code 
bo)Cl/scJlcr int.) (J-P) Code3 merger, Day (A 
(J-P) 
(Ifprivatetnulsaclillll)(Q-W} n:dcmptinll) 
19. 
-Lexmark Commoo Dividend Buy 10/1 
 
20. 
-Lexmark Common Dividend Partial Sell 12117 
 
21. 
-Mills Cot> Common Dividend. scn 512 
 
22. 
-Pnx:ta-cl Gamble Common Dividend Partial Sell 10/22 
 
23. Dividend 
24. 
-Pimco Adrisors Opportunity Fund Dividend 
 
25. 
-Smuckers Common Dividend Bought 3121 
 
 
26. 
-Toyota Commmu Dividend Bought 
 
27. 
-American Common Dividend Bought -12124 
 
28. 
-AXM Pharmaccatical Common Dividend Bought 12126 
29. -AXM Pharmaceutical Commoo. Dividend Bought 12129 
30. 
-Sant Montn:a.I Common Dividend Bought 10/27 
 
31. 
 
 
-Cemex Common Dividend 12124  
32. -China Yucbai Common Dividend Bought 12124 
-Dcckcls Outdoor Common Dividend Bought 12124 
34. 
-Bnginccrcd Support System Cmunon Dividend Split 11/3 
 
35. 
-Engineered Support System Ccmmoo Dividend T Bought 10/27 
 
 
12115 
36. -Engineered Support System Canmon Dividend Sold 
Partial Income/Gain COJles: =$l,000orless $1,001-$..,.500 =$2,SDJ-$5,000 =SS,OOJ-$15,000 
(See Columns and 04.) =$50,001-SlOi.l,OOO =s100,001.sa,ooo.ooo $1,000,0Cll-$5.000,000 =More than :S,000,000 
:!. Vale:: Codes: =$15,000 less $!5,001-$50,000 =SS0,001-S!OO,OOO =S:JOO.OOl-s..50,000 
{See Columns and D3} 0.000-$500,000 SS00,001-$1,000.000 =$1,000,00!$5,000,000 =$5,DOO,OO!-S!S,000,000 $25.000,001 -$50.0J(),000 =SMore lhml ts0.000.000 faiue Method Codes App:-.tisal Cos! (Real Estate Only} Asscssm:nt Cash/Murl:et 
{St!e Column Boot Value Other =Estimated 
 
rcportiDg pcrlod 
FThANCIAL DISCLOSURE REPORT Dati: Report 
_Page3of6 Caldwell,. Karen 5110/2004 -inc!lllll. value. ttanscations (includes those the spouse and dependent children. See pp. 34-57 filing ins111ctions.) 
VlI. INVESTMENTS and TRUSTS 
Transactions during reporting period 
Gross value atend of. 
Description Assets 
(iucludillg trurt assets) 
not exempt from disclosure 
(1) (2) 
(2) (4) 
Place oo a!illr each asset cmmpt from prior disclosurD Ammmt Code (A-H) (e.g.div. m:it. int.) Value Code2 (J-P) Value Method Code3 (Q-W) Type (e.g. buy, sell, merger, rcdciq:ltioa) Date: Monlh-Day Value Codc2 (1-P) CA Identify buycr/1ellcrflfprlvatclnlllSadion) 
37. -Engineered Support System Common Dividend Bought 12124 
38. -Forest Lall>oratmies Common Dividenil Bought 12126 
39. -ICICI Bank Co1Dmon Dividend Bought 10/27 
40. -IDCC Common Dividend Bought Sil 
41. -IDCC Common Dividend Bought ]Ofl 
-Johnson Johnson Common Dividend Bought 12123 
43. -Greg Manning Common Dividend Bought 1214 
 
44. -Masco Common 
4S. -Petroleum Development Common 
46. -Schnitzer Steel Common 
47. -Templetou. Russian Baropean Fund Common 
48. -Turkish Inv. Fund Common 
49. -Turkish Inv. Fund Common 
so. Turkish Inv. FUJ11.d Common 
SI. -Vodafone Common 
S2. Holding Common 
53. Holding Common 
54. Holding Common Dividend 
DividcDd 
Dividend 
Dividend 
Dividend 
Dividend 
Dividmd 
Dividend 
Dividend 
Dividend 
Dividend 
Bought 
Bought 
Bought 
Bought 
Bought 
Bought 
Sold 
Bought 
Bought 
Bought 
Split 
3118 
12129 
12123 
10/27 
10/27 
12129 
12129 
12124 
1211 
12117 
12111 ln..Olll:/Gain Codes: $!,000 orless $1,001 -$2.500 $2,501-$5,000 SS.OOl-$15,000 $15,001-$50,000 
(See Columns aru:l 04) $5t:,001-Sl00,000 =$100.001-$1,000,000 $1,000,001-$5,000,000 =More llmn $5,oo:J,000 Value Codes: $15.000 Jess SIS.00!-$50,000 $50,001-$100,000 =$JOU.OOJ-S250,000 
CSee Columns andD3} o.ooe-ssoo.ooo ssoo,001-s1,oop,ooo Sl,000,001-$5,000,000 =$5.000.00l-S25.000,000 ns.oo:i.001-sso.000,000 =$More than $50,000,000 V:ilue Method Codes App:-,iisal =Cost (Real EsUtte Only) Assessm:11t =Cash/Market 
(See Co:um:1 C2) =Beul: Value =Otile. Estim:Jteci 
 
Date ReportName Person Reporting 
Caldwell,. Karen 
5110/2004 -income, value, lranscations fmcludes those the spClllSC and d:pendent children. See pp. 34-57 filing imruclioos.) 
VII. INVESTMENTS and TRUSTS 
Description Asseu; (including tzust assets) Income daring reporting P.riOd Gross valu.e end repmting period Tmnsactioos during reporting period 
 
not exempt from di5c:JOSlllC 
(2) (1) (2) 
(3) (5) 
Place (Xt after each asset eXCJq>t from prior disclosure Amount Code! CA-H) Type {e.g.div. n:nt. int.) Value Code2 (J-P) Value Method Code3 (Q-W) Type (e.g. buy, sel merger,redemption) Date: MCllldJ.Day Vali.lc Ccdc2. (J-P) Gain Code (A.J.11 Identity bn)ef/Seller (Ifprivatetnmsaction) 
SS. -Walgreen Common Dividend Bought 12116 
56. -San Juan Basin Irust Common Royalty. Bought 512 
 
-San Juaa Basin Trust Common Royalty Bought 613 
SB. -NFS Prime Fu11d (temp. n:ccipt receptacle) Dividend Bought vari. 
59. 60. -Energy ExplOlllticm. Tc:clmology -P.ncrgy Exploration Technology Dividend Dividend Bought Bought 8128 12118 
 
61. -Lehman Brothers First Income Fund Dividend Bought 7131 
62. -Nctguru Common Dividend Bought 4117 
63. -Netguru Common Dividend Bought 1211 
64. -Cty Grayson Bonds Interest Bought 2/20 
65. -City Grayson Bonds Interest Sold 414 
66. -Diamonds Inv. Fund Dividend Bought 3113 
67. -Diamonds Inv. Fund Dividend Sold 3124 
68. -Diamonds Inv. Fund Dividend Sold 5121 
69. -Diamonds Inv. Fund Dividend Sold Sil 
70. -Diamonds Inv. lFund Dividend Sold S/16 
71. -GcncraI Electric Common Dividend Bought 3/13 
72. -Gcnc:ral Electric Common Dividend Sold 9124 lncom:/Gain Codes: =SI.ODO less Sl,001-$2.500 =$2.501-$5.000 =$5,001-$15,000 !i!S,001-$50.000 
(See Columns and 04) $50.001-Sl00,000 SIOO,OOJ..$1.000.000 =$1,000.DOl-SS,000.000 =More than $5,000,000 
2.. Valu Codes: Sl5,000 less S15,001-$50,000 =SS0,001-$10:1,000 $100.001-S2SO,OOO 
(Se::: Colnmns 03) $:!50,0!ID-$50ll,OOO SS00,001-$1,000,000 Sl,OD0,001-$5,000,000 $5,000,001-$25.000.000 $25.000.00litS0,000,000 =$More than S.50,00(J,000 
3. Value Method Codes App:-als:ll Casi (Rea! Estare Only) =Assessment Cash/Mnrtet 
(See Column C1) Baul: Value =Other Estim:tcd 
 
Income during 
 
5/1012004 -incon-.:. value, ttaoscatiam (mcludcs those the spouse and dependentchildren. See pp. 34-57 filing ins1n1clious.) 
V1I. INVESTMENTS and TRUSTS 
Transactions during reporting p::riod Gross vnJue atend 
Description Assets reporting period (including trust nsscts) 
not exempt from disclosure 
(1) 	(2) (l) (1) Type Valua Value Type (e.g. Dare: 
(e.g. 
div. rmit. 
 
Place (X) after each asset eia:q11 Value Gain Identity bey, sell, Month-from pria disclosure Codcl Code2 buyer/sellerCOiie int.} (1-P) Codc3 m::rger, .Day (1-P) (A 
(Ifprivate 
(A-H) 
lranSaction) 
(QW) lll 
73. -General Electric Common Dividend Sold 12118 
74. -ACM Income Fund Mutual Fund Dividend Bought 
15. -ACM Income Fund -Mutual FllD.d Dividend Sold 7121 1!4 
76. -ABP Call Nov. Sold Excn:is 4130 
-Smuckcri Call Oct Sold Rcdccmc: 4129 
78. -Procter Gamble Call Oct Sold Expired 
 
iedemptlon) 
-Diamonds call May Sold 413 Excrcis 
 
80. -Procter Gamble Call July 	Sold 4111 
Expired 
 
81. 	-GB Call Sept Sold 4129 Bxcn:is 
82. 	-IDCC Call Sept Sold 4129 
Rcdcc:mc 
83. 	-Lexmark Can July Sold 4130 
Bxpjrcd 
-Arch Coal Call Oct 22.S 	Sold 5/12 
85. -IDCC Call Sept Sold Expired 6126 
86. -Procter Oambllc Call Oct Sold 7122 
Expired 
87. -Toyota Call Jan Sold 7117 
RcdeeM 
88. -IDCC Call Dec Sold 7/24 
Expired 
89. -Masco Call Apr Sold 8/26 
90. -Intel Call April Sold 8126 
Redeem income/Gain Codes: Sl,000 less Sl,001-$:2.500 =SZ.SOlSS,000 =$5,001-$15,000 5,00l $.50.000 (See Columns aru:l D4) $50,00lSIOO,OOD Sl00,001-Sl,000,000 =$!,000,001-$5,000,000 =More llWl $5,000,000 
:!. Value Codes: =$l5,000 less =Sl5,00l-S50,000 =SSO,OOlSI00,000 =$l00,0CllS250,000 
(See Colnmcs and D3) $:!50,000-$500.000 =$500.001$1,000,000 $1,000,00 -$5 ,OO!l,000 SS,OOO.,OOl -$25.000,000 =$23.000,0l-$.50,000,000 =$More lhaJJ ts0,000.000 Value Method Codes =Appr.ili;al Cos: (Reat Estate Only) =Asscss=t Cash!Mnrket 
(See Co!w1m c:!. =Boal: V11lt!:! Olh!:r Estimate!! 
 
 
 
Caldwell,, Karen 8/2312004 
VIII. ADDIDONAL INFORMATION EXPLANATIONS (Indicate pariorRcporL> 
 
Name Person Reporting 
FlNAN(;IAL DISCLOSURE REPORT - 
Caldwell,, Karen 
8/23/20()4 
 
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 withhcId 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.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WlLFUU..Y FALSIFIES ORFAil..S Fil.E TiilS REPORT MAY SUBJECT CIVIL AND CRJMINAL SANCTIONS U.S.C. app.  104) 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Of:ace the United States Courts Suite2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
Report Required the Ethics 
A0-10 
FLIkTCL1L DISCLOSURE REPORT Government Act 1978 
Rev, 1/2004 
Calendar Year 2003 U.S.C. app.  101-111} Person Reporting (Last name, First name, Middle initial) Court Organization Caldwell,, Karen U.S.D.C. -Eastern District 	Title {Article ill Judges indicate active senior status; ReportType (check appropriate type) magistrate judges indicate full-or part-time) Nomination. Date Article ill Judge, Full-time Initial Anoual Flnal Date Report 5110/2004 Reporting Peripd 11112003 1213112003 Chambers Office Address the basis the information contained this Report and any  
434 United States Courthouse modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. 
310 South Main Street 
Date 
London, 40741 
 
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. POSIDONS. (Reporting individual only; see pp. 9-13 offiling instructions) NONE -(No-teportable positions.) 
POSIDON 	NAME ORGANIZATION/ENTITY 	Trustee Transylvania University 	 
Trustee Uoyd Cress Insurai(ce Trust 	 
Board ofDiiectors Leadership Kentucky Board Directors Georgetown College, Correll Center for Leadership Board Directors 	ARC the Bluegrass 
II. AGREE1.IBNTS. (Reporting individual only; see pp. 14-16 offiling instructions) 
 NONE  (No reportable agreements.) 
DATE PARTIES AND TERMS -a. 
r-..,,o(l)Z :::0 ::z ..,, fTI :::c -