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Judicial Watch • Karen K. Caldwell – 2010

Karen K. Caldwell – 2010

Karen K. Caldwell – 2010

Page 1: Karen K. Caldwell – 2010

Category:Federal Judges

Number of Pages:12

Date Created:October 17, 2011

Date Uploaded to the Library:August 28, 2014

Tags:Karen K Caldwell, Kentucky, Caldwell, legal, Karen, credit, filing, 2010, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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POSITI NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Trustee Transylvania University Trustee Lloyd Cress Life Insurance Trust 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
 
Caldwell, Karen 
 
 
Date Report 
Name Person Reporting 
5/11/2011 
Caldwell, Karen 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income [ZI NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income I/you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 2010 Retirement Benefit -Ashland, Inc. 
2.2010 Retirement Benefit -Commonwealth Kentucky 
3.2010 Greenebaum Doll McDonald -Legal 
4.2010 Dinsmore Shohl -Legal 
5.2010 Kentucky Coal Association -Legal 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenl (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[ZI NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[ZJ 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
NONE (No reportable liabilities.) 
CREDITOR 	DESCRIPTION VALUE CODE 
AAA Financial Services Line Credit -Credit Card American Express Line Credi t-Credit Card Chase Bank Line Credit -Credit Card USAA Savings Bank Line Credit -Credit Card Capital One Bank Line Credit -Credit Card Bank America Line Credit -Credit Card Caldwell Thrift Plan Pension Plan Loan Citibank Line Credit -Credit Card Barclay Bank 	Line Credit -Credit Card 
 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Estimated 
 
 
Name Person Reporting 
Date Report 
 
5/11/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 
 
 
 
 
Name Person Reporting 
Date Report 
 
5/11/201 
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. 
Signature: Karen Caldwell 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
 
 
AOJO Rev. l/20Jl Government Act 1978 FOR CALENDAR YEAR 2010 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Caldwell, Karen Court Organization U.S. District Court Date Report 09/13/201 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) Article III Judge, full-time Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. [{] Amended Report Final Reporting Period 01/01/2010 12/31/2010 Chambers Office Address P.O. Box 2207 Barr Street Lexington, Kentucky 40507 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 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Trustee Transylvania University Trustee Lloyd Cress Life Insurance Trust 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
Caldwell, Karen 
 
 
 
 
 
 
Date Report 
Name Person Reporting 
09/13/201 
Caldwell, Karen 
III. N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income 
[{] NONE (No reportable non-investment income.) SOURCE AND TYPE 
INCOME 
(yours, not spouses) Spouses Non-Investment Income you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
I.2010 Retirement Benefit -Ashland, Inc. 
2.2010 Retirement Benefit -Commonwealth Kentucky 
 
3.2010 Greenebaum Doll McDonald -Legal 
4.2010 Dinsmore Shohl -Legal 
5.2010 Kentucky Coal Association -Legal 
 
IV. REIMBURSEMENTS transportation, lodging.food, entertainment 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
 
Date Report 
Name Person Reporting 
Caldwell, Karen 
09/13/2011 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION AAA Financial Services Line Credit -Credit Card American Express Line Credit-Credit Card VALUE CODE 
 
Chase Bank Line Credit -Credit Card USAA Savings Bank Line Credit -Credit Card Capital One Bank Line Credit -Credit Card Bank America Line Credit -Credit Card Caldwell Thrift Plan Pension Plan Loan Citibank Line Credit -Credit Card Barclay Bank Line Credit -Credit Card 
 
 
 
 
Name Person Reporting 
Date Report 
Caldwell, Karen 
09/13/2011 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(5) 
(2) (1) (2) 
Gain Identity 
Type (e.g., Value Value Type{e.g., Date Value 
Place (X) after each asset Amount 
exempt from prior disclosure Code div., rent, Code2 Method buy, sell, Code2 Code buyer/seller 
{A-H) int.) (J-P) Code3 redemption) (J-P) (A-H) (ifprivate 
(Q-W) transaction) PNC Bank Account Int./Div. Jefferson Pilot Life Ins. Life-None Sold 02/10/10 Mills, Potoczak -LPG Jncome Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$1 5,001 -$50,000 
(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 =$15,00I -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(Sec Columns and D3) =$250,00I -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 Value Method Codes =$25,000,001 -$50.000.000 =Appraisal =Cost (Real Estate Only) =More than $50,000,000 =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
Date Report 
Name Person Reporting 
Caldwell, Karen 
09/13/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicatepartofreport.) 
 
 
 
 
Date Report 
Name Person Reporting 
Caldwell, Karen 
09/13/2011 
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 .S.C. app.  501 et. seq., .S.C.  7353, and Judicial Conference regulations. 
Signature: Karen Caldwell 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544