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Judicial Watch • Karen K Caldwell Financial Disclosure Report for 2003

Karen K Caldwell Financial Disclosure Report for 2003

Karen K Caldwell Financial Disclosure Report for 2003

Page 1: Karen K Caldwell Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:23

Date Created:February 3, 2005

Date Uploaded to the Library:November 13, 2013

Tags:Karen K Caldwell, Caldwell, Karen, Bought, credit, 2003, EPA, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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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. -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 cl' repmting period  Tmnsactioos during reporting period  

not exempt from di5c:JOSlll'C 
(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 'I'rust 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 ExplOl'llticm. 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)  l'll  
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  V.' 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 
FL'Ik'TCL"1L 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 -