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Judicial Watch • Karen K Caldwell Financial Disclosure Report for 2004

Karen K Caldwell Financial Disclosure Report for 2004

Karen K Caldwell Financial Disclosure Report for 2004

Page 1: Karen K Caldwell Financial Disclosure Report for 2004

Category:Financial Disclosure

Number of Pages:9

Date Created:January 5, 2006

Date Uploaded to the Library:November 13, 2013

Tags:Karen K Caldwell, Caldwell, Karen, credit, 2004, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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A0-10 Rev.1/2004 Government Act 1978 
FOR CALENDAR YEAR 2004 U.S.C. app.  101-111) Person Reporting (Last name, First name, Middle initial) Caldwell,, Karen Court Organization U.S.D.C. -Eastern District Date Report 511112005 Title (Article ill iudges indicate active senior status; magistrate judges indicate full-or part-time) Article rri Judg. Full-time ReportType (check appropriate type) Nomination, Date Initial @Annual F1nal ReportingPeriod 1/1/2004 12/3112004 Chambers Office Address John Watts Fed. Bldg. 330 West Broadway the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part POSffiONS. (Reporting individual only; see pp. 9-13 filing instructions) NONE (No teportable positions.)
POSITION NAMEOFORGANllATION/ENTIIY Trustee Transylvania University 
Frankfort, 40601 
Trustee Lloyd Cress Insurance Trust 
Board Directors Leadership Kentucky 

Board .of Directors Georgetown College, Correll Center for Leadership 
II. 
(Reporting individual only; see pp. 14-16 filing instructions) 
AGREEMENTS. 
 NONE (No reportable agreements.)
PARTIES AND TERMS 
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Date Report 
Caldwell,, Karen 
Ill  NON-INVESTMENT INCOME.  (Reporting individual and spouse; see pp. 17-24 filing instructions) Filer's Non-Investment Income  NONE -(No reportable non-investment income.)  SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's Non-Investment Income -(If you were married during any portion the reporting year, please complete this section. Dollar amount not requii-ed except for honoraria.)  NONE -(No reportable non-investment income.) 
SOURCE AND TYPE 
2004 Retirement Benefit -Ashland, Inc. 
-2004 Retirement Benefit -Greenebaum Doll McDonald, PLLC 
2004 Self-employed Environmental Law 

2004 Commonwealth Kentucky 
IV. REIMBURSEMENTS transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 instructions.) 
 NONE (No such reportable reimbursements.)
DESCRIPTION 
Date Report 

Caldwell,, Karen 
5/1112005 GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (No such reportable gifts.)
SOURCE DESCRIPTION 

VI. I.JABILITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) 
 NONE -(No reportable liabilities.) 
DESCRIPTION VALUE CODE 
Citibank Line Credit -Credit Card 
AAA Financial Services Line Credit -Credit Card. 
Fifth Third Bank, Trustee for Lloyd Cress Promissory Notes Retirement Account 
American Express. Line Credit -Credit Card 
First USA Line Credit -Credit Card 
P.N.C. Bank Commercial Loan 
USAA Line Credit -Credit Card 
Capital One Bank Line Credit -Credit Card 
AIM Fund Services (Lloyd Cress Pension Plan Loan Retirment Account) 

10. 
Caldwell Thirft Plan Pension Plan Loan 

Date Report 
Caldwell,, Karen 
Date Report Name Person Reporting 
Caldwell,, Karen 
511112005 
--income, value, transcations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) 

VII. INVESTMENTS and TRUSTS  
Description Assets  Income dwing reporting period  Gross value end reporting period  Transactions during reporting period  
(including trust assets) not exempt from disclosure 
(2) (!) (2) (5) 
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)  Date: Month-Day  Value Code2 -P)  Gain Code (A- Identity buyer/seller (if private transaction)  
19.  -Pimco Advisors Opportunity Fund  Dividend  Sell  416  

20.  -Smuckers Common  Dividend  Sell  4121  
21.  -AIG Common  Dividend  Buy  10/29  

22. -AXM Pharmaceutical Common Dividend Buy 311

23. -AXM PharmaceuticalCommon  Sell  -AXM Pharmaceutical Common Sell 7/6 
25. -Bank Montreal Common Dividend 
-Centex Common Dividend

26. 
-China Yuchai Common Dividend

27. 
-Deckers Outdoor.Corninon Dividend Sell

2.8. 
-Engineered Support System Common Dividend

29. 

30. -Forest Laboratories Common Dividend Buy 7/6 
-ICICI Bank Common Dividend

31. 
-Forest Laboratories Common Sell 7/20 

33. -lnterdigital Common Dividend Sell 1/28 
-Interdigital Common Buy 3130 
-Johnson Johnson Common Dividend 

36. -Greg Manning Common Dividend Sell 3/30 Income/Gain Codes: $1,000or less  =$1;001-$2,500  =$2,501-$5,000  =$5,001-$15,000  =$15,001-$50,000  
(See ColQmns 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 Jess  =$15,001,$50,000  =$50,00i-$100;000  =$100,001-$250,000  
(See Columns and D3)  =$250,000-$500,000  =$500,001-$1,000,000  =$1,000,001-$5,000,000  =$5;000,001-$25,000.000 =$25,000,001-$50,000,000 =$More than $50.000,000 Value Method Codes  =Appraisal Cost (Real Estate Only) Assessriient (',ash/Market  
(See Column CZ)  =Book Value  =Other  =Estimated  

Date Report 
Name Person Reporting 

511112005
Caldwell,, Karen 
--income, value, trnnscations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) 

VII. INVESTMENTS and TRUSTS 
Income during Gross value end Tnmsactions during reporting period 
Description Assets 
reporting period reporting period  
(including trust_assets) not exempt from disclo_sure 
(2) (2)
(I) (!) 
(4) (5) 
Place "(X)" after each asset exempt Type (e.g. Date:
Amount Type (e.g. Value Value Value Gain Identity from prior disclosure buy, sell, 
Code div: rent. Code Method Month -Code Code buyer/seller 
(A-H) int.) (J-P) Code3 
(Q-W) 
IIl!rger, Day 
redemption) 
(A(if private 
transaction) 
-Lehman Brothers First Income Common Partial Sell 9/8

55. 
1/23

56. -Netguru Common Dividend Buy 
1211
-Netguru Common Dividend Bought 

58. 
-Altemet Systems Common Buy 

59. 
-Altemet Systems Common Dividend Buy 

60. 
-Eagle Materials Common Dividend Spin Off 

61. 
-Forest City Enterprises Common Dividend Buy 

62. 
-Murphy Oil Common Dividend Buy 

63. 
-Nortel Dividend Buy 6/10 

64. 
-Nortel Buy 7/6 

65. 
-Occidential Pet Common Di:vidend Buy 1/26 

66. 
-Edge Petroleum Common Dividend Buy 1/2 

67. 
-Edge Petroleum Common Sell 315 

68. 
-Caraco Phannaceutical Common Dividend Buy 1/30 

11/22  
10/29  
216  
12130  
1126  

-Caraco Phannaceutical Common Sell 3/30

69. 
70. 
-First Israel Common Dividend Buy 6125 

71. First Horizon Common Dividend Buy 6125 

-First Horizon Common Sell 12130

72. Income/Gain Codes: $1,000 less $1,001-$2,500 $2,501-$5,000 $5,001-$15,000 $15,001-$50,oOo  
(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 $15,001-$50,000 $50,001-$100,000 $100,001-$250;000  
(See Columns and 03) $250,000-$500,000 $500,001-$1,000,000 $1;000,001-$5,000,000 $5,000,001-$25,000,000 $25,000,001-$50,000,000 $More tll3Jl $50,000,000 Value Method Codes  =Appraisal Cost (Real Estaie Only) Assessment C.ash/Market  
(See Column C2)  =Book Value  =Other  =Estimated  

Date Report 
Name Person Reporting 
Caldwell,, Karen 
511112005 

VII. INVESTMENTS and TRUSTS --income, value, transcations (includes Uiose the spouse and dependent children. See pp. 34-57 filing inslructions.) 
Incoire during Gross value end Trnnsactions during reporting period 
Description Assets 
reporting period reporting period 
(including !rust assets) not exempt from disclosure 
(!) (2) (I) (2) (I) 
(2) (4) (5) 
Place "(X)" after each asset exempt Type (e.g. Date:
Amount Type (e.g. Value Value Value Gain Identity from prior disclosure buy, sell, 
Code div. rent. Code Method Month -Code2 Code buyer/seller (A-H) int.) (J-P) 
(J-P) (A-(if private 
merger,
Code Day 

(Q-W)  redemption)  transaction)  
73.  -Masco Call  Sell  3/12  
74.  -Intel Call  Sell  5110  
75.  -Murphy Oil Call  Sell  12/28  

76. -Nortel Call Sell 6/8
-Nortel Call 
Sell 

78. -Occidential Petroleum Call Sell 12/28 
PNC Bank Account hiterest 
Jefferson Pilot Life Ins. Policy (Life None

80. 
81. 
Anchor Nat Life Ins. Policy Interest Sell 6/21 

82. 
Commonwealth Employee Retireinent Interest Income/G-din Codes:  =$1,000 less $1,001-$2,500  =$2,501-$5,000  =$5,001-$15,000  =$15,001-$50,000  
(See Columns and D4)  =$50,001-$100,000  =$100,001-$1,000,000  =$1,000,001-$5,000,000 =More tllan$5,000,000 Value Codes:  =$15,000 less $15,001-$50,000  =$50,001-$100,000  =$100,001-$250,000  
(See Columns and 03)  =$250,000-$500,000 $500,001,$1.000,000 $1,000,001-$5,000,000  =$5,000,001-$25,000,000 $25,000,001-$50,000,000  =$More Uian $50,000,-000 Value Method Codes  =Appraisal Cost (Real Estate Only) Assessment Cash/Market  
(See Column C2)  =Book Value  =Other  =Estimated  

Date Report 
Caldwell,, Karen 
(Indicate part ofReport.)
VIIl. ADDITTONAL INFORMATION EXPLANATIONS 
Date Report 

Caldwell,, Karen 
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.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL wHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL 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