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Judicial Watch • Karen K Caldwell Financial Disclosure Report for 2006

Karen K Caldwell Financial Disclosure Report for 2006

Karen K Caldwell Financial Disclosure Report for 2006

Page 1: Karen K Caldwell Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:8

Date Created:September 13, 2007

Date Uploaded to the Library:November 13, 2013

Tags:Karen K Caldwell, Kentucky, Caldwell, Karen, ATF, credit, 2006, EPA, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization Date Report 
Caldwell, Karen 
U.S. District Court 
05/09/2007 Title (Article III judges indicate ctive senior status; 
Sa. Report Type (check appropriate type) Reporting Period 
magitrate judge. j11dicate.fu1J.or patf.time) 
01/01/2006
Nomination, Date
Articfo Ill Judge, full-time
Initial Annual Final !81 
12/31/2006 
Sb. Amended Report Chambers Office Address the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance 
with applicable laws and regulations. 
John Watts Federal Bldg. 
330 West Broadway 
Frankfort, 40601 
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. POSITI NS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 
Trustee Transylvania University  Trustee  Lloyd Cress Life Insurance Trust  Board Directors  Leadership Kentucky II, AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) [KJ NONE (No reportable agreements.)  (/) a--- (/)zcl> :::0 A': rris:? .,, {""),,,  __, ;x,..  :::0 (")  
PARTIES AND TERMS 

Date Report 
Caldwell, Karen 
05/09/2007 

SOURCE AND TYPE Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 2006 Retirement Benefit -Ashland, Inc. 
2.2006 Commonwealth Kentucky 

IV. REIMBURSEMENTS -transportation, lodging.food, entertainment (Includes those spouse and dependent children. See pp. 25-27 instructions.) 
IBJ NONE (No reportable reimbursements.) 
SOURCE DESCRIPTION 

Date Report 
Caldwell, Karen 
05/09/2007 

VALUE 

VALUE CODE 
Capital One Bank Line Credit -Credit Card 
Bank America Line Credit -Credit Card 
Caldwell Thrift Plan Pension Plan Loan 

Date Report 
Caldwell, Karen 
05/09/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See PP 34-60 filing instructions.)  NONE (No reportable income, assets, transactions.)  
Descriptin qfA;sets -(including trust assets) lllcome during reporting period ross value end reporting period  -----D. Transactions during reporting period  

(2) (I) 
(2)
(I) (2) 
(3) 
Amount 
Type (e.g. Value
Place "(X)" after each asset 
Value Type (e.g. 
Code 
div., rent, Code 
exempt from prior disclosure 
Method buy, sell, 
(A-H) int.) (J-P) 
Code redemption) 
(Q-W) PNC Bank Account Int./Div. 
Jefferson Pilot Life Ins. Life ofG.F. None Caldwell 
Commonwealth Kentucky Employee lnt./Div. 

Value 
Gain Identity 
Date 
Code 
Code buyer/seller
Month
(J-P) 
(A-H) (if private 
Day 
transaction) Income Gain Codes:  A=$1,000 less  B=$1,001 -$2,500 =$2,50 -$5,000  0=$5,001-$15,000  E=$15,00 -$50,000  
(See Columns and 04)  F=$50,001 -$100,000  G=$100,001 -$1,000, 000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes  J=$15,000 less  K=$15,00I -$50,000  L=$50,00 -$I 00,000 =$I 00,00 -$250,000  
(See Columns and 03)  N=$250,00 -$500,000  0=$500,001 -Sl,000,000 ,000,00 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 ==Cash Market  
(Sec Column C2) =Appraisal =Other =Assessment =Book Value =Estimated  

Date Report 
Caldwell, Karen 
05/09/2007 

VII. INVESTMENTS and -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  
18.  -Proctor Gamble Call Common 
Income during 

Gross value end Transactions during reporting period 
reporting period 

reporting period 
(1) 
(2) 
 (1) 
 (2) 
 (3) 
 
Type (e.g. 
 Value 
 Value 
 Type (e.g. 
 Date 
 Value 
 
div., rent, 
 Code 
 Method 
 buy, sell, 
 Month-
 Code int.) 
 (J-P) 
 Code 
 redemption) 
 Day 
 (J-P) 
 
(Q-W) 
 

(4)
Amount 
Gain Identity
Code Code buyer/seller
(A-H) (A-H) (if private transaction)
------_.L -----------
Sold 5-19 
19. 
-Templeton Russian Fund Common Partial Sold 6-7 

20. 
-Tyson Foods Common Buy 7-27 

21. 
-Permian Basin Trust 

22. 
-Netguru Common Capital Retu 1-17 

23. 
-Netguru Common Capital Retu 1-27 Income Gain Codes: ::0:$ 1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001-$15,000 =$15,00 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,001 -Sl,000,000 =$1,000,00 -$5,000,000  H2=More than $5,000,000 Value Codes =$15,000 less =SI 5,001 -$50,000 =$50,00 -$I 00,000 =$I 00,00 -$250,000  
(See Columns and 03) =$250,001 -$500,000  0=$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000  T=Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment =Book Value  W=Estimated  

Name Person Reporting 
Date Report 
Caldwell, Karen 
05/09/2007 

05/09/2007
Caldwell, Karen 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (IndicatepartojReport.) 

Caldwell, Karen 
05/09/2007 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete to, 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 
INGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL TIONS 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