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Judicial Watch • Karen K Caldwell Financial Disclosure Report for 2010

Karen K Caldwell Financial Disclosure Report for 2010

Karen K Caldwell Financial Disclosure Report for 2010

Page 1: Karen K Caldwell Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:12

Date Created:October 17, 2011

Date Uploaded to the Library:November 13, 2013

Tags:Karen K Caldwell, Kentucky, Caldwell, legal, Karen, credit, 2010, EPA, IRS, Financial Disclosure, ICE, CIA, 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.) Filer's Non-Investment Income [ZI NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's 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.) Filer's Non-Investment Income 
[{] NONE (No reportable non-investment income.) SOURCE AND TYPE 
INCOME 
(yours, not spouse's) Spouse's 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



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