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Judicial Watch • William O. Bertelsman – 2003

William O. Bertelsman – 2003

William O. Bertelsman – 2003

Page 1: William O. Bertelsman – 2003

Category:Federal Judges

Number of Pages:12

Date Created:February 2, 2005

Date Uploaded to the Library:July 29, 2014

Tags:bertelsman, William O Bertelsman, Kentucky, COUNTY, william, trust, 2003, TRUSTS, Codes, dividend, disclosure, reporting, report, Federal Judge, income, Judge


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Government Act 1978 
 112004	Calendar Year 2003 U.S.C. app.  101-111) 	Peon. Reporting (Last name, First name, Middle initial) Court Organization 
Bertelsman, William KY-ED 	Title (Article III Judges indicate active senior status; ReportType (check appropriate type) 
magistratejuages indicate full-or part-time) Nomination, Date 
U.S. District Judge (Senior) lnilial @Annual Flnal Date Report 
5/4/2004 	Reporting Period 111/2003 
12/31/2003 	Chambera Office Address the basis.ofthe information contained this Report and any modifications pertaining thereto, is, opinion, compliance West Fifth Street, Rm. 505 with applicable laws :and regulations. BoK 1012 
 
Reviewing OfficerCovingtc)n, 41012-1012 
IMPORTANT NOTES: 1l11e instructions accompanying this form must followed. Complete :all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSffiONS. (Repo1ting individual only; see pp. 9-13 filing instructions) NONE -(No reportable positions.) Adjunct Teacher (part-timeXonc class) Salmon Chase College ofl.aw, Northern Kentucky University, Highland Heights, Executor state -Closed 11/03 
Owner 529 Trust Plans #1-#9 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions) 
 NONE -(No reportable agreements.) CJ) r-., o-en :;z ::311: ----i 
m!:? ol> -nfTI c::>... 
 
FJNANCIAL DISCLOSURE REPORT Name Person Reporting Bertel1sman, William Date 
ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 filing instructions) Filiers Non-Investment Income NOlIE -(No reportable non-investment income.) 2003 Salmon Chase College ofl.aw .:_teaching fee (yours, not spo11Ses) 2,550.00 Sp1Duses on-Investme:nt Income -(If you were married during any portion the reporting year, please complete this section. (dollar amount 
not requiired except for honoraria) NONE (No reportable non-investment income.) 2003 	Council Postsecondary Education 
IV. REil1.BURSEMENTS -transportation, lodging, food, entertainment. 
(lnCludes those spouse ai1d dependent children. See pp. 25-27 instructions.) NONE -(No such repc1rtable reimbursements.) 	George Mason University School oft.aw Attendance Federalist Paper seminar Wolla, California March 6-9, 2003 (air travel, food and lodging) 
 
 
Name ofPerson Reporting 
l:t1NANCIAL DISCLOSURE REPORT 
 
Date 
Bertelsman, William GIFTS. (Includes those spouse and dependent children. See PJ>. 28-31 instructions.) 
 NONE (No such reportable gifts.) 
 
VI. LI.ABILITIES. (Includes those ofspouse and dependent children. See pp. 32-34 ofinstructions.) 
 NONE (No reportable liiabilities.) 
 
 
Name Person Reporting 
 
VII. INVESTMENTS and TRUSTS --income, value, trallSCllt(includes the spouse and dependent See pp. 34-57 filing instructions.) 
Income during Gross value end 
Tra11sactions during reporting period 
Description ofAssets 
 
reporting period reporting period (including trust assets} not 
exempt from disclosure 
 
(I) 
(4) 
(3) 
Place (Xt after each asset 1ixempt 
 
Date: 
(e.g. Value Value Type (e.g. 
Gain 
Value 
Ide11tity 
bu}l:r/seller (if Amount 
from prior disclosure 
 
buy, sell. Code2 Method Month 
 
Code2 
Code 
div. rent. 
Cotie 
 
(A-HJ int.) (J-P) CodeJ merger, 
(A-HJ priateDay (J-P) 
redemption) 
mmsaction) DNONE (No reportable income, assets, transactions} 
(Q-W) Vi1:tory Gradison Government Reserve Dividend Oricyfus Municipal Bond Fund Interest Dricyfus Intermediate Munici1al Bond Fund Interest Dr1cyfus Gold Fund None Vii:tory Tax Free Fund Dividend 
l..e:gg Mason Europe Eund (stock) Dividend 
U.S. Bank, Fort Thomas, Interest Dreyfus Short Intermedidate Municipal Bond Fund Interest 
Dupree, Kentucky-Short/Med. Fund Interest 
 
10. 
Dupree, Kentucky-Tax Free Fund Interest 
 
11. 
Two Undeveloped Lots Cbarlotte Co., Florida None 
 
 
12. Two Undeveloped Lots Port Charlotte, Florida None 
13. Lewis County, Kentucky (School Interest Redeem 11/3 
14. tM:ntessori Kentucky (School) Interest 
 
15. 
Filfth Third Bank (Account) Interest 
 
16. 
Star Bank Stellar Fund Dividend 
 
17. 
Citizens Bank Campbell County, Dividend 
 
18. 
.irdBank, Fort Thomas, Dividend Income/Gain Codes: Sl,000 less ,OOl-!2,500 $2,501-$5,000 =$5,001-$15,000 $15,001-$50,000 
(See Colwnns and D4) Value Codes: -$50,001-$100,000 $15;000 less Sl00,001-$1,000,000 $1.5,001-$50,000 l,000,00!-$5,000,000 $50,001-$100,000 =More than $5,000,000 $100,001-$250,000 
(See Columns.Cl andDJ) -$2SO,OOO-S500,000 $500,001-$1,000,000 $1,000,001-$5,000,000 =$5,000,001-$25,000,000 S2S,OOO,OOJ-$SO,OOO,OOO =$More tlian $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment Cash/Market 
(See Column C2) =Book Value =Other =Estimated 
 
FIfNCIAL DISCLOSURE REPORT 
 
Date Report 
Name Person Reporting 
Bertelsman, William 
 
5/4/2004 - income, value, trantions (includes those the spous1: and dependent children. See pp. 34-57 filing instructions.) 
.VIL INVESTlVIENTS and TRUSTS Income duriug Gross value end Transactions during reporting period 
Description Assets 
 
reporting period reporting period 
(including trust assets) not exempt from disclosure (2) (I) (1) (l) 
(5) 
Val Value Type (e.g. 
Place (X) after each asset ,exempt 
 
Date: Value Gain Identity 
Amount Type (e.g. 
 
buy, sell, 
from prior disclosure 
 
Month-Code2 Codel buyer/seller (if 
Code div. rent. Code2 Method 
Day 
int) (J-P) Code3 merger, 
(J-P) 
private(A-HJ(A-HJ 
redenl>tion) transaction) 
19. Yktory Established Value Fund 
20. Dtieyfus Growth Income Fund 
21. Pa:intsville, Kentucky (Scho,ol) 
22. Estill County, Kentucky PPC 
23. ofCities (Dayton, KY) Dividend Dividend Interest Redeem 5/1 Interest Interest Interest 
KefCities (Dayton, 
 
25. 	Vktory Gradison Government Reserve 
26. 	 
Fluyd County, Kentucky (School) 
 
27. 	 
Bank Kentucky (Account) 
 
28. 	 
Lincoln County, (Public 
 
29. 	 
Pnx:ter Gamble -Common s,tock 
 
 
30. 	 
Citizens Bank Campbell Co.., Kentucky (Accounts) 
 
31. 	 
Vfotory Small Company Fund 
 
 
32. 	NCR Corp. (common stock) Dividend Interest Interest Interest -Dividend Interest Dividend 
None 
 
Pomeroy Computer Res. (Common stock) 
 
None 
34. 	BankAmerica Corp. (Common stock) Dividend 
Lexington-Fayette County, 
 
1211 Interest 
Redeem 
36. 	Bank Kentucky (Account) htterest Income/Gain Codes: $1,000 less =sr.oo1.si,500 $2,501-$5,000 $5,001-$15,QOO 15,001-$50,000 
(See Cc1Junms Bl._and 04) $50,001-$100,000 $100,001-$1,000,000 $1,000,001-$5,000,000 =More than $5,000,000 Value Oodes: $15,1[)00 less $15,001-150,000 $50,00.1-$100,000 $100,001-$250,000 
(See Cc1lumns and 03} $250,000-$500,000 $500,001-$1,000,000 =$1,000,00!-$5,000,000 $5,000,001-$25,000,000 $25,1000,001-$50,000,000 =$More tban .$50,000,000 Value Melhod Codes =Appraisal =Cost (Real Estate Only) =Assessment Cash/Market 
(See Columll C2) =Book Value =Other =Estimated 
 
Name Person Reporting 
Bertelsman, William -income, value, trauscations (includes those the spouse and dependent children. See pp. 34-57 filing insructions.) 
VII. .INVESTMENTS and TRUSTS Description Assets (including trust assets) -Place CX) after each asset 1:xempt from prior disclosure Income during reporting period (1) (2) Amowu Type (e.g. Cade div. renl (A-H) int) -c. Gross value emd Transactions during reporting period reporting period (I) (2) (I} Ifnot exempt from (2) (3) Value Value Type (e.g. Date: Value Gain Code2 Method buy, sell, MonthCode2 Code (J-P) Code merger, Day (J-P) (A-H) (Q-W) redemption) (5) Identity buy1:r/seller (if private transaction) 
37. United States Savings Bonds (I) Interest 
3. Ke1tucky Interlocal School 12due 11104) Interest 
39. 40. 41. Star Bank (Account) -Carrolln (Public Enirgy American lntI Group, Inc. Interest Interest  Dividend 
42. 43. 44. 45. Conagra Foods, Inc. Fir:;t Data Corp. Shc:rwin Williams Tyi:o International Ltd. - Dividend Dividend Dividend Dividend 
46. We>rldcom, Inc. -Worldcom Grou Dividend Sold 1/22 
47. Wc1rldcom, Inc. -MCI Group Dividend Sold 1122 
48. 49. Sc11dder Dreman High Retum Fund Russell! County, Hospital Dividend Interest 
50. Mill Valley One Ltd. (Ltd. partnership) (promissory note) .Interest 
51. 52. 53. 54. American Express Co. Kmger Co. Mi:rck Company, Inc. Su:1 Microsystems, Inc. Dividend Dividend Dividend None T Partial Sale 12126 lncome/Gai111 Codes: $1,000 less 1:001-s.soo =$2,501-$5,000 =$5,001-$15,000 $!5,001-$50,000 
(See Colwnas BLDlld D4) $50,001-$100,000 $100,001-$1,000,000 =Sl,000,001-$5,000,000 =More than $5,000,000 Value Codes: St:i,000 less K $15,001-$50,000 $50,001-$10l),000 $100,001-$250,000 
(See Columns and DJ) $2:>0,000-$500,000 -SS00,001-$1,000,000 $1,000,001-$5,000,000 =$5,000,001-$25,000,000 $2S,000,00l-$50,000,000 =$More than $50,000,000 Value Methoo Codes =Appraisal =Cost (Real EstateOnly} =Assessment Cash/Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
 
Name Person Reporting 
Bertelsman, William 
-income, value, transcations (includes those the spouse and dependent childretL See pp. 34-57 filing instructions.) 
 
 vn. INVESTMENTS andl TRUSTS 
Description Assets (including trust assets) 
Place (X) after each asset ciAmiptfromprior disclosure 
SS. Rois Sinclair Brokerage(Acccm11t) 
-KY Health Care Faes Laurel Prj S6. 
S7. Eastern Univ Revs Sys D1e 
58. Vic:tory Stock Index Fund (A1:count) 
Income during reporting period 
(2) 
Type {e.g. 
Amowit 
div. rent. 
Code 
int) 
(A-H) Dividend Interest Interest Dividend 
 
Gross value end reporting period 
(I) (2) 
Value Value 
Code2 Method 
(J-P) Code3(Q-W) 
Transactions during reporti11g period 
If11ot e7.empl from disclosure 
(5) Type (e.g. Date: Value Gain Identity buy, sell, Month-Code2 Code buyi:r/seller 
tif merger, Day (J-P) (AH) priv11teredemption} 
traru1action} 
59. 
EDL Bldg Riv (Union College) Interest 
 
VilmlDlS andD3) S:250,000-S500,000 $500,001-$1,000,000 Sl,000,00!-$5,000,000 $5,000,001-$2:5,000,000 $.25,000,001-$:50,000,000 Pescriptiou Assets 
reporting period reporting period 
(including trust assets) 
Ifnot exempt from disclosure 
(2) (l) (2) 
(I) 
109. 110. Place (X) after each assel 1xempt fiom prior disclosllle Louisville Jefferson Co., Me!,ro Sewer Dr:ainBond Elizabethtown, Public Pmperties Bond Amount Code (AH) Type (e.g. div. rent. int) Interest Interest Value Code2 (J-P) Value Method Code3, (Q-W) Type (e.g. buy, sell, m:rger. redemptiou) Buy Buy (2) Date: Montl1Day 5128 1/23 Value Code2 (JP) K (4) Gain Code (AH) (S) ldentity buy1er/seller (if private transaction) 
llL University Louisville, Educational Bldg. Bond Interest Buy 2/28 
112. Kentucky State Turnpike Aulhority Bond Interest Buy 1/22 
113. 114. 115. Kentucky State Property Bldgs. Communication Revenue Bond Northern Kentucky Water Di.sttict Bond .... - Cl:ay County, Justice Center Bond Interest Interest Interest Buy Buy Buy 1/22 1/29 5/14 
116. Owensboro, Public Project Bond Interest Buy 
117. Kentucky State Property Bldgs Revenue Bond Interest Buy 1122 
118. Lo1uisville Jefferson County MBIA Interest Buy 215 
119. Interest Sold 10/8 fuconre{Gain Codes: =Sl,000 less $1,001-.h,500 $2,501-$5,000 $5,001-$15,000 $15,001-$50,000 
(See Oohmms and 04) $100,001-$1,000,000 $1,000,001-$5,0100,000 =More lhan $5,000,000 Value Codes: =$115,000 less =$15,001-$50,000 $50,001-$100.0DO =$100,001-S2SO,OOO 
(See OolUI11111S and D3) S2S0,000-S500,000 $500,001-$!,000,000 =$1,000,001-$5,000,000 $5,000,001-$25,000,000 S:?S,,000,001-$50,000,000 $More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) Assessment =Cash/Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
 
(Indicate part Report.) 
VIII. AJJDIDONAL INlORMATION EXPLANATIONS 
All items ides:fgnated with** contained Section VIL Investments Trusts are in9state which served Executor 1111d which was closed November 2003. These items are now the name the undersigned. certify that all infonnation given above (including information pertaining spouse and minor dependent children, any) ac:cu!ate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statuitory provisions permitting.n,on-disclosure. further certify that earnecl income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C,  501 seq., U.S.C.  7353, and Judicial Conference regulations. 
Date 
 
 
 
 
FILING INSTRUCTIONS 
Administrative Office the United States Courts 
20544