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Judicial Watch • Joan B. Gottschall – 2003

Joan B. Gottschall – 2003

Joan B. Gottschall – 2003

Page 1: Joan B. Gottschall – 2003

Category:Federal Judges

Number of Pages:10

Date Created:February 3, 2005

Date Uploaded to the Library:October 24, 2014

Tags:Gottschall, Joan B Gottschall, committee, Growth, stock, 2003, assets, spouse, TRUSTS, Codes, dividend, disclosure, reporting, report, Federal Judge, income, Judge

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Government Act 1978 Calendar Year 2003 u.s.c. app. Ii 101-111) 	Person Reporting (Last name, FhSt name, Middle initial) Court Organization DateofReport Gottschall, Joan U.S. District Court, NDIL S/19/2004 	Title (Artic:Je Judges indicate acti1;e senior status; ReportType (check appropriate type) Reporting Period magistrate judges indicatefull-or part-time) 
 Nomination, .Date 1/1/2003 District Judlge-active status Initial @Annual Flnal 
12/311209 ChambCJrs Office Address the basis the information contained this Report and any 
219 South lDearbom St. modifica,tions pertaining thereto, is, opinion, compliance with applicable laws and regulations. 
Room 1971  
Chicago, 601604 Reviewing Officer. Date___ 
IMlPORTANT NOTES: The in1Struetions accompanying this form must followed. Complete all parts, checking the NONE box for each part w11ere you have reportable: fofonnation. Sign last page. POSITIONS. (ReportillJ individual only; see pp. 9-13 filing instructions) 
Member 	Visiting Committee the Divinity School, University Chicago 
Member, BDBrd ofDirectolrs 	Dlinois Humanities Council 
Member, Board Direclolrs 	Martin Marty Center the University Chicago Divinity School 
II. AGREEMENTS. (Rc:pDrting individual only; see pp. 14-16 oftiling imtructions) 
 NONE  (No reportable agements.) 
...... c:;:l c;::::i 
o:::::: t 1rn .r:: 
1.,,J 1:...n 
ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 o:rmmg instructions) Filers Non-Investment Inc:om NONE (No reportable non-investment income.) 
(yours, not spouses) 	See Section vm. note 
0.00 Spouses Non-Investment Income -(Ifyou were married during any portion the reporting ycair, please complete this section. (dollar amount not required CKcept for bonoraria) 
 NONE (No reportable no,ninvcstmcnt income.) 
IV. 	REIMBURSEMENTS -transportation, lodging. food, entertainment (lnc:lucllcs those spouse and iilependcnt children. See pp. 25-27 instructions.) 
 NOlffi {No such reportable reimbursements.) 
NameofPersonReporting Date;t1fReport Gottschall, Joan 511912004 
FrN.MiifCIAL DISCLOSURE REPORT GIFTS,, (Includes those spouse and dependent children. See pp. 28-31 instructions.) NONE -(No such reportabl1e gifts.) 
Uni11>n l..eague Club ofChicagc Reduced annual dues forjudges $1,716 
VI. LIABILITIES. (Includes 1hose spouse and dependent children. See pp. 32-34 instructions.) 
 NONE -(No reportable liabilities.) 
Gottschall, Joan 
.Page of3 
-income. lllue, transcations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) 
Income during Gross wlue end Transactions during reporting period Description Assets reporting period Iep0!1ing period 
(including trust assets) 
Ifnot exempt from disclosure 
{2) {3) TYJle (e.g. Date: 
l!lace (X) after each asset exe1111 Amount TYJle (e.g. Value Value 
Identity Value 
buy, sell, Month 
lrom prior disclosure 
div. rent. Code2 Method 
merger, (Q-W) redemption) 1-1 transaction) 
int.) (J-P) Codel Day (JP) (A (ifpri.ll!C NONE (Noreportableincome,llSllCIJ 1, ttansactions) Vang:uaid Wellington Fund Dividend Vanguard Wellesley Fund Dividend Vang:wud Index Trust Dividend Vang:wud Prime Portfolio Dividend Van Kampen F.merging Growth und Dividend Eaton Vance: Muni Bond FWld Dividend lreasucy Strip (11-15-9) None Fed Hmpl Credit Union Accts Interest common stock Dividend 
10. GlolDal Bond Focus Fund 181menowisML Core Bond Fnd) Dividend Sell 4122 
11. Pimco Total Return Fund Dividend Buy 4122 
12. -Sr.Hi Inc Port. Dividend 
13. -Viacom c/stock Class Dividend 
14. Viacom c/stock Class Dividend 
15. -Mcn:ury Intern! Value Fm: Dividend Sell 4122 
16. -Alliance: Premier Growth Fund None Sold 11117 
17. Munder Net Net Fund None 
18. AOL. Time Warner c/stock (1101 Time Warner c/stock) None Name change: TimeWllllTler Income/Gain Codes: ,OCIO less Sl,001-S2.SOO S:!,501 -$5,000 SS,001-$15,000 $15,001-$50,000 
(SeeCoimnnsBl andD4) $50,CIOl -SI00,000 $100,00!-$1,000,000 $1,000.001-$5,000,000 More than $5,000,000 Value Codi: $15,CIOG Jess $!5,00J-$50,000 $50,00J-SIOO,OOO Sl00.00!-$250,000 
(See Coimnns and DJ) S250,.000-S500,000 $500,001-SJ.O(lO,OOO SJ,000.001-$5,000,000 S5,00D.OOJ-S:25,0rln,ooo 25,CIOU,OOJ-$50,000,000 SMe>re than SS0,000,000 Yuue Method Codes Appraisal Cost (Re! Estate Only) Assessmen1 CasfilN:a.-ket Soc Column C:.) Booi. Value Oihe =Estimated 
FINANClAL DISCLOSURE REPORT Name Person Reporting Page2 of3 Gottschall, Joan -income. wlue. transcaiions (includes those ofthe spouse and dependent children. See pp. 34-57 offiling instructions.) 
Inoomc during Gross value end Tran.actions during reporting pcri1xl IDescnption ofAssets reporting period 
reporting period 
(inchJding trust assets) 
not exc::mpt d;i:losun: 
(I} (2) (I) 	(2) (I) 
Date:Place cxr afu:reach asset CiltCIDJlt Ainowu Type (e.g. Vaine Value Value Identity Code2 Method buy, sell, Month-Code2 
from prior disclosure Code 
buyer/.sellerdiv. rent.or 
(AH) int.) (J-P) 	Codc3 merger, Day (J-P) (A-(ifpnlllte (Q-W) redemption) transaction) 
19.. Intel c:/sto 
20. Wastc:Management c/stock Dividend 
21. -Vanguani Tax-Managed Growth Income Fund Dividend 
22. Flextronics cistock None 
23. ackard c/stock Hewlett-I Dividend 
24. -ETradelx-ExMoney Market Funid Dividend Sell 1128 
25. ADVl?c/Stock None 
26. stockDycom cf: None 
27. stockMVSNc/ None 
28. Seligman Tef Natl Tax Ser Dividend Sell 11117 
29. MFSMid-cap Growth Fund None 
PutnamNcwValue Fund Dividend 
MPS Ut.t1 .itiesFund Dividend 
-MPS Securities Fund Dividend 
33. MPS ValucFundB Dividend 
34. MFSI CapGrowth None 
3S. 36. -Morg;m Stanley Active Assets Mo1ey Trust -Morg;m ;tanJcy Uquid Assets F1md Dividend Dividend Bought/Sol Boughti sol   assim Income/Gain Codes: =SI ,CIOO orless =Sl,001-Sl.500 $2,501-$5,000 $S,00l-Sl5,000 =S:J5,00!-S50,000 
(See Columns and D4) S50.001-$JOQ,OOO S:IOO,OOJ-Sl.000,000 $1,000.00J-SS,00(),000 =Mo than $5,000,000 Value Code;;: S15,00U llr l:ss S!S,OOJ.$50,000 $50,001-SJOO.OOO $100,001-$.!50,00!l 
(See Colunms and D3) S150,0l:l{1-SSOO,OOV SSOO,OOJ-$1,000,000 S:l,OOO.OfJl-$5,000,000 SS,OOO,OOJ-S25,0()0,000 
PJ. S25,00IJ,OOJ-$50,000,000 SMore than $50,000,000 Vaiu h/1eth(Jd Codes .l1ppm1:1: =Cost (Rea! Estato Only) =Assessment Cash/Wmrke! Booi. Value Oihec =Esnmmted 
FINANCIAL DISCLOSURE REPOR( Name Person Reporting Date Report .Page oJr3 Gottschall, Joan 
-income, value. transcations (includes those the spouse and dependent children. See pp. 34-S? filing instruc1lions.) 
Description Assets ![including trust assets) 
Income during 
(I) (2) Gross value end Tnmsac:tioos during reporting pedod reporting period 
Ifnot exempt from 
(2) (S) 
Type (e.g. 
lflace *(X) after each asset exe1D1pt 
11hntt prior disclosure 
Date: Value Gain Identity 
Value Value 
Amount Type (e.g. 
div. n:nl. 
buy, sell, Codc2 Method 
Codc2 Code buyer/seller 
(J-P) CodeJ merger,. Day (I-P) 
(A-H) int.) 
(A-(if private 
Vangd Capital Opportunity Fund 
MFS Government Mortgage Fut1d 
39. Marg Stanley (MS) Govt Se:c. Fund Dividend Dividend Dividend Bought more 11117 Buy  *6/10/02overlook1:d 1,000 less ,OOl S2.:5GO $2.,SOl-$5.000 SS,001-Sl:S,GOO $1$.(llli-$50,000 
(SeeColummsBJ andD4) $50,00ll -l>lOO,OOO SI00,001-$1,000,000 Sl,000.001-$:5,000,0oO Mure than $5.000,000 Value Codes: S!S,000 cir less $)5,00J-$50,000 $50,00!-SJOO.OOO 00.00 -$250 ,000 
(See Coiumus and D3) S.250,()(){$500,000 $500,00 Sl.000,000 S:l ,O(lO,OOi-)5,000.00 S5,0CJ0,001-S25.000,000 $25,00(),001-SSO,OOLJ,OOU !>4 =$More than SS0,000,000 Value Metnoti C:des Appraisal Cost (ReiiJ Estate Only} =Assessment Cash/Market 
(Set Columr. C2) Booi: Value =Oilier l:.srimmed 
Gottschall, Joan 5/1912004 
(Indicate part ofReport.) 
NOTE (Sc:ction III) 
Committee lln Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting 
Name Person Reporting Date Report 
Gottschall, Joan 5119/2004 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and compllete the best knowledge and belief: and that any information not reported was withheld because m.e:t applicable statutury provisions permitting non-disclosure. furthcr certify that earned iwome from outside employment and honoraria and the acceptance gifts which have been reported aire compliance with the provisions ofS U.S.C.  501 seq., U.S.C.  7353, and Judicial Conference regulations. UAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MA.Y SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Mail signed original and additional copies to: 
Committee Financial Disclosme Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
used the Jpromotion book, but, assume, these restricti1ons 
are not lHEly involved your case since you are not the auhor and your name unlikely used connection w.ith selling the book. Nor there anything about the nature t:he 
,,, Honorab1le Joan B.-Gottschall 
October 1991 
book, Food and the Gut Reaction that suggests your association with the bcok would 11dettat from the dignity the udge c:>ffice. C:atnon SA. 
TJr:der_ Canon udqe may serve director c:>r active partner   any business wholly owned men:bE!rs C)f the judgre11 family all _:whom are related the judqe 
  within the t:hird degree   according the civil law syste111  
1{our are related you within the third degree and you may their prtner usiness shareholcle the co_rpcration. The lang uac;e tha Canon perm.its,. 
yc>ur participation inactive partner and nc>n= officer shareholder fami enterprise. Your participation 1:he enterprise would not violate your duty under Canon SC. manage    financial interests minimize the number ca!;es which thei judqe d.i:squalified; this because you could not, in. anY. _avent, hear cases which your parents and sister have interest.. canon 3Cl(d). Fi.nally:, the Ethics Reform Act does not qeneraJLly prohibit either serving prtner shareholer. There clre specific lim.itations such activity, but these are not save one, remotely applicable here. Requlations the .1udicial Conference 
-of the United States Under Title the Ethic Reform Act 189 
(Title Requlations11 The Title Regulations bar a.ny service 11fc11:-compensation officer member the boa::d any    c:c>rporation other entity 1  (a) (4). yor case, you will not serve officer boc:s.rd member and the prohibition  (a) (4) -does not apply yc:mr 
proposed ac:1:ivity. 
YU also should aware that the Ethics Reform ;!,ct limits the .amount outside income earned any one year -The income limit !lot pplicable your circumstances. tle Requlation!;  (b) (2) provides that funds received for services rendered  before Janary 199111 are not outside earned 
1rhe Committee advises that the course action propo1sed you consistent with the Codes Conduct and the Title 
Regulations the Judicial Conference. 
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