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Judicial Watch • Joan B. Gottschall – 2005

Joan B. Gottschall – 2005

Joan B. Gottschall – 2005

Page 1: Joan B. Gottschall – 2005

Category:Federal Judges

Number of Pages:10

Date Created:December 1, 2006

Date Uploaded to the Library:October 24, 2014

Tags:Gottschall, regulations, Joan B Gottschall, committee, Growth, vanguard, stock, 2005, Codes, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge

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Government Act 1978 
Rev. 112006 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-lll) Person Reporting Oast name, first, middle initial) Gottschall, Joan Court Organization U.S. District Court, NDJL Date Report 0511512006 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge--active status Sa. Report Type (check appropriate type) Nomination, Date Initial 129 Annual Final Reporting Period 01/01/2005 12/31/2005 
Sb. Amended Report Chambers Orfice Address 219 South Dearborn St. Room 2356 Chicago, 60604 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
IMPORT ANT NOTES: The instructions accampanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign ot1 last page. OSITI NS. (Reporting individual only; see pp. 9-J instnictions.) NONE (No reportable positions.) POSITION Member Visiting Committee the Divinity School, University Chicago 
Member, Board Directors Illinois Humanities Council 
Member, Board Directors Martin Marty Center the University Chicago Divinity School 
Chair, Disuict Selection Committee The Rhodes Trust 
Member, Board Directors Foundation for Law and Science Centers 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
[20 NONE (No reportable agreements.) 
Gottschall, Joan 
III. NON-INVESTMENT INCOME, (Reporting individual and spouse; see pp. 17-U instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
(yours, not spouses) See Section VIII, note 0.00 Spouses Non-Investment Income -I/you were married during any portion t/le reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[RJ NONE (No reportable non-investment income.) 
IV, REIMBURSEMENTS -transportation, lodging, food, entertainmenl 
(fncludes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 
SOURCE DESCRIPTION Benzie Area Womens History Project Crystal Mountain, MI, 3/18-3/20, conference speaker (air fare, meals, lodging) Yale University New Haven, Conn., 9115-9116, speaker Sarah Smith Memorial Conference (air fare, ground transportation, meals, lodging) lllinois Humanites Council Springfield, IL, 9/29-9/30, attendance Illinois Humanities Council board meeting (meals, lodging) GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) NONE (No reportable gifts.) SOURCE DESCRIPTION Reduced annual dues for judges Union League Club Chicago 2352 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) 
 	NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS income, vatue, transactions (includes those the spouse and dependent children. see PP 34-57 offilinc instructions) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place (X) after each asset exempt from prior disclosure 
L_____ ---------- Income during reporting period Gross value end reporting period Transactions during reporting period 
(I) (2) (!) (2) (I) Ifnot exempt from 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) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) Vanguard Wellington Fund Dividend Vanguard Wellesley Fund Dividend Vanguard Index Trust Dividend Vanguard Prime Portfolio Dividend Van Kampen Emerging Growth Fund None Eaton Vance Muni Bond Fund Dividend Treasury Strip (11-15-09) None Fed Credit Union Accts Interest IBM common stock Dividend 
10. Sr.Hi Inc Port. Dividend Viacom c/stock Class Dividend 
12. Viacom c/stock Class Dividend 
13. Munder Net Net Fund (now Internet Fund) None 
14. Time Warner c/stock Dividend 
15. Intel c/stock Dividend 
16. Waste Management c/stock Dividend 
17. Vanguard Tax-Managed Growth Income Fund Dividend Income Gain Codes: =$i ,000 less =$1,001 -$2,500 $2,50t -$5,000 =$5,001 -$15,000 
(See Columns and 04) $50,001 -St00,000 =$I 00,00 -$1,000,000 =$1.000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less K=$15,00! -$50,000 =$50,00 -$I 00,000 =$100,001 -$250,000 
(See Columns and 03) $250,00t -$500,000 $500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 Value Method Codes =S25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Markel 
(See Column C2) =Appraisal V:=:Other =Assessment =Book Value :=:Estimated 
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see pp. 34-57 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period 
(1) (2) (1) (2) (1) Ifnol exempt from disclosure 
Place (X) after each asset exempt from prior disclosure Amount Code (A-H) Type (e.g. div. rent, int.) Value Code (J-P) Value Method Code (Q-W) Type (e.g. buy, sell, merger. redemption) (2) (3) (4) (5) Date Value Gain Identity Month-Code Code buyer/seller Day (J-P) (A-H) (if private transaction) 
18. Flextronics c/stock None 
19. Hewlett-Packard c/stock Dividend 
20. Caremark c/stock None 
21. Dycom c/stock None 
22. MVSN c/stock None 
23. MFS Mid-Cap Growth Fund None 
24. Putnam New Value Fund Dividend 
25. MFS Utilities Fund Dividend 
26. MFS Govt Securities Fund Dividend 
27. MFS Value Fund Dividend 
28. MFS Large Cap Growth (name change: Core Growth) None 
29. Morgan Stanley Active Assets Money Trust Dividend Bought/Sold  *passim 
30. Morgan Stanley Liquid Assets Fund Dividend Bought/sold  *passim 
31. Vanguard Capital Opportunity Fund Dividend 
32. MFS Government Mortgage Fund (name change: MFS Govt Sec Dividend 
33. Morgan Stanley (MS) Govt Sec. Fund Dividend 
34. Large Cap Value (name change: Mercury Large Cap Value) Dividend Income Gain Codes: A=$ ,000 less =$1,001 -$2.500 =$2,50 -$5,000 D=S5.00l -$15.000 E=Sl5.00I -$50,000 
(Sec Columns and 04) =$50,00 -$100.000 =$I 00,00 -$1.000.000 =$1.000,001 -$5.000.000 =More than SS,000,000 Value Codes J=SIS,000 less =$15.001 -$50.000 L=$50,00l -$J00,000 =$100,001 -$250,000 
(Sec Columns and DJ) =$250.00 -$500,000 0=$500,00 .000,000 =$1,000,00 -$5.000,000 =$5,ooo.oo -$ Value Method Codes =$25,000.001 -$50,000,000 =Cost (Real Estate Only) =More than .$50,000,000 :=:Cash Marke! 
(See Column C2) =Appraisal V=Otber =Assessment =Book Value W=Estimated 
Gottschall, Joan 
VII. INVESTMENTS and TRUSTS income, value, transactions (includes those the spouse and dependent children. see PP 14.s1 filing instructionsJ NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
Place (X) after each asset exempt from prior disclosure Income during reporting period (I) Amount Code (A-H) (2) Type (e.g. div., rent, int.) Gross value end reporting period (I) Value Code (l-P) (2) Value Method Code3 (Q-W) (!) Type (e.g. buy, sell, merger, redemption) Transactions during reporting period not exempt from disclosure (2) (3) (4) Date Value Gain Month-Code Code Day (J-P) (A-H) (5) Identity buyer/seller (if private transaction) 
35. Value Opportunities (name change: Mercury Value Opport) Dividend 
36. MuniEnhanced Fund Interest 2004 Report error: Value Income Gain Codes: ==SI.ODO less Sl,001 -S2,500 =$2,501  $5,000 D=S5,001-Sl5,000 =$15,001 -S50,000 
(See Columns and 04) =$50,00 to0,000 =SI00,001  St,000,000 =$1,000,001 -$5,000,000 =More than SS,000,000 Value Codes $15,000 Jess 15,00 -S50,000 =$50,00 SI 00,000 =$100,001 -$250,000 
(Sec Columns and 03) =S250,00 -$500,000 =S500,00  1,000,000 =$1,000,00t -S5,000,000 =$5,000,001  $25,000,000 Value Method Codes =S25,000,001  $50,000,000 :Cost (Real Estate Only) =More than SS0,000,000 Cash Market 
(See Columa C2) Q=Appraisal V=Otber =Assessment =Book Value =Estimated 
Gottschall, Joan 
NOTE (Section Ill) 
Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting period. 
Date Report 
Gottschall, Joan 
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 of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
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 
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Uhited States District Court 
219 South Dearborn Street 
Chicago, Illinois 60604 
Re: Docket No. 828 
Dear Judge Gottschall: Canadian corporation whose shareholders will the partners the dissolved partnership. After the partnership formed, your sole role will serve shareholder. shareholder, you will share proceeds arising from the sales the book and the use the rights the book. You ask whether you may pdrticipate this ar=gcet ithot transgressing either the Code Conduct for United States Judges the Ethics Reform Act 1989. 
permitted write The under receipt the Code non-legal income from Conduct. subjects. writing editing book canon says, judge may The Committee believes that 
editing and proofreading are activities covered the word writing. And the Committee has approved, least implicitly, the receipt income from writing. Advisory Opinion No. 55. Ther are restrictions the manner which judges name may used the promotion book, but, assume, these restrictions are not likely involved your case since you are not the author and your name unlikely used connection with selling the book. Nor there anything about the nature the 
Honorable Joan Gottschall 
October 23, 1991 
book, Food and the Gut Reaction, that suggests your association with the book would detract from the dignity the judges office. Canon SA. 
Under Canon 5C(2) judge may serve director (or) 
active partner any business wholly owned mebers the judges family all whom are related the judge 
within the third according the law system. 
related you within the third degree, business shareholder 
The language th2 Carim perni ts, _g_ inactive partner and non 
family enterprise. Your participation 
violate your duty under Canon SC. minimize the number cases which the judge disqualified; this because you could not, any event, hear cases which have interest. Canon JCl{d). 
Finally, the Ethics Reform Act does not generally prohibit either serving p?rtner shareholder. There are specific limitations such activity, but these are not, save one, remotely applicable here. Regulations the Judicial Conference the United States Under Title the Ethic Reform Act 1989 
Regulations). The .TitkeVI-Regulations bar any 
for compensation officer member the boat.d 
corporation other entity. 
 (a) (4). your case, you will not serve officer board member and ihe prohibition  5(a)(4) does not apply your proposed activity. 
You also should aware that the Ethics Reform Act limits the amount outside income earned any one year. The income limit :-ict C.p?l icable your i.rcuI!.stances. Title Regulations  J(b) (2) provides that funds received for services rendered before January 199111 are not outside earned income. 
The Committee advises that the course action proposed you consistent with the Codes Conduct and the Title Regulations the Judicial Conference.