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Judicial Watch • Joan B. Gottschall – 2006

Joan B. Gottschall – 2006

Joan B. Gottschall – 2006

Page 1: Joan B. Gottschall – 2006

Category:Federal Judges

Number of Pages:10

Date Created:January 31, 2008

Date Uploaded to the Library:October 24, 2014

Tags:Viacom, canon, Gottschall, Joan B Gottschall, committee, united, 2006, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. opp. 101-111) Person Reporting (last name, first, middle initial) Gottschall, Joan Court Organization U.S. District Court, NDIL Date Report 05/15/2007 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 Annual Final Reporting Period 01/01/2006 12/31/2006 
Sb. Amended Report Chambers Office 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 
 
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 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Member Visiting Committee the Divinity School, University Chicago Member, Board Directors Illinois Humanities Council 
Member, Board Directors 
Chair, District Selection Committee 
Member, Board Directors 
 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
 NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
 
 
Date Report 
Gottschall, Joan 
05/15/2007 
Ill. N-INVES TMENT INC ME. (Reporting individual and spouse; see pp. 17-:U instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 SOURCE AND TYPE INCOME 
(yours, not spouses) See Section VIII, note 0.00 Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[2[J NONE (No reportable non-investment income.) SOURCE AND TYPE 
 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 
SOURCE University St. Thomas (Minneapolis) Law School Food, lodging and transportation law school seminar 
 
 
 
 
Date Report 
Gottschall, Joan 
05/15/2007 GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 	NONE (No reportable gifts.) DESCRIPTION VALUE Reduced annual dues for judges Union League Club Chicago 2004 
 
 
 
VJ. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
(KJ NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION 
 
VALUE CODE 
 
 
 
Date Report 
Gottschall, Joan 
05115/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 offl/ing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place QC) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (2) (I) (2) (3) (4) (5) 
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month Code Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) Income Gain Codes: 1.000 less =Sl,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and D4) F=$50,00I -SI00,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15 ,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,00t -$250,000 
(See Columns and DJ) =$250,001 -$500,000 =S500,00t -St,000,000 =St,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -S50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal =Other =Assessment =Book Value W=Estimated 
 
Date Report 
Gottschall, Joan 
0511512007 
VII. INVESTMENTS and TRUSTS -income, valae, 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 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (2) (I) (2) (3) (4) (5) 
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) Income Gain Codes: 1,000 less =Sl ,001 -$2,500 =$2,501 -$5,000 =$5,001 -Sl5,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -SI,000,000 =Sl,000,001 -S5,000,000 H2=More than $5,000,000 Value Codes J=S15,000 less =$15,001 -$50,000 L=S50,00l -SIOO,OOO =$100,001 -$250,000 
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -SI,000,000 =Sl ,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =S25,000,00I -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal V=Other Assessment 
U=Book Value =Estimated 
 
Date Report 
Gottschall, Joan 
05/15/2007 
VII. INVESTMENTS and STS -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 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(!) (2) (J) (2) (J) (2) (3) (4) (5) 
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
 
34. Mercury (now BlackRock) Large Cap Value Dividend 
35. Mercury (now BlackRock)Value Opportunities Dividend 
36. (now BlackRock) MuniEnhanced Fund Interest 
37. CBS Cl. c/stock (sold 5/07) Dividend  1-4 *Viacom sh/for/sh dividend 
38. CBS Cl. c/stock (sold 5/07) Dividend  1-4 *Viacom sh/for/sh dividend 
39. Bank Dep. Program Interest Bought/sold  *passim. See VJII, n.3 Income Gain Codes: 1,000 less =Sl ,001 -$2,500 c=$2,501 -$5,000 D=$5,001 -$15,000 E=Sl5,00I -S50,000 
(See Columns and D4) F=$50,00I -$100,000 =$100,001 -SI,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes J=$15,000 less K=$15,001 -$50,000 L=SSO,OOl -$100,000 =$!00,001 -$250,000 
(See Columns and D3) N=$250,001 -$500,000 =$500,001 -SI,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Yalu Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) P4=More than $50,000,000 T=Cash Market 
(See Column C2) Q=Appraisal =Other =Assessment 
U=Book Value =Estimated 
 
 
Date Report 
Gottschall, Joan 
05/15/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicate partofReporL) 
NOTE (Section III) 
 
Codes Conduct, which was attached that Report and attached hereto. realized income from this business during the reporting period. 
 
NOTE (Section VII, lines 11-12, 37-38) January 2007, Viacom Inc. redeemed certain number its shares and gave, what calls stock dividend, equal number CBS shares. Thus, Viacom 
took back 177 Class Viacom shares and distributed 177 shares CBS Class shares me. took back Viacom Class shares and distributed CBS Class shares me. This was partial redemption; column reflects holdings the end the reporting period. 
 
NOTE (Section VII, lines 29, 39) 
Over the course the year, Morgan Stanley eliminated its Active Assets Money Trust, short-term money market fund for holding cash, and moved all funds 
from that fund what called the Morgan Stanely Bank Deposit Program. statement indicates some cash Discover Bank; informed Morgan 
Stanley that will place funds with different banks its discretion. 
 
Date Report 
Gottschall, Joan 
05/1512007 
 
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. 
R06] 
Date 
NOTE IVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND SANCTIONS 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 
 
 
COMMITTEE CODl!:S CONDUCT TH 
JUDICIAL CONlUtlCNCE THI: UNITl!:D STATl!:S 
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CHAl,. norble J0an Gottsh l 
United States District Court 
219 South Dearborn Street 
Chicago, Illinois 60604 
 
Re: 
Docket No. 828 
 
Dear Judge Gottschall: 1986, 1987, and 1988 you, along with your itten your 
for its 
canada 
whose 
will 
 
 
turn, transferred Canadian corporation whos.e 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 thia ar=agc=et ithot trancgressing either the Code Conduct for United States Judges the Ethics Reform Act 1989. 
The receipt income from writing editing book permitted under the Code Conduct. Canon says, judge may non-legal subjects. The Committee believes that and proofreading are activities covered the word And the Committee has approved, least implicitly, 
 
the receipt income from writing. Advi sory Opinion No. 55. There are res trictions the manner which judges name may bfl used the promotion book, but, sume, 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] business wholly owned mebers whom are related the judge according the civil law system. related you within the third degree, usiness shareholder The language thn Canon permits, .fl inactive partner and nona........nterprise. Your participation violate your duty under Canon SC. 
interests minimize the number cases which the judge disqualified; this not, any event, hear cases which your 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 bar any compensation 
member the boa.d 
 
corporation other entity.  5(a) (4). your case, you will not serve officer board member and the prohibition  (a) 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 :1ct applicable i!1 your ci.rctmstances. Title Regulations  J(b) (2) provides that funds received for services rendered before January 1991 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. 
 
For the Committee