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Judicial Watch • Joan B Gottschall Financial Disclosure Report for 2003

Joan B Gottschall Financial Disclosure Report for 2003

Joan B Gottschall Financial Disclosure Report for 2003

Page 1: Joan B Gottschall Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:10

Date Created:February 3, 2005

Date Uploaded to the Library:November 13, 2013

Tags:Gottschall, Joan B Gottschall, committee, Growth, stock, 2003, TRUSTS, dividend, Financial Disclosure, ICE, CIA, income, Judge

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Government Act 1978 Calendar Year 2003 u.s.c. app. Ii 101-111) 	Person Reporting (Last name, Fh"St 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
o:::::: t 1rn .r::
r-< 0'. 
1.,,J 1:...n 

N""' """'"'.
ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 o:rmmg instructions) Filer's Non-Investment Inc:om NONE (No reportable non-investment income.)
(yours, not spouse's) 	See Section vm. note 
0.00 Spouse's 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.M'iifCIAL 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 l'reasucy 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)  l' 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 of'3 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-(ifpn'lllte (Q-W) redemption) transaction) 
19.. Intel c:/sto
20.  Wastc:Management c/stock  Dividend  
21.  -Vanguani Tax-Managed Growth Income Fund  Dividend  
22.  Flextronics ci'stock None  
23.  ackard c/stock Hewlett-I  Dividend 
24.  -ETradel'x-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!  
l.' 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. 
lf'lace *(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 '02 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 wi'th 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 th"at suggests your association with the bcok would 11dettat from the dignity the udge c:>ffice." C:atnon SA. 
TJ'r: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 limi't !'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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