karen k caldwell financial disclosure report for 2010

8/3/2019 Karen K Caldwell Financial Disclosure Report for 2010

1/12

AO IORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR C A LEN D A R Y EA R 2010Report Required by the Ethics

in Government Ac t of 1978(5 U.S.C. app. 101-111)

1. Person R eport ing (last name, f i rst , middle ini t ia l )Caldwel l , Karen K.

4. T it le (Ar tic le I I1 judges ind ica te active or sen ior s ta tus ;magist rate j udges indicate fu l l - or par t - t ime)

Ar t ic le I l i Judge, fu l l - t ime

7 . Cha m be r s o r Of f i ce Ad d r e s sP.O. Bo x 22071 01 Barr S t ree tLexing ton , Ken tucky 40507

2. Court or Organizat ionU.S. Distric t Court

3. Date of Report5/11/2011

5a . Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repo r t and anymodif ica tions per ta in ing there to , i t is , in my o pin ion , in compliancewith appl icable laws and regu lat ions .

6. Repor ting Per iod01/01/2010

to12/31/2010

Reviewing Off icer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable information~ Sign on last page.

I . P O S I T I O N S . (Repor t ing ind iv idual on ly ; seepp . 9 -13 o f f i l ing ins truc t ions .)D NONE(N o reportable pos i t ions . )POSITION

t: Trustee2. Tru s t ee Llo yd Cres s Li fe In suran c e Trus t3.

4.5.

NAME OF ORGANIZATION/ENTITYTransylvania University

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] N O N E ( N o repor table agreem ents .)

D A T E P A R T IE S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 6

N a m e o f P e r s o n R e p o r t in gCaldwell, Karen K.

D a t e o f R e p o r t5/11/2011

I I I . N O N - IN V E S T M E N T I N C O M E . (Reporting individualandsp .... ; seepp. 17-24 of f i l ing instruct ions .)A. Filers Non-lnvestment Income~] N O N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE

2.3.4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - lf you were married daring anyportion of the reporting year, complete this section.(Dol lar amount not requi red except for honorar ia. )

N O N E ( N o reportable non-investment income.)D A T E

1.20102 . 2 0 1 03 . 2 0 1 04 . 2 0 1 05 . 2 0 1 0

SOURCE AND TYPERet i r eme nt Benef i t - Ashland , Inc .R e t i re m e n t B e n e f i t - C o m m o n w e a l t h o f K e n t u c k yG r e e n e b a u m D o l l & M c D o n a l d - L e g a lD i n s m o r e & S h o h l - L e g a lKentucky Coal Assoc ia t ion - Legal

I V . R E I M B U R S E M E N T S - transportat ion, lodging, food, e n t e r t a in m e n ~(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

~ (No reportable reimbursements.)O N E

2.3.4.5.

S O U R C E D A T E S L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED


3/12



Date of Report5/11/2011

V . G I F T S . a n d u d e s those to spouse and dependent children; seepp. 28-31 of f!ling instructions.)N O N E (No repor table gi f ts .)

S O U R C E D E S C R I P T I O N1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n a u d e s t h o s e o f s ~ o u s a n d dependent children; see vv. 3 2 - 3 3 of filing instructions.)~ (No reportableONE liabilities.)

CREDITOR1. A A A F i n a n c i al S e r v i c e s2. A m e r i ca n E x p r e s s3. C h a s e B a n k

4. U S A A S a v i n g s B a n k5. Cap i ta l On e Ban k6. B a n k o f A m e r i c a7. Cald wel l Thr i f t P lan8. Citibank9. B a r c la y B a n k

DESCRIPTIONLin e o f Cred i t - Cred i t CardLin e o f Cred i t - Cred i t CardLine o f Cred i t - Cred i t CardLin e o f Cred i t o Cred i t CardLin e o f Cred i t - Cred i t CardLin e o f Cred i t - Cred i t CardP e n s i o n P l a n L o a nLin e o f Cred i t - Cred i t CardLin e o f Cred i t - Cred i t Card

V A L U E C O D EKMKJJKKJJ


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FINANCIAL DISCLOSURE REPORTPage 4 of 6 Ia m e o f P e r s o n R e p o r t i n gCaldwell , Karen K. D a t e o f R e p o r t5/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ....... t i ons (Inc l ude s t hose of sp ouse an d de pe nde nt c hi ldre n; se e pp. 34-60 o/ f i li ng i ns t r uc t i ons.)N O N E (No reportable income, assets, or transactions.)

A, B. C. .... D,D e s c r i p t i on o f A s s e t s I n c o m e d u r in g G ro s s v a l u e a t e n d T r a n s a c t io n s d u r in g r e p o r t in g p e r io d

( in c l u d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d(1 ) ( 2 ) (1) (2) (I ) (2) (3) (4) ( 5 )

P l a c e " ( X ) " a f t er e a c h a s s e t A m o u m T y p e ( e . g . , V a l u e V al u e. T yp e ( e .g . , D a t e V a l u ee x e m p t f r o m p r i o r d i sc l o s u r e C o d e 1 d i v . . r e n t . C o d e 2 M e t h o d b u y , s e l l , m m / d d /y y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r in t . ) ( J - P ) C o d e 3 . r e d e m p t io n ) ( J r P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

1. PNC Bank Account A Int./Div. K T2. Jefferson Pilot Life Ins. Life~ S old 02/1 0 /1 0 M A Mills, Potoczak & Co

~ LP G3. G DM Profit -S h aring Plan Dis trib u ted 05/04 /1 0 J A

4. N F S I R A Dis t r ibu te d 02/17/101 J A

5. ~Estate (X) [inherited, M W 1 1 / 0 4 / 1 0undistributed]6. - 1/4 residential house and lot

7. - I /4 unimproved farm land

8. - 1/4 unimp roved comm ercial real estate

1 0 .

1 1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

1 . l neome Gain Codes :(See Columns B 1 and 134)

2. Value Codes(Se e C o lu m n s C 1 a n d D3)

3. Value Method Codes(Se e C o lu m n C 2 )

A =$1,000 or lessF =$50,001 - $ 100,000J =$15,000 or lessN =$250 ,001 - $500 ,000P3 =$25,000,001 - $50.000,000Q =AppraisalU =B ook Value

B =$1,001 - $2,500G =$100,001 - $ i ,000,000K=$15,001 - $50,000O =$500,001 - $1,000,000R =Cos t (Real Estate Only)V = Oth e r

C =$2,501 - $5,000 D =$5 ,001 - $15 ,000HI =$ 1,000i001 2 $5;0001000 H2 =Mor~ than $5;000,000L =$50~001 - $100,000 M =$100,001 -$250,000PI =$1,000,00i ~ $5~000,000 P2 =$5,000;001 - $25;000,000P4 =More than $50~000,000 T = C a s h M a r k e tS = As s e s s m e n tW :Estimated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 5 of 6 Iame o f Per so n R ep o r t i n gC a l d w e l l , K a r e n K . Date of Report5/11/2011

V I I I . A D D I T I ON A L I N FOR M A T I ON OR E X P LA N A T I ON S. (lndicate part of report.)


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N a m e o f P e r s o n R e p o r t in gCaldwell , Karen K.

Date of Report5/I 1/2011

I X . CER T I FICAT I ON .1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d re n , i f a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t he r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] K aren K . Caldwell

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

C om m i t te e on F i na nc i a l D i s c lo s u r eAdmini s t r a t ive Of f ice of the Uni t ed S ta te s Cour t sSui t e 2-301O ne C o l u m b u s C i rc l e , N , E .Wa s h i ng t on , D . C . 2 0 5 4 4


7/12

AO IORev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0Report Required by the E thics

in Government ACt of 1978(5 U.S.C app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)Cald wel l , Karen K.

4. Title (Article IIl judges indicate active or senior status;magis t ra te judges indicate fu l l - or par t - t ime)

2. Cour t or Organiza t ionU .S. D i s t r i c t C our t

5a . Report Type (check appropria te type )] Nominat ion, D a t eArt ic le I I I Jud g e , fu l l - t ime

7 . Cha m be r s o r O f f i c e A d d r e s sP .O . Box 2 2 07101 Barr StreetLexin g to n , Ken tucky 40507

[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my o p in ion , in compliancewith appl icable l aws and regula t ions .

Reviewing Off icer Date

3. Date of Repor t09/13/20

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Repo rt ing individual only; seepp. 9-13 of fi l ing instruct ions .)~ (No reportablepositions.)O N E

P O S I T I O N1. Trustee

2. T rus t e e Lloyd Cres s Li fe Ins urance Trus t3.

4.5.

N A M E O F O R G A N I Z A T IO N / EN T I T YT r ans y l van i a U n i ve r s i ty

I I . A G R E E M E N T S . R e p o r t in g i n d i v id u a l o n l y ; s e ~ ~ . 1 4 - ~ 6 of filing instructions.)N O N E (No reportable agreements.)

D A T E1.2.

3.

PARTIES AND TERM S


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D a t e o f R e p o r t09/13/2011

I II . N O N - IN V E S T M E N T I N C O M E . (Repo.ing individual and spouse; see pp. 17-24 of filing instructions.)A. Fliers Non-lnvestment Income~ (No reportable income.)O N E non-investment

D A T E S O U R C E A N D T Y P E

2.3.4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t m e n t In c o m e - I f you were marrted during anyportton of the reporting year, complete thts section.(Dollar amount not required except for honoraria.)---] N O N E ( N o reportable non-investment income.)

D A T E1.20102.20103 . 2 0 1 04 . 2 0 1 05 . 2 0 1 0

SOURCE AND TYPERet i rement Bene f i t - As h land , Inc .R e t i r e m e n t B e n e f i t - C o m m o n w e a l t h o f K e n t u c k yG r e e n e b a u m D o l l & M c D o n a l d - L e g a lD i n s m o r e & S h o h l - L e g a lKen tucky Co al Asso c ia t io n - Leg al

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r ta i n m e n a(Includes those to spouse and dependent children; see pp. 25-27 off!ling instructions.)~ (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t in gCaldweil, Karen K.

D a t e o f R e p o r t09/13/2011

V . G I F T S . a n d u d e s those to sp ...... d dependent children; see pp. 28-31 of f!llng instructions.)N O N E ( N o reportable gi f ts . )

SOURCE DESCRIPTION1.2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n c i u d e s those of spouse and dependent children; see pp. 32-33 of fi l ing instruction~)D (No reportable liabilities.)ONE

CREDITOR1 . AAA Fin an cia l Serv ices Line of Cred i t - Cred i t Card2. A m e r i c an E x p r e s s Line of Cred i t - Cred i t Card3. C h as e B a n k L in e o f C re d it - C re d i t C a rd

4. U S A A S a v i n g s B a n k Line of Cred i t - Cred i t Card5. Capi t a l O ne Bank Line of Cred i t - Cred i t Card6. B a n k o f A m e r i c a Line of Cred i t - Cred i t Card7. C ald w ell T hr ift P la n P e n s io n P la n L o a n8. C itiban k L in e o f C re d it - C re d i t C a rd9. B a r c l a y B a n k Line of Cred i t - Cred i t Card

DESCRIPTION VALUECODEKMK

JJKKJJ


10/12


N a m e o f P e r s o n R e p o r t in gCaldwell , Karen K .

D a t e o f R e p o r t09/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of ~ding instructions,)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Gross value a t end Transac t ons dur ing repor t ing per iodncome d u r i n gre po rt n g p er o d o f r e po rt in g p er io d

( 1 ) (2 ) (1) (2) (1) (2) (3) (4;, (5 )Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Va ue Type [e.g., D a t e V a l u e G a i n I d e n t i t y o fexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d buy~sell, m m /d d/y y C od e 2 C o d e 1 b u y e r / s e l l e r

( A - H ) or int. l ( J - P ) C o d e 3 r e d ~ m p t i 0 n ) : (J-P) ( A - H ) ( i f pr iva t e( Q - W ~ t r a n s a c t i o n )

t. PNC Bank Account A Int./Div. K T

2. Jefferson Pilot Life Ins. Life~ N o n e So ld 02/10/10 M A Mills, Potoczak & Co~ I LPG

3. GDM P rof i t -Sha r ing P l an A Int ./Div. Dist r ibuted 0 5 / 0 4 / 1 0 J A4. N F S I R A A Int./Div. D i s t r i b u t ed 02/17/10 J A

5. ~ Estate (X) [inherited,und i s t r i bu t e d ]6. - 1 / 4 re s iden t i a l hous e and lo t Waynes burg N o n eK Y7. - 1 /4 u n im p ro v e d fa rm lan d W ay n es bu rg N o n eK Y8. ~ Caldwell Ltd. N o n e9. D . R . Ho r t o n C o m m o n A Int ./Div.

M W 11/04/10

Sold 12/17/09 J A

1 0 . Neuberger Berman A lnt./Div. Sold 10/09/09 J A1 1 . I t ems 9 -1 0 inadve r t en t ly omi t t ed f rom 2 009report1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

1. ln co n le Gain Cod es: A =$ 1,000 o r less B :$1,001 - $2,500( S ee C olumn~ BI and D ~ ) F =$50,001 - $100,000 G =$ I00,001 - $ i ,000,000

2. V alue Co de s J = $15 ,000 or less K =$15,001 - $50,000( S ee C olumns C I and D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od C odes Q =Ap p r a i sa l R =Cost (Real Estate Only)( S ee C olumn C 2) U = Book Value V = Oth er

c = $ 2 ; 5 0 1 - $ 5 ~ 0 0 0H 1 =$1,000,00 i - $5,0001000L =$50 00l - $ 100~000P l =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s es s mentW = Es t imated

D =$5,001- $15,000H2 =Morethan $5,000,000M=$100,001 - $250;000P2 =$5,000,001 - $25,000,000T = C as h Mar k et

E =$15,001- $50,000


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N a m e o f P e r so n R e p o r t i ngCaldwe|l, Karen K.


V III. ADDITIONAL INFORMATION OR EX PLANATIONS. (lmticate part of report.)


12/12


Nam e of P e r son Repor t ingC a l d w e l l , K a r e n K .


IX . CERTIFICATION.I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u to r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i ft s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Karen K. Caldw ell

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y FA L S I F IE S O R F A I L S T O F IL E T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U o S .C . a p p . 1 04 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

karen k caldwell financial disclosure report for 2010

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