# Karen K. Caldwell

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/26165

## Record

- **Judge:** Karen K. Caldwell
- **Year:** 2003
- **Pages:** 23

## Text

Keogh Plan Trust Account - Fifth Third Bank — Int/Div
USAA Income Fond — Int/Div — sell
USAA Income Stock Fmd — Int/Div — sell
USAA International Fund — Int/Div
Lloyd Cress Notes — Interest
Marmill Lynch Focus Value Fund — Int/Div — sell
Fifth Third Moagy Market Fund — Int/Div
AIM Investments Solo 401(k) consisting of items 9- 11 — Int/Div
AIM Blue Chip Fund — Int/Div — Buy
AIM Money Market Fund — Int/Div — Partial
Lloyd Cress Note — Interest — Buy
National Financia] Service IRA cansisting of items 13-93 — Int/Div
Debt Strategies Fund Common — Int/Div — Buy
AEP Comman — Int/Div — Sell
Arch Coal Cammon — Int/Div — Sell
Arch Caal Common — Int/Div — Buy
Savient Pharm (Farmerly Biomchnology General) — Int/Div
Intel Common — Int/Div — Sell
Lexmark Common — Int/Div — Buy
Lexmark Common — Int/Div — Sell
Mills Corp Common — Int/Div — Sell
Procter & Gamble Coraman — Int/Div — Sell
Sovereign Bancarp — Int/Div
Pimeo Advisors Oppartuaity Fund — Int/Div
Smnckers Comman — Int/Div — Bought
Toyota Camron — Int/Div — Bought
American Int Gp Cammon — Int/Div — Bought
AXM Pharmaceatical Commman — Int/Div — Bought
AXM Pharmaceutical Common — Int/Div — Bought
Bank of Montreal Comman — Int/Div — Bought
Centex Comman — Int/Div — Bought
China Yuchai Comm — Int/Div — Bought
Decleers Outdoar Common — Int/Div — Bought
Engineared Support System Camman — Int/Div — Split
Engineered Support System Common — Int/Div — Bought
Engineered Support System Common — Int/Div — Partial
Engineered Support System Common — Int/Div — Bought
Forest Laboratories Common — Int/Div — Bought
ICICI Bank Comnmon — Int/Div — Bought
IDCC Common — Int/Div — Bought
IDOC Common — Int/Div — Bought
Johnson & Jolmson Common — Int/Div — Bought
Greg Manning Common — Int/Div — Bought
Masco Commnon — Int/Div — Bought
Petroleum Development Cammaon — Int/Div — Bought
Schnitzer Steel Common — Int/Div — Bought
Templeton Rassian & E. Emropean Fund Common — Int/Div — Bought
Turkish Inv. Fund Common — Int/Div — Bought
Turkish Inv. Fund Comman — Int/Div — Bought
Turkish Inv. Fund Common — Int/Div — Sold
Vodafone Common — Int/Div — Bought
W Holding Cammmon — Int/Div — Bought
W Holding Cammon — Int/Div — Bought
W Holding Comman — Int/Div — Split
Walgreen Common — Int/Div — Bought
San Juan Basin Trust Comman — Royalty — Bought
San Juan Basin Trust Comman — Royalty — Bought
NFS Prime Fund (temp. receipt receptacle) — Int/Div — Bought
Energy Exploration Technology — Int/Div — Bought
Energy Exploration Techaology — Int/Div — Bought
Lehman Brothers First Income Fund — Int/Div — Bought
Nesguru Common — Int/Div — Bought
Netguru Common — Int/Div — Bought
City of Grayson Bonds — Interest — Bought
City of Grayson Bonds — Interest — Sold
Diamonds Inv. Fond — Int/Div — Bought
Diamonds nv. Fund — Int/Div — Scld
Diamonds Inv. Rmd — Int/Div — Sold
Diamonds Inv. Fand — Int/Div — Sold
Diamonds Inv. Fmd — Int/Div — Sold
General Electric Common — Int/Div — Bought
Genera) Electric Common — Int/Div — Sold
General Electric Common — Int/Div — Sold
ACM Income Fund - Mutual Fund — Int/Div — Bought
ACM Income Fund - Mutual Fond — Int/Div — Sald
AEP Call Nov. 27 — Exercis
Smuckers Call Oct 40 — Redesme
Procter & Gamble Call Oct 95 — Expired
Diamonds call May 86 — Exercis
Procter & Gamble Call July 95 — Expired
GE Call Sept 30 — Exercis
IDCC Call Sept 22 — Rcdeeme
Lexmark Call July 75 — Expired
Arch Coal Call Oct 22.5 — Exercis
IDCC Call Sept 26 — Expired
Procter & Gambie Call Oct 95 — Expired
Toyota Call Jan 60 — Redeem
IDCC Call Dec 25 — Expired
Masco Call Apr 25 — Sold
Intel Call April 27.5 — Redeem
Lexmark Call Jan 70 — Sold
Intel Call July 32.5 — Sold
Smuckers Call Apr 45 — Sald
PNC Bank Account — Interest
Pilot Universal Life Policy (GF Caldwell 9s. y — None
Anchor Nat. Life Policy (Trustee of L Cress Ins. Trust) — Interest
Keogh Plan Trust Account - Fifth Third Bank — Int/Div
USAA Income Fund — Int/Div — sell
USAA Income Stock Fund — Int/Div — sell
USAA International Fund — Int/Div
Lloyd Cress Notes — Interest
Merrill Lynch Focus Value Fund — Int/Div — sell
A - Fifth Third Money Market Fund — Int/Div
AIM Investments Solo 401(k) — Int/Div
AIM Blue Chip Fund — Int/Div
AIM Money Market Fund — Int/Div — Sell
Lloyd Cress Note — Interest
National Financial Service IRA — Int/Div
Debt Strategies Fund Common — Int/Div — Buy
AEP Common — Int/Div — Sell
Arch Coal Common — Int/Div — Sell
Arch Coal Common — Int/Div — Buy
Savient Phann (Formerly Biotechnology General) — Int/Div
Intel Common — Int/Div — Sell
Lexmark Common — Int/Div — Buy
Lexmark Common — Int/Div — Sell
Mills Corp Common — Int/Div — Sell
Procter & Gamble Common — Int/Div — Sell
Sovereign Bancorp — Int/Div
Pimco Advisors Opportunity Fund — Int/Div
Smuckers Common — Int/Div — Bought
Toyota Common — Int/Div — Bought
American Int Gp Common — Int/Div — Bought
AXM Pharmaceutical Common — Int/Div — Bought
AXM Pharmaceutical Common — Int/Div — Bought
Bank of Montreal Common — Int/Div — Bought
Centex Common — Int/Div — Bought
China Yuchai Common — Int/Div — Bought
Deckers Outdoor Common — Int/Div — Bought
Engineered Support System Common — Int/Div — Split
Engineered Support System Common — Int/Div — Bought
Engineered Support System Common — Int/Div — Sold
Engineered Support System Common — Int/Div — Bought
Forest Laboratories Common — Int/Div — Bought
ICICI Bank Common — Int/Div — Bought
IDCC Common — Int/Div — Bought
DCC Canman, — Int/Div — Bought
Johnson & Johnson Common — Int/Div — Bought
Greg Manning Common — Int/Div — Bought
Masco Common — Int/Div — Bought
Petroleum Development Common — Int/Div — Bought
Schnitzer Steel Common — Int/Div — Bought
Templeton Russian & E. European Fund Common — Int/Div — Bought
Turkish Inv. Fund Common — Int/Div — Bought
Turkish Inv. Fund Common — Int/Div — Bought
Turkish Inv. Fund Common — Int/Div — Sold
Yodafone Common — Int/Div — Bought
W Holding Common — Int/Div — Bought
W Holding Common — Int/Div — Bought
W Holding Common — Int/Div — Split
Walgreen Common — Int/Div — Bought
San Juan Basin Trust Common — Royalty — Bought
San Juan Basin Trust Common — Royalty — Bought
NFS Prime Fund (temp. receipt receptacle) — Int/Div — Bought
Energy Exploration Technology — Int/Div — Bought
Energy Exploration Technology — Int/Div — Bought
Lehman Brothers First Income Fund — Int/Div — Bought
Netguru Common — Int/Div — Bought
Netguru Common — Int/Div — Bought
City of Grayson Bonds — Interest — Bought
City of Grayson Bonds — Interest — Sold
Diamonds Inv. Fund — Int/Div — Bought
Diamonds Inv. Fund — Int/Div — Sold
Diamonds Inv. Fund — Int/Div — Sold
Diamonds Inv. Fund — Int/Div — Sold
Diamonds Inv. Fund — Int/Div — Sold
General Electric Common — Int/Div — Bought
Genera! Electric Common — Int/Div — Sold
General Electric Common — Int/Div — Sold
ACM Income Fund - Mutual Fund — Int/Div — Bought
ACM Income Fund - Mutual Fund — Int/Div — Sold
AEP Call Nov. 27 — Exercis
Smuckers Call Oct40 — Redeeme
Procter & Gamble Call Oct 95 — Expired
Diamonds call May 86 — Exercis
Procter & Gamble Call July 95 — Expired
GE Call Sept 30 — Exercis
IDCC Call Sept 22 — Redeeme
Lexmark Call July 75 — Expired
Arch Coal Call Oct 22.5 — Exercis
IDCC Call Sept 26 — Expired
Procter & Gamble Call Oct 95 — Expired
Toyota Cali Jan 60 — Redeem
IDCC Call Dec 25 — Expired
Masco Call Apr 25 — Sold
Intel Call April 27.5 — Redeem
Trustee, Lloyd Cress Insurance Trust
Board of Directars, 1 sadership Keatncky
Board of Directors, Geargetown College, Correll Center for Leadership
Board of Diorecxars, ARC of the Bluegrass
Agreement — 2003 — Self-employed Environmental Law
Income — Citibank — Line of Credit - Credit Card © — J
Income — AAA Financial Services — Line of Credit - Credit Card — J
Income — Fifth 1mird Bank, Trustee for Lloyd Cress Retirement Account eee — Frumissary Notes — J
Income — American Express — Line of Credit - Credit Card — K
Income — FHntUsA ———— i ————————————— — —————— — Line of Credit - Credit Card — J
Income — USAA eee eee eee eee — Line of Credit - Credit Card — K
Income — Capital Oue Bank — Line of Credit - Credit Card — J
Income — AIM Fund Services (Lloyd Cress Retirment Account) a ———_ —r———————— — Pensico Plan Loan — K
B

C

D

A

Income during

Gruss value at end of

Transactions during reporting period

Description of Assets

reporting period

reporting period

(including trust assets)

ty)

2

¢)

1]

It not exempt from disclosure

@

3)

“@

5

Place "(X)" after each asset exempt

Amount

Type

Cg.

Vale

Value

Type (e.g

Date:

Value

Gain

Identity of

from prior disclosure

Code 1

div. rent or

Code 2

Method

buy, sell,

Month -

Code 2 | Code

Code 3

DeegeT,

buyer/seller

-H)

mt.)

a-p)

Day

J-P)

1 (A-

(if private

Q-w)

redemption)

transaction)

91

Lexmark Call Jan 70

Sold

9/29

I

92

- Intel Call July 32.5

Sold

12117

93

- Smuckers Call Apr 45

I I

El et 2 A

Jefferson Pilot Universal Life Policy (GF Caldwell

Insured)

HE I I A

HSN

1. Income/Guin Codes

A

= $1,000 or less

= §1,001-$2,500

Cc

= §$2,501-85,000

D

$5,001-$15,000

E

= $15,001-$50,000

(See Colummus Bl and D4)

PF

= §50,001-$100,000

G

= $100,001-$1,000,000

Hi =3$1,000,001-$5,000,0600

H2 = More than $5,000,000

2. Value Codes:

1

= $15,000 or Jess

K

= $15,001-$50,000

L

$50,001-$100,000

M

= $100,001-$250,000

{See Columns C1 and D3}

N

= $250,000-$500,000

[e]

= $500,001-$1,000,000

P1 =§1,000,001-$5,000,000

P2 = $5,000,001-$25,000,000

P3 = §25,000,001-$50,000,000

P4 = $More than $50,000,000

[HE 3 aT OE. TT CY o TE

YY a Avnet Serre

D

-— rent (any Ts ntvba: Tr Yes Tesh:

o

a Rt er AR

LS

mma

J IAA nlnat

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/26165. Public record. Not legal advice.