Joan B. Gottschall

Vanguard Wellington Fund — Int/Div

Vanguard Wellesley Fund — Int/Div

Vanguard Index Trust — Int/Div

Vanguard Prime Portfolio — Int/Div

Van Kampen Emerging Growth Fund (renamed Strategic Growth A) — None

Eaton Vance Muni Bond Fund — Int/Div — Sell

7. US Treasury Strip (11-15-09) — None

Fed Empl Credit Union Accts — Interest

IBM common stock — Int/Div — *

Sr.Hi Inc Port.(renamed BlackRock Sr.Hi.Inc.) — Int/Div

Viacom c/stock Class A — Int/Div — Sell

Viacom c/stock Class B — Int/Div — Sell

Munder Intemet Fund — None — Sell

Time Warmer c¢/stock — Int/Div

Intel ¢/stock — Int/Div

Waste Management c/stock — Int/Div

Vanguard Tax-Managed Growth & Income Fund . — Int/Div

Flextronics c/stock — None — Sell

Hewlett-Packard c/stock — Int/Div

Caremark c/stock (Now CVS Caremark) — Int/Div

Dycom c/stock A — None — Sell

MVSN c/stock — None — Sell

MFS Mid-Cap Growth Fund B — None

Putnam New Value Fund — None — Sell — 40%

MFS Utilities Fund — Int/Div — Sell

MEFS Govt Securities Fund — Int/Div — Sell

MEFS Value Fund B — Int/Div — Sell — 60%

MEFS Core Growth — None — Sell

Vanguard Capital Opportunity Fund — Int/Div

MEFS Govt Sec B — Int/Div — Sell — line 26

BlackRock Large Cap Value — Int/Div

BlackRock Value Opportunities — Int/Div

MS (now BlackRock) MuniEnhanced Fund — Interest — Sell

CBS Cl. A c/stock (sold 5/07) — Int/Div — Sell

CBS CI. B c¢/stock (sold 5/07) — Int/Div — Sell

MS Bank Dep. Program — Interest — Sold

I Shares Russell 1000 Growth Index Fd. — Int/Div — Bought

Third Avenue Fund — Int/Div — Bought

1 Shares Russell Midcap Index Fd — Int/Div — Bought

Shares Russell 2000 Growth Index Fd — Int/Div — Bought

Vanguard Inten'l Eq. 1dx. Emerg. Mkt. Etf — Int/Div — Bought

Shares Russell 2000 Index Fd. — Int/Div — Bought

Shares Russell Midcap Growth Index — Int/Div — Bought

JPMorgan Growth Advantage Fd — Int/Div — Bought

JPMorgan Intrepid Intern'l Fd — Int/Div — Bought

JPMorgan Asia Equity Fd — Int/Div — Bought

JPMorgan Tax Aware Short Intrmed Inc — Int/Div — Bought

JPMorgan Intermed. Tx. Free Bond — Int/Div — Bought

JPMorgan Tax Aware Real Ret. Fd — Int/Div — Bought

JPMorgan Intrepid Growth Fd — Int/Div — Bought

Fidelity Adv. Hi Inc Advantage Fd. — Int/Div — Bought

Harbor Fd. Intem'l Fd. Insti Cl — Int/Div — Bought

JPMorgan US Large Cap Core Plus — Int/Div — Bought

JPMorgan US Equity Fd — Int/Div — Bought

JPMorgan Intrepid America Fd — Int/Div — Bought

JPMorgan/Chase checking account — Interest — Bought — approx

JPMorgan Chase savings account — Interest — Bought — approx

JP Morgan Chase 100% US Treasury MM Fd (brokerage acct) — Int/Div — Bought — Part VIII. n.2

JP Morgan Chase 100% US Treasury MM Fd (investmt acct) — Int/Div — Bought — Part VIII, n.2

JP Morgan Chase 100% US Treasury MM Fund (retirement acct) — Int/Div — Bought — Part VIII, n.2

JP Morgan Chase CD — Interest — Bought

Member, Visiting Committee to the Divinity School, University of Chicago

Member, Board of Directors, Illinois Humanities Council

Member, Board of Directors, Martin Marty Center at the University of Chicago Divinity School

Chair, District Selection Committee, The Rhodes Trust

Income — See Section VIII, note — $0.00

Spouse's income — Reduced annual dues for judges — Union League Club of Chicago

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Lib igi

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id

Lan EL Sadi en

FEDERAL BUILDING, LOCKBOX 33

844 XING STREET

Jupnok R. LANIER ANDERSON, }})

WILMINGTON, DELAWARE 1980}

TELEPHONE

Juoet Franxtin 8. Billings, JA

COM: (302)873-0168

Jupex Joun PP FyuLLaM

MaaisTRATE Hannay L Jones, Ja

Juoet Jonw B. Jones

R. TOWNSEND ROBINBON

Juoet NaTtuanigL R. Jones

October 23

1991

COUNSEL

Juoar Roexar C. Jonts

FFTs: 633-8087

Juoet Heway A. Polit

Juoet DAvio Sam

Jubak Rosary NM. Tazisve

Juoet Joszrn L. Taumo

JuDak PATRICIA M., WALD

Juoarx Hiram H. Wand

Juoag James B. Zaast

Juoar WatTea K. STarLeTON

Crainman

The Honorable Jean

-—

P

Cottsrhall

United States District Court

219 South Dearborn Street

Chicago,

Illinois

60604

Re

Docket No

828

Dear Judge Gottschall

In 1986,

1987,

and 1988 you,

along with

edited and proofread a manuscript on a non-legal subject written by

.

The manuscript was published as ‘a book by

-

The book is selling well enough to produce income for its

publisher,

author, and editors.

who reside in Canada

have proposed formation of a partnership under Canadian’ laws whose

assets will be all the rights to the book.

The partners will be

and you.

After the partnership is

n turn,

be dissolved and the assets transferred

to a Canadian corporation whose shareholders will be the partners

of the dissolved partnership

After the partnership is formed

your sole role will be to serve as a shareholder.

As a sharehold-

er,

you will share in proceeds arising from the sales of the book

and the use of the rights to the book

You ask whether you may

participate

in

this

arranger

ord

a

without trancagressing either the

Code of Conduct for United States Judges or the Ethics Reform Act

of 1989.

The receipt of income from writing or editing a book is

permitted under the Code of Conduct

Canon 5A says

"A judge may

write

.

-

on non-legal subjects."

The Committee believes that

editing

and proofreading

are

activities

covered by the word

"writing."

And the Committee has approved

at least implicitly,

55

the receipt of income from writing

Advisory Opinion No

There are restrictions on the manner in which a judge's name may bs

used in the promotion of a book, but, we assume

these restrictions

are not likely to be involved in your case since you are not the

author and your name is unlikely to be used in connection with

selling of the book

Nor is there anything about the nature of the