Thad Heartfield Financial Disclosure Report for 2009

8/3/2019 Thad Heartfield Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/thad-heartfield-financial-disclosure-report-for-2009 1/18

t . ~ o ~ 0 FINANCIAL DISCLOSURE REPORT R e p o t , R c q , , i ,’ e d ~ y t h ein Government Act of 1978

ne~. t!2om FOR CALENDAR YEAR 2009 t ~ u s .c . a p p . ~ , . ~ t o ~ - t

I. Person Reporting (la.~t name, first, middle initial) Z. Court or Organizati,~n 3. Dare or Report

IIEARI FIELD, TIIAD U.SD.C. (TEXAS EASTERN) 05/13/2010

4. Title (Article Ill judges indicate active or ,~cnior status.: 5a. Reporl Type tchcck appropriate t’,Te)6. R~:porting Period

magic’.rate judges iedicate full- or part-lime)

] Norninatiun, [)ale 01/01/2009

DISTI~’ICTCOURTJUDGE(SENIOR) [] Initial [] An,:ual [] Finaltv

12/31/2009

5b. [] Acncndcd Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and an?

n odifications pertaining ’~bereto, it is, in my op inion, in compliance

300 WILLOW STREET. RM. 212 ~.,ith applicable Iw~s and regulations.

BEAUMONT, TEXAS 77701

Re~ie~*ing Officer_ __ __ 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 laat page.

I . P O S I T I O N S . ~ ,o ~ , . ~ .~ t~divid.M only; ~,e pp. 9-13 of filing

~ N O N E (No reportable positions.)

~~ NAblE OF ORGANIZATION/ENXITY

I.

2.

I I . A G R E E M E N T S . m , . ~ , o , , i , g i n d i , . i d u M only; see p p . 1 4 - 1 6 of filing

N O N E b V o reportahle a,~,reements.)

P A R T 1 E S A N D T E R M S

I.



FINANCIAL DISCLOSURE REPORTN ....of Per,on Reportinil D~tle of Report

Page 2 of 9 IIEARTFIEI.D, TI{AD 0 5 t 1 3 / 2 0 1 0

I II . N O N - I N V E S T M E N T I N C O M E . ~,o,,i~ individual and spo~e; see pp. 17-24of filing instruc&,ns.)

A. Filer’s Non-lnveslment Incom e

N O N E (No reportable non-investment income.)

~ S O ~!R C E A N D T Y P E ~(~ours, not spo~e’s)

I.

3.

4.

B . S p o u s e ’s N o n - I n v e s tm e n t I n c o m e - tf j,ou we,e married during an),por~ion of the reportlng year, complete

(D~; lA~r om~unt not required ~¢c~t ~r honor~ria )

~ N O N E (No reportable non-im,estment income.)

~ S O Ug C g A N D T Y P E

1.

2.

3 .

4.

I V . R E I M B U R S E M E N T S - -, ,a . ,~ p o , , o ,i ,, ,, IodL’ing. food, entertai ....

(Inch~des Iho~¢ to a p m ~ c u,td &’lw,dcm childrot." sec pp. ~5-. 7 *filling in.~tructi~m~ ~

N O N E (No r~Tortable reimbursements.)

~ ~ L O C A T I O N PURPOSE I T E M S P A I D Q R P R O V I D E D

1.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT ~ ....~ P . . .. . R,~port~.g D a , e o f R , p , . r ,

Page 3 of 9 HEARTFIELD, THAD 05/13,’~M 0

V . G I F T S . a , , , . i , , a ~ . ~ a , , , ~ , t , , ~ , ~ , . ~ , , , h a a , . p , . , , , ~ , . , , , , : ~ , i t d , ~ n , - s , : ~ p p . , _ s . ~ t of filing instruction~.)

N O N E (No r~Tortable g~s.)

~ D E S C R I P T I O N _ V A L U E

I.

3 .

4.

5.

V I . L I A B I L I T I E S . a , , , ’ l , , d , ’ , , h o . , e o y s r . . .. . . a dependent children: see pp . 32 -33 of filing instruction*’.)

N O N E ( N o reportable liabilities.)

CRI~DITOR DJ~SCRIPTION VALUE CODE

3 .

4.

5.



I~amef P r r s o n R ~ p o r l i ng D ~ t ¢ o f R e p o r tFINANCIAL DISCLOSURE REPORT

[ ilEArT~’IeLD,TliAD

0 5 / 1 3 ~ 2 0 1 0age 4 of 9

V I I . I N V E S T M E N T S a n d T R U S T S -- i . . . . . . . ague, t . . . . . . ’lions <Includ es tho.~ of sp . . . . . . d depend ent children; see pp. ~ 4-60 of filing imtr~¢ tions

N O N E (N o reportable incotnc~ ~ s’s els, or transa ctions.)

~ D c s c r i p t io ~ o f A s s e ts [ I n c o m e d u r i rg i Gross value at ~d ] T r a n s a c t i o n s d u n n g r e ~ r t i ~ g p e r i o d

( i n c l u d i a g t r u s t a s s e t s )

’* Place"(X)"aftcrcach~set A m o u n t ~ T y ~(cg , Value ~alue ~l Ty~(e.g., i Date ] Vzlue ~ Gain Idcnti~ofi e x e m p t f r o m p r i o r d i s cl o s u r e ~ C o d e 1 ~ d ~ v . , r c n ~ . C o d e 2 M e lh o d buy, sell, Im~a,’d~U~’ i Code 2 ] Code I buyer/seller

~~ I A - H ) t o r i n t . ) (-P) C o d e 3 m d c m p t ~ o ~ ) . , (J-P) (A-H) . i f p r v ~ t e

I. W estern N ational Life Ins. Co. A Inlerest J T

~ W estern National Lil~ Ins. Co. A Interest J

3. Wachovia Bank, Checking A Interest K T

~. W achovia B ank, Checking A Interest J T

~. W achovia B ank, Checking A Interest J T

6. Anadarko Petroleum Co~. A Royally J T

General A merican Universal Life A Distribution K T

. UBS R M A A Dividend L T

9. UBS IRAQI M oney Ma lket A Dividend L T

1 0 . U,S. Treas sttps 5115/09 None Redeemed 05/I 5/09 L F

1 I. Fed I lome Loan Bank 569 4/27/09 A Interest Redeemed 4/27/09 K A

1 2. F|ILMC M tn Callable 5.0 1/30q4 A Intercs! Redeemed 1 / 7 / 0 9 K A

1 3. FI !I,B C allable 5.0 6/2(,/18 A Interest Redeemed 03/26/09 K A

1 4 . FN MA Call 5.4 2/23/I 7 B Interesl Redeemed 04/06/09 K A

,1 5 . Alliance Bcmstcm Grlh & Inc A I)ividend Sold 02/19’00 J A

t6 . MS Equally W eighted S&P 500 I,’u.d A Dividend Sold 0 2 / 1 9 , ’ 0 9 J

A

1 7 . Oppenheimer Slralegic Income D Dividend I,I’ T

-,



Name of Person Reporting Date or Report

P a g e F I N A N C I A L 5 o f 9DISCLOSURE REPORT

i lEA RTFIELD, Tl tAD 0 5 / 1 3 t 2 0 1 1 )

V I I . I N V E S T M E N T S a n d TRUSTS - i ~ . . . .. . , . t ~ , t . . . . . tions (lnclude~ those of ~p ... . . . . d dependent children; seepp. 34-60 of filing instr~,’tions.J

N O N E (No reportable income, assets, or tra/~actions.)

A . B . C.: D e s c r i p t i o n o f A s s e t s

iI n c o m e d u r i o g i G r o s s v a l u e a t e n d

( i n c h a d i n g t n m t a s s e t s ) r e p o : t i n g p e r i o d I o f r e p o r t i n g p e r i o d

~ P l a c e " I X ) " a f t e r e a c h a s s e it A m , c ~ u n t ’ . T y p e ( e . g , V a l u e ] Value

! e x e m p t f r o m p r i o ~ d i s c l o s u re ~ C o d e l ~ d i v . , r e n t , C o d e 2i

M e th o d[ ] (A-H) ~ o r i n t . ) ( J - P ) C o d e 3

, i : ..... ( Q - W )

1 8 . Federated B ond Fund D Dividend L T

1 9 . Davis New York Venture A Dividend Sold 02/19/09 K A

2 0 . Pimco Total Return FundD Dividend M T

" " 1 . Bond Fund of America C Dividend L T

2 2 . EuroPacitic Growth A Dividend Sold 0 2 1 1 9 / 0 9 L A

~ 3 . Growth Fund of Am erica A Dividend Sold 0 2 / I 9 . / 0 9 K A

2 4 . Investment Co. of America A Dividend Sold 02/19/09 L A

, 2 ’ 5 . G reenwood Trust CD 7.0(~’CPN I126/10 A Interest J T

2 6 . Discover P, ank CD’6.95 8/9/10 A Interest J T

2 7 . Discover Bank ) 6".’8 9/7/10 A Interest J T

2 8 . Pruvidian Nat’l CD 6 .10 3/7/I I B Interest K T

2 9 . I~TF Amer G rowth Fund None L T

3 0 . tlTF American Grth & Income None K T

3 I. 11TF American Global Grd~ None L T

3 2 . H I’T I-’rankli~ Mutual Shares None K T

33 Amer Funds Itlgh Income D Dividend M T



FINANCIAL DISCLOSURE REPORT s,m, of P ..... R e p a r t i n g [ D a t e o f R e | m r !

Page 6 of 9 u ~ : A W r ~ I E L X ~ , " n l A O

I0 S ! ~ 3 ~ : 0 ~ 0

VII. ! N V E S T M E N T S a n d T R U S T S - i ............ .~t~, t ....... rio,., ~/, ,d, ae~ t~os~ ,ff ~ .. . . . . . a a,,p,,,a~t ,~ ita~,: ,e~m,. 3~-~ o vf filing instrmtio~¢.)

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e ~ l n c m n e ~ u r t n g G r o s s ~ a l u e a t e n d T r a n s a c t i o n s d a r i n g r e p o r t i n g p e r i o d(including t~t asse~)

P l a c e " ( X 3 " a f t c r e a c h a s s e ~ ’ A m o u n t T > ~ { e g . , V a l u e Value T y p e ( c g . . Date [Valuee x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r c n L C c~ c 2 Meth~ bay, sell, ~ m~.’d~y

~ ( A - H ) t ~ r i n L ) ( J - P ) ~ C o d e 3 ~ d c m p t i o n ) I ( J - P ) ’ . ( A - I [ ) ( i f p r iv a t e’ ~ ~ Q - W ] ~ t r a n s a c t i o n )

3 5 . Vanguard REIT ET F D Interest M T B uy 4 1 2 2 / 0 9 L

3 6 . Dotal Bmk Catano PR 2.80 7 /9]12 A Interest K T B uy 6 ~ 2 9 / 0 9 K

[’37. CIT BK Salt Lk 3/25 718/13A Interest K T B uy 6 / 3 0 ? 0 9 K

3 8 . Goldman Sachs BK 3.50 ~4/14 A I n t e r e s t K T B uy I;27/09 K

3 9 . Goldman Sachs BK 3.75 2/4/16 A Intercst K T B uy 1 / 2 7 / 0 9 K

4 0 . I Shares I Boxx Inv Grade Fund B Interest K T B uy 4i22/09 K

4l . 1 Shares Barclays 1-3 yr Treas Fund A Interest K T B ay 6 / 2 9 7 0 9 K

[ " 4 ~ . I Shares Barclays Aggregate Bnd Fund B Interest L T B uy 04/22/09 L

4 3 . I Shares Barclays TIPS Bnd F nd B Interest L T B uy 0 4 1 2 2 . / 0 9 L

~. ! Shares Barclays 3-7 yr Ts y Fund A I n t e r e s t K T B uy 06/29/09 K

4 5 . UBS IRA ~2 Money Market A I n t e r e s t J T

4 6 . !ITF American Growth & Income None K T

4 7 . tITF Amcricau Growth None K T [ " ~

4 ~ ’ . I I-IF American Gh~bal G~o~ah None K T

,49. 11"IF F ranklin Mutua l Shares Nune " K T

5 0 .FF~ InstilutionalTax-Exempt Fund (money

A Dividend L Tmkt.}__



FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t i n gI

D n l ¢ o f l ~ e p o r t

Page 7 of 9 n E A r r F I E I . o , T ~ I A D

!0 5 i t 3 n . 0 1

VII. INVESTME N TS and TRUSTS - i ........ ~ . . , t .. . . . . . . l o ~ " a t t , ’ l u d e s t h o s e o f ~ t , ¢ , u , e a , , d d e p e n d e n t , ’ h i t d r e n : . , e e p p . 3 4 - 6 0 , fi l li n g i n 3 t r n c t i , , ~ , .)


D e s c r i p ti o n o f A s s e t s I ~ c o m e d ~ u i ~ g j Gross v~luc at end [ Transactk,ns during re~ing ~riod

, fl) t ~2) ~ fl) ~ (2)P l a c e " ( X j " a f te r ~ a c h a s s e t A not It [ Type (¢,g .,

~ Value ~ Value T y p e ( e . g .,e x e m p t f lt ~ m p r io r d i s c l o s u r e

I Code I , d iv, rcn%~ Ct~e 2 ~ Med~od b u y . s e l l , ~tg~dt[/~’ ; Code 2 [ Code I [ b u y e r / s d l e r

(A-If)~ ~ o r i n t . ) ) ( J - P ) ~ C o d e 3 r e d e n a p t i o n ) I , ( £p) t (A-H) ’. ( i f p r i v a t e

J2 . San Antonio. TX ISD 3.0 due 8/15/10 B Interest L T ["

5 3 ~ San Antouio TX E lectric & G as 5.25 due C Interest K T

[54 Spring TX ISD 4.4 due 8/15/1 lB Interest K T

5 5 . llouston ~X A rea W alct 5.5 due 3/I/12 B interest K T

5~ San A~tonio TX W ater Rev. 50 due ~/I 5/131 B Interesl K T

5 7 . San Antonio TX Electric & Gas 525 due B Interest K T

5 8 . ~ W ater Dcvelopmt Board 5.0 d~e 7/I 5~21 1 1 l n ~ e r e s t I. T B uy 04/21/09 M

5 9 . TX Tech Univ. Revs. 5.0 due 8/t5/25 B Interest K T

6 0 . Ilarlandale TX ISD 4.75 due 8 /15/36 C Interest I, T

" 6 1 . Dallas TX ISD 4.25 due gf15/lOB lnlerest Sold 9/I/09 K A

6 2 . Nuvcen Insurcd P~emiu~n Income Fund B Dividend K T

~ .

6 3 . N~v cen In~urcd Quality Muni. Fond A Dividend K T " ’



FINANCIAL DISCLOSURE REPORT s ...... fv ..... R e p o r t i n g D a t e o f R e p o r t

Pag e 8 of 9 ItEARTFIELD, TilAD 0 5 / ’ 1 3 / 2 0 1 0

VIII. ADDITIONAL INFORMA TION OR EXPLANAT IONS.

Vll. lnvestmcnls and Trusts

Numbers 1 and 2 have changed their name from Annuity ins. Co. (AIG) to \Vestem National Life Ins. Co. and it is still an annuity.

in the 2009 report, the listing of FFl Institutional "F ax-l!xcmpt Fund (page 6 . line 50) \~as not exerted in 2008 and, therelbre, not listed on the 2(108 report because itis a money market vehicle which is invested or redeemed to meet thc cash flow needs of the investment account. It does not increase or decrease in its share value

($1.00 = $1.00); but, it does earn dividends.

"I t~e TX Tcch Univcrsity bond (page 7, lb~e 59) was listed tm the 2008 report, but tt~e ~aturity date of 02;15/12 on that report xvas wrong; it should hav e been l lstcdas 08/15/25 and has been corrected on the 2009 report.

The listings of Citicorp Trust F lank anti Citibank N.A .S.D. Bank Dcp~.~sit Program (2008 report, pz~ge 7 , lines 58 & 59 rcspectivc ly) were t:ot included in the 2009report because they are money market vehicles which are iuvested or redeemed to meet tlae cash flow needs of the investment account. They did net increase ordecrease in their share values ($1.00 = $1.00); but, they did earn individends.



F I N A N C IA L D I SC L O SU R E R E P O R T ~ ..... fP ..... R e ’ p o r t i n g DateofReport

Page 9 of 9 H EARTF IELI) , TIIAD 0 5 / 1 3 / 2 1 ) 1 0

IX. CERTIFICATION.

I certify that all information given abo ve (including inform ation pertaining to my spouse and m inor or dependent children, if any) isaccurate, lrue, and complete to the best of my know ledge anti belief, and that any informalioo no t reported was ~ithheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of glfts which have been reported are incompliance with the prov isions of 5 U.S.C. app. § 501 et. seq., 5 U,S.C. § 7353, and Judicial Conference regulations.

S i g n a t ~

F I L IN G I N S T R U C T IO N S

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301One Columbus Circle, N.E.Washington, D.C. 20544



I ,~o lo [ FINANCIAL DISCLOSURE REPORT R , , p o , t R e q u i r e d b y t h e E t h i c sin Government Act of 1978

hey. I / 2 O L O [ FOR CALENDAR YEAR 2009 0 u . s .c , a p p . , ~ ’ 9 " 1 6 1 - 1 1 1 )

i. Person Reporting (last name, firsl, middle initial) 2. Court or Organization 3. Date of Report

HEAI~,TFIELD, THAD U.S.D.C. (TEXAS EASTERN) 05/5/2010

4. Title (Article 111 judges indicate acm.e o r senior slatus; 5a. Report Type (check appropriate type) 6, Reporting Period

magistrate judges indicate full- or part-litr~c)

[] Nomination, Date 01/01/2009

DISTRICT COURT JUDGE (SENIOR) [] Initial[] Annual

[] Final to

12/3112009

5b. [] Amended Report

7. C ham bers o r O ffice A dd res~ 8. On th e basis o f lhe info rm atio n c o ntained in this R epo rt and anymodifications pertaining thereto, it is, in my opinion, in compliance

300 WILLOW STREET, RM. 212with applicable la~*s and regulations.

BEAUMONT, TEXAS 77701

Reviewing O fficer Date

I M P O R T A N T N O T E S : The i~t~tructions accompunying this form must be followed, Complete allparts,checking the N ON E box for each part where you have no reportable information. Sign on lastpage.

I . P O S I T I O N S . ¢ ~ , o ,a ~ o ~ a z ~ i a ~ o t o ~ . ~ ~ o e ~ .

~ N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/[NTI~

I.

2.

3.

4.

5.

I I. A G R E E M E N T S . ~.~,,,.,~.~.ai,’~a..t,,,,~’:~,..e.. ~4-~o /~.,~i ........ . ~ . . ~ _ ~ ....

~N O N E (No reportable agreements.) ~ .~

D A T ~ PARTIES AND TE~S ~ ’"

I.



FINANCIAL DISCLOSURE REPOR T r~ ....Person Reporting I Date of Rept~r!|l

Iage 2 of 9 IIEARTF1ELD, TItAD 0 5 / 5 / 2 0 1 0

Ill. N O N - IN V E S T M E N T I N C O M E . tRepo,,i,g Individual and sp .... :seep.. 17-24 of-filing instructions.)

A. Filer’s Non-Investment Income


D A T E S O U R C E A N D T Y P E ~COME(yours, not spouse’s)

I.

2.

3.

4.

B . S p o u s e ’ s N o n - l n v e s tm e n t I n c o m e - If you were marrled durlng an),portlon of the reporting year. complete this sectlot~

(Dollar amount not required except for honoraria3


D A T E SO I~ R C E A N D TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - ,r a . sp o . to t io . . todg~.g , /oo~, entertai .... t

(Includes tho~to ~po|~se and dependent thildren; see pp. 25.27 oJfiling instro~tiort~.)

NONE (A~ reportable reimbursements.)

~ DATES I ,OCATION PURPOSE ITEM S PAID OR PROV IDED

I.

2.

3.

4.

5.



Name of Person Reporting Date of Report

F I N A N C I A L p a g e 3 o f 9 D I S C L O S U R E R E P O R T ttEARTFIELD, I’IIAD 0 5 , ’ 5 , ’ 2 0 1 0

V . G I F T S . a , ,e r , , a , ~ , ~ o ~ , o , ,o . . .. . . a dependent" children; ~ee p p . 2 8 - 3 1 of filing instructions.)

[~] N O N E (No reportable gifts.)

S O U R C E D E S C R I P T I O N V A L U _ _ ~

1 .

3.

5.

V l . L I A B I L I T I E S . a , c ~ u a , , , h o , - , o / , p . . . . . . . d a e : , , , d , , , , ~ h i t d , , ~ : . ~ , , , , . s , _ - J s o / : ~ i , # i . . . . . . . i o , , . )

N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E

I.

2.

3.

4.

5.



F IN A N C I A L D I S C LO S U R E R E P O R T ~.me of P ..... R e p o r ~ i n ~[

D a t e o f R e p o r l

Page 4 of 9 tlEARTFIELD, TliAD

[

0 5 i 5 , ’ 2 0 1 0

VII. INVESTM ENTS and TRUSTS - i .... e , , , , ~ . , , o , . , ~ e , , ’ o . s a . c l . a . s , h o ~ o Y ~ V . . . . . . a ~ . V ~ . d . . .. ~ , i ~ . .. : . " V V . 3 4 - ~ 0 , ~ i ~ g ~.....io.,,)

~ NONE (No reportable income, assets, or transactions.)

............... A. ---- ; B? .... . . . . . .. . C.-- ........ b. .............D e s c r i p t io n o f A s s e l s

~I n c o m e d u r in g ’ G r o s s ~ a l u e a t e n d " F r a ~ s o c t i o n s d u r i n g r c p o g i ~ g ~ r i o d

(including t~st ~ts) rcpo~ng period o f r e p o s i n g p e r i o d

(I) (2 ) (1) (2) (I) [ (2) ~ (3) (4) [5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t ~ A m o u n t T~e (eg., Value V a l u e T y p e ( e . g. , Date ~ Value G a i n I d e n t i t y

e x e m p t f ro m p r i o r d i ~ l o s u r e : C~e I d i v . , r e n t . ~ C o d e 2 M e th o d b u y , ~ c l l , ~ m : W d d / y y : C o d e 2 C o d e I b u y c r , ’ s e l l e r

: (A-H) o r i n t . ) [ ( J - P ) C o d e 3 r c d e m p t to n ~ ( J - P ) (A-Ill ( i f p r i v a t e

[ ’ (Q.~) [ t r a n s a c t i o n )

1 . W estern National Lil~ Ins. Co. A Interesl J T

2. W estern National Life Ins. Co. A lnteresl J T

3.W achovia B ank, Checking

AInterest K T

4. W achovia B ank, Checking A Interest J T

5. W achovia B ank, Checking A lnlerest J T

6. Anadarko Petroleum Corp. A Royalty J T

7. General Am erican Universal IAfe A Distribution K T

8. UP, S P~IA A Dividend L T

9. UBS IRA#1 Money M arket A Dividend L T

i0. U.S. Treas strips 5/15,’09 None Redeemed 0 5 1 1 5 / 0 9 L F

I 1. Fed lloJ’ne Loan B ank 5.69 4/27i09 A Interest Redeemed 4/27/09 K A

12 . FIII.MC M tn Callable 5.0 1/30/14 A Interest Redeemed 1 / 7 / 0 9 K A

1 3 . FftLB Callable 5.0 6/26/18 A Interest Redeemed 03/26/09

1 4 . FNMA Call 5.4 2/23/17 B Interest Redeemed 0 4 / 0 6 ~ 0 9 :

1 5 . Alliance Bernstein Grth & Inc A Dividend Sold

1 6 . M S Equally Weighted S&P 500 Fund A Dividend Sold 0 2 / 1 9 , ’ 0 9

17 . Oppenheimer Strategic Income D Dividend L T



F IN A N C I A L D I SC L O S U R E R E P O R T r~ ....r e e r $ o . R e p o . i . ~

Page 5 of 9 i lEARTF IELD, T l lAD

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0 5 / 5 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - i ......... lue, i ....... tions (Includes those of sp ........ d dependent children; see pp. 3 4-60 of filing instruction~)


D e s c r i p l io n o f A s s e t s [ I n c o m e d u r in g ~ Gross ~alue at end T ~ n s a c t io n s d u r in g r e p o s i n g

(including t~st assets) ~ reposing period ~ of reporting period

II ) " (2) ( D ( 2 ) (~ [ ( 2 ) ( 3 ) ~

P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t [ T y p e ( e . g ., V a l u e Value T~e (e.g, t D ate V alue [ G ain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e [ C o d e 1 [ d i v . , r e n t , C~e 2 Meth~ b u y , s e l l , [m~’d~’yy C~e 2 ] Code I b u y e r / s e l l e r

: 1 ( A - I t ) ,[ o r i n t . ) ( J - P ) C~e 3 r e d e m p t i o n ) [ ~ { J - P ) ’ , (A - H ) ( i f p r i v a t e

~ ~ {Q.~ I ’. ] t r a n s a c t i o n )

1 8 . Federated Bond Fund D Dividend L T

1 9 . Davis New York Venture A Dividend Sold 02/19/09 K A

2 0 . PimcoTotal Return Fund D Dividend M T

2 1 . Bond Fund of America C Dividend L T

2 2 . EuroPacific Growth A Dividend Sold 02/19/09 L A

2 3 . Growth Fund of America A Dividend Sold 02/19/09 K A

2 4 . Invcstraent Co. of America A Dividend Sold 02/19/09 L A

2 5 . Greenwood Tntst CD 7.00 CPN 1/26/10 A Interest J T

2 6 . Discover Bank CD 6.95 8/9/10 A Interest J T

2 7 . Discover Bank CD 6.8 9/7/I 0 A Interest J T

2 8 . Providian Nat’l CD 6.10 3/7/11 B Interest K T

2 9 . ItTF Amer Growth Fund None L T

3 0 . H TF A mcrican G rth & Income None K T

3 1 . HT F American Global Grth None L T

3 2 . H TF Franklin Mutual Shares None K T

3 3 . Amcr Funds I ligh Income D Dividend M T

3 4 . Merrill Lynch Note 5.0 1/15/15 B Interest K T



FINANCIAL DISCLOSURE REPORTN .... [P .... R e p o r t i n g

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Dateof Repo.

Page 6 of 9 | IEARTFIELD, TIlAD

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05/5/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . . . . . ~ , , , . . .. . . a o . ~ (Includes those of spouse and dependent children; seepp. 34-6 0 of filing instructions.)

NONE (~ reportable income, assets, or transactions.

D e s c r i p t io n o f A s s e t s I n c o m e d ur i n g G ro s s v a l u e a t e n d ~ "[ran~ctions during reporting ~ri~

(including I~ ~.ts) reposing ~riod o f r e p o r t i n g p e r i o d [

P t a c e " ( X ) " a ~ e r e a c h a s s e t A m o un t I T y p e (e ,g . Value ~ Value ~ T y p e ( e g ., ] Date ~ Value G a i n : I d c n l i ty o f

e x e m p t f r o m p r i o r d i s c lo s u r e ~ C~e I ’: ~ i v . , r e n t . C~e 2 M e t ho d I buy sell. mm,’dd’yy : C~e 2 C o d e I ~ buyer/seller

( A - I I } ~ o ~ i n L ) [ J - P J C o d e 3 ~1 r e d e m p t i o n ) ( J - P I ( A - H ) i f p r i v a t e

3 5 . Vanguard REIT ET F D Interest M T B uy 4/22/09 L

3 6 . Doral Bank Catano PR 2.80 719/12 A Interest K T B uy 6/29/09 K

3 7 . CIT BK Salt Lk 3/25 7/8,/13 A Interest K T B uy 6 / 3 0 1 0 9 K

3 8 . Goldman Sachs BK 3.50 2/4/14 A Interest K T B uy 1 / 2 7 / 0 9 K

3 9 . Goldman Sachs BK 3.’15 2/4/16 A Interest K -r B uy 1 / 2 7 / 0 9 K

40. 1 Shares I Floxx In,,’ Grade Fund B Inlerest K T B uy 4 ; ’ 2 2 ; 0 9 K

4 1 . I Sh,’u’es Batclays I-3 yr Treas Fund A Interest K T B uy 6/29;09 K

4 2 . 1 Shares Barclays Aggregate Bnd Fund B Interest L T B uy 04/2Z/09 ’ L

4 3 . I Shares Barclays TIPS Bnd Fnd B Interest L T B uy 0 4 / 2 2 1 0 9 L

44. I Shares Barclays 3-7 yr Tsy Fund A Interest K T B uy 0 6 / 2 9 1 0 9 K

4 5 . UBS IRA #2 Money M arket A Interest J T

4 6 . ttT|: Arnerican Growth & Income None K T

4 7 . lIT|: American Growth None K T

4 8 . H TF American Global Growth None K Ti

4 9 . HTF Fr;mklin Mutual Sharc~ None K T

5 0 . FFI Institutional Tax-Exempt Fund (ntoney A Dividend L Tmkt.)

5 1 . Tortoni Co. TX College 3.5 due 2115/10 B Interest K U



FINANCIAL DISCLOSURE R EPORT n .... f P e r $ o n R e p o r t in g

Page 7 of 9 n ~ A r T F ~ E I .D , t ~ I A D

VII. INVESTMENTS and TRUSTS - i ........


,~, ..................... U. ...... c. " O . - .....D c s c r i p t lo n o f A s s e t s I n c o m e d ~ r i n g G r o s ~ , , , a l o e a { e n d T r a n s a c t i o n s d u r i n g ~ e p o r h n g p e r i o d

{ i n t : l u d i n g t r u s t a ~ s e t s ) i reporting period o f r e p o r t i n g p e r i o d

i {d---i ~_ ,~ ~ ,~ ~ - i~ i 71~ ’ ~ ............~ <4~ ’ - - - ~ 3 ~ . . . . . . . . . . .P la c e " ( X } " a f t e r e a c h a s s e t A m o u n t T y p e { e . g ., V a l u e V a l u e T y p e ( e . g , { Date V a ~ u e G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i ’ . . , r c n l , C o d e 2 M e t h o d b u ~ , , s e l l , [ m r r v ’ d d . / ) , y C o d e 2 C o d e I b u y e r / s e l l e r

I A - H ) o r i n f . ) [ J - P } C o d e 3 r e d e m p t i o n } I ’ (J-P} { A - H I { i f p r i v a t e

( Q - w 1 ! I I ~ a n s a e l i o n ~ ,........................ ~ ......... ’_2__ __.. _a_ ..............................

5 2 . San Antonio. TX ISD 3.0 due 8/15110 B Interest L U

5 3 . San Antonio TX Electric & Gas 5.25 due C Interest K 1 3~1/I I

5 4 . Spring TX ISD 4.4 due 8;15/11 B Interest K U

5 5 . Ho uston TX Area W ater 5.5 due 3/1,’12 B Interest K U

5 6 . San Antonio TX Water Rev. 5.0 due 5/15!13 B I n t e r e s t K U

5 7 . San Antonio TX Electric & Gas 5.25 due B I o t e t e s t K U2/1/14

5 8 . TX W ater Dcvelopmt Board 5.0 dne 7/15/21 B I n t e r e s t L U

5 9 . TX Tech Univ. Revs. 5.0 due g/I 5/25 B Interest K U

6 0 . H arlandale TX ISD 4.75 due g/15/36 C I n t e r e s t L U

6 1 . Dallas "rx ISD 4.25 due 8/15/10 B I n t e r e s t Sold 9 , ’ 1 / 0 9 K A

62. Nm.,een Insured Premium Income Fnnd B Dividend K U

6 3 . Nuveen Insured Quality Muni. Fund A Dividend K U

6 4 . Nuveeo Insured Muni. Oppo rtunity I-’und A Dividend K U



FINANCIAL DISCLOSURE REPORT [ N.m¢ofP ..... R e p o r t i n g Da~eofR,port

Page 8 of 9

[ tlEARTFIELD, TIIAD

0 5 1 5 / 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.uic.,er.,o~’R~por~

VII. Investments and Trusts

Numbers 1 and 2 have changed their name from Annuity Ins. Co. (AIG) to W estern National Life Ins. Co. and it is sti[I an annuity.



FINANCIAL Ia m e o f P e r s o n R e p o r t in g

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D a t e o f R e p o r t

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D IS CL O SU R E R E PO R T

[ IIEARTFIEI.D, TIIAD

05/5/2010age 9 of 9

IX. C ERTIFICATION.

I certify that all information g iven above (including information pertaining to m y spouse and minor o r dependent children, If any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovixions permitting non-disclosure.

I further certify that earned income from out~ide emplo yment and ho noraria and the acceptance of gifts which have been reported are incomp liance with the provisions o f 5 U.S.C. app. § 501 ct. seq., 5 U.S.C, § 7353, and Judicial Co nference regulations.

Signator~

N OTE: AN Y IN DIVIDUAL W H O KN OW IN GLY AN D W ILFULLY FALSIF IES OR F AILS TO F ILE Ti l l s REPORT M AY BE SUBJECT TO CIVILAND CRI~41NAI, SANCTIONS (5 U.S.C. app. § 104)

FILIN G IN ST R UC T ION S

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

Thad Heartfield Financial Disclosure Report for 2009