Thad Heartfield Financial Disclosure Report for 2010

8/3/2019 Thad Heartfield Financial Disclosure Report for 2010

1/18

AO I0Rev. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t ia l )H E A R T F I E L D , T H A D

Report Required by the Ethicsin Govermnent Act of 1978(5 U.S.C, app..8~ 101-111)

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part-time)

D I S T R I C T C O U R T J U D G E ( S E N IO R )

7. Chambers or Office A d d r e s s300 WILLOW STP~E T, I~M. 212BEAUMONT, TEXAS 77701

2 . C o u r t o r O r g a n i z a t io nU.S.D.C. (TEX AS EAST ERN)

3. Date of Report05/10/2011

5a. R eport Type (check appropriate type)~] Nomination, D a t ei[~ Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n I b i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e~ J t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e ~ s J n g O f f ic e r D a t e

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

6. R eporting P e r i o d01/01/2010

to12/31/2010

I . P O S I T I O N S . t R , p o c t i n g individual only; seepp. 9-1 3 of f!l ing instruct ions,)~ NONE (No reportable positions.)

2.

3.

4.5.

POSITION NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . ~ R , p o n l n g i n d i v i d u a l o n l y ; ~ , ~ ~ , p . 1 4 - 1 6 of filing instructions.)N O N E (No reportable agreemen ts.)

D A T EI.

2.

3.

PARTIES AND TERM S


2/18

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t i n gHEARTFIELD, THAD

D a t e o f R e p o r t05/10/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . tRep o, , i ,g i , d i ,. id~at ~d spo use: ~eep p. IZ-24 of ~ l ing in , , r~c , ions . )A. Filers Non-lnvestment Incom e~] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouses)

B . S p o u s e s N o n - l n v es t m e n t In c o m e - t f y o u were m arried during any portion of the reportlng year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE_ SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - t r a n s p o r ta t io n , Iodglng, food, e n t e r t a i n m e n t .(Includes those to spouse and depende nt children; see pp. 25-27 of filing instructions.)

~] N O N E ( N o reportable reimbursements.)

2.

3.4.5.

SOURCE DATES LO CA TIO N PU RPO SE ITEMS PA1D OR PROVIDED


3/18


Name of Person R eportingH E A R T F I E L D , T H A D

Date o f Report05 /10/2011

V . G I F T S . (Includes those to spouse and deprndent children; see pp. 28-31offiling instructions.)N O N E ( N o reportable g ifts.)

SOURCE DESCRIPTION1.2.3.4.5.

VALUE

V I . L I A B I L I T IE S . a n c l ,d e s t h o s e o : s p o u s e u n d d e ~ , e n d e n t children; s e e p p . 3 2 - 3 3 of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

V A L U E C O D E


4/18


N a m e o f P e r s o n R e p o r t in gH E A R T F I E L D , T H A D

D a t e o f R e p o r t0 5 / 1 0 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , o i .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e ts Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

(t) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . ,

e x e m p t f ro m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value

C o d e 2 M e t h o d(J-P) Code 3

( Q - W )

T y p e ( e . g .,b u y , s e l l ,

r e d e m p t io n )

Transactions during reporting period(2) (3) (4)

D a t e Value Gainmrrddd/yy Code 2 Code I

(J-P) ( A - H )

( 5 )I d e n t i ty o fbuyer/seller( i f p r i v a t e

t r a n s a c t i o n )

I. Western National Life Ins. Co. A Interest J T2. Western National Life Ins. Co. A Interest J3. W ells Fargo, Checking A Interest K4. W ells Fargo, Checking A Interest J5. W ells Fargo, Checking A Interest J6. Enerrvest Operating LL C A Royalty J7. Th ree Forks Resources A Royalty J8. Enterprise Crude Oil LL C A Royalty J9. UBS RMA A Interest L

T

T

T

T

T

T

T

1 0 . UB S IRAfll Money M arket A InterestII. Oppenheimer Strategiclncome D Dividend1 2 . Federated Bond Fund D Dividend

N

LL

T

T

T

1 3 . PimcoTotal Return Fund D Dividend M1 4 . Bond Fund of America C Dividend L1 5 . Greenwood Trust CD 7.00 CPN 8/9/10 A Interest

TT

Sold 01/26/10 J A

1 6 . Discover Bank CD 6.95 8/9/10 A Interest17 . D iscover Bank CD 6.8 9/7 /10 A Interest

Sold 08/09/10 J ASold 09/07/10 J A

1. Income Gain Codes: A = $1.000 or less B = $1.001 - $2.500 C = $2.501 - $5 ,000 D =$5.001 - $15,000(See Columns B I and D 4 ) F =$50,001 - $100.0~0 G = $100,001 - $1,000.000 HI =$1.000,001 - $5,000,000 H2 = More than $5,000.000

2. Value Codes J = $15.0~ O or less K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000(See Columns C I and D3) N =$250.001 - $500.000 O =$ 500.0 01 - $ 1,0 00.0 00 P I = $1 .0 00 .00 1 - $5 .00 0.0 00 P2 =$5.000,001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 -More than $50,000,0003. Value Mclhod Codes Q =Appraisal R = Cost (Real Estale Only) S =A s~ssmcnt T = Cash Market(See Column C2) U =Book Value V =Other W =E :.timated

E =$15.001 - $50.000


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FINANCIAL DISCLOSURE REPORTPage $ of 9 Ia m e o f P e r s o n ReportingH E A R T F I E L D , T H A D Dale of R e p o r t05/10/201 I

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

Description of Assets Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(l) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g .,

e x e m p t fr o m p r i o r d i s e l o s u r C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )


C o d e 2 M e t h o d( J - P ) C o d e 3

(I )T y p e ( e . g .,

b u y , s e l l ,r e d e m p t io n )

Transactions during reporting period

(2) (3) (4)D a t e Value G a i nm m / d d/ y y C o d e 2 Code I

(J-P) ( A - H )

( 5 )I d e n t i ty o f

b u y e r / s l l e r( i f p r i v a t e


1 8 . Providian Natl CD 6.10 3/7/I 1 A Interest K T

1 9 . H T F A mer G row th F und None L T

20 . H T F A merican Grth & Income None L T21 . HTF American GlobaIGrth None L T22 . H T F Franklin M utual Shares None K T23 . Amer Funds High Income24 . Merrill Lynch Note 5.0 1/15/1525 . Vanguard REIT E TF26 . Doral Bank Catano PR 2.80 7/9112

D Dividend M TB Interest K T

C Dividend SoldA Interest K T

11/05/10 M

27 . CIT BK Salt Lk 3 /25 7 /8 /13 A Interest K T28 . Goldman Sachs BK 3.50 2/4 /14 A Interest K T29 . Goldman Sachs BK 3.75 2/4 /16 A Interest K T30 . I Shares I Boxx Inv Grade Fund B Interest K T31 . I Shares Barclays 1-3 yr T reas Fund A Interest K T32 . 1 Sh ares Barclays A ggregate Bnd Fund B Interest L T

33 . 1 Shares Barclays TIPS Bnd Fnd B Interest L T34 . I Shares Barclays 3-7 yr T sy Fund A Interest K T

I. Income Gain Codes: A = $1,000 or less B = $ 1.00l - 52,500 C = $2,501 - 55 ,000 D = $5,001 - $15,000(See Columns BI and D-I) F =$50.001 - 5100,000 G = 5100.001 - $1,000.000 H I = $1 .0 00 .0 01 - $5 ,0 00 ,0 00 H 2 = Mo re th an $ 5, 00 0. 00 0

2. Value Codes J =$15,0 QO or less K -$15,001 - $50,000 L =550,001 - $100.00~ M =$ I00,001 - $250,000(See Columns CI and D3) N ~$250,001 - $500,000 O =5500.001 - $ 1,000,00Q PI =$1,000.001 - $5,000,000 P2 =$5,000.001 - $25,000,000

P3 =$25,000,001 - $50.000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R = Cost (Rcal Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V -Other W =Estimated

E = $ 1 5 . 0 0 1 -


6/18


N a m e o f P e r s o n R e p o r ti n gH E A R T F I E L D , T H A D

D a t e o f R e p o r t0 5 / I 0 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - inco. ,o, t , .l .e , transactions (Includes those of spouse and de pende nt chi ldren; see pp. 34-60 of fi l ing instruct ions. )N O N E (No reportable income, assets, or transactions.)

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

(i) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g .,exempt from prior disclosure C o d e 1 d i v . , r ~ n t ,( A - H ) o r i n t . )


C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

(1 )T y p e ( e . g .,

b u y , s e l l ,r e d e m p t io n )


( 2 ) (3) (4)D a t e Value G a i n

m m / d d/ y ~ C o d e 2 Code I( J - P ) (A-H)

(s)I d e n t i ty o fbuyer/seller( i f p r i v a t e


35 . UBS IRA #2 M oney Market A Interest J T36. H TF A merican Growth & Income None K .T37 . HT F A merican Growth None K T38. HTF American Global Growth None K T39 . H T F Franklin M utual Shares None K T40 . San Antonio TX ISD 3.0% due 8/15/I0 B Interest Matured 08/16/10 L B41 .42 .43 .4 4 .

Tarrant Co TX College 3.5 due 2/15110 A Interest Matured 02/I 6/I 0 K ARedeemed 01128/I 0 L AFI Institutional Tax-Exempt Money Marke~ A DividendFund

Merrill Lynch Bank Deposit ProgramMoney Market Interest B uy 01128/10~ M

Redeemed 03/02/I 0 M A

45 . Premium Deposit Account Money Market46 .

Interest B uy 03/02/10 MRedeemed 09/03/I 0 M A

47 . Preferred Deposit Money Market A Interest M T48. N uveen Insured Premium Income Fund B Dividend K T

B uy 09/03/I 0 M

49 . Nuveen Insured Q uality M uni. Fund B Dividend K T

50 . Nuveen Insured Muni. Opportunity Fund B Dividend K T51 . Weslaco TX ISD 4.5% due 2/15/25 A Interest K T Bu y 03/05/10

I. Income Gain Codes: A =$ 1,000 or less B = $1,001 - $2,500 C = $2,501 - $5 ,0~0 D =$5.1)01 - $ 1 5 , 1 ) 0 0(See Columns BI and D 4) F =$50,001 - $10~,009 G =$100,001 - $1,0~,009 HI =$1,000,~01 - $5.0~0,0~ H2 =More than $5,00~.0~0

2. Value Codes J $15.00 0 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M $ 100 . 001 - $250 ,009(See Columns CI and D3) N -$250.0~1 - $500,000 O =$50~,001 - $1,1~0.000 PI =$1,0~}.0~1 - $5,000,000 P2 =$5.000.001 - $25,000.000

P3 $25,0@ ),001 - $50.000,000 p4 = More than $50.0~0.0003. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) S =A s~ssmcnt T =Cash MarketISle Column C2) U =Book Value V -Other W =Estimated

E =$15.06~ - $50.000


7/18


N a m e o f P e r s on R e p o r t i n gHEARTFIELD, THAD

Date of R e p o r t05/10/2011

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; seepp. 34-60 of f iling instructions.)D NONE ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )

A. B. C.Description of Assets Income during G r o s s value at end(including trust assets) reporting period of reporting period

(l) (2) (i) (2)Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q-W)

Type (e.g.,buy, sell,

redemption)


(2) (3) (4)Date Value Gain

mm]dd/yy Code2 Code I(J-P) (A-H)

(5 )Identity of

buyer/seller(if private

transaction)

52 . Harlandale TX ISD 4.75 due 8/15/3653 . Houston TX Area Water 5.5 due 3/I/1254 . TX W ater Developmt B oard 5.0 due 7/15/2155. Spring TX ISD 4.4 due 8 /15/I 156. San Antonio TX Electric & G as 5.25 due2/I/1457 . San Antonio TX W ater Rev. 5.0 due 5/15/1 358 . TX Tech Univ. Revs. 5.0 due 8/15/2559. San Antonio TX Electric & G as 5.25 due2/I/I I

C I n t e r e s t

B I n t e r e s t

C I n t e r e s t

B I n t e r e s t

B I n t e r e s t

B I n t e r e s t

B I n t e r e s t

B I n t e r e s t

L TK T

M T

L TK T

K T

K T

K T

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C =$2,501 - $5,0~)(See Columns BI and IM) F =$50.001 - $100,000 G =$ 100.0 01 - $ 1,0 00.0 00 H I =$ 1,0 00. 00 1 - $5 .00 0.0 00

2. Value Codes J = $15.000 or less K =$15,001 - $50.000 L = $50,001 - $ 100,000(see Columns C I and D3) N =$250.001 - $500,000 O =$ 500,0 01 - $1,0 00.0 00 P I =$ 1,0 00 .00 1 - $5 .00 0,000

P3 =$25,000,001 - $50.000.000 P4 -More than $50,000.0003. Value Method Codes Q =Appraisal R = Cost (Real Estalc Only) S =A ssessment

{See Column C2) U =Book Value V =Other W =Estimated

D =$5.001 - $15,000H2 = More than $5.0(~.000M S 100,0~1 -$250.000P2 =$5.000.001 - $25.000.000T =Cash Market

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


8/18


Name of P erson ReportingH E A R T F I E L D , T H A D

Date of Report0.5/10/2011

VIII. AD DITIONAL INFORMA TION OR EX PLANATIONS. (In,tlcate part of report.)


9/18

FINANCIAL DISCLOSURE REPO RTPage 9 of 9

Name of Person ReportingH E A R T F I E L D , T H A D

Date of Report05/10/201 I

IX. CERTIFICATION.1 certify that all information given ab ove (including information pertaining to my spouse and m inor or dependent children, if any) is

accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside emplo:)anent and honoraria and the acceptance of gifts w hich have been reported are incompliance ~vith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/THAD H E A R T F I E L D

N O T E : A N Y I ND 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 F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LAND CRIM INAL SANCT IONS (5 U.S.C. app. 104)

Committee on F inancial D isclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E .W ashington, D.C. 2054 4


10/18

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app..~ I01-II1)

I. Person Reporting (last name, first , middle init ial)HE ART FIE L D, T HAD

4. Title (Article II I judges indicate active or senior status;magistrate judges indicate full- or part-time)

DISTRICT CO U RT J U DG E ( SEN IO R)

7. Chambers or Off~ce A d d r e s s300 WILLO W STREET, RM . 212BE AUMON T , TE XAS 77701

2. Cour t or Organiza t ionU . S . D .C . ( T E X A S E A S T E R N )

3. Date of R e p o r t08/11/201 I

5a. Report T~,ve (check appropriate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion conta ined in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

6. Repor t ing 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 followecL 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 . m e ~ , o r t i, ,~ i . d i v i ,~ u a l o . l y ; s e e p s , . 9 - 1 3 of filing instructions.)~ (No reportablepositions.)O N E

POSITION N A M E O F OR GANIZATION/E NTITY

2.

3.

4.5.

l I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions,)1-~ NONE (No reportable agreements.)

DATE P A R TI ES A N D TER M S


11/18


N a m e o f P e r s o n R e p o r t in gHEARTFIELD, THAD

D a t e o f R e p o r ~08/I 1/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instruction~)A. Filers Non-Investm ent Incom e

~] (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouses)

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 ~ lf s,ou were married during any portlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children: see pp. 25-27 of filing instructions.)

~] N O N E (No reportable reimburs ements.)

2.3.

4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


12/18


N a m e o f P e r s o n R e p o r t in gHEARTFIELD, TH AD

D a t e o f R e p o r t08/I 1/201 I

V . G I F T S . a n c l u a e ~ those to spouse and de pendent children; see pp. 28-3 1 of filing instructions.)N O N E 0 V o reportable gifts.)

SOURCEI.

2.

3 .4.

5.

DESCRIPTION VALUE_

V I . L I A B I L I T I E S . a n c l u d e s t h o s o o l s p o u s e u n d d e p e n d e n t children; seepp. 3 2 - 3 3 of filing instructions.)N O N E (N o reportab le liabili t ies.)

CREDITOR DESCRIPTIONI.

2.

3.

4.5.

VALUECODE


13/18

FINANCIAL DISCLOSURE REPORTPage 4 o f 9

N a m e o f P e r s o n R e p o r ti n gHEARTFIELD, THAD

D a t e o f R e p o r t08/I 1/2011

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 filing instructions.)D NONE (No reportable income, assets , or transactions.)

D e sc rip tio n o f A sse ts In c o m e d u rin g( i nc luding t ru s t a s s e t s ) r e p o r t in g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div . , r en t ,(A-H) or in t . )

I. Weste rn N a t iona l L ife Ins . C o . A Interest2. Western National Life Ins. Co. A Interest

3. W e l l s F a r g o , C h e c k i n g A Interest4. W e l l s F a r g o , C h e c k i n g A Interest5. Wells Fargo, Checking A Interest

6. Enerrvest Operating LLC A Royalty

7. Three Forks Resources A Royal ty8. Enterp r i s e Crude Oil LLC A Royal ty9. UBS RMA A Interest

10 . UBS IRA#1 M o n e y M a r k e t A InterestII. Oppenheimer Strategic Income D Dividend

12 . Federated Bond Fund D Dividend

13 . PimcoTotal Return Fund D Dividend

14 . Bond FundofAmerica C Dividend

15 . Greenwood Trust CD 7.00 CPN 8/9/10 A Interest

16 . Discover Bank CD 6.95 8/9/10 A Interest

17 . Discover Bank CD 6.8 9/7/10 A Interest

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)

V a lu e Va lu eC o d e 2 M e th o d

(J -P) C o d e 3

J T

J T

K T

J TJ TJ TJ T

J TL TN TL TL TM T

L T

Transac t ions dur ing repor t ing pe r iod

(I) (2) (3)Type (e.g., Date V a l u ebuy , se l l , m m / d d / y y C o d e 2

re d e m p tio n ) (J- P )

Sold 01/26/10 J

Sold 08/09/10 JS o l d 09/07/I 0 J

(4 ) (5 )Gain Identity of

Code I buyer/seller(A-H) (if private

transaction)

A

AA

I. Income Gain Codes: A = $1,000 o r less B = $1,001 - $2,500 C =$2,501 - $5,000 D =S5,001 - $15,090(See Co lumn s B I an d D4) F = $5 0.001 - $100,000 G =$100,001 - $1,090.000 H I = $1.000.001 - $5 ,000,099 H2 = M ore than $5.000,00~

2. Value C o d es J = $ 15 ,000 or le ss K -$15 ,(K tl - $50.0~0 L =$50.0~1 - $100.000 M $100,001 - $250.00~(See Columns CI and D3) N =$ 25 0.001 - $5 00,0~ 0 O =$5 00.001 - $1,000,000 PI = $1.000.001 - $5.000,000 P2 =$5.000,001 - $25,000.000

P3 ~$25,1~90,001 - $50.00~.000 P 4 = Mo re th an $50.00~.0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real E~tate Only) S = Assessmen t T = Cash Mark e t(S ee C ol um n C 2) U = B o o k Va lue V = Oth e r W = Es l ima ted

E =$15 , 001 - $50 , 000


14/18

FINANCIAL DISCLOSURE REPORTP a ge 5 o f 9

N a m e o f P e r s o n R e p o r ti n gHEARTFIELD, THAD

D a t e o f R e p o r t08/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o r ~ e , , a l ~ e , ,r a n s ~ c , i o ~ s a n c l ~ d o s , h o ~ o o I ~ p o ~ e a ~ d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)NONE ( No reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s I n c o m e d u r i n g( in c lu d in g tru s t a ss e ts ) r e p o rt in g p e r io d

(t ) ( 2 )Place "(X)" after each asset A m o u n t Typo (e.g.,

exempt from prior disclosure Code I div . , r en t ,( A - H ) or i nt . )

G r o s s v a l u e a t e n dof repor t ing pe r iod(i) (2)

Va lu e Va lu eC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

(] )Type (e.g.,buy , se l l ,

r e d e m p t i o n )


(2) (3) (4)Date V a l u e Ga in

m m / d d / y y C o d e 2 Code I(J-P) ( A - H )

Ident i ty ofbuyer / se l l e r( i f p r i v a t e

t r a ns a c t ion)

1 8 . Providian Natl CD 6.10 3/7/11 A I n t e r e s t K1 9 . H T F A m e r G r o w t h F u n d N o n e L

20. HTF Am erican G rth & Incom e None L21 . H T F A m e r i ca n G l o b a I G r t h N o n e L

22. HTF Franklin M utu al Shares None K23 . A m e r F u n d s H i g h I n c o m e D Dividend24 . M er r i l l Ly nch N ote 5 .0 1 /15 /15 B Interes t25 . V a n g u a r d R E I T E TF C Dividend26 . Dor al Bank Catano P R 2 .80 7 /9 /12 A Interes t

M

K

TT

SoldT

11/05/10 M

27 . CIT BK Salt Lk 3/25 7/8 /13 A I n t e r e s t K2 8 . G o l d m a n Sa c h s B K 3 .5 0 2 /4 /1 4 A I n t e r e s t K29 . Goldm an Sachs BK 3 .75 2 /4/16 A I n t e r e s t K3 0 . I Sh a re s I B ox x In v G r ad e Fu n d B I n t e r e s t K31 . i Shares Barclays I-3 yr Treas Fund A I n t e r e s t32 . I Shar es B arc la y s Aggre gat e B nd F u n d B I n t e r e s t

33 . I Shar es B ar c la y s TIPS Bn d Fn d B I n t e r e s t34 . I Shar es B ar c la y s 3- 7 y r T sy F u nd A I n t e r e s t

K

L

L

K

TT

TT

I. Income Gain Codes: A =$ 1,000 or less B = $1,001 - $2.500 C -$ 2,5 01 - $ 5 ,000 D =$5,001 - $15.000(See Co lumn s B 1 an d D4) F =$50,001 - $ 100,000 G =$100.001 - $1,000.000 H I =$ 1.000.001 - $5.000,000 H2 =More than $5,000,000

2. Value Codes J = $15,000 or less K = $15.001 - $50,000 L = S 50,001 - $ 100,000 M = $100,001 - $ 250,000(S C ol um ns C I and D3) N =$250,001 - $500,000 O =$500.001 - $ I .O00.000 PI =$1,000.001 - $ 5.000,000 P2 =$5,000,001 - $25.000,000

P3 =$25.000.001 - $50.000.000 P4 -More than $ 50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Eslale Only) S = A s : : ,c s . ~ m e n l T = Cash Mark e t(See Co lumn C2 ) U = B o o k Va lue V = Oth e r W = E~f ima ted

E =$15.001 - $50.000


15/18


N a m e o f P e r s o n R e p o r t in gHEARTFIELD, THAD

D a t e o f R e p o r t08/I 1/2011

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 t s Income dur ing( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

()) ( 2 )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 y p e ( e . g . ,e x e m p t f ro m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO ) ( 2 )Value Value

C o d e 2 M e t ho d( J - P ) C o d e 3( Q - W )

(t )T y p e (e .g . ,b u y , s e l l ,


T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(2) (3) (4)

D a t e V a l u e G a i nmm/dd/yy C o d e 2 C o d e

( J - P )

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

35 . U B S I R A # 2 M o n e y M a r k e t A Interest J T3 6 . H T F A m e r i c a n G r o w t h & In c o m e N o n e K T37 . HTF Am erican G ro w th N o n e K38 . HTF Amer ican G lob al G r owth N o n e K

39 . HTF Fr ank l in M utual Sh ar es N o n e K T40 . S a n An t o n i o T X IS D 3 . 0 % d u e 8 /1 5 /1 0 B Interest Matured 08/16/10 L B

41 .42 .43 .44 .

Tanan t Co TX C ol lege 3 .5 due 2 /15 /10 A Interes t Matured 02/16/10 KFFI I ns ti t u tiona l T ax-E xempt M oney Marke t A DividendFund Redeemed i 01/28/10 LM er r i l l Ly nch Bank Depos i t Pr ogr amMoney Marke t A Interes t B uy 01/28/10 M

A

A

Redeemed 03/02/10 M A

45 .46 .47 .48 .

P remiu m Depo s i t Accou nt Money Marke t A Interest

P re fe r red Depos it Money Marke t A InterestN u v e e n I n s u r e d P r e m i u m I n c o m e F u n d B Dividend

M

K

B uy 03/02/10 MR e d e e m e d 09 /03 /10 M

T B uy ! 09/03/I 0 MT

49 . N uveen Insur ed Qu al i ty M u ni . Fund B Dividend K T

50 . Nu v een I ns u red Mu ni . Oppo r tu ni ty Fu nd B Dividend K T51 . Weslaco TX ISD 4 .5 % due 2 /15 /25 A Interest K T Bu y 03/05/10

I. Income Gain Codes: A =$ 1,000 or less B -$1,001 - $2,500 C = $2,501 - $5 .000 D =$ 5,001 - $15 ,000(See Co lumn s B I an d D4) F =$50.001 - $10~.000 G =$ 100 ,001 - $ 1,0~ 0,000 H I = $1,0~ 0,00 1 - $5 .000, 0~ O H2 -More than $5,000,000

2. Value Codes J =$15.000 or less K =$15,001 - $50,000 L =$50,001 - $ 100.000 M =$ 100.001 - $250.1)00(See Co lumn s CI an d D3 ) N =$250.09| - $500.1)0~ O = $ 5 ~ ,0 0 1 - $ 1 ,0 0 0 ,0 ~0 PI =$ | .000,001 - $5 ,0~3,000 P2 =$5,900,~31 - $25,00~.000

P 3 = $ 2 5 . b ~ O 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 = M ore than $50,000,0003. Value Method Codes. Q =A ppr a i sa l R =Cost (Real Estate Only) S = A s ~ s s m c n t T = Cash Mark e t

~Sce Co lumn C2 ) U =Bot~k Value V = Oth e r W ~Es t ima ted

E =$15,001 - $50,000


16/18


N a m e o f P e r s o n R e p o r ti n gH EARTF! ELD, THAD

D a t e o f R e p o r t08/11/2011

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 r a n s a c t io n s a n c l u d e s t h o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i nc luding t ru s t a s s e t s ) r e p o r t in g p e r i o d of repor t ing pe r iod

(l) (2) (0 (2 )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 y p e ( e . g ., Value Valuee x e m p t f r o m p r i o r d is c l o s u r e Code I d i v . , r e n t , C o d e 2 M e t h od( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

Type (e.g.,buy , se l l ,



(2) (3) (4)D a t e Value Gain

m m /d d/ y y C o d e 2 Code I( J - P ) ( A - H )

( 5 )I d e n t i t y o f

buye r / s e l l e r( i f p r i v a t e

l r a ns a c t ion)

52 . Harlanda le TX ISD 4.75 due 8/15/36 C I n t e r e s t L T5 3 . H o u s t o n T X A r e a W a t e r 5 . 5 d u e 3 / I / 1 2 B Interest K T

54 . TX W ater Deve lopmt Board 5 .0 due 7 /15 /21 C I n t e r e s t55 . Spring TX ISD 4.4 due 8 /15/I I B I n t e r e s t5 6 . San An ton io TX E le c tr ic & Gas 5 .2 5 du e B I n t e r e s t2/I/1457 . San Antonio TX W ater Rev. 5.0 due 5/15/13 B I n t e r e s t58 . TX Tech Univ. Revs. 5.0 due 8/15/25 B I n t e r e s t5 9 . San An ton io TX E le c tr ic & Gas 5 .2 5 du e B I n t e r e s t2/1/I I

M T

L TK T

K T

K T

K T

I. Income Gain Codes: A =$1,000 or less B = $1.001 - $2,500 C = $2,5 01 - $5 ,000 D =$5,001 - $15,000(S ee C ol um ns BI and D4) F = $ 50,001 - $100,000 G =$100,001 - $1.000,000 HI = $1,000.0~1 - $ 5 ,000,000 H2 =More Ihan $5,000.000

2. Value C o d es J = $ 15 ,0~3 o r less K =$15 .001 - $50 .0~0 L =$50,001 - $1130.000 M =$10~.0~1 - $250.000(S ee C ol um ns C I and D3) N =$250,001 - $500,000 O = $5 00,001 - $1.000.000 P I = $1,000,001 -

P3 =$25,000.001 - $50.000,000 P4 =More than $50,000.0~03. Value Method Codes Q =A ppr a i sa l R =Cost (Rcal Estate Only) S = Assessmen t T = Cash Mark e t

(S ee C ol um n C 2) U = B o ~k Va lue V = Oth e r W = Es t ima ted

E =$15,001 - $50.000


17/18


18/18

Documents

Thad Heartfield Financial Disclosure Report for 2010