t

ne~. t!2om

.~o ~0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
Z. Court or Organizati,~n U.SD.C. (TEXAS EASTERN) 5a. Reporl Type tchcck appropriate t,Te) ] Norninatiun, [)ale [] An,:ual [] Final

Repot, Rcq,,i,ed~y the

in Government Act of 1978

t~ u s.c. app. ~,.~ to~-t

3. Dare or Report 05/13/2010 6. R~:porting Period 01/01/2009 tv 12/31/2009

I. Person Reporting (la.~t name, first, middle initial) IIEARI FIELD, TIIAD 4. Title (Article Ill judges indicate active or ,~cnior status.: magic.rate judges iedicate full- or part-lime) DISTI~ICTCOURTJUDGE(SENIOR)

[] Initial

5b. [] Acncndcd Report 7. Chambers or Office Address 300 WILLOW STREET. RM. 212 BEAUMONT, TEXAS 77701 8. On the basis of the information contained in this Report and an? n odifications pertaining ~bereto, it is, in my opinion, in compliance ~.,ith applicable Iw~s and regulations. Re~ie~*ing Officer_ __ __ Date

IMPORTANT NOTES: 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. POSITIONS. ~,o~,.~.~ t~divid.M only; ~,e pp. 9-13 of filing

~
I.
2.

NONE (No reportable positions.)

~~

NAblE OF ORGANIZATION/ENXITY

II. AG RE E MENTS. m,.~,o,,i,g indi,.iduM only; see pp. 14-16 of filing

NONE bVo reportahle a,~,reements.) PART1ES AND TERMS
I.

Heartfield, Thad

FINANCIAL DISCLOSURE REPORT

N ....of Per,on Reportinil

D~tle of Report

Page 2 of 9

IIEARTFIEI.D, TI{AD

05t13/2010

III. NON-INVESTMENT INCOME. ~,o,,i~ individual and spo~e; see pp. 17-24of filing instruc&,ns.)
A. Filers Non-lnveslment Income
NONE (No reportable non-investment income.)

~
I.

SO~!RCE AND TYPE

~
(~ours, not spo~es)

3.
4.

B. Spouses Non-Investment Income - 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 )

NONE (No reportable non-im,estment income.)

~
1. 2. 3.
4.

SOUgCg AND TYPE

IV. REIMBURSEMENTS --,,a.,~po,,o,i,,,, IodLing. food, entertai ....

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

NONE (No r~Tortable reimbursements.)

~
1.

LOCATION

PURPOSE

ITEMS PAID QR PROVIDED

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

~ ....~P ..... R,~port~.g

HEARTFIELD, THAD

Da,eofR,p,.r, 05/13,~M 0

V. G I FTS. a,,,.i,,a~.~ a,,,~, t,, ~,~,.~, ,,ha a,.p,.,,,~,.,,,,:~,itd,~n,- s,:~ pp. ,_s.~t of filing instruction~.)
NONE (No r~Tortable g~s.)

~
I.

DESCRIPTION

_VALUE

3. 4. 5.

VI. LIABILITI ES. a,,,l,,d,, ,ho.,e oy sr ...... a dependent children: see pp. 32-33 of filing instruction*.)
NONE (No reportable liabilities.) CRI~DITOR DJ~SCRIPTION VALUE CODE

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 9

I~ame

of Prrson R~porling

D~t of Report 05/13~2010

[ ilEArT~IeLD, TliAD

VII. INVESTMENTS an d TRUSTS -- i ....... ague, t ...... lions <Includes tho.~ of sp ...... d dependent children; see pp. ~4-60 of filing imtr~tions
NONE (No reportable incotnc~ ~ssels, or transactions.)
~ Dcscriptio~ of Assets (includiag trust assets) Place"(X)"aftcrcach~set exempt from prior disclosure [ Income durirg i Gross value at ~d ] Transactions dunng re~rti~g period

* i ~

Amount~ Ty~(cg, ~ Code 1 ~ d~v., rcn~. ~ IA-H) t or int.)

Value Code 2 (-P)

~alue Melhod Code 3

~l Ty~(e.g., buy, sell, mdcmpt~o~)

i Date ] Vzlue ~ Gain Im~a,d~U~ i Code 2 ] Code I . , (J-P) (A-H) .

Idcnti~of buyer/seller ifpr v~te

I. ~ 3. ~. ~. 6.

Western National Life Ins. Co. Western National Lil~ Ins. Co. Wachovia Bank, Checking Wachovia Bank, Checking Wachovia Bank, Checking Anadarko Petroleum Co~. General American Universal Life

A A A A A A A A A

Inlerest Interest Interest Interest Interest Royally Distribution Dividend Dividend None

J J K J J J K L L

T T T T T T T Redeemed Redeemed Redeemed Redeemed Redeemed Sold 05/I 5/09 4/27/09 1/7/09 03/26/09 04/06/09 J L K K K K A J F A A A A

. 9. 10. 1 I. 12. 13. 14. 15.

UBS RMA UBS IRAQI Money Malket U,S. Treas sttps 5115/09 Fed I lome Loan Bank 569 4/27/09 F|ILMC Mtn Callable 5.0 1/30q4 FI !I,B Callable 5.0 6/2(,/18 FNMA Call 5.4 2/23/I 7 Alliance Bcmstcm Grlh & Inc MS Equally Weighted S&P 500 I,u.d Oppenheimer Slralegic Income

A A A B

Interest Intercs! Interest Interesl I)ividend Dividend Dividend I, I T

A A D

02/1900 Sold

t
17.

16.

02/19,09

-,

DISCLOSURE REPORT PageFINANCIAL5 of 9

Name of Person Reporting

Date or Report

ilEARTFIELD, TltAD

05/13t2011)

VII. INVESTMENTS and TRUSTS - i~ ...... ,.t~, t ..... tions (lnclude~ those of ~p ....... d dependent children; seepp. 34-60 of filing instr~,tions.J
NONE (No reportable income, assets, or tra/~actions.) : A. Description of Assets (inchading tnmt assets) Place "IX)" after each asseit exempt from prio~ disclosure i B. Income duriog repo:ting period C. i Gross value at end I of reporting period Value Code 2 (J-P)
] Value

~ ! [ , 18. 19. 20. ""1. 22. ~3. 24. ,25. 26. 27. 28. 29. 30. 3 I. 32. 33

Am,c~unt . Type (e.g, ~ Code l ~ div., rent, ] (A-H) ~ or int.) i : ..... D A D C A A A A A A B Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest Interest Interest None None None None D Dividend

i Method Code 3 (Q-W) T Sold 02/19/09 K A

Federated Bond Fund Davis New York Venture Pimco Total Return Fund Bond Fund of America EuroPacitic Growth Growth Fund of America Investment Co. of America Greenwood Trust CD 7.0(~CPN I126/10 Discover P, ank CD6.95 8/9/10 Discover Bank I) 6".8 9/7/10 Pruvidian Natl CD 6.10 3/7/I I I~TF Amer Growth Fund tlTF American Grth & Income 11TF American Global Grd~ HIT I-rankli~ Mutual Shares Amer Funds Itlgh Income

M L

T T Sold Sold Sold 02119/09 02/I 9./09 02/19/09 L K L A A A

J J J K L K L K M

T T T T T T T T T

FINANCIAL DISCLOSURE REPORT Page 6 of 9

VII. ! NVESTMENTS an d TRUSTS - i ............

s,m, of P ..... Reparting

Date of Re|mr!

u ~:AWr~IELX~, "nlAO I
.~t~, t ....... rio,., ~/,,d, ae~ t~os~ ,ff ~ .......

0S!~ 3~:0~ 0
a a,,p,,,a~t ,~ita~,: ,e~m,. 3~-~o vf filing instrmtio~.)

NONE (No reportable income, assets, or transactions.) Description of Asse~ (including t~t asse~) Place "(X3" aftcr each asse~ exempt from prior disclosure lncmne ~urtng Gross ~alue at end Transactions daring reporting period

Amount Code I ~ (A-H)

T>~ {e g., div., rcnL t~r inL)

Value Cc~c 2 (J-P)

Value Meth~ ~ Code 3 ~ ~Q-W] T T T T T T T T T T T T T T T T

Type (c g.. bay, sell, ~dcmption)

Date [Value ~ m~.d~y I (J-P) . (A-I[) ~ 4122/09 6~29/09 6/30?09 I;27/09 1/27/09 4i22/09 6/29709 04/22/09 04122./09 06/29/09 L K K K K K K L L K

(if private transaction)

35. 36. [37. 38. 39. 40. 4l. ["4~. 43. ~. 45. 46. 47. 4~. ,49. 50.

Vanguard REIT ETF Dotal Bmk Catano PR 2.80 7/9]12 CIT BK Salt Lk 3/25 718/13 Goldman Sachs BK 3.50 ~4/14 Goldman Sachs BK 3.75 2/4/16 I Shares I Boxx Inv Grade Fund 1 Shares Barclays 1-3 yr Treas Fund I Shares Barclays Aggregate Bnd Fund I Shares Barclays TIPS Bnd Fnd ! Shares Barclays 3-7 yr Tsy Fund UBS IRA ~2 Money Market !ITF American Growth & Income tITF Amcricau Growth I I-IF American Gh~bal G~o~ah 11"IF Franklin Mutual Shares FF~ InstilutionalTax-Exempt Fund (money mkt.}

D A A A A B A B B A A

Interest Interest Interest Interest Intercst Interest Interest Interest Interest Interest Interest None None None Nune

M K K K K K K L L K J K K K "K L

Buy Buy Buy Buy Buy Buy Bay Buy Buy Buy

"~

Dividend

__

FINANCIAL DISCLOSURE REPORT Page 7 of 9

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

NameofPerson Reporting

Dnlofl~eport

nEArrFIEI.o, T~IAD !

05it 3n.01

~.., t ........ lo~" att,ludes those of ~t,,u,e a,,d dependent ,hitdren: .,eepp. 34-60 ,filling in3trncti,,~,.)

NONE (No reportable income, assets, or transactions.) Description of Assets Place "(Xj" after ~ach asset exempt flt~m prior disclosure

I~come d~ui~g , A not ~2) fl) t It [ Type (,g., I Code I , div, rcn% (A-If) ~ or int.) ~

j Gross v~luc at end [ ~ fl) ~ (2) ~ Value ~ Value ~ Ct~e 2 ~ Med~od ) (J-P) ~ Code 3 Type (e.g., buy. sell, redenaption)

Transactk,ns during re~ing ~riod

~tg~dt[/~ ; Code 2 [ Code I [ I , (p) t (A-H) .

buyer/sdler (if private

J
53~ [54 55. 5~ 57. 58. 59. 60. "61. 62.

52.

San Antonio. TX ISD 3.0 due 8/15/10 San Antouio TX Electric & Gas 5.25 due Spring TX ISD 4.4 due 8/15/1 l llouston ~X Area Walct 5.5 due 3/I/12 San A~tonio TX Water Rev. 50 due ~/I 5/131 San Antonio TX Electric & Gas 525 due ~ Water Dcvelopmt Board 5.0 d~e 7/I 5~21 TX Tech Univ. Revs. 5.0 due 8/t5/25 Ilarlandale TX ISD 4.75 due 8/15/36 Dallas TX ISD 4.25 due gf15/lO

B C B B B B 11 B C B B A

Interest Interest Interest interest Interesl Interest ln~erest Interest Interest lnlerest Dividend Dividend

L K K K K K I. K I,

T T T T T T T T T Sold 9/I/09 K A Buy 04/21/09 M

["

Nuvcen Insurcd P~emiu~n Income Fund

K K

T T "

~
63. N~vcen In~urcd Quality Muni. Fond

FINANCIAL DISCLOSURE REPORT Page 8 of 9

s ...... fv ..... Reporting ItEARTFIELD, TilAD

DateofReport

05/13/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

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 "Fax-l!xcmpt Fund (page 6. line 50) \~as not exerted in 2008 and, therelbre, not listed on the 2(108 report because it is 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 have been l lstcd as 08/15/25 and has been corrected on the 2009 report. The listings of Citicorp Trust Flank anti Citibank N.A.S.D. Bank Dcp~.~sit Program (2008 report, pz~ge 7, lines 58 & 59 rcspectivcly) were t:ot included in the 2009 report 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 or decrease in their share values ($1.00 = $1.00); but, they did earn individends.

FINANCIAL DISCLOSURE REPORT

Page 9 of 9 IX. CERTIFICATION.

~ ..... fP ..... Reporting HEARTFIELI), TIIAD

DateofReport 05/13/21)10

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, lrue, and complete to the best of my knowledge anti belief, and that any informalioo not reported was ~ithheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of glfts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U,S.C. 7353, and Judicial Conference regulations.

Signat~

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

hey. I/2OLO

,~o lo

[
[

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S.D.C. (TEXAS EASTERN) 5a. Report Type (check appropriate type) [] Nomination, Date [] Annual [] Final

R,,po,t Required by the Ethics

in Government Act of 1978

0 u.s.c, app. ,~9" 161-111)

3. Date of Report 05/5/2010 6, Reporting Period 01/01/2009 to 12/3112009

i. Person Reporting (last name, firsl, middle initial) HEAI~,TFIELD, THAD 4. Title (Article 111 judges indicate acm.e or senior slatus; magistrate judges indicate full- or part-litr~c) DISTRICT COURT JUDGE (SENIOR)

[] Initial

5b. [] Amended Report 7. Chambers or Office Addres~ 300 WILLOW STREET, RM. 212 BEAUMONT, TEXAS 77701 8. On the basis of lhe information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable la~*s and regulations. Reviewing Officer Date

IMPORTANT NOTES: The i~t~tructions accompunying this form must be followed, Complete allparts,
checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I. POSITIONS. ~,o,a~o ~az~ia~ot o~.~ ~oe ~.

~
I.
2.

NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/[NTI~

3.
4. 5.

II. AGREEMENTS. ~.~,,,.,~.~.ai,~a..t,,,,~:~,..e.. ~4-~o/~.,~i ........ .~..~

~ NONE (No reportable agreements.) DAT~
I.

_
~.~ PARTIES AND TE~S ~

~ ....

"

Heartfield, Thad

FINANCIAL DISCLOSURE REPORT Page 2 of 9

r~ .... Person Reporting f

Date of Rept~r!

|l

IIEARTF1ELD, TItAD

05/5/2010

Ill. NON-INVESTMENT INCOME. tRepo,,i,g Individual and sp ....

A. Filers Non-Investment Income
NONE (No reportable non-investment income.) DATE

:seep.. 17-24 of-filing instructions.)

SOURCE AND TYPE

~COME
(yours, not spouses)

I. 2. 3. 4.

B. Spouses Non-lnvestment Income - If you were marrled durlng an),portlon of the reporting year. complete this sectlot~
(Dollar amount not required except for honoraria3

NONE (No reportable non-investment income.) DATE

1. 2. 3. 4.

SOI~RCE AND TYPE

IV. REIMBURSEMENTS -,ra.spo.totio.. todg~.g, /oo~, entertai .... t

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

NONE (A~ reportable reimbursements.)

~
I.

DATES

I,OCATION

PURPOSE

ITEMS PAID OR PROVIDED

2.
3. 4. 5.

Name of Person Reporting

Date of Report

FINANCIALpage 3 of 9 DISCLOSURE REPORT

ttEARTFIELD, IIIAD

05,5,2010

V. GI FTS. a,,er,,a,~ ,~o~ ,o,,o ...... a dependent" children; ~ee pp. 28-31 of filing instructions.) [~] NONE (No reportable gifts.) SOURCE
1.

DESCRIPTION

VA LU__~

3.

5.

Vl. LI ABILITIES. a,c~ua,, ,ho,-, o/,p ....... d ae:,,,d,,,, ~hitd,,~:.~,, ,,. s,_-Js o/:~i,# i ....... io,,.)
NONE (No reportable liabilities.)

CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

~.me of P ..... Repor~in~

Date of Reporl [

tlEARTFIELD, TliAD

05i5,2010

VII. INVESTMENTS and TRUSTS - i .... e, ,,,~., ,o,.,~e,,o.s a.cl.a.s ,ho~ oY~V ...... a~.V~.d .... ~,i~...: ."VV. 34-~0,~i~g ~.....io.,,)
~ NONE (No reportable income, assets, or transactions.)

............... A.

---- ;

B? ............

Description of Assels (including t~st ~ts)

Place "(X)" after each asset exempt from prior di~losure

~ Income during rcpo~ng period (2) (I) ~Amount T~e (eg., : C~e I div., rent. : (A-H) or int.) [ A A A A A A A A A Interesl lnteresl Interest Interest lnlerest Royalty Distribution Dividend Dividend None A A A B A A D Interest Interest Interest Interest Dividend Dividend Dividend

Gross ~alue at end of reposing period (1) (2) Value Value ~ Code 2 Method Code 3 [ (J-P) (Q.~) J J K J J J K L L T T T T T T T T T

C.-- ........
(I) Type (e.g., buy, ~cll, rcdemptton~

b. .............
"Fra~soctions during rcpogi~g ~riod [ (2) ~ (3) (4) Gain Date ~ Value ~m:Wdd/yy : Code 2 Code I (J-P) (A-Ill [ [5) Identity buycr,seller (if private transaction)

1. 2. 3. 4. 5. 6. 7. 8. 9. i0. I 1. 12. 13. 14. 15. 16. 17.

Western National Lil~ Ins. Co. Western National Life Ins. Co. Wachovia Bank, Checking Wachovia Bank, Checking Wachovia Bank, Checking Anadarko Petroleum Corp. General American Universal IAfe UP, S P~IA UBS IRA#1 Money Market U.S. Treas strips 5/15,09 Fed lloJne Loan Bank 5.69 4/27i09 FIII.MC Mtn Callable 5.0 1/30/14 FftLB Callable 5.0 6/26/18 FNMA Call 5.4 2/23/17 Alliance Bernstein Grth & Inc MS Equally Weighted S&P 500 Fund Oppenheimer Strategic Income

Redeemed Redeemed Redeemed Redeemed Redeemed Sold Sold L T

05115/09 4/27/09 1/7/09 03/26/09 04/06~09 :

L K K

F A A

02/19,09

FINANCIAL DISCLOSURE REPORT Page 5 of 9

r~ ....reer$o. Repo.i.~
ilEARTFIELD, TllAD

05/5/2010 !

VII. INVESTMENTS and TRUSTS - i ......... lue, i ....... tions (Includes those of sp ........ d dependent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.) Descriplion of Assets (including t~st assets) Place"(X)" after each asset exempt from prior disclosure [ ~ Income during ~ Gross ~alue at end reposing period ~ of reporting period (I) " (2) (D (2) I Amount [ Type (e.g., Value Value [ Code 1 [ div.,rent, C~e 2 Meth~ :1 (A-It) ,[ or int.) (J-P) C~e 3 {Q.~ ~ ~ T~nsactions during reposing

(~
T~e (e.g, buy, sell, redemption)

[ (2)

t Date [m~d~yy [ I

Value [ Gain C~e 2 ] Code I ~ {J-P) , (A-H) . ]

(3) ~

Identity of buyer/seller (if private transaction)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

Federated Bond Fund Davis New York Venture PimcoTotal Return Fund Bond Fund of America EuroPacific Growth Growth Fund of America Invcstraent Co. of America Greenwood Tntst CD 7.00 CPN 1/26/10 Discover Bank CD 6.95 8/9/10 Discover Bank CD 6.8 9/7/I 0 Providian Natl CD 6.10 3/7/11 ItTF Amer Growth Fund HTF Amcrican Grth & Income HTF American Global Grth HTF Franklin Mutual Shares Amcr Funds I ligh Income Merrill Lynch Note 5.0 1/15/15

D A D C A A A A A A B

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest Interest Interest None None None None

T Sold 02/19/09 K A

M L

T T Sold Sold Sold 02/19/09 02/19/09 02/19/09 L K L A A A

J J J K L K L K M K

T T T T T T T T T T

D B

Dividend Interest

FINANCIAL DISCLOSURE REPORT

N .... [P .... Reporting I |IEARTFIELD, TIlAD I

Dateof Repo. 05/5/2010

Page 6 of 9

VI I. INVESTMENTS and TRUSTS - ~ ........ .~,,, ...... ao.~ (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (~ reportable income, assets, or transactions. Description of Assets (including I~ ~.ts) Ptace"(X)"a~er each asset exempt from prior disclosure Income during reposing ~riod Amount I Type (e,g. ~ C~e I : ~iv.,rent. (A-II} ~ o~ inL) Gross value at end of reporting period Value C~e 2 [J-PJ ~ Value Method Code 3 ~ [ ~ Type (eg., buy sell. ~1 redemption) "[ran~ctions during reporting ~ri~

] Date ~ Value mm,ddyy : C~e 2 (J-PI

Gain : Code I ~ (A-H)

Idcnlity of buyer/seller if private

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Vanguard REIT ETF Doral Bank Catano PR 2.80 719/12 CIT BK Salt Lk 3/25 7/8,/13 Goldman Sachs BK 3.50 2/4/14 Goldman Sachs BK 3.15 2/4/16 1 Shares I Floxx In,, Grade Fund I Sh,ues Batclays I-3 yr Treas Fund 1 Shares Barclays Aggregate Bnd Fund I Shares Barclays TIPS Bnd Fnd I Shares Barclays 3-7 yr Tsy Fund UBS IRA #2 Money Market ttT|: Arnerican Growth & Income lIT|: American Growth HTF American Global Growth HTF Fr;mklin Mutual Sharc~ FFI Institutional Tax-Exempt Fund (ntoney mkt.) Tortoni Co. TX College 3.5 due 2115/10

D A A A A B A B B A A

Interest Interest Interest Interest Interest Inlerest Interest Interest Interest Interest Interest None None None None

M K K K K K K L L K J K K K K L K

T T T T -r T T T T T T T T T T T U

Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy

4/22/09 6/29/09 6/30109 1/27/09 1/27/09 4;22;09 6/29;09 04/2Z/09 04/22109 06/29109

L K K K K K K L L K

A B

Dividend Interest

FINANCIAL DISCLOSURE REPORT

n .... fPer$on Reporting

Page 7 of 9 VII. INVESTMENTS and TRUSTS - i ........

n~ArTF~EI.D, t~IAD

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

,~, .....................
Dcscriptlon of Assets {int:luding trust a~sets) Place "(X}" after each asset exempt from prior disclosure

U. ......
Amount Code I IA-H) Type {e.g., di.., rcnl, or inf.) Value Code 2 [J-P}

c.
Gros~ ,,,aloe a{ end of reporting period

"

O. - .....
Transactions during ~eporhng period Va~ue { Date [mrrvdd./),y Code 2 I (J-P} ! I Gain Code I {A-HI

Income d~ring i reporting period

i {d---i ~_,~

~,~ ~-i~i

71~ ~ ............~ <4~

Type (e.g, bu~,, sell, redemption}

---~3~ ...........
Identity of buyer/seller {if private I~ansaelion~,

........................ ~ .........
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. San Antonio. TX ISD 3.0 due 8/15110 San Antonio TX Electric & Gas 5.25 due ~1/I I Spring TX ISD 4.4 due 8;15/11 Houston TX Area Water 5.5 due 3/1,12 San Antonio TX Water Rev. 5.0 due 5/15!13 San Antonio TX Electric & Gas 5.25 due 2/1/14 TX Water Dcvelopmt Board 5.0 dne 7/15/21 TX Tech Univ. Revs. 5.0 due g/I 5/25 Harlandale TX ISD 4.75 due g/15/36 Dallas "rx ISD 4.25 due 8/15/10 Nm.,een Insured Premium Income Fnnd Nuveen Insured Quality Muni. Fund Nuveeo Insured Muni. Opportunity I-und B C B B B B B B C B B A A Interest Interest Interest Interest Interest Iotetest Interest Interest Interest Interest Dividend Dividend Dividend K K K L K K K K K L K L

Value Method Code 3 (Q-w1 U 13 U U U U U U U

_2__ __.. _a_ ..............................

Sold U U U

9,1/09

FINANCIAL DISCLOSURE REPORT Page 8 of 9

[ N.mofP ..... Reporting

Da~eofR,port

0515/2010
[ tlEARTFIELD, TIIAD

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 Western National Life Ins. Co. and it is sti[I an annuity.

FINANCIAL DISCLOSURE REPORT

Page 9 of 9 IX. CERTIFICATION.

Name of Person Reporting

Date of Report 05/5/2010

[ IIEARTFIEI.D, TIIAD

I certify that all information given above (including information pertaining to my spouse and minor 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 statutory provixions permitting non-disclosure. I further certify that earned income from out~ide employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 ct. seq., 5 U.S.C, 7353, and Judicial Conference regulations.

Signator~

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRI~41NAI, SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544