-

NAME OF ORGANJZATION/ENIJTY

-·-- ------ ----- ---------

-----�....-- ---

PARTIES AND TERMS

..

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Gorernmcnt Act of 19 78 Rev. J/20JO FOR CALENDAR YEAR 2009 (5 US.C. app. §§JOI-I 11)

I. Pen on Reporting (List 11arnc, first. middle m1t11I)

llEAKl FIELD, THAD

2. Court or Oq anizatifln

U.S.D.C. (TEXAS EASTERN)

3. Darr or Rrport

05!13/2010

4. Title (ArtH.·le m judges indicate udivc or ::.cnior :,t.:ltu : magi.:i'.ratc judges ir.Jil.'atc full· or rart·lime)

DISTRICT COURT JUDGE (SENIOR)

5a. Report Type {check appn.lpnatc type)

D Numin

SOURCE

--- --------

INCOME

------ --------- ----------- ·---- ----·--------- -----

rc:t/Ulrc ..

SOURCE AND TYPE

d• . .'JlnrJi:nt

SOURCE LOCATION PURPOSE ITEMS PAID OR f'ROVIDED

FINANCIAL DISCLOSURE REPORT

Page 2of9

Nome of Perscn Reporting

llEARTFIEI.O, THAD

Date of Rtport

05/13/2010

HI. NON-INVESTI\-1ENT INCOME. (1!.eportin11 individual and spouse; see pp. 17-U of filing in>trnctfons.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-i11vest111e11t income.)

I.

2.

3.

4.

AND TYPE

--- ----------

(yours, not ;pousc's)

B. s po u SC Is Non-In vcstmen t Income - 1/)'011 "''" married during •n)' prirtion of /he reporting year, C1>mplrle this m·tiofL ( [h;ll 1r am1nmt no/ ·d e.rnpl for honoraria)

[ZJ NONE (No reportable no11-im,est111enl income.)

I.

2.

1.

4.

IV. RE IMB URSEJ\lENTS -- transporlalfon, lodi:ing.food, entertainmen/.

(lncJudC!s 1/w)e ICI J/)(>10,: 1,mJ children; .H'C pp. 25·27 o/filinx in.nructium J

[{] NONE (No reportahle reimlmnemems.)

I.

2.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DL SCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT

Page 3of9

Name or Ptnon Rcporting

HEARTFIELD, TIIAD

V. GIFTS. (Tndud J tho.fe lo :.pouu and dept>ndt•nt children; see pp. 28 31 offilin;.: instruction .)

I.

1.

4.

5.

Date or Rtport

05/l3/201 0

[2J NONE (No reportable gijis.)

VI. LIA BJ LI TJ ES. (Includes tho." of spou.

i_ -·

, I

.. J

I

(I) i (2)

I

(2)

I !

I

I

I

i I

I

c.

(2)

(Q-W)

. I ·oj-T (4J -,- . Type(cg.

Date or Report Name of rrrson Rt'portlng FINANCIAL DISCLOSURE REPORT Page 4 of9 051131 010llEARTFIELD, THAD

VII. INVEST!VIENTS and TRUSTS --income. •• 1""· transaflion.• (Include..· 11tost of.•pou>< and Jep•m1

' '

'

I

i I I

(2) r (I)

. I. - ..

L

(2) (J) I (5)

i ; I

I '

: I

I

i I

FINANCIAL DISCLOSURE REPORT Page 5 of9

Name of Person Reporting

llEARTFIELO, THAO

Date of llcport

05/1312010

VII. IN\7ESTIVIENTS and TRUSTS - income, •·atue, transactions (Include> thou ofspouu and depenaentchitdren.- ''"pp. 34-60 of fitinK imrruction.•.J

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

18.

19.

20.

21.

22.

23.

24.

'25.

26.

27.

28.

19.

30.

31.

32.

33

34.

A.

Description of Assets

(including rmst ass..:ts}

Place "(X)" after each asset exempt from prio1 disclm.urc

Federated Bond Fund

Davis New York Venture

Pimco Total Return Fund

Bond Fund of America

EuroPaci tic Growth

Growth Fund of Am rica

Investment Co. of America

Greenwood Trust CD 7.00 CPN 1126/J 0

Discover Hank CD 6.95 R/9/10

Discover Bank CD 6.8 9/7110

Providian Nat'! CD 11. 10 3/7/11

HTF Amer Growth Fund

llTF Americon

1 35. I

l j i I

i ! s1.

(2)

K

I _l

-·-i........_·----. -. '-------L...-..--

I I

! I I i

I I

I l

I

I

I I I

2

Date of Report Name of Person Rtpnrting FfNANCIAL DISCLOSURE REPORT

Page 6 of9 0511312010HEARTFIEL!l, 'rllAll

vn. INVESTl\.'IENTS and TRUSTS - income, l'Olue, tram action.• (lucludes tho.oo.ooo L •\50,flOI -1100.001 • S 0.000,UIJtl l'..t · Mi!re 1n11n i)O,O!Ml,t if) 3. Value f\il:llil1J Co.!> ·Hmcnl

iSt:t Cuh111111 C.:J II ..f111(1k Va!tl\" v oc(J1h1.:1 v,: · J:s!1"11,\lt•d

uvccn

i j

B L

(2) (3) (4) Gam

j_

(5)

l I

I

- ----�.-- ----- -

(I)

,,- ·

53.

54.

55.

56.

57.

58.

59.

'60.

i 1 61.

A. Desc1ipr10n 0f Asstts

(including lrusr assets)

Pta..:-c ''(XJ" ofter "ach asset excmpl from priN disclusun:

San Antonio , TX !SD 3.0 due 8/15/10 San Antonio TX Electric & Gas 5.25 due 211 II I

Spring TX TSD 4.4 clue 8/ 151! I

Houston TX Area Weta 5.5 due 311/12

San Antonio TX Water Rev. 5.0 due 5/15113

San Antonio TX Flectric & Gas 5.25 due 2/ 1114

TX Water Dcvclopml Board 5.0 due 7/15121

TX Tech Univ. Revs. 5.0 due 8i 15/25

llarlandale TX \SD 4.75 due 8/15/36

Dallas TX ISD 4.25 due I\ 5/IO

l11s11n;cl Premium lnnH11c FunU I

63 Nuvccn h1>urcd Quality Muni. Fund 64. Nuvcen lmureu Muni. Oppur1u111ty Funu

ll. Income drnfrg

rr::port ing period

(l)1 Amount ICode I .

(A-11) :

c

B

u

B

u

fl

ll

c

ll

El

A

A

12)Type (e.g., div., rcnL.

or int)

Interest

Interest

lntere>t interest

Interest

Interest

Interest

fn\erest

Interest

Interest

Dividend

Dividend

Dividend

--C --- , -------- -D.

Gross value at end I Tra:isacti\1ns Coltmn C2) ll -H1wl. 'value V -Otha \I/ •l:st1ni.1rci1

Date ofR•port Name of Person Rcpor-ting FINANCIAL DISCLOSURE REPORT

Page 8 of9 05/13/2010llEARTFIELO, THAO

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndhareparto/Repc>rt.)

VII. Investments and Trusts

Numbers I and 2 have changed their name from Annuity Ins. Co. (AIG) to Western National Life Ins. Co. and it is still an annuity.

In the 2009 report, the listing of FF! ln>lltutional Tax-Exempt Fund (page 6. linc 50) \\as not owned in 2008 and, therefore, not listed on the 200S report because ii is a money market vehicle which is invested or redeemed to meet the cash flow needs of the investment account. It docs not increase or decrease in its share value (S 1.00 = $1.00); but, it does earn dividends.

1 he TX Tech University bond (page 7, line 59) was listed"" the 2008 repc1rl, bul the maturity date of 02115112 on that report wa., wrong; it should have been !isled as 08/ I 5/ 5 and has been corrected on the 2009 report.

The listings of Citicorp Tnist Bank and Citibank N.A.S.O. R"nk Deposit Program (2008 report, page 7, lincs 58 & 59 respectively) were not included in the 2009 report because they are money market vehicles which are invested or redeemed to meet the cash tlow needs of the investment account. They did not increase or decrease in their share values ($1.00 = $1.00); but, they did earn individends.

l>t. :>Ul>Jt.L 1

Date of Report Name of Ptrson Report in FINANCIAL DISCLOSURE REPORT

Page 9 of 1U.l'UK I !ll/\ r 1 U UV IL AND CRl/\llNAL SANCTIONS (5 U.S.C. app. § 104)

flLING INSTRUCTIONS

Mail signt:d original and 3 additional copies to:

Committct: on Financial Disclosure Administrative Office oftbc United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

_ j

POSITION

'

P8B.IIES 8ND TERMS

c

; j

==< .

.. I

--

f;Y

I.

Repart Required hy tht• Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of /978Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-1I1)

1. Penon Reporting (last name. firsl, middle initial)

HEARTFIELD, THAD

2. Court or Organization

U.S.D.C. (TEXAS EASTERN)

Sa. Report Type (check appropriale type)

D Nomination, Date

D Initial [Z] Annual D Final

3. Dat• of Report

05i5/2010

6. Reporting reriod

01/01/2009 lo

12131/2009

4. Title (A ruck 111 judges indicate acn•e or senior slat us; m:Jgi:-.trnlc judges inn or Oflict Addrru

300 WILLOW STREET, RM. 212 BEAllMO:-.IT, TEXAS 77701

8. On the buis of the information contained in this R port and any modifications putaining thereto, it is, in my opinion, in compliance '"·Uh applic2ble laws and regulationJ.

RcYiewing Officer Date --

Jjl,f PORT ANT NOTES: The instructions acwmpunying this form mus/ be followed. Complete all parts, chtt·king the NONE box for euch par/ where J'OU ha••I.' no reportable information. Sign on last page.

J. POSITIONS. (Reprmingindividua/unl)';s

SOURCE

SOURCI: LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page 2 of9

Date of Report Ntme of Person Reporting

051512010IIEARTFIELD, THAD

II I. N 0 N-INVESTMENT JN C 0 ME. (Reporting lndMdua/ and spouse; supp. 17-U of filing imtructit>n.•.)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

(yours, not spouse's)

2.

3.

4.

B. Spouse's Non-Investment Income - I/you were married during any porrlon ofthe reporting year, complete this section. (Do/for amounl not required except/or honnraria.)

[ZJ NONE (No reportable non-investment income.)

AND TYPE

I.

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmtnL (Includes thOlt: It> spo11:;e anJ d penJmt lhi/Jrer1; see pp. 25·27 ojjiling instrnC"lionr.)

[ZJ NONE (No reportable reimbursements.)

I.

2.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION VALUE CODE

05/512010

FINANCIAL DISCLOSURE REPORT

Page 3 of 9

Datt of Report Namr of Person Reporting

HEARTFIELD, TllAD

V.. GJFl"S. (lncludeJ chose to spouse and dependenf cliildren; lee pp. 18·11 of filing instructions.)

l2J NONE (No reportable gifts.)

I.

2.

J.

4,

5.

VI. LI ABILITIES. (Includes those of spous• and depmdent chi/d,,n; .

i

'9.

-- ---

- --- ----(I) (2)

J__

(I) I -- (3) (4) (2)

!

I

I !

(I)

Dale or Rtport Name of Penon Reporting FINANCIAL DISCLOSURE REPORT Page 4of9 OSiS/2010HEARTFIELD, THAD

VJI. INVESTMENTS and TRUSTS - income, value, uansactions 11nc1udes thou ofspouu and Jepcndenr c1ii/Jrcn: see PP· 14-60oJfiling1nllruc1ions.) D NONE (No reportable income. assets. or transactions.) -·-

A. B. ---- C. D. Description of Ass ts Income during TrJnsactions during reporting period - Gross \alut: at end (including trust assets) reporting period of reporting period

Place "(X)'' after each asset :Amount m (5)I

Type (e.g .. Value Value Type (e.g .. Date Value Gain Identity of e,.,empt from prior disclosure : Code I div., rent. Code 2 Method buy. ell, 'mrn'ddiyy Cude 2 Code 1 buyer/seller

(A-H) or int.) (J-P) Code J n::Jcmpttonl (J-P) (A-HI (if prii.·atc i

\Q-\.\') 1ransaction)·---·-I.

2.

J.

4.

5.

6.

7.

8.

10.

11.

12.

13.

14.

IS.

Western National Life Ins. Cu.

Western National Life Ins. Co.

Wachovia Bank, Checking

Wachovia Bank, Checking

Wachovia Bank, Checking

Anadarko Petroleum Corp.

General American Universal Life

UBS RMA

UDS IRA#! Money Market

U.S. Treas strips 5/15/09

Fed llome Loan Bank 5.69 4127109

Fiil.MC Mm Callable 5.0 1 /30/14

FHLU Callable 5.0 6/26/18

FNMA Call 5.4 2/23/17

Alliance Bernstein Grth & Inc

A Interest J T

A lnteresl J T

A Interest K T

A Interest ] T

A Interest J T

A R oya lly J T

A Distribution K T

A Dividend L T

A Dividend L T

None

A Interest

A Interest

A Interest

B Interest

A Dividend

Redeemed 05115i09 L F

Redeemed 4127109 K A

Redeemed li7/09 K A

Redeemed 03126/09 K A

Redeemed 04106'09 K A

Sold 02119/09 J A

16. MS Equally Weigh1ed S&P 500 Fund A Dividen d Sold 02119!09 J A

17. Oppenheimer Strategic Income D Dividend L T

I tucom(' G.1.IO Codci. A ..,\J.OfKJ(1r kss 'Sl,001 - 12,500 C>ll.5111- Sl.000 D ·S5.0eSSOlCnl

(Sl·c Column C2) U =Hool \'aluc \I .::Qtht"'f W=b1imato.i _!

(2)" ---(1-) --

I

D

i (2) (3)

I

_(Sec um _'- -- -

'"

I

'

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Repon

Page 5 of 9 IIEARTFIELD, TllAD 05/5/2010

VII. INVESTMENTS and TRUSTS - income, ,,.1ue, transa.-iions 11nc1udes those ofspo11se and dependent children;,., PP· 1J-60 offi/in11 in.flme1iorn1 D NONE (No reportable income, assets, or transactions.)

A. B. c.I Description of Assets Income during f Gross .. alue at end Transactions during reporting period

(including trust assets) reporti g__!"' _'.' _ _l_ of reporting period (I) (2) II (I)I

Place ''(X)'' aflcr each as!.cl 1 Amount Type (e.g., Value i Code Iex.empt from prior disclosure div., rent, Code 2 ! (A-II) or inl.) (J-P)

(4) (5) Value Type (e.g., I Date Value Gain Identity of

Method buy, sell, !mm.'dd'yy Code 2 ! Code I buyer/sellerICode 3 redemption) (l-P) (A-11) (if private I I

(Q-W) I I ' transac11on) ____ ..:_____ __ .. - -- - _l ---- . - ____L____l --- -- -----

18. Federated Bond Fund

19. Davis :-.Jew York Venture

20. Pimco Total Return Fund

21. Bond Fund of America

22. EuroPacitic Growth

23. Growth FunJ of America

24. Investment Co. of America

25. Greenwood Trnst CD 7.00 CPN l/26/10

26. Discover Dank CD 6.9 5 8/9/10

27. Discover Dank CD 6.8 917110

28. Providian Nat'I CD 6.10 317111

29. llTF Amer Growth Fund

30. HTF American Grth & Income

31. IITF American Global Grth

32. HTF Franklin Mutual Shares

33. Amer Funds I ligh Income

34. Merrill Lynch Note 5.0 1/15115

D

A

D

c

A

A

A

A

A

A

B

D

B

Dividend L

Dividend

Dividend M

Dividend L

Dividend

Dividend

Dividend

Interest J

Interest J

Interest J

Interest K

None L

None K

None L

None K

Dividend M

Interest K

T

Sold

T

T

Sold

Sold

Sold

T

T

T

T

T

T

T

T

T

T

02/19/09 K A

02/19/09 L A

02/19/09 K A

02/19/09 L A

I'

i I I I

I. tnconk': Gain C

I

o ng I

. Amount

___ _

i 1

i

A.

j ! Type (e.g., [I)

Datt of Re po rt Name nr Person Reporting FINANCIAL DISCLOSURE REPORT Page 6 of9 05/5/2010HEARTFIELD, THAO

v II. INVESTl\IENTS and TRUSTS - income, •·alue, transactions (Includes those ofspome and dependenl children: SU pp. Jl-60 offi/i1111 in.

D

D L

·-'-

'

D:llle or Rt port Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 7 of9 05/512010HEARTFIELD, THAD

VI I. INVESTMENTS and TRUSTS - income, value, 1ransacrions rrnc1udes r1tose ofspouu and dependent children: '"PP· 14.60 of filing ins1ruc1inn,i

D NONE (No reportable income, assets, or transactions.) A B. c.

Description of Assi:ts Income during Gross. value at end Transactions during reportmg period (including trust assets)

Place "(X)" af\er each asset exempt from prior disclosure

rcponing penod of reporting period

(Ii ' m ---(1)--T (2> Amount Code I IA·H)

Type (e.g .. Value

div., rcr.t, Code 2 or int.) tJ·P)

Value Method Codc3

(1) Type (e.g ..

bu}, sell,

redemption)

---·---·-··-- -- ·- ! I (2) (�(4)! (5)I Date Value Gain ld\:ntlly of I!mm;ddlyy Code 2 Code I buycr/sdkr I ; (1-P) (A-11) (if private

;_ · -- --·--· · -(Q-W) -- _;__ transaction)

- ----

52. San Antonio, TX ISO 3.0 due 8/15110

53. San Antonio TX Eleclric & Gas 5.25 due 211/11

54. Spring TX !SD 4.4 due 8/1511 I

55. Housron TX Area Water 5.5 due 311/12

56. San Antonio TX Water Rev. 5.0 due 5115113

57. San Antonio TX Eleciric & Ga< 5.25 due 2/1/14

58. TX Water Devclopmt Board 5.0 due 7115/21

59. TX Tech Univ. Revs. 5.0 tlue 8/15125

60. Harlandale TX ISD 4.75 due 8115/36

61. Dallas TX ISD4.25 due 8115/10

62. Nuvccn Insured Premium Income Fund

63. Nuvcen ln>ured Quali1y Muni. Fund

64. Nuvecn Insured Muni. Opportunity Fund

c

B

B

B

B

B

B

c

B

D

A

A

Interest

Interest K

Interest K

Interest K

Interest K

lntc1est K

Interest L

llllerest K

Interest L

Interest

Dividend K

Dividend K

Dividend K

u

u

u

u

u

u

u

u

u

u

u

u

Sold 9/l/09 K A

iii

I

I. ln..:.1mc (Oiltn

051512010

Dalt of Rtport Name of Ptrson Rtporting FINANCIAL DISCLOSURE REPORT

llEARTFU:LD, THAD Page 8of9

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ntficoteparto/ReporL)

VII. Investments and Trusts

Numbers I and 2 have changed their name from Annuity Ins. Co. (AJG) to Western National Life Ins. Co. and it is still an annuity.

Dale of R•port Name of Pusan Reporting FINANCIAL DISCLOSURE REPORT

Page 9 of 9 05/5/2010llEAIHFIELD, TllAD

IX. CERTIFICATION.

I certify that all infonnation 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 "ilhheld became it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions ofS U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

SignaturE

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND Wll.Fl'I,LY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL 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