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Judicial Watch • Thad Heartfield – 2006

Thad Heartfield – 2006

Thad Heartfield – 2006

Page 1: Thad Heartfield – 2006

Category:Federal Judges

Number of Pages:18

Date Created:September 11, 2007

Date Uploaded to the Library:October 19, 2013

Tags:HEARTFIELD, Thad Heartfield, American, Market, 2006, transactions, dividend, IRS, ICE, CIA, Federal Judge, income, Judge


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Person Reporting (last name, first, middle initial) HEARTFIELD, THAD Court Organization U.S.D.C. (TEXAS EASTERN) Date Report 06/27/2007 Title (Article III judges indicate active senior status; Sa. Report Type (check appropriate type) Reporting Period 
magistrate judges indicate full-or part-time) 
DISTRICT COURT JUDGE (ACTIVE) Nomination, Initial Date Annual Final 01/01/2006 12/31/2006 
 
Sb. Amended Report Chambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance 
300 WILLOW STREET, RM. 212 with applicable laws and regulations. 
BEAUMONT, TEXAS 77701 
Reviewing Officer Date 
 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Repordng individual only; see pp. 9-13 ofinstrucdons.) 
[!] NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 	.......  ..... :::0c-: 
r--71 
L.... 
c 
c:: ... 
u;:-C) 
II. AGREEMENTS. (Repordng individual only; see pp. 14-16 instructions.) 
[!] NONE (No reportable agreements.) (fl a}> 
-rii....,., 
PARTIES AND TERMS 
()rri (fl Spouses Non-Investment Income -IJyou were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
IKJ NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainment 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) 
IKJ NONE (No reportable reimbursements.) SOURCE DESCRIPTION 
 
Date Report 
Name Person Reporting 
06/27/2007 
HEARTFIELD, THAD GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
[RJ 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
[RJ NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION 
 
 
Name Persan Reporting 
Date Report 
HEARTFIELD, THAD 
06/27/2007 
VII. INVESTMENTS and TRUSTS -income, varue, transactions r1nc1udes those the spouse and dependent children. see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Gross value 
(including trust assets) period 
reporting period 
Description Assets IQcome dl!ring 
Transactions during reporting period 
(2) 
(1) (I) 
(2) 
(4) 
(5) 
(3) 
Place (X) after each asset :Amount Type (e.g. 
Value Value exempt from prior disclosure div., rent, Code Method (A-H) int.) (J-P) Code3 (Q-W) 
lc.k 
Annuity Ins. Co. (AIG) Interest Annuity Ins. Co. (AIG) Interest 
Type (e.g. buy, sell, redemption) Date Value Month -Code Day (J-P) Gain Code (A-H) Identity buyer/seller (if private transaction) 
Southtrust Bank, Checking Interest Southtrust Bank, Checking Interest 
Southtrust Bank, Checking Interest 
Hebbronville State Bank Stock None Sell 3/21 
Anadarko Petroleum Corp. Royalty 
General American Universal Life None 
 
 
UBS RMA Dividend 
10. UBS IRA#! Money Market Interest FICO strips 2/3/08 None 
12. Treas. strips 5/15/09 None 
 
13. 
Fannie Mae (FNMA) 6.15 12/10/07 Interest 
 
14. 
Fed. Home Loan Mortgage (FHLMC) 5.125 Interest 10/15/08 
 
 
Fed. Home .Loan Bank 5.79 4127109 Interest 
16. 
FNMA Call Step-up Nts 4.0 9/21112 Interest 
 
17. 
FHLMC Callable 4.625 5/28/13 Interest Income Gain Codes: 1,000 less =Sl,001 -S2,500 =S2,50 -S5,000 =$5,001 -Sl5,000 15,00 -S50,000 
{See Columns and 04) =SS0,001 -SI00,000 =SI00,001 -$1,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 Value Codes 15,000 less K=Sl5,00l -S50,000 =S50,00I -SI00,000 =SI00,001 -S250,000 
{See Columns and 03) =S250,00I -$500,000 =$500,001 -Sl,000,000 =Sl,000,001 -SS,000,000 =S5,000,001 -S25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than S50,000,000 =Cash Markel 
(See Column C2) =Appraisal =Other =Assessment =Book Value =Estimated 
 
Date Report 
Name Person Reporting 
06/27/2007 
HEARTFIELD, THAD 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes thse the spouse and dependent children. see PP 34-60 filing instructions.) 
NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end 
(including trust assets) reporting peno reporting peno 
Transactio during porti_ng peri 
(I) Type (e.g. buy, sell, redemption) (2) Date Month-Day (3) Value Code (J-P) Gain Code (A-H) Identity buyer/seller (if private transaction) 
 
(1) 
- 
 
Place (X) after each asset Type (e.g. Value Value Code 
exempt from prior disclosure div. rent, Code Method (A-H) Ior int.) (J-P) Code (Q-W) 
18. FHLMC Mtn Callable 5.0 1/30/14 Interest Buy 
3/1 
19. 
FHLMC Step Mtn 4.5 10/15/16 Interest 
 
20. 
FHLB Callable 5.0 6/26/18 Interest 
 
21. 
Alliance Bernstein Grth Inc. Dividend 
 
22. Equally Weighted SP 500 Fund Dividend 
 
23. 
Oppenheimer Strategic Income Dividend 
 
24. 
Federated Bond Fund Dividend 
 
25. 
Davis New York Venture Dividend 
 
26. 
Pimco Total Return Fund Dividend 
 
 
Bond Fund Amer. Dividend 
28. 
EuroPacific Growth Dividend 
 
29. 
Growth Fund America Dividend 
 
30. 
Investment Co. America Dividend 
 
31. 
First USA Bank 5.75 2/28/06 Interest Redemption 2/28 
 
32. 
Greenwood Trust 7.00 CPN 1/26/10 Interest 
 
 
Discover Bank 6.95 CPN 8/9/10 Interest 
34. 
Discover Bank 6.8 CPN 917/10 Interest Income Gain Codes: =SI ,000 less =51.00t -52.500 =$2,50 -S5,000 =S5,00t -St5,000 15,00 -$50,000 
(See Columns and D4) =550,001 -$100,000 =5100,00t -St,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 Value Codes 15,000 less =5t5,00t  $50,000 L=550,00t -SI00,000 =SIOO,OOt -5250,000 
(See Columns and DJ) =5250,001 -5500,000 =$500,001 -Sl,000,000 =Sl,000,001 -55,000,000 =$5,000,00  525,000,000 Value Method Codes =$25,000,001  S50,000,000 =Cost (Real Estate Only) =More than $50.000,000 =Cash Market 
(See Column C2) =Appraisal V=Other =Assessment =Book Value =Estimated 
 
Date Report 
HEARTFIELD, THAD 
06/27/2007 
VII. INVESTMENTS and TRUSTS NONE (No reportable income, assets, transactions.) Description Assets Income !il!ring Gross value !!I en 
-,:1-)> 
PARTIES AND TERMS -!) ,.,, _JI. 
 
 
 
Date Report 
05/03/2007 
HEARTFIELD, THAD 
III, N-INVES TMENT INC ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
INCOME 
(yours, not spouses) 08/0712006 Attorney fee from Chapter Trustee regarding Troy Dodson 4860 Construction Co., Inc. (originated mid-l 980s) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
 NONE (No reportable non-investment income.) 
 
AND TYPE 
 
IV, REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependeni children. See pp. 25-27 instructions.) 
 NONE (No reportable reimbursements.) 
 
 
 
V GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
[R] NONE (No reportable gifts.) 
DESCRIPTION VALUE 
 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
[RJ NONE (No reportable liabilities.) 
DESCRIPTION VALUE CODE 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those the spouse and dependent children. see PP 14-60 filing 1nstructwns.J NONE (No reportable income, assets, transactions.) 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (1) (2) (1) (2) (3) (4) (5) 
Amount Type e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code2 Method buy, sell, Month Code2 Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
Description Assets (including trust assets) 
Place (X) after each asset exempt from prior disclosure 
Annuity Ins. Co. (AIG) Interest 
Annuity Ins. Co. (AIG) Interest 
Southtrust Bank, Checking Interest 
Southtrust Bank, Checking Interest 
 
 
Southtrust Bank, Checking Interest Hebbronville State Bank Stock Dividend Sell 3/21 
Anadarko Petroleum Corp. Royalty aeneral American Universal Life None 
UBS RMA Dividend 
IO. 
UBS IRA#l Money Market Interest FICO strips 2/3/08 None 
12. Treas. strips 5/15/09 None 
 
13. 
Fannie Mae (FNMA) 6.15 12/10/07 Interest 
 
14. 
Fed. Home Loan Mortgage (FHLMC) 5.125 Interest 10/15/08 
 
15. 
Fed. Home Loan Bank 5.79 4127109 Interest 
 
16. 
FNMA Call Step-up Nts 4.0 9/21112 Interest 
 
17. 
FHLMC Callable 4.625 5/28/13 Interest Income Gain Codes: =$1,000 orless =$1,00 -$2,500 =$2,501 -S5,000 D=$5,001 -SJ5,000 =$15,001. $50,000 
(See Columns and D4) =$50,00  00,000 =SI00,001 -SI ,000,000 1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -S50,000 =$50,00 -$I 00,000 =SI00,001 -$250,000 
(See Columns and 03) N=S250,00I -$500,000 0=$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,00 -$50,000,000 =Cost (Real Estate Only) =Mo than $50,000,000 T=Cash Market 
(See Column C2) Q=Appraisal V=Other =Assessment =Boo Value =Estimated 
 
 
Date Report 
05/03/2007 
HEARTFIELD, THAD 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing 
instructions.) NONE (No reportable income, assets, transactions.) 
Income Gain Codes: =St ,000 less 1,00 -S2,500 =S2,501 -SS,000 D=SS,001 -SIS,000 15,00 -SS0,000 (See Column and 04) =$50,00 -SI 00,000 I00,00 1,000;000 =Sl,000,001 -$5,000,000 =More than SS,000,000 
Value Codes 15,000 less K=Sl5,00l -S50,000 =SS0,00 I00,000 I00,00  $250,000 (See Column and DJ) =S250,00I  SS00,000 =SS00,001  Sl,000,000 =Sl,000,001  SS,000,000 =SS,000,001  S25,000,000 =S25,000,00I -S50,000,000 =More tha SS0,000,000 
(See Column C2) V=Other 
Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal ssessmcnl =Book Value =Estim 
ated 
 
Date Report 
05/03/2007 
HEARTFIELD, THAD 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the spouse and dependent children. See PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
Place (X) after each asset exempt from prior disclosure 
35. 
Providian Nat! 6.10 CPN 317111 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (l) (2) (I) (2) (3) (4) (5) 
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) Interest 
36. 
Hartford Select (HTF) Leaders Var. Annuity 
 
37. 
HTF Amer. Growth Fund Dividend Buy 6/26 
 
38. 
HTF American Orth. Income Dividend Buy 6/26 
 
39. 
HTF American Global Grth Dividend Buy 6126 
 
40. 
HTF Franklin Mutual Shares Dividend Buy 6/26 
 
41. 
HTF MFS Total Return Sell 6/26 
 
42. 
UBS IRA#2 
 
Hartford Select Leaders Variable Annuity (HTF) 
44. HTF American.Growth Income Dividend Buy 6/26 
HTF American Growth Dividend Buy 6/26 
46. HTF American Global Growth Dividend Buy 6/26 
HTF Franklin Mutual Shares Dividend Buy 6/26 
HTF MFS Total Return Sell 6/26 
49. 
Money Market Dividend 
 
50. 
Nuveen Insured Muni. Oppor. Fund Dividend 
 
51. 
Nuveen Insured Quality Muni. Fund Dividend Income Gain Codes: 1,000 less =SI ,00 -S2,500 =S2,50 -$5,000 =SS,00 15,000 =SI S,00 -S50,000 
(See Columns and 04) =S50,00 -SI 00,000 =SI00,001 -Sl,000,000 =Sl.000,00t -$5,000,000 =More than SS,000,000 Value Codes =SI S,000 less K=SIS,OOt -SS0,000 =SS0,00 -SI 00,000 =SIOO,OOl -S2SO,OOO 
(See Columns and DJ) =$250,001 -SS00,000 =SS00,001  Sl,000,000 =Sl,000,001 -S5,000,000 =S5,000,001 -$25,000,000 Value Method Codes =S2S,000,001 -$50,000,000 =Cost (Real Estate Only) =More than SS0,000,000 =Cash Market 
(See Column C2) =Appraisal =Other =Assessment =Book Value =Estimated 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Inco Gain Codes: =SI 0000 less =St .00 -S2,500 =$2.501 -S5.000 =S5,00I -$15,000 E=Sl5,00l S50,000 
(See Columns and 04) =$50,001 -$100,000 G=SIOO,OOl -Sl.000,000 =$1,000,001 -$5,000,000 =More than S5,000,000 Value Codes 15,000 less =$15,001 -S50,000 L=S50,00I -SI00,000 =SI00.001 -$250,000 
(See Column and 03) N=$250,001 -$500,000 o=$500,001 -Sl.000,000 =$1,000,001 -$5,000,000 =ss,000.001 -s25.ooo.ooo Value Method Codes =s2s,ooo.001 -s5o,ooo.ooo =Cost (Re Estate Only) =More than S5o.ooo.ooo ash Market 
(See Column C2) =Appraisal V=Other =Assessm ent 
U=Book Value W=Estimated 
 
 
Date Report 
05/03/2007 
HEARTFIELD, THAD 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReporL) certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544