Andrew Scott Hanen Financial Disclosure Report for 2009

8/3/2019 Andrew Scott Hanen Financial Disclosure Report for 2009

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,~ o to FINANCIAL DISCLOSURE REPORT t C , p o , t R e q u i r e d b y t h e E # f i c sin Government Act 0/1978~e~. t/2om FOR CALENDAR YEAR 2009 (~ u.sc app. , ~ , ~ m t - t t #

I . Person Repor t ing ( las t nam e. f ir s t , middle tn ilia [ ) 2. Court o r O rganizal ioa 3. Dale of Re~flllancn, Andre~ S. United S ta~es District Court - Texas 05110/2010

4. Title l Anicle 111 judges i~dicate active or senior stat us; So . Report Type ~chcck op probrium lype) 6. RepoSing Per iod~ Nominat io~, l )at 0110112009

United Slates Dislricl Judge- Active ~ Initial ~ Ammal ~ Final to,12/31/20095b. ~ Amended Rcpo~

7, Chambers or Office Address 8. On the bas is of the informat io n onla ln~d in th is Repo r t and anymodif ica t ions per la in lng therlo, i t is , in my opin ion , in co mplianceJudge Andrew S. l lanen ~i lh appl icable la~s and r~ulal ions .600 Eust lla~ison St., #301l]rownsvdlc, Texas 78520 Revie%ing Officer Date

IMPOR TANT NO TES: T l~e instructions accompanying this form must be fol loweg C omplete al l parts ,checking the NO NE b ox fi)r each part wh ere.rou have no reportable information. Sign on last page.

I . P O S I T I O N S . t R ~ , o , , ; ,, ~ individual only; see pp. ~-13 of fiting in.structions.)N O N E (No reportable positions.)

_P~ N A M E O F O R ( 5 ~ ~ N IZ A T IO N /E N T IT YI.2.

I I . A G R E E M E N T S . ( R e p o r l i ,~ i n d i v i d , , a l o n l ) ; s , g p l . 1 4 -1 6 o f f i l in g i n s l r u c f i n n ~ . )[~l N O N E (No reportable agreements.) --~-

DArE P AR T IE S AN D T E R M S c ,o


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FINANCIAL DISCLOSURE REPORTPage 2 of 1 6

Ill. N O N - I N V E S T M E N T I N C O M E . (Rworang indlvidual and.,p .... ; see pp. l T-24 of filing insttuetions.)A, Filcrs Non-investment Income

N O N E (No reportable non-investment income.)D A TE SOURCE AND TYPE I N COM E( y o u r s , n o t s p o u s e s }

I.2.3.

B. Spollses Non-IlivestmeiR lnconle - If you were married during any portion of the reporting year, complete this section.([)oJltJr ~rtlOt/~l l m;I required e~ctT~/. for ho~lot urhT.)~ N O N E (No reportable non-investment income.)

DAT E SOURCE AND TyPE1 . 2 0 0 ~ Self-employed~Attorney2.

3.4.

I V . R E I M B U R S E M E N T S -- Ira~portallon. Iodgittg, fi,od, enterttai ..... t

~ (No r~7:,ortable reimbwwements.)O N E~ O l I R C E ~TES LO C AT IO N PUR PO SE I T E M S P A I D O R P R O V I D E D

I State Bar of TX 5 . 1 1 4 - 5 i l 5 Dallas CLE Pro gram Airl~ re, Ilo lcl, T axi, Parking2.3.4.5 .


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FINANCIAL DISCLOSURE REPORTPage 3 of 16

V . G I F T S . tnctuae., those to Wouse and dependent children; see pp. 2& 3 t of filingN O N E (No reportable

~RCE D E S C R I P T I O N V~LUEI.2.3.4.5.

V l . L I A B I L I T I E S . (Includes those of spouxe and dependent children; see pp. 3 2-33 ,~filing i~truction~)~ 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 I ) EI.2.3.4.5.


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VI !. I N V E S T M E N T S a n d T R U S T S - i .... . . . . . . ~ . t r a n s a c t i o n s I n , l u d e ~ , h o ~ , o f . ~ p , ,u s e u , ,d d e p e n d e n t uhildren; s e e p p . 3 4 - 6 0 ,~filing i~,lruction.~.)N O N E (No reportable income, assets, or transactions.)

A. B. t C ] D. " " "Description of As~~s Income during :~ Gross va lue a t end [ Transactlo~s during reporlmg period(including trust a s s e t s } r~o~ing ~ri~

Place "(X)" aft ...... ..... Aexempt flora prior disclosure C~e I ~ div., rent. Code 2 Ii Mclhod buy. se l l . m m i & U y y[I (~e 2I, C{~IO I buycr;sellet(A H)

~]:. or ini.) (J -P} ~ Code(Q W)3[ r cdemp~ion l ] {JP) II (A-It)(i l priva:e

......... . ........ ~ . , .... ,

I. l RA - Account # I A In terest N T

2. -Treasury Strips

3. -Chase Retiremen! Money Mkl. Resep.,es4. IRA - Account #2 B Dividend J T5. -Aberdeen Developing (See Note I) Sold 0 1 1 ; 2 0 . 0 9 J A6. -Aberdeen Natural Sold 0 1 1 2 0 . 0 9 ) A7. -Aberdeen Op! Sold 0 1 / 2 0 , 0 9 J A

-Aberdeen Int Sold 0 1 . / 2 0 / 0 9 J A9. -Ivy Asset Sold 01/20/09 J A

10 . -Cohen & Steers Global Sold 01/20/09 J A1 I. -Januslnt Sold 01/20/09 J A12. -Janos Ad Sold 01/20/09 J A13. -Jzln|~s Long,Shorl So ld 01/20/09 J A14 1 - Janus F,,r ty Sold 01120."09 J A

15 . -Janu:, Global Sold 01/20/09 J A16 . -Thornburg Global Sold 0 1 1 2 0 , 0 9 J A17 . -Blackro~:k (ilobal So!d 0 1 / 2 0 " 0 9 J A


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FINANCIAL DISCLOSURE REPORT ..... ..... IIage 5 of 16 n ..... A n d r e w S . 0 5 i l 0 / 2 0 1 0NONE (No reportable income, assets, or transactions.)

A. B. C . D .D e s c r i p t i o n o f A s s e t ~ I n c o m e d u r i n g G ro ~ s v a l u e a t e n d Y r a n ~ c t i o n ~ d u r i ~ g r e p o ~ i e g[including t~st a~ets) repomng period o[repoaing peri~

P l a c e " ( X ~ " a f t e r e a c h a s ~ c l . A m o u n t T~e (e g, V a l u e V a l u e ~c (e g . , D ate ] V alue G a i n I d e n t i l y o f~ M e t ho d b u y . s e l l , , m m ? & L ~ , ~ C t ~ e 2 C~e I b u y e r / s e l l e rx e m p t f r o m p r io r d i s c l o s u r e , C t ~ e I & v . r c : ~ t , C o d e 2 ~ ~ :~ (A-Ill o r m r ) [ J P l C ~ t 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[ ~ I Q -W I [ ~ ~ r a n s a c t i o n )

18 . -Blackrock lnt Sold 01/23/09 J A

19 . -Jo hn H anco ck G lo ba l Sold 01/20/09 J A

2 0 . -Merrill Lynch Money Mkt Reserves2 1 . -Ivy Ltd Term Bond B uy 01/20/09 J2 2 . - Ivy LtdTcnn Bond Sold 08/04/09 J A2 3 . -JPMorgan flighbridgc B uy 0 1 / 2 0 1 0 9 J

2 4 . -J PMorgan Highbridg Sold 0 8 1 0 4 1 0 9 J A2 5 . -Managers AMG FQGIobal B uy 01/20,09 J2 6 . -Managers AMG F QGI o ba l Sold 0 8 , , 0 4 / 0 9 J A2 7 . -Loomis Sayles Invt. Grade B uy 0 1 ] 2 0 , [ ) 9 J

2 8 . -Loomis Saylcs Inst . Grade Sold 0 8 / 0 4 1 0 9 J A2 9 . -Goldman Sachs Short Dur. B uy 01t20/09 J

3 0 . -Goldman Sachs Short Dar. Snld 0 8 1 0 4 / 0 9 J A3 I . -DWS Short Term B uy 01/20/09 J3 2 . -DWS Short Term Sold 08/04/09 J A(part)3 3 . - I)WS Short Tcnn Sold 1 1 t 1 9 / 0 9 J A3 4 . -Aberdeen Equily B uy 08/IM/09 J


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FINANCIAL DISCLOSURE REPORT ~ .... fr ..... R ~ p o , t i n ~Page 6 of 1 6 H,,nen, Andrew S. ] 0 5 / 1 0 / 2 0 1 0

VI I. I NVESTM EN TS a n d TRUSTS - i,~ ... . . .,,. t ..... "ti,~, (InUlUd$ tho,,~p ......dependent children: seeNONE (No r~Tortab[e income, assets, or transactions.)

A. ~ .... B. C. " D .I ~ c r i p t~ o n o f A s s e ls j t n c o ~ e d u r i n g G r u s ~ v a t u e a t e ~ d T r a a ~ c t i o n s d u r in g r e p o a m g p e r k ~( i n c l u d i n g l ~ s t a s s e t ~ ) : r~ni~g period of rc~ing pet i~ t

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o tm t [ T y p e ( e . g .. Value ; Value T ~ e (eg., D ate [ V alue G a i n l d e n t i~ o fe x e m p t I T ~ m p r io r d i s c lo s u r e } C~e I : d i v . , r e ~ t , C o d e 2 : M c lh o d b u y , ~ e l l. ~ m m , d ~ ~ y I C o d e 2 ~ C o d e I b u y e r ] ~ l l e r: ( A - H ) o r i m ) (J-P) C o d e 3 r e d e m p n o n ~ [ ~ ( J - P ) ( A - I I ) ( i f p r t ~ a t ~

3 5 . -Aberdeen Equity Sold 1 1 / 1 9 / 0 9 J A(pan)3 6 . -Putnam Diversified B uy 0g/04/09 J

3 7 . -Aberdeen Developing B uy 0 8 / 0 4 ! 0 9 3

3 8 . -Janus Fo rty B uy 08/~ 09

3 9 . -Janus Forty Sold 11/19.09 J A( p a r t )4 0 . -Aberdeen Natural B uy 0 8 , 0 4 / 0 9

4 1 . -Aberdeen Natural Sold 11il9z09 J A

4 2 . -Ivy Asset Slrategi B uy 0 8 1 0 4 1 0 9 J

4 3 . -John Hancock Global B uy 08i04/09 J4 4 . - Joh r l I lancl~ck Global B uy 1 1 / 1 9 / 0 9 J4 5 . -Lo rd Abbct~ B o nd B uy 0 8 1 0 4 / 0 9 J

4 6 . -Lord Abbott Bo nd ~ld 1 1 1 1 9 . 0 9 J A(paUl4 7 . -Calamos Convert ible B ond B uy 08:04/09 J48. -]Zl i lU$ O v e r s e a s B uy : 08/~/09 J4 9 . -Janus O~lsca~ B uy I 1 / 1 9 1 0 9 J

5 0 . -Loomis Saylcs Slratcgic B uy 0 8 / ( M i 0 9 J

5 1 . -Loomis S:ty~es Strategic Sold 1 1 / 1 9 / 0 9 J A( p a r t )


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FINANCIAL DISCLOSURE REPORT ~,,.c ofP .... a e p o r , l . g I O , , , o t R r ~ o r ,Page 7 of 1 6 ~ a n ~ n , 0 , ,, d r y , * S . I 0 ~ / ~ 0 / ~ 0 ~ 0

VII. INVESTMENTS and TRUSTS -i,,- ........ ,t,,.., ...... -,ion, (In,tudes those ,~ ......d d,p#naentthildren; see pp. 34-60 of filing i~,ruction~.)~ 0~ reportable income, assets, or transactions.)ONE

A. B, C . DD e s c r i p t i o n n f A s s e t s h ~ 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 T ~ a n s a c t i o ~ s d u r i n g r e p o s i n g ~ r i o d( i n c l u d i n g t ~ s t a s s e t s l repoaing ~ri~ of rep~ning ~riod

Place " (X)" a f t er each a ssel . Amotm~ T~ (c.g. V a lue Valu~ T~e ( ~.g.. ~ [)al~ Valu~ Gain Id~n~ily ofC o d e I d i v . , r e n t , C o d e 2 M e th o d b~ y. s c H . ~ m ~ t d ~ y v ~ C o d e 2 C o d e I b u y ~ r , " s d l e rx e m p t f r o m p r i o r d i sc l o s u r e , [ (A - H ) ~ o r i ~ t . ) l J - P ) C o d e 3 r e d e m p t i o n ) " ~ O - P ) ( A - H ) [ i f p r i v a t e

........... ~ ( Q - W ) i ~ t r a n ~ c t i o n )5 2 . -Blackrock Int. OFp. B uy 0 8 / 0 4 1 0 9 ] J ~5 3 . -Blackrock Int, Opp. Sold 11!19/~ J A

5 4 . -Blackrock Global B uy 0 8 ! 0 4 / 0 9 J5 5 . -Blackrock Global Sold 1 1 ! 1 9 / 0 9 J A, 5 6 . -Jennison Nat. B uy 1 1 / 1 9 t 0 9 J

5 7 . -RS Emerging Mkts B uy I 1 ! 1 9 ! 0 9 J5 8 . -Putnam Voyager B uy 1 1 / 1 9 i 0 9 J5 9 . IRA Account #3 D Dividend L T6 0 . -Aberdeen Developing (See Nole 2) Sold 01/20/09 J A61. -Aberdeen Nalural Sold 01/20/09 J A6 2 . -Aberdeeo Opt Sold 01/20/09 J A6 3 . -Aberdeen Im Sold 01/20i09 J A

6 4 . -Ivy As~el Sold 01/20/09 J A6 5 . -Cohen & Steers Global Sold 0i,~0/09 J A6 6 . - J t . tn u : ~ l n l Sold 1 1 1 / 2 0 , 0 9 J A6 7 . -Janus Advisor Sold 01/20/09 J A6 8 . -Janus [.ong/Sh()rl Sold 0 1 ! 2 0 ! ( ~ 9 J A


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FINANCIAl, DISCLOSURE RE PORTPage 8 of 16

N O N E (No reportable income, t~ssets, or trattsactio~s.)~ s c r i p t i o n o f A . s s e ls I n c o m e d u r in g , G r o s s v a l u e a t e n d Tr~sactions du ring reporting ~r~( i n c lu d i n g t ~ s t a s s c ~ s ~ reposing period ~ o f r e p o s i n g p e r R ~

P l a c ~ " ( X Y a l ~ c r , e a c h a s s e l A m o u n l ~ T)~e re.g, Value ~ Value T ) p e ( g , D ate ~ V alue ] Gain Identiwofe x e m p t f r o m p r io r d i s c h ~ s u r e C o d e I d i v , . r c n l , ( o d e 2 M e lh o d b u y , s e l l , ~ m m d g y ) C o d e 2 " C ru d e I b u y e r / s e l l e r: ( A - } I I ~ o r i n t . ) ( J - P ) ~ C o d e 3 r e d e m p t i o n ) ~ ( J - P ) ( A - I ! ) 0 f p r i v a t e

6 9 . -Janus Forty Sold 0[,20/09 J A7 0 . -Janos Global S ~ ) I d 0 1 / 2 0 , 0 9 ] A

7 1 . -Thornburg Global Sold :01/20,.09 J A7 2 . - Bl a c kroc k Gl oba l Sold 01/20/09 J A

7 3 . -Hlackrock lnt Sold 01/20,09 J A7 4 . -Jol lt l Hancock G lobal Sold 01/20/09 J A7 5 . -McrrilI Lynch Moncy Mkt Reserves

7 6 . -Ivy Lid Term [lond gu y 01/20i09 J7 7 . - Ivy Lid Term B ond Sold 0 8 , 0 4 1 0 9 J A7 8 . -DWS Short Tcnn [:lond B uy 0 1 i 2 0 1 0 9 J7 9 . -DWS Short Term Fhmd Sold 08/04/09 J A( p a r t )8 0 . -DW S Shor trenn Bo nd t ~ u y 1 0 / o 7 / o 9 j8 I . -DWS Sho~t Term [Iond Sold 11,q9/09 J A8 2 . -JPMorgan I lighbrldge B u . ~ 0 I , 2 ( I , 0 9 J8 3 . -JPMurgan I lighbridge Sold 0 8 . O 4 0 9 J A

8 4 . -M:magt:rs AMG pQGIobal B uy 01;20/09 J8 5 . -Managers ,,\MG PQG Iobat Sold 0 8 i P r l , 0 9 J A


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P a g e 9 o f 1 6 t ~ n ~ n , A n d r ~ , v S .V I 1 . I N V E S T M E N T S a n d T R U S T S - i ............ z , ~. , r a ,, ,a c t k , r t~ ( I n, l u d e s t h o , e o f ~ p . .. .. .. .. .. d d e p e n d e n t d f f ld r e n ; x e e p p . 3 4 - 6 0 o f f il in g~ NONE inconw, assets, transaction.5.), V o

A. B . D.D c s c ri p m m o f A ~ e l s I n c o m e d u r i n g G r o s s v a h ~ c a l e n d T r a n s a c t i o n s d u o n g r e p o r t i n g p e r i ~ M

( i n c l u d i n g t ~ s t a ~ t s } rc~rting period o f r c p m f i t ~ gP l a c e " ( X ) " a l ) c r e a c h a s s e l ~ A m o u v t fy~ (eg . , V a l o e V a l u e T ~ c { e g , ~ Date , Value ~ Gain I d e n f i t y o f

e x e m p t f r o m p r io r d t ~ c l u s u r e . C o d e I d i v . . t e n t . C t , d c 2 ~ M c t h (~ b u y , s e l l , [ m~da"~ CMe 2 ! Code 1 ~ b u y c r / s ~ l l e ~[ IA-tl) : o r i n t . I ( J - P ) ~ C o d e . 3 r ~ e m p f i o n ) ~ (J-l) [ ( A - I I ) ( i f p r i v a t e

8 6 . -Loomis Saylcs Ivl . Grade B uy 0 1 / 2 0 . ~ 0 9

8 7 . -Loomis Sayles Ivt . Grade Sold 0 8 / 0 4 Z 0 9 J B

8 8 . -Goldman Sacks Short Dur. 1 3 u y 01!20/09 J8 9 . -Goldman Sacks Short Dur. Sold )8/04/09 J A

9 0 . -Aberdeen Equity B u y 08/04/09 J

9 1 . -Aberdeen Equity B uy 10/07/09 J

9 2 . -Aberdeen Equity Sold 1 1 / 1 9 / 0 9 J A(part9 3 . -Aberdeen Developing B uy 08/04/09 J

9 4 . -Aberdeen Developing Sold 10/07/09 J A(part)9 5 . -Aberdeen Developing Sold 1 1 1 1 9 / 0 9 ! J A( p a r t ~9 6 . -Putnam I)ivcrsilied B uy 08i04/09 J

9 7 . -Pumam Db..ersilicd Sold 1 ( I / 0 7 / 0 9 J A

9 8 . -Putnam Diversili~.d [ ~ ; u y I 1 / 1 9 / 0 9 J

9 9 . -Janus Fort) B uy 08/04/09 J

1 0 0 . -Janus Forty B uy 10/07/09 J

1 0 1 . -Janus I"orty Sold 11/19/09 J A( p a r t )1 0 2 . -Aberdeen Natural 1 3 u y 08/04/09 J


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FINANCIAL DISCLOSURE REPORT ,~ .... fP ..... R e p o r t i n g D a l e o f R e p o r !Page l 0 of 16 Itancn, Andrew S. 05/10i2010V 1 i . I N V E S T M E N T S a n d T R U S T S - i.,.o~.,.. ~..,, ....... . , i , , . , ( l n , l u d e s , h o , e of~p ...... d dep, ndent thildren; ,ee p p . 3 4 - 6 0 o]filing imttuctio~,.)

NONE ( i~) reportable income, assets, or transactions.)

~ s c r i p li 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 T r a n s a c t i o n s d u r i n g r e p o m ng ~ r i ~( i a ~ l u t l i ~ g t ~ s t a s s e t s )

~r e p o s i n g p e r i o d of reposing peri~

, M ~ -~. - (2) " ~ ~1) (~) " ~) (2~ 13) (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 ( e .g . . V a l u e V a l u e t y p e ( e . g . , : Da~c [ Value G a n I d e n t i~ o ~e x e m p t f ru m ~ r i o r d i s c lo z u r e ~ C o d e I ~ d i v . , r e n t , C t ~ e 2 M e t ho d b u y . s e l l , l m m " d ~ S y y ~ C ~ e 2 C o d e I buyer/seller

i i ( A . I I } r t , r i r a . } (J - P ~ C o d e 3 r e d e m p t i o n ) ~ : ( J - P ) ( A -I t ) 0 f p f i v a ~ eI ( Q - W ) ~ ~ ~ t r a n s a c t i o n )

1 0 3 , -Aberdeen Nalural Sold 1 1 ! 1 9 ! 0 9 J A

1 0 4 . -Ivy Asset .Strategic B uy 08/04!09 J

1 0 5 . -Ivy Assct Stracgic B uy t 0 . . " 0 7 / 0 9 J

1 0 6 . -Ivy Assc~ Strategic Sold 1 1 / 1 9 / 0 9 J A(pan)1 0 7 . -John Ilancock Global B t ~ y 08/04/09 J

1 0 8 . -Jo hn H anco ck G lo ba l Sold t 0 / 0 7 / 0 9 1 J A

1 0 9 . -John Ihmcock Globa! B uy 11/19/09 J

1 1 0 . -Lo rd Abbet! B o nd B uy 08/04/09 J

I I I . -Lord Abbott Bo nd I Sold 11/19/09 J AI p a r t )1 1 2 . - C a l a m t ) ~ ; C o n v e r t i b l e ~ , 3 1 1 t l B uy 0 8 , < 0 4 / 0 9 J

1 1 3 . -Calamos Convertible Bo nd B uy I 1 / 1 9 . ; 0 9 J

I t 4 . -Janus O,erscas B uy 08/04/09 J

15 . -l.oomts Saylcs Slratck.ic B uy 08/04/09 J

16 . -Loomis Saylcs Str,~tegtc Sold 1 0 / I 1 7 / 0 9 J A(patti17 . -Loomis Saylcs Strategic go ld 1 1 1 1 9 i 0 9 J A( f ) a r t l1 8 . -Blackrock Int B uy 0 8 1 0 4 1 0 9 J

1 1 9 . -Blat:kmck hit B uy 1 0 / 0 7 i 0 9 J


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FINANCIAL DISCLOSURE REPORT In ....r P . . .. . a e ~ , o , , I n g I t~.teoraepo.Page I 1 of 16 , a . + . , A . d r + , ,. S . 0 5 ] ~ 0 / 2 0 t 0

N O N E ( ~ b reportable income, assets, or transactions.)D e s c r i p t i o n o ~ Assels l n o l n e d u r i n g G r o s s v ~ l u c a t e n d 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 ~ r i ~

( i n c l u d in g t n L s t a s s e t s ) ~porting ~riod o f ~ p o n i n g p e r k ~P l a c e { X ~ " a f l e r ea c h a s s e t A m t m n t ~ . T ~ { ~ . g . V a l u e V a l ~ e T~c(e.g., ~ Date ~ Value Gain { l d e n t i ~ y o f

e x e m p t f r o m p r io r d i s c l o s u r e { C o d e ~ ~ d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l . ~ m m d d > T ~ C o d e 2 ~ C o d e I , buyer/selleri (A-H) ~ {J-P} ~ (A-H) ii t}r inl ) (J -P} Code 3 redempfitm] , {if private

120. -Blackrock Int Sold 1 1 / 1 9 / 0 9 J A{paa}1 2 1 . -Blackrock Global B uy 08i~/09 J

1 2 2 . -Blackrock Global Sold 1 1 1 1 9 / 0 9 J A1 2 3 . -Janus Ov erseas B uy 11/19/09 J

1 2 4 . -Jennison Nat . B u y I 1 / 1 9 / 0 9 J1 2 5 . -P,.S Emerging Mkt B uy 11/19/09 J1 2 6 . -Pulnam Voyager B uy 1 1 / 1 9 / 0 9

1 2 7 . Retirement Accotmt ttl E Int.Div. N T

1 2 8 . -Fidelity Short Term B ond Fund

1 2 9 . -Marshal l Bond Fund

1 3 0 . -Pax [~alanced Fund Sold 02/10/09 K A

1 3 1 . -Citizens Bank Flint Mich CD Redeemed 02/09/09 L A1 3 2 . -Stralegic Cap Bk CD Redeemed 07/09/09 L A1 3 3 . -Catap illar B o nds B uy 02/15/09 L

1 3 4 . -Duke Uni. Bonds B uy 0 2 / 1 5 1 0 9 J

1 3 5 . -Dartmouth College B onds B uy 07/21/09 M

1 3 6 . -Fidelity Castt Rcser,es


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N a m e of P e r s o n R e p o r t i n g D a t e o f R e p o r ~P a g e F I N A N C I A L 1 2 o f 1 6 D I S C L O S U R E R E P O R T I t a n e n . A n d r e w S . 0 5 ; 1 0 ! 2 0 | 0

VII. INVESTMENTS a nd T R U ST S- i ......... t~


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~ NONE income, assets, transactions.)N o reportahle orD e s c r i p t io n o f A s s e l s Incom e dt l r ing [ Gross value at e n d 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 c r i ~

[ in c l u d i n g I ~ 5 1 a s ~ t s ~ r e p o m n g p e r i o d o f r e p o m n g p e r i o dP l a c e " ~ X ) " ~ a e r e a c h a ~ s e t ~mo tm t T ~Ve (e g . . V ~ l u e V a lu e T ~c~e g , ~ Date ~ Value G~in ~ l d e n 6 t y o f

e x e m p t f r o m p r io r d i ~ h , s u x . Code I [ di,. rent. C o d e 2 M et h , , d b u y , s e l l . ~ m m / d d , ~ i C o d e 2 { C o d e 1 I b uy er / s e l l e r ( A - t l } u r i ~ t . ) { J - P ) C o d , : 3 r e d e m p t i o n i ~ I ( J - P ) { ( A - H ) . . ( i f p r i v a t eI O - W ) ~ I I m n s a c t i o n )1 5 4 . -Canadian Riv. M un. blunicipal Bonds A lnleresl M T Redeemcd 0 2 / 1 7 , 0 9 bl C(pan}1 5 5 . -Houston Tcx Walcr Municipal Bonds C lnlercsl Redeemed 0 9 / I 1 , 0 9 M D

1 5 6 -Brow nsvil le]ex Mu nicipal B onds C I n z e r e s t L T1 5 7 . -Lower Coh Riv. Auth. Murticipal Bor~ds C h a t e . r e s t M T1 5 g . -AdingtonTexas ISDMunicipal B onds C I n t e r e s t Redeemed 02;17/09 M A

1 5 9 . - ! larris Counly Municipal Bo nds D I n t e r e s t M T

1 6 0 . -Universi tyofN.Tex Municipal Bo nds B I n t e r e ~ t L T1 6 1 . - tlouston Tex ISD Zero Coupon Municipal B I r , t e t e s t Redeemed 0 W I 1 / 09 K BB o n d s1 6 2 . -Sha~land IS[) Mu nicipal .B onds C I n t e r e s t M T1 6 3 . -Lancaster ISD ,Municipal Bonds A I n t c r e s ! M "1 B uy 1 1 : 0 9 / 0 9 L

1 6 4 . -Merrill Lynch CMA Tax Exempt Mtmcy F ] e . t c r e s t K TMarket1 6 5 . C o mp ass B ank A I n t e r e s t K T!66. Northwestern Mutual EOL Life Ins ~117 A I)ividend J T! 6 7 . Noithwestcm Mutual EOL Lil~ Ins/,714 A Di",idend J T1 6 8 . Northwestern Muhtal W hole l ire Ins ~:t042 A Dividend J T

1 6 9 . Northwestern Mutual Who le Life In s ;1817 C I)ividend 1 . T1 7 0 . Northwestern Muttud \Vlnde Life Ins #Sit C Di,idend L T


14/16

FINANCIAL DISCLOSURE REPORT .~ , ,~ , of Person Repor~i ,g I Dale ofPage 14 of 16 I , ~ , ~ n , A . , ~ r ~ , * S . ]

V i ! . I N V E S T M E N T S a n d T R U S T S --i.,. . . . . . . ~ . . . . . . . . . . . . ~ o . . ~ a . ~ . ~ , ,~,,,,, q w . . .. . . a a . p ~ . .a . . ,, ., u a . ~ , ~ ~ o . ~ 4 - ~ o q , i . ~ ~,,.~,~,,.,.~N O N E ( N o rt~ortable income, assets, or transactions.)

Descrip tio n o f Assets Inco me dt~ ring Gross value a~ end Tran~cf ions dur ing repor t~g per i~(including t~st asscls) r e po s i n g p~ i ~ l of rc~[ng period

-~i~ ~~) 0~ ~ ~) ~ ~ O~ - j (4)Place"(X~"a~lereacha~sel Am o u n l Typc(e.g, ~aluc Value Type(e .g. , ~ Date Value .. Gain [denti~ofexempt from prior disclosure ~ Code I ~ div., rent, C~e 2 Mc~h~d buy, sell, mm,"ddyy ! Code 2 ~ Code I buyeriseller~ {A-H) ~ o r it~ .) (J-P) C~ de 3 redemptio n) I~ (]-P~ (A-H) (if private~ ~ , Q . W ) ~ ~ , ..... finn)


15/16

FINANCIAL DISCLOS URE REPO RT ,~ .... fP ..... R e p o r t i n g ]Iage ! 5 of 16 . .. ~ . , A n d r e v ~ S . 0 5 / 1 0 / 2 0VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

1. The Na tionwide funds in IRA - Acco unt #2 listed o n Lines 7, 8, 10, I I, 12, 13. 16, 17, t8 and 19 of th e 2008 report were all incorporated into the sariousAberdeen funds. See 21308 Eplanatory Nolcs (See. VIII; I-5).2. The Natio nwide funds in IRA Account #3 listed on Lines 59.60, 6 I, 63, 64, 67, 68, 7 I, 72.73 and 74 of the 2008 report w ere all incorporaled into the ~ariuusAberdeen funds. See 2008 Explanalory Notes (See. VIII: I-5).


16/16

Name of Person Report ing I Date of ReportFINANCIAL DISCLOSURE REPORT Hane.,Page 16 of 16IX. CERTIFICATION.

I certi~ that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and bellcf, and that any information not reported was ~ithheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income front outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions ors U.S.C. app. 501 et. scq., 5 U.S.C. 7353, and Jndicial Conference regulations.

NOTE: ANY INDIVll)UAL WIIO KN OW INGLY" AND W ILFULLY FALSIFIES OR FALLS TO FILE Tills REPORT .NIAY B E SUBJECT T O CIVILAND CRISIINAL SANCTIONS (5 U.S.C. app . I04)

FILING INSTRUCTIONSMail s igned original and 3 addit ional copies to:

Com mit tee on Financ ia l Disc losureAdminis tra t ive Office of the United States Cou rtsSuite 2-301One Co lumbt , s Circ le , N.E.W ashington, D.C. 20544

Documents

Andrew Scott Hanen Financial Disclosure Report for 2009