Catharina D Haynes Financial Disclosure Report for 2010

8/3/2019 Catharina D Haynes Financial Disclosure Report for 2010

1/18

Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2 010Report Reqtdred by the Ethics

in Govermnent Act of 1978(5 U .S.C. app..~aq 101-111)

I. Person Repor ting ( las t name, f ir s t , middle init ial)H ay nes , Ca th a f ina D .

4. Title (Article II I judges indicate active or senior status;m a g i s t r a t e j ud g e s i n d i c a t e f u l l- o r p a r t -t i m e )

Active Circui t Judge

7. Chamber~ o r Office AddressI 100 Com merc e St ree lR m . 1 4 5 2Dallas , TX75242

2. Court or Organiza t ionFifth C ircuit

5a . Report T)pe (check appropria te type )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modificat ions pertaining thereto, it is, in my opinion, in compliances~th applicable lasvs and regulations.

Reviewing Office r Date

3. Date of Repor t04/28/201 I

6. Report ing Pe riodOI/OI/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be follon,ed Co mplete al l part s ,check ing the NONE box for each par t where you have no repor table information. S ign on las t page .

I . P O S I T I O N S . c R o p o , i, g i .d i v l d . a l o , ~ y ; s e , p p . 9 - 1 3 of filing instructions.)~ (No repo rtablepositions.)O NE

POSITION1 . Director2.3.

4.5.

N A M E O F O R G A N I Z A T I O N /E N T I T YV i ck e r y M e a d o w L e a r n i n g C e n t e r

I I . A G R E E M E N T S . me po . l .g ~.d~u . . t o . tr ; ~ r , . 14 -16 of filing instruction&)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERM S


2/18

N a m e o f P e r s o n R e p o r t in gP a g e F I N A N C I A L 2 o f 9 D I S C L O S U R E R E P O R T ] H a y n e s , C a t h a r i n a D .

I I l . N O N - I N V E S T M E N T I N C O M E . ( R e p o , ln g i n d i , id u a l o n d ~ p o a s e ; s e e p p . 1 7 - 2 4 o f , l in g i n ~ t ru c t io n ~ . )A. Filers Non-Investm ent Incom eD NONE non-investment income.)N o reportable

D ATE S O U R C E A ND T Y P E INCOME( y o u r s , n o t s p o u s e s )

D a t e o f R e p o r t04128/2011

I. 8/21/10 The Bel lagio v ideo poke r jac kpot $ 1,270.002.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you w er e m ar r i ed du r i n g an .vpor t i on of th e r epor t i n g . r ear , com ple te th i s s ec t i on ~(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)

1.20102.3.4.

DA T E _ S O U R C E A ND T Y P ET h o m p s o n & K n i g h t L a w P a r t n e r sh i p I n co m e

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter tainment .(Includes those to spouse and dependent children; see pp. 2.~-2 7 of fi ling instructions.)

~ (No reportable reimbursements.)O NESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. A mer ic an Bar A s s oc ia ti on 3/4-5/2010 Tucson, AZ Speak a t Ins uranc e CLE T r a v e l , m e a l s , l o d g i n g2. A mer ic an Bar A s s oc ia t i on 4/23-24/2010 N ew Yo rk , Ne w Y ork S pe ak a t Litig at io n C LE T r a v e l , m e a l s , l o d g i n g3. Bar Ass o cia tio n o f the F ifth 5 /I 1-12/2 010 S hreve p o rt, LA S p ea k a t B ar As so cia tio n T ra ve l, m e alFede ra l Ci rc ui t A p p e a l s C L E4. U nivers ity of Te xas Law 8 /12-13 /2 010 Ga l ve s t on , TX S p e a k a t B a n k r u p t cy C L E T r a v e l, l o d g i n g , m e a l sSc h ool5. Bar Associat ion of the Fifth 9/24-26/2010 Lubbock, TX S p ea k a t B ar As so cia tio n T ra ve l, m e alFederal Circuit Appe a l s C LE


3/18

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

Name of P e r son R epor t ingH a y n e s , C a f h a r i n a D .

Date of Report0~/28/201 I

V . G I F T S . a , c t ~ d o , ,+ o s ~ , o s p o : s o , . d a e r , ,d , . , c h i l d r ,, : s e , r~ . 2 S - 3 t o f ~ l i n g instructions.)~] NONE (No reportable g~s.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T IE S . a . c l .d e s , h o s t o l s ~ o . s , a . d d e , , .d e . t children; see pp. 3 2 - 3 3 of filing instructions.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.5.

VALUECODE


4/18


5/18

FINANCIAL DISCLOSURE REPORTPage 5 o f 9

N a m e o f P e r so n R e p o r t i n gHaynes, Catharina D.

D a t e o f R e p o r t04/28/2011

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 m e , , . a t u , , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g(including t r us t a s s e t s ) r e p o r t i n 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 e nt ,( A - H ) or i n t . )

Gross value at en do f r e p o r t i n g p e r i o d(1) (2)

V a lue V a lueC o d e 2 M e t h o d

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

(1 )Type (e.g. ,

buy, sell,redempt ion)

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

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

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

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

b u y e r / s e l l e r( i f pr iva t e

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

1 8 . IB M A Dividend L T1 9 . Motorola (MOT) None J T

2 0. Pfiz er (PFE) A Dividend Sold

21 . Franklin Mutual Shares Class Z D Dividend N T B uy

22 . B uy(addl)23 . Janus Fund A Dividend N T B uy

24 . TRP Capital Appreciat ion A Dividend J T

2 5. TR P Eq u it y Fu nd B Dividend L T Redeemed(pan)26 . Vanguard REITFund D Dividend M T B uy

27 . B uy(addl)

28 . B uy(addl)

29 . Vang uard 500 Index Fund D Dividend N T B uy

30. B uy(addl)

31 . B uy(ad d l )3 2. V an gua rdTM S m a l l C a p B Dividend M T B uy

33 . B uy(addl)34 . US EE Savings B ond C Dividend L T

07/12 /1002/09/1009/07/I 002/09/I 0

06 /01 /1002/09/I 006/08/1009/07/I 002/09/I 006/08/I 009/07/I 002/09/I 0

06/08/I 0

J

J

J

J

J

J

J

J

J

J

J

J

J

1. Income Gain Codes: A -$ 1,000 or Ices B = $1.001 - $2 ,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000( See Columns B I and I ) 4) F -$50.001 - $100,000 G $100.001 - $1,00).0~0 HI =$ 1.000,0(11 - $5.000.000 H2 =~. lorc than $5.000,(~0

2. Value Codes J -$15.000 or less K $]5.OQI - $50,000 L =$50,001 - $100.000 M =$100,001 -$250,1)00(See Columns C I a n d D 3 ) N -$250.001 - $509.000 O -$500.001 - $1,0~).000 PI =$ 1.000,001 - $5,000,009 P2 =$5.000,001 - $25,000.000

P 3 = $ 25,00~.001 - $ 50.00~.000 P4 - M ore than $ 50,000,000.3. Value Method Codes Q :Appraisal R :Cos t ( R eal E s t a t e O nly) S = As s es s ment T = C a s h M a r k e t[S ec C o lum n C 2) U = B oo k Value V O ~ h c r W = E s t imated

E =$15,001 - $50.000


6/18


N a m e o f P e r s o n R e p o r t i n gHaynes, Catharina D.

Date of R e p o r t04/28/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , ,a l u e , t r a n s a c t io n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i li n g i n s t r u c t io n s . )[ ~ ] NONE(No reportab le incom e, asse ts , o r t ransact ions . )

De s c r ipt i on of As s e t s I n c o m e d u r in g( i n cl ud i n g t rus t a s s e t s ) r e p o r t i n g p e r i o d

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

exempt from prior disclosure Code I div. , r e nt ,( A - H ) or 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(1) (2)

V a lue V a lueC o d e 2 M e t h o d(J-P) C o d e 3

(Q-W)

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

r e d e m p t i o n )

T r a n s a c t io n s d u r in 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 Gain

mrrddd/yy C o d e 2 Code I(J-P) ( A - H )

(5 )Identity of

buy e r / s e l l e r( i f p r iva te

t r a ns a c t ion)

35 . T R P R e t i r e m e n t 2 0 2 0 (IRA) A Dividend K36. TRP Retirement 2030 (IRA) C Dividend N

37 . T hom pson Kn i gh t Partn er sh ip Equ it y None L

38 . TX Emp. Ret. Plan A Dividend M

39 . -Vanguard Institutional Fund,

40. -Vanguard Growth Fund

41. -Black Rock B ond Fund (see note at SectionVlll)42 . State of Tx. Judicial Retiremen t Equity C I n t e r e s t L

43 . Texas County & District Retirement System A I n t e r e s t J44. TRP Small Cap. Va lue A Dividend J45. Thompson Knigh t 401K D Dividend O4 6. - V an g ua r d W e l li ng to n Fu nd

47 . -Vanguard Institutional Fund

48. -Stable V alue Fund

T

U Buy

T

TTTT

12/31/10

49. -F ide l ity Freedom K 2 02 5 ( s ee no t e a t VIII)50 . T R P F i n a n c i a l S e r v ic e s ( IR A ) A D iv idend J51 . T RP G loba l S toc k (IRA ) A D iv idend K

T Redeemed 06/01/10( p a a )T R e d e e m e d 06/01/10( p a a )

J

J

I. In com e G ain C o de ,.: A =$ 1.000 o r less B = $ 1,001 - $2 ,500 C =$2,501 - $5,000 D =$5,001 - $ 15,000( s e e C o l u m n s B I a n d D ~ ) F = $50,001 - $100.000 G = $100,001 - $1,000,000 H 1 =$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 =$50,001 - $ 100,000 M =$ 100,001 - $250,000(Se e C o lumn s C I a n d D 3) N =$250,001 - 5500,000 O = $500.001 - $1,000,000 P l =$ 1 .0 00 ,0 01 - $ 5 ,0 00 ,0 00 P 2 =$ 5 ,0 ~0 ,0 01 - $ 2 5, 00 0, 00 0p3 = $25,000.001 . $50,000,000 P 4 Mo re th a n $ 5 0 ,000 ,000

3 . Value Method Codes Q =Apprai, ,al R =Cost (Real Estate Onlyl S =Assc ssmc m T =C a sh Ma rke t[ se e C o lumn C 2 ) U = B ook Value V O t h e r W = E s t imated

E =515,001 - $50,0(~


7/18

FINANCIAL DISCLOSURE REPO RTPage 7 o f 9

N a m e o f P e r s o n R e p o r t in gHaynes , Catharina D.

D a t e o f R e p o r t04/28/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ,, , v o l u ,. ~ r o n s o c t io n s a n c l u d , s , h o s , o / s p o u t , a n d a e p , n d , n t children;see pp. 34-60 o f f i l i n g i n s t r u c t i o n s . )[~] NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e 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

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 Type (e.g. ,

e x e m p t f r o m p r i o r d i sc l o s u r e C o d e 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(l) (2)

V a lue V a lueC o d e 2 M e t h o d

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

(I )Type (e.g.,

buy , s e l l ,redempt ion)

Transac t ions dur ing report ing p e r i o d

(2) (3) (4)D a t e V a l u e G a i n

m m /d d/yy C od e 2 Code I( J - P ) ( A - H )

Ident i ty ofbuy e r / s e l l e r

(if privatet ransact i on)

52 . T RP M ed i a T e le com m un ica t ion s ( IRA) A Dividend J

53 . TRP New Era (IRA) A Dividend J

54. TRP Spectrum G rowth (IRA) A Dividend K

55 . TRP Spectrum Income (IRA) B Dividend K

5 6. TR P S um m i t C as h (IR A) A I n t e r e s t N5 7. US i Sa vin gs Bo nd A I n t e r e s t J5 8. C ha s e B a n k Ac co un t c h ec k in g None M

59 . PEBCX (IRA) A Dividend K60 . PCRCX (IRA) A Dividend K61 . PCRAX (IRA) A Dividend J62 . Amegy Bank - CD A I n t e r e s t M6 3. C it ib a n k A cc ou nt , C D B I n t e r e s t M

T Redeemed(P~)T Redeemed( p a n )T Redeemed

( p a r t )T Redeemed(part)T Redeemed( p a r t )T

T

T

T

T

T

T

06/01/1006/01/1006/01/1006/0111006/01/10

JJ

J

J

J

64 . Capital One Ba nk Account B I n t e r e s t M

I. I n c o m e G a i n Codes: A :$1,0O O o r le ss B :$1.001 - $2,500 C :$2,501 - $5,000 D :$5,001 - $15,000(Se e C o lumn s B I a n d IM) F =$50.001 - $100.0~ G = $100,001 - $1,000,000 H 1 - $1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 ~0 H 2 = M or e t ha n $5 ,0 0~ ,C ~ 0

2. Value Codes J =$15,0~) or less K -$15,001 - $50,0~0 L =$50,001 - $ 100,000 M =$ 100.0~1 - $250.000(Se e C o lumn s C I a n d D 3) N = $250.001 - $500.000 O = $500.001 - $1,000.0~1 P I = $ 1,000,001 - $5 ,0~1,000 P2 =$5,000,001 - $25,000.000

P3 =$25.000,001 - $50.000.000 P4 =More than $50.0~0,0003 . Value Method Codes Q =Appraisal R =Cosl (Real E~,tate Only) S = As s es s ment T = C a s h M a r k et(Se e C o lumn C 2 ) U = B ook Value V - Ot her W =Eslimatcd


8/18


N a m e o f P e r s o n R e p o r t in gH a y n e s , C a t h a r i n a D .

D a t e o f R e p o r t04/:28/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . flndlcate part of report.)I I . , I11 . , and VII : ! r ec use f rom a l l c ases i n w h ich T h om ps on Knigh t i s e i t ih e r a pa r ty or r epre s en t s a p a r ty .Vl l . Lines 38 and 4 1 : Wi th out my inv olv emen t o r r ea l i za t i on , a t th e end o f 2 009 , th e por t i on of m y T ex as Em ploy ees R e t i rement P l an th a t h ad been in th e F ide l i tyU S B o n d F u n d w a s m o v e d t o t h e B l ac k R o c k B o n d F u n d .V I I . L in e s 4 5 a n d 4 9 " . I n J a n u a r y 2 0 1 0 , a f u n d ( F d e l t y F r e e d o m K 2 0 2 5 ) w a s a d d e d t o .~ . : r e g u la r 4 0 1 K p l a n . ~ ~ . . ~ ~ m a k e s r e g u l a r p a y r o d e d u ct o nc ont r ibut ions (amo unt J ) t o th i s fund ev e ry pay c h ec k ( twic e a mon th ) unt il t h e max im um a l low able 4 01K l imi t i s r eac h ed , i~ f i rm a l s o c ont r ibutes to th i s fund a sp a r t o ~ - ~ c o m p e n s a t i o n .


9/18


Name o f Pe rson Report ingH a y n e s , C a t h a r i n a D .

Date of Report04/28/201 I

IX. CERTIFICATION.I c e rt i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n cl u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c ur a t e , t r ue , a n d c o m p l e t e t o t h e b e s t o f m y k n o ~ v l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d ~ v a s ~ v i t h h e l d b e c a us e i t m e t a p p l i c a b le s t a t u to r yp r o v i s i o n s p e r m i t t in g n o n - d i s c lo s u r e .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o ) a n e n t a n d h o n o r a r i a a n d t h e a c c e p t a n ce o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w - i t h t h e p ro v i s i o n s o f 5 U.S .C . a p p . 5 01 e t . s e q , 5 U.S .C . 7 3 5 3 , a n d J u d i c i a l C o n fe r e n c e r e g u l a t i o n s .

Signature: S/Catha r ina D. H aynes

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I LF 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 J E C T T O C I V ILA N D CRIM IN A L SA N CT ION S (5 U .S.C. app . 104 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


10/18

~o IOR e v . 1 / 2 0 1 0FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 200 9

Report Required by the Ethic~in Gm~rnment Act o f 1978(5 U.8.C app. 4 101-111)

1 . P e ~ o n R e p o r t in g ( L ~ - t n a m e . tint, m i d d l e I n l t ia l )Haynes, Cathar ina D.

4. TR I~ (A ~icle I l l judg~ indicate ecfiee ox scaior status;magistrate judg~ indh:atc full- or par t- t ime)Ac t i ve C i r c u i t J u d g e

7. Chambers or Off ice Ad dr~1100 C o m m C r c ~ SheetRm. 1452Dallas , "IX 752 42

2. Court or OrganizationFifth Circuit

R e p o r t T y p e ( h ~ c k a p p r o p r i a te t y p e )i [] Nomination, I~te

3. Date e l R e p o r t05/10/2011

6. Reporting Perled01/01/20~9

5b. [] A m e n d e d Report8. On the basis of the ~formaflon ontained in this Report and anymo dif ications per laln lng tbereto, I t I~ In m y o p l n ~ n , ~ ~ m p l la n c e~ l b a p p l l ~ b l e l a ~ a n d, Reviewing Officer Dale

I M P O R T A N T N O T E S : ~7 t e i n s tr u caons accom p any lng ad ~ f o r m mu ~ t b e f o l lo~w ~ Com p le t e a l l p a r t s ,checking the NONE box for each pa r t where you have n o repor table In format ion. S ign on la~tpag~

POSITIONI. Director

2.3.4.5.

NAME OF ORGANIZATION/ENTITYVick c r y Meadow Lear n in g Cen te r

O N O N E ( N o reportable agreements.)DATE P A R T I E S A N D T E R M S

2 0 0 7 - 0 9 B a k e r B o t t s 4 0 1 k P l a n ( r o ll e d o v e r J u n e : 2 0 0 8 ; d u o t o m a r k e t f lu c t u a t i o n s , a n o m i n a l b a la n c e r e m a i n e d w h i c h w a sc l o s e d o u t i n 2 0 0 9 )


11/18

FIN A N C IA L D ISC LOSU R E R EPOR TPage 2 of 9

Name of Per tou R epor tingH a y n e s , Calhar|na O .

D a t e o [ R e p o r t05/I 0/2011

H I . N O N - I N V E S T M E N T IN C O M E . (Repontngindlvids~tandspou~e;seepp. 17-24offillnXln~r.c~ion~)A. Filers Non-lnv~ent Income

~ N O N E ~ o r epo r t ab le no n- i nv~en t i nco me . )SO~CE A~ ~E

2.3.4.

~ N C O M E(you~ 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 - l f )~n were man ted durlng any pordon of the reporti~gyear, cemp tae tMx sectlon.( D o l l a r a ~ : o u n t n o t r e q u l r e d e x c e p l f o r l : o n o r w r l a 0I---] N O N E ( N o reportable non-investment income.)

1.20092.3.4.

DATE SOURCE AND TYPI~T h o m p s o n & K n i g h t la w p a r t n e t~ d p i o c o r n ~

I V . R E I M B U R S E M E N T S - t, o , . v o , ta a o . , to a a . x . f o , ,~ o . n , , , ,o ~ , . ,, ,. ~( I n c lu d e $ t h o s e t o s p o t , so a m l d e p e n d e n t c h l M r e n ; ~ e e p p . 2 . $ - 2 7 o f f i li : ~ g i ~ t r u c tl o n & )

U N O N E ( N o reportable reimbursements.)8 0 U R C E D A T E S LO CA T IO N P UR P OS E IT E M S PAID O R PR O VID E D

1. Am er ican Con fc rcnc~ 4/29-30109 San Francisco, CA Speak at Insurance CLE fo r Travel , Meals , LodgingInstitu te A tto rneys2. Am er ican Bar A ssoc i at ion 5/15109 New Orleans, LA Speak a t You ng Law yers Trave l , Mea l sConference3. Am er ican Bar A ssoc i at ion 5/28-29/09 Chicago, IL Teach at A ppellate " Travel , Meals , LodgingAd vocacy T ra ining fo rAttoraey~4.5.


12/18

F I N A N C IA L D I S C L O S U R E R E P O R TPage 3 o f 9N a m e o f P , ts o ni laynr, s , Catharlos D.

D a t e o f R e p o r t05/I0/2011

~ NONE ~o reportable liabiHti~3C~D~OR DESCR~TION

I.2.3.4.5.


13/18

FINANCIAL DISCLOSURE REPO RTPage 4 of 9 [~tme of Penoa ReimrtlngHaynes, Cntharinn D. Date of Repor t05/10/2011VII. INVESTM ENTS a n d TRUSTS -

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

I~;ct~ption of Assets(~luding ~ a_~ts)

P l a c e "(X)" sfler each assete x e m p t f r o m pr io r d i s c l o s u r e

I n c o m e d u r i n gO) (2)A m o u n tC o d ~ 1 d i e . , r ~ n t ,( X - H ) o r ~L)

T r a m a c d o n s d u ~ n g r e p e d i n g p e r io d(t ) (~) 0) (4) ( 5 )" P s T * ( e . g ., Dtle Valu~ G a i n I d e n t i ty o fI m y , s e l l , m m / d d /~ C o d e 2 C o d e I I m y e d s e l l e r

wdem pf fon) ( J -P ) ( A - I I ) ( i f p d w a t et ran.~cl ion)

!. B a n k o f A m e r lc a A c c o u n t s D Interest P! T2. Janus Money Fund3. T .Row e Pr i ce (TR P) Pr ime Reserve Fund B

N o n e J TIntert~ 0 T

4. T R P N ~ l ac e m e A Dividend J T5. TR P In ternational Stock C Dividend M T Bu y 02/02/09 J6. T R P N e w A m e r ic a G r o w t h N on e M T7. TR P Hea l th Sc i enc~ Fund None M T Buy 02/02/09 J

8. TR P Tax E f f i c i en t EquiW9. T R P T a x F r e e I nc o m e Fu n d10. TR P T ax Fr~ Shor t l ntenned ia te

N o n e M T

E Dividend O TA Dividend K T

Buy 02/02/09 J

B u y 02/02/09 J

1 I . Br i t i sh Pe t ro l eum (BP) A Dividend12. IBM A Di v i d e nd L T1 3 . Motor o l a (MOT)

1 4 . Pf i ze r (PFE)

15 . Fganklin Mutua l Shat~s Class Z

A Dividend J TA Dividend J TD Dividend N T B u y 02/05/09 J

16 . l a nu sFu nd

1 7 ~ TRPCapi ta lApprecia t ion(X)

A Dividend M T

A Dividend J T

G = $100.~1 - $1.000.000K--$15,001 - $50.000O $ ~ . 0 0 , 0 0 1 - $ U X ~ 0 . 0 0 0R ~ . o ~ ( R ~ I

D =$J.e01 - $15.t~001 1 2 =Meet tha $5,000,000M ~4 100.00! -l w ~ = S 5 . 0 0 0 . 0 0 1 - $ 2 5 f i 0 0 . 0 0 0T =O . .~ Market

B-SISo001 -


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 5 of 9

D a t e o f R e p o r t05/I0/2011

V I I . I N V E S T M E N T S a n d T R U S T S - t ,, c o~ , 6 ~t, ,6 #o= , ,~o,~ ( i .d=t~ ~ o,~ o f ,~=e, , ,, ,~ d~, ,~. . ,t ~hit , t .o , ; ,~ ~ u . ~ o o / ~ # , , g t , , ~ . o ~ o , ~ 7"-] N O N E (N o reportable income, assets, or transactions.)

P l a c e " 0 O " a f t e r e a c h a .~ e te x e m p t f ro m p r i o r d i u ~ l o s u ~

I n c o m e d u r i ngm p o r t l n g p e r i o d(I) (2)A m o u n t T y p e ( e .g .,Code I d l v . , n n t ,( A - H ) o r ~ n ~ )

C.G r o s s v a l u e a t e n do f p . - p o r ~ i n g p e r i o dO) (2)Value ValueC o d e 2 M c tI ~ n d0- r) C o d e 3( Q - W )

TraJ~c~on* dur ing repoaing p e r i odO) (2) (3) (4)Ty~ (e.g., I : h t c V a l u e G a i nI m y , ~ 1 1 , m m /d d /y y C o d e 2 C o ( k : Ire.top,on) ( j.P ) (^ .H)

( 5 )Identily ofb u y e d . ~ l l c r( i f p r i v a t eI r a n s a c d o n )

1 8 . TRP Equi ty Incomo1 9 . V a n g u ar d R E IT Fu n d2 0. Vanguard 500 Index Fund

B Divideud LC Dividend MD Dividend M

TT B u y 08/24109

Bu y 02/02/09

2 1.2 2 . Vanguard TM Smal l Cap2 3 . US EE Savings Bond2 4 . TRP Re f i t~ -ment 2020 ( IRA )2 5 . TRP Ret iremen t 2030 ( IRA)2 6 . Thom pson Knight Parl~ct~hip Equi ty2 7. Baker Bot ts 40ik Plan (AIM Liquid,Fideli ty Mag., Fid. Grow )2 8. TX Em p. Rot , P lan2 9. -Fideli ty US Bond3 0 . - B la c k R o c k B o n d F u nd ( s ee n o te a t V I II )3 1. -Vanguard Inst i tut ional Fund3 2 . -Vanguard Growth Fund3 3 . T h o m p so n Kn ig h t 4 0 1K s ee no ~ e at V I I I

B u y( a d d S )

A Dividend M T

C Dividend L TA Dividend K TC Dividend M T Spinof f( f rom l i ne 2" / )

N o n e L UN o n e Closed

A Dividend M TC l o s e d

O p e n

D Di~dcnd O

03/03/09 J

l ! /13 /09 J

i 1/13/09 J

12/04/09 L12/04/09 L

R o l l e d o v e r f rom Line27

Ro l led over t o l ine 25

m o v e d to l ine 3 0 s e en o t em o v e d f r o m line 2 9 s e eno lo

3 4 . -Vanguard \Vel l ington Fund

I. I n c o o e G t ia C o d e s :( S ~ e C o l u m n s B I a n d2.V~oe Codes(See Colura~ CI and

3.Vdue MedxxI Code$( S ~ e ~ e l u m a

rt = $ 1 , 0 0 1 - $ 2 , 5 0 0O =$100,001 - $1.0~0.~0K--$15,001 5~ 0,000O =$.~0.001 - $1,000.000

D = $ 5 . 0 0 1 - $ 1 5 . 0 0 0H I ~ 4 o ~ t h ~ $ 5 , 0 0 0 , 0 0 0M - - - $ 1 0 0 , 0 0 1 - $ 2 5 0 . 0 0 0I 2 ~ - ~ S , ~ 0 0 , 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0

B = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 ~


15/18

FINANCIAL DISCLOSURE REPOR TPage 6 of 9Date o[ Report

05110/201 !

De~dptioa of Ass~s( u ~ l ~ l l a g ~ r u ~ tP I ~ ~ " 0 0 " a ~ e r e ~ ~ s s ~ te x c e p t f r o m p r i o r d i s c lo s m o

G r m ~ v a l u e a t en dof repo~tg pedod(I) (2)VsI~~ 2 Mc~

O)T y p e ( e . g .,b u y , s e l l ,r o : k , m p t ~ o n )

T r a n s a c t i o n s ( k u l n g r e p o r t in g I ~ r i o d(~) O) (4 )D a t , , V a l u e G a i nmn~dd!yy Cod~2 Co4~I(~e) ( A - ~

O)Idmfi~yofb u y m /~ l le r( i f p r i v a t em m . s a c t i o n )

3 5 . -Vanguard Insti tut ional Fund3 6 . -S~ab leValue Fund3 7 . S~ate of Tx. Judicial Reti~ment Equity C

38 . Texas County & Dist ri c t Re t i r ement System ALJ

T

3 9 . T R P Sm al l C ap . V a l ue ( X ) A Dividend J T4 0. TR P F inancia l Services ( IRA)0O4 1. TRP G loba l Stock ( IRA) (X)

A Dividend JA Dividend K

TT

4 2 . TRP Media Telecommunicat ions4 3 . T RP H ew E ra 0RA ) ( X )

A DividendA Dividend

JJ

TT

4 4 . TRP Spec t rum Growth ( IRA){X)4 5 . T R P S po c ~ m I n c o m e (IIT~.)(X)4 6 . T t ~ S umm i t C as h ( I RA X X )4 7 . u s4 8. Chase Bank A ccoun t 4 9 . Chase Bonds IRA (X )5 0. P E B C X 0 RA ) ( X )

A Dividend JB Dividend KA Inter~t HA I n t e r e s t J

Hone KA I n t e r e s tA Dividend K

TTT Bu yTT

SoldT

06115109 K

06/15/09 K

Roll o ver f rom l ine 49

Bonds m atur , d ; ro l ledO V C I "

5 1 . P C R C X ( 1 R A X X ) A Dividend K T

I. I n ton e G ~ C ~ d e~ :(S~ Calm Bi ~ D4)2.V ~ e C o & ~( S ~ C o l . rn ~ CI ~nd D3)

3.V l I ~ e M ~ x x l C . J x k ~(See C o l u m n

A - $ 1 ,000 o~ k~ ,F =$50.001 -N -$250.001 - $500.000P3 ~35.000.001U - B ook V a I ~

n - $ 1 , O O lG,.f t00, l i - $1 , l l l l ,O00K = , $ i 5 . 0 0 1 - $ 1 0 , 0 0 00 -$100.001 - i l ,O00,lXlOR = ~ m l 0 1 ~ 1 E , s t a l e O ~ J X )

C-$~,501 - $ 5 , 0 0 0Hi -$1 ,(~0,001 -L = $ 5 0 , 0 0 1 - $ 1 o n , o ( x )PI - ~ 1 , 0 0 0 , 0 0 1 - 55,000,000P4 -Mace t~a $~o 000 .000

D =$$,001 - $15,000HI -Mo~ tbaa $5,000.000bl -.$100.001 - $250,000P2 = $5.000.001 - $25,000,000T = ~ a s h l,,(l~cl

B - $1 5 , 0 0 1 - $50,0~0


16/18

F I N A N C I A L D I SC L O S U R E R E P O R TPage 7 of 9D a t e o f Report

05/10/2011

VII. INVESTM ENTS a n d TRUSTS -D NONE ( No repor tab le b~com e, asse ts , or t ransac t ion s . )

A.D e s c r i p t i o n o f A _ ~ e ~

( m c h x l ln g U ~ s tP l a c e " ( X ) "c x e m p t f l o r a I ~ io r

Income duringt ,~potl lng l~iod(t) (2)A m o u n t ~ (e.g.,Cod~ I d i v . , r e n t ,(^~ o r

Gro~ valu~ at endof rcporfngValue V~~2O - P )

Transactlo~ du~ing reporting pe6od

Type(e.g., J Datej VaIuo GainI

~mpaon) JI ( ~ v ) ( A - ~

( i f p d ~ l e

5 2 . P C P , A X 0 R A ) ~ X )53 . A m c g y B a n k54 . Cifibank

5 5. Capital One Bank

A Dividend J TB Inter~t M TC Inter~t M TB I n t c r ~ s t M T

Open 01/30/09 LOpen 02/13/09 MOpen 02 /23 /09 M

(S4 :e Ce l u~ns B I s r d D 4 )2 . V a l u e C o c ~(S~e Cc l un~s C l a~d D 3)3 . Va lue Med~d Codes

A= $ I , 0 0 0 ~ l c ~ sP - $ ~ 0 , 0 0 1 - $ I 0 0 , 0 0 0J= $ 1 5 , 0 0 0 m k : s s

U = B o o k V a I ~ e

B ~ - $ 1 . 0 0 1G --$1~0,0~ I - $1,000,000K=SI5.~1! - S50,000O~5~0,00! - $1,0~0.000

C -$2 .~0 ! -HI -$1,000,(Xl| - $5.000.0(~0L ,-$~0.001 - $ 100.000Pl ~1.000,00! -P4 -Mor~ ~ $~0,000,000W - E, ~ hm~ ed

D-$$,001H2 -Mo~ ~ h a nM "$I00,001 - $2 50,000P2 "$ $.000,001 -T " = C a s h

B ~15,001 - $50.000


17/18

F I N A N C I A L D IS C L O S U R E R E P O R TPage 8 of 9

|Name o f P enon Report ing [ D a l e o [ R e p o r tHa yn~ , Ca t h : t ri na D.

I05/10/2011

V III . A D D ITION A L IN FOR M A TION OR EX PLA N A TION S.1I . and VII . : I recuse trom ca~es in which B aker Botts is either a party or represent, a party.l l . , I l l . . and VII . : I recus from cases in which Thompson Knight is either a par ty or repr~nts a paw/ .VII . Lines 28-30 : Without m y involvement or rea l iza t ion, a t the end of 2009, the pottion of m y Texas Em ploy~.s Retirement p lan that had bc~n in thn Fide l i ty USB o n d F u n d w a s m o v e d t o t he B l a c k R o c k B o n d F u n d .VII . L ines 33-36 : ~ ~ - ~ m akes regu la r pay ro l l dcduc t lons con t r ibu t i ons (amo un t J) t o t h is fund every paycheck ( tw i ce a m on th ) un ti l t he m aximum a l lowab le401K lim it is r~ached. [_.~_Wiarm also co ntributes to this fund as pa~ of I~co mper~t ion.Reason for Amendment : In preparing the 2010 report , the information regarding the Black Rock Fund cam. to l ight (s~ lines 28-30 and above notO. Also, las tnote above added fo r fmthea" detail .


18/18

FINANCIAL DISCLOSURE REPORTP a g e 9 o f 9Name o f Person Repor tingHaynes, Catharlna D.

Dale of Repot!05110/201

IX . C ER TIFIC A TION .I ce r t i fy tha t a l l Info rmat ion g iven above ( incl ud ing Info rm at ion per ta ining to my spouse and m inor o r dependent chi l d ren, i f any) I saccura te , tr ue , and com ple te to the best o f m y know ledge and be l ie f , and tha t any info rmat ion no t r epor ted w as wi thhe ld because i t met app l icable s ta tu to ryprov is ions permi t t ing non-d isc l osure .I fu r ther ce rt i fy tha t earned Inco m e f rom o u t~ lde em ploym ent and honorar ia and the acceptance o f g i f t s w hich have been repor ted a re Incom p l iance wi th the p rov ls lon* of 5 U .S.C. app . 501 e l . seq . , 5 U.S.C. 7353 , and Judi c ia l Conference regu lat ions .

S ign a tu r e

N O T E : A N Y I N D 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 LL Y F A L S IF I E S O R F A H , S T O F I L E T H IS R E P O R T M A Y B E S U B JE C T T O C I V I LAN D CRIM INAL SA NUI IONS (5 U.S.C. app . 104)

FILING INSTRUCTIONSMai l s igned or ig ina l and 3 ad di t ional co p ies to :

C o m m i tt e e o n F i n a n c i al D i s c l o s u r eA d m i n is tr a ti v e O f f i c e o f t h e U n i t e d S t a te s C o u r t sS u i t e 2 - 30 1One Columbus Cimle, N.E.W a s h in g t o n , D . C . 2 0 5 4 4

Documents

Catharina D Haynes Financial Disclosure Report for 2010