Joe L Heaton Financial Disclosure Report for 2010

8/3/2019 Joe L Heaton Financial Disclosure Report for 2010

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/10101/2011FINANCIAL DISCLOSURE REPO RT

FOR CALENDAR YEAR 2010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. IOl-II I)

I . Person Report ing Ou st name, t int , middle ini t ia l)Hc a to n , Jo e L .

~g~j~gcs i~ca~ ~11- orU.S. Dis~ct J~gc

7. Chambers or Off ic e Addr~sUn i ted S~a tes Cou r thouse2 0 ONW 4 th S t r ee t . Room 3 1 0 8Oklahoma C i t y , OK 73102

2. C o u r t o r O r g a n i z a t i o nDist r ic t Cour t - Western Dis t r ic t of Oklahoma

St. Report Typ~ (check apprnpdale type)] Nominal ion, D a t ~[] Initial [] Arm=l [] Final5b. I - - ] A m tn ~kd R e p o ~8. O n the basis o[Ihe information contained in tb|| R e p o r t and anym~JJficatlont pe r taining thereto, i~ J~ In my o p i n i o n , I n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Oflker D a t e

3. Date of R e p o r t05/13/201 I

01101/201012/31/2010

I M P O R T A N T N O T E S : ~e instructions accompanying thix form mu~t be followe~ Complete ail par~,check ing the NONE box for each par t whcre yoa have na repor tab le in format ion . S ign on las t page.

N O N E (N o reportable position~.)POSITION

I. C u s t o d i a nN~A ME OF ORGANIZATION/ENTITY

Custodial Account # 2

3.4.5.

N O N E ( N o reportable agreements.)

I . N/A2.3.

PARTIES AND TERMS n ~ ~O k l a h o m a P u bl ic E m p l o ye e s R e t i r e m e n t S ys t m n - v e s t e d . E li g i b le a t a g e 6 2 C O


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F I NANCIAL D I SCL O S URE RE P O RTPage 2 of 8

N a m e o f P e r s o n R e p o r t i n gI leaton, Jo e L. 05113t2011

III. N O N - I N V E S T M E N T I N CO M E . ~,~d~U.o~o.~,~o.,~:a~, ~-:~off~;s~7A. Filers N o n - l n v e s t m e n t I n c o m e

~] N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

2 .3.

4.

INCOblE( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I nv e s t m e n t I nc o m e - I f you were marrltd durlng an,v po raon of ~he repo rang ycar , comple:~ thls ~rcti~n. "(Dol lar amotml not required except for honorar ia. )

N O N E ( No r e p o r t a b l e no n - i nv e s t m e n t i nc o m e . )SOURCE AND TYPE

I.2.3.4 ..

I V . R E I M B U R S E M E N T S -,,,,~po,,.no., toag~s./ood, e ,,o,,oi .... ~(Include~ those to .vpou~e and dependent children,, see pp. 2J-27 of filing ozsmuction~. J

~ N O N E (No reportable reimbursements.)

2.3.4.5.

SO U R CE D AT E S LO CATIO N PURPOSE I T E M S P A ID O R P R O V I D E D


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IName! P e r s o a R e p o r t i n gPageFINANCIAL3 of 8 DISCLOSURE REPORT I n.,o.J L.v.~ N O N E ~ o r ep o r cab l e g~.)

SOURCE DESCR~TION

3.

5.

VALUE

~ NONE (No reportable liabilities.)CREDITOR D . __E S C R I PTI ON

I.2.3.4.5.

V A L U E C O D E


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F I NANCI AL DI SCL O S URE R E P O RTPage 4 of 8

D z t e o f R e p o r ~05/13/2011

VI i . INVESTME NTS and TRUST SN O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i l ~ . i o n o f A s s e t s Income during G r o s s v t tl u e a t e n d Transactions during reporting I~riod

( including t rust zs~ts) r e p o r t in g I x " r i o d of reporting ~(|) (2) (n) (2) (I) (2) (3) (4) (5)

Place "(X)" I I~er e ~ : h ~ A m o u n t T y p e (e.g., - V a l u e Value T y p e ( e .g . , D a t e Value G ain Idend ty o rexempt from prior disclosure Code I d t v . . n : n t . Code 2 M e th o d buy. salt, m m / d d , y y C o d - " 2 C ode I b u ~ , e r / s c l l e r( A - H ) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v t t e

( Q - W ) trtns~:tio~)

1 . Duke Energy common stock2. Spec t ra Ene rgy c omm on s toc k

3 . X ee l Ene rgy c ommon s toc k4. Oi l & g as w o rk in g in te res t5. Smi th Ba rney m oney fund ( Ci t ibank NA BkD eposi t Program)6. Inves tment Com pany of A mer ica7. Europacific Growth Fund8. Okla. Dev. Finance Auth. bonds (St . JolmsHeal th System)9. Bank of Ok lah oma ac c ount s1 0 . 323 East Mosier Led Partnership ltd. pa~1.interestII . Masterpiece Prop ert ies LP - l td. part . interes,1 2 . Mea dowood 1 1 LP l td . pazl . in t . real est . dev.Cleve land , O K1 3 . Hol lyw ood Sh opping Cente r LLC, Norman ,O K1 4 . West Oak s R en ta l s , gen . Pa r t . Norman , OKoffice b l d g .1 5 . N o rman Co n s t ru c t io n & Pavin g co mmo ns t o c k1 6 . DDB L imited Partnership, l td. part . interest1 7 . Grow th Fund A mer ic a

B DividendB Dividend

B Divid en dD Royal ty

A DividendC DividendA DividendA I n t e r e s t

N o n e

E R e n tD R e n t

B R e n t

C R e n t

B R e n t

N o n e

C R e n t

A D i v i d e n d

K

K

K

K

J

M

K

ll

M

L

MJ

J

lM

T

T

TVTT So ld(p an )T

TT

UU

U

T

12115110 K

I. Ioo,r~ G zin Code* : A = $ 1 .000 o le tt B =$!.0O I . $2.5~O C ---~L~OI - $~.000 O = $ ~ i . O O t - $ 1 5 . 0 0 0(See Colurms BI az~d D4) F -$~O,001 - $100,000 G - $ 100 ,001 - $ 1 ,000 ,000 H I =$1,000,001 - $~,,000,000 H 2 = M o ~ I h ,m $ 3 , 1 ~ 0 0 . 0 0 0

2. Valu~ Cod~ J "$15.000 o I~$ K "$13,O01 - 150,000 L =$50,001 - $100.O00 M =St00.001 - $230.000( S ~ C o ~ u n m s C I ~ D S ) N -$250,Q 01 - $ 300,000 O =$ 500,001 - $ 1 , 0 0 0 . 0 ( ~ 0 Pl -$1.000,001 - $3,000.000 P2 -$5.000.001.12S.000.000p] = $ 25,000 .001 - $ 50 ,000 .000 P 4 -M o ~ th.m $ 50,000 ,000

] Va lu~ M~hod Cod~ Q = A p l ~ c . . a i ~ aI R = C o ~ l { R ~ z z | E s t at e O r d y ) S =Az .~trm:m t "4S~h Manet(S~* Colu~m C/) U - B o ~ k V t lm : V =O t l~ r W =E~watt~l


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FI N A N C I A L D I SC L O S U R E R E PO R TPage 5 of 8

N a m e o f P e r s o n R e p o r t i n g .H e a t o n , J o e L ,

Date of Report05113/2011

VII. INVESTMENTS and TRUSTSN O N E ( N o reportable income, assets.

A. B. C. D.I ~ s c r i p tJ o n o f A s s e ~ s Incon~ during Gro ~ v ~: a t e n d Tmn~tio~ ~n8 ~fling ~(i~M~ng ~ ~~) ~ning ~ of ~ing ~n~

O ) . ( 2 ) O) , ( 2 ) ( t ) (2) (3) (4) (~)Pl~"~)" a~ ~h ~t A~t T~ (~.g., Value ~alu T ~ ( . & , D a t e Val~ G a i n [~n~ of(A-~ : ~ int.) { J - P ) C~ ~ ~pt~o) { J - P ) (A-H) ( i f p r i v a t e

(~ ~ction)

1 8 . I N G - U S A L i fe I n s . C o . ( fo r mal l y E qu i t ab l eo f I o w a )

1 9 . i n t .G r o wt h & I n co m e F u n d

20. S m a l l C a p W o r l d F u n d2 1 . . I n d i v id u a l R e t i r emen t A cco u n t # l

22. - A mcap F u n d

2 3 . - I n v e s tm e n t Co m p a n y o f Am e r i c a ""24. - S m i t h Ba r n e y M o n e y F u n d s - c a .s ~

I~rt folio - A25. - G r o wt h F u n d o f A mer i ca A cco u m

26. - E u r o P ac i f i c G r o wt h F u n d

27. I n d i v i d u a l R e t i re m e n t Ac c o u n t # 2

! 28.- A m c a p F u n d

29 . - Inves tment Company o f Amer ica30 . - S mi t h B ar n ey M o n ey F u n d s - case

portfolio - A3 1 . - G r o wt h F u n d o f A mer i ca

~ 3 2 . - E u r o P ac i f i c G r o wt h F u n d

3 3 . C u s t o d i a l A cco u n t #2

3 4 . - S mi t h B ar n ey m o n ey ~ n d ( C i t i ban k N ABa n k D e p o s i t p r o g r a m )

D iv id e n d

Di v i d en d

D iv id e n dD i H d c n d

Di v i d en d

J U

J T

J TN T

M T

Bu y

Bu y

12J l5/10

1 2 / 1 5 / 1 0

C =$,7_:501 -tit = $ t . o o o . . o o t -L - $ ~ 0 . o o t - S t 0 0 . 0 0 0P I : $ l , O O O . O O I . $ ~ . 0 0 0 . 0 0 0

w = E ~ m ~ , . ., 4

M - $ 1 O O ,0 0 ! -P2 = $ 5 . 0 0 0 , 0 0 1 - 525.0Q0.0~0T , , , C z s h M a l ~ { l

I- =$ 13.00


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F INANCI AL DI S CL O S URE R E P O RTPage 6 of 8

N a m e o r P e r s o n R ~ o ~ i agl leaton, Joe L.

Date of R e p o r ~05/I 3 / 2 0 1 1

[~] N O N E (31o reportable income, a~sets, or transact ions.)A. B. C.

Descriptionof As~ Income du r ing Gross va lue a ! end( inc lud ing t rus l as sets) repor t i ng p~r iod o f repo r t ing pe r iod

(t) " "(2)" (i) (2)P l a c ~ " ( X ) " a f l c r e = , h a s . s ~ Amount T y p e (e.g., Value Value

exempt f rom pr io r d i~ losur t C o d e I d iv., te n t. C o d e 2 M e th o d(A-H) or i nL) (J-P) C o d e 3(q-w)

Transact ions dur i ng r ~por t :ng per i od

(0 OJ O) (~)T y o e ( e . g ., D a t e V a l u e G ~ in I d e n , t i q ~ o f -b ~y, s~l l . ,; m . m / d d / y y , , ~ C p f l e 2 C o d e J. buye r l~i l~r

r~ l ~ mp t i o n ) (J-P) ( A -H) (if pt%ate

3 5 . - Bank o f O k l a h o m a a c c o u n t

36 . - Smith B arney Large Cap Value Ftmd (nowLegg M a s o n )3 7 . - Grow th Fund of America3 8 . - 323 East M o s i ~ LP, l td. pro. interest3 9 . Meadowood II LP, ltd. part. intere st

40 . - DDB Limited Part. ltd. part. int.

41 . - Masterpiece Propert ies LP, l td. pan.i n t e r e s t

Sold 0 1 1 0 4 1 1 0

E - $ I L O 0 1 - $ ~ 0 , 0 0 0


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F I NANCI AL DI SCL O S URE RE P O RTPage 7 of 8

N a m e o f P e r t o , , R e p o r t i n gHea ton, Joe L .

VIII . ADD ITIONA L INFI~RM ATION OR EXPLAN ATIONS.

!Date e t Report I05/13/2011

I . The va lu e o f the o i l an d g as w o rk in g in te rex t id en t i f i ed .in Par t VII , l in e 4 , i s based o n averag e m o n th ly in co m e d u r in g the p ~r io d x36 m o n ths . The wel l s a relo ca ted in Oklaho ma (Fo lmar) an d M cCla in (L ewis I - I I an d M o o n ey) Co u n t i es , Oklaho ma.2. As to the cus tod ia l accoun t show n in Par t VI I , f i ler i s the cus tod ian o r co- s igner o f the bank accoun t and a sse ts in b rokerage accoun t . ~ i s cus tod ian as tol imi ted p armersh ip in te res t s . Va lu a t io n s o f p u bl icly t rad ed f u n d s a re based o n co s t /maAet ; va lu e~ o f l imi ted p ag n ersh ip in te res ts a t e ba . s~ o n bo o k va lu e .3 . The l imi ted p a~n ~rsh ip in te res ts in d en t i f i ed in Par t VII , l in es 10 , I I , 12 an d 16 a l so had in te res t o r d iv id en d in co m e in ad d i t io n to ren ta l in co m e (p er K-I ) . Theprope r t i e s gene ra t ing t~ n t a I i nc ome a r~ in Cleve l and County , O K.


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F I NANCI AL DI SCL O S URE R E P O RTPage 8 of 8

N - m e o f Pm o n R e p o r ~ i a || l e a ton , J o~ L. 05/13/2011

IX . CERT IFICATION .i c e r t i fy tha t a l l In fo rma t io n g iv e n a bo v e ( in c lu d in g in fo rm a t io n p e r t a in in g to 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 , if , ,n y ) i sa c c u ra t e , t ru e , a n d c o mp le t e t o the be s t o f my kn o w le d g e a n d be l i e f , a n d tha t a n y In fo rma Uo n n o t r e p o r t e d w a s w i thhe ld be c a u se i t me t a p p l i c a b le s t a tu to ryp ro v i s io n s p e rmi t t i n g n o n -d i sc lo su re .I f u r th e r c e r t i fy 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 y m 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 c e 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 ncom pl iance wi th the p rov is ions o f 5 U.S.C. app . 501 e t . seq . , 5 U.S.C. 7353, and Jud ic ia l Con ference r egu la t ions .

Signature s / J o e H e a t o n

N O T E : AN Y I N D I V I D U A L W I I O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A L L S T O F 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 I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t ra l i v e O f f i c e o f th e U n i t e d S t a t e s C o u r l sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 54 4

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Joe L Heaton Financial Disclosure Report for 2010