UNITED STATES DISTRICT COURT SOUTHERN DISTRCT OF TEXAS. Amen_dment to Financial Disclosures for Judge Andrew S. Hanen

Transcription

1 UNED SES DSRC COUR SOUHERN DSRC OF EXS NREWS. HN U.S. DSRC JUDGE 600 E. li'r.son SRE, #301 BROWNSVll.LE, EX EL: (956) 'CJ (J C).,.. = =, c_ June7, 007,.., c:: o. uiz c:i N Committee on Financial Disclosure dministrative Office of the United States Courts Suite 301, One Columbus Circle, N.E. Washington, D.C J> Re: men_dment to Financial Disclosures for Judge ndrew S. Hanen Dear Sir/Madam: ls i ' Pursuant to the Committee's letter request of June 1, 007, please find the following additional information. ll of the following pertains to information contained in Part V: 13 i13 Chase Retirement Money Mkt Reserves 1 Merrill Lynch Money Mk Reserves Merrill Lynch Money Mk j Reserves 10 mboy Nat'l Bank CD / i l i ' ;1 New Frontier Bank CD Buy i1110 L i : Fidelity Cash Reserves Smith Barney ax Free 38 c nterest F Money Market. [ l j l ' Matured j10/7 L ; Merrill Lynch Bank 58 nterest J Sell : 1/301 J Money Market ; B

2 Commttee on Financial Disclosure June 7, 007 Page lthough not raised by your letter, the account on Line 57 is a similar account and that description should be amended to read as follows: Merrill Lynch CM ax ; 57 c nterest L : Exempt Money Market am. enclosing three (3) extra copies of this response. Please call or write if you need additional information. United States District Judge SH:am

3 _ OO(WP) FNNCL DSCLOSURE REPOR Re\'. Ji'.007 FOR CLENDR YER 006 Reporr Req11ired by the Ethics in Govemment ct of (5 U.S.C. app ). Person Reporting (last name. jlrst, middle initial). Court or Organization 3. Date of Report Hanen, ndrew S. United States District Court exas 5/11107.t. itle (. rricle lljudges indica1e actf\'e or senior sraws: Sa. Report ype (check appropriate type) 6. Reporting Period magistra1e judges indicate /11/l or parttime) Nomination, Date United States District Judge ctive Sb. nitial _: nnual Final Januarv 1, 006 through December 31, 006 _..\mended Report 7. Chambers or Offce ddress 600 East Harrison Street, #301 Brownsville, exas On the basis of the information contained in this Report and anv modifications pertainng thereto. it is, in my opinion. in compliance with applicable laws and regulations. Reviewing Officer Date _ JOR.N NOES: he instructions accompanying this form must befollowed. Complete all parts. checking the NONE box for each part where you have no reportable information. Sign on last page.. POSONS. (Reporti11g i11dividual only: see pp. 913 offnstn1ctions.) POSON NME OF ORGNZON/ENY V NONE (No reportable positions.) 3. GREElVENS. (Reporti11g individual only: see pp of /11str11ctions.) 0 DE PRES ND ERMS Ui 9 C",.,, 3: NONE (No reportable agreements.) :; o c.z < c: :::0 :z rn oj>...,,., ('. N 0 NNVES lven N CO VE. P1 (Reporting individual and spouse: see pp. 174 of fnstrnctions.) 0 D E SOURCE ND YPE NCOME. Filer's Nonnvestment ncome s:: 0 r: :: rn (' rn < rn 0 v NONE (No reportable noninvestment income.) 3 B. Spouse's Nonnvestment ncome f you were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria) 1 NONE (No reportable noninvestment income.) 006 Selfemployedttorney 006 UEProfessor

4 FNNCL DSCLOSURE REPOR Name of Person Reporting Date of Report 5/11107 V. REil\BURSEMENS transportation, lodging, food, entertainment. (ncludes those to spouse and dependent children. See pp. 5 7 of lnsm1ctions.) SOURCE DESCRPON NONE (No such reportable reimbursements.) 3 State Bar of exas State Bar of exas Feb. 3 ustin, exas Panelist at CLE event (hotel and mileage) pril 4 ustin, exas CLE Program (airre. rental car, gas, and parking) V. GFS. (ncludes those to spouse and dependent children. See pp. 831 oflnstrnctions.) SOURCE DESCRPON VLUE V NONE (No such reportable gifts.) 3 4 V. LBLES. (ncludes those of spouse and dependent children See pp. 333 of nstructions.) CREDOR DESCRPON VLUE CODE* NONE (No reportable liabilities.) PPH Mortgage Services Mgt on SP, exas Prop. (Part V, Line N 4 5 *Value Codes: 1=15,000 or less K=15,00l50,000 L=50,00 l100,000 M= l 00,00150,000 N=50,001500,000 0=500,0011,000,000 Pl= l,000,00 l5,000,000 P=5,000,0015,000,000 P3=5,000,00150,000,000 P4=50,000,00 l or more

5 FNNCL DSCLOSURE REPOR Name of Person Reporting Date of Report 5/11/07 V. Page 1 NVES.iENS and RUSS spouse and dependent children. See pp of J11st111ctions.) income, value, transactions (ncludes those of. B. C. Description of ssets D. ncome Gross value ( includmg trust assets) ransactions during reporting period during at end of reporting period reporting period () () ( ) () () ype (e.g., yp e Place "(X)" after each asset (e_.g.. Value () (3) exempt from prior disclosure. mt. div., Value Method buy, sell, Date: Value Code rent or Code Code3 merge", Month Code (H) int.) (JP) (QW) Day redemptmn) (JP) f not exempt from disclosure. (H) (4) Gain Code (5) dentity of buver/seller (if private transaction) NONE (No reportable income. assets, or transactions.) R ccount #1 c nterest M reasury Strips 3 Money Mkt Reserves.4 R ccount # B. K. ' : 5 CDC NVES 6 Gartmore Optimal 7 Hotchkis & Wiley.....,... 8 Money Mkt Reserves 9 R ccount #3 D G r 10 CDC NVES 11 Gartmore Optimal 1 Hotchkis & Wiley 13 Money Mkt Reserves 14 Retirement ccount #1 E lnt./div. N 15 Short erm Bond Fund 16 Ginnie Mae Fund 17 Mgt Security Fund ncome/g ain Codes: =,OOO or less 8=1,001,500 C=,505,000 D=5,0015,000 E=5,00l50,000 (See Col. Bl, D4) F=50, ,000 G=100,001,000,000 H1=1,000,0015,000,000 H=More th an 5,000,000 Value Codes: J15,000 or less K=5,0050,000 L=50,00l 100,000 M= l 00,00150,000 (Se e Col. Cl, 03) N=50,001500,000 0=500,0011,000,000 Pl =1, ,000,000 P=5,000,0015,000,000 1 P3=5,000,00150,000,000 P4=Mor e tnan 50,000,000 3 Value Method Codes: Q=ppraisal R=Ccist (real estate only) S=ssessment =Cash /M arket (See Col. C) U=Book value V=Other W=Estimated

6 = FNNCL DSCLOSURE REPOR Name of Person Reporting Date of Report 5/1 li07 V. Page NVESlVENS and RUSS income, value, transactions (ncludes those of spouse and dependent childrell. See pp of J1st111ctions.) B. c. Description of ssets ncome Gross value D. ( includmg trust assets) during at end of ransactions during reporting period reporting period reporting period Place "(.\)"after each asset exempt from prior disclosure. () () () () () ype ype le..g.. Value le.g., () (4) (5) mt. div., Value Method buy, sell, Date: Value Gain dentitv of Code rent or Code Code merger, Month Code Code buyer/seller ( H) int.) (JP) (QW) redemption) Day (JP) (H) (if private transaction) (3) f not exempt.from disclosure NONE lno reportable income. assets. or transactions). 18 Marshall Bond Fund 19 Pax Balanced Fund 0 Bank CD Matured 0/7. L B 1 Bank CD Buy 1110 L Cash Reserves : 3 Brokerage cct #1. i..... ravis County Municipal c nterest L :15 Houston SD Municipal c nterest L 6 Pearland SD Municipal c nterest L 7 Killeen ex. Municipal c nterest L 8 Katy ex. SD Municipal c nterest L Lubbock x. ax & Wtrworks 9 c nterest L Municipal Univ. ex. Revs. Fin. Municipal 30 D nterest L Southlake ex L Water 31 D nterest L Municipal 3 Georgetown SD Municipal C nterest L Ft. Worth ex SD Municipal 33 c nterest L 34 U Dev. Municipal c nterest L _... (S e e _ C o İ B_lc,_ D_4 ) F_ = c ncome/gain Codes: =1.000 or less 8=1,001,500 C=,5015,000 D=5,00115,000 E= 5,00150,000 Hl=1,000,005,000,000 H=More than 5,000,000 Value Codes: J=15,000 or less K= , ,06 0M = , 0 OŌ (See Col. Cl, D3) N=50,001500,000 0=500,0011,000,000 P1=1,000,0015,000,000 P=5,000,0015,000,000 P3=5,000,00150,000,000 _ P4=More than 50,000,000 3va:tiieMerlc>_c_ciCes: ppraisa R=Cost(reaestaleonly)S;;ssessmen_t CasfiMarket (See Col. C) U=Book value V=Other W=Estimated ' o,o O l_ 1 _ o_o, _ oo_ o_ G= oo,oo 11,000,000 L=50,001.

7 FNNCL DSCLOSURE REPOR Name of Person Reporting Date of Report 5111/07 V. Page 3 NVESVENS and RUSS income, value, transactions (ncludes those of spouse and dependent children. See pp of Jnst111ctions.). B. c. Description of ssers ncome Gross value D. (including trust assers) during at end of ransactions during reporting period reporting period reporting period () \) () () () f nor exempt from disclosure ype ype (e... Value (3) (4) (5) Place "(.\)"after each asser mt. div., Value Method Date: Value Gain dentity of exempt from prior disclosure. Code rent or Code merger, (H) int.) (QV{) redemption) Day (JP) (H) (ifprivate transaction) (JP) (e.g., buy, sell, () Code Month Code Code buyer/seller NONE (No reportable income, assets. or transactions) Richardson exas Municipal 35 c nterest L 36 llen exas Rfdg. Municipal c nterest L.37 Plano SD Municipal D nterest L 38 ax Free Money Market c nterest F 39 Brokerage cct # '40 ldine ex SD Municipal D : nterest L 41 Del Valle SD Municipal D nterest L 4 DeSoto ex SD Municipal C nterest L Redeemed / L :43 Canadian Riv. Mun. Municipal D nterest M :44 Houston ex Water Municipal D nterest M 45 Brownsville ex Municipal c nterest L 46 Lower Col. Riv. uth. Municipal c nterest L 47 rlington exas SD Municipal D nterest M 48 Harris County Municipal D nterest M University ofn. ex Municipal 49 B nterest K ldine ex SD Zero Coupon Municipal ex. &M Rev. Zero Coupon Mun. B nterest K B nterest K ncome/gain Codes: = l.ooo or less B=1,001,500 C=,5015,000 D=5,00115,000 E=15,00 l50,000 (See Col. Bl, D4) F=50,00 l 100,000 G=100,00 1,000,000 H1=1,000,0015,000,000 H=More than 5,000,000 Value Codes: 1=15,000 or less K=15,0050,000 L=50,00 100,000 M=100,00150,000 (See Col. Cl, D3) N= ,000 0=500,0011,000,000 P=,000,0015,000,000 P=5,000,0015,000,000 P3=5,000,00150,000,000 P4=More than 50,000,000 ValueMcthod Codes:Q ;;ppraisaf R=Cost (real estate cinjy)s=ssessment =Cash/Market (See Col. C) U=Book value V=Other W=Estimated

8 FNNCL DSCLOSURE REPOR Name of Person Reporting Date of Report 5/11107 V. Page 4 NVESVENS and RUSS income, value, transactions spouse and dependent children. See pp of nstructions.) (lncludes those of. 8. C. Description of ssets ncome Gross value (includmg trust assets) durino at end of reporting period reporting period () () D. ransactions during reporting period (1) () f not exempt from disclosure ype ype (e.g., Value (e.g., () (3) (4) (5) Place "(X)" after each asset mt. div., Value Method buy, sell, Date: Value Gain ldentitv of exempt from prior disclosure. Code rent or Code Code merger, Month Code Code buver/seller (H) int.) (JP) (QW) redemptton) Day (JPl (H) (if private transaction) NONE (No reportable income. assets, or transactions) Gal. exas Pub. Zero Coupon 5 B nterest K Mun. 5 3 Houston ex SD Zero Coupon 4 f 1U: 1 : z _i _ ' Municipal B nterest K n ': _ n 5 nter K _ Houston ex SD Zero Coupon Municipal B nterest. K ; Sharyland SD Municipal C nterest L, 57 CM ax Exempt Money Market C ' nterest : L.58 Bank Money Market : nterest, J Sell 1/30 J '59 exas State Bank ' nterest. K Garage SP ex. Prop. Rent 0 Q 61 Northwestern Mutual EOL Life ns #117 J Northwestern Mutual EOL Life ns #714 Northwestern Mutual Whole Life ns #64 J J 64 Northwestern Mutual Whole Life ns #817 C L 65 Northwestern Mutual Whole Life ns #811 C L 66 Northwestern Mutual EOL Lfe #840 C K ncome/gain Codes: =,OOO or less 8=1,001,500 C=,5015,000 D=5,0015,000 E= l 5,00150,000 (See Col. Bl, D4) F=50,00 100,000 G=100,001,000,000 Hl =1,000,0015,000,000 H=More than 5,000,000 ValueCodes: J=15,000 or less K15,00150,000 L=50,00100,000 M=100,00150,000 (See Col. Cl, D3) N=50,001500,000 0=500,001,000,000 Pl=,000,005,000,000 P=5,000,005,000,000 P3=5,000,00150,000,000 P4=More than 50,000,000 yy alue MetfiO<lco<ls:o=ppraisal =Co5t(real r,,; a:1111varket (See Col. C) O=Book value V=Other R estateonly)s =ssessm en W=Estimated..

9 FNNCL DSCLOSURE REPOR, Name of Person Reportng Date of Report 5/11/07 V. DDONL NFORJvON OR EXPLl ONS (ndicate part of Report.) NOES Part V 1. he transaction note on Line 4 was the maturity of the DeSoto ex SD Municipal. hey were redeemed at par. s such, they \Vill not appear on future reports.. he date of the appraisal for the SP property listed on Line 60 is pril 5, he transaction shown on Line 58 whereby the Bank Money Market was sold was in reality a transfer of those sums from the Money Market on Line 58 to the CM ax Exempt Money Market listed on Line 57. herefore, that investment (Bank Money Market referred to on Line 58) will not appear in future reports. 4. he values listed in Section V for the Municipal and Zero Coupon are maturity values. X. CERFCON. certify that all information 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 withheld because it met applicable statutory provisions permitting nondisclosure. 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 of 5 U.S.C. app. 501 et. seq., 5 U.S.C and Judicial Conference regulations. Signature NOE: NY NDVDUL WHO KNOWNGLY ND WLFULLY FLSFES OR F LS O FLE HS REPOR MY BE SUBJEC O CVL ND CRMNL SNCONS (5 U.S.C. app. 104.) FLNG NSRUCONS: Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Offce of the United States Courts Suite 301 One Columbus Circle, N.E. Washington, D.C. 0544