report reuired by the ethics in ovenment act of rv. 112010 ... · report . reuired by the ethics ....

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

( . )

0-

'1

s ;:u ::?:: m :::'> -< 0

' ·'

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOIO in Government Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-11 I)

I. Person Reporting (last name, first, middle initial) 2. Court or Organization

Hittner, David United States Disu1ct Court

4. Tille (Article JJI judges indicate active or senior status; Sa. Report Type (check appropriate type)

D magistrate judges indicate full- or part-time)

Nomination, Date

Senior Status Jnitial Annual FinalD 0 D Sb. Amended Report D

3. Date of Repon

04/28/2010

6. Reporting Period

01/0112009 to

1213112009

7. Chambers or Office Address 8. On the basis of the information contained in this Repon and any modifications pertainh1g thereto, it Is, in my opinkln, in complisnce with applicable laws and regulations. U.S. District Court

515 Rusk Street Room 8509 Houston, Texas 77002

Revie"l\ing Officer __ ·--·--·- --··-·-·-·--- ____ Date_ ---·---.. --·

IMPORT ANT NOTES: The instructions accompanying thi>'form must befollowed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSI'fJONS, (Reporting inJ/Mdual only; see pp. 9-13 of filing instruclit>n.<.)

D NONE (No reportable positions.)

I. Director Sam Houston Area Council/Boy Scouts of America

2. Director South Texas Law Review

3.

4.

·5. · r- .

..(J):

m w�� ::: I

c.:r;,. < ·- -0

rnJJ, AGREEMENTS. (Reporting individual only; see pp. U-16 of filing instructions.)

("") 0 fTl w[2J NONE (No reportable agreements.)

.r::

I.

2.

3.

Hittner, David

SOURCE AND TYPE

SOURCE AND IYPE

SOURCE LOCATION PURPOSE

l. --------- ------- ---�------- ----------

---- ··------ --------

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT of11

Name of Person Reporting

Hittner, David

Date of Report

04/28/2010

III. NON-INVESTMENT INCOME. (Reporlingindividualandspouse;seepp.17-Uoffilinginstructions.)

A. Filer's Non-Investment Income •

D NONE (No reportable non-investment income.)

l. 09/23/09 The West Group - Royalties on 5th Circuit Guide

2. 04/09/09 The West Group - Royalties on 5th Circuit Guide

3.

4.

B. Spouse's Non-Investment Income - Ifyou were married during any portion oftfte reporting year, comp/eu this section.

(Dollar amount not required except for honoraria.)

[ZJ NONE (No reportable non-investment income.)

I.

2.

3.

4.

IV. REIMBURSEMENTS - tTansportation, lodging, food, entertainment

(Includes tho.se to spouse and dependent children; see pp. 25-27 ofjiling ins!roctions.}

[ZJ NONE (No reportable reimbursements.)

2.

3.

4.

5.

(yours, not spouse's)

$4,438.31

$967.56

SQURCE DESCRIPTION VALUE

CREDITOR DESCR!PTIQN VALUECQDE

FINANCIAL DISCLOSURE REPORT

of11


Hittner, David

Date ofReport

04/28/2010

V. GIFTS. (Includes those to spouse and dependent childrefl; see pp. 28-31 of filing instructions.)

[{] , NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VJ. LIABILITIES. (/nclutks those of spoU>·e and dependent children; see pp. 32-33 of filing instructions.)

[ZJ NONE (No reportable liabilities.)

I.

2.

3. ·---··--- ----··- -- ---··

4.

5.

1·· [--I=o !:u:�:- ross --

Amount Code J

- - ---- --------- - -- -

(1-) -f __ _

_____ __

___ 'fillS_"() ,�!.___,

! 2.

3.

5.

I ,

I

r-·i = : :.;: -1 7- -d-04_) ______

_

______

____

j

!

- ------

--

c:pti:n of As--

-----

--1 - v e at :-- -(mcludmg trust assets)

Code 2 Method

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of11 04/28/2010Hittner, David

VII. INVESTMENTS and TRUSTS - income, '"'"'· 1ransactions (lnctwes those of spouu and dependent children; see PP· 14-60 offuing msuuctions.;

NONE (No reportable income, assets, or transactions.) -- -D

--

of reporting penod(l) (2)

-

-I

·-·--·---·-·- ------ -- ---- - ·-· 1D. I .Transactions durjng reporting period

reporting pcnod _(2)-1 (3)" - \4) -i--- (s) ___

Date Value Gam - -- _

Type (e.g., Value

(J-P)

Value

Code 3

(I) (2)-Place "(X)" after eath asset

1 Type (e.g.,

exempt from pnor disclosure div., rent, -(A-H) or mt.)

ldennty of Code 2 Code I buyer/seller

(ifpnvaternmlddfyy

(J-P) (A-H)buy, sell,

redemption)(Q-W') L _ __ l_

____L_ . _ _ _

l. BANK ACCOUNTS:

Cash/Checking - JP Morgan Chase Bank, A Houston, Texas

IRA CD • JP Morgan Chase Bank, Houston, A Texas

4. Cash/Savings - JP Morgan Chase Bank, A Houston, Texas

Post Oak Bank - CD c

6. Community National Bank - CD c

7. LIFF INS/ ANNUITIES:

8. Mutual Trst Life Ins.. Co/Oakbrook, IL c

9. rNVESTMENTS:

10. IMS SECURITIES INC:

11. Federated Capital Reserves Money Market c I w/in Brokerage Acct.

12. WMT A

13. PERSHING INVESTMENT:

14. ACY A

15. AS VIX A

16. BAX A

17. PGVFX A I

L-.. .

Interest L T '-·•,J''

Interest K T

Interest L T

Interest L T

Interest L T

Interest L T

Dividend J T

Dividend J T

Dividend J T Buy 06/24/09 J

Dividend J T Buy 06/24/09 J

Dividend K T Buy 6/24/09 K

Dividend Buy 01/01/09 J

_

"'···---·---- · ----------- --------·----·--------------------- - - -------- --- - ----- - -'-----.·

A =$1,000 orles B 41,001 - 12.500 C =Sl.501 - $5,000 0=$5,001-$15,000 E =$15.001 · $50.()(){)F =$50,001 • $100,000 _ G =$100,001 - $1,000,0iXl HI =$1,000,001. 55,000,000 H2 =More than S5,000,tJOO

l. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$100.000 M =$100,001 - $250.000 -l (Sec Columns Cl and DJ) N =$250.001 - $500,000 0 =$500,00 I • $ i ,000.000 Pi =Sl,000,001 - $5,000,000 P2 =$5,000,0DI - $2.1,000,000

PJ $25,000,001 - $50,000,000 P4 =More lhan $50,000,000 3. Value Method Codes Q==Appra1sal R =;(:os1 (Real Estate Only) S =Assessment T =Ca.sb Market

(See Column t.t) U =Book Vnluc V=Otf>er W ...-Estimated · · -- · -

. --------- -- ----- -·- -- ----- ·- -·----- -------- · ··-· ---- - ---- - - - - ---------·-· ···--- ... ·-- ----------- ----- ·-- _,--------·----·-----

r

I A

(l) (2J

__ ______ ____ - ---- ___ __,

J

Ga - -des ____

: ·;;:1 :,

____ (l) __ __ (2}i(:l)-·--,

18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

28.

29.

30.

31.

32.

33.

34.

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

PGVFX

BRKB

BERWX

BSX

BIP

cvx

CHI!

CTAS

EFA

CFIMX

XO

COST

DMLP

EPE

ERIC

GTEYX

HNZ

- ---,- - - - B . - --------1-- c ---·-r--··-·------··-· ------··--o.··------------------·------- ---1.

Income during Gross value at end j Transactions during reporting period

reporting period of reporting period 1

·T--(2)-- (1) .{4)-.------(5)--·----Amount Type (e.g., Value Value Type (e.g., Date I Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, mm/dd/yy I Code 2 Code I buyer/seller (A·H) orint.) (J-P) Code 3 redemption) 1 (J-P) (A·H) (if private

1 I (Q-V\') i . transaction) _____ _ ___l_. , _;.. ____ ·-··- ·---·----- -·-·---·--·----·__,_ ___ _ _.:.._ ,

None Sold 06116109 J

None J T Buy 06/24/09 J

A Dividend J T Buy 01/02/09 J

None J T Buy 06124109 J




None J T Buy 06/24/09

None Sold 01101109 J



A Dividend J T Buy 06124109 J


A Dividend J T Buy 06/24109 J


A Dividend K T Buy 06/04/09 K

A Dividend J T Buy 06124109 J

e ---A:.Sl:OOo-o J --------S :s1 Ml $2:500- - - - - c =>2,501 - $5,000

Sec Columns Bl and 04) F =$50.001 - $!00,000 G SI00,00! - $1,000,000

Cl and 03) =:; ; % '.1 00,000 ::! :; ::.ooo P3 -$25,000,001 • $50,000,000

Value Method Code.."> Q =Appraisal R =Cost (Real Estate Only) See Column C2) lJ ::Book Valtie V -=Other

HI =$1.000,00! - $5,000,000 L =S50,00l · $100,000Pl =$!,000,001 • $5,000,000P4 :;:More than $50,000,000 S =Assessment W =::£s1imated

H2 =More than $5,000,000

M =SI00,001 • $250,000

P2 =S5,000,00I • $25,000,000

T :\ShMarket

--·- ------- ----- ---- - ---------------- - - --- - -- --- ----·--- ----- ---·----- ------- - - - - - - --· ------

FINANCIAL DISCLOSURE REPORT of11

Name of Person Reporting Hittner, Da"id

Date of Report 04/28/2010

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of.•pouse and dq>ent1en1 children;••• PP. 34-60 of flling instructions.)

D NONE (No reportable income, assets, or transactions.)

---- -----------es_c_ri-p

t-ion

-A-. u_f_A!_s-se-15-.

--- ___ G_r_o_ ss -- c-a_t_cn

A�t·::r.. 1 :rr:2 - --;e-

·

--��::.: I

; KFT

Method Code

.L( L- _ j_transacti ) __ ____ ---

A

I ; :

J

------ ·-·

--------

------------·--- ··- ----·--·-·-

_ _J

--·-· -··--·---D

- --· 1 lncom: uring l

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT of11 04/28/2010Hittner, David

VII. INVESTMENTS and TRUSTS - income, value, transactions (lndudes those of spouse and dependent children; see pp. 34-60 of fili11g UISlruction:s.)

D NONE (No reportable income, assets, or transactions.) -· ·-·· ··

n t·-· -Tra sac

·---1 ions during reporting period

·.:·::'.:·::� -Typ 1 e.g.. 1 �. ...:..':, ..Code Iexempt from prior disclosure div., ren Code 2 buy, sell. rrun/dd!yy Code 2 Code I buyer/seller(A-H) or int.) (J-P) 3 redemption) (J-P) (A-H) (if private I __ i___

_

35. HEW BuyJ T J06/24/09None

36. HPQ A Dividend Buy JJ T 06/24/09

37. IBM JA Dividend J T Buy 06124109

38. HYG JBuyA Dividend 01/02/09

39. HYG KS(>ldNone 05/18/09

40. JNJ J BuyA Dividend T J06/24/09

41. Buy JA Dividend J T 06/24/09

42. KR J Buy JDividend T 06/24/09

43. LSTR Buy JJ TA Dividend 06/24/09

44. LMT A Dividend T Buy JJ 06/24/09

'

45. LOW J T BuyA Dividend 06/24/09 J

46. EXWAX BuyA Dividend K T K06124109

47. MCD A Dividend J T Buy 06i24/09 J

48. MHS J T BuyNone J06i24/09

49. MSFf A Dividend J T Buy 06/24/09 J

50. NGPC T BuyA Dividend J J06/24/09

51. NHP A Dividend T Buy J06/24/09

---·····-'--. I.. ___ ; ___

I. Income Gain C.odes: (Sec: Culum.'ls Bl and 04}

2. Value Codes (See Columns Cl and D3)

3. Value Method Codes (See Co!unlil C2)

A =$1,000 or less f =$50,001- $100,000

J , .. S15,000or less N =$250,001 - $500,000

P3 =$25,000,001 · $50,000,000

Q=Appraisal U =Book Valoe

B =$1,001 - $2,500 G =SI00,001 -$1,000,000

K =$15.001 - $50,000

0 =$500,00I • $1,000,000

R '=-Cos1 (Real Estate Only)V=Other

c ">2,501 - $5,000 D =$5,001 - $15,000 E =S 15.00 I - $50.000 Ill =$1,000,001 - $5,000,000 H2 =More than $5,000,000

L =SS0,001 - S!00,000 M =$100.00 l - $250,000

Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,0fXJ

P4 =More than $50,000,000

S :::-Assessment T :C:ash Market W =Estimated ···----··-····-··----·-·····-···----··-··-·-··-------

i

----T

---e:-. --·

T----·-

'1 untrTy 2ie.:r c 1- ---Typ

- -,rg

- -r�� . I -:d

riffi--- J

I

162.

I i

RYN

L_--- mn_c_2_) --------· -U_=_Boo_k_· >_'•_lu_o ____ . ______ ,_· "'°

-

th

e -·-----·- -------·--- - -t t_e_d _________ _

J

"-

-·---

I !

;

I l I

I

v c Code I div, rent, Method

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT ofll Hittner, David 04/28/2010

vu. INVESTMENTS and TRUSTS - income, value, lrll!ISOCtions (Includes thqse of spouse and Up€ndent children; SU PP· 34-60 "/filing instructions.)

D NONE (No reportable income, assets, or transactions.) _____ B. -···-· ··---·---

!--"----·---·------··---·----

A

______] -- -- - --- - --· ···

. o Description ofAssets 1nc.ome dunng Gross value at end Transactions during reporting period

(including trust assets) of reportmg period II --r- �: Tlreporting period

f--....... 1 oPlace "(X)" after each asset

(A-H) Code

or mt.) Code 2

_______ L_L______ _J_______

buy, sell, mm/dd!yy I Code 2 redemption)

Iexempt from prior disclosure buyer/seller

I (J-P) . (A-HJ (ifprivate transaction)

(J-P) Code 3I L

.I·-- -·__)·· ·(Q-WJ ,-, A Dividend J T Buy 06/24/09

53 . NVS A Dividend J T Duy

54. ORCL A Dividend J T Buy

55 . OMI A Dividend J T Buy

56. PAYX A Dividend J T Buy

57. PEP A Dividend J T Buy

58. PG A Dividend J T Buy

59. PGR None J T Buy

60. EFZ None Buy

61. EFZ None Sold

MYY None Buy

63. MYY None Sold

64. SH

65. SH

66. QCOM

67. Q

68.

None Buy

None Sold

A Dividend J T Buy

A Dividend J T Buy

A Dividend J T Buy

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

12/28/09 J

05/18/09

12/28/09 J

01115109 J

12/28/09 L

06/24/09 J

06/24/09 J

06/24/09 J

'

l. lncomc Gain Codes: A =$1,000 or less B Sl,001 - $2,500 C S2,501- $5,000 D =$5,001- SiS,000 E =Sl.1,001 • S.10,000(See Columns Bl and 04) F=$50,00l - $100,000 G =Sl00,001-$1,000,000 Ill =$1,000,00l - $5,000,000 H2 "'-More than $5,000,000

2. Va1ue Codes J =$15,000 or Jess K. =$15,00l - $50,000 L =$50,001 -5100,000 M •$100,001 - $25-0,000 (SeeColurms C! and D3) N =$250,001 - $500,000 0 =$500,00J - $1 ,000,000 Pi =SI ,000,001 - $5,000,000 P2 =$5,000,001 · $25,000,000

Pl =S25.000,00I - $50,000,000 P4 =More than $50,000,000 3. Value Method COO.es Q ""Appraisal R '""Cost (Ri=al Estale Only) S =Assessment T o::Ca..;;h Market

J

72.

! ·: :��:::) ::::��i�0�If;��-

I

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT of11 04/28/2010Hittner, David

VII. INVESTMENTS and TRUSTS - income. va1,,,,, iransactivns anctude.• tho• of spouse and depenJem children; see PP· J4-6!J offilinc instructions.)


69. ROST A Dividend

70. GLD A Dividend J

71. JNK A Dividend

JNK None

73. RWM None

74. RWM None

75. STJ A Dividend J

76. HSJC None J

77. SGM A Dividend J

78. SPLS A Dividend J

79. SRCL None J

80. SYY A Dividend J

81. TJX A Dividend J

82. MMM A Dividend J

83. UMBHX A Dividend J

84. vz A Dividend J

85. WMT A Dividend J

T Buy

T Buy

Buy

Sold

Buy

Sold

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

06/24/09 J

06/24/09 J

01/01/09 J

05/18/09 J

01115109 J

03105/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

06/24/09 J

c -$2,501 . $5.000 0=$5,001 · Sl5,000 E =$15,001 • $50,000 HI =Sl,000,001 • $5,000,000 1!2 =More than '$5,000,000

Value Cod s J =$15,000 or less K =$15,00l • S50,000 L =$50,001 • SI00,000 M "'SI00,001 • $250,000

(See Columns Ci and 03) N =S250,001 • $500.000 0 =$500,001 . S!,000,000 Pl =$1,000,001-$5,000,000 P2 =$5.000,001 • $25,000,000

Pl •$25,000,001 • $50,000,000 P4 =More than SS0,000,000 / 3. Value Method Codes Q =--Appraisal R =Cost (Real Estate Only) S =Assessment T ==t·ash Market i (Sc<: Column C2) U =Book Value V Other W =Es1imatcd

___ -----f:�:Ci$�;F� o

-----·· ...... , _______ ..______,,_ ---·-·- .. ---.. .. ....... . ________ J i

1 ----:esc 1 p11 0; ,e -----: c:o:duri greportmg

:od-

1 r 1 ;�b· vr 1-�'.:; f-3lJ ; 1 I «A-H) Code I '(J-P) I (Q:.' _]___________ __

YUM

A

[1 ;; nQ;"des

- ------1- =o= u:n:-1-:,:s ueate d -1------- -

--------

FINANCIAL DISCLOSURE REPORT ofl I


Hittner, David

Date of Report

04/28/2010

VII. INVESTMENTS and TRUSTS - ineonu, value, transactions (Inciuaes those ofspouse""" dependen• children; see PP· 34-60 of filing instructions.)


reporting penod l ofreportingpenodfincludmg trust assets)

::.:·:::: ::::�.::: 1?I f, r-�:::.:I or int) ! (J-P) 3 redemption) {A-II) (ifpnvateI _ _ __ .L- r:' saction)_------- __ __ _ _ _ _ _ __ L__j_ ______,i___ ___ _

86. WMG Dividend J T Buy 06/24/09 J

87. WU A Dividend J T Buy 06124109 J

88. YHOO None J T Buy 06124109 J

89. A Dividend J T Buy 06124109 J

-···

- ·--·----·-------··--·--- -------- ------· -1 ____ - --A-::$1,0oo or Jess B =$1,001 - $2,500 C =$2,50l SS,000 D-$s,001 - s1s,ooo E s1s.001 - sso.ooo -(See Columns 61and04) f=S50,00l -SIOO,OOO G =$100,001 - $1 ,000,000 HJ =Sl,000,00t -$5,000,000 H2 =More than $5,000,000

2 Value Codes J ""$15,000 or k:ss K =$15,001 - $50,000 L =$50,00! - SI00,000 M =SI00,001 - $250,000

(See Columns Cl and 03) N =$250,001 $500,000 0 !S00,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =S25,000,00I - $50,000,000 P4 =More than $50,000,000 3. Value Mel.hod CCKies O =Appraisal R 3Cost (Real Estate Only) S =Asscssmenr T =Cash Market

! (See Column C2) U ""'8uok Value V =Other W "'fatimated ____ _j


Hittner, David 04/28/2010Page IO of 11

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Report)


of 11 04/28/2010Hittner, David

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accui'ate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because It met applicable statutory pro isions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the pro isious ofS U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULJ,Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

report reuired by the ethics in ovenment act of rv. 112010 ... · report . reuired by the ethics ....

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