Joe L Heaton Financial Disclosure Report for 2009

8/3/2019 Joe L Heaton Financial Disclosure Report for 2009

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1 / 2 0 1 0 " - F O R C A L E N D A R Y E A R 2 0 0 9 0 u . s .c a ~ , p . ~ l o m l o

IMPO R TAN T NO TES: The ins tracaona accompanying th ls form m us t be fo l lawcd. Com plete a l l parts ,checking the NONE b ax for each part where you have no repartable Information. Sign on lasl page.

I . P O S I T IO N S .~ N O N E ~ o reportable positions.)

POSITION N~E QF ORGANIZA~ON~NTI~l, Cust~ian Cust~ial Accost2. Se~ot~. Tr~urer

5.

~ NONE ~o repo~able ~greements.)~ PARTIES A~ ~S

I. N/A Oklahoma Public Employees Retirement System - vest~. Eligibl, at age 62

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F IN A N C I A L D I SC L O SU R E R E P O R T ~ .... r r ~ , o . R ~ o . t .~ o . , ~ o f R ~ p o .Page 2 of 8 Heaton, Joe L. 05/05/2010

I 1 1 . N O N - IN V E S T M E N T I N C O M E . ~R~ ,o~a ,~ t~d l~d~t ~,~ ~W ~,~; ~, ~ t Z-U o /: l~,, ~ , ,~o~, .~A. Filers Non-lnvestment Income

NONE (No reportable non-investment income,)DATE S O U R C E AN D T Y P I ~ I N C O M E(yours, not spo uses)

I.

2.

3.

4.

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 - if you wcr married during uny porllon of the repotttng ycar, coraplcte this(Dollar amount no t required eJcept for honoraria.)

[~ N O N E (No reportable non-investment income.)D ATE S O U R C E A N D T Y P E

I.2.

3.

4.

I V . R E I M B U R S E M E N T S - t,..,po,~ao,.(lt~ludc.s tho.~ to s~u~e a~d dependent ~hd~n: set pp. 2J.2 7 of filing

N O N E (No reportable reimbursements.)~ ~ ~ ~ ITEMS PAID OR PROVIDgD

I.2.3.

4.

5.


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P a g e F I N A N C I A L 3 o f 8 D I S C L O S U R E R E P O R T [ lie,,ton, Joe L. 0 5 / 0 5 f 2 0 1 0

V . G I F T S . , .a ~ o , ,, o ,o , o , ~ .. .. . ~ ~ , ~ , ~ , c h i M r ~ n ; s tp p . 2 ~ . ~ 1 offili~g in~u~o~)N O N E ~ o reportable g~s.)

D E S C R I P T I O N1.

3.4.5.

V I . L I A B I L I T I E S . ~ n a ~ d , , t * o s ~ o l , p o ~ , r a . ~ ~ d ~ , ~ , , ~ : s o r ~ . ~ . ~ o I , t i , s ~ , ,, . t ~~-] 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

2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT n.=,or~ .... r,~,~,g I ~,.otr.~,. IPage 4 o f 8 He,ton, J ~ L .~

0~/05~010

VII. IN~ STMENTS an d TRUSTS - ~. .... ~....~.~,o~ a.~.~.. ~o.. of .m.... .~ ~..~.~ ~ ,~.. .~.. . ~ ~-~ o om ~.g ~.~.~o..)N O N E ~ o repor tab le income, ~se~s , or transac t ions . )

~scnptlon of ~t~ l I n c o m e d u n n g Gros~ vllu at *nd Tin.actions ~ng re~ing ~fi~( i n c l ~ i n g t~st as~) / ~ing ~i~ of ~o~ing ~fi~ ~

J . . . . . . . . . . . . . . . L . . .I . ~ k e E n c ~ y c o - - o n s t ~ k B D i v i d e n d K T

2 . S p c c t r , , E n e r g y c o m m o n s t o c k B D i v i d e n d K T

3. Xcel Energy common stock B Dividend K T,4 . Oil & gas working interest D Royalty K V

5. Smith B arney money fund (Citibank NA Bk A Dividend J TDeposit Program)6. Investment Company of America C Dividend M T7. Europacifie Growth Fund A Dividend K T8. Okla. Dev. Finance Auth. bonds (St. Johns A I n t e r e s t .t T R e d e e m e d 0 2 / I 7 / 0 9 ! JHealth Systcm)9. Bank of Oklahom a accounts None J T

1 0 . 323 East Mosicr Lid Pannership ltd. part. E R e n t M OinterestI I. Masterpiece Propcrtics LP - lid. part. interest D Rent L U

1 2 . Meadowood II LP ltd. part. int. real est. dcv. B Rent M UCleveland, OK1 3 . Hollywood Shopp ing Center LLC, Norman, C Rent J UO K1 4 . W est Oaks Rentals, gen. Part, Norman, OK B Rent J Uo f f i c e b ldg .1 . 5 . Norrnan Construction & Pnving common None J 1 3s t o c ki6. DDB L imited P artnership, ltd. part. interest C Rent M U17. Growth Fund A m er ica A Dividend M T


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F IN A N C I A L D I SC L O S UR E R E P O R T N .me o! Perton R eporting D ate of R eportPage 5 of 8 H e a t o n , J ~ e L . 0 5 / 0 5 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ .co,.,0 ~ 1.,. , ,~,~c#o^. c1., ~, those of ~7 .... d d tt~ndent c h i l d r e n ; r e ; p p . 3 ~ - 6 0 of f!ling i ~ r u c ~ n g )

N O N E (No repomable income, assets, or transactions.)A. B. : C. ~ D.~cnption of As~ts ~ Incom e d unng G ro ~ value at (including t~st ~cts) , ~ing pefi~ ~ ofr~o~ing~[---~2~ ~ ~,)Pl~c,~(X)"afler~h~t Amount~ T~(eg, ~ V~lu* Value T)~(e.g., ~ Dat, Value ~ Glin Id~ti~of~x*mpt~mpfiordi~lo~ C~t I [ div.,~nL ~ C~.2 Met~ buy.~et l , [ ,m~dW~ I C~e2 ~ C~ e I ~ buy~/sl l * r

~n~ctmn)L ...........18. ~N6 - USA gi[~ In~. Ca. ~o~ally F~ui~bk A Dividend Jof lowa)1 9 . Individua l R~i~mcnt Account #I C Dividend N T

] 2 0 . - Amcap Fund

2 I . .Investmnt Com~ny

2 2 . - Smith B~ Money Fun~ - case~ folio - A

2 3 . - Growth FundofAmcfica Accounl

24 . - EuroPacifie Growth Fund B uy 04/14109

25 . Individual Retirement Account #2 C Dividend M T

2 6. o Amcap Fund

27 . - Investment Company of America2 8. - Smith Barney Money Fund~ ponlblio - A2 9 . - Growth Fund of America

30. - EuroPacific Growth Fund Buy 0~114/09

31 . Custodial Account #2 D N

32 . - Smith B~ney money fund (Citibnnk NABank D~,osit program)

33 . - Bank ofOklahoma account

34. - Smith B~m;y Large Cap Value Fund (now S old 02 /2 3/09Legg Mason)

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F IN A N C I A L D I SC L O S U R E R E P O R T r ~ . , o ~ r ~ , ~ o . ~ p o , ~ i ~ ] ~.t~ o~ ~,Page 6 of 8 ~ e ~ o , . J o e ~ [ o ~ o ~ o ~ o

V I I . I N V E S T M E N T S a n d T R U S T S - i,o~,. ~t,,. ~,,~#o~ a,t.a, ~o,, qwo~,,,~~ ~o repo~able income, ~sets, or tra~actions.)O N E

~scdpfion of As~ts Gr~s value a~ ~ { T~n~tions during{ i n r l ~ i n s t m s t a s s c ~ ) zr~ning~i~ , of~o~ing ~6~ ]

(A-H) [ orint.) ~O-P) C~] ~ ~ m p t i o n )

3 5 . - Gro~h Fund of Amcfi~ Sold 0 7 1 2 7 1 0 9( p ~ )36. - 323 E~t Mosicr LP, ltd. pR~. interest

37. Mcadowood I I LP. l td. pa~t . int~cst

3~ . - DDB Limit~ Part. ltd. part. int.

3 9 . - M a s l c r p [ c c P r o p r r l i c s L P , I t d . p a r tm t r r ~ s t


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F IN A N C I A L D I SC L O S U R E R E P O R T N a , ~ e o r r e .o o R e ~ r . n ~Pag e 7 of 8 n e a l o . , J o e L ,

V III. A D D I T IO N A L IN F O R M A T IO N O R E X P L A N A T I O N S .

I. The value of[he oil and gas working interest identified in Part VII, line 4, is bascd on average monthly income d~ing Iheper iod x36 months. The wells arclocated in Ok lahoma (Fo lmar) and McClain (Lewis I-I I and Mo oney) Counties, Oklahom a.2. As to thc c~todial account shown in Par~ VII, filer is the custodian or co-siffacr of the bank account and assets in brok erage account ] is custodian as tolimited partnership interests. Valuations ofpublicly traded funds are based on cost/market; v alues of limited partnership interests are based on b ook value3~ "ll~e limited partnership interests indentified in Part VII, lines 10, I l, 12 and 16 also had interest or dividend income in addition to rental income (per K-I ). Th~properties generating rental income ate in Cleveland County, OK..4. Norman Builders Supply (line 15 in 2008 report) was liquidated in prior years, with no proc~xl~ or gain as to the common stock interest by reason of theliquidation.5. The aggreg ate ownership arrangem ent described as "Custodial Accotmt No . I" in 2008 and prior ye ars has been deleted , a: "l is an adult and not adepe ndenl. Fo~ transition purposes, the information for 2009, wo uld have b een an income code olD, value code of M , and Iransactions ofparlial sales of Grow thFund of America (line 35, 2008 report) on 05/26, 07114, 09/08 and 11/17 with a value code of J and no entry in column D-4.


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F IN A N C I A L D IS C L O S U R E R E P O R TPage 8 of 8 o s / o s t ~ o t o

I X. C E R T I F I C A T I O N .

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) Isaccurate, tr~e, and complete to the b~t o f my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisio~t permitting non.-discloture.I further certify that earned incom e from outside em ploym ent and honoraria and the acceptaace of gif ts which have be en reported are incom pliance with the pro vls[ons of 5 U.S.C. app. 501 et. Jeq ., 5 U.S.C. 7353, and Judicial Conference re gulations.

INOTE: ANY INDIVIDUAL WltO KNOWINGLY AND WILFULLY FALSIFI! ....... T MAY BE SUBJE CT TO CIVILAND CRIMINAL SANCTIONS (S U.S.C. app. 104)

F I L IN G I N S T R U C T IO N SMail signed o riginal and 3 ad ditional copies to:

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

Joe L Heaton Financial Disclosure Report for 2009

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