Jr Ewing Werlein Financial Disclosure Report for 2009

8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2009

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I Ao s o FINANCIAL DISCLOSURE REPORT g e p o r t R e q u i , v d b y t h e E t h ic s "in Government Act o f 1978Roy. 1 /20SO FOR CALENDAR YEAR 2009 (5 U.S .C, app. 101-111)L P e r s o n R e F o r t i a g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l ) ,2 , Court or O rganiza t ion 3 , D a t e o f R e p o r tWE P .L E IN, JR , , E WIN G U S D C / S O . D I S T , T E X A S 07 /26 /2010

4 . T i t l e ( A r t i c le I t l j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a , R e p o r t T y p e ( c h e e k a p p w p r i a te t y p e ) 6. Reporting Periodm a g i s t r a te j u d g e . s i n d i c a t e f ~ l l - o r p a n - t l m e )[ ] N o m i n a t i o n , D a t e 01/01/2009D I S T R I C T J U D G E - S E N I O R S T A T U S [] Initial [] A n n u a l [] Final to. . . . 1 2 1 3 1 1 2 0 0 95 b , [ ] A m e n d e d R e p o r t

7 , C h a m b e r s o r O f f ic e A d d r e s s 8 , O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , t n c o m p l i a n c e5 1 5 R U S K A V E N U E , R O O M 1152! with app licable laws and re gula t ions .H OU S T ON , T X 7 7 002 -2 6 05R e v i e w i n g O ~ e e r D a t e

I M P O R T A N T N O T E S : T h e i n s tr u c t io n s a c c o m p a n y i n g t h i s f o r m m u s t b e f o l lo w e a ~ C o m p l e t e a l l p a r t s,checking the NONE box for each part where you have no reportable informat ion. Sign on last pag~

I . P O S I T I O N S . t R ~ o , a ~ g i t u l ~ v i d a a l only; see 1 ~ . 9 - 1 3 of filing instructions,)~ NONE t?Vo reportable positions.}

P O S I T I O N N A M E _ O F O R G A N I Z A T I O N / E N T I T Y1 . Co-Trus tee Trust No. 12, D i re c to r & Ch a i rp e r s on T h e M e t h od i s t H os p i t a l, H ou s t on , T e xa s3. Direc tor TM H M e d ica l O f f ice B l d gs Cond or u in ium Assoc .4. As Chairperzoa of TMH Board, director ex off icio w/vote of fol lowing: Med ves t Ho l d ings , I nc . ; Me tho d i s t Hea l th C en te r s ; M e tho d i s t I n t e rna tio na l;(eontd in Note ( I) in Part VIII)5. As C h a i rn ~a n o f T MH B oa rd , d i r e c t o r e x o f f i ci o w / o v o t e o f fo l low i n g : Dia gno s t i c C en te r Ho sp i t a ! C o rp . o f Tex a s ; M edves t I nc , ( co n t d in N o te ( 2 ) i nPart VIII)6. Ex ecu to r Esta te No, 17. Trus tee Trus t No. 2 :. -

; . - JI I . A G R E E M E N T S . ~ R ~ o n i .~ ~ , , ~ : ~ a : o ~ : y ~ s ~ e ~ . S ~ - ~ ~ o f ~ , n ~ ~ e t io ~ . J

N O N E (No reportable agreements_)

D A T E P A R T I E S A N D T E R M S i - . - i1 .


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FINANCIALDISCLOSUREREPORT[ W E R L E I N , JR . , E W I N G

07/26/2010age 2 ef 24

I I l . NO 1N-I NVESTMENT I NCO ME. ~ R~ on i , g i u i .a ~ a l u .~ * ~ o ~ e ~ , e e pr, 17-~ o m t i .g i ~ a i o , ~ . ~A. Filers Ran-Investment IncomeN O N E ( N o r ep or t a b le non - i nvest men t i ncom e . )

D A T E S O U R C E A N D T Y P I ~, ~( y o u r s , n o t s p o u s e s )1 .2.3.4.

B , S p o u s e s N 0 n - I n v e s tm e n t I n c o m e - If you were merried during any portion of the reporting,year, complefc this sectior~(Dollar amount not required except for honoraria_)

N O N E (N o r e p o r t a b le n o n - i n v e s t m e n t i n c o m e . )D A T E SOURCE AND TYPE

1 .2.3.4.

I V . R E IM B U R S E M E N T S --t,~n~rortoao..iodgi.g, yo~ .,ert~g. .... ~(Includes those to s~us~ and dependent children: see pp. 25-27 of filing i~tructions,)

~ N O ~ ~ o reportable reimbursement.)~ ~ ~ ~ ITEMS PAID ORPROV~ED

1 , The Methodis t Hospi ta l 09/23-24/2009 New York, ~ M~ting wi$ M~i~l T~nsp o~a t ion , l od ging , and me al sS c h o o l A f f il ia t e2.3.4.5.


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FINANCIAL DISCLOSURE REPORT ~ a m e O f P e r s o n R e p o r t i n g Date of ReportPage 3 of 24 wzm~z~,j~., EWlNG 0 7 t 26 / 2010

[] N O N E (No reportable gi f ts . )~ DESCRIPTION NALUE

1 .2.3 .4.5.

[-~ N O N E (No repo r table l iabil it ies . )C R E D I T O R . DESCRIPTION

t.2.3.4.5,


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5/24

F IN A N C I A L D I SC L O S U R E R E P O R T NameofPerson Reporting ] Date of Rep0rtP a g e 5 o f 2 4 WERLEIN, JR,, EWING

I0 7 / 2 6 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~,~o~,. ,,I,,, , . o . . . . , i o . . (Itlclud~s those of spouse and depettdent children; see p p , 3 4 - 6 0 of f iling inslruetion$.)[] N O N E ( N o r ep or t a b le i ncom e , a s s e t s, o r t r a ns a c t i ons. )

A. B. C. } D.Descr ip t ion of Asset s In c o me d u r in g G ro ss v a lu e a t c a dI

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d( lnc lnd ing t r us t nssc t s ) ~ r~porting period o f r e p o r t i n g p e r i o dP l a c ~ " ( X ) " a f te r e a c h a s s e t A m o u n t Ty p e ( e . g . , V a lu e V a l u e Typc (e,g., } Date I Value G a i n I d e n t i t y o f= e m p ! f r o m p r i o r d l s~ lo su r e C o d e I d i v . , rent , C o d e 2 M e th o d buy, sell, I m m / d d / y y [ C o d e 2 C o d e l buyer / sel ler( A - H ) or in l . ) ( .LP) Code 3 redemption) | I (JP) ( A - H ) ( i f p r ivate

I ( Q - W ) t r ansac t ion)

1 8 . Comcast Corp. Class A (X) A Dividen~ J! 19 . Dean Foods Co., com. (X) None 21 T

2 0 . Goodyear, ecru. (X) None J T

2 1 . Hewlett Packard, com. (X) A D i v i d e n d K

2 2 , Intel Corp., com. (X) A D i v i d e n d K T

23 . IBM, ecru. (X) A D i v i d e n d L2 4 . JP Morgan Chase, corn. (X) A D i v i d e n d K

2 5 . L S I C o ~ . , ~ r , . ( ~ ) N o , e J T26 . Pepsico, Inc. , ecru, (X) A Dividend K T2~ i Target Corp., com. (X) A Dividend K T28 . Tr~house Foods , com. (X) No n e J T29 ~ Zimmer Holdings, Inc. , com. (X) No n e J T30 . MUTUAL FUNDS:

3 1. Fid elit y IV [M F un d A Dividend J T~. Fidel i ty Low Price Stock C Dividend O T331 Fidel ity Con t rafund B Dividend N T34 . Fidel i ty Mid-Cap Stock A Dividend N T


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FINANCIAL DISCLOSURE REPORT] W E R L E I N , JR . , E W I N G 0 7~ 6/20 1 0a g e 6 o f 2 4

N O N E (N o r e p o r t a b le i n c o m e , a sse ts , o r t r a n sa c t i o n s ,)A, B. C. D.~ c ~ p t ~ n o f A s S ~ Income dudn~ Gro~ value at end T ~ n ~ i o ~ d u r i n ~0nlud ing t~st as~ts) r e p o ~ n g ~ r i ~ of ~infi ~riod

~ { orint.) ( J - P ) ~ C~ 3 r~ption)

3 5 . Asse~k Larg~p Value N o n e Bu y 0 1 1 1 ~ 0 9 J [ .......( a d d l )36. Sold 09/2 !/09 K

3 7 . Asse~ark ~rge-Cap Gro~ N o n e B u y 0 1 /1 ~ 0 9( a dd l )38 . Sold 09/21109 K3 9 . ~ s e t m a r k S m a l ~ id - C a p V a l u e N o n e Sold 09/21/~40 . A~etmark Smal~id-Cap G~h N o n e Sold 09~ 1/09 J4 !. As s e~ a rk ln~ ma t i ona l N o n e B u y 0 1 /1 ~ 0 94 2 , Sold 09~ 1109 K

.43 . A s s e ~ a & R e a l ~ t a t e S e e u r i t i ~ N o n e B u y 0 1 1 1 2 1 0 9 J(a~l)Sold 09121/09 J

45 . A~m~ Tax-Exempt A Div idend Sold 0 3 ~ 3 / 0 9 J46 . Sold 09/21/09 L B47 . ~ean Cenm~ Tax-Free Bond A D i ~ d e n d K T S o ld 0 ~ !9 /0 9 J48 . B u y 0 4 1 1 5 t 0 9( a a ~ 049. Sold 05/21109 J A

50~ - B u y 1 0 8 1 1 0 / 0 9 J( a dd l )5 I. B u y I ~09/09 : J( a dd l )


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FINAINCIAL DISCLOSURE REPORT[ NameofPerson Reporting ]

D a t e o f R e p o r tP a g e 7 o f 2 4 w ~ a . L E r ~ , J R . , E W I N G 0 7 / 2 6 / 2 0 1 0V I I . I N V E S T M E N T S a n d TRUSTS - - i n e o . . . . . t~e, t . . . . c t ions (Includes those of l tpou . . . . d dependent childrensee pp. 34-60 ellcl ing instr t tctlor t~)

[] N O N E ( N o r ep or t a b le i ncom e , a s s e t s, o r t r a ns a c t i ons. )A. B. c. D.D e s ~ r i p t iu x q o f A ~ s e t s I n c o m e d a r i n g Gross value at end T r a n s a c t i o n s d - r i n g r e p o r t i n g p e r i o d( 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 o f r e p o r t i n g p e r i o d

(1) (2) (I ) ( 2 ) ( 1 ) (2) (3) (4) " (5)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 T y p e ( e . g ,, Value Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M et h o d b u y , s e l l , ! m m / d d / y y C o d e 2 C o d e 1 buyer/seller{ A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )5 2 , Lo o m is S a y les Bo nd Fund Re ta i l A Div idend K T Sold 02 / 19 / 09 J( p a r t )

~ 5 3 Bu y 04/15/09 J( a dd l )5 4 . Bu y 08/10109 J( a dd l )5 5 . B u y 12/09!09 J( a d d I )5 6 . Thomburg Intematl Value A Div idend 2 T B u y 102 / 19! 09 J( a dd l )5 7 . Sold 0 4 1 I 5 / 0 9 J A

1 5 8 . Sold 05/21109 J A5 9 . B u y 08 / 10 / 09 J( a d d q )6 0 .

Bu y 1 2 / 3 ! I 0 9( a ~ d l )61 . F e d ~ a t e d M a n . T r u s t M M A Div idend Cl ose d ~ 0 9 1 3 0 / 0 96 2 . Oa k m a rk Fund A Div idend J T B u y 02/19109 J( a dd l )

6 3 . Sold 04/15/09 J( p a r t )6 4 . Sold 05121/09 J( p a r t )6~ . Sold 08 / 10 / 09(part)

Bu y ~ 1 2 / 3 1 / 0 9 J( a d d q )6 7 . F e d e ra te d M u n . T r . MM A Div idend Cl ose d 10/21/09i6 8 . C l i p p e r F u n d A Div idend K T Sold 0 2 /1 9 /0 9 [

I n c o me G a i n C o d ~ : A ---$1 .000 or less B = $ 1 . 0~ ! - $ 2 , 51~ C = $ 2 . 50 1 - $ 5 . 0 0 0 D =:$5,001 - :$! 5 .000 E = : $ I 5 . ~ 0! $ 50 . 000

( S ee C o lum n s 1 2 1 an d D 3 ) N = $ 2 50 , 001 . $ 500 , 000 O = $ 5 ~ , 0 0 1 - : $ 1 ,0 0 0 , 0 0 6 P t f f i : $ 1 , 000 , 00 | . $ 5 , 00~ , 000 P 2 = $ 5 , 0~ 0 , 001 - $ 2 5 , 000 , 0~ 0P 3 ~ ; 2 5 , 0 0 0 , 0 0 1 . : $ 5 0 , 6 0 0 , 0 0 0 P4 ~More thar~ $51) ,OOO,O00(S e ~ Ce l u n m C2 ) U = B o o k Va /u e V = O t h e r W = l~ s t i met c d


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Ia n ~ e o f P e r so n R e p o r t i n g Date of ReportP a g e F I N A N C I A L 8 of 24 D I SC L O S U R E R E P O R T WERLEIN, JR,, EWING 0 7 1 2 6 / 2 0 1 0N O N E ( N o r ep or t a b l e i ncom e , a s se~ , o r t r a ns a c t i ons . )

A. B, C. D.De~pfion of A~s~ I n c o m ~ d u ~ n g Gr~ valu~ ~t ~d T ~ n ~ c t i o n ~ d u ~ n g

Pt~ "(X)" ~fier ~h ass~ Am~m I T~ (g., Val~ ~ Valu~ ] T~ (~,g., Date [ Value [ Gain [ Id~fi~ o~c x c m p ~ from ~ior di~losure dlv,, r~t, ~ 2 m~d~ C~c 2 [ Code I [ buyer tsel i~

. . C A H ) ~or in , . ) ( J-P)

C~3(~ 1.r~mption)

. i (JP) ~ (AH) [, ~ n s a c , i o n ) ( i f p ~ v a t c

6 9 , ~ Sold ~ / 15 / 09(~a)70 . Sold 05/21/09(~ a)71. Sold 0 8 / 1 ~ 0 9 J(pa~)

7 2 ~ B uy 1 ~31/09 J(addl)7 3 . A d~ hn t ~ U , S . R ~I ~ t . S ~s . A Dividend Bu y 0 M 1 9 / 0 9 [ J(addl)74. Sold ~/15/09 J A7 5 . FM1 Larg~ Cap Fund A Dividend K T Bu y 02/]9/09(addl)7 6 . Sold ~ / 1 ~ / 0 9( p a ~ )77, Sold 08/] 0/0978. B~y 1 2 / 3 1 / 0 9 K(addi)7 9 . Harbor Intema~l Fund Investor Cla~ A D i v i d e n d K T Buy 1 0 2 / 1 9 / 0 9 J

(add!)80. Sold ~/15/09 J

8 1 . S o ld 05/21/~ J(paff)8 2 . Buy 12/31109 J

(addl)~. H~rbcr Capital Appr~iation Fund N o n e K T S o ld 02/!9/09 J

8 4 . Buy ~/I 5/~ J( a d d l )Bu y 0 5 1 2 1 1 0 ~ J

~ ,- (addl)


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Name of Person Reporting Date of ReportF I N A N C I A L DISCLOSURE REPORTI W E R L E I N , J IL , E W I N G

0 7 / 2 6 / 2 0 1 0a g e 9 o f 2 4

NO NE ~o re p o r ta bl e in c o m e , a s se ts , o r ~ a n s a c t io n s . )D~ription of Asse~ ~ss value al ~ Tma~iom daring ~a~iag ~od( including t rus t ~ e~) ] re~ning ~i~ o f ~ po a ing ~ r i~] 0) (2 ) O) (2 ) O) ~ 2 )

Flaoc"(X)"aflereacha~t lAment T~e(c.g., V a l u e [ Value T~(e.g., [ Date Value Gain td~ofex~plfrompriord~losure ,C~el div..~nt. ] C~e2 [ M~h~ buy. sell. ,~ C~e2,~e, , buyer/mBer

~ [ ( A - ~o r i n t . )

J[(S-P) ~( ~de 3 re~on)

J [ [ ( J -P ) ( A - H )(if pfvate

~ ~msaction) 8 6 . Sold 0 8 / 1 0 / 0 9 3(pa~)g T . Bu y 12/31/09( a d d l )8 8 . O a ~a rk G l o ba l S e l~ I Fu n d C l ~s I A Dividend K T Bu y 0 2 1 1 9 / 0 9 J(addl)

(van)~ Sold 0 5 1 2 1 1 0 9 J91 . S o ld 0 8 1 1 0 /0 9 ~ J( pa ~ )9 2 . B u y i 1~I/0993 . P im c0 High Yie ld Fund C l a s s D A D i v i d e n d J T Sold 02/19/09 ] J A(~a)9 4 . B u y 04/15/09 J

( ad d l )9 3 . Sold 05~ 1/09 J B9 6 . Sold 08/10/09 3 A97 . B u y 1 2 1 1 1 / 0 9 J

~ ( ad d l )9 8 . To uchs to ne S a nd s ~ p i t a ] S o l t Non e J T Sold ~ 0 2 / 1 9 / 0 9 J( p a a )9 9 . Sold ~/I 5/09 ~ J( p a n )100. Sold 05/21109 J1 0 1 . Sold 08/10/09 J( pa ~ )~ 0 2 . V a n w a r d P r i m e M M F u n d A D i v i d e n d M T


10/24

INamef P~rson RepoSing I Date ofFI~CIAL DISCLOSU~ ~PORT. ~ . W E R L E I N , J R . , E W I N G ~

0 7 ~ 6 ~ 0 1 0a g e 1 0 o f 2 4

NO NE ~o re p o r ta bl e in c o m e , a s s e ts, o r t ra n s a c t io n s . )A. ! B. C. ! D.D~eripfion of Asse~ Income dufng Gr~ value ~l end T m m e t i o n * d u n g r ~ o n i n g ~ r i ~( includ ing t rust ~se~) , repoeing period of repogiag ~r iod

Pl a~"(X )af l e r ~e h as~t IAmunt[ T~(e.g., Value ~ V a l u e [ T~e(e.g., [ ~te I Value Gain] ld~tiwof~ (Arl) [ orint.) J - P ) { C~e3 ~ redemption) ( J -P} , (A-H) {ifprivatc

1 0 3 . ~ M o ~ H i g h Y i e ld B o n d F u n d A D ivid e nd K T B u y 0 2 1 1 9 / 0 9 J1 0 4 . B u y ~/15!09 J( ad d l )1 0 5 . B u y 0 5 1 2 1 / 0 9 ] J( ad d l )

Sold 08 / 10 / 09 J At 0 7 . B u y t 2/11/09 J( ad d l )1 0 8 . P i m o E m e r g i n g L ~ a l B o n d F u n d A D i v i d e n d K T B u y 08 / 10 / 091 0 9 . B u y 12/t 1/09( ad d q )1 1 0 . P i m c o U n c o n s ~ i n ~ B o n d F u n d C l a s s D A Diadem K T B u y 05121/09 K1 1 I . B u y 08/1W09

(~ddl )1 1 2 . B u y 12111/09 K( a dd t )1 3 . S S G K E m e r g in g M a r k e ~ Fu n d A D i ~ d e n d K T B u y 05/21/09 J

1 1 4 . Sold 08/10/09] J A( p a a )1 1 5 . B u y 1 ~ 31 /0 9 J( aa~0I 1 6 . P r i m e F u n d - ~ p i t a l R e s e ~ e s M M A ]" D ivid e nd L T O p e n 0 9 /3 0 /0 9 M1 1 7 . N u v e e n ~ u n . M k t . O p ~ r . Fu n d ( X ) A D i v i d e n d J T

1 9 . D a l l a s , ~ I n d . S e h . b o n d s B In teres t R e d e e m e d 09/0 t /09 K


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FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t i n g [ D a l e o f R e p o r tP a g e 11 o f 2 4 W E R L E | N , J R ., E W I N G 0 7 / 2 6 / 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 - i~m,. ,ata,, t ransact ions ancludes those o f spouse and dependen t chi ldren; seepp . 34-60 o f ruing ins t ruct ions . )

N O N E (N o r e p o r t a b le i n c o m e , a sse ts , o r t r a n sa c t i o n s . )A. B. C. ] D ,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 G ro ss va l ue a t end |1 T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d( ino l nd ing t r us t a sse t s ) r e p o r t ing p e r iod o f r e p o r t ing p e r iod

(1) i (2) (1) I (2) I (l) (2) (3, (4) I (5)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 T y p e ( e . g . , Value I Value I T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i n . , r e n t , C o d e 2 I M e t h o d I buy, sell, I mtrddd/yy I Code 2 } C ode I buyerlsellcr(AH) o r in t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) i l (J-P)] (A-H)!

( i f p r i v a t e{ Q - W ) t r a n s a c t i o n )

! 1 2 0 . F r is c o , T X A M B A C b o n d s B Inte rest K T

12 2 . L ow e r Colo . R . i v . Au t h . T e x . ( X ) N o n e J T1 23 . Mo n tgo m ery C o . P a . Hghr . Ed . ( X) A Inte rest J T12~. I l linois Den. ~ in. Au th, (X) A Inte rest R e d e e m e d 11/15/09 J1 2 5 . Tex a s S t . ~ p t . HS G & C MTY ) k f f a i r s ( X) A Inte rest J T1 2 6 . M e r i d e n C o n n . G I 0 B o n d s ( X ) N o n e K T1 27 . M is s ion TX C o ns . l ndp t . S eh . Dis t . ( X) A Inte rest J T128. Aust in ISD "rex. U/T Ref. SeT. A (X) N o n e K T1 2 9 . N ew Je rs ey S t . Tm nsn . TR FD A uth . S ys . A Inte rest K TSeT A (X)130. UnivTex P erm Univ FD RarDG SeT. B (X) N o n e K T

" 1 3 1 . Pearland TX Indpt $ch Dis t SeT A U/T A Inte rest K TB/EDD ( X)132. ACCOUNTSIN FINANCIAl INST: ...........

1 33 , Mer r i l l Lynch C a sh /Mo ney A e c t s A D i v i d e n d K Ti 34. NoCthem Trust B a n k , H o u s t o n , c h e c k , a c c t. A Inte rest K T

135. Bank of America , Houston , TX (Accounts) A Inte rest N T1 36 . Enco re Ba nk , Ho us to n , C D A Inte rest Redeemed 04110/09 L

I , Income (}~a Codes; A = $ 1 , 0 0 0 o r ~ B =$ I ,~ I - $2 ,5~ C = $ 2 . 5 0 1 - $ 5 . ~ D = $ 5,~ 1 - $ 1 5.~ E = ~ 1 5,~ I - $ ~ 0 ,~

3 , V a l~ M ~ h o d C ~ Q =A~I R ~l (R~I ~mte Only) S =A~e~l T ~ Market(~c Colu~ ~) U ~ o k V a l u e V


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FINANCIAL DISCLOSURE REPO RT r~ .... f e e r~ o ~ R e p o r t ~ D a t e o ~ R e p o r tPage 12 of 24 WERLEIN, JR., EWING 07,r26/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o . , e o v a t ~ t ,~ o ~ ~ n a ~ t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing inslrttctio~ts.)N O I ~ E (No repor table incom e, asse ts, or t ransac t ions . )

A, [ B . C . D .D e s c r i p t i o n o f A s s e t s ! Income during G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i v . e 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 o f r e p o r t i n g p e r i o dO) (~) i (1) [ (2) (0 (2) (3)P l a c e ~ ( X ) " a f t e r ~ a c h a s s e t A m o u n t T y p e ( e . g . , ] Value I Value T y p e ( e . g ., D a t e V alue G ain I d e n t i t y o f

( A - H ) o r i n t . ) | ( J P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )1 37 . I n t e rves t Ba nk , C l ea rwa te r , FL , C D B Inte rest R e d e e m e d 04/06/09 L1 3 8 . K e y B a n k U S A C D C In teres t L T1 39 . C o m er ica Ba nk , H o us to n ( a ce t s ) A In teres t L T140. Texas Capital Bank, Houston (acct) A Inte rest J T14 1 . IL E AL E S T AT E :

1 42 . C o ndo - La t im er C o , , C O E R e n t N W 1 4 3 . Worki n g In t e r e s t -Ca bo t U . , An d re w s Co . , D R o y a l ~ K WTX144. Royalty In teres t , Eetor Co. , TX A Royalty J W145. Royalty In teres t , Wheeler Co. , TX A Royalty J W146. Royalty In teres t , Mart in Co. , TX A Royalty J W14 7 . R oy a l t y In t e r e s t , Glas s e oc k Cou n t y , T X ( X ) D R e n t J W1 4 8 . Fract ional in t . in rea l property , Kerr County , A R e n t J WTX1 4 9 . R E T It L E M E N T & I R A A C C O U N T S : I

5 0 . IRA A cc t : Jo hn Ha nco ck I nd . Re t .A nnu i ty N o n e K V S ee N o te - P a r t VI I I1 5 I . IR A A e c t : C G M F o c u s Fu n d A D i v i d e n d L T1 5 2 . I R A R O L L O V E R A C C O U N T : A ll e n tr i e s E D i v i d e n d PI Tthat follow from Lines 1551 5 3 . th ro ugh 20 3 a re unde r the d i s c re t io na ry In teres t


13/24

FINANCIAL DISCLOSURE REPORT ~ of~e~o~ Reporting [ Date of ReportP a g e 1 3 o f 2 4 WERLEIN, JR., EWING

[07/26/2010

~ N O N E ~ o r ep or t a b l e i ncom e , a s s e ts , o r t r a ns a c t i ons OA. B . C . D.D~dptio~ oFA~ I~m during ~ r o ~ v a l u ~ a t ~ n d Transactions du~ng r~po~ing p~(i~luding ~t ae~) m~ing period of ~ing~fiod

Pta~ ~(X)" a~er each a~t A m o u n t ~ T~e (e.g. V a l u ~ V a l u e T~c (c.~, Da t~ Valu~ [ Gain Idenfi~ ofe x e m p t f~ m p r i o r d ~ c lo s u r e t d i v . , ~ n ~ ~e 2 M~ buy , ~ll , ~ffd~yy C~e 2 ~ Code I buy~dsel ler( A - H ) ~ o r i n Q ( J - P ) ~dc 3 ~ d e m p t i o n ) (J-P) [ (A-~ ( i f p r ivatet ~ n ~ c t J o n )

1 5 4 . management o f a reg[ster~ investmentmanager.155. --Pfizer [n~,, com.

156. - -Al tria Group, com.

157. --Schwab MM Funds

I158. --Americredit Corp., com. Sold 02/23/09 J

159. --Comcast Corp. New CI. A Sold 02/20109 J( p a r t )160. --Consol. Energy, com.

161. --Leucad ia N atl Corp . , com.16 2. - -M e r cu~ Ge nl Cor p . , com.

1 6 3 . - N V R I n c . , c o m .164. - -Capital One Fin. Corp. , com. Sold 02/20/091 65 . - -Key Ene rgy S e rv . , co m .166. -RLI Corp., com.

16Z --Berkshire Hathaway CL B

168. ~ -Ci n t a s Cd r ~ . , co m . ......." i69. -Amer . Eagle Out f i t t ers New, c o m .

170. --Ganneti Co., com. Sold 02/20/09 J

I . Income Gain Cedes: A =$1 , 0~0 or t e ~ B = $ 1 . 0 ~ 1 $ 2 . 5 0 0 C -$ 2,501 ~ $ 5,0~ D =$ 5,~ t

3. Value M~ ~ Q =App~l R ~t (R~I ~te Only) S =A~t T(~e Colu~ ~) U =B~ V~ V ~ W


14/24

Name of Person ReportingFINANCIAL DISCLOSURE R E P O R T/ WERLE IN, JR., EWINGagv 14 of 24

V I I . IN V E S T M E N T S a n d T R U S T S - -t ,,~ o ,~ , ~ ,, ~ , ~ , ~ t ~ o ,~ a ~ o ~ d ~ ~ o ~ of s~ and dep~dem cldldren see pp. 34-60 of filing ins,rucfions.)NO~E ~o reportable income, assets, or transactions.)

A, B. C. [ D.D~iption of Ass~ Income during Gr~ value at end

(including t~ ~) r~ing ~ri~ of ~po~ng ~iod

Pla~ ~(X)" a~r ea~ a~tAmount] T~ (e.g.,

Valu~ VaI~ T~ (e.g., Date Value Gain~ Identity ofe~mpl from prior d~los~e ~de I die., ~nt, Code 2 Meth~ { ~y, sell, m~yy Code 2 ] C~ 1 ~yeds~l!~r(~ ~ [ tr~action)

171. --Home Depot, com.

! 72. --Tyco lntl Ltd., com.

1 7 3 . --Tower Group Inc., com.(~a CasdepointHld ~ F., corn,)

174. --Coleman Cable Inc., ~m.

175, --Johnson & Johnson, com.

176~" --~ FOO~ I n c . , com.

1~7. --M~elo Madd~ PP~S Inc.~ com, Sold 02~3/09 J!78. --Sh~in W illiams ~., ~m.

179. --~IT Financial T~t S o l d 03 /18109 ~ J180. --Li~ M~ia Co~. CL A, com. "" Sold 02t20109 J B(pa~)

" ~ 8 1 . ] Me~ed t 1/25/09 K See ~nes 202 and 20 3(wi~ line 202)

183. --R~u blle S~cs, c~m.. 184. --B~ n Pfiv. Finl Hldg ,

185. --Ho~eh~ad Hldg eo~.,

187. --Kohl~ C~., ~m.

I. lmome Gain Co 6 e . ~ : A - - - $ 1 , 0 0 0 o r I . . ~ B =,1 ; 1 ,001 - $2 ,$00 C = $ 2 , 501 - $ 5 , 000 D =$5,00! - ,1 ; 15,000 E = $ 1 5 , 0 0 1 - $ 5 0 ,0 0 0(Sen Colturms BI mid D4) F =$5 0 , 0 0 1 . $ I 0 0 , 0 ~0 G = $ 1 0 0 , 0 O I - $ 1 . 0 0 0 1 0 0 0 H t = $ 1 , 0 0 0 . 0 O t - $ 5 , 0 0 0 , 0 0 0 H2 =More tlmn $ 5 , 000 , 0002, Value Codes J =$ !5 .0 0 0 or i e s s K = ~ 15 . 001 - 150 . 000 L =$S 0 . O t3 i - $1 0 0 , 0 0 0 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0(SecCol~mml C l and D3) N =,1;250,001 -$500.000 O ~$500.001 . $1 .000 ,000 P[P3 =$25.000,001 - $50/000.000 P4 =More th~n $50.090.0003 . V a l ~ M e t h o d C o d e s Q ~App~al~lf l R --C o s t (Real E.~tat O n l y ) S


15/24

FINANCIAL DISCLOSURE REPO RT N a m e o f V e r n o n R e p o r t i n g D a t e o r r ~ r tPage 15 of 24 WERLIgIN, J R . , E W I N G 0 7 / 2 6 / 2 0 1 0

N O N E (No repor table income, assets , or t ransact ions . )A. B. C. D.~ription of Am~ I n c o m e d u r i n g O~s value at end T~n~ctiom daring ~o~ing p~fiod

(including trust ~) r~oning ~fi~ of ~ningPlace "(~" a~er e~h asset Am~nt [ T~o (e.g., V a tu ~ V a lu e Ty p e ( e . g . , ~te[

] [V~uo Gainl~nfity ofC~e t f l iv . , r cn t , Meth~ buy , se l l, ~d~yy C~o 2 ~e I ~y~/~lerx e m p t f r o m p r i o r d i ~ l ~ u r e C~e 2(A-~ or in t . ) ( J - P )

~ C~3r~emption) (J-P) ~ (A-~ I ( i fp r i va i e(~ ~_~ _ tra~ction)

188. --Microsoft, com.

~ 89. --M~ Group, com.

191. --Pi~acle Gas R~s., com. Sold 0 3 / 1 8 / 0 9 J

192. --S~k~r Co~., com.

! 9~. -Wellpoint, Inc., c o m .

198. --Procter & Gamble, com. Buy 0 2 / 2 3 / 0 9 K199, --~ogcr, com. Buy 0 9 t 0 9 1 0 9 K200. --N0~m 0&O, corn, Buy l"10/30/~ K . .. .. .. .. .. .

~01. --Am~. ~ver Banksh., com. Buy 1~07/09 J

202, --Li~r~ Media Co~. A, com. l 1~5109 J reorg. ~om line ] 80203. --Direct TV ~1. A, com. I l~M09 K merger f~m line 1802~. TRUST N0. I E Divided D i s t r i b u t e d 0 7 1 0 ~ 1 0 9 P1 S~ Note in Part VIII

1 , h ~ r a ( : O o i n C o d ~ : A = $ 1 ,0 0 0 or les~ B = $ 1 , 0 0 ! - $ 2 , $ 0 0 C = , $ 2 # 0 1 - $ $ , 0 ~ 0 D( S e~ C o lu mn ~ B I md D 4 ) V --$:~O,00l - $100 ,000 O = $ 1 0 0 . 0 O l - $ ] . D 0 0 ,0 0 0 H l =$ 1 ,0OO,001 - $~,000~000 H 2 = M o rn t h a n $ 5 .00OJ]002. ~elu C.o~s J =$15,000 or less K =$15,001 . $50 ,000 L--$ 50 ,0 01 - $ 10 0, 00 0 M =$ 10 0,~0 1 - $ 25 0, 00 0(& ~c Co l u r m ~ C1 a t~ O 3 ) H = 12 ~ 0 , 001 - $ 500 , 000 O =$ 5D 0,0 01 - $ 1,0 ~0 ,0 ~ P I = $! ,0 O 0.0 01 . $ 5.0 00 .0 00 P 2 = $ 5 , ~ 00 , 001 -P3 =$2 . % 0 0 0 , 0 0 1 - $5 0 ,0 0 0 , 0 0 ~ P4 =M o r t : than3 . Va lu e : M et h o d C o ~ s Q = A p p mimi R ,= C o~ t (R e al E smt O n ly ) S = A ~ e ~ m e n t T(,Set: Column C2) U = B o o k Valtm Y = Ot h e r W = E ~ i m a t ed


16/24

FINANCIAL DISCLOSURE REPO RT Nome O f Person Reporting Date of ReportP a g e 16 of 24 W E R U : I N , J R . , E W ~ N G o 7 / 2 6 / 2 O l 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.eo,.e, vat.e, transactions anclades those of s~use a~ d~en~nt children; see pp. 34-60 of ~ding imtrucaon~)N O N E (No repor table income, assets , or ~ansact ionsO

A. B. C. D,D~i~ion of As~ l~me during G r ~ s v a l u e ~ t e n d Tmnsa~tion~ dung re~ing

( i ~ c lu d i n g t ~ s t ~ se t s ) r e p o ~ i n g p ~ r i ~ o f r ~ p o ~ i n g p e r i o d(~) (2) ( ~ ) ( 2 ) 0) C2) [ O) (4) P ] S ~ " { X ) " ~ e ~ ~ h ~ A m o u n t T ~ c ( ~ . 8 . , V a l u e V a ] ~ T ~ ( c . ~ , D a t ~ ~ V a l u e G a i n l d ~ n t i ~e x e m p t f r o m ~ i o r d i ~ lo s u r C o d e I d iD. , r enL Code 2 Me~ buy~ sell, m~d~ ~e 2 C~e i buyer / sel ler( A - H ) or in t . ) ( I-P) [ Cede 3 r~mption) (J-P) (A-~ ( i f p r ivate

~(~ ~ , t r ansac t ion)

2 0 5 . I~ ROLLOVER AC~. NO. 2, All ontdes G Dividend P] Tthat follow2 0 6 . lin~s 21O th~ 291 se under ~e ~ll Interest

discretiona~2 0 7 . management of a registered inv=stmgntmanager.

210. -F~ml Hom~ L~ Mt~ Co~ Not~ du~ R~d~m~d 03115~9 L A03109

2 12 . --Fed, Nafl Mtg Assn. Callable Not~ due ~ ....01/10213 . - -F~I Nat l Mtg As~c. due 07/13 R e d e e m e d 0 1 / 1 1 / 0 9 M

[~1~, --~L U~r~. Mone~Fd ..... R e d e e m e d , 0 2 / 0 3 / @ N2 1 5 . - -U.S . T~asu~ B ill due 1] /09 Ba y 0 3 / 1 3 ~ 9 L2 1 6 . R od e~me d 1 1/l 9 /0 9 L2 17 , - - U .S . $ r e m ~ Bi l l du e 1 2 / 0 9 B u y 0 5 ~8 / 0 9 L2 1 8 . " gedes~d 1 ~17/09 L2 19. --U.S. TrsasuD, Bill dae 12/10 B u y 1~ 17 / 09 M

R O L L O V E R A C C T ~ 2 :~ . - -C h a s e ~ a n h a a a n C o ~ . S u b o r d i n a te N o m s R e d e e m e d 02/15/09 L C

I . IncOme Ga in Co~: A = $ L 0 0 O o r Ic e s B =$ 1,00! ~ $ 2 ,5~ C

3 . V a l u e M ~ h o d C ~ Q =Appmhal R ~ o s t ( R e a ! ~ t e O n l y ) S =A~t T


17/24

FIN A 1 N C I A L D I S C L O S U R E R E P O R T N ~ a o f P e r , . R e p o r t i .gP a g e 1 7 o f 2 4 W E R L E I N , J R ,, E W I N G 0 7 1 2 6 1 2 0 1 0

N O N E (No reportable income, assets, or transactions3A, B. C. D.

D~ription of A~ ~ n co m e d urin g G ro ss va lu e a t e n d Tm~aaians du~ng ~ing pefi~O) (~) O) I (~) CD~~ (21~~ (~1 O) (s)

Pla~ "(X)" ~ ~ch ns~{ A mo unt T ~ ( e, g. Value Value T~e (e.g., [ Dat~ ~ Value Gain I d ~ t i t y o f~xempt ~om prior disclo~ ~de I div., ~K C~ 2 Mclhod b u y . s e l l .(Q-~

222. --Goldman 8ac~ G~oup SR Unsub ~o~ Redeemed 05 [ 1 ~/09 LGlobal223. -Citigroup inc. Senior Notes

224. --Target Co~. Notes

225. --Proctor & Gamble Co~. Notes

226. --AT&T Notes Buy 0 2 / 0 6 / 0 9

227. --Con0co Phillips Noles Buy 0 2 / 1 0 / 0 9

228. --Aragon Inc. Not~ Buy 0 2 / 1 7 / 0 9

229. - -Hewle t t Packa rd No tes Bu y 02/25/09230. --Medlronic Inc. Notes Buy ! 0 3 / 1 0 / 0 9

231, --Procter & Gamble Notes Buy 0 3 / 2 4 / 0 9

232. --Wells Fargo MT Notes Bu y 1 2 / 1 7 / 0 9233. -Morgan Stanley Not~ Buy 12/17109

2~4. EQUITIES IN IRA R~LLOVER ACCT #2:

235. --American Express, com.

236. --BP PLC, ADR

237. --ChevioeTexaco, com.

238. --KO, com.


18/24

FINANCIAL DISCLOSURE REPO RT Name of P erson Reportlag Date of ReportPage 18 of 24 WERLEIN, JR., EWING 0 7 / 2 6 / 2 0 t 0

N O N E ~ o re p o r ta ble in c o m e , a s s e ts, o r ~ a n s a c t io n s . )A. B. C. D.D~c~ption of ~s~ ]nco~ du~ng G r o ss v a l u ~ a t ~ d Tm~cfio~ during r~ing

( including t rus t a sse t s) r0~ng ~fiod of repo~g ~dodPia~ ~)" afl~ ~ as~l Amount T~ (e.g., V a l u e [ V a l u e T~ (e.g., Date V a l u e Gain , I d e n f i ~ y o f

~mpt from pri~ disc~su~ C~e I [ d i v , , ~ n t , C o d e 2 [ Meth~ buy , se l l, m~d~ C~e 2 Code t[ buy~r t sI l e r(A-~ or in t . ) ( J - P ) [ C~e 3 rede~tion) (J-P) ~ ( A - H ) (ifp~vat

140. --GE~ corn,

241. --~TC, corn,

242. --J.P. Morgan Chase, com.

243. - - J N J . c o r n . Bu y 0 5 1 2 6 1 0 9 K(addl )244. --LLY, oom. Sold 11/04/09 K(~)2~. --Merck, com. Buy 1 1 / 0 4 / 0 9 K

(addl)1 2 4 6 . --PEP, com.

247. --WM~, corn.

248. - -W a l g r e en , c o r n ,2 4 9 . --McGraw-Hill, Inc., com.

250. --Microsoft Corp. , com.251. --Altr ia Group, com.

252. --Bank or" America, com.

~ 5 3 , --Ameripr ise Fin t Inc . , com. Sold 05/26t09 J A254, --Automatic Data Proe . , com.

255. --Emerson Elec , Co. , com. Sold 05/26/09 K

I . In c o m e Gain Co d e s : A =$ I .O00 or less 8 = $ 1 ,0 0 1 - $ 2 ,50 0 C = $ 2 ,50 1 - $ 5,0 0 0 D =$ 5 . 0 0 t - : i 1 5 . 0 0 0 E = $(S e e Co h lmm~ BIa ad D4 ) F ~$ 50 ,~1 1 - $1 00 ,0 00 G ~$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $1 ,0 00 ,0 01 - 55,0 00 ,0 00 r lZ= M e re th a n $ 5,0 00 ,0 00

2 . V a l u e C ~ l ~ J = $ 1 5,0 0 ~ o r le ~ K = $ 1 5,0 O l - 550 ,0 0 0 L =5 5 0 , 0 0 1 - $1 0 0 , O 0 0 M = 5 | 0 0 , 0 0 1 -(Se= C o lu t n n ~ I a n d D 3 ) N =S 2 5 0 , 0 0 1 - $5 0 0 , 0 0 0 O = 550 0,0 01 - $ 1,0 00 ,0 00 P I = $t,0 00 ,O 01 - $ 5,0 00 .0 00 P 2 = $5,0 00 ,0 01 - 52 5.0 00 .0 00P ~ = $ 2 5,0 0 0 ,0 0 1 - $ 50 ,~ ]0 ,0 0 0 P 4 = M a ~e tha n $ 50 ,0 0 0 .0 0 0

3 . V a lu e M e ll~ d C o d e s Q = A p p ra i~ l R - - - Co s t (R e al E s ta t e O n l y ) S =As s e s s m e n t T = C a s h M a r k e t(S e e Co l u m n C2 ) U = B o o k V a l ~ V ~3 thm - W =F.s timated


19/24

FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r s o n R e p o r t in g iP a g e 19 of 24 W E R L E I N , 3 R ,, E W I N G 0 7 . / 2 6 / 2 0 1 0

V I I . I N V E S T M E N T S a nd T R U S T S - ~come, ,o~t~ ~.,~eao,. (t.ctuae, a,o~.e of s~use a~a aem~d~n~ a,ua~en;N O ~ ~ o repomable income, assets, or transactions.)

A. , B. C. D.De~ption of Ass~ In c o m e d u r in g G ro ss v a lu e a t ~ d T~ns~fi~ du~ng repo~ing( i n c lu d i n g ~ s t ~ s e t s ) ~ p o ~ i n g p e r i o d o~o~in~

(t ) (2 ) (l) (2) 0) (2) (~) (~ )P l a c e " { X ) " a R ~ r ~ c h a s se t ~ount T~ (~,g., V a lu e V a lu e T~e (e.g., D a t e V a l u e G a i n I d e n t i t y o fm~d~I buyeffsell~~pt from ~or discl~ur* Code 1 div., re n t, Cod~ 2 Method buy, sell, [ ~e 2(A-H) or int.) (J4) Code 3 redemption) (J-P) (A-~ (if privat~(Q-W) transition)256. --HSBC Hldg PLC,

257. --Occid~n~ Pete Co~. Cal., com.

258. -~ate~il~r, Inc., com.

259. - -Hall iburton Co., com.

260. --Home Depot , Inc . , com.

261. - -Praxair Inc. , com.

262, - -Proctor & Gamble. , com.263 . - - Ta rge t C o rp . , e a rn .

264 . - Tra nso eea n , co m .

265. - -United Technologies Corp. , com.266 . - - C i sco S ys t em s I nc . , co m .

267. --Med tronie l~te . , com.: 268 . - Mie ro ch ip T ech . , I nc . , co m.

2 6 9 . --P~tr iot Coal Corp. , com." 2 7 0 . - -Pe a bod y E n e rg y Corp . , c om .

271. - -TexasInstruments , com.272."" --Kraft Foods Inc., com.

t . l t~ome C.~ C odes : A = $ t . 0 0 0 o r l e s s B =$1. 00t o $2 ,5 00 C = $ : 2 , 5 0 1 - $ 5 , 0 0 0 D = $ 5,00 1 - $ 15.00 0 E = $ 15,0 01 - ~50 ,0 00(See Colinmrs El and D4) F , = ~ ; 5 0 ,0 0 1 . $ t 0 0 . 0 0 0 G =$ 1 0 0 , O 0t - $ 1 . O 00 , 0 0 0 H I ~ - ~ 1 ,0 O O ,0 0 1 - $ 5 ,0 0 0 . 0 0 0 H 2 - - - M ore t i ta n2 . V , ~ l u e C o d ~ J =$15,~00 or Ms K =1 1 5 . 0 0 1 o $ 5 0 , 0 0 0 L = $ 5 0 . 0 0 t - $ t 0 0 , 0 0 0 M =$10 0,00 ! - $2 5 0,000{se Colutrms | mtd D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 0 0 O =$ 50 0,0 0t - $ 1,00 0,0 00 P I = St ,0 00 .0 01 - $ 5.0 00 ,~ 0 P2 =$ 5 ,000 , 001 - $ 2 5 . 0 0 0 , 0 0 0P3 -$ 25,000 ,001 - ~0 ,0~0,000 P4 = M ore th~ $ 50.000 .0003 . Va lu e M ethod Cod~ Q =Appmisat R = C o s t ( R e a l E s a a t e O n l y ) S =A~t T =Ce s h Mark e t( S e e ~ . o l u r rm C 2 ) U =Book V~lu V = O t h e r W =Estimated


20/24

FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o u R e p o r t i n g ] Date of ReportP a g e 2 0 o f 2 4 WERLE[N, JR., EVirlNG

I0 7 / 2 6 / 2 0 1 0

V I I . I N V E S T M E N T S a nd T R U S T S - - ~ .~ o , .~ , ~ e , t ,~ , ~ , a ~ o , ~ a . a a a ~ , h a ~ o f ~ n s ~ o . ~ ~ p , ~ . r e ~ u ~ . ;N O N E (No repor tab& income, assets , or t ransact ions . )

A, B. C. D.D~ription of A~ I n c o m e d u r i n g Gro~ value at end , T r a n sa e t i o n ~ d u r i n g r e p o ~ i n g ~ H o d(i~luding ~st a~e~) ~ing ~d~ of ~po~ng ~fiod

Place "(X)" after ~h a~et Am~nt [ T~e (e.g., V a l u e V a l u e ~ T~ (e.g., Dale Va~e Ga in I~n~ty ofexen~t~ompfiord~elosure C~e I J! div . , r en t , C~2 M~h~ buy,~ll, ]m~ C o d e 2 C o d e I ~ycr/seller( A - H ) [ or i~t . ) ( J-P) C~3 red~ption) ] {J-P) (A-~ ( i f p r ivatef] ( Q - W ) ] t r ~ s a c t i o n )

273 . - -Abboa Labs , cam. Bu y 05126/09 J274. --~B L~., com. Sold 11/04/09

276 . --Entergy Corp . New, com.277 . --Exelon Corp . , com.278. --Fomento Ecnmco Mex,o cam.

279, --Freeprt. MeMoran CPR & Gold, earn,

280. --Genl Dyn amics Corp . , com.281. -McDermot t Inq, com. Sold 05/26/09 J2 8 2 . - M c D 0 n a l d s , c o m .2 8 3 . - N a t l 0 i lw e l ! V a r e o , c o m . Sol d 05/26/09 J284. - -Phil ip Morris lntl , com.

285. - -Total SA., com.

286. --Becton Dickinson, com. B u y !/04/09 J

2 8 7 . CAStt ACCOUNTS IN IRA ROLLOVERACCT #2:

288. --ML Bank USA RASP C l o s e d 0210311Y) M

2 8 9 . - -M L B a n k B & T F S B R A S P Cl ose d 02/03/09 L

I , Income Gain Code~: A = $1 ,00 0 or less B = $ |,0 01 - $2~500 C = $2,501 - $ 5.00 0 D =$5.00 ! - $15,000 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 1 )(S~e Coltmms BI and D4) F ~ $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G =$100. 001 - $1 ,000,000 H I =$1.000.001. $5.000,000 H2 =M~e thal~ $5.000.0002. Value C od ~s J ~$15,000or le ~s K = $ 1 5 , 0 0 1 - $ 5 ; 0 , 0 0 0 L = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M =$ ~00.001 - 5250.000(S~e Colunms Ci aml D3) N = . ~ 2 5 0 , 0 0 t . $ 5 0 0 , 0 0 0 O --$500,00I -$1.000,1~0 P l = $ 1 . 0 [ J O ~ 0 O l - $ $ . 0 0 0 . 0 0 0 P 2 ~ $ S , 0 0 ~ , 0 0 I o $ 2 5 , 0 0 0 , 0 0 0F 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 . 0 0 0 F4 =M~e than $50.1~0,0003. V ~lue M ethod C odes Q ~A pp raisal R = C ost (R ~al Estate O n ly) S =Asse~lt T =Uas h Mark ( S ~ e C o ~ u rt m U 2 ) U ~B ook V alt ~ V - - O t h e r W = ~ , : ~ t l m n t e d


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Page 21 0f24 W E R L E I N , J R , , E W I N G 0 7 / 2 6 / 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 - ~ ....... ~ . ~ , Iran.~c~ions ([nlud~ th~e of sp ...... d d e p e n d e n t C h i l d r e n ; s e e p p .

~ N O ~ E ~ o repo~abte income, assets, or ~sact~o~.)A. B, C. l D.D ~cr ip t ion o f A~ l nco ~ du r ing G r ~ v a l u e a t ~ Tm n~ c~ io ns du~ ng r~ m g pe~ o d(in~luding t~ asse~) r ~ o ~ i n g ~ r i ~ of r~o~ing(0 [ (2) 0) (2) o) (2) (3)P I a ~ ~ ( X) " a ~ e r ~ h ~ e t A m o u nt T yp e ( e . g . , Value V a l ~ T~ (e . g . , D a t e Value G M n l~ nf i ~ ofex~pt from prior d i~losu~ C o d e 1 d i v . , r e n t , Code 2 M e t h ~ buy, sell, m~d~ C o d e 2 C o ~ ] ~ye gse l l e r( A - H ) o r i n t . ) [ ( J - P ) C ~ c 3 r e d e m p t i o n ) ( J - P ) ( A - H )[, ( Q - W ) [ t m n ~ i o n )

290. - -~ 3 M o n e y F u ~ O~n 0 M ~ / 0 9 L

t 2 9 1 . - -D D G M o n e y F u n d ~n 0~/092 9 2 , V a n g u a r d P r i m e M M I ~ R o l i o v e r B Divided N T2 9 3 , V a n g u a r d A d m i r al T r s y M M I R A R o lI o v e r B D ivid e nd P ] T294. ~,:, Estate No. 1: E IntJDiv, P I T O p e n 0 7 1 2 8 1 0 9 P l

295. - -AT&T inc. , com. Sold 12/ | 8 /09 M E29 6 . - C en te rpo in t En e rgy I nc . , co m . Sold 12/18/09 K D29 7 . - Er , x o nM o b i I, co m .2 9 8 . - -H S B C H l d g P L C S p A D R Sol d 12/18/09 L E

29 9 . - - S o u the rn C o . , co m . Sold 12/18/09 L D300. - -Pf izer (fk!a Wyeth) Sold 12/18/09 K B30 1 . - - XC EL En ergy , I nc , , co m . Sold 12/18/09 L D30 2 . - - Ha l i fa x Ho sp . Med . C i r . FL

303. - -Ne w Yor k Ci ty G/O Se r , E30 4 . - - Breva rd C o . FL H l th Fa c .305 . -Ne w Yor k St , D or m Auth . Re vs .30 6 . - - A b i lene - I X A RP T- C T FS Ob l ig .

I . I n c o me G a i n ~odc~: A = $ I , 0 0 0 o r l t as B -~;1.00l - $2,~ C

3. Valu~ Meted ~ Q =A~al R =~t (K~I ~e Only) S =A~t T =C~h(See Colu~ ~) U =B~ Value V ~er W ~i~t~


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FINANCIAL DISCLOSURE REPORT ~o~ of Person Reportiog Date of ReportP a g e 2 2 o f 2 4 WERLEIN, JR.~ EWING 0 7 / 2 6 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - . i . . . . . . ~ .~, ,ransact ior~s (lncl.des those of zpouse and d~.nd~tc~dmn; seepp. 34~O of fd~ ins~u~io~)N O ~ E (No repor table income, assets , or ~ansact ions . )

A. B. C. D.D~cdption of Ass~ ln c o m du r in g G ro s s v a lu e at e n d Tin.actions during r~ing( i n c lu d i n g ~ s t a s s u ~ ) ~ging ~ri~ offing p~(~) (2) (~ ) (2 ) (~ ) (2 ) (3) (~) (~ )

Pla~ "(X)" after ~h ass~ ~aunt T~ (e.g., V a l u e V a l u e T~ (e.g. Date Val~ G a i n I~e x e m p t f~ o m p r i o r d i ~ lo s a m C~ I div . , r en~ C o d e 2 M~ buy , se l l, m~d~ C~e 2 C o d e [ bay~/~ller( A - H ) or i nL) ( J - P ) C~e 3 ~emption) ( J-P) (A-~ ( i f p r ivale( Q - W ) t ransac t ion)

307. -Citibaak MM Oosed 1 2 / 0 2 1 0 9 J

308. --Real Pro~, Ha~is Count, ~ W

3 09 . - -R e a l Prop e r t y , K e r r Cou n t y , T X W310 . - -Fid e l i ty M M O p e n 12/10/093 1 1 . T r u s t N o . 2 : A D ivid e nd M T O p ~ m 12/16/09 M312. --Fideli ty lVIM


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FINANCIAL DISCLOSURE REPORT ~ .... r v . .. .. ~.o~.~Page 23 of 24 W E R L E I N , J R . , E W I N G 0 7 / 2 6 / 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANAT IONS.

(1) Pan ] POSITIONS, l ine 4, also the fol lowing subsidiaries: The Methodist Hospital Foundation; The Methodist Hospital , The Methodist Hospital Foundation,The M etho d i s t Ho sp i t a l Resea rch I ns t i t u te , TMH Hea l th C a re G ro up , a nd TMH Med ica l Of fi ce Bu i ld ings C o nd o m in ium A sso c ia t io n( 2 ) P a r t I P O S I TI ON S , l ine 5 , a l so the f o ll o wing sub s id i a r i e s : Me tho d i s t W i ll o wb ro o k Med ica l Of f ice Bl dgs C o ndo m in ium A sso c ia t io n ; Metho d i s t W i ll o wb ro o kMed ica l Of fi ce Bl dgs 1 1 C o ndo m in ium A sso c ia t io n ; S a n J a e in to Metho d i s t - A lex a nde r C o ndo m in ium A sso c ia t io n ; S a n J a c in to Metho d i s t H o sp i t a l; S JMHC o ndo m in ium A sso c ia t io n ; The Metho d i s t Ho sp i t a l C o ndo m in ium A sso c ia t io n ; a nd TMH Med ica l Of fi ce Bu i l d ings .( 3 ) P a r t VI 1 , pa ge 4 , l ines 1 2 a nd 1 3 : The yea r - end va lues o f C N L Li f es ty le P ro ps . ] nc . un i t s , a nd Hines P EI T, which a re r ea l e s t a te RE I TS tha t a re no t pub l ic lyt raded, a re c ler ived from the issuers es t imates of value a t year end .

( 4 ) P a r t VI I , pa ge ] 2 , l i ne ! 5 0 : The yea r - end va lue o f I RA a cco un t i n Jo hn H a nco ck I nd R e t i r emen t A nn u i ty , which i s no t pu b lic ly t r a ded , w a s p ro v ided b y Jo hnHancock Life Inn . Co.

(5) Part VIII, page 15, l ine 204: Trus t No. 1 was dis t r ibuted to cont ingent benefic ia r ies a fter dea th of the pr imary benefic ia ry .


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Jr Ewing Werlein Financial Disclosure Report for 2009

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