I·

NAMEOFORGANIZATIONffiNTITY

Report Required by the Ethics AOJO FINANCIAL DISCLOSURE REPORT in Government Act of 1978Rev. '.'"'J07 FOR CALENDAR YEAR 2006 (5 US.C. aPP-§§ 101-lll)

I. Person Reporting (last name, first, middle initial)

HIGGlNBOTHAM, PATRICK E

2. Court or Organization

U.S. COURT OF APPEALS, FIFIH

3. Date of Report

05/01/2007

4. Title (Article (I[ judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. ClRCUIT JUDGE (ACilVE)

Sa. Report Type (check appropriate type)

D Nomination. Date

D Initial Annual D final

6. Reporting Period

01/01/2006 to

12/31/2006

Sb. D Amended Report

7. Chambers or Office Address

903 SAN JACINTO BLVD, ROOM400 AUSTIN, TX 78701

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instnu:tions accompanying this fonn must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J. PQSJTIQ NS. (Reporting individual only; see pp. 9-IJ of instructions.)

D NONE (No reportable positions.)

POSITION

l. TRUSTEE, CHAIR. BOARD OF TRUSTEES THE CENTER FROM AMERICAN & lNTERNATIONAL LAW (FORMERLY THE SOUTHWESTERN LEGAL FOUNDATION)

2. BOARD OF OVERSEERS RAND - INSTITUTE FOR ClVILJUSTICE

3. ETHICS 2000 COMMlSSCON, MEMBER AMERICAN BAR ASSOCIATION

4. CO-INDEPENDENT EXECUTOR TRUST#l

5. INDEPENDENT EXECUTOR TRUST#2

CJ U1

....... = c::::::> __, :::0

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

() ,- .,, o-rr)Z CJ> :::rJZ

3: ::r::--<

Ul

m. 0 rn

(E] NONE (No reportable agreements.)

PARTIES AND TERM S

r-:10 o:t> -i·1r -,·

·: )

J>

9

< rn 0

i'-,-i 0 a-

1.

2.

3.

SOURCE

Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of9 IDGGINBOTHAM,PATRICKE

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

0 NONE (No reportable non-investment income.)

SOURCE AND TYPE

l. 2006 ST. MARY'S UNIVERSITY (fEACHlNG)

2.2006 MATTHEW BENDER (WRffiNG)

3.

4.

5.

B. Spouse'S Non-Investment Income - lfyou were married during any portfun of the reporting year, complete this section.

(Dollar amount tWt required except for hOtWraria.)

{EJ NONE (No reportable non-investment income.)

AND TYPE

1.

2.

3.

4_

Date of Report

05/01/2007

INCOME (yours, not spouse's)

$54,080.00

$ I,328.00

5_

IV. REIMBURSEMENTS .. transportatwn, lodging.food, entertainment.

(Includes those to spouse and dependent children. See pp. 25-27 of instructwns.J

0 NONE (No reportable reimbursements.)

SOURCE DESCRCPTCON

L SEEATIACHMENT

2.

3_

4_

5_

VALUE

2.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3of9 05/01/2007 HIGGINBOTHAM. PATRICK E

v. G wrs. (Includes those to spouse and dependent children. See pp. UJ-JI of instructions.)

(EJ NONE (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VJ. LIABILITIES. (Includes those of spouse and dependent children. See pp. J2-JJ of instructions.)

(EJ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

3.

4.

5.

3ftec

.

c.

reporting

REDEMPTION

· .· t·

I

l.

6.

B.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date ofReport

Page 4of9 ffiGGINBOTHAM, PATRICKE 05/01/2007

vn. INVESTMENTS and TRUSTS - incom value, transacfi<Jns (Includes those of tire spouse and dependent children. See pp. J4-60 of filing instrµctions.)

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

A. D. Grossvaiue at en4 ofDeseription of Assets Income.during · · Transactions during reporting period

(including trust assets)

Place "(X:f each asset

exenipt fr!>m .Prioriliscto.=e

BANKOF AMEruCA ACCOUNT

·.· reportiiig periQd lklri<ld

B lnterest I T

(4) . .Gain.

9>de l (A·H)

(5) Identiiy of buy cc/seller

(if private

transaction)

2. NEW YORK LIFE INSURANCE A futerest J COMPANY

3. BEAL BANK ACCOUNTS B Interest J

4. VERIZON COMMON STOCK A Dividend K

5. AT&T CORP COMMON STOCK A Dividend J

T

T

T

T

GEORGIA ST RFDG SER E (MUNI A Interest K 07/03 J AT BOND)

7. WALTON CO GA DEV AUTif IDR WALTON MFG CO (MUNI BOND)

A

8. FULTON CNTY GA DEV AUTH SPL FACS REV DELTA(MUNI BOND)

9. CHEROKEE CO GA HOSP AUTH RV CTFS REF MBIA

B

10. CHATHAM CNTY GA HOSP REV A

l l. FULCO GA HSP AT RV ANTIC CTFS ST B

12. GEORGE L SMITH II GA WLD CONGR RV (MUNI BOND)

A

13. RICHMOND CNTY GA WTR-SEW REV (MUNI BOND)

B

14. FULCO GA HOSP AT REV ANT CTFS HLTH SYS (MUNI BOND)

B

15. FULTON CNTY GA DEV AT RV GA TECH FNDTN (MUNI BOND)

A

16. AGL RESOURCES INC COMMON STOCK

B

17. AT&T CORP COMMON STOCK A

I. Income Gain Oxks: A =Sl.000 orless

(See C.Olumns Bl and 04) f =S51l.OOI - SI00.000

2. Value Codes I =$15.000 or less

(See C.Olumns.CI and 03) N =SZ:)(}.001 - S500.I}()(}

PJ =$25,1}()().001 - S5a.l}()(),000

(See C.Olumn C2) Q =Appraisal U =BookValoc

J. Value Method <:.odes

Interest J

None J

Interest K

Interest J

Interest K

Interest J

Interest K

lnterest K

Interest J

Dividend K

Dividend I

B =Sl,001 • S2.500

G =SI00,001-S!.000.000

K =SIS,001-SSl}.OOO

0 =SS00,001-Sl.000,000

R =Cost (Real Estate Only)

V "'°'her

T

T

T

T

T

T

T

T

T

T

SELLT

C =S2.501 • S5.000

m =St.000,001 -ss.000.000

L =SSl}.001 -S!00,000

Pl =Sl.000,001- 55,000,000

P4 =More 1haa $50.000.000

S =Assessment

W =Estimared

01/09 J A

D =S5.00l -S15.000

H2 =Mo"' than SS.000.000

M =S 100.001 - $251}.000

P2 =S5 ,l}()(),00 I • S25,000.I}()()

T =Cash Market

E =515.001 • 550,000

A·: c.

peri6<f

05/01/2007

(i} (i)

Date of Report ·Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 5of9 IHGGINBOTHAM,PATRICKE

vn. INVESTMENTS and TRUSTS -- income, value, transactions (lnciudes those of the spouse and dependent c/Uldren. See pp. 34-60 of filing ins/ructions.)

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

.. ti>B. Description Of ls .. Gros$ >l3Jtie at endofrncouiedliring TQlliactjoos dilling re�g · .• (including trustaSSetS) reporting perfud rep<Jajog

(3} (4t · ; {5)Value Gai.11. 1.k:ntity of

.(l) (2) (2) w·- .. Place •(X)" aftereacb a 'Value· Value Ty'pe(e.g.Amooot Type (e.g. Date,: .

Code l div., rent, O>de2 Melhod buyer/sellerMonth - Code lOlde 2 exempt from prior.disclosure ·buy, sell, (A-H) or inL) (J-P} Code3 (ifprivateDay (A-H)(J-P}redemption}

transaction)(Q·W)

18.

19.

20.

21.

22.

23.

24

25.

26.

27.

28.

29.

30.

3L

32.

33_

34.

BEUSOlffH CORP COMMON STOCK

COMCAST CORP NEW CLASS A COMMON STOCK

ClNERGY CORP COMMON STOCK

DTE ENERGY COMPANY COMMON STOCK

EXXON MOBIL CORP COMMON STOCK

GENERAL ELECTRIC COMMON STOCK

LUCENT TECHNOLOGIES INC COMMON STOCK

POST PROPERTIES INC REIT

VERIZON COMMUNICATIONS COMMON STOCK

MS MUN INC OPPT ST Ill

MS QUALITY MUN SECS (MUTUAL FUND)

PIMCO TOTAL RElURN FD (MUTUALFUND)

PIONEER HIGH YIELD FUND CLASS C

VAN KAMPEN SENIOR INCM TR

TRUST /fl

TRUST#2-RENTAL PROPERTIES (TARRANT COUNTY, TX)

TRUST#2-ROYALTY INTEREST

A Dividend

None

A Dividend

A Dividend

B Dividend

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

B Dividend

A Dividend

None

A Rent

A Royalty

J

J

J

J

L

K

I

I

K

I

J

J

I

J

N

J

T

T

T

T

T

T

T

T

T

T

T

T

T

T

w

w

SELL

SELL

NO VALUE

01/09 J

01/09 J

B

A

L Income Gaia O>des: A =S 1,000 or tcSs B =Sl,001 - $2,500 C =SZ.501 • SS.000 D =SS,001 - $15.000 E =SIS.001 • $50,000 (Sec Colwnns Bl and 04)

2. Value Codes

I'=SS(),()()! - SI00,000

J =Sl5,000 or less G =SI00,00! -Sl,000,000

K =$15,001 - SS0,000

Ht =St.000.001 - ss.000.000

L =SSQ.001-5100,000

112 =Moi<: than $5,000.000

M =SI00,001-S250,000 (Sec Colwnns Cl and 03) N =S250,00I - 5500,000 0 =S500,001-Sl.OOO.OOO Pl =Sl.000.001 • 55,000,000 P2 =S5,000,00 I • $25,000,000

3. Value Method Codes (Sec Column CZ)

P3 =$25,000,001 -$50,000,000

Q =Appraisal

U =Book Value

R =Cost (Roal Estate Only)

V =Other P4 =M0<e rbaa 550,000,000

S =Asscssmenr

W =Eslirnarcd

T =Cash Mai:ket

36.

E

B.

lil ll!C rep\)rtfug

c.

(Qo.W}

D.

(3) (4) Codel

Type(e.g. lluy, sell, redemption)

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 6of9 IUGGINBOTHAM, PATRICK E 05/01/2007

vn. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of du spouse and dependent children. See pp. 34-60 of filing instructions.)

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

A. . .

• D o;. of Assets • dufU:tg Groi.s wlite at of Transactions diirini: r p<:>rting pc;nod {including tcust assets) . periiid ' reJX>rti.ntperiOc!

. (1) (2) (1) (2) (1) (2) (5) Identity of GainAmotint Type; (e.g. Value Date ValuePlace "(X)". after each asset Value .

Month·. Code 1 div., !l'lll, buyer/sellerMethod Code2Code2exempt from prior disclosure (A-ff} (if private (A-H)orint.) (J"l') Code3 Pay (J.l')

transaction)

. ·.·

35.

(l1JLSA, OK)

RENTAL PROPERTY (PENSACOLA, FL) D Rent M R

ROYALTY lNTEREST (TULSA, OK) B Royalty J w

37. IRA, BANK OF AMERICA B Interest L T

38. IRA, BANK OF AMERICA (MONEY

MARKET) A Interest J T

39. CHASE ACCOUNT (I'RUST #1) None NO VALUE

40.

41.

MERRILL LYNCH BANK U.S.A

MERRILL LYNCH BANK & TRUST B

None

Interest

L

L

T

T

42. PHOENIX GROwm FUND (MUTUAL FUND)

None K T

43.

44.

BANK ONE ACCOUNTS

DUKE ENERGY COMMON STOCK

A

A

lnterest

Dividend

K

I

T

T

45. CHASE BANK A Interest J T

46.

47.

48.

COCA COLA (X)

ORLANDO FL UTL CMMN UTL SYS RV SER A RF OID MBIA (X)

CENTRAL GREENE PA SCH DlST SER RF OID FSA (X)

A

A

A

Dividend

Interest

lnterest

K

J

J

T

T

T

49.

50.

ROCHESTER NH XLCA (X)

ERIE CNTY NY SER D-2 RF MBIA (X)

A

A

interest

Interest

J

J

T

T

L Income Gain Codes: A =S 1,000 or less B =Sl,001-$2,500 C =S2.501 · S5.000 D =55.001 - $15,000 E =S15,00I • $50,000 (See Columns Bl and 04) F =$50,001 -S!00,000 G =$100,001 , SI,()()(); 000 HI =Sl,000,001. ss,000.000 H2 =More than SS,000,000

2. Value Codes J =$15.000 orless . K =S15,001·-sso.ooo L =SS0.001 -SI00,000 :lhSl00.001 · S250,000

(See Columns Cl and DJ) N =S250.001-S500.000 0 =S500.00 I • S 1,000,000 Pt =Sl,000,001 - $5,000,000 P2 :SS.000,001-S25,000,000

P3 =S25.000.00 l -$50,000,000 P4 =More than S50.000.000 3. Valu.: Method Codes R =Cost (Real Esiale Only) T =Cash Market

(See Column C2) Q =Appraisal V=01her S =Assessment

U =Book Value W =Estima1ed

(3) Value

aldel

FINANCIAL DISCLOSURE REPORT Page 7of9

Name or Person Reporting

IHGGlNBOTHAM.PATRICKE

Date or Report

05/01/2007

vn. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of tlu spouse and dependent children. See pp. JUi(} of fiUng instructions.)

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

51.

52.

A Description of AsSels

(including trust asset$)

Place "(X)" aftereitcha5set exempt from prlor if.™?Osllre

HOUSTON TEX CMIY CLG SYS RV JR SER A RF MBlA (X)

B. Income during

· reporting period

(1) (2) . Amount. Type(e.g. Olde .1 . div., ' CA-i:I) odnl,)

A Interest

c. . Gross value at end of

reporting period

. (l) . (2) Value . Value

. COde.2 . Metbo4

(J-P}. .Code3 (<}.W}

J T

. (t} TyPC(e.g,buy,'sen,�Cdemption)

D.

Transactions during reporting period

. (2) (4) Date Gain Montb

. c ·Co<le2

D.ay (JCP} (A-H)

(5) Identity of buyer/seller (if privatetransaction)

l. Income Gain axles: A =Sl,OOOorless (See Columns BI and 04) F =S50,00l. $100,000

2. Value Codes J =Sl5,000 orless

(Sec Columns Cl and 03) N =S250.001- $500,000

B =Sl.OOI • S2,500 C =S2.50 I • SS.000

G =S!00.001 - Sl,000,000 HI =Sl,000.001 • SS,000,000

K =S!S,001 • SS0,000 l,=$50,001 • SI00,000

0 =SS00,001- Si,000,000 Pl :Sl;000.001- SS,000,000

3. V •lue Melbod Codes P3 =$25,000,00! - S50,000,000 R =Cost (Real Estate Only) P4 =More than SS0,000,000

(S.c Column C2} Q =Appraisal V =Other S =Assessment

U =Book Value W =-Estimated

O =SS.001 • Sl5,000

H2 =More than $5,000,000

M =S 100,001 • $250,000

P2 =S5.000,00l - $25,000,000

T=Cash Marlcet

E =SIS.001 • SS0.000

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date or Report

Page 8of9 WGGINBOTHAM.PATRICKE 05/01/2007

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndU:aJepartofReport.)

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

05/01/2007HIGGINBOTHAM,PATRICKEPage 9of9

IX. CERTIFICATION.

I certify that aU information given above (including infonnation 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 ceported was withheld because it met applicable statutory provisions 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 provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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

Attachment to Part III of Disclosure Form

The reported income for teaching is the sum of compensation accepted for the spring semester, limited by the applicable cap,[ counting both teaching income and the Matthew-Bender income from writing toward that cap] and the portion of payments received in 2006 [academic year 2006-2007] for teaching in the fall semester not limited by the cap. I took senior status on August 28, 2006] before the start of the fall semester. The contract rate for teaching was$ 40,000 per semester but not in any event to exceed any applicable ceilings.

RAND, Institute for Justice Meeting of

American Board of

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Higginbotham, Patrick E. May 10, 2007

SECTION IV. REIMBURSEMENTS AND GIFTS

Attachment to A0-10 - Financial Disclosure Statement

Patrick E. Higginbotham Report Dated May 10, 2007

SOURCE DESCRIPTION

Civil Participant, Santa Monica, CA Board March 16-17

(transportation, parking, lodging, meals)

Trial Advocates TEX-ABOTA Judge of the Year November 18-19 (transportation, lodging, meals)