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NAME OF ORGANIZATION/ENTITY

PARTIES AND TERJMS

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Report Required by thi!! Ethics-,,Q·.0-10'• FINANCIAL DISCLOSURE REPORT

in Go\.·erome1Bt ActofJ978 . 1/2004

Calendar Year 2003 (5 U.S.C. ,app.. §§ 101-111)

I. Person Re porting (Last name, Fin;t name. Middle initial) 2. Court or Organizatioru 3. Date of Report - -

Heaton, Joe Western District of Oklahoma 4/25/2004

4. Title (Art1·ielc Ill Judges indicate : ctivc: orsi:nior status; 5. RcportTypc (check appropriate type) 6. Reporting Period

magistrate j 1dges indicate full- or part-time) Nomination, Date 111/2003

U.S. District Judge. Active -· to

Initial Annual ·=· Flnal 12/3Ii2003

7. Chambers or Office Address 8. On the basis of the infonnation contained in this Report and any modifications pertaining thereto. it is, in my opinion, in compliance::

United States Courthouse with applicable laws ant regulations.

200N.W.4th Street, Room 3108 Reviewing Officer Date

-.Oklahoma1 Ci !}'.Oklahoma 73102

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IMPl:>RT ANT NOTES: The: instructions accom]llllying this form must be followed. Complete all parts, checking the NOJIE box for each part where you have no reportablle information. Sign on last page.

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I. POSITIONS. (Reponing individual only;sec pp. 9-13 oftiling instructions)

=::i NONE · (No reportable positions.)

POSITION:

Custodian Custodial Accounts I and 2

2.

(Rc:porti1ng individual only; see pp. 14-16 of filing instructions} II. AG R.EEMENTS.

::J NONE - <No reportable lli;cements.)

I. N/A Oklahoma Public Employees Retirement System - vested. Eligible at age 62.

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TYPE

Da.te ofRepo 4/25/201:._j

SOURCE AND TYPE

SOURCE DESCRIPTlflli

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FINANCIAL DISCLOSURE REPORT Nom< •'""""' Roporu'"

Heaton, Joe L

Ill. NON-INVESTMENT IJ COME. (Reponing indi ·idual and spouse: see pp. 17-24 of filing instructions)

A. Filer's .. Non-Investment J!ncom

NONE - (No reportable non-irnvestment income)

l.

SOURCE AND GROSS INCOME

!yours; 1101 spou& 's)

B. Spoll!se's Non-Investment Income- (lf.1100 were married during any portion of the reporting year, please complete tlis section. (dollar amount not requirc:d e:xceJi. for honorari.a)

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NONE - (No reportable nom-investment income.)

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IV. REIMBURSEMENTS -transportation, 1o<1ging. food.entertainmert.

(Includes those to spouse and dependent children See pp. 25-27 of instructions.}

NONE - (No such reponall>le reimbursements.)

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DESCRTPTICN

Vi NONE

412512004

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Name of Person Reponill: FINANCIAL DISCLOSURE REPORT D<1te ofRepon .

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Heaton, . Joe L.

V. GIFTS.· (Includes those to spouse and dependent children. See pp. 28-3 I of instructions.)

- (No such reportable gifts.}

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VJ. LIABILITIES. (lnclude:s those of spouse and depelllcnt children. See pp. 32-34 of instructions.}

NONE - (No reportable liabilities.)

DESCRIPTION

1.

.;Page ��������·

Repo;--i 4/25/20(

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(2) (3) (4)

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FINA NClAL DISCLOSURE REPORT Name of Person Reporting

Heaton, Joe L.1 of3

- income, value, transcations (indudes those of the spouse and dependent chidren. See pp. 34-Si of filing ins1:ructiom.) VII. INVESTMENTS and TRUSTS

- B. c. D.A. Income during Gross value at end of Transactions during reporting perial

Descripticm of Assets reporting period reporting period (i11iL 11ding trusl asse1s)

(I) (2) (1) (2) (I) Ifnot exempt from disclosure

(5) ace ''(Xl" after each asset c: empt Pl

fnim prior disclosure Amount Code 1 (A-H)

Type (e.g. div. rent. or int.) . ..

Value Code2 (J-Pl

Value Method Code3 (Q-W)

T)'JlC (e.g. buy, sell, merger, redemi>tion)

Date: Month-Day

Value Code2 (J-P)-

Gain Code I (A.-l-f\

ldenl!ity of bJLV r/seller (if private transaction)

NONE (No reportable inconne. a:;sets, or transactions)

I. Duke nergy common stock B Dividend K T

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2. Xcel 1ergy common stock A Dividend K T

5.

Oil& ganvorking interest; see·, 110te. c Royalty J v

Smith E si

lamey money fund (Ctiibank NA Bank Depo t Program)

lnve:stment Company of Ameri4:a

A

B

Dividend

Dividend M

T

T

6.

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Texas stale Veterans Land hoods A Interest J T

7. Okla. 0 m

:v. Finance Auth. borrJs (St John's Health Sysl(: )

A Interest K T

8. Bank 0f Oklahoma checking aocounlS None K T

9. 323E : Mosier Limited Partne:rship, ltd. part. int A Rent M u

10. Masterpiiece Properties LP - td. part inteiest A Rent L _u

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11. owood II LP ltd. part. int 1real est. dev ., A Rent M u IanCleve: 1dCo

-12. BoydvicwCorp. common s:ta:k G Dividend dissolution

13. Hollyw01od Shopping CentcrLIUC, Nc>rman, OK c Rent J u

14. West o; Rentals, gen. part., Norman, OK office Oat A Rent J u building

15. Nonnan Builders Supply conmcm stock None J u

16. Nonn: Construction & Paving canmon stock None J u

17. DDB: mited Partnership, !ltd. part lruterest A Rent L u

18. Growlh Fund of America A Dividend K T

I. IncmneJGain Cod.e;· A =SJ ,000 or less B = $ I ,O 1-$2,500 c = S2.501-SS,000 D = $5.001-$15.000 E = SJ. .OOl-S50,000

(See Culumns Bl and 04) F = $50,00l-$100,000 G = SlOO,OOl-Sl.000,000 HI = s1.ooo.001-ss.tJOO,ooo H2 =More than $5.uOO.OOli Value Codes: - SJ, 5 ,OOIJ or less K =SI 5.llO l ·$50,000 L = S50,00J-$JOOJIOO M - SJ!l!IJlOl-$250,00() (See Columns Cl and 03) N = S250,000-$500,000 0 = $500,00 l-S l .000.000 Pl = Si,00fl,00l-S5.000,0l'>O P2 = ss.oor1.001-S 5J100.ooo

p:, S25.000.00J-S50,000,000 P4 SMore than S50.000.0()(] Value M thod Cc>d" <J = Apprai!oal R =Cost (Real estate Oniy) s - Asses'1m•nt T - Cash/Market fSee C ohnnr1 C21 C =: Boo'k \1'aluc v =Other w = E.�1Jma1 ed

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Repor;---i 4/2S/200•:__j

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34.

35.

If not exempt from disclosure

FINANCIAL DISCLOSURE REPORT Date ofName of Person Reporting

2 of3 Heaton, Joe L.

-income, \alue, transcations (indudes those of the spouse and dependent chidren. See pp. 34-:5i of filing instruction;.) VII. INVESTMENTS and TRUSTS -

- - B. c. D.A. Income during Gross \alue al end of Transactions during reporting perial

Description of Assets reporting peiiod reponing p..."l"iod (im uding trusl assets)

Value Gain ldentity of

(I) (2) (l) (2) (1)

Piacc "(X)" after each aS$Ct exempt Value Value Type (e.g. Date:Amount Type (C.IJ..fro1n prior disclosure Method buy, sell, Month-Code2Code I div. rent. or Code2 Code buyer/seller

19.

20.

21.

22.

23.

24.

25.

26.

(A-H) int.) (1-P)

Equitabile oflowa Whole Lifel111SUrance A Dividend J

lndividu1al Retirement Trust #I Dividend M

-Amca11> Fund

-Investment Company of Ame1rica

-Smith Barney money funds

-Gro 1 Fund of America _ ... --

lndividu :al Retirement Trust#2 B Dividend M

-Am CllJ 1 Fund

27. -Inv·est rnent Company of Am:rica

28. -Smith IBarney money funds

29. - Gro1 Fund of America

30. CustodialAccount#l A M

31. "Smith Barney money funds

32. -Bankof Oklahoma savings acc:ount -

Code3 (Q-W)

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T

merger, redemPtion)

Day (J-P). l-1\

(ifjii·vate transaction)

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T

Bought addit

11120 ._J.,

-Bought 11120 j

addit

T

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Closed

-Smith Barney Large Cap Value fund • partial sale 919 J

-Gro• Fund of America

--323 Eru•:t Mosier LP, ltd. part. interest

36. -Masteq:1iece Properties LP, ltd pllrt. interest

l. lucomelGain Code A = Sl,000 or less B = $ 1,001-$2,500 c = $2,501-$5.000 D =$5.001-$15.000 E =SJ 5,00 l-$50,000

(See Columns Bl and 04) F = 550,001-$ wo.ooo G = $100,001-S 1.000,000 HJ = SL000,001-$5,000,000 H2 = More than $5 ,000,000

Value Co<les: = S 15,000 orless K - $15.001-$50,000 L - $5!1,001-$1 (10.000 M - $HIU,OOl-S250,0fJO

(See Columns Cl and 03) N = S250,00G-S5CIO,OOO 0 = S500,00l-Sl.000.000 Pl = $1.000,001-$5.000,000 p = S5.000,001-S25,000,000

P:< S25.00li.OOJ-:l;50,000,000 P4 - $More than S50.000.000

3. Value l'.·lethrnl Codes Q = Appraisal H - Cost (Real Estate Only) s - 1\ssessmen1 T Cash/Mark t

(See Coiumt: C2t = Bc>0k Val110: v =OJher \\' = fatimated

DateofRepo8 412512004

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FINANCJ[AL DISCLOSURE REPORT NameofPerson Reporting

43.

(1)

··Page 3 of 3 Heaton, Joe L.

- income, value, transcations (indudes 1hose of the spouse and dependent chidren. See pp. 34-S7 of filing ins1n1ctiora.) VII. INVESTMENTS and TRUSTS

B. c. Income during Gross \"Wile at end of Transactions during reponing pi!riol

D>escription ofAssets reporting period reporting period (ii!eluding trusl aSsels)

A. D.

(2) (I) (2) If not exempt from disclosure

37.

·ice "(X)" after each asset c. emptPl, frc1111 prior disclosure

-Meaclo wood II LP, ltd. part ilterest

Amount Code I (A-H)

Type (e.g. div. rent. or

int.)

Value Code2 (J-P)

Value Method Code3 (Q-W)

Type ie.g. buy, sell, merger, redem'ption)

Date: .Month-Day

Value Code2 _(J-P}

Gain Code

(A·

ldcn1ity of buyer/seller (ifJ)riva1e transaction)

38. -DDB Limited Part ltd. ,part Interest --

39. iial Account #2Custod A M T

40.

41.

-Srnitl:.1 Barney money funds

-- Bank of Oklahoma account

42. - Smith. Barney Large_Cap \'._aju _Fund -

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-Gro\\ th Fund ofAmerica Bought 7n.4 J addit

44. -323 E ast Mosier LP, ltd. part .. interest

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45. - Maste rpiece Properties LP, ltd part. interest

46. - Mt:adowood II LP, ltd. part. i1tr.re!.t

-47. -DDB Limited Part ltd. part. ilrrt.

1. lncome;Gain Codes:· A = S 1,000 or less B = s l ,00 1-$2,500 c = S2.501-S5,000 D = $5.001-Sl 5,000 E ;. I 5.001-$50,000

(See Coiumns Bl and D4i = $50,00 l -$ !00,000 G = SJ00,001-Si,000,000 HI = Sl.000.001-$5,000,000 H2 = More tban $5,000,000

2. Value Codes: SI 5 ,000 or les:- K - SJ 5.0Ul-$50,000 L - $5.0,001-SJ 00,000 M - SIOO,OOl-S250,000

(See Columns CJ and D3) N = S250,000-$500,000 0 = $500.001-SJ.000,000 Pl = Sl.000,001-55,000.000 P2 = $5,000.001- 5.000.000

P3 - S2 .000.00i-S50,000,000 P4 - SMore than S50,00C.OOO

3. Value Method C .ides Q - Apprai!;al R - Cost fReal Estate Only) s - Assessment T - Cash.'l\:larkct

!See Coiumn (2) u =Book Value \! =Other w = Estima1ed

Date ofReport

4125/2004

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Name of Person Reporting FINANCIAL DISCLOSURE REPORT Heaton, Joe L

(Indicate pan of Report.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

1. The value ofth: oil and gas working interest identified in Part VII, line 3, is based on avera monthly income during the peri<XI x 36 months. The wells are located in Oklahoma (:Folmar) and McClain (Lewis 1-11 and Mooney) Counties, Oklamma.

2. As to U1e custodial accounts shown in Part Vil, fileris the custodian of the bank account and assets in brokerage accoun s custodian as to ·. limited partnc:rship interests. Valuatiions of publicly traded funds are based on cas.hfmarket; values oflimited pa ners ip interests are bas d on book value.

3. The limited partnership interests identified in Pa VII, Ines 9, 10, 11, 13 and 17 also had interest or dividend income in addition to rental income (pc:r K-1). K-l for the S-corp shown at line 13, shows dividends, rent and interest income. (Softwardonly pennits a single type to be lhown.)

Date ofReport

412512004

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Name of Person Reporti JflNA.NCIAL DISCLOSURE REPORT

Heaton, Joe L.

IX. CERTIFICATION. . .

I cetti · that all infonnation given above (including information pertaining to my spouse and minor or dependent children, if any) is acclirate, true, and complete to the best of my knowledge and belief, and that any infonnation not reported was withheld because it met applicable stat111tory provisions penni.tting non-disclosure.

I furthe:r certify that earned inc9me from outside employment and honoraria and 1he acceptance of gifts which have beim .reported ate in complianc1 with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CJUMINAL 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 Suite2-301 One Columbus Circle, N.E. Washington, D.C. 20544