David R Herndon Financial Disclosure Report for 2009

8/3/2019 David R Herndon Financial Disclosure Report for 2009

1/18

Ao to [ FINANCIAL DISCLOSURE REPORT n , ~ p ( , r t t ~ , q . i r , .a b ) , , ~ , , , + + m c ~ttt Government Act of 1978Rev_ #20ZO I FOR CALENDAR YEAR 2009 ~ . ~ u . s . c . , z , - .~ 101-111)I. Person Reporting (last name . fitsl, middle inttiali 2. Court or Organization 3. Date or Reportl lcrndon, David R. U.S. District Court Southern District of Illinois 05/I 4/2(110

4. Title (article 111 judges indicate acti,.c or sctlior status; 5a. Rewoirt Type (t.i~c,.:k appropriate type) 6. Reporting Perb~d] Nomina tion [ 3 , a t e {.ll!O I/2(~39

U.S. District Judge - Active [] Initial * t _ r _ . . l ~ A ..... [] Final t,,5b. [] Amended Report

7. Chambe~ or Office Addres~ 8. On the basis of the information contained in this Report and an ymodifications pertaining thereto, i! is, in+ my opinion, in c omplinnceUnited States Courthouse ",,4th applicable laws and regulallons.750 Missouri AvenueEast St. Louis, IL Reviev, ing Officer Date

L + + I P O R T A N T N O T E S : The instructions accompanying this form must be foltowed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only;.~ee pp. 9.1.1 of flling in.~rruclion$.)~ NO N E (No t7~ortablepo,sitions.)POSITION NAME OF ORG ANIZATION!ENTITY

1. Trustee Trust # 1, Assets No 31-91

2. Trustee Trust #2, Assets No 92-1263. Trustee Trust #3, Assets No 127-162

4. Trustee Trust #4, Asscls No 163-1815. Trustee Trust #5 Assets No 182-200 Trust #6 Assets No 201-209

~ N O N E (No reportable agreement.~.)~ PARTIES AND,TERMS

1 +


2/18

FINANCIAL DISCLOSURE REPORT Na,., of P .....Report ing Dalt of ReportPage 2 of 18 tlerndon, David R,

I I I . N O N - I N V E S T M E N T I N C O M E . a~,,,,,.ti.g i,di~idualattd ,l~mSe: see pp. 17.24 offili,,g in.,tructions.)A. Filers Non-Investment Income

N O N E (No reportable non-investment income,)DATE. SOURCE AND TYPE INCOME( ) , o u r s . n o t s p o u s e s )

I.

3.

B . Spouses Non-Investment Income - tl yo. ..er, married during any portion of the reporting year, complete this sect~n.

N O N E (No reportable non-investment income.)DAT~ ~OURCE AND TYPE

1.2.3.4.

I V . R E I M B U R S E M E N T S - - ,~ . ,, ., o ,, ,. ,i ,, ,, , ~,,a,i,,~,y,.~, ,,,,,~,i ..... 1.[~ NON E (No r~7~ortable reimbursements.)

~ ~ L~~ PURPOSE ITEMS PAID OR tRQVI~EDl. slu School of l,aw N o v e m t ~ [ 7 . 2 0 0 t ~ Carbondalc, IL llealth Law Moot Court ~dging $75Judging2.3.4.5 .


3/18

F I N A N C I A L p a g e 3 o f 1 8 D I S C L O S U R E R E P O R T I I l ernd ,m, David R. Date lRt~prt05~

V . G I F T S . (lnclud~.~ thane to spouw and d ependent children: see pp. 2 8-J1 ,,filling instructions.)N O N E (No reportable gifis.l

DES(~IPTIONi.

3.4.5 .

[~ N O N E (No reportabh~ liabilities.)CREDITOR DESCR trllON VALUE CODE

1.2.3.4.5.


4/18

Ia m e o ( P e r s o n R e p o r i n g D a z eFINANCIAL DISCLOSURE REPORT] | |credo,|, David R.

Page 4 of 18.

V I I . I N V E S T M E N T S a n d TRUSTS -. i .......... t , , , . , . . . . . . , i o , , ( l n c l u d e n , b o a t of s ff ......... I dependent ,hildten; s e e p p . 3 4 ~ 0 of filing i n x t r u c t i o n . , . i~ N O N E (No reportable income, assets, or transa(tions.)A. B. C . " D . "

{ i n c l u d i n g { l u s t ~ s c t s ) r e p o r t i n g p e r i o d o f r e ~ m i n g p e r i o dt ~) (~ ) O) (1) O)P l a c e " ( X ) " ~ f f l c r c a d ) a s s e t A m o u n t T~pc (cg, V a l u e . V alue Type leg.,

c x e m [ ~ l f r o m p r i o r d i s c l o s c rc ~ C ~ 1 d i v . . t c ~ t . C ~ d c 2 M e t h o d b u y , ~ c l [ , [ m m d d , y ~ ~ C o d e 2 [ C ~ d e I ~ b u y e r / s e l l e r, ( A - H ) o r i n l . ) ( J - P ) C c ~ 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

1 . Ba~k of Edwa rdsv i ll e Premium check ing None C l oud 0 1 / 0 2 / 0 9 ] JAccl2. First Clover Leaf Bank checking acct (X) B [ n t u r e s t K T3. A~hcuscr Busch None Sold4. 1RA Account JP Morgan I R.,,. Account A Dividend M T assets listed5 . - (IRA) Apple Inc Sold 1 l/l(; ."l?O K C6 . - (IRA) CVS Carcmark Ct)rp B uy 1 1 , l ( ) / t )~ ) l J7. - (IRA) First lIorizon Nail Corp

8 . - lIRA) First Ilorizon Nail C~rp Spinoff 01/02/09 stock dividend(from line 7)9. - (IRA) First IIorizon Nail Corp Spinoff 0 4 . ; 0 1 1 0 9 slock dividend(from line 7)

1 ( } . - (IRA) First Horizon Natl Corp Spinoff 07tll!0q stock db, idcnd(from line 7)I I . - (IRA) First Ilorizon Nail Ct)rp Sold 0 8 / 2 8 / ( ) 9 K D1 2 . - (IRA) First I Iorizon Nail Fractiona l Shares Spinoff 0 1 / t ) 6 / 0 9 stock dividend(from line 7)13. - (IRA) First ] Iori~on Nalt l raOional Shares Spiwoff 04/1) /09 stoc_k dividend(from line 7)14. - (IP, A) First I lorizon Nail Fracli~)nal SharesI Spin(H( 07/01/09 stock dividend(from line 7)1 5 . - (IRA) First Ilori/on Nail Fractional Shares Sold I ) 8 / 2 8 / 0 9 J A16 . - (IRA) Fractional Kinder Morgan ,Mgmt Spinoff ! 0 2 i 1 3 / ( D dividd pd in fractional(lrom line 20) sh1 7. - (IRA) Fractional Kinder Morgan Mgmt Spinoff 05/15/09 no Svaluc until(from line 20) f r a c t i o n = I


5/18

FINANCIAL DISCLOSUREREPORT] tlerndon, David R.ag~ ~ of 18

V I I . N V E S 1 M E N 1 S a n d T R U S T S -. i ........ .alue. t ....... tion, (Includes those of s~ ....... d dependent children; see pp. J4~O ,,f fihng instructio~.)~ N O N E (No reportable income, assets, or transactions.)

A. B. - r .... C. ~ ............. D.0nc~uding trust assets) ~cporling period ~ of rc~ing periodo) (2 ) ~ O) ? ~) [ .... o) .... (2 )Ph:ce "(X)" ~ftcr each ~ss~l Amounl T)pc (cg.. " Value ~ Va lu e [ Ty~ (e.g. D:~te : Value Gain Identityexempt from pritn disclosure C~e 1 div., re,t, Code 2 , Mclht~ buy, sell. mm.~d vy Code 2 Code 1 by)or/seller(A-li) or int.) , (J-P) ! Code3 redemption) (J-P) (A-) (if private ~ (Q-W) [ t ) a n s . 3 c f i o n )

IS . - (IRA) Fractional Kinder Morgzn Mgmt S pin o ff 0~ /1 4/09 d iv idd pd in l r zc t iona l( f rom line 20) sh19 . - (IRA) FractionM Kinder Morgan Mgml S pin o f f I 1/13/09 d iv idd pd in f iac t ionn l( f ro m l in e 2 ~ ) sb

"20. - (IRA) Kindcr Morgan Mgmt .....

21 . - ( IRA) Mic r oS o f t Cor p

2 2 . - (IIL~,) PmShares UltraShor~ Lehman 20+ B uy 01/13itFJ JTB T2 3 . - (IRA) Omnicom Group Inc B uy 10/19/09 K2 4 . - (IRA) Researc~ in Motion B uy 11/02/09 J2 5 . (IE~) T ~ a n s O c c a n L T D2 6 . - (IRA) XTO Energy Inc Sold 12/22/09 K27 . - (IRA) Dre,,,fns General Mone), Market Sold 1~10/09 KAccl28 . - (IKA) Pershing Prime Money Market B uy IZ, 03/09 L29 . JP Morgan Brokerage Account None Closed 12/10/09 J30 . - l )rc) , l tr , Gent: l id Money Market ."kc,zoont 5;old 12/10i(X) J1. TRLIST ~1 JP Morgan Brokerage Account G Inl./l)iv. I) 1 T trust assets listed below

1"32. - Drc~,tus (;encral Money Market Account Sold 12/11)/09 M! 33. - General MNY MKT Account B uy 12/02/09 M

34 . - Clear Lake City Tcx \Vtr Aulh GO Rfdg Redeemed 03/02/09 L


6/18

Name of Person Report ing Da{e of ReportFINANCIALpage 6 of 18 DISCLOSURE REPORT ; ~ ,a o , . D a v i d R . 0 ~ / 1 4 / 2 0 1 ( 1

~ N O N E ( N o reportable income, assets, or transactions.)

(including Iru~t assets) reporting period of reposing period(~) ~ (~) O) (~) (~) (~) (3) (a~ (5 )Place "IX)" a l lot c 3 c h as~t Amount ~ " "ype (e g V alue V alue Type (e.g. Date Value Gain Identity ofexcmp{ from prm r disclosure C(Mc I div.. sent. ((Mc 2 Mclhod buy, sell. mm!ddiyy C~c 2 Code 1 buycr/sdlet(A-Ill ~ or ttd) (J-P) C t 3 ( I c 3 tcdempti~n) (J-P) (A-H ) (if privatei (Q-W) hansaction)

3 5 . - Norfolk V A GiO Rfdg & Cap Imp~ 6/15 /98 Redeemed 07/01/0~ L5%- ~ng Island l~r Auth NY Elec 4%

Lower Colo River Auth Trans ~/15/90115.25%

38 . - Puerto R~co Mun Fin Agy G iO 8/112011

39 . - Austin Tex G,O Pub lmpt 8115/01 5%

40 . - ~gle G~rfield & ~outt Cntys Colo Sch Redeemed !2/07109 LDist41 . - Eagle Garfield & ~outt Cntys Colo Sch Redeemed 12A)1/09 K

42.Dist- Chadotte-Mccklenberg ] losp Aut due

43 . - Jackson Cnty Mo Spl Ob[ig T~man Sports

~. - Dcschu~c~ Cnly Ore Sch Dist 5.25%~5. - Cook Cnty ILL GiO Rldg-Ser 5.25%46 . - Ofland Inrk ILL GO Bds 2002A 5%

47 . - Chicago ILl. Sales Fax Roy Sale 5% l J , uy 01/t)8/O9 M48 . - Virginia St Rcs Auth (?lean Wtr 6/13/0-I B uy 08/18/09 L5%49 . - Aatozonc h~c I I/6/03 5.5% B uy ( / 5/09 K5 0. - Maniotl Intl lnc 6/14!06 6.2%

B uy 01/29/09 K51 . - Morgan Stanley Sr NTS 5.75% l : m y 01/291~9 K


7/18

FII~IANCIAL DISCLOSURE REPO RT i ~ ~ , ~ ~ p o , ~ i ~ g . . . .. . ......I

D a t e ~ l R e p o r tIage 7 of 1 8 Herndon, David R. 0 5 / 1 4 1 2 0 1 0

V l I . INVESTMENTS and TRUSTS .- i ........ .~,,~. , ...... tions (Includes those of spouse and dependent child ....... e pp. 34~0 of fihng imtructio~ N O N E (N o reportable income, assets, or transactions.)

Dcscriplkm of Asxct~ h~comc during, Gross value at end Tranx~ctk:,ns duling reporting pcrmd(including trust a~scts} tcporting period of reporting periodO) (x ) (i) (2) O~ (2) o) ~ (~) (5)Place "(X} aflcr each as.sol Amount ; Type (e.g.. Value Value. Type (cg . Dale Value : Ga~a ldemily ef~xcmp~ from prior disclosure Code I div.. rent. Code 2 Meth~ buy. sell m m ,d d, y y C od e 2 C~c 1 : b t l ) r e r : s e l l e r(A el) ~ or inl.) (J-P) Code 3 rcdcmptkm) ~J-P) (A-H) (if pri~ale(Q-W) ; t~sact ion)

52 . - Starbucks Corp Sub l)cb CV Sr Nt 8.23/07 B uy 03/04/0q K6.25 %53 . - McGraw-Itill Cos Inc St NI 11/15,2017 B uy 03/17 ;09 K5.9%54 . - American To~et Ct~p B uy 05/07;09 K

(addH55 . - Acccntnre LTD (1 A 09!01i{F) name changed-see

belo~56 . - Acccmure PI.C Irelaml Shs (1 A ACN 09/[]1]09 new name5 7 . - Atlas Energy Re~; LI.(" 0 9 / 3 0 / 0 9 1 name changed- seebelow5 8 . - Atlas America Inc 09i30/110, nev,, name changedl again

i 5 9 .~ - Atlas, Energy Inc 1 1 1 / 0 1 / 0 9 new new name6 0 . - Apple Inc

t61.Bank t~lAmetica (orp B uy 07 !24/09 J(addl)62 . - CVS Caren~ark (o~p~ration

i 63. - Companl~ia Vale 1)o Rio I)occ ADR 05/28,.09 name changed - seebelow64 . - Val,.: S A 5pons ,.\DR 05;28/09 new name65 . - Chesi~pcake Energ, ,66 . - (.isco Systems Inc

67 . - Colgate Palmolive (o

__ (addl)


8/18

|N a m e o f P e r s o n R e p o r ti n g [ D a t e o f R e p o r tF I N A N C I A L p a g e 8 o f 1 8 D I S C L O S U R E R E P O R T l le r n d o n , D a v i d P, . [ 0 5 / 1 4 / 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 ......... t .~ , , . . . . . . . , io~. t t , ,c t , ,ae .~ tho~t o f s~ . . . .. .. . d deee , ,aen, , l , i l ar ,n: ~t t pp. 34~0 of f i l i , ,g i n s t r u a i o m . ~

~ NONE (No r~portable incomt5 assets, or transactions.)A B . I)

( i n c l u d i n g t ~ u ~ l : ~ . s ~ t - t s ) r c ~ , t i ~ , g . . . . .pcrlt,d ~ .~1 [po,tin~ pc,iod . _Place. II(X)" M l c r e a c h a s s e t : Am~)unt T~pc (e.g.. V alue V a t u c T y p e ( c g D a t e V a l u e G a i n I d e n t i t y

~ ( A - H ) : o r i n t . ) ( J - P ) C o d e 3 r c d c m p t ~ t m ~ O - P ! ( A - t t ) ( i f p r i v a t e~ ~ Q W ) t ~ a n s a c t i 0 n )_~9 . - Entc~rise Producls Partners L.P.70 . - Energy Transfer Parmcts L.P.7 1 . - (;~khnan Sachs Group Inc Sold 01~23/09 ]7 2. - Honeywell Intl In,::

7 3 . - IShares Trust MSCI Emerging MarketsIndex EEM7 4 . - ISharcs Tr Dow Jcm cs .~l Di,id IndexDV Y7 5 . - l l u m , m a I n ~ . "

7 6 . - JPMorgan Chase & Co7 7 . - Kinder Morgan Energy Partners7 8 . - Logics Companies In c7 9 . - tMatkw csl Energy Partners L.P.

8 0 . - McGraw Ilill Companies81. - Microsnrl Corp8 2 . - Nasdaq OMX Group lnc NDA08 3 . - Plains All American Pipeline L.P.8 4 . - Proshares (]ltraShorl Lehman 20~- yr IB T B uy [ 1 , ~ / 1 9 ~ 0 9 K8 5 . - Research in M l~tion I.TD


9/18

FINANCIAL D ISC L O S U R E R E P O R TPage 9 of 18

~ N O N E (No reportable income, assets, or transactions.)

(including t[ust assets) wpo rling ~ri~l of rc~rling pcrit~d(2) (t~ ~- (2) -

P l a c e " ( X ) " a r i e l e a c h a s s e t A m o u n t T y p e ( e .g . , V alue V alue T y p e ( e g . , Dale I V aluc G a i n I d e n t i t y( A - H ) t ~ r i n t . ) ( J - P ) C o d e 3 r c d c m p t i o ~ 0 [ (J-P) ( A - ] I ) ( i f p r i v a t e

8 6 . - Sch lumberger LTD

- TransOcean k~ B uy 0511 I/1t9 J(addl)

~ 9 . - Thermo Fisher Scientific Inc B uy 04/29/09(addl)[90. - WisdomTrec Trust

9 1 . - Williams Partners L.P.9 2 . TRUST #2 JP Morgan Brokerage Acconnt C [ntaDiv. M T trusl assets listed below9 3 . -Dreyfus General Money Market Account Sold I~10/0~ K9 4 . -General MNY MKT Accoun~ B uy 1 2 / 0 3 . , ~ ) 9 K9 5 . -American Tower Corp B uy 05/)7/09 J(addl)96 . -Accentore LTD CI A name change- seebelow9 7 . -Accenture PI.U lrckn~d Sh CI A new name9 ~ . -Apple9 9 . Bank of ,Mncrica Corp B uy 07/24,"09 J(addl )l(t0. -CVS (?afeMan k Corpu;ation

1 0 1 . -Companhia Vale I)o Rio I)oce Spons ADR B uy 0 5 / 1 5 / t ) 9 J name change-see below(addl)

1 0 2 . -Companhia Vale Do Rio Doce Spons ADR 05/28/09 name change-see below


10/18

FI N A N C I A L D IS C LOS U R E R EPOR T ~ .... fP ..... R t p , , r t i n g D a t ~ : o f R e p o r ! ]Page 1 0 of 1 8 n ~ , - n d o , ,, D a v i d R . 1 1 5 / 1 4 / 2 1 1 l 0V II. INVESTMENTS a n d T R U S T S -- ~ . . . . .. . . . .. . t , ,, , . .. . . . . , i o n . , ( I n c l u d e s t h o s e ofsp ........ d dependent chiMr,n; ~te pp. 34.60 4fihng i ........ tions.)

N O N E (No reportable income, assets, or transactiotts.)

0ncluding nust asseks) rcl~rtiug period of reponi~xg periodit} ~2~ O) (2) (~ ~ ~2) (3}- ~4) ~5)

P l a c e " ( X ) " a f t e r e a c h a ~ s c l A m o u ~ t I ) p ( e .g . V a l u e V a lu e T y p e ( c . g . I ) a l c V a l u e : (J,fin I d e n t i t y o f( A - H ) t w i n t . ~ O - P ) ~ C o d e 3 r e d e m p t i o n ) [ J - P } ( A - } I } { i f p r i v a t eI O - ~ V ) . : t r a n s a c t i o n )

1 0 3 . -Vale S A Spons ADR 0 5 / 2 8 / 1 ~ 2 new name10 4 -Chesapeake Energy Co~l O S . -Cisco Systems

1 0 6 . -C~dgate Palmolive Co

1 1 ) 7 . -Walt Disney Co H olding Co B uy 10/19/09 J(addl)1 0 8 . -Goldman Sachs Group Inc Sold 01/23/09 J1 0 9 . -floncywell Intl lnc

IO . -Ishares Trust MSCI Emerging Markets FdEEM1 1 . -Isharcs Tr FTSE Xinhua China 25 Index FdFX i12. -Humana [nc

1 1 3 . -JPMorgan Chase & Co1 4 . -Kinder Morgan Energy Iarmers l .qT)p a l I n c t t , h p1 5 . - Lowcs1 6 . -McGraw Ilill Companies

1 1 7 . -MicmSoltI I g . -Naxdaq OMX Group Inc NDAO1 1 9 . -ProSharcs UltraShort Lehman20~- year TB I B uy 08/19/09


11/18

FINANCIAL DISCLOSURE REPORT ~ ...... f Pe .... R e p o r t i n g I D a t e o f R l : p o r tPage 11 of 18 l lerndon, David R. 1 1 5 t l 4 / 2 1 ) 1 0VII. INVE STM ENT S and T RUST S --i .. .. .. .. .~ . . . . . . . . . . . ., i o , , . ~ ( I n c l u d e s t h o s , f s ~ y , e and depeadrnl c h i l d . . . . . . . . . p p . 3 ~ 0 t f!ting i n s t ~ c t t o n ~ J

N O N E (No rtT~ortable income, assets, or trattsactions.)

I ) c 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 r o s s v a L u e a t e n d " r r a n x a c l i o n s d u r i n g r c p o a m g p e r i o d(including l~st assctsi r c po rf i~ g ~ c~ i( ~ o r e po rt i n g ~ cr i o d0) ~2) (0 ~ (~) 0~ .... (2) ~ ~3~ O)P l a c e " { X ) " a l t e r e a c h a s s e l A m o u n t T y p e { c g , V a lu e V a l u e T y p e ( e . g ., D a l e V a l u e . G a i n I d c n l i l y

e x e m p t f r o m p r i o ~ d i s h , s u r e C o d e I t l i v . , r e n t . C o d e 2 ; M e t h o d b u y , s e l l, m m ! d d ~ y y j C o d e 2 ( 7 o d e I buycr/scllc~, ( Q - W ) n a n s a c t i o n )

1 2 0 . -Omnicom Group Inc B uy 1 0 / 1 9 1 0 9 J1 2 1 . -Research in Motion LTD1 2 2 . -Schlumberger L[I)1 2 3 . -Target Colp1 2 4 . -TransOcean LTD B uy 0 5 1 1 i f ( r ) J(addl)1 2 5 . -Thcrmo Fisher Scienlific Inc B uy 04~9A)9 , J. (addl)1 2 6 . -WisdomIree I rust1 2 7 . TRUST #3 JP Morgan Bmktzrage Account C [nt.iDiv. N T tru.,,l assms listed below

1 2 8 . -Dreyfus General Motley Market Account Sold 1 2 / 1 0 / 0 9 ~ M

1 2 9 . -General MNY MKTAccounl B uy 1 , . 2 / 0 3 / 0 9 M1 3 0 . -American T(v,,er Corp CI A B uy 05/07;09 J(add l )1 3 1 . -Acccnture Ltd (21A 0 9 f 0 1 / ( 1 9 name changed -seebelow1 3 2 . -Accenture ILC Ireland Shs (_7I A 0 ~ ) , " 0 1 / 0 9 new name1 3 3 . -Apple Inc1 3 4 . -Bank oI America Corp B uy ! 07~4/09 J(addl)1 3 5 . -CVS CareMark Corp B uy 10/14/0) J(addl)1 3 6 . -Cotnpanhia Vale Do Rio I)o,:e Spons ADR B uy 0 5 / 1 5 1 0 9 } name changed - see(addl) below


12/18

FINANCIAL DISCLOSURE REPORT ~ ..... [Person I~eport ing [ Dal eo f Repo r l ]Pagc 12 of 18 lterndon, D a v i d R . 0 5 / 1 4 / 2 0 1 0

NONE (No reportable income, assets, or transactions.)A B C.Dcscriptio~ of Assc~s Incom e during Oros~ value at e~d(including trust ~sscis) ~ r~rling period of rcporti~g period ;

Place "(X)" itflel each asset : Amount Type (e.g., Value ~ Value qypc (e.g .. Date Value Gain Identity ofexempt [tom p~ior di.~closurc (ode I , div.. rcnL Ctrde 2 ~ Method buy. sell, mm,ddiy> (ode 2 Code I buycr..sc~Ier(A-It) or inL) (J-I) Code 3 redemption) (J-P) (A-II) {if private~ ~ (Q-W) ~raa~action)

137. -Corupanhia Vale Do Rio I)oce Spons ADR 05/28/09 name changed - seebelow138. -Vale S A Spons AI)R 05/28/~ new name

139. -Chesapeake Encrg> Corp

140. -Cisco Systems I n c "1 4 1 . -Colgate Palmoli~e

142. -Wall Disney Co H{ ,Idmg Ct~ B uy 1 0 / 1 9 , 0 9 J(addl~143. -Goldman Sach~ Group Inc Sold 01/23;09 J

1 4 4 . Honeyw ell Inll In1 4 5 . -IShares Trust MSCI Emerging MarketsIndex EEM146. -IShareslr Dow Jones Sel Ikiv DVY Sold 10/14109 K1 4 7 . -ISharesTr FTSE Xinhua Ilk China 25Index Fd FXI148. - tlumanalnc149. -JP~,lorgan Chase & (o

150. -Kinder Morgan Encrg), Parmc~s LP

151. -IJ~wcs (?ompanies Inc"

152. -McGrawllillCompanics

153. -MicmSnfl


13/18

FINANCIAL DISCLOSURE REPOR T r~ ...... fP ..... R e p o r t i n g D a t e o f R ~ p o r lPage 13 of 18 tlerndon, D a v i d I , L 0 5 / 1 4 / 2 t ) l I JVII. I N V E S T M E N T S a n d T R U S T S .. in ....... ~ . ~ , , ....... , i o n s ( I n c h , d e s " t h o s e of p ....... d d e p e n d e t l t c h i l d r e n z s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o m . )

~ (No reportable income, asset.s3 or transactions.)ONE

( i n c l u d i n g t r u s t a ~ c l s } rc~rting period t f f r e p o r t i n g p e r i o d~cmpl f r t , m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t , i C o d e 2 M e th o d : b u y . s e l l, mm/ddiyy Code 2 C o d e I buyer/seller( A - t l ) o r i n t . ~ ( J - P ) C ~ 3 d e 3 r e d e m p t i o n ) ~ [ J P ) ( A - I I I ( i l p r i v a l et Q -W ) ] t r a n s a c h o n )

1 5 4 . -NASDAQOMXGrouplncNDAO1 5 5 . -P~oShares UltraShutt [~hman 211+ year B u . v 0 8 , " l t ) , r 0 t ) JTB T1 5 6 . -Omnicom (-;roup lnc B uy 1 1 ) ] 1 9 / 0 9 J1 5 7 . -Resea~t:h in ,Motion LT[)1 5 8 . -Schlumbcrger LFD1 : 5 9 . -ratget

l t ~ l ~ . -TransOcean L T D B uy 1 1 5 / 1 1 A ) 9 J(addl)1 6 1 . -Thcrmo Fi.,hcr Scientific lnc B uy 0 4 ! 2 9 ! 0 9 1 J(addl)1 6 2 . -WisdumIrce Trust I)OO B uy 1 0 / 1 4 . b Y ) K1 6 3 . TRUST ~a JP Morg,tn I]rokcrag~: Account C Int./Div. M T trust assets listed belo~1 6 4 . -Dreyfus General bhmcy Market Account Sold 1 2 / 1 ) 3 / l ~ 9 K1 6 5 . -General MNY MKrAccoun~ B uy 1 2 / 0 3 / 0 9 K1 6 6 . -Cla~rm~e 13NY t~it: ETFJ ~ ~ . 7 . -IShales ]rust 1)t~w Jones IJS [,:com IYZ

1 6 8 . -IShuresln~sl M.";CI Emerging MarketsIndex Id EEM1 6 9 . -IShares Tt Dow Jone; Sel Divid Index FdDV Y

1 7 0 . -|Shares Tr I:ISE Xinhua IIK China 25Index FXI


14/18

FI N A N C I A L D IS C LOS U R E R EPO R T N .... f P ..... R e p o r l i n g D a t e o f R e p o r lPage 1 4 of 1 8 l lerndon, D a v i d R . ! ) 5 / 1 4 / 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 ......... lue, , ....... tions (Includes th ose of spo ..... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f fi l i n g i n s t r u c t i o n s . )~-~ NONE (No reportable income, assets, or transactions.)

A. r~. - ....... C.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 s s ~ a lu e a t c o d ~ r a n s a c t i o n s d u r i n g r c p 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 m n g p e r i o d o [ ~ c p o ~ i n g p e r i o d

~ (1) [ (2) (I) (2) {1 ) (2) (3) [ (4) (5 )P l a c e " (X Y a f te r e a c h a s s c t ~ A m o u nt } Type (e.g., V a lu e V a lu e Type (cg.. D a t e W d u c ~ Oai~ Identity o f

exempt lrom prle~ disclosure [ C o d e I [ div., rent, C o d e 2 M e t h o d buy sc[I. mm/dd/yy C o d e 2 ] C o d e 1 b u y e r / s e l l e r[ (A - H ) : o r i n t . ) 0 - P ) , Code 3 t c d c m p t i t m ) ( J - P ) ( A - I I ) ( i t p u v a t e~ I ~Q~) 7 t r a n s a c l i o n )171. -KayneAndersonMkPlnvtCo1 7 2 . -Select Sector SPDR Amex Utilities SelectX LU173. -Sector SPDR Trust Industrial XLI174. -Sector SPDR Trust Technology XLK

175. -Sector SPDR Financial XLF176. -Select Scclor SII)R Trust Energy X LE1 7 7 . -Select Sector SPDR Consumer DiscretX LY178. -Select Sector SDDR Tr llealth Care XLV

179 . -Select SIRI)Trust Consumer Staples XLI

1 8 0 . -Select Sector SPI)R Int Materials XLB B uy 1 0 / 2 6 / 0 9 J(addl)1 8 1 . -WisdomTrce Trusl Top 100 Fd DOG B uy 1 0 / 2 6 / 0 9 J(addl)1 8 2 . TRUST #5 JP Morgan Brokerage Account B lnt./Div. L T trust assets listed below183. -Dre).fus Gcnclal Money Market Account Sold 12/1(1/09 J184. -General MNY MKT Account B uy 12/03/09 J185. -Claymore tINY tlric ETF B uy 10/26/09 J(addl )186. -Isharcs Trust Dow Jones US Telecomm

Sector IYZ187. -Isharcs Trust MSCI Emerging Markets

Index Fd EEM


15/18

Name o1" Person Rep.rting Dale of ReporlFINANCIAL DISCLOSURE REPORT u~,,do, , , Dn~id R.Page 1 5 of 18 0 5 / 1 4 / 2 0 1 0

N O N E 0 V o reportable income, assets, or transactions.)A. IL C D.Dc~criptmn of As~IS ~ hmome du~ing Gross value a~ end ~ansactions during reporting period{including trust asscts) reporting, period ol ~tting pcri~

Place "(X)" after each asset . Amtmnl ~ "lypc (cg. , : Value Value Ty[~ (c g. i Date Value Gaio Identityexempt from prior disclosote (ode [ the. rent, (7ode 2 M c t b t~ d buy, sell. m m ; d d i y v _ C~a 2 ~ Code 1 buycr,scllcror int.) (J-P) (7~e 3 redemption) (J -P) ~ (A-H ) 0tprivatci (Q-W) [ transactionJ

188. -lsharcs Tr Dow Jones Sel Die Index FdDVY

189. -lsharcs Tr ~SE Xinhua HK China ~ B uy 10,~6/~ JIndex FXI (addl~190. -Kayne Anderson MLP INVTCo

1 ~ 4 1 . -Select Sector SPDR Amex Utilities XLI_J

1 9 2 . -Sector SPDR Trust Sh~ ben int IndustrialX L I1 9 3 . -Sector SIDR Trust Shs ben int Technology B uy 10/26/09X LK (addl~1 9 4 . Sector SPDR Trust Financial X L F B uy I 0 / 2 6 , . 1 D(add l )195, -Seh:ct Sector SPDR Trust Shs ben int B uy 10/26/09Energy XLE (addl)1 9 6 . -Select Sector SPDR Fund Consumer B uy 1 0 / 2 - 6 / t ) 9Discretionary X LY (addl)1 9 7 . -Select Sector SPDR Fd Ilcalth Care XLV1 9 8 . -Sector SPDR Trust Consumer Staples XLP1 9 9 + -Select Sta:to~ SPDR Fd Materials XLB ( a d d l ) B U y 1 0 / 2 6 / ( g ) J

2 0 0 . -WisdomTrcc "lru~,t Intl I)iv I0 0 F d D O 0 B uy 1 0 t 2 6 / 0 9 J(addl)2 0 1 . Trust #6 JP Morgan Brokerage Account A h , t . / D i v . K T trust assets lislcd below2 0 2 . -Dre.vlns General Money Matkc l Acc*mnt Sold 1 2 / 1 0 ~ ( ~ ) J2 1 3 , 3 . -General MNY/V lKq" Account B uy 12/03/09 J2 0 4 . -Claymore BNY B ric EqF F.EB


16/18

FI N A N C I A L D IS C LOS U R E R EPO R T Name of Person Report ing Date of Reporl Iage 1 6 of 1 8 H e r n d o n , D a v id I L 0 5 / 1 4 / 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 n c o m e , v a l u e , t ...... tions etnctuctes those oys~ .....a d e p e , a e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o ~ " f i ti n g i n s t r u c t i o m . )

[~ N O N E (No reportable income, assets, or transactions.)A -~i ....... 6 . - - " r~.Description c,f Assets : Income during Gross value at end Tr;m~actions during rep(~rting period(including trust assets) reporting period of reporting period

(1) (2) - (1i ........ (-~j-- (i) (2) {3)-1-(,~) [ (5}Place "(X)" attcr each a~sct Amount Type (e.g., : Value : Value Type (e .g, Date Value . Gain IdentityMethod buy. sell. mm.ddiyy Code 2 {-_ode I [ buyer/sel ler;,.empt from prior disclosure Code 1 div., rent, i (_ode 2(A-tl) I or int.) [ (J-P) [ Code 3 redemption) (J-P) (A-H) I (if private ,

205. -Ishares Frusl M,SCI Emerging MarkelsIndex EEM

206. -lshares Tr Dow Jones Sel Div Index FdDVY

21)7. -Ishates Tr FTSE Xinhua IlK China 25Index Fd FXI

208. -Kayne Anderson MI P INVT Co

2 0 9 . -Standard & Pools l)cpository ReceiptsSPDRS SPY2 1 ( I .


17/18

FINANCIAL DISCLOSURE REPORT N ..... f P ...... R e p o l a i n g ] D a t e o f R e p , ,i r a IPage 1 7 of 18 t le r n d o n , 1 ) a v i d P , . . 0 5 / 1 4 / 2 L ~ 1 0VIII. ADDITIONA L INFORM ATION OR EXPLA NATION S. a, ,di ,-ot.,~.

l3car Stearns Brokerage accounts changed names to JP M~,)rgan 13rok etagc accoants as reflected on the following

Brokerage ~ccotlflt on line 29Trust ~1 on line 31Trust 02 on line 92Trust #3 on line 127Trust #4 o~ line 163Trust #5 on line 182Trust ~6on line 201I,ines 16-19 gractional shares of Kinder Morgnn Mgmt: Instead of paying cash dividends, Kinder Morgzm i~ sued trnclional shares of stock. The l~ac~ional shareshave no moncl~ry wdue and no m arket until they ~ccumulale to equal a [ull share.Lines 27, 30, 32, ~3, 12~. 164, 1 83,202 Dreyfus General Money Market Fund was used ~ a vehicle t~ bold c~ sh cquivalcnl asse~s for purchase of t~therinvestments and to place sale proceeds pending other investments. Consequently, muncy mo~.cd in and out ol these accounts with great ficqucncy and no altcmptw~ s m~de to distinguish each transaclion unless specifically requested.Lines 33.94, 129, 11~5, I~4 and 203 When B ear Steams changed n~mes to JP Morgan llrokctagc. Dreyfus General Money Market Funds w ere closed ~nd replacedby General MNY MKTAccounts.Lines 55-5t~ : tnd ~)6-07 aud 13 I- 132 A~ntu~e LTD Class A changed il numc to Acccnturc PLC Ireland Sh~ CL A AC N in SeptemberLines 57-5~ Atl:~s Energy Res l.t.C changed its name to Atlas America [nc and then to Atlas Energy Inc in September and October 2009.Lines g~3-64 and I~H -103 ~nd 136 -13~ Companhia V ale Do Rio Doce ADR changed ils name iu May 2/~O to V ale S A Spons ADR.All trusI assets ,~rc acct~uutcd for herein. According to your instructions, the aggregate ~ncomc and values were reported on lines 31, 92, 127, 163, 182 zmdIdenfiticafion ol the Irn~ls ~~s omilled for security pu ~oscs, but w ill be provided if rCtlUeMed. Nalurally, Ihe records of each individual trusl ate available for the


18/18

F I N A N C I A L D I S C L O S U R E R E P O R T I N ...... rt..... Reporting [ Dale of ReportPage 1 8 of 1 8 [ Herndon, f~aia a. [ ~ 5 ; t 4 r 2 0 ~ 0

IX. CERTIFICATION.1 certify that all infi)rmation given above (including information pertaining to my spouse and minor or dependent children, il any) isaccurate, true, and complete to the best of my know ledge and belief, and that any information not reported was w ithheld because it met applicable statutoryprovisinns permitting non-disclosure.I further certi~ that earned income from outside employ ment and honoraria and the acceptance of gifts ".~hich ha~ e been reported are incompliance w ith the provisions of S U.S.C. app. 50 1 el. seq., 5 U.S.C. 7353, and J udicial Conference regulations.

NOTE: ANY INDIVIDIIAL WI|O KNOV INGLY AND W ILFULLY FAI~SIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECI" TO CIV ILAND CRIMINAL SANCIIONS (5 U S C app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

David R Herndon Financial Disclosure Report for 2009

Documents

Transcript of David R Herndon Financial Disclosure Report for 2009