Ao to

Rev_ #20ZOI

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court Southern District of Illinois 5a. Rewoirt Type (t.i~c,.:k appropriate type) ] Nomination [3,ate *t_r_..l~ A .....I

n,~p(,rt t~,q.ir,.a b), ,~,,, ++mc~

ttt Government Act of 1978

~.~ u.s.c. ,z,- .~ 101-111)

3. Date or Report 05/I 4/2(110 6. Reporting Perb~d {.ll!O I/2(~39 t,,

I. Person Reporting (last name. fitsl, middle inttiali l lcrndon, David R. 4. Title (article 111 judges indicate acti,.c or sctlior status; U.S. District Judge - Active

[] Initial

[] Final

5b. [] Amended Report 7. Chambe~ or Office Addres~ United States Courthouse 750 Missouri Avenue East St. Louis, IL 8. On the basis of the information contained in this Report and any modifications pertaining thereto, i! is, in+ my opinion, in complinnce ",,4th applicable laws and regulallons. Reviev, ing Officer Date

L++IPORTANT NOTES: 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. POSITIONS. (Reporting individual only;.~ee pp. 9.1.1 of flling in.~rruclion$.)

~
1.

N ONE (No t7~ortablepo,sitions.) POSITION

Trustee

NAME OF ORGANIZATION!ENTITY
Trust # 1, Assets No 31-91

2. 3. 4. 5.

Trustee Trustee Trustee Trustee

Trust #2, Assets No 92-126 Trust #3, Assets No 127-162 Trust #4, Asscls No 163-181 Trust #5 Assets No 182-200 Trust #6 Assets No 201-209

NONE (No reportable agreement.~.)

~
1+

PARTIES AND,TERMS

Herndon, David R.

FINANCIAL DISCLOSURE REPORT

Page 2 of 18

Na,., of P .....Reporting

Dalt of Report

tlerndon, David R,

III. NON-INVESTMENT INCOME. a~,,,,,.ti.g i,di~idualattd ,l~mSe: see pp. 17.24 offili,,g in.,tructions.)
A. Filers Non-Investment Income NONE (No reportable non-investment income,) DATE. I. SOURCE AND TYPE INCOME (),ours. not spouses)

3.

B. Spouses Non-Investment Income - tl yo. ..er, married during any portion of the reporting year, complete this sect~n. NONE (No reportable non-investment income.) DAT~ 1. 2. 3. 4. ~OURCE AND TYPE

IV. REIMBURSEMENTS --,~.,,.,o,,,.,i,,,,, ~,,a,i,,~,y,.~, ,,,,,~,i .....

[~ NON E (No r~7~ortable reimbursements.) ~ l. 2. 3. 4. 5. slu School of l,aw ~ Novemt~[ 7. 200t~ L~~ Carbondalc, IL

1.

PURPOSE llealth Law Moot Court Judging

ITEMS PAID OR tRQVI~ED ~dging $75

FINANCIALpage 3 of 18 DISCLOSURE REPORT I Ilernd,m, David R.

Date lRt~prt05~ 4/20

V. GIFTS. (lnclud~.~ thane to spouw and dependent children: see pp. 28-J1 ,,filling instructions.)
NONE (No reportable gifis.l DES(~IPTION i.

3. 4. 5.

[~

NONE (No reportabh~ liabilities.) CREDITOR DESCR trllON VALUE CODE

1. 2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Page 4 of 18

Name o( Person Reporing

Daze

] ||credo,|, David R. .

VII. INVESTMENTS and TRUSTS -. i ..........

t,,,., ......,io,, (lncluden ,boat of sff .........

C. of re~ming period O) (1) Value. Value C~dc 2 Method (J-P) Cc~e 3

I dependent ,hildten;

see pp. 34~0 of filing inxtruction.,.i

" D. "

N ONE (No reportable income, assets, or transa(tions.)

A. {including {lust ~scts) Place "(X)" ~fflcr cad) asset cxem[~l from prior discloscrc B. reporting period t ~) (~) Amount T~pc (cg, ~ C~ 1 div.. tc~t. , (A-H) or inl.)

O) Type leg., buy, ~cl[, redemption)

[mmdd,y~ ~ Code 2 [ C~de I ~ [ (J-P) . (A H) ~.

buyer/seller (if private

1. 2. 3. 4. 5. 6. 7. 8. 9. 1(}. I I. 12.

Ba~k of Edwardsville Premium checking Accl First Clover Leaf Bank checking acct (X) A~hcuscr Busch 1RA Account JP Morgan I R.,,. Account - (IRA) Apple Inc - (IRA) CVS Carcmark Ct)rp - (IRA) First lIorizon Nail Corp - lIRA) First Ilorizon Nail C~rp - (IRA) First IIorizon Nail Corp - (IRA) First Horizon Natl Corp - (IRA) First Ilorizon Nail Ct)rp - (IRA) First I Iorizon Nail Fractional Shares ] Iori~on Nalt lraOional Shares A B

None [nturest None Dividend M T K T

Cloud

01/02/09 ]

Sold assets listed Sold Buy 1 l/l(;."l?O K 11,l()/t)~) l J C

Spinoff (from line 7) Spinoff (from line 7) Spinoff (from line 7) Sold Spinoff (from line 7)

01/02/09 04.;01109 07tll!0q 08/28/()9 01/t)6/09 K D

stock dividend slock dividend stock db, idcnd

stock dividend stoc_k dividend stock dividend J A dividd pd in fractional sh no Svaluc until fraction= I

13. - (IRA) First

Spiwoff 04/1) /09 (from line 7) Spin(H( 07/01/09 (from line 7) Sold Spinoff (lrom line 20) Spinoff (from line 20) I)8/28/09 !02i13/(D 05/15/09

14. - (IP, A) First Ilorizon Nail Fracli~)nal SharesI 15. 16. 17. - (IRA) First Ilori/on Nail Fractional Shares - (IRA) Fractional Kinder Morgan ,Mgmt - (IRA) Fractional Kinder Morgan Mgmt

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

VI I. N V ES 1 MEN 1 S an d TRUSTS -. i ........ .alue. t ....... tion, (Includes those of s~ ....... d dependent children; see pp. J4~O ,,f fihng instructio~.)
~ NONE (No reportable income, assets, or transactions.)
A. 0nc~uding trust assets) Ph:ce "(X)" ~ftcr each ~ss~l exempt from pritn disclosure B. ~cporling period - r .... C. ~ ............. D.

~ of rc~ing period

o)

(2)

Amounl T)pc (cg.. " Value C~e 1 div., re,t, Code 2 (A-li) or int.) , (J-P)

~ O) ? ~) [ ....
~ , ! ~ Value Mclht~ Code3 (Q-W) [

o) ....
Ty~ (e.g. buy, sell. redemption)

(2)
D:~te : Value mm.~d vy Code 2 (J-P) Gain Code 1 (A-) Identity by)or/seller (if private t)ans.3cfion)

[ Spinoff (from line 20) Spinoff (from line 2~) 0~/14/09 I 1/13/09

IS. 19. "20. 21.

- (IRA) Fractional Kinder Morgzn Mgmt - (IRA) FractionM Kinder Morgan Mgml - (IRA) Kindcr Morgan Mgmt .....

dividd pd in lrzctional sh dividd pd in fiactionnl sb

- (IRA) MicroSoft Corp

22. 23. 24. 25.

- (IIL~,) PmShares UltraShor~ Lehman 20+ TBT - (IRA) Omnicom Group Inc - (IRA) Researc~ in Motion (IE~) T~ansOccan LTD

Buy Buy Buy

01/13itFJ 10/19/09 11/02/09

J K J

26.
27. 28. 29. 30. 1. 1"32. ! 33.

- (IRA) XTO Energy Inc

- (IRA) Dre,,,fns General Mone), Market Accl - (IKA) Pershing Prime Money Market JP Morgan Brokerage Account - l)rc),ltr, Gent:lid Money Market ."kc,zoont TRLIST ~1 JP Morgan Brokerage Account - Drc~,tus (;encral Money Market Account

Sold
Sold Buy None Closed 5;old G Inl./l)iv. I)1 T Sold Buy

12/22/09 K
1~10/09 IZ,03/09 12/10/09 K

L J J

12/10i(X)

trust assets listed below 12/11)/09 M M L

- General MNY MKT Account - Clear Lake City Tcx \Vtr Aulh GO Rfdg

12/02/09 03/02/09

34.

Redeemed

Name of Person Reporting

Da{e of Report

FINANCIALpage 6 of 18 DISCLOSURE REPORT ;~,ao,. David R.

0~/14/201(1

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

(including Iru~t assets) Place "IX)" allot c3ch as~t excmp{ from prmr disclosure

reporting period (~) ~ (~) Amount ~ " "ype (e g C(Mc I div.. sent. (A-Ill ~ or ttd) i

of reposing period O) (~) Value Value ((Mc 2 Mclhod Ct3(Ic 3 (J-P) (Q-W) (~) Type (e.g. buy, sell. tcdempti~n) (~) (3) (a~ Date Value mm!ddiyy C~c 2 (J-P) Gain Code 1 (A-H) (5) Identity of buycr/sdlet (if private hansaction)

35.

- Norfolk VA GiO Rfdg & Cap Imp~ 6/15/98

5% - ~ng Island l~r Auth NY Elec 4% Lower Colo River Auth Trans ~/15/9011 5.25%

Redeemed

07/01/0~

38.

- Puerto R~co Mun Fin Agy GiO 8/112011

39. 40. 41.

- Austin Tex G,O Pub lmpt 8115/01 5% - ~gle G~rfield & ~outt Cntys Colo Sch Dist - Eagle Garfield & ~outt Cntys Colo Sch Dist - Chadotte-Mccklenberg ] losp Aut due

Redeemed Redeemed

!2/07109

L K

12A)1/09

42. 43.

- Jackson Cnty Mo Spl Ob[ig T~man Sports - Dcschu~c~ Cnly Ore Sch Dist 5.25% - Cook Cnty ILL GiO Rldg-Ser 5.25%

~.

~
45. 46. 47. 48. 49. 50.

- Ofland Inrk ILL GO Bds 2002A 5% - Chicago ILl. Sales Fax Roy Sale 5% - Virginia St Rcs Auth (?lean Wtr 6/13/0-I 5% - Aatozonc h~c I I/6/03 5.5% - Maniotl Intl lnc 6/14!06 6.2% - Morgan Stanley Sr NTS 5.75%

lJ, uy

01/t)8/O9 08/18/09 ( / 5/09 01/29/09 01/291~9

M L K K

Buy Buy Buy

51.

l:my

FII~IANCIAL DISCLOSURE REPORT

i ~ ~,~ ~po,~i~g ...... ......

Herndon, David R.

Date~lReport
05/1412010

Page 7 of 18

I
~ NONE (No reportable income, assets, or transactions.)
Dcscriplkm of Asxct~ (including trust a~scts} Place "(X} aflcr each as.sol ~xcmp~ from prior disclosure h~comc during, tcporting period O) (x) Amount ; Type (e.g.. Code I div.. rent. (A el) ~ or inl.) Gross value at end of reporting period (i) (2) Value Value. Code 2 Meth~ (J-P) Code 3 (Q-W) O~ Type (cg . buy. sell rcdcmptkm) Tranx~ctk:,ns duling reporting pcrmd (2) o) ~ (~) Dale Value : Ga~a mm,dd, yy Code 2 C~c 1 : ~J-P) (A-H) ; (5) ldemily ef btl)rer:seller (if pri~ale t~saction)

VlI. INVESTMENTS and TRUSTS .- i ........ .~,,~. , ...... tions (Includes those of spouse and dependent child ....... e pp. 34~0 of fihng imtructionx3

52.

- Starbucks Corp Sub l)cb CV Sr Nt 8.23/07 6.25 % - McGraw-Itill Cos Inc St NI 11/15,2017 5.9% - American To~et Ct~p - Acccntnre LTD (1 A - Acccmure PI.C Irelaml Shs (1 A ACN

Buy Buy Buy (addH

03/04/0q

53. 54. 55. 56.

03/17;09 05/07;09

K K name changed-see belo~ new name

09!01i{F) 09/[]1]09

57.

- Atlas Energy Re~; LI.(" - Atlas America Inc - Atlas, Energy Inc - Apple Inc
Buy (addl)

09/30/091 09i30/110, 111/01/09

name changed- see below

58.

nev,, name changed again new new name

i59.~ 60.

t61.Bank t~lAmetica (orp 62. i 63. 64. - CVS Caren~ark (o~p~ration - Companl~ia Vale 1)o Rio I)occ ADR - Val,.: S A 5pons ,.\DR - Chesi~pcake Energ,, - (.isco Systems Inc - Colgate Palmolive (o

07!24/09

05/28,.09 05;28/09

name changed - see below new name

65. 66. 67.

__

(addl)

Name of Person Reporting

FINANCIALpage 8 of 18 DISCLOSURE REPORT

Date of Report

llerndon, David P,.

05/14/2010

VII. INVESTMENTS and TRUSTS -- i .........

~ A (including t~u~l :~.s~t-ts)
Place. II(X)" Mlcr each asset

t.~,, ....... ,io~. tt,,ct,,ae.~ tho~t of s~ ........

B. .

d deee,,aen, ,l, ilar,n: ~tt pp. 34~0 of fili,,g instruaiom.~

NONE (No r~portable incomt5 assets, or transactions.) I) . Type (cg rcdcmpt~tm~ Date Value O-P! Gain (A-tt) _ Identity (if private t~ansacti0n)

rc~,ti~,g ..... pcrlt,d ~ .~1 [po,tin~ pc,iod : Am~)unt T~pc (e.g.. ~ (A-H) : ~ or int.) Value (J-P) Vatuc Code 3 ~Q W) _

69.

- Entc~rise Producls Partners L.P. - Energy Transfer Parmcts L.P. - (;~khnan Sachs Group Inc
- Honeywell Intl In,::

70. 71.
72.

Sold

01~23/09 ]

73. 74. 75. 76. 77. 78.

79.

- IShares Trust MSCI Emerging Markets Index EEM - ISharcs Tr Dow Jcmcs .~l Di,id Index DVY - llum,ma In~." - JPMorgan Chase & Co - Kinder Morgan Energy Partners - Logics Companies Inc
- tMatkwcsl Energy Partners L.P.

80. 81. 82. 83. 84. 85.

- McGraw Ilill Companies - Microsnrl Corp - Nasdaq OMX Group lnc NDA0 - Plains All American Pipeline L.P. - Proshares (]ltraShorl Lehman 20~- yr IBT - Research in Ml~tion I.TD Buy [1,~/19~09 K

FINANCIAL DISCLOSURE REPORT

Page 9 of 18

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

(including t[ust assets) Place "(X)" ariel each asset

wporling ~ri~l Amount (A-H)

of rc~rling pcrit~d Value (J-P) (2) Value Code 3 (t~ ~- (2) Type (e g., Dale I Valuc rcdcmptio~0 [ (J-P) Gain (A-]I) Identity (if private

Type (e.g., t~r int.)

86.

- Schlumberger LTD

- TransOcean k~ ~9. [90. 91. 92. 93. 94. 95. 96. 97. 9~.
99.

Buy (addl) Buy (addl)

0511 I/1t9 J 04/29/09

- Thermo Fisher Scientific Inc - WisdomTrec Trust - Williams Partners L.P. TRUST #2 JP Morgan Brokerage Acconnt -Dreyfus General Money Market Account -General MNY MKT Accoun~ -American Tower Corp -Accentore LTD CI A -Accenture PI.U lrckn~d Sh CI A -Apple
Bank of ,Mncrica Corp

[ntaDiv.

T Sold Buy Buy (addl) I~10/0~ 12/03.,~)9 05/)7/09 K K J

trusl assets listed below

name change- see below new name

Buy (addl)

07/24,"09

l(t0. -CVS (?afeMan k Corpu;ation

101. -Companhia Vale I)o Rio I)oce Spons ADR 102. -Companhia Vale Do Rio Doce Spons ADR

Buy (addl)

05/15/t)9 05/28/09

name change-see below name change-see below

FINANCIAL DISCLOSURE REPORT Page 1 0 of 1 8

~ .... fP ..... Rtp,,rting

Dat~: of Repor!

n~,-ndo,,, David R.

115/14/211 l0

V II. INVESTMENTS and TRUSTS -- ~ ............ t,,,, ....... ,ion., (Includes those ofsp ........ d dependent chiMr,n; ~te pp. 34.60 4fihng i ........ tions.)
NONE (No reportable income, assets, or transactiotts.)

0ncluding nust asseks) Place "(X)" after each a~scl

rcl~rtiug period of reponi~xg period it} ~2~ O) (2) Amou~t I)p (e.g. Value Value (A-H) tw int.~ O-P) ~ Code 3 I O-~V)

(~ Type (c.g. redemption)

~ ~2) (3}~4) I)alc Value : (J,fin [J-P} . 05/28/1~2 : (A-}I}

~5) Identity of {if private transaction) new name

103. -Vale S A Spons ADR 104 -Chesapeake Energy Co~

lOS. -Cisco Systems

106. -C~dgate Palmolive Co 11)7. -Walt Disney Co Holding Co 108. -Goldman Sachs Group Inc 109. -floncywell Intl lnc IO. -Ishares Trust MSCI Emerging Markets Fd EEM 11. -Isharcs Tr FTSE Xinhua China 25 Index Fd FXi 12. -Humana [nc 113. -JPMorgan Chase & Co 14. -Kinder Morgan Energy Iarmers l.qT) pal Inctt, hp 15. - Lowcs 16. -McGraw Ilill Companies 117. -MicmSolt I Ig. -Naxdaq OMX Group Inc NDAO 119. -ProSharcs UltraShort Lehman20~- year TBI Buy 08/19/09 Buy (addl) Sold 10/19/09 01/23/09 J J

FINANCIAL DISCLOSURE REPORT

Page 11 of 18

~ ...... f Pe .... Reporting llerndon, David R.

Date of Rl:port 115tl4/21)10

VII. INVESTMENTS and TRUSTS --i ......... ............ (Includes thos ,f s~y,e and depeadrnl child ......... pp. 3~0 t f!ting inst~ctton~J ~ .,io,,.~
NONE (No rtT~ortable income, assets, or trattsactions.) I)cscription of Assets (including l~st assctsi Place "{ X)" alter each assel exempt from prio~ dish,sure Income during rcporfi~g ~c~i(~ 0) ~2) Amount Type {c g, Code I tliv., rent. Gross vaLue at end o reporting ~criod (0 ~ (~) Value Value Code 2 ; Method , (Q-W) 120. -Omnicom Group Inc 121. -Research in Motion LTD 122. -Schlumberger L[I) 123. -Target Colp 124. -TransOcean LTD 125. -Thcrmo Fisher Scienlific Inc . 126. -WisdomIree I rust 127. TRUST #3 JP Morgan Bmktzrage Account 128. -Dreyfus General Motley Market Account 129. -General MNY MKTAccounl 130. -American T(v,,er Corp CI A 131. -Acccnture Ltd (21A 132. -Accenture ILC Ireland Shs (_7I A 133. -Apple Inc 134. -Bank oI America Corp 135. -CVS CareMark Corp 136. -Cotnpanhia Vale Do Rio I)o,:e Spons ADR Buy (addl) Buy (addl) Buy (addl) ! 07~4/09 10/14/0) 05/15109 J J } name changed - see below C [nt.iDiv. N T Sold Buy Buy (addl) 12/10/09~ 1,.2/03/09 05/07;09 09f01/(19 0~),"01/09 M M J name changed -see below new name tru.,,l assms listed below Buy (addl) Buy (addl) 0511 if(r) 04~9A)9, J J Buy 10/19109 J "rranxaclions during rcpoamg period (2) ~ ~3~ O) 0~ .... Type (e.g., Dale Value. Gain mm!dd~yy j Code 2 (7ode I buy, sell,

Idcnlily
buycr/scllc~

nansaction)

FINANCIAL DISCLOSURE REPORT

Pagc 12 of 18

~ ..... [Person I~eporting

DaleofReporl

lterndon, David R.

05/14/2010

NONE (No reportable income, assets, or transactions.) A Dcscriptio~ of Assc~s (including trust ~sscis) Place "(X)" itflel each asset exempt [tom p~ior di.~closurc B Income during r~rling period C. Oros~ value at e~d of rcporti~g period Value Ctrde 2 (J-I) ~ Value ~ Method Code 3 ~ (Q-W) qypc (e.g.. buy. sell, redemption) Date Value mm,ddiy> (ode 2 (J-P) Gain Code I (A-II) Identity of buycr..sc~Ier {if private ~raa~action)

: Amount Type (e.g., (ode I , div.. rcnL (A-It) or inL) ~

137. -Corupanhia Vale Do Rio I)oce Spons ADR 138. -Vale S A Spons AI)R

05/28/09

name changed - see below new name

05/28/~

139. -Chesapeake Encrg> Corp

140. -Cisco Systems Inc" 141. -Colgate Palmoli~e 142. -Wall Disney Co H{,Idmg Ct~ 143. -Goldman Sach~ Group Inc 144. Honeywell Inll In Buy (addl~ Sold 10/19,09 01/23;09 J J

145. -IShares Trust MSCI Emerging Markets Index EEM 146. -IShareslr Dow Jones Sel Ikiv DVY 147. -ISharesTr FTSE Xinhua Ilk China 25 Index Fd FXI 148. -tlumanalnc
149. -JP~,lorgan Chase & (o 150. -Kinder Morgan Encrg), Parmc~s LP

Sold

10/14109

151. -IJ~wcs (?ompanies Inc" 152. -McGrawllillCompanics 153. -MicmSnfl

FINANCIAL DISCLOSURE REPORT Page 13 of 18 VII. INVESTMENTS and TRUSTS .. in .......

~

r~ ...... fP ..... Reporting tlerndon, David I,L

Date of R~porl 05/14/2t) lIJ

~.~,, ....... ,ions (Inch,des" those of p .......

d dependetlt childrenz seepp. 34-60 of filing instructiom.)

NONE (No reportable income, asset.s3 or transactions.)

(including trust a~cls}

rc~rting period

tff reporting period i Code 2 (J-P)

~cmpl frt,m prior disclosure

Code 1 (A-tl)

div., rent,
or int.~

Method C~3de 3 tQ-W)

buy. sell, redemption)

mm/ddiyy Code 2 ~ [J P) ]

Code I (A-III

buyer/seller (il privale transachon)

154. 155. 156. 157.

-NASDAQOMXGrouplncNDAO -P~oShares UltraShutt [~hman 211+ year TBT -Omnicom (-;roup lnc -Resea~t:h in ,Motion LT[) Bu.v Buy 08,"lt),r0t) 11)]19/09 J J

158. -Schlumbcrger LFD

1:59. -ratget

lt~l~. -TransOcean LTD 161. -Thcrmo Fi.,hcr Scientific lnc 162. -WisdumIrce Trust I)OO 163. TRUST ~a JP Morg,tn I]rokcrag~: Account 164. -Dreyfus General bhmcy Market Account 165. -General MNY MKrAccoun~ 166. -Cla~rm~e 13NY t~it: ETF C Int./Div. M T

Buy (addl) Buy (addl) Buy

115/11A)9 04!29!091 10/14.bY)

J J K trust assets listed belo~

Sold Buy

12/1)3/l~9 12/03/09

K K

J~~.7. -IShales ]rust 1)t~w Jones IJS [l,:com IYZ

168. -IShuresln~sl M.";CI Emerging Markets Index Id EEM 169. -IShares Tt Dow Jone; Sel Divid Index Fd DVY 170. -|Shares Tr I:ISE Xinhua IIK China 25 Index FXI

FINANCIAL DISCLOSURE REPORT Page 1 4 of 1 8

N .... f P ..... Reporling llerndon, David R.

Date of Reporl

!)5/14/2010

VII. INVESTMENTS and TRUSTS -- i .........

~-~ A. Description of Assets (including trust assets)
Place "(XY after each assct exempt lrom prle~ disclosure

lue, , ....... tions (Includes those of spo ..... d dependent children; see pp. 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.) r~. - ....... Income during repomng period ~ (1) [ (2) ~ Amount } Type (e.g., [ Code I [ div., rent, [ (A-H) : or int.) ~ C. Gross ~alue at cod o[ ~cpo~ing period (I) (2) Value Value Code 2 Method 0-P) , Code 3 I ~Q~) ~ransactions during rcpt*~ing period {1)
Type (cg.. buy sc[I.

(2) Date
mm/dd/yy

tcdcmptitm)

(3) [ (4) Wduc ~ Oai~ Code 2 ] Code 1 (J-P) (A-II) 7

(5) of buyer/seller (it puvate transaclion)

Identity

171. -KayneAndersonMkPlnvtCo 172. -Select Sector SPDR Amex Utilities Select XLU 173. -Sector SPDR Trust Industrial XLI 174. -Sector SPDR Trust Technology XLK 175. -Sector SPDR Financial XLF 176. -Select Scclor SII)R Trust Energy XLE 177. -Select Sector SPDR Consumer Discret XLY 178. -Select Sector SDDR Tr llealth Care XLV 179. -Select SIRI)Trust Consumer Staples XLI 180. -Select Sector SPI)R Int Materials XLB 181. -WisdomTrce Trusl Top 100 Fd DOG 182. TRUST #5 JP Morgan Brokerage Account
183. -Dre).fus Gcnclal Money Market Account 184. -General MNY MKT Account 185. -Claymore tINY tlric ETF 186. -Isharcs Trust Dow Jones US Telecomm Sector IYZ 187. -Isharcs Trust MSCI Emerging Markets Index Fd EEM

Buy (addl) Buy (addl) B lnt./Div. L T

Sold Buy Buy (addl)

10/26/09 10/26/09

J J trust assets listed below

12/1(1/09 12/03/09 10/26/09

J J J

FINANCIAL DISCLOSURE REPORT Page 1 5 of 18

Name o1" Person Rep.rting u~,,do,,, Dn~id R.

Dale of Reporl

05/14/2010

NONE 0Vo reportable income, assets, or transactions.)

A. Dc~criptmn of As~IS {including trust asscts) Place "(X)" after each asset exempt from prior disclosote ~ IL hmome du~ing reporting, period : C Gross value a~ end ol ~tting pcri~ Value (7ode 2 (J-P) Value Mctbt~d (7~e 3 (Q-W) Ty[~ (c g. buy, sell. redemption) D. ~ansactions during reporting period

. Amtmnl ~ "lypc (cg., (ode [ the. rent, or int.) i

i Date Value Gaio mm;ddiyv_ C~a 2 ~ Code 1 (J-P) ~ (A-H) [

Identity buycr,scllcr 0tprivatc transactionJ

188. -lsharcs Tr Dow Jones Sel Die Index Fd DVY 189. -lsharcs Tr ~SE Xinhua HK China ~ Index FXI 190. -Kayne Anderson MLP INVTCo 1~41. -Select Sector SPDR Amex Utilities XLI_J Buy (addl~ 10,~6/~ J

192.

-Sector SPDR Trust Sh~ ben int Industrial XLI Buy (addl~ Buy (addl) Buy (addl) Buy (addl) 10/26/09 I0/26,.1D 10/26/09 10/2-6/t)9

193. -Sector SIDR Trust Shs ben int Technology XLK 194. Sector SPDR Trust Financial XLF

195, -Seh:ct Sector SPDR Trust Shs ben int Energy XLE 196. -Select Sector SPDR Fund Consumer Discretionary XLY 197. -Select Sector SPDR Fd Ilcalth Care XLV 198. -Sector SPDR Trust Consumer Staples XLP 199+ -Select Sta:to~ SPDR Fd Materials XLB

(addl)BUy 200. -WisdomTrcc "lru~,t Intl I)iv I00 Fd DO0 201. Trust #6 JP Morgan Brokerage Account 202. -Dre.vlns General Money Matkcl Acc*mnt 213,3. -General MNY/VlKq" Account 204. -Claymore BNY Bric EqF F.EB A h,t./Div. K T Sold Buy Buy (addl)

10/26/(g) 10t26/09

J J trust assets lislcd below

12/10~(~) 12/03/09

J J

FINANCIAL DISCLOSURE REPORT Page 1 6 of 1 8

Name of Person Reporting

Date of Reporl

Herndon, David IL

05/14/2010

VII. INVESTMENTS and TRUSTS -- income, value, t ......

[~ NONE (No reportable income, assets, or transactions.)

tions etnctuctes those oys~ .....a depe,aent children; see pp. 34-60 o~" fiting instructiom.)

A
Description c,f Assets (including trust assets) Place "(X)" attcr each a~sct c;,.empt from prior disclosure :

-~i .......

6.-- "
(i) Type (e.g, buy. sell. redemption)

r~.
Tr;m~actions during rep(~rting period (2) {3)-1-(,~) [ Date Value . Gain mm.ddiyy Code 2 {-_ode I [ (J-P) (A-H) I (5} Identity buyer/seller (if private

Gross value at end of reporting period (1i ........ (-~j-(1) (2) Amount Type (e.g., : Value : Value Code 1 div., rent, i (_ode 2 Method (A-tl) I or int.) [ (J-P) [ Code 3

Income during reporting period

205. -Ishares Frusl M,SCI Emerging Markels Index EEM 206. -lshares Tr Dow Jones Sel Div Index Fd DVY 21)7. -Ishates Tr FTSE Xinhua IlK China 25 Index Fd FXI 208. -Kayne Anderson MI P INVT Co

209. -Standard & Pools l)cpository Receipts SPDRS SPY 21(I.

FINANCIAL DISCLOSURE REPORT

Page 1 7 of 18

N ..... f P ...... Repolaing

Date of Rep,,ira

tlerndon, 1)avid P,..

05/14/2L~10

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,,di,-ot.,~.

l3car Stearns Brokerage accounts changed names to JP M~,)rgan 13roketagc accoants as reflected on the following Brokerage ~ccotlflt on line 29 Trust ~1 on line 31 Trust 02 on line 92 Trust #3 on line 127 Trust #4 o~ line 163 Trust #5 on line 182 Trust ~6on line 201 I,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 shares have no moncl~ry wdue and no market until they ~ccumulale to equal a [ull share. Lines 27, 30, 32, ~3, 12~. 164, 183,202 Dreyfus General Money Market Fund was used ~ a vehicle t~ bold c~sh cquivalcnl asse~s for purchase of t~ther investments and to place sale proceeds pending other investments. Consequently, muncy mo~.cd in and out ol these accounts with great ficqucncy and no altcmpt w~s m~de to distinguish each transaclion unless specifically requested. Lines 33.94, 129, 11~5, I~4 and 203 When Bear Steams changed n~mes to JP Morgan llrokctagc. Dreyfus General Money Market Funds were closed ~nd replaced by 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 ACN in September Lines 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 Vale Do Rio Doce ADR changed ils name iu May 2/~O to Vale 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 zmd Idenfiticafion ol the Irn~ls ~~s omilled for security pu~oscs, but will be provided if rCtlUeMed. Nalurally, Ihe records of each individual trusl ate available for the

FINANCIAL DISCLOSURE REPORT I N ...... rt ..... Reporting

[ Dale of Report

Page 1 8 of 1 8 [ IX. CERTIFICATION. Herndon, f~aia a. [

~5;t4r20~0

1 certify that all infi)rmation given above (including information pertaining to my spouse and minor or dependent children, il any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisinns permitting non-disclosure. I further certi~ that earned income from outside employment and honoraria and the acceptance of gifts ".~hich ha~e been reported are in compliance with the provisions of S U.S.C. app. 501 el. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDIIAL WI|O KNOVINGLY AND WILFULLY FAI~SIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECI" TO CIVIL AND CRIMINAL SANCIIONS (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