AO 10 FINANCIAL DISCLOSURE REPORT Report Required by the ...€¦ · redemption 26. - Fed Natl Mtg Assn Med Term Notes I% Redeemed 08/23/11 L A in same period 27. -Lower Colo River

2.

3.

Report Required by the Ethics AO 10 FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev. /12012 FOR CALENDAR YEAR 2011 (5 U.S.C. app. §§ 101-111)

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

Herndon, David R.

2. Court or Organization

U.S. District Court Southern District of Illinois

3. Date of Report

05/11/201 2

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

U.S. District Judge - Active

Sa. Report Type (check appropriate type)

D Nomination Date

D Initial [2] Annual D Final

Sb. D Amended Report

6. Reporting Period

01/01/201 1

to

12/31/2011

7. Chambers or Office Address

United States Courthouse

750 Missouri Avenue

East St. Louis, IL

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Insert signature on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

l. Trustee Trust #I, Assets No 21-99

Trnstcc Trust 112, Assets No 100-149

3. Trustee Trust #3, Assets No 150-197

4. Trustee Trust #4, Assets No 198-234

5. Trustee Trust #5 Assets No 235-271 Trust #6 Assets No 272-297

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

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

l.

2.

4.

FINANCIAL DISCLOSURE REPORT

Page 2 of23

Name of Person Reporting

Herndon, David R.

Date of Report

05/1 1/2012

Ill. N 0 N-INV ESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.

(Dollar amounl not required except for honoraria.)

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodging,food, entertainment.

(Includes those lo spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION

I. American Conference April 14-15, 2011 San Francisco, CA Institute

2. American Conference May 17-18, 2011 Philadelphia, PA Institute

3. American Conference Dec 6-7, 2011 New York, NY Institute

4. Dispute Resolution Institute Dec 8-9, 201 1 Philadelphia, PA

PURPOSE

Speaker at Education Seminar




ITEMS PAID OR PROVIDED

hotel (direct billed) and half of airfare reimbursed·

hotel (direct billed) and airfare reimbursement'

hotel (direct billed) and half of airfare

hotel (direct billed) and half of airfare

5.

I.

I.

4.

5.

Name or Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 3 of23 Herndon, David R. 05/11/2012

V. GIFTS. (Includes those to spouse and dependent children; see pp. 18-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

2.

3.

(I) (3) (4) (5)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 4 of23 05/11/2012Herndon, David R.

vII. INVESTMENT s and TR us Ts - income, val11e, transactions (lncl11des those of spo11se and dependent cl1ildre11; see PP· 34-60 of filing instr11ctions.)

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

A. B. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trnst assets) reporting period ofreporting period

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

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Codc2 Code I buyer/seller (A·ll) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

I. First Clover Leaf Bank checking acct B Interest L T

2. Bank of Edwardsville Checking account A Interest J T Open 01/03/11 spouse

3. IRA Account Pershing IRA Account D Dividend M T assets listed below

4. - (IRA) Jarden Corp Sr Sub NI 7.5% 5/1/17

5. - (IRA) First Horizon Natl Corp

6. - (IRA) First Horizon Natl Corp Spinoff 01/03/11 J dividd pd in fractional

(from line 5) sh

7. - (IRA) Fractional Kinder Morgan Mgmt Spinoff 02/14/11 J dividd pd in fractional

(from line I 0) sh

8. - (IRA) Fractional Kinder Morgan Mgmt Spino ff 05/13/11 J no $value until

(from line I0) fraction=!

9. - (IRA) Fractional Kinder Morgan Mgmt Spinoff 08/12/11 J dividd pd in fractional

(from line 10) sh

IO. - (IRA) Kinder Morgan Mgmt

11. - (IRA) Ebay Inc Com Buy 02/23/11 K

12. - (IRA) Ebay Inc Com Buy 03/04/11 K

(add'I)

13. - (IRA) MicroSofl Corp Sold 02/23/11 K (part)

14. - (IRA) MicroSofl Corp Sold 06/16/11 J

15. - (IRA) ProSharcs UltraShort Lehman 20+ Sold 09/23/11 J TBT

16. - (IRA) Omnicom Group Inc

17. - (IRA) Transocean LTD Sold 11/03/11 K

I. Income Gain Codes: A=$J.000orlcss ll =$1.001 - $2.500 c =$2,501 -$5,000 0=$5,001 -$15,000 E =$I 5.00 I -$50.000

(Sec Columns BI anJ [)4) F=$50.00t -$100.000 G =SI 00.001 • $t,OOO.OOO Ill =$1.000.001 -$5.000.000 I 12 =More than $5.000.000

2. Value Codi.:s J =$15.000 or less K =$15.001 • $50.000 L=$50.001 - $100.000 M =$I 00.00 I - $250.000

(Sec Columns Cl and 03) N =$250.001 - $500.000 0 =$500,001 -SJ,000.000 l'J =$1,000.001 - $5,000,000 1'2=$5.000.00 I - $25,000.000

J>J=S25.ooo.001 - s5o.ooo.ooo P4=More than $50.000,000

3. Value McthoJ Co<lcs Q "'Appraisal R Cost (Real Estate Only) S=Asscssmcnt T =Cash Market

(Sec Column C2) U =-Book Value V =Other W =Estimated

B.

(2) (2) (3) (5)



VII. INVESTMENTS and TRUSTS -- income, •·a1ue, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 of filing instructions.)


A. C. D.

Description of Assets Income during Gross value at end Trnnsactions during reporting period

(including trust assets) reporting period of reporting period

(I) (I) (I) (2) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain l<lentity of

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/sellerCode I (A-11) or int.) (J-P) Code 3 redemption) (J-P) (A-11) (if private

(Q-W) transaction)

18. - (IRA) Annaly Cap Mgmt Inc REIT Buy 03/01/11 J (add'l)

19. - (IRA) Pershing Prime Money Market Closed 06/23/l I J exchanged Pershing MM for

20. -(IRA) Dreyfus Treasury Prime MM Open 06/23/11 J Dreyfus Treasury Prime MM

21. TRUST #I Pershing Brokerage Account G lnt./Div. P I T trust assets listed below

22. - General MNY MKT Account Closed 0612311 I J exchanged eneral

MNYMKT

23. - Dreyfus Treasury Prime Inv MM Open 06/23/I I J for Dreyfus Treasury MM

24. - Fed Home Loan Bks Step up PY 202 I Buy 08/31/11 L 9/23/I I

25. -Fed Natl Mtg Assn Med Term Notes 1% Buy 0610211 I L see below for redemption

26. - Fed Natl Mtg Assn Med Term Notes I % Redeemed 08/23/11 L A in same period

27. - Lower Colo River Auth Trans 5/15/2011 Redeemed 05/16/11 M 5.25%

28. - Puerto Rico Mun Fin Agy G/O 8/1/2011 Redeemed 08/01/11 M

29. -Austin Tex G/0 Pub Imp! 8/15/01 5% Redeemed 12/05/11 M

30. - Jackson Cnly Mo Sp! Oblig Truman Sports

31. - Deschutes Cnty Ore Sch Dist 5.25%

32. - State Pub Sch Bldg Auth PA Sch Rev Buy 08/16/11 M 5.25%

33. - West Chester PA Arca Sch Dist Ser A 5% Buy 04/06/l I L 311106

34. - Cook Cnty ILL G/O Rfdg-Ser 5.25%

I. Income Gain Codes: A ""$1.000 or lcs u s 1.001 • s2.500 c =$2.501 • $5.000 D =$5,001 • $15,000 E =$15,001 • $50.000

(Sec Columns lil and 04) F =$50.001 • $100.000 G =$100.001 • $1.000.000 Ill =$1.000.001. $5.000.000 112 =More than $5.000.000

2. Value Codes J $15.0<Xl or less K = $15.(Xll • $50.000 L =$50.001 • $100.000 M =$100.001 - $250.000

(Sec Columns Cl and 03) N ° $250.00 I • $500.000 0 $500.001- $1.000.000 I' I =$1.000.00 I • $5,000.000 1'2 =$5.000.001 • $25,000.000

l'J =$25.000.001. $50.000.000 P4 =More than $50.000.000

3. Value Mcthod Codes Q Appraisal R =-Cost (Hc:11 btntc Only) S ==Assessment T =Cash Market

(Sec Column C2) U = Bnok Value V=Othi:r W=Estimatcd

(2) (5)

(J-P)


Page 6 of23


Herndon, David R.

Date of neport

05/1112012

VII. INVESTMENTS and TRUSTS - income, mlue, transactions (Includes those ofspo11se and dependent children; see PP· 34-60 of filing instrtll'lions.)


A. B. C. D.


(including tmsl assets) reporting period of reporting period

(I) (I) (2) (I) (2) (3) (4)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code Iexempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-11) or int.) (J-P) Code 3 redemption)

(Q-W)

(A-II) (if private

transaction)

35. -Houston Tex Util Sys Rev Rfdg Comb First Buy 01/06/11 M

36. - Connecticut St Ser C 5% 11/1/21 B/E

37. - Hampton VA Pub lmpt-Ser A Fgic-Mbia

5%

38. - Indiana Univ Revs Student Fee Ser S 5% Buy 08/29/11 M 2/21/08

39. - Metropolitan Govt Nashville Davidson 5% 4/24/07

40. - Metropolitan Govt Nashville Davidson 5% Buy 08/31/11 L 3/12/08

41. - Chicago ILL Sales Tax Rev Sale 5%

42. - Virginia St Res Auth Clean Wtr 6/13/04

5%

43. - Humble Tex lndpt Sch Dist Sch Bldg 5% Buy 12/07/11 M 211106

44. - Victoria Tex lndpt Sch Dist Sch Bldg 5% Buy 01/24/11 M 6115107

45. - Missouri St Brd Pub Bldgs Spl Oblg 4.5%

46. -North Carolina St Pub lmpt Ser A 5% Buy 01/25/11 L 4/14/10

47. - Dallas Tex Wtrwks Swr Sys rev Rfdg lmpt Buy 01/10/11 M 5% 4/1/06

48. - Union Planters Corp Sub NT 7.75% Matured 03/01/I I K

49. - Marriott Intl Inc 6/14/06 6.2% Sold 02/15/11 K c

50. - Morgan Stanley Sr NTS 5.75% Sold 03/14/11 K c

51. - Sally I lldgs LLC/Sally cap inc sr sub Buy 08/22/11 M see below for 10.5% redemption

B St.001 -$2.500 I. Income Gain Codes: A =$1.000 or less c =$2.501 - $5.000 D =$5.001 -$15,000 E=$!5,00l -$l0.000

(Sec Columns BI and ().t) F =$50.00 1 -$100.000 G =$100.CX>! -$1.000.000 Ill =$1.000,001 -$5.000,000 112 =More than $5.000.000

2. Value Codes J "'·$15.000 or lc s K =$15.001 -$50.000 L =$50.001- $100.000 M =$ I00.00 I -$250.000

(Sec Columns CI and DJ) N c$250.00I -$500.000 0 °$500.001. $1,000.000 Pl =$1.000.001 -$5,000,000 P2 =$5,000,001 -$25,000.000

l'J =$25.000.001 - $50.0IXJ.000 P4 =More than $50,000,000

3. Value Method Codes Q =Apprnisnl R =-Cost (Real l:stntc Only) S ""Assessment T =Cash Market

(Sec Column C2) U ""Book Value V=01hcr W =-Estimated

(1)

(J-P)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


v I I. I NV Es TM ENT s and TR u ST s - income, l'a/ue, transactions (Includes those of spouse and dependent childrm; see PP· 34-60 of filing instructions.)


A. B. c. D.

Description of Assets Income during Gross value al end Transactions <luring reporting period

(including tmst assets) reporting period of reporting period

(1) (2) (2) (I) (2) (3) (4) (5) Place "(X)" a Iler each asset Amount Type ( e.g., Value Value Type ( e.g., Date Value Gain ldentity of

Code I exempt from prior disclosure div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) Code3 redemption) (J-P) (A-11) ( if private

transaction)(Q-W)

52. - Sally Hldgs LLC/Sally cap inc sr sub Redeemed 12/05/11 M in same period 10.5%

53. - Jarden Corp SR Sub Nt 7.5%

54. - Southwestern Energy Co Med Term Notes 7.125%

55. - Accenture PLC Ireland Shs Cl A ACN Sold 01/11/11 J c (part)

56. - Accenture PLC Ireland Shs Cl A ACN Sold 09/30/11 J c (part)

57. - American Tower Corp

58. - Apple Inc

59. - Automatic Data Processing Inc Com Sold 08/03/1 I K B

60. - Bank ofAmerica Corp

61. - BoozAllen Hamilton llldg Corp Cl A Buy 06/07/11 K (add'I)

62. - Chesapeake Energy Corp Sold 02/11/11 J (part)

63. - Chesapeake Energy Corp Sold 03/01/11 K c (part)

64. - Church & Dwight Co Inc Sold 10/18/11 K D stock split 06/07111 (part)

65. - Colgate Palmolive Co

66. - Walt Disney Co I lolding Co Sold 01/11/11 J c (part)

67. - Walt Disney Co lfolding Co Sold 08/08/1 I K D

68. - EMC Corp (Mass) Com Buy 04/18/11 K

I. lncmnl! G:iin C()(ks: A =-$1.000or kss tl =$1.001 - $2.500 c =$2.501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50.000

(Si.::c Columns Ul and D-1) F =$50.001 -$100.000 G =$100.00 I • $1,000.000 111 =$1.000,001 - $5.000.000 112 More than $5,000,000

2. Value Codes J ""$ 15.000 or less K =$15.001. $50.000 L=$50.001 - $100.000 M =$100.00l - $250,000

(Sec Columns Cl and DJ) N -$250.001 - $500,000 0 ·$500,00 I - $1.000.000 1'1 =$1.000.001 - $5.000,000 1'2 =$5,000.001 - $25,000.000

PJ 0$25.000.001 - $50.000,000 P4 =More than $50.000,000

3. Value Method Codes Q :=Appraisal R =C lst (Real lstatc Only) S =Assessment T =Cash Market

(Si.:c Cnh1mn l2) lJ -Book Value V =Other W =--Estimated

D.

(2) (4)

(J-P)


Page 8 of23


Herndon, David R.

Date of Heport

05/1 1/2012

VII. INVESTMENTS and TRUSTS - income, va111e, transactions r1nc111des 11wse of spouse and dependent children; see PP· 34-60 of filing ins1r11c1ions.J


A. B. c.



(1) (2) (!) (2) (I) (3) (5)

Pince "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code 1 exempt from prior disclosure div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) Code3 redemption) (J-P) (A-11) (if private

(Q-W) transaction)

69. - EMC Corp (Mass) Com Buy 06/16/11 J (add'!)

70. - EMC Corp (Mass) Com Buy 09/30/11 J (add'I)

71. - Energy Transfer Partners L.P.

72. - Enterprise Products Partners L.P.

73. - Horteywell Intl Inc Sold 01/11/11 J B (part)

74. - !Shares Trust MSC! Emerging Markets

IndexEEM

75. - JPMorgan Chase & Co Sold 08/08/11 K

76. - Jarden Corp Com Buy 06/23/11 J

77. - Jarden Corp Com Buy 07/28/11 J (add'!)

78. - Kinder Morgan Energy Partners

79. - Lowes Companies Inc

80. - Markwest Energy Partners L.P.

81. - McGraw Hill Companies Sold 06117111 J

82. - Microsoft Corp Sold 02/11/11 K (part)

83. - Microsoft Corp Sold 06/16/11 J

84. - Newell Rubbermaid Inc Com Buy 09/30/11 J (add'!)

85. - Plains All American Pipeline L.P.

1. Income G in Codes: A .-=$1,000 or less ll =$ l.00 I - $2.500 c =$2.501 - $5.000 D =$5.00t - $15,000 E =$15.001 - $50.000

(Sec Columns BI and O ) F =$50.001 - $100.000 G =$100.00 I - $ l.000.000 Ill =$l.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Cod1.'S J =$15.000 or less K =$15.001 - $50.000 L =$50,001 -$100,000 M =$!00.001 - $250.000

(Sec Columns Cl and DJ) N $250.001 - $500.()(Xl 0 =$500.00 I - $ l.000.000 Pl =$1.000.001 - $5,000.000 P2 =$5.000,001 - $25.000.000

1'3 =$25.000.001 - $50.0()(>.000 P4 =More than $50.000.000

3. Value Md hod Codes Q ""Appraisal R =Cost (Hc;il blatc Only) S ::Assessment T =Cash Market

(Sec C'nlumn C2) lJ -"'Book Value V =Other W =Estimated

c.

(\) (\) (5)


Page 9 of23 05/11/2012 Herndon, David R.

VI I. INV EST M ENT S and TRUSTS - income, .. at11e, transactions r1nc1udes those of spo11se and dependent cliitdren; see PP· 34-60 of fiti111: instructions.)


A. B. D.



(2) (2) (\) (2) (3) (4)


exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

86. - Proshares UltraShort Lehman 20+ yr TBT Sold 09/23/1 I J

87. - Schlumberger LTD

88. - Target Corp Sold 03/07/11 K c

89. - TransOcean LTD Sold 02/11/11 K

90. - Thermo Fisher Scienti fie Inc Sold 08105/1 I K D

91. - Vale S A Spons ADR Sold 08/05/l I K

92. - Verizon Communications Com Buy 08/18/11 K

93. - Waters Corp Com Buy 01/24/11 J

94. - Waters Corp Com Buy 01/25/11 K (add'!)

95. - Williams Partners L.P.

96. - Annaly Cap Mgmt Inc Com Buy 11/02/11 K

97. - Green! laven Continuous Commodity Buy 02/10/11 K Index Fd

98. - SPDR GOLD Tr Gold Shs Buy 03/01/11 K

99. - SPDR GOLD Tr Gold Shs Buy 08/03/I I K (add'!)

100. TRUST 112 Pershing Brokerage Account c lnt./Div. M T trust assets listed below

IOI. -General MNY MKT Account Closed 06/23/11 J exchanged Pershing MM for

102. -Drefus Treasury Prime MM Open 0612311 I J Dreyfus Treasury Prime MM

I. Income Gain Co<lcs: A==.$1.000orkss ll =$ I.00 I -$2.500 c 42.501 -$5,000 D =$5.001 -$15.000 E =$15.00 I - $50.000

(Sec Columns Bl andD·i) F =$50.001 ·$I 00,000 G =$100.001 -$ J ,000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Co<lcs J .:::$ J 5.000 or less K =$15.001 -$50.000 L =$50.001 - $100.000 M =$ I00.00 I -$250.000

(Sec Cohunns Cl and DJ) N $250.(XJI -$500.000 0 =$500,001 -$1,000.000 Pl =$1.000.001 -$5.000.000 P2 =$5.000,001 - $25,000.000

1'3 =$25.000.00 I • $50.000.000 P4 =More than $50.000.000

Q :-:Appraisal R =Cost (Real Estate Only) S ='Assessment (Sec Column C2) U ,,_Book Value V=Oth1.'T W =Estimated

3. Value Mctho<l Codes T =Cas h Market

c.

(I) (2) (I)


Page 10of23 05/11/2012 Herndon, David R.

VII. INVESTMENTS and TRUSTS -income, m111e, transactions r1nc111des those of spouse and dependent c/ritdren: see PP· 34-60 of filing i11struc1ions.J


A. B. D.

Description of Assets Income during Gross value at end Transactions <luring reporting period


(2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., D"te Value Gain Identity of

exempt from prior disclosure Code l div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

I03. -Accenture PLC Ireland Sh Cl A Sold 09/30/11 J B

(part)

104. -American Tower Corp

105. -Apple Inc

I 06. -Automatic Data Processing Inc Com Sold 08/03/11 J A

107. -Bank of America Corp

I 08. -Boaz Allen Hamilton Hldg Corp Cl A Buy 06/07/11 J (add'!)

109. -Chesapeake Energy Corp Sold 03/01/11 K (part)

I I 0. -Church & Dwight Co Inc Sold 10/18/11 J A stock split 617/11 (part)

111. -Colgate Palmolive Co

112. -Walt Disney Co Holding Co Sold 08/08/11 J B

113. -EMC Corp (Mass) Com Buy 04/18/11 J

114. -EMC Corp (Mass) Com Buy 06/16/11 J (add'!)

115. -EMC Corp (Mass) Com Buy 09/30/11 J (add'l)

116. -Ebay Inc Com Buy 02/23/11 J

117. -Ebay Inc Com Buy 03/04/11 J (add'!)

118. -lloncywell lntl Inc

119. -ALPS ETF Tr Alerian Mlp Elf Sold 11/16/ll J

I. Income Gain Codes: A =$1.000 or less ll =$1.001 -$2.500 C=$2,501 -$5,000 D =$5.001 -$ t 5.000 E =$ 1 5.001 -$50.000

(Sec Columns U I and 04) F =$50.001 -SI00.000 G =$100.00t -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Valul! Codes J c:=$ J 5.000 or less K =$15.001 -$50.000 L =$50.001 -$100.000 M =$I 00.00 I -$250.000

(Sec Columns Cl and 03) N =$250.(Xll -$500.000 0 =$500,00 I -$1.000.000 Pl =$1.000.001 -$5.000,000 1'2 =$5.000.00 I -$25.000.000

rJ =$25.000.001 - S5o.ooo.ooo 1'4 =More than $50.000,000

3. Value McthoJ CoJes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =- Bo1.1k Value V=-Other W ==Estimated

(2) (I) (2) (2) (4)

Date of lloport Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 11 of 23 05/1 1/2012 Herndon, David R.

VII. INVESTMENTS and TRUSTS - income, l'a/11e, transactions (/nc/11des those of spouse and dependent children; see PP· 34-60 of filing instructions.)

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

A, B. C, D.

Description of Assets Income during Gross value at end Tnmsactions during reporting period


(I) (3) (5)(I)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I Methodexempt from prior disclosure div., rent, Code 2 buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-JI) or int.) (J-P) Code 3 redemption) (J-P) (A-11) (if private

transaction)(Q-W)

120. -GreenHaven Continuous Index Fd Buy

121. -GreenHaven Continuous Index Fd Buy

(add'I)

122. -GrcenHaven Continuous Index Fd Sold

123. -!shares Tr Barclays TIPS Bd Fd TIP Sold

124. -!shares Trust MSC! Emerging Markets Fd Sold EEM (part)

125. -!shares Tr FTSE Xinhua China 25 lndex Fd Sold FXI

126. -!shares Tr S&P Midcap 400 Value Index Buy Fund (add' I)

127. -Ishares Tr S&P Midcap 400 Value Index Sold Fund

128. -SPDR Gold Tr Gold Shs Buy

129. -JPMorgan Chase & Co Sold

130. -Jarden Corp Com Buy

131. -Jarden Corp Com Buy (add'I)

132. -Kinder Morgan Energy Partners LTD partnershp

133. -Lowes Companies Inc

134. -McGraw llill Companies Sold

135. -MicroSofl Corp Sold (part)

136. -MicroSofl Corp Sold

01/03/11 K

02/09/11 1 see below for sale in

same

11/16/11 K period.

08/11/11 1 B

11/16/1 I 1 c

02/09/11 1

01/03/11 K

11/16/11 K

08/03/11 1

08/08/11 1

06/23/11 1

07/28/11 1

06/17/11 1

02/23/11 1

06/16/11 J

I. Income Gain Co<.ks: A =$1.000 or less u =$1.001 -$2.500 c =$2.501 - $5,000 D =$5,001 -$15,000 E =$15,00 I • $50.000

(Sec Columns UI and 04) F =$50.00 I • $I 00.000 G =$I 00.00 I -$1.000.000 Ill =$1.000,001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K =$15.001 -$50.000 L =$50.001 - $100.000 M =$I 00.00 I -$250.000

(Sec Columns CI and 03) N $250.00 I • $5fX>.O<XJ 0 4500,00 I • $1,000.000 Pl =$1.000.001 • $5.000,000 1'2 $5,000,001 -$25.000.000

P3 =$25.000.<XJI • $50.000.000 P4 =More than $50.000,000

3. Value MclhocJ Codes Q =Apprnisnl R =Cost (Rcnl Estntc Only) S =Assessment T =Cash Market

(Sec Column C2) U =Hook Value V =Other W =Estimated

c.

(I) (4) (5)



VI I. INVESTMENTS and TRUSTS - inmme, 1•at11e, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. D.



(I) (2) (I) (2) (2) (3)


exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

137. -Newell Rubbermaid Inc Com Buy 09/30/11 J (add'!)

138. -ProShares UltraShort Lehman2o+ year Sold 09/23/11 J TBT

139. -Omnicom Group Inc

140. -Schlumberger LTD

141. -Target Corp Sold 03/07/11 J A

142. -Transocean LTD Sold 11/03/11 J

143. -Thermo Fisher Scientific Inc Sold 08/05/11 J B

144. -Vale S A Spons ADR Sold 08/05/11 J

145. -Verizon Communications Com Buy 08/18/11 J

146. -Waters Corp Com Buy 01/24111 J

147. -Waters Corp Com Buy 01/25/11 J

148. -WisdomTrec Trust DOO Sold 01/03/11 K

149. -Annaly Cap Mgmt Inc Com REIT Buy 08/24/11 J

150. TRUST #3 Pershing Brokerage Account D lnt./Div. N T trust assets listed below

151. -General MNY MKT Account Closed 06/23/11 J exchanged General

MNYMKT

152. -Dreyfus Treasury Prime Money Market Open 06/23/11 J for Dreyfus Treasury Prime

153. -American Tower Corp Cl A

I. Income Gain Cfx.ks; A:=$ J.000 or kss ll =$1,001 -$2.500 c $2,501 - $5,000 D =$5,001 -$15,000 E $15,001 - $50,000

(Sec Columns Bl and D.t) f =$50.001 - $100.0!Xl G =$100.00 I -$1.000.000 111 s1.ooo.001 - $5.ooo.ooo 112 More than $5.000.000

2. Value Crn..ks J ::.$15.000or less K 0$15.001 -$50.000 L $50.001 - $100,000 M $100,001 - $250.000

(Sec Columns Cl and DJ) N "·$250.001 -$5!Xl.OOO 0 °$500.001 -$1.000.000 Pl $1.000,001 - $5,000,000 1'2 =$5,000,001 -$25,000.000

1'3 =$25.000.001 -$50.0!XJ.{J!Xl P4 =M ore than $50.000,000

3. Value Mi..:llmd C\x.h:s Q :=Appraisal K 00Cost (Kcal Estate Only) S =Assessment T =Cash Market

{Sec Column C2) lJ """Book Value V=-01hcr W =Estimated

B. C.

(2)

(J-P)



VII. INVESTMENTS and TRUSTS - income, .. a1ue, transactions r1nc111des t1ro.,e of spouse and dependent children; see pp. 34-60 offilin1: instructions.)


A. D.



(1) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code 1exempt from prior disclosure div., rent, Code 2 Method buy, sell, 111111/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

154. -Accenture PLC Ireland Shs Cl A Sold 09130111 J c (part)

155. -Apple Inc

156. -Automatic Data Processing Inc Com Sold 08/03/11 J A

157. -!lank of America Corp

l 58. -Booz Allen Hamilton Hldg Corp Cl A Iluy 06/0711 l J

(add'!)

159. -Chcsa pea kcEnergy Corp

160. -Church & Dwight Co Inc Sold 10/18/l l J B stock split 06/07111 (part)

161. -Colgate Palmolive Co

162. -Walt Disney Co Holding Co Sold 08/08/11 J B

163. -EMC Corp (Mass) Com Buy 04/18/11 J

164. -EMC Corp (Mass) Com Buy 0611611 I J (add'!)

165. -EMC Corp (Mass) Com Buy 09130111 J (add'!)

166. -Ebay Inc Com Buy 02/23/11 J

167. -Ebay Inc Com Buy 03/04/1 l J (add'I)

168. -l loncywcll Intl Inc

169. -ALPS ETF Tr Alcrian Mlp Etf Buy 01105111 K (add' I)

170. -Green! laven Continuous Commodity Index Buy 02/09/11 J rd

I. Income Gain Codes: A =$1.000 or less 13 =$1.001. $2.500 C =$2.50 I -$5,000 0=$5.001-$15,000 E =$15,001-$50,000

(Sl·cColumns Bl and O.t) =$50.001 -$100,000 G =$100.001 -$1.000.000 Ill =$1.000,001-$5.000.000 112 =More than $5,000.000

2. Value Codes J =$15.000or less K =$15.001 -$50.000 L =$50.001 -$100.000 M =$!00.001 -$250.000

(Sl·i:C:olumns Cl and 03) N =$250.001-$500.000 0 =$500.00 I -$1,000.000 Pl =$1.000.001 -$5,000,000 P2 =$5,000,001 -$25,000,000

PJ =$25,000.001 - $50,000.000 1'4 =More than $50.000,000

3. V:1luc t>.kthoJ Codes Q-=Apprnisal R =-Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec C'olumr1 C 2) U "'Book Value V =Other W ==Estimated

(2) (I) (2)


Page 14of23


Herndon, David R.

Date of Report

05/11/2012

V JI. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 of filing instructions.)


A. B. c. D.



(I) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

171. -)shares Tr Barclays TIPS BD Fd Sold 08/11/1 I K B

172. -!Shares Trust MSC! Emerging Markets JndexEEM

173. -!Shares Tr FTSE Xinhua Hk China 25 Sold 02/09/1 I J B IndexFd FXI

174. -!Shares Tr S&P Midcap 400 Value Index Buy 01/05/J I K Fd (add'I)

175. -JShares Tr S&P Midcap 400 Value Index Sold 11/16/J I K Fd (part)

176. -JPMorgan Chase & Co Sold 08/08/I I J

177. -Jarden Corp Com Buy 06/23/J I J

178. -Jarden Corp Com Buy 07/28/11 J (add'I)

179. -Kinder Morgan Energy Partners LP

180. -Lowes Companies Inc

181. -McGraw Hill Companies Sold 06/17/11 J

182. -Microsoft Corp Sold 02/23/J I J (part)

183. -MicroSoft Corp Sold 06/16/J I J

184. -Newell Rubbermaid Inc Com Buy 09/30/J I J (add'l)

185. -ProSharcs UltraShort Lehman 20+ year Sold 09/23/J I J Tiff

186. -SPDR Gold Tr Gold Shs Buy 08/03/l I J

187. -Omnicom Group Inc

I. Income Gnin Co<lcs: A =$1.000or less IJ 0$t,001 -$2.500 c =$2.501 -$5.000 D =$5.001 - $15,000 E =$ t5.00I -$50.tXXl

(Sec Columns ll I and D4) F =$50.00 I -$ t 00,0<Xl G =$I 00.00 I -$1.000.000 Ill =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Vnlw: Codes J =$15.000 or less K =$15,001 -$50.000 L =$50.001 - $100.000 M =$100.001 -$250.000

(Sec Columns CI and 03) N =$250.tXll - $500.000 0 =$500.001 -$ 1 .000.000 Pl =$!.000.00l -$5,000,000 P2 =$5.000.001 - $25,000.000

rJ =$25.000.001 - $50.000.otx> r4 =More than $50.000.000

3. Y:1Jui.: Mi.:llll>d Codi.:s Q =Appraisal R =Cost (Real l-,statc Only) S "'Assessment T =Cash Market

(Sec Column C2) U :-Book Value V:oOther W =Estimated

(I) (I) (2) (3)


Page 15of23


Herndon, David R.

Date of Report

05/11/2012

VII. INVESTMENTS and TRUSTS - income, mlue, transactions (Includes those of spouse and dependel11 children; see PP· 34-60 of filing instructions.)


A. B. c. D.



(2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code l buyer/seller (A-JI) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

188. -Schlumberger LTD

189. -Target Corp Sold 03/07/11 J A

190. -TransOcean LTD Sold 11/03/11 J

191. -Thermo Fisher Scientific Inc Sold 08/05/11 J B

192. -Vale S A Spons ADR Sold 08/05111 J

193. -Verizon Communications Com Buy 08/18/11 J

194. -Waters Corp Com Buy 01/24/11 J

195. -Waters Corp Com Buy 01/25111 J (add'!)

196. -WisdomTree Trust DOO Sold 01/05/11 K A

197. -Annaly Cap Mgmt Inc Com Buy 08/24/11 J

198. TRUST #4 Pershing Brokerage Account c lnt./Div. M T trust assets listed below

199. -General MNY MKT Account Closed 06/23/11 K exchanged General

MNYMKT

200. -Dreyfus Treasury Prime Inv Sh MM Open 06/23/11 K for Dreyfus Treasury MM

201. -ALPS EtfTr Alerian MLP Etr Sold 01/03/11 J (part)

202. -Claymore BNY Bric Exchange Traded Fd Sold 01103111 J

203. -Claymore Exchange Traded Fd Buy 03102111 J Guggenheim

204. -Green! laven Continuous Commodity Index Buy 01103111 J Fd

I. Income Gai11 Codes: A =$1.000 or kss ll =$1,001 - $2.500 c =$2.501 - $5,000 D =$5.001 - $15,000 E =$15,001 - $50.IXlO

(Sec Columns Bl and lH) F =$50.001 - $100.000 G =$!00.001 - $1.000.000 111 =$1.000,001 - $5.000.000 112 =More than $5.000,000

2. Value Codes J =$ 15.000 or less K =$15.001 -$50.000 L =$50.001 - $100.000 M =$100.001 - $250.000

(Sec Columns Cl and 03) N ° $250.00 I - $5CKl.IXlO 0 =$500.00 I - $1.000.000 Pl =$1.000,001 - $5,000,000 P2 =$5.000,00l - $25.000.000

PJ =$25.000.ClOI - $50.000.000 P4 =More than $50.000,000

3. Value Method Codes Q -.=Apprnis;il R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =-Uook Value V =Other W =Estimated

(2) (2) (4)

Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT

Page 16of23 05111/2012 Herndon, David R.

VII. INVESTMENTS and TRUSTS -income, ..atue, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 offilinr: instructions.)


A. B. c. D.

Description of Assets Income during Gross value al end Transactions during reporting period

(inclu di ng trust assets) reporting period of reporting period

(I) (I) (I) (2) (3) (5) Place "(X)" after each asset A mou nt Type (e.g., Value Value Type (e.g., Date Value Ga in Identity of

exemp t from prior disclosure Code I div., ren t, Code2 Method buy, sell, mm/d d/yy Code2 Code I bu yer/sel ler (A-H) or int.) (J-P) Code3 redemp tion) (J-P) (A-II) (if priva te

(Q-W) transaction)

205. -ISharcs Barclays TIPS Bd Fd Sold 03/02/11 J A

206. -IShares Trust Dow Jones US Telecom IYZ Sold 01/03/11 J A

207. -IShares Trust MSCI Emerging Markets Sold 01/03/11 J c Index fd EEM

208. -IShares Trust MSCI Emerging Markets Buy 03/02/11 K Indexfd EEM

209. -!shares Tr Russell Midcap Growth Index Fd Buy 01/03/11 J see below for sale in same

210. -!shares Tr Russell Midcap Growth Index Fd Sold 03/02111 J A period

211. -!Shares Tr Russell 2000 Growth Index Fd Buy 01/03/11 K see below for sale in IWO same

212. -IShares Tr Russell 2000 Growth Index Fd Sold 03/02/11 K A period IWO

213. -ISharcs Tr S&P Midcap 400 Value Index Buy 01/03111 K (add'!)

214. -IShares Tr S&P Midcap 400 Value Index Buy 03/02/11 J (add'!)

215. -IShares Tr S&P Midcap 400 Value Index Buy 08/15/11 J (add' I)

216. -IShares Tr FTSE Xinhua HK China 25 Sold 01/04/11 J A Index FXI

217. -Select Sector SPDR Amex Utilities Select Sold 01/3111 J A XLU

218. -Sector SPDR Trust Industrial XLI Sold 01/03111 J B

219. -Sector SPDR Trust Technology XLK Sold 01/03/11 K c

220. -Sector SPDR Financial XLF Sold 01/03/11 K

221. -Select Sector SPDR Trust Energy XLE Sold 01/03/11 J c

I. Income G in Codes: A =$ 1.000 or less U=$t,00t -$2.500 c =$2.50t -$5,000 D =$5.00t -$t5.000 E =$t5,00I - $50,000

(Sec Columns U I and D4) =$50.00t - St 00.000 G =$tOO.OOt - $1.000.000 lit =$1.000,001 -$5.000.000 112 =More than $5.000.000

2. Vuluc Codes J =$15.000 or less K =$15.00I - $50.000 L =$50.001 - $100.000 M =$I 00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.00I -$500,000 0 =$500.001 -$1,000.000 Pl =$1.000.001 -$5,000.000 1'2 =$5.000,001 -$25.000.000

1'3 =$25.000.001 - $50,000.000 P4 =More than $50.000,000

3. Valui.: Method Codes Q =Appraisal R :o-Cost (Real btatc Only) S =Assessment T =Cash Market

(Sec Coh11nn C2) U :=Book Value V:Othi.:r \V =Estimated

(I) (3) (4)

Name of Person Reporting Date of Re1l0rt FINANCIAL DISCLOSURE REPORT

Page 17of23 Herndon, David R. 05/1 1/2012

VII. INVESTMENTS and TRUSTS -- income, ··atue, tramactions (1nc111des those of spouse and dependent children; see PP· 14-60 of filing instructions.)


A. B. c. D.



(I) (2) (I) (2) (2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

222. -Select Sector SPDR Consumer Discret Sold 01/03/11 K c XLY

223. -Select Sector SPDR Tr Health Care XL V Sold 01/03/11 J A

224. -Select SPRD Trust Consumer Staples XLP Sold 01/03/11 J B

225. -Select Sector SPDR Int Materials XLB Sold 01/03/11 J A

226. -Powershares QQQ Tr Unit Ser I Buy 08/15/11 J

227. -SPDR GOLD Tr Gold Shs Buy 01/03/11 K

228. -SPDR GOLD Tr Gold Shs Sold 03/02111 J A (part)

229. -SPDR S&P Midcap 400 ETF Tr Unit Ser I Buy 03/02/11 L

230. -Vanguard Intl Equity Index Fd Inc FTSE Buy 01/03/I I K see below for sale in

same

231. -Vanguard Intl Equity Index Fd Inc FTSE Sold 03/02/11 K A period

232. -Vanguard Intl Equity Index Fd Inc Emerg Buy 01/03/J I K see below for sale in Mkts same

233. -Vanguard Intl Equity Index Fd Inc Emerg Sold 03/02/1 I K period Mkts

234. -WisdomTree Trust Top JOO Fd DOO Sold 01/03111 J

235. TRUST #5 Pershing Brokerage Account B lnt./Div. M T trust assets listed below

236. -General MNY MKT Account Closed 0612311 I J exchanged General

MNYMKT

237. -Dreyfus Treasury Prime Inv MM Open 06/2311 I J for D reyfus Treasury MM

238. -ALPS EtfTr Alcrian MLP Etf Buy 01103111 J (add'!)

I. Income Gain Codes: A ==-$1.000or less ll =$1,001 -$2.500 C =$2.50I - $5.000 0 =$5,001 -$15,000 E=$!5,00l -$50.000

(Sec Columns U I anJ D4) F =$50.001 -$100.000 G =$ t 00.00 I -$ 1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5,000.000

2. Value Codes J ;o;-$ 15.000 or kss K =$15.001 -$50.000 L =$50.00 I -$ I00.000 M =$!00.001 - $250.000

(Sec Columns Cl and UJ) N' $250.001 - $500.000 0 =$500.001 • $ 1.000.000 Pl =$1,000.001 -$5,000,000 1'2 =$5.000,001 -$25,000.000

Pl =$25.CXIO.OOI • $50.0<Xl.O!XI P4 =More than $50.000,000

J. Vnluc Mclhod Codes Q ,._-Appraisal R "Cost (Ren I Estate Only) S ""Assessment T =Cash Market

(Sec Column C2) U '"'Book Value V "'-Other W =Estim::i1cd

(I) (2) (I) (3) (4) (5)


Page 18of23 Herndon, David R. 05111/2012

VI I. INVESTMENTS and TRUSTS -- i11come, value, transactions r1nc1udes tlwse of spouse and depe11dent c1tildren; see PP· 34-60 of filing instructions.J


A. B. c. D.


(including tmst assets) reporting period ofreporting period

(I) (2) (2)


exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code) redemption) (J-P) (A-II) (if private

(Q-W) transaction)

239. -Claymore BNY Bric Exchange Traded Fd Sold 01/03/11 J

240. -Claymore Exchange Traded Fd Buy 03/02/11 J Guggenheim

241. -GreenHaven Continuous Com Index Fd Buy 01/03/11 J

242. -!Shares Tr Barclays TIPS Bd Fd Sold 03/02/11 J A

243. -!shares Trust Dow Jones US Telecomm Sold 01/03/11 J Sector IYZ

244. -!shares Trust MSC! Emerging Markets Sold 01/03/11 J B IndcxFd EEM

245. -lsharcs Trust MSC! Emerging Markets Buy 03/02/11 J lndcxFd EEM

246. -!Shares Tr Russell Midcap Growth Index Buy 01/03/11 J see below for sale in

same

247. -!Shares Tr Russell Midcap Growth Index Sold 03/02/11 J A period.

248. -IShares Tr Russell 2000 Growth Index Fd Buy 01/03/11 J see below for sale in

same

249. -IShares Tr Russell 2000 Growth Index Fd Sold 03/02/11 J A period.

250. -!Shares Tr S&P Midcap 400 Value Buy 01/03/11 K

(add'!)

251. -!Shares Tr S&P Midcap 400 Value Buy 03/02/11 J (add'!)

252. -!Shares Tr S&P Midcap 400 Value Buy 08/15/11 J (add'!)

253. -lsharcs Tr FTSE Xinhua IIK China 25 Sold 01/04/1 I J A Index FXI

254. -Select Sector SPDR Amex Utilities XLU Sold 01/03/11 J

255. -Sector SPDR Trust Shs bcn int Industrial Sold 01/03/11 J A XU

I. Income Gam Codi:s: /\ =$1.000 or less ll =$1.001 - $2.500 c =$2.501 - $5.000 D =$5.001 - $15,000 E =$15,001 - $50.000

(Sec Columns BI and D-i) F =$50.00 I - $I 00.000 G =$100.ool - $1.000.ooO Ill =$1.000,001 - $5.000.000 112 =More than $5.000.000

2. Value Cot.ks J oc$15.000 or less K $15.001 • $50.000 L =$50.001 - $100.000 M =$!00.001 - $250.000

(Sec Columns Cl am! DJ) N "$250.001 - $500.000 0 =$500.001 - $I .000.000 r1 =$1.000.001. $5.ooo.ooo 1'2 =$5.000,001 - $25.000.000

1'3 =$25.000.001 - $50.000,000 P4 =More than $50.000,000

3. Value MclhoJ Codes Q =Appraisal R ==Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) lJ Bouk Value V =Other W ==Estimated

(I) (2) (4)


Page 19of23 Herndon, David R. 05/I 1/2012

VI I. INVESTMENTS and TRUSTS -- income, m1ue, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing ins1ruc1ions.J


A. B. c. D.


(including trnst assets) reporting period of reporting period

(1) (2) (I) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code Iexempt from prior disclosure div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

256. -Sector SPDR Trust Shs ben int Technology Sold 01/03/11 J B XLK

257. -Sector SPDR Trust Financial XLF Sold 01/03/11 J

258. -Select Sector SPDR Trust Shs ben int Sold 01/03/11 J A Energy XLE

259. -Select Sector SPDR Fund Consumer Sold 01/03/11 J B Discretionary XL Y

260. -Select Sector SPDR Fd Health Care XLV Sold 01/03/11 J

261. -Sector SPDR Trust Consumer Staples XLP Sold 01/03/11 J A

262. -Select Sector SPDR Fd Materials XLB Sold 01/03/11 J A

263. -Powershares QQQ Tr Unit Ser I Buy 08/15111 J

264. -SPDR GOLD Tr Gold Shs Buy 01/03/11 J

265. -SPDR GOLD Tr Gold Shs Sold 03/02/11 J A

(part)

266. -SPDR S&P Midcap 400 ETF Tr Unit Ser I Buy 03/02/11 K

267. -Vanguard Intl Equity Index Fd Inc FTSE Buy 01/03/11 J see below for sale in VEU same

268. -Vanguard Intl Equity Index Fd Inc FTSE Sold 03/02/11 J A period. VEU

269. -Vanguard Intl Equity Index Fd Emerging Buy 01/03/11 J see below for sale in MktsVWO same

270. -Vanguard Intl Equity Index Fd Emerging Sold 03/02/11 J period. Mkts VWO

271. -WisdomTree Trust Intl Div 100 Fd DOO Sold 01/03/11 J

272. Trust #6 Pershing Brokerage Account A lnt./Div. L T trust assets listed below

I. Income Gnm Codes: A =$1.000 or less ll =$1.00 I - $2.500 c =$2.50t -$5,000 D =$5,001 -$15,000 E =$15,001 -$50.000

(Sec Colurnns Bl and D4) F =$50.00t - $100.000 G =$ to0.00 I -$1,000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5,000.000

2. Value Co<lcs J =-$15.000or kss K =$t5.001 -$50.000 L =$50.001 -$100.000 M =$100.001 -$250.000

(Sec Columns Cl and U3) N °$250.001 - $500.000 0 =$500,00 I - $ t ,000.000 Pl =$1,000.00t - $5,000,000 1'2 =$5,000,001 -$25,000,000

1'3 °$25.000.001 - $50,000,000 P4 =More than $50.000,000

3. Valui: Method Codes Q :::Apprnisal R =Cost (Real Estate Only) S :=::Assessment T ""Cash Market

(Sec Column C2) U 'l\nnk Valu..:: V ==Othi:r W =Estiir1ntcd

(I ) (2 ) (3)

Date of Report Na1ne of Person ReportingFINANCIAL DISCLOSURE REPORT

Page 20of23 05/1 1/2012 llerndon, David R.

VI I. INV EST MENT S and TRUSTS -- income, l'Q/ue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.;


A. B. c. D.


( including trust assets) reporting period of reporting period

(2) (I) (2) (I) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller ( A-H) or int.) (J-P) Code) redemption) (J-P) (A-II) (if private

(Q-W) transaction)

273. -General MNY MKT Account Closed 06/23/11 J exchanged General

MNYMKT

274. -Dreyfus Treasury Prime Inv MM Open 06/23/11 J for Dreyfus Treasury

MM

275. -ALPS Etr Tr Alerian MLP Etf Buy 01/03/11 J

(add'I)

276. -Claymore BNY Bric Exchange Traded Fd Sold 01/3/11 J

277. -Claymore Exchange Traded Fd Buy 03/02/11 J Guggenheim

278. -GreenHaven Continuous Commodity Index Buy 01/03111 J Fd

279. -lshares Trust MSCI Emerging Markets Sold 01/03/11 J A Index EEM

280. -!shares Trust MSCI Emerging Markets Buy 03/02/11 J Index EEM

281. -!shares Tr FTSE Xinhua HK China 25 Sold 01/04/11 J A Index Fd FXI

282. -!Shares Tr Russell Midcap Growth Index Buy 01/03/11 J see below for sale in Fd same

283. -!Shares Tr Russell Midcap Growth Index Sold 03/02/11 J A period Fd

284. -!Shares Tr Russell 2000 Growth Index Fd Buy 01/03/11 J see below for sale in

same

285. -)Shares Tr Russell 2000 Growth Index Fd Sold 03/02/11 J A period.

286. -!Shares Tr S&P MidCap 400 Value Buy 01/03/11 J (add'!)

287. -!Shares Tr S&P MidCap 400 Value Buy 08115/11 J (add'!)

288. -PowcrSharcs QQQ Tr Unit Ser I Buy 08/15/11 J

289. -SPDR GOLD Tr Gold Shs Buy 01/03/11 J

I. Income Gain Co<lcs: A =$1.000 or less u =$1.001 - $2.500 c =$2.501 -$5.000 D=$5.00I -$15.000 E =$15.001 -$50.000

(Sec Columns Bl and 04) F =$50.001 -$100.000 G =$100.00 I -$1.000.000 Ill =$1.000,001 - $5.000.000 112 =More than $5.000.000

2. Vah1c Codes J "$15.000 or less K "$15.001 -$50.000 L =$50.001 -$100.000 M =$100.001 -$250.000

(Sec Columns Cl and 03) N °$250.00 I -$500.(X>O 0 =$500.001. $1.000.000 Pl =$1.000.001 -$5.000.000 P2 =$5.000,001 -$25.000.000

PJ =$25.000.f>OI - $50.000.000 P4 =More than $50.000.000

3. Value t>.kthod Codes R "'Cost (Real Estate Only) T =Cash Market Q ==Appraisal S =Assessment

(Sec Column C2) V =Other lJ =lkmk Yalu...:: W =ES1lrna1cd

C.

(1) (2) (3)


Page 21 of23


Herndon, David R.

Date of Report

051 I I /2012

v II. I NV EST MENTS and TR us Ts -- income, value, transactions (Includes those of spo11se and dependent children; see PP· 34-60 of filing instructions.)


A. B. D.



(I) (2) (2) (I) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code Iexempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

290. -SPDR GOLD Tr Gold Shs Sold (part)

03/02/11 J

291. -SPDR S&P Mid Cap 400 ETF Tr Unit Ser I Buy 03/02/11 J

292. -Vanguard Intl Equity Index Fd Inc FTSE Buy 01/03/11 J see below for sale in

same

293. -Vanguard Intl Equity Index Fd Inc FTSE Sold 03/02/11 J A period.

294. -Vanguard Intl Equity Index Fds Emerging Mk ts

Buy 01/03/11 J see below for sale in

same

295. -Vanguard Intl Equity Index Fds Emerging Mk ts

Sold 03/02/11 J period.

296. -Standard & Poors Depository Receipts

SPDRS SPY Sold 01/03/11 K

297. -WisdomTrce Tr Intl Divid Ex Finis Fd Sold 01/03/11 J A

298.

I. Income Gain Codi.:s: A =$1.000 or kss u =$1.001 -$2.500 c =$2.501 -$5.000 D=$5,001-$15.000 E =$15,001 - $50.000

{Sec Columns UI and 1>4) F =$50.001 -$100.000 G =$100.001 -$1.000.000 Ill =$1.000.001-$5.000.000 112 =More than $5.000.000

2. Value Codes J .,$15.000 or less K =$15.001 -$50.000 L =$50.001 -$100.000 M =$100.00 I -$250.000

(Sec Colurnns Cl and IJ3) N =$250.(XJI-$500.000 0 =$500,001 -$1.000.000 Pl =$1,000.001 -$5,000,000 P2 =$5.000.00 I -$25.000.000

Pl =$25.000.001 - $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal ){=Cost (Kcal Estate Only) S =Assessment T =Cash Market (Si.:c Column C2} U - lkx,)k Value V Other W =Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.)

General Money Market Account changed to Dreyfus Treasury Prime Inv Money Market Account

IRA account summarized on line 19-20

Trust#I on line 22-23

Trust #2 on line 101-102





Lines 20, 23, 102, 152, 200, 237, 274 Dreyfus Treasury Prime Inv Money Market Account was used as a vehicle to hold cash equivalent assets for purchase of other investments and to place sale proceeds pending other investments. Consequently, money moved in and out of these accounts with great frequency and no attempt was made to distinguish each transaction unless specifically requested.

Line 6 fractional shares of First Horizon National Corp: Instead of paying cash dividends, First Horizon issued fractional shares of stock. The fractional shares have no monetary value and no market until they accumulate to equal a full share

Lines 7-9 fractional shares of Kinder Morgan Mgmt: Instead of paying cash dividends, Kinder Morgan issued fractional shares of stock. The fractional shares have no monetary value and no market until they accumulate to equal a full share.

·

All trust assets arc accounted for herein. According to your instructions, the aggregate income and values were reported on lines 21, I 00, 150, 198, 235 and 272.

Identification of the trusts was omitted for security purposes, but will be provided if requested. Naturally, the records of each individual trust are available for the com mi !tee's inspection upon request.

Name of Person Reporting Date of lkport FINANCIAL DISCLOSURE REPORT

Page 23of23 llcrndon, David R. 05/11/2012

IX. CERTIFICATION.

I certiry that all information given above (including information 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 reported 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 arc in

compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature: s/ David R. Herndon

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILU'ULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

AO 10 FINANCIAL DISCLOSURE REPORT Report Required by the ...€¦ · redemption 26. - Fed Natl Mtg Assn Med Term Notes I% Redeemed 08/23/11 L A in same period 27. -Lower Colo River