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Judicial Watch • David R Herndon Financial Disclosure Report for 2009

David R Herndon Financial Disclosure Report for 2009

David R Herndon Financial Disclosure Report for 2009

Page 1: David R Herndon Financial Disclosure Report for 2009

Category:Financial Disclosure

Number of Pages:18

Date Created:November 8, 2013

Date Uploaded to the Library:November 13, 2013

Tags:David R Herndon, Sector, Energy, Morgan, account, david, trust, 2009, Market, IRS, Financial Disclosure, ICE, CIA, income, Judge


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ttt Government Act 1978 
Rev_ #20ZOI FOR CALENDAR YEAR 2009 ~.~ u.s.c. ,z,-.~ 101-111) Person Reporting (last name. fitsl, middle inttiali Court Organization Date Report lcrndon, David U.S. District Court Southern District Illinois 05/I 4/2(110 Reporting Perb~d Nomination [3,ate Title (article 111 judges indicate acti,.c sctlior status; 5a. Rewoirt Type (t.i~c,.:k appropriate type) {.ll!O I/2(~39 
U.S. District Judge Active *t_r_..l~ .....I t,, Initial Final 5b. Amended Report Chambe~ Office Addres~ the basis the information contained this Report and any 
modifications pertaining thereto, is, in+ opinion, complinnce 
United States Courthouse 

",,4th applicable laws and regulallons. 
750 Missouri Avenue 
East St. Louis, 

Reviev, ing Officer Date 
L++IPORTANT NOTES: The instructions accompanying this form must foltowed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only;.~ee pp. 9.1.1 flling in.~rruclion$.) ~NONE (No t7~ortablepo,sitions.) 
POSITION NAME ORGANIZATION!ENTITY 
Trustee Trust Assets 31-91 
Trustee Trust #2, Assets 92-126 
Trustee Trust #3, Assets 127-162 
Trustee Trust #4, Asscls 163-181 
Trustee Trust Assets 182-200 Trust Assets 201-209 NONE (No reportable agreement.~.) PARTIES AND,TERMS 
Herndon, David 
Na,., .....Reporting Dalt Report

III.
 NON-INVESTMENT INCOME. a~,,,,,.ti.g i,di~idualattd ,l~mSe: see pp. 17.24 offili,,g in.,tructions.)
 Filers Non-Investment Income NONE (No reportable non-investment income,) 

DATE. SOURCE AND TYPE INCOME (),ours. not spouses) Spouses Non-Investment Income -tl yo. ..er, married during any portion the reporting year, complete this sect~n. 
NONE (No reportable non-investment income.) DAT~ ~OURCE AND TYPE 

IV. REIMBURSEMENTS --,~.,,.,o,,,.,i,,,,, ~,,a,i,,~,y,.~, ,,,,,~,i ..... NON (No r~7~ortable reimbursements.)  L~~  PURPOSE  ITEMS PAID tRQVI~ED  slu School l,aw  Novemt~[ 200t~  Carbondalc,  llealth Law Moot Court Judging  ~dging $75 

FINANCIALpage DISCLOSURE REPORT Ilernd,m, David  Date lRt~prt05~ 4/20 GIFTS. (lnclud~.~ thane spouw and dependent children: see pp. 28-J1 ,,filling instructions.) NONE (No reportable gifis.l DES(~IPTION  NONE (No reportabh~ liabilities.) CREDITOR  DESCR trllON  VALUE CODE  

Name Person Reporing 	Daze

FINANCIALDISCLOSUREREPORT credo,, David 
VII. INVESTMENTS and TRUSTS .......... t,,,., ......,io,, (lncluden ,boat sff ......... dependent ,hildten; see pp. 34~0 filing inxtruction.,.i 

~NONE (No reportable income, assets, transa(tions.) 
{including {lust ~scts) reporting period re~ming period (~) (1) Place "(X)" ~fflcr cad) asset Amount T~pc (cg, Value. Value Type leg., cxem[~l from prior discloscrc C~ div.. tc~t. C~dc Method buy, ~cl[, [mmdd,y~ Code C~de buyer/seller (A-H) inl.) (J-P) Cc~e redemption) (J-P) 	(if private Ba~k Edwardsville Premium checking None 	Cloud 01/02/09 
Accl 
First Clover Leaf Bank checking acct (X) [nturest 
A~hcuscr Busch 	None Sold 
1RA Account Morgan R.,,. Account Dividend 	assets listed (IRA) Apple Inc 	Sold l/l(;."l?O (IRA) CVS Carcmark Ct)rp 

Buy 11,l()/t)~) (IRA) First lIorizon Nail Corp 
 -lIRA) First Ilorizon Nail C~rp Spinoff 01/02/09 stock dividend (from line (IRA) First IIorizon Nail Corp 
Spinoff 04.;01109 slock dividend (from line 
1(}. (IRA) First Horizon Natl Corp Spinoff 07tll!0q stock db, idcnd 
(from line (IRA) First Ilorizon Nail Ct)rp 
Sold 08/28/()9 
12. (IRA) First Iorizon Nail Fractional Shares 

Spinoff 01/t)6/09 stock dividend (from line 
13.	(IRA) First Iori~on Nalt lraOional Shares Spiwoff 04/1) /09 stoc_k dividend 
(from line 

14. (IP, First Ilorizon Nail Fracli~)nal SharesI Spin(H( 07/01/09 stock dividend 
(from line 

15. (IRA) First Ilori/on Nail Fractional Shares 

Sold I)8/28/09 
16. (IRA) Fractional Kinder Morgan ,Mgmt Spinoff !02i13/(D dividd fractional (lrom line 20) 

17. (IRA) Fractional Kinder Morgan Mgmt 

Spinoff 05/15/09 Svaluc until (from line 20) fraction= 
FINANCIAL DISCLOSUREREPORT Pag~ tlerndon, David MEN TRUSTS ........ .alue. ....... tion, (Includes those ....... dependent children; see pp. J4~O ,,f fihng instructio~.) NONE (No reportable income, assets, transactions.) .... ............. 

0nc~uding trust assets) ~cporling period rc~ing period (2) .... .... (2) 
exempt from pritn disclosure 	C~e div., re,t,  Code Mclht~ buy, sell. mm.~d Code Code by)or/seller(A-li) 
Ph:ce "(X)" ~ftcr each ~ss~l Amounl  T)pc (cg.. Value Value Ty~ (e.g. D:~te Value Gain Identity int.) (J-P) Code3 redemption) (J-P) (A-) (if private
 (Q-W) 	t)ans.3cfion) 
IS. (IRA) Fractional Kinder Morgzn Mgmt 
Spinoff 0~/14/09 dividd lrzctional (from line 20) 
19. (IRA) FractionM Kinder Morgan Mgml 
Spinoff 1/13/09 dividd fiactionnl (from line 2~) 
"20. (IRA) Kindcr Morgan Mgmt ..... 
21. (IRA) MicroSoft Corp 
22. -(IIL~,) PmShares UltraShor~ Lehman 20+ Buy 01/13itFJ TBT 
23. (IRA) Omnicom Group Inc 
Buy 10/19/09 
24. (IRA) Researc~ Motion Buy 11/02/09 
25. 
(IE~) T~ansOccan LTD 

26. (IRA) XTO Energy Inc 	Sold 12/22/09 

27. (IRA) Dre,,,fns General Mone), Market 

Sold 1~10/09 Accl 
28. (IKA) Pershing Prime Money Market 
Buy IZ,03/09 
29. Morgan Brokerage Account 	None 
Closed 12/10/09 
30. l)rc),ltr, Gent:lid Money Market ."kc,zoont 
5;old 12/10i(X) TRLIST Morgan Brokerage Account  Inl./l)iv.  I)1  trust assets listed below  
1"32. Drc~,tus (;encral Money Market Account  Sold  12/11)/09 33. General MNY MKT Account  Buy  12/02/09  
34. Clear Lake City Tcx Vtr Aulh Rfdg  Redeemed  03/02/09  

Name Person Reporting Da{e Report 
FINANCIALpage DISCLOSURE REPORT 

;~,ao,. David 0~/14/201(1  NONE (No reportable income, assets, transactions.)  
(including Iru~t assets) Place "IX)" allot c3ch as~t excmp{ from prmr disclosure  reporting period (~) (~) Amount "ype gC(Mc div.. sent. (A-Ill ttd) reposing period (~) Value Value ((Mc Mclhod (J-P) Ct3(Ic (Q-W)  (~) Type (e.g. buy, sell. tcdempti~n)  (~) (3) (a~ Date Value mm!ddiyy C~c (J-P)  Gain Code (A-H)  (5) Identity buycr/sdlet (if private hansaction)  
35. Norfolk GiO Rfdg Cap Imp~ 6/15/98 -~ng Island l~r Auth Elec  Redeemed  07/01/0~  
38.  Lower Colo River Auth Trans ~/15/9011 5.25% Puerto R~co Mun Fin Agy GiO 8/112011  
39. Austin Tex G,O Pub lmpt 8115/01  
40. 41.  42. ~gle G~rfield ~outt Cntys Colo Sch Dist Eagle Garfield ~outt Cntys Colo Sch Dist -Chadotte-Mccklenberg losp Aut due  Redeemed Redeemed  !2/07109 12A)1/09  
43. Jackson Cnty Spl Ob[ig T~man Sports Dcschu~c~ Cnly Ore Sch Dist 5.25%  
~45. Cook Cnty ILL GiO Rldg-Ser 5.25%  
46. Ofland Inrk ILL Bds 2002A  
47. Chicago ILl. Sales Fax Roy Sale  lJ,  01/t)8/O9  
48. 49. Virginia Rcs Auth (?lean Wtr 6/13/0-I Aatozonc h~c I/6/03 5.5%  Buy Buy  08/18/09 5/09  
50. Maniotl Intl lnc 6/14!06 6.2%  Buy  01/29/09  
51. Morgan Stanley NTS 5.75%  l:my  01/291~9  

FII~IANCIAL DISCLOSURE REPORT ~,~ ~po,~i~g ...... ...... Date~lReport Page Herndon, David 05/1412010 

VlI. INVESTMENTS and TRUSTS ........ .~,,~. ...... tions (Includes those spouse and dependent child ....... pp. 34~0 fihng imtructionx3 NONE (No reportable income, assets, transactions.) 
Dcscriplkm Asxct~ 
h~comc during, Gross value end Tranx~ctk:,ns duling reporting pcrmd (including trust a~scts} tcporting period reporting period (x) (i) (2) (2) (~) (5) 
Place "(X} aflcr each as.sol 	Amount Type (e.g.. Value Value. Type (cg Dale Value Ga~a ldemily efCode
~xcmp~ from prior disclosure div.. rent. Code Meth~ buy. sell mm,dd, Code C~c btl)rer:seller(A el) inl.) (J-P) 	Code rcdcmptkm) ~J-P) (A-H) (if pri~ale (Q-W) t~saction) 
52. Starbucks Corp Sub l)cb 8.23/07 
Buy 03/04/0q 6.25 
53. McGraw-Itill Cos Inc 11/15,2017 

Buy 03/17;09 
5.9% 

54. American To~et Ct~p 

Buy 05/07;09 (addH 
55. Acccntnre LTD (1 
09!01i{F) 	name changed-see belo~ 
56. Acccmure PI.C Irelaml Shs (1 ACN 
09/[]1]09 	new name 
57. Atlas Energy Re~; LI.(" 
09/30/091 	name changed- see below
58. Atlas America Inc 09i30/110, nev,, name changed 
again 
i59.~ Atlas, Energy Inc 
111/01/09 	new new name 
60. Apple Inc 
-Bank t~lAmetica (orp 
t61.Buy J07!24/09 
(addl) 
62. CVS Caren~ark (o~p~ration 63. Companl~ia Vale 1)o Rio I)occ ADR 
05/28,.09 	name changed see below 
64. Val,.: 5pons ,.DR 
05;28/09 	new name 
65. Chesi~pcake Energ,, 

66. (.isco Systems Inc 

67. Colgate Palmolive (o 	(addl) 
Name Person Reporting Date Report

FINANCIALpage DISCLOSURE REPORT 
llerndon, David P,. 
VII. INVESTMENTS and TRUSTS ......... t.~,, ....... ,io~. tt,,ct,,ae.~ tho~t ........ deee,,aen, ,l, ilar,n: ~tt pp. 34~0 fili,,g instruaiom.~ ~69.  NONE (No r~portable incomt5 assets, transactions.) . (including t~u~l :~.s~t-ts) rc~,ti~,g .....pcrlt,d .~1 [po,tin~ pc,iod Place. II(X)" Mlcr each asset Am~)unt T~pc (e.g.. Value Vatuc (A-H) : int.) (J-P) Code Entc~rise Producls Partners L.P.  Type (cg rcdcmpt~tm~  Date Value O-P!  Gain (A-tt)  Identity (if private t~ansacti0n)  
70. Energy Transfer Parmcts L.P.  
71. (;~khnan Sachs Group Inc  Sold  01~23/09  
72. Honeywell Intl In,::  
73. 74. 75. IShares Trust MSCI Emerging MarketsIndex EEM ISharcs Dow Jcmcs .~l Di,id Index DVY llum,ma In~."  
76. JPMorgan Chase  
77. Kinder Morgan Energy Partners  
78. Logics Companies Inc  
79. tMatkwcsl Energy Partners L.P.  
80. McGraw Ilill Companies  
81. Microsnrl Corp  
82. Nasdaq OMX Group lnc NDA0  
83. Plains All American Pipeline L.P.  
84. Proshares (]ltraShorl Lehman 20~- IBT  Buy  [1,~/19~09  
85.  -Research Ml~tion I.TD  

FINANCIALDISCLOSURE REPORT NONE (No reportable income, assets, transactions.) 
(including t[ust assets) wporling ~ri~l rc~rling pcrit~d 
(2) (t~ 
Place "(X)" ariel each asset Amount Type (e.g., Value Value Type g., (A-H) t~r int.) (J-P) Code rcdcmptio~0 
86. Schlumberger LTD 
-TransOcean 
Buy (addl) 
~9. Thermo Fisher Scientific Inc Buy (addl) 
[90. 
-WisdomTrec Trust 
91. Williams Partners L.P. 

92. 
TRUST Morgan Brokerage Acconnt [ntaDiv. 
93. 
-Dreyfus General Money Market Account Sold 

94. 
-General MNY MKT Accoun~ 

Buy 

95. 
-American Tower Corp 

Buy (addl) 

96. 
-Accentore LTD 

97. 
-Accenture PI.U lrckn~d 
9~. -Apple 

99. Bank ,Mncrica Corp 
Buy (addl) 
l(t0. -CVS (?afeMan Corpu;ation 
101. 
-Companhia Vale I)o Rio I)oce Spons ADR 

102. 
-Companhia Vale Rio Doce Spons ADR 

Buy (addl) (2) Dale Valuc (J-P)  Gain (A-]I)  Identity (if private  
0511 I/1t9 04/29/09  
I~10/0~ 12/03.,~)9 05/)7/09  trusl assets listed below name change- see below new name  
07/24,"09  
05/15/t)9 05/28/09  name change-see below name change-see below .... ..... Rtp,,rting Dat~: Repor! II. INVESTMENTS and TRUSTS ............ t,,,, ....... ,ion., (Includes those ofsp ........ dependent chiMr,n; ~te pp. 34.60 4fihng ........ tions.) 

NONE (No reportable income, assets, transactiotts.)  
0ncluding nust asseks) Place "(X)" after each a~scl  rcl~rtiug period reponi~xg period it} ~2~ (2) Amou~t I)p (e.g. Value Value (A-H) int.~ O-P) Code O-~V) Type (c.g. redemption) ~2) (3}-~4) I)alc Value (J,fin [J-P} (A-}I}  ~5) Identity {if private transaction)  
103.  -Vale Spons ADR  05/28/1~2  new name  
104 -Chesapeake Energy Co~  
lOS.  -Cisco Systems  
106.  -C~dgate Palmolive  
11)7. 108.  -Walt Disney Holding -Goldman Sachs Group Inc  Buy (addl) Sold  10/19/09 01/23/09  
109.  -floncywell Intl lnc  
IO. -Ishares Trust MSCI Emerging Markets FdEEM 11. -Isharcs FTSE Xinhua China Index FXi 12. -Humana [nc  
113.  -JPMorgan Chase  
14. -Kinder Morgan Energy Iarmers l.qT)pal Inctt, 15. Lowcs  
16. -McGraw Ilill Companies  
117.  -MicmSolt Ig.  -Naxdaq OMX Group Inc NDAO  
119.  -ProSharcs UltraShort Lehman20~- year TBI  Buy  08/19/09 ...... .... Reporting 	Date Rl:port 

VII. INVESTMENTS and TRUSTS --i .........~ .............,io,,.~ (Includes thos ,f s~y,e and depeadrnl child ......... pp. 3~0 t f!ting inst~ctton~J 

NONE (No rtT~ortable income, assets, trattsactions.) 
I)cscription Assets Income during Gross vaLue end "rranxaclions during rcpoamg period 
(including l~st assctsi rcporfi~g ~c~i(~ o reporting ~criod ~2) (~) 0~ .... (2) ~3~ Place X)" alter each assel Amount Type Value Value Type (e.g., Dale Value. Gain Idcnlily exempt from prio~ dish,sure Code tliv., rent. Code Method buy, sell, mm!dd~yy Code (7ode buycr/scllc~ (Q-W) 	nansaction) 
120. 
-Omnicom Group Inc 	Buy 10/19109 

121. 
-Research Motion LTD 

122. 
-Schlumberger L[I) 

123. 
-Target Colp 

124. 	
-TransOcean LTD Buy 0511 if(r) 
(addl) 

125. 
-Thcrmo Fisher Scienlific Inc 

Buy 04~9A)9, . (addl) 
126. 
-WisdomIree rust 

127. 
TRUST Morgan Bmktzrage Account [nt.iDiv. 	tru.,,l assms listed below 
128. 
-Dreyfus General Motley Market Account 	Sold 12/10/09~ 

129. 
-General MNY MKTAccounl 

Buy 1,.2/03/09 
130. -American T(v,,er Corp Buy 05/07;09 
(addl) 
131. 	
-Acccnture Ltd (21A 09f01/(19 name changed -see
below 

132. 
-Accenture ILC Ireland Shs (_7I 

0~),"01/09 new name 
133. 
-Apple Inc 

134. 
-Bank America Corp 

Buy 07~4/09 
(addl) 
135. -CVS CareMark Corp 
Buy 10/14/0) (addl) 
136. -Cotnpanhia Vale Rio I)o,:e Spons ADR 
Buy 05/15109 name changed see (addl) below 
NONE (No reportable income, assets, transactions.) Dcscriptio~ Assc~s Income during (including trust ~sscis) r~rling period Oros~ value e~d rcporti~g period  
Place "(X)" itflel each asset exempt [tom p~ior di.~closurc Amount Type (e.g., (ode div.. rcnL (A-It) inL)  Value Ctrde (J-I) Value Method Code (Q-W)  qypc (e.g.. buy. sell, redemption)  Date Value mm,ddiy> (ode (J-P)  Gain Code (A-II)  Identity buycr..sc~Ier {if private ~raa~action)  
137. -Corupanhia Vale Rio I)oce Spons ADR 138. -Vale Spons AI)R  05/28/09 05/28/~  name changed see below new name  
139. -Chesapeake Encrg> Corp  
140. -Cisco Systems Inc"  
141.  -Colgate Palmoli~e  
142. -Wall Disney H{,Idmg Ct~ 143. -Goldman Sach~ Group Inc  Buy (addl~ Sold  10/19,09 01/23;09  
144.  Honeywell Inll In  
145. -IShares Trust MSCI Emerging Markets Index EEM 146. -IShareslr Dow Jones Sel Ikiv DVY  Sold  10/14109  
147. -ISharesTr FTSE Xinhua Ilk China Index FXI 148. -tlumanalnc  
149. -JP~,lorgan Chase (o  
150.  -Kinder Morgan Encrg), Parmc~s  
151.  -IJ~wcs (?ompanies Inc"  
 152.  -McGrawllillCompanics  
153. -MicmSnfl ...... ..... Reporting

VII. INVESTMENTS and TRUSTS ....... ~.~,, ....... ,ions (Inch,des" those p ....... NONE (No reportable income, asset.s3 transactions.) 
(including trust a~cls}  rc~rting period  tff reporting period  
  
~cmpl frt,m prior disclosure  Code (A-tl)  div., rent, int.~ Code (J-P)  Method C~3de  buy. sell, redemption)  
tQ-W)  

154. 	
-NASDAQOMXGrouplncNDAO 

155. 	
-P~oShares UltraShutt [~hman 211+ year 

Bu.v 
TBT 
156. 	
-Omnicom (-;roup lnc 

Buy 
157. 	
-Resea~t:h ,Motion LT[) 

158. 	
-Schlumbcrger LFD 

1:59. -ratget lt~l~. -TransOcean LTD 
Buy (addl) 
161. 	
-Thcrmo Fi.,hcr Scientific lnc 

Buy (addl) 
162. 	
-WisdumIrce Trust I)OO 

Buy 
163. 	
TRUST Morg,tn I]rokcrag~: Account Int./Div. 

164. 	
-Dreyfus General bhmcy Market Account Sold 

165. 	
-General MNY MKrAccoun~ 

Buy 
166. -Cla~rm~e 13NY t~it: ETF J~~.7. -IShales ]rust 1)t~w Jones IJS [l,:com IYZ 
168. 	
-IShuresln~sl M.";CI Emerging Markets Index EEM 

169. 	
-IShares Dow Jone; Sel Divid Index DVY 

170. 	
-Shares I:ISE Xinhua IIK China Index FXI 

Date R~porl 05/14/2t) lIJ dependetlt childrenz seepp. 34-60 filing instructiom.) 
mm/ddiyy Code  Code  buyer/seller  (A-III  (il privale  transachon)  

08,"lt),r0t) 
11)]19/09 
115/11A)9 04!29!091 10/14.bY) 
trust assets listed belo~ 12/1)3/l~9 12/03/09 .... ..... Reporling 	Date Reporl
VII. INVESTMENTS and TRUSTS ......... lue, ....... tions (Includes those spo ..... dependent children; see pp. 34-60 filing instructions.) ~-~ NONE (No reportable income, assets, transactions.)  r~. .......  
Description Assets  Income during  Gross ~alue cod  ~ransactions during rcpt*~ing period  
(including trust assets)  repomng period ~cpo~ing period (1) (2)  (I)  (2)  {1)  (2)  (3) (4)  (5)  
Place "(XY after each assct exempt lrom prle~ disclosure Amount Code (A-H)  Type (e.g., div., rent, int.)  Value Code 0-P)  Value Method Code  Type (cg.. buy sc[I. tcdcmptitm)  Date Wduc mm/dd/yy Code (J-P) Oai~ Code (A-II)  Identity buyer/seller (it puvate ~Q~)  transaclion)  

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 llealth Care XLV 

179.
 -Select SIRI)Trust Consumer Staples XLI 

180. 	
-Select Sector SPI)R Int Materials XLB 

Buy 10/26/09 (addl) 
181. 	
-WisdomTrce Trusl Top 100 DOG 

Buy 10/26/09 (addl) 
182. 	
TRUST Morgan Brokerage Account lnt./Div. trust assets listed below 

183. 	
-Dre).fus Gcnclal Money Market Account 

Sold 12/1(1/09 
184. 	-General MNY MKT Account 
Buy 12/03/09 
185. 	-Claymore tINY tlric ETF 
Buy 10/26/09 (addl) 
186. 	
-Isharcs Trust Dow Jones Telecomm Sector IYZ 

187. 	
-Isharcs Trust MSCI Emerging Markets Index EEM 

Name o1" Person Rep.rting Dale Reporl

NONE 0Vo reportable income, assets, transactions.) Dc~criptmn As~IS {including trust asscts) hmome du~ing reporting, period Gross value end ~tting pcri~ ~ansactions during reporting period  
Place "(X)" after each asset exempt from prior disclosote Amtmnl (ode  "lypc (cg., the. rent, int.)  Value (7ode (J-P)  Value Mctbt~d (7~e (Q-W)  Ty[~ buy, sell. redemption) Date mm;ddiyv_  Value C~a (J-P)  Gaio Code (A-H)  Identity buycr,scllcr 0tprivatc transactionJ  
188.  -lsharcs Dow Jones Sel Die Index DVY  
189. 190.  -lsharcs ~SE Xinhua China Index FXI -Kayne Anderson MLP INVTCo  Buy (addl~  10,~6/~  
1~41.  -Select Sector SPDR Amex Utilities XLI_J  
192.  -Sector SPDR Trust Sh~ ben int Industrial XLI  
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 Ilcalth Care XLV  Buy (addl~ Buy (addl) Buy (addl) Buy (addl)  10/26/09 I0/26,.1D 10/26/09 10/2-6/t)9  
198.  -Sector SPDR Trust Consumer Staples XLP  
199+ 200. 201.  -Select Sta:to~ SPDR Materials XLB -WisdomTrcc "lru~,t Intl I)iv I00 DO0 Trust Morgan Brokerage Account  h,t./Div.  (addl)BUy Buy (addl)  10/26/(g) 10t26/09  trust assets lislcd below  
202.  -Dre.vlns General Money Matkcl Acc*mnt  Sold  12/10~(~)  
213,3.  -General MNY/VlKq" Account  Buy  12/03/09  
204.  -Claymore BNY Bric EqF F.EB  

Name Person Reporting 	Date Reporl
VII. INVESTMENTS and TRUSTS --income, value, ...... tions etnctuctes those oys~ .....a depe,aent children; see pp. 34-60 o~" fiting instructiom.) NONE (No reportable income, assets, transactions.)-~i ....... 	6.-- r~. 
Description c,f Assets Income during Gross value end Tr;m~actions during rep(~rting period (including trust assets) reporting period 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 Identity 
c;,.empt from prior disclosure 	Code div., rent, (_ode Method buy. sell. mm.ddiyy Code {-_ode buyer/seller (A-tl) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
205. 	
-Ishares Frusl M,SCI Emerging Markels 
Index EEM 

206. 	
-lshares Dow Jones Sel Div Index 
DVY 

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

208.
 -Kayne Anderson INVT 

209. 	
-Standard Pools l)cpository Receipts
SPDRS SPY 

21(I. ..... ...... Repolaing Date Rep,,ira

VIII. ADDITIONAL INFORMATION EXPLANATIONS. a,,di,-ot.,~. 
l3car Stearns Brokerage accounts changed names M~,)rgan 13roketagc accoants reflected the following 
Brokerage ~ccotlflt line 
Trust line 
Trust line 
Trust line 127 
Trust line 163 

Trust line 182 
Trust ~6on line 201 
I,ines 16-19 gractional shares Kinder Morgnn Mgmt: Instead paying cash dividends, Kinder Morgzm i~sued trnclional shares stock. The l~ac~ional shares 
have moncl~ry wdue and market until they ~ccumulale equal [ull share. 
Lines 27, 30, 32, ~3, 12~. 164, 183,202 Dreyfus General Money Market Fund was used ~ vehicle bold c~sh cquivalcnl asse~s for purchase t~ther investments and place sale proceeds pending other investments. Consequently, muncy mo~.cd and out these accounts with great ficqucncy and altcmpt
w~s m~de distinguish each transaclion unless specifically requested. 
Lines 33.94, 129, 11~5, I~4 and 203 When Bear Steams changed n~mes Morgan llrokctagc. Dreyfus General Money Market Funds were closed ~nd replaced General MNY MKTAccounts. 
Lines 55-5t~ :tnd ~)6-07 aud 132 A~ntu~e LTD Class changed numc Acccnturc PLC Ireland Sh~ ACN September 
Lines 57-5~ Atl:~s Energy Res l.t.C changed its name Atlas America [nc and then Atlas Energy Inc September and October 2009. 
Lines g~3-64 and I~H-103 ~nd 136-13~ Companhia Vale Rio Doce ADR changed ils name May 2/~O Vale Spons ADR. 
All trusI assets ,~rc acct~uutcd for herein. According your instructions, the aggregate ~ncomc and values were reported lines 31, 92, 127, 163, 182 zmd Idenfiticafion the Irn~ls ~~s omilled for security pu~oscs, but will provided rCtlUeMed. Nalurally, Ihe records each individual trusl ate available for the Herndon, f~aia 

IX. CERTIFICATION. certify that all infi)rmation given above (including information pertaining spouse and minor dependent children, any)
accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutoryprovisinns permitting non-disclosure. further certi~ that earned income from outside employment and honoraria and the acceptance gifts ".~hich ha~e been reported are incompliance with the provisions U.S.C. app.  501 el. seq., U.S.C.  7353, and Judicial Conference regulations. 
NOTE: ANY INDIVIDIIAL WIO KNOVINGLY AND WILFULLY FAI~SIFIES FAILS FILE THIS REPORT MAY SUBJECI" CIVIL AND CRIMINAL SANCIIONS app.  104) 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure 
Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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