David R Herndon Financial Disclosure Report for 2010

8/3/2019 David R Herndon Financial Disclosure Report for 2010

1/19

AO IORev. 1/2011FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act o f 1978(5 U.S. C. app..~ 101-111)

I . Person R eport ing (last name, f i rst , middle ini t ia l )H e r n d o n , D a v i d R .

4. Tit le (Ar ticle I I I judges ind ica te active o r s e n i o r status;magis t rate judges indicate fu l l - or p ar t - t ime)

U.S. Dis t r i c t Jud g e - A c t ive

7 . C ha m be r s o r O f f ic e A d d r e s sUn i ted Sta tes Co ur lho use75 0 Mis so ur i Aven ueEast St . Louis , IL

2 . C o u r t o r O r g a n i z a ti o nU.S. Dis t r i c t Co ur t So uthern D is t r ic t o f I l l in o i s

3 . D a t e o f R e p o r t05/I 1/201 l

5a . Repor t Type (check app ropr ia te t)~e)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d i n t h i s R e p o r t and anym o d i f i c a H o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

6. Repor ting Per iodOI/OI/2010

to12/31 /2010

Reviewing Of f ice r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea Complete all pa rts,check ing the NONE box for each par t where you hav e no repor table in formation . S ign on las t page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing instructions.)~ (No reportable positions.)O N E

I. Trus t ee2. Trustee3. Trus t ee

4. Trus t ee5. Trus t ee

POSITION N A M E O F O R G A N I Z A T IO N / E N T I T YTrus t #1 , A sse t s N o 22- 90Trus t #2 , A sse ts N o 91- 13 IT rus t #3 , A sse t s N o 13 2- 172

Trus t #4 , A sse t s N o 173- 193Trus t #5 A sse t s N o 194- 214 Trus t #6 A sse t s N o 215- 225

l I . A G R E E M E N T S . m e p o r t i , g i, d i v ld u a l o n l y ; s e , ~ , ~ , . 1 4 - 1 6 of filing instructions.)[-~ N O N E (No repor table agreements .)

DATEI.2.3.

P A R T I ES A N D T E R M S


2/19

FINANCIAL DISCLOSURE REPORTPage 2 of 19

N a m e o f P e r s o n R e p o r t i n gHerndo n, David R.

D a t e o f R e p o r t05/I 1/201 I

I II . N O N - IN V E S T M E N T I N C O M E . t R e p o . i n g individualandspouse; seepp. 17-24 of filing instructions.)A. Fliers Non-Investment Income~] (No reportable income.)O N E non-investment

D A T E S O U R C E A N D T Y P E

2.3.4.

I N C O M E(y ours , no t spouse s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were m arried during any portion of the reporting year, com plete this section.( Do l lar a m o u n t not requi red except for honorar ia . )

N O N E ( N o reportable non-investment income.)D A T E SO U R C E A N D T Y P E

I.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en te r ta inment( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ," s e e p p . 2 5 - 2 7 o f f i l in g i n s t r u c t i o n s .)[~ N O N E ( N o reportable reimbursements.)

S O U R C E1 . H B L itig a tio n C o n fe re n ce s Jun e 2 8, 20 10 P hila d e lp h ia P A S p e a k e r : M a s s T o n s F o r u m A i r f a r e , t a xi , m e a l , a i r p o r t p a r k in gL L C2. A m e r i c a n C o n f e r e n ce D ece m be r 8 , 2 01 0 N ew Y o rk , N Y S p e a ke r : D ru g & M ed ica l A ir fa re , ta xi, a irp o rt p a rk in gInstitute Device L i t ig a t io nC o n f e r e n c e3.4.5.

D A T E S L O C A T IO N P U R P O SE IT E M S P A ID O R P R O V ID ED


3/19

Iame of Per son Repor tingF I N A N C I A L p a g e 3 o f 1 9 D I S C L O S U R E R E P O R T IHerndon, DavidR.g . G I F T S . a .c ~ . , e s ,hose,o ~,o.so.., dependent chi ldren; see pp. 28-31 of f i l ing instructions.)[~] N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.

3.4.

5.

D a l e o f R e p o r !0 5 / I 1 / 2 0 1 1

VALUE

VI . L I A B I L I T I E S . a . e ~ u d e s , h o s e o / s p o . so u . d d e p e . d e . , c ~ i U , e . : s e e p , , n - J J o / :# . g instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUE CODE


4/19


N a m e o f P e r s o n R e p o r t in gHerndon, David R.

D a t e o f R e p o r t0 5 / I 1 / 2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( In c ludes those o f spouse a n d depen den t c h i ldren ; seepp . 3 4- 60 o f f i l in g in s truct ion s .)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Income dur ing( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)V alue V alue

C o d e 2 M e t h o d( J - P ) C o d e 3( Q - W )

O)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(2) (3) (4)

D a t e Value Gainm m /d d/y y C od e 2 Code I

( J - P ) ( A - H )

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

4.5.6.

8.9.

1 0 .

II.1 2 .

1 3 .

1 4 .

1 5 .

1 6 .1 7 .

Fir s t Clover Leaf Bank checking acc t B Interest KI R A A c c o u n t P e r sh i n g I R A A c c o u n t C D iv id e n d M

- ( I R A ) C V S C a r e m a r k C o r p Sold 07/19/10 K A- ( IRA) Ja rd en C o rp Sr Sub N t 7 .5 % 5 / I /I 7 Bu y 09/23/I 0 J- ( IRA) Fi rs t Ho r izo n Na i l Co rp- ( IRA) Fi rs t Ho r izo n Na t l Co rp- ( IRA) Fi rs t Ho r izo n Na i l Co rp- ( IRA) Fi rs t Ho r izo n Na t l Co rp- ( IRA) Fi rs t Ho r izo n Na t l Co rp- ( I R A ) F r a c ti o n a l K i n d e r M o r g a n M g m t- ( I R A ) F r a c ti o n a l K i n d e r M o r g a n M g m t- ( I R A ) F r a c ti o n a l K i n d e r M o r g a n M g m t- ( I R A ) F r a c ti o n a l K i n d e r M o r g a n M g m t- ( I R A ) K i n d e r M o r g a n M g m t

Spinoff 01/04/10( f rom l ine 5 )

S p i n o f f 0 4/0 1 /10( f rom l ine 5 )S p in o ff 07/01 /1 0( f rom l ine 5 )S p i n o f f 10/01/10( f rom l ine 5 )Spinoff 02/12/10( f rom l ine 14 )S p i n o f f 05114110( f rom l ine 14 )Spinoff 08113/10( f rom l ine 14 )S p i n o f f 11/12/10

( f rom l ine 14 )

J

J

JJJJJJ

- ( IRA) Mic ro So f t Co rp

- ( IRA) Pro Shares Ul t raSho r t Lehman 20 +TB T- ( I R A ) O m n i c o m G r o u p I n c

assets l is ted below

d ividd pd in f r ac t ionalshno Svalue un t i lf r ac t ion= ld iv idd pd in f r ac t ionalshd ividd pd in f r ac t ionalshd ividd pd in f r ac t ionalshn o Svalue un t i lf ract ion= Id ividd pd in f r ac t ionalshd ividd pd in f r ac t ionalsh

I. Income Gain Codes:(Se e Co lum n s B I a n d

2.Va lue Co d e s(See Co lumns CI and D3)

3. Va lue M e th o d Co d e s(Scc Co lum n C2 )

A =$1.000 or lessF =$50.001 - $10~.000J $15 , 000 or l essN =$250.001 - $500.000P3 =$25.0OO.0~1 - $50.000.000U =B o o k Va lue

B - $ 1 ,001 - $ 2 ,500G =$100.001 - $1,000.000K $15,001 - $50.0000 - $ 500.0OI - $ 1 ,000.000R Cos t (R ea l Es la le On ly)V :Other

C =$2,501 - $5,000H I = $ 1 , 0 0 0 , 0 0 1 - $5.000,000L =$50,001 -PI =$1,000,001 - $5.000.000P 4 M ore than $5 0 ,0 0 0 ,0 0 0S =A s s e s s m e n tW =Es t im a lcd

D =$5.001 - $15.0OOH2 =More than $ 5 . 0 0 0 . 0 9 0M - $ 1 09 .001 - $250.000P2 =$5.000.0OI - $25.000,00~T =Ca s h M a rk e t

E =$15 .0 OI -$5 0 .0 0 )


5/19



D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction&)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( in c lu d in g tru s t a s se ts ) r e p o rt in g p e r io d

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I d iv . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a lu e V a lu e

C o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

Type (e.g.,buy, sell,

redemption)

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) ( 4 )D a t e Value Gain

mm/dd/yy C o d e 2 Code 1( J - P ) ( A - H )

I d e n t i t y o fb u y e r / s e l l e r( i f p r iva te

t r a n s a c t i o n )

1 8 . - ( IRA) Research in Mo t io n1 9 . - ( IRA) Tran sOcean LTD

20 . - ( I R A ) A n n a l y C a p M m e n t I n c R E I T21 . - ( IRA) Persh in g P r ime Mo n ey Marke t22 . T R U S T # 1 P e r s h i n g B r o k e r a g e A c c o u n t23 . - G e n e r a l M N Y M K T A c c o u n t

G Int./Div. PI

Sold 10/15/10 JBu y 05/24 /10 K( add l )Bu y 0 7/30 /10 K

trust assets listed below

24 . - L o n g I s l a n d P w r A u t h N Y E l e c 4 %25 . - Lo wer Co lo R iver Auth Tran s 5 /15 /20 115.25%26 . - Puer to R ico Mun Fin A g y G/O 8 /1 /20 1127 . - Aus t in Tex G/O Pub Im p t 8 /15 /01 5 %28 . - Char lo t t e -Mecklen berg Ho sp Aut d ue1/15/201529 . - J ackso n Cn ty Mo Sp l Obl ig Truman Sp o r t s

30 . - Deschutes Cn ty Ore S ch Dis t 5 .25 %

3 I . - Cook Cnty ILL G /O Rfdg -Ser 5 .25%32 . - C o n n e c t i c u tS t S e r C 5 % 1 1 / I /2 1 B / E

33 . - H a m p t o n V A P u b I m p t - S e r A F g i c - M b ia5%34 . - Met ro p o l i t an Go vt N ashv i ll e Dav id so n 5 %

Matured

S o l d

B uy

B uyB uy

12/01/10 M

12/28/10 M

12/28/I 0 M

12/28/10 M12/28/10 M

D

I. In co m e G ain C od es : A =$1,000 o r less B =$1,001 - $2 .500 C =$2 .501 - $5 ,000 D =$5,0~1 - $15,0~0(S ee C o lum ns B I a n d IM ) F =$ 50.001 - $100.000 G =$1 IKI.001 - $1 .0~ .0~0 HI =$I.0~).001 - $5.000.000 H2 =More than $5.000.0~O

2. Value Cod es J =$ 15.000 or le ss K =$15.001 - $50,0


6/19

FINANCIAL DISCLOSURE REPORTPage 6 of 19 Ia m e o f P e r s o n R e p o r t i n gHerndon, David R. D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( In c ludes those o f spouse a n d d epen den t c h i ldren ; seepp . 3 4- 60 o f f i l in g in s truc t ion s . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t rust assetS) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f r o m prior disclosure C o d e 1 div., r e n t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3( Q - W )

(I )Typ~ (e.g.,

buy, se l l ,redemption)


(2) (3) (4)D a t e Value Gain

m m / dd / y y C o d e 2 Code 1(J -P) (A -H)

( 5 )I d e n t i ty o fbuyer/seller( i f p r i v a t e


35 . - O r l a n d P a r k I L L G O B d s 2 0 0 2 A 5 % Redeemed 12/01/10 M

36 . - C h i c a g o I L L S a l e s T a x R e v S a l e 5 %37 . - V i rg in ia St Res Auth Clean Wtr 611310 4

5%38 . - Mis so ur i S t Brd Pub Bld g s Sp l Oblg 4 .5 %39 . - Auto zo n e In c 1116/0 3 5 .5 %

B uy 08130/10

S o l d 08125/10

LK C

40 . - U n i o n P l a n t e r s C o r p S u b N T 7 . 7 5 %41 . - Ma rr io t t In t l In c 6 /14/0 6 6 .2%

Bu y 07/30/I 0 K

42 .43 .4 4 .

45 .46 .47 .48 .

- M o r g a n S t a n l e y S r N T S 5 . 7 5%- J a r d e n C o r p S R S u b N t 7 . 5% Bu y 09/13/10 J- J a r d e n C o r p S R S u b N t 7 . 5%- S tarbucks Corp Sub D eb CV Sr N t 8 /23/076 .25 %- McGraw -Hi l l Co s In c Sr N t 11 /15 /20 175.9%- So uthwes te rn En erg y Co Med Term No tes7.125%

Buy 09/I 7110( add l )So ld I 1/15/10So ld 05/2 1 /10Bu y 0 5 /21 /10

JKKK

- A c c e n t u r e P L C I r e la n d S h s C I A A C N

CC

49 . - A m e r ic a n T o w e r C o r p

50 . - A p p l e l n c51 . - At las En erg y In c

Sold 08/I 8/10 J(par t )

Sold 0 1 /0 4/10 J

D

A

I. In co m e Ga in Co d e s :(Se e Co lum n s B I a n d 1 3 4)

2.Value CodesI .Sce Co lum n s CI a n d D3 )

3.Value Method Codes(See Co lumn C2)

=$1,000 or less=$50.001 - $100.000=$15.000 or less

=$250.001 - $500.000P 3 = $ 2 5 . 0 O O . 0 0 1 - $50.000.000Q =Appraisal

=Book Value

B =$1,001 - $2,500G =$100.001 -K =$15,001 - $50,000O = $ 5 0 0 . 0 0 1 - $ IR =Cost (Real Eslale Only)V =Oth e r

C =$2,501 - $5,000HI =S1,000,001 - $5,000,009L =$50,001 -P I = $ 1 , 0 ~ 0 , 0 0 1 -P4 =More than $50,000.000S =A s s e s s m e n tW =Es t im a te d

D =$5,001 - $15,000H2 =More than $5.000,000M -$ 100.001 - $250,1)00P2 =$5 ,000 ,001 - $25, 090, 000T =Cash Market

E = $ 15.001 - $50 ,000


7/19


N a m e o f P e r s o n R e p o r t i n gH e r n d o n , D a v i d R .

D a t e o f R e p o r l05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( In c ludes those o f spouse a n d de pen den t c h i ldren ; seepp . 3 4- 60 o f f i l in g in s truc t ion s . )--] N O N E (No reportable income, assets, or transactions.)

D e sc rip tio n o f A sse ts In c o m e d u rin g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (~)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t en do f r e p o r t i n g p e r i o d(l) (2)Value Value

C o d e 2 M e th o d(J-P) C o d e 3( Q - W )

O)Type (e.g.,buy , se l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( 2 ) ( 3 ) ( 4 )

D a t e Value G a i nm m / d d / y y Code2 Code I

(J-P) (A-H)

I d e n t i ty o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

52 . - Auto mat ic Data P ro ces s in g In c Co rn53 . - B a n k o f A m e r i c a C o rp54 . - B o o z A l l e n H a m i l t o n H l d g C o r p C I A

55 . - Bo o zAIlen Ham i l to n Hld g Co rp CI A

56 . - B o o z A l l e n H a m i l t o n H l d g C o r p C I A57 . - C V S C a r e m a r k C o r p o r a t io n58 . - C h e s a p e a k e E n e r g y C o r p59 . - Church & D wight Co Inc60 . - Church & D wight Co Inc61 . - Ci sco Sys tems ln c62 . - C o l g a t e P a l m o l i v e C o63 . - W a l t D i s n e y C o H o l d i n g C o64 . - En erg y Tran s fe r Par tn ers L .P .65 . - En te rp r i s e P ro d uc t s Par tn ers L .P .66 . - Ho n eyw el l In t l In c

67 . - H u m a n a l n c

Bu y

Bu y

Bu y( add l )Bu y( add l )So ld

Bu y

Bu y( add l )So ld

Sold

10/15/10

11/17/1011/30 /1012/02/100 7/19/10

0 5 /24/100 8 /19/1008/27/I 0

0 3 /24/10

J

J

J

K

KKK

A

68 . - lShares Trus t MSC I Emerg in g M arke t sIn d ex EEM

I. In co m e G ain Co d es: A =$1,000 o r less B =$ I,001 - $ 2 ,500 C =$2 ,501 - $5 ,00~ D =55,001 - $15,000(See Columns BI and 1341 F - $ 50.001 - $ 1 00.0~0 G =$100,001 - $1,000,000 H I =51,000.1~)1 - 55,000.000 H2 =Mort: than $5.000.000

2. Value Codes J -515,000 or less K =515,001 - $50,000 L = $ 5 0 . 0 ( 1 1 - $ 1 0 0 , 0 ( 1 0 M 5 10 9,0 ~ 1 - $25 0 ,0 ~ 1(see Co lvmns CI and D3) N =5250.001 - $500,000 O -5500,001 - $1,000,000 PI ~51,000,1}01 - $5,000,000 P2 =$5,000,0~1 - $25.0~0.000

P3 $25,000.001 - $50.000.000 P4 =More than $50,000.0003. Value FActhod Codes Q =Appraisal R =Cost (Real Estate Only) S =A s s e s s m cn l T =Ca s h M a rk c l(See Co lumn C2) U =B o o k Va lue V -Ol hcr W =Es t im a te d

E =$15.001 - 550,0(10


8/19

FINANCIAL DISCLOSURE REPORTPage 8 o f 19


Date of Repor t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , v o l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t S ) r e p o r t i n g p e r i o d

(I) ( 2 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p ~ ( e .g . ,e x e m p t f r o m p r io r d i s c l o s u r e C o d e I d i v . , r e n t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n dof r epor t i ng per i od0) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

0)T y p e ( e . g .,buy , se l l ,r e d e m p t i o n )


(2) (3) (4 )D a t e Value G a i n

m m / d d / y y Code2 C o d e I(J-P) ( A - H )

( 5 )I d e n t i ty o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

69. - IShares Tr Do w Jo n es Se l Div id In d exD V Y70 . - J P M o r g a n C h a s e & C o

Sold 02/02/10 K

7 I . - K i n d e r M o r g a n E n e r g y P a r t n e r s

72 . - L o w e s C o m p a n i e s I n c73 . - Markwes t En erg y Pa r tn ers L .P .74 . - McGraw Hi l l Co mp an ies

75 . - Microsof t Corp

76 . - N a s d a q O M X G r o u p I n c N D A Q77 . - N e w e l l R u b b e r m a i d I n c C o r n78 . - N e w e l l R u b b e rm a i d I n c C o m79 . - P la ins Al l Amer ican Pipel ine L.P.80 . - P r o s h a r e s U l t ra S h o r t L e h m a n 2 0 + y r T B T81 . - Research in Mo t io n LTD

Bu y( add l )

So ldBu yBu y( add l )

So ld

04 /23/10

0 1 /21 /100 1 /21 /1002/05/t 0

10/15/10

KJJ

82 . - S c h l u m b e r g e r L T D83 . - S c h l u m b e r g e r L T D

84 . - T a r g e t C o r p85 . - Tran sOcean LTD

Bu y( add l )Bu y( add l )

02/02/I 00 4 1 2 3 1 1 0

JJ

1. In co m e Ga in Co d e s :(See Co lunms BI and I )4)

2.V a l u e C O d e ~(Sc Co lum n s CI a n d D3 )

3.Va lue M e th o d C~le s(See Colurrm C2)

A=$1,000 or JessF =$50,001 -J =$15,0(10 or lessN =$250,001 - $500,000P 3 -$25.000.001 - $50.000.000Q=AppraisalU =B o o k Va lue

B = $1 , 0 0 1 - $2 , 5 0 0G = $1 0 0 , 0 0 1 - $1 , 0 0 0 . 0 0 0K $15,001-$50,000O = $5 0 0 . 0 0 1 - $1 , 0 0 0 , 0 9 0R = C o s t ( R e a l E s t a t e O n l y )V - O l h c r

C =52,501 - 55,000H I =51,009,001 - $5.000.000L =$50.001 - $10~.000P I = 5 1 , 0 0 0 . 0 0 1 -P4 =More thanS =A s s e s s m e n tW =Es t im a te d

D =$5.001 - $15,000H2 - M o re th a n $ 5 .000,000M $10 0 .0 0 1-$25 0 .1)0 0P2 =55.000.001 - 525,000,0~0T =Cash Market

E =$15.001 - $50.000


9/19



D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( In c ludes those o f spouse a n d d epen den t c h i ldren ; seepp . 3 4- 60 o f f i l in g in s truc t ion s . )N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d Transactions during reporting period( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(I) (2) (I) (2) (I) (2) (3)II (4) (5 )

P l a c e " ( X ) " a f t e r e ~ c h a s s e t A m o u n t T y p e ( e . g ., V alue Value T y p e ( e . g ., D a t e V a l u e ] G a i n I d e n t i ty o fe x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d / y y Code 2 I C o d e I buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J -P) [ (A-H ) ( i f p r i v a t e( Q - W ) [ t r a n s a c t i o n )

86 . - Thenno F isher Sc ien t i f ic lnc87 . - V a l e s A S p o n s A D R88 . - Wi l l i ams Par tn ers L .P .

89 . - W i s d o m T r e e T r u st90 .91 .92 .93 .94 . - A m e r i c a n T o w e r C o r p95 .96 .97 .98 .99 .100.

1 0 1 . - C V S C a r e M a r k C o r p o r a t i o n

- W i s d o m T r e e T r u s tT R U S T # 2 P e r s h i n g B r o k e r a g e A c c o u n t- G e n e ra l M N Y M K T A c c o u n t-Accen ture PLC I re lan d Sh CI A

- A pple Inc- A u t o m a t i c D a t a P r o c e s s in g I n c C o m- B a n k o f A m e r i ca C o r p- B o o z A l l e n H a m i l t o n H l d g C o r p C I A- B o o z A l l e n H a m i l t o n H l d g C o r p C I A-Bo o z Al len Hami l to n Hld g Co rp CI A

C Int . /Div. M

Sold 07/07/10( p a r t )

Bu y 02/02/I 0( add l )So ld 09 /2 3 /10

So ld 10/28/10(part)

Bu y 10/15/10

K

KK A

J A

Bu y 11/17/10 JBu y 11/30 /10 JBu y 12/02/10 J

S o ld 07 /1 9 /1 0 J A

sa le in same per iod

t rust assets l is ted below

1 0 2 . - C h e s a p e a k e E n e r g y C o r p

I. Income Gain Codes:( see Co lumns BI and I )4)

2.Valu e C ode~(See Co lumns CI and D3)

3.Value Method Codes(Se e Co lum n C2 )

A =$1,0~0 or JessF =550,001 -J =$15, 0~ or l essN =$250.0OI - $500.000P3 =$25,0~0,001 - $50,000.000Q =AppraisalU =B o o k Va lue

B -SI ,0 0 1 - 5 2 ,5 0 0G $ 1 0 0 , 0 ~ 1 - $ 1 . 0 ~ . 0 0 ~K = $15,O01 - $ 50,000O 5500.0~1 - $1,00~.00~R Co,,tIRcal Es~a~cOnly)V Other

C =$2,501 - $5,0~0H 1 =$ 1 ,0~0.001 - $5,0~,000L - $ 50.001 - $100.000PI =$1,0OO.001 - $ 5,000,000P4 =More than $50,000,000S =A s ~:s s m e n tW =Es t im a te d

D =55,001 - $15,000H2 =More than $5,000,0~0M - $ 1 00,001 - $ 2 50.000P2 =55,000,0~ I - $ 2 5 . 0 ~ , 0 0 0T =Cash M arke t

E =$15,001 - 550,04)0


10/19

FINANCIAL DISCLOSURE REPORTPage I 0 of 19


D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r e p o r t i n g p e r i o d

(I) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I d iv . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a l u e V a l u e

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

O)Type (e.g.,buy, s e l l ,

r e d e m p t i o n )


(2) (3) (4)Dat e V a l u e G a i n

m m / d d / y y Code2 C o d e I( J- P ) (A - H )

I d e n t i t y o fb u y e r / s e l l e r( i f p r iva te


1 0 3 . - C h u r c h & D w i g h t C o I n c104. -Church & Dwig h t Co In c

105. -Cisco Sys tems In c106. - C o l g a t e P a l m o l i v e C o107. - W a l t D i s n e y C o H o l d i n g C o108. -Ho n ey wel l In t l ln c109. -ALPS ETF Tr Ale r i an Mlp E t f110. - I shares Tr Barc lays TIPS Bd Fd TIPI 1 1 . - I shares Trus t MSCI Emerg in g Marke t s FdEE M112. - I shares Tr FTSE Xinhua China 25 Index FdFX I113. - I shares Tr S& P Midcap 400 Value IndexFund114. - H u m a n a I n c

B uyB uy

Sold

B uyB u yB uy(addl)

Bu ySold

05/24/I 0

08/19/10

08/27/ I 0

12/08/I 002/12/100 3 /0 1 /10

12/08/I 003/24 /10

J

J

J

J

J

J

J

J

1 1 5 . - JP M o r g a n C h a s e & C o116. - K i n d e r M o r g a n E n e r g y P a r t n e rs L T Dpartnershp

1 7 . - L o w e s C o m p a n i e s I n c

118. -McGraw Hi l l Co mp an ies

Bu y( add l )04/23/I 0

119 . -MicroSof t Corp

I. Income Gain Codes:( .~e Co lum n s B I a n d D- l )

2.Va lue Co d e s(See Co lumns CI and D3)

3.Va lue M e th o d Co d e s{Se e Co lum n C2 )

A :$ 1,000 or lessF :$50,001 - $100.000J :$15.0~0 or lessN -$250.001 - $500.000P3 $25.000.001 - $50.009.000Q Appr ai sa lU =B o o k Va lue

B =$1,001 - $ 2 . 5 0 0G :$100,001 - $1.000.000K =$15.001 - $50,000O =$500.001 - $1,000,000R =Cost (Real Estale Only)V =Oth e r

C=$2,501 - $5,000H I =$ 1,000,001 - $ 5 , 0 0 0 , 0 0 9L =$50.001 - $100.000P4 -More than $50,000,000S =As~;cssmcntW =Es t im a te d

D =$5.001 -H2 =More than $5.000,000M =$ 109,001 - $250,000P2 -$5.000,001 - $25,000,000T =Ca s h M a rk e t

E = $ 1 5 , 0 ~ 1 -


11/19



D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, , alue, t ran sact ions (Includes those of spouse an d depen den t children ; seepp. 34-60 of fi l ing instruct ions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r e p o r t i n g p e r i o d

(I) (2)Place "(X)" after each asset A m ou nt T yp ~ (e .g .,

exempt from prior disclosure C o d e 1 d iv . , r e in ,(A-H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)

V a lu e V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

(l)Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )



mrrddd/yy Code 2 Code I( J - P ) ( A - H )

( 5 )I d e n t i t y o f

b u y e r / s e l l e r( i f p r iva te


1 2 0 . - N a s d a q O M X G r o u p I n c N D A Q121. - N e w e l l R u b b e r m a i d I n c C o m122. - N e w e l l R u b b e r m a i d I n c C o m123. -ProShares U l t r aShor t Lehman20+ yearTB T1 2 4 . - O m n i c o m G r o u p I n c1 2 5 . - R e s e a r c h i n M o t i o n L T D

Sold

B u yB uy

( a d d ] )

Sold

01/21/100 1 /21 /10

02/05/I 0

10115/10

J

J

J

t 2 6 . - S c h lu m b e r g e r L T D1 2 7 . - T a r g e t C o r p

Bu y( add l ) 02/19/10 J

1 2 8 . - T r a n s O c e a n L T D129 . -Thermo F isher Sc ien t i f ic I nc

Bu y( add l ) 05/27/10

130 . -Vale S A Spor ts AD R.13 I. -W i sd o mTr ee Tr us t D O O

1 3 2 . T R U S T # 3 P e r s h i n g B r o k e r a g e A c c o u n t1 3 3 . -G e n e r a l M N Y M K T A c c o u n t

D Int./Div. N t r u s t a s s e t s l i s te d b e l o x s

134 . -Amer ican Tower Corp CI A

135 . -Accen tu re PLC I r e land Shs CI A

Sold(par t ) 08/18110

1 3 6 . - A p p l e l n c

I. In co m e Ga in Co d e s :ISee Columns B I and D-t)

2.Value Codes(See Co lumns CI and D3)

3. Va lue M e th o d Co d e sISc e Co lumn C2)

A =$1,000 or lessF =$50.0~11 - $100,000J =$15,000 or lessN =$250.001 - $500,00~P3 =$25.000.001 - $50,009,000Q =AppraisalU =B o o k Va lue

B =$1.O01 - $2,500G =$100,001 - $1.000.009K =$15,001 - $50,0000 =$500.0~1 - $ 1,000,00OR - Co s t (Re a l Es ta te On ly )V - O t h e r

C =$2,.501 -H I =$1,000,001 -L =$50,001 - $100,000PI =$1.000.0~1 - $5,0~0,000P4 =M o re th a n $50,000,000S = A s ~ s s m c n tW =Es t im a te d

D =$ 5,00 |H2 =~tore than $5,000,000M =$100,001 - $250,000P2 =$5,000,0~ I - $25,000.0~0T =Cash M arke t

E =$ 1 5,0~1 - $ 50,000


12/19


N a m e o f P e r s o n R e p o r t in gHernd on, David IL

D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e ~ r a l u e , t ransact ions ( Includes those of spouse a nd depen dent chi ldren; seepp. 34-60 of f i l ing instruct ions. )D (No reportable income, assets, orO N E transactions.)

A. B. C.Description of Assets Income during Gross value at end( includ ing trust a sse ts) reporting period of reporting period

O) (2) (i) (2)Place "(X)" after each asset Amount Type (e.g., V alue V alueexempt f rom prior disc losure Code I div., rent, C ode 2 Method(A-H) o r i n t . ) ( J - P ) C ode 3

(Q-W)

137. -Au tomat ic D ata Process ing Inc Com138. - B a n k o f A m e r i ca C o r p139. - B o o z A l l e n H a m i l t o n H l d g C o r p C I A140. - B o o z A l l e n H a m i l t o n H l d g C o r p C I A141. - B o o z A l l e n H a m i l t o n H l d g C o r p C I A142. - C V S C a r e M a r k C o r p143. - C h e s a p e a k e E n e r g y C o r p144. -Church & Dwig h t Co In c145. -Church & D wight Co lnc146. -Cisco Sys tems In c147. - C o l g a t e P a l m o l i v e C o148. - W a l t D i s n e y C o H o l d i n g C o149. -Ho n eyw el l In t l In c150. - A L P S E T F T r A l e r ia n M l p E t f1 5 I . - I shares Tr Barc lays TIPS BD Fd

152. - I S h a re s T r u s t M S C I E m e r g i n g M a r k e tsIn d ex EEM153. - IShares Tr FTSE Xin hua Hk C hin a 25I n d e x F d F X I

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(i ) (2) (3)

T y p ~ ( e .g . , D a t e Valueb u y , s e l l , m m / d d / y y C o d e 2r e d e m p t i o n ) (J-P)

Bu y 10/15/10 J

Bu y 11/17/10 JBu y 1 !/30/10 JBu y 12/02/10 JSold 0 7/19/10 J

Bu y 05/24/I 0 JBu y 0 8/19/10 JSold 08/2 7/10 J

Bu y 12/08/10 KBu y 0 2 /12 /10 K

Bu y 0 3 /0 1 /10 J( add l )

( 4 ) ( 5 )Gain Identity of

C ode I buyer/seller(A-H) (if private

transaction)

A

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2 ,500 C =$2 ,501 - $5 ,000 D =$5,001 - $15,000(See Colurans B 1 and IM) F =$50.091 - $100,00~ G = $ 1 0 0 , 0 0 1 - $ 1 . 0 O O , 0 O O HI =$1,000.001 - $5,000.000 H2 =M ore than $5 .0 ~ ,0 00

2. V alue C o d es J -$ 1 5.000 o r le~ s K = $15.0~ I - $ 50.0~0 L =(See Co lumns CI and D3) N =$2 50.001 - $500.0~) O =$500,001 - $1.0~0,0~0 PI =$1.0~0.0~1 - $5.090,000 [2 =$5.000.0~1 - $25.000.00~P3 =$25.000.001 - $50.000.000 P4 =More than $50.00~.000

3. Value Method Codes Q =Appraisal R =Cost (Real Eslale Only) S = A s ~ s s m e n t T =Ca s h M a rk c l(See Co lumn C2) U =B o o k Va lue V =Oth e r W =Es t im a te d

E =$15.001 - $50.000


13/19


N a m e o f P e r s o n R e p o r t in gHerndon , David R.

Date of Repor t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( in c lu d in g tru s t a s se ts ) r e p o rt in g p e r io d

(1) (2)Place "(X)" after each asset A m o u n t Typ~ (e.g.,

exempt from prior disclosure Code I d iv . , r e r t t ,( A - H ) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a l u e V a l u eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

(] )Type (e.g.,

buy, s e l l ,r e d e m p t i o n )



mm/dd/yy Code 2 C ode I( J - P ) ( A - H )

(5 )I d e n t i t y o f



154. -IShares Tr S&P M idcap 400 Value IndexFd

155. -Hurnana IncB uySold

12/08/I 0 L03/24/I 0 J A

1 5 6 . - JP M o r g a n C h a s e & C o1 5 7 . - K i n d e r M o r g a n E n e r g y P a r t n e rs L P1 5 8 . - L o w e s C o m p a n i e s I n c1 5 9 . - M c G r a w H i l l C o m p a n i e s160 . -MicroSof t Corp1 6 1 . - N A S D A Q O M X G r o u p I n c N D A Q1 6 2 . - N e w e l l R u b b e r m a i d l n c C o m1 6 3 . - N e w e l l R u b b e r m a i d I n c C o m164. -ProShares U l t r aShor t Lehman 20+ yearTB T1 6 5 . - O m n i c o m G r o u p I n c1 6 6 . - R e s e a r c h i n M o t i o n L T D

Bu y( add l )

Sold

B uyB uy

Sold

0 4/23 /10 !

0 1 /21 /1001/21/1002/05II 0 :

10/15/10

J

JJ

1 6 7 . - S c h l u m b e r g e r L T D1 6 8 . - T a r g e t C o r p

Bu y( add l )

02/19/10 J

1 6 9 . - T r a n s O c e a n L T D1 7 0 . - T h e r m o F i s h e r S c i e n t i fi c I n c

Bu y( add l ) 05/27/I 0 J

1. In co m e Ga in Co d e s :(S~c Colunms B 1 and D4)

2. Value Codes(See Co lumns CI and D3)

3. Va lue M e th o d Co d e slSc e Co lumn C2)

=$1,000 or less=$50.001 - $100,000=$15,000 or less

=$250.001 - $500.000P3 =$25,000,001 - $50,000,000

=Appraisal=Book Value

B=$1,001 - $2,500G =$100,001 -K =$15.001 - $50,000O =$500,001 - $1,000.000R =Cosl (Real Estale Only)V =Oth e r

C =$ 2 ,501 -H I = $ 1.000,001 - $5,000,000L -$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000,000S -As~ :ssmc n tW ~Es t im a tcd

D =$5,001 - $15,003H2 =More than $ 5 , 0 0 0 . 0 0 0M =$I00,001 - $25 0 .0 0 0P2 =S5.000.001 - $25.00~,000T =Cash Market

E =$1S.001 - $50,000


14/19



D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, , alue, t ran sact ions (Includes those of spouse an d depen den t children ; seepp. 34-60 of fi l ing instruct ions.)[~] N O N E ( N o reportable in come, a ssets, or t ra nsac t ions.)

D e sc rip tio n o f A ss e ts In c o m e d u rin g( i nc l udi ng t r us t asse t s) r e p o r t i n g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g..

exempt from prior disclosure C o d e I d iv . . r en t ,( A - H ) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(~) ( 2 )

V a l u e V a l u eC o d e 2 M e th o d(J-P) C o d e 3

( Q - W )

O)Type (e.g.,

buy, s e l l ,r e d e m p t i o n )


(2) (3) (4)Dat e V a l u e G a i n

m m / d d / y y C o d e 2 C o d e I(J -P) (A-H )

(5 )I d e n t i t y o f

buye r / s e l l e r( i f p r iva te


171. -Vale S A Sports ADR172. -WisdomTree Trust DOO173. TRUST #4 Pershing Brokerage Accou nt174 . -Genera l MNY M KT Account

C Int./Div. M trust assets listed below

1 7 5 . - A L P S E t f T r A l e r i a n M L P E t r

1 7 6 . - C l ay m o r e B N Y B r i c E T F

1 7 7 . - I S h a r es B a r c l a y s T I P S B d F d

1 7 8 . - I S ha r e s T r u s t D o w J o n e s U S T e l e c o m I Y Z

B uy

B uy

12/06 /10

0 2 /12 /10

179.

180.

181.182.

183.

184.

185.

-1Shares Trus t MSCI Em erg in g Marke t sI n d e x f d E E M-IShares Tr S&P M idcap 400 Value- IShares Tr D ow Jones Sel D ivid Index FdD V Y-IShares Tr FTSE Xinh ua HK China 25Index FXI- K a y n e A n d e r s o n M L P l n v t C o-Selec t Sec to r SPD R Amex U t i l i t i es Selec tX LU-Sector SPDR Trust Industrial XLI

Bu ySo ld

So ld

12/08/1002/I 7/10

12/06 /10

J

J

186. - S e c to r S P D R T r u s t T e c h n o lo g y X L K1 8 7 . - S e c to r S P D R F i n a n c i a l X L F Bu y( add l ) 0 2 /17 /10

I. In co m e G ain C od es : A =$1.000 o r less B =$1.001 - $2 .500 C =$2.501 - $5,000 D =$5.001 - $15.000(See Co lumns BI and D4) F =$50,(X)1 - $100.000 G = $1 00 ,0 01 - $ 1.0 00 .0 00 H I = $1 .0 00 .0 01 - $ 5. 00 0.0 00 H2 =More than $5,000,000

2 . Va lue Co d e s J -$15 . (~ 0 o r le s s K = $15.001 - $50.000 L -$50.001 - $ 100,000 M =$ 100.001 - $250.000(See Co lumns CI and D3) N =$250.001 - $500,000 O =$500.001 - $1.000,000 PI =$1.000.001 - $5.000.000 P2 =$5.000.001 - $25,000.000

P3 =$25.000.001 - $50,000,000 P4 =More than $50.000.0003. Value Method Codes Q ~ Appra i~ l R =Cost (Real Estate Only) S =As~es~,mcnt T =Ca s h M a rk e t(See Co lunm C2) U =B o o k Va lue V =Oth e r W = E ~ t imated

E =$15,001 - $50,000


15/19



D a l e o f R e p o r t05/I I1201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, t ransact ions a n c t u d e s t h o s e o f s p o u s e a n d d e p e . d e n t children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e sc rip tio n o f A ss e ts In c o m e d u rin g( i n c l u d i n g t r u s t a s s e t s ) . r e p o r t i n g p e r i o d

0) (2)Place "(X)" after each asset A m o u n t Type (e.g.,e x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o t a i n g p e r i o d(I) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

(0T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )


D a t e Value Gainm m / dd / y y Code 2 Code I

(J-P) (A-H)

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

188. -Selec t Sec to r SPD R Trus t Energy XLE189. -Selec t Sec to r SPD R Consumer D iscre tX L Y1 9 0 . - S e l e c t S e c t o r S P D R T r H e a l t h C a r e X L V191. -Selec t SPRD Tr~s t Consumer S tap les XLP192. -Selec t Sec to r SPD R In t Mater ia l s XLB1 9 3 . - W i s d o m T r e e T r u s t T o p 1 0 0 F d D O O1 9 4 . T R U S T # 5 P e r s h in g B r o k e r a g e A c c o u n t Int . /Div. M

Bu y( add l ) 0 2 /17 /10

1 9 5 . - G e n e ra l M N Y M K T A c c o u n tt rust assets l is ted below

1 9 6 . - A L P S E t f T r A l e r i a n M L P E t f1 9 7 . - C la y m o r e B N Y B r i c E T F198. - IShares Tr Barc lays TIPS Bd Fd1 9 9 . - I shares Trus t Do w Jo n es US Te leco mmSec to r IYZ200 . - I s ha r e s T r u s t M S C I E m e r g i n g M a r k e t sIn d ex Fd EEM2 0 1 . - I S h a re s T r S & P M i d c a p 4 0 0 V a l u e202. - l shares Tr D ow Jones Sel D iv Index FdD V Y203. - I shares Tr FTSE Xin hua HK C hin a 25In d ex FXI2 0 4 . -K a y n e A n d e r s o n M L P I N V T C o

Bu y

Bu y

Bu ySold

S o l d

12/06 /10

02/12/10

12/08/I 002/11/10

12/06 /10

JJ

1. Incom e Gain Co des: A =$1,000 o r less 8 =$1.001 - $2.500 C =$2.501 - $5.000(See C o lunm s B I an d D 4) F = $5 0.0~ 1 - $1 00 ,0 ~ G $1 00,0~ 1 - $1 .009.0~ 0 HI =$1 ,0 ~ ,0 ~ 1 - $5 .0 ~ 0 ,0 90

2 . Va lue Co d e s J =$15, 0~ or l ess K $15 .~ 11 - $5 0 .0 0 0 L =$50,0~1 - $100,00~(See Co lumns CI and D3) N =$ 2 50,091 - $ 5~.0~0 O -$5 0 0 .0 ~ 1 - $1 ,0 0 ~ .0 ~ PI =$1. 0~. 001 -

P3 $25.0~0.0~ I - $ 50.000.009 p4 = More than $50,000,0003. Value Method Codes Q =Appraisal R :Cost (Real E~.ta lc Only) S =A s s e s s m e n t(See Co lunm C2) U =Book Value V =Oth e r W -Es t ima ted

= $ 5 . 0 0 1 - $ 1 5 . 0 0 0H2 =More than $5.000.0~0M =$100.001 - $250,000P2 =$5,000,001 - $25.000,000

=Ca s h M a rk e t

E =$15,001- $50,000


16/19


N a m e o f P e r s o n R e p o r t i n gHernd on, David R.

D a t e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( In c ludes those o f spouse a n d de pen den t c h i ldren ; see pp . 3 4- 60 o f f i l in g in s truc t ion s. )[ ~ ] NONE (No reportabl e incom e, asse ts , or transact ions . )

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g tr u s t a s s e t s ) r e p o r t i n g pe r i o dO) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f r o m p r io r d i s c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)V alue V alue

C o d e 2 M e th o d(J-P) C o d e 3

( Q - W )

O)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )


D a t e Value Gainm m / d d / y y C o d e 2 C o d e I( J - P ) ( A - H )

(5)I d e n t i ty o fbuyer/seller( i f p r i v a t e


2 0 5 . - S e l e c t S e c to r S P D R A m e x U t i l it i e s X L U206 . -Sec to r SPDR Trus t Shs ben in t In d us t r i a lX LI207. -Sec to r SPDR Trus t Shs ben in t Techn o lo g y

X L K2 0 8 . - S e c t o r S P D R T r u s t F i n a n c i a l X L F209 . -Se lec t Sec to r SPDR Trus t Shs ben in tE n e r g y X L E210 . - S e l e c t S e c t o r S P D R F u n d C o n s u m e rDisc re t io n ary X LY2 1 I . - S e l e c t S e c t o r S P D R F d H e a l t h C a r e X L V

Bu y( add l ) 02/ I 1 /10

2 1 2 . - S e c t o r S P D R T r u s t C o n s u m e r S t a p l e s X L P2 1 3 . - S e l e c t S e c t o r S P D R F d M a t e r ia l s X L B2 1 4 . - W i s d o m T r e e T r u s t I n tl D i v 1 0 0 F d D O O2 1 5 . T r u s t # 6 P e r s h i n g B r o k e r a g e A c c o u n t A Int . /Div.

Bu y( add l ) 02/ I 1 /10

2 1 6 . - G e n e ra l M N Y M K T A c c o u n tt rust assets l is ted below

2 1 7 . - A L P S E t r T r A l e r i a n M L P E t f2 1 8 . - C l a y m o r e B N Y B r i c E T F E E B

219 . - I shares Trus t MSCI Emerg in g Marke t sIn d ex EEM220 . - I shares Tr Do w Jo n e s Se l Div In d ex FdD V Y2 2 1 . - I shares Tr FTSE Xin hua HK Chin a 25Index Fd FX I

Bu y

Sold

12/06/10

02/ I 7 /10

I . In co m e G ain Co d es: A =$ 1.000 or less B =$ 1,001 - $2 ,500 C =$ 2,501 - $5 ,000(Se e C olum ns B I an d D -l) F -SS0.001 - $ 1 00.000 G =$100,001 - $1,000.000 HI =$1,0,00,001

2. Value Codes J $15 ,0 0 0 o r le s s K =$15,001 - $50,000 L =$50,001 - $10~.0~O(See Columns C I and D3) N =$250.001 - $50~.000 O - $ 500,001 - $ 1 ,000,000 PI =$1,000,091 - $5,000.1)00

P3 =$25,000.001 - $50.000.000 P4 -More than $50,000.0003. Value Method Codes Q = A p p r a i s a l R =Cost (Real Estate Only) S =A s s cs s m cn l

(Se e Co lum n C2 ) U =B o o k Va lue V =O ther W =Estim ated

D =$5.001 - $15,000H2 =More than $5.000,000M -$100,001 - $250,000P2 =$5,0~0,001 - $25,1~0,000T =Ca s h M a rk e t

E =$ 1 5,001 - $ 50 ,000


17/19



Date of Report05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~.)D NONE(No reportab l e income, asse ts , or t ransact ions . )

A. B. C.D e sc rip tio n o f A sse ts In c o m e d u rin g G ro ss v a lu e a t e n d

( in c lu d in g tru s t a s se ts ) r e p o rt in g p e r io d o f r e p o r t i n g p e r i o d(l ) ( 2 ) (i) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu eexempt from prior disclosure Code I d iv ., r e n t, C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

Type (e.g.,buy, se l l ,

redemption)

T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d


mm/dd/yy Code 2 Code I(J-P) (A-H)

( s )I d e n t i t y o f



2 2 2 . - I S h a r e s T r S & P M i d C a p 4 0 0 V a l u e223. - K a y n e A n d e r so n M L P I N V T C o224 . -Stan d ard & Po o rs Dep o s i to ry Rece ip t s

SPDRS SPY2 2 5 . -WisdomTree Tr In t l D ivid Ex F in is Fd

B uySold

B u y(addl)B uy

12/08/1012/06/100 2 /17 /1002/I 7/I 0

J

J

J

J

1. Incom e Gain Codes: A =$1 ,000 or less B =$1 ,001 - $2 ,500 C =$2 ,501 - $5 ,00~ D =$5,001 - $15,0~0(Se e Co lum n s B I a n d D4 ) F =$50. 0~ I - $ 100 , ~ G = $ 100.0~ I - $1,000,009 H 1 =$1,000.001 - $5,000,000 H2 =M o re th a n

2. V alue Co d es J =S15,0~0 or le ss K =$15,001 - $50.00~ L =$50,0~ 1 - $100,000 M =$I00,001 - $250,000(See Columns C I a n d D 3 ) N = $250.001 - $500,1)00 O = $ 5 0 0 . 0 ~ I - $ 1 ,000.0~ P I - $ 1 , 0 0 9 , 0 9 1 - $ 5,00~,0~0 P2 =$5,090,001 - $25.0~0,0~0

P3 =$25,000.001 - $50,000,000 P4 Mor e t han $50 , 000, 0~3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =A s s e s s m e n t T =Ca s h M a rk c t(See Co lumn C2) U =B o o k Va lue V =Olh cr W =Es l im a ted

E =$15,001 - $50,000


18/19


N a m e o f P e r s o n R e p o r t in gH e r n d o n , D a v i d R .

Dale of Report05/I 1/2011

V III . ADDITIONAL INFORM ATION OR EX PLANATIONS.J P M o r g a g e B r o k e r a g e A c c o u n t s ( f k a : B e a r S t e a m s B r o k e r a g e a c c o u n t s ) c h a n g e d n a m e s t o P e r s h i n g B r o k e r a g e a c c o u n t s a s r e f le c t e d o n t h e f o l l o w i n g l i n e s :IRA a c c o u n t s u m m a r i z e d o n l in e 2Trus t # I o n l in e 22Trus t #2 o n l in e 91Trus t #3 o n l in e 132Trus t #4 o n l in e 173Trus t #5 o n l in e 194Trus t #6 o n l in e 215

Per shing i s an af f i li a te o f the Bank o f N ew Y ork M el lon .Lines 6-9 f r ac t ional shares o f F i r s t H or izon Nat ional Corp : I ns tead o f pay ing cash d iv idends , F i r s t H or izon i s sued f r ac t ional shares o f s tock. The f r ac t ional shareshave no m onetary value and no market un t i l they accumulate to equal a fu l l shareLines 10-13 f r ac t ional shares o f K inder Morgan Mgmt: Ins tead o f paying cash d iv idends , K inder Morgan i s sued f r ac t ional shares o f s tock. The f r ac t ional shareshave no m onetary value and no market un t i l they accumulate to equal a fu l l share .Lines 2 I , 23 , 92 , 133 , 174 , 164 , 216 G eneral MN Y MK T Account wa s used as a vehic le to ho ld cash equ ivalen t asse ts f o r pu rchase o f o ther inves tmen ts andt o p lace s a le p ro ceed s p en d in g o ther in ves tmen t s . Co n sequen t ly , mo n ey mo ved in an d o ut o f these acco un t s wi th g rea t f requen cy an d n o a t t emp t was mad e tod is t ingu ish each t r ansac t ion un less spec i f ica l ly r eques ted .

Al l t ru s t asse ts ar e accoun ted fo r here in . Accord ing to your ins t ruc t ions , the aggregate incom e and va lues were r epor ted on l ines 3 I , 92 , 127, 163 , 182 and 20 I .I den t i f ica t ion o f the t ru s t s was om i t ted fo r secu r i ty pu rposes , bu t wi l l be p rovided i f r eques ted . N atu ra l ly , the r ecords o f each ind iv idual t ru s t ar e avai lable fo r theco mm i t tee s in sp ec t io n up o n reques t .


19/19

FINANCIAL DISCLOSURE REPORTPage 19 of" 19

Nam e o f Per so n R ep o r t in gH e r n d o n , D a v i d R .

Date of Report05/I 1/201 I

IX. CERTIFICATION.I c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i si o n s o f 5 U ~ S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a ti o n s .

Signature: S/David R. Hernd on

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L SI F IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c l o s u reAdminis t ra t ive Off ice o f the Uni ted S ta tes Cour t sSui te 2 -301O ne Co l um b us C i r cl e , N . E .W a s h i n g t o n , D .C . 2 0 5 4 4

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David R Herndon Financial Disclosure Report for 2010

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