D : s - Judicial Watch · Report Required by the Ethis AOlO FINANCIAL DISCLOSURE REPORT . in Govenment Act of1978. Rev, 1/2007 . FOR CLEDAR R 2006 (5 U.. app. §§ 101-111) 1. Peson

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POSITION ORGANIZATION/ENTITY

PARTIES AND TERMS

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Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT

in Government Act of1978Rev, 1/2007 FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§ 101-111)

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

Herndon, David R

2. Conrt or Organization

Southern District of Illinois

3. Date of Report

04123/2007

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

'U.S. District Judge - Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial Annual D Final

6. Reporting Period

01/01/2006 to

12/31/2006

Sb. D Amended Report

7. Chambers or Office Addres

United States Courthouse 750 Missouri Ave East St. Louis, Illinois

8. On the basis or the information contained In this Report and any modification pertaining thereto, it is, in my opinion, in compliance

Date

IMPORTANT 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. Sign on last page.

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

D NONE (No reportable positions.)

NAME OF

1. Trustee Trust #l, #2, #3, #4, #5 and #6

2.

3.

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II. AGREEMENTS. (Reporting individual only; see pp.14-16 of instructions.) -q ..p, 0

NONE (No reportable agreements.) rri N

1.

2.

3.

SOURCE

SOURCE

A AirFare d America'l!"!!fal

3.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2 of23 Herndon, David R 04/23/2007

ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp.11-u of instructions.)

A. Filer's Non-Investment Income

(KJ NONE (No reportable non-investment income.)

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

1.

2.

4.

5.

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

(Dollar amount not required except for honoraria.)

(KJ NONE (No reportable non-investment income.)

AND TYPE

1.

2.

3.

4.

5.

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

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE (No reportable reimbursements.)

1. merican Councils for International Education (Washington DC)

DESCRIPTION

2 nights Lodging or seminar for Ukrainian Judge regarding System

2.

3.

4.

5.

SOURCE DESCRIPTION

DESCRIPTION

2.

Page 3 of23

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Herndon, David R 04/23/2007

V• GIF'f S. (Includes those to spouse and dependent children. See pp. 28-31 of instructionsJ

(K] NONE (No reportable gifts.)

VALUE

1.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)

(K] NONE (No reportable liabilities.)

CREDITOR VALUE CODE

1.

3.

4.

5.



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)

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

A. Description of Asse

(including trust asse )

Place "(X)" after each asset exempt from prior disclosure

B. c. D. Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type.(e.g. Value Value Type(e.g. Date Value Gain Identity of Code 1 div .. , rent, Code2 Method buy, sell, Month- Code2 Code 1 buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A,H) (ifprivate

(Q-W) tra0saction)

1. Bank of Edwardsville Premium checking account

A Interest J T

2. Community Educ FCU 2 cash account A Interest J T

3. Bank of America regular checking account None J T

4. Bank of America regular checking account None J T

5. IRA Account Bear Steams Brokerage IRA account

D Dividend M T assets listed below

6. - (IRA) Alcoa Inc

7. • (IRA) Alltel Corp buy 04/03 J

8. - (IRA) Altria Group Inc . partial sell 01/09 J A

9. - (IRA) Albertsons Inc sell 01/27 J A

10. - (IRA) Bellsouth Corp sell 04/03 J A

11. - (IRA) Black Hills Corp

12. - (IRA) Briggs & Stratton Corp buy 04/03 J

13. - (IRA) Exelon Corp

14. - (IRA) Entergy Corp New

15. - (IRA) FPL Group Inc

16. - (IRA) General Electric

17. - (IRA) Genuine Parts Co

1. Income Gain Codes: A =Sl,000 or less B =Sl,001 • $2,500 C =$2,501 • SS,000 D =SS,001 - $15,000 E =$15,001 - $50,000

(See Columns Bl and 04) F =S50;001 • $100,000 G =S!00,001 • Sl,000,000 HI=Sl,000,001 • $5,000,000 H2=More than $5,000,000

2. Value Codes J =$15,000 or less K =Sl5,001 • $50,000 L=$50,001 • Sl00,000 M =$100,001 • $250,000

(See Columns Cl and D3) N =$250,001 • $500,000 0=SS00,001 - Sl,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraisal V=Other S =Assessment

U=BookValue W =Estimated

.

(1) (2) (4)

(<l:'W)

c.

(3)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 pf filing instructionsJ

D NONE (No repo rtable income, assets, or transactions.) _

B.A. D. Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(2) (1) (1) (2) (5) Am!>unt Type (e.g. Value Vall!e Type (e.g. DatePlace " (X)" after each asset Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code2 Meth!ld buy, sell, Month- Code2 Code 1 buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

tratisaction)

18. - (IRA) Fractional Kinder Morgan Mgmt spin off 02/17 J dividend pd fractional shs

19. - (IRA) Fractional Kinder Morgan Mgmt spin off 05/18 J dividend of fractional shares

20. - (IRA) Fractional Kinder Morgan Mgmt spin off 08/28 J no $ value until fraction =1 sh

21. - (IRA) Fractional Kinder Morgan Mgmt spinoff 10/29 J dividend paid in fractional shs

22. - (IRA) Kinder Morgan Mgmt

23. - (IRA) Kinder Morgan Inc Kans

24. - (IRA) Kimberly Clark Corp

25. - (IRA) Leggett & Platt Inc buy 01/27 J

26. - (IRA) Lubrizol Corp

27. - (IRA) New York Community Bancorp Inc

28. - (IRA) North Fork Bancorporation Inc sell 04/03 J A

29. - (IRA) Old Republic Intematl Corp buy 05/26 J

30. - (IRA) PPL Corporation

31. - (IRA) Pitney Bowes Inc

32. - (IRA) Regions Financial Corp sell 05/26 J

33. - (IRA) Smucker J M Company

34. - (IRA) Southwest Gas Corp

1. lnrome Gain Codes: A =Sl,000 or less B =Sl,001 -$2,500 C =$2,501 -S5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See COiumns Bl and D4) F =SS0,001 -$100,000 G =S!00,001 -Sl,000,000 Hl =Sl,000,001 -$5,000,000 H2 =More than $5,000,000

2. Vaine COdes J =$15,000 or less K =Si5,001 - SSO;OOO L =$50,001 -$100,000 M =Sl00,001 - $250,000

(See COiumns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -Si,000,000 Pl =$1,000,001 - $5,000,000 P2 =SS,000,001 - $25,000,000

3. Value Method COdes P3 =$25,000,001 -SS0,000,000 R =COst (Real Estate Only) P4 = ore lhao SS0,000,000 T =Cash Market

(See COiumn C2) Q=Appraisal V=Olher S =Assessment

U =Book Value W =Estimated

R

(4)

(Mi)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT _

Herndon, David R 04/23/2007Page 6 of23

VD. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


A.

Description of Assets (including trust assets)


c. D. Income during Gross value at end of Transactions during reporting period


(1) (2) (1) (2) (1) (2) (3) (5) Amount Type (e.g. Value Value Type(e.g. Date Value Gain d ntity of Code 1 div., rent, Code2 Method buy,. sell; Month- Code2 Co<Jel buyer/seller

or int.) (J-P) Code3 redemption) Day (J'P) (A·H) (ifprivate (Q-W) transaction)

35. • QRA) Suntrust Banks Inc

36. - QRA) Susquehanna Bancshares Inc-PA

37. - (IRA) Waste Management Inc Del

38. - (IRA) Washington Mutual Inc

39. - (IRA) Windstream Corp

40. - (IRA) Windstream Corp

spin-off

sell

07/18

07/19

J

J B

Spin Off from Alltel

41. - (IRA) XL Capital LTD-Cl A

42. - QRA) Dreyfus General Money Market Account

43. Bear Steams Brokerage Account

44. - Dreyfus General Money Market Fund (B) A Interest J T partial sell 11/21 J

assets listed below

45. - Cohen & Steers Total Return Realty FD A Dividend sell 01127 J B

46. - Salomon Brothers 2008 Worldwide Fd A Dividend name change 10/09 name changed to Western As

47. - Western Asset 2008 Worldwide Fd name change 10/09 new name flea Salomon Bros

48. - Western Asset 2008 Worldwide Fd A Dividend sell 11/16 J

49. TRUST #1 Bear Steams Brokerage Account G div& int Pl T trust assets listed below

50. - Dreyfus General Money Market Fund

51. - Chicago IL Motor Fuel Tax Rev Rfdg

1. Income Gain Codes; A =Sl,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D=$5,001 -$15,000 E=$15,001 -$50,000

(Sec.ColumnsBl and 04) F =SS0,001 -$100,000 G =Sl00,001 - $1,000,000 Hl =Sl,000,001 • $5,000,000 H2=More than SS,000,000

2- Value Codes J =$15,000 or less K=Sl5,001 - $50,000 L=$50,001 -$100,000 M =Sl00,001 - $250,000

(See Columns Cl and 03) N=$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2=$5,000,001 -$25,000,000

3. Value Method Codes P3=$25,000,001 -$50,000,000 R=Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(Sec Column C2) Q =Appraisal V=Other S=Assessment


c.

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

99A


Page 7 of23 Herndon, David R 04/'23/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 offiling instructionsJ


A. Description of Assets

( including trust assets)

Place"(X)" aftereach asset exempt from prior disclosure

B. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period

Type(e.g.m (2) (3) (4) (5)

Amount Value Value Type(e.g. Date Value Gain Identity of Code1 div., rent, Code2 Method buy, sell, Month- Code2 Code1 buyer/seller (A-H) or int.) (J-P) Gode3 redemption) Day (J-P) (A-H) (if private

(9-W) transaction)

52. - Clear Lake City Tex Wtr Auth GO Rfdg mun bond

53. - Austin Tex G/0 Pub IMPT 8/15/01 5% buy 04/19 N

54. - Deschutes Cnty Ore Sch Dist

55. - Eagle Garfield & Routt CNTYS colo sch dist

56. - Eagle Garfield & Routt Cntys Colo Sch Dist

57. - FL St Div Bd Fin Dept Rev Gen! Svcs Rev Env Protn mun

·

58. - Fort Bend TEX lndpt Sch Dist 02/15/2006 mun bond

redeemed 02/15 M

59. - Hawaii State GO Rfdg Ser Co 03/01/2008

60. - Norfolk VA G/0 RFDG & Cap Impt dtd 6/15/98 5%

61. - IL Dev Fin Auth Pollution Rev Rfdg Comwlth EdBEO mun

redeemed 12/01 L

62. - Lewis Cnty Wash Pub Util Dist

63. - Long Island Pwr Auth

64. - MO St Health & Edi Faes Rev Rfdg StLU BEO Oid mun bond

redeemed 10/02 L

65. - Puerto Rico Muni Fin Agy Rev Fa Ser BEO mun bond

66. - Puerto Rico Mun Fin Agy GO Ser A 8/01/2011

67. - Wayne Charter Cnty Mich Airport Rev Detroit Metro BEO mun

68. - Gulf Breeze Fla Rev Var Loe GO 12/01/85 buy 05/08 M

1. Income Gain Codes: A 41,000 or less B 41,001 - $2,500 c =$2,501 • $5,000 D 45,001 - $15,000 E 415,001 - $50,000

(See Columns Bl and D4) F 450,001 -$100,000 G 4100,001 -$1,000,000 HI 41,000,001 - $5,000,000 H2=More than $5,000,000

2. Value Codes J 415,000 or less K 415,001 - SS0,000 L 450,001 - $100,000 M 4100,001 - $250,000

(See Columns Cl and 03) N 4250,001 -$500;000 0 4500,001 -Sl,000,000 Pl 41,000,001 - $5,000,000 P2 45;000,001 - $25,000,000

3. Value Method Codes P3 425,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraisal V=Olhcr S ;:;Assessment

U=BookValue W=Estimated

Gain

(Q.;W)

(1) (2) (5) Type(e.g. Type(e.g.

(J-P)



VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) -


A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

(2) (3) (4)(1) (2) (1) Amount Value Yalu Value Identity of DatePlace "(X)" after each asset Code 1 Code 2 Code 1Method C:OOe2 div., rent, buy, sell, buyer/sellerexempt from prior disclosure Month -(A-H) or int.) Code3· Dayredemption) (J,P) (A-H) (if private

transaction)

4%

69. -Atlas Pipeline Partners buy 05/03 K

70. -Accenture Ltd Cl A buy 02/09 K

71. -Accenture Ltd Cl A buy 06/15 K

72. -Accenture Ltd Cl A partial sell 07/20 K

73. - AES Corp buy 04/25 K

74. -American Express sell 07/21 K D

75. -Amgen Inc

76. - Bed Bath & Beyond Inc sell 08/10 K

77. - Caremark RX Inc buy 03/07 K

78. - Caremark RX Inc buy 04/20 J

79. - Central Garden & Pet Co buy 01/17 K

80. - Citigroup Inc cmn

81. - Cohan & Steers Total Return Realty Fund sell 01/26 L D

82. - Colgate Palmolive Co buy 02/09 K

83. - Energy Transfer Partners LP buy 05/03 K

84. - Enterprise Products Partners LP partial sell 05/03 J A

1. Income Gain Codes: A =Sl,000 or less B =Sl,001 - S2,500 c=$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 • $50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =SI00,001 - Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000

:Z. Value Codes J =$15,000 or less K =SJS,001 - SS0,000 L =$50,001 -$100,000 M =SI00,001 -$250,000 (See Columns Cl and 03) N=$250,001 - $500,000 0 =SS00,001 • Sl,000,000 Pl41,000,001-$5,000,000 P2 =S5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Rcal Estate Only) P4 =More than SS0,000,000 T =Cash Market (See Column C2) Q =Appraisal V=Othcr S =Assessment


Gain

Name of Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT





{including trust assets)

B. Income during

reporting period

c. Gross value at end of

reporting period

D. Transactions during reporting period

Place "(X)" after each asset xempt from prior disclosure e

(1) Amount Code 1 (A-H)

(2) Type(e.g. div., rent,

or int.)

(1) Value

Code 2 (J-P)

(2) Value

Method Code3

(Q'W)

(1) Type(e.g. buy, sell, redemption)

(2) Date Month-Day

(3) Value Code 2

(J-P)

(4)

Code 1 {A-H)

(5) Identity of buyer/seller (if private transaction)

85. - Exxon Mobil

86. - Fortune Brands Inc

87. - Fiserv Inc

88. - G2 Absolute Return Fund

89. - General Electric Co

90. - Holly Energy Partners LP

91. - Home Depot Inc cmn

92. - Honeywell Intl Inc

93. - Intel Corp cmn

94. - Ishares S&P Smallcap 600 Barra Value Index fd US

95. - Ishares Trust S&P Midcap 400 Index Fd IJH

96. - Ishares Trust MSCI EAFE Index Fd EFA

97. - Ishares MSCI Pacific Ex-Japan Index fd EPP

98. - Ishares Trust MSCI Emerging Markets Index Fd EEM

99. - Ishares Inc MSCI Japan Index Fund symbol EWJ ..

100. - Ishares Trust Div Index Fund symbol DVY

101. - K-Sea Transportation Partners LP

sell

sell

buy

sell

buy

sell

sell

buy

buy

02/09 K A

08/18 K

05/04 K

03/08 K E

08/18 K

05/19 K

05/12 L D

05/12 L

05/03 K

1. Income Gain Codes: A =Sl,000 or less B =Sl,001 • $2,500 C=S2,501-S5,000 D =S5,001 - $15,000 E=Sl5,001 - $50,000

{See Columns Bl and 04) F=$50,001 -$100,000 G =Sl00,001 -$1,000,000 HI =Sl,000,001 -$5,000,000 H2 =More lhan $5,000,000

2 Va1ue Codes J =Sl5,000 or less K =$15,001 - SS0,000 L =SS0,001 - SI00,000 M =Sl00,001 - $250,000

{See Columns Cl and D3) N =$250,001 - SS00,000 0 =SS00,001 - Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2 =55,000,001 - $25,000,000

P3 =S25,000,001 - SS0,000,000 P4 =More than SS0,000,000

{See Column C2) V=Otber

3.Value Method Codes R =Cosl {Real Eslale Only) T =Cash Market O=Appraisal S=Assessment





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

A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period


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

exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, Month- Code2 Code l buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J"P) (A-H) (if private

(Q-W) transaction)

102. - Kinder Morgan Energy Partners partial sell 05/03 K E

103. - Linear Technology Corp sell 04/20 K

104. - Magellan Midstream Partners buy 05/03 K

105. - MetLife Inc.

106. - Microsoft Corp cmn

107. - Morgan Stanley

108. - Nasdaq Stock Market Inc symbol NDAQ buy 07/21 K

109. - News Corporation buy 03/08 K

110. - Northern Border Partners LP buy 05/03 K

111. - Northern Border Partners LP name changed 05/23 see Oneok Partners LP

112. - Oneok Partners LP fka Northern Border name change 05/23 new name Pamters

113. - Plains All American Pipeline LID partial sell 03/31 K D Partnership

114. - Plains All American Pipeline Ltd merger 11/17 see Pacific now Partnership Plains

115. - Pacific Energy Partners buy 05/03 K later merged into Plains

116. - Pacific Energy Partners now Plains All merger 11/17 See Plains All American American

117. - Qualcomm Inc buy 05/19 K see below for sale in same

118. - Qualcomm Inc sell 11/09 K

1. Income Gain Codes: A =Sl,000 or Jess B =Sl,001 -$2,500 c =$2,501 • $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(See Columns Bl and 04) F=$50,0f)l - $100,000 G =Sl00,001 -Sl,000,000 Hl =Sl,000,001 - $5,000,000 H2 =More than SS,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

(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Melbod Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Eslale Only) P4 =More lhan $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessmcn1


(J"P) (Q-w)

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 11of23 Herndon, David R 04/23/2007




(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

B. c. D. Income during Gross value at end of Transactions during reporting period


(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type(e.g. Vruue Vaiue Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code2 Method buy, Sell, Month- Code 2 Codel buyer/seller (A-H) or int.) Code} redemption) Day (J-P) (A-H) (if private

transaction)

119. - Regency Energy Partners LP buy 05/03 K

120. - Select Sector s · PDR Amex Utilities Index

symbol XLU sell 04/17 K D

121. - Sector SPDR Trust int Energy symbol XLE

122. - Select Sector SPDR Fund -Health Care-symbol XL V

sell 03/08 K B

123. - Sector Spdr Trust-Consumer Staples-XLP sell 02/10 K

124. - Select Sector SPDR Fund Int Materials symbolXLB

125. - Salomon Brothers 2008 Worldwide FD name changed 10/09 see Western Asset 2008WW

126. - Symantec Corporation

127. - Symantec Corporation buy 06/15 K

128. - Symantec Corporation partial sell 12/07 K

129. - Teppco Partners LP sell 05/02 K

130. - Target Corp sell 01/05 K D

131. - Target Corp buy 08/10 K

132. - United Technologies Corp

133. - Valero LP sell 05/02 K A

134. - Walgreen Co sell 11/02 K D

135. - Western Asset 2008 Worldwide flea name change new name-fka

1. Income Gain Codes: A =Sl,000 or Jess B =Sl,001 - $2,500 c=$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns Bl and 04) F =SS0,001 - $100,000 G =Sl00,001 - Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =Morc·than $5,000,000

2 Value Codes J =$15,000·or less K =$15,001 - $50,000 L =SS0,001 - $100,000 M =$100,001- $250,000

(See Columns Cl and D3) N =$250,001 - $500,000 O =$500,001 • Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost(Real Estate Only) P4=More than $50,000,000 T =Cash Market


U =Book Vaine W=Estimated

A.



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse ond dependent children. See pp. 34-60 of filing instructions.)


Description of Assets

( including trust assets)

Place "(X)" ;iftet each asset exempt from prior di5closure

B. c. D.

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

(1) Amount coo.: 1 (A-H)

(2)

Type(e.g. div., rent,

or int.)

(1) Value

Code2 (J-P)

(2) Value

Method

Code3

(Q"W)

(1) Type(e.g.

buy,seU,

redemption)

(2) Date

Month-

Day

(3) Value

Code2

(J-P)

(4) Gain

Code 1

(A-H)

(5) ldeQtity of

buyer/seller

(if private

transaction)

Salomon 2008 Salomon Bros

136. - Weatherford Intl Ltd-Bermuda buy 11/09 J

137. - Yahoo Inc buy 12/07 J

138. TRUST #2 Bear Stems Brokerage Account D Int./Div. N T assets detailed below

139. -Dreyfus General Money Market Fund B

140. -Accenture Ltd Cl A buy 02/09 J


142. -Accenture Ltd QA partial sell 10/18 J

143. -AES Corporation buy 04/25 J

144. -American Express Company sell 07/21 J B

145. -Amgen Inc

146. -Bed Bath & Beyond Inc sell 08/10 J

147. -Caremark RX Inc buy 03/07 J


149. -Central Garden & Pet Co

150. -Citigroup Inc

151. -Colgate Palmolive Co buy 02/09 J

1. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,500 C =$2,501 - $5,000 D =$5,001 - $15;000 E =$15,001 -$50,000

(Sec Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 -Sl,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001 -$50,000 L =SS0,001-$100,000 M =$100,001-$250,000

(See Columns Cl aod 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 -SS0,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(Sec Column C2) Q=Appraisal V=Othcr S=Assessment

U =Book Value W=Estimated

(1) (1) (1) (5) Type(e. ;


Page 13 of23 Herndon, David R 04123/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse anddependent children. See pp. 3Ui0 of filing instructions.) -


A. B. c. D. Description of Assets Income during G ss ,value at end of Transactions during reporting period

(including tnist ts) reporting period reporting period

(4)(2) (3)(2)(2) AmountPlace "(X)" after each, 3ss!:t Value Value GainType(e.g. Date Value Identity of Code 1exempt from prior disciosure div., rent, Code2 Method Code 1buy, sell, Month- Code 2 buyer/seller (A-H) or int) Code3 redemption) (if privateDay (A-H)(J-P) (J-P)

(Q-W) tranSaction)

152. -Exxon Mobil Corp

153. -Fiserv Inc sell 02/09 J A

I54. -Fortune Brands Inc

155. -General Electric Co sell 08/18 J

156. -Honeywell Intl Inc buy 08/18 J

157. -Ishares Trust Midcap 400 Index Fund symbol UH

158. -Ishares Trust MSCI EAFE Index Fund symbolEFA

buy 05/12 K

159. -Ishares MSCI Emerging Markets Index FundEEM

160. -!shares Tr Sel Div Index Fund symbol DVY

161. -!shares Inc MSC! Japan Index Fd symbol EWJ

162. -!shares MSC! Pacific ex-Japan Index Fd symbol EPP

163. -!shares Trust S&P Small Cap 600 Barra sell 05/12 K c symbol !JS

164. -Home Depot sell 03/08 J c

165. -Intel Corp sell 05/19 J

166. -Kinder Morgan Energy Partners LTD partnership

167. -Linear Technology sell 04/20 J

168. -Metlife

1. Income Gain Codes: A =Sl,000 or less B =Sl,001 -$2,500 C =$2,501 - $5,000 D =$5,001-$15,000 E =$15,001 • $50,000 (See Columns Bl and 04) F=$50,001 - $100,000 G =$100,001 -Sl,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000

2Value Codes J =$15,000 or less K =$15,001-$50,000 L=SS0,001 • $100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2=$5,000,001 -$25,000,000

3.Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost(Rcal Estate Only) P4 =More lhan $50,000,000 T =Cash Market (See Column C2) Q=Appraisal V=Otber S =Assessmenl


A



vn. INVESTMENTS and TRUSTS - income, value, transat:tions (Includes those of the spouse and dependent children. See pp. 34-60 of fiJjng instructions.)


B. c. D. Description of A ssets Income during Gross value at end of Transactions during reporting period


(1) (2) (1) (2) (1) (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 1 div., rent, Code 2 Method buy,sell, Month- Code2 Code 1 buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

169. -Microsoft Corp

170. -Morgan Stanley

171. -Nasdaq Stock Market Inc symbol NDAQ buy 07/21 J

. 172. -News Corporation buy 03/08 J

173. -Qualconn Inc buy 05/19 J see below for sale in same

174. -Qualcomm Inc sale 11/09 J

175. -Select Sector SPDR Amex Utilities symbol sell 04/17 J B XLU

176. -Sector SPDR Trust Energy symbol XLE

177. -Select Sector SPDR Health Care symbol sell 03/08 J A XLV

178. -Select Sector SPDR Materials symbol XLB

179. -Symantec Corporation

180. -Symantec Corporation buy 06/15 J

181. -Symantec Corporation partial sell 12/07 J

182. -Target Corp sell 01/05 J

183. -Target Corp buy 08/10 J

184. -United Technologies Corp

185. -Walgreens Co sell 11/02 J B

1. Inrome Gain Codes: A =Sl,000 or less B =Sl,001 - $2,500 c =$2,501 - $5,000 D =SS,001 - $15,000 E =S!5,00I - $50,000

(Sec Columns Bl and.04) F =$50,001 -$100,000 G =$100,001 • $1,000,000 HI =Sl,000,001 -$5,000,000 H2=More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -SJ00,000 M =$100,001 -$250,000

(See Columns Cl and D3) N =$250,001 - $500,000 0 =S500,00I - Sl,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4=More than SS0,000,000 T =Cash Market



B.

Name of Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT

Page 15 of23 Herndon, David R 04123/2007






c. D. Income during Gross value at end of Transactions during reporting period


(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type(e.g. Value Value Type(e.g. Date Value Gain ldentityof Code 1 div.,. rent, Code 2 Method buy, sell, Month- Code 2 Code l buyer/seller (A--H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

186. -Weatherford International Ltd Bermuda buy 11/09 J

187. -Yahoo Inc buy 12/07 J

188. TRUST #3 Bear Stems Securities Corp D Int./Div. N T assets detailed below

189. -Dreyfus General Money Market Fund Cl B



192. -Accenture Ltd Cl A partial sell 10/18 J

193. -AES Corporation buy 04/25 J

194. -American Express Company sell 07/21 J B

195. -Amgen Inc

196. -Bed Bath & Beyond Inc sell 08/10 J



199. -Central Garden & Pet Co

200. -Citigroup Inc

201. -Colgate Palmolive buy 02/09 J

202. -Exxon Mobil Corp

I. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D =SS,001 -$15,000 E =SIS,001 -$50,000

(See Columns Bl and 04) F =$50,001 -$100,000 G =SI00,001 -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More 1han SS,000,000

2. Value O!<fes J =$15,000 or less K =Sl5;001 -$50,000 L =S50,00I -$100,000 M =SI00,001 -$250,000

(See Columns ci and 03) N =$250,001 -$500,000 0 =SS00,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =S5,000,00I - $25,000,000

3. Value Metbod'Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Eslale Only) P4 =More lhan $50,000,000 T =Cash Markel

(See Column C2) Q=Appraisal V=Otber S =Assessment


Fe



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructionsJ




B. Income during

reporting period


reporting period


Pface "(X)" after each asset exempt from prior disclosure

(1) Amount Code 1 (A-H)

(2) Type(e.g. div rent,

or int.)

(1) Value Code2 (J-P)

(2) Value

Method Code3

(Q-W)


(2) Date Month -Day

(3) Value Code2

(J-P)

(4) Gain Code 1

(A-H)

(5) Identity of buyer/seller

(if private transaction)

203. -Fiserv Inc sell 02/09 J A

204. -Fortune Brands Inc

205. -General Electric sell 08/18 J

206. -Honeywell Intl Inc buy 08/18 J

207. -!shares Inc MSCI Japan Index Fd symbol EWJ

208. -!shares S&P Small Cap 600 Barra Index symbol IJS

sell 05/12 K c

209. -!shares Trust Midcap 400 Index Fd symbol IJH

210. -!shares Trust MSCI EAFE Index Fd symbo EFA

buy 05/12 K

211. -!shares Inc MSC! Pacific ex-Japan Index symbol EPP

212. -!shares Trust MSCI Emerging Markets EEM

213. -!shares Tr Sel Div Index Fd symbol DVY

214. -Home Depot Inc sell 03/08 J c

215. -Intel Corp sell 05/19 J

216. -Kinder Morgan Energy Partners LTD Partnership

217. -Linear Technology sell 04/20 J

218. -Metlife Inc

219. -Microsoft Corp

1. Income Gain Codes: A =Sl,000 or less B =Sl,001 - $2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000

(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =More rhan $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

(See Columns Cl and D3) N =$250,001 - SS00,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Ooly) P4 =More than $50,000,000 T =Cash Market



(2)



vn. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


A. Description of Assets (including trust assets)


B. c. D. Incomeduring Gross value at end of Transactions during reporting period reporting,period reporting period

(1) Amount q,ii ei (A·H)

Type(e.g. div., rent,

or,int.)


(2) Value

Method Code3 (Q-W)


(2) Date Month-Day


(4) Gain Code1 (A-H)

(5) Identity of buyer/seller (ifprivate tranSaction)

220. -Morgan Stanley

221. -Nasdaq Stock Market Inc symbol NDAQ buy 07/21 J

222. -News Corporation buy 03/08 J

223. -Qualcomm Inc buy 05/19 J see below for sale in same

224. -Qualcomm Inc sell 11/09 J

225. -Select Sector SPDR Amex Utilities Index XLU

sell 04/17 J B

226. -Select SPDR Trust Energy symbol XLE

227. -Select Sector SPDR Fund Health Care symbolXLV

sell 03/08 J A

228. -Select Sector SPDR Fund Materials symbol XLB

229. -Symantec Corporation

230. -Symantec Corporation buy 06/15 J

231. -Symantec Corporation partial sell 12/07 J

232. -Target Corp sell 01/05 J

233. -Target Corp buy 08/10 J

234. -United Technologies Corp

235. -Walgreens Co sell 11/02 J B

236. -Weatherford International Ltd Bermuda buy 11/09 J

I. Income Gain Codes: A =Sl,000 or less B =Sl,001-$2,500 c =$2,501 • $5,000 D =SS,001 - $15,000 E =Sl5,00I • SS0,000

(See Columns Bl and 04) F =$50,001 • $100,000 G =SI00,001 • Sl,000,000 HI =Sl;000,001 • $5,000,000 H2=More 'than SS,000,000 2 Value'Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 • $100,000 M =SI00,001 - $250,000

(See Columns Cl and 03) N =$250,001 • SS00,000 0 =SS00,001 - Sl,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cosl (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q=Appraisal V=Otber S =Assessment




VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34.(iO of filing instructions.)




B. c. D. rncome during Gross value at end of Transactions during reporting period


(1) (2) (1) ' (2) (1) (2) (3) (4) (5) Amount Type(e.g. Value Value Type(e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or inL) (J-P) Code3 redeinptioi:t) Day (H) (A-H) (if'privare

(Q-W) transaCjibil)

237. -Yahoo Inc buy 12/07 J

238. TRUST #4 Bear Stems Brokerage Account c Dividend M T assets detailed below

239. -Dreyfus General Money Market Fund B

240. -Ishares Inc MSCI Japan Index Fd symbol EWJ

241. -Ishares Trust S&P Smallcap 600 Barra sell 05/12 J B Value IJS

242. -Ishares Trust S&P Midcap 400 Barra Value indexIJJ

243. -Ishares Trust S&P Midcap 400 Barra sell 09129 J B Growth Index IJK

244. -Ishares Trust US Telecomm Sector Index partial sell 09/15 J A FDIYZ

245. -Ishares Trust S&P 500 Index symbol IVE buy 09/29 J

246. -Ishares Trust MSC! EAFE Index Fd symbo buy 05/12 J EFA

247. -Ishares Inc MSCI Ex Japan Index Fd EPP

248. -Ishares Trust MSC! Emerging Markets lndexEEM

249. -!shares Tr Se! Div Index Fd-DVY

250. -Select Sector SPDR Amex Utilities Index symbolXLU

251. -Select Sector SPDR Amex Utilities Index symbolXLU

buy 09/15 J

252. -Sector SPDR Trust-Industrial-symbol XL!

253. -Sector SPDR Trust-Technology-XLK

•

J. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =SJ5,001 -$50,000

(Sec Columns Bl and·D4) F =$50,001 - $100,000 G =SJ00,001 - SJ,000,000 HI =Sl,000,001 - $5,000,000 H2=More than SS,000,000

2.Value Codes J =.515,000 or less K =$15,001 - $50,000 L =$50,001 - SJ00,000 M =SJ00,001 - $250,000

(Sec Columns CJ and D3) N =$250,001 - SS00,000 0 =SS00,001 - $1,000,000 Pl =SJ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - SS0,000,000 R =Cost (Real Estate Only) P4=More than $50,000,000 T =Cash Market

(Sec Column C2) Q=Appraisal V=Other S =Asscssmcut




VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34 0 of filing instructions.)



B. Income during

reporting period


reporting period



(1) Amount Code 1 (A-JI)

(2) Type(e,g. div;, rent,

or int.)

(1) Value

Code 2 (J-P)

(2) Value

Method Code3 (Q-W)


(2) Date Month-Day

(3) Value Code 2 (J-P)

(4) Gain Code 1

(A-JI)

(5) Identity of buyer/seller (ifprivate transaction)

254. -Sector SPDR Trust-Technology-XLK buy 09/15 J

255. -Sector SPDR Trust-Energy-symbol XLF

256. -Sector SPDR Trust-Energy-symbol XLF buy 09/15 J

257. -Sector SPDR Trust-Energy-XLE

258.

259.

-Sector SPDR Trust-Energy-XLE

-Select Sector SPDR Fund-Consumer Discretionary-XLY

buy 09/15 J

260. -Select Sector SPDR Fund-Consumer symb XLY

buy 09/15 J

261. -Select Sector SPDR Fund - Health Care -XLV

262. -Select Sector SPDR Fund- Health Care -XLV

buy 09/15 J

263- -Sector SPDR Trust-Consumer Staples-XLP flea Select Spdr Trst

264. -Sector SPDR Trust -Consumer Staples XLP buy 09/15 J

265. -Select Sector SPDR Fd Int Materials XLB

266. TRUST #5 Bear Steams Brokerage Account B Dividend L T Assets detailed below.

267. -Dreyfus General Money Market Account

268. -Ishares Inc MSCi Japan Index fd EWJ

269. -!shares Trust S&P Small cap 600 Barra Value IJS

sell 05/12 J A

270. -!shares Trust S&P Midcap 400 Barra Value

l. lncpm e Gain Cedes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 ,

(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =Sl,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 orless K =$15,001 -SS0,000 L =$50,001 -$100,000 M =$100,001 - $250,000

(See Columns Cl and 03) N =$250,001 - $500,000 0 =SS00,001 - 1.000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cosl (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(Sec Column C2) Q=Appraisal V =Other S =Assessme nt

U =Book Value W =Es!im ated

Gain

symbol





A. B. c. D. Desc ription of Assets Inc ome du ring Gross value at end of Tra nsaction s during reporting period

(inclu ding trust assets) reporting period r eporting period

(1) (2) (1) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset Am ou n.t Type(e.g. Value Value Type(e,g. Date Value Identity of

exempt from prior discl osure Code! div., rent, Code2 Method l!uy,sell, M onth - Code2 Code 1 buyer/seller (A-H) or int.) (J-P) eode3 redemption) Day (J"P) (A-H) (if private

(Q-W) transaction)

IJJ

271. -Ishares Trust S&P Midcap 400 Barra sell 09/29 J A Growth IJK

272. -Ishares Trust Dow Jones US Telecomm Sector IYZ

273. -Ishares Trust S&P 500 Value Index Symbol buy 09/29 J IVE

274. -Ishares Trust MSCI EAFE Index Fd buy 05/12 J EFA

275. -Ishares Inc MSCI Pacific Ex-Japan Index EPP

276. -Ishares Trustr MSCI Emerging Markets Indexfd EEM

277. -Ishares Tr Dow Jones Se! Div Index Fd DVY

278. -Select Sector SPDR Amex Utilities XLU

279. -Select Sector SPDR Amex Utilities symbol buy 0915 J XLU

280. -Sector SPDR Trust Shs ben int Industrial XLI

281. -Sector SPDR Trust Shs ben int Industrial buy 09/15 J XU

282. -Sector SPDR Trust Shs ben int Technology XLK

283. -Sector SPDR Trust Shs ben int Technology buy 09/15 J XLK

284. -Sector SPDR Trust shs ben int Financial XLF

285. -Sector SPDR Trust shs ben int Financial buy 09/15 J XLF

286. -Sector SPDR Trust shs ben int Energy

1. IncomeGain Codes: A =Sl,000 or less B =Sl,001 • S2,500 C =S2,501 • SS,000 D =SS,001 - $15,000 E =SIS,001 • $50,000

(See Columns Bl and D4) F =$50,001 - $100,000 G =SI00,001 - Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 ==More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 · L =SS0,001 - $100,000 M =$100,001 -$250,000

(See Columns Cl and D3) N =$250,001 • $500,000 0 =S500,00I - Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Melbod Codes P3 =$25,000,001 • SS0,000,000 R =Cos! (Real Estate Only) P4=More lhan $50,000,000 T =Cash Market Q=Appra.isal S =Assessment

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

(1) (1) Ambliilt Codel

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34 0 of filing instructions:) -


A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

( including trust assets) reporting period reporting period

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

exempt from prior disclosure div., rent, Code2 Method b!ly;SCII, Month - Code2 Codel buyer/seller (A-H) or int.) (J-P) Code3 reilemption) Day (J-P) (A-H) (if private

(Q-W) lraljsaction)

symbol XLE

287. -Sector SPDR Trust shs ben int Energy symbol XLE

buy 09/15 J

288. -Select Sector SPDR Fund shs ben Consumer Discretionary XL Y

289. -Select Sector SPDR Fund Consumer symbol XLY

buy 09/15 J

290. -Select Sector SPDR Fund Health Care symbol XLV

291. -Select Sector SPDR Fund Health Care symbolXLV

buy 09/15 J

292. -Sector SPDR Trust Consumer Staples XLP

293. -Sector SPDR Trust Consumer Staples XLP buy 0915 J

294. -Select Sector SPDR fd Int Materials XLB

295. TRUST #6 Bear Steams Brokerage Account Dividend K T opened 12/13

296. Dreyfus General Money Market Account buy 12/13 K

1. Inrome Gain Codes: A =SI ,000 or less B =Sl,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 • $50,000

(Sec Columns Bl and D4) F =$50,001 - $100,000 G =SI00,001 -Sl,000,000 HI =Sl,OOO;OOi - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =SS0,001 - $100,000 M =SI00,001 -$250,000

(Sec Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 T =Cash Market

(Sec Column C2) V=Othcr

3. Value Method Codes R =Cost (Real Estate Only) Q=Appraisal S =Assessment


Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT


VIII. ADDffiONAL INFORMATION OR EXPLANATIONS. c1ndica1epartofReport.J

Lines 46, 47 & 125, 135 Salomon Brothers 2008 Worldwide Mutual Fund changed its name in October 2006 to Western Asset 2008 Worldwide Fund

Lines 111, 112 Northern Border Partners Ltd. Partnership changed its name in May 2006 to Oneok Partners LP

Lines 114-116 Plains All American Pipeline LTD merged with Pacific Energy Partners in November 2006. The name of the surviving partnership is Plains All American Pipeline Ltd .

. Lines 18-21 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.

Lines 42, 44, 50, 139, 189, 239, 267, and 296, Dreyfus General Money Market Fund 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 funds with great frequency and no attempt was made to distinguish each transaction unless specifically requested.

All trust assets are accounted for herein. According to your instructions, the aggreagate income and values were reported. 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 committee's inspection upon request.

_____ _ ._ ____

.· ....

Page 23 of23


Herndon, David R 04/23/2007

IX. CERTIFICATION.

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

Signature Date

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

D : s - Judicial Watch · Report Required by the Ethis AOlO FINANCIAL DISCLOSURE REPORT . in Govenment Act of1978. Rev, 1/2007 . FOR CLEDAR R 2006 (5 U.. app. §§ 101-111) 1. Peson