# David R. Herndon

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/3372

## Record

- **Judge:** David R. Herndon
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 21

## Text

First Clover Leaf Bank Checking account — Interest
Bank of Edwardsville Checking account — Interest
IRA Account Pershing IRA Account (H)
IRA) Allergan PLC — None — Sold (part) — oss
IRA) Allergan PLC — Sold — loss
IRA) Bristol Myers Squibb Co common — Int/Div — Buy
IRA) Perigo Co PLC shs — Int/Div — Sold — ss
IRA) Nielson Holdings PLC Shs NLSN — Int/Div
IRA) PayPal Hidgs Inc Com — None
IRA) Alphabet Inc Cap Stk CI A — None
IRA) Alphabet Inc Cap Stk C1 A — None — Buy (add'l)
IRA) Amencan Express Comp — Int/Div — Buy
IRA) American Express Comp — Int/Div — Buy (add'l)
IRA) American Express Comp — Int/Div — Buy (add'l)
IRA) Bank of New York Mellon Corp Com — Int/Div — Sold (part) — oss
IRA) Bank of New York Mellon Corp Com — Int/Div — Sold — oss
IRA) Moody's Corp Com — Int/Div — Sold
IRA) Pepsico Inc Com — Int/Div — Buy
IRA) West Pharmaceutical Sves Inc Com — Int/Div — Sold (part)
IRA) Vanguard Intl Equity Index Fds FTSE Europe ETF — Int/Div — Sold — oss
IRA) Drevius Treasury Prime MM — Interest
1. TRUST #1 Pershing Brokerage Account (Hy
Dreyfus Treasury Prime Inv MM — Interest
Deschutes Caty Ore Sch Dist 5.25% — Interest — Redeemed
State Pub Sch Bldg Auth PA Sch Rev £2549, — Interest — Redeemed
Connecticut St Ser C 5% 11/1/21 B/E — Interest
Indiana Univ Revs Student Fee Ser S 5% 22108 — Interest
Metropolitan Govt Nashville Davidson 5% SAS23 820k — Interest
Metropolitan Govt Nashville Davidson 5% S/15/23 $80k — Interest
Metropolitan Govt Nashville Davidson 5% 1101725 $50k — Interest
Conroe Tex Indpt Sch Dist RFDG 5% 2/15/24 $385k — Interest — Sold (part) — pre-refunded
Conroe Tex Indpt Sch Dist RFDG 5% 2/1524 $115k — Interest — Open — changed; No Sule
Humble Tex Indpt Sch Dist Sch Bldg 5% 21/06 — Interest — Redeemed
Tennessee St Rfdg-Ser A 4% 08/1/25 — Interest
Abilene Tex CTFS Oblig 5% 2/15/26 — Interest
Victoria Tex Indpt Sch Dist Sch Bldg 5% «1507 — Interest
Washington St RFDG Var purp Ser R-2015E 5% 7/126 — Interest — Buy
Washington St Var Purp did 5% 8/1/26 — Interest
Keller Tex Indpt Sch Dist Sch Bldg 5% RI15726 — Interest
Gainesville Fla Utils Sys Rev Ser A 5% 100126 — Interest
Arlington Tex Indpt Sch Sch Dist 5% R1527 — Interest
Missouri St Brd Pub Bldgs Spl Oblg 4.5% — Interest — Redeemed — Called loss
North Carolina St Pub Impt Ser A 5% 414/10 — Interest
Germantown Tenn RFDG & Impt-Ser A £00 06/0127 — Interest — Buy
Metropolitan Govt Nashville & Davidson S00 711127 — Interest — Buy
Indiana St Fin Auth Rev RFDG-St Revolving Green 5% — Interest — Buy
Clear Creek Tex Indpt Sch Dist 5% 02/1528 — Interest
Washington St RFDG-Various purp ser R 201 SE $%07/01/28 dud 2/4/15 — Interest — Buy
Denton Tex Indpt Sch Dist RFDG 5% RNS57282/15828 — Interest — Buy
HanesBrands Inc Gtd Sr Nt 6.375% 12/1520 — Interest — Redeemed — Called at a loss
HCA Inc Sr Note 8.0% 10/01/18 — Interest
Southwestern Energy Co Med Term Notes T.125% — Interest — Sold — ss
MGM Resorts Intl Sr Nt 6.75% 1001/20 — Interest
Nielsen Fin LLC 4.5% 10001/20 — Interest
Allergan Plc Com Shs — None — Sold (part) — oss
Allergan Plc Com Shs — None — Sold — ss
AONPLCshsClIA — Int/Div — Buy
AONPLCshsClA — Int/Div — Buy (add'l)
Accenture PLC Ireland Shs C1 A ACN — Int/Div — Sold (part)
Amencan Tower REIT com — Int/Div — Sold (part)
Perrigo Co PLC Shs — Int/Div — Sold — oss
Altria Group Inc Com — Int/Div — Buy
Amazon Com INC — None — Buy
Apple Inc — Int/Div — Sold (part)
Bank of America Corp — Int/Div — Sold — oss
Bank of New York Mellon Corp — Int/Div — Buy — sell m same period
Bank of New York Mellon Corp — Int/Div — Sold (part) — loss
Bank of New York Mellon Comp — Int/Div — Sold — oss
Boeing Co Com — Int/Div
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy (add'l)
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy (add'l)
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy (add'l)
CBS Corp CL B Com — Int/Div — Sold (part) — loss
Colgate Palmolive Co — Int/Div — Sold (part)
Energy Transfer Equity L.P — Distribution
Enterprise Products Partners L.P — Distribution
Equifax Inc — Int/Div — Buy
Exxon Mobil Corp — Int/Div — Buy
Exxon Mobil Corp — Int/Div — Buy (add'l)
General Electric Co Com — Int/Div
Goldman Sachs Group Inc Com — Int/Div — Buy
Honevwell Intl Inc — Int/Div
AdvanSix Inc Com — None — from line 83) — from Honeywell
AdvanSix Inc Com — Sold
Jarden Corp Com — None — Sold (part)
Jarden Corp Com — None — Sold (part)
Jarden Corp Com — Distribution — with lime 98) — merged to Newell Br
Las Vegas Sands Corp Com — Int/Div
Lowes Companies Inc — Int/Div — Sold
Microsoft Corp Com — Int/Div — Buy
MPLX LP Com Unit Repstg Ltd Partner — Distribution
MPLX LP Com Unit Repstg Ltd Partner — Distribution — Buy (add'l) — oss
MPLX LP Com Unit Repstg Ltd Partner — Sold — oss
Moodys Corp Com — Int/Div — Sold (part)
Moodys Corp Com — Sold
Newell Rubbermaid Inc Com — Int/Div — Closed — changed after merger
Newell Brands Inc Com — Int/Div — Open — merged to Newell B
Newell Brands Inc Com — Sold (part)
Paychex Inc Common — Int/Div — Buy
Plains All American Pipeline L.P — Distribution
Raytheon Co Common New — Int/Div — Buy
Thermo Fisher Scientific Inc Com TMO — Int/Div
Verizon Communications Com — Int/Div
West Pharmaceutical Sves Ine Com — Int/Div — Sold (part)
Williams Partners L.P. New Com Unit Ltd — None — Sold — loss
KKR Fil Hidgs LLC PFD Ser A LLC — Distribution
Starwood Ppty Tr Inc Com — Int/Div
Starwood Ppty Tr Inc Com — Int/Div — Buy (add'l)
Alps ETF Tr Alerian MLP Etf — Int/Div
Vanguard Intl Equity Index Fds FTSE Europe ETF — Int/Div — Sold — oss
Wisdom Tree Tr Europe Hedged Equity Fd — None — Sold — loss
2. TRUST #2 Pershing Brokerage Account (Hy
Drefus Treasury Prime MM — Interest
Allergan Plc Com Shs — None — Sold (part) — oss
Allergan Plc Com Shs — Sold — loss
AON Plc Shs C1 A — Int/Div — Buy — sell in same period
AON Plc Shs C1 A — Int/Div — Buy (add'l) — sell wm same period
AONPlcShs C1 A — Sold
Accenture PLC Ireland Sh Cl A — Int/Div — Sold (part)
American Tower REIT com — Int/Div — Sold
Perrigo Co PLC shs — Int/Div — Sold — oss
Alphabet Inc Cap Stk C1 A — None
Altria Group Inc Com — Int/Div — Buy — sell m same period
Altria Group Inc Com — Sold — sell mn same period
Amazon Com Inc — None — Buy — sell m same period
Amazon Com Inc — Sold — oss
American Express Company — Int/Div — Buy
American Express Company — Int/Div — Buy (add'l)
American Express Company — Int/Div — Buy (add'l)
Apple Inc — Int/Div — Sold (part)
Bank of America Corp — Int/Div — Sold — oss
Bank of New York Mellon Corp Com — Int/Div — Buy (add'l)
Bank of New York Mellon Corp Com — Int/Div — Sold (part) — oss
Bank of New York Mellon Corp Com — Sold — loss
Boeing Co com — Int/Div — Sold
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy — sell m same period
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy (add'l) — sell in same period
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy (add'l) — sell m same period
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy (add'l) — sell mn same period
Booz Allen Hamilton Hldg Corp C1 A — Sold — sell m same period
CBS Corp CL: B Com — Int/Div — Sold (part) — oss
CBS Corp CL: B Com — Sold — oss
Colgate Palmolive Co Com — Int/Div — Sold (part)
Equifax Inc — Int/Div — Buy — sell mn same period
Equifax Inc — Sold — sell mn same period
Exxon Mobil Corp Com — Int/Div — Buy
Goldman Sachs Group Inc Com — None — Buy — sell m same period
Goldman Sachs Group Inc Com — Sold — sell mn same period
Honeywell Intl Inc — Int/Div
Honeywell Intl Inc — Int/Div — Sold (part)
Honeywell Intl Inc — Int/Div — Sold (part)
AdvanSix lnc Com — None — from line 150) — from Honeywell
AdvanSix Inc Com — Sold
Jarden Corp Com — None — Sold (part)
Jarden Corp Com — Distribution — with line 163) — merged to Newell Br
Kimberly Clark Corp Com — None — Buy — sell mn same period
Kimberly Clark Corp Com — Sold — oss
Las Vegas Sands Corp Com — Int/Div — Sold
Lowes Companies Inc — Int/Div — Sold
Moodys Corp com — Int/Div — Sold
Newell Rubbermad Inc Com — Int/Div — Closed — changed after merger
Newell Brands Inc Com — Int/Div — Open — merged to Newell Br
Newell Brands Inc Com — Sold (part)
Newell Brands Inc Com — Sold (part)
Nielson Holdings PLC Shs — Int/Div — Sold — loss
PayPal Hidgs Inc Com — None
Pepsico Inc Com — None — Buy — sell m same period
Pepsico Inc Com — Sold — ss
Philip Morris Intl Inc Com — Int/Div — Buy — sell m same period
Philip Morris Intl Inc Com — Sold — oss
Raytheon Co Com New — Int/Div — Buy — sell in same period
Raytheon Co Com New — Sold — sell mn same period
Thermo Fisher Scientific Inc Com — Int/Div — Sold
Venzon Communications Com — Int/Div
West Pharmaceutical Sves Inc Com — Int/Div — Sold (part)
West Pharmaceutical Sves Inc Com — Sold
Surwood Ppty Tr Inc com — Int/Div
JPMorgan Chase & Co Alerian MLP Index — Int/Div — Sold
3. TRUST #3 Pershing Brokerage Account (Hy
Drevfus Treasury Prime Money Market — Interest
Accenture PLC Ireland Shs Cl A — Int/Div
Allergan PLC Com Shs — None — Sold (part) — loss
Allergan PLC Com Shs — Sold — oss
American Tower REIT — Int/Div
AON PLC Com Shs — Int/Div — Buy
AON PLC Com Shs — Int/Div — Buy (add'l)
Alphabet Inc Cap Stk C1 A — None
Altria Group Inc Com — Int/Div — Buy
Amazon Com Inc — None — Buy
American Express Company — Int/Div — Buy
American Express Company — Int/Div — Buy (add'l)
American Express Company — Int/Div — Buy (add'l)
Apple Inc — Int/Div — Sold (part)
Perrigo Co PLC shs — Int/Div — Sold — loss
Bank of America Corp — Int/Div — Sold — oss
Bank of New York Mellon Corp Com — Int/Div — Buy (add'l)
Bank of New York Mellon Corp Com — Int/Div — Sold (part) — loss
Bank of New York Mellon Corp Com — Sold — loss
Boeing Co com — Int/Div
Booz Allen Hamilton Hidg Corp C1 A — Int/Div — Buy
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy (add'l)
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy (add'l)
Booz Allen Hamilton Hldg Corp C1 A — Int/Div — Buy (add'l)
Bristol Myers Squibb Co Com — Int/Div — Buy
CBS Corp CL B Com — Int/Div — Sold (part) — loss
Colgate Palmolive Co — Int/Div — Sold (part)
ConocoPhillips com — None — Sold — oss
Equifax Inc — Int/Div — Buy
Exxon Mobil Corp Com — Int/Div — Buy
Exxon Mobil Corp Com — Int/Div — Buy (add'l)
Goldman Sachs Group Inc Com — Int/Div — Buy
Honeywell Intl Inc — Int/Div
AdvanSix lnc Com — None — from line 213) — from Honeywell
AdvanSix Inc Com — Sold
Jarden Corp Com — None — Sold (part)
Jarden Corp Com — Distribution — with line 224) — merged to Newell Br
Kimberly Clark Corp Com — Int/Div — Buy
Las Vegas Sands Corp Com — Int/Div
Lowes Companies Inc — Int/Div — Sold
Moodys Corp Inc com — Int/Div — Sold
Nielson Holdings PLC Shs — Int/Div
Newell Rubbermaid Inc Com — Int/Div — Closed — changed after merger
Newell Brands Inc Com — Int/Div — Open — merged to Newell Br
PayPal Hldgs Inc Com — None
Pepsico Inc Com — Int/Div — Buy
Philip Morris Intl Ine Com — Int/Div — Buy
Raytheon Co Com New — Int/Div — Buy
Thermo Fisher Scientific Inc com — Int/Div
Verizon Commumcations Com — Int/Div
West Pharmaceutical Sves Inc Com — Int/Div — Sold (part)
Starwood Ppty Tr Inc Com — Int/Div
IShares Tr Core S&P Mid-Cap ETF — Int/Div — Buy
IShares Tr S&P Midcap 400 Value Index Fd — Int/Div
JPMorgan Chase & Co Alerian MLP Index — Distribution
Pimco ETF Tr Enhanced Short Mat — Int/Div — Buy
Vanguard Intl Equity Index Fds FTSE Europe ETF — Int/Div — Sold — loss
Wisdom Tree Tr Emerging Mkts Small Cap AVG — Int/Div
4. TRUST #4 Pershing Brokerage Account tH
Dreyfus Treasury Prime Inv Sh MM — Interest
IShares Inc MSC Japan ETF — Int/Div — Sold — loss
IShares Tr S&P Midcap 400 Value Index — Int/Div
JPMorgan Chase & Co Alerian MLP Index — Int/Div
Powershares QQQ Tr Unit Ser — Int/Div — Buy
SPDR S&P Midcap 400 ETF Tr Unit Ser 1 — Int/Div — Sold (part)
Vanguard Whitehall Fds High Diy — Int/Div — Buy
Vanguard Index Fds S&P 500 ETF VOO — Int/Div
Vanguard INTL Equity Index Fds FTSE Europe ETF VGK — Int/Div — Sold — loss
WisdomTree Emerging Mkts Small Cap Avg — Int/Div
S. TRUST #5 Pershing Brokerage Account (Hy
Drevfus Treasury Prime Inv MM — Interest
IShares Inc MSC Japan ETF — Int/Div — Sold — loss
IShares Tr S&P Midcap 400 Value — Int/Div
JPMorgan Chase & Co Alerian MLP Index — Int/Div
Powershares QQQ Tr Luit Ser — Int/Div — Buy
SPDR S&P Midcap 400 ETF Tr Unit Ser 1 — Int/Div — Sold (part)
Vanguard Whithall Fds High Div — Int/Div — Buy
Vanguard Intl Equity Index Fds FTSE Europe ETF VGK — Int/Div — Sold — oss
Vanguard Index Fds S&P S00 ETF — Int/Div
WisdomTree Tr Emerging Mkts Small Cap Avg DGS — Int/Div
6. Trust #6 Pershing Brokerage Account (H)
Dreyfus Treasury Prime Inv MM — Interest
IShares Tr S&P MidCap 400 Value — Int/Div
IShares Inc MSC Japan ETF — Int/Div — Sold — ss
JPMorgan Chase & Co Alerian MLP Index — Int/Div
PowerShares QQOQ Tr Unit Ser — Int/Div — Buy
SPDR S&P MidCap 400 ETF Tr Unit Ser — Int/Div — Sold (part)
Vanguard Whitehall Fds High Diy — Int/Div — Buy
Vanguard Intl Equity Index Fds FTSE Europe ETF — Int/Div — Sold — loss
Vanguard Index Fds S&P S00 ETF — Int/Div
WisdomTree Emerging Mkts Small Cap Avg DGS — Int/Div
Trustee, Trust #1, Assets No 22-112
Trustee, Trust #2, Assets No 113-179
Trustee, Trust #3, Assets No 180-238
Trustee, Trust #4 Assets No 239-249
Trustee, Trust 45 Assets No 250-260
Trustee, Trust #6, Assets No 261-271
Dwrector, Federal Judges Association
Reimbursement — Federal Judges Assocation — May 17-May 8, 2016 — Washington DC — Board of Directors Mecting — Transportation, Meals, Hotel
Reimbursement — Hams Martin Publishing — January 27, 2016 — Coral Gables, FL — Speaker at CLE — Transportation, Meals, Hotel
Reimbursement — Duke School of Law — October 27-October 28,2016 — Washmgton DC — Speaker at CLE — Transportation, Meals, Hotel
Reimbursement — Northwestern University ) School of Law — November 16- November 17, 2016 — Chicago, IL — Speaker at CLE — Transportation, Meals, Hotel
Reimbursement — University of Miami School of Law — December 2, 2016 — Miami, FL — Speaker at CLE — Transportation, Meals, Hotel
Spouse's income — 2016 — Seeger Weiss; Independent contracting paralegal earnings
Dreyfus Treasury Prime Inv Money Market Account

IRA Dreyfus MM reported on line 21

Trust #1 on line 23

Trust #2 on line 114

Trust #3 on line 181

Trust #4 on line 241

Trust #5 on line 251

Trust #6 on line 262

Lines 21, 23, 114, 181, 241, 251, 262 Dreyfus Treasury Prime Inv Money Market Account was used as a vehicle to hold cash equivalent assets for purchase of

other investments and to place sale proceeds pending other investments, Consequently, money moved in and out of these accounts with great frequency and no

attempt was made to distinguish each transaction unless specifically requested.

Lines 31 & 32 Conroe Tex School Dist Bond: This bond was originally purchased in Junuary 2013 and was partially pre-refunded on 12/23/16 which resulted in a

change in CUSIP. No Sale took place.

Original CUSIP 208418NT6

$150,000

New Pre-refunded CUSIP 208418C50 § 35,000

New Un-refunded CUSIP 208418D26 $115,000

Lines 83-85; line 153; line 214 There was one spinoff dividend during 2016. One share of AdvanSix for every 25 shares of Honeywell. Honeywell spun-off

AdvanSix on October 6, 2016 and Advansix stock was sold on October 7, 2016.

Lines 88 and 98: Lines 156 and 163; lines 217 and 224: Jarden Corp merged with Newell Rubbermaid Inc on 4/18/2016 and the combined company was renamed

Newell Brands Inc. Stock in both Jarden and Newell Rubbermaid were owned prior to merger. After the merger only Newell Brands lnc exists.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/3372. Public record. Not legal advice.