Brooks D Smith Financial Disclosure Report for 2010

8/3/2019 Brooks D Smith Financial Disclosure Report for 2010

1/9

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010Repo~ Required b~ the E thicJin Government Ac! of !978(J U.$ .C app. ~ I01-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m l d d l e l n i t h l )Smi th , D. Bro o k

4 . " l l tl e ( A r f f d e 1 1 1 j u d g e s l a d | r o t e a c t i v e o r s e n i o r s t a t u s ;ma~is~te judges ind i=e f id l - o~ paa - f ime)Judge-Act ive

7 . Chamber s or Of f i ce AddressUS Cou r~ of Appea l s , a t e 2031 7 9 8 O l d R ou m 2 2 0 NDunca~asv i l l , PA 16635

Court or Organlz.st ionTh i rd C i r cu i t C o u ~ o f A p p e a l s

5 ~ - R e p o r ~ T y p e ( c h e e k e p p r o p r i ~ t e q p e )] Nomina t i on , D a t e[ ] I n i t i a l [] Anmml [ ] F i n a l5 b . [ ] X m m ~ f l e d R e p o r ~8. On ~e b s~ of~e intonat ion ~n~n~m~lf l~f lo~ peking ~e~to . Jt i~ in m y opinJo~ In c o m p U ~~th ap~l~ble Is~ and

3 . D a t e o f R ~ p o r t0 5 1 1 5 / 2 0 1 1

6. R e p o r t i n g P e r i o d01/01/2010to12/31/2010

R e v i e w i n g O f f ic e r D a t e

I M P O R T A N T N O T E S : T h e ~ n ~ t r ~ a t o n : a c c o m p a n y i n g t h ls f o r m m u ~ t b e f o ll o w e ,I C o m p l e t e a ll p a r L ~checking the NON E box for each p art where you have no repor table ~nformation. Sign on laxl pag,-

D N O N E (N o reportabl~posit~o~.)P O S I T I O N

1 . Trus tee2. Bo a r d o f C o u n s e l o r s

N A M E O F O R G A N I Z A T I O N / E N T I T YMoun t A loysh~s Co l lege , C rcsson , P AP e n n S t a t e U n i ve r s i t y - D i ck i n s o n S c h o o l o f L a w

I I . A G R E E M E N T S . o ~ , ~ , o , ~ s ~ , u . ~ t o , t r ; ,, o r ~ 1 4 . 1 6 of filing instrnetions.)~ N O N E ( N o repor ta b le a greemen ts . )

D A T E PARTIF~ AND TERMS


2/9

FL-NANCIAL DISCLOSURE REPORTPage 2 of 9

N s m o f P e r s o n n e p o r f l n ZSmith, D. Brooks

D s t o f R e ~ o r t05 /15 /201

I I l . N O N - I N V E S T M E N T I N C O M E . ~,~.~ ~.a, .~, , , ; , , ,p~ J7-2o/m,,~, ,~,~o,~A. F l ie r s N o n - I n v e s t m e n t In c o m e~-] N O N E ( N o reportable non-investment income.)

D A T F . S O U R C E A N D T Y P E1 . 2 0 1 0 Th e Penm ylvan ia S t a t e Un ive~i ty -Dick in so n Law Sch o o l -Ad junc tProfessor Spring Sel laestet - S~~ Part V I I I2.3.

4.

( y o u r s , n o t s p o u s e s )$23,578.00

B . S p o u s e s N o n - l n v e s t m e n t I n c o m e - I f you w~m marr ied dur ing any porr ion o f the repor t ing year , complete this(Dollar amount not required ~c~pt for honoraria)

D (No reportable income.)O N E non-investment

1.20102.

D A T E S O U R C E A N D T Y P ES a l a rye l i a nce B a n k - Vice Pre s iden t , Bus ine ss B a n k e r I I -

I V . R E I M B U R S E M E N T S -( I n d u d e ~ 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 ; $ 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 . )

D NO N E (No re por table r e im burs e m e n ts . )S O U R C E D A TES_ L O C A T I O N

I . M o u n t A I o y s iu s C o l l e g e 03/12 /2010-03/14-2010 Pi t t sburgh, PAPURPOS.I~ ITEMS PAID OR PROVIDED

Board of Trus tees Pres iden t F o o d a n d l o d g i n gSe a r c h C om m i t te e2. U niv ers ity of V irg in ia S ch oo l 04 /09 /2 010 -04 /11 /201 {I C harlotte sv ille , V A Moot Cou rt Com petition T ra ve l, foo d an d lod gin go f L a w3. St J ohn s U n i v e ~ i t y Sc hoo l o f 04/13 /2010-04 /14 /20 11~ Qu ee n s , N Y Moot C ou rt C om p etition T r a v e l , f ood a n d l od g i n g

4. Petm St at e Un iver si ty 03 /2 5 /20 10 -03 /2 6 f2 0 10 C a rlis l e , P A Sp e a ke r in C LE P rog ra m T ra v e l , food a n d lod g in gD i c k i n s on Sc hoo l o f L a w


3/9

FINANCIAL DISCL OSURE RE PORTPage 3 o f 9

l ~ a m e o f P e r s o n R e p o r t i n gSmith, D. Brook~

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

5. Arizona Sta t e Univers i ty 04/24/2010-04/27/201G Phoen ix , AZ L e g a l P r og r a m Tr a ve l , f o o d a n d l o d g i n gSa n d r a D a y O C on n o rC o l l e g e o f La w6. U n i v e r s i ty o f P i m b u r g h 05105 /2010-05106 /201G P i t t sburgh , PA S l ~ k e r i n C L E P r o g r a m Tr a ve l , f o o d a n d l o d g i n gS ch o o l o f La w7. F o u n d a t i on f o r R ~ e a r ch 08/06/2010-08/12 /2010 Bozcman , MT Ed uc ~tio t~ Prog ra m T ra v el, f ood an d lod gin g

o n E c o n o m i c s & theE n v i n 3 a n 3 e n t

8 . N e w Yo r k La w S ch o o l 09/25/2010-09/27/201{~ New York, NY Moot Cour t Com pet i t ion Tr a ve l , f o o d a n d l o d g i n g9. A c a d ~ n y o f T H a i L a w ye m 10 /6 /2010 - 10F / /2010 F a r m i n g t o n , PA Ba r A s s o c i a t io n M e e t in g Tr a ve l , f o o d a n d l o d g i n g1 0 . D ~ a q~ e s n e U n i v e m i t y L a w 11/4 /2010-11/05 /2010 Pi t t sburgh, PA S p e a k e r a t L e g a l g e m i n a r T r a v e l , f ov d a n d l od g i n gS ch o o l1 1.

12 .1 3 .


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FI N A N C I A L D I S C L O S U R E R E PO R TPage 4 of 9

N a m e o f P e r s o n R e p o r t ta gSmith, D. Brooka

D a t e o f R e p o r t05/15/2011

[] NONE (No reportable gifts.)SOURCE DE$1$p,.IPTION

1 .2.

3.

4.

5.

~] N O N E ( N o reportabl~ liabilities.)C R ED I TO ~ DESCRIPTION

1.2.

3.

4.

5.

V A L U E C O D E


5/9

F E~ ANCIAL DISCLO SURE REP O RTPage 5 o f 9

D a t e o f R e p o r t05 /15 /2011

NH. hNVESTMENTS and Tt tUSTS -~o~ .D N O N E ( N o reportable inco m e, a~ ets, or transactions.)

I. R e l i a n c e B a n k C . . e ~ i f ic a m o f D e p o s i t ~ A Inte~ K TA Divhiend J T

4. A S T JP M o r ~ a n S t r a ~ g l c O p p o r m n k i ~ s A Int ./Div. L T S o l d 06/01/10 KP o r ~ 1 , 45 . A S T A c ad~ mi c S t r a t o g ~ s Asset A Dividend L T S o l d 06/01/10, L

Alloc~ion~l6. M & T Ba n k ( co m m o n ) ~ C Di v i d e n d M T

7 . P r i n c i p a l G l o b a l I n v e ~ o m ~ I ) P r i n c i p a l A I n t ~ i v ; KM o n e y M a r k e t8 . P ~ c i p a l G l o b a l I n v ~ t ~ r s ~ ( I ) B o n d & A I n t . / D i v . 3Mo~gage9. P r i n c i p a l R e a l Esta te Inv ~ (1 ) P r inc ipa l US A IntJDiv. K

1 0 . P r i n c i p a l G l o b a l In v e s t o r s ~ ( I) ~ A l n t JDiv . KLmgeC ap S &P 500 IndI I . PHncipal.GIobalInvestvrs~(I) Principal AS m a l l C a p G r o w ~12 . ~c ip~O~ob~M i d C a p V a l u e I II1 3 . P r i n c i p a l G l o b a l I n v e s t o r s / D F A ~ ( 1 ) .In te rna t iona l Smal lCap1 4 . Northwes te rn Mutua l Li fo Ins(Univm-sa l

L i f o P o E c i e s )1 5 . Relianc~ Bank ~

D Dividend

TT

T

T

K T

K TM TL T

S o l d 10/15/10 J

1 6 . Re l i a nce Bank IRA 2 B I n t e m ~ t L T1 1 7 . Reliance B a n k - C h t c k i n g A c c o u n ~ A I n t e x e ~ t L T

E-~IS,001. S~00


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FINANCIAL DISCLOSURE REPORTPage 6 of 9

N a m e o f P e r s o n R e p o r t in gSmith, D. Brooks

D s t e o f R e p o r t05 /15 /201 ]

VI I . I N VES TM EN T S an d TR U S TS ---1 NONE (No reportable incom ~ a ssets, or tran sactions.)

A. B. C. D.D e s e r i p t i o ~ of Asv~ts I n c o m e d m i n g Gross valueat eml T r a n ~ t ~ o n s d i n i n g r e p o r t i t t g l X t i o d

( m c h ~ d i ~ g W a s t a s s ~ u ) rq)or,ing period of reporting period( I ) ( 2 ) (I) (2) (I) (2) (3) (4) (5)

place "(X)" trier each as.~t Amount T y p e ( e . g ., Value Vah~ TyI~ (e.g., m m / d d / y y D a t e Vtlue Ga { n Identity ofexempt flora prior df.*dorur~ Cod~ 1 div., rent, Code 2 Mt~hod I m y , s e l l , Code 2 Code I buyettsdlc~( A - H ) or iaL) ( J -1 0 Code 3 redempti(m) (I -P) ( A - H ) (if private( q - v 0

1 8 . Reliance Bank-Checking Accoun~ A I n t e r e ~ J T1 9 . Rel i ance Bank-Checki t ag Accourk~.~- (X)(3 ) A I n t e r e s t K T

20 . Schroeders Multi Asset Wortd St ~ A InL/Div. K T B u y 06 /01/10 K

2 1 . A S T C L S M o d e r a t e A s s e t A l l o c a ti ~ l ) A I n t . / D i v . L T B u y 06 /01/10 L

2 2 . AIIianceBemste in /CCI/~rown, Smal lCap A Iat ./Div. J T B u y 1 0 / I 5 / 1 0 JG , o , ~ h ~ I )2 3 .

2 4 .

2 5 .

2 6 .

27 .28 .

2 9 .3 0 .

31 .1 3 2 .

33 .

34 .

1 . I ~c o m e G ~i t x C o d e s : A = $L 0 0 0 o r l e ~ B = S I,0 0 1 . $2 ,5 0 0 C -$2 .5 0 1 - S S ,0 f lO D = t 5 ,0 01 - S I 5 ,000(S ic C oh m m $ B I a M D4 ) F-$5 0 ,0 0 1 - SIU O,C 0 0 G = $10 O ,0 01 - $1 ,0 0 0 ,0 0 0 HI -$ 1,000,0O I - .~5 ,0C 0,000 H2 -Mo re ~an S S ,O0 0 ,OOO

2 . Va l u e C o d e s J "SI 5 ,000 or I~s~ K =S I 5 .001 * $50,000 L -$50 ,0a I $100 ,000 M - $ 1 0 (L 0 0 I - $ 2 5 0 ,0 0 0( S e e C o l m a n $ C l l a d D 3 ) N =$250 ,f l f l I - $500 ,000 0 -$50 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 PI =S 1,000,001 - $5 ,0 O0,00~ P2 = $ 5 ,0 0 0 ,0 0 1 " $ 2 5 ,0 0 0 ,0 0 01"3 " ,~25.000 .~01 - 550 .000 .000 N -M ore t ha ~ $50 , 0 0 0 , 0 0 0(S*C ohm m C 2 ) U = B o a k V ~ h ~ . v =Otl~ w =E s t im a t e d

E - 5 1 5 ,0 0 1


7/9

FINANCLAL DISCLOSURE REPORTPage 7 of 9 Smilh, D. Brook~

Date of Reper t0 5 1 1 5 / 2 0 1 1

--] N O N E ( N o repo r ta b le i n com e, a sse t s, o r t ra n sa c t ion s . )

3 5 .3 6 .3 7 .

: 3 9 .

41 .

4 2 .

= * $1 5 . 0 0 1 - $50 ,000


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FINANCIAL DISCL OSURE RE PORTPage 8 of 9

Name of Person Rep ort ingSmith , D. Brook~

Date of Report0 5 1 1 5 / 2 0 1 1

V III . ADDIT IONAL INFORM AT ION OR E X PL ANAT IONS.Pan I I IA: Rep resen t s s e rv ices f rom 01111/2010 through 04/26 /2010P a r t V I I . "1 ) H e l d i n . ~ _ ~ , ~ " ~ R ~ . e li a n c ~ B a n k 4 0 1 ( k )2 ) Se l f d i r ec t ed I R A3) Re l i ance Bank-C hecklng A ccoun~ ~. a~e t inadve r t an t ly admi t t ed f i~om pr imyear repor t4) AST UB S Dynamic A lpha change d names to AST JP Morgan St ra t eg ic Opp~r tmf i t f e s Por t on 3 /10 /2010


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FINANCIAL DISCL OSURE RE PORTPage 9 of 9

IX . CERTIF ICATIO N.Iame o f P e r so n R epo r ~ gSmith , D. Brooks D a t e o f R e p o r ~05/15/2011

! c e r t if y t h a t a l l in f o r m a t i o n g i ve n a b o ve ( 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 ch i l d r e n , I f a n y ) i sa ccu r a t e , tr n e , a n d co m p l e t e h ) 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 w i t h h e l d b e ca u s e I t m e t a p p l i ca 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 J s d o ~ n e .I f u r th e r ce r t i f y t h a t ~ r n cd i n co m e f r o m o u t s i d e e m p l o ym e n t a n d h o n o r a r i a ~ n d t h e a cce p t a n ce o f g i f t s w h ich h a ve b e e n r e p o r t e d a r e i nco m p l i a n c e w i t h th e p r o v i s i o n s o f 5 U . S . C . a p p . 501 e t . s e q , 5 U . S . C . 7 353 , e n d Ju d i c i a l C o n f e r e n ce r e g ~ l a f l o u s .

S i g n a t u r e

N O T E : A N Y I~ D I V I D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S H ~ I ES O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B . rE 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 t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f i c e o f th e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Brooks D Smith Financial Disclosure Report for 2010