I

[2J D

PARTIES ANP TERMS

Report Required by the Ethics AOJO FINANCIAL DISCLOSURE REPORT

in Government Act of 1978 Rev. 112011 FOR CALENDAR YEAR 2010 (5 U.S.C opp.§§ JOI-I I I)

I. Ptrson Reporting (last name, Ont, middle Initial)

Smilh, D. Brooks

l. Court or Organlzadon

Third Circuit Court of Appeals

3. Dalo or Report

05/15/20 1 1

4. Tiiie (Article lfi judgn lndlc:ate acdve or 1onlor •Illus; magistrate judges iodicate full. or part-time)

Judge-Active -

SL Rrport Typ• (check 1pproprbl• type)

D Nomination. Date

D Initial Annual

Sb. D Amended Report

Final

6. Reportlu: Period

01/01/2010 to

12/3 112010

7. Chambers or Office Addrru 8. On the basis of the lnfonnation contained In this Report and any modtnc:alloDS pertalnlnc thereto, it ls, In DIY opinion. In compU:anee

US Court of Appeals, Ste 203 wilh applicable laws and recnlatlonL

1798 Old Route 220N Dw!cansvillc, PA 16635

Reriewlng Officer Date

IMPORTANT NOTES: The instrut:Jions accompanying this form must be followed. Complete all parts, chttking the NONE box for each part where you have no reportable infonnation. Sign on last page.

I. POSITIONS. (Reporting indi•idual only; seepp. 9-JJ offilmg instrucMn:s.)

D NONE (No reportable positions.)

POSffiON NAME OF ORGANIZATION/ENTITY

I. Trustee Mount Aloysius College, Cresson, PA

2. Board of Counselors Penn State University - Dickinson School of Law

3.

4.

5.

II. AGREEl\ffiNTS. (Rqordng individual only; supp. 14-16 of filing innmction:s.)

[{] NONE (No reportable agreements.)

I.

2.

3.

Smith. D. Brooks

SOURCE AND IDE

-, IJT

LOCATION PURPOSE

INCOME

Date of Report Name of Person Rrportln& FINANCIAL DISCLOSURE REPORT

05/15/2011Smith, D. Brooks Page 2 of9

III. N 0 N-INVESTMENT IN co l\1E. (Reponbrg lntflv/Jlual 11nd spome; ue pp. 11-24 of filing instn1ctions.)

A. Filer's Non-Investment Income

0 NONE (No reportable non-investment income.)

(yonn, not spouse's)

I. 2010 The Pennsylvania State University-Dickinson Law School-A djunct $23,578.00

Professor Spring Sancstcr- Sec Part VnI

2.

3.

4.

B. Spouse's Non-Investment Income - Ifyou wae rnarrid during tm.Yporri1m o/thereporting]'fllr, complete dris sectiorL

(Dollar amount not «quired except for honor aria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

1. 2010 Reliance Banlc - Vice President, Business Banker ll - Salary

2.

3.

4.

JV. REIMBURSEMENTS - transportation, lodging, foo d, enttnainmenL

(lnc/udel those lo spouse and dependent children; sec pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE ITEMS PAID OR PROVIDED

I. Mount Aloysius College 03/1212010-03/14-201(1 Pittsburgh, PA Board of Trustees President Food and lodging Search Comminee

2. University of Virginia School 04/09/2010-04/ll/201C Charlottesville, VA Moot Court Competition Travel, food and lodging of Law

3. St John's University School of 04/13/2010-04/14/201C Queens, NY Moot Ce>urt Competition Travel, food and lodging Law

4. PCIUl State University 03/25/2010-03/26/2010 Carlisle, PA Speaker in CLE Program Travel, food and lodging Dickinson School of Law

8.

Name or Ptnon Rrportinc Date or Report FINANCIAL DISCLOSURE REPORT

Page 3 of9 Smith, D. Brooks OS/IS/2011

s. Arizona St:uc University 04/24/2010-04/27/201C Phoenix, AZ Legal Program Travel, food and lodging Sandra Day O'Connor College of Law

6. University of Pittsburgh OS/05/2010..05/06/201C Pittsburgh, PA Speaker in CLE Program Travel, food and lodging School ofl.aw

7. Foundation for Research 08/06/2010..08/12J2010 Bozeman, MT Educational Program Travel, food and lodging on Economics & the Environment

New Yori:: Law School 09/25/2010-09m/20JO New York, NY Moot Court Competition Travel, food and lodging

9. Academy ofTrial Lawyers 10/6/2010-IOn/2010 Fannington, PA Bar Association Meeting Travel, food and lodging

10. Duquesne Univer.;ity Law 11/412010-11/0S/2010 Pittsburgh, PA Speaker at Legal Seminar Travel, food and lodging School

11.

12.

13.

DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

Name or Pono11 Rtportlllz Date or Report FINANCIAL DISCLOSURE REPORT

Page 4 of9 Smith, D. Brooks 05/1512011

V. GIFfS. (lnd11da tJro1• to 1po11u and dqJ•nlknt drildrm; uepp. 28-31 ofjilinK instnlaions.)

[{] NONE (No reportable gifts.)

SOURCE

I.

2.

3.

4.

s.

VI. LIABILITIES. (Ind11da thou ofspolllie and dependmt t:hlldren; 1u pp. 31-31 of filing lnltl'llCIJDIU.)

[{] NONE (No reportable liabilities.)

I.

2.

3.

4.

s.

Interest K

2.

BancorpLZJ A T

s. A

c M T

7. ;:::){l) A T

tm(l) A 1

9. Ul A K

ifi(l) K T

Invcstorsf.Z!(I) A

Hanley b> K T

T

n M

IRAfg

B

17. Accounrn A

( ) (I) (I) (3) (4)

Typc(c.g.,

Dato or Roport Nome of PH>ea Reportln1 FINANCIAL DISCLOSURE REPORT

Page 5 of9 05/15/2011Smith, D. Brooks

.VII. INVESTMENTS and TRUSTS -ilrCo'"' wzt•e. ,,,,nsoa1ons (lndllfla 11111u ofqo•sr onuqe,,un1 cloi14ms; mpp. Ju0o1f111ng insrrllClions.J

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

A. B. c. D. Description of Alsell 1acomc dna Gross value at md Transaetions during reporting period f mcludini: tnis1 assets) reporting period of reporting period

(2) (I) (2)(2) G>.ln Identity ofPlaOl "(X)" ar.:t each ISsct

exmipl Imm prior disclosure ValueValue Value Type (e.g., DateAmOUlll

Code I Code2 Code I div JClll, Code2 Method buy, sell, mmldJJ!yy buycr/acllcr (A-H) orint.) (I·P) Codc3 n:dcinption) (J-P) (A-H) (if private

traDSaelioa)(Q-W)

l. Reliance Bank Certificate ofDeposi1::'.] A T

FNB Cotp (commonf] A Dividend J T

3. Fifth Third Dividend I

4. AST JP Morgan Strategic Opponnnitics A lntJDiv. L T Sold 06/01/10 K Port.'};11,4 (part)

AST Academic Strategies Asset Dividend L T Sold 06101/10 L Allocationffil (part)

6. M&T Bank (common){,'] Dividend

Principal Global Investors Principal Inl/Div; K Money Mlll'kct

8. Principal Global Investors Bond & Inl/Div. T M0ttgage

Principal Real Estate Inv(l<l) Principal IntJDiv. T Property

10. Principal Global Investors Prin A Inl/Div.LargeCap S&P 500 Inde

11. Principal Global Principal liit/Div. Sold JO/IS/JO J B SmallCap Growth

12. Principal Global/Barrow A lnt./Div. MidCap Value 1Il

13. Principal Global lnvcstors/DFAl!>CJ) · A Int./Div. K International SJDallCap

14. Northwestern Mutual Life l s(Universal D Dividend T Llfc Policies)

15. Reliance Bank B Interest L T

16. Reliimce Bank IRA 2 Interest L T

Reliance Bank-Checking Intcrc&t L T

I. lnronic Galo Codos: A -SI.COO or i.ss B a$1,001 • Sl.SOO C •$2.SOl • SS,000 D •SS.001- SU.000 E-SIS,001 • SSO.DOO (See Cohums Bl and 04) F--SS0.001 • $100.000 G•SI00,001-Sl.000.000 HI -Sl.000.0Cll -SS.D00.000 IU •More thon SS.000.000

2. ValueCodes J-SU,000 ar l<il IC. '1U.ool • SS0,000 L -SS0.001 - S 100,000 M•SIOO.IXll -$250,000

(See Colunms Cl and DJ) N=$250.00l -SSOO,OOO 0 •SS00,001 -Sl,000,000 Pl •Sl,000,001-SS.000,000 n -ss.000.001- s?S,000,000

P3•$25,000,oo I -SS0,000.000 P4-More Ihm $50.000,000 3. Vaine Mclhod Codes

(Seo Colwm CZ) Q•Apinisal U •Book Vahoc

R-C.... (Rtal bale Only) V•Oche<

S•AJICSllll<lll w •Estimaltd

T-C:uhMarl:t1

Stratcgi

Allocati<fitill)

Bl)

c.

FINANCIAL DISCLOSURE REPORT

Page 6 of9

Name of Penon Reporting

Smith, D. Brooks

Dale ofReport

05/1512011

Vll. INVESTMENTS and TRUSTS -1nco1t1e. va1ue, trQIU11ctions rrnc1111in rh•:se of :rpaus• 11nd dqJ•nrient children; s•• PP. :u.(io of filing inmuaians.J

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

A. B. o.

Description of Assets Income during Gross wlue at end Transactions during reporting period (including tnlst assetJ) rcpor".ing "period of reporting period

Place '(X)" after each assci

exempt from prior disclosure

(I) Amount Code! (A-H)

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

or int)

(I) Value Code2 (J·P)

(2) Value

Method Code3 (Q·W)

(I) Type (e.g., buy, sell,

Rdempiion)

(2) Date

mm/dd/yy

(3) Value Codc2

(J·P)

(4) Gain

Codcl (A·H)

(S) Identity of

buyer/seller (if private

transaction)

18. Reliance Bank-Checking AccounCI A Interest ] T

19. Reliance Bank-Checking Accom{J(X)(3) A Interest K T

20. Schrocders Multi Asset World A IntJDiv. K T Buy 06101/10 K (1)

21. AST CLS Moderate Asset A Int/Div. L T Buy 06/01/10 L

22. AllianccBemsteio/CCl/Brown SmallCapGrowth

A lntJDiv. J T Buy 10/15/10 J

23.

24.

25.

26.

27.

28.

29.

30.

31.

32.

33.

34.

1. Income Gain Codes: A -Sl.000 or less B •51,001 • S2,SOO c -si.so1 • ss,ooo D •SS,001 • 515,000 E •SIS,001 • SS0.000

(See ColUlllllS Bl and 04) F •SS0,001 -5100,000 G •$100,001 -Sl,000,000 H1 -s1.ooo.001-ss.oco,ooo 112 •Mott thao SS,000,000 2. Value Codes J-SIS,oo0 or less K-51s.001.5so,ooo L •550,001 • SI00,000 M •$100.001 -5250,000

(See ColWJW Cl and 03) N •SlS0,00 I • 5500,000 0•5500,001-51,000,000 Pl •51,000,001 -SS,000,000 Pl •SS,000,00 I • SlS,000,000 Pl-szs.000.001-550.000.000 P' •!'.!0« 1han 550,000,000

3. Value Melhocl Codes Q•Appmsal R =Cost (Real Esurc Or.ly) S•As=n1 y -c..i, M.ute1 (See Cohmt11 Cl) u EBook Value v --Other w •Estimal<d

B.

(2) (4)

Typc(c.g..

(Q-W)

35.

36.

37.

38.

39.

40.

41.

42.

43.

44.

Dal• or R•port N•m• or P•noa Reportlnr: FINANCIAL DISCLOSURE REPORT

Page 7 of9 OS/IS/2011Smith, D. Brooks

VII. INVESTMENTS and TRUSTS -incom4 value, tnmsaaions (fnd1ules those ofspouu and depenthnJ children; supp. U-60 of filing instructions.)

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

A Dcsaiption or Assets Income during

c. D.

Gross value at cod Transactions during reporting period

(iacluding IJUSI asset>) reporting period ofrcporting period

(5)(I) (2)(I) (I) (2) (3) DatePlace "(X)" after each asset Amount Type (e.g., Value Gain Identity or Value Value

exempt from prior disclosure Code I Codc2 Code I buyer/sellerdiv mit. Codc2 Method buy, sell, mmldd/yy (J-P) (A-H) (irprivate(A-H) or int) (J-P) Codel redemption)

transaction}

1. lnc:omc Gain Codes; A •Sl,000 or le>s B •Sl,ODI - S2,.SOO c •S2_301 • S5,00D D•S5,00l -SIS,OOO E =SJS,001 • S50.000 (See U:>lumns Bl illld 04) F•SS0,001 • SI00,000 G •SI00.001 • Sl.000,000 HI =Sl,000,001 • SS,000,000 112-Moro than ss.000.000

2. Value Codes J -=Sl5,000or less K•Sl5,00l -S5o.ooo L-SSO,GOl -SI00,000 M •SI00,001. S2SO.ooo (Sec Columns Cl 1od 03) N -SlS0,001 • SS00,000 O•SS00,001 • Sl,000.000 Pl =Sl,OOO.OOl ·SS.000.000 Pl =SS,000,001·525,000,000

Pl -ru.000.001 • sso.000.000 P4 •Mo"' tbs• SS0.000,000 ]. Value le:hod Codes Q•,Appnisal R -cc.a (R<.>l Emtc Only) s A>..- T -cash M ul:et

(Sec Co!mm C2) U=BookValuc: V•Othcr w -Estilr.lted

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndiaueparlofrqon.)

Part IllA: Represents services from 0111112010 through 04126120!0

I) Held in eliance Bank 401(k) 2) Self dutttCd IRA 3) Reliance Bank-Checking AccounCJ asset inadvertantly admitted from prior year report 4) AST UBS Dynamic Alpha changed names to AST JP Morgan Strategic Opportunities Port on 3/10/2010

FINANCIAL DISCLOSURE REPORT

Page 8 of9

Part VII;

Name a( Ptrson Rqiartlng Dt.te or Rqiort

Smith, b. Brooks OS/1512011

Signature ______________________ _

FINANCIAL DISCLOSURE REPORT

Page 9 of9

Nam< or Ptnon Rtportini Datt or R<part

Smith, D. Brooks 05/1512011

IX. CERTIFICATION.

I certify that all Information given above (Including lnfonnation 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 lnform:atlon not reported was withheld because It met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honor:arl:a and the :acceptance of gifts which have been reported are In compliance with the provisions of5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE 11115 REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544