brooks d smith financial disclosure report for 2009

8/3/2019 Brooks D Smith Financial Disclosure Report for 2009

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,~ o ~ o FINANCIAL DISCLOSURE REPORT n c ~ r t R ~ , l, ~ r e d b y , h e Z , h i c sin Government Act of 1978Rev. h2010 F O R C A L E N D A R YEAR 2009 (_~ u.s.c, app. 9L+ I01.11I)I. Person Reporting (last name. first, middle initial) Z. Court or Organization 3. Date of ReportSmith, D. Brooks Third Circuit Court of Appeals 05/t5/2010

4. Title (Atliclc Ill judges indicate active or senior sU~tus; 5a. R eport T ype (check appropriate type) 6. R eporting Periodmagistrate judges iudicate full- or parl-timci. ] Nomination, Date 01/01/2009Judge-AcIivc [] Initial [] Annual [] Final to12;31/2009

Sb. [] Amended Rcpvrt7. Chambers or O ff ice Address 8. On the basis of the information contained in th is Report and anymodifications pertaining thereto, il is, in my opinion, in complianceU~ Cou~t of Appeals. Ste 203 with applicable laws and regulations.1798 Old Route 220NDuncansvi l lc . PA 16635 Reviewing Oflicer Date

hlIPORTANT NOTES: The instructions accompanying this form must be follvwed. Complete all parts,checking the NONE box for each part where you have t to reportable information. Sign on last page.

l---] N O N E (No reportable positions.)POSI TI ON N A M E O F ORGANIZATION/ENTITY

1. Trustee Mount Aloysius College, Cresson. PA

B oard of C ounselors Penn State U niversity - D ickinson School of Low

1 I . A G R E E M E N T S . tReporting individnal,,nl_v; s~,pp. 14-16offiting instructi,,n~.) 2,9 .....~ NONE (No reportable agreements.) ~; ~ ~-~

~ PARTIES AND TERMS ~1.


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FINANCIAL DISCLOSURE REPO RT ~" .... fP ..... R e p o r r | n g D a t e o f R e p o r tPage 2 of" 8 Smith, D . B r o o k s 05/15/2010

I II . N O N - I N V E S T M E N T I N C O M E . tRep,,.,i..,i.di,i~.a~.dsp .... : ~ e e p . . 1 Z - : 4 o / O l i . g i . .. .. .i o . s OA. Fl iers Non-Investment Incom e

NONE (No reportable non-investment income.)D A T E S O U R C E A N D T Y P E ~(yours, not spouses)

I. 2009 ]he Pennsylvania State University-Dickenson Law Sch ool-Adjunct $23,580.00Professor Spring Semester- See Part V III

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 ,,,ere married during any portion of the reporting year, complete this section.

~--~ N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I. 2009 Reliance Bank - V ice President, Commercial Lending - Salary "~]

I V . R E I M B U R S E M E N T S - transp,,rration, lodging, fl~od, et,tertai .... t.( b w h t d e s t h o s e t , , s p o ~ t s ~ " a n d d e p e ~ d c n t c h i l d ~ ~ . , ~ , s ee p p . 2 5 - 2 7 & i / L m g i n s t r u c ti o n s )[~] N O N E ( N o reportable reimbursements.)

~ D _ Z L T _ F ~ L O C A T I O N ~ I T E M S PA I D O R P R O V I D E D1. Lewis & Clark College 02/0212009-0210812009 Boston, MA M o o t Court Competition Travel, food and lodging2. New York University School t)2,20,~2009-02/22/2009 Nev York, NY M oo t C ou rt C om pe ht io n T ra ve l, f oo d a nd l od gi ngo f L a w3. Case Western Reserve 03/27/2009-03/2912009 C leveland, OH Moot Court Competition Travel, food and lodgingUniversity4. Pen~ State University 05/18./2009-05/20/2009 Washington, DC Attend ALI-ABA Food and LodgingDickinson School of L0w C onference5. New York Law School 09il 2/2009-09/13/2009 N ew York, N Y Moot Court Competition Travel, food and lodging6. OPDAT 09/23,2009-I0/03/2009 Sarajcvo, B osnia Foreign R ule of Law Travel. tbod and lodging


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FINANCIAL DISCLO SURE REPORTIName 0fPCrsOn RepOrt ing !

Oat, of ReportPage 3 of 8 Smith, D. Brooks 05/15/2010

Herzegovina Program

7. ttofstra Lag School 10/17/2009-10/19/200c~ Hempstead, NY Mool Court Competition Travel, food and lodging8.9.

1 0 .l!.1 2 .1 3 .


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FINANCIAL DI SCLO SU R E R EPO R T Name o[ Person Report ingI

Date of Report

[Page 4 of 8 Smith, D. Brooks 05/15/2010

V . G I F T S . a , , . t , a e . ~ thos e to s pous e and d ependen t ch i tdr ~ ,n; .~e~" pp . 2 8 -31 , , f f il ing i t t~ t ruc t ions .)[] N O N E 6 o reportable g~ s..)

~ DESCRIPTION VALUE1.2.3.4.5.

V I . L I A B I L I T I E S . a , ~ t ,d , , ,~,,,.~, o~, ~ ........ ~ a~ r~,~ ,., ~,,,,: ~ ~,. 32-~ o/~;~,~ ~,~.,~.,~o,~.)N O N E ( N o reportafile liabilities.)

C R E D IT O R D E SC R IPT IO N VALUE CODEI.2.3.4.

5.


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tF IN A N C I A L D IS C L O S U R E R E P O R T ~ ..... fP ..... R e p o r t i n g [ O a t e o fR e p o r lPage 5 of 8 Smith, D. Brook s[

05!15~010

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

Description of Assets I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o s i n g p e r i o d(including trust asse~). reporting periodf r e p o r l i n g p e r i o d

P ace "(X)" after ea~:h a.%ctAmour, type (e.g.,a l u e I V u l u c Type (c.g.,a t e V a l u e G a i n I d c n t R y o fC o d e I div.. rent.o d e 2 [ M e t h o d buy, sell.r ~ d d ] y ~ ~ C o d e 2 C o d e I buycrlsellere x e m p t f i o m p r i o r d i s c l o s u r e! ( A - H ) o r i n t . ) ( J P ) i C o d e 3 r e d e m p t i o n ) I ( J - P ) ( A - I ) (if privatei .......

i ......( Q - W ) ; LI t r a n s a c t i o n )

il. Reliance Bank C ertificate of Deposit~ A Interest K T2. FNB C orp (common "-] A Dividend J T

3Fifth Third Banco~p"~ A Dividend 3 T

4. AST U SB Dynamic Alph~-~ A Dividend M T"5 . AST Academic Strategies Asset A Dividend M TA!location[~

M&T B ank (common)~ C Dividend L T7. Principal Global Investors] (I) Principal A Int.!Div. J TMoney Market~ Principal Global ln,cstors L__( i ) Bond & A Int.iDiv. J T9"

Morlgagc ,,.. Principal Real Estate Invl~(l) Principal US A I n t . , q ) i v . J TP r o p e r t y1 0 . Principal Global ht~,estors i.__(I) Prin A Int./Div. K TLargeCap S&P 500 lnde[l . Principal Global ln\esiurs!_:_.(l) Principal A [ n t . ; D i v . J TSmailCap Growth1 2 . Principal Global!Barrow tlanley[ (I) A Int./Div. J TM i d C - . . a p V a l u e 1 1 1

~ (1) Int.iDiv. K T3 Principal Gtobal Investors, DFA Ahtternali~nzl SmallCap1 4 . Norlb\~estern Mutual Life ins(Universal A Dividend M TLi{e Policies)1 5 . Reliance Bank IRA[ B Interest K "I"1 6 . Reliance Rank IRA 2 B Interest L T

1 7 . Reliance Bank-Checking Account A Interest J T

ISec Column~ CI aud D3) N - $250001 - $500.~ O =$5011,001 - 11.0~,0~ Pl =$1,~,001 -

(Scc Column C2 ) O =Book Value V ~lhcr W =Estimated


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F IN A N C I A L D I S C L O S U R E R E P O R T , ~ . , e o f P ~ r s o . a , p ~ , , in g [ O . t~ a t R ~ p o .Page 6 of 8 Smith, D. Broo~~

05~15/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i ......... o~..,, ....... ~ o~ .. a~,.t,,a~s a, . . . . . , f ~ p . . . . . . d aemndent children: see pp. 34-60 o/f!llng instructions.)N O N E (~Vo reportable income, assets, or transactions.)

~scription of Assets [ Income during [ Gross value at end T~n~ctiong during re~ing ~nod(includingtmsl ~scls) [ rcpoflingperiod ~ ofrc~ortmg period i

Place "IX)" after each a~sct ;AraGon: ~ T~ (e.~., [ V alue V alue T~e (e.g.. D~te ~ Value Gain IdentiW ofexempt from prior disclosm~ I Code I div..rent, ] Code 2 MctEod buy, sell, ma~dd~ Code 2 [ Code I buys/seller

~ (A-It) ] or nt.) (J-P) C~e 3 redemption) [ ~ (J-P) ~ (A-Hi (if private........................ ~ .. .. .. ~ ... .. .. . (Q- W ) m uansaction)

[ 18. Reliance Bank-Checking Accoun~ A Interest J T

1 9 .

2 0 .

2 2 .

(St.e Cul~Jmn:~ CI and D31 N =$ 2~ 0,~ 1 - $ 500 .00~ 1 U ~$ 500,0t)I - $ !.0(~ ).(~ 00 PI ~$1.000.001 - $5,0~,~ P2 ~$5,~0,~1 - $25,~0.~ ~


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[Namef P e r s o n R e p o r t i n g D a l e o f R e p o r tFINANCIAL DISCLOSURE REPORT [ Smith. D. Brooks 0 5 / | 5 / 2 0 1 0Page 7 of 8VIII . ADDITIONAL INFORMATION OR EXPLANATIONS.

Part IliA: Represents serv ices from 0!/0912009 through 05,;I 5t2009Part V I I :t) Held in ~ Reliance Bank 401(k) e, cn ~ Jcltc,JPrior ~,e:~r reports included total balance of Reliance B ank 40ll.k). individual listing of assets inadvertantly ~ frown prior year reports2) Sell directed I R A


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P a g e F I N A N C I A L 8 o f 8 D I S C L O S U R E R E P O R T [ Smith, D . B r o o k s 0 5 / 1 5 1 2 0 1 0

IX. CERTIFICATION.I certify that all information given above (inc luding information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the besl of my knowledge and belief, and that any information not reported was withheld bec ause it met applicable statutoryprovisions permitting non-disclosure.I further certify thai earned income from outside employment and honoraria and the acceptaace of gifts which have been reported arc incompliance wi~b the prov isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Con ference regulations.

Signalure~

NOTE; ANY INDIVIDU AL W ltO KNOW INGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE T i l lS REPORT MAY BE SUBJECT "1"O CIVILAND CRIMINAL SANCIIONS (5 U.S.C. app. 104)

F I L 1 N G I N S T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdm inistrative O ffice of the United States CourtsSuite 2-30 IOne C olumbus Ci rc lc , N.E.W ashington, D.C. 20544

brooks d smith financial disclosure report for 2009

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