rebecca b smith financial disclosure report for 2009

8/3/2019 Rebecca B Smith Financial Disclosure Report for 2009

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/ I - - - - " , ~ o 1 0 FINANCIAL DISCLOSURE REPORT n e p o r t R e q u i , e d b y t h e E t h ic sin Government Act of 1978, [ nev, 1 /2010 FOR CALENDAR YEAR 2009 (5 u. s . c , app. .~ 101-111)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 i d , d i e i n i t ia D 2 . Co u r t o r Org a n lz a t lo a 3 . D a t e o f R e p o r tSmith, Rebecca B. E a stern D istr ict o f V irg in ia 05 /12 /2 010

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e ty p e ) 6. Reporting Periodm a g i s t r a te j u d g e s i n d i c a t e f u l l - o r p a r t - t im e ) [ ] No m i n a t i o n , D a t e 01 /01 /2009U.S. Dis t r ic t Judge (Active) [] Initial [] A ..... I []Final to12 /3 1/2 009;b . -~ - - ] ;mer~ded Repor t

7 . Ch a mb ers o r O ffice Ad d ress 8, On the basis of the information contained in ~his Report and anym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i! is, in my opinion, in complianceUnited Sta tes Dis t r ic t Cour t with a p p l ica b le l a ws a n d reg u la t io n s.6 0 0 G r a n b y S t r e etNorfo lk, Virg in ia 23510 _ Reviewing Officer D a t e

I MPORT AN T N OT ES: T i le in s t ru c t io n s a c c o m p a t ty in g th i s f o rm m u s t be f o l lo w e d. C o m p le t e a l l p a r t s ,checking the NONE box for each part where you have no reportable in format ion . Sign on last page.

I . P O S I T I O N S . C ~ e ~ n r t i . g indiv iduat o , , ty; see pp. 9-13 of f i l ing instruct ionx.)~ N O N E 6~ vo rep o r t a b le p ~ s i t io n s . )

P O S I T I O N N A M E O F ORGANIZATION/ENTITY.1 o D i r e c to r G e n e r a l D o u g l a s M a c A r t h u r F o u n d a t i o n , N o r l b l k , V a2 . P o w e r o f A t to r n e y A c c o u n t # I

I I . A G R E E M E N T S . ( R epor t ing ind i , , id ual on l y; s eepp . 1 4 .16 o . l ~ !~ l lng ins t r uc t ion s . )NONE (No reportable agreements.)

DATE P A R T I E S A N D ~ T E R M SI.


2/17

I~Namef Person Report ing [ Date of ReportFI NANCIAL DI S CLOS UR E R EPOR TI Smith, Rebecca B. ]

05/12t2010Page 2 of 17

A.Filers Non-Investm ent Inco lneN O N E (No reportable non-investment income.)

D ATE SOUR CE AND TY P E I N C ~ L O M E( y o u r s , n o t s p o u s e s )

2.

3.

4.

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 nle - I f y o u w e r e married during any p o r t i o n o f t h e r e p o r t i n g year, complete this" section.(Dollar attmunt not required except for honororia.)

NONE (No reportable non-i!~vestment income.)D A TE SOURCE AND T.YPE

2.

3,

4.

IV. REIMBURSEMENTS --,~a..,r,,nn,io.,(Includes those t~ spouse an d d~penden t children; see pp. 25.27 t?f f!lin.itt~tructions.)

[~ N O N E (No reportable reimbursements.)SOt.,~RCE ~ LOCATION P U R p _ Q _ ~ _ LT__~MS PAID OR PROVIDED

1 . N e w Y o r k I n t e l le c t u a l March 27, 2009 New York, New York A n n u a l D i n n e r T r a n s p o a a t i o n , l o d g i n g , f o o dProperty Law Association2.3.4.5 .


3/17

~ N O N E (No reporlable liabilities.)CR ED ITOR D ESCR IP TION V A L ~ E C O D E

1 .2.

4.5.


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FINANCIAL DISCLOSURE R EPORT ~ a , ~ e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 4 of 1 7 Smith, Rebecca B. 05112 / 2010\qI. INVE STME NTS an d TRU STS - - i ,, ,o , , ,, ~ , , ,, r . .. . . .,,,,,,. (Includes those of sp . . . . . . d dependent chi l dren; s e e p p . 3 4 - 6 0 oJ ~l ing in s t ruc t ion~)~ N O N E ( ~ V o reportable income, assets, or transactions.). . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . ~ . . . . . . . . . . . . . . . . . . .. . . . -~7 ............................

D e s c r i p t i o n o f A s s e t s ~ I n c o m e d u r in g G ro s s v a l u e a t e n d Tmnsactio~ during reposing period(including ~ust assets) ) r e p o s i n g p e r i o d o f r e p o r t i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t ~ A m o u n l ~ T y p e ( e . g ., V a l u e ~a lue T y p e ( e . g ., D a t e ~ V a l u e i G a i n I d e m i t y o f

e x e m p t f r o m p r i o r d i s c l o s u r e ~ C o d e 1 [ div., ran; C o d e 2 M e l h o d buy se l l ~ m m i d ~ Z y ~ [ C o d e 2 ~ C o d e I buyer/seller( A - H ) i o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) I (j_p) i (A-H) ( i f p r i v a t e i ( Q - W ) [ ~ [ t r a n s a c t i o n )

1 . B r a n c h B a n k & Tr u s t C o . B a n k A c c o u n t A Interest 3 T

2, Investment Account # 1 directing (]~ne 3)

3. IRA-Brokerage Account # 1 ho ld ing ( l ines4-3 3 )4. S c h w a b G o v t . M o n e y F u n d E lnt , iDiv. K T5. Capi ta l One Bank - ce r t i , o f depos i t A Interest Matured 08 /27/09 K6. H a m p t o n R o a d s B a n k s h a r e s In c B Dividend J T

7. Th e D i a m o n d s Tr u s t N o n e K T8. D e w J o n e s S e l e c t D i v In d e x F u n d None J T9. S t a n d a r d & P o e t s M id c a p 4 0 0 None K . T

1 0 . S & P 5 0 0 G r o w t h I n d e x F u n d N o n e K T! I. Tr b,,ISC 1 E A FE In d ex Fu n d No n e K T1 2 . S t a n d a r d & P o e t s L a t i n A m e r i ca n 4 0 I n d e x D I n t . / D i v . J TF u n d1 3 . Standard & Poe t s 500 Depos i to ry R .eee ip ts B lnt . /Div. K TTrus t1 4 . A T & TInc New A lnt . /Div. J T B u y 12/02/091 5 . V er i z o n C o m m u n i c a t i o n s A lnt . /Div. J T B u y 12i02/091 6 . I S h a r e s M S C I E m r g M k t F d D Int.lDiv. K T B u y 0 9 1 1 6 1 0 91 7 . 1 S h a r e s S U P S m c a p V a l u e A Int./Div, J T Bu y 09 /24i09


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FINANCIAL DISCLOSURE R EPORT r ~ a , ~ e o f ~ ~ r s o , . R e p , ,r , ~ . g O a , ~ o r R . p o r tP ag e 5 o f 17 Smith, Rebecca B. 0 5 / 1 2 1 2 0 1 0

~ N O NE (No reportable income, assets, or transactions.).................................................................................................A.~. c. ~ ....................................................................

D e s c r i p t i o n o f A s s e t ~ I n c o m e d u r in g G r o s s v a l u e a t e n d T m n ~ c t i o n s d u r i n g r e p o a i n g p e r i o d(including t~st assets) .... ~cp~.i~}~_ .... o f r e p o r t i n g p e r i o d

P l a c e " ( X y a f t e r e a c h ~ s e t A~ount T ~ e ( e . g . , Value [ Value T ~ e ( e . g . , Dato ~ Value ~ai~ I d e n t i t yCX cmp l f~ p r io r d i sclo su re ~ C o d e I d i v . , r e n t , C o d e 2 [ M e t h o d buv, sdl. m n f f d ~ [ C o d e 2 C o d e I b o y e r / s e l l c r( A - H ) o r i n t .) ( J - P ) [ C o d e 3 r e d e m p t i o n } li ~ ( J - P ) ( A - H ) ( i f p r i v a ~ c .

1 8 . I S h a res ~R B a rc l a ys B o n d I n tc~ed i a te A In t .~iv . K T Bu y 05/15/091 9 . I S h a r es TR B a r c l a y s F u n d A g g r e g a t e A ln t . /Div . J T Bu y 0 5 , / 1 5 / 0 9 J

2 0 . lShares Tr Cohen & Steer A l n t .~ iv . J T B u y 09 /24/09 J2 t. S PD R Tr ust Un it S r 1 No n e K T B u y 01 /20 /09 K~2 . Ta x a b l e B o n d s :

2 3 . G o v t N a t l M t g . A s s n P o o l 5 / ! 5 / 2 0 M e d i u m None J TTerm Notes~4 . U .S. TSY " In fla tio n In d ex No te 1 /15 /10 No n e J T2 5 . US TsY Inf la t ion Index Notes 7 -15-13 None J T2 6 . U.S. T-Note 5 /15 /14 B Int . /Div. R e d e e m e d 05 /15 /09! J

2 7 . U.S. T-Note 5131113 A lnt . iDiv. K T

2 8 . U.S. T-Note 8/15112 A lnt . /Div. J T2 9 . U.S. T-Nole 8 /15/15 A Int./Div. J T3 0 . U.S. T-Note 10 /3 t /I 1 A lnc/Div. J T3 1 . F e d F a rm C R B K 6 1 8 / 1 7 A Int . /Div. K T3 2 . O r e g o n S c h o o l B o a r d B o n d D u e 6 - 3 0 - 1 0 A lnt . /Div. J T3 3 . Cono cophi l l ips 10115 /16 A lnt./Div. J T3 ~ . w N o n e N w


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[ Name of Person Reporting Date of ReportFII~iANCIAL DISCLOSURE R EPOR T . I I Sm ith, Rebecca B.Page 6 of 17 0 S / 1 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - .i .e o m , . v,~.,, ,r,.,.e,io,s a, ct, a~, * *os, oZ* p ...... d dependent children; see pp. 34-60 o/f!ling instruction~)

~ 6~o reportab& income, assets, or transactions.)ONEDc~riplion of Assels ~ Income during Gross value at end ] T~ns~ctlons during reposing period (including t~st assets) ;, reposing period of reneging period

Gain ldenuly oflace"(X)" aller each asset ~Amount I T~e (e.g., Value [ V a l u eexempt from prior disclosure , Code I dry. ~nl Code 2 M e 1 o d

(- " ) o r m r .) (J -P ) Code 3 redemption)

3 5 . l o v e s ~ m e n t A c c o u n t # 2 d i r e c ti n g ( l in e 3 6 )

. Bro kera g e Acco u n t #2 h o ld in g (lines 37-94) :

3 7 . S c h w a b G o v t M o n e y F u n d A l n L / D i v . K T3 8 . E q u i t i e s / S t o c k s : ~3 9 . A T & T Inc. B Dividend K T4 0 . Ace Limited A Dividend J T41 A m e r i c a n C a p i t a l None S o l d 06 /17/094 2 . Auto Data Processing A Dividend J T

4 3. B a n k o f A m e ri c a C o rp . None S n l d 01/20 /09

4 4. C a m er on In tl C o rp . None S o l d 12/02/09

4 5 . C h a r l e s & C o l v a r d L t d . N o n e S o ld 06 /17/09 J4 6 . C i s c o S y s l e m s I n c , N o n e J T

4 7 . Covidien Lid. N o n e S o ld 0 1 /2 0 /0 9 ] J4 8 , D e l l I n c . None J T

4 9 . Dollar Tree Inc. None K T5 0 . DuPont E I De Nemours & Co. A Dividend J T

5 1 . D u k e E n e r g y Corp . A D i v i d e n d J T

V = O t h e r


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FINANCIAL DISCLOSURE REPOR T N .... f P e r s o , r ~ e p o r , l n ~ D , , ePage 7 of 17 s ~ t ~ , a ~b ~ ~ . 0 ~ / l ~ / ~ 0 ~ O

VII. I N V E S T M E N T S a n d TR U S T S - - i ..... . , ~ . . ~ , . . . . . . , ~ , , . ~ a.~.a.,.,~o~, o/.p ...... ~ ~N O N E ~ o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s ~ 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 c p o ~ i~ g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) ~ r c p o r l i n g p e f o d ofrcpoging period

exemptl~ompriordise,o . . . . ~Code] di ....... t, C o d e 2 M e t h o d buy, sell, [mm/d~yylCode2 Cadet I buy . . . . . ] l e t! (A-H) ~ o r i n t . ) ( 5 - P ) C o d e 3 r e d e m p t i o n )

5 2 . ~ x x o n M o b i l C ~ . A D i v i d e n d K T5 3 . G en era l E lee td c C o . A Dividend K T

~4 . H a m p to n R o a d s ~a n k sh ~es I A D i v i d e n d J T~ 5 5 . H e w l e t l2 P a c k a r d C ~ m p a n y A O i v i d e n d K T

5 6 , Honeywel l Internat ional A D i v i d e n d K T5 7 . In te rna t iona l Paper Co . A D i v i d e n d S o ld 0 6 / 1 7 / 0 9 J5 8 . J o h n s o n & J o h n s o n A D i v i d e n d K T5 9 . J . P . Mo r g a n C h a s e & C o . A Dividend K T6 0 . K r a f t F o o d s , I n c . A D i v i d e n d J T6 1 , Medtronic Inc . A D i v i d e n d J T

6 2 . M i c ro s o f t C o r p . A D i v i d e n d K T6 3 . P e p s i c o I n c . " A Dividend K T6 4 , R a y t h e o n C o m p a n y A Dividend J T6 5 . S t . Jo e C o . N o n e J T6 6 . Tyco Elec t ronics Ltd . A Divideod S o ld !04 /06 /09 J6 7 . Tyco In te rna t iona l L td . A Dividend J T6 8 . V e r i z o n C o m n R m i c a t io n s A Dividend ! T

I. l nca~me Gain Codes: A = $1 ,0 0 0 o r les s B = S I,0 0 1 - $ 2 ,5 0 0 C = $ 2 . 5 1 1 1 - $ 5 , 0 0 0 O = $ 5 , 0 0 1 - S t 5 , ~ 0 E = $ 1 5 , O 0 t - $ 5 D , ~ 0 ~


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FINANCIAL DISCLOSURE R EPORT N . . .. o f P e r s o n R e p o . i n ~ D . t e o f R ~ p o .Page 8 of 17 Smith, Rebecca B. 05 /12 /2010

VII. INVESTMENTS and TRUSTS --~ ..... ,, v a l t t e , t . .. . . . ti o n ~ ( I n c lu de s tho se o f sp o u s~ a n d de p e n de n t c h i ldre n ; se e p p . 3 4 -6 0 o f f i l i n g in s t ru c t io n s . )N O N E (No reportable income, assets, or transactions..)

A . B . C .D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G ro s s v a lu e at e n d T r a n s a c t i o n s d u r i n g r c p o l a i n g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d. . . .. . . .. . . .. . . . .. . . .. . . . .. . . .. . . . .. . . .. ~ ) ( 2 ~ ( , ~ 4 2 ) ( , ~ ~ i . . . . .. . . 7 i 3 i - - ~ i ~ 7 i . . . .. . i ~ - - . . . .. . . .. .P l a c e " ( X ) " a f t e r c ~ c h a s s c l { A m o u n t T y p e ( e . g ., V a lu e Value T y p e ( e . g . , Date--| Value i Gain i h l e n t i | y o fe x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d iv . , r e n t , C od e 2 M e t h o d b u y , s c l l , mrcJd d ,yy [ Co d e 2 [ C o d e 1 ] b u y e r , s e l l e r( A - H ) orint .) ( J - P ) C o d e 3 r e d e m p t i o n ) i ( J - P ) [ (A - }l ) i ( i fp r i , , ;~ . t e

( Q - W ) [ L t t r a n s a c t i o n )6 9 . l S h a r e s Tr u s t M S C I E a f e I n d e x F u n d N o n e K T7 0 . C a n a d i a n N a t l R y C o A D i v i d e n d J T Bu y 05 /15 /09 J

71 ~ C h e s a p e a k e E n e r g y C o r p A D i v i d e n d J T Bu y 1 2 / 0 2 ! 0 9 J7 2 . H a r r i s C o r p o r a t i o n A D i v i d en d J T B u y 08 /2 8 /097 3 . H o m e D e p o t A D i v i d e n d J T Bu y 04/06/09 J74 . ] n t e l C o r p A D i v i d e n d J T B u y 05 /15 /09 J7 5 . lVla ra thon Oi l Corp A D i v i d e n d J T Bu y 12/02/09 J7 6 . P r o c t o r & G a m b l e A D i v i d e n d J T Bu y 0 9 1 2 4 / 0 9 17 7 . Tr a v e le r s C o m p a n i e s A D i v i d e n d J T B u y 08 /28 /09 ]7 8 . R y d e x S G I M G D F u t u r es N o n e K T Bu y 12 /02 i09 K7 9 . V a n g u a r d D i v A p p r c i a t i o n None J T B u y 0 1 / 2 0 1 0 9 J8 0 . Tax Exempt !3onds :8 1 . A l e x a n d r i a V A 6 / 1 5 , 1 5 A Interest K T8 2 . Arlington Cnty VA 211/13 A I n t e r e s t K T

8 3 . A r l i n g t o n C n t y V A 6/1 /09 Genera l A Interest R e d e e m e d 06/01 /09O b l i g a t i o n R ef u n d i n g8 4 . Bristo l , VA I t / I /16 A Interest J T8 5 . C h e s t er l S e ld C n t y 1 / 1 5 / 1 4 A Interest J T

( S e e C o h * m , ~ s C I a ,, d D 3 ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . 0 0 0 O


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPOR TSmith , R e b e c c a B . 0 5 / 1 2 / 2 0 1 0Page 9 of 17

VII. INVESTMENTS and TRUSTS -- i .... e, value , t . . . . .. t ions (Includes those o f sp . . . . . . d d e p e n d e n t c h i l d r e n ; s e e p p . 5 4 - 6 0 o f fi l in g l n s t r u c t i b n s . )[] NONE income, assets, or transactions.)N o reportablei D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g G ro 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 r t i n g p e r i o d[ ( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d - - I o f r e p o r t i n g p e r i o d

. . . . . . . . ( I ) ~ 1 . . . . . . . . . . . ~ ,2) : [ - I . . . . . . . . . . . . . . . . . . ( t ) II . . . . . . . . . . . . . . . . ( 2) "~ | . . . . . . . . . . . . . . . . . . . . . ( l ) / ] ( 2) - - - ] ( 3 ) . . . . . . . . . . ( 4)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., I , V a l u e i " \ r a l u c ! T y p e ( e . g ., Date ! Value ! Gain i I d e n t i t y o fe ~ c m p t f r o m p r i o r d is c l o s u r e C o d e 1 d v r e n , C o d e 2 M e t h o d buy se l l m n v d d / y y [ C o d e 2 C o d e I i b u y e r / s e l l e r( A -H ) ! o r i n l . ) ( J - P ) C o d e 3 [ r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) ,~ i I L ! t r a n s a c t i o n )J ................. : .........

8 6 . E a i r f a x C n t y V A 1 0 / l / ll A I Interest K T8 7 . Hert r ico Cnty , VA 5 /1 /10 A I Interest R e d e e m e d 05/01/09

8 8 . M i d d l e R i v . R e g l . 5 / 1 5 / 1 2 A I Interest K T8 9 . Montgomery Cnty , VA 1 /I 5 /I I A I Interest K T

9 0 . Pr ince Wil l iam County VA C"I F Par tn A I Interest J T

[i. Pr ince V~:i!l iam County V A 7/! /12 A I Interest R e d e e m e d 0 7 / 0 1 / 0 9 . K9 2 . V i r g i n i a C o l l e g e B I . 9 / I /1 5 A :1 Interest $ T9 3 . V i rg i n i a C o l l eg e B I . 4 / I /1 6 A I Interest K T9 4 . L o a n V A R e S B o n d A U t h l l / l / 1 4 1 n f r a s t r u c t u r e R e v . P o o l e d A I Interest K T

1 9 5 . W e l l s F a r g o A I Interest K T

9 7 . Renta l P roper ty # I , Norfo lk, VA E I Rent N W

~ 9 8 .C . A . A s s o c i a t e s , 2 % , N o r f o l k , V A I) I D i v i d e n d K W

9 9 . G J F C u r r i t u c k B e a c h A s s o c i a t e s , N C None J W

1 0 0 . I R A - E q n i - V e s t No n e K T1 0 1 . Deferred Annuity - Eqoilable Life Ins , Co. No n e K T

1 0 2 . IRA-Brokerage Acct #3 direct ing andhold ing ( l ines 103-148)


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FINANCIAL DISCLOSURE REPORT s~ , , o f P e r so n R e p o t , l o g D a t e o f R e p o r tP a g e 10 o f" 17 [ Smith , R e b e c c a B . 05 /12/2010VII. I N V E S T M E N T S a n d T R U S T S - ~ , , ~ o , , , ,, v a ~ , , t , . . . . . . . . ~o,,s (Includes those of sp ... . . .. . d d e p e n d e , , t c h i ld r e n ; s e e p p . 3 4 - 6 0 o f f il in g i n s t r u c t io n s . )

~ N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s , ). . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . ~ .. c. ~ ?

D e s c r i p t i o n o f A s s e l s I n c o m e d u 6 f ig G ro s s v a l u e a t e n d T~n~ctions during rcpo~ing pe6od{including t~t assets) reporting p e f o d ofrepo~ing period~Amount Type(c .g . . Value Value II T~e(e.g../

] Date [Value [ Gain [ ldcntityofl a c e ( X ) " a f t h a s s e t Codcl div.,r~t, C o d e 2 [ M e t h o d [ b u y , s e ll . lm , id ~ y y ~ C ~ d e 2 ~ C o d e l buycr/selerx e m p l f r o m p r i o r d i s c l o s u r e (A-H) [ o r i n t . ) ( 3 - P ) - C o d e 3 r~em p t i o n ) ] [ (J -P) ~ (A-H) ( i f p r i v a t e

1 0 3 . UBS Pace Money Market Investment Fund A Int.iDiv. J T1 1 ~ . A m e r i ca n F u n d s N e w W o r l d F u n d N o n e S o l d 02/03/09 J

1 0 5 . B l a c k r o c k S m a l l C a p G r o w t h F u n d N o n e S o l d 02/03/09 J1 0 6 . Blackrock La t in America F tmd N o n e S o l d 0 2 / 0 3 1 0 9 J1 0 7 . Diamon d Hil l I .,ong-Shor~ Fund N o n e S o l d 02/03/09 J1 0 8 . F i r st E a g le S o g en G lo b a l F u n d None J T1 0 9 . F i r st E a g l e O v e r s e a s F u n d A Int . /Div. J T1 1 0 . l o g C o r p o r a t e L e a d e r s Tru s t F u n d N o n e S o ld 02/03/09 J1 1 I. l o g I n t e r n a t io n a l V a l u e F u n d N o n e S o ld 0 2 / 0 3 1 0 9 J"

1 2 . l o g R u s s i a F u n d N o n e S o l d 02/03/09 Ji3 . I v y G l o b a l N a t u r a l R e s o u r c e s F u n d A ln t . /Div . S o ld 02 /03 /09 J

1 1 4 . J a n u s A d v i s e r In t l A Int .!Div. S o l d 02/03/09 J"1 t 5 . J 6 h n H a n c o c k L a r g e C a p E q u i t y F u n d A Iot .!Div. S o ld 02/03/09 J1 1 6 . [.,IFS Utilities Fun d None S o l d 0 2 . , 0 3 / 0 9 J1 1 7 . O a l a r m r k I n t e r n a t io n a l S m a l l C a p F u n d N o n e S o ld 02 /03 /09 J[ 1 8 . O p p e n h e im e r C o m m o d i t y S t ra t e g y F u n d N o n e S o l d 02 /03 /09 J1 1 9 . P i m c o R e a l E s t a t e R e a l R e t u r n F u n d None S o l d 02/03/09 J

~ P 3 ~ $ 2 5 .0 0 0 .0 0 ] - 1 5 0 .0 ~ ).~ 1 0 P 4 = M ~ re ~ h a , $5 0 .~ 0 .0 0 0


11/17

FI NANCIAL DI S CLOS UR E R EPOR T N ~ m ~ o f P e r s o n a e p t , . in g [Page 11 of 17 S m i t h , R e b e c c a B . 0 S / 1 2 / 2 0 1 0

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )Description of Assct~ Income during Gross value at end Transactions during reporting ~dod(including t~st assets) repoOing period , of rc~ing period

C~e 2 I Me hod , buy, sell. m~d~ Code 2 [ Code b u y e r / s eode I( J - P ) Code 3 ~ r~emption) (J-P ) (A -H ) (if private

exempt from prior disclosure div..~ (A-H) ~ or int.) r

.__ ...... I m ( Q - W ) : ] ~ ~nsaction)

120. Royce Micro-Cap Fund A Int.~iv. J T

121. Royce Pennsylvania Mutual Fund None Sold 02/03/09 J

122. Rydex Basic Materials Non~ Sold 02/03/09 J

123. Victo~ Small Company Opportunity Fund None Sold 02/03/09 J

124. Washington Real Estate Investment Fuad A lnt./Div. J T

! 2 5 . AFBA 5 Star Science A Technology Fund B lnt.!Div. J T Buy 04/17/09 J

126. Allianz NFJ Small-Cap Fund A lnt,~iv. J T Buy 02/03/09 J

1 2 7 . A l li ~ n z O C C O ~ o w t h F u n d B Int./~iv. J T Bo y ~4/ !7 /09 J

t 2 9 . E a t o n V a n c e Tr a d i ti o n a l W o r l d w i d e H e a l t h A lnt . /Div. J T Bu y 0 2 1 0 3 1 0 9 JSciences1 3 0 . F ed e~ted P ~d en t B ea r F u n d None J T B u y 02 /03 /09! 3 1 . I N G G lo b a l V a lu e C h o i ce F u n d B tnt . /Div, J T Bu y 04/17/09 J1 1 3 2 . Ivy Small Cap Value Fund B l n t . / D i v , J T B u y 0 4 / 1 7 / 0 9 J

1 3 3 , M a t t h e w s C h i n a F u n d B Int . /Div. J T B u y 04/17/09 J1 3 4 . N n v e e n Tr a d c w i n d s G l o b a l B lnt./Div. J T B u y 04/17/09 J1 3 5 . O p p e n h e im e r G l o b a l O p p o r t u n i t i es F t m d B Int . /Div. J T Bu y 04;17/09 Ji36. R y d e x R e t a i l i n g F u n d A lnt./Div. J T Bu y ( g / 1 7 / 0 9 J

I . In co me G, ~ in Co d es: A = 5 1 , 0 0 0 o r l e s s B = $ 1 ,0 0 1 - $ 2 .5 0 0 C = $ 2 ,5 0 t - $ 5 ,0 0 0 D = 5 5 .0 0 l - 5 !5 .0 0 0 E( S e e C o l u n m s B I a n d D 4 ) F , ,$50,001 - 51(10,000 G = 51 00 ,0 01 - 5! .0 00 ,0 00 1 11 ~$ 1,0 00 .0 01 - $ 5,0 00 ,0 00 112 =M o re t han2 , V a l u e C o d e s J =$ I 5 .000 o r l ess K = 5 1 5 , ( g l l - $ 5 0 , 0 0 0 I, =$50,001 - $ 100,000 M .~:$ t O0,00 t - $ 250.00O( S e e C o t t ~ m a s C I a n t i D 3 ) N ~ 5 2 5 0 , 0 0 1 - $ 5 0 0 , 0 0 : } O = 5 5 0 0 , 0 ( , I - $ 1 ,0 0 0 , 0 0 0 P I ~ $ t , 0 0 0 , 0 O l - $ 5 , 0 0 0 , 0 0 0 P 2 = $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0P3 . , $2 5, 000. , 90[ - $50, 000, O [ J 0 P 4 = M o r e t h a n 5 5 0 , 0 0 0 , 0 0 03 . \ , a ! u M e t h o d C o d e s Q = A p p r a i s a l R = C o s t ( R e a l E s t a t e O n l y ) S =Asscsmnent T = C a s h M a r k e t


12/17

!FINANCIAL DISCLOSURE R EPORT [ N a m e o f P e r s o n R e p n r t ia g D a t a o f R e p o r tIPage 1 2 of 1 7 [ s m t a , . R e b e c c a B . 0 5 / 1 2 / 2 0 1 0VII. INVE STMENTS and TRU STS -i ......... t , , . , , . . . . . . , i o .s a ~ c l . a ~ , ~ o s . o ~ o . . .. .. d ~ . ~ . . a . . ..

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A ~ c l s [ t n c o n e d u r i n g [ G r o s s v a l u e a t e ~ d T r a n s a c t i o n s d u r i n ~ r e p o r t i n g p e r i o d(including t~st assets) ~ r e p o r t i n g p e r i o d / o f r e p o ~ i n g p e r i o di(I) ~ (2) ] (I) ~ (2) ] (I, 1 (2)P l a c e " ( X ) * a f t e r e a c h a s s e t : A m o u n t T ~e ( e . g . [ V a l u e ] V a t n e T y p e ( e . g ., D a t e l V a l u e G a i n I I d e n t i t y o fe x e m p t f ro m p r o r d ~ s e o s u r e ~ d ~ v . , r e n t , C o d e _ t M e t h o d , b u y . s e l l ~d~yy Code ~ Cod e I j buy~/~l lcr: - o f i n t . } ( J - P ) C o d e 3 ] r e d e m p t i o n ) ~ ( J - P ) ( A - H ) ( i f p r i v a t e

1 3 7 . R y d e x S & P M i d c a p 4 0 0 G r o w ~ F u n d B ln t . /Div . J T B u y 04 /17 /09 J1 3 8 . S e l ig m a n L a r g e C a p V a l u e F u n d B lnt .!Div. J T B u y 04/17/09 J1 3 9 . N u v e e n M u l t i - S t r a l eg y I n c o m e F u n d A Int .iDiv. J T B u y 04/17/09

! 1 4 0 . . IP M o r g a n H i g h b r i d g e S t a r M a r k e t F u n d N o n e J T Bu y 02/03/09

! 4 1 . R yd ex ! S G l Ma n a g ed F u tu res F u n d N o n e J T B u y 02 /03 /09I 4 2 . F i r s t E a g le G o ld F u n d A Int./Div. J T B u y 04/17/09t 4 3 . F e d e r a t e d C a p i t a l I n c o m e F u n d A lnt .!Div. J T B u y 02/03/09

i 1 4 4 . .~ a n u s B a l a n c e d F u n d A Int . /Div. J T B u y 02/03/09! 1 4 5 . " F a x E x e m p t B o n d s :

I ! 4 6 . V A S t P n b S c h A u t h 8 / 1 1 2 0 A Interest K T1 4 7 . P r i n c e W i l l i a m C o u n t y , V a 7 / 1 / 2 9 N o n e S o ld 07/01 /091 4 8 . V i r g i n i a B e a c h V a P u b I m p t 7 / 1 5 / 2 3 A Interest J T1 4 9 . B r o k e r a g e A c c o u n t # 4 d i r e c t in g a n d h o l d i n g1 5 0 . Resource Management Tax-Free Fund, Inc . A Interest L Tt 5 1 . Equi ties/Stocks:1 5 2 . A b b o t t L a b s N o n e S o ld 01 /07/09 J1 5 3 . Baxter Intl Inc. N o n e S o ld 04/30 /09 J


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N a m e a f Person Reporting D a t e o f R e p o r t IINANCIAL DISCLOSURE R E P O R T[ Smith, Rebecca B.a g e 1 3 o f 1 7 0 ~ / 1 2 / 2 0 1 0

V I I . IN V E S T M E N T S a n d TRUSTS - i . . . . . .. . . I , ,, , t . . . . .. t i , , nS ( Inc l , de$ th os e o f s p . . . .. . . . d d epen d enl ch i l d r en; s ee pp . 34- 60 o f f i l ing in s t r , c t tons . )N O N E (No reportable income, assets, or transactions.)

A . B. C. D .D e s c r i p t i o n o f A s s e t s Income dufng G r o s s v a l u e a t e n d Transactions during re~ing period(includingtmst assets) r c p o ~ i n g p e r i o d [ o f r e p o s i n g p e r i o d

P l a c e " ( X } " a f t e r e a c h a s s e t Amo u n l T y p e ( e . g .. [ Va lu e Value T~c (e.g. , D a t e ~ V a l u e [ G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , ] C o d e 2 M c ~ h o d b uy , s e ll , m ~ d ~ t y Y I C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ~ ( J - P ) C o d e 3 r~emp tio n) ! ~ 0 - P ) ( A - H ) ( f p r i v a t e( Q - W ) ~ t r a n s a c t i o n ) ,1 5 4 . C h e v r o n C o ~ . None S o l d 0 3 1 0 3 / 0 9 J1 5 5 . D o m i n i o n R e s o u ~ e s None S o ld 02 /2 3 /09 J

1 5 6 . J o h n s o n & J o h n s o n No n e S o ld 02 /2 7/09 ,1,1 5 7 . K i n d e r M o r g a n E n e r g y No n e So!d 03 /03 /09 J1 5 8 . M c D o n a l d s C o r p . None S o l d 03/05 /09 J1 5 9 . N a t i o n a l B a n k o f A Z None S o l d 01/08/09 K1 6 0 . Nestle B Dividend S o l d 11/20/09 ,1,1 6 1 . P o w e r s h a r e s G l o b a l E x c h a n g e None S o ld 02/24/09 J1 6 2 . P r o c t e r & G a m b l e C o . A Dividend S o l d 11/20/09

1 6 3 . R yd ex S er i es F u n d None S o ld I0/2 9/091 6 4 . S o u t h er n C o . None S o l d 06/04/091 6 5 . Teva Pharmaceut icals B Dividend S o ld 1 1 1 2 0 / 0 91 6 6 ~ Ver iz o i~, Co mm . A Dividend S o l d 0 7 / 2 8 / 0 9 , 1 ,

1 6 7 . W a l M a r t S t o r e s None S o ld 02 /04/09" 1 6 8 . W e l l s F a r g o & C o . None So ld 01!20/09

1 6 9 . I S h a r es Tr u s t R u s s e l l 1 0 0 0 V a l u e I n d e x A Dividend J T B u y 1 1 / 2 0 / 0 9F u n d1 7 0 . I S ha r e s Tr u s t R u s s e l l 1 0 0 0 G r o w t h I n d e x A Dividend ,1, T Bu y 1 1 / 2 0 / 0 9F u n d


14/17

FI NANCIAL DI S CLOS UR E R EPOR T N a m e o f P c .... Reporting I D a , e o , ~ e l , o r ,P a g e 1 4 o f 1 7 Srulth, ~ , ~ IVII. INVESTMENTS an d TRUSTS -- i.,o.,, ~,, , .......~ o ~ a , ,~ t ~ a ~ a , o ~ , o f ~ r o , , . . .. . dependent chi l dren; see pp . 3 4 - ~ 0 of f i l ing i n s t r u c t i o n x )~ N O NE (No reportable income, assets, or transactions.)] ........... A. a. C. D .D e s c r i p t io n o f A s s c u 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 ~ e p o a i n g p e r i o d(including t~t assets) reposing per od of r~oaing pe r iod

Place"(X)" after c~h asscl A m o u n t T } g e ( e . g . , Value ] V a l u e T > g e ( e . g .. D a t e V a l u e ~ G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c lo s u r e ~ C o d e I d i v e , r e n t , C o d e 2 ~ Meth~ b u y , ~ 1 1 , m m ~ d ~ y y Co ~e 2 ] Co d e I b u y e r / s e l l e rC o d e 3 r e d e m p l i o u ) (J-P) ] (A-H) ( i i p r i v a l eA - H ) o r i n t . ) ( J - P )

1 7 1 . l S h a r e s T~ s l D J U . S . B a s ~ c M a l e r i a l s A D i v i d e n d J T Bu y 11/20/091 7 2 . I S h a r e s Tr u s t R u s s e l l M i d e a p V a l u e F u n d A D i v i d e n d J T Bu y 11/20/091 7 3 . l S h a r e s Tr u s t R u s s e l l M id c a p I n d e x F u n d A D i v i d e n d J T Bu y 11/20/09 J1 7 4 . I S h a r es M S C I E m e r g i n g M a r k e t F u n d A D i v i d e n d J T Bn y 11/20/09!75. l S h a r e s M S C I E A F E I n d e x F u n d A D i v i d e n d J T Bu y 11/20/09 J

7 6 . Rydex ETF Trus t S & P 500 A D i v i d e n d J T Bu y 1 1 1 2 0 / 0 9 J1 7 7 . V a n g u a r d I n d e x F u n d s A D i v i d e n d J T Bu y 1 1 / 2 0 1 0 9 J1 7 8 . V a n g u a r d l n t l E q u i t y I n d e x F d N o n e J T Bu y 11/20/09 J1 7 9 . V a n g u a r d D i v i d A p p r e c i a t io n E TF A D i v i d e n d J T Bu y 1 ! / 2 0 / 0 9 J

8 0 . I S ha r e s l b o x x $ l n v t G r a D e C o r p o r a t e B o n d N o n e J T Bu y 1 ! / 2 0 / 0 9 JF u n d8 1 . [ S h a r es B a r e l a y s I - 3 y r Tr e a s B o n d F u n d N o n e J T Bu y 11/2 0/09 .I

1 8 2 . l S h a r e s B a r c l a y s Tip s B o n d F u n d N o n e J T Bu y 1 1 1 2 0 / 0 9 J1 8 3 . I S h a r es B a t c l a y s M B S B o n d F d N o n e J T Bu y i 1 1 / 2 0 / 0 9 J1 8 4 . SPDR Barclays Capita l In[ Term Treasure N o n e J T Bu y 11/20/09 JET F1 8 5 . S P D R B a r c l a y s C a p i t a l T i p s N o n e J T Bu y 11/20/09 J! 8 6 . SPDR D~ ln t l Govt Inf la t ion Pro tec ted None J T Bu y 11/20/09 JB o n d1 8 7 . S P D R L e h m a n l n d T r e a s B o n d None J T Bu y 11/20/09 J


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FINANCIAL DISCLOSURE REPOR T ~ a , ~ e o ~ P e ~ o n ~ o r ~[

a , , o R e p a .Iage 1 5 of 1 7 Smith , R e b e c c a B . 0 5 / 1 2 / 2 0 1 0

VII. INVESTMENTS an d TRUSTS - ~, ......... ~ , , . , . . . . . . . ., i o , , ( Inc ludes those o f sp . . . . . . d dependent c h i l d r e n s e e p p . 3 4 - 6 0 of f i l ing i n s r r u c t l o n s z )~ N ON E ~ o reportable income, assets, or transactions.)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A. ~ ...... ~." .......... ~ ? . . . . .. . . . . . 7 .............. T~De~ription of Assets i Income during Gross value at end Transactkms during reposing period

(including ~mst assets) ~ reporting period of reporting period{I ) { 2} {I) {2) (~) (2) t3) {4) {5 )

Place "(X)" after each asset ~ A m o u n t T~c (e.g., V a [ u e V a l u e T~e {e.g., D a t e V a l u e G a i n Identity ~f Code 1 div., rent, Code 2 Method t buy, sell, mm/d~ Code 2 Code buyer/sellerxempt from prior disclosure ~ (A-H) or int.) ( J - P ) Code 3 r~emption) { J-P ) ( A -H ) (if private~ ( Q 6 ~ 3 t r a n s a c 6 o n )

1 8 8 . ISgares S & P G S C 1 C ~ m m d i ~ l n d A ~i v i d en d K T B u y l 1~0 /09 K1 8 9 . Powershares DB M ulti Section Commodity B Dividend K T B u y 1 1 / 2 0 1 0 9 1 K

1 9 0 . E n e r g y T r a n s f e r P a r t n e r s L P A Dividend B u y 03/20 /09 J1 9 1 . S o l d I 1 / 2 5 / 0 9 1 J B

1 9 2 . H e r i t a g e B a n k A c c o u n t B I n t e r e s t M T1 9 3 . ~Account #i {line t94)

1 9 4 . Branch B ank & Trust Co. Bank Account B l n ~ e r e s t N T

C o l u m n s C I a n d D 3 ) N , , $ 2 5 0 , ~ 1 - $ 5 0 0 . 0 0 0 O = $ 5 0 0 , 0 0 [ - $ 1 , 0 ( g ) , 0 (~ P I = $ 1 . 0 0 0 . 0 0 1 - $ 5 , 0 0 0 . 0 0 0 P 2 ~ $ 5 . ~ 0 . 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0


16/17

FINANCIAL DISCLOSURE REPORT N ~ m ~ o f P ..... R e p o r t i n g D a t e o , ~ p o ~ Ia g e 1 6 o f 1 7 S m i t h , R e b e cc a B . 0 5 / 1 2 / 2 0 1 0V I II. A D D I T IO N A L I N FO R M A T IO N O R E X P L A N A T IO N S .


17/17

N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r t IINANCIAL DISCLOSURE R EPORTS m i t h , R e b e c c a B .age 1 7 of 1 7 0 5 / 1 2 / 2 0 1 0

IX. CERTIFICATION.! ce r t if y th a t a l l i n f o rm a t i o n g i v en a b o v e ( i n c lu d i n g i n f o rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r d ep en d en t ch i ld ren , if a n y) i sa ccu ra te , t r u e , a n d co m p le te t o th e b es t o f m y k n o w led g e a n d b e l i e f , a n d th a t a n y i n f o rm a t i o n n o t r ep o r ted w a s w i th h e ld b eca u se i t m e t a p p l i ca b le s t a tu to ryp ro v i s i o n s p e rm i t t i n g n o n - d i sc lo su re .! f u r th e r ce r t if y th a t ea rn ed i n co m e f ro m o u t s i d e em p lo ym en t a n d h o n o ra r i a a n d th e a ccep t a n ce o f g i f t s w h i ch h a v e b een rep o r ted a re i nco m p l i a n ce w i th th e p ro v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . seq . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e ren ce reg u l a t i o n s .

N O T E : A N Y I N D IV 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 I F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I MI N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

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

Committee on Financial Disck)sureAdministrative Office of the United Stat~s CourtsS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

rebecca b smith financial disclosure report for 2009

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