9
UNITED STATES COURT OF APPEALS
FOR THE THIRD CIRCUIT CHAc"vfBERS OF
JUDGE D. BROOKS SMITH
ALLEGHENY PROFESSIONAL CENTER 1798 OLD ROUTE 220 NORTH
SUITE 203 DUNCANSVILLE, PA 16635
(814) 693-0570
July 29, 2007
Honorable Ortrie D. Smith, Chair CJ ,.....,
=Judicial Conference of the United States = (/) ::0c:o ()Committee on Financial Disclosure
(_ , --, m One Columbus Circle, N.E. ...
wWashington, DC 20544 rn�� c::
0
-rrl
<ol> )>Re: Honorable D. Brooks Smith .,, , m .,,
Calendar Year 2007 Filing ("") 0
rr1
Dear Judge Smith:
The following are the required responses to your request dated July 2, 2008:
Part VII, page 14
a. Line 16: Travelcenters of America LLC
i. Travelcenters of America LLC was a spin off from Hospitality
Properties Trust on February 1, 2007. Hospitality Properties Trust was
listed on the 2006 report on Page 8 of 10, line 71. Travelcenters of
America LLC was subsequently sold on February 15, 2008.
CJ
C)
-
- _..,...
-111
Repor/ Required by the Elhics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978
Rev. 112008 FOR CALENDAR YEAR 2007 (5 US.C. app. §§ 101-111)
I. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Date of Report
Third Circuit Court of Appeals Smith, D. Brooks 05/15/2008
4. Title (Article Ill judges indicate active or senior status; Sa, Report Type (check appropriate type) 6. Reporting Period
D
magistrate judges indicate full- or part-time)
Nomination, Date 01/01/2007 Judge-Active toInitial Annual FinalD 0 D 12/31/2007
Sb. Amended Report D 7. Chambers or Office Address 8, On the basis of the information contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. US Court of Appeals, Ste 203
1798 Old Route 220N Duncansville, PA 16635
Reviewing Officer Date------
IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign 011 last page.
J. POSITI 0 NS. (Reporting individual only; see pp. 9-13 of .ftling instructions.)
D NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
l. True tee Mount Aloysius College, Cresson, PA
2.
3.
4.
5.
,._,c:::> c.-:::> = ;o
(/} (") rn r-,, :w--
-< (')oz(/)-II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.) cJ> w n1
..,,,.:....) _.;
r-ci C) NONE (No reportable agreements.) [2J c-:J ;::.... J>
< rn
-r1 0PARTIES AND TERMS r·q U1
_II.
2.
3.
(yours, not spouse's)
I.
2.
3.
4.
William and Mary Law School
New York Law School
Cornell Law School
Ave Maria Law School
05118/2007
0512012007
09/08/2007
0911012007
1012012007
1012212007
11/15/2007
11/07/2007
Williamsburg, VA
New York, NY
Ithica, NY
Ann Arbor, MI
Graduation Speech
Moot Court Competition
Moot Court Competition
Moot Court Competition
Travel, food and lodging
Travel, food and lodging
Lodging
Travel and lodging
FINANCIAL DISCLOSURE REPORT
Page 2 of 16
Name of PerS-On Reporting
Smith, D. Brooks
Date of Report
05/15/2008
Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructwns.)
A. Filer's Non-Investment Income
0 NONE (No reportable non-investment income.)
SOURCE AND TYPE INCOME
I.
2.
3.
4.
B. Spouse's Non-Investment Income - lf you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income.)
SOURCE AND TYPE
1. 2007 Reliance Bank - Vice President, Commercial Lending - Salary .
2.
3.
4.
IV. REIMBURSEMENTS --transportation, lodging, food, eritertainment.
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 3 of 16 Smith, D. Brooks 05/15/2008
5.
FINANCIAL DISCLOSURE REPORT
Page 4 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
0511512008
V. GIFTS. (focludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
0 NONE (No reportable gifts.)
SOURCE DESCRIPTION
I.
VALUE
2.
3.
4.
5.
VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instmctions.)
0 NONE (No reportable liabilities.)
DESCRIPTION VALUE CODE CREDITOR
2.
3.
4.
5.
i (2)- -(-1 -) -- -
!
I
'
(I) (2) (3) -----i
4 .
5.
14.
17.
(J-P)
FINANCIAL DISCLOSURE REPORT
Page 5 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
05/1 5/2008
VII. INVESTMENTS and TRUSTS -- i11come, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing i11stmctions.)
D NONE (No reportable income, assets, or transactions.) --- ------------------�----
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(2) (I) (4) (5) Value Value Type (e.g., Date Value Gain Identity of IType (e.g., Place "(X)'" after each asset iAmount iCode 1 Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/sellerdiv., rent, exempt from prior disclosure !
(A-H) (J-P) Code 3 redemption) Dayor int.) (A-H) (if private I
(Q-W) transaction)
I. Reliance Bank Ce11ificate of Deposit. A Interest K T Buy 12/21 K
2. FNB Corp (common. "A Dividend J T
3 . Fifth Third Bancorp . A Dividend J T
I
AST Capiral Growth Asset Allocation.I D Dividend M T
AST Balanced Asset Allocation. I D Dividend M T
6. M&T Bank (common. c Dividend M T
7. M&T Bank 401(K) . D Dividend K T
8. Reliance bank 40l(K. A lnt./Div. L T
9. Northwestern Mutual Life lns(Universal B Dividend M T Life Policies)
10. Altria Group Incorporated 2 A Dividend J T Buy
11. A Dividend J T Buy
12. Ameren Corp 2 A Dividend J T
1 3. AN! S P A Sponsored ADR(ltaly) 2 A Dividend J T Buy
04/1 9
05/30
03109
J
J
J
BB&T Corporation 2 A Dividend J T Buy J08/24
08/27 J1 5. A Dividend J T Buy
J0911016. A Dividend J T Buy
BP PLC Sponsored ADR(United Kingdom) A Dividend J T Buy J03102 2
1. Income Gain Codes: A =$1,000 or less B =$ 1,00 I - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Coltunns BI and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100.000 M =$100,001 - $250,000
(See Coltunns Cl and D3) N =$250,00! - $500,000 0 =$500,001 - $!,000,000 Pl =$1,000,001 · $5,000,000 P2 =$5,(J00,001 - $25,000,000
P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Mark et
(See Column C 2) U =Book Value V =Other W -::::Estimated
------------·-- -,.-·----- .
(1)
.. Jj Type (e.g., Value
rent, Code
or int.) (J-P)
i
i
---- -- ----,
29.
31.
32.
34.
(1) (5)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6 of 16 Smith, D. Brooks 05/15/2008
VII. INVESTMENTS and TR US TS income, value, transactions (Includes t hose of spouse and dependent children; see pp. 34-60 of filing instructions.! ..
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period ··-----1
Place "(X)" after each asset .Amount
(2) (2) (I) (2) (3) (4) Value Type (e.g., Date , Value Gain Identity of
I I
Code 1exempt from prior disclosure (A-H)
18. A
19. A
20. Bank of America Corporation 2 A
21. A
22. A
23. A
24. A
25. BCE Incorporated Com New 2 A
26. A
27. Bristol Myer s Squibb Company 2 A
28. A
div., 2 Method
Code 3 (Q-W)
buy, sell,
redemption)
Month -
Day
i Code 2 (J-P)
Code 1 (A-H)
Dividend J T Buy 03/12 J
Dividend J T Buy 06111 J
Dividend J T Buy 01/11 J
Dividend J T Buy 02/06 J
Dividend J T Buy 02/07 J
Dividend J T Buy 04/30 J
Dividend J T Buy 06/11 J
ADividend Sold 05104 J
Dividend Sold 05/03 J A
Dividend J T Buy 10/08 J
Dividend J T Buy 10109 J
buyer/seller
(if private
transaction)
A Dividend J T Buy 10/19 J
30. Citizens Communications Company 2 A Dividend J T Buy 08/28 J
Consolidated Edison 2 A Dividend Sold 08/03 J A
A Dividend Sold 08/29 J A
33. A Dividend Buy 04/05 J
Duke Energy Company New 2 A Dividend J T Buy 11107 J
l . Income Gain Codes: A -.$1,000 or less B =$1.001 · $2,500 C =$2,50 I · $5 ,000 D =$5,001. $15,000 E =$15,001 · $50,000
(See Colwnns BI and D4) F =$50,001 . $100,000 G =$100,001 · $1,000,000 Hl =$1,000,001 · $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 · $50,000 L =$50,()(11 • $100,000 M =$100,001 · $250,000
(See Colwnns CI and D3) N =$250,001 · $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001 · $5,000,000 P2 =$5,000,001 · $25,000,000
P3 =$25,000,001 · $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cmt (Real Estate Oitly) S ::::Assessment T =Cash Mark et
(See Column C2) U =Book Value V =Other W ::::Estimated
--
---------------------;---------------------------·--------
(5)
A.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7 of 16 Smith, D. Brooks 05/15/2008
VII. INVESTMENTS and TRUSTS income, vatue, transactions c1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instractions.)
D NONE (No reportable income, assets, or transactions.)
B. C ll
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting peri ad reporting period
Place "(X)" after each asset
exempt from prior disclosure
(!) (2) (l ) (2) (1) (2) (3) ·Amount Type (e.g., Value Value Type (e.g., Date Value
Code I : div., rent, Code 2 Method buy, sell, Month- Code 2 (A-H) or int.) (J-P) Code 3 redemption) Day (J-P)
(Q-W)
(4) Gain Identity of
Code 1 buyer/seller
(A-H) (if private
transaction)
35
36.
37.
38.
39.
40.
41
42.
43.
44.
45.
46.
47.
48.
49.
50.
51.
Fifth Third Bancorp 2
First Horizon National Corporation 2
France Telecom Sponsored ADR(France) 2
Heinz H J Company 2
Keycorp New 2
Kraft Foods Incorporated Class A 2
National City Corp 2
A
A
A
A
A
A
A
A
A
A
A
A
A
Dividend J
Dividend J
Dividend J
Dividend J
Dividend
Dividend J
Dividend J
Dividend J
Dividend J
Dividend
Dividend J
Dividend J
Dividend
T Buy
T Buy
T Buy
T Buy
Sold
T Buy
T Buy
T Buy
T Buy
Sold
Sold
Sold
Sold
Sold
T Buy
T Buy
Sold
11/13 J
04/30 J
05/01 J
06/11 J
11/14 J A
06101 J
06/11 J
10/19 J
11/09 J
01/11 J A
01/12 J A
01/19 J A
01122 J A
01/23 J A
11/08 J
11/13 J
11/14 J A
I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2,500 c 42.501 • $5,000 D =$5,001 - $15,000 E =$15,001 - $50.000
(See Columns BI and D4) F =$50,001 · $100,000 G =$100,001 - $1,000,000 HI =$1,000,001- $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $ 250,000
(Sec Columns CI and D3) N =$250,001 - $500,000 0 =$500,00 I - $ 1,000,000 Pl =$1,000,001 - $5,000.000 P2 =$5,000,00! - $25,000,000
P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W :::::Estimated
FINANCIAL DISCLOSURE REPORT
Page 8 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
0511512008
VII. INVESTMENTS and TRUSTS -- income, value, transactions (1tic1udes those of spouse and dependent children,- see pp. 34-60 of filing instructions.>
D NONE (No reportable income, assets, or transactions.)
52.
53.
54.
55.
56.
57.
58.
59.
60.
6I.
62.
63.
64.
65.
66.
67.
68.
A.
Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
New York Cmnty Bancorp Incorporated 2
N isource Inc 2
Packaging Corp America 2
Peoples Energy Inc 2 (Merged with Integrys Energy Group)
Integrys Energy Group 2 (Formerly Peoples Energy Inc)
Pinnacle West Cap Corporation 2
Progress Energy Inc 2
Regal Entertainment Group Class A 2
Reynolds American Inc 2
Southern Company 2
Telecom Corp NZ Ltd 2
,------- · -··--- ----- --------- -----
!. Income Gain Codes: A =$1,000 or less
(See Columns B 1 and D4) F=$50,001 - $100,000
2. Value Codes
(See Columns Cl and D3)
3. Value Method Codes
(See Column C2)
J =$15,000 or less
N=$250.001 - $500,000
P3 =$25,000,001 - $50.000,000
Q =Appraisal
U=Book Value
B. c. Income during Gross value at end of
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
Dividend 1
Dividend 1
Dividend 1
Dividend
Dividend
Dividend
Dividend J
Dividend 1
Dividend J
Dividend J
Dividend 1
Dividend J
Dividend J
Dividend J
Dividend 1
B =$1,001 - $2,500
G =$100,001 - $1,000,000
K=$15,001 - $50,000
0 =$500,001 - $1.000.000
R =Cost (Real Estate Only)
V=Other
T
T
T
T
T
T
T
T
T
T
T
T
(1) Type (e.g.,
buy, sell,
redemption)
Buy
Buy
Buy
Sold
Sold
Sold
Sold
Merger
Merger
Buy
Buy
Buy
Buy
C =$2,501 - $5,000
H 1 =$1,()()(1,001 - $5,000,000
L=$50,001 - $100,000
Pl =$1,000,001 - $5,000,000
P4 =More than $50,000.000
S =Assessment
W ::::Estimated
D.
Transactions during reporting period
(2)
Date
Month-
Day
04102
04103
06111
01/17
06101
06104
06105
02122
02122
07105
07106
07109
11108
(3) Value
! Code 2
(J-P)
1
1
J
J
J
J
1
1
J
J
1
J
D=$5.001 - $15,000
(4) Gain
Code I
(A-H)
A
A
A
A
A
H2 =More than $5,000,000
M =$100,001 - $250,000
P2 =$5,000,001 - $25.000,000
T=Cash Market
(5) Identity of
buyer/seller
(if private
transaction)
E=$1 5,001-$50,()()(1
----- ----, --------
(4)
Date of Report
05/15/2008
Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 9 of 16 Smith, D. Brooks
VII. INVESTMENTS and TRUSTS -- income, value, transactWns (Includes those of spouse and dependent children,- see pp. 14-60 of filing instructions.>
D NONE (No reportable income, assets, or transactions.) ,------------·
A. B. c. Description of Assets
(including trust assets)
Income during reporting period
Gross value at end of reporting period
69.
70.
71.
72.
73.
74.
75.
76.
77.
78.
79.
80.
81.
82.
83.
84.
85.
Place "(X)" after each asset exempt from prior disclosure
UST Inc 2
United Utilities PLC 2
Windstream Corporation 2
First lndusstrial Realty Tr 2
HRPT Property Trust 2
Health Care Realty Trust 2
I. Income Gain Codes: A =$1,000 or less
(See Columns B 1 and D4)
! 2. Value Codes
(See Columns Cl and D3)
F =$50,001 - $100,000
J =$15,000 or less
N =$250,001 - $500,000
(l) Amount
, Code l
(A-H)
A
A
A
A
A
A
A
A
A
A
A
A
A
3. Value Method Codes
(See Column C2)
P3 =$25,000,001 - $50,000,000
Q =Appraisal
U =Book Value
(2) Type (e.g., div., rent,
or int.)
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
B =$1,001 - $2,500
(I) Value
Code 2 (J-P)
J
J
J
J
J
J
J
J
J
G =$100,001 - $1,000,000
K =$15,001 - $50.000
0 =$500,001 - $1,000,000
R =Cost (Real Estate Only) V::::Other
(2) (I) Value Type (e.g.,
Method buy, sell, Code 3 redemption)
(Q-W)
T
T
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
T Buy
Sold
Sold
Sold
Sold
Buy
Sold
Sold
Sold
C =$2,50 I - $5,000
HI =$1,000,001 - $5,000,000
L =$50,001 - $100,000
Pl =$1,000,001 - $5,000,000
P4 =More than $50,000,000
S =Assessment
W ::::Estimated
D.
Transactions during reporting period
(2) (3) Date Value Gain
; Month - Code 2 Code l
Day (J-P) (A-H)
06/11 J
01/16 J
01/17 J
01111 J
04102 J
04103 J
06111 J
08129 J A
04123 J A
04105 J A
04109 J A
06/l l J
08/31 J A
03/13 J A
03/14 J A
D =$5,001 - $15,000
H2 =More than $5,000,000
M =$100,001- $250,000
P2 =$5,000,001 - $25,000,000
T =Cash Market
(5) Identity of
buyer/seller (if private
transaction)
E =$15,001 - $50,000
c
�--�------T--· ___j_·-----�---
-----
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 10 of 16 Smith, D. Brooks 05/15/2008
VII. INVESTMENTS and TRUSTS -- income, value, transactions !Includes those of spouse and dependent children,- see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. D.
Description of Assets
(including trust assets)
Income during Gross value at end of i Transactions during reporting period
86.
87.
88.
89.
90.
91.
92.
93.
94.
95.
96.
97.
98.
99.
100.
IOI.
102.
Place "" (X)" after each asset
exempt from prior disclosure
Hospitality Properties Tr 2
Nationwide Health Properties 2
Senior Housing Properties Tr 2
Allied Cap Corporation 2
Coamerica Incorporated 2
Deutsche Telekom AG 2
Enel Societa Per Azioni ADR 2
l. Income Gain Codes: A =5: \,{X)() or less
(See Columns B 1 and D4)
2. Value Codes
(See Columns CI and D3)
F =$50,001 - $100,000
J =$15,000 or less
N =$250,00 I - $500,000
reporting period reporting period I ,---�-
(I)
:Amount Code I
(A-H)
A
A
A
A
A
A
A
A
A
A
A
A
A
(2) (I) .
(2) I (I) (2)
Date
(3) Value
(4) GainType (e.g.,
div., rent,
or int.)
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
B =$1,00 I - $2,500
Value
Code 2
(J-P)
J
J
J
J
J
G =$100,001 - $1,000,000
K =$15,001 - $50,000
0 =$500,001 . $1,000,000
Value
Method
Code 3 (Q-W)
T
T
T
T
T
Type (e.g.,
buy, sell,
redemption)
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Buy
Buy
Month - / Code 2 . Code I
Day (J-P) (A-H)
04/23 J A
08/31 J A
02/09 J A
02/12 J A
03/13 J A
03/14 J A
03/15 J A
11/14 J A
11/14 J A
11/14 J A
11114 J A
11/14 J A
06/11 J
03/08 J
----- ·---- ·-------·--------.,-------
c =$2,501 - $5,000
HI =$1,000,001- $5,000,000
L =$50,001 - $100,000
D =$5,001 - $15,000
H2 =More than $5,000,000
M =$100,00 I - $250,000
P2 =$5,000,001 - $25,000,000
3. Value Method Codes
(See Column Cl)
P3 =$25,000,001 - $50,000,000
Q =Appraisal R =Cost (Real Estate Only)
V =Other
P 1 =$1,000,001 - $5,000,000
P4 =More than $50,000,000
S =Assessment T =Cash Market
U =Book Value W =Estimated
(5) Identity of
buyer/seller
(if private
transaction)
E =$15,001 · $50,000
Code 1v 11 e --V- - - e
---c------------�------� ·
·-------'----- --------- ------�---�-------'----------
; ;unt
FINANCIAL DISCLOSURE REPORT
Page 11of16
Name or Person Reporting
Smith, D. Brooks
Date or Report
05/15/2008
VII. INVESTMENTS and TRUSTS -- income, value, transactions <Includes those of spouse and dependent children,- see pp. 34-60 of filing instmctions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
Place "(X)" after each asset exempt from prior disclosure ;
Typ:(I) (2) (3) (4) (5)2le.g Type (e.g., Date Value Gain Identity of
buy, sell, buyer/seller ·
Method Month- '.Code 2 'Code 1Code I div., rent, 2(A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
transaction)(Q-W)
103. A Dividend J T Buy 06/11 J
104. Gallagher Arthur J & Company 2 A Dividend J T
105. A Dividend J T
106 Sold-Pait 10/11 J A
107. Sold-Pait 10/12 J A
108. Kingfisher PLC 2 A Dividend J T Sold-Pait 04/23 J A
109. A Dividend J T Sold-Pait 05/22 J A
110. A Dividend J T Buy 06/11 J
Ill. Lloyds TSB Group PLC 2 A Dividend J T
112. A Dividend J T
113. A Dividend J T Buy 06/11 J
114. Pfizer Incorporated 2 A Dividend J T
115. A Dividend J T
116. A Dividend J T
117. A Dividend J T Buy 01/08 J
118. A Dividend J T Buy 01/09 J
119. A Dividend J T Buy 06/11 J
1. Income Gain Codes: A =$1,000 or less B =$1.001 - $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Colunms BI and D4) F =$50,001 - $100,000 G =$100,001 - $!,000,000 HI =$1,000,001- $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25,000.000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
----------
L___ ____ _
(1) .. ''<1
(e.g., rent, Code
int.)
I
FINANCIAL DISCLOSURE REPORT
Page 12 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
05/15/2008
VII. INVESTMENTS and TRUSTS -- income, value, transactions <1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instmctions.)
D NONE (No reportable income, assets, or transactions.) ···------- ··----------
A. Description of Assets
(including trust assets)
Place "(X)" after each asset exempt from prior disclosure
120. Telecom Italia SPA New 2
121.
122.
123. Telstra Corporation Limited 2
124.
125. US Bancorp Del Com New 2
126.
127.
128.
129.
130.
131.
132.
133. Unilever PLC 2
134.
135. Verison Communication 2
136.
r---··----··-----·-- -------------; I. Income Gain Codes: A =$1,000 or less i
(See Columns BI and D4) F=$50.001 · $100,000
2. Value Codes J=$15,000 or less
(See Columns Cl and D3) N =$250,001 - $500,000
B. c Income during Gross value at end of
reporting period reporting period
,AmountCode 1 (A-H)
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
"' Type Value div .. 2
or (J-P)
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend J
Dividend
Dividend
Dividend
Dividend
B =$1,001 · $2,500
G=$100,00I - $1,000,000
K=$15.001 - $50,000
0=$500,001 . $1,000,000
(2) (I) Value Type (e.g..
Method buy, sell. Code 3 redemption) (Q-W)
T
T
T Buy
T
T Buy
T
T
T
T
T
T Buy
T Buy
T Buy
Sold
Sold
Sold
Sold
C =$2,50 I · $5 ,000
HI =$1,000,001 · $5,000,000
L=$50,()(ll - $100,000
P3 =$25,000,001 • $50,000,000
Pl =$1,000,001 · $5,000,000
P4 =More than $50,000,000
S =Assessment 3. Value Method Codes
(See Column C 2)
Q =Appraisal
U =Book Value
R =Cost (Real Estate Only)
V::::Other W :::::Estimated
D. Transactions during reporting period
(2) (3) (4)Date Value Gain
Month· Code 2 Code 1 Day (J-P) (A-H)
06/11 J
06/11 J
04/02 J
04/30 J
06/11 J
03/14 J A
03/14 J A
07/10 J A
07/10 J A
D =$5,001 - $15,000
H2 =More than $5,000,000
M =$100,001 · $250,000
P2 =$5,000,001 - $25,000,000
T=Cash Market
(5) Identity of
buyer/seller (if private
transaction)
E =$15,001 • $50,000
-· 1
;
------- - ---------·--- -------------
FINANCIAL DISCLOSURE REPORT
Page 13 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
05/15/2008
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent c1tildren; see pp. 34-60 of filing instrnctions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. Description of Assets
(including trust assets)
Income during Gross value at end of
reporting period reporting period
137.
138_
139.
140.
141
142.
143_
144.
145.
146.
147.
148.
149.
150.
151.
152.
153.
Place "(X)" after each asset
exempt from prior disclosure
Wachovia Cmporation 2nd New 2
'
Washington Mutual Incorporated 2
Weyerhaeuser Company 2
(I) (2)
Amount Type (e.g., Code I div., rent, (A-H) or int.)
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
(l) (2) (I) Value Value Type (e.g.,
Code 2 Method buy, sell,
(J-P) Code 3 redemption)
(Q-W)
Sold
Buy
Sold
J T
J T Buy
J T Buy
Sold
Buy
Sold
Buy
Sold
Buy
Sold
Buy
Sold
Sold
Sold
-- --- ---- ·--------------
I . Income Gain Codes:
(See ColU1TU1s BI and 04)
2. Value Codes
(See Columns CI and 03)
3. Value Method Codes
(See Column C2)
A=$1,000or less
F =$50,001 - $100.000
l =$15.000 or less
N =$250, 00 I - $500, 000
P3 =$25,000.00 I - $50,000,000
Q =Appraisal
U =Book Value
B =$1.001 - $2,500
G =$100,001 - $1.000.000
K =$15.001 - $50.000
0 =$500,00I - $1,000,000
R =Cost (Real Estate Only)
V =Other
c =$2,501 . $5.000
HI =$1.000,001 - $5.000.000
L =$50.001- $100,000
Pl =$1.000.001 - $5,000.000
P4 =More than $50.000,000
S ::::Assessment
W =Estimated
--------·
D.
Transactions during reporting period
(2) (3) (4) Date Value Gain
Month - Code 2 Code I
Day (J-P) (A-H)
07/10 J A
06/14 J
07110 J A
02120 J
07/31 J
10/24 J A
06/14 J
10/24 J A
03/07 J
10/24 J A
02123 J
10/24 J A
02109 J
10/24 J A
03/07 J A
03/07 J A
0 =$5,001 - $15,000
H 2 =More than $5,000,000
M =$100,001 - $250,000
P2 =$5,000,00 I - $25,000,000
T =Cash Market
(5) Identity of
buyer/seller
(if private
transaction)
E =$15,001 · $50,000
A c
1-(I) (I)
: '-----
·----0-
.
-------------
(3) (4)
I
i
I
- I
.. __ ------·- __ .. __ .. ___ .. - --.. · ---·- .. ____ ..
(2) (2)
I
(5) --------,
:FINANCIAL DISCLOSURE REPORT Page 14 of 16
Name of Person Reporting
Smith, D. Brooks
Date of Report
05/15/2008
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.) -·---,
B. Description of Assets lncome dnring Gross value at end of Transactions dnring reponing period
(including trust assets) reporting period reponing period I
(2)' (I)i ;Amount i Value Gain Identity of Place "(X)" after each asset Type (e.g., Value Value Type (e.g., Date ! Code 1 div .. rent, Code 2 Method buy, sell, Month- I Code 2 : Code I buyer/sellerexempt from prior disclosnre
(A-H) or int.) (J-P) Code 3 redemption) Day 1 (J-P) (A-H) (if private
(Q-W) transaction) ··--·---
154. Brandywine realty Tr Sh Ben Int 2 A Dividend Sold 02115 J A
155. A Dividend Sold 02120 J A
156. Health Care Reit Incorporated 2 A Distribution Sold 04/05 J A
157. Lexinton Corporation PPTYS Tr 2 A Dividend Sold 04/05 J A
158. A Dividend Sold 08/29 J A
159. A Dividend Sold 08/30 J A
160. RJ Bank Deposit Program(X) 2 A Dividend J T
161. MacQuarie Infrastructure 2 A Dividend Buy 03102 J
162. Sold 09/13 J A
163. Sold 09/13 J A
164. Citigroup Incorporated 2 A Dividend Buy 03/14 J
165. A Dividend Buy 08/29 J
166. Sold 11/14 J A
167. Travelcenters of America LLC 2 (Stock A Dividend Sold 02115 J A Dividend from Hospital
I . Income Gain Codes: A =$1 f)OO or less B =$1,001 - $2,500 C =$2,501 - $5 .000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns B 1 and D4) F =$50,001 · $100,000 G =$100,001 - $1.000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100.001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1.000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U ==Book Value V =Other W =Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 15 of 16 Smith, D. Brooks 05/15/2008
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReport.)
l) Held in- self directed IRA with American Skandia 2) Self directed IRA
FINANCIAL DISCLOSURE REPORT
Page 16 of 16
Name of Person Reporting Date of Report
Smith, D. Brooks 05/15/2008
IX. CERTIFICATION.
I certify that all information given above (including information 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 information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFUl,L Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301
One Columbus Circle, N.E. Washington, D.C. 20544