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AO I0 Rev. 1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010


2. Court or Organization Ninth Circuit
5a. Report Type (check appropriate Qpe) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Go vernment Act of 1978 (5 U.S.C. app..~.~ 101-111)

I. Person Reporting (last name, first, middle initial) Smith, Jr., Milan O. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 05/0512011 6. Reporting Period 01/01/2010 to 12/31/2010

Circuit Judge

[] Initial

5b. [] Amended Report

7. Chamb~r~ or Office Address

United States Court of Appeals Suite 2325, 222 N Sepulveda BI El Segundo, California 90245

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.

Reviewing Officer

Date

IMPORTANT NO TES: 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 on last page.

I. POSITIONS. C Reponlng individual ontv ; see pp. 9-13 of fding instructions.) ~] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. mepor~ng individual only seepp. 14-16 of.fillng instructions.)


~

NONE (No reportable agreements.)


DATE PARTIES AND TERMS

Smith, Jr., Milan D.

FINANCIAL DISCLOSURE REPORT Page 2 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/201 I

III. NON-INVESTMENT INCOME. tg,porang individual andspouse; see pp. I7-24 of filing instruction~.)
A. Filers Non-Investment Income ~] NONE

(No reportable non-investment income.)


DATE SOURCE AND TYPE

INCOME (yours, not spouses)

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)


DATE
SOURCE AND TYPE Self-employed attorney Gogian Foundation-Trustee

1.2010 2. 2010 3. 4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertalnmenL


(Includes those to spouse and dependent children," see pp. 25-27 of filing instructions.) D NONE (No reportable reimbursements.)

SOURCE
George Washington University Law SchoolReligious Freedom Moot Court 2. Sandra Day OConnor College of Law

DATES
February 6-7, 2010

LOCATION
Washington, DC

PURPOSE
Judge Religious Freedom Moot Court Competition

ITEMS PAID OR PROVIDED


Transportation, Food, Hotel

April 25-26, 2010

Tempe, Arizona

Participate in ASU Summit on the Future of Legal Education CLE program program cancelled, but nonrefundable travel reimbursed

Transportation, Food, Hotel

3.

State Bar of California

May 7-8 2009

San Francisco, California

Transporlation

FINANCIAL DISCLOSURE REPORT Page 3 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Repor~ 05/05/2011

FINANCIAL DISCLOSURE REPORT Page 4 of 16

Name of Person Reporting Smith, Jr. Milan D.

Date of Report 05/05/2011

V. GIFTS. anc/,d~ thos, ,o ,pous, und dependent children; see pp. 28-31 of filing instrucdon~)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. ancludes those of spo,~e und d~pendent children; see pl~ 32-33 of filing instruction&)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 5 of 16 VII. INVESTMENTS and TRUSTS -inco ....

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/701 I

.,,h,e, transactions (lnclude~ those of spouse and dependent children; seepp. 34-60 of fillng instructions.)

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


Description of Assets Income during reporting period Gross value at end of reporting period Transactions during rel~orting period

(including trust assets)


Place "(X)" after each asset exempt from prior disclosure

(I)
Amount Code I (A-H)

(2) Type (e.g.,


div., rent, or int.)

(I)
Value Code 2 (J-P)

(2)
Value Method Code 3 (Q-W)

(I) Type (e.g.,


buy, sell, redemption)

(2)

(3)

(4)
Gain Code I (A-H)

(5)
Identity of buyer/seller (if private transaction)

Value Date mm/dd/yy Code 2 (J-P)

I. 2. 3. 4. 5. 6. 7. 8. 9. I0. 11. 12. 13. 14. 15.

General Electric Co. Coca-Cola Company Intuitive Surgical Inc. Kinder Morgan Energy Partners LP Unit Ltd Parlnershihp American Tower Corp CL A Devon Energy Corp New Devon Energy Corp New L-3 Communications Holdings Inc. Pepsico Incorporated Pepsico Incorporated Time Warner, Inc. Time WamerCable Canadian Natl Ry Co. First Colony Life Policy Aetna LifePolicy

A A

Dividend Dividend None

J J K K K K

T T T T T T Buy (addl) Buy (addl) 07/29/10 09/02/10 07/26/10 04/08/10 09/02/10 J J J J J

Distribution None

Dividend None

A A

Dividend Dividend None

K K

T T

Buy (addl) Buy (addl) Buy (addl)

A A A

Dividend Dividend Dividend None

J J K J K J K

T T T T T T T Buy (addl) 09/02/10

Int./Div. None None

16. California Pizza Kitchen 17. Quanta SVCS Inc

1. Income Gain Codes: (See Columns B I a nd D4) 2. Value Codes (See Columr~ CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50.001 - $1 00,000 J =$15,000 or Ices N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~.000 Q =Appraisal U =Book Value

B --$1,00L - $2,500 G =$ 100,00 1 - $ 1,000,000 K =$15,001 - $50.00~ O =$-r~0,001 - $1,000.000 R ~Sosl (Real Estate Only) V =O,her

C =$2,501 - $5,000 I I I =$1,000,001 - $5.000.000 L =$50,001 - $100.0~) PI =$1,000,001 - $5.000,000 P4 =More than $50.000.0<)0 S =Asscssmenl W =Eslimated

D =$5.1)01 - $15.1)00 112 =More than $ 5.000.000 M =$100,001 - $250.000 P2 =$5.000.001 - $25,009.1900 T ~Cash Markcl

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 6 of 16

Name of Person Reporling Smith, Jr., Milan D.

Date of Report 05/05/2011

Vl I. INVESTMENTS and TRU STS - income, value. ~an~a,~io,~ anclud,~,hose o/s~,ouse and depe,dent children; seepp. 34-60 o/filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~s) Income during reporting period Gross value at end of reporting period Transactions during reporting period

(t)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A-H)

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

(i)
Value Code 2 (J-P)

(2)
Value Method Code 3 (Q-W)

(t)
Type (e.g., buy, sell, redemption)

(2)

(3)

(4)
Gain Code I (A-H)

(5)
Identity of buyer/seller (if private transaction)

Date Value mm/dd/yy Code 2 (J-P)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

Quanta SVCS lnc DowChemicaICompany 5.750 12/15/12 Dow Chemical Company 5.3000 3/15/13 Franklin UniversalTrust Franklin UniversalTrust General Electric Cap Corp 4.000 4/15/10 Goldman Sachs 5.250 10/15/13 lntl Lease Fin Corp 4.200 2/15/10 John Hancock Life Ins Co 4.150 2/15/12 La Salle Fndg LLC Multi 3.000 1/15/11 McDonalds Corp 6.000 4/15/11 MFS Intermediate Income Trust Motorola Inc. 7.625 11/15/10 National Rural Utilities 4,125 2/15/11 New York Tel Co. 7.000 6/15/13 Teco Energy Inc 7.200 5/1/11 Anaheim CA Pub Fing Auth 5.000 10/1/10 A A A A A A C A A A A A A A C

None Interest Interest Dividend None lnterest Interest Interest Interest Interest Interest Dividend Interest Interest Interest Interest Interest J J J T T T J J J K T T T T J T J J L T T T

Sold (part)

10/ll/10

Sold (part) Sold (part) Redeemed

05/20/10 07/26/10 04/15/10

J J J

B C A

Redeemed

02/26/10

Sold (pan) Redeemed

09/02/10 11/15/10

K J

Redeemed (part) Redeemed

04/26/10 10/01/10

J J

1. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes {See Column C2)

A =$1,000 or less F =$50.(~1 - $100,000 J =$15.0~) or less N =$250.001 - $500.000 P3 =$25,0~,001 - $50.0~.(~0 Q =Appraisal LI =Book Value

B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.001 - $50,000 O =$5003301 - $1,000,000 R =Cosl (Real Estatu Only) V -~3ther

C =$2.501 - $5,000 III =$1.000,001 - $5.000.000 L =$ 50,001 - $ 100.000 PI =$1.000.001 - $5,000.000 P4 =More than $50.00~.000 S =Assessment W =Eslimalcd

D $5.001 - $15.000 112 =More than $5.0~0.000 M =$ 100.001 - $ 250.(X}O P2 =$5,000.001 - $25.000.000 T =Cash Market

E =$15.0~1 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS - income, ,*t.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instruction&)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~)
Place "(X)" after each asset exempt from prior disclosure

Income during reporting period I (i)


[ Amount I Code I

Gross value at end

Transactions during reporting period


(I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

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

of reporting period (i) (2) Value Value


Code 2 Method

(A-H)

or int.)

(J-P)

Code 3 (Q-W)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Parlier CalifRedev Agy 4.650% 8/I/10 Oneoklnc New Century Tel., Inc. Cpn 5.000% Due 2/15/15 Dean Witter Discover Odd Cpn Med Term Notes 7.07% 2/10/14 Boeing Co. Global Notes Cpn 5.125% Due 2/15/13 Genzyme Corp Gen Div Marriott Int Inc Class A MBIA/Claymore MGD Dura Inv Grd Muni Fd Money Mkt Oblig Trust Auto Cash Mgmt American Capital Agency Corp Williams Partners LP Com Unit Led Part Int Williams Partners LP Corn Unit Ltd Part Int Williams Partners LP Com Unit Led Part Int Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays 1-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays 1-3 Yr. Treasury Bd FD

A B A A A

Interest Dividend Interest Interest Interest None L J J J T T T


T

Redeemed 08/02/10 J

A B A D C

Dividend Dividend Int./Div. Dividend Distribution None None

Sold T L K
T T

05/20/10 K

Buy (addl) Sold (part) Sold (part) Sold (part)

04/08/10 03/19/10 07/26/I 0 12/14/10 01/13/10 01/20/10 05/20/I0 07/26/10

J J J J J J K K D D C

Dividend None None None

Sold (part) Sold (part) Buy (addl) Sold (part)

I. Income Gain Codes: (Sc Columns B I and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (S~c Column C2)

A =$1,000 or less F =$50.001 - $ 100.000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Apl~aisaI U =l:k~ok Value

B =$1.001 - $2.500 G =$100.001 - $ I,O00,0O0 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cosl (Real Lstate Only) V =Olher

C =$2,501 - $5,000 !11 =$1.000.001 - $5.000.000 L =$50.001 - $10~.000 PI =$1.000.001 - $5.000,000 P4 =More than $50.009.000 S ~Asscssment W =Estimated

D =$5.001 - $1 112 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000,000 T =C~h Market

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/2011

VII. INVESTMENTS and TRU STS - i,,co,,,. ,.al,,e. ,,a,~o,*io,~ ancl~d~ tho,e oy,po.,e o~a dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each assl exempt from prior disclosure B. Income during reporting period I (I) (2) Amount Type (e.g., ~ Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm!ddhyy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

I
[

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

Ishares Trust Barclays 1-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Capstead Meg Corp Corn No Par Capstead Meg Corp Corn No Par MFA Mortgagelnvestments Inc. MFA Mortgage Investments Inc. Hatteras Financial Corp Putnam Managed Municipal Income TrustSBI Putnam Managed Municipal Income TrustSBI Putnam Managed Municipal Income TrustSBI Putnam Municipal Opportunities Trust-SBl Seligman Select Municipal Fund Inc. Seligman Select Municipal Fund Inc. Westembank PR; 5.20%;08/07/10 Fidelity Advisor Mun Income Fund CL T B B C C C C C D

None None None None Dividend None Dividend None Dividend Dividend None None Dividend Dividend None Interest Dividend L T L L T T K K T T K T K T

Sold (part) Sold (part) Sold (part) Sold (part) Sold (pail) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)

07/26/I0 07/29/10 09/02/10 10/18/10 05/20/10 07/26/10 05/20/10 04/08/10 04/08/10 05/20/10 07/26/10 12/13/10 07/26/10 01/21/10 12/10/10

J K K J J K J J J K J J K J K K K C A B C A A A A A C

Redeemed 05/10/10 Buy (addl) 04/08/10

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (S~c Column C2)

A =$1.000 or less F =$50.001 - $100.000 J =SI5.0~1 o" less N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~0.000 Q =Appraisal U =Book Value

B =$1,1D01 . $2,500 G =$100.001 - $1.0OO.000 K =$1S,0Ol - $50.000 O =$500.001 - $1,000.000 R ~Cost (Real Estalc O~ly) V =Olher

C ~$2,501 - $5,000 Itl =$1,000,001 - $5.000,000 L ~$50.001 - $100.000 PI =$1.000,001 - $5,000,000 P4 =Mote than S =Assessment W =Estimated

D =$5,0~1 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =Cash Market

E =$15,1)01 - $50.000

FINANCIAL DISCLOSURE REPORT Page 9 of 16 VII. INVESTMENTS and TRUSTS - inc ......

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/2011

lue, transactions (Includes those of spouse and dependent children: seepp. 34-60 of fillng instructions.)

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


Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure

Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)

Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) K T

Transactions during reporting period (i) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain rnm/dd~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private Ixansactlon)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

Gabelli Glbl Util Inc Trust GDV Gabelli Glbl Util Inc Trust GDV lshares Trust Iboxx $ Investop Investment Grade Bond Fund Ishares Trust Iboxx $ lnvestop Investment Grade Bond Fund Ishares Trust Iboxx $ Investop Investment Grade Bond Fund Ishares Trust Iboxx $ Investop Investment Grade Bond Fund lshares Barclays Intermediate Credit Bond Fund Ishares Barclays Intermediate Credit Bond Fund lshares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF lshares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF lshares Barclays MBS Bond Fund ETF Ishares Barclays I-3 YR Credit Bond Fund ETF AnnalyCapital Management Inc.

Dividend None

Buy (addl) Buy (addl)

04/08/10 11/03/10 03/19/10 03/19/10 04/08/10 05/20/10 07/26/10 10/12/10 01/13/10 07/26/10 07/26/10 09/02/10 I0112110 12110110 12/13/I0 I0/12/I0 05/20/I0

K J J K K J J J J J J K K J K J J A A A A A

Dividend None None None

Buy (addl) Buy (addl) Buy (addl) Buy (addl)

Dividend None

Sold (part) Sold (part)

Dividend None None None None None None

Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)

C D

Dividend Dividend

M L

T T

Sold (part) Buy (addl)

I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (See Cohzmns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or Ices F =$50.001 - $100.000 l =$15.000 or Ices N =$250.001 - $500.000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U Book Value

B =$1,001 - $2,500 G =$109.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =O~hcr

C =$2,.501 - $5.000 III =$1,000,001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 P4 =More than $50.00~.000 S =Assessment W =Estimated

D =$5,001 - $15.000 112 =More than $5.000,000 M =$100.001 - $250.00

E =$15,001 - $50.000

T =Cash Market

FINANCIAL DISCLOSURE REPORT Page 10of16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/0512011

,io,,~ VII. INVESTMENTS and TRUSTS -inco,,e. votue. ,r .... anctud~ those of spouse and ,teHenaent chit,lien: see HP. S4-6o of fillng instructions.)

[~]

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


Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g.,
Code I div., rent,

Gross value at end of reporting period (I) (2) Value Value Code 2 Method
(J-P) Code 3

Transactions during rel~rting period


(2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private

(A-H)

or int.)

Ty1~ (e.g., buy, sell, redemption)

Gain Code I (A-H)

86. 87. 88. 89. 90.

AnnalyCapital Management Inc. Annaly CapitalManagement Inc. Linn Energy LLC Copano Energy LLC Ishares Trust Barclays Credit Bond Fund ETF C C D B

None None Distribution Distribution Dividend Dividend None A A Dividend Dividend None A Dividend None None B Dividend None None C Dividend L T K T K K T T K K M K T T T T

Buy (addl) Buy (addl) Sold (part) Sold (part) Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Sold Buy (addl) Buy (addl) Sold (part) Buy (addl)

07/26/10 04/08/10 12/10/10 07/26/10 07/26/10 01/13/10 02/04/10 01/13/10 07/26/10 12/10/10 01/13/10 03/19/10 04/08/I0 04/08/I0 07/26/10 12/29/10 04/08/10

J J J J J J J J J J K K L J J J J C C A

91. Ameren Corp 92. 93. Ameren Corp CenovusEnergy lnc

94. Encana Corp 95. 96. 97. 98. 99. Encana Corp Ishares Barclays Short Treasury Bond Fund ETF Ishares Barclays Short Treasury Bond Fund ETF Ishares Barclays Short Treasury Bond Fund ETF Abbot Laboratories

100. Abbot Laboratories 101. Abbot Laboratories 102. H & Q Life Sciences Ivestors SBI

I. Income Gain Codes: (See Columns B 1 and IM) 2. Value Codes (See Columr~ CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $ 100,000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25.009.001 - $50.0~0.000 Q =Appraisal U =Book Value

B :$1,001 - $2,500 G =$100.001 - $1,000.000 K =$15,0OI - $50.000 O =$500.001 - $1.000.000 R ~ost tReal Estate Only) V =G~h~

C =$2.501 - $5,000 I 11 =$1,000,001 - $5.000,0OO L =$50.0OI - $100.0OO PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated

D =$5,001 - $15,000 112 =More than $5.000.000 M =$100.0OI - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Marke~

E =$15.0~1 - $50,000

FINANCIAL DISCLOSURE REPORT Page 1 1 of 1 6

Name of Pe~on Reporting Smith, Jr., Milan D.

Date of Report 05/05/201 I

Vll. INVESTMENTS and TRUSTS - inco,~e, value, tru,~actlo~ anel~d,~ those of spouse and dependent children: see plx 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (2)
Amount Type (e.g.,

Gross value at end of reporting period O) Value Code 2


(J-P)

Transactions during rel~rting period


(l) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/~y Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

Code 1 (A-H)

div., rent, or int.)

(2) Value Method


Code 3

(Q-W) 103. H & Q Life Sciences Ivestors SBI 104. Enterprise Products Partners LP 105. Powershares Global Exchange Trades FD TR Weekly VRDO Tax Fre 106. Teco Energy Inc 107. Blackrock Income Trust Inc 108. Blackrock Income Trust Inc 109. Blackrock Income Trust Inc 110. Blackrock Income Trust Inc 111. Blackrock Income Trust Inc 112. Blackrock Income Trust lnc 113. Blackrock Income Trust Inc 114. DWS Dreman Value Income Edge Fund Inc New 115. DWS Dreman Value Income Edge Fund Inc New 116. DWS Dreman Value Income Edge Fund Inc New 117. DWS Dreman Value Income Edge Fund Inc New 118. DWS Dreman Value Income Edge Fund lnc New 119. DWS Dreman Value Income Edge Fund Inc New B None B Distribution A A D Dividend Dividend Dividend None None None None None None Dividend None None None None None M Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) 01/20/10 01/20/10 03/19/10 03/20/I 0 04/08/10 07/26/10 10/12/10 01/13/10 03/19/10 03/20/10 04/08/10 09/02/I 0 11/26/10 J K K K K K K J J .I J J K C K Sold 03/09/10 L Buy (addl) 07/26/10 J

I. Income Gain Codes: (See Columns BI and D4) 2. Value COd~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1.000 or less F =$50.001 - $100.000 J =$15.0~0 o~ less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100.001 - $1.000.0~0 K =$153301 - $50.000 O =$500.001 - $1.000.000 R =Cosl (Real E.slate Only) V -~lher

C =$2,501 - $5.000 I11 =$1.000,00l . $5.0~0.000 L =$50.0~1 - $100.00~ PI =$1.0~0.001 - $5.000.000 P4 =More lhan $50.000.000 S =Assessment W =Eslimalcd

D =$5.001 - $15.000 112 =More than $5.000.0D0 M =$100.1~)1 - $250.0~0 P2 =$5.000.001 - $25.000.0~0 T =Cash Markel

E :$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 12 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS -inco,.e, volue, ~ra,~o,~io,~ tlncludes those of spouse and dependent children see pp. 34-60 of filing instruction&)
---] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure

Income during reporting p~riod


(I) (2)

Gross value at end of reporting period


(I) (2) (I)

Transactions during reporting period


(2) (3) (4) (5)

Amount Code I (A-H)

Type (e.g., div., rent, or int.)

Value Code 2 (J-P)

Value Method Code 3 (Q-W)

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

Date Value Gain mm!dd~ Code 2 Code I (J-P) (A-H)

Identity of buyer/seller (if private transaction)

120. DWS Dreman Value Income Edge Fund Inc New 121. Franklin Investors Sees Tr Adjustable US Govt Sees Fund 122. Franklin Investors Sees Tr Adjustable US Govt Sees 123. Gabelli Dividend & Income Fund 124. Gabelli Dividend & Income Fund 125. Gabelli Dividend & Income Fund 126. Gabelli Dividend & Income Fund 127. Ishares Trust Barclays 1-3 Yr Credit Bond Fund ETF 128. H J Heinz Co 129. Eli Lilly & Co 130. Statoil Asa Sponsored ADR 131. Statoil Ass Sponsored ADR 132. Statoil Asa Sponsored ADR 133. St Jude Medical Inc 134. Windstream Corp 135. M & I Marshall & llsley Bk Milwaukee Wis C/D FDIC DUE 2/26/2 136. United Westem Bk Denver Co C/D FDIC Ins to Limits Due 6/30/ A A C A A A B A

None Dividend None Dividend None None None Dividend Dividend Dividend Dividend None None None Dividend None Interest J J T T M J J J T T T T K T K T

Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Buy (addl) Buy (addl)

12/10/10 01/04/10 02/0 [ / [ 0 07/26/10 01/13/10 03/19/10 07/26/10 04/20/10 04/08/10 04/08/10 04/08/I 0 08/24/10 ! 11/03/10 04/08/10 04/08/10

K J J K K K K K J J J J J J J K K

Redeemed 02/26/10 Redeemed 06/30/10

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes {See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50.001 - $100,000 J =$15.000 o less N =$250.1~1 - $500.000 P3 =$25.000.001 - $50.000.0~O Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,001 - $1.000.000 K =$15.1)01 - $50.000 O =$500.001 - $1.00(1.000 R =Cost (Real Estate Only) V =Olhcr

C =$2.501 - $5,000 |tl =$1.000,001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5.000.000 P4 =More ihan $50.000.000 S =Asst:ssment W =Estimalcd

D =$5,001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Markel

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 13 of 16 VII. IN VESTMENTS and TRUSTS - i.c ......

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/2011

lue, transactions (Includes those of spouse and dependent eMldren; ~et pp. 34-60 of filing instructions.)

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


Description of Assets

(including trust ~ssets)


Place "CA)" after each asset exempt from prior disclosure

Income during reporting period (t) (2) Amount TyI~ (e.g., Code I div., rent, (A-H) or int.)

Gross value at end of reporting period (i) (2) Value Value Code 2 Method (J-P) Code 3

Transactions during reporting period

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

(2) (3) (4) Date Value Gain mrn!dd~]y Code 2 Code I


(J-P) (A-H)

Identity of buyer/seller
(if private

transaction) L L T Buy Buy (addl) Buy (addl) Buy (addl) O K T Buy Sold (part) Buy Buy (addl) Buy (addl) K K T T Buy Buy Buy (addl) K T Buy Buy (addl) K T 05/20/10 K 12/10110 J 10/I 1/10 K 11/03/10 t2/10/10 03/22/10 03/22/10 05/20/10 07/26/10 08/02/10 K J K K J J J K 08/24/10 10/12/10 11/04/10 12/10/10 J K K K

137. Schwab CA Muni Money Fund Cash Money Market Fund 138. Western Asset Emerging Mkts Income Fd lnc 139. Western Asset Emerging Mkts Income Fd Inc 140. Western Asset Emerging Mkts Income Fd Inc 141. Western Asset Emerging Mkts lncome Fd Inc 142. RBC Prime Money Market Cash Reserve 143. H & Q Healthcare Investors SBI 144. H & Q Healthcare Investors SBI 145. NFJ Divid Int & Prem Strategy FD 146. NFJ Divid Int & Prem Strategy FD 147. NFJ Divid Int & Prem Strategy FD 148. Ishares TR 2012 S&P AMT Free Municipal Ser FD 149. Ishares TR 2013 S&P AMT Free Municipal Ser FD 150. Ishares TR 2013 S&P AMT Free Municipal Ser FD 151. Ishares TR 2014 S&P AMT Free Municipal Ser FD 152. Ishares "YR. 2014 S&P AMT Free Municipal Ser FD 153. Managed Duration Invt Grade Mun FD

A B

IntJDiv. Dividend None None None

A B

Interest Dividend None Dividend None None

A A

Dividend Dividend None

Dividend None

Dividend

Spinoff 06/03/10 (from line 42)

1. Income Gain Codes: (See Columns B 1 and D4 ) 2. Value Codes (S~ Columns CI and D3) 3. Value Method Codc~ (S~e Column C2)

A =$1.000 or less F =$ 50,001 - $ 100,000 J =$15.000 or less N =$250.0OI - $500.000 P3 =$25,000.001 - $50.090,000 Q =Appraisal U -Book Value

B =$1.001 - $2.500 G =$ 100.001 - $ 1,000.000 K =$15,001 - $50.000 O =$500.001 - $1,O00.00~ R =Cost (Real Estalc Only) V =Other

C =$2,501 - $5,000 I I I =$ 1.000,001 - $5.000.000 L :$50,001 - $100.00~ PI -$1.000.001 - $5.000,0OD P4 =More than $50.000.000 S =Assessment W =Estimated

D =$5,001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.01~ P2 =$5.000,001 - $25,000.000 T =Cash Market

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 14 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Reporl 05/05/2011

V I I. 1 N V E S T M E N T S a n d T R U S T S -income, ,alue, #o~oc,lo~, tlnclud~ ,hose of spouse and dependent children; see pp. 34-60 of fillng instructlons.)
NONE (No reportable income, assets, or transactions.)
Dc,scription of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period I (t) (2) Amount Type (e.g., Code I div., rent, i (A-H) orint.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method
(J-P) Code 3

Transactions during reporting period (I)


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

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)

(5) Identity of buyerlseller (if private


transaction)

(Q-w) 154. Managed Duration Invt Grade Mun FD 155. Ishares TR S&P Short Term Nail Amtfr 156. Textron Inc 157. Textron Inc 158. Templeton Income TR Global Total Return FD ADV CL 159. Vanguard Scottsdale Funds Vanguard Short Term Corp Bond ETF 160. California St Dept Zero 6.7% (X) See Part VIII 161. Allegheny Energy Inc. (X) See Part VIII 162. Russell Money Market S 163. Tamarack Instl Prime Fd 164. Gabelli Glbl Util Inc Trust (Y) See Part VIII
A A A

None Dividend A Dividend


None Dividend Dividend None Dividend

Sold (part) Buy K Buy Buy (addl) K L T T Buy Buy Redeemed T Sold Sold

109/02/10 J 03/19/10 K 09/02/10 J 10/I 1/10 12/13/10 12/13/10 03/01/10 J K L J

03/19/10 J 04/08/10 O

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A -$1.000 or less F =$50.001 - $100,000 J =$15.0~0 or Inss N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.001 . $50.000 O -$500.001 - $1,000.000 R =:Cost (Real Eslalc Only) V =O~hcr

C =$2,501 - $5,000 Itl =$1.000,001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5,000,000 P4 =Mo~e Ihan $50.000.000 S =Assessment W =Estimated

D =$5,001 - $15.000 112 =Morn than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000,000 T =Cash Markc~

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 15 of 16

Name of Person Reporting Smith, Jr., Milan D.

Date of Report 05/05/7011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of repott)


Item 69, Part Vll (Gabelli Glbl Util Inc Trust GDV) is the same as Gabelli Glbl Util Inc Trust, shown as Item 115, Part VII in my 2009 report, and as Item 164, Item 164, Part VII in this report. Item 160, Part VII (California St. Dept Zero Bond). This $5,000 bond was inadvertently omitted on my prior report. It was held b Item 161, Part VII (Allegheny Energy, Inc.) This assert was inadvertently omitted on my prior report. It is held by IRA. IRA.

FINANCIAL DISCLOSURE REPORT Page 16 of 16 IX. CERTIFICATION.

Name of Person Reporting Smith, Jr. Milan D.

Date of Report 05/05/201 I

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: S] Milan D. Smith, Jr.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND ~NILFULLY FALSIFIES OR FALLS TO FILE THIS 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 2-30! One Columbus Circle, N.E. Washington, D.C. 20544

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