Milan D Smith Financial Disclosure Report for 2009

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

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,~o l0 I FINANCIAL DISCLOSURE REPORT R~po,-,i,,o v e r n m e n t R e q i r e d b Y A c t t h e o f I E t h i c s 9 7 8R e ~ . . I /: O ~ O FOR CALENDAR YEAR 2009 ( 5 u.s c . app . , , tOl - l l )I. Person Reporting (last nam e. first, middle initial) 2. Cour t or Organization 3. Date of ReportSmith, Jr., Mila~ D. Ninth Circuit 05/14/2010

4. Title (Article 111 judges indicate active or senior status; 5a. Repot! Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate t~ll- or p art-time)[] Nomination, Dale 01/01/2009Circuit Judge [] Initial [] Annual [] Final to12/31/20095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information tontained in thix Report and an ymodif ications per taining thereto, i t is , in my opinion, in com plianceUnited States Court of Appeals ",vith applicable laws and regulations.Suite 2325, 22 2 N Sepulveda BIEl Segundo. California 90245 Reviev, ing Officer Date

I # IP O R T A N T N O T E S : Tl, e 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.

1 . P O S I T I O N S . (Rep~r,ing individual only: seepp. 9-13 of fling i ....... ions.)N O N E (No reportable [)ositions.)

POSITION NAME OF ORGANIZATION/ENTITY1.

5. [:.

1 1 . A G R E E M E N T S . ~ p o ,, ~ ,g i ,di~idt ,a l only; see p p . 1 4 - 1 6 offli,,g i .......... i o n ~ . )N O N E (No reportable agreements.)

DAT~ PARTIES AND TERMSI.


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FINANCIAL DISCLOSURE REPORTPage 2 of 17

l I i. N O N - IN V E S T M E N T I N C O M E . ae~,,,r,i~iod~,,~d,~,~,A. Fliers Non-Investment Income~ NONE non-investment income.), v o

DATE SOURCE AND TYPE [NCOME{yours, not spo~es)I.

l~. SpollSl~*$ Non-Investment ]llCOmt - If ) ,ou were married during an). portion of the rel,orting year, conqdett this section.

[~ NONE (No reportable non-investment income.)])ATE SOURCE AND TYPE

1 . 2 0 0 9 sel f employed a~lo~ey2. 2009 Gogian Foundation-Trustee

IV . R E I M B U R S E M E N T S -transportation, Iodging,.[ood, entertain .... ~(hrchtdey t h o s e t o . ~ p o t t s e a ~ t d r le ~ , e n d e n t ~ k i l d r e n , " s ~ e p p . 2 5 - 2 7 o/ f i l i t~g i ~ r s t r u ~ t i ~ ) ~ r s )

[~ NONE (No reportable reimbursements.)S()URCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . Bar Association of San Feb ruar y 20-22 2009 Y ose mit e. Ca li fo rn ia Participate in Ninth Circuit Transportation, Food, HotelFrancisco-Labor and Judges PanelEmployment Section2. University of Chicago Law April 29-30 2009 Chicago. lllinois Judge Itinton Moot Court Transportation, Food, HotelSchool Competilion3 . State Bar of Alaska May 7-8 2009 Juneau, Alaska Represcn~ Ninth Transpoaa0on, Food. HotelCircuit-Participate on Panlewith Justice Alito4. B.Y .U. Law School October 29-30 2009 Provo, Utah Judge Rex E. Lee Moot Transportation, FoodCourt Competition5. Federalis~ Society-Stanford November 17-18 Palo Alto, California Speak to Chapter Transpo,talion, Food, !lotell,aw School 2 0 0 9


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FINANCIAL DISCLOSURE REPORTPage 3 of 17 s , ~ , i m . J r . , ,~ l i J ~ . ~ . o 5 ; ] 4 / z o ~ o

V . G 1 F T S . ( Intrudes t t , o~e to sp,~use a , ,d dO e,dent c l~ i tdr, ,; see Pt~ . 2~- .~ t o f l i lmg imtr , ,c t l ,m~)N O N E (No reportable gifts.)

SOURCE DESCRIPTION VALUE1 .2.3 .4.5.

VI. LI ABILIT.! ES. a~ ,u,~ ~h . . . . , /,~o~ and dependent children; ,ee p p . 3 2 -~J o f f il inx instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODEI.2.3 .4.5.


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FI N A N C I A L D IS C LOS U R E R EPOR T ~ .... fP .....Reporting Da,eofRepor!Page 4 of 1 7 Smith, Jr., M i la n D . 0 5 / 1 4 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -~ N O N E (No reportable income, assets, or transactions.)............ ~ . ~ . -~ ~ ..... ~ ........................fi-. - .....

Description of Assels Income during Gross value at end T~nsactions during rcpornng ~riod(including t~st assots) reporting period of reporting period I

Place "(X)" afie~ each assc~ Amount Ty~ (cg, Value ] Vak,e ~ Type (e.g.. . D~tc ~ Value ] Gain Idcmay ofexempt f rom p r or d sclosur ] C~e I div., rent, ] Code 2 I Method i buy sell ~m~dmyy i Code 2 i Code I : buyettscllc,(A-tl) orim) [ 0-P) I Code3 ] redemption) ~ ~ O-P) ~ {A-It) ~ 0fprivate

.......................... ~ ................. ~ ..... L ......... ~ ............. 1 ..... 2 _ .I. General Electric Co. A Dividend J T Sold I0/08/09 J(pa~)2. Johnson & Johoson B Dividend B uy 05/06/09 J(add l)3, Johnson & Johnson gold 07/08/09 K B

{paa)4. ,Johnson & Johnson Sold 10/08109 K C

(pa~)5. Johnson & 3ohnsoa Sold 10/29109 J D

6. Microsoft Corporalion A Dividend Sold 10/29/09 K E7. Coca-Cola Company A Dividend J T Sold I 0/29109(pan)8. Intuitive Surgical Inc. None K T

9. Kinder Morgan Energy Partners LP Unil Lid B Distribution L T B uy 05/06/09Pannershihp (addl)10. American Tower Corp CL A None K T B uy 10/22/09(add l)I. Devon Energy Corp New A Dividend K T B uy 03/05/09(add l)

! 2. Devon Energy Corp New None B uy 03/31/09(add l)] 3 . Devon Energy Corp New None Sold 07 122/09

(pan)14. L-3 Commuoications Holdings Inc. A Dividend K T

15. Pepsico Incorporated A Dividend K T B uy 12/23 /09(add l)16. Time Warner Inc. None J T

Time Warner Cable None J T Spinoff(from line 16)


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Name of Person Repor ting Date of ReportP a g e F I N A N C I A L 5 o f 1 7 D I S C L O S U R E R E P O R T Smith, Jr., M i l a n D . 0 5 / 1 4 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -- i, ........ ~,,~ . t .......ons ancludes those vf sp ...... d dep et ~ ae , t t ch i l d r en; see pp . 34 -6 0 vf f i l ing in . . .. . . ions.)N O N E (No reportable income, assets, or transactions.)

A. ~ B. C. D.Transactions during re,fling peri~escription of Assets Incom e during G ross value at end [ .(including I~ust a~et~) [ reporting ~riod of [eportlng gel iod ~ .

Place(X)"after~chasset :Amounl~ Ty~(c.g, Value Value [ T~~ c.g. ~ Date Val~e ~ Gain ldcnlil~ufexe~pl l~om pm~r disclosure Code I ] div. rent, C~dc 2 Mcth~ J buy. sell. [mmid&~v ~ Code 2 ~ Code I buycr/scller

{AII)I or int.) (J-P) ] Code3 ~ redemption) 1 ~ (J-P) (A-H) ~ (ifpri~atc

l g.. Canadian Natl Ry Co. A Dividend K T Sold 07 /22/09 J 1 ~(paa)19. ~oeing Co A Dividend Sold 10/29/09 J C

2 0 . Templeton Grow th Fund Class A None Sold 0 1 ~ 0 8 , 0 9 K21. First Colony Life Policy None J r

2 2 . Aetna Li,re Policy None K T

2 3 . California Pizza Kitchen None K T

2 4 . Quanta SVCS lnc None K T25, DaimlerChrysler NA Illdg 7.200 911/09 A Interest Redeemed 09/01/09

2 6 . Dow Chemical Cornpany 5.750 12/I 5,."12 A Interest

2 7 . Dow Chemical Company 5.3 000 3/15/I 3 A Interest J T28 _ Franklin Universal Trust C Dividend L T Buy 05/06/09 J(addl)2 9 . General Electric Cap Corl~ 8.125 5/15/12 A I n t e r e s t Sold 0 4 . 0 9 , 0 9 1 A3 0. General Electric Cap Corp 4.000 4/15/10 A Interes~ .1 T

3 1 . Goldm an Sachs 5.250 lC).q 5/13 A lnmrest J T3 2 . Household Fin Corp 5875 2/I/09 A Interest Redeemed 0 2 / 0 2 1 0 9 J

3 3 . lntl Lease Fin Corp 4.37 5 I I/1/09 A Interest Sold 1 / 0 2 / 0 9 J A3 4 . lntl Lea~e Fin Corp 4.200 Z/15!I 0 A Interest J T

(See Columns CI .and D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 C ~ 1 O


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FINANCIAL DISCLOSURE REPORTPage 6 of 1 7 S,.i,h, Jr.. M i l a n D . 0 5 1 1 4 / 2 0 1 0

V I I . INVESTM ENTS a n d TRUSTS -~ N ONE (No reportable income, assets, or transactions.). [ ,~. ......................................c. ~

l 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 c r i t x lPlace "(X)" after each asset Amounl

exempt from priordisclosure Code I ~ div., rent. [ Cod: 2 h ~ ~ h c , d buy. sell, ~mmid,:byy Code "2 Code I buyer/seller( A - H ).__[ ............ , _Q-w,_ ........

35 John Itancock Life Ins Co 4.150 2/15/12 A Interesl J T3 6 . La Sa|le Fndg LLC Multi 3.000 1/15/I 1 A I n t e r e s t J T3 7 . McDonalds Corp 6 .000 4/15/1 I A Inlercst J T

3 8 . ,X.IFS Inten~ediate Income Trust C Dividend L T Sold I 1 / 0 5 1 0 9 J A! (pa,O! 3 9 . /Vlotorola Inc. 7.625 I IilS/10 A I n t e r e s t J T

4 0 . NalionaI Rural Utilities 4.125 2/I 5/I I A ln:erest J T4 1 . New Yo rk Tel Co. 7.000 6/15/13 A I n t e r e s t J T4 2 . General Motors Accp Corp 5.625 5115/09 A I n t e r e s t Redeemed 0 5 ; 1 5 / 0 9 J A

4 3 . "leco Energy lnc 7 .200 5/1/I I A I n t e r e s t 3 T44. Anaheim CA Pub Fing Auth 5.000 10il!10 A Interest J T

4 5 . Parlier Calif Redev Agy 4.650% 8/I/10 A I n t e r e s t J T46. Pasadena CA Electric 5.000 8/I/09 RFD A Interest Redeemed 08;03/09 JBonds

4 " ? . Sacramento CA Mun Roy 5.250 8/15/09 A Inlercst Redeemed 08,;17/09 J

4 8 . Oneok lnc New B Dividend K "1" Sold 03/05/09 K( p a r t )4 9 . Oneok lne New Buy 03/05/09 K(addl)5 0 . Russell Money Market S A tnt.;Div. J T5 1 . Century Tel., Inc. Cpn 5.000% Due 2/15/I 5 A lntcrcsl J T

(See Colum ns CI add D3 1 N =$ 250,001 - $ 500,000 O =$ 500,1~1 - $ I.(X)0,000 Il =$ {.(8ffL001 - $ 5,000,000 P2 =$ 5,000,(/0| - $ 25,000,000


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Page 7 of 1 7 Smith, d r ., M i l an D , 0 5 / 1 4 / 2 0 1 0

VII. INVESTM ENTS and TRUSTS -~ NONE i n c o m e , or transactions.)N o

(including t~s~ assets) reporting ~riod o f r e p o r t i n g p e r i o dP]acc"(X)"afiere~chasse~ amoum/ Type(e.g., Value I Value ~ T y p e ( e . g . , i Date ~ (]] t t4~ ] (5 )~ I ~ ~ Value ~ Gain j I d c n t i ~ y o fe x e m p t f r o m p r i o r d i ~ l o s u r e C o d e d i v . , r c n l . C o d e 2 M e t h o d ~ b u y , s e l l , ;m~d~y y i Code 2 ; C~e I buycdscllcr{ (A -H) ] orinl . ) U - P ) ! Code3 ; r e d e m p t i o n } :: ~ (S- l ) ~(a- l l ) ~ {ifpri ....

5 2 . Dean Wilier Discover Odd Cpn Meal Term A Inlcrcsl J TNotes 7.07~o 2/IO/145 3 . Motorola Inc. Notes call @ market+25 B P None Sold 0 1 / 0 8 ~ 0 9 J

5 , 1 . Boeing Co. G lobal Notes Cpn 5.125% Due Nene .I T2/15/135 5 . Gcnzb, me Corp Gen Div None K T Ruy 0 7 1 2 3 / 0 9 J(addl)

5 6 . Cisco Systems Inc. Nonc Sold 1 0 , t 0 8 / 0 9 J57 . International Business Machines A Dividend S01d I0/0~,;09 J

5 8 . Marriott Int Inc Class A A Dividend J T Sold 0 3 1 3 0 . 0 9 J A(pard5 9 . Medtronie Inc A Dividend Sold 1 0 1 0 8 1 0 9 J

6 0 . UltraShort S & P 500 ProShares None Buy 0 7 1 2 2 / 0 9laddl)6 1 . UltraShort S & P 500 ProShares Sold 08/14/U9( p a r t )

6 2 . UltraShort S & P 500 ProShares Sold 0~II 4/09

6 3 . Ultrashort Russell 2000 Reg ETF None Sold 0 5 , t ) 5 , 0 9 K64. MBIAIClaymore MGD Dm-a Inv Grd Muni C Dividend 1. T B uy 07;16"09 KFd (add l)65. Los Angeles CA USD GO B/E 7-] -09 B Imeresl Redeemed 07/01109 K

6 6 . Tamarack Instl Prime Fd C Ira.iDly O T6 7 . Bank of N~" Mellon Corp A Dividend Sold 1 0 , 2 9 / 0 9 J C

6 8 . Money Mkt Oblig Trust Auto Cash Mgmt B lnt.iDiv. K T


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|N .... f Person Reporting [ Date of ReportFINANCIAL DISCLOSURE REPORT =.O. Iage 8 of 1 7VI I. INVESTMENTS and TRUSTS - i ......... ~ , , , t . . . . . . liOnS (Includes those of so ... . . . d dependent children; ste pp. 34-60 of filing i ....... i o n s , )

~ (No reportable income, assets, orONE transactions.)Description o f A s s e ts h ~ o m e during G r o s s v a l u e a l e n d ~ T~nsaclions during reporting ~riod

( i n c l u d i n g m ~ s l a s s e ~ s ) reporting ~riod o f r c p o f l i n g p e r i o d J- ValueO) (2) 0) (2) (~ ) (2 ) I (3) ( 4 ) ( 5 )P l a c e ~ ( X ) " a f t e r e z c h a s s c = A m o u n t Ty~ (e g. Value Value Ty~ (eg., D a t e G a i n I d e n t i t y o f

e x e m p t f ro m p r i o r d i s c lo s u r e C o d e I d i v . . r e n t . C~e 2 Mcth~ b u y , s e l l , m~dOyy Code 2 [ Code I buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 ~ r e d e m p t i o n ) (JP) i (A-H) ( i f p r = v a t c

6 9 . American Capital Agency Corp D Dividend L T Buy 03/31/09 J(addl}7 0 . American Capital Agency Co o None Buy 03/05/09 J(addl)7 1 . American Capital Agency Corp Bu ~ 05/06/09 J(addl)

~ 7 2 . American Capital Agency Corp Sold 0 7 1 0 8 / 0 9 J A(pad)~ 7 3 . American Capital Agency Co~ Sold 07/08/09 J A(pan)74 . American Capital Agency Co~ Sold 07/22/09 J B(pan)7 5 . American Capital Agency Co~ Buy 12/23/09 J(addl)

7 6 . William s Partners LP Corn Unit Led Pad Int C Distribution K T Sold 03/05/09 J(pan)7 7 . Williams Partne~ LP Corn Unit Led Pad lnt Buy 03/05/09 J(addl)7 8 . Williams Parme~ LP Corn Unit Led Pa~ lnt Bu y 03/31/09 J(addl)7 9 . W illiams Partners LP Corn Unit Ltd Pad In~ Sold )5/06/09 J A(pan)8 0 . Ishares Barclays Short Treasu~ Bond Fund None Buy 01/30/09 METF (addl) .8 1 . Ishares Barclays Shod Tre~su~ Bond Fund Sold 05/06/09 LETF (pan)8 2 . lshares Barclays Shod Treasm~ B ond Fund Sold 05/07/09 KETF (pan)

8 3 . Ishares B arclays Shod Treasu~ B ond Fund Sold 07/22/09 JETF (pan)8 4 . Ishares B arclays Short Treasu& B ond Fund Sold 08/20/09 K

E~ (pad)8 5 . lshares Barclays Short Treasu~ Bond Fund Sold 0 8 1 2 0 / 0 9 JETF (pan)

(See Columns CI and D3} N =$250,~)1 - $5~.000 O :$5~.~1 - $I.~.~ PI =$1,~.~1 - $5,~.~ 12 =$5,t~),1~}1 - $25,~,~0

(See Column C2) O ~B~k Value V ~Olher W =Estimated


9/17

FI N A N C I A L D IS C LOS U R E R EPO R T [ N . . . . . . r P . . .. . . R ~ p o r t i , , ~Page 9 of 1 7 [ I~ N O N E (No reportable irtcome, assets, or trattsoctiot~s.)

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 r i n g Gross value at end ] Transactions during re.fling ~riod( nc uding t~s as~ets~ reposing ~rit~ ~ f r c p ~ : , n i n g p e r i o dP l a c e " ( X ) " a f t e r e ~ c h a s s e t A n ~ o u n l Ty~ (c.g, Value V a l u e ~ Ty~ (e.g., ] Dale Value. C o d e I d i ~ - r e n l . C t ~ e 2 M e ~ h ~ buy, ~ll, m~dd~ y : Code 2 ~ C o d e I buycr/scllcro r i n t ) H - P ) Code3 r e d e m p t i o n ) I [ i f p r i v a t e

8 6 . Isharcs Barclays Sho~ Trcasu~, Bond Fu nd S o [ d 0 9 1 ~ 6 1 0 ~ L~T F~ 7 . Isha~es Barclays Sho~ Trcasu~ Bond Fund A DividendETF8 R . Ishares Trust Barclay~ I-3 Y r. Treasu~ Bd D D~vidcnd M T Sold 07!22/09 JFD (pan)8 9 . Capslead Mtg Co~ Corn No Par D Dividend L T Bu y 03/31/~ J(addl)90. Capstead M~g Co~ Corn No Par None Bu y 05/06/09 J(addl)91. MFA Mortgage Invesnnents Inc. C Dividend K " 1 Bu y 0 3 / 3 1 7 0 9 J(addl)9 2 . MFA Mortgage Investmen~ Inc. None Sold 0 7 7 0 8 / 0 9(pan)9 3 . MFA Mortgage Invesm~n~s Inc. Sold 0 ~ i 2 0 ~ 0 9(pan)94. ttaUeras Financial Co~ C Dividend K T B uy 03/05/09(addl)95. Ha~ms Financial Co~ ~u y 0 5 / 0 6 / 0 9 ] J(addl)9 6 . F~an~li~VT~mpl~[on Hard Currency Fund CI None Sold O l ] O g J 0 9 : JA9 7 . Temple~on G lobal Bong Fuad CI A None Sol~ 0 1 / 0 8 J 0 9 ~ J

9 8 . Putnam Managed Municipal Income C Dividend L T Buy 05/06/09 JT r u s t - S f 3 ] (addl)9 9 . Putnam Managed Municipal Income B uy 05/07/09 JTrust-SB l (addl)1 0 0 . Putnam Managed Municipal Income B uy 05i08t09 J"lrust-S B I (addl)101. Putnam Municipal Oppo rtunities Trust-SB1 t-; Dividend L T Buy 03 /06/09 J(addl)

1 0 2 , Putnam Municipal Opportunities Trust-SBI Bu y 0 3 , " 0 9 / 0 9 K(addl)

( S ~ e C o l u ~ r m s C t and OJ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 .0 0 0


10/17

F IN A N CI AL D IS C LO S UR E REPORTI Smith, Jr., ~]ilan D.

0 5 / 1 4 / 2 0 1 0Pagc 10 o f ] 7

~ (No reportable assets, orO N E i n c o m e , transactions.)J J ~ T~ansaclions during reposing ~riodescription of Assc~s Income during [ Gross value a~ end , .(including tms~ assels) { reporting period of reporting period ,

Place "(X)" after each assel Amounl [ J)im (e.g., VMuc Value Type [c g. [ Dalc Value Gain ]dcnlity o fe x e m p l I~om pr io~ disc losure ~ C o d e I div.. rein, Code 2 Mclh~d buy. s el l, ~mm/d~yy Code 2 Codc I buycr/~cl l~r~ (A - H ) ~ or in t.) {J-P ) Code 3 rcdcmpt lon) ~ [J -P ) { A - H ) ~ifpriva~c[ Q- W ) ~

103. Sel~gman Selec~ Municipal Fund Inc. B Interest M T B uy 03 /01,/09 K(addl )104. geIigman Select Municipal Fund Inc. B uy 05/06109 K(addl}IO5. Discover Bank Greenwood DE 4.400%; B Intere~ Redeemed 0St03109 K8/03/09106. Comerica Bank Detroit. MI; 4.16%; A Interest Redeemed O8/07/09 K08103/09 ( pan}107. Comedca Bank Detroit. MI; 4.16%; Redeemed 08/07/09 K08/0L0910g. W es~ernbank PR; 5.20%; 08/07110 B Interest K T

109. Comerica Bank Detroit. MI; 2.536%; 8/7/09 A Interesl Redeemed 08/07/09 K

10. Huntington Natl Bank Columbus, OH; A Interest Redeemed 09/03,09 K B3 06%: 09/03/09I I. FidcliW Advisor Mun Income Fund Cl , "F B Dividend K T B uy 12/23 /09 K(addl)12, Capital One Bank Glen Allen. VA; 2.27%; A Interest Redeemed 02/23/09 K A02123i0913. Bank ,~orth GA Alpharetta; 3.35%; 04!30/0( B Interesl Redeemed 04/30,"09 K

14. lluntington Nad Bank Columbus, OH; A Interest Redeemed 09/03/09 K B2 4 7 % ; 09 , 03 /0915. Gabelli Glbl Util Ine Trust A Dividend J T Sold 01/28/09 K( p a r t )16. lshares Trust ]boxx $ lnvestop Investmefit C Dividend M r B uy i 03/31/09 LGrade Bond Fund17. Ishares "lnasl Iboxx $ lnvestop Investnlenl B uy l 1 1 0 5 1 0 9 KGrade Bond Fund (addl)18 Ishares Trust lboxx $ Investop Investment B uy 12124/09 K

Grade Bond Fund (add l)!9. lshares[rust Iboxx $ [nvestop Investment B uy I 11/051091 J

Grade Bond Fund (addl ).

(See Column~ CI and O31 N


11/17

FINANCIAL DISCLOSURE REPORT r ~ . . .. . r ~ " . . . . . . a . p o . , . , ~ [Page 11 of 17 s , , , i t l, , a , . , ~ i l a . , ~ . ~o ~ t ~ 4 a o ~ o

VII. INVESTMENTS and TRUSTS - i ......... t ..........io.~ ancluSes those o/sp .......d~ NONE (~ reportable income, assets, or transactions.)-- ~. -- ~ u . - c. ~ ............... -fi .......................I n c o m e d u r i n g G ro s s v a l u e a ~ en d T ~ a n s a c t l o n ~ d u r i n g r c p o r n n g p e r i ~De~riptlon of A~ts . I .

PI~~"(X)" alier each a~cl A,nounl T~pe (c.g, Value Value [ypc (cg. Da~c Value i (3am Idcnl~ly ofe x e m p t f ro m p r i o r d i s c lo s u r e C~e I d i v . , r e n t , C~e 2 M e ~ h o d buy, sell mn~d&yy ~ C~c 2 I Code I buyerlsellcr( A - H ) i ~OP) (A-H) ( i f p r i v a l eo r i n t . ) ( J - P ) C~e 3 r e d c m p t l o n ) i( Q W ) : [ . t r a n s a c t i o n )

1 2 0 . F u n d l s h a r e s , , B a r c l a y s I m e n n e d i a t e C r e d i t B o n d D Dividend Mr Bu y 0 3 i 3 I ; 0 9 [ L

1 2 1 . Ishares Barclays ln/ennediate Credil Bond Bu y 0 3 , ~ 3Fund (addl)1 2 2 . Ishaes Barclays Intermediate Credit ~ond M T BuyFund (addl)1 2 3 . lshares Barclays MBS Bond Fund ETF D Dividend N T Bu y 03/31/09 L1 2 4 . Ishares Barclays MBS Bond Fund ETF B ay 05/07/09 1 .

1 2 5 . lshares Barclays bIBS Bond Fund ETF Buy 07/0809 L(addl)1 2 6 . Ishares Barclays MBS Bond Fund ETF Bu y 0 5 / 0 6 / ( 1 9 L{addl)1 2 7 . lshares Barclays 1-3 YR Credit Bond Fund C Dividend M T B uy 0 5 , " 0 5 / 0 9 LETF1 2 8 . lshares Barclays 1-3 YR Credit Bond Fund B uy 05/06/09 METF (addl)1 2 9 . Proshares Ultrashort Midcap400 ETF None Buy 05/06/09 K1 3 0 . Proshares UIIrashort Midcap400 ETF Sold 07/22/09 J

1 3 1 . Annaly Capital Management Inc. C Dividend L T Bu y 03/31/091 3 2 . Annaly Capital Management Inc. B uy 05/0609(addl}1 3 3 . Annaly Capital Management Inc. B uy I ) 7 1 2 2 / 0 9(addl}1 3 4 . Annaly Capital Mar~agement Inc. B uy 07/23/09i (addl)1 3 5 .

Annaly Capital Management Inc. B uy 1 2 t 2 3 / 0 9(addl)

1 3 6 . AnnalyCapital Management Inc.. B uy 12/24/09(addl)

(See Columns CI and D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . ~ 1 X 1 0 = $ 5 0 0 . f } 0 1 - $ 1 . 0 0 0 , ( 1 0 t) Pl =~l.000,001 - $ 5,00IL000 P 2 = $ 5 , 0 ~ ) ~ 1 . t~ t . $ 2 5 M ~ 3 . 0 t O


12/17

FI N A N C I A L D IS C LOS U R E R EPO R TIPage 12 of 1 7 Im i th , J r . , M i la n D . 0 5 1 1 4 / 2 0 1 0

NONE ~o reportable income, assets, or transactions.)Description of As~Is Incom e during G ross value at cad Transactions dunng rcponin8 pcri~(including trusl assets) rcpoaing ~r iod [ of rcpo~tmg period

Place"(X)" after each asset Amoum ~ T~ (c.g, I Valt~c Value ~ Type (e.g., ~ Date [ Value Gain ] dcnmy o f[ Cc~e I d~v.. rent. ~ Code 2 Mcth~ : buy, sell. [m~ql~tyy C~e 2 C~c I buyer/seHcrexempt l~om pfor disclosure ~ [A-H) ~ or int.) [.LP) Code 3 redcmplion) ~ ] (J-P) (A-H ) (Jrprivate.. ~ ....... ~ ...................

137 . Linn Energy LLC None K T B uy 07 /23 /09 K

1 3 8 . Copano Energy LLC None K T Bu y 08/14/09 J

1 3 9 . Copano Energy LLC Bu y 09/16/09 J(addl)1 4 0 . lshares Tn2s, Barclay~ Credit Bond Fund A Dividend M T Bu y 0 8 1 2 0 / 0 9 LETF141. Ishares Trust Barclays Credit Bond Fund B uy 12/23/09 LETF (addl)1 4 2 , Ameren Corp A Dividend K T Buy 09/16/09 K

1 4 3 . Amcren Corp Bu y 12/23/09 J(addl), 144. Proshares Ultrashort MSCI EAFE ETF None Sold 0 5 1 0 6 / 0 9 J

1 4 5 . Cenovus Energy Inc A Dividend J T146. Encana Corp A Dividend K T

1 4 7 . Ishares Barclays Short Treasury Bond F u n d B Dividend M T Bu y 01/30/09 METF1 , 1 8 . lshares Barclays Shor~ Treasu~- B ond Fund Sold 0 5 1 0 6 1 0 9 : L AETF ( p a r t )1 4 9 . Isharcs Barclays Shor~ Treasury Bo nd Fund Sold ~ 0 5 / 0 7 , 0 9 KETF ( p a ~ t )

1 5 0 . lshares B arclays Shortlreasury B ond Fund Sold 07/23/09 METF (pan)5 I. lshares Barclays Short Treasury Bond Fund Sold 09/16/09 KETF (pan)52. ]shares B arclays Short Treasury B ond Fund Sold 10/09/09 KETF ( p a r t )

153. lshares Bzrclays Short Treasury Bond Fund I Bu y 12/23/09 METF [ ]addl)

, 1 IncomeGainCodes: A-.$1.0OOorlcss [1=$!.001-$2.5~0 ---~=$2.50t-$5,000 D=$5.001-$15.000 E = $ 1 5 . 1 1 O t - $ 5 O Y a ) t l

ISc Columns C l arid D3) N = $ 2 5 0 . 0 0 I - $ : { ~ I. 0 ~ Y J O


13/17

FINANCIAL DISCLOSURE REPOR T .~ .... fP ..... R e p o r t i n g D .... f R e p o r l]age 1 3 of 1 7 S.,ith. dr., M i la n 1 ) . 0 5 ! 1 4 / 2 0

~ N ONE (~Vo reportable income, assets, or transactions..) 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 r i n g l G r o s s v a l u e a ~ e n d ~ ~ r a n s a c l i o n s d u r i n g r c ~ ) ~ i r ~ g p e r i l e d{including t~sl assets) rc~ing period : o l r c p o n m ~ period

P l a c e " ( X ) " a f t e r ~ a c h a s s e t Amoun [ Ty~ (c g., [ V a l u e V 3 l u c lypc (e.g.. ~ Da.c [ Value G a i n ldcnmy ofexempt liom pn~r di~losure : C o d e I ~ d i v . . r c n l , ~ C~e 2 M c t h o ~ t b u y . s c t l , ~m~dd,,yy ~ C~c 2 C~c I b u y c r / s c l l e ~( A - H ) . orinl.) ( J P ) Code3 r c d c m p 6 o n ) i ] { J - P ) ( A - I I } (ifpr~wtc

1 5 4 . Abbot Laboralories A Divided K T Bu y 05/06i09 K1 5 5 . Abbot Laboratories B uy 1 2 / 2 3 , ; 0 9 J{addl)

1 5 6 . Proshares Uhrasho~ S&P 500 ETF None Buy 05,06/09 K1 5 7 , Proshares Ultrashoa S&P 500 ETF Sold 08/14/09 K

1 5 8 . Teppco Partners LP Units LTI) Partnership A Dist~ibulioa Bu y 07/22/09 Kln t159. Teppco Partners LP Units LTD Partnership Merged 10/27/09In t (with line 163)1 6 0 . lshares Trust Barclays Credit Bond Fund B Dividend M T B t ~ y 0 8 / 2 0 , 0 9 LETF1 6 1 . lshares Trust B arclays Credit 13ond Fund B uy 0 9 1 1 9 / 0 9 1 KETF (addl)1 6 2 . H & Q Life Sciences lvcstors S13.1 K T Bu y 110/09/09 K1 6 3 . Enterprise Products Partners LP A Distribution K "1" Bu y1 6 4 , Powershares Global Exchange Trades FD A Dividend L T Buy 05/06/09 LTR Weekly VRDO Tax Fre

1 6 5 . Powershares Global Exchange Trade~ FD B uy 08/20/09 JTR Weekly VRDO "Tax Fre { a d d l )1 6 6 . Powcrshares Global Exchan~.e Trades FD B uy I 1 / 0 5 ; 0 9 JTR Weekly VRDO "Fax Fre laddl)I67. Franklin Templcton Funds I]S Govt B Dividend Bu y 01/08/09 KSecutrities Ser CI A1 6 8 . Franklin Templeton Funds US G ovt B uy 02/04/09 JSecutrities Ser CI A (addl)169. Franklin Templeton Funds US G ovt B uy 03t04/09 J

Seeutrities Ser CI A (addl)170. Franklin Templeton Funds US Gov t B uy 04/03/09 JSecutrities Ser CI A (addl)


14/17

FINANCIAL DI SCLOSURE REPORTSmltl,, St., rq .,, t~.age 14 of 17

VII. INVESTM ENTS an d TRUSTS - ~ ......... ~ ...........~.s a.c~s ,, . . . .~,-v . . . . . .s ~ w . ~ . ~ ~ m t s , ~ . ; ~ , ,~ ~ , . ~ 4 - ~ o o ~ i .~ i . . . . . ..~ o . ~ . ~

~ N O N E (No reportable income, assets, or transactions.)...................... A. B. " " C. ...................... D. (including t~s~ assets) ~ r~ortm~ pcr~od of rcp~ing period

Place "(X)" after each asset Amount T~ (eg., Value Value Type (e g, D a ~ e Value Gain Identity ofexempt t?om p rior disclosure Code I div.. rent, Code 2 MelEod buy, sell, : mr~dd;yy

, {A-II) [ or inl.) ( J P) C~e 3 redemption) : (J-P)............................................. ~ ..... ~ ............. ......... ~Q-W) , ............... , i ~ ......... ~ .......on )

171. Franklin Templemn Funds US Govt B uy 05105109 [ Jgecutri~ics Set CI A (add l)172. Franklin Templelon Funds US Govt B uy 06/03 /09 J

Secutrilics Set CI A (add l)173. Franklin Templeton Funds US Gov~ B uy 07106/09 J

Secumties Set CI A [addl )174. Franklin Temple~on Funds US Govt B uy 08/05/09 JSecumties Set CI A (addl)175. Fr~klin Templemn Funds US Govt B uy ! 09/03/09 JSecu~rities Set CI A [add l)176. Franklin Templelon Funds US Govt B uy 10/05/09 J

Secutfities Set CI A (addl )177. Franklin Templeton Funds US Gov~ B uy I I/~,09 Jgecmrities Ser CI A (add l)178. Franklin Templetou Funds US Govt B uy 12/03/09Secutriti~ Set CI A (add] )179. Franklin Templeton Funds US Govt Sold 12123109 KSeeutrifies Set CI A180. Teco Energy lnc X (Not On 2008 Repot) None K T

181. Blackrock Income Tr~s! Inc None K T , Buy 12123~09 .I

182. Blackroek Income Trust Inc. B uy 2/24/09 .I(addl)183. DWS Dreman Value Income Edge Fund lnc Nuue J T I~uy 12/23:09 3Ne w184. Franklin Investors Sees Tr Adjustable US None K T B uy 12i23i09 K

Gov! Sees Fund185. Gabelli Dividend & Income Fund None J T B uy 12/23/09 J

t 86. Ishares Tin!! Barclays 1-3 Y r Credit Bond Noue L T Bu ~ ! 2 1 2 3 / 0 9 LF u n d E T F

187 . H J | le inzCo None J T Bu y 12/23/09 J


15/17

FI N A N C I A L D IS C LOS U R E R EPOR TI ~ . m , o r P . .. ..

R w o , ~ . ~Page 15 of 17 s m i th , J r . , r,~ila, o.

VIl. INVESTMENTS and TRUSTS- i ........ al ...........ons Oncludes those 4W ...... d depend ....hi l dr en: seepp. 34 -6 0 of f i l ing ins t r uc t ions. tN O N E (No reportable income, assets, or transactions.)

Description of Assels Inc~me ~t~ring Gr,~ss value at end Transactions during rc~rting ~i~[i~luding t~s~ as~e~s) [ reposing ~ri~d ~ of ~cpoaing ~c~iod

Place "(X)" after each asscl Amoun~ Type (e g. Value Value Type (c ~. . Date ~ Value ~ Gain ldcnti~y ofexempl from pfor disclosure C~c div.. rc~l. C~c 2 Mc~od buy, sclI. mm~d& yy ;[ C~}de 2 ~ Code I buye~/scllcr[ (A-H) orin[) ~ (J-P) [ Co~e3 redemp6on) ~ (JP) ~ (A-H} (ifpri~atc

188. H & Q Lit~ Sciences Investors SBI None J T B uy 12123709

189 Eli Lilly & Co None J T Bo y 1 2 / 2 3 , 0 9 J

1 9 0 . Statoil A~a Sponsored ADR None J T B uy 12/23/09

1 9 1 . St .lude Medical Inc None J T Bu y 1 2 1 2 3 , 0 9 J192. Windstream Corp None J T B uy 12/23 /09

1 9 3 . M & I Marshall & Ilsley Bk Milwaukee W is N o n e K T B n y 03/09/09 KC i D F D 1 C D U E 2/26/21 9 4 . U n i t e d W e s te r n B k D e n v e ~ C o C i D F D I C A l m e r e s t K T B u y 06;30/09 KI n s t o L i ~ n i t s D u e 6 / 3 0 /1 9 5 .

196.

i P3 =$25.0t~0,(X)1 - $50,000,090 P~ =Mot.: than


16/17

Name of Person Repor ting Date of ReportF I N A N C I A L p a g e l 6 o f 1 7 D I S C L O S U R E R E P O R T S m i t h , a t. ,

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


17/17

FINANCIAL DISCLOSURE REPORTPage 1 7 of 1 7 Sn, ith, Jr., M i l a n D . 0 5 / 1 4 / 2 0 1 0

IX. CERTIFICATION.I certify that all informatiao given above (including information pertaining to m y spouse and m inor or dependen t children, if auy) isaccurate, frue, and eomplele to lhe best of my knowledge and belief, and that any information no! reported was withheld because i~ met applicable statutoryprovisions permitling no~-disclosure.I furtber certify that earned income from outside employm . . . . . . *- ....... :~ --~ *~- ............. ~--:~ ..... ~~"h have been reported are incompliance wit~ the provisions of 5 U.S.C. app. 501 et. seq., S ;.

NOIE: ANY INDIVIDUAL WIIO KNOWINGLY AND WILF PORT MAY BE SUBJECT TO CIVIl.AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail sigqed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Documents

Milan D Smith Financial Disclosure Report for 2009