UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT · 2019-07-26 · Moot Court Competition Moot Court Competition Moot Cout Competition Travel, food and lodging Travel, food and

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



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.


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)


Page 5 of 16


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)



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.


(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






ADividend Sold 05104 J

Dividend Sold 05/03 J A


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.



VII. INVESTMENTS and TRUSTS income, vatue, transactions c1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instractions.)


B. C ll


(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


Page 8 of 16


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.>


52.

53.

54.

55.

56.

57.

58.

59.

60.

6I.

62.

63.

64.

65.

66.

67.

68.

A.

Description of Assets

(including trust assets)



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


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


(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.


(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_·-----�---

-----



VII. INVESTMENTS and TRUSTS -- income, value, transactions !Includes those of spouse and dependent children,- see pp. 34-60 of filing instructions.)


A. B. D.

Description of 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


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


(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


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.)


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


Ill. Lloyds TSB Group PLC 2 A Dividend J T

112. A Dividend J T


114. Pfizer Incorporated 2 A Dividend J T

115. A Dividend J T

116. A Dividend J T




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


(See Column C2) U =Book Value V =Other W =Estimated

----------

L___ ____ _

(1) .. ''<1

(e.g., rent, Code

int.)

I


Page 12 of 16


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


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


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

;

------- - ---------·--- -------------


Page 13 of 16


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.)


A. B. c. Description of 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.



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)


(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


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.


(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


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


(See Column C2) U ==Book Value V =Other W =Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReport.)

l) Held in- self directed IRA with American Skandia 2) Self directed IRA


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

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