Milan D Smith Financial Disclosure Report for 2010

8/3/2019 Milan D Smith Financial Disclosure Report for 2010

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I AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Go vernment Act o f 1978(5 U.S.C. app..~.~ 101-111)I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)Smi th , J r . , Mi lan O.

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part- time)Circu i t Ju dge

7. Chamb~r~ o r Office AddressUnited Sta tes Court of AppealsS u i t e 2325, 222 N S epu lv eda BIEl S egu ndo , Ca l i fo rn i a 90245

2. Cour t or OrganizationNinth Ci rcu i t

3. Date of R e p o r t05/0512011

5a. Report Type (check appropriate Qpe)] N o m i n a t i o n , Dat e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Officer D a t e

6. Report ing Pe riod01/01/2010

to12/31 /2010

I M P O R T A N T N O T E S : 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 . P O S I T I O N S . C R e p o n l n g i n d i v id u a l o n t v ; s e e p p . 9 - 1 3 of fd ing instructions .)~] (No reportable positions.)O N E

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m e p o r ~ n g individual only seepp. 14-16 of . f i l lng instructions. )~ (No repor tab le agreem ents .)O N E

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 16

N a m e o f P e r s o n R e p o r t i n gS m i t h , J r . , M i l a n D .

D a t e o f R e p o r t05/05/201 I

I I I. N O N - I N V E S T M E N T I N C O M E . t g , p o r a n g individual andspouse; see pp. I7-24 of filing in struction~.)A. Filers Non-Investment Income

~] NONE non-investment income.)N o reportableDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - i f y o u were m arried during any portion of the reporting year, complete this section.(Dol lar amount not required except for hono raria. )

D (No reportable income.)O N E non-investment

1 . 2 0 1 02. 20103.4.

DATE SOURCE AND TYPESe l f -e m p l oy e d a t t o rne yGogian Fou nda t ion- Tru s t ee

I V . R E I M B U R S E M E N T S - transportation, lodging, food, e n t e r t a l n m e n L( I n c lu d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n , " s e e p p . 2 5 - 2 7 o f f il in g i n s t r u c t i o n s .)

D (No reportable reimbursements.)ONESOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED

G e o r g e W a s h i n g to nUni ve r s i t y La w Sc h oo l -Rel ig iou s F reedom MootCou r t

Fe brua ry 6 -7 , 2010 W ashin g to n , DC Ju d g e Re lig io u s F ree d o mMoot Court Compet i t ion Tra nspo r t a ti on , Food , Ho t e l

2. S andra Day OConnorC o l l e g e o f L a w A pril 25-26 , 201 0 T em pe, A rizon a P ar t i c ipa t e i n AS U S u mm i t Tra nspo r t a ti on , Food , Ho t e lon the Fu tu re o f Lega lEduc a t i on3. S ta t e Bar o f C a l i fo rn i a M ay 7 -8 2009 S an Fr an c is co , C a li fo r ni a C L E p ro g ra m pr o gr amcance l l ed , b u t non-re fu ndab le t r av e lre imb u rs ed

Transporla t ion


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N a m e o f P e r so n R e p o r t i n gSmith, Jr., Milan D.

D a t e o f R e p o r ~05/05/2011


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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 1 6

Name o f Pe rson Report ingSmith, Jr. Milan D.

Date of Repor t05/05/2011

V . G I F T S . a n c / , d ~ t h o s , , o ,p o u s , u n d dependent children; see p p . 2 8 - 3 1 of f i l ing instrucdon~ )N O N E (N o reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s th o s e o f s p o ,~ e u n d d ~ p e n d e n t children; see p l~ 3 2 - 3 3 of filing instruction&)NONE (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

V A L U E C O D E


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N a m e o f P e r so n R e p o r t i n gSmith , Jr. , Milan D.

D a t e o f R e p o r t05/05/701 I

VII. INVESTMENTS and TRUSTS -inco .... . , , h , e , transactions (lnclude~ those of spouse an d dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n of Asse ts Transac t ions du ring re l~ort ing p e r io d( i n c l u d i n g t r u s t a s s e ts )

P l a c e " ( X ) " a f t e r e a c h a s se te x e m p t f r o m p r i o r d i s c lo s u r e

Income dur ing Gross va lue a t endreport ing per i od o f r epo r t i ng p e r io d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )Amo u nt T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g ., Date Va lue Gain Identi ty ofCode I div. , rent , Co d e 2 M e t ho d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I buyer / se l l er( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f private

( Q - W ) transaction)

I. General Electric Co. A Dividend J T2. Coca-Cola Company A Dividend J T3. Intuitive Surgical Inc. None K T4. Kin der Mo rgan Energy Partners LP Unit Ltd B D i s t r i b u t i o n K TP a r l n e r s h i h p5. American Tow er Corp CL A None K T6. Devon Energy Corp New A Dividend K T B uy 07/29/10(addl)7. Devon Energy Corp New None B uy 09/02/10(addl)8. L-3 Communications Holdings Inc. A Dividend K T B uy 07/26/10(addl)9. Pepsico Incorporated A Dividend K T B uy 04/08/10(addl)I0. Pepsico Incorporated None B uy 09/02/10(addl)1 1 . Time W arner, Inc. A Dividend J T1 2 . Time W amerCable A Dividend J T1 3 . Canadian Natl Ry Co. A Dividend K T1 4 . First Colony Life Policy None J T1 5 . Aetna LifePolicy A Int./Div. K T1 6 . C a l i fo r n i a P i z z a K i t c h e n None J T1 7 . Q u a n t a S V C S I n c None K T B uy 09/02/10(addl)

JJJJJ

1. I n c o m e G a i n C o d e s : A = $ 1 ,000 o r less B --$ 1 ,00L - $ 2,500 C = $ 2,501 - $ 5,000 D = $ 5 . 1 ) 0 1 - $ 1 5 . 1 ) 0 0(Se e C o l u m n s B I a n d D 4 ) F =$50.001 - $1 00,000 G = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 I I I = $1 , 00 0, 00 1 - $ 5. 00 0. 00 0 1 1 2 = M or e th an $ 5 .0 00 .0 00

2. Value Codes J =$15,000 or Ices K =$15,001 - $50.00~ L =$50,001 - $1 00.0~) M =$100,001 - $250.000(See C o l u m r ~ C I and D3) N =$ 250.001 - $500.000 O = $-r~ 0,001 - $1 ,000.000 PI =$1,000,001 - $5.000,000 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 , 0 0 9 . 1 9 0 0

P3 =$25.000.001 - $50.0~.000 P4 =More than $50.000.0


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FINANCIAL DISCLOSURE REPOR TPage 6 o f 16

N a m e o f P e r s o n R e p o r l in gSmith, Jr. , Milan D.

D a t e o f R e p o r t05/05/2011

V l I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e . ~ a n ~ a , ~ i o ,~ a n c l u d , ~ ,h o s e o / s ~ , o u s e a n d d e p e , d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 o/filing instructions.)NO NE ( No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i nc luding t rus t asse~ s)

P l a c e " ( X ) " a f t e r e a c h a s se te x e m p t f r o m p r i o r d i s c lo s u r e

Income d u r i n g G r o s s va lue a t endr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(t) (2) (i) (2) (t ) (2) (3) (4) ( 5 )A m o u n t T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g ., Da te V a lu e Gain Identi ty o fC o d e I di v . , ren t , C o d e 2 M e t h o d b u y , sell, m m / d d / y y C o d e 2 C o d e I buyer/sel ler( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) ( i f private

( Q - W ) transaction)

1 8 . Q u a n t a S V C S l n c None S o l d 10/l l /10 J A( p a r t )1 9 . DowChemicaICompany 5.750 12/15/12 A I n t e r e s t J T20. Dow Chem i ca l Co m p a n y 5 . 3000 3 / 15 / 13 A I n t e r e s t J T21. Franklin UniversalTrust C Dividend L T S o l d 05/20/10 J B( p a r t )22. Frank lin Universa lTrust None S o l d 07/26/10 J C( p a r t )23 . Genera l Elect ri c Cap Corp 4.000 4/15 /10 A l n t e r e s t Redeemed 04/15/10 J A24. G o ldm a n Sa ch s 5 . 250 10 /15 /1 3 A I n t e r e s t J T25. ln t l Lease Fin Corp 4.200 2 /15 /10 A I n t e r e s t Redeemed 02/26/10 J A26. John H ancock Life Ins Co 4.150 2/15/12 A I n t e r e s t J T27 . La Sa l le Fndg LLC Mul t i 3 .000 1 /15 /11 A I n t e r e s t J T28 . McDonalds Corp 6.000 4/15/11 A I n t e r e s t J T29. MFS Interme diate Income Trust C Dividend K T S o l d 09/02/10 K C(pan)30 . Mo torola Inc. 7.625 11/15/10 A I n t e r e s t Redeemed 11/15/10 J31 . Nationa l Rural Utilities 4,125 2/15/11 A I n t e r e s t J T32 . New Y ork Tel Co. 7 .000 6/15/13 A I n t e r e s t J T33 . Teco Energy Inc 7.200 5/1/11 A I n t e r e s t J T Redeemed 04/26/10 J A( p a r t )34. Anaheim CA Pub Fing Auth 5 .000 10 /1 /10 A I n t e r e s t Redeemed 10/01/10 J

1 . I n c o m e G a i n C o d e s : A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2,500 C =$2.501 - $5,000 D $5.001 - $15.000(See Columns BI and 1 ) 4 ) F =$50.(~1 - $100,000 G =$1 00.001 - $1.000.000 I I I = $1 .000 ,001 - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e t h a n $ 5 . 0 ~ 0 . 0 0 0

2. Value Codes J =$1 5 . 0 ~ ) o r l es s K =$15.001 - $50,000 L = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 .( X } O( S e e C o l u m n s C I a n d D 3 ) N =$250.001 - $500.000 O = $ 5 0 0 3 3 01 - $1,000,000 PI =$1 .000.001 - $5,000.000 P2 =$5,000.001 - $ 2 5 . 0 0 0 . 0 0 0

P 3 = $25,0~,001 - $50 .0~. (~0 P4 =More than $50.00~.0003 . V a l ue M et ho d C o d es Q =Appraisal R =Cosl (Real Estatu Only) S = Assessm en t T =Cas h Mar k et{S ee C o l u m n C 2 ) LI =Book Value V -~3ther W =Eslimalcd

E =$1 5 . 0 ~ 1 - $ 5 0 . 0 0 0


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N a m e o f P e r so n R e p o r t i n gSmith, Jr. , Milan D.

D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , * t . e , t r a n s a c t i o n s ( I n c l u d e s t h o s e of spouse and dependent children; seepp. 34-60 of f!ling instruction&)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u ri n g( i n c l u d i n g t r u s t a s s e ~ ) r e p o r t i n g p e r i o dI (i) (2)Place "(X)" after each asset [ A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c l o s u r e I Code I di v . , ren t ,i ( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)Value Value

C o d e 2 M e th o d( J - P ) C o d e 3( Q - W )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(I ) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, se l l , m m / d d ~ Code 2 C od e I b uye r/se ller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

35 . Par l i e r Cal i fRed ev A g y 4 .650% 8 / I / 10 A Interest Redeemed 08/02/10 J36 . O n e o k l n c N e w B Di vi de nd L37 .

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

C e n t ury Te l . , Inc . C pn 5 .000% Due 2 /15 /15De a n W i t t e r Di sc ove r O dd C pn M e d Te rmN ot e s 7 .07% 2 /10/14Bo ein g Co . Glo bal No tes Cp n 5.125% Du e2 /15 /13

A Interest

A InterestA Interest

T

T

T

G e nzy m e C orp G e n Di v N o n e T

JJJ

T

Sold 05/20/10 K CMarriot t Int Inc Class A A Di vi de nd JMBIA/C l a y m ore MG D Dura Inv G rd Mun i B Di vi de ndFdMone y Mkt O bl i g T rus t Aut o C a sh Mgm t A Int . /Div.Am er ican Capi ta l Agency CorpW i l l i am s P a r t ne r s LP C om U ni t Le d Pa r t In tW i l l i am s Pa r t ne r s LP C orn U n i t Lt d Pa r t In tW i l l i am s P a r t ne r s LP C om U ni t Le d Pa r t In tI sh a re s T rus t Ba rc l a y s I -3 Yr . T re a sury BdFDI sh a re s T rus t Ba rc l a y s 1 -3 Yr . T re a sury BdFD

D Div idend LC Distr ibut ion K

N o n eN o n e

B Div idend MN oneN o n eN o n e

T

T

T

Bu y 04 /08/10(add l )So ld 03/1 9/1 0(part)S old 07/26/I 0(part)S old 12 /14/10(part)Sold 01 /1 3/1 0(part)Sold 01/20 /10(par t)Bu y 05 / 20/ I 0(add l )Sold 07 /26 /10(par t)

JJJJJJKK

DDC

I sh a re s T rus t Ba rc l a y s I -3 Yr . T re a sury BdFDIshares Trust Barclays 1-3 Yr. Treasury BdFD

T

I . I nc ome G ain Codes : A =$1,000 or less B = $ 1 .001 - $ 2.500 C = $ 2,501 - $ 5,000 D =$5.001 - $1( S c Colu mns B I and IM) F =$50.001 - $ 100.000 G =$100.001 - $ I,O00,0O0 ! 1 1 =$ 1 .0 00 .0 01 - $ 5. 00 0. 00 0 1 1 2 = M or e th an $ 5, 00 0. 00 0

2. V a lue Co d es J = $ 1 5.000 o r le ss K = $1 5.001 - $ 50.000 L = $50.001 - $ 1 0 ~ . 0 0 0 M =$100.001 - $250.000( S ee Colu mns CI and D3) N = $250.001 - $ 500,000 O = $500.001 - $1 .000.000 P I = $ 1 .000.001 - $ 5.000,000 P2 =$5.000.001 - $25,000,000

P3 = $25.000.001 - $50.000.000 P4 =More than $50.009.0003 . V a l ue M et ho d C o d es Q =Apl~aisaI R = C o s l ( Rea l Ls t a t e O n l y) S ~Asscssm en t T = C ~ h M a r k e t( S ~ c Column C 2 ) U = l : k ~ o k V a l u e V = O l h e r W = E st i m a ted

E =$15,001 - $50.000


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Date of Repor t05/05/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i , ,c o , ,, . , .a l ,, e . , ,a , ~ o , * io , ~ a n c l ~ d ~ t h o ,e o y , p o . ,e o ~ a d e p e n d e n t children;see pp. 34-60 of filing instructions.)NO NE ( No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing G ro ss v alu e a t en d Transactions during reporting period

(including trust assets) r e po rt i n g p e r i o d o f r e p o rt i n g p e r i o dI (I) (2) (l) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s l A m o u n t T y p e ( e .g . , V alue V a lue T y p e ( e . g ., D a t e Va l u e Gain I d e n t i t y o fexempt from prior disclosure ~ Code l d i v . , r e n t , Code 2 M e th o d buy, se l l , m m ! d d h y y Code 2 C od e I b uye r/se llerIA - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

[ ( Q -W ) t r a n s a c t i o n )

52 . I sh a re s T rus t Ba rc l a y s 1 -3 Yr . T re a sury Bd N one S old 07 / 26 / I 0 JFD (par t)53 . Isha res T rus t B arc lay s I-3 Y r. T re asu ry B d N one S old 07 /29 /10 K AFD (par t)54 . I sh a re s T rus t Ba rc l a y s I -3 Yr . T re a sury Bd N o n e S old 09 /02/10 K A

FD (par t)55 . Isha res T rus t B arc lay s I-3 Y r. T re asu ry B d N o ne S old 10/18 /10 J AFD (par t)56 . C a ps t e ad Me g C orp C orn N o Pa r D Div idend K T So ld 05/20/1 0 J C(pai l )57 . C a ps t e ad Me g C orp C orn N o Pa r N o n e Bu y 07 /26 /10 K(add l )58 . MFA Mor tgage lnv es tment s Inc . C Div idend K T Bu y 05/20 /10 J(add l )59 . M FA M ortgag e Inv estm e n ts Inc. N o ne Bu y 04 /08/10 J(add l )60 . Ha t t e r a s F i na nc i a l C orp C Di vi de nd K T So ld 04/08 /1 0 J(par t)61 . Put na m Ma na ge d Mun i c i pa l Inc om e Trus t - C Di vi de nd K T So ld 05/20/1 0 K CSB I (part)62 . Put na m Ma na ge d Mun i c i pa l Inc om e Trus t - N o n e S old 07 /26 /10 J ASB I (par t)63 . Put na m Ma na ge d Mun i c i pa l Inc om e Trus t - N one S old 12 /13 /10 J BSB I (par t)64 . Put na m Muni c i pa l O ppor t un i ti e s T rus t -SBl C Div idend L T So ld 07 /26 /1 0 K C(part)65 . S e l igman S e lec t Mu nic ipa l Fu nd Inc . C Dividend L T So ld 01 /21 /1 0 J A(part)66 . S e l igman S e lec t Mu nic ipa l Fu nd Inc . N o n e S old 12 /10/10 K A(part)67 . W e s t e m b a n k P R ; 5 . 2 0 % ; 0 8 / 0 7 /1 0 B Interest Redeemed 05/10/10 K68 . Fi de l it y Advi so r Mun Inc om e Fund C L T B Div idend L T Bu y 04 /08/10 K(add l )

I . I nc ome G ain Codes : A =$1 .000 or less B = $ 1 , 1 D 0 1 . $ 2 , 5 0 0 C ~ $ 2,501 - $ 5,000 D = $ 5,0~ 1 - $ 1 5.000( S ee Colu mns B I and D4 ) F = $ 50.001 - $ 100.000 G =$100.001 - $1 .0OO.000 It l = $ 1 ,000,001 - $ 5.000,000 112 = More than $5.000.000

2 . Valu e Codes J =SI5.0~1 o" less K =$1 S,0Ol - $50.000 L ~$50.001 - $100.000 M =$100.001 - $250.000( S ~ e Colu mns CI and D3) N =$250.001 - $500.000 O = $5 00 .00 1 - $ 1,0 00.0 00 P I = $1 .0 00 ,0 01 - $ 5,00 0,0 00 P 2 = $5 .0 00 .00 1 - $ 25,00 0.0 00

P3 =$25.000.001 - $50.0~0.000 P4 =Mote than3 . V a l ue M et ho d C o d es Q =Appraisal R ~C o s t ( Rea l E s t a l c O ~l y) S = Assessm en t T =Cas h Mar k et( S ~ c Colu mn C2) U =B ook Valu e V =Olher W = E st i m a t ed

E = $ 1 5 , 1 ) 0 1 - $ 5 0 . 0 0 0


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N a m e o f P e r so n R e p o r t i n gSmi th , J r . , M i la n D.

D a t e o f R e p o r t05/05/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inc ...... l u e , transactions (Includes those of spouse and dependent children: seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

I n c o m e d u ri n gr e p o r t i n g p e r i o d

(I) (2)A m o u n t T y p e ( e . g . ,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q -W )

(i )T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

(2) (3) (4) (5 )D a t e Va l u e Gain I d e n t i t y o f

rnm/dd~y Code 2 Code I buyer/seller( J - P ) (A-H) ( i f p r i v a t e

I x a n s a c t l o n )

69 . Gabell i Glbl Uti l Inc Trus t GDV A Div idend K70 . Gab e l l i Glb l Ut i l Inc Tru s t GDV N o n e71 . l s ha re s Tru s t Ib oxx $ Inv es top Inv es tment D Div idend M

Grade Bond Fu nd72 . Ishares Trus t Iboxx $ lnves top Inves tment N o n eGrade Bond Fu nd73 . I s ha res Tru s t Ib oxx $ Inv es top Inv es tment N o n eGrade Bond Fu nd74 . I s ha res Tru s t Ib oxx $ Inv es top Inv es tment N o n eGrade Bond Fu nd75 . l s ha re s Barc l ays In te rmedia t e Cred i t Bon d D Div idend MFu nd76 . I s ha res Barc l ays In t e rmedia t e Cred i t Bond N o n eFund77 . l s ha re s Barc l ays MBS Bond Fu nd ETF D Div idend M78 . I s ha res Barc l ays MBS Bond Fu nd ETF N o n e79 . I s ha res Barc l ays MBS Bond Fu nd ETF N o n e80 . I s ha res Barc l ays MBS Bond Fu nd ETF N o n e81 . l s ha re s Barc l ays MBS Bond Fu nd ETF N o n e82 . I s ha res Barc l ays MBS Bond Fu nd ETF N o n e83 . l s ha re s Barc l ays MBS Bond Fu nd ETF N o n e84 . I s ha res Barc lays I - 3 YR Credi t Bond Fu nd C Div idend MET F85 . A n n a l y C a p i ta l M a n a g e m e n t I n c . D Div idend L

T Bu y 04 /08/10 K(add l )Bu y 11 /03 /10 J

(add l )T Bu y 03/19 /10 J

(add l )Bu y 03/19 /10 K(add l )Bu y 04 /08/10 K(add l )Bu y 05/20 /10 J(add l )

T So ld 07 /26 /1 0 J(par t)S old 10/12 /10 J(part)

T Bu y 01/13/10 J(add l )S old 07 /26 /10 J(par t)So ld 07 /26 /1 0 J(par t)Sold 09/02/10 K(par t)S old I 0 1 1 2 1 1 0 K(par t)S old 1 2 1 1 0 1 1 0 J(par t)Sold 12/13/I0 K(part)

T S old I0 /12 / I0 J(par t)T Bu y 05/20/I0 J(add l )

AA

AAA

I . I nc ome G ain Codes : A = $ 1 ,000 o r Ices B = $ 1 ,001 - $ 2,500 C =$2,.501 - $5.000 D =$5,001 - $15.000( S ee Colu mns B I and IM) F = $50.001 - $1 00.000 G = $ 1 09.001 - $ 1 .000.000 III =$1 ,000,001 - $5.000.000 112 =Mo re than $5.000,000

2. V alue Codes l = $1 5.000 or Ices K =$15.0OI - $ 5 0 . 0 0 0 L =$50.001 - $100.000 M =$1 00.001 - $250.00( S ee Coh zmns CI and D3) N = $250.001 - $500.000 O = $500.001 - $ 1,000.000 PI =$ 1.000.001 -

P3 =$ 25.000.001 - $50.000,000 P4 =More than $50.00~.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =A s s es s ment T =Cas h Mar k et( S ee Colu mn C2) U B o o k V a l u e V =O~hcr W = Es t imated

E =$15,001 - $50.000


10/16

FINANCIAL DISCLOSURE REPORTPage 10of16

N a m e o f P e r so n R e p o r t i n gSmi th , J r . , M i la n D.

D a t e o f R e p o r t05/0512011

VII . INVESTMENTS and TRU STS -inco,,e. votue. ,r ....i o , , ~ a n c t u d ~ t h o s e o f s p o u s e a n d , t e H e n a e n t c h i t ,l i e n : s e e H P . S 4 - 6 o o f f i l l n g i ns t ruc t ions . )[ ~ ] NO NE ( No reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e l ~ r t i n g p e r i o d

( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f te r e a c h a s s e te x e m p t f r o m p r i o r d is c l o s u re

I n c o m e d u ri n gr e p o r t i n g p e r i o d

(1) (2)A m o u nt T y pe ( e .g . ,C o d e I div . , r e nt ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value V alue

C o d e 2 M e th o d( J - P ) C o d e 3

T y 1 ~ (e .g . ,buy, se l l ,r e d e m p t io n )

(2) (3) (4) (5)Date Value G a i n I d e n t i t y o f

m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r( J- P ) ( A - H ) ( i f pr iva t e

86 . A n n a l y C a p i ta l M a n a g e m e n t I n c . N o n e87 . A n n a l y C a p i t a l M a n a g e m e n t I n c . N o n e88 . L i n n E n e r g y L L C C Distr ibut ion K89 . C o p a n o E n e r g y L L C C Distr ibut ion K90 . I s ha res Tru s t Ba rc l ays Cred i t Bond Fu nd D Div idend MET F91 . A m e r e n C o r p B Div idend K92 . Am e re n C orp N o n e93 . C e n o v u s E n e r g y l n c A Div idend K94 . Encana Corp A Div idend K95 . Encana Corp N o n e96 . I s ha res Barc l ays S hor t Treas u ry Bond Fu nd A Div idendET F97 . I s ha res Barc l ays S hor t Treas u ry Bond Fu nd N o n eET F98 . I s ha res Barc l ays S hor t Treas u ry Bond Fu nd N o n eET F99 . Ab b ot Lab ora tor i es B Div idend K1 0 0 . A b b o t L a b o r a t o r i e s N o n e1 0 1 . A b b o t L a b o r a t o r i es N o n e102. H & Q Li fe S c i ences Iv es tor s S BI C Div idend L

Bu y 07 /26 /10 J(add l )

Bu y 04 /08/10 J(add l )

T Sold 12/10/10 J C(par t)

T S old 07 /26 /10 J C(par t)T S old 07 /26 /10 J A(par t)T Bu y 01/13/10 J(add l )

Bu y 02/04 /10 J(add l )T Bu y 01/13/10 J(add l )T Bu y 07 /26 /10 J(add l )

Bu y 12 /10/10 J(add l )So ld 01 /1 3/1 0 K(par t)So ld 03/1 9/1 0 K(par t)S old 04/ 08 / I 0 L

T Bu y 04/ 08 / I 0 J(add l )Bu y 07 /26 /10 J(add l )Sold 12/29/10 J(part)

T Bu y 04 /08/10 J(add l )

I . I nc ome G ain Codes : A =$1,000 or less B :$1,001 - $2,500 C =$2.501 - $5,000 D =$5,001 - $15,000( S ee Colu mns B 1 and IM) F =$50,001 - $ 1 00,000 G =$100.001 - $1 ,000 .000 I 1 1 = $ 1 , 0 0 0 , 0 0 1 - $ 5 . 0 0 0 , 0 O O 112 =Mo re than $5.000.000

2 . Valu e Codes J =$15.000 or less K = $ 1 5,0O I - $ 50.000 L = $ 5 0 . 0 O I - $ 1 0 0 .0 O O M =$100.0OI - $250.000(Se e C o lumr~ C I a n d D 3) N = $250.001 - $500.000 O = $500.001 - $ 1.000.000 PI = $1.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P 3 = $ 25.009.001 - $50.0~0.000 P 4 = Mo re than $ 50.000.0003. Value Method Codes Q =Appraisal R ~o s t tRe a l Es ta te On ly) S =A s s es s ment T = C ash M ar ke~

( S ee Colu mn C2) U =B ook Valu e V =G ~ h ~ W = E st i m a ted

E =$ 1 5 . 0 ~ 1 - $ 5 0 ,0 0 0


11/16

FINANCIAL DISCLOSURE REPORTPage 1 1 of 1 6

N a m e o f P e ~ o n R e p o r t in gS m i t h , J r ., M i l a n D .

Date of R e p o r t05/05/201 I

V l l . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a l u e , t r u , ~ a c t l o ~ a n e l ~ d , ~ t h o s e of spouse and dependent children: see plx 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e l ~ r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e t

e x e m p t f r o m p r i o r d is c l o s u re

Income duringr e p o r t i n g p e r i o d(I) (2)

A m o u n t T y p e ( e . g .,C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)V a lu e ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q -W )

(l)T y p e ( e . g .,buy, se l l ,

r e d e m p t i o n )

(2) (3) (4) (5 )D a t e Va l u e Gain I d e n t i t y o f

m m /d d/~ y C od e 2 C o d e 1 buyer / se l ler( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

103. H & Q Li fe S c i ences Iv es tor s S BI104 . Ente rpr i s e P rodu c t s P a r tne rs LP105. P owers ha res Glob a l Exchange Trades FD

T R W e e k ly V R D O T a x F r e

None

B D i s t r i b u t i o n K

Bu y(add l ) 07/26/10 J

1 0 6 . T e c o E n e r g y I n cAA

1 0 7 . B l a c k r o c k I n c o m e T r u s t I n c D1 0 8 . B l a c k r o c k I n c o m e T r u s t I n c1 0 9 . B l a c k ro c k I n c o m e T r u s t I n c1 1 0 . B l a c k r o c k I n c o m e T r u s t I n c1 1 1 . B l a c k r o c k I n c o m e T r u s t I n c1 1 2 . B l a c k r o c k I n c o m e T r u s t l n c1 1 3 . B l a c k r o c k I n c o m e T r u s t I n c1 1 4 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n c BN ew1 1 5 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n cN ew1 1 6 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n cN ew1 1 7 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n cN ew1 1 8 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d l n c

N ew1 1 9 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n cN ew

Div idendDiv idend

S old 03/09/10 L

Div idendN o n eN o n eN o n eN o n eN o n eN o n e

Div idendN o n eN o n eN o n eN o n eN o n e

M Bu y 01/20 /10 J(add l )Bu y 01/20 /10 K(add l )Bu y 03/19 /10 K(add l )Bu y 03/20/I 0 K(add l )Bu y 04 /08/10 K(add l )Bu y 07 /26 /10 K(add l )Bu y 10/12 /10 K(add l )Bu y 01/13/10 J(add l )Bu y 03/19 /10 J(add l )Bu y 03/20 /10 .I(add l )Bu y 04 /08/10 J(add l )Bu y 09/02/I 0 J

(add l )S old 11 /26 /10 K C(par t)

I . I nc ome G ain Codes : A = $ 1 .000 o r less B = $ 1 ,001 - $ 2,500 C = $ 2,501 - $ 5.000 D = $ 5.001 - $ 15.000( S ee Colu mns B I and D4 ) F = $50.001 - $ 1 00.000 G = $1 00.001 - $1 .000.0~0 I 1 1 = $1 .0 00 ,0 0l . $5 .0 ~ 0. 00 0 1 1 2 = Mo re th an $ 5.0 00 .0 D0

2 . Valu e CO d~ J =$15.0~0 o~ less K = $ 1 5 3 3 0 1 - $ 5 0 . 0 0 0 L =$ 50.0~ 1 - $1 00.00~ M =$100.1~)1 - $250.0~0( S e e C o lum ns CI an d D3) N = $250.001 - $ 500.000 O = $500.001 - $1 .000.000 P I = $ 1 .0~0.001 - $ 5.000.000 P2 =$5.000.001 - $25.000.0~0

P3 =$25.000.001 - $50.000,000 P4 =More lhan $50.000.0003 . V a l ue M et ho d C o d es Q =Appraisal R =Cosl (Rea l E.slate Only) S = Assessm en t T =Cas h Mar k el( S ee Colu mn C2) U =B ook Valu e V - ~ l h e r W = E sl i m a lcd

E :$15.001 - $50.000


12/16



D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , . e , v o l u e , ~ r a , ~ o , ~ i o , ~ t l n c lu d e s t h o s e of spouse and dependent children see pp. 3 4 - 6 0 of filing instruction&)---] NO NE ( No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e t


I n c o m e d u ri n g G r o s s v a l u e a t e n dr e p o r t in g p ~ r i o d o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g ., V a lu e Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l, m m ! d d ~ C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )

1 2 0 . D W S D r e m a n V a l u e I n c o m e E d g e F u n d I n cN ew1 2 1 . Frank l in Inv es tor s S ees Tr Adju s t ab l e USG ovt Se e s Fund122. Frank l in Inv es tor s S ees Tr Adju s t ab l e US

G ovt Se e s123 . Gabel l i D iv id en d & I n co me Fun d124. Gabel l i D iv id en d & I n co me Fun d125 . Gabel l i D iv id en d & I n co me Fun d126 . Gabel l i D iv id en d & I n co me Fun d1 2 7 . I sh a re s T rus t Ba rc l a y s 1 -3 Yr C re d i t BondFund ETF1 2 8 . H J H e i n z C o129. El i Li l ly & Co130 . S ta to i l As a S pon s ored ADR131. S ta to i l As s S pons ored A DR132. S ta to i l As a S pons ored A DR133 . S t Jud e Med ica l I n c1 3 4 . W i n d s t r e a m C o r p1 3 5 . M & I Mars ha l l & l l s ley Bk M i lwau kee W is

C /D FDIC DUE 2 /26 /2136. Uni t ed W es tem Bk Denv er Co C/D FDICIn s t o Li m i t s Due 6 /30/

N one Bu y 1 2 / 1 0 / 1 0 K(add l )A Div idend K T Bu y 01/04 /10 J(add l )

N o n e Bu y 0 2 / 0 [ / [ 0 J(add l )

B Di vi de nd K T Bu y 07 /26 /10 K(add l )N o n e Bu y 01/13/10 K(add l )N o n e Bu y 03/19 /10 K(add l )N o n e So ld 07 /26 /1 0 K(part)

C Div idend M T Sold 04/20/10 K(par t)A Di vi de nd J T Bu y 0 4 / 0 8 / 1 0 J(add l )A Div idend J T Bu y 04 /08/10 J(add l )A Div idend J T Bu y 04/08/I 0 J(add l )

N o n e Bu y 08 /24/10 J(add l )N o n e So ld ! 11/03/10 J(par t)N one J T Bu y 04 /08/10 J(add l )

A Div idend J T Bu y 04/08 /10 J(add l )N one Redeemed 02/26/10 K

A Interest Redeemed 06/30/10 K

I . I nc ome G ain Codes : A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2,500 C = $ 2.501 - $ 5,000 D = $ 5,001 - $ 15,000( S ee Colu mns B I and D4 ) F = $50.001 - $ 1 00,000 G = $1 00,001 - $1 .000.000 | t l =$1.000,001 - $5.000.000 112 = More than $5.000.000

2. Value Codes J =$15.000 o less K = $ 1 5 . 1 ) 0 1 - $ 5 0 . 0 0 0 L =$ 50.0O I - $ 1 00.000 M =$1 00.001 - $250.000{S ee Colu mns CI and D3) N =$250.1~1 - $ 500.000 O =$500.001 - $1.00(1.000 PI =$1 .000.001 - $5.000.000 P2 =$ 5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.0~O P4 =More ihan $50.000.0003. V a lue M etho d C o d es Q = A pp raisal R = C o s t ( Rea l E s t a t e O n l y) S =Asst :ssment T =Cas h Mar k el

( S ee Colu mn C2) U = Bo o k V a l ue V =O lh c r W = E st i m a l cd

E =$ 1 5 ,0 0 1 - $ 5 0 . 0 0 0


13/16


N a m e o f P e r so n Report ingS m i t h , J r ., M i l a n D .

D a t e o f R e p o r t05/05/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.c ...... l u e , transactions (Includes those of spouse and dependent eMldren; ~et pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t ~ s s e t s )P l a c e " C A ) " a f te r e a c h a s s e t


I n c o m e d u ri n gr e p o r t i n g p e r i o d( t ) ( 2 )

A m o u n t T y I ~ ( e . g . ,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d( i ) ( 2 )Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3T y p e ( e . g . ,buy, se l l ,

r e d e m p t io n )

( 2 ) ( 3 ) ( 4 )D a t e Value G a i n I d e n t i t y o fm r n ! d d~ ] y C o d e 2 C o d e I b u y e r / s e l l e r

( J - P ) ( A - H ) ( i f pr iva t et r a n s a c t i o n )

1 3 7 . Sc h wa b C A Mu ni Mone y Fund C a sh Mone yMarket Fund138 . W es te rn As s e t Emerg ing Mkts Income Fdln c139. W es te rn As s e t Emerg ing Mkts Income Fd

In c140. W es te rn As s e t Emerg ing Mkts Income FdIn c14 1 . W es te rn As s e t Emerg ing Mkts l ncome FdIn c142. RBC P r ime Money Marke t Cas h Res e rv e

A IntJDiv. LB Di vi de nd L

N o n eN o n eN one

A Interest O

T Bu y 08/24 /10 JBu y 10/12 /10 K

(add l )Bu y 11 /04/10 K(add l )Bu y 1 2 / 1 0 / 1 0 K(add l )

143. H & Q H ea l thca re Inv es tor s SBI B Di vi de nd K T Bu y 05/20/10 K144 . H & Q Hea l thca re Inv es tor s S BI145. NFJ Div id In t & P rem S t ra t egy FD

N oneDi v i de nd

S old 12/10110 J(par t)Bu y 10/I 1/10 K

146 . NFJ Div id In t & P rem S t ra t egy FD147 . NFJ Div id In t & P rem S t ra t egy FD1 4 8 . IsharesSe r FD1 4 9 . IsharesSe r FD

TR 2012 S&P AM T Fre e Mun i c ipa lTR 2013 S&P AM T Fre e Mun i c ipa l

150. I sh a re s TR 2013 S& P AM T Fre e Mun i c i pa lSe r FD151 . I sh a re s TR 2014 S& P AM T Fre e Mun i c i pa lSe r FD1 5 2 . Ishares "YR. 2014 S&P AMT Free MunicipalSe r FD153. Managed Du ra t ion Inv t Grade Mu n FD

N o n eN o n e

A Div idend KA Div idend K

N o n eA Div idend K

N o n eB Div idend K

Bu y 11 /03 /10 K(add l )Bu y t 2 /10 /10 J(add l )

T Bu y 03/22/10 KT Bu y 03/22/10 K

Bu y 05/20 /10 J(add l )T Bu y 07 /26 /10 J

Bu y 08/02/10 J(add l )T Spinoff 06/03/10 K( f rom l i ne 42)

1 . In co m e G ain Co d es : A = $ 1 .000 o r less B = $ 1 .001 - $ 2.500 C = $ 2,501 - $ 5,000 D = $ 5,001 - $ 15,000(See Columns B 1 and D4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G =$ 100.001 - $ 1,000.000 I I I =$ 1 .0 00 ,0 01 - $ 5 .0 00 .0 00 1 1 2 = M or e t ha n $5 .0 00 .0 00

2. Value Codes J =$15.000 or l e s s K =$15,001 - $50.000 L :$ 50,001 - $ 1 00.00~ M = $ 100.001 - $250.01 ~(S~ C o lumn s C I a n d D 3) N =$250.0OI - $500.000 O = $500.001 - $1 ,O00.00~ P I -$ 1 .0 00 .0 01 - $ 5. 00 0, 0O D P 2 =$ 5.0 00 ,0 01 - $ 25 ,0 00 .0 00

P3 =$25,000.001 - $50.090,000 P4 =More than $50.000.0003. Value Method Codc~ Q =Appraisal R =C o st (R eal Es talc On ly) S =A ssessm en t T =Cas h Mar k et( S ~ e Colu mn C2) U - B o o k V a l u e V = O t her W = E st i m a t ed

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 0 0


14/16


N a m e o f P e r s o n R e p o r t in gSmith, Jr., Milan D.

D a t e o f R e p o r l05/05/2011

V I I . 1 N V E S T M E N T S a n d T R U S T S - in c o m e , , a l u e, # o ~ oc ,l o ~ , tlnclud~ ,hose of s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of fillng i n s t r u c t l o n s . )N O N E (No reportable income, assets, or transactions.)

D c , s c r i p t i o n o f A s s e t s I n c o m e d u ri n g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o dI (t) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u nt T y pe ( e .g . ,e x e m p t f ro m p r i o r d is c l o s u r e C o d e I d i v . , r e n t ,i (A-H) or int.)

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)Value V alue

C o d e 2 M e th o d( J - P ) C o d e 3(Q-w)

(I )Type (e.g.,

b u y , s e l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r io d(2) (3) (4) (5 )

D a t e V a lu e G a i n I d e n t i t y o fm m / d d / y y C o d e 2 C o d e 1 b u y e r l s e l l e r( J - P ) ( A - H ) ( i f p r i v a t etransaction)

154 . Managed Du ra t ion Inv t Grade Mu n FD1 5 5 . I s ha r e s T R S & P S h o r t T e rm N a i l A m t f r

N o n eDiv idend

S old 109/02/10 J(par t)Bu y 03/19/10 K

156 . Text ro n I n c A Div idend K Bu y 09/02/10 J157 . Text ro n I n c1 5 8 . Temp le ton Income TR Glob a l Tota l Re tu rnF D A D V C L1 5 9 . Vangu ard S cot t s da l e Fu nds Vangu a rd S hor tT e r m C o r p B o n d E T F1 6 0 . Cal i forn i a S t Dept Z e ro 6.7% (X) See Par tVIII1 6 1 . A l le g h e n y E n e r g y I n c . ( X ) S e e P a r t V I I I

N o n e

A D i v i dend

A D i v i dend

N o n e

A D i v i dend

KL

Bu y 10/I 1 /10 J(add l )T Bu y 12 /13 /10 KT Bu y 12 /13 /10 L

R e d e e m e d 03/01/10 JT

16 2. Ru s s e l l Money Marke t S S old 03/19/10 J1 6 3 . T a m a r a c k I n s tl P r i m e F d S old 04/08/10 O16 4 . Gab e l l i Glb l Ut i l Inc Tru s t (Y) S ee P a r t VII I

I. In com e G ain Code s: A -$1 .000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15.000( S ee Colu mns B I and D4 ) F = $50.001 - $1 00,000 G = $ 100.001 - $1 .000.000 It l =$1.000,001 - $ 5.000.000 112 =Morn than $5.000.000

2 . Valu e Codes J = $ 15.0~0 o r In ss K = $ 1 5.001 . $50.000 L = $ 50.0O I - $ 100.000 M = $ 100.001 - $250.000( S ee Colu mns CI and D3) N =$250.001 - $500.000 O -$500.001 - $1,000.000 PI = $1.000.001 - $5,000,000 P2 =$5.000.001 - $25,000,000

P3 =$ 25.000.001 - $50.000.000 P4 =Mo~e Ihan $50.000.0003. Value Method Codes Q =Appraisal R = : C o s t (Real Eslalc Only) S =A s s es s ment T = C ash M ar kc~( S ee Colu mn C2) U =B ook Valu e V =O~hcr W = Es t imated

E =$15,001 - $50.000


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FINANCIAL DISCLOSURE REPORTPage 15 o f 16 Ia m e o f P e r s o n R e p o r t i n gS m i t h , J r . , M i l a n D . Date of Repor t05/05/7011

V II I . A D D IT IO NA L INF O RM A T IO N O R E XPL A NA T IO NS . (Indicate part of repott)I t em 6 9 , P a r t V l l (Gab e l l i Glb l Ut i l Inc Tru s t GDV) i s the s ame a s G ab e l l i Glb l Ut i l Inc Tru s t , s hown as I t em 11 5 , P a r t VII i n my 2009 repor t , and a s I t em 16 4 ,I tem 164, Part VII in th is report .I t em 16 0 , P a r t VII (Ca l i fo rn i a S t. Dept Z e ro Bond ) . Th i s $5 , 000 b ond was inadv e r t en t ly omi t t ed on m y pr io r r epor t . I t was he ld b I RA.I t em 1 6 1, P a r t VII (A l l egheny Energy , Inc . ) Th i s a s s e r t was i nadv e r t en t ly omi t t ed on m y pr io r r epor t . I t i s he ld b y I R A .


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Name o f Pe rson Report ingSmith, Jr. Milan D.

Date of Repor t05/05/201 I

IX. CERTIFICATION.I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t hh e l d b e c a u s e i t m e t a p p l i c a b l e s t at u t o r yp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o su re .I f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g i f t s w h ic h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e wi t h t he p ro v i s i o n s o f 5 U . S . C . a p p . 5 01 e t . s e q , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n fe r e n c e r e g u l a t i o n s .

Signature: S] Milan D. Smith, Jr.

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D ~ N I L F U L L Y F A L S I FI E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Committee on Financial DisclosureA d m i n i st r a ti v e O f f i c e o f t h e U n i t e d S t a te s C o u r t sSuite 2-30!One Columbus Circle, N.E.Washington, D.C. 20544

Milan D Smith Financial Disclosure Report for 2010

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