smith, jr . milan d....18. quanta svcs inc none sold 10/11/10 j a (pat) 19. dow chemical company...

3.

5.

Report Required by the Ethics AO JO FINANCIAL DISCLOSURE REPORT

in Government Act of 1978Rev. 1120/ J FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§ /0/-l l I)

I. Person Reporting (last name, first, middle initial)

Smith, Jr., Milan D.

2. Court or Organization

Ninth Circuit

3. Date of Report

05/05/2011

4. Tille (Article Ill judges indicate active or senior status;

magistrate judges indicate full- or part-time)

Circuit Judge

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [{] Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2010

to

12/31/2010

7. Chambers or Office Addres•

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

8. On the basis of the information contained in thi• Report and any modifications pertaining thereto, it is7 in my opinion, in compliance with applicable la"·• and regulations.

Reviewing Officer Date

IMPORT ANT N 0 TES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITI 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)

[{] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

4.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

Smith, Jr . . Milan D.

="•me of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of16 Smith, Jr., Milan D. 05/05/2011

Ill. N 0 N-INVESTMENT IN CO ME. (Reporting indfridua/ and spouse; m pp. 17-U of filing instructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - If 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

I. 2010 Self-employed attorney

2. 20!0 Gogian Foundation-Trustee

3.

4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children; see pp. 15-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. George Washington

University Law School

Religious Freedom Moot

Court

February 6-7, 2010 Washington, DC Judge Religious Freedom

Moot Court Competition Transportation, Food, Hotel

2. Sandra Day O'Connor College of Law

April 25-26, 20 I 0 Tempe, Arizona Participate in ASU Summit

on the Future of Legal

Education

Transportation, Food, Hotel

3. State Bar of California May 7-8 2009 San Francisco, California CLE program program

cancelled, but non

refundable travel

reimbursed

Transportation

4.

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of16 Smith, Jr., l\lilan D. 05/0512011

5.

4.

5.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

of16 Smilh, Jr., Milan D. 05/05/2011

V. GIFTS. (lnc/udn those to spouu and dependmt chi/dun; supp. 18-JI of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; supp. J]-JJ of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

A. c.

(2) (I) (2) (5)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of16 05/05/2011Smith, Jr., Milan D.

VII. INVESTMENTS and TRUSTS - income, .. arue, rransamons r1nc1udn those of spouse and dependent children: see PP. 34-60 offitinc instructions.)

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

B. D.

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

(including trust assets) reporting period of reporting period

(I) (2) (I) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or inl) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

I. General Electric Co. A Dividend J T

2. Coca-Cola Company A Dividend J T

3. Intuitive Surgical Inc. None K T

4. Kinder Morgan Energy Partners LP Unit Ltd B Distribution K T Partnershihp

5. American Tower Corp CL A None K T

6. Devon Energy Corp New A Dividend K T Buy 07/29/10 J (add'I)

7. Devon Energy Corp New None Buy 09/02/10 J (add'I)

8. L-3 Communications Holdings Inc. A Dividend K T Buy 07/26/10 J (add'!)

9. Pepsico Incorporated A Dividend K T Buy 04/08/10 J (add'I)

10. Pepsico Incorporated None Buy 09/02/10 J (add'I)

11. Time Warner, Inc. A Dividend J T

12. Time Warner Cable A Dividend J T

13. Canadian Natl Ry Co. A Dividend K T

14. First Colony Life Policy None J T

15. Aetna Life Policy A lnt./Div. K T

16. California Pizza Kitchen None J T

17. Quanta SVCS Inc None K T Buy 09/02/10 J (add'!)

I. Income Gain Codes: A =$1.000 or less B 1.001 -$2,500 c =$2.50! - $5.000 D =$5.001 - $15.000 E =$15.001 - S50.000

(Sec Columns BI and D4) F =$50.001 -$100.000 G =SI00,001 -$1,000.000 111 =Sl,000,001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15.000 or less K =SI 5.001 -S50.000 L =$50.001 • SI 00.000 M =SI00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =S500,00I -Sl,000.000 PI =S 1.000.001 - S5.000.000 P2 =$5.000.001 - S25.ooo.ooo

Pl =$25.000.001 - $50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market

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

B.

(2) (3)

Name or Penon Reporting Date or Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, value, transactions <Includes those of spouse and dependmt children: see PP· 1-1-60 offilinc instructions.)


A. C. D.

Description or Assets Income during Gross value at end Transactions during reponing period

(including trust assets) reponing period of reponing period

(I) (2) (I) (2) (I) (4) (S) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, rnm/dd/yy Code2 Code I buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

18. Quanta SVCS Inc None Sold 10/11/10 J A (part)

19. Dow Chemical Company 5.750 12/15/12 A Interest J T

20. Dow Chemical Company 5.3000 3/15/13 A Interest J T

21. Franklin Universal Trust c Dividend L T Sold 05/20/10 J 8 (part)

22. Franklin Universal Trust None Sold 07/26/10 J c (part)

23. General Electric Cap Corp 4.000 4/15/10 A Interest Redeemed 04/15/10 J A

24. Goldman Sachs 5.250 10/15/13 A Interest J T

25. Intl Lease Fin Corp 4.200 2/15/10 A Interest Redeemed 02/26/10 J A

26. John Hancock Life Ins Co 4.150 2/15/12 A Interest J T

27. La Salle Fndg LLC Multi 3.000 1/15/1 I A Interest J T

28. McDonald's Corp 6.000 4/15/1 I A Interest J T

29. MFS Intermediate Income Trust c Dividend K T Sold 09/02/10 K c (part)

30. Motorola Inc. 7.625 11/15/10 A Interest Redeemed 11/15/10 J

31. National Rural Utilities 4.125 2/15/1 I A Interest J T

32. New York Tel Co. 7.000 6/15/13 A Interest J T

33. Teco Energy Inc 7.200 5/1/1 I A Interest J T Redeemed 04/26/10 J A (part)

34. Anaheim CA Pub Fing Auth 5.000 10/1/10 A Interest Redeemed 10/01/10 J

1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5.001. $15.000 E =Sl5,00I • $50.000

(See Columns Bl and 04) f =$50.001 - $100,000 G =$ I00.00 I • $1.000.000 111 =Sl.000,001 • $5.000.000 112 =More 1han SS.000.000

2_ Va lue Codes J =S 15.000 or less K =$15.001 • $50.000 L =$50.001 -$100.000 M =$100.001 • $250.000

(See Columns Cl and DJ) N =$250.001 -$500.000 0 =S 00.00 I - S 1,000.000 Pl =Sl.000.001 • $5.000.000 P2 =$5.000.001 • $25.000.000

PJ =$25.000.001 • $50.000.000 P4 =More 1han $50.000.000

3. Value Method Codes Q=Appr:iisal R =Cost (Real !::.stale Only) S =Assessment T =Cash Market (Sec Column C2) U =&ok Value v =-Oth1.--r W =Estimated

(2) (2) (3)

FINANCIAL DISCLOSURE REPORT

of16

Name or Person Reporting

Smith, Jr., l\lilan D.

Date or Report

05/05/2011

VII. INVESTMENTS and TRUSTS -income, .. arue, transactions r1nc1udes thou ofspouuand depmdmt children: see PP. 34·60 offiting instrucrions.J


A. B. c. D.



(I) (2) (I) (I) (4) (5)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.• Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, nun/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

35. Parlier CalifRedev Agy 4.650% 8/1/10 A Interest Redeemed 08102/10 J

36. Oneok Inc New B Dividend L T

37. Century Tel., Inc. Cpn 5.000% Due 2/15/15 A Interest J T

38. Dean Witter Discover Odd Cpn Med Term A Interest J T Notes 7.07% 2110/14

39. Boeing Co. Global Notes Cpn 5.125% Due A Interest J T 2115/13

40. Genzyme Corp Gen Div None K T

41. Marriott Int Inc Class A A Dividend J T

42. MBINClaymore MGD Dura Inv Grd Muni B Dividend Sold 05/20/10 K c Fd

43. Money Mkt Oblig Trust Auto Cash Mgmt A Jnt./Div. J T

44. American Capital Agency Corp D Dividend L T Buy 04108/10 J (add'!)

45. Williams Partners LP Com Unit Ltd Part Int c Distribution K T Sold 03/19/10 J D (part)

46. Williams Partners LP Com Unit Ltd Part Int None Sold 07126/IO J D

(part)

47. Williams Partners LP Com Unit Ltd Part Int None Sold 12114/10 J c (part)

48. !shares Trust Barclays 1-3 Yr. Treasury Bd B Dividend M T Sold 01/13/IO J FD (part)

49. !shares Trust Barclays 1-3 Yr. Treasury Bd None Sold 01/20110 J FD (part)

50. !shares Trust Barclays 1-3 Yr. Treasury Bd None Buy 05/20110 K FD (add'I)

51. !shares Trust Barclays 1-3 Yr. Treasury Bd None Sold 07/26/10 K FD (part)

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 Columns Bl and 04) F =$50.00 I - $ I 00.000 G =$ I00.00 I - $1.000.000 111 =$1.000.00 I - $5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15.000 orless K =$15.001 - Sl0.000 L =$50.001 - SI00.000 M =SI00.001 - $250.000

(See Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.001 - $1.000.000 Pl =Sl.000.001 - Sl.000,000 P2 =$5.000.001 - $25.000.000

PJ =$25.000.00 I - $50.000.000 P4 =More than $50.000.000

3. Value Mcrhod Codes Q =Appraisal R =Cost (Real Estate Only) S "'Assessment T =Cash Markct

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

(I) (I) (5)


of16

Name of Penon Reporting


Date of Report

05/05/2011

VII. INVESTMENTS and TRUSTS - incomt', .. afut', transactions (/ncludt!S thost'ofspouSt' and dt'pendentchi/dun: St'<' pp. 34-60 of filing instructions.)


A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period

(includingtrust assets) reporting period ofreporting period

(I) (2) (2) (2) (3) (4) Place "(X)" after each asset Amount Value Value Date Value Gain Identity of Type(e.Type (e.g.• g.,

CodeIexempt from prior disclosure div., rent, Code2 Method buy, sell, mm/ddlyy Code2 CodeI buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

52. lshares Trust Barclays 1-3 Yr. Treasury Bd None Sold 07/26/10 J FD (part)

53. !shares Trust Barclays 1-3 Yr. Treasury Bd None Sold 07129/10 K A FD (part)

54. !shares Trust Barclays 1-3 Yr. Treasury Bd None Sold 09/02/IO K A FD (part)

55. !shares Trust Barclays 1-3 Yr. Treasury Bd None Sold 10118/10 J A FD (part)

56. Capstead Mtg Corp Com No Par D Dividend K T Sold 05/20/10 J c (part)

57. Capstead Mtg Corp Com No Par None Buy 07/26/10 K (add'I)

58. MFA Mortgage Investments Inc. c Dividend K T Buy 05/20/10 J (add'I)

59. MFA Mortgage Investments Inc. None Buy 04/08/10 J (add'I)

60. Hatteras Financial Corp c Dividend K T Sold 04/08/10 J (part)

61. Putnam Managed Municipal Income Trust- c Dividend K T Sold 05/20/10 K c SBI (part)

62. Putnam Managed Municipal Income Trust- None Sold 07/26/10 J A SBI (part)

63. Putnam Managed Municipal Income Trust- None Sold 12/13/10 J B SBI (part)

64. Putnam Municipal Opportunities Trust-SB! c Dividend L T Sold 07/26/10 K c (part)

65. Seligman Select Municipal Fund Inc. c Dividend L T Sold 01/21110 J A (part)

66. Seligman Select Municipal Fund Inc. None Sold 12/10/10 K A (part)

67. Westembank PR; 5.20%; 08/07110 B Interest Redeemed 05/10/10 K

68. Fidelity Advisor Mun Income Fund CL T B Dividend L T Buy 04/08/10 K (add'!)

I. I ncome Gain Codes: A =$1.000 or less B =$1.001 • $2.500 c =$2.501 -$5.000 D =S5.00l - Sl5.000 E =S 15.001 -$50.000

(See Columns BI and D4) F =$50.001 -$100.000 G =$I 00.00 I - $ l.000.000 Ill =Sl.000,001 • $5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15. 000 or less K =SI 5.001 • SS0.000 L =$50.00 l • S l 00.000 M =SI 00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 • $500.000 0 = $500.00 I -S 1.000.000 Pl =Sl.000.001 • SS.000.000 P2 =S5.000.00l - $25.000.000

PJ =$25.000.001 - $50.000.000 N =More than $50.000.000

J. Value Method Codes Q =Appr.tisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Hook Value V =Othcr W =Estitn.ltcd

(I) (4) (5)


of16 Smith, Jr., l\tilan D. 05/05/2011

VII. INVESTMENTS and TRUSTS -inc-ome, vatue, 1ransac-1ions (t ndud 1houofspou uanddependen1c-hitdun:uepp. 1-1-6ooffilingins1rumons.J


A. B. c. D.

Description of As sets I ncome du ring Gr oss value at en d T ransac tions during reporting period

(inclu d ing trust as sets) reporting period ofrepor ting period

(2) (I) (2) (I) (2) (3)

. Value Value Type (e.g., D ate Va lue P lace "(X)" afler each a sset Identity ofAm ou nt GainType (eg., CodeIexempt from prior discl osure div., rent, Code2 Method buy, sell, nun/dd/yy Code2 CodeI buyer/se l ler

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

69. Gabelli Glbl Util Inc Trust GOV A Dividend K T Buy 04/08/10 K (add'!)

70. Gabelli Gib! Util Inc Trust GDV None Buy 11/03/10 J (add'I)

71. Ishares Trust lboxx $ Investop Investment D Dividend M T Buy 03/19/10 J Grade Bond Fund (add'!)

72. )shares Trust lboxx $ Jnvestop Investment None Buy 03119110 K Grade Bond Fund (add'!)

73. )shares Trust lboxx $ Jnvestop Investment None Buy 04/08/10 K Grade Bond Fund (add'!)

74. lshares Trust lboxx $ Jnvestop Investment None Buy 05/20/10 J Grade Bond Fund (add'!)

75. lshares Barclays Intermediate Credit Bond D Dividend M T Sold 07/26/10 J A Fund (part)

76. lshares Barclays Intermediate Credit Bond None Sold 10/12/10 J A Fund (part)

77. lshares Barclays MBS Bond Fund ETF D Dividend M T Buy 01/13/10 J (add'!)

78. )shares Barclays MBS Bond Fund ETF None Sold 07/26/10 J A

(part)

79. !shares Barclays MBS Bond Fund ETF None Sold 07/26/10 J A (part)

80. !shares Barclays MBS Bond Fund ETF None Sold 09/02/10 K A

(part)

81. !shares Barclays MBS Bond Fund ETF None Sold 10/12/10 K (part)

82. ]shares Barclays MBS Bond Fund ETF None Sold 12/10/10 J (part)

83. lshares Barclays MBS Bond Fund ETF None Sold 12/13/10 K (part)

84. !shares Barclays 1-3 YR Credit Bond Fund c Dividend M T Sold 10/12/10 J A ETF (part)

85. Annaly Capital Management Inc. D Dividend L T Buy 05/20/10 J (add'!)

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 =S 15.00 I - $50.000

(Sec Columns BI and 04) F =$50.001 -$100.000 G =SI 00.00 I - $1.000.000 Ill =SI.000.001-$5.000.000 112 =More than $5.000.000

2. V<1lm.: Codes J =S 15.000 or less K =$15.001 - S50.000 L =$50.001. SI00.000 M =SI00.001 - $250.000

(Sec Columns Cl and 03) N =$250.001 - SS00.000 0 =$500.00 I - S 1.000.000 Pl =Sl.000.001. $5.000.000 P2 =$5.000.001 - $25.000.000

PJ =$25.000.001 - $50.000.000 P4 =More than $50.000.000

3. Value M.:1hod Cocks Q =Appr:iisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sc.: Column C2) U =llook Value V =Other W ::oEstimatcd

A. B.

(2) (2) (4)

Date of ReportName of Penon ReportingFINANCIAL DISCLOSURE REPORT

05/05/2011Smith, jr., Milan D.of16

VII. INVESTMENTS and TRUSTS - incom,,, vafu,,, transactions (lncludn thou ofspouu and dependent children; SU pp. 34-60 offiling instructions.)


Des cription ofAs set s Income du ring

c. D.

G ross valueat end T ransactions during reporting period

trust as set s ) reporting period of reporting period(including

(I) (I) (2) (I) (3) (5) Value

exempt fr om prior discl buyer/seller

Am ou nt Type (e.g., Type (e.g., Date Gain Identity ofValue ValuePlace "(X)" after eachas set CodeIosu re Met hod buy, sell, (A-H) orinL) (J·P) Code3 redemption) (J-P) (A-H) (ifprivate

div., rent, Code2 mm/dd/yy Code2 Code I

transaction)(Q-W)

86. Annaly Capital ManagementInc. None Buy (add'I)

87. Annaly Capital ManagementInc. None Buy

(add'I)

88. Linn Energy LLC c Distribution K T Sold

(part)

89. Copano Energy LLC c Distribution K T Sold (part)

90. !shares Trust Barclays Credit Bond Fund D Dividend M T Sold ETF (part)

91. Ameren Corp B Dividend K T Buy (add'!)

92. Ameren Corp None Buy (add'!)

93. Cenovus EnergyInc A Dividend K T Buy

(add'!)

94. Encana Corp A Dividend K T Buy (add'!)

95. Encana Corp None Buy

(add'!)

96. !shares Barclays Short Treasury Bond Fund A Dividend Sold ETF (part)

97. !shares Barclays Short Treasury Bond Fund None Sold ETF (part)

98. !shares Barclays Short Treasury Bond Fund None Sold ETF

99. Abbot Laboratories B Dividend K T Buy (add'!)

!00. Abbot Laboratories None Buy

(add'!)

I0 I. Abbot Laboratories None Sold (part)

102. H & Q Life Sciences lvestors SB! c Dividend L T Buy

(add'!)

07126/10 J

04/08/10 J

12/10/10 J c

07/26/10 J c

07/26/10 J A

01/13/10 J

02/04/10 J

01/13/10 J

07/26/10 J

12/IO/IO J

01113/10 K

03/19/10 K

04/08/10 L

04/08/10 J

07/26/10 J

12/29/10 J

04/08/10 J

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2.501 - $5,000 D =$5.001 - $15.000 E =St5.00I -$50,000

(See Columns Bl and 04) F =$50.001 -$1 00,000 G =$100.001 -Sl,000.000 111 =Sl,000,00t -$5.000.000 112 =More than $5.000.000

2. Value Coda J =S15.000 or less K =$15.001 -$50.000 L =$50.001 -SI00,000 M =SIOO.OOt -$250.000

(See Columns Cl and DJ) N =$250.00 I -$500.000 0 =S500.00t -SI .000.000 Pl =St.000,001 -$5.000.000 P2 =$5.000.001 -$25.000.000

PJ =$25.000.00 I • $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real EstalC Only) S =Assessment T =Cash Market

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

(2) (2)

(J-P)

Name or Penon Reporting Date or Report . FINANCIAL DISCLOSURE REPORT

Page I I of I6 Smith, Jr., Milan D. 05/05/2011

VI I. INVESTMENTS and TRUSTS - income, value, transactions r1nctudes those of spouse and dependent children: see PP. 1<1-60 of filing instructions.)


A. B. c. D.



(I) (2) (I) (I) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code I exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int) (J-P) Code3 redemption) (A-H) (if private

(Q-W) transaction)

103. H & Q Life Sciences lvestors SBI None Buy 07/26/10 J {add'I)

104. Enterprise Products Partners LP B Distribution K T

105. Powershares Global Exchange Trades FD A Dividend Sold 03/09/10 L TR Weekly VRDO Tax Fre

106. Teco Energy Inc A Dividend J T

107. Blackrock Income Trust Inc D Dividend M T Buy 01/20/10 J {add'I)

108. Blackrock Income Trust Inc None Buy 01/20/10 K {add'I)

109. Blackrock Income Trust Inc None Buy 03/19/10 K {add'!)

I 10. Blackrock Income Trust Inc None Buy 03/20/10 K {add'!)


I12. Blackrock Income Trust Inc None Buy 07/26/10 K {add'!)


114. DWS Dreman Value Income Edge Fund Inc B Dividend K T Buy OJ/I3/10 J New {add'!)

115. DWS Dreman Value Income Edge Fund Inc None Buy 03/19/10 J New (add'!)

I 16. DWS Dreman Value Income Edge Fund Inc None Buy 03/20/10 J New {add'!)

I17. DWS Dreman Value Income Edge Fund Inc None Buy 04/08/10 J New {add'!)

118. DWS Dreman Value Income Edge Fund Inc None Buy 09/02/10 J New (add' I)

I 19. DWS Dreman Value Income Edge Fund Inc None Sold I 1/26/10 K c New (part)

I. Income Gain Codes: A =$ l ,000 or less B =$1,001 -$2,500 c =$2,501 - $5.000 D =$5.001 - $15.000 E =$15.001 -SS0.000

(Sec Columns Bl and 04) F =$50.00 I - $I 00,000 G =S I00.00 I - $1,000.000 Ill =$1.000,001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =St 5.000 or less K=Sl5.00t -S50.000 L =S50.00l -SI00.000 M =SI00.001 - $250.000

(Sec Columns Cl and 03) N =$250.001 -$500.000 0 =$500.001 - Sl.000.000 Pt =Sl.000.001 -$5.000.000 P2 =$5.000.001 -$25.000.000

P3 =$25.000.00 l - $50.000.000 P4 =More than $50.000.000

3. Value Method Codes R =Cost (Real Estate Only) T =Cash M:irkct Q =Appraisal S =Assessment

(Sec Column C2) V =Other U =!look Value W ==Estimated

A. B.

{!) (2) (3) (4) (5)



VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children: see PP· J4-6o of filing instructions.)


Description of Assets Income during

c. D. Gross value at end Transactions during reporting period


(2) (I) (2) (!)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/ddlyy Code 2 Code l buyer/seller

(A-H) orinl) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

120. DWS Dreman Value Income Edge Fund Inc None Buy New (add'!)

121. Franklin Investors Secs Tr Adjustable US A Dividend K T Buy Govt Secs Fund (add'!)

122. Franklin Investors Secs Tr Adjustable US None Buy Govt Secs (add'!)

123. Gabelli Dividend & Income Fund B Dividend K T Buy (add'!)

124. Gabelli Dividend & Income Fund None Buy (add'!)

125. Gabelli Dividend & Income Fund None Buy (add'!)

126. Gabelli Dividend & Income Fund None Sold (part)

127. Ishares Trust Barclays 1-3 Yr Credit Bond c Dividend M T Sold FundETF (part)

128. H J Heinz Co A Dividend J T Buy (add'I)

129. Eli Lilly&Co A Dividend J T Buy (add'!)

130. Statoil Asa Sponsored ADR A Dividend 1 T Buy (add'!)

131. Statoil Asa Sponsored ADR None Buy (add'\)

132. Statoil Asa Sponsored ADR None Sold (part)

133. St J ude Medical Inc None 1 T Buy (add'!)

134. Windstream Corp A Dividend 1 T Buy (add'I)

135. M& I Marshall & Ilsley Bk Milwaukee Wis None Redeemed CID FDIC DUE 2/26/2

136. United Western Bk Denver Co CID FDIC A Interest Redeemed Ins to Limits Due 6130/

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2.501 • $5,000

12/10/10 K

01/04/10 J

02101110 J

07/26110 K

01/13/10 K

03/19/10 K

07126110 K

04120110 K

04/08110 J

04/08110 J

04/08/10 J

08/24/10 J

11/03110 1

04/08/10 1

04108110 J

02/26/10 K A

06/30/10 K

D =$5,00 I - $ 15.000 E =Sl5,00I -$50.000

(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 - $1,000.000 111 =$1.000,001 -$5.000.000 l12 =More than $5.000.000

2. Value Codes J =S 15.000 or less K =Sl5.001-S50.000 L =S50.00I - SI00.000 M =S I00.00 1 -$250.000

(See Columns Cl and DJ) N =$250,001 - $500.000 0 =$500.001 - Sl.000.000 Pl =Sl.000.001 - $5.000.000 r2 =S5.ooo.001. s25.ooo.ooo

Pl =S25,000.001-$50.000,000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cosi (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =!look Value V =Other W =Estimated

(I) (2) (2)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of16 Smith, Jr., l\1ilan D. 05/05/2011

VII. INVESTMENTS and TRUSTS - income, vatue, transactions <Includes thou of spouse and dependent children: ue PP. 34-60 offilinc instrudions.J


A. B. c. D.



(I) (2) (I) (3) (4) (5) Place "(X)" afler each asset

exempt from prior disclosure

Amount Code I

(A-H)

Type (e.g.,

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

mm/dd/yy

Value

Code2

(J-P)

Gain

Code I

(A-H)

Identity of

buyer/seller

(if private

transaction)

137. Schwab CA Muni Money Fund Cash Money Markel Fund

A lnt./Div. L T

138. Western Asset Emerging Mkts Income Fd B Dividend L T Buy 08/24110 J Inc

139. Western Asset Emerging Mkts Income Fd None Buy 10/12/10 K Inc (add'!)



142. RBC Prime Money Market Cash Reserve A Interest 0 T

143. H & Q Healthcare Investors SBI B Dividend K T Buy 05/20/10 K

144. H & Q Healthcare Investors SBI None Sold 12/10/10 J A (part)

145. NFJ Divid Int & Prem Strategy FD A Dividend L T Buy IO/I I/ IO K

146. NFJ Divid Int & Prem Strategy FD None Buy 11/03/10 K (add'!)

147. NFJ Divid Int & Prem Strategy FD None Buy 12/10/10 J (add'!)

148. !shares TR 2012 S&P AMT Free Municipal A Dividend K T Buy 03/22/10 K Ser FD

149. !shares TR 2013 S&P AMT Free Municipal A Dividend K T Buy 03/22/10 K Ser FD

150. !shares TR 2013 S&P AMT Free Municipal None Buy 05/20/10 J Ser FD (add'!)

151. !shares TR 2014 S&P AMT Free Municipal A Dividend K T Buy 07/26110 J Ser FD

152. !shares TR 2014 S&P AMT Free Municipal None Buy 08/02/10 J Ser FD (add'I)

153. Managed Duration lnvt Grade Mun FD B Dividend K T Spinoff 06/03/10 K (from line 42)

I. Income Gain Ccxics: A =$1.000 or less B=Sl.001-$2.500 c =$2.501 • $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 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15.000 or less K =$15.001 • $50.000 L =$50.001 -$100.000 M =SI00.001 -$250.000

(See Columns Cl and DJ) N =$250.001 -$500.000 0 =$500.001-$1.000.000 Pl =Sl.000.001 -$5.000,000 P2 =$5.000.001 -$25.000.000

Pl =$25.000.001 -$50.000.000 P4 =More lhan S50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Rcol lstate Only) S =Asscssmcnl T =Cash Market

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

A.

(J-P)

(4)

Name of Penon Reporting Dale of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TR u STS - income, ··a/ue, transactions (Includes those of spouse and dependtnt chi/dun; SU PP· 34-60 of filing instructions.)


B. c. D .

Description of AS>et s In come during G ross value at end Transactions during reponing peri od

(i ncludi ng t ru st as set s) reponi ng period of reponing period

(I) (2) (I) (2) (I) (2) (3) (5) Place "(X)" afler each asset Amou n t Value Value Date Value Gain Identity of g., Type (e.gType (e. .,

Code I exempt from prior disclosu re div., rent, Code2 Method buy, sel l. rrun/dd/yy Code2 Code I buyer/sel ler (A-H) ) Code3 redemption) (J-P) (A-H) (if private or i nt .

(Q-W) transaction)

154. Managed Duration lnvt Grade Mun FD None Sold (part)

155. !shares TR S&P Short Term Natl Amtfr A Dividend K T Buy

156. Textron Inc A Dividend K T Buy

157. Textron Inc None Buy (add'!)

158. Templeton Income TR Global Total Return A Dividend K T Buy FD ADV CL

159. Vanguard Scottsdale Funds Vanguard Short A Dividend L T Buy Term Corp Bond ETF

160. California St Dept Zero 6.7% (X) See Part None Redeemed Vlll

161. Allegheny Energy Inc. (X) See Part Vlll A Dividend J T

162. Russell Money Market S Sold

163. Tamarack Inst[ Prime Fd Sold

164. Gabelli Gib! Util Inc Trust (Y) See Part Vlll

09/02/IO J B

03/19110 K

09/02/IO J

IO/I I/IO J

12/13/IO K

12/13/10 L

03101110 J

03/19/10 J

04/08/IO 0

I. Income G;:iin Codes: A =$1.000 or less B =SI.DOI - $2.SDO C =$2.SOI -$5.000 D=S5.00I -$15.000 E =SIS.001- SS0.000

(See Columns Bl and D4) F=$50.DOI -$I DO.ODO G =$JOO.DO I - $I .D00.000 Ill =Sl.000.DOI - SS.000.000 112 =More than SS.000.000

2. Value Codes J =S 15.000 or 1...-ss K =SI S.DOI -SS0.000 L =SS0.001 - SI00.000 M =SIOO.DOI - $250.000

(Sec Columns Cl and DJ) N =$250.DOI - S5D0.000 0 =$5DO.DO I -S 1.000.000 Pl =Sl.000.DOI - SS.000.000 P2 =SS.000.001 - $25.000.000

Pl =$25.000.DOI -$50.000.000 P4 =More than SS0.000.000 J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

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

b);![Z -,f ·D·i:]

by8''.·'::.0"';{· -l

It was held IRA.

IRA.

Name of Person Reporting

Smith, Jr., l\1ilan D.

Date of Report

05/05/2011


of16

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicat partofreport.)

Item 69, Part VII (Gabelli Gib! Util Inc Trust GDV) is the same as Gabelli Glbl Util Inc Trust, shown as Item 1 15, Part VII in my 2009 report, and as Item 164,

Item 164, Part VII in this report.

Item 160, Part VII (California St. Dept Zero Bond). This $5,000 bond was inadvertently omilled on my prior report.

Item 161, Part VII (Allegheny Energy, Inc.) This assert was inadvertently omilled on my prior report. It is held


of16

:-.iame of Penon Reporting


Date of Report

05/05/2011

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: s/ Milan D. Smith, Jr.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

smith, jr . milan d....18. quanta svcs inc none sold 10/11/10 j a (pat) 19. dow chemical company...

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