,~o ~o

Rev. h2010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

Z. Court or Organization Third Circuit Court of Appeals 5a. Report Type (check appropriate type) ] Nomination, Date [] Annual [] Final

nc~rt R~,l,~red by,he Z,hics

in Government Act of 1978 (_~ u.s.c, app. 9L+ I01.11I)

I. Person Reporting (last name. first, middle initial) Smith, D. Brooks 4. Title (Atliclc Ill judges indicate active or senior sU~tus; magistrate judges iudicate full- or parl-timci. Judge-AcIivc

3. Date of Report 05/t5/2010 6. Reporting Period 01/01/2009 to 12;31/2009

[] Initial

Sb. [] Amended Rcpvrt 7. Chambers or Office Address U~ Cou~t of Appeals. Ste 203 1798 Old Route 220N Duncansvillc. PA 16635 8. On the basis of the information contained in this Report and any modifications pertaining thereto, il is, in my opinion, in compliance with applicable laws and regulations. Reviewing Oflicer Date

hlIPORTANT NOTES: The instructions accompanying this form must be follvwed. Complete all parts, checking the NONE box for each part where you have tto reportable information. Sign on last page.

l---]

NONE (No reportable positions.)

POSITION
1. Trustee

NAME OF ORGANIZATION/ENTITY
Mount Aloysius College, Cresson. PA

Board of Counselors

Penn State University - Dickinson School of Low

1I. AGREEMENTS. tReporting individnal,,nl_v; s~,pp. 14-16offiting instructi,,n~.)

~ NONE (No reportable agreements.)

2,9 .....

~;

~-~

~
1.

PARTIES AND TERMS

Smith, D. Brooks

FINANCIAL DISCLOSURE REPORT Page 2 of" 8

~" .... fP ..... Reporr|ng Smith, D. Brooks

DateofReport 05/15/2010

III. NON-INVESTMENT INCOME. tRep,,.,i..,i.di,i~.a~.dsp ....:~eep.. 1Z-:4 o/Oli.gi......io.sO

A. Fliers Non-Investment Income
NONE (No reportable non-investment income.)

DATE
I. 2009

SOURCE AND TYPE

]he Pennsylvania State University-Dickenson Law School-Adjunct Professor Spring Semester- See Part VIII

~
(yours, not spouses) $23,580.00

B. Spouses Non-Investment Income - if you ,,,ere married during any portion of the reporting year, complete this section.
~--~ NONE (No reportable non-investment income.)

DATE
I. 2009

SOURCE AND TYPE

Reliance Bank - Vice President, Commercial Lending - Salary "~]

IV. REIMBURSEMENTS - transp,,rration, lodging, fl~od, et,tertai ....

(bwhtdes those t,, spo~ts~" and depe~dcnt child~ ~.,~, see pp. 25-27 &i/Lmg instructions) [~] NONE (No reportable reimbursements.)

t.

~
1. 2. Lewis & Clark College New York University School o f Law Case Western Reserve University Pen~ State University Dickinson School of L0w New York Law School OPDAT

D_ZLT_F~

LOCATION

~
Moot Court Competition Moot Court Compehtion

ITEMS PAID OR PROVIDED

Travel, food and lodging Travel, food and lodging

02/0212009-0210812009 Boston, MA t)2,20,~2009-02/22/2009 Nev York, NY

3.

03/27/2009-03/2912009

Cleveland, OH

Moot Court Competition

Travel, food and lodging

4.

05/18./2009-05/20/2009

Washington, DC

Attend ALI-ABA Conference Moot Court Competition Foreign Rule of Law

Food and Lodging

5. 6.

09il 2/2009-09/13/2009

New York, NY

Travel, food and lodging Travel. tbod and lodging

09/23,2009-I0/03/2009 Sarajcvo, Bosnia

FINANCIAL DISCLOSURE REPORT

Oat, of Report

Page 3 of 8

Smith, D. Brooks
IName 0fPCrsOn RepOrting !

05/15/2010

Herzegovina 7. 8. 9. 10. l!. 12. 13. ttofstra Lag School 10/17/2009-10/19/200c~ Hempstead, NY

Program Mool Court Competition Travel, food and lodging

FINANCIAL DISCLOSURE REPORT Page 4 of 8

Name o[ Person Reporting

Date of Report

Smith, D. Brooks
I

05/15/2010
[

V. GIFTS. a,,.t,ae.~ those to spouse and dependent chitdr~,n;.~e~" pp. 28-31 ,,f filing itt~tructions.) [] NON E 6o reportable g~s..) ~
1. 2.

DESCRIPTION

VALUE

3.
4. 5.

VI. LIABILITIES. a,~t,d,, ,~,,,.~, o~, ~ ........ ~ a~r~,~,., ~,,,,: ~ ~,. 32-~ o/~;~,~ ~,~.,~.,~o,~.)
NONE (No reportafile liabilities.) CREDITOR
I. 2.

DESCRIPTION

VALUE CODE

3.
4.

5.

FINANCIAL DISCLOSURE REPORT Page 5 of 8

~ ..... fP ..... Reporting Smith, D. Brooks

OateofReporl 05!15~010

[ [

NONE (No reportable income, assets, or transactions.) Gross value at end Description of Assets Income during ~ reporting period period ofreporling (including trust asse~) . Value P ace "(X)" after ea~:h ~Amour,Type (e.g., a.%ct t Code I div.. rent. 2 Code (JP) ! (A-H) or int.) i ....... A A A A A C A A A A A A A A B B A Interest Dividend Dividend Dividend Dividend Dividend Int.!Div. Int.iDiv. Int.,q)iv. Int./Div. [nt.;Div. Int./Div. Int.iDiv. Dividend Interest Interest Interest K J 3 M M L J J J K J J K M K L J I Vuluc [ Method i Code 3 (Q-W) i ...... T T T T T T T T T T T T T T "I" T T Transactions during reposing period

exempt fiom prior disclosure

Type (c.g., Date Value mr~dd]y~ ~ Code 2 buy, sell.

redemption) I (J-P)

Gain Code I
(A- I)

LI

IdcntRy of buycrlseller (if private transaction)

il.
2.

Reliance Bank Certificate of Deposit~ FNB Corp (common "-] Fifth Third Banco~p"~

3 4. "5. AST USB Dynamic Alph~-~ AST Academic Strategies Asset A!location[~ M&T Bank (common)~ 7. ~ 9" .. 10. [l. 12. 13 14. 15. 16. 17. Principal Global Investors] (I) Principal Money Market Principal Global ln,cstors L__( i ) Bond & Morlgagc ,, Principal Real Estate Invl~(l) Principal US Property Principal Global ht~,estors i.__(I) Prin LargeCap S&P 500 lnde Principal Global ln\esiurs!_:_.(l) Principal SmailCap Growth Principal Global!Barrow tlanley[ (I) MidC-..ap Value 111 ~ Principal Gtobal Investors, DFA htternali~nzl SmallCap (1)

Norlb\~estern Mutual Life ins(Universal Li{e Policies) Reliance Bank IRA[ Reliance Rank IRA 2 Reliance Bank-Checking Account

ISec Column~ CI aud D3)

N - $250001 - $500.~

O =$5011,001 - 11.0~,0~

Pl =$1,~,001 -

(Scc Column C2)

O =Book Value

V ~lhcr

W =Estimated

FINANCIAL DISCLOSURE REPORT Page 6 of 8

,~.,e of P~rso. a,p~,,ing

Smith, D. Broo~

[
~

O.t~ at R~po.
05~15/2010

VII. INVESTMENTS and TRUSTS - i ......... o~..,, ....... ~o~.. a~,.t,,a~s a, ..... ,f ~p ...... d aemndent children: see pp. 34-60 o/f!llng instructions.)
NONE (~Vo reportable income, assets, or transactions.)
~scription of Assets (includingtmsl ~scls) Place "IX)" after each a~sct exempt from prior disclosm~ ........................ [ 18. Reliance Bank-Checking Accoun~ [ [ Income during rcpoflingperiod [ Gross value at end ~ ofrc~ortmg period Value MctEod C~e 3 (Q-W) T~n~ctiong during re~ing ~nod i T~e (e.g.. buy, sell, redemption) D~te ~ Value Gain ma~dd~ Code 2 [ Code I ~ (J-P) ~ (A-Hi [ IdentiWof buys/seller (if private uansaction)

;AraGon: ~ T~ (e.~., [ Value I Code I div..rent, ] Code 2 (J-P) ~ (A-It) ] or nt.) ~ ...... ~ ........

Interest

19.
20.

22.

(St.e Cul~Jmn:~ CI and D31

N =$2~0,~1 - $500.00~1

U ~$500,0t)I - $!.0(~).(~00

PI ~$1.000.001 - $5,0~,~

P2 ~$5,~0,~1 - $25,~0.~

of Person Reporting FINANCIAL DISCLOSURE REPORT [ Smith. D. Brooks

Page 7 of 8

[Name

Dale of Report

05/|5/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Part IliA: Represents services from 0!/0912009 through 05,;I 5t2009 Part VII: t) Held in ~ Reliance Bank 401(k) e, cn ~ Jcltc,J Prior ~,e:~r reports included total balance of Reliance Bank 40ll.k). individual listing of assets inadvertantly ~ frown prior year reports 2) Sell directed IRA

PageFINANCIAL8 of 8 DISCLOSURE REPORT [ IX. CERTIFICATION.

Smith, D. Brooks

05/1512010

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 besl 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 thai earned income from outside employment and honoraria and the acceptaace of gifts which have been reported arc in compliance wi~b the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signalure~

NOTE; ANY INDIVIDUAL WltO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT "1"O CIVIL AND CRIMINAL SANCIIONS (5 U.S.C. app. 104)

FIL1NG INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30 I One Columbus Circlc, N.E. Washington, D.C. 20544