Re~..

I/:O~O

,~o l0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization Ninth Circuit 5a. Repot! Type (check appropriate type) [] Nomination, [] Initial Dale [] Annual [] Final

GovernmentReqiredbYActtheof IEthics978 R~po,-,i,,

(5 u.s c. app. ,, tOl- l l)

3. Date of Report 05/14/2010 6. Reporting Period 01/01/2009 to 12/31/2009

I. Person Reporting (last name. first, middle initial) Smith, Jr., Mila~ D. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate t~ll- or part-time) Circuit Judge

5b. [] Amended Report 7. Chambers or Office Address United States Court of Appeals Suite 2325, 222 N Sepulveda BI El Segundo. California 90245 8. On the basis of the information tontained in thix Report and any modifications pertaining thereto, it is, in my opinion, in compliance ",vith applicable laws and regulations.

Reviev, ing Officer

Date

I#IPOR TANT NO TES: Tl, e instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

1. POSITIONS. (Rep~r,ing individual only: seepp. 9-13 of fling i ....... ions.)

NONE (No reportable [)ositions.) POSITION
1.

NAME OF ORGANIZATION/ENTITY

5.

[:.

11. A G RE EM E N TS. ~po,,~,g i,di~idt,al only; see pp. 14-16 offli,,g i .......... ion~.)
NONE (No reportable agreements.) DAT~
I.

PARTIES AND TERMS

Smith Jr., Milan D.

FINANCIAL DISCLOSURE REPORT Page 2 of 17

lIi. NON-INVESTMENT INCOME. ae~,,,r,i~iod~,,~d,~,~,

A. Fliers Non-Investment Income

~
I.

NONE

(,vo
DATE

non-investment income.) SOURCE AND TYPE [NCOME {yours, not spo~es)

l~. SpollSl~*$ Non-Investment ]llCOmt - If ),ou were married during an). portion of the rel,orting year, conqdett this section. [~ NONE (No reportable non-investment income.) ])ATE 1. 2009 2. 2009 sel f employed a~lo~ey Gogian Foundation-Trustee SOURCE AND TYPE

IV. REIMBURSEM ENTS -transportation, Iodging,.[ood, entertain .... ~

(hrchtdey those to .~pottse a~td rle~,endent ~ kildren," s~e pp. 25-27 o/ filit~g i~rstru~ ti~)~rs )

[~

NONE (No reportable reimbursements.) S()URCE DATES February 20-22 2009 LOCATION Yosemite. California PURPOSE ITEMS PAID OR PROVIDED

1.

Bar Association of San Francisco-Labor and Employment Section University of Chicago Law School State Bar of Alaska

Participate in Ninth Circuit Transportation, Food, Hotel Judges Panel

2.

April 29-30 2009

Chicago. lllinois

Judge Itinton Moot Court Competilion Represcn~ Ninth Circuit-Participate on Panle with Justice Alito Judge Rex E. Lee Moot Court Competition Speak to Chapter

Transportation, Food, Hotel

3.

May 7-8 2009

Juneau, Alaska

Transpoaa0on, Food. Hotel

4.

B.Y.U. Law School

October 29-30 2009

Provo, Utah

Transportation, Food

5.

Federalis~ Society-Stanford l,aw School

November 17-18 2009

Palo Alto, California

Transpo,talion, Food, !lotel

FINANCIAL DISCLOSURE REPORT

Page 3 of 17

s,~,im. Jr., ,~liJ~. ~.

o5;]4/zo~o

V. G 1 FTS. (Intrudes tt, o~e to sp,~use a,,d dOe,dent cl~itdr,,; see Pt~. 2~-.~ t of lilmg imtr,,ctl,m~)
NONE (No reportable gifts.)

SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LI ABILIT.! ES. a~,u,~ ~h .... ,/,~o~ and dependent children; ,ee pp. 32-~J of filinx
NONE (No reportable liabilities.) CREDITOR I. 2. 3. 4. 5. DESCRIPTION

instructions.)

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 1 7 VII. INVESTMENTS and TRUSTS -

~ ....

fP .....Reporting

Da,eofRepor!

Smith, Jr., Milan D.

05/14/2010

N ONE (No reportable income, assets, or transactions.)

............

~.
Description of Assels (including t~st assots)

~.
Income during reporting period Amount ] C~e I (A-tl)

-~ ~ .....
Gross value at end of reporting period ] Vak,e Method I Code3

~ ........................ fi-.
I ~ Type (e.g.. i buy sell ] redemption) ~ ............. Sold (pa~) Buy (addl) gold {paa) Sold (pa~) Sold I0/08/09 05/06/09

- .....

T~nsactions during rcpornng ~riod

Place "(X)" afie~ each assc~ exempt from pr or d sclosur .......................... ~ ................. I. General Electric Co. Johnson & Johoson

Ty~ (cg, Value div., rent, ] Code 2 orim) [ 0-P) ~ .....

. D~tc ~ Value ] Gain ~m~dmyy i Code 2 i Code I : ~ ~ O-P) ~ {A-It) ~ 1 ..... J J 2_ .

Idcmay of buyettscllc, 0fprivate

L ......... J T

Dividend

2. 3, 4.

Dividend

Johnson & Johnson ,Johnson & Johnson Johnson & 3ohnsoa

07/08/09 10/08109 10/29109

K K J

B C D

5.

6.
7.

Microsoft Corporalion
Coca-Cola Company Intuitive Surgical Inc.

A
A

Dividend
Dividend J T T T

Sold
Sold (pan)

10/29/09 K
I 0/29109

8. 9.

None Distribution

K L

Kinder Morgan Energy Partners LP Unil Lid Pannershihp American Tower Corp CL A Devon Energy Corp New Devon Energy Corp New Devon Energy Corp New

Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (pan)

05/06/09

10. I. ! 2. ] 3. 14. 15. 16.

None A Dividend

K K

T T

10/22/09 03/05/09 03/31/09 07122/09

None None A Dividend Dividend K T T

L-3 Commuoications Holdings Inc. Pepsico Incorporated Time Warner Inc.

K J

Buy (addl)

12/23/09

None

Time Warner Cable

None

Spinoff (from line 16)

Name of Person Reporting

Date of Report

PageFINANCIAL5 of 17 DISCLOSURE REPORT

VII. INVESTMENTS and TRUSTS -- i, ........
A. Description of Assets (including I~ust a~et~) Place(X)"after~chasset exe~pl l~om pm~r disclosure B. Income during reporting ~riod

Smith, Jr., Milan D.

05/14/2010

~,,~. t ....... ancludes those vf sp ...... d depet~ae,tt children; see pp. 34-60 vf filing in ...... ions.) ions

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

~ [ C. Gross value at end of [eportlng gel iod Value C~dc 2 (J-P) Value Mcth~ ] Code3 [ ~ T~~ c.g. buy. sell. ~ redemption) [ J D. Transactions during re,fling peri~ . . ldcnlil~uf buycr/scller (ifpri~atc

:Amounl~ Ty~(c.g, Code I ] div. rent, {AII)I or int.)

~ Date Val~e ~ Gain [mmid&~v ~ Code 2 ~ Code I 1 ~ (J-P) (A-H) ~

l g.. Canadian Natl Ry Co. ~oeing Co

Dividend

Sold (paa) Sold

07/22/09

1~

19.

Dividend

10/29/09

20.
21.

Templeton Growth Fund Class A

First Colony Life Policy

None
None J r

Sold

01~08,09

22. 23. 24.

25,

Aetna Li,re Policy California Pizza Kitchen Quanta SVCS lnc

DaimlerChrysler NA Illdg 7.200 911/09 A

None None None

Interest

K K K

T T T
Redeemed 09/01/09

26. 27. 28_ 29.

30.

Dow Chemical Cornpany 5.750 12/I 5,."12 Dow Chemical Company 5.3000 3/15/I 3 Franklin Universal Trust General Electric Cap Corl~ 8.125 5/15/12
General Electric Cap Corp 4.000 4/15/10

A A C A
A

Interest Interest Dividend Interest

Interes~ .1 T

J L

T T Buy (addl) Sold 05/06/09 04.09,09 J 1 A

31. 32. 33. 34.

Goldman Sachs 5.250 lC).q 5/13 Household Fin Corp 5875 2/I/09 lntl Lease Fin Corp 4.375 I I/1/09 lntl Lea~e Fin Corp 4.200 Z/15!I 0

A A A A

lnmrest Interest Interest Interest

T Redeemed Sold 02/02109 1/02/09 J J A

(See Columns CI .and D3)

N =$250.001 - $500.0C~1

FINANCIAL DISCLOSURE REPORT Page 6 of 1 7 VI I. INVESTM ENTS a n d TRUSTS -

S,.i,h, Jr..

Milan D.

05114/2010

N ONE (No reportable income, assets, or transactions.)

^.
l including trust assets)
Place "(X)" after each asset exempt from priordisclosure

,~. ......................................c. ~
reporting pcritxl

Amounl Code I ~ div., rent. [ Cod: 2

h~~hc, d

buy. sell,

~mmid,:byy Code "2 Code I

buyer/seller

(A-H) .__[ ............ , _Q-w,_ ........ T T T T T T T Redeemed 3

J

35 36. 37. 38. ! ! 39. 40. 41. 42. 43.

44.

John Itancock Life Ins Co 4.150 2/15/12 La Sa|le Fndg LLC Multi 3.000 1/15/I 1 McDonalds Corp 6.000 4/15/1 I ,X.IFS Inten~ediate Income Trust /Vlotorola Inc. 7.625 I IilS/10 NalionaI Rural Utilities 4.125 2/I 5/I I New York Tel Co. 7.000 6/15/13 General Motors Accp Corp 5.625 5115/09 "leco Energy lnc 7.200 5/1/I I
Anaheim CA Pub Fing Auth 5.000 10il!10

A A A C A A A A A
A

Interesl Interest Inlercst Dividend Interest ln:erest Interest Interest Interest

Interest

J J J L J J J

Sold I 1/05109 (pa,O

05; 15/09

T
T

45.
46. 4"?.

Parlier Calif Redev Agy 4.650% 8/I/10

Pasadena CA Electric 5.000 8/I/09 RFD Bonds Sacramento CA Mun Roy 5.250 8/15/09

A
A A

Interest
Interest Inlercst

T
Redeemed Redeemed 08;03/09 08,;17/09 J J

48. 49. 50. 51.

Oneok lnc New Oneok lne New Russell Money Market S Century Tel., Inc. Cpn 5.000% Due 2/15/I 5

Dividend

"1"

Sold (part) Buy (addl)

03/05/09 03/05/09

K K

A A

tnt.;Div. lntcrcsl

J J

T T

(See Columns CI add D31

N =$250,001 - $500,000

O =$500,1~1 - $I.(X)0,000

Il =${.(8ffL001 - $5,000,000

P2 =$5,000,(/0| - $25,000,000

Page 7 of 1 7 VII. INVESTM ENTS and TRUSTS ~ NONE

Smith, dr., Milan D,

05/14/2010

(No

income,

or transactions.)

(including t~s~ assets) P]acc"(X)"afiere~chasse~ exempt from prior di~losure

reporting ~riod amoum/ Type(e.g., Code div., rcnl. { (A-H) ] orinl.)

of reporting period Value Code 2 U-P) I Value ~ Type(e.g., ~ Method ~ buy, sell, ! Code3 ; redemption} i Date ~ Valuet4~ ] j ~ (]] t ~ Gain I ~ i Code 2 ; C~e I ;m~d~yy :: ~ (S-l) ~(a-ll) ~ (5) Idcnti~y of buycdscllcr {ifpri ....

52. 53. 5,1. 55. 56.

57.

Dean Wilier Discover Odd Cpn Meal Term Notes 7.07~o 2/IO/14 Motorola Inc. Notes call @market+25 BP Boeing Co. Global Notes Cpn 5.125% Due 2/15/13 Gcnzb, me Corp Gen Div Cisco Systems Inc.
International Business Machines

Inlcrcsl None Nene None Nonc

T Sold 01/08~09 J

.I K

T T Ruy (addl) Sold

S01d

07123/09 10,t08/09
I0/0~,;09

J J
J

Dividend

58. 59. 60. 61. 62. 63.

64.

Marriott Int Inc Class A Medtronie Inc UltraShort S & P 500 ProShares UltraShort S & P 500 ProShares UltraShort S & P 500 ProShares Ultrashort Russell 2000 Reg ETF
MBIAIClaymore MGD Dm-a Inv Grd Muni Fd Los Angeles CA USD GO B/E 7-] -09

A A

Dividend Dividend None

Sold (pard Sold Buy laddl) Sold (part) Sold

03130.09 10108109 07122/09 08/14/U9 0~II 4/09 05,t)5,09

07;16"09

J J

None
C B Dividend Imeresl 1. T

Sold
Buy (addl) Redeemed

K
K K

65.

07/01109

66. 67. 68.

Tamarack Instl Prime Fd Bank of N~" Mellon Corp Money Mkt Oblig Trust Auto Cash Mgmt

C A B

Ira.iDly Dividend lnt.iDiv.

T Sold 10,29/09 J C

FINANCIAL DISCLOSURE REPORT

N ....

f Person Reporting

Page 8 of 17
VI I. INVESTMENTS and TRUSTS - i .........
~ NONE (No reportable income, assets, or
Description of Assets (including m~sl asse~s)

=.O.
~ J (~) Ty~ (eg., buy, sell, redemption)

| [

Date of Report

I
ions,)
T~nsaclions during reporting ~riod

~,,, t ...... liOnS (Includes those of so ...... d dependent children; ste pp. 34-60 of filing i ....... transactions.) Gross value al end of rcpofling period 0) (2) Value Value C~e 2 Mcth~ (J-P) Code 3

Place ~(X)" after ezch assc= exempt from prior disclosure

h~ome during reporting ~riod O) (2) Amount Ty~ (e g. Code I div.. rent. (A-H) or int.)

I (3) (2) (4) - Date Value Gain m~dOyy Code 2 [ Code I (JP) i (A-H)

(5) Identity of buyer/seller (ifpr=vatc

69. 70. 71. ~ 72. ~ 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

American Capital Agency Corp American Capital Agency Coo American Capital Agency Corp American Capital Agency Corp American Capital Agency Co~ American Capital Agency Co~ American Capital Agency Co~ Williams Partners LP Corn Unit Led Pad Int Williams Partne~ LP Corn Unit Led Pad lnt Williams Parme~ LP Corn Unit Led Pa~ lnt Williams Partners LP Corn Unit Ltd Pad In~ Ishares Barclays Short Treasu~ Bond Fund ETF Ishares Barclays Shod Tre~su~ Bond Fund ETF lshares Barclays Shod Treasm~ Bond Fund ETF Ishares Barclays Shod Treasu~ Bond Fund ETF Ishares Barclays Short Treasu& Bond Fund E~ lshares Barclays Short Treasu~ Bond Fund ETF

Dividend None

Buy (addl} Buy (addl) Bu~ (addl) Sold (pad) Sold (pan) Sold (pan) Buy (addl)

03/31/09 03/05/09 05/06/09 07108/09 07/08/09 07/22/09 12/23/09 03/05/09 03/05/09 03/31/09 )5/06/09 01/30/09 05/06/09 05/07/09 07/22/09 08/20/09 08120/09

J J J J J J J J J J J M L K J K J A A A B

Distribution

Sold (pan) Buy (addl) Buy (addl) Sold (pan)

None

Buy (addl) . Sold (pan) Sold (pan) Sold (pan) Sold (pad) Sold (pan)

(See Columns CI and D3}

N =$250,~)1 - $5~.000

O :$5~.~1 - $I.~.~

PI =$1,~.~1 - $5,~.~

12 =$5,t~),1~}1 - $25,~,~0

(See Column C2)

O ~B~k Value

V ~Olher

W =Estimated

FINANCIAL DISCLOSURE REPORT Page 9 of 17

[N ......

rP ...... R~porti,,~

[
Ty~ (c.g, di~- renl. or int )

I
Transactions during re.fling ~riod Value ] Dale m~dd~y : Code 2 ~ Code I Value Me~h~ Code3 ~ Ty~ (e.g., buy, ~ll, redemption)

NONE (No reportable irtcome, assets, or trattsoctiot~s.)

Description of Assels ( nc uding t~s as~ets~ Place "(X)" after e~ch asset ~ Income during
reposing ~rit~

Gross value at end ] ~f rcp~:,ning period Value Ct~e 2 H-P)

An~ounl . Code I

I
091~610~

buycr/scllcr if private

86. ~7. 8R. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.

Isharcs Barclays Sho~ Trcasu~, Bond Fund ~TF Isha~es Barclays Sho~ Trcasu~ Bond Fund ETF Ishares Trust Barclay~ I-3 Yr. Treasu~ Bd FD Capslead Mtg Co~ Corn No Par Capstead M~g Co~ Corn No Par MFA Mortgage Invesnnents Inc. MFA Mortgage Investmen~ Inc. MFA Mortgage Invesm~n~s Inc. ttaUeras Financial Co~ Ha~ms Financial Co~ F~an~li~VT~mpl~[on Hard Currency Fund CI A Temple~on Global Bong Fuad CI A Putnam Managed Municipal Income Trust-S f3 ] Putnam Managed Municipal Income Trust-SBl C None None Dividend L T C Dividend K T C A D D Dividend D~vidcnd Dividend None Dividend None K "1 M L T T

So[d

Sold (pan) Buy (addl) Buy (addl) Buy (addl) Sold (pan) Sold (pan) Buy (addl) ~uy (addl) Sold Sol~ Buy (addl) Buy (addl) Buy (addl)

07!22/09 03/31/~ 05/06/09 03/31709 07708/09 0~i20~09 03/05/09 05/06/09 ] Ol]OgJ09 : 01/08J09 ~ 05/06/09 05/07/09 05i08t09 03/06/09 03,"09/09

J J J J

J J J J J J J K

100. Putnam Managed Municipal Income "lrust-S BI 101. Putnam Municipal Opportunities Trust-SB1 102, Putnam Municipal Opportunities Trust-SBI t-; Dividend L T

Buy (addl) Buy (addl)

(S~e Colu~rms Ct and OJ)

N =$250,001 - $500.000

FINANCIAL DISCLOSURE REPORT Pagc 10 of ] 7

I Smith, Jr., ~]ilan D.

05/14/2010

NONE (No reportable income, assets, or

Description of Assc~s (including tms~ assels) Place "(X)" after each assel exempl I~om prio~ disclosure J {

transactions.)

Income during reporting period

J Gross value a~ end [ of reporting period VMuc Code 2 {J-P) Value Mclh~d Code 3 [Q-W)

~ , , Type [c g. buy. sell, rcdcmptlon)

T~ansaclions during reposing. ~riod

Amounl [ J)im (e.g., ~ Code I div.. rein, ~ (A-H) ~ or int.)

[ Dalc ~mm/d~yy ~ ~

Value Code 2 [J-P)

Gain Codc I {A-H)

]dcnlity of buycr/~cll~r ~ifpriva~c

103. Sel~gman Selec~ Municipal Fund Inc.

Interest

Buy (addl) Buy (addl}

03/01,/09 05/06109

K K

104. geIigman Select Municipal Fund Inc. IO5. Discover Bank Greenwood DE 4.400%; 8/03/09 Intere~ Interest

B A

Redeemed Redeemed ( pan} Redeemed

0St03109 O8/07/09 08/07/09

K K K

106. Comerica Bank Detroit. MI; 4.16%; 08103/09 107. Comedca Bank Detroit. MI; 4.16%; 08/0L09 10g. Wes~ernbank PR; 5.20%; 08/07110

Interest

109. Comerica Bank Detroit. MI; 2.536%; 8/7/09 A

10. Huntington Natl Bank Columbus, OH; 3 06%: 09/03/09 I I. FidcliW Advisor Mun Income Fund Cl, "F 12, Capital One Bank Glen Allen. VA; 2.27%; 02123i09 13. Bank ,~orth GA Alpharetta; 3.35%; 04!30/0( 14. lluntington Nad Bank Columbus, OH; 2 47%; 09,03/09 15. Gabelli Glbl Util Ine Trust 16. lshares Trust ]boxx $ lnvestop Investmefit Grade Bond Fund 17. Ishares "lnasl Iboxx $ lnvestop Investnlenl Grade Bond Fund 18 Ishares Trust lboxx $ Investop Investment Grade Bond Fund !9. lshares[rust Iboxx $ [nvestop Investment Grade Bond Fund A B

Interesl
Interest Dividend Interest K T

Redeemed 08/07/09
Redeemed 09/03,09

K
K B

Buy (addl) Redeemed Redeemed Redeemed

12/23/09 02/23/09 04/30,"09 09/03/09 01/28/09 i 03/31/09

K K K K K L B A

A B A A

Interesl Interest Dividend J M T r

Sold

(part)
C Dividend Buy

Buy (addl) Buy (addl) Buy (addl) .

l 1105109 12124/09 I 11/051091

K K J

(See Column~ CI and O31

FINANCIAL DISCLOSURE REPORT Page 11 of 17

VII. INVESTMENTS and TRUSTS - i .........
~

r~ ..... r~" ...... a.po.,.,~ s,,,itl,,a,., ~ila., ~.

[ ~

o~t~4ao~o

t ..........io.~ ancluSes those o/sp ....... d t

NONE (~ reportable income, assets, or transactions.)

--

~. -De~riptlon of A~ts

u.
Income during . I

c. ~ ...............

-fi .......................
T~ansactlon~ during rcpornng peri~

Gross value a~ end .

Value Value [ypc (cg.

PI~~"(X)" alier each a~cl

A,nounl

T~pe (c.g,

Da~c

Value i (3am

Idcnl~ly of

exempt from prior disclosure

C~e I (A-H)

div., rent, or int.)

C~e 2 (J-P)

Me~hod C~e 3 (Q W) r

buy, sell redcmptlon)

mn~d&yy ~ C~c 2 I Code I i ~OP) (A-H) i : [ . 03i3 I;09 [ 03,~3 L

buyerlsellcr (if privale transaction)

120. Fundlshares,, Barclays Imennediate Credit Bond 121. Ishares Barclays ln/ennediate Credil Bond Fund 122. Ishaes Barclays Intermediate Credit ~ond Fund 123. lshares Barclays MBS Bond Fund ETF 124. Ishares Barclays MBS Bond Fund ETF 125. lshares Barclays bIBS Bond Fund ETF 126. 127. 128. Ishares Barclays MBS Bond Fund ETF lshares Barclays 1-3 YR Credit Bond Fund ETF lshares Barclays 1-3 YR Credit Bond Fund ETF

Dividend

Buy Buy (addl)

M D Dividend N

T T

Buy (addl) Buy Bay Buy (addl) Buy {addl) 03/31/09 05/07/09 07/0809 05/06/(19 05,"05/09 05/06/09 05/06/09 07/22/09 03/31/09 05/0609 I)7122/09 07/23/09 12t23/09 12/24/09 L 1. L L L M K J

Dividend

Buy Buy (addl)

129. Proshares Ultrashort Midcap400 ETF 130. Proshares UIIrashort Midcap400 ETF 131. Annaly Capital Management Inc. C

None

Buy Sold

Dividend

Buy Buy (addl} Buy (addl} Buy (addl) Buy (addl) Buy (addl)

132. Annaly Capital Management Inc. 133. Annaly Capital Management Inc. 134. Annaly Capital Mar~agement Inc. Annaly Capital Management Inc. 135. 136. AnnalyCapital Management Inc..

(See Columns CI and D3)

N =$250,001 - $500.~1X1

0 =$500.f}01 - $1.000,(10t)

Pl =~l.000,001 - $5,00IL000

P2 =$5,0~)~1.t~t. $25M~3.0tO

FINANCIAL DISCLOSURE REPORT Page 12 of 1 7

ISmith, Jr., Milan D.

Gross value at cad [ of rcpo~tmg period Transactions dunng rcponin8 pcri~

05114/2010

NONE ~o reportable income, assets, or transactions.)

Description of As~Is (including trusl assets) Place"(X)" after each asset exempt l~om pfor disclosure Income during rcpoaing ~riod

Amoum ~ T~ (c.g, Valt~c [ Cc~e I d~v.. rent. ~ Code 2 ~ [A-H) ~ or int.) [.LP)

Value Mcth~ Code 3

~ Type (e.g., : buy, sell. redcmplion)

~ Date [ Value [m~ql~tyy C~e 2 ~ ] (J-P) .. ~ .......

Gain C~c I (A-H)

]dcnmy of buyer/seHcr (Jrprivate

~ ................... K

137.

Linn Energy LLC

None

Buy

07/23/09

138. Copano Energy LLC 139. Copano Energy LLC 140. lshares Tn2s, Barclay~ Credit Bond Fund ETF A

None

Buy Buy (addl)

08/14/09 09/16/09 08120/09 12/23/09 09/16/09 12/23/09 05106/09

J J L L K J J

Dividend

Buy Buy (addl)

141. Ishares Trust Barclays Credit Bond Fund ETF 142, Ameren Corp 143. Amcren Corp , 144. Proshares Ultrashort MSCI EAFE ETF 145. Cenovus Energy Inc
146. Encana Corp

Dividend

Buy Buy (addl)

None A
A

Sold J
K

Dividend
Dividend

T
T

147.

Ishares Barclays Short Treasury Bond Fund ETF

Dividend

Buy Sold (part) Sold (pa~t) Sold (pan) Sold (pan) Sold (part) Buy ]addl)

01/30/09 05106109 : ~ 05/07,09 07/23/09 09/16/09 10/09/09 12/23/09

M L K M K K M A

1,18. lshares Barclays Shor~ Treasu~- Bond Fund ETF 149. Isharcs Barclays Shor~ Treasury Bond Fund ETF 150. lshares Barclays Shortlreasury Bond Fund ETF 5 I. lshares Barclays Short Treasury Bond Fund ETF 52. ]shares Barclays Short Treasury Bond Fund ETF 153. lshares Bzrclays Short Treasury Bond Fund I ETF [

, 1 IncomeGainCodes:

A-.$1.0OOorlcss

[1=$!.001-$2.5~0

---~=$2.50t-$5,000

D=$5.001-$15.000

E=$15.11Ot-$5OYa)tl

ISc Columns C l arid D3)

N =$250.00I - $:{~I.0~YJ

FINANCIAL DISCLOSURE REPORT

]age 1 3 of 1 7

.~ .... fP ..... Reporting

S.,ith. dr.,

D .... fReporl

Milan 1).

05!14/20

N ONE (~Vo reportable income, assets, or transactions..)

c. ~ ............ ~ .........
Description of Assels {including t~sl assets) Place "(X)" after ~ach asset exempt liom pn~r di~losure Income during rc~ing period Amoun [ Ty~ (c g., : Code I ~ div.. rcnl, (A-H) . orinl.) l Gross value a~ end ~ : ol rcponm~ period [ Value ~ C~e 2 (J P) V3luc Mctho~t Code3 lypc (e.g.. buy. sctl, rcdcmp6on) ~ransaclions during rc~)~ir~g periled Gain C~c I (A-II} ldcnmy of buycr/sclle~ (ifpr~wtc

~ Da.c [ Value ~m~dd,,yy ~ C~c 2 ] {J-P) i

154. Abbot Laboralories 155. Abbot Laboratories 156. Proshares Uhrasho~ S&P 500 ETF 157, Proshares Ultrashoa S&P 500 ETF 158. Teppco Partners LP Units LTI) Partnership lnt 159. Teppco Partners LP Units LTD Partnership Int 160. lshares Trust Barclays Credit Bond Fund ETF 161. lshares Trust Barclays Credit 13ond Fund ETF 162. H & Q Life Sciences lvcstors S13.1 163. Enterprise Products Partners LP 164, Powershares Global Exchange Trades FD TR Weekly VRDO Tax Fre 165. Powershares Global Exchange Trade~ FD TR Weekly VRDO "Tax Fre 166. Powcrshares Global Exchan~.e Trades FD TR Weekly VRDO "Fax Fre I67. Franklin Templcton Funds I]S Govt Secutrities Ser CI A 168. Franklin Templeton Funds US Govt Secutrities Ser CI A 169. Franklin Templeton Funds US Govt Seeutrities Ser CI A 170. Franklin Templeton Funds US Govt Secutrities Ser CI A

Divided

Buy Buy {addl)

05/06i09 12/23,;09 05,06/09 08/14/09 07/22/09 10/27/09 08/20,09 09119/091

K J K K K

None

Buy Sold

Dist~ibulioa

Buy Merged (with line 163)

Dividend

Bt~y Buy (addl)

L K

K A A Distribution Dividend K L

T "1" T

Buy Buy Buy Buy {addl) Buy laddl)

110/09/09 K

05/06/09 08/20/09 I 1/05;09 01/08/09 02/04/09 03t04/09 04/03/09

L J J K J J J

Dividend

Buy Buy (addl) Buy (addl) Buy (addl)

FINANCIAL DI SCLOSURE REPORT

Page 14 of 17
VII. INVESTM ENTS an d TRUSTS - ~ .........

Smltl,, St., rq .,, t~. i ~ ...........~.s a.c~s ,, .... o~,-v ......s ~w.~.~ ~mts,~.; ~,,~ ~,. ~4-~o o~i.~ i .......~o.~.~
""

N ONE (No reportable income, assets, or transactions.)

A. (including t~s~ assets) Place "(X)" after each asset exempt t?om prior disclosure ~ B. r~ortm~ pcr~od C. ...................... of rcp~ing period Value Code 2 (J P) Value MelEod C~e 3 ~Q-W) Type (e g, buy, sell, redemption) , ............... Buy (addl) Buy (addl) Buy [addl) Buy (addl) Buy [addl) Buy (addl) Buy (addl) Buy (add]) Sold Da~e : mr~dd;yy , 05105109 [ 06/03/09 : i Value (J-P) ~ ......... J J ~ .......on) i Gain Identity of D.

......................

............................................. ~ ..... 171. Franklin Templemn Funds US Govt gecutri~ics Set CI A

T~ (eg., div.. rent, , {A-II) [ or inl.) ~ ............. .........

Amount Code I

172. Franklin Templelon Funds US Govt Secutrilics Set CI A 173. Franklin Templeton Funds US Gov~ Secumties Set CI A 174. Franklin Temple~on Funds US Govt Secumties Set CI A Fr~klin Templemn Funds US Govt Secu~rities Set CI A Franklin Templelon Funds US Govt Secutfities Set CI A

07106/09 08/05/09 ! 09/03/09 10/05/09

J J J J

175. 176.

177. Franklin Templeton Funds US Gov~ gecmrities Ser CI A 178. Franklin Templetou Funds US Govt Secutriti~ Set CI A

I I/~,09 12/03/09 12123109

179. Franklin Templeton Funds US Govt Seeutrifies Set CI A 180. Teco Energy lnc X (Not On 2008 Repot) 181. Blackrock Income Tr~s! Inc None None K K T T

, Buy Buy (addl)

12123~09 2/24/09 12/23:09 12i23i09 12/23/09

.I .I 3 K J

182. Blackroek Income Trust Inc. 183. DWS Dreman Value Income Edge Fund lnc New 184. Franklin Investors Sees Tr Adjustable US Gov! Sees Fund J K J T T T

Nuue None

I~uy Buy Buy

185. Gabelli Dividend & Income Fund

None

t 86. Ishares Tin!! Barclays 1-3 Yr Credit Bond Fund ETF 187. H J |leinzCo

Noue None

L J

T T

Bu~ Buy

! 2123/09 12/23/09

L J

FINANCIAL DISCLOSURE REPORT Page 15 of 17

VIl. INVESTMENTS and TRUSTS - i ........

Rwo,~.~ smith, Jr., r,~ila, o. I ~.m, orP .....

al ...........ons Oncludes those 4W ...... d depend .... hildren: seepp. 34-60 of filing instructions.t i

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

Description of Assels [i~luding t~s~ as~e~s) Place "(X)" after each asscl exempl from pfor disclosure Inc~me ~t~ring [ reposing ~ri~d Amoun~ C~c [ (A-H) Gr,~ss value at end ~ of ~cpoaing ~c~iod Value Mc~od [ Co~e3 Type (c ~.. buy, sclI. redemp6on) Transactions during rc~rting ~i~

Type (e g. Value div.. rc~l. C~c 2 orin[) ~ (J-P)

Date ~ Value ~ Gain mm~d&yy ;[ C~}de 2 ~ Code I ~ (JP) ~ (A-H}

ldcnti~y of buye~/scllcr (ifpri~atc

188. H & Q Lit~ Sciences Investors SBI

None

Buy

12123709

189 Eli Lilly & Co 190. 191.

192.

None None None

None

J J J
J

T T T
T

Boy Buy Buy

Buy

12/23,09 12/23/09 12123,09

12/23/09

Statoil A~a Sponsored ADR St .lude Medical Inc

Windstream Corp

193. M & I Marshall & Ilsley Bk Milwaukee Wis CiD FD1C DUE 2/26/2 194. United Western Bk Denve~ Co CiD FDIC Ins to Li~nits Due 6/30/ 195.
196.

None A lmerest

K K

T T

Bny Buy

03/09/09 K 06;30/09 K

P3 =$25.0t~0,(X)1 - $50,000,090

P~ =Mot.: than

Name of Person Reporting

Date of Report

FINANCIALpage l 6 of 17 DISCLOSURE REPORT

Smith, at.,

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 1 7 of 1 7

Sn, ith, Jr.,

Milan D.

05/14/2010

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

NOIE: ANY INDIVIDUAL WIIO KNOWINGLY AND WILF AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

PORT MAY BE SUBJECT TO CIVIl.

FILING INSTRUCTIONS Mail sigqed 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