norman r smith financial disclosure report for 2010

8/3/2019 Norman R Smith Financial Disclosure Report for 2010

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AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

I . P e r s o n Reporting (last name, first , middle init ial)S mi t h , N or man R .

4 . T i t l e ( A r t i c l e I I I ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part-time)Cir cui t Judge - Act ive

7. Chambers or Off ice A d d r e s sg0 1 Eas t S h e r manPocatel lo, Idaho 83201

2. Cour t or O rganiza t ionU ni t ed S t a t e s C our t o f A ppea l s f o r t h e N i n t h C i r cu i t

3. Date of Report04/22/20

5a . Report Type (check appropria te type )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Repon8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f ic a t i o n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c ewith appl icable laws a n d r e g u l a t io n s .

6. Reporting Period01/01/2010

to12/31/2010

R e v i e w i n g O f f i c e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of fitlng instructions.)[~ N O N E (No reportable positions.)

POSITION1. A djunc t Facu l ty Member2. Mem ber o f Co l lege o f Bus iness Adviso r y Boar d3. Mem ber o f D epar tmen t o f Par a legal S tud ies Adviso r y Boar d

4. Emer i tus Mem ber o f Co l lege o f Law Adviso r y Counc i l5. Mem ber o f P lann ing Comm it tee6. Mem ber of Board of D i rec tors7. Member o f Ex ecut ive Commit tee

N A M E O F O R G A N I Z A T I O N / E N T I T YIdaho State University College of BusinessIdaho State Univers i tyIdaho State Univers i ty

Univer s i ty o f Idaho Co l lege o f LawIdaho State Tax Ins t i tuteA ppe l l a t e Judges Educa t ion I ns t i t u teAppel la te Judges Conf er ence o f the Amer ican Bar Assoc ia t ion

I I . A G R E E M E N T S . (Reporting ind iv idual only; see pp . 14-16 o f f i l ing instruct ions . )

D NONE(No reportable agreements.)D A T E1. 1995 State of Idaho Retirement, no control2.3.

P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPOR TPage 2 of 6

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 , N o r m a n I L

D a t e o f R e p o r t04/22/2011

I II . N O N - I N V E S T M E N T I N C O M E . tR o ~ o ~ , g i,d l ,l d u ol u.dspouse: s ,epp, tT-:~ of~l l , g ins ,~u ,~ion .)A. Filcrs Non-Investm ent Incom eD NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE I N C O M E(yours , not spouses)1.2010 Idaho State University, wages $20,000.002 .2010 State of Idaho, retirement $54,872.883.4.

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 marr led d ur ing any p o r t io n o f the reporting year, complete th is sec t ion .(Dol lar amount not re quire d e xce pt for honoraria . )[~ N O N E (No reportable non-investment income.)

DATE1. 20102.3.4.

SOURCE AND TYPEPubl ic Employees R et i r emen t Sys tem, r e t ir emen t

IV . R E I M B U R S E M E N T S - transportation, lodging, food, enter tainmenL( I n c l u 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 i li n g i n s t r u c ti o n s . )

D NONE (No reportable reimbursements.)

SOURCE D A T E S LOCATION P U R P O S E ITEMS PAID OR PROVIDEDSouthern Methodis t J a n u a r y I 0 - 1 3 , 2 0 1 0 D a l l a s , T e x a sUniversi ty Planning of AppellateJudges Educat ional

I ns t it u t e Sum mi tTr anspor ta t ion , meals , lodg ing

2. Appel la te Judges Conf er ence Februa ry 5 -8 , 20 1 0 O rlando , F lo r ida E xe c u tive C o m mittee T r ansp or ta tion , m ea ls, lo dg in gof the Amer ican Bar Meet ingAssociat ion3. Univers i ty of Idaho October 29 -31 ,2010 Mos cow , I dah o Moot Co ur t compe t i t ion for Tr anspor ta t ion , meals , lodg ingl aw s ch ool4.5.


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 6

Name of Person R epor t ingS m i t h , N o r m a n R .

D a t e o f R e p o r ~04/22/201 I

V . G I F T S . an c lu d ~ t h o s e t o s p o , ~ e a n d dependent children; see p p . 2 8 - 3 1 of fillng instructions.)N O N E ( N o reportable gifts.)

SOUR CE D ESC R IP T IO NI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 of fillng instruction~)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 6

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

D a t e o f R e p o r t04/22/201 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 ,c o m e . ~ l~ , , r o ~ o ,~ i o ,~ a n c t ~ , ~ ~ h o s e o / s p o ~ e ~ , d , te p e n d e n t children; s e e p p . 3 4 - 6 0 of filing instructions.)NONE (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Transac t ions du r ing re l~r t ing pe r iod( i nc l uding t r us 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 te x e m p t f r o m p r i o r d i s c l o s u r e

Income d u r i n g G r o s s v a l u e a t endr e por t i ng pe r iod of repor t ing pe r iod

(i) (2) (i) (2) (i ) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . . V alu e V a lu e T y p e ( e . g . , D a t e V a l u e Ga in Iden t i ty o fC o d e I div. , r en t , C o d e 2 M eth o d b u y , s e ll , m m / d d / y y C o d e 2 C o d e I buye r / s e l l e r( A - H ) or i nt . ) ( J - P ) C o d e 3 red e m p tio n ) ( J - P ) (A - H) (if p r iv a te

( Q - W ) t r a ns a c t i on)

1. Key B ank Checking Account A I n t e r e s t K T2. Gen worth Life and Annuity Insuranc e Co. D I n t e r e s t M T(annuity contract)3. SEI-US Employees Credit Union (accoun t) C I n t e r e s t M T

4. PERSI Choice 401(k ) Plan A I n t e r e s t J T

5~ Principal Life Insurance o Universal Life None J TPolicy6. Principal Life Insurance - Universal Life None K TPolicy7. Egbert Trust None P 1 W

8.

1 0 .I1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

I. Income Gain Codes: A = $1,000 or less B = $1,0O l - $2,5 00 C = $2,501 - $5 .000 D =$5,001 - $15,000(See Columns B1 and D4) F = $5 0,001 - $10~,000 G =$100.001 - $1,000.000 I II = $1 .0 ~0 ,0 01 - $ 5. 00 0. 00 0 t l2 = M or e th an $ 5, 00 0. 00 0

2. Value Codes J =$15.000 or less K = $15 ,001 - $50.000 L = $50.001 - $100.000 M = $100.001 - $250.000(S ee C o lu mn s C I an d D 3) N =$250.001 - $500,000 O =$5 00.001 - $1,000.000 P I =$ 1 .0 00 ,0 01 - $5 .0 00 ,0 00 P 2 = $ 5. 00 0. 00 1 - $ 25 ,0 00 .0 00

P3 =$25,000.001 - $50.0~0.000 P4 =M ~e than $50.000.0003. Value Method Codes Q = Appraisal R =Cost (R eal Es~ate Only) S = Assessmcr~! T =C ash Marke t(S ee C o lu mn C 2) U = 1 3 x ~ o k V a l u e V -~3ther W =Estimaled

E =$15.001 - $ 5 0 . 0 0 0


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FINANCIALDISCLOSURE REPORTP a g e 5 o f 6

Name of Person ReportingS m i t h , No r m a n I L

Date of Report04122/2011

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. ~tnaicatepanolreport)None


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Name of Person R epor t ingS m i t h , N o r m a n R .

D a t e o f R e p o r ~04/22/201 I

IX . CERTIFICATION.I c e r t i fy tha t a l l i n fo rma t ion g iv e n a b ov e ( inc lud ing in fo rma t ion pe r t a in ing to my s pous e a nd minor o r de pe nde n t c h i ld re n , i f a ny ) i sa c c u r a t e , t ru 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 h h 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 ta t u t o r yprov i s ions pe rmi t t ing non- d i s c los u re .I f u r t h e r c e r ti f y t h a t e a rn 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 i a 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 i c h h a v e b e e n r e p o r t e d a r e i nc om pl ia nc e w i th the p rov i s ions o f 5 U . S . C . a pp . 5 01 e t . se q . , 5 U . S . C . 7 3 5 3 , a nd Jud i c i a l C onfe re nc e re gu la t ions .

Signatu re: S] Norm an R. Smith

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 W I L FU L L Y F A L S I F IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J EC 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 DisclosureAdministrative Office of the United States CourtsS u i te 2 - 3 0 1One Columbus Circle, N.E.W ashington, D.C. 20544


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.40 I0Rev. 1/2011 I FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i ti a l )Smi th , No rman R .

4 . T i t l e (A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part-t ime)Circui t Judge - Act ive

7 . C h a m b e r s o r O f f i ce A d d r e s s801 Eas t ShermanPocatel lo , Idaho 83201

2 . C o u r t o r O r g a n i z a ti o nUn i ted S ta t e s Co ur t o f A ppe a l s fo r th e Nin th Ci rcu i t

3 . D a t e o f R e p o r t06/29/2011

5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e in f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e

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 io n s .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

R e v i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~ l Complete all parts,checking the NONE box for each part where you have no rep ortable information. Sign on last pag~

I. P O S I T I O N S . e R e ~ , o r a ,, g l .d i v i a , a t o ~ ; s e , p p . 9 - 1 3 of filing instructions.)D (No reportable positions.)O N E

P O S I T I O N1. A djun c t Facu l ty Mem ber2. Mem ber o f Co l lege o f Bus ines s Advisory Boa rd3. Mem ber o f Depa r tment o f Pa ra lega l Studies Advisory Boa rd

4. Emer i tus Mem ber o f Co l lege o f Law Advisory Counc i l5. Mem ber o f P lann ing Commit tee6. Mem ber o f Bo ard o f D i rec to rs7. M e m b e r o f E x e c u t i v e C o m m i t t e e

NAME OF ORGANIZATION/ENTITYI daho Sta te Univer s i ty Co l lege o f Bus ines sIdah o S ta t e Un ive rs i tyIdah o S ta t e Un ive rs i ty

Univer s i ty o f I daho Col lege o f LawIdaho State Tax Ins ti tuteA ppe l la t e Judg e s Edu ca t io n In s ti t u t eAppe l la te Judges Confer ence o f the Amer ican Ba r Assoc ia t ion

D A T EI . 1995 Sta te o f I daho Re t i rement , no c on t ro l2.

3.

PARTIES AND TERMS


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N a m e o f P e r s o n R e p o r t in gS m i t h , N o r m a n R .

D a t e o f R e p o r t06/29/2011

I II . N O N - IN V E S T M E N T I N C O M E . tRo~,~i.g i.di,idaal a.dspo,~e; seep~A. Fliers Non-Investment Income

~ (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I . 2 010 Id ah o S ta te U n ive rs ity , w ag e s $20,000.002 . 2 0 1 0 Sta te o f Idah o , re t i remen t $54,872.883.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - tf yoa were married daring any portion of the reporting year, complete this section.(Dol lar amount not requ ired except for honoraria . )

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

1. 20102.

3.

4.

SOURCE AND TYPEPubl i c Emplo ye e s Re t i remen t Sys t em, re t iremen t

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.( Includes those to spouse and dependent chi ldren; see pp. 25-27 o f f i l ing instruct ions. )

D (No reportable reimbursements.)ONES O U R C E D A T E ~ S L O C AT I O N PURPOSE ITEMS PAID OR PROVIDED

Southern Methodis t J a n u a r y 1 0 - 1 3 , 2 0 1 0 D a l l a s , T ex a sUniversi ty P lan n in g o f A ppe l la t eJ u d g e s E d u c a t i o n alIn s t it u t e Summ i t

Transpor ta tion , mea ls , lod ging

2. A p p e l l a t e J u d g e s C o n f e r e nc e F e b r u a r y 5 - 8 , 2 0 1 0 O rland o , F lo rid a E xe c u tive C om mitte e T ransp ortation , m eals , lo d g ingo f the A m e ric an B ar M ee tin gAssociation3. U nive rs ity o f Id aho O cto be r 29 -31 , 2 010 M oscow , Id aho M oo t C o u rt c om p e tition for Transpor ta tion , mea ls , lod gingl aw s ch o o l4.5.


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Name of Person Rep or t ingS m i t h , N o r m a n I L

Date o f Repor t06/29/201 I

V . G I F T S . a n c ~ u d ~ t h o s e 1 o s ~ , o ,~ e a n d d e p e n d c n ~ chi ldren; see pp. 2 8 - 3 1 of filing instructions.)N O N E (No repo rtable gifts.)

S O U R C E DESCR I PTI O NI.

2.3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n c i ,, d e s , h o s e o / s p o ~ e , ~ n d , ~ e p e . d e . t children; see p lx 3 2 - 3 3 of filing instruction&)N ON E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


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

Date of Report06/29/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i, eo,~e, ,,o~,,,, t,o,~oaio~ a n d u d , t h o s e o f s p o u s e a n d dependt n l ch i ldren; s e e p p . 3 4 - 6 0 of f i l ing instruct ions. )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s T r a n s a c t io 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 te x e m p t f ro 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 v a l u e a t e n dr e p o r t i n g p e r i o d o f r e po rt i n g p e r i o d(1) (2) (1) (2) (1) (2) (3) (4) (5 )

A m o u n t T y p ~ ( e . g . , V a l u e V a lu e T y p e (e .g ., Dat e V a l u e Gain Identity ofC o d e I div . , r en t , C o d e 2 M e th o d b u y , s e ll , mm!dd~ C o d e 2 C o d e I b u y e r ! s e l l e r( A - H ) or in t . ) ( J - P ) C o d e 3 r e d e m p tio n ) ( J - P ) ( A - H ) ( i f p r iva te( Q - W ) t r a n s a c t i o n )

I. Key Bank Checking Account A I n t e r e s t K T

2. Genw orth Life and Annuity Insurance Co. D I n t e r e s t M T(annuity contract)3. SEI-US Employees Credit Union (accou nt) C I n t e r e s t M T

4. PERSI Choice 401(k) Plan A I n t e r e s t J T5. Principal Life Insurance - Universal Life None J TPolicy6. Principal Life Insu rance - Univers al Life None K TPolicy7. Egbert Trust (X) None PI W

8. Real Estate - Layton, Utah

9.

1 0 .1 1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

I. Income Gain Codes: A = $1,000 or les s B = $1,001 - $2 .500 C = $2.501 - $5 ,000 D =$5.001 - $15,0~0( S ee Co l u mns BI and I )4 ) F = $50,001 - $100,000 G = $100.001 - $1.000,000 III =$1.000,001 - $5.000.000 112 =More Ihan $5.000.000

2 . V a l ue Code s J =$15 .000 ~ l e s s K = $ 1 5 . 1 ) 0 1 - $ 5 0 . 0 0 0 L =$50.001 - $100.000 M =$100.001 - $250.000( S ~ e Co l u mns CI and D 3 ) N = $250.001 - $500.000 O = $500.001 - $1.000.000 PI = $1.000,0~1 - $5,0~1,000 P2 =$5.0(~.001 - $25.0~0.0OO

P3 =$25J~0.001 - $50,000.0~0 P4 =M ore than $50.000.0~03. V a lue Me thod Cod e s Q = Appra i sa l R ~Cos! (Real Estate Only) S = Asse s sm e nt T = Ca sh Ma rk c ~( S ee Co l u mn C2 ) U -Book Va l u e V =Othe r W = E s l im a te d

E =$15.001 - $50.000


11/12



Date of Report06 /29 /201 I

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (Indicate part of repor~)No n e


12/12



Date of Report06/29/201 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 io 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 sa c c u r a t e , t ru 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 h h e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r yp r o v i s io n s p e r m i t t in g n o n - d i s c l o s u r e .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 i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i ncompl iance with the p rov is ions of 5 U.S .C. app . 501 e t . seq . , 5 U.S .C. 7353, and Jud ic ia l Conference r egu l a t ions .

Signature: S] Norman R. Smith

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 W I L F U L L Y F A L S I F IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I VI LA 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 . 10 4 )

C o m mi t t e e o n F i n a n c i a l D i s c l o s u r eAd min i s t ra t ive O f f i ce o f the Uni t ed S ta t e s Cour t sSu i t e 2-301O n e C o l u m bu s C i r c l e , N .E .W a s h i n g to n , D . C . 2 054 4

norman r smith financial disclosure report for 2010

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