rebecca b smith financial disclosure report for 2010

8/3/2019 Rebecca B Smith Financial Disclosure Report for 2010

1/15

AO 10Rev. 1/2011"FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Required by the Ethicsin Government Act of 1978(5 U .S.C. app. ,~ 101-111)

I. Person Rep or t ing ( las t name, f i r s t , middle in i t ia l )S m i t h , R ebec c a B .

4. Tit le (Ar t ic le I I I judge~ indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or pan-time)U.S. Dist r ic t Judge (Act ive)

7. Chambers or Off ice AddressUnited Sta tes Dist r ic t Court600 Granby Stree tNorfo lk , Vi rg in i a 23510

2. Court or O r g a n i z a t i o nEastern Dis trict of Virginia

3. Date of R e p o r t05/13/2011

5a. Report T)~e (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final$b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it i~, In my opinion, in compliancew 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 .

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

6 . Repor t ing Per iod01 /01 /20 |0

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 reporta ble informat ion. Sign on iast pag~

I . P 0 S I T I 0 N S . e R e p o r a n g i n d l v l d u a l o n l y ; s e , ~ . 9 - t 3 of fillng instructlons.)[~] N O N E ( N o reportable positions.)

POSITION1. Director2. P ow er of A t tor ney3.

4.5.

NAME OF O R G A N I Z A T I O N / E N T I T YG ene r a l Do u g l a s M ac Ar t hu r F ou nda t i on , N or f o l k , V a~Account #1

I I . A G R E E M E N T S . m , e o r a n g ind iv idual onl y; seepp . 14-16 o f f i ling ins t ruc t ions . )~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/15

FINANCIAL DISCLOSURE REPORTPage 2 o f 15

N a m e o f P e r s o n R e p o r l ln gSmith, Rebecca B.

D a t e o f R e p o r t05/13/201 I

1 1 I . N O N - I N V E S T M E N T I N C O M E . tRepo~ a ,g ind lv ldua l o ,dspo ,~e: seep~ tz -24 o /yr l lng lns~ruc t ion~7A. Filers Non-Investment Income~] NONE non- inves tmen t i ncome . )N o reportable

DATE SOURCE AND TYPE

2.

3.

4.

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 - t /you were ma rried during anyport ion of the report ing year, complete this sec tion.(Dollar a mount not required except for honoraria.)---] N O N E ( N o reportable non-investment income.)

1.20102.3.4.

DATE SOURCE AND TYPE- sa la ry

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 dependen t children; see pp. 25-27 of filing instructions.)[-~ N O N E ( N o reportable reimbursements.)

2.3.4.5.

S O U R C E D A T E S L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED


3/15

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 5

Name o f Pe rson Report ingS m i t h , R e b e c c a B .

D a t e of Repor t05/13/2011

V . G I F T S . ~ n c l u d e ~ those to spouse and d e p e n d e n t children; see pp. 28-31 of filing in~truc~ion~)N O N E (No reporta ble gifts.)

S O U R C E DES C RIPT ION1.2.3.4.5.

VALUE

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

CREDITOR DESCRIPTION1.2.3.

4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t i n gSmith, Rebecca B.

D a t e o f R e p o r t05/13/201 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 a l u e , ~ a , ~ u c , i o ,~ a n a a d , ~ t h o s e o f s p o u s e a n d ~ e ~ , e n d e , t c h i l d r e n ; s e e p p . 3 4 - 6 0 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( including 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 texempt from prior disclosure

Income d u r i n g G ro s s v a lu e 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

(I) (2) (I) (2) (I) (2) (3) (4)A m o u n t T y p e ( e .g ., V a lu e V a lu e Type (e.g., D a t e V a l u e Gain Identi ty ofC o d e I d i v . , r e n t , C o d e 2 M e tho d bu y , se l l , m m / d c k 3 , y C o d e 2 C o d e I buyer / se l l e r( A - H ) or i n t . ) ( J - P ) C od e 3 r e d e m pt i o n ) (J -P ) ( A - H ) ( i f pr iva t e

( Q - W ) t ransact i on )

I. Branch Bank & Trust Co. Bank Account

2. Investment Account # 1 directing ( l ine 3)

3. IRA-Brokerage Account #1 holding (lines4-33)

4. Schwab Govt. Money Fund

5. Hampton Roads Bankshares lnc

6. The Diamon ds Trust

7. Dow Jon es Select Div Index Fund

8. Standard & Poors Midcap 400

9. S & P 500 Grow th Index Fund

1 0 . Tr M SCI EAFE Index Fu nd1 1 . Standard & Poors Latin American 40 IndexF u n d1 2 . Standard & Poors 500 Depository ReceiptsTrust1 3 . A T & T l n c N ew1 4 . Verizon Commun ications

1 5 . IShares M SCI EmrgM kt Fd

1 6 . IShares S & P Smcap Va lue

1 7 . IShares TR Barclays Bond Intermediate

A I n t e r e s t J T

A Int./Div.

NoneNone

None

A lnt./Div.

None

B Int./Div.None

B Int./Div.

A Int./Div.

A Int./Div.

A lnt./Div.

A Int./Div.

A Int./Div.

J

J

M

J

J

K

J

K

TT

S o l d

S o l d

TS o l d

TS o l d

TTTTTT

09/08/1009/08/10

09/08/10

K

J

09/08/10 J D

1. I n c o m e G a i n C o d e s : A -$ 1,00 0 or less B -$ 1,0 01 - $2,500 C =$2,501 - $5.000 D =$5.001 - $15,000(S e e C o lumn s B I and D4) F =$50.001 - $10~.000 G =$ 10 0.0 ~1 - $ 1,0 00 ,0 00 Il l = $1 .0 00 ,0 01 - $5 .0 ~0 ,0 00 112 =More than

2. V a lue C o d es l = $15,000 o r less K = $15.001 - $50 .00~ L = $50,001 - $100,00~ M =$10~,001 - $250.0(~0( See Colu mns CI and D 3 1 N =$250.001 - $500.000 O =$500,001 - $1.000.0O O P I =$1,000 ,001 - $5,000.000 P2 =$5.000.001 - $25,00~.000P3 =$25,000.001 - $50.000,000 P4 =More ihan $50.000.0~03. Value Method Codes Q =Appraisal R = ~o s t ( Rea l E s t a t e On l y) S = Assessm en t T =Cas h Mar k et( See Colu mn C2 ) U =Book Valu e V =Olher W =Estimated

E =$15,001- $50.000


5/15


N a m e o f P e r s o n Report ingS m i t h , R e b e c c a B .

D a t e o f R e p o r t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m , , v , tu e . , ,a ~ a a i o ~ a n c l u d ~ , h o , e o f s m s e a n d d ~ p e n d e n t c h i l d r e n : See p l ~ 3 4 - 6 0 of filing instructiong)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value a t end Transactions during reporting period

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

P l a c e " ( X ) " a f t e r e a c h a s s e t A m ou n t T y p e (e .g . , V a lu e V alue T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fexempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e t h o d buy , se l l , m m !d d/y y C od e 2 C o d e I bu yer/se lle r(A-H) o r i n t . ) ( J - P ) Code 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 8 . ISh ares TR Barc l ays Fu nd A ggrega t e A lnt . /Div. J1 9 . I Sh a r e s Tr C o h e n & S t e e r A In t . /Div . J

20 . S PD R T rus t U n i t Sr I A Int./Div.21 . IShares Barclays Bond (1-3 yr credi t bond) A Int./Div.22 . ISh ares Tru s t (High Yie ld C o rp) A Int./Div.23. Taxab le Bonds :24 . Govt Nat l Mtg. Assn Pool 5/15/20 Medium A Int./Div.Te rm Not e s25 . U.S. TSY Inf l a t i on IndexN ote 1 /15 /10 N o n e2 6 . U S T S Y I n f l a ti o n I n d e x N o t e s 7 - 1 5 - 1 3 A Int . /Div.

J TK T Bu y 08/02/10 KJ T Bu y 03/01/10 J

TR e d e e m e d

T

01/15/10

27 . U.S.T-Note 5 /31 /13 A Int./Div. K T28 . U.S.T-Note 8/15/12 A Int./Div. J T29 . U.S.T-Note 8/15/15 A lnt./Div. J T30 . U.S. T-Note 10/31/1131 . F e d F a rm CR BK 6/8 /1732. Orego n Sch ool Board Bond Du e 6 -30 -1033 . Con oc ophi l li p s 10/15/1634 . Farm VA

A Int./Div.A lnt . /Div.A lnt . /Div.A Int./Div.

None

J

K

J

N

TT

R e d e e m e dTW

06/30/10

I. Incom e G ain C odes: A -$1.0 00 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5.001 - $15.000( See Colu mns BI and EH ) F =$50.001 - $100.000 G =$ 10 0.0 01 - $ 1,0 00 .0 00 tt I = $1,0 00 .0 01 - $ 5.0 00 .0 00 112 =More than $5.000.000

2. Value Codes J =$15.000 ~ less K =$15.001 - $50 .000 L = $50.001 - $100.000 M =$100.001 - $250.000( Scc Colu mn s CI and 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

P3 =$25.00~.001 - $50.000.000 P4 =M~ r e3. Value Method Codes Q =Appraisal R = C o s l ( Rea l E s t a t e On l y) S =Asscssm~mt T = C ~ h M a r k e ~( See Colu mn C2 ) U = B o o k V a l ue V =Other W =Estimated

E =$15,001- $50,000


6/15


N a m e o f Person Report ingS m i t h , R e b e c c a B .

D a t e o f R e p o r t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e . v a l u , . ~ r o = o a i o , ~ andude~ those of spo=se a ml dependent children: see p p . 3 4 - 6 0 o f l r ll n g i n s t r u c a o n ~ )D (No reportable income, assets, orO N E transactions.)

D e s c r i p ti o n o f A s s e L 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 )

Place "(X)" after each assetexempt from prior disclosure

I n c o m e d u r in 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 ~ r i o d o f r e p o r t i n g p e r i o d(I) (2) (1) (2) (I ) (2) (3) (4) ( 5 )A m o u nt T y p e ( e.g ., Value V a l u e 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 t h o d b u y , s e l l, 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 ) 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 ) u a n s a c t i o n )

35 . Inv es tment A ccou nt #2 d i rec t ing ( l i ne 36 )36 . Brokerage Accou n t #2 h old ing ( l i nes 37 -9 1)37 . Schwab Govt Money Fund A Int./Div. K T38. Equi t ies/Stocks:39. A T & T I n c . B Div idend K T4 0. Ace L imi t ed A Div idend J T4 1. Au to D a ta P roces s ing A Div idend J T42 . C isco Sy s tem s Inc. N o ne J T43 . Dell Inc. N o n e4 4 . Do l la rTree I n c. N o n e K T45 . D u P o n t E I D e N e m o u r s & C o . A Div idend J T46 . D uke Ene rgy Corp . A Div idend J T4 7 . E xxon Mob i l C orp . A Div idend K T48 . Genera l E lec t r i c C o. A Div idend K T4 9. Ha m pt on Roa ds Ba nksha re s N o n e J T50 . Hewlet t -Packard Company A Div idend K T51. Honeywel l Internat ional A Div idend K T

Sold 03/01/10 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( See Colu mns BI and IM) F =$50,0~1 . $100.000 G =$100.001 - $1,000.000 Il l =$1.000,001 - $5.000.000 112 =More than $5.000.000

2 . V a l ue C o d es J = $15.000 o r le ss K = $15.001 - $50.000 L = $50.0~1 - $100.000 M =$10~.001 - $250.000( S ce C o l u m r ~ C I a n d D 3 ) N =$250.001 - $500.000 O =$500.0O I - $1,000.000 PI =$1.000.001 - $5.000,000 P2 =$ 5 .0 ~ .0 0 1 -

P3 =$25,00~.001 - $50.0~0.090 P4 =More than $50.000.0(~3 . V a l ue Met h o d C o d es Q =Appraisal R =C ost (R ea l E sta te O nly ) S = Asscssrnen! T =Cas h Mar k et( See Colu mn C2 ) U =Book Valu e V = O ~ c r W =Estimated

E =$15,001 - $50.000


7/15



D a t e o f R e p o r t05/13/2011

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 l ud i ng t rus t asse t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

In co m e d u r in g G ro s s v a lu e at en dr 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

(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 V a lu e T y p e ( e . g ., D a t e V a l u e G a i n I d e m R y ofC o d e I div . , r e nt , C o d e 2 M e tho d buy, se l l , mm/dd~y C o d e 2 C o d e I buyer / se l l e r( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) 0-P) ( A - H ) ( i f pr iva t e( Q - W ) t r a n s a c t i o n )

52. Johnson & Johnson A Dividend

53 . J.P. Mor gan Chase & Co. A Dividend

54. Kraft Foods, Inc. A Dividend

55. Medtro nic Inc. A Dividend

56. Microsoft Corp. A Dividend

57. Pe ps ico In c. A Dividend

58 . Raytheon Comp any A Dividend

59 . S t . J o e C o . None6 0. Ty co In t ern a ti o na l Ltd . A Dividend J T61. Verizon Commun ications A Dividend J T

62. I Share s Trust M SCI Eafe Index Fund None6 3. Ca n ad ia n Na tl Ry Co A Dividend J T64 . Chesapeake Energy Corp A Dividend J T65. H a r r i s C o r p o r a t io n A Div idend J T66. H om e De po t A Dividend J T67. I n t e l C o r p A Dividend J T68 . M a r a th o n O i l C o r p A Dividend J T

K T

J T

K T

J T

K T

K T

J T

Sold 01/28/10 J

Sold 12/16/10 J

I . I ncome Gain C odes : A ~$1,000 or less B =$I,001 - $2,500 C =$2,501 - $5,000 D =$5,001 . $15,000(S e e C o lumn s B I and D4) F = $50 ,001 - $100 ,000 G = $100 ,001 - $1,000,000 It I = $1,000 ,001 - $5.000 ,000 112 =More than $5.000,000

2 . Valu e Codes J = $15.000 o less K = $15,001 - $50 .000 L = $50,001 - $100,000 M =$100.001 - $250.0~0( See Colu mns CI and D 3 ) N =$250,001 - $500.000 O =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25.000.000

P3 =$25,000.001 - $50,000,000 P4 =More than $50,000,0~03 . V a l ue Met h o d C o d es Q =Appcaisal R =Con ( R eal Es t a t e Only ) S = Assc ssm en ! T =Cash Markc~( Sec Colu mn C2 ) U = B o o k V a l ue V - ~ 3 ~ h c l " W =Eslimalcd

E = $15 , 0 0 1- $50 .0 0 0


8/15


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 , R e b e c c a B .

D a l e o f R e p o r l05/13/2011

VII. INVESTMENTS a n d T R U S T S - i n c o , n e , v o t , , e , t r o , ~ o a ~ o ~ ( I n c l u d e s t h o s e o f s p o u s e a nd dependen t chi ldren; s e e p p . 3 4 - 6 0 of filing instruction~ )D (No reportable income, assets, or transactions.)ONE

A. B. C. D.Description of Assets Inco m e du ring G ro ss valu e at en d Transactions during reporting period

(including trust assets) reporting period o f r t p o r t i n g p e r i o d(I) (2) (I) (2) (I ) (2) (3) (4) ( 5 )

Place "(X)" after each asset A m ou n t T y p e (e . g . , V alue V alue T y p e ( e . g . , Dale Value Gain I d e n t i t y o fexempt from prior disclosure C o d e I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m /dd /yy C ode 2 C ode I bu ye r/se ller(A-H) orint.) ( 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 )

69 . P roc tor & Gamb le A Div idend J T7 0. Trav e le r s C ompanies A Div idend J T7 1. Ryde x S GI MG D F ut ure s N o n e K T7 2. Vangu ard Div A pprc i a t ion A Div idend J T73 . Che vron Corpo ra t i on A Div idend J T7 4. Nobl e Corp . A Div idend J T75 . WaI-Mart Stores Inc A Div idend J T76 . SP DR Index Sh ares Fu nd A Div idend K T7 7. T a x E x e m p t B o n d s :78 . A l e x a n d r i a V A 6 / 1 5/ 1 5 A Interest79 . Arl ing tonC nty VA 2 /1 /13 A Interest K T80 . Bri s to l , VA 11 / I /16 A Interest J T81 . Chesterfield Cnty 1/15/14 A Interest J T82 . Fai r fax C nty VA 10 / I /11 A Interest K T83. Middle R iv . Regl . 5 /15 /12 A Interest K T84 . Mont gom e ry C n t y , VA 1/15/11 A Interest K T85. P r ince Wil l iam C ou nty VA C TF P a r tn A Interest J T6/1/15

Bu y 12/14/10 JBu y 12/09/10 JBu y 12/30/10 JBu y 12/16/10 K

Redeemed 06/15/10 J

1. In co m e G ain C o d es : A = $1.0~0 o r le ss B = $11001 - $2,500 C = $2.501 - $5,000 D = $5.001 - $15,000(Se e C olu mn s B I a nd 12 4) F =$ 50 .0 01 - $ 10 0,0 00 G =$100,001 - $1,000.000 H 1 = $ 1, 00 0. 00 1 - $ 5.0 00 .0 00 1 12 = Mo re t ha n $5 .0 0 0.0 0 0

2 . Valu e COd~ J = $ 1 5 . 0 @ ) o r I c ~ ,. s K ~$15,1~1 - $50.00~ L = $50.001 - $100.000 M = $100.001 - $250.0~0{ S~ Colu mns CI and D 3 ) N =$250,001 - $500,0~ O =$ 50 ~.0 01 - $ 1,0 00 .0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 ~0 ,0 00 P2 =$5.000.001 - $25.000,000

P3 =$25,00~,001 - $50.000,000 P4 =More than $50.000.0003 . V a l ue Met h o d C o d es Q =Appraisal R = C o s t ( Rea l E s t a te On l y) S = Assessm en t T =Cas h Mar k et( S e e C o l u m n C 2 ) U ~13cok Value V =Other W = E st i m a t ed

E =$15,0~1 - $50,000


9/15


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

Date of R e p o r t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incon, e, .ol.e, .a~aeno ,,~ a.cl.~ .~ ,ho-- o/spo. , a n d d e p e n d e n t children; see pp. 3 4 - 6 0 of filing instructions.)D (No repor tab le incom e, asse t s , orO N E transact ions .)

Description of Assets Transactions during rqaorting period( includ ing t rust a sse~)

P l a c e " ( X ) " a R 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~

In co m e during G ross valu e a t en dreporting period 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 . , Value V alu e T y p e ( e . g ., D a t e V alu e G a in I d e n t i t y o fC o d e I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m / d d h ~ C o d e 2 C o d e I buyer/seller(A-H) o r i n L ) ( 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 ~ s a c t i o n )

86 . V irg in ia Co l leg e BI . 9 / I/15 A Interest87 . V irg in ia Co l leg e BI . 4 /1 /16 A Interest88 . VA R es Au th Inf ra s t ractu re Rev . P ooled A Interest

Loa n Bond 11/1/1489 . A p p a m a t to x C n t y V a 0 5 / 0 1 /1 4 A Interest90 . Fai r fax C nty Va E C O 05 /15 /17 A Interest91 . V i r g i n i a S t H s g 0 4 / 0 1 /1 3 A Interest92 . Wel l s Fa rgo B Interest93 . ~~,,~ N o n e94 . Rental Property #1, Norfolk, VA E Re n t95 . C.A. Associates , 2%, Norfolk, VA D D i v i d e n d96 . G JF C u rritu ck Beach A sso cia te s, N C N on e97 . IRA - E qu i -Ves t A Interest98 . Defe r red An nu i ty - E qu i t ab le L i fe Ins . C o. A Interest99 . Holly Holdings , Inc. D Interest1 0 0 . IRA -Brokerage Acc t #3 d i rec ting andh old ing ( l i nes 101-132)101 . UBS P ace Money Marke t Inv es tment Fu nd A Int . /Div.102. F i rs t Eag le So g en G lo bal Fun d A Int./Div.

J TK T

K TK T

J T

K T

M T

N WK WJ W

K TK TN T

JJ

TT

B u y 0 4 /0 7 /I0 KBu y 04 /27 /10 J

B u y 02/24 /10 K

Sold 01/01/10 O G B l u e T h u n d e rAcquis i t ion

Open 01/20/10 N

I . I ncome Gain C odes : 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 1 1 = $ 1 .0 0 0. 0 ~ I - $ 5 .0 0 0. 00 0 [ 12 = M o re th a n $ 5 , 00 0 ,0 0 0

2 . Va lue C o d ~ J =$15,0~) o less K =$15,001 - $50.000 L =$50.001 - SI00,000 M =$100.001 - $250,000( S ~ Colu r a i~ CI and D 3 ) N = $250.001 - $500 ,000 O =$500.001 - $1.000 ,000 P I = $1,000.0O I - $5.000.000 P2 =$5.000,001 - $25,000.000

P3 =$25.000.001 - $50,000.000 P4 =More lhan $50.000.0003. Value Method Codes Q ~Appraisal R =C os t ( R eal Es t a te Only ) S =Asscssmcnt T =Cash Markc~( Scc Colu mn C 2 ) U =Book Valu e V = O ~ h c r W - Es t imated

E =$15,001 - $50,000


10/15


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

Date of Repor t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , . a ~ u e , t r a , ~ , * i o ~ , a n d u , ~ , ~ t , o s e o f s p o ~ ~ n , ~ d ~ p ~ n d c n t c * i ~ d .n ; ~ r ~ ~ 4 - 6 0 of f i l ing instructions. )D NONE income, assets, or transactions.)eportableD e s c r i p t io n o f A s s e t s I n c o m e d u r i n g

( i nc l ud i ng t rus t asse t s ) r e t o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t [ 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 is c l o s u r e I C o d e I d i v . , r e n t ,( A - H ) o r i n t . )103 . F ir s t E agle Ov ers eas Fu n d N o n e104 . Royce Micro-C ap Fu nd A Int./Div.105 . Was hington R ea l E s t a t e Inv es tment Fu nd A Int./Div.106 . AFBA 5 Sta r Sc ience & Tech nology Fu nd A Int./Div.107 . Al l i anz NFJ Smal l -C ap Fu nd A Int./Div.108 . Al li anz OC C G rowth Fu nd A Int . /Div.109 . Dryden Financ ia l Se rv ices Fu nd A Int . /Div.1 I0 . E a ton Vance T rad i t i ona l Wor ldwide Hea l th A !nt./Div.Sciences111 . Fede ra t ed P ru den t Bea r Fu nd N o n e1 1 2 . IN G G l o b a l V a l u e C h o i c e F u n d A Int./Div.113 . Iv ) , Smal l C ap V a lu e Fu nd B lnt . /Div.114 . Mat th ews C h ina Fu nd B Int./Div.115 . Nu v een Tradewinds Glob a l B Int./Div.116. Oppe nhe i m e r G l oba l Oppor t un i t i e s Fund C Int./Div.1 1 7 . R y d e x R e t a i l in g F u n d A Int . /Div.118. Ryde x S & P M i dc a p 400 Growt h F und A Int./Div.1 1 9 . Se l i g m a n L a r g e C a p V a l u e F u n d A lnt . /Div.

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)V a l u e Value

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

K T

J T

J TJ TJ TJ T

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

T y p e ( e . g . , D a t e V a l u e G a i n I d e n t i t y o fb u y , s e l l, 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 rr 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 )

Sold 06/23110Sold 06/23/10

AA

Sold 06/23/I 0 .1 ASold 06/23/10 J ASo ld 06 /23/10 J BSold 06/23/10 J B

So l d 06/23/10 J

So l d 06/23/10 J B

Sold 06/23/10 J ASold 06/23/10 J BSo ld 06 /23/10 J B

I . I ncome G ain Codes : A =$1.000 or less 1 : 1 = $ 1 , 0 0 1 - $ 2 . 5 0 0 C =$2.501 - $5.000 D =$5.001 - $15.000( See Colu mns B I and D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G = $100.001 - $ 1.000.000 I 1 1 = $ 1 . 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0 t12 =More than $5.000.000

2. Value Codes J ~$15.000 o r le ss K = $I 5.0O I - $50.000 L = $50.001 - $100.000 M =$100.001 - $250.000( See Colu mns CI and D 3 ) N =$250,001 - $500.000 O =$500,001 - $1,00~.000 P I = $ 1, 00 0 .0 0 1 - $ 5 ,0 0 0, 00 0 P 2 = $ 5. 00 0 .0 0 1 - $ 25 ,0 0 0, 00 0

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ ; 5 0 . 0 0 0 . 0 9 0 P4 =More than $50.000.0003. Value Method Codes Q =Appraisal R = C o s t ( Rea l E s t a t e On l y) S = Assessm en t T =Cas h Mar k et( See Colu mn C2 ) U =Book Valu e V =Other W =Estimated

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


11/15



D a t e o f R e p o r t05/13/2011

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 o m e , v o W . e , , ~ . .~ o . io , ~ ( I n c l u d e s t h o s e of spouse and dependent children; see p J x . 1 4 - 6 0 of filing instruction&)NONE ("No reportable income , a sse ts , or t ransact ions . )

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 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 ~ )

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 lo s u r e

I n co m e d u ri n g G ro 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 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 ., Value 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 od e 2 M e t h o d b u y , s e l l, m m ! d d ? y y C od e 2 C od e I b u y e r / s e l l e r( A - H ) or i n t . ) ( J - P ) C od e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) (i f p r iv a t e( Q - W ) t r a n s a c t i o n )

120 . Nu v een Mu l t i -S t ra t egy Income Fu n d A Int./Div.121 . JP Morgan High b r idge Sta r Marke t Fu nd N o n e122 . Ryde rdSG l Managed Fu tu res Fu nd N o n e123. F i rs t Eag le G o ld Fun d A lnt . /Div.124 . Fede ra t ed C api t a l Income Fu nd B Int./Div.125. J an us Balan ced Fun d A Int./Div.126. Calver t I n co me Fun d A Int . /Div.1 2 7 . F e d e ra t e d G o v e r n m e n t I n c o m e S e e s F u n d N o n e128. Black, rock Global Allocat ion Fund A Int./Div.129 . Iv y As s e t S t ra t egy Fu nd B lnt . /Div.1 3 0 . T a x E x e m p t B o n d s :131. V A S t Pub Sch A uth 8 /I /20 A Interest132. V i rg in ia Beach V a Pub I mp t 7 /15/23 A Interest1 3 3 . Brokerage Accou nt #4 d i rec t ing and h old ing(l ines 134-161)1 3 4 . R e s o u r c e M a n a g e m e n t T a x - F r e e Fu n d , I n c . A Interest135. E qu i t i es /S to cks :136. ISh ares Tru s t Ru s s e l l 1000 Va lu e Index A Div idendFu nd

JJJKJJ

KJ

Sold 06/23/10So ld 06 /23/10So ld 06 /23/10So ld 06 /23/10

TTT Bu y 06/23/10T Bu y 06/23/10T Bu y 06/23/10T Bu y 06/23/10

TT

JJJJ

JKJJ

A

A

I . I ncome Gain C odes : A = $1.000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15.000( See Colu mns BI and D 4 ) F = $50.001 - $100.000 G = $100 ,001 - $1.000.000 III = $1,O D0,001 - $5.000.000 112 =More than $5,000.000

2 . V a l ue C o d es J = $ 1 5 . 0 0 0 o r I c s s K =$I 5.001 - $50,000 L = $ 5 0 . 0 0 1 - $ 1 0 O . 0 O O M =$100.001 - $250.000{ S c C o l u m m C I a n d D 3 ) N =$250.001 - $500.000 O = $500.0O I - $1.000 ,000 P I = $1 ,0 00 .0 01 . $ 5.0 00 ,0 00 P 2 =$ 5.0 00 .0 01 - $ 25 ,0 00 ,0 00

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 ( X 1 . 0 0 0 P4 =More than $50.000,0003 . V a l ue Met h o d C o d es Q =Appraisal R = C o s l ( Rea l E s t a te On l y) S = Assessm en t T =Cas h Mar k et( See Colu mn C2 ) U = B o o k V a l ue V =Othe r W = E st i m a t ed

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


12/15

FINANCIAL DISCLOSURE REPORTPage 12 of 15


D a t e o f R e p o r t05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c om . , ~ . t ~ . , t r a . ~ o a ~ o , ~ a . c tu a ~ ~ h o ~ . o f ~ , o , ,~ e o . a d o e . d e . t c h i t a r e . : s .. r ~ . 3 4 - 6 0 of f i l ing ins truct ions .)N O N E ( N o reportable income, assets, or transactions.)

D e ~ - i p t io n o f A s s e t s I n c o m e d u r in 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 d(i) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T y p e ( e .g .,e x e m p t from p rior disclosure 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 d(t) (2)

V a lu e V a lu eC o d e 2 M e t h o d

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

( I)T y p e ( e . g . ,buy, se 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 i o d(2) (3) (4) (5 )

D a t e Value Gain I d e n t i t y o fm m t & l k y y C ode 2 C od e I bu ye r/se ller

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

137. IS ha re s T rus t R usse l l 1000 G rowt h Inde x A Div idendFu nd138. IShares Trus t DJ U.S. Basic Materials A Div idend

TSo l d 04/27110 J

139 . IShares Tru s t R u s s e l l Midcap Va lu e Fu nd A Div idend140 . ISh ares Tru s t Ru s s e l l Midcap Index Fu nd A Div idend141 . ISh ares MSC I E merg ing Marke t Fu nd N o n e142 . ISh ares MSC ! E AFE Index Fu nd A Div idend1 4 3 . R y d e x E T F T r u s t S & P 5 0 0 A Div idend1 4 4 . V a n g u a r d I n d e x F u n d s A D i vi de nd145. V an g uard ln t l Equ i ty I n d ex Fd A Div idend1 4 6 . V a n g u a r d D i v i d A p p r e c ia t io n E T F A Div idend1 4 7 . ISh ares Ib oxx $ Inv t Gm De C orpo ra t e Bond N o n eFund148 . ISh ares Barcl ays I -3 y r Treas Bond Fu nd A Div idend149 . ISh ares Barcl ays Tips Bond Fu nd A Div idend150 . IShare s B a rclay s M B S Bo n d Fd No n e1 5 1 . S PD R Ba rc la ys Ca p i t a l l n t Te rm Tre a sure A Div idendET F152 . SP DR Barc l ays C api t a l T ips None1 5 3 . S PD R D B l n t l Govt In f l a ti on Pro t e c t e d N o n eBond

J

J

JJKK

KK

SoldT

SoldTT

SoldTTTT

SoldTT

SoldSold

08 /26 / I 0

08/26/10

08/26110

05/25/10

05/25/1005/27/10

KJ

A

A

A

A

I . I ncome Gain C odes : A = $1.000 or less B = $1,0~1 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15.000(See C olum ns B 1 an d D4 ) F =$50.00 i $ 100 ,000 G =$ 100,001 - $ 1.000,000 It I = $ 1.000.001 - $5,0~0,000 H2 = Mo re than $5

2 . V a l ue C o d es J =$15,(300 or less K = $15,001 - $50 .00~ L = $50.001 - $100,000 M = $100.001 - $250.000( See Colu mns CI and D 3 ) N =5250,001 - $500 ,000 O = $500.001 - $1.00~.000 PI =$1.000.001 - $5,000,0~ P2 =$5.000.001 - $25,000.000

P3 =$25.00~.001 - $50,0(~) .000 P4 =More than3 . Valu e Method Cod~ Q =Appraisal R = C o s t ( Rea l E s t a te On l y) S =Asscssmcnt T =Cas h Mar k et( See Colu mn C2 ) U = B o o k V a l ue V =Other W = E st i m a t ed

E =$15,001 - $50,000


13/15




V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a t u e , t r u ~ o ~ o ~ t t n c tu d ~ t h o s e o f s p o u s e u ~ d d e p e ~ d e n , children; see pp. 3 4 - 6 0 o f f i l l n g i n s t r u c t i o n s . )N O N E ( N o 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 Tran saction s du ring ~a ortin g perio d(including trust assets) rep ortin g pe rio d o f rep ottin g p erio d

( I ) ( 2 ) ( I ) ( 2 ) ( I ) (2) (3) (4) (5)Place "(X)" after each asset A m ou n t T y p e (e . g . , V alue V alue T y p e ( e . g . , D a t e Value Gain I d e n t i ~ y o fexempt from prior disclosure C o d e I d i v . , r e n t , Code 2 M e t ho d bu y , se ll, m m /dd/yy C ode 2 C o de I buye r/se ller(A-H) o r i n t . ) ( J - P ) Code 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 )

K T

J T

J T

K T

K T

J T

J T

J T

1 5 4 . S P D R L e h m a n I n t l T r e a s B o n d A Div idend1 5 5 . I S ha r e s S & P G S C I C o m m d i ty I n d A Div idend156 . P owers ha res DB Mu l t i Sec t ion C om mo di ty A Div idend157 . ISh ares Barcl ays 20+ yea r Treas u ry Bd N o n e Bu y 08/26/10 K1 5 8 . S PD R S e r T rus t Nuve e n Ba rc l a ys Ca p S hor t N o n e Bu y 05/28/10 KT e r m B d159 . SP DR Gold Tru s t A Div idend Bu y 04/27/10 J160 . P e rmanent P or t fo l i o Fu nd Inc . A Div idend Bu y 08/26/10 J161 . P imco Al l As s e t s N o n e Bu y 08/26/10 J1 6 2 . Brokerage A ccou nt #5 d i rec ting and h old ing O p e n 04/21/10 L( l ines 163-165)1 6 3 . Henr ico C nty Va E con A u th Res C a re B Interest K T Bu y 05/20/10 K10/1/35164. V i rg in ia Smal l Bus in ess F in g A uth 11/1/21 N o n e K T Bu y 12/01/10 K165 . B B & T Financ ia l Money Marke t A cc t N o n e K T O p e n 12/21/I0 K166. H er i tag e Ban k A cco un t B Interest M T167. ~ Account #1 (line 168)168 . Branch Bank & Tru s t C o. Bank Accou nt A Interest Cl ose d 04 /08 /10 N

I . I ncome Gain C odes : A =$1,000 or less B = $1,001 - $2.500 C = $2,501 - $5,000 D = $5.001 - $15,0 O( See Colu mns BI and D 4 ) F =$50,001 . $100,000 G =$100.001 - $1,000.000 Il l =$1,00,001 - $5.000,000 112 =More than $5.000.000

2. V a lue C o d es J = $15.000 o r le ss K = $15,0O I - $50,0~O L =$50.1)01 - $100,000 M =$10~.001 . $250.0~( S e e C o l u m m C I a n d D 3 ) N =$250.001 - S500.00) O =$500,001 - $1.0~0.000 PI =$1,0~0.001 - $5,000,000 P2 =$5.000,001 - $25.0~.000P3 =$25.0~.001 - $50.000.000 P4 =More than3 . V a l ue Met h o d C o d es Q =Appraisal R ~2" osl (R eal Estate On ly) S = Assessng.~ t T =Cas h Mar k et{ See C olum n C 2) U = 8o ok Va lue V --Other W = E st i m a t ed

E =$15.001 - $50.0~


14/15

FINANCIAL DISCLOSURE REPORTP a g e 1 4 o f 1 5



V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndlcatepartofrepor~)


15/15



Date of Repor t0 5 / 1 3 / 2 0 1 1

IX. CERTIFICATION.

! ce r t i fy t h a t a l l In fo rm 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 fo rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r d e p e n d e n t ch i l d r e n , i f a n y ) i sa ccu ra t e , t r u e , a n d co m p l e t e t o t h e be s t o f m y kn o wl 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 fo rm a t i o n n o t r e p o r t e d ~ v a s wi t h h e l d b e ca u se i t m e t a p p l i ca b l e s ta t u t o ryp 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 ce r t i fy t h a t e a rn e d i n co m e f ro m o u t s i d e e m p l o ym e n t a n d h o n o ra r i a a n d t h e a cce p t a n ce o f g i f t s wh i ch h a v e b e e n r e p o r t e d a r e i nco m p l i a n ce wi th t h e p ro v i s i o n s o f 5 U . S. C . a p p . 501 e t . s e q . , 5 U . S . C . 7353 , a n d J u d i c i a l C o n fe r e n ce r e g u l a t i o n s .

Signatu re: S /Rebecca B . 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 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 JE C T T O C I V I 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 . 1 0 4 )

Committee o n Financial DisclosureAdministra tive Office of the United States Cour tsS u i te 2 - 3 0 1One Colum bus Circle, N.E.W ashin gton, D.C. 20544

rebecca b smith financial disclosure report for 2010

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