FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

I. Person Reporting (last name, first, mlddle lnithl) Smith, D. Brook

4. "lltle (Arffde 111 judges lad|rote active or senior status; ma~is~te judges indi=e fidl- o~ paa-fime) Judge-Active Court or Organlz.stion Third Circuit Cou~ of Appeals 5~- Repor~ Type (cheek eppropri~te qpe) Date Nomination, ] [] Initial [] Anmml 5b. [] Xmm~fled Repor~ 7. Chambers or Office Address US Cour~ of Appeals, ate 203 1798 Old Roum 220N Dunca~asvill, PA 16635 8. On ~e bs~ of~e intonation ~n~n~ m~lfl~flo~ peking ~e~to. Jt i~ in my opinJo~ In compU~ ~th ap~l~ble Is~ and
Reviewing Officer

Repo~ Required b~ the EthicJ in Government Ac! of!978 (J U.$.C app. ~ I01-111)

3. Date of R~port 05115/2011 6. Reporting Period 01/01/2010 to 12/31/2010

[] Final

Date

IMPORTANT NOTES: The ~n~tr~aton: accompanying thls form mu~t be followe,I Complete all parL~
checking the NONE box for each part where you have no reportable ~nformation. Sign on laxl pag,-

D NONE (No reportabl~posit~o~.) POSITION

1. 2. Trustee Board of Counselors

NAME OF ORGANIZATION/ENTITY
Mount Aloysh~s College, Crcsson, PA Penn State University - Dickinson School of Law

II. AGREEMENTS. o~,~,o,~s ~,u.~t o,tr; ,,or~ 14.16 of filing instrnetions.) ~ NONE (No reportable agreements.)
DATE PARTIF~ AND TERMS

Smith, D. Brooks

FL-NANCIAL DISCLOSURE REPORT Page 2 of 9

Nsm of Person neporflnZ Smith, D. Brooks

Dst of Re~ort 05/15/201

IIl. NON-INVESTMENT INCOME. ~,~.~ ~.a,.~,,,;,,,p~ J7-2 o/m,,~,,~,~o,~

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

DATF.
1. 2010 2. 3. 4.

SOURCE AND TYPE

(yours, not spouses) The Penmylvania State Unive~ity-Dickinson Law School-Adjunct Professor Spring Sellaestet- S~~ Part VIII $23,578.00

B. Spouses Non-lnvestment Income - If you w~m married during any porrion of the reporting year, complete this
(Dollar amount not required ~c~pt for honoraria)

NONE(No reportable DATE

non-investment income.)

SOURCE AND TYPE

Reliance Bank - Vice President, Business Banker II -Salary

1.2010 2.

IV. REIMBURSEMENTS (Indude~ those to spouse and dependent children; $e pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE DATES_ LOCATION PURPOS.I~

Board of Trustees President Search Committee Moot Court Competition

ITEMS PAID OR PROVIDED

Food and lodging

I. Mount AIoysius College

03/12/2010-03/14-2010 Pittsburgh, PA

2.

University of Virginia School of Law St Johns Unive~ity School of

04/09/2010-04/11/201{I Charlottesville, VA

Travel, food and lodging

3.

04/13/2010-04/14/2011~ Queens, NY

Moot Court Competition

Travel, food and lodging

4.

Petm State University Dickinson School of Law

03/25/2010-03/26f2010 Carlisle, PA

Speaker in CLE Program

Travel, food and lodging

FINANCIAL DISCLOSURE REPORT Page 3 of 9

5. Arizona State University Sandra Day OConnor College of Law University of Pimburgh School of Law Foundation for R~earch on Economics & the Envin3an3ent New York Law School Acad~ny of THai Lawyem

l~ame of Person Reporting Smith, D. Brook~

Date of Report 05/1512011

04/24/2010-04/27/201G Phoenix, AZ

Legal Program

Travel, food and lodging

6.

05105/2010-05106/201G Pittsburgh, PA

Sl~ker in CLE Program

Travel, food and lodging

7.

08/06/2010-08/12/2010 Bozcman, MT

Educ~tiot~ Program

Travel, food and lodging

8. 9.

09/25/2010-09/27/201{~ New York, NY 10/6/2010-10F//2010 Farmington, PA 11/4/2010-11/05/2010 Pittsburgh, PA

Moot Court Competition BarAssociation Meeting SpeakeratLegalgeminar

Travel, food and lodging Travel, food and lodging Travel, fovd and lodging

10. D~aq~esneUnivemityLaw School 11. 12. 13.

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporttag Smith, D. Brooka

Date of Report 05/15/2011

[]

NONE (No reportable gifts.) SOURCE DE$1$p,.IPTION

1. 2. 3.
4.

5.

~]

NONE (No reportabl~ liabilities.) CREDITO~ DESCRIPTION VALUE CODE

1. 2. 3. 4. 5.

FE~ANCIAL DISCLOSURE REPORT Page 5 of 9

Date of Report 05/15/2011

NH. hNVESTMENTS and TttUSTS -~o~. D NONE (No reportable income, a~ets, or transactions.)

I.

Reliance Bank C..e~ificam of Deposit~

A A

Inte~ Divhiend

K J

T T

4. 5. 6.

AST JP Mor~an Stra~glc Oppormnki~s Por~ 1,4 AST Acad~mic Stratog~s Asset Alloc~ion~l M&T Bank (common)~

A A C

Int./Div. Dividend Dividend

L L M

T T T

Sold Sold

06/01/10 K 06/01/10, L

7. 8. 9.

Principal Global Inve~om ~I) Principal A Money Market P~cipal Global Inv~t~rs ~(I) Bond & Mo~gage Principal Real Estate Inv ~(1) Principal US A A A

Int~iv; Int./Div. IntJDiv. lntJDiv.

K 3 K K

T T T T Sold
10/15/10 J

10. Principal Global Investors ~(I) ~ LmgeCap S&P 500 Ind

II. PHncipal.GIobalInvestvrs~(I) Principal A SmallCap Grow~ MidCap Value III

12. ~cip~O~ob~
13. 14. 15. Principal Global Investors/DFA~(1). International SmallCap Northwestern Mutual Lifo Ins(Univm-sal Lifo PoEcies) Relianc~ Bank ~ B Intem~t

K K

T T T T T

D Dividend

M L L

16. Reliance Bank IRA 2 117. Reliance Bank-Chtcking Accoun~

Intexe~t

E-~IS,001. S~00

FINANCIAL DISCLOSURE REPORT Page 6 of 9

VII. INVESTMENTS and TRUSTS --1

Name of Person Reporting Smith, D. Brooks

Dste of Report 05/15/201 ]

NONE (No reportable incom~ assets, or transactions.)

A. B. Income dming rq)or,ing period C. Gross value at eml of reporting period D.

Deseriptio~ of Asv~ts
(mch~ di~g Wast ass~u)

Tran~t~ons dining reportittg lXtiod (I)

TyI~ (e.g., Imy, sell, redempti(m)

(I)
place "(X)" trier each as.~t exempt flora prior df.*dorur~ Amount Cod~ 1 (A-H)

(2)
Type (e.g., div., rent, or iaL)

(I)
Value Code 2 (J-10

(2)
Vah~ Mt~hod Code 3

(2) (3)
mm/dd/yyDate Vtlue Code 2 (I-P)

(4)
Ga{n Code I (A-H)

(5)
Identity of buyettsdlc~ (if private

(q-v0
18. 19. 20. 21. 22. 23. 24. 25. 26. Reliance Bank-Checking Accoun~ Reliance Bank-Checkitag Accourk~.~- (X)(3) Schroeders Multi Asset Wortd St~ AST CLS Moderate Asset Allocati~l) AIIianceBemstein/CCI/~rown, SmallCap A A A A A Intere~ Interest InL/Div. Int./Div. Iat./Div. J K K L J T T T T T Buy Buy Buy 06/01/10 06/01/10 10/I 5/10 K L J

G,o,~h ~I)

27.
28.

29.
30.

31. 132.
33.

34.

1. I~come G~itx Codes: (Sic Cohmm$ BI aM D4) 2. Value Codes (See Colman$ Cl lad D3)

A =$L000 or le~ F-$50,001 - SIUO,C00 J "SI 5,000 or I~s~ N =$250,flfl I - $500,000 1"3 ",~25.000.~01 - 550.000.000 U =Boak V~h~.

B =SI,001. $2,500 G =$10O,001 - $1,000,000 K =S I 5.001 * $50,000 0 -$500,001 - $ 1,000,000

C -$2.501 - SS,0flO HI -$ 1,000,0O I - .~5,0C 0,000 L -$50,0a I $100,000 PI =S 1,000,001 - $5,0 O0,00~ N -More tha~ $50,000,000 w =Estimated

D =t 5,001 - SI 5,000 H2 -More ~an SS,O00,OOO M -$10(L00I - $250,000 P2 =$5,000,001 "$25,000,000

E -515,001

(S* Cohmm C2)

v =Otl~

FINANCLAL DISCLOSURE REPORT Page 7 of 9

Date of Repert Smilh, D. Brook~ 05115/2011

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

35. 36. 37.

:39.

41.

42.

=*$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting Smith, D. Brook~

Date of Report 05115/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Pan IIIA: Represents services from 01111/2010 through 04/26/2010 Part VII." 1) Held in. ~ _ ~,~"~R~. elianc~ Bank 401(k) 2) Self directed IRA 3) Reliance Bank-Checklng Accoun~~. a~et inadvertantly admitted fi~om primyear report 4) AST UBS Dynamic Alpha changed names to AST JP Morgan Strategic Opp~rtmfitfes Port on 3/10/2010

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Person Repor~g Smith, D. Brooks

Date of Repor~ 05/15/2011

! certify that all information given above (including information pertaining to my spouse and minor or dependent children, If any) is accurate, trne, and complete h) the best of my knowledge and belief, and that any information not reported was withheld because It met applicable statutory provisions permitting non-dJsdo~ne. I further certify that ~rncd income from outside employment and honoraria ~nd 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, end Judicial Conference reg~laflous.

Signature

NOTE: ANY I~DIVIDUAL WHO KNOWINGLY AND WILFULLY FALSH~IES OR FAILS TO FILE THIS REPORT MAY BE SUB.rECT 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