Ortrie D Smith Financial Disclosure Report for 2009

8/3/2019 Ortrie D Smith Financial Disclosure Report for 2009

1/7

A010 ]FINANCIAL D ISCLOSURE REPORT Report Required by theGovernmen t ,Ac t o f 19781 / 2 0 1 0 FOR CALENDAR YEAR 2009 ( 5 U . S . C . a p p . ~ " 1 0 1 - 1 1 1 )

1 . P e r s o n Report ing ( las t nam e, f i rs t , tu iddle ini t ia l ) 2. Cou r t o r O r g a n i z a t io n 3 . Da te o f R e p o r tSmith, Or t f i e D. U.S.D.C. MO, Weste rn Dist r ic t 4/13/2010

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 ; 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 ) 6. Report ing Periodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r l - t i t u e ) [ ] N o t u i n a t i o n , D a t e 01 /01 /2009Dis t r ic t Cour t J ud ge (Ac t iv e ) [] Initial ~Fif] A n n u a l [] Final to12/31/2009

5 b. [ ] A m e n d e d R e p ~ r t7 . C h a m b e r s o r O f f i c e A d d r e s s 8 . 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 th is Report and anym 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 is , in m y o p i n i o n , i n c o m p l i a n c eRoom 8552 U.S. Couthouse with appl icable laws and regula t ions .400 Eas t 9th St ree tKans a s Ci t y , MO 64106 Reviewing Office r D a t e

IMPORTANT NOTES: The instruct ions accompanying this form must be fo l lowed Complete al l parts,checking the NONE box for each part where you have no reportable informatiot~ Sign on last pag~

I. P O S I T I O N S . e R e p o r ~ . g i , a iv~ o ,~y: s , , pp . 9-I ~ o / : a i ,g ins truct ions . ) -N O N E (No reportablepositions.)

POSITION NAME OF ORGANIZATION/ENTITY1. Director YMCA of t h e Rocki e s2. Director Lawyer s Encour ag i ng Academ ic Pe r f o rm ance (LEAP)

I I . A G R E E M E N T S . (Repor t ing indiv idual only; s~epp. 14 -16 of fd ing ins t ruc t ions . ) " ~ i . - " "NONE (No reportable agreements..) " " " ~ . " :.~.

DATE PARTIES AND TERMS


2/7

Na me o f P e rs on Re p or t ing D a t e o f R e p o r tPageFINANCIAL2 o f 7 DISC LO SURE REPORT Smith , O r r r i e D . 4 / I 3 ~ 2 0 1 0

I l L N O N - I N V E S T M E N T I N C O M E . tR e p o ~ - g individual a n d s p o u s e ; s e e p p . 17-24 of.l-cling itt~lructions.)A. Filers Non-Investment Income

NONE (~Vo reportable non-investment income.)DATE SOURCE AND TYPE INCOME

(yours, not spouses)

1.

2.

3.

4.

B . S p o u s e s N o n - l n v e s t m e n t I n c o m e - If you were married during anyportion of the reporting year, complete this section.(Dol lar amount no t required except for hono rar ia.)

~] NONE (No reportable non-inveslment income.)D A T E S O U R C E AN D T Y P E

1.

2.

3.

4.

I V . R EI M B U R S E M E N T S -(Includes those to spouse and depende nt children," see pp. 25-27 of filing" iratructions.)

NONE (No reportable reimbursements.)S O U R C E D A T E ~ L O ~ A T I O N P U R P O S E I T E M S P A I D O R PR O V I D E D

1.2.3.

4.

5.


3/7

F I N ?d qC I A L D I S C L O S U R E R EP O R TJ N a m e o f P e r s o n R e p o r t in g

D a t e o f R e p o r tP a g e 3 o f 7 Smi th , Or r r i e D, 4113/2010

V . G I F T S . a,~tua,~ those to spouse and dependent children; see pp. 28-31 of ]cling instructions.)NONE (No reportable girls.)

~ DESCRIPTIONt.2.3.4.5.

V I . L I A B I L I T I E S . a n t i , d es t ~ o ~ e o~ ..... d d, re~de~t ~ a~ e~: *ee ~ , , . ~ -Z ~ o ~ ~ , . ~ >NONE ~o reportable liabilities.)

CREDITOR DE~CR~ION VALUE CODEI.2.3.4.5.


4/7

F I N A N C I AL D I S C L O S U R E R EP O R T r ~ , m e o r P e r s o n R e p o r t i n g D a t e o fPage 4 of 7 Smith, O r t r ie D . 4 / 1 3 ~ 0 1 0

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 , . e , ,~ 1 . o , , . . .. . , ~ o , ,s a , ,a ~ a e s , ~ , o s , o . r w . . .. . a , ~ e ~ , ~ , , , ~ , u a . , ,; s , ~ v p . z ~ - ~ o o . r ~ , g[~] NONE (No reportable income, assets, or transactions.)

A.

B. C. l D.D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g [ G r o s s v a l u e a t e n d ! 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 di r e po r t i ng p e r l od [ _ o ~ r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f l . e r e a c h a s s e t Amount I Type (e .g . , i Va lu e I Va lu e T y p e ( e .g . , D a t e Value : Gain i I d e n t i t y o fe x e m p t f r o m p r i o r d i s c I o s u r e [ C o d e I :: d i P . , r e n t , i C o d e 2 M et h o d buy, sell, m m /d d! y y C o d e 2 Code I i b u y e r / ~ e H 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 ) ~ t r a n s a c t i o n )

1 . l n t e l Corp - Corn Stk A Div idend J T

2. Microsoft Corp - Corn Stk A Dividend K T3. New Perspective Fund, Inc. A D i v i d e n d K T

4. Oracle Corp None K T5. Garmin Ltd . B Div idend K T Bu y 0 2 /0 ~09 J6 . So l d 09/09!09 J B( p a r t )7. So l d 1 1 / 1 9 1 0 9 J A( p a r t )8. So l d 12/07/091 J B( p a r t )9. I sha r e s MSC! B Div idend K T

1 0 . l sh am s Trus t DJ Se l ec ted A Div idend So ld 11/24/09 J AI1 . V angu a r d 50 0 In d ex Fund A Div idend K T1 2 . Cemer Corp . None K T So l d 07!14/09 J A( p a r t )1 3 . Berksh i r e Ha thaw ay , CL B None K T1 4 . Ruz~se l l Microcap Index A Div idend J T1 5 . A/F Europa c i f i e Growth A A Div idend K T1 6 . I sha r e s DJ US Energy Sec t o r I ndex Fun d None K T1 7 . I sha r e s TR Russe l l 2000 Va l ue Ind ex Fund A Div idend K T

1 . I n come Ga in Cod e s : A -$1.~ or less B -$1 .001 - $2 .50~ C ~$2 .501 - $5 .090 D -$5.0~1 - $I5.000 E -$ I 5.1)01 - $ 50.000(See Co lumn s B l ~ . ,~d D4 ) F ~$50.001 - $100 .00 0 G =$1 00 .0 01 - $1 .0 00 .f lO0 }1 1 =$1 .0 00 .0 01 - $5.0 00 .0 00 1 -1 2 =Mo r~ t ha n $5 .0 0 0 . 0 0 ~

2 V a l u e C o d e s J =$15 .000 o r l e s s K -$1 5.0 0 1 - $50 .0 0 0 L *$50 .0 0 I - $1 0 0 .0 0 0 M *$I0 ~ .0 0 1 - $2 50 .0 0 0I ( Se e Co lu m ~ CI a n d D3 ) N =$2 50 .0 9I - $50 00 00 0 = $5 0 0 . 0 0 1 . $ 1 . 0 0 0 . 0 0 0 PI =S1.000 .001 $5 .000 .000 P2_ =.~5.000 .0~ 1 $25.000 .000P3 =$25 .o0o .0o l - $50 .000 .000 P4 =Mo r e t h an $50 . 000 . 000/ 3 . V a lu e M e tt,o d Co d e~ Q =Ap p ra is a l R =Cos l (Real Esta te Ort ty) S =As s es smen t T --~Cash Marke t~_(Se e Co lu m n C2 ) U ~B o o k V a lu e V ~Olh~r W - E st i m a t e d


5/7

FINANCIAL DISCLOSURE REPORT [ 1~" .... f P . . . . . Report ing Date of Repor tP a g e 5 o f 7I Smith. Ortrie D.

4 /13 /2010

~ NONE (No reportable income, ~sets. or transactions,)D ~p t i o n o f A ~e ~ ~ Income ~g Gro~ value at end T~m~o~ du~ng ~mg( i n c l ud i n g ~ t ~e~ ) ~__~ng p~ of r~ng ~a~

Place" (X)"a~= .ch~se t ]~mo=t] T~(e.g., Va lu e j Value / T)~e(e.g.. D a t e Value Gain Idmf i~o fexemp t f rom p r io r d i s c lo s e ICode I I div,, r~ buyer/seller "-H) --or~Q

Code2 ~ Me~od , buy,~IL :~~ Code2 Co d e l

1 8 , I s h ~e s S&P Sm a l l c a p 6 0 0 V a l u e Ba ~ A Div idend K TIndex1 9 . I s h~ e sTR R~ se l l 2 000 I n d e x F u n d A Div idend K T2 0 . I sha r e s Trus t g&P Smal l eap 600 Inde x Fund A Dividend K T2 1 . Amer i c an I n t e r n a t i ona l Group A Dividend J T Bu y 01 /26 / 09 J22 . l sha re s TR S&P Midcap400 Va lue Ba r r a A Div idend K TIndex Fund

I 2 3 . l sh~e s Cohen & Ste e r s Rea l ty B Div idend J T2 4 . l sha re s GS Na tu ra l Re sou rce s A Div idend K T25. l sh a r e s MSCI & Merg i ng M ~rke t s A Div idend K T26 . I sh a r e s M om i ng s t a r A Div idend K T

27. I shase s TR DJ Bas i c Mat I ndex A Div idend K T28 . Power sha r e s QQQ Trus t Se r i e s I A Div idend K T29 . M c Dona l d s C o r p . A Div idend J T Bu y 02/0Z,09 J3 0 , BP Amo co PLC ADR A Div idend K T Bu y 1 1 / 1 9 ; 0 9 K

2 . V a l u e C o d e s J - $ 1 5 , 0 0 0 o r l e ~ s K ~$ 1 5 ,0 0 1 - $ 5 0 , 0 ~ L = $ ~ 0 ,0 0 1 - $ 1 0 0 ,0 ~ M = $ I 0 0 , 0 0 1 - $ 2 5 0 . 0 0 0( S e e C o l u m n s C I a n d D 3 ) N ~ $ 2 5 0 ,0 ~ 1 - $ 5 0 0 , 0 0 0 0 = S 5 0 0 , 0 0 1 - S l ,~ ) , 0 0 0 ? t = S 1 ,0 0 0 ,0 0 1 - $5 ,0 ~ 0 ,0 0 0 P 2 ~$ 5,0 00 ,0 01 - S2 5, 0 00 .0 00 ,1 " 3 = $ 2 5 , 0 ~ o , 0 0 [ . $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e t h an


6/7

N a m e o f P e r s o n R e p o r t i n g ] D a t e o f R e p o r tF I N A N C I AL D I S C L O S U R E R EP O R TSmith, O r t r i e D .age 6 o f 7

]4 / 1 3 / 2 - 0 1 0

V II I. AD D I T I O N A L I N F O R M AT I O N O R E XP L A N AT I O N S .

A F L A C Corpor a t i on : The s a l e r epo r t ed i n 2008 on 9 /12 /08 a s a Pa r t i a l Sa l e , . ,. a s a mi s t ake . Al l r emaha i ng sha r e s we r e so l d on 9 /12 /08 . Si nce t h e s t ock was n o the l d on 1 2 / 31 / 09 , i t i s om i t t e d f r om t h i s r e po r t .


7/7

F I N A N C I AL D I S C L O S U R E R EP O R T r ~ a m e o f P . . . . . R e p o r t i n g D a t e o f R e p o r tPage 7 o f 7 Smith , O r t r ie D . 4 / 1 3 / 2 0 1 0

I X. C E RT I F I C A T I O N .I c e r ti f y t h a t a ll i n f o 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 f o rm a t i o n p e r t a i n i n 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 , if a n y ) i s

a c cu r a t e , t ru e , a n d c o m p l e t e t o t h e be 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 rm a t i o n n o t r e p o r t e d w a s w i t hh e l d be c a u s e i t m e t a p p l i c a bl e s t a t u t o r yp r o v i s i o n s p e rm i t t i n g n o n - d i s c l o s u r e .l 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 ym 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 ch h a v e be e n r e p o r t e d a r e i ncom p l i a nce w i th the p rov i s i on s o f 5 U.S .C. a pp . 501 e t . seq , S U.S .C. 7353 , a nd Jud ic i a l Con fe re nce r e gu l a t i on s .

NOTE: ANY INDIVIDUAL W IIO KNOWINGLY AND W1 LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 3 rAY BE SUBJECT TO CIVILAND CRIMINAL S~M~CTIONS (5 U.S.C. app. 1 04)

FIL/NG INSTRUCTIONSMai l s i g n ed o r i g i n a l a nd 3 a d d i t i o n a l cop i e s to :

Com m i t te e on F i nanc i a l D isc l o su r eAdm ini s t r a t ive Of f ice of the Uni t ed Sta t es Cour t sSui t e 2-301One Colum bus Ci rc le , N.E.Wa shing ton , D.C. 20544

Documents

Ortrie D Smith Financial Disclosure Report for 2009