A010

FINANCIAL DISCLOSURE REPORT ]

FOR CALENDAR YEAR 2009
2. Court or Organization U.S.D.C. MO, Western District 5a. Report Type (check appropriate type) [] Notuination, [] Initial Date ~Fif] Annual [] Final

Report Required by the EthiCSi

(5 U.S.C. app. ~" 101-111)
3. Date of Report 4/13/2010 6. Reporting Period 01/01/2009 to 12/31/2009 Government ,Act of 1978

1/2010

1. Person Reporting (last name, first, tuiddle initial) Smith, Ortfie D. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or parl-titue) District Court Judge (Active)

7. Chambers or Office Address Room 8552 U.S. Couthouse 400 East 9th Street Kansas City, MO 64106

5b. [] AmendedRep~rt 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed Complete all parts, checking the NONE box for each part where you have no reportable informatiot~ Sign on last pag~

I. POSITIONS. eRepor~.g i, aiv~ o,~y: s,, pp. 9-I ~ o/:ai,g instructions.)

NONE (No reportablepositions.) POSITION 1. Director 2. Director

NAME OF ORGANIZATION/ENTITY YMCA of the Rockies Lawyers Encouraging Academic Performance (LEAP)

II. AGREEMENTS. (Reporting individual only; s~epp. 14-16 offding instructions.)

NONE (No reportable agreements..) DATE PARTIES AND TERMS ""

"

~i.-" "~ ." :.~.

"

Smith, Ortrie D.

Name of Person Reporting

Date of Report

PageFINANCIAL2 of 7 DISCLOSURE REPORT

Smith, Orrrie D.

4/I 3~2010

IlL NON-INVESTMENT INCOME. tRepo~-g individual and spouse; see pp. 17-24 of.l-cling itt~lructions.)
A. Filers Non-Investment Income NONE (~Vo reportable non-investment income.) DATE
1. 2. 3. 4.

SOURCE AND TYPE

INCOME
(yours, not spouses)

B. Spouses Non-lnvestment Income - If you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

~]

NONE (No reportable non-inveslment income.)

DATE
1. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS (Includes those to spouse and dependent children," see pp. 25-27 of filing" iratructions.)

NONE (No reportable reimbursements.)

SOURCE
1. 2. 3. 4. 5.

DATE~

LO~ATION

PURPOSE

ITEMS PAID OR PROVIDED

FIN?dqCIAL DISCLOSURE REPORT Page 3 of 7

Date of Report Smith, Orrrie D, J Name of Person Reporting 4113/2010

V. GIFTS. a,~tua,~ those to spouse and dependent children; see pp. 28-31 of ]cling instructions.)
NONE (No reportable girls.) ~
t. 2. 3. 4. 5.

DESCRIPTION

VI. LIABILITIES. anti,des t~o~e o~ ..... d d, re~de~t ~a~e~: *ee ~,,. ~-Z~ o~ ~,.~>
NONE ~o reportable liabilities.)

CREDITOR
I. 2. 3. 4. 5.

DE~CR~ION

VALUE CODE

FINANCIAL DISCLOSURE REPORT

r~,me or Person Reporting

Date of

Page 4 of 7
VII. INVESTMENTS and TRUSTS - i.co,.e, ,~1.o, , .....
[~]

Smith, Ortrie D.

4/13~010

,~o,,s a,,a~aes ,~,os, o.r w ..... a ,~e~,~,,, ~,ua.,,; s,~ vp. z~-~o o.r~,g
D. Transactions during reporting period

NONE (No reportable income, assets, or transactions.) A. B. C. l Description of Assets Income during [ Gross value at end ! i reporting perlod [_ o~ reporting period Place "(X)" afl.er each asset exempt from prior discIosure Amount I Type (e.g., :: diP., rent, [,Code I (A-H) orint.) i Value i Code 2 (J-P) I Value Method Code 3 (Q-W) [ T Type (e.g., buy, sell, redemption)

Date mm/dd!yy

Value : Gain i Code 2 Code I i ] (J-P) (A-H) ~

Identity of buyer/~eHer (if private transaction)

1.

lntel Corp - Corn Stk

Dividend

2.
3.

Microsoft Corp - Corn Stk

New Perspective Fund, Inc.

A
A

Dividend
Dividend

K
K

T
T

4. 5. 6. 7. 8. 9. 10. I1. 12. 13. 14. 15. 16. 17.

Oracle Corp Garmin Ltd. B

None Dividend

K K

T T Buy Sold 02/0~09 09/09!09 11/19109 12/07/091 J J J J B A B

(part)
Sold Sold Ishares MSC! lshams Trust DJ Selected Vanguard 500 Index Fund Cemer Corp. Berkshire Hathaway, CL B Ruz~sell Microcap Index A/F Europacifie Growth A Ishares DJ US Energy Sector Index Fund Ishares TR Russell 2000 Value Index Fund A A A B A A Dividend Dividend Dividend None None Dividend Dividend None Dividend K K K J K K K T T T T T T T Sold (part) K T Sold

(part) (part)

11/24/09

07!14/09

/ 3. Value Mett,od Code~ (See Column C2)

1. Income Gain Codes: (See Columns B l ~.,~d D4) 2 Value Codes ( See Colum~ CI and D3)

~_

A -$1.~ or less F ~$50.001 - $100.000 J =$15.000 or less N =$250.09I - $500000 P3 =$25.o0o.0ol - $50.000.000 Q =Appraisal U ~Book Value

B -$1.001 - $2.50~ G =$100.001 - $1.000.flO0 K -$15.001 - $50.000 0 =$500.001. $1.000.000 R =Cosl (Real Estate Ortty) V ~Olh~r

C ~$2.501 - $5.090 }11 =$1.000.001 - $5.000.000 L *$50.00I - $100.000 PI =S1.000.001 $5.000.000 P4 =More than $50.000.000 S =Assessment W -Estimated

D -$5.0~1 - $I5.000 1-12 =Mor~ than $5.000.00~ M *$I0~.001 - $250.000 P2_ =.~5.000.0~ 1 $25.000.000 T --~Cash Market

E -$ I 5.1)01 - $ 50.000

FINANCIAL DISCLOSURE REPORT

[ 1~" .... f P .....

I

Reporting

Date of Report 4/13/2010

Page 5 of 7
Smith. Ortrie D.

NONE (No reportable income, ~sets. or transactions,) D~ption of A~e~ (including ~t ~e~) Place"(X)"a~=.ch~set exempt from prior disclose ~ Income ~g ~__~ng p~ ]~mo=t] T~(e.g., ICode I I div,, r~ "-H) --or~Q Gro~ value at end of r~ng ~a~ Value Code2 j Value / T)~e(e.g.. buy,~IL ~ Me~od , T~m~o~ du~ng ~mg

Date :~~

Value Code2

Gain Codel

Idmfi~of buyer/seller

18, 19. 20. 21. 22. I 23. 24. 25. 26. 27. 28. 29. 30,

Ish~es S&P Smallcap 600 Value Ba~ Index Ish~esTR R~sell 2000 Index Fund Ishares Trust g&P Smalleap 600 Index Fund American International Group lshares TR S&P Midcap400 Value Barra Index Fund lsh~es Cohen & Steers Realty lshares GS Natural Resources lshares MSCI & Merging M~rkets Ishares Momingstar Ishases TR DJ Basic Mat Index Powershares QQQ Trust Series I McDonalds Corp. BP Amoco PLC ADR

A A A A A B A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K K K J K J K K K K K J K

T T T T T T T T T T T T T Buy Buy 02/0Z,09 1 1/19;09 J K Buy 01/26/09 J

2. Value Codes (See Columns CI and D3)

J -$15,000 or le~s N ~$250,0~1 - $500,000 1"3 =$25,0~o,00 [. $50,000,000

K ~$15,001 - $50,0~ 0 =S500,001 - Sl,~),000

L =$~0,001 - $100,0~ ?t =S 1,000,001 - $5,0~0,000 P4 =More than

M =$I00,001 - $250.000 P2 ~$5,000,001 - S25,000.000

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Smith, Ortrie D.

Date of Report

Page 6 of 7

4/13/2-010 ]

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

AFLAC Corporation: The sale reported in 2008 on 9/12/08 as a Partial Sale ,.,.as a mistake. All remahaing shares were sold on 9/12/08. Since the stock was not held on 12/31/09, it is omitted from this report.

FINANCIAL DISCLOSURE REPORT

r~ame of P .....

Reporting

Date of Report

Page 7 of 7 IX. CERTIFICATION.

Smith, Ortrie D.

4/13/2010

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. l further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq, S U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND W1LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 3rAY BE SUBJECT TO CIVIL AND CRIMINAL S~M~CTIONS (5 U.S.C. app. 104)

FIL/NG INSTRUCTIONS Mail signed 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