Lisa Margaret Smith

What was filed

145
investments
4
positions
0
gifts
0
agreements
0
debts
0
reimbursements
1
income
1
spouse income

Named parties

Inv't a/c
Inv't ac
Inv't alc
Inv't a'c
Inv'ta'c
of Sufel IRA
of Stufel IRA
of Sutel IRA
of Stifel IRA
of Sttel IRA
of Sutfel IRA
On behalf of Fidelity Investment Accounts
On behalf of New York's College Savings Program
Pace University School of Law for teaching
Wages from Ridgefield Hardware Co., Ridgefield, CT

As filed

Fidelity NY Municipal Money Market Fund — Int/Div

Fidelity IRA (Puritan Fund) — Int/Div

Fidelity IRA (Fidelity Fund) — Int/Div

Fidelity IRA (Cash Reserves) — Int/Div

Webster Bunk, Wilton CT Savings account — Interest

Webster Bank, Wilton CT -- Checking Account — None

Fidelity Growth and Income Fund — Int/Div

Fidelity Dividend Growth Fund — Int/Div

HSBC IRA (T. Rowe Price Dividend Growth Fund) — Int/Div

HSBC, White Plains. NY — None

Cisco Systems Common Stock — Int/Div

Century Link Communications Common Stock — Int/Div

Walt Disney Common Stock — Int/Div

Long Island Power Auth. N.Y. Elec Systems Bonds — None

Nassau Co. N.Y. Indl. Dev. Agency Bonds — None

Municipal Assistance Corp. For City of Trov, N.Y. Bonds — None

Long Island Power Auth. Bonds — None

Stifel Nicolaus IRA money market — Int/Div

Stifel Nicolaus mvestment account money market — Int/Div

Fidelity Custodial Acc't for (cash account) — Interest

Fidelity Custodial Acc't for {cash account) — Interest

General Electric common stock — Int/Div

Citigroup common stock — Int/Div

Phizer common stock — Int/Div

Fidelity Unique Coll. Inv. Plan 2015 — None

Fidelity Unique Coll. Inv. Plan 201% — None

NY College Savgs Prgrm A/C Mod Age Based Option: Conserv Gr — None

NY College Saves Prgrm A/C Mod Age Based Option:Mod Growth — None

Capital One Financial Corp Common Stock — Int/Div

Citadel Broadcasting Corp. common stock — None

Freeport McMorun Copper & Gold, Inc Common Stock — Int/Div

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Sold (part) — Inv't a/c

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't ac

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't alc

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't a/c

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't alc

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't a/c

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't ac

Aim Tax Exempt Van Kampen Intermediate Term Muni Income Fund — Int/Div — Buy (add'l) — Inv't alc

Artisan Funds Mad Cap Value — istmbution — Buy (add'l) — Inv't a/c

Artisan Funds Mid Cap Value — Distribution — Buy (add'l) — Inv't a/c

Artisan Funds Mid Cap Value — Int/Div — Buy (add'l) — Inv't ac

Columbia Funds Marsico Growth Fund — Int/Div — Sold (part) — Inv't a/c

Columbia Funds Marsico Growth Fund — Int/Div — Buy (add'l) — Inv't a/c

Columbia Funds Marsico Growth Fund — Int/Div — Buy (add'l) — Inv't ac

DWS Municipal Trust Strategic High Yield — Int/Div — Sold (part) — Inv't a/c

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a'c

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't alc

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't alc

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Strategic High Yield — Int/Div — Buy (add'l) — Inv't alc

DWS Municipal Trust Managed Municipal Bound Fund — Int/Div — Sold (part) — Inv't a/c

DWS Municipal Trust Managed Municipal Bound Fund — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't alc

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't a/c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv'ta'c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't alc

DWS Municipal Trust Managed Municipal Bond Fund — Distribution — Buy (add'l) — Inv't a/c

DWS Municipal Trust Managed Municipal Bond Fund — Int/Div — Buy (add'l) — Inv't ac

Davis NY Venture — Distribution — Buy (add'l) — Inv't a/c

Davis NY Venture — Int/Div — Buy (add'l) — Inv't a/c

Dodge & Cox Intemational Stock Fund — Int/Div — Buy (add'l) — Inv't a/c

Dodge & Cox International Stock Fund — Int/Div — Buy (add'l) — Inv't ac

Heartland Value Plus Instl C11 — Int/Div — Buy — Inv't a/c

Heartland Value Plus Instl C11 — Distribution — Buy (add'l) — Inv't a/c

Heartland Value Plus Inst] C11 — Int/Div — Buy (add'l) — Inv't a/c

Heartland Value Plus Inst] C11 — istmbution — Buy (add'l) — Inv't a/c

Highmark funds Geneva Mid Cap Gr Fiduciary Class — None — Sold (part) — Inv't a/c

Highmark funds Geneva Mid Cap Gr Fiduciary Class — Distribution — Buy (add'l) — Inv't alc

Keeley Funds Small Cap Value Fund — None — Sold — Inv't alc

MFS Ser Tr Intl Growth — Int/Div — Buy (add'l) — Inv't a/c

MFS Ser Tr Intl Growth — istnbution — Buy (add'l) — Inv't ac

Pioneer Ser Oak Ridge Small Cap Growth Fund — Distribution — Buy (add'l) — Inv't alc

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't ac

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't ac

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't alc

Thomburg Ltd Term Muni Fund — Int/Div — Buy (add'l) — Inv't a/c

Artisan Funds Mid Cap Value — Int/Div — Buy (add'l) — of Sufel IRA

Artisan Funds Mid Cap Value — Distribution — Buy (add'l) — of Sufel IRA

Columbia Funds Ser Trust Marsico Growth Fund Class 7 — Int/Div — Sold (part) — of Stufel IRA

Columbia Funds Ser Trust Marsico Growth Fund Class Z — Int/Div — Buy (add'l) — of Sutel IRA

Columbia Funds Ser Trust Marsico Growth Fund Class 7 — Int/Div — Buy (add'l) — of Sufel IRA

Davis New York Venture Fund Class Y — Int/Div — Buy (add'l) — of Sufel IRA

Davis New York Venture Fund Class Y — Distribution — Buy (add'l) — of Sufel IRA

Davis New York Venture Fund Class Y — Int/Div — Sold (part) — of Sutel IRA

Dodge & Cox Intl Stock Fund — Int/Div — Buy (add'l) — of Stifel IRA

Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Sufel IRA

Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Stufel IRA

Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Stifel IRA

Harbor Fund Bond Fund — Distribution — Buy (add'l) — of Sufel IRA

Harbor Fund Bond Fund — Int/Div — Buy (add'l) — of Stifel IRA

Harbor Fund Bond Fund — Distribution — Buy (add'l) — of Sufel IRA

Heartland Value Plus Inst] C11 — Int/Div — Buy — of Sufel IRA

Heartland Value Plus Inst! C11 — Distribution — Buy (add'l) — of Sufel IRA

Heartland Value Plus Instl C11 — Int/Div — Buy (add'l) — of Stifel IRA

Heartland Value Plus Inst] C11 — Distribution — Buy (add'l) — of Stifel IRA

Highmark funds Geneva Mid Cap Gr Fiduciary Class — None — Sold (part) — of Sufel IRA

Highmark funds Geneva Mid Cap Gr Fiduciary Class — Distribution — Buy (add'l) — of Sufel IRA

Keeley funds Inc Small Cap Value Fund Class A — None — Sold — of Stifel IRA

MFS Ser Tr X Intl Growth Fd C11 — Int/Div — Buy (add'l) — of Sufel IRA

MFS Ser Tr X Int] Growth Fd C11 — Iistnbution — Buy (add'l) — of Stufel IRA

Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA

Pimco Fds Hi YId CLP — Int/Div — Buy (add'l) — of Sttel IRA

Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA

Pimco Fds Hi YId CLP — Int/Div — Buy (add'l) — of Sufel IRA

Pimco Fds Hi YIdCL P — Int/Div — Buy (add'l) — of Sufel IRA

Pimco Fds Hi YIA CLP — Int/Div — Buy (add'l) — of Stifel IRA

Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Stifel IRA

Pimco Fds Hi YId CLP — Int/Div — Buy (add'l) — of Sutel IRA

Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA

Pimco Fads Hi YIA CLP — Int/Div — Buy (add'l) — of Stifel IRA

Pimco Fds Hi YI CLP — Int/Div — Buy (add'l) — of Stifel IRA

Pimco Fds Hi YId CLP — Int/Div — Buy (add'l) — of Sutfel IRA

Pimco Fds Hi YIACL P — Int/Div — Buy (add'l) — of Sufel IRA

Pioneer Ser TR 1 Oak Ridge Small Cap Growth Fund Class A — Iistnbution — Buy (add'l) — of Sufel IRA

Custodian, On behalf of Fidelity Investment Accounts

Custodian, On behalf of New York's College Savings Program

Income — 2012 — Pace University School of Law for teaching — S20.420.00

Spouse's income — 2012 — Wages from Ridgefield Hardware Co., Ridgefield, CT

For Part VII (Investments and Trusts)

Entries 32-44, As a result of space limitations, the full name of the Aim fund is provided here: Aim Invesco Vin Kampen Intermediate Term Municipal Income

CLY.