Archie Lehman Smith, III

This entire document is a public record. STATE ETHICS COMMISSION 2022 STATEMENT OF ECONOMIC INTEREST NO-CHANGE FORM ELECTRONIC FILING This entire form must be completed to fulfill your ethics filing obligation. Filer’s Name (First, Middle, Last) Prefix First Name Middle Name Last Name Suffix Hon. Archie Lehman Smith III Reason for Filing (Complete all that apply.) Are you a CANDIDATE for elected office? ☒ Yes ☐ No If yes, for what position are you seeking election? (Specify name of office seeking in box below.) Do you currently hold this position? ☒ Yes ☐ No Clerk of Court State Government Job (Specify agency and position.) Board/Commission (List the complete names of all State boards on which you are serving or are being considered.) Judicial Officer (Specify office.) Legislator (Specify House or Senate.) Clerk of Court AFFIRMATION I have carefully reviewed my most recently filed Statement of Economic Interest Long Form and my responses continue to be true, correct, and complete to the best of my knowledge and belief. I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my No Change Form is a public record. I have read and understand the following statutes: N.C.G.S. § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest . . . shall be guilty of a Class 1 misdemeanor and . . . subject to disciplinary action under G.S. 138A-45. N.C.G.S. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest . . . knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I affirm under penalty of perjury that the foregoing is true and correct. Filed Electronically 03/08/2022 Signature Date Archie Lehman Smith III Printed Name Submit signed, original documents only. Do not fax or e-mail this form. This entire document is a public record.

The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 10 STATE ETHICS COMMISSION 2021 STATEMENT OF ECONOMIC INTEREST ELECTRONIC FILING This entire form must be completed to fulfill your ethics filing obligation. Filer’s Name (First, Middle, Last) Prefix First Name Middle Name Last Name Suffix Hon. Archie Lehman Smith III Current Employer Job Title State of NC Judicial Branch Clerk of Court Nature or Type of Business judicial Reason For Filing (Complete all that apply.) State Government Job (Specify agency and position.) Board/Commission (List complete names of all State boards on which you are serving or are being considered.) Judicial Officer (Specify office.) Legislator (Specify House or Senate.) Clerk of Court A. Do other immediate family members reside in your household? ☒ Yes ☐ No On this form, ”immediate family” includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. Minors are children under 18. They are emancipated by marriage, enlistment in the US military, or court order for emancipation. Full names of Adults and Emancipated Minors Relationship Employer Job Title Nature of Business Rebecca Lynn Hymes-Smith Spouse na na na The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 10 B. List only the initials of all unemancipated minors in your household below. A minor is a child under 18 years old. List the full name of each minor child on the Confidential Form at the end. Initials of Unemancipated Minors Relationship Employer Job Title Nature of Business Property Interests 1. As of December 31, 2020, did you or any members of your immediate family: A. have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? ☒ Yes ☐ No Owner of Real Estate % Ownership Interest Location by City Location by County (Self plus Spouse) 100.00% Rougemont Durham (Self plus Spouse) 100.00% Oak Island Brunswick Archie Lehman Smith III (Self) 100.00% Durham Durham Archie Lehman Smith III (Self) 100.00% Rosewood Wayne B. lease or rent real estate or personal property to or from the State of North Carolina with a market value of $10,000 or more? ☐ Yes ☒ No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe 2. At any time during 2019 or 2020, did you or any members of your immediate family sell to or buy from the State of North Carolina personal property worth $10,000 or more? ☐ Yes ☒ No Name of Purchaser Name of Seller Type of Property The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 10 Financial Interests 3. As of December 31, 2020, did you or any members of your immediate family own any of the following financial interests valued at $10,000 or more? List each company individually. A. Stock in a publicly owned company? ☒ Yes ☐ No ►Do not list interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: 1. the fund is publicly traded or its assets are widely diversified; and 2. neither you nor an immediate family member are able to control the underlying assets. Owner of Interest Full Name of Company or ticker symbol Archie Lehman Smith III (Self) Duke Power Cp Archie Lehman Smith III (Self) Chevron Archie Lehman Smith III (Self) Enbridge Archie Lehman Smith III (Self) Royal bank of canada B. Stock options in a company or business? ☐ Yes ☒ No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) C. Interests in a non-publicly owned company or business entity? These include interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations. ☐ Yes ☒ No - If “No,” proceed to question 4. Owner of Interest Name of Company or Business Entity C (1). For each company or business entity identified in question 3.C. (the “Primary Company”), please list the names of any other companies or business entities in which the Primary Company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known C (2). If you know that any entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, briefly describe that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2020, were you or any members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that you created, established, or controlled? Do not list assets held in blind trusts. See 2021 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” https://ethics.nc.gov ☐ Yes ☒ No Name and Address of Trustee Description of the Trust Your Relationship to the Trust The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 10 5. As of December 31, 2020, did you any members of your immediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples include credit card debts, auto loans, student loans, personal loans and intra-family debt. ☐ Yes ☒ No Name of Debtor Type of Creditor (commercial Bank, credit union, individual, etc.) 6. List each source of income (not specific amounts) of more than $5,000 received by you or any members of your immediate family during 2020. Include salary, wages, state/local government retirement income, professional fees, honoraria, interest, dividends, rental income, business income, and other types required to be reported on State and federal tax returns. Please remember to disclose your receipt of salary or wages from any governmental or private entity. Do not include income received from the following sources: ► Capital gains ► Federal government retirement ► Military retirement ► Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income Archie Lehman Smith III (Self) Charles Schwab investment Dividends Archie Lehman Smith III (Self) Loomis Sayles Investment Dividends Archie Lehman Smith III (Self) rental property office space,farming Rental income The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 10 Professional and Civic Relationships 7(a). During 2020, were you or any members of your immediate family a director, officer, governing board member, employee, independent contractor, or registered lobbyist of a nonprofit corporation or organization operating in North Carolina primarily for religious, charitable, scientific, literary, public health and safety, or educational purposes? ☒ Yes ☐ No - If “No,” proceed to question 8. ► Do not list State boards or entities. ► Do not list organizations of which you are a mere member. Name of Person Position Name of Nonprofit Corporation or Organization Nature or Purpose of Organization Archie Lehman Smith III (Self) Director Durham Sports Club educational scholarships 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, briefly describe the nature of that business, if known or with due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business None or Not Known 8. During 2020, were you or any members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? ☐ Yes ☐ No ☒ Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or judicial officer or you are filing as an appointee to one of those offices. ►Do not list organizations of which you are only a member and do not serve in a leadership role. Name of Person Name of Society, Organization, or Advocacy Group Leadership Position (Director, Officer, Board Member) The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 10 9(a). List the name of each business with which you were associated where you or a member of your immediate family was an employee, director, officer, partner, proprietor, or member or manager as of December 31, 2020. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations 9(b). If you know that any entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2020, briefly describe that activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 10. Are you a practicing attorney? ☐ Yes ☐ No ☒ Judicial Officer/State Attorney If “Yes”, check each category of legal representation in which you or the law firm with which you are affiliated has earned legal fees of more than $10,000 during 2020. ☐ Administrative ☐ Admiralty ☐ Corporate ☐ Criminal ☐ Decedent’s Estates ☐ Environmental ☐ Insurance ☐ Labor ☐ Local Government ☐ Real Property ☐ Securities ☐ Tax ☐ Tort litigation (including negligence) ☐ Utilities Regulation ☐ Other category not listed 11. During 2020, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? ☐ Yes ☒ No Type of Business Nature of Services Rendered The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 12. Are you or your employer, or any members of your immediate family, or their employers currently:  licensed by the State board or agency with which you are or will be associated or  regulated by the State board or agency with which you are or will be associated or  in a business relationship with the State board or agency with which you are or will be associated? ☐ Yes ☐ No ☒ Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to one of those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) 13. Have you or a member of your immediate family been registered as a lobbyist or lobbyist principal within the 12 months preceding your filing of this form? ☐ Yes ☒ No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration Other Disclosures 14. During 2020, after you were appointed, employed, or filed or were nominated as a candidate, did you  receive any “gift(s)” exceeding $200 per quarter from a person or group of persons acting together,  when both you and those person(s) were outside North Carolina,  under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, all three conditions must apply ☐ Yes ☒ No ► Do not report gifts given by members of your extended family. ► Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 15. During 2020, after you were appointed, employed, or filed or were nominated as a candidate, did you  accept a “scholarship” exceeding $200 related to your public position from a person or group of persons acting together,  when those person(s) were outside North Carolina? To answer Yes, both conditions must apply A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. ☐ Yes ☐ No ☒ Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. ► Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” ► Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member, participant, or affiliate. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value 16. Have you been appointed or considered for appointment to a covered board by the Governor or another Council of State member? Council of State members are: ► Governor ► Lt. Governor ► Secretary of State ► State Auditor ► State Treasurer ► Superintendent of Public Instruction ► Attorney General ► Commissioner of Agriculture ► Commissioner of Labor ► Commissioner of Insurance ☐ Yes ☒ No If “Yes,” list all contributions you made in 2020 with a cumulative total of more than $1,000 to the Council of State member who appointed you. Do not include contributions from immediate family members. ► Contributions are defined broadly in N.C.G.S. 163-278.6(6) and include “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No Contributions The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 10 17. Are you an appointee or prospective appointee as: a. the head of a principal state department (e.g., cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards:  ABC Commission  Coastal Resources Commission  State Board of Education  State Board of Elections  Division of Employment Security  Environmental Management Commission  Industrial Commission  Human Resources Commission  Rules Review Commission  Board of Transportation  Utilities Commission  Wildlife Resources Commission ☐ Yes ☒ No If “No,” proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that position by a Council of State member? ☐ Yes ☒ No If “No,” proceed to question 18. e. If so, you must indicate whether during 2020 you engaged in any of the following activities with respect to or on behalf of the candidate or campaign committee of the Council of State member who appointed you: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? ☐ Yes ☐ No ii. Hosted a fundraiser at your residence or place of business? ☐ Yes ☐ No iii. Volunteered for campaign-related activities, including phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? ☐ Yes ☐ No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon; or (ii) an order of expungement? ☐ Yes ☒ No Offense Date of Conviction County of Conviction State of Conviction 19. Are you aware of any other information that you believe may assist the Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? ☐ Yes ☒ No If yes, please provide that information below. The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 10 Affirmation The information provided in this Statement of Economic Interest and any attachments are true, complete, and accurate to the best of my knowledge and belief. I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments except for the Confidential Form regarding Unemancipated Children are public records. I have read and understand the following statutes: N.C.G.S. § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest . . . shall be guilty of a Class 1 misdemeanor and subject to disciplinary action under G.S. 138A-45. N.C.G.S. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest . . . knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I affirm under penalty of perjury that the foregoing is true and correct. Filed Electronically 02/24/2021 Signature Date Archie Lehman Smith III Printed Name

The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 10 STATE ETHICS COMMISSION 2020 STATEMENT OF ECONOMIC INTEREST This entire form must be completed to fulfill your ethics filing obligation. ____ Checked for completion ____Scanned ______Date Incomplete Qs ____ ____ ____ ____ Supp. sent date _______ by _____ Supp. received date _________ Entered in database ______ by ______ Filer’s Name (First, Middle, Last) Prefix First Name Middle Name Last Name Suffix Hon. Archie Lehman Smith Current Employer Job Title State of NC Judicial Branch Clerk of Court Nature or Type of Business judicial Reason For Filing (Complete all that apply.) State Government Job (Specify agency and position.) Board/Commission (List complete names of all State boards on which you are serving or are being considered.) Judicial Officer (Specify office.) Legislator (Specify House or Senate.) Clerk of Court A. Do other immediate family members reside in your household? ☒ Yes ☐ No On this form, ”immediate family” includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. Minors are children under 18. They are emancipated by marriage, enlistment in the US military, or court order for emancipation. Full names of Adults and Emancipated Minors Relationship Employer Job Title Nature of Business Rebecca Lynn Hymes-Smith Spouse na na na For Staff Use Only Date Received: The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 10 B. List only the initials of all unemancipated minors in your household below. A minor is a child under 18 years old. List the full name of each minor child on the Confidential Form at the end. Initials of Unemancipated Minors Relationship Employer Job Title Nature of Business Property Interests 1. As of December 31, 2019, did you or any members of your immediate family: A. have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? ☒ Yes ☐ No Owner of Real Estate % Ownership Interest Location by City Location by County (Self plus Spouse) 100.00% Rougemont Durham (Self plus Spouse) 100.00% Oak Island Brunswick Archie Lehman Smith (Self) 100.00% Durham Durham Archie Lehman Smith (Self) 100.00% Rosewood Wayne B. lease or rent real estate or personal property to or from the State of North Carolina with a market value of $10,000 or more? ☐ Yes ☒ No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe 2. At any time during 2018 or 2019, did you or any members of your immediate family sell to or buy from the State of North Carolina personal property worth $10,000 or more? ☐ Yes ☒ No Name of Purchaser Name of Seller Type of Property The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 10 Financial Interests 3. As of December 31, 2019, did you or any members of your immediate family own any of the following financial interests valued at $10,000 or more? List each company individually. A. Stock in a publicly owned company? ☐ Yes ☒ No ►Do not list interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: 1. the fund is publicly traded or its assets are widely diversified; and 2. neither you nor an immediate family member are able to control the underlying assets. Owner of Interest Full Name of Company or ticker symbol B. Stock options in a company or business? ☐ Yes ☒ No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) C. Interests in a non-publicly owned company or business entity? These include interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations. ☐ Yes ☒ No - If “No,” proceed to question 4. Owner of Interest Name of Company or Business Entity C (1). For each company or business entity identified in question 3.C. (the “Primary Company”), please list the names of any other companies or business entities in which the Primary Company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known C (2). If you know that any entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, briefly describe that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2019, were you or any members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that you created, established, or controlled? Do not list assets held in blind trusts. See 2020 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” ☐ Yes ☒ No Name and Address of Trustee Description of the Trust Your Relationship to the Trust The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 10 5. As of December 31, 2019, did you any members of your immediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples include credit card debts, auto loans, student loans, personal loans and intra-family debt. ☐ Yes ☒ No Name of Debtor Type of Creditor (commercial Bank, credit union, individual, etc.) 6. List each source of income (not specific amounts) of more than $5,000 received by you or any members of your immediate family during 2019. Include salary, wages, state/local government retirement income, professional fees, honoraria, interest, dividends, rental income, business income, and other types required to be reported on State and federal tax returns. Please remember to disclose your receipt of salary or wages from any governmental or private entity. Do not include income received from the following sources: ► Capital gains ► Federal government retirement ► Military retirement ► Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income Rebecca Lynn Hymes-Smith (Spouse) Duke University education Salary Archie Lehman Smith (Self) Charles Schwab investment Dividends Archie Lehman Smith (Self) Loomis Sayles Investment Dividends Archie Lehman Smith (Self) rental property office space,farming Rental income The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 10 Professional and Civic Relationships 7(a). During 2019, were you or any members of your immediate family a director, officer, governing board member, employee, independent contractor, or registered lobbyist of a nonprofit corporation or organization operating in North Carolina primarily for religious, charitable, scientific, literary, public health and safety, or educational purposes? ☒ Yes ☐ No - If “No,” proceed to question 8. ► Do not list State boards or entities. ► Do not list organizations of which you are a mere member. Name of Person Position Name of Nonprofit Corporation or Organization Nature or Purpose of Organization Archie Lehman Smith (Self) Director Durham Sports Club educational scholarships 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, briefly describe the nature of that business, if known or with due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business None or Not Known 8. During 2019, were you or any members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? ☐ Yes ☐ No ☒ Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or judicial officer or you are filing as an appointee to one of those offices. ►Do not list organizations of which you are only a member and do not serve in a leadership role. Name of Person Name of Society, Organization, or Advocacy Group Leadership Position (Director, Officer, Board Member) The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 10 9(a). List the name of each business with which you were associated where you or a member of your immediate family was an employee, director, officer, partner, proprietor, or member or manager as of December 31, 2019. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations 9(b). If you know that any entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2019, briefly describe that activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 10. Are you a practicing attorney? ☐ Yes ☐ No ☒ Judicial Officer/State Attorney If “Yes”, check each category of legal representation in which you or the law firm with which you are affiliated has earned legal fees of more than $10,000 during 2019. ☐ Administrative ☐ Admiralty ☐ Corporate ☐ Criminal ☐ Decedent’s Estates ☐ Environmental ☐ Insurance ☐ Labor ☐ Local Government ☐ Real Property ☐ Securities ☐ Tax ☐ Tort litigation (including negligence) ☐ Utilities Regulation ☐ Other category not listed 11. During 2019, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? ☐ Yes ☒ No Type of Business Nature of Services Rendered The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 12. Are you or your employer, or any members of your immediate family, or their employers currently:  licensed by the State board or agency with which you are or will be associated or  regulated by the State board or agency with which you are or will be associated or  in a business relationship with the State board or agency with which you are or will be associated? ☐ Yes ☐ No ☒ Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to one of those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) 13. Have you or a member of your immediate family been registered as a lobbyist or lobbyist principal within the 12 months preceding your filing of this form? ☐ Yes ☒ No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration Other Disclosures 14. During 2019, after you were appointed, employed, or filed or were nominated as a candidate, did you  receive any “gift(s)” exceeding $200 per quarter from a person or group of persons acting together,  when both you and those person(s) were outside North Carolina,  under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, all three conditions must apply ☐ Yes ☒ No ► Do not report gifts given by members of your extended family. ► Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 15. During 2019, after you were appointed, employed, or filed or were nominated as a candidate, did you  accept a “scholarship” exceeding $200 related to your public position from a person or group of persons acting together,  when those person(s) were outside North Carolina? To answer Yes, both conditions must apply A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. ☐ Yes ☐ No ☒ Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. ► Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” ► Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member, participant, or affiliate. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value 16. Have you been appointed or considered for appointment to a covered board by the Governor or another Council of State member? Council of State members are: ► Governor ► Lt. Governor ► Secretary of State ► State Auditor ► State Treasurer ► Superintendent of Public Instruction ► Attorney General ► Commissioner of Agriculture ► Commissioner of Labor ► Commissioner of Insurance ☒ Yes ☐ No If “Yes,” list all contributions you made in 2019 with a cumulative total of more than $1,000 to the Council of State member who appointed you. Do not include contributions from immediate family members. ► Contributions are defined broadly in N.C.G.S. 163-278.6(6) and include “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No Contributions The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 10 17. Are you an appointee or prospective appointee as: a. the head of a principal state department (e.g., cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards:  ABC Commission  Coastal Resources Commission  State Board of Education  State Board of Elections  Division of Employment Security  Environmental Management Commission  Industrial Commission  Human Resources Commission  Rules Review Commission  Board of Transportation  Utilities Commission  Wildlife Resources Commission ☐ Yes ☒ No If “No,” proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that position by a Council of State member? ☐ Yes ☒ No If “No,” proceed to question 18. e. If so, you must indicate whether during 2019 you engaged in any of the following activities with respect to or on behalf of the candidate or campaign committee of the Council of State member who appointed you: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? ☐ Yes ☐ No ii. Hosted a fundraiser at your residence or place of business? ☐ Yes ☐ No iii. Volunteered for campaign-related activities, including phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? ☐ Yes ☐ No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon; or (ii) an order of expungement? ☐ Yes ☒ No Offense Date of Conviction County of Conviction State of Conviction 19. Are you aware of any other information that you believe may assist the Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? ☐ Yes ☒ No If yes, please provide that information below. The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 10 Affirmation The information provided in this Statement of Economic Interest and any attachments are true, complete, and accurate to the best of my knowledge and belief. I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments except for the Confidential Form regarding Unemancipated Children are public records. I have read and understand the following statutes: N.C.G.S. § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest . . . shall be guilty of a Class 1 misdemeanor and subject to disciplinary action under G.S. 138A-45. N.C.G.S. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest . . . knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I affirm under penalty of perjury that the foregoing is true and correct. Filed Electronically 03/09/2020 Signature Date Archie Lehman Smith Printed Name Submit signed, original documents only. Do not fax or e-mail this form.

This entire document is a public record. STATE ETHICS COMMISSION 2019 STATEMENT OF ECONOMIC INTEREST NO-CHANGE FORM This entire form must be completed to fulfill your ethics filing obligation. FOR STAFF USE ONLY Date Received: Checked for completion ______ Scanned _______ Date______ Entered in DB ____by______ Filer’s Name (First, Middle, Last) Prefix First Name Middle Name Last Name Suffix Hon. Archie Lehman Smith Reason for Filing (Complete all that apply.) State Government Job (Specify agency and position.) Board/Commission (List the complete names of all State boards on which you are serving or are being considered.) Judicial Officer (Specify office.) Legislator (Specify House or Senate.) Clerk of Court AFFIRMATION The information provided in this Statement of Economic Interest and any attachments are true, complete, and accurate to the best of my knowledge and belief. I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments except for the Confidential Form Regarding Unemancipated Children public records. I have read and understand the following statutes: N.C.G.S. § 163A-191. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest . . . shall be guilty of a Class 1 misdemeanor and . . . subject to disciplinary action under G.S. 163A-415. N.C.G.S. § 163A-192. Penalty for false information. A filing person who provides false information on a statement of economic interest . . . knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 163A-415. I affirm that I have reviewed my most recently filed 2018 Statement of Economic Interest and that as of December 31, 2018, my responses continue to be true, correct, and complete to the best of my knowledge and belief. I affirm under penalty of perjury that the foregoing is true and correct. Filed Electronically 02/07/2019 Signature Date Archie Lehman Smith Printed Name Submit signed, original documents only. Do not fax or e-mail this form.

NORTH CAROLINA STATE BOARD OF ELECTIONS AND ETHICS ENFORCEMENT 2018 STATEMENT OF ECONOMIC INTEREST CANDIDATE 919-814-3600 www.ncsbe.gov/Ethics/SEI 2018 ELECTION FILER'S NAME (FIRST, MIDDLE, LAST) Prefix First Name Middle Name Last Name Suffix Mr. Archie Lehman Smith III CURRENT EMPLOYER JOB TITLE Judicial branch,State of NC Durham County Clerk of Court NATURE OR TYPE OF BUSINESS legal REASON FOR FILING (SELECT ALL THAT APPLY) CANDIDATE For (Specify the office for which you are running) Clerk of Court STATE GOVERNMENT JOB (Specify Agency) BOARD/COMMISSION (List complete name of all State boards on which you are serving or are being considered) JUDICIAL OFFICER (Specify Office) LEGISLATOR (Specify House or Senate) The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 11 A. Do other immediate family members reside in your household? Yes No When used throughout this form, the term Immediate family includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. A minor is a child under 18 years old. Minors are emancipated by marriage, enlistment in the US military, or court order for emancipation. FULL NAME OF ADULTS & EMANCIPATED MINORS RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS Rebecca Lynn Hymes￾Smith Spouse Duke University Program assistant Academic B. List ONLY the initials of all unemancipated minors in your household below. A minor is a child under 18 years old. Note: You must list the full name of each minor child on the Confidential Form available at the end of this document. INITIALS FOR UNEMANCIPATED CHILDREN RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS PROPERTY INTERESTS 1. As of December 31, 2017, did you, your spouse, or members of your immediate family: A. Have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? Yes No Owner of Real Estate % Ownership Interest Location by City Location by County Archie Lehman SmithIII 100 Durham Durham Archie Lehman Smith III 100 Rosewood Wayne Archie Lehman Smith III 75 Oak Island Brunswick Rebecca Lynn Hymes-Smith 25 Oak Island,NC Brunswick Rebecca Lynn Hymes-Smith 50 Durham Durham B. Lease or rent real estate or personal property to or from the State of North Carolina with a market value of $10,000 or more? Yes No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 11 2. At any time during 2016 or 2017 , did you, your spouse, or members of your immediate family sell to or buy from the State of North Carolina personal property with a market value of $10,000 or more? Yes No Name of Purchaser Name of Seller Type of Property FINANCIAL INTERESTS 3. As of December 31, 2017, did you, your spouse, or members of your immediate family own any of the following financial interests valued at $10,000 or more? LIST EACH COMPANY INDIVIDUALLY A. Stock in a publicly owned company? Yes No Do not list ownership interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: (i) the fund is publicly traded or its assets are widely diversified; and (ii) neither you nor an immediate family member are able to control the assets held in the mutual fund, investment company, or pension or deferred compensation plan. Owner of Interest Full Name of Company (Do not use a ticker symbol) Archie L.Smith III Duke Energy Company Archie L.Smith III Chevron Corp Arvhie L.Smith III Enbridge Archie L.Smith III Royal Bank of Canada B. Stock Options in a company or business? Yes No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 11 C. Interests in a non-publicly owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations)? Yes No If "No", proceed to question 4. Owner of Interest Name of Company or Business Entity C (1). For each non-publicly owned company or business entity (the “primary company”) identified in question 3.C above, please list the names of any other companies or business entities in which the primary company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known C (2). If you know that any company or business entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2017, were you, your spouse, or members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that was created, established, or controlled by you? Do not list assets held in blind trusts. See 2017 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” Yes No Name and Address of Trustee Description of the Trust Your Relationship to the Trust 5. As of December 31, 2017, did you, your spouse, or members of your immediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples include credit card debts, auto loans, student loans, personal loans and intra-family debt. Yes No Name of Debtor (You, Spouse, Immediate Family Member) Type of Creditor (Commercial Bank, Credit Union, Individual, etc.) The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 11 6. List each source of income (not specific amounts) of more than $5,000 received by you, your spouse, or members of your immediate family during 2017. Include salary, wages, state/local government retirement, professional fees, honoraria, interest, dividends, rental income, business income, and other types of income required to be reported on your State and federal tax returns. Do not include income received from the following sources: Capital gains Federal government retirement Military retirement Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income I had no reportable income over $5,000 in 2017. Archie L. Smith III State of NC government wages ArchieL.Smith III Charles Schwab & Co. investment/financial dividends Archie L.Smith III rental property/office condo legal rents PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2017, were you, your spouse or members of your immediate family a director, officer, governing board member, employee, independent contractor, or registered lobbyist of a nonprofit corporation or organization operating in the State of North Carolina primarily for religious, charitable, scientific, literary, public health and safety, or educational purposes? Yes No If "No", proceed to question 8. Do not list State boards or entities, or entities created by a political subdivision of the State. Do not list organizations of which you are a mere member. Name of Person His/Her Position Name of Nonprofit Corporation or Organization Nature of Business or Purpose of Organization Archie L.Smith III member/board of directors Durham Sports Club foster sports appreciation and academic achievement 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, please provide a brief description of the nature of that business, if known or with which due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business or State Funding None or Not Known The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 11 Please answer the following question as it pertains to the following board/agency: Clerk of Court 8. During 2017, were you, your spouse, or members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to those offices. Do not list organizations of which you are only a member (not serving in a leadership role). Name of Person Name of Society, Organization or Advocacy Group Leadership Position (Director, Officer, Board Member) 9(a). List the name of each company or business with which you were associated where you or a member of your immediate family was an employee, director, officer, partner, proprietor, or member or manager as of December 31, 2017. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations 9(b). If you know that any company or business entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2017, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State Not applicable (No entities listed on #9a) No relationship / Not known The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 11 10. Are you a practicing attorney? Yes No Judicial Officer/State Attorney If “Yes”, check each category of legal representation in which you or the law firm with which you are affiliated has earned legal fees of more than $10,000 during 2017. Administrative Admiralty Corporate Criminal Decedent’s Estates Environmental Insurance Labor Local Government Real Property Securities Tax Tort litigation (including negligence) Utilities Regulation Other category not listed. 11. During 2017, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? Yes No Type of Business Nature of Services Rendered Please answer the following question as it pertains to the following board/agency: Clerk of Court 12. Are you or your employer, your spouse or members of your immediate family, or their employer currently: • Licensed by the State board or employing entity with which you are or will be associated or • Regulated by the State board or employing entity with which you are or will be associated or • Have a business relationship with the State board or employing entity with which you are or will be associated? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are filing as an appointee to those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 11 13. Are you, your spouse, or a member of your immediate family currently registered as a lobbyist or lobbyist principal or were you registered as such within the 12 months preceding your filing of this form? Yes No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter in 2017 (but only the time period after you were appointed, employed or filed or were nominated as a candidate), did you • receive any gift(s) exceeding $200 per quarter from a person or group of persons acting together, and • when both you and those person(s) were outside North Carolina at the time you accepted the gift(s), and • the gift(s) were given under circumstances that would lead a reasonable person to conclude that they were given for lobbying? Yes No Do not report gifts given by members of your extended family. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the "Expense Report for Exempted Persons." Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 11 Please answer the following question as it pertains to the following board/agency: Clerk of Court 15. During 2017 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) did you • accepted a “scholarship” exceeding $200 from a person or group of persons acting together and • those person(s) were outside North Carolina and • the scholarship was related to your public position? A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. Yes No Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the “Expense Report for Exempted Persons.” Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member or participant or an affiliate of that organization. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value Please answer the following question as it pertains to the following board/agency: Clerk of Court 16. Were you appointed or are you being considered for an appointment to a covered board by the Governor or another Council of State member? Council of State members are: • Governor • Lt. Governor • Secretary of State • State Auditor • State Treasurer • Superintendent of Public Instruction • Attorney General • Commissioner of Agriculture • Commissioner of Labor • Commissioner of Insurance Yes No If “Yes”, list all contributions you (NOT immediate family members) made during 2017 with a cumulative total of more than $1,000 to the Governor or other Council of State member who appointed you. Contributions are defined in N.C.G.S. 163-278.6(6) and include, but are not limited to, “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No contribution(s) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 11 Please answer the following question as it pertains to the following board/agency: Clerk of Court 17. Are you an appointee or prospective appointee to: a. the head of a principal state department (e.g. cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards: • ABC Commission • Coastal Resources Commission • State Board of Education • State Board of Elections • Division of Employment Security • Environmental Management Commission • Industrial Commission • Human Resources Commission • Rules Review Commission • Board of Transportation • UNC Board of Governors • Utilities Commission • Wildlife Resources Commission Yes No If "No", proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that public position by a Council of State member? Council of State members are listed in question 16. Yes No If "No", proceed to question 18. e. If so, you must indicate whether during 2017 you (not immediate family members) engaged in any of the following activities with respect to or on behalf of the candidate or campaign committee of the Council of State member who appointed you to your public position: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? Contributions are defined in question 16. Yes No ii. Hosted a fundraiser at your residence or place of business? Yes No iii. Volunteered for campaign-related activities, which include, but are not limited to, phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? Yes No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon of innocence; or (ii) an order of expungement regarding that conviction? Yes No Offense Date of Conviction County of Conviction State of Conviction The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 11 19. Are you aware of any other information that you believe may assist the State Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? Yes No If yes, please provide such information below. AFFIRMATION I affirm that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. I also certify that I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemancipated Children) are public record. I acknowledge that I have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information and N.C.G.S. 138A-27 regarding providing false information: § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest as required under this Article knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I Agree. It is my intention that this check box constitutes my electronic signature. By checking this box I certify that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. Filed Electronically 1/25/2018 Signature Date Archie Lehman Smith, III Printed Name The SEI and any attachments, excluding the Confidential Form, are public records. Page 11 of 11

RTH _ i A NO CAROLINA STATE ETHICS COMMISSION FOR ETHICS COMMISSION USE OLY | ny Dee Races 4/2017 STATEMENT OF ECONOMIC INTEREST | NO CHANGE FORM REE by ’ [cree to competi THIS ENTIRE FORM MUST BE COMPLETED TO 'ynne0 Date FULFILL YOUR ETHICS FILING OBLIGATION Phe erseres non Ho 2 | FILER'S NAME (FIRST, MIDDLE, LAST) } preix | First Name Middle Name Last Name sutix ue. Aecui ecuman. SE NE. -1 ." EE i REASON FOR FILING (COMPLETE ALL THAT APPLY - ~ STATE GOVERNMENT JOB (Specify Agency and Position) | BOARD/COMMISSION (Uist the complete name of all State. a | haar on neh you oe serene ars bing considered) | bicint orricen (specry orree) | cecrstaTon (spect House or Senate) Clie oF COURT DRNAM C0 uD Tl “AFFIRMATION — Ce = Laff tht the formation provided inthis Statement of Economic Interest and any atachments hereto ar tre, Compete, ar accuare 5 ese of kmowiesge ave peer also cory that hav: not tanstreu, and will ot transfer, any asset, interes, or property fo the purpose of conceating Ro dome whi rtm a em i” understand tht my Statement of Economic rect and any attachments o Supplements thereto (withthe exception of the Coidentl Fors 630mm Unermancpated ChIGren) are puoHE record acknowledge that 1 ave road and understand N.C. 1384-26 regarding concealing or failing to diclose material | Iarmation and H.CG.5. 138 33 raganding proving fle mformaton i § 138.26. Conceahing or fling to disclose material formation | A ing person who knawingty conceats a knowingly falls t disclose information that required to be disclose on Stoners of Eon ert undis hs AFEIE Sal 6 Suet 1 3 Eve | madera amd hah be teat 1 acpinay octon onats G5. 130A 5 | § 1384-27. Penalty for false information A fling person who provides fas formation on a statement of scone: interest a required under his Article Know Shak th formation 15 + ly of 3 1a 1 tions and sah be bye to Seplinay ser under rartven £ hereby ofirm that I have reviawed my most recently filsd 2016 Statement of Econamic Interest and that as of December 31, 2016, my responses aniinue 16 56 true, correct, and complete to the best of my knowledge and beter, $73 Roree ] 5 ol— 19-2017 Foro Bate Printed Name | Submit SIGNED, ORIGINAL documents only. 00 not fax or e-mail this form. . Thi entire document is a public record.

, NORTH CAROLINA STATE ETHICS COMMISSION | FoR ETHICS COMMISSION USE ONLY . T 2016 STATEMENT OF ECONOMIC INTEREST | Oats Received 4 919-814-3600 [RVRP——— A THIS ENTIRE FORM MUST BE COMPLETED TO FULFILL | +70 onsen YOUR SEI FILING OBLIGATION i Scanned _ bie p——r i. oo BN {ene noun 207 A [ FiLer's NAME (FIRST, MIDDLE, LAST) | pret ist tame dale name Lost Name TT sum mR | deere LA | sewTa £1 | NATURE OR TYPE OF BUSINESS B i} i i er ———— [ REASON FOr FILING (SELECT ALL THAT AP) — 1 [[) STATE GOVERNMENT JOB (Please specify the agency | [1] BOARD/COMMISSION (Please list complete name of all 1 | for which you work or are being considered) ‘State boards on which you are serving or are being — SE SE considered) oe Ye ——r F CGISUATOR (Paras sty one or Sen = | CLERE OF COLRT = TARUAN L _— _— | | A. Do other Immediate Family members reside in your household? 1 [es Oe mutatis or, tam Smite aly ates yur seu ais gl septs, | hb VER SM FRNA ob 2 | I | Ct he ll rom fall ats 3 emancipated minors in your ousals A minor 53 ci under 1 yor 0 FUL NAME OF ADULTS 8 RELATIONSWIP | Empiover | domTme | marumeor | EhAnCiraTes niNoRS | ! Sines ese ses Soi sroics ree i Arp m= | Th SEE ant any tachment, excluding the Confidential Form, are public records. page 10110 B. List ONLY the initials of al unemancipated minors in your househald below. A minor fa child under 16 years 0. Mors ve BMANCPALSE by MAIBgE, VATE nthe US mary of aur arder fo emancipation Note: You must list the full name of each minor child on the Confidential Form available at the end of this document. . i. _ INITIALS FOR | RELATIONSHIP empLover Joa TITLE NaTURE oF UNEMANCIPATED Business Minors 1. i | PROPERTY INTERESTS 1. As of December 31. 2015, did you, your spouse, or members of your immediate family |. Have an ownership nerest in North Carolin realestate (ncluing your residence) with a market vole of | | 310.000 or more? | Ov Om | _ EE — | Owner of Real Estate | % Ownership Interest I Location by City Location by County GT a a | art loop L00E Mhz EO i et Pr BELLE EZ | HE CRD I R727 TS a DTT Su Seococh sans smTH_ i - RoE FHA B. Lease or rent real estate or personal property tg or from the State of North Carling with a market value of $10,000 a more? | ves go | Name of Lessor Name of Lessee | If Real Estate, Location 1 1f Personal Property, (Renter) City & County Deserve | | — — SE I SE I IU SE i. 2 At amy me during 2013 or 2015. a you, your spouse, or members of your immediate fom sal 2 or bi fom the ‘State of North Carolina personal property with a market value of $10,000 or mare? | Ove yw | The SEL and any attachments, excluding the Confidential Farm, are public records. Page 20110 | FINANCIAL INTERESTS 3. As of December 31. 2015, did you, your spouse, or members of your Immediate family own any of th following financial interests valued at $10,000 or more? A. Stack in a publicly owned company? res [tio 50 dol lst ownership interests in 3 widely held investment fund (nduding mutual funds, regulated investment companies, or pension or deferred compensation plans) f: (1) the fund is publicly traded or its assets are widely diversified; an (i) neither you nor an immediate family member are able to control the assets held in the mutual und, investment company, or pensian or deferred compensation plan. Owner of Interest Full Name of Company (Do not use a ticker symbol) | fees L smn TD __ PoE Everts coor 1 wn ww EnEORON Con 1 “a ew BE PETE] TT ns or aan — i | 6. Stack Qalions in @ company or business? l Oves to | Owner of Stock Option Full Name of Company (Do not use a ticker symbol) €. Interests in @ nan-oublicly ownag company or business entity (including interests in sole propritorships, partnerships, Imited partnerships, oint ventures, limited lability companies, limited lability partnerships, and closely held corporations)? | ves SNo - If “No,” proceed to auestion 4. Owner of Interest Name of Company or Business Entity | (3): For each non-publicly owned campany or business entity (the “primary company”) identified in question | 3.C._above, please list the names of any other companics or business entities in which the primary company | owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity | Other Companies in which the Primary Company | (the Primary Company) ‘Owns Security or Equity Interests | 03 one or Not Known | L - mtn : The SET and any attachments, excluding the Confidential Form, are public records. Page 3 of 10 [C01 you know rt ay company or busines erty tad n 3. a 3.C) above nas ary mater business LO ars he Sev of ow Cori, o en Aog oth Sot, we 5 et Name of Company or Business Entity | Description of Business Actvy with the Stats__| bs one or Not Known I | 4. As of December 31, 2015, were you, your spouse, or members of your immediate family the beneficiaries of a vested 5 on ok st nerd sh sts. 2016 SF] Heil Te fr hs eft of ‘Vested 10 0d “Bl Tt | | I 5. As of December 31, 2015, did you, your spouse, or members of your immediate family have liabilities of $10,000 or 1 eB EL Fo a aan oes a oui Gre yo i | ame of peta rey, Spause, imma Family | Tap of €or (mer Bank. cred in LL omer Craigs oes [I EE your immediate family during 2015. Include salary, wages, state/local government retirement, professional fees, | {for male Ft, SUI0_ 20, ve: suse oon, 1 hr sof neo. Ceara 0 repre 1 you | Do not include income received from the following sources: + Capital gine JHA — + Mitty retiement + Socia security income S501 hye ee ee] Respiont of Income Nemestsouwee | Tymwot Type of income | Srmess/tndustry 1 had no repartable income over $5,000 in 2015. | DO api power remwmre wads | (IREEIIT Yims canna sracn | jsingyr | proses | Se Gott Eo Gr Seno | ore cones N OSE SCR Fea ms wr | So Ae Pr [To The SET and any attachments, axcuding th Confidential Farm, ae public records: Page dor 10 PROFESSIONAL AND CIVIC RELATIONSHIPS 7(0). During 2015, were you, your spouse or members of your immediate family 3 director, office, governing board meniber, employes, indepandent contractor, or registered OLByISE af Ono corporation o organization operating n the Stste of North Carolina primarily for religous, charitable, scientific, erary. pubic health and safety, o educational | purposes? | | ives 3X0 1M," proceed t questions. D0 not st State Boards or entities, or entities created by 8 poiical subdivision of he State, 1 | » 0 not ist organizations of wich you are a mere member. | 7 Name of person His Her Position Name of Nonprofit Nature of Business or Corporation or Organization | Purpose of Organization | | 700). 1 the nonprofit corporations or organizations sed above do business with the State of North Carolina or receive | State funds, please provide a brief descrpion of the nature of hat businece, f Known o wih Which duc diigence could | reasonably be known. | SE — — Name of Nonprofit Corporation or Organization Describe State Business or State Funding | Noe or ot Known © During 2015, were you, your spouse, or members of your mmadafs fomiy 3 rector, ofc, or governing board | member 6 any socety, organization, or SGvCacy Group Wh an Interest in matters over which your agency or board may | Rave ursdicton? | O¥es Oto Siegstaornucal Officer - You are nat required to complete this question if you are filing because | You are a legislate or Judicial office or you ar fling as an appointes to hose offices | | 00 no st organizations of whieh you are enly a member (not serving ina leadership role), | | Name of Person Name of Society, Organization Leadership Position | | or Advocacy Group (Director, Officer, Board Member) The SEX and any attachments, excluding the Confidential Form, are public records. Page 5 of 10 | 50). List the name of ach company o business with hich you wer associated wher yous or member of your immediate | | omy wos an employee, director, Ofer, partner, proprietor, or member oF maRager 96 of December 31. 201% i | Nameof person Relationship to Filer Name of Company Roleof Person | {DRRo Business Assocations - Ho,” proceed to question 10 3000. 11 you know that any company or business ont sted in (a) abave had any material business dealings or | business contracts with the State of North Carolina or was regulated by the State as of December 31, 2015, provide a | bri dascrpion of hat business acti. Name of Company or Business Entity | Description of Business Activity ith tho state [Camot appicabie (vo enites sted on #93) [No relationship / ot known | | B od {110. are you a procticing atorney > 1 | Over po Cou offcersstate Attorney | | fega fe of move than $10,000 during 2015. i aici eee | | O ndministraive 0 hamiaty 0 Corporate © comma 1 | Decedent's Estates 3 Envionmentar tose Cltabor | || Cruse Government J 3 secunties Cae | [0] Tort tigation (including CJ Unites Regulation 0 Other category not sted. | negligence) I 11. During 2015. were you a licensed professional (other than an attorney) or did you provide consulting services | ndividdaly or 25 2 member of 3 profcssianal azseciation 91 Wh You Charged of were paid over $10,007 | | Ove Xe . Type of Business Nature of Services Rendered The SEX and any attachments, excluding the Confidential Form, are public records. Page 6 of 10 [/12. ve you or your employer, your spouse or members of you immediate fami, or thelr employer currently | + Licensed by the State board or employing entity with which you are or will be associated or + Reaulated by the State board or employing entity with which you are or wil be associated or | + ov: business elaionship th th State board or employing entity wih which you are or wil be associated? | | Dive Cot PEs fcr vo sre set a complete ti esto 1 rs i Socusn i So aro a leatiotor or 3 ad.cal once udica fficer” 1 defined In th SE1 Helpful 5) or you | re fing a3 an appointee o tose offices. ! f Name of Person Namo of Employer Type of Relationship | | (if applicable) (Licensing, Regulatory, Business) | 13. Ave you, your speuse or a member of your immediate. fam cuter egiserad 3% lobby ator lobbyist principal, or ere os reed 35 Such wm he 12 Tons preceding your Hing of this form? Oves Oo Name of Lobbyist Lobbyists principal Date of Registration Registration Expiration 13. During any calendar quarter in 2015 (out nly the ime period after you were appointed, employed or fied or were | nominated 3¢ » candidate), 4d you | recone any “ais” exceeing $200 per quater fom a person or group of persons acing together, and when both you and those person(s) were outside Rorth Carona at the ime you accepted the ifs), and + the ifs) were given under circumstances that would lcad reasonable person to conclude that they were oven for lobbying? | | ves Joo | 50 not report is oven by members of your extended family. oT +00 not report ifs that have previously been reported by you to the Department of the Secretary of State on the “Espensa huport for Exempted Persons.” Date Item Received | Name and Address of Donor(s) | Describe Item Received | Estimated Market | | Value | The SEX and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 15. During 7015 (but ony the time period after you were appointed, employed, or fled or were nominated os a candidate) | | dit you | i | cep shart” excecaing $200 fom a person or gous of persons acting ogeter and | those persons) were outside North Caroino and the scholarshin was related to your public position? A scholarship” is a orant-in-ai, either direct or indirect, Lo attend 8 conference, meeting, or Similar event, including tuition, travel, Iodging, meals, and other | similar expenses. | [ves [no JGudicil Officer - You are not required to complete this question If you are a Judicial officer or you are | it 5 a Judicial officer appointes | + Do not report its that have previously been repcrted by you tthe Department of the Secretary of Sate onthe | | "Expense Report for Exempted Persons.” | + Legisiators are not required to report scholarships paid by 3 nonpartisan legislative organization of which the legiotor or tha Genera Acsemly 3 member or parLGpaNt or an Silat of that organization. Date of Name and Address of Donor(s) Describe Event Estimated Market f Scholarship Value | JR _— _ _— | SE 16. were you appanted or ore you being considered for an appOIRMEnt to 2 covered board by the Governor or anather | Counc of Stats member? Council of State members are: » state Autor » tae Treasurer » Superintendent of Public Instruction | | » Attorey General » Commissioner of Agriculture » Commissioner of Labor | | » Commissioner of Insurance | Ove Xo 16*Yes", lst all contributions you (NOT immediate family members) made during 2015 with a cumulative Lotarof more than $1,000 to the Governor or other Council of State member who appointed you. | Sapo, Gtebution, antes of ans, an, payment, af. sedge o substnpton of money or ang of value whatsoever,” I ome Tom] P—r i The SEX and any attachments, excluding the Confidential Form, are public records. Page sof 10 17. Ave you an appointee o prospective appointee to | a. the head of » principal state department (¢.5. cabinet secretary) appointed by the Governor; or 5. a North Carolina Supreme Court Justice, Court of Appeal, Superior or Distt | Court Judge; or |e a member ot on othe oteming boars: | + ABC Commission | | + Coastal Resaurces Commission | ~ Stte oor of Education ves Joo + Division of Employment Security | If “No,” proceed to + Environmental Management Commission question 18. { | + Industral Commission | + Human Resources Commission | « Rules Review Commission + UNC Boerd of Governors | + tities Commission + Widife Rescurces Commission d. If so, were you appointed or are you being considered for appointment to that | [Yes [INo | Public position by a Counc of State member? Counc of Sate members are 16d | “No,” proceed to | question 16. auestion 18. © 150, you must indicate whether during 2015 you (not immediate family T | ames) angaged im any of the folng acts wih spec 0 or on benalf of | | the candidate or campaign committee of the Counc of State member who ! Sppointed you to your public pasion: Oves Ono 1. Collected contributions from multiple contributors, tock Possession of such multiple contributions, and transferred or delivered those collected | | Comributions to the candidate or committee? Contributions are defined in | | question 16. | 1. Hosted a fundrarser at your resigence or place of business? Cves Ono Ji Voluntzered for campaian-related activities, which include, but are not imited Xo, phona banke, event assistance, malings, canvassing, surveying, orany | []¥es (IN } other actwity that advances the campaign of a candidate? 115. Have you ever bean sonia of a felony fo which you hve nt receed eer, 1) pardon of nocenc r (1) an order of expungemant regarding that conviction” Oves Jo 1 offense Date of Conviction | _ County of Conviction State of Conviction | concerning your compliance with the State Government Ethics Act? | [ves Xo if yes, pease provide such formate below. J The SEL and any attachments, excluding the Confidential Form, are public records. Page 9 of 10 AFFIRMATION | Fao certify that have not transferred, and will no eansfer any act interest, or propery for the purpose of concealing it | | from disclosure while retaining an equitable inerest | 1 understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the | Conde Form ganin Unermrpaed Cousin re pe eon chmod hor hae read and undesand 4... 138A-26 regarding concealing o ling 0 disclose mal norman a €.05. 133A tga poling hs moto: § 138A-26. Concealing or failing to disclose material information. 1 Gian con wer G8. 13815 | $1390.21. Pray for fs norm, | [ae Rises 215-201 | submit tne, ORtGINAL documents ony. Da not fox or emai this form. . | The Sex and any atachmants, excluding the Confidential Form, ae public records. Page 100110

NORTH CAROLINA STATE ETHICS COMMISSION 2015 STATEMENT OF ECONOMIC INTEREST No-Change Form FILER'S NAME (FIRST, MIDDLE, LAST) First Name Middle Name Last Name Suffix Archie Lehman Smith III REASON FOR FILING (SELECT ALL THAT APPLY) STATE GOVERNMENT JOB (Please specify the agency for which you work or are being considered) BOARD/COMMISSION (Please list complete name of all State boards on which you are serving or are being considered) JUDICIAL OFFICER (Please specify the office you hold) LEGISLATOR (Please specify House or Senate) Clerk of Court The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 2 AFFIRMATION I affirm that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. I also certify that I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemancipated Children) are public record. I acknowledge that I have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information and N.C.G.S. 138A-27 regarding providing false information: § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest as required under this Article knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I hereby affirm that I have reviewed my most recently filed 2014 Statement of Economic Interest and that as of December 31, 2014, my responses continue to be true, correct, and complete to the best of my knowledge and belief. I Agree. It is my intention that this check box constitutes my electronic signature. By checking this box I certify that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. Archie Lehman Smith, III Printed Name Filed Electronically 5/11/2015 Signature Date The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 2