Thomas S Ellis III Financial Disclosure Report for 2009

8/3/2019 Thomas S Ellis III Financial Disclosure Report for 2009

1/11

~o ~ o FINANCIAL DISCLOSURE REPORTI i

inGovernmentActof1978R e v . ] / 2 o l o FOR CALENDAR YEA R 2009 (J u . s .c , a p p . . ~ . ~ I O 1 - I 1 1 )

Ellis, I11, ~o~ S. U3. Dis~ct Court, E.D. Va. 07/1~010

4. Title (A~iclc Ill judg es indicate ective or ~ior s~tus; 5~ Re~ Ty~ (~h~k ~ro~a~ ~) 6. Re~ingmagis~ judg es i~icat ~11- or ~-tim) ~ Nominat~ D a t e 01/01~009~niorU.S. DistfictJ~ge ~ Initial ~ Annual 1 ~ 31 ~ 0 0 97. Chimbe~ or O~ce Addre~ 8. On the ba~ of ~e lnform~o~ ~,t~ia~ In thll Repo~ hadmo~f ica~ons pe~inlng ~reto, it h ,401 Cou~ho~ ~re ~th tpplicable is~ sad r~laflons.9th FloorAlex~ VA 22314-5799 R e~e~ng O ~ce r D a t e

I M P O R T A N T N O T E S : The instructions accompanying th~ form m us~ be followe ,t Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last pag~

I . PO SITIO NS. (R ,~ ,orn .~~ NONE ~o reportable position.)

P O S I T I O N N~E OF ORGANIZATION~TITY1. Adviso~ Board M~ber ~ns In~llec~al Pro~ ~w Advim~ Bo~ George W~hingtonUniversi~2. Me m be r Judicial Conference Ad visory Committee on Appellate Rules (and SealingSubcommittee)3. Mem b e r Judicial Advisory Council on International Family Adbuction

C . , " r" ( . - ;(_/, ,, - ~ :"

~ NONE ~o reportable agreements.)~ P~TIES AND TERMS

I.


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FINANCIAL DISCLOSURE REPORT ~.~, ,~. .~o~ a~po~: v , t , o ~ a ~ p o ~ tP a g e 2 o f I 1 EIII,, I!!, Thomas S. 07112/2010

I l l . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seept~ 17-24 of fdtag lnsttuctlons.)A. Fliers Non-Investment Income

N O N E (No reportable n on-investment income.)DATE S O U R C E A N D T Y P E I N C O M E(yours. not spouses)

1.

2.

3.4.

B . S p o u s e s N o n - l n v e s t m e n t I n c o m e - lf yo~ ~er~ married during any portion of the reporttng year,(Dollar amount not required except for honoraria.)

D N O N E ( N o reportable non-investment income.)DAT E S O UR C E A N D T YP E

I. 2009 Albemarle County Public Schools - salary

2.3.4.

IV. REIMBURSEMENTS -(Includes those to spouse and dependent children." see pp. 2J-27 of filing in:~tructtons.)

[] N O N E (N o reportable reimbursements.)S O UR CE DAT ES L O C A T I O N p U R P O S E I T E M S P A ID O R P R O V I DE D

1 .2.

3.4.5.


3/11

Iame of Pe rson Re por t ing Date of ReportPageFINANCIAL3 of 1 1 DISCLOSURE REPORT [ Ellis, Ill,rhom~, S . 0 7 / 1 2 / 2 0 1 0V . G I F T S . a,ct~a~ t~o,, t~ ~, ~ ~,~ chltdrt~ su pp. 2~-3 1 of fd~g i~tr~lo~)

NONE ~o reportableSOURCE DESC~PTION

I.2.3.4.5.

V I . L I A B I L I T I E S . a ~ c t ,~ , ,~ 0 ~ o 0 / s p o t s0 o , ~ ~ , ~ ~ c h i l , ~ , , n : s , , p ~ . ~ : - J 3 of filing lnstructtotm)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

2.3.4.5.


4/11

P a g e F I N A N C I A L 4 o f 1 1 D I S C L O S U R E R E P O R T E l i s, I ll , T h o m a s S . 0 7 / 1 2 / 2 0 1 0

V I I . IN V ESTM EN TS a nd TRU STS - ~ ...... t~, t~.~ a.a~d~ ~ os, ~:~ .... ~ ~d~ ~,~ ~ ~NONE ~o reportable income, ~sets, or ~a~actio~.)

~fipfio~ of As~ Income ~fing G~ss ~lu a~ end T~m~ f ions during ~ng(includiag ~st ~) ~ing ~ of r~ing p~MPlac~ "~)" a~cr ~ ~el Amoun l T ~ (~ . g ., V~ue V a l u e T~ (~.g. , Da~ [ Valu~ ] Gain lden ti~ ofx~pt f rom prior discl~ ~ ~ I [div., r~ ~e 2 Meth~ ~, sell, ~td~ ~ ~ 2 C~ 1

( Q - W ) ~an~ction)

I. Sensor None J T2. W a c h o v i a Bank Accts A I n t g r e s t K T3. I R A #1

4. Calamos G rowlh Fd A None Sold 9/16/09 J A! 5 . Cambiar Opp Fd None J T B u y 9/17/09 J6. Cambiar Opp Fd None J T Sold 11/4/09 J A(p~)7. FM I FDS Foc~ Fd None Sold 9/17/09 J A8. Gold man Sachs Tr Finl Sq Mm kt ! None J T Sold 4 / 4 / 0 9 J A(p~n)9. Gold man Sachs Tr Finl Sq Mm kt I None J T Sold 5/1/09 J A(p~)1 0 . G oldman Sachs Tr Fin| Sq M mkt I None J T Sold 6/2/09 J A( p a r t )I 1 . G oldman Sachs Tr Finl Sq M mkt i None J T Sold 7/1/09 J A1 2 . Gold man Sachs Tr Finl Sq Mm kt I None .1 T Sold 8/I/09 J A(~)1 3 . Gold man Sachs Tr Finl Sq Mm kt I None J T Sold 9 / 2 1 0 9 J A( p a r { )1 4 . Gold man Sachs Tr Finl Sq Mm kt I None J T Sold 9 1 2 1 1 0 9 J A(part)1 5 . Gold man Sachs Tr Finl Sq Mm kt I None J T Sold 10/9/09 J A1 6 . Hotchkiss & W iley Mid Cap Value I A Dividend J T Sold 9/16/09 J A1 7 . Hotchkiss & W iley M id Cap Value I A Dividend J T Sold 9/21/09 J A(part)

(~ Columns CI and D3)3. VM~ Met~ C~ Q -Ap~isfl R ~t (R~ ~at Only) S -A~ment T ~h M~

(S~ ~lu~ C2) U=~k V~ V ~ W = E ~ m m cd


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F I N A N C I AL D IS C L O S U R E R E P O R T r * ~ a o r V e . o . R ~ p o - ~ .~ D a t e o fP a g e 5 o f 1 1 Ellis, lIl, T h o m a s S . 0 7 / 1 2 / 2 0 1 0

V I I. IN V E S T M E N T S a n d T R U S T S - ~ .... t ~ o , t .... cllartl (lnclud~ tho$e of sp ..... d dependent children; set pp.NONE (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s I n c o m e during O r o s s value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p c r i e d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t . l n g p e r i o d(I)l (2) (I) (2) (I) (2)---I (3) (411 ( 5 )P l a c e " ( X ) " a t % - r e a c h a s s e t , . m , ~ n . t I , m o u n t T y p e { e . g . , Value I Value T y p e ( e . g ., Date [ Value Gain [ I d e n t i t y o fexemptfrorrtpdordisclosure ~:~de,-.~..,~1iv.,rent. Code2 [ M e thod buy , ,d l , mm/dcl/yy Code2 CodelI buyer/selleru r i n t . ) (JP) I Code 3 r e d e m p t i o n ) ( J - P ) (A -H ) ] ( i f p r i v a t e

~ [ t r a r ~ a c t i o n )

1 8 . Julius Baer Int l Equity I None Sold 4 1 4 / 0 9 J A1 9 . Kinet ics Sm Cap Opp I None Sold 9/16/09 J A20. Kinetics Paradigm Fd - I None Sold 9/16/09 J A2 1 . Legg M ason Value Trus t A Dividend J T Sold 9 / 2 1 1 0 9 J A(part)22. Legg M ason Va lue T r u s t A Dividend J T B uy 9!17/09 J23. Royce Total Return Fd CLW None Sold 9/16/09 J A24 . TCW Fds Se lec t Equit ies Fd I None Sold 9/16/09 J A25. Blackrock Lg Cap Value Fd A Dividend Sold 9/16/09 J A26. Blackrock Lg Cap Core Fd A Dividend J T Bu y 9/17/09 J

27. Columbia Fds Tr M ar~ico 21st Century Fd None Sold 9 1 1 6 / 0 9 J ACL A28. Dodge & Cox Int l Stock Fd None Sold 9/16/09 J A29. DW S Dreman Sm Cap Value CLS A Dividend J T Sold 9/16/09 J A(paa)30. DW S Dreman Sm Cap Value CLS A Dividend J T Sold 9/21/09 J A(part)3 1 . Fidelity Adv isor Set" I Lev C o Stock Fd None Sold 9/I 6/09 J A32. Quantitative G rp Fds Foreign Value Fd Ord None J T B uy 9 1 1 7 1 0 9 JSH S33. RS lnv~ T R G lobal Natural Res Fd CLA None Sold 9/16/09 J A34 . Artio lnt l Equity Fd CL I A Dividend J T Sold 9116/09 J A(part)

I, Income Gain Code*: A -$1,000 or I~ B =S 1,001 - 1,2~00 C --$2.~S01 - SS.O00 D -$$.001 - $15,000 E -$ I. ; ,001 - $ 50,0002. Value: Code~ J "$15.000 or le.~ K ~-$15.001 - $50,000 L --$50,001 - $ I O0,000 M .~g100,001 $250,000

{Se Coltu~n~ C I ~d D3) N -$250 ,001 . $500 ,000 O = $ S0 0,0 01 - $ 1.0 00,0 00 PI - $1 .00 0,1 301 - $ 5,00 ~.0 00P3 -12.~.000.001 - $50.000.000 P4 =M o~ t~an3 . V a l u ~ M e t h o d C o d ~ Q - Ap!t~alsal R ,=C,o~1 (Real Estate Ot, ly) S -~ T(See Column C2) U =Book Value V = O ~ h e a - W


6/11

F I N A N C I A L DI S CLO S U R E R E P O R TI E l li s , 111 , Th om ~ S .ag ~ 6 o f 1 1 07/1212010

~I. ~STM ENTS and T RUSTS-~ . .. . ~l~.tra~mand~oseof~ .... dde~ndent~n;geepp34-60of~ing~uctio~)NONE ~o reportable income, ~sets, or tra~actions.)

A. B. I C. D.~ption of As~ I~ome ~dag~

G ~ v~ue a t eM T~ions d~ng ~ning ~(inelu~g ~ ~e~) rep~ing ~ of ~ing ~~ O~ [ (2) O) I (~) (t ) (~) (3) ~)Place "(~" a~r ~h ~I A moun t T~ ( e . g . , Va~e ~

Value T~ (e .g . , D a t e Valu~ G ain l~ti~ cf~cmpl f~ p6or d~sclo~e C~e I I ~v., ~n~ ~de 2 M~ ~y, sell, m~ Co~ 2 C~ 1] (A-~ o r i n u ) ( J - P ) Co~3 ~e~tion) ( J - P ) ( A - H ) ( i f ~ i v a ~ e

35 . A~io Int l Equi~ Fd CL I A Dividend J T Sold 9~1/09 J A

36 . S~ EQ Fd Mid ~p V~ue Set CLA A Dividend J T S01~ 9/1~ J A37, S ~ur i~ EQ Fd M id C ap V a l ue ~ r C LA A Di~d~nd J T Sold 9~ i/09 J A(~)38. T R ow e P r ice M id ~p Graph Fd A Dividend J T Sold 9/1~09 J A39. T Row e Pr ice M id Cap GraPh Fd A O iv i~nd J T Sold 9~11~ J A40 . To u c~ t o n e ~ g e Cap G ro ~ h Fd CL I None J T Sold 9/21/~ J A41 . W e l l s F ~ g o F d s T r S m a l l ~p G m ~ h F d None J T Sold 9/1~ J AA~in CL42 . ~law~e G~ Advisor Fds lnc US Graph A Di v i & nd J T Sold 9~I /09 J APo~ Inst l CL (p~)43 . John H ancock Cl~sie Value Fd CL I A Divi~d J T Sold 9~1~9 J A

~. H~bor lnt l Insl l CL A Dividend J T Sold 9/ I 6 /~ J A@~)45 , H~bor Int l Insf l CL A Divi~nd J T Sold 9~1/~ J A~)46 . ~nheimer Intl Gro~ Fd CL Y A Dividend J T Sold 9~1/09 J A(pan)47 . M organ Stan l ey Inst l Fd Tr M id ~p G~wtt A Divided J T B uy 9 ! 1 6 1 0 9 JPan 148 . Pim~ F~ PAC In~ M~t Ser-~mm R~I A Dividend J T B uy 9/171~ JRet Strdt Fd lnst l CL49 . AIM G loba l Rea l ~ t Fd CL Y A Dividend J T Buy 9/17/~ J50. Park Ave Portfolio RS Emerg M kts Fd CLA A Dividend J T Bu y 9/17/09 J

1 5 I . IRA #2

I . In come Ga in Codes : A


7/11


8/11

FINANCIAL DISCLOSURE REPORTP a g e 8 o f l 1 Elli s , I11 , Th oma s S .

]0 7 / 1 ~ 0 1 0

VII. IN~STMENTS and TRUSTS - ~, ~.NONE ~o reportable income. ~sets, or tra~actions.)

A. [ B. C. D.~cripf ion of As~ ~ ~come ~ng G ~ss value at ~d T~sscfi~ during ~ing(inclu~ng ~st asse~) m~aing ~fi~ of reposingPlace "(~" a~ ~h ~t A m o u n t Ty~ (g., V~ue V~ue T~ (e .g . , D a t e Val~ G a~ I~ntiW of~pt from prior discl~u~ [ C~I ~v. , ~L C~2 Me~ b~, sell. ~d~ ~ 2 ~e I buy~/slkr, ( A - H ) o r i n t . ) (J-P) Code3 ~mption) ( J - P ) (A-~ ( i f p r i v a t e~cti~)

6 9 . Sun~cr Foc SC ~o~ CL A None Sold I ll ~09 J A7 0 . CRM M id Cap Va l l n s t l None Sold 1/10/09 J A

: 7 1 . We lls Fargo Adv En d SL-I A Dividend J T B uy 8/24/09 J7 2 . G S Fin l Sq M mkt l nst l A Dividend J T Sold 7/10/09 J A73. G S Finl Sq M mkt I ns t l A Dividend J T Sold 8/24/09 J A( p a ~ )74 . G S Finl Sq M mkt [ns t l A Dividend J T Sold 10/9/09 J A( p a r t )7 5 . Keeley Sma l l Cap Va lue CLA None Sold 1 1 1 0 / 0 9 J A76 . KS lnvt T R Global Natural Re* Fd eLA None Sold 8/24/09 J A77. SSGA Fd s Int l Stock SEL None Sold 8/24/09 J A

7 8 . ABRDN Smal lCap Fd A None Sold 1/22/09 J A7 9 . TIAA-Creflnst l Int l Eq Fd None Sold !/22/09 J A8 0 . Touchstone Large Cap Grwlh Fd ~L I A Dividend J T Bu y 8 / 2 4 1 0 9 J81. M a na ge rs T i m es Sq M /C GR W - PR A Dividend J T Sold 8/24/09 3 A( p a r t )82. American Cenry M ut Fds Amer Cen ty Vista None J T Sold 8/24/09 J AP (part)83. Blackrock Fds Int l Opp Inst l CL B A Dividend J T B uy 8/24/09 J84 . Cambiar Opp Fd A Dividend J T B uy 8/24/09 J8 5 . KS Invs tmt Fds Emerg ing M kts Fd A None Sold lillY09 J A

I . In com e G ain Cod es: A -$ 1 .000 or le as B -~l,OOI - $2.500 C --$2.501 - t $ .000 D =55,001 - 515.0~0 E =51 $.001 - 550,1)00(See Colurnn f O l and D4) F -5 5 0.001 - 5 100.000 G -$ 100.001 - $1 ,000,000 H I = 51 ,0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 -M o te tM m S S. 00 0,0 002. Value Codes

($ Columns C l and D3) hi =$250,001 -P3 -$25,000,0OI . $50.000.000 P4 "M or~: Ihan $50,0(30.0003 . V a l ue M e th od C od~ Q -App~isal R ~Cos~ (Read Estate Only} S =.~sscssmenl T =Cw~h Market(S~: Colum n C2I U =Book Value V -Oth~ W -Estimated


9/11

N a m e o f P e r so n R c p o r f in ~ D a t e o f R e p o r tFINANCIAL DI S CLO S U R E R E P O R T[ E l li s , I l l , Th om a s S . .age 9 of 11 0 7 1 1 2 / 2 0 1 0

D (No reportable income, assets, or transactions,)ONEA. B. C. D,D e s c r i p t i o n o f A s s e t s Income during Gross v ~ u at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p or t i n g p ~ r i o d o f r e p or t i n g p er i o d

(I ) {2) (I ) ( 2 ) (I ) ( 2 ) I (3) I (4)P l a c e " ( X ) " a R r r e a c h a s s e t A m o u n t T y p e ( e , g . , Va|m: Value T y p e ( e . g . . D a t e Valuet Gain I d e n t i t y o fC o d e I m n d d ~ ! y yx c m p ! f r o m p r i o r d i s c l o s u r e d i v . . r e n t , C o d e 2 M et h o d buy. sell, Cod e 2 Cod ~ I b ~ y e r / s e l k r(A4D or intO ( J -P) Code 3 r e d g m p l i o n } { J - P ) (A-H) ( i f p r i v a t ~( Q - W ) t r a n s a c t i o ~ l86 . John H ancock Classic Value Fd CL l A Dividend J T Bu y 8/24/09 J8 7 . Harbor lnt l Inst l CL A Dividend J T Bu y 8/24/09 J88. Hartford Int l Growt~ Fd None Sold 8/24/09 J A89. Hotchkiss & W i ley Fds M id Cap Va lue Fd A Dividend J T B uy 8/25/09CL I90. Legg M ason Va lue Tr lnc Nay Va lue Trus t A Dividend J T Sold 8/24/09(part)91. Neuberger & Ben nan Smal l Cap G rowth Fd None Sold 8/24/0992. Security Equity Fd M id Cap Value See CLA A Dividend J T Sold 8/24/09 J A(part)93. Satuit Capital M icro Cap Fd None Sold 8/24/09 J A94. We lls Fargo FDS TR Small Cap Grovcth Fd None J T Sold 8/24/09 J AAd m (par l)95. AIM G lobal Real Estate FD CL Y A Dividend J T B uy 8/24/09 J96. Blair Williams Fds lnll Growth Fd CL 1 A Dividend J T Bu y 8/24/09 J97. Blackrock Large Cap See Fds Core Fd A Dividend J T Bu y 8/24/09 J98. Park Ave Portfolio RS Emcrging M kts Fd A Dividend J T Bu y 8/24/09CLA99. Artio G lobal Inv t Fds Intl Equity Fd 11CL 1 A Dividend J T Bu y 8/24/09100 . PIMCO Fds PAC lnv t M gmt Ser-Comm A Dividend J T Bu y 8124/09 J

I . Income Gain Coder: A = $ 1 . 0 0 0 o r l e s .~ B -$ h001 -

(~ ~lumn ~) U -~k Value V ~h~ W -~t imated


10/11

FINANCIAL DISCLOSURE REPORTPage 1 0 of 1 1 ~m~, ill, T h o m a s S . 0 7 1 1 2 / 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


11/11

FINANCIAL DISCLOSURE REPORT I N .... f P e r ~ o m R e p o r ti n g D a t e o f R e p o r ~I Iage 1 1 of 1 1 mils , I l l , Thom as S. 0 7 / 1 2 ~ 0 1 0IX. CERTIF ICATION.

I certify that al l information give n above ( including information pertaining to my spouse an d min or or depende nt children, if any) isaccurate , true, and complete to the best of my know ledg e and be l ief, and that any information not reported was w ithheld because it met applicable statutoryprovisions permitting non-~isclosure~i further certify that earned income from outside em ploym ent and honoraria and the acceptance of gifts which have b een reported are incompliance w ith the provisions of 5 U .S.C. app. 501 et. seq. , S U.S.C. 7353, and Judicial Conference reg ulations.

S i g n a l

N O T E : A N Y IN D I VI D UA L WH O K N O W I N G L Y A N D W I L F ULL Y F A LS ~EPORT MAY BE SUBJECT TO CIVILAND CRIM INAL SANCTIONS (5 U .S.C. app . 104)

FILING INSTRUCTIONSM ai l s igned or iginal and 3 addi t ional copies to :

Com mit tee on Financia l DisclosureAdm inis trative O ff ice of the Uni t ed States Cour tsSuite 2-301One Co lumbus Ci rc l e , N.E .W ashing ton , D.C. 20544

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Thomas S Ellis III Financial Disclosure Report for 2009