Thomas S Ellis III Financial Disclosure Report for 2010

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  • 8/3/2019 Thomas S Ellis III Financial Disclosure Report for 2010

    1/12

    AO 10"Rev. 1/2011

    FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

    Report Required by the Ethicsin Governme nt Act of 1978(5 U.S.C. app..~ 101-111)

    ! . Pe r so n R e p o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a ti o n 3. Date of Report

    Ellis, 111, Thomas S. U.S. District Court, E.D. Va. 08/10/2011

    4 . Ti t l e ( A r t i c l e I I I judges ind ica te ac t iv e o r s en io r s t a tu s ;magistrate judges ind icate full- or part-time)

    Sen ior U.S. District Judge

    7. C h a m b e r s o r O f fi ce A d d r e s s

    401 Courlhouse Square9th FloorAlexandria, VA22314-5799

    5a. Report Type (check appropriate type)

    ] Nomination, D a t e

    [] Initial [] Annual [] Final

    5b. [] Amended Report

    8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , in c o m p l i a n c ewith applicable laws and regulations.

    Review|rig Officer D a t e

    6 . R e p o r t i n g P e r i o d

    01/01/2010to

    12/31/2010

    I M P O R TA N T N O T E S :The instructions accompanying this form must be followe,tCom plete all parts ,checking the NONE box for each part where you hav e no reportable information. Sign on last page.

    I. P O S I T I O N S .(Reporting individual only; see p p. 9-13 of f iling instructions.)

    ~ NONE (No reportable positions.)

    I. Advisory Board Mem ber

    2. Member

    3.

    4.

    5.

    POSITION NAME OF ORGAN IZATION/ENTITY

    Deans Intellectual Property Law Advisiory B oard, George WashingtUniversity

    Judicial Advisory Council on International Family Abduction

    I I . A G R E E M E N T S .(Reporting individual only; seepp. 14-16 of filing instructionx)

    ~ N O N E(No reportable agreements.)

    DATE PARTIES AND TERMS

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    FINANCIAL DISCLOSURE REPORT

    Page 2 o f 12

    N a m e o f P e r s o n R e p o r t in g

    Ellis, I11, Thoma s S.

    D a t e o f R e p o r t

    08/10/201 I

    I ll. N O N - IN V E S T M E N T I N C O M E .t R e p o . i n gindividualandspouse; seepp.17-24 of filing instructions.)

    A. Filers N on-Investment Income

    ~ (No reportable income.)ONE non- inves tmen t

    DATE SOURCE AND TYPE

    2.

    3.

    4.

    INCOME(yours , not spouses)

    B . S p o u s e sN o n - l n v es tm e n t In c o m e- If you were m arried during any portion of the reporting yea r, complete this section.(Dollar amount not required except for honoraria.)

    N O N E (N oreportable non-investment income.)

    DATE SOURCE AND TYPE

    I.

    2.

    3.

    4.

    I V . R E I M B U R S E M E N T S- transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp . 25-27 o f filing instructions.)

    N O N E(No reportable reimbursements.)

    SOURCE DATES LOCATION

    1 .

    2.

    3.

    4.

    5.

    PURPOSE ITEMS PAID OR PROVIDED

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  • 8/3/2019 Thomas S Ellis III Financial Disclosure Report for 2010

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    FINANCIAL DISCLOSURE REPORTPage 4 of 12

    N a m e o f P e r s o n R e p o r t in g

    Ellis , III , Thomas S.

    D a t e o f R e p o r t

    08/10/2011

    V I I . I N V E S T M E N T S a n d T R U S T S- inco,.e,,,al.., transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructio

    D NONE (No reportable income, assets, or transactions.)

    A. B. C.D e s c r i p ti o n o f A s s e ts I n c o m eduring G r o s s v a l u e a t e n d

    ( in c l u d in g tru s t a s s e ts ) r e p o r tin g p e r io d o f r e p o r tin g p e r io d

    (1) (2) (I) (2)Pl a c e " I X ) " a f te r e a c h a s s e t A m o un t T y p e (e .g . ,Value Value

    e x e m p t f ro m p r io r d i s c l o s u r e Code I d i v. , r e n t , C o d e 2 M e th o d( A - H ) o r in t. ) ( J - P ) C o d e 3

    ( Q - W )

    O)Ty p e ( e . g .,b u y, s e l l ,

    r e d e m p t i o n )

    Tr a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

    (2) (3) (4)Date Value Gain

    m m / d d / y yCode2 C o d e I

    (J-P ) (A-H)

    (5 )I d e n t i ty o f

    buyer/seller( i f p r iva te

    t r a n s a c t i o n )

    I. Sensor No n e J

    2. Wachovia Bank Accts A Interest K T

    3. 1RA#1

    4. Cambiar Opp Fd

    5. Cambiar Opp Fd

    6. Goldm an Sachs Tr Finl Sq Mmkt I

    7. Goldm an Sachs Tr Finl Sq Mmkt I

    8. Goldman Sachs Tr Finl Sq Mm kt 1

    9. Goldm an Sachs Tr Finl Sq Mmkt I

    1 0 . Hotchkiss & W iley Mid Cap Value I

    1 I . Hotchkiss & Wiley Mid Cap Value 1

    1 2 . Legg M ason Value Trust

    1 3 . Legg M ason Value Trust

    1 4 . Blackrock Lg Cap Core Fd

    1 5 . Blackrock Lg Cap Core Fd

    1 6 .

    1 7 .

    None

    No n e

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    None

    None

    None

    None

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    T Sold 08/24/10(par t )

    T Sold 11/02/10(part)

    T Sold 07/09/10(part)

    T Bu y 08/24/10(addl)

    T Sold 10/08/10(part)

    T Sold I 1102/I0(part)

    T Sold 08/24/I 0(part)

    T Sold I 1/02/10(part)

    T Sold 08/24/10(part)

    T Sold 11/02/10(part)

    T Sold 08/24/10(part)

    Sold 08126/10

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    DWS Dreman Sm Cap Value CLS

    DWS Dreman Sm Cap Value CLS

    A

    A

    Dividend

    Dividend

    J

    J

    T Buy 08/24/I 0(addl)

    T Sold 11/02/10(part)

    J

    J

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    I. Income Gain Codes:

    {See Columns BI and2. Value Codcs

    ISce Columns CI and

    3. Value MethodISce Column C2)

    A =$1,000 or lessF =$50.001 -$ 1 0 0 . 0 0 0J $15,000 or lessN =$250.001 - $500.CO0P3 =$25.000.0OI - $50.000.000

    Q =AppraisalU =Book Value

    B =$ 1.001 - $2,500

    G =$100.04)1 - $1,0OO.000K =$15.0OI -$ 5 0 , 0 O O0 = $500.001 - $1.000,000

    R =Cost {Real Estate Only)V Othcr

    C =$2.501 - $5,000H 1 =$1.000.001 - $5.0~0,000L =$50.001 -$100,000

    P I -$1,000,001 - $5,000,000P4 =More than $50,000.000S =AssessmentW =Estimated

    D =$5,001 - $15,000H2 =More than $5.0~0.000M =$100,001 -$250,000P2 =$5,000,00| -$25,000.000

    T -Cash Market

    E =$15.001 - $50.000

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    FINANCIAL DISCLOSURE REPORTPage 5 of 12

    N a m e o f P e r s o n R e p o r ti n g

    Ellis, Ill, Thoma s S.

    D a t e o f R e p o r t

    08/10/201 I

    V I I. I N V E S T M E N T S a n d T R U S T S- i .... e, value,, ...... ions (Includes those of spouse and depe ndent children; seepp. 34-60 of fi ling instructions.

    N O N E(No reportable income, assets, or transactions.)

    D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) reposing period

    0) (2)Place "(x)" after each asset A m o u n tTy p e ( e . g . ,

    exempt from prior disclosure Code I d i v. , r e n t ,( A - H ) o r i n t . )

    G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

    (l) (,)Value Value

    C o d e 2 M e th o d(J-P) C o d e 3

    ( Q - W )

    Ty p e(e .g . ,b u y, s e l l ,

    r e d e m p t io n )

    Transactions d uring reporting period

    (2) (3) (4)D a t e Value Gain

    m m/dd/yy Code 2 Code I(J-P) (A-H)

    (5 )I d e n t i t y o f

    buyerlseller( i f p r iva te

    t r a n s a c t i o n )

    1 8 . Quanti tative Grp Fds Fo reign Value Fd Ord. N o n eSH S

    1 9 . Quanti tative Grp Fds Fo reign Value Fd Ord. N o n eSH S

    20 . Artio In tl Equity Fd CL I N one

    21 . Artio Intl Equity Fd CL I N o n e

    22 . Security EQ Fd Mid Cap Value Ser CLAA Dividend

    23 . Security EQ Fd Mid Cap Value Ser CLAA Dividend

    24 . T Rowe Price Mid Cap Growth Fd A Dividend

    25 . T Rowe Price Mid Cap Growth Fd A Dividend

    26 . Touchstone Large Cap Growth Fd CL I A Dividend

    27 . Touchstone Large Cap Growth Fd CL I A Dividend

    28 . Wells Fargo Fds Tr Small Cap Growth FdA DividendAdmin CL

    29 . Delaware Grp Advisor Fds Inc US GrowthA DividendPort Instl CL

    30 . Delaware Grp Advisor Fds lnc US GrowthA DividendPort Instl CL

    31 . John Hancock Classic Value Fd CL I A Dividend

    32 . John Hancock Classic Value Fd CL I A Dividend

    33 . Harbor Intl Instl CL A Dividend

    34 . Harbor lntl Instl CL A Dividend

    J

    J

    J

    J

    .I

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    T Sold 08/24/I 0 J A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    A

    (part)

    Sold 08126110

    T Bu y 08/24110

    (addl)T Sold I 1/02110

    (part)

    T Bu y 08124/I 0(addl)

    T Sold 11/02/10(part)

    T Sold 08/24/10(part)

    T Sold 11/02/10(part)

    T Sold 08/24/10(part)

    T Sold 11/02/10(par t)

    T Sold I 1 / 0 2 / 1 0(par t)

    T Sold 08/24/10(par0

    T Sold I 1/02/10(par t)

    T Sold 08/24/101( p a n )

    T Sold I 1/02/lO( p a n )

    T Bu y 08/24/I 0(addl)

    T Sold 11/02/10;(part)

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J

    J A

    1. Income Gain Codes: A = $1,000 or less B = $ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15.000

    tSce Columns BI and D4) F =$50.0~1 - $10~.00~ G =$10 0,001 - $ | .0~).00~ HI -$t.O0(I.OOI - $5,0~O.0OO H2 =More than $5,0~L00~

    2. Value Codes J -$15,000 or le ss K =$15.001 - $50.000 L =$50.1)01 - $100.0O0 M -$100,001 - $250,000

    tS,zc Columns CI and D3) N =$250,001 - $500.000 O =$5 00,001 - $1.000,0~0 PI -$1,000.001 - $5,0OO.0OO P2 =$5,000,001 - $25.000,000

    p3 = $25,000,001 . $50.000.000 P4 More than $50,000.000

    3. Value Method Codes Q =Apprai~l R =Cost (Real E,, . tate Only) S =Assessment T =Cash Market

    [See Column C2) U =Book Value V =Other W =Estimated

    E =$15,001 - 550,0~1

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    FINANCIAL DISCLOSURE REPORT

    Page 6 of 12

    N a m e o f P e r s o n R e p o r t in g

    Ell is , I ll , Thom as S.

    Date of Report

    08/10/2011

    N O N E(No reportable income, assets, or transactions.)

    Description of Assets Income during

    ( in c lu d in g w a s t a s s e ts ) re p o r tin g p e r io d

    O) (2)Pl a c e " ( X ) " a f te r e a c h a s s e t A m o u n tTy p o ( e .g . ,

    e x e m p t fr o m p r io r d i s c l o s u r e Code I d i v. , r e n t ,(A-H) or int .)

    G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

    O) (2)Value Value

    C o d e 2 M e th o d(J -P ) C o d e 3

    ( Q - W )

    (1 )Typ~ (e.g.,buy, sell,

    redemption)

    Transactions d uring reporling period

    ( 2 ) ( 3 ) ( 4 )

    D at e Value Gainm m/d d/y y Cod e 2Code I

    ( J - P ) ( A - H )

    (5 )I d e n t it y o fbuyer/seller( i f p r iva te

    t r a n s a c t i o n )

    35 .

    36 .

    Opp enheimer In t l Growth Fd CL Y

    Opp enheim er In t l Growth Fd CL Y

    A Dividend

    A Dividend

    Sold 08/24/10 J A(part)

    Sold 08/26/10 J A

    37 . Oppen heimer Dev Mkts CL Y A Dividend J Bu y 08124110 J

    38 . Oppen heimer Dev Mkts CL Y A Dividend

    3 9. M o rgan S tan ley In st l F d Tr M id C ap G ro w thA DividendP o r tI

    4 0 . M o r g a n S t a n l e y I n s t l F d T r M i d C a p G r o w t hA D i v i d e n dP o r t I

    4 1 . P i m c o F d s PA C I n t M g m t S e t C o m m R e a lA D i v i d e n dR e t S t r d t F d I n s t l C L

    4 2 . P i m c o F d s PA C I n t M g m t S e r C o m m R e a lA D i v i d e n dR e t S t r d t F d [ n s t l C L

    43 . AIM Global Rea Est Fd CL Y A Dividend

    44. Park Ave P ortfol io R S Em erg Mkts Fd CLA None

    J

    J

    J

    J

    J

    J

    T

    T

    T

    T

    T

    T

    Sold 11/02/10 J A(part)

    Sold 08/24/10 J A(par t)

    Sold I 1/02/10 J A(par t)

    Sold 08/24/10 J A( p a n )

    Sold 11102/10 J A(part)

    Sold 11/02110 J A(part)

    Sold 07/09110 J A

    45 . Blair Wil l iam FDS Int l Growth Fd CL I A Dividend J Bu y 08/24/10 J

    46 . Blair Wil liam FDS lnt l Growth Fd CL 1 A Dividend J

    47. Dreyfus Appreciation FD lnc A Dividend J

    T

    T

    Sold 11/02/10 J(part)

    Bu y 0 8 1 2 4 11 0 J

    48 . DreyfusAppreciationFDlnc A Dividend J

    49 . Dreyfus Appreciation FD lnc A Dividend J

    50 . RS Invt TR Em erging Mkts FD CL Y A Dividend J

    T

    T

    T

    Bu y 08/27/10(addl)

    Sold 11/02/10(part)

    Buy 07/09/10

    J

    J

    J

    51 . RS Invt TR Emerging M kts FD CL Y A Dividend J Sold(part)

    08/24/10

    I. In come Gain Cod es: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,090{ S~ c C olum ns B I an d D .4 ) F =$ 50 ,0 01 - $ 1 00 ,0 00 G =$ 100,001 - $ 1.000,000 H I =$1,0~0,001 - $ 5.000.000 H2 =More than $5,000.000

    2. Value Codes J -$15,000 or less K $15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,0~(See Columns CI and D3) N =$250,001 - $500,000 O =$500.001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000.001 - $25,000.000

    P3 =$25,000,001 - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

    {See Column C2) U =Book Value V =Other W =Eslimatcd

    E = $ 1 5 . 0 0 1- $50,000

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    FINANCIAL DISCLOSURE REPORTPage 7 of 12

    N a m e o f P e r s o n R e p o r t i n g

    Ellis, III, Thoma s S.

    D a t e o f R e p o r t

    0 8 / 1 0 / 2 0 1 1

    V I I . IN V E S T M E N T SandT R U S T S- ; nco , , ,e ,, al , ,e,transactions (Includes those of spouse and dep endent children; see pp. 34-60 of fi l ing instructiomO

    NONE (Noreportable income, assets, or transactions.)

    Descript ion of Assets Income during

    ( in c lu d in g tru s t a s s e ts ) r e p o r tin g p e r io d(I) (2 )

    Pl a c e " ( X ) " a f te r e a c h a s s e t A m o un t T y p e (e .g . ,exempt from prior disclosure Code I d i v. , r e n t ,

    ( A - H ) or in t . )

    G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

    ( 1 ) ( 2 )Value ValueC o d e 2 M e th o d(J-P) C o d e 3

    ( Q - W )

    (1 )Type (e.g.,

    buy,sell,r e d e m p t io n )

    Tr a n s a c t i o n s d u r i n g r e p o r t in g p e r io d

    (2) (3) (4)D a t e Value Gain

    mm/dd/yy Code2 Code I( J - P ) (A-H)

    Ident i ty ofbuyer/sel ler

    ( i f p r iva tet r a n s a c t i o n )

    52 . RS Invt TR Eme rging Mkts FD CL Y A Dividend

    53. Sent ine l Mut . Fds Small Co CL I A Dividend

    J

    J

    T

    T

    Sold 11/02/I 0 J(part)

    Buy O8/24/IO J

    A

    54 . Sentinel Mut. Fds Sm all Co CL I

    55 . IRA #2

    Dividend T Sold 111 0 2 11 0 1 J A

    (part)

    56 .

    57 .

    58 .

    59 .

    60 .

    61.

    62 .

    63.

    64 .

    65 .

    66 .

    67 .

    68.

    Diamond Hil l Sm Cap Fd A A Dividend Sold 09/21/10 J A

    Sold 09/17/10 J A(part)

    Sold 09/21/10 J A

    07/09/10 J A

    09/17/10 J

    10/08/10 J A

    09/17/10 J A

    09/17/10 J A

    07/09/10 J A

    09/17/10 J A

    09/21/10 J A

    Sold 09/17/10 J A

    Sold 09/17/10 J A(part)

    Wells Fargo Adv E nd SL-I

    Wel ls Fargo Adv E nd SL-I

    A

    A

    Dividend

    Dividend

    T

    GS Finl Sq M mkt Inst l

    GS Finl Sq M mkt Inst l

    GS Finl Sq M mkt Inst l

    Touchstone Large Cap Grwth Fd CL 1

    Managers Times Sq M/C GRW -PR

    American Centy Mut Fds Amer Centy VistaP

    Blackrock Fds lntl Opp Instl CL B

    Blackrock Fds Intl Opp Instl CL B

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    A Dividend

    J

    J

    J

    J

    J

    T Sold(part)

    T Bu y(addl)

    T Sold(part)

    T Sold(par t)

    T Sold(part)

    Sold

    T Sold(par t)

    Sold

    Cambiar Opp Fd A Dividend

    John Hancock Classic Value Fd CL I A Dividend

    1. Income Gain Cod es: A ~$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15.000

    (see Columns BI and I)4) F =$50.1)01 - $100,000 G =$100,001 - $1,0~0,000 HI =$ I,0 00 ,0 01 - $5 .0 00 ,0 00 H2 ~ Mo re th an

    2. Value Codes J =$15,000 or less K =$15,001 - $50,0OO L = $50,001 - $10~ .000 M =$100,0~1 - $250.000

    (See Columns C I and D31 N =$250,0O I - $500,000 O ~$500,001 - $1,000,00~ PI =$1,000,001 -$5,000,000 P2 =$5,0~0.001 - $25,000.000

    P3 $25,000,0~ I - $50.000,00~ P4 =More than $50,0~O.00~

    3. Value Method Codes Q =Appraisal R :Cost (R eal Estate On ly) S =Assessm ent T =Cash Market(See Column C2) U =Book Value V =Other W =Estimated

    E = $ 1 5 . 0 0 1- $ 5 0 . 0 0 0

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    FINANCIAL DISCLOSURE REPORT

    Page 9 of ! 2

    N a m e o f P e r s o n R e p o r t in g

    Ellis, III, Thoma s S.

    D a l e o f R e p o r t

    0 8 / 1 0 / 2 0 1 1

    V I I . I N V E S T M E N T S a n dT R U S T S-income,value,transactions (Includesthose of.spouse and dependent children; see pp. 34-60 of filing instructions.)

    D (No reportable assets, orONE income, transactions.)

    86 .

    88.

    89 .

    90 .

    91 .

    92 .

    93 .

    94 .

    95 .

    96 .

    97 .

    98 .

    99 .

    100.

    101.

    A. B. C.Description of Assets Income during Gross value at end

    (includingtmslassets) r~porting period of reporting period

    (i ) (2 ) (I) (2)Place "(X )" after each asset AmountTy p e(e .g . , Value Value

    exempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

    (Q-W)

    (l )Type (e.g.,

    buy, sell ,

    r ed em p t i o n )

    Transactions during reporting period

    ( 2 ) ( 3 ) (4)D a t e Value Gain

    mmldd/yy Code2 CodeI( J - P ) ( A - H )

    Identi~y ofbuyer/sel ler

    (if private

    t ransact ion)

    Morgan S tanley Instl Fd Trust Mid CapGrwth Port CL I

    Oppenheimer Dev Mkts CL Y

    A Dividend

    A Dividend

    J

    J

    T

    T

    Sold 09/17/10 J(part)

    Bu y 091171|0 J

    Sentinel M ut Fds Small Co CL I A Dividend J Bu y 09/17/10 J

    102.

    I. Income Ga[ta Codes: A =$1,000 or less B -$1,001 - $2,500 C =$2,501 - $5,000

    (See Colunms B I and D4 ) F = $ 5 0 . 0 0 1 - $ I2. Value Codc~ J =$15,000 or less K =$15,001 - $50.0~0 L =$50.0OI - $100.000

    (SeeColurrmsCI and D3) N =$250.0OI - $500,000 O $500.001 - $1,000,000 PI -$1,000,001 - $5,000,0~0

    P3 $25,000.001 - $50.000.000 P4 -More than $50,000.0003. Value Method Codes Q Appraisal R -Cosl I Real E,~tale Only}

    (See Colunm C2) U =Book Value V =Other \ V =Estimated

    D =$5.001 - $15,000H2 =More than $5,000.000M =$ 100,001 - $250,000

    P2 = $ 5 , 0 0 0 , 0 0 1- $25,000,000

    T =Cash Markcl

    E =$15.001 - $50,0~O

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    FINANCIAL DISCLOSURE REPORT

    Page 10 o f 12

    N a m e o f P e r s o n R e p o r ti n g

    Ellis, Ill, Thoma s S.

    Date of Report

    08/10/2011

    V I I . I N V E S T M E N T S a n d T R U S T S- incom e, , ol .e , t ransact ions ( Includes those of spouse and depen dent chi ldren; see pp. 34-60 of f i l ing in st ruction~)

    [~] . NONE (No reportable income, assets, or transactions.)

    Descript ion of Assets Income during

    (including t rust assets) report ing period

    O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

    exempt from prior disclosure Code I div. , rent ,(A-H) or int .)

    Gross va lue a t endof report ing per iod

    O) (2)Value V alue

    Cod e 2 M ethod(J-P) C o d e 3

    ( Q - W )

    Type (e.g.,

    buy, sel l ,

    r ed em p t i o n )

    Transac tions d u r ing repo r ti ng per iod

    (2) (3) (4) (5 )

    D a t e Value Gain Identity ofmm/dd/yy Code 2 i CodI buyer/seller

    (JP)]i (A-H) (if privatei transaction)

    103.

    104.

    105.

    I. Income Gain Codes: A - $1 , 0 0 0or less B = $1,001 - $2 ,500 C =$2,501 - $5,000 D =$5.001 - $15,000

    lsee Columns B I and D4) F -$50.001 - $100.000 G =$100,001 - $1,000,000 H 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 ~0 H 2 =M o re th an $ 5, 00 0 ,0 00

    2. Value Codes J $15.000 or less K = $15,001 - $50.000 L =$50.001 - $100,0~ 0 M =$100,001 - $250,000

    (See Columns CI and D3) N =$250.001 - $500,000 O ~$500.001 - $1.000.0~) PI =$1,000.001 - $5,~00,000 P2 -$5.0~0.001 - $25,000,000

    P3 =$25.000.091 - $50.000.000 P4 =More than $50,00~.00~

    3. Value Method Codes Q Appraisal R =Cost (R eal Estale On ly) S =Assessm ent T-Cash Marke t

    [See Column C2) U =Book Value V =Other W =Estimated

    E =$15,091 - $50,000

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    FINANCIAL DISCLOSURE REPORT

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    Name of Person Report ing

    Ellis , III , Thom as S.

    Date of Report

    08/10/201 I

    VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.(Indicate part of report.)

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    Name of Person Reporting

    Ellis, I ll, Thomas S.

    Date of R eport

    08/10/2011

    IX. CERT IFICATION.

    1 cert ify tha t a l l informat ion given abov e ( inc luding informat ion perta ining to m y spouse an d m inor or depen dent chi ldren, i f an

    accurate, true, and complete to the best of my knowledge and belief, and that any information not reported svas withheld because it mprovisions permitting non-disclosure.

    I fur ther cer t i fy that earned incom e from outs ide em ploym ent and ho norar ia and the acceptance of g if ts which have bee n reported are incomp liance with the provis ions of 5 U .S.C. app. 501 e t . seq, 5 U.S.C. 7353, and Judic ia l Conferen ce regula t ions .

    Sign at ur e: S/Thom as S. Ellis, III

    NO TE: ANY INDIVIDUAL W HO KNO W INGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE THIS R EPORT M AY B E SUBAND CRIM INAL SANCTION S (5 U.S .C. app . 104)

    Committee on Financial DisclosureAdm inistrative Office of the United States CourtsSuite 2-30 1One Columbus Circle, N.E.W ashington, D.C. 20544