f"its.c.'.rj } IOl-111

Transcription

1 O O Rev FOR CLENDR YER 2007 Report Required by the Ethics in,ve W "ff/ 'lof 1978 f"is.c.'.r } Ol-111 C s - u Person Reporting (last name, first. middle initial) Court or Organization Ellis,, homas S U.S. District Court, E.D. Va. 06/13/2008 itle (rticle fll judges indicate active or senior status; magistrate judges indicate full- or part-time) Senior U.S. District udge Sa. Report ype (check appropriate type) omination, Date D nitial 0 nnual D Final Sb. mended Report D 6. Reporting Period 01/01/2007 to 12/31/ Chambers or Office ddress 401 Courthouse Square 9th Floor lexandria, V On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date MPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable infom1ation. Sign on last page. POSONS. (Reporting individual only; see pp of filing instructions.) 0 NONE (No reportable positions.) POSON NME OF ORGNZON/ENY dvisory Board Member Dean's ntellectual Property Law dvisory Board, George Washington University Member udicial Conference dvisory Committee on ppellate Rules Member udicial dvisory Council on nternational Family dbuction GREEMENS. (Reporting individual only; see pp of filing instructions.) [Z NONE (No reportable agreements.). PRES ND ERMS D,..., Cf C) r--... j - ;::o - rr1 o)> " '.., () fo = = <- c: :: N 0 )> 9 N.c :: m 0 rn < m 0

2 Page 2of9 Ellis,, homas S 06/13/2008. N 0 N-NVES MEN N CO ME, (Reporting individual and spouse; see pp of filing instructions.). Filer's Non-nvestment ncome [Z NONE (No reportable non-investment income.) SOURCE ND YPE NCOME (yours, not spouse's) B. Spouse's Non-nvestment ncome f you were married during any portion of the reporting year, complete this section. (Dollar amounr not required except for honoraria.) [Z NONE (No reportable non-investment income.) SOURCE ND YPE V, REMB URSEMENS -- transportation, lodging, food, entertainment. (ncludes those to spouse and dependent children;.1..e pp offinx instruction.'.) D NONE (No reportable reimbursements.) SOURCE DES LOCON PURPOSE EMS PD OR PROVDED Colorado Bar ssociation CLE 1/6/2007 to 1/08/2007 Snowmass. Colorado Sem inar (speaker) food/lodging/travel Santa Fe, New Seminar (speaker) food/lodging/travel to Mexico 7/30/2007 Ll-B

3 Page 3of9 Ellis,, homas S 06/13/2008 V, G FS. (ncludes those to spouse and dependent children; see pp of filing instructions.) [Z NONE (No reportable gifts.) SOURCE DESCRPON VLUE V. LBLES, (ncludes those of spouse and dependent children; see pp of filing instructions.) [Z NONE (No reportable liabilities.) CREDOR DESCRPON VLUE CODE 1.

4 Page 4 of 9 Ellis,, homas S 06/13/2008 V NVESMENS and RUSS.. income, value, transactions 11nc1udes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) - -i e:.- B.. D. Description of ssets ncome during Gross value at end of ransactions during reporting period (including trust assets) Place "(X)" after each asset i o Value rti _ --- r r Value exempt from prior disclosure div., rent, Code 2 1 Method, sell, or int.) (-P) Code 3!.1 (Q-W) -t' - - () (4) ( 5) ype (e.g., Date Value Gain dentity of (2) (3) Month Code 2 Code er/seller redemption) Day (-P) (-H) (if private! transaction) - - _ Sensor Burke & Herbert Bank & rust Co. ccounts c nterest closed 7110 Burke & Herbert Bank & rust Co. (R #1) nterest R rollover 2/16 Wachovia Bank ccounts E nterest L opened R#2 6. Calamos Growth Fd 12/5 B 7. Cambiar Opportunity Fd 12/5 B 8. FM! Fds Focus Fd 12/5 9. Goldman Sachs r Finl Sq M mkt 10. Hotchkiss & Wiley Mid Cap Value 12/5 11. ulius Baer nt'! Equity 12/5 D 1 Kinetics Sm Cap Opportunities 12/5 B 1 Kinetics Paradigm Fd 12/5 c 1 Legg Mason Value rust K 12/5 B 1 Royce otal Return Fd CLW Royce otal Return Fd CLW CW Fds Select Equities Fd 1/7 Ga c ;; : ncome 1-1. (See Columns Bl and 04) - -- =$1,()() or less F =$50,(Xll $ =$1,001-$2,500 G =$100,001 - $1,000,()Xl c =$2,501 - $5,()) H =$1,()(l,OO - $5, D =$5,00t $15,000 E =$15,001 $50,000 H2 =More than $5,000,000 Value Codes =$15,(X)or less K =$15,001 $50,000 L =$50,001 $100,000 M =$t00,001 $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001. $25,000,000 Value Method Codes P3 =$ $50,000,000 Q =ppraisal R =Cost (Real Estate Only) P4 =More than $50,000,CXXl S =. ses. menl ::ash Market (See Column C2) U =Book Value V =Other W =E timated

5 Page 5of9 Ellis,, homas S 06113/2008 V NVESMENS and RUSS -- income, value, transactions r1nc1udes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) '1. B. c. D. Description of ssets ncome during Gross value at end of ransactions during reporting period j (including trust assets) reporting period reporting period () () (2) () (5) Place "(X)" after each asset 'mount ype (e.g.. Value Value ype (e.g., D"' ''"' G "" dentity of exempt from prior disclosure 'V Code er/seller (2) i <2i f (3-) -, (4) Code div., rent. Code 2 Method, sell, Month Code (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (Q-W) j - (if private transaction) 18. CW Fds Select Equities Fd 1215 B 19. lger Sm Cap 4/ lger Sm Cap Black Rock Lg Cap Value Fd 4/26 2 Black Rock Lg Cap Value Fd 1215 B 2 Columbia Funds r Marsico 21st Century Fe CL 3/20 2 Columbia Funds r Marsico 2 st Century Fe CL 1215 B 2 Dodge & Cox nt' Stock Fd 9/ Dodge & Cox nt' Stock Fd DWS Dreman Sm Cap Value CLS Fidelity dvisor Ser Lev Co Stock Fd Fidelity dvisor Ser Lev Co Stock Fd Quantitative Group FDS Foreign Value Fd Ord SHS 5/ Quantitative Group FDS Foreign Value Fd Ord SHS Rs lnvt R Global Natural Res Fd CL Rs nvt R Global Natural Res Fd CL 12/5 3 R#3 l':;;;; Gain Co;; (See Columns Bl an<l D4) f=$50,()() - $100,()() G =$11Xl,001 - $1,000,(X)() H =$1.000,()() - $5,000,()()() 112 =More than $5,000, :;;:$1,(X>O or less B =$1,001 - $500 c =$501 - $5,()( D =$5,001 - $15,000 E "$15,001 - $50,000 Value Codes ;:$15,000 or le K =$15,001 - $50,fXXl L "$50,001 - $ M =$100,001 - $250,000 (See Columns Cl an D3) N =$250,001 - $500,000 0 =$5()(),00 - $1,000,(){)() Pl =$1.000,()()1 $5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$2000,001 - $50,()(1,000 P4 =More than $50,000,000 Value Method Codes Q =rpraisal R =-o.\! (Real Estate Only) S ==ssessment =Cash Market (See Column C2) U :::obnnk Value Y =Other W :::fatimatec

6 Page 6of9 Ellis,, homas S 06113/2008 V NVESMENS and RUSS --.income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.! D NONE (No reportable income, assets, or transactions.). B. c. ---;--- D. Description of ssets ncome during! Gross value at end of i ransactions during reporting period (including trust assels) reporting period reporting period (2) () () f (2). ; Place "(X)" after each asset mount ype (e.g., Value Value j_ exempt from prior disclosure Code 1 div., rent, Code 2 Method (-H) or int.) (-P) 3 Baron Select Partners Blackrock Large Cap Val Bridgeway Ultra-Small Co 2/ Constell Sands Cap Fd * K *Renamed ouchstone nst'! Fds r Sands Cap nst'! Growth 40. Diamond Hill Sm Cap Fd Dodge & Cox nt'! Stock Fd 2/22 4 Hotchkiss & Wiley Cor Val 2/22 4 anus Md Cap Val Fd nst ulius Baer nt'! Equity 2/22 4 Kinetics SC Opp nst'! 46. Munder MC Core Growth Y NUVN rdwnds nt'! Val R Natnwde Mut SC FD CL 49. Pioneer-Cullen Value Y Sunamer Foe SC Growth CL CRM Mid Cap Val nst'! ncome Gain Codes: =$1,000or less (See Columns Bl and 04) Value Codes F =$50,00 $100,000 B =$1,00 $2,500 G =$100, $1,(XXl,000 c =$2,501. $5,000 H =$1,000,001 =S 15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 - $250,000 $5,000,000 0 =$5,001 $15,000 E =$15,001 $50,000 H2 =More than $5,000,000 (See Columns Cl and 03) N =$250,00 $500,000 0 =$500,iX $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001. $25,000,000 P3 =$2000,001 $50,000,000 P4 =More than $50,000XX) Value Method Codes Q ::rrraisal R ::Cn. t (Real Estate Only) S =:;ses:->ment :::Cash Market (See Column C2) U =Bnok Value V =Other W=E<ilimated

7 Page 7 of 9 Ellis,, homas S 06/13/2008 V NVESMENS and RUSS -- income, value, transactions (ncludes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). Description of ssets (including trust assets) reporting period reporting period B. c. D. ncome during Gross value at end of ransactions during reporting period () i () (2) () (3) (4) (5) Place "(X)" after each asset mount! ype (e.g., Value Value ype (e.g., Date Value Gain exempt from prior disclosure Code div.. rent, Code 2 Method. sell, Month - 1 Code 2 Code (-H) or int.) (-P) Code 3 redemption) ' Da l(-p) (-H) (Q-W) _! _ -- (2) (2) dentity of er/seller (if private transaction) 5 Wells-Fargo dv End SL- K 2/22 5 GS Finl Sq Mkt nst'! 5 Keeley Small Cap Value CL 2/22 5 RS nvt R Global Natural Res Fd CL 2/ SSG FDS ntl Stock SEL 2/ ncome Gain Codes: :::$1,000 or les.s 8=$1,001-$2,500 c =$501 -$5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F=$50,00 -$ G =$ 00,fXll - $1,000,000 H =$1,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes ::$15,(X)) nr less K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (See Columns Cl and 03) N =$250,001 - $500,000 0 =$ $1, Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000 P =$25,000,001 - $50,000,000 P4 =More than $50, Value Method Codes Q :::oprraisal R =Cost (Real fatale Only) S ::ssessment ::Cash Market (See Column C2) U =Book Value V =Other W ::fatimated

8 Page 8of9 Ellis,, homas S 06/13/2008 V DDONL NFORMON OR EXPLNONS. (lndicate partofreport.) R # was rolled over into R #3 on 2)22/2007.

9 Page 9of9 Ellis,, homas S 06/13/2008 X. CERFCON. certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. NOE: NY NDVDUL WHO KNOWNGLY ND WLFULLY FL ND CRMNL SNCONS (5 U.S.C. app. 104) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C