D NONE (No reportable positions.)

Transcription

1 OO Rev FNNCL DSCLOSURE REPOR FOR CLENDR YER 2008 C Re Rtuied by the Ethics r. ih;{jfee"vent.ct of iUS.C.lpp ). Person Reporting (la51 name. first middle initial) 2. Court or Organizatit>n 3. Date or Report Ellis. ll. homas S U.S. District Court. E.D. Va / itle (nicle ll judges indicate active or senior status; magistrate judges indicate full or pantime) Scr1io1 U.S. Disc.ric..:1 udgr: 7. Chambers or Offce ddress 40 Courthouse Square 9th Floor lexandria. V Sa. Report ype (check appropriate type) D 0 L Reporting Period Nomination. Date 01/01/2008 D nitial nnual n Final to 12/31/2008 Sb. mended Repon D 8. On the basis or the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. R.. Qfflfi!lir.... MPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reporltthle infonnation. Sign on las/ page., POS ONS. (Reporting individual only; see pp. 913 of filing instructions.) D NONE (No reportable positions.) POSON NME OF OR GNZ ON/ENY. dvisory Board Member Dean's ntellectual Property Law dvisory Board. George Washington University 2. Member udicial Conference dvisory Committee on ppellate Rules (and Sealing Subc ornittee) 3. Member udicial dvisory Council on nternational Fami dbuction 4. 5., GREEMENS. (Reporting individual only; see pp of filing instructions.) [Z NONE (No reportable agreements.) = (/ ; ;; ( r_ :n c: rn ':.") :: ; z () > f '>"'' '.. ("") i c1 C > >.,, ;11 rn q ;: C" C> rq.. PRES ND ERMS Ellis ll, homas S

2 FNNCL DSCLOSURE REPOR Page? of 10 Name of Person Reporting Ellis, ll, homas S. Date of Report 06/11/2009. NONNVESMEN NCOME. (Reporting individual and spouse; see pp of filing instructions.). Filer's Nonnvestment ncome f7 NONE (No reponable noninvestment income.) SOURCE ND YPE!NCO.M (yours, nol spouse's). 2. ). 4. B. Spouse's Nonnvestment ncome f you were married during any portion of the reporting year, complete this section. Dnllar amount nm required except fnr honoraria. 0 NONE (No reportable noninvestment income.) SOURCE ND YPE Charlonesville City Public Schools salary lbemarle County Public Schools salary V. REMBURSEMENS transportation, lodging.food, entertainment. fncludes thou tn spouse and dependent children: see pp offilinfi instructions.) D NONE (No reportable reimbursements.) SOURCE D ES LOCON PURPOSE EMS PD OR PROVDED. Villanova University School of to 2/2/2008 Law Villanova, P Seminar (speaker) food/lodging/travel

3 FNNCL DSCLOSURE REPOR Page 3of10 Name or Person Reporting Ellis, ll, homas S. Date or Report 06/ l/2009 V. GFS. (ncludes those lo spouse and dependent children; see pp of filing instructions.) l2 NONE (No reportable gifs.) SOlCE DESCRPON VLUE V. LBLES. (ncludes those of spouse and dependent children; see pp of filing instructions.) l2 NONE (No reportable liabilities.) CREDOR DESCRPON VLUE CODE

4 FNNCL DSCLOSURE REPOR Page 4 of 10 Name of Person Reporting Ellis, ll, homas S. Date of Report 06/ 1/2009 V. NVESMENS and RUSS D : L NONE (No reportable income, assets, or transactions.) " 0escription of ssets {incuding t. : asset&) Place "<Xr after each asset exempt from prior disclosure s income, value, transactions (ncludes those of spouse and dependent children; SU pp of filing ins/ructions.) Semor Non? 2. Wachovia Bank ccount; : rep pen:: +_report yoo.l. : i. (). (2) () (2) : (5) 1 mount j ype (e.g.. Value 11 Value ype (e.g.. Date Value Gain dentity of i C od e! div.. rent. Code 2 Method buy. sell. Month Code 2 i Code buyer/seller 1.., c. D. ncome during Gross value at end of! ransactions during reponing period (). (2). (3) (4) (H) or int) (P) Code 3 redemption) Day ip) (H) (if private transaction) (_ W nterest K l 3. R # (formerly listed as R #2) 4. Calamos Growth Fd 5. Cambiar Opportunity Fd 6. FM FDS Focus Fd 7. Goldman Sachs r Finl Sq Mmkt Dividend 8. Hotchkiss & Wiley Mid Cap Value 9. ulius Baer lnt' Equity Dividend 10. Kinetics Sm Cap OpportWlities. Kinetics Paradigm Fd 10/ Legg Mason Value rust K 10/ Royce otal Return Fd CLW 14. CW Fds Select Equities Fd 10/ lger Sm Cap 10/ Blackrock Lg Cap Value Fd 10/ Columbia Fds r Marsico 2 st Century Fd CL 10/15 ). ncome Gain Codes: =SUlOor less (Sec: Column Bl and 04) F =$ S Hl0.000 B =Sl.OOl. $2.500 G=S Sl C =S2.501 S5.000 H =Sl S5.000.XX D 45.00l $ H2 =Mor< 1han $ E =Sl5.00l SS V aue Codes =Sl5.000or less K =Sl5.00 $50,000 L =S50.00 $ M =S $ (See Columns Cl an D3) N =S250.fXl $ =S500Xl Sl Pl =S P2 =S ! S25.000,000 P3 =S $ P4 =More than $ Value Metho Codes Q=ppraisal R. =Cos. (Real Estate Onty} S=ssessment :::C h Markel (Sec Column C2) U =Book Value V =Orhcr W=Estimated

5 FNNCL DSCLOSURE REPOR Page_S of 10 Name of Person Reporting Ellis,, homas S. Date of Report 06/ 1/2009 V. NVESMENS and RUSS.. D NONE (No reponable income. assets. or transactions.) income. value, transactions ncludes those of spouse and dependent children; see pp of filing instructions.) DQ<ge & Cm lm'i Srock Fd Nooe j 'f M!id, B. c. D. Description of ssels ncome during Gross value al end of raac1ion.< during reponing period (1nclu<mg trus1 assets) reponmg penoa f repomng penoa n <2l o> 12> m m (3) (4) Place "(X)" af1er each asse1 : mounl ype (e.g.. Value Value ype (e.g.. Dale exempl from prior disclosure '.Code div.. renl. Code 2 Me1hod buy. sell. Mon1h (H) or inl.) (P) Code 3 redemplion) Day i (if priva1e transaction) 1, j j 19. DWS Dreman Sm Cap Value CLS j _ :' l L i iw!5! (5) ldenti1y of buyer/seller 20. Fidelity dvisor Ser Lev Co S1ock Fd 21. Quantitative Grp Fds Foreign Value Fd Ord SHS 22. RS lnvt R Global Natural Res Fd CL Dividend Buy rtio lnt' Equity Fd CL Buy 1/3 24. Security EQ Fd Mid Cap Value Ser CL Buy 10/ Rowe Price Mid Cap Growth Fd Buy 10/ ouchstone Large Cap Growth Fd CL Buy 10/ Wells Fargo Fds r Small Cap Growth Fd Buy dmin CL 28. Delaware Grp dvisor Fds nc US Growth Buy 10/16 Port nst! CL 29. ohn Hancock Classic Value Fd CL Buy 0/ Harbor nt'! nst! CL Buy 0/16 j 3. Oppenheimer nt'! Growth Fd CL Y j Buy 10/ R #2 (formerly listed as R #3) 33 Baron Select Partners Dividend l/3 34. Baron Select Partners 8/22. lrome Gain Codes: =l,oooor less B =S.001 S2.500 C =S2.501 SS.000 D=S5.00 SS.OD E =S S (See Columns Bl an D4} F S G =S Sl H 4U0.001 S H2 =Mor< than S Y aluc Codes l 415,000or les. K =SS.001 SS0.000 L =S S M =Sl $ !Sec Columns C and 03) N =$250,001 SS S Pl ss P2 =S S P SS P4 =Mor< than S Value Method Cocks Q=ppraisal R =Cost (Real E.<tale Only) S=ssessment =Cash Market fse Column C2} U =Book Value V=Olhcr W =fatimated

6 1 Code FNNCL DSCLOSURE REPOR Page 6of10 Namt of Person Reporting Ellis, ll, homas S. Dalt or Report V. NVESMENS and RUSS income, vatue, transactions onctudes those of spouse and dependent children; see pp filing instructions.) 0 NONE (No reportable income, assets, or transactions.)! }.) B. c. D. Description of ssets ncome during Gro'5 value at end of ramactions during reponing period {in.luding t.i a. :.r;) Place "(X)" after each asset exempt from prior disclosure, reporting period 1 <1}r i"> i 1' div. rent. l.. r porting pcri0d.i _ io r m 1 m m! i3)!5), ype (e.g.. ' Hi iuock Large Cap Vai Nvn,! ii3 Bndgeway UltraSmall Co ;!4>. mount ype (e g.. Value Value, Code 2 Method buy, sell.! Month Code 2 Code ; buyer/seller 1 i i (H) or mt) (P) Code 3 _ redempuon) Day (P) (H) (if private 1! CQW) f Date Value Gain dentity of l l' i transaction) 37. Bridgeway UltraSmall Co 8122 ' 38. ouchstone lnsr'l Fds r Sands Cap nst! G Dividend 1 B rowth 1/3 39. ouchstone lnsl'l Fds r Sands Cap nst! G 8/22 1 row th 40. Diamond Hill Sm Cap Fd 1/3 (pan) 41. Dodge & Cox nt'! Stock Fd Dividend 1/3 42. Dodge & Cox nt'! Stock Fd 8/22 (pan) 43. Hotchkiss & Wiley Cor Val 1/3 44. Hotchkiss & Wiley Cor Val 45. anus Mid Cap Val Fd nst 8/22 1/ anus Mid Cap Val Fd nst 8/ ulius Baer nt'! Equity Dividend 113 B 48. ulius Baer nt'! Equity 8/ Kinetics SC Opp nst'! Dividend (pan) 1/3 50. Munder MC Core Growlh Y 1/3 51. Munder MC Core Grow!h Y 8/22 1. ncome Gain Codes: =$.(X)or less B =S l.oo S2.500 C =S2.50 SS.f D =S5.001 Sl5.000 E =St5.00 S50.000!See Column Bl an D4) F =l50.(xl S 00.flO G :St S.000.rn H =St S HZ =More lhan S Value Codes =$ lcf...;; K :Sl5.(Xl S L =l50.00 S M =lloo.oot !See Column Cl and 03) N =S20.00 S =S $ Pl =Sl P2 =Ss.oo001 m P3 =$ S50XXl.OOO P4 =More lhan $ l Vafuc Method Codes. Q=pprai al R =Cost!Real <>1ate Only) S =ssessment =Cash Markel (See Column C2) U.::::Book Value V=Other W o=estimaled

7 FNNCL DSCLOSURE REPOR Page 7 of 10 Name or Person Reporting Ellis, ll, homas S. Date or Report 06111/2009 V. NVESMENS and RUSS income, value, transactions r1nc1udes those of spouse and dependent children; see pp of ft/inc instructions.) 0 NONE (No reportable income, assets, or transactions.). Description of ssets (indud!ng tp!!"<:i;!': Place "(X)'" after each asset exempt from prior disclosure l :m: r n:. ; r=, al t e :r1 r rtinr f'rln r'"pnrting rwrim (i) (2) 'mount, Code (H) ype (e.g.. div.. rent. or int.) D. ransactiorl' during reponing period (l) 1 (2) t () (3) (4) (5) Value i Value ype (e.g.. Date i Value Gain dentity or Code 2! Method buy, sell. Month ii Code 2 Code buyer/seller (P) Code 3! redemption) Day, (P) ; (H) (if private L ' (QW)!! transaction). l_ j_ j_ ' "") _,_. 53. NUVN n!wnds lni'! Val R Natnwdc Mui SC Fil CL.'\ Dlv!rloo ' Sl> (part}!!3 j/) ) l 54. PioneerCullen Value Y (par) 1/3 55. PioneerCullen Value Y 8/ Sunamer Foe SC Growth CL l/3 (part} 57. CRM Mid Cap Val nst'! 1/3 58. CRM. Mid Cap Val ns1'l 8/22 (part} 59. Wells Fargo dv End SL 1/3 60. GS Finl Sq Mmkt nst'! Dividend 61. Keeley Small Cap Value CL Keeley Small Cap Value CL RS nv1 R Global Natural Res Fd CL Dividend SSG Fds lnl' Srock SEL 113 (part} 65. SSG Fds nt'! Stock SEL BRON Small Cap Fd Buy_ Cref ns!'! nt'! Eq Fd Buy l/ ouchs1one Large Cap Growth Fd CL Buy 8/22. ncome Garn Codes: :::.Sl.000 or less B =S S2.500 C =S2.501 SS,000 D =SS.001 SS.000 E =SS.001 SS0,000 {See Columns B t and D4) F =SS0,001 S G=S S H =Sl SS,000,000 H2 =Mor< than SS Value Codes (Sec Columns C and D3) =S5.(X or less N =$ $ K =SlS,001 SS0,000 0 =$00.00 S L =$50,001 $ Pl =SUXXl,001 S5.tm.OOO M =S $ P' =S5.000,00 S25.000,000 P3 =$ SS0, P4 =Mor< than SS0, Value Method Codes Q =ppraisal R =Cost (Real Estare Only) S =ssessment =Cash Market ($ec Column C2} U =Book V atuc V =Ober W=Esrimatcd

8 FNNCL DSCLOSURE REPOR Page 8 of 10 Name or P rsn Reporting Ellis, ll, homas S. Date or Report 06/11/2009 V. NVESMENS and RUSS income, value, transactions 11nc1udes those of spouse and dependent children; see PP 460offtlinc instructions.) D NONE (No reportable income, assets, or transactions.). Description of sset> Place "(X)" after each a\sel exempt from prior disclosure l i c. ncome during Gross value a1 nd of e reportjn.g period_.. _! reporting perioc B. () (2)! () i (2), mount ype (e g, Value Value Code div rent. Code 2 Method i (H) or ml) (P) Code 3, _LQW) ' L buy, sell. 1 Mo Cod Code r e m on ) D ( _de p_n ' P) j (H) l _ D. ramac1ions during reponing period 1n (2) 13) 114i ype ( e.g.. j Date i Value Gain (5) dentity of buyer/seller (if private transaction) f g rs imes Sq ML URWPR 70. mencan Ceniy Mui. Fds merican Cemy ista P v NGt»Y!l3 j 1 Buy 8m )! 71 Blackrock Fds ntl Opp lnstl CL B Buy 8/ Cambiar Opp Fd Buy 8/ RS lnvstmt Fds Emerging Mkts Fd Buy 8/ ohn Hancock Classic Value Fd CL Buy 8/ Harbor nt'! nst'! CL Buy Hartford lnt' Growth Fd Buy 8/ Hotchkiss & Wiley Fds Mid Cap Value Fd CL 78. Legg Mason Value rust R nc Nav Value rust 79. Neuberger & Bennan Small Cap Growth Fd n 80. Security Equity Fd Mid Cap Value Ser CL Buy 8/25 Buy 8/25 Buy 8/25 Buy 8/ Satuit Capital Micro Cap Fd Buy 8125 ' 82. Wells Fargo FDS R Small Cap Growth Fd dm Buy 1/20. ncome Gain Codes: =S or less B =S.001 S2.500 C =S2.50t S5.000 D =S5.00 St5.000 E =Sl5.001 S50.000!Sec Columns Bl an 04) F =$ S Value Codes =S or less!sec Columns Cl an 03) N =S250,00 $ Value Metho Codes Q ;::.ppaisal!see Column C2} P3 =S S U =Book Value G =S00,001 Sl K =$ S =S Sl R =Cost (Real E.<tatc Only) V =Ohcr H =Sl S L=S50.00l SOO.OOO Pl =Sl SS.000,000 P4 =MoC than $ S =s.cs..menl W=Estimated H2 =MoC rha S M =S S250,000 P2 =SS S2.000XXl :Cash Marker i! _!

9 FNNCL DSCLOSURE REPOR Page 9_of 10 Name or Person Reporting Ellis, ll, homas S. Date or Report 06/ 1/2009 V. DDONL NFORMON OR EXPLNONS. (/ndicatepartofreport) "R #2" from 2007 repon has been renamed "R #" "R #3" from 2007 repon has been renamed "R #2"

10 FNNCL DSCLOSURE REPOR Page 10 _of 10 Name or Person Reporting Ellis,, homas S. Date or Report 06/11/2009 X. CERFCON. l certify that all information given above (including information pertaining lo 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 nondisclosure. 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 ND CRMNL SNCONS (5 VS.C. app. 104) POR MY BE SUBEC O CVL FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite 2301 One Columbus Circle, N.E. Washington, D.C