FINANCIAL DISCLOSURE REPORT Report Required by the Ethics · FINANCIAL DISCLOSURE REPORT . Report Required by the Ethics in Govenment Act of 1978 FOR CALENDAR YEAR 2010 (5 U.S.C

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 1978

FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§ 101-1I I)

1. Person Reporting (last name, first, middle initial)

Ambro, Thomas L.

2. Court or Organization

U.S. Court of Appeals, 3rd Cir

3. Date of Report

05/10/2011

4. Title (Article III judges indicate active or senior status;

magistrate judges indicate full- or part-time)

U.S. Circuit Judge - Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [Z] Annual D Final

Sb. D Amended Report

6. Reporting Period

01/01/2010

to

12/31/2010

7. Chambers or Office Address

Federal Courthouse 844 King Street, Lock Box 32 Wilmington, DE 19801

8. 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

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.) D POSITION NAME OF ORGANIZATION/ENTITY

I. Trustee Thomas L. Ambro Revocable Trust

2. Member (Emeritus) Georgetown University Alumni Admissions Program Board of Advisors

3. President Richard S. Rodney Inn of Court

4. Member Georgetown University Northern Delaware Alumni Admissions Program

5. Member Board of Editors, Delaware Lawyer

6. Member Board of Editors, Delaware Law Review

7. Member Board of Trustees of the American Inns of Court Foundation

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

Ambro, Thomas L.

2.

4.

Page 2 of21

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

05/10/2011Ambro, Thomas L.

Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-14 of filing instructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse 1 S Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2010 State of Delaware - salary

2.

3.

4.

l.V. REIMBURSEMENTS -transportation, lodging.food, entertainment

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. American Bar Association May 8-9, 2010 Washington, DC Standing Committee on Fed Transportation

Judicial Improvements

American Bar Association May II, 2010 New York City, NY Working Group on Legal Transportation

Opinions

3. American Bar Association Oct 18-20, 2010 New York City, NY Working Group on Legal Transportation

Opinions

Bringham Yound University Nov 4-6, 2010 Provo, UT Moot Court Competition Transportation, Lodging & Meals

5. American Bar Association Nov 14, 2010 Philadelphia, PA Standing Committee on Fed Transportation

Judicial Improvements

Page 3 of21


Ambro, Thomas L. 05/10/2011

6. Harvard Law School & Dec 7-8, 2010 Cambridge, MA Financial Restructuring Transportation, Lodging & Meals

Kauffinan Foundation Roundtable

of filing

FINANCIAL DISCLOSURE REPORT

Page 4 of21

Name of Person Reporting

Ambro, Thomas L.

Date of Report

05/10/2011

V. GIFTS. (Includes those to spouse and dependent children; see pp.18-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

l. Commerce Bank, N.A., now known as

TD Bank

2. Commerce Bank, N.A., now known as

TD Bank

3. Commerce Bank, N.A., now known as

TD Bank

Partial guarantee of commercial loan to Springside, LLC (Part VII, Line

224)


P l

224)


224) P l

Pl

4.

5.

c.

(!) (I)

(J-P)

(4)

(A-H)

I.

2.

A.

Identity of


Page 5of21 05/10/2011Ambro, Thomas L.

VII. INVESTMENTS and TR US TS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

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

Description of Assets

B. D.

Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period ofreporting period

(1) (2) (2) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain

Code I Code2 Method buyer/sellerexempt from prior disclosure div., rent, buy, sell, mm/dd/yy Code2 Code 1

(A-H) or int.) Code 3 redemption) (J-P) (ifprivate

(Q"W) transaction)

Wilmington Trust Account A Interest K T

Wilmington Trust Account A Interest J T

3. Wilmington Tax Exempt Investor None J T

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

Delaware State Bond 6.1 %

Trust Account #6

- Evergreen Municipal Money Market FD (cash equivalent)

-Centerpoint Energy Inc

- Harris Assoc Oakmark I

- Southwest Water Co

- Oppenheimer Limited Term Municipal FD CLC

- WF Advantage Municipal Money Market

Trust Account #7

- Fairholme Fund

-CGM Focus Fund

- Duke Energy Corp

- Microsoft Corp

None K T

c Dividend M T

Closed

Sold (part)

Sold

Buy

Open

E Int./Div. Pl T

Sold (part)

Sold (part)

Sold

Buy (add'!)

07/12/10 J

10/19/IO L D

09/14/IO K

03/03/IO L

07/!2/IO K

02/26/10 K c

02/26/10 K

06/l 7/I 0 J

06115/10 K

I. Income Gain Codes: A =$1,000 or less B=$1,001 -$2,500 C =$2,50 I -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and D4) F =$50,001 -$100.000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$I 00,000 M =$100,001 -$250,000

(Sec Columns CI and D3) N =$250.001 -$500.000 0 =$500,00 I -$I ,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 -$50,000.000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Other W =Estimated

(I)

D.

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

(A-H)


Page 6of21 Ambro, Thomas L. 05/10/2011

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.; -


A. B. C.

Description of Assets Income during Gross value at end Transactions during reporting period


(1) (2) (1) (2) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., .Date Value Identity of

exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (if private

(Q-W) transaction)

18. - Artio Global INVT FDS Intl Equity FD II Sold 02/26/10 J (part)

19. Sold 06/16/10 J (part)

20. Sold 12/13/10 K

21. - The Southern Company

22. - Federated Strategic Value Fund Sold (part)

23. Sold (part)

24. Sold

25. - WSFS Financial Corp

26. - Harris Assoc INVT TR Oakmark Equity & Sold Income FD (part)

27. Sold (part)

28. - Harris Assoc INVT TR Oakmark Global Sold Select FD (part)

29. Sold (part)

30. - Nuveen Tradewinds Global All Cap FD Sold (part)

31. Buy (add'!)

32. - Oppenheimer Limited Term Municipal Buy Fund (add'I)

33. Buy (add'l)

34. Buy (add'!)

02/26/10 J

06/16/10 J

12/13/I 0 K

02/26/10 K D

06/16/10 K c

02/26/10 K

06/16/10 J A

02/26/10 K D

12/30/10 K

01127/10 J

02/24/10 J

03/03/10 K

1. Income Gain Codes: A4l,000orkss B $l,00l -$2,500 c 42,501 -$5,000 D $5,00l -$l5,000 E $l5,00l -$50,000

(See Columns Bl and D4) F $50,00l -$100,000 G $100,00 l -$I ,000,000 HI $1,000,001 -$5,000,000 H2 More than $5,000,000

2. Value Codes J $15,000 or less K $15,001 -$50,000 L $50,00l -$100,000 M $100,001 -$250,000

(Sec Columns CI and DJ) N $250,001 -$500,000 0 $500,00 I -$I ,000,000 PI =$1,000,001 -$5,000,000 P2 $5,000,00 I -$25,000,000

P3 $25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R Cost (Real Estate Only) S =Assessment T Cash Markel

(See Column CZ) U Book Value V =Other W ="Estimated

of filing

B. c.

(2) (!)

(H)

M

D.

35.

37.

(SJ



VII. INVESTMENTS and TR us TS income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 instructions.)-


A. Description of Assets Income during Gross value at end

(including trust assets) reporting period of reporting period

(!) (4) Place "(X)" after each asset

exemptfrom prior disclosure

Amount Code I (A-H)

Type (e.g.,

div., rent,

orint.)

Value

Code2

(J-P)

Gaiil

Code l (A"H)

Identity of

buyer/seller

(if private

transaction)

Buy (add'!)

03/24/IO J

36. Buy 04/28/10 J (add'!)

Buy 05/26/10 J (add'!)

38. Buy 06/23/10 J

39.

40.

41.

42.

43.

44.

45.

46. - Oppenheimer Funds Rochester Natl Muni CLA

47.

48.

49.

50.

5 I.

(add'!)

Buy (add'!)

Buy

(add'!)

Buy

(add'!)

Buy

(add'!)

Sold (part)

Buy

(add'!)

Sold (part)

Buy

(add'!)

Buy

(add'!)

Buy

(add'!)

Buy

(add'!)

Buy

(add'!)

Buy

(add'!)

07/28/10 J

08/25/10 J

09/22/10 J

10/27/10 J

10/27/10 J A

11/02/! 0 M

12/30/10 0

01/27/IO J

03/03/IO J

04/22/10 K

05/26/10 J

06/23/IO J

06/29/10 K

1. Income Gain Codes: A =$1,000 or less B 41,001 -$2,500 c 42,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 Hl =$1,000,001-$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 -$250,000

(Sec Columns CI and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

P3 =$25,000,00 I -$50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S :=oAssessmcnt T =Cash Market

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

B:

(1) (2) Amount Code

(1)

(J-P)

(!) (2)

mm/dd/yy

Page 8of21


05110/2011Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. c.


( including trust assets)

Income during

reporting perfod

Gross value at end

ofreporting period

52.

53.

54.

55.

56.

57.

58.

59.

60.

61.

62.

63.

64.

65.

66.

67.

68.

Place "(X)" after each asset

exempt from prior disclosure

- Dodge & Cox FDS Intl FD

- Matthews Intl FD Asian Growth & Income FD

- Nuveen All American Municipal BD FD Inst\

- WHY International Equity FD CL I

- Vanguard Municipal Bond Fund High Yield

- Harris Assoc Invt TR Oakmark Global FD CL I

I. Jncomc Gain Codes: A =$ I ;000 or less

(See Columns B l and D4) F =$50,001 - $100,000

2. Value Codes J 415,000 or less

(Sec Columns Cl and D3) N =$250,00I - $500,000

Type (e,g;, 1 div., rent;

(A-fi) C>r iill.)

B =$1,001 -$2,500

Value

Code2

G =$100,001 - $1,000,000

K =$15,001 -$50,000

0 =$500,00l - $ l ,000,000

P3 =$25,000,001 -$50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)

(2) Value Type{e:g:,

Method buy, sell,

Code3 redemption)

(QcW)

Buy (add'!)

Buy (add'\)

Buy (add'!)

Buy (add'!)

Sold

Buy

Buy (add'!)

Buy

Buy (add'!)

Buy

Buy

Buy

Buy

Buy (add'!)

Buy (add'!)

Buy (add'!)

Buy (add'\)

C =$2,50 I -$5,000

Hl =$1,000,001-$5,000,000

L =$50,001 -$100,000

Pl =$1,000,001 -$5,000,000

P4 =More than $50,000,000

S =Assessment

D.

Transactions during reporting period

(3) (4) Date Value Gain

Code2 Code 1

(J-P) (A-H)

07/28/10 J

08/25/10 J

09122110 J

10/27/10 J

11102110 M D

12120110 K

12/30/10 K

12/21/10 K

12/30/10 K

12130110 L

12130110 M

12131110 L

01104110 J

02101110 J

03/01/\0 J

04101110 J

05103110 J

D =$5,001 -$15,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 =$5,000,00 I - $25,000,000

T =Cash Market

(5) Identity of

buyer/seller

(if private

transaction)

E =$15,001 -$50,000


A. D.

(3) (4)


Page 9of21 05/10/201 I Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -

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

B. c. Description ofAssets

(including trust assets) Income during

reporting period

Gross value at end

ofreporting period

69.

70.

71.

72.

73.

74.

75.

76.

77.

78.

79.

80.

81.

82.

83.

84.

85.

]?lace ''(X)"after each asset

¢xeinpt from prior disclosure

IRA Account #I

- Oakmark Fund Class I

- Dodge & Cox Intl Stock Fund

- Fairholme Fund

- Federated Strategic Value Fund

- Harris Assoc Invt TR Oakmark Equity & Income

1.. 1ncome Gilio Codes: A =$1,000 or less

(See Columns B l and D4) F=$50,001 -$100,000

2. Value Codes J =$15,000 or less (See Columns Cl and D3) N =$250,00l - $500,000

(1) (2) Amount Codd

(A-H)

D

Type(e.g.,

div., rent,

or int.)

Dividend

B=$1,00l-$2,500

(l) Value

Code2

(J-P)

N

G =$100,001-$1 ,000,000

K =$15,001 -$50,000

0 =$500,00 I -$1,000,000

P3 =$25,000,001 - $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) (See Column C2) U =Book Value V =Other

(2) (I) Value Type.( e.g.,

Method buy, sell,

Code 3 redemption)

(Q-W)

Buy (add'!)

Sold (part)

Sold

T

Sold (part)

Buy (add'!)

Sold (part)

Sold (part)

Sold (part)

Buy (add'!)

Sold (part)

Buy (add'!)

Sold (part)

Buy (add'!)

Sold

Sold (part)

C =$2,50 l -$5,000

HI =$1,000,001 -$5,000,000

L =$50,001 -$100,000

Pl =$1,000,00 I -$5,000,000

P4 =More than $50,000,000

S =Assessment

W =Estimated


(2) Date Value Gain

mlll/dd/yy Code2 Codel

06/01/10 J

06/16/10 J

08/23/IO J

02/26/IO J

03/03/10 J

06/17/10 J

08/23/10 J

12/13/10 J A

12/20/10 J

08/07/IO J c

08/04/10 J

02126/I 0 J

08/24110 J

12/13/IO K A

02/26/10 K A

D =$5,001 -$15,000

H2 =More than $5,000,000

M =$100,001 -$250,000

P2 =$5,000,001 -$25,000,000

T =Cash Market

Identity of

buyer/seller

(ifprivate transaction)

E =$15,001 -$50,000

(3) (4)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 10of21 Ambro, Thomas L. 05/10/2011

VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.J


86.

87.

88.

89.

90.

91.

92.

93.

94.

95.

96.

97.

98.

99.

A.


(including trust assets)

Place "(X)" after each asset


- Artio Global INVT FDS Intl Equity FD II

- Kinetics Mutual Funds Inc Paradigm FD

- Harris Assoc INVT TR Oakmark Global Select FD

- Pimco Unconstrained BD Fund CL Institutional

100. - TCW FDS Inc Total Return BD FD

IOI. - Templeton Global Total Return FD

102. - JP Morgan TR Strategic Income Oppty SELCL

1. Income Gain Codes: A =$I ,000 or less

(See Columns BI and 04) F =$50,001 -$100,000

2. Value Codes J =$15,000 orless

(Sec Columns CI and DJ) N =$250,001 -$500,000

B. c.

Income during Gross value at end

reporting period of reporting period

(I) (2) (1) (2} (1) Amount Type (e.g., Value Value Type(e:g., Code I div., rent, Code 2 Method buy, sell, {A-H) or int.) (J-P) Code3 redemption)

(Q-W)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold

Sold

(part)

Sold (part)

Sold

Sold (part)

Sold (part)

Sold

Buy (add'!)

Sold (part)

Buy (add'!)

Sold

Sold

Buy

B =$I ,00 I - $2,500 c =$2,501 -$5,000

G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000

K =$15,001 -$50,000 L 450,001 - $100,000

0 =$500,001 -$1 ,000,000 Pl =$1,000,001 -$5,000,000

P3 =$25,000,001 -$50,000,000 P4 =M ore than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S ==Assessment


D.


(2) Date Value Gain

mm/dd/yy Code2 Code I

(A-H)

06/17/10 J A

12/22/10 K c

02/26/10 J

06/17/10 J

12/13/10 J

02/26/IO J

06/17/10 J

08/03/10 J

02/26/10 J c

06/17/10 J B

12/13/IO K D

03/03/10 J

10/27/10 K A

12/31/IO K

01/13/IO K A

04/30/10 K B

01/14/10 K

D =$5,001 -$15,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 =$5,000,001 -$25,000,000

T =Cash Market

(5) Identity of

buyer/seller (if private

transaction)

E =$15,001 -$50,000

of filing

B.

(1)

D.

(4)

(H)

(5} (1)


Page 11 of21 0511012011Ambro, Thomas L.

VII. INVESTMENTS and TR us TS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 instructions.)


A. c. Description of Assets Income during Gross value at end Transactions during reportingperiod


(2) (1) (2) (2) (3) Place "(X)" after each asset


Amount Code I

(A-H)

Type (e.g.,

div;, rent; or int.)

Value

Code 2

(J-P)

Value

Method

Code 3 (Q"W)

Type(e.g.;

buy, sell,

redemption)

Date ml11/dd/yY

Value

Code2

Gain

Code I (A-H)

buyer/seller

(ifprivafo

transaction)

103. Buy (add'!)

03/03/10 J

104. - Loomis Sayles FDS I Bond Fund Retail Buy 12/3 III0 K Class

105. - Matthews Intl FD Asian Growth & Income Buy 12121110 J FD

106.

107.

108.

- Nuveen Tradewinds Global All Cap FD

- WHV International Equity FD CL I

- Pimco FDS Emerging Local BD FD CL P

109. - Pimco Global Multi Asset FD

110.

111.

112. - Templeton Income TR Global Total Return FD

113.

114. - Vanguard Inflation Protected Securities Fund

115. - Gabelli Gold Natural Resources

116. IRA Account #2

117. - Dominion Res Inc VA New

118. - Teco Energy Inc

119. - Centerpoint Energy Inc

Buy

Buy

Buy

Buy

Buy (add'!)

Buy (add'!)

Buy

Sold (part)

Buy

Buy

F Int./Div. Pl T

Sold

12117110 J

12117110 J

12131110 J

03/03/IO J

06/28/10 K

10/27/10 K

05103110 K

12/31/IO K A

12/31110 J

06118/10 K

08/09/10 K

l. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 H 1 =$1,000,00 I -$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 - $100,000 M =$I 00,001 -$250,000

{Sec Columns C l and D3) N =$250,001 - $500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V=Othcr W =Estimated

D.

(1) (2) (3) Gain

mm/dd/yy

(J-P) (A-H)


Ambro, Thomas L.

Date of Report

05/10/2011


Page 12of21

VII. INVESTMENTS and TRUSTS - income, va1ue, transactions (Inctudes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. Description of Assets Income during Gross value at end Transactions during reporting period


(2) (1) (2) (1) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, Code2 Code 1 buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (ifprivate

(Q-W) transaction)

120. - Dodge & Cox Intl Stock Fund Sold 02/26/10 L (part)

121. Sold 06/17/10 K

(part)

122. Sold 08/23/10 L

123. - Fairholme Fund Sold 02/26/10 L E (part)

124. Buy 08/04/10 L (add'!)

125. - Devon Energy Corp New

126. - Exxon Mobil Corp

127. - Dodge & Cox Global Stock Fund Sold 02/26/10 K

(part)

128. Sold 04/27/10 K

(part)

129. Sold 06/17/10 1 c (part)

130. Buy 12/20/10 L (add'!)

131. Sold 12/13/10 K E (part)

132. Buy 12/31/10 K

(add'!)

133. - Harris Assoc Invt TR Oakmark Global Sold 02/26/10 K D Select Fund (part)

134. Sold 06/17/10 K D (part)

135. Sold 12/13/10 L E

136. - Harris Assoc Invt TR Oakmark Equity & Sold 02/26/10 M E Income Fund (part)

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,00 I -$I 00,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$!00,000 M =$100,001 -$250,000

(See Columns CI and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

P3 =$25,000,00 I -$50,000,000 P4 =More than $50,000,000



B.

(1) (1) (2) (I)

(J-P)

(4)



VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. C.

Description of Assets Income during Gross value at end


(2) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, (A-H) or int.) Code3 redemption)

(Q-W)

137. Sold (part)

138. Sold (part)

139. -Artio Global INVT FDS Intl Equity FD II Sold

(part)

140. Sold

(part)

141. Sold

142. -Kinetics Mutual FDS Inc Paradigm FD Sold

(part)

143. Sold

(part)

144. Sold

145. -Market Vector Gold Miners GDX

146. -Pimco Unconstrained Bd Fund CL Buy Institutional (add'!)

147. Sold

148. -WHY International Equity FD CL Sold

(part)

149. Sold

(part)

150. - TCW FDS Inc Total Return BD FD Sold

151. -Templeton Global Total Return FD Sold

(part)

152. Sold

153. -Templeton Funds Income TR GLB BD Sold Advisor

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

(See Columns BI and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L=$50,00l -$100,000

(Sec Columns CI and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal

(See Column C2) U =Book Value

R =Cost (Real Estate Only)

V =Other S o:o:Assessmcnt

W=Estimatcd

D.


(2) (3) (5)

Date Value Gain Identity of

mm/dd/yy Code2 Code I buyer/seller

(J-P) (A-H) (if private

transaction)

06/17/10 K D

12/22/10 M E

02126110 K

06/17/10 J

12/13/10 K

02/26/10 K c

06/17/10 K D

08/03/10 L E

03/03/10 L

10/27/10 M c

02/26/10 L D

06/17/10 K B

01/13/10 M A

04/08/10 K B

04/30/10 N E

02/01/10 L A

D =$5,001 -$15,000 E =$15,001 - $50,000

H2 =Mor e than $5,000,000

M =$100,001 -$250,000

P2 =$5,000,00 I - $25,000,000

T =Cash Markel

B.

(!) (2) (I) (2) (I) (2) (5)

(A-H)


Page 14of21 0511012011Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. C. D.



(3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div , rent, Code2 Me.thod buy, sell, mm/dd/yy Code2 Code I buyer/seller

or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

154. - Vanguard Inflation Protected Securities FD Buy 12/31/10 L (add'!)

155. - Intel Corp Intc Buy 08/09/IO K

156. - Fairholme Funds Inc Focused Income Buy 04/08/10 K Fund

157. Buy 12/31/10 L (add'!)

158. - JP Morgan TR Strategic Income Oppty Buy 01/14/10 M SELCL

159. Buy 03/03/10 L (add'!)

160. - Loomis Sayles FDS I Bond Fund Retail Buy 12/30/10 M Class

161. - Matthews Intl FD Asian Growth & Income Buy 12/21/10 L FD

162. Buy 12/31/10 K (add'!)

163. - Nuveen Tradewinds Global All Cap FD Buy 12/17/IO L Instl Sh

164. Buy 12/31/10 L (add'I)

165. - Pimco FDS Emerging Local BD FD Buy 12/31/10 M

166. - Pimco Global Multi Asset FD Buy 03/03/10 L

167. Buy 06/28/IO M (add'!)

168. Buy I0/27/10 M (add'!)

169. - Templeton Income TR Global Total Return Buy 05/03/10 N FD

170. Sold 12/31/10 M D (part)

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50,000

(See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000orless K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec 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

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000



A.

(!) (2)

Page 15of21

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing

Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT 05/10/2011Ambro, Thomas L.

instructions.)


B. c. D.



(2) {I) (2) (I) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

171. - Gabelli Gold Natural Resources Buy 06/18/10 K

172. - Vanguard Whitehall FDS Intl Explorer FD Buy 04/28/10 K In vs

173. Sold 06/18/I 0 J (part)

174. Sold 12/14/10 K D

175. - Dodge & Cox Income FD Buy 03/03/10 L

176. Buy 03/30/IO J (add'!)

177. Buy 06/29/10 J (add'!)

178. Buy 09/29/IO J (add'!)

179. Sold 12/13/IO L B

180. -Federated Strategic Value Dividend Fund Buy 08/24/10 L Inst

181. Sold 12/13/10 L D

182. TrustAccount#l2 E Int./Div. 0 T

183. - Fairholme Fund Sold 02/26/!0 K E (part)

184. Buy 08/04/10 K (add'!)

185. - CGM Focus Fund Sold 02126110 J (part)

186. Sold 06/17/10 J (part)

187. - Dodge & Cox Intl Stock Fund Sold 02/26/10 K (part)

1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,50 I - $5,000 0 =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,00 I -$I 00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$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 -$250,000

(See Columns CI and 03) N =$250,001 -$500,000 0 =$500,001 -$1 ,000,000 Pl =$1.000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

P3 =$25,000,001 -$50.000,000 P4 =More than $50,000,000



(I) (2) (I) (4) (5) (I) (2)


Page 16 of21 05/10/2011Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.

Description of Assets Income during Gr oss value at end Transactions during reporting period


(2) (3) Gain Identity of Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value

Code I Code 1 buyer/sellerexempt from prior disclosure div., rent, Code2 Method buy,:sell; mm/dd/yy Code 2 (A-H) (A-H) (if private or int.) (J-P) Code3 redemption) (J-P)

transaction)(Q-W)

188. Sold 06/16/10 J

(part)

189. Sold 08/23/10 K

190. Buy 12/20/10 J

(add'!)

191. - Cisco Systems Inc

192. - Johnson & Johnson

193. - Artio Global INVT FDS Intl Equity FD II Sold 02/26/10 J (part)

194. Sold 06116110 J (part)

195. Sold 12/13/10 K

196. - Kinetics Mutual FDS Inc Paradigm FD Buy 01/04/10 J (add'!)

197. Sold 02/26/10 J B (part)

198. Sold 06/16/10 J A (part)

199. Sold 08/03/10 K c

200. - Cadence Design Systems Inc Donated

(part)

201. - Microsoft Corp Buy 06115110 J (add'I)

202. - Oracle Corp

203. - Range Resources Corp

204. - Harris Assoc INVT TR Oakmark Global Sold 02/26/10 J SeletctFD (part)

l. Income Gain Codes: A=$1,000 or less B =$1,001 -$2,500 c=$2,501 -$5,000 0=$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and 04) F=$50,001 - $100.000 G 4100,001 - $1,000,000 Hl =$1,000,00 I - $5,000,000 H2 =M ore than $5,000,000

2. Value Codes J =$15,000orlcss K 415,001 -$50,000 L=$50,001 - $100,000 M=$100,001 -$250,000

(Sec Columns CI and 03) N =$250.001 - $500,000 0 =$500,00I - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000

P3 =$25,000,001 - $50,000,000 P4=More than $50,000,000


(Sec Column C2) U =Book Value V Other W=Estimated

B. D.

(I) (5)

Page 17of21


05/10/2011Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS - income, value, transactions r1ncludes those of spouse and dependent children; see PP· 34-60 of filing instructions.J


A. c.



(2) (!) (2) (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller· · (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

205. Sold 06116110 J A

(part)

206. - Harris Assoc INVT TR Oakmar k Equity & Sold 02/26/IO K D Income FD (part)

207. Sold 06116110 J c (part)

208. - Oppenheimer Funds Rochester Natl Mun Buy 11/02/10 K CLA (add'!)

209. Sold 11102110 L D

210. - WHY International Equity FD Sold 02126110 J B (part)

211. Sold 06116110 J A

(part)

212. - Oppenheimer Limited Term Municipal Buy 03/03/10 M Fund Class A (add'!)

213. Sold 10/14/10 K A (part)

214. Buy 11102110 L (add'!)

215. Sold 12/30/10 L

(part)

216. - Federated Strategic Value Dividend Fund Buy 08/24/10 K Inst

217. Sold 12113/10 K B

218. - Wilmington Trust Corp Buy 10/07/10 K

219. Sold 06117110 J

220. - Matthews Intl FD Asian Growth & Income Buy 12/21/10 J FD

221. - Nuveen All American Municipal BD FD Buy 12/31/10 K

l. lncomc Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 . $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns BI and D4) F =$50,001 - $!00,000 G =$100,00 I • $1,000,000 Hl =$1,000,001. $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$!00,000 M =$100,001 -$250,000

(Sec Columns CI 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

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

of filing

A. c.

(2)

(H)

(1)


Page 18of21 0511012011Ambro, Thomas L.

VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 instructions.J-


B.

Description ofAssets Income.during Gross value at end

(includipg trust assets) reporting period of reporting period

(I) (2) (5)

Place "(X)" after each asset Amount Type (e. g., Value Value Identity of

exempt from prior disclosure div., rent, Code2 Method buyer/sellerCode I

(A-H) or int.) Code 3 (if private

(Q-W) transaction)

222. - Nuveen Tradewinds Global All-Cap FD Buy 12122110 K Inst! Sh

223. - Vanguard Municipal Bond Fund High Buy 12/31/10 K Yield Port

224. Springside, LLC (2000 - $300,000) None P l w

225. Legg Mason Opportunity Trust None Sold 03/03/10 K

226.

227.

Middletown Professional Properties, LLC, (2004 - $80,925)

Schneider Value Fund

228. Trust# 13

229. - Federated Municipal Ultrashort Fund Institutional Class

230.

231.

232. Trust #14

233. - Du Page Cook & Will Cntys IL Bond

234. - Rhode Island St Economic DY Corp RV Grant

235. - Oaklahoma Cnty Ok Indpt Sch Dist No 89

236. - Milwaukee WI Corp Purp B l G/O Unltd

237. - University TX Univ Revs Rfdg Fing Sys

238.

E Rent L R

None Sold

A Int./ Div. Closed

Sold (part)

Sold (part)

Sold

E Int./Div. N T

Buy (add'!)

Sold (part)

03/17/10 L

04/20/10 J

02/01/10 J A

03/16/10 K A

04/20/10 K A

03/25/10 L

03125110 K B

I, Jncome Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 Hl =$1,000,001-$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. - $250,000

(Sec Columns CI and D3) 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

P3 =$25,000,001 -$50,000,000 P4 =More than. $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Markel

(See Column CZ) U =Book Value V =Other W =Estimated

B. c. D.

(I) (1) (I) (3) (4) TJ[Pe

mm/dd/yy

(A-H) (Q-W)

Ser

(2)


Page 19 of21


Ambro, Thomas L.

Date of Report

05/10/2011

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nctudes those of spouse and dependent children; see PP· 34-60 of filing instructions.) -


A.



(2) (2) (5) Place "(X)" after each asset

exempt from prior disclosure Amount Code I

(A-H)

Type (e.g., di.v., rent,

or int.)

Value Code2 (J-P)

Value Method Code 3

(e.g., buy, sell,

redemption).

Date Value Code2

(J-P)

Gain Code 1

Identity of buyer/seller (ifprivate

transaction)

239. - Gwinnett Cnty GA Sch Dist G/O

240. - Tennessee ST Ser A G/O

241. - Maryland St St & Loe F ACS LN 2nd Ser Gf0

242. - Cherokee Cnty GA Sch Sys G/O

243. - Illinois St Toll Hwy Auth Rev SR Priority

244. - New York St Environmental Faes Corp St

245. - Arizona Brd Regents Univ AZ Sys Rev A

I. Income Gain Codes: A =$1,000 or less 8 =$1,00 I - $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns 81 and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$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 -$250,000

(Sec 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

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000




Page 20of21


Ambro, Thomas L.

Date of Report

05/10/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate partofreport.)

Asset listed in Part VII, Line 226, has rental income from property located in Middletown, DE. This asset was purchased in 2004 for $80,925.

Asset listed in Part VII, Line 71 of prior year report, should not have been listed as a part sale. The asset was completely sold in 2010.

Asset listed in Part VII, Line 126 changed from XTO Energy Inc to Exxon Mobil Corp -

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 21 of21 Ambro, Thomas L. 05/10/2011

IX. CERTIFICATION.

I 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.

I 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 Judicial Conference regnlations.

Signature: s/ Thomas L. Ambro

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301 One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

FINANCIAL DISCLOSURE REPORT Report Required by the Ethics · FINANCIAL DISCLOSURE REPORT . Report Required by the Ethics in Govenment Act of 1978 FOR CALENDAR YEAR 2010 (5 U.S.C