I AOIO C r. eient .ct by of 1978 Rev. 1208 §§ 101-11 I) 2. 3 ......SOURCE DA TES I. Villanova University School of 21112008 to 2/2/2008 aw LOCATION Villanova, PA PRPOSE Seminar (speaker)

I Re Rtiouied r. ih;{jffee"Vient 1.iJUS.C.lpp.

I Disc.ric .. :1 0 I

-=

rn ; -:n c:= -() ;

> ' . ("") --.,,

AOIO Rev. 112008

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2008

by the Ethics

C .ct of 1978

§§ 101-11 I)

I. Person Reporting (la51 name. first middle initial)

Ellis. Ill. Thomas S

4. Title (Anicle Ill judges indicate active or senior status; magistrate judges indicate full- or pan-time)

Scr1io1 U.S. Judgr:

7. Chambers or Office Address

40 I Courthouse Square 9th Floor Alexandria. VA 22314-5799

2. Court or Organizatit>n 3. Date or Report

U.S. District Court. E.D. Va. 06111/2009

Sa. Report Type (check appropriate type) 6. Reporting Period

D Nomination. Date 01/01/2008

D Initial Annual n Final to L.....J 12/31/2008

Sb. D Amended Repon

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>•

- -·--- .

··- !lair----··· ...

IMPORTANT NOTES: The 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.

J, POSJTJ ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF OR GANIZA TI ON/ENTITY

I. Advisory Board Member Dean's Intellectual Property Law Advisory Board. George Washington University

2. Member Judicial Conference Advisory Committee on Appellate Rules (and Sealing Subc ornmittee)

3. Member Judicial Advisory Council on International Fami dbuction

4.

5.

(/) ;;JJ(J r_

':.") ::z: z -·- f '>"'?'I

.··-·

i · c1 -CJ > J> -;·11- rn -q ;:JC"J C> rq

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

[Z] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

Ellis Ill, Thomas S

FINANCIAL DISCLOSURE REPORT

Page? of 10

Name of Person Reporting

Ellis, Ill, Thomas S.

Date of Report

06/11/2009

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

f7l NONE (No reponable non-investment income.)

SOURCE AND TYPE !NCO.ME

I.

(yours, nol spouse's)

2.

).

4.

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

IDnllar amount nm required except fnr honoraria. I

0 NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2008 Charlonesville City Public Schools - salary

2. 2008 Albemarle County Public Schools - salary

3.

4.

IV. REIMBURSEMENTS -- transportation, lodging.food, entertainment.

fIncludes thou tn spouse and dependent children: see pp. 25-27 offilinfi instructions.)

D NONE (No reportable reimbursements.)

SOURCE DA TES

I. Villanova University School of 21112008 to 2/2/2008 Law

LOCATION

Villanova, PA

PURPOSE

Seminar (speaker)

ITEMS PAID OR PROVIDED

food/lodging/travel

-------------

-------------

-------------

-·--· ·----·----- ·-- ------------- ····-··-·-·- ·-·-··---

4


Page 3of10

Name or Person Reporting


Date or Report

06/J l/2009

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

NONE (No reportable gifts.) l2J

SOlJRCE DESCRIPTION VALUE

I.

2.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

NONE (No reportable liabilities.) l2J

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

: rep pen::

IL

1

-

-----------------·--------------·-·

l

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporting


Date of Report

06/J 1/2009

VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing ins/ructions.)

D NONE (No reportable income, assets, or transactions.) :---- - -------- ---"A - - -- - --- -- - - --- --------- ---s-------·-·- - --· ------ ---·· -- ..,----· ----

c. D.

0escription of Assets {incJuding t. : asset&)

Place "<Xr after each asset exempt from prior disclosure

Income during Gross value at end of ! Transactions during reponing period - __ __ --+---- _report y-�oo .-L- _ _ - · - ---- __ -· · --: - -----.- ---·· ·- i

· ·- · -- - _ _ _______ _ . (I) . (2) I (I) I (2) : (I) . (2) . (3) (4) (5)

1 Amount j Type (e.g.. Value 1 1 Value Type (e.g.. Date Value Gain Identity of i Code I ! div .. rent. Code 2 Method buy. sell. Month - Code 2 i Code I buyer/seller

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

___ J _ __ (_ -W transaction)

Semor Non? J T I

2. Wachovia Bank Account;

3. IRA #I (formerly listed as IRA #2)

4. Calamos Growth Fd A

5. Cambiar Opportunity Fd

6. FMI FDS Focus Fd

7. Goldman Sachs Tr Finl Sq Mmkt I

8. Hotchkiss & Wiley Mid Cap Value I

9. Julius Baer lnt'I Equity I

10. Kinetics Sm Cap OpportWlities I

I I. Kinetics Paradigm Fd - I

12. Legg Mason Value Trust

13. Royce Total Return Fd CLW

14. TCW Fds Select Equities Fd I

15. Alger Sm Cap

16. Blackrock Lg Cap Value Fd

17. Columbia Fds Tr Marsico 2 I st Century Fd CLA

). Income Gain Codes: A =SUlOOor less

(Sec: Column Bl and 04)

2. V aJue Codes

(See Columns Cl and D3)

3. Value Method Codes

(Sec Column C2)

F =$50.001 - S Hl0.000

J =Sl5.000or less

N =S250.fXll - $500.000

P3 =S25.000.001 - $50.000.000

Q=Appraisal

U =Book Value

A

A

A

Interest

None

None

None

Dividend

None

Dividend

None

None

None

None

None

None

None

None

K

- - · --· - -J

J

J

J

J

J

J

J

K

J

J

J

J

B =Sl.OOl . $2.500

G=SI00.001- Sl.000.000

K =Sl5.00J - $50,000

0=S500JXll - Sl.000.000

R. =Cos.t (Real Estate Onty}

V =Orhcr

T

T

T

T

T

T

T

T

T

T

T

T

T

--- -

Sold (part)

Sold (part)

Sold (part)

Sold

Sold (part)

Sold (part)

C =S2.501 · S5.000

HI =Sl.000.001- S5.000.IXX>

L =S50.00 I - $I 00.000

Pl =SI.000.001 -15.000.000

P4 =More than $50.000.000

S=Assessment

W=Estimated

· --· -

10/15 J A

10/15 J A

10/15 J A

10/15 J A

10/15 J A

10/15 J A

D 45.00l · $15.000

H2 =Mor< 1han $5.000.000

M =SI00.001 - $250.000

P2 =S5.000.00! - S25.000,000

T :::C h Markel

-

E =Sl5.00l - SS0.000

I

(3) (4)

i I

I J

33

I ! I

(5) ldenti1y of

buyer/seller

29.

3 I.

32.

34.

1/3

l/3

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Ellis, III, Thomas S. 06/I 1/2009 Page_S of 10

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

D NONE (No reponable income. assets. or transactions.)

A B. c. D.

Description of Assels Income during Gross value al end of Tramac1ion.< during reponing period (1nclu<Jmg trus1 assets) reponmg penoa f repomng penoa

-· ·

nJ <2l o> 12> m m Place "(X)" af1er each asse1 : Amounl Type (e.g.. Value Value Type (e.g.. Dale

exempl from prior disclosure '.Code I div .. renl. Code 2 Me1hod buy. sell. Mon1h -(A-H) or inl.) (J-P) Code 3 redemplion) Day (if priva1e

-- -- _ __ , ----·-· ___j________ j _ _ :':".__ l___ _ __ - - - - L __ _ __J i transaction) __

_ _1_

_ _ _ ···---··-···--·· - · · -- ----· ··-

I , - DQ<lge & Cm lm'i Srock Fd Nooe j 'f M!id

(part) iW!5 A

19. DWS Dreman Sm Cap Value CLS None j T

20. Fidelity Advisor Ser I Lev Co S1ock Fd None J T

21. Quantitative Grp Fds Foreign Value Fd Ord None J T Sold 10115 J A SHS (part)

22. RS lnvt TR Global Natural Res Fd CLA A Dividend J T Buy 10116 J

-

23. Artio lnt'I Equity Fd CL I None J T

None J

Buy J

24. Security EQ Fd Mid Cap Value Ser CL A T Buy 10/15 J

25. T Rowe Price Mid Cap Growth Fd None J T Buy 10/15 J

26. Touchstone Large Cap Growth Fd CL I None J T Buy 10/15 J

27. Wells Fargo Fds Tr Small Cap Growth Fd None J T Buy 10115 J Admin CL

28. Delaware Grp Advisor Fds Inc US Growth None J T Buy 10/16 J Port Inst! CL

John Hancock Classic Value Fd CL I None J T Buy J0/16 J

30. Harbor Int'! Inst! CL None J T Buy I0/16 j

Oppenheimer Int'! Growth Fd CL Y None j T Buy 10/16 J

IRA #2 (formerly listed as IRA #3)

Baron Select Partners A Dividend J T Sold J A (part)

Baron Select Partners Sold 8/22 J A (part)

I. lrlCome Gain Codes: A =-Sl,OOOor less B=SI .001 - S2.500 C =S2.501 - SS.000 D=S5.00I - SIS.ODO E =SI 5.001 - S50.000

(See Columns Bl and D4} F 450.001 - SI00.000 G =SI00.001 - Sl.000.000 HJ 4UJ00.001 - S5.000.000 H2 =Mor< than S5.000.000

2. Y aluc Codes l 415,000or les.s K =SIS.001 - SS0.000 L =S50.001 - SI00.000 M =Sl00.001 - $250.000

!Sec Columns CJ and 03) N =$250,001 - SS00.000 0 4500.001 - SI .000.000 Pl 41.000.001- ss.000.000 P2 =S5.000.00I - S25.000.000

P3 425.000.001 - SS0.000.000 P4 =Mor< than S50.000.000

3. Value Method Cocks Q=Appraisal R =Cost (Real E.<tale Only) S=Assessment T =Cash Market

fSet Column C2} U =Book Value V=Olhcr W =fatimated

--- - --- - --- -- -- -- ---- --- - --' -----------

! , ! T

I I

11 Code I div .• rent.

}.).

49.

51.

1/3

1/3

1/3

,1-<1}--r---i"Z>--i

Namt of Person Reporting Dalt or Report FINANCIAL DISCLOSURE REPORT Ellis, Ill, Thomas S. Page 6of10 0611112009

VII. INVESTMENTS and TRUSTS -- income, vatue, transactions onctudes those of spouse and dependent children; see pp. 34-6001 filing instructions.)

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

A. B. c. D.

Description of Assets Income during Gro'5 value at end of Tramactions during reponing period r porting pcri0d -.i.{in.:luding t.-usi a. :.r;) reporting period _ - - T-!4>-T .-io--·r- ·m 1 m m· ! i3) !5) ,

II iIJ1' Place "(X)" after each asset Type (e.g.. Amount Type (e g.. Value Value IDate Value Gain Identity of; I,

! ;Code 2 Code 2Method Code Ibuy, sell. Month -exempt from prior disclosure buyer/seller1 Iii I1(A-H) Code 3or mt) (J-P) (J-P) (A-H)Dayredempuon) I (if private

I _

! CQ-W) f l_ I_l' ___J___ ___J

transaction) I l- --· - ----'---- J __ ____ ..:. -- -·------- --- ·---··-··- - ·- ·----- - · --

Hi iuock Large Cap Vai A Nvn Sold ii3 J A (part)

Bndgeway Ultra-Small Co None J T Sold 113 1 A36. (part)

37. Bridgeway Ultra-Small Co Sold 8122 J A (part)'

38. Touchstone lnsr'l Fds Tr Sands Cap Inst! G A Dividend J T Sold 1 B rowth (part)

39. Touchstone lnsl'l Fds Tr Sands Cap Inst! G Sold 8/22 1 A row th (part)

40. Diamond Hill Sm Cap Fd A None J T Sold 1/3 J A (pan)

41. Dodge & Cox Int'! Stock Fd A Dividend J T Sold J A (part)

42. Dodge & Cox Int'! Stock Fd Sold 8/22 J A (pan)

43. Hotchkiss & Wiley Cor Val I None J T Sold 1/3 J A (part)

44. Hotchkiss & Wiley Cor Val Sold (part)

8/22 J A

45. Janus Mid Cap Val Fd Inst None J T Sold (part)

1/3 1 A

46. Janus Mid Cap Val Fd Inst Sold 8/22 J A (part)

47. Julius Baer Int'! Equity II A Dividend J T Sold 113 J B (part)

48. Julius Baer Int'! Equity II Sold 8/22 1 A (part)

Kinetics SIC Opp Inst'! A Dividend J T Sold J A (pan)

50. Munder MIC Core Growlh Y None J T Sold 1/3 J A (part)

Munder MIC Core Grow!h Y Sold 8/22 1 A (part)

I. Income Gain Codes: A =$J.(X)()or less B =S l .OOI - S2.500 C =S2.50J ·SS.fl()() D =S5.001 - Sl5.000 E =St5.00I - S50.000 !See Column• Bl and D4) F =l50.(Xll · SI 00.flOO G :St00.001 SI.000.rnl HI =St.000.001 · S5.000.000 HZ =More lhan S5 .000.000

·

!See Column• Cl and 03) N =S250.00I - S500.000 0 =S500.00I · $1.000.000 Pl =Sl.000.001 - 15.000.000 P2 =Ss.ooi.001 - m.000.000 P3 =$25.000.001 - S50JXXl.OOO P4 =More lhan $50.000.000

l Vafuc Method Codes. Q=Apprai•al R =Cost !Real £<>1ate Only) S =Assessment T =Cash Markel (See Column C2) U .::::Book Value V=Other W o=Estimaled

2. Value Codes J =$15.00001 lcf...;; K :Sl5.(Xll • S50.000 L =l50.00J - SI00.000 M =llOO.OOt -5250.000

' "")

I

67.

;- r=, al t

(i) (2)

J l

A

I I




Date or Report

06111/2009

VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of ft/inc instructions.)

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

I_,._.

53.

54.

55.

56.

57.

58.

59.

60.

61.

62.

63.

64.

65.

66.

68.

A. Description of Assets

(indud!ng tPJ ! !"<:,i;"!':

Place "(X)'" after each asset exempt from prior disclosure

NUVN Tn!wnds lni'! Val R

Natnwdc Mui SIC Fil CL A

Pioneer-Cullen Value Y

Pioneer-Cullen Value Y

Sunamer Foe SC Growth CL A

CRM Mid Cap Val Inst'!

CRM. Mid Cap Val Ins1'l

Wells Fargo Adv End SL-I

GS Finl Sq Mmkt Inst'!

Keeley Small Cap Value CLA

Keeley Small Cap Value CLA

RS Jnv1 TR Global N atural Res Fd CLA

SSGA Fds lnl'I Srock SEL

SSGA Fds Int'! Stock SEL

ABRON Small Cap Fd A

TJAA-Cref Ins!'! Int'! Eq Fd

Touchs1one Large Cap Growth Fd CL I

I. Income Garn Codes: A :::.Sl.000 or less

{See Columns B t and D4)

2. Value Codes

(Sec Columns CJ and D3)

F =SS0,001 - SI00.000

J =SI5.(X)() or less

N =$250.001 - $500.000

-l :m: r n: -

- . e :-r-11 r rtinr f'PrlNI r'"pnrting rw-riM

D. TransactiorL' during reponing period

(l) · · 1 · · (2) t- (I) (3) (4) (5)'Amount , Code I

(A-H)

Type (e.g . . div.. rent.

or int.)

Value i Value Type (e.g.. Date i Value Gain Identity or Code 2 ! Method buy, sell. Month

-i i Code 2 Code I buyer/seller

(J-P) I Code 3 ! redemption) Day , (J-P) ; (A-H) (if private

.'\

A

A

Dlv!rltoo J

None J

None J

None J

None J

None J

Dividend J

None J

Dividend J

None J

None J

None J

None J

B =S 1.001 - S2.500

G=SI00.001 • SJ.000.000

K =SlS,001 • SS0,000

0 =$500.00 I - S 1.000.000

L ' (Q-W) ! ! transaction)·-- - - · ·---· - __.___l_ ·· ·-··-·--·-··- · · · · -· · j_ · ·-·- --- - --· -- ... -1. __ ·--· _ ___ j_ -- · - ·---·-· ----

T Sl>kl (part)

'T Sold (part}

T Sold (part)

Sold (part)

T Sold (part}

T Sold (part)

Sold (part}

T Sold (part)

T

T Sold (part)

Sold (part)

T Sold (part)

T Sold (part}

Sold (part)

T Buy_

T Buy

T Buy

C =S2.501 - SS,000

HI =Sl.000.001 · SS,000,000

L =$50,001 - $100.000

!!3 A

j/) )

1/3 J A

8/22 J A

l/3 J A

1/3 J A

8/22 J A

1/3 J A

113 J A

8122 J A

113 J A

113 J A

1122 J A

8122 J

l/23 J

8/22 J

D =SS.001 - SIS.000

H2 =Mor< than SS.000.000

M =SI00.001 - $250.000

P'l =S5.000,00I - S25.000,000

E =SIS.001 - SS0,000

3. Value Method Codes

($ec Column C2}

P3 =$25.000.001 · SS0,000.000

Q =Appraisal R =Cost (Real Estare Only)

V =Otber

Pl =SUXXl,001 • S5.tm.OOO P4 =Mor< than SS0,000.000

S =Assessment

W=Esrimatcd

T =Cash Market

U =Book V atuc

l i

Mo I re_de_

m_p_n_·o

-

n)-

'-

D

f I

v

71

A

NGt1t: I»iY

-----·--- ------------ - -·---------· -----

---- ----·-_J

! I


Name or P•rson Reporting


Date or Report

06/11/2009

VII. INVESTMENTS and TRUSTS -- income, value, transactions 11nc1udes those of spouse and dependent children; see PP· J4-60offtlinc instructions.)

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

Description of Asset>

Place "(X)" after each a\sel

exempt from prior disclosure

B.Income during

c.Gross value a1 end of

reportjn.g period_ .. _ ! reporting perioc' (I) (2) ! (I) i (2)

, Amount Type (e g, Value

I ValueI Code I div • rent. Code 2 Method

i (A-H) or ml) (J-P) Code 3

D.Tramac1ions during reponing period

1n T (2) 13) 1·14i-TType (e.g.. j Date i Value I Gain Ibuy, sell. 1 - Code2

I Code I

I , _LjQ-W)· · · ------··-- ---·- -· · ·---- ------ - --- -----' ---- _J ______L___ -- ---

(J-P) j (A-H) l 69. 1�?g rs Ti-mes Sq MIL URW-PR

70. Amencan Ceniy Mui .Fds American Cemy

ista P

Blackrock Fds Intl Opp lnstl CL B

72. Cambiar Opp Fd

73. RS lnvstmt Fds Emerging Mkts Fd A

74. John Hancock Classic Value Fd CL I

75. Harbor Int'! Inst'! CL

76. Hartford lnt'I Growth Fd

77. Hotchkiss & Wiley Fds Mid Cap Value Fd CLI

78. Legg Mason Value Trust TR Inc Nav Value Trust

79. Neuberger & Bennan Small Cap Growth Fd In

80. Security Equity Fd Mid Cap Value Ser CL

81. Satuit Capital Micro Cap Fd

82. Wells Fargo FDS TR Small Cap Growth Fd Adm

J T !l.123 J

None j 1 Buy 8m )

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8125 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8/25 J

None J T Buy 8125 J '

None J T Buy 1/20 J

(5)Identity of

buyer/seller

(if private

transaction)

--- ·

I. Income Gain Codes: A =S 1.000 or less B =SI .001 - S2.500 C =S2.50t · S5.000 D =S5.00I - St5.000 E =Sl5.001 - S50.000

!Sec Columns Bl and 04) F =$50.001 - SI00.000

2. Value Codes J =S.15.000 or less

!Sec Columns Cl and 03) N =S250,00I - $500.000

P3 =S25.000.001 • S50.000.000

J. Value Method Codes Q ;::.Appraisal

G =SI00,001 - Sl.000.000

K =$15.001 -S50.000

0 =S500.00I • Sl.000.000

HI =Sl.000.001 - S5.000.000

L=S50.00l -SIOO.OOO

H2 =MoTC rhan S5.000.000

M =SI00.001 - S250,000

P2 =SS.000.001 • S25.000JXXl

T :Cash Marker

i ! !

!See Column C2} U =Book Value

R =Cost (Real E.<tatc Only)V =Olhcr

Pl =Sl.000.001 · SS.000,000 P4 =MoTC than $50.000.000

S =As.scs.-.menl

W=Estimated


Page 9_of 10



Date or Report

06/J 1/2009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicatepartofReport-)

"IRA #2" from 2007 repon has been renamed "IRA #I" "IRA #3" from 2007 repon has been renamed "IRA #2"

PORT MAY BE SUBJECT TO CIVIL


Page 10 _of 10

Name or Person Reporting Date or Report

Ellis, IIJ, Thomas S. 06/11/2009

IX. CERTIFICATION.

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 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 regulations.

NOTE: ANY JNDJVIDUAL WHO KNOWINGLY AND WILFULLY AND CRIMINAL SANCTIONS (5 VS.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

Documents

I AOIO C r. eient .ct by of 1978 Rev. 1208 §§ 101-11 I) 2. 3 ......SOURCE DA TES I. Villanova University School of 21112008 to 2/2/2008 aw LOCATION Villanova, PA PRPOSE Seminar (speaker)