thomas l ambro financial disclosure report for 2009

8/3/2019 Thomas L Ambro Financial Disclosure Report for 2009

1/19

,~ o t o [ FINANCIAL DISCLOSURE REPORT ~ p o r , ~ e , t .i r c d ~ . , , I ,, . E , ~ i ~ in Governmtnt .4ut t~ 1978~..//2o~o [ FOR CALENDAR YEAR 2009 ~ u.sc. a/,t,..4".~ i o l 4 / I )I. Person Reporting {last name. first, middle initta!) I 2. Court or Organizarlon 3. Date of ReportAmbro, Thomas L. U.S. Court of Appeals, 3rd Ctr 05/4,2010

4. Title ( .-krticlc II | judges indicate acti,c or senior status; 5a . Reporl Type (check apptopr=a tc I )pc) 6 Rt .port ing Prr iudmaystratc judges indicate full- or part-time) ~ Nomination. OatcU.S. CircuitJudge-Act,ve ~ In,fial 12 3 ~ ,20095b. ~ Amended Report

2. Chamb t . r$ or Of f ice Add~x~ 8. On lhe b~i~ of lhe i l l [ormal io~ t onlain~d in lhi~ Reporl and any

844 K ing ~ l r ee t , Lock B ox 32Wi lm ing t on , D E 1980]

I,~IPOR TANT NOTES: The instructions accompanying this form must heft,flowed. Complete all parr~,checM ng the NONE hax for each part where you have no reportable inJbrmatimt Sign on last pag e.

1 . P O S I T I O N S . r s , e o . i , . ~ ...t..i.~.,.~ o~o,; ,,e pp. ms oJJilittg instruction~.)[~] NONI_ : (No reportable positions.)

P O S I T I O N N A M E O F O R G A N I Z A T I O N / E N I IT YI T r us tee Thomas L. Ambro Revocable "lrust

2. Member (Emcritus) Georgetown University Alumni Admissions Program Board of Advisors3 President Richard S. Rodney Inn of Co ttrt4. Membcr Georgetown University Northent Dela;~.are Alumni Admissions Program5. Member Board of E&tors. Delaware La~yer6 Mcmber Board of Ed~lors, Dek~ware l .aw R eview7 Member Board of ]RISlCdS Of Ihd A/l~erlzarl Inn~ ol( )oun

N Member Editorial Board oflhe B usiness L a w ? e ~9. Member Editorial Board of B usiness Law "fod~y10 Mem ber Executive Comm ittee of the Board of Directors of the Federal .JudgesAssociation

!1, | . Z-X~31lX.t: ./d-.lVl l: .l ~11~.3. (Rep,*rting individuat ont),; see l,p. 14-ltt of filing ira .............~ _ _ N O N E ( N o . r e p o r t a b l e a g r e e m e , ,1 . , . )

D AT E P A R T I E S AN D T E R M S


2/19

F IN A N C I A L D I SC L O S U R E R E P O R T .~ .....fp .....Repor, ing [ D a t , o [ R g por tPage 2 of 19 Ambro, "ihomas I,.I

05."42010


3/19

FINANCIAL DISCLO SURE REP O RT ~ ..... fP .... R ~ p o r ~ i n g ] Dale of Repo!!Page 3 of 19 Ambro, Thomas L.I

05.42010

1 ! 1. N O N - I N V E S T M E N F 1 N C O M E . (n,,i, , , , , i , ,x individual a nd ~p ..... ; ~ e e p p . 1 7 . 2 4 of filing i .......ions.IA. Fliers Non-Investment Income

N O N E ( N o reportable non-investment income,)D AT E SOURCE AND TYPE INCOME(yours. not spouses)

2.3

4.

B. Spouses Non-lnveslmen! Income - q).ou , ,ere married during a n.),portion ,~f the reportin!t yeav. r,,,,ptet,o thi~ ~ec tio,,.(Dollar o, mttt ; t t t not required except f l~r hom~rarta )

~ N O N E ( N o reportable non-investment income,)D A T E SOURCE AND TYPE

I 2009 State of Delaware - salad2.3.4

IV. REIiMBURSEMENTS ....... v ......~ , , . , I , ,U . ~ i . x , Z o o a . . . . . . .. .....U _f] N O N E (No reportable re im~u~:~ements.)

S O U R C E DATES L O C A T I O N P U RP O SE IT EM S P A ID O R I R OV II)EDl Georgetown University l.aw Apr 1-4. 2009 Washington. DC M o o t Court Compcmmn 3 ransporlafion. Lodging & MealsComer

2. Umversity of Alabama Apt 7-9. 2009 Tuscaloosa. AL Moot Court Compe~[ion TransportationS~hool of Law3 American Bar A~soc~ation Ap r 15-19. 2009 VancouveL CA Annual Meeting ] ransportation. Lodging & Meals.l American Bar Association May 18-19. 2~09 Nca York City. NY Participant in Educational Y t a n s p o ~ a t ~ o nProgram5 American Bar Association Jul 31 - Aug 3, 2009 Chicago, I1. Section of Business I.aw l ransportation, Lodging & Mea~sAnnual Meedng6 American Bar Association Oc t 19-20, 2009 N ew York C ity. N Y Attendance at Educational Transporlation, I.odging & Meals


4/19

FINANCIAL DISCLOSURE REPORT ,,, ....~+~"Page 4 of 1 9 A ~ b ~ o , T h o m a s t.

I 0 5 / 4 , 2 0 1 0

P r o ~ ! r : ~ n t, 7 . American Bar Association No,. ] 9, 2009 W ashi~ +glon, DC Allendan;;e at P.~ lccfi~ g ]-t ,~nsporla[~on

8. Y a le I _ a w Sc h oo l Dec 6-8 . 2009 Nc,v I laven, CT \loot Ct+~url Competition T r an sp o r ta tio t~ , l . o d ~ mg & F , Ic a l s


5/19

FINANCIAL DISCLOSURE REPORT x .... fP ..... R C p o r l i n ~ D ... . ,Repor lPage 5 of 19 Ambr o , Thomas L.

~ N O N E (,~ reportableS O U R C ~ D E S C R I P T I O N

I.2.3.

5.

~ N O N E (No reportab le liab ilities.)C R E D I T O R D E S C R I P T I O N VA I. ! i E CO DE

I. Comm erce Bank. N.A., now known as Partial guarantee ofcomm ercial loan to Springside, I.LC (Part VII, Line t 1TD Bank 1 4 6 )2. Commerce B ank. N A, no; , known as Parlial guarantee of comm ercial loan Io Springside. I.LC (Part VII. Line PITD Bank 1 4 6 )3. Commerce Bank. N.P~ ., no,,, known as Partial guarantee ofcommercial loan to Spr ingside, LLC IPan VII, Line P 1TD Bank 1 4 6 )4.


6/19

F IN A NC IA L D IS C LO S U RE REPORT[ Ambro, Thnmas L, .

Page 6 of 1 9 0 s / 4 , 2 0 1 0

VII. INVESTMENTS and TRUSTS --~ N O N E (No reportable i~tcomc, ossetL or tra~sactions.).................. ~. ..........~ .. . . . . .ff ~ c .................. ~ ...................Iescription of Assets Income during Gross ~aluc at end T~nsact ions during report ing pcrk~~ (including trust assets) reporting period or : cpor~n~ per iod

P[~)cc "(X)" aider each a~sel Amounl Ty pe ( c g , Value Value ~ Type e.g. D~c Value [ Ga;n Iden~i~y ofexempt l?om paler di sc losure Code I div . rent. C ode 2 I Mc ~h od buy. sell m~ n dd . . )y C ode 2 [ C ode ; bu)cffsel lc ror

........................ I ~ ~ Q - W ) : t ransaction)

I. W ih ~l ing ton T~sI Accotmt A ]ntc res l K "[2. Wilm)ngton Trust Account A I n t e r e s t J 3 "3. Wilmington "Tax Exemp t In v es to r N o n e J T

[4 Dcla .vare Stale Bond 6. 1% N~)nc K T

5. G la s gow P ro fe s s iona l Prope r t i e s Inc N o n e Closed I 12130/09 N G6. Trust Account//6 C Dividend M T7 . - Evergreen Municipal Money Market FD(cash equivalent}8 . - Centerpoint Energy Inc9. - Harris Assoc Oakmark I Sold 07/21/09 J( p a r t )I 0. - Southv, est Water Co

I I. Tn t s t A c c ou o l g7 D Int/Div P I T12 . - Oakrnark G)obal Fund CI. I Sold 0 3 0 9 . , 0 9 J(pan)13 S o l d 1 2 . O 3 / 0 9 L14. -I]ndgew~y Ultra-Small Co Sold 11/25/0915. -T Rowe Price Cap Appt FD Sold

(pan)16. Sold 03.16~09

17 . - Fairholmc Fund Sold 03.09/09 J(pan)


7/19

FINANCIAL DISCLOSURE REPORT N ..... t P . . . . . . R e p o . i . ~Page 7 o f 19 Ambr o , Thomas L.

ID 5 , 4 / 2 0 1 0

VI 1. I N V E S T M E N T S a n d TRUSTS - i ........ lue. t ......"ti ,mx 1Includes those of sp . . .. . .d depend ....hildren; see pp. 31-61: o[filint, i ....... ti~ N O N E ( N o reportab/e ittcome, assets, or transactions.)A ~ B C. D

(including I~st assets) reposing peri~Place " (X)" af lc t each a~set ~Amount: Type(e.g.. Value ~ V,~u / r)pc(e.g. Date ValueJ (;at3 h lc m, t ) o fexempt f rom pr ior dNclosure ~ C ode I div . ren t . Cott 2 ~ Mcth~ [ buy. sell . ~mm.dd~y) Code 2 Code I buyer.,scllcr: : IA-I!) orm l . ) L J - P } [ Code3 / rcdcmptkm} (J-P) ~tAll) ( i ipn~a le.... ~(Q-W)

18 - CGM Focos Fund Sold 03,0V , 09~ p a ~ )19. - T Rowe Price Equity Income Sold I 1"25,09

2 V . - Duke Fnergy Co~

2 1 . Nlicrosoli Corp Bu y 02/10/09(addl)B uy 0 3 , " I 0 0 9(addl)

23 Donated( p a n . }2 , 1 . - Arlio Global INVT FDS Inll Equily FD 11 Sold I ) 3 / 0 9 ! 0 9(parl)25 - The Southern Company

2 6 . Federated Slrategic Value Fund Sold 3 1 9 / 0 9 J(pan)2 7 . - Federated Municipal Untra,;ho~ FundI n s t i t u ( i 0 n a ] Sold 0 3 . " I 0 0 9 J[part)

Sold 0 3 . I . L . 0 9( p a n )29 Sold I I.2509 L ,\3 () - WSI-.q Financial Corp Buy 3.10093 1 . B uy 3 ; I 3 , 0 9 J(addJ)32 - I lares Assoc INVq- YR Oakmark l~qu i ts &Income FD " Buy 3.19:09 L3 3 . - I lares Assoc I~4VI" TR Oakmark GlobalSelect FD B uy 1 2 ; 0 3 , 0 9 L34 - Nuveen lradcwinds Globa! All Cap FD Buy 6/I 8;09 L


8/19

IName M FersonFINANCIALDISCLOSURER E P O R T[ A , ~ , b r o . n , o , . . s L . ~ , ~ , 2 o ~ oa g e 8 o f 1 9

V I I . I N V E S T M E N T S a n d T R U S T S i ........ ../ ........... ,i..~ tln,h,des tl ..... of ~ ........ d dependen, children: see pp. 34-60 olfiling i .......... ion,.)~ N O N E (No reportable income, assets, or transacttons.)............. ~ ................... t) - " t c; .......... 6 ..................

Place "(X)" a~er each ~set : A m o u n t T)pc (e g, ~ Val uec x c m p l f l o r a p ri o r d ~ s c l o s u r c ] C o d e 2 M e t h o d buy, sdl, immddy)o d e I d i v . . r e n t . C ~ e 2 C o d e I b u y e r . s c l l c t(A-lh o ~ i n t . ) ( I - P ) ( u r i c 3 t c d c m p l i u n ) ~ ~ t r a n s a c t i o n )................ ~ Q - W ) { i3 5 . - Oppenheimer Limited Tem~ Mumcipal B uy I 2/07/09 OFund36 - Oppenheimer Funds R~hester Natl Muni H n y 310.09 K

CI. a3 7 . ] K A A + c o u n ~ # 1 D Dividend N T3 8 . : Oakmark Global Fund Sold3 9 . - O a k m a r k F u n d C l a s s 1

4 0 . - Bddgeway FD Inc Sold I 1 : 2 5 . . 0 9 J4 I. - Franklin Cust Income FD Sold 2!18/09 K

4 2 . - T Rowe Price Cap Appr FD Sold 0 3 / 0 9 1 0 9 J(parl)43. Sold O3116/09 J44 , - Dodge & Cox Intl SIock Fund Sold 03!09/09{pan )45 . - Fairho]me Fund Sold 03109,"09 ,.I( p a n )40 . - Federated Strategic Value Fund

4 7 . - }lanis Assoc Invt TR Oakmark Equity & B uy 02.19/09Income (addl)~ 48 Sold 3!09109

(parl)4 9 . Buy 03/16/09

(addl)50. - Artio Global INVT FDS Intl Equity FD I1 Sold 3 , " 9 , 0 9(parl)5 1 . - K inet ics Mutual Funds Ine Paradigm FD


9/19

FINANCIAL IN,mef Person Report ingDISCLO SURE REPORTI Ambro, Thomas L.

P a ge 9 o f 1 9

V I 1 . I N V E S T M E N T S a n d T R U S T S - i .......... ~,,,.., ...... tion (Includes Iho$o of ap ....... d dependent children; ,e pp. 34 60 of filing invtructtvn$.)N O N E (No reportable income, assets, or tra;tsactions.)A .... ~- " C. iDescription olAsset.~ ][lcunle duri~]~ Gross value at end Trans:,c!~oni during: rcp,~rtw~t including tnlst assets) repo rting perio d o f rep ortin g p cr,o d~-ij-- (z) (ii--[--~,; ............,~) " c : ~ ]3~ ~ d~ ....Place "(X)" a f te r each asse t Amount i Ty pe ( c g , Value ~ Value f)~,e (e.g., ~ [;,ate Value tI ~ . , ; ~ 2 c I Idc~lttty of.... pt from pri,,r dl~,cl ...... /Codc, I d ....... , C ode2 ~ Method [ b ..... tl . I .... Code 2(A-II} . or int .) ( J -P) j Code 3 ] r e de mpt iona l {I-I.l (A I I} HI pr~ ;a ci (I.). \V)

52 . - L o0 rn i s Su y le s Io , t TP , B ond ( ? l a s s R So:d I 1/25/09 K D53 . - Harris Assoc INVT TR Oakm~rk Global B uy 03/1 I.0O J

Sclecl FD "54 . - P imc o u nc ons t ra ine d ~3D Fu nd C L Sold 03/I 1:09 J AInstitutional (part)

- " 3 " B uy 12/07/09{addl)5 6. -TCW FDS Inc Tolal Relum BD FD Bt~y 06/15/09 J

57 . B t ,y 12/07 ..09 .I( a dd J )5g - " I c ~np le ton G loba l To ta l R c iu n~ FD B ny 12/08/09 K59 IR A A c c ou n t ~2 E In t . /Div . PI T60 - D o~n in ion R e s lnc VA N e w

62 - ();~kraark Global Fund Sold 03i0q,0g .I

6a - Btidgeway ID Inc Ul~-Small Co Sold i l /25 ,09 K~ 6 5 . - -C ent e~o in t Energy

, , 6 . l:rnnkhn Cusl Income FD Sold 02/18/09 M67 - T R~v ,e Price Cap Appr Fund S~ld 03/16/09 ~.16~ - Dodge & C ox Intl Stock Fund Sold 0 3 ~ 0 9 / 0 9 J( p ~ r t )


10/19

FI NANC I AL D I S C I,OS U R E R EP OR T N . . .. . r ~ , . . .. . R e p o m , g [ , , ,, , ,, f a . p o , - , ]Page 10 o f 1 9 a , , ,~ , , - o . " r l , ,, ,r , ~ , ~ L . 0 5 4 , _ ~ 0 ~ 0

N O N E (No reportable income. ~zs.sets, or transactions.)a. u. ......... ~7 ........[ b. - ......DcscrlptJoll oIAsscts Income dur ing Gross valuc at end 1 : Z:ansactmn~ during reporting p=rlt~

(including lnts~ assets.} rcpor: :ng pcrm d of rcporh~ g period ~(IJ (2) O) .... {2 j ~ " I1 ~2) (3J (4) -~ ~ 5 ) ~P*~ce " (X)" af ter each nssc l A mo un t T yp e ~ e.g , Value Value ~)pe le g. Date VMuc Gu m Idenhty ol ~cxcmpl I}om pr ior di sc losure Code I d~. rent. C~e 2 Melhod buy, sell, :nm"dd vv Code 2 Code I buy"sol e l{A-H) or m ~ ) (J-P) ~ Ct,de 3 ~ ~cdemp~on) (J-P) (A-II) (ffpriva!e.................................. j { Q - W ) ~ Ira n~c~ion)

6). - Eairholme Fnnd Sohl 03:09/09 N(part)7 0. - Rowe T Price Equity Income FD Sold 03109,09 J

{ p a ~ )7 1. Cheasapeake Energy Co~ Sold 0712109 K7 2. - l)cvon Fncrgy Corp

7 3 . - Ilombeck O/Eshore Services Inc Sold 1 / 2 5 / 0 9 K D7 4 . - XTO Energy Inc7 5. - Dodge & Co Global Stock Fund

7 6. - Federated Strategic Value Fund Class B uy 01~02,"09(addl )77 . B uy 03;02,"09(addl )78 . Seld 03/09/09(par~)79 . B uy 04/01/09(addl )8 0. Buy, 05."0 I,"09(addl )8 1. . ~ l u y I)6.:0 [ ,09(addl )82 ~ : l u y 0630:09(addl )83 . Bus , 07.3 DO9(add l)8 4. B uy 091U1/09(addl )

85[

So{d 09..28..(19


11/19

FINANCIAL DISCLOSURE REPORT s ....t~ ....Repo.i.~Page 11 of 19 Ambro, Thomas L.

I05..4,2010

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

Description of Assets Income dur ing Gross value at elld "l ransacuons during rept~rltn,d pcr~,~lD n c l u d m g mint asse~s) reposing per iod of reposing pcfot~ . . _ ~Place "(X}" af ....... ..... /A ......~1 T*pe {e g . . Value ,a,ue Type (c g Date :Value Gain ,d .....cxcmp~ [ram prmr d isclosure (?ode I giv.. renk C~e 2 Method ~ bu,. sell mmdg~y C o d e 2 ( ~dc I buyt~Iscllcg/ { A- H) " ot int) (J-P) ()~c 3 ~cdcn,pli~n) ~ {J-P} IA-II} (ffprwalc( Q - W ) transact,onl

8 6. - Ha~is Ascot l~vt TR Oa~nark Global B uy 3 ~ 1 09 KSe le c t Fu nd (add l)8 7 . - H a ~ i s A S s O C I n v t T R O a k m a r k E q u i ty & B uy 02:19~09 MIncome Fund (add l)S8 . B uy 3/09;09 K( add l )

: g9. Bu y 3/16. 09 M( a d d E )90 Sold 08/25/09 M C

9t. So ld 09.30.09 J(pan)

92 . - Aruo Global INVT FDS Intl Equity FD II So ld 3.09,09 J(pa~)

93 . - Kinetics Mutua; FDS Inc Paradigm FD Sold 03109/09(pan)

94 - Loomis Saylcs Invt "JR Sold 1125/09 M95 . - Market Vector Gold Miners GDX B oy 03 0%09 K96 . - P in ,c o U~ c o n s t r z in ed Dd Fun d CL B uy 1297/09 I.In.~ti tut lonal97 - WIlY Inlc~at~onzl ~quity FD CL B uy 0~ /25 /09 M98 . -ICW FD5 Inc Total Return IID FD B u2 061509 K99 . B uy 12.07/09 L(add l)

-TempletonGIobalTutalRetumFD Buy 09129/09 L

I 0 I. B ay ! 2 08 /09(add l)102. Sold 12/09/09 L B(p~)


12/19

FIN AN CIAL DISCLO SURE REP O R T ! N ..... f P ..... R e p o r ~ i n o ~ I)aleolReporlPage 12 of 1 9 A m b r o , T h o m a s L 0 5 / 4 , 2 f ) 1 0

V I ! . 1 N V E S T M E N T S a n d T R U S T S - i . , . . . . . . . . . . ~ . . . . . . . . . . . , i o , , . ~ t . , - ~ , , a . ~ , , , , , ., , o l , p . . . . . .. a d ~ p , . ,~ , , , c h i l d . . .:~ N O N E (No reportable income, ~zets. or trttrts~tctions.)

......... ~.~ ............. ~ --- 7 " ~:. ~ .......... 6- ...........(including tn~t asscls) r c p o m n g ~ r i o d [ _ o f r c pomng pe r od

Place " (X)" Mlcr ~ch assc l Amount T) pc (c.g.. Value ~ Value T H ~ c ( c g. l)a~c Value Gain ~ Identity ofexempt from prior d isclesure Code I ~ dlv., rent. Code 2 : Mc~ht,d bu}. scll . .m~dtU~y C~dc 2 Code I I ~ ycr/s~llcr(A-H) t~t int) (J-P) C~dc 3 rcdcmph~.n}I Q W ) trarl~nchun)

103. - Temple~on Funds Income TR GLB BD B oy I 2."10/09Adviso~104. - V~nguard Inflation Protected Securilies FD B uy 0 I;22/09 K105. - Novatel Wireless Inc B ny :09/30/0910 6 Sold I;25/09 J1 0 7 . - Pirnco Total Rcturn FD Inst CL Bu y 0 3 , 1 0 1 0 9 K

1 0 8 . Sold 0 3 , ; I I . , 0 9 t. A109. - Vanguard Fixed Income Securitics FD Du y 06/15/09 KShah Term110. B uy 08,309 J(add l)11 I. B uy 09/01109 J

( a d d I )112. I ~ . u y 1001/09 J(addL)113. B uy I 1 /02q)9 J( add bI14. Sold I! 2Y09 K A

I ] 5 - Arti,J Global INVT FDS (;I,[]L lligh H uy 0 6q 5 /0 9 KIncome FDI 1 O Bu). 06~30,09 J(add l)I L 7 . Boy 07/3 I ;09 J(add l)

18 . B uy 08. "3 ] /09 J( add i )19 Sold 09/28 ,09 K C I


13/19

FINAN CIAL DISCLOSURE REPORT I N ....IP .....Reporting Da,e of Repot!Page 13 of 19[ Ambro, Thomas L.

0 5 , . I / 2 0 1 0

V! 1.1 N V E S T M E N T S a n d T R U S T S - - i . . . . . . . . . . ~ , , . t ...... n o ~ s : t , , c t , ,a , s ~ h , , , , vf ,p ......... a dependent c h i l d r e n ; , e e p p .~ (No reportable income, assets, or transactions.)O N EA B C.Description o~ A % c ls l n c~ m e dur ing ; Gros~ value at end Tr~ :~c t ions dur ing reposing ~ r , t~ ,(including IRisl assets) reposing per iod i ol cpo~ing period

Place " (X)" al~er c a c b asse t Am ou nl I "ly~ (e g, Valuc : Value T~c (c,g. ~ Date Vah:e[ (A -H ) or int) (J-P~ Code 3 rcdcmpliun~ {J P)

120. T ~ s~ Ac c ou l ~ l ~ 1 2 D Im.,,Div. O1 2 I . , O~k~ark Globa l Fund So ld 0 3 ;0 9 :0 9 Jr (part)122. Sold 12.,03:09 K

1 2 3 . - T Rowe Price Cap Appr Fund Sold 0 2 ! 2 4 1 t ) 9 J(part)124 Sold 0 3 , " 0 9 . 0 9 J{ p a r t )1 2 5 . Sold 03/16/09 L1 2 6 , -Fai rholmeFund Sold 11:2509 J B[part)1 2 7 Donated(pall)1 2 8 . - CGM Focus Fund Sokl 03/09/09 J(pan)129 - Dodge & Co,.: Intl Stock Food Sold 03/09:09 3( l ) a ~ l )30 - Alpine IncomeTR Mun Money Sold 0 2 i 2 5 : [ ) 9 J(pan)3 I. Sold 0 3 , 0 5 , 0 9 J

13 2 - Chca~apeakc Energy Corp Sold 0721:09 " K A(part)133 Sold 0805,"09 K D

1 3 4 . -CiscoSystew~slnc1 3 5 - I Iombcck O ffshore Services Inc B uy 0 3 , . f ) 5 , 0 9 J(addl)t3 6 Sold 1 : 2 5 : 0 9 K D


14/19

FINANCIAL DISCLOSURE REPORT N .... rP ..... Repo , d ngPage 14 of 19 .*.taro, "[hom as L. 0 5 / 4 / 2 0 1 0

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

(including Ims~ assets) I ru p o m n g p c rm d of re fa c ing pe rmdPlace "(X)" a f te r each asscl Amount Type (c~. Value Value T ype (e g , ~ Da~ Valu~ Gain Idcnt ,~ of, C.~de I ~ ~v rent. ( o~c 2 M~,od buy. sc~l. mmdd,yv

-Johnson&Johoson

~ 38 . -ArfioG[aba[~VTFDSInflgquilyFDll Sok~ 03")9)9 Jl (pan)~39. - Kinetics Mmual FDS Inc Paradigm FD Sold 03/09,09 JL 140. - Cadence Design Systems Ine B uy 1 0 2 2 7 , 0 ~Iql. -MierosofiCo~ Bu y1 4Z - Ov ac ]~ C o~ Bu y 0~q ~ /09 J

R a n ge R ~ s o ur c e s C a r p

~4~. - [~ a ~ i s A s s o c ~ V T T R O a k m a r k G ~ o b ~ l Bu y 1Z03/09 KSc le ~c l FD145. - Hawis Assoc ~VT TR Oakmark Equity & H uv 03/I 8 /09 kIncome FD "1 : 6 . - Oppenheimer Pun~ Rochester Nail Mun B uy 03q 009 KC L A "147. -WHVIntemafionalEquilyFD llu) 08;25,09 K148 - Oppenheimer ].imitcd ]enn Municipal t ~uv 2 0 7 , 0 9 KFund Class A "

1 , 1 9 . Springsidc. I.[.C (2000 - $300,000) hc,r~e Pl W150. I egg Mason Oppom~nity Trust N o n e K1 5 I. Middletown Professional Properties. kl,C. E Rcn l I_ R

(2004 -152. Schneider Value Fund g Dividend K T153 Trust ~13 D InL; I ) iv I.


15/19

INtonef Persoa R~portingFINANCIAL DISCLOSURE REPORTPage 15 of 19V I 1.1 NVE S T M E N T S a n d T R U S T S - - i . . . . . . . . . t , , . , . . . . . . . .. i o , , , l n c t u a e , th o s e o/ . ,p~ NONE (,Vo reportabh: inco me, tLYXtls , or trtmsa ctions.)

(including t~t a~scts) rcpomng ~tiod offering per~(7) ..... (2) 0) ~2) ...... r .... II) ....~ "~) 13) t4~ (SJ "

PZacc"tX)"art ....~as~c~ .amoun~ ~ Ty~(c.~, Value [ Value , Xyp~(c.~, [ ~atc Vak,c O .... Idc,, ti ly~,fcxcmp: from pr


16/19

Page 16 of 19 a m U r o . r u o , , ,a s L .

V i I . I N V E S T I V I E N T S a n d T R U S T S - i . .. .. .. ,./ . . . . . . . . . . ,~o , ,~ . , , , - ; , , ,~ , ,~o , . o~ ,~ . . . . . . aa ,.~,,.a ..... ~ , ~ , ~ , : ,, ~ v . ~ 4 . ~ oN O N E ( N o reportable income, assets, or ttzmsactiorts.)

Description otAsseIs Income fluting O:oss ~aluc at end [/ansactions during reposing pcnod(including trust assets) ~ e p o o i n~ ~ r i ~ d ] of~eporting period..... (tf .... , (2; (3;Pla c e " (X)" a f t e r c ~h a s s e t IAmunt : 7ypc (cg. / Va~uc Value , qrpe (e g. Date Value Gain Idellllly ofexempt from pno~ d i~losurc ~ Code 1 div. rent. Code 2 Method [ buy. srlL }mm/d4,yy Code 2 C ode I buyc~,~ellcr~ ( A- H) o~ m~.) (J-P~ C ode 3 rcdcmp!~ unl ~ ~ [J-P) (A-10

.................... ~ . ( Q - W I Iran~3clmn)

1 7 1 B uy 0901/09 J{addl )17 2 [hU 100b09 J~addl)173. Bu~, I I .02109(add l)174. Sold I I ;25,09 M D175. - Vanguard Municipal Bond Fund 1 3 u y 01,r22!09 MIntermediate176. B uy 0202109 J{addl)1 77 . B uy 0302."09 J(add l)17 8 . B uy 0401 !09 J(add l)179. B uy 05/01/09(addl )180. B uy 06.01/09 3(addl )18 I . B uy 07 "01 /09 J(addl )182 B uy 08 :03."09 J(addl )I,q3. B u) 0901/00(add l )IS4. Buy 10 01 /09{addl )

8 5. B uy I I l "02/09(addl )18 ( , Sold I I 25/09 M l)187 Trust ;~14 D I n t i D l y . N T


17/19

FINANCIAL DISCLOSURE REPORT N .....fP .....nepOll[~gPage 17 of 19 A m b ~ o , ~ h ..... L. 0 ~ . ~ 2 ~ 0

N O N E ( N o re~ortahle income, assets, or transactions.)

Place "(X}" after c: ,ch asset ~ Am o u m "1 ypc (e.~. ~ Value / Value Type te.gexempt f rum pmor d~sc losurc i Uodu I div . . rcm. : C ode 2 ~ Mclh~ I buy, sell . ~mm, dd,yy Cede 2 Co0e I buyer, sol!or(,X-H) ormt) IJ.P) C o d e 3 I redemp6tm) (J-l) (A-I t ) Otprt~al

188. -I)uPageCook& WdlCmyslL Bond Bu y 04, 23z09 K189. - R h o d e I s la n d S t E c o n o m i c D V C o ~ R V Bu y 03,"23~09 K1 90 - Oak lahoma C n~ Ok Indp l Sch D is l No 89 Bu y1 9 1 . - Milwaukee W I Corp Purp B I G.,O Unltd B uy 0 6 / 1 9 , . 0 9 K192 - L;niversityrX Univ Re,.~ Rfdg Fing Sys B uy 04130/09 K19 3 - G \ ~ , inne t l C n ty G A Sc h D is t G /O B uy 03.r24;09 K194 - Tennessee Sl" Set A GiO B u y 04""309 K195. - Maryland SI S| ~ Loc FACS LN 2rid Set B uy 03:25/09 K(3/O196. B u ) 12/17109 J(add l)197. -CherokeeCntyGASchSysG;O B uy 06119i09 K

1 9 8 . -I l l in0isStToll l l ;vyAuthRexSRPriori ty Bn y (630/09 K1 9 9 - New York St t~n,iroomcmal Facs Corp St B uy 04/2809 K200 - Arizona Igrd Regenls Urn,, AZ Sys Re,, Se~ B uy 04/29;09 KA


18/19

JNamef Ferson R(por~n~ I D~le or ReportFINANCIAL D IS CL O SU R E R EP OR TPage 18 of 19 o ~ . ,4 / 2 m oV III. ADDITIONAL INFORM ATION OR EX PLANATIONS. a,,i,,,~,~,~,~,,~

Asset listed in Pan V II, Line 149, has rental income From property Iocaled in F.hddlctown, DE. This assel ~.as purchased in 2004 fi}r $8 0.925.Asset lisltd in Part VII. L ine 24, has changed its name from Artio International Equity [:llrltt II m Artio Global IN VT I:DS Int[ Equity FD IIAsset listed m Parl Vll, Line 50. has change d its name flora Artio Intcm atior~al Eq.ity Fund II to Ariio Global IN VT FDS lml Eq uily FD II.Asset lisled in Part VII, Line 92, has changed its name from Artio International Equity Ftmd II tt~ Arlio Global INVT FDS Intl FXluity FD II.Assel li~tcd in Parl VII, L ine 138. ha.:; changcd its name from Artio hucmatienal Equit) l:tmd II to ArI~o GIc, bal INVT FI)S Intl Equity FD II.Asset listed in Part VII, Line 140 of prior ~ ear report, should have b een listed as a part sale. ll~e asset was com pletely sold m 2009


19/19

FINANCIAL DISCLOSURE REPORT N .... lP ..... R,port ing I Dalt of R,por!Page 19 of 19 Ambro, Thomas L.I 0 5 " 4 1 2 0 1 0

IX. CERTIFICATION.I cerr ily thal all iolormarion gi~en above (including information pertaining to my spo use and minor o r dependent children, if any) isaccurate, true, a~d comp lete tu the best of m., konwltdge and belief, a~ad tidal al~y info~ m arion not leported a:, ~,ithbeld betau:it it ~|~et appbcahle statutoryprovisions permitting non-di~dosure. .i fur ther cer tify that earoed income Irom outside employment alld honorar ia and ti le acceptance of gir ls ~ hicb hase beell rcpu~ It .d arc iocoropliance .ith the pro*isions of 5 U.S.C. app. 501 el. seq. , 5 U.S.C. 7 353, and Judicial Conference regulations.

Signat~l

NOTE: ANV IN DIVIDUAL W IIO KN OW INGLY AND \VII .FUIA.Y FALSIFIES OR FALLS TO FILE T i l lS REPORT MAV BE SIJ I~dE(_ I TO CIVILAND CRIMINAL SANCTIONS {5 U .S .C . app . 104)

F I L I N G I N S T R U C T I O N SM:li l s ig~aed o r ig ina l and 3 add i t io~ ml c op ies to :

Conm ~i t tec on Fl ip , rac ia l D isc losu reAdmin is t r~a t ive ( ) t tqc e o f the U n i ted S ta tes C ~ tu r t sSuite 2-301One Col tm~bus Circ le , N .F. .Washington, D.C. 20544

thomas l ambro financial disclosure report for 2009

Documents