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
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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)
Partial guarantee of commercial loan to Springside, LLC (Part VII, Line
P l
224)
Partial guarantee of commercial loan to Springside, LLC (Part VII, Line
224) P l
Pl
4.
5.
c.
(!) (I)
(J-P)
(4)
(A-H)
I.
2.
A.
Identity of
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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.; -
D NONE (No reportable income, assets, or transactions.)
A. B. C.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting 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
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 7of21 05/10/2011Ambro, Thomas L.
VII. INVESTMENTS and TR us TS income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 instructions.)-
D NONE (No reportable income, assets, or transactions.)
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 $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S :=oAssessmcnt T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
B:
(1) (2) Amount Code
(1)
(J-P)
(!) (2)
mm/dd/yy
Page 8of21
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
05110/2011Ambro, Thomas L.
VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. c.
Description of Assets
( including trust assets)
Income during
reporting perfod
Gross value at end
ofreporting period
52.
53.
54.
55.
56.
57.
58.
59.
60.
61.
62.
63.
64.
65.
66.
67.
68.
Place "(X)" after each asset
exempt from prior disclosure
- Dodge & Cox FDS Intl FD
- Matthews Intl FD Asian Growth & Income FD
- Nuveen All American Municipal BD FD Inst\
- WHY International Equity FD CL I
- Vanguard Municipal Bond Fund High Yield
- Harris Assoc Invt TR Oakmark Global FD CL I
I. Jncomc Gain Codes: A =$ 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
(See Column C2) U =Book Value V =Other W =Estimated
A. D.
(3) (4)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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
Transactions during reporting period
(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 -$50,000
(3) (4)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 10of21 Ambro, Thomas L. 05/10/2011
VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.J
D NONE (No reportable income, assets, or transactions.)
86.
87.
88.
89.
90.
91.
92.
93.
94.
95.
96.
97.
98.
99.
A.
Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
- Artio Global INVT FDS Intl Equity FD II
- Kinetics Mutual Funds Inc Paradigm FD
- Harris Assoc INVT TR Oakmark Global Select FD
- Pimco Unconstrained BD Fund CL Institutional
100. - TCW FDS Inc Total Return BD FD
IOI. - Templeton Global Total Return FD
102. - JP Morgan TR Strategic Income Oppty SELCL
1. Income Gain Codes: A =$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
(See Column C2) U =Book Value V =Other W =Estimated
D.
Transactions during reporting period
(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)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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.)
D NONE (No reportable income, assets, or transactions.)
A. c. Description of Assets Income during Gross value at end Transactions during reportingperiod
(including trust assets) reporting period ofreporting period
(2) (1) (2) (2) (3) Place "(X)" after each asset
exempt from prior disclosure
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)
Name of Person Reporting
Ambro, Thomas L.
Date of Report
05/10/2011
FINANCIAL DISCLOSURE REPORT
Page 12of21
VII. INVESTMENTS and TRUSTS - income, va1ue, transactions (Inctudes those of spouse and dependent children; see PP· 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting 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
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
B.
(1) (1) (2) (I)
(J-P)
(4)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 13of21 05/10/2011Ambro, Thomas L.
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. C.
Description of Assets Income during Gross value at end
(including trust assets) reporting period of reporting period
(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.
Transactions during reporting period
(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)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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.)
D NONE (No reportable income, assets, or transactions.)
A. C. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(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
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
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.)
D NONE (No reportable income, assets, or transactions.)
B. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(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
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
(I) (2) (I) (4) (5) (I) (2)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gr oss value at end Transactions during reporting period
(including trust assets) reporting period of 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
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
B. D.
(I) (5)
Page 17of21
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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
D NONE (No reportable income, assets, or transactions.)
A. c.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(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)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
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-
D NONE (No reportable income, assets, or transactions.)
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)
FINANCIAL DISCLOSURE REPORT
Page 19 of21
Name of Person Reporting
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.) -
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(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
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
FINANCIAL DISCLOSURE REPORT
Page 20of21
Name of Person Reporting
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
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