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Judicial Watch • Brock D Hornby Financial Disclosure Report for 2005

Brock D Hornby Financial Disclosure Report for 2005

Brock D Hornby Financial Disclosure Report for 2005

Page 1: Brock D Hornby Financial Disclosure Report for 2005

Category:Financial Disclosure

Number of Pages:18

Date Created:December 5, 2006

Date Uploaded to the Library:November 13, 2013

Tags:Brock D Hornby, Hornby, Brock, Estate, 2005, INVESTMENTS, EPA, transactions, TRUSTS, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 
Rev. 112006 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-111) 
8QPY 

.;_ __..,., 
7 "'..; .: 
IMPORTANT NOTES: The instructions accompanying this form must fo/fowed. Complete alf parts, checking the NONE box for each part where you have reportable information. Sign last page. POSJTI NS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Trustee, Irrevocable Life Insurance Trust Relative's Estate Plan (see Part VIII -Additional Information); Resigned 5/25/05 Person Reporting (last name, first, middle initial) Hornby, Brock Court Organization District Maine Date Report 05/01/2006 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (active)  Sa. Report Type (check appropriate type) Nomination, Date Initial  Annual Final Reporting Period 01/01/2005 12/31/2005  
Sb. Amended Report Chambers Office Address United States District Court Federal Street Portland, 0410 ...._ ,_l; ... ... tbe basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance witb applicable laws and regulations. eviewbig_omc.r Date 
Trustee, Irrevocable Life Insurance Trust Relative's Estate Plan; Resigned 5125105 
Trustee, Irrevocable Life Insurance Trust Relative's Estate Plan 
Member, Board Visitors University Maine School Law 
Council Member The American Law Institute 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
(EJ NONE (No reportable agreements.) 

PARTIES AND TERMS 

III. NON-INVESTMENT ME. (Reporting individual and spouse; supp. 17-14 instructions,) Filer's Non-Investment Income 
[EJ NONE (No reportable non-investment income.) 

(yours, not spouse's) Spouse's Non-Investment Income -I/you were married during any portion ofthe reporting year, complete this section. (Dollar amount not required except/or honoraria.) NONE (No reportable non-investment income.) Hornby Zeller Associates (management consultants state gov'ts human services areas) (See Section VIII-Addendum Section III(B)) 

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children. See pp. 25-27 instructions.)  NONE (No reportable reimbursements.)  
SOURCE  DESCRIPTION New Yark Intellectual Property Law Ass'n  Dinner Honoring the Federal Judiciary New York City 3/19/05; paid travel, lodging and  
meal expenses for self and spouse American Bar Ass'n Antitrust Section  Mock Trial Judge Antitrust Section Annual Spring Meeting Washington, 3/30-31/05; paid travel, lodging and meal expenses The American Law Institute  Restitution Advisers Meeting Philadelphia 9/23-24/06; paid travel, lodging and meal expenses The American Law Institute  Council Meeting New York City 0/19-22/06; paid travel, lodging and meal expenses First Amendment Center  Conference Justice and Journalism Nashville, 11/14-15/05; paid travel, lodging  
and meal expenses American Bar Ass'n Tort Trial Insurance Practice Section  Panelist CLE Program Washington, 11/10-l l/05; paid travel, lodging and meal expenses  

Date Report 
05/01/2006 GIFTS. (Includes those spouse and dependent children. See pp. 18-31 instructions.) 
 	NONE (No reportable gifts.) SOURCE DESCRIPTION 

VJ. LJABJLJTJES. (Includes those spouse and dependent children. See pp. 31-34 instructions.) [RJ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 

Date Report 
Hornby, Brock 
0510112006 
VII. INVESTMENTS and TRUSTS -income. vatue, transactions (includes those the spouse and dependent children. see PP 34-57 fuing instructions) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(2) (I) 
(2) 
Jfnot exempt fi"om disclosure 
Type (e.g. 
Place "(X)" after each asset Amount 
Value 
Value 
Type (e.g. 
(4) 
(5) 
exempt from prior disclosure  Code  div., rent,  Code2  Method  buy, sell,  Date  Value  Gain  
(A-H) int.)  (J-P)  Code3  merger,  Month  Code2  Code  
(Q-W)  redemption)  Day  (J-P)  (A-H) Bank America (formerly Fleet Bank)  Interest  
accounts 
E*Trade Bank accounts Interest 
GMAC Bank account Interest 

Identity buyer/seller (if private transaction) Income Gain Codes: =$1,000 less "$1,ool -$2,500 "$2,501 $5,000 =$5,001 -$15,000 "$15,001 -$50,000  
(See Columns and 04) "$50,001 -$100,000  G=SI00,001-$1,ooo,ooo "$1,000,00I. $5,000.0oo  112 =More than $5,000,000 Value Codes "=$15,000 less "$15,00 -$50,000 "$50,001 -$100,000 "$I 00,00 -$250,000  
(See Columns and 03) "$250,00 -$500,000 =$500,001 -$1,000,000 "$1,000,001-$5,000,000 "$5,000,00 -$25,000,000 Value Method Codes =$25,000.00 -$50,000,000 "Cost {Real Estate Only) =More than $50,000,000 =Cash Markel  
(See Column C2) "Appraisal =Other =Assessment ""Book Value =Estimated  

Date Report 
Hornby, Brock 
0510112006 
VII. INVESTMENTS and TRUSTS -income, value, transactions (lnc/uda those the spouse and dependent children. See PP. 34-57 filing instructions) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(I)  (2)  (I)  (2)  (1) not exempt from disclosure  
Amount Code (A-H)  Type(e.g. div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type(e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

18. 
-Growth Income None redeem 3110 

19. 
-Growth Equity None redeem 3110 

3/29 
3/29 
20. Vanguard Group Mutual Funds Income Gain Codes: =$1,000 less $1,001 -$2,500 $2,501 -$5,000 =S5,00I -Sl5,000 15,00 -$50,000  
(See Colunms and 04) s50,001 -s100,ooo =$100,001 -$1,000,000 s1.ooo,001. ss,000,000 =More than $5,000,000 Value Codes =$15,000 less $15,001 -$50,000 =S50,001 -$100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000 $500,00 -$1,000,000 s1.ooo.001-s5,ooo.ooo $5,000,00 -$25,000,000 Value Method Codes =$25,000,00 -$50,000,000 ""Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal =Other =Assessment "'Book Value =Estimated  

Date Report 
05/01/2006
Hornby, Brock 
VII. INVESTMENTS and TRUSTS -income. value, transactions (includes those the spouse and dependent children. see PP. 14-s7 filing instructionsJ NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(I)  (2)  (I)  (2)  (I) oot exempt from disclosure  
Amount Code (Ml)  Type (e.g. div., rent int.)  Value Code (J-P)  Value Method Code3 (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (J) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) Income Gain Codes: =.$1,000 less =$1,001-$2,500 =$2,501 -$5,000 =$5,001 -$1 5,000 5,001  $50,000  
(Sec Columns and 04) =$50,001 -Sl00,000 =$100,001  Sl,000,000 =$1,000,001  $5,000,000 "'-More than $5,000,000 Value Codes "".$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,00  $500,000 =$500,00 ,000,000 =$1,000,00  $5,000,000 =$5,000,00  $25,000,000 Value Method Codes =$25,000,001 -$50,000,000 :=Cost (Real Estate Only) =More than .$50,000,000 =Cash Market  
(See Column C2) ""Appraisal =Other Assessment :=Book Value  W=Estimated  

Date Report 
05/01/2006 
VII. INVESTMENTS and TRUSTS -income, value, trunsactions (includes those the spouse and dep endent children. see PP 34-57 filing instructionsJ NONE (No reportable income, assets, transactions.) lncomc GainCodes:  A=$ ,000 less =$1,001 -$2,500 =$2,501 -$5,000  0=$5,001-$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,001 -$100,000  G=$100,00I -Sl,000,000 =$1,000,001 -$5,000,000' =More than $5,000,000 Value Codes =$15,000 Jess =$15,001 -$50,000  L=$50,00I -SI00,000 =$100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000 =$500,00 -$I ,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,00 -$50,000,000 "'"Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2)  Q=Appraisal =Other =Assessment -"'Book Value =Estimated  

Date Report 
Hornby, Brock 
05/01/2006 
VII. INVESTMENTS and TRUSTS -income. atue. transactions (includes those the spouse and dependent children. PP 1-1-57 fiting insrructionsJ NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(2) 
(I)
(I) 
lfnot exempt from disclosure 
Type (e.g. 
Value 
Value
Place "(X)" after each asset Amount 
Type (e.g. 
(2) 
(4) 
Code 
div., rent, 
Method
exempt from prior disclosure Code 
buy, sell, int) 
(J-P) 
Code3
(Ml) 
merger, 
redemption)
(Q-W) 
69. 
-com stk Oakley, Inc. Dividend 

70. 
-com stk LA-Z-BOY, Inc. Dividend 

Value
Date 
Month-
Code 
Day 
(J-P) 
Gain Identity Code buyer/seller (A-H) (if private 
transaction) Income Gain Codes: =$1,000 less =$1,0-01 -$2,500 =$2,501  $5,000 =$5,00 15,0-00  E=SIS,001-$50,000  
(See Columns and04) =$50,0-0 -$I 00,000  G=SI0-0,0-01 -$1,0-00,00-0 =$1,00-0,0-01. $5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,0-01 -$50,000 =$50,001 -$100,00-0 =$100,001 -$250,0-00  
(See Columns and DJ) =$250,0-01  $50-0,0-00  0=$50-0,0-01 -Sl,000,00-0 =$1,00-0,00  $5,000,000 =$5,0-00,001 -$25,000,000 Value Method Codes =$25,000,00  $50,000,00-0 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Apprnisal "'Other =Assessment =Book Value =Estimated  

Date Report 
Hornby, Brock 
05/01/2006 
VII. INVESTMENTS and TRUSTS -income, va1ue, transactions (includes those the spouse and dependent children. see PP. 34-57 filing instructions) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during 
Gross value end 
Transactions during reporting period 
(including trust assets) 
reporting period 
reporting period not exempt from disclosure 
(2) 
(I) 
(I)
(2) 
Amount 
Type (e.g. Value 
Value
Place "(X)" after each asset 
Type (e.g. 
(2) 
(3) 
(4) 
div., rent, Code 
exempt from prior disclosure 
Code 
Method 
buy, sell, 
Date 
Value 
Gain Identity 
(A-H) int.)  (J-P)  Code (Q-W)  merger, redemption)  Month-Day  Code (J-P)  Code (A-H)  buyer/seller (if private transaction)  
86. -Turkisa Investment Fund  None  buy  916  

87. IRA Brokerage Acct Rowe Price 
88. -Cash Management Acct Interest Income Gain Codes: 1,000 less 41,001 -$2,500 =$2,501  $5,000 0$5,001-$15,000 =$15,001 -$50,000 (See Columns and 04} =$50,001. $100,000 G=SI00,001-$1,000,000 s1,000,001 -S5,ooo,ooo l-l2 ::More than $5,000,000 Value Codes 15,000 Jess =$15,001 -$50,000 =$50,001 -$10-0,000 00,00 -$250,000 {See Columns and 03) =$250,00 -$50-0,0-00 =$500,00 -$1,0-00,000 "$1,000,001 -$5,000,000 =$5,000,001  $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Cost (Real Estate Only) =Cash Market 
Q"'Apprnisal =Assessment =Book Value W=Estimatcd 

(See Column C2) ::oOther 

VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. See PP. 34-57 filing instructions) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

Place "(X)" after each asset (1) Amount 
(2) 
(1) 
Ifnot exempt ftom disclosw-e 
Value 
Value
Type (e.g. 
Type (e.g. 
(2) 
(3) 
(5) 
Code 
div., rent, 
Code 
Method
exempt from prior disclosure 
buy, sell, int) (J-P) 
Code 
merger,
(A-1-1) 
redemption)
(Q-W) 
103. -Vanguard REIT Vipers Dividend 
Date 
Value 
Gain 
Month 
Code 
Code 
Day 
(J-P) 
(A-H) 
Identity buyer/seller (if private transaction) 
104. simple IRA Charles Schwab Co. Interest closed; all 5/2 
stocks 
105. 
IRA erage 
106. Acct. Rowe Income Gain Codes: 1,000 less $1,001 -$2,500 $2,501 -$5,000  DS5,00I-$15,000 $15,001 -$50,000  
(See Columns and 04) $50,001 -$100,000 0$100,001 -SI,000,000 0$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less  K$15,00I -$50,000  L450,00I -$100,000 0$100,001 -$250,000  
(See Columns and DJ) $250,001 -$500,000 $500,001 -$1,000,000 ,000,00 I-$5,000,000 $5,000,001 -$25,000,000 Value Method Codes $25,000,001 -$50,000,000 =Cost (Real Estate Only) ""More than $50,000,000 ""Cash Market  
(Sec Column C2) =Appraisal  V::=Qther ssessment =Book Value =Estimated  

Date Report 
0510112006 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. s.. PP. 34-57 filing instructions; NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(I)  (2)  (I)  (2)  (I)  Jfnot exempt from disclosure  
Amount Code (A-H)  Type (e.g. div., rent, int.)  Value Code (J-P)  Value Method Code3 (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) (4) Value Gain Code2 Code (J.P) (A-H)  (5) Identity buyer/seller (if private transaction)  

120. 
Pension Plan Acct. TIAA-CREF Interest 

121. 
Keogh Brokerage Account Value Line: 

122. -Value Line Cash Fund, Inc. Dividend redeem 5/12 Income Gain Codes: ""S1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) $50,00 00,000 =$100,001 -$1,000,000 =$1,000,001 -lS,000,000 ""More than $5,000,000 Value Codes ""S 15,000 less =$15,001 -$50,000 s50,001 -s100,ooo $100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000  0=$500,001 -$1,000,000 s1.ooo,001 -l5,000,ooo $5,000,001 -$25,000,000 Value Method Codes $25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(Sec Column C2) =Appraisal =Olher ""Assessment =Book Value :=Estimated  

Date Report 
Hornby, Brock 
05/01/2006 

VII. INVESTMENTS and TRUSTS -incom, value, transactions (includes those the spouse and dependent children. See pp. H-57 filing 
instructions) NONE (No reportable income, assets, transactions.) 
Description Assets Transactions during reporting period 
(including trust assets) 
(I) not exempt from disclosure Place u(X)" after each asset 
Type (e.g. 
exempt from prior disclosure buy, sell, 
merger, 
redemption) 
(2)  (3)  (4)  (5)  
Date  Value  Gain  Identity  
Month Code  Code  buyer/seller  
Day  (1-P)  (A-H)  (if private  
transaction)  

137. 112 unit ltd. partnership int. Falls Development Assoc., ltd. real estate partnership purchased 12/30/85; total 
139. of$16,489.50 installments Income Gain Codes: =Sl,000 less =$1,001 -$2,500 =$2,501  $5,000 =$5,001  $15,000 =SI 5,001 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001  $5,000,000 =More than S5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001  $100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,00 -$500,000 =$500,001 -Sl,000,000 =$1,000,001-$5,000,000 =$5,000,00 -$25,000,000 Value Method Codes =$25,000,00  $50,000,00-0 "=Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(Sec Column C2) ""Appraisal  V==Other ""Assessment ""-Book Value ""Estimated  

Date Report 
Hornby, Brock 
05/01/2006 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see pp. 14-s7 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period {l) (2) Amount Type (e.g. Code div. rent, (A-H) int.) Gross value end reporting period (2) Value Value Code Method (J-P) Code) (Q-W)  (I) Type (e.g. buy, sell, merger, redemption) Transactions during reporting period not exempt from disclosure (2) (3) (4) (5) Date Value Gain Identity Month-Code Code buyer/seller Day {J-P) (A-H) (if private transaction)  

154. Homby Zeller Properties LLC**  None  
155. BACHZA, Inc.  None  
156.  
157. amounts contributed automatically recurrent  
158. basis employer and employee  
159.  added letter amendment dated 4/2 l/05 (attached) Income Gain Codes: ""'$I ,000 less =Sl,001 -S2,500  C=S2,501 -$5,000 =S5,001 -S15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000  G=$100,00I -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -S50,000 =$50,001  SI00,000 =$I 00,00 -$250,000  
{See Columns and 03) =$250,00 -$500,000  0=$500,00 -$1,000,000 =$1,000,001. 15,000,000 =S5,000,001  $25,000,000 Value Method Codes =$25,000,001  $50,000,000 =Cost (Real Estate Only) =More than SS0,000,000  T=Cash Market  
(See Column. C2) =Appraisal  V=Othcr =Assessment  
U=Book Value =Estimated  

Date Report 
Hornby, Brock 
05/01/2006 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparto[Repor) 
Part !(I): Sole asset Trust term life insurance policy. 

Part lll(B): income derives from salary and distributions the management consulting firm which .is fifty percent shareholder, officer and There one other shareholder and officer. The firm's income derives from contracts with state governments and, occasionally, nonprofit corporations. 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature 
AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 

UNITED STATES DISTRICT COURT  
DISTRICT MAINE BROCK HORNBY DISTRICT JUDGE FEDERAL SIREET PORTLAND, MAINE 0410 (207) 7803280  

April 21, 2005 

Administrative Office the United States Courts One Columbus Circle, N.E., Suite 2-301 Washington, 20544 

Dear Committee Financial Disclosure: Hornby Zeller Properties LLC (1) none 
(2) none (1) 
(2) 

partner when partnership was created 
(1)
(2) May 14, 2004 

This partnership (filer not partner; filer's holds 50% partnership interest) owns real estate the filer's business and rents the real estate the business.  BACHZA, Inc.  (1) none since creation  
(2) none since creation  

Committee Financial Disclosure April 21, 2005 Page  (1)  
(2)  (1)  acquired stock when corporation was created  

(2) 
June 2002 

(3) 

Part VIII This subchapter corporation (filer not shareholder; filer's 25% interest) conducts one the lines the filer's spouse's business. apologize for the oversight. Please contact you have additional questions. 

dlh enclosure FedEx



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