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Judicial Watch • Ellis III Thomas S – 2011

Ellis III Thomas S – 2011

Ellis III Thomas S – 2011

Page 1: Ellis III Thomas S – 2011

Category:Federal Judges

Number of Pages:11

Date Created:December 1, 2012

Date Uploaded to the Library:January 17, 2015

Tags:Ellis, thomas, 2011, assets, transactions, TRUSTS, Codes, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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JO,*; 
FOR CALENDAR YEAR 2011 U.S.C. app.  101-111) Person Reporting {last name, first, middle initial) Ellis, III, Thomas Court Organization U.S. District Court, E.D. Va. Date Report 06/12/2012 Title {Article III judges indicate active senior status; magistrate Judges indicate full-or part-time) Senior U.S. District Judge Sa. Report Type {check appropriate type) Nomination Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2011 12/31/2011 Chambers Office Address Courthouse Square 
9th Floor 
Alexandria, 22314-5799 
/MPO ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Insert signature last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) 
[{] 	NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PAR TIES AND TERMS 
 
 
 
 
06/12/2012 
Ellis, III, Thomas 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-14 filing instructions.) Filers Non-Investment Income [{] NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) SOURCE AND TYPE 2011 County Albemarle -salary 
 
 
IV REIMBURSEMENTS transportation, lodging.food, entertainment. 
(Includes those spouse and dependent children; see 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
06/12/2012 
Ellis, III, Thomas GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 
 
 
VJ. LJABJLJTJES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) [{] NONE (No reportable liabilities.) CREDITOR DESCRIPTION 
VALUE CODE 
 
 
 
06/12/2012 
Ellis, Ill, Thomas 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(I) (1) 
(2) (I) (2) 
(4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
 
transaction) Sensor None Income Gain Codes: =$1 ,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 I00,000 I00,001 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other W=Estlmated 
 
 
 
 
06/12/2012 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during Gross value end Transactions during reporting period 
 
(including trust assets) reporting period ofreporting period 
(1) (2) (2) (I) (2) 
(5) 
 
Place (X) after each asset exempt from prior 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, redemption) Date mm/dd/yy Value Code (J-P) 
18. DWS Dreman Cap Value CLS Dividend Sold (part) 10/18/11 
 
19. Artio IntI Equity Dividend Sold 10/18/11 
(part) 
20. 
Artio Int! Equity Dividend Sold 05/03/11 (part) 
 
21. 
Secunty Mid Cap Value Ser CLA Dividend Sold 05103111 (part) 
 
 
Gain Code (A-H) Identity buyer/seller (if private transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,00 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$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 =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
06/12/2012 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and depemtent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreportmg 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 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/ddlyy Code Code buyer/seller 
{A-H) int.) (J-P) Code3 redemption) (J-P) (A-H) (if private 
 
transaction) 
35. Morgan Stanley Inst! Mid Cap Growth Dividend Sold 10/18/11 Port (part) 
36. Morgan Stanley Instl Mid Cap Growth Dividend Sold 05/13/J Port (part) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$!00.000 =$100,001 -$1,000.000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$!00,000 !00,001 -$250,000 
(See Columns and D3) =$250,00I -$500,000 =$500,00I -$1,000,000 =$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 =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other W=Estimated 
 
 
Ellis, III, Thomas 
06/12/2012 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting penod 
(including trust assets) reporting period reportmg period 
 
(1) (2) (1) (I) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type{e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (ifpnvate 
(Q-W) transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,00I -$1,000,000 =$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 
(Sec Columns and 03) =$250,00I -$500,000 =$500,00I -$1,000,000 =$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 =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Es11matcd 
 
 
 
06/12/2012 
Ellis, III, Thomas 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and depent1ent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Descnption Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(!) 
(2) (2) 
(I) 
(2) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
69. PIMCO Fds PAC Invt Mgmt Ser-Comm Dividend Buy 09/20/1I (add!) 
70. Brandywine Blue Inc Dividend Sold 09/20/11 
(part) Income Gam Codes. =$I ,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$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 
(Sec Columns and D3) =$250,001 -$500,000 =$500,00l -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel 
(Sec Column C2) =Book Value =Other W=Estimatcd 
 
 
Name Person Reporting 
Date Report 
Ellis, III, Thomas 
06/12/2012 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instr11ctions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(1) (2) (1) (2) (!) (2) (4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm!ddlyy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) Income Gam Codes: =$1,000 less =$1,001 -$2,500 c=$2,501 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and D4) F=$50,00l -$!00,000 G=$100,00I -$1,000,000 HI=$1,000,001-$5,000,000 =More than $5,000,000 Value Codes J=$15,000orless K=$15,001 -$50,000 L=$50,001  $!00,000 =$100,001  $250,000 
(Sec Columns and D3) =$250,001 -$500,000 0=$500,00I -$1,000,000 =$1,000,001 -$5,000,000 P2=$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(See Column C2) U=Book Value V=Othcr W=Esttmatcd 
 
 
Name Person Reporting 
Date Report 
 
06/12/2012 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 
 
Name Person Reporting Date Report 
Ellis, III, Thomas 06/12/2012 
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 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: Thomas Ellis, III 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, .E. Washington, D.C. 20544