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Judicial Watch • Thomas S. Ellis III – 2012

Thomas S. Ellis III – 2012

Thomas S. Ellis III – 2012

Page 1: Thomas S. Ellis III – 2012

Category:Federal Judges

Number of Pages:12

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Thomas S Ellis III, Appraisal, Assessment, Estimated, Estate, 2012, Gross, Market, assets, transactions, Codes, dividend, reportable, reporting, Federal Judge, income, Judge


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Rev. 112013 
FOR CALENDAR YEAR 2012 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 05/12/2013 Reporting Period 01/01/2012 12/31/2012 Title (Article Ill 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 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. POSIT! ONS. (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.) 

PARTIES AND TERMS 

05112/2013
III. N0N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income 
[{] NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME 
(yours, not spouse's) Spouse's 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 2012 County Albemarle -salary 

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE .DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) [{] NONE (No reportable gifts.) SOURCE  VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing iustructions.) 
[{] NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 

05/12/2013

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 period  
(including trust assets)  reporting pe1iod reporting period  

(I) (2) 
(3) (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  
(Q-W)  transaction) Income Gain Codes:  A=$1.000 lcss =$1,001 -$2.500 =$2.501 -$5.000  D=$5.00I -$15.000 415.001 -$50.000  
(Sec Columns and 04)  f=$50.001 -$100.000  G=$100.001 -$1.000.000  111 =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes  J=$15.000 less  K=$15.001 -$50.000  L=$50.00 -$I 00.000 =$100.001 -$250.000  
(Sec Columns and D3)  N=$250.001 -$500.000 =$500.001 -$1.000.000 =$1.000.001 -$5,000.000 =$5.000.001 -$25.000.000  
1'3 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cos! (Real Estate Only) =Assessment ==Cash Market  
(Sec Column C2) =Book Value  V=Othcr  W=Estimated  

05/12/2013
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes t1tose spouse and dependent c1ti/dren; see PP 34-60 offiting instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  
(including tmst assets)  reporting period reporting period  

Transactions during reporting period 
(I) 
(I) 
(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,  Code2  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  (J-P)  (A-H)  (if private  

transaction) Income Gain Codes: =$1.000 Jess  B41.00J -$2.500  c=$2.501 -$5.000 =$5.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and D4) =$50.001 -$100.000 =$100.001 -$1.000.000  Ill =$1.000.001 -$5.000.000 =More than $5.000.000 Value Codes  J=$I 5.000 less  K=$15.00l -$50.000 =$50,00 -$I 00.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000  0=$500,00 -$1 .000.000 =$1.000.001 -$5.000.000 =$5.000.001 -$25.000.000  
1'3 =$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  V=Othcr =Estimated  

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 period  
(including trust assets)  reporting period reporting period  

(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,  Code2  Method  buy, sell,  mm/dd/yy  Code2  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: =$1,000 less =$1,001  $2,500 =$2.501  $5.000  0=$5.001-$15.000 =$15.00  $50.000  
(See Columns and 04) =$50.001  $100.000  G=$I 00.00I  $1.000.000  Ill =$1.000.001. $5.000.000  112 =More than $5.000.000 Value Codes  J=$15 .000 less  K=$15.001  $50.000 =$50.00  00.000 =$!00.001  $250.000  
(Sec Columns and 03) =$250.00  $500.000 =$500.00  I.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)  U=Book Value  v=Other  W=Estimated  NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions _dming reporting period Income Gain Codes: =$1.000 less 41.00 -$20500  c=$2.501 -$5,000 =$5.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and D4) =$50.001 -$100.000 !00.00  $1.000.000  Ill =$1.000.001 -$5.000.000 =More than $5.000.000 Value Codes  J=$15.000 less =$15.001 -$50.000  L=$50.00I -$100.000  M=$100.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000  0=$500,00 -$1.000.000 =$1.000.001 -$5.000.000 =$5.000.001 -$25.000.000  
P3=$25.000.001 -$50,000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost {Real Estate Only) =Assessment  T=Cash Market  
(Sec Column C2) =Book Value  V=Othcr  W=Estimated  

05112/2013
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des 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 reporting period 

(I) (2) (I) (2) (I) (2) (3) (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.) 
Code redemption) (J-P) (A-H) (if private 
transaction) 
69. Legg Mason Value Inc Nav Value Trust  None  Sold (part)  01123112  
70. Security Equity Mid Cap Value Ser CLA  Dividend  Sold {part)  08/28112  
71. Wells Fargo FDS Small Cap Growth Adm  None  
72. AIM Global Real Estate CLY  Dividend  Sold  08/27/12  

73. 74. 75.  Blair Williams Fds Intl Growth Invst Park Ave Portfolio Emerging Mkts CLA Artio Global Invt Fds Int'! Equity  Dividend Dividend None  (part) Sold (part) Buy (add'!) Sold (part)  08/27/12 08/27/12 08/27/12  
76.  Sold (part)  08/29/12  
77.  PIMCO Fds PAC Invt Mgmt Ser-Comm  Dividend  Buy  01124112  
78.  Buy (add'!)  08/27112  
79.  Brandywine Blue Inc  None  
80.  Dreyfus Appreciation Inc  Dividend  Sold (part)  08/27112  
81.  DWS Value Ser Inc Small Cap Value  Dividend  Sold (part)  08/27/12  
82.  Morgan Stanley Inst! Trust Mid Cap Grwth Port  Dividend  Buy (add'!)  08/27112  
83. 84.  Oppenheimer Dev Mkts Sentinel Mut Fds Small  Dividend Dividend  Buy (add'!) Sold (part)  08/27/12 08/27112  
85.  Sold (part)  08/29112 Income Gain Codes: =$1.000 Jess =$1.00 -$2.500  c=$2.501  $5.000 =$5.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and 04)  f=$50.00l -$100.000  G=$ I00.00 -$1.000.000  Ill =$1.000.001  $5.000.000  112 =More than $5.000.000 Value Codes  J=$15.000 less =$15.001 -$50.000 =$50.00 I00.000 =$100.001 -$250.000  
(Sec Columns and 03)  N=$250.001 -$500.000  0=$500.()0 -$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  V=Othcr  W=Estimated  

05/12/2013

VII. INVESTMENTS and TRUSTS --income, vatue, 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 period  
(including trust assets)  reporting pe1iod  ofreporting period Income Gain Codes:  A=$1,000 less  B=$1,001 -$2.500  c=$2.501 -$5.000  0=$5.001 -$15.000 =$15.001 -$5 0.0  
(Sec Columns and D4) 50.001 -$100.000 =$100.001 -$1.000.000  111 1.000.001 -$5.000.000  fl2 =More than $5.000.000 Value Codes =$15.000 less 15.001 -$50. 000 50.001 -$100.000 =$I00.00I -$250.000  
(See Columns and D3) =$250.001 -$500.000  0=$500.001 -$1.000.000 =$1 .000.001 -$5.000.000  P2=$5.000.001 -$25.000.000  
P3=$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estalc Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

Ellis III, Thomas 
05/12/2013
VII. INVESTMENTS and TRUSTS -income, vatue, 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 period  
(including trust assets)  reporting period reporting period  

(2) (I) (2) (2) (3) (4) (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)  Gain Code (A-H)  Identity buyer/seller (if private transaction)  
103.  

104. 

105. 

106. 

107. 

108. 

109. 

110. 

111. 

112. 

113. 

114. 
115. 

116. 

117.  
118. Income Gain Codes: =$1.000 less =$1.001 -$2.500 =$2.501 -$5.000 =$5.001 -$15.000 =$15.00 -$50.000  
(Sec Columns Ill and D4) =$50.001 -$100.000 =$I 00.00 -$1.000.000  Ill =$1.000,001 -$5.000.000 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.00 -$100.000 =$100.00 -$250.000  
(Sec Columns and D3) =$250.001 -$500.000 =$500.001 -$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 =01hcr =Estimated  

Date Report 
05112/2013
Ellis III, Thomas 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 

05112/2013
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. SOI 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, N.E. Washington, D.C. 20544