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
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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