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Judicial Watch • D Hornby Brock – 2005

D Hornby Brock – 2005

D Hornby Brock – 2005

Page 1: D Hornby Brock – 2005

Category:Federal Judges

Number of Pages:18

Date Created:December 5, 2006

Date Uploaded to the Library:November 01, 2014

Tags:Hornby, D Brock Hornby, Brock, Estate, 2005, assets, INVESTMENTS, transactions, TRUSTS, Codes, disclosure, reporting, report, Federal Judge, financial, 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 Relatives 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 Relatives Estate Plan; Resigned 5125105 
Trustee, Irrevocable Life Insurance Trust Relatives 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,) Filers Non-Investment Income 
[EJ NONE (No reportable non-investment income.) 
 
(yours, not spouses) Spouses 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 govts 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 Assn Dinner Honoring the Federal Judiciary New York City 3/19/05; paid travel, lodging and 
meal expenses for self and spouse American Bar Assn 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 Assn 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 fiom 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 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 
QApprnisal =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 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: ,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 firms 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; filers holds 50% partnership interest) owns real estate the filers 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; filers 25% interest) conducts one the lines the filers spouses business. apologize for the oversight. Please contact you have additional questions. 
 
dlh enclosure FedEx