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nifth fafts isfrirf filnurf EASTERN DISTRICT OF VIRGINIA

ALEXANDRIA, VIRGINIA 22314-5799

Honorable Ortrie D. Smith, Chair Committee on Financial Disclosure Judicial Conference of the United States One Columbus Circle, N.E. Washington, D.C. 20544

August 11, 2006 ,._, =

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Thank you for your July 14, 2006 letter regarding my financial disclosure report for calendar year 2005. Attached please find an amended report containing clarifications.

You had requested clarification of Part VII, , lines 24-26 of my 2004 report, indicating that these assets were not listed in my 2005 report. Lines 24-26 of the 2004 report actually correspond to lines 21-23 of that report; the funds listed are identical and the information should have been presented on one line for each fund and should be read as such (read line 21 with line 24; line 22 with line 25; line 23 with line 26). These assets are listed in my original 2005 report at lines 28-30 and at lines 29-31 of the attached amended report.

If you have any additional questions, please do not hesitate to call me.

· ' '

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CHAMBERS OF. T.S. ELLIS, Ill

UNITED STATES DISTRICT JUDGE

Dear Judge Smith,

Enclosure

TSE/ehp

Albert V. Bryan U.S. Courthouse

401 Courthouse Square

Telephone (703) 299-2114

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AND TERMS

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.... ,.,

Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT

in Government Act of 1978 Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§ 101-111)

1. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Date of Report

Ellis, III, Thomas S U.S. District Court, E.D. Va. 08/11/2006

4. Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) 01/01/2005

D Nomination, Date to

U.S. District Judge (Active) Initial Annual Final 12/31/2005D D

Sb. Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable Jaws and regulations. 40 I Courthouse Square

9th Floor Alexandria, VA 22314-5799

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. · POSITI 0 NS. (Reporting individual only; see pp. 9-13 of instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Advisory Board Member Dean's Intellectual Property Law Advisory Board, G orge Washington University

2. Member Judicial Conference Advisory Committee on Appellate Rules

3.

4.

5.

......... =

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II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

CJ r--,, a-c.nX

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[RJ NONE (No reportable agreements.) c> ::oz en rn

-

PARTIES

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2.

3.

SOURCE AND TYPE

SOURCE DESCRIPTION

3.

5.

5.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 2 of? Ellis, III, Thomas S 08/11/2006

Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

[Kl NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

4.

B. Spouse's Non-Investment Income - lf you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

I. 2005 Consumer Electronics Association

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodging,food, enlertainmenL

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE (No reportable reimbursements.)

I. American Intellectual Property Law Association National Academies Intellectual Property Program (Speaker) - Washington, D.C. - June 2005 - travel

2.ALl-ABA Employment Law Program (Speaker) - Santa Fe, NM - July 2005 - food/lodging/travel

3.ABA ABA Annual Meeting "Is Anything Secret Anymore?" (Speaker) - Chicago, IL - August 2005 - food/travel

4. Georgetown University Law Center CLE Employment Law Program "Views from the Bench" (Speaker) - Washington, D.C. -November 2005 - travel

5.

SOURCE

CREDITOR

3.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of7 08/11/2006Ellis, III, Thomas S

V• GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

[Kl NONE (Noreportab/e gifts.)

DESCRIPTION VALUE

I.

2.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

!KJ NONE (No reportable liabilities.)

DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

]

Date of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 4 of7 Ellis, III, Thomas S 08/1112006

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. see PP· 34-s1 of filing instructions)

D NONE (No reportable income, assets, or transactions.)

A. Description of Assets

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

B.

Income during reporting period

C. Gross value at end of

repoi:ting period

D.

Transactions during reporting period

(I) (2) (I) (2) (I) Ifnot exempt from disclosure

Amount Code I (A-H)

Type(e.g. div., rent,

or int.)

Value Code 2 (J-P)

Value Method Code3

(Q-W)

Type(e.g. buy, sell, merger, redemption)

(2) Date Month -Day

(3) Value Code 2 (J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller

(if private transaction)

I. Sensor None T

2. Burke & Herbert Bank & Trust Co. None ] T

3. Burke & Herbert Bank & Trust Co. (IRA A Interest ] T #1)

4. IRA#2:

5. - American High Income Tr A B Dividend sell 3/30 M D

6. - Capital World Growth & Income Fd A A Dividend sell 3/30 M E

7. - Fundamental Investors Fd A A Dividend sell 3/30 M D

8. - Growth Fund of America A None sell 3/30 M E

9. - Income Fund of America A A Dividend sell 3/30 M D

IO. - New Economy Fund A None sell 3/30 L E

11. - Washington Mutual Investors Fd A A Dividend sell 3/30 L D

12. - Torray Institutional Fd (X) A Dividend sell 11/3 L B

13. - Calamos Growth Fd A B Dividend K T buy 415 K

14. - Causeway Intl Value Fund Ins Shs D Dividend M T buy 415 L

15. - Century Small Cap Select Fd Instl A Dividend K T buy 415 K

16. - Cambiar Opportunity Fd A Dividend L T buy 11/4 L

17. - FM! Fds Focus Fd c Dividend K T buy 415 K

I. Income Gain Codes: A =S 1,000 or less B =Sl,001 -$2,500 C =$2,50 I -$5,000 0=$5,001-$15,000 E =$15,001 -$50,000

(See Columns B l and 04) F=$50,001 -$100,000 G =SI00,001 -Sl,000,000 H I =Sl,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K=$15,001 -$50,000 L=$50,001 -$100,000 M=SI00,001-$250,000

(See Columns C l and 03) N =$250,001 - $500,000 0=$500,001 - $1,000,000 P l =Sl,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessment

U=Book Value W=Estimated

415

415


Page 5 of7 Ellis, III, Thomas S 08/11/2006

VII. INVESTMENTS and TRUSTS -income, value, transactions findudes those of the spouse and dependent children. see PP· 14-s1 of filing ins1ruc1ionsJ


A.

Description of Assets


Place "(X)" after each asset

exempt from prior disclosure

18. - Goldman Sachs Tr Finl Sq Mmkt I

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.


(I) (2) (I) (2) (1) Ifnot exempt fromdisclosure

Amount

Code 1

(A-H)

Type (e.g.

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g.

buy, sell,

merger1

redemption)

(2) (3) Date Value

Month- Code 2

Day (J-P)

(4)

Gain

Code I

(A-H)"

(5) Identity of

buyer/seller

(if private

transaction)

A Dividend J T buy 415 J

19. - Hotchkis & Wiley Mid Cap Value I ·c Dividend K T buy 415 K

20. - Julius Baer Intl Equity I None M T buy 415 L

21. - Kinetics Sm Cap Opportunities I None K T buy 415 K

22. - Legg Mason Value Trust None L T buy L

23. - Royce Total Return Fd CLW B Dividend K 415 KT buy

24. - TCW Galileo Fds Select Eq I None M T buy L

25. - TCW Galileo Fels Value Opp I None K T buy 415 K

26. - Vanguard Windsor Fd II c Dividend L T buy 415 L

27. Evergreen U.S. Money Market Fund A Interest sell 416 J A

28. 40l(K):

29. - Spartan U.S. Eq Index A Dividend K T

30. - Fidelity Freedom 2020 B Dividend L T

31. - Fidelity Invst Gr Bd A Dividend J T

I. Income Gain Codes: A =SJ,000 or less B J,001 -$2,500 c 2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,001 -SI00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =Mon: than $5,000,000

2. Valut:Codes J =$15,000or less K =$15,001 -$50,000 L=S50,00l -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0=$500,001 -Sl ,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

3. Value Method Codes P3 25,000,001 ·$50,000,000 R =Cost (Real Estate Only) P4 =J;dorc than $50,000,000 T=CashMarlcet

(See Column C2) Q=Appraisal V=Other S =Assessment

U =Book Value W = Estimated

Dale of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6 of? 08/11/2006Ellis, III, Thomas S

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicale partofReporL)



IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosnre.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

WINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE T ONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

ellJJil.!.f!/;" d ilf(loJe nt (ii/S.c. 'P·

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•

3.

4.

/}y the Ethics AOJO FINANCIAL DISCLOSURE REPORT

Act of 1978 Rev. 112006 FOR CALENDAR YEAR 2005 §§ 101-111) C d.

1. Person Reporting (last name, first, middle initial)

Ellis, III, Thomas S

2. Court or Organization

U.S. District Court, E.D. Va.

3. Date of Report

05/15/2006

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. District Judge (Active)

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [:;g Annual D Final

6. Reporting Period

01/01/2005

to

12/31/2005

Sb. D Amended Report

7. Chambers or Office Address

40 I Courthouse Square 9th Floor Alexandria, VA 22314-5799

8. On the basis of the information contained In this Report and any modifications pertaining thereto, ii is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITI 0 NS, (Reporting individual only; see pp. 9-13 of instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Advisory Board Member Dean's Intellectual Property Law Advisory Board, George Washington University

2. Member Judicial Conference Advisory Committee on Appellate Rules

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

[K] NONE (No reportable agreements.)

PARTIES AND TERMS

'·

I.

2.

3.

2.

3.

4.


Page 2 of7 Ellis, III, Thomas S 0511512006

III. N 0 N-JNVESTMENT JN COME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

[RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

5.

B. Spouse'S Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except/or honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2005 Consumer Electronics Association

2.

3.

4.

5.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.

(Includes those lo spouse and dependent children. See pp. 25-27 of instructions.)

D NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

I. American Intellectual Property Law Association National Academies 2005 - travel

Intellectual Property Program (Speaker) - Washington, D.C. - June

2. ALI-ABA Employment Law Program (Speaker) - Santa Fe, NM - July 2005 food/lodging/travel-

3. ABA ABA Annual Meeting "Is Anything Secret Anymore?" (Speaker) - Chicago, IL - August 2005 - food/travel

4. Georgetown University Law Center CLE Employment Law Program "Views from the Bench" (Speaker) - Washington, D.C. -November 2005 travel-

5.

4.

Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of7 Ellis, III, Thomas S

Date of Report

05/15/2006

VALUE

VALUE CODE

V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

[K] NONE (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VJ. LJABJLJTJES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

[RJ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

5.

L_

FINANCIAL DISCLOSURE REPORT

Page 4 of7

Name of Person Reporting

Ellis, III, Thomas S

Date of Report

05/15/2006

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions)


A.

Description of Assets


Place "(X)" after each asset

exempt from prior disclosure

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.


If not exempt from disclosure (I) (2) (I) (2) (!) Amount

Code I

(A-H)

Type(e.g.

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g.

buy, sell,

merger,

redemption)

(2) Date

Month -

Day

(3)

Value

Code 2

(J-P)

(4) Gain

Code I

(A-H)

(5)

Identity of

buyer/seller

(if private

transaction)

I. Sensor None J T

2. Burke & Herbert Bank & Trust Co. None J T

3. Burke & Herbert Bank & Trust Co. (IRA #1)

A Interest J T

4. IRA #2:

5. - American High Income Tr A B Dividend sell 3/30 M D

6. - Capital World Growth & Income Fd A A Dividend sell 3/30 M E

7. - Fundamental Investors Fd A A Dividend sell 3/30 M D

8. - Growth Fund of America A None sell 3/30 M E

9. - Income Fund of America A A Dividend sell 3/30 M D

10. - New Economy Fund A None sell 3/30 L E

11. - Washington Mutual Investors Fd A A Dividend sell 3/30 L D

12. - Torray Institutional Fd A Dividend sell 11/3 L B

13. -.Calamos Growth Fd A B Dividend K T buy 415 K

14. - Causeway Intl Value Fund Ins Shs D Dividend M T buy 415 L

15. - Century Small Cap Select Fd Inst!

16. - Cambiar Opportunity Fd

17. - FM! Fds Focus Fd

A

A

c

Dividend

Dividend

Dividend

K

L

K

T

T

T

buy

buy

buy

415

l l/4

415

K

L

'

K

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,50 I - $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(Sec Columns BI and D4) F =$50,001 - $100,000 G =$100,00 I - $1,000,000 HI =SJ,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,00 I - $50,000 L =$50,001 - $100,000 M =$100,00 I - $250,000

,---

..... .... .... ... ,

(2)

................... .. . .................. ,,. .

Date of Report Name of Person Reporting FINANCIAL DtSCLOSURE REPORT

05/15/2006Ellis, III, Thomas S Page 5 of7

VII. INVESTMENTS and TRUSTS income, value, transactions (includes t1iose of the spouse and dependent children. see PP· 34-s7 of filing instructions) -


A. B. c. Description of Assets Income during Gross value at end of

(including trust assets) reporting period reporting period

(I) (2) (I) Place "(X)" after each asset Amount Type (e.g. Value Value

exempt from prior disclosure Code I div., rent, Code 2 Method

(A-H) or int) (J-P) Code 3

(Q-W)

D.


(!) 'fype (e.g.

buy, sell,

merger,

redemption)

If not exempt from disclosure

(2)

Date

Month-

Day

(3)

Value

Code2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

18. - Goldman Sachs Tr Finl Sq Mmkt I A Dividend J T buy 4/5 J

19. - Hotchkis & Wiley Mid Cap Value I c Dividend K T buy 415 K

20. - Julius Baer Intl Equity I None M T buy 415 L

21. - Kinetics Sm Cap Opportunities I None K T buy 415 K

22. - Legg Mason Value Trust None L T buy 4/5 L

23. - Royce Total Return Fd CL W B Dividend K T buy 415 K

24. - TCW Galileo Fds Select Eq I None M T buy 415 L

25. - TCW Galileo Fds Value Opp I None K T buy 415 K

26. - Vanguard Windsor Fd II c Dividend L T buy 415 L

27. 40l(K):

28. - Spartan U.S. Eq Index A Dividend K T

29. - Fidelity Freedom 2020 B Dividend L T

•.

30. - Fidelity Invst Gr Bd A Dividend J T

1. Income Gain Codes: A =$1,000 orless B =$1,001-$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See ColullUlS BI and 04) F =$50,00I-$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001. $50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 .. .,. .. ,. ............... .... ,..,.. ........ ,,.. ""'n"'"'"' M ............................ -. ...........................

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (IndicatepartofReporL)



____ _ l t;?

_ _____ __ --1'----+-------

Date of Report Name of Person Reporting FINANCIAL D SCLOSURE REPORT


IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory

·

provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature Date

NOTE: ANY INDIYI AND CRIMINAL SA

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

,, nifth fafts isfrirf lnurf - judicial watch...l 1 ) >> ,, j nifth fafts isfrirf lnurf...

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