Thomas L Ambro Financial Disclosure Report for 2010

8/3/2019 Thomas L Ambro Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010

Report Required by the Ethicsin Government Act ~f1978(5 U.S.C. app. 101-111)

1. Person R eport ing ( last name, f i rst , middle in i t ial )A m b r o , T h o m a s L .

4. Tit le (Ar ticle lI I judges ind ica te active o r sen ior s ta tus ;magistrate judges indicate full- or part-time)

U .S. Ci rcui t Jud g e - Ac t ive

7. Chambers or Off ice AddressF ed era l Co ur tho use844 Kin g S t ree t , Lo ck Bo x 32W i l m i n g t o n , D E 1 9 8 0 1

2. Court or OrganizationU .S. Co ur t o f Ap p ea l s , 3 rd Ci r

5a . Repor t Type (check appropr ia te type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repor t and anymodif ica tions per ta in ing there to , i t is , in my opin ion , in compliancewith appl icable laws and regulat ions .

Reviewing Of f ice r Date

3. Date of R e p o r t05/10/2011

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NON E box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f!l ing instructions. )[~ N O N E ( N o reportable positions.)

1 . Trustee2. M e m b e r ( E m e r i t u s)3. Pres iden t

4. M e m b e r5. M e m b e r6. M e m b e r7. M e m b e r

POSITION NAME OF ORGANIZATION/ENTITYTho mas L . Ambro Revo cab le Trus tGeo rg e to wn U n ivers i ty Alumn i Ad mis s io n s P ro g ram Bo ard o f Ad viso rsR ichard S . Ro d n ey In n o f Co ur t

G e o r g e t o w n U n i v e r s i ty N o r t h e rn D e l a w a r e A l u m n i A d m i s si o n s P r o g r a mBo ard o f Ed i to rs , Delaware LawyerBo ard o f Ed i to rs , Delaware Law ReviewBo ard o f Trus tees o f the Amer ican In n s o f Co ur t F o un d a t io n

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 21

N a m e o f P e r s o n R e p o r t in gAmbro, Thomas L.

Date of Report05/10/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o . i. g in d i v i d u a l a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Fliers Non-Investment Incom e

~] N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

2.3.4.

INCOME(yours , no t spouse s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were m arried during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1 . 2 0 1 02.3.4.

D A T E SOURCE AND TYPEState of Delaware - salary

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment(Includes those to spouse and dependent children; see pp. 25-27 of f i l ing instructions.)

D N O N E (No reportable reimbursemen ts.)LO C A TIO N P UR P O SE ITE M S P A ID O R P R O V ID E D

1 . A m e r i c a n B a r A s s o c i a ti o n May 8-9, 2010 W ashin g to n , DC S t a n d in g C o m m i t t e e o n F e d Transportat ionJ u d i ci a l I m p r o v e m e n t s2. A m e r i c a n B a r A s s o c i a ti o n May 11 , 2 0 10 N e w Y o r k C i ty , N Y W o r k i n g G r o u p o n L e g a l Transportat ionOpin ions3. A m e r i c a n B a r A s s o c i a ti o n Oct 18-20, 2010 N e w Y o r k C i ty , N Y W o r k i n g G r o u p o n L e g a l Transportat ionOpin ions4. B r i n g h a m Y o u n d U n i v e r s i ty N o v 4 - 6 , 2 01 0 P rovo , UT M oo t Co urt C om pe titio n Tran sp o r ta t io n , Lo d g in g & Meals5. A m e rica n B a r A sso c ia tio n N o v 1 4 , 201 0 P hila d e lp h ia , P A Sta n d in g C o m mitte e o n F e d Transportat ionJ u d i ci a l I m p r o v e m e n t s

SO U R CE D A TE S


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FINANCIAL DISCLOSURE REPORTPage 3 of :21

N a m e o f P e r s o n R e p o r t in gA m b r o , T h o m a s L .

D a t e o f R e p o r t05/10/2011

6. H a r v a r d L a w S c h o o l & D e c 7 -8, 201 0 C am brid g e , M A Financia l Res t ruc tu r ing T r a n s p o r ta t io n , L o d g i n g & M e a l sK a uffm a n F o u n d a tio n R o u n d ta b le


4/21

FINANCIAL DISCLOSURE REPORTPage 4 of 21


D a t e o f R e p o r t05/I0 /201 l

V . G I F T S . a n c ~ u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No rep ortable gifts.)

S O U R C E D E S C R I P T I O N1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a . d u d e s those of spouse and dependent children; see pp. 32-33 olin.cling instructions.)D ~o reportable liabilities.)ONE

DESCRIPTIONREDITOR1 . C o m m e r c e B a n k , N . A . , n o w k n o w n a s Par t ia l guaran tee o f com me rc ia l loan to Spr ings ide , LLC (Par t VII , LineT D B a n k 224)2. C o m m e r c e B a n k , N . A . , n o w k n o w n a s Par t ia l guaran tee o f com me rc ia l loan to Spr ings ide , LLC (Par t VII , Line P1T D B a n k 224)3. C o m m e r c e B a n k , N . A . , n o w k n o w n a s Par t ia l guaran tee o f com me rc ia l loan to Spr ings ide , LLC (Par t VII , Line PI

T D B a n k 224)4.5.

VALUECODEP1


5/21


!Name o f Pe r so n Rep o r t ing ] Date of ReportAmbro, Thomas L.

[05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (lnctudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. t3 . C. D.D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d T r a n s a c t o n s d u r i n g r e p o r t i n g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d(l) (2)Place "(x)" after each asset Amount T y p e ( e . g ., V alue V alue T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 div., r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r in t . ) (J- P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) ( i f p r iva te( Q - W ) t r a n s a c t i o n )

1 . W i l mi n g t o n Tr us t A c c o un t A In te res t2. W i l mi n g t o n Tr us t A c c o un t A In te res t

K

J

T

T3. W i l m i n g t o n T a x E x e m p t I n v e s to r N o n e4. D e la w are S ta te B o n d 6 .1 % N o n e

JK

TT

5. Trus t Account #66. - Everg reen Mun ic ip a l Mo n ey M arke t F D(cash equiva len t )7. - Cen te rp o in t En erg y In c8. - H arr i s Asso c Oakmark I9. - So uthwes t W ater Co

C Dividend M TClo sed 07 /1 2/1 0

S o l d 10/19/10 L(part)S o l d 09/14/10 K

1 0 . - Oppenhe imer Lim i t ed Te rm Munic ipa l FDCL C1 1 . - WF Advantage Munic ipa l Money Mark e t1 2 . Trus t Account #71 3 . - Fa i rho lme Fund1 4 . - C GM Focus Fund1 5 .

Bu y 03/03/10 LO p en 07/12/10 K

E Int./Div. Pl

Sold 02/26/10 K(part)S o l d 02126/10 K(part)S o l d 06/17/10 J

1 6 . - Duke En erg y Co rp1 7 . - Microsoft Corp Bu y 06/1 5 /1 0(ad d l ) K

1 . In c o me G a in C o d es : A -$1,000 or less B =$1,00! - $2,500 C = $2, 5 01 - $5 , 000(See Columns Bl and D4) F =$5 0,0 0 1 - $1 0 0 ,0 0 0 G =*1 00 ,0 0 1 - S 1 ,0 0 0 ,0 0 0 H1 ~$L000,001 - $5,000,000

2 . V a l u e C o d e s J = $15 , 000 o r l e s s K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L = $ 5 0 ,0 0 1 - $ 1 0 0 ,0 0 0( S e e C o l u m n s C I a n d D 3 ) N = $ 2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 O =$5 00 ,0 01 - $1 ,0 00 ,0 00 P l =$1 ,0 00 ,0 01 - $5 ,0 00 ,0 00

P 3 = $ 2 5 ,0 0 0 ,0 0 1 - $ 5 0 ,0 0 0 .0 0 0 P4 =More than $50,000,0003 . V a l u e M e t h o d C o d e s Q = A p p r a i s a l R =C o s t ( R ea l Es ta te On ly ) S =A sse s sm en t

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t he r W = E s t ima ted

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5,000,000M ~ $100,001 - $250,000P2 =$5,000,001 - $25,000,000T =Ca s h Ma rk e t


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N a m e o f P e r s o n R e p o r ti n gAmbro, Thomas L.


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (Includes those of spouse and dependent chi ldren; seepp. 34,60 of fi l ing ins truct ions .)N O N E (No reportable income, assets, or transactions.)

Description of Assets( inc luding t rust assets)

Place "(X)" after each assetexempt from prior disclosure

Income duringreporting period

(]) (2 )A m o un t Ty p e ( e . g .,Code 1 div., rent,(A-H)

Gross value at end Transac t ions during report ing per iodof reporting period(1) (2) O) (2) (3) (4) (5 )

Va lue Va lue Type (e.g., D a t e Va lue G ain Iden tit) o fCode 2 Method buy, se l l , m m / d d , / y y Code 2 Code 1 buyer / se l le r

o r i n t . ) ( J - P ) Code 3 redem ption ) (J-P) (A-H) (if private( Q - W ) t r a n s a c t i o n )

1 8 .

1 9 .

20 .

- A r t i o G l o b a l I N V T FDS I n t l E q u i t y FD I I Sold 02/26 /1 0 J(part)So ld 06/1 6 /1 0 J(part)So ld 12/13/10 K

21 .22 .23 .24 .

- The So uthern Co mp an y- F ed era ted S t ra teg ic V alue F un d Sold 02/26/I 0 J( p a ~ t )

Sold 06116/10 J( p a r t )S o l d 12/13/10 K

25 .

26 .27 .28 .29 .

30 .

31 .

32 .

33 .34 .

- W SF S F in an c ia l Co rp- H arr i s Asso c 1 N V T TR Oakmark Equi ty &I n c o m e F D

- H arr i s Asso c IN V T TR O akmark Glo ba lSelect FD

- Nuveen T radew inds Globa l Al l C ap FD

- Oppenhe im er Limi t ed Te rm Munic ipa lFund

S o l d 02/26/10 K(part)Sold 06/16/10 K(part)S o l d 02/26/10 K(par t)S o l d 06/16/10 J(par t)S o l d 02/26/10 K( p a r t )B u y 12/30/10 K( a d d l )Buy 01/27110 J

( a d d l )B u y 02/24/10 J

( a d d l )B u y 03/03/10 K( a d d l )

D

C

AD

t, Inc ome G ain Codes : A =$!,000 0r !ess(Se e Co lum n s B I a n d D 4) F =$50,001 - $100,000

2. Value Codes J =$15;000 or less(Se e Co lum n s C1 a n d D 3 ) N =$250,001 - $500,000

P3 =$25,000~001 - $50,000,0003. Vit tue Method Codes Q =Appraisal(Se e Co lum n C2 ) U =B o o k Va lue

B =$t,001- $2,500G =$100,001- $1,000,000K=$15,001 -$50,000O=$500,001- $1,000,000R =Cost(Real Estate Only)V = Olher

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H1 =$ii000,001 =$5,000;000 H2 =MO~e ~a~ $3~0~0~000L =$50,001 [ $100;000 M =$] 00,001, $250,000P l = $1 ,0 0 0, 00 1 - $5 ,0 00 ;0 00 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00P4 =More than $50,000,000S =Assessment T = Cash Marke tW =EStimated


7/21




V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transaetions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NONE incom e, o r tra n sa ctions.)N o reportable assets,A. B. C. D.

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d Transact ions dur ing r epo r t ing pe r iod( i nc l udi ng t r us t asse t s)

Place "(X)" after each assel A m o un t Type (e.g.,exempt from prior disclosure Code 1 div.. rent,(A-H) o r i n t . )

Value Value : Type (e,g., D a t e V a l u eC o d e 2 M e t h o d b u y , s e l l , m m /d d~ yy C od e 2

( J - P ) C o d e 3 r e d e m p t i o n ) (J-P)( Q - W )

Gain Identity ofCode 1 buyer / se l le r(A-H) (if private

t r a n s a c t i o n )

35. Buy 03/24/10 J(addl)

36. Bu y 04/28/10 J(ad d l )37. Bu y 05/26/10 J

(addl)38. Buy 06/23/10 J

(addl)39. Bu y 07/28/10 J

(addl)40. Bu y 08/25/10 J( add l )41. Bu y 09/22/10 J(ad d l )42. Buy 10/27/l 0 J( add l )43. Sold l 0/27/10 J( p a r t )44. Buy l 1/02/10 M

(addl)45. Sold 12/30/10 O( p a r t )46 . - Op p en he imer F un d s Ro ches te r N a t l Mun i Bu y 01 /27 /1 0 JC L A ( add l )47. Bu y 03/03/10 J( add l )48. Buy 04/22/1 0 K

(addl)49. Buy 05/26/10 J

(addl)50. Bu y 06/23/10 J(ad d l )

51. Bu y 06/29/10 K( add l )

A

i : l h c0 m e G a i n C 0 d e S ! A =$1,000 or less B =$1,001 - $2,500 C ~ $2,501 - $5 ,000 D =$5,001 - $15,000(See Co lumns BI and D4) F =$50,001 - $100,000 G =$i 00,001. $11000,000 H i =$ i, 00 0~ 00 1 ~ :$5 ,0 00 ,0 00 H 2 =M o re th a n $ 5; 00 0, 00 0

2. Va lue Co d es J =$15 ,000 or less K =$15,001 - $50,000 L ~$50;001 ~$100;000 M ~$100,001 ; $250,000(Se e Co lum n s CI a n d D 3 ) N =$250,001 - $500;000 O =$500,001 ~ $1~000;000 ~ 1 ~$ ii 00 0~ 00 1 = $ 5, 00 0, 00 0 P 2 =$ 5~ 00 0, 00 1 - $2 5, 00 0, 00 0

P3 =$25,000,001 - $50,000,000 P4 ~M 0re than $50,000 0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T = Cash Marke t(Se e Co lum n C2 ) U =Book Value V =Oth e r W =Estimated

E =$15,001 - $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period(inc lud ng t rust assets) reporting period of reporting period

(1) (2) (1) (2) (! ) (2) (3) (4) (5 )Place "(X)" after each asset A m ou n t Type (e.g., V alue V alue Type (e.g., Date Va lue Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method b UY s e l l , m m /d d/y y Co de 2 Code 1 buyer / se l le r(A-H) o r i n t . ) ( J - P ) Code 3 r edemption) ( J - P ) (A-H) ( i f p r i v a t e(Q-W) transaction)

52 .53 .

54 .55 .56 .57 .58 .

59 .

60 .61 .62 .

63 .64 .

65 .

66 .67 .

68 .

Bu y 07/28/10 J(ad d l )Bu y 08/25/10 J

(ad d l )Bu y 09/22/10 J

(ad d l )Bu y 10/27/10 J(ad d l )So ld 11/02/10 M D

- D o d g e & C o x F D S I n t l F D Bu y 12/20/10i K

- Mat thew s I n tl FD Asian Grow th & I ncomeFD

- N uveen Al l Am er ican Mun ic ip a l BD F DInst l- WHV I n t e rna t iona l E q u i ty FD C L 1

Buy 1 2/3 0/1 0 K(ad d l )Buy 12/21/10 KBu y 12/30/10 K

(ad d l )Bu y 12/30/10 LBuy 1 2/30/I 0 M

- Vanguard Municipal Bond Fund HighYield- Harr i s Assoc I nv t TR Oak m ark Globa l FDCL 1

Bu y 12/31/10Bu y 01 /04/1 0Bu y 02/01 /1 0(ad d l )Bu y 03/01 /1 0(ad d l )Bu y 04/01 /1 0( add l )Bu y 05/03/l 0(ad d l )

LJJ

JJ

1. Inc ome G ain Cbd~ s l( s e e Co lum n s B I a n d D 4)

2.Value Codes(See Colurrms CI and D3)

3. Value Method Codes(Se e Co lum n C2 )

A =$]i000 or iess B =$1;001 - $21500F =$50;001 - $100,000 G =$I00,001 - $1,000,000J =$15,000 or less K =$15;001 - $50;000N =$25 0,001 - $5 00,000 O =$5 00,001 - $1 ,000,000P3 =$25,000,001 - $50,000,000Q =Appraisal R =Cost (Real Estate Only)U =Book Value V =Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 = $100~000P 1 =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001 -$15,000H2 =More than $5,000,000M=$100;001- $250,000P2 =$5,000,001- $25,000,000T = C a s h M a r k e t

E =$15,001- $50,000


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N a m e o f P e r s o n R e p o r t in gAmbro , Thomas L.

D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc ome , va l ue , t ransac t i ons ( Inc l ude s t hose o f spou se and de pe nde nt c h i l d re n; se e pp . 3 4 -6 0 o f f i li ng i ns t ruc t i ons . )N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r e p o r t in g p e r i o d

(1) (2)Place "(X)" alter each asset Amount Type (e.g: ,exempt from prior disclosure C o d e 1 d iv. , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dof r epo r t ing pe r iodO) (2 ) (l/ (2 ) (3) (4) (5 )

V a l u e V a l u e Type (e.g., Dat e Value Gain I d e n t i t y o fC o d e 2 M e tho d b u y , s e l l , m m/d d d y y Code 2 I Code 1 b u y e r / s e l l e r

( J-P ) C o d e 3 re d e m p tio n ) ( J- P ) (A - H ) ( i f p r iva te( Q - W ) t r ansac t i on)

69.

70 .

71 .

B u y 06/01/10 J( a d d l )S o l d 06/16/10 J(par t)S o l d 08/23/10 J

72 . I RA Account #1 D Divid en d N73 .

74 .75 .76 .

77 .78 .79 .80 .81 .

82 .

83 .84 .

- Oakmark Fund Class I- Dodge & Cox Intl Stock Fund

- F a i r h o l m e F u n d

- Federated Strategic Value Fund

Sold 02/26/10 J(part)B u y 03/03/10 J

( a d d l )Sold 06/17/10 J(part)S o l d 08/23/10 J(part)S o l d 12/13/10 J(par t)B u y 12/20/10 J

( ad d l )S o l d 08/07/10 J(part)B u y 08/04/10 J

( a d d l )S o l d 02/25/10 J(part)Buy 08124110 J

( a d d l )S o l d 12/13/! 0 K

A

A

85 . - Ha r r i s Assoc I nv t TR O ak mark E q u i ty &I n c o m e So ld 02/26/10 K(part) A

1! lncome Gain Codes: : A =$],000 or icss ....(Se e Co lum n s B I a n d D 4) F =$50,001 - $100,000

2. Value Codes J =$15,000 or less(Se e Co lum n s C I a n d D 3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal(Se e Co lun m C2 ) U =Book Value

B=$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,00 l - $1,000,000R =Cost (Real Estate Only)V - O t h e r

C=$2,501 - $5,000H I =$1,000,001 - $5,000,000L =$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M =$I 00,001 - $250;000P2 -$5;000,00! - $25,000,000T =Ca s h Ma rk e t

E =$15,001 - $50,000


10/21


N a m e o f P e r s o n R e p o r t in gA m h r o , T h o m a s L .

D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - - i n c o m e , v.iae, t ransact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of f!l ing instruct ions.)N O N E ( N o reportable income, assets, or transactions.)

Description of Assets Income during(inc luding t rust assets) reporting period

(l ) (2 )Place "(X)" after each asset Amount Type (e.g.,

exempt from prior disclosure Code 1 div., rent,(A-H) o r i n t . )

Gross value at end Transactions during reporting periodof reporting period(1) (2) (1 ) (2) (3) (4) (5 )

Value Value Type(e.g. , D a t e Value Gain Identity ofCode 2 M ethod buy, se l l , mrrddd/yy Code 2 Code 1 buyer/seller

( J - P ) Code 3 redemption) (J-P) (A-H) (if private(Q-W) t r a n s a c t i o n )

86 .87 .88 .

89 .90 .

- Ar t i o Globa l I NV T FD S I n t l E q u ity FD I I

Sold 06/17/10 J( p a r t )Sold 12122/10 K( p a r t )Sold 02/26/10 J(part)Sold 06117/10 J( p a r t )Sold 12/13110 J

AC

91 .

92 .93 .

- Kin e t ic s Mutua l Fun d s In c Parad ig m F D S o l d 02/26/10( p a r t )S o l d 06/17/10(part)Sold 08/03/10

JJJ

94 .

95 .96 .

- Ha r t i s Assoc 1NVT T R Oak m ark Globa lSelect FDSold 02/26 /1 0(part)Sold 06/1 7 /1 0(part)Sold 12/13/10

JJK

CBD

97 .

98 .99 .

100.

- P imco U n co n s t ra in ed BD F un d CLInst i tut ional

- TC W FD S I nc Tota l Re tu rn BD FD

B u y 03/03/10( a d d l )S o l d 1 0 /2 7 /1 0(part)B u y 12/31/10( a d d l )S o l d 01/13/10

J

K

K

K

A

A101. - Temple ton Globa l To ta l Re tu rn FD102. - JP Morgan TR St ra t eg i c Incom e OpptyS E L C L

Sold 04/30/1 0Bu y 01 /1 4/1 0

KK

B

t . In Co m e G ain Cod es: A =$1;000 o r Jess B =$1,001 - $2,500( See Co lu mns B 1 and 1 ) 4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,000.0002. V alue Co de s J =$15 ,000 or less K =$15,001 - $50,000(Se e Co lum n s C I a n d D 3 ) N =$25 0,001 - $5 00,000 O =$5 00,001 - $1 ,000,000

P3 =$25,000,001 - $50 000 0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Colunm C2) U =Book Value V =Oth e r

C =$2,501 - $5,000 D =$5,001 - $15,000H, :$1,000,001 , $5;000,000 H2 &More ~han ~5,000,000L ~-$50~00]- $]00,000 M =$100,OOt-$250,000P1 =$1;000,001 = $5i000,000 P2 =$5,000,001 2525,000,000P4 =More than $50,000,000S =Assessment T =Ca s h Ma rk e tW =Estimated

E =$15,001-$50,000


11/21




V I I . I N V E S T M E N T S a n d T R U S T S - income, v, lue, transactions ( Inc ludes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~] N O N E (No reportable income, assets, transactions.)r

A. B. C. D.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i nc l udi ng t r us t asse t s) r e p o r t in g p e r i o d of r epo r t ing pe r iod

Place "(X)" after each assetexempt from prior disclosure Code 1 div:, rent, Code 2 Method buy: sell, mm/dd/yy Code 2 Code 1 buyer / se l le r(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-H) (jrprivate

(Q-W) t r a n s a c t i o n )

103.

104. - L o o m i s S a y le s F D S I B o n d F u n d R e t a i lClass105. - Mat thews In t l F D As ian Gro wth & In co m e

FD1 0 6 . - N u v e e n T r a d e w i n d s G l o b a l A l l C a p F D

B u y 03/03/10 J( a d d l )

B u y 12/31/10 K

B u y 12/21/10 J

B u y 12/17/10 J

1 0 7 . - W H V I n t e r n a t i o n a l E q u i t y FD CL I B u y 12/17/10 J

108. - Pimco FDS Emerging Loca l BD FD CL P Bu y 12/31/10 J

1 09. - P imco G lo ba l Mu l t i A sse t F D Bu y 03/03/10 J

110.111.

112. - Temple ton I ncome TR Globa l To ta l Re tu rnFD113.114. - V an g uard In f l a t io n P ro tec ted Secur i t i e sFund115. - Gabel l i Go ld N a tura l Reso urces

Bu y 06/28/1 0 K(ad d l )Bu y 10/27/10 K(ad d l )Bu y 05 /03/1 0 KSo ld 12/31/10 K(part)Bu y 12/31/10 JBu y 06/1 8/1 0 K

A

1 1 6 . I R A A c c o u n t # 2 F Int./Div. P1 T117. - Dom inion Res Inc VA New

1 1 8 . - Tec o E n er g y I n c S o l d 08/09/10 K119. - Cen te rp o in t En erg y ln c

1. Income Gain Codes:(See Columns BI and 194)

2.Value Codes(Se e Co lum n s C I a n d D 3 )

3.Value Method Codes(Se e Co lum n C2 )

A =$1,000 or lessF =$50,001 - $100,000J =$15,000 or lessN =$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q =AppraisalU =Book Value

B=$1,00! - $2,500G=$100,00i - $1,000,000K=$15,001 - $50;000O =$500,001 - $ 1 , 0 0 0 , 0 0 0R =Cost (Real Estate Only)V - O t h e r

C=$2,501 - $5,000H1 =$1;000,001 - $5,000,000L=$50i001 : $100,000P 1 =$1,000,001 - $5,000,000P4 =M0re than $50,000,000S =AssessmentW =Estinlated

D =$5,001 - $1 5 ,000 E =$15,001 - $5 0,000H2 =More than $5,000 000 .....M =$100,001 - $250,000P2 =$5,000,001 : $25,000;000 ....T - - Ca s h Ma rk e t


12/21


N a m e o f P e r s o n R e p o r t i n gAmbro, Thomas L.

D a t e o f R e p o r t05/10/2011

VII. I N V E S T M E N T S a n d TRU STS - i ..... e , value, t ransact ions ( Includes those of spouse and dependent chi ldren; see pp. 34-60 of f!ling instructions.)~ NONE incom e, o r tra nsa c tions.)~Voeportable assets,A. B. C. D,

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p 0 ~ i n g p e r i o d( i nc l udi ng t r us t asse t s)

Place "(X)" after each assetexempt f rom prior disc losure

A m ou n t Type (e.g.. Value V a lue Type (e .g. , Date V a l u e G a in Identity ofC ode - . l i v . , r e . ~ , n t Code 2 Method buy, se l l , m m/d d!yy Co de 2 Code 1 buyer / se l le r( A H ) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-H) (i~private(Q-W) transaction)

1 2 0 . - Dodge & C o x I n t l S t o c k F u n d121.

122.

So ld 02/26 /1 0 L( . p a r t )So ld 06 /1 7 /1 0 K(part)So ld 08/23/I 0 L

123. - F ai rho lme F un d124.1 2 5 . - D e v o n E n e r g y C o r p N e w

So ld 02/26 /1 0( p a r t )Buy 08/04/10(addl)

L

L

1 2 6 . - E x x o n M o b i l C o r p1 2 7 . - D o d g e & C o x G l o b a l S t o c k F u n d So ld 02/26 /1 0 K(part)128. S o l d 04/27 /1 0 K(part)129. So ld 06 /1 7 /1 0 J(part)130. Buy 1 2/20/1 0 L(ad d l )131. So ld 1 2/t3 /1 0 K(part)132. Buy 1 2/31 /1 0 K(ad d l )1 33 . o H arr i s Asso c In vt TR Oakmark Glo ba l So ld 02/26 /1 0 KSelec t F un d (part)134. Sold 06/1 7 /1 0 K( p a r t )135. So ld 12/13/10 L

D

D

E

136. - H arr i s Asso c In vt TR Oakm ark Equi ty &I n c o m e F u n d So ld 02/26/10 M(part)

1 . Inc ome G ain Codes : A =$1;000 or:!ess B =$1,001 - $2,500(Se e Co lum n s B I a n d I )4 ) F =$50,001 - $100,000 G =$1 00,001 - $1 ,000,000

2. V alue Co de s J =$1 5,000 or less K =$15,001 - $50,000(Se e Co lum n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25;000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(Se e Co lum n C2 ) U =Book Value V =Oth e r

C =$2,501 : $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000Hi =$1;000100 i ~ $5~00bi~0~ H2 =M6re tha~ ~i000;000L = $ 5 0 , 0 0 i i$ ~ 0 0 , 0 0 0 ~ 4 - - $ i 0 0 1 0 0 ~ = $2~0i000p l = $1 ,000~ 00t ! $5 ; 000 000 . . . . . P 2 - - $ 5 , 0 0 0 ; 0 0 1 ~ $ ~ 5 ~ 0 0 0 ; 0 0 0P4 =More t t~ a ~ 5 0 ; o 0 o , o 0 oS =Assessment T = Cash Marke tw = Est ima ted


13/21


N a m e o f P e r so n R e p o r t i n gA m b r o , T h o m a s L .


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of fi l ing ins truct ions .)--] N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing G r o s s v a l u e a t e n d T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d( inc luding t rust assets) report ing per iod of report ing per iod

( 1 ) ( 2 ) (1) (2) ( 1 ) : (2) (3)A m ou n t Type (e.g., V alue V a lU e . ... T y p e ( e ~ g . , Date ValueCode 1 div., rent, Code 2 Me t h o d : : ~ b uy , s e l l , mm/dd/yy Code 2(A-H) o r i n t . ) (J-P) C o d ~ 3 : r e d e m p t i o n ) (J-P)

(Q-W)

Place "(x)" af ter each assetexempt from prior disclosure

(4 ) (5 )Gain Identity of

C o d e I buyer / se l le r(A-H) ( i f p r i v a t e

transaction)

137.138.

139.140.

141.

142.143.

144.

- Ar t io Glo ba l IN V T F DS In t l Equi ty F D I I

Sold 06/17/10 K( p a r t )Sold 12/22/10 M( P a r 0Sold 02/26/10 K(part)Sold 06/17/10 J( p a r t )Sold 12/13/10 K

DE

- Kin e t ic s Mutua l F DS In c Parad ig m F D Sold 02/26/10 K(part)S o l d 06/17/10 K( p a r t )S o l d 08/03/10 L

CDE

1 4 5 . - M a r k e t V e c t o r G o l d M i n e r s G D X146. - P i m c o U n c o n s t r a i n e d B d F u n d C LInst i tut ional147.

B u y 03/03/10 L( a d d l )Sold 10/27/10 M C

148.

149.150.

- W H V In te rn a t io n a l Equi ty F D CL

- TCW F DS In c To ta l Re turn BD F D

Sold 02/26 /1 0 L D(part )Sold 06/1 7 /1 0 K B(par t )Sold 01/13/10 M A

151.

152.153.

- Temp le to n Glo ba l To ta l Re turn F D S o l d 04/08/10 K B( p a n )S o l d 04/30/10 N ESold 02/01/10 L AT e m p l e t o n F u n d s In c o m e T R G L B B DA d v i s o r

1 . l n c o m e G a i n C 6 d e s : A =$1 ;000 Or less(Se e Co lun m s B 1 a n d IM) F =$50,001 - $ 100,000

2. Value Codes J =$15,000 or less(Se e Co lum n s C I a n d D 3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal

(Se e Co lum n C2 ) U =Book Value

B--$i~001 :$2;500 C =$2~50! - $5;000 D =$5,001 - $15,000G =$1 00, 001 - $1 ,00 0 000 H I =$1 000 ,00 1 ~ $5 000 i0 00 H2 =More than $5,000,000K =$15,001 -$50,000 L--$50;001 =$100~000 M =$100,001 -$250,000O =$5 00 ,0 01 - $1 ,0 00 ,0 00 P I =$1 ,0 00 ,0 0] = $~ i0 00 0 00 p2 =$5,000,001 - S25,000,000

P4 --More ~han $50~000,000R =Cost (Real Estate Only) S ~As~essment : : T =Ca s h Ma rk e tV =Oth e r W =EStimated

E =$15,001 - $50,000


14/21


N a r a e o f P e r s o n R e p o r t i n gAmbro , Thomas L.


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions ( I n c l u d e s those of spouse and dependent chi ldren; see pp. 34-60 of f i l ing instruct ions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

(1 ) (2 ) (1) (2) (1 ) (2) (3)Place "(X)" after each asset Amount T y p e ( e . g ~ , Value Value Type (e.g., D a t e V a l u e

exempt from prior disclosure Code l d ive ; ren t , C o d e 2 MEthod buy , s e l l , m r r d d d / y y C o d e 2~ A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P)( Q - W )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(4 ) (5 )Gain Identity of

Code 1 buyer / se l le r(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

1 5 4 . - V an g u ar d I n f l a t i o n P r o t ec t ed S ec ur i t i e s FD

1 5 5 . - I n t e l Co r p I n t c

156. - F ai rho lme F un d s In c F o cused In co m eF un d157.

158. - JP Mo rg an TR St ra teg ic In co m e Op p tyS E L C L159.160. - L o o m i s S a y le s F D S I B o n d F u n d R e t a i lClass161. - Mat thew s I n tl FD Asian Grow th & I ncomeFD162.163. - N uveen Trad ewin d s Glo ba l Al l Cap F DInstl Sh164.

Bu y 12/31/10 L(ad d l )Bu y 08/09/10 K

1 6 5 . - P i m c o F D S E m e r g i n g L o c a l B D F D166. - Pimco G lobal Mu lti Asset FD

Bu y 04/08/1 0 K

Bu y 12/31/10 L(ad d l )Bu y 01 /1 4/1 0 MBu y 03/03/I 0 L(ad d l )Bu y 12/30/10 MBu y 12/21/10 LBu y 12/31/10 K(ad d l )Bn y 12/17/10 LBu y 12/31/10 L(ad d l )Bu y 12/31/10 M

167.

168.169. - Temp le to n In co me TR Glo ba l To ta l Re turnFD170.

Bu y 03/03/10 LBu y 06/28/1 0 M(ad d l )Bu y 10/27/10 M(ad d l )Bo y 05 /03/1 0 NSo ld 12/31/10 M(part)

1. lncome Gain 0d~Sl : A: ~$ii000 6r iess: B =$1,001 - $2;500( Se e C olu mn s B 1 an d D 4) F =$5 0, 00 ! - $ t0 0,0 00 G =$100,001 - $ t ,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000(Se e Co lun m s C I a n d D 3 ) N =$250,001 - $500,000 O =$500~001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(Se e Co lum n C2 ) U =Book Value V =Oth e r

C =$2,501 -$5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - St00,000PI =$1;000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,00t - $15,000H2 =More than $5,000,000M -$1013,001 - $250,000P2 =$5,000,001 - $25,000,000T =Ca s h Ma rk e t

E =$15,001 - $50,000


15/21



D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of fi l ing ins truct ions .)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i nc l udi ng t r us t asse t s)

Place "(X)" aRer each assete x e m p t f rom pr ior d isclosure

I n c o m e d u r i n gr e p o r t in g p e r i o d

(1) (2)Amount Type (e.g.,Code l di v , , r en t ,

( A - H ) or i n t . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dof r epo r t ing pe r iod(1) (2) (1 ) (2) (3) (4) (5 )

V a lu e V a lu e Type (e.g., Dat e Value G a i n Identity ofC o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r

(J-P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r iva te( Q - W ) t r ansac t i on)

171. - Gabel l i Go ld N a tura l Reso urces Bu y 06/18/10 K

1 7 2 . - Vanguard W hitehall FDS Intl Explorer FDInvs173.174.

Bu y 04/28/I 0So ld 06/1 8/1 0(part)So ld 12/14/10

K

JK D

1 7 5 . - D o d g e & C o x I n c o m e F D Bu y 03/03/10 L176.

177.178.

179.

B u y 03/30/10 J( a d d l )B u y 06/29/10 J

( a d d l )Buy 09/29/10 J

( a d d l )S o l d 12/13/10 L B

180. - F e d e r a te d S t r a t e g i c V a l u e D i v i d e n d F u n dInst

181.

Bu y 08/24/101 LSo ld 12/13/10 L D

1 82. Trus t Acco un t # 1 2 E Int./Div. O T

t 8 3 . - F a i rh o l m e F u n d184.

1 8 5 . - C G M F o c u s F u n d

186.1 8 7 . - D o d g e & C o x I n t l S t o c k F u n d

Sold 02/26/10(part)B u y 08104/10

( a d d l )S o l d 02/26/10(part)S o l d 06117 /10(part)S o l d 02/26/10i(part)

K

K

J

J

K

E

i i f i ~r r ne Gai ~ ~d~gl : A =$1~000 0r less B =$1,001- $2,500 C =$2,501-$5,000(Se e Co lum n s B I a n d D 4) F =$50,001 - $100,000 G =$1 00 ,0 01 - $1 ,0 00 ,0 00 H I =$1 ,0 00,0 01 - $5 ;0 00 ,00 0

2. V alue Co de s J =$1 5,000 or less K =$15,001 - $50,000 L =$50,001 - $ I00,000(Se e Co lun m s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $ 1 ,000,000 P I -$ 1,000,001 - $ 5 ,000i000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S - As s e s s m e n t(Se e Co lum n C 2) U =B o ok V alue V =Oth e r W =Estimated

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5000,000M =$i00,001 - $250,000P2 =$5,000,001 - $25,000,000T =Ca s h Ma rk e t


16/21

FINANCIAL DISCLOSURE REPORTPage 16 o f 21 Ia m e o f P e r s o n R e p o r t in gAmbro, Thomas L. Date of Report05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S -- income, value , t ransact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of f i l ing instruct ions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i nc l udi ng t r us t asse t s)

Gross value at end .... T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dI n c o m e d u r i n gr e p o r t in g p e r i o d of r epo r t ing pe r iod

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Dat e V a l u e G a i n I d e n t i t y o f

exempt from prior disclosure C o d e 1 d iv . , r e n t , C o d e 2 M e t h o d buy, ; se l l ; m m / d d ! y y Code 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r in t . ) (J- P ) C o d e 3 r e d e m p t i o n ) (J-p) ( A - H ) ( i f p r iva te( Q - W ) t r a n s a c t i o n )

188. Sold 06/16/10 J(part)

1 8 9 . Sold 08/23/10 K

190. B uy 12/20/10 J(ad d l )

191. - Cisco S y s t e m s Inc192. - Johnson & Johnson

193. - Artio Global INVT FDS Intl Equity FD II Sold 02/26/10 J( p a r t )1 9 4 . Sold 06/16/10 J( p a r t )195. Sold 1 2 / 1 3 1 1 0 K

1 9 6 . - Kinetics Mutual FDS Inc Paradigm FD Buy 01/04/10 J(addl)

1 9 7 . Sold 02/26/10 J(part)

1 9 8 . Sold 06/16/10 J( p a ~ t )199. Sold 08/03/1 0 K

BAC

2 0 0 . - C a d e n c e D e s i g n S y s t e m s I n c Do n ated(part)201 . - Mic ro so f t Co rp Bu y(ad d l )2 0 2 . - O r a c l e C o r p

06/15/10

2 0 3 . - R a n g e R e s o u r c e s C o r p204. - H a r r is A s s o c I N V T T R O a k m a r k G l o b a l

S e l e t c t FDSo ld 02/26/10 J(part)

1 lnc0me Gain Codes: A =$1 ,000 o r less B =$I,001 - $2,5 00(Se e Co lun m s B I a n d D 4) F =$50,001 - $ 100,000 G =$100,001 - $1,000,000

2. Value Codes 3 =$15,000 or less K =$15,001 - $50,000(Se e Co lum n s CI a n d D 3 ) N =$25 0,0 01 - $5 00,000 O =$5 00,001 - $1 ,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(Se e Co lum n C2 ) U =Book Value V =Oth e r

C =$2,501 - $5,000 D =$5,001 - $15,000H l =$ ];000,001 i $5;000;000 H 9 = M 0 ~ ~ tha" $5 000,000L = $ 5 0 0 0 l - $ 1 0 0 ; 0 0 1 2 , M ~ $100,~ 0i ,$250 ,000PI =$1i0001001 ~$5 000 000 P2 =$5,000;001 : $25,000,000P4 =More than $50,000,000S =Assessment T = c ash Marke tW =Estimated

E =$15,001 - $50,000


17/21

FINANCIAL DISCLOSURE REPORTP a g e 1 7 o f 2 1

~ a m e o f P e r s o n R e p o r t i n gAmbro , Thomas L.

D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n e o , . e , v a l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)--] N O N E (No reportable income, assets, or transactions.)

Description of Assets Income during(inc luding t rust assets) reporting period

(1) (2)Place "(X)" after each asset A m ou n t Type (e.g.,exempt from prior disclosure C ode t d i v . , r e n t ,(A-H) o r i n t . )

B. C. D.Gross value at end Transac t ions during report ing per iodof reporting period(1) (2) (1 ) (2) (3) ~ (4) (5 )

Va lue V a l u e Type (e.g., D a t e Va lue G a i n Identi tyofCode 2 Method buy. se l l , m m /d d/y y Co de 2 Code I " buyer / se l le r

( J - P ) Code 3 redemption) ( J - P ) (A-H) (if private(Q-W) , x a n s a e t i o t 0

205.206. - H arr i s Asso c 1 N V T TR Oakmark Equi ty &In co me F D207.208. - Op p en he imer F un d s R o ches te r N a t l MunCL A209.21 0. - W H V In te rn a t io n a l Equi ty F D2 11 .212. - O p p e n h e i m e r L i m i t e d T e r m M u n i c i p a lFund C la ss A213.214.2 15.216. - F e d e r a t e d S t r a t e g ic V a l u e D i v i d e n d F u n dInst2 17.2 1 8 . - W i l m i n g t o n Trust C o r p219.220. - Mat thews ln t l F D As ian Gro wth & In co m eFD2 2 1 . - N u v e e n A l l A m e r i c a n M u n i c i p a l B D F D

S o l d 06/16/10 J( p a r t )S o l d 02/26/10 K(part)S o l d 06/16/10 J(part)Buy 11/02/10 K( a d d l )

S o l d 11/02/10 L

S o l d 02/26/10 J(part)S o l d 06/16/10 J( p a r t )B u y 03/03/I0 M( a d d l )S o l d 10/14/10 K( p a r t )B u y 11/02/10 L

( a d d l )Sold 12/30/10 L(part)B u y 08/24/10 K

S o l d 12/13/10 K

Bu y 10/07/10 KSo ld 06/17/10 JBu y 1 2 / 2 1 / 1 0 JBu y 12/31/10 K

A

D

DBA

A

B

1. Income Gain Codes: A =$1,000 or less B --$1,00t - $2,500( Se e C olu mn s B I arid D4 ) F =$5 0,0 01 - $1 00 ,000 G =$1001001 - $1,000,000

2. V alue Co de s J :$1 5 ,000 o r le ss K =$15,001 : $50,000(Se e Co lum n s C I a n d D 3 ) N =$25 0,001 - $5 00,000 O =$5 00,001 - $1 ,000 ,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(Se e Co lun m C2 ) U =Book Value V =Oth e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001- $100;000PI =$1,000,001 r $5;000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 ,0 0 0m =M~e ~a, ~iooolooo .....M = $ 1 0 0 ; 0 0 1 - $ 2 5 0 ;0 0 0P 2 = $ 5 , 0 0 0 i 0 0 1 ~ $ 2 5 ~ 0 0 0 . 0 0 0T =Ca s h Ma rk e t


18/21



D a t e o f R e p o r t05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v . l. e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e during G ross value at e nd(inc luding t rust assets) reporting period of reporting period

(I ) (2 ) (I) (2) (I} (2} (3)Place "(X)" after each asset A m ou m Type (e.g., Va lue V a l u e Type (e.g., D a ~ e V a l ~e

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, : . . . . . . . ~ r f i / d d /~ : C~ d ~ 2(A-H) o r i n t . ) ( J - P ) C o d e 3 : : r e d e m p t i o n ) ( J = P ~(Q-W)

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(4 ) (5 )G a i n I d e n t i ty O f

C o d e 1 b u y e r / s e l l e r( A - H ) ( i f p r iva te

t r ansac t i onl

222.223.224.225.226.227.228.

- N u v e e n T r a d e w i n d s G l o b a l A l l - C a p F D B u y 12/22/I0 KIns t l Sh- V a n g u a r d M u n i c i p a l B o n d F u n d H i g h B u y 12/31/10 KY i e l d Po r tSp r in g s id e , LLC (2000 - $300,000) None PI WLegg Mason O ppor tun i ty Trus t N o n e Sold 03/03/10 K

Middle tow n Profe ss iona l Prop e r t i e s , LLC , E R e n t L R(2004 o $80,925)S c h n e i d e r V a l u e F u n d N o n e Sold 03/17/10 LTrust # 13 A Int.~Div. Clo sed 04/20/10 J

229.230.231.

- Federated M unicipal Ultrashort FundInstitutional Class So ld 02/01 / 10( p a r t )So ld 03/16/10(part)So ld 04 /20/1 0

J

K

K

A

A

A

232. Trus t #14 E lnt./Div. N2 3 3 . - D u P a g e C o o k & W i l l C n t y s I L B o n d234. - R h o d e I s l a n d S t E c o n o m i c D V C o r p R VGrant235 . - Oaklaho ma Cn ty Ok In d p t Sch Dis t N o 89236 . - Mi lwaukee W I Co rp Purp B1 G /O U n l td2 3 7 . - U n i v e rs i ty T X U n i v R e v s R f d g F i n g S y s238.

Bu y 03/25 /1 0(ad d l )Sold 03/25 /1 0(part)

LK B

1, lncomeGfiin C6d~S! A --$1i000 or less(Se e Co lum n s B I a n d 1 )4 ) F =$50,1101 - $100,000

2, V alue Co de s J =$15 ,000 or less(Se e Co lum n s CI a n d D 3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003, Value Method Codes Q =Appraisal

(See Coluwaa C2) U =B o o k Va lue

B=$1,001 - $2,500G = $ t o o , o o t - ~ , o o o , o 0 0K =$15,001 -$50,000O =$500,001 = $1,000,000R =Cost (Real Estate Only)V =Other

C =$2,501 -$5,000 D --$5,001 - $15,000~ t = s t , o o 0 1 o o tL =$50 oo : $1000o0 M ~ $ I 0 0 : 00 ~ : ~ S O ; o 0 0m = $ L o o o , o o i a $ 5 ;0 0 o ; o 0 o ~ = $ 5 ~ 0 O O l : $ 2 5 ; 0 o o o o oP4 =More thao $50;000,0 00 : .....: T ~Ca s h Ma rk e tS =AssessmentW = Est ima t~

E =$15,001 - $50,000


19/21




V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t u e , transactions (Includes thbse of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at e nd Transactions during reporting period(inc luding t rust assets) reporting per od of reporting period

(i) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A mo un t Typ e (e .g ., Value Va lue Type (e.g., D a t e Value r Gain Idemity of

exempt from pr or disclosure Code 1 d i v . , r e n t Code 2 M e thod buy, se l l , m m /d d/y y Co de 2 C o d e : 1 buyer/seller(A-H) or int ~ . . . . : (J:p) Code 3 redem ption) (J-P) (A-H) (if private(Q-W) t r a n s a c t i o n )

239. - Gwin n e t t Cn ty GA Sch Dis t G/O2 4 0 . - T e n n e s s e e S T S e r A G / O2 41 . - Maryland St St & Loc FAC S LN 2 r id Se t

G /O242. - Chero kee Cn ty GA Sch Sys G/O2 43 . - I l li n o i s S t To l l H wy A u t h R ev S R P r i o r i t y

2 4 4 . - N e w Y o r k S t E n v i r o n m e n t a l F a c s C o r p S t245. - A r i z o n a B r d R e g e n t s U n i v A Z S y s R e v S e J

A

1 . lne0m e G ain Co des: A =$1 ,000 0r less(Se e Co lum n s B I a n d D 4) F =$50,001 - $100,000

2. V alue Co de s J =$15 ,000 o r less(Se e Co lum n s C1 a n d D 3 ) N =$250,001 - $50~,000

F3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal(Se e Co lum n C2 ) U =B o o k Va lue

B =$ii001- $2;500 C =$2~501 - $5,000 D =$5,001 - $15,000G =$100,00t - $1,000,000 H 1 =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 =M o r~ th an $5 ,0 00 ,0 00K =$15,001 -$50;000 L =$501001 - $100,000 M =$!00~001 - $250,000O =$ 50 0 , 0 0 ! - $ 1, 0 0 0 , ~ Pl =$i,000,001 - $5,000,000 p2 =$5;000,001- $25,000,000P4 =More than $50,000,000R =Cost (Rea! Estate Only) S =Assessment T =Ca s h Ma rk e tV : Other W =E s t im a te d

E =$15,001 - $50,000


20/21

FINANCIAL DISCLOSURE REPORTP a g e 2 0 o f 2 1 Ia m e o f P e r s o n R e p o r t in gA m b r o , T h o m a s L . D a t e o f R e p o r t05/10/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.)Asse t l i s ted in P ar t V I I , L in e 226 , has ren ta l in co me f ro m p ro p er ty lo ca ted in M id d le to wn , DE. Th is as se t was p urchased in 2004 fo r $80 ,925 .Asse t l i s ted in P ar t V I I , L in e 71 o f p r io r year rep o r t , sho uld n o t have been l i s t ed as a p a r t s a l e . The as se t was co mp le te ly so ld in 201 0 .Asse t l i s ted in Par t V I I , L in e 1 26 - chan g ed f ro m XT O En erg y In c to Exxo n Mo bi l Co rp


21/21


Nam e o f Per so n R ep o r t in gA m b r o , T h o m a s L .

Date of Repor t05/10/2011

IX . CERTIFICATION.1 c e r t i f y th a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n n n - d i s c l o s u r e .I f u r t h e r ce r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Thomas L. Ambro

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Thomas L Ambro Financial Disclosure Report for 2010

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