FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) Ambro, Thomas L.
4. Title (Article lII judges indicate active or senior status; magistrate judges indicate full- or part-time) ]

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

2. Court or Organization U.S. Court of Appeals, 3rd Cir
5a. Report Type (check appropriate type) Nomination, [] Initial Date [] Annual [] Final

3. Date of Report 05/10/2011
6. Reporting Period 01/01/2010 to 12/31/2010

U.S. Circuit Judge - Active

5b. [] 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 laws and regulations. Reviewing Officer Date

Federal Courthouse 844 King Street, Lock Box 32 Wilmington, DE 19801

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. POSITIONS. (Reporting individual only; seepp. 9-13 of f!ling instructions.)
[~ NONE (No reportable positions.) POSITION
1. 2. 3. 4. 5. 6. 7. Trustee Member (Emeritus) President Member Member Member Member NAME OF ORGANIZATION/ENTITY Thomas L. Ambro Revocable Trust Georgetown University Alumni Admissions Program Board of Advisors Richard S. Rodney Inn of Court Georgetown University Northern Delaware Alumni Admissions Program Board of Editors, Delaware Lawyer Board of Editors, Delaware Law Review Board of Trustees of the American Inns of Court Foundation

II. AGREEMENTS. (Reporting individual only; seepp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.)
DATE PARTIES AND TERMS

Ambro, Thomas L.

FINANCIAL DISCLOSURE REPORT Page 2 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

III. NON-INVESTMENT INCOME. (Repo.i.g individual and spouse; see pp. 17-24 of filing instructions.)
A. Flier’s Non-Investment Income
~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouse’s)

2. 3. 4.

B. Spouse’s Non-Investment Income - If you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.)

DATE
1.2010 2. 3. 4.

SOURCE AND TYPE State of Delaware - salary

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D

NONE (No reportable reimbursements.) SOURCE DATES
May 8-9, 2010

LOCATION
Washington, DC

PURPOSE

ITEMS PAID OR PROVIDED

1.

American Bar Association

Standing Committee on Fed Transportation Judicial Improvements Working Group on Legal Opinions Working Group on Legal Opinions Moot Court Competition Transportation

2.

American Bar Association

May 11, 2010

New York City, NY

3.

American Bar Association

Oct 18-20, 2010

New York City, NY

Transportation

4. 5.

Bringham Yound University American Bar Association

Nov 4-6, 2010 Nov 14, 2010

Provo, UT Philadelphia, PA

Transportation, Lodging & Meals

Standing Committee on Fed Transportation Judicial Improvements

FINANCIAL DISCLOSURE REPORT Page 3 of :21
6. Harvard Law School & Kauffman Foundation Dec 7-8, 2010

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

Cambridge, MA

Financial Restructuring Roundtable

Transportation, Lodging & Meals

FINANCIAL DISCLOSURE REPORT Page 4 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/I0/201 l

V. GIFTS. anc~udes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. a.dudes those of spouse and dependent children; see pp. 32-33 olin.cling instructions.)
D
NONE

~o reportable liabilities.)
DESCRIPTION
Partial guarantee of commercial loan to Springside, LLC (Part VII, Line 224) Partial guarantee of commercial loan to Springside, LLC (Part VII, Line 224) Partial guarantee of commercial loan to Springside, LLC (Part VII, Line 224) VALUECODE P1

CREDITOR 1. Commerce Bank, N.A., now known as TD Bank Commerce Bank, N.A., now known as TD Bank Commerce Bank, N.A., now known as TD Bank

2.

P1

3.

PI

4. 5.

!

FINANCIAL DISCLOSURE REPORT Page 5 of 21

Name of Person Reporting

Date of Report

]

Ambro, Thomas L. [

05/10/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (lnctudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(x)" after each asset exempt from prior disclosure t3. Income during reporting period (l) (2) Amount Type (e.g., Code 1 div., rent,
(A-H) or int.)

C. Gross value at end

D. Transact ons during reporting period

Value Code 2
(J-P)

Value Method Code 3 (Q-W) T T T T T

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

Date Value mm/dd/yy Code 2
(J-P)

Gain Code 1
(A-H)

Identity of buyer/seller
(if private

transaction)

1. 2.

Wilmington Trust Account Wilmington Trust Account

A A

Interest Interest

K J

3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

Wilmington Tax Exempt Investor Delaware State Bond 6.1% Trust Account #6 - Evergreen Municipal Money Market FD (cash equivalent) - Centerpoint Energy Inc - Harris Assoc Oakmark I - Southwest Water Co - Oppenheimer Limited Term Municipal FD CL C - WF Advantage Municipal Money Market Trust Account #7 - Fairholme Fund - CGM Focus Fund
E

None None C Dividend

J K M

Closed

07/12/10

Sold (part) Sold

10/19/10 09/14/10

L K

Buy Open
Int./Div. Pl Sold (part) Sold (part) Sold

03/03/10 L 07/12/10 K

02/26/10 02126/10 06/17/10

K K J

- Duke Energy Corp - Microsoft Corp Buy (add’l) 06/15/10
K

1. Income Gain Codes: (See Columns Bl and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A -$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000.000 Q =Appraisal U =Book Value

B =$1,00! - $2,500 G =*100,001- S 1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H1 ~$L000,001 - $5,000,000 L =$50,001 - $100,000 P l =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M ~$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34,60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (]) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) Transactions during reporting period O) Type (e.g., buy, sell, redemption) (2) Date mm/dd,/yy (3) ’ (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identit) of buyer/seller (if private transaction)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

- Artio Global INVT FDS Intl Equity FD II

Sold (part) Sold (part) Sold

02/26/10 06/16/10 12/13/10

J J K

- The Southern Company - Federated Strategic Value Fund
Sold Sold 02/26/I 0 06116/10 12/13/10 J J K

(pa~t) (part)
Sold

- WSFS Financial Corp - Harris Assoc 1NVT TR Oakmark Equity & Income FD
Sold (part) Sold (part) 02/26/10 06/16/10 02/26/10 06/16/10 02/26/10 12/30/10 01/27110 02/24/10 03/03/10 K K K J K K J J K

D C

- Harris Assoc INVT TR Oakmark Global Select FD

Sold (part) Sold (part)

A D

- Nuveen Tradewinds Global All Cap FD

Sold

(part)
Buy (add’l)

- Oppenheimer Limited Term Municipal Fund

Buy (add’l) Buy (add’l) Buy (add’l)

t, Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C1 and D3) 3. Vittue Method Codes (See Column C2)

A =$!,000 0r !ess F =$50,001 - $100,000 J =$15;000 or less N =$250,001 - $500,000 P3 =$25,000~001 - $50,000,000 Q =Appraisal U =Book Value

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

C =$2,501 - $5,000 H1 =$ii000,001 =$5,000;000 L =$50,001 [ $100;000 Pl =$1,000,001 - $5,000;000 P4 =More than $50,000,000 S =Assessment W =EStimated

D =$5,001 - $15,000 H2 =MO~e ~a~ $3~0~0~000 M =$] 00,001, $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU S TS - income, value, transaetions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D

NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during C. Gross value at end D. Transactions during reporting period

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

Amount Code 1 (A-H)

Type (e.g., div.. rent, or int.)

Value Code 2 (J-P)

Value Method Code 3

:

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

Date mm/dd~yy

Value Code 2 (J-P)

Gain Code 1 (A-H)

(Q-W)
35. Buy (add’l) 03/24/10 J

Identity of buyer/seller (if private transaction)

36.

Buy (add’l) Buy
(add’l) Buy (add’l)

04/28/10

J

37.

05/26/10

J

38.

06/23/10

J

39.

Buy
(add’l)

07/28/10

J

40.

Buy (add’l) Buy (add’l)
Buy

08/25/10

J

41.

09/22/10

J

42.

10/27/l 0

J

(add’l)
43. Sold l 0/27/10 J

A

(part)
44. Buy (add’l) Sold l 1/02/10 M

45.

12/30/10

O

(part)
Buy (add’l) Buy (add’l) Buy
(add’l)

46. 47. 48.
49.

- Oppenheimer Funds Rochester Natl Muni CL A

01/27/10 03/03/10 04/22/10
05/26/10

J J K
J

Buy
(add’l)

50.

Buy (add’l) Buy (add’l)

06/23/10

J

51.

06/29/10

K

i: lhc0me Gain C0deS! (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500;000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$i 00,001. $11000,000 K =$15,001 - $50,000 O =$500,001 ~ $1~000;000 R =Cost (Real Estate Only) V =Other

C ~$2,501 - $5,000 H i =$i,000~001 ~:$5,000,000 L ~$50;001 ~$100;000 ~1 ~$ii000~001 = $5,000,000 P4 ~M0re than $50,000 000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5;000,000 M ~$100,001 ; $250,000 P2 =$5~000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (includ ng trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (!) Type (e.g., bUY sell, redemption) D. Transactions during reporting period (2) (3) (4) Gain Date Value mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. - Nuveen All American Municipal BD FD Instl - WHV International Equity FD CL 1 - Matthews Intl FD Asian Growth & Income FD - Dodge & Cox FDS Intl FD

Buy (add’l) Buy (add’l) Buy (add’l) Buy (add’l) Sold Buy Buy (add’l) Buy Buy (add’l) Buy Buy Buy Buy Buy (add’l) Buy (add’l) Buy (add’l) Buy (add’l)

07/28/10 08/25/10 09/22/10

J J J

10/27/10 J 11/02/10 M 12/20/10i K 12/30/10 12/21/10 12/30/10 12/30/10 12/30/I 0 12/31/10 01/04/10 02/01/10 03/01/10 04/01/10 05/03/l 0 J J K K K L M L J J D

- Vanguard Municipal Bond Fund High Yield
- Harris Assoc Invt TR Oakmark Global FD CL 1

1. Income Gain Cbd~sl (see Columns BI and D4) 2. Value Codes (See Colurrms CI and D3) 3. Value Method Codes (See Column C2)

A =$]i000 or iess F =$50;001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1;001 - $21500 G =$I00,001 - $1,000,000 K =$15;001 - $50;000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

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

D =$5,001 -$15,000 H2 =More than $5,000,000 M=$100;001- $250,000 P2 =$5,000,001- $25,000,000 T=CashMarket

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 9 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" alter each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l/ Type (e.g., buy, sell, redemption) (3) ’ (4) (2) Value Gain Date mm/dddyy Code 2 I Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction) Transactions during reporting period

(1)
Amount Code 1 (A-H)

(2)
Type (e.g:, div., rent, or int.)

69. 70. 71.

Buy (add’l) Sold (part) Sold

06/01/10 06/16/10 08/23/10

J J J

72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

IRA Account #1 - Oakmark Fund Class I - Dodge & Cox Intl Stock Fund

D

Dividend

N

Sold (part) Buy (add’l) Sold (part) Sold (part) Sold (part) Buy (add’l)

02/26/10 03/03/10 06/17/10 08/23/10 12/13/10 12/20/10 08/07/10 08/04/10 02/25/10

J J J J J J J J J J K A A

-FairholmeFund

Sold (part) Buy (add’l)

- Federated Strategic Value Fund

Sold (part)

Buy 08124110 (add’l) Sold 12/13/! 0

- Harris Assoc Invt TR Oakmark Equity & Income

Sold (part)

02/26/10 K

A

1! lncome Gain Codes: : (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)

A =$],000 or icss .... F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

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

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

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I 00,001 - $250;000 P2 -$5;000,00! - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 10 of 21

Name of Person Reporting Amhro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU STS --income, v.iae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during reporting period (1) Type(e.g., buy, sell, redemption) (2) (3) (4) Value’ Gain Date mrrddd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. - TCW FDS Inc Total Return BD FD 101. - Templeton Global Total Return FD 102. - JP Morgan TR Strategic Income Oppty SEL CL - Pimco Unconstrained BD Fund CL Institutional - Hart’is Assoc 1NVT TR Oakmark Global Select FD - Kinetics Mutual Funds Inc Paradigm FD - Artio Global INVT FDS Intl Equity FD II

Sold

06/17/10 12122/10 02/26/10 06117/10’ 12/13110’ 02/26/10 06/17/10 08/03/10

J K J J J

A C

(part)
Sold

(part)
Sold (part) Sold

(part)
Sold Sold

(part)
Sold (part) Sold

J J J J J K
J K K K A

Sold (part) Sold (part) Sold
Buy (add’l) Sold (part) Buy (add’l) Sold

02/26/10 06/17/10 12/13/10
03/03/10 10/27/10 12/31/10 01/13/10

C B D

A B

Sold Buy

04/30/10 01/14/10

K K

t. InCome Gain Codes: (See Columns B 1 and 1)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colun’m C2)

A =$1;000 or Jess F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50 000 000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,001 - $1,000.000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H, :$1,000,001 , $5;000,000 L ~-$50~00]- $]00,000 P1 =$1;000,001 = $5i000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 &More ~han ~5,000,000 M =$100,OOt-$250,000 P2 =$5,000,001 2525,000,000 T =Cash Market

E =$15,001-$50,000

FINANCIAL DISCLOSURE REPORT Page 11 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS - income, v, lue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
~] NONE (No reportable income, assets,
A. Description of Assets (including trust assets) or

transactions.)
B. C. Gross value at end of reporting period D. Transactions during reporting period

Income during reporting period

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

Code 1 (A-H)

div:, rent, or int.)

Code 2 (J-P)

Method Code 3 (Q-W)

buy: sell, redemption)

mm/dd/yy

Code 2 (J-P)

Code 1 (A-H)

buyer/seller (jr’private transaction)

103.

Buy (add’l) Buy Buy Buy Buy

03/03/10 12/31/10 12/21/10 12/17/10

J K J J

104. - Loomis Sayles FDS I Bond Fund Retail Class 105. - Matthews Intl FD Asian Growth & Income FD 106. - Nuveen Tradewinds Global All Cap FD
107. - WHV International Equity FD CL I

12/17/10 J

108. - Pimco FDS Emerging Local BD FD CL P
109. - Pimco Global Multi Asset FD

Buy Buy Buy (add’l) Buy (add’l) Buy Sold (part) Buy Buy F Int./Div. P1 T

12/31/10 03/03/10 06/28/10 10/27/10 05/03/10 12/31/10 12/31/10 06/18/10

J J K K K K J K
A

110. 111. 112. - Templeton Income TR Global Total Return FD 113. 114. - Vanguard Inflation Protected Securities Fund 115. - Gabelli Gold Natural Resources
116. IRA Account #2

117. - Dominion Res Inc VA New
118. - Teco Energy Inc Sold 08/09/10 K

119. - Centerpoint Energy lnc

1. Income Gain Codes: (See Columns BI and 194) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

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

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

D =$5,001 - $15,000 H2 =More than $5,000 000 ..... M =$100,001 - $250,000 P2 =$5,000,001 : $25,000;000 .... T --Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 12 of 21 VII. INVESTMENTS and TRU STS - i .....

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)

~

NONE(~Vo reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during C. Gross value at end D, Transactions during rep0~ing period

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

Amount Code (AH)

Type (e.g.. -.’liv., re.~,nt or int.)

Value Code 2 (J-P)

Value Method Code 3 (Q-W)

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

Date mm/dd!yy

Value Code 2 (J-P)

Gain Code 1 (A-H)

Identity of buyer/seller (i~private transaction)

120. - Dodge & Cox Intl Stock Fund 121. 122. 123. - Fairholme Fund 124. 125. - Devon Energy Corp New 126. - Exxon Mobil Corp 127. - Dodge & Cox Global Stock Fund 128. 129. 130. 131. 132. 133. o Harris Assoc Invt TR Oakmark Global Select Fund 134. 135. 136. - Harris Assoc Invt TR Oakmark Equity & Income Fund

Sold (.part) Sold (part) Sold Sold

02/26/10 06/17/10 08/23/I 0 02/26/10
08/04/10

L K L L L

(part)
Buy (add’l)

Sold

02/26/10 04/27/10 06/17/10 12/20/10 12/t3/10 12/31/10 02/26/10 06/17/10 12/13/10

K K J L K K K K L D D E

(part)
Sold (part) Sold (part) Buy (add’l) Sold (part) Buy (add’l) Sold (part) Sold

(part)
Sold Sold (part)

02/26/10 M

1. Income Gain Codes: (See Columns B I and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$1;000 or:!ess F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25;000,001 - $50,000,000 Q =Appraisal U =Book Value

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

C =$2,501 : $5,000 Hi =$1;000100 i ~ $5~00bi~0~

D =$5,001 - $15,000

E =$15,001 - $50,000

L =$50,00i i$~00,000
pl =$1,000~00t ! $5;000 000 ..... P4 =More tt~a ~50;o0o,o0o S =Assessment w =Estimated

~4--$i00100~ = $2~0i000
P2 --$5,000;001 ~ $~5~000;000 T =Cash Market

H2 =M6re tha~ ~i000;000

FINANCIAL DISCLOSURE REPORT Page 13 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
--] 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 (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value atend of reporting period (1) Value Code 2 (J-P) D. Transactions during reporting period (2) (3) Value Date mm/dd/yy Code 2 (J-P) (4) Gain Code I ¯ (A-H) (5) Identity of buyer/seller (if private transaction)

(2) (1): ValUe .... Type (e~g., Method: : ~ buy, sell, Cod~ 3 : redemption) (Q-W) Sold

137. 138. 139. - Artio Global INVT FDS Intl Equity FD II 140. 141. 142. - Kinetics Mutual FDS Inc Paradigm FD 143. 144. 145. - Market Vector Gold Miners GDX 146. - Pimco Unconstrained Bd Fund CL Institutional 147. 148. - WHV International Equity FD CL 149. 150. - TCW FDS Inc Total Return BD FD 151. - Templeton Global Total Return FD 152. 153. - Templeton Funds Income TR GLB BD Advisor

06/17/10 12/22/10 02/26/10 06/17/10 12/13/10 02/26/10 06/17/10 08/03/10

K M K J K K K L

D E

(part)
Sold

(Par0
Sold

(part)
Sold

(part)
Sold Sold (part) Sold

C D E

(part)
Sold

Buy (add’l) Sold

03/03/10 L 10/27/10 M

C D B A
B E A

Sold (part) Sold (part) Sold
Sold

02/26/10 06/17/10 01/13/10
04/08/10 04/30/10 02/01/10

L K M
K N L

(pan)
Sold Sold

1. lncome Gain C6des: (See Colunms B1 and IM) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$1 ;000 Or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B--$i~001 :$2;500 G =$100,001 - $1,000 000 K =$15,001 -$50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2~50! - $5;000 HI =$1 000,001 ~$5 000i000 L--$50;001 =$100~000 PI =$1,000,00] = $~i000 000 P4 --More ~han $50~000,000 : S ~As~essment : W =EStimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 -$250,000 p2 =$5,000,001 - S25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 14 of 21

N arae of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) Amount Code l ~A-H) (2) Type (e.g~, dive; rent, or int.) Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value MEthod Code 3 (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) Value Code 2 (J-P)

Date mrrddd/yy

(4) Gain Code 1 (A-H)

(Q-W)
154. - Vanguard Inflation Protected Securities FD 155. - Intel Corp Intc

(5) Identity of buyer/seller (if private transaction)

Buy (add’l) Buy Buy Buy (add’l) Buy Buy (add’l) Buy Buy Buy (add’l) Bny Buy (add’l) Buy Buy Buy (add’l) Buy (add’l) Boy Sold (part)

12/31/10 L 08/09/10 04/08/10 12/31/10 01/14/10 03/03/I 0 12/30/10 12/21/10 12/31/10 12/17/10 12/31/10 12/31/10 K K L M L M L K L L M

156. - Fairholme Funds Inc Focused Income Fund 157. 158. - JP Morgan TR Strategic Income Oppty SEL CL 159. 160. - Loomis Sayles FDS I Bond Fund Retail Class 161. - Matthews Intl FD Asian Growth & Income FD 162. 163. - Nuveen Tradewinds Global All Cap FD Instl Sh 164. 165. - Pimco FDS Emerging Local BD FD 166. - Pimco Global Multi Asset FD 167. 168. 169. - Templeton Income TR Global Total Return FD 170.

03/03/10 L 06/28/10 10/27/10 05/03/10 M M N

12/31/10 M

1. lncome Gain 0d~Sl (See Columns B 1 and D4) 2. Value Codes (See Colunms C I and D3) 3. Value Method Codes (See Column C2)

: A: ~$ii000 6r iess: F =$50,00! - $ t00,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

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

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

D =$5,00t - $15,000 H2 =More than $5,000,000 M -$1013,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 15 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (1) (2) Type (e.g., div,, rent, or int.) Amount Code l (A-H) Gross value at end of reporting period (1) (2) Value Code 2 (J-P) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction) Transactions during reporting period

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

171. - Gabelli Gold Natural Resources

Buy Buy Sold (part) Sold Buy
Buy (add’l) Buy (add’l)

06/18/10 K 04/28/I 0 06/18/10 12/14/10 K J K D

172. - Vanguard Whitehall FDS Intl Explorer FD Invs
173. 174. 175. - Dodge & Cox Income FD 176. 177. 178. 179.
180. -Federated Strategic Value Dividend Fund Inst 181.

03/03/10 L
03/30/10 06/29/10 J J J L

Buy 09/29/10 (add’l) Sold 12/13/10

B

Buy Sold E Int./Div. O T
Sold (part) Buy (add’l) Sold (part) Sold (part) Sold (part)

08/24/101 12/13/10

L L D

182. Trust Account # 12 t83. - Fairholme Fund 184. 185. - CGM Focus Fund 186. 187. - Dodge & Cox Intl Stock Fund

02/26/10 08104/10 02/26/10 06117/10 02/26/10i

K K J J K

E

i ifi~rrne Gai~ ~d~gl : (See Columns BI and D4) 2. Value Codes (See Colunms C I and D3) 3. Value Method Codes (See Column C2)

A =$1~000 0r less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

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

C =$2,501-$5,000 H I =$1,000,001 - $5;000,000 L =$50,001 - $ I00,000 P I -$ 1,000,001 - $ 5,000i000 P4 =More than $50,000,000 S -Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5000,000 M =$i00,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 16 of 21

I

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU STS -- income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end .... of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) (1) Type (e.g., buy,;sell; redemption) (2) (3) (4) Date Value mm/dd!yy Code 2 (J-p) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction) Transactions during reporting period

188.

Sold (part) Sold

06/16/10

J

189.

08/23/10

K

190. 191. - Cisco Systems Inc

Buy (add’l)

12/20/10

J

192. - Johnson & Johnson

193. - Artio Global INVT FDS Intl Equity FD II 194.

Sold

(part)
Sold

02/26/10

J

06/16/10

J

(part)
195. Sold 12/13110 K

196. - Kinetics Mutual FDS Inc Paradigm FD
197.

Buy (add’l) Sold (part) Sold

01/04/10

J

02/26/10

J

B A C

198.

(pa~t)
Sold Donated (part) Buy (add’l)

06/16/10

J

199. 200. - Cadence Design Systems Inc 201. - Microsoft Corp 202. - Oracle Corp 203. - Range Resources Corp
204. - Harris Assoc INVT TR Oakmark Global Seletct FD

08/03/10

K

06/15/10

Sold (part)

02/26/10

J

1 lnc0me Gain Codes: (See Colunms B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $ 100,000 3 =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

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

C =$2,501 - $5,000 H l =$ ];000,001 i $5;000;000 L =$50 00l - $100;0012, PI =$1i0001001 ~$5 000 000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H9 =M0~~ tha" $5 000,000 M ~$100,~0i ,$250,000 P2 =$5,000;001 : $25,000,000 T =cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 17 of 21

~ame of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRU S TS- ineo,.e, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
--] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code t (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (1) Type (e.g., buy. sell, redemption) (2) (3) ~ (4) Value Gain ¯ Date mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identityof " buyer/seller (if private ,xansaetiot’0

205. 206. - Harris Assoc 1NVT TR Oakmark Equity & Income FD 207. 208. - Oppenheimer Funds Rochester Natl Mun CL A 209. 210. - WHV International Equity FD 211. 212. - Oppenheimer Limited Term Municipal Fund Class A 213. 214. 215. 216. - Federated Strategic Value Dividend Fund Inst 217. 218. - Wilmington Trust Corp 219. 220. - Matthews lntl FD Asian Growth & Income FD 221. - Nuveen All American Municipal BD FD

Sold Sold (part) Sold (part)

06/16/10 02/26/10 06/16/10

J K J K L J J M K L L K K

A D

(part)

Buy 11/02/10 (add’l) Sold Sold (part) Sold 11/02/10 02/26/10 06/16/10 03/03/I0 10/14/10 11/02/10 12/30/10 08/24/10 12/13/10

D B A

(part)
Buy (add’l) Sold

(part)
Buy (add’l) Sold (part) Buy Sold

A

B

Buy Sold Buy Buy

10/07/10 K 06/17/10 J 12/21 / 10 J 12/31/10 K

1. Income Gain Codes: (See Columns B I arid D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)

A =$1,000 or less F =$50,001- $100,000 J :$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B --$1,00t - $2,500 G =$1001001 - $1,000,000 K =$15,001 : $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

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

D =$5,001 - $15,000 M =$100;001 -$250;000 P2 =$5,000i001 ~ $25~000. 000
T =Cash Market

E =$15,001 - $50,000

m =M~e ~a, ~iooolooo .....

FINANCIAL DISCLOSURE REPORT Page 18 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVES TMENTS and TRU STS - income, v.l.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
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 (2) (I) Amoum Type (e.g., Code 1 div., rent, (A-H) or int.) C. Transactions during reporting period Gross value at end of reporting period (5) (4) (I) (2) (I} (2} (3) Identity Of Value Da~e Val~e Gain Value Type (e.g., buy, sell, : ....... ~rfi/dd/~: C~d~ 2 Code 1 buyer/seller Method Code 2 (if private (A-H) (J-P) Code 3: : redemption) (J=P~ transactionl (Q-W) Buy Buy 12/22/I0 K 12/31/10 K

222. - Nuveen Tradewinds Global All-Cap FD
Instl Sh

223. - Vanguard Municipal Bond Fund High
Yield Port

224. Springside, LLC (2000 - $300,000) 225. Legg Mason Opportunity Trust 226. Middletown Professional Properties, LLC, (2004 o $80,925) 227. Schneider Value Fund 228. Trust # 13 229. - Federated Municipal Ultrashort Fund Institutional Class 230. 231. 232. Trust #14 233. - Du Page Cook & Will Cntys IL Bond 234. - Rhode Island St Economic DV Corp RV Grant 235. - Oaklahoma Cnty Ok Indpt Sch Dist No 89 236. - Milwaukee WI Corp Purp B1 G/O Unltd 237. - University TX Univ Revs Rfdg Fing Sys 238. E A E

None
None

PI

W
Sold 03/03/10 K

Rent None Int.~Div.

L

R Sold Closed Sold 03/17/10 L 04/20/10 J 02/01 / 10 03/16/10 04/20/10
J K K A A A

(part)
Sold (part) Sold lnt./Div. N

Buy (add’l) Sold (part)

03/25/10 03/25/10

L K B

1, lncomeGfiin C6d~S! (See Columns BI and 1)4) 2, Value Codes (See Columns CI and D3) 3, Value Method Codes (See Coluwaa C2)

A --$1i000 or less F =$50,1101 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B=$1,001 - $2,500

G=$too,oot-~,ooo,o00
K =$15,001 -$50,000 O =$500,001 = $1,000,000 R =Cost (Real Estate Only) V =Other

~t =st,oo01oot

C =$2,501 -$5,000

D --$5,001 - $15,000

E =$15,001 - $50,000

L =$50 oo : $1000o0 m =$ Looo,ooi a $5;00o;o0o
P4 =More thao $50;000,000 S =Assessment W =Estimat~

M ~$I00:00~ :~SO;o00 ~=$5 ~0OOl : $25;0oo ooo
: ..... : T ~Cash Market

FINANCIAL DISCLOSURE REPORT Page 19 of 21

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes thbse of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from pr or disclosure B. Income during reporting per od (i) Amount Code 1 (A-H) (2) Type (e.g., div., rent or int ~ .... C. Gross value at end of reporting period (1) Value Code 2 : (J:p) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value r Gain mm/dd/yy Code 2 Code: 1 (J-P) (A-H) (5) Idemity of buyer/seller (if private transaction)

239. - Gwinnett Cnty GA Sch Dist G/O 240. - Tennessee ST Ser A G/O 241. - Maryland St St & Loc FACS LN 2rid Set G/O 242. - Cherokee Cnty GA Sch Sys G/O
243. - Illinois St Toll Hwy Auth Rev SR Priority

244. - New York St Environmental Facs Corp St
245. - Arizona Brd Regents Univ AZ Sys Rev SeJ A

1. lne0me Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)

A =$1,000 0r less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $50~,000 F3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$ii001- $2;500 G =$100,00t - $1,000,000 K =$15,001 -$50;000 O =$500,00! - $1,000,~ R =Cost (Rea! Estate Only) V :Other

C =$2~501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$501001 - $100,000 Pl =$i,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =Mor~ than $5,000,000 M =$!00~001 - $250,000 p2 =$5;000,001- $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 20 of 21

I

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.)
Asset listed in Part VII, Line 226, has rental income from property located in Middletown, DE. This asset was purchased in 2004 for $80,925. Asset listed in Part VII, Line 71 of prior year report, should not have been listed as a part sale. The asset was completely sold in 2010. Asset listed in Part VII, Line 126 - changed from XTO Energy Inc to Exxon Mobil Corp

FINANCIAL DISCLOSURE REPORT Page 21 of 21 IX. CERTIFICATION.

Name of Person Reporting Ambro, Thomas L.

Date of Report 05/10/2011

1 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 nnn-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:

S/Thomas L. Ambro

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

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

Sign up to vote on this title
UsefulNot useful