# Thomas L. Ambro

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/18695

## Record

- **Judge:** Thomas L. Ambro
- **Year:** 2015
- **Report type:** Annual
- **Pages:** 37

## Text

M&T Bank Account — None
M&T Bank Account — None
Trust Account 26 (H)
Harris Assoc Oakmark — Buy (add'l)
Harris Assoc Oakmark — Sold (part)
WF Advantage Municipal Money Market yr
Bank Deposit Sweep (X) — None
IRA Account #21 (H)
First TR Emerging ET Markets Alphadex Fund — Int/Div — Sold (part)
First TR Emerging ET Markets Alphadex Fund — Sold (part)
First TR Emerging ET Markets Alphadex Fund — Buy (add'l)
First TR Emerging ET Markets Alphadex Fund — Buy (add'l)
First TR Emerging ET Markets Alphadex Fund — Sold (part)
First TR Emerging ET Markets Alphadex Fund — Buy (add'l)
First TR Emerging ET Markets Alphadex Fund — Buy (add'l)
First TR Emerging ET Markets Alphadex Fund — Sold (part)
First TR Emerging ET Markets Alphadex Fund — Sold
First TR Enhanced Short Maturity — Int/Div — Sold (part)
First TR Enhanced Short Maturity — Buy (add'l)
First TR Enhanced Short Maturity — Buy (add'l)
First TR Enhanced Short Maturity — Sold (part)
First TR Enhanced Short Maturity — Sold (part)
First TR Enhanced Short Maturity — Sold (part)
First TR Enhanced Short Maturity — Sold (part)
First TR Enhanced Short Maturity — Sold (part)
First TR Enhanced Short Maturity — Sold
First TR Exchange ET Traded Alphadex FD Il Eurozone ETF — None — Sold (part)
First TR Exchange ET Traded Alphadex FD Il Eurozone ETF — Sold (part)
First TR Exchange ET Traded Alphadex FD Il Eurozone ETF — Sold
First Trust ET Financial Alphadex Fund — Int/Div — Sold (part)
First Trust ET Financial Alphadex Fund — Sold (part)
First Trust ET Financial Alphadex Fund — Sold (part)
First Trust ET Financial Alphadex Fund — Buy (add'l)
First Trust ET Financial Alphadex Fund — Buy (add'l)
First Trust ET Financial Alphadex Fund — Sold (part)
First Trust ET Financial Alphadex Fund — Sold
First Trust Utilities Alphadex Fund — None — Sold (part)
First Trust Utilities Alphadex Fund — Sold (part)
First Trust Utilities Alphadex Fund — Sold (part)
First Trust Utilities Alphadex Fund — Sold
First Trust Consumer Discretionary Alphadex Fund — Int/Div — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Sold
First Trust Consumer ET Staples Alphadex Fund — None — Sold (part)
First Trust Consumer ET Staples Alphadex Fund — Buy (add'l)
First Trust Consumer ET Staples Alphadex Fund — Buy (add'l)
First Trust Consumer ET Staples Alphadex Fund — Sold (part)
First Trust Consumer ET Staples Alphadex Fund — Sold (part)
First Trust Consumer ET Staples Alphadex Fund — Sold (part)
First Trust Consumer ET Staples Alphadex Fund — Sold (part)
First Trust Consumer ET Staples Alphadex Fund — Sold
First Trust Technology ET Alphadex Fund — None — Sold (part)
First Trust Technology ET Alphadex Fund — Sold (part)
First Trust Technology ET Alphadex Fund — Sold
Pimco ETF TR Enhanced Short Term Maturity — Int/Div — Buy
Pimco ETF TR Enhanced Short Term Maturity — Buy (add'l)
Pimco ETF TR Enhanced Short Term Maturity — Sold (part)
Pimco ETF TR Enhanced Short Term Maturity — Buy (add'l)
Pimco ETF TR Enhanced Short Term Maturity — Buy (add'l)
Pimco ETF TR Enhanced Short Term Maturity — Sold (part)
Pimco ETF TR Enhanced Short Term Maturity — Sold
First TR United Kingdom Alphadex Fund — Int/Div — Buy
First TR United Kingdom Alphadex Fund — Sold (part)
First TR United Kingdom Alphadex Fund — Buy (add'l)
First TR United Kingdom Alphadex Fund — Buy (add'l)
First TR United Kingdom Alphadex Fund — Sold
First TR Japan Alphadex Fund — Int/Div — Buy
First TR Japan Alphadex Fund — Sold (part)
First TR Japan Alphadex Fund — Sold (part)
First TR Japan Alphadex Fund — Buy (add'l)
First TR Japan Alphadex Fund — Sold
First TR Energy Alphadex Fund — Int/Div — Buy
First TR Energy Alphadex Fund — Buy (add'l)
First TR Energy Alphadex Fund — Sold
First TR Switzerland E17 Alphadex FD — Int/Div — Buy
First TR Switzerland E17 Alphadex FD — Sold
First TR Canada Alphadex Fund — Int/Div — Buy
First TR Canada Alphadex Fund — Sold
First TR Health Care Alphadex Fund — None — Buy
First TR Health Care Alphadex Fund — Sold
IRA Account 22 (H)
Fairholme Fund — Int/Div
WHV Intemational Equity FD CL — Int/Div
Dodge & Cox Intl Stock FD — Int/Div
Federated Strategic Value Dividend FD — Int/Div
Natixis fds TR Oakmark Intl FD — Int/Div
Brandes Invt TR Inst] Emerging Mkts FD — Int/Div
Matthews Asia Dividend FD — Int/Div
Primecap Odyssey FDS Aggressive Growth FD — Int/Div
Virtus Opportunities Trust — None — Sold
Pimco Equity SER — Int/Div
Neuberger Berman Alternative FDS — Int/Div
Primecap Odyssey Growth — Int/Div — Sold (part)
Virtus Emerging Markets Opportunities Fund — Int/Div
JP Morgan TR Strategic Inocme Opportunity — Int/Div
Nuveen luvt FDS Inc Real Asset Income FD — Int/Div — Sold (part)
Pimeco All Asset Fund Inst CL — Int/Div — Sold
Arbitrage FD CL — None — Sold
Dodge & Cox Stock FD — Int/Div
Dodge & Cox Income FD — Int/Div — Buy (add'l)
Doubleline FDS TR Total Return BD FD — Int/Div
Harris Assoc Inve TR Oakmark Global Select FD — Int/Div — Buy
Harris Assoc Inve TR Oakmark Global Select FD — Sold (part)
Harris Assoc Inve TR Oakmark Global Select FD — Sold (part)
Trust Account £12 (H)
Fairtholme Fund — Int/Div
WHV Intemational Equity FD — None — Sold
Federated Strategic Value Dividend Fund Inst! — None — Sold
Brandes Invt TR Inst Emerging Mkts FD — None — Sold
Dodge & Cox Intl Stock FD — Int/Div
Matthews Asia Dividend FD — Int/Div
Nantxis FDS TR 1 Oakmark Intl FD CL A — Sold
Primecap Odyssey FDS Aggressive Growth FD — Int/Div
Virtus Opportunities Trust — None — Sold
Pimco Equity SER — None — Sold
Neuberger Berman Alternative FDS — None — Sold
Virtus Emerging Markets Opportunities FD — None — Sold
Primecap Odyssey Growth — None — Sold (part)
Primecap Odyssey Growth — Sold
JP Morgan TR Strategic Income Opportunity — None — Sold
Nuveen Invt FDS Inc Real Asset Income — Int/Div — Sold
Pimco All Asset Fund Inst] CL — None — Sold
Arbitrage FD — None — Sold
Dodge & Cox Stock Fund — Int/Div
Dodge & Cox Income Fund — None — Sold
Doubleline FDS TR Total Returm BD FD — None — Sold
Bank Deposit Sweep (x) — Interest
Springside, LLC (2000 - $300,000, 2012 £20,123) — Rent
Middletown Professional Properties, LLC (2004 - $80,925) — Rent
Trust £15 (H)
Johnson & Johnson — Int/Div
Microsoft Corp — Int/Div
Range Resources Corp — Int/Div
Rex Energy Corp — None — Buy (add'l)
Rex Energy Corp — Buy (add'l)
Fairholme FDS Inc — Int/Div
Brown Cap Mgmt Mutual FDS Small Co Fund — Int/Div
Vanguard Specialized Portfolios Energy Port Investor — Int/Div — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Vanguard Specialized Portfolios Energy Port Investor — Buy (add'l)
Medley Capital Corp — Int/Div
Pennantpark Investment Corp — Int/Div
Prospect Capital Corp — Int/Div
BP Plc Spons ADR — Int/Div
National Oil Well Varco Ing — Int/Div
Enterprise Products Partners — None
Plains GP Holdings LP — Int/Div
Weatherford International PLC — None
BHP Billiton LTF Spon ADR — Int/Div — Buy
Cabot Oil & Gas — Int/Div — Buy
Chesapeake Energy Corp — None — Buy
Rio Tinto PLC Spon ADR — Int/Div — Buy
South32 LTD Spon — None — Buy
Natixis FDS TR II Vaughan Nelson Select FDCLY — Int/Div — Buy
Natixis FDS TR II Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR II Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR II Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR II Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR II Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis Funds Trust II Vaughan Nelson Value Class Y — Int/Div — Buy
IRA #3 (H)
Devon Energy Corp — Int/Div
Exxon Mobil Corp — Int/Div
Brown Cap Mgmt Mut FDS Small Co Fund Inv — Int/Div
Fairholme FDS Inc — Int/Div
Harris Assoc lnvt TR Oukmark Global Select FD — Int/Div — Buy (add'l)
Harris Assoc lnvt TR Oukmark Global Select FD — Sold (part)
Professionally Manged Portfolio CL Inst] Hodges Small Cap — Int/Div
Matthews Intl FD Asian Growth & Income FD — Int/Div — Sold (part)
Matthews Intl FD Asian Growth & Income FD — Sold (part)
Matthews Intl FD Asian Growth & Income FD — Sold (part)
Virtus Opportunities Trust - Virtus Synamic Alphasector FD — Sold
Rex Energy Corp — None
Marine Harvest ASA Sponsored ADR — Int/Div
Knot Offshore Partners LP — None — Buy
Knot Offshore Partners LP — Buy (add'l)
Knot Offshore Partners LP — Buy (add'l)
Knot Offshore Partners LP — Buy (add'l)
Vanguard Specialized Energy FD Admiral Shares — Int/Div — Buy
Trust 216 (H)
Apollo Investment Corp — Int/Div
Blackrock Kelso Capital Corp — Int/Div
Prospect Capital Corp — Int/Div
Whitestone Reit — Int/Div — Sold
American Capital Mortgage Investment Corp — Int/Div — Sold
Fifth Street Finance Corp — Int/Div
Independence Realty TR Inc — Int/Div — Sold
iShares Mortgage Real Estate — Int/Div — Sold
Medley Capital Corp — Int/Div
Penmantpark Investment Corp — Int/Div
TICC Capital Corp — Int/Div
Proshares Trust Ultrashort S&P S00 — None — Sold (part)
Proshares Trust Ultrashort S&P S00 — Sold
CYS Investments Inc — Int/Div — Sold
Sector SPDR TR Technology Select Sector — Int/Div — Sold
Proshares Short S&P S00 — None — Buy (add'l)
Proshares Short S&P S00 — Sold (part)
Proshares Short S&P S00 — Sold (part)
Proshares Short S&P S00 — Sold
Two Harbors Invt Corp — Int/Div — Sold
iShares U.S. Telecommunications — Int/Div — Sold
iShares North Amiercan Tech-Multimedia Networking — Int/Div — Sold
Market Vectors Trust Semiconductor — None — Sold
Market Vectors Gold ETF Miners — None — Sold
Financial Select Sector SPDR — Int/Div — Sold
Industrial Select Sector SPDR — Int/Div — Sold
Select Sector SPDR TR Consumer Staples — Int/Div — Sold
Select Sector SPDR FD Health Care — Int/Div — Sold
SPDR S&P Oil & Gas Equipment & Services — Int/Div — Sold
Spider S&P Intl Telecom Sector — Int/Div — Sold
Senior Housing Prop TR REIT — Int/Div — Sold (part)
Senior Housing Prop TR REIT — Sold
Proshares Trust Ultrashort QQQ New — None — Sold (part)
Proshares Trust Ultrashort QQQ New — Sold (part)
Proshares Trust Ultrashort QQQ New — Sold (part)
Proshares Trust Ultrashort QQQ New — Buy (add'l)
Proshares Trust Ultrashort QQQ New — Sold
Invesco Mortgage Cap Inc — Int/Div — Sold
Fifth Street Senior FLTG Rate Corp — Int/Div — Sold
SPDR S&P Intemational ETF — Int/Div — Sold
SPDR Dow Jones INDL ETF — Int/Div — Sold
Powershares FD TR II ETF CEF Incm Composite Port — Int/Div — Sold
Proshares Trust Ultrashort 20+ Year — None — Buy
Proshares Trust Ultrashort 20+ Year — Sold (part)
Proshares Trust Ultrashort 20+ Year — Buy (add'l)
Proshares Trust Ultrashort 20+ Year — Sold
Bank Deposit Sweep (X) — None
Trust £17 (H)
American Capital Mortgage Investment Corp — Int/Div — Sold
Apollo Investment Corp — Int/Div — Sold
Blackrock Kelso Capital Corp — Int/Div — Sold
Fifth Street Finance Corp — Int/Div — Sold
Independence Realty TR Inc — Int/Div — Sold
iShares Mortgage Real Estate — Int/Div — Sold
Medley Capital Corp — Int/Div — Sold
Pennantpark Investment Corp — Int/Div — Sold
Proshares Short S&P S00 — None — Buy (add'l)
Proshares Short S&P S00 — Sold (part)
Proshares Short S&P S00 — Sold (part)
Proshares Short S&P S00 — Sold
Proshares Trust Ultrashort 20+ Year Treasury — None — Buy (add'l)
Proshares Trust Ultrashort 20+ Year Treasury — Sold (part)
Proshares Trust Ultrashort 20+ Year Treasury — Sold
Prospect Capital Corp — Int/Div — Sold
SPDR S&P Intemational EF Dividend — Int/Div — Sold
TICC Capital Corp — Int/Div — Sold
Two Harbors Invt Corp — Int/Div — Sold
Whitestone REIT — Int/Div — Sold
CYS Investments Inc — Int/Div — Sold
Sector SPDR TR Technology Select Sector — Int/Div — Sold
Proshares Trust Ultrashort QUNQ — None — Sold (part)
Proshares Trust Ultrashort QUNQ — Sold (part)
Proshares Trust Ultrashort QUNQ — Sold (part)
Proshares Trust Ultrashort QUNQ — a
Proshares Trust Ultrashort QUNQ — Sold
iShares U.S. Telecommunications — Int/Div — Sold
iShares North American Tech-Multimedia Networking — Int/Div — Sold
Market Vectors Trust ETF Semiconductor — None — Sold
Market Vectors Trust Gold ETF Miners — None — Sold
Financial Select Sector SPDR — Int/Div — Sold
Industrial Select Sector SPDR — Int/Div — Sold
Select Sector SPDR TR Consumer Staples — Int/Div — Sold
Select Sector SPDR FD Health Care — Int/Div — Sold
SPDR S&P Oil & Gas ETF Equipment & Services — Int/Div — Sold
Spader S&P Intl Telecomm Sector — Int/Div — Sold
Senior Housing Prop TR REIT — Int/Div — Sold
Invesco Mortgage Cap Inc — Int/Div — Sold
Fifth Street Semor FLTG Rate Corp — Int/Div — Sold
SPDR Dow Jones Indl ETF — Int/Div — Sold
Powershares FD TR Il ETF CEF Incm Composite — Int/Div — Sold
Proshares Trust Ultrashort S&P S00 New — None — Buy
Proshares Trust Ultrashort S&P S00 New — Buy (add'l)
Proshares Trust Ultrashort S&P S00 New — Buy (add'l)
Proshares Trust Ultrashort S&P S00 New — Buy (add'l)
Proshares Trust Ultrashort S&P S00 New — Sold
IRA 45 (H)
First Trust Financial Alphadex Fund — Int/Div — Sold (part)
First Trust Financial Alphadex Fund — Sold (part)
First Trust Financial Alphadex Fund — Buy (add'l)
First Trust Financial Alphadex Fund — Buy (add'l)
First Trust Financial Alphadex Fund — Sold (part)
First Trust Financial Alphadex Fund — Sold
First Trust Technoloty ETF Alphadex Fund — None — Buy (add'l)
First Trust Technoloty ETF Alphadex Fund — Sold
First TR Emerging Markets Alphadex Fund — Int/Div — Buy (add'l)
First TR Emerging Markets Alphadex Fund — Buy (add'l)
First TR Emerging Markets Alphadex Fund — Sold (part)
First TR Emerging Markets Alphadex Fund — Buy (add'l)
First TR Emerging Markets Alphadex Fund — Sold (part)
First TR Emerging Markets Alphadex Fund — Buy (add'l)
First TR Emerging Markets Alphadex Fund — Sold
First Trust Consumer Staples Alphadex Fund — None — Buy (add'l)
First Trust Consumer Staples Alphadex Fund — Buy (add'l)
First Trust Consumer Staples Alphadex Fund — Sold (part)
First Trust Consumer Staples Alphadex Fund — Sold (part)
First Trust Consumer Staples Alphadex Fund — Sold (part)
First Trust Consumer Staples Alphadex Fund — Sold (part)
First Trust Consumer Staples Alphadex Fund — Sold
First Trust LUulities Alphadex Fund — None — Buy (add'l)
First Trust LUulities Alphadex Fund — Sold (part)
First Trust LUulities Alphadex Fund — Sold (part)
kil} — Sold
First Trust Consumer Discretionary Alphadex Fund — Int/Div — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Buy (add'l)
First Trust Consumer Discretionary Alphadex Fund — Sold (part)
First Trust Consumer Discretionary Alphadex Fund — Sold
First TR Switzerland Alphadex Fund — Int/Div — Buy
First TR Switzerland Alphadex Fund — Sold
First TR United Kingdom Alphadex Fund — Int/Div — Buy
First TR United Kingdom Alphadex Fund — Sold (part)
First TR United Kingdom Alphadex Fund — Buy (add'l)
First TR United Kingdom Alphadex Fund — Buy (add'l)
First TR United Kingdom Alphadex Fund — Sold
First TR Exchange Traded Alphadex Furozone — None — Sold (part)
First TR Exchange Traded Alphadex Furozone — Sold
First TR Enhanced Short Maturity FD — Int/Div — Buy (add'l)
First TR Enhanced Short Maturity FD — Buy (add'l)
First TR Enhanced Short Maturity FD — Buy (add'l)
First TR Enhanced Short Maturity FD — Sold (part)
First TR Enhanced Short Maturity FD — Sold (part)
First TR Enhanced Short Maturity FD — Sold (part)
First TR Enhanced Short Maturity FD — Sold (part)
First TR Enhanced Short Maturity FD — Sold (part)
First TR Enhanced Short Maturity FD — Sold
Newpark Resources Inc Conv SR — Int/Div — Buy
M/I Homes Inc Conv SR — None — Buy
Helix Energy Solutions Conv SR — Int/Div — Buy
Redwood TR Inc Conv SR — Int/Div — Buy
Broadsoft Inc Conv SR — None — Buy
Blackstone Mortgage TR Conv SR — Int/Div — Buy
Finisar Corp Conv SR — Int/Div — Buy
KB Home Conv SR — Int/Div — Buy
Apollo Commrl Real Esate Fl Conv SR — Int/Div — Buy
Apollo Commrl Real Esate Fl Conv SR — Buy (add'l)
Ryland Group Conv Senior notes — Int/Div — Buy
New Mountain Finance Cor Cony SR — Int/Div — Buy
Hombeck Offshore Serv Conv SR — Int/Div — Buy
ANI Pharmaceuticals Inc Con SR — Int/Div — Buy
TPG Speciality Lending In Con SR — Int/Div — Buy
Evestmet Inc Conv — Int/Div — Buy
TCP Capital Corp Conv SR — Int/Div — Buy
Resource Capital Corp Conv SR — None — Buy
Echo Global Logistics Conv SR — Int/Div — Buy
Echo Global Logistics Conv SR — Buy (add'l)
Pennymic Corp Conv SR — Int/Div — Buy
Sandisk Corp Conv SR — Int/Div — Buy
Seacor Holdings Inc Conv SR — Int/Div — Buy
Seacor Holdings Inc Conv SR — Buy (add'l)
Colony Capital Inc Con SR — None — Buy
Goldman Sachs Group — None — Buy
Encore Capital Grp Inc Cony — Int/Div — Buy
National Health Investor Cony SR — Int/Div — Buy
Sunpower Corp Conv SR — Int/Div — Buy
J2 Global Communications Conv SR — Int/Div — Buy
Atlas Air Worldwind Hidg Conv SR — Int/Div — Buy
Atlas Air Worldwind Hidg Conv SR — Buy (add'l)
UBS AG London Conv SR Callable Bond — None — Buy
Barclays Bank PLC Convertible Notes LKD To CMN STK Intl — None — Buy
Barclays Bank PLC Conv Medium Term Notes Conv Lokd to Bacr — None — Buy
Barclays Bank PLC Medium Term Notes CPN — None — Buy
Barclays Bank PLC Medium Term Notes CPN — Sold
Pimco ETF Trust Enhanced Short Maturity FD — Int/Div — Buy
Pimco ETF Trust Enhanced Short Maturity FD — Sold
Pimco ETF Trust Enhanced Short Maturity FD — Buy
Pimco ETF Trust Enhanced Short Maturity FD — Buy (add'l)
Pimco ETF Trust Enhanced Short Maturity FD — Sold (part)
Pimco ETF Trust Enhanced Short Maturity FD — Sold
First Trust Japan Alphadex FD — Int/Div — Buy
First Trust Japan Alphadex FD — Sold (part)
First Trust Japan Alphadex FD — Buy (add'l)
assy — Sold (part)
assy — Sold
First Trust Energy ETF Alphadex Fund — Int/Div — Buy
First Trust Energy ETF Alphadex Fund — Buy (add'l)
First Trust Energy ETF Alphadex Fund — Sold
First Trust Canada Alphadex Fund — Int/Div — Buy
First Trust Canada Alphadex Fund — Sold
First Trust Health Career TF Alphadex FD — None — Buy
First Trust Health Career TF Alphadex FD — Sold
Acorda Therapeutics Inc Conv SR — None — Buy
Acorda Therapeutics Inc Conv SR — Sold
Royal Gold Inc Conv SR — None — Buy
Royal Gold Inc Conv SR — Sold
PMC Family LLC — Rent
The Sequoia Fund — Int/Div — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
The Sequoia Fund — Buy (add'l)
Trust 21% (H)
Bank Deposit Sweep — Interest — Open
Gwinnett Caty GA WRT & SWR Auth Rev CPN — None — Buy
Gwinnett Caty GA WRT & SWR Auth Rev CPN — Buy (add'l)
Mc Kinney TX RFDG C/O LTD — Interest — Buy
West Wilson Util Dist TN WTR WKS Rev — Interest — Buy
Montana ST BRD Regents High Ed Rev — Interest — Buy
West VA ST 1991 and Subsequent Maturities RFDG — Interest — Buy
Ocean Cnty NJ RFDG SER A G/O Unl TD — None — Buy
Port Seattle WA REV RFDG Inter Ser a — Interest — Buy
Metropolitan Transn Auth NY Rey — Interest — Buy
New York NY City Transtal Fin Auth Bldg Aid Rev — None — Buy
New Mexico Fin Auth Rev SR Lien Pub Proj Rvlvng FD Ser C — Interest — Buy
New York ST Envmnt] Facs Corp Rev ST Ser D — None — Buy
Central Puget Sound WA Regl Tran Auth Sales & Use Tax Rev — Interest — Buy
New York ST Dorm Uth Revs Non ST Supported Debt CPN — None — Buy
Idaho Hlth Facs Suth Rev Trinity Health CR Grp — Interest — Buy
Trust £19 (H)
Bank Deposit Sweep — None — Open
First TR Global Tactical Commodity Strategy FD — None — Buy
First TR Global Tactical Commodity Strategy FD — Sold (part)
iShares Russell 1000 Value FD — Int/Div — Buy
iShares Core S&P 500 Index FD — Int/Div — Buy
iShares Core S&P 500 Index FD — Buy (add'l)
SPDR S&P Intl Small Cap — Int/Div — Buy
Vanguard FTSE Developed Markets ETF — Int/Div — Buy
Vanguard FTSE Developed Markets ETF — Sold (part)
Vanguard INTL Equity Index FDS FTSE Emerging MKTS — Int/Div — Buy
Vanguard INTL Equity Index FDS FTSE Emerging MKTS — Buy (add'l)
Vanguard Mid Cap — Int/Div — Buy
Vanguard REIT — Int/Div — Buy
Vanguard Small Cap Value VBR — Int/Div — Buy
Vanguard Small Cap VB — Int/Div — Buy
Vanguard Total Bond Market BND — Int/Div — Buy
IRA #6 (H)
Invesco Global Real Estate — Int/Div — Buy
Invesco Global Real Estate — Buy (add'l)
Deutsche Secs TR Enhanced commodity Strat FD Inst] Class — None — Buy
Columbia Select Large Cap Growth Fund CLZ — Int/Div — Buy
Columbia Select Large Cap Growth Fund CLZ — Sold (part)
Eaton Vance Mutual FDS Trust Global Macro Absit Return Advig FD — Int/Div — Buy
Eaton Vance Mutual FDS Trust Global Macro Absit Return Advig FD — Sold (part)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — None — Buy
John Hancock FDS 11 Global Absolute Return Strategies FD CL 1 — Int/Div — Buy
Hotchkis & Wiley FDS Mid Cap Value FD CL — Int/Div — Buy
John Hancock Funds II Absolute Return Currency FDCL 1 — None — Buy
John Hancock Funds II Absolute Return Currency FDCL 1 — Sold (part)
Aberdeen Total Return Bnd Fund CL — Int/Div — Buy
Aberdeen Total Return Bnd Fund CL — Buy (add'l)
MFS Ser TR Value FD — Int/Div — Buy
MFS Ser TR Value FD — Sold (part)
MFS Ser TR X Emerging Mkts Debt FD CL — Int/Div — Buy
JP Morgan TR US Large Cap Core Plus FD SEL CL — Int/Div — Buy
JP Morgan TR US Large Cap Core Plus FD SEL CL — Sold (part)
Neuberger Berman Alternative FDs Long Short FD Inst! CL — Int/Div — Buy
Neuberger Berman Alternative FDs Long Short FD Inst! CL — Buy (add'l)
Amencan Europacific Growth FU CL F2 — Int/Div — Buy
Amencan Europacific Growth FU CL F2 — Buy (add'l)
Investment Managers SER TR Oak Ridge Small CP Growth FD CL 1 — Int/Div — Buy
Investment Managers SER TR Oak Ridge Small CP Growth FD CL 1 — Sold (part)
Oppenheimer Dev Mkts CL Y — Int/Div — Buy
Oppenheimer Dev Mkts CL Y — Buy (add'l)
Oppenhiemer Intl BD FD CL Y — Int/Div — Buy
Principal FDS Inc High Yield FD Inst] CL — Int/Div — Buy
Principal FDS Inc High Yield FD Inst] CL — Buy (add'l)
Victory Sycamore Small Co Oppty FD CL 1 — Int/Div — Buy
Arbitrage FD CL 1 — None — Buy
Arbitrage FD CL 1 — Sold
Brandes Invt TR Inst] Emerging Mkts FD — Int/Div — Buy
Brandes Invt TR Inst] Emerging Mkts FD — Sold
Dodge & Cox STK FD — Int/Div — Buy
Dodge & Cox STK FD — Sold
Dodge & Cox Income FD — Int/Div — Buy
Dodge & Cox Income FD — Buy (add'l)
Dodge & Cox Income FD — Sold
Dodge & Cox FDS Intl STK FD — None — Buy
Dodge & Cox FDS Intl STK FD — Sold
Federated Equity FDS Strategic Value Dividend FD Inst] — Int/Div — Buy
Federated Equity FDS Strategic Value Dividend FD Inst] — Sold
Harris Assoc lnvt TR Oukmark Select FD Ll — None — Buy
Harris Assoc lnvt TR Oukmark Select FD Ll — Sold
JP Morgan TR Strategic Income Oppty Sel CL — Int/Div — Buy
JP Morgan TR Strategic Income Oppty Sel CL — Sold
Matthews Intl FD Asian Growth & Income FD Investor Class — Int/Div — Buy
Matthews Intl FD Asian Growth & Income FD Investor Class — Sold
Natixis FDS TR 1 Oakmark Intl FD — Int/Div — Buy
Natixis FDS TR 1 Oakmark Intl FD — Sold
Nuveen luvt FDS Inc Real Asset Income FDCL1 — Int/Div — Buy
Nuveen luvt FDS Inc Real Asset Income FDCL1 — Sold
WHYV Intemational Equity FD CL — None — Buy
S00. — Sold
Virtus Emerging Markets Opportunities FNDCL1 — None — Buy
Virtus Emerging Markets Opportunities FNDCL1 — Sold
Pimco Equity SER EQS Long/Short FD CLP — None — Buy
Pimco Equity SER EQS Long/Short FD CLP — Sold
Pimco All Asset FND Inst CL — Int/Div — Buy
Pimco All Asset FND Inst CL — Sold
Primecap Odyssey Growth — None — Buy
Primecap Odyssey Growth — Sold
Vanguard Specialized Portfolios Energy Port Investor CL — None — Buy
S510. — Sold
Virtus Opportunities Trust Dynamic Alphasector FD CL — None — Buy
Virtus Opportunities Trust Dynamic Alphasector FD CL — Sold
Doubleline FDS TR Total Return BD FD — Int/Div — Buy
S14. — Sold
Pimeo FDS Pac Invt Mgmt SER Commaodiv Real Retum Strat FD Inst] CL — Int/Div — Buy
Pimeo FDS Pac Invt Mgmt SER Commaodiv Real Retum Strat FD Inst] CL — Sold
Pimeo FDS PAC Invt Mgmt SER Diversified Income FD Inst] CL — Int/Div — Buy
S18. — Sold
Trustee, Thomas L. Ambro Revocable Trust
Member (Ementus), Georgetown Lmiversity Alumni Admissions Program Board of Advisors
Member, Georgetown University Northern Delaware Alumni Admissions Program
Member, Board of Editors, Delaware Lawver
Member, Executive Committee, National Bankruptcy Conference
Member (Emeritus), TriBar Legal Opinion Committee
Member, Advisory Board, Penn Institute for Restructuring Studies
Member, Advisory Board, Working Group on Legal Opimons Foundation
Liability — TD, Bank NA — Limited guaranty of commercial loan to Springside, LLC (Part VII, Line 133)
Liability — TD, Bunk NA — Limited guaranty of commercial loan to Springside, LLC (Part VII, Line 133)
Liability — TD, Bank N.A — Limited guaranty of commercial loan to Springside, LLC {Part VII, Line 133)
Liability — PNC Bank, NA — Non-Resourse Guaranty and Suretyship Agreement (Part VII, Line 134)
Reimbursement — American Inns of Court — March 29-April 1, 2015 — Washington, DC — Speaker and Guide to UK Judicial Assistants — Transportation
Reimbursement — Georgetown University — July 7-8, 2015 — Washington, DX — Teaching Class Preview — Transportation
Reimbursement — Georgetown University — September 14, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — American Bar Association — September 16-17 2018 — Washmgton, DX — Section of Business Law CLE Program Panelist — Iransportation, Lodging
Reimbursement — Georgetown University — September 20-21 2015 — Washmgton, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — October 8-9, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — October 25-26, 2015 — Washmgton, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — November 1-2, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — November 9, 2015 — Washington, IX — Teaching Class — Transportation
Reimbursement — Georgetown University — November 15-16, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — November 22-23, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown Umversity — November 29-30, W015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — December 4, 2015 — Washington, DC — Feaching Class — Transportation
Reimbursement — Georgetown University — December 6-7, 2015 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — December 10-11, 2015 — Washmgton, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — December 17-18, 2015 — Washmgton, DC — Teaching Class — Transportation
Income — 2015 — Georgetown University - teaching — S6.000.00)
Asset listed in Part VII, Line 134, has rental income from property located in Middletown, DE. This asset was purchased in 2004 for $80,925.

Asset listed in Part VII, Line 133, has rental income from property located in Newark, DE.

Asset listed in Part VII, Line 396, has rental mcome from property located in New Castle County, DE.

Assets listed in Part VII, lines 245, 585 of the prior year report, should have been listed as Sold not Sold (part). The assets were completely sold in 2014.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/18695. Public record. Not legal advice.