David Brock Hornby

Fleet Bank accounts — Interest

E*Trade Bank accounts — Interest

GMAC Bank account — Interest

U.S. Savings Bonds — None — 2/

T. Rowe Price Mutual Funds — ITY)

Intemational Stock — Int/Div

Intemational Bond — Int/Div — sell

Tax-free Intermediate — Int/Div — sell

Tax-free High Yield — Int/Div

American Century Investments (mutual funds)

Growth — None

Ultra — None

TIAA-CREF Mutual Funds

Growth & Income — Int/Div

Growth Equity — Int/Div

Vanguard Group Mutual Funds

Asset Allocation Fund — Int/Div

Value Index Fund — Int/Div

The MP63 Fund, Inc. (mutual fund) — Int/Div

Prudential Financial — Int/Div

Brokerage Acct T. Rowe Price

Cash Management Account — Interest

com stk UNUM Provident Corp. — Int/Div

com stk Fairchild Semiconductor Int'l, Inc. — None — part

corn stk Tupperware Corp. — Int/Div

corn stk J P Morgan Chase & Co — Int/Div — buy

corn stk General Electric Co — Int/Div — buy

com stk SBC Communications, Inc — Int/Div — buy

com stk General Motors Com. — Int/Div — buy/sell

IRA Brokerage Acct T. Rowe Price:

Item omitted; below reportable value

com stk Tel-Instrument Electronics Corp. — None

Cash Management Acct — Interest

Iem omitted, below reportable value

adr Delhaize Freres — None — sell

item omitted; below repormable value

Item omitted; below reportable value

com stk 1-800-Flowers.com — None

U.S. Treasury Security, stripped int. pay't — None

com stk LandAmerica Financial Group, Inc — Int/Div — part

comm stk U.S. Bancorp — Int/Div

com stk Intel Corp. — Int/Div

com stk Emerson Radio — None

com stk Motorola, Inc — Int/Div

corm stk Oakley, Inc — Int/Div

com stk LA-Z-BOY, Inc. — Int/Div

com stk Starbucks Corp. — None

corn stk Campbell Soup Co. — Int/Div

com stk Fairchild Semmaconductor int'l, Inc — None

corn stk Inter Active Corp. — None — buy

corm stk Sun Microsystems, Inc — None — ouy

IRA Brokerage Acct T. Rowe Price

Cash Management Acct — Interest

Item omitted; below reportable value

stk Coca Cola

com stk Medtronic Inc. - — Int/Div

Item omitted; below reportable value

Iem omitted; below reportable value

adr Nokia Corp. — Int/Div

com stk Leather Factory, Inc. — None

Developers Diversified Realty REIT preferred Class H* = — Int/Div

com stk Cisco Systems Inc. — None — buy

adr Vodafone Group PLC — Int/Div — buy

com stk Nautilus Group Inc — Int/Div — buy

coin stk Developers Diversified Realty REIT — Int/Div — buy

corn stk SBC Communications; Inc — Int/Div — buy

Pension Plan Acct. TIAA-CREF — Interest

Pension Plan Acct. TIAA-CREF — Interest

Keogh Brokerage Account Value Line:

Value Line Cash Fund, Inc — Int/Div

Value Line Fund, inc — Int/Div

nonvotmy stk Mandel Investment Corp — Int/Div

1/2 unit td. partnership int. in Falls Development Assoc...

1td. real estate partnership purchased 12/30/85; total

of $16,489.50 pd in installments completed 2/10/90 — None

1td. Partnership int. in Miraculous, LLC, Itd. real estate — Int/Div

partnership purchased 2/11/02

Minnesota Life:endowment life — Int/Div

Pruco Life Insurance: Discovery life plus: flexible — None

surance name corrected

Pruco Life Insurance: Variable Appreciable Life

Conservative Balanced Portfolio — None

Flexible Management Portfolio — None

Equity Portfolio — None

AIG SunAmerica Life Assurance Co.; life insurance on — None

EERR) life (inadvenently omitted)

SEEM, Estate Plan: [ am trustee of two immevocable

trusts funded by life insurance. One is funded with

a term policy from Empire General w/fixed premiums. The

other is finded w/policies from MONY Life of Amenca

ona flexible premium where excess premiums are invested

in the following MONY mutual funds:

Growth & Income — None

Internationa) Growth — None

Sraall Company Growth — None

Growth — None

Ltd P'ship #1 (aggregate ownership arrangement) — None — Jartner

Smith Barney Money Funds

com stk Hudson City Bancorp Inc

com stk Peoples Bank Bridgeport, CT

pref stk Dominion Resources Inc.

pref stk Public Storage

pref stk Talisman Energy Inc

corp bond Ford Motor Credit Co. Notes

gov't bond Federal Home Loan Mortgage Corp Bonds

gov't bond Federal Natl Mortgage Ass'n Bonds

muni bond Cottonwood AZ Municipal Bonds

muni bond NJ State Housing Finance Agency Bonds

muni bond NY State Dormitory Auth. Mt. Sinai

muni bond Louisiana Public Facilities Auth.

muni bond VA State Housing Dev. Auth

muni bond Wisconsin State G/O Ref Vets Housing

rnuni bond Clay Cty FL Housing Fin. Auth.

rnuni bond Puerto Rico Public Bldgs Auth.

rnuni bond CA State Var Purp.

muni bond So. Jersey Port Corp.

muni bond Wyandotee Cty Kansas City KS Uni GovtPLT C™,

correction on the nature of the stock

‘Member, Board of Visitors, University of Maine School of Law

Member, Subcommittee on Court Program Design, CPR Judicial Project Advisory Council, CPR Institute for Dispute Resolution

2 Council Member, The American Law Institute

Member, American Law Institute-Amernican Bar Ass'n Comnmuttee on Continuing Legal Education - (see ai..aciec .e..er ca ec

Evaluator for the Graduate Program for Judges, Lo. LC .. \see ail. .acilec ..ec.er ca:ec University of Virginia School of Law ~~ 9/93 /(" “rom t'1e Committee

Reimbursement — American Ass'n for the Advancement of Science — Conference on Neuroscience and the Law 9/11-13/03 in Washington, DC; paid travel, lodging and meal expenses

Reimbursement — The Amenican Law Institute — Council! Meeting in New York City 10/22-25/03; paid travel, lodging and meal expenses

Reimbursement — The American Law Institute — ALI Advisors Meeting on Restitution 9/19-21/03 in St. Louis, MO; paid travel, lodging and meal expenses

Reimbursement — Kenan Institute Asia — Member of Judicial Delegation to Thailand 8/24-29/03; Institute paid travel, lodging and meal expenses

Reimbursement — University of Virginia School of Law — Evaluator for the Graduate Program for Judges 7/24-26/03 in Charlottesville, VA; paid travel, lodging and meal expenses

Reimbursement — The American Law Institute-American Bar Ass'n — Meetings of Committee on Continuing Professional Education 4/24-25/03 in Chicago and 11/13-14/03; paid travel, lodging and meal expenses

Reimbursement — The New York Intellectual Property Law Ass'n, Inc — Annual dinner for federal judiciary in New York City 3/28/03; paid lodging, meal and travel expenses Bn

Income — 10/21/03 — University of Virginia Law School Foundation — AFUE SL ARS, 2,500.00

Spouse's income — Homby Zeller Associates (management consultants to state gov'ts in human services areas) (See Section VIII-Addendum to Section II(B))

Page 2

thesis

The Graduate Program for Judges receives a significant

amount of its funding through a grant from the State Justice

Institute.

One of the conditions of the grant is that the

University of Virginia have an outside evaluation of the program

by a highly qualified reviewer

The evaluation process requires

he reviewer to travel to Charlottesville during each summer for

a period of two or three days each

The evaluator monitors

classes, interviews judges concerning the quality of their

experience, gathers pertinent information from program

administrators, and prepares an interim report following the

first summer and a final report following the second summer.

The

evaluations are.an important part of

the ext grent applicaticn

cycle.

The Graduate Program would reimburse you for all expenses

incurred in traveling to Charlottesville and preparing the

reports

In addition,

evaluators are paid a modest stipend

The Committee concludes that your service as an evaluator is

permissible under the Code of Conduct for United States Judges.

Canon 4 provides that “[a] judge may engage in extra-judicial

activities

o improve the law,

the legal system,

and the

administration of justice.

Specifically, Canon 4A provides that

*[a] judge may speak, write, lecture, teach, and participate in

other activities concerning the law, the legal system, and the

administration of justice.

Clearly, your service as an

evaluator of a graduate program for judges at the University of

There is also

Virginia qualifies as such a permissible activity

nothing inappropriate about the fact that your assessment will be

used by the state to evaluate the program and to make future .

grant decisions

In fact, Canon 4C expressly notes that ™“[a]

judge may make recommendations to public and private fund-

granting agencies on projects and programs concerning the law,

the legal system,

and the administration of justice.”

The Committee also concludes that you may accept the modest

stipend, not because the activity is related to teaching,

but

because the payment does not constitute an honorarium as defined

by the Code

Section 4(a) of the Ethics Reform Act of 1989

provides that

“[n]o judicial officer or employee shall receive

any honorarium while that individual is a judicial officer or

employee.”

Section 4 (b) defines honorarium to mean “a payment of

travel

money or anything of value (excluding or reduced by

expenses as provided in 5 U.S.C. App. §§ 505(3)

and

(4)) for an

speech or article by a judicial officer

appearance,

or employee.”