# Thomas L. Ambro

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/28383

## Record

- **Judge:** Thomas L. Ambro
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 25

## Text

IRA #6 (H)
M&T Bank Account — None
M&T Bank Account — None
Trust Account 26 (H)
Harris Assoc Oakmark — Int/Div — Sold (part)
Harris Assoc Oakmark — Sold (part)
Harris Assoc Oakmark — Sold (part)
Wells Fargo Bank, NA. Bank Deposit Sweep — None
IRA Account 22 (H)
Fairholme Fund — Int/Div — Buy (add'l)
Fairholme Fund — Sold (part)
WHV Intemational Equity FD CL — None — Sold
Dodge & Cox Intl Stock FD — Int/Div — Sold (part)
Dodge & Cox Intl Stock FD — Sold (part)
Federated Strategic Value Dividend FD — Int/Div — Sold (part)
Federated Strategic Value Dividend FD — Buy (add'l)
Federated Strategic Value Dividend FD — Sold (part)
Federated Strategic Value Dividend FD — Sold (part)
Natixis FDS TR 1 Qakmark Intl FD — Int/Div — Sold (part)
Natixis FDS TR 1 Qakmark Intl FD — Sold (part)
Brandes Invt TR Inst] Emerging Mkts FD — Int/Div — Sold (part)
Brandes Invt TR Inst] Emerging Mkts FD — Sold (part)
Matthews Asia Dividend FD — Int/Div — Sold (part)
Matthews Asia Dividend FD — Sold (part)
Pnmecap Odyssey FDS Aggressive Growth FD — Int/Div — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Sold (part)
Pimco Equity SER — Int/Div — Buy (add'l)
Pimco Equity SER — Sold (part)
Neuberger Berman Alternative FDS — None — Buy (add'l)
Neuberger Berman Alternative FDS — Sold (part)
Prmecup Odyssey Growth — Int/Div — Sold (part)
Prmecup Odyssey Growth — Sold (part)
Virtus Emerging Markets Opportumties Fund — Int/Div — Sold (part)
Virtus Emerging Markets Opportumties Fund — Sold (part)
JP Morgan TR Strategic Income Opportunity — Int/Div — Sold (part)
JP Morgan TR Strategic Income Opportunity — Sold (part)
Nuveen luvt FDS Inc Real Asset Income FD — None — Sold
Dodge & Cox Stock FD — Int/Div — Sold (part)
Dodge & Cox Stock FD — Sold (part)
Dodge & Cox Income FD — Int/Div — Sold (part)
Dodge & Cox Income FD — Sold (part)
Doubleline FDS TR Total Return BD FD — Int/Div — Buy (add'l)
Doubleline FDS TR Total Return BD FD — Sold (part)
Harris Assoc Invt TR Oakmark Global Select FD — Int/Div — Sold (part)
Harris Assoc Invt TR Oakmark Global Select FD — Sold (part)
Harris Assoc Invt TR Oakmark Global Select FD — Sold (part)
Harris Assoc Invt TR Oakmark Global Select FD — Sold (part)
Federated Equity FDS Intl Strategic Value Div FD — Int/Div — Buy
Saratoga Advantage TR James Alpha Gibl Real Estate Invst — Int/Div — Buy
Saratoga Advantage TR James Alpha Gibl Real Estate Invst — Buy (add'l)
Lord Abbett Investment TR Short Duration Income — Int/Div — Buy
Lord Abbett Investment TR Short Duration Income — Buy (add'l)
Lord Abbett Investment TR Short Duration Income — Sold (part)
Lord Abbett Investment TR Short Duration Income — Sold (part)
T Rowe Price New Era Fund — Int/Div — Buy
T Rowe Price New Era Fund — Sold (part)
T Rowe Price New Era Fund — Sold (part)
T Rowe Price New Era Fund — Buy (add'l)
Steelpath MLP FDS TR Oppenheimer — Int/Div — Buy
Steelpath MLP FDS TR Oppenheimer — Sold (part)
Artisan Partners FDS Ine Global Value FD Adv — Int/Div — Buy
Artisan Partners FDS Ine Global Value FD Adv — Buy (add'l)
Artisan Partners FDS Ine Global Value FD Adv — Sold (part)
Trust Account £12 (H)
Fairholme Fund — Int/Div — Buy (add'l)
Fairholme Fund — Buy (add'l)
Fairholme Fund — Sold (part)
Dodge & Cox Intl Stock FD — Int/Div — Sold (part)
Matthews Asia Dividend FD — Int/Div — Sold (part)
Pnmecap Odyssey FDS Aggressive Growth FD — Int/Div — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Pnmecap Odyssey FDS Aggressive Growth FD — Buy (add'l)
Dodge & Cox Stock Fund — Int/Div — Sold (part)
Wells Fargo Bank, N.A. Bank Deposit Sweep — Interest
Saratoga Advantage TR James Alpha Glbl Real Estate — Int/Div — Buy
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Int/Div — Buy
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Buy (add'l)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Pimco Multi-MGR Short Duration Muni Ine Fund Inst CL — Sold (part)
Midcoast Energy Partners LP — Distribution — Buy
Midcoast Energy Partners LP — Distnibuted
USA Compression Partners LP — Distribution — Buy
USA Compression Partners LP — Distnbuted
Springside, LLC (2000 - $300,000, 2012 20.123) — Rent
97 — Interest
Middletown Professional Properties, LLC (12004 - $S80.925) — Rent
Trust £15(H)
Johnson & Johnson — Int/Div
Microsoft Corp — Int/Div
Range Resources Corp — Int/Div
Rex Energy Corp — None
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)
Medley Capital Corp — Int/Div
Pennantpark Investment Corp — None — Sold
Prospect Capital Corp — None — Sold
BP Plc Spons ADR — Int/Div — Sold
National Oil Well Varco Ing — Int/Div
Esterprise Products Partners — istnbution
Plains GP Holdings LP — Distribution
Weatherford International PLC — None
BHP Billiton LTF Spon ADR — Int/Div
Cabot Oil & Gas — Int/Div — Buy (add'l)
Cabot Oil & Gas — Sold (part)
Cabot Oil & Gas — Buy (add'l)
Chesapeake Energy Corp — None — Sold
Rio Tinto PLC Spon ADR — Int/Div
South32 LTD Spon — Int/Div
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Int/Div — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis FDS TR Il Vaughan Nelson Select FDCLY — Buy (add'l)
Natixis Funds Trust 11 Vaughan Nelson Value Class Y — Int/Div
Midcoast Energy Partners LP — Distribution
Spectra Energy Corp — Int/Div — Buy
USA Compression Partners LP — Distribution
Vanguard Funds Dividend Growth Fund Invst CL — Int/Div — Buy
Wells Fargo Bank, N.A Bank Deposit Sweep (x) — None
IRA #3 (H)
Devon Energy Comp — Int/Div
Exxon Mobil Corp — Int/Div
Brown Cap Mgmt Mut FDS Small Co Fund Inv — Int/Div
Fairholme FDS Inc — Int/Div — Buy (add'l)
Harris Assoc Inve TR Oakmark Global Select FD — Int/Div
Professionally Manged Portfolio CL Inst] Hodges Small Cap — Int/Div
Matthews Intl FD Asian Growth & Income FD — Int/Div — Sold (part)
Rex Energy Corp — None
Marine Harvest ASA Sponsored ADR — Int/Div
Knot Offshore Partners LP — Int/Div
Vanguard Specialized Energy FD Admiral Shares — Int/Div
Sunoco LP — Int/Div — Buy
Sunoco LP — Buy (add'l)
Sunoco LP — Buy (add'l)
Sunoco LP — Buy (add'l)
Miller Invt Trust Convertible BD FD — Int/Div — Buy
Fairholme FDS IN Focused Income FD — Int/Div — Buy
Trust 216 (H)
Apollo Investment Corp — Int/Div
Blackrock Kelso Capital Corp — Int/Div
Prospect Capital Corp — None — Sold
Fifth Street Finance Corp — Int/Div — Sold
Medley Capital Corp — Int/Div
Pemnantpark Investment Corp — None — Sold
TICC Capital Corp — Int/Div
Wells Fargo Bank, N.A Bank Deposit Sweep — None
Golub Cap BDC Inc — Int/Div — Buy
TPG Specialty Lending Inc — Int/Div — Buy
TPG Specialty Lending Inc — Buy (add'l)
IRA #5 (H)
Newpark Resources Inc Conv SR — Interest — Sold
M/1 Homes Inc Conv SR — Interest — Sold
Helix Energy Solutions Conv SR — Interest — Sold
Redwood TR Inc Conv SR — Interest — Sold
Broadsoft Inc Conv SR — Interest — Sold
Blackstone Mortgage TR Conv SR — Interest — Sold
Fimsar Corp Conv SR — Interest — Buy (add'l)
Fimsar Corp Conv SR — Sold
KB Home Conv SR — Interest — Sold
Apollo Commrl Real Esate FI Conv SR — Interest — Sold
Ryland Group Conv Semor notes — Interest — Sold
New Mountain Finance Cor Conv SR — Interest — Sold
Hombeck Offshore Serv Conv SR — Interest — Sold
ANI Pharmaceuticals Inc Con SR — Interest — Sold
TPG Specialty Lending In Con SR — Interest — Sold
Evestnet Inc Conv — Interest — Sold
TCP Capital Corp Conv SR — Interest — Sold
Resource Capital Corp Conv SR — Interest — Sold
Echo Global Logistics Conv SR — Interest — Sold
Penmymac Corp Conv SR — Interest — Sold
Sandisk Corp Conv SR — Interest — Sold
Seacor Holdings Inc Conv SR — Interest — Sold
Colony Capital Inc Con SR — Interest — Sold
Goldman Sachs Group — None — Sold
Encore Capital Grp Inc Conv — Interest — Buy (add'l)
Encore Capital Grp Inc Conv — Sold
National Health Investor Conv SR — Interest — Sold
Sunpower Corp Conv SR — Interest — Sold
J2 Global Communications Conv SR — None — Sold
Atlas Air Worldwind Hidg Conv SR — Interest — Sold
UBS AG London Conv SR Callable Bond — None — Sold
Barclays Bank PLC Convertible Notes LKD To CMN STK Int] — None — Sold
Barclays Bank PLC Conv Medium Term Notes Conv Lakd to Bacr — None — Sold
Interdigital Inc Senior Not Conv CPN — Interest — Buy
Interdigital Inc Senior Not Conv CPN — Sold
Om Semiconductor Corp SR Conv NT — Interest — Buy
Om Semiconductor Corp SR Conv NT — Buy (add'l)
Om Semiconductor Corp SR Conv NT — Sold
Calamp Corp Cony SR Not CPN — Interest — Buy
Calamp Corp Cony SR Not CPN — Sold
Impax Laboratories Conv LKT TO IPXL SR Unsecured CPN — None — Buy
Impax Laboratories Conv LKT TO IPXL SR Unsecured CPN — Sold
Forestar Grp Inc Convertible Sr Unsecured CPN — Interest — Buy
Forestar Grp Inc Convertible Sr Unsecured CPN — Sold
Portfolio Recovery Assoc Conv SR Unsecured CPN — None — Buy
Portfolio Recovery Assoc Conv SR Unsecured CPN — Sold
Infinera Corp Conv Unsecured CPN — None — Buy
Infinera Corp Conv Unsecured CPN — Sold
Aceto Corp — None — Buy
Aceto Corp — Sold
PMC mm LLC — Ret
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)
The Sequoia Fund — Buy (add'l)
Trust £18 (H)
Wells Fargo Bank, N.A Bank Deposit Sweep — Interest
Gwinnett Caty GA WRT & SWR Auth Rev CPN — Interest — Sold (part)
Gwinnett Caty GA WRT & SWR Auth Rev CPN — Buy (add'l)
Gwinnett Caty GA WRT & SWR Auth Rev CPN — Sold
Mc Kinney TX RFDG C/O LTD — Interest
West Wilson Util Dist TN WTR WKS Rev — Interest
Montana ST BRD Regents High Ed Rev — Interest
West VA ST 1991 and Subsequent Maturities RFDG — Interest — Sold
Ocean Cnty NJ RFDG SER A G/O Unl TD — Interest
Port Seattle WA REV RFDG Inter Ser a — Interest
Metropolitan Transn Auth NY Rey — Interest
New York NY City Transtnl Fin Auth Bldg Aid Rev — Interest
New Mexico Fin Auth Rev SR Lien Pub Proj Rvlvng FD Ser C — Interest
New York ST Envinnt] Facs Corp Rev ST Ser D — Interest
Central Puget Sound WA Regl Tran Auth Sales & Use Tax Rev — Interest
New York ST Dorm Uth Revs Non ST Supported Debt CPN — Interest
Idaho Hlth Facs Suth Rev Trinity Health CR Grp — Interest
Lone Star Cllg Sys TX — Interest — Buy
Lone Star Cllg Sys TX — Sold
USF Fing Corp FL CTF Partn Rfdg Mstr Lse PG Ser — None — Buy
Hawaii St Unrefunded Balance Rfdg Ser Fd — None — Buy
Athens Clarke Cnty GA Uni Govt Dev Auth Rev Rfdg Univ GA — None — Buy
Harris Caty TX Cultural Ed Facs Fin Corp Med FA CS Rey — None — Buy
Trust £19 (H)
Bank Deposit Sweep — None
First TR Global Tactical Commodity Strategy FD — None — Buy (add'l)
First TR Global Tactical Commodity Strategy FD — Sold
iShares Russell 1000 Value FD — Int/Div — Sold (part)
iShares Core S&P S00 Index FD — Int/Div — Sold (part)
SPDR S&P Intl Small Cap — Int/Div — Sold (part)
Vanguard FTSE Developed Markets ETF — Int/Div — Buy (add'l)
Vanguard FTSE Developed Markets ETF — Buy (add'l)
Vanguard INTL Equity Index FDS FTSE Emerging MKTS — Int/Div — Buy (add'l)
Vanguard INTL Equity Index FDS FTSE Emerging MKTS — Buy (add'l)
Vanguard Mid Cap — Int/Div — Buy (add'l)
Vanguard Mid Cap — Buy (add'l)
Vanguard REIT — Int/Div — Sold (part)
Vanguard Small Cap Value VBR — Int/Div — Buy (add'l)
Vanguard Small Cap VB — Int/Div — Buy (add'l)
Vanguard Small Cap VB — Sold (part)
Vanguard Total Bond Market BND — Int/Div
Vanguard Total Stock Market ETF — Int/Div — Buy
Vanguard Mid Cap Value Index Fund — Int/Div — Buy
Invesco Global Real Estate — Int/Div — Sold (part)
Deutsche Secs TR Enhanced Commodity Strat FD Inst] Class — Int/Div — Buy (add'l)
Deutsche Secs TR Enhanced Commodity Strat FD Inst] Class — Sold (part)
Columbia Select Large Cap Growth Fund LZ — Int/Div — Sold (part)
Eaton Vance Mutual FDS Trust Global Macro Absit Return Advig FD — Int/Div — Sold (part)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — Int/Div — Sold (part)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — Sold (part)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — Sold (part)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — Buy (add'l)
Goldman Sachs TR Finl Square Treas Instrs FD Inst CL — Sold (part)
John Hancock FDS 11 Global Absolute Return Strategies FD CL — None — Sold (part)
Hotchkis & Wiley FDS Mid Cap Value FD CL — Int/Div — Buy (add'l)
Hotchkis & Wiley FDS Mid Cap Value FD CL — Sold (part)
John Hancock Funds II Absolute Return Currency FDCL 1 — None — Sold (part)
Aberdeen Total Return Bnd Fund CL — Int/Div — Sold (part)
MFS Ser TR Value FD — Int/Div — Buy (add'l)
MFS Ser TR Value FD — Sold (part)
MFS Ser TR X Emerging Mkts Debt FD CL — Int/Div
JP Morgan TR US Large Cap Core Plus FD SEL CL — Int/Div — Buy (add'l)
Neuberger Berman Alternative FDs Long Short FD Instl CL — None — Sold (part)
American Europacific Growth FU CL F2 — Int/Div — Buy (add'l)
American Europacific Growth FU CL F2 — Buy (add'l)
Investment Managers SER TR Oak Ridge Small CP Growth FD CL — Int/Div — Buy (add'l)
Investment Managers SER TR Oak Ridge Small CP Growth FD CL — Buy (add'l)
Oppenheimer Dev Mkts CL Y — Int/Div — Buy (add'l)
Oppenheimer Dev Mkts CL Y — Sold (part)
Oppenhiemer Intl BD FD CL Y — Int/Div — Sold (part)
Principal FDS Inc High Yield FD Inst] CL — Int/Div — Buy (add'l)
Principal FDS Inc High Yield FD Inst] CL — Buy (add'l)
Principal FDS Inc High Yield FD Inst] CL — Sold (part)
Victory Sycamore Small Co Oppty FD CL 1 — Int/Div — Buy (add'l)
AQR FDS Managed Futures Strategy FL CL! — Int/Div — Buy
Principal FDS Inc Global Multi Strategy FD Inst CL — None — Buy
Wells Fargo Funds TR Special Mid Cap Value FDCL — Int/Div — Buy
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, Working Group on Legal Opimons Foundation
Liability — TD, Bank NA — Limited guaranty of commercial loan to Springside, LLC (Part VII, Line 96)
Liability — TD, Bunk NA — Limited guaranty of commercial loan to Springside, LLC (Part VII, Line 06)
Liability — TD, Bank N.A — Limited guaranty of commercial loan to Springside, LLC {Part VII, Line 96)
Liability — PNC Bank, NA — Non-Recourse Guaranty and Suretyship Agreement (Part VII, Line 98)
Reimbursement — Georgetown University — June 28-29, 2016 — Washington, DX — Teaching Class Preview — Transportation
Reimbursement — Georgetown University — September 12, 2016 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — September 18-19, 2016 — Washmgton, DX — Teachmg Class — 1 ransportation
Reimbursement — Georgetown University — September 26, 2016 — Washmgton, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — October 2-3, 2016 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown Umiversity — October 16-17, 2016 — Washington, DX — Teaching Class — Transportation
Reimbursement — American Inns of Court — October 23-24, 2016 — Washington, DX — Teaching Class — Transportation
Reimbursement — Georgetown University — October 30-31, 2016 — Washington, DC — leaching Class — Transportation
Reimbursement — Georgetown University — November 6-7, 2016 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown Umversity — November 13-14, 2016 — Washmgton, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — November 20-21, 2016 — Washington, DC — Teaching Class — Transportation
Reimbursement — Georgetown University — December 4-5, 2016 — Washington, DX — Teaching Class — Transportation
Reimbursement — Georgetown Umversity — December 11-12, 2016 — Washmgton, DX — Teaching Class — Transportation
Income — 2016 — Georgetown University - teaching — STR62.00
Asset listed in Part VII, Line 98, has rental income from property located in Middletown, DE. This asset was purchased in 2004 for $80,925

Asset listed in Part VII, Line 96, has rental income from property located in Newark, DE,

Asset listed in Part VII, Line 221, has rental mcome from property located in New Castle County, DE.

Assets listed in Part VII, lines 92-95 were purchased and subsequently transferred into Trust #15,

Assets listed in Part VIL, lines 135 and 137 were transferred from Trust #12.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/28383. Public record. Not legal advice.