FINANCIAL DISCLOSURE REPORT Rport Required by the Ethics in … · 2019. 7. 26. · FINANCIAL DISCLOSURE REPORT Page 2 of7 . Name of Person Reporting ZILL Y, Thomas S Date of Report

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AOJO Rev.112007

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2006

t. Person Reporting Oast name, first, middle Initial) 2. Court or Organization

ZILLY, Thomas S United States District Court

4. Title (Article III judges Indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Date Senior District Judge

D Initial Annual

Sb. D Amended Report

D Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§IOI-I I/)

3. Date of Report

04/10/2007

6. Reporting Period

01/01/2006 to

12/31/2006

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

700 Stewart Street with applicable Jaw& and regulations. Suite 15229 Seattle WA 98101

Reviewing Officer

IMPORT ANT 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.

Date

I. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)

[Kl NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

5.

II. AGREEMENTS. {Rtporting individual only; see pp. U-16 ofinstruc/iQns.)

[Kl NONE (No reportable agreements.)

2.

3.

4.

AND TERMS

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2.

3.

INCOME

3.

4.

FINANCIAL DISCLOSURE REPORT

Page 2 of7

Name of Person Reporting

ZILL Y, Thomas S

Date of Report

04/1012007

III. NON-INVESTMENT IN co ME. (Reporting individual and spouse; see pp. 17-14 of instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

SOURCE AND TYPE (yours, not spouse's)

I.

2.

4.

5.

B. Spouse's Non-Investment Income • lfyou were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

1. 2006 Income from glass art sales.

2.

3.

4.

5.

IV. REIMBURSEMENTS -transportation, lodging.food, enteriainment

{1ncludes those lo spouse and dependent children. See pp. 15-17 of instructions.)

NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

I.

2.

3.

5.

DESCRIPTION YALUE

Date or Report Name oCPenon Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of7 04/1012007ZILL Y, Thomas S

V• GIFTS. (Includes those to spouse and lkpendent children. See pp. 28-J I of Instructions.)

NONE (No reportable gifts.)

SOURCE

-I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of Instructions.)

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

4.

8.


Page 4 of7

Name of Person Reportinf

ZILLY, Thomas S

Date·or Report

04/ 10/2007

VII. INVESTMENTS and TRUSTS. income, value, transacdons (Includes those of the spouse nd dependent children. See pj,. 34-60 of filing instructions.) -

D NONE (No reportable income, assets, or transactions.)

A. Description of Assets

(including trust assets)

P lace "(X)" ·after each asset exempt frotn prior discfosure

I. Berkshire Hathaway

B. c. D. Income during Gross value at end of Transactions during reportin g period

r¢porting period reporting period

(I) Amount Code I (A-fl)

(2) Type(e.g. div., rent,

or int)

(I) Value Co<le 2 (J-P)

(2) Value

Method Code 3 (Q-W}

(I) Tyj>e(e.g. buy, sell, redemption)

(2) Date Month-Day

(3) Value Code 2

(J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller

(if private transaction)

None M T partial sell 6/19 L F

2. AADV M.M. Fund/Key Bank A Interest J T

3. Microsoft E Dividend P l T

Merck Co. A Dividend K T

5. - None K w sell 12/06

6. First Washington Pershing - Acct Gen. B Interest K T Money Market Fund CLB

7. OHTA DBA Whispering Pines c Rent J w name change only

Trust I D Interest N T See Note I

9. Trust 2 D Interest M T See Note I

10. Wal-Mart Stores Inc. A Dividend K T

1 1. Intel Corp. A Dividend K T partial sell 12/08 K D

12. Hewlett-Packard Company A Dividend L T

13. Amgen Incorporated None L T

14. Microvision None J T

15. Amazon.com Inc. None K T

16. Cisco Systems sell 2/21 K B

17. Intl Business Machines (IBM) A Dividend K T

I. Income Gain Codes: A =$1,000 or lesa B =$1,001 - $2,SOO C =$2,SOl-SS,000 D =SS,001-SIS,OOO E =$15,001 - $50,000

(See Columns Bl and 04) F =$50,00 I -SI 00,000 G =$100,001 • Sl,000,000 HI -Sl,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =SI 5,000 or less K =$15,001 -SS0,000 L =SS0,00 I • SI 00,000 M =$100,001 • $2S0,000

(See Columns Cl and DJ) N =$250,001 - SS00,000 0 =$500,001 - Sl,000,000 Pl =$1,000,001 -SS,000,000 P2 =SS,000,001 - S2S,000,000

3. Value Method Codes Pl =$25,000;001 -SS0,000,000 R =Cost (Real Estate Only) P4 =More than SS0,000,000 T =Cash Market

(See Colunm C2) Q=Appraisal V=Other S =A>sessment

U=Book Value W=Estimated

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 5of7 ZILLY, Thomas S 04/10/2007

VII. INVESTMENTS and TRUSTS -Income, value, transactions (Includes those of the spouse and dependent chUdren. See pp. 34-60 of filing Instructions.)


A. B. c. Description of Assets Income during Gross value at end of

(i luding trust assets) reporting period reporting period

(I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type(e.g. Value Value Ty pe(e.g.

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code.3 redemption)

(Q-W)

18. United Parcel Service B A Dividend K T

19. Yahoo None K T

20. Schwab MM B Interest L T

21. Key Bank Account A Interest ] T

22. Trust 3 A Interest M T

23. Medcohealth Solutions sell

24. Enterplus Res FDTR D Interest L T

25. Martek Biosciences None ] T

26. Starbucks Corp. None L T

27. Cell Genesys Inc. sell

28. United Natural Foods Inc. None ] T

29. Titanium Metals None ] T buy

30. Suntech Pwd None K T buy

31. TGC Inds. Inc. None ] T buy

D.

Transactions during reporting period

(2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code.I buyer/seller Day (J-P) (A-H) (if private

transaction)

See note 1

12/08 ] c

12/27 ] A

10/06 J

10/29 K

10124 J

t. Income Gain Codes: A =St,000 or less B =Sl,001 • $2,500 c =$2,501 • $5,000 D=S5,001-Sl5,000 E =$15,00 I -$50,000

(See Columns BI and 04) F =$50,00 I - $I 00,000 G =$100,001 - Sl,000,000 HI •$1,000,00 I • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or Jess K =S 15,00 I -$50,000 L =$50,00 I -SI 00,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,00 I - $500,000 0 =$500,001 - $1,000,000 Pl =s1,ooo,001. S5,ooo,ooo P2 =$5,000,001 - $25,000,000

P3 =$25,000;001 -$50,000,000 P4 =More than $50,000;000

(See Column C2) V=Olher 3. Value Method Codes R =Cost (Real Estate Only) T=CashMarlcet

Q =Appraisal S =A=sment U =Book Value W=Estimated

):-.beneficiary om

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6 of7 04/10/2007ZILL Y, Thomas S

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Report.)

only ofTrust I, 2 and 3. Trusts held interest in various stocks. Reporting individual's ...eceived income from Trusts. Total income all Trusts had value code D. Note


Page 7 of7

Name or Penon Reporting Dale or Report

ZILL Y, Thomas S 04/10/2007

IX. CERTIFICATION.

I 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 non-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.

NOTE: ANY INDI UAL 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)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

9

a:. ;

UNITED STATES DISTRICT COURT Western District of Washington

United States Courthouse Seattle, Washington 98101

Thomas S. Zilly Senior Judge

June 28, 2007

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en _... :;oCommittee on Financial Disclosure C)

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r-..,, <-- rn Administrative Office of the U.S. Courts c..:

.- 0 IOne Columbus Circle, N.E ., Suite 2-301 :. rn

Washington, D.C. 20544 �? a-

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-...,Re: Amendment to the 2006 Financial Disclosure Report CJ

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Dear Sir:

Attached to this letter is an Amendment to my Financial Disclosure Report dated April l 0 , 2007 for the calendar year 2006. The Amended Report responds to your letter of May 1 4, 2007, and is amended as follows:

(1) Part VII, page 4, line 5: Delete reported items at C( l) and (2); Add Value Code K to line D(3) and Gain Code E to line D(4).

(2) Part VII, pages 4 and 5: Line 16 - B(2) add none; Line 2 3 - B(2) add none; Line 27 - B(2) add none.

(3) The various trusts noted in the report at Part VII, pages 4 and 5 (and in note 1) are trusts where - has income for life only; these trusts were not created by this reporting person or my spouse and assets in the trusts are bought and sold solely at the discretion of the trustee. The income from the property held by these trusts is the sole interest of- which is not derived from the assets, income or activities of this reporting person, and of which I do not derive or expect to derive a benefit, and of which I have no knowledge. See 5 U.S.C. App.§ 10 2 (e)( l)(E) and filing instruction dated

June 28, 2007

Page 2

January 3, 2006 at page 35. The Report lists the income value code for each

trust and the total income code. No further reporting of these trust assets is

therefore necessary.

Very truly yours,

En els

3.

AO JO Rev. 112007


FOR CALENDAR YEAR 2006

I. Person Reporting (last name, first, middle initial) 2. Court or Organization

ZILLY, Thomas S United States District Court

4. Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Dale Senior District Judge

D Initial Annual

Sb. Amended Report

D Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§JOI-I I I)

3. Date of Report

06/28/2007

6. Reporting Period

01/01/2006

to

12/31/2006

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

700 Stewart Street with applicable laws and regulations.

Suite 15229 Seattle WA 98101

Reviewing Officer

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.

Date

J, P OS ITI 0 NS. (Reporting individual only; see pp. 9-13 of instructions.)

[KJ NONE (No reportable positions.)

NAME OF ORGANIZATION/ENTITY POSITION

l.

2.

3.

4.

5.

II. AGREEMENTS, (Reporting individual only; see pp. 14-16 of Instructions.)

[KJ NONE (No reportable agreements.)

PARTIES AND TERMS

l.

2.

4.


Page 2of7 06/28/2007ZILL Y, Thomas S

Ill. N 0 N-JNVESTMENT JN CO ME. (Reporting individual and spouse; see pp. I 7-24 of instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

5.

B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

1. 2006 Income from glass art sales.

2.

3.

4.

5.

JV. REIMBURSEMENTS -transportation, lodging.food, enterta/nmeni

(Includes those to spouse and dependent children: See pp. 25-27 of instructions.)

NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.


Page 3of7 06/28/2007ZILLY, Thomas S

V• GIFTS, (Includes those to spouse and depend nt children. See pp. 28-31 of Instructions.)

[Kl NONE (No reportable g!fts.)

SOURCE DESCRIPTION VALUE

1.

2.

3.

4.

5.

VJ. LJABJLJTJES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)

IBJ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

VALUE CODE

2.

3.

4.

5.

Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income. vatue, transactions (Includes those of the spouse and dependent children. see PP· 34-60 of filing instructions.)


A.

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

I . Berkshire Hathaway

B. c.

Income during Gross value at end of

reporting period reporting period

(I) (2) (I) Amount Type (e.g. Value Code I div., rent, Code 2 (A-H) or int.) (J-P)

None M

(2) Value

Method

Code 3

(Q-W)

T

D.

Transactions during reporting period

(I) Type (e.g.

buy, sell,

redemption)

(2) Date

Month-

Day

(3)

Value

Code 2

(J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

partial sell 6/19 L F

2. AADV M.M. Fund/Key Bank A Interest J T

3. Microsoft E Dividend P l T

4. Merck Co. A Dividend K T

5.

6. First Washington Pershing - Acct Gen. Money Market Fund CLB

7. OHTA DBA Whispering Pines

8. Trust I

9. Trust 2

10. Wal-Mart Stores Inc.

II. Intel Corp.

12. Hewlett-Packard Company

13. Amgen Incorporated

14. M icrovision

15. Amazon.com Inc.

16. Cisco Systems

17. Intl Business Machines (IBM)

B

c

D

D

A

A

A

A

None

Interest K

Rent J

Interest N

Interest M

Dividend K

Dividend K

Dividend L

None L

None J

None K

None

Dividend K

sell

T

w

T

T

T

T partial sell

T

T

T

T

sell

T

12/06 K

12/08 K

2/21 K

E

D

B

name change only

See Note I

See Note I

I. Income Gain Codes: A =$ i ,000 or less B =S i.00I - $2,500 c =$2,501 -$5,000 D =$5,00 I · S 15,000 E =S 15.00I - S50,000

(See Columns BI and 04) F =$50,001 -St00,000 G =St00,001 -Sl,000,000 Ht =Sl.000,00t -S5,000,000 H2 =More than SS.000,000

2. Value Codes J =SI S,000 or Jess K =St 5.00 t -550,000 L =S50.00 t -SI 00,000 M =Sll)() ,00 1 - $250,t)()O

(See Columns CJ and 03) N =S250,t)() I - S500,000 0 =S500,00I -S 1.000.000 PI =S 1,000,00 I -S5,000.()()0 P2 s5,ooo.001 . s2s.ooo.ooo

- Value Method Codes PJ =S2S.000,l)()I · S50.000,lJOO R =Cos\ (Real Estate Only) P4 = M ore than S50,000,000 T "'Cash Market

(See Column C2) Q 0Appraisal V ""Other S =Assessment

U =Book Value W "'Estimated

(I) (2) (I)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See P· 34-60 of filing instructions.) -


A. B. C. D.

Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

(I) (2) (2) (4)(3) (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) Day(J.P) (if private (J-P) (A-H)

transaction)(Q-W)

18. United Parcel Service B A Dividend K T

19. Yahoo None K T

20. Schwab MM B Interest L T

21. Key Bank Account A Interest J T

22. Trust 3 A Interest M T

23. Medcohealth Solutions None sell

24. Enterplus Res FDTR D Interest L T

25. Martek Biosciences None J T

26. Starbucks Corp. None L T

27. C_ell Genesys Inc. None sell

28., United Natural Foods Inc. None J T

29. Titanium Metals None J T buy

30. Suntech Pwd None K T buy

31. TGC Inds. Inc. None J T buy

See note I

12/08 J c

12/27 J A

10/06 J

10129 K

10/24 J

I. Income Gain Codes: A =S 1.000 or less B =S 1,00 I - $2,500 c =$2,501 - $5,000 D =$5,00 I - 515.000 E =S 15,00 I - 550,0()0

(See Columns Bl and 04) F =$5 0,00 1 - SI00,000 G =5100,001-Sl,000,000 HI =S 1,000.00 I - 55,000,000 Hl =More than 55.000,000

2. Value Codes J =S 15,000 or less K=Sl5,00l -550,000 L =550.00 I - SI 00.000 M =5100,llOI - 5250,000

(See Columns Cl and DJ) N =SlS0,00 I - $500,000 0 =5500,00 I - S 1,000,000 Pl =s1.ooo.001 - 55.ooo.ooo P2 =S5.000,0UI - S25,000,000

3. Value Method Codes Pl =S25,01J{l,001 · $50,000,000 R =Cost (Real Estate Only) P4 =More than 550,000.UOO T ==Cash Markel

(See Column C2) Q =Appraisal V =Other S "'Assessment

U =Book Value W =Estimated

.. rom

Note I: mcome


Page 6of7 ZILLY, Thomas S 0612812007

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport.)

beneficiary only of Trust 1, 2 and 3. Trusts held interest in various stocks. Reporting individual's spouse received income from Trusts. Total all Trusts had value code D.

_____ -J


Page 7of7 06/28/2007ZILL Y, Thomas S

IX. CERTIFICATION.

I 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 non-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. § 73 53 , and Judicial Conference regulations.

Signature Date

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)

FIUNG INSTRUCTIONS

Mail signed original and 3 additional copies to:

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

Documents

FINANCIAL DISCLOSURE REPORT Rport Required by the Ethics in … · 2019. 7. 26. · FINANCIAL DISCLOSURE REPORT Page 2 of7 . Name of Person Reporting ZILL Y, Thomas S Date of Report