. ,--.Z
______ ,
____ ,
PQSIDON NAME OF ORGANJZA.TIQN/EN'lllY
PARTIES AND TERMS
0
CJ a
-
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 197 :
Calendar Year 2003 (S U.S.C. app. §§ lOt.111)
l. Person :Reporting (Last IllllM, First 111une, Middle initial) 2. Court or Organizatiai 3. Date ofReport
Arcara, Richard J U.S. District Court W .JD.N.Y. 0512612004
4. Title (Article mJudges indicate acti11e or senior status; s. Report"fype (check appropriate type) 6. Reporting Period
magistrah:: judges indicate full-or par1t-time) Q Nomination, Date ()il/01/2003
ChiefU.S.. District Jjdge to0 Initial @Annual 0 Final 1213112003
7. Chambc:rsor Office Address 8. On the basis of the info:mation contained in this Report and any IOOdificatioos pertaining thereto, it is. in my opinion, in compliance
68 Court Street, Room 609 with applicable laws and regulations.
Buffalo, New York 14202 Reviewing Officer Date
D RTANTNOTES: The instructions'aooompanying this fixmillllSt be 1i>llowed. Complete all pms, checkingthe NONE box fir each part
where you have no reportable i111filrmation. Sign on Jast page.
L POSrrI.ONS. (Reporting individual only; see pp. 9-13 orfiling instructions)
NONE - (Noreportableposi.tions.)
1.
........ = = .=- ;o(./)
C') c__ rnl"'T1 c::: o- zc.nZ ("')
Ic> m:::oz w
IL AG!JlEEMENTS. (Reporting individual only; see Al· 14-16 of filing instructions) ri1n <o:r.> )>
-r.;- rn NONE - (No reportable ai:niements.) . , -.. ;-:\ N
er 1.
r-m -
SQURCE TYPE GROSS INCOME
SOUR.CE AND TYPE
SOURCE DESCRJPTIQN
FINANCIAL DISCLOSURE REPORT
Arcara, Richard J
Ill MON-JNVESTMEN"..r INCOME. (Reportingindividuatandspruse;seepp. 11-24offilinginstructions)
A. Fik '1; Non-Investment bicome
NO/llE - (No reportable n1oii-investment incolm.)
AND
I.
{yows, not spouse's)
B. Spci1use's Non-lnvestme1nt Income -(Jfyou were married during anyportion of the reporting year, please complete this sectioo. (dollaramauntniit required except fir honoraria)
D NONE - (Noreportablena1-investmentincome.)
1. 2003 AAA Western and Centtal. New Yodc Board Member
lY. Rl"JMBURSEMENj'f: -transportation, lodging, food. entertainment
(liacludes those to spouse and dependent children. See pp. 25-27 ofinstructioos.)
fi!I NONE (No such reportable reimbwsements.) -
I.
1- ,=--
DESCRlPTION
PESCRJPTION VillJECODE
FINANCIAL DISCLOSURE REPORT
Arcara, Richard J
Y. GD'i"J'S. (Include.s those to spouse and dependentchildren. See pp. 28-31 of instructions.)
NONB CNosuchreportabfogifts.)-
I.
YL LIAB1IDJES. (Iacludes. those ofspouseanddependentchildren. Seepp. 32-34 of instructions.)
NONE - (Noreportableliali>Elities.)
I.
I _
-A.. B.
RpOrting period nom {l)
2.
4.
-
-
-
--
-
-
(2) (3)
i I
'i'' ioam: ··· A ··;;, siti<ic f ': ::.ifi061�$i600'•'•.•••.. ,,..$4,SUi�.{l(l{)· ·• : "!) '"''SSO!tl'.Sls:OOO )L; ;; s.1 '.#f;;; .. ni:fi tPP '.)' : io6,t:K;l sii ; Hi t aSs; iioo
· ·2··"· 11;.; .. ,.,,.d:s: · . <'·"='•: :',• .J'.•.'_:,•i:: ·'·s· :.1.·.:s.·,:00 .·.•.o ·.1;... ····.·;· -·.·•> :.·.·.<, •.: . 'if.: ·..: 1 ;00>:1·: ;; · - .• . .-·"' 0.:001 .. 100 ;·M'·'·. -: <.·"".·:· ilif.·1. ... . " so,ooo.·.
.ji;; ::J<ii ·1l3} ' -· .$25IJ.;-0« ()();tioo -·. '.6 ;;5 . 1;I'. .00q;fu1 .6oo ooo ;s ,&i s;ooo,ooo :._:.��i�:�;t2$.;«lq , i·�o;��-::·--- p4·:· .. t --tiian. :·
;\,kU!lMeti.
-
! --
-
· · ·: '
FINANCJAL DISCLOSURE REPORT NameofPersonReporting
13.
14.
6127
DateofReport
.Page 1 of3 Arcara, RicbardJ 0512612004
Vil. INVl'-!STMENTS arut TR.USTS - income, value, traoscations (111Cludes those ofthe spouse 1111ddepecideot children. Seepp. 34-57 offiling instructions.) -
c. D. Description ofAssets
(blicluding ttust assets)..
Place "{X)" after each asset e emptfrom priordisclosure
-
DNONJI {No RpO!Uible income, asseiis, or ttaosaetions)-
l. L Leg Mason SEP
Prudential High Yield A
Income durU!&RpOrting period
(2}
Amount Type (e.g.Chdel div. IClll. or
{A·H) ill.)
A Dividend
Gross value atend of Transactions during reporting period
(1) {2) (I}
Value Value Type (e.g.Code2 Method buy, sel(1-P) Code3 merger,
. (Q-W} redemption)
sold
3. Pru Jenn Cl.A None sold J
-Prudential Int, Value CLA
-
5. Goldman Sachs Cl.C
-·6. Idex Ser. Fund ICC _ .. ·
-
7. Legi Mason.Equity-Opp
-
8. AimBasic Value Fd C
9. . AimPremier Equity Fund
10. Lem!;Masoo Equity-Sp.
ll. Roy<:e Fund - PA
12. Legg:M.i'5U1 Equity Value
-
A Dividend
None
None
A Dividend
None
None
A Dividend
A Dividend
None
K T
J T
I T
K T
J T
I T
I T buy
K T buy
K T buy
-
J6130
J6130
K12/30
JDavis NY Venture Fund A. None 12/30J T buy -
KDryden High Yield Fund 6/30K T buyA Dividend -
-
15. Eata1 Vmce High Income
16. Jdex Ser. Fund-Salomm
-
17. Prudential Jennison Growth
18. Nuveon
.• ... ··;B ·
. ·· · ·
None
None
None
None
I T buy
I T buy
K T buy
I T buy
: ·: :: ' in. Fsi!�wi•*�-;Q¢#Y. : :· .•' :•<
Date:Mondt·Day
6130
12/30
12/30
12/30
12/30
-Ifnot exeq» disclosure (4) (S)
Value Gain Identity of Code2 Code] buyeiiseller{J-P) (A-H) (lfpdvate
transaction)
K
J II
J
J
I
. ·
· ..· · .·.·.·<. · . ·.:r;· ·.,ooo. ... . . · ...•. -. . ·.
·· t· : rz · · . . ' · ·- · · - · . . · . · · -., _'__..... . '.:.... _ ..'.:.: :.. .: -.<>'<.· · ·. - - - : -, -�< ; :· s.o�.. oo
· Q :���sa1 'R =Cost{ae'iiiEstme'Cim.Y) S Assessment T ='cash1Matket {SeCCOiumn C2) U ;.,..BoOk V11iue V .=Ofuer W =·Estimated
I I _ _ - -
8.
(5) Gain
Day
-
-
-
- -
Franklin Resources
-
I
i, i iin.·( ; A =SJ oon 1r1 - :;o·�1-$5;o00· /••,.{S O. - i:'i!!i4�) -. $ p ii$ oq. _:·_i/ <iiO:Ci,Ooi,$1.oo.eio.oo.> lii :... -i;c100<1001.:SS.ootiooa SS!)ll(HlOO
i.t; :I. ;. ,siw, · 'stoolooi si;6l oii·�llf>.® :·. :_•·.·:.L_':_P·• __ ·:;.' -.:·_ o_rJ i;{' :;.,;�ts'�i!Q1•$so.o® ..
...... ,, "" ;;:$1,ooow1 s$.oifo,oiia - -3.vaik iC>dt:ocles =.�� [; 1
. < -
FIN.Al'lCIAL DISCLOSURE REPORT NameofPersonReporting
19.
29.
33.
34.
T =Cai;h!MalkCt
DateofRepcn. Page 2 of 3 Arcara. Richard 1 05/2612004
VIL INVESTMENTS tmr.d TRUSTS - income, value, ttanscations (includes those ofllie spouse m:l dependent children. See pp. 34-57 offlling insttuctions.)
A. J)escrt>tion of Assets (iincluding trust assecs)-Place "(X)" after each asset eicemptfiDm prior disclosure
Income during reporting period
(1) (2)
Amount Type (e.g.Codel div. mil. or (A-H) im.)
c. D. Gross value at end of Transactions during reporting period rq>ortingperiod
(I) (2) (1) IfDOI exemptfrom disclosure (2) (3) (4)
Value Value Type (e.g. Date: Value ldentilly of Code2 Method buy, set Month- Code2 Codel buyer/sellerQ-P) Code3 merg (J-P) (A-H) (if private
(Q-W) ll:demption) ttansaction)
II. :LeggMason IRS
Alliance Premier Q.A20.
-IdexGlobal21.
-22. Loi:d Abbott a.A
-Ahn Premier Equity Fund23.
-Neiifl' Perspective Fund CLA24.
-- pFunds25.
Legg Mason Oppmunity Trust26. -
27. Fidilit!f Advisor
-m LeggMason28.
-
None
None
A Dividend
None
A Dividend
A Dividend
A Dividend
A Dividend
J T
sold 8/13 J
J T
J T
J T
-J T
J T
J T buy 8/12 J
-
A Dividend J T
-Seclror Sp Dr. J TA Dividend30.
-31. Boeing A Dividend J T
-Cisco Systems None J T32.
-AOL Time Warner Nooe J T_
-IDDIUPoot A Dividend J T
- -Guidant Corp. A Dividend J T35.
-Home Depot J TA Dividend36.
--
.. .• · .··. . · B =si;OOt;,Sl,SixJ; ' ,)::; : •. · · · . p ootS,®l�,SfS,"QOO ,· E. >=$15,ll()FSsti,OOQ .· . . '·.·. •.• ,:f . ··'G ·. H2 -::::More lban ' . -�·· ··· · · · · . ·
. ,: '-'· ... __· ..· . :.k :!·•< .. .. · . . . . . . · . · .··· . . . . . .··· . .j_:.·· . .· . , ;t8eidtiiui c1;imdn3'1 N ti·• ;::ss0Ci.w1��:i;-Ood.ooo : , ·:pi· :in '=i>s 00o;Oil1.$:t5.0{)(l,ooo-p4 $Mt.��'.*s�;ooQ�oo�r. . -: . --- .- ..Q ' ' ;= (RealEstateOnly)'R
:: Olher .s :;Assei.-silient W =Estimated {S C��:.Uc2) = BOokVliiue · .U V
..• . ·
I I of 0512612004 --------""----- - ---- --- ---&..- ,- .
(2) {'3) (4) (5) • Gain
-
-
-
J;.i11 iiirt-� .• ·.·.· . .· . ·.·.'.·._•.•- .:-..·_"'_· ·_: .. : •. ' ... .- .;Ool.;:;.,_·.·r1."'.: .:_· •.. •. 1'.::;..._ ·.· .• -·-· ••. :o;.si;Q\)1.Sz;-SOO •.·:_·.:. _:2.· :.•1·_:.•::_.·. r..ss···oo· ·_1f°_ .. ;; .s·_" · . . ·.·o':oo·· . . ·.:··,,, ... ........ _;_·. --.' :_:o· oo.·re·_.· - - ,$_:1$_·.•.1 ... JOO.',.;._ v>• ..... ,_._·_. ··. : ==sl >•{lo!·$_··.:.? .. •tt.·.· (Siiec01UJ:m:is-:0hoii ); ., ...,.,,"" ... """'"""' ='.$ioq,ri!'i1:$'400ii.()oo ... """ -.. ,.,.., ""' ........... """·"""
%_··.·.··•.:_v··.· _:_·a·· ·. ' .• -·_· r_· -.· .{·_
··· .·. -•-"c· .
·:'1·_··. .··- M.-·
·· .··.:··D·._./3 ·.·_dN·••_· · .
· ._.;_C_·.·. ··.·.·.•. .. s . ,00<_ •••. <._:_._·•· .· •·. -···· ··· .Jt_·:··.·
· •·.·.· _.: ._.!! _5 ro. . 1· .. : .-,;1:_ ... .. _: ·""".· .·. .::'$)'oo;oo1::i$2,so;tXli; .. - ..,,IWl .,... .,...., ..,,,...._""' ...,....,.uv ..., """'"""
·����������������__;�������'---���������--
(1)
Lei!:g MaSO!l Cash Reserw;
43.
. . .•• J . · .. . . . .. ._ .. • • .;······ ..
_··._ ...•.• __ ··: .· ·· . i :.:sio:ooi ii«i';-000
. Ji.f
FINANCIAL DISCLOSURE REPORT Name ofPerson Reporting Date
Page3 of3 Arcara. Richard 1
]}{VESTMENTS muf TR.USTS - income, value, 1nWCaUons (includes !hose of!00 spouse Biid dependent children. Seepp. 34-57 oftiliJll instructions.) -
A. B. c. D.
I>escriptionofAssets(including trust asselS)
Income duringreporting period
Gross valueat end of reportingperiod
Transactions during reportingperiod
Ifnot exempt ftorn disclosure(2)1(1) (I)(2)-
Place"(X)" after each asset eitftom priordisclosure
Type (e.g. Daie: Value I yofValue ValueAmount T)'pe (e.g. buy, setiCode2 Method Monlh- Code2 buyerfsellerCodel div. rent. or Code 1(A-H)Daymerger,Cooe3(J-P)
redemption)(A-H) int.) (J-P) (ifprivate
(Q-W) transaction)
37. KeyCapNew
38. Llll:ent Technologies
-39. Nollda Corp.
A Dividend
None
A Dividend
J T.
J T
J T
40. -
TA Dividend J
-T41. Liberty Media Corp. JNone
-42. Si.mt Microsystems TJNone
- - .- Eastman Kodak T buy 111'28 JNone J
-T44. RMK High Iocome A Dividend 6121 JJ buy
-45. 'JV. Keybank (less than $200)
-
· .··•.•_ ... . >.a . . .. :_._cH-:.r ..:- :;: -6::·. •.··.·· ·
•.:.Ko·ooo•_.:,·. :._. . . . . .. . l'Z _.;SS,ooQ;ful Sis�,000·· · · · ·
· ·:ss•. M.•. · .. . •.· .E... . · , ...- .. .
.- . .. . . I>1_=$1;00Q�l;.'SS.WQ;'i)OOP4 ;,SMcire wnSSQ-,000.000· .. · .n =sis)kii;l!o1c$s1>.00oiwo .
:;,v.;M. O.icooes Q ;,;. r<i:iSiif . :it :;t (R.ea!E.s!ateOnly) s = Asses.�· {SOO: Ci>lnmn: C2) u ==ElookVaiue· · V =Oilier w =Estimated
Date ofRepg'rt -
05/26/2004
· -J- .L-
NarneofPersonReporting- ' FINANCIAL DISCUJSURE REPORT
An:ara., Richard J
VOL .4DDUIONAL INJFORMA TION OR EXPLANATIONS (IooicatepanofReport.)
7 ') )'
' F·INANCIAL DISCLOSURE REPORT Name or Person Reporting Date ofReport
Arcata, Richard] 05/26/2004
IX. CBR.TIFICATION.
I certitjr that all infonnation 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 statllltory 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 S U.S.C.
_ § 501 __et._seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature: Date '1n. l .2-rJ
NOTE: ANY INDIVIDU:AL WHO KNOWINGLY AND WILFULLY FALSIFIES OR F'AILS TO FILE THIS REPORT MAY BE SUBJECT TO CML AND CRJMINAL 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
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