robert e cowen financial disclosure report for 2009

8/3/2019 Robert E Cowen Financial Disclosure Report for 2009

1/11

Ao/o FINANCIAL DISCLOSURE REPORT R e p o t , R e q u i r e d b y t h e E t h ic sin Government Act of 1978

/~,. I/2olo FOR CALENDAR YEAR 2009 (5 u.s.c, app, ,4"lOl-lll)

I. Pcr~oa R eporting (last name. first~ m iddle initial) 2. Court or Organization 3. Date of Report

Cowcn, Robert E, U.S. Court of Appeals 3rd Cir, 05,,04/2010

~. Title (Article I II judgc~ indicate active or senior s~atus; 5a. R~po~ Type (check appropriate type) 6. Reporting Period

magis~atc Judges indmatc fidl-or parl-lhnc)~ Nomination, Date 01/01/2009

Senior U.S. Circuit Judge~ initial ~ ~ Annual ~ F~al

to12/31/2009

5b. ~ AmcndedReport

7. Ch~mberx or Office Addres~ 8. On the basis of the information onlalned In this Report and anymodifications perlaining thereto,il i~, in my opiainn, in compliance

402 E. Stale Street with applicable lawx and regulations.

Room 207Trenton. NJ 08608 Reviewing Officer Dale

I M P O R TA N T N O T E S :The instructions accompanying this form must be followed. C omplete all part~,checking the NO NE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S .(~,,z,,,-i,,xindi,,i,luut o,,ly: see pp. 9-13 ,,lilting instrnctians.)

[~ N O N E(No reportable positions.)

POSITION NAME OFORGANIZATION/ENTITY

I I. A G R E E M E N T S .(Relmrttng individual,,nly: see p p . 1 4 - 1 6of filing in.~truction$.)

[7] NONE (Noreportable agreements.)

DATE PARTIES AND TER!vIS


2/11

Name of Person Reporting D ~ ~ e o f R e p o r t

FINANCIALpage 2 of1 1 DISCLOSURE REPORTc o , ~ e . , R o b e r t E . 0 5 1 0 4 / 2 0 1 0

11 I. N O N-INVESTMENT INCOME. tRep,,,i,~individual and sp ..... ;.~tt Dp. 17-24 ~f fi llng I,,,rlzctions.)

A. Filers Non-Inveslment lncmne

~ NONE nob-investment income.)N oDATE SOURCE AND TYPE ~COME

(yours, not spo~cs)

B. S p o u s e s N o n - I n v e s t m e n t I n c o m e-lfyouwcremarriedduringonyportlonoflhe. reporting year, completetMsrection,(Dollar on~o~tn/ not re quired exc~/ f~r hemororia )

~ NONE non-investment income.)~o reporlobleDATE ~OURCE AND ~PE

!. 2 0 0 9 S~te of New Jersey

IV. R E IM B U R S EM E N T S-,,~..,o-~o-,t , ,ax~.g.1ooa,. . , , , . .~,.....~(Includes tht~sc to ~p,n~e and depcnd~nt ~.hildrcn; ~ e e pp. 25-27 of yTling inslructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. New Yolk lntdlecmal March 27 - 28, 2009 New York, NY Dinner Dinner in Hon or of the Federal JJudioiaryProperty Law Assn. Meals, Hotel Travel Expens~

2. FREE. Terrorism. Civil August 9 - 13, 2009 Galladn Gateway, MT Educational Seminar Transportation, Food and LodgingLiberty and National Security

3. Fcdcral Judicial Cen~er, Law September 23- 25, Syracuse, NY Educational Seminar Transportaton, Food and Lodgingand Mcdia Seminar 2009


3/11

FINANCIAL DISCLOSURE REPORT NameofP ..... Reporting

I D~teofRtporta~ 30~" 1 1 Cow,n, Robert E. 05/04/2010

V. G I F T S .a , , ~ , , a , ,~ ~ ,o~ , o , ~0 , , ~ , , a ~p , . , ,a . . ,~ch~dre~: see p p . 2 $ - 3 1~f filing instructions.)

N O N E(No reportable g~s.)

SOURCE DESCRIPTION VALUE

1 .

2 .

3.

4.

5.

V I . L I A B I L I T I E S . a , , c t , , , ~ s , , , o s ,of sp ........ ~dependent c h i l d r e n ; se e p p . 3 2 - 3 3of fillng i n s t ruc t i ons . I

N O N E (N oreportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E

I.

2.

3.

4.

5.


4/11


5/11

FINANCIAL DISCLOSURE REPORT N a m e r e a r , . a e p , , r ti .e ~ a , , a ~ , r , , -I

Iage 5 of1 1 c o , , e n , R o b e r t E . 0 5 / 0 4 1 2 0 1 0VII. INVESTMENTS and TRU STS- i, ....... ~ , , ,t ..... cdons (lnclnde~ thoso ols1 ....... d dependent ddM ren; seepp. 34- 60 of filing h,struction.t)

~ NONE (Noreportable in come, ~sets, or tra~actions.).................. kS ..... [ ~. c. ~,D c s c r i p t i m ~ o f A s s e t s [ In,me during Gr~s value at end Tmas~tiom d~ing reporting period I

(including ~t~~) ] re,sing ~6~ ofr~o~ing peri~

P la c e " (X )" a f te r ~ a c f t ~ sc t A m o u n tTy~ (e.g.. Value [ Value Ty p e ( e . g ., ~te [ V~]ue Gain I d e n t i t y o fc x e m p ~f r o mprior disclost~ [ C M I ~v., ~nt. C~c 2 [ Mc~od b u y, ~ 11 , m~d~yy ~ C~ 2 C~e I b o y e r / ~ e l k r

...........] (AH).

orint.) ( J - P ) [ C ~ e 3 ~ ( Q ~~dempfion,j (J-P)

, ( A - H ) ~~n~ction)(ifPfivate

[ 1 8 . Ishares. DJ Select Index FD None J T

1 9 . Johnson & Johnson (Common Stock) A Dividend K T

2 0 . JP Morgan Chaise (Common Stock) A Dividend K T

2t. Kellog (Common Stock) A Dividend J T B uy 04/03/09 J

2 2 . McDonakls Corp. (Common SStock) A Dividend J T

2 3 . Mcdtronic Inc. (Common Stock) A Dividend J T

2 4 . Microsoft Corp. (Common Stock) A Dividend K T

25. Nokia (Sponsored ADRs) A Dividend J T

2 6 . Pfizer. Inc. (Common Stock) A Dividend J T

2 7 . Proctor & G amble (Common Stock) A Dividend J T

2 8 . Public Service Enterprise Group Inc. A Dividend J T( C o m m o nStock)

2 9 1 State Street Corp. (Common Stock) A Dividend J T Buy 04/03/09 J

3 0 , Target Corp. (Common Stock) A Dividend J T

3 I. United Technologi,~s (Common Stock) A Dividend J T

3 2 . T n~ st t/ I D Int./Div. N T

3 3 . Eaton.Vance Tax Free (Municipal Fund) A Interest J T

~ 4 . Eaton-Vance Tax Frcc (Municipal Fund) A Interest J T


6/11

FINANCIAL DISCLOSURE REPORT r , a m o o r P . . . ..R e ~ o r, i .g D . , 0 , , r a ~ , 0 r t IPage 6 of 11 cowe~, Robert E. 05/04~O10

V 1 I. I N V E S T M E N T S and T R U S T S- i ......... ~ . . , , . . . . . .. ., i o . ,tl, ct,,a~ ,h,,s, of.~ ......adrpe,,d .....I , i la r en :se, p p . 3 4 - 6 0o/filit,g instrt,cti,,,,s.)

~ NONE (No reportable inco me, ~sets, or ~ansaction s.)

A. C. D.D e s c r i p t io n o f A x ~ t s i I n c o m e d u r in g Gross value at ~d Transactions during rc~ing period

( i n c lu d i n g t r u s t a ~ C L q ~ reporting ~ri~ of r~o~ing pc~d ~

j Place(X)" after c~h asset Value T)~ (e.g., / Date [ Value I Gain I den t i t y o f /e x e m p t f ro m p ~ o r d i ~ l o s u r c Mc~od buy, s e t l , [m~dryy [ C~e 2 I C~e I buycriscllcr

tr~action)

3 5 . Me,ill-Lynch Capi~lTrust (Prefe~ed A Interest J TStock}

3 6 . N.J. Econ, Dev. Auth. Water Fa. 11~1-34 A Interest J T

3 7 . N.J. llealthcare Fac. 7-01 -19 A Interest J T

38. N.J. Educational Fac. 7-01-34 A Interest K T

3 9 . N..I. ! lealthcare Kennedy H ealth Center A Interest J T7-01-31

40. Middlesex Cty NJ CTFS 6-15-23 A Interest J T

4 I. N.J. ltcalthcare Fac. St. Barnabas 7-01-28 A Interest .I T

42. Port Auth. NY & NJ 7.15-26 A Interest J T

43. N.J. State Higher Ed. 6-01-30 A Interest J T

44. Board of Education, Princeton Regional B Interest K TSchools

45 . Indiana State Housing 7-01-26 A Interest J T

46 . N.J. Environmental Infra.T r . 9-01-19 B Interest K T

47 . Ft. Lee NJ Impt. G/O 2-15-15 A Interest K T

48. Antelope Valley A Interest .1 T

49. Antelope Valley A Interest J T

5 0 . Cumberland Cry Gcn. Inapt G/O A Interest J T

51. Oregon St. Dept. Admin. A Interest K T


7/11

FINANCIAL I)ISCLOSURE REPORT Name oflersoa Rcport|nt~ Da|eof ReportPage 7 o f l 1 Cowen, Robert E. 05/04/20H)

V I I .I N V E S T M E N T S a nd T R U S T S- i . . . . . . . . . . . . ~,,~,, . . . . . . .a , , , sa,,c~,,,~- , ~ , , , s , , , [sp . . . . . . a a . . t , , ,a en , ch l t a , , , : ~ ,~ ,~ , .

N~NE (No reportable income, ~sets, or transactions.)

A. B. C. D.Dcsc r lp t i on o f Asse t s Income during Gross value at end Transaclion~ during rcpo~ing ~ri~(including trust ~sets) r~orting p~od of repoRing pe6~

O) (2 ) O) (2) (l) - (2) (3) ~ C4)P~c "(X )" after each ~t Amount Ty~ (e.g., Value Value Ty p e ( e . g ., D a t e Value / Gain I d e n t i ty o f

exempt from pfor di~losure C~e I [ d iv. , r en~ Co~ 2 Monad buy,~ll, m m ~ d & ~ y yC~e 21-- C~c 1 b u y e r / ~ c l l c r( A - H ) o r i n ~ ) ( J - P ) ,]

C~e3 r~cmpti~n) (J-P)[1 (A- )_/~ ( i f p r i va~ ,

5 2 , Lee Cry FL A Interest J T B uy 01OI/09 J

5 3 , Pz~saic Cry N.J. College II-01-19 A Interest J T

5 4 . Rogers, AK School District A Interest J T B uy 07/22/09 J

55. Federa! Home Loan 4-02-14 A Interest Redeemed 01/13/09 J

56. GMAC 9-15-11 A Interest J T

5 7 . Oppenheimer N,~ Muni Fd. CL A A Interest J T

5 8 . Evergreen Municipal Bond Fund CL [::1 A Interest J T

5 9 . Evergreen Municipal Bond Fund CL C A Interest J T

6 0 . American Funds Tax Exempt Bond Fd. CL A Interest J TC

6 1 . Certificate of Deposit A Interest J T

6 2 . Certificate of Deposit A Interest Matured 09/23/09 J

6 3 . Treasury Nolcs- V arious Maturities D Interest M T

6 4 . I R A / 4 1 B l n t . , D i v. K T

6 5 . - Blaukrock Funds Large Cup CL A A Dividend J T

6 6 . - ATM Global Real Eslatc FD A Dividend J T Buy 09117/09 J

6 7 . - Calamos Growth FD A Dividend Sold 1 0 1 2 1 / 0 9 J

6 8 . - Delaware Group Adv, FDs A Dividend J T Buy 0 9 / 1 7 / 1 Y 9 J


8/11

Ja m e t ) f P e r s o n R e p o r t i n g D a t e o f R e p l n tFINANCIAL DISCLOSURE REPORTPage 8 of1 1 co ,vc . , aobe ~t ~ . . 05 /04 /2010

VI 1. INVESTMENTS and TRUSTS- i .... ,, value. ,r .....lions (l~chtd~ those of sp .....d d,,pend ....h U d r e n ; s ~ e ~ p . 3 1 - 6 0 o f / H i n g i n s tt u c t i, m x . )

~ N ONE (No reportable income, ~sets, or transactiom.)................... ~ .... B. C. D.

Desc r ip t i o n o f As s e t s I n c o m e d u r in g Gross value at end Transactions dunng reposing peri~(including t~st ~ts) reporting ~fi~ o f r c p o ~ i n g p e r i o d

~ "] (2) O) (2 ) O) (2 ) O) (~)P la ce " (X )" a iic r e a ch ~ s sc t A m o u n t [T y~ (e.g, Value Va ] ~ c T y p e (e .g ., D a te Value Gain [ d e n l i ty o f

(AH)Io r i n t ) ( J - P ) I Code3 r e d e m p t i o n )

-~

( i f pr iva te

6 9 . Morgan Stanley Insd. FD A Dividend J T Buy 09/16/09

7 0 . Park Ave Portfolio Emerg. A Dividend J T B uy 09/21/09 J

7 1 . . DWS D reman Small Cap FD A Dividend J T

7 2 . - Harbor International A lnt./Div. J T

7 3 . - Hotchkiss & W iley FDs A Dividend J T

7 4 . - Jobn Hancock Classic Value FD A Dividend J T

7 5 . - Kinetics Paradi~u FI)- INST Dividend Sold 09!16/09 J

7 6 . - Pimco FDs A Dividend J T B uy 09/16/09 J

7 7 . - Lcgg Mason Value T rust Mutual Fund Dividend J T

! 7 ~ ; - Oppenheimer Intl. Growth A Dividend J T

7 9 . - Quantative Group Fd. A Dividend J T

8 0 . - RS Investment FDS A Dividend Sold 0 9 1 1 6 / 0 9 J

8 1 . - Sccmity Equity FD A Dividend J T

8 2 . - T. Rowe Price Mid Cap FD A Dividend J T

8 3 . - Wells Fargo FDSTR Mutual Fund Dividend J T

8 4 . - Touchstone Large CapF D Dividend J T

S5. - Can~bmr Opporlinity FD A Dividend J T

j


9/11

FINANCIAL DISCLOSURE REPORTPa~o(~ 9 of] ] Cowen, Robert E. 05/04/2010

VII. INVESTMENTS and TRUSTS -i ..... e, ~.1..., ....... ~ n ~ ( ~ n c ~ u d e s t h a s ~ ~ f s p ~ u s e a ~ d d e p e n d e n ~ c I ~ i ~ d r ~ s ~ p 1 ~ 3 4 - 6 ~

N O N E(No reportable income, ~sets, or transactions.)

~scrlption of Assets Gross value ~ end Y~nsactio~ during ~po~ing period(includi~g trust ~cL~) [ _._rc~ing ~i~ of repo~g period

Place(X)" aFt~cach asset /Amoum Type (e.g., Val~ Value T~ (e.g., Date Value I Gain j Identity ofcxcmp~ from p~or disclosure Code I div., r~t, Code 2 Me~ buy, sclI, maffd~yy Code 2 I C~e I ] bayer/seller

................................... ~_ .....(Q-~

~.~transaction)

8 6 . - Goldman Sacks TR Money Market A Interest J T

87. - Alger FDS Dividend Sold 0 9 / 1 6 1 0 9 J

8 8 . - Artio Intl. Dividend J T

P3 =$25,~,001 . ~50,~,~ P4 =M ore t~an


10/11

FINANCIAL DISCLOSURE REPORTPage 10 of 11

VIII. AI)DITIONAL INFORMATION OR EXPLANATIONS.

I. By letter dated September 29, 1989, Chainr~an Prat~, after receiving Judicial Ethics Committee authority advised me that in Section VII I need only disclose

~ggregatc income and v alue inlormation for the above-referenced trust.


11/11

FINANCIAL DISCLOSURE REPORT N ..... fP ..... Reporling Dl*l of Repo!!

Page 1 1 o f l l c o w e n , R o b e r t E . 0 5 / 0 4 / ~ . 0 1 0

IX. CERTIFICATION.

I certify tttat all iofi~rmation given abov e (including information pertaining to my spouse and m inor or dependent children, if any) isaccurate,true, and com plete to the best of my knowledge a nd belief, and that any information not reported was withheld because it met applicable stat)rovislons permitting non-disclosure.

I further certify that earned income from outside emp loyment and honoraria and the accep tance of gifts which have been rep~w ted arc incompliance with the provisions of 5 U.S.C. app. 501 et. scq., 5 U.S.C. 7 353, and Judicial Conference regulations.

S i g n a t u r e

NOTE: ANY INDIVIDUAl. \VHO ]CNO\VINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial DisclosureAdm inistrative Office of the Un ited States CourtsSuite 2-301One Colum bus Circle, N.E.Washington, D,C. 20544

robert e cowen financial disclosure report for 2009

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