. ,--.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