[

___________ _ Da'Jl. ____ _

Vi

POSITION ORGA.'lJZAJ]ONIENITTY

'11:,

Report Required by the Ethies FINANCIAL DISCLOSlJRE REPORT in Government Act fJf 1978

Calendar Year 2003 (5 U.S.C. app. §§ 101-lll)

L Person Reporting (Lasi name, First name, -�vfiddie initial)

Cowen, Robert E

4. Titl (Article IIIJudges indicate active or senior status;

magistrate judges ir.dicate full- orpart-tim•)

Senior U.S. arc-:.:i! Judge

2. Court or Orgnniz.ation

U.S. Court of Appeals 3rd Cir.

S. Report:Type (check appropriate type)

Nomim1�on., Date

@Annual 0 Ffual

3. Date of Report

4/20/2004

6. i?.eportingPeriod

111/2003

to

1213112003

i, Chambers or Office Address

402 E. State Street

Room207

Trenron, NJ 08608

8. On the basis of the information contained ln this Report and any moilificatious pertaining thereto, it i5, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer

'lMPORTA.r'\IT NOTES: The instructions accompanying this iorm must be follo'\\'ed, Comp1e:e all parts, checking the NONE box.for each part when: you have no reportable infonriation. Sign on Wt page.

I. POSffiONS. (Reporting individual only; '°"pp. 9-13 of filing instructions)

NONE - (No reportable positions.)

NA.\1E OF

I.

II. AGREEME!'l'TS. (Reporting individual onlpec pp. 14-!6 offiling instructions)

NONE (No reportable agreemer.ts.) -

l.

SOURCE A'-'u TYPE GROSS INCOME

SOURCE AND TYPE

SOURCE DESCRIPTION

FINANCIAL DISCLOSURE REPORT Name of Pers-on Reporting , Date of Report

Cowen, Robert E 4/20/2004

ID. N 0 N-INVESTMENT IN CO ME. {Reporting individual and spoase; see pp. t 1·24 of filing msuuctions)

A. Filer's Non-Investment Incom

Ii!) NO:N'E • (No reportal>le non-investment income.)

(ymm:, not s::wuse )

B Spouse·s Non-Investment Income .. (Ifyou were married during nny portion of the reporting year. please complete this section. (dollar am11unt not rf.quired except for honoraria)

D NONE (No repor.able non-investmer.t income.) ·

L 2003 State of New Jersey

IV. REIMB lJRSEMENTS ttansportation, lodging. food, entertafoment. -

(lncludos those to spouse and dependent children. See pp. 2S·27 ofinstroctions,)

D NONE (No such reportable reimbursemems,) -

], George 11ason University Schoo1 Th<>Fed=Iist Paper.; for Ju<lges, LaloDn, CA, transportation, lodging, meals. March 6 -9,-

2003.

2. N.Y. Intellectual Property Law Association Annual dfunerhonorlng federa!Judges, New York City, NY, transportation, lodging and . dinner. March 26 .. 29 2.003,

3. Amcri::an 1edical Association Meetir.g of tie AMA Medical School Accreditation Committee of \vhich 1 am a Jay member. Washington, DC, June 3 • 5, 2003.

4. American Medical A..ssociation Meeting of the AMA ;-Jedical School Accreditation Cammi of which 1 am a lay member, Chicago, ll., October 7 9, 2003. -

SOURCE DESCRIPTION

CREDITOR DESCRIPTION V A!,\JE COOE

I

I FINANCIAL DISCLOSURE REPORT Name of Person Reporting Dall: of Report

Cowen, Robert E 412012004

V. GIFTS. (fncludes those to spouse and dependent children. See pp. 28·31 of instructions.)

1'21 NONE - (No such reportabre gifts.)

I.

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructioos.)

liZJ NONE (No repQrtab!e Uabiirries.J .

1.

R

(l) (1)

A

, ·--

D.

(I) (2) (I) lf rrom

(2) (3)

1-lMl!r.,.,

I -

(4) (5)

'

i I

'

'

! i

'

FJ.CqANCL..\L DISCLOSURE REPORT Name of Pera.on Reporting Date cf Report

Page 1of4 Cowen, Robert E 412012004

VIL INVESTMENTS and TRUSTS - !oo:lme, value, transcati:;;.13 (includes facse of the spouse at1d dependent chiklren, See pp. 34-51 of filing instructions.)

A. lnoomc duri;1e;

Description ofAssets tepocting p:rlod (hlc trust assets)

Fi.ace · xr after eacl:: asset exempt Amo ll'J Type Ce.g.from:priw di.sclcsure Corle! div, tent Ot

(A ·H) int)

DNONE (No reportable fueon;.e, assets, or t:nnsadions)

!. Alcoa (Common Stock) A Dividend

2. ..o\merican International Group, Inc. (Co:n..-non Stock) A Dividend

3. B!lllkamerica Corp. (Common Stock) A Dividend

4. Chevrori Texaco Corp. (Connron Stock) A Divide!ld

5. Cisco Systems (Common Stock) None None -

6. Citigroup, Inc. (Common Stock) B Dividend

7. Coca Cola Co. (Common Stock) A Dividend

8. Colgae Palm<>lin (Common Stock) A Dividend

9. Dell Computer (Co;mmm Stock) Kone None

10. Duke Energy (Common Stock) A Dividend

11. EMC Corp. (Ccmm<>r, Stook) None None

12. ExxonMobil (Common Stock) A Dividend

13. FedEx Corp. (Common Stock) A Dividend

14. General Elect:'lc (Ccm."non Stock) A Dividend

!S. Hom<: Depot (Common Stock) A Dividoc.d

16. Intel Corp. (Common Stock) A Dividend

17. Johnson & Johnson (Common Stock) Dividend

18. JP Morgllll Chase (Connnon Stock) A Dividend

c. Gmss value at end of Transactions during reporting period reporting ty:riod -

trot exempt disclosure

Value Vfilue Typt {e.g. Date: Value Code2 Method buy, sen. Month .. CoCe2 (J-P) Code3 -· Doy (J-P)

(Q-W) ;edemp:ioo)

K T Bought 10121 J

K T

J T

J T

K T

K T

J T

K T

J T

J T

J T

K T

J T

K T -

J T

L T

K T

j T Bought 10121 1

Gain Code l (A· "'

Idem.:fyor buyer/seller (if private transaction)

- --

I

I l, lnc me/Ci!U;t \:' A - SJ.;000 9f less B =Sl,'O 't-SL,SW c---

_ =_ ,5(11, ss(oou D sspot-Sb5ooo_ Su clni'rlJlS:.S _a� D4} I' s;;i;,-0_01.s1op,@ G SI d,DQJ ·$),OOC;!\(lll Ht -sr:ooo.00:1..ss,OqQ,-OW F' M6r:e·;�, ss,oo-0.Poo

:-yalltf to f J :,,.-.St Jtq _m l6Ss K '=;$1S,ri01+;5q;ob6 L =:!f:SO,i>Ql·$.10CiD: *' $1-09;QO'l:;S:'.50,66o-( ¢?1t:mim--¢i _�ld PB) �-Si5e�n�:o_c,ooo o_ ,__.s$1i:u.oci -s _,._nop tf.J - - P1 4/$i,moq1_..:Ss.OOG;ooP P - '7 .VO::J.COJ-_!l'.25,00C',OCD

?4 "':$f4pr¢!iiIDis.5 ,DDQ,;(f(}O-S -'* :\s- esmi.rot T .Cf.Ltjf/M¥_rk

23.

24.

28.

w.

f, f

l{ pj

t:

13

G

K

0

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(l) (2)

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(!} (2) (l) u 01urc msctosure

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(4J (S)

FINANCIAL DISCLOSURE REPORT . · Page 2 of4

Name of .Person Reporting

Cowen, Robert E

f)atoefReport

412012004

VII INVESTMENTS and TRUSTS

A.

l){;s:::ription of Assets (it.ofodir1g:trnst assets)

Place "(X}" after each ru;set exempt from prior disolosure

19. Medco Health Solutions (Common Stock)

20. Mootronic Jru;. (Common Srock)

21. Merok & Co. (Common Stock)

22. Merril! Lynch (Common Stock)

Microsoft Co:p, (Comrr.on Stock)

Nokia (Sponsored Adrs)

25. Pfizer, Jnc. (Common Stock)

26. Public Service Enterprise Qro:;,p Inc. (Common Stock)

27. TargetCo:-p, {Com..'710n Stock)

Verizon Communications (Common Srock)

Wal-Mart, lnc. (Common Srock)

30. Zimmer Hldgs lnc. (Common Stock) (X)

31. Trust#!

32. Middlesex County hnpt Autll. (Municipal Bond)

33. Eaton-Vance NJ. Tax Thee(Municipal Fund)

34. Eaton-Vance NJ. Tax Free (Municipal Fund)

35. Menilj..Lynch Capital Trust (Preferred Stock)

36. . llxl:.'iimge National Bank Zero Coupon CD

B. during

reporting period

- Type {e.g. Code I d..iv. rent. o: (A-HJ int.)

None None

A Dividend

A Dividend

A Dividend .

A Dividentl

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

.A Dividend

None N°""

D Div/Int

B Jntet-..st

A l::terest

A Interest

!nrerest

None None

c. D. Gross value at end of Tra:.;suc:ions during reporting; period reporting period

not exempt

Value Value Corle;! Method (J-P)

. Code3 (Q-W)

T

J T

i r

I T

K T

J T

K T

l T

J T

l T

1 T

I r

N T

K T

I 'J'- '

J T

J T

!

K T

Type (e.g. bU)', sell, merger, re.deroption)

Spinoff

(2) I (3)Date va:u::;Monfu• 1 Cocio 2 Day {J-P)

8120

Gai.."1 Codel (A-"'

ldenli:yof buyer/sellat (ifpriva!>

0::1)

- -

.

'!"' $J;O Qr es $SQ,QQj 10,0,QQO

-£ ,00l-"S2,5{10 ·7_s1u:,:,.:1n1-s1,oim

·c "'s:t,S\'.Jl+S$, ® Ill '"lt.\iQ ,<iol,;s.!!00,@P

n -=.: Jxn sis.ooc·

· m -FMDri: ,nn:>.s.000,000 n -- 15JJ�H $sp; Pu

. '\'ahJe.C-6Cei£

tSl.-e_Col:mu:.S Cl lt!ld 03) .. - .15_,06Q Or Jess

*' -5 .Q0 '5iJO,:J::m "S'3,fi!\1- SO "" $5(Ri,00l ;$} )J_D(.!,000

I•

l · s�,0Q1�1!1<ipon. .

• $t,tj&o:oo!f$ .i>Ui. OO ;.{ . .;$)00,001-:zso oo. l'J .. • $S,OOD,DO.l-$25,000;noo .

""s:::s,ooo,091-ss9,ocurtrru }?4 · .<f - 'film s· -a ii:x!� o. Q .,,-ApPriliS!Y, ""'Co11t [}.telli Bm_te9¢�1

"''BQ-Ck \7,;t!u;i

B.

,_mg period

(!) (2) (t) (2)

A j

.

(1)

'

D.

u

(3) (4} (5)

l

I

------· ··-,.·---.----,------------------------------ -----------------. =Sl,0091:n11e_11s_ .,.,$1_,{>J1 $2,_5{JD _=;si.o[l 1-s;1$,GOO _

· - =$10,001 50, oo--

Type (e.g.

FINANCIAL DISCLOSURE REPORT Dat.e ofReportNa.'T!e of Person Reporting

-Page3 of4 Cowen, Rubert E 4120/2004

VIl. INVESTMENTS and TRUSTS

A.

Description of Assets (including 1rust """"')

Place "(Xjl' afb!r' each as.<wt pt m m prior disclosure

37. N.J. Healthcare, Inc. 6.20% 7-01.09

3S. Mercer Cly NJ lmpt Autb. Rev. l l--01.07

39. Passaic Cty Gen. Impt. MBA5% 5-01-17

40. N.l Econ. Dev.Auth. VlaterFa.c.11-01-34

41. NJ Healthcare Fae. 6.75°/n 7-lil-19

42. NJ HFA Mtg.Mf. Rev. R 6.50% 5--01--04

43. N.J. HealthcareP.,cackValley Hospital 7-01-28

44. N.J. Healthcm-el<ennedy Health Cenrer7-01-31

45. Mi4dlesox Cty NJ C1FS 6-15-23

46. NJ Econ. Dev. Auth. 5-15-25

47. Boord of Education, Princeton Regional SehooJs

48. N.J. Environmental Mra. Trust 5.25% 9-01-19

49. Ft. Lee NJ l:mpt. 010 2-15-15

50. (JR<\.) Putnam FD fo'Growth & IneomeCL B

51. (IRA) Putnam Voyag<r FD CL B

52. (IRA) Putnam Health Sciences TRCLB

53. (IRA) Putnam Europe Equity CLB (formerly Europe GroW'.h)

54. (IRA) Putnam JnvtFDS Growth Oppcys FD CLB

c. lnoome during Gross value at er.d of

reporting period

- T)¥ {e.g. Value Value Code l div, rent. or Code2 Method (A·H) lot.) (J-P) Code3

(Q-W)

Interest T

A lnrerest

A Interest J T

A ln1=St J T

A Interest J T

B Interest

A hltcrest J T

A lnrerest l T

A lnterest l T

A Interest K. T

B Interest K T

B bterest K. T

A Interest K. T

A DMdend J T

A Dividend l L .

A Dividend ! T

A Dividend J T

A Dividend J T

buy, sell, "'"""'· redetnption)

Called

Sold

Bought

Bought

Transactions during reporting perind

(2) Dare: Month-Day

11103

11/U

10/27

11118

r.ot exempt frcm dJSc!osw-e

Value Code2 (J '.P}

J

.

K

J

K

Gain Code l (A· m

'

ld1:1ntity of buye:/selle: (ffprh'<®transacti(ln)

- -

I

l. ifo�:meJGa\nC d l)c A B c ,.,-s+,5D1_ S5 1) D E - se ·coJmnm#i tp:._ p<l) F ""S50,tro1 10Q!�QY G "'$100,-00 -$:,oot,OOJ EC ·= _S!;'.:OG,OOJ 5,0 ,{ltlD_ :!f2. Mor<?i:hanS5,0Q0,000' -

'l.-\'<iluc:"Codes: J s1s.-otm :Qffti_!i K ""m, l'l$,c,uot r. .,,,-sso.(1:}1-S-1tJcJjt:o • M_ --,,,_s-:oo,o:(f1.,PsoJJOO -

-{See Co ;mm£·ql snd.D3) J-1 _,,,. s:iSQ,900-SsGo.opp b ,,,,-ssoc·,Qfi1_..si,oOc,uoG :! = 1:,c-OCJxn-ss.6or.1,u60 Pi =· ss,Ooo,.eu1-r.;s;OOO�ti<lo

:r "" Z,joo ;cQ1.:ss9,tif.i;o,:Joo :?4 $Y.o th:m $50,<JOO,ODC

ll.

(I) (;!)

A

A 1l F G T t, N

(1) (Z) (1) lfnot num d:sclosure

J T

(:I) (3) (4) (.S)

- .

(tfpri-

FINANCIAL DISCLOSURE REPORT Na.":lC of Person Reporting Date of Report

.Page 4 of 4 Cowen, Robert E 4/2012004

'VII. INVESTMENTS and TRUSTS .

c. .D.·A. lncomc during Gross-.."ldue at end of Transactioos duringrepo...:mg period

Desciptico of Assets reporting period reporting period (ini;.i!udingtrust assets)

exempt

Type (e.g. Plate (X::" after asoh asset exempt Dare:Yruue Value Ident:ityafAm- GainType (e.g, Valueb:i�,, .sell, lv1o:ith-m-wiprier diS iosure Code2 h:k.1:hod. tm,.,mcll<tCod< l div. rent. or Code2 Code

Day""""'· Code3.(A·H) l (A·(J-P) (J·P)int.) redem;:ition) m transaction)(Q-W)

Evergreen Municipal Bond Fund CL B Interest55.

J T Bought 6/24 JA InterestEvergreen lvfunicipal Bond Fund CL C 55.

TInt.er est MIreeasury Notes Various Maturities p57.

1, ln.cor:ie/G : Qe.s: "" l}JOO.'dii.ess ""$1,0l'4...'S;!:.5.i)() c ..,,1z.s.o-1 ss,00n D ,...ss:;cvJ s s.OO:o. E ,,. Z15.0Dl-$5::i, -oo.c -

(See Columns ..B.1 and r::-4) $�1).oD1 s,iOri,o��J ;,,, S:_tQo, _01.si ,Cdo,9p;Q HI ""· ,{1{)0;001-$.$,000,0QO ' F.2 ,=-:Mill-� i. M-$5; 6-0;oo .. 2. \iarue ccines: · : · ,,,.srs,o:o .(); •$15,001-$50,0C·) 0:'$lC. O!-SJOO.ODO. . H e s:oo;001·$250.00-0; .•

s2sn.ocq. 5'l<J.ooo G ""S5GO,CQ1..Sl,0(. , 0 ·?: fc·St,DQri�®i-:s:?,0®,0Po ·.r2 .= ss,Ovv�-o:n-,t2s,Opei;DQrf _ 1'3 . "' s:.;5,uoo. i-'$.50,oCo,ooo ·r4· ..,,. :sn.4of•filian sso, ooo ,QOO Q "'·,\ppr.!ii.S:U! · R At.O:>sr(Re.U Es:4le Ody) S =-A ¢ni: T ""'Cnsh/!'.:nrke!

V m.(Hhtr 1){ = E;;tim:ih:d

· FINANCIAL DISCLOSURE REPORT . Nameofl'etl;on Reporting

Cowen. Robert E

Date of Report

4120/2004

VIII. ADDffiONAL INFORMATION OREXPLfu.'lAT101'fS (L-.::Hute p2ti cf R epcrt.)

1. By letter datOO September 29 1989, Chairm:m Pratt, after receiving Judk-ial Ethics Comtnittee authority advised me tbat in Section VITI need only disclose aggregate income and value inibnnati(r;l fut the above-referenced trust

2. The maturity date nn this item wu mistakenly li&ted as 7·01-08 ln the 2002 report.

3. This fund was mistakenly list.ed as CLE ir. L e 2002 report.

April 20,

Name ofPe:-son Reporting Dnte ofRoport

412012004

. i:'INA.1'\CIAL DISCLOSURE REPORT

IX. CERTIFICATION.

I certify that all information given above {including information pertainlng 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 prov sions permitting non·disclosllie.

I fur.lier certify that earned income from outside employment andhonoraria aud the acceptance of gifts which have been reported a:re in compliance with the pro;isions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature Date 2004

NOTE: Af<'Y INDIVIDU.".L V.'HO KNOWINGLY A.>m WILFULLY FALSIFIES OR FAILS TO FlLE THIS REPORT MAY BE SUBJECT TO CIVIL.Ac'ID 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