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Judicial Watch • Robert E Cowen Financial Disclosure Report for 2005

Robert E Cowen Financial Disclosure Report for 2005

Robert E Cowen Financial Disclosure Report for 2005

Page 1: Robert E Cowen Financial Disclosure Report for 2005

Category:Financial Disclosure

Number of Pages:11

Date Created:August 1, 2006

Date Uploaded to the Library:November 13, 2013

Tags:cowen, Robert E Cowen, Bought, mutual, robert, stock, 2005, EPA, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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UNITED STATES COURT APPEALS FOR THE THIRD CIRCUIT  
CHAMBERS ROBERT COWEN CIRCUIT JUDGE  402 STATE STREET TRENTON, 08608  

June 20, 2006 
Honorable Orttie Smith, Chair 
Committee Financial Disclosure 
Administrative Office the 
United States Courts 
One Columbus Circle, N.E., Suite 2-30 
Washington, 20544 
Re: 
Financial Disclosure 2005
Dear Judge Smith: response your inquiry June 12th, please advised follows:   
the value code "J". COWEN UNITED STATES CIRCUIT JUDGE 
'-.. J. 
REC:daj 
  ,-,  '' ,_> --,,- Government Act 1978 
Rev. 112006 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-111) Person Reporting (last name, first, middle Initial) Cowen, Robert Court Organization U.S. Court Appeals 3rd Cir. Date Report 04/26/2006 Title (Article III judges indicate active senior status; magistrate judges Indicate full-or part-time) Senior U.S. Circuit Judge  Sa. Report Type (check appropriate type) Nomination, Date Initial  Annual Final Reporting Period 01/01/2005 12/31/2005  
Sb. Amended Report Chambers Office Address 402 State Street Room 207 Trenton, 08608 the basis the Information contained this Report and any modifications pertaining thereto, Is, opinion, compllance with applicable laws and regulations. Reviewing Officer Date  

IMPORT ANT TES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.) 
[KJ NONE (No reportable positions.) 

POSITION 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
[RJ NONE (No reportable agreements.) 

PARTIES AND TERMS 

Cowen, Robert 

III, N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filer's Non-Investment Income (KJ NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 

SOURCE AND TYPE 2005 State New Jersey 

IV, REIMBURSEMENTS --transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children. See pp. 25-27 instroctions.)  NONE (No reportable reimbursements.)  
SOURCE  DESCRIPTION George Mason Univ. School Law, Law Eonomics Center  ProgramScience the Courts, April  -13, 2005, Tucson, 

04/26/2006
Cowen, Robert 

V GIFTS, (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VI, LIABILITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) 
 	
NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 

Date Report 
Cowen, Robert 
04/26/2006 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see pp. 14-s1 filing instructions) NONE (No reportable income, assets, transactions.)  
Description Assets  Income. during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reportingperiod  
(I)  (2)  (1)  (2)  (1)  lfnot exempt from disclosure  

Place "(X)" after each asset Amount 
Type (e.g. Value 
Value Type (e.g. 
(2) 
(4) 
exempt from prior disclosure Code div., rent, Code Method int.) (J-P) Code (Q-W) 
(A-H) Alcoa (Common Stock) Dividend American International Group, Inc. Dividend 
(Common Stock) 
Bankamerica Corp. (Common Stock) Dividend 
Chevron Texaco Corp. (Common Stock) Dividend 
Cisco Systems (Common Stock) 

None 
buy, sell, Date Gain
Value 
Identity 
merger, Month-Cede
Code 
buyer/seller 
redemption) Day 
(if private transaction) 
(J-P) 
(A-H) Citigroup, Inc. (Common Stock)  Dividend Coca Cola Co. (Common Stock)  Dividend Colgate Palmolive (Common Stock)  Dividend Comcast Hldgs Inc. (Common Stock)  None  Bought  1/14  
10. Conoco Phillips (Common Stock)  Dividend  
11. Deere Co. (Common Stock)  Dividend  
12. Dell Computer (Common Stock)  None  
13. Duke Energy (Common Stock)  Dividend  
14. EMC Corp. (Common Stock)  None  
15. ExxonMobil (Common Stock)  Dividend  
16. FedEx Corp. (Common Stock)  Dividend  
17. General Electric (Common Stock)  Dividend Income Gain Codes: =$1,000 less  B=$1,001-$2,500 2,501 -$5,000  D=$5,00l -$15,000  E=$15,001-$50,000  
(See Columns and D4) 50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001  $5,000,000  H2=More than $5,000,000 Value Codes =$15,000 less  K=$15,001  $50,000 =$50,00 -$I 00,000 =$100,001 -$250,000  
(Sec Columns and 03)  N=$250,001 -$500,000 =$500,001 -$1,000,000 l,000,001 -$5,000,000  P2=$5,000,00 -$25,000,000  
3.Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000  T=Cash Market  
(Sec Colwnn C2) =Appraisal  V=Other "'Assessment  
U=BookValue  W"'Estimated  

04/26/2006
Cowen, Robert 
VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. see pp. 34-57 of.filing instructwnsJ NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X) after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(1)  (2)  (l)  (2)  (l)  Jfnot exempt from disclosure  
Amount Code (A-H)  Type (e.g. div., rent; int.)  Value Code (J-P)  Value Method Code3 (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

18. Harbor Small Cap Value (Mutual Dividend Bought 5115 Stock FD) Income Gain Codes: =SI ,000 Jess =Sl,001-$2,500 =$2,50 -$5,000  D=$5,00I -$15,000  E=SJ5,001-$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000  L=$50,00I -$100,000 =$100,001  $250,000  
(See Columns and DJ) =$250,001 -$500,000  0=$500,001-$1,000,000 =$1,000,001 -$5,000,000  P2=$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment =Book Value  W=Estimated  

Date Report 
04/26/2006
Cowen, Robert 
VII. INVESTMENTS and income, value, transactions (includes those the spouse and dependent children. See PP 34-57 filing instructions) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporti.ng period  
(!)  (2)  (I)  (2)  (1) not exempt from disclosure  
Amount Code (A-H)  Type (e.g. div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

35. 
Eaton-Vance N.J. Tax Free (Municipal Interest Fund) 

36. 
Eaton-Vance N.J. Tax Free (Municipal Interest Fund) 

37. 
Merrill-Lynch Capital Trust (Preferred Interest Stock) 

38. 
N.J. Econ. Dev. Auth. Water Fae. Interest 11-01-34 

39. 
N.J. Healthcare Fae. 7-01-09 Interest Income Gain Codes: 1,000 less =$1,001  $2,500 =$2,501 $5,000  D=S5,00l -SI5,000 15,00 -$50,000  
(See Columns and D4)  F=$50,001  $100,000 =SI00,001 -Si,000,000 1,000,00  $5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001  $50,000 =$50,001  $100,000 =$100,001  $250,000  
(See Columns and D3) =$250,00 -$500,000 =$500,001  SI,000,000 =$1,000,001 -$5,000,000 =$5,000,001 $25,000,000 Value Method Codes =$25,000,001  $50,000,000 =Cost (Real Estate Only) =More than $50,000,000  T=Cash Market  
(Sec Column C2) =Appraisal  V=Other ""Assessment =Book Value  W=Estimated  

Date Report 
04/26/2006
Cowen, Robert 
VII. INVESTMENT and -income, value, transactions (includes those the spouse and dependent children. See PP 34-57 filing instructions) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  
{I)  (2)  (I)  (2)  (I) not ex.empt from disclosure  

each asset 
Amount
Place "(X)" after 
Value
Type (e.g. 
Value Type (e.g. 
(3) 
exempt from prior disclosure  Code (A-H)  div., rent, int.)  Code (J-P)  Method Code (Q-W)  buy, sell, merger, redemption)  Date Month-Day  Value Code (J-P)  Gain Code (A-H)  Identity buyer/seller (if private transaction)  
52. -Putnam Growth Income Mutual Fund  Sold  8/23  
53. -Putnam Voyager Fund Mutual Fund  Sold  8/23  
54. -Putnam Health Sciences Mutual Fund  Sold  8/23  
55. -Putnam Europe Equity Mutual Fund  Sold  8/23  

56. -Putnam Invt FDS Growth Opptys  Sold  8123 Mutual Fund  
57. -Bridgeway Inc. Mutual Fund  Bought  8/25  
58. -Causeway INTL Value Mutual Fund  Bought  8/25  
59. -Harbor Small Cap Value Mutual Fund  Bought  8/25  
60. -Hotchkiss Wiley Funds Mutual  Bought  8/25  
Fund  
61. -Julius Baer INVT Funds Mutual Fund  Bought  8/25  
62. -Legg Mason Value Trust Mutual Fund  Bought  8/25  
63. -Managers Fremont Mutual Fund  Bought  8/25  
64. -TCW Galiled Funds Inc. Mutual Fund  Bought  8/25  
65. -Third Ave TR. Mutual Fund  Bought  8/25  
66. -Torray INST Mutual Fund  Bought  8/25  
67. -Torray INST Mutual Fund  Sold  11/03  
68. -Touchstone Small Cap Growth  Bought  8/25  
Mutual Fund Inome Gain Codes: :=.$ ,000 less  B=S 1,00 -$2,500 =$2,50 -$5,000 =$5,001  $15,000  E=$15,00J -$50,000  
(See Columns and D4) =$50,001 -SI00,000 =SJ00,001 -Sl,000,000 =$1,000,001 -$5,000,000  H2=More than $5,000,000 Value Codes =Sl5,000 less  K=SJ5,001-$50,000  L=$50,001 -$100,000 =$I 00,00  $250,000  
(Soc Columns and D3)  N=$250,001 -$500,000  0=$500,001. $1,000,000 =$1,000,001-$5,000,000  P2=S5,000,00I -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal  V=Other ""Assessment =Book Value  W=Estimated  

04/26/2006
Cowen, Robert 
VII. INVESTMENTS and TRUSTS -income. value, transactions (includes those the spouse and dependent children. see pp. 14-57 filing instructions; NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period  
(!)  (2)  (!)  (2)  (I) not exempt from disclosure  
Amount Code (A-H)  Type (e.g. div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

69. -Vanguard/Windsor Mutual Fund Bought 8/25 Income Gain Codes: ,000 less  B=Sl,001-$2,500  c=$2,501 -$5,000  0=$5,001-$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00 -$I 00,000 =SI00,001 -Sl,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes  J=$15,000 less  K=$15,001 -$50,000  L=$50,001 -$100,000 =$I 00,00 $250,000  
(See Columns and DJ)  N=$250,001 -$500,000  0=$500,001-Sl,000,000 =Sl,000,001-$5,000,000  P2=$5,000,001  $25,000,000 Value Method Codes =$25,000,001  $50,000,000 =Cost (Real Estate Only) =Moro than $50,000,000  T=Cash Market  
(See Column C2) =Appraisal  V=Other =Assessment :::Book Value  W=Estimated  

04/26/2006
Cowen, Robert 

VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparto/Report.) letter dated September 29, 1989, Chairman Pratt, after receiving Judicial Ethics Committee authority advised that Section VII need only disclose aggregate income and value information for the above-referenced trust. 

04/26/2006
Cowen, Robert 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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