:..;���1l�*��� ����l\W. f�i�·:·

:· ·. ·,_-;-... '.:-.·:.: .!��??��;����������J!:.:··

POSITION NAME QFORGANIZADON/ENIDY

PA&TIES AND TERMS

) .

.. -: ·· . .. . . . .. _ .... ' · .\: ...

FINANCIAL DISCWSURE REPORT

Calendar Year 2003

· . . · '-· ".; ..

I. POSffiONS. tRepootinet individual on1y; see ff'· 9-ll otfilling ins tions)

Replll1 a...Eflib Jn Gtn'a'.IUDellt Act er ma cs u.s.c. .,,_ H 1111-111)

2. Court or Orpnimtion 3. Dmc aihportI. Peirso.11 Reporting (Last name, First mme, Middle initial)

Ben:mm, Richard M U.S. District Co11rt- SDN. Y. 619.12004

S. RepmtType (check appmpriate type) 6. RepmtingPeriod magistrate judges indicate full. cit" patt-limei '

4. Title (Article Ill Judges indi 1teacrl\-e or senior status;

Dale l/li2003 .o U.S. l:>islrict Judge· Active llD •

0 llliU1 0 Final 12/3l/2003

s. 0n the basis of the illbmatillll contaUd m this Report andany · 7. Chambers or Office Address modificeticm pertaining thcmo, i(is. in my opinion. in complilDco

U.S. District Court with applicable Jaws mad lqpl]aliom.. 40 Celllre Street

New York, NY 10007

IMPORTANT NO'IBS: The :instructions accompanying this farm mustbe followed. Canplemalll parts. cbecking the NONE box fur each put ·.

· where you have no reportable infonnatian. Sign on last page.

NONE (No reportable positions.)·

1.

:;o rr1 0 rn .. .,.,... 0

N ·< m

- t:::J (Reporting indi\idual only; see pp. 14-16 of filing instructiam) 2II. AGREEMENTS.

· NONE - (N4.>n--p.11111ble asreements.)

, -

SQURCE AND TYPE GROSS INCOME

SQURCE AND TYPE

SOUR.CE DESCm:noN

FINAlCIAL DISCLOSURE REPORT '

'

--... Berman. Richard M

fil NON-INVESTl\1ENT INCOME. (Reportingindividualandspouse;seepp. l7-24offiliinginstructions)

A. Fil'ei-'s Non-Investment Income

NQ]t'ffi - (Noreportablenon-investmcntincome.)

(yours, not spouse's)

1.

B. Spouse's Non-Investment Incom (ff you weremanicdduringanyportion of the reporting year,please GOD1plele lliis sec1iOO. (dollaramoontnot required cept forhanorari&)

NO:l'.'ffi - (No reportable non-investmentincome.)

l.

N. REUABURSEMENTS - tmnsportation, lodging. food. eoter1aimnent.

(Ineludes those to spouse and dc ent childrm. See pp. 25-27 ofinsttuctions.)

!ia NONE - (No such repartablle reimbursements.)

l.

FNmi11eofPcrsonReporting.

I

SQURCE DESCRIPTION

I.

DESCRIPTION VAI.lJECO:

. Berman. Ridm.td M

· :.mlA CIAL DISCIJJSURE REPORT' ' .

------��--��-

V. GIFTS. (Includes those= to spouse and dl:pc:Ddent children. See pp. 28-31 of instructions.)

NONE (No such reportable gifts.) -

VJ. l.IABil..ITIES. (lncl11ides those ofspouse and dependent children. See pp. 32-34 of instructions.)

D NONE (Noreportnbl•dillbil ties.) -

CF.EDTIPR

1. .Citicorp Mortgage on house Warren, CT J

1·NamearPersonRcpOrtiug

,.

0atcorRe;;---i _ 619,.

- -

2.

-·

-

-

11

(1)-

c

'

c.

repodiag period 11 ti"om ...-llRI

{2) (3) (4) (S)

..

w

J

ne;Gain

j

:

FINANCIAL DISCLOSURE REPORT

i (See Columns Cl :ind D3)

. .

Page l of 4 Belman. RicbaniM

VIl. IN1VESTMENTS and TRUSTS -Uimmc. ...iue. bUSCalicmsCim:ltldmtblllcortbespaucwdcpcadeatc:Wrm. Seapp.34-S7otlili111mltnlClliom..}

A. D.

Dcscriptioa of AllSCl1S (including trustlll!ICIS). ..

Place·cxr after each ami:t CICl:IDpt Crom prior disc:loswe

-

Income during repa:ting period

(2)

Amollllt Type . (e.g.Code I div. rent. or {A-H) int.}

(boa "llllue It end •

(l) (2)

vu. v.irue Cock2 Method (.f.P) Codd

(Q-W)

Traam:tiaos daring repuniq period

(l} oot cmupt

. Tne (q. Date: V.tue Gain Identity of ba.y,.U, hfoatb- Coclc2 Codel buyco'IC!lcrIDllpr, Day (J..P) (A-Ii) (iif"privmendc11lplioa) tlmmctioa)

DNONE (No repartableinCOOle. assets,or tnuuactions)

l. lia:ilital , Warren, c:r . Rent 0 w Rcatal .

I Property, F.ast Hampton, NY {House & D Rent N w Rental Cottage)

l. Rental Property, F.ast Hampton, NY c Rent K w Rana1

4. ll.imitid Parm.ership #1, Azte.x (real estate) A Dis1ribution J w ..

5. ll.imited Parlnership #2, Balkhou.'IC (real estate) None J w SeeNote l)m Partvm

6. Limited Partnership #3, Chc:sttmt (real estate) None J w

-

7. ll.imited Partnership #4, l l 9' Dcwlapmcnt (real estate) None J w

-

8. ll.imited Partnership #5, La.\lirel (real estate) None J

9.

10.

u.

12.

13.

li4.

15.

ll.imited Partnemhip #6, Fr£t!lklin (real estate)

--

ILlmited Pannership #7, C01inthian

-

LimitedPmtnership #8, Cmi.nthian Il (oil & gas)

- -

lLlmited.Partnersbip #9, Cmum (oil&: gas)

-

.JllDIUS Fund (defmrcd cooipcmsation)

'f. Rowe Price Equity lncoo:1c {defem:cl compensation)

-

Vanguard (Windsor, 500 Index)

A Distn"bution

None

None

None

None

A Dividend

B Dividend

J W'

J · w

J w

w

J T

K T

L T

See Note l)m Pmtvm

See Notis 1) in PartVIIl

See' Note I) m PartVDI

-.

16.

H.

Vanguard (Stmtcgic Equity,, U.S. Growth)

U.S. Treasury Notes

A Divi

E Interest

L T

Pl T

Partial Sale 12/ll K

Buy 09122 N

· · ·Codes: A ·SJ.OOOorl '!!s B Sl.001-Sl.SOO C -=$.2..501-SSJXIO· D "'ss;oo1�sas;ooo E SIS,OQil.SS0,000 (See Columns Bl and 04) f SS0.001-SlfK.tOOO G SIOO.OOl-Sl.000.000 Hl =SJ.000,001-SS,OOO.OOO. H2 MoretbiinS,S,000.000 · . .

2. Value: Codes: J --Sl 5,CJOC! llr less K SlS.00!-SS0.000 L sso..001.s100.ooo M -s100,001-szso,ooo .

N " $25iJ.OOO-S51l{l.OOO 0 ssOO,OOl-Sl.000.000 Pl =Sl.000,001-tS,OOO,OOO P2 .,$5,000,001-$25,000,000

!'3 .. s::5.00U.001-S5iJ.OOO.nOO P4 =$More thlmSS0-,000,000 . 3. V aluc Method Codes Q Apprais:il R Cost (Real Estate Only) S Assessmclr! =

(S.:e Column C2i U !:look Value v Olbc:r w Estim."ltcd=··

'

A.

-

-

-

-

--A

Interest

B

10 )(]

D.

U tiom Cllsc:kmlrc

(J)

. t

K

(4) Gain Coded

Ber.man. R.icbard M

(1)

n ·"

(l) (1)

. .

EINANCIAL DISCLOSURE REPORT Name of Person Reporting Date ofRi:pott

Page2 f4 6/912004

Vil JNVESTMENTS and TRUSTS -iacomc, w1ue. 1nmsc:arions <itu:hldes thoscoflhcspousaand c1cpenc1cntc:hildrcn. Sec pp.34-S7 orfilins im!ruc:tioiisJ - -

B. c. lllCGllledming Gross wlue at a:id of Tl'llDSllGtiom during rcponiug period

Description of AS$dS rqJCCtillg period lqXlf1ing period (inc:ludiqttust USCU)

- Dot cxcmpt (2) (2)

18.

19.

20.

11.

22.

23.

24.

25.

.26.

.27.

28.

29.

30.

31.

32.

33.

34.

35.

Plai:e "(X)" after each U!lllt l:lrmlpl fiuai piorclisclosum

NYC Tigen Municipal Bo111d (Water)

NYC GO Municipe.l Bond ..

NYC Municipal Bond (W1.ter) -

John Nuveen Municipal Bc:IOd FUDd (Sdcct}

-:Blackrock Municipal Bond Fund -

-:Muniyidd Municipal Bond Fund

:NYC Metropolitan Trausit Municipal Bond(Series :0)

Comcast A Common Stock

-'rJXDC Wamr:r Common StoQk (AOL)

AT&T

!Cablevision Systems ConmllOll Stock:

-Alflacell Common Stock

- -IG.E. Comman Stock:

:Liberty Media. Common. Stcx:Jk

:Liberty Satellite Cammon Stock (TCI)

-:1..u=nt Techmlogics Common Stiick

-iMiaosoft Cammon Stock

-Wesco Common Stock

Amoullf Code I (A-H)

A

A

A

B

B

B

c

A

A

Type: (e.g.div. 1a1Lor int.)

Interest

Interest

Distribution

Distribution

Dividend

Interest

None

Nooe

Dividend

Nooe

None

Dividend

None

Nooe

None

N0nc

None

Value Code2 {J-P)

1

K

K

K

K

L

K

J

K

L

J

K

Value Mc1hod Coclle 3 (Q-W)

w

T

T

T

T

T

T

l'

T

T

T

1'

J 1'

J T

1 T

Type (e.g. buy, sell, lllCIJCf, ndcmption)

Partial Sale

.,

Partial sale

Partial sale

Sale

Partial sale

Partial sale

(2} Dau:: Valuo Mondt- Code2 Day CJ.:P)

10/01 J

04/.25 J

04125 IC

02128 J

04/.25 J

ll/18 J

CS) lldcatityof buyer I seller

(A-Ii) (i!'privatci lnmsactim)

A

A

A

A

A

A

Sale 1118 J A

Partial sale 04n.5 J A

I • lncomefGain Codes; St.OUO or less . Sl.001-Sl.SOO c = SOl-S5.00U1 D = SS.001-$15,000 E = Sl 5.0o:l-SS0,.000

(Sec Col1111lDS Bl and D4 i F 'S50.001-SIOO,OOO G ,. $100.001-Sl.fJOO.OOO Bl Sl.000.00l-S5,000.000 H2 More then SS.000.000

2. Vaine Codes: .l Sl5,0ft(1 <'r kss K 'Sl5.0il!-S51i.OOO L =· SS0.001-SlOO,OOO M - s100.001-s2so.ooo -(See CollmmsCI and D . <.J 1-' .. '<;r..•• .i.O!)(kS.00,0l){l., 0 • :>)().O J .. ;; "( • l.; = = ,_ - Otl.00() Pl S!,000.00J ss.000.000 P2 $5,000.001 $25.000.0

P3 · S25.Ul){).0fJ!-S50.000.0flO P4 = SMorc than SS0.000.000

3. Value Method Codes tJ .Appr:ussl T = CasbiMar�

(See Column C2) !! ·. Boot \'alue V •Other w =Estimmoo

I ,. _

_

D.

(2) (l) llllCltaanptlium--

Olin Codel

(J.P) . ir

06IV3 J

1

--

-

-

-

Interest K

51.

c Partial Sale

·

DateofRA:port Pa·ge .3 of 4

VII. JNVESTMENTS and! TRUSTS -inc:cmc, ,..iuc, lniDsClllions <inchtdes 11101c ort1ie IJIOlllC .. dcpendaat children. s. pp. :w-31 or&ling instnJCtiaas.>

--

Transactiims darillg RpOl1iag period Dcscripliaa of Assc:«s n:porting period

(S)

1--=tion)

. . FINANCIAL DISCLOSURE REPORT NameofPersoDReporting

Bmnan. RicbmdM _J

B. c.A. Income during OJOlllwlmeatad of

nportiilg paiod :

(illc:lwfirli trust Ull:ls} (I} (2) (1)

(.2) (3) (4) Place .(X)" after each llSsieil CXlllllpt Amowrt Tl'JIO (e.g. v.i .. v.i .. Tl'JIO Cc.a. Diiie:

div. rcnL or

llclcmtilyofVahle Code2 MCllhocl buy, 11111. Month-from.prior Codel Codo2

(A·H) inL) {.J.P) Coi:lc3 Day Of'pri\wlemerger.rePempliilG) (A-H)

{Q"W)

36. American Express Conim.on Stock None J

--

31. :Ma:lizone Common Stock ., Nam Sale 02128 J A

38. Compaq Computer 1m Stock None Sale A Sci Note 2) in PaiitVIll

39.. . 'felepart Common Stock Noor: &dvmge 07121 J A Sci' Note 3) in PmitVIll

40 . ...... AT&TExchange Common Stock (E1F) None K

41. ltibay Inc. Common Stock None K T

-

42. Cisco Systems Common Stock None '

Sale 04l2S J A

43. lBell Atlantic Common Stoc:k (Verizon) A Dividend J T

'

44. l Common Stock (Elam) A Dividend J T

45. Merrill Lynch Fund B Dividcad. •J T

46.

47.

l llon Corp. Notes

-

C:::MA Tax Exempt Fund c

None

Interest N 'l'

Rllldeemed 06/01 J A Sec: Noto 4) in PartVIll

48. John Nuvecn Common Stoc:k Ftmd (Class A} B Dividend K T

49. Scaxsdalc. NY Municipal Eiood A W.

so. Westchester, NY Municipal Bond (Westchester C::omrty)

c Interest L w

Rye City, NY Municipal Bcmd A Interest L W·

-

52. MAC Municipal Bond lntcRst L w 07/01 K A

53. Aw.ya Common Stock Nooe Sale 02128 J A

I. Jncomc.'Cmn Cudcs: (SeeColll!lllnsBI andIJ.1)

2. Value Codes: (SeeCol1mms Cl and D3)

3. Value Method Codes (SceGulumll c:·1

A ; Sl.000 or less F -"sso.001-s100.ooo J '$1:\000 or less N •-· S li.00(1..$500.000 P3 · · S15.1Jt)!l.0Ul-$5ti.000.000 Q Appraisal lJ - B«'k Value

B G K o

R V

= SI.OO!-S2.500 =SIOO.OOl-Sl.000.000 = Sl.5.00l-S.')(),000 SS(l'0.001-S l.000.000

Cost (Re:il fatale Only} Oth r

C m$2,SOl..SS.OOO·. m sl,000,001.ss.ooo.ooo. · H2 · =·M than $5,000.000 L t SS0,001-$100,.000 · M . = St00,00.l-S2SO,OOO PI s1,ooo.001-ss,ooo,o00 P2 -:.s.s,000;001-ru.000.000· - .• P4 = SMorethan SS0.000,000 . S Assessme1'it . T =.Cash/Market .. \"\' = Estimated

·- E =SIS,OOll SS0,000 ·-.. ·: . : ·:

' or"--»-;.. n=uu · .l""'-i:;

,. __ , ____________ ..__ _________________ "'--------

A. D.

(t) ll GISCKlllll'C

(3) (4) (S) Amount Gain

- '" .. 04l2S A

. - --

-07/09 K A

-

j

A

Name

Bmmm. .RichardM

(l} (I)

{J·P) (.J..P)

. . FINANCIAL DISCLOSURE REPORT Date ofRr.:port

Page 4 of4 61912004

VII. l!NVESTitAENTS and TRUSTS -income, ''llllm.. ll1Ullaltioas(mcludcstboseoftbcspomcac! depcndcntchildn:a. Sccpp.J4..s1 «filingi.mtnJcti11111SJ

B. c. IMomeduring Gross val8 at Cllld of TRDllllCliocs dwi11g reporting period

Dclmiplion of Assats reporting period reporting period fmc:lading1ra:st llSSC!s)

. <2) (2) not Cllmllpl tram

(2)PJaoc "(XT after each llSSCI -pl T ,,e {e.g. Value Value Type (e.g. Date: Value :ldcmily cf

div. 111111.or Codc2 Cocle2 I'- priardisdosurc Code I buy, soil, Maath· Codcl {A-H) int.) C«le3 llle!F· Day (A-H) l[ifpriWIO. Rdcmptioa.)(Q-W) 1irmll:lioD)

54. NOkia Common Stock A Dividend

SS.

S6.

Yahoo Cammon Stock .

NYS Mtg Agency (& DoniiD!ory) -

D

None

In M w

51.

58.

NYC (NHA) Municipal Bend (PartAulhcrity ofNY l!DdlNJ)

NYS Power Authority c

None

Interest

L

L

w

w

59. AT&T Wmiess None J w

60. Agere Syslrms None

61. New YOlk.NY Municipal lBond (Series E) A lnfelest

Sale

Sale

Partial Sale

04l2S

1

] A

Partial Sale 01/01 A

Sale

Sale

02/28

OS/lS

1

J

A &. Note 5) in PairtVIll

I. lnC011...;GWn Cod=s: A 'Sl,000 ar less B - S 1.001-S2.SOO c sz..s-01-ss.ooo D ss.001-s1s.ooo E =s1s,001.s:so.ooo (SeeColumnsBLandD4) F ·SSO,OOl-SI00.00-0 G ··· $100.00l·SLOOO.OOO HI = Sl.000.00l-S5.000.000 H2 =More than $5,000.000

2. ValueCodes: K 'SJ5.0{1!-S5il.O(I() L S.lO.OCll-S!00.000 M - S!OO,OOJ-$250.000 (See Columns CJ and n.; 1 N " $250.ooo.ssoo.ooo 0 ,, SS<.10.0tll -Sl Jl(I0.000 Pl =su100.001-ss.ooo.ooo P2 = ss,000.001-ru.ooo,ooo

P3 -··. s2s.oon.OO!-S5D.ooo.onn P-1 = SMorc th11r1 SSCl.000,000 J. Value Methoo Codes i) · Apprmsal R -- Cos\ ( Rt::t; L..iate Only} S Assessment

(See Co!um11 C2) • • -·Hool: Vwu V 'l)thc"l' \\' = Estimated

<·Fll-A__1CIAL----D-ISCJ ___ _o_s_URE_·_· _RE __ PO_· -R-·T-- -::_:___Rv_chm__M __ · ____ -______ ---------- '-n.---1tapart-l'2004.;...._--..11 VIII. ADDffiONAL JrNFORMATION OR EXPLANATIONS (ludicolepator 1

l} ArIJr in in Limned Partnersi ps #2, 7, 8 & 9 weie wriUen off as inactive and valueless by my accountant prior to 2001 and were inadvertcotly includedinpriari:eports.

2) The sale occumd on 06l03/l 999 mid Compaq Common Stock has inadwmmtly been listEcl in subsequent MpOrts.

3) The exchange occum:d on 0712 lf1998 for (94} AT&T sbmes"rctlccted in part of VII. line 27 m:l Tclcport Common St.oct bas inadvr:lteut1y bce:nlisted in subseq reports. .. 4) The redemption occumxlon 06/0112001 and Mellon Cotp. Notes were inadvertently listed in 111.ibsccpent xeports.

S) Acquind as . -.pinoffon 01..U2/2001.

-r

N8D111ofl'crsm.Reporting .- : ·FiNANCIAL DISCJLOSURE REPORT

Beaman. RicimdM

IX. CERTIFICATION.

I c:eritify that an informa :m given above (mcluding information pertaining to my spouse and minor or dependent children. if any) il1 accurate, true, and complete to the best of my knowledge and belie( and that any information not reported was withheld becau:ge it niet applicable stututozy provisions permitting non-disclosure. .

r fUrtber certify that eanied income from outside employment and honoraria and the acceptance of gifts which have been reponed are in compliance with the provisions of 5 U.S.C. § 501 et. seq. S U.S.C. § 7353, and Judicial Conference regulations.,

. ..

..

NOTE:: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLYFALSIFIES OR FAILS TO FILE TinS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed origin&l and 3 additional copies to:

C ee on Financial Disclosure Administrative Office of the United States Courts Suite2·301 One Columbus Circle, N.E. Washington, D.C. 20544