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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S. Court of Appeals 3rd Cir, 5a. R~po~ Type (check appropriate type) ~ Nomination, Date ~ ~ Annual ~ F~al

Repot, Requiredby the Ethics

in Government Act of 1978

(5 u.s.c, app, ,4" lOl-lll)

3. Date of Report 05,,04/2010 6. Reporting Period 01/01/2009 to 12/31/2009

I. Pcr~oa Reporting (last name. first~ middle initial) Cowcn, Robert E, ~. Title (Article I II judgc~ indicate active or senior s~atus; magis~atc Judges indmatc fidl- or parl-lhnc) Senior U.S. Circuit Judge

~ initial

5b. ~ AmcndedReport 7. Ch~mberx or Office Addres~ 402 E. Stale Street Room 207 Trenton. NJ 08608 8. On the basis of the information onlalned In this Report and any modifications perlaining thereto, il i~, in my opiainn, in compliance with applicable lawx and regulations. Reviewing Officer Dale

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all part~,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (~,,z,,,-i,,x indi,,i,luut o,,ly: see pp. 9-13 ,,lilting instrnctians.)

[~ NONE (No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTITY

I I. AG RE E M E NTS. (Relmrttng individual,,nly: see pp. 14-16 of filing in.~truction$.)

[7] NONE (No reportable agreements.)
DATE PARTIES AND TER!vIS

Cowen, Robert E.

Name of Person Reporting

D~~e of Report

FINANCIALpage 2 of 1 1 DISCLOSURE REPORT co,~e., Robert E.

05104/2010

11 I. N ON-INVESTMENT INCOME. tRep,,,i,~ individual and sp .....

A. Filers Non-Inveslment lncmne

;.~tt Dp. 17-24 ~f fillng I,,,rlzctions.)

NONE

(No
DATE

nob-investment income.)

SOURCE AND TYPE

~COME
(yours, not spo~cs)

B. Spouses Non-Investment Income -lfyouwcremarriedduringonyportlonoflhe. reporting year, completetMsrection,

(Dollar on~o~tn/ not required exc~/ f~r hemororia )

~
!. 2009

NONE

(~o reporloble
DATE

non-investment income.) ~OURCE AND ~PE S~te of New Jersey

IV. REIMBURSEMENTS -,,~..,o-~o-, t,,ax~.g.1ooa,..,,,..~, ..... ~

(Includes tht~sc to ~p,n~e and depcnd~nt ~.hildrcn; ~ee pp. 25-27 of yTling inslructions.)

NONE (No reportable reimbursements.) SOURCE DATES March 27 - 28, 2009 LOCATION New York, NY Dinner PURPOSE ITEMS PAID OR PROVIDED Dinner in Honor of the Federal JJudioiary Meals, Hotel Travel Expens~ Transportation, Food and Lodging

I.

New Yolk lntdlecmal Property Law Assn. FREE. Terrorism. Civil Liberty and National Security Fcdcral Judicial Cen~er, Law and Mcdia Seminar

2.

August 9 - 13, 2009

Galladn Gateway, MT

Educational Seminar

3.

September 23 - 25, 2009

Syracuse, NY

Educational Seminar

Transportaton, Food and Lodging

FINANCIAL DISCLOSURE REPORT

Pa~ 30~" 1 1

NameofP ..... Reporting

Cow,n, Robert E.

D~teofRtport

05/04/2010

V. G I FTS. a,,~,,a,,~ ~,o~ ,o ,~0,,~ ,,a ~p,.,,a..,~ ch~dre~: see pp. 2$-31 ~f filing instructions.)
NONE (No reportable g~s.) SOURCE
1. 2. 3.
4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. a,,ct,,,~s,,,os, of sp ........ ~ dependent children; see pp. 32-33 of fillng instructions.I NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAl., 1)ISCLOSURE REPORT

t~agC 4 Of" ! ]

~ .... rlewson Reporting

Cowen, Robert E.

I
T~actions during repo~ing Type (e.g.,
buy. sell,

DatelRel~lrt

05/04/2010

VI I. INVE S TM ENTS an d TRUSTS - i ......... ~1~,., ....... ti,,~ a,,c~,,,t,s a, os~ ,,yspo ...... d d,.~,~, ~m~d,,,,; ~,. ~-~0 o~i,~ ~,~,~,,ca~,~.)
NONE ~ro reportable income, assets, or ~ansactions.) A. Dc~cdptioa o[A~eIS (including trust asscts) Place "iX)" uRcr cats asset
exempt t)om prior di~losurc

~.
Incom~ during reporting ~ri~

j
i

c. Gross value at ~md o~porting period Value

Mc~

t A~unt T~e (c g. [ Code div., rcnL

Value I C~c 2

m~d~yy Code 2 ] C~c I

buyer/seller

I. ~ 2. 3. 4. ] 5. 6. 7.
8.

Alcoa (Common S~ock) Applied Materials AT & T (Common Stock) Chevron Texaco Corp. (Common Stock) Chubb Corp. (common stock) Cisco Systems (Common Stock) Colgate Palmolive (Common Stock)
Conoco Phillips (Common Stock)

A A A A A

Dividend Dividend Dividend Dividend Dividend None

J J J K J K K
J

T T T T T T
T

Buy

04/03/09

A
A

Dividend
Dividend

9. 10. I I. 12. 13. 14. 15. 16. 17.

Deere & Co. (Common Stock) .Dell Computer (Cornmon Stock) Dodge & Cox International Stock Fd. (Mutual Fund) EMC Coq~. (Common Stock) Emerson Electric (Common Stock) ExxonMobil (Common Stock) FedEx Corp. (Common Stock) General Elcctric (Common Stock) Intel Corp. (Common Stock)

Dividend None

J J K l K K J K K

T T T T T T T T T

Dividend None

A A A B A

Dividcnd Dividend Dividend Dividend Dividend

(See Column C2)

O -Book Value

V -OLMr

W -Estirtmted

FINANCIAL DISCLOSURE REPORT

Page 5 of 1 1 VII. INVESTMENTS and TRUSTS - i, .......

Name rear,. aep,,rti.e

co,,en, Robert E. ~,,, t ..... cdons (lnclnde~ thoso ols1 .......

~a,, a ~,r,,05/0412010
d dependent ddMren; seepp. 34-60of filing h,struction.t)

I
I

N ONE (No reportable income, ~sets, or tra~actions.)

.................. kS .....

[
[ ]

Dcscriptim~ of Assets (including ~t ~~)

In,me during re,sing ~6~ Ty~ (e.g.. ~v., ~nt. orint.)

~.

c.
Gr~s value at end ofr~o~ing peri~ Value C~c 2 (J-P) [ Value [ Mc~od [ C~e3~ (Q~ Type (e.g., buy, ~11, ~dempfion,

~,
Tmas~tiom d~ing reporting period ~te [ V~]ue m~d~yy ~ C~ 2 j (J-P) Gain C~e I , (A-H)~ Identity of boyer/~elkr

Place "(X)" after ~acft ~sct cxemp~ from prior disclost~ ...........] (AH). [ 18. 19. 20. 2t. 22. 23. 24. 25. 26. 27. 28. 291 30, 3 I. 32. 33. ~4. Ishares. DJ Select Index FD Johnson & Johnson (Common Stock) JP Morgan Chaise (Common Stock) Kellog (Common Stock) McDonakls Corp. (Common SStock) Mcdtronic Inc. (Common Stock) Microsoft Corp. (Common Stock) Nokia (Sponsored ADRs) Pfizer. Inc. (Common Stock) Proctor & Gamble (Common Stock) Public Service Enterprise Group Inc. (Common Stock) State Street Corp. (Common Stock) Target Corp. (Common Stock) United Technologi,~s (Common Stock) Tn~st t/I Eaton.Vance Tax Free (Municipal Fund) Eaton-Vance Tax Frcc (Municipal Fund)

Amount [ CM I

~n~ction)(ifPfivate

None A A A A A A A A A A A A A D A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Int./Div. Interest Interest

J K K J J J K J J J J J J J N J J

T T T T T T T T T T T T T T T T T Buy 04/03/09 J Buy 04/03/09 J

FINANCIAL DISCLOSURE REPORT

r,amo orP ..... Re~or, i.g

cowe~, Robert E.

D.,0,,r a~,0rt
05/04~O10

Page 6 of 11
V 1 I. I N VESTMENTS an d TRUSTS - i .........
A. Description of Ax~ts (including trust a~CLq j Place(X)" after c~h asset exempt from p~or di~losurc

~..,, ........ ,io., tl, ct,,a~ ,h,,s, of.~ ...... a drpe,,d ..... I, ilaren: se, pp. 34-60 o/filit,g instrt,cti,,,,s.)
C. Gross value at ~d of r~o~ing pc~d Value Mc~od T)~ (e.g., buy, setl, D. Transactions during rc~ing period ~ / Date [ Value I Gain [m~dryy [ C~e 2 I C~e I Identity of buycriscllcr tr~action) /

~ NONE (No reportable income, ~sets, or ~ansactions.)

i ~

Income during reporting ~ri~

35. 36. 37. 38. 39. 40. 4 I. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Me,ill-Lynch Capi~l Trust (Prefe~ed Stock} N.J. Econ, Dev. Auth. Water Fa. 11~1-34 N.J. llealthcare Fac. 7-01-19 N.J. Educational Fac. 7-01-34 N..I. ! lealthcare Kennedy Health Center 7-01-31 Middlesex Cty NJ CTFS 6-15-23 N.J. ltcalthcare Fac. St. Barnabas 7-01-28 Port Auth. NY & NJ 7.15-26 N.J. State Higher Ed. 6-01-30 Board of Education, Princeton Regional Schools Indiana State Housing 7-01-26 N.J. Environmental Infra. Tr. 9-01-19 Ft. Lee NJ Impt. G/O 2-15-15 Antelope Valley Antelope Valley Cumberland Cry Gcn. Inapt G/O Oregon St. Dept. Admin.

A A A A A A A A A B A B A A A A A

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

J J J K J J .I J J K J K K .1 J J K

T T T T T T T T T T T T T T T T T

FINANCIAL I)ISCLOSURE REPORT Page 7 o f l 1

Name oflersoa Rcport|nt~ Cowen, Robert E.

Da|eof Report

05/04/20H)

V I I. IN VESTMENTS and TRUSTS - i ............ ~,,~,, ....... a,,,s a,,c~,,,~- ,~,,,s, ,,[sp ...... a a..t,,,aen, chlta,,,: ~,~,~,.
N~NE (No reportable income, ~sets, or transactions.) A. Dcscrlption of Assets (including trust ~sets) P~c "(X)" after each ~t exempt from pfor di~losure B. Income during r~orting p~od (2) O) Amount Ty~ (e.g., C~e I [ div., ren~ (A-H) or in~) C. Gross value at end of repoRing pe6~ O) (2) Value Value Co~ 2 Monad (J-P) C~e3 ,] D. Transaclion~ during rcpo~ing ~ri~ (l) Type (e.g., buy,~ll, r~cmpti~n) - (2) (3) ~ C4) Date Value / Gain mm~d&~yy C~e 21-- C~c 1 (J-P)[1 (A- )_/~

Identity of buyer/~cllcr (ifpriva~,

52, 53, 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

Lee Cry FL Pz~saic Cry N.J. College II-01-19 Rogers, AK School District Federa! Home Loan 4-02-14 GMAC 9-15-11 Oppenheimer N,~ Muni Fd. CL A Evergreen Municipal Bond Fund CL [::1 Evergreen Municipal Bond Fund CL C American Funds Tax Exempt Bond Fd. CL C Certificate of Deposit Certificate of Deposit Treasury Nolcs- Various Maturities IRA /41 - Blaukrock Funds Large Cup CL A - ATM Global Real Eslatc FD - Calamos Growth FD - Delaware Group Adv, FDs

A A A A A A A A A A A D B A A A A

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest lnt .,Div. Dividend Dividend Dividend Dividend

J J J

T T T

Buy

01OI/09

Buy Redeemed

07/22/09 01/13/09

J J

J J J J J J

T T T T T T Matured 09/23/09 J

M K J J

T T T T Buy Sold 09117/09 10121/09 09/17/1Y9 J J J

Buy

FINANCIAL DISCLOSURE REPORT

Page 8 of 1 1
VI 1. INVESTMENTS and TRUSTS - i ....

J aobe~t ~.. co,vc.,

Name t)f Person Reporting

Date of Replnt

05/04/2010

,, value. ,r ..... lions (l~chtd~ those of sp ..... d d,,pend .... hUdren; s~e~p. 31-60 of /Hing insttucti,mx.)

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

B. Income during reporting ~fi~ C. Gross value at end of rcpo~ing period Value (J-P) D. Transactions dunng reposing peri~

................... ~ .... Description of Assets (including t~st ~ts) Place "(X)" aiicr each ~ssct

~ "] (2)
Amount [ Ty~ (e.g, (AH)I or int)

O)

(2)
Va]~c I Code3

Type (e.g., redemption)

O)

(2)
Date

O)

(~)
[denlity of (if private

Value Gain

-~ 69. 70. 71. 72. 73. 74. 75. 76. 77. ! 7~; 79. 80. 81. 82. 83. 84. S5. Morgan Stanley Insd. FD Park Ave Portfolio Emerg. . DWS Dreman Small Cap FD - Harbor International - Hotchkiss & Wiley FDs - Jobn Hancock Classic Value FD - Kinetics Paradi~u FI)- INST - Pimco FDs - Lcgg Mason Value Trust Mutual Fund - Oppenheimer Intl. Growth - Quantative Group Fd. - RS Investment FDS - Sccmity Equity FD - T. Rowe Price Mid Cap FD - Wells Fargo FDS TR Mutual Fund - Touchstone Large Cap FD - Can~bmr Opporlinity FD A A A A A A A A A A A A A Dividend Dividend Dividend lnt./Div. Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J J T T T T T J J J J T T T T Sold 09116/09 J J J J J J J T T T T T T Sold Buy 09!16/09 09/16/09 J J Buy Buy 09/16/09 09/21/09 J

FINANCIAL DISCLOSURE REPORT

Pa~o(~ 9 of ] ] Cowen, Robert E. 05/04/2010

VII. INVESTMENTS and TRUSTS -i .....

t.~n~ e, ~.1..., ...... (~nc~udes thas~ ~f sp~use a~d dependen~ cI~i~dr~ s~ p1~ 34-6~ ~f ~ing ins~r~~ti~ns.)

NONE (No reportable income, ~sets, or transactions.)

~scrlption of Assets (includi~g trust ~cL~) Place(X)" aFt~cach asset cxcmp~ from p~or disclosure Gross value ~ end of repo~g period Val~ Code 2 Value Me~ (Q-~ Y~nsactio~ during ~po~ing period

[ _._rc~ing ~i~ /Amoum Code I Type (e.g., div., r~t,

T~ (e.g., buy, sclI,

Date maffd~yy

Value Gain j Code 2 I C~e I ]

Identity of bayer/seller transaction)

................................... ~_ .....

~.~

86. 87. 88.

- Goldman Sacks TR Money Market - Alger FDS - Artio Intl.

Interest Dividend Dividend

T Sold 09/16109 J

P3 =$25,~,001 . ~50,~,~

P4 =More t~an

FINANCIAL DISCLOSURE REPORT Page 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 value inlormation for the above-referenced trust.

FINANCIAL DISCLOSURE REPORT

N .....

fP ..... Reporling

Dl*l of Repo!!

Page 1 1 of l l IX. CERTIFICATION.

cowen, Robert E.

05/04/~.010

I certify tttat all iofi~rmation 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 statutory t)rovislons permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been rep~wted arc in compliance with the provisions of 5 U.S.C. app. 501 et. scq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAl. \VHO ]CNO\VINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND 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