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____ _

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------ ----·········---

·---· ·-----·-·-·-------I

------·· I. POSITIONS (Reporting indMdualonly; see pp. 9-13 oflns/roctions.)

Report rl!t}uired by the Ethics in FINA1"'1'CIAL DISCLOSURE REPORT· Ao ;o (w) .(Joverrunent Act of1978, as amended

Rev, 1/2002 (5 U.S.C. App. Sec. 101-1I1)Calendar Year 2003

! L Person Rr:rorting (Last r.an1e.first, middle ini iaf) 2. C:Ourt or Orgauizatlon

Miner, cger J. U.S. court of Appeals

(Article l!Jjudges indicate active or senior 4. THl{; status; magistratej du ges indicatefull- or part-time)

Circuit Judge {Senior)c.s.

7. Chambers or Office Address Cv..irthouseStates

445 Broadway, Room 414

5. Report Type (check type) 6. Reporting Period

01/01/2003I INomination, Date- ········­ t-012/31/20-03

Annual Final -

Initial --x·

8. On the basis of the information contained in this neport and any n ng thereto, it is in my opinion, in compliance ertamodificati°'ns p i i

with applicable la\vs :Rod regulations.

DateAlbany, Reviewing Officer

IMPORTANT NOTES: The instn1ctians accompanying this form must befollowed. Compl.ete all parts, checking 1he NONE box far each section where you hm•e no reportable information. Sign on the last page,

NY 12207

POSITION. NAME OF ORGANIZATION I ENTITY NONE (No reportable positions.)

1

......3

.­rn'

(Reporting individual only; see pp.14-16 of Instructions.) a·

II. AGREEMENTS

DATE PARTIES AND TElli'VlS

NONE (No reportable agreements.)

l

2

3

ill. NON-INVESTMEN'T INCOME (&porting individual nnd spQUse; see pp. 17-24- ofIr.structfons.)

DATE SOURCE AND TYPE GROSS INCOME

NO NE (No reportable non-investment income,) (yours, not spouse's)

l

2

N.Y.B, Employees' Retirement System - Pension

Hofstra University School of :Liaw - Law iiect.ure

15,956.48

3,000.00

3

--

---··-----------------

----······--------------------------·----··---

3

1

Date ofRepo t

FINANCIAL DISCLOSURE REPORT Miner, Reger J. 04/14/0004

IV. REIMBURSEl\ffiNTS transportation, lodging, food, entertainment. (Includes those 10 spouse and de.pendent children. See pp. 25-17 a/ lns!ructions)

SOURCE DESCRIPTIOND NONE (No such reportable reimbursements.)

1 Hofstra Ur- versity School of Law (Transportat:ionJ

2

3

5

6

7

V. GIFTS t]nclutles those to spowe and deper.der.i children. See pp. 28 31 aflnstroctionl.)

SOURCE DESCRIPTION VALUEl KONE (1 o such reportable gifts.)

1

2

VI. LIABILITIES

(includes those of spouse and dependent children. See pp 32-33 cf Instructians.)

CREDITOR DESCRIPTION VALUE CODE* NONE (No reponable liabilities.)

3

5

6

L £50,00I to $100,00C M £100,001-$250,000 N""S2SO,OO :-$500,000

{>=$500,0CH -$I ,000,000 ?l=$1.000,00 l-$5,000,{)0(} P2""$5,000,i)0 l -S25 ,000,000 P3=$25,000,0[H-:;5o,ooo,ooo P4""SS0.00C,OO 0'.:' r.t:.J C

a':-d

I (2) ! j(4)

'(Q-W) l

l 1 --- ... -.l-NO-N-E -(N-o_r_ep_ o_r_m_b_l e_i_n_co _m_e-, as-se--.,-o-r -+- ---+----1,----+-

l_· -I transactions.)

-

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.

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,kpendent cl:lldren. See pp. 34-57 of Instmciians.)

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of?er5on Report:r.g Dz.te of Rep-0rt Roger J. 04/J.4/2004FINAl'!CIAL REPORT

Vil. Page 1 INVESTMENTS and TRUSTS -- income. value, transactions

A. Description of Assets

(in::luding trust assets)

B.In xne during . repo11ing period

c. D. Gross value Transactio:".s during repo:tir:g period at end of

1 reporting I J period

(I) (2) 1(1) (2) (!) If not exempt from Amount Type •Value: \-'alw.: Type

Place "(Xj" fler each llSset ( I dCode e.g ., Code Methe c:xemptfrompriQrdisclosure. (ArH) dividend,

(e.g., buy, sell, partial

(3)Date:

rector interest) I '

sale,

mergeri redempti.on)!

Month-

Day

Di Jvidend

disclosure

'5'' \ , Value C"21n ! l::lentity of Code (J·P)

Code (A·H:

buyei/se!ler

(if private transaction)

I !1(J P) IJ Code.!

!

1 Alltel Corp,

American Telephone &: 'rel.4 Co. 1 A

s Amer , Tel & Tel

TSouth

tfor.:n i::iividend TKEnergy Group, :nc. Central Hudson Gas & E:ectricl

NoneComcast T

Exxon Mcb l Corp. '9 (forrr,erly Dividend N Exxon Ccrporation!

First Energy \formerly Dividend10 BCe terior

..EnevaY}

Boston Co:rp. {formerly D:1 Fleet i :::-iviC.e.nd M TFleet Financial Group)

A f Dividen J Tl2 -Fort Dearborn Income Securities

Genco::p Inc. A Dividend JI 13 T! '

14 GETECH TA Dividend J

Dividend J

... Dividend

A D!y::._Qend17 I.B.M.

1 ln;:;/Gain Codes: A-·Sl,000 less Ml,OOI-$2,500 C=S2,501-S5,000 rF!:.5,0Cl -$15,000 or (Col. Bl, D4) F=$50,00I·Sl00,000 G=SI00,001-$1,00),QOC Hl=$1,000,001-$5,000,000 !f2=$5,000,001 crmore

\/al Codes: K0rt$15,00l-$50,000 L=S50,00l-$100,000 !\1"""S100,001-$25J,OOO N $250,001 ·$500,00DJ=£15,0GO or less

Pl =$1,o:n,OOl-$5,000.()80 P2 $5,000,00l-$25.000,000 P3=$25,000,00' -$50,000,000 P4=$50,000.QJ1 or more 0=<$5::!0,001 Sl ,000,000

Q=Appraisa: R=Cost (real estate only) S""Assessment T""Cash/Marke\7=0therU""Bool ',/alue \V-:=Estimate.:.

'

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Nan1e of Person Reporting Date of Report Roger J. 04/14/2004FINANCIAL REPORT

(Includes those of spouse and VII. Page 2 INVESTMENTS and TRUSTS -- income, value, transactions dependent children. See pp ..34-57 of fnstnictions.)

A. B. c. D.

Description of Assets income during Gross value Transactions during reporting period reporting period at end of

(includlng trust assets) reporting period

Pf{l.c'e "(X)" {l.j/er each asset exempt from prior disclosure.

DNONE (No reportable income,assets, or

transactions.)

18 Key Corp.

(!) Amount Code

I (A-H)

D

(2) Type

(e.g., dividend, rent or interest)

Dividend

(!) Value Code

(J-P)

(2) (!) Value Type Method (e.g., buy, Code sell, partial

(Q-W) sale, merger, redemption)

If not exempt from dis

(2) (3) (4) Date: Value Gain Month- Code Code Day (J-P) (A-H)

closure

(5) Identity of buyer/seller (if private transaction)

-

19 Lucent TechnOlogies, Inc.

(Spinoff from AT&T)

None Sell 2/3 J B

20 MetLife A Dividend

21 Mirant COJ:ll. None Sell 1/21 J A

22 National Grid Group

Niagara Mohawk)

(formerly A Dividend T

23 NCR {Spinoff from AT&T) ·None J T

24 Newfield Exploration Company None

(formerly EEX Corp.)

25 Omnova Solutions, Inc. None (Spinoff from Gencorp)

26 P.S.E.G. Inc. A Dividend

Qwest Comm. International Inc. None

(form. U.S. West, Inc.)

28 Rayonier (spinoff from ITT) B Dividend

29 Ryerson Tull (formerly Inland A Dividend

Steel Co.)

30 SBC Communications Group c Dividend

{form. s.w. Bell & Pacific)

31 Southern Co. (The) B Dividend

32 Sprint - FON (form. United A Dividend

Telecommunications) .

33 Sprint- PCS Group (form. None

United Telecommunications}

34 Starwood Hotels & Resorts A Dividend

{formerly ITT Corporation)

Sell

J T

J T

J T

J T

J T

L T

K T

K T

J T

J T

1/8 J A

. I

I

1 Inc/Gain Codes: A=$1,000 or less B=$1,00l-$2,500 C=$2,501-$5,000 D=$5,00l-S!5,000 E=$15,001-$50,000 (Col. Bl, D4) F=$50,00!-$ 100,000 G=$100,00l-$1,000,000 HI=$1,000,001-$5,000,000 H2=$5,000,001 or more I

I' 2 Val Codes: J=$15,000 or less K=$! 5,00!-$50,000 L=S50,00I-$100,000 M=s100,001.s2so,ooo N=$250,001-$500,000 I

(Col. Cl, DJ) 0=$500,001-$1,000,000 Pl =$!,000,001-$5,000,000 P2=1i5,000,001-S25,000,000 P3=$25,000,00l->50,000,000 P4=$50,000,00I or more

! 3 Val Mth Codes: Q=Appraisal R=-Cost (real estate only) S=Ass:essment T::=Cash/!YiarketI (CG C2) U=Book Value V=Other \V=Esti1nated

DISCLOSURE REPORT I - - ------· · - -----·--------··-- J

period

UJ

-----.-----.jl--,.---1--·----�- ·---------- -·-------I (!) j(2)

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(!11cludes those ofspo;t:;e a d

Express IDS Mutual,

dependent children. Sec pp.

FINANCIAL ·

'. Name of Person Rcporti::g Date of Report 04/14/2004

VII. Page 3 INVESTiV1ENTS and TRUSTS - income, va ue, transactions

B. JC· D.A. Jnc::ime d:.irlng Gross value Tra:isacti.ons dud;",g eporting pe:-:od Des:cdption cfAssets r:eporting period I at end of

Gr1c1uding trust assets) reporting

(I) (2) (l) If not exempt from disclosure Amount Type Vclue ;VaJue Typej

Piace "(X)" after each asset Code (e.g., Code Mechcd (e.g., buy, (2)exempt from pri1Jr disclosure. (A-H) dividend, (J-PJ 1Code l: sell, partial Date:

' rent or ;

i (Q W} ! sale, MDnth interest) I merger, Day!

redemption)

(Na :eportable income,assets, or transactions:.)

35 SPX Corp. (form. General None Signal corp.}

T Co. J (spinoff fr. Enser::h corp)

37 Verizon Commun. {formerly D Dividend M

36 TXU(form Te::<!:s Utilities None

G.T.B. Corp. & Bell Atlantic}

38 Vodafone Ai:rt:ouch PLC A vidend K

A2.liance Capital A &. I A L i Income Fi;nd ! Gains I

AXP S o=k .F'u.:::i.C.{form American , A I x;:resa-lDS Investors Stock) ; "

XP Mutual Fund ( form.Amer:.can! A 11

(3) 1(4) I (s}ValueiOaln : Identity of Code Code i buyeris::l:er(J.P) (A·Hl l (ifp vate

! transaction)

· !

42: Century Shares Trt:.st c 11 K

43 Dreyfus Fu."'l-:i (KEOGE PI..A.N] c II T

44 Midas Spec. Equities Fund(form Bull & Bea= Special Equities)

45 Neube:r.:ger-Eerman Manhat tan

None

1---· None K

T

T

+-

FU."1.d

Bond Fund Class A ----· -----·

"

T

Trust-Class £ II T

Weiss Peck Greer-W.P.G. Fund, {Growth)Inc.

T.E. .secu:=:-ities T:ru&t Series

None K

J

T

T

t37 A J T

: lrn::iGain Codes: A=$ l ,QOO or less Cc.o$2,501-$5 0C'.) E=$l 5,00l .S50,0CO (Co!. Bl, D4) F=$50,00l·SlG0,000 Hl=$l ,000,001 ·S5,000,000 H2=$5,0!)0,001 or more

o; less K=$15,00J .$50,000 M 100,00Vi250,000 Pl =$1 ,000,001 $5,000,000 Pl"'S5,000,001-S25,000,000 P3,,,.$25,00<l,001 $50,000,00C P4=$50,(1''.J.3,00l

R=Co.st (real estate only) S= Assessment

U=Bool: Value V=Other nr=Estimated

i

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----------------------------------------------------------- ·!

(2)

(4)

Nan1e of Person Reporting of Miner, Roger J. 04/14/2004FINANCIAL DISCLOSURE REPORT

(Includes. those of spouse and VII. Page 4 INVESTMENTS and TRUSTS-- income, value, transactions dependent childten. See pp. 34-57 of Instructions.)

8. c. D. income during Gross value Transactions during reporting period

A.

Description _of Assets reporting period at end of

(including trust assets) reporting period

!(2) (1) If not exempt from disclosure ValueAmount Type Value Type

Place "(X)" after each asset (2) I(3) (5)Code (e.g., Code Method (e.g., buy, exempt from prior disclosure.

DNONE (No reportable income,assets, or

transactions.)

Gain Identity of (A-H) dividend, (J-P) Code sell, partial Date: Value

(Q-W) sale, MonthH Code Code buyer/sellerrent or (A-H) (If private interest) merger, Day (J-P)

transaction)redemption)

52 Franklin New York Tax Free A c Interest L T Income Fund

53 Oppenheimer-1.tochester Fund A Interest J T Municipals-Class A

54 N.Y.S. Medical Care Facilities Interest J TA Bonds

55 Mental Health Assn. of A Interest Mtg. Paid 3/3 A Columbia Greene County

56 Key Bank, N. A . (various A Interest L T

accounts)

57 Prudential Bache (cash acct.) A Interest J T

58 lJ .s. Savings Bonds

59

60

61

62

63

64

65

66

67

68

'

c Interest

I

L T

lnc/Gam Codes. A--$1,000 or less B-Sl,001-$2,500 C-$2,501-$5,000 0-$5,001-$15,000 E--$15,001-$50,000 (Col. Bl, D4) F=S50,001-$100,000 G=$100,001-Sl ,000,000 Hl =$1,000,001-$5,000,000 H2=$5,000,001 or more

2 Val Codes: J=£15,000 or less K=$15,001-£50,000 L=$50,00l-$100,000 M=Sl00,001-$250,000 N=$250,001-$500,000 (Col. Cl, DJ) 0=$500,001-Sl,000,000 Pl =$1.000,001-$5,000,000 P2=$5,000.001-$25,000,000 P3=$25,000,001-S50,000,000 P4=$50,000,00I or more

3 Val Mth Codes: Q:Appraisal R=Cost (real estate only) S=Assessment T=Cash/Market ! (Col. C2) U=Book Value V=Other \V=Estimated i

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Mi::.er, Roger ::! ,

Di:te of Report

04/14/2004

VIII. ADDITIONAL INFOR.1V£ATION OR EXPLA.l\'ATIONS.

(111.di.c(lte part of report.) All assets listed in Section VI: are -ow"n12C..

------------------------

NarT'.iC of ?erson Reporting

IX. CERTIFICATION

i.riformationI certify that all t:1.e given above (including iEformatio:i. :::oerca1n1.ng to my spouse and u:inor or depende:i.t.:: children, if any} is a::::cur.ate, true, and corr.plete to the best cf my knowledge- and belief., and that a::ly

i:afor:nat:ion not reported was withheld because it met app:icable stat'..lto y p,rovisions perm itting non-disclos'..lre.

r. further certify that earned income from outs:.:i_e employme:lt and honora:::ia and the acceptance of gifts which

have been reported are in compliance wit:h the p:oQvisions of 5 U,S,C. app. 4, section 501 et. seq., s·u.s.c. 7353 and Judicial conference regulatio s.

Signature

Note: Any individual who knowingly a:id wilfully falsifies or fails to file this report may be subject to civil and criminal sar:.c ions (5 u.s.c. App. 4, Sec ion 104}.

FILING INSTRUCTIONS

Mail original and three additional copies to:

CommiHee on Financial Disclosure

Administrative Office of the United States Courts

One Columbus Circle, N.E.

Suite 2-301 Washington, D.C. 20544