O 10 in Government ct of 1978 Rev. 112008 FOR CLENDR YER 2007 (5 U.S.C. app. 101-111) Report Required by the Ethics 1. Person Reporting (last name, firs middle initial) Court or Organization rcara, Richard U.S. District Court W.D.N.Y. 0510612008 4. itle (rticle judges indicate active or senior status; magistrate judges indicate full- or part-time) Chief U.S. District jdge Sa. Report ype (check appropriate type) D Nomination, Date D nitial [{ nnual D Final Sb. mended Report D 6. Reporting Period 0110112007 to 12/31/2007 7. Chambers or Office ddress 68 Court Street, Room 609 uffalo, New York 14202 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date MPOR N NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign 011 last page.. POS 0 NS. (Reporting individual only; see pp. 9-13 of filing i11structions.) [Z NONE (No reportable positions.) POSON NME OF ORGNZON/ENY. 4. 5.. G REE MENS. (Reporting individual 011ly; see pp. 14-16 of fili11g instructio11s.) [Z NONE (No reportable agreements.) (/ () r C) ::; (f) :'" 53 ; f"11::. o:r--. '1 1 -., C" f = = c: ::;e ;:. -<...D u.s :: rn () rn - < n1 C PR ES ND ERMS.
Page 2of11 rcara, Richard 05/06/2008. N 0 N-NVESMEN N CO ME. (Reporting individual and spouse; see pp. 17-24 of filbzg instructions.). Filer's Non-nvestment ncome [{ NONE (No reportable non-investment income.) SOURCE ND YPE NCOME (yours, not spouse's). 4.. Spouse's Non-nvestment ncome - f you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE ND YPE. 2007 Western and Central New York oard Member - Stipend 2007 Executive Dimensions - Salary 4. V. REMURSEMENS - transportation, lodging.food, entertainment (ncludes those to spouse and dependent children; see pp. 25-27 of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DES LOCON PURPOSE EMS PD OR PROVDED. New York ntellectual 3/23/2008 New York, New ttendance at Dinner Reimbursement for lodging, meals, transportation for Property Law ssociation and York attendance at nnual Dinner in Honor of Federal 3/24/2008 udiciary 4. 5.
---- -- -- --- --- -- Page 3of11 rcara, Richard 05/06/2008 V. GFS. (ncludes those to spouse and dependent children; see pp. 28-31 of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRPON VLUE. 4. 5. V. LLES. (ncludes those of spouse and dependent children; see pp. 32-33 of filing instructions.) D NONE (No reportable liabilities.) CREDOR DESCRPON VLUE CODE. Capital One Visa Credit Card 5.
Page 4of11 rcara, Richard 05/06/2008 V. NVESMENS and RUSS -income, value, transactions (ncludes those of spouse and dependent children; see PP 34-60 of filing instructions.).. C. D. Description of ssets ncome during Gross value at end of ransactions during (including trust assets) () (2) () (2) (1) (3) (2) (4) Place "(X)" after each asset mount ype (e.g., Value Value ype (e.g., Date Value Gain dentity of exempt from prior disclosure Code l div., rent, Code 2 Method, sell, Month- Code 2 Code l er/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private. RC Dain Rauscher SEP (5)! amarack lnvt. Fds. Prime im asic Value Fund C 4. lianceem Large Cap Growth None 5. llianz NF Val. Cl.C 415 6. llianz NF Val. Cl.C None 7. Davis NY Venture Fund 8. DWS Dreman High Rtn Cl.C 9. Fidelity dv. New nsights Cl.. - - - 10. Fidelity dv New nsight C 11. GS Core U.S. Equity-C 1 ennison Growth C. None 1 inetics Paradigm Fund C.C 10/29 14. Royce Fund-P c 15. Royce Fund-otal Return Con 16. Europacific Growth C. 17. Putnam ntl Equity C ---------- -------- l. ncome Gain Codes: $1,000 or less =$1,001 -$2,500 C =$2,501 -$5,000 D =$5,001 - $15,000 (See Columns l and D4) F =$50,00 - $!00,000 G OO,OO -$1,000,000 H $1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less $ t 5,00 - $50,000 L =$50,001 -$!00,000 M 4!00,001 - $250,000 (See Columns Cl and D3) N $250,001 -$500,000 0 $500,001 -$1,000,000 Pl 1,000,001 -$5,000,000 P2 =$5,000,00 - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S "' ssessment =Cash Market (See Column C2) U =ook Value V"'ther W =Estimated
Page 5of11 rcara, Richard 05/06/2008 V. NVSMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP 34-60 of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure (1) mount Code l (-H) t, jl ncom: uring ----, Gross val at end of (2) () (2) ype (e.g Value Value div., ren Code 2 Method or int.) -(-P) _ Code 3 -- -- ---- ---- -- () ype (e.g.,, sell, redemption) D. ransactions during (2) Date Month Day (3) Value Code 2 (-P) (4) Gain Code l (-H) (5) dentity of er/seller (if private 18. empleton Foreign D 19. empleton Growth Cl. 20. empleton Growth Cl.C 21. hornburg ntl Value Cl. 2 Eaton Vance High ncome 415 2 Goldman Sachs HY Cl. c 24. Nuveen Multi-Strategy & G 5/24 25. Nuveen Preferred & Conv. ncome sold 5/24 26. Pimco High ncome Fd 27. Pimco High ncome Fd. - - -- None 7124 28. vy sset Strat 2/21 29. RC Dain Rauscher RS 30. amarack lnvt. Fds. Prime 31. M Charter 3 lliance ern Large Cap Growth None 3 DWS Dreman High m. Fnd. 34. Fidelity dv New nsight ----- ---- ---- ------ 1. ncome Gain Codes: =$1,000 or less 8=$1,001-$2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 (See Columns l and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 H =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =ook Value V =Other W =Estimated l
Page 6of11 rcara, Richard 05/06/2008 V. NVESMENS and RUSS - income, value, transactions r1nc1udes t1tose of spouse and dependent children; see PP 34-60 of filing instructions.) ---.. c. D. Description of ssets ncome during Gross value at end of ransactions during (including trust assets) (1) (2) (2) (2) (3) (1) () (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype (e.g., Date Value Gain dentity of exempt from prior disclosure Code 1 div., rent, Code 2 Method, sell, Month- Code 2 Code 1 er/seller (-H or int.) (-P) Code 3 redemption) Day (-H (if private (-P) 35. Royce Fund - otal Return Con 36. Royce Fund-P 37. New Perspective Cl. None 38. empleton Growth 39. RC Dain Rauscher 40. amarack nvt. Fds. Prime c 41. bbott Laboratories 4 ngiodynamics, nc. None 4116 4 ngiodynamics, nc. None sell 8/17 44. lackrock Real sset Equity 1/12 - - 45. Chesapeake Energy Corp. 5/31 46. Cisco Systems None 47. Citigroup, nc. 48. Columbus Mcinnon Corp NY None 8/9 49. Columbus Mcinnon Corp NY None sell 10/23 50. DuPont E Nemours & Co. 5 l. DWS Dreman High rn.fnd.c None 12/27 l. ncome Gain Codes: 1,000 or less $1,001 - $2,500 c $2,501 - $5,000 D $5,001 - $15,000,.., oo. "" "" (See Columns l and D4) F $50,001 - $100,000 G $100,001 - $1,000,000 H $!,000,001 - $5,000,000 H2 More than $5,000,000 Value Codes $15,000 or less $15,001 - $50,000 L $50.001 - $100,000 M $100,001 - $250,000 (See Columns Cl and 03) N $250,00 l - $500,000 0 $500,001. $1,000,000 Pl $!,000,001 $5,000,000 P2 $5,000,001 - $25,000,000 P3 $25,000,001 - $50.000,000 P4 More than $50,000,000 Value Method Codes Q =ppraisal R ost (Real Estate Only) S =ssessment =Cash Market -- -------- ------ - ----- -- - _ (See Column C2) U =:ook Value V-Oher W =Estimated - -
Page 7of11 rcara, Richard 05/06/2008 V. NVESMENS and RUSS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP 34-60 of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure. c. D. ncome during Gross value at end of ransactions during 5 Eastman odak (l) (2) (l) (2) (!) (2) (3) (4) mount ype (e.g., Value Value ype (e.g., Date Value Garn Code div., rent, Code 2 Method, sell, Month- Code 2 Code (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) 1--,&;:;,", er/sel er (if private i ; 5 Ebay, nc. 54. Fidelity dv New nsight C 12/27 55. Fidelity dv Small Cap Value C None 12/27 56. Home Depot, nc. 57. P Morgan US Large Cap Core Plus C None 12/27 58. eycorp New 59. inetics Paradigm Fund Cl.C 12/27 60. Liberty Global, nc. None 61. Liberty Global, nc. C None 6 Liberty Media nteractive None 6 Liberty Media Hold - Cap Ser. None 64. Paychex nc. 4/16 65. Proctor & Gamble 66. Sector Sp. Fed Energy 67. enet Healthcare Corp. None 8/8 68. ime Warner nc. l. ncome Gain Codes: =$1,000 or less =$1,001 -$2,500 C =$2,501 $5,000 D =$5,001 $15,000--- -- E::$5 () $50,000 (See Columns and 04) F =$50,001 - $100,000 G =$100,001 $1,000,000 H =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 $50,000 t.=$50,001 $100,000 M =$100,001 $250,000 (See Columns Cl and 03) N =$250,00 $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =ook Value V =Other W =Estimated 1
-- Page 8of11 rcara, Richard 05/06/2008 V. NVESMENS and RUSS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP 14-60 of filing instructions.).. c. Description of ssets ncome during Gross value at end of (including trust assets) Place "(X)" after each asset exempt from prior disclosure (1) (1) (2) (2) () (2) D. ransactions during (3) (5) (4) le ", (-H) mount ype (e.g., Value Value ype (e.g., Date Value dentity of Code div., rent, Code 2 Method, sell, Month- Code 2 er/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (if private i 69. Valero Energy Corp. 1110 70. lpine otal Dynamic Div Fund 1/26 71. lackrock ntl Growth & ncome Fund None 12/24 7 Cameco Corp 1/8 7 Eaton Vance ax-managed Global 2/22 74. empleton Growth C None 12/27 75. lackrock Enhanced Gov't None 12/24 76. lackrock Enhanced Gov't None 12/28 77. RM High ncome 78. General Mtrs ccept Corp None 12/24 79. GMC Smartnotes None 12/24 80. GMN REMC 2003-110-PC None 1224 81. FHLMC REMC 2864-4 Lottery ond 5/31 8 FNM REMC 03-54- None 12/24 8 Residential sset Sec 20 None 12/24 84. FHLMC REMC 3024-CD None 12/24 85. FHLMC REMC 3067-CD 9/18 -- - ----. ncome Gain Codes: =$1,000 or less =$1,001 - $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 - _j 0:_ (See Columns l and D4) F =$50,001 -$100,000 G=$100,00! -$1,000,000 Hl =$1,000,001 - $5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or ess =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 $1,000,000 Pl =$1,000,001 - $5,000,000 '.' : "000 (See Columns C and D3) N =$250,00 -$500,000 0 =$500,00 - P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S ""ssessment (See Column C2) U =ook Value V =Other W =Estimated
Page 9of11 rcara, Richard 05/06/2008 V. NVESMENS and RUSS - income, value, transactions (ncludes tltose of spouse and dependent children; see PP 34-60 of filing instructions.).. c. D. Description of ssets ncome during Gross value at end of ransactions during (including trust assets) (2) (l ) (2) (1) (3) Place "(X)" after each asset ; ;ntt ype (e.g., Value Value ype (e.g., Date Value Gain dentity of exempt from prior disclosure Code l (-H) div., rent, or int.) Code 2 (-P) Method Code 3, sell, redemption) Month- Day Code 2 Code l (-H) er/seller (ifprivate -- (2) (4) (-P) (rl j' 86. FHLMC REMC3067-CD None 12/24 87. Chase Mortgage FN r 20 None 12/24 88. CSMC Mtg-kd Pass hru None 12/24 89. anc of merica FDG Corp 8/9 90. Countrywide lt. Ln. rust 91. Countrywide Capital V 9 eycorp Capital X None 12/24 9 CCS for C Penney Co 1125 94. vy sset Strategy C None 12/27 -- ----- -- l. ncome Gain Codes: =$1,000 or less =$1,001 -$2,500 c =$2,501. $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns l and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 Hl =$1,000,001-$5,000,000 H2 =More than $5,000,000 Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 - $250,000 (See Columns C 1 and D3),1 =$250,001 $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R Cost (Real Estate Only) S =ssessment :=Cash Market (See Column C2) U :=ook Value V =Other W ""Estimated ---- ---------
Page 10ofl1 rcara, Richard 05/06/2008 V. DDONL NFORMON OR EXPLNONS. (lndicate partofreport.)
Page 11 of 11 rcara, Richard 05/06/2008 X. CERFCON. certify that all information 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 provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in - compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. Signature NOE: NY NDVDUL WHO NOWNGLY ND WLFULLY FLSFES OR FLS O F LE HS REPOR MY E SUEC O CVL ND CRMNL SNCONS (5 U.S.C. app. 104) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544