Officer.�---------� Date. ____ _

POSITION NAME OF ORQA.-:!ZAJJONlE!>lJJTY

PARTIES A.-:D IERMS

......

,.,,.... ="" ..,, •

rn .r;.. c

Rt-port Required :;y the EthicsAO-JU FlNAi'iCIAL DISCLOSli"RE REPORT in Government Aet &f 1973 Rev. l/21lll4

Calendar Year 2003 (5 U.S.C. app. §§ !01-111)

I. P=<m Reporting (Las: name. First name, Middle initlal)

Leval, Pierre: N

2. Court or Organizaiion

U.S. Court of Appeals 2nd Cir.

3. Date of Report

51612004

4. Title (Article ill Judges indicate active or senior status; magistrate judges indicate full-<ir part-time)

U.S. CireuitJudge (seni01)

7. Chambers or Office Address

Thurgood Marshall U.S. Courtho 4G Foley Square

New York, NY 10007

5. ReportType (check appropriate type)

Q N=-<>i. Date

Q Initial 0 Final

6, Reporting Period

11112003 to

1213112003

8. On the basis of the infonnation contained in this Report and any modifications pertaining: thereto, it is, in my opinion. in compliance with applicable laws and regulations.

Reviewing

IMPORTANT NOTES; The instructions accompanying 1his form must be followed. Complete all parts, checking 1he NONE box for each part where you have no reportable infonnation. Sign on last page.

I. POSIDONS. (Reporting individual only; see pp. 9-13 of filing instructions)

NONE (No reportable positions.) •

I. Council member The American Law lnstitutc

2. Trustte & !'OWl:r of Attorney -members

3. Member· Phatog?aphy Committee Museum of Modern Art

0 ·==:- .!!:<J> ::D 0 rnr'"" II. AGREEMENTS. (Reporting individual only; see pp. !4-16offiling instructions) o- 0m ·-!2J NONE · (No reportable agreements.) ,- = lil1·-;z -:::0 C> = rn_ "" <Q;po_,,, .- Fi1

1.

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

[

SOURCE GROSS rNCQME

SOURCE AN!) TYPE

1.

SOURCE DESCRIPTION

-· ---

Leval, Pierre N 5/612004

III. NON·Th1VESTMENT INCOME. (Reporting individual and spouse: see pp. 17-24 of filing instructions)

A. Filer's Non-Investment Inwm

D NONE - (No reportable non-investment income.)

AJ'ID TYPE (yoW'S, not SJ:l()use's)

L 4101/03 Columbia US (fee was donated to school) 3000

B. Spouse's Non-Investment Incom -(lfyou "-married during any portion of the reporting year, please complete tltis section. (dollar amount not tequired excopt forhonoraria)

D NONE - (NG reportable non-investment income.)

I. Slate Sl Cultural lnsl Pension Plan

Smithsonian lns!iM:il>n

3, NYC Dep\ Cultural Aifuits

4. Upstate History Alliance

5. NY Fmmdation fur the Arts

6. Cuban Anlsts Fund

IV. REIMBURSEMENTS -transportation, lodging, food, entenairunent.

(Includes those b:> spouse and dependent children. See pp. 25-27 of insu-a<:tions.)

D NONE - (Ola such reportable rcimblll1!ements.)

Federal Bar Council 2115 -Mau HA Educational Seminar (Transportation, meals, lodging) -

2. Media Law Resource Cenrer 9122. London, England - Educational Seminar (Transportation, meals, lodging)

3. llltNYC Panel for Educational Policy Transportation re monthly meetings.

SOURCE

CREDITOR VAL!JECODE

51612004 Leval, Pierre N

V. GIFTS. (Includes those to spouse and dependent children. Sec pp. 28·3 I ofinstructions)

D NONE {No such "'pm1able gills.) ·

DESCRJPTIQN

I. (gills from relatives ·not reportable)

2. Lotos Club Complirr.entary use offlleilities for I year by reason of spcoch at Club function.

VI. LIABILIT'IES. (Includes those of spouse and dependent children. Sec pp. 32-34 of instructions.)

D NONE (No reportable liabilities.) -

DESCRIPTION

1. MONY Loan on Jife insurance policy L

····"".·

B. c. ll.

period

(I) (l)

Dividend

(sdl I 1 Dividend

(!) (l)

l T

(2) It trom

(3) (4) v ....

(5)

. .

ct.•. • °'. ·. .· •.·.· Z}(S'";'!';..···c· ..... '.·.·· .•·!·.- .·.I.•)·

··.·.· - """""""' '"' -u' ] Pi 'F.!H sso,DW:ooo· , . -������- -����--

I I

' ; I

buy

· ·· o ..... -ss,001..s1s,ooo· . _ _.. · . - ..sse.000

I,. • K ,, s1s,001.sso. : .. ·- �ln't!l?1':$100,00!i . M •.s100,001-ruo,O-Oo

;_Apµraiw..

z' li 11.t"U, f.'......J.li....Lo .v i.i.:> '-'..L v,.,., u ..:KJ!.i l'i.l!.tr v K 1 Name ofPe:son Reporting Date of Report Page 1 of5 Leval. Pierre N 51612004

VII. INVESTMENTS and TRUSTS

A. lncomeduril1'! !:oms.actions during reporting period GtoS$ l'aiue at end of

Descdption of' Assets roportingperiod(including trust ""'1S) not(1) exempt

AmoWll Type (e.g.Pl= "(X'f afu:r cacli iwet cx<mpl .Value Value 1,,,. (e.g. Date: ldcntityo(GainCOO.l Me!hod Month .. huyerisellerfitm priocdlsclcruno coo. l div. rent. or (J.pj

Inly. sell,(A·H) mt).

eoru.2 coo.CodcS -· Day (tfpriwtc

tnmsaciion) l"' (A•

(Q-W) ) (J-1')

ONONE (No_..w,m-.,..-.or....,_,..,)

Abbott Labs (co stock) (self E Dividend Pl Tmmonl.

2. AT&.TWireioss (common) None sold 4AI J c

.3. Exxon Mobil (common) D Dividend N T . .

4. Lucent (common) soldA Dividend A4111 J

Pl TS<hcring Plough (common) (self E Dividend s .

B DividendPE Blosys11:ms (common) (Perldn Ebner) (PK!) M T6.

None L TPE Cdera Gcnomics (common) (CRA) 7.

A Dividend J T8. usx

Daimler Cluyslor (common) A9.

TF PlFMC Select Fund ( n)10. commo

• buyII. 1/03 J

• 3/06 J12.

• buy 3113 J13.

• buy J411614.

• 4/27. Jbuy15. .

• S/23 1buy16.

• 6/18 Jbuy

buy 8122 J

.

17.

is.

·

• .

l. lnccirte4Jain eooes::_:: ,:. ·. Js.;.;c.\1 BJ .,,d))JJ F. . E ::'."" 1.s. 01 ... •·· · ·· • .....·• .•

·.. Jti ,;llb.iibiitSl,oOO,O(\()

. A -:: 1. m:.�: ::;::: :,:,:::·:a ..

...•SSO,oQt;sroo,l)!Jfi .G "SIOO,QOl:il,od(i,a�n;.. •, l;iltiP,�!�$5,ooo�'' - :'.*'! } 000-: .. s1.001o$2.Soo ·.,

-. . ,...· , . ;.$1,�1'$5,0C;),000 Pi ii,000,001-ru:00n.ooo •.. o ;.ssoo,001cs1;iloo.iloo :i

•

.

J.

'."s1s,ooii;.:i.s& .L • . .. . . . . N -$250.� oo;!!Oi)'

.szs,oo1J,001-sw,00o;00o

U =boo-kVahre

,VaiueMetlwd'Cod.es1•11--· /;.!';¢ColumnC2)

··=Oti:Je:-

T ,,. Ccst - ;tkdy)"· ;$;;.:;,: .T.- .. Ca.m.4.4.arket·:, ::-\v...-]J.s ".: · - ·c

c. ll.

-!ting priMI

(2) (I) (2) u

(2) (3) (4) (SJ -

]

JS.

T

's0<000001 sWOOollOC' · :'.::.o--·= · • - t}&i; :; .•

o : s .. : 1:�000 ::::· :'.:pf;:...$1;000,00i'.:$s.ooo ·: ·ri:;�:ss ooo:oo1:.s2s ooo:ooo;::::::<

t i:'iAJ'll...:.IAL lll LLU:SU.i:ti; l:U£l'URT Name of Petson Reporting Date of Report Pagel of5 Leval, Piem N 51612004

A. :a. Description of Assets IncomeClring Gt'O$! vn..itc ai eru:t or Transaclions during rtperting period

period(including tru51 llSSCIS)

(!) (!) not exempt ftmn disclosure

pi.c, 'OO'afttt""""""'°""""' Typo (•. Vllue Value Typo (<.g. lla!c: Value Gain !dOlllity offrom prior disclc-S'.n: COO.! div. cent. or Codc2 Me!hod blly, .. 11. Monlh- C<Xll :i Cod<; buycrisellcr (A·ll) il11.) (J·l') Codcl -· Day (l·PJ I (A- {if private

(Q.W) r<dcmpti®) "' tr.mJiac;tfoo)

19. • buy 9118 J

20. . buy 11118 J

21. • buy 1211 J

- · • buy 12/12 J22. -

23. • . ... buy !13 J

24. • - buy 214 1

25. • . ... buy 5128 J

26. • -

buy 8122 ]

21. •

• buy 9/18 J

28. • pllltsale 119 ]

29. " pa.'tsalc 1130 J

30. • pllltsalc 3128 J

31. " paitsale 4l2l! J

32. • part sale 6/ll J

33. • pllltsale 6127 ]

34. • part sale 7128

• part sale 9/S K

36. " part sale !Oil J

Lln<:='GalnCocicd' 'A ...$1.0Q!lO..r... B .•sl,OOl-S2.>oo •. ········ - ·· '"' ;Q()l)j ' ' ' ;o_ ss,00!'$!5JJO!! ' E' ".'.$15,00£'$SO;ooo' (s,. Cclmmu Br .rur.o-i\ :fi ..$50,001-S!OO,OOO. G "S1oo,Do1-s!;OOO:IJ()(). ,:·, !'!!. :"Sl,OM;qd!;$5,.006,(l0() <H2 cMote thanSS,000,000. . . 1 vai.,.c0aes: i: ;.sis.c-;i1.SSO.iioii; ;J. i,! s1oo:oii1..s:l5a:o® -,;sls.ooo'J<'i.;.; .r. sd;ooi'ir6a.®O.•· . · ·. ·· · · ;.• ;. ;.�ooo

.. ... (s cdi :Ci :ik):' : �..:o; SOO.Oot(:::: ··

•• •• ••••• l'3 3. V<J Yfotho<l :" ·

•.. • .. . .... .• .•.•.. . ,,,i<;. fu.,l$s0.ooo,(JI)() ···••····· . . . . R ; :: .t.·

V -oilier·:(S:cColumr::Cl) ·u =El;lol.::.V

j

c

pcoiod

(I) (2) (l) (2) (I) ll (2) (3)

Dale: Code

Day "'

-M

sell

S2.

iii T / p ¥

v -other

-

rq><ming p<riod

(e.g.

on)

Page 3of5 Leval, PiemN . 51612004

vn. INVESTMENTS and TRUSTS - income. v.afuc,_ transcarioru (includes those of the spouse znd dependent ehildren. See pp. 34--:57 of filing instructicm.)

A. B. D.Grc5s valllc DI end of Transactions during reporting period lncomoduring

Desaiption of Assets (includingtrust wots) not exempt from diJ.closurc

(4) (S) Place "(X)" after each ..... <Xempl ioot prior disclosure

- VahJo Vaine T!'JlC (e.g. T!'JlC Value Gain ld=tityofdiv. rem. or Code! Codc2 Method buy,sell, Monlh- buyer/sellerCodc2

CodcJ. -·(A·H) int) (J.P) I (A·(J.P) (ifpri-tramacrion)(Q-W)

•37. partsale 10/28 1 A

38 • part sale 11126 1 A

39. • part salo 12/26 J A

40. Lincoln St Realty Oimi!Cd par1ncrship) - None 1 w

41.

42.

43.

Hershey (common) •

Smith Barney Liquid Res Fund (common)

Gen. American Inv. (common) a (GAM)

B

B

c

Dividend

Dividend

Dividend

L

K

T

T

T

44. Chl!Se Bank (account) ... B lni=st 1 T

45. Bank ofNow York <=unt) None K T

As to the assets listed below, neither I no have any vested beneficial ownership interest. They are listed because I serve as a trustee.

-48. AT&T (common stock) 4111A Dividend J

49. AT&TWarclcss sell 4/11.None J c

.so. Lucent (common) sell 4/11None J

SI. Schering Plough (common) E Dividend 0 T

Warburg Pincus Funds (common) L Tc Dividend

soll 4111 1 BNone53. NCR

54. Art Works Pl wNone

·L hloomdG.m COdcs:····· A-si;oooori..s •.: ":<::s • s1;001.:s2,300:: >-::'•::c:·:- S2,5:01>S3,ciocr•· :::.:-::!)· ss,oor..s1s,ooo• (S..Co IJl.mdD4) F •SS0,001..$100,000 G . Sl00,001-SI,OOO;ooo .. ri.cioo;oo1�;0oii ll2- ss.Oqo,OOO

Vla!uceodes: ./ •5\S,OOOor!..,. .. K s1s,o01.$5o:ooo S50,-0�l-$IOOJ)Oll ••rn ;,;Sl(J(J,OOl-$"250,ooo (See Colwm15 Cl and D3) N $250, 500,oOO . . 0 • SS00,00[..$1,000,000 : Pl; "'.$l,Ooo,OOl,$S.ooo,OOO P2 ss.000,001..szs,ooo,ooo

··· :·

·P3 • $25,000,001-SSO,OOO,OOO , .... , :: <• j·4 •;;SMmi!Wisso,o00;000 ··· ··· · · · •:: ' .:·:::·:·:.::: .. ·:::::::.::::::::: 3. Valuc.Mcthod.COOes Q uAppraisal R C - Oµiyj. :: ::;: ;A;,�;_;�L·

rser. Column C2) U u Book .V alu:;

c.

reporting period (I) It .uuiu

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

C00.2 Cod<

"'

J

-

• K

72.

A_;-_-•• «1.1.000-:or ·j

__ __ ;;is250,00Q-$soo,ooo

... . .!:at-·

(l·P)

J Name of Person Reporting I Date ofR'P""

.Page4 of5 Leval, Pierre N 51612004

vn. JNVESTMENTS and TRUSTS - income,•,;alue, transcations (includes those of the spoiIS1: :u:i:i depend=nt clilld.-en. S= pp. 34,.57 of filfrig instnu:tions.).

A. JI, D. Ir.come during Gross vaiac at Clld of Transactions during reporting period Descriptionof Assets "'POl1ing periOO(including ttust .-S)

(l) (2) (2) (I) not exempt disclosure

Place "(X)" after each asset exempt Am- Type {e,g. Vu Value Type (e.g. Diu<:: Value Gain Identity of from prior disclosure Code I div, rent. or COll<2 Mclhod buy, sell, M-· buyodselli:r

(A·HJ int.) Code3 '""1!"'. Day (l·P) I (A· (ifprivaw(Q-W) n:d<mption) lratJsa.ciion)

55. Agere Sys (Common) Noo• . sell 4/ll -

56. Comcast A (common) D Dividtnd . sell 4/11 K E

57. FMC Select Fund (Common) D Dividend N T Buy 4116 L .

• sell pm 112 J58. -

59. sell pa.'! 1130

60. • soUpm 3124 K

61. • sell part 3128 J

62. • sell part B/29 K

63. • sell part 12116 J D

64. Analog Devices Conv NT 10/!/l)S 4.750% D - sell !Oil M D

65. Arohstonc Smith (Commm) c Dividend L T

66. Bear Steams NT 7.625% 12/07109 D - sell l l/22 M D

67. Centtal Tel NT 7.04% 9/2l!07 D - M T

68. Consol. Nat Gas NT 6.85% 4115111 D "'""1:st M T

69. Fed. Nat. Mtg. Assn. <leb. 5115% 4115/03 c - sell 4/15 M

70. Housohold Fin NTS 6.5% 11115108 E ln1<t'CSI M T sell part 12119 M D

71. Lehman J<.'T 7.875% 1111/09 D Interest sell 10/22 M D

NY Tel deb. 8.625% 11/!S/10 E ln1lllt$! N T

.t: Incrun.e!G-am·Codes;-- · B _ =Sl!001..$z!io:r .c: = s45ot:.SS-,OO�f;;::: . '" D._ ".O<:ss,oor..:sts,ooq : - .. ·;;:::..:ns,001..ssO,{)CO -

· ··· 1· ·. (s..c,,1=a1 ..dD4l 'F o,oo: S!OO,ooo .. • c; -sioo,Q01"S1,ooo,oon · e1 .is1,ollG.o91:Si,o00Jioo R2.-Moret\Uio;5.ooo,o00

.fva100Ccaes: .. _ EJT'.�tJ ;i .; ... . ;·:i s1s,1¥Ji4so,ooo.. :-: '.: R;W OO'.\Q#::;:::r . : :; :s100.®1:.S2S ::·::::• · (se<6,i;,.,,,,;c1 aru:nl) N .. o ;;is.;uo,ooi->1.000.000 Pl '.!1.o00,001:$5,QOO,oOO P2 ss.ooo,001.s2s;oc '100 JI Pl s2'l.!lOO.ooHiSllc .c,ooo e4 $M.,eii-.;.,�.ooo,ooll · . 1

3. ValueMetiiodCode& Q '"':Al'Pii!isal; R =Cosa:(Re.a!Esu:!-eOnJy} S " - :.·:::r - ""-Cashi}vfarlret

u =BOO:< 'li aiu: v ""o'}.."'" Vt' EsiiiiimceF: ·

B. D.

!llpOrting period c<pO<tingporiod

(2) (l) (2) (!) 11 umo disclosure

(2) (3) (4) (l)

Day

E N

u

B Interest M

F

"';$5!J,001.,s1"1.ooo

J.:' .!1 ;u_,,.....,.J..aJ...j V J.i.::J.....,LU V .K..l'... .K..11.:.t"'\J l{ 1 Name of Pm on Reporting Datt; of Report Page 5 of5 Leval, Pierre N 51612004

VII. INVESTMENTS and TRUSTS

A. c. fucome during GIOSS valuut end of Transaciionsduring reportingperiod

ptior. of Assets (iru:luding""" assets)

(1) am exempt

Place "(X)" after each asset exc:tnpl Amount T)'!lO (e.g. vaiu. vaiu. Type( Dare: Value GWn ldontity of-prior disc!"'""' Code l div. rem.or Code2 Mcihod "'"'· sell, -· Codc2 Code buyer/seller

(A ·I!) iut.) (J.P) Cod< 3 -· (l·P) I (A· (upm.1e (Q-V.1 m!cmptioo) H\ t.ransai::cion)

73. Su.'llmil Pptics (Common) D Dividend soil part 4116 K .

74. • sell 4117 K

15. Tel &DataSys 7.0 811106 D !nt=st M T

76. U.S. T""""'l' 3.S'i'o !1 15111 D Interest N r

77. Westinghouse deb. 8.62$% 811112 E ln1mst N r

78. Wisc. dcb. 7.625% 311110 Interest T

79. Fed. Home Loan Bk 5.70% 8/IS/ll None L r buy 11/12 L

80. Fed. Home Loan Bk 4.5% 9116113 None M T buy 10/22 M

81. Fed. Farm Cr, Bk. 6.61% 4111112 None M T buy ll/13 M

82. Fed. Fmm Cr. Bk. 4.85% 10125112 None M T buy 1001 M

Vornado Realty (common) D Dividend M T buy 4/16 M

&4. Wells F"'l!U Mlg. Backed sec. 4.5% 8125118 T buy 7117 M

1. -'Gafu cooe.: •····· A '".S!.00\lo:l= •..• •· ll -s1.001"2,SOO ,. '· <:u- 01,ss,000 . D •S'.l;oor�s.ooo ··· · .... E :"' 1s,001.sso.oov •. • 1 . (Scc 6,1;,,;.,.Bi ..;JDi) , F •s.so,001,s100;000 G -s100,iio1.s1.n00,()0Q •;; ; i;ooo,001.s.l'.ooo.OQG H2 . Mon:tfutiil.5,000,000 ·•·

· I:i.va1,,;,Code.. • · · · i. .s1s,Orio.tJ.,,, ··i;;· s1s:aai s1{.ID<i . ·· t •· Ni -s106.ix11 0.ooo ·.·. ··• isoec.ili.rinllc1 do�> w t250,0oo-ssoo.o00 .• • o :.ssoo:oo1-s1,o00.®o i>i ;; j.ooo..oil1lss.ooc,tW<l · P1. = s.00ii,001 s.ooo. :m · l

P3 • S25,000.00!-$SO,OOO,OOO ••• . . . . .. ·.••• •' • !>4. ;;SM...;,m;msso."J-0,oori • · Q ..,AriPraisar. l( :: (P..ea!�·�� ·}. ::: ·?:_ t:.:::< : : - . .f

.

:·""c�,:;.�t-'·:::. -· :"w· :·:·:

1' H'iAJ \-lAL IJl;::.l.,LU:SUfil: Kli.i:'URT Nameot!'crson l<eponing

Leval, Pierre N

Drue ofReport

51612004

VIII. ADDffiONAL INFOIUAATION OR EXPLANATIONS (lndl""'pan otRepc'1.l

1•>1<nui;; u1 r'C.1:1'.UJI Keporung uare ot itepcn

Leval, PieneN 516i2004

IX. CERTIFICATION.

I 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 ofmy knowledge and belief, and that any information not reported was witliheld because it met applicable statutory provisions permitting non-disclosure.

I 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:S U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulatio1111.

1'' """ 7 1 1-u u '1Date

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF AILS TO Fll.E 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

Suite2-301

One Columbus Circle, N .E.

Washington, D.C. 20544