..--- - - o:J"-·----------------------,.------------------.---------.......

·-------

, PQSIDON

Officer ___________ _ Date. ____ _

NAME OFOKGANJZATION/ENTITY

PARTIES AND TERMS

r-"""f'1

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 1978

Calendar Year 2003 (5 U.S.C. app. §§ 101-111)

I. Pe.son Re:p01ting (Last name, First name, Middle initial)

Caputo, A. Ric:hard

4. Title (Ariclc m Judges indicati active or senior status;

magistrate judges indicate full- or part··time)

U.S. Distric1t Judge - Active

7. Cbambe s or Office Address

235 North Washington Avenue

P.O. Box 1246

Scranton, PA ll8501

1. Co-Trustee

2. Court or Organization 3. Date of Report

U.S. Dist Ct. M.D. of PA 5/6/2004

5. Repora'ype (check appropriate type) 6. Reporting Period

Q Nomination, Date 1/1/2003

to0 Initial @Annual 0 Final 1213112003

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

-Trust

CR1eportiing individual only; see pp. 14-16 offiling instructions) IL AGREEMENTS.

D NOlliJE (No reportable agreements.)

1. Fees which have been billed and remain unpaid from the practice of law, which I left in 12197, will be remitted till me when eollected.

Cl -(./}('":! CJ:::-::

S; :-� p. ::?. c:.:·::,·;o--:-. r---;-;-c··1 in,

SOURCE AND TYPE

J 51612004 i

GROSS 1NCOM6.

SOURCE AND TYPE

SOURCJE PESCRJPTION

FINANCIAL DISCLOSURE REPORT NameofPersonReporting

Caputo, A.Richard

Date of Report

III. NON-INVESTMENT JNCO:ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions)

A. Filer''s Non-Investment Income

NO:r- E - (No reportable non-investment income.)

1.

(yours, not spouse's)

B. Spouse's Non-Investmen1t Income - (Ifyou were manied during any portion of the reporting year, please complete this section. (dollar amount not requir1i:d c:xcept far honor.uia)

NONU - <No reportable l!M:>n-investment income.)

1.

N. REIMBURSEMENTS -- transportation, lodging, food, entertainment

(ll1cludes those to spouse and dep1mdent children. See pp. 25-'l:/ of mstmctions.}

NONE - (No such repootable reimbursements.)

1.

DESCRIPTION

DESCRIPTION

Report]

YALUECQDE

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Caputo, A. Richard

V. GIFrS.. (mcludes those: to s1pous( and dependent children. See pp. 28-31 of instructions.)

NONE - (No such reportablle gifits.)

1.

Date of

51612004

Vl LIABlLIT.IES. (Tulcludes th()se of spouse and dependent children. See pp . .32-34 ofinstructions.)

0 NONE (No reponabte liabilit1.1 .> -

CRW!IQR.

1. Mellcm Hank

2. MBNA America

Credit Card

Credit Card

J

J

, _____ _

TH

ms

CoE

--lria

--

--

. It

(2) (3) (4) (5) Value Gain

3.

4.

6.

-c

-All

(2)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 1oi[4 Caputo, A. Richard 5/6/2004

·- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)Vil. INVESTMENTS and TRUSTS -

A. B. c. D.

e:scription of Assets D (including trust assets)

Income during reporting period

Gross value at end ,of reporting period

Transactions during reporting period

not exempt from disclosure (2)(1) (1) (1)

Plac:e "(X)" after each asset exi:mpt from prior disclosure

DNONE (No reportable income, as:iets, or tr.msactions)

1. -II Trust

2. - W'. Common Stock -

-

AIOOUDt Type (e.g.Code 1 div.. rent. or (A-H) int.)

B Div. & Int

Value Value Code2 Method {J-P) ·Code 3

(Q-W)

M T

Type (e.g. buy, sell, m:rger, redemption)

Date: Identity of Month- Code2 Olde! buyer/seller Day (J-P) (A-H) (ifpri ate

transaction)

partial 3128 J c-Cbevr1t1n nl'da Chevron Tex.ac:o Corp. -Common Stock

--Gl Common Stock

--Joi •m &Johnson Common Stock5.

--- Milerosoft Common Stock

sold 3128 J- Sa ra l..ee Common Stock c7.

8. -lb1rley Davidson Common Stock

9. ·,vai Corp. kin/a Carnival CP New Paired ln Stock

-10. -Cisc:o Sys. Inc. Commoo Sro.:k

11. buy 8114 JGroup Inc. Common Stock

-Cl- llCOS Fas Inc. Common Stllck 12.

.

13. Ciiti.gr:oup Inc. Common Stock -

14. -OollSI tellation Brands Inc. Class A Common Stock

-15. -DODll'inion Res. Inc. {New) Common Stock

-Dow Chemical Co. Com.moo. Stock 16.

17. -All_ergan Inc. Common Stock

18. ffi.A #' ,[ B JDiv. &Int. M T

buy

buy

buy

buy

buy

buy

8/14 J

8/14 J

8114 J

8114 J

8114 J

8/14 J

1. lncome/Gaitt Codes: A = $1,000 or less B = $1,001-$2,500 c = $2,501-$5,000 D = $5,001-$15,000 E = $15,001-$50,000

(See Collunuis B1 and 04) F = $50,001-$100,000 G = $100,001-$1,000.000 HI = $1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes: J =$15,000 or less K = $15,001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000

(See Collumlis C 1 andD3) N = $250,000-$500,000 0 = $500,001-$1.000,000 Pl = $1,000,001-$5,000,000 P2 = $5,000,001-$25,000,000

P3 = $25;,Q00,001-$50,000.000 P4 =$More than $50,000,000

3. Value Methcrd Codes Q =Appraisal R = Cost {Real Esiate Only) s =Assessment T = Casb/Market

(See Column C2) u =Book Vallue v =Otller w =Bstimak:d

�������-'

disclosure

Gain Code I

- -----------------+--------+---------�------..-----�---------t-------..---�""""---+------------1

-

Stoc

-

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

5/612004

•• income, value, tranSCatiaas (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

Caputo, A. Richard Page2of4

vn. ,. INVES:ThIBNTS and TRUSTS

A.

Description of Assets (including trust assets)

l>Jaoe "(X)" after each asset e from prior disclosure

xell\)t

B. Income during

reporting period

(1) (2)

Amount Type (e.g. Code 1 div. rent. a (A-H) int.)

c Gross value at end of reporting period

(1) (2)

Value Value Code2 Method (J-P) Code3

(Q-W)

(1)

Type (e.g. buy, sell. IDll'gel", redemption)

D. Transactions during reporting period

not exempt from

(2) (3) (4)

Dale: Value Month - Code2 Day (J-P) (A-H)

(5)

Identity of buyer/si ller (1f private transaction)

19.

20.

21.

22

23.

24.

25.

26.

- Verizou Common Stock

• Moirga11 Stanley Dean Witter l.iquidl Asset Fund

- LPL Premier Money Market Slilares

tock- Carniv:al Corp. Common S

-ommon Stock. -Compu1ter Assoc. Int'l C

-- Ca:disle Co. Inc. Common Stock

- Col1000 Common Stock

- Dfal Corp. New Common S ro.:k

sell

buy

sold

sold

10131 K B

11/6 K

4117 J D

12115 J

27.

28.

29.

- Pfi:rer Inc. Common Stock

- JDS Uniphase Common

- MCI Worldcom Common S tock

30.

31.

32

33.

34.

35.

36.

- Dell Computers Common Stock

- Lu1cen:t Technologies Commo1 11.Stook

• Agere Sys. Inc. Class A COJm nenStock

- Ag Sys. Inc. Class B COJmnon Stock

-Citilgmup Common Stock

- Pn:cision Castparts Common Stock

- Bristoil Myers Squibb Commi >n Stcx:k

sell

sell

buy

8115 J A

8/15 J A

8/15 J

l . Income/Gain Codes: A = $1,000 or less B = $1,001 -$2,500 c = $2,501-$5,000 D = $5,001-$15,000 E = $15,001-$50,000

(See Coh1mns Bl and D4) F = $50,001-$100,000 G = $100,001-$1,000,000 HI = $1,000,001-$5,iQOO,OOO H2 =More than $5,000,000

2. V a1ue Codes: J = $15,000 01r less K = $15.001-$50,000 L = $50,001-$100,000 M = $100,001-$250,000

(See Colunms Cl and D3) N = $250,000-$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

3. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessment T = Cash/Marl:et

(See Col11mo C2) u =Book Value v =Other w =Estimated

_______ ,

I __J

'

(2) (1) II disclosure

J

(4)

3. Value Mf:lhod Codes

(See Colwnn C2)

FINANCIAL DISCLOSURE REPORT DateofReportName of Person Reporting

Page 3of4 Caputo, A. Richard 51612004

VII., INVESTMENTS and TRUSTS -- income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

--A.

!icription of Assets De (inclluding trust assets)

Pia fro

ce "(X)" after each asset e:amipt mprior disclosure

B.

Incoim during reporting period

(1) -

Amount Type (e.g. Code l div,, rent. er (A-H) inL)

c.

Gross value at end of reporting period

(2)

Value Value Code2 Method (J-P) Code3

(Q-WJ>

{l)

Type (e.g. buy, sell, merger, redemption)

D.

Transactions during reporting period

not exempt from

(2) (3)

Date: Value Month· Code2 Day (J-P)

Gain Code I (A-H)

(5)

Identity of buyer/seller (if private transaction)

37.

38.

39.

40.

41.

42.

- Fle1 tB 1:>ston Financial Commcm Stcick

-an Inc. Common St.eek - Allergi

-':s Fas Inc. Common Sto k -Chiico

---Hadey Davidson Ille. Common Stock

--Micro;oftCorp. Commoo. Stock

---Wbole, Foods Markets Inc. Common Stock

buy

buy

buy

buy

buy

buy

8/15 J

8115 J

8115 J

8115 J

8/15 J

8115 J

43.

44.

- Le111Cadi ·a Nat'! Corp. Commo1 Sto;k

--Cooper COS Inc. Common Stock

buy

buy

1215 J

12115 J

45.

46.

-H<liDe)'Well Int'l Inc. Common Stoc:k

--Wac:ho,fia Corp. Common Stcx:k D Dividend M T

buy 12115 J

47. East Sb :oudsburg S.D. Mlllilicipal Bcmd B Interest K T redeem 11/17 K

48. WaJwic:k S.D. Municipal Boncl B Interest L T

49. PA Sta te Higher Educ. Bond B Interest K T

50. Easlteru, Penn S.D. Municipal nond B Interest L T

51.

52.

53.

54.

Greilt \'alley S.D. Municipal Elond

-Mo1rgaii Stanley Dean Witter Liquid Asset Fund

LPLPremier Money Market Sltiares

nc. Common Stoclt ?fu:erl -

B Interest

A Dividend

A Interest

A Dividend

K T

J T

K T

T

partial red.

sell

buy

4117 J

10/30 J

11/20 K

I. Income/Gain Codes: A = $1,CIOO or less B =$1,001-$2,500 C = $2,501-$5,000 D = $5,001-$15,000 E =$1:5,001-$50,000

(See Cohunns Bl and D4} F = $50.,001-$100,000 G = $100,001-$1,000,000 HI = $1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes: J = $15,000 o'r less K = $15,001-$50.000 L = $50,001-$100.000 M = $100,001-$250,000

(See Co!Wlms Cl and 03) N = $251},0Q0.,$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,IJOl-$50,000,000 P4 =$More than $50,000,000

Q =Appraisal R =Cost (Real Estate Only) S = AssesSI!ll!llt T =Cash/Market

U =B-0uk Value V =Other W =Estimated

·�������-

I __J

{l) disclosure

(4) (5) Value

(A-II)

-

S

I

F1. ANCIAL DISCLOSURE, REPORT

Page 4of4 Name of Person Reporting Caputo, A. Richard

Date of Report

5/6/2004

VII., INVESTMENTS aind TRUSTS - income, value, tmnscations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. D. Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(1) (2) (1) (2) not exempt from

De11cription of Assets (mcluding trust assets)

(2) (3) Amount Type (e.g. Value Type (e.g. Date: Value Gain Identity of Code 1 div. rent. or Code2 Method buy, sell, Month- Code2 Code l buyer/seller

Plac:e "(X)" after each asset ex from prior disclosure

c1mpt

(A-H) int.) (I-P) Code3 merger, Day (J-P) (if private (Q-W) redemption) transac1 on)

55. IRA#2 A Div. &Int I T

56. - MS:DW Growth Fund B sold 12119 J A

57. • MS:DW American Opp. B sold 12119 J A

58. - l.Pll.. Plremier Money Mada:t buy 12/12 J

59. barcli• l.Pll.. Pll'emier Money Market S buy 12/24 J

60. Morgan Stanley Dean Witter Liquid Asset Fund A Dividend I T sold 1215 J

61. LPL Pre:mier Money Mark1et Sb ares A Dividend T buy 12112 J

62. Gen .. Motors H Com Stk n1ow Hughes Elect. Coq>. & None J T exchange 12124 J NewsCoq> .

63. • acre1; vacant land - Orange C::Ounty, Florida None Pl w

I . Income/Gain Codes: A = $1,000 or less B = $1,001-$2,500 c = $2,501-$5,000 D = $5,001-$15,000 E =$15,001-$50,000

(See Columns Bl and 04) F = $50,001-$100,000 G = $100,001-$1,000,000 Hl = $1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes: I =• $15,000 or less K = $15,001-$50,000 L = $S0,001-$100,000 M = $100,001-$250,000

(See Columns Cl and D3) N = $250,IJ00..$500,000 0 = $500,001-$1,000,000 Pl = $1,000,001-$5,000,000 Pl = $5,000,001-$25,000,000

P3 =• $25,000,001-$50,000,000 P4 = $More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Esrnte Only) s = Assessirent T = Cash!Marlcet

(See Col1mm C2) u =Book Value v =Other w =Estimated

Report] Dare of

51612004

Name of Person ReportingFINANCIAL DISCI.OSURE REPORT

Caputo, A. Richard

(Indicate part of Report.) VIII. ADDfilONAL INFOIDaTION OR EXPLANATIONS

Part VII - Line 18 IRA #1 was fonnedy Morgan Stanley Dean Witter JRA. This account-

is now with Integral Investment Group/ Iinsco Private Ledger.

Part VII - Line 55 IRA #2 was formerly Morgan Stanley Dean Witter IRA. '.Ibis account-

is now with Intergral Investment Group/ Lin1sco Private Ledger.

Part VII - Line 59 of 2002 report .. First Credit Union of Scranton Account does not meet reporting requirements and therefore will not be listed on this and future reports.

·

____________ .l _c_ _u_ro. __ A._ru_·c_h- d------------------------------1.----)-- - GC.

) . ' '

FL.''4ANCJ...-�L DlSC::...OSl1RE REPORT ,'iameof ?e-:-sGl1 :<.epcrting Cate vfR ;:crt

IX. CERTIFICATION.

I certify that all informatiolll given above (including information pertaining to my spouse and minor or dependent children, if any) is ac1::urate, 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.

I further certify that earned income from outside employme:nt and honoraria and the acceptance of gifts which have been. reported are in compliance witb the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulaticlns.

NOTE: ANY INDIVIDUAL "'WHO KNOWINGLY AND Wll..FULLYFALSIFIES OR FAILS TO FILE TIIlS REPORT MAY BE SUBJr.ECT TO CIVIL AND OUMINAL SANCTIONS (S U.S.C. a.pp. § 104)

FILING lNSTRUCTIONS

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