Lewis A Kaplan Financial Disclosure Report for 2009

8/3/2019 Lewis A Kaplan Financial Disclosure Report for 2009

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SELF INITIATEDA M E N D M E N TUNITED STATES DISTRICT CO UR T

SOUTHERN DISTRICT OF NEW Y OR KDaniel Patr ick Mo ynihan U nited States Cou rthouse

500 P earl StreetNew Y ork , New Y ork 10007Lewis A. Kap lanDistrict Judg e

August 7, 2010 ~ . . - ~ . ~ ~ . ~..~

Committee on Financial Disclosure -~ v-Administrative Office of the United States CourtsSuite 2-301 ~ 1 _One Columbus Circle, N.E.Washington, D.C. 20544Ladies and Gentlemen:

Enclosed are the original and three copies of my 2009 financial disclosure report.I wish also by this letter to amend my 2008 report by adding two new lines to Part

VII:B C DA

(1 ) (2 ) (1 ) (2 ) (1 ) (2 ) (3 )Fifth Third Bank 1.4 09 CD N o n e L T Buy 1 2 -2 4 LNYC Ser F-1 5 .0 21 None L T Buy 1 1 -2 6 L


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A o 1 0 [ FINANCIAL DISCLOSURE REPORT n c p o r t R e q u i r e d b y th e E t h i c sin Government Act of 1978m O W [ FOR CALENDAR YEAR 2009 (S u.S.C, am. to~-n l ). Person Reporting (l~st name, firs% middle initial) 2. Court or Organization 3. Date of ReportKaplan, Lewis A. U.S. Distxict Court, S,D.N.Y. 08/07/2010

4. Title (ArticI II[ judges indicate active or ~ nior status; 5a, Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or parl-time) [] Nomination, Date 01/01/2009United StatesDistrietJudge [] Initial [] A~nual [] Final to12/31/2009

5b. [~Amended Report7. Chambers or Ofliee Addr~s 8. On the basis of the information contained in tliia Report and anymodifications pertaining thereto, |t is. in my opinion, in complianceU.S. Couxthouse vdtli applicable laws and regnlations.500 Pearl StreetNew York, NY I(RYO7 Reviewing Officer-- Date

I M P O R T A N T N O T E S : the im*ructions accompan),ing this form must be followed Complae all parts,check ing the NONE b ox f o r each par t w here yo u have no r epo r t ab l e in forma t ion . S ig n on l a s t pag ~

~ NONE (No reportablePOSITION N~IE OF ORGAN~ATION~NTITY

1. P~n~ lt~dy Place Investment P~ership

4. ,

C ~

11. AGREEM ENTS. (R~r~ngNONE ~o reportable agreements.)

PXRTmS ,~ TE~S1.


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FINANCIAL DISCLOSURE REPOR T ] N a m e o fr e ~ o R e p o ~ gIPage 2 of 1 5 [ Kaplan, L e w i s A . 0 8 / 0 7 / 2 0 1 0

IlL NON-INVESTM ENT INCOM E. ~,~.g i.~l~.~A. Fliers Non-Investment Incom e

NONE ~o reportable non-investment income.)~AT~ SO~C~ A~ ~PE ~CO~~o~, not s~nses)

1. I 1/09 U~v. of P~ylv~a l~ti~te of~w ~d Economics, lecture/teaching $5.~.~

2.

3.

4.

B. Spouses No~-I~ v~st~l~l 1~0~ - I f yo u ~ m ~t d d u ~n g ~ y g o ~o n o f t h e ~p o ~n g yea r , co m p l e t e t h~ s ec t io ~( D o l la r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a )~ NONE (No repo~able non-inves~ent income.)

DATE SOURCE A~ TYPE1. v~io~ Pension ~d relir~en~ p lan ~s -pe~ on plans for behest of retirees o[ ~dom Ho~ kse, Inc.2.

3.

4.

IV. REIMB URSEM ENTS .. . . . . ~ ,rt~,~o ~o dg. .g .~. e. ,~, ~ . . . . ~( I n e lu d e s t h o s e t o . p o u . ~ e a n d d e p e n d e n t c h i l d r e n : s e e p p . 2 5 - 2 7 o f f il in g i n a t r u ~ : t io n s . )[~ NONE (No reportable reimbursements.)

~;OURC, E DATES LOCATION PURPOSE ITEMS [)AID OR PROVIDED1. FedLwal Bar Councd 2/14-2 I/I)9 Cabo San Lucas, Mexico Professional meeting Travel, f~d, lodging

2. Widener University School of 3/13-15/09 Wilmington, DE Lecutre and moot courl Travel, food, lodgingL aw3. American Bar Assoe.ialion 3124-25/09 Washington, I~ Professional meeting Travel, food, lodging

4. National Assn of Criminal 8/7/09 Boston, MA Professional meeting Food, lodgingDefense Lawyers5. Univ. of Pennsylvania 10/29-30/09 Philadelphia, PA Lecture/teaching Travel, food, lodgingInstitute of Law andEconomics

6. ()pen Skies 11/26-12/4/09 Paris, France Personal Air travel won by in promotion


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FINANCIAL DISCLOSURE REPORT Name of P ....Reporting Date ol RepottPage 3 of 1 5 r ~ p ~ . , L e w i s A . 0 8 / 0 7 / 2 0 1 0

~ NONE (No reportable g~sSOURCE DESC~PTION

t.2.3.4.5.

[~ NONE (No reportable liabilities.)CP, EDITOR DESCRIPTION VALUE CODE

I.2.3.4.5.


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N a m e o f P e r so n R e p o r E u g D a t e o f R e p o r tFINANCIALpage 4 of 15 DISCLOSURE REPORT [ gutplan, Lewis A. 0 8 / 0 7 / 2 0 1 0

VII. INVESTMEN TS and TRUSTS -~ NO~ ~o repo~ab le income, ~sets, or ~ansac~o~.)~.................................................................~ . . . . . . . . . . ~ ..................................................DT .......................................~ ~pnon of A~cts ln~e(inching ~t ~mLs) se~ng

l)~e ~ V~ G~a I d e n t i t y o fcx~pl~mpfiordimlos~ ~C~I [ d~v. ~ Ct~2 ~; Met~ b u y , m l $ , m~y~C~2~C~} buy~J~ller, ]{A-H) ~j orint.) (J4~ ) C~3 rede~ption) ] ~: (I-P) ~ (A-H) ( i f p f i v a t e

I, Cit ibat~ accoun~ A l~terest ~ T2. ~S ~ A Ser D 5.875 10~) A In t~est J T None3. NYS Pwr A Set GP 53 10(E) A Interest J T R edeem ed 01 /02 /09 J A4. ~S ~r A Set F 53 10 A Interest J T Redeemed ) 1 / 0 2 /0 9 ~ J A5. Mun Inv Trust Set ANY A In t~ es t J T6. PW 1986 EES lira pm None J W None

7. H~mdy Place Invest Part None J W None

8. NS MCFFA 51125 12 B Interest K T Redeemed 1 I , 1 2 / 0 9 J A(pan)9. Tfiboro BTA 4.5 ! 3 (E) B Interest Sold 07/01/09 K A

1 0 . Puerto Rico MFA 5.5 09 0~) B Interest Sold 08/03/09 K A1 !. NYS l .~ rm 5 . 125 11 (E ) . C I n t e r e s t I. T None

12 . Tdbom BTA 4.75 16 A lnteres! Redeemed 07/01/09 K A13 . NYC Mun Wtr 4.9 13 B Intcrest Redeemed 12/15/09 I, A1 4 . Commack I.)FSD 4.375 13 D lnteres! M T None1 5 . NYSTw y5.125 13 D Interest K T Redeemed 07/15/09 L A(part)1 6 . So Glens Falls (:SD 5.25 14 B Interest Redeemed 06/15/09 L A

!7. NY ]ranat MT A 5 . 2 tO D Interest M T None


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FINANCIAL DISCLOSURE REPORT ] r ~ , .e o f r . r ~ o , r e ~ , ,- n ~ [ D a t e o f R e ~ , ,~Page 5 o f ! 5 [ ~p~, L~w~ A. [ 0 S / 0 ~ / 2 0 ~ 0

NONE ~o repo~able income, assets, or tragyac~o~.)~iption of A~ts ~ In~e d~ng ~ value at

PI~ "(X)" af ter ~h ~s~t Amount ~ T~ (e.g. , Val~ Vfl~ Ty ~ Vah~ G m n I d e n t i t yxm~ ~m prior di~l~u~ ~ C ~ I ~ div, ~nt, C~e 2 Mel~ buy, ~tl, ~d~~] (A-H).~ o r i n t . ) 04) C~3 ~demption) [ (J-P) ~A-H) ] ~ i f p f i v a t e

1 8 . ~S E~v Fac 5.125 11 C t~eres~ K T R~ee~ed 07/15/09 L A(P~)1 9 _ ~N ~ 5.125 I I C Int~es~ L T None

20. NWS Dorm 5.1 12 (E) B Interest K T None2 1 . NYS Env Fac 4.55 13 B Interest L T None22. NYS Env F ac 4.95 17 C Interest L T None

2 3 . ML Bk/B&T RASP A Interest Closed 05/26/09 J24. NYC Trans 5.0 19 D Interest Sold : 1 1 1 1 0 / 0 9 i L A

,25. Gre~ce CSD 4.5 17 C Interest M T None2 6 . NYC 4.375 II (E) C Interest M T None

27. MTA 5.0 23 C Interest M T None2 8 . GECC 4.75 13 D Interest M T None29. Nat City Bk |ka Provident Bank 5.0 15 B Interest Redeemed 03/03/09

3 0 . NYC Set J 4.625 18 C Interest M T None3 I. NYS Dorm 5.0 19 (muh. issues) B Interest M T None3 2 . MTA 4.75 26 D Interest N T None3 3 . Lor~g Island Pwr 4.75 24 C Interest M T None

3 4 . Nv~rs Donn 4.75 25 C Interest J T Redeemed 10126/09 L A(part)


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Ia m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT [ ~pIan, L~ A. 0 8 / 0 7 / 2 0 ~ 0age 6 of 1 5NO~ ~0 ~portable income, assets, or wansacHons.)

~ i~ ~mg G~ value ~ end Tractions dung m~ng ~~ (1) (2) (1) } (2} ~ (I) [ (2~ ~ ~3) t4) ~ (5 )Place "(X)" ~er each ~t : A~I ~ T~ (e g, V a ~ V~ T y p e ( e , g ,, l ? ~ a t e , V~ Gain ] IdentiW of

exempt from prior di~l~re (A-H) or ira.) 0-P) C(~ 3 ~demption) O-P) ~A-H) ~ (ifpnvale

3 5 . Western B a~ Pue~o Rico A l n l e r cm l Redeemed 03103/09 K A

36. Bank Amer 4.65 12 B Interest K T None

3 7 . Capito! One Bk 4.75 t 0 B lnlcrest Sold 06/04/09 M B

3 8 . Port Auth NY&NJ 4.2 19 (E) D Interest K T Sold 1 1 / 1 0 1 0 9 t. A(part)39. NYS Dorm 4.625 18 (E) D Interest Sold 12/16/09 L A40. JP M organ Chase accts~ A Interest K T41. NY Life whole life policies A Dividend L T None

42. ML CMA NY Mun Money A Interest Closed 05/22109 J

43. ML C M A NY Mun Mo n ey~ A Interest Closed 06/22 /0 9 J44. Ulster Co 4.25 21 C Interest L T None

45. NYS Dorm 4.0 19 (E) B lnlcr~sl K T None46. ML C MA NY M un Mo ney ~ A Dividend Closed 06/02/09 J4 7 . ML Bank RASP~ A Interes! Closed 05/28/09 J48. New Y ork NY Set N 4.05 17~ C Interest M T None4 9 . M inisink CSD 4.0 12~ C Interest K T Sold 1 I/t6/09 L AIpart)5 0 . Wayne CSD 4.0 20.~ B Interest K T Sold I 1 / 1 6 / 0 9 K A(part)5 1 . Brookhaven CSD~77] C Int./Div. L T None


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FINANCIAL DISCLOSURE REPORT ~e o~ P . . . . a e p o a l . g r , ~ , e o f a ~ .Page 7 o f 1 5 ~ a p ~ a , , l, e w i s A . 0 8 / 0 7 / 2 0 1 0

V II . INVESTM ENTS and TRUSTS - i~ NO ~ (No r~o~able income, assets, or wansac~o~w). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . - ~ . . . . . . .. . .~ .......~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .~ . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . ,

~p~on of A~ts 1~ d~ng i Gm~s va~ at ~d ] T~io~ ~g ~ing ~ri~

! { A - H )............~~: ........................ ~ ...........~ ..............~ .........! . . . . . . . . . . . . . . . [ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5 2 . HSBC Fin Co~4.65 10~ B I m ~ e s t K T None5 3 . GECC 5.0 16~ B Interest K T None54. ~S Dorm 4.0 19;~ C lnleresl L T None5 5 . National Union Bank of [locality] A Int.,q)iv. J T

56. New Y ork NY IDA 4.0 17~ B Interest L T5 7 . Clarkstown 4.25 20 (E) B Interest K T58. NYS Dorm 5.0 24 (E) B lnt.iDiv. K T5 9 . NYC 5.021 (E) B lm,/Div. K T6 0 . Port Auth4.75 32 C lnt./Div. M T

61. NYS Twy 3.5 18 B lnt./Div. L T

6 2 . NYS Tw y 4.5 28 C l n t . / 1 D i v . L T63. N Y S Dorm 5.0 24 A lnt,/Div. K T

i L - 4 _ ML l.JS Treas Mnney Fd A lnt./Div. Closed 03/02/09 K65. Southwest Bk ofSl Lovis CD I) lnt. /l) iv. M T6 6 . M&I Marshall & Isley 5.15 18 D Int./Div. M T67. M&I Bank 5.15 18 C Int./Div. L T

68 _ M&I Marshall & Isley 5.25 18 B lnt./Div. K T


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FINANCIAL DISCLOSURE REPORTPage 8 of 1 5 K a p l a n , L e w i s A. I 0 8 / 0 7 / 2 0 1 0VII. INVESTMENTS and TRUSTS -

NONE (No repomable income, assets, or transac~ogv.)A. : B.~cnpfion of A~ts 1~o~ ~ng

e ~ g ~ p ~ E o m p r i o r d i ~ l o s u r e C~e I ~ d i v . , r e n t , ~ C~ 2 Mefl~ ~ b u y , ~ 1 1 , ~/~M/~ C~ 2 ~ C~ I buy~/~l ler~ ~ (O-W) ...... ~ ............... t .... t i o n )

69. National City B~ k 5.2 [ 8~ B lnt~iv. Red~med 06/08/09 L A7 0 . Branch B&T 5.5 19 B I n t . : i f ) i v . Redeemed 07/27/09 L A7 1 . Branch B&T 5.5 16 C Int./Div. L T72. US Treas 0% 1/2/09 None Matured 01/02/09 O B7 3 . US Treas 0% 3/5/09 None Matured 03/05/09 N A7 4 . Pacific Capital Batzk CD A Int./Div. Matured 02/24/09 M A75. Goldman Sachs Bank CD A Interest Redeemed 03/24/09 M A7 6 . ML Bk/B&Ti~ A Interest Closed 05/28/09 J77. US "lreaz 0 % 1/22/09 None M atured 01/22/09 O B7 8 . Discover Bank 3.4 I 1 ~ A Int./Div. K T7 9 . New Frontier Bank 3.6 12~ B Int./Div. Redeemed 04/20/09 L A8 0 . M& I Bank 5.0 15~ A Int./Div. Redeemed 01/29/09 K A8 1 . Southwest Bk of St L 5.2 18~ B I n t . / D i v . K T8 2 . Pacific Capital 1.6 09~ A Int./Div. Matured 02/24/09 M8 3 . US Treas 0% 4.23.09 None B uy 03/24/09 N

8 4 . B uy 03/26/09 M(addl)8 5 . Matured 04/23/09 O A


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Ia m e o f P e r s o n R e p o r t in gI

D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT] W p ~ a n , L e ~ A .Page 9 of 15

o g / o 7 / 2 o ~ o

VII. IN~ST~NTS and TRUSTS- .~o.~. ~,NO~ ~ro reportable income, assets, or transactio~Q

l~pfion of A~ets ~ [~ during G~ ~lue

ex~p~ ~tm, prior di~losu~ C~ [ ~ d ~ ...... t, l C~ 2 ~ Mct~ b~, ~l l , ~ C~ 2 C~ I buyer/~lL~( A - H ) o r i r a . ) ( J - P ) C~ 3 c ~ d e m p d o n ) ] (J-P) (A-H) ~ ( i f p r i v a t e

8 6 . US Tre~ 0% ~ . 14.09 None B uy 0M3 U09 O87. B uy 04109/09 N(addl)8 8 . Matured 05/14/09 PI A

89. US Treas 0% 5.28.09 None B uy 04i20/09 090. Matured 05/28/09 ~ 0 A91. JP M organ Chase (IRA) A lnt./Div. O T Open 05/27/09 J

~ 9 2 . Pimco Fds Tolal Return F Distribution O T B uy 0 7 / 0 2 / 0 9 ! M ["93 . B uy [ ( D I 2 3 1 0 9 1 N(addl)94. Sold 112/29/09 N A95. JP Morgan Tax Free Money Mkt (E) A Int./Div. M Y Open 1 0 1 2 8 1 0 9 I.9 6 . NYC Trans Fin 5.25 12 i"E) None [ K T Bo y 1 2 t 1 0 / 0 9 K

97. Unadilla NY 4,0 13 (E) None K T B uy 12/29/09 K98. lstip NY 5.0 14 (17,) None K T B uy 11/10/09 K99 . Nassau Co. NY 4.0 f4 (E) None K T B uy 1 2 / I 5 / 0 9 K1 0 0 . Perinton NY 3.25 15 (E) None K T B uy 12/17/09 K10l. lthacaNY4.~ 16(E) None K T B uy 12/29/09 K


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Iam e of Person Repor~ng Date ofFINANCIAL D I SC LOSU R E R E P O R TPage 1 0 o f 1 5 0 8 / 0 7 / 2 0 1 oNO~ ~o reportable income, ~sets, or transac~og~.)

~hpnon of A~ts [ nco~ d~ng G m ~ v a l ue m ~ m d ~ ~l o~ d~ ng ~n ng

Place~(X)"afl~ch~qu:t A~m~ t~e.g., V~ [ Val~ ~ T y p e ( e , g . , [ Da~ [ V alu~ G ain [~ mi~ 0f( A - H ) ormt.) ( J - P ) ~ C~3 ~emption) [ ~ O - P ~ ( A - H )

1 0 3 , Redeemed ~ / 0 2 / 0 9 M A1~. US Tre~ 0% 4.2.09 None Buy 01/02/09 01 0 5 . B u y 03/02/09 L

(addl)1 ~, Buy 03/03/09 K(addl)1 0 7 . Matured f M / 0 2 / 0 9 O A1 0 8 . US Tre~ 0% 4.9.09 None B u y 03/0~/09 Nt 0 9 . Matured ~/09/09 N A1 1 0 . ~ Mo~ Tr~ A~ Fd C Dis~bufion B u y 07/0~09 N1 1 I . Buy 07/17/09 M(addl)1 1 2 , Sold 09/23/09 O B1 1 3 . JP M organ St~tegic Inc Fd D Dis~bution O T B u y 08/(~/09 L1 1 4 . B u y 09/23/09; N(add3)1 1 5 , JP Morg~ lntl (~ncy Fd B Dis~ibution K T B u y 10/23/09 K1 1 6 . JP Morg~ US F~uiU Fd A Distfibulion M T B u y 10i23/09 Mt 1 7 . ~ Mor~ Sho~ ~rafion Bd Fd None N T B u y 12/30/09 N1 1 8 . Fi~ ~ird Bk 1.4 09 ~) A Int,~iv. Redeemed 03/24/09 L A

1 1 9 . ~CS~F-I 5.021 None K T 1


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FINANCIAL DISCLOSURE REPORT { Name 0fretful Reporting [ Dale ofPage 1 1 o f 1 5 I Kaplan, Lewis A, ] 0 8 / 0 7 / 2 0 1 0

VII. INVEST1VIENTS and TRUSTS - ~ ..... ~, tra~ga~dotts Ondud~ those of sl~gS a~d ~l~lt eh~ld~; Se.cpp. 34.-/a0 ofyilingNONE ~o repo~able income, assets, or ~ansac~o~.)

~ipt~n of As~ts I n c o m e d u r i n g ; (~ v alue a~ end T~fions ~g ~ing ~

~ la~ ,(~ ,, ~ x each as~ l ~ Amour ~ f~ ie.g., ~ V al~ V al~ T y ~ ~ e . g ., ~te [ Val~ ~ Gain t d e n t i ~ o fexempt ~m prior di~lo~ : (. :~ I ~ div., r~t. ~ C~ 2 M eth~ buy. ~ ] , t~d~ C~ 2 ~ C~e t buy~ise~ler~ (A-tl) ~ o r i n t . ) ~ ( J - P ) C~3 federation) { J - P ) ~ , ( A - H ) ( i f p r i v a t e:; ~ ( Q - W ) " ~ t ~ a n ~ c t i o n )

1 2 0 . JP M org~ brok~age a~ts A Interesl O T ~n 05~6/09 J1 2 1 . ~ M org~ Tax Free Money Mkt None M T O~n 1 0 / 2 8 1 0 9 M1 2 2 . Sc~dy Co. ~ 2.0 11 None K T B uy 12/30/~ K

" 1 2 3 . lflmca NY 4.0 13 None K T B uy ,1~29/09 K1 2 4 . IslipNY5.0 14 N ~ m e L T B uy 11/10/09 L1 2 5 . Nassau Co. ~ 4.0 14 None K 1" B uy 12/15/09 K

1 2 6 . Per~ton~3.25 15 None K T B uy 12/17/09 K~ 1 2 7 . Niska~na NY 3.375 16 None K T B uy 1~31109 K~ 1 2 8 . ~tehess Co. ~ 5.0 18 None K T B uy 12/31/09 K

1 2 9 , ~nge Co. NY 4.25 19 None K T B uy 11/25/09 K1 3 0 . ~ Morg~ Ch~e checking accoun~ A Interest J T ~en 05/21109 J13!. ~imingtonT~s~ 1.1 09~ A lnt./Div. B uy 01/02/09 L1 3 2 . Redeemed ~/20/09 1.. A1 3 3 . US Tr~ ~/, 5/14/09 ~ None B uy ~/02/09 L

1 3 4 . Ma~ed 05/14/09 I. A1 3 5 . JP M org~ Tre~ & Agency }:d~ B Int.~iv. K T B uy 07/02/09 L136. / B uy 08/03/09 K


13/16

Name of Per"~n Reporting Da~e of ReportFINANCIAL D I SC LOSU R E R EP OR T[ Kaplall, Lewis A.Page 1 2 of 15 o 8 / o 7 1 2 O l O

~ HO NE (No reportable incom e, assets, or transactions .)Des~mption of Assets ! |ncome during [ Gross value aI end "lrm~sactions dunng reporling periodI (including tru~ a.ssets~ ! reportiag peritxt ] of reporting period

Place (X)aflereaehasset Anmum~ Type(e.g., ,,atue ! Va|tm i Type(eg., Date VMu I Gau I Ident~tyofexemptfiompriordisclosuce Co~lel [ div.,mnt, I Code2 i Method i buysel!, rmrdadi.vy Code2 [Code| [ buyer!s~ller! ! ~A-H) ! orint.) (.I-P) i Code 3 mdem~ on) 0-P) {A-H) (fprivatc

1 3 7 . Bu y 08/05/09 L(addl)

138. Sold 09/03/09 M(part)139. Colonial Bank 0,65 09~ A lntfDiv. B u y 02/11/09 K1 4 0 . R e de e m e d 0 . 5 / ! 1 / 0 9 K A14t. US T~eas 0% 3/26/09~ None B uy !02/11/09i M1 4 2 . Matured i 03/26/09 M A

"143. US Treas 0% 4~3/09 ~ None - B uy 03/26/09 M1 4 4 . Matured 04/23/09 M A

145. US Treas 05 5/28/09~ None B uy 04/23/09 M1 4 6 . Matured 05/28/09 M A147. Pimo Funds Total Rerurn~ C Distribution 1, T B uy 07/02/09 L1 4 8 . Sold 12/30/09 J A(part)149. JP l~torgan Scr~lgi lrtcomc ~ bl Distribution M T t ~ u y 08/05/09 K150 B uy 09/23/09 M( a d d l )151. JP Morgan International Va~uc Fund ~ A Distribution J "I" B uy 10/28/09 J152. JP Morgan US Equity Fund A Distribution K T B uy t0/28/09 K

~..~153. 2P Mrgan Short Dura|ion Bond Fd ~/ ...........None J

~ 1Bu y 12/30/09 J


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FINANCIAL DISCLOSURE REPORT N ~ * , e O f P e r s o l l R ~ l ~ r t i n g D ~ t ~ o [ R ~ p o r tPage 1 3 of 1 5 ] K a p l a n , L e w i s A . 0 8 / 0 7 , 2 0 1 0

NO~ ~o reportable income, m~sets, or ~ansacaom.)

[ ~ p t i o n o f A ~ I S ~ I n c o m e d u h n g O m ~ v ~ u e a l ~ d Tr~fions duhng ~ing~ ( i ~ [ . . . . . . (~-- -~~ .... (2) (I) (2) [ (3) (4) (5)P l a ~ " ( X ) " ~ e r e ~ h ~ t l A m o u r ~ T y ~ ( e . g . , V ~ t ~ VM ~ "I~ (e.g.,D a t e V a h m ~ G a i n I d e n t i ~ o f

e x ~ p l f f o m p ~ o r d i ~ l o s ~ ~ C ~ I [ d i v . , r ~ C~2 M e t h ~ b u y , ~ l l , , n ~ d ~ C ~ 2 ~ C ~ I b u y e r i ~ l l e ri (A-H) ~ orint.) 0-P) C~3 ~e~lion) O-P) ~ (A-H) (ifpfivate

1 5 4 . ~ M o r g a n b r o k e r a g e a c c ~ A I n l e r e s ~ M T O~ n 0 5 1 1 8 / 0 9 K

155. ~ M organ Tax Fr~ M ~,ney Market F d ~ None K T Open !0/31/09 K1 5 6 . Sch~tady Co. NY 2.0 11 ~. None K T B uy t2130/~ K

" ~ 5 7 . Ithaca NY 4.0 12~ None K T B uy 1~29/~ K1 5 8 . Clar~to~ NY 3. ::~ None K T B uy 12/21/09 K1 5 9 . Pe~nton~3.25 13~ None K T B uy 12/17/09 K1 6 0 . UnadiOa~4.0 1~ None K T B uy 12/31/09 K1 6 1 . N~u Co. ~ 4.0 14 None K T B uy 12/15/09 KI62.


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FINANCIAL DISCLOSURE REPO RTPage 1 4 o f 1 5 ~ p ~ a . , L ~ , ~ i s A . 0 S / 0 7 r Z 0 1 0

VI I I . A D D I TI ON A L IN F OR M A TI ON OR EX P LA N A TI ON S.

1. (E) d~ ignates assets held as trus~e u!w/o i::?:~ i~]2. Part V II, line 55- name of ~ ocality omilled for security reasons3. Income fi~r 1986 EES aad Handy Pla~ e partnerships equals distributions


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N a m e o f P e r s on R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT[ Kapla~, Lewis A.

08/07 /2010a g e 1 5 o f 1 5IX . CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief~ and that any information not reported was withheld because it met applicable statutoryprovisions p ermitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the pro~sions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGIoY AND WILI~ULLY FALSIFIES OR FAILS TO FILE TH]S REPORT M AY B E SUBJECT TO CJVILAND L~AMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbu s Circle. N.E.Washington, D.C. 20544

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Lewis A Kaplan Financial Disclosure Report for 2009

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