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AMENDMENT
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK Daniel Patrick Moynihan United States Courthouse 500 Pearl Street New York, New York 10007
Lewis A. Kaplan District Judge
August 7, 2010
~..- ~.~
~ . ~..~
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 Ladies and Gentlemen:
-~ v~1 _
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 A (1) Fifth Third Bank 1.4 09 CD NYC Ser F-1 5.0 21 (2) None None (1) L L (2) T T (1) Buy Buy (2) 12-24 11-26 L L (3) C D
Ao 10
mOW
[
[
. Person Reporting (l~st name, firs% middle initial) Kaplan, Lewis A. 4. Title (ArticI II[ judges indicate active or ~nior status; magistrate judges indicate full- or parl-time) United StatesDistrietJudge
[]
Nomination,
01/01/2009
to 12/31/2009
[] Initial
5b. [~ Amended Report 7. Chambers or Ofliee Addr~s U.S. Couxthouse 500 Pearl Street New York, NY I(RYO7 8. On the basis of the information contained in tliia Report and any modifications pertaining thereto, |t is. in my opinion, in compliance vdtli applicable laws and regnlations. Reviewing Officer-Date
IMPORTANT NOTES: the im*ructions accompan),ing this form must be followed Complae all parts,
checking the NONE box for each part where you have no reportable information. Sign on lastpag~
1.
P~n~
4.
C~
08/07/2010
SO~C~ A~ ~PE
U~v. of P~ylv~a l~ti~te of~w ~d Economics, lecture/teaching
B. Spouses No~-I~ v~st~l~l 1~0~ - If you ~ m~td du~ng ~y go~on of the ~po~ng year, complete th~ sectio~ (Dollar amount not required except for honoraria ) ~ NONE (No repo~able non-inves~ent income.) DATE 1. v~io~ 2. 3. 4. SOURCE A~ TYPE Pension ~d relir~en~ plan ~s -pe~on plans for behest of retirees o[ ~dom Ho~kse, Inc.
3. 4.
3124-25/09 8/7/09
Washington, I~ Boston, MA
5.
10/29-30/09
Philadelphia, PA
Lecture/teaching
6.
11/26-12/4/09
Paris, France
Personal
in promotion
Date ol Repott
r~p~., Lewis A.
08/07/2010
t. 2. 3. 4. 5.
[~
I. 2.
3.
4. 5.
Date of Report
FINANCIALpage 4 of 15 DISCLOSURE REPORT [ gutplan, Lewis A. VII. INVESTMEN TS and TRUSTS ~ ~ NO~ ~o repo~able income, ~sets, or ~ansac~o~.) ~pnon of A~cts (inching ~t ~mLs) ln~e se~ng cx~pl~mpfiordimlos~
,
08/07/2010
~C~I [
]{A-H) ~j
d~v. ~
orint.)
Ct~2
(J4~)
~; Met~
C~3
buy, ml$,
rede~ption)
Citibat~ accoun~ ~S ~ A Ser D 5.875 10~) NYS Pwr A Set GP 53 10(E) ~S ~r A Set F 53 10 Mun Inv Trust Set ANY PW 1986 EES lira pm H~mdy Place Invest Part NS MCFFA 51125 12 Tfiboro BTA 4.5 ! 3 (E) Puerto Rico MFA 5.5 09 0~) NYS l.~rm 5.125 11 (E) . Tdbom BTA 4.75 16 NYC Mun Wtr 4.9 13 Commack I.)FSD 4.375 13 NYSTwy5.125 13 So Glens Falls (:SD 5.25 14 NY ]ranat MTA 5.2 tO
A A A A A
~ J J J J J J K
T T T T T W W T None None Redeemed (pan) Sold Sold 1 I,12/09 07/01/09 08/03/09 J K K A A A None Redeemed Redeemed 01/02/09 )1/02/09 ~ J J A A
B B B C A B D D B D
Interest Interest Interest Interest lnteres! Intcrest lnteres! Interest Interest Interest
I.
M K
T T
None
NONE ~o repo~able income, assets, or tragyac~o~.) ~iption of A~ts ~ In~e d~ng ~ value at
Gmn ~A-H) ]
Identity ~ifpfivate
18. 19_ 20. 21. 22. 23. 24. ,25. 26. 27. 28. 29. 30. 3 I. 32. 33. 34.
~S E~v Fac 5.125 11 ~N ~ 5.125 I I NWS Dorm 5.1 12 (E) NYS Env Fac 4.55 13 NYS Env Fac 4.95 17 ML Bk/B&T RASP NYC Trans 5.0 19 Gre~ce CSD 4.5 17 NYC 4.375 II (E) MTA 5.0 23 GECC 4.75 13 Nat City Bk |ka Provident Bank 5.0 15 NYC Set J 4.625 18 NYS Dorm 5.0 19 (muh. issues) MTA 4.75 26 Lor~g Island Pwr 4.75 24 Nv~rs Donn 4.75 25
C C B B C A D C C C D B C B D C C
t~eres~ Int~es~ Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest
K L K L L
T T T T T
07/15/09 L
05/26/09 J : 11110/09 i L A
M M M M
T T T T
M M N M J
T T T T T
Date of Report
08/07/20~0
NO~ ~0 ~portable income, assets, or wansacHons.) ~ i~ ~mg G~ value ~ end (1) } (2} ~ (I) Va ~ V~ 0-P) C(~ 3 Tractions dung m~ng ~ [ (2~ ~ ~3) l?~ate , V~ O-P) ~A-H) ~ t4) ~ Gain ] (ifpnvale (5) IdentiW of
Type (e,g,,
~demption)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Western Ba~ Pue~o Rico Bank Amer 4.65 12 Capito! One Bk 4.75 t 0 Port Auth NY&NJ 4.2 19 (E) NYS Dorm 4.625 18 (E) JP Morgan Chase accts~ NY Life whole life policies ML CMA NY Mun Money ML CMA NY Mun Money~ Ulster Co 4.25 21 NYS Dorm 4.0 19 (E) ML CMA NY Mun Money~ ML Bank RASP~ New York NY Set N 4.05 17~ Minisink CSD 4.0 12~ Wayne CSD 4.0 20.~ Brookhaven CSD~77]
A B B D D A A A A C B A A C C B C
lnlercml Interest lnlcrest Interest Interest Interest Dividend Interest Interest Interest lnlcr~sl Dividend Interes! Interest Interest Interest Int./Div. M K K L T T T T L K T T K L T T K T K T
03103/09
M t. L
B A A
None Closed Closed None None Closed Closed None Sold Ipart) Sold (part) None 1 I/t6/09 I 1/16/09 L K A A 06/02/09 05/28/09 J J 05/22109 06/22/09 J J
! {A-H) ............ ~ ~: ........................ 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. iL-4_ 65. 66. 67. 68_ HSBC Fin Co~4.65 10~ GECC 5.0 16~ ~S Dorm 4.0 19;~ National Union Bank of [locality] New York NY IDA 4.0 17~ Clarkstown 4.25 20 (E) NYS Dorm 5.0 24 (E) NYC 5.021 (E) Port Auth4.75 32 NYS Twy 3.5 18 NYS Twy 4.5 28 NYS Dorm 5.0 24 ML l.JS Treas Mnney Fd Southwest Bk ofSl Lovis CD M&I Marshall & Isley 5.15 18 M&I Bank 5.15 18 M&I Marshall & Isley 5.25 18 B B C A B B B B C B C A A I) D C B Im~est Interest lnleresl Int.,q)iv. Interest Interest lnt.iDiv. lm,/Div. lnt./Div. lnt./Div. lnt./1Div. lnt,/Div. lnt./Div. lnt./l)iv. Int./Div. Int./Div. lnt./Div. M M L K T T T T K K L J L K K K M L L K ~ ...........~ .............. ~ .........! ............... [ .......................................... T T T T T T T T T T T T Closed 03/02/09 K None None None
Page 8 of 1 5
VII. INVESTMENTS and TRUSTS -
Kaplan, Lewis A. I
08/07/2010
NONE (No repomable income, assets, or transac~ogv.) A. ~cnpfion of A~ts : B. 1~o~ ~ng
~ C~ 2
buy, ~11,
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
National City B~k 5.2 [ 8~ Branch B&T 5.5 19 Branch B&T 5.5 16 US Treas 0% 1/2/09 US Treas 0% 3/5/09 Pacific Capital Batzk CD Goldman Sachs Bank CD ML Bk/B&Ti~ US "lreaz 0% 1/22/09 Discover Bank 3.4 I 1 ~ New Frontier Bank 3.6 12~ M& I Bank 5.0 15~ Southwest Bk of St L 5.2 18~ Pacific Capital 1.6 09~ US Treas 0% 4.23.09
B B C
Red~med Redeemed
Matured Matured Matured Redeemed Closed Matured K T Redeemed Redeemed K T Matured Buy Buy (addl)
O N M M J O
B A A A
A A A
A B A B A
04/20/09 01/29/09
L K
A A
M N M O A
Matured 04/23/09
Date of Report
og/o7/2o~o
I
] Wp~an, Le~ A.
VII. IN~ST~NTS and TRUSTS - .~o.~. ~,
NO~ ~ro reportable income, assets, or transactio~Q
l~pfion of A~ets ~ [~ during G~ ~lue
C~ [ ~ (A-H)
d~ ......t, or ira.)
l C~ 2 (J-P)
~ Mct~ C~ 3
~ C~ 2 ] (J-P)
C~ I (A-H) ~
86. 87. 88. 89. 90. 91. ~92. 93. 94. 95. 96. 97. 98. 99.
US Tre~ 0% ~. 14.09
None
0M3 U09 04109/09 05/14/09 04i20/09 05/28/09~ 05/27/09 07/02/09 ! [ (DI231091 112/29/09 10128109 12t10/09 12/29/09 11/10/09 12/I 5/09 12/17/09 12/29/09
O N PI 0 0 J M N N I. K K K K K K A [" A A
US Treas 0% 5.28.09
None
Buy Matured
A F
lnt./Div. Distribution
O O
T T
JP Morgan Tax Free Money Mkt (E) NYC Trans Fin 5.25 12 i"E) Unadilla NY 4,0 13 (E) lstip NY 5.0 14 (17,) Nassau Co. NY 4.0 f4 (E)
M K K K K K K
Y T T T T T T
Page 1 0 of 1 5
Date of
08/07/201o
NO~ ~o reportable income, ~sets, or transac~og~.) ~hpnon of A~ts Place~(X)"afl~ch~qu:t [ nco~ d~ng A~m~ t~e.g., (A-H) ormt.) Gm~ value m ~md V~ [ Val~ ~ Type(e,g., (J-P) ~ C~3 ~emption) ~ ~l o~ d~ ng ~n ng [ Da~ [ ~/02/09 01/02/09 03/02/09 [ Valu~ Gain ~ O-P~ (A-H) [~mi~0f
103, 1~. US Tre~ 0% 4.2.09 105. 1 ~, 107. 108. US Tre~ 0% 4.9.09 t 09. 110. ~ Mo~ Tr~ A~ Fd 11 I. 112, 113. JP Morgan St~tegic Inc Fd 114. 115, JP Morg~ lntl (~ncy Fd 116. JP Morg~ US F~uiU Fd t 17. ~ Mor~ Sho~ ~rafion Bd Fd 118. Fi~ ~ird Bk 1.4 09 ~) 119. ~CS~F-I 5.021 A B A Dis~ibution Distfibulion None Int,~iv. None K T K M N T T T D Dis~bution O T C Dis~bufion None None
M 0 L
Buy 03/03/09 K (addl) Matured Buy Matured Buy Buy (addl) Sold Buy Buy (add3) Buy Buy Buy Redeemed fM/02/09 03/0~/09 ~/09/09 07/0~09 07/17/09 09/23/09 08/(~/09 09/23/09; 10/23/09 10i23/09 12/30/09 03/24/09 1 O N N N M O L N K M N L A B A A
Dale of
Kaplan, Lewis A,
08/07/2010 ]
~, tra~ga~dotts Ondud~ those of sl~gS a~d ~l~lt eh~ld~; Se.cpp. 34.-/a0 ofyiling
NONE ~o repo~able income, assets, or ~ansac~o~.) ~ipt~n of As~ts Income during ; (~ value a~ end T~fions ~g ~ing ~
~ Amour ~ f~ ie.g., : (.:~ I ~ div., r~t. or int.) ~ (A-tl) ~ :; ~ A Interesl None None None N~me None None None None None A A Interest lnt./Div.
~ Val~ ~ C~ 2 ~ (J-P)
~te [ Val~ ~ Gain t~d~ C~ 2 ~ C~e t {J-P) ~, (A-H) ~ 05~6/09 10/28109 12/30/~ ,1~29/09 11/10/09 12/15/09 12/17/09 1~31109 12/31/09 11/25/09 05/21109 01/02/09 ~/20/09 ~/02/09 05/14/09 07/02/09 08/03/09 J M K K L K K K K K J L 1.. L I. L K A A
120. JP Morg~ brok~age a~ts 121. ~ Morg~ Tax Free Money Mkt 122. Sc~dy Co. ~ 2.0 11 "123. lflmca NY 4.0 13
O M K K L K K K K K J
~n O~n Buy Buy Buy Buy Buy Buy Buy Buy ~en Buy Redeemed
124. IslipNY5.0 14 125. Nassau Co. ~ 4.0 14 126. Per~ton~3.25 15 ~ 127. Niska~na NY 3.375 16 ~ 128. ~tehess Co. ~ 5.0 18 129, ~nge Co. NY 4.25 19 130. ~ Morg~ Ch~e checking accoun~ 13!. ~imingtonT~s~ 1.1 09~ 132. 133. US Tr~ ~/, 5/14/09 ~ 134. 135. JP Morg~ Tre~ & Agency }:d~ 136. B
None
Buy Ma~ed
Int.~iv.
Buy Buy
Da~e of Report
Page 1 2 of 15
o8/o712OlO
Date rmrdadi.vy
I [
137.
138.
Buy
(addl) Sold
08/05/09
09/03/09
L
M
lntfDiv.
Buy Redeemed
Buy Matured Buy Matured Buy Matured Buy Sold (part) t~uy Buy
K K
M M M M M M L J K M J K J A A A A
(addl)
Buy Buy Buy
D~t~ o[R~port
] Kaplan, Lewis A.
08/07,2010
[~ption of A~IS
Tr~fions duhng ~ing (I) (2) [ (3) (4) "I~ (e.g., Date Vahm ~ Gain buy,~ll, ,n~d~ C~2 ~ C~ I ~e~lion) O-P) ~ (A-H) (5) Identi~ of buyeri~ller (ifpfivate
~ (i~ [ ...... (~-- -~~ .... l Amour ~ Ty~ (e.g., V~t~ ~ C~ I [ div.,r~ C~2 orint.) 0-P) i (A-H) ~
154. ~ Morgan brokerage acc~ 155. ~ Morgan Tax Fr~ M~,ney Market Fd~ 156. Sch~tady Co. NY 2.0 11 ~. "~57. Ithaca NY 4.0 12~ 158. Clar~to~ NY 3. ::~
M K K K K K K K
T T T T T T T T
K K K K K K K K
159. Pe~nton~3.25 13~ 160. UnadiOa~4.0 1~ 161. N~u Co. ~ 4.0 14 I62.
~p~a., L~,~is A.
0S/07rZ010
2. Part VII, line 55 - name of ~ocality omilled for security reasons 3. Income fi~r 1986 EES aad Handy Pla~e partnerships equals distributions
[ Kapla~, Lewis A.
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 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 employment and honoraria and the acceptance of gifts which have been reported are in compliance 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 MAY BE SUBJECT TO CJVIL AND L~AMINAL 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 Suite 2-301 One Columbus Circle. N.E. Washington, D.C. 20544