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AOJO Rev. J/201 I

Reporc Required by the £chics FINANCIAL DISCLOSURE REPORT ;,. Go ·emment Act of 1978

FOR CALENDAR YEAR 2010 (5 V.S.C. app. §§JOI-/ I I)

J. Prnoa Rtp0rtiag (bst name, lint. middle initial)

Ka.plan. Lewis A.

1. Court or Orpniulioa

U.S. District Court, S.D.N.Y.

3. Date or Report

08/0312011

4. Tille (Article IU jDdgts Indicate active or senior sUtus; magistrale judges iadicale full- or part-time)

United States Districl Judge

7. Cbamben or Offitt Address

U.S. Courthouse 500 Pearl Street

New York, NY 10007

SL Report Type (<heck appropriale type)

D Nomination1 021e

D Initial 0 Annual

Sb. D Amended Repon

0 Final

6. Rrporting Period

01/01120!0

lo

1 213 112010

8. On lbe buis orthe lnrormallon contained la this Report aad IDY inodiftalions pertaining lbn-eto, ii is, in my opinion, in compliaace .. ilb applicable Inn ud regalatioas.

Rniewiag Officer Dale

IMPORTANT NOTES: The imtrucJion:1 acco1npanying tlrisform 1nust be foUowd Co1npl& all pam,

checking the NONE box for each part whue you have no reportJJble information. Sign on /a:Jtpagt!.

I. POSITIONS. (Rqiorring Uuli.ulrud 011/y; Sl!I! pp. 9-/J offllilrK imitrucrioru.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANfZA TION/ENTfTY

I. Partner Handy Place Investment Partnership

2. Trustee

3.

4.

5.

N ...0

II. AGREEMENTS. (Reporting individual onl}•; m pp. U-16 of.filing initrudionJ.)

NONE (No reportable agreements.)

PARTIES AND TERMS

I.

c

.-· a:-·.

(.fJ -;.. • C:: .. :;:J ·-

o _,. -·

-nr

-

,...._,

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I rn

)> rn

CJ rTl

2.

Kaplan, Lewis A.

ITEMS

I.

2.

Name or Ptnoa Rrporting

Kaplan, Lewis A.

Dare or Report FINANCIAL DISCLOSURE REPORT

Page 2of14 0810312011

III. NON-INVESTMENT INCOME. (Rcpot1ingindivUl11al11ndspo ;uepp. l7-Uoffilinginsrrucdo11 ... )

A. Filer's Non-Investment Income

(a NONE (No repor1able non-inveslment income.)

SOURCE AND TYPE INCOME

(yours, not spouse's)

3.

4.

B. Spouse's Non-Investment Income -l/JY1" "'"emarridd11ringanypomono/1hueporri11gJW1'• eompkte1hu:1ection.

(Dollar amoun1 not required except for honoraria)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. Various Pension and retirement plan pmts -pension plans for benefit of retirees of Random House, Inc.

2.

3.

4.

IV. REIMBURSEMENTS -lrtlll5p0ruuion, lo<lging,fooJ, entntai11menL

(lndudes those to spouse and dependf!llt children; see pp. 25-2 7 of filing in.stnJctions.)

0 NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE PAID OR PROVIDED

I_ University of Pennsylvania 10/29-30/2009 Philadelphia, Pa. lecture Travel, lodging, meals

2.

3.

4.

5.

DESCRIPTl_ON

2.

FINANCIAL DISCLOSURE REPORT

Page 3of14

Namr of Prnoa Rrportiog

Kapl:ao, uwis A.

Dalt or Rrport

08/0312011

V. GIFTS. (lnclud thos. to spo11u and dqJmdmt clrildrtn; supp. 211-JI of fifing i1u"ut:tions.)

NONE (No reportable gifis.j

SOURCE

I.

VALUE

2.

3.

4.

5.

VJ. LIABILITIES. (/ndudn thou o/spouu and d nd nt childmr; supp. J2-JJ of filing instructions.)

0 NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

J.

4.

S.

i

:

i i

I

B.

(4)

Date of Report Name of Ptrsoa Reportiag FINANCIAL DISCLOSURE REPORT

Page 4of14 08/0312011Kaplan, Lewis A.

VII. INVESTMENTS and TRUSTS - incom ""''"'· rronsoroons (/ncludes thou of spo and dqtendmt children; s PP. JU,(J of filing instnmion.s.)

D NONE (No reportable income, assets. or transactions.)

A. c. D. Dcscript ion of Assets Income during Gross value at end Transactions during reporting period

(in<:luding lruSf assets) reporting period of reporting period

(I I (2) (I) (2) (I) (2) (3) (S) Place "(XJ" after each asset Amo1D1t Type (e.g, Value Value Type (e.g_, Date Value Gain Identity of

c<empl from prior disclosure Code I div., rent. Codc2 Method buy, sell, mm/dd/yy Codc2 Codcl buyer/seller (A-H) or int) (J-P) Codc3 redemption) (l·P) (A·H) (if private

(Q-W) tr.Jnsaction)

I. Citibank accounts A Interest J T

2. NYS Pwr A Ser D 5.875 10 (E) A Interest None

3. NYS Pwr A Ser GP 5.5 IO(E) A Interest Redeemed

4. NYS Pwr A Ser F 5.5 10 A Interest Redeemed

5. Mun Inv Trust Ser A NY A Interest Sold

6. PW 1986 EES Jim ptn None J w

7. Handy Place Invest Pan None J w

8. NYS MCFFA 5.125 12 B Interest J T Redeemed (pan)

9. Commaclc UFSD 4.375 13 c Interest Redeemed

10. NYS Twy 5.125 13 c Interest Redeemed

II. NY Tran at MTA 5.2 10 c Interest Sold

i 12. NYS Env Fae 5.125 11 B Interest K T Redeemed (pan)

13. NYS Dorm 5.125 11 B Interest L T Redeemed

(pan)

14. NYS Dorm 5.1 12 (E) B Interest Redeemed

15. NYS Env Fae 4.55 13 B Interest L T

16. NYS Env Fae 4.95 17 c Interest L T

17. NYC Trans 5.0 19 B Interest K T

:

01/04110 J A

01/04/10 J A

01/04/10 J A

02/17/10 J A

11/01/10 J A

06/01/10 M A

04/01110 M B

01/04/10 L A

10128110 J A

09/07110 K A

09123/10 K A

l. Income Gain Codes: A =S 1,000 oc less B =U .00 I • $2.500 C =S2.SOI • SS,000 D•SS.OOl-SIS.000 E =SIS.001 -SS0,000

(Soc Column• Bl and 04) f •SS0.001 · SI00.000 G "1100.001 • Sl,000.000 Ill =Sl.000.001-SS.OOO.OOO 112 =Mon: than SS,000.000

l. V•luc Codes J =SIS,000<>< less K -sn.001 - sso.ooo L "150.001 • SI00.000 M =SI00.001 -SlS0,000

CS« Columns CI _, DJ) N =J2S0.001 · SS00.000 O ..JW0.001 • Sl,000.000 Pl =Sl,000.001 • H.000,000 P2 -ss.000.001 . s2s.ooo.ooo

Pl =S2S,IJOO.OOI • SS0.000.000 P4 =More: thm SS0.000.000

l. V•luc M«hod Cod<s Q •Appnisal R =Co>1 (Real Esl.Jtc Only) S ==-Assessmcnc T =Cash Marld

(Sec Colwnn C2) U •Book V:aluc v =Olh<r W =Estrrnatcd

:

:

;

I

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Dale of Report

08/03/2011

Name or Perioa Reportiac FINANCIAL DISCLOSURE REPORT

Kaplan, Lewis A. Page 5of14

VII. INVESTMENTS and TRUSTS - incomt, »til1u, rra11sactio11s (111rlutks 1host oflpDUU and dq>tndtnl childrtn; stt pp. 3./-fJO of filing in<rructions.)

[j NONE (No reportable income, assets, or transactions.)

A. B. c. D. lkscnption or As.<elS Income during Gross value at end Transactions during reponing period

(including trust asse!S) reporting period of reporting period

(2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Typc(e g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Codc2 Method buy, sell, mm'dd/yy Code 2 Code I buyerfselk:rCode I

(A·H) or int.) (J.r) Code) rcdernption) (J-P) (A-H) (if private

(Q-W) transaction)

18. Greece CSD 4.5 17 B Interest Sold 06125110 M A

19. NYC 4.375 11 (E) c lnteres1 M T

20. MTA5.0 23 c Interest M T

21. GECC4.75 13 D Interest M T

22. NYC Ser I 4.625 18 c Interest M T

23. NYS Dorm 5.0 19 (mull. issues) D Interest M T

24. MTA4.75 26 D ln1eres1 N T

25. Long Island Pwr 4. 75 24 c Interest M T

26. NYS Dorm 4.75 25 B Interest J T

27. Bank Amer 4.65 12 B Interest Sold 12115110 K A

28. Port Auth NY &NJ 4.2 19 (E) B Interest K T

29. JP Morgan Chase accts (S) A Interest K T

30. NY Life whole life policies A Dividend L T

31. Ulster Co 4.25 21 c Interest L T

32. NYS Dorm 4.0 19 (E) B Interest L T

33. New York NY Ser N 4.0 17 (S) c Interest K T Sold 01/14/10 L c (part)

34. Minisink CSD 4.0 12 (S) A Interest K T

I

I. Income Gain Codes: A41,000orlcss 8 -s 1,00 l • $2.500 C =$2, SOt - SS,000 D-SS,001- SIS,000 E =SIS,001. U0,000 (Sec C<>lumns B t •nd 04) F =SS0,001 • St00,000 G •S 100.00 l · St .000. 000 HI -St,000,001 • SS.000,000 112 =More: lh>n SS,000.000

2. Value Codes J -SI S,000 or less K =SU.001 • SS0.000 L 450,001 • SI00,000 M =SI00.001 . $150.000

(See Columns Ct and DJ) N -n50.oot - s .ooo 0 4500.00 I • Sl ,000,000 Pl =Sl, 000,001- SS,000,000 P2 =SS.000,001 . S2S.OOO,OOO

Pl -S2S,000,001 • SS0.000.000 P4 =M""' thm sso.000.000

J. Value Method Codes Q Appra1..i R =<:ost (Rut EsUI< Only) s cAJscssmcnt T =<:&Sh M•ri<ct

(See C<>lumn C2) u =Book v.iue V =Qther W .sEsti:m.atcd

-

(I) (J)

Date of Rtport N1mt of Ftnoa Rq>orting FINANCIAL DISCLOSURE REPORT

Page 6of14 08/0312011Kapl:iio, Lewis A.

VII. INVESTMENTS and TRUSTS -iMome, vo/u,, tranS11nio11s (lncludn thost' Of'POllS,ond dq>t'ndmt chi/d,,n; Ut' PP. 34-60 of filing inJtrflctions.)

D NONE (No reportable income, assets, or transactions.)

A. D. c. D.

Description of Assets Income during Gross value at end Transactions during rrponing period

(including trust: a=u) reponing period of rcporiing period

(I) (2) (2) (I) (2) (4) (5) Place ·c X)" after each asset Amount Typc(e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., n:nl, Code2 Method buy, sell, mmiddiyy C-Ode2 Code I buyer/sic Ila {A-H) or int.) (J-P) Code 3 redemption) (l-P) (A-H) (if private

(Q-W) transaction)

35. Wayne CSD 4.0 20 (S)

36. Brookhaven CSO (S)

37. HSBC Fin Corp 4.65 I 0 (S)

38. GECC 5.0 16 (S)

39. NYS Dorm 4.0 19 (S)

40. National Union Bank of [locality)

41. New York NY IDA 4.0 17 (S)

42. Clarkstown 4.25 20 (E)

43. NYS Dorm 5.0 24 (E)

44. NYC 5.0 21 (E)

45. Port Auth 4.75 32

46. NYS Twy 3.5 18

47. NYS Twy 4.5 28

48. NYS Dorm 5.0 24

49. Southwest Bk of St Louis CD

50. M&I Marshall & Isley 5.15 18

51. M&!Bank 5.15 18

A Jnteresl

B lntJDiv.

B Interest

c Interest

c Interest

A lnt./Div.

B Interest

B Interest

B lnt./Div.

B lnt./Div.

c lntJDiv.

B lntJDiv.

c lntJDiv.

A lnt./Div.

c Int.miv.

0 lnt./Div.

B lntJDiv.

K

K

K

K

J

K

K

K

L

L

L

T

T

T

T

T

T

T

T

T

T

T

. -

Sold

Redeemed

Redeemed

Redeemed

Redeemed

Redeemed

04/15/10 K A

09/01/10 K A

01125/10 K A

03/08/IO M A

07/12110 M A

07/12/10 L A

I. Income Galn Codes. A =S 1.000 or less B -11.001 • S2.500 C =S2.501 - S5.000 D •S5.00I -SIS.000 E =Sil.OCH -$50.000

(Sec Columns 91and04) F •SS0.001 • SI00,000 G =SI00.001 -Sl.000.000 Ill =Sl.000.001-SS.000,000 112 =Mort """ss.000.000

2. V aluc Code< J cS IS.000 0< less K-SIS.OOl -SS0.000 L tSS0.00! • SI00.000 M •St00.001 · $150.000

(Seo: ColU11111s CI and DJ) N =S2S0.001 · SS00.000 0 •U00.001 • Sl.000.000 Pt ..s1.ooo.001. ss.000.000 P2 •SS.000,001 - Sl.l,000.000

PJ •S2S.000,001 • SS0.000. 000 P4 =More m.n sso.000.000

J. Value Method Codes Q •AppBisal R ..Cosl I Real E <Ult Only) s =Asscs!IJICTll T ..Ca<h Martct

(Sec Column C2) U • Boot Value v =Other w • Eslinu!UI

i I

:

(2) (2)

Date or Rrpor1 Name or Pr non RrportingFINANCIAL DISCLOSURE REPORT

08/0312011Kaplan, Lewis A. Page 7of14

VII. INVESTMENTS and TRUSTS - income, value, rronsoroon• onc1ude• 11rou ofspo•m ond dependoi1 c1ri1drm; •ee pp. 1uio of filing instn1cnoru.1

D NONE (No reportable income. assets. or transactions.)

A. B. c. D.

Description of Assets Income during Gross value al end Tran.sacrions during reporting period

(including !IUSI a=tsl reporring period of reporting period

(I I (2) ( ll ( I) (3) (4) (5) Pbce "(X)" after C3Ch as$d Amounl Type (e.g. Value Value Type (e.g.. Dare Value Gain ldenriry of

exempt from prior disc losurc Code I div., rcni. Code 2 MelhoJ buy. sell, mmlddiyy Code2 Code I buyer/se Iler (A-H) ormr) (1-P) Code3 rcdemp<ion) (J-P) (A-H) (if pri\'ate

(Q-Y/) 1rrmsac1ion)

52. M&I M=hall & Isley 5.25 18

53. Branch B&T 5.5 16

54. Discover Banlc 3.4 11 (S)

SS. Southwest Bk of St L 5.2 18 (SJ

56. JP Morgan Chase (IRA)

S7. Pimco Fds Total Return

58. JP Morgan Tax Free Money Mkt (E)

S9. NYC Trans Fin 5.25 12 (E)

60. Unadilla NY 4.0 13 (E)

61. Islip NY 5.0 14 (E)

62. Nassau Co. NY 4.0 14 (E)

63. Perinton NY 3.25 15 (E)

64. Ithaca NY 4.0 16 (E)

65. JP Morgan Treas Agy Fd

66. JP Morgan Strategic Inc Fd

67. JP Morgan lnt'I Currency fd

68. JP Morgan US Equity fd

A lnt./Div. Redeemed

c lntJDiv. Redeemed

B Int/Div. K T

B lntlDiv. Sold

A lntlDiv. N T

E Distribution 0 T

A Interest J T

B Interest K T

A Interest K T

B Interest K T

A Interest K T

A Interest K T

A Interest K T Buy

A Distribution K T

D Distribution 0 T

B Distribution M T Buy

B Distribution M T Buy Cadd'I)

03122/IO K A

08106110 L A

07/30/10 K A

01115110 K

03/26110 L

03125/10 K

I. Income Gain Codes: A =Sl,00001 lcss B =Sl.001 - $2 00 C =Sl.SO I - SS.000 D •Sl,001 • S 15.000 E •SIS.001 · $50.000

(See Columns BI aod 04) F S50,00I - SI00,000 G =SI00.001 - Sl,000.000 JI I .S 1.000.001 - S5.000.000 112 =Mon< tban $5,000.000

2. Value Codes J •S 15.000 or lcso K •Sl5.00I · SS0,000 L •SS0.001 - SI00,000 M =s100.001. nso.ooo

(See Columns Cl and DJ) N •S2S0.001 • S500.000 0 C-S500.00I - Sl,000,000 Pl =Sl.000.001 • U.000.000 l'2 =$5,000,001 • S15.000,000

PJ -sn.000.001 - sio.000.000 P4 •Mon: than SS0.000.000

J. Value Method Code. Q•App,.isal R -Cost (Rc&I ESU1<: Only) s = Asscs5mcnt T =Cash Ma.tel

(See Column C2) U •Book Value: v "°"''"' W zEaimatcd

!

Fd'"?l

Retum.--:-J

c. D.

(I)

FINANCIAL DISCLOSURE REPORT

Page 8of14

Name of Person Rrportine

K.apl:llD, Lewis A.

Date or Report

08/0312011

VI I. INVESTMENTS and TRUSTS - income, valut!, transactWn• (lncludeJ lloou of spouse and dependent children: SU pp. 14-60 offiling lnstructionJ.)

D NONE (No reportable income, assets, or transactions.)

A. R.

Description of Assets lnr.ome during Gross value al end Transactions during reporting period

(including trust assets) reporting period of reporting period

(I) (2) (I) (2) (2) (3) (4) (5) Place "(X)" after each assd Amount Type(e.g. Value Value Type (e.g .• Date Value Gain Identity of

e<emp! from prior disclosure div.• rcnl, Code2 Method buy. sell. rrunldd/yy Code 2 Code I buyer/sellerCode I

(A-H) or int) (J-P) Code) redemption) !1-P) (A-11) (if private

(Q-W) transaction)

69. JP Morgan Short Duration Bd Fd D Distribution N T Buy 08102110 L (add'I)

70. Sold 10/18/IO L

(pan) 71. NYC Ser F-1 5.021 B Interest Redeemed 09/01110 K A

72. JP Morgan brokerage accts A Interesl N T

73. JP Morgan Tax Free Money Mkt A lnllDiv. K T

74. Schenectady Co. NY 2.0 11 A Interest K T K

75. Ithaca NY 4.0 13 None K T

76. Islip NY 5.0 14 c Interest L T

77. Nassau Co. NY 4.0 14 A Interest K T

78. Perinton NY 3 .25 15 A Interest K T

79. Niskayuna NY 3.375 16 B Interest K T

80. Dutchess Co. NY 5.0 18 B Interest K T

81. Orange Co. NY 4.25 19 B Interest K T

82. JP Morgan Chase checking account A Interest J T

83. JP Morgan Treas & Agency A lntlDiv. K T

84. Pimco Funds Total B Distribution L T

85. JP Morgan Strategic lncomt c Distribution M T

I. lnc.omc Gain Codes: A s1.000 or less B •Sl,OOt - Sl,500 C •S2.SOt · U.000 D &S5.00t -Sl5.000 E •SIS,001 • SS0.000

(SccColumas Ill and 04) F =SS-0.001 - SI00.000 G •SIOO.OOt · Sl.000.000 HI -it.ooo.OOt -S5,000,000 Ill • M= than 15.000.000

2. Value Codes l =S n.ooo or less K -115,00t -S'.>0,000 L ..SS0.001 - SI00,000 M =SIOO.OOt - S250.000

(See ColUOVIS Cl and 03) N •S250.00t - S500.000 0 oo$500.00I · Sl.000,000 r1 •St.ooo.oot -ss.000.000 P2 =SS,000.001 - S2S.000.000

PJ ..SlS,000.00t - SI0,000.000 P4 •More 11w1 sso.000.000

l Valu< Mc<hod Code< Q=App111isol R -cost (Real Esu1c Only) S•A.s.sc!nucnt T -<:.sh Mm.cl

(See Column C2) U =Book v.iuc v =Olh<T W =EstanalOd

:1

Fd::J

acctsCJ

FdJ

EJ

;:-:-i

t3;1

14

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;

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FINANCIAL DISCLOSURE REPORT Page 9of14

Name of Person Reporting

K.pl.an, Lewis A.

Date of Report

08/0312011

VI I. INVESTMENTS and TRUSTS - ;,,,.o,,,e, value, transactions (lnet11t1a 11rou of spouu lllli 11ependu11 children,- Jll PP· H-110 offilmx insmmio!U.J

D NONE (No reportable income, assets. or transactions.)

A. B c. D. .

Dcscriplion of Assets Income during Gross value at end Tl"11\Sacllons during reporting period

(including lruSI assets) reporting period of reporting period

(I) (2) (I) (2) (2) (3) (4) (5) Place"()()" after each 85.'el Amounl Typc(c g.. Value Value Type (e.g .• Date Value Gain ldcnutyof

exempt from prior disc Code I div.• rent, Code2 Melhod buy, sell. mmlddlyy c.ode 2 Code I buyer/seller (A-H) or int.) (J-P) Codc3 redemption) (J-P) (A-H) (ifprivale

(Q-W) tr.111SJC1ion)

86. JP Morgan International Value Fund::J A Distribution K T

87. JP Morgan US Equiiy fund B Distribution K T

88. JP Morgan Short Duration Bond A Distribution K T

! 89 . JP Morgan brokerage A Interest L T

90. JP Morgan Tax Free Money Market A lntJDiv. J T

91. Schenectady Co. NY 2 .0 11 A Interest K T

9 2. Ithaca NY 4 .0 I None K T Buy 01115/10 K

93. Clarkstown NY 3.5 12 (S) B Interest K T

94. Perinton NY 3.25 A Interest K T

95. Unadilla NY 4.0 A Interest K T

96. Nassau Co. NY 4.0 A Interest K T

97. Arn Cenrury Eq Inc Fd D Distribution M T Buy 01122 110 L

9 8. Buy 03125110 L (add'I)

99. Artio Intl Eq 11 B Distribution L T Buy 01/22/10 K

100. Causeway Int Value A Distribution L T Buy 01128/10 K

. IOI. Eaton Vance Spl Inv Trust B Distribution M T Buy 01128110 L

102. Buy 03127/10 L (add'I)

I. Income Gain CodeS'. A =S 1.000 or less 8 =S l .OOt • SZ..500 c =Sl..501 -ss.ooo D =SS.001 - SIS.000 E •SIS.001 - S50.000

(Sec Columns Ill and 04) F -S50.CXH - SI00.000 G =1100.00t • St.000.000 111 =St.000.001 -SS.000.000 112 •Mon: 1lwl SS.000.000

2. v.i.., Codes J=Jl5.000orlcss K =SIS.OOt • H0.000 L =SS0.001 -SJ00.000 M -SI00.001 • SU0.000

(Stt Columns Ct and DJ) N =S2SO.OOI • SS00.000 0 '"SS00,001 • St.000.000 Pl -St.OOO.OOl -SS.000.000 Pl •SS.000.001 • S2S.000.000

Pl =US.000.00 I · S50.000,000 P4 •Mon: 111an sso.000.000

3. V•luc M<thod Codes Q •AWDisal R =Cost (Real Est.JI< Only) S =A.ssessmcnl T=CasbMarkc:t

(Sec Column C2) U •Rook Valu< V =(}[her W·Emmai.:.1

'

Value!fil

Trust[)J

Currency ;"""]

11 [)1

(2)

(J-P)

N amc or l'cnoa Reporting Date or Report FINANCIAL DISCLOSURE REPORT Kapl•o, Lewis A. 0810312011Page IO of 14

VII. INVESTMENTS and TRUSTS - incomt, valut, transanions (lncludn thost ofspoust and dqJmdtnt clr.ildren; 5tt PP. J4-60of filing instrllclions.)

0 NONE (No reportable income. assets. or transactions.)

A. B. c. D.

Description of Assets Inoome during Gross value at end T121\S3ctions dwing reporting period

C including trus1 assetsI reporting period or reporting period

(1) (2) (I) (I) (2) (3) (4) (5) Place "(X)" after each asset A mown Type (e.g .• Value Value Type (e.g.. Date Value Gain Identity of

e empl from prior disclosure Code I div. renr, Code2 Method buy,..,11, C ode2 buyer/sellermrn/dd/yy Code I (A-H) or int.) (J-P) Code3 redemption)

CQ-W)

103. JP Morgan Intl Value B Distribution L T Buy 01126110 K

(A-H) (if private transaction I

104. JP Morgan High Yield Bond c Distribution M T Buy 08102110 K

105. Buy 10/18/10 L (add'I)

! 106. JP Morgan Core Bond B Distribution M T Buy 08103/10 L

107. Falconer CSD 4.0 15 c Interest L T Buy 01127/10 L

108. Albany Co.4.0 13 A Interest L T Buy 07128/10 L

109. FalconerCSD4.75 20 B Interest K T Buy 01127/10 K

110. MariettaGa4.0 16 B Interest L T Buy 01/11110 L

111. Nassau Co. 5.0 15 B Interest L T Buy 06121/10 L

112. Pembroke CSD 4.0 20 c Interest M T Buy 04129/10 M

113. Skaneateles CSD 4.5 19 B Interest L T Buy 05/11/10 L

114. Starpoint CSD 4.0 15 B Interest L T Buy 06123110 L

115. Causeway Intl A Distribution K T Buy 01128/10 1

116. Eaton Vance Sp Inv A Distribution L T Buy 01 126/10 K

117. Buy 04/05110 K (add'l)

118. JP Morgan lnt'I A Distribution K T Buy 03/31/10 K

119. Artio Intl Eq A Distribution K T Buy 01122110 1

I. Income Gim Codes: A =Sl,OOOor Jen B =Sl.001 • S2.500 C =$2.j()J - Sl.000 D•Sl,001 · Sll.000 E ·SIS.001 -SS0.000

!Sec Columns 81 and 04) F =SS0,001 • SI00.000 G =$100,001 • Sl.000.000 HI =Sl,000,001 -SS.000,000 Hl •Mon: than ss.000.000

2. Value Codes I -111,000"' less K •SI l.001 • SS0.000 L •SS0,00 I • S 100.000 M =$100.001 • SZ.S0.000

(Sec ColWIUIS Cl and OJ) N •SZ.S0.001 • SS00,000 0 -SS00,001 - U ,000.000 Pl =St.000,001 -U,000.000 P2 =SS.000.001 · S2S.OOO.OOO

PJ =$2.!,000.001 -SS0.000.000 P4 =M°"' than U0.000.000

J Voluc Method Code< Q•Appraisal R °COS1 (Real Estirc Only) S =A>..,.smrnl T =Ca>h Ma!\<1

(Sec Column Cl) U -=Book Value \' =Qthtt W •Estin:rale4

i !

i

16[)

202]

15[J>

112"J

188]

158]

QI]

{]>

:

D.

(I)

Na me or Pt non Rtporti ng D11e or Rrport FINANCIAL DISCLOSURE REPORT 08/0312011Kaplan, Lewis A. Page 11of14

VII. INVESTMENTS and TR u STS - incomr, Wllur, rransaroon• (lncludn tho•r of spousr and dqundrnl childrrn; SU pp. 34-60 of filinx instructions.)

0 NONE (No reportable income. assets. or transactions.)

A. B. c.

Dcscrirrion or Assets Income during Gross •·alue al end Transactions during reporting period

(including trust assets) reporting period of reporting period

(I) (2) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Typc(e.g., Value Value Type (e.g., Date Value Gain Identity of

exempl from prior disclosure Code I div., rent. Code2 Method buy, sell, mmfdd/yy Code2 Code I buyer/seller

(i\-H) or int.) (J-P) Code 3 ralemption) (J-PJ (A-HJ (if private

(Q-W) transaction)

120. JP Morgan High Yield Bon(:J A Dis1ribution K T Buy 08/03/10 J

121. Am Century Eq Inc FdfJ B Distribution L T Buy 01122110 K

122. Buy 03131110 K

(add'I)

123. JP Morgan Core Bondi:J> A Di stribution K T Buy 08/03/10 K

124. Ellenville CSD 4.0 A Interest K T Buy 02117110 K

125. Falconer CSD 4.75 B Interest K T Buy 01127110 K

126. Hawaii 4.0 A Interest K T Buy 02118110 K

127. NYS Twy 2.5 A Interest K T Buy 01/11/10 K

128. Ozarlc Mo 4.0 A Interest K T Buy 04/08/10 K

129. Pon Jefferson 3.5 A Interest K T Buy 02/18/10 K

130. Rocky Point CSD 4.0 16 A Interest K T Buy 01127110 K

131. Three Village CSD 3.0 13 A Interest K T Buy oitimo K

132. New Mexico 4.0 18 (E) A Interest K T Buy 02103/10 K

133. llewlett Woodmere 4.0 20 (E) A Interest K T Buy 09113/10 K

134. Riverhead 4_0 18 (E) A Interest K T Buy 09/13/10 K

135. Rocky Point CSD 4.0 16 (E) A Interest K T Buy 01/27110 K

136. Alpine Ut 4.0 13 (E) A Interest K T Buy 01127/10 K

1. Income Gain Codes: A = Sl .000 or leu B 2S 1.00 t - Sl-500 C =S2.'.>0t - SS.000 D =SS.001 -SI HOO E =S 15.!Xl I · SS0.000

(Sec Columns BI and D4 l f =SS0.001 -SI00.000 G ;SI00.001 - Sl.000.000 lit =St,000.001 • SS.000.000 IU •More than S .000.000

2. v aluc Codes J • S 15.000 or Ins K =SIS.001 - SS0.000 L •SS0.001 - SI00.000 M '1t00.(Xll - SU0.000

(Sec Columns Cl ond DJ) N =SZS0.00 I - SS00.000 0 --SSOO.OOt - St.000.000 Pl -S 1.000.001 - SS,000,000 n -ss.000.001 • sn.000.000

Pl =sis.000.001 - sso.000.000 P4 =More Ihm sso.000.000

J. Value Method Co.k< Q=APPDisal R =O>sl IRal Emr.: Only) S Asscssn:icnt T =Casi> Martel

(Sec Column C2) U :cBoolr. Value ... W =Es11nm<d

Name or Prnon Reporting Date or Report FINANCIAL DISCLOSURE REPORT

Page 12ofl4 IUplao, uwis A. 08/031201 1

VII. INVESTMENTS and TRUSTS - inC'om•, WJ/u,, transaC'finns (/nd11d'5 ,,..,.., of.•pou . ., and dqJ,nd,nt chi/dun; SU pp. 3'-60 of filing instr11C'tions.)

=i NONE (No reportable income, assets, or transactions.)

A. B. c. D. Description of Assets lnanne during Gross value al end Transactions during reponing period

(including D:usl assets) reponing period of reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g.• Value Value T}-pc(e.g., Date Value G•in ldenllty of

cxrmpt. from prior disclosure Code I div., rent. Code2 McthoJ buy, sell, mm/ddlyy Codc2 Code I buyer/seller (A·H) orinl) (J-P) Code J redemption) (J-P) (A-II) (ifpri\'lltC

(()-W) transaction)

137. Dallas Tx Comm Coll 4.0 17 A lnlerest K T Buy 02125/lO K

138. Wallkill 3.5 17 None K T Buy 01/21110 K

139. NYS Donn 4.5 15 None L T Buy 06115110 L

140. No. Colonic CSD 4.0 12 None K T Buy I t/22110 K

141.

I. Income Gaiin Code!: A -S 1.000 or less D =Sl,001 - S2 00 C =U,501 - Sl.000 ll •S5.00 I · S 15,000 E •Sll.001 · S50.000 (See Columns Ill and 04) F =U0,001 • SI00.000 G -SI00,001 · Sl,000.000 Ill =SI .000.001 · SS,000.000 Ill •Mon: Ihm SS,000,000

l. V1luc CodC'S J-SlS.000 or less K =Sl5,001 · S50.000 L =150.001. St00.000 M "1100.001 • SH0.000

tSc< Colamns Cl JOd DJ) N -siso.oo I • SS00,000 0 4500.001 - Sl .000.000 Pl "'11.000,001 • U.000.000 P1 -15.000,001 • SI.S.000,000

PJ •US.000,001 • $50,000.000 P4 =Mort !hon SS0.000.000

J. V.tuc M<1hod Codes Q•Appni,..I R =Cost (Real ESUIC Only) S =A<scssm<nt T =C.sh Marlr<t

(Sec Colomn C2) U•Dook V1!1X V -<J<ticr W •Emmated

Name or Peno• Reporting Ihle or ReportFINANCIAL DISCLOSURE REPORT

Page 13of14 Kaplan, LeY<is A. 08/0312011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lrulicoupartofrqHWL)

I. (E) designates assecs held as trustee -, _ _ ,

2. Pan VII, line 40 • name of locality omitted for security reasons

3. Income for 1986 EES and llandy Place partner.;hips equals distributions

I l

Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT

Page 14of14 K2plan, Lewis A. 0810312011

IX. CERTfFICATION.

I certiry lb:al all information given above (including infonnaliou pertaining to my spouse and minor or dependent children, if any) is :accurale, true, and complete to lbe best of my kno'l\1edge and belier, and Iba I any inform:ation nol reported was withheld because it met applicable slatulory provisions permitting non--Oisclosure.

I further certify lbal earned income from outside cmploymenl :aud houoraria and the acuptance of gifts which have bceu reported are in compliance l'lilh the provisions or S U.S.C. app. §SOI cl. seq., 5 U.S.C. § 7JSJ, and Judicial Conference regulations.

· - ·---. . ---- -- ]

Signalure

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSmEs OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301 One Columbus Circle, N.E.

Washington, D.C. 20544