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Judicial Watch • Lewis A. Kaplan – 2011

Lewis A. Kaplan – 2011

Lewis A. Kaplan – 2011

Page 1: Lewis A. Kaplan – 2011

Category:Federal Judges

Number of Pages:13

Date Created:February 26, 2013

Date Uploaded to the Library:November 07, 2014

Tags:Kaplan, Lewis A Kaplan, Lewis, 2011, Market, assets, transactions, Codes, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 
Rev. 112012 
FOR CALENDAR YEAR 2011 U.S.C. app.  101-l Person Reporting (last name, first, middle initial) Kaplan, Lewis Court Organization U.S. District Court, S.D.N.Y. Date Report 08/03/2012 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) United States District Judge Sa. Report Type (check appropriate type) Nomination Date Initial [Z] Annual Sb. Amended Report Final Reporting Period 01/01/2011 12/31/2011 Chambers Office Address 
Daniel Patrick Moynihan United States Courthouse 500 Pearl Street New York, 10007 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Insert signature last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 
Partner Handy Place Investment Partnership Trustee Trust u/w/o deceased relative 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) [{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
 
 
 
Ill. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income 
[{] NONE (No reportable non-investment income.) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE Various Pension and retirement plan pmts -pension plans for benefit retirees Random House, Inc. 
 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) 
SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
Date Report 
Kaplan, Lewis 
08/03/2012 GIFTS. (Includes tlwse spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 
 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing 
instructions.) 
[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes t110se spouse and dependent children; see PP 34-60 filing instmctions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period including trust assets) reporting period reporting period 
 
(!) 
(2) 
(I) (!) (4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) (J-P) (A-II) private 
 
transaction) Citibank accounts Interest 1986 EES Jim ptn None Handy Place Invest Part None Income Gain Codes: =$1,000 less =$1,001 -$2.500 =$2,501 -$5,000 =$5.001 -$15.000 =$15,001 -$50,000 
(Sec Columns and D4) =$50,001 -$100,000 =$!00.001 -$1.000,000 Ill =$1.000.001-$5.000.000 112 =More than $5,000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$!00.000 =$!00.001 -$250.000 
(Sec Columns and 03) =$250.001 -$500.000 =$500.001 -$1,000.000 =$1.000.001 -$5,000,000 =$5.000.001 -$25.000.000 =$25.000.00 -$50,000,000 =More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other W=Estimatcd 
 
 
 
VII. INVESTMENTS and TRUSTS income, vatue, transactions (tncludes those spouse and dependent children; see PP 14-60 offilinc instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross va]ue end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) 
(2) (3) (4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
Code (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) Income Gain Codes: =$1.000 less =$1,001-$2.500 =$2.50! -$5,000 =$5.001 -$15,000 =$15,001 -$50.000 
(See Columns and 04) =$50.001 -$100,000 =$!00.00I -$1.000.000 Ill =$1.000.00I -$5.000.000 112 =More than $5,000.000 Value Codes l5.000 less =$15.001 -$50.ooO =$50.001  $100.000 =$100.001 -$250.000 
(Sec Columns and 03) =$250.00 -$500.000 =$500.ool -$1.000.000 =$1.000.001 -$5.000.000 =$5,000,001 -$25,000,000 =$25.000.00  $50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) ==Assessment =Cash Market 
(Sec Column C2) =Book Value V:oOthcr =Estimated 
 
 
Date Report 
08/03/2012 
Kaplan, Lewis 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) 
(I) (3) 
(5) 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure 
Place (X) after each asset Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
transaction) 
(Q-W) Income Gain Codes: =$1.000 less =$1.001 -$2.500 =$2.501 -$5.000 =$5,001 -$15.000 =$15.001  $50.000 
(See Columns and 04) =$50.001  $100.000 =$!00.001 -$1.000.000 Ill =$1.000,001 -$5,000.000 112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 =$!00.001  $250.000 
(Sec Columns and 03) =$250.001 -$500.000 0=$500.001-$1,000.000 =$1.000.00t -$5,000.000 =$5.000.001 -$25.000.000 =$25.000.00t -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
VII. 
INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes ttwse spouse and dependent children; see PP 14-60 offiting instructions.) NONE (No reportable income, assets, transactions.) 
Income Gain Codes: =$1.000 less :$1,001 -$2,500 :$2501 $5,000 :$5.001 -$15,000 10:$15,001 -$50,000 (Sec Columns and 04) :$50.001 -$100.000 :$100.001 -$1,000.000 Ill :$1.000.001 -$5.000.000 112 :More than $5.000.000 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
(I) (2) (I) (2) (!) (2) (3) (4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) aim Codes =$15.000 less :$15.001 -$50.000 :$50.001 -$100.000 :$1Q0.001 -$250.000 
(Sec Columns and D3) :$250.00 -$500.000 :$500.00 -S1.000.000 :$1.000.001 -$5.000,000 :$5.000,001 -$25,000.000 :$25.000.00 -$50,000.000 :More than $50.000.000 Value Method Codes =Appraisal :Cost (Real Estate Only) =Assessment =Cash Market {Sec Column C2) :Qthcr :Book Value =Estimated 
 
Date Report 
08/03/2012 
Kaplan, Lewis 
VII. INV EST MENT and -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (2) (I) (2) (3) 
(5) 
Place (X) after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure 
Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller (A-II) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) 
transaction) Income Gain Codes: =$1.000 less =$1.001 -$2.500 =$2.501 -$5.000 =$5.001 -$15,000 =$15.001 -$50,000 
(Sec Columns and 04) =$50.001 -$I 00.000 =$100.001 -$1.000.000 Ill =$1.000,001 -$5.000.000 112 =More than $5.000,000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 =$100.001 -$250.000 
(Sec Columns and 03) =$250.00 -$500.000 =$500.001 -s1.000.000 =$1,000.001 -$5,000,000 =$5,000.001 -$25,000.000 =$25.000.00I -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Othcr =Estimated 
 
 
Date Report 
08/03/2012 
Kaplan, Lewis 
VII. INVESTMENTS and TRUSTS -income, a1ue, transactions r1nc1udes those spouse and dependent children: see PP 34-60 filing instr11c1ions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reponing period 
(including trust assets) reponing period reponing period 
 
{I) 
(2) {I) (2) (3) (4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) (J-P) (A-H) (if private 
 
transaction) Income Gain Codes: =$1.000 less =$1,001 -$2.500 c=$2,501 -$5,000 0=$5,001-$15.000 =$15,001 -$50.000 
(Sec Columns and 04) f=$50,001 -$100,000 =$100.00 1.000.000 111 =$1.000,001 -$5.000.000 112 =More than $5,000.000 Value Codes =$15.000 less =St5.001 -$50.000 L=$50.001  $100.000 =$100.001  $250.000 
(Sec Columns and 03) N=$250.00  $500.000 0=$500.00  $1.000.000 =$1.000,001  $5,000,000 =$5,000,001  $25.000.000 =$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(Sec Column C2) =Book Value V=Othcr W=Estimated 
 
 
Date Report 
08/03/2012 
Kaplan, Lewis 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children: see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(3) (4)(I) (2) (I} (2) (I) Date Value Gain Identity 
Place (X) after each asset 
Amount Type (e.g., Value 
Type (e.g., 
Code Code buyer/sellerexempt from prior disclosure buy, sell, mm/dd/yy Code 2div., rent, Code 
(A-H) redemption) (J-P) (A-H) (if private int.) (J-P) transaction) 
103. Rocky Point CSD 4.0 Interest 04. Three Village CSD 3.0 Interest 
105. New Mexico 4.0 (E) Interest 
 
106. 
Hewlett Woodmere 4.0 (E) Interest 
 
107. 
Riverhead 4.0 (E) Interest 
 
108. 
Rocky Point CSD 4.0 (E) Interest 
 
109. 
Alpine 4.0 (E) Interest 
 
110. 
Dallas Comm Coll 4.0 Interest 
 
111. 
Wallkill 3.5 Interest 
 
112. 
NYS Dorm 4.5 Interest 13. No. Colonie CSD 4.0 Interest 
114. 
Oldham 4.0 (E) Interest Buy 06/22/11 
 
115. 
NYS Dorm 4.0 (E) None Buy 06116111 
 
116. 
NYSEnvFac5.0 15(E) Interest Buy 03/31/11 
 
 
117. Albany Co. 4.0 (E) Interest Buy 03/28/11 
118. GreeceNY4.125 17(E) Interest Buy 03/23/11 
119. NYS Dorm 5.125 (E) Interest Sold 05116111 Income Gain Codes: (Sec Columns and 04) Value Codes (Sec Columns and DJ) Value Method Codes (Sec Column C2) $1,000 less =$50.001-$100,000 =$15.000 less $250.001 -$500.000 =$25.000.001 -$50,000,000 ==Appraisal =Book Value 1!$1,001-$2.500 =$100,001 -$1.000.000 =$15.001 -$50.000 =S500.00I -$1.000.000 ==Cost (Real Estate Only) =Other =$2.50I -$5.000 Ill =$1.000,001 -$5.000.000 $50.001 -$100.000 $1.000.001 -$5.000,000 =More than $50.000.000 =Assessment =Estimated =$5.001 -$15.000 112 =More than $5.000.000 $100.001 -$250.000 =$5.000.001 -$25,000.000 ==Cash Market =$15,001 -$50,000 
 
 
VII. INVESTMENTS and TRUSTS income, atue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 offiting instructions.; NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(I) (2) (I) (4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code2 Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) (J-P) (A-H) (if private 
 
transaction) Income Gain Codes: =$1.000 less =$t.OOI -$2.500 =$2.50t  $5.000 =$5,001 -$15,000 =$15.001 -$50.000 
(See Columns and 04) =$50.001  $100.000 =$100.00 -$1.000.000 Ill =$1.000.001 -$5.000.000 112=More than $5.000.000 Value Codes =SI 5.000 less =$15.00t -$50.000 =$50.00 -$I 00.000 =$100.001  $250.000 
(Sec Columns and 03) =$250.00  $500.000 =$500.00 .000.000 =$1.000.001 -$5.000.000 =$5.000.00t  $25,000.000 =$25.000.00  $50.000.000 P4=More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Othcr =Estimated 
 
 
Name Person Reporting 
Date Report 
Kaplan, Lewis 
08/03/2012 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreport.) (E) designates assets held trustee u!w/o deceased relative 
Part VII, line 
-name locality omitted for security reasons 
Income for 1986 EES and Handy Place partnerships equals distributions 
 
 
 
Date Report 
Kaplan, Lewis 
08/03/2012 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: Lewis Kaplan 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544