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Judicial Watch • Lewis A Kaplan Financial Disclosure Report for 2008

Lewis A Kaplan Financial Disclosure Report for 2008

Lewis A Kaplan Financial Disclosure Report for 2008

Page 1: Lewis A Kaplan Financial Disclosure Report for 2008

Category:Financial Disclosure

Number of Pages:13

Date Created:October 21, 2009

Date Uploaded to the Library:November 13, 2013

Tags:Kaplan, Lewis A Kaplan, Lewis, 2008, INVESTMENTS, EPA, transactions, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Kaplan_Lewis_A 

III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 

AND TYPE 
(yours, not spouse's) 11-24-08 Ritz sale used clothing $1,250.00 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this secdon. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) Various Pension and retirement plan -pension plans for benefit retirees Random House, Inc. 

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) Stanford University  2/8-9/08  Palo Alto,  Speak conference  Transportation, lodging, food American Bar Assn Section  3/26/08  Washington,  Speak conference  Transportation, lodging, food [check lodg  
Antitrust Law  ing] GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
(2) 	NONE (No reportable gifts.) SOURCE 

VALUE 

VJ. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 fding instructions.)  NONE (No reportable liabilities.)  
CREDITOR  DESCRIPTION  

VALUE CODE 

Date Report 
Kaplan, Lewis 
08/03/2009 

VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-6D filinc instructions.) NONE (No reportable income, assets, transactions.) 
Transactions 
(if private  
Description Asset  Income during oss value end  during rep ting period  
(including trust assets)  reporting period orting period  
(I) (2)  (I) (2)  (I)  (2) (3) (4)  
Place "(X)" after each asset Type(e.g.,  Val Value  Type(e.g.,  Date Value Gain Identity  
exempt from prior dis osure  Code div., rent,  Code2 Method  buy, sell,  Month -Code2 Code buyer/sel ler  
(A-H) int  (J-P) Code3  redemp tion)  Day (J-P) (A-H)  
(Q-W)  trans action) Citibank accounts  Interest NYS Pwr Ser 5.875 (E)  Interest  None NYS Pwr Ser 5.5 IO(E)  Interest  None NYS Pwr Serf 5.5  Interest  PtRedempt  1-2 Mun Inv Trust Ser  Interest Redempt  2-25 1986 EES Jim ptn  None  None Handy Place Invest Part Clarkstown 5.6  None Interest  None Redeemed  6-16 NYS MCFFA 5.125  Interest  
10. NYS Dorm 5.125  Interest  Redeemed  8-1  
11. NYS Dorm 5.25  Interest Redeemed  8-29  
12. Triboro 4.5 (E)  Interest  None  
13. Puerto Rico 5.5 (E)  Interest  None  
14. NYS Donn 5.125 (E)  Interest  None  
15. Triboro ETA 4.75  Interest  None  
16. NYC Mun Wtr 4.9  Interest  None  
17. Commack UFSD 4.375  Interest  None  

-------- Income Gain Codes: =$1,000 Jess =Sl,001 -$2,500 =$2,501 -$5,000 =$5,001-$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -SI00,000 =SI00,001 -Sl,000,000 =SJ,000,001 -$5,000,000 =More than $5,000,000 Value Codes  J=$15,000orlcss =$15,001 -$50,000 =$50,001 -$100.000  M=SJ00,001-$250, 000  
(S..-e Columns and DJ) =$250,00 -$500,000  0=$500,001-$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  Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr  W=Estirnated  

Date Report 
08/03/2009
Kaplan, Lewis 

VII. INVESTMENTS and STS -income, value, transactions (Includes those spouse and dependentchildren; see PP 34-60of filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset 
exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month  Code2  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

18. NYS Twy 5.125  Interest  None  
19. Glens Falls CSD 5.25  Interest  None  
20. NYTranatMTA5.2  Interest  None  
21. NYS Env Fae 5.125  Interest  None  
22. NYS Dorm5.125  Interest  None  
23. NYS Dorm 5.1 (E)  Interest  None  
24. NYS Env Fae 4.55  Interest  None  
25. NYS Env Fae 4.95  Interest  None  
26. Bk/BT RASP  Interest  
27. NYC Trans 5.0  Interest  None  
28. Greece CSD 4.5  Interest  None  
29. NYC 4.375 (E)  Interest  None  
30. FNMA5.0  Interest  Redeemed  1-15  
31. MTAS.0  Interest  None  
32. GECC4.75  Interest  None  
33. Nat City fka Provident Bank  Interest  None  
34. FHLMC multi  Interest  Redeemed  7-14 Income Gain Codes: =$1,000 less  B=Sl,001 -$2,500 =$2,501 -$5,000  D=S5,00I -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00 -SI 00,000 =SIOO,OOl -Sl,000,000 =Sl,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001-$50,000  L=$50,00 -$I 00,000 =SI 00,00 -$250,000  
(See Columns and DJ) =$250,001 -$500,000  0=$500,00I 1,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000  P4=More1han $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment  T=Cash Market  
(See Column C2) =Book Value =-Other =Estimated  

Date Report 
Kaplan, Lewis 
08/03/2009 
VII. INVESTMENTS and TRUSTS income, aiue, transactions (lnc1iu1es those spouse and dependent children; see PP. 1uo filing instructions.> NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  (I) (2) Amount Type(e.g., Code div., rent, (A-H} int.)  (I) (2) Value Value Code Method (J-P) Code (Q-W)  (I) Type(e.g., buy, sell, redemption)  (2) (3) Date Value Month Code2 Day (J-P)  (4) Gain Code (A-H}  (5) Identity buyer/seller (if private transaction)  

35. Hudson United 5.05 -13  Interest  Redeemed  5-14  -..  
36. NYC Ser 4.625  Interest  None 
37. NYS Donn 5.0 (mult. issues)  - Interest  None  
38. MTA4.75  Interest  None  
39. Long Island Pwr 4.75  Interest  None  
40. NYS Donn 4.75  Interest  None  
41. Western Bank Puerto Rico  Interest  None  
42. Bank Amer 4.65  Interest  None -  
43. Capitol One  Interest  None  
44. Port Auth NJ 4.2 (E)  Interest  None  
45. NYS Dorm 4.625 (E)  Interest  None  
46. Morgan Chase accts   Interest  
47. Life whole life policies  Dividend  None  
48. CMA Mun Money  Interest  
49. MTA Adj%26  Interest  Sold  11-17  
50. CMA Mun Money (E)  Interest  
51. Adj% (E)  Interest  Sold  11-17 Income Gain Codes: =$1,000 less  B=S!,001-$2,500 =$2,501 -$5,000 =$5,001-$15,000 415,001 -$50,000  
(See Columns and D4) =$50,00 -$I 00,000 =$100,00 -$1,000,000 41,000,001-$5,000,000  112 =More than $5,000,000 Value Codes =$15,000orless  K=$15,001 -$50,000 =$50,001 -$100,000 =$I 00,00 -$250,000  
(See Columns and DJ) =$250,00 -$500,000  0=$500,001-$1,000,000 41,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes  Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

Date Report 
08/03/2009
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 (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  (1) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (1) Value Code2 (J-P)  (2) Value Method Code (Q-W)  (1) Type (e.g., buy, sell, redemption)  (2) Date Month-Day  (3) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

52. Ulster 4.25  Interest  None  
53. NYS Dorm 4.0 (E)  Interest  None  
54. Banco Bilbao 4.46  Interest  Redeemed  2-14  
55. First Eagle Global  None  Sold (part)  9-12  
56.  Sold  9-19  
57. Davis Venture  None  Sold (part)  9-10  
58.  Sold  9-19  
59. Blackrock Large Cap Value f7k/a Large Cap Value  None  Sold (part)  9-10  
60.  Sold  9-19  
61. Everegreen Values  None  Sold (part)  9-12  
62.  Sold  9-23  
63. Pioneer Oak Ridge Small Cap  None  Sold (part)  9-li  
64.  Sold (part)  9-23  
65. Goldman Sachs Mid Cap  None  Sold (part)  9-12  
66.  Sold (part)  9-23  
67. Amer Inc Fund  Distribution  Sold (part)  9-12  
68.  Sold (part)  9-23 Income Gain Codes: 1,000 less =$1,001 -$2,500 2,50 -$5,000  0=$5,001-$15, 000  E=$15,001 -$50,000  
(Sec C-Olwnns and 04)  F=$50,001 -$100,000 :$100,001 -$1,000,000 l.000,001 -$5,000,000  H2=More than $5,000,000 Value Coda  1=$15,000orless =$15,001 -$50,000  L=$50,001-$100,000 =$100,001 -$250,000  
(Sec C-Olwnns and 03)  N=$250,001 -$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  P4=More1han $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2)  U=Book Value =Other  w=Estimated  

Date Report 
08/03/2009
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.) Desc riptA. 
ion Assets 
(inclu ding trust assets) 

Type(e.exempt from Place "(X)" aftereach set 
prior disclosu Income during reporting period Gros value reporting period  Transaction ring reporting period  
(I) Amount Code (A-H)  (2) div., rent, Type (eor int  (I) Value Code2 (J-P)  (2) Value MeCode3 (Q-W)  (I) g., buy, sell, redemption)  (2) Date Month -Day  (3) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) ..thod .g)  

69. CMA Mun Money.  Dividend  
70. Bank RASP   Interest  
71. NewYork Ser 4.05  Interest  None  
72. Minisink CSD 4.0  Interest  None  
73. Wayne CSD 4.0  Interest  None  
74. Brookhaven CSD   Int./Div.  None  
75. Amer Inc Amer   Distribution  Sold  9-23  
76. Davis Venture   None  Sold  9-19  
77. Goldman Sachs Mid Cap  None  Sold  9-23  
78. Pimco Comm Real Return   Distribution  Sold  9-23  
79. Penn Mut f/k/a Royce   None  Sold  9-19  
80. DWS Dreman f/k/a Scudder High Return  Distribution  Sold  9-23  
81. Oakmark Select   None  Sold  9-19  
82. Community BT 4.4   Interest  Redeemed  4-21  
83. FNMA multi%  Interest  Redeemed  1-25  
84. FNMA multi%  Interest  Redeemed  1-22  
85. HSBC Fin Corp 4.65  Interest  None Income Gain Codes: =$1,000 less  B=$1,001 -$2,500  c=$2,501 -$5,000  D=$5,00l -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000 ,000 =More than $5,000,000 Value Codes =$15,000 less  K=$15,001  $50,000 =$50,00I -$I 00,000 =$100,001 -$250,000  
(See Columns and DJ) =$250,00I  $500,000 =$500,001 -$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  Q=Appraisal =Cost (Real Estate Only)  S=Assessment  T=CashMarl



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