Skip to content

Get Judicial Watch Updates!

DONATE

Judicial Watch • Lewis A. Kaplan – 2003

Lewis A. Kaplan – 2003

Lewis A. Kaplan – 2003

Page 1: Lewis A. Kaplan – 2003

Category:Federal Judges

Number of Pages:11

Date Created:February 2, 2005

Date Uploaded to the Library:November 07, 2014

Tags:Redemptio, Kaplan, Lewis A Kaplan, Treas, Lewis, 2003, Codes, disclosure, reporting, report, Federal Judge, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

bull; 
Repart Required the !Ethics Government 1978 lf.!004 
Calendar Year 2003 U.S.C. app.  101-llll) Court Organization Date Report 
Kaplan, Lewis Person Reporting (Last name, First name, Middle initial) 
U.S. District Court S.D.N.Y. 
8/121200 Report Type (check appropriate type) Title {Article III Judges indicate a.ctive senior sta Reporting Period 
magistrat1:judges indicate full-or part-time) Nomination, Date 111/2003 
United States District Judge Initial @Annual Final 12131/200.3 Chambers Office Address the basis ofthe information contained this Report and any -- 
United States Courthouse modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. 
500 Pearl Street 
New York, 10007 Reviewing Officer Date 
 
IIVIPORTANT NOTES: The: instructions accompanying this tbnn must followed. Complete all parts.. checking the NONE box for each part whe1:e you have reportablle intbnnation. Sign last page 
-. .-.  . POSIDONS. (Reporting individual only; see pp. 9-13 offiling instructions} NONE -(No reportable positions.) 
POSITION NAME ORGANIZA Pmtner Handy Place Investment Partnership Executor/trustee 
(Reporting individual only; see pp. 14-16 filing instructions) 
ll. AGRF...EllENTS. 
 NONE -(No reportable a:greements.) 
AND TERMS 
(/J 
r-n 
:... ]: -tr; -.. 
;:;::;::r;: 
;.o .i= __.,,.. 
.;:: ... 
- 
o:i> 
-(,I o 
(;) 
Name Person Reporting 
F1NAr-iCIAL DISCLOSURE REPORT 
Date Report 
Kaplan, Lewis 
8/ll212004 
III. NON-INVEST INCOME. (Reporting individual and spouse see pp. 17-24 filing instructions) Fileirs Non-Investment lncom NONE -(No reportable mm-investment income.) INCOME (yours, not spouses) Spoiuses Non-Investment Income-(Ifyou were married during any portion the reporting year. please complete this section. (dollar amount not required except fur honoraria) NONE (No reportable non-investment income.) 
SOURCE AND 
IV. REJlIBURSEMENTS transportation. lodging., food. entertainment. 
(l.Jcludes those spouse and dependent children. See pp. 25-27 instructions.) 
 NONE (No such reportable reimbursements.) 
 
DESCR1PTION GIFTS. (Includes those iipouseand dependent children. See pp. 28-31 instructions.) 
 NONI: (No such reportable: gifts.} UABIIn.IES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) NONE - FINANCLU. DISCLOSURE REPORT 
D.ate Report 
Name Person Reporting 
age of 
Kaplan, Lewis 
8/1212004 
-income, value, transcatio11s (includes those ofthe spouse and dependent children. _See pp. 34-57 filing instrnciions.) 
Vll. INVESTIVIENTS andl TRUSTS 
Duscription Assets induding trust assets) Place (X) after each asset exempt ftom prior disclosure -DNom: (No reportable income, assets, transactiDllS) NYS Twy Hwy -2. Citibank, NY, NY, ckg IDcome during reponing period (2)-Amount Type (e.g. Code div. -rent. (AH) int.) Interest None Gross value end reporting period (I) Valoe Value Code2 Method (JP) Code3 (Q-W) Transactions during reporting period! lfnot exempt from disclosure (3) Type (e.g. Date: Value buy, sell, MonthCode2 merger, Day (J-P) redemption) Redemptio 3-3 (5) Gain Identity Code boyer/seller (AH) (if private trani;;ii:tion) Citibank, NY, NY, ckg -4. NYS MCFFA5.375s None Interest None Albany Co. -6. Tnboro Spl 6.ls (F) Interest Interest None R.cdemptio 1-2 NYS Mtg Ser 29A4.7s (E) Port Auth NYNJ 4.8 (E) Interest Interest None None Port A1lltb NYNJ 4.8 Interest None 
10. NYS HFA Con 6.5s (E) -11. Kin11ierbook CSD (E) Interest Interest None None 
12. NYS Pwr Ser 5.875 (E) Interest 1-2 Redemi>tio 
13. NYS P,wr AGP 5.375s 14. NYS P,wr Ser 5.S (E) Interest Interest None None 
15. NYS Pwr Ser 5.5s Interest 1-2 R.edemJ>tic  
16. CMA Tax Exempt Fund 17. Inv Trust Ser -18. 1982 BES lim ptn Dividend Intenst None PtR.cdempt 9-25 None hicomelGain Codes: $1.000 less LOO 1-$2.500 =$2,501-$5,000 =$5,00!-$15.000 =$15.001-$50.000 
(See Columns and D4) =$50,00 l-$100.000 $!00.001-Sl.OOO.OOO $1.000,001-$5.000.000 =More than $5.000.000 :Value Codes: $15,000 less $15.001-$50.000 $50,001-$100.000 =$100.001-$250,000 
(Sc< Columns and D3) $250.000-$500.000 $5{lU.001-$1.0HO.OOO SL000.00!-$5.000.000 =$5.000.001-$25.000.000 $::!5,000.001-$50.000.000 =$More than $50.000.00{ Appraisal =Cos! (Real Estate Onl>) A.ss..-ssmdit Cash.Markt 
1Sc-= Cohmm C21 Book ialuc =Other Estimated 
 
Name Person Reporting DateofReport 
:eage2 of6 Kaplan, Lewis 8/12/2004 
VII. .1NVESTME1ITS and TRUSTS -income. value. transcations (includes those the spouse and clependenl children. See pp. 34-57 filing instmctions.) 
Description Assets Income during reporting period Gross value end reporting period Transnctions during reporting period 
 
(induding trust assets) 
-(2) 
(I) 
(2) 
Place (X) after each asset ex1empt from prior disclosure Amount Code (A-H) Type (e.g. div. rent. int) Value Code2 (J-PJ Value Method Code3 (Q-W) Type (e.g. buy. sell. merger, redemption} 
19. 20. 198:6 EES lim ptn Handy Place Invest Part Distnl>ution None None None 
21. Ruwe Price Int 20th Cent Ultra None None Redemptio None 
23. Met Tran 5.9s Interest None 
24. MTANY 5.9 (E) Interest None 
25. Nas11au Co. 5.7s Interest None 
26. 27. NYS MCFFA S.2 NYS MCFFA5.55s Interest Interest Redemptio None 
28. West Co. 5.6s Interest None 
 
(2) Date: Month-Day (3) Value Code2 (JP) Gain Code (A-H) (5) Identity buyeitsellec (ifprliv-.11e on) 
4-21 
 
1-2 
NYS Env Fae 4.65 Interest 
None 
30. 
Clarkstown 5.6s Interest 
None 
31. 
Sufiblk Co. 5.875s Interest 
None 
32. 
NYS Donn Skidmore 4.7s (E)1 Interest Redmeptio 7-i 
NYC Mun Wtr 5.375s Interest None 
 
34. 
 
NYC Mun Wtr 5.375s (E) Interest 
None 
36. NY8 UDC S.37Ss (E) Interest 
Redemptio 1-2 Income/Gain Codes: l.000 less $1.001-$2-500 $2.501-$5.(100 $5,001$15.000 $15.001-$50.000 
(See Columns and 04} $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 l:. $15.001-$50.000 $50.001-$100.000 $100.001-$250.000 
(See Columns andD31 $250.000-$500.000 $500.(101-$1.000.000 $1.000.001-$5.000.000 $5.000.001-$25 .000.00(1 525.001)_()() l-$50_010.000 =$More than $50.000.000 
- Value Methud Code Si:t Cuh:mw C2: =ApprrmmJ BooL Valu Cost Real Esta! Only) =Other Asessme.11 -E..:;unmtd Cash Market 
 
FINANCIAL DISCLOSUJRE REPORT 
Name Person Reporting 
Date Report 
_Page (Jf 
Kaplan, Lewis VH.. .INVI.STMENTS and TRUSTS -income. value, transcations (includes those the spouse mid dependent children. See pp. 34-57 filing instrnctions.} Description Assets (including trust assets} Place (X) after each asset e:empt from prior disclosure Income during reporting period -(2) Amount Type (e.g. Code div. rent. (A-H) int.) Gross value end reporting period (I) (2) Value Value Code2 Method {J-P) Code {Q-W) Transactions during reporting period Ifnot exempt from disclosure (5) Type (e.g. Date: Value Gain Identify buy. sell. MonthCode2 Code buyer/seller merger, Day (J-P) (A-H) (ifp1rivaleredemplion) trausac:tion} 
SS. 56. 57. 58. 59. 60. NYC Mun Wtr 5.5s -Triboro BTA NYS 11...A.C 5.375s -US Treas Strips Cp111 Treas Rec Treas Strips Interest Interest Interest None None None None Redemptio 1-2 None Sale 4-8 None Sale 11-18 
61. 62. 63. 64. 65. NYS Dorm 5.37Ss Treas strips -US Treas strips Treas strips NYS Dorm 5.125 Interest None None None Interest None Sale 2-4 Sale 6-4 None None 
66. 67. 68. 69. 70. NYS Dorm S.25s -Fide.lity Fund -Fidc:lity Large Cap -Triboro BTA4.5 (E) -Pueirto Rico MFA 5.5 (E) Interest Distribution Distribution Interest Interest None None -None None None  
71. NYS tlormS.125 (E) Interest None 
72. Tnlioro BTA4.3 Interest None lncomeIGain Codes: $1.000 less Sl.001-$:!.500 $2.501-$5.000 $5.001-$15.000 $15.001-$50.000 
(See CoiunmsBI and D4} $50.001-$100.000 $100.001-$1.000.000 Sl.000.001-$5.000,000 =More than $5.000.000 Value Codes: $15.000 less $15.001-$50.000 $5().001-$100.000 $100.001-$250.000 
(See Colmm1s and D3i $250.000-$500.000 $500.00 l.000.000 $1.000.001-5.000.000 $5.000.001-$:!5.00U.000 $25.000.00J-S50.00U.OOO P-1 $More than $50.000.000 =Appmisal =Com 1Real Estate Only) Assessm:!nt Casli Markd St:C Column C.:.! BooJ Vatm. (Jtlae:  Esmnmed 
 
Name Person Reporting 
Date 
?age offi 
Kaplan, Lewis 
VII. 1NVEST1VlENTS and TRUSTS -income, value, transcations (includes those ofthe spouse and dependent childrell See pp. 34-57 offiling instructions.) 
me11.oer, 
None 
None 
None 
None 
None 
None 
None 
None 
None 
None 
None 
Sale Income during Gross value end De,scription ofAssets reporting period reporting period (including trust assets) (I) (2) (I) (2) Place (X) afteach asset ex,empt Amount Type (e.g. Value Value from prior disclosure Code div. rent. Code2 Method (A-HJ int.) (J-P) Code3 (Q-W) Transactions during reporting period Ifnor exempt from disclosure -(2) (3) (5)erType (e.g. Date: Value Gain Identity buy. sell. MonthCode2 Code buyer/s.eUer Day (J-P) (A-H) (if private redemption) tr.ms:action) 
73. TnboroBTA4.751 Interest 74.NYC Mun Wtr 4.9 Interest 75. Comma.ck UFSD 4.13 Interest 76.NYS Mtg Agy 5.45 IntM 77. NYS Twy 5.125 Interest None 375 -erest 
78. So.GlensF CSD 5.25 Interest 
79. NYTzanatMTA5.210 Interest 
80. NYS Env5.125 Interest -81. NYS Dorm 5.125 Interest Fac 
82. NYSDorm S.12 {E) Interest -83. NYS Env Fae 4.55 Interest 
84. NYS Env17 Interest Fac4.9S 
85.Fits1t USA 5.55 Interest 11-10 
86. MLBk!BT RASP IntK erest 
87. NYSTrans 5.0 Interest None 
88.Greece CSD 4.5 Interest None  
89.Fae 4.12 Interest -90. MTA4.c Interest 012 
 
NYS E1v 
None 
None lncomeGain Codes: $1.000 less $1.001-$2.500 $2.501-$5.000 $5.001-$15.000 $15.001-$50,,000 
(SeeColullllllsBJ andD-1) $50.IJO1-$100.000 $I00.001-$1.000.000 $!.000.001-$5.000.000 More than $5.000.000 Vaine Codes: 	$15.000 less $15.001-$50.000 $50.001-$100,000 $100.001-$250.00() (See Colmnm; and D3l $25G.OOO-S500.(l{l(J S50U.00l-$1.000.00G Sl.000.001-$5.00(;.000 P::! $5.00liJJ0l-S25.000.000 $::!5.000.0Hl-$50.000.00fl P-1 =$More tl::m 5(J.000.U(l(I 
Value Me1l1od Codes =Appraisal Cosl (Rea! Esrate Only Assr:!ssmen1 a>h!Market 
= S>!c (_)ltmm Bnok Value Otiit:r Est1mai50,000 
fSee Columns and D4i =S50JIOl-$100.000 =$100.001-$1.000.000 l.000.001-$5.000.000 =More than $5.000.000 Value Codes: =Sl5JlOl}orless $15.001-$50.000 $50.001-$100.000 $!00.001-$250.00ll See Colmnns and 031 S250.000-$500JKJO $500.001-$1.000.000 l.000.00 l-$5 .Oll0.000 $5.000.00!-$25.(100.000 S25.ooo.001-s5o_ooo_oon SMore timn $50.000.UO() Vain Meitlwd Cod:; Appraisal =Cost (Real Estate Only) -::; Assessme1u Cnsh Marl.l!l 
tSc Colunm C21 Book Value Othr ::.: Estimnld 
 
Name Person Reporting 
Date Report 
FINAN(L.iL DISCLOSURE REPORT 
Kaplan, Lewis 
811212004 
(Indicate part ofReport.) 
vm. ADDffiONAL INl?ORMATION EXPLANATIONS Income ri:ported fur 1982 and 15186 EES limited partnerships and Handy Place Investment Partnership are distributions. (E) refen;: assets held executor, trustee under testamentary trust, under will deceased ... 
 
Date Report 
NameofPersonReporting 
Kaplan, Lewis 
8/1212004 
rx:. CERTIFICATION. certify that all information given above (including infonnation pertaining spouse and minor dependent children. any) accurate, true, and complete the best knowledge and belief. and that any infonnation not reported was withheld because applicable statutory provisions permitting non-disclosure. further certify that earned :income from outside employment and honoraria and 1he acceptance gifts which have been reported are compliance with the provisions U.S.C.  501 seq., U.S.C.  7353, and Judicial Conference regulations. 
signature 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS F1LE TIIlS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
FILING INSTRUCTIONS Mail signed original and additional copies to: 
Committee Financial Disclosure Admiitistrative Office the United States Comts Suite2-301 One Columbus Circle, N.E. Washington. D.C. 20544