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Judicial Watch • Lewis A. Kaplan – 2008

Lewis A. Kaplan – 2008

Lewis A. Kaplan – 2008

Page 1: Lewis A. Kaplan – 2008

Category:Federal Judges

Number of Pages:13

Date Created:October 21, 2009

Date Uploaded to the Library:November 07, 2014

Tags:Kaplan, Lewis A Kaplan, Lewis, 2008, assets, INVESTMENTS, transactions, Codes, reporting, report, Federal Judge, income, Judge


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Kaplan_Lewis_A 
 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
 
AND TYPE 
(yours, not spouses) 11-24-08 Ritz sale used clothing $1,250.00 Spouses 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