lewis a kaplan financial disclosure report for 2010

8/3/2019 Lewis A Kaplan Financial Disclosure Report for 2010

1/14

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

Report Required by the Ethicsin Government Act of l978(5 U.S . C. app. .~ I01-111)

I . Pe r~m R e l~r t in O,~a nam~ f irst , middle ini t ial)K a p l a n . L e w i s A .

4 . T i l l e ( A n i d e I l l j u d g e ~ | n d k a t e ~ z t i v e o r ~ o n i o r s t a l ~ ;m n gisa a le j udg~ indic , a l e fu l l - o r p a r v l im ~ )U n i t e d S t a t e s D i s t r i c t Ju d g e

7 . C h a m l x - ~ o r O l ~ e A d d r t ~ sU.S. Courthouse50 0 Pear l StreetN e w Y o r k , N Y 1 0 0 0 7

2. Cour t or Organizat ionU . S . D i s t r i c t Co ur t , S . D . N . Y .

5a. Rcpart Type (check appropr~te type)

[] Initial [] Annual [] Final

3. Date of R e p o r t0 8 / 0 3 / 2 0 1 1

6. R epor t ing Pe r iod01/01/2010

to1 2 / 3 1 ~ 0 1 0

R e v i e w i n g O f f ic e r D a t e

I M P O R T A N T N O T E S : 1~e instructions a~companying thia form must be followetL Comple~ all partx,checking the NONE box for each part where you have no reportable in format ion . Sign on last pag, ,

I . POSITIONS. m , , ~ . ~ ~ o . ~ : ~ e ~ ~D N O N E ( N o reportable positions.)

POSITION NAME OF OR GA NI Z A T I ON/ E NT I T YI. Par me r H a n d y P l a c e I n v e s t m e n t P a r t n e r s h i p

3.

4.5.

Tll~tee

I I . A G R E E M E N T S . e R ~ , o , a , ~ ~ , ~ , , ~ . , , ~ o , , ~ ; .~] NONE (N o repor tab le agreement s . )DATE PARTIES AND TERM S


2/14

FINANCIAL DISCLOSURE REPORTPage 2 of 14

Name of Permn Rq~rtingKaplan , Lewis A.

D a t e o f R e p o r t08/03/2011

IlL N O N - IN V E S TM E N T I N C O M E .A. Filers Non-lnvestment Income

~. NONE (No reportable non-im,estment income.)DATE SOURCE AND TYPE

2 .

3 .

4 .

INCOME(yours . no~ spouses)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - lf y~u were marriat d~ri,~g an),p~rd8, of ll~e rep~ra, ,g .~ar, ea,,pt~e lhi.~ sectio&(Dol lar amounl nol required excepl for honorar ia . )[~ (No reportable non-investment income.)ONE

DATE SOURCE AND TYPEI . V a r i o u s Pension and retiremen t plan pints -pension plans for benefit of retirees of Random H ouse, Inc.2.3 .4 .

I V. R E I M B U R S E M E N T S - , ,~ , ~ r ~ , ~ .( Includes I h o se t o s p o u s e and dependent chi ldren: see pp. 25- 27 of f il ing ir~tructionx.)[--~ (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE D A T E S LOCATION PURPOSEU n i v e r s i t y o f P e n n s y l v a n i a 10/ 29- 30 / 2009 P hila de lphia , P a . Le ctu re

ITEMS PAID OR PROVIDEDTravel, lodging, meals


3/14

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 14

N a m e o t Person R e p o r t i n ggaplan, Lewis A.

Dtte of Report0 8 /0 3 /20 1 1

~] N O N E (No reportable gifts.)SOURCE DESCRIPTION

I.2.3.4.5.

VALUE

V I . L I A B I L I T IE S . a . c ~ u a , ~ , h o , of ,~u,e and d epe~den t ch i ldr en: s e e p l ~ 32-33 of filing i n s t r u c t i o n s . )N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5 .

V A LU E C O D E


4/14

FINANCIAL DISCLOSURE REPORTPage 4 o f 14

N a m e o f P e r s o n R epor t ingK a p l a n , L e w i s A .

l~ t e of R epor t08103/2011

N O N E ( N o reportable income, a ssets, or transactions.)A. B. C. D.D e s c r i p t i o n o f A . s s e t s I nc ome d u r i ng Gr oss val u e a t t nd T r a n . . . . . . . . . m ~ i o n ~ d u r i n g relx~rting period

( inc luding t r t~ a s s e t s ) r epor t ing penu d of reposing period( 1 1 ( 2 ) O) (2} ( t ) ( 2 ) ( 3 ) ( 4 )

Place " (X) " a f te r each asse t A m o u n t Type (e.g, Va lu e Va lu e T y p e ( e . g - , D a t e Va lu e G a in Identity ofe x e m p t f: m m p r i ~ " d is c lo s m e C - . ~ e I div., rent, C o d e 2 Method lm y, se ll, m m/dd /yy C ode 2 C ode I buyer lse l l e r(A-H) o r i n t . ) ( l -P) C o d e 3 r e ~ k - m p t i o n ) (J-P) (A-H) (if private

( Q - W ) t r a n s a c t i o n )

I. C i t i b a n k a c c o u n t s A In te rest2. N Y S Pwr A Se t D 5 .875 10 ( E ) A In te rest3. N Y S P w r A S e t G P 5 . 5 1 0 ( E ) A In te rest4. N Y S Pwr A Se r F 5 .5 10 A In te rest5. M u n Inv T ru s t Se t AN Y A In te rest6. P W 1 9 8 6 E E S l i r a pm N o n e7. H a n d) , P la ce In ve st P a r t N on e8. N Y S M CF F A 5 . 1 25 1 2 B In te rest9. C o m m a c k U F SD 4 . 37 5 1 3 C In t e re s t

1 0 . N Y ST wy 5 .12 5 13 C In t e re s tI I. NY Tran a t MTA 5.2 10 C I n t e r es t1 2 . N Y S E nv Fa c 5 .12 5 I I B In t e re s t1 3 . N Y S D o r m 5 . 1 2 5 I I B In t e re s t1 4 . N Y S D o r m 5 . 1 1 2 ( E ) B In t e re s t1 5 . N Y S E n v F a c 4 . 5 5 1 3 B In t e re s t

1 6 . N Y S E n v F a c 4 . 9 5 1 7 C In te rest1 7 . N Y C T m n s 5 . 0 1 9 B In te rest

J W

J W

J T

K T

L T

L T

L T

K T

N o n e 01/ 04 / 10 J AR e d e e m e d 01104/10 J AR e d e e m e d 01/04110 J A

Sold 0 2 / 1 7 / 1 0 J A

R e d e e m e d I 1/01/101 J AR e d e e m e d 06 / 01/ 10 M AR e d e e m e d 04 / 01/ 10 M B

Sold 0 1 1 0 4 1 1 0 L ARedeemed 1 0 / 2 8 / I 0 J A( p a r t )R e d e e m e d 09/07110 K AR e d e e m e d 09 / 2 3/ 10 K A

I . I n c on ~ G a in C o d e s: A =$1 .0 ~ O ~ I c ss B =$ 1 .0 0 1 - $ 2 .5 0 0 C = $2 .5 0 1 -

}. Val~ M~ ~s O =A~ R ~o~ (R~ ~te ~ly) S -A~I T ~ ~d(~~) O -~k V~ V ~ W

E = $ 1 5 , 0 0 1 - I 5 0 , O 0 0


5/14


N a m e o f P e r s o n R e p o t ti n gKaplan , Lew i s A.

Date of R e p o r t08/03/2011

VII. INVESTMENTS and TRUSTS~ (No reportable income, assets .ONE

A. B. C.l K-~npt ion of As. ,~Is Income dur ing Gro~ va lue a t end(including trust ~) ~ng ~ of~ ~

(t) (2) (t) (2)Pla~ "(X)" after ~ ~ A~I T~ (e.g, V~ Vdu

ex~ f~m ~ di~l~mc C~ I div., ~ ~ 2 M~~ A - H ) o r i n t . ) O - P ) ~ 3Type (e g.,Ixq, sell,

T r a n s a c t i o n s d u r i n g ~ p o n i n g period

(2) (3) 14) (5 )D a t e V a ~ u e G a i n [ d e n t i ~ y o f

mm/dd/yy C o d e 2 C o de I b u y e f f s e l k a "( J - P ) (A-H) (if p~vate

t r a n s a c t i o n )

1 8 . Gr eece CSD 4.5 17 B i I n t e r e s t19. NYC4.375 II (E) C Int~e st M

Sold 06/25110 M

20. M TA 5 .0 23 C I n t e r e s t M T2 1 . G ECC4.75 13 D I n m r e s t M T22. NYCSer/4.625 18 C ln~r~t M T

2 3. N Y S D o rm 5 . 0 1 9 (m u i r . i ss ue s)24 . MrA4.75 26

D

D

In te rest MIn te rest N

T

T

25 . L o n g I s l a n d P w r 4.75 24

26 . N Y S D o r m 4 . 7 5 2 5

27 . B a n k A m e r 4 . 6 5 1 2

CB

B

I n t e r e s t MI n t e r es t J

l n t c r e s t

T

T

Sold 12s15/10 K

2 8. P o rt A ut h N Y &N J 4 .2 1 9 (E )29 . JP M o rga n Ch a s e a c c t s (S )30 . N Y L if e whole l i f e p ol ic i e s31 . U l s t e r Co 4 . 25 2 1

B I n t e r e s t

A I n t e r e s tA DividendC I n t e r e s t

K

K

LL

TTTT

32 . N Y S D o r m 4 . 0 1 9 ( E )

33. NewYorkNYSerN4.0 17(S)34. M i n i s i n k C S D 4 . 0 1 2 ( S )

B

C

I n t e r e s t

I n t e r e s tI n t e r e s t

L

KK

T

TT

Sold(p~t) 01114110 L C

I. I n co m e G a i n($~ Columns BI and D4)

2. Value(~= Co lumns CI ~ D3)

3. Va[~ Me~ ~(~ ~ C2).

B=$1.001 - $2.500G- $ 10 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0K =It :L001 - $5 0 . 0 0 0O--$500.001 - $1.000,000R = ~ : o ~ t ( R e J J E ~ . a ~ O ~ l y )V = O t h e ~

C =$2,50! - $ 5 , 0 0 0H I = $ I , 0 0 0 . 0 0 1 - $ ~ , . 0 0 0 , 0 ~ 0L = $ 5 0 , 0 0 1 - $ 1 0 0 . O O 0PI = $ 1 , 0 0 0 , 0 0 1 - $5,000,000P4 :More d~W =E~imat~l

D ~ $ 5 , 0 0 1 - $15,0001 1 2 - - M o o t ~ h a n $ 5 , 0 0 0 . 0 0 0M = $ I 0 0 . ~ I -I 2 = $ 5 . 0 0 0 . 0 0 1 . $ 2 5 . 0 0 9 , 0 0 0

T =~h Market

E $ 1 5 . 0 0 | - $ 5 0 , 0 0 0


6/14


D a t e of R e p o r t0 8 / 0 3 / 2 0 1 !

A. O . C. D.Description of ~ I nc ome d u r i ng G r o s s v a l u e a t ~ Trartsact iogs during report ing period( i n c l u d i n g ~ ~ s . s e ~ ) ~ - . p o r t i n g p ~ - i o d of report ing period

( l } ~ 2 ) ( 1 ) ( 2 ) O) ( 2 } O ) ( 4 )P l a c e " ( X ) " a f t e r ~ c h ~ A mo unt T y p ~ ( e .g . , Value Value Type (e.g., D a t e Va lu e G a in I d e n t i t y o f

exempt f ro m pr im di~: loxure Co&: I div., rent, C o ~ : 2 Method buy, sell , m m /d d/yy C od e 2 C o d e I bu yer /sel l er(A-H) o r in t . ) ( J - P ) C ode 3 rede m ption ) 0 - P ) (A-H) (ifpriwate(Q-W) tramact io n)

35 . W a y n e C S D 4 . 0 2 0 ( S )

36 . B r o o k h a v e n C S D ( S )

37 . H S B C F i n C o t p 4 .6 5 1 0 ( S )

38 . G E C C 5 . 0 1 6 ( S)

39 . N Y S D o r m 4 . 0 1 9 ( S )

40 . Nat ional Union Bank of [ loca l i ty ]

41 . N ~ w Y o r k N Y I D A 4 . 0 1 7 ( S )

42 . C l a r k s t o w n 4 . 2 5 2 0 ( E )

43 . N Y S I ~ n n 5 . 0 2 4 (E)

44 . N Y C 5 . 0 2 1 ( E )

45 . P o r t A u t h 4 . 7 5 3 2

46 . N Y S T w y 3 . 5 1 8

47 . N Y S T w y 4 . 5 2 8

48 . N Y S D o r m 5 . 0 2 4

49 . S o m h w e s t B k o f S t L o u i s C D

50 . M & I M a r s h a l l & I s l e y 5 . 1 5 1 85 1. M & I B a n k S . 1 5 1 8

In te res t K Tln t . /Div . K T

In te res t

I n t e r e s t K T

In te res t K T

ln t . /Div . J TIn te res t K T

In te res t K T

In t3Div .

I n t J D i v . K T

in t . /Div . L T

ln t . /Div . L T

In t . /Div. L T

in t . /Div . " "

In t . /Div.

In t . /Div.In t3Div.

Sold 04115110 K

Redeemed 09101110 K A

R e d e e m e d 01/25/10 K A

R e d e e m e d 03/08/10 M A

R e d e e m e d 07/12/10 M AR e d e e m e d 07/12/10 L A

E ~ $ 1 5 . 0 O I - $ 5 0 . 0 0 0


7/14

FINANCIAL DISCLOSURE REPORTPage 7 of 14

Date of R e p ~ r ~08/ 03/ 2 011

N O N E ( N o reportable income, assets, or transactions.)A. B. C. D.13~criptio~ of As.~ts Inco me din rag G ross va lue a t end Transact ions dunng report ing p ~ r i o d

( i n c l u d i n g t r t ~ a x s ~ ) ~ - p o r t i n g p ~ - i o d o f t ~ p o r t i n g p e r i o d(11 (2) (t) (2) O) (2) (31 (4) ( 5 )

P l a c e " ( X } " a f t e r e a c h a s . s ~ A m o u n t Type (.g, Value Value T y p ~ ( e . g . , D a t e Vakt~ G a i n Identily ofe x e m p t f r o m i x io r d t . s c lo s m ~ C o d e I div., rent. C o d e 2 Method buy, sell , m m /d diyy C ode 2 C od e I buyt-r/se ller(A-H) o r l n l } { l - P ) C o d e 3 redemptio n) ( J - P ) (A-H) { i f p r i v a t e

( Q - W ) w ansactmn)

52 . M & I M a rs h a l l & l s l e y 5 . 25 1 8 A lnt . /Div. R e d e e m e d 03/22/10 K5 3. B ra nch B &T 5 .5 16 C In t . /Div. R e d e e m e d 08/ 06 / 10 L5 4. Discove r B a nk 3 .4 I I ( S) B Int_/Div. K T5 5 . S ou t hw e st Bk o f S t L 5 . 2 18 ( S} B In t . /Div. Sold 0 7/30 /10 K5 6. I P M o r g a n C h a s e ( I R A ) A In t . /Div. N T5 7. P i m o F ds T ot al R e t ur n E Distribution O T5 8. JP M o rga n Ta x F re e M o n e y M k t (E) A In t e re s t 3 T5 9 . N Y C T r a m F i n 5 . 2 5 1 2 (E ) B In te rest K T60 . U n a d i l l a N Y 4 . 0 1 3 ( E ) A In te rest K T61 . Is l ip N Y 5 .0 14 ( E ) B I n t e r es t K T62 . N a ssa u C o. N Y 4 .0 14 ( E ) A In te rest K T63 . Pe r in ton N Y 3.2 5 15 ( E ) A In te rest K T64 . I t h a c a N Y 4 . 0 1 6 ( E ) A Interes t K T Bu y 01/15/10 K65 . J P M org a n T re a s Ag y Fd A Distribut ion K T66 . J P M org a n St ra t e g ic Inc Fd D Distribut ion O T

67 . JP M o rga n In t l Cur re n c y F d B Distribut ion M T Bu y 03/ 2 6 / 10 L68 . JP M o rga n U S Eq ui t y F d B Distribut ion M T Bu y 03/ 2 5/ 10 K( add l )

A

A

I . In com e G a in C ode s: A -$1.0 0 0 m I $s B =$1.0 0 1 - 5 2 .5 0 0 C =$2.501 - $5 .000 D =$5,001 - $15.000( S~ ~ - , ~ l u mn $ 1 31 z MD4 ) F =$50,001 - $1(X),000 G = $ 1 0 O , ( X ) I - $ 1 ,0 O O , 0 O O I l l ~ l ; I . 0 ( } O . 0 0 1 - $5 . 0 0 0 , 0 0 ~ 1 1 2 = M o r ~ t h a n $ 5 , IX } Q , 0 0 0

2. Vzlt~ ~ J - $ 1 5 .000 o I ~ K =$15.001 - $~0.0~O L - $ 5 0 , 0 0 1 - $ 1 0 0 , { X~ M =$ 10 0 . 0 0 1 . 1 2 5 0 . ( X) 0( S ~ C o l m ~ m s C I a n d D 3 ) N - $2 50 ,0 01 - $ 54 ~ ,0 ~0 O = $5 00 .0 01 - $ 1. 0~ 0, 00 0 P I = $ I . ( X ) O . 0 0 1 - $ ~ . 0 ( X ) . O 0 0 P 2 = $ 5 , 1 X ) 0 . 0 0 1 - $ 2 ~ . 0 0 0 , 0 0 0

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 , 0 ( ~ . 0 0 0 P 4 = M o n e t ~ m $ 5 0 . 0 0 0 , 0 0 03 . V a h ~ M ~ - l h o d C e d e s Q = A p p r a i s a l R ~ C o s l ( R e a l E s ~ I O n l y ) $ =~! T = 4 : a s h M a d ~ l

( S ~ e C o h n n n C 2 ) U =l ~ x ~ k Valu~ V =O~h~ W =Eu lma ~ l


8/14


N a m e o f P e r s o a R e p o r t in gKaplan , Lewis A.

Date of R e p o r t08/0312011

VII. INVESTM ENTS an d TRU STS - i. co . , , ~ . , , , , . . . .. , ( tnctud,s those o[ spouse and dcpenden t c h i l d r e n ; s e e p p . 34-60of f i l ing instruc t ions. )--] N O N E ( N o reportable income, assets, or transactions.)

D e s c . f il ~ i o n o f A s s e t s Income dur ing( inc luding t rus t ass~) ~ p o r t in g p e c i o dO)P l a c e " ( X ) " a ~ e r e a c h a s s e t A m o u n t Tylx : ( e .g .

e x e m p t f ro m p r io r disclosure Code I d i v . , r ~ n t ,( A - H ) o r i n t . )

G r o s s v a lu e a t e n dof repoaing period(el (21V a lu e Value

C o d e 2 M e th o d( J - P ) C o d e 3

T y p ~ ( e . g . ,re :d~npt ion)

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d(2) |3) (4) (5 )

D a t e V a /u Gain Identity ofn u n / d d / y y C o d e 2 Code I b u y e r l s e l k : a "

(J-P ) (A-H) { i f p r i v a t et r a n s a c t i o n )

6 9 .

7 0 .

7 1 .

J P M org a n Shor t Du ra t ion B d Fd D D i s t r i b u t i o n

N Y C S e t F - I 5 . 0 2 1 B Interes t

T Bu y 0 8/0 2/1 0 L( add l )Sold 10/18/10 L( p a n )

Redeemed 09/01/10 K

72 . JP M o r g a n b r o k e r a g e a c c t s A In te rest73 . JP M o rga n Ta x F re e M o n e y M k t A [nt./Div.74 . Sche ne c ta d y C o. N Y 2 .0 11 A In te rest75 . I tha ca N Y 4 .0 13 N o n e

NK

K

K

TTTT

K

76 . Is l ip NY 5.0 14 C In te rest7 7 . N a s s a u C o . N Y 4 . 0 1 4 A I n t e r es t

LK

TT

78 . P c r i n t o n N Y 3 . 25 1 5 A Interes t K79 . N iska yu na N Y 3.375 16 B Interes t K80 . D ut c h e s s Co . N Y 5 . 0 1 8 B I n t e r es t K81 . O r a n g e C o , N Y 4 . 2 5 1 9 B I n t e r es t K82 . J P M o r g a n C h a s e c h e c k i n g a c c o u n t A I n t e r es t J83 . J P M org a n T re a s & Ag e ncy Fd ; - : l A In t . /Div. K

84 . P h n c o F un ds To t a l Re t urn . ~7 ~ B Distribut ion L85 . J P M o r g a n S t r a te g i c I n c o m , , ~ C Distribut ion M

T

T

T

T

T

T

T

T

I . In c o me Ga i n C o d e s : A =$1.00~ or less B =$1,001 - $ 2 , 5 0 0 C =$2,$0 1 - $5 .0 0 0 D -$5 .0 0 1 - $15 ,0 0 0( S t : C o l u r ~ $ B I a ~ d D 4 ) F = $ . 5 0 , ~ 0 1 - $ 1 0 0 , O ( } O G = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 . 0 0 0 H I -$1 .000 ,001 - $5 , (~0 ,000 | t2 More th~ $5 .000 .000

2 . Vm lu~ C O ~S J = $ 1 ~ , 0 O O o ~ " I ~ s . ~ K ~$15 , 0 0 1 - $~0 , 0 0 0 L ~ $ 5 0 . 0 0 1 - $ 1 0 0 .0 O O M =$100,001 -(S~ Co~omns CI ~d D3) N ~ $ 2 5 0 , 0 0 1 - $ 5 0 ~ , 0 ~ ) O ~ , 5 0 0 . 0 0 t - $ I . 0 ~ 0 , 0 0 0 P I ~ S I , @ 0 Q , 0 0 1 - $ 5 . 0 0 0 , 0 ~ 0 P2 =$5,000.001 - $ 2 5 , 0 0 ~ . 0 ( X )

P 3 = $ 2 5 , 0 ( ~ , 0 0 1 - $ 5 0 . ( X ) 0 . 0 O O P 4 - M o ~ t h a a $ 5 0 , 0 0 0 , 0 0 03 . V a l u ~ M e t h o d C o d ~ s Q = A p p r a i s a l R ~ (Rt~l Eslase Only) S -Ass~s~u~t T ~ Market

( S ~ t C ~ u r a n C 2 ) U = B o o k V a l u ~ V = , ( ~ h ~ " W =Estar, a l t :d


9/14

FINANCIAL DISCLOSURE R EPORTPage 9 of 14

N a m e o f P e r s on R e p o rt in gK ap Lt~ Lewi s A .

Dat e o[ R e l ~ r t0 8 /0 3 /20 1 1

VI I . INVESTM ENTS and TRUSTS -[-~ (No reportable income, assets, or transactions.)O N E

D ~ , c r~ p t i o n o f A s s e t~ I n c o t r ~ d u r i n g( inc luding m~ assets) r ~ p o a i n g p e r i o d

P l a c e " ( X ) " a f l ~ " e a c h a s s e t All Type (eg.,e x e m p t f r o m l :n i o r d i s c lo s a t r e C U d I div., renk( A - H ) o r i n t . )

G r o s s v a l u e a t e n d T r a n s B c t i o ~ dur i n g ~ l x ~ i n g p~ i o do f r e I m r l in g p e r i o d11) (2) 11) (2) (3) (4) (5 )

Valu~ V a l u e Tyl x (e.g., D at e V a l u e G a i n I d e n t i t y o fC o d ~ 2 M e t ho d b u y , s ~ l l, m n ~ d d / ~ , C o d e 2 C O d e I buy ~/~l l e x( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) ( i f p r i v a t e

( Q - W ) trat~ction)

86 . J P M org a n In te rna t iona l Va lu e F u n d ~ _ ~ _

87 . JP Morgan US Equi ty Fund. . . ~ l .

88 . J P M o r g a n S h o r t D u r a t i o n B o n d F d ~i 89 . J P M org a n b roke ra g e a cc ts~ . .~

90 . . r P M o r g a n T a x F r e e M o n e y M a r k e t F d ~91 , S c h e n e c t a d y C o . N Y 2 . 0 i I ~92 . I t h a c a N Y 4 . 0 I ~ . ~93 . C la rks town N Y 3.5 12 ( S)94 . Pe r in ton N Y 3.2 5 13~ "~95 . Unadilla NY4,0 I~96 . N a s s a u C o . N Y 4 , 0 1 4 ~97 . A m C e n t u r y E q I n c F d98 .9 9 . A r t i o l n t l E q 1 1I 0 ~ . C a u s e w a y I n t V a l u eI 0 1 . E a t o n V a n c e S p l I n v T r u st102.

AB

AAAA

B

AA

A

D

B

A

B

Distr ibut ion

Dis tr ibut ion

Dist r ibut ion

In te res t

ln t . /Div.

In te res t

N o n e

In te res t

In te res t

In te res t

In te res t

Distr ibut ion

Dist r ibut ion

Distr ibut ion

Dis tr ibut ion

K

KK

M

LL

M

TT

TTTTTTT

T

TT

T

Bu y

Bu yBu y( a d d l )Bu yBu yBu y

Bu y( a d d l )

01/15 /101

01/22/1003/2 5/I 001/22/1001/28/1001/28110

03/27/10

K

L

LKK

L

L

D =$5.001 - $15.000M =.$1~0.1~1 - I150.000t " 2 =$ 5 . (X}0 . 0 0 1 - S2 5 . 0 . 0 ~ . ~T =Cash

E =$ 15 ,001 - $ 5 , 0 . 0 0 0


10/14

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 4

VII . IN VESTM EN TS and TRUSTS - i. ..... ~ u o , tran~rions (lnclud~ those of spouse and dependent children; see pp. 34-60 of fding insttuctiong)N O N E ( N o reportable income, assets, or transactions.)

Gro~ value at endo f ~--port ing(t) (2)Value ValueC o d e 2 M e th o d

( j -p) C o d e 3( Q - W )

(I)T y I ~ (e.g.,buy, s~ll,

T ~ c m m s ~ n:~rti~g txriod(z) (3) (4) (5 )

D ate V a l u e G a i n I d e n t i t y o fm m , d d / y y C o d e 2 C o d e I b u y e r / s e l l e a "

(J -p) (A-H) ( i f I~jv~tet ~ n s ~ c t i o n )

1 0 3 . J P Mo r gan I n t l Value B Distribut ion L1 0 4. J P Mo r gan H igh Yie ld Bo n d C Distribut ion M105.

10 6. J P Morgan Core Bond B Distribut ion M1 0 7 . F a l c o n e r C S D 4 . 0 1 5 C In te rest L1 0 8 . A l b a n y C o . 4 . 0 1 3 A In te rest L1 0 9 . F a l c o n e r C S D 4 . 7 5 2 0 B In te rest K110 . M a r ie t t a Ga 4 .0 16 B In te rest L11 I . N a ssa u C o. 5 .0 15 B In te rest L1 1 2 . P e m b r o k e C S D 4 . 0 2 0 C I n t e r es t M1 1 3 . S k a n e a t e l e s C S D 4 . 5 1 9 B [nteres t L1 1 4 . S t a r p o in t C S D 4 . 0 1 5 B In te rest L1 1 5 . C a u s e w a y I n t l V a l u e ~ A Distribut ion K

Eaton Vance Sp In v Trust! .. -] ) . A Distribut ion L1 6 .117.

I 1 8 . I P M o r g a n I n t l C u r r e n c y , S ] A Distribut ion K1 1 9 . A r t i o l n t l E q I ! ~ A Distribut ion K

T Bu y 01/ 2 6 / 10 KT Bu y 08/ 02 / I 0 K

Bu y 10/18/10 L( add l )

T Bu y 08/ 03/ 10 LT Bu y 01/27/10 LT Bu y 07/ 2 8/ 10 LT Bu y 01/27/10 KT Bu y 101I l l /10 LT Bu y 106/21/10 LT Buy 04/29!10 MT Bu y 05/I 1/10 LT Bu y 06/23110 LT Bu y 01/28/10 : JT Bu y 01/26/10 [ K

Bu y 04 / 05 / 10 K( a d d l )T Bu y 0 3 /3 1 / I 0 KT Bu y 01/2 2 / I0 J

I . I n c o m ~ G a i n C o d e s : A = 1 1 . 0 0 0 o r l e f t B =$1.001 . $1~ C =$Z~I - $5,~ O -$5,~1 - $15.~

2. Val~ ~ I ~15,~ ~ less K

E -$ 15 ,1 )01


11/14


Date of Report08/03/2011

V I I. I N V E S T M E N T S a n d T R U S T S -inc~me~a~ue~transac6~ns~7nclud~th~se~f~p~u$eanddependentchildren:s~epp.34-6~f~ingins~ruc~i~n~.)NO NE ( No reportable income, czvsets, or transactions.)

Type (e.g.,b u y ,

T r a n s a c ~ o n s d u r i n g n = p o r t i n g p e r i o d(2) (3) (4) (5 )

D ate V a l u e G a i n I d e n t i t y o fm m / d d / y y C o d ~ 2 Code I b u y ~ / s ~ l t e r

(J-P) ( A - H ) (iflmvate~nsaction)

120. JP Morgan High Yield Bond~_~1 2 1 . A m C e n t uO, E q I n F d ~122.123. J P M o r g a n C o r e B o n d ~ - - ~ ) ,1 2 4 . E l l e n v i l l e C S D 4 . 0 1 6 3125. Fa lcone r C SD 4 .7.51 2 6 . l t a w a i i 4 . 0127. NYSTwy2.5 IID1 2 8 . O - z a rk M o 4 . 0 1 8 ~ ~ . -~ l . .129. Por t Je f fe rson 3.51 3 0 . R o c k T P o i n t C S D 4 . 0 1 6 ~ - - ]1 3 1 . Thr e e V i l l a g e C S D 3 . 0 1 31 3 2 . N e w Me x i c o 4 . 0 1 8 ( E )1 3 3 . I le w l e t t W o o d m e r e 4 . 0 2 0 ( E )134. Riverhcad 4.0 18 (E)

1 3 5 . R o c k ) P o i n t C S D 4 . 0 1 6 ( E )136. Alpine U[ 4.0 13 (E)

A Distribut ion KB Distribut ion L

A Distribut ion KA I n t e r e s t K

B I n t e r e s t K

A I n t e r es t KA I n t e r e s t K

A I n t e r es t KA I n t e r es t KA i n t e re s t KA I n t e r e s t K

A In t e re s t KA In te rest KA In te rest K

A In te rest KA I n t e r es t K

T Bu yT Bu y

Bu y( a d d l )

T Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu yT Bu y

T Bu yT Bu y

08/ 03/ 10 J01/ 2 2 / 10 K03/31/10 K08/ 03!10 K02/17/10 K01/ 2 7/ 10 K02/18/10 K01/llll0 K0 4 1 0 8 1 1 o K02/18/10 K01/27/10 K0 1 ~ 7 / 1 0 K02 / 03/ I 0 K0 9! 1 3 /1 0 K09/13110 K

01/27/10 K01/27/10 K

1. I n com e G ain C odes :( S ~ C e l m ~ t s B I a ~ d D 4 )( 5 ~ C o h l ms t s C I a n d D3 )

]. Value M~ ~

B -$ 1.001 - $ 2 . 5 0 ~G ~|100.001 -g = $1L 0 0 1 - $ . ~ ) . ~0O , ~$5 0 0 . 0 0 1 -R = C o s ~ IRr~ l ~ On l y )

(2 =$2.5~1 -Ill - - - $ l . O ~ O . O O l .L = $5 0 . 0 0 1 - $10 0 . 0 0 0PI - ~ 1 . 0 0 0 , 0 0 1 -

W ~ E s ~ m ~ a t ~ l

H 2 ~ M o ~ ~ a nM ~ 100 , ( ] 01 -P2 - $ 3 . 0 0 0 . 0 0 1 . $ 2 L 0 0 0 , 0 ~T = < Z a s h M a r k et

E - - - $ 1 5 . 0 ~ 1 $50.000


12/14

FINANCIAL DISCLOSURE REPORTPa g e 12 o f 1 4

Person Rt~orl iagI~pl~, L~wis A.

N O N E (No reportable income, assets, or transactions.)A. B. C. D.D ~ , c ri p l io n o f A s s ~ t ~ In com e durin g G r oss value a l e n d Trartsact ions durmg report ing period

( i n c l u d i n g ~ assets) report ing period of r~wtm g p~r iod{I ) ( 2 ) O) (2) O) (2) ~3) (4) ( 5 )

P l a c e " ( X ) " a f t e r e a c h a s r ~ t A m o u n t T ) T ~ ( e .g . , Value Va lu e Ty~ (e .g ., D a t e Value G ain Ident i ty ofexenkot f rom ~ dLsclo~ta~ C o d e I div. , renL C ode 2 Me thod buy, se ll , a m /r id/y) C o d e 2 C ode I buy~ r /se lle r(A-H) o r i n L ) ( . I - P 1 C od e 3 red em ption ) (J-P ) IA-H) (if private

(Q-W) t r a n s a c t i o n )

1 3 7 . D a ll a s Tx C o m a C o l l 4 . 0 1 7 A In te rest K T Buy 02/25/I 01 3 8 . W a l l k i l l 3 . 5 1 7 N one K T Bu y 01/ 2 1/ 10!1 3 9 . N Y S D o r m 4 . 5 1 5 N one L T Buy 0 6 / 1 5 / 1 01 4 0 . N o . C o l o n i e C S D 4 . 0 1 2 N one K T Bu y 11/22/10

K

K

LK

141.


13/14

FINANCIAL DISCLOSURE REPORTPage 13 o f ! 4

N~ne of Per~n Report ingK a p l a r ~ Levi5 A.

D ~ t e o f R e p o r t08/03r2011

VIII . ADDITIONAL INFORM ATION OR EXPLANATIONS.I . {E) de s ignates assets held as tTUSt~e~ . . . .. . ............ ..... .~.~]2 . P a r t V I I , l i n e 4 0- n a m e o f Io ~:a l i t y o m i t t e d fo r s e c ur it y r e a s o n s3 . I n c o m e f o r 1 9 8 6 E E S a n d I l a n d y P l a c e p a r t n e ~ s h i ps e q u a l s d i s tr i b u t i on s


14/14


Date of Repor t0 8 / 0 3 / 2 0 ! I

IX. CERTIFICATION.I c e r t i f y t ha t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u se a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t r u e , a n d c e m p l e t e t o th e b e ~ o f m y k n o v d e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r te d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t or yp r o v i si o n s p e r m i t t i n g n o n - d i s c l os u r e .! f u r t he r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f~ w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e ~ i t h t h e p r o v i s i o n s o [5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

S i g na t u r e _ _

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A L L S TO F I L E T H I S R E P O R T M A Y B E S U BJ E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Comm ittee on Financial DisclosureAdminis trat ive Off ice of the United States CourtsSuite 2-301One Columbus Circle, N.E.W a s h in g t o n , D . C . 2 0 5 4 4

lewis a kaplan financial disclosure report for 2010

Documents