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SELF INITIATED

AMENDMENT

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK Daniel Patrick Moynihan United States Courthouse 500 Pearl Street New York, New York 10007
Lewis A. Kaplan District Judge

August 7, 2010

~..- ~.~

~ . ~..~

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 Ladies and Gentlemen:

-~ v~1 _

Enclosed are the original and three copies of my 2009 financial disclosure report. I wish also by this letter to amend my 2008 report by adding two new lines to Part VII:
B A (1) Fifth Third Bank 1.4 09 CD NYC Ser F-1 5.0 21 (2) None None (1) L L (2) T T (1) Buy Buy (2) 12-24 11-26 L L (3) C D

Ao 10
mOW

[
[

FINANCIAL DISCLOSURE REPORT


FOR CALENDAR YEAR 2009
2. Court or Organization U.S. Distxict Court, S,D.N.Y. 5a, Report Type (check appropriate type)

ncport Required by the Ethics


in Government Act of 1978

(S u.S.C, am. to~-nl)


3. Date of Report 08/07/2010 6. Reporting Period

. Person Reporting (l~st name, firs% middle initial) Kaplan, Lewis A. 4. Title (ArticI II[ judges indicate active or ~nior status; magistrate judges indicate full- or parl-time) United StatesDistrietJudge

[]

Nomination,

Date [] A~nual [] Final

01/01/2009
to 12/31/2009

[] Initial

5b. [~ Amended Report 7. Chambers or Ofliee Addr~s U.S. Couxthouse 500 Pearl Street New York, NY I(RYO7 8. On the basis of the information contained in tliia Report and any modifications pertaining thereto, |t is. in my opinion, in compliance vdtli applicable laws and regnlations. Reviewing Officer-Date

IMPORTANT NOTES: the im*ructions accompan),ing this form must be followed Complae all parts,
checking the NONE box for each part where you have no reportable information. Sign on lastpag~

NONE (No reportable POSITION N~IE OF ORGAN~ATION~NTITY


lt~dy Place Investment P~ership

1.

P~n~

4.

C~

11. AGREEMENTS. (R~r~ng


NONE ~o reportable agreements.) PXRTmS ,~ TE~S
1.

FINANCIAL DISCLOSURE REPORT ] Name ofre~o Repo~g I Kaplan, Lewis A. [ Page 2 of 1 5


IlL NON-INVESTMENT INCOME. ~,~.g i.~l~.~
A. Fliers Non-Investment Income
NONE ~o reportable non-investment income.) ~AT~
1. I 1/09 2. 3. 4.

08/07/2010

SO~C~ A~ ~PE
U~v. of P~ylv~a l~ti~te of~w ~d Economics, lecture/teaching

~CO~ ~o~, not s~nses)


$5.~.~

B. Spouses No~-I~ v~st~l~l 1~0~ - If you ~ m~td du~ng ~y go~on of the ~po~ng year, complete th~ sectio~ (Dollar amount not required except for honoraria ) ~ NONE (No repo~able non-inves~ent income.) DATE 1. v~io~ 2. 3. 4. SOURCE A~ TYPE Pension ~d relir~en~ plan ~s -pe~on plans for behest of retirees o[ ~dom Ho~kse, Inc.

IV. REIMBURSEMENTS ...... ~,rt~,~o ~odg..g.~. e.,~,~ .... ~


(Ineludes those to .pou.~e and dependent children: see pp. 25-27 offiling inatru~:tions.) [~ NONE (No reportable reimbursements.) ~;OURC, E 1. 2. FedLwal Bar Councd Widener University School of Law American Bar Assoe.ialion National Assn of Criminal Defense Lawyers Univ. of Pennsylvania Institute of Law and Economics ()pen Skies DATES 2/14-2 I/I)9 3/13-15/09 LOCATION Cabo San Lucas, Mexico Wilmington, DE PURPOSE Professional meeting Lecutre and moot courl ITEMS [)AID OR PROVIDED Travel, f~d, lodging Travel, food, lodging

3. 4.

3124-25/09 8/7/09

Washington, I~ Boston, MA

Professional meeting Professional meeting

Travel, food, lodging Food, lodging

5.

10/29-30/09

Philadelphia, PA

Lecture/teaching

Travel, food, lodging

6.

11/26-12/4/09

Paris, France

Personal

Air travel won by

in promotion

FINANCIAL DISCLOSURE REPORT


Page 3 of 1 5

Name of P .... eporting R

Date ol Repott

r~p~., Lewis A.

08/07/2010

NONE (No reportable g~s


SOURCE DESC~PTION

t. 2. 3. 4. 5.

[~

NONE (No reportable liabilities.)


CP, EDITOR DESCRIPTION VALUE CODE

I. 2.

3.
4. 5.

Name of Person ReporEug

Date of Report

FINANCIALpage 4 of 15 DISCLOSURE REPORT [ gutplan, Lewis A. VII. INVESTMEN TS and TRUSTS ~ ~ NO~ ~o repo~able income, ~sets, or ~ansac~o~.) ~pnon of A~cts (inching ~t ~mLs) ln~e se~ng cx~pl~mpfiordimlos~
,

08/07/2010

~.................................................................~ ..........~ .................................................. ....................................... DT

~C~I [
]{A-H) ~j

d~v. ~
orint.)

Ct~2
(J4~)

~; Met~
C~3

buy, ml$,
rede~ption)

l)~e ~ V~ G~a m~y~C~2 ~C~} ~: (I-P) ~ (A-H) ]

Identity of buy~J~ller (ifpfivate

I, 2. 3. 4. 5. 6. 7. 8. 9. 10. 1 !. 12. 13. 14. 15. 16. !7.

Citibat~ accoun~ ~S ~ A Ser D 5.875 10~) NYS Pwr A Set GP 53 10(E) ~S ~r A Set F 53 10 Mun Inv Trust Set ANY PW 1986 EES lira pm H~mdy Place Invest Part NS MCFFA 51125 12 Tfiboro BTA 4.5 ! 3 (E) Puerto Rico MFA 5.5 09 0~) NYS l.~rm 5.125 11 (E) . Tdbom BTA 4.75 16 NYC Mun Wtr 4.9 13 Commack I.)FSD 4.375 13 NYSTwy5.125 13 So Glens Falls (:SD 5.25 14 NY ]ranat MTA 5.2 tO

A A A A A

l~terest Int~est Interest Interest Int~est None None

~ J J J J J J K

T T T T T W W T None None Redeemed (pan) Sold Sold 1 I,12/09 07/01/09 08/03/09 J K K A A A None Redeemed Redeemed 01/02/09 )1/02/09 ~ J J A A

B B B C A B D D B D

Interest Interest Interest Interest lnteres! Intcrest lnteres! Interest Interest Interest

I.

None Redeemed Redeemed 07/01/09 12/15/09 K I, A A

M K

T T

None Redeemed (part) Redeemed 07/15/09 06/15/09 L L A A

None

FINANCIAL DISCLOSURE REPORT Page 5 of ! 5

] r~,.e of r.r~o, re~,,-n~ [ ~p~, L~w~ A.

[ Date of Re~,,~ 0S/0~/20~0 [

NONE ~o repo~able income, assets, or tragyac~o~.) ~iption of A~ts ~ In~e d~ng ~ value at

PI~ "(X)" after ~h ~s~t xm~ ~m prior di~l~u~

Amount ~ T~ (e.g., ~ C~ I ~ div, ~nt, ] (A-H).~ or int.)

Val~ C~e 2 04)

Vfl~ Mel~ C~3

Ty~ buy, ~tl, ~demption)

Vah~ ~d~~ [ (J-P)

Gmn ~A-H) ]

Identity ~ifpfivate

18. 19_ 20. 21. 22. 23. 24. ,25. 26. 27. 28. 29. 30. 3 I. 32. 33. 34.

~S E~v Fac 5.125 11 ~N ~ 5.125 I I NWS Dorm 5.1 12 (E) NYS Env Fac 4.55 13 NYS Env Fac 4.95 17 ML Bk/B&T RASP NYC Trans 5.0 19 Gre~ce CSD 4.5 17 NYC 4.375 II (E) MTA 5.0 23 GECC 4.75 13 Nat City Bk |ka Provident Bank 5.0 15 NYC Set J 4.625 18 NYS Dorm 5.0 19 (muh. issues) MTA 4.75 26 Lor~g Island Pwr 4.75 24 Nv~rs Donn 4.75 25

C C B B C A D C C C D B C B D C C

t~eres~ Int~es~ Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

K L K L L

T T T T T

R~ee~ed (P~) None None None None Closed Sold

07/15/09 L

05/26/09 J : 11110/09 i L A

M M M M

T T T T

None None None None Redeemed 03/03/09

M M N M J

T T T T T

None None None None Redeemed 10126/09 (part) L A

FINANCIAL DISCLOSURE REPORT [ Name of PersonL~ A. ~pIan, Reporting Page 6 of 1 5

Date of Report

08/07/20~0

NO~ ~0 ~portable income, assets, or wansacHons.) ~ i~ ~mg G~ value ~ end (1) } (2} ~ (I) Va ~ V~ 0-P) C(~ 3 Tractions dung m~ng ~ [ (2~ ~ ~3) l?~ate , V~ O-P) ~A-H) ~ t4) ~ Gain ] (ifpnvale (5) IdentiW of

Place "(X)" ~er each ~t exempt from prior di~l~re

~ (1) (2) : A~I ~ T~ (e g, (A-H) or ira.)

Type (e,g,,

~demption)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Western Ba~ Pue~o Rico Bank Amer 4.65 12 Capito! One Bk 4.75 t 0 Port Auth NY&NJ 4.2 19 (E) NYS Dorm 4.625 18 (E) JP Morgan Chase accts~ NY Life whole life policies ML CMA NY Mun Money ML CMA NY Mun Money~ Ulster Co 4.25 21 NYS Dorm 4.0 19 (E) ML CMA NY Mun Money~ ML Bank RASP~ New York NY Set N 4.05 17~ Minisink CSD 4.0 12~ Wayne CSD 4.0 20.~ Brookhaven CSD~77]

A B B D D A A A A C B A A C C B C

lnlercml Interest lnlcrest Interest Interest Interest Dividend Interest Interest Interest lnlcr~sl Dividend Interes! Interest Interest Interest Int./Div. M K K L T T T T L K T T K L T T K T K T

Redeemed None Sold Sold (part) Sold

03103/09

06/04/09 11 / 10109 12/16/09

M t. L

B A A

None Closed Closed None None Closed Closed None Sold Ipart) Sold (part) None 1 I/t6/09 I 1/16/09 L K A A 06/02/09 05/28/09 J J 05/22109 06/22/09 J J

FINANCIAL DISCLOSURE REPORT Page 7 of 1 5 VII. INVESTMENTS and TRUSTS - i


~

~e o~ P .... aepoal.g ~ap~a,, l,ewis A.

r,~,e of a~. 08/07/2010

........................................................................... . .................. ..........~ .......~ .................................................~ ................................ , ~.-~


~p~on of A~ts 1~ d~ng i Gm~s va~ at ~d ] T~io~ ~g ~ing ~ri~

NO~ (No r~o~able income, assets, or wansac~o~w)

! {A-H) ............ ~ ~: ........................ 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. iL-4_ 65. 66. 67. 68_ HSBC Fin Co~4.65 10~ GECC 5.0 16~ ~S Dorm 4.0 19;~ National Union Bank of [locality] New York NY IDA 4.0 17~ Clarkstown 4.25 20 (E) NYS Dorm 5.0 24 (E) NYC 5.021 (E) Port Auth4.75 32 NYS Twy 3.5 18 NYS Twy 4.5 28 NYS Dorm 5.0 24 ML l.JS Treas Mnney Fd Southwest Bk ofSl Lovis CD M&I Marshall & Isley 5.15 18 M&I Bank 5.15 18 M&I Marshall & Isley 5.25 18 B B C A B B B B C B C A A I) D C B Im~est Interest lnleresl Int.,q)iv. Interest Interest lnt.iDiv. lm,/Div. lnt./Div. lnt./Div. lnt./1Div. lnt,/Div. lnt./Div. lnt./l)iv. Int./Div. Int./Div. lnt./Div. M M L K T T T T K K L J L K K K M L L K ~ ...........~ .............. ~ .........! ............... [ .......................................... T T T T T T T T T T T T Closed 03/02/09 K None None None

FINANCIAL DISCLOSURE REPORT

Page 8 of 1 5
VII. INVESTMENTS and TRUSTS -

Kaplan, Lewis A. I

08/07/2010

NONE (No repomable income, assets, or transac~ogv.) A. ~cnpfion of A~ts : B. 1~o~ ~ng

e~g~p~ Eom prior di~losure

C~e I ~ div., rent, ~

~ C~ 2

Mefl~ ~ ~ (O-W) ......

buy, ~11,

~/~M/~ C~ 2 ~ C~ I ~ ............... 06/08/09 07/27/09 L L A A

buy~/~ller t .... tion)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

National City B~k 5.2 [ 8~ Branch B&T 5.5 19 Branch B&T 5.5 16 US Treas 0% 1/2/09 US Treas 0% 3/5/09 Pacific Capital Batzk CD Goldman Sachs Bank CD ML Bk/B&Ti~ US "lreaz 0% 1/22/09 Discover Bank 3.4 I 1 ~ New Frontier Bank 3.6 12~ M& I Bank 5.0 15~ Southwest Bk of St L 5.2 18~ Pacific Capital 1.6 09~ US Treas 0% 4.23.09

B B C

lnt~iv. Int.:if)iv. Int./Div. None None L T

Red~med Redeemed

Matured Matured Matured Redeemed Closed Matured K T Redeemed Redeemed K T Matured Buy Buy (addl)

01/02/09 03/05/09 02/24/09 03/24/09 05/28/09 01/22/09

O N M M J O

B A A A

A A A

Int./Div. Interest Interest None

A B A B A

Int./Div. Int./Div. Int./Div. Int./Div. Int./Div. None

04/20/09 01/29/09

L K

A A

02/24/09 03/24/09 03/26/09

M N M O A

Matured 04/23/09

FINANCIAL DISCLOSUREREPORT Page 9 of 15

Name of Person Reporting

Date of Report

og/o7/2o~o
I

] Wp~an, Le~ A.
VII. IN~ST~NTS and TRUSTS - .~o.~. ~,
NO~ ~ro reportable income, assets, or transactio~Q
l~pfion of A~ets ~ [~ during G~ ~lue

ex~p~ ~tm, prior di~losu~

C~ [ ~ (A-H)

d~ ......t, or ira.)

l C~ 2 (J-P)

~ Mct~ C~ 3

b~, ~ll, c~dempdon)

~ C~ 2 ] (J-P)

C~ I (A-H) ~

buyer/~lL~ (if private

86. 87. 88. 89. 90. 91. ~92. 93. 94. 95. 96. 97. 98. 99.

US Tre~ 0% ~. 14.09

None

Buy Buy (addl) Matured

0M3 U09 04109/09 05/14/09 04i20/09 05/28/09~ 05/27/09 07/02/09 ! [ (DI231091 112/29/09 10128109 12t10/09 12/29/09 11/10/09 12/I 5/09 12/17/09 12/29/09

O N PI 0 0 J M N N I. K K K K K K A [" A A

US Treas 0% 5.28.09

None

Buy Matured

JP Morgan Chase (IRA) Pimco Fds Tolal Return

A F

lnt./Div. Distribution

O O

T T

Open Buy Buy (addl) Sold

JP Morgan Tax Free Money Mkt (E) NYC Trans Fin 5.25 12 i"E) Unadilla NY 4,0 13 (E) lstip NY 5.0 14 (17,) Nassau Co. NY 4.0 f4 (E)

Int./Div. None None None None None None [

M K K K K K K

Y T T T T T T

Open Boy Buy Buy Buy Buy Buy

100. Perinton NY 3.25 15 (E) 10l. lthacaNY4.~ 16(E)

FINANCIAL DISCLOSURE REPORT

Page 1 0 of 1 5

Name of Person Repor~ng

Date of

08/07/201o

NO~ ~o reportable income, ~sets, or transac~og~.) ~hpnon of A~ts Place~(X)"afl~ch~qu:t [ nco~ d~ng A~m~ t~e.g., (A-H) ormt.) Gm~ value m ~md V~ [ Val~ ~ Type(e,g., (J-P) ~ C~3 ~emption) ~ ~l o~ d~ ng ~n ng [ Da~ [ ~/02/09 01/02/09 03/02/09 [ Valu~ Gain ~ O-P~ (A-H) [~mi~0f

103, 1~. US Tre~ 0% 4.2.09 105. 1 ~, 107. 108. US Tre~ 0% 4.9.09 t 09. 110. ~ Mo~ Tr~ A~ Fd 11 I. 112, 113. JP Morgan St~tegic Inc Fd 114. 115, JP Morg~ lntl (~ncy Fd 116. JP Morg~ US F~uiU Fd t 17. ~ Mor~ Sho~ ~rafion Bd Fd 118. Fi~ ~ird Bk 1.4 09 ~) 119. ~CS~F-I 5.021 A B A Dis~ibution Distfibulion None Int,~iv. None K T K M N T T T D Dis~bution O T C Dis~bufion None None

Redeemed Buy Buy (addl)

M 0 L

Buy 03/03/09 K (addl) Matured Buy Matured Buy Buy (addl) Sold Buy Buy (add3) Buy Buy Buy Redeemed fM/02/09 03/0~/09 ~/09/09 07/0~09 07/17/09 09/23/09 08/(~/09 09/23/09; 10/23/09 10i23/09 12/30/09 03/24/09 1 O N N N M O L N K M N L A B A A

FINANCIAL DISCLOSURE REPORT

{ Name 0fretful Reporting

Dale of

Page 1 1 of 1 5 VII. INVEST1VIENTS and TRUSTS - ~ .....

Kaplan, Lewis A,

08/07/2010 ]

~, tra~ga~dotts Ondud~ those of sl~gS a~d ~l~lt eh~ld~; Se.cpp. 34.-/a0 ofyiling

NONE ~o repo~able income, assets, or ~ansac~o~.) ~ipt~n of As~ts Income during ; (~ value a~ end T~fions ~g ~ing ~

~la~ ,(~,, ~x each as~l exempt ~m prior di~lo~

~ Amour ~ f~ ie.g., : (.:~ I ~ div., r~t. or int.) ~ (A-tl) ~ :; ~ A Interesl None None None N~me None None None None None A A Interest lnt./Div.

~ Val~ ~ C~ 2 ~ (J-P)

Val~ Meth~ C~3 (Q-W) T T T T T 1" T T T T T

Ty~ ~e.g., buy. ~], federation) "

~te [ Val~ ~ Gain t~d~ C~ 2 ~ C~e t {J-P) ~, (A-H) ~ 05~6/09 10/28109 12/30/~ ,1~29/09 11/10/09 12/15/09 12/17/09 1~31109 12/31/09 11/25/09 05/21109 01/02/09 ~/20/09 ~/02/09 05/14/09 07/02/09 08/03/09 J M K K L K K K K K J L 1.. L I. L K A A

tdenti~ of buy~ise~ler (if private t~an~ction)

120. JP Morg~ brok~age a~ts 121. ~ Morg~ Tax Free Money Mkt 122. Sc~dy Co. ~ 2.0 11 "123. lflmca NY 4.0 13

O M K K L K K K K K J

~n O~n Buy Buy Buy Buy Buy Buy Buy Buy ~en Buy Redeemed

124. IslipNY5.0 14 125. Nassau Co. ~ 4.0 14 126. Per~ton~3.25 15 ~ 127. Niska~na NY 3.375 16 ~ 128. ~tehess Co. ~ 5.0 18 129, ~nge Co. NY 4.25 19 130. ~ Morg~ Ch~e checking accoun~ 13!. ~imingtonT~s~ 1.1 09~ 132. 133. US Tr~ ~/, 5/14/09 ~ 134. 135. JP Morg~ Tre~ & Agency }:d~ 136. B

None

Buy Ma~ed

Int.~iv.

Buy Buy

FINANCIAL DISCLOSURE REPORT

Name of Per"~n Reporting [ Kaplall, Lewis A.

Da~e of Report

Page 1 2 of 15

o8/o712OlO

HONE (No reportable income, assets, or transactions.)


Des~mption of Assets (including tru~ a.ssets~ ! ! |ncome during reportiag peritxt [ ] Gross value aI end of reporting period ,,atue Code2 (.I-P) ! Va|tm Method i i Code 3 i i Type(eg., buysel!, mdem~ on) "lrm~sactions dunng reporling period

Place (X)aflereaehasset exemptfiompriordisclosuce !

Anmum~ Type(e.g., Co~lel [ div.,mnt, ! ~A-H) ! orint.)

Date rmrdadi.vy

VMu I Gau Code2 [Code| 0-P) {A-H)

I [

Ident~tyof buyer!s~ller (fprivatc

137.
138.

Buy
(addl) Sold

08/05/09
09/03/09

L
M

(part) 139. Colonial Bank 0,65 09~ 140.


14t. US T~eas 0% 3/26/09~ 142. "143. US Treas 0% 4~3/09 ~ 144. 145. US Treas 05 5/28/09~ 146. 147. Pimo Funds Total Rerurn~ 148. 149. JP l~torgan Scr~lgi lrtcomc ~ 150 151. JP Morgan International Va~uc Fund~ 152. JP Morgan US Equity Fund A A Distribution Distribution None ~..~153. 2P Mrgan Short Dura|ion Bond Fd ~/ ........... J K J ~ 1 "I" T bl Distribution M T C Distribution 1, T None None None

lntfDiv.

Buy Redeemed
Buy Matured Buy Matured Buy Matured Buy Sold (part) t~uy Buy

02/11/09 0.5/! 1/09


!02/11/09i i 03/26/09 03/26/09 04/23/09 04/23/09 05/28/09 07/02/09 12/30/09 08/05/09 09/23/09 10/28/09 t0/28/09 12/30/09

K K
M M M M M M L J K M J K J A A A A

(addl)
Buy Buy Buy

FINANCIAL DISCLOSURE REPORT Page 1 3 of 1 5

N~*,e Of Persoll R~l~rting

D~t~ o[R~port

] Kaplan, Lewis A.

08/07,2010

NO~ ~o reportable income, m~sets, or ~ansacaom.) ~ Income duhng

[~ption of A~IS

Om~ v~ue al ~d (2) VM~ Meth~ C~3

Tr~fions duhng ~ing (I) (2) [ (3) (4) "I~ (e.g., Date Vahm ~ Gain buy,~ll, ,n~d~ C~2 ~ C~ I ~e~lion) O-P) ~ (A-H) (5) Identi~ of buyeri~ller (ifpfivate

Pla~ "(X)" ~er e~h ~t ex~plffomp~ordi~los~

~ (i~ [ ...... (~-- -~~ .... l Amour ~ Ty~ (e.g., V~t~ ~ C~ I [ div.,r~ C~2 orint.) 0-P) i (A-H) ~

154. ~ Morgan brokerage acc~ 155. ~ Morgan Tax Fr~ M~,ney Market Fd~ 156. Sch~tady Co. NY 2.0 11 ~. "~57. Ithaca NY 4.0 12~ 158. Clar~to~ NY 3. ::~

Inleres~ None None None None None None None

M K K K K K K K

T T T T T T T T

O~n Open Buy Buy Buy Buy Buy Buy

05118/09 !0/31/09 t2130/~ 1~29/~ 12/21/09 12/17/09 12/31/09 12/15/09

K K K K K K K K

159. Pe~nton~3.25 13~ 160. UnadiOa~4.0 1~ 161. N~u Co. ~ 4.0 14 I62.

FINANCIAL DISCLOSURE REPORT Page 1 4 of 1 5

~p~a., L~,~is A.

0S/07rZ010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


1. (E) d~ignates assets held as trus~e u!w/o i::?:~i~]

2. Part VII, line 55 - name of ~ocality omilled for security reasons 3. Income fi~r 1986 EES aad Handy Pla~e partnerships equals distributions

FINANCIALDISCLOSURE REPORT Page 15 of 15 IX. CERTIFICATION.

Name of Person Reporting

Date of Report 08/07/2010

[ Kapla~, Lewis A.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief~ and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the pro~sions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGIoY AND WILI~ULLY FALSIFIES OR FAILS TO FILE TH]S REPORT MAY BE SUBJECT TO CJVIL AND L~AMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle. N.E. Washington, D.C. 20544