Professional Documents
Culture Documents
I. Per~m Rel~rtin O,~a nam~ first, middle initial) Kaplan. Lewis A. 4. Tille (Anide Ill judge~ |ndkate ~ztive or ~onior stal~; mngisaale judg~ indic,ale full- or parvlim~) United States District Judge
Report Required by the Ethics in Government Act ofl978 (5 U.S. C. app. .~ I01-111)
[] Initial
[] Annual
[] Final
7. Chamlx-~ or Ol~e Addrt~s U.S. Courthouse 500 Pearl Street New York, NY 10007
Reviewing Officer
Date
IMPORTANT NOTES: 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 information. Sign on last pag,,
NAME OF ORGANIZATION/ENTITY
Handy Place Investment Partnership
3. 4. 5.
~]
DATE
Kaolan, Lewis A.
2. 3. 4.
B. Spouses Non-Investment Income - lf y~u were marriat d~ri,~g an),p~rd8, of ll~e rep~ra,,g .~ar, ea,,pt~e lhi.~ sectio&
(Dollar amounl nol required excepl for honoraria.)
[~
I. Various 2. 3. 4.
[--~
DATES 10/29-30/2009
PURPOSE Lecture
~]
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
Citibank accounts NYS Pwr A Set D 5.875 10 (E) NYS Pwr A Set GP 5.5 10(E) NYS Pwr A Ser F 5.5 10 Mun Inv Trust Set ANY PW 1986 EES lira pm Hand), Place Invest Part NYS MCFFA 5.125 12 Commack UFSD 4.375 13 NYSTwy 5.125 13 NY Tran at MTA 5.2 10 NYS Env Fac 5.125 I I NYS Dorm 5.125 II NYS Dorm 5.1 12 (E) NYS Env Fac4.55 13 NYS Env Fac 4.95 17 NYC Tmns 5.0 19
A A A A A
J J J J
A A A A
B C C C B B B B C B
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest
J M M L
J
A A B A
A
K L
T T
Redeemed
(part)
Redeemed Redeemed
09/07110 09/23/10
K K
A A
L L
K
T T
T
A =$1.0~O ~ Icss
B =$1.001 - $2.500
C =$2.501 -
E =$15,001 - I50,O00
}. Val~ M~ ~s (~ ~)
O =A~ O -~k V~
S -A~I W
T ~ ~d
C. Gro~ value at end of~ ~ (t) V~ ~2 O-P) (2) Vdu M~ ~3 Type (e g., Ixq, sell,
(2) (3) 14) Date Va~ue Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
18.
B C
i Interest Int~est M
Sold
06/25110 M
C
D
Interest
Inmrest
M
M
T
T
GECC4.75 13
NYCSer/4.625 18
C D D C B B B A A C B C
ln~r~t Interest Interest Interest Interest lntcrest Interest Interest Dividend Interest
Interest Interest Interest
M M N M J
T T T T T Sold 12s15/10 K
Port Auth NY&NJ 4.2 19 (E) JP Morgan Chase accts (S) NY Life whole life policies Ulster Co 4.25 21
NYSDorm4.0 19(E) NewYorkNYSerN4.0 17(S) Minisink CSD4.0 12 (S)
K K L L
T T T T T T T Sold
01114110 L C
L K K
(p~t)
I. Income Gain ($~ Columns BI and D4) 2. Value (~= Columns CI ~ D3) 3. Va[~ Me~ ~ (~ ~ C2).
B =$1.001 - $2.500 G-$100.001 - $1.000.000 K =It:L001 - $50.000 O --$500.001 - $1.000,000 R =~:o~t (ReJJ E~.a~ O~ly) V =Othe~
C =$2,50! - $5,000 HI =$ I ,000.001 - $~,.000,0~0 L =$50,001 - $100.OO0 PI =$1,000,001 - $5,000,000 P4 :More d~ W =E~imat~l
D ~$5,001 - $15,000 112 --Moot ~han $5,000.000 M =$I00.~I I2 =$5.000.001 . $25.009,000 T =~h Market
E $15.00| - $50,000
A. Description of ~ (including ~ ~s.se~) Place "(X)" after ~ch ~ exempt from prim di~:loxure
(l}
Amount Co&: I (A-H)
~2)
Typ~ (e.g., div., rent, or int.)
(1)
Value Co~: 2 (J-P)
(2)
Value Method Code 3 (Q-W) T T
O)
Type (e.g., buy, sell, redemption)
(2}
Date mm/dd/yy
O)
Value Code 2 0-P)
(4)
Gain Code I (A-H) Identity of buyer/seller (ifpriwate tramaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Wayne CSD 4.0 20 (S) BrookhavenCSD(S) HSBC Fin Cotp4.65 10 (S) GECC 5.0 16(S) NYS Dorm 4.0 19 (S) National Union Bank of [locality] N~w York NY IDA 4.0 17(S) Clarkstown 4.25 20 (E) NYS I~nn 5.0 24 (E) NYC 5.0 21 (E) Port Auth4.75 32 NYSTwy3.5 18 NYS Twy4.5 28 NYS Dorm 5.0 24 Somhwest Bk of St Louis CD M&I Marshall & Isley 5.15 18 M&IBankS.15 18
Interest lnt./Div. Interest Interest Interest lnt./Div. Interest Interest Int3Div. IntJDiv. int./Div. lnt./Div. Int./Div. int./Div. Int./Div. Int./Div. Int3Div.
K K
Sold
K K J K K T T T T T
04115110 K
Redeemed 09101110 K
K L L L T T T T "" Redeemed Redeemed Redeemed Redeemed 01/25/10 03/08/10 07/12/10 07/12/10 K M M L
A A A A
E ~$15.0OI - $50.000
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
M&I Marshall & lsley 5.25 18 Branch B&T 5.5 16 Discover Bank 3.4 I I (S) Southwest Bk of St L 5.2 18 (S} IP Morgan Chase (IRA) Pimo Fds Total Return JP Morgan Tax Free Money Mkt (E) NYC Tram Fin 5.25 12 (E) Unadilla NY 4.0 13 (E) IslipNY 5.0 14 (E) Nassau Co. NY 4.0 14 (E) Perinton NY 3.25 15 (E) Ithaca NY4.0 16(E) JP Morgan Treas Agy Fd JP Morgan Strategic Inc Fd JP Morgan Intl Currency Fd JP Morgan US Equity Fd
A C B B A E A B A B A A A A D B B
lnt./Div. Int./Div. Int_/Div. Int./Div. Int./Div. Distribution Interest Interest Interest Interest Interest Interest Interest Distribution Distribution Distribution Distribution N O 3 K K K K K K K O M M T T T T T T T T T T T T T K T
Redeemed Redeemed
03/22/10 08/06/10
K L
A A
Sold
07/30/10
Buy
01/15/10
03/26/10 03/25/10
L K
I. Income Gain Codes: (S~ ~-,~lumn$131 zMD4) 2. Vzlt~ ~ (S~ Colm~ms CI and D3) 3. Vah~ M~-lhod Cedes (S~e Cohnnn C2)
A -$1.000 m I$s F =$50,001 - $1(X),000 J -$15.000 o I~ N -$250,001 - $54~,0~0 P3 =$25.000.001 - $50,0(~.000 Q =Appraisal U =l~x~k Valu~
B =$1.001 - 52.500 G =$10O,(X)I - $1,0OO,0OO K =$15.001 - $~0.0~O O =$500.001 - $1.0~0,000 R ~Cosl (Real Es~I Only) V =O~h~
C =$2.501 - $5.000 Ill ~l;I.0(}O.001 - $5.000,00~ L -$50,001 - $100,{X~ PI =$ I.(X)O.001 - $~.0(X).O00 P4 =Mone t~m $50.000,000 $ =~! W =Eulma~l
D =$5,001 - $15.000 112 =Mor~ than $5,IX}Q,000 M =$100.001.1250.(X)0 P2 =$5,1X)0.001 - $2~.000,000 T =4:ash Mad~l
VII. INVESTMENTS and TRUSTS - i.co.,, ~.,,,,~., (tnctud,s those o[ spouse and dcpendent children; see pp. 34-60of filing instructions.) ....
--] NONE (No reportable income, assets, or transactions.)
Desc.fil~ion of Assets (including trust ass~) Place "(X)" a~er each asset exempt from prior disclosure Income during ~porting peciod O) Amount Code I (A-H) Tylx: (e.g. div., r~nt, or int.) Gross value at end of repoaing period (el (21 Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period
(2) Date nun/dd/yy |3) (4) Va/u Gain Code 2 Code I (J-P) (A-H) (5) Identity of buyerlselk:a" {if private transaction)
Typ~ (e.g.,
re:d~nption)
D Distribution
08/02/10 10/18/10
L L K
(pan)
NYC Set F-I 5.021 JP Morgan brokerage accts JP Morgan Tax Free Money Mkt Schenectady Co. NY 2.0 11 Ithaca NY 4.0 13 Islip NY 5.0 14 C A A B B B A A B C B A A A Interest Interest [nt./Div. Interest None Interest Interest Interest Interest Interest Interest Interest Int./Div. Distribution Distribution N K K K L K K K K K J K L M Redeemed 09/01/10
T T T T
T T T T T T T T T T K
77. Nassau Co. NY 4.0 14 78. 79. 80. 81. 82. 83. 84. 85. Pcrinton NY 3.25 15 NiskayunaNY 3.375 16 Dutchess Co. NY 5.0 18 Orange Co, NY 4.25 19 JP Morgan Chase checking account JP Morgan Treas & Agency Fd;-:l Phnco Funds Total Return.~7~ JP Morgan Strategic Incom,,~
I. Income Gain Codes: (St: Colur~$ B I a~d D4) 2. Vmlu~ CO~S (S~ Co~omns CI ~d D3) 3. Valu~ Method Cod~s (S~t C~uran C2)
A =$1.00~ or less F =$.50,~01 - $100,O(}O J =$1 ~,0OO o~" I~s.~ N ~$250,001 - $50~,0~) P3 =$25,0(~,001 - $50.(X)0.0OO Q =Appraisal U =Book Valu~
B =$1,001 - $2,500 G =$100,001 - $1,000.000 K ~$15,001 - $~0,000 O ~,500.00 t - $I.0~0,000 R ~ (Rt~l Eslase Only) V =,(~h~"
C =$2,$01 - $5.000 H I -$1.000,001 - $5,(~0,000 L ~$50.001 - $100.0OO PI ~S I,@0Q,001 - $5.000,0~0 P4 -Mo~ thaa $50,000,000 S -Ass~s~u~t W =Estar, alt:d
D -$5.001 - $15,000 |t2 More th~ $5.000.000 M =$100,001 P2 =$5,000.001 - $25,00~.0(X) T ~ Market
NON E (No reportable income, assets, or transactions.) D~,cr~ption of Asset~ (including m~ assets) Place "(X)" afl~" each asset exempt from l:nior disclosatre Incotr~ during r~poaing period All CUd I (A-H) Type (eg., div., renk or int.) Gross value at end of reImrling period
11) (2) Value Valu~ 11) Tylx (e.g.,
Gain (A-H)
Cod~ 2
(J-P)
Method Code 3
(Q-W)
buy, s~ll,
redemption)
buy~/~llex
(if private trat~ction)
86.
A B A A A A
T T
87. JP Morgan US Equity Fund...~l. 88. i 89. 90. 91, 92. 93. 94. 95. 96. 97. 98. 99. Artio lntl Eq 11 I0~. Causeway Int Value I01. Eaton Vance Spl Inv Trust 102. JP Morgan Short Duration Bond Fd~ JP Morgan brokerage accts~..~ .rP Morgan Tax Free Money Market Fd~ Schenectady Co. NY 2.0 i I ~ Ithaca NY 4.0 I ~.~ Clarkstown NY 3.5 12 (S) Perinton NY 3.25 13~"~ Unadilla NY4,0 I~ Nassau Co. NY 4,0 14~ Am Century Eq Inc Fd
T T T T T K K M T T T Buy Buy (addl) 01/22/10 03/2 5/I 0 01/22/10 01/28/10 01/28110 03/27/10 L L K K L L Buy
01/15/101 K
B A A A D
B A B
L L M
T T T
E =$ 15,001 - $5,0.000
~uo, tran~rions (lnclud~ those of spouse and dependent children; see pp. 34-60 of fding insttuctiong)
(z)
Date
(3) (4)
Value (J-p) Gain (A-H)
(5)
Identity of
TyI~ (e.g.,
buy, s~ll,
buyer/sellea"
(if I~jv~te
t~ns~ction) Buy Buy Buy (addl) 01/26/10 08/02/I 0 10/18/10 08/03/10 01/27/10 07/28/10 01/27/10 101Ill/10 106/21/10 04/29!10 05/I 1/10 06/23110 01/28/10 : K K L L L L K L L M L L J
103. JP Morgan Intl Value 104. JP Morgan High Yield Bond 105. 106. JP Morgan Core Bond 107. Falconer CSD 4.0 15 108. AlbanyCo. 4.0 13 109. Falconer CSD 4.75 20 110. Marietta Ga 4.0 16 11 I. Nassau Co. 5.0 15 112. Pembroke CSD 4.0 20 113. SkaneatelesCSD4.5 19 114. StarpointCSD4.0 15 115. Causeway Intl Value~ 116. Eaton Vance Sp Inv Trust!..-]). 117. I 18. IP Morgan Intl Currency,S] 119. Artio lntl Eq I!~
B C
Distribution Distribution
L M
B C A B B B C B B A A
Distribution Interest Interest Interest Interest Interest Interest [nterest Interest Distribution Distribution
M L L K L L M L L K L
T T T T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
(addl)
A A Distribution Distribution K K T T Buy Buy
B =$1.001 . $1~ K
C =$Z~I - $5,~
O -$5,~1 - $15.~
E -$ 15,1)01
120. JP Morgan High Yield Bond~_~ 121. Am CentuO, Eq In Fd~ 122. 123. JP Morgan Core Bond~--~), 124. Ellenville CSD 4.0 163 125. Falconer CSD 4.7.5 126. ltawaii 4.0 127. NYSTwy2.5 IID 128. O-zarkMo4.0 18~ ~.-~l.. 129. Port Jefferson 3.5 130. RockTPoint CSD4.0 16~--] 131. Three VillageCSD 3.0 13 132. New Mexico 4.0 18 (E) 133. Ilewlett Woodmere 4.0 20 (E) 134. Riverhcad 4.0 18 (E) 135. Rock) Point CSD 4.0 16(E) 136. Alpine U[ 4.0 13 (E)
A B
Distribution Distribution
K L
T T
08/03/10 01/22/10 03/31/10 08/03!10 02/17/10 01/27/10 02/18/10 01/llll0 0410811 o 02/18/10 01/27/10 01~7/10 02/03/I 0 09!13/10 09/13110 01/27/10 01/27/10
J K K K K K K K K K K K K K K K K
A A B A A A A A A A A A A A
Distribution Interest Interest Interest Interest Interest Interest interest Interest Interest Interest Interest Interest Interest
K K K K K K K K K K K K K K
T T T T T T T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
1. Income Gain Codes: (S~ Celm~ts BI a~d D4) (5~ Cohlmsts CI and D3) ]. Value M~ ~
W ~Es~m~at~l
137. Dallas Tx Coma Coll 4.0 17 138. Wallkill 3.5 17 139. NYSDorm4.5 15 140. No. Colonie CSD 4.0 12 141.
K K L K
T T T T
K K L K
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and cemplete to the be~ of my knovdedge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. ! further certify that earned income from outside employment and honoraria and the acceptance ofgif~ which have been reported are in compliance ~ith the provisions o[5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
Signature__
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)