;.,! )t...ent git -4 ng19 l gt ·ine eopea"t t· r of ss wdding gift. aving du wdding gi! • c...
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I. 2.
KAplon. Lewis A U .S . Diwict Coon, SD.N.Y.
4. Tide (Article Ill Judges iOOK:titc accivc ot scn io t s t atus: s . Rcport'Type (check appropri•,. l)'pc) e te
., ...
(5 us.c. •pp. H 1t1-1111
).
111"'ioos 6 . Reporti na Period
12131/2004
7. I. On lhe basis of tDe intbrmation contaillCd in th is Report and any
Oak
10@ �-· �'RT -�;��;·iutNCdom · ;! mu" Com; : . · .·• - .
, !, . ;\.,)"t iJf! ! h .. ... 1 ' \" · 1 · · .""" • · . ··..0Jti· :, ·. tt :ir r·.",.t' . :1.1: -;; lii.'.: -"J::. .. '· .t ·;-::' . /:! :::t-iz :;···· :r-}·t 1 , ::4: "'·'W , · · ' . . · r..
.
lll,.ponlla -
NAME OF ORGANlZATJONIENDI
PASTIES AND TERMS
0 en
.. ..., r-
0 •
' .
AO.It R<Y. ln004
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2004
Ptnoa R<110rt1"1 ll.astoomc. fin<....,,Middle oailia/l Coun or Orpnmtioa
m'9aistr1t judge& indica full.orpart�·time) ('INomlnatioo. O;uc
Unilod Slates Dlslrlct Jwlgc 0 lnicill @AM\'Ull 0
Rtl'Ort Rtqolrtd by lllt Et\ ks ia Co ·c:n1PfarAt•or 1971
0.1cofR<p0<1
11112004
to
Cllanibca or Office Address
U.S. Counllouoo moclificatiou pertaining thcn.-ta. if it. iD my Opiaioa. in compliance witblpplicablc ...... and ,.... ........ 3001'ar1Stft<I
New York, NY 10007 Rcv.ewia.g: Officer
r::.� be�� . checkia tbc·�·ON�\,:,:·�;· bpart -
where yo ·t:.e-o n:poc:tab f rmation. Signon la.st ptge.
L POSIDONS. t ividool Olll)r, ... PP· 9 13 otfili•1 inswc1ions1
0 NONE • <Norq>ortaNe posibou.I
P05mot!
I.
2. T"""'°
).
Hudyl'tacc 1a.-1 �ip
Tmtu/w/o-relariw
R AGREEMENTS. (Rcponio1individual ooly.sec pp.14-16 offilioa insuucrioas)
!;a NONE ·(No n:portablcagrttmcnts.)
I.
r- ;:o0 ,... ...,, ........ mo- <::> c.n :z 0c::: l> ::::: :z r11 I'll c::> -o> <O:" <""'" f'l1 =>I;
0
SOURCE AND TYP.E
D.trc of R<pott
GRQSS INCOME
SOURCE AND IDE
l. Various PCOJioo aod n:Wcmcnt plan pmts - Raodom Howe, lac.
6-16-04 Iwy llloWIDce
.. 27
<kotj!O Masoa UnMrsity f()Und&rioD. !nc. 9/3().10/4/04 - Ja Jolt.. CA, ed.-ional scmm... (Transportotioo. room 11111 boon! )
FINANCIAL DISCLOSURE REPORT N3:r:ne of Person Rcpo.rti11g
Ill NON-INVESThlENT INCOME. (Reporting individual and spouse: sec pp. 17-24 offiliog instructions)
A. Filer's Non-Covestment Income
lit! NONE - (No reportable non·inv.-cnt i"""11e.)
I. ()'()Ur$.notsc>Ot*'s)
B. Spouse's Non-Investment Income· (lfyou were married during any portioa of the rq>0rtiog year. please complete this section. Dollar amount notrequiredacept for honoraria.)
0 NONE - (No reportable noo-invcstmcol income.)
2.
IV. REIMBURSEMENTS ttan.sponatlon. lodging. food.cn!crtainmcnt. -
(Includes those to spovse and dependent children. See pp.25 ofiosuuctiOl'I$..)
0 NONE - (No suoh rq>ortablc rcimbutscmenrs.)
SOURCE DESCRIPTIQN
I.
2.
10.
12.
14 .
IS.
16.
19.
20.
21.
23.
.
28.
SO!JRCE
Minna Seling & David Goldblatt
Diane Zimmemwi .t Cam l.ccman
Mr. & Mn. David Spurr
Kon. Kimb& Wood .t Frank Ricbardsou
M
Trudi Sebutz
Mr. & Ma. Peter Ricbud
Hon. Lonotta Prak.a & Tom Kanter
Minna Sebrq: It David Goldblatt
Zaetllkhard
Mr . .t Mrs. Mhut Leal)'
Mr. It Mn. Pd« Felcher
Prof It Mrs. Oiarlc$ PtskiD
Hon. PauJ Borman
Hoo. It Mn. Daniel Fittgcrald
Mooes Sihamao & B.ny Robbins.
Mr. &Mn. Toby Meyerson
Marcia Clwnbers It Slantoa Wheeler
Mr. It Mrs. Martin Londoo
David &mJwn It JOOllll Ouw>g
M
Mr. &Mn. JayTopkis
Kak Wooclmlll It Walter P. Lou@lllin
Mr. & Mn. Manhcw Nimilz
M d
Dr.& Mn. Sllldcrs Borisoff
Mr . .t Mrs. Jack Awpilz
Reoa Znrofiky
DESCRJPTIQN
Eogagcmeot gift - piSIJy .......
Engagcmcat gift -VOS4
Eng19 l gift ·wine
Eopgea""t lift· pair of glasses
Wedding gift. saving du
Wedding giJ! • poroclaia bowl llld pbolO album
Wedding gift· cllldlcsticlcs
Wedding gift· pbotograpb
Wedding gift · gift ccrtiJicaie
Wedding gift· gift certificate
Weddiag gift· six glasses
Wedding gift· plane<
in
Wedding gift· salad bowls
Weddiag gift· Cladlestic:ks
Weddiag gift· boolcs
Wedding gift- floral onaogemcat
Wedding gift - wine
Wedding gift - !Oh le lioeas
Wedding gift • plat<S llld bowls
Wedding gift· coasu:rs
Wedding gift· pictwe fr1mo
d
Wedding gift· bowl and p latter
sso
$SO
$2$
$S0
Sl20
$500
Sl.650
$450
$125
S25
$200
$300
$100
$100
$100
$12j
$150
SlOO
$100
$100
$200
$100
$25
$125
$100
$ 125
FINANCIAL DISCLOSURE REPORT N<mco(P<=nReponi•g
l(apll!I, Lewis A
V.
D
1.
3.
4.
s.
6.
7.
8.
9.
11.
13.
17.
II.
22.
24.
25.
26
27.
29.
GIFTS. (Includes thos.t to spouse :md d�dcntchildren. Sec pp. 2S·3 I of instrucrjoas.)
NONE - (No such ll:ponable gifts.)
Mr. & rs. Micbd Cook
Mr. It rs. Alaa Edd!<XI
DilDC Zimmcnnan & CllVin L=mn
Hon. .t rs. 1-ar B. Sllld
Eogagcmcntgift
Weddiag gift·pictarc &amc
Weddiag gift·......,
Wedding gift· pair of gll$SCS
Wedd g gift·"""'
Woddinggift-tableclolh
Wed ing gift- placemals
YAU.IE
$2SO
$2SO
$2SO
30.
32.
34.
35.
37.
40.
41.
43.
44.
4S.
47.
48.
49.
so.
51.
0.., Dwyer & Jim Montmari
Pbyllss Toocr
Mr. & Mn. llf)' O=nfield
Jane W. Pan-er
Mutln Flummbaum & Rlllh Hochbc:ger
Mr. & Mn. Skven Dii!WD
Mr. & Mn. Mtric Betgor
Melissa Davis & !'tier Richmond
Pltricia llyDes & Roy Ranl ...
Mr. & Mis. Gocxp Fdl""""
Sara Moss
Mr. & Mn. David S pun
Hoo. Naomi Buchwald & Don Buobwald
Helm Hmhkoff & Stephco Loffi-cdo
Mr. & Mn. RaiDald RDeSCh
Mr. & Mts. Bruce Brown
Cltrc de Zeaaotita
Hon. O..ise Cote & Howvd Maltby
Mr. & Mts. Hauy F. White, Jr.
Mr. & Mrs. Earl Menard
W eddiog gill -bnuKly snifters
W cddlng gift - pluus
Wedding gift - glass bowl
WeddiDg gift · orchid
Wedding gill - plCIUn: frame
Wedding gill - wine
Wedding gift-wine
WeddinJ sift· b<us pilcher 11J1d flc>o<n
Wcddiag gift -bowl
Wedding gi11 - g1asa bowl
Wedding Jill - glass bowl
Wedding Jill - wiue glassco
Wcddiog sift· picture frame
Wedding gift-picture frame
Wedding sift · coke knilb llJld""""'
Wedding gift - bowl
Wedding gift -cmwd bone plaque
Wedding gift • glasses
· Weddingsift·pl-
Wedding gift- nse
$100
$SO
SllS
$300
S!OO
S7S
$195
$290
SllS
$$ 0
$15
S lSO
SISO
$50
$100
S IOO
SISO
·1''1.NAN\-'IAL VRil:LU U.IIB .K.t;l'UKJ° Name of Person Reporting
31.
Kaplan, Lewis A
Dale llf Report
111"2oos
$175
33.
36.
38.
39.
42.
46.
Mr. & Mn. David Haab
lo<q>h Lelyw:ld
Wedding gift-oapkiJI rings
Wedding gi11-sorviJ>gimpleramts
$100
$40
S22S
$40
2. Mcnill Lynch
PESCRJP'l10N
Date o f R.eport .FL'llANCIAL DISCLOSURE REPORT NumcofP-nRcportfog
Kaplan, Lewis A
CR£DIIOR
I. Ciribank
VL LIABil.JTIES.
0 NONE (No reportabl<liabiliries.)·
{Includes those ofspouse and dependea( children. See pp. 32 34 of instructions.)
YALIJECOQE
NoneRevolving cr<dit agrmneot
Loan None
:
A.
I. Citfbank 1ccounts
2. NYS MCFF A S.37S 04
3. Albon,y Co s. o 04
4. NYS M!J Scr29A4.7 OS (B)
s. PortAulh NY&NJ 4 . 8 OS (B)
6. Pon Auth NY&NJ U OS
7. NYS HPA U Coo 6. S 06 (E)
a . K.inderbook CSD 6 07 (E)
9. NYS Pwr A Ser D S.17 S lO (B)
10. NYS Pwr A GP S . 37S 10
II. NYS Pwr A ScrGP S.S IO(E)
12. NYS Pwr ASerFB 10
13. ML CMA Tax EXCllljll FWld
14. Mm Inv Trust Ser A NY
16.
17.
13.
0
p
f Sl Column C.'"2• u • Book Valul.'
Name Df P erson Rcp llrting Kaplan, Lewis A
Date o f Report
7/l OOS
a D.
reportfog period tcportini& period
( 1 ) ( 2) (I) ( 2 ) ( 1) It net C:\eatpt "'"'
(2) tl) (4) ($) Ty ( e . g , v.i ..
- boy • ..U. Code 2 Codct buyu'fsttlcr - merger. tJ.P) ( irpm .. cc
re<kmptioa} "'"""6on)
Interest J T
A Interest Redemptio 2 ·17 K A
B Interest Redemptio 1 1 K 8
A Interest 2-2 K A
A lna:rest 3-1 A
A lntet<St 3 -1 J< 8
Interest J A
8 - )( T None
lnten:st 1 T None
- J< T Nono
A ill term 1 T None
8 Interest Redemptio 1-2 1 •
Dividend Closed 1-2 9
A Interest 1 T Pt Redcrnpt 2·25 1
PtRedempt 4-26 J A
Pt RedClllJl( S-25 1 A
PtRedcmpl 1 26 1 A
PtRed<mpt 12-27 J A
c D E
S
• ()fhCf IN' • f.!ltin'l:ir ed
I
j
FINANCIAL DISCLOSURE REPORT Pagel of7
VR INVESTMENTS and TRUSTS
Descriptil)ltl)r Assds (il)CJuding trust as:sdS)
Pbi.:e ·cxr afkr ¢8Ch MSet aempt frMI prior disicJU¥in
DNONE ('No rtpOflabk iocome, a.ucu.: or�llttiOnS)
IS.
I. lmcoine-/03in Codts: A •Sl.OOOorkss
(S«Coft11tmsBI a1\d 04) F •SS0,001.SI00,000 G
2. V:.lt:te COi.ks: J ... SIS.OOO«lcss K
($« Colun111s Cland 03) N • S!S0.000-SSOO,()()(l D
Pl • S!S,000,001-SS0.000.000
-'·Value t-.1e1hod Codes Q ,.. A prnis.11 R
v
c. 1ncome during Gross \'31.!Jt: 311 t:od of Tr:in.�icrions during rtporting period
Amoont Type {e.g. Value Vahle O:itc: Gain Identity of Code I div. renc. or Code2 f\fontb-
IA Ill int.J (S-l') Ccdel Day IA-H) (Q-W)
A
n
n
Redcrnptio •
Redemptio K n
Redemptio n
A Redc:mptio ll-1 n
A
B
A
A
A
•Sl,001-$2.500 • $2,SOl-SS,000 • SS,OOJ-SIS. 000 •Sl.S.OOl""S0,000
• SIOO.OOl.Sl.000.000 HI • Sl,OOO.OOl-SS.000.000 Kl -Morethan SS.000.000
•$1S,OOl.SS0.000 L •SSO.OOl.SI00,000 M •$100,001-S!S0.000
• SSOO,OOl.Sl.000.000 Pl • Sl,OOO.OOl-SS,000.000 p .. ss.ooo.001-s2s.ooo.()()O
P.I •SMott thl'ltl S 0.000.000
•Cos1 IRcal Esta•cOnl)·> s ... Assessment T ... Cash<'?l.illf\:d
f I
N 11.1ne \lf rcrson Reporting
Kapba. L<witA
A. .. c. 0. Gtost ,,llJ,t :it Cid of 11 .... __
._.... ....... rqM:ri.g period
( I) m t i) m ( I) " .,. o;.aap liom 121 (I) < • > (SJ
Type , .... °"" va1 .. G•• dav. ma. or M<doocl - Codel Code I io 1.> CodeJ Oii)' (l.P) (A· HJ
'""""'°"")
19. PW 1912 l!ES lim pm None ] w None
20. PW 1916 EES 11111 p1a Nono 1 w Noo<
21. HaDdy Pllcc In- Pan No ne 1 w Noac
22. 20di Ccot Uhra F Nooe M T Nooe
23. Md Tran NY '-9 oa B lo- 7-1 K A
24. MT A NY 5.9 01 (B) B "'- 7-1 Jc:
2'. Nasti• Co. $.7 09 c ··- Rc:dcm(Mio 8·2 L
26. NYS MCFFA $.SS 06 lnttmt· 1-16 K B
27. W-hco1crCo$.607 B lolCl'Oll K T Nooe
:u . NYS Eov Fae 4 . 6$ 04 B lotczat Rodan(Mio II-IS K c
29 . am- $.6 0I D la- M T Nooe
JO. SullOlt Co s.rn oa B - R • 4•k• ... L A
31. NYC M,. Wlr S.J1S 07 - 1 T Plbcloq>( 6-15 K A
32. NYC Mun W1r S.l1S 07 (B) B lalcrat K T Pl Rodc:mpr 6-15 1 A
33. NYS MCPFA S.125 12 c lnlcn:st L T N o ne
34 . NYS Twy $ .0 01 B - L T None
35. NYS MCFl'A S.31 S 14 (E) A la- Rodanptio 2-17 K A
36. Oocldo 6. 4 06 None K T None
I. i.coo1e!G.,. Codct · " B c D E
•S« l0C1hl11111 Cl1 u - n oot Va.I v •01titt ; • F.im111:11ed
FINANCIAL DISCLOSURE REPORT Pagel of7
Oa1c Qf Repon
7ll!�200S
Vll. INVESTMENTS and TRUSTS
-...-.DHaipooo "'"""'
,.....,.,. __,
Place ·1xr """ .... """ """"" ......... v.... Vh T)'pl {4- ._.,..,6-priordlt<bu<e Codd Codd bwy. t<I. i..,...t-CA�) (J-Pl ""'""· (ifpivate:
(Q.W} ttatwictioa)
•
Rcdanpio A •
A •
c !lodcmprio D
D
•
A
•
•S1.000 ork::a •11.001.sl)OO • S!.SOl-$5.000 •SS.llOl.SIS.000 • .SIS.OOl-S.50.000
<Sec CO-.inw DI Ind DO F • SS0.001-1100.000 G -1100.001.11.000.000 HI • Sl,000.001-$5.000,000 H2 • Mort rti:.n ss.000.000
2. V:il11t Code•· J • SIS.OOOor less x -m.001.sso.ooo L -s.50.00l·SI00.000 M • SI00.00 1-$2l0.000
(Set Column1 Cl ind OJ) N .. S!S0,000-SSOO.OOO 0 -ssoo.001.11.000.000 Pl -s1.ooo.001 ss.ooo.ooo Pl • SS.OOO.OOl 0$lS. OOO. UOO
PJ • SlS.000.001.SSO.OOO,OOO P.f • SMorc 1ht111 SS0.000.000
3 Vltlui: Meth\\J COtkli Q .. Arprmlllll R •Cost fRcol E1111i..: O"l)'I s •AH smc.not T ... Casli1M1111ket
Name of Pc-fS<ln R eportlo._g Kaplan, Lewis A 711.,,00S
Vil INVES'IMENTS and TRUSTS - '""' "'" """" · ,,...,..;.., cu.crooo """' "' ' "'- """ "'•••oo n , .......... .s.. pp. ,..,, "'"'""' ....,.,,....,_ ,
37 .
31.
39.
40 .
41.
42.
43.
44.
4S.
46.
47.
41.
49.
so.
S2 .
S J.
54.
"·
Klnd<Jhook CSD 6 07
Ramapo S.6 08
NYSUDCH06
N&sau Co U2S 13
NYS HFA 6.4 07
NYS M1g All' 4.7 OS
NYS Dorm S.7 10
Ch i cago Pub llsg s.o 04
NYS MCFF A S . 0 13
NYC Mun Wtr S.S 12
NYS UlAC S. 37S 14
Cpi Tn:as Roe: 0% 09
US T- Strips 0% 10
NYS Donn S.31S 14
UST- strips 0% 11
NYS Dorm S.12S 01
NYS Dorm S.25 13
o
U = Boot V :i. lllie
8. c. 0.
- ... - fcportii perlod
()) ( 2 ) ( I) m ()) u DOI c.1tempt & om aKe.,.. ......
(2) t l l (4) CSI ........ °!}'po °"" v11 .. °'"' Codd <iv. m:d:. er
Wit, )
ln1Cn:ot
ID.t=st
B -
lot=st
A lntaat
.Interest
A lnt=st
None ·
B lnt=st
B lntcttst
B lntaat
Nooe
c lnten:st
Nooo
D lnlrercst
c Interest
t
Codd M- Cod cl Cl·Pl
rcdcmplioa )
J T
T Nooe
" T None
L T Nono
S..3 1
Rcdcmptio 2-2 1
1 T NoD<
6-1
PtRcdcmpt 9-2 "
Redemp<io 11·1
Redcmptio ().JS L
Redcmptio 4-1 K
Sole s..4 M
Sale s..4 L
L T None
Sale s..4 L
M T Nooe
L T Nooe
W • Es um :i t l 'CI
Code I t A-H}
B
A
A
A
B
F
E
E
FINANCIAL DISCLOSURE REPORT
Pag1:3 of7 DntcofReport
SI.
O.."llt'fipoooof <includingttusl :mtU)
Place fxr after ell!Ch G5d. exe11.,c ftom pciordUdoswc
I. &lcomtJG�11 C()(fcs;
<S«Col\u.1111SBI oodDO
A •Sl,OOOotks:s
F •S.S0.001.$100.000
J -SIS,OOOotk-ss l. V 11t C des.
(SttCulumns.CI andD31 N • $250:. SS00.000
.l Vt1h1l' M�1llOd CMts
1Stt('nl11mnC21
P3 • $1l.OOO.OOl4l0.000.000
0 •Appnli$1!11
lJlcome during Gross value :it cr.d of Trnt1$3ctioo:s during repof!ia period
(•g. Volu< Vaklc Type (c ... ldmtiryol
(A.f()
A
A
c
A
one
8 •Sl.001-Sl.SOO
G • SIOO.OOl-ll. 000,000
K -SJS,001.SSO. OOO
0 •SSOO,OOl·Sl.000,000
R -'Cos 1Rcalf:Jo'l e Onlyl
v .. Ocher
buy.S<JI. Mood>· Codel """""· o.y c1.P1CQ.W)
None
1
Redemptio •
•
Redcmptio 1 •
1 •
•
•
C •11,SOl·SS.000 0 •SS.001..SIS.000
Hl •SI .OOO.OOl·S.S.000.000 M2 -�i«ie th3a SS.000.000
l • S$0.001 -$100.000 �i ... SI00,001-S250.000
Pl .. s1.ooo.001.ss. ooo. ooo P2 .. ss.ooo.00142s.O()QJ>OO
P..I -SM<ire: lh:'lll SS0,000.000
S •AQC"-iM.ienl T • Cnsh"M:rici
buyu.'sidkt {ifpri'Yailc tnuts:lCtiOG)
A
A
A.
Fidelity Fund
56.
57. Tn"boro BTA 4.5 13 (E)
58. l'Ucrto Rico MFA 5..5 09 (I!)
59. NYS Dorm 5.125 11 (E)
60. Tnl>oro BTA 4.3 II
61. Triboro BTA 4.75 16
62. NYC MW> Wtr4.913
63. Commacl< UFSD 4.37S 13
64 . NYSMtgAgy 5.45 12
65. NYS Twy 5 .125 13
66. So Oleos Falls CSD 5.25 14
67. NY'frlnatMTAS.210
68. NYS Env F ae S.1 25 11
69. NYS Donn 5.125 11
70. NYS Dorm S. l 12 (E)
71. NYS Env Fae 4.SS 13
72. NYS EnvFae4.9S 17
i A • S l,000 01 less B
F
N
Name o f P 'Cl'Son Rcponing
JCapl&D, Lewis A
lj. c.
,_,;,,g p<riod rq>Ott in1 period
(I) ( 2 ) ell (2)
..,..,..,. Type Code I M<lhod
in ( , ) )
D Distribution N T
DistnOutioo
B - K T
B - K T
c Interest L T
A lnt=st K T
A lnlmot K T
B lnlen:SI; L T
D lntcrts! M
D Interest T
c lntacst M T
c ln1CrtSt L T
D - T
c lnt=st
D lnlmot M T
B ln1CrtSt T
B ln1cRst L T
c Interest T
c
D.
711f2005
( I) lfoot onpc. Ill UQCIOSUR (2) ( J ) (SJ
Date: v ""' Gain Cod< 2 Cod d
met r . rcd<mpOoo)
None
None
Nooe
Nouc
None
None
None:
None
Nooe
Nono
Nooe
None
Nono
Nooe
Nooe
Nooe
None
None
D E
( 5« Co.llVnD C2) u ..- B l11'I: Value v • Otl f w • F.:tll n lt.'<I
FINANCIAL DISCLOSURE REPORT
Page4 oi7
Vil INVESThlENTS and 1RUSTS
Descriplioo ol Nsm (iooludiog trusl 3:.iScts)
Pfac(I "(Xr after c111:h <t$$Ct cxcsnpl &um prior disdosur
SS.
Fidelity Large Cap Fund
t. lncomt!G3 o Co6e$:
(See Cofunwis 81 Md ) • $50.001-$100.000 G
2 V:.lut Codes: =SIS.OOOori.ss K
fSet Coh:111ins Cl :uid DJ> = mo.ooo.ssoo.ooo 0
P3 = S2.S. 000.001...SSO, OOO.O()(}
locomedutit1g Orossvalue at cod of
(e.g. Valoc Value
div. "'111. Ot Code2 (A-H> (J-P) Codd
(Q-W
c N T
T
M
M
L T
K
L
• Sl.00142.SOO • S2.SOl-SS.000
c s100.001-s1.ooo.ooo HI =Sl.OOO.OOl·SS.000,000
=SIS.OOl·SS0.000 L •SS0.001-SIOO.OOO
= S .OOi·Sl ,000.000 Pl = s 1.000.001-ss.000.000
O.tt ofl\'!'0<1
Tr.wacciOllS du.ring Rporring preriod
(4) Type (e.g. ldentily of buy.sell, to.ion.th- bu)·ttl�c::r
o.,, (J.P) CA-H) (i(privatc: tnMISAC!f:iOll)
=SS.001·.SIS,OOO • s 1 s.001-s.;o.ooo
H2 =Moo: tb."'lll ss.000.000
M •s100.001.s2so.ooo
P2 • $S. 000.001-$2S,OOO. OOO
P4 =$More di:wi S.S0,000.()()(l
3. Value Melhod Codes 0 =Appni !l<'I R =Cost CR.di &lme Only• s =A.s:sc:ssmen1 T .. CJtShr'M;ui:..-1
N ame of Pers on Rcponing
IUlplao, Lewis A
"
reporting p¢riod rq>(ll' ling periOO
( I ) (2) (I) <21
Typo Cod <! M<d>Od
irit.)
73. ML BklB&T RASP A Interest 1 T
74. NYC Trao• S.O 19 lnlcn:st M T
1S. G=CSD4.S 17 c lnt=st M T
76. NYS E ov Fae 4.2 12 lnlcrcst M T
77. MTA4.012 c Interest M T
78. MTA4.0 ll Interest M T
79 . NYC4.37S II (E) c lnlettSI M T
80. FNMAS.012 D lncettst : M T
S I. NM Bank Amer 6.S 17 D lnt=st M T
82 . MLBank(I!) A ln!mSI K T
13 . TriboroBTA3.7S 13 c lnle!crt T
'
William Floyd UFSD4.12S IS lnt=st T
as. MTAS.023 c lnt=st M T
86 . GEC C4.7S 13 D lntcn:sc
87. Pacific Jnoov Select lllDUity N ooe M T
as. Provident Bank S. O IS c lntcrcsl L T
89. FHLMC multi % 18 D lncmsc M T
90. Hudsoo Uoilcd Bt S.OS 13 c Interest T
A • Sl.OOOorll.-s.1 B c .. 01
F 0
N
o.
JI ) II' not C.'\etnpl lr"Om disclosute
( 3) \ 4) ( S) Valuo
bupcll, Mon th - Codt2 Coclo I (A-H)
r.dtmptiooj
None
Nooe
Nooe
N ooe
Nooe
None
None
None
'None
None
Nooe
Nooe
None
Nooe
None
Nooe
D 0 E
( $.x c l h11nn ('21 u - V ai btt v •0th.er \V • F. S1 ml 3t ed
FINANCIAL DISCLOSURE REPORT
P:ige 5 of7
e. c.
�riptioo of Assds -<Ming Gross '-:itv(" at c-.od <A
(including mist :mccs)
Pt.cc ·{x) afterCil!ChtL$$d eicenlpl """""'' \e.g. va1 .. Value &ocn prior�&eloostu\> div. l'Qt, Of CO<le2
IA-H) (l·PI c .... 3 (Q-W)
c
c
c
M
84. c M
M T
K
I. 1ticomc;GIU1• Codes: •$1.001-S!,SOO -s2 ..ss.ooo
( Culu1nn:;Bl nod().$} •SS0,0 1-.1100.000 G •$100.001-$1,000,000 HI •SI.000,0()1..$5,000,000
2. V.iluc Cc.xb; •Sl,.OOOorless J; •SIS.001-.ISO,OOO l ..s.so.001 s100.ooo
(SeeColu11:11u Cl ;ind 03) • S2SO.OOO-$S00,000 0 • SSOO,OOl·Sl,000.000 Pl .. s·1.ooo.001.ss.ooo.ooo
Dale afl\cport
11$oos
Tr:w:ldfoos during reporting period
(2) Type (e.g. 03fe: G>;n ldal(1t}'of
i.,y.,1sdlttmc-1..,:.r. Day (J.P) fi£priv,J;te
trn11s:ictioo)
•SS.001-$1 . 00 • llS.001-$54,000
Hl -f...tou tbnn ".OOCl.()(l(I
M • SI00.001.$2SO,OOCI
P2 a $$,000,001..$2S,000,000
Pl .. s s.000.001-sso.ooo.ooo P4 =$More thuo SS0.000,000
3. Value Mclf1 'd Codes Q - Appr.iU:il R •CostfRenl Es1<1tc Onl)') s •As enl T .. C:'!Shit.ind:ct
N ame uf Person Rcporti
Kaplan , Lewis A
NYC Ser J 4.625 18
92 . NYS Donn 5.0 1 9
93. MTA4.7526
94. Lcag Jslond Pwr 4.75 24
95. NYS Donn 4. 75 25
96. Western Bank Puerto Rico
97. FNMAs.ss 14
9S. NM Bank Amer 4.65 12
99. Copilot Oac Blr.4.75 10
100. MLBant
101. Port Auth NY &NJ 4.2 19 (E)
2 NYS Donn 4 , 625 II (E)
103. Prudential Ins Co par inv ICCI
104. Pnwknrial Fin Inc -k
10.1. Fidelity Eq Income fllnd
106. Fiddily US Govt R<scncs F .. d
107. ML Bank USA RAS P
!OS. Schwab Macey Ml:!
B
tS« Colwnn C2J u • ll<>ol; v.iu. v
B.
r eponing period
(I) ( 2)
TYP<
inc. )
B -
ln Jcn::sl
D lnterat
Nooe
None
Interest
lnt=t
A Interest ·
c Interest
D Interest
B lntcrcot
Nooe
B Interest
A Dividend
B Dislribatioo
Distn'bution
A Divideod
A [);vidend
o
• ()!hcf
c GIO!S v:tlix at co d ot .--.. ... -.i
( I ) (2)
C00.2 M<tbod
M T
M T
N T
M T
M T
J( T
N T
J( T
L T
Pl T
M T
M T
N T
J T
L T
)(
)( T
J T
c
w = Esrim:wcd
0.
Dute o r Rcpon
11 1fnoos
(I) If oot e.:mipc "" (2) ()) (4) ($)
Dole: Valu e Code? Code I
mc:tt;l"f. o.,, (A i )
Buy 5-14 L
8uy S-18 M
Buy S-14 N
8uy 3-11 M
8uy 11-30
Buy 2-23 J(
Buy N
Buy 9-3
N o oe
Buy 1·22 M
Buy 6-14 L
None
Nooe
Nooe
Open 4-15 K
D E
FINANCIAL DISCLOSURE REPORT Page6 of7
A. lacame ct-.ric.i T tiocs during pcriud Detcriptioo of A5Sds
tW!duding tnJ:SI ;usd,s)
PlllCc X)" after each tikl exo:l'I� 6'otnpriof disC'Josin
91.
10 .
- (e.g. Code J div. .or lA·H)
c
A
D
A
ValDC Value
(J-P) Codcl CQ-W)
T
Type (e.g. Gaia ld<OOtyor buy. Jell. Month.- bo)'tt1'!1cflCT
(S.P) (irpri,·:iteredtmplioo) tr�)
M
5-3
J(
I. Jacomc·/G:lia Codes: A • Sl.000 or less • Sl,001-Sl..SOO ss:?.SOl45.000 -ss.OOJ·SIS.000 •Sl5,00l ·S50.000
ISttCob>m Bl aod 04) f c $50.001..SI00.000 G •$IOO.OOl·Sl.000.000 H1 -s1.ooo.001..ss.ooo.ooo H:l ·Mott-SS.000.000
2. Value Codes: J •$1$,000(1' ttss K ... Sl.S,001-$50.000 L a SS0.001-$100,000 M •SI00,001.S?SO.OOO
cScc-Colunins.CI llnd03t N •$2SO.<lOO-SSOO.OOO 0 -ssoo.oo' -s'.000,000 Pl s1.ooo,001-ss.ooo.ooo P2 • S5.000.00J-S!5.000.000
PJ -$25,000,001·550.000.000 P4 =SMon- th:. SS0.000.000
3. Value M�hod Cl>de 0 •AflJl':lis.'>!I R •C se fR<aJ Eslatc OriJr) s c AsSCSSll'll:C'I! T •camit.larket
A.
109. Scbwab Money Mia (IRA)
JP Mo rpn C-occt
111. NY Ufe wbo1c lifi: policies
A B
f
CS.X Co h 1 11lf1 C21 u • Book V,Jw. v
Nam< of Pmon Reporting Dart of R epal1
71171'2005
B. c. D. r ...... T> ....
inc period """""' p<riod
( I ) 12) ( I ) ( 2 ) (I) II ooc ex.empt trom dl,Sl,;...,_, i;
(2) (J) (4) ( S ) T)-pe v a1 .. Value o .,;,,
Cod< J C1.)(fit2 Code J H i nt. ) -- (J-1' ) tA·Hl
..d<mc>Cioo)
A Dividend )( T
D lntaesl o . T
B Dividmd F T Nooe
c D E
.
• °""' w • E'.$1:111a.1tcd
FINANCIAL DISCLOSURE REPORT Page 7 of7
Ocscriptioo of Auces (ii.clud�trust assets)
Pbtt , xr after cx11 assetcccqi1 fi'olllprior
110.
Gross vaJuc ;1t md of dorioc .._.,. p<riod
- (e.g. v- Type (e.g. °"" """'"" o( div. tmt.. or Cod< 2 Md>od boy•..ti. - - buyafsdkr
(A· l (J-P) Cod< J °"' (ifprivat� (Q-W) cr.wisaetioa)
:
I. lncomc.'G:iln Codes: • $1.000 or ltss
tSceCol11mas 81 Md D-J) • SSO.OOl-SI00.000 G
l.. ValkC'odes: • $1 s.ooo « k'ss J;
1Stt Cof•inw CI aocf DJ) N ... S . 000-.S.S00. 000 0
PJ -m.000.001.sso.ooo.ooo
J. V:t11H: flik1hl)CjCCll.b 0 •Appr:iisal k
• Sl.001-$2.lOO -s2.so1.ss.ooo •Sl.001-SIS.000 • $15.00l-SSO.OOO
•SI00.001..$1.000.000 HI -s1.ooo.001-ss.ooo.ooo K2 • MOtt th.vi SS.000.000
• SIS.OOl·Sj().000 L • SS0 001.$100.000 M sSIOO.OOJ-S?S0.000
• SS00.001-Sl.000.000 Pl -S1.000,00J..s5.000.000 P2 •S.S. OOO.OOl-s.?5.000. 000
P-4 • SMatt m:c SS0.000.000
• Cns1. RC31 f-Sl31C Onl} l s -""""""'' T •C:ish.M:irkd
Doi re o(R.:porc FINANCIAL DISCLOSURE REPORT Kaplan, Ltwis A
VIlL ADDffiONAL JNFORMA TION OR EX.PLANATIONS
Nan1'ofPersonR<poning
71l'f200S
1. I was married during 2004. AMds listed in Part VU.lines 103 through 110 belong!<> roy spousc and appear in my report fut the first time. 2. (E) d<sigoates ..-held as tJusUe u/w/o dcccascd !dative 3. Yalu.cs listed in Part V arc estimates.
Dace of Report
H- ft/ t J-oa r-
nns RT
FINANCIAL DfSCLOSURE REPORT Name of Person R<portina
IUplm. Lewis A
IX. CERTJFlCATION.
111'{mos
I certifythat all infonnation 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 infonnation not reported was withheld because it met applicable s1alUtory provisions pcnnltting ooo-disclosurc.
I further certify that eamed income from outside employment and boooraria and the acc:eptallCe of gifts \llhich have been reported are in compliance withthe provisions of S U.S.C. § SOI CL seq., S U.S.C. § 7353, and Judicial Conference regulations.
s- n.o
N01l!: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORFAILS = MAY BE SUBJECT TO CIVU.. ANDCRIMINAL SANCTIONS (S U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail sigocd original and 3 additional copiesto:
Committee on Financial DUclo.sare
Administrative Office of the Uni� States Courts Suite2-301
Ono Columbus Cir<:le, N.E.
Washington, D.C. 20544
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