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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

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)

2. Court or Organization U.S. District Court, S.D.N.Y.


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

3. Date of Report 08/03/2011


6. Reporting Period 01/01/2010 to 12/31~010

[] 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,,

I. POSITIONS. m,,~.~ ~o.~:~e~~


D NONE (No reportable positions.) POSITION
I. Parmer
Tll~tee

NAME OF ORGANIZATION/ENTITY
Handy Place Investment Partnership

3. 4. 5.

II. AGREEMENTS. eR~,o,a,~ ~,~,,~.,,~o,,~;.

~]

NONE (No reportable agreements.)

DATE

PARTIES AND TERMS

Kaolan, Lewis A.

FINANCIAL DISCLOSURE REPORT Page 2 of 14

Name of Permn Rq~rting Kaplan, Lewis A.

Date of Report 08/03/2011

IlL NON-INVESTMENT INCOME.


A. Filers Non-lnvestment Income
~. NONE (No reportable non-im,estment income.) DATE SOURCE AND TYPE INCOME (yours. no~ spouses)

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.)

[~

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE


Pension and retirement plan pints -pension plans for benefit of retirees of Random House, Inc.

I. Various 2. 3. 4.

IV. REIMBURSEMENTS -,,~,~r~,~.


(Includes Ihose to spouse and dependent children: see pp. 25-27 of filing ir~tructionx.)

[--~

NONE (No reportable reimbursements.)

SOURCE University of Pennsylvania


2. 3. 4. 5.

DATES 10/29-30/2009

LOCATION Philadelphia, Pa.

PURPOSE Lecture

ITEMS PAID OR PROVIDED Travel, lodging, meals

FINANCIAL DISCLOSURE REPORT Page 3 of 14

Name ot Person Reporting gaplan, Lewis A.

Dtte of Report 08/03/2011

~]

NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE

I. 2. 3. 4. 5.

VI. LIABILITIES. a.c~ua,~ ,ho, of ,~u,e


NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

and depe~dent children: see pl~ 32-33 of filing instructions.)

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 14

Name of Person Reporting Kaplan, Lewis A.

l~te of Report 08103/2011

NONE (No reportable income, assets, or transactions.)


A. Description of A.ssets (including trt~ assets) Place "(X)" after each asset exempt f:mm pri~" disclosme B. Income during reporting penud (11 Amount C-.~e I (A-H) (2) Type (e.g, div., rent, or int.) C. Gross value at tnd of reposing period O) Value Code 2 (l-P) (2} Value Method Code 3 (Q-W) (t) Type (e.g-, lmy, sell, re~k-mption) D. Tran.........m~ion~ during relx~rting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code I (J-P) (A-H)

Identity of buyerlseller (if private transaction)

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. I I. 12. 13. 14. 15. 16. 17.

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

Interest Interest Interest Interest Interest None None J


J

None Redeemed Redeemed Sold W


W

01/04/10 01104/10 01/04110 02/17/10

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

Redeemed Redeemed Redeemed Sold

I 1/01/101 06/01/10 04/01/10 01104110


10/28/I 0

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

I. Incon~ Gain Codes:

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~

R ~o~ (R~ ~te ~ly) V ~

S -A~I W

T ~ ~d

FINANCIAL DISCLOSURE REPORT Page 5 of 14 VII. INVESTMENTS and TRUSTS


~ NONE (No reportable income, assets.
A. lK-~nption of As.,~Is (including trust ~) Pla~ "(X)" after ~ ~ ex~ f~m ~ di~l~mc B. Income during ~ng ~

Name of Person Repotting Kaplan, Lewis A.

Date of Report 08/03/2011

C. Gro~ value at end of~ ~ (t) V~ ~2 O-P) (2) Vdu M~ ~3 Type (e g., Ixq, sell,

Transactions during ~poning period

(t) (2) A~I T~ (e.g, C~ I div., ~ ~A-H) or int.)

(2) (3) 14) Date Va~ue Gain mm/dd/yy Code 2 Code I (J-P) (A-H)

(5) [denti~y of buyeffselka" (if p~vate transaction)

18.

Greece CSD 4.5 17

B C

i Interest Int~est M

Sold

06/25110 M

19. NYC4.375 II (E)

20. MTA 5.0 23


21.
22.

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

23. NYS Dorm 5.0 19 (muir. issues) 24. MrA4.75 26


25. 26. 27. Long Island Pwr 4.75 24 NYS Dorm 4.75 25 Bank Amer 4.65 12

28. 29. 30. 31.


32. 33. 34.

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

FINANCIAL DISCLOSURE REPORT Page 6 of 14

Date of Report 08/03/201 !

A. Description of ~ (including ~ ~s.se~) Place "(X)" after ~ch ~ exempt from prim di~:loxure

O. Income during ~-.porting p~-iod

C. Gross value at ~ of reporting period

D. Trartsactiogs during reporting period

(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

FINANCIAL DISCLOSURE REPORT Page 7 of 14

Date of Rep~r~ 08/03/2011

NON E (No reportable income, assets, or transactions.)


A. 13~criptio~ of As.~ts (including trt~ axs~) Place "(X}" after each as.s~ exempt from ixior dt.sclosm~ B. Income dinrag ~-porting p~-iod (11 (2) Amount Type (.g, Code I div., rent. (A-H) or lnl } C. Gross value at end of t~porting period (t) Value Code 2 {l-P) (2) Value Method Code 3 (Q-W) O) Typ~ (e.g., buy, sell, redemption) D. Transactions dunng reporting p~riod (2) (31 (4) Date Vakt~ Gain mm/ddiyy Code 2 Code I (J-P) (A-H) (5) Identily of buyt-r/seller {if private wansactmn)

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

Buy Buy (addl)

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

FINANCIAL DISCLOSURE REPORT Page 8 of 14

Name of Persoa Reporting Kaplan, Lewis A.

Date of Report 08/0312011

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)

69. 70. 71. 72. 73. 74. 75. 76.

JP Morgan Short Duration Bd Fd

D Distribution

Buy (addl) Sold

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

FINANCIAL DISCLOSURE REPORT Page 9 of 14 VI I. INVESTMENTS and TRUSTS [-~

Name of Person Reporting KapLt~ Lewis A.

Date o[ Rel~rt 08/03/2011

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.,

TransBctio~ during ~lx~ing p~iod


(2) (3) (4) Date Value (J-P) (5) Identity of

Gain (A-H)

Cod~ 2
(J-P)

Method Code 3
(Q-W)

buy, s~ll,
redemption)

mn~dd/~, Code 2 COde I

buy~/~llex
(if private trat~ction)

86.

JP Morgan International Value Fund~_~_

A B A A A A

Distribution Distribution Distribution Interest lnt./Div. Interest None

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

Interest Interest Interest Interest Distribution

B A B

Distribution Distribution Distribution

L L M

T T T

Buy Buy Buy Buy (addl)

D =$5.001 - $15.000 M =.$1~0.1~1 - I150.000 t"2 =$5.(X}0.001 - S25.0.0~.~ T =Cash

E =$ 15,001 - $5,0.000

FINANCIAL DISCLOSURE REPORT Page 10of 14

VII. INVESTMENTS and TRUSTS - i. .....

~uo, tran~rions (lnclud~ those of spouse and dependent children; see pp. 34-60 of fding insttuctiong)

NONE (No reportable income, assets, or transactions.)


Gro~ value at end o f ~--porting

T~cmms ~ n:~rti~g txriod


(I)

(t) Value Code 2 (j-p)

(2) Value Method Code 3 (Q-W) T T

(z)
Date

(3) (4)
Value (J-p) Gain (A-H)

(5)
Identity of

TyI~ (e.g.,
buy, s~ll,

mm,dd/yy Code 2 Code I

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

01/26/10 [ K 04/05/10 03/31/I0 01/22/I0 K K J

(addl)
A A Distribution Distribution K K T T Buy Buy

I. Incom~ Gain Codes: 2. Val~ ~

A =11.000 or left I ~15,~ ~ less

B =$1.001 . $1~ K

C =$Z~I - $5,~

O -$5,~1 - $15.~

E -$ 15,1)01

FINANCIAL DISCLOSURE REPORT Page 11 of 14

Date of Report 08/03/2011

VII. INVESTMENTS and TRUSTS -inc~me~a~ue~transac6~ns~7nclud~th~se~f~p~u$eanddependentchildren:s~epp.34-6~f~ingins~ruc~i~n~.)


NONE (No reportable income, czvsets, or transactions.) Transac~ons during n=porting period
(2) (3) (4) Date Value mm/dd/yy Cod~ 2 (J-P) (5) Identity of buy~/s~lter (iflmvate ~nsaction)

Type (e.g., buy,

Gain Code I (A-H)

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

Buy Buy Buy (addl)

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~ ~

B -$ 1.001 - $2.50~ G ~|100.001 g =$1L001 - $.~).~0 O ,~$500.001 R =Cos~ IRr~l ~ Only)

(2 =$2.5~1 Ill ---$l.O~O.OOl. L =$50.001 - $100.000 PI -~ 1.000,001 -

E ---$15.0~1 $50.000 H2 ~Mo~ ~an M ~100,(]01 P2 -$3.000.001 . $2L000,0~ T =<Zash Market

W ~Es~m~at~l

FINANCIAL DISCLOSURE REPORT Page 12 of 14

Person Rt~orliag I~pl~, L~wis A.

NONE (No reportable income, assets, or transactions.)


A. D~,criplion of Ass~t~ (including ~ assets) Place "(X)" after each asr~t exenkot from ~ dLsclo~ta~ B. Income during reporting period {I) (2) Amount T)T~ (e.g., Code I div., renL (A-H) or inL) C. Gross value al end of r~wtmg p~riod O) Value Code 2 (.I-P1 (2) Value Method Code 3 (Q-W) O) Ty~ (e.g., buy, sell, redemption) D. Trartsactions durmg reporting period (2) ~3) (4) Date Value Gain am/rid/y) Code 2 Code I (J-P) IA-H) (5) Identity of buy~r/seller (if private transaction)

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.

Interest None None None

K K L K

T T T T

Buy Buy Buy Buy

02/25/I 0 01/21/10! 06/15/10 11/22/10

K K L K

FINANCIAL DISCLOSURE REPORT Page 13 o f ! 4

N~ne of Per~n Reporting Kaplar~ Levi5 A.

D~te of Report 08/03r2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


I. {E) designates assets held as tTUSt~e~ ...... ............ ..... .~.~] 2. Part VII, line 40 - name of Io~:ality omitted for security reasons 3. Income for 1986 EES and Ilandy Place partne~ships equals distributions

FINANCIAL DISCLOSURE REPORT Page 14 of 14 IX. CERTIFICATION.

Date of Report 08/03/20 ! I

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)

Committee on Financial Disclosure Administrative Office of the United States Courts


Suite 2-301 One Columbus Circle, N.E.

Washington, D.C. 20544