# Lewis A. Kaplan

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/33587

## Record

- **Judge:** Lewis A. Kaplan
- **Year:** 2020
- **Pages:** 17

## Text

Individual Assets (H)
CITIBANK (cash) — Interest
JP MORGAN CHASE (cash) — Interest
COMMUNITY BANK (cash) — Interest
NY LIFE INS. (whole life policies) — Dividend
Account #1 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Buy
JPM EQUITY INCOME FD (HLIEX) — Buy (add'l)
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD (JVASX) — Sold
US TREAS BILL 03/05/2020 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — Interest — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — Interest — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — Interest — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM MANAGED INCOME FD (JMGIX) — Dividend
Account #2 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — Sold
US TREAS BILL 03/05/20 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — None — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — None — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — None — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend
Account #3 (H)
JPM CHASE (cash) — Interest
JPM EQUITY INCOME FD (HLIEX) — Dividend
JPM CORE BOND FD (PGBOX) — Dividend
JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend
Account #4 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) (Y)
ERIE CNTY NY INDL DEV AGY SCHFAC REV (29509PKD0) — Interest — Redeemed
CLARKSTOWN NY REF-VAR PURP (182306X70) — Interest
SCHENECTADY CNTY NY VAR PURP (806415V28) — Interest
ROCKVILLE CENTRE NY (774132W34) — Interest
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DR4) — Interest
NY ST BRDG AUTH (649807CB8) — Interest
BROOKHAVEN NY REF (113152US9) — Interest
ERIE CNTY NY FISCAL STABILITYAUTH (29508RGN0) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990ENF0) — Interest
NASSAU CNTY NY SWR & STORM WTR FIN (63166QBY5) — Interest
ORANGE CNTY NY REF-VAR PURP- SER A (6845753M3) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG (64972HXJ6) — Interest
PORT AUTH OF NY & NJ NY SER 179 (73358WQQ0) — Interest
THREE VLG NY CENTRL SCH DIST REF (885766NT8) — Interest
CHEEKTOWAGA NY VAR PURP LTD TAX (162879P38) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBG3) — Interest
NY ST DORM AUTH SALES TAX REV (64990AEY7) — Interest
MT VERNON NY CITY SCH DIST (623606D72) — Interest
WAYNE CITY NY REF LTD TAX (945829EN5) — Interest
NY NY FISCAL 2020-SER B-1 (64966Q- FC-9) — Interest — Buy
Account #5 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
TRIBOROUGH NY BRIDGE & TUNNELAUTH REVENUES (89602NZB3) — Interest — Redeemed
WESTCHESTER CNTY NY SER B (95736UZS6) — Interest
PLAINVIEW OLD BETHPAGE NY CENTRL SCH (726715HX6) — Interest
NASSAU CNTY NY INTERIM FIN AUTH (631663NN7) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
ISLAND TREES NY UNION FREE (464568GK4) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE (64971WFV7) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990E3R6) — Interest
NY ST DORM AUTH REVS NON ST SUPPORTED DEBT GR NECK (649907Z39) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY CITY NY MUNI WTR FIN AUTH WTR (64972GUK8) — Interest
SALES TAX ASSET RECEIVABLE CORP NY (794665FM6) — Interest
NY CTY NY TR CULTURAL RES REF - MUSEUM OF MODERN ART (649717SZ9) — Interest
ARLINGTON NY CENTRAL SCH DIST REF UNLTD TAX (041717NR6) — Interest
SOUTHAMPTON NY UN FREE SCHOOL REF UNLIMITED TAX (841098DS2) — Interest
MONROE CNTY NY INDL DEN CORP REV REF - U OF ROCHESTER PR (61075TRY6) — Interest
MET TRANSPRTN AUTH REV GREEN BDS REF SER C (59261APX9) — Interest
UTIL DEBT SECURITIZATION AUTH NY REF RESTR SER A (91802RCK3) — Interest
ORCHARD PK NY CENTRL SCH DIST (870994969) — Interest
MT VERNON NY CITY CENTRL SCH DIST (623606C24) — Interest
RIVERHEAD NY PUB IMPT-SER A LTD (768738XQ4) — Interest
THREE VLG NY CENTRL SCH DIST (885766NW1) — Interest
HAVERSTRAW TOWN NY REF (419583- AL-3) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Account #6 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DP8) — Interest — Redeemed
ISLIP NY REF (4647226W2) — Interest
COLD SPRING HBR NY CENTRL SCH DIST REF (192867FM6) — Interest — Redeemed
NEW YORK ST DORM AUTH SALES (1) (64990A-PW-9) — Interest
NEW YORK ST DORM AUTH SALES (2) (64990A-PY-5) — Interest
NORTH SHORE NY CENTRL SCH DIST (662323HL1) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (1) (64972G- XL-3) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (2) (64972G- XK-5) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX 4.0% (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV (64971WFV7) — Interest
NY ST REF SER C UNLTD TAX (649791ME7) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG AID REV (64972HVC3) — Interest
NY ST DORM AUTH REVS NON ST (649907Z47) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBX6) — Interest
ELMSFORD NY UN FREE SCH DIST (290011BC8) — Interest
ONONDAGA CNTY NY (6827457H1) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
PORT CHESTER NY REF-PUBLIC IMPT- SER (733760US9) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY ST URBAN DEV CORP REF PERS INCOME TAX SER A (650035T99) — Interest
RYE NECK NY UN FREE SCH DIST SER A (783583GA9) — Interest
LANCASTER NY CENTRL SCH DIST SER A (514224-PS-7) — None — Buy
NYACK NY UN FREE SCH DIST UNLTD (670658KE2) — Interest
PORT AUTH OF NY & NJ NY REF (73358W-V3-5) — Interest — Buy
DALLAS TX WTRWKS & SWR SYS REV SER C (23542J-JU-0) — Interest — Buy
Account #7 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
SHENENDEHOWA NY CENTRL SCH DIST REF (823194E76) — Interest — Redeemed
NY CITY NY TR FOR CULTURAL RES (649717RK3) — Interest
EAST ISLIP NY UNION FREE SCH DIST (273173KC7) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
NY ST DORM AUTH REVS NON ST (649907A77) — Interest
NEW HYDE PARK & GARDEN CITY PARK NY (645541CY7) — Interest
HAVERSTRAW-STONY POINT NY CENTRL SCH (419578RM3) — Interest
PINE BUSH NY CENTRL SCH DIST (722477LQ7) — Interest
NY ST UNLIMITED TAX A (649791HH6) — Interest
CLARKSTOWN NY CENTRL SCH DIST (182324UU5) — Interest
NY ST DORM AUTH REVS NON ST (649907Z39) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990EYE1) — Interest
PORT AUTH OF NY & NJ NY CONSOL- ONE (73358WRR7) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
DUTCHESS CNTY NY PUB IMPT SER B (2670397K5) — Interest
MAMARONECK VLG NY REF LTD (561501PX9) — Interest
CLARKSTOWN NY PUB IMPT (1823062Q2) — Interest
WESTCHESTER CNTY NY SER A (95736U4U5) — Interest
COLUMBIA CNTY NY SER B LTD (197504SU8) — Interest
NYACK NY UN FREE SCH DIST (670658KE2) — Interest
NY ST URBAN DEV CORP REV SER A (650036-AC-0) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Individual Assets (H)
CITIBANK (cash) — Interest
JP MORGAN CHASE (cash) — Interest
COMMUNITY BANK (cash) — Interest
NY LIFE INS. (whole life policies) — Dividend
Account #1 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Buy
JPM EQUITY INCOME FD (HLIEX) — Buy (add'l)
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD (JVASX) — Sold
US TREAS BILL 03/05/2020 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — Interest — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — Interest — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — Interest — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM MANAGED INCOME FD (JMGIX) — Dividend
Account #2 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — Sold
US TREAS BILL 03/05/20 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — None — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — None — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — None — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend
Account #3 (H)
JPM CHASE (cash) — Interest
JPM EQUITY INCOME FD (HLIEX) — Dividend
JPM CORE BOND FD (PGBOX) — Dividend
JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend
Account #4 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) (Y)
ERIE CNTY NY INDL DEV AGY SCHFAC REV (29509PKD0) — Interest — Redeemed
CLARKSTOWN NY REF-VAR PURP (182306X70) — Interest
SCHENECTADY CNTY NY VAR PURP (806415V28) — Interest
ROCKVILLE CENTRE NY (774132W34) — Interest
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DR4) — Interest
NY ST BRDG AUTH (649807CB8) — Interest
BROOKHAVEN NY REF (113152US9) — Interest
ERIE CNTY NY FISCAL STABILITYAUTH (29508RGN0) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990ENF0) — Interest
NASSAU CNTY NY SWR & STORM WTR FIN (63166QBY5) — Interest
ORANGE CNTY NY REF-VAR PURP- SER A (6845753M3) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG (64972HXJ6) — Interest
PORT AUTH OF NY & NJ NY SER 179 (73358WQQ0) — Interest
THREE VLG NY CENTRL SCH DIST REF (885766NT8) — Interest
CHEEKTOWAGA NY VAR PURP LTD TAX (162879P38) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBG3) — Interest
NY ST DORM AUTH SALES TAX REV (64990AEY7) — Interest
MT VERNON NY CITY SCH DIST (623606D72) — Interest
WAYNE CITY NY REF LTD TAX (945829EN5) — Interest
NY NY FISCAL 2020-SER B-1 (64966Q- FC-9) — Interest — Buy
Account #5 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
TRIBOROUGH NY BRIDGE & TUNNELAUTH REVENUES (89602NZB3) — Interest — Redeemed
WESTCHESTER CNTY NY SER B (95736UZS6) — Interest
PLAINVIEW OLD BETHPAGE NY CENTRL SCH (726715HX6) — Interest
NASSAU CNTY NY INTERIM FIN AUTH (631663NN7) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
ISLAND TREES NY UNION FREE (464568GK4) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE (64971WFV7) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990E3R6) — Interest
NY ST DORM AUTH REVS NON ST SUPPORTED DEBT GR NECK (649907Z39) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY CITY NY MUNI WTR FIN AUTH WTR (64972GUK8) — Interest
SALES TAX ASSET RECEIVABLE CORP NY (794665FM6) — Interest
NY CTY NY TR CULTURAL RES REF - MUSEUM OF MODERN ART (649717SZ9) — Interest
ARLINGTON NY CENTRAL SCH DIST REF UNLTD TAX (041717NR6) — Interest
SOUTHAMPTON NY UN FREE SCHOOL REF UNLIMITED TAX (841098DS2) — Interest
MONROE CNTY NY INDL DEN CORP REV REF - U OF ROCHESTER PR (61075TRY6) — Interest
MET TRANSPRTN AUTH REV GREEN BDS REF SER C (59261APX9) — Interest
UTIL DEBT SECURITIZATION AUTH NY REF RESTR SER A (91802RCK3) — Interest
ORCHARD PK NY CENTRL SCH DIST (870994969) — Interest
MT VERNON NY CITY CENTRL SCH DIST (623606C24) — Interest
RIVERHEAD NY PUB IMPT-SER A LTD (768738XQ4) — Interest
THREE VLG NY CENTRL SCH DIST (885766NW1) — Interest
HAVERSTRAW TOWN NY REF (419583- AL-3) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Account #6 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DP8) — Interest — Redeemed
ISLIP NY REF (4647226W2) — Interest
COLD SPRING HBR NY CENTRL SCH DIST REF (192867FM6) — Interest — Redeemed
NEW YORK ST DORM AUTH SALES (1) (64990A-PW-9) — Interest
NEW YORK ST DORM AUTH SALES (2) (64990A-PY-5) — Interest
NORTH SHORE NY CENTRL SCH DIST (662323HL1) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (1) (64972G- XL-3) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (2) (64972G- XK-5) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX 4.0% (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV (64971WFV7) — Interest
NY ST REF SER C UNLTD TAX (649791ME7) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG AID REV (64972HVC3) — Interest
NY ST DORM AUTH REVS NON ST (649907Z47) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBX6) — Interest
ELMSFORD NY UN FREE SCH DIST (290011BC8) — Interest
ONONDAGA CNTY NY (6827457H1) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
PORT CHESTER NY REF-PUBLIC IMPT- SER (733760US9) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY ST URBAN DEV CORP REF PERS INCOME TAX SER A (650035T99) — Interest
RYE NECK NY UN FREE SCH DIST SER A (783583GA9) — Interest
LANCASTER NY CENTRL SCH DIST SER A (514224-PS-7) — None — Buy
NYACK NY UN FREE SCH DIST UNLTD (670658KE2) — Interest
PORT AUTH OF NY & NJ NY REF (73358W-V3-5) — Interest — Buy
DALLAS TX WTRWKS & SWR SYS REV SER C (23542J-JU-0) — Interest — Buy
Account #7 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
SHENENDEHOWA NY CENTRL SCH DIST REF (823194E76) — Interest — Redeemed
NY CITY NY TR FOR CULTURAL RES (649717RK3) — Interest
EAST ISLIP NY UNION FREE SCH DIST (273173KC7) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
NY ST DORM AUTH REVS NON ST (649907A77) — Interest
NEW HYDE PARK & GARDEN CITY PARK NY (645541CY7) — Interest
HAVERSTRAW-STONY POINT NY CENTRL SCH (419578RM3) — Interest
PINE BUSH NY CENTRL SCH DIST (722477LQ7) — Interest
NY ST UNLIMITED TAX A (649791HH6) — Interest
CLARKSTOWN NY CENTRL SCH DIST (182324UU5) — Interest
NY ST DORM AUTH REVS NON ST (649907Z39) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990EYE1) — Interest
PORT AUTH OF NY & NJ NY CONSOL- ONE (73358WRR7) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
DUTCHESS CNTY NY PUB IMPT SER B (2670397K5) — Interest
MAMARONECK VLG NY REF LTD (561501PX9) — Interest
CLARKSTOWN NY PUB IMPT (1823062Q2) — Interest
WESTCHESTER CNTY NY SER A (95736U4U5) — Interest
COLUMBIA CNTY NY SER B LTD (197504SU8) — Interest
NYACK NY UN FREE SCH DIST (670658KE2) — Interest
NY ST URBAN DEV CORP REV SER A (650036-AC-0) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Individual Assets (H)
CITIBANK (cash) — Interest
JP MORGAN CHASE (cash) — Interest
COMMUNITY BANK (cash) — Interest
NY LIFE INS. (whole life policies) — Dividend
Account #1 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Buy
JPM EQUITY INCOME FD (HLIEX) — Buy (add'l)
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD (JVASX) — Sold
US TREAS BILL 03/05/2020 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — Interest — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — Interest — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — Interest — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM CORE BOND FD (PGBOX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)
JPM MANAGED INCOME FD (JMGIX) — Dividend
Account #2 (H)
JPM CHASE (cash) — Int./Div.
AMER CENTURY EQUITY INCOME- INV (TWEIX) — None — Sold (part)
AMER CENTURY EQUITY INCOME- INV (TWEIX) — Sold
JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)
JPM EQUITY INCOME FD (HLIEX) — Sold
JPM LARGE CAP GROWTH FD (SEEGX) — None — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Sold
JPM US EQUITY FD (JUESX) — None — Sold (part)
JPM US EQUITY FD (JUESX) — Sold
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — None — Sold (part)
JPM VALUE ADVANTAGE FD - SEL FUND 1399 (JVASX) — Sold
US TREAS BILL 03/05/20 (912796TH2) — Interest — Redeemed
US TREAS BILL 06/04/20 (912796-TX-7) — None — Buy
US TREAS BILL 06/04/20 (912796-TX-7) — Redeemed
US TREAS BILL 06/11/20 (912796-TZ-2) — None — Buy
US TREAS BILL 06/11/20 (912796-TZ-2) — Redeemed
US TREAS BILL 09/17/20 (912796-2G-3) — None — Buy
US TREAS BILL 09/17/20 (912796-2G-3) — Redeemed
US TREAS BILL 12/24/20 (912796-3L-1) — Interest — Buy
US TREAS BILL 12/24/20 (912796-3L-1) — Redeemed
US TREAS BILL 03/25/21 (912796-2F-5) — None — Buy
JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)
JPM SHORT DURATION BOND FD (HLLVX) — Dividend
Account #3 (H)
JPM CHASE (cash) — Interest
JPM EQUITY INCOME FD (HLIEX) — Dividend
JPM CORE BOND FD (PGBOX) — Dividend
JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend
Account #4 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) (Y)
ERIE CNTY NY INDL DEV AGY SCHFAC REV (29509PKD0) — Interest — Redeemed
CLARKSTOWN NY REF-VAR PURP (182306X70) — Interest
SCHENECTADY CNTY NY VAR PURP (806415V28) — Interest
ROCKVILLE CENTRE NY (774132W34) — Interest
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DR4) — Interest
NY ST BRDG AUTH (649807CB8) — Interest
BROOKHAVEN NY REF (113152US9) — Interest
ERIE CNTY NY FISCAL STABILITYAUTH (29508RGN0) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990ENF0) — Interest
NASSAU CNTY NY SWR & STORM WTR FIN (63166QBY5) — Interest
ORANGE CNTY NY REF-VAR PURP- SER A (6845753M3) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG (64972HXJ6) — Interest
PORT AUTH OF NY & NJ NY SER 179 (73358WQQ0) — Interest
THREE VLG NY CENTRL SCH DIST REF (885766NT8) — Interest
CHEEKTOWAGA NY VAR PURP LTD TAX (162879P38) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBG3) — Interest
NY ST DORM AUTH SALES TAX REV (64990AEY7) — Interest
MT VERNON NY CITY SCH DIST (623606D72) — Interest
WAYNE CITY NY REF LTD TAX (945829EN5) — Interest
NY NY FISCAL 2020-SER B-1 (64966Q- FC-9) — Interest — Buy
Account #5 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
TRIBOROUGH NY BRIDGE & TUNNELAUTH REVENUES (89602NZB3) — Interest — Redeemed
WESTCHESTER CNTY NY SER B (95736UZS6) — Interest
PLAINVIEW OLD BETHPAGE NY CENTRL SCH (726715HX6) — Interest
NASSAU CNTY NY INTERIM FIN AUTH (631663NN7) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
ISLAND TREES NY UNION FREE (464568GK4) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE (64971WFV7) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990E3R6) — Interest
NY ST DORM AUTH REVS NON ST SUPPORTED DEBT GR NECK (649907Z39) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY CITY NY MUNI WTR FIN AUTH WTR (64972GUK8) — Interest
SALES TAX ASSET RECEIVABLE CORP NY (794665FM6) — Interest
NY CTY NY TR CULTURAL RES REF - MUSEUM OF MODERN ART (649717SZ9) — Interest
ARLINGTON NY CENTRAL SCH DIST REF UNLTD TAX (041717NR6) — Interest
SOUTHAMPTON NY UN FREE SCHOOL REF UNLIMITED TAX (841098DS2) — Interest
MONROE CNTY NY INDL DEN CORP REV REF - U OF ROCHESTER PR (61075TRY6) — Interest
MET TRANSPRTN AUTH REV GREEN BDS REF SER C (59261APX9) — Interest
UTIL DEBT SECURITIZATION AUTH NY REF RESTR SER A (91802RCK3) — Interest
ORCHARD PK NY CENTRL SCH DIST (870994969) — Interest
MT VERNON NY CITY CENTRL SCH DIST (623606C24) — Interest
RIVERHEAD NY PUB IMPT-SER A LTD (768738XQ4) — Interest
THREE VLG NY CENTRL SCH DIST (885766NW1) — Interest
HAVERSTRAW TOWN NY REF (419583- AL-3) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Account #6 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
PEMBROKE NEW YORK CENTRAL SCHOOL (706427BY6) — Interest — Redeemed
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH (280101DP8) — Interest — Redeemed
ISLIP NY REF (4647226W2) — Interest
COLD SPRING HBR NY CENTRL SCH DIST REF (192867FM6) — Interest — Redeemed
NEW YORK ST DORM AUTH SALES (1) (64990A-PW-9) — Interest
NEW YORK ST DORM AUTH SALES (2) (64990A-PY-5) — Interest
NORTH SHORE NY CENTRL SCH DIST (662323HL1) — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF (823194F26) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (1) (64972G- XL-3) — Interest
NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV (2) (64972G- XK-5) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT (803531TR3) — Interest
ALBANY NY LTD TAX 4.0% (012429AE6) — Interest
NY CITY NY TRNSTIONAL FIN AUTH REV (64971WFV7) — Interest
NY ST REF SER C UNLTD TAX (649791ME7) — Interest
NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING (64986AZ61) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG AID REV (64972HVC3) — Interest
NY ST DORM AUTH REVS NON ST (649907Z47) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBX6) — Interest
ELMSFORD NY UN FREE SCH DIST (290011BC8) — Interest
ONONDAGA CNTY NY (6827457H1) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
PORT CHESTER NY REF-PUBLIC IMPT- SER (733760US9) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
NY ST URBAN DEV CORP REF PERS INCOME TAX SER A (650035T99) — Interest
RYE NECK NY UN FREE SCH DIST SER A (783583GA9) — Interest
LANCASTER NY CENTRL SCH DIST SER A (514224-PS-7) — None — Buy
NYACK NY UN FREE SCH DIST UNLTD (670658KE2) — Interest
PORT AUTH OF NY & NJ NY REF (73358W-V3-5) — Interest — Buy
DALLAS TX WTRWKS & SWR SYS REV SER C (23542J-JU-0) — Interest — Buy
Account #7 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
FALCONER NEW YORK CENTRAL SCHOOL (306117CU4) — Interest — Redeemed
SHENENDEHOWA NY CENTRL SCH DIST REF (823194E76) — Interest — Redeemed
NY CITY NY TR FOR CULTURAL RES (649717RK3) — Interest
EAST ISLIP NY UNION FREE SCH DIST (273173KC7) — Interest
PITTSFORD NY CENTRL SCH DIST (725635EJ1) — Interest
NY ST DORM AUTH REVS NON ST (649907A77) — Interest
NEW HYDE PARK & GARDEN CITY PARK NY (645541CY7) — Interest
HAVERSTRAW-STONY POINT NY CENTRL SCH (419578RM3) — Interest
PINE BUSH NY CENTRL SCH DIST (722477LQ7) — Interest
NY ST UNLIMITED TAX A (649791HH6) — Interest
CLARKSTOWN NY CENTRL SCH DIST (182324UU5) — Interest
NY ST DORM AUTH REVS NON ST (649907Z39) — Interest
NY ST DORM AUTH ST PERSNL INC TAX (64990EYE1) — Interest
PORT AUTH OF NY & NJ NY CONSOL- ONE (73358WRR7) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802RBZ1) — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420RAM2) — Interest
DUTCHESS CNTY NY PUB IMPT SER B (2670397K5) — Interest
MAMARONECK VLG NY REF LTD (561501PX9) — Interest
CLARKSTOWN NY PUB IMPT (1823062Q2) — Interest
WESTCHESTER CNTY NY SER A (95736U4U5) — Interest
COLUMBIA CNTY NY SER B LTD (197504SU8) — Interest
NYACK NY UN FREE SCH DIST (670658KE2) — Interest
NY ST URBAN DEV CORP REV SER A (650036-AC-0) — Interest — Buy
N TX ST MUNI WTR DIST REGL WSTWTR (662835-M9-5) — Interest — Buy
Trustee, Trust #1 (reportable assets are listed in Part VII)
Trustee, Trust #2 (no reportable assets)
Trustee, Trust #1 (reportable assets are listed in Part VII)
Trustee, Trust #2 (no reportable assets)
Trustee, Trust #1 (reportable assets are listed in Part VII)
Trustee, Trust #2 (no reportable assets)
Spouse's income — 2020 — Pension and retirement plan pmts-pension plans for benefit of retirees of Random House, Inc.
Spouse's income — 2020 — Newspaper Guild NY - NY Times pension
Spouse's income — 2020 — Pension and retirement plan pmts-pension plans for benefit of retirees of Random House, Inc.
Spouse's income — 2020 — Newspaper Guild NY - NY Times pension
Spouse's income — 2020 — Pension and retirement plan pmts-pension plans for benefit of retirees of Random House, Inc.
Spouse's income — 2020 — Newspaper Guild NY - NY Times pension
Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether
taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per
page 42 of the filing instructions.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/33587. Public record. Not legal advice.