# Lewis A. Kaplan

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/4237

## Record

- **Judge:** Lewis A. Kaplan
- **Year:** 2018
- **Report type:** Annual
- **Pages:** 15

## Text

CITIBANK (cash) — Interest
JP MORGAN CHASE (cash) — Interest
NATIONAL UNION BANK — Interest
NY LIFE INS. (whole life policies) — Int/Div
BROKERAGE ACCOUNT #1 (H)
JPM TAX FREE MMKT INST SWEEP FD {cash (Y)
NY ST REF-SER C 649791-JB-7 AA~ AAI — Interest — Sold
PORT WA NY UN FREE SCH DIST REF T3558 1-LU-2 NR /AA2 — Interest
NORTH SHORE NY CENTRL SCH DIST 662323-HJ-6 NR AAI — Interest
FALCONER NEW YORK CENTRAL SCHOOL 306117.CL-4 AA /A2 — Interest
PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA- /NR — Interest
WESTCHESTER CNTY NY SER B OS5TI6L-ZS6 AAA /AAL — Interest
PLAINVIEW OLD BETHPAGE NY CENTRL SCH 726715-HX-6 AAA /NR — Interest
NASSAU CNTY NY INTERIM FIN AUTH 631663-NN-7 AAA NR — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2.6 AA /NR — Interest
ISLAND TREES NY UNION FREE 464568-GK-4 NR /AA2 — Interest
SARATOGA SPRINGS NY REF-PUB IMPT 803531-TR-3 AA+ /NR — Interest
ALBANY NY LTD TAX 012429-AE-6 — None — Buy
NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE 6497 1W-FV-7T AAA JAA — Interest
NY ST DORM AUTH ST PERSNL INC TAX 64990F-3R-6 AAA JAA — Interest
HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420R-AM-2) — Interest
NY ST DORM AUTH SALES TAX REV 64990A-DR-3 AAA /AAL — Interest — Sold
SALES TAX ASSET RECEIVABLE CORP NY 794665-FM-6 AAA JAA — Interest
ARLINGTON NY CENTRAL SCH DIST REF UNLTD TAX (04171 7-NR-6) — Interest
SOUTHAMPTON NY UN FREE SCHOOL REF UNLIMITED TAX (841(98-DS-2) — Interest
MET TRANSPRTN AUTH REV GREEN BDS REF SER C (59261 A-PX.9) — Interest
UTIL DEBT SECURITIZATION AUTH NY REF RESTR SER A (91802R-CK-}) — Interest
ORCHARD PK NY CENTRL SCH DIST £70904.96.9 — None — Buy
MT VERNON NY CITY CENTRL SCH DIST 62360624 — None — Buy
RIVERHEAD NY PUB IMPT-SER A LTD T68738-X0-4 — None — Buy
THREE VLG NY CENTRL SCH DIST RRSTH6-NW- — None — Buy
BROKERAGE ACCOUNT #2 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
WESTCHESTER CNTY NY LIMITED O57I6L-YW-8 AAA JAA — Interest — Redeemed
SACHEM NY CENTRL SCH DIST OF HOLBROOK 785721-TR-2 AA /NR — Interest — Redeemed
ARLINGTON NEW YORK CENTRAL SCHOOL (41717-LD9 AA- NR — Interest
PORT WA NY UN FREE SCH DIST REF T3588 1-LU-2 NR /AA2 — Interest
COLD SPRING HBR NY CENTRL SCH DIST REF 192867-FM-6 AAA /NR — Interest
PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA-/NR — Interest
EDGEMONT NY UN FREE SCH DIST OF GREENBLRGH 280101-DP-8 NR /AA2 — Interest
ISLIP NY REF 464722-6W-2 AA+ JAAN — Interest
NY ST DORM AUTH SALES TAX REV H64990A-BA-2 AAA JAAL — Interest
NORTH SHORE NY CENTRL SCH DIST 662323.HL-1 NR /AAI — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2.6 AA /NR — Interest
PITTSFORD NY CENTRL SCH DIST 725635-EJ<1 NR JAA) — Interest
SARATOGA SPRINGS NY REF-PUB IMPT 803531-TR-3 AA+ /NR — Interest
ALBANY NY LTD TAX 4.0% (012429 AE6 AA) — None — Buy
NY CITY NY TRNSTIONAL FIN AUTH REV 6497 1W-FV-7 AAA JAA — Interest
NY ST REF SER C UNLTD TAX (649791 MET) — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG AID REV 64972H-VC-3 AA /AA2 — Interest
NY ST DORM AUTH REVS NON ST 649907-24-7T NR /AAA — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802R-BX-6) — None — Buy
ELMSFORD NY UN FREE SCH DIST (29001 1-BC-8 NA) /AA2 — None — Buy
ONONDAGA CNTY NY 682745-TH-1 AA + AA2 — Interest
UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA AAA — Interest
PORT CHESTER NY REF-PUBLIC IMPT- SER 731760-UUS-9 NR /AA3 — Interest
HUDSON YDS INFRASTRUCTURE CORP NY IND INDENT (44420R-AM-2) — Interest
NY ST URBAN DEV CORP REF PERS INCOME TAX SER A (650035.79.9) — Interest
BROKERAGE ACCOUNT #3 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
OZARK MISSOURI REORG SCHOOL DISTRICT 692634.C7-9 AA+ NR — Interest — Redeemed
ROSLYN NY UN FREE SCH DIST T7R190-FY-9 NR JAA — Interest — Redeemed
NY ST ENVRNMNTL FACS CORP REV H649RSH-IV-) AAA AAA — Interest — Redeemed
HALFMOON NY REF-PUB IMPT 405729- LR-3 AA /NR — Interest
HILTON NY CENTRL SCH DIST 432884 MJ AA- NR — Interest
FALCONER NEW YORK CENTRAL SCHOOL 306117-CL-4 AA /A2 — Interest
SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F7.6 AA 'NR — Interest
NY CITY NY TR FOR CULTURAL RES 649717-RK-3 AA /AA2 — Interest
EAST ISLIP NY UNION FREE SCH DIST 273173-KC-7 AA /NR — Interest
PITTSFORD NY CENTRL SCH DIST 725635-EJ<1 NR JAA — Interest
NY ST DORM AUTH REVS NON ST 649907-A7-7 AA /NR — Interest
NEW HYDE PARK & GARDEN CITY PARK NY 645541 .CY-7TNR /AA2 — Interest
HAVERSTRAW-STONY POINT NY CENTRL SCH 419578-RM-3 NR/AA2 — Interest
PINE BUSH NY CENTRL SCH DIST T722477-L0O-7 NR /AA3 — Interest
NY ST UNLIMITED TAX A 649791-HH-6 AA+ JAAN — Interest
CLARKSTOWN NY CENTRL SCH DIST 182324-UU-5 NR /AA2 — Interest
NY ST DORM AUTH REVS NON ST 649907-Z3.9 NR /AAA — Interest
NY ST DORM AUTH ST PERSNL INC TAX 64990F-YE-1 AAA /AAL — Interest
PORT AUTH OF NY & NJ NY CONSOL ONE 731358W.-RR-7 AA- AA} — Interest
UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Interest
HUDSON YDS INFRASTRUCTURE CORP NY IND INDENT (44420R-AM2) — Interest
DUTCHESS CNTY NY PUB IMPT SER B 12670397K 5) — None — Buy
CLARKSTOWN NY PUB IMPT (182306-20-2) — None — Buy
WESTCHESTER CNTY NY SER A (957360L)-41).5) — None — Buy
IRA #1 (H)
JPM CHASE (cash) — Interest
AMER CENTURY EQUITY (TWEIX) INCOME-INV — Int/Div — Sold (part)
IPM EQUITY INCOME FD 4812C0-49-8 (HLIEX) — Int/Div — Sold (part)
JPM LARGE CAP GROWTH FD (SEEGX) — Int/Div — Sold (part)
JPM US EQUITY FD (JUESX) — Int/Div — Sold (part)
JPM VALUE ADVANTAGE FD (JVASX) — Int/Div — Sold (part)
JPM STRATEGIC INCOME OPPORTUNITIES FD (JSOSX) — Int/Div
JPM CORE BOND FD (PGBOX) — Int/Div
JPM SHORT DURATION BOND FD (HLLVX) — Int/Div
JPM UNCONSTRAINED DEBT FD USISX) — Int/Div
IPM MANAGED INCOME FD (JMGIX) — Int/Div
IRA £2 (H)
JPM CHASE (cash) — Interest
AMER CENTURY EQUITY INCOME: INV (TWEIX) — Int/Div
JPM EQUITY INCOME FD (HLIEX) — Int/Div
JPM LARGE CAP GROWTH FD (SEEGX) — Int/Div
JPM US EQUITY FD (JUESX) — Int/Div
JPM VALUE ADVANTAGE FD - SEL FUND 1399 4812A2-59.5 JVASX) — Int/Div
IPM STRATEGIC INCOME OPPORTUNITIES FD (JSOSX) — Int/Div
JPM CORE BOND FD (PGBOX) — Int/Div
JPM SHORT DURATION BOND FD (HLLVX) — Int/Div
JPM UNCONSTRAINED DEBT FD USISX) — Int/Div
IRA #3 (H)
JPM CHASE (cash) (X) — Int/Div
JPM EQUITY INCOME FD (HLIEX) — Int/Div
JPM CORE BOND FD (PGBOX) — Int/Div
JPM UNCONSTRAINED DEBT FD USISX) — Int/Div
TRUST £1 (H)
JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest
NM ST UNIV RGTS IMPT R PREDERED REF & IMPT SER A (647421.CT-1) — Interest — Redeemed
NM ST RGTS IMPT R UNREFDED - REF & IMPT SER A (647421.CU-8) — Interest — Redeemed
HEWLETT WOODMERE NY UN FREE SCH DIST 428246-FVA NR /AAL — Interest — Redeemed
RIVERHEAD NY 768738-LUB4) AA- AAS — Interest — Redeemed
NASSAU CNTY NY INTERIM FIN AUTH 631663-NV-9 AAA NR — Interest
ERIE CNTY NY INDL DEV AGY SCHFAC REV 29509P-KD4) AA /AA2 — Interest
CLARKSTOWN NY REF-VAR PURP {182306-X7.0) — Interest — Buy
CITY OF NEW YORK N'Y 64966H-ED-8 AA JAA2 — Interest — Redeemed
SCHENECTADY CNTY NY VAR PURP (S06415.V2.8) — None — Buy
ROCKVILLE CENTRE NY (774132-W3-4; AAA /NR — Interest
EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DR-4 NR /AA2 — Interest
NY ST BRDG AUTH 649807-CB-8 AA. AA3 — Interest
BROOKHAVEN NY REF 113152-US-9 AA+/AA2 — Interest
NY ST DORM AUTH ST PERSNL INC TAX 64990F-NF-0 AAA ‘AA — Interest
NASSAU CNTY NY SWR & STORM WTR FIN 631660-BY-5 AAA 'AA3 — None
ORANGE CNTY NY REF-VAR PURP- SER A 684575.30M.3 AA AAD — Interest
NY CITY NY TRNSTIONAL FIN AUTH BLDG 64972H-XJ-6 AA /AA2 — Interest
PORT AUTH OF NY & NJ NY SER 179 TIZSEW-Q0O-0 AA-/AAL — Interest
THREE VLG NY CENTRL SCH DIST REF 885766-NT-8 NR /AA2 — Interest
CHEEKTOWAGA NY VAR PURP LTD TAX (162879-P3-8) — Interest
UTIL DEBT SECURITIZATION AUTH NY (91802R-BG-3) — None — Buy
NY ST DORM AUTH SALES TAX REV (64990A-FY-T) — None — Buy
Spouse's income — 2018 — Pension and retirement plan pmits-pension plans for benefit of retirees of Random House, Inc
Spouse's income — 2018 — Newspaper Guild NY - NY Times pension
Part 1, line 2: This trust contains no reportable assets.

Part VII, line 29: See 2017, line 34

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/4237. Public record. Not legal advice.