# Lewis A. Kaplan > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/8560 ## Record - **Judge:** Lewis A. Kaplan - **Year:** 2016 - **Report type:** Annual - **Pages:** 16 ## Text IRA #1 (H) CITIBANK (various accounts) — Interest JP MORGAN CHASE (various accounts) — Interest — 2.30 NATIONAL UNION BANK — Int/Div — 10 NY LIFE INS. (whole life policies) — Int/Div — 3 BROKERAGE ACCOUNT #1 (H) JPM TAX FREE MMKT INST SWEEP FD {cushy — Interest — 25,36, 37 EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DK-9 NR /AA2 — Int/Div — Redeemed — 73 PUTNAM CNTY NY REF PUBLIC IMPT 746639.SU-8 NR /AA2 — Int/Div — Redeemed — Hn BETHLEHEM NY CENTRL SCH DIST 087329.LFE-6 NR /AAY — Int/Div — 70 WALLKILL NEW YORK PUB IMP 932610-MC9 AA /A2 — Int/Div — Hl COUNTY OF ORANGE NEW YORK VAR PURP 684575-R9-6 NR /AA3 — Int/Div — 29 COUNTY OF DUTCHESS NEW YORK 267039-K5-3 NR /AA2 — Int/Div — 28 NY ST REF-SER C 649791-JB-7 AA+ AAl — Int/Div — 111 PORT WA NY UN FREE SCH DIST REF T35581-LU-2 NR /AA2 — Int/Div — 103 NORTH SHORE NY CENTRL SCH DIST 662323. HJ-6 NR /AA — Int/Div — 99 FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Int/Div — 42 PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA-/NR — Int/Div — +4 WESTCHESTER CNTY NY SER B 057161 -ZS-6 AAA /AAL — Int/Div — 113 PLAINVIEW OLD BETHPAGE NY CENTRL SCH 726715-HX-6 AAA /NR — Inv — HH NASSAU CNTY NY INTERIM FIN AUTH 631663-NN-7 AAA NR — Int/Div — 101 SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2-6 AA /NR — Int/Div — 129 ISLAND TREES NY UNION FREE 464568-GK-4 NR /AA2 — Int/Div — Hs SARATOGA SPRINGS NY REF-PUB IMPT RO3531-TR-3 AA+ /NR — Inv — 102 NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE 64971W-FV-7 AAA /AAI — Int/Div — 107 NY ST DORM AUTH ST PERSNL INC TAX 64990F-3R-6 AAA JAA — None — Buy NY ST DORM AUTH SALES TAX REV 64990A-DR-3 AAA JAA — Int/Div — 132 SALES TAX ASSET RECEIVABLE CORP NY 794665-FM-6 AAA JAA — Int/Div — Buy PORT AUTHORITY NEW YORK & NEW JERSEY CONS T1358T-M2.4 AA. /AA3 — Int/Div — 14 BROKERAGE ACCOUNT #22 (H) JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest — 25,36, 37 ONTARIO CNTY NY 683055-WC-T NR AAl — hy — Sold (part) — 74 ONTARIO CNTY NY 683055-WC-T NR AAl — Redeemed BETHLEHEM NY CENTRL SCH DIST 0873129. F-6 NR /AA3 — Int — 70 CITY OF NEW YORK NY REF 64966(:- AK-8 AA JAA2 — Int/Div — 128 WESTCHESTER CNTY NY LIMITED O573I6L-YW-8 AAA JAA — Int/Div — 71 SACHEM NY CENTRL SCH DIST OF HOLBROOK 785721-TR-2 AA /NR — Int/Div — 75 ARLINGTON NEW YORK CENTRAL SCHOOL (41717-LD-9 AA- 'NR — Int/Div — 104 PORT WA NY UN FREE SCH DIST REF T3558 1-LU-2 NR /AA2 — Int/Div — 103 COLD SPRING HBR NY CENTRL SCH DIST REF 192867-FM-6 AAA /NR — Int/Div — 9% PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY «6 AA-/NR — Int/Div — P=) EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DP-8 NR /AA2 — Int/Div — 72 ISLIP NY REF 464722.6W-2 AA+ AAI — Int/Div — 131 NY ST DORM AUTH SALES TAX REV H64990A-BA-2 AAA AAI — Int/Div — 132 NORTH SHORE NY CENTRL SCH DIST 662123. HL-1 NR /AAL — Int/Div — 100 SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2.6 AA /NR — Int/Div — 129 PITTSFORD NY CENTRL SCH DIST 725635-EJ<1 NR JAA — Int/Div — 119 SARATOGA SPRINGS NY REF-PUB IMPT S0O3531-TR-3 AA+ NR — Int/Div — 102 NY CITY NY TRNSTIONAL FIN AUTH REV 6497 1W-FV-7 AAA JAA — Int/Div — 107 NY CITY NY TRNSTIONALFIN AUTH BLDG AID REV 64972H-VC-3 AA /AA2 — Int/Div — Buy NY ST DORM AUTH REVS NON ST 649907.724-7T NR /AAA — Ihy — 121 ONONDAGA CNTY NY 682745-7TH-1 AA + (AA2 — None — Buy UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Int/Div — Buy PORT CHESTER NY REF-PUBLIC IMPT- SER 731760-US-9 NR /AAY — Int/Div — Buy PORT AUTHORITY NEW YORK & NEW JERSEY CONS TI1358T-M2.4 AA. /AA3 — Int — 14 BROKERAGE ACCOUNT #3 (MH) JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest — 37 CITY OF NEW YORK NY INDUSTRIAL H64971CTR-ONR NR (XY — Int/Div — Redeemed ELLENVILLE NEW YORK CENTRAL SCHOOL 288372.DP-7 AA /NR — Int/Div — Redeemed — 49 ROCKY POINT NEW YORK UNION FREE 774766-KF-8 AA /NR — Int/Div — Redeemed — 54 MAHOPAC NY CENT SCH DIST 560177- GW-1 NR /AA2 — Int/Div — Buy OZARK MISSOURI REORG SCHOOL DISTRICT 692634.C7-9 AA+ /NR — Int/Div — 52 ROSLYN NY UN FREE SCH DIST T78190-FY-9 NR JAA — Int/Div — 82 NY ST ENVRNMNTL FACS CORP REV HIRSH IV-D AAA AAA — Int/Div — 83 HALFMOON NY REF-PUB IMPT 405729- LR-3 AA /NR — Int/Div — 114 HILTON NY CENTRL SCH DIST 432884 MJO AA-NR(X) — Int/Div FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Int/Div — S50 SHENENDEHOWA NY CENTRL SCH DIST REF 823194.E7-6 AA /NR — Int/Div — 129 NY CITY NY TR FOR CULTURAL RES 649717-RK-3 AA /AA2 — Int/Div — 116 NY ST BRDG AUTH 649807-CB-8 AA. AA3 — Int/Div — 97 EAST ISLIP NY UNION FREE SCH DIST 273173-KC-7 AA /NR — Int/Div PITTSFORD NY CENTRL SCH DIST 725635-EJ-1 NR JAA — Int/Div — 112 NY ST DORM AUTH REVS NON ST 649907-A7-7 AA /NR — Int/Div — 117 NEW HYDE PARK & GARDEN CITY PARK NY 645541.CY-TNR /AA2 — Int/Div — =0 HAVERSTRAW-STONY POINT NY CENTRL SCH 419578. RM-3INR/AA2Z (XD) — Int/Div PINE BUSH NY CENTRL SCH DIST T722477-L0O-7 NR /AA3 — Int/Div — 118 NY ST UNLIMITED TAX A 649791-HH-6 AA+ AAT (XD — Int/Div CLARKSTOWN NY CENTRL SCH DIST 1823124.UU-S NR /AA2 — Int — Buy NY ST DORM AUTH REVS NON ST 649907-Z3.9 NR /AAA — Int/Div — 109 NY ST DORM AUTH ST PERSNL INC TAX 64990F-YE-1 AAA /AAL — Int/Div — Buy PORT AUTH OF NY & NJ NY CONSOL ONE 7T31358W.RR-7 AA- AAI (XD — Int/Div UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Int/Div — Buy JPM CHASE (cash) — Interest — 17 AMER CENTURY EQUITY INCOME: INV — Int/Div — Sold (part) — 65 JPM EQUITY INCOME FD 4812C0-49-8 HLIE X — Int/Div — Sold (part) — 76 JPM LARGE CAP GROWTH FD — None — Sold (part) — 93 JPM US EQUITY FD — Int/Div — Sold (part) — 22 JPM VALUE ADVANTAGE FD — Int/Div — 133 JPM INTL VALUE FD — None — Redeemed — a8 JPM STRATEGIC INCOME OPPORTUNITIES FD — Int/Div — Sold (part) — 21 JPM CORE BOND FD — Int/Div — Buy (add'l) — 40 JPM CORE BOND FD — Sold (part) JPM SHORT DURATION BOND FD — Int/Div — Buy (add'l) — 23 JPM SHORT DURATION BOND FD — Sold (part) JPM UNCONSTRAINED DEBT FD — Int/Div — Buy (add'l) — il JPM FLOATING RATE INCOME FD — Int/Div — Sold (part) — 92 JPM MANAGED INCOME FD — Int/Div — Buy IRA #2 (H) JPM CHASE (cash) — Interest — 17 AMER CENTURY EQUITY INCOME- INV — Int/Div — 47 JPM EQUITY INCOME FD — Int/Div — 84 JPM LARGE CAP GROWTH FD — Int/Div — 95 JPM US EQUITY FD — Int/Div — 13 JPM VALUE ADVANTAGE FD - SEL FUND 1399 4812A2.59.5 IVAS X — Int/Div — 115 JPM INTL VALUE FD — None — Redeemed — 13 GENERAL ELECTRIC CAP CORP — hy — Redeemed JPM STRATEGIC INCOME OPPORTUNITIES FD — Int/Div — Sold (part) — 12 JPM CORE BOND FD — Int/Div — Buy (add'l) — 45 JPM SHORT DURATION BOND FD — Int/Div — Buy (add'l) — 15 JPM UNCONSTRAINED DEBT FD — Int/Div — Buy (add'l) — 85 JPM FLOATING RATE INCOME FD — Int/Div — Sold (part) — 03 IRA 23 (H) JPM EQUITY INCOME FD — Int/Div — 76 JPM CORE BOND FD — Int/Div — 4% JPM TREASURY & AGENCY FD — Int/Div — 31 JPM UNCONSTRAINED DEBT FD — Int — 85 TRUST £1 (H) JPM TAX FREE MMKT INST SWEEP FD (cash) (X) — Interest ROCKY POINT NEW YORK UNION FREE 774766-KE-8 AA /NR — Int/Div — Redeemed — 58 GREECE NY 392442.XG9 AA /AA2 — Int — Redeemed — Ha ALPINE UTAH SCH DIST REF 021087. QI-3 NR /AAA — Int/Div — 59 STATE NEW MEXICO UNIVERSITY 647421-BD-7 AA- /AA3 — Int/Div — 55 RIVERHEAD NY 768738-LUB-) AA- /AAZ — Int/Div — 57 NASSAU CNTY NY INTERIM FIN AUTH 631663-NV-9 AAA NRX) — Int/Div CLARKSTOWN NEW YORK 182306- XX-3 AA+/AA3 — Int/Div — 12 ERIE CNTY NY INDL DEV AGY SCHFAC REV 20509P-KD) AA /AA2 — Int/Div — Buy HEWLETT WOODMERE NY UN FREE SCH DIST 428246-FVA NR /AAL — Int/Div — 56 CITY OF NEW YORK N'Y 64966H-ED-8 AA JAA2 (X) — Int/Div ROCKVILLE CENTRE NY 774132-W3-4 AAA /NR — Int/Div — 78 EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DR-4 NR /AA2 — Int/Div — 79 BROOKHAVEN NY REF 113152-US-9 AA+/AA2 — Int/Div — 7.122 NY ST DORM AUTH ST PERSNL INC TAX 64990FE-NF-0) AAA ‘AAI — Int/Div — 121 NASSAU CNTY NY SWR & STORM WTR FIN 631660-BY-5 AAA AAS — Int/Div — 120 ORANGE CNTY NY REF-VAR PURP- SER A 684575.3IM.3 AA JAA (IX) — Int/Div NY CITY NY TRNSTIONALFIN AUTH BLDG 64972H-XJ-6 AA JAA2 — Int/Div — Buy PORT AUTH OF NY & NJ NY SER 179 TIISSW0O0O4 AA-/AAY — Int/Div — Buy THREE VLG NY CENTRL SCH DIST REF 885766-NT-8 NR /AA2 — Int/Div — Buy TRUST #2(H) FEDERATED TAX FREE OBLIG FUND INSTL SHARES 60934N401 — Interest — Closed — ®6 COLUMBIA CONTRARIAN CORE FUND SMGIX — None — Sold (part) — 123 COLUMBIA CONTRARIAN CORE FUND SMGIX — Redeemed COLUMBIA DIVIDEND AND INCOME FUND GSFT X — None — Buy COLUMBIA DIVIDEND AND INCOME FUND GSFT X — Redeemed COLUMBIA VALUE AND RESTRUCTURING FUND UMBIX (XO) — None — Sold (part) COLUMBIA VALUE AND RESTRUCTURING FUND UMBIX (XO) — Redeemed JANUS ENTERPRISE FUND IMGR X — None — Sold (part) — 87 JANUS ENTERPRISE FUND IMGR X — Sold (part) JANUS ENTERPRISE FUND IMGR X — Redeemed ISHARES RUSSELL 2000 ETF IWM — None — Buy ISHARES RUSSELL 2000 ETF IWM — Redeemed LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — None — Sold (part) — 125 LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — Sold (part) LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — Redeemed OPPENHEIMER INT'L GROWTH FUND OGY X — None — Sold (part) — 89 OPPENHEIMER INT'L GROWTH FUND OGY X — Sold (part) OPPENHEIMER INT'L GROWTH FUND OGY X — Redeemed COLUMBIA EMERGING MARKETS FUND UMEM X — None — Sold (part) — 126 COLUMBIA EMERGING MARKETS FUND UMEM X — Redeemed Spouse's income — 2016 — Pension and retirement plan pmits-pension plans for benefit of retirees of Random House, Inc To facilitate reporting. holdings now are now listed by account. Names of assets have been updated to provide a more detailed description, and excess information has been removed. To facilitate this reporting transition, corresponding 2015 lines are identified in Column XS). The items listed in 2015, lines 5,6, 11, 13, 18, 19, 39, 43, 46, 51, und 53 are not reportable in 2016 (Y). --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/8560. Public record. Not legal advice.