N.Y. Pub. Off. Law § 73-a

§ 73-a. Financial disclosure. 1. As used in this section:\n (a) The term "statewide elected official" shall mean the governor,\nlieutenant governor, comptroller, or attorney general.\n (b) The term "state agency" shall mean any state department, or\ndivision, board, commission, or bureau of any state department, any\npublic benefit corporation, public authority or commission at least one\nof whose members is appointed by the governor, or the state university\nof New York or the city university of New York, including all their\nconstituent units except community colleges of the state university of\nNew York and the independent institutions operating statutory or\ncontract colleges on behalf of the state.\n (c) The term "state officer or employee" shall mean:\n (i) heads of state departments and their deputies and assistants;\n (ii) officers and employees of statewide elected officials, officers\nand employees of state departments, boards, bureaus, divisions,\ncommissions, councils or other state agencies, who receive annual\ncompensation in excess of the filing rate established by paragraph (l)\nof this subdivision or who hold policy-making positions, as annually\ndetermined by the appointing authority and set forth in a written\ninstrument which shall be filed with the joint commission on public\nethics established by section ninety-four of the executive law during\nthe month of February, provided, however, that the appointing authority\nshall amend such written instrument after such date within thirty days\nafter the undertaking of policy-making responsibilities by a new\nemployee or any other employee whose name did not appear on the most\nrecent written instrument; and\n (iii) members or directors of public authorities, other than\nmulti-state authorities, public benefit corporations and commissions at\nleast one of whose members is appointed by the governor, and employees\nof such authorities, corporations and commissions who receive annual\ncompensation in excess of the filing rate established by paragraph (l)\nof this subdivision or who hold policy-making positions, as determined\nannually by the appointing authority and set forth in a written\ninstrument which shall be filed with the joint commission on public\nethics established by section ninety-four of the executive law during\nthe month of February, provided, however, that the appointing authority\nshall amend such written instrument after such date within thirty days\nafter the undertaking of policy-making responsibilities by a new\nemployee or any other employee whose name did not appear on the most\nrecent written instrument.\n (d) The term "legislative employee" shall mean any officer or employee\nof the legislature who receives annual compensation in excess of the\nfiling rate established by paragraph (l) below or who is determined to\nhold a policy-making position by the appointing authority as set forth\nin a written instrument which shall be filed with the legislative ethics\ncommission and the joint commission on public ethics.\n (d-1) A financial disclosure statement required pursuant to section\nseventy-three of this article and this section shall be deemed "filed"\nwith the joint commission on public ethics upon its filing, in\naccordance with this section, with the legislative ethics commission for\nall purposes including, but not limited to, subdivision fourteen of\nsection ninety-four of the executive law, subdivision nine of section\neighty of the legislative law and subdivision four of this section.\n (e) The term "spouse" shall mean the husband or wife of the reporting\nindividual unless living separate and apart from the reporting\nindividual with the intention of terminating the marriage or providing\nfor permanent separation or unless separated pursuant to: (i) a judicial\norder, decree or judgment, or (ii) a legally binding separation\nagreement.\n (f) The term "relative" shall mean such individual's spouse, child,\nstepchild, stepparent, or any person who is a direct descendant of the\ngrandparents of the reporting individual or of the reporting\nindividual's spouse.\n (g) The term "unemancipated child" shall mean any son, daughter,\nstepson or stepdaughter who is under age eighteen, unmarried and living\nin the household of the reporting individual.\n (h) The term "political party chairman" shall have the same meaning as\nascribed to such term by subdivision one of section seventy-three of\nthis article.\n (i) The term "local agency" shall mean:\n (i) any county, city, town, village, school district or district\ncorporation, or any agency, department, division, board, commission or\nbureau thereof; and\n (ii) any public benefit corporation or public authority not included\nin the definition of a state agency.\n (j) The term "regulatory agency" shall have the same meaning as\nascribed to such term by subdivision one of section seventy-three of\nthis article.\n (k) The term "ministerial matter" shall have the same meaning as\nascribed to such term by subdivision one of section seventy-three of\nthis article.\n (l) The term "filing rate" shall mean the job rate of SG-24 as set\nforth in paragraph a of subdivision one of section one hundred thirty of\nthe civil service law as of April first of the year in which an annual\nfinancial disclosure statement shall be filed.\n (m) The term "lobbyist" shall have the same meaning as ascribed to\nsuch term in subdivision (a) of section one-c of the legislative law.\n 2. (a) Every statewide elected official, state officer or employee,\nmember of the legislature, legislative employee and political party\nchairman and every candidate for statewide elected office or for member\nof the legislature shall file an annual statement of financial\ndisclosure containing the information and in the form set forth in\nsubdivision three of this section. On or before the fifteenth day of May\nwith respect to the preceding calendar year: (1) every member of the\nlegislature, every candidate for member of the legislature and\nlegislative employee shall file such statement with the legislative\nethics commission which shall provide such statement along with any\nrequests for exemptions or deletions to the joint commission on public\nethics for filing and rulings with respect to such requests for\nexemptions or deletions, on or before the thirtieth day of June; and (2)\nall other individuals required to file such statement shall file it with\nthe joint commission on public ethics, except that:\n (i) a person who is subject to the reporting requirements of this\nsubdivision and who timely filed with the internal revenue service an\napplication for automatic extension of time in which to file his or her\nindividual income tax return for the immediately preceding calendar or\nfiscal year shall be required to file such financial disclosure\nstatement on or before May fifteenth but may, without being subjected to\nany civil penalty on account of a deficient statement, indicate with\nrespect to any item of the disclosure statement that information with\nrespect thereto is lacking but will be supplied in a supplementary\nstatement of financial disclosure, which shall be filed on or before the\nseventh day after the expiration of the period of such automatic\nextension of time within which to file such individual income tax\nreturn, provided that failure to file or to timely file such\nsupplementary statement of financial disclosure or the filing of an\nincomplete or deficient supplementary statement of financial disclosure\nshall be subject to the notice and penalty provisions of this section\nrespecting annual statements of financial disclosure as if such\nsupplementary statement were an annual statement;\n (ii) a person who is required to file an annual financial disclosure\nstatement with the joint commission on public ethics, and who is granted\nan additional period of time within which to file such statement due to\njustifiable cause or undue hardship, in accordance with required rules\nand regulations on the subject adopted pursuant to paragraph c of\nsubdivision nine of section ninety-four of the executive law shall file\nsuch statement within the additional period of time granted; and the\nlegislative ethics commission shall notify the joint commission on\npublic ethics of any extension granted pursuant to this paragraph;\n (iii) candidates for statewide office who receive a party designation\nfor nomination by a state committee pursuant to section 6-104 of the\nelection law shall file such statement within ten days after the date of\nthe meeting at which they are so designated;\n (iv) candidates for statewide office who receive twenty-five percent\nor more of the vote cast at the meeting of the state committee held\npursuant to section 6-104 of the election law and who demand to have\ntheir names placed on the primary ballot and who do not withdraw within\nfourteen days after such meeting shall file such statement within ten\ndays after the last day to withdraw their names in accordance with the\nprovisions of such section of the election law;\n (v) candidates for statewide office and candidates for member of the\nlegislature who file party designating petitions for nomination at a\nprimary election shall file such statement within ten days after the\nlast day allowed by law for the filing of party designating petitions\nnaming them as candidates for the next succeeding primary election;\n (vi) candidates for independent nomination who have not been\ndesignated by a party to receive a nomination shall file such statement\nwithin ten days after the last day allowed by law for the filing of\nindependent nominating petitions naming them as candidates in the next\nsucceeding general or special election;\n (vii) candidates who receive the nomination of a party for a special\nelection shall file such statement within ten days after the date of the\nmeeting of the party committee at which they are nominated;\n (viii) a candidate substituted for another candidate, who fills a\nvacancy in a party designation or in an independent nomination, caused\nby declination, shall file such statement within ten days after the last\nday allowed by law to file a certificate to fill a vacancy in such party\ndesignation or independent nomination;\n (ix) with respect to all candidates for member of the legislature, the\nlegislative ethics commission shall within five days of receipt provide\nthe joint commission on public ethics the statement filed pursuant to\nsubparagraphs (v), (vi), (vii) and (viii) of this paragraph.\n (b) As used in this subdivision, the terms "party", "committee" (when\nused in conjunction with the term "party"), "designation", "primary",\n"primary election", "nomination", "independent nomination" and "ballot"\nshall have the same meanings as those contained in section 1-104 of the\nelection law.\n (c) If the reporting individual is a senator or member of assembly,\ncandidate for the senate or member of assembly or a legislative\nemployee, such statement shall be filed with both the legislative ethics\ncommission established by section eighty of the legislative law and the\njoint commission on public ethics in accordance with paragraph (d-1) of\nsubdivision one of this section. If the reporting individual is a\nstatewide elected official, candidate for statewide elected office, a\nstate officer or employee or a political party chairman, such statement\nshall be filed with the joint commission on public ethics established by\nsection ninety-four of the executive law.\n (d) The joint commission on public ethics shall obtain from the state\nboard of elections a list of all candidates for statewide office and for\nmember of the legislature, and from such list, shall determine and\npublish a list of those candidates who have not, within ten days after\nthe required date for filing such statement, filed the statement\nrequired by this subdivision.\n (e) Any person required to file such statement who commences\nemployment after May fifteenth of any year and political party chairman\nshall file such statement within thirty days after commencing employment\nor of taking the position of political party chairman, as the case may\nbe. In the case of members of the legislature and legislative employees,\nsuch statements shall be filed with the legislative ethics commission\nwithin thirty days after commencing employment, and the legislative\nethics commission shall provide such statements to the joint commission\non public ethics within forty-five days of receipt.\n (f) A person who may otherwise be required to file more than one\nannual financial disclosure statement with both the joint commission on\npublic ethics and the legislative ethics commission in any one calendar\nyear may satisfy such requirement by filing one such statement with\neither body and by notifying the other body of such compliance.\n (g) A person who is employed in more than one employment capacity for\none or more employers certain of whose officers and employees are\nsubject to filing a financial disclosure statement with the same ethics\ncommission, as the case may be, and who receives distinctly separate\npayments of compensation for such employment shall be subject to the\nfiling requirements of this section if the aggregate annual compensation\nfor all such employment capacities is in excess of the filing rate\nnotwithstanding that such person would not otherwise be required to file\nwith respect to any one particular employment capacity. A person not\notherwise required to file a financial disclosure statement hereunder\nwho is employed by an employer certain of whose officers or employees\nare subject to filing a financial disclosure statement with the joint\ncommission on public ethics and who is also employed by an employer\ncertain of whose officers or employees are subject to filing a financial\ndisclosure statement with the legislative ethics commission shall not be\nsubject to filing such statement with either such commission on the\nbasis that his aggregate annual compensation from all such employers is\nin excess of the filing rate.\n (h) A statewide elected official or member of the legislature, who is\nsimultaneously a candidate for statewide elected office or member of the\nlegislature, shall satisfy the filing deadline requirements of this\nsubdivision by complying only with the deadline applicable to one who\nholds a statewide elected office or who holds the office of member of\nthe legislature.\n (i) A candidate whose name will appear on both a party designating\npetition and on an independent nominating petition for the same office\nor who will be listed on the election ballot for the same office more\nthan once shall satisfy the filing deadline requirements of this\nsubdivision by complying with the earliest applicable deadline only.\n (j) A member of the legislature who is elected to such office at a\nspecial election prior to May fifteenth in any year shall satisfy the\nfiling requirements of this subdivision in such year by complying with\nthe earliest applicable deadline only.\n (k) The joint commission on public ethics shall post for at least five\nyears beginning for filings made on January first, two thousand thirteen\nthe annual statement of financial disclosure and any amendments filed by\neach person subject to the reporting requirements of this subdivision\nwho is an elected official on its website for public review within\nthirty days of its receipt of such statement or within ten days of its\nreceipt of such amendment that reflects any corrections of deficiencies\nidentified by the commission or by the reporting individual after the\nreporting individual's initial filing. Except upon an individual\ndetermination by the commission that certain information may be deleted\nfrom a reporting individual's annual statement of financial disclosure,\nnone of the information in the statement posted on the commission's\nwebsite shall be otherwise deleted.\n 3. The annual statement of financial disclosure shall contain the\ninformation and shall be in the form set forth hereinbelow:\n ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)\n 1. Name ______________________________________________________________\n 2. (a) Title of Position _____________________________________________\n (b) Department, Agency or other Governmental Entity _______________\n (c) Address of Present Office _____________________________________\n (d) Office Telephone Number _______________________________________\n 3. (a) Marital Status ______________. If married, please give spouse's\n full name including maiden name where applicable.\n _____________________________________________________________ .\n (b) List the names of all unemancipated children.\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\nAnswer each of the following questions completely, with respect to\n calendar year _________, unless another period or date is otherwise\n specified. If additional space is needed, attach additional pages.\n Whenever a "value" or "amount" is required to be reported herein, such\nvalue or amount shall be reported as being within one of the following\nCategories in Table I or Table II of this subdivision as called for in\nthe question: A reporting individual shall indicate the Category by\nletter only.\n Whenever "income" is required to be reported herein, the term "income"\nshall mean the aggregate net income before taxes from the source\nidentified.\n The term "calendar year" shall mean the year ending the December 31st\npreceding the date of filing of the annual statement.\n4. (a) List any office, trusteeship, directorship, partnership, or\n position of any nature, whether compensated or not, held by the\n reporting individual with any firm, corporation, association,\n partnership, or other organization other than the State of New York.\n Include compensated honorary positions; do NOT list membership or\n uncompensated honorary positions. If the listed entity was licensed\n by any state or local agency, was regulated by any state regulatory\n agency or local agency, or, as a regular and significant part of the\n business or activity of said entity, did business with, or had\n matters other than ministerial matters before, any state or local\n agency, list the name of any such agency.\n State or\n Position Organization Local Agency\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n(b) List any office, trusteeship, directorship, partnership, or position\n of any nature, whether compensated or not, held by the spouse or\n unemancipated child of the reporting individual, with any firm,\n corporation, association, partnership, or other organization other\n than the State of New York. Include compensated honorary positions;\n do NOT list membership or uncompensated honorary positions. If the\n listed entity was licensed by any state or local agency, was\n regulated by any state regulatory agency or local agency, or, as a\n regular and significant part of the business or activity of said\n entity, did business with, or had matters other than ministerial\n matters before, any state or local agency, list the name of any such\n agency.\n State or\n Position Organization Local Agency\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n5. (a) List the name, address and description of any occupation,\n employment (other than the employment listed under Item 2 above),\n trade, business or profession engaged in by the reporting\n individual. If such activity was licensed by any state or local\n agency, was regulated by any state regulatory agency or local\n agency, or, as a regular and significant part of the business or\n activity of said entity, did business with, or had matters other\n than ministerial matters before, any state or local agency, list the\n name of any such agency.\n State or\n Name & Address Local\n Position of Organization Description Agency\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n(b) If the spouse or unemancipated child of the reporting individual was\n engaged in any occupation, employment, trade, business or profession\n which activity was licensed by any state or local agency, was\n regulated by any state regulatory agency or local agency, or, as a\n regular and significant part of the business or activity of said\n entity, did business with, or had matters other than ministerial\n matters before, any state or local agency, list the name, address\n and description of such occupation, employment, trade, business or\n profession and the name of any such agency.\n State or\n Name & Address Local\n Position of Organization Description Agency\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n6. List any interest, in EXCESS of $1,000, held by the reporting\n individual, such individual's spouse or unemancipated child, or\n partnership of which any such person is a member, or corporation,\n 10% or more of the stock of which is owned or controlled by any such\n person, whether vested or contingent, in any contract made or\n executed by a state or local agency and include the name of the\n entity which holds such interest and the relationship of the\n reporting individual or such individual's spouse or such child to\n such entity and the interest in such contract. Do NOT include bonds\n and notes. Do NOT list any interest in any such contract on which\n final payment has been made and all obligations under the contract\n except for guarantees and warranties have been performed, provided,\n however, that such an interest must be listed if there has been an\n ongoing dispute during the calendar year for which this statement is\n filed with respect to any such guarantees or warranties. Do NOT list\n any interest in a contract made or executed by a local agency after\n public notice and pursuant to a process for competitive bidding or a\n process for competitive requests for proposals.\n Entity Relationship Contracting Category\n Self, Which Held to Entity State or of\n Spouse or Interest in and Interest Local Value of\n Child Contract in Contract Agency Contract\n (In Table II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n7. List any position the reporting individual held as an officer of any\n political party or political organization, as a member of any\n political party committee, or as a political party district leader.\n The term "party" shall have the same meaning as "party" in the\n election law. The term "political organization" means any party or\n independent body as defined in the election law or any organization\n that is affiliated with or a subsidiary of a party or independent\n body.\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n8. (a) If the reporting individual practices law, is licensed by the\n department of state as a real estate broker or agent or practices a\n profession licensed by the department of education, or works as a\n member or employee of a firm required to register pursuant to\n section one-e of the legislative law as a lobbyist, give a general\n description of the principal subject areas of matters undertaken by\n such individual. Additionally, if such an individual practices with\n a firm or corporation and is a partner or shareholder of the firm or\n corporation, give a general description of principal subject areas\n of matters undertaken by such firm or corporation.\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE\nPROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS\nFOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT\nARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:\n If the reporting individual personally provides services to any person\nor entity, or works as a member or employee of a partnership or\ncorporation that provides such services (referred to hereinafter as a\n"firm"), then identify each client or customer to whom the reporting\nindividual personally provided services, or who was referred to the firm\nby the reporting individual, and from whom the reporting individual or\nhis or her firm earned fees in excess of $10,000 during the reporting\nperiod for such services rendered in direct connection with:\n (i) A proposed bill or resolution in the senate or assembly during the\nreporting period;\n (ii) A contract in an amount totaling $50,000 or more from the state\nor any state agency for services, materials, or property;\n (iii) A grant of $25,000 or more from the state or any state agency\nduring the reporting period;\n (iv) A grant obtained through a legislative initiative during the\nreporting period; or\n (v) A case, proceeding, application or other matter that is not a\nministerial matter before a state agency during the reporting period.\n For purposes of this question, "referred to the firm" shall mean:\nhaving intentionally and knowingly taken a specific act or series of\nacts to intentionally procure for the reporting individual's firm or\nknowingly solicit or direct to the reporting individual's firm in whole\nor substantial part, a person or entity that becomes a client of that\nfirm for the purposes of representation for a matter as defined in\nsubparagraphs (i) through (v) of this paragraph, as the result of such\nprocurement, solicitation or direction of the reporting individual. A\nreporting individual need not disclose activities performed while\nlawfully acting pursuant to paragraphs (c), (d), (e) and (f) of\nsubdivision seven of section seventy-three of this article.\n The disclosure requirement in this question shall not require\ndisclosure of clients or customers receiving medical or dental services,\nmental health services, residential real estate brokering services, or\ninsurance brokering services from the reporting individual or his or her\nfirm. The reporting individual need not identify any client to whom he\nor she or his or her firm provided legal representation with respect to\ninvestigation or prosecution by law enforcement authorities, bankruptcy,\nor domestic relations matters. With respect to clients represented in\nother matters, where disclosure of a client's identity is likely to\ncause harm, the reporting individual shall request an exemption from the\njoint commission pursuant to paragraph (i) of subdivision nine of\nsection ninety-four of the executive law. Only a reporting individual\nwho first enters public office after July first, two thousand twelve,\nneed not report clients or customers with respect to matters for which\nthe reporting individual or his or her firm was retained prior to\nentering public office.\nClient Nature of Services Provided\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE\nPROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW\nMATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES\nTHAT ARE PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN:\n If the reporting individual receives income of fifty thousand dollars\nor greater from any employment or activity reportable under question\n8(a), identify each registered lobbyist who has directly referred to\nsuch individual a client who was successfully referred to the reporting\nindividual's business and from whom the reporting individual or firm\nreceived a fee for services in excess of ten thousand dollars. Report\nonly these referrals that were made to a reporting individual by direct\ncommunication from a person known to such reporting individual to be a\nregistered lobbyist at the time the referral is made. With respect to\neach such referral, the reporting individual shall identify the\nregistered lobbyist who has made the referral, the category of value of\nthe compensation received and a general description of the type of\nmatter so referred. A reporting individual need not disclose activities\nperformed while lawfully acting pursuant to paragraphs (c), (d), (e) and\n(f) of subdivision seven of section seventy-three of this article. The\ndisclosure requirements in this question shall not require disclosure of\nclients or customers receiving medical or dental services, mental health\nservices, residential real estate brokering services, or insurance\nbrokering services from the reporting individual or his or her firm. The\nreporting individual need not identify any client to whom he or she or\nhis or her firm provided legal representation with respect to\ninvestigation or prosecution by law enforcement authorities, bankruptcy,\nor domestic relations matters. With respect to clients represented in\nother matters, the reporting individual shall request an exemption from\nthe joint commission, which shall be granted for good cause shown. For\nthe purposes of this question, good cause may be shown by circumstances\nincluding, but not limited to, where disclosure of a client's identity\nwould reveal trade secrets or have a negative impact on the client's\nbusiness interests, would cause embarrassment for the client, could\nreasonably result in retaliation against the client, or would tend to\nreveal non-public matters regarding a criminal investigation. Only a\nreporting individual who first enters public office after January first,\ntwo thousand fifteen, need not report clients or customers with respect\nto matters for which the reporting individual or his or her firm was\nretained prior to entering public office.\nClient Name of Lobbyist Category of Amount (in Table 1)\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n (d) List the name, principal address and general description or the\nnature of the business activity of any entity in which the reporting\nindividual or such individual's spouse had an investment in excess of\n$1,000 excluding investments in securities and interests in real\nproperty.\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n 9. List each source of gifts, EXCLUDING campaign contributions, in\nEXCESS of $1,000, received during the reporting period for which this\nstatement is filed by the reporting individual or such individual's\nspouse or unemancipated child from the same donor, EXCLUDING gifts from\na relative. INCLUDE the name and address of the donor. The term "gifts"\ndoes not include reimbursements, which term is defined in item 10.\nIndicate the value and nature of each such gift.\n Category\n Self, of\n Spouse or Name of Nature Value of\n Child Donor Address of Gift Gift\n (In Table I)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n10. Identify and briefly describe the source of any reimbursements for\n expenditures, EXCLUDING campaign expenditures and expenditures in\n connection with official duties reimbursed by the state, in EXCESS\n of $1,000 from each such source. For purposes of this item, the term\n "reimbursements" shall mean any travel-related expenses provided by\n nongovernmental sources and for activities related to the reporting\n individual's official duties such as, speaking engagements,\n conferences, or factfinding events. The term "reimbursements" does\n NOT include gifts reported under item 9.\n Source Description\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n11. List the identity and value, if reasonably ascertainable, of each\n interest in a trust, estate or other beneficial interest, including\n retirement plans (other than retirement plans of the state of New\n York or the city of New York), and deferred compensation plans\n (e.g., 401, 403(b), 457, etc.) established in accordance with the\n internal revenue code, in which the REPORTING INDIVIDUAL held a\n beneficial interest in EXCESS of $1,000 at any time during the\n preceding year. Do NOT report interests in a trust, estate or other\n beneficial interest established by or for, or the estate of, a\n relative.\n Category\n Identity of Value*\n (In Table II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n * The value of such interest shall be reported only if reasonably\nascertainable.\n12. (a) Describe the terms of, and the parties to, any contract,\n promise, or other agreement between the reporting individual and any\n person, firm, or corporation with respect to the employment of such\n individual after leaving office or position (other than a leave of\n absence).\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n(b) Describe the parties to and the terms of any agreement providing\n for continuation of payments or benefits to the REPORTING INDIVIDUAL\n in EXCESS of $1,000 from a prior employer OTHER THAN the State.\n (This includes interests in or contributions to a pension fund,\n profit-sharing plan, or life or health insurance; buy-out\n agreements; severance payments; etc.)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n13. List below the nature and amount of any income in EXCESS of $1,000\n from EACH SOURCE for the reporting individual and such individual's\n spouse for the taxable year last occurring prior to the date of\n filing. Nature of income includes, but is not limited to, all\n income (other than that received from the employment listed under\n Item 2 above) from compensated employment whether public or private,\n directorships and other fiduciary positions, contractual\n arrangements, teaching income, partnerships, honorariums, lecture\n fees, consultant fees, bank and bond interest, dividends, income\n derived from a trust, real estate rents, and recognized gains from\n the sale or exchange of real or other property. Income from a\n business or profession and real estate rents shall be reported with\n the source identified by the building address in the case of real\n estate rents and otherwise by the name of the entity and not by the\n name of the individual customers, clients or tenants, with the\n aggregate net income before taxes for each building address or\n entity. The receipt of maintenance received in connection with a\n matrimonial action, alimony and child support payments shall not be\n listed.\n Self/ Category\n Spouse Source Nature of Amount\n (In Table I)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n14. List the sources of any deferred income (not retirement income) in\n EXCESS of $1,000 from each source to be paid to the reporting\n individual following the close of the calendar year for which this\n disclosure statement is filed, other than deferred compensation\n reported in item 11 hereinabove. Deferred income derived from the\n practice of a profession shall be listed in the aggregate and shall\n identify as the source, the name of the firm, corporation,\n partnership or association through which the income was derived, but\n shall not identify individual clients.\n Category\n Source of Amount\n (In Table I)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n15. List each assignment of income in EXCESS of $1,000, and each\n transfer other than to a relative during the reporting period for\n which this statement is filed for less than fair consideration of an\n interest in a trust, estate or other beneficial interest, securities\n or real property, by the reporting individual, in excess of $1,000,\n which would otherwise be required to be reported herein and is not\n or has not been so reported.\n Item Assigned Assigned or Category\n or Transferred Transferred to of Value\n (In Table I)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n16. List below the type and market value of securities held by the\n reporting individual or such individual's spouse from each issuing\n entity in EXCESS of $1,000 at the close of the taxable year last\n occurring prior to the date of filing, including the name of the\n issuing entity exclusive of securities held by the reporting\n individual issued by a professional corporation. Whenever an\n interest in securities exists through a beneficial interest in a\n trust, the securities held in such trust shall be listed ONLY IF the\n reporting individual has knowledge thereof except where the\n reporting individual or the reporting individual's spouse has\n transferred assets to such trust for his or her benefit in which\n event such securities shall be listed unless they are not\n ascertainable by the reporting individual because the trustee is\n under an obligation or has been instructed in writing not to\n disclose the contents of the trust to the reporting individual.\n Securities of which the reporting individual or the reporting\n individual's spouse is the owner of record but in which such\n individual or the reporting individual's spouse has no beneficial\n interest shall not be listed. Indicate percentage of ownership ONLY\n if the reporting person or the reporting person's spouse holds more\n than five percent (5%) of the stock of a corporation in which the\n stock is publicly traded or more than ten percent (10%) of the stock\n of a corporation in which the stock is NOT publicly traded. Also\n list securities owned for investment purposes by a corporation more\n than fifty percent (50%) of the stock of which is owned or\n controlled by the reporting individual or such individual's spouse.\n For the purpose of this item the term "securities" shall mean mutual\n funds, bonds, mortgages, notes, obligations, warrants and stocks of\n any class, investment interests in limited or general partnerships\n and certificates of deposits (CDs) and such other evidences of\n indebtedness and certificates of interest as are usually referred to\n as securities. The market value for such securities shall be\n reported only if reasonably ascertainable and shall not be reported\n if the security is an interest in a general partnership that was\n listed in item 8 (a) or if the security is corporate stock, NOT\n publicly traded, in a trade or business of a reporting individual or\n a reporting individual's spouse.\n Percentage\n of corporate\n stock owned\n or controlled Category of\n (if more than Market Value\n 5% of pub- as of the close\n licly traded of the\n stock, or taxable year\n more than last occurring\n 10% if stock prior to\n Self/ Issuing Type of not publicly the filing of\n Spouse Entity Security traded, is held) this statement\n (In Table II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n17. List below the location, size, general nature, acquisition date,\n market value and percentage of ownership of any real property in\n which any vested or contingent interest in EXCESS of $1,000 is held\n by the reporting individual or the reporting individual's spouse.\n Also list real property owned for investment purposes by a\n corporation more than fifty percent (50%) of the stock of which is\n owned or controlled by the reporting individual or such individual's\n spouse. Do NOT list any real property which is the primary or\n secondary personal residence of the reporting individual or the\n reporting individual's spouse, except where there is a co-owner who\n is other than a relative.\n Category\n Self/ Percentage of\n Spouse/ General Acquisition of Market\n Corporation Location Size Nature Date Ownership Value\n (In\n Table\n II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n18. List below all notes and accounts receivable, other than from goods\n or services sold, held by the reporting individual at the close of\n the taxable year last occurring prior to the date of filing and\n other debts owed to such individual at the close of the taxable year\n last occurring prior to the date of filing, in EXCESS of $1,000,\n including the name of the debtor, type of obligation, date due and\n the nature of the collateral securing payment of each, if any,\n excluding securities reported in item 16 hereinabove. Debts, notes\n and accounts receivable owed to the individual by a relative shall\n not be reported.\n Type of Obligation, Category\n Date Due, and Nature of\n Name of Debtor of Collateral, if any Amount\n (In Table II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n19. List below all liabilities of the reporting individual and such\n individual's spouse, in EXCESS of $10,000 as of the date of filing\n of this statement, other than liabilities to a relative. Do NOT list\n liabilities incurred by, or guarantees made by, the reporting\n individual or such individual's spouse or by any proprietorship,\n partnership or corporation in which the reporting individual or such\n individual's spouse has an interest, when incurred or made in the\n ordinary course of the trade, business or professional practice of\n the reporting individual or such individual's spouse. Include the\n name of the creditor and any collateral pledged by such individual\n to secure payment of any such liability. A reporting individual\n shall not list any obligation to pay maintenance in connection with\n a matrimonial action, alimony or child support payments. Any loan\n issued in the ordinary course of business by a financial institution\n to finance educational costs, the cost of home purchase or\n improvements for a primary or secondary residence, or purchase of a\n personally owned motor vehicle, household furniture or appliances\n shall be excluded. If any such reportable liability has been\n guaranteed by any third person, list the liability and name the\n guarantor.\n Category\n Name of Creditor Type of Liability of\n or Guarantor and Collateral, if any Amount\n (In Table II)\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n The requirements of law relating to the reporting of financial\n interests are in the public interest and no adverse inference of\n unethical or illegal conduct or behavior will be drawn merely from\n compliance with these requirements.\n ___________________________________ _________________________\n (Signature of Reporting Individual) Date (month/day/year)\n TABLE I\n Category A none\n Category B $ 1 to under $ 1,000\n Category C $ 1,000 to under $ 5,000\n Category D $ 5,000 to under $ 20,000\n Category E $ 20,000 to under $ 50,000\n Category F $ 50,000 to under $ 75,000\n Category G $ 75,000 to under $ 100,000\n Category H $ 100,000 to under $ 150,000\n Category I $ 150,000 to under $ 250,000\n Category J $ 250,000 to under $ 350,000\n Category K $ 350,000 to under $ 450,000\n Category L $ 450,000 to under $ 550,000\n Category M $ 550,000 to under $ 650,000\n Category N $ 650,000 to under $ 750,000\n Category O $ 750,000 to under $ 850,000\n Category P $ 850,000 to under $ 950,000\n Category Q $ 950,000 to under $1,050,000\n Category R $1,050,000 to under $1,150,000\n Category S $1,150,000 to under $1,250,000\n Category T $1,250,000 to under $1,350,000\n Category U $1,350,000 to under $1,450,000\n Category V $1,450,000 to under $1,550,000\n Category W $1,550,000 to under $1,650,000\n Category X $1,650,000 to under $1,750,000\n Category Y $1,750,000 to under $1,850,000\n Category Z $1,850,000 to under $1,950,000\n Category AA $1,950,000 to under $2,050,000\n Category BB $2,050,000 to under $2,150,000\n Category CC $2,150,000 to under $2,250,000\n Category DD $2,250,000 to under $2,350,000\n Category EE $2,350,000 to under $2,450,000\n Category FF $2,450,000 to under $2,550,000\n Category GG $2,550,000 to under $2,650,000\n Category HH $2,650,000 to under $2,750,000\n Category II $2,750,000 to under $2,850,000\n Category JJ $2,850,000 to under $2,950,000\n Category KK $2,950,000 to under $3,050,000\n Category LL $3,050,000 to under $3,150,000\n Category MM $3,150,000 to under $3,250,000\n Category NN $3,250,000 to under $3,350,000\n Category OO $3,350,000 to under $3,450,000\n Category PP $3,450,000 to under $3,550,000\n Category QQ $3,550,000 to under $3,650,000\n Category RR $3,650,000 to under $3,750,000\n Category SS $3,750,000 to under $3,850,000\n Category TT $3,850,000 to under $3,950,000\n Category UU $3,950,000 to under $4,050,000\n Category VV $4,050,000 to under $4,150,000\n Category WW $4,150,000 to under $4,250,000\n Category XX $4,250,000 to under $4,350,000\n Category YY $4,350,000 to under $4,450,000\n Category ZZ $4,450,000 to under $4,550,000\n Category AAA $4,550,000 to under $4,650,000\n Category BBB $4,650,000 to under $4,750,000\n Category CCC $4,750,000 to under $4,850,000\n Category DDD $4,850,000 to under $4,950,000\n Category EEE $4,950,000 to under $5,050,000\n Category FFF $5,050,000 to under $5,150,000\n Category GGG $5,150,000 to under $5,250,000\n Category HHH $5,250,000 to under $5,350,000\n Category III $5,350,000 to under $5,450,000\n Category JJJ $5,450,000 to under $5,550,000\n Category KKK $5,550,000 to under $5,650,000\n Category LLL $5,650,000 to under $5,750,000\n Category MMM $5,750,000 to under $5,850,000\n Category NNN $5,580,000 to under $5,950,000\n Category OOO $5,950,000 to under $6,050,000\n Category PPP $6,050,000 to under $6,150,000\n Category QQQ $6,150,000 to under $6,250,000\n Category RRR $6,250,000 to under $6,350,000\n Category SSS $6,350,000 to under $6,450,000\n Category TTT $6,450,000 to under $6,550,000\n Category UUU $6,550,000 to under $6,650,000\n Category VVV $6,650,000 to under $6,750,000\n Category WWW $6,750,000 to under $6,850,000\n Category XXX $6,850,000 to under $6,950,000\n Category YYY $6,950,000 to under $7,050,000\n Category ZZZ $7,050,000 to under $7,150,000\n Category AAAA $7,150,000 to under $7,250,000\n Category BBBB $7,250,000 to under $7,350,000\n Category CCCC $7,350,000 to under $7,450,000\n Category DDDD $7,450,000 to under $7,550,000\n Category EEEE $7,550,000 to under $7,650,000\n Category FFFF $7,650,000 to under $7,750,000\n Category GGGG $7,750,000 to under $7,850,000\n Category HHHH $7,850,000 to under $7,950,000\n Category IIII $7,950,000 to under $8,050,000\n Category JJJJ $8,050,000 to under $8,150,000\n Category KKKK $8,150,000 to under $8,250,000\n Category LLLL $8,250,000 to under $8,350,000\n Category MMMM $8,350,000 to under $8,450,000\n Category NNNN $8,450,000 to under $8,550,000\n Category OOOO $8,550,000 to under $8,650,000\n Category PPPP $8,650,000 to under $8,750,000\n Category QQQQ $8,750,000 to under $8,850,000\n Category RRRR $8,850,000 to under $8,950,000\n Category SSSS $8,950,000 to under $9,050,000\n Category TTTT $9,050,000 to under $9,150,000\n Category UUUU $9,150,000 to under $9,250,000\n Category VVVV $9,250,000 to under $9,350,000\n Category WWWW $9,350,000 to under $9,450,000\n Category XXXX $9,450,000 to under $9,550,000\n Category YYYY $9,550,000 to under $9,650,000\n Category ZZZZ $9,650,000 to under $9,750,000\n Category AAAAA $9,750,000 to under $9,850,000\n Category BBBBB $9,850,000 to under $9,950,000\n Category CCCCC $9,950,000 to under $10,000,000\n Category DDDDD $10,000,000 or over\n TABLE II\n Category A none\n Category B $ 1 to under $ 1,000\n Category C $ 1,000 to under $ 5,000\n Category D $ 5,000 to under $ 20,000\n Category E $ 20,000 to under $ 50,000\n Category F $ 50,000 to under $ 75,000\n Category G $ 75,000 to under $ 100,000\n Category H $ 100,000 to under $ 150,000\n Category I $ 150,000 to under $ 250,000\n Category J $ 250,000 to under $ 500,000\n Category K $ 500,000 to under $ 750,000\n Category L $ 750,000 to under $1,000,000\n Category M $1,000,000 to under $1,250,000\n Category N $1,250,000 to under $1,500,000\n Category O $1,500,000 to under $1,750,000\n Category P $1,750,000 to under $2,000,000\n Category Q $2,000,000 to under $2,250,000\n Category R $2,250,000 to under $2,500,000\n Category S $2,500,000 to under $2,750,000\n Category T $2,750,000 to under $3,000,000\n Category U $3,000,000 to under $3,250,000\n Category V $3,250,000 to under $3,500,000\n Category W $3,500,000 to under $3,750,000\n Category X $3,750,000 to under $4,000,000\n Category Y $4,000,000 to under $4,250,000\n Category Z $4,250,000 to under $4,500,000\n Category AA $4,500,000 to under $4,750,000\n Category BB $4,750,000 to under $5,000,000\n Category CC $5,000,000 to under $5,250,000\n Category DD $5,250,000 to under $5,500,000\n Category EE $5,500,000 to under $5,750,000\n Category FF $5,750,000 to under $6,000,000\n Category GG $6,000,000 to under $6,250,000\n Category HH $6,250,000 to under $6,500,000\n Category II $6,500,000 to under $6,750,000\n Category JJ $6,750,000 to under $7,000,000\n Category KK $7,000,000 to under $7,250,000\n Category LL $7,250,000 to under $7,500,000\n Category MM $7,500,000 to under $7,750,000\n Category NN $7,750,000 to under $8,000,000\n Category OO $8,000,000 to under $8,250,000\n Category PP $8,250,000 to under $8,500,000\n Category QQ $8,500,000 to under $8,750,000\n Category RR $8,750,000 to under $9,000,000\n Category SS $9,000,000 to under $9,250,000\n Category TT $9,250,000 to under $9,500,000\n Category UU $9,500,000 or over\n 4. A reporting individual who knowingly and wilfully fails to file\n an annual statement of financial disclosure or who knowingly and\n wilfully with intent to deceive makes a false statement or gives\n information which such individual knows to be false on such\n statement of financial disclosure filed pursuant to this section\n shall be subject to a civil penalty in an amount not to exceed forty\n thousand dollars. Assessment of a civil penalty hereunder shall be\n made by the joint commission on public ethics or by the legislative\n ethics commission, as the case may be, with respect to persons\n subject to their respective jurisdictions. The joint commission on\n public ethics acting pursuant to subdivision fourteen of section\n ninety-four of the executive law or the legislative ethics\n commission acting pursuant to subdivision eleven of section eighty\n of the legislative law, as the case may be, may, in lieu of or in\n addition to a civil penalty, refer a violation to the appropriate\n prosecutor and upon such conviction, but only after such referral,\n such violation shall be punishable as a class A misdemeanor. A civil\n penalty for false filing may not be imposed hereunder in the event a\n category of "value" or "amount" reported hereunder is incorrect\n unless such reported information is falsely understated.\n Notwithstanding any other provision of law to the contrary, no other\n penalty, civil or criminal may be imposed for a failure to file, or\n for a false filing, of such statement, except that the appointing\n authority may impose disciplinary action as otherwise provided by\n law. The joint commission on public ethics and the legislative\n ethics commission shall each be deemed to be an agency within the\n meaning of article three of the state administrative procedure act\n and shall adopt rules governing the conduct of adjudicatory\n proceedings and appeals relating to the assessment of the civil\n penalties herein authorized. Such rules, which shall not be subject\n to the approval requirements of the state administrative procedure\n act, shall provide for due process procedural mechanisms\n substantially similar to those set forth in such article three but\n such mechanisms need not be identical in terms or scope. Assessment\n of a civil penalty shall be final unless modified, suspended or\n vacated within thirty days of imposition and upon becoming final\n shall be subject to review at the instance of the affected reporting\n individual in a proceeding commenced against the joint commission on\n public ethics or the legislative ethics commission, pursuant to\n article seventy-eight of the civil practice law and rules.\n 5. Nothing contained in this section shall be construed as\n precluding any public authority or public benefit corporation from\n exercising any authority or power now or hereafter existing to\n require any of its members, directors, officers or employees to file\n financial disclosure statements with such public authority or public\n benefit corporation that are the same as, different from or\n supplemental to any of the requirements contained herein and to\n provide only for internal employment discipline for any violation\n arising out of such internal filing.\n 6. Notwithstanding any other provision of law or any professional\n disciplinary rule to the contrary, the disclosure of the identity of\n any client or customer on a reporting individual's annual statement\n of financial disclosure shall not constitute professional misconduct\n or a ground for disciplinary action of any kind, or form the basis\n for any civil or criminal cause of action or proceeding.\n