There is a newer version of the New York Consolidated Laws
2012 New York Consolidated Laws
PBO - Public Officers
Article 4 - (60 - 79) POWERS AND DUTIES OF PUBLIC OFFICERS
73-A - Financial disclosure.
NY Pub Off L § 73-A (2012) What's This?
§ 73-a. Financial disclosure. 1. As used in this section:
(a) The term "statewide elected official" shall mean the governor,
lieutenant governor, comptroller, or attorney general.
(b) The term "state agency" shall mean any state department, or
division, board, commission, or bureau of any state department, any
public benefit corporation, public authority or commission at least one
of whose members is appointed by the governor, or the state university
of New York or the city university of New York, including all their
constituent units except community colleges of the state university of
New York and the independent institutions operating statutory or
contract colleges on behalf of the state.
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants;
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions,
commissions, councils or other state agencies, who receive annual
compensation in excess of the filing rate established by paragraph (l)
of this subdivision or who hold policy-making positions, as annually
determined by the appointing authority and set forth in a written
instrument which shall be filed with the joint commission on public
ethics established by section ninety-four of the executive law during
the month of February, provided, however, that the appointing authority
shall amend such written instrument after such date within thirty days
after the undertaking of policy-making responsibilities by a new
employee or any other employee whose name did not appear on the most
recent written instrument; and
(iii) members or directors of public authorities, other than
multi-state authorities, public benefit corporations and commissions at
least one of whose members is appointed by the governor, and employees
of such authorities, corporations and commissions who receive annual
compensation in excess of the filing rate established by paragraph (l)
of this subdivision or who hold policy-making positions, as determined
annually by the appointing authority and set forth in a written
instrument which shall be filed with the joint commission on public
ethics established by section ninety-four of the executive law during
the month of February, provided, however, that the appointing authority
shall amend such written instrument after such date within thirty days
after the undertaking of policy-making responsibilities by a new
employee or any other employee whose name did not appear on the most
recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is determined to
hold a policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ethics
commission and the joint commission on public ethics.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
with the joint commission on public ethics upon its filing, in
accordance with this section, with the legislative ethics commission for
all purposes including, but not limited to, subdivision fourteen of
section ninety-four of the executive law, subdivision nine of section
eighty of the legislative law and subdivision four of this section.
(e) The term "spouse" shall mean the husband or wife of the reporting
individual unless living separate and apart from the reporting
individual with the intention of terminating the marriage or providing
for permanent separation or unless separated pursuant to: (i) a judicial
order, decree or judgment, or (ii) a legally binding separation
agreement.
(f) The term "relative" shall mean such individual's spouse, child,
stepchild, stepparent, or any person who is a direct descendant of the
grandparents of the reporting individual or of the reporting
individual's spouse.
(g) The term "unemancipated child" shall mean any son, daughter,
stepson or stepdaughter who is under age eighteen, unmarried and living
in the household of the reporting individual.
(h) The term "political party chairman" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(i) The term "local agency" shall mean:
(i) any county, city, town, village, school district or district
corporation, or any agency, department, division, board, commission or
bureau thereof; and
(ii) any public benefit corporation or public authority not included
in the definition of a state agency.
(j) The term "regulatory agency" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(k) The term "ministerial matter" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(l) The term "filing rate" shall mean the job rate of SG-24 as set
forth in paragraph a of subdivision one of section one hundred thirty of
the civil service law as of April first of the year in which an annual
financial disclosure statement shall be filed.
(m) The term "lobbyist" shall have the same meaning as ascribed to
such term in subdivision (a) of section one-c of the legislative law.
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chairman and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of financial
disclosure containing the information and in the form set forth in
subdivision three of this section. On or before the fifteenth day of May
with respect to the preceding calendar year: (1) every member of the
legislature, every candidate for member of the legislature and
legislative employee shall file such statement with the legislative
ethics commission which shall provide such statement along with any
requests for exemptions or deletions to the joint commission on public
ethics for filing and rulings with respect to such requests for
exemptions or deletions, on or before the thirtieth day of June; and (2)
all other individuals required to file such statement shall file it with
the joint commission on public ethics, except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure
statement on or before May fifteenth but may, without being subjected to
any civil penalty on account of a deficient statement, indicate with
respect to any item of the disclosure statement that information with
respect thereto is lacking but will be supplied in a supplementary
statement of financial disclosure, which shall be filed on or before the
seventh day after the expiration of the period of such automatic
extension of time within which to file such individual income tax
return, provided that failure to file or to timely file such
supplementary statement of financial disclosure or the filing of an
incomplete or deficient supplementary statement of financial disclosure
shall be subject to the notice and penalty provisions of this section
respecting annual statements of financial disclosure as if such
supplementary statement were an annual statement;
(ii) a person who is required to file an annual financial disclosure
statement with the joint commission on public ethics, and who is granted
an additional period of time within which to file such statement due to
justifiable cause or undue hardship, in accordance with required rules
and regulations on the subject adopted pursuant to paragraph c of
subdivision nine of section ninety-four of the executive law shall file
such statement within the additional period of time granted; and the
legislative ethics commission shall notify the joint commission on
public ethics of any extension granted pursuant to this paragraph;
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within ten days after the date of
the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within ten
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within ten days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been
designated by a party to receive a nomination shall file such statement
within ten days after the last day allowed by law for the filing of
independent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within ten days after the date of the
meeting of the party committee at which they are nominated;
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within ten days after the last
day allowed by law to file a certificate to fill a vacancy in such party
designation or independent nomination;
(ix) with respect to all candidates for member of the legislature, the
legislative ethics commission shall within five days of receipt provide
the joint commission on public ethics the statement filed pursuant to
subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative
employee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
joint commission on public ethics in accordance with paragraph (d-1) of
subdivision one of this section. If the reporting individual is a
statewide elected official, candidate for statewide elected office, a
state officer or employee or a political party chairman, such statement
shall be filed with the joint commission on public ethics established by
section ninety-four of the executive law.
(d) The joint commission on public ethics shall obtain from the state
board of elections a list of all candidates for statewide office and for
member of the legislature, and from such list, shall determine and
publish a list of those candidates who have not, within ten days after
the required date for filing such statement, filed the statement
required by this subdivision.
(e) Any person required to file such statement who commences
employment after May fifteenth of any year and political party chairman
shall file such statement within thirty days after commencing employment
or of taking the position of political party chairman, as the case may
be. In the case of members of the legislature and legislative employees,
such statements shall be filed with the legislative ethics commission
within thirty days after commencing employment, and the legislative
ethics commission shall provide such statements to the joint commission
on public ethics within forty-five days of receipt.
(f) A person who may otherwise be required to file more than one
annual financial disclosure statement with both the joint commission on
public ethics and the legislative ethics commission in any one calendar
year may satisfy such requirement by filing one such statement with
either body and by notifying the other body of such compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the same ethics
commission, as the case may be, and who receives distinctly separate
payments of compensation for such employment shall be subject to the
filing requirements of this section if the aggregate annual compensation
for all such employment capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be required to file
with respect to any one particular employment capacity. A person not
otherwise required to file a financial disclosure statement hereunder
who is employed by an employer certain of whose officers or employees
are subject to filing a financial disclosure statement with the joint
commission on public ethics and who is also employed by an employer
certain of whose officers or employees are subject to filing a financial
disclosure statement with the legislative ethics commission shall not be
subject to filing such statement with either such commission on the
basis that his aggregate annual compensation from all such employers is
in excess of the filing rate.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this
subdivision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(k) The joint commission on public ethics shall post for at least five
years beginning for filings made on January first, two thousand thirteen
the annual statement of financial disclosure and any amendments filed by
each person subject to the reporting requirements of this subdivision
who is an elected official on its website for public review within
thirty days of its receipt of such statement or within ten days of its
receipt of such amendment that reflects any corrections of deficiencies
identified by the commission or by the reporting individual after the
reporting individual's initial filing. Except upon an individual
determination by the commission that certain information may be deleted
from a reporting individual's annual statement of financial disclosure,
none of the information in the statement posted on the commission's
website shall be otherwise deleted.
3. The annual statement of financial disclosure shall contain the
information and shall be in the form set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
1. Name ______________________________________________________________
2. (a) Title of Position _____________________________________________
(b) Department, Agency or other Governmental Entity _______________
(c) Address of Present Office _____________________________________
(d) Office Telephone Number _______________________________________
3. (a) Marital Status ______________. If married, please give spouse's
full name including maiden name where applicable.
_____________________________________________________________ .
(b) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories in Table I or Table II of this subdivision as called for in
the question: A reporting individual shall indicate the Category by
letter only.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source
identified.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
4. (a) List any office, trusteeship, directorship, partnership, or
position of any nature, whether compensated or not, held by the
reporting individual with any firm, corporation, association,
partnership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity was licensed
by any state or local agency, was regulated by any state regulatory
agency or local agency, or, as a regular and significant part of the
business or activity of said entity, did business with, or had
matters other than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List any office, trusteeship, directorship, partnership, or position
of any nature, whether compensated or not, held by the spouse or
unemancipated child of the reporting individual, with any firm,
corporation, association, partnership, or other organization other
than the State of New York. Include compensated honorary positions;
do NOT list membership or uncompensated honorary positions. If the
listed entity was licensed by any state or local agency, was
regulated by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity of said
entity, did business with, or had matters other than ministerial
matters before, any state or local agency, list the name of any such
agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5. (a) List the name, address and description of any occupation,
employment (other than the employment listed under Item 2 above),
trade, business or profession engaged in by the reporting
individual. If such activity was licensed by any state or local
agency, was regulated by any state regulatory agency or local
agency, or, as a regular and significant part of the business or
activity of said entity, did business with, or had matters other
than ministerial matters before, any state or local agency, list the
name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) If the spouse or unemancipated child of the reporting individual was
engaged in any occupation, employment, trade, business or profession
which activity was licensed by any state or local agency, was
regulated by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity of said
entity, did business with, or had matters other than ministerial
matters before, any state or local agency, list the name, address
and description of such occupation, employment, trade, business or
profession and the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting
individual, such individual's spouse or unemancipated child, or
partnership of which any such person is a member, or corporation,
10% or more of the stock of which is owned or controlled by any such
person, whether vested or contingent, in any contract made or
executed by a state or local agency and include the name of the
entity which holds such interest and the relationship of the
reporting individual or such individual's spouse or such child to
such entity and the interest in such contract. Do NOT include bonds
and notes. Do NOT list any interest in any such contract on which
final payment has been made and all obligations under the contract
except for guarantees and warranties have been performed, provided,
however, that such an interest must be listed if there has been an
ongoing dispute during the calendar year for which this statement is
filed with respect to any such guarantees or warranties. Do NOT list
any interest in a contract made or executed by a local agency after
public notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any
political party committee, or as a political party district leader.
The term "party" shall have the same meaning as "party" in the
election law. The term "political organization" means any party or
independent body as defined in the election law or any organization
that is affiliated with or a subsidiary of a party or independent
body.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, or works as a
member or employee of a firm required to register pursuant to
section one-e of the legislative law as a lobbyist, give a general
description of the principal subject areas of matters undertaken by
such individual. Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm or
corporation, give a general description of principal subject areas
of matters undertaken by such firm or corporation.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or
corporation that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $50,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (v) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of
subdivision seven of section seventy-three of this article.
The disclosure requirement in this question shall not require
disclosure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
joint commission pursuant to paragraph (i) of subdivision nine of
section ninety-four of the executive law. Only a reporting individual
who first enters public office after July first, two thousand twelve,
need not report clients or customers with respect to matters for which
the reporting individual or his or her firm was retained prior to
entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(c) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse had an investment in excess of
$1,000 excluding investments in securities and interests in real
property.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which
this statement is filed by the reporting individual or such
individual's spouse or unemancipated child from the same donor,
EXCLUDING gifts from a relative. INCLUDE the name and address of the
donor. The term "gifts" does not include reimbursements, which term
is defined in item 10. Indicate the value and nature of each such
gift.
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Identify and briefly describe the source of any reimbursements for
expenditures, EXCLUDING campaign expenditures and expenditures in
connection with official duties reimbursed by the state, in EXCESS
of $1,000 from each such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses provided by
nongovernmental sources and for activities related to the reporting
individual's official duties such as, speaking engagements,
conferences, or factfinding events. The term "reimbursements" does
NOT include gifts reported under item 9.
Source Description
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York), and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a
relative.
Category
Identity of Value*
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* The value of such interest shall be reported only if reasonably
ascertainable.
12. (a) Describe the terms of, and the parties to, any contract,
promise, or other agreement between the reporting individual and any
person, firm, or corporation with respect to the employment of such
individual after leaving office or position (other than a leave of
absence).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the REPORTING INDIVIDUAL
in EXCESS of $1,000 from a prior employer OTHER THAN the State.
(This includes interests in or contributions to a pension fund,
profit-sharing plan, or life or health insurance; buy-out
agreements; severance payments; etc.)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and such individual's
spouse for the taxable year last occurring prior to the date of
filing. Nature of income includes, but is not limited to, all
income (other than that received from the employment listed under
Item 2 above) from compensated employment whether public or private,
directorships and other fiduciary positions, contractual
arrangements, teaching income, partnerships, honorariums, lecture
fees, consultant fees, bank and bond interest, dividends, income
derived from a trust, real estate rents, and recognized gains from
the sale or exchange of real or other property. Income from a
business or profession and real estate rents shall be reported with
the source identified by the building address in the case of real
estate rents and otherwise by the name of the entity and not by the
name of the individual customers, clients or tenants, with the
aggregate net income before taxes for each building address or
entity. The receipt of maintenance received in connection with a
matrimonial action, alimony and child support payments shall not be
listed.
Self/ Category
Spouse Source Nature of Amount
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting
individual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation,
partnership or association through which the income was derived, but
shall not identify individual clients.
Category
Source of Amount
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each
transfer other than to a relative during the reporting period for
which this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or Category
or Transferred Transferred to of Value
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or such individual's spouse from each issuing
entity in EXCESS of $1,000 at the close of the taxable year last
occurring prior to the date of filing, including the name of the
issuing entity exclusive of securities held by the reporting
individual issued by a professional corporation. Whenever an
interest in securities exists through a beneficial interest in a
trust, the securities held in such trust shall be listed ONLY IF the
reporting individual has knowledge thereof except where the
reporting individual or the reporting individual's spouse has
transferred assets to such trust for his or her benefit in which
event such securities shall be listed unless they are not
ascertainable by the reporting individual because the trustee is
under an obligation or has been instructed in writing not to
disclose the contents of the trust to the reporting individual.
Securities of which the reporting individual or the reporting
individual's spouse is the owner of record but in which such
individual or the reporting individual's spouse has no beneficial
interest shall not be listed. Indicate percentage of ownership ONLY
if the reporting person or the reporting person's spouse holds more
than five percent (5%) of the stock of a corporation in which the
stock is publicly traded or more than ten percent (10%) of the stock
of a corporation in which the stock is NOT publicly traded. Also
list securities owned for investment purposes by a corporation more
than fifty percent (50%) of the stock of which is owned or
controlled by the reporting individual or such individual's spouse.
For the purpose of this item the term "securities" shall mean mutual
funds, bonds, mortgages, notes, obligations, warrants and stocks of
any class, investment interests in limited or general partnerships
and certificates of deposits (CDs) and such other evidences of
indebtedness and certificates of interest as are usually referred to
as securities. The market value for such securities shall be
reported only if reasonably ascertainable and shall not be reported
if the security is an interest in a general partnership that was
listed in item 8 (a) or if the security is corporate stock, NOT
publicly traded, in a trade or business of a reporting individual or
a reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or the reporting individual's spouse.
Also list real property owned for investment purposes by a
corporation more than fifty percent (50%) of the stock of which is
owned or controlled by the reporting individual or such individual's
spouse. Do NOT list any real property which is the primary or
secondary personal residence of the reporting individual or the
reporting individual's spouse, except where there is a co-owner who
is other than a relative.
Category
Self/ Percentage of
Spouse/ General Acquisition of Market
Corporation Location Size Nature Date Ownership Value
(In
Table
II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse, in EXCESS of $10,000 as of the date of filing
of this statement, other than liabilities to a relative. Do NOT list
liabilities incurred by, or guarantees made by, the reporting
individual or such individual's spouse or by any proprietorship,
partnership or corporation in which the reporting individual or such
individual's spouse has an interest, when incurred or made in the
ordinary course of the trade, business or professional practice of
the reporting individual or such individual's spouse. Include the
name of the creditor and any collateral pledged by such individual
to secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in connection with
a matrimonial action, alimony or child support payments. Any loan
issued in the ordinary course of business by a financial institution
to finance educational costs, the cost of home purchase or
improvements for a primary or secondary residence, or purchase of a
personally owned motor vehicle, household furniture or appliances
shall be excluded. If any such reportable liability has been
guaranteed by any third person, list the liability and name the
guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
TABLE I
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 350,000
Category K $ 350,000 to under $ 450,000
Category L $ 450,000 to under $ 550,000
Category M $ 550,000 to under $ 650,000
Category N $ 650,000 to under $ 750,000
Category O $ 750,000 to under $ 850,000
Category P $ 850,000 to under $ 950,000
Category Q $ 950,000 to under $1,050,000
Category R $1,050,000 to under $1,150,000
Category S $1,150,000 to under $1,250,000
Category T $1,250,000 to under $1,350,000
Category U $1,350,000 to under $1,450,000
Category V $1,450,000 to under $1,550,000
Category W $1,550,000 to under $1,650,000
Category X $1,650,000 to under $1,750,000
Category Y $1,750,000 to under $1,850,000
Category Z $1,850,000 to under $1,950,000
Category AA $1,950,000 to under $2,050,000
Category BB $2,050,000 to under $2,150,000
Category CC $2,150,000 to under $2,250,000
Category DD $2,250,000 to under $2,350,000
Category EE $2,350,000 to under $2,450,000
Category FF $2,450,000 to under $2,550,000
Category GG $2,550,000 to under $2,650,000
Category HH $2,650,000 to under $2,750,000
Category II $2,750,000 to under $2,850,000
Category JJ $2,850,000 to under $2,950,000
Category KK $2,950,000 to under $3,050,000
Category LL $3,050,000 to under $3,150,000
Category MM $3,150,000 to under $3,250,000
Category NN $3,250,000 to under $3,350,000
Category OO $3,350,000 to under $3,450,000
Category PP $3,450,000 to under $3,550,000
Category QQ $3,550,000 to under $3,650,000
Category RR $3,650,000 to under $3,750,000
Category SS $3,750,000 to under $3,850,000
Category TT $3,850,000 to under $3,950,000
Category UU $3,950,000 to under $4,050,000
Category VV $4,050,000 to under $4,150,000
Category WW $4,150,000 to under $4,250,000
Category XX $4,250,000 to under $4,350,000
Category YY $4,350,000 to under $4,450,000
Category ZZ $4,450,000 to under $4,550,000
Category AAA $4,550,000 to under $4,650,000
Category BBB $4,650,000 to under $4,750,000
Category CCC $4,750,000 to under $4,850,000
Category DDD $4,850,000 to under $4,950,000
Category EEE $4,950,000 to under $5,050,000
Category FFF $5,050,000 to under $5,150,000
Category GGG $5,150,000 to under $5,250,000
Category HHH $5,250,000 to under $5,350,000
Category III $5,350,000 to under $5,450,000
Category JJJ $5,450,000 to under $5,550,000
Category KKK $5,550,000 to under $5,650,000
Category LLL $5,650,000 to under $5,750,000
Category MMM $5,750,000 to under $5,850,000
Category NNN $5,580,000 to under $5,950,000
Category OOO $5,950,000 to under $6,050,000
Category PPP $6,050,000 to under $6,150,000
Category QQQ $6,150,000 to under $6,250,000
Category RRR $6,250,000 to under $6,350,000
Category SSS $6,350,000 to under $6,450,000
Category TTT $6,450,000 to under $6,550,000
Category UUU $6,550,000 to under $6,650,000
Category VVV $6,650,000 to under $6,750,000
Category WWW $6,750,000 to under $6,850,000
Category XXX $6,850,000 to under $6,950,000
Category YYY $6,950,000 to under $7,050,000
Category ZZZ $7,050,000 to under $7,150,000
Category AAAA $7,150,000 to under $7,250,000
Category BBBB $7,250,000 to under $7,350,000
Category CCCC $7,350,000 to under $7,450,000
Category DDDD $7,450,000 to under $7,550,000
Category EEEE $7,550,000 to under $7,650,000
Category FFFF $7,650,000 to under $7,750,000
Category GGGG $7,750,000 to under $7,850,000
Category HHHH $7,850,000 to under $7,950,000
Category IIII $7,950,000 to under $8,050,000
Category JJJJ $8,050,000 to under $8,150,000
Category KKKK $8,150,000 to under $8,250,000
Category LLLL $8,250,000 to under $8,350,000
Category MMMM $8,350,000 to under $8,450,000
Category NNNN $8,450,000 to under $8,550,000
Category OOOO $8,550,000 to under $8,650,000
Category PPPP $8,650,000 to under $8,750,000
Category QQQQ $8,750,000 to under $8,850,000
Category RRRR $8,850,000 to under $8,950,000
Category SSSS $8,950,000 to under $9,050,000
Category TTTT $9,050,000 to under $9,150,000
Category UUUU $9,150,000 to under $9,250,000
Category VVVV $9,250,000 to under $9,350,000
Category WWWW $9,350,000 to under $9,450,000
Category XXXX $9,450,000 to under $9,550,000
Category YYYY $9,550,000 to under $9,650,000
Category ZZZZ $9,650,000 to under $9,750,000
Category AAAAA $9,750,000 to under $9,850,000
Category BBBBB $9,850,000 to under $9,950,000
Category CCCCC $9,950,000 to under $10,000,000
Category DDDDD $10,000,000 or over
TABLE II
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 500,000
Category K $ 500,000 to under $ 750,000
Category L $ 750,000 to under $1,000,000
Category M $1,000,000 to under $1,250,000
Category N $1,250,000 to under $1,500,000
Category O $1,500,000 to under $1,750,000
Category P $1,750,000 to under $2,000,000
Category Q $2,000,000 to under $2,250,000
Category R $2,250,000 to under $2,500,000
Category S $2,500,000 to under $2,750,000
Category T $2,750,000 to under $3,000,000
Category U $3,000,000 to under $3,250,000
Category V $3,250,000 to under $3,500,000
Category W $3,500,000 to under $3,750,000
Category X $3,750,000 to under $4,000,000
Category Y $4,000,000 to under $4,250,000
Category Z $4,250,000 to under $4,500,000
Category AA $4,500,000 to under $4,750,000
Category BB $4,750,000 to under $5,000,000
Category CC $5,000,000 to under $5,250,000
Category DD $5,250,000 to under $5,500,000
Category EE $5,500,000 to under $5,750,000
Category FF $5,750,000 to under $6,000,000
Category GG $6,000,000 to under $6,250,000
Category HH $6,250,000 to under $6,500,000
Category II $6,500,000 to under $6,750,000
Category JJ $6,750,000 to under $7,000,000
Category KK $7,000,000 to under $7,250,000
Category LL $7,250,000 to under $7,500,000
Category MM $7,500,000 to under $7,750,000
Category NN $7,750,000 to under $8,000,000
Category OO $8,000,000 to under $8,250,000
Category PP $8,250,000 to under $8,500,000
Category QQ $8,500,000 to under $8,750,000
Category RR $8,750,000 to under $9,000,000
Category SS $9,000,000 to under $9,250,000
Category TT $9,250,000 to under $9,500,000
Category UU $9,500,000 or over
4. A reporting individual who knowingly and wilfully fails to file
an annual statement of financial disclosure or who knowingly and
wilfully with intent to deceive makes a false statement or gives
information which such individual knows to be false on such
statement of financial disclosure filed pursuant to this section
shall be subject to a civil penalty in an amount not to exceed forty
thousand dollars. Assessment of a civil penalty hereunder shall be
made by the joint commission on public ethics or by the legislative
ethics commission, as the case may be, with respect to persons
subject to their respective jurisdictions. The joint commission on
public ethics acting pursuant to subdivision fourteen of section
ninety-four of the executive law or the legislative ethics
commission acting pursuant to subdivision eleven of section eighty
of the legislative law, as the case may be, may, in lieu of or in
addition to a civil penalty, refer a violation to the appropriate
prosecutor and upon such conviction, but only after such referral,
such violation shall be punishable as a class A misdemeanor. A civil
penalty for false filing may not be imposed hereunder in the event a
category of "value" or "amount" reported hereunder is incorrect
unless such reported information is falsely understated.
Notwithstanding any other provision of law to the contrary, no other
penalty, civil or criminal may be imposed for a failure to file, or
for a false filing, of such statement, except that the appointing
authority may impose disciplinary action as otherwise provided by
law. The joint commission on public ethics and the legislative
ethics commission shall each be deemed to be an agency within the
meaning of article three of the state administrative procedure act
and shall adopt rules governing the conduct of adjudicatory
proceedings and appeals relating to the assessment of the civil
penalties herein authorized. Such rules, which shall not be subject
to the approval requirements of the state administrative procedure
act, shall provide for due process procedural mechanisms
substantially similar to those set forth in such article three but
such mechanisms need not be identical in terms or scope. Assessment
of a civil penalty shall be final unless modified, suspended or
vacated within thirty days of imposition and upon becoming final
shall be subject to review at the instance of the affected reporting
individual in a proceeding commenced against the joint commission on
public ethics or the legislative ethics commission, pursuant to
article seventy-eight of the civil practice law and rules.
5. Nothing contained in this section shall be construed as
precluding any public authority or public benefit corporation from
exercising any authority or power now or hereafter existing to
require any of its members, directors, officers or employees to file
financial disclosure statements with such public authority or public
benefit corporation that are the same as, different from or
supplemental to any of the requirements contained herein and to
provide only for internal employment discipline for any violation
arising out of such internal filing.
6. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of
any client or customer on a reporting individual's annual statement
of financial disclosure shall not constitute professional misconduct
or a ground for disciplinary action of any kind, or form the basis
for any civil or criminal cause of action or proceeding.
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