§ 73-A — Financial disclosure

New York § 73-A

• Jurisdiction: New York
• Law PBO: Public Officers
• Art. 4: Powers and Duties of Public Officers

Text

§ 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 commission on ethics and\nlobbying in government established by section ninety-four of the\nexecutive law during the month of February, provided, however, that the\nappointing authority shall amend such written instrument after such date\nwithin thirty days after the undertaking of policy-making\nresponsibilities by a new employee or any other employee whose name did\nnot appear on the most recent 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 commission on ethics and\nlobbying in government established by section ninety-four of the\nexecutive law during the month of February, provided, however, that the\nappointing authority shall amend such written instrument after such date\nwithin thirty days after the undertaking of policy-making\nresponsibilities by a new employee or any other employee whose name did\nnot appear on the most recent 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 commission on ethics and lobbying in government.\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 commission on ethics and lobbying in government upon its\nfiling, in accordance with this section, with the legislative ethics\ncommission for all purposes including, but not limited to, section\nninety-four of the executive law, subdivision nine of section eighty of\nthe 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 (e-1) The term "domestic partner" shall mean a person who, with\nrespect to another person, is formally a party in a domestic partnership\nor similar relationship with the other person, entered into pursuant to\nthe laws of the United States or any state, local or foreign\njurisdiction, or registered as the domestic partner of the other person\nwith any registry maintained by the employer of either party or any\nstate, municipality, or foreign jurisdiction.\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 higher of the job rates of\nSG-24 as set forth in paragraph a or c of subdivision one of section one\nhundred thirty of the civil service law as of April first of the year in\nwhich an annual financial 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\nchair and every candidate for statewide elected office or for member of\nthe legislature shall file an annual statement of financial disclosure\ncontaining the information and in the form set forth in subdivision\nthree of this section. On or before the fifteenth day of May with\nrespect 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 commission on ethics and\nlobbying in government for filing and rulings with respect to such\nrequests for exemptions or deletions, on or before the thirtieth day of\nJune; and (2) all other individuals required to file such statement\nshall file it with the commission on ethics and lobbying in government,\nexcept 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 commission on ethics and lobbying in government, and\nwho is granted an additional period of time within which to file such\nstatement due to justifiable cause or undue hardship, in accordance with\nrequired rules and regulations adopted pursuant to section ninety-four\nof the executive law shall file such statement within the additional\nperiod of time granted; and the legislative ethics commission shall\nnotify the commission on ethics and lobbying in government of any\nextension 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 commission on ethics and lobbying in government the statement filed\npursuant to subparagraphs (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\ncommission on ethics and lobbying in government in accordance with\nparagraph (d-1) of subdivision one of this section. If the reporting\nindividual is a statewide elected official, candidate for statewide\nelected office, a state officer or employee or a political party chair,\nsuch statement shall be filed with the commission on ethics and lobbying\nin government established by section ninety-four of the executive law.\n (d) The commission on ethics and lobbying in government shall obtain\nfrom the state board of elections a list of all candidates for statewide\noffice and for member of the legislature, and from such list, shall\ndetermine and publish a list of those candidates who have not, within\nten days after the required date for filing such statement, filed the\nstatement required by this subdivision.\n (e) Any person required to file such statement who commences\nemployment after May fifteenth of any year and political party chair\nshall file such statement within thirty days after commencing employment\nor of taking the position of political party chair, as the case may be.\nIn 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 commission on\nethics and lobbying in government 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 commission on ethics\nand lobbying in government and the legislative ethics commission in any\none calendar year may satisfy such requirement by filing one such\nstatement with either body and by notifying the other body of such\ncompliance.\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\ncommission on ethics and lobbying in government and who is also employed\nby an employer certain of whose officers or employees are subject to\nfiling a financial disclosure statement with the legislative ethics\ncommission shall not be subject to filing such statement with either\nsuch commission on the basis that his aggregate annual compensation from\nall such employers is in 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 commission on ethics and lobbying in government shall post for\nat least five years beginning for filings made on January first, two\nthousand thirteen the annual statement of financial disclosure and any\namendments filed by each person subject to the reporting requirements of\nthis subdivision who is an elected official on its website for public\nreview within thirty days of its receipt of such statement or within ten\ndays of its receipt of such amendment that reflects any corrections of\ndeficiencies identified by the commission or by the reporting individual\nafter the reporting individual's initial filing. Except upon an\nindividual determination by the commission that certain information may\nbe deleted from a reporting individual's annual statement of financial\ndisclosure, none of the information in the statement posted on the\ncommission's website 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.\n __________________________________________________________________.\n (b) Full name of domestic partner (if applicable).\n _________________________________________________________________ .\n (c) 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,\n domestic partner or unemancipated child of the reporting individual,\n with any firm, corporation, association, partnership, or other\n organization other than the State of New York. Include compensated\n honorary positions; do NOT list membership or uncompensated honorary\n positions. If the listed entity 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 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, domestic partner or unemancipated child of the\n reporting individual was engaged in any occupation, employment,\n trade, business or profession which activity was licensed by any\n state or local agency, was regulated by any state regulatory agency\n 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, address and description of such occupation,\n employment, trade, business or profession and the name of any such\n 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, domestic partner or\n unemancipated child, or partnership of which any such person is a\n member, or corporation, 10% or more of the stock of which is owned\n or controlled by any such person, whether vested or contingent, in\n any contract made or executed by a state or local agency and include\n the name of the entity which holds such interest and the\n relationship of the reporting individual or such individual's\n spouse, domestic partner or such child to such entity and the\n interest in such contract. Do NOT include bonds and notes. Do NOT\n list any interest in any such contract on which final payment has\n been made and all obligations under the contract except for\n guarantees and warranties have been performed, provided, however,\n that such an interest must be listed if there has been an ongoing\n dispute during the calendar year for which this statement is filed\n with respect to any such guarantees or warranties. Do NOT list any\n 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, Interest in and Interest Local Value of\n Domestic Contract in Contract Agency Contract\n Partner or\n Child (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 ____________________________________________________________________\n 8. (a) If the reporting individual practices law, is licensed by the\ndepartment of state as a real estate broker or agent or practices a\nprofession licensed by the department of education, or works as a member\nor employee of a firm required to register pursuant to section one-e of\nthe legislative law as a lobbyist, describe the services rendered for\nwhich compensation was paid including a general description of the\nprincipal subject areas of matters undertaken by such individual and\nprincipal duties performed. Specifically state whether the reporting\nindividual provides services directly to clients. Additionally, if such\nan individual practices with a firm or corporation and is a partner or\nshareholder of the firm or corporation, give a general description of\nprincipal subject areas of matters undertaken by such firm or\ncorporation.\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 AND BEFORE DECEMBER\nTHIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING\nCLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON\nOR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER\nTHIRTY-FIRST, TWO THOUSAND FIFTEEN:\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 contract in an amount totaling $50,000 or more from the state or\nany state agency for services, materials, or property;\n (ii) A grant of $25,000 or more from the state or any state agency\nduring the reporting period;\n (iii) A grant obtained through a legislative initiative during the\nreporting period; or\n (iv) 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 (iv) 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\ncommission on ethics and lobbying in government pursuant to section\nninety-four of the executive law, provided, however, that a reporting\nindividual who first enters public office after July first, two thousand\ntwelve, need not report clients or customers with respect to matters for\nwhich the 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 (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES\nARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR\nFOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE\nSERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO\nTHOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN\nCONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):\n If the reporting individual receives income from employment reportable\nin question 8(a) and personally provides services to any person or\nentity, or works as a member or employee of a partnership or corporation\nthat provides such services (referred to hereinafter as a "firm"), the\nreporting individual shall identify each client or customer to whom the\nreporting individual personally provided services, or who was referred\nto the firm by the reporting individual, and from whom the reporting\nindividual or his or her firm earned fees in excess of $10,000 during\nthe reporting period in direct connection with:\n (i) A contract in an amount totaling $10,000 or more from the state or\nany state agency for services, materials, or property;\n (ii) A grant of $10,000 or more from the state or any state agency\nduring the reporting period;\n (iii) A grant obtained through a legislative initiative during the\nreporting period; or\n (iv) A case, proceeding, application or other matter that is not a\nministerial matter before a state agency during the reporting period.\n For such services rendered by the reporting individual directly to\neach such client, describe each matter that was the subject of such\nrepresentation, the services actually provided and the payment received.\nFor payments received from clients referred to the firm by the reporting\nindividual, if the reporting individual directly received a referral fee\nor fees for such referral, identify the client and the payment so\nreceived.\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\nhaving knowingly solicited or directed to the reporting individual's\nfirm in whole or substantial part, a person or entity that becomes a\nclient of that firm for the purposes of representation for a matter as\ndefined in clauses (i) through (iv) of this subparagraph, as the result\nof such procurement, solicitation or direction of the reporting\nindividual. A reporting individual need not disclose activities\nperformed while lawfully acting in his or her capacity as provided in\nparagraphs (c), (d), (e) and (f) of subdivision seven of section\nseventy-three of this article.\n Client Matter Nature of Services Provided Category\n of Amount\n (in Table I)\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES\nARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR\nFOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE\nSERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO\nTHOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN\nCONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):\n (i) With respect to reporting individuals who receive ten thousand\ndollars or more from employment or activity reportable under question\n8(a), for each client or customer NOT otherwise disclosed or exempted in\nquestion 8 or 13, disclose the name of each client or customer known to\nthe reporting individual to whom the reporting individual provided\nservices: (A) who paid the reporting individual in excess of five\nthousand dollars for such services; or (B) who had been billed with the\nknowledge of the reporting individual in excess of five thousand dollars\nby the firm or other entity named in question 8(a) for the reporting\nindividual's services.\nClient Services Category of Amount\n Actually Provided (in Table I)\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\nFOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF\nDESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":\n * REVIEWED DOCUMENTS AND CORRESPONDENCE;\n * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;\n * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);\n * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS\n OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);\n * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY\n NAME);\n * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR\n REPRESENTATION OR CONSULTATION;\n * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);\n * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING\n RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);\n * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).\n (ii) With respect to reporting individuals who disclosed in question\n8(a) that the reporting individual did not provide services to a client\nbut provided services to a firm or business, identify the category of\namount received for providing such services and describe the services\nrendered.\nServices Actually Provided Category of Amount (Table I)\n________________________________________________________________________\n________________________________________________________________________\n________________________________________________________________________\n A reporting individual need not disclose activities performed while\nlawfully acting in his or her capacity as provided in paragraphs (c),\n(d), (e) and (f) of subdivision seven of section seventy-three of this\narticle.\nThe disclosure requirement in questions (b-1) and (b-2) shall not\nrequire disclosing clients or customers receiving medical,\npharmaceutical or dental services, mental health services, or\nresidential real estate brokering services from the reporting individual\nor his or her firm or if federal law prohibits or limits disclosure. 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,\nfamily court, estate planning, or domestic relations matters, nor shall\nthe reporting individual identify individuals represented pursuant to an\ninsurance policy but the reporting individual shall in such\ncircumstances only report the entity that provides compensation to the\nreporting individual; with respect to matters in which the client's name\nis required by law to be kept confidential (such as matters governed by\nthe family court act) or in matters in which the reporting individual\nrepresents or provides services to minors, the client's name may be\nreplaced with initials. To the extent that the reporting individual, or\nhis or her firm, provided legal representation with respect to an\ninitial public offering, and professional disciplinary rules, federal\nlaw or regulations restrict the disclosure of information relating to\nsuch work, the reporting individual shall (i) disclose the identity of\nthe client and the services provided relating to the initial public\noffering to the office of court administration, who will maintain such\ninformation confidentially in a locked box; and (ii) include in his or\nher response to questions (b-1) and (b-2) that pursuant to this\nparagraph, a disclosure to the office of court administration has been\nmade. Upon such time that the disclosure of information maintained in\nthe locked box is no longer restricted by professional disciplinary\nrules, federal law or regulation, the reporting individual shall\ndisclose such information in an amended disclosure statement in response\nto the disclosure requirements in questions (b-1) and (b-2). The office\nof court administration shall develop and maintain a secure portal\nthrough which information submitted to it pursuant to this paragraph can\nbe safely and confidentially stored. With respect to clients represented\nin other matters not otherwise exempt, the reporting individual may\nrequest an exemption to publicly disclosing the name of that client from\nthe commission on ethics and lobbying in government pursuant to section\nninety-four of the executive law, or from the office of court\nadministration. In such application, the reporting individual shall\nstate the following: "My client is not currently receiving my services\nor seeking my services in 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 $10,000 or more from the state\nor any state agency for services, materials, or property;\n (iii) A grant of $10,000 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 In reviewing the request for an exemption, the commission on ethics\nand lobbying in government or the office of court administration may\nconsult with bar or other professional associations and the legislative\nethics commission for individuals subject to its jurisdiction and may\nconsider the rules of professional conduct. In making its determination,\nthe commission on ethics and lobbying in government or the office of\ncourt administration shall conduct its own inquiry and shall consider\nfactors including, but not limited to: (i) the nature and the size of\nthe client; (ii) whether the client has any business before the state;\nand if so, how significant the business is; and whether the client has\nany particularized interest in pending legislation and if so how\nsignificant the interest is; (iii) whether disclosure may reveal trade\nsecrets; (iv) whether disclosure could reasonably result in retaliation\nagainst the client; (v) whether disclosure may cause undue harm to the\nclient; (vi) whether disclosure may result in undue harm to the\nattorney-client relationship; and (vii) whether disclosure may result in\nan unnecessary invasion of privacy to the client.\n The commission on ethics and lobbying in government or, as the case\nmay be, the office of court administration shall promptly make a final\ndetermination in response to such request, which shall include an\nexplanation for its determination. The office of court administration\nshall issue its final determination within three days of receiving the\nrequest. Notwithstanding any other provision of law or any professional\ndisciplinary rule to the contrary, the disclosure of the identity of any\nclient or customer in response to this question shall not constitute\nprofessional misconduct or a ground for disciplinary action of any kind,\nor form the basis for any civil or criminal cause of action or\nproceeding. A reporting individual who first enters public office after\nJanuary first, two thousand sixteen, need not report clients or\ncustomers with respect to matters for which the reporting individual or\nhis or her firm was retained prior to entering public office.\n (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE\nPROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR\nNEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE\nSERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO\nTHOUSAND FIFTEEN:\n If the reporting individual receives income of ten thousand dollars or\ngreater from any employment or activity reportable under question 8(a),\nidentify each registered lobbyist who has directly referred to such\nindividual 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 five thousand dollars. Report\nonly those 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 client,\nthe registered lobbyist who has made the referral, the category of value\nof the 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 disclosing\nclients or customers receiving medical, pharmaceutical or dental\nservices, mental health services, or residential real estate brokering\nservices from the reporting individual or his or her firm or if federal\nlaw prohibits or limits disclosure. The reporting individual need not\nidentify any client to whom he or she or his or her firm provided legal\nrepresentation with respect to investigation or prosecution by law\nenforcement authorities, bankruptcy, family court, estate planning, or\ndomestic relations matters, nor shall the reporting individual identify\nindividuals represented pursuant to an insurance policy but the\nreporting individual shall in such circumstances only report the entity\nthat provides compensation to the reporting individual; with respect to\nmatters in which the client's name is required by law to be kept\nconfidential (such as matters governed by the family court act) or in\nmatters in which the reporting individual represents or provides\nservices to minors, the client's name may be replaced with initials. To\nthe extent that the reporting individual, or his or her firm, provided\nlegal representation with respect to an initial public offering, and\nfederal law or regulations restricts the disclosure of information\nrelating to such work, the reporting individual shall (i) disclose the\nidentity of the client and the services provided relating to the initial\npublic offering to the office of court administration, who will maintain\nsuch information confidentially in a locked box; and (ii) include in his\nor her response a statement that pursuant to this paragraph, a\ndisclosure to the office of court administration has been made. Upon\nsuch time that the disclosure of information maintained in the locked\nbox is no longer restricted by federal law or regulation, the reporting\nindividual shall disclose such information in an amended disclosure\nstatement in response to the disclosure requirements of this paragraph.\nThe office of court administration shall develop and maintain a secure\nportal through which information submitted to it pursuant to this\nparagraph can be safely and confidentially stored. With respect to\nclients represented in other matters not otherwise exempt, the reporting\nindividual may request an exemption to publicly disclosing the name of\nthat client from the commission on ethics and lobbying in government\npursuant to section ninety-four of the executive law, or from the office\nof court administration. In such application, the reporting individual\nshall state the following: "My client is not currently receiving my\nservices or seeking my services in 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 $10,000 or more from the state\nor any state agency for services, materials, or property;\n (iii) A grant of $10,000 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 In reviewing the request for an exemption, the commission on ethics\nand lobbying in government or the office of court administration may\nconsult with bar or other professional associations and the legislative\nethics commission for individuals subject to its jurisdiction and may\nconsider the rules of professional conduct. In making its determination,\nthe commission on ethics and lobbying in government or the office of\ncourt administration shall conduct its own inquiry and shall consider\nfactors including, but not limited to: (i) the nature and the size of\nthe client; (ii) whether the client has any business before the state;\nand if so, how significant the business is; and whether the client has\nany particularized interest in pending legislation and if so how\nsignificant the interest is; (iii) whether disclosure may reveal trade\nsecrets; (iv) whether disclosure could reasonably result in retaliation\nagainst the client; (v) whether disclosure may cause undue harm to the\nclient; (vi) whether disclosure may result in undue harm to the\nattorney-client relationship; and (vii) whether disclosure may result in\nan unnecessary invasion of privacy to the client.\n The commission on ethics and lobbying in government or, as the case\nmay be, the office of court administration shall promptly make a final\ndetermination in response to such request, which shall include an\nexplanation for its determination. The office of court administration\nshall issue its final determination within three days of receiving the\nrequest. Notwithstanding any other provision of law or any professional\ndisciplinary rule to the contrary, the disclosure of the identity of any\nclient or customer in response to this question shall not constitute\nprofessional misconduct or a ground for disciplinary action of any kind,\nor form the basis for any civil or criminal cause of action or\nproceeding. A reporting individual who first enters public office after\nDecember thirty-first, two thousand fifteen, need not report clients or\ncustomers with respect to matters for which the reporting individual or\nhis or her firm was retained prior to entering public office.\nClient Name of Lobbyist Description Category of Amount\n of Matter (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 or domestic partner had an\ninvestment in excess of $1,000 excluding investments in securities and\ninterests in real property.\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, domestic partner or unemancipated child from the same donor,\nEXCLUDING gifts from a relative. INCLUDE the name and address of the\ndonor. The term "gifts" does not include reimbursements, which term is\ndefined in item 10. Indicate the value and nature of each such gift.\n Category\n Self, of\n Spouse, Name of Nature Value of\n Domestic Donor Address of Gift Gift\n Partner (In Table I)\n or Child\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 or domestic partner for the taxable year last occurring prior\n to the date of filing. Each such source must be described with\n particularity. 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 or Domestic (In Table I)\n Partner\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 or domestic partner\n from each issuing entity in EXCESS of $1,000 at the close of the\n taxable year last occurring prior to the date of filing, including\n the name of the issuing entity exclusive of securities held by the\n reporting individual issued by a professional corporation. Whenever\n an 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 or\n domestic partner has transferred assets to such trust for his or her\n benefit in which event such securities shall be listed unless they\n are not ascertainable by the reporting individual because the\n trustee is under an obligation or has been instructed in writing not\n to disclose the contents of the trust to the reporting individual.\n Securities of which the reporting individual or the reporting\n individual's spouse or domestic partner is the owner of record but\n in which such individual or the reporting individual's spouse or\n domestic partner has no beneficial interest shall not be listed.\n Indicate percentage of ownership ONLY if the reporting person or the\n reporting person's spouse or domestic partner holds more than five\n percent (5%) of the stock of a corporation in which the stock is\n publicly traded or more than ten percent (10%) of the stock of a\n corporation in which the stock is NOT publicly traded. Also list\n securities owned for investment purposes by a corporation more than\n fifty percent (50%) of the stock of which is owned or controlled by\n the reporting individual or such individual's spouse or domestic\n partner. For the purpose of this item the term "securities" shall\n mean mutual funds, bonds, mortgages, notes, obligations, warrants\n and stocks of any class, investment interests in limited or general\n partnerships and certificates of deposits (CDs) and such other\n evidences of indebtedness and certificates of interest as are\n usually referred to as securities. The market value for such\n securities shall be reported only if reasonably ascertainable and\n shall not be reported if the security is an interest in a general\n partnership that was listed in item 8 (a) or if the security is\n corporate stock, NOT publicly traded, in a trade or business of a\n reporting individual or a reporting individual's spouse or domestic\n partner.\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 or (In Table II)\n Domestic\n Partner\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n ____________________________________________________________________\n 16-a. List below the name and market value of digital assets held by\nthe reporting individual or such individual's spouse or domestic partner\nin EXCESS of $1,000 at the close of the taxable year last occurring\nprior to the date of filing. Whenever an interest in digital assets\nexists through a beneficial interest in a trust, the digital assets held\nin such trust shall be listed ONLY IF the reporting individual has\nknowledge thereof except where the reporting individual or the reporting\nindividual's spouse or domestic partner has transferred assets to such\ntrust for his or her benefit in which event such digital assets shall be\nlisted unless they are not ascertainable by the reporting individual\nbecause the trustee is under an obligation or has been instructed in\nwriting not to disclose the contents of the trust to the reporting\nindividual. The digital assets of which the reporting individual or the\nreporting individual's spouse or domestic partner is the owner of record\nbut in which such individual or the reporting individual's spouse or\ndomestic partner has no beneficial interest shall not be listed. Also\nlist digital assets owned for investment purposes by a corporation more\nthan fifty percent (50%) of the stock of which is owned or controlled by\nthe reporting individual or such individual's spouse or domestic\npartner. For purposes of this subdivision, the following terms shall\nhave the following meanings:\n (a) "Digital asset" shall mean an asset that is issued, transferred,\nor both, using distributed ledger or blockchain technology, including,\nbut not limited to, digital currencies, digital coins, digital\nnon-fungible tokens or other similar assets.\n (b) "Digital currency" shall mean any type of digital unit that is\nused as a medium of exchange or a form of digitally stored value.\nVirtual currency shall be broadly construed to include digital units of\nexchange that: (i) have a centralized repository or administrator; (ii)\nare decentralized and have no centralized repository or administrator;\nor (iii) may be created or obtained by computing, manufacturing, or\nother similar effort.\n (c) "Distributed ledger or blockchain technology" shall mean a ledger\nor database that stores shared state by maintaining it across a\nmultiplicity of devices belonging to different entities and securing it\nthrough a combination of cryptographic and consensus protocols, where\nthe shared state serves to authenticate, record, share, and/or\nsynchronize transactions involving digital assets or virtual currencies.\n Category of\n Market Value\n as of the close\n of the taxable\n year last\n occurring\n prior to\n Self/ Type of the filing of\n Spouse or Digital Asset this statement\n Domestic (In Table II)\n Partner\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 or\n domestic partner. Also list real property owned for investment\n purposes by a corporation more than fifty percent (50%) of the stock\n of which is owned or controlled by the reporting individual or such\n individual's spouse or domestic partner. Do NOT list any real\n property which is the primary or secondary personal residence of the\n reporting individual or the reporting individual's spouse or\n domestic partner, except where there is a co-owner who is other than\n a relative.\n Self/ Percentage Category\n Spouse/ General Acquisition of of Market\n Domestic Nature Date Ownership Value\n Partner (In\n Corporation Location Size Table 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 or domestic partner, in EXCESS of $10,000 as of\n the date of filing of this statement, other than liabilities to a\n relative. Do NOT list liabilities incurred by, or guarantees made\n by, the reporting individual or such individual's spouse or domestic\n partner or by any proprietorship, partnership or corporation in\n which the reporting individual or such individual's spouse or\n domestic partner 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 or domestic\n partner. Include the name of the creditor and any collateral pledged\n by such individual to secure payment of any such liability. A\n reporting individual shall not list any obligation to pay\n maintenance in connection with a matrimonial action, alimony or\n child support payments. Any loan issued in the ordinary course of\n business by a financial institution to finance educational costs,\n the cost of home purchase or improvements for a primary or secondary\n residence, or purchase of a personally owned motor vehicle,\n household furniture or appliances shall be excluded. If any such\n reportable liability has been guaranteed by any third person, list\n the liability and name the 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 $5,850,000 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 commission on ethics and lobbying in government or by\n the legislative ethics commission, as the case may be, with respect\n to persons subject to their respective jurisdictions. The commission\n on ethics and lobbying in government acting pursuant to subdivision\n fourteen of section ninety-four of the executive law or the\n legislative ethics commission acting pursuant to subdivision eleven\n of section eighty of the legislative law, as the case may be, may,\n in lieu of or in addition to a civil penalty, refer a violation to\n the appropriate prosecutor and upon such conviction, but only after\n such referral, such violation shall be punishable as a class A\n misdemeanor. A civil penalty for false filing may not be imposed\n hereunder in the event a category of "value" or "amount" reported\n hereunder is incorrect unless such reported information is falsely\n understated. Notwithstanding any other provision of law to the\n contrary, no other penalty, civil or criminal may be imposed for a\n failure to file, or for a false filing, of such statement, except\n that the appointing authority may impose disciplinary action as\n otherwise provided by law. The commission on ethics and lobbying in\n government and the legislative ethics commission shall each be\n deemed to be an agency within the meaning of article three of the\n state administrative procedure act and shall adopt rules governing\n the conduct of adjudicatory proceedings and appeals relating to the\n assessment of the civil penalties herein authorized. Such rules,\n which shall not be subject to the approval requirements of the state\n administrative procedure act, shall provide for due process\n procedural mechanisms substantially similar to those set forth in\n such article three but such mechanisms need not be identical in\n terms or scope. Assessment of a civil penalty shall be final unless\n modified, suspended or vacated within thirty days of imposition and\n upon becoming final shall be subject to review at the instance of\n the affected reporting individual in a proceeding commenced against\n the commission on ethics and lobbying in government or the\n legislative ethics commission, pursuant to article seventy-eight of\n 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 7. With respect to an application to either the commission on\n ethics and lobbying in government or the office of court\n administration for an exemption to disclosing the name of a client\n or customer in response to questions 8 (b-1), 8 (b-2) and 8 (c), all\n information which is the subject of or a part of such application\n shall remain confidential. The name of the client need not be\n disclosed by the reporting individual unless and until the\n commission on ethics and lobbying in government or the office of\n court administration formally advises the reporting individual that\n he or she must disclose such names and the reporting individual\n agrees to represent the client. Any commissioner or person employed\n by the commission on ethics and lobbying in government or any person\n employed by the office of court administration who, intentionally\n and without authorization from a court of competent jurisdiction\n releases confidential information related to a request for an\n exemption received by the commission or the office of court\n administration shall be guilty of a class A misdemeanor.\n