S. 382 2
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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: Category A - under $5,000; Category B - $5,000 to under
$20,000; Category C - $20,000 to under [$60,000] $50,000; Category D -
[$60,000] $50,000 to under $100,000; Category E - $100,000 to under
[$250,000] $150,000; [and] Category F - [$250,000] $150,000 TO UNDER
$200,000; CATEGORY G - $200,000 TO UNDER $300,000; CATEGORY H - $300,000
TO UNDER $400,000; CATEGORY I - $400,000 TO UNDER $500,000; CATEGORY J -
$500,000 TO UNDER $600,000; CATEGORY K - $600,000 TO UNDER $700,000;
CATEGORY L - $700,000 TO UNDER $800,000; CATEGORY M - $800,000 TO UNDER
$900,000; CATEGORY N - $900,000 TO UNDER $1,000,000; AND CATEGORY O -
$1,000,000 or over. 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 identi-
fied.
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, part-
nership, 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,
DOMESTIC PARTNER 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
S. 382 3
positions. If the listed entity was licensed by any state or local
agency, was regulated by any state regulatory agency or local agen-
cy, or, as a regular and significant part of the business or activ-
ity 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 OR OCCUPATION engaged in by the
reporting individual. If such activity was licensed by any state or
local agency[,] OR 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 REPORTING INDIVIDUAL DID BUSINESS WITH OR HAD MATTERS OTHER
THAN MINISTERIAL MATTERS BEFORE ANY STATE OR LOCAL AGENCY IN THE
COURSE OF ANY EMPLOYMENT, TRADE, BUSINESS, PROFESSION OR OCCUPATION
ENGAGED IN BY THE REPORTING INDIVIDUAL, LIST THE NAME AND ADDRESS OF
THE ENTITY, A BRIEF DESCRIPTION OF THE ACTIVITY AND THE NAME OF ANY
SUCH AGENCY.
STATE OR
NAME & ADDRESS LOCAL
OF ORGANIZATION DESCRIPTION AGENCY
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(C) If the spouse, DOMESTIC PARTNER 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
S. 382 4
or local agency, or, as a regular and significant part of the busi-
ness 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, employ-
ment, 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 indi-
vidual, such individual's spouse, SUCH INDIVIDUAL'S DOMESTIC PARTNER
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 relation-
ship of the reporting individual or such individual's spouse, SUCH
INDIVIDUAL'S DOMESTIC PARTNER 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 guaran-
tees 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 inter-
est in a contract made or executed by a local agency after public
notice and pursuant to a process for competitive bidding or a proc-
ess for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse, Interest in and Interest Local Value of
DOMESTIC Contract in Contract Agency Contract
PARTNER,
or Child
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any poli-
tical 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 independ-
ent body as defined in the election law or any organization that is
affiliated with or a subsidiary of a party or independent body.
S. 382 5
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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, give] LIST THE
NAME AND ADDRESS OF EACH CLIENT, PERSON OR ENTITY FOR WHOM LEGAL OR
CONSULTING SERVICES WERE RENDERED; THE VALUE OF THE COMPENSATION FOR
THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF FILING, AND a
general description of the [principal subject areas of matters
undertaken by such individual] SERVICES RENDERED. [Additionally, if
such an] IN ADDITION, IF THE REPORTING individual practices LAW OR
PROVIDES CONSULTING SERVICES with a LAW firm or [corporation and is
a partner or shareholder of the firm or corporation] BUSINESS
ENTITY, [give] PROVIDE a general description of THE principal
subject areas of matters undertaken by such LAW firm or [corpo-
ration] BUSINESS ENTITY. Do not list the [name of the individual
clients, customers or patients] VALUE OF COMPENSATION IF THE
SERVICES RENDERED INVOLVE A CONTINGENCY FEE AS PROVIDED BY LAW.
CLIENT/ SERVICES PRINCIPAL CATEGORY
PERSON/OR ADDRESS RENDERED SUBJECT AREA OF VALUE
ENTITY
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) [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] IF THE REPORTING INDIVIDUAL PRACTICES LAW AND IS A PARTNER
OR SHAREHOLDER OF A LAW FIRM OR CORPORATION ("LAW FIRM"), LIST THE
NAME AND ADDRESS OF EACH CLIENT OF SUCH LAW FIRM THAT IS A CORPO-
RATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP, ASSOCI-
ATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION FROM WHOM
COMPENSATION IS RECEIVED BY SUCH LAW FIRM IN EXCESS OF $5,000 FOR
THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF FILING; THE
VALUE OF THE COMPENSATION; AND A GENERAL DESCRIPTION OF THE SERVICES
RENDERED OR CONSIDERATION GIVEN IN EXCHANGE FOR THE COMPENSATION. DO
NOT LIST CLIENTS OR COMPENSATION REQUIRED TO BE REPORTED IN ITEM
8(A) ABOVE.
CLIENT ADDRESS SERVICES/ CATEGORY
CONSIDERATION OF VALUE
____________________________________________________________________
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(C) IF THE REPORTING INDIVIDUAL IS LICENSED BY THE DEPARTMENT OF STATE
AS A REAL ESTATE BROKER OR AGENT, PRACTICES A PROFESSION LICENSED BY
THE DEPARTMENT OF EDUCATION OR PERFORMS CONSULTING SERVICES, LIST
THE NAME AND ADDRESS OF EACH CLIENT FROM WHOM COMPENSATION HAS BEEN
S. 382 6
RECEIVED BY SUCH REPORTING INDIVIDUAL FOR A VALUE IN EXCESS OF
$1,000 FOR THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF
FILING; THE VALUE OF THE COMPENSATION RECEIVED FROM EACH CLIENT; AND
A GENERAL DESCRIPTION OF THE SERVICES RENDERED OR CONSIDERATION
GIVEN IN EXCHANGE FOR THE COMPENSATION. DO NOT LIST THE NAMES OF
CLIENTS OF CONSULTING OR OTHER SERVICES RENDERED AS PART OF ANY
PRACTICE OR ACTIVITY REQUIRED TO BE REPORTED IN ITEM 8(A) ABOVE.
CLIENT ADDRESS SERVICES/CONSIDERATION CATEGORY OF VALUE
____________________________________________________________________
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(D) IF THE REPORTING INDIVIDUAL RECEIVED COMPENSATION FROM A CORPO-
RATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP, ASSOCI-
ATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION ("COMPENSATING
ENTITY") AND THE REPORTING INDIVIDUAL SOLICITED BUSINESS OF ANOTHER
CORPORATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP, ASSO-
CIATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION ("THIRD-PARTY
ENTITY") FOR COMPENSATION, FEES OR OTHER CONSIDERATION PAID TO THE
COMPENSATING ENTITY IN EXCESS OF $1,000 FOR THE TAXABLE YEAR LAST
OCCURRING PRIOR TO THE DATE OF FILING, LIST THE NAME AND BUSINESS
ADDRESS OF, AND THE VALUE OF THE COMPENSATION, FEES OR OTHER CONSID-
ERATION PAID BY, THE THIRD-PARTY ENTITY TO THE COMPENSATING ENTITY.
ALSO, LIST THE NAME AND ADDRESS OF THE COMPENSATING ENTITY AND GIVE
A GENERAL DESCRIPTION OF THE SERVICES RENDERED OR CONSIDERATION
GIVEN BY THE COMPENSATING ENTITY TO THE THIRD-PARTY ENTITY IN
EXCHANGE FOR SUCH COMPENSATION.
COMPENSATING THIRD PARTY SERVICES/ CATEGORY
ENTITY/ ADDRESS ENTITY/ADDRESS CONSIDERATION OF VALUE
____________________________________________________________________
____________________________________________________________________
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(E) IF THE REPORTING INDIVIDUAL OR THE INDIVIDUAL'S SPOUSE OR THE INDI-
VIDUAL'S DOMESTIC PARTNER HAD AN INVESTMENT IN EXCESS OF $1,000 FOR
THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF FILING, LIST
THE NAME, PRINCIPAL ADDRESS AND GENERAL DESCRIPTION OR THE NATURE OF
THE BUSINESS ACTIVITY AND THE CATEGORY OF VALUE OF SUCH INVESTMENT.
DO NOT LIST INVESTMENTS IN SECURITIES OR REAL PROPERTY.
INVESTMENT ADDRESS GENERAL DESCRIPTION, CATEGORY
OR NATURE OF BUSINESS OF VALUE
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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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 individ-
ual's spouse, SUCH INDIVIDUAL'S DOMESTIC PARTNER or unemancipated
child from the same donor, EXCLUDING gifts from a relative. INCLUDE
S. 382 7
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, Name of Nature Value of
DOMESTIC Donor Address of Gift Gift
PARTNER,
or Child
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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, confer-
ences, 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 rela-
tive.
Category
Identity of Value*
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* The value of such interest shall be reported only if reasonably
ascertainable.
S. 382 8
12. (a) Describe the terms of, and the parties to, any contract, prom-
ise, 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 agree-
ments; 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 OR SUCH INDIVIDUAL'S DOMESTIC PARTNER 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[,] OR clients [or tenants], with the aggregate net income
before taxes for each building address or [entity] CLIENT. [The] A
SOURCE IS IDENTIFIED AS THE ORIGINAL PAYER OF COMPENSATION TO THE
REPORTING INDIVIDUAL OR AN ENTITY ESTABLISHED BY THE REPORTING INDI-
VIDUAL, NOT AN INTERMEDIARY ENTITY ESTABLISHED BY THE REPORTING
INDIVIDUAL TO RECEIVE SUCH COMPENSATION. DO NOT LIST COMPENSATION
RECEIVED FROM THE EMPLOYMENT LISTED UNDER ITEM 2 ABOVE, OR CLIENTS
AND COMPENSATION REQUIRED TO BE REPORTED IN ITEMS 8(A), 8(B) OR 8(C)
ABOVE, OR THE receipt of maintenance received in connection with a
matrimonial action, alimony and child support payments [shall not be
listed].
Self/
Spouse, OR
DOMESTIC Category
PARTNER Source Nature of Amount
S. 382 9
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____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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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 indi-
vidual 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, partner-
ship or association through which the income was derived, but shall
not identify individual clients.
Category
Source of Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each trans-
fer 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
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual [or], such individual's spouse OR THE REPORTING
INDIVIDUAL'S DOMESTIC PARTNER 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 profes-
sional 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 OR THE REPORTING INDIVIDUAL'S DOMESTIC
PARTNER has transferred assets to such trust for his or her benefit
in which event such securities shall be listed unless they are not
S. 382 10
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 OR THE REPORTING INDIVIDUAL'S DOMESTIC PARTNER
is the owner of record but in which such individual [or], the
reporting individual's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
PARTNER has no beneficial interest shall not be listed. Indicate
percentage of ownership ONLY if the reporting person [or], the
reporting person's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
PARTNER holds more than five percent (5%) of the stock of a corpo-
ration 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 OR SUCH INDIVIDUAL'S DOMESTIC PARTNER. 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 OR A REPORTING INDIVIDUAL'S
DOMESTIC PARTNER.
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
OR
DOMESTIC
PARTNER
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
S. 382 11
OR THE REPORTING INDIVIDUAL'S DOMESTIC PARTNER. Also list real prop-
erty 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 OR THE REPORTING
INDIVIDUAL'S DOMESTIC PARTNER. Do NOT list any real property which
is the primary or secondary personal residence of the reporting
individual [or], the reporting individual's spouse OR THE REPORTING
INDIVIDUAL'S DOMESTIC PARTNER, except where there is a co-owner who
is other than a relative.
Self/
Spouse Category
DOMESTIC Percentage of
PARTNER/ General Acquisition of Market
Corporation Location Size Nature Date Ownership Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse[,] OR SUCH INDIVIDUAL'S DOMESTIC PARTNER in
EXCESS of $5,000 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 individ-
ual's spouse OR SUCH INDIVIDUAL'S DOMESTIC PARTNER or by any
proprietorship, partnership or corporation in which the reporting
individual [or], such individual's spouse OR SUCH INDIVIDUAL'S
DOMESTIC PARTNER has an interest, when incurred or made in the ordi-
nary course of the trade, business or professional practice of the
reporting individual [or], such individual's spouse OR SUCH INDIVID-
UAL'S DOMESTIC PARTNER. Include the name of the creditor and any
collateral pledged by such individual to secure payment of any such
S. 382 12
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, house-
hold furniture or appliances shall be excluded. If any such report-
able 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
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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)
S 2. The public officers law is amended by adding a new section 74-b
to read as follows:
S 74-B. REPORTS OF BUSINESS DEALINGS WITH LOBBYISTS. 1. A PUBLIC OFFI-
CER WHO IS SUBJECT TO THE JURISDICTION OF THE RELEVANT ETHICS COMMISSION
WHO RETAINS, EMPLOYS, DESIGNATES OR OTHERWISE DOES BUSINESS WITH A
LOBBYIST OR LOBBYISTS SHALL, WITHIN THIRTY DAYS OF THE DATE UPON WHICH
SUCH BUSINESS DEALINGS COMMENCE, FILE WITH THE EXECUTIVE ETHICS AND
COMPLIANCE COMMISSION A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS
SHALL BE FILED ON FORMS SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN:
(A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
(B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC
OFFICER DID BUSINESS;
(C) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
(D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE
BUSINESS DEALINGS.
2. A LEGISLATOR OR LEGISLATIVE EMPLOYEE WHO RETAINS, EMPLOYS, DESIG-
NATES OR OTHERWISE DOES BUSINESS WITH A LOBBYIST OR LOBBYISTS SHALL,
WITHIN THIRTY DAYS OF THE DATE UPON WHICH SUCH BUSINESS DEALINGS
COMMENCE, FILE WITH THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS
A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS SHALL BE FILED ON FORMS
SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN:
(A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
(B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC
OFFICER DID BUSINESS;
S. 382 13
(C) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
(D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE
BUSINESS DEALINGS.
3. ALL SUCH REPORTS SHALL BE SUBJECT TO REVIEW BY THE RELEVANT ETHICS
COMMISSION.
4. SUCH REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF THREE YEARS,
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD AND ACCESS TO SUCH
INFORMATION SHALL ALSO BE MADE AVAILABLE FOR REMOTE COMPUTER USERS
THROUGH THE INTERNET NETWORK.
S 3. Subdivision 9 of section 94 of the executive law is amended by
adding a new paragraph (n) to read as follows:
(N) A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDI-
DATE FOR STATEWIDE ELECTED OFFICE MAY NOT DISCLOSE INFORMATION REGARDING
A CLIENT, PERSON, OR ENTITY REQUIRED UNDER THE ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARA-
GRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW, IF SUCH DISCLOSURE OF THE CLIENT, PERSON, OR ENTI-
TY'S REQUIRED INFORMATION WOULD VIOLATE A LEGALLY RECOGNIZED PRIVILEGE
UNDER NEW YORK LAW OR WITHIN THE PURVIEW OF THE ATTORNEY-CLIENT PRIVI-
LEGE, DISCLOSURE WOULD CREATE AN UNREASONABLE HARDSHIP, IN THAT SUCH
DISCLOSURE WOULD CONVEY THE SUBSTANCE OF A CONFIDENTIAL COMMUNICATION
BETWEEN CLIENT AND ATTORNEY. SUCH A CLIENT, PERSON, OR ENTITY'S
REQUIRED INFORMATION UNDER SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH
EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW MAY BE WITHHELD IN ACCORDANCE WITH THE FOLLOWING PROCEDURE:
(I) A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDI-
DATE FOR STATEWIDE ELECTED OFFICE WHO BELIEVES THAT A CLIENT, PERSON, OR
ENTITY'S REQUIRED INFORMATION UNDER THE ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT
OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS OR HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN EXPLANATION FOR
SUCH NONDISCLOSURE. THE EXPLANATION SHALL SEPARATELY STATE FOR EACH
UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE LEGAL BASIS FOR ASSERTION OF
THE PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS POSSIBLE
WITHOUT DEFEATING THE PRIVILEGE OR UNREASONABLE HARDSHIP, FACTS WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
(II) WITH RESPECT TO EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR
STATEWIDE ELECTED OFFICE SHALL STATE THAT TO THE BEST OF HIS OR HER
KNOWLEDGE HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING, OR
IN ANY WAY ATTEMPT TO USE AN OFFICIAL POSITION TO INFLUENCE A GOVERN-
MENTAL DECISION WHEN TO DO SO CONSTITUTED OR WOULD CONSTITUTE A CRIME OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
(III) THE EXECUTIVE DIRECTOR MAY REQUEST FURTHER INFORMATION FROM THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR
STATEWIDE ELECTED OFFICE AND, IF NO LEGAL OR FACTUAL JUSTIFICATION
SUFFICIENT TO SUPPORT ASSERTION OF THE PRIVILEGE OR UNREASONABLE HARD-
SHIP IS SHOWN, MAY ORDER THAT THE DISCLOSURE REQUIRED BY THE ANNUAL
STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR
(C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A
OF THE PUBLIC OFFICERS LAW BE MADE. THE STATEWIDE ELECTED OFFICIAL,
STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR STATEWIDE ELECTED OFFICE
SHALL, WITHIN FOURTEEN DAYS AFTER RECEIPT OF AN ORDER FROM THE EXECUTIVE
S. 382 14
DIRECTOR, EITHER COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS TO CHAL-
LENGE THE DETERMINATION OF THE EXECUTIVE DIRECTOR APPEAL THE DETERMI-
NATION, IN WRITING, TO THE COMMISSION. THE EXECUTIVE DIRECTOR MAY, FOR
GOOD CAUSE, EXTEND ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
(IV) IF THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED BECAUSE OF THE EXISTENCE OF A PRIVILEGE OR UNREASONABLE HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
(V) THE COMMISSION SHALL REVIEW AN APPEAL FILED UNDER SUBPARAGRAPH
(III) OF THIS PARAGRAPH OR A RECOMMENDATION MADE BY THE EXECUTIVE DIREC-
TOR UNDER SUBPARAGRAPH (IV) OF THIS PARAGRAPH AT A MEETING HELD NO LESS
THAN FOURTEEN DAYS AFTER NOTICE OF THE MEETING IS MAILED TO THE STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR STATE-
WIDE ELECTED OFFICE. THE COMMISSION SHALL DECIDE WHETHER NONDISCLOSURE
IS WARRANTED BY ISSUING AN OPINION PURSUANT TO SUBDIVISION FIFTEEN OF
THIS SECTION AND SHALL TREAT THE EXPLANATION FOR NONDISCLOSURE ACCOMPA-
NYING THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR
CANDIDATE FOR STATEWIDE ELECTED OFFICE'S ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE AS AN OPINION REQUEST.
(VI) IF THE COMMISSION ORDERS A STATEWIDE ELECTED OFFICIAL, STATE
OFFICER OR EMPLOYEE OR CANDIDATE FOR STATEWIDE ELECTED OFFICE TO
DISCLOSE, THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR
CANDIDATE FOR STATEWIDE ELECTED OFFICE MUST COMPLY WITHIN FOURTEEN DAYS.
THE COMMISSION, IN ITS NOTIFICATION TO DISCLOSE A CLIENT, PERSON, OR
ENTITY'S INFORMATION REQUIRED BY THE ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT
OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW, SHALL INFORM THE PERSON OF HIS OR HER RIGHT TO APPEAL THE COMMIS-
SION'S DETERMINATION PURSUANT TO ITS RULES GOVERNING ADJUDICATORY
PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO SUBDIVISION THIRTEEN OF THIS
SECTION;
S 4. The legislative law is amended by adding a new section 81 to read
as follows:
S 81. EXCEPTIONS TO FINANCIAL DISCLOSURE. A MEMBER OF THE LEGISLA-
TURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE
MAY NOT DISCLOSE INFORMATION REGARDING A CLIENT, PERSON, OR ENTITY
REQUIRED UNDER THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO
SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF
SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW, IF SUCH DISCLOSURE
OF THE CLIENT, PERSON, OR ENTITY'S REQUIRED INFORMATION WOULD VIOLATE A
LEGALLY RECOGNIZED PRIVILEGE UNDER NEW YORK LAW OR WITHIN THE PURVIEW OF
THE ATTORNEY-CLIENT PRIVILEGE, DISCLOSURE WOULD CREATE AN UNREASONABLE
HARDSHIP, IN THAT SUCH DISCLOSURE WOULD CONVEY THE SUBSTANCE OF CONFI-
DENTIAL COMMUNICATION BETWEEN CLIENT AND ATTORNEY. SUCH A CLIENT,
PERSON, OR ENTITY'S REQUIRED INFORMATION UNDER SUBPARAGRAPH (A), (B) OR
(C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A
OF THE PUBLIC OFFICERS LAW MAY BE WITHHELD IN ACCORDANCE WITH THE
FOLLOWING PROCEDURE:
1. A MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE WHO BELIEVES THAT A CLIENT, PERSON, OR ENTI-
TY'S REQUIRED INFORMATION UNDER THE ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT
OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS OR HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN EXPLANATION FOR
SUCH NONDISCLOSURE. THE EXPLANATION SHALL SEPARATELY STATE FOR EACH
S. 382 15
UNDISCLOSED CLIENT, PERSON, OR ENTITY THE LEGAL BASIS FOR ASSERTION OF
THE PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS POSSIBLE
WITHOUT DEFEATING THE PRIVILEGE OR UNREASONABLE HARDSHIP, FACTS WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
2. WITH RESPECT TO EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER
OF THE LEGISLATURE SHALL STATE THAT TO THE BEST OF HIS OR HER KNOWLEDGE
HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING, OR IN ANY
WAY ATTEMPT TO USE AN OFFICIAL POSITION TO INFLUENCE A GOVERNMENTAL
DECISION WHEN TO DO SO CONSTITUTED OR WOULD CONSTITUTE A CRIME OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
3. THE EXECUTIVE DIRECTOR MAY REQUEST FURTHER INFORMATION FROM THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER
OF THE LEGISLATURE AND, IF NO LEGAL OR FACTUAL JUSTIFICATION SUFFICIENT
TO SUPPORT ASSERTION OF THE PRIVILEGE OR UNREASONABLE HARDSHIP IS SHOWN,
MAY ORDER THAT THE DISCLOSURE REQUIRED BY THE ANNUAL STATEMENT OF FINAN-
CIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH
EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW BE MADE. THE MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOY-
EE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE SHALL, WITHIN FOURTEEN
DAYS AFTER RECEIPT OF AN ORDER FROM THE EXECUTIVE DIRECTOR, EITHER
COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS TO CHALLENGE THE DETERMI-
NATION OF THE EXECUTIVE DIRECTOR, APPEAL THE DETERMINATION, IN WRITING,
TO THE COMMISSION. THE EXECUTIVE DIRECTOR MAY, FOR GOOD CAUSE, EXTEND
ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
4. IF THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED BECAUSE OF THE EXISTENCE OF A PRIVILEGE OR UNREASONABLE HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
5. THE COMMISSION SHALL REVIEW AN APPEAL FILED UNDER SUBDIVISION THREE
OF THIS SECTION OR A RECOMMENDATION MADE BY THE EXECUTIVE DIRECTOR UNDER
SUBDIVISION FOUR OF THIS SECTION AT A MEETING HELD NO LESS THAN FOURTEEN
DAYS AFTER NOTICE OF THE MEETING IS MAILED TO THE MEMBER OF THE LEGISLA-
TURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE.
THE COMMISSION SHALL DECIDE WHETHER SUCH NONDISCLOSURE IS WARRANTED BY
ISSUING AN OPINION PURSUANT TO SUBDIVISION FIFTEEN OF THIS SECTION AND
SHALL TREAT THE EXPLANATION FOR NONDISCLOSURE ACCOMPANYING THE MEMBER OF
THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER OF THE
LEGISLATURE'S ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AS AN OPINION
REQUEST.
6. IF THE COMMISSION ORDERS A MEMBER OF THE LEGISLATURE, LEGISLATIVE
EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE TO DISCLOSE, THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER
OF THE LEGISLATURE MUST COMPLY WITHIN FOURTEEN DAYS. THE COMMISSION, IN
ITS NOTIFICATION TO DISCLOSE A CLIENT, PERSON, OR ENTITY'S INFORMATION
REQUIRED BY THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO
SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF
SECTION SEVENTY-THREE-A, SHALL INFORM THE PERSON OF HIS OR HER RIGHT TO
APPEAL THE COMMISSION'S DETERMINATION PURSUANT TO ITS RULES GOVERNING
ADJUDICATORY PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO SUBDIVISION
THIRTEEN OF THIS SECTION.
S 5. Severability. If any clause, sentence, paragraph, section or part
of this act shall be adjudged by any court of competent jurisdiction to
be invalid, such judgment shall not affect, impair or invalidate the
reminder thereof, but shall be confined in its operation to the clause,
sentence, paragraph, section or part thereof directly involved in the
controversy in which such judgment shall have been rendered.
S. 382 16
S 6. This act shall take effect on the first of January next succeed-
ing the date upon which it shall have become a law, and shall apply to
all fiscal years commencing on or after such date.
