NY Pub Off L § 73-A (2021)
2021 New York Laws PBO - Public Officers Article 4 - Powers and Duties of Public Officers 73-A - Financial Disclosure.

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