2023 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  commission on ethics and
lobbying  in  government  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  commission on ethics and
lobbying  in  government  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 commission on ethics and lobbying in government.
(d-1)  A  financial  disclosure statement required pursuant to section
seventy-three of this article and this section shall be  deemed  "filed"
with  the  commission  on  ethics  and  lobbying  in government upon its
filing, in accordance with this section,  with  the  legislative  ethics
commission  for  all  purposes  including,  but  not limited to, 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.
(e-1)  The  term  "domestic  partner"  shall  mean  a person who, with
respect to another person, is formally a party in a domestic partnership
or similar relationship with the other person, entered into pursuant  to
the   laws  of  the  United  States  or  any  state,  local  or  foreign
jurisdiction, or registered as the domestic partner of the other  person
with  any  registry  maintained  by  the employer of either party or any
state, municipality, or foreign jurisdiction.
(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.
* NB Effective until April 1, 2024
* (l) The term "filing rate" shall mean the higher of the job rates of
SG-24 as set forth in paragraph a or c 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.
* NB Effective April 1, 2024
(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
chair 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  commission  on  ethics  and
lobbying  in  government  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 commission on ethics and lobbying in  government,
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 commission on ethics and lobbying in government, 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 adopted pursuant to 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 commission on  ethics  and  lobbying  in  government  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  commission on ethics and lobbying in government 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
commission on ethics and  lobbying  in  government  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 chair,
such statement shall be filed with the commission on ethics and lobbying
in government established by section ninety-four of the executive law.
(d) The commission on ethics and lobbying in government  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 chair
shall file such statement within thirty days after commencing employment
or of taking the position of political party chair, 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  commission  on
ethics and lobbying in government 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 commission on ethics
and lobbying in government 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
commission on ethics and lobbying in government 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 commission on ethics and lobbying in government 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.
__________________________________________________________________.
(b) Full name of domestic partner (if applicable).
_________________________________________________________________ .
(c) 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,
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
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,  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
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,   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
relationship  of  the  reporting  individual  or  such  individual's
spouse,  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
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,    Interest in    and Interest      Local        Value of
Domestic    Contract      in Contract       Agency       Contract
Partner or
Child
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
commission on ethics and lobbying  in  government  pursuant  to  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 commission on ethics and lobbying in government pursuant to  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  commission  on  ethics
and  lobbying  in  government  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 commission on ethics and lobbying in government  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 commission on ethics and lobbying in government 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  commission on ethics and lobbying in government
pursuant to 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 commission on ethics
and lobbying in government 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  commission  on  ethics  and lobbying in government 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  commission  on  ethics and lobbying in government 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  or  domestic  partner  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,  domestic  partner  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,    Name of                       Nature          Value of
Domestic    Donor         Address        of Gift          Gift
Partner
In Table I)
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,
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 or domestic partner 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
or Domestic                                         In Table I)
Partner
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
 
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 or 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 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  or
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  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 domestic partner is the owner of  record  but
in  which  such  individual  or the reporting individual's spouse or
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 domestic partner 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 or 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  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                                              In Table II)
Domestic
Partner
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16-a.  List  below the name and market value of digital assets held by
the reporting individual or such individual's spouse or domestic partner
in EXCESS of $1,000 at the close of  the  taxable  year  last  occurring
prior  to  the  date  of  filing. Whenever an interest in digital assets
exists through a beneficial interest in a trust, the digital assets 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 domestic partner has transferred assets to such
trust for his or her benefit in which event such digital assets 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.  The digital assets of which the reporting individual or the

reporting individual's spouse or domestic partner is the owner of record
but in which such individual or the  reporting  individual's  spouse  or
domestic  partner  has  no beneficial interest shall not be listed. Also
list  digital assets 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  domestic
partner.  For  purposes  of  this subdivision, the following terms shall
have the following meanings:
(a) "Digital asset" shall mean an asset that is  issued,  transferred,
or  both,  using distributed ledger or blockchain technology, including,
but  not  limited  to,  digital  currencies,  digital   coins,   digital
non-fungible tokens or other similar assets.
(b)  "Digital  currency"  shall  mean any type of digital unit that is
used as a medium of exchange  or  a  form  of  digitally  stored  value.
Virtual  currency shall be broadly construed to include digital units of
exchange that: (i) have a centralized repository or administrator;  (ii)
are  decentralized  and have no centralized repository or administrator;
or (iii) may be created or  obtained  by  computing,  manufacturing,  or
other similar effort.
(c)  "Distributed ledger or blockchain technology" shall mean a ledger
or database  that  stores  shared  state  by  maintaining  it  across  a
multiplicity  of devices belonging to different entities and securing it
through a combination of cryptographic and  consensus  protocols,  where
the   shared   state  serves  to  authenticate,  record,  share,  and/or
synchronize transactions involving digital assets or virtual currencies.
Category of
Market Value
as of the close
of the taxable
year last
occurring
prior to
Self/        Type of                  the filing of
Spouse or    Digital Asset            this statement
Domestic
In Table II)
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 or
domestic partner. 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 or  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
domestic partner, except where there is a co-owner who is other than
a relative.
Self/                                       Percentage    Category
Spouse/              General   Acquisition     of         of Market
Domestic             Nature    Date         Ownership      Value
Partner                                                In
Corporation Location  Size                                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 or domestic partner, 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 domestic
partner  or  by  any  proprietorship,  partnership or corporation in
which the  reporting  individual  or  such  individual's  spouse  or
domestic  partner  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 or domestic
partner. 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    $5,850,000 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 commission on ethics and lobbying in  government  or  by
the  legislative ethics commission, as the case may be, with respect
to persons subject to their respective jurisdictions. The commission
on ethics and lobbying in government 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 commission on ethics and lobbying  in
government  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   commission  on  ethics  and  lobbying  in  government  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  commission  on
ethics   and   lobbying   in  government  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
commission  on  ethics  and  lobbying in government 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 commission on ethics and lobbying in government 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.