EFTA02444835

UNITED STATES SENATE FINANCIAL DISCLOSURE REPORT FOR ANNUAL AND TERMINATION REPORTS Last Name F rst Name and Middle Initial Annual Roped Senate Office : Agency in Which Fmployird Calendar Year Covered by Report: Senate Office Address (Number. Street. City. State. and ZIP Code) Senate Office Telephone Number fInGude Area Code) Ten-JimaIon Report Prior Office !Agency .n Which Employed Termination Oats ininVdclAry): AFTER READING THE INSTRUCTIONS - ANSWER EACH OF THESE QUESTIONS AND ATTACH THE RELEVANT PART 1 YES I NO 1 I YES I NO Did you, your spouse, or dependent child receive any reportable travel or Did any individual or organization make a donation to charity in lieu of paying you for a speech, appearance, or article in the reporting period? If Yes. Complete and Attach PART I, reimbursements for travel in the reporting period (i.e.. worth more than 5335 from one source)? If Yes, Complete and Attach PART VI. Did you or your spouse have earned income (e.g., salaries or fees) or non- investment income of more than $200 from any reportable source in the reporting period? Did you, your spouse, or dependent child have any reportable liability (more than $10,000) during the reporting period? If Yes, Complete and Attach PART VII. If Yes. Complete and Attach PART II. Did you, your spouse, or dependent child hold any reportable asset worth more than $1,000 at the end of the period, or receive unearned or investment income of more than $200 in the reporting period? Did you hold any reportable positions on or before the date of filing in the current calendar year? If Yes, Complete and AttacY PART VIII If Yes. Complete & Attach PART IIIA land/or IIIBI Do you have any reportable agreement or arrangement with an outside entity? Did you, your spouse, or dependent child purchase, sell, or exchange any reportable asset worth more 0 in the reporting period? If Yes, Complete and Attach -ART IV If Yes, Complete and Attach PART IX. Did you, your spouse, or dependent child receive any reportable gift in the reporting period (i.e.. aggregating exempt)? more than $335 and not otherwise . If this is your FIRST Report: Did you receive compensation of more than S5,000 from a single source in the two prior years? If Yes, Complete and Attach PART X] If Yes, Complete and Attach PART V Each question must be answered and the appropriate PART attached for each "YES" response. File this report and any amendments with the Secretary of the Senate, Office of Public Records, Room 232, Hart Senate Office Building, U.S. Senate, Washington, DC 20510. $200 Penalty for filing more than 30 days after due date. This Financial Disclosure Statement is required by the Ethics in Government Act of 1978, as amended. The statement will be made available by the Office of the Secretary of the Senate to any requesting person upon written application and will be reviewed by the Select Committee on Ethics. Any individual who knowingly and willfully falsifies, or who knowingly and willfully fails to file this report may be subject to civil and criminal sanctions. (See 5 U.S.C. app. 6, 104, and 18 U.S.C. 1001.) FOR OFFICIAL USE ONLY Do Not Write Below this Line Certification S .nature of Re tort in. Individual Date Month, Da Year I CERTIFY that the statements I have made on this form and all attached schedules are true. complete end correct to the best of m knowled. a and belief r For Official Use Only - Do Not Write Below This Line It is the Opinion of the reviewer that Signature of Reviewing Official Date (Month. Day. Year) the statements made in this fonn aro in compliance with Title I of the Ethics in Government Act. I EFTA_R1_01522032 EFTA02444835 . I Reporting IrxInoluars Name PART I. PAYMENTS TO PAY CHARITABLE ORGANIZATIONS IN LIEU OF HONORARIA nage Nine Report the source (name and address), date, and amount of any payment from each source to a charitable organization made in lieu of honoraria to you during the reporting period. Identify the activity (speech, article, or appearance), which generated the payment. For further information, see Instructions. Note: Travel expenses in excess of $335 related to activities giving rise to these payments must be reported in Part VI, Reimbursements. Date of Payment Name of Source Address (City, State) Speech, Article, or Appearance Amount Example. 3/26/0X Association of American Associations Wash.. DC EXAMPLE Spooch EXAMPLE 31,000 7/23/0X XYZ Magazine NY. NY EXAMPLE Article EXAMPLE $500 1 2 3 4 5 6 7 8 9 10 11 12 13 14 A separate, confidential report which names the charitable organization receiving such payments must be filed directly with the Select Committee on Ethics. 1 EFTA_R1_01522033 EFTA02444836 Reporting Indy.Aduars Name PART II. EARNED AND NON-INVESTMENT INCOME Paw Ncriber Report the source (name and address), type, and amount of earned income to you from any source aggregating $200 or more during the reporting period. For your spouse, report the source (name and address) and type of earned income which aggregate $1,000 or more during the reporting period. No amount needs to be specified for your spouse. (See p.3, CONTENTS OF REPORTS Part B of Instructions.) Do not report income from employment by the U.S. Government for you or your spouse. Individuals not covered by the Honoraria Ban: For you and for your spouse, report honoraria income received which aggregates $200 or more by exact amount, give the date of, and describe the activity (speech, appearance or article) generating such honoraria payment. Do not include payments in lieu of honoraria reported on Part I. Name of Income Source Address (City, State) Type of Income Amount Example JP Computers Wash DC Example Salary Example 515.000 MCI (Spouse) Arlington, VA Example Salary Example Over 51.000 1 2 3 4 5 6 7 8 9 10 11 12 13 EFTA_R1_01522034 EFTA02444837 Reporting Wive:wars Name PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Numbv, BLOCK A Identity of Publicly Traded Assets And Unearned Income Sources Report the complete name of each publicly BLOCK B Valuation of Assets At the close of reporting period. If None, or less than $1,001, Check the first BLOCK C Type and Amount of Income If 'None (or less than $201). is Checked, no other entry is needed in Block C for that item. This includes income received or accrued to the benefit of the individual. traded asset held by you, your spouse, or your dependent child, (See p.3, CONTENTS OF REPORTS Pert B of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "uneamed" income during the reporting period. Include on this PART IIIA a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. column. Type of Income Amount of Income None (or less than $1,001) § v; . § • in in ci acto 800 _ 8 tri — in 0 3.- — _ 8 6 in V) 8 8 CV to 3 °- 8 — 4./) 8 § a u, 3 s 8 N VI $500,001 - $1,000,000 — I Over $1,000,000m § g to iti GO . §. §, .- V) g- § • “1 va 69 . §.8 0 uj CO ci go ga.q ci ill v) . — ! „.; 0 4 to o 0 a 8 ; ' is > O E 0 Z a e5 :2 ..? 0 '2 0 X Interest Capital Gains Excepted Investment Fund Excepted Trust Qualified Blind Trust Other (Specify Type) None (or less than $201) 9, 5 ,,-- 61 1a CV V) § pi 49 . § . ,- V) § tri 4A . §...: ty V) 000'S LS - L00'SS o 8 2 0,7,-, g.: i ..- 8 - co a 8 - 8 i .- 8 6 In cal 0 g a 8 -' 0 q 8 ,- in : 8 a o ' 5> O § g - La a Q R § " to 8 ID- 8 0 tri It> O Actual Amount Required if -Other Specified s. Example: DC, or J IBM Corp. (stock) X X Example x exempt° (S) Keystone Fund x x Example X ExtaniA 1 2 3 4 5 6 7 8 9 10 EXEMPTION TEST (see instructions before marking box): If you omitted any asset because 't meets the th ee•part test for exemption described 'n the instructions, please check box to the right. •^ This category applies only if the asset isAvas held independently by the spouse or dependent child. If the asset isiiiva either held by the filer or jointly held, use the other categories of value. as a ppropnate. EFTA_R1_0 1522035 EFTA02444838 Reporting inclividuars Name PART IIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number BLOCK A Identity of Non-Publicly Traded Assets and Unearned Income Sources Report the name, address (city, state and BLOCK B Valuation of Assets At the close of reporting period. If None, or less than $1.001. check Inc BLOCK C Type and Amount of Income If 'None (or less than $201)' is Checked. no other entry is needed in Block C for that item. This includes Income received or accrued to the benefit of the individual. description) your spouse, p.3. CONTENTS Instructions) or investment business which: (1) had a value close of (2) generated income during Include the above underlying asset, the trade or assets held listed on Part of each interest held by you, or your dependent child (See OF REPORTS Part B for the production of income in a Eton-oublic trade or of to rsl column Type of Income Amount of Income None (or less than $1,001) $1,001 - $15,000 $15,001 - $50,000 J 8 o g r io, § 18 4, $100,001 - $250,000 § §.: fft . § § 40 § 8 VI.I $g — Over $1,000,000"' I § '§ a „ g ,_- VI §- 2 § §§,6 0 o . i c_ 2 r r8- g 09 8 0- § g , T 0 4) S z .8 5 , 3 b ...• S x Interest Capital Gains Excepted Investment Fund Excepted Trust Qualified Blind Trust Other (Specify Type) None (or less than $201) $201 - $1,000 § d ilk §. .7. R. 6 ui 14 § 0, 14 § ..: -- ‘47) § tot td g to o; u) . s ;in 8 0- os ,_ a I s 3 § d8 ;7; ' § g 47, Over $1,000,000" § § , g w c8§ tic a Actual Amount Required if 'other Specified exceeding $1,000 at the the reporting period; and/or over $200 in "unearned" the reporting period. report for each which is not incidental business. Publicly traded by non-public entity may be IIIA. S, Example: DC. or J JP Computer. Software Design. Wash DC , X X X - Exempt° Undeveloped kind. Dubuque. Iowa X Example X riarnp.rt: 1 2 3 4 5 6 7 8 9 10 EXEMPTION TEST (see insinfictions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions. please check box to the right K •" Th s category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the ler or jointly held, use the other ca egoiles of value, as appropiaW. EFTA_R1_015220343 EFTA02444839 Reposing Indmdual's Name PART IV. TRANSACTIONS Page Ntniber Report any purchase, sale, or exchange by you, your spouse, or dependent child (See p.3 CONTENTS OF REPORTS Part B of Instructions) during the reporting period of any real property, stocks, bonds, commodity futures, and other securities when the amount of the transaction exceeded $1,000. Include transactions that resulted in a loss. Do not report a transaction involving property used solely as your personal residence, or a transaction between you, your spouse, or dependent child. Please clarify which two properties are involved in any reportable exchange. Amount of Transaction (x) Transaction Type (x) Transaction Date (Mo., Day, Yr.) $1,001 - $15,000 0 0o g 69 . 0 o 6 1; 0 0 0. c. ,c2 IA , 0 o 6 a' 8 0. 0 a' , 8 o o in $250,001 - $500,000 8 0 0 q ; 7 o 0 ta . : 8 .. g 0 in ;fi 0 0 8 d o 0 6, :6. 0 0 6 0 0 to 0 0°- 0 R. 'di 69 0 06 0 0 5); 8 0. 8 0. 0 . : 0 .0 o 0 ifi VI . ° 0- § F.; ili es zr. 8 Purchase co 0 Exchange Identification of Assets S. Example: DC. or J IBM Corp. (stock) NYSE X 2/1/0X - X E X A M P L E (DC) Microsoft (stock) NASDAQ/OTC X 1/27/0X X E X A M P L E 2 3 4 5 6 7 8 9 10 11 12 EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part est for exemption described in the instructions. please chec box to the right. •" This category applies only if the asset is/was held independently by the spouse or dependent chid If the asset isiwas ether held by the filer or jointly held. use the other categories of v lue. as appropnato. EFTA_R1_01522037 EFTA02444840 Reporting Irsdnroloafs Name PART V. GIFTS c,aqe Philter Report the source, brief description and value of all gifts aggregating more than p.3 CONTENTS OF REPORTS Part B of Instructions), from each source. Gifts threshold. "Gift" is defined in the Instructions. Exclude: (1) Bequests and other forms of inheritance; (2) Political campaign newspapers and periodicals; (4) Consumable products provided by home state by persons other than yourself; (5) Gifts received prior to your Federal employment; her relationship to you; (7) Gifts from relatives; (8) Personal hospitality of any individual connection with a gift of overnight lodging; and (10) Food, lodging, transportation, country, or by federal, state, D.C., or local governments. $335 in value received by you, your spouse, or your dependent with a value of $134 or less need not be aggregated towards the contributions; (3) Communications to your offices including subscriptions businesses to your offices, if those products are intended for consumption (6) Gifts to your spouse or dependent child totally independent (see instructions); (9) meals and beverages unless consumed child, (See disclosure to of his or in foreign and entertainment provided by a foreign government within a Name of Income Source Address of Source Dates and Brief Description Gift Value Example- I Mr. John Q. Smith . Anytown, VA Example . _ August 12, 200X, Silver platter - Ethics Committee waiver granted 5400 1 2 3 4 5 6 7 a 9 10 11 Note: The Senate Gift Rule prohibits most gifts in excess of $49.99. EFTA_R1_01522038 EFTA02444841 Reporting Individuals Name PART VI. REIMBURSEMENTS I 1 P390 Number Report necessary travel related expenses from each source aggregating more than $335 in value during the reporting period received by you, your spouse and/or dependent child in connection with your provision of services at a speaking engagement, fact-finding event, or other event (personal campaign, or otherwise). Disclosure is required regardless of whether those expenses were reimbursed to the individual or paid directly by the sponsoring organization. A description of the itinerary, including date(s) and the nature of expenses is required. If you are reimbursed for more than one trip from the same sponsor (and the trips added together are worth more than $335), then you must report each trip individually, even if the reimbursement for each separate trip does not equal more than $335. Report Gifts of travel in Part V. Exclude: Travel related expenses provided by federal, state, D.C., and local governments; or by a foreign government; reimbursements from campaign funds which are reported to the FEC; reimbursements to a spouse or dependent child totally independent of his or her relationship to you; and reimbursements reported to the Office of Public Records pursuant to Senate Rule 35. For further information, see Instructions. Name of Income Source Address of Source ' Dates and Brief Description Example: Al! States Company Maintown. TX EXAMPLE Roundtrip air travel from Washington, D.C. to Maintown. TX and lunch for self and spouse for speaking engagement: May 1-3, 200X EXAMPLE 1 2 3 4 5 6 7 8 9 10 11 12 13 I EFTA_R1_01522039 EFTA02444842 Reporting indmduars Name PART VII. LIABILITIES ".EIO ,,:ur"bw Report liabilities over $10,000 owed by you, your spouse, or dependent child (See p.3 CONTENTS OF REPORTS Part B of Instructions), to any one creditor at any time during the reporting period. Check the highest amount owed during the reporting period. Exclude: (1) Mortgages on your personal residences unless rented; (2) loans secured by automobiles, household furniture or appliances; and (3) liabilities owed to certain relatives listed in Instructions. See Instructions for reporting revolving charge accounts. Date Incurred Interest Rate Term if Applicable Category of Amount of Value x) 00000O • o 0 tri 4. 7 3 0 0 t73 o o a 6 at 0 0 tri 1( 7) o o 6 o Z; 0 0 l O a 8 ,7), cA I.? O 3 6 o r» ca 80 - 8 to CO? 3 6 to oo o o in t.? r 3 6 o 14)) „ b 0 g cp Z 7; ,_ a) 3 a o 0 6 O20O ° vi ' .0 O°o g e»9 0 o oo 00 in cA ti) 0 6°o tg 0 0 O - o 0 to cn 7 cLfi odo ti t4 o 0 O ci, ° (.0 2 m 3 Name of Creditor Address Type of Liability S. Example: DC. or J First District Bank Wash.. DC Mortgage on undeveloped land - 1991 13% 25yrs X E XAMP L E O John Jones Wash., DC Promissory Note 1999 10% On dmd X E X AMP L E 1 2 3 4 5 6 7 8 9 10 11 12 EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. — This category applies only if the asset is/yeas held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held. use the other categories of value. as appropriate. EFTA_R1_01522040 EFTA02444843 Reporting IrK',wipers Name PART VIII. POSITIONS HELD OUTSIDE U.S. GOVERNMENT Page Number Report any positions held by you during the applicable reporting period whether compensated or not. Positions include, but are not limited to those of an officer, director, trustee, general partner, proprietor, representative, employee, or consultant of any corporation, firm, partnership, or other business enterprise or any non-profit organization or educational institution. Both the year and month must be reported for the period of time that the position was held. Exclude: Positions with federal government, religious, social, fraternal, or political entities, and those solely of an honorary nature. Name of Organization Address (City, State) Type of Organization Position Held From (Mohr) To (Mohr) Example National Assn. of Rock Collectors NY,NY EXAMPLE - - Non-profit education President . 6/ 90 Present Jones & Smith Hometown. USA EXAMPLE Law Firm Partner 7/95 /7/0X 1 2 3 4 5 6 7 8 9 10 11 12 13 Compensation in excess of $200 from any position must be reported in Part II. EFTA_R1_01522041 EFTA02444844 Rep rung InOmduars Name PART IX. AGREEMENTS OR ARRANGEMENTS Par Numb°. Report your agreements or arrangements for future employment (including agreements with a publisher for writing a book or sale of other intellectual property), leaves of absence, continuation of payment by a former employer (including severance payments), or continuing participation in an employee benefit plan. See Instructions regarding the reporting of negotiations for any of these arrangements or benefits. Status and Terms of any Agreement or Arrangement Parties Date Example' Pursuant to partnership agreement, will receive lump sum payment of capita! account 8 partnership share calculated on services performed through 11/0X and retained pension benefits (diversified, independently managed. fully funded? defined contribution plan) Jones & Smith. Hometown. USA Example 1 / 93 Employment agreement with XYZ Co. to become Vice President of Government Relations. Terms of agreement include salary between $50,001-S100.000. signing bonus between $2, 501-$5.000 and stock options XYZ Co., Bethesda. MD Example I /OX 1 . . 2 3 4 5 6 7 8 9 10 11 12 13 14 EFTA_R1_01522042 EFTA02444845 PART X. COMPENSATION IN EXCESS OF $5,000 PAID BY ONE SOURCE FIRST TIME FILERS ONLY: Report sources of compensation received by you or your business affiliation for services provided directly by you during the reporting period. This includes the names of clients and customers of any corporation, firm, partnership, or other business enterprise, or .any non-profit organization when you directly provided the services to the clients and/or customers of the firm that generated a fee or payment of more than $5,000. You need not report the U.S. Government as a source. Name of Source Address of Source Brief Description of Duties Example Jones & Smith Hometown, 7X Legal Services EXAMPLE I Metro University (client of Jones & Smith Moneytown, USA Legal Services in connection with university construction EXAMPLE 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 EFTA_R1_01522043 EFTA02444846 CONFIDENTIAL DISCLOSURE OF PAYMENTS TO CHARITABLE ORGANIZATIONS IN LIEU HONORARIA Last Name First Name and Middle Initial Telephone Number (Include Area Code) Calendar Year Covered by Annual Report ANNUAL FILER Office I Agency in which Employed (or formerly employed) TERMINATION FILER Dates Covered by Termination Report; Office l Agency in which Formerly Employed Termination Date (mnVdd/W): Who Must File: Any reporting Individual who files an annual or termination public financial disclosure report with the Senate Select Committee on Ethics must also file this confidential report if that individual writes, gives a speech, or makes an appearance (or a series of articles, speeches, or appearances which are directly related to official duties or the status of the individual within the government) for which the sponsoring organization makes a payment directly to a charitable organization in lieu of honoraria. To determine whether you are a reporting individual for purposes of this report, please refer to the instructions for the Senate Public Financial Disclosure Report or contact the U.S. Senate Select Committee on Ethics. Where to File: File this report with the Select Committee on Ethics, Room 220. Hart Senate Office Building. U.S. Senate. Washington. DC 20510. (Ptease note: This is rsj the filing location for the public reports.) When to File: Reporting individuals should file this report no later than May 15th, annually. In the event that May 15 or other filing date falls on a weekend, or other holiday, the filing deadline shall be on the next business day. If an individual terminates employment, the report must be filed no later than the 30th day after termination. Reasonable extensions may be granted if requested in writing, but the total of all such extensions may not exceed 90 days. These tiling deadlines correspond with the filing dates of the Senate Public Financial Disclosure Report. Contents of Reports: List the date of the payment (or, if unascertainable. the date of the activity giving rise to the payment). the name and address (city, state) of the source of the payment, the name and address (city, state) of the recipient charitable organization. and the amount of the payment. Include all payments which correspond to the reporting period of the annual or termination public financial disclosure form filed in conjunction with this report. Please sign your report certifying that your report is complete and correct, and that no payments were made to charitable organizations from which you or Your parent. sibling. spouse. child. or dependent relative receives any financial benefit. If you attach additional pages. please number them. Penalty Provisions: My individual who is required to file this report and does so more than 30 days alter the date the report is required to be filed, or, if an extension is granted, more than 30 days after the last day of the filing extension period, shall be subject to a 5200 penalty fee. Waivers of this fee may be granted by the Committee in extraordinary circumstances, if requested in writing. Falsifying or failing to file this report may result in the imposition of a civil and criminal sanctions. (See 2 U.S.C. 701 at seq. and 18 U.S.C. 1001.) Review of Reports: These reports will be reviewed by the Committee along with the corresponding public reports within 60 days of the filing date. These reports will be kept confidential by the Committee in accordance with the Ethics in Government Act of 1978, as amended. Date Source of Payment (Name, Address) Recipient Charitable Organization (Name, Address) Amount Certification I CERTIFY that the statements 1 have made on this loan are true, complete end correct fo the best of my knowledge and belief. No financial benefit is derived from any charitable organization listed by me, or a parent, sibling. spouse, child or dependent relative of mine. Signature of Reporting Individual Date (Month, Day, Year) EFTA_R1_01522044 EFTA02444847