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LEGISLATIVE ETHICS COMMISSION

STATE OF NEW YORKV’~’•~ 1 LOCATION: ALFRED E. SMITH OFFICE BUILDING •SUItE 1431- 5~_~ MAILING ADDRESS: LEGISLATIVE OFFICE BUILDING • P0 BOX 75 • ALBANY, NY 12247

- - PHONE:(5l8)432-7837/7838

~ 1Annual Statement of Financial Disclosure

For Calendar Year 2010

1. Name 1JOV HIKi’.~’iJ~2. (a) Title of Position f~P1S

(b) Department, Agency or other Governmental Entity

Cc) Address of Present Of f ice LOB ≤s/ l~L8c~n\j, Ml

Cd) Office Telephone Nu~er _______________________

3. (a) Marital Status _____________ . If married, please givespouse’s full name includi’hg maiden name where applicable.

(b) List the names of all unemancipated children.

INSTRUCTIONS

Answer each of the following questions completely, with respect tocalendar year 2010, unless another period or date is otherwisespecified. If additional space is needed, attach additional pages.

Whenever a “value” or ‘amount” is required to be reported herein,such yalue or amount shall be reported as being within one of thefollowing Categories: Category A - under $5,000; Category B -

$5,000 to under $20,000; Category C - $20,000 to under $60,000;Category D - $60,000 to under $100,000; Category E - $100,000to under $250,000; and Caegory F - $250,000 or over. A reportingindividual 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 .1 ron the sourceidentified.

The term “calendar year” shall mean the year ending the December 31st

preceding the date of filing of the annual statement.

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.4. (a) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the reporting individual withany firm, corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial mattets before, any state or localagency, list the name of any such agency.

State orPosition Organization Local Agency

a—’

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(b) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the spouse or unemancipatedchild of the reporting individual, with any firm,corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any ~tate or local agency, was regulatedby any state regulatory agency or local agency, or, as a~regular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.

State or

Position Organization Local Agency

AC,~5. (a) List the name, address and description of any

occupation, employment, (other than the employmentlisted under Item 2 above) , trade, business orprofession engaged in by the reporting individual: Ifsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business or activity of said entity, did business

with, or had matters other than ministerial mattersbefore, any state or local agency, list the name of anysuch agency.

Name & Address State orPosition of Organization Description Local Agency

(b) If the spouse or unemancipated child of the reportingindividual was engaged in any occupation, employment,trade, business or profession which activity was licensedby any state or local agency, was regulated by any stateregulatory agency or local agency, or, as a regular andsignificant part of the business or activity of saidentity, did business with, or had matters other thanministerial matters before, any state or local agency,list the name, address and description of such occupation,employment, trade, business or profession and the name ofsuch agency.


6~ List any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orunemancipated child, or partnership of which any suchperson is a member, or corporation, 10% or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the nameof the entity which holds such interest and therelationship of the reporting individual or suchindividual’s spouse or such child to such entity and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligationsunder the contract except for guarantees and warrantieshave been performed, provided, however, that such aninterest mu~t be listed if there has been an ongoingdispute during the calendar year for which this statementis filed with respect to any such guarantees orwarranties. Do NOT list any interest in a contract made

or executed by a l’ocal agency after public notice andpursuant to a process for competitive bidding or aprocess for competitive requests for proposals.

Entity Relationship Contracting CategorySelf, Which Held to Entity State or ofSpouse Interest in and Interest Local Value ofor Child Contract in Contract Agency Contract

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7. List any position the reporting individual held as anofficer of any political party or political organization,as a member of any political party committee, or as apolitical party district leader. The term “party” shallhave the same meaning as “party” in the election law. Theterm “political organization” means any party orindependent body as defined in the election law or anyorganization that is affiliated with or a subsidiary of aparty or independent body.

t~sT. ~t~? e~8. (a) If the reporting individual practices law, is licensed

by the department of state as a real estate broker, oragent or practices a profession licensed by the departmentof education, give a general description of the principalsubject areas of matters undertaken by such individual.Additionally, if such an individual practices with a firmor corporation and is a partner or shareholder of the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorporation. Do not list the name of the individualclients, customers or patients.

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(b) List the name, principal address and generaldescription or the nature of the business activity of anyentity in which the reporting individual or suchindividuals spouse had an investment in excess of $1,000excluding investments in securities and interests in realproperty.

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9. List each source of gifts, EXCLUDING campaigncontributions, in EXCESS of $1,000, received during thereporting period for which this statement is filed by thereporting individual or such individual ‘s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does not include reimbursements,which term i~ defined in item 10. Indicate the value andnature of each such gift.Self, Category ofSpbuse or Name of Nature Value ofchild Donor Address of Gift Gift

10. Identify and briefly describe the source of anyreimbursements for expenditures,EXCLUDING cathpaignexpenditures and expenditures in connection with officialduties reimbursed by the state, in EXCESS of $1,000 fromeach such source. For purposes of this item, the term“reimbursements” shall mean any travel-related expensesprovided by nongovernmental sources and for activitiesrelated to the reporting individual’s official duties suchas, speaking engagements, conferences, or factfindingevents. The term “reimbursements” does NOT include giftsreported under item 9.

source Description

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11. List the identity and value, if reasonably. ascertainable,

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of each interest in a trust, estate or other beneficialinterest,- including retirement plans other than retirementplans 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 revenuecode, in which the REPORTING INDIVIDUAL held a beneficialinterest in EXCESS of $1,000 at any time during thepreceding year. Do,NOT report interests in a trust,estate or other beneficial interest established by or for,or the estate of, a relative.

Category ofIdentity - Value*

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*The value of such interest shall be reported only if reasonably ascertainable.

12. (a) Describe the terms of, and the parties to, anycontract, promise, or other agreement between thereporting individual and any person, firm, or corporationwith respect to the employment of such individual afterleaving office or position (other than a leave ofabsence) . -

(b) Describe the parties to and the terms of any agreementproviding for continuation of payments or benefits to theREPORTING INDIVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THP~N the State. (This includes interestsin or contributions to a pension fund, profit-sharingplan, or life or health insurance; buy-out agreements;severance payments; etc:)

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13. List below the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting individualand such individual’s spouse for the taxable year lastoccurring prior to- the date of filing. Nature of incomeincludes, but is not limited to, all income (other thanthat received from the employment listed under Item 2above) from compensated employment whether public orprivate, director~hips and other fiduciary positions,contractual arrangements, teaching income, partnerships,honorariums, lecture fees, consultant fees, bank and bondinterest, dividends, income derived from- a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from abusiness or profession and real estate rents shall bereported with the source identified by the buildingaddress in the case of real estate rents and otherwise bythe name of the entity and not by the name of theindividual customers, clients or tenants, with theaggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received inconnection with a matrimonial action,. alimony and childsupport payments shall not be listed.

CategorySelf! ofSpouse Source Nature Amount

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14. List the sources of any deferred income (not retirementincome) in EXCESS of $1,000 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, other than deferred compensation reported in item11 herein above. Deferred income derived from thepractice of a profession shall be listed in the aggregateand shall identify as the source, the name of the firm,corporation, partnership or association through which theincome was derived, but shall not - identify individualclients.

Category ofSource Amount -

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15. List each assignment of income in EXCESS of $1,000, andeach transfer other than to a relative during thereporting period for which this statement is filed forless than fair consideration of an interest in a trust,estate or other beneficial interest, securities or realproperty, by the reporting individual, in excess of$1,000, which would otherwise be required to be reportedherein and is not or has not been so reported.

categoryttem Assigned Assigned or ofor Transferred- Transferred tp Value

V16. List below the type and market value of securities held by

the reporting individual or such individual’s spouse fromeach issuing entity in EXCESS of $1,000 at the close of thetaxable year last occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting individual issued by aprofessional corporation. Whenever an interest in securities exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spousehas transferred assets to such trust for his or her benefitin which event such securities shall be listed unless theyare not ascertainable by the reporting individual becausethe trustee is under an obligation or has been instructed inwriting not to disclose the contents of the trust to the-reporting individual. Securities of which the reportingindividual or the reporting individual’s spouse is the ownerof record but in which such individual or the reportingindividual’s spouse has no beneficial interest shall not belisted. Indicate percentage of ownership ONLY if thereporting person or the reporting person’s spouse holds morethan five percent (5%) of the stock of a corporation inwhich 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 forinvestment purposes by a corporation more than fifty percent(50%) of the stock of which is owned or controlled by thereporting individual or such individual’s spouse. For thepurpose of this item the term “securities” shall mean mutualfunds, bonds, mortgages, notes, obligations, warrants andstocks of any class, investment interests in limited orgeneral partnerships and certificates of deposits (Cos) andsuch other evidences of indebtedness and certificates of

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interest as are usually referred to as securities. Themarket value for such securities shall be reported only ifreasonably ascertainable and shall not be reported if thesecurity is an interest in a general partnership that waslisted in item 8 (a) or if the security is corporate stock,NOT publicly traded, in a trade or business of a reportingindividual or a reporting individual’s spouse.

Percentageof corporatestock owned Category ofor controlled Market Value(if more than as of the5* of publicly close cf thetraded stock, taxable yearor more than last occur-10% of stock ring prior tonot publicly the filing

Self! Issuing Type of traded, is of thisSpouse Entity Security held) statement

17. List below the location, size,, general nature, acquisitiondate, market value and percentage of ownership of any realproperty in which any vested or contingent interest inEXCESS of $1,000 is held by the reporting individual orthe reporting individual’s spouse. Also list realproperty owned for investment purposes by a corporationmore than fifty percent (50’s) of the stock of which isowned or controlled by the reporting individual or suchindividual’s spouse. Do NOT list any real property whichis the primary or secondary personal residence of thereporting individual or the reporting individual’s spouse,exc’efpt where there is a co-owner who is other than arelative.

Self! Percent-Spouse Aogui- age of Categorycorpor- General sition Owner- of Marketation Location Size Nature Date ship Value

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18- List below all notes and accounts receivable, other thanfrom goods or’ services sold, held by the reportingindividual ~t the close of the taxable year last occurringprior to the date of filing and other debts owed to suchindividual at the close of the taxable year last occurringprior to the date of filing, in EXCESS of $1,000, including

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the name of the debtor, type of obligation, date due andthe nature of the collateral securing payment of each, ifany, excluding securities reported in item 16 herein above.Debts, notes and accounts receivable owed to the individualby a relative shall not be reported.

Type of Obligation, categoryDate Due, and Nature of

Name of Debtor of collateral, if any Amount

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19. List below all liabilities of the reporting individual andsuch individual’s spouse, in EXCESS of $5,000 as of the dateof filing ~of this statement, other than liabilities to arelative- Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual’s spouse or by any proprietorship, partnership orcorporation in which the reporting individual or suchindividual’s spouse has an interest, when incurred or madein the ordinary course of the trade, business or professional practice of the reporting individual or suchindividual’s spouse. Include the name of the creditor andany collateral pledged by such individual to secure paymentof any such liability. A reporting individual shall notlist, any obligation to pay maintenance in connection with amatrimc:ial action, alimony or child support payments. Anyloan issued in the ordinary course of business by afinancial institution to finance educational costs, the costof home purchase or improvements for a primary or secondaryresidence, or purchase of. a personally owned motor vehicle,household furniture or appliances shall be excluded- If anysuch reportable liability has been guaranteed by any thirdperson, list the liability and name the guarantor.

category

Name of creditor Type of Liability ofor Guarantor and collateral, if any Amount

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The requirements of law relating to the reporting offinancial interests are in the public interest and no adverseinference of unethical or illegal conduct or behavior will bedrawn merely from compliance with these requirements.

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(Signature of~porting Individual) Daée(rn6nth!day/year)

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LEGISLATiVE ETHICS COMMISSION~STATE OF NEW YORK

MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALB , 12247LOCATION: ALFRED B. SMITH OFFICE BUILDING • SUITE 1431

PHONE: (518) 432-7837/7338 FAX: (518) 426-68D0QUESTION 13 AMENDMENT FORM

For Calendar Year ~OIO JUL 112013Please complete the form. If a column is not applicable, specify NONE.

13. List below the nature and amount of any income in EXCESS of$I,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(othe,r than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest, dividends, income derived from a trust, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income from a business or profession andreal estate rents shall be reported with the source identified by the building address in the ease ofreal estate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

SelflSpouse Source Nature Category of Amount

S€W - D7S~c4v~r9irvz PoSi.~~~_~_____

NAME ELh~/ }-iiklNm

TITLE of POSITION t3~EgBE~ ov

ADDRESS of PRESENT OFFICE LOB %1T51 A BhNN NN 122J+5

~S4{ature of Rejertihg Individual Dale (month/day/year) —

Category A- under $5,000, Category B- $5,000 to under $20,000, Category C- $20,000 tounder $60,000, Category D- $60,000 to under $100,000, Category E- $100,000 to under$250,000, Category F- $250,000 or over. Indicate the Category by letter only

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LEGISLATIVE ETHICSHCOMMISSIONSTATE OF NEW YORK

MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBAN\~ NY 12247LOCATION; ALFRED E. SMITh OFFICE BUILDING • SUiTE 1431

PHONE: (518) 432-7S37!7838 FAX: (518) 426-68~%t t, t Iv EDQuestion 9 AMENDMENT FORM

For Calendar Year ~O IDBY

JUL25 2O~3

Please complete the form. If a column is not applicable specify NONE. LEG. ETHICS COMK4.

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 reportingindividual or such individuaps spouse or unemancipated child from the same donor,EXCLUDING gifts from a relative. INCLUDE the name and address of the donor. The temi“gifts” does not include reimbursements, which tem~ is defined in item 10. Indicate the valueand nature ofeach such gift. (see Table I)

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Name; t~ou I4Je~~ATitle of Position: As~eW1~if3Y~-4flAddress Present Office: I SID L1€tb Sfreei, f~rodHrj

~~nature o reporting individual)

iVY /~;?ig

Date (monfh/day/year)

Self,Spouse or Name ofChild Donor

Categoryof

NatureAddress of Gift

(In Table I)

Value ofGift

.~j€ Ycssi Zbkk; £R~z.i~fL1Ai3 c,cwc -F~rs41~3 f>)otzsta C&vW ide”~ Q. . E iVY - ~rs€f~ @Jeostseec&Pf/eNet

~ Yo2dii ; . p~ ~,: Pleasesgeca,61€&J~2~s&*; th€i .r Pa vet

~at~Ihav Bract) MY Shwu~ose Lkc Skc~wc≤ &ocI .k’v see ca’s- (€AIc

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LEGISLATIVE ETHICS COMMISSIONSTATE OF NEW ~oi~x

WCATION- ALFRED £ SMITH OFFICE BUILDING - SUITE 1431

%~ MAILING ADDRESS LEGISLATIVE OFFICE BUILDING- P0 BOX 75- ALBANY, NY 12247PHONE (518) 432-7837/7838

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APR 1 ~ 2010Annual Statement of Financial Disclosure


l.Naine ‘LoV I-U/4~b.Yb2. (a) Title of Position itqesr~Rtt~ 1J’.y5


(a) Address of Present Office LOS ≤S7, Az/B. ,tlLf /~

(d) Office Telephone Number ç~f)~5~5_5-~ S 7cQ)

3. (a) Marital Status ____________ If married, please givespouse’s full name including maiden name where applicable.


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INSTRUCTIONS

J½nswer each of the following questions completely, with respect tocalendar year 2009, unless another period or date is otherwisespecified. 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 thefollowing categories: Category A - under $5,000; category B -

$5,000 to under $20,000; category C - $20,000 to under $60,000;category 13 - $60,000 to under $100,000; Category B - $100,000to under $250,000; and Category F - $250,000 or over. A reportingindividual 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 sourceidentified.

The term “calendar year” shall mean the year ending the December 31stpreceding the date of filing of the annual statement.

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4. (a) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the reporting individual withany firm, corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters other.than ministerial matters before, any state or localagency, list the name of any such agency.

state orPosition Organization Local Agency

(b) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the. spouse or unemancipatedchild of the reporting individual, with any firm,corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.

State or


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5. (a) List the name, address and description of anyoccupation, employment, (other than the employmentlisted under Item 2 above), trade, business orprofession engaged in by the reporting individual. Ifsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business or activity of said entity, did business

2

with, or had matters other than ministerial mattersbefore, any state or local agency, list the name of anysuch agency.




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6. List any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orunemancipated child, or partnership of which any suchperson is a member, or corporation, 10% or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the nameof the entity which holds such interest and therelationship of the reporting individual or suchindividual’s spouse or such child to such entity and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligationsunder the contract except for guarantees and warrantieshave been performed, provided, however, that such aninterest must be listed if there has been an ongoingdispute during the calendar year for which this statementis filed with respect to any such guarantees orwarranties. Do NOT list any interest in a contract made

3

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or executed by a local agency after public notice andpursuant to a process for competitive bidding or aprocess for competitive requests for proposals.

EntityThich HeldInterest incontract

Relationshipto Entityand Interestin Contract

Contractingstate orLocalAgency

categoryofValue ofcontract

7. List any position the reporting individual held as anofficer of any political party or political organization,as a member of any political party committee, or as apolitical party district leader. The term “party’T shallhave the same meaning as Tipartyll in the election law. Theterm “political organization” means any party orindependent body as defined in the election law or anyorganization that is affiliated with or a subsidiary of aparty or independent body.

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8. (a) If the reporting individual practices law, is licensedby the department of state as a real estate broker oragent or practices a profession licensed by the departmentof education, give a general description of the principalsubject areas of matters undertaken by such individual.Additionally, if such an individual practices with a firmor corporation and is a partner or shareholder of the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorporation. Do not list the name of the individualclients, customers or patients.

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Self,spouseor Child

(b) List the name, principal address and generaldescription or the nature of the business activity of anyentity in which the reporting individual or suchindividual’s spouse had an investment in excess of $1,000excluding investments in securities and interests in realproperty.

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9. List each source of gifts, EXCLUDING campaigncontributions, in EXCESS of $1,000, received during thereporting period for which this statement is filed by thereporting individual or such individual’s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does not include reimbursements,which term is defined in item 10. Indicate the value andnature of each such gift.Self, category ofSpouse or Name of Nature Value ofchild Donor Address of Gift Gift

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10. Identify and briefly describe the source of anyreimbursements for expenditures,EXCLUDING campaignexpenditures and expenditures in connection with officialduties reimbursed by the state, in EXCESS of $1,000 fromeach such source. For purposes of this item, the term“reimbursements” shall mean any travel-related expensesprovided by nongovernmental sources and for activitiesrelated to the reporting individual’s official duties suchas, speaking engagements, conferences, or factfindingevents. The ten “reimbursements” does NOT include giftsreported under item 9.

Source Description

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11. List the identity and value, if reasonably ascertainable,

5

S.

of each interest in a trust, estate or other beneficialinterest, including retirement plans other than retirementplans 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 revenuecode, in which the REPORTING INDIVIDUAL held a beneficialinterest in EXCESS of $1,000 at any time during thepreceding year. Do NOT report interests in a -trust,estate or other beneficial interest established by or for,or the estate of, a relative.

Identitycategory ofValue*

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12. (a) Describe the terms of, and the parties to, anycontract, promise, or other agreement between thereporting individual and any person, firm, or corporationwith respect to the employment of such individual afterleaving office or position (other than a leave ofabsence)

I

(b) Describe the parties to and the terms of any agreementproviding for continuation of payments or benefits to theREPORTING INDIVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THAN the State. (This includes interestsin or contributions to a pension fund, profit-sharingplan, or life or health insurance; buy-out agreements;severance payments; etc.)

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13. List below the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting individualand such individualls spouse for the taxable year lastoccurring prior to the date of filing. Nature of incomeincludes, but is not limjted to, all income (other thanthat received from the employment listed under Item 2above) from compensated employment whether public orprivate, directorships and other fiduciary positions,contractual arrangements, teaching income, partnerships,honorariums, lecture fees, consultant fees, bank and bondinterest, dividends, income derived from a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from abusiness or profession and real estate rents shall bereported with the source identifiea by the buildingaddress in the case of real estate rents and otherwise bythe name of the entity and not by the name of theindividual customers, clients or tenants, with theaggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received inconnection with a matrimonial action, alimony and childsupport payments shall not be listed.

categorySelf! ofSpouse Source Nature Amount

4-c. ~~.4J~4 c44~c~jIJa~u~tt Lo& _______

14. List the sources of any deferred income (not retirementincome) in EXCESS of $1,000 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, other than deferred compensation reported in item11 herein above. Deferred income derived from thepractice of a profession shall be listed in the aggregateand shall identify as the source, the name of the firm,corporation, partnership or association through which theincome was derived, but shall not identify individualclients.

category ofSource Amount

_IA

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15. List each assignment of income in EXCESS of $1,000, andeach transfer other than to a relative during thereporting period for which this statement is filed forless than fair consideration of an interest in a trust,estate or other beneficial interest, securities or realproperty, by the reporting individual, in excess of$1,000, which would otherwise be required to be reportedherein and is not or has not been so reported.

CategoryItem Assigned Assigned or ofor Transferred Transferred to Value

16. List below the type and market value of securities held bythe reporting individual or such individualTs spouse fromeach issuing entity in EXCESS of $1,000 at the close of thetaxable year last occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting individual issued by aprofessional corporation. Whenever an interest in securities exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spousehas transf~rred assets to such trust fOr his or her benefitin which event such securities shall be listed unless theyare not ascertainable by the reporting individual becausethe trustee is under an obligation or has been instructed inwriting not to disclose the contents of the trust to thereporting individual. Securities of which the reportingindividual or the reporting individual’s spouse is the ownerof record but in which such individual or the reportingindividual’s spouse has no beneficial interest shall not belisted. Indicate percentage of ownership ONLY if thereporting person or the reporting person’s spouse holds morethan five percent (5%) of the stock of a corporation inwhich 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 forinvestment purposes by a corporation more than fifty percent(50%) of the stock of which is owned or controlled by thereporting individual or such individual’s spouse. For thepurpose of this item the term “securities” shall mean mutualfunds, bonds, mortgages, notes, obligations, warrants andstocks of any class, investment interests in limited orgeneral partnerships and certificates of deposits (Os) andsuch other evidences of indebtedness and certificates of

8

• interest as are usually referred to as securities. Themarket value for such securities shall be reported only ifreasonably ascertainable and shall not be reported if thesecurity is an interest in a general partnership that waslisted in item 8(a) or if the security is corporate stock,NOT publicly traded, in a trade or business of a reportingindividual or a reporting individual’s spouse.

Percentageof corporatestock owned Category ofor controlled Market Value(if more than as of the5% of publicly close of thetraded stock, taxable yearor more than last occur-10% of stock ring prior tonot publicly the filing

Self/ Issuing Type of traded, is of thisSpouse Entity security held) statement

0~’

17. List below the location, size, general nature, acquisitiondate, market value and percentage of ownership of any realproperty in which any vested or contingent interest inEXCESS of $1,000 is held by the reporting individual orthe reporting individual’s spouse. Also list realproperty owned for investment purposes by a corporationmore than fifty percent (50%) of the stock of which isowned or controlled by the reporting individual or suchindividual’s spouse. Do NOT list any real property whichis the primary or secondary personal residence of thereporting individual or the reporting individual’s spouse,except where there is a co-owner who is other than arelative.

Self! Percent-Spouse Acqui- age of categorycorpor- General sition Owner- of Marketation Location Size Nature Date ship Value

~Alr*4_~0U)-~Ad‘~ ~ • 1

18. List below all notes and accounts receivable, other thanfrom goods or services sold, held by the reportingindividual at the close of the taxable year last occurringprior to the date of filing and other debts owed to suchindividual at the close of the taxable year last occurringprior to the date of filing, in EXCESS of $1,000, including

9

the name of the debtor, type of obligation, date due andthe nature of the collateral securing payment of each, ifany, excluding securities reported in item 16 herein above.Debts, notes and accounts receivable owed to the individualby a relative shall not be reported.

Type of obligation, categoryDate Due, and Nature of


19. List below all liabilities of the reporting individual andsuch individual’s spouse, in EXCESS of $5,000 as of the dateof filing of this statement, other than liabilities to arelative. Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual’s spouse or by any proprietorship, partnership orcorporation in which the reporting individual or suchindividual’s spouse has an interest, when incurred or madein the ordinary course of the trade, business or professional practice of the reporting individual or suchindividual’s spouse. Include the name of the creditor andany collateral pledged by such individual to secure paymentof any such liability. A reporting individual shall notlist any obligation to pay maintenance in connection with amatrimonial action, alimony or child support payments. Anyloan issued in the ordinary course of business by afinancial institution to finance educational costs, the costof home purchase or improvements for a primary or secondaryresidence, or purchase of a personally owned motor vehicle,household furniture or appliances shall be excluded. If anysuch reportable liability has been guaranteed by any thirdperson, list the liability and name the guarantor.

categoryName of creditor Type of Liability . Of

or Guarantor and collateral, if any Amount

hi,r~

The requirements of law relating to the reporting offinancial interests are in the public interest and no adverseinference of unethical or illegal conduct or behavior will bedrawn mer from compliance with these. requirements.

(Sign ture &tReporting Individual) Date (month/day/year)

10

LEGISLATIVE ETHICS COMMISSIONSTATE OF NEW YORK

MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBANY. NEW YORK 12247LOCATION: ALFRED E. SMITH OFFICE BUILDING SUITE 1431 • ALBANY NY 12247

PHONE: 518)432-7837/7838• FAX:(518)426-6850

Please complete the form.

QUESTION 3for Calendar Ye

3. (a) Marital Statusspouses full name including maiden name where applicable.

≤Ji cjqnc MLXMt~b

Name: DCV -(;k1%’b

Title of Position: (he iNS Asc6ou~L.y

Address of Present Office: Lo€ rfl~. ,41-&izn/

oDate (M~nth/day/year)

If married, please give

individual

PAINTED ON RECYCLED PAPER

LEGISLATIVE ETHICSSTATE OF NEW

MAIL LEGISLATIVE OFFICE BUILDING BOX 75LOCATION: ALFRED E. SMITH OFFICE BUILDING • S

PHONE: (518) 432-7837/7838 FAX:

QUESTION 13 AMENDMENT PFor Calendar Year 1001

Please complete the form. If a column is not applicable, specify

13. List below the nature and amount of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bank andbond interest, dividends, income derived from a trust, real estate rents, and recognized gains fromthe sale or exchange of real or other property. Income from a business or profession and realestate rents shall be reported with the source identified by the building address in the case of realestate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

CategorySelf/ ofSpouse Source

fcs~saLewi ~td4Maho)1

Profecf (crtzp)Pfre4r oP

.ç~g:: Isonk Ck43L 15~nk PH-erts 1-

Name: EPN h-i-;1c~iNt

Title of Position: flle,nl3cV r~’-1$ 4≤c6nhsZL’/

Address of Present Office: £4 13, s—c, ,4t13 &‘/

ISi~atu’~e of Reporting Individual UJ~te (m’onth/day/year)

F I

COMMISSIONYORK

LEG. ETHICS 00MM.

Nature Amount

sLtP/spnuc CkAcL E3As,j~ Sn-f-east

Category A — under $5,000; Category S -$5, 000 to under $20,000;Category C — 120.000 to under S60,O00~ Category 0 — $60,000 tounder $1OO,OOO~ Category 1 — $100,000 to under $250,000; Category$250,000 or over. Indicate the Category by letter only.


MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBLOCATION: ALFRED B. SMITH OFFICE BUILDING • SUITE 1431 E*VE D

PHONE: (518) 432-7837/7838 FAX: (518) 426-6850QUESTION 13 AMENDMENT FORM

ForCalendarYear ~OOg flL 112013BY

Please complete the form. If a column is not applicable, specify NONE. LE&E~1111CSCOT~TM—

13. List below the nature and amount of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directolships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest, dividends, income derived from a trust, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income from a business or profession andreal estate rents shall be reported with the source identified by the building address in the case ofreal estate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

Se~ ?c€ka-a~,.z~

NAME J)OV 4~~IPTh

TITLE of POSITION MEMAER GF

IADDRESS of PRESENT OFFICE_LDBJ25~ I

of Rep ng Individual

I I~LYANU MN 12-2~1+8

~ear%U Date

Self/Spouse Source Nature Category of Amount

-t


0

I

LEGISLATIVE ETHICS. COMMISSIONSTATE OF NEW YORK

MAIL: LEGISLATiVE OFFICE BUILDING • BOX 75 • ALBANY, NY 12247LOCATION~ ALFRED E. SMITH OFFICE BUILDING • SUITE 1431 . ALB~YawNY~2147~

PNONE: (518) 432-7837/7838 FAX: (518) 426-6850 f’~r tct IV E DQuestion 9 AMENDMENT FORM


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 reportingindividual or such individual’s spouse or unemancipated child from the same donor,EXCLUDING gifts from a relative. INCLUDE the name and address of the donor. The term“gifts” does not include reimbursements, which term is defined in item 10. Indicate the valueand nature of each such gift. (see Table I)

Categoryof

Nature Value ofAddress of Gift Gift

(In Table I)

PI~≤e we Cøt-t fehLerPIe~- ~€ nx’C (eAF6(3east see r&k≠er leAler

cee c~r fellerPin — rat kiterPlaaz cee r~- feller

&2C caorSee cac ItileC

BYPlease complete the form. If a column is not applicable specify NONE.

rj


Sew 3ikcS4tpusg ~ P4s.~,&-5eoue~cfrt ‘.~

~Q Take ~tt ~ã ~cot ~4&5çca 3~kc 94gzv3~ &-~44.,m £kovopsS2~# ~kt $kra~Sp’se Z&keSi~w flrecacb~n,,A1Y fl’anSS’2.W Takt cfro~c firtJ4i. ‘W SA4L~ NQ~jgSçaa Sake S+CQM th~~44hv ~aLks/Vcck

Name: ~ A4k~.,gTitle of Position: 4ss&,.~ h/~j~

;ent Office: Li’Ic ‘,~‘2 Streeci5 RrccA4t~ / fL’Y i~ ~g

7/is-) /3Date (month/day/year)

C,

/ I

LEGISLATIVE ETHICS COMMISSIONLt~fl STATE OF NEW YORK

tn(ATU)N: ALFRED L SMmI STAlE OFFICE HL’ILLflNG SUITE 1431/ 4 ~ MMT IV, ADDRFSS I FGISI Am F ORI( F HUll DING PD HD\ 7, ~I HAN~ N~ 12247

PI~TDNF(5I~i43t7s3?/?s3~ FAX:l5I$T4’f,q~gso

Annual Statement of Financial DisclosureFor Calendar Year 2008 APR 2 8 2009

1. Name toV P~iKF~b2. (a) Title of Position fri ~‘~1? M”fS


Ic) Address of Present Office 4°’3 ~ ~L9ant1 ~v jn9&Id) Office Telephone Number

3. (a) Marital Status N”\ . If married, please givespouse’s full name including maiden name where applicable.

/


INSTRUCTIONS


Whenever a “value” or “amount” is required to be reported herein,such value or amount shall be reported as being within one of thefollowing Categories: Category A - under $5,000; category B -

$5,000 to under $20,000; Category C - $20,000 to under $60,000;Category 0 - $60,000 to under $100,000; Category E - $100,000to under $250,000; and Category F - $250,000 or over. A reportingindividual shall indicate the Category by letter only.


The term ‘calendar year” shall mean the year ending the December 31stpreceding the date of filing of the annual statement.

I

4. (a) List any office, trusteeship, directorship,partnershipi or position of any nature, whethercompensated or not, held by the reporting individual withany firm, corporation, association, partnershiPs or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.

State or


(b) List any office, trusteeship, directorship,partnerships or position of any nature, whethercompensated or not, held by the spouse or ~nemancipatedchild of the reporting individual, with any firm,corporation, association, partnerships or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncornpensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregulat and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.

State or


S. (a) List the name, address and description of anyoccupation, employment, (other than the employment

1

listed under Item 2 above) , trade, business orprofession engaged in by the reporting individual. itsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business, or activity of said entity, did businesswith, or had matters other than ministerial mattersbefore, any state or local agency, list the name of anysuch agency.


(b) If the spouse or unemancipated child of the reportingindividual was engaged in any occupation, employment,‘trade, business or profession which activity was licensedby any state or local agency, was regulated by any stateregulatory agency or local agency, or, as a regular andsignificant part of the business or activity of saidentity, did business with, or had matters other thanministerial matters before, any state or local agency,list the name, address and description of such occupation,employment, trade, business or profession and the name ofsuch agency.


flor3-Q~

6. LisL any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orunemancipated child, or partnership of which any suchperson is a member, or corporation, l0~ or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the nameof the entity which holds such interest and therelationship of the reporting individual or suchindividual’s spouse or such child to such entity and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligationsunder the contract except for guarantees and warrantieshave been performed, provided, however, that such aninterest must be listed if there has been an ongoingdispute during the calendar year for which this statement

~! C~.~v! .., ~ ~ r. ~ ~.dti——~~. __I..._.—_ ~ ..— —

I.

is filed with respect to any such guarantees orwarranties. Do NOT list any interest in a contract madeor executed by a local agency after public notice andpursuant to a process for competitive bidding or aprocess for competitive requests for proposals.

Entity Relationship contracting categorySelf Which Held to Entity State or ofSpouse Interest in and Interest Local Value ofor child contract in contract Agency Contract

7. List any position the reporting individual held as anofficer of any political party or political organiZati0n~as a member of any political party committee, or as apolitical party district leader. The term “party” shallhave the same meaning as “party” in the election law. Theterm “political organization” means any party orindependent body as defined in the election law or anyorganization that is affiliated with or a subsidiary of aparty or independent body.

8. (a) If the reporting individual practices law, is licensedby the department of state as a real estate broker oragent or practices a profession licensed by the departmentof education, give a general description of the principalsubject areas of matters undertaken by such individual.~~ditional1y, if such an individual practices with a firmor corporation and is a partner or shareholder of the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorporation. Do not list the name of the individualclients, customers or patients.

(b) List the name, principal address and generaldescription or the nature of the business activity of anyentity in which the reporting individual or suchindividual’s spouse had an investment in excess of $1,000

4

.,.., ,.~rr:’ ,—q~q.•’r. ..——,r~’ ,._. _~.. ._q_.._

excluding investments in securities and interests in realproperty.

/t)t42C_

9. List each source of gifts, EXCLUDING campaigncontributions, in EXCESS of $1,000, received during thereporting period for which this statement is filed by thereporting individual or such individual’s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does not include reimbursements,which tennis defined in item 10. Indicate the value andnature of each such gift.

Self, category ofSpouse or Name of Nature Value ofChild Donor Address of Gift Gift

10. Identify and briefly describe the source of anyreimbursements for expenditures,ExCtUDING campaignexpenditures and expenditures in connection with officialduties reimbursed by the state, in EXCESS of $1,000 fromeach such source. For purposes of this item, the term“reimbursements” shall mean any travel-related expensesprovided by nongovernmental sources and for activitiesrelated to the reporting individual’s official duties suchas, speaking engagements, conferences, or factfindingevents. The term “reimbursements” does NOT include giftsreported under item 9.

Source Description

flor7C-11. List the identity and value, if reasonably ascertainable,

of each interest in a trust, estate or other beneficialinterest, including retirement plans other than retirementplans 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 revenuecode, in which the REPORTING INDIVIDUAL held a beneficialinterest in EXCESS of $1,000 at any time during the

5

— — :‘ .‘ _~__,._._c .~._ .,. _.... • ~_,•,.. ..~_ fl,..,_.

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 of• Ydentity Value*

*The value of such interest shall be reported only jf reasonably ascertainable.


(b) Describe the parties to and the terms of any agreementproviding for continuation of payments or benefits to theREPORTING INDIVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THAN the State. (This includes interestsin or contributions to a pension fund, profit-sharingplan, or life or health insurance; buy-out agreements;severance payments; etc.)

13. List below the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting individualand such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of incomeincludes, but is not limited to, all income (other thanthat received from the employment listed under Item 2above) from compensated employment whether public orprivate, directorships and other fiduciary positions,contractual arrangements, teaching income, partnerships1honorariums, lecture fees, consultant fees, bank and bondinterest, dividends, income derived from a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from a

6

. .. . . .—1-.—.%r.-—-?’fl .vTIw.,__~ ,i r~rr ~ --..- •1

business or profession and real estate rents shall bereported with the source identified by the buildingaddress in the case of real estate rents and otherwise bythe name of the entity and not by the name of theindividual customers clients or tenants, with theaggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received inconnection with a matrimonial action, alimony and childsupport payments shall not be listed.

categorySelf! ofSpouse Source Nature A AwnuntspouS-t. rR-p ~

c~)c-4c~J~ cb,Jc

14. List the sources of any deferred indome (not retirementincome) in EXCESS of $1,000 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, -other than deferred compensation reported in item11 hereinabove Deferred income derived from the practiceof a profession shall be listed in the aggregate and shallidentify as the source, the name of the firm, corporation,partnership or association through which the income wasderived, but shall not identify individual clients.

Category ofSource Amount

15. List each assignment of income in EXCESS of $1,000, andeach transfer other than to a relative during thereporting period for which this statement is filed forless than fair consideration of an interest in a trust,estate or other beneficial interest, securities or realproperty, by the reporting individual, in excess of$1,000, which would otherwise be required to be reportedherein and is not or has not been SO reported.

7

• . . . . . . .— —— ——‘I ~ ~ C. — ~ .. —— .—_ —— —

4

category

Item Assigned Assigned or ofor Transferred Transferred tO Value

16. List below the type and market value of securities held bythe reporting individual or such individual’s spouse fromeach issuing entity in EXCESS of $1,000 at the close of thetaxable year last occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting Individual issued by aprofessional corporation. Whenever an interest in secur~.ties exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spousehas transferred assets to such trust for his or her benefitin which event such securities shall be listed unless theyare not ascertainable by the reporting individual becausethe trustee is under an obligation or has been instructed inwriting not to disclose the contents of the trust to thereporting individual. Securities of which the reportingindividual or the reporting individual’s spouse is the. ownerof record but in which such individual or the reportingindividual’s spouse has no beneficial interest shall not belisted. Indicate percentage of ownership ONLY if thereporting person or the reporting person’s spouse holds morethan five percent (5%) of the stock of a corporation inwhich 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 forinvestment purposes by a corporation more than fifty percent(50%) of the stock of which is owned or controlled by thereporting individual or such individual’s spouse. FOL Lhepurpose of this item the term “securities” shall mean mutualfunds, bonds, mortgages, notes, ob1igatiofl5~ warrants andstocks of any class, investment interests in limited orgeneral partnerships and certificates of deposits (CD5) andsuch other evidences of indebtedness and certificates ofinterest as are usually referred to as securities. Themarket value for such securities shall be reported only ifreasonably ascertainable and shall not be reported if thesecurity is an interest in a general partnership that waslisted in item 8(a) or if the security is corporate stock,NOT publicly traded, in a trade or business of a reportingindividual or a reporting individual’s spouse.

8

~ 7 ~_.. — —n ~.

Percentageof corporatestock Owned Category ofor Controlled Market Value(if more than as of the

6% of publicly close of thetraded stock, taxable yearor more than last occur-10% of stock ring prior tonot publicly the filingSelf! Issuing Type of traded, is of this

Spouse Entity Security held) . statement

17. List below the location, size, general nature, acgtiisitjondate, market value and Percentage of ownership of any realproperty in which any vested or contingent interest inEXCESS of $1,000 is held by the reporting individual orthe reporting individual’s spouse. Also list realproperty owned for investment purposes by a corporationmore than fifty percent (50%) of the stock of which isowned or controlled by the reporting individual or suchindividual’s spouse. Do NOT list any real property whichis the primary or secondary personal residence of thereporting individual or the reporting individual’s spouse,except where there is a co-owner who is other than arelative.

Self! Percent-Spouse Acgui- age of CategoryCorpor- General sition Owner- of Marketation Location Size Nature Date ship Value

≤~q4~i~ ?,M~y. ~7v

18. List below all notes and accounts receivable, other thanfrom goods or services sold, held by the reportingindividual at the close of the taxable year last occurringprior to the date of filing and other debts owed to suchindividual at the close of the taxable year last occurringprior to the date of filing, in EXCESS of $i,ooo, includingthe name of the debtor, type of obligation, date due andthe nature of the collateral securing payment of each, ifany, excluding securities reported in item 16 hereinabove.Debts, notes and accounts receivable owed to the individualby a relative shall not be reported.

Cat egory• Tvte of ObligatiOn,

Date Due, an~ Natur& of

Name of Debtor of Collateral, if any Amount

i~. List below all liabilities of the reporting Individual andsuch individual’s spouse, in EXCESS of $5,000 as of the dateof filing of thi.s statement, other than liabilities to arelative. Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual’s spouse or by any proprietorshiPs partnership orcorporation in which the reporting individual or suchindividual’s spouse has an interest, when incurred or madein the ordinary course of the trade, business or profassional- practice of the reporting individual or suchindividual’s spouse. Include the name of the creditor andany collateral pledged by such individual to secure paymentcf any such liability. A reporting individual shall notlist any obligation to pay maintenance in connection with amatrimonial action, alimony or child support payments. Anyloan issued in the ordinary course of business by afinancial institution to finance educational costs, the costof home purchase or improvements for a primary or secondaryresidence, or purchase of a personally owned motor vehicle,household furniture or appliances shall be excluded. If anysuch reportable liability has been guaranteed by any thirdperson, list the liability and name the guarantor.

Category

Name of Creditor Type of Liability ofor Guarantor and Collateral, if any Amount

The requirements of law relating to the reporting of financialinterests are in the public interest and no adverse inference ofunethical or illegal conduct or behavior will be drawn merelyfrom compliance with these requirements.

~WRI 26’, )ITV’~

Date (month/day/year)(Si Reporting Individual)

10


MAIL: LEGISL~JIVE OFFICE BUILDING • BOX 75 • ALBANY. NEW YORK 12247LOCATION: ALFRED E. SMITH OFFICE BUILDING • SUITE 1431 • ALBANY, NY 12247

PHONE: (518) 432-7837/7838 FAX: (518)426-6850

Please complete the form

QUESTION 3 (a) AMENDMENT FORMfor Calendar Year ~2cCkP

MAY 2 g 2009

3. (a) Marital Status N . If married, please givespouse’s full name including maiden name where applicable.

A 5SenJ3L(

Lo~5~j ___

/1~Date (Month/day/year)

Name: ‘JOV jt)Lflc&Title of Position:

Address of Present Office: /C,

Sigñ~Jure of re~y’ting in&±v±dual

~PRPM7EO ON REC VCLED PAPEP

LEGISLATiVE ETHICS COMMISSIONSTATh OF NEW YORK

MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBANY NI 12247LOCATION: ALFRED B. SMITH OFFICE BUILDING • SUITE 143 EC El

PHONE: (518) 432-7837/7838 FAX: (518) 426-6 5QUESTION 13 AMENDMENT FORM

For Calendar Year_2008

Please complete the form. If a column is not applicable, specify NONE.

JUL i 12013BYL~H1CS COMM

13. List below the nature and amount of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest, dividends, income derived from a trust, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income from a business or profession andreal estate rents shall be reported with the source identified by the building address in the case ofreal estate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

SeW P!-~ Pc~ ~ ..~.€4p~

NAME

TITLE of POSITION MEM 8EPI OP

ADDRESS of PRESENT OFFICE Lb3 551 ~ .~, N”L 12.2~1+B

-7/, 0/12

ignature otReporting Individual Dale (m6nthlday/year)

Category A- under $5,000, Category B- $5,000 to under $20,O00, Category C- $20,000 to funder $60,000, Category U- $60,000 to under $100,000, Category E- $100,000 to under$250,000, Category F- $250,000 or over. Indicate the Category by letter only

Self’Spouse Source Nature Category of Amount

0

LEGISLATiVE ETHICS COMMISSION

STATE OF NEW YORKMAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBAI’ft ~J_I~3j7_

• -. A LOCATION: ALFRED B. SMITH OFFICE BUILDING • SUITE 1431 ALIA~~’W 12~4tBLS(OS PHONE: (51S~ 432-7837/7838 FAX: ~518~ 426-6850 ~ ‘~‘

Question 9 AMENDMENT FORM JL ~

For Calendar Year ~oo~ By

LE~ICSPlease complete the form. If a column isnót applicable specie NONE. COMM.

9. List each source of gifts, EXCLUDING eam~aign contributions, in EXCESS of $1,000,received during the reporting period for which this statement is filed by the reportingindividual or such individual’s spouse or unemancipated child from the same donor,EXCLUDING gifts from a relative. INCLUDE the name and address of the donor. The term“gifts” does not include reimbursements, which term is defined in item 10. Indicate the valueand nature of each such gift. (see Table I)

CategorySelf, of

Spouse or Name of Nature Value ofChild Donor Address of Gift Gift

(In Table I)

5Q1Q Ubroik 5i~iI R~veil~ Yhlis~ CA Posstvci 2iease.ca roc’e( sheekSgovst ~fl~llJl≤tA ~scvet’ ~t eo..~e £JaiSa~Q rokt tss Pca4~kW SI-avso~ Plea c~ ra~eC sttef~5 +ro~, ~4 5J’av _________

_____ fl~acta Co’-e~ sLs~b

14oiisQ~ XktS4caa~s Preettir. PSI StPccnS Plecz≤z LLC

Name: tbci li’4~~

Title of Position: _______

Address of Present Offlce:J3/p q~~f’5~r~j, £rco/.’c4~~~ 141Y Na/I

________________________ 7/’r/.’s

(Signature of reporting individual) Date (mod~h/day/year)

A LEGISLATIVE ETHICS COMMISSION

~fl~t STATE OFNEWYORK..~t FW’t~j I LOCATION ALFRED E SMITH • SUITE 1431 • STATE OFFICE EuflDjNç~

MAILING ADDRESS I EGISLATIVI- OFFICE BUILDING . A~$fN?4 t~ ~ Li \‘~,PHONE (518) 432 7837 7838 FAX (518) 42&68~o’ 4

‘~‘LU LL MAY 06 2008Annual Statement of Financial Disclosure

- For Calendar Year 2007

1. Name toV 4k~K ~‘J) 1

2. (a) Title of Position ________________________________


(c) Address of Present Office 1-02 ~ T~ksen~ iV~ /2.29Y(d) Office Telephone Number _______________________

3. (a) Marital Status 11 . If married, please givespouse’s full name including maiden name where applicable.


)/u~7*’ThaAJ

INSTRUCTIONS


Whenever a ‘value” or ‘amount” is required to be reported herein,such, value or amow-it shall be reported as being within one of thefollowing Categories: Category A - under $5,000; Category B -

$5,000 to under $20,000; Category C- $20,000 to under $60,000;Category 0 - $60,000 to under $100,000; Category E - $100,000to under $250,000; and Category F - $250,000 or over. A reportingindividual 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 31stpreceding the date of tiling of the annual statement.

L.EC. Form 1 (3/99)

4. (a) List any office, trusteeship, directorship,partnership, or position of any nature, whethercOmpensated or not, held by the reporting individual withany firm, corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensáted honorary positions. If. the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entilEy, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.


~4yflC~

(b) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the spouse or unemancipatedchild of the reporting individual, with any firm,corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency,- was regulatedby any state regulatory agency or local-agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.


L.E.c. Form 1 (3/99)

2

5. (a) List the name, address and description of anyoccupation, employment, (other than the employmentlisted under Item 2 above), trade, business orprofession engaged in by the reporting individual. Ifsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business or activity of said entity, did businesswith, or had matters other than ministerial mattersbefore, any state or local agency, list the name of ahysuch agency. -

Name & Address - state orPosition of Organization Description Local Agency



. flofl~

6. List any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orunemancipated child, or partnership of which any suchperson is a member, or corporation, 10% or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the name

L.PLc. Form 1 (3/99) -

-3

of the entity which holds such interest and therelationship of the reporting individual or suchindividual’s spouse or such child to such entity and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligationsunder the contract except for guarantees and warrantieshave been performed, provided, however, that such aninterest must be listed if there has been an ongoingdispute during the calendar year for which this statementis filed with respect to any such guarantees orwarranties. - Do NOT list any interest in a contract madeor executed by a local agency after - public notice andpursuant to a process for competitive bidding or aprocess for competitive requests for proposals.

Entity Relationship contracting categoryself, Which Held to Entity State or ofSpouse Interest in and Interest Local Value ofor child contract in contract Agency contract

7. List any position the reporting individual held as anofficer of any political party or political organization,as a member of any political party committee, or as apolitical party district leader. The term “party” shallhave the same meaning as “party” in the election law. Theterm “political organization” means any party orindependent body as defined in the election law or anyorganization that is affiliated with or a- subsidiary of aparty or independent body.

m~~ ~ (~ ~ç?~y~

8. (a) If the reporting individual practices law, is licensedby the department of state as a real estat-e broker oragent or practices a profession licensed by the departmentof education, give a general description of the principal

4

subject areas of matters undertaken by such individual.Additionally, if such an individual practices with a firmor corporation and is a partner or shareholder of the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorporation. Do not •list the name of the individualclients, customers or patients.

flv~7C~

(b) List the name, principal address and generaldescription or the nature of the business activity of anyentitV in which the reporting individual or suchindividual’s spouse had an investment in excess of $1,000excluding investments in securities and interests in realproperty.

fl~9. List each source of gifts, EXCLUDING campaign

contributions, in EXCESS of $1,000; received during thereporting period for which this statement is filed by thereporting individual or such individual’s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does nOt include reimbursements,which term is defined in item 10. Indicate the value andnature of each such gift.

Self, category ofSpouse or Name of Nature Value ofchild Donor Address of Gift Gift

10. Identify and briefly describe the source of any reimbursements for expenditures, EXCLUDING campaign expendituresand expenditures in connection with official duties

5

reimbursed by the state, in EXCESS of $1,000 from each suchsource. For purposes of this item, the term ‘reimbursements”shall mean any travel-related expenses provided bynongovernmental sources and for - activities relatedto the reporting individual’s official duties’ such as,speakingengagements,conferences, or factfinding events. The term“reimbursements” does NOT include gifts reported underitem 9.

Source Description -

11. List the identity and value, if reasonably ascertainable,of each interestin a trust, estate or other beneficialinterest, including retirement plans other than retirementplans of the state of New York or the city of New York,. anddeferred compensation plans (e.g., 401, 403(b), 457, etc.)established in accordance with the internal revenue code, inwhich the REPORTING INDIVIDUAL held a beneficial interest inEXCESS of $1,000 at any time during the preceding year. DoNOT report interests in a trust, estate or other beneficialinterest established by or for, or the estate of, a relative.

category ofTdentity Value*

I ,‘


12. (a) Describe the terms of,, and the parties to, anycontract, promise, or other agreement between thereporting individual and any person, firm, or corporationwith respect to the employment of such individual afterleaving office or position (other than a leave ofabsence)

6

Cb) Describe the parties to and the terms of any agreementproviding for continuation pf payments or benefits to theREPORTING INDIVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THAN the State. (This includes interestsin or contributions to a pension fund, profit-sharingplan, or life or health insurance; buy-out agreements;severance payments; etc.)

~.

. fly’)

13. List below the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting individualand such individual’s spouse for the taxable year lastoccurring prior to the date of filin~. Nature of incomeincludes, but is not limited to, all income (other thanthat received from the employment, listed under Item 2above) from compensated employment whether public orprivate, directorships and other fiduciary positions,contractual arrangements, teaching income, partnerships,honorariums, lecture fees, consultant fees, bank and bondinterest, dividends, income derived from a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from abusiness or profession and real estate rents shall bereported with the source identified by the buildingaddress ‘in the case of real estate rents and otherwise bythe name of the entity and not• by the name of theindividual customers, clients or tenants, with theaggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received inconnection with a matrimonial action, alimony and childsupport payments shall not be listed.

CategorySelf! ofSpouse Source Nature Amount

SPeuJt YRP.c~~cp0ok .rnte.iesT —

7

14. List the sources of any deterred income (not retirementincome) in EXCESS of $1,000 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, other than deferred compensation reported in item11 hereinabove. Deferred income derived from the practiceof a profession shall be listed in the aggregate and shallidentify as the source, the name of the firm, corporation,partnership or association through which the income wasderived, but shall not identify individual clients.

- - category ofsource Amount

15. List each assignment of income in EXCESS of $1,000, and eachtransfer 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 otherbeneficial interest,, securities or real property, by thereporting individual, - in excess of $1,000, which wouldotherwise be required to be reported herein and is not orhas not been so reported.

categoryItem Assigned Assigned or ofor Transferred Transferred to Value

..

16. List below the type and market value of securities held bythe reporting. individual or such individual’s spouse fromeach issuing entity in EXCESS of $1,000 at the close of thetaxable -year last occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting individual , issued by aprofessional corporation. Whenever an interest in securities exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spouse

8

has transferred assets to such trust for his or her benefitin which event such securities shall be listed unless theyare not ascertainable by the reporting individual becausethe trustee is under an obligation or has been instructed inwriting not to disclose the contents of the trust to thereporting individual. Securities of which the reportingindividual or the reporting individual’s spouse is the ownerof record but in which such individual or the reportingindividual’s spouse has no beneficial interest shall not belisted. Indicate percentage of ownership ONLY if thereporting person or the reporting person’s spouse holds morethan five percent (5%) of the stock of a corporation inwhich 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 forinvestment purposes by a corporation more than fifty percent(50%) of the stock of which is owned or controlled by thereporting individual or such individual’s spouse. For the•purpose of this item the term “securities” shall mean mutnalfunds, bonds, mortgages, notes, obligations, warrants andstocks of any class, investment interests in limited orgeneral partnerships and certificates of deposits (Cs) andsuch other evidences of indebtedness and certificates ofinterest as are usually referred to as securities. Themarket value for such securities shall be reported only ifreasonably ascertainable and shall not be reported if thesecurity is an interest in a general partnership that waslisted in item 8(a) or if the security is corporate stock,NOT publicly traded, in a trade or business of a reportingindividual or a reporting individual’s spouse.

Percentageof corporatestock owned category ofor controlled Market ValueCif more than as of the5* of publicly close of thetraded stock, taxable yearor more than last occur-10% of stock ring prior tonot publicly the filing


17. List below the location, size, general nature, acquisitiondate, market value and percentage of ownership of any realproperty in which any vested or contingent interest inEXCESS of $1,000 is held by the reporting indiyidual or thereporting individual’s spouse. Also list real propertyowned for investment purposes by a corporation more thanfifty percent (50%) of the stock of which is owned or

9

controlled by the reporting individual or such individual’sspouse. Do NOT list any real property which is the primaryor secondary personal residence of the reporting, individualor the reporting individual’s spouse, except where there isa co-owner who is other than a relative.

Self/ . - . Percent-Spouse Acqui- age of categorycorpor- , General sition Owner- of Marketation Location Size Nature Date ship Value

~i≥Jqs~ ‘~~h~~W7 . fl7v ‘

18. List below all notes and accounts receivable, other thanfrom goodi or services sold, held by the reportingindividual at the close of the taxable S’ear last occurringprior to the date of filing and other debts owed ‘to suchindividual, at the close of the taxable year last occurringprior to the date of filing, in EXCESS of $1,000, includingthe name of the debtor, type of obligation, date due.andthe nature of the collateral securing payment of each, ifany, excluding securities reported in item 16 hereinabove.Debts, notes and accounts receivable owed to the individualby a relative shall not be reported.

Type of Obligation, category• - Date Due, and Nature of


• /1/.

, ,

19. List below all liabilities of the reporting individual andsuch individual’s spouse, in EXCESS of $5,000 as of the date

• of filing of this statement, other than liabilities to arelative. Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual’s spouse or by any proprietorship, partnership orcorporation in . which the reporting individual or suchindividual’s spouse has an interest, when incurred or madein the ordinary course of the trade, business or professional practice of the reporting individual • or such

•1o

individual’s spouse. Include the name of the creditor andany collateral pledged by such individual to secure paymentof any such liability. A reporting individual shall notlist any obligation to pay maintenance in connection with amatrimonial ‘action, alimony or child support payments. Anyloan issued in the ordinary course of business by afinancial institution to finance educational costs, the costof home purchase or improvements -for a primary or secondaryresidence, or purchase of.a personally owned motor vehicle,household furniture or appliances shall be excluded. If anysuch reportable liability has been guaranteed by any thirdperson, list the liability and name the guarantor.

categoryName of creditor Type of Liability ofor Guarantor and collateral, if any Amount

. ~Th -

The requirements of law relating to the reporting of thefinancial interests are in the public interest and no adverseinference of unethical or illegal -conduct or behavior will bedrawn •m ly from compliance with these requirements.

(Sig iIce ~ eforting Individual) Date (month/day/year)

II


MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBLOCATION: ALFRED E. SMITH OFFICE BUILDING • SUITE 1431• - 14

PHONE: (518) 432-7837/7838 FAX: (518) 426-6850QUESTION 13 AMENDMENT FORM JUL ~

For Calendar Year ~OO1BY

Please complete the fonu. If a column is not applicable, specify NONE. LEG. ETHICS COMM.

13. List below the nature and amount of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest, dividends, income derived from a trust, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income froth a business or profession andreal estate rents shall be reported with the source identified by the building address in the case ofreal estate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

SelflSpouse Source Nature Category of Amount

9e\4’ ~ z____

NAME Do~ Hviw~TITLE of POSITION P~em8E2~ tcADDRESS of PRESENT OFFICE La3 .355’L, 4~i_~p-rQ~, N~ rl-2-9-~

~ 7/io/~S gnature of Rep ng Individual Dá’te (in nthlday/year)

Category A- under $5,000, Category B- $5,000 to under $20,000, Category C- $20,000under $60,000, Category D- $60,000 to under $100,000, Category E- $100,000 to under$250,000, Category F- $250,000 or over. Indicate the Category by letter only

C


MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBANY ~Jfl47LOCATION: ALFRED E. SMITH OEFICE BUILDING • SUITE 1431 . ALa8(rti(’?2 VE ri

PHONE: (518) 432-7837/7838 FAX: (518) 426-6850

Question 9 AMENDMENT FORMFor Calendar Year ~.Otfl BY

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 reportingindividual or such individual’s spouse or unemancipated child from the same donor,EXCLUDING gifts from a relative. INCLUDE the name and address of the donor. The term“gifts” does not include reimbursements, which term is defined in item 10. Indicate the valueand nature ofeach such gift. (see Table I)


~IP D~rc14~SkM.~,nUSC £&of~j Slot1~oIQ 3~he~àiuss£~vse~ S~4t c+~c

Categoryof

Nature Value ofAddress of Gift Gift

(In Table I)

~eveh( IJtIk~ck(~rct>4% vY

Name: ~E)~)1~ /Vk~,~’~1Title of Position:_,,4cse..~LJ~ n—4fl

V

7)’.sytaDate (month/day/year)

~tcELsIo;

Please complete the form. If a cohinm is not applicable specify NONE. LE~ICSC~1

Pus≤nwr P1ea~e 2eefleace cae ra~er leArc/ease Lee a-S

~e ,‘,o~.e

Address of Office: /3/0 ‘/2 ~ S4ee~grc~/tjnj,Vy 11v9

C


DELIVER TO: ALFRED E SMITH OFFICE BUILDING • SUITE L4MAILING ADDRESS LEGISLATIVE OFFICE BUILDING • BOX 75•

PHONE: (518) 432-7837/7838 • FAX: (518) 42’

Fbr Calendar Year 2006


Cc) Address of Present Office

(d) Office Telephone Number -

LoS s-s-i, ~L~e~”-f Nt! ,~~2.ayP

3. (a) Marital Statusspouse’s full name

If married, please giveincluding maiden name where applicable.


\/u~i’tt-~Ca&). ~h~eL

IJ.E.C. Form 1 (3/99)

Annual Statement of Financial Di

1. Name

2. (a) Title of Position

R 172007

ynens3eg OF

LEG. ETHICS COMM.

INSTRUCTIONS

?lnswer each of the following ~iiestions -completely, with respect tocalendar year 2006, unless another period or date is otherwisespecified. 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 thefollowing Categories: Category A - under $5,000; Category B -

$5,000 to under $20,000; CategoryC - $20,doo to under $60,000;Category U - $60,000 to under $100,000; Category E - $100,000to under $250,000; and Category F - $250,000 or over. A reportingindividual shall indicate the -Category by letter only.

whenever Ttincome~t is required to be reported herein, the term- “income’shall mean the aggregate net income before taxes -from the sourceidentified.

The tern “calendar year” shall mean the year ending the December 31stpreceding the date of filing of the annual statement.

I

4. (a) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the reporting individual withany firm,, corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters beforer any state or local

- agency, list the name of any such agency.


~%%~~O

(b) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the spouse or unemancipatedchild of the reporting individual, with any. firm,corporation, association, partnership, or otherorganization other than the State of New York- Includecompensated honorary positions; do NOT list membership, oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part ‘of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any~ such agency.

State orPosition Organization ‘ Local Agency

I..E.C. Form 1 (3/99)

2

5. (a) List the name, address and description of anyoccupation, employment, (other than the employmentlisted under Item 2 above), trade, business orprofession engaged in by the reporting individual. Ifsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business or activity of said entity, did businesswith, or had matters other than ministerial mattersbefore, any state or local agency, list the name •of anysuch agency.

Name •& Address State orPosition of organization Description Local Agency

(b) If the spousç or unemancipatedchild of the reportingindividual was engaged in any occupation, employment,trade, business or profession which activity was licensedby any state or local agency, was regulated by any stateregulatory agency ~or local agency, or, as a regular andsignificant part of the business or activity of saidentity, did business with, or had matters other thanministerial matters before, any state or local agency,list the name, address and descriptj.on of such occupation,employment, trade, business or profession and the name ofsuch agency.


6. List any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orimemancipated child, or partnership of which any suchperson is a member, or corporation, 10% or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the name

L.E.C. Form 1 (3/99)

3

of the entity which holds such interest and therelati0n5~P of• the ~eportifl~ individU~ or suchindivid~3al’5 spouse or such child to such entitY and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligat~0~k5under the contract except for guarantees and warrantieshave been perfOrxfleL provideds however, that such aninterest must be listed if there has been an ongoingdispute during the calendar year for which this statementis filed with respect to any such guarantees orwarranties. Do NOT list any interest in a contract madeor executed by a local agency -after ~ptbliC notice~ andpursuant to a process for compet.it2~ ~jdding or aprocess for competitive requests for proposals.

Entity Relati011Sh1~.P contracting Categon’

Self, Which Keld to EntitY state or ofSpouse Interest in and IntereSt L0CB1 value ofor ebild contract in contract AgencY Contract

7. List zany position the reporting - individu~ held as anofficer of any political party or political orgafliZatbont~as a member of any ~0litica1 party ~0~ittee1 or as a~olitica1 party district leader. The tern’ npartyM shallhave the same meaning as npartY in the election law. Theterni npolitical organiZat~.o1~ means any party orindependent body as defined in the election law or any

- organization that is affiliated with or a 8~bsidiafl’ of aparty or independent body.

r~½.c~c\cT

B. (a) If the reporting Individual practices law, is licensedby the department of state as a real estate broker oragent or practices a profession ilcensed by the departmentof education, give a general description of the princiPal

4

subject areas of matters undertaken by such individual.Additionally, if such an .individual.practices with a firmor corporation and is a partner or shareholder of •the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorporation. Do not list the name of the individualclients, customers or patients.

(hi List the name, principal add~ess and generaldescription or the nature of the business activity of anyentity in which the repotting individual or suchindividual’s spouse had an investment .in excess of $1,000excluding investments in securities and interests in realproperty.

9. List each source of gifts, EXCLUDING campaigncontributions, in EXCESS of $1,000,. received during thereporting period for which this statement is filed by thereporting individual or . such individual’s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does not include reimbursements,which term is defined in item 10. Indicate the value andnature of each such gift.

Self, . Category ofSpouse or Name of . - Nature Value ofChild Donor Address of Gift Gift

. .


5

reimbursed by the state, in EXCESS of $1,000 from each suchsource. For purposes of this item, the term “reimbursements”shall, mean any travel-related expenses provided bynongovernmental -sources. and for activities relatedtothereporting individual’s official duties such as, speakingengagements, conferences, or factfinding events. The term“reimbursements” does NOT include gifts reported under item9.

Source Description-I

11. List the identity and value, if reasonably ascertainable,of each interest in a trust, estate or other beneficialinterest,, including retirement plans other than retirementplans of the’ state of New York or the city of New York, anddeferred competsation plans (e.g., 401, 403(b), 457, etc.)established in accordance with the internal revenue, code, inwhich the REPORTING INDIVIPUAL held a beneficial “inte”rest inEXCESS of $1,000 at any time during the preceding year. DoNOT report interests in a trust, estate or other beneficialinterest established by or for, or the estate of, a relative.

Category ofIdentity . Value*

n-~---~¶N°

*the value of such intereBt shall he reported only if reasonably ascertainable.

12. (a) Describe the terms of, and the parties to, anycontract, ‘ promise, or , other agreement between thereporting individual and any person, firm, or corporationwith respect to the employment of such individual afterleaving office or position (other than a leave ofabsence).

6

(b) Describ.e the parties to and the terms øf any: agreementproviding for continuation of payments or ,ben~fits to theREPORTING IN IVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THAN the State. (This inqludes interestsin or contributions to a pension fund, profit-sharingplan, or life or health insurance; buy-out agreements;severance payments;etc.)

13. List below• the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting, individualand such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of incomeincludes1 but is not limited to, all income (other thanthat received, from the employment listed under Item 2above) from compensated employment whether public orprivate, ‘ directorships and other fiduciary positions,contractual arrangements, teaching income, partnerships,honorariums, lecture fees, consultant’ fees,• bank and bondinterest, dividónds, income derived from a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from abusiness or profession and real estate. rents shall bereported with the’ source identified’ by the buildingaddress in the case of, real estate rents and otherwise bythe name of the entity and not by the name of theindividual customers, clients or tenants, with theaggregate’ net income before taxes for each building

• address or entity. The receipt of maintenance received inconnection with a matrimonial action, alimony and childsupport payments shall not be listed.

CategorySelf/ ‘ ‘ ofSpouse Source Nature Nuount

5?D’-’it :i-fP i~;r.c~%4tf.s44~’4~ c~& ~y*~esr

7

14. List the sources of any deferred income (not retirementincome) in EXCESS of $100.0 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, other than deferred compensation reported in item11 heteinabove. Deferred income derived from the practiceof a profession shall be listed in the aggregate and shallidentify as the 8ource, the name, of the firm, corporation,partneréhip or association - through which the indome wasderived, but shall not identify individual clients.

Category ofSource - aoimt

.. -

15. List each assignment of income in EXCESS of $1,000, andeach transfer other than to a relative during thereporting period for which this statement is filed forless than fair consideration of an interest in a trust,estate or other beneficial interest,• securities or realproperty, by the reporting individual, in excess of$1,000, which would otherwise be required to be reportedherein and is not or has not been so reported.

Category- Item Assigned Assigned or ofor transferred Transferred to value

16. List below the type and market ~a1ue of securities held bythe reporting individual or such individual’ s spouse fromeach issuing entity in EXCESS of $1,000 at the close of: thetaxable year last: occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting individual issued by aprofessional corporation. Whenever anintereátin seôurities exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spouse

S

• ha transferred assets to such trust for his or her benefit in: which event such securities shall be listed unless they are notascertai~le ~by the•• reportjjj~ individual because the trusteeis under an obligation or has been instructed in writing not todisclose the contents of the trust to the reporting individualSecurities of which the reporting individual or the reportingindividual’s spouse is the owner of record but in which suchindividual or the reporting individual ‘s spouse has nobeneficial interest shall not be listed. Indicate percentageof ownership ONLY if the reporting person, or the reportingperson’s spouse holds more than five percent (5%) •of the stockof a corporation in which the stock is publicly traded or morethan ten percent (10%) of the stock of a corporation in whichthe stock is NOT publicly traded. Also list securities ownedfor investment purposes by a corporation more.. than fiftypercent (50%) of the stock of which is Owned or controlled bythe reporting individual or such individual’s Spouse - For thepurpose of this item the term “securities’, shall mean mutualfunds, bonds, mortgages, notes, obligations1 warrants andstocks of any claés, investment interests in limited or generalPartnerships and certificates of deposits (ODs) and such otherevidences of indebtetess and certificates of interest as areusually referred to as securities - The market value for suchsecurities shall be reported oily if reasonably ascertainai,leand shall not be reported if the security is. an interest in ageneral partnership that was listed in ‘item 8(a) or if thesecurity is corporate stock, NOT publicly traded; in a trade orbusiness of a reporting. individual or a reporting individual’sspouse -

Percentageof corporatestock owned Category ofor Controlled Market Value(if more than as of the

5% of publicly close of thetraded stock, taxable year

- or more than last occur-10% of stock ring prior tonot publicly the filingSelf? ISSuing Type of traded; is •~f this

Spouse Entity Security held) statement

• .

17. List below the location, size, general nature, acglaisitjondate, market. value and Percentage of ownership of any realproperty in which any Vested or contingent interest in EXCESSof $1,000 is held by the~or the reportingindividual’s spouse. Also list real property owned forinvestment purposes by a Corporati~~ more than fifty percent(50%) of the stock of which is owxied or controlled by thereporting individual or such Individual’s spouse. Do NOT list

any real property which is the primary or secondary personalresidence of the reporting individual or the reportingindividual’s spouse, except where there is a -co-owner ~who is•other than a relative.

Self! Percent-Spouse Acqui- age of CategoryCorpor- General sition Owner- of Marketation Location Size Nature Date ship Value

~4r~ ..• -

18. List below all notes and accounts receivable, other thanfront goods or services sold, held by the reportingindividual at the close of the taxable year last occurringprior to the date of filing and other debts owed to such

• individual at. the close, of the taxable year last occurringprioz~ to the date of filing, in EXCESS of $1,000, includingthe name of the debtor, type of obligation, date due andthe nature of the, collateral sectring payment of each, ifthy, excluding securities reported in item 16 hereinabove.Debts, notes and accounts receivable owed to the individualby a relative’ sháil not be reported.

Type of Obligation, CategoryDate Due, and Nature of

Name of Debtor of Collateral, if any - Amount

91

19. List below all liabilities of the reporting individual andsuch individual’s spouse, in EXCESS of $5,000 as of the dateof filing of this statement, other than liabilities to arelative. Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual ‘ s spouse or by any proprietorship, partnership or’corporation in which the reporting individual or sudhindividual ‘s spouEç has an interest, when incurred or madein the ordinary course of the trade, business or professional practice of the reporting individual or such

• individual’s spouse. Include the name of the creditor and

in

• - - any collateral pledged by• such individual to secure paymentof any such liability. A reporting individual shall notlist any obligation to pay maintenance~ -in connection with amatrimonial action, alimony or child support payments. Miyloan issued in the, ordinary course of business by afinancial institution to finance educational costs, the costof home purchase or improvements for a primary or secondaryresidence, or purchase of a personally owned motor vehicle,household furniture or appliances shall be excluded - If anysuch reportable liability has been guaranteed by any thirdperson, list, the liability and name the guarantor.

CategoryName of Creditor Type of Liability of

or Guarantor and COllateral; if any ~iuOunt

,Th~

The requirements of law relating to the reporting of thefinancial interests are in the public interest and no adverseinference ofunethical or illegal conduct or behavior will bedrawn mere • from compliance, with these requirements.

________________ ~ 17 a2pVY

(Si~i≤&ture ot~eporting Individual) Date (month/day/year)

11

LEGISLATIVE ETHICS COMMISSIONSTATE OF NEW YORI~~~~

MAIL: LEGIS~TIVE OFFICE BUILDING • BOX 75 • ALBANY N~WYOR~~~LO~TION: ALFRED E. SMITH OFFICE BUILDING • SUITE 1431 ~ -‘ ~‘ L~ fl

PHONE (518)4327837/7838 FAX (5I8)426685~’ ~

ki NAY 082007 ~iBy

Please complete the form. If a question is not applicable specify NONE.

10. Identify and briefly describe the source of any reimbursements for expenditures, EXCLUDINGcampaign expenditures and expenditures in connection with official duties reimbursed by the state, inEXCESS of $1,000 from each such source. For purposes of this item, the term ~reimbursementS” shallmean any travel—related expenses provided by nongovernmental sources and for actMties related to thereporting individual’s official duties such as, speaking engagements, conferences, or facttinding events.The term Mreimbursemen4isw does NOT include gifts reported under item 9.

Pof 921 4ççSq’vo/i’cg cJu’~4

VoVName:

Title of Position: ~ ‘1~

Address of Present Office: ____________ S —

Iffi’fgnature of-r~orting individual)

QUESTION 10 AMENDMENT FORMfor Calendar Year .~OOL

Sourcevl1ln~StAt1 of

Description— GooZ~ LJi9I

âJ≤e~14/i

Date (month! da// year)

I~I PRLNTW ON flECYCLED PAPEA


MAIL LEGISLATIVE OFFICE BUILDING. BOX 75 ALBANY, NEW YORK 12247LOCATION: ALFRED S SMITH OFFICE BUILDING SUITE 1431 • ALBANY; N~9 1-2247

PHONE: (51814324837/7838 FAX: 1518) 426-6850

QUESTION 13 AMENDMENT FORM JUN 0 6 2007ForCalendarYear_____ /

Please complete the form If a column is not applicable, specify NONE -- - —

13. List below the nature and amOunt of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bank andbond interest, dividends, income derived from a trust, real estate rents, and recognized gains fromthe sale or exchange of real or other property. Income from a business or profession and realestate rents shall be reported with the source identified by the building address in the case of realestate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

CategorySelf’ ofSpouse

caje .~ (I-4’/~’ —~~_--Sqmc.

_____ -

Date (month/day/year)

Source Nature Amount

Name: ThO~Title of Position:

Address o,,yt%t Office:

~4e ,4~senub¼

~nt s~/t~3’c

SigMture ofReportti Individual


MAlL: LEGISLATIVE OFFICE BUILDING • BOX 75 • AL~I’L~NY 12247LOCATION: ALFRED E. SMITH OFFICE BUILDING • SUITE 14~4A~L~ThYEJfttE fl

PHONE: (528) 432-7837/7838 FAX: (528) 426!685~ ~.O ~

QUESTION 13 AMENDMENT FORM ~For Calendar Year 200(p ~!L’L I 2~t3

Please complete the form. If a column is not applicable, specify NONE. bL\~t;_~tF1ics COMM.

13. List below the nature and amount of any income in EXCESS of $1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, all income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest dividends, income derived from a trust, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income from a business or profession andreal estate rents shall be reported with the source identified by the building address in the case ofreal estate rents and otherwise by the hame of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

Selffspouse Source Nature Category of Amount

______ _________&41’oioz_~

NAME

TITLE of POSITION ~~-lcHAER lIP

ADDRESS of PRESENT OFFICE •~ A~ Bnt{M N.”~I 1211fb

Si ature ofRepord~ Individual Dat4 (mo(2thlday/year)

7Category A- under $5,000, Category B- $5,000 to under $20,000, Category C- $20,000 tounder $60,000, Category D- $60,000 to under $100,000, Category E- $100,000 to under$250,000, Category F- $250,000 or over. Indicate the Category by letter only

0

LEGISLATiVE ETHICS. COMMISSIONSTATE OF NEW YORK

~v1AIL: LEGISLATIVE OFFICE BUILDING • BOX 75’ ALBANt NY,a22~ -

LOCATION ALFRED E SMITh OFFICE BUILDING • SUITE 1431’ ALB~~(fl%~ i~/ ~PHONE: (518) 432-7837/7838 FAX: (518) 426-6850 Lzr

Question 9 AMENDMENT FORMFor Calendar Year ~. OO~,

Please complete the form. If a column is not applicable specify NONE.

BY

9. List each source of gifts, EXCLUDING campaign contributions, in EXCESS of S 1,000,received during the reporting period for which this statement is filed by the reportingindividual or such individual’s spouse or unemancipated child from the same donor,EXCLUDING gifts from a relative. INCLUDE the name and address of the donor. The term“gifts” does not include reimbursements, which term is defined in item 10. Indicate the valueand nature of each such gift. (see Table I)

Name: \≥~oL? litkJTitle of Position:

(JAddress of1toffice:)3/o~st~ S+reef

Self,SpouseChild

or Name ofDonor Address

Categoryof

Natureof Gift

(In Table 1)

Value ofGift

yelP TQke c+m~≤c B’tokhjn. /V’1 Svccos Rc~f≤?t~ ~ &c’pJI~. 1W c~,ceos~ F,rs~l

?Iecce sat co~-ec shee+~e Ca’er ~kee+

1(11’ //,fl

7Ji-r),a(Sig&ture of repqØifig individual) Date (month/day/year)

02 ~ Ltiu~BY

DisclosureFor Calendar Year 2005

1. Maine

2. (a) Title of Position In sm6tk OF


(c) Address of Present Office LoB -(d) Office Telephone Number 618

3. (a) Marital Status ____________

spouse’s full name including maiden name where applicable.

/HK~J1(b) List the names of all unemaricipated children.

9on q~4fl

≤A M~)tL,

INSTRUCTIONS


Whenever a “value” or “amount” is required to be reported herein,such value or amount shall be reported as being within one of thefollowing Categories: Category A - under $5,000; Category B -

$5,000 to under $20,000; Category C - $20,000 to under $60,000;Category 0 - $60,000 to under $100,000; Category E - $100,000to under $250,000; and category F - $250,000 or over. A reporting Iindividual shall indicate the category by letter only.


The term “calendar year” shall mean the year ending the December 31stpreceding the date of filing of the annual statement.

L.E.c. Form 1 (3/99)

Legislative Ethics Committee

Box 75, LOB, AESOB 14th Fl.

Albany, New York 12247

(518) 432-7837/7838

≤≤), cie4n’1 ~v.’j. /~2~

If married, please give

1

4. (a) List any office,, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the reporting individual withany firm, corporation, association, partnership, or otherdrganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan, ministerial matters before, any state or localagency, list the name of any such agency.

State orPosition ‘ Organization Local Agency

“-C-—-

(b) List any office, trusteeship, directorship,partnership, or position of any nature, whethercompensated or not, held by the spouse or unemancipatedchild of the reporting individual, with any firm,corporation, association, partnership, or otherorganization other than the State of New York. Includecompensated honorary positions; do NOT list membership oruncompensated honorary positions. If the listed entitywas licensed by any state or local agency, was regulatedby any state regulatory agency or local agency, or, as aregular and significant part of the business or activityof said entity, did business with, or had matters otherthan ministerial matters before, any state or localagency, list the name of any such agency.


Nk~

L.E.C. Form 1 (3/99)

2

5. (a) List the name, address and description of anyoccupation, employment, (other than the employmentlisted under Item 2 above), trade, business orprofession engaged in by the reporting individual. Ifsuch activity was licensed by any state or localagency, was regulated by any state regulatory agency orlocal agency, or, as a regular and significant part ofthe business or activity of said entity, did businesswith, or had matters other than ministerial mattersbefore, any state or local agency, list the name of anysuch agency.

Name & Address state orPosition of Organization Description Local Agency

owi7’42~



*

6. List any interest, in EXCESS of $1,000, held by thereporting individual, such individual’s spouse orunemancipated child, or partnership of which any suchperson is a member, or corporation, 10% or more of thestock of which is owned or controlled by any such person,whether vested or contingent, in any contract made orexecuted by a state or local agency and include the name

L.E.C. Form 1 (3/99)

3

6,

of the entity which holds such interest and therelationship of the reporting individual or suchindividual’s spouse or such child to such entity and theinterest in such contract. Do NOT include bonds andnotes. Do NOT list any interest in any such contract onwhich final payment has been made and all obligationsunder the contract except for guarantees and warrantieshave been performed, provided, however, that such aninterest must be listed if there has been an ongoingdispute during the calendar year for which this statementis filed with respect to any such guarantees orwarranties. Do NOT list any interest in a contract madeor executed by a local agency after public notice andpursuant to a process for competitive bidding or aprocess for competitive requests for proposals.

EntityWhich HeldInterest inContract

Relationshipto Entityand Interestin Contract

ContractingState orLocalAgency

flofl~

7. List any position the reporting individual held as anofficer of any political party or political organization,as a member of any political party committee, or as apolitical party district leader. The ten “party” shallhave the same meaning as “party” in the election law. Theterm “political organization” means any party orindependent body as defined in the election law or anyorganization that is affiliated with or a subsidiary of aparty or independent body.

~i6TricT L~~L~g

8.~ (a) If the reporting individual practices law, is licensedby the department of state as a real estate broker oragent or practices a profession licensed by the departmentof education, give a general description of the principal

4

Self,Spouseor child

CategoryofValue ofContract

subject areas of matters undertaken by such individual.Additionally, if such an individual practices with a firmor corporation and is a partner or shareholder of the firmor corporation, give a general description of principalsubject areas of matters undertaken by such firm orcorpotation. Do not list the name of the individualclients, customers or patients.

~pn-C_

(b) List the name, principal address and generaldescription or the nature of the business activity of anyentity in which the reporting individual or suchindividual’s spouse had an investment in excess of $1,000excluding investments in securities and interests in realproperty.

9. List each source of gifts, EXCLUDING campaigncontributions, in EXCESS of $1,000, received during thereporting period for which this statement is filed by thereporting individual or such individual’s spouse orunemancipated child from the same donor, EXCLUDING giftsfrom a relative. INCLUDE the name and address of thedonor. The term “gifts” does not include reimbursements,which ten is defined in item 10. Indicate the value andnature of each such gift.

Self, Category ofSpouse or Name of Nature Value ofChild Donor Address of Gift Gift

flofrQ_~


5

reimbursed by the state, in EXCESS of $1,000 from each suchsource. For purposes of this item, the ten “reimbursements”shall mean any travel-related expenses provided bynongovernmental sources and for activities relatedtothereporting individual’s official duties such as, speakingengagements, conferences, or factfinding events. The termPlreimbursementsM does NOT include gifts reported under item9.

Source Description

11. List the identity and value, if reasonably ascertainable,of each interest in a trust, estate or other beneficialinterest, including retirement plans other than retirementplans of the state of New York or the city of New York, anddeferred compensation plans (e.g., 401, 403(b), 457, etc.)established in accordance with the internal revenue code, inwhich the REPORTING INDIVIDUAL held a beneficial interest inEXCESS of $1,000 at any time during the preceding year. DoNOT report interests in a trust, estate or other beneficialinterest established by or for, or the estate of, a relative.

Category ofIdentity Value*

- —



6

(b) Describe the parties to and the terms of any agreementproviding for continuation of payments or benefits to theREPORTING INDIVIDUAL in EXCESS of $1,000 from a prioremployer OTHER THAN the State. (This includes interestsin or contributions to a pension fund, profit-sharingplan, or1 life or health insurance; buy-out agreements;severance payments; etc.)

~y)te~~

13. List below the nature and amount of any income in EXCESSof $1,000 from EACH SOURCE for the reporting individualand such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of incomeincludes, but is not limited to, all income (other thanthat received from the employment listed under Item 2above) from compensated employment whether public orprivate, directorships and other fiduciary positions,contractual arrangements, teaching income, partnerships,honorariums, lecture fees, consultant fees, bank and bondinterest, dividends, income derived from a trust, realestate rents, and recognized gains from the sale orexchange of real or other property. Income from abusiness or profession and real estate rents shall bereported with the source identified by the buildingaddress in the case of real estate rents and otherwise bythe name of the entity and not by the name of theindividual customers, clients or tenants, with theaggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received inconnection with a matrimonial action, alimony and childsupport payments shall not be listed.

categorySelf! ofSpouse Source Nature Amount

5eB1~ $fttSt. ~ __________

~9oo~-t t~r. uj. tS~Jo~.S44S1InAAP

7

7.

List the sources of any deferred income (not retirementincome) in EXCESS of $1,000 from each source to be paid tothe reporting individual following the close of thecalendar year for which this disclosure statement isfiled, other than deferred compensation reported in item11 hereinabove. Deferred income derived from the practiceof a profession shall be listed in the aggregate and shallidentify as the source, the name of the firm, corporation,partnership or association through which the income wasderived, but shall not identify individual clients.

SourceCategory ofAmount

fly

15. List each assigmnent of income in EXCESS of $1,000, andeach transfer other than to a relative during thereporting period for which this statement is filed forless than fair consideration of an interest in a trust,estate or other beneficial interest, securities or realproperty, by the reporting individual, in excess of$1,000, which would otherwise be required to be reportedherein and is not or has not been so reported.

CategoryItem Assigned Assigned or ofor Transferred Transferred to Value

~pnS;?~~~

16. List below the type and market value of securities held bythe reporting individual or such individual’s spouse fromeach issuing entity in EXCESS of $1,000 at the close of thetaxable year last occurring prior to the date of filing,including the name of the issuing entity exclusive ofsecurities held by the reporting individual issued by aprofessional corporation. Whenever an’interest in securities exists through a beneficial interest in a trust, thesecurities held in such trust shall be listed ONLY IF thereporting individual has knowledge thereof except where thereporting individual or the reporting individual’s spouse

8

14.

has transferred assets to such trust for his or her benefit inwhich event such securities shall be listed unless they are notascertainable by the reporting individual because the trusteeis under an obligation or has been instructed in writing not todisclose the contents of the trust to the reporting individual.Securities of which the reporting individual or the reportingindividual’s spouse is the owner of record but in which suchindividual or the reporting individual’s spouse has nobenef%cial interest shall not be listed. Indicate percentageof bwtership ONLY if the reporting person or the reportingpersqn’s spouse holds more than five percent (5%) of the stockof a corporation in which the stock is publicly traded or morethan ten percent (10%) of the stock of a corporation in whichthe stock is NOT publicly traded. Also list securities ownedfor investment purposes by a corporation more than fiftypercent (50%) of the stock of which is owned or controlled bythe reporting individual or such individual’s spouse. For thepurpose of this item the ten “securities” shall mean mutualfunds, bonds, mortgages, notes, obligations, warrants andstocks of any class, investment interests in limited or generalpartnerships and certificates of deposits (Os) and such otherevidences of indebtedness and certificates of interest as areusually referred to as securities. The market value for suchsecurities shall be reported only if reasonably ascertainableand shall not be reported if the security is an interest in ageneral partnership that was listed in item 8(a) or if thesecurity is corporate stock, NOT publicly tk~aded, in a trade orbusiness of a reporting, individual or a reporting individual’sspouse.

Percentageof corporatestock owned category ofor controlled Market Value(if more than as of the

5% of publicly close of thetraded stock, taxable yearor more than last occur-10% of stock ring prior tonot publicly the filing


UI

17. List below the lpcation, size, general nature, acquisitiondate, market value and percentage of ownership of any realproperty in which any vested or contingent interest in EXCESSof $1,000 is held by the reporting individual or the reportingindividual’s spouse. Also list real property owned forinvestment purposes by a corporation more than fifty percent(50%) of the stock of which is owned or controlled by thereporting individual or such individual’s spouse. Do NOT list

9

any real property which is the primary or secondary personal’residence of the reporting individual or the reportingindividual’s spouse, except where there is a co-owner who isother than a relative.

Self? Percent-Spouse Acqui- age of CategoryCorpor- General sition Owner- of Marketation Location Size Nature Date ship Value

se#ø&~k l”k3o’i3~P /‘~/ ___

f32 kéV≠~ooD,,e~’9 - —~

18. List below all notes and accounts receivable, other thanfrom goods or services sold, held by the reportingindividual at the close of the taxable year last occurringprior to the date of filing and other debts owed to suchindividual at the close of the taxable year last occurringprior to the date of filing, in EXCESS of $1,000, includingthe name of the debtor, type of obligation, date due andthe nature of the collateral securing payment of each, ifany, excluding securities reported in item 16 hereinabove.Debts, notes and accounts receivable owed to the individualby a relative shall not be reported.

Type of Obligation, CategoryDate Due, and Nature of

Name of Debtor of Collateral, if any Amount

no,

19. List below allliabilities of the reporting individual andsuch individual’s spouse, in EXCESS of $5,000 as of the dateof filing of this statement, other than liabilities to arelative. Do NOT list liabilities incurred by, orguarantees made by, the reporting individual or suchindividual’s spouse or by any proprietorship, partnership orcorporation in which the reporting individual or suchindividual’s spouse has an interest, when incurred or madein the ordinary course of the trade, business or professional practice of the reporting individual or suchindividual’s spouse. Include the name of the creditor and

10

• any collateral pledged by such individual to secure payment

of any such liability. A reporting individual shall notlist any obligation to pay maintenance in connection with amatrimonial action, alimony or child support payments. Anyloan issued in the ordinary course of business by afinancial institution to finance educational cost~, the costof home purchase or improvements for a primary or secondaryresidence, or purchase of a personally owned motor vehicle,household furniture or appliances shall be excluded. If anysuch reportable liability has been guaranteed by any thirdperson, list the liability and name the guarantor.

CategoryName of creditor Type of Liability ofor Guarantor and collateral, if any Amount

•0~)~V

The requirements of law relating to the reporting of thefinancial interests are in the public interest and no adverseinference of unethical or illegal conduct or behavior will bedrawn merel from compliance, with these requirements.

ure of orting Individual) Date (mon h/d~y/year)

11


MAIL: LEGISLATIVE OFFICE BUILDING • BOX 75 • ALBANY NY 12247LOCATION: ALPRED E. SMITH OFFICE BUILDING • SUITE 1431

PHONE: (518) 432-7837/7838 FAX: (528) 426-6QUESTION 13 AMENDMENT FORM

For Calendar Year 2005 JUL ii 26’~5Please complete the form, If a column is not applicable, specify NONE. LEG ETHft5~ COMM

13. List below the nature and amount of any income in EXCESS of$1,000 from EACHSOURCE for the reporting individual and such individual’s spouse for the taxable year lastoccurring prior to the date of filing. Nature of income includes, but is not limited to, au income(other than that received from the employment listed under item 2 above) from compensatedemployment whether public or private, directorships and other fiduciary positions, contractualarrangements, teaching income, partnerships, honorariums, lecture fees, consultant fees, bankand bond interest, dividends, income derived from a tmst, real estate rents, and recognized gainsfrom the sale or exchange of real or other property. Income from a business or profession andreal estate rents shall be reported with the source identified by the building address in the case ofreal estate rents and otherwise by the name of the entity and not by the name of the individualcustomers, clients, or tenants, with the aggregate net income before taxes for each buildingaddress or entity. The receipt of maintenance received in connection with a matrimonial action,alimony and child support payments shall not be listed.

Self/Spouse Source Nature Category of Amount

Sew P15 Pco4vc!uca~2c. Pao~w_.

NAME DO’I Hwu~oTITLE of POSITION ~EUSE~2. o~

ADDRESS of PRESENT OFFICE LOS 66l~ ALWW4’~)1 N”! }2~234i~

//~SiØ~ature of Reportmg Individual Date (mon ay:year)


ci

request member hikind 1

Documents