EFTA01126881.pdf

ilniteb inatei4 §§enate *elect Committee on etbito - afituurtialatiocure I, LC; f., {a iJ i.: A.C; ',C AC., : 44 31embers *Wan Johnny UlliI 8°M bases Coinonon, Colehlin Goon. Oft Ch-FM MEM Cho O:no Purpose of Financial Disclosure rilW • Public disclosure of a public officials' personal financial Interest is often considered the key component to an effective code ol conduct. R The drafters of the original Senate Code of Official Conduct In the 95Th Congress considered lull and complete disclosure to be the hearl of the Code of Conduct. g Pursuant to Statute and Senate Rule. Members. officers. and certain employees of the Senate are . required to file comprehensive annual public financial disclosure reports. .1 EFTA01126881  ainiteb *tots %enate betert Committee on etbits - faunae atitlosure t;D EkuLatz tusurily - WHO REVIEWS REPORTS? iiiii t ETHICS COMMITTEE The coeretartee b reehirod by Section I Clt 0 the Mice in Government Ml Of 1978 10:004w 100 pont, neunall ellitelnewo /opal, in eerier to delerniene whitilM• HWY are it convidande with bPPIIMOR laws and reoulmions. t STAFFERS SUPERVISOR Puttruont to Flasolution 236.0m Mk* .Is required to preadelho suponialog Senator or deP9naled stall member Id retain On 4COMOMIIII SIMS IM publk tomnr•JI dISCOOSISO mood, RIM by senile gaISCIMIS to c MCA for poirsIbea bonMela el t PUBLIC Any P theraini disclosure won filed by May ITwillbe mautt. available for public inopeclIon by the ErfaMairy OHM Senate Place al larblir Records enabler 30 days Otte MINI or by June 16t File Reports and Amendments with the Secretary of the Senate, OFFICE OF PUBLIC OFFICE OF PUBLIC RECORDS. RECORDS. 232 HART • Box 2517 Alexandria. VA 22301-0517 a raiDPAIVIPI*404. ON-LINE C: DISCLOSURE FORM Is 2 different versions to choose from -Adobe -MS Word ethicnenate.gov of on WEBSTER .2 EFTA01126882  niteb *tatei4 *enate *elect Committee on Ctbic - afitrantiellkedmittre 011! DUE DATE miff TiF Annual Repose Covering CY 2009 are due Fr MONDAY, MAY 17th, 2010 r Requests for extensions of for filing reports may be submitted I to the Ethics Committee .3 EFTA01126883  iIniteb ikatet senate apelett Committee on QgtJjit - fouraturf Diedatiure REQUESTS TO ETHICS Will ] I Send requests for extensions and waivers of penalties and other general correspondence to the • ' ETHICS COMMITTEE r?.• 220 HART 1 00/ Fax: (202) 224-7416 _a::z: WHO IIAS TO FILE ii Annual Reports? • SENATORS • CANDIDATES FOR THE SENATE • ' I B POLITICAL FUND DESIGNEES I j I FELLOWS DETAILEES Mitt, • STAFFERS DI $ Employees Who Received a Bonus: A report Is required it: • Paid al a rate of pay al exec.. of the zepoilinet IhreShOld Of $1I7, far for nor,. thim 60 days: and • Oren warning tor the calendar year was *dual lo or in excess of Mi n e r'. IP" LATE NOTICES to Committee policy is to mail late notices certified mail, return receipt requested NI A copy of the late notice is also cc:d to the supervising Senator Civil and criminal sanctions may be imposed for individuals who knowingly and willfully fail Ionia IN, report .4 EFTA01126884  ?Unite) igateo senate 'etett Committee on etbit - aftirantiallgifidocure .11MENDMENT REQUESTS II Within 60 days of filing, the Committee reviews reports for compliance and omissions and mails letters to filers requesting additional information/clarifications UP•111010.111 W% 'Mara beott to. "" SO Va A"' TrawArra Filer Joe .21:173i 2e Flat Cawnin en tan an.. :02•:14.29•3 SUILliallh....., ..,,. .. w.vn. ..-.7"' ..... f.M '"'"'""'''•"'”" '"''''' ' - ' •'' -• ''''''''"' ":":t . "'"•" 2. • RC -4.=....--- X ' r ci:;-:::=--,:t.'7.:7.2 -ttar .•;,_-.7.1- -&=-7.xzt--- win „7:-.:-..v.r.„,:irr=r---- .----, WO OASIS. .n'..••••••••••• ••••••••• tale 4010/1016 NO Sala k• 4•10, 0•V OOPS ••••••••••“••••••••rS ..••••••••• •••...... •••••••••••••••••••• x: 5/17/10 ___ __ .?" 1_,..........._- ...... .1av • Intro .417:2010 EFTA01126885  Zffniteb &tots %enate *elect Committee on ethics; - _financialatidoture CONAC434141.0“.04•10.0.01,41.3 NOCUOUS. Ia WIWI "u L nrv ...... ic,.. 24. ZOZ.M.Y.01. Saab._... ...ann. astntana.........sracs.anienneesen ...an inisax.....elasamassaausasissera•••wiaraw•vi.K .... rat.r.T.44===:=14:1=1,:grat. 1........0•00. • ...navesesse•... • 0 I a. sarear.warainsonnentotneoln.....a. filibiligale ..,..........alisaro........ n....n............"........-... ..rezz===-...=.-..---......=::::7...,' . ------- —.- ‘.., ..................--- --,------------- el .... - ,----------------__ ,.._. lee 5ites 5/17/10 JOE Fain I PAIL PAYISSINICIATIIWAONSiLINIMMISIO•001.••• I 1 Penn•••••••m••••namis novo ••••=ntwr me wana••••• •••••••• •••Pamar •••••••• 'ph ..."..."......"..".. ............. ........................... ... ,.. ,•••••••.................••••••••••••••••••,..... 0 .1.............+. ........• i,.. - 4..0.— •••••• 08•01.•••• IIIMOMM• Alespiter...mi ._.. i..... -- ...- ..... - ......... 7 ...Mai" 'I lee, 4, Knicla. lay CJRnwllboos Somcil RCOO • REMEMBER... •I .6 EFTA01126886  6§tateo §§enate 'etett Committee on COS - ithantialafidatture ‘ COMODITALECCLOSUIC Of ', AMOR% TO OleAtrtAfiLt oncmaAnomse. tzto mecum FILER JOE 202-22.2.1 X am.... NOt ..._ ....., ittliatTX ETNCS COTT! —.".t.. -..7.=.1 .tr.-=4::=.“..L.:. ............— :7 Ir e....Z.7 .." .L.D..=- - 1-...- -7." .-Etra, ..,T- C.--_ . =_ .:22. -t. - =-.. ---• ......—.....—......... is fewtoornymorwasea seessmonmainasowaanewo seem NOM lal.440410a.OilasaIL Rad Oen. Vemilefen.00 WOO ."..=t7.......j ..... "''. .......r . . jet gild 5.134010 • - JOE Vial I PAAIII 011.*0 MO n0. VMVOMPICOlt .....-------........---------- rcn -- zr . tr.',==-•=7=1.°Z.tr.44=7:47=-1-......r..^..-----,-......... "....-...-........ ........--........--.- .4.-------„.............--,...........-= ......................... -. ---,---.-- ...a-- .—.......... ..........-...... ....to... ......- .-- -- -- - - ...— I"---- - .. - P. OMARY . . Mae !_mi IIIIILIVIISIA1G. 600144 ...Pe RUT ll Male! (MMUS), I rpm 1I 1-T-IIIIIIIIIIIIIIIIIIII! .7 • Intro -4/7/2010 EFTA01126887  Eniteb States( senate Select Committee on etbito - astute abidatture as!“ Li, PART ILIA. -7- Publicly Traded 3...sit al Unearned I FICO11111' • Report the complete name of each publicly traded asset held by you, your spouse. or your dependent child, for production of income or Investment which: • had a value exceeding $1,000 at the close of the reporting period: andtor • generated over $200 in "unearned- income during the reporting period PART IIIA. YOU SHOULD REPORT ALL : • Stocks • Futures Contracts • Bonds • Excepted busts • Mutual Funds ■ Oualified Blind Trusts B Pension Interests II Underlying personal trade • Annuities accounts • IRA assets (evade. Ametilrade. etc.). • 529 Plans II Personal Banking Accounts - Other bank accounts in I excess of 55000. which ^ include: • _ S;i * ,T PART Ina. PUBLICLY TRADED STOCKS & BONDS Identify by complete name, and preferably the exchange upon which It's listed • MUTUAL FUNDS Identify by complete name. Including name of Investment Institution offering the fund (Templeton. gangers]. etc.) and the spacing Identification of the fund (Total Return, Equity. etc.). • MUNICIPAL BONDS - Identify by name of municipality offering the bond and complete name of the bond .8 EFTA01126888  litiniteb States( senate Select committee on (Ethics( - ffirturtheatialsoure Sato!. ART IIIA. PERSONAL SAVINGS ACCOUNTS Report the complete name of the financial institution where personal accounts are held (This would include personal savings, checking. money market. certificates of deposit. and any other accounts at any institution) • AGGREGATE MORE THAN $5.000 at the end of the reporting period or which • GENERATED MORE THAN $200 in unearned income during the reporting period. II IIla RT IIIA. EXCEPTED INVESTMENT LINt) A mutual fund, common trust fund of a bank, pension or deferred compensation plan, or any other investment fund which is: • Widely held (Le. has more than 100 participants or investors): and • Publicly traded (or available) or widely- diversified: and • Held under circumstances where you don't have control over the financial interests held by the fund. Ott„ ART IIIA. INVESTMENT CLUBS OR OTHER IOLDINC ARRANGEMENTS Identify the Investment club and also any underlying Investment asset or property held by the club where (I) you (your spouse or dependent child's) Interest in the underlying asset exceeds 51.000 in value or (II) where the underlying asset generated more than $200 In income for you (your spouse or dependent child) (Ill) If the Investment club or holding IISert meets the definition of an excepted Investment fund, the Information regarding the underlying assets are not reportable .9 EFTA01126889  Eniteb Altateo benate %tied Committee on Ctbito - ftitandediatidoture 1;.:) le.‘41,4‘ 4. 444141.:1:1.2 lOPIRT IIIA. RETIREMENT PLANS • Identify each asset held by a self-directed retirement plan. II A self-directed retirement plan is one which does not meet the definition of an excepted investment fund. - Widely held (i.e. has more than 100 participants or investors): and • Publicly traded (or available) or widely- diversified: and - Held under circumstances where you don't have control over the financial interests held by the fund. II!!" ART IIIA. EXCEPTED Tit t .s . t . • II An excepted trust is one which: -Was not created by you, your spouse, or your dependent child; and -Has holdings or sources of income of which you, your spouse, and any dependent child have no knowledge. c • A qualified blind trust is a trust which has been certified by the Senate Select Committee on Ethics, in accordance with Senate Rule 34. -10 EFTA01126890  ilniteb inatei4 apenate Spelett Committee on Ctbito - faunae intitiocure In Irlt."1.11", "•^1""r•rilini —4=4-- ....z..... .......-.."..... ----— ----::=T: .•that s. • n .... i • v............ iP -....tal:br."' IIMBIN IM '-. IIIIII ,r,_ en r_11,9 9• ...: m rt!=tri ' m 112=i ll. lllllllllll 3113IIIM SEISM 1=3= Dlllllllllllllll 3IIIMII3IIII l7=1=a = OKIllllllll IGIIIIIIIIMLIS in 121 MII3IIIIIIslit2!!!:$3121ROB isatitmmasia !!"" vstiv XEMPTION TEST The reporting Individual Is not required to report assets, transactions, andlor liabilities which the reporting individual certifies: (1) represents the spouse's or dependent child's sole financial interest or responsibility and which the reporting Individual has no knowledge of: (2) which are not in any way, past or present. derived from the income, assets, or activities of the reporting individual: and - (3) which the reporting individual neither derives. nor expects to derive, any financial or economic benefit. ................... ......--;._. OE MIN , -...._ we*, acount000 ittE ow, ;al .00(0)E0al NOON u .. ..,..,..... .r. r. ., .._............ pri Fi l.a em iris 'of= Mialsialil ciri = =ICI -1 = = La= = 1:0 = • WI Mi— •11 • Intro .4 7 2010 EFTA01126891  1niteb inatei‘ 6enate 'etett Committee on QZttjit - afitrantiteZtitiatiure JOF run I ., , „ r, - I ..-..... ....--, . = == .:....1. ...:= I',..... .................................... ..................,............n.s ..-......................... ..... r.:. , IIIII I I ,.............,..”...a-. ............. 111 ilini! - lic at"'"I"' . V0OL•it MC .410 ae• g PACIONeil li IOC WAS, ism a . .. 1.5111 • wain vs. • ,---..... ----trrs=- - Iii FILER ear V Cant ICI .,.„-sy---,..--,--..-.....------- ...... ---- ....--------- ...,........m...- __ oa= n n • ,5 . i -,:-.., Jre DI ,, 'IS C55: PS' 5 mr , v,mcr =I may mamma te in coalmr, n' S,li le tjle 5 •re 541 •J.tw no.. .. .7,.. :„a ....J. - ....i.e. ,.. / 'Iv., .• K.., : MI Members, officers. and employees of the Senate may no longer accept any gilt from a registered lobbyist or foreign agent, or an entity that employs or retains the same. unless a specific exception to the Gifts Rule applies. •12 EFTA01126892  1niteb *tatei4 i§enate apelett committee on Ctbito - _taut/SW131sdafure I If not a lobbyist or foreign agent, or entity that employs or retains a lobbyist or foreign agent. a - One time limit - $49.99 Yearly aggregate limit - $99.99 "no limit" - $9.99 or less / RE - / 2 •-•• -V l• '''," x•-,- I.- .1 • Travel Form • - - • - - • - • _ 15•••• owes • mamma -mats I All Staffers fill oul RE 1 / 2. ▪ memo I Forms should be filed with OPR within 30 days after completion of travel. MO- Make sure all signatures age/ la Eget_ and dates are filled in before form is turned in to OPR. _..—___ & Available on-line omaca.._ Travel regaled more limn 30 clap alter comoietan at Pail amt.O reoommi on Part VI -Raimtassaments ct was Ptazhc Fmarcol Dame, um F.: m RE - / 2 Travel Form I — St/5 or a All Staffers fill out RE 1 12. I Forms should be filed with OPR within 30 days after completion of travel. B Make sure all signatures and dates are filled in before form is turned in to OPR. (Available on-line aim fl Saar. Travel 'mons mere Man 30 dna, alter teropleti0n el travel at0olf ee reportmi onPart VI -Relmbirsainents or sra.r Retie Pinata, Docno Fpm. •13 • Intro EFTA01126893  11niteb inateo i§enate ipetett Committee on etbito - farturtiariZiedatture atm.,aurenicsa. RE - 3 MOM'. IMAM IrlIrWel• • • ••••••• ••••.••..••• gm• avel Form •• ••• •.msw.••••••.&._ I Only Members & Officers nons•o. fill out RE - 3. t t—loata_to.55* I Forms should be filed with L Snow OPR within 30 days alter complelon of travel. 'Make sure all signatures s— In. and dates are Idled in before erf_ I form is turned in to OPR. SiNausentflatI I Available on-fine Tray*, mooned mom men 300a% ootrointonof ttavalthoulsoo ott - Rilialemmats PLLvt ansnM Oltdosuro Fcar 1611it ROVOURIBIOR• RA ...,,--... : ..--) .,...r ....-......-.---,--- r. ... t.-^c=-•-.ntr.r.=-,- ---....-r-ta.-z-t.-.. -----........-...-,.....-..- ---------- --..,-. 7,=== . rs ..... ., r .......-- 0 E=1:=M ci cn =I Irr, rrn =I Tratol tOLoCeO on Hole 5 !Onto tHE - 1 : 2 RE - 3) Mil comoant to Rile 35 twooin 0 dayt of trawl) does nal have 0"" ilk ... .o....ta.....,5•.:. 'r':-. il1.1 PM v• In/worts 9 1•01.••••••••••010•••(0,,,S•SC.VOttmol cr a SS.•••••••••1••••••••••••..„ i I m r -- n t-tlarmrs ocirmcmonocnin m: ===pawriMMMMMMMMM car r iimormrfnnmnrrunnMMMMMMMM Ion •14 • Intro 4/7/2010 EFTA01126894  1niteb 6i§tateti senate ipelett committee on QZtJjir - aftirantiallgierfatiure —Jairrisit NAT 04 F02110.4 NILO Otilla UgIGOVOYMNT I v....In.:eta.star...ipso.sa , on n.sw..sre............••••••••• •ra ... bes r............ .......................t......n.....**............. ......a....... a...a. an. r...w....a.. era.stio at,!:. ,r.... ,. .— .. WWI 0114M .0.1 AllittiliCSY Pinhallitilmen COMM Olt hart .....emanot owe, ninecToop et caw. amboola• ,vs ma q .. r -, Oer that compe-Katon In exCOSS OISE* bun any position mina be mooned on Parl II 'Earned and NharnInvesbnere Inane) enneonneerns....seeneror.....ren, JOE iI a R I Puna •OPIROMIn 00 inOIRUOWS ICI ..........r...... ..w.......-..i...s.... .................arbsta• ./........—..,..—.., ....... e........s.an.,..m......s.p.•a...dne•••.a.. ..................... .....................ioini...esisrsabots 1.0•1•••••••••.104m....••••••• IS OS Feem. •••. •••••••• •a I.E.. •.•. 4... w. E ...m..mm.....a....... •..m...E.m• • .N. E.......•••.,.....• •• .• . •.••••• . moans ••aA• • •••• SEM* t. tforesoottorn reser: neonVea.t. arose is m P \mona.... JO' Ada ..,_...... I PAM. oonstaanon IN Cana Of IOW MOW OIK '°°" Vu ....................„...„....,...,...... -a ...........— .-.... - ====..t.crattr,.... - 1..............w.....t,, - ... In.......... , C. AS. • u... 9 NOCW•Olionell. - ", las *Wm 11/1311.1101/1•0. SIG mass IMISSIatiOiffin._ •15 • Intro 4/7/2010 EFTA01126895  Zliniteb gotateg senate 'elect Committee on Cthito - ftirantiatibldoOure YOU HAVE ANY QUESTIONS, PLEASE CALL The Senate Select Committee on Ethics -16 • Intro .472010 EFTA01126896