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Schedule 3A: Positions Held with Business Entities Doing Business With, Regulated By, or Lobbying in City
Click italicized terms to review their definition.
Under§ 7-24 of the Ethics Law, filers are required to disclose positions they and their family members hold with any business entity that does business with or is regulated by the City, or is a lobbyist.
If you answered "yes" to the question above, disclose each qualifying position in Schedule 3A. You will need to submit a separate "Position Held" entry for each position. Watch the tutorial video below to guide you through the schedule:
Instructions
In each "Position Held" entry, you will disclose the following information:
1. Identity of Business Entity. Give the name and address of the business entity.
2. Identity of Person who Holds a Position with the Business Entity. State the name and address of the person with a position in the business entity, and their relationship to you. Submit a separate "Add" entry for each person, including yourself, with a position in the business entity.
3. Nature of Position. Give the person's title with the business entity, the date they started, and a general description if their duties.
4. Business Entity's Relationship with the City. Identify whether the business entity does business with the City, is regulated by the City, and/or is a lobbyist in the City. Please specify, at a minimum, the City agency involved and whether any business with that agency involves sales or contracts.
having or seeking one or a combination of contracts or other transactions with the City or with another person in connection with a contract between that other person and the City, that involves the commitment of $5,000 or more;
being regulated by or subject to the authority of the City, any City agency, or any City official; or
undertaking activities that require registration as a lobbyist.
Any legal or equitable economic interest, whether or not subject to an encumbrance or a condition, that was owned or held, in whole or in part, jointly or severally, directly or indirectly, at any time during the reporting period.
“Interest” does not include:
an interest held in the capacity of a personal representative, agent, custodian, fiduciary, or trustee, unless the holder has an equitable interest in the subject matter;
an interest in a time or demand deposit in a financial institution (e.g., checking account, savings account, or certificate of deposit);
an interest in an insurance policy, endowment policy, or annuity contract under which an insurer promises to pay a fixed amount of money, either in a lump sum or periodically for life or some other specified period;
an interest in a common trust fund or a trust that forms part of a pension or profit-sharing plan that:
has more than 25 participants; and
has been determined by the Internal Revenue Service to be a qualified trust under § 401 or § 501 of the Internal Revenue Code; or
a mutual fund or exchange-traded fund that is publicly traded on a national scale, unless the mutual fund or exchange-traded fund is composed primarily of holdings of stocks and interests in a specific sector or area that is regulated by the public servant's agency.
any gift in a series of gifts with a cumulative value of $100 or more given by or on behalf of the same person during the reporting period.
“Significant gift” does not include any of the following, regardless of value:
a gift from a family member;
a campaign contribution that is otherwise reported as required by law; or
tickets or free admission given to an elected official to attend a specific charitable, cultural, or political event, if given by the person sponsoring or conducting the event as a courtesy or ceremony to the office.