Schedule 3A: Positions Held with Business Entities Doing Business With, Regulated By, or Lobbying in City
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.
Answer the question below to determine if Schedule 3A applies to you:
During the reporting period covered by this statement, did any of the following hold any office, directorship, salaried employment, or other similar position with a business entity that was doing business with the City, was regulated by the City, or was a lobbyist in the City?
- Your spouse;
- Your child;
- Your parent (if known to you); or
- Your sibling (if known to you).
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:
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.
- An interest held by your spouse, parent, child, or sibling, if you directly or indirectly controlled that interest;
- An interest held by any business entity in which, at any time during the reporting period:
- you held an equity interest of 30% or more; or
- a family member held an equity interest of 30% or more, if you directly or indirectly controlled that family member’s interest; and
- An interest held by any trust or estate in which, at any time during the reporting period, you:
- held a reversionary interest;
- were a beneficiary; or
- if a revocable trust, were a settlor.
Any person or entity engaged in business or other organized activity, whether for-profit or not-for-profit and regardless of form
- “Business entity” includes, for example, any:
- general or limited partnership
- limited liability company
- sole proprietorship.
- joint venture
- unincorporated association or firm
- real estate investment trust
- institution, trust, foundation, or other organization
- 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 department, board, commission, council, authority, committee, office, or other unit of City government.
- sibling; or
- child, including an adopted child, stepchild, ward, or foster child, regardless of age.
- more that 3% of a business entity; or
- securities of any kind that represent or are convertible into ownership of more than 3% of a business entity; or
- an interest as a result of which the owner:
- received more than $1,000 in any of the preceding 3 calendar years; or
- is entitled to receive more than $1,000 in the current or any later calendar year.
The transfer of any thing or any service of economic value, regardless of the form, without adequate, identifiable, and lawful consideration.
- “Gift” does not include political contributions that are regulated under state law.
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 individual or business entity
A dwelling that:
- is used as a person’s principal or primary home; and
- is actually occupied by that person for more than 6 months of a 12-month period.
- January 1 through December 31 of the immediately preceding calendar year; or
- any additional period for which a disclosure statement is required.
- any gift with a value of more than $20; and
- 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.
Holding an equity interest of 30% or more in a business entity.