Full Text of SB1361 98th General Assembly
SB1361sam002 98TH GENERAL ASSEMBLY | Sen. Dan Kotowski Filed: 5/8/2013
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| 1 | | AMENDMENT TO SENATE BILL 1361
| 2 | | AMENDMENT NO. ______. Amend Senate Bill 1361, AS AMENDED, | 3 | | by replacing everything after the enacting clause with the | 4 | | following:
| 5 | | "Section 5. The Illinois Governmental Ethics Act is amended | 6 | | by changing Sections 1-105, 1-110, 4A-102, 4A-103, and 4A-108 | 7 | | and by adding Sections 1-102.5, 1-104.3, 1-104.4, 1-104.5, | 8 | | 1-105.2, 1-105.3, 1-105.4, 1-105.6, 1-105.7, 1-112.5, 1-113.6, | 9 | | and 1-113.7 as follows: | 10 | | (5 ILCS 420/1-102.5 new) | 11 | | Sec. 1-102.5. "Asset" means, for the purposes of Sections | 12 | | 4A-102 and 4A-103, an item that is owned and has monetary | 13 | | value. For the purposes of Sections 4A-102 and 4A-103, assets | 14 | | include, but are not limited to: stocks, bonds (except those | 15 | | issued by the federal, state, or local governments), sector | 16 | | mutual funds, sector exchange traded funds, commodity futures, |
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| 1 | | investment real estate, and partnership interests. For the | 2 | | purposes of Sections 4A-102 and 4A-103, assets do not include: | 3 | | personal residences; personal vehicles; savings or checking | 4 | | accounts; bonds, notes, or securities issued by any branch of | 5 | | federal, state, or local government; Medicare benefits; | 6 | | inheritances or bequests; diversified mutual funds; annuities; | 7 | | pensions (including government pensions); retirement accounts; | 8 | | college savings plans that are qualified tuition plans; | 9 | | non-income producing trust holdings; or tangible personal | 10 | | property. | 11 | | (5 ILCS 420/1-104.3 new) | 12 | | Sec. 1-104.3. "Creditor" means, for the purposes of | 13 | | Sections 4A-102 and 4A-103, an individual, organization, or | 14 | | other business entity to whom money or its equivalent is owed, | 15 | | no matter whether that obligation is secured or unsecured, | 16 | | except that if a filer makes a loan to members of his or her | 17 | | family, a political committee registered with the Illinois | 18 | | State Board of Elections, or a political committee, principal | 19 | | campaign committee, or authorized committee registered with | 20 | | the Federal Election Commission, then that filer does not, by | 21 | | making such a loan, become a creditor of that individual or | 22 | | entity for the purposes of Sections 4A-102 and 4A-103 of this | 23 | | Act. | 24 | | (5 ILCS 420/1-104.4 new) |
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| 1 | | Sec. 1-104.4. "Debt" means, for the purposes of Sections | 2 | | 4A-102 and 4A-103, any money or monetary obligation owed at any | 3 | | time during the preceding calendar year to an individual, | 4 | | company, or other organization, other than a loan that is from | 5 | | a financial institution, government agency, or business entity | 6 | | and that is granted on terms made available to the general | 7 | | public. For the purposes of Sections 4A-102 and 4A-103, "debt" | 8 | | includes, but is not limited to: personal loans from friends or | 9 | | business associates, business loans made outside the lender's | 10 | | regular course of business, and loans made at below market | 11 | | rates. For the purposes of Sections 4A-102 and 4A-103, "debt" | 12 | | does not include: (i) debts to or from financial institutions | 13 | | or government entities, such as mortgages, student loans, | 14 | | credit card debts, or loans secured by automobiles, household | 15 | | furniture, or appliances, as long as those loans were made on | 16 | | terms available to the general public and do not exceed the | 17 | | purchase price of the items securing them; or (ii) debts to or | 18 | | from a political committee registered with the Illinois State | 19 | | Board of Elections or political committees, principal campaign | 20 | | committees, or authorized committees registered with the | 21 | | Federal Election Commission. | 22 | | (5 ILCS 420/1-104.5 new) | 23 | | Sec. 1-104.5. "Diversified funds" means investment | 24 | | products, such as mutual funds, exchange traded funds, or unit | 25 | | investment trusts, that invest in a wide variety of securities.
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| 1 | | (5 ILCS 420/1-105) (from Ch. 127, par. 601-105)
| 2 | | Sec. 1-105.
"Economic opportunity" means any purchase, | 3 | | sale, lease,
contract, option, or other transaction or | 4 | | arrangement involving property or
services wherein a | 5 | | legislator or, in the case of Sections 4A-102 and 4A-103, the | 6 | | filer may gain an economic benefit. The term shall
not include | 7 | | gifts.
| 8 | | (Source: Laws 1967, p. 3401.)
| 9 | | (5 ILCS 420/1-105.2 new) | 10 | | Sec. 1-105.2. "Economic relationship" means, for the | 11 | | purposes of Sections 4A-102 and 4A-103, any relationship that | 12 | | provides the filer with income or an economic opportunity. For | 13 | | the purposes of Sections 4A-102 and 4A-103, economic | 14 | | relationships include, but are not limited to, ownership | 15 | | interests in family-owned businesses and creditor-debtor | 16 | | relationships with third parties other than commercial lending | 17 | | institutions. | 18 | | (5 ILCS 420/1-105.3 new) | 19 | | Sec. 1-105.3. "Family" means, for the purposes of Sections | 20 | | 4A-102 and 4A-103, a filer's spouse (including a party to a | 21 | | civil union or a registered domestic partner), children, | 22 | | step-children, parents, step-parents, siblings, step-siblings, | 23 | | half-siblings, brothers-in-law, sisters-in-law, sons-in-law, |
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| 1 | | daughters-in-law, aunts, uncles, nieces, nephews, great aunts, | 2 | | great uncles, first cousins, grandfathers, grandmothers, | 3 | | grandsons, and granddaughters, as well as the father, mother, | 4 | | grandfather, and grandmother of the filer's spouse (including a | 5 | | party to a civil union or a registered domestic partner). | 6 | | (5 ILCS 420/1-105.4 new) | 7 | | Sec. 1-105.4. "Filer" means, for the purposes of Section | 8 | | 4A-102 and 4A-103, a person required to file a statement of | 9 | | economic interests pursuant to this Act. | 10 | | (5 ILCS 420/1-105.6 new) | 11 | | Sec. 1-105.6. "Income" means, for the purposes of Sections | 12 | | 4A-102 and 4A-103, income from whatever source derived, | 13 | | required to be reported on the filer's federal income tax | 14 | | return, including, but not limited to: compensation received | 15 | | for services rendered or to be rendered (as reported on any | 16 | | Internal Revenue Service forms, including, but not limited to, | 17 | | W-2, 1099, or K-1); earnings or capital gains from the sale of | 18 | | assets; profit; interest or dividend income from all assets; | 19 | | revenue from leases and rentals, royalties, prizes, awards, or | 20 | | barter; forgiveness of debt; and earnings derived from | 21 | | annuities or trusts other than testamentary trusts. "Income" | 22 | | does not include compensation earned for service in the | 23 | | position that necessitates the filing of the statement of | 24 | | economic interests, and income from the sale of a personal |
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| 1 | | residence or personal vehicle. | 2 | | (5 ILCS 420/1-105.7 new) | 3 | | Sec. 1-105.7. "Investment real estate" means any real | 4 | | property, other than a filer's personal residences, purchased | 5 | | to produce a profit, whether from income or resale.
| 6 | | (5 ILCS 420/1-110) (from Ch. 127, par. 601-110)
| 7 | | Sec. 1-110.
"Lobbyist" means an individual who is required | 8 | | to be registered to engage in lobbying activities pursuant to | 9 | | any statute, regulation, or ordinance adopted by a unit of | 10 | | government in the State of Illinois any person required to be | 11 | | registered under
"An Act concerning lobbying and providing a | 12 | | penalty for violation thereof",
approved July 10, 1957, as | 13 | | amended .
| 14 | | (Source: Laws 1967, p. 3401.)
| 15 | | (5 ILCS 420/1-112.5 new) | 16 | | Sec. 1-112.5. "Personal residence" means, for the purposes | 17 | | of Sections 4A-102 and 4A-103, a filer's primary home residence | 18 | | and any residential real property held by the filer and used by | 19 | | the filer for residential rather than commercial or income | 20 | | generating purposes. | 21 | | (5 ILCS 420/1-113.6 new) | 22 | | Sec. 1-113.6. "Sector funds" means mutual funds or exchange |
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| 1 | | traded funds invested in a particular industry or business. | 2 | | (5 ILCS 420/1-113.7 new) | 3 | | Sec. 1-113.7. "Spouse" means a party to a marriage, a party | 4 | | to a civil union, or a registered domestic partner. | 5 | | (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
| 6 | | Sec. 4A-102. The statement of economic interests required | 7 | | by this Article
shall include the economic interests of the | 8 | | person making the statement as
provided in this Section. The | 9 | | following interests shall be listed by all persons required to | 10 | | file: | 11 | | (1) each asset that has a value of more than $10,000 as | 12 | | of the end of the preceding calendar year and is: (i) held | 13 | | in the filer's name, (ii) held jointly by the filer with | 14 | | his or her spouse, or (iii) held jointly by the filer with | 15 | | his or her minor child or children; | 16 | | (2) excluding the income from the position that | 17 | | requires the filing of a statement of economic interests | 18 | | under this Act, each source of income that generated in | 19 | | excess of $2,500 in income during the preceding calendar | 20 | | year (as reported on the filer's federal income tax return | 21 | | covering the preceding calendar year) and, if the sale or | 22 | | transfer of an asset produced more than $2,500 in capital | 23 | | gains during the preceding calendar year, the transaction | 24 | | date on which that asset was sold or transferred; |
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| 1 | | (3) each creditor of a debt in excess of $5,000 that, | 2 | | during the preceding calendar year, was: (i) owed by the | 3 | | filer, (ii) owed jointly by the filer with his or her | 4 | | spouse or (iii) owed jointly by the filer with his or her | 5 | | minor child or children; | 6 | | (4) each debtor of a debt in excess of $5,000 that, | 7 | | during the preceding calendar year, was: (i) owed to the | 8 | | filer, (ii) owed jointly to the filer with his or her | 9 | | spouse or (iii) owed jointly to the filer with his or her | 10 | | minor child or children; | 11 | | (5) each lobbyist who is registered with any unit of | 12 | | government in the State of Illinois and with whom the filer | 13 | | maintains an economic relationship and each lobbyist | 14 | | registered with any unit of government in the State of | 15 | | Illinois who is a member of the filer's family; and | 16 | | (6) each source and type of gift or gifts, or | 17 | | honorarium or honoraria, valued singly or in the aggregate | 18 | | in excess of $1,000 that was received during the preceding | 19 | | calendar year. | 20 | | For the purposes of this Section, the unit of local | 21 | | government in relation to which a person is required to file | 22 | | under item (o) of Section 4A-101 shall be the unit of local | 23 | | government that contributes to the pension fund of which such | 24 | | person is a member of the board. | 25 | | The interest (if constructively controlled by the
person | 26 | | making the statement) of a spouse or any other party, shall be
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| 1 | | considered to be the same as the interest of the person making | 2 | | the
statement. Campaign receipts shall not be included in this | 3 | | statement.
| 4 | | (a) The following interests shall be listed by all | 5 | | persons required to
file:
| 6 | | (1) The name, address and type of practice of any | 7 | | professional
organization or individual professional | 8 | | practice in which the person making
the statement was | 9 | | an officer, director, associate, partner or | 10 | | proprietor,
or served in any advisory capacity, from | 11 | | which income in excess of $1200
was derived during the | 12 | | preceding calendar year;
| 13 | | (2) The nature of professional services (other | 14 | | than services rendered to
the unit or units of | 15 | | government in relation to which the person is required
| 16 | | to file)
and the nature of the entity to which they | 17 | | were rendered if fees exceeding
$5,000 were received | 18 | | during the preceding calendar year from the entity for
| 19 | | professional services rendered by the person making | 20 | | the statement.
| 21 | | (3) The identity (including the address or legal | 22 | | description of real
estate) of any capital asset from | 23 | | which a capital gain of $5,000 or more
was realized in | 24 | | the preceding calendar year.
| 25 | | (4) The name of any unit of government which has | 26 | | employed the person
making the statement during the |
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| 1 | | preceding calendar year other than the unit
or units of | 2 | | government in relation to which the person is required | 3 | | to file.
| 4 | | (5) The name of any entity from which a gift or | 5 | | gifts, or honorarium or
honoraria, valued singly or in | 6 | | the aggregate in excess of $500, was
received during | 7 | | the preceding calendar year.
| 8 | | (b) The following interests shall also be listed by | 9 | | persons listed in
items (a) through (f), item (l), item | 10 | | (n), and item (p) of Section 4A-101:
| 11 | | (1) The name and instrument of ownership in any | 12 | | entity doing business in
the State of Illinois, in | 13 | | which an ownership interest held by the person at
the | 14 | | date of filing is in excess of $5,000 fair market value | 15 | | or from which
dividends of in excess of $1,200 were | 16 | | derived during the preceding calendar
year. (In the | 17 | | case of real estate, location thereof shall be listed | 18 | | by
street address, or if none, then by legal | 19 | | description). No time or demand
deposit in a financial | 20 | | institution, nor any debt instrument need be listed;
| 21 | | (2) Except for professional service entities, the | 22 | | name of any entity and
any position held therein from | 23 | | which income of in excess of $1,200 was
derived during | 24 | | the preceding calendar year, if the entity does | 25 | | business in
the State of Illinois. No time or demand | 26 | | deposit in a financial
institution, nor any debt |
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| 1 | | instrument need be listed.
| 2 | | (3) The identity of any compensated lobbyist with | 3 | | whom the person making
the statement maintains a close | 4 | | economic association, including the name of
the | 5 | | lobbyist and specifying the legislative matter or | 6 | | matters which are the
object of the lobbying activity, | 7 | | and describing the general type of
economic activity of | 8 | | the client or principal on whose behalf that person is
| 9 | | lobbying.
| 10 | | (c) The following interests shall also be listed by | 11 | | persons listed in
items (g), (h), (i), and (o) of Section | 12 | | 4A-101:
| 13 | | (1) The name and instrument of ownership in any | 14 | | entity doing business
with a unit of local government | 15 | | in relation to which the person is
required to file if | 16 | | the ownership interest of the person filing is greater
| 17 | | than $5,000 fair market value as of the date of filing | 18 | | or if dividends in
excess of $1,200 were received from | 19 | | the entity during the preceding
calendar year. (In the | 20 | | case of real estate, location thereof shall be
listed | 21 | | by street address, or if none, then by legal | 22 | | description). No time
or demand deposit in a financial | 23 | | institution, nor any debt instrument need
be listed.
| 24 | | (2) Except for professional service entities, the | 25 | | name of any entity and
any position held therein from | 26 | | which income in excess of $1,200 was derived
during the |
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| 1 | | preceding calendar year if the entity does business | 2 | | with a
unit of local government in relation to which | 3 | | the person is required to
file. No time or demand | 4 | | deposit in a financial institution, nor any debt
| 5 | | instrument need be listed.
| 6 | | (3) The name of any entity and the nature of the | 7 | | governmental action
requested by any entity which has | 8 | | applied to a unit of local
government
in relation to | 9 | | which the person must file for any license, franchise | 10 | | or
permit for annexation, zoning or rezoning of real | 11 | | estate during the
preceding calendar year if the | 12 | | ownership interest of the person filing is
in excess of | 13 | | $5,000 fair market value at the time of filing or if | 14 | | income or
dividends in excess of $1,200 were received | 15 | | by the person filing from the
entity during the | 16 | | preceding calendar year.
| 17 | | For the purposes of this Section, the unit of local | 18 | | government in relation to which a person required to file under | 19 | | item (o) of Section 4A-101 shall be the unit of local | 20 | | government that contributes to the pension fund of which such | 21 | | person is a member of the board. | 22 | | (Source: P.A. 96-6, eff. 4-3-09; 97-754, eff. 7-6-12.)
| 23 | | (5 ILCS 420/4A-103) (from Ch. 127, par. 604A-103)
| 24 | | Sec. 4A-103.
The statement of economic interests required | 25 | | by this Article to be filed
with the Secretary of State or |
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| 1 | | county clerk shall be filled in by
typewriting or hand | 2 | | printing, shall be verified, dated, and signed by the
person | 3 | | making the statement and shall contain substantially the | 4 | | following:
| 5 | | STATEMENT OF ECONOMIC INTERESTS | 6 | | INSTRUCTIONS: | 7 | | You may find the following documents helpful to you in | 8 | | completing this form: | 9 | | (1) federal income tax returns, including any related | 10 | | schedules, attachments, and forms; and | 11 | | (2) investment and brokerage statements. | 12 | | To complete this form, you do not need to disclose specific | 13 | | amounts or values or report interests relating either to | 14 | | political committees registered with the Illinois State Board | 15 | | of Elections or to political committees, principal campaign | 16 | | committees, or authorized committees registered with the | 17 | | Federal Election Commission. | 18 | | The information you disclose will be available to the | 19 | | public. | 20 | | You must answer all 6 questions. Certain questions will ask | 21 | | you to report any applicable assets or debts held in your name; | 22 | | held jointly with your spouse; or held jointly by you with your | 23 | | minor child. If you have any concerns about whether an interest | 24 | | should be reported, please consult your department's ethics |
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| 1 | | officer, if applicable. | 2 | | Please ensure that the information you provide is complete | 3 | | and accurate. If you need more space than the form allows, | 4 | | please attach additional pages for your response. If you are | 5 | | subject to the State Officials and Employees Ethics Act, your | 6 | | ethics officer must review your statement of economic interests | 7 | | before you file it. Failure to complete the statement in good | 8 | | faith and within the prescribed deadline may subject you to | 9 | | fines, imprisonment, or both. | 10 | | DEFINITIONS, EXAMPLES AND FURTHER INSTRUCTIONS: | 11 | | As used in this form: | 12 | | "Asset" means an item that is owned and has monetary value. | 13 | | Assets include, but are not limited to: stocks, bonds (except | 14 | | those issued by the federal, state or local governments), | 15 | | sector mutual funds, sector exchange traded funds, commodity | 16 | | futures, investment real estate and partnership interests. | 17 | | "Asset" does not include: personal residences; personal | 18 | | vehicles; savings or checking accounts; bonds, notes or | 19 | | securities issued by any branch of federal, state or local | 20 | | government; Medicare benefits; inheritances or bequests; | 21 | | diversified mutual funds; diversified exchange traded funds; | 22 | | annuities; pensions (including government pensions); | 23 | | retirement accounts; college savings plans that are qualified | 24 | | tuition plans; non-income producing trust holdings; or | 25 | | tangible personal property. |
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| 1 | | "Creditor" means an individual, organization, or other | 2 | | business entity to whom money or its equivalent is owned, no | 3 | | matter whether that obligation is secured or unsecured, except | 4 | | that if a filer makes a loan to members of his or her family, a | 5 | | political committee registered with the Illinois State Board of | 6 | | Elections, or a political committee, principal campaign | 7 | | committee, or authorized committee registered with the Federal | 8 | | Election Commission, then that filer does not, for the purposes | 9 | | of this from, become a creditor of that individual or entity by | 10 | | making such a loan. | 11 | | "Debt" means any money or monetary obligation owed at any | 12 | | time during the preceding calendar year to an individual, | 13 | | company, or other organization, other than a loan that is from | 14 | | a financial institution, government agency, or business entity | 15 | | and that is granted on terms made available to the general | 16 | | public. "Debt" includes, but is not limited to: personal loans | 17 | | from friends or business associates, business loans made | 18 | | outside the lender's regular course of business, and loans made | 19 | | at below market rates. "Debt" does not include: (i) debts to or | 20 | | from financial institutions or government entities, such as | 21 | | mortgages, student loans, credit card debts, or loans secured | 22 | | by automobiles, household furniture, or appliances, as long as | 23 | | those loans were made on terms available to the general public | 24 | | and do not exceed the purchase price of the items securing | 25 | | them; or (ii) debts to or from political committees registered | 26 | | with the Illinois State Board of Elections or political |
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| 1 | | committees, principal campaign committees, or authorized | 2 | | committees registered with the Federal Election Commission. | 3 | | "Diversified funds" are investment products, such as | 4 | | mutual funds, exchange traded funds, or unit investment trusts, | 5 | | that invest in a wide variety of securities. | 6 | | "Economic opportunity" means any purchase, sale, lease, | 7 | | contract, option or other transaction or arrangement involving | 8 | | property or services wherein the filer may gain an economic | 9 | | benefit. The term shall not include gifts. | 10 | | "Economic relationship" means any relationship that | 11 | | provides the filer with income or an economic opportunity. | 12 | | Economic relationships include, but are not limited to, | 13 | | ownership interests in family-owned businesses and | 14 | | creditor-debtor relationships with third parties other than | 15 | | commercial lending institutions. | 16 | | "Family" means a filer's spouse, children, step-children, | 17 | | parents, step-parents, siblings, step-siblings half-siblings, | 18 | | brothers-in-law, sisters-in-law, sons-in-law, | 19 | | daughters-in-law, aunts, uncles, nieces, nephews, great aunts, | 20 | | great uncles, first cousins, grandfathers, grandmothers, | 21 | | grandsons, and granddaughters, as well as the father, mother, | 22 | | grandfather, and grandmother of the filer's spouse. | 23 | | "Income" means, for the purposes of Sections 4A-102 and | 24 | | 4A-103, income from whatever source derived, required to be | 25 | | reported on the filer's federal income tax return, including, | 26 | | but not limited to: compensation received for services rendered |
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| 1 | | or to be rendered (as reported on any Internal Revenue Service | 2 | | forms, including, but not limited to, W-2, 1099, or K-1); | 3 | | earnings or capital gains from the sale of assets; profit; | 4 | | interest or dividend income from all assets; revenue from | 5 | | leases and rentals, royalties, prizes, awards or barter; | 6 | | forgiveness of debt; and earnings annuities or trusts other | 7 | | than testamentary trusts. "Income" does not include | 8 | | compensation earned from service in the position that | 9 | | necessitates the filing of the statement of economic interests | 10 | | or income from the sale of a personal residence or personal | 11 | | vehicle. | 12 | | "Investment real estate" means any real property, other | 13 | | than a filer's personal residences, purchased to produce a | 14 | | profit, whether from income or resale. | 15 | | "Lobbyist" means an individual who is required to be | 16 | | registered to engage in lobbying activities pursuant to any | 17 | | statute, regulation, or ordinance adopted by a unit of | 18 | | government in the State of Illinois. | 19 | | "Personal residence" means a filer's primary home | 20 | | residence and any residential real property held by the filer | 21 | | and used by the filer for residential rather than commercial or | 22 | | income generating purposes. | 23 | | "Sector funds" means mutual funds or exchange traded funds | 24 | | invested in a particular industry or business. | 25 | | "Spouse" means a party to a marriage, a party to a civil | 26 | | union, or a registered domestic partner. |
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| 1 | | BASIC INFORMATION: | 2 | | Name: ....................................................... | 3 | | Job title: ................................................... | 4 | | Office, department, or agency that requires you to file this | 5 | | form: ........................................................ | 6 | | Other offices, departments, or agencies that require you to | 7 | | file a Statement of Economic Interests form: ................ | 8 | | Full mailing address: ....................................... | 9 | | Preferred e-mail address (optional) ......................... | 10 | | QUESTIONS: | 11 | | 1. If you have any single asset that was worth more than | 12 | | $10,000 as of the end of the preceding calendar year and is | 13 | | held in your name, held jointly by you with your spouse, or | 14 | | held jointly by you with your minor child,
list such assets | 15 | | below. If you do not have any such assets, list "none" below. | 16 | | ............................................................. | 17 | | ............................................................. | 18 | | ............................................................. | 19 | | ............................................................. | 20 | | ............................................................. | 21 | | 2. Excluding the position for which you are required to | 22 | | file this form, list the source of any income in excess of | 23 | | $2,500 in income as reported on your federal income tax return | 24 | | covering the preceding calendar year. If you sold an asset that |
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| 1 | | produced more than $2,500 in capital gains in the preceding | 2 | | calendar year, list the name of the asset and the transaction | 3 | | date on which the sale or transfer took place. If you had no | 4 | | other sources of income exceeding $2,500, list "none" below. |
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5 | | | 6 | | Source of Income / Name of | 7 | | Asset |
Date Sold (if applicable) |
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8 | | ............................... |
............................... |
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9 | | ............................... |
............................... |
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10 | | ............................... |
............................... |
| 11 | | 3. Excluding debts incurred on terms available to the | 12 | | general public, such as mortgages, student loans, and credit | 13 | | card debts, if you owed any single debt in the preceding | 14 | | calendar year exceeding $5,000, list the creditor of the debt | 15 | | below. If you had no such debts, list "none" below. | 16 | | List the creditor for all applicable debts owed by you, | 17 | | owed jointly by you with your spouse, or owed jointly by you | 18 | | with your minor child. In addition to the types of debts listed | 19 | | above, you do not need to report any debts to or from financial | 20 | | institutions or government agencies, such as debts secured by | 21 | | automobiles, household furniture or appliances, as long as the | 22 | | debt was made on terms available to the general public and does | 23 | | not exceed the purchase price of the item securing the loan, | 24 | | debts to members of your family, or debts to or from a | 25 | | political committee registered with the Illinois State Board of | 26 | | Elections or any political committee, principal campaign |
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| 1 | | committee, or authorized committee registered with the Federal | 2 | | Election Commission. | 3 | | ............................................................. | 4 | | ............................................................. | 5 | | ............................................................. | 6 | | ............................................................. | 7 | | 4. Excluding debts owed to you by members of your family or | 8 | | by a political committee, if there is any entity or person who | 9 | | owed any debt to you in the preceding calendar year exceeding | 10 | | $5,000, list the debtor below. If no such debts were owed to | 11 | | you, list "none" below. | 12 | | List the debtor for all applicable debts owed to you, owed | 13 | | jointly to you with your spouse, or owed jointly to you with | 14 | | your minor child. You do not need to report loans made to | 15 | | members of your family or to a political committee registered | 16 | | with the Illinois State Board of Elections or any political | 17 | | committee, principal campaign committee, or authorized | 18 | | committee registered with the Federal Election Commission. | 19 | | ............................................................. | 20 | | ............................................................. | 21 | | ............................................................. | 22 | | 5. If you maintain an economic relationship with a lobbyist | 23 | | or if a member of your family is a lobbyist registered with any | 24 | | unit of government in the State of Illinois, list the name of | 25 | | the lobbyist below and identify the nature of your relationship | 26 | | with the lobbyist. If you do not have an economic association |
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| 1 | | with a lobbyist, list "none" below. |
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2 | | | 3 | | Name of Lobbyist |
Relationship to Filer |
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4 | | ............................... |
............................... |
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5 | | ............................... |
............................... |
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6 | | ............................... |
............................... |
| 7 | | 6. List the name of any person, organization, or entity | 8 | | that was the source of a gift or gifts, or honorarium or | 9 | | honoraria, valued singly or in the aggregate in excess of | 10 | | $1,000 received during the preceding calendar year. | 11 | | ............................................................. | 12 | | ............................................................. | 13 | | ............................................................. | 14 | | VERIFICATION: | 15 | | "I declare that this statement of economic interests | 16 | | (including any attachments) has been examined by me and to the | 17 | | best of my knowledge and belief is a true, correct and complete | 18 | | statement of my economic interests as required by the Illinois | 19 | | Governmental Ethics Act. I understand that the penalty for | 20 | | willfully filing a false or incomplete statement is a fine not | 21 | | to exceed $2,500 or imprisonment in a penal institution other | 22 | | than the penitentiary not to exceed one year, or both fine and | 23 | | imprisonment." | 24 | | Printed Name of Filer ........................................ | 25 | | Date ......................................................... |
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| 1 | | Signature .................................................... | 2 | | If this statement of economic interests requires ethics officer | 3 | | review prior to filing, the applicable ethics officer must | 4 | | complete the following: | 5 | | CERTIFICATION OF ETHICS OFFICER REVIEW: | 6 | | "In accordance with law, as Ethics Officer, I reviewed this | 7 | | statement of economic interests prior to its filing." | 8 | | Printed Name of Ethics Officer ............................... | 9 | | Date ......................................................... | 10 | | Signature .................................................... | 11 | | STATEMENT OF ECONOMIC INTEREST
| 12 | | (TYPE OR HAND PRINT)
| 13 | | .............................................................
| 14 | | (name)
| 15 | | .............................................................
| 16 | | (each office or position of employment for which this
statement | 17 | | is filed)
| 18 | | .............................................................
| 19 | | (full mailing address)
| 20 | | GENERAL DIRECTIONS:
| 21 | | The interest (if constructively controlled by the person | 22 | | making the
statement) of a spouse or any other party, shall be | 23 | | considered to be the
same as the interest of the person making |
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| 1 | | the statement.
| 2 | | Campaign receipts shall not be included in this statement.
| 3 | | If additional space is needed, please attach supplemental | 4 | | listing.
| 5 | | 1. List the name and instrument of ownership in any entity | 6 | | doing
business in the State of Illinois, in which the ownership | 7 | | interest held by
the person at the date of filing is in excess | 8 | | of $5,000 fair market value
or from which dividends in excess | 9 | | of $1,200 were derived during the
preceding calendar year. (In | 10 | | the case of real estate, location thereof
shall be listed by | 11 | | street address, or if none, then by legal description.)
No time | 12 | | or demand deposit in a financial institution, nor any debt
| 13 | | instrument need be listed.
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14 | | Business Entity |
Instrument of Ownership |
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15 | | ............................... |
............................... |
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16 | | ............................... |
............................... |
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17 | | ............................... |
............................... |
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18 | | ............................... |
............................... |
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19 | | 2. List the name, address and type of practice of any | 20 | | professional
organization in which the person making the | 21 | | statement was an officer,
director, associate, partner or | 22 | | proprietor or served in any advisory
capacity, from which | 23 | | income in excess of $1,200 was derived during the
preceding | 24 | | calendar year.
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25 | | Name |
Address |
Type of Practice |
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26 | | .................... |
.................... |
..................... |
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| 1 | | .................... |
.................... |
..................... |
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2 | | .................... |
.................... |
..................... |
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3 | | 3. List the nature of professional services rendered (other | 4 | | than to the
State of Illinois) to each entity from which income | 5 | | exceeding $5,000 was
received for professional services | 6 | | rendered during the preceding calendar
year by the person | 7 | | making the statement.
| 8 | | .............................................................
| 9 | | .............................................................
| 10 | | 4. List the identity (including the address or legal | 11 | | description of real
estate) of any capital asset from which a | 12 | | capital gain of $5,000 or more
was realized during the | 13 | | preceding calendar year.
| 14 | | .............................................................
| 15 | | .............................................................
| 16 | | 5. List the identity of any compensated lobbyist with whom | 17 | | the person
making the statement maintains a close economic | 18 | | association, including the
name of the lobbyist and specifying | 19 | | the legislative matter or matters which
are the object of the | 20 | | lobbying activity, and describing the general type of
economic | 21 | | activity of the client or principal on whose behalf that person | 22 | | is
lobbying.
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23 | | Lobbyist |
Legislative Matter |
Client or Principal |
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24 | | .................... |
.................... |
..................... |
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25 | | .................... |
.................... |
..................... |
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26 | | 6. List the name of any entity doing business in the State |
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| 1 | | of Illinois
from which income in excess of $1,200 was derived | 2 | | during the preceding
calendar year other than for professional | 3 | | services and the title or
description of any position held in | 4 | | that entity. (In the case of real
estate, location thereof | 5 | | shall be listed by street address, or if none,
then by legal | 6 | | description). No time or demand deposit in a financial
| 7 | | institution nor any debt instrument need be listed.
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8 | | Entity |
Position Held |
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9 | | ............................... |
............................... |
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10 | | ............................... |
............................... |
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11 | | ............................... |
............................... |
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12 | | 7. List the name of any unit of government which employed | 13 | | the person
making the statement during the preceding calendar | 14 | | year other than the unit
or units
of government in relation to | 15 | | which the person is required to file.
| 16 | | .............................................................
| 17 | | .............................................................
| 18 | | 8. List the name of any entity from which a gift or gifts, | 19 | | or honorarium
or honoraria, valued singly or in the aggregate | 20 | | in excess of $500, was
received during the preceding calendar | 21 | | year.
| 22 | | .............................................................
| 23 | | VERIFICATION:
| 24 | | "I declare that this statement of economic interests | 25 | | (including any
accompanying schedules and statements) has been | 26 | | examined by me and to the
best of my knowledge and belief is a |
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| 1 | | true, correct and complete statement
of my economic interests | 2 | | as required by the Illinois Governmental Ethics
Act. I | 3 | | understand that the penalty for willfully filing a false or
| 4 | | incomplete statement shall be a fine not to exceed $1,000 or | 5 | | imprisonment
in a penal institution other than the penitentiary | 6 | | not to exceed one year,
or both fine and imprisonment."
| 7 | | ................ ..........................................
| 8 | | (date of filing) (signature of person making the statement)
| 9 | | (Source: P.A. 95-173, eff. 1-1-08.)
| 10 | | (5 ILCS 420/4A-108) | 11 | | Sec. 4A-108. Internet-based systems of filing ; required | 12 | | training for ethics officers . | 13 | | (a) Notwithstanding any other provision of this Act or any | 14 | | other law, the Secretary of State and county clerks are a | 15 | | county clerk is authorized to institute an Internet-based | 16 | | system for the filing of statements of economic interests in | 17 | | their offices his or her office . With respect to county clerk | 18 | | systems, the The determination to institute such a system shall | 19 | | be in the sole discretion of the county clerk and shall meet | 20 | | the requirements set out in this Section. With respect to a | 21 | | Secretary of State system, the determination to institute such | 22 | | a system shall be in the sole discretion of the Secretary of | 23 | | State and shall meet the requirements set out in this Section | 24 | | and those Sections of the State Officials and Employees Act | 25 | | requiring ethics officer review prior to filing. The system |
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| 1 | | shall include a means to amend a statement of economic | 2 | | interest. When this Section does not modify or remove the | 3 | | requirements set forth elsewhere in this Article, those | 4 | | requirements shall apply to any system of Internet-based filing | 5 | | authorized by this Section. When this Section does modify or | 6 | | remove the requirements set forth elsewhere in this Article, | 7 | | the provisions of this Section shall apply to any system of | 8 | | Internet-based filing authorized by this Section. | 9 | | (b) In any system of Internet-based filing of statements of | 10 | | economic interests instituted by the Secretary of State or a | 11 | | county clerk: | 12 | | (1) Any filing of an Internet-based statement of | 13 | | economic interests shall be the equivalent of the filing of | 14 | | a verified, written statement of economic interests as | 15 | | required by Section 4A-101 and the equivalent of the filing | 16 | | of a verified, dated, and signed statement of economic | 17 | | interests as required by Section 4A-103 4A-104 . | 18 | | (2) The Secretary of State and county clerks who | 19 | | institute A county clerk who institutes a system of | 20 | | Internet-based filing of statements of economic interests | 21 | | shall establish a password-protected website web site to | 22 | | receive the filings of such statements. A website | 23 | | established under this Section shall set forth and provide | 24 | | a means of responding to the form's questions items set | 25 | | forth in Section 4A-103 4A-102 that are required of a | 26 | | person who files a statement of economic interests with |
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| 1 | | that officer. A website established under this Section | 2 | | shall set forth and provide a means for generating a | 3 | | printable receipt page, acknowledging filing. | 4 | | (3) The times for the filing of statements of economic | 5 | | interests set forth in Section 4A-105 shall be followed in | 6 | | any system of Internet-based filing of statements of | 7 | | economic interests; provided that a candidate for elective | 8 | | office who is required to file a statement of economic | 9 | | interests in relation to his or her candidacy pursuant to | 10 | | Section 4A-105(a) shall not use the Internet to file his or | 11 | | her statement of economic interests but shall file his or | 12 | | her statement of economic interests in a written or printed | 13 | | form and shall receive a written or printed receipt for his | 14 | | or her filing. | 15 | | (4) In the first year of the implementation of a system | 16 | | of Internet-based filing of statements of economic | 17 | | interests, each person required to file such a statement is | 18 | | to be notified in writing of his or her obligation to file | 19 | | his or her statement of economic interests and the option | 20 | | to file by way of the Internet-based system or by way of | 21 | | standardized form . If access to the web site requires a | 22 | | code or password, this information shall be included in the | 23 | | notice prescribed by this paragraph. | 24 | | (5) When a person required to file a statement of | 25 | | economic interests has supplied the Secretary of State or a | 26 | | county clerk , as applicable, with an email address for the |
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| 1 | | purpose of receiving notices under this Article by email, a | 2 | | notice sent by email to the supplied email address shall be | 3 | | the equivalent of a notice sent by first class mail, as set | 4 | | forth in Section 4A-106. A person who has supplied such an | 5 | | email address shall notify the Secretary of State or county | 6 | | clerk , as applicable, when his or her email address changes | 7 | | or if he or she no longer wishes to receive notices by | 8 | | email. | 9 | | (6) If any person who is required to file a statement | 10 | | of economic interests and who has chosen to receive notices | 11 | | by email fails to file his or her statement by May 10, then | 12 | | the Secretary of State or county clerk , as applicable, | 13 | | shall send an additional email notice on that date, | 14 | | informing the person that he or she has not filed and | 15 | | describing the penalties for late filing and failing to | 16 | | file. This notice shall be in addition to other notices | 17 | | provided for in this Article. | 18 | | (7) Each county clerk who institutes a system of | 19 | | Internet-based filing of statements of economic interests | 20 | | may also institute an Internet-based process for the filing | 21 | | of the list of names and addresses of persons required to | 22 | | file statements of economic interests by the chief | 23 | | administrative officers of units of local government that | 24 | | must file such information with that county clerk pursuant | 25 | | to Section 4A-106. Whenever a county clerk institutes such | 26 | | a system under this paragraph, every unit of local |
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| 1 | | government must use the system to file this information. | 2 | | (8) The Secretary of State and any Any county clerk who | 3 | | institutes a system of Internet-based filing of statements | 4 | | of economic interests shall post the contents of such | 5 | | statements filed with him or her available for inspection | 6 | | and copying on a publicly accessible website. Such postings | 7 | | shall not include the addresses of the filers. | 8 | | (c) Each person serving as an ethics officer under the | 9 | | State Officials and Employees Ethics Act shall, within 6 months | 10 | | after the effective date of this amendatory Act of the 98th | 11 | | General Assembly, successfully complete an electronic training | 12 | | curriculum to be developed by the Secretary of State and | 13 | | thereafter successfully complete an annual training program. | 14 | | Thereafter, whenever a new ethics officer is designated under | 15 | | the State Officials and Employees Ethics Act, that person shall | 16 | | successfully complete the electronic training curriculum | 17 | | within 30 days after assuming the position. Successful | 18 | | completion of the required training curriculum within the | 19 | | periods provided shall be a prerequisite to continue serving as | 20 | | an ethics officer.
| 21 | | (Source: P.A. 96-1336, eff. 1-1-11; 97-212, eff. 7-28-11.)
| 22 | | (5 ILCS 420/4A-104 rep.)
| 23 | | Section 10. The Illinois Governmental Ethics Act is amended | 24 | | by repealing Sections 4A-104. |
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| 1 | | Section 15. The Lobbyist Registration Act is amended by | 2 | | changing Section 6 as follows: | 3 | | (25 ILCS 170/6) (from Ch. 63, par. 176) | 4 | | Sec. 6. Reports. | 5 | | (a) Lobbyist reports. Except as otherwise provided in this | 6 | | Section, every lobbyist registered under this Act who is solely | 7 | | employed by a lobbying entity
shall file an affirmation, | 8 | | verified under
oath pursuant to Section 1-109 of the Code of | 9 | | Civil Procedure, with
the
Secretary of
State attesting to the | 10 | | accuracy of any reports filed pursuant to subsection (b) as | 11 | | those reports pertain to work performed by the lobbyist. Any | 12 | | lobbyist registered under this Act who is not solely employed | 13 | | by a lobbying entity shall personally file reports required of | 14 | | lobbying entities pursuant to subsection (b). A lobbyist may, | 15 | | if authorized so to do by a lobbying entity by whom he or she is | 16 | | employed or retained, file lobbying entity reports pursuant to | 17 | | subsection (b) provided that the lobbying entity may delegate | 18 | | the filing of the lobbying entity report to only one lobbyist | 19 | | in any reporting period.
| 20 | | (b) Lobbying entity reports. Every lobbying entity | 21 | | registered under this Act shall report expenditures related to | 22 | | lobbying. The report shall itemize each individual expenditure | 23 | | or transaction
and shall include the name of the official on | 24 | | whose behalf the
expenditure
was made, the name of the client | 25 | | if the expenditure was made on behalf of a client, the
total |
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| 1 | | amount of the expenditure, a description of the expenditure, | 2 | | the vendor or purveyor to whom the expenditure was made | 3 | | (including the address or location of the expenditure), the | 4 | | date on which the expenditure occurred and
the subject matter | 5 | | of the lobbying activity, if any.
Each expenditure required to | 6 | | be reported shall include all expenses made for or on behalf of | 7 | | an official or his or her immediate family member living with | 8 | | the official. | 9 | | (b-1) The report shall include any change or addition to | 10 | | the client list information, required in Section 5 for | 11 | | registration, since the last report, including the names and | 12 | | addresses of all clients who retained the lobbying entity | 13 | | together with an itemized description for each client of the | 14 | | following: (1) lobbying regarding executive action, including | 15 | | the name of any executive agency lobbied and the subject | 16 | | matter; (2) lobbying regarding legislative action, including | 17 | | the General Assembly and any other agencies lobbied and the | 18 | | subject matter; and (3) lobbying regarding administrative | 19 | | action, including the agency lobbied and the subject matter. | 20 | | Registrants who made no reportable expenditures during a | 21 | | reporting period shall file a report stating that no | 22 | | expenditures were incurred.
| 23 | | (b-2) Expenditures attributable to lobbying officials | 24 | | shall be listed and reported
according to the following | 25 | | categories:
| 26 | | (1) travel and lodging on behalf of others, including, |
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| 1 | | but not limited to, all travel and living accommodations | 2 | | made for or on behalf of State officials during sessions of | 3 | | the General Assembly.
| 4 | | (2) meals, beverages and other entertainment.
| 5 | | (3) gifts (indicating which, if any, are on the basis | 6 | | of personal friendship).
| 7 | | (4) honoraria.
| 8 | | (5) any other thing or service of value not listed | 9 | | under categories (1) through (4), setting forth a | 10 | | description of the expenditure.
The category travel and | 11 | | lodging includes, but is not limited to, all travel and | 12 | | living accommodations made for or on behalf of State | 13 | | officials in the State capital during sessions of the | 14 | | General Assembly.
| 15 | | (b-3) If expenditures are Expenditures incurred for | 16 | | hosting receptions, benefits , and other large
gatherings held | 17 | | for purposes of goodwill or otherwise to influence executive,
| 18 | | legislative , or administrative action and if the total number | 19 | | of State officials invited to such an event is equal to or | 20 | | greater than the number of State legislators in the smaller | 21 | | minority caucus of either the House of Representatives or the | 22 | | Senate, as defined in the rules of those chambers, then to | 23 | | which there are 25 or more State
officials invited shall be | 24 | | reported listing only the total amount of
the
expenditure, the | 25 | | date of the event, and the estimated number of officials in
| 26 | | attendance shall be reported .
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| 1 | | (b-5) The report must include a description of any business | 2 | | or familial relationship, or both, that a registrant has with | 3 | | an official who he or she is registered to lobby under this | 4 | | Act. For the purposes of this subsection, "familial | 5 | | relationship" includes those people
related to the registrant | 6 | | as spouse, as defined in the Illinois Governmental Ethics Act, | 7 | | child, step-child, parent, step-parent, sibling, step-sibling, | 8 | | half-sibling, parent-in-law, brother-in-law, sister-in-law, | 9 | | son-in-law, daughter-in-law, aunt, uncle, niece, nephew, great | 10 | | aunt, great uncle, first cousin, grandfather, grandmother, | 11 | | grandson and granddaughter, as well as the father, mother, | 12 | | grandfather and grandmother of the filer's spouse. | 13 | | (b-7) Matters excluded from reports. The following items | 14 | | need not be included in the report: | 15 | | (1) Reasonable and bona fide expenditures made by the | 16 | | registrant
who is a member of a legislative or State study | 17 | | commission or committee while
attending and participating | 18 | | in meetings and hearings of such commission or
committee.
| 19 | | (2) Reasonable and bona fide expenditures made by the | 20 | | registrant for personal
sustenance, lodging, travel, | 21 | | office expenses and clerical or support staff.
| 22 | | (3) Salaries, fees, and other compensation paid to
the | 23 | | registrant
for the
purposes of lobbying.
| 24 | | (4) Any contributions required to be reported under | 25 | | Article 9 of the Election
Code.
| 26 | | (5) Expenditures made by a registrant on behalf of an |
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| 1 | | official that are returned or reimbursed prior to the | 2 | | deadline for submission of the report. | 3 | | (c)
A registrant who terminates employment or duties which | 4 | | required him or her to
register under this Act shall give the | 5 | | Secretary of State, within 30 days after
the date of such | 6 | | termination, written notice of such termination and shall
| 7 | | include therewith a report of the expenditures described | 8 | | herein, covering the
period of time since the filing of his or | 9 | | her last report to the date of termination
of employment. Such | 10 | | notice and report shall be final and relieve such
registrant of | 11 | | further reporting under this Act, unless and until he or she | 12 | | later takes
employment or assumes duties requiring him or her | 13 | | to again register under this Act.
| 14 | | (d) Failure to file any such report within the time | 15 | | designated or the
reporting of incomplete information shall | 16 | | constitute a violation of this Act.
| 17 | | A registrant shall preserve for a period of 2 years all | 18 | | receipts and records
used in preparing reports under this Act.
| 19 | | (e) Within 30 days after a filing deadline or as provided | 20 | | by rule, the lobbyist shall notify each
official on whose | 21 | | behalf an expenditure has been reported. Notification shall
| 22 | | include the name of the registrant, the total amount of the | 23 | | expenditure, a description of the expenditure, the
date on | 24 | | which the expenditure occurred, and the subject matter of the | 25 | | lobbying
activity.
| 26 | | (f) A report for the period beginning January 1, 2010 and |
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| 1 | | ending on June 30, 2010 shall be filed no later than July 15, | 2 | | 2010, and a report for the period beginning July 1, 2010 and | 3 | | ending on December 31, 2010 shall be filed no later than | 4 | | January 15, 2011. Beginning January 1, 2011, reports shall be | 5 | | filed semi-monthly as follows: (i) for the period beginning the | 6 | | first day of the month through the 15th day of the month, the | 7 | | report shall be filed no later than the 20th day of the month | 8 | | and (ii) for the period beginning on the 16th day of the month | 9 | | through the last day of the month, the report shall be filed no | 10 | | later than the 5th day of the following month. A report filed | 11 | | under this Act is due in the Office of the Secretary of State | 12 | | no later than the close of business on the date on which it is | 13 | | required to be filed. | 14 | | (g) All reports filed under this Act shall be filed in a | 15 | | format or on forms prescribed by the Secretary of State.
| 16 | | (Source: P.A. 96-555, eff. 1-1-10; 96-1358, eff. 7-28-10.)
| 17 | | Section 99. Effective date. This Act takes effect January | 18 | | 1, 2015.".
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