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City of Annapolis 2020 Annual Financial Disclosure Statement (City of Annapolis)

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Revised December 8, 2020 1
2020 Annual Financial Disclosure Statement
for
Elected Officials and Candidates for Elected Office
Introduc
tion
The attached financial disclosure statement seeks disclosure of
potential conflicts between your duties as an elected official
or as a candidate for elected office and your personal or business interests. Under the provisions of Section 2.08.050 of
the Annapolis City Code, you must complete and file this statement in accordance with the following instructions. Please
note, this Financial Disclosure Statements are considered to be a matter of public record without the consent of the elected
official completing the form. Home addresses reported in Financial Disclosure statements will be redacted if publically
examined.
Who Must File
All elected officials and candidates for elected office are requi
red by law to complete and file a Financial Disclosure
Statement.
What is Filed
You must complete and file the attached questionnaire regarding
your financial interests, together with any supporting
schedules required under the terms of the questionnaire. In completing the questionnaire, you are required to provide dollar
values for the interests covered by the questions. On the Financial Disclosure Statement you must answer all
questions and sign the second page but only need to complete and sign the Schedules which apply to you, i.e.,
Schedules for the questions to which you have answered “Yes.”
When and Where to File
Fully completed statements and supporting schedules must be filed
with the Ethics Commission on or before January 31,
2021. This statement must be mailed or delivered to the City Ethics Commission, c/o City of Annapolis Office of Law, 160
Duke of Gloucester Street, Annapolis, MD 21401.
On-Line Fill-in-able PDF Forms
Fill-in-able Financial Disclosure Forms are available at www.annapolis.gov under the “Government” and “Forms, Permits,
and Licenses in Alphabetical Order” tabs. The form can be completed on-line, saved to your computer, and printed. The
printed copy of your FD Statement must be signed and then mailed or delivered to the City Ethics Commission, c/o City of
Annapolis Office of Law, 160 Duke of Gloucester Street, Annapolis, MD 21401. Adobe Reader (available as a free
download) is needed to view and fill out the form.
Additional Information
If this form is not received by the Ethics Commission on or before its due date, you may be subpoenaed to appear before
the Commission or allowable sanctions may be imposed by the Ethics Commission for non-compliance with the Ethics Law,
City Code 2.08. Incomplete forms will be returned for the missing information and a new due date provided. If you need
additional information or clarification regarding the completion of the statement, please contact the City of Annapolis Office
of Law at 410-263-7954.
Ethics Commission
c/o Office of Law
160 Duke of Glouces
ter Street
Annapolis, MD 21401-2517
Ethics@annapolis.gov • 410-263-7954 • Fax 410-268-3916 • TDD use MD Relay or 711 • www.annapolis.gov
City of Annapolis
Revised December 8, 2020 2
Definitions
The following definitions from Annapolis City Code S
ection 2.08.020 are provided for reference in completing the attached
forms:
1.
"Business entity" means a corporation, limited liability company, general or limited partnership, sole proprietorship, join
t
venture,
unincorporated association or firm, institution, trust, foundation, or other organization, whether or not operated for
profit. "Business entity" does not include a governmental entity.
2. "Commissi
on" means the City of Annapolis Ethics Commission as established in Section 2.08.030
.
3. "Compensation" means any money or thing of value, regardless of form, received or to be received by any individual
covered
by this chapter from an employer for service rendered. For the purposes of Section 2.08.070 of this chapter, if
lobbying is only a portion of a person's employment, "compensation" means a prorated amount based on the time devoted
to lobbying compared to the time devoted to other employment duties.
4. "Doing bu
siness with" mean
s:
a.
Having or negotiating a contract that involves the commitment (either in a single or combination of transactions) o
f
one thou
sand dollars or more of City controlled funds; or
b. Being reg
ulated by or otherwise under the authority of the City; o
r
c. Being re
gistered as a lobbyist in accordance with Section 2.08.070 of this c
hapter.
5. "Elected official" includes the Mayor and members of the City Council.
6. "Employee" means a
n individual who is employed by City of Annapolis. "Employee" does not include an elected official
.
7. "Financi
al interest" means:
a.
Ownership of any interest as the result of which the owner has received, within the past three years, or is presently
receiving, or in the future is entitled to receive, more than one thousand dollars per year any compensation; or
b.
Ownership, or the ownership of securities of any kind representing or convertible into ownership, of more than three
percent of a business entity by a City official or employee, or the spouse of an official or employee.
8.
"Gift" means the transfer of anything of economic value regardless of the form without adequate and lawful consi
deration,
wheth
er or not it relates to the performance of official duties. However, "gift" does not include the solicitation, acceptance
or receipt of any campaign contributions regulated in accordance with any law pertaining to the conduct of elections or the
receipt of political campaign contributions.
9.
"Interest" means any legal or equitable economic interest, whether or not subject to an encumbrance or a condition, which
was owned or held, in whole or in part, jointly or severally, directly or indirectly. for purposes of Section 2.08.050 of this
chapter, "interest" applies to any interests held at any time during the calendar year for which a required statement is to be
filed. "Interest" does not include:
a.
An interest held in the capacity of a personal agent, representative custodian, fiduciary, or trustee, unless the holder
has an equitable interest therein;
b. An interest
in a time or demand deposit in a financial insti
tution;
c.
An interest in an insurance or endowment policy or annuity contract under which an insurance company promises to
pay a fixed number of dollars either in a lump sum or periodically for life or some other specified period;
d.
A common trust fund or a trust which forms part of a pension or profit sharing plan which has more than twenty-five
participants and which has been determined by the internal revenue service to be a qualified trust under §§ 401 and 501
of the Internal Revenue Code of 1954; or
e.
An interest in a City pension plan, City deferred compensation plan or a college savings plan under the
Internal
Reven
ue Code.
f.
An interest in any 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 stock and interests in a specific sector or area that is
regulated by the City of Annapolis.
10.
"Lobbyist" or "lobbying" means the person or act of communicating in the presence of a City official or employee wi
th
the
intent to influence any official action of that official or employee; or the person or act of engaging in activities having the
Revised December 8, 2020 3
express purpose of soliciting others to communicate with a City official or employee with the intent to influence that official
or employee; and who expends (exclusive of personal travel and subsistence) in excess of two hundred fifty dollars per
calendar year on food, entertainment or gifts for any officials or employees of the City.
11.
"Official" means an elected official, an employee of the City directly or by contract, or a person appointed to or employe
d
by
a City agency, board, commission, or similar entity whether or not paid in whole or in part with City funds and whether or
not compensated. Members of the Board of Commissioners of the Housing Authority of the City of Annapolis (HACA), the
Executive Director of HACA and the Deputy Director(s) of HACA are part of a separate entity; however, in accordance with
State law, and for purposes of the City Ethics law, the individuals in these HACA positions are considered City officials.
12. "Perso
n" includes any natural person, or busine
ss entity.
13. "Qualified relative" means
spous
e, siblings, parents, children, and their spouse
s.
14. “Immediat
e family” means a spouse and dependent children, and anyone else living in an official’s residence.
Other Reportable Interests
In addition to interests held directly, you must also disclose the follo
wing indirect interests:
1.
An interest held by a member of your immediate family, if the interest was, at any time during the reporting period, directly
or indirectly controlled by you.
2.
An interest held by a business entity in which the individual held a thirty percent or greater interest at any time during
the
repo
rting period.
3. An interest
held by a trust or an estate in which, at any time during the reporting period, you held a reversionary interes
t
or was a beneficiary; or, if a revocable trust, you were a settlor.
Revised December 8, 2020 4
(Page Intentionally Left Blank)
Revised December 8, 2020 Page 1 of 11
2020 Financial Disclosure Statement
for
Elected Officials and Candidates for Elected Office
Name
Office/Position
Rep
orting period January 1, 2020 through December 31, 2020
This Financial Disclosure Statement, together with any required supporting schedules, describes all financial interests and
related transactions and other matters required to be disclosed by me under Section 2.08.050 of the Annapolis City Code.
1. Did you during this reporting period hold interest(s) in real property? This includes all properties that you own or lease
from others anywhere, including your residen
ce.
If yes, complete the attached Schedule 1, using one page for each property or interest. Yes No
If no, please
explain:
2.
Did you during this reporting period hold interest(s) in a business entity, whether or not the business entity did business
with the City of Annapolis? This includes ownership of public and privately held corporation stock, trusts, and the
participation in partnerships but not the ownership of publicly traded mutual funds or exchange-traded funds. Busines
s
entity is defined on page 2
of the instructions.
If yes, complete the attached Schedule
2.
Yes No
3.
Did you during this reporting period hold interest(s), other than interests reported under question 2, in a business entity
doing business with the City of Annapolis?
If yes, complete the attached Schedule 3. Yes N
o
4.
Did you during this reporting period receive a gift of property or a gift of monetary value from any person doing or seeki
ng
to
do business with the City of Annapolis? Reportable gifts include meals and beverages costing more than $35.00 each
and each gift in excess of $20.00 within the calendar year. Excluded from gifts are campaign contributions regulated
in
accordan
ce with any law pertaining to the conduct of elections or the receipt of political campaign contributions and g
ifts
received from
a qualified relative or from your immediate family should not be reported.
If yes, complete the attached Schedule
4.
Yes No
5.
Did you or a member of your immediate family at any time during this reporting period hold interest(s) in or hold an office
,
dire
ctorship or salaried position in a business entity doing business with the City of Annapolis? Listings of businesses
and financial institutions doing business with the City are available at www.annapolis.gov under Ethics Commission
Documents.
If yes, complete the attached Schedule 5. Yes No
6. Did you or a member of your immediate family during this reporting period have indebtedness (excluding retail credit
accounts) to entities doing business with the City of Annapolis?
If yes, complete the attached Schedule 6. Yes No
This Form Continues with Question 7 on Back Side of this Page
Ethics Commission
c/o Office of Law
160 Duke of Glouces
ter Street
Annapolis, MD 21401-2517
Ethics@annapolis.gov • 410-263-7954 • Fax 410-268-3916 • TDD use MD Relay or 711 • www.annapolis.gov
City of Annapolis
Revised December 8, 2020 Page 2 of 11
7.
Was a member of your immediate family at any time during this reporting period employed by the City of Annapolis?
If yes, complete the attached Schedule 7. Y
es
No
8.
Did you or any member of your immediate family receive earned income from business entities other th
an the City of
Annapoli
s during this reporting period?
If yes, complete the attached Schedule 8. Y
es
No
9.
Do you wish to disclose any additional interest(s) or informatio
n?
If yes, complete the attached Schedule
9.
Yes No
Please note that questions 1 to 9 above must all be answered. If you answer “yes” to any question, you must also
complete, date, and sign the corresponding schedule. If this form is not received by the Ethics Commission on or
before January 31, 2021, you may be subpoenaed to appear before the Ethics Commission or allowable sanctions
may be imposed by the Ethics Commission for non-compliance with the Ethics Law, City Code 2.08.
I HEREBY CERTIFY AND AFFIRM, UNDER PENALTY OF PERJURY, THAT THE INFORMATION CONTAINED IN THIS
STATEMENT AND ITS ATTACHED SCHEDULES (IF ANY) IS ACCURATE AND COMPLETE TO THE BEST OF MY
KNOWLEDGE AND BELIEF.
Signature Date
Mail address *
City ST Zip
Phone(s), day
* Hom
e addresses reported in Financial Disclosure statements will be redacted if publically examined.
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 3 of 11
SCHE
DULE 1
Interests in Real Property Located in Maryland
1. Property Information
Use one sheet for each property reported; photocopies of this form are acceptable. Home addresses reported in Financial
Disclosure statements will be redacted if publically examined.
Location by street address, mailing address, and description of property:
2.
Interest Held
Nature of interest, e.g., owner in fee, lessee, etc.
Extent of interest held, i.e. 1/3, 50%; do not
include dollar value:
If
your interest is attributed to you, rather than held directly by you (i.e., you hold indirectly, such as through a trust), explain
the basis of the attribution below.
List
below any conditions and the name of the holder(s) of any encumbrances on the property (mortgages, leases, etc., not
including dollar value:
3.
Acquisition Information
Date acquired:
From: Name(s):
Address:
Consideration Given:
Manner of acquisition, e.g. purchased, rented, etc.
4.
If Interest Transferred During This Reporting Peri
od
De
scription of transferal if sold, gifted, or transferred during this period.
Method of Transfer:
Date of Transfer:
Transferred to:
N
ame(s):
Address:
Consideration Received:
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 4 of 11
SCHE
DULE 2
Interest in Business Entities *
* The names of and your interest in publicly traded mutual funds and exchange-traded funds need not be reported.
Name and address of Business
Entity, i.e., of the corporation,
partnership, limited liability
partnership, or limited liability
corporation and date of
acquisition
Nature and amount, either number of
shares or dollar value, of interest held,
i.e., stock ownership, proprietor, or
partnership, including any conditions to
and encumbrances upon the interest
For any interest or portion of interest
transferred during period, describe the interest
transferred, the date and value of the interest
transferred, and the identity of the transferee
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 5 of 11
SCHE
DULE 3
Interests in Business Entities Doing
Business with the City of Annapolis*
* Listings of businesses and financial institutions doing business with the City are available at
www.annapolis.gov under Ethics Commission Documents.
Nature of Interests
Name and address of
principal office of
Business Entity
Amount of Interest including
encumbrances
Disclose any portion transferred or
obtained, consideration given or
received, and identity of other party
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 6 of 11
SCHE
DULE 4
Gifts from Persons Doing Business with the City of Annapolis *
* Reportable gifts include meals and beverages costing more than $35.00 each and any gift in excess of $20.00 within the
cale
ndar year. Gifts received from a qualified relative or from your immediate family should not be reported. You should
not report as gifts the acceptance or receipt of any campaign contributions regulated in accordance with any law pertaining
to the conduct of elections or the receipt of political campaign contributions.
Nature, value of gift, and date received.
Identity of person from whom the gift was received
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 7 of 11
SCHE
DULE 5
Offices, Directorships and Salaried Employment Held by you
or Members of your Immediate Family in Business Entities
Doing Business with the City of Annapolis*
* Listings of businesses and financial institutions doing business with the City are available at
www.annapolis.gov under Ethics Commission Documents.
Name of person and
relationship if other
than yourself
Name and address of
principal office of
Business Entity
Title and nature of Office,
Directorship or
Salaried Employment and date
it commenced
City Agency with which involved as
defined in Doing business with,
paragraph 4 of the provided definitions
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 8 of 11
SCHEDULE 6
Debts Owed by You or Your immediate Family to
Entities Doing Business with the City of Annapolis *
* Do not include retail credit accounts, which do not have to be reported. Listings of businesses and financial institutions
doing b
usiness with the City are available at www.annapolis.gov under Ethics Commission Documents.
Name of person and
relationship if other
than yourself
Identity of person to
whom debt owed and
date liability was
incurred
A
mount of liability owed
at end of reporting
period
Terms of payment, extent to which liability
increased or reduced during the year,
identification of security given, if any
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 9 of 11
SCHEDULE 7
Members of Immediate Family Employed by the City of Annapolis
In any capacity at any time during the reporting period
Identity of spouse, sibling, parent,
children, or their spouses who are
employed by the City
Nature and title of position held Length of employment
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 10 of 11
SCHE
DULE 8
Earned Income by you or Members of your Immediate Family*
from Business Entities other than the City of Annapolis
* A minor child's employment or business ownership need not be disclosed if the agency that employs the individual does
not regul
ate, exercise authority over, or contract with the place of employment or business entity of the minor child.
Name of person and relationship if other
than yourself
Name and address of each employer or business entity providing earned
income during the reporting period
Statement of Financial Interests
Name
Reporting period: January 1, 2020 through December 31, 2020
Signature Date
Revised December 8, 2020 Page 11 of 11
SCHE
DULE 9
Additional interest(s) or Information Disclosure
Nature of interest or transaction Other pertinent information
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Completed 9 February 2021

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