Part 3 – Investments
List stocks, bonds, notes or other investments you and your immediate family held (minimum $5,000)
as of December 31, 2019.
LIST THE NAME OF EACH:
• stock and stock option
• note or other evidence of indebtedness
• sponsor of mutual fund and money market fund (i.e.
Fidelity or Janus Fund)
• security issued by the State of Wisconsin or by local
governmental entities within Wisconsin
• any of the above held directly or:
o in a deferred compensation plan, profit sharing plan,
or pension plan whose investments you or your
immediate family direct
o in an individual retirement account (IRA)
o in a trust in which you or your immediate family
member has beneficial use
o held for you by a corporation, partnership, or other
entity which you or your immediate family member
DO NOT LIST:
• savings accounts
• checking accounts
• certificates of deposit
• insurance contracts
• securities issued by the federal government or a government
• securities in a company in which you and your immediate
family’s total interest is valued at less than $5,000
List the security by name. For example, list “Harley
Davidson” or “IBM.” Do NOT list “deferred compensation plan”
or “IRA” or “Charles Schwabb,” since these terms do not
identify the securities within the deferred compensation plan,
IRA, or brokerage account.
Name of sponsor of mutual fund or money market fund:
List the sponsor name only, NOT each separate fund within
each mutual fund or money market. Combine the value of all
within each sponsor name.
To determine whether an investment meets the $5,000
minimum for reporting add the total value of all types of
securities you and your immediate family held in an individual
business or other entity.
Investments held by a corporation, partnership or other
entity which you and your immediate family control:
Investments must be listed (if aggregating $5,000 or more) if
they are owned by another entity which you and your
immediate family control (i.e. have more than 50% of
outstanding voting interests or have a majority of the directors
or managers of the entity).
Investments held in a trust: List the name of each security
valued at $5,000 or more, held in a trust created by you or in
which you have a vested beneficial interest.
Investments held in a Tax Qualified Account: If an
investment is owned in a tax qualified account (a deferred
compensation plan, profit-sharing plan, or pension plan), you
must list the name of the security only if you or a member of
your immediate family controls the selection of that
security in your account. (If the individual investments in
your plan are selected by someone other than you, such as an
investment advisor or plan trustee, then you do not have to list
the individual securities in that plan.) Because you control
investments in your Individual Retirement Account (IRA), you
must list individual securities held by your IRA.
City of Milwaukee Deferred Compensation Plan: This plan is
not directed by the employee unless you have the PCRA
(Personal Choice Retirement Account). If you are involved in
the PCRA you must list the name of each security valued at
$5,000 or more.
Wisconsin Governmental Securities: Any security issued by
the State of Wisconsin or by local governmental entities within