2. Non-Publicly Traded Entity (Income)
Have you or your spouse, and/or dependent children received income or other payment for services, in the past 12 months,
exceeding $5,000, when aggregated, from any non-publicly traded entity? This does not include income from seminars,
lectures, or teaching engagements sponsored by a U.S. federal, state, or local government agency, a U.S. institution of
higher education or an affiliated research institute, an academic teaching hospital, or a medical center.
YES NO
If yes, please provide the following:
Name of entity:
Nature of the significant financial interest (e.g., equity, consulting fees, travel reimbursement, honoraria):
Value of the significant financial interest or statement why a value cannot be readily determined:
(Equity Interests) Do you or your spouse, and/or dependent children currently own, or have acquired in the past 12
m
onths, any equity interest in any non-publicly traded entity related to your institutional responsibilities? This can
include any stock, stock option or other ownership interest.
YES NO
If yes, please provide the following:
Name of entity:
Nature of the significant financial interest (e.g., equity, consulting fees, travel reimbursement, honoraria):
Value of the significant financial interest or statement why a value cannot be readily determined:
3. Intellectual Property Rights and Interests
Have you or your spouse, and/or dependent children received any payments, in the past 12 months, for any intellectual
property rights and interests (e.g. patents, copyrights, assigned or licensed to a party other than LU) exceeding $5,000
related to your institutional responsibilities?
YES NO
If yes, please provide the following:
Name of entity:
Nature of the significant financial interest (e.g., equity, consulting fees, travel reimbursement, honoraria):
Value of the significant financial interest or statement why a value cannot be readily determined: