bruno 1999 financial disclosure (gy-08)

8/14/2019 Bruno 1999 Financial Disclosure (GY-08)

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-,

1 . Name

Annual S t a t e m e n t o f F i n a n c i a lFo r Cal en d a r Year 1999

Joseph L. Bruno

L e g i s l a c i v e Ethics Commictee

Bo x 7 5, L . O . B . . ~ )Albany, New Y o r ~ 1 2 2 4 ~S 0( 5 1 8 ) 4 3 2 . 7 8 3 7 / 7 8 3 8 - D~ ID i s c l o s u r e

2 . (a ) T i t l e o f P o s i t i o n Neq York S t a t e Senate, 43rd Dis t r i c t

(b ) Depar tmen t , Agency o r o t h e r Governmenta l E n t i t y

New York S t a t e S e n a t e

(c) Address o f P r e s e n t O f f i c e

(d ) O f f i c e Telephone Number

Legislat ive Office Building. Room 909Albany, New Y Q ~ k 12247

518-4 '55-3191

3 . ( a ) M a r i t a l S t a t u s Ma r r i e d I f m a r r i e d , p l e a s e g i v es p o u s e ' s f u l l name i n c l u d i n g maiden name wh ere a p p l i c a b l e :

Barbara F. Bruno

(b ) L i s t t h e names o f a l l u n e m a n c i p a t e d c h i l d r e n .

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I NSTRUCTI DNS

Answer each of t h e fo l lowing q u e s t i o n s complete ly, w it h r es pe ck kOcalendar y ea r 1998, u n l e ss a n o t h e r per iod o r dace i s o t h e rwi ses p e c i f i e d . I f a d d i t i o n a l space i s needed , a t t a c h a d d i t i o n a l pages .

Whenever a "value" o r " amount " i s requi red t o be r ep o rt ed h e re in ,s uc h v al u e o r amount s h a l l b e r e p o r t e d a s being w i t h i n o n e o f t h ef o ll o w in g C a t e g or i e s: C a t e g o r y A - under $ 5 , 0 0 0 ; C a t e g o r y B$ 5 , 0 0 0 t o u n d e r $ 2 0 , 0 0 0 ; C a t e g o r y C - $2 0 , 006 t o under $ 6 0 , 0 0 0 ;Category D - $60 ,000 t o u nd er $ 10 0,0 00 ; Ca t e g o r y E - $100 ,000t o under $ 2 5 0 , 0 0 0 ; and C a t e g o r y F - $250 ,000 o r o v e r . A r e p o r t i n gi n d i v i d u a l , s ha ll i nd ic a t e Lhe 'Ca t e go ry by l e t t e r on ly.

Whenever "income- i s r equ i r ed t o b e r e p o r t e d here in , t h e t e rm "income"s h a l l mean the aggregate n e t income before t axes from th e sourcei d e n t i f i e d .

T he t e rm "ca lendar year" s h a l l mean the year end ing t.he D ecemb er 3 1 s tpreceding th e date o f f i l i n g o f t h e annual sta tement .

L . E . C . Form 1 (3 /99) 1

984

GO VERNMENT

EXHI BIT

GY-8


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4. (a ) L i s t ariy o f f i c e , t r u s t e e s h i p , d i r e c t o r s h i p , p a r t n e r s h i p "o r p o s i t i o n o f any n a t u r e , w h et h er c om p en sa te d o r n o t , h e ldby t h e r e p o r t i n g i n d i v i d u a l wi t h any f i rm, c o r p o r a t i o n ,a s s o c i a t i o n , p a r t n e r s h i p , o r o t h e r o r g a n i z a t i o n o t h e r t h a nth e S t a t e o f New York. I n c lu d e co mp en sa t ed honora ryp o s i t i o n s ; do NOT l i s t membership o r uncompensated honora ryp o s i t i o n s . I f t h e l i s t e d e n t i t y was l i c e n s e d by a ny s t a t eo r l o c a l agency, was r e g u l a t e d by any s t a t e r e g u l a t o r yagency o r l o c a l agency, o r , as a r e g u l a r an d s i g n i f i c a n tp a r t o f th e b u s i n e s s o r a c t i v i t y o f s a i d e n t i t y , d idb u si ne ss w i th , o r h a d m a t t e r s o t h e r t h a n m i n i s t e r i a l m a t t e r sb e f o r e , any s t a t e o r l o c a l agency, l i s t t h e name o f any suchagency.

Pos i t ion

Consu l tan t

Limited P a r t n e r

Limited Par toe r

Par t n e r

Organ iza t ion

B u s i n e s s ConsJllrants

R a c i n e Associates

X-Oil 1980 Special Dr i l l i n g

Tamarac Apartments

S t a t e o rL o c a l Agency

neFlC

nonQ

Done

(b) L i s t any o f f i c e , t r u s t e e s h i p , d i r e c t o r s h i p , p a r t n e r s h i p ,o r p o s i t i o n o f any n a t u r e , whe the r compensated o r n o t , h e ldby th e s p o u s e o r unemancipated c h i l d o f t h e r e p o r t i n gi n d i v i d u a l , wi t h any f i rm, c o r p o r a t i o n , a s s o c i a t i o n ,p a r t n e r s h i p , o r o t h e r o r g a n i z a t i o n o t h e r than t h e S t a t e o fNew ~ o r k . I n c l u d e compensa ted h o n o r a r y p o s i t i o n s ; do NOTl i s t membership o r uncompensa ted h o n o r a r y p o s i t ~ o n s .I f th el i s t e d e n t i t y was l i c e n s e d b y any s t a t e o r l o c a l agency, wa sr e g u l a t e d by any s t a t e r e g u l a t o r y ag en cy o r l o c a l agency,o r , as a r e g u l a r a n d s i g n i f i c a n t p a r t o f t h e b u s i n e s s o ra c t i v i t y o f s a i d e n t i t y , d id b u s i n e s s w i th , o r had ma t t e r so t h e r than m i n i s t e r i a l ma t t e r s b e f o r e , an y s t a t e o r l o c a lagency, l i s t th e name o f any such ag en cy.

p o s i t i o n

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O rg a n i z a t i o n

2

8 8 5

S t a t e o rL o c a l Agency


3/15

5. (a ) L i s t th e name, ad d re s s and d e s c r i p t i o n o f any occupat i o n , employment , . (o the r than the employment l i s t e d ~ n d e rI tem 2 above) , t r a d e , b us in ess o r p r o f e s s i o n engaged I n bythe r e p o r t i n g i n d i v i d u a l . I f such a c t i v i t y was l i c e n s e d byany s t a t e o r l o c a l agency, wa s r e g u l a t e d by any s t a t er e g u l a t o r y a ge nc y o r l o c a l agency, o r , as a r e g u l a r ands i g n i f i c a n t p a r t o f t h e b u s i n e s s o r a c t i v i t y of s a i d e n t i t y ,d i d b u s i n e s s w it h , o r had mat t e r s o t h e r than m i n i s t e r i a lm a t t e r s b e f o r e , any s t a t e o r l o c a l agency, l i s t the name o fany such ag en cy.

Pos i t ionName & Addr e s so f O r g a n i z a t i o n Descr ipt ion

S ta te o rLocal Agency

See A t t a ch ment: "A "

(b ) I f t h e s p o u s e o r unemanc ipa ted c h i l d o f th e r e p o r t i n gi n d i v i d u a l wa s engaged i n any o ccu p a t i o n , employment, t r a d e ,b u s i n e s s o r p r o f e s s i o n which a c t i v i t y was l i c e n s e d by anys t a t e o r l o c a l agency, was r e g u l a t e d by an y s t a t e r e g u l a t o r yagency o r l o c a l agency, o r , as a r e g u l a r an d s i g n i f i c a n tp a r t o f th e b u s i n e s s o r a c t i v i t y o f s a i d e n t i t y , d i db u s i n e s s w i t h , o r h 9d m a t t e r s o t h e r t han m i n i s t e r i a l m a t t e r sb e f o r e , any s t a t e o r l o c a l agency, l i s t t h e name, ad d re s sand d e s c r i p t i o n o f s u c h o ccu p a t i o n , employment, t r a d e ,b u s i n e s s o r p r o f e s s i o n and t h e name o f suc h agency.

Posit ion

- none -

Name l.c Addresso f O r ga n iz a ti on Descr ip t ion

S t a t e o rLocal Agency

6 . L i s t any i n t e r e s t , i n EXCESS o f $1,000 , h e l d by th e r e p o r t -i n g i n d i v i d u a l , such i n d i v i d u a l ' s spouse o r unemanc ipa tedc h i l d , o r p a r t n e r s h i p o f which any s u c h p e r s o n i s a member,o r c o r p o r a t i o n , 10%-or more o f t h e s t o c k o f which i s ownedo r c o n t r o l l e d by any such p e r s o n , whether v es t ed o r c o n t i n -g e n t , i n any c o n t r a c t made o r e xe c u te d b y a s t a t e o r l o c a lagency and i n cl u de t h e name o f th e e n t i t y which h o l d s suchi n t e r e s t 'an d t h e r e l a t i o n s h i p o f th e r ep o r t in g i n d iv id u alo r such i n d i v i d u a l ' s spouse o ~ such c h i l d t o such e n t i t y

3

98 6


4/15

At tachment "A I .'

J o s e p h L. Bruno

Ques t ion 115

Pos i t ion

S en a t o r

Name & Address

of Organizat ion

New York StBte SenateLOB -909 .Albany, NY

Desc r ip t ion

L e g i s l a t i v e Branch o fNe w York S ta t e government

Sta teo r Loca l

. D i r e c t o r unt . i l6/92 , then turnedover to a Tr u s t

Sole P ro p r i e to r

Consul tan t

Consul tan t

Par tner

F i r s t Grafton Corp .23 Hason S t r e e tGlens F a l l s , NY

~ o u n t a i nView F ar m89 Bulson Road, Troy,NY

Business Consu l t an t s89 Bulson Road. Troy. NY

T6e Winthrop Corpora t ion1000 Lafaye t te Blvd.

Bridgeport , CT 06604

Tamarac Apartments851 Farm to Market RoadTroy, New York 12180

98 7

Real E ~ t a t eDevelopment Town of GRe n s s e a Le

Breeding & Rais ingThoroughbred Horses none

consu l t ing none

c o n s u l t i n g none

r e a l e s t a t e none


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an d t h e i n t e r e s t i n such c o n t r a c t . Do NOT i n c l u d e b o n d s andn o t e s . Do NOT l i s t any i n t e r e s t i n any such c o n t r a c t onw h ich f i n a l p a yme n t has b e e n made and a l l o b l i g a t i o n s u n d e rt h e c o n t r a c t e x c e p t f o r g u a r a n t e e s and w a r r a n t i e s h av e b e e np e r f o r m e d , p r o v i d e d , h o w ev er, t h a t such an i n t e r e s t m u st bel i s t e d i f t h e r e h as been an ongo i ng d i s p u t e d u r i n g t h ec a l e n d a r y e a r f o r which t h i s s t a t e m e n t i s f i l e d w i t h

r e s p e c t t o any su ch g u a r a n t e e s o r w a r r a n t i e s . Do NOT l i s tan y i n t e r e s t i n a c o n t r a c t made o r e x e c u t e d by a l o c a lagency a f t e r p u b li c n o t i c e an d p u r s u a n t t o a p r o c e s s f o rc o m p e t i t i v e b i d d i n g o r a p r o c e s s f o r c o m p e t i t i v e r e q u e s t sf o r p r o p o s a l s .

S e l f .Spouseo r C h i l d

- none -

En t i t . y .Which HeldI n t e r e s t . i nConerac t

Relaeionshipt o Ent . i tyand I n t e r e s ti n Con t race

Contrac t ingSt a t e o rLocalAgency

Categoryo fValue o fCont rac t

7 . L i s t any p o s i t i o n t h e r e p o r t i n g i n d i v i d u a l h e l d a s ano f f i c e r o f any p o l i t i c a l p a r t y o r p o l i t i c a l o r g a n i z a t i o n , a sa member o f any p o l i t i c a l p a r t y com m i t t ee , o r a s a p o l i t i c a lp a r t y d i s t r i c t l e a d e r . The t e rm "p a r t y " s h a l l h av e t h e samem ean in g as " p a r t y " i n t h e e l e c t i o n l aw. Th e te rm " p o l i t i c a lo r g a n i z a t i o n " means an y p a r t y o r i n d e p e n d e n t body a s d e f i n e di n t h e e l e c t i o n l a w o r an y o r g a n i z a t i o n t h a t i s a f f i l i a t e d

w i t h o r a s u b s i d i a r y o f a p a r t y o r i n d e p e n d e n t body_ .-none -

a. (a ) I f t h e r ep o r t i n g i n d iv id u a l p r a c t i c e s law, i s l i c e n s e db y t h e d e p a r t m e n t o f s t a t e a s a r e a l e s t a t e b r o k e r o r a g e n to r p r a c t i c e s a p ro f e ss io n l i c e n s e d by t h e d e p a r t m e n t o fe d u c a t i o n , g i v e a g e n e r a l d e s c r i p t i o n o f t h e p r i n c i p a ls u b j e c t a r e a s o f m a t t e r s u n d e r t a k e n by such i n d i v i d u a l .A d d i t i o n a l l y , i f s u c h an i n d i v i d u a l p r a c t i c e s w i t h a f i r m o rc o r p o r a t i o n an d i s a p a r t n e r o r s h a r e ho ld e r o f t h e ,f i rm o rc o r p o r a t i o n , g i v e a g e n e r a l d e s c r i p t i o n o f p r i n c i p a l s u b j e c ta r e a s o f m a t t e rs u n d e r t a k e n b y such f i rm o r c o r p o r a t i o n . Do

4

988


6/15

n o t l i s t th e name o f t h e i n d i v i d u a l c l i e n t s , c us to me r s o rp a t i e n t s .

- none -

(b) L i s t the name, p r i n c i p a l a dd r e s s and g e n e r a l d e s c r i p t i o no r t h e n a t u r e o f th e b u s i n e s s a c t i v i t y o f a ny e n t i t y i nwhich th e r e p o r t i n g i n d i v i d u a l o r such i n d i v i d u a l ' s spousehad a n inves tment i n e x c e s s o f $1,000 ex c l u d i n g i nves tmen t si n s e c u r i t i e s and i n t e r e s t s i n r e a l p r o p e r t y .

- none -

9 . L i s t each sou rce o f g i f t s , EXCLUDING campaign c o n t r i b u t i o n s ,i n EXCESS o f $ 1 , 0 0 0 , r e c e i v e d du r ing t h e r e p o r t i n g p e r i o df o r which t h i s s t a t emen t i s f i l e d by th e r e p o r t i n g i n di v id u -a l o r such i n d i v i d u a l ' s spouse o r unemancipated c h i l d fromt h e same donor, EXCLUDING g i f t s from a r e l a t i v e . INCLUDEt h e name and address o f t h e donor. Th e term " g i f t s n doesn o t i nc lude r e imbursements , which te rm i s d e f i n e d i n i tem1 0 . I n d i c a t e t h e v alu e and n a t u r e o f each suc h g i f t .Se l f ,Spouse o rC h i l d

- none -

Name o fDonor A d d r e s s

Natureof Gi f t

Category o fValue ofG i f t

1 0 . I d e n t i f y and b r i e f l y d e s c r i b e th e sou r c e o f any r e i mb u r s e -ments f or e x pe n di tu re s, EXCLUDING campaign e x p e n d i t u r e s andexpend i tu res i n connec t i on with o f f i c i a l d u t i e s re imbursedb y t h e s t a t e , i n EXCESS o f $ 1 ,0 0 0 from e ac h su ch s o u r c e .For pu r pose s o f t h i s i t e m , th e te rm "re imbursemen ts" s h a l l

5

8 8 9


7/15

mean any t r a v e l - r e l a t e d expenses p ro v i d ed by nongovernmen ta lsou r c e s and f o r a c t i v i t i e s r e l a t e d t o t h e r e p o r t i n g i n d i v i du a l ' s o f f i c i a l d u t i e s such a s , speak ing engagemen ts ,co n fe r en ces , o r f a c t f i n di n g e ve nt s . Th e te rm " r e i m b u r s ements" does NOT i n c l u d e g i f t s r e p o r t e d under i tem 9.

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Source D e s c r i p t i o n

11. L i s t th e i d e n t i t y and v a l u e , i f r ea s o n ab l y a s c e r t a i n a b l e , o feach i n t e r e s t i n a t r u s t , e s t a t e o r o t h e r b e n e f i c i a li n t e r e s t , i n c l u d i n g r e t i r e m e n t p lans o t h e r t han r e t i r e m e n tp lans o f the s t a t e of New York o r the c i t y o f New York, andd e f e r r e d compensat ion p lans ( e . g . , 401, 403(b) , 457 , e t c . )e s t ab l i sh e d i n a cc or da nc e w ith th e i n t e r n a l r evenue code , i nwhich th e REPORTING INDIVIDUAL he ld a b e n e f i c i a l i n t e r e s t i nEXCESS o f $I,bOO a t any t i m e d u r i n g th e p reced i n g y e a r . DoNOT r e p o r t i n t e r e s t s i n a t r u s t , e s t a t e o r o t h e r b e n e f i c i a li n t e r e s t e s t a b l i s h e d by o r f o r , o r the e s t a t e o f , a r e l at i v e .

I d e n t i t y

First- Grafton Corp. Trust

Bear, 'S tearns IRA Account

Marine Midland IRA Accoun t (HSBC)

NYS Deferred Compensation Plan

Cacegory o fValue

J lnknOHJ : ) ,

Category B

Cat eg o ry A

Cat eg o ry c

The v a lu e o f sucb i n t e r e s t s h a l l be r e p o r t e d o n l y i f r e a so n a b ly a s c e r t a i n a b l e .

12. (a ) Descr ibe t h e terms o f , and t h e p a r t i e s t o , any c o n t r a c t ,promise , o r o t h e r agreemen t be tween t h e r e p o r t i n g i n d i v i d u a land any pe rso n , f i rm , o r c o r p o r a t i o n with r e s p e c t t o th eemployment o f such i n d i v i d u a l a f t e r l eav ing o f f i c e o rp o s i t i o n (o the r t h an a l e a ve o f absence) .

- none -

6

990


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(bl Descr ibe t h e p a r t i e s to and t h e t e rms o f any agreementprov id ing f o r c o n t i n u a t i o n o f payments o r b e n e f i t s t o t h eREPORTING INDIVIDUAL i n EXCESS o f $1, 000 from a p r i o remploye r OTHER THAN the S t a t e . (Th is i n c l u d e s i n t e r e s t s i no r c o n t r i b u t i o n s t o a pens ion fund / p r o f i t - s h a r i n g p l an , ' o rl i f e o r h e a l t h i n s u ran ce ; buy - ou t ag reemen t s ; se ve r a nc epayments ; e t c . )

- none

13 . L i s t below t h e n a t u r e and amount o f any income i n EXCESS o f$1, 00 0 from EACH SOURCE f o r th e rep or t . in g i n d i v i d u a l andsuch i n d i v i d u a l ' s spouse fo r th e t a x a b l e y e a r l a s t o c c u r r i n gp r i o r t o th e dat .e o f f i l i n g . Nature o f income i n c l u d e s , b u ti s n o t l i m i t e d t .o/ a l l income ( o t h e r t han t h a t r e c e i v e d fromth e employment l i s t e d under I tem 2 above) f ro m c om pe nsa te demployment whet .her p u b l i c o r priv.a t .e , d i r e c t o r s h i p s ando t h e r f i d u c i a r y p o s i t i o n s . c o n t r a c t u a l a r rangements ,t each ing income, p a ~ t n e r s h i p s .h o n o ra r i u ms , l e c t u r e f e e s ,c o n s u l t a n t f e e s , bank and bond i n t e r e s t , d i v i d e n d s , incomeder ived from a t r u s t , r e a l e s t a t e r e n t s , and recogn izedga ins from th e s a l e o r exchange o f r e a l o r o t h e r p r o p e r t y .Income from a b u s i n e s s or p r o f e s s i o n and r e a l e s t a t e r e n t ss h a l l be r e p o r t e d with the sou rce i d e n t i f i e d by t h e b u i l d i n gad d re s s i n th e c a s e of r e a l e s t a t e r e n t s a nd o t h e rw i s e byt h e name o f th e e n t i t y and no t by t h e name o f t h e i n d i v i d u a lcus tomers , c l i e n t s o r t e n a n t s , w i t h th e 'a g g r e g a t e n e t incomeb efo re tax es fo r each b u il d in g a d d r e s s o r e n t i t y . Ther e c e i p t o f ma in te na nc e r e c e i v e d i n c o n n e c t i o n wi th .ama t r imon ia l a c t i o n , ' a l imony and c h i l d s u p p o r t payments s h a l ln o t be l i s t e d .

S e l f /Spouse S o u r c e N a t u r e

Categoryo fAmount

See Attachment "B"

7

991


9/15

Attachment "B"

Joseph L . Bruno

Ques t ioo H J

CategoS e l f /Spouse Source Nature Amo

J. . S e l f New York Sta te Senate salary Catego

2 . S e l f The Winthrope Corporation sa la ry Ca t ego

3 . Self /Spouse 443 Taylor Court , Troy r en t Categor

4. Se l f Business Consul tants consu l t i n g fees Catego

5. S e l f Pointe F inanc ia l sa le of s tock !;:atego

6 . Self I n t e r l i a o t sa le of s tock Categor

992


10/15

14 . L i s t th e sou rces o f any d e f e r r e d income (no t r e t i r e m e n tincome) i n EXCESS o f $1,000 from each source t o be p a i d ' toth e r e p o r t i n g i n d i v i d u a l fo l l owing th e c lose o f th e ca l endaryea r f o r which t h i s d i s c l o s u r e s t a t emen t i s f i l e d , o t h e rthan d e f e r r e d compensa t ion r e p o r t e d i n i tem 11 he r e in a bove .Defer red income d e r i v e d from th e p r a c t i c e o f a p r o f e s s i o ns h a l l be l i s t e d i n th e aggrega t e and s h a l l i d e n t i f y a s th e

s o u r c e , th e name o f th e f i rm , c o r p o r a t i o n , p a r t n e r s h i p o ra s s o c i a t i o n t h rough which the i n c o m e was der ived , b u t s h a l ln o t i d e n t i f y i n d i v i d u a l c l i e n t s .

Source

- n o n e -

C a t e g o r y o fAmount

15 . L i s t each ass ignment of income i n 'EXCESS of $1 ,000 , and eacht r a n s f e r o t h e r t han t o a r e l a t i v e dur ing t h e r e p o r t i n gp e r i o d f o r which t h i s s t a t em en t i s f i l e d f o r l e s s t han f a i rc o n s i d e r a t i o n o f an i n t e r e s t in a t r u s t , e s t a t e o r o t h e rb e n e f i c i a l i n t e r e s t , s e c u r i t i e s o r r e a l p r o p e r t y , by ' th er e p o r t i n g i n d i v i d u a l , i n ex ces s o f $1 ,000 , which wouldo t h e r w i s e be r e q u i r e d t o be r e po r t e d h e r e in and i s n o t o rhas n o t been so r e p o r t e d .

I tem As s i gn edo r T r a n s f e r r e d

- none -

As s i gned o rT r a n s f e r r e d t o

C a t e g o r yo fvalue

16. L i s t be low th e type and marke t v a l u e of s e c u r i t i e s he ld bythe r e p o r t i n g i n d i v i d u a l o r such i n d i v i d u a l ' s spouse fromeach i s s u i n g e n t i t y i n EXCESS o f $1 ,000 a t th e c l o s e of th et a x a b l e y ea r l a s t o c c u r r i n g p r i o r t o th e d a te o f f i l i n g ,i n c l u d i n g th e name o f t h e i s s u i n g e n t i t y e x c l u s i v e o fs e c u r i t i e s h e l d by the r e p o r t i n g i n d i v i d u a l i s sued by ap r o f e s s i o n a l c o r p o r a t i o n . Whenever an i n t e r e s t i n s e c u r i -t i e s e x i s t s t h r ough a b e n e f i c i a l i n t e r e s t i n a t r u s t , th es e c u r i t i e s h e l d i n such t r u s t s h a l l be l i s t e d ONLY IF th er e p o r t i n g i n d i v i d u a l has knowledge t h e r e o f excep t where th er e p o r t i n g . i n d i v i d u a l o r t h e r e p o r t i n g i n d i v i d u a l ' s spouse

a

99 3


11/15

has t r a n s f e r r e d a s s e t s t o such t r u s t f o r h i s o r her b e n e f i t 'i n which ev en t such s e c u r i t i e s s h a l l be l i s t e d un les s t h e ya r e n o t a s c e r t a i n a b l e by t h e r e p o r t i n g i n d i v i d u a l be c a u seth e t r u s t e e i s under an o b l i g a t i o n o r has been i n s tr u c te d i nw r i t i n g no t t o d i s c l o s e t h e co n t en t s o f t h e t r u s t t oth e re po r t i n g i n d i v i d u al . S e c u r i t i e s o f which th e r e p o r t i n gi nd iv id u a l o r th e r e p o r t i n g i n d i v i d u a l ' s spouse i s th e ownero f r e c o r d but. i n which such i nd i v i d ua l o r th e r e p o r t i n gi n d i v i d u a l ! s spouse has no b e n e f i c i a l i n t e r e s t s h a l l n o t bel i s t e d . I n d i c a t e p e r c e n t a g e o f ownership ONLY i f t h er e p o r t i n g p e r s o n o r t h e r e p o r t i n g p e rs o n ' s spouse h o l d s morethan f i v e p e r c e n t (5%) o f th e s t o ck o f a c o r p o r a t i o n i nwhich t h e stocK i s p u b l i c l y t r ad ed o r more than t en p e r c e n t( 1 0 ~ )o f th e s t o c k of a c o r p o r a t i o n i n which th e s t o c k i s

NOT p u b l i c l y t r a d e d . Also l i s t s e c u r i t i e s owned f o ri n ve s tm e n t p u rp o se s by a c o r p o r a t i o n more than f i f t y p e r c e n t(50%) of th e s t o c k o f which i s owned o r c o n t r o l l e d .b y th e

r e p o r t i n g i n d i v id u a l o r s u c h i n d i v i d u ~ l ' sspouse . F o r t h ep u rp o s e o f t h i s i tem th e te rm II s e c u r i t i e s li s h a l l mean mu t u a lfunds , bonds, mortgages , no tes , o b l i g a t i o n s , w ar ran t s ands t o c k s o f any c l a s s , .i n v e s t ment; , i n t e r e s t s i n l i m i t e d o rg e n e r a l p a r t n e r s h i p s and c e r t i f i c a t e s o f d e p o s i t s (CDs) andsuch o t h e r e v ide nc e s of i n d eb t ed n es s and c e r t i f i c a t e s o fi n t e r e s t as a r e u s u a l l y r e f e r r e d t o a s s e c u r i t i e s . Th emarke t v a l u e f o r such s e c u r i t i e s s h a l l be r epo r t ed o n l y i fr ea s o n ab l y a s c e r t a i n a b l e and s h a l l no t be r epo r t ed i f t h es e c u ri t y i s an i n t e r e s t i n a genera l p a r t n e r s h i p t h a t wasl i s t e d i n i tem 8(a ) o r i f t h e s e c u r i t y i s co rp o ra t e s t o c k ,NOT p u b l i c l y t r a d e d , i n a t r a d e o r b u s i n e s s o f a r e p o r t i n gi n d i v i d u a l o r a r e p o r t i n g i n d i v i d u a l ' s spouse .

S e l f /Spouse

I s su i n gEnt i ty

Type ofSecur i ty

Percent .ageo f co rp o ra t es tock ownedo r cont . ro l led( i f more chan

S%' o f p u b l i c l yt raded s t o ck ,or more thanlO\- of s tockno t p u b l i c l yt raded, i sheld)

Category o fMarket Va l u ea s o f t h ec l o s e o f t h et a x a b l e y e a rl a s t occurr i n g p r i o r t ot.he f i l i n go f t h i ss t a t e m e n t

See Attachment "e"

17 . L i s t below th e l o c a t i o n , s i z e , g en er a l n at u re , a c q u i s i t i o nd a t e , marke t v a l u e and p e r c e n t a g e o f ownersh ip o f any r e a lp r o p e r t y i n which any v e s t e d o r c o n t i n g e n t i n t e r e s t i n EXCESSo f $1, 000 i s h e l d by t h e r e p o r t i n g i n d i v i d u a l o r t h e rep o r t i n g i n d i v i d u a l -' s spouse . . Also l i s t r e a l p r o p e r t y ownedf o r in ve stm en t p ur po se s b y a c o r p o r a t i o n more than f i f t yp e r c e n t ( 5 0 ~ )of t h e s t o c k o f which i s owned o r c o n t r o l l e d b y

9

994


12/15

At ca c nme n t "e"

J o s e p h 1. Bruno

Ques c ion 016

S e l f / Spouse Issu ing Ent i tyType ofSecur i ty

Ca tegoryo f MarketValue

PercentaCor p o r aOwner oContro l l(e re . )

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -_ .

l . S e l f F i r s t Grafton Corp. Stock In Tr u s t , 25%Trus t unknown

2 . S e l f Smith. Barney MoneyMarket acco u n t Ca

tegoryA - 0 -

3 . Spouse Exxon Corp. Stock Categ -ory A Unknown

4 . Spouse Centra l & So u t hw e s t; S tock Category A UnknolJTl

5 . Spouse General El e c t r i c Stock Ca t e g o ry A Unknown

6 . S e l f Fide l i ty Investments Stock Category B Unknown

7 . S e l f Vanguard Group .S t o c k Category B Unknown

8 . S e l f AMNEX Inc. ' S t o c k Category A Unknown

g . S e l f WorldCom Inc. Stock Ca tegory A Unknolffi

1 0 . S e l f Centrum INDS Inc . Stock Ca t ego ry A Unknown

11 . S e ~ f I n t e r l i a n t Stock Ga te g o r y B Unknown

S9 5


13/15

th e r ep o r t in g i nd i v i d ua l o r such i r i d i v i d u a l ' s spouse . Do NOTl i s t any r e a l p r o p e r t y which i s th e p r im ary o r secondarypersona l r e s i d e n c e o f th e r e p o r t i n g i n d i v i d u a l . o r th er e p o r t i n g i n d i v i d u a l ' s spouse , excep t where t h e r e ~ s a c o -owner who i s o t n e r than a r e l a t i v e .

S e l f /SpouseCorpor-a t i o n L o c a t i o n Size

GeneralNature

ACqu i -s i t i o nDace

Percen ta ge o fOwners h i p

Cate.goryo f Marke.eValue

Se e At t achmen t "D "

18. ' L i s t below a l l n o t e s and acco u n t s r e c e i v a b l e , o t h e r than fromgoods o r s e r v i c e s s o l d , he ld by t h e r e p o r t i n g i n d i v i d u a l a tth e c l o s e o f t h e t ax ab l e y e a r ' l a s t o c c u r r i n g p r i o r to th eda te o f f i l i n g a nd o the r d eb t s owed to such i n d ~ v i d u a la t the .c lo se o f the t a x a b l e year l a s t o c c u r r i n g p r i o r t o th e d a te o ff i l i n g , i n EXCESS. o f $1, 000, i nc lud ing t h e name o f th edeb to r, type o f o b l i g a t i o n , da t e due and t h e n a t u r e o f th ec o l l a t e r a l s e c u r i n g payment o f each , i f any, ex c l u d i n gs e c u r i t i e s r e p o r t e d i n i t em 16 here inabove . Debts , n o t e s anda c c oun t s r e c e i v a b l e owed t o th e i n d i v i d u a l by a ' r e l a t i v es h a l l n o t be r e p o r t e d .

Name of Debcor

- none -

Type o f O b li ga ti on .

Dace Due, and N a t u r eof Col lace ra l , i f an y

Category

o fAmount

1 9 . L i s t below a l l l i a b i l i t i e s o f th e r e p o r t i n g i n d i v i d u a l andsuch i n d i v i d u a l ' s spouse , i n EXCESS o f $5 ,000 as o f th e d a teo f f i l i n g o f t h i s s t a t emen t , o t h e r than 1 i a b i l i t i e s to ar e l a t i v e . Do NOT l i s t l i a b i l i t i e s i n c u r r e d by , .o r guaran t eesmade by, th e r e p o r t i n g i n d i v i d u a l o r such i n d i v i d u a l ' s spouseo r by any p r o p r i e t o r s h i p , p a r c n e r s h i p o r c o r po r a ti on i n whichth e r ep o rt in g i nd iv id u a l o r such i n d i v i d u a l ' s spouse has an

10

996


14/15

hme n t "0 "

ph L . Bruno

t i.on 1117

Cateeory of PercentaCerie r aL Aqulst ion Market of

/Spouse Locat ion Siz.e Nature nate Value O'WT1e

Se l f Spouse 443 Taylor Court duplex 12/84 Category n 1002Troy. New York 12180

Self f-;pouse . 94 Bulson Road Single 6/89 Categroy D 1007-,Tr o y, New York 12180 family home

Self/Spouse 337 Bulson Road Single 2/97 Category E 1007-Troy, New York 12180 family home

Tamarac Apartments 12 un i t~ Sel f / Joseph &Cather ine Magno 851 F ~ r r nto M a ~ k e tRd. apartment house 6/99 Category E

507-

Troy. New York 1 21 80


15/15

i n t e r e s t , when i n c u r r e d o r made i n t h e o r d i n a r y c o u ~ s eo f t h et r a d e , b u s i n e s s o r p r o f e s s i o n a l p r a c t i c e o f th e r e p o r t i n gi n d i v i d u a l o r such i n d i v i d u a l ' s sp ou se . I n c lu d e t h e name o ft h e c r e d i t o r and any c o l l a t e r a l p l e d g e d by such i n d i v i d u a l t os e c u r e payment o f an y such l i a b i l i t y . A r ep o r t in g i nd iv i du a ls h a l l n o t l i s t any o b l i g a t i o n t o p a y main ten an ce i n c o n n e c t i o nwi th a mat r imonia l a c t i o n , a l imony o r c h i l d su p p o r t payments .An y l o a n i s s u e d i n t h e o r d i n a r y c o u r s e o f b u s i n e s s by af i n a n c i a l i n s t i t u t i o n t o f i n a n c e e d u c a t i o n a l c o s t s , th e c o s to f home purchase o r improvements f o r a p r im a r y o r secondaryr e s i d e n c e , o r p u r c h a s e o f a p e r s o n a l l y owned motor v e h i c l e ,househo ld f u r n i t u r e o r a p p l i a n c e s s h a l l be exc luded . I f an ysuch r e p o r t a b l e l i a b i l i t y h as b e e n g u a r a n t e e d by any t h i r dp e r s o n , l i s t t h e l i a b i l i t y and name th e g u a r a n t o r . .

Name o f C r e d i t o ro r G u a r a n t o r

Type of L i a b i l i t ya nd C o l l a t e r a l , i f any

C a t e g o r yo fAmount

Troy Savings Bank

Troy Savings Bank

Mortgage, 443 Taylor Ct . Category DTroy> New York 12180

Mortgage/Tamarac A p a r t ~ e n t sCategory E851 Farm to Markee Rd.Troy, New York 12180

Th e r e q u i r e m e n t s o f law r e l a t i n g t o t h e r e p o r t i n g o f t h e f i n a n c i a li n t e r e s t s a r e i n t h e p u b l i c i n t e r e s t an d no a d v e r s e i n f e r e n c e o fu n e t h i c a l o r i l l e g a l conduc t o r b e h a v i o r w i l l be drawn mere ly fromcompl iance w i th t h e s e r e q u i r e m e n t s .

May 15, 2000Date (month/day/year)

11

bruno 1999 financial disclosure (gy-08)

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