Rule 3-03 Contents.
(a) Reporting period.
(1) Generally. The reporting period for each disclosure statement shall: (i) except for the first disclosure statement for an election, begin on the third day before the deadline for the submission of the candidate's preceding disclosure statement; and (ii) conclude on and include the fourth day before the deadline for the submission of that disclosure statement (except as otherwise provided in Rule 3-02(f)(9)).
(2) First disclosure statement. The reporting period for a candidate's first disclosure statement for an election shall begin on the day the candidate first raises or spends funds in furtherance of his or her election for an office covered by the Act. Submissions required by Rule 3-02(a)(2) shall cover the reporting periods of the missing disclosure.
(3) Special elections. In the case of a special election the reporting period for the first disclosure statement shall conclude on the thirty-sixth day before the election, unless otherwise provided pursuant to New York Election Law.
(b) Summary information. Each disclosure statement shall include the following information about the committee involved in the election: (1) the cash balance at the beginning and end of the reporting period; (2) total itemized and unitemized contributions, loans, and other receipts accepted during the reporting period; and (3) total itemized and unitemized expenditures made during the reporting period. A separate disclosure statement shall be submitted for each committee involved in the election. All data reported in disclosure statements, amendments, and resubmissions shall be accurate as of the last day of the reporting period.
(1) Basic contents. Each disclosure statement shall include the following information about receipts accepted by the committee during the reporting period: (i) for each contribution accepted, the contributor's and intermediary's (if any) full name, residential address, occupation, employer, and business address; (ii) the date of receipt and amount of each contribution accepted or other receipt; (iii) whether a contribution was made in cash; (iv) the number of any check or money order used to make the contribution; (v) the date and amount of each contribution returned to a contributor; (vi) each previously reported contribution for which the check was returned unpaid; (vii) in the case of contributors in excess of the amounts set forth in §3-703(1-a) of the Code, whether the contributor indicated that the contributor has business dealings with the City as defined in the Act, and if so, the name of the agency or entity with which such business dealings are or were carried on and the appropriate type or category of such business dealings; and (viii) such other information as the Board may require.
(2) Transfers. The candidate shall report contemporaneously the aggregate amount of each transfer and each contribution to which it is attributed. In addition, the participant shall report, in the case of a transfer from a committee not otherwise involved in the covered election, other than another principal committee of the same candidate: (i) all expenditures made by the transferor committee during the election cycle of the covered election; and (ii) all expenditures made by the transferor committee prior to the covered election cycle in connection with raising such contributions. Such reporting of expenditures shall be made in the same disclosure statement in which the transfer is reported, except that expenditures incurred during the covered election cycle for purposes other than raising or administering the transferred contributions need not be reported in disclosure statements to be filed with the Board but rather may be disclosed to the Board by providing copies of the transferor committee's New York City or New York State Boards of Elections or Federal disclosure statements. Further, the candidate shall submit contemporaneously the records required to be maintained pursuant to Rule 4-01(b)(4).
(3) Advances and reimbursements. The candidate shall report in each disclosure statement: (i) the name and address of each person, including the candidate, who has made purchases on behalf of the committee during the reporting period with the expectation of being reimbursed by the committee; (ii) the date and amount of each such purchase; (iii) the name and address of the person or entity from whom the purchase has been made; (iv) the form of the purchase; (v) the purpose of the purchase; (vi) the name of each person, including the candidate, whom the committee reimbursed for purchases made on behalf of the committee during the reporting period, each purchase being reimbursed, and the amount and form of each reimbursement; and (vii) such other information as the Board may require.
(i) Contributions totaling $99 or less from a single source need not be separately itemized in a disclosure statement. Contributions that are not itemized are not matchable.
(ii) Candidates shall include the total amount of unitemized contributions delivered or solicited by an intermediary when reporting the total amount of all contributions the intermediary has delivered or solicited.
(5) Unitemized contributions totaling more than $99 from a single source. If a candidate has accepted unitemized contributions totaling more than $99 from a single source, the contribution causing the total to exceed $99 shall be itemized and the total of previously unitemized contributions shall be reported in the same disclosure statement. All subsequent contributions from that single source must be itemized.
(ii) Notwithstanding subdivision (i), the participant shall report the occupation, employer, and business address of any contributor making contributions totaling $99 or less if such contributor is an employee of the candidate or an employee of the spouse or domestic partner of such candidate or an employee of a business entity in which such candidate, spouse or domestic partner has an ownership interest of ten percent or more or in which such candidate, spouse or domestic partner holds a management position, such as the position of officer, director or trustee.
(iii) Matchable contribution claims on contributions totaling more than $99 shall be invalid unless the participant has reported the contributor's occupation, employer, and business address. Matchable contribution claims on contributions totaling less than $99 shall be invalid unless the participant has reported the contributor's occupation, employer, and business address when such information is required pursuant to subdivision (ii).
(i) Exceptions. (A) The candidate need not report an intermediary for aggregate contributions of $500 or less collected from a contributor in connection with a party or other candidate-related event held at the residence of the person delivering the contribution, unless the expenses of such events at such residence for such candidate exceed $500 for an election. (B) The candidate need not report an intermediary for contributions collected at a campaign sponsored fundraising event paid for in whole or in part by the campaign. In the case of contributions collected at a non-campaign sponsored fundraising event where there are multiple hosts, the hosts shall designate one host who shall be reported by the candidate as the intermediary for all such contributions. For the purposes of this rule, "campaign sponsored fundraising event" shall mean an event organized by a candidate's authorized committee to raise funds for such candidate.
(ii) Contributions delivered to fundraising agents. The candidate shall report any intermediary delivering a contribution to a fundraising agent and shall not report the fundraising agent as an intermediary in a disclosure statement. The candidate shall also report each fundraising agent not reported in a previous disclosure statement for the election.
(iii) Contributions delivered by an intermediary's agent. The candidate shall report as the intermediary a person who solicits contribution(s) and directs his or her agent to deliver them to the candidate or fundraising agent. The candidate shall not report the agent as an intermediary.
(10) Joint fundraising events. The candidate shall report in a cover letter submitted with the disclosure statement a list of all contributions reported in that disclosure statement that were accepted at an event at which contributions were solicited or accepted both for elections subject to and not subject to the Act.
(d) Loans. Each disclosure statement shall include the following information about loans accepted or repaid by the committee during the reporting period: (1) for each loan accepted, the lender's, guarantor's or other obligor's full name, residential address, occupation, employer, and business address; (2) the date and amount of each loan, guarantee, or other security for a loan accepted; (3) the date and amount of each loan payment made; (4) the amount of any portion of a loan which has been forgiven; and (5) such other information as the Board may require.
(1) Each disclosure statement shall include the following information about expenditures (disbursements and unpaid liabilities) made by the candidate during the reporting period: (i) the date, amount, name and address of the payee, purpose, and check and account number of each disbursement; (ii) the date, amount, name and address of the obligee, and purpose of each unpaid obligation incurred; (iii) the reason why any expenditure is exempt; and (iv) such other information as the Board may require.
(3) Subcontracted goods and services. If the candidate makes an expenditure to a consultant or other person or entity who or which subcontracts for finished goods or services on behalf of the candidate, the disclosure statement shall include: (i) expenditures made by the candidate to the consultant or other person or entity during the reporting period; and (ii) if the cost of the subcontracted goods or services provided by a single person or entity exceeds $5,000 in a campaign, the name and address of that person or entity, the amount(s) expended to that person or entity for subcontracted goods or services, and the purpose(s) of those goods or services; provided that this disclosure shall be made in the manner provided by the Board, either beginning in the reporting period in which the candidate knows or has reason to believe that such cost first exceeds $5,000 or in the first post-election disclosure statement for the election to which the expenditure relates.
(4) Credit card and charge card purchases. The candidate shall report the actual vendor and purchase price incurred for any goods purchased with a credit card or charge card, in the manner provided by the Board. Disbursements to credit card and charge card accounts shall not be itemized as such.
(5) Contributions to political committees. Political contributions to political committees that support or oppose candidates in New York City (except political committees of other candidates), including state party committees, that are made by a candidate with his or her personal funds and that, in the aggregate for any single political committee, exceed the contribution limit applicable to the offices of mayor, public advocate, and comptroller for contributors having business dealings with the city pursuant to section 3-703(1-a) of the Code, are presumed to be expenditures in furtherance of the candidate’s campaign and contributions from the candidate to the candidate’s campaign, and, as such, must be reported to the Board. The candidate may rebut this presumption by providing evidence indicating that the contributions were not in furtherance of the candidate’s campaign. Such contributions are subject to all applicable expenditure and contribution limits, except that contributions made to committees registered with the New York State Board of Elections and/or the Federal Election Commission as independent expenditure committees are not subject to such limits. Candidates must create and maintain records of such contributions. Contributions made with a candidate’s personal funds as provided in this paragraph shall not be the basis for a deduction from such candidate’s public funds payment pursuant to Rule 5-01(n)(1).
(f) Documentation. Together with each disclosure statement, the candidate shall submit documentation to verify the accuracy of the data reported, including all bank records and deposit slips required to be maintained pursuant to Rules 4-01(b)(1) and 4-01(f)(1) not previously submitted. A disclosure statement may be rejected as an insufficient submission if not accompanied by such documentation.