Professional Report

OHIO ETHICS COMMISSION FORM NO. OEC‐2014  FINANCIAL DISCLOSURE STATEMENT INSTRUCTIONS

EXAMPLES: 

Corporation, Trust, Business Trust,  Partnership, or Association 

Nature of Investment

A  ABC Growth Fund    B  XYZ Corporation  C  Smith Family Trust  D  Planet Us Company  E  All American Fund  F  Lifeplan 2030  G  123 Corporation  H  Popular Company  I  MegaGrowth Fund 

Mutual Fund 

Common Stock   Beneficiary   Stock in trust  

Deferred Compensation Mutual Fund  Deferred Compensation Investment  

Stock in Investment Account  

Stock in IRA 

Mutual Fund in 401(k) Account 

QUICK INVESTMENT DISCLOSURE GUIDE ( Advisory Opinion No. 2011‐01 ) 

If I have more than $1,000  invested in a(n)….. 

Do I need to disclose this  investment? 

Do I need to list the individual  holdings within this investment? 

Mutual Fund 

Yes  Yes  Yes  Yes  Yes  Yes  Yes  Yes  Yes 

No  No  No  Yes  Yes  Yes  Yes  Yes  Yes 

Stock  Bond 

Brokerage Account  Managed Account  Trust (Beneficiary) 

Investment Club Account 

529 Plan 

ESA 

Public Retirement System  Account (PERS, STRS, SERS,  HPRS, or OPFPF) 

No 

No 

Social Security 

No 

No 

NOTE:   You are not required  to disclose:  

A. Saving and checking accounts, certificates of deposit, and other deposits with financial institutions; or   B. Personal identifying information such as social security or investment account number.

For more information, please visit ethics.ohio.gov or call (614) 466‐7090.

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