WPC3 tU>3HYS 1!r.5/HFblϛ9s|{I](t.%+~@/=],B1; )yKKmu:^W帿]qם ڼӒ4mL}^VkAo˨9$'8Ʌ\\Sv/*-uHE'kXʿYM K!ekQ@q(1@ ݖN89= ?yQuvi%L]8)jb0ڈNkKdI0ןos!nU:]%BZE:+< >pt*cn2á )0DžT5)$<_( l~斍ZDjd滜#`xf= |Ѭ7Hq|MI77a(KĂ@9sFv[.Ŵ`fk{}ҵ^ ^ %j 04pN#! 1k 1u2w@. %+4EYh mjjU N^ -':&X( $  HP LaserJet 5/5M - Standard0$35;AGOW_e11.a.i.(1)(a)(i)1)a)##37=CIQYag1.a.i.(1)(a)(i)1)a)pension EHUHH  EIFs EIF ETsHpens benefit5M(& 3|xU(@ Z 6Times New Roman Regular TX  ȁ !   _84XXdd8  PXX@  NotesonSampleOGEForm450 #X4XP|#Ԉ    Entriesaremarked Sforspouse, Jforjointand Dfordependentchild.Ifthereisnoletter,weassumethattheentrybelongstothefiler.ThelinesontheSampleOGEForm450arenumberedforreferencetotheseNotes.YoudonotneedtonumberthelinesofyourReport.WerecommendthefollowingorganizationforPartI:salaries,pensions,IRAs,mutualfunds,stocks,annuities,insurance,bonds,property,miscellaneous,estates,andtrusts.Withineachcategory,listyourinterestsfirst,thenyourspouses,thenyourdependentchilds.PXX4 PartI.AssetsandIncome #X4XPn# H   L $#L2  1  .3  ԀYour MAJORnongovernment SALARY ,over$200inincome.Donotreportyour P  governmentsalary,ifany.NotethatyourcurrentpositionwithyouremployerisalsoreportedinPartIII.2  2  .3  ԀTrytoreporteveryassetconnectedtoyourmajoremployertogether.Herewelistedstock.2  3  .3    ԀYour PENSION withthecompany,ifany.Forpensionplans,youmustidentifythenameof @ thecompany,andifyoucannotcontroltheplansinvestments,indicate nocontrol.Whenyoucantcontroltheinvestments,youdonthavetoreportthem.SeetheDefinitionssectionoftheseNotesforfurtherexplanation.Whenyouarenotyetreceivingpayments,indicate Noneintheincomeblock.Ifyouarereceivingpayments,indicate pensionpayment.NotethatthepensionisalsoreportedinPartIV.Donotreportanygovernmentretirementplan,_TSP_,orSocialSecuritybenefits.Seeparagraph pension10  Հforanothertypeofpension.2  4  .3  ԀYour 401K accountwiththecompany.Privateemployersmayestablish401Kaccountsfor p theiremployeesandofferalimitednumberofinvestmentoptions.Reportthenameoftheemployer,thetypeofplan(401K),andtheinvestmentoption(s)inwhichyouraccountisinvested.Theinvestmentoptionsareyouraccountsholdingsandhavetobereported.Othersimilaraccountsare_SEPs_Ԁ(simplifiedemployeepensionplans)andKeoghplans(HR10).2  5  .3  ԀYourdeferredcompensationaccountwiththecompany.Occasionally,thefundsassetsintheseaccountsareinvested.Wherethatphappens,youmustreporttheassetsoftheaccount.2  6  .3  ԀYourinterestinthecompanyestablishedforyourconsultingwork.Becauseits notpublicly $0 " traded ,youhavetoincludethelocationanddescriptionofitsactivity.Alsonotethatyour % !# positionwiththecompanyisreportedinPartIII.Becauseyoudecidedtotakeyourcompensationasdividendsratherthansalary,thatishowtheincomeisreported.However,reportsalaryifthatishowthecompensationisstructured.2  7  .3  ԀYourincomeforservingonaboardofdirectors.AlsonotethatyourpositionontheboardisreportedinPartIII.  `,'*  X     2  8  .3  ԀYourincomefromconsulting.Alsonotethatyourconsultingpositionwiththecompanyis reportedinPartIII.2  9  .3  ԀYourhonorariumforspeakingatacompanysconference.Notethatyouhavetoincludethedateofyourspeech.2   10  .3    ԀYour PENSION withMcDonnellDouglas.Thisisadefinedcontributionplan,which P  meansthatyoucancontrolorselecttheinvestmentsinyouraccount,soyoumustreporttheaccountsholdings.Reportthenameofthecompany,thatitisacontributionplan,andtheaccountsinvestments.Iftheplanhasonlyafewholdings,youcouldlistthemseparatelybelowthepensionplan.Iftheplanhasmanyholdings,youcouldtypethemonaseparatesheetorattachacopyofthereportthatthecompanysendsyou,withthedollaramountsremoved.Onthelinewiththepensionplan,writeanotethatalistoftheholdingsisattached.Donotindicatethatyouarereceivingpaymentsfromthistypeofpension,astheyarereallywithdrawalsofyourpreviousinvestmentandarenotincome.AlsoreportthepensioninPartIV.Seeparagraph ) pens benefit)3  Հforanotherkindofpension.2   11  .3  ԀSpouse'ssalary,over$1000inincome.Donotreportyourdependentchildren'searnedincome.2   12  .3  ԀSpouse'sretirementin _TIAA_/_%  CREF_ .Itqualifiesasatypeoffundthatdoesnotrequire p reportingofthefundsinvestments.2   13  .3  ԀYour IRA .SeetheDefinitionssectionoftheseNotesforfurtherexplanation.Youmust @ reporttheIRAsholdings,whethertheyareCDsinabank,orashere,thenamesofspecificfunds.Thesefundsare MUTUALFUNDS .Forpubliclyavailablemutualfunds,identifythe  p generalfamilyfundname,hereMerrillLynch,andthenameofthespecificfund,herePacific.2   14  .3  ԀSpouse's directedaccount witha brokerage firm,soyoumustreporttheaccounts @ holdings.Theseaccountsmayhavedifferentnames,includingnotjustbrokerageorportfolio.Ifyoucancallthebrokerandtellhimorhertosellorbuyvariousitems,thenyoucancontrolyouraccountsholdingsandneedtoreportthem.2  15  .3  ԀYour cashorassetmanagementaccount .Thisaccountoftencontainsassetsotherthan #! justcash,suchasamarginaccount,whichisactuallyyourliability,andvariousfunds.Therefore,youhavetoreportthevariousholdingsofthistypeofaccount.IfyouhaveamarginaccountthatmeetsthecriteriaforreportinginPartII,youalsohavetoreportitthere.2  16  .3  ԀDependentchild's STOCK inGM.Identifythecompanyandthefactthattheassetisstock. P(#& Reportdividendsover$200asincome.2  17  .3  ԀDependentchilds OPTIONS .Reportascapitalgainsiftheyaresold.  +p&) 2  18  .3  ԀJointinvestmentinterestinan S corporation.BecauseitisanScorporation,youhaveto -P(+ providethelocationanddescriptionofitsactivity.Theincomeislistedasshares. -@), Ї2  19  .3  ԀJointinvestmentina publiclytradedlimitedpartnership .Becauseitspubliclytraded,  justlistthefullname.2  20  .3  ԀJointinvestmentin nonpubliclytradedlimitedpartnership .Becauseitsnotpublicly  traded,youhavetoprovidethelocationanddescriptionofitsactivity.2  21  .3  ԀYour ANNUITY .SeetheDefinitionssectionoftheseNotesforfurtherexplanation.Foran P  annuity,youmustreportthefullnameandwhetheritisfixedorvariable.Ifitis variable ,you @  havetoreportyourannuitysholdings.2  22  .3  ԀSpousesannuity.Asitis fixed ,youonlyneedtoreportthefullname. `  2  23  .3  ԀYour LIFEINSURANCE policy.Donotreport term lifeinsurancepolicies.For cash @  value lifeinsurancepolicies,youmustreportthenameoftheinsurancecompanyandthetypeof 0  policy.For wholelife and universal policies,onlyreporttheincometype.SeetheDefinitions   sectionoftheseNotesforfurtherexplanation.2  24  .3  ԀSpouse's variable lifeinsurancepolicy.Forvariablepolicies,youmustreportthenameof  theinsurancecompany,thetypeofpolicy,andthepolicysholdings.2  25  .3  ԀYourspouses INVESTMENTCLUB .Becauseyourspousehasavoiceinhowtheclub p makesinvestments,youmustreporttheclubsholdings.2  26  .3  ԀYourcorporate BOND . @ 2  27  .3  ԀSpousesgovernmentbond.Giveenoughinformationtoidentifythesourceofthebondanditspurpose.2  28  .3  ԀJointlyheld RENTAL PROPERTY .NotethatthemortgageisreportedinPartII.You @ mustindicateshouldput @ downatleastthecityandstate.Youmayaddwhetheritisahouse,condoortownhomeandthespecificaddresswhenyouhaveseveralinthesamelocality.Notethatyoudonotreportyourpersonalresidenceifyoudonotrentitout.2  29  .3  ԀJointlyheldrentalproperty.Thereisnomortgage,sonothingisreportedinPartII.2  30  .3  ԀJointlyheldundevelopedproperty.Ifitisstrictlyforinvestment,youshouldincludetheacreage,thefactthatitisunimproved,andthecityandstate.Ifyouhavenoincome,put Noneintheincomecolumn.Ifthelandisbeingusedforaprofit,reportthetypeofactivityandincome.2  31  .3  ԀYourinterestasabeneficiaryina WILL ofadeceasedperson.Youmustreportthatinterest 0*%( ifyourshareoftheestateisover$1000.Ifyouarereceivingafeeforyourworkasexecutor,anditisover$200,alsolistthefeeasincome.Ifyouarereceivingincomefromtheestate,alsolistthat.Youmustreporttheestatesassets,althoughyoudonotneedtoreportpersonalproperty.Donotlistyourinterestasabeneficiaryinthewillofalivingperson. -@), Ї2  32  .3  ԀYourinterestastrusteeinaneducational TRUST establishedbyyouandyourspousefor  yourson.SeetheDefinitionssectionoftheseNotesforfurtherexplanation.Youwouldneedtoreportiteitherbecauseyouarethetrusteeorbecauseyoursonisthebeneficiary.Youmustreportthetrustsassets.Becauseyouarethetrustee,youhavetoreportitinPartIII.XX PartII.Liabilities #XX̝0# `  C  $$C- -2  1  .3  ԀYourmarginaccountmustbelistedifitmeetsthereportingcriteria.2  2  .3  ԀJointmortgageonrentalpropertylistedinPartI,asitisover$10,000duringthereportingperiod.Includethenameofthebank,andthecityandstate.Youshouldreferencewhichproperty,especiallyifyouhavemorethanone.Notethatyoudonotneedtoreportanymortgageonyourpersonalresidence.2  3  .3  ԀSpousesliabilityoncreditcardbecauseitisover$10,000attheendofthereportingperiod.2  4  .3  ԀDependentchild'sstudentloan.XX PartIII.OutsidePositions #XX̌4#  C  $$C--2  1  .3  ԀYourpositionwithyourmajoremployer.ThisshouldalsobereportedinPartI.2  2  .3  ԀYourpositionasadirectorwithanothercompany.Ifyourincomeisover$200,itshouldalsobereportedinPartI.2  3  .3  ԀYourpositionasaconsultantwithanothercompany.Ifyourincomeisover$200,itshouldalsobereportedinPartI.2  4  .3  ԀYourpositionasaconsultantwithanothercompany.Youhavenoincome,soitisnotreportedinPartI.Pleaseput nocompinthelastblockifyouarenotcompensated.2  5  .3  ԀYourpositionwithyourcompanythatfunctionsasthevehicleforyoutodoextraconsulting,etc.IfitmeetsthereportingcriteriaforPartI,youalsoneedtoreportitthere.Ifnot,onlyreportithere.2  6  .3  ԀYourpositionastrusteeofthetrust.XX PartIV.AgreementsandArrangements #XX9# (#& C  $$C--2  1  .3  ԀYourRaytheonpensionplan.Includeadescriptionoftheterms,suchaswhenpaymentswillbegin.TheplanmustalsobereportedinPartI.2  2  .3  ԀYourMcDonnellDouglaspensionplan.Includeadescriptionoftheterms,suchaswhenpaymentsbegan.TheplanmustbereportedinPartI. h.), Ї@ INDEXTOLINESINPARTI    Salaries `     h Lines1,78,11 p Pensions `     h Lines3,10,12 `  Employeebenefits,401k   h Lines45 P  Honorarium `     h Line9 @  Stocks `     h Lines2,6,16,25 0    Brokerage    h Line14  p    Cash/AssetManage   h Line15 `    Options    h Line17 P    SCorporation   h Line18 @  IRAs   `     h Line13 0  MutualFunds    h Line13   LimitedPartnership   h Line1920  Annuities `     h Lines2122  Insurance `     h Lines2324  Bonds   `     h Line2627  Property `     h Lines2830  Estates `     h Line31 p Trusts `     h Line32  ` XX@% DEFINITIONS #XXB#Ԉ   Annuities     FixedThecompanyguaranteesaspecificrateofreturn.  VariableTheinvestorhaslimitedoptionsofinvestment,andthereturnisbasedonperformanceoftheinvestment. ExceptedInvestmentFunds(EIFs) 󀄀Investmentfundssuchasmutualfunds,commontrust h  fundsofbanks,definedcontributionpensionplans,investmenttrusts,andlimitedpartnerships IF  X  theymeetthefollowingcriteria.IfaninvestmentfundisnotanEIF,youmustreportitsholdings.StockinindividualcompaniesisnotanEIF.BrokerageaccountsarenotEIFs.ThecriteriaforanEIFare:  a)widelyheld(usuallymorethan100participants,suchaspensionplansofmediumtolargecompanies)and  b)independentlymanaged(youhavenocontrolovertheinvestmentsinthefund)andeither  c1)publiclytradedoravailable(asmostmutualfunds)or  c2)widelydiversified(nomorethan5%ofitsvalueinsecuritiesofoneentity(exceptU.S.Government)andnomorethan20%ofitsvalueisinaparticulareconomicorgeographicsector). ExceptedTrusts(ETs) 󀄀Truststhatyoudidnotcreateandinwhichyouhavenospecific x knowledgeoftheholdingsorsourcesofincome.Youdonotreceiveanyreports.Youdonothavetoreportitsholdings. IRAs 󀄀Accountsareindividual,sotheyarenotwidelyheld,andthusdonotqualifyasEIFs, 8 above.TheymaybeinvestedinEIFs. LifeInsurance   X   TermDoesnotrequiredisclosure.  CashvalueThetypesarewholelife(alsoordinaryorstraight),inwhichyouhavenocontroloverinvestments;universal,inwhichyoureceiveaminimallyguaranteedrateofreturn;andvariable,inwhichyouchooseinvestmentsfromseveraloptions. Pensions  % #   Fixed,guaranteedpensionpaymentTheemployermakescontributionsandguaranteesthateachemployeereceivesacertainfixedbenefit.Youcannotcontroltheassetsofthispension.Donotreportitsassets.  AbilitytocontrolYoumaymakecontributionstoaseparateaccountmaintainedbytheemployerandreceivewhatevertheinvestmentearns.Ifyoucancontrolorselectthetypesofinvestmentinthisaccount,youmustreporttheaccountsholdings.Iftheinvestmentispooledforalargenumberofemployeesandiswidelydiversified(seeEIFs,above),youonlyhavetoidentifythenameofthepoolanditsmanager.  (-x(+     _%  _@$ATTACHMENT3