SF", (0,.0) 12000)
$ U.rt. r"rl 2fd4
u.s. (lfncc nr Goye rnment

Executive Branch Personnel PUBLIC FINANCIAL DISCLOSURE REPORT
F.lhl (~

Dalcor AD))O i~~~"cnt. c:~ndld;I.t;Y;JE)c..:tlon,
Dr Nomln~Uon Moml! n:JY, Year

Reporting
Stat us

Calendar Year

lncumhent

Cove red by Repo rt

0

(Check. Appropriate

0210512007

8<'Ix~1

I

Lut Name

Reporting
Individual's Name
Position for Whic h
Filing

Termlnatlon Tcnnln:nion Dale (I(APpl/­

Ntl... Entrant,

Nominee. or

~

Candidate

riler

0

able) (MQncJ~ DAY. Year)

I

I

First Name and Middle Initial

Rudolph W

Tille of Position

Department or Agency (ff Applicable)

nUng extensio:n period, sha ll be s ubject

to

Address (Number, Sueer, Clcy, Su re ,2nd liP Code)

Tele phone No. ((nelude Area Code)
(212) 931-7301

~de:!re!;~)

Title

12 Months (I( Nut S.1 mc

~$

of Posltlo n( s) and Date(sl Held

None

Abvvt'}

Name of Co ngressional Committee Co nsldl!!rlng Noml nallon 00 You Intend to Create a Quallfl!.d DIversi fied Trust?

Nominees Subject

rn~Ie:!c:ntl . 1
Co nrlr~ at l on

to Semite

C!.rUlluUon

Sig~b. t

~Te of R :,por.tlng Indi vidual

I

schedules <II re true. compl etc :I ne:! correct
to the b U I of my know!edSle,

Signature of Othe~ewe r

Other Review

i---'-. ...---: ---­
~

/

I

_.

"

/ '- A-"~

,",/:/ I(

Agency Ethics Officia l's Oplnlo~ SlgnaJlre of DeSlgnatetxi'en cy Ethl'<:..s..gfrlclaIl.Revlewl~ff1c1al
On lhe buis uf inrormalion co nl~i n ftl in lhis
report. I CQndutle ,hll ,he: liIer is in eom",li,nce
",ilh ~"'rhuhlc. I:oWf; and relul:llionJ {JUhjeel In
any (ommen's in Ihe boll Ixlow).
Offlce of Gove rn ment Ethics
Use Only
Comme nts of Reviewi n g Ofncl als

/jh~/
Slgnuu!J, / . ­

~!Af.;'
L

~jl L

(If .ddJclonll sp..a is r equired,

f
/"

!~

Sc hedul,'e lC, Part I (Liabl1itie5)-·The
reporting p,e dlod Is the preceding calendar
year and ttlexurrem calendar year up to
any date Y<fU] choose that Is within 3 1 days
of the date :of riling.

7

j

Schedule lC, Part II (Agreements o r
Arrangemehfs )-Show any agreements or
arrangerl'l;er~ as of rhe date of ming,

(Month, D.y, Ye.r)

1P/~7
,

box If nlln, ut~n.slon xr~ nted & indiu t~ nUnlh~r or d:JIYS - - - I

Reviewed for Apparent C~Rp.Ii~e
kV~I lOOl
with the Federal Election Cam ig~ t S I

Supc:rsc:du !'rlor EdItions, Which Can not Be Used.

Sc he d ul ~ ~B-Not applicable.

(Month.'Day. yrir)

17

o

13SNnOJ

tl£l~~I~~8~n"J J
D:;;J.AI3.:;JJl;L

27&-112

0

Replacement Annex "A" provided for
minor clerical error made involving
dates of speeches. VJS, 12/3107

lVH3H3n jO 3(a1~~x Ifco';'mencs .re conllnu~d on eM rev~rse side)

Schedule ~-The re porting period
for Income :<&LOCK ells the pre:cedlng
calendar yea~ a nd the: current calend ar
year up to th~ date of filing ,-~alue assets
as of any date you choose that is within
3 1 days or tht date
flUn g.

or

7//6/CJ7
olte
D Ollt

~

1

Date (~!?llch, day, Year )

7/17/

I

,

use rhe r everse side of chis sll eeC)
(Ch eck

Replacement pages 11 & 12 inserted
and changes made to several items in the
the "Notes" section . VJS, 10/2/07

~

Termlnatio.n Fllecs: The reporting
period begins-at the end o f the period
covered by your previous fili ng and cnd5
a e the date of:termlnation. Parr 11 of
Schedule D is ~ not applicable.
Nomlnc.c.s, ~New Entrants and

IMU)1 lL(l7{) ()

-/-:/

In cu mbent s: The reporting period 1$
t he: prC!ce.di il ~cale:nd a r yea r except Part
II of SchedulejC and Part I of Schedul e D
where you mtlst also Include the nnng
year up to t.hq date you fil e . Part Jl o f
Schedul e 0 is :not applicable.

Candidate s fo r President and
Vice PreSl eJent:

Da.le (Mouch, Day, Ye2r)

/ ~ &~~. (ij. JJjAJi~

I CERTIFY thal the 5I:.1te:mc nt s ' hlove
m ~ d\!l'Jn th !~ form lone:! all attached

(i[d es lre:dhy
age ncy)

DNJ

D Yes
/

a. 5200 fee .
Rep,orting Period s

5 Times Square, New York, NY 10036

roslfion(s) Held with the Federal
Gnvunme:nt During the Preceding

Fee for Late Fi l ing
Any Individ!Jal who Is required to l1Ie
this report anti does so more than 30 days
after the date.the report 15 required to be

flied, or, IF a n ~extenslon Is granted. more
than 30 days ~ fter the last day of the

Giuliani

Candidate for P resident of the United States

Location of
Present Office
(nr fnrw:trc:llnJl;

Form Approved:
OMR No. 3209 ·0001

,

Sc h edufe"D-The. reportIng period Is
the precedi n g two ca lend ar years and
the currenl calenda r yea r up to the date.
or flUnR .

~ 81!:ntY

c".c.uv-<Gll
.

Use Only

r-Ipce. "'"
;

~( ,~ /01

; ~ aGE Use Only

.0

;

l' r'

,ulJ.. 2 3

~

'f' -'

d JlU.
NSN 7540-01-070·8444

?GElAftbc Acrub_ ' "CDiOl> 1.0.1 (I IlOlnO().l1

 SF 278 (Rcv. 0312000) 

S C.F.R. Put 2634 


U.S. Offlcc of Goycrnment EtM

"

ReportIng I ndIYldu~J's Namt:
Giuliani. Rudolph W

Page Number

I

SCHEDULE A

2 of 18

,
Asset s and Income

BWCKB

BWCKA

For you.. your spouse, a nd dependent ch ildren.
report each asset he ld (or Investme nt or the
production o( income wh ich had a fai r mar ket
value exceedi n g S 1,OOO at t he close of the r efo rt­
lng per iod, or which ge n er ated more than 200
in Income during the reporting period , together
with !;u ch income.
For yourself, also re port the source and actual
amounto( earned income exceeding 5200 (oth e r
than fro m the U.S. Government) , For you r spouse,
report the source but not the amount of earned
income of more than $1.000 (except report the
actua l amou nt of an y honoraria over . $200 of
you r spouse),

None 0
Ccntr:ll Ai rlines Common

Examples

OocJone~&Smlth,

-

N

on on

,

~

.1­

I­

,

on

-;]r],-,

0
0

ff­

~

on

N

f-

,

,

on

g

on

N

on

~
a

]

0.

"tl

"tl

0.

!5

~

1j

Jl

.­ .- I- I ­
­ f-- i-- c­ .- I- I­,
-, f- i-­ .­ .- I- I­,

­

~

~

0

f- i-­

..

§ 8­a
§ § C!
~
-5
g §
""
8on § §
} .~ ~ § ...N on ...on ...cion, ..., ..., b · go
"..c ""3 .e ..., , , , 8_ ~ ~ a - ' onc j "c ~ Non C!on ~on on 8 8 ''''>
c:!
3 ~ ... ... ... 6
N

~

0
0
0

..
--- - - -- -...-, .. ..-.. -

0
0
0

on

'"

~·I

~

0

0

0

~

0

.­ .- 1­
i­
- '-I- f-f- r-f- i-C- -- I­
=[C - f- i­ .- -- I­

Giuliani & Company LLC (1)

Bracewell & GI!JUani LLP (2)

-,-,-

f-

l- i- i­

, [ [ f- l,

4

Only If
Honoraria

i- i­
I-- I-- i- i­

La... Parulfnhlll
Incomf StlO,OOO

Tol,l:

,

S4.ioe,32e

,

L. w P,rtn."hip
lnoom«
$ 1.2(10,901

,
,

$11 ,390.000

Book Royeltfu:

Disney Worldwide Services·
Hyperion/Mira max Books (4)

S141,on

....

Th••tricll
RO)'IIty:

X

X

X

i

• Thi s category applies only If the asseVlncome Is solely that of the file r's spouse or dependent chUdren. If the asset/Income is either that of·the flier or jointly held
by the flier with the spouse or dependent children, mark the other higher categor ies of value, as approprtate.
.
I
~-

rrlor EdItions Ca nnot Bt: Used.

I

Speaklf Feel:

Washington Speakers Bureau (3)

Giuliani Pa rtners 401K
Fidelity · Freedom 2010 - Blended Fund

(Spcdfy
Type &
Actual
Amount)

--­ ---­
--­
- - --­
-­ - - ­ --­

.- ­

, SPE Corporate Services (5)
6

Date

(Mo.,Day,
Yr. )

q : ~

,
J

Oth er

In come

.-r .
"" ~ o

N

X
I

ac'

0

c

,

~

C!

0
8 ~ ci
ci 8 on
0

0

1­

,

,

c C! on

.­

0

Amount
;:;­

§ "
..
..
..
.. .. 8­ 8- 8_­ - ~ E~ ~
~ ... .. ...- - - .e - ..- ~ § § ... "
&
&
"
-.. ..-.., ..-.. .. 6 .- .. .. ~ 6>" ~,

-----------­
Kcmpstont:
Fund
----------­
- '­
Heanland
Index Fund
500

"~c

ci
~ ci 8
8
~ ci
• §
on Non on
0

§ §cion §g g 8
§
:5 § ci 8 on ...

'­

IRA:

0
0
0

0
0
0

0

.c..

Hometown.State

Equity

I

;:;­

8_

,,

BLOCK C

Type

~

------­ ----­

Income: type and amount. If "None (or less than $201)" is
checked, no other entry is needed in Block C for that ite m.

Va l ua tion of Asse t s
at close of reporting period

:
OOElA~Acrob.I"eQion

I.O.1{ lliOll2OOo4)

•

 SF 278 (Rev. 0312000)

, _ _ _ _ _ _ _ _ _,

5 C.F.R. Part 2634

- :.r

I

U.S. ornce of Government Ethics

\ Page Number

SCHEDULE A continued

RepOning Indlvldu.I', N,m.

(Use only if needed)

Giuliani, Rudolph W

Assets and Income

Valuation 0 f Assets
at close of reporting period

BLOCK A

BLOCK B

3 of 18

Income: type and amount. If "None (01' less than $201)" is
checked, no other entry is needed in Block C for that item.
BLOCK C

Type

-

§ '"c
o 8
o .
g 08
.z:
00°
0 :5 o.
...c goo g
~
o
o
8
00.
. 0
0
§
,a ·8 0 o. cici 8°vi ...
~ ~o
_
00
.
.... qo8;:Q~ _·g'""
V'l '"" Io'l .... ci
~~EI't~
gg_ _ 0 8 .E> (-<2 (-<2
0
o
--goo,...,j. 80.
• 0
&

-

o

o

N

..

~
~

~

::::

VI

-

.....

_

•

88'""
o .

O

on N
>
..... 0

C.VlO

2

3

•
s
6

7

8

'q

~

00
oo...,g
~gqqg·oo~o
.........

~

~

VlQCo).
VI-NVI>_

Z"'''''"''~

.... ''''O'''

.

~

~
~

'"~ "~a. l.~"
0.

Jl~ Jl"

:::r

>.

~

~
"0"0

~eJl.o""

cc:;;_2.

Other

Income

§g"
o

.... _
- q
,...,j,.... . . . oo g
..

G.lnlCo)~Q) _ooooo
:9 .... ~.- C o 0. ":.,o.uici

"a ·:!:5

8. """i.:S

ogg
q 0 (SpecIfy
o o o 0 c i ,. .,.j . a ..., 0 Type &
•• 0
0000.60
Actual
""''''''oV'lqVlll')_ "'0 . c5 Amount)
•• 0
.S~ O.Z; ...
VI ...
_"''''
c

tii

~

0

.s

Q1
'iJ

I

1.0

,

Amount

....

::0N

Cla:.s u

z.-,

8"

vt...,...,..,,,,, ;;;
....

NVI

_lI')

Date
(Mo., Day,
Yr.)
Only If
Honoraria

" '".
..

on

9, ~

Ii; ~S

"

~ ;~

0

Bessemer Trust:

Bessemer Sweep Program (J) {6)

X

U.S. Treasury Note - 5/31/07 (J)

Old Westbury Municipal Bond Fund (J)

X

Old Westbury Mid Cap Equity Fund (J)

X

Old Westbury Global Small Cap Fund (J)

Old Westbury Real Return Fund (J)

X

X

X

. , , , , I I I I I I I I I I I I I I I I I I I I I I I I

Old Westbury Large Cap Equity (J)

Old Westbury International Fund (J)

X

X

X

X

-·fI +1--+---1

IX
X

X

X

X

., , "

X

X
X

I I I I I I I I I I I I I I I I I I I I I I I I-I-t-I--t----I
X
X

X

X

I

IX

X

.. This category applies. only if the asset/Income is solely that of the mer's spouse or dependent children. If the asset/Income is either that of the flier or jointly

by the filer with the spouse or dependent children. mark the other higher categories of value, as appropriate.

l\~d
1

....---------------------------------------------------,
-G-El-A
-d-o-b­,A-cr-o~jversion
1.0.2 (1110112004)
Prior EdItions Cannot Be Used.
.
,

 SF 278 (Rev. 0312000 ) 

5 C.F.lt ran 263 4 

US. Offlce of Government Ethics

Reponing lndlvldu:l.1's Name

-

SCHEDULE A continued

Page Number

(Use only if needed)

4 of 18

•i
Assets and Income

Valuation 0 f Assets
at close of reponing period

BLOCK A

BLOCK B

Income : type and amount. If uNone (or I~ss than $20 1)" is
checked, no other entry is needed in Blodt C for that item.

j

;::;

...
~

:;

-5

~
~

.£

:g

~
I

,
3

,
5

•
7

8

•

0
0
0

§

!

"tl

c

0

0

0

N

0

~

~

,

N

-g ...-8. 8.-

~

Bessemer Sweep Program IRA (6)

~

~

~

~

~

8 00 8a a
a a 8 ...'"
0
q
on
~

~

~

8.
8. 8on 8a 8 a
... '" ... ...'" ...'"
~

~

~

~

.. ..
~

0
0

~

N

0
0

~

- ..

~

"tl
~

Co

"tl
~

i5.

0

...
N

0
0
0

0

1

6 ·
o !

Other
Income

0
a
(Specify
0
0 8
";. '' 00
Type &
8 § § a0 8' 8,..; § ... lq
Actual
...
:
0
} l'l ~~ 8. ...N'", ,...,,' ...on '", ... , go. 0 i& Amount)
~
...,
, ,
-g
~
0
~ "tl ] E'E .£c 0, 00 0 8. 00 8g ... g.q . l'...'"~
,"
8. a
'> C ~ '~ "
,.;
6 is ~ .0: u ~ ... ... ...'" ...'" ...'" ..."' ... ~ ..,1I>
°

.,!j

-S

~

~

.. -~.

~

~

.

~

~

~

~

~

~

N

N'

~

~

Date
(Mo., Day,
Yr.)
Only If
Honoraria

~

~

X

X

X

0

:;

~

8 ... ...'" 8 ] ] "
N

00 11

~

~

a

8

;
1

0
0
0

§ & "'C
8.
§
g
§ § g ...'" a q § ...8.'", ...on, ...'", §a §~
... ...
8 .0: ~
...,'" ..,'", ..., , '" , a
0

0
0
0

i

Amount

T y pe

.

0
0

1

BLOCK C

j
,

Fede ral Home Loan Bank IRA

X

U.S. Treasury. Nole IRA · 5/3 1/07

X

X

X

X

X

1
i

!
i

Old Westbury Fixed Inc. Fund IRA

X

Old Westbury Large Cap Equity IRA

X

X

X

X

X

;
i
i

j

Old Westbury Mid Cap Equity Fund IRA

X

Old Westbury Global Small Cap Fund IRA

X

Old Westbury International IRA

X

X

X

X

X

X

X

X

X

.

Old Westbury Real Return Fund IRA

X

i

I
1

• This category applies on ly If the asset/Income is solely that of the filer's spouse or dependent children. If the asset/Income Is either [hat of the: filer or JOintly h~.:I"
by the flier with the spouse or dependent children, mark the other hIgher categorles of value, as appropriate.
.
1
-

Prior Editions o'nnot Be Used.

IGE/Adobe Acrobat

------­

~ersion 1.0.2 (11/0112004)

 SF 278 (Rev. 0)/2000)
5 C.F.R. P:ut 2634
U.S. Office or Gove rnm~nt Ethics

_'I

_ _~~_ _ _ _- - ;

'I Page Number

I Reponing 'nd'v'du.'·' N.me

SCHEDULE A continued
(Use only if needed)

5 of 18

r-____~----~----------_.--------------------_.r_--_.~--------~------~~---,
~i~--~~~--~
Assets and Income
Valuation of Assets
Income: type and amount. If "None (or I;ess than $201)" is
at close of reporting period

checked, no other entry is needed in BloCK C for that item.
i
BLOCK C

BLOCK B

BLOCK A

Amount

Type
~

o
q
H

o
00
00
8°.0
- 00

-g

...

0

0

0
0
0 0 0•
0•
008
ooooo.8cto

..,e

rdOOOc5

'00

o

-Vllno

-50o_oan8qo~N~q
qOONlI'l~O

:::! 'tI')l,I')-..,,,,,,,,,,,c5
G)

o

....

c

§
~

u

--000,...;0.0.01,1') ~ ~
OOOOOEoOt°oo""

....

_0
0 0.6

boO.

~

-5

>.

VI

t::.VlO

Bessemer Sweep Program (6) (7)

__

Vl

4

o
a::

._Q)ONII')
~
,....; ..., ...,

C)t;"'"

x

x

Old Westbury Fixed Inc. Fund (7)

7

Old Westbury Mid Cap Equity Fund (7)

8

q

Old Westbury G.L. Small Cap Fund (7)

Old Westbury International Fund (7)

C'I:I

Q)

x

U.S. Treasury Note - 5/31107 (7)

Old Westbury Large Cap Equity Fund (7)

V'lN

x
x
x

x
x

C)

c.~

Other
Income

....

""

""""

__

8-'0
C) 0

Date
(Mo., Day,
Yr.)
Only if
Honoraria

1l"O"O ....
;:;,...;qvi
~&;s....,~OOO""C)6')
:::::1"0
ClJ
.....
e)""
v _00000c5
'S:
1ii '0. c:: 0 q "l O• .vi' 0 0 ~ C,t IV

Zo

x

Federal Home Loan Bank Short Term
Note (7)

6

V'lOGJ-.VlQ)

NI,I')

x

Federal Home Loan Bk Short Term Note (7)
3

.......

C)

0°.
g
ogggb Qo

~

a.>8o_o-8-oc5 . . gooct~ ~ ~ ca
c c:
> ....
>
.2J ;.=;:
z..,""'''''6o't ... ...,O''''\IIt..., O .ll .ll Ui--jet:_U
O

o

(Specify
&
8ggqoqo~j8 Type
\o?",ooVlo·OO-q .
- Actual
Amount)
c::""
- - 1,1') an - ."" 0
0

.~

tl

80 "> ~2 E-<2
.5 f­

....

_

..,

Vl

""~

0
....
_0°

o

o

N

....

-:~

_

Eo')

~

~

N

- __
-

N

VI

~~""~

.....

....

0>

V'I
....
? ... j
~~OEit

x

x

x

x

x

x

x

x

x

x

x

x

x

x

x

x

x
I

• This category applies only if the asset/Income Is solely that of the flier's spouse or dependent chIldren. If the asset/lncome is either that of the filer or jointly hel~
by the filer with the spouse or dependent chIldren, mark the other higher categories of value, as appropriate.
1
PrIor EditlQns Cannot Be Used.

IOE/Adobe ACrob:lt} ersion 1.0.2 (11/0112004)

 SF 278 (R.ev. 0312(00)
5 C. F.R. Part 2634

1

,

I

11 _ _ _

_'.I ' 


US. OrflCt of Government EthIcs

I Rcponlng lndlvldu.I's N.mc
Assets an d Income

Val uatlon 0 f As se t s
at close of reporting period

BLOCK A

BLOCK B

6 of '18

Income: type and amount. If "None (oril~ss than $201)" is
checked, no other entry is needed in Bldc1< C for that item,

II
,,

BLOCK C

Type
_
~

a

000
08
0
00
080.

6

'"&c

00
000

go.ci
0

'-'O.OONVI

o"'"

-a

_ .... 0
°-0
.......... O o o ....- ·0 q o V ' )
~
g g q q q ... g . 0 g '"" '"~c. '"~a. "0
._

V a.V'I- .O
-0001.o000-~
OIl"lOGJ
_
.!nO

C

Old Westbury Real Return Fund (7)

x

Bessemer Sweep Program IRA (5) (6)

x

6

U.S. Treasury Note· 5/31/07 (5)

7

Old Westbury MunIcipal Bond Fund (5)

8

q

~p:::

0

(Specify
Type &:

0

0

Only If
Honoraria

...
f:l tl -; ~;1>C

t 'o..c-o: OCo
C!.lI'!,C!.vl'oo Q) 0 ' ~
.....
N _ N I I ' l _ V ' l _ > -i :o
o~.5u:z""..,..,.., .... '""~o

" I

x
x

x

x

x

x

x

x

x

x

0

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(Mo., Day,
Yr.)

f.)
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aJeo:IaJ~Q)"",oOOOOcil...o C, i L..

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x

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x

x

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Bristol-Meyers Squibb Co. (S)
Zimmer Holdings Inc. (5)

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Amount

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000.

0
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BristOl-Meyers Squibb Co. IRA (5)

I

'

0

8...
c:

4

I

SCHEDULE A continued
(Use only if needed)

3

~_ _ _ _- ,

"I Page Number

x
x

x

x

x

x

;'1
!II

I

'I",
I,
"

'iI'
.. Thi:; category applies only if the asset/income Is solely that of the mer's spouse or dependent children. If the assetllncome is either that of the filer or JOintly hi!ld
by the filer wit h the spouse or dependent children, mark the other higher categories of value. as appropriate.

j

Pr10r

Editions CannOt BI! Used.

I(jF1Adobe Acrobllt \.enion 1.0.2 (I 1/01nOO4)

, I


!1

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S C. F.R. P;"Ir\ 2634
US. Orne!! of Government Ethics

Reporting Ind !vldual's Name

-

SCHEDULE A continued

Page Number

(Use only if needed)

7 of 18

:I
Assets and Income

Valuation of Ass ets
at close of reporting period

BLOCK A

BLOCK B

0

;<

q
M

;

~ on
~

~

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1

2

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4

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Old Weslbul)! Mid·Cap Equity Fund (5)

on

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Besseme r Sweep Program (5) (6)

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Old Westbury Municipal Bond Fund (5)

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U.S , Treasury Note · 5/31/07 (5)

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(5)

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Old Westbury Real Return Fund (S)

&

gon &•g .....vi
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Old Weslbul)! G.L. Small Cap Fund (5)

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Income: type and amount. If "None (or'less than $201)" is
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,
BLOCK C
!
Type
Amount
!

,

X

X

X

X

X
X

!I

, I
,I
I
;
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I

• Th is category applies only If the asset/ income is solely that of the flier's spouse or dependent children. If the asset/income is either that of the flier or jOintly h1elh
by the flier with the spouse or dependent children, mark the other higher categories of value, as appropriate.
.
1
-­

PrlOT" EdItion s C~nn o t Be Used.

1

--------­

IGElAdobe Acrobat;version 1.0.2 (11/0112004)
!

 SF 278

(R~v.

0312000) 


5 C. F.R. Part 2634 

US.
- -, omct:
- , -- or Gov~mmcnt Ethlcr.
-

_.

Reporting Ind ividual's Name

Page Number

SCHEDULE A continued
(Use only if needed)

8 of 18
~ I

Assets and Income

Income: type and amount. If "None (oOess than $201)"' is
checked, no other entry is needed in Blo~~ C for that item.

Val u a t ion 0 f Ass ets
at close of reporting period

:,
!

BLOCK C

BLOCK B

BLOCK A

Type
::;
0
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X

~

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X

I
2

3

4

5

6

7

8

q

Old Westbury Mid Cap Equ ity Fund (5)

X

Old Westbury G.l. Small Cap Fund (5)

X

Old Westbury International Fund (S)

X

Old Westbury Rea l Return Fund (S)

X

X

X

X

X

X

X

,
,,

i

,i
X

,,

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'I

Me rrill Lynch (8):

ML Sank Deposit (5) (6)

X

X

Bristol·Meyers Squibb (S)

X

X

Zimmer Holdings, Inc. (S)

X

X

X

X
X

I

,1
, I

.. This category applies only If the a~ct /income Is solely that of the filer's spouse or dependem children. If the l$setltncome Is either that of the filer or joi ntly held
by the fll er with the spouse or dependen t children. mark the other higher categories of value, as appropriate.
'
; j
-,,~

Prior Editions Cannot

B~

Used ,

IOE/Adobe Acrob~t rt:rsion 1.0.2 (11101 12004)

 SF 27 8 'R~v. 0312000)
S C.F.R. Pan 2634

-,

U.s. Off ice of Govern ment Ethics

Reporti ng Individual's Name

SCHEDULE A continued

Giuliani, Rudolph W

Page Number

(Use only if n eed ed )

9 of

18

:1
Ass et s and Income

Income: type and amount. If "None (or 'less tl)an $201)" is
checked. no other entry is needed in Blocli C fo r that item.

Val uatlon 0 f Asse t s
at close of reporting period

, I

j
BLOCK A

BLOCK C

BLOCK B

Type
0

~

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;j

-5

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2

3

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Money Markel. IRA (5) (6)

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Zimmer Holdings, Inc. IRA (S)

X

X

X

,

X
;

X

,
I

Prude ntial Financial Stock
Changing Our World, Inc. (S) (9)
New York, NY

6

Rudolph W . Giuliani (5)
New York, NY

7

Schwab (5) (10)
Defined Benefit Plan

q

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80 &
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Brislol-Meyers Squibb IRA ($)

s

8

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X

Salary

,
,

Sallry

,

X

X

: :

X
X

X

X
X

X

,
,

Ii,

• This category applies on ly Ir the assellincome is solely that of th e flier's spouse or dependent children. If the asset/income is either that of the nIer or foin tly h eld
by the filer wi th [he spouse or depende nt ch ildren, mark the other hIgher categories of value, as appropriate.
.
I
rrlor Editions Cannot Be Used.

,

i!

J~ Morgan Institutional Tax Free Money
Management (1 1)

JP Morgan Private 'Bank Checking Account (6)

;

X

-

IOE/Adobe Acrobilt ~ersion 1.0.2 ( 11/0112004)

1
i,
,

"

 SF 278 (Rev. 03 / 2000) 

5 C.F.R. Part 2634 

U.s. Office of Government EthIcs

' I!Page Number

ReportIng IndivIdual 's Name

SCHEDULE A continued

GiuUanl, Rudolph W

1

(Use only if needed)
Assets and Income

!!
Income: type and amount. If "None (or
than $201)" is
checked, no other entry is needed in BloeM C for that item.

Jess

Valuation 0 f Assets
at close of reporting period

BLOCK A

\

BLOCK B

Type
0

0
0

..<

'"~

0

0
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0
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Merrill Lynch ~ Blackrock Balanced Cap
Fund (13)

X

X

X

Merrlll Lynch" Btackrock National Municlp,at
Bond Fund (13)

X

X

X

Vang uard Group 'Growth and Income (12)

Vanguard Group Total Stock Market (12)

Merrill Lynch Money Market Accounl (6) (13)
Cilibank ~ Checking (6)
Citibank ~ Money Management (6)
Cmbank ~ Money Management (6)

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• Thl, category applies only Ir the asset/Income I, solely that or the mer's 'pouse or dependent children. If the asset/Income I, elther that or the mer or jointly he11
by the filer wi th the spouse or dependent children, m ~ rk the other higher categories of value, as approprtale.
'
,"'\
PrIor EditIons Cannot Be Ust':d .

IGEIAdobe Acrobat Jersion 1.0.2 (1 1/0112004)

I .

I


,I 


I

,
I

 SF 27.8 (Rev. 0312000)
5 C.F. R. Parr: 2634
U.S. Office of Government
- --- -- - - - . EthIcs
-----­
Reporting Individual's Name

Page Number

SCHEDULE A continued

Giuliani, Rudolph W

(Use only if n eeded)
Ass et s and Income

Va luation of Ass et s
at close of reporting period

BLOCK A

BLOCK B

11 of

Incom e : type and amount. If "None (or less than 5201)" is
checked, no other entry is needed in Block C fo r that item.
BLOCKC

Ty p e
0

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~

~

~

... ...

~

~

Other

Income

",

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X

Citibank· Money Management (6)

Citibank ' Checking (S) (6)

X

X

X

X

X

CiUbank ' Money Management (S) (6)

X

X

Citibank, Checking (J) (6)

X

X

Citibank, Checking (J) (6)

X
7

0
0
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Omnlcom (S) (14)

Mutual of America Mld~T erm Bond Fund (5) (15)
Personal Loan to Kenneth Caruso
New York, NY

X

X

X

X

X

X

X
X

X
X

X

• This category applles only If the asset/Income Is solely that of the filer's spouse or dependent chlldren. If the asset/income Is either that of the filer or jointly held
by the filer with the spouse or dependent children, mark the other higher categories of value, as approp r iate.
------

Prior Editlons Cannol Be Used.

-

IGElAdobc Acrobat version 1.0 .2 (11/0112004)

,

 SF 278 (Rev. 0312000)
5 C.F.R. Part 2634

U.S. Office of Government Ethics

Reporti ng Individual's Name

Page Number

SCHEDULE A continued

Giuliani, Rudolph W

(Use only if n eeded)
As s et s and Income

Va luationof Asset s
at close of reporting period

BLOCK A

BLOCK B

12 of 18

Income: type and amount. If "None (or less than $201)" is
checked, no other entry is needed in Block C for that item.
BLOCKC

Type
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investment Residential Property (J)
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Prior Editions Cannot Be Used.

IGEiAdobe Acrobat version 1.0.2 (1 1101/2004)

 SF 278 (Rev. 03120(0)

S C.F.R. Part 2634

U.s. Oftlce of Government
Ethl_:s
-

'- ,

~

Reponing Individual's Name

Page Number

SCHEDULE A continued

Giuliani, Rudolph W

(Use only if needed)

13 of 18

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1'

Asset s and Income

Val uation 0 f Assets
at close of reporting period

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by the flier wit h the spouse or dependent children, mark the other higher categories of value, as appropriate,
.
I •
Prior Editions Cannot Be Used .

. .
IGElAdobe Acrobat ~ersion 1.0.2 ( 11 /0 112004)

 SF 278 (Rev. 0312000)
5 C.F.R. Pan 2634
US. ornec of Government Et hics

Reporting lndlvldual·s Name

-, Page Number

SCHEDULE A continued

Giuliani, Rudolph W

(Use o nl y if needed)

14 of

18

,; 1,
Ass et s a nd Income

Valuation 0 f Ass et s
at close of reporting period

BLOCK A

BLOCK B

Income: type and amount. If "None (o d~ss than $2 0 1)" is
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. . : ~
Prior Editions C,lOnot Be Used .

,- :

IGE/Adobe Acrobtll yersion 1.0.2 (11/01/2004)
, \

I


,

i

 SF 278 (Rev. 0312000) 

5 C. F.R. Part 2634 


ulnce 01 lJovcrnmcnt tInLCS 

Reporting Indlvldual'S Name
Giuliani, Rudolph W

u.~.

~age Number

SCHEDULE C

Part I: Liabilities
Report liabilities over S10.000 owed
to anyone creditor at any time
during the reporting period by you,
your spou se, o r d ependent children.
Check the highest amount owed
du ring the reporting period. Excl ude

I
ampcs

None

a mortgage on you r personal residence
u n less it is r ented out; loans secured by
automobiles, household furniture
or appliances; and liabilities owed to
certain relatives listed in instructio n s.
See instruction s fo r revolving charge
accounts.

Creditors (Name and Address)
Ex

,

~o.!".!B ~M...O..!!..!I!:!!!!I~o~t.t..P~w!!!

----­
---­
JohnJom:s. 123J St., Washlniton. DC

,

,

""'

,I

Date
Incurred
1991

___

Promissory notl!: '

.i

181

Category of Amount ~r Value (xl

Type of UabHhy

K:StDIstrictBank.WUhl~on,oc

15 of 18

!

.

1999

Interest
Rate

r....!%
-

I

l('"

Te:nn LI

applicable
2S yrs.
on--~
demand

.:.§ §§ §§
§§ §§
8­
gg gg
vio
08
:!~
~~

-

- ~

~~

~-

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~~

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iI

2

,

3

I

,

'1

•

I

j

,

I
;

i

-,
"'This category applies on ly If the li ability Is solely that of the filer's spouse or dependent children. If the liability Is that of the filer or a Joint liability of the filer
with the spouse or dependent children. mark the oth er higher categories, as appropriate.

Part II: Agreements or Arrangements
Report yo ur agreeme n ts or arran gements fo r : (1) contIn u ing participation in an
e mployee benefit pian (e .g. pension, 401k, deferred compensation); (2) continu a­
tion of payment by a former employe r (including severance payments); (3) leaves

of absence; and (4) future emp loyment. See instructions r e·g.i rding the r epon­
lng o f negotiations for any of these arrangements or benefi ~.
None
Pn'lles

Status and Terms of any Agree ment or Arrangeme nt
Example

I calcu
Pursuan t to p.artnership ag reement.
rtcelv~ lump sum payment or capital accou nt
lated on service pcrrormed through 1/00.
will

&:

-

partnership share

I

Doe Jones &: SmIth, Hometown . State

_.

D

Date
7/85

1

Fidelity - Giuliani Partners 401K Freedom 2010 Blended Fund (21)

GIuliani Partners. New York, NY

01/02

2

Pursuant to book contract, filer will continue to receive royalties on book sales. (4)

Disney Worldwide Services. HyperlonlMiramax Books, New York

7102

3

Partnership Agreement continues to exist (1) (22)

Giullani & Company, LLC. New York, NY

1/02

4

Partnership Agreement continues to exist (2) (23)

Bracewell .& Giuliani , Austin, TX

4105

457 Dererred Compensation Socially Respons ible Fund (no contributions allowed post-12101)

City of New York Deferred Compensation Plan, : N~W York. NY

Pursuant to s tandard theatrical contract, royalties will be paid fo r repeat s howings of performances. (Various dates)

SPE Corporation, Culver City, CA (Paying Agen,t»)

5
6

,'

9/94

-­

Prior EdItions CannOt

B~

Used.

OO!fAdabil ACnIbat "'ellion I,o.z (11101120)01)

I

 (Rev. 0312000) 

S C.F.R. Part 2634 

U.S. Office of GI t:I~mmen l t.1 niCS
Reporting Individual's Name

SF 278
~

,Page Number
, ,'
16 of

SCHEDULE C

Part I: Liabilities
Report liabilities over S10,000 owed ·
to anyone creditor at any time
during the reponing period by you,
your spouse, or depende n t children.
Check the highest amount owed
during the reporting period . Excl ud e

a mongage on your personal residence
unless it is r ented out; loans secu red by
. a utomobiles, h ou sehold furnitu re
or appliances; a nd Iiabiliti~s owed to
certain relatives listed in instructions.
See instructio ns for revolvin g charge
accou nts.
Type of Uability

Category of Amoun(or Value (x)

,

Imerest
Rate

Incurred

~~rst DistrlctBanlc,wash!~O"::,:",,OC_ _ _ t-t:!~.!!:Ia.&£..o.!!....!:e.!!!!I.£I.02!!lt:..Pelaw!!! ._ _ _
johnJones, I 23J51., Washington. DC
Promissory note
.

,i

[8J

Date

Creditors (N3me 3nd Address)
Examples

None

18

t- 2,?,''-.
1999

f-

I

...!"-

"'"

Term If

§§ §§
vic

applicable

~~

25 yr!.

~n dema~d

2~

- ~

~~

- -­

08

, I!i § §§ .:§
§
8 . §§
-§ 1 .
§§ .§§ ~§
.§
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8~ ~8 8 : i ~§ §§ § .

~~

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8,
~-

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,'0 ;;

- r .-x -.

. ~

-~
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~o

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-- j - - 1-­

!

2

i!

I

J

,

•

,
5

·This category applies on ly If the liability Is solely (hat of (he file r's spouse or dependent children. If the lIabllJty is that of the filer or a joi nt 1l2biUty of the mer
with the spouse or dependent childre n. mark the other higher categories, as appropriate.
.
.
l

Part II: Agreements or Arrangements
Repon your agreements or a r rangements for: (1) continuing p articipation in a n
employee b enefit p la n (e.g. penSion, 40 1k, d eferred compe nsation); (2) continua­
tion of paymen t by a fonner employer (includ~ng severance payments); (3) leaves

of absen ce; and (4) fu ture employment. See in struction s r~~~ardlng the r e porting o~ negotiations for any of t h ese arran gements o r ben~fi~.s .
None

Status and Terms of any Agreement or Arra nge mC!nt
Exa.mple
I

Pursuant to partnership agreement. will receive lump su m payment of capital accbunt
I calculated
on service performed through
1/00.

Chairman of the B·oard (17)

2 Entitlement to Health Insura~ce Coverage from City of New York (24)

Parties
&:

partne rship share

-.

Doe Jones &: Smith, Hometown, Stare

0

Date
7185

leed s Equity Fu nd IV, Board of AdvIsors, New York, NY
i
CIty of New York
i

,

06/02
5106 .

-,

J
4

5

•

!
Prior Editions Cannot Be Used.

OOElMa~ Ac;rob.l IImion 1.0.2( 1110 1120)()

 SF 278 (RC!v. 0312000) 


rut 2634 

u.s. orncC! of GovC!rnmtnt EthIcs

5 C.F.R.

Page Number

Rtportlng IndIvidual's Name
Giuliani, Rudolph W

SCHEDULE D

Part I: Positions Held Outside U.S. Government

Report any positions held during the applicable reporting period, whether compen­
sated or not. Positions Include but are not limited to those of an officer, director,
trustee, general partner, proprietor, representative, employee, or consultant of
any corporation, firm, partnership, or other business enterprise or any non-profit

17 of 18

.

:1

organization or educational institution. Excl ude posltio~s~with religious,
social, fraternal, or political entities and those solely of 3.Dr honorary
nature.
:
N
1
one

Organization (Name ~nd Address)
Type of Organization
Position Held
i- ' From (Mo., Yr.)
ExamplC!S ~a!l..Assn .~ Rock COll~O~ NY.~ _ _ _ _ _ _ _ _ _ _ _ -;_on-p~edu~n_ _ _ _ _ _ _ _ _ ~~~ _ _ _ _ _ _ _
~~
DoC! Jones & Smith. Hometown. Statt:
Law nrm
Putner
I
7185

J_

'I

,

To (Mo.. Yr.)

__

~~ _

1/00

Giuliani & Company LLC , New York, NY (1) (25) .

Holding Company

Chairman

01/2002

Present

Giuliani Partners LLC, New York, NY (1) (25)

Consulting Firm

Chairman and CEO

01/2002

Present

Bracewell & Giuliani LLP , New York, NY

Law Firm

Partner

04/2005

Present

Leeds Equity Fund IV, Board of Advisors, New York, NY

Investment Firm AdvisOl)' Board

Chairman (17)

0612002

Present

Not-far-profit Presldenllallibrary

Board Member

0412003

04/2007

,
5 ' Ronald Reagan Presidential library Foundation, Simi Valley, CA (on leave)

I I

-1-1- - + - - - i

G

Rudolph W. Giuliani Center For Urban Leadershlo. New York. NY

I•

D

I
.

Board Member

Non-profit UbrarylEducation

!

-­

Source (N3.me and Address)
Dot Jones & Smith. Hometown. State

I

Present

Do not complete thl;, :part If you ar~ an
Incumbent, Termina"ti,on Filer. or VIce
non-profit organizatIon when
Presfdential or Presi1d..e ntlal Candidate .
you directly provided the
.
services generating a fee or payment of more than SS.OOO! \Oll
!
None
need not report the U.S. Government as a source.

Part II: Compensation
in Excess of $ 5 , 000 Paid by One Source
.
Repon sources of more than S5,000 compensation received by you Of your
business affiliation for services provided directly by you during anyone year of
the reporting period. This includes the names of clients and customers of any
corporation, firm. partnership, or other business enterprise, or any .o ther

01/2002

~~I--------~----~

l

BrtelLJescrtptlon or DutieS

-1

lLgalservtCtS

0

.

-------------------------------------------~------Metro
Unlverslt (client of Dot Jones & Smith). Mone own, State
t..egal services In connection wIth unIversity construction
.

2
J

,

•
PrIor Editions Cannot fie Used .

,

,

OGEI,\cIob:c ~Cftlbr.I"'erlion 1.0.1 (I JlOlnOOol)

 SF 278 (Rev. 0312000)
S C.F.R. Part 2634 

US. Office or Government Ethics 


.Page Number

Reporting Individual's Name

SCHEDULE D

Giuliani, Rudolph W

I Part I: Positions Held Outside U.S. Government
Report any positions held during the applicable reporting period, whether compen­
sated or not. Positions include but are not limited to those of an officer, director,
trustee, general partner, proprie tor, representative, employee, or consultant of
any corporation, finn, partnership, or other bUSiness enterprise or any non-profit
On~" nluUoo

Exam

2

h~S~a~~ . ~R25..k~II~O~~~

pSI Doe Jones &: Smith, Home town, State

organization or educational institution. Excl ud e positlor,tsjwith religious,
social, fraternal, or political en tities and those solely of ar.! honorary
nature.
.
None
T~

(Name and Address)
___________

18 of 18

I Non-p~~UCltlon_

rLaw flnn

_______ _

~I~~

___ _

o

·1From (Mo•• Yr.) I To (Mo.,Yr.)

Position Held

or OrRanlzOlltion

_ _ •...,;,II_

Partner

,

~~ _
1/8S

1- ~~_

r

1/ 00

America's Camp Foundalion Board of Advisors, New York, NY

Non·profit camp

Chairman

0512003

Present

Giuliani Group LLC, New York, NY (1) (25)

Holding Company

Chalnnan

0112002

Present

J

4

s
6

~--------------------------------~------------------~------------_,~~I

Part II: Compensation in Excess of $5 ,000 Paid by One Source

Report SOurces of more than $5,000 compensation received by you or your
business affiliation for services provided directly by you during anyone year of
the repOrting period. Th is includes the names of clients and customers of any
corporation, firm, parmership. or other business enterprise, or any other
Source (Name and Address)
Ex;tmplu

Dot Jones &: Smllh. Hometown. State
_ _ -­
- --­
__ _
Me tro Unlv~rslty (client or Doe Jo n ~s & Smith). Moneytown. State

____~____;

Do Dot co mp l e te t h l:i p a r t if y o u ar e a n
Incumbe nt , Te r m ina tio n Filer , o r Vice
Pr esident ial or Pres iden t ial Cand idat e.

nonM
profit organization when
you directly provided the
. selVices generating a fee or payment of more than $5,000. You
need not report the U.S . Govern ment as a source.

None

0

Brit! Descrtptlon of Duties
_

_

lcpJser.1ces
-­
_ - ____ - - - ­
Legal services In connection WIth university construction

-­

-

-

-­

-

- - - - -­
..•_ _ _ __ _ _ _ _ _ _-'

3
4

6

Prior Editio n s (Jnnot Be Used .

OGfJAdob. r\trobU "chion 1.0.2 (1110112004)

 Notes - Rudolph W. Giuliani Form SF 278
1)   Giuliani & Company LLC
NewYork,NY
The filer is a thirty percent equity partner who received a guaranteed payment pursuant to
his partnership agreement of $994,169 and a net distributive share of partnership income
of $2,452, 115 during the reporting period. Included in the reported amount is $600,000 in
accrued guaranteed payments for 2007 and a distributive share of interest earned in the
partnership of $62,044 for 2006, which amounts have not been paid yet.
Giuliani & Company LLC has ownership interests in the following companies, whose
underlying asset values and income types and values are not readily ascertainable:
Giuliani Group LLC
New York, NY
Giuliani Group is an intermediary holding company that performs no
direct services.
Giuliani Partners LLC
NewYork,NY
Giuliani Partners is a management consulting firm that provides strategic
advisory services to clients.
Giuliani Capital Advisors LLC
New York, NY
GCA is a broker-dealer that no longer provides services following a sale
of assets to Macquarie Bank.
Giuliani Security & Safety LLC
New York, NY
GSS is a consulting company that provides security and safety consulting
services.
K.K. Giuliani Security & Safety Asia
Tokyo, Japan
GSSA is a consulting company that provides security and safety
consulting services.
K.K. Giuliani Compliance Japan
Tokyo, Japan
GCJ is a consulting company that provides corporate governance
consulting services.

 Lenore Partners LLC
New York, NY
Lenore Partners is a holding company for an investment in Skywatch
LLC, a technology company.
BioONE Solutions, LLC
Albany, NY
BioOne is a technology services company providing decontamination
services to clients.
BSMB/Camelbak LLC
New York, NY
BSMB/Cameibak is a holding company that owns a majority interest in
Camelbak Group, LLC, which manufactures personal, portable hydration
systems.
The Nucleus Group LLC
New York, NY
The Nucleus Group is a consulting company that provides strategic
consulting services to clients.
Leeds Equity Associates IV LLC
New York, NY
LEAIV is the General Partner of Leeds Equity Partners Fund IV L.P.
("LEPFIV"), a private equity fund that makes investments in knowledge
and education industry-related companies. Currently, the fund has
investments in the following companies whose underlying asset values,
income types and values are not readily ascertainable.
Company
Sagus International
Millen Heiman, Inc.

Location
Oakbrook, IL
Reno,NV

Seaton Corp.

Chicago, IL

Education
Management Corp.
Instituto de Banca y
Comercio, Inc.
elnstruction

Pittsburgh, PA
San Juan, PR
Denton, TX

Nature of Business
School Fumiture
Sales Training &
Consulting
Staffing
&Recruitment
Process
Outsourcing
Post-Secondary
Education
Post-Secondary
Education
K-12 and
Postsecondary Education

 2)   Bracewell and Giuliani LLP
New York, NY
The filer is an income partner who receives an annual salary and a seven and one-half
percent share of the revenue ofthe New York office of the finn, which seven and one­
half percent share has not yet been calculated or distributed for the reporting period. The
law firm represents clients in legal matters and has a lobbying component in some offices
but not in the New York office.
3)   Washington Speakers Bureau
Alexandria, VA
The Washington Speakers Bureau serves as an agent for the booking of speeches and
lectures. Annex A contains a complete list of all appearances by the filer booked through
the Washington Speakers Bureau, including the date of each speaking engagement, the
identity of the entity contracting for each appearance and the gross and net revenue for
each appearance. The filer is not currently accepting any paid speaking engagements.
4)   Disney Worldwide Services - HyperionIMiramax Books
Lake Buena Vista, Florida
Company is the publisher of the filer's book, "Leadership," and the reported income
represents his gross royalty payments during the reporting period. The filer is entitled to
receive royalty payments on future book sales. The amount of such future royalty
payments is not readily ascertainable.
5)   SPE Corporate Services
Culver City, CA
SPE is a paying agent for theatrical royalties.
6)   These are cash accounts.
7)   These accounts are a retirement plan for the filer that were in a Giuliani Partners defined
benefit plan before being moved to Bessemer Trust in 2007.
8)   These accounts have been closed and moved to Bessemer Trust.
9)   Changing Our World, Inc.
New York, NY
Changing Our World is a fundraising and philanthropic consulting firm.
10) This represents a defined benefit plan for the filer ' s spouse originally designed to provide
an estimated benefit of $8,600 per month at age 63. Funding ceased and the proceeds are
in the process of being moved to a retirement account at Bessemer Trust.
II) This represents a tax free money market sweep which is comprised of a changing
portfolio of cash and short-term, tax-free instruments.
12) This represents a one-half interest in accounts held in the nanle of Donna Hanover.

 13) This represents a one-half interest in accounts held under the name Rudolph W. 

Giuliani and Donna Hanover. 

14) This represents ownership ofOmnicom stock held in an employee stock purchase 

program at Changing Our World. 

15) This represents funds held in Mutual of America 40 lK plan from Changing Our World.
16) Income not readily ascertainable because the account does not pay dividends or interest.
Rather, the value of the participants' holdings are adjusted quarterly.
17) As Chairman of the Advisory Board, the filer may elect to receive or defer a stipend of
$150,000 or designate another to make such election. Giuliani Partners LLC has been
designated and elected to defer the stipend in favor of a profits interest in the fund .
Neither Giuliani Partners nor the filer received any actual income from this event.
18) The filer established the Rudolph W. Giuliani Trust containing a one million dollar life
insurance policy for the benefit of his children, with his former spouse as a contingent
beneficiary. The trust is administered by an independent Trustee and the filer has no
legal right or authority to access the net funds or loan value of the policy.
19) The filer's former spouse has established the Donna H. Giuliani Trust containing a one
million dollar life insurance policy for the benefit of her children, with the filer as a
contingent beneficiary. The trust is administered by an independent Trustee and the fi ler
has no legal right or authority to access the net funds or loan value of the policy.
20) The filer established a defined benefit plan at Schwab that, effective January 2007, was
scheduled to pay the filer a monthly benefit of $7,500 at age 63. The plan is in
termination and the funds were moved to the Bessemer accounts identified by note 7.
21)As a partner, the fi ler is entitled to an annual contribution of $20,250 under a safe harbor
program so long as he remains an active partner.
22) Pursuant to partnership agreement, the filer is a partner with a 30% equity interest and a
guaranteed payment which is reviewed quarterly and subj ect to change. The current
payment is $200,000 per month, which is accruing and has not been paid. See also Note
l.
23) Pursuant to partnership agreement, the filer receives guaranteed payments of one million
dollars per year and 7 \1,% of the revenue of the New York office. See also Note 2.
24) Pursuant to New York City Administrative Code Section 12- 126.3, former Mayors of
New York City who attain the age of 62 are entitled to the same health insurance
coverage that city employees and retirees receive pursuant to Section 12- 126 of such
code. The filer has not availed himself of this benefit.

 25) The filer is a partner and either CEO or Chairman of each entity. The filer does not hold
an office with the related companies listed in Note I.

 Annex A--RudoJph W. Giuliani Form SF 278

Listed below are the organizations that retained the filer for speaking engagements in 2006 and
2007 through the Washington Speakers Bureau and the dates on which those speaking
engagements occurred.* For each engagement, the gross amount of the contract paid to
Washington Speakers Bureau is listed followed by the net amount paid to the filer.
Appearance
Date
01/20/2006
01122/2006
01/24/2006
01/25/2006
01/25/2006
01/31/2006
02/02/2006
02/06/2006
02/07/2006
02/0812006
02108/2006
02111/2006
02116/2006
0212212006
02127/2006
03105/2006
03/0712006
03/0812006
03/0912006
03/16/2006
03/21/2006
03/2412006
0312812006
03/2912006
03/3012006
0313112006
04105/2006
04111/2006
04119/2006
04121/2006
04124/2006
0412412006
05/01/2006
05/02/2006
05/0412006
05/07/2006
0510712006
05/0912006
0511012006
0511112006
05/1212006

Organization
IDX Systems Corporation
Guidant Sales Corporation
IOPC
Life Win , Inc. (Get Motivated Seminars)
Life Win, Inc. (Get Motivated Seminars)
Freescale Semiconductor, Inc.
TD Waterhouse Investor Services, Inc.
Novartis Pharmaceuticals Corporation
National Grocers Association
Life Win, Inc. (Get Motivated Seminars)
Life Win, Inc. (Get Motivated Seminars)
Edwards Lifesciences
Lexus Southern Area Dealers
Sir Dorabji Tata Trust
Life Win, Inc. (Get Motivated Seminars)
Reed Exhibitions
Shell Oil Products US
Life Win, Inc. (Get Motivated Seminars)
P4 Healthcare
TraceyLocke
Help-U-Sell Real Estate
Oklahoma State University
Dunkin' Brands Inc.
Life Win, Inc. (Get Motivated Seminars)
Barrick Gold Corporation care of Ogilvy Renault
Credit Suisse
Los Angeles Venture Association
Financial Times Ltd .
Life Win, Inc. (Get Motivated Seminars)
University of Western Ontario
Nelson Levine deLuca & Horst
PGA Tour, Inc. (21
Life Win, Inc. (Get Motivated Seminars)
SAP America, Inc.
City of Winnipeg
Shore Memorial Health Foundation
Richmond Events, Inc.
Ohio Chamber of Commerce
RedPrarie Corporation
MAILCOM
Project Management Institute Mile Hi Chapter

Gross Fee l11
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$25,00000
$100,000.00
$100,000.00
$60,000.00
$100,000.00
$100,000.00
$25,000.00
$100,000.00
$50,000.00
$200,000.00
$100,000.00
$50,000.00
$60,000.00
$100,000.00
$100,000.00
$50,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$50,000.00
$100,000.00
$100,000.00
$200,000.00
$100,000.00
$120,000.00
$50,000.00
$90,000.00
$100,000.00
$100,000.00
$120,000.00
$60,000.00
$50,000.00
$100,000.00
$100,000.00
$60,000.00
$100,000.00

Net Speaker Fee
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$20,000.00
$80,000.00
$80,000.00
$48,000.00
$80,000.00
$80,000.00
$20,000.00
$80,000.00
$40,000.00
$180,000.00
$80,000.00
$40,000.00
$48,000.00
$80,000.00
$80,000.00
$40,000.00
$80,000.00
$80,000.00
$80,000.00
$80 ,000.00
$40,000.00
$80,000.00
$80,000.00
$160,000.00
$80,000.00
$100,000.00
$40,000.00
$72,000.00
$80,000.00
$80,000.00
$100,000.00
$48,000.00
$40,000.00
$80,000.00
$80 ,000.00
$48,000.00
$80,000.00

 Annex A--RudoJpb W. Giuliani Form SF 278
05/13/2006
05/16/2006
05/18/2006
05/19/2006
05/21/2006
05/2212006
05/23/2006
05/24/2006
05/25/2006
05/25/2006
05/31/2006
06/01/2006
06/01/2006
06/02/2006
06/05/2006
06/06/2006
06/07/2006
06/07/2006
06/09/2006
06/14/2006
06/21/2006
06/27/2006
06/28/2006
07107/2006
07/21/2006
07/25/2006
08/05/2006
08/05/2006
08/16/2006
08/18/2006
08/29/2006
09/01/2006
09/05/2006
09/06/2006
09/07/2006
09/09/2006
09/12/2006
09/12/2006
09/19/2006
09/20/2006
09/20/2006
09/22/2006
09/23/2006
09/29/2006
10104/2006
10105/2006
10109/2006
10/16/2006
10/2312006
10/24/2006

General Motors
Life Win, Inc. (Get Motivated Seminars)
Atlanta Journal Constitution
Gail & Rice, Inc.
Suffolk University
Junior Achievment of Eastern MA, Inc.
Merrill Lynch & Co., Inc.
American Jewish Committee
Financial Pacific Insurance Company
Advertising Specialty Institute
Saginaw County Chamber of Commerce
Life Win, Inc. (Get Motivated Seminars)
Life Win, Inc. (Get Motivated Seminars)
Council of Insurance Agents and Brokers
Cloverlea Entertainment
Cendant Corporation
HSM Americas, Inc.
HSM Americas, Inc.
America's Health Insurance Plans
Life Win, Inc. (Get Motivated Seminars)
Global Leaders Ltd .
Life Win , Inc. (Get Motivated Seminars)
Bowling Proprieters' Association of America
Assurant Health
Merrill Lynch & Co., Inc.
Associacion E3 Futura
Sports, Etcetera
Ameriprise Financial
Life Win, Inc. (Get Motivated Seminars)
Shaklee Corporation
Life Win, Inc. (Get Motivated Seminars)
Steiner Sports Marketing
Life Win , Inc. (Get Motivated Seminars)
Life Win, Inc. (Get Motivated Seminars)
Masterplan , Inc.
Allegheny Casualty International Fidelity
Associated Bond (AlA Holdings)
HSM Americas, Inc.
HSM Americas, Inc.
National Beer Wholesalers Association
Life Win , Inc. (Get Motivated Seminars)
World Affairs Council of Philadelphia
Assist America
Empire Entertainment, Inc.
Iceland Telecom - Siminn
Life Win , Inc. (Get Motivated Seminars)
International Sanitary Supply Association
Life Win , Inc. (Get Motivated Seminars)
Institute for International Research Poland
Healthways, Inc.
HSM Deutschland GMBH

$100,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$50,000.00
$100,000.00
$50,000.00
$50,000.00
$100,000.00
$25,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$5,000.00
$100,000.00
$100,000.00
$200 ,000.00
$100,000.00
$100,000.00
$50,000.00
$100,000.00
$150,000.00
$100,000.00
$100,000.00
$100 ,000.00
$100,000.00
$100,000.00
$75,000.00
$50,000.00
$100,000.00
$55,000.00

$80,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$40,000.00
$80,000.00
$40,000 .00
$40,000.00
$80,000.00
$20,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$4,000.00
$80,000.00
$80,000.00
$160,000.00
$80,000.00
$80,000.00
$40,000.00
$80,000.00
$120 ,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$60,000.00
$40,000.00
$80,000.00
$44,000.00

$50,000.00
$10,000.00
$50,000.00
$100,000.00
$100,000.00
$100,000.00
$50,000.00
$50,000.00
$200,000.00
$100,000 .00
$100,000 .00
$100 ,000.00
$200,000.00
$100,000.00
$125,000.00

$40,000.00
$8,000.00
$40,000.00
$80,000.00
$80,000.00
$80,000,00
$40 ,000.00
$40,000.00
$160,000.00
$80,000.00
$80 ,000.00
$80,00000
$160,000.00
$80,000.00
$100,000.00

 Annex A--Rudolph W. Giuliani Form SF 278
1012612006
1013112006
1110812006
1110812006
1111112006
1111212006
1111312006
1111412006
1111412006
1111712006
1112012006
1210112006
1210612006
1210612006
0311312006
0911512006
12112/2006
11/20/2005
01/09/2007
01/10/2007
01122/2007
0112212007
0112412007
0112512007
01/25/2007
01/2612007
01/31/2007
02/03/2007
02/08/2007
02/09/2007
02/14/2007
02/14/2007

HSM Italia. S.R. L. UNIPERSONALE
Life Win. Inc. (Get Motivated Seminars)
HSM Argentina SA
HSM Argentina SA
American Hotel & Lodging Association &
Educational Institute
Wilkes University
Life Win, Inc. (Get Motivated Seminars)
McCreath Commu nications
McCreath Communications
Hindustan Times Group
LaSalle Bank Corporation
JPMorgan Chase & Company
Future Tech Enterprise, Inc.
Cambridge Strategic Management Group
Forval Corporation
Forval Corporation
Softbrain Corporation
Sage Capital Group (3)
Commercial Mortgage Securiti es Association
Needham and Company
Ringling School Library Association Town Hall
JPMorgan Securities Inc.
Premier, Inc.
Lehman Brothers
LifeWin, Inc. (Get Motivated Seminars)
Quesada
Armed Forces Communications and Electronics
Association
Leadership 100
Association of Foreign Investors In Real Estate
Quesada
LifeWin, Inc. (Get Motivated Seminars)
LifeWin , Inc. (Get Motivated Seminars)
Total

$125,000.00
$100,000.00
$10,000.00
$125,000.00

$100,000.00
$80,000.00
$8,000.00
$100,000.00

$50,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$200,000.00
$100,000.00
$50,000.00
$50,000.00
$50,000.00
$100,000.00
$150,000.00
$200,000.00
$300,000.00
$100,000.00
$50,000.00
$150,000.00
$100,000.00
$100,000.00
$100,000.00
$100,000.00
$50,000.00

$40,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000 .00
$160,000.00
$80,000.00
$40,000.00
$40,000.00
$40,000.00
$90,000.00
$135,000.00
$180,000.00
$270,000.00
$80,000.00
$40,000.00
$120,000.00
$80,000.00
$80,000.00
$80,000.00
$80,000.00
$40,000.00

$100,000.00
$90,000.00
$50,000.00
$50,000.00
$100,000.00
$25,000.00
$11,390,000.00

$80,000.00
$72,000.00
$40,000.00
$40,000.00
$80,000.00
$20,000.00
$9,195,000.00

• The filer contracted for a speech on January 17, 2007 for the Associazione Calabria Pro Zambia: Bridge of
Solidarity in Ital y. The speech was completed buI all funds were returned.

(try-h is column represents the gross amount of fees paid for the filer's speaking engagements, including amounts
retained by Washington Speakers Bureau as agent fees.
The filer had a contract to speak at an event in Louisiana for the PGA Tour, Inc. Within one day ofthe
appearance he donated $80,000 in personal contributions to New Orleans charities addressing the aftermath of
Hurricane Katrina including: For! Kids Foundation, St James AME Church, Catholic Charities Archdiocese of New
Orleans, Friends oflhe New Orleans Fire Department, DiUard University and St. Dominic' s Church.

(2)

(3) Washington Speakers Bureau did not receive payment until January 2006 and did not pay Mr. Giuliani until 2006
- this was a 2005 event.