Significant Financial Interest

Any one of the following interests, held by you or a Family Member, received in the past 12 months. All equity and compensation from an entity will be added together to determine if you meet the $5,000 threshold.

  • Any income from Intellectual Property rights, such as patents or copyrights
  • Any equity in a private company, regardless of value or percentage
  • Equity valued at $5,000 or more in a public company (NASA Investigators only: Disclose equity in a public entity that represents more than 5% of the entity's equity, regardless of the value.)
  • Compensation of $5,000 or more.  This includes salary, consulting fees, honoraria, paid authorship, and other types of remuneration for services from an outside entity.  
  • PHS and Dept of Energy Investigators only: Disclose any reimbursed or sponsored travel related to your institutional responsibilities, regardless of the amount, unless received from a Federal, state, or local government agency of the United States; a domestic Institution of Higher Education; or a domestic research institute that is affiliated with a domestic Institution of Higher Education. 
  • NASA and NSF Investigators only: Disclose all Venture and Other Capital Financing.
 
Significant Financial Interests of an Investigator do not include the following interests, which do not need to be disclosed under this Policy:
 
  1. Salary, royalties, or other Remuneration paid by the University to a current University employee or appointee;
  2. Payments made by the University in exchange for the transfer of intellectual property rights assigned to the University and from agreements by the University to share any royalties related to such rights;
  3. Income from investment vehicles such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made by the investment managers within these funds or accounts; and
  4. Income from seminars, lectures, teaching engagements, or service on advisory committees or review panels sponsored by (i) a government agency (federal, state, or local); or (ii) an institution of higher education as defined at 20 USC § 1001(a); or (iii) an academic teaching hospital, medical center, or research institute that is affiliated with an institution of higher education.