Campaign Finance - Rubio, U.S. Federal Election Commission, Marco Rubio for US Senate, Campaign Contributions Exceed Limits and Other Violations in October Quarterly Report (2014)

Image# 15330078514 FEDERAL ELECTION COMMISSION WASHINGTON, D.C. 20463 RQ-2 March 12, 2015 KEITH A. DAVIS, TREASURER MARCO RUBIO FOR US SENATE PO BOX 140420 MIAMI, FL 33114 Response Due Date 04/16/2015 IDENTIFICATION NUMBER: C00458844 REFERENCE: OCTOBER QUARTERLY REPORT (07/01/2014 - 09/30/2014) Dear Treasurer: This letter is prompted by the Commission's preliminary review of the report referenced above. This notice requests information essential to full public disclosure of your federal election campaign finances. **An adequate response must be received at the Senate Public Records Office by the response date noted above. Failure to adequately respond by the response date noted above could result in an audit or enforcement action.** Additional information is needed for the following **3** item(s): 1. Schedule A of your report discloses one or more contributions that appear to exceed the limits set forth in the Act (see attached). An individual or a political committee other than an authorized committee or qualified multi-candidate committee may not make a contribution(s) to a candidate for federal office in excess of $2,600 per election. An authorized committee may not make a contribution(s) to a candidate for federal office in excess of $2,000 per election. A qualified multi-candidate committee and all affiliated committees may not make a contribution(s) to a candidate for federal office in excess of $5,000 per election. The term "contribution" includes any gift, subscription, loan, advance, or deposit of money or anything of value made by any person for the purpose of influencing any election for federal office. (52 U.S.C. sec. 30116(a) and (f) (formerly 2 U.S.C. sec. 441a(a) and (f)); 11 CFR sec. 110.1(b), (e) and (k)) If any apparently excessive contribution in question was incompletely or incorrectly disclosed, you must amend your original report with the clarifying information. If any contribution you received exceeds the limits, you may have to refund the excessive amount. Excessive contributions may be retained if, within 60 days of receipt, the

Image# 15330078515 MARCO RUBIO FOR US SENATE Page 2 of 5 excessive portions are properly redesignated or reattributed. Guidelines for each option are provided below. For reattributions, excessive contributions from individuals can be retained if, within 60 days of receipt, the excessive amount is properly reattributed to another person. Please note that reattributions only apply to excessive contributions from individuals. An excessive contribution is considered properly reattributed if (1) the contributors provide the committee with written documentation, signed by each contributor, authorizing a reattribution and indicating the amount of the contribution to be attributed to each contributor; or (2) the committee reattributes by presumption the excessive portion of the contribution if the contribution was made on a written instrument from a joint account and was signed by only one of the account holders. In this case, the treasurer must notify the contributors in writing within 60 days of receiving the contribution that the committee intends to reattribute the excessive portion and must give the contributor an opportunity to request a refund. (11 CFR § 110.1(k)(3)(ii)(B)) For redesignations, the funds can be retained if, within 60 days of receipt, the excessive amount is properly redesignated for a different election. An excessive contribution is considered properly redesignated if (1) the committee obtains signed written documentation from the contributor(s) authorizing the redesignation of the contribution for another election, provided that the new designation does not exceed the limitations on contributions made with respect to that election; or (2) your committee redesignates by presumption the excessive portion of the contribution for another election provided that the new designation does not exceed the limitations on contributions made with respect to that election. In this case, the treasurer must notify the contributor of the redesignation in writing within 60 days of the treasurer's receipt of the contribution. The notification must give the contributor an opportunity to request a refund. (11 CFR § 110.1(b)(5)(ii)(B)) Please note that you cannot presumptively redesignate an excessive contribution from a multi-candidate committee. Also, a contribution can only be redesignated to a previous election to the extent that the contribution does not exceed the committee's net debts outstanding for that election. (11 CFR § 110.1(b)(3)(i)) If the foregoing conditions for reattributions or redesignations are not met within 60 days of receipt of the contribution, the excessive amount must be refunded. See 11 CFR § 103.3(b)(1).

Image# 15330078516 MARCO RUBIO FOR US SENATE Page 3 of 5 If you have not already done so, please inform the Commission of your corrective action immediately in writing and provide photocopies of any refund checks and/or letters reattributing or redesignating the contributions in question. Refunds are reported on Line 20(a), (b), or (c), as applicable, of the Detailed Summary Page and on a supporting Schedule B of the report covering the period in which they are made. Redesignations and reattributions are reported as memo entries on Schedule A of the report covering the period in which the authorization for the redesignation and/or reattribution is received. (11 CFR § 104.8(d)(2), (3) and (4)) Although the Commission may take further legal action concerning the acceptance of excessive contributions, your prompt action to refund, redesignate, and/or reattribute the excessive amount will be taken into consideration. 2. Schedule A of your report discloses one or more contributions that appear to be from a corporation(s) and/or labor organization(s) (see attached). 52 U.S.C. § 30118(a) (formerly 2 U.S.C. § 441b(a)) and 11 CFR § 103.3(b) prohibit the receipt of contributions from corporations and labor organizations unless made from separate segregated funds established by the corporations and labor organizations. If any apparently prohibited contribution in question was incompletely or incorrectly disclosed, you must amend your original report with clarifying information. If you have received prohibited contributions, you must make a refund within 30 days of the treasurer becoming aware of the illegality of the contribution. (11 CFR § 103.3(b)(1) and (2)) If you have not already done so, please inform the Commission of your corrective action immediately in writing and provide a photocopy of any refund checks. Refunds must be reported on a Schedule B supporting Line 20(a) of the report covering the period in which the refund is made. (11 CFR § 104.8(d)(4)) Although the Commission may take further legal action concerning the acceptance of prohibited contributions, your prompt action to refund the prohibited amount will be taken into consideration. 3. Schedule A of your report discloses one or more contributions that appear to be from limited liability corporation(s) (LLC) (see attached). 11 C.F.R.

Image# 15330078517 MARCO RUBIO FOR US SENATE Page 4 of 5 §110.1(g) allows the receipt of contributions from LLCs providing the LLC is treated as a partnership for tax purposes, and has not elected to be treated as a corporation by the Internal Revenue Service (IRS). Both LLCs that claim corporate status and those that publicly traded would be treated as corporations for FECA purposes. Please amend your report to clarify if the LLCs in question are treated as partnerships. If any apparently prohibited contribution in question was incompletely or incorrectly disclosed, you must amend your original report with clarifying information. If you have received prohibited contributions, you must make a refund. (11 CFR § 103.3(b)(1)) The refund must be made within 30 days of the treasurer becoming aware of the illegality of the contribution. (11 CFR § 103.3(b)(2)) If you have not already done so, please inform the Commission of your corrective action immediately in writing and provide a photocopy of any refund checks. Refunds must be reported on a Schedule B supporting Line 20(a) of the report covering the period in which the refund was made. (11 CFR § 104.8(d) (4)) Although the Commission may take further legal action concerning the acceptance of prohibited contributions, your prompt action to refund the prohibited amount will be taken into consideration. **Please note, you will not receive an additional notice from the Commission on this** **matter.** Adequate responses must be received by the Commission on or before the due date noted above to be taken into consideration in determining whether audit action will be initiated. Failure to comply with the provisions of the Act may also result in an enforcement action against the committee. Any response submitted by your committee will be placed on the public record and will be considered by the Commission prior to taking enforcement action. **Requests for extensions of time in which to respond will** **not be considered.** A written response or an amendment to your original report(s) correcting the above problems should be filed with the Senate Public Records Office. Please contact the Senate Public Records Office at (202) 224-0322 for instructions on how and where to file an amendment. If you should have any questions regarding this matter or wish to verify the adequacy of your response, please contact me on our toll-free number (800) 424-9530 (at the prompt press 5 to reach the Reports Analysis Division) or my local number (202) 694-1154.

Image# 15330078518 MARCO RUBIO FOR US SENATE Page 5 of 5 Sincerely, Jill Sugarman Jill Sugarman Sr. Campaign Finance & Reviewing Analyst Reports Analysis Division 476

Image# 15330078519 Excessive, Prohibited, and Impermissible Contributions Marco Rubio for US Senate (C00458844) Contributor Name Date Amount Election Berry, Yvonne 5/30/12 $200.00 P, 2016 Berry, Yvonne 3/25/13 $40.00 P, 2016 Berry, Yvonne 4/18/13 $180.00 P, 2016 Berry, Yvonne 5/22/13 $400.00 P, 2016 Berry, Yvonne Ms 1/9/14 $60.00 P, 2016 Berry, Yvonne Ms 8/7/14 $2,000.00 P, 2016 Diener, Robert 5/17/11 $2,500.00 P, 2016 Diener, Robert 4/26/13 $1,000.00 P, 2016 Diener, Robert Mr 7/31/14 $1,600.00 P, 2016 Heavener, James 3/14/13 $2,000.00 P, 2016 Heavener, James W Mr 8/29/14 $5,200.00 P, 2016 Heavener, James W Mr 9/15/14 -$2,600.00 P, 2016 Leone, Douglas Mr 9/30/14 $2,000.00 P, 2016 Leone, Douglas Mr 9/30/14 $2,000.00 P, 2016 Leone, Patricia Perkins Mrs 9/30/14 $2,000.00 P, 2016 Leone, Patricia Perkins Mrs 9/30/14 $2,000.00 P, 2016 Smith, Thomas S 7/30/13 $1,040.00 P, 2016 Smith, Thomas S Mr 9/30/14 $5,200.00 P, 2016 Stai, Dian Graves Ms 9/20/11 $1,000.00 P, 2016 Stai, Dian Graves Ms 10/3/11 $500.00 P, 2016 Stai, Dian Graves Ms 11/3/11 $500.00 P, 2016 Stai, Dian Graves Ms 12/8/11 $500.00 P, 2016 Stai, Dian Graves Ms 6/19/12 -$2,500.00 P, 2016 Stai, Dian Graves Mrs 9/30/14 $10,400.00 P, 2016 Wolf, Mary Ms 6/30/11 $200.00 P, 2016 Wolf, Mary Ms 8/8/11 $50.00 P, 2016 Wolf, Mary Ms 9/28/11 $20.00 P, 2016 Wolf, Mary Ms 12/12/11 $100.00 P, 2016 Wolf, Mary Ms 3/12/12 $50.00 P, 2016 Wolf, Mary Ms 4/26/12 $1,000.00 P, 2016 Wolf, Mary Ms 6/6/12 $1,000.00 P, 2016 Wolf, Mary G Ms 7/5/12 $80.00 P, 2016 Excessive Contributions from Individuals Attachment Page 1 of 2

Image# 15330078520 Excessive, Prohibited, and Impermissible Contributions Marco Rubio for US Senate (C00458844) Contributor Name Date Amount Election Wolf, Mary G Ms 6/14/13 $0.40 P, 2016 Wolf, Mary G Ms 7/25/13 $99.60 P, 2016 Wolf, Mary G Mrs 4/28/14 $250.00 P, 2016 Wolf, Mary G Mrs 7/28/14 -$250.00 P, 2016 Wolf, Mary G Mrs 9/10/14 $500.00 P, 2016 Wolf, Mary G Mrs 9/30/14 $40.00 P, 2016 Contributor Name Date Amount Election Campos Land Company 9/15/14 $520.00 G, 2016 Campos Land Company 9/15/14 $520.00 P, 2016 Neurosurgical Associates of St. Augustine LLC 9/30/14 $1,000.00 P, 2016 Secure Health Tech LLC 9/30/14 $1,000.00 P, 2016 Titan Production Company, L.L.C. 9/16/14 $1,000.00 P, 2016 Contributions from Possible Prohibited Entities Attachment Page 2 of 2