January 3, 2017

Ms. Katherine D. McManus
Deputy Legal Adviser and
Designated Agency Ethics Official
Office of the Legal Adviser
Dep~ent of State
Re:

Ethics Undertakings

Dear Ms. McManus:
. I am committed to the highest standards of ethical conduct for government officials. If
confirmed as Secretary of State, as required by i 8 U.S.C. § 208(a), I will p.ot participate
personally and substantially in any particular matter in which I know that I have a financial
interest directly and predictably affected py the matter, or in which I know that a persop. whose
interests are imputed to me has a financial interest directly and predictably affected by the
matter, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l), or qualify for a
regulatory exemption, pursuant to 18 U.S.C. § 208(b)(2). I understand that the interests of the
following persons are imputed to me: any spouse or minor child of mine; any general partner of a
partnership in which·I ·am a limited or general partner; any organization in which I serve as
.officer, director, trustee, general partner or employee; and any person or organization with whJch
I am negotiating or have an arrangement concerning prospective employment.
Upon confinnation, I will resign from my positions with the following entities: Ford's
Theatre Society, Center for Strategic and International Studies, and Boy Scouts of America.
I previously resigned from my positions with the Business Roundtable and American Petroleum
Institute. For a period of one year after my resignation from each of these entities, I will not
participate personally and substantially in any particular matter involving specific parties in
which I know that entity is a party or represents a party, unless I am first ~uthorized to
participate, pursuant to 5 C.F.R. § 2635.502(d).
My spouse and I own Bar RR Ranches, LLC. Upon confirmation, I will resign from my
position as managing member of this entity. I will continue to have a financial interest in this
entity, but I will not provide.services material to the production of income. Instead, I.will receive
only passive investment in~ome from it. I will .not participate personally and substantially in any
particular matter that to my knowledge has a .direct and predictable effect on the financial
interests of Bar RR Ranches, LLC, unless I first obtain .a written waiver, pursuant to 18 U.S.C.
§ 208(b)(1 ).
I am the sole owner of R2 Real Estate, LLC. During my appointment, this entity will
continue to exist-solely to hold personal assets. Upon confirmation, I will resign from my

 Ms. Katherine D. McManus
January 3, 2017
Page2
position as managing member of this entity. I will not participate personally and substantially in
any particular matter that to my knowledge has a direct and predictable effect on the financial
interests of this entity, unless I first obtain a written waiver pursuant to 18 U.S.C. § 208(b)(1 ).
I resigned from my position as Chairman and CEO of ExxonMobil Corporation.
(ExxonMobil) on December 31, 2016. For a period of one year after my resignation from
ExxonMobil, I will not participate personally and substantially in any particular niatter involving
specific parties in which I know that ExxonMobil is a party or represents a party, unless I am
first authorized to participate, pursuant_ to 5 C.F.R. § 2635.502(d).
At the time of my resignation, I held restricted stock and restricted stock units. I have not
received, and .will not receive, additional grants of restricted stock or restricted stock units
following my resignation. ExxonMobil's incentive program plan provides that the Compensation
.Committee may authorize an employee who departs before rc;)aching the established retirement
age to.retain restricted stock and restricted stock units, provided that the employee worked for
the· company for at least 15 years and was at least 55 years old. The longstanding practice of the
Compensation Committee has been to authorize the retention of these items for most eligible
employees. Consistent with this practice, the Compensation Committee has authorized me to
retain my restricted stock and restricted stock units. Ordinarily, these items would, in the case of
the restricted stock, become free of the restrictions on transfer and, in the case of the restricted
stock units, pay out at various times, both over the next 10 years. However, to eliminate any
·
conflict of interest that might arise if I were to continue to hold a financial interest in
ExxonMobil as Secretary, ExxonMobil's board has authorized an arrangement under which,
prior to assuming the position of Secretary, I will surrender to ExxonMobil an ·of my outstanding
restricted stock awards and restricted stock unit awards for canceilation in exchange for a cash
payment to an irrevocable trust, to be administered by an independent trustee that is beyond the
control of ExxonMobil. ExxonMobil. will waive any right_ to exercise a clawback provision that
authorizes.it to rescind some or all of the payout for any of a variety ofreasons, including a
determination that the recipient has engaged in conduct detrimental to the company. Instead, the
trust inst~ent will provide that, if I become employed by or provide services to a company in
the oil and gas industry or the oil and gas services industry, I will forfeit the remaining
undistributed assets in the trust. Such forfeited assets will be distributed to a charity of the
trustee's choosing dedicated to the alleviation of disease and poverty in the developing world. I
will not accept any payment from the trust unless ExxonMobil has acted in good faith to reduce
the amount of the lump sum payment to the trust sufficiently to offset for the time value of the
accelerated payment to the trust and to offset for the economic value of the waiver of any rights
under the clawback provision. The trustee will make payments to me on a schedule closely
approximating the ordinary schedules for removal of the restrictions on my restricted stock and
for payout of the stock units. To further resolve any potential for conflicts of interest, the trust
instrument will require that, during my appointment to the position of Secretary, the trust's
holdings be limited to cash, cash equivalents, obligations of the United States, investment funds
that qualify for the exemption at 5 C.F.R. § 2640.201(a), and municipal bonds. You have
explained to me that, as a beneficiary of this trust, I must disclose in·my public financial
disclosure reports all holdings of this trust that meet the reporting thresholds ~stablished in
5 C.F .R. part 2634, subpart C.

 Ms. Katherine D. McManus
January 3, 2017
Page3

Half of my annual bonus was paid in cash and half was paid in Earnings Bonus Units,
which represent a contractual obligation that Exxo.nMobil will make payments if certain e~ings
per share targets have been met within three years after the award of the Earnings Bonus Units.
At the time of my resignation, I was not owed any unpaid cash bonuses, but I continued to hold
Earnings Bonus Units for the years 2014, 2015, and 2016. I will forfeit these Earnings Bonu8
Units upon confirmation.
·
·
· I hold stock in ExxonMobil. I do not hold any vested or unvested stock options. I will
divest my stock in ExxonMobil within 90 days of my confirmation. I will not participate
personally and substantially in any particular matter that to my knowledge has a drrect and
predictable effect on the financial interests of ExxonMobil until I have divested this stock, unless·
I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l), or qualify for a regulatory
exemption, pursuant to 18 U.S.C. § 208(b)(2).
I will elect to receive a total distribution of my interests in the ExxonMobil Qualified
Defined Benefit Pension Plan, the ExxonMobil Nonqualified Defined Benefit Supplemental
Pension Plan, the ExxonMobil Defined Contribution Nonqualified Supplemental Savings Plrui,
and the ExxonMobil Nonqualified Defined Benefit Additional Payments Plan consistent with the
standard terms of these plans, including the ordinary timelines for making distributions. Until my
interests in each plan are fully distribute4, i will not participate personally and substantially in
any particular matter that to my kno~ledge has a direct and predictable effect on the ability or
willingness of ExxonMobil to provide the benefits under the plan, unless I first obtain a written
waiver, pursuant to 18 U.S. C. § 208(b)(1 ), or qualify for a regulatory exemption, pursuant to
18 U.S.C. § 208(b)(2). I also have an interest in the Defined Contribution ExxonMobil Savings
Plan, which I will divest prior to assum,ing the duties of the position of Secretary.
As a retired ExxonMobil executive, I am entitl('.d to receive the following standard retiree
benefits: retiree medical benefits; use of a product discount credit card; office space and
administrative support; financial counseling; and tax preparation services. I will forfeit all of
these benefits upon confirmation. I ain also entitled to participate in an executive life insurance
.plan. Before I assume the duties of the position of Secretary, ExxonMobil will terminate my
participation in this life insurance plan and provide me with a prepaid life insurance policy, with
equivalent benefits, through an independent insurer.
Within 90 days of confirmation, I will divest my interests in the entities listed in
Attachment A. With regard to each of these entities, I will not participate personally and
substantiallyin any particular matter that to my knowledge has a direct and predictable effect on
the financial interests of the entity until I have divested it, unless I first obtain a written waiver,
pursuant to 18 U.S.C. §. 208(b)(l), or qualify for a regulatory exemption, pursuant to 18 U.S.C.
§ 208(b)(2). During my appointment to the position of Secretary, if I have a managed account,
I w:ill ensure that the account manager does not purchase any new assets other than cash, cash
equivalents, obligations of the United States, investment funds that qualify for the exemption at
5 C.F.R. § 2640.201(a), and municipal bonds.

 Ms. Katherine D. McManus
January 3, 2017
Page4 .
Upon confirmation, I will resign from my positions with the Tillerson Foundation. I will·
·not participate personally and substantially in any particular matter involving specific parties in
which this entity is a party or represents a party, unless I am fast authorized to participate,
pursuant to 5 C.F.R. §.2635.502(d). Within 90 days of my confirmation, the Tillerson
Foundation will divest its interests in ExxonMobil. Thereafter, for the duration of my
appointment to the position of Secretary, the Foundation's holdings will be limited to cash, cash
equivalents, obligations of the United States, investment funds that qualify for the exemption at
5 C.F.R. § 2640.201(a), and municipal bonds. The Tillerson Foundation has not previously
received contribµtions from persons other than myself or iny spouse, and, during my
appointment as Secretary, it will not receive any contributions from persons other than myself or
my spouse. In addition, it will not make payments to any outside entities except as compensation
for services or as unconditional, irrevocable gifts.
I have previously paid taxes owed by certain grantor trusts disclosed in my financial
disclosure report. I am not a trustee of these trusts. Neither my spouse nor I, nor any minor child
of mine, is a beneficiary of these trusts. Before I assume the duties of the position Of Secretary,
·in order to resolve any potential conflicts of interest, I will take steps ·to ensure that I and my
spouse are not responsible for the taxes owed by these trusts.
·
·
I have disclosed my financial interests in HF Renaissance EQ, LLC. However, a
preexisting confidentiality agreement bars me from identifying the underlying assets of this fund
in my financial disclosure report. Therefore, I will divest my financial interests in this fund as
soon as possible after confirmation and not later th.an 9.0 days after tny confirmation. Until I have
divested this fund, I will not participate personally and substantially in any particular matter that
to my knowledge·ha1'.l a direct and predictable effect on the financial interests of the fund or its
underlying assets, unless I first obtain a Written waiver, pursuant to 18 U.S.C. § 208(b)(l); or
qualify for a regulatory exemption, pursuant to 18 U.S.C. § 208(b)(2).
In addition, I will recuse myself on a case-by-case basis from participation in any
particular matter involving specific parties in which I determine that a reasonable person with
knowledge of the relevant facts would question my impartiality in the matter, unless I am first
authorized to participate, pursuant to 5 C.F.~. § 2635.502(d).
·
I understand that I may be eligible to request a Certificate of Divestiture for qualifying
assets and that a Certificate of Divestiture is effective only if obtained prior to divestiture.
Regardless of whether I receive a Certificate of Divestiture, I will ensure that all divestitures .
discussed in this agreement occur within the agreed upon timeframes and that all proceeds are
. invested in non~conflicting assets.
Within 90 days of my confirmation, I will document compliance with this ethics
agreement by notifying you when I have completed these implementing acti?ns.

 Ms. Katherine: D. McManus
.January 3, 2017
Page5

I have been advised that this ethics agreement will be posted publicly, consistent with
5 U.S.C: § 552, on the website of the U.S. Office of Government Ethics with ethics agreements
of other Presidential nominees who file public financial disclosure reports.
Sincerely,

Rex W. Tillerson

 Ms. Katherine D. McManus
January 3, 2017
Page6
ATTACHMENT A
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17..
18.
19.
20.
21.
22.
23.
24.
- 25.
26.
27.
28.
29.
30.
31.
32.

AbbVie, Inc.
Accenture. Plc
Airbus Group
Alaska Air Group, Inc.
Alaska Air (Note: open position for written call option)
Alibaba Group Hldg
American Express Co.
Amgen, Inc.
Anhui Conch Cement
Appk, Inc.
A.T&T, Inc.
Atlantia SPA
Aviva Plc
AXA
Baidu, Inc.
Blackrock;Inc.
BNP Paribas
.Boeing Co.
Bristol Myers Squibb Co
BYD Comp~ny, Ltd
Carnival Cp
Carrefour SA
Caterpillar, Inc.
Caterpillar, Inc., (Note: two open positions for written call option)
CDN Pacific Ry Ltd
Celgene Corp
Celgene (Note: open positioh for written cail option)
Chevron Corp
China Mobile, Ltd.
China Pete & Chem CP
Chubb, Ltd.
Cisco Sys Inc.
33: Citigroup Inc.
34. Coca Cola Co.
35. Colgate Palmolive Co .
. 36. Compagnie de St. Gobain
37. Compagnie Fin Richemontag
38. Ctrip.com Intl, Ltd.
39. Cummins, Inc.
40. Cummins, Inc. (Note: open position for written call.option)
41. CVS Health Corp
42. D R Horton, Inc.
43. . Daimler AG

 Ms. Katherine D. McManus
January 3, 2017
Page7
44. Deere & Co.
45. Deere & Co. (Note: open position for written call.option)
46. Oelta Air Lines, Inc.
47. Deutsche Telekom AG
48. Discover Financial Services
49. East Japan Ry Co.
50. . Eaton CorpPlc
51. Electricite de France
52. EMC Corp Mass
53. Extra Space Storage, Inc.
54. Fedex Corp
55. Ferrovial SA
56. Fidelity National Information SE
57. Ford Motor Co
58. Fresenius SE & Co.
59. General Electric Co,
60. General Mills, Inc.
61. General Motors Co.
62. GlaxoSmithKline Plc
.
63. Goldman Sachs Group (Note: open position' for written call option)
64. · Goldman Sachs Grp ·
65. Heineken NV Spn
66. Honda Motor Company
67. Honeywell International, Inc.
68. Hong Kong Exchanges & Clearing
69. Howden Joillery Group Plc
70. Iberdrola SA
71. Infineon Technologies AG
72. ING Groep NV
73. Ingenico Group
74. . Ingersoll-Rand Plc
75. Intel Corp
76. Intel Corp. (Note: open position for written call option)
77. International Business Machines Corp
78. Intesa Sanpaolo S.P.A.
79. ITC "Holdings
80. J ap·an ARPT Term Co.
81. Japan Exchange Group, Inc.
82. JD COM, Inc.
83. Johnson & Johnson
84. JPMorgan Chase & Co.
85. Komatsu, Ltd.
86. Koninklijke Phil EL
87. LafargeHolcim
88. Legal & General Pie

 Ms. Katherine D. McManus
·January 3, 2017
Page8
89. Lennar Corporation
90. .Line Corp.
91. Lloyds Banking Group Plc
92. Lockheed Martin Gorp
93. Lowes Companies, Inc.
94. Magna International, Inc.
95. Marsh & McLennan Cos
96. Masco Corp
97. Medtronic Plc
98. Metlife Incorporated
99. Microsoft Corp
100. Mitsubishi UFJ Fincl Grp
l 01. Mondelez Intl, Inc.
- 102. Monsanto Co
103. National Grid Transco Pie
104. Nestle
105. Nextera Energy, Inc.
106. Nielsen Holdings Plc
107. Nike, Inc.
108. Nippon Shinyaku Co
109. Nippon Telegraph & Telephone
110. Novartis AG
111. Novo Nordisk
112. NXP Semiconductors NV
113. Packaging Corp of America
114. Pepsico, Inc.
115. Pfizer, Inc.
116. Phillips 66
117. Potash Cp of Saskatchewan, Inc.
118. Pi;axair, .Inc.
119. Procter & Gamble
120. Prudential Financial, Inc.
121. Qualcomm, Inc.
122. . Rakuten, Inc.
123. Reckitt Benckiser Pie
124. Royal Dutch Shell Plc
125. Sanofi
126. Schlumberger, Ltd,
127. Seven & I Holdings Co Ltd.
128. Shin Etsu Chem Co Ltd.
129. Shire Plc
130. Sony Corp
131. Southwest Airlines
132. State Street Corp
133. Target Corporation

 Ms. Katherine D. McManus
January 3, 2017
Page9
134.
135.
136.
137.
138.
139.
140.
141.
142.
143.
144.
145.
146.
147.
148.
149.
· 150.
151.
152.
153.
154.
155.
156.

TE Connectivity, Ltd.
Time Warner, Inc.
Time Warner, Inc. (Note: open position for :written call option)
Total SA
Toyota Motor Corp
Travelers Companies, Irie.
UBS Group AG
Union Pacific Corp
Union Pacific Corp. (Note: open pqsition for written call option)
United Technologies Corp
·
UnitedHealth Group
Verizon Communications
VF Corporation
Vinci SA
Wal-Mart Stores, Inc.
.
Walt Disney Co.
· Walt Disney Co. (Note: open position for written call option)
WEC Energy Group, Inc.
Wells Fargo & Co.
Whirlpool Corp
Yandex NV
Yum China Holdings
ZTO Express Cayman, Inc.

 Nominee Report   U.S. Office of Government Ethics; 5 C.F.R. part 2634   Form Approved: OMB No. (3209-0001) (March 2014)

Executive Branch Personnel
Public Financial Disclosure Report (OGE Form 278e)
Filer's Information
Tillerson, Rex Wayne
Secretary of State, Department of State
Other Federal Government Positions Held During the Preceding 12 Months:
None
Names of Congressional Committees Considering Nomination:
●
Committee on Foreign Relations

Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge.
/s/ Tillerson, Rex Wayne [electronically signed on 12/31/2016 by Tillerson, Rex Wayne in Integrity.gov]

Agency Ethics Official's Opinion - On the basis of information contained in this report, I conclude that the filer is in compliance with applicable laws and regulations
(subject to any comments below).
/s/ McManus, Katherine D, Certifying Official [electronically signed on 01/03/2017 by McManus, Katherine D in Integrity.gov]

Other review conducted by

U.S. Office of Government Ethics Certification
/s/ Shaub, Walter M, Certifying Official [electronically signed on 01/03/2017 by Shaub, Walter M in Integrity.gov]

 1. Filer's Positions Held Outside United States Government
#

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

ExxonMobil Corporation

Irving, Texas

Corporation

Chairman &
CEO

1/2006

12/2016

2

The Tillerson Foundation

Fort Worth,
Texas

Private
Charitable
Foundation

President &
Treasurer

8/2016

Present

3

Bar RR Ranches

Bartonville,
Texas

LLC

Co-Owner

7/2007

Present

4

R2 Real Estate

Bartonville,
Texas

LLC

Managing
Member

3/2016

Present

5

Ford's Theatre Society

See Endnote

Washington,
District of
Columbia

Non-Profit

Vice-Chairman

6/2007

Present

6

Center for Strategic and International
Studies

See Endnote

Washington,
District of
Columbia

Non-Profit

Trustee

6/2005

Present

7

Boy Scouts of America

See Endnote

New York, New
York

Non-Profit

Director

6/2005

Present

8

Business Roundtable

Washington,
District of
Columbia

Non-Profit

Executive
Committee
Member

5/2008

12/2016

9

American Petroleum Institute

Washington,
District of
Columbia

Trade Group

Executive
Committee
Member

1/2006

12/2016

2. Filer's Employment Assets & Income and Retirement Accounts
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

ExxonMobil Corporation, restricted stock
units

N/A

Over
$50,000,000

Dividends

Over $5,000,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

2

ExxonMobil Corporation, deferred
compensation: ExxonMobil Defined
Contribution Nonqualified Supplemental
Savings Plan

N/A

$1,000,001 $5,000,000

Interest
Dividends

$15,001 $50,000

3

ExxonMobil Corporation

N/A

Salary/Bonus

$10,077,000

4

ExxonMobil Corporation

N/A

Imputed income
on benefits

$250,000

5

Fidelity Value (FDVLX)

Yes

$15,001 $50,000

$201 - $1,000

6

Templeton World A (TEMWX)

Yes

$15,001 $50,000

$201 - $1,000

7

ExxonMobil Corporation, Defined Benefit
Plan

See Endnote

N/A

Over
$50,000,000

None (or less
than $201)

8

ExxonMobil 2014 EBU

See Endnote

N/A

$500,001 $1,000,000

None (or less
than $201)

9

ExxonMobil 2015 EBU

N/A

$1,000,001 $5,000,000

None (or less
than $201)

10

ExxonMobil 2016 EBU

N/A

$1,000,001 $5,000,000

None (or less
than $201)

11

ExxonMobil Corporation, Restricted Stock
(see part 3 for additional information)

N/A

Over
$50,000,000

Dividends

Over $5,000,000

12

Defined Contribution ExxonMobil Savings
Plan: ESOP ExxonMobil Stock

See Endnote

N/A

$1,000,001 $5,000,000

Dividends

$15,001 $50,000

13

Defined Contribution ExxonMobil Savings
Plan: ExxonMobil Stock

See Endnote

N/A

$250,001 $500,000

Dividends

$5,001 - $15,000

14

Defined Contribution ExxonMobil Savings
Plan: Common Assets

See Endnote

No

$1,000,001 $5,000,000

None (or less
than $201)

15

Bar RR Ranches, LLC (Bartonville, TX horse
and cattle ranch)

N/A

$5,000,001 $25,000,000

None (or less
than $201)

16

ExxonMobil Corporation, common stock

N/A

Over
$50,000,000

See Endnote

See Endnote

Dividends

$1,000,001 $5,000,000

 3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

1

ExxonMobil Corporation

See Endnote

CITY, STATE

STATUS AND TERMS

DATE

Irving, Texas

I participate in ExxonMobil benefit programs. These
programs are discussed in the endnote to this item.

6/1975

4. Filer's Sources of Compensation Exceeding $5,000 in a Year
#

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

ExxonMobil Corporation

Irving, Texas

Chairman, Chief Executive Officer

5. Spouse's Employment Assets & Income and Retirement Accounts
#

DESCRIPTION

EIF

VALUE

1

Bar RR Ranches, LLC (Bartonville, TX horse
and cattle ranch)

N/A

$5,000,001 $25,000,000

INCOME TYPE

INCOME
AMOUNT
None (or less
than $201)

6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

Residential Real Estate, Denton County, TX

N/A

$100,001 $250,000

Rent or
Royalties

$5,001 - $15,000

2

AUGUSTUS INVESTMENT LP

No

$100,001 $250,000

Rent or
Royalties

$201 - $1,000

2.1

Office Building/Land (Dallas, TX)

N/A

$100,001 $250,000

Rent or
Royalties

$201 - $1,000

3

PB&J LAND PARTNERS

No

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.1

Building on 1 Acre Lot (Dallas, TX)

N/A

$15,001 $50,000

None (or less
than $201)

4

SYLVAN AVENUE DEVELOPMENT

No

$500,001 $1,000,000

None (or less
than $201)

4.1

Multi Family/Retail Mixed Use Development,
Dallas TX

N/A

$500,001 $1,000,000

None (or less
than $201)

5

SYLVAN AVENUE RE-FI FUND

No

$250,001 $500,000

None (or less
than $201)

5.1

Multi-Family/Retail Mixed-Use Development,
Dallas, TX

N/A

$250,001 $500,000

None (or less
than $201)

6

US Bank Account 1 (cash)

N/A

$500,001 $1,000,000

Interest

$201 - $1,000

7

US Brokerage Money Market Account #1
(cash)

N/A

$50,001 $100,000

Interest

$201 - $1,000

8

ACTELION LTD UNSPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

9

AIA GROUP LTD SPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

10

ALLERGAN PLC SHS

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

11

AMADEUS IT HLDG SA UNSPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

12

ANHUI CONCH CEMENT ADR (AHCHY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

13

ASML HOLDING NV NY REG NEW

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

14

ATLANTIA SPA UNSPONS ADR (AT

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

15

AVIVA PLC ADR (AV)

N/A

$15,001 $50,000

Dividends

$2,501 - $5,000

16

AXA ADS (AXAHY)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

17

BAIDU INC ADS (BIDU)

N/A

$1,001 - $15,000

Dividends

$2,501 - $5,000

18

Bper Banca SpA

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

19

BARCLAYS PLC ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

20

BG GROUP PLC

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

21

BHP BILLITON LTD

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

22

BNP PARIBAS SP ADR REPSTG (BNPQY)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

23

BT GP PLC SPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

24

BURBERRY GROUP PLC SPONS ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

25

BYD COMPANY LTD UNSPON ADR (BYDDY)

N/A

$1,001 - $15,000

26

CANADIAN NATL RAILWAY CO

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

27

CARREFOUR SA SPONSORED ADR (CRRFY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

28

CDN PACIFIC RY LTD NEW (CP)

N/A

$1,001 - $15,000

29

CHINA MOBILE LTD

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

30

CHINA PETE&CHEM CP ADS H SHS (SNP)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

31

COMPAGNIE DE ST GOBAIN UNSP (CODYY)

N/A

$15,001 $50,000

32

COMPAGNIE FIN RICHEMONTAG ADR
(CFRUY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

33

COMPASS GROUP PLC

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

34

CTRIP.COM INTL LTD (CTRP)

N/A

$15,001 $50,000

35

DAIMLER AG SPONSORED ADR (DDAIY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

36

DEUTSCHE BOERSE AG UNSPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

37

DEUTSCHE TELEKOM AG 1 ORD 1ADS
(DTEGY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

38

EAST JAPAN RY CO ADR (EJPRY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

39

ELECTRICITE DE FRANCE ADR (ECIFY)

N/A

$1,001 - $15,000

Dividends

$1,001 - $2,500

40

FERROVIAL S A ADR (FRRVY)

N/A

$15,001 $50,000

41

FREEPORT-MCMORAN INC

N/A

None (or less
than $1,001)

42

FRESENIUS SE & CO SPN ADR (FSNUY)

N/A

$15,001 $50,000

None (or less
than $201)

43

GLAXOSMITHKLINE PLC ADS (GSK)

N/A

$15,001 $50,000

None (or less
than $201)

44

HDFC BANK LTD ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

45

HEINEKEN NV SPN ADR (HEINY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

46

HENNES & MAURITZ

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

47

HONG KONG EXCHANGES & CLEARING
(HKXCY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

48

HOWDEN JOINERY GROUP PLC ADR (HWDJY)

N/A

$1,001 - $15,000

None (or less
than $201)

49

IBERDROLA SA SPON ADR (IBDRY)

N/A

$15,001 $50,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)
Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

50

INFINEON TECHNOLOGIES AG (IFNNY)

N/A

$1,001 - $15,000

51

ING GROEP NV ADR (ING)

N/A

$15,001 $50,000

52

INGENICO GROUP ADR (INGIY)

N/A

$1,001 - $15,000

53

INTERNATIONAL CONS AIRLS GRP

N/A

None (or less
than $1,001)

54

INTESA SANPAOLO S.P.A. ADR (ISNPY)

N/A

$15,001 $50,000

55

JAPAN ARPT TERM CO LTD ADR (JTTRY)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

56

JAPAN EXCHANGE GROUP INC (JPXGY)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

57

JD COM INC SPON ADR CL A (JD)

N/A

$15,001 $50,000

58

KINGFISHER PLC SPONS ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

59

KOMATSU LTD SPON ADR NEW (KMTUY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

60

KONINKLIJKE PHIL EL SP ADR NEW (PHG)

N/A

$15,001 $50,000

61

KOREA ELECTRIC POWER CORP ADS

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

62

KROTON EDUCACIONAL S A

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

63

KUBOTA CP ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

64

LAFARGEHOLCIM ADR (HCMLY)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

65

LEGAL & GENERAL PLC (LGGNY)

N/A

$1,001 - $15,000

None (or less
than $201)
Dividends

$2,501 - $5,000
None (or less
than $201)

Dividends
Capital Gains

$201 - $1,000
None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

66

LINE CORP ADR (LN)

N/A

$1,001 - $15,000

67

LIXIL GROUP CORP ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

68

LLOYDS BANKING GROUP PLC (LYG)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

69

LUNDIN PETROLEUM AB UNSP ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

70

LVMH MOET HENNESSY LOUIS VUITT

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

71

MASTERCARD INC CL A

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

72

MITSUBISHI UF J FINCL GRP ADS (MTU)

N/A

$15,001 $50,000

73

NATL GRID TRANSCO PLC ADS (NGG)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

74

NESTLE SPON ADR REP REG SHR (NSRGY)

N/A

$15,001 $50,000

Dividends

$2,501 - $5,000

75

NIELSEN HLDGS PLC

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

76

NIKE INC B (NKE)

N/A

$15,001 $50,000

None (or less
than $201)

77

NIPPON SHINYAKU CO LTD ADR (NPPNY)

N/A

$1,001 - $15,000

None (or less
than $201)

78

NIPPON TELEGRAPH&TELEPHONE ADS
(NTT)

N/A

$15,001 $50,000

Dividends

$5,001 - $15,000

79

NOVARTIS AG ADR (NVS)

N/A

$15,001 $50,000

Dividends

$5,001 - $15,000

80

NOVO NORDISK A/S ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

81

NXP SEMICONDUCTORS NV (NXPI)

N/A

$15,001 $50,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

82

OLYMPUS CORPORATION SPONS ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

83

PAYPAL HLDGS INC COM

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

84

PERNOD RICARD SA UNSPONS ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

85

POTASH CP OF SASKATCHEWAN INC (POT)

N/A

$15,001 $50,000

86

PRICELINE GRP INC COM NEW

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

87

PROSIEBENSAT 1 MEDIA AG ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

88

PUBLICIS GROUPE SA ADS

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

89

RAKUTEN INC ADR (RKUNY)

N/A

$1,001 - $15,000

90

RECKITT BENCKISER PLC SPNS ADR (RBGLY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

91

RENAULT S A ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

92

ROYAL DUTCH SHELL PLC (RDS'A)

N/A

$15,001 $50,000

93

SABMILLER PLC SPONS ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

94

SAFRAN SA

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

95

SCHLUMBERGER LTD

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

96

SEVEN & I HLDGS CO LTD ADR (SVNDY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

97

SHIN ETSU CHEM CO LTD ADR (SHECY)

N/A

$1,001 - $15,000

None (or less
than $201)

98

SHIRE PLC ADR (SHPG)

N/A

$15,001 $50,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

99

SHISEIDO LTD SPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

100

SONY CORP ADR 1974 NEW (SNE)

N/A

$1,001 - $15,000

Dividends

$1,001 - $2,500

101

SUEZ ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

102

SUZUKI MTR CORP ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

103

SVENSKA CELLULOSA B SP ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

104

TAIWAN SMCNDCTR MFG CO LTD ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

105

TENCENT HLDGS LTD UNSPON ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

106

TOTAL S A SPON ADR (TOT)

N/A

$15,001 $50,000

None (or less
than $201)

107

TOYOTA MOTOR CP ADR NEW

N/A

$15,001 $50,000

None (or less
than $201)

108

UBS GROUP AG SHS (UBS)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

109

VINCI SA ADR (VCISY)

N/A

$15,001 $50,000

Dividends

$2,501 - $5,000

110

WIRECARD AG REPSTG COM ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

111

YANDEX N.V. A (YNDX)

N/A

$1,001 - $15,000

None (or less
than $201)

112

YUM CHINA HLDNGS (YUMC)

N/A

$1,001 - $15,000

None (or less
than $201)

113

ZALANDO SE ADR

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

114

ZTO EXPRESS CAYMAN INC CL A (ZTO)

N/A

$1,001 - $15,000

Dividends

$2,501 - $5,000

115

US Brokerage Money Market Account #2
(cash)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

116

AIRBUS GROUP (EADSY)

N/A

$50,001 $100,000

117

Alaska Air (ALK), open position for written
call option: 500 shares, strike $95, exp.
7/2017

N/A

118

ALASKA AIR GROUP INCORPORATED (ALK)

N/A

$15,001 $50,000

119

ALIBABA GROUP HLDGS LTD (BABA)

N/A

$15,001 $50,000

120

AMERICAN EXPRESS CO (AXP)

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

121

American Express (AXP), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

122

AMGEN INC (AMGN)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

123

Amgen, Inc. (AMGN), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

124

APPLE INC (AAPL)

N/A

$100,001 $250,000

Dividends

$15,001 $50,000

125

Apple, Inc. (AAPL), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

126

Apple, Inc. (AAPL), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$5,001 - $15,000

127

Automatic Data Processing (ADP), closed
position for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

128

AUTOMATIC DATA PROCESSING INC

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

129

BOEING CO (BA)

N/A

$50,001 $100,000

Dividends

$201 - $1,000

130

Boeing Co. (BA), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

131

Bristol Myers Squibb (BMY), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

None (or less
than $201)
Capital Gains

$1,001 - $2,500

Dividends

$201 - $1,000
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

132

BRISTOL MYERS SQUIBB CO (BMY)

N/A

$15,001 $50,000

Dividends

$2,501 - $5,000

133

Carnival (CCL), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

134

CARNIVAL CP NEW PAIRED COM (CCL)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

135

CATERPILLAR INC (CAT)

N/A

$50,001 $100,000

Dividends

$201 - $1,000

136

Caterpillar, Inc. (CAT), open position for
written call option: 500 shares, strike $100,
exp. 5/2017

N/A

Capital Gains

$1,001 - $2,500

137

Caterpillar, Inc. (CAT), open position for
written call option: 200 shares, strike $87.50,
exp. 2/2017

N/A

Capital Gains

$201 - $1,000

138

Caterpillar, Inc. (CAT), closed position for
written call option

N/A

Capital Gains

$1,001 - $2,500

139

Celgene (CELG), open position for written
call option: 300 shares, strike $145, exp.
6/2017

N/A

Capital Gains

$1,001 - $2,500

140

CELGENE CORP (CELG)

N/A

$15,001 $50,000

141

CHINA MOBILE LTD (CHL)

N/A

$15,001 $50,000

Dividends

$2,501 - $5,000

142

China Mobile LTD (CHL), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

143

CISCO SYS INC (CSCO)

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

144

CISCO SYS INC

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

145

CITIGROUP INC NEW (C)

N/A

$50,001 $100,000

146

COCA COLA CO

N/A

$15,001 $50,000

None (or less
than $1,001)

None (or less
than $201)

None (or less
than $201)
Dividends

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

147

CUMMINS INC (CMI)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

148

Cummins, Inc. (CMI), open position for
written call option: 300 shares, strike $160,
exp. 6/2017

N/A

Capital Gains

$1,001 - $2,500

149

CVS HEALTH CORP COM (CVX)

N/A

$15,001 $50,000

Dividends

$15,001 $50,000

150

CVS Health Corp. (CVX), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

151

D R HORTON INC (DHI)

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

152

DEERE & CO (DE)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

153

Deere & Co. (DE), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

154

Deere & Co. (DE), open position for written
call option: 800 shares, strike $115, exp.
6/2017

N/A

Capital Gains

$1,001 - $2,500

155

DELTA AIR LINES INC NEW (DAL)

N/A

$50,001 $100,000

156

EATON CORP PLC SHS (ETN)

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

157

Eaton Corp (ETN), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

158

FEDEX CORP (FDX)

N/A

$50,001 $100,000

Dividends

$201 - $1,000

159

FedEx Corp (FDX), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

160

FORD MOTOR CO NEW (F)

N/A

$15,001 $50,000

161

GENERAL ELECTRIC CO (GE)

N/A

$50,001 $100,000

None (or less
than $201)

None (or less
than $201)
Dividends

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

162

GENERAL MILLS INC (GIS)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

163

GENERAL MTRS CO (GM)

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

164

GLAXOSMITHKLINE PLC ADS (GSK)

N/A

$1,001 - $15,000

Dividends

$1,001 - $2,500

165

Goldman Sachs Group (GS), open position
for written call option: 300 shares, strike
$270, exp. 6/2017

N/A

Capital Gains

$1,001 - $2,500

166

GOLDMAN SACHS GRP INC (GS)

N/A

$50,001 $100,000

167

Goldman Sachs Group (GS), closed position
for written call option

N/A

None (or less
than $1,001)

168

HONDA MOTOR COMPANY LTD ADR (HMC)

N/A

$50,001 $100,000

169

Honeywell International, Inc. (HON), closed
position for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

170

HONEYWELL INTERNATIONAL INC (HON)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

171

INTEL CORP (INTC)

N/A

$50,001 $100,000

Dividends

$5,001 - $15,000

172

Intel Corp. (INTC), open position for written
call option: 1600 shares, strike $39, exp.
4/2017

N/A

Capital Gains

$1,001 - $2,500

173

INTL BUSINESS MACHINES CORP (IBM)

N/A

$50,001 $100,000

174

JOHNSON & JOHNSON (JNJ)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

175

Johnson & Johnson (JNJ), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

176

Johnson & Johnson (JNJ), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

177

JPMORGAN CHASE & CO

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

None (or less
than $201)
Capital Gains

$201 - $1,000
None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

178

Kraft Foods Group (KRFT), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

179

KRAFT FOODS GROUP INC COM

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

180

LENNAR CORPORATION

N/A

$50,001 $100,000

Dividends

$201 - $1,000

181

LOWES COMPANIES INC

N/A

$50,001 $100,000

Dividends

$15,001 $50,000

182

Lowes Companies, Inc. (LOW), closed
position for written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

183

MAGNA INTERNATIONAL INC

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

184

MASCO CORP

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

185

MEDTRONIC PLC SHS

N/A

$15,001 $50,000

Dividends

$201 - $1,000

186

METLIFE INCORPORATED

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

187

MICROSOFT CORP

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

188

Microsoft Corp. (MSFT), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

189

MONDELEZ INTL INC COM

N/A

$15,001 $50,000

Dividends

$201 - $1,000

190

NIKE INC B

N/A

$50,001 $100,000

Dividends

$5,001 - $15,000

191

Nike Inc. (NKE), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

192

Nike Inc. (NKE), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

193

Nike Inc. (NKE), closed position for written
call option

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

194

NOVARTIS AG ADR

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

195

Nucor Corp. (NUE), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

196

Nucor Corp. (NUE), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

197

NUCOR CORPORATION

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

198

Oracle Corp. (ORCL), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

199

Oracle Corp. (ORCL), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

200

ORACLE CORP

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

201

PEPSICO INC NC

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

202

Pepsico Inc. (PEP), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

203

PepsiCo Inc. (PEP), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

204

PROCTER & GAMBLE

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

205

Prudential Financial (PRU), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

206

Prudential Financial (PRU), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

207

PRUDENTIAL FINANCIAL INC

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

208

QUALCOMM INC

N/A

$50,001 $100,000

209

Qualcomm, Inc. (QCOM), closed position for
written call option

N/A

None (or less
than $1,001)

None (or less
than $201)
Capital Gains

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

210

Qualcomm, Inc. (QCOM), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

211

SANOFI ADR

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

212

SIEMENS AKTIENGESELLSCHAFT

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

213

SOUTHWEST AIRLINES

N/A

$50,001 $100,000

Dividends

$201 - $1,000

214

STATE STREET CORP

N/A

$50,001 $100,000

Dividends

$15,001 $50,000

215

TARGET CORPORATION

N/A

$50,001 $100,000

Dividends

$201 - $1,000

216

TIME WARNER INC NEW

N/A

$15,001 $50,000

Dividends

$201 - $1,000

217

Time Warner, Inc. (TWX), open position for
written call option: 500 shares, strike $95,
exp. 7/2017

N/A

Capital Gains

$1,001 - $2,500

218

TOPBUILD CORP COM

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

219

TRAVELERS COMPANIES INC COM

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

220

UNION PACIFIC CORP

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

221

Union Pacific Corp. (UNP), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

222

Union Pacific Corp. (UNP), open position for
written call option: 600 shares, strike $110,
exp. 6/2017

N/A

Capital Gains

$2,501 - $5,000

223

Union Pacific Corp. (UNP), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

224

UNITED TECHNOLOGIES CORP

N/A

$50,001 $100,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

225

VERIZON COMMUNICATIONS

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

226

WAL MART STORES INC

N/A

$50,001 $100,000

Dividends

$201 - $1,000

227

Wal Mart Stores, Inc. (WMT), closed position
for written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

228

Walt Disney Co. (DIS), open position for
written call option: 600 shares, strike $115,
exp. 1/2017

N/A

Capital Gains

$1,001 - $2,500

229

Walt Disney Co. (DIS), closed position for
written call option

N/A

None (or less
than $1,001)

Capital Gains

$1,001 - $2,500

230

WALT DISNEY CO HLDG CO (DIS)

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

231

WELLS FARGO & CO NEW

N/A

$50,001 $100,000

Dividends

$201 - $1,000

232

WHIRLPOOL CORP

N/A

$15,001 $50,000

None (or less
than $201)

233

Morgan Stanley Institutional Liquidity Funds
Government Securities Portfolio (MGAXX)

Yes

$5,000,001 $25,000,000

$201 - $1,000

234

US Brokerage Money Market Account #3
(cash)

N/A

$1,000,001 $5,000,000

235

AB INTL GROWTH A (AWPAX)

Yes

$1,001 - $15,000

None (or less
than $201)

236

LEANDER, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

237

LEANDER, TX, BONDS

N/A

$1,001 - $15,000

None (or less
than $201)

238

SOCORRO, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

239

SOCORRO, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

240

ALLEN, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

Interest

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

241

AUBREY, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

242

BASTROP, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

243

CEDAR HILL, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

244

CLINT, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

245

COPPELL, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

246

DUNCANVILLE, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

247

EL PASO, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

248

FORNEY, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

249

FORNEY, TX, BONDS

N/A

$1,001 - $15,000

None (or less
than $201)

250

FRISCO, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

251

FRISCO, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

252

GRAPEVINE-COLLEYVILLE, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

253

GRAPEVINE-COLLEYVILLE, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

254

LAKE WORTH, TX, BONDS

N/A

$1,001 - $15,000

None (or less
than $201)

255

LEANDER, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

256

LEANDER, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

257

LEWISVILLE, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

258

LIBERTY HILL, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

259

MABANK, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

260

MIDWAY, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

261

SHERMAN, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

262

SOCORRO, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

263

SOUTH SAN ANTONIO, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

264

TROY, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

265

WHITE SETTLEMENT, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

266

WHITE SETTLEMENT, TX, BONDS

N/A

$15,001 $50,000

None (or less
than $201)

267

WYLIE, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

268

WYLIE, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

269

US Brokerage Money Market Account #4
(cash)

N/A

$1,001 - $15,000

None (or less
than $201)

270

ABBVIE INC COM (ABBV)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

271

ACCENTURE PLC IRELAND CL A (ACN)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

272

APPLE INC (AAPL)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

273

AT&T INC (T)

N/A

$50,001 $100,000

Dividends

$201 - $1,000

274

BLACKROCK INC (BLK)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

275

CHEVRON CORP (CVX)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

276

CHUBB LTD (CB)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

277

COLGATE PALMOLIVE CO (CL)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

278

CVS HEALTH CORP COM (CVX)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

279

DISCOVER FINCL SVCS (DFS)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

280

EMC CORP MASS

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

281

EXTRA SPACE STORAGE INC (EXR)

N/A

$1,001 - $15,000

282

FIDELITY NATL INFORMATION SE (FIS)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

283

GENERAL MTRS CO (GM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

284

HONEYWELL INTERNATIONAL INC (HON)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

285

INGERSOLL-RAND PLC SHS (IR)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

286

ITC HOLDINGS

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

287

JOHNSON & JOHNSON (JNJ)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

288

JPMORGAN CHASE & CO (JPM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

289

LOCKHEED MARTIN CORP (LMT)

N/A

$1,001 - $15,000

290

LOWES COMPANIES INC (LOW)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

291

MARSH & MCLENNAN COS INC (MMC)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

292

MEDTRONIC PLC SHS (MDT)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

293

MICROSOFT CORP (MSFT)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

294

MONDELEZ INTL INC COM (MDLZ)

N/A

$1,001 - $15,000

295

MONSANTO CO/NEW (MON)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

296

NEXTERA ENERGY INC (NEE)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

297

NIELSEN HLDGS PLC (NLSN)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

298

NOVO NORDISK A/S ADR (NVO)

N/A

$1,001 - $15,000

299

PACKAGING CORP AMER (PKG)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

300

PEPSICO INC NC (PEP)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

301

PFIZER INC (PFE)

N/A

$1,001 - $15,000

Dividends

$1,001 - $2,500

302

PHILLIPS 66 COM (PSX)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

303

PRAXAIR INC (PX)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

304

SCHLUMBERGER LTD (SLB)

N/A

$1,001 - $15,000

305

TE CONNECTIVITY LTD NEW (TEL)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

306

UNION PACIFIC CORP (UNP)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

307

UNITEDHEALTH GP INC (UNH)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

308

V F CORPORATION (VFC)

N/A

$1,001 - $15,000

None (or less
than $201)

309

WALT DISNEY CO HLDG CO (DIS)

N/A

$1,001 - $15,000

None (or less
than $201)

310

WEC ENERGY GROUP INC COM (WEC)

N/A

$1,001 - $15,000

Dividends

$1,001 - $2,500

311

WELLS FARGO & CO NEW (WFC)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

312

WHIRLPOOL CORP (WHR)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

313

US Brokerage Money Market Account #5
(cash)

N/A

$250,001 $500,000

Interest

$201 - $1,000

314

Morgan Stanley Institutional Liquidity Funds
Government Securities Portfolio (MGAXX)

Yes

$1,000,001 $5,000,000

$201 - $1,000

315

ENNIS, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

316

JUDSON, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

317

LAKE DALLAS, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

318

LEANDER, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

319

ROCKWALL, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

320

SCHERTZ-CIBOLO-UNIVERSAL CITY, TX,
BONDS

N/A

$250,001 $500,000

None (or less
than $201)

321

WEATHERFORD, TX, BONDS

N/A

$50,001 $100,000

None (or less
than $201)

322

WYLIE, TX, BONDS

N/A

$250,001 $500,000

None (or less
than $201)

323

WYLIE, TX, BONDS

N/A

$100,001 $250,000

None (or less
than $201)

324

HF Renaissance EQ LLC

No

$500,001 $1,000,000

325

US Brokerage Money Market Account #6
(cash)

N/A

$250,001 $500,000

None (or less
than $201)

326

US Brokerage Money Market Account #7
(cash)

N/A

$250,001 $500,000

None (or less
than $201)

327

R2 Real Estate, LLC (loan to family member)

N/A

$250,001 $500,000

None (or less
than $201)

328

Family Trust #1

No

See Endnote

Dividends
Interest

$100,001 $1,000,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

328.1

Exxon Mobil Corp (XOM)

N/A

$50,001 $100,000

Dividends

$5,001 - $15,000

328.2

JPMorgan U.S. Equity Fund Class L (JMUEX)

Yes

$50,001 $100,000

$1,001 - $2,500

328.3

Parnassus Core Equity Fund - Institutional
Shares (PRILX)

Yes

$50,001 $100,000

$1,001 - $2,500

328.4

SPDR S&P 500 ETF Trust (SPY)

Yes

$500,001 $1,000,000

$15,001 $50,000

328.5

iShares Core S&P Mid Cap ETF (IJH)

Yes

$50,001 $100,000

$2,501 - $5,000

328.6

AMG Managers Pictet International Fund
Class I (APCTX)

Yes

$50,001 $100,000

$201 - $1,000

328.7

Dodge & Cox International Stock Fund
(DODFX)

Yes

$50,001 $100,000

$1,001 - $2,500

328.8

iShares MSCI EAFE Index Fund (EFA)

Yes

$100,001 $250,000

$5,001 - $15,000

328.9

MFS International Value Fund Class I (MINIX)

Yes

$100,001 $250,000

$2,501 - $5,000

328.10

Brown Advisory - WMC Japan Alpha
Opportunities Fund Institutional Shares
(BAFJX)

Yes

$1,001 - $15,000

$5,001 - $15,000

328.11

iShares MSCI Japan ETF (EWJ)

Yes

$15,001 $50,000

$201 - $1,000

328.12

JPMorgan Global Research Enhanced Index
Fund Select Class Shares (JEITX)

Yes

$100,001 $250,000

$5,001 - $15,000

328.13

Chilton Strategic European Equities Fund
(CHEUX)

Yes

$15,001 $50,000

None (or less
than $201)

328.14

Diamond Hill Long Short Fund Class I
(DHLSX)

Yes

$15,001 $50,000

$1,001 - $2,500

328.15

Goldman Sachs Strategic Income Fund
Institutional Shares (GSZIX)

Yes

$15,001 $50,000

$1,001 - $2,500

328.16

PIMCO Unconstrained Bond Fund
Institutional Class (PFIUX)

Yes

$50,001 $100,000

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

328.17

Equinox Campbell Strategy Fund Class I
(EBSIX)

Yes

$15,001 $50,000

None (or less
than $201)

328.18

Equinox IPM Systematic Macro Fund Class I
(EQIPX)

Yes

$15,001 $50,000

None (or less
than $201)

328.19

US Brokerage Cash

N/A

$100,001 $250,000

328.20

JPMorgan Intermediate Tax Free Bond Fund
Institutional Class (JITIX)

Yes

$100,001 $250,000

$5,001 - $15,000

328.21

JPMorgan Short-Intermediate Municipal
Bond Fund Institutional Class (JIMIX)

Yes

$50,001 $100,000

$2,501 - $5,000

328.22

Dodge & Cox Income Fund (DODIX)

Yes

$50,001 $100,000

$1,001 - $2,500

328.23

DoubleLine Total Return Bond Fund Class I
(DBLTX)

Yes

$15,001 $50,000

$5,001 - $15,000

328.24

Vanguard Intermediate-Term InvestmentGrade Fund Admiral Shares (VFIDX)

Yes

$50,001 $100,000

$1,001 - $2,500

328.25

JPMorgan Unconstrained Debt Fund Select
Class Shares (JSISX)

Yes

$50,001 $100,000

$5,001 - $15,000

328.26

Neuberger Berman High Income Bond Fund
Institutional Class (NHILX)

Yes

$100,001 $250,000

$5,001 - $15,000

328.27

JPMorgan Tax Aware Real Return Fund
Institutional Class (TXRIX)

Yes

$50,001 $100,000

$2,501 - $5,000

328.28

MFS Emerging Markets Debt Fund Class I
(MEDIX)

Yes

$15,001 $50,000

$1,001 - $2,500

328.29

John Hancock Income Fund Class I (JSTIX)

Yes

$15,001 $50,000

$2,501 - $5,000

329

Family Trust #2

No

329.1

Exxon Mobil Corp (XOM)

N/A

$50,001 $100,000

329.2

JPMorgan U.S. Equity Fund Class L (JMUEX)

Yes

$50,001 $100,000

Interest

Dividends

INCOME
AMOUNT

$201 - $1,000

$5,001 - $15,000
$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

329.3

Parnassus Core Equity Fund - Institutional
Shares (PRILX)

Yes

$50,001 $100,000

$1,001 - $2,500

329.4

SPDR S&P 500 ETF Trust (SPY)

Yes

$500,001 $1,000,000

$15,001 $50,000

329.5

iShares Core S&P Mid Cap ETF (IJH)

Yes

$100,001 $250,000

$2,501 - $5,000

329.6

AMG Managers Pictet International Fund
Class I (APCTX)

Yes

$50,001 $100,000

$201 - $1,000

329.7

Dodge & Cox International Stock Fund
(DODFX)

Yes

$50,001 $100,000

$1,001 - $2,500

329.8

iShares MSCI EAFE Index Fund (EFA)

Yes

$100,001 $250,000

$5,001 - $15,000

329.9

MFS International Value Fund Class I (MINIX)

Yes

$100,001 $250,000

$2,501 - $5,000

329.10

iShares MSCI Japan ETF (EWJ)

Yes

$15,001 $50,000

$201 - $1,000

329.11

JPMorgan Global Research Enhanced Index
Fund Select Class Shares (JEITX)

Yes

$100,001 $250,000

$5,001 - $15,000

329.12

Chilton Strategic European Equities Fund
(CHEUX)

Yes

$15,001 $50,000

None (or less
than $201)

329.13

Diamond Hill Long Short Fund Class I
(DHLSX)

Yes

$15,001 $50,000

$1,001 - $2,500

329.14

Goldman Sachs Strategic Income Fund
Institutional Shares (GSZIX)

Yes

$15,001 $50,000

$1,001 - $2,500

329.15

PIMCO Unconstrained Bond Fund
Institutional Class (PFIUX)

Yes

$50,001 $100,000

$2,501 - $5,000

329.16

Equinox Campbell Strategy Fund Class I
(EBSIX)

Yes

$50,001 $100,000

None (or less
than $201)

329.17

Equinox IPM Systematic Macro Fund Class I
(EQIPX)

Yes

$50,001 $100,000

None (or less
than $201)

329.18

US Brokerage Cash

N/A

$250,001 $500,000

Interest

INCOME
AMOUNT

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

329.19

JPMorgan Intermediate Tax Free Bond Fund
Institutional Class (JITIX)

Yes

$100,001 $250,000

$5,001 - $15,000

329.20

JPMorgan Short-Intermediate Municipal
Bond Fund Institutional Class (JIMIX)

Yes

$100,001 $250,000

$2,501 - $5,000

329.21

Dodge & Cox Income Fund (DODIX)

Yes

$50,001 $100,000

$2,501 - $5,000

329.22

DoubleLine Total Return Bond Fund Class I
(DBLTX)

Yes

$50,001 $100,000

$5,001 - $15,000

329.23

Vanguard Intermediate-Term InvestmentGrade Fund Admiral Shares (VFIDX)

Yes

$50,001 $100,000

$1,001 - $2,500

329.24

JPMorgan Unconstrained Debt Fund Select
Class Shares (JSISX)

Yes

$50,001 $100,000

$5,001 - $15,000

329.25

Neuberger Berman High Income Bond Fund
Institutional Class (NHILX)

Yes

$100,001 $250,000

$5,001 - $15,000

329.26

JPMorgan Tax Aware Real Return Fund
Institutional Class (TXRIX)

Yes

$50,001 $100,000

$2,501 - $5,000

329.27

MFS Emerging Markets Debt Fund Class I
(MEDIX)

Yes

$50,001 $100,000

$2,501 - $5,000

329.28

John Hancock Income Fund Class I (JSTIX)

Yes

$15,001 $50,000

$2,501 - $5,000

330

Family Trust #3

No

330.1

Exxon Mobil Corp (XOM)

N/A

$50,001 $100,000

330.2

JPMorgan U.S. Equity Fund Class L (JMUEX)

Yes

$50,001 $100,000

$1,001 - $2,500

330.3

Parnassus Core Equity Fund - Institutional
Shares (PRILX)

Yes

$50,001 $100,000

$1,001 - $2,500

330.4

SPDR S&P 500 ETF Trust (SPY)

Yes

$250,001 $500,000

$15,001 $50,000

330.5

iShares Core S&P Mid Cap ETF (IJH)

Yes

$50,001 $100,000

$2,501 - $5,000

Dividends

INCOME
AMOUNT

$5,001 - $15,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

330.6

AMG Managers Pictet International Fund
Class I (APCTX)

Yes

$50,001 $100,000

$201 - $1,000

330.7

Dodge & Cox International Stock Fund
(DODFX)

Yes

$50,001 $100,000

$1,001 - $2,500

330.8

iShares MSCI EAFE Index Fund (EFA)

Yes

$100,001 $250,000

$5,001 - $15,000

330.9

MFS International Value Fund Class I (MINIX)

Yes

$100,001 $250,000

$2,501 - $5,000

330.10

Brown Advisory - WMC Japan Alpha
Opportunities Fund Institutional Shares
(BAFJX)

Yes

$1,001 - $15,000

$2,501 - $5,000

330.11

iShares MSCI Japan ETF (EWJ)

Yes

$15,001 $50,000

$201 - $1,000

330.12

JPMorgan Global Research Enhanced Index
Fund Select Class Shares (JEITX)

Yes

$100,001 $250,000

$5,001 - $15,000

330.13

Chilton Strategic European Equities Fund
(CHEUX)

Yes

$15,001 $50,000

None (or less
than $201)

330.14

Diamond Hill Long Short Fund Class I
(DHLSX)

Yes

$15,001 $50,000

$1,001 - $2,500

330.15

Goldman Sachs Strategic Income Fund
Institutional Shares (GSZIX)

Yes

$15,001 $50,000

$1,001 - $2,500

330.16

PIMCO Unconstrained Bond Fund
Institutional Class (PFIUX)

Yes

$50,001 $100,000

$2,501 - $5,000

330.17

Equinox Campbell Strategy Fund Class I
(EBSIX)

Yes

$15,001 $50,000

None (or less
than $201)

330.18

Equinox IPM Systematic Macro Fund Class I
(EQIPX)

Yes

$15,001 $50,000

None (or less
than $201)

330.19

US Brokerage Cash

N/A

$100,001 $250,000

330.20

JPMorgan Intermediate Tax Free Bond Fund
Institutional Class (JITIX)

Yes

$100,001 $250,000

$5,001 - $15,000

330.21

JPMorgan Short-Intermediate Municipal
Bond Fund Institutional Class (JIMIX)

Yes

$100,001 $250,000

$2,501 - $5,000

Interest

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

330.22

Dodge & Cox Income Fund (DODIX)

Yes

$50,001 $100,000

$1,001 - $2,500

330.23

DoubleLine Total Return Bond Fund Class I
(DBLTX)

Yes

$50,001 $100,000

$5,001 - $15,000

330.24

Vanguard Intermediate-Term InvestmentGrade Fund Admiral Shares (VFIDX)

Yes

$15,001 $50,000

$1,001 - $2,500

330.25

JPMorgan Unconstrained Debt Fund Select
Class Shares (JSISX)

Yes

$50,001 $100,000

$5,001 - $15,000

330.26

Neuberger Berman High Income Bond Fund
Institutional Class (NHILX)

Yes

$100,001 $250,000

$5,001 - $15,000

330.27

JPMorgan Tax Aware Real Return Fund
Institutional Class (TXRIX)

Yes

$15,001 $50,000

$2,501 - $5,000

330.28

MFS Emerging Markets Debt Fund Class I
(MEDIX)

Yes

$15,001 $50,000

$1,001 - $2,500

330.29

John Hancock Income Fund Class I (JSTIX)

Yes

$15,001 $50,000

$2,501 - $5,000

331

Family Trust #4

No

331.1

Exxon Mobil Corp (XOM)

N/A

$50,001 $100,000

331.2

JPMorgan U.S. Equity Fund Class L (JMUEX)

Yes

$50,001 $100,000

$1,001 - $2,500

331.3

Parnassus Core Equity Fund - Institutional
Shares (PRILX)

Yes

$50,001 $100,000

$1,001 - $2,500

331.4

SPDR S&P 500 ETF Trust (SPY)

Yes

$250,001 $500,000

$5,001 - $15,000

331.5

iShares Core S&P Mid Cap ETF (IJH)

Yes

$50,001 $100,000

$2,501 - $5,000

331.6

AMG Managers Pictet International Fund
Class I (APCTX)

Yes

$50,001 $100,000

$201 - $1,000

331.7

Dodge & Cox International Stock Fund
(DODFX)

Yes

$50,001 $100,000

$1,001 - $2,500

Dividends

INCOME
AMOUNT

$5,001 - $15,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

331.8

iShares MSCI EAFE Index Fund (EFA)

Yes

$100,001 $250,000

$5,001 - $15,000

331.9

MFS International Value Fund Class I (MINIX)

Yes

$50,001 $100,000

$2,501 - $5,000

331.10

Brown Advisory - WMC Japan Alpha
Opportunities Fund Institutional Shares
(BAFJX)

Yes

$1,001 - $15,000

$2,501 - $5,000

331.11

iShares MSCI Japan ETF (EWJ)

Yes

$15,001 $50,000

$201 - $1,000

331.12

JPMorgan Global Research Enhanced Index
Fund Select Class Shares (JEITX)

Yes

$100,001 $250,000

$5,001 - $15,000

331.13

Chilton Strategic European Equities Fund
(CHEUX)

Yes

$15,001 $50,000

None (or less
than $201)

331.14

Diamond Hill Long Short Fund Class I
(DHLSX)

Yes

$15,001 $50,000

$1,001 - $2,500

331.15

Goldman Sachs Strategic Income Fund
Institutional Shares (GSZIX)

Yes

$15,001 $50,000

$1,001 - $2,500

331.16

PIMCO Unconstrained Bond Fund
Institutional Class (PFIUX)

Yes

$50,001 $100,000

$2,501 - $5,000

331.17

Equinox Campbell Strategy Fund Class I
(EBSIX)

Yes

$15,001 $50,000

None (or less
than $201)

331.18

Equinox IPM Systematic Macro Fund Class I
(EQIPX)

Yes

$15,001 $50,000

None (or less
than $201)

331.19

US Brokerage Cash

N/A

$100,001 $250,000

331.20

JPMorgan Intermediate Tax Free Bond Fund
Institutional Class (JITIX)

Yes

$50,001 $100,000

$5,001 - $15,000

331.21

JPMorgan Short-Intermediate Municipal
Bond Fund Institutional Class (JIMIX)

Yes

$100,001 $250,000

$2,501 - $5,000

331.22

Dodge & Cox Income Fund (DODIX)

Yes

$50,001 $100,000

$1,001 - $2,500

331.23

DoubleLine Total Return Bond Fund Class I
(DBLTX)

Yes

$15,001 $50,000

$5,001 - $15,000

Interest

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

331.24

Vanguard Intermediate-Term InvestmentGrade Fund Admiral Shares (VFIDX)

Yes

$15,001 $50,000

$1,001 - $2,500

331.25

JPMorgan Unconstrained Debt Fund Select
Class Shares (JSISX)

Yes

$50,001 $100,000

$5,001 - $15,000

331.26

Neuberger Berman High Income Bond Fund
Institutional Class (NHILX)

Yes

$100,001 $250,000

$5,001 - $15,000

331.27

JPMorgan Tax Aware Real Return Fund
Institutional Class (TXRIX)

Yes

$15,001 $50,000

$1,001 - $2,500

331.28

MFS Emerging Markets Debt Fund Class I
(MEDIX)

Yes

$15,001 $50,000

$1,001 - $2,500

331.29

John Hancock Income Fund Class I (JSTIX)

Yes

$15,001 $50,000

$1,001 - $2,500

7. Transactions
(N/A) - Not required for this type of report

8. Liabilities
None

9. Gifts and Travel Reimbursements
(N/A) - Not required for this type of report

Endnotes

INCOME TYPE

INCOME
AMOUNT

 PART

#

ENDNOTE

1.

5

The listed start date is approximate and is based on a good-faith estimate.

1.

6

The listed start date is approximate and is based on a good-faith estimate.

1.

7

The listed start date is approximate and is based on a good-faith estimate.

2.

3

This value includes salary and bonuses earned during the reporting period, including the settlement of
EBUs (Earnings Bonus Units) from 2013.

2.

7

The reported asset values were taken from ExxonMobil's most recent proxy statement. The value
includes my holdings in the ExxonMobil Nonqualified Defined Benefit Additional Payments plan, the
ExxonMobil Qualified Defined Benefit Pension Plan, and the ExxonMobil Nonqualified Defined Benefit
Supplemental Pension Plan.

2.

8

EBU stands for "Earnings Bonus Unit" and describes cash bonuses granted in a particular calendar
year. Settlement on each annual grant occurs when the cumulative Earnings Per Share on each grant
attains $6.50.

2.

12

These assets are part of the ExxonMobil Defined Contribution Plan. "ESOP" refers to "Employee Stock
Ownership Plan."

2.

13

These assets are part of the ExxonMobil Defined Contribution Plan.

2.

14

These assets are part of the ExxonMobil Defined Contribution Plan. Common Assets refers to an
investment in a stable value fund.
The underlying assets of the Common Asset Fund are as follows: U.S. Savings bonds, FHLMC bonds,
FNMA bonds, shares of NGTI Collective Government Short Term Investment Fund, and bonds issued by
the following corporations: Bank of Nova Scotia, Royal Bank of Canada, BNP Paribas, Norsk Hydro,
Berkshire Hathaway, Cisco Systems, Inc., IBM Corp., Oracle Corp., Pepsico, Inc , Toyota Motor Corp.,
U.S. Bank NA, Wal-Mart Stores, Inc., and Wells Fargo Bank NA.

2.

16

This entry reflects ExxonMobil stock currently held, though received both during and outside of the
reporting period, pursuant to OGE direction.

 PART

#

ENDNOTE

3.

1

(a) I participate in the ExxonMobil Qualified Defined Benefit Pension Plan, the ExxonMobil Nonqualified
Defined Benefit Supplemental Pension Plan, the ExxonMobil Defined Contribution Nonqualified
Supplemental Savings Plan, and the ExxonMobil Nonqualified Defined Benefit Additional Payments
Plan. I will receive a total distribution of my interests in these plans consistent with the standard terms
of these plans, including the ordinary timelines for making distributions.
(b) I also have an interest in the Defined Contribution ExxonMobil Savings Plan, which I will divest prior
to assuming the duties of the position of Secretary.
(c) I hold restricted stock and restricted stock units. Consistent with its longstanding practice,
ExxonMobil will authorize me to retain those interests upon retirement. To ensure compliance with
government ethics provisions, I will surrender to ExxonMobil all of my outstanding restricted stock
awards and restricted stock unit awards for cancellation. Instead, as a substitute for the restricted
stock and restricted stock units, the Company will make a cash payment to an independent trustee
that will make payments to me on the ordinary schedule for restricted stock and restricted stock units.
The trust will invest only in non-conflicting assets, and I will disclose the holdings of this trust in my
financial disclosure reports.
(d) I hold Earnings Bonus Units (EBUs) for 2014, 2015, and 2016. If I am confirmed, I will forfeit these
EBUs.
(e) As a retiring ExxonMobil executive, I will be entitled to receive the following standard retiree
benefits: retiree medical benefits; use of a product discount credit card; office space and
administrative support; financial counseling; and tax preparation services. I will forfeit all of these
benefits upon confirmation. I am also entitled to participate in an executive life insurance plan. If I
am confirmed, ExxonMobil will, before I assume the duties of the position of Secretary, terminate my
participation in this life insurance plan and provide me with a prepaid life insurance policy, with
equivalent benefits, through an independent insurer.

6.

324

Underlying assets are not disclosed due to preexisting confidentiality agreement. I will divest this asset
if confirmed.

 Summary of Contents
1. Filer's Positions Held Outside United States Government
Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable
even if the filer did not receive compensation.
This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions
held as part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited
partner or non-managing member of a limited liability company.
2. Filer's Employment Assets & Income and Retirement Accounts
Part 2 discloses the following:
●

●

Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share,
honoraria, scholarships, and prizes)
Assets related to the filer's business, employment, or other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2)
produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their
underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
3. Filer's Employment Agreements and Arrangements
Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States
Government), such as the following:
●
●
●
●
●

Future employment
Leave of absence
Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer)
Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan
Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of
a company's profits, etc.)

4. Filer's Sources of Compensation Exceeding $5,000 in a Year
Part 4 discloses sources (except the United States Government) that paid more than $5,000 in a calendar year for the filer's services during any year of the reporting
period.

 The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source
made its payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services
for which the client is paying.
5. Spouse's Employment Assets & Income and Retirement Accounts
Part 5 discloses the following:
●

●
●

Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and
partnership share)
Sources of honoraria for the filer's spouse greater than $200 during the reporting period
Assets related to the filer's spouse's employment, business activities, other income-generating activities that (1) ended the reporting period with a value greater
than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts
and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding
honoraria).
6. Other Assets and Income
Part 6 discloses each asset, not already reported, that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in investment
income during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and
dependent children.
This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement
benefits associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a
single financial institution with a value of $5,000 or less (unless more than $200 of income was produced). Additional exceptions apply. Note: The type of income is not
required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
7. Transactions
Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during
reporting period.
This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money
market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional
exceptions apply.

 8. Liabilities
Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period.
This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans
secured by a personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as
credit card balances, if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply.
9. Gifts and Travel Reimbursements
This section discloses:
●
●

Gifts totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.
Travel reimbursements totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.

For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $150 or less. Regardless of the value, this section does not
include the following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or
local governments; (3) bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel;
(5) gifts of hospitality (food, lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children
totally independent of their relationship to the filer. Additional exceptions apply.

 Privacy Act Statement
Title I of the Ethics in Government Act of 1978, as amended (the Act), 5 U.S.C. app. § 101 et seq., as amended by the Stop Trading on Congressional Knowledge Act of
2012 (Pub. L. 112-105) (STOCK Act), and 5 C.F.R. Part 2634 of the U. S. Office of Government Ethics regulations require the reporting of this information. The primary use
of the information on this report is for review by Government officials to determine compliance with applicable Federal laws and regulations. This report may also be
disclosed upon request to any requesting person in accordance with sections 105 and 402(b)(1) of the Act or as otherwise authorized by law. You may inspect
applications for public access of your own form upon request. Additional disclosures of the information on this report may be made: (1) to any requesting person,
subject to the limitation contained in section 208(d)(1) of title 18, any determination granting an exemption pursuant to sections 208(b)(1) and 208(b)(3) of title 18; (2) to
a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of violations or potential violations of law or regulation; (3) to another Federal
agency, court or party in a court or Federal administrative proceeding when the Government is a party or in order to comply with a judge-issued subpoena; (4) to a
source when necessary to obtain information relevant to a conflict of interest investigation or determination; (5) to the National Archives and Records Administration or
the General Services Administration in records management inspections; (6) to the Office of Management and Budget during legislative coordination on private relief
legislation; (7) to the Department of Justice or in certain legal proceedings when the disclosing agency, an employee of the disclosing agency, or the United States is a
party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation; (8) to reviewing officials in a new
office, department or agency when an employee transfers or is detailed from one covered position to another; (9) to a Member of Congress or a congressional office in
response to an inquiry made on behalf of an individual who is the subject of the record; (10) to contractors and other non-Government employees working on a
contract, service or assignment for the Federal Government when necessary to accomplish a function related to an OGE Government-wide system of records; and (11)
on the OGE Website and to any person, department or agency, any written ethics agreement filed with OGE by an individual nominated by the President to a position
requiring Senate confirmation. See also the OGE/GOVT-1 executive branch-wide Privacy Act system of records.
Public Burden Information
This collection of information is estimated to take an average of three hours per response, including time for reviewing the instructions, gathering the data needed, and
completing the form. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this
burden, to the Program Counsel, U.S. Office of Government Ethics (OGE), Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917.
Pursuant to the Paperwork Reduction Act, as amended, an agency may not conduct or sponsor, and no person is required to respond to, a collection of information
unless it displays a currently valid OMB control number (that number, 3209-0001, is displayed here and at the top of the first page of this OGE Form 278e).