New Entrant 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
McFarland, Kathleen
Deputy National Security Advisor, White House
Date of Appointment: 01/20/2017
Other Federal Government Positions Held During the Preceding 12 Months:
None

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/ Mcfarland, Kathleen T [electronically signed on 02/04/2017 by Mcfarland, Kathleen T 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/ Passantino, Stefan, Certifying Official [electronically signed on 03/31/2017 by Passantino, Stefan in Integrity.gov]

Other review conducted by
/s/ Schultz, James D, Ethics Official [electronically signed on 03/31/2017 by Schultz, James D in Integrity.gov]

U.S. Office of Government Ethics Certification

Data Revised 02/17/2017

 Data Revised 02/16/2017

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

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

Fox News

New York, New
York

Corporation

contributor

9/2009

11/2016

VALUE

INCOME TYPE

INCOME
AMOUNT

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

DESCRIPTION

EIF

1

Fox News Network, LLC

N/A

Contract
payments as a
national
security analyst

$63,518

2

U.S. Global Leadership Coalition - January
20-21, 2016

N/A

Honorarium

$7,500

3

speech at American Fuel & Petrochemical
Manufacturers - April 12, 2016

N/A

Honorarium

$16,000

4

Keppler Speakers speech at Wisconsin
Bankers Association Bank Executives
Conference - February 9, 2016

N/A

Honorarium

$9,375

5

Keppler Speakers speech at Ohio Cable
Telecommunications Association - February
24, 2016

N/A

Honorarium

$9,750

6

Keppler Speakers speech at Bakersfield
Business Conference - October 8, 2016

N/A

Honorarium

$10,000

7

Keppler Speakers speech at Construction
Industry Round Table - May 18, 2016

N/A

Honorarium

$6,750

8

Keppler Speakers speech at 7th Annual
Cyber Security Awareness Week - October
11, 2016

N/A

Honorarium

$11,000

9

Politicon - June 25, 2016

N/A

Honorarium

$7,000

 #

DESCRIPTION

EIF

10

U.S. Global Leadership Coalition - July 20,
2016

11

VALUE

INCOME TYPE

INCOME
AMOUNT

N/A

Honorarium

$7,000

Keppler Speakers speech at Associated
Equipment Distributors Annual Economic
Forum - September 22, 2016

N/A

Honorarium

$9,750

12

Keppler Speakers speech at Air Movement &
Control Association - October 22, 2016

N/A

Honorarium

$6,000

13

Texas Crime Stoppers - October 12, 2016

N/A

Honorarium

$16,000

14

Ross Yoon Agency Crown Publisher for Book
named Turning Point -- Reclaiming an
America We Can Believe In

N/A

Author's
advance

$42,500

15

Kepplers Speakers speech at Young
America's Foundation - November 12, 2016

N/A

Honorarium

$2,500

16

Keppler Speakers speech at , Leadership
Conference for MRA - The Management
Association - December 17, 2015

N/A

Honorarium

$8,250

17

IRA

17.1

AKAMAI TECHNOLOGIES INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.2

ALPHABET INC CL A

N/A

$1,001 - $15,000

None (or less
than $201)

17.3

AMAZON.COM INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.4

APPLE INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.5

CELGENE CORP

N/A

$1,001 - $15,000

None (or less
than $201)

17.6

DISNEY WALT CO NEW

N/A

$1,001 - $15,000

None (or less
than $201)

17.7

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$1,001 - $15,000

None (or less
than $201)

17.8

EXXONMOBIL CORP

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

17.9

FACEBOOK INC-A

N/A

$1,001 - $15,000

None (or less
than $201)

17.10

GENERAL ELECTRIC CORP

N/A

$1,001 - $15,000

None (or less
than $201)

17.11

GILEAD SCIENCES INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.12

GOLDMAN SACHS GROUP INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.13

HONEYWELL INTERNATIONAL INC

N/A

$1,001 - $15,000

None (or less
than $201)

17.14

MICROSOFT CORP

N/A

$1,001 - $15,000

None (or less
than $201)

17.15

NXP SEMICONDUCTORS

N/A

$1,001 - $15,000

None (or less
than $201)

17.16

UNION PAC CORP

N/A

$1,001 - $15,000

None (or less
than $201)

17.17

VANGUARD FTSE ALL-WORLD EX-US

Yes

$1,001 - $15,000

$201 - $1,000

17.18

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$1,001 - $15,000

None (or less
than $201)

17.19

VANGUARD IND FD MID-CAP

Yes

$1,001 - $15,000

None (or less
than $201)

17.20

VANGUARD REIT ETF

Yes

$1,001 - $15,000

$201 - $1,000

17.21

VANGUARD SMALL-CAP ETF

Yes

$1,001 - $15,000

None (or less
than $201)

17.22

VISA INC CL A

N/A

$1,001 - $15,000

None (or less
than $201)

3. Filer's Employment Agreements and Arrangements

INCOME TYPE

INCOME
AMOUNT

 None

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

U.S. Global Leadership Coalition

Washington,
District of
Columbia

Honorarium

2

American Fuel & Petrochemical
Manufacturers

Washington,
District of
Columbia

Honorarium, AFPM Security Conference

3

Keppler Speakers

Arlington,
Virginia

Honorarium, Wisconsin Bankers Association Bank Executives
Conference

4

Keppler Speakers

Arlington,
Virginia

Honorarium, Ohio Cable Telecommunications Association

5

Keppler Speakers

Arlington,
Virginia

Honorarium, Bakersfield Business Conference

6

Kepplers Speakers

Arlington,
Virginia

Honorarium, Construction Industry Round Table

7

Kepplers Speakers

Arlington,
Virginia

Honorarium, 7th Annual Cyber Security Awareness Week

8

Politicon

Los Angeles,
California

Honorarium

9

U.S. Global Leadership Coalition

Washington,
District of
Columbia

Honorarium, USGLC State Leaders Summit

10

Keppler Speakers

Arlington,
Virginia

Honorarium, Associated Equipment Distributors Annual Economic
Forum

11

Keppler Speakers

Arlington,
Virginia

Honorarium, Air Movement & Control Association

12

Texas Crime Stoppers

Austin, Texas

Honorarium

13

Ross Yoon Agency Crown Publisher for Book
named Turning Point -- Reclaiming an
America We Can Believe In

Washington,
District of
Columbia

Author's advance

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

14

Keppler Speakers

Washington,
District of
Columbia

Honorarium

15

Keppler Speakers

Charleston,
South Carolina

Honorarium

16

Keppler Speakers

Madison,
Wisconsin

Honorarium

17

Keppler Speakers

Memphis,
Tennessee

Honorarium

18

Keppler Speakers

Wauwatosa,
Wisconsin

Honorarium

19

Keppler Speakers

Atlanta, Georgia

Honorarium

20

Salem Radio

Chicago, Illinois

Honorarium

21

Colorado Women's Alliance

Denver,
Colorado

Honorarium

22

Aspen Glen

Aspen, Colorado

Honorarium

23

Keppler

Oklahoma City,
Oklahoma

Honorarium

24

US Global Leadership Coalition

Denver,
Colorado

Honorarium

25

US Global Leadership Coalition

Milwaukee,
Wisconsin

Honorarium

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

DESCRIPTION

EIF

1

Village of Southampton Planning Board

N/A

2

Excellon

N/A

VALUE

$50,001 $100,000

INCOME TYPE

INCOME
AMOUNT

Planning Board
Member
payment

$4,000

Interest

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3

Excellon Resources Inc

N/A

Directors fees

$17,106

4

IRA

4.1

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$100,001 $250,000

4.2

U.S. TREASURY BILLS

N/A

None (or less
than $1,001)

Dividends

$2,501 - $5,000

4.3

U.S. TREASURY NOTES

N/A

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

Dividends

$5,001 - $15,000

4.4

VANGUARD CAPITAL VALUE F-INV

Yes

$500,001 $1,000,000

$5,001 - $15,000

4.5

VANGUARD DIVIDEND GROWTH-IV

Yes

$500,001 $1,000,000

$15,001 $50,000

4.6

VANGUARD FTSE ALL-WORLD EX-US

Yes

$15,001 $50,000

$201 - $1,000

4.7

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$15,001 $50,000

$201 - $1,000

4.8

VANGUARD IND FD MID-CAP

Yes

$50,001 $100,000

$201 - $1,000

4.9

VANGUARD REIT ETF

Yes

$15,001 $50,000

$1,001 - $2,500

4.10

VANGUARD SMALL-CAP ETF

Yes

$50,001 $100,000

$201 - $1,000

4.11

VANGUARD WINDSOR-ADM

Yes

$500,001 $1,000,000

$15,001 $50,000

EIF

VALUE

None (or less
than $201)

6. Other Assets and Income
#

DESCRIPTION

1

Grantor Trust

INCOME TYPE

INCOME
AMOUNT

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1.1

3M CO

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.2

ABBOTT LABS

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

1.3

AKAMAI TECHNOLOGIES INC

N/A

$50,001 $100,000

None (or less
than $201)

1.4

ALPHABET INC CL A

N/A

$100,001 $250,000

None (or less
than $201)

1.5

ALPHABET INC CL C

N/A

$100,001 $250,000

None (or less
than $201)

1.6

AMAZON.COM INC

N/A

$100,001 $250,000

None (or less
than $201)

1.7

APPLE INC

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.8

BANK OF AMERICA CORP

N/A

$100,001 $250,000

Dividends

$1,001 - $2,500

1.9

BERKSHIRE HATHAWAY INC-CL B

N/A

$100,001 $250,000

1.10

BRISTOL MYERS SQUIBB CO

N/A

$50,001 $100,000

1.11

CELGENE CORP

N/A

$100,001 $250,000

1.12

CHEVRON CORPORATION

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.13

CLOROX COMPANY

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.14

COSTCO WHOLESALE CORP

N/A

$100,001 $250,000

Dividends

$1,001 - $2,500

1.15

CVS HEALTH CORP

N/A

$100,001 $250,000

Dividends

$1,001 - $2,500

1.16

DANAHER CORP

N/A

$100,001 $250,000

Dividends

$201 - $1,000

None (or less
than $201)
Dividends

$1,001 - $2,500
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1.17

DISNEY WALT CO NEW

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.18

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$15,001 $50,000

1.19

DU PONT E I DE NEMOURS & CO

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

1.20

EXXONMOBIL CORP

N/A

$50,001 $100,000

Dividends

$2,501 - $5,000

1.21

FACEBOOK INC-A

N/A

$50,001 $100,000

None (or less
than $201)

1.22

FORTIVE CORP

N/A

None (or less
than $1,001)

None (or less
than $201)

1.23

GENERAL ELECTRIC CORP

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.24

GILEAD SCIENCES INC

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.25

HONEYWELL INTERNATIONAL INC

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.26

JOHNSON & JOHNSON

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.27

MANHATTAN ASSOCS INC

N/A

$50,001 $100,000

1.28

MASTERCARD INC CL A

N/A

$100,001 $250,000

Dividends

$1,001 - $2,500

1.29

MCDONALDS CORP

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.30

MICROSOFT CORP

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.31

NOVARTIS AG SPONS ADR

N/A

None (or less
than $1,001)

Dividends

$1,001 - $2,500

1.32

OCCIDENTAL PETE CORP

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1.33

SCHLUMBERGER LTD

N/A

$100,001 $250,000

Dividends

$1,001 - $2,500

1.34

STARBUCKS CORP

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

1.35

T ROWE PRICE NEW HORIZONS FUND

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

1.36

T ROWE PRICE NEW HORIZONS FUND

N/A

None (or less
than $1,001)

Capital Gains

$2,501 - $5,000

1.37

U.S. TREASURY BILLS

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

1.38

U.S. TREASURY NOTES

N/A

$50,001 $100,000

Dividends

$201 - $1,000

1.39

UNION PAC CORP

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.40

UNITED TECHNOLOGIES CORP

N/A

$100,001 $250,000

Dividends

$2,501 - $5,000

1.41

VANGUARD FTSE DEVELOPED MARKETS ETF

Yes

$100,001 $250,000

$2,501 - $5,000

1.42

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$100,001 $250,000

$2,501 - $5,000

1.43

VANGUARD MID CAP INDEX-ADM

Yes

$100,001 $250,000

$1,001 - $2,500

1.44

VANGUARD REIT ETF

Yes

$100,001 $250,000

$5,001 - $15,000

1.45

VANGUARD SMALL-CAP INDEX-ADM

Yes

$100,001 $250,000

$1,001 - $2,500

1.46

VISA INC CL A

N/A

$100,001 $250,000

2

TD Canada Trust

N/A

$50,001 $100,000

None (or less
than $201)

3

US bank account #1 (cash)

N/A

$50,001 $100,000

None (or less
than $201)

Dividends

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

4

US bank account #2 (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

5

US bank account #3 (cash)

N/A

$50,001 $100,000

None (or less
than $201)

6

Residential Real Estate 16 Tuckahoe Lane,
Southampton, NY

N/A

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

None (or less
than $201)

7

Inherited Trust #2

7.1

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$15,001 $50,000

None (or less
than $201)

7.2

U.S. TREASURY NOTES

N/A

$50,001 $100,000

Dividends

$201 - $1,000

7.3

Schlumberger Ltd

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.4

GENERAL ELECTRIC CORP

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

7.5

OCCIDENTAL PETE CORP

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

7.6

DANAHER CORP

N/A

$15,001 $50,000

7.7

BRISTOL MYERS SQUIBB CO

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.8

CVS HEALTH CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.9

APPLE INC

N/A

$15,001 $50,000

$201 - $1,000

7.10

CLOROX COMPANY

N/A

$15,001 $50,000

None (or less
than $201)

7.11

Costco Wholesale Corp

N/A

$15,001 $50,000

None (or less
than $201)

7.12

VISA INC CL A

N/A

$50,001 $100,000

None (or less
than $201)

Dividends

$201 - $1,000

 #

DESCRIPTION

7.13

JOHNSON & JOHNSON

7.14

Honeywell Intl Inc

7.15

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

$50,001 $100,000

Dividends

$1,001 - $2,500

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

EXXONMOBIL CORP

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

7.16

3M CO

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

7.17

PERRIGO CO PLC

N/A

$1,001 - $15,000

7.18

V.F. CORP

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

7.19

BANK OF AMERICA CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.20

GILEAD SCIENCES INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.21

T ROWE PRICE GROUP INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.22

UNION PAC CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.23

NOVARTIS AG SPONS ADR

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.24

DISNEY WALT CO NEW

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.25

First Republic Bank stock

N/A

$15,001 $50,000

None (or less
than $201)

7.26

FORTIVE CORP

N/A

None (or less
than $1,001)

None (or less
than $201)

7.27

MICROSOFT CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.28

PROCTER & GAMBLE CO

N/A

$15,001 $50,000

Dividends

$201 - $1,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

7.29

STARBUCKS CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7.30

VANGUARD MID CAP INDEX-ADM

Yes

$15,001 $50,000

$201 - $1,000

7.31

VANGUARD FTSE ALL-WORLD EX-US

Yes

$15,001 $50,000

$1,001 - $2,500

7.32

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$15,001 $50,000

$201 - $1,000

7.33

VANGUARD REIT ETF

Yes

$15,001 $50,000

$1,001 - $2,500

7.34

VANGUARD SMALL-CAP ETF

Yes

$15,001 $50,000

$201 - $1,000

7.35

AKAMAI TECHNOLOGIES INC

N/A

$15,001 $50,000

None (or less
than $201)

7.36

ALPHABET INC CL A

N/A

$15,001 $50,000

None (or less
than $201)

7.37

ALPHABET INC CL C

N/A

$15,001 $50,000

None (or less
than $201)

7.38

AMAZON.COM INC

N/A

$50,001 $100,000

None (or less
than $201)

7.39

BERKSHIRE HATHAWAY INC-CL B

N/A

$15,001 $50,000

None (or less
than $201)

7.40

CELGENE CORP

N/A

$15,001 $50,000

None (or less
than $201)

7.41

CHEVRON CORPORATION

N/A

$1,001 - $15,000

None (or less
than $201)

7.42

FACEBOOK INC-A

N/A

$15,001 $50,000

None (or less
than $201)

7.43

MANHATTAN ASSOCS INC

N/A

$15,001 $50,000

None (or less
than $201)

7.44

NXP SEMICONDUCTORS

N/A

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

7.45

THERMO FISHER SCIENTIFIC INC

N/A

$15,001 $50,000

None (or less
than $201)

8

Inherited Trust #1

8.1

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$1,001 - $15,000

None (or less
than $201)

8.2

US Treasury Notes

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.3

3M CO

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.4

APPLE INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.5

BRISTOL MYERS SQUIBB CO

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.6

CLOROX COMPANY

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.7

COSTCO WHOLESALE CORP

N/A

$1,001 - $15,000

8.8

CVS HEALTH CORP

N/A

$15,001 $50,000

8.9

DANAHER CORP

N/A

$1,001 - $15,000

8.10

DISNEY WALT CO NEW

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.11

DU PONT E I DE NEMOURS & CO

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.12

EXXONMOBIL CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.13

FORTIVE CORP

N/A

None (or less
than $1,001)

8.14

GENERAL ELECTRIC CORP

N/A

$50,001 $100,000

Dividends

$1,001 - $2,500

8.15

GILEAD SCIENCES INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

None (or less
than $201)
Dividends

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

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

8.16

HONEYWELL INTERNATIONAL INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.17

JOHNSON & JOHNSON

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.18

MCDONALDS CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.19

MICROSOFT CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

8.20

NESTLE SA SPONS ADR

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.21

PERRIGO CO PLC

N/A

None (or less
than $1,001)

8.22

PROCTER & GAMBLE CO

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.23

SCHLUMBERGER LTD

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.24

T ROWE PRICE GROUP INC

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

8.25

THERMO FISHER SCIENTIFIC INC

N/A

$1,001 - $15,000

8.26

UNION PAC CORP

N/A

$15,001 $50,000

8.27

VISA INC CL A

N/A

$15,001 $50,000

None (or less
than $201)

8.28

VANGUARD MID CAP INDEX-ADM

Yes

$15,001 $50,000

$201 - $1,000

8.29

VANGUARD FTSE ALL-WORLD EX-US

Yes

$1,001 - $15,000

$201 - $1,000

8.30

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$1,001 - $15,000

None (or less
than $201)

8.31

VANGUARD REIT ETF

Yes

$1,001 - $15,000

$1,001 - $2,500

8.32

VANGUARD SMALL-CAP ETF

Yes

$15,001 $50,000

$201 - $1,000

8.33

AKAMAI TECHNOLOGIES INC

N/A

$1,001 - $15,000

None (or less
than $201)

None (or less
than $201)

None (or less
than $201)
Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

8.34

ALPHABET INC CL A

N/A

$15,001 $50,000

None (or less
than $201)

8.35

ALPHABET INC CL C

N/A

$15,001 $50,000

None (or less
than $201)

8.36

AMAZON.COM INC

N/A

$15,001 $50,000

None (or less
than $201)

8.37

BERKSHIRE HATHAWAY INC-CL B

N/A

$15,001 $50,000

None (or less
than $201)

8.38

CELGENE CORP

N/A

$15,001 $50,000

None (or less
than $201)

8.39

FACEBOOK INC-A

N/A

$15,001 $50,000

None (or less
than $201)

8.40

GOLDMAN SACHS GROUP INC

N/A

$1,001 - $15,000

None (or less
than $201)

8.41

NXP SEMICONDUCTORS

N/A

$15,001 $50,000

None (or less
than $201)

9

Managed account

9.1

3M CO

N/A

$50,001 $100,000

9.2

ABBOTT LABS

N/A

$1,001 - $15,000

None (or less
than $201)

9.3

ABBVIE INC

N/A

$15,001 $50,000

None (or less
than $201)

9.4

ADVANSIX INC

N/A

None (or less
than $1,001)

None (or less
than $201)

9.5

AFLAC INC

N/A

$15,001 $50,000

None (or less
than $201)

9.6

ALPHABET INC CL A

N/A

$15,001 $50,000

None (or less
than $201)

9.7

AMAZON.COM INC

N/A

$15,001 $50,000

None (or less
than $201)

Dividends

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

9.8

APPLE INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.9

BERKSHIRE HATHAWAY INC-CL B

N/A

$15,001 $50,000

9.10

BRISTOL MYERS SQUIBB CO

N/A

$50,001 $100,000

9.11

CEDAR FAIR LP

N/A

$1,001 - $15,000

None (or less
than $201)

9.12

CELGENE CORP

N/A

$15,001 $50,000

None (or less
than $201)

9.13

CHEVRON CORPORATION

N/A

$1,001 - $15,000

None (or less
than $201)

9.14

CISCO SYSTEMS INC

N/A

$15,001 $50,000

None (or less
than $201)

9.15

COCA COLA CO

N/A

$15,001 $50,000

None (or less
than $201)

9.16

COMCAST CORP-CL A

N/A

$15,001 $50,000

None (or less
than $201)

9.17

CONOCOPHILLIPS

N/A

$15,001 $50,000

None (or less
than $201)

9.18

CVS HEALTH CORP

N/A

$15,001 $50,000

9.19

DANAHER CORP

N/A

$15,001 $50,000

9.20

DISNEY WALT CO NEW

N/A

$15,001 $50,000

9.21

DOW CHEMICAL COMPANY

N/A

$15,001 $50,000

None (or less
than $201)

9.22

DREYFUS TREAS SECURITIES CASH MGT PT

N/A

$1,001 - $15,000

None (or less
than $201)

9.23

EXCELLON RESOURCES INC

N/A

$15,001 $50,000

None (or less
than $201)

None (or less
than $201)
Dividends

Dividends

$201 - $1,000

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

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

9.24

EXXONMOBIL CORP

N/A

$15,001 $50,000

None (or less
than $201)

9.25

FACEBOOK INC-A

N/A

$15,001 $50,000

None (or less
than $201)

9.26

FIRST REPUBLIC BANK stock

N/A

$15,001 $50,000

None (or less
than $201)

9.27

FORD MOTOR CO DEL

N/A

$15,001 $50,000

None (or less
than $201)

9.28

FORTIVE CORP

N/A

$1,001 - $15,000

None (or less
than $201)

9.29

GENERAL ELECTRIC CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.30

GILEAD SCIENCES INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.31

HOME DEPOT INC

N/A

$15,001 $50,000

9.32

HONEYWELL INTERNATIONAL INC

N/A

$50,001 $100,000

9.33

INTEL CORP

N/A

$15,001 $50,000

None (or less
than $201)

9.34

INTL. BUSINESS MACHINES CORP

N/A

$15,001 $50,000

None (or less
than $201)

9.35

JOHNSON & JOHNSON

N/A

$50,001 $100,000

9.36

KRAFT HEINZ CO

N/A

$1,001 - $15,000

None (or less
than $201)

9.37

MANHATTAN ASSOCS INC

N/A

$15,001 $50,000

None (or less
than $201)

9.38

MATTHEWS PACIFIC TIGER-INST

N/A

$15,001 $50,000

None (or less
than $201)

9.39

MATTHEWS PACIFIC TIGER-INST

N/A

None (or less
than $1,001)

None (or less
than $201)
Dividends

Dividends

Capital Gains

$201 - $1,000

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

9.40

MCDONALDS CORP

N/A

$15,001 $50,000

9.41

MICROSOFT CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.42

MONDELEZ INTERNATIONAL INC

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.43

PEPSICO INC

N/A

$1,001 - $15,000

None (or less
than $201)

9.44

PHILLIPS 66

N/A

$1,001 - $15,000

None (or less
than $201)

9.45

PROCTER & GAMBLE CO

N/A

$1,001 - $15,000

None (or less
than $201)

9.46

QUALCOMM INC

N/A

$15,001 $50,000

None (or less
than $201)

9.47

ROSS STORES INC

N/A

$15,001 $50,000

None (or less
than $201)

9.48

T ROWE PRICE GROUP INC

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

9.49

UNION PAC CORP

N/A

$15,001 $50,000

Dividends

$201 - $1,000

9.50

UNITED TECHNOLOGIES CORP

N/A

$15,001 $50,000

None (or less
than $201)

9.51

VANGUARD FTSE EMERGING MARKETS ETF

Yes

$15,001 $50,000

$201 - $1,000

9.52

VANGUARD MID CAP INDEX-ADM

Yes

$15,001 $50,000

$201 - $1,000

9.53

VANGUARD REIT ETF

Yes

$50,001 $100,000

$2,501 - $5,000

9.54

VANGUARD SMALL-CAP INDEX-ADM

Yes

$15,001 $50,000

$201 - $1,000

9.55

VISA INC CL A

Yes

$15,001 $50,000

$201 - $1,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

9.56

WELLS FARGO & CO

N/A

$15,001 $50,000

Dividends

$201 - $1,000

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

 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).