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
Gottlieb, Scott
Commissioner of Food and Drugs, Department of Health & Human Services
Other Federal Government Positions Held During the Preceding 12 Months:
None
Names of Congressional Committees Considering Nomination:
●
Committee on Health, Education, Labor, and Pensions

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/ Gottlieb, Scott [electronically signed on 03/17/2017 by Gottlieb, Scott 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/ Fischmann, Elizabeth, Certifying Official [electronically signed on 03/28/2017 by Fischmann, Elizabeth in Integrity.gov]

Other review conducted by
/s/ Hall, Randall, Ethics Official [electronically signed on 03/28/2017 by Hall, Randall in Integrity.gov]

U.S. Office of Government Ethics Certification
/s/ Shaub, Walter M, Certifying Official [electronically signed on 03/28/2017 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

American Enterprise Institute

Washington, DC,
District of
Columbia

Non-Profit

Resident Fellow

2/2007

Present

2

New Enterprise Associates

See Endnote

Chevy Chase,
Maryland

Corporation

Venture Partner

9/2007

Present

3

New York University School of Medicine

See Endnote

New York, New
York

University/Colle
ge

Clinical
Assistant
Professor

1/2011

Present

4

T.R. Winston & Company

See Endnote

Los Angeles,
California

Corporation

Managing
Director

4/2013

Present

5

Society of Hospital Medicine

See Endnote

Philadelphia,
Pennsylvania

Non-Profit

Independent
Member of the
Policy Board

9/2011

Present

6

BDO Center for Healthcare Excellence &
Innovation

New York, New
York

Corporation

Independent
Senior Advisor

3/2016

Present

7

GlaxoSmithKline plc

Philadelphia,
Pennsylvania

Corporation

Independent
Member of the
R&D Portfolio
Investment
Board

1/2010

Present

8

Daichii Sankyo U.S.

Parsippany,
New Jersey

Corporation

Independent
Member of the
Board of
Directors

4/2015

Present

9

Tolero Pharmaceuticals

Lehi, Utah

Corporation

Independent
Member of the
Board of
Directors

3/2015

12/2016

10

Glytec

Greenville,
South Carolina

Corporation

Independent
Member of the
Board of
Directors

3/2013

Present

 #

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

11

MedAvante

Princeton, New
Jersey

Corporation

Independent
Member of the
Board of
Directors

9/2007

Present

12

Gradalis and Strike Bio

Dallas, Texas

Corporation

Independent
Member of the
Board of
Directors

6/2014

3/2017

13

CombiMatrix

Irvine, California

Corporation

Independent
Member of the
Board of
Directors

1/2009

12/2016

14

American Pathology Partners (AP2)

See Endnote

Nashville,
Tennessee

Corporation

Member of the
Board of
Directors

3/2012

Present

15

Tivorsan Pharmaceuticals

See Endnote

Providence,
Rhode Island

Corporation

Acting Co-CEO

12/2016

3/2017

16

Cell BioTherapy, Inc

See Endnote

Los Angeles,
California

Corporation

Acting CEO and
Director

5/2016

Present

17

Emmaus Life Sciences

See Endnote

Los Angeles,
California

Corporation

Member of the
Board of
Directors

8/2015

12/2015

18

Kure

See Endnote

Charlotte, North
Carolina

Corporation

Member of the
Board of
Directors

3/2015

5/2016

19

Forbes Magazine LLC

Jersey City, New
Jersey

Corporation

Contributing
Writer

2/2013

11/2016

20

Scott Gottlieb, MD Consulting

Westport,
Connecticut

Corporation

Sole Proprietor

2/2007

Present

21

Innovating Healthcare LLC

See Endnote

New York, New
York

Corporation

Managing
Member

6/2016

Present

22

YourEncore

See Endnote

Indianapolis,
Indiana

Corporation

Consultant

3/2016

8/2016

23

Collective Health

See Endnote

San Francisco,
California

Corporation

Advisory Board
Member

8/2014

Present

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

DESCRIPTION

EIF

1

American Enterprise Institute (Think Tank)

N/A

2

CREF Global Equities AEI Retirement Plan

Yes

3

New Enterprise Associates (Venture Capital)

N/A

Consulting
Retainer

$280,000

4

BDO Center for Healthcare Excellence &
Innovation

N/A

Consulting
Retainer

$180,000

5

GlaxoSmithKline plc (Drug Company)

See Endnote

N/A

Consulting
Retainer

$87,153

6

Daichii Sankyo U.S. (Drug Company)

See Endnote

N/A

Director Fees

$52,207

7

Tolero Pharmaceuticals (Biotech Company)

N/A

Director Fees

$37,500

8

Tolero Pharmaceuticals Stock Options

Option Exercise

$193,111

9

Forbes Magazine LLC (Publishing Company)

N/A

Retainer

$2,864

10

Eagle Small Cap Growth Fund (MUTF:HRSCX)

Yes

$100,001 $250,000

$2,501 - $5,000

11

PIMCO Total Return Fund (MUTF:PTTRX)

Yes

$15,001 $50,000

$1,001 - $2,500

12

DFA U.S. Small Cap Value Fund
(MUTF:DFSVX)

Yes

$1,001 - $15,000

$201 - $1,000

13

Emmaus Life Sciences (Biotech Company )

N/A

14

American Pathology Partners stock options
(value not readily ascertainable): 220,000
options to purchase shares @ $.04/share
expires 08/13/2022. Vested

15

Gradalis and Strike Bio (Biotech Company)

See Endnote

See Endnote

N/A

VALUE

INCOME TYPE

INCOME
AMOUNT

Salary

$210,916

$100,001 $250,000

None (or less
than $1,001)

None (or less
than $201)

Director Fees

N/A

N/A

$4,500
None (or less
than $201)

Director Fees

$65,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

16

Gradalis and Strike Bio Stock Options (value
not readily ascertainable) Strike Bio 25,000
Options to purchase shares at $1.93/Share
expires 05/15/24; Gradalis 25,000 Options to
purchase shares at 3.16/Share expires
03/21/26 and 25,000 Options to purchase
shares at $3.57/Share expires 05/15/24.
Vested

See Endnote

N/A

None (or less
than $201)

17

Glytec Stock Options (value not readily
ascertainable) 15,000 Options to purchase
shares at $1.35/Share expires 02/13/24 and
5,578 Options to purchase shares at
$7.60/Share expires 02/13/25 and 6,101
Options to purchase shares at $5.71/Share
expires 06/01/26. Vested

See Endnote

N/A

None (or less
than $201)

18

FPA Capital Fund (MUTF:FPPTX)

Yes

$15,001 $50,000

$1,001 - $2,500

19

Marsico Focus Fund (MUTF:MFOCX)

Yes

$15,001 $50,000

$201 - $1,000

20

Scott Gottlieb, MD Consulting (Independent
Consulting Business)

N/A

21

Doubleline Total Return Bond Fund (MUTF:
DLTNX)

Yes

$1,001 - $15,000

$201 - $1,000

22

T Rowe Price Global Stock Fund
(MUTF:PRGSX)

Yes

$50,001 $100,000

$1,001 - $2,500

23

Wintergreen Fund (MUTF:WGRNX)

Yes

$1,001 - $15,000

$201 - $1,000

24

First Eagle Global Fund Class A
(MUTF:SGENX)

Yes

$1,001 - $15,000

$201 - $1,000

25

iShares Select Dividend ETF (NYSE:DVY)

Yes

$1,001 - $15,000

$201 - $1,000

26

Weitz Partners III Opportunity Fund
(MUTF:WPOPX)

Yes

$15,001 $50,000

$1,001 - $2,500

27

Wasatch International Opportunities Fund
(MUTF:WAIOX)

Yes

$15,001 $50,000

$1,001 - $2,500

28

Wasatch Small Cap Growth (MUTF:WAAEX)

Yes

$15,001 $50,000

$1,001 - $2,500

Consulting Fees

INCOME
AMOUNT

$81,767

 #

DESCRIPTION

EIF

VALUE

29

CombiMatrix Options (value not readily
ascertainable) Surrendered in their Entirety
Upon Resignation from the Board of
Directors 12/19/16

N/A

None (or less
than $1,001)

None (or less
than $201)

30

Columbia European Equity Fund
(MUTF:AXEAX)

Yes

$1,001 - $15,000

$201 - $1,000

31

Akre Focus Fund Retail (MUTF:AKREX)

Yes

$15,001 $50,000

$201 - $1,000

32

Franklin Mutual European Fund
(MUTF:TEURX)

Yes

$1,001 - $15,000

$201 - $1,000

33

T. Rowe Price European Stock Fund
(MUTF:PRESX)

Yes

$1,001 - $15,000

$201 - $1,000

34

Oakmark Fund (MUTF:OAKMX)

Yes

$15,001 $50,000

$1,001 - $2,500

35

Longleaf Partners Fund (MUTF:LLPFX)

Yes

$100,001 $250,000

$2,501 - $5,000

36

FPA Crescent Fund (MUTF:FPACX)

Yes

$15,001 $50,000

$1,001 - $2,500

37

Fidelity Japan Smaller Companies
(MUTF:FJSCX)

Yes

$15,001 $50,000

$201 - $1,000

38

Powershares DB Commodity Index ETF
(NYSE:DBC)

Yes

$1,001 - $15,000

$201 - $1,000

39

iShares Select Dividend ETF (NYSE:DVY)

Yes

$1,001 - $15,000

$201 - $1,000

40

iShares MSCI Emerging Markets ETF
(NYSE:EEM)

Yes

$15,001 $50,000

$1,001 - $2,500

41

iShares MSCI Eurozone ETF (NYSE:EZU)

Yes

$15,001 $50,000

$1,001 - $2,500

42

Innovating Healthcare LLC

43

Van Eck Vectors Natural Resources ETF
(NYSE:HAP)

Yes

$1,001 - $15,000

$201 - $1,000

44

Lillis Energy (NASDAQ:LLEX)

N/A

$50,001 $100,000

None (or less
than $201)

See Endnote

See Endnote

N/A

INCOME TYPE

Consulting Fees
(2016)

INCOME
AMOUNT

$49,000

 #

DESCRIPTION

EIF

VALUE

45

Lyrical U.S. Value Equity Fund (MUTF:LYRBX)

Yes

$15,001 $50,000

$1,001 - $2,500

46

Van Eck Vectors Agribusiness ETF
(NYSE:MOO)

Yes

$1,001 - $15,000

$201 - $1,000

47

Pimco Commodity Real Return
(MUTF:PCRDX)

Yes

$1,001 - $15,000

$201 - $1,000

48

iShares TIPS Bond ETF (NYSE:TIP)

Yes

$100,001 $250,000

$2,501 - $5,000

49

SPDR DoubleLine Total Return Tact ETF
(NYSE:TOTL)

Yes

$250,001 $500,000

$2,501 - $5,000

50

Vanguard Index Reit ETF (NYSE:VNQ)

Yes

$15,001 $50,000

$201 - $1,000

51

Vanguard Index Growth ETF (NYSE:VUG)

Yes

$1,001 - $15,000

$201 - $1,000

52

Weitz Partners III Opportunity Fund
(MUTF:WPOPX)

Yes

$15,001 $50,000

$1,001 - $2,500

53

Sector SPDR Energy ETF (NYSE:XLE)

Yes

$50,001 $100,000

$1,001 - $2,500

54

Sector SPDR Utilities ETF (NYSE:XLU)

Yes

$1,001 - $15,000

$201 - $1,000

55

Tivorsan Pharmaceuticals Warrants (value
not readily ascertainable) 256,506 Warrants
to purchase shares at $0.01/Share expires
11/25/20. Vested

56

Combimatrix Corporation

57

Collective Health Options (value not readily
ascertainable) 200,000 options to purchase
shares at $.024/Share expires 08/27/24.
Vested

See Endnote

N/A

None (or less
than $201)

58

Social Reality (NASDAQ:SRAX) Warrants
(value not readily ascertainable) 16,000
warrants to purchase shares at $7.50/Share
expires 10/30/17 and 7,000 warrants to
purchase shares at $5.00/Share expires
08/22/18. Vested

See Endnote

N/A

None (or less
than $201)

See Endnote

INCOME TYPE

No

N/A

INCOME
AMOUNT

None (or less
than $201)

Director Fees

$30,662

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

59

Angion Pharmaceuticals Warrants (value not
readily ascertainable) 85.62 warrants to
purchase shares at $1,247.94/Share expires
09/06/21. Vested

See Endnote

N/A

None (or less
than $201)

60

Synthesis Energy Systems, Inc.
(NASDAQ:SYMX) Warrants (value not readily
ascertainable) 50,000 warrants to purchase
shares at $2.25/Share expires 09/28/17.
Vested

See Endnote

N/A

None (or less
than $201)

61

Lillis Energy, Inc (NASDAQ:LLEX) Warrants
(value not readily ascertainable) 5,000
warrants to purchase shares at
$25.00/Share expires 08/01/17. Vested

See Endnote

N/A

None (or less
than $201)

62

Emmaus Life Sciences, Inc Warrants (value
not readily ascertainable) 54,000 warrants
to purchase shares at $3.50/Share expires
09/11/18. Vested

See Endnote

N/A

None (or less
than $201)

63

Pharma-Bio Serv Inc (NASDAQ:PBSV)
Warrants (value not readily ascertainable)
275,000 warrants to purchase shares at
$1.80/Share expires 12/01/19. Vested

See Endnote

N/A

None (or less
than $201)

64

Prosetta Biosciences Warrants (value not
readily ascertainable) 40,000 warrants to
purchase shares at $4.50/Share expires
02/11/21. Vested

See Endnote

N/A

None (or less
than $201)

65

Neuralstem, Inc (NASDAQ:CUR) Warrants
(value not readily ascertainable) 22,308
warrants to purchase shares at
$39.00/Share expires 08/13/18. Vested

See Endnote

N/A

None (or less
than $201)

66

Inspyr Therapeutics, Inc (NASDAQ:NSPX)
Warrants (value not readily ascertainable)
667 warrants to purchase shares at
$52.50/Share expires 08/20/18 and 889
warrants to purchase shares at
$45.00/Share expires 08/20/18. Vested

See Endnote

N/A

None (or less
than $201)

67

MedAvante Stock Options (value not readily
ascertainable) 50,000 Options to purchase
shares at $3.25/Share. Vested

See Endnote

N/A

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

68

Combimatrix (NASDAQ:CBMX) 4,804 Shares

69

INCOME TYPE

INCOME
AMOUNT

See Endnote

N/A

None (or less
than $1,001)

Cell Biotherapy, Inc Options (value not
readily ascertainable) 101,961 options to
purchase shares at $1.00/Share expires
7/21/26. Vested

See Endnote

N/A

None (or less
than $201)

70

Tolero Pharmaceuticals Contingent Value
Rights (CVR fully vested. Value not readily
ascertainable) 97,946 Shares

See Endnote

N/A

None (or less
than $201)

71

Goldman Sachs & Co. - 01/05/16 (Booked
through WorldWide Speakers Bureau)

N/A

Speaking
Honorarium

$7,500

72

Merck & Co, Inc - 01/25/16 and 03/29/16
(Booked through WorldWide Speakers
Group)

N/A

Speaking
Honorariums

$10,000

73

InVentiv Health Inc. - 01/12/16 (Booked
through WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

74

Lincoln Healthcare HomeCare 100 - 02/8/16
(Booked through WorldWide Speakers
Group)

N/A

Speaker
Honorarium

$11,250

75

Generic Pharmaceutical Association 02/24/16 (Booked through WorldWide
Speakers Group)

N/A

Speaking
Honorarium

$11,250

76

Biogen Inc. - 04/12/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

77

Thermo Fisher Scientific - 06/15/16 (Booked
through WorldWide Speakers Group)

N/A

Speaking
Honorarium

$7,000

78

Institute for International Research 09/21/16 (Booked through WorldWide
Speakers Group)

N/A

Speaking
Honorarium

$7,500

79

Healthcare Distribution Management
Association - 09/27/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

80

University of Tennessee College of Medicine
- 09/28/16 (Booked through WorldWide
Speakers Group)

N/A

Speaking
Honorarium

$7,500

None (or less
than $201)

 #

DESCRIPTION

EIF

81

Lincoln Healthcare Hospital 100 - 10/17/16
(Booked through WorldWide Speakers
Group)

82

INCOME TYPE

INCOME
AMOUNT

N/A

Speaking
Honorarium

$10,000

Health Insights - 10/27/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

83

Stifel, Nicolaus & Company - 10/28/16
(Booked through WorldWide Speakers
Group)

N/A

Speaking
Honorarium

$11,250

84

Mallinckrodt Pharmaceuticals (Delivered in
London) - 11/16/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$22,500

85

Jeffries & Co. London - 11/16/16 (Booked
through WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

86

Johnson & Johnson - 01/17/17 (Booked
through WorldWide Speakers Group)

N/A

Speaking
Honorarium

$11,250

87

Association for Accessible Medicines 02/15/17 (Booked through WorldWide
Speakers Group)

N/A

Speaking
Honorarium

$11,250

88

CVS Health - 03/29/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$4,000

89

National Comprehensive Cancer Network 04/01/16

N/A

Speaking
Honorarium

$3,000

90

American Academy of Orthopedic Surgeons
- 05/06/16

N/A

Speaking
Honorarium

$3,000

91

HealthCare Royalty Partners - 06/07/16

N/A

Speaking
Honorarium

$5,000

92

Mikart Pharma - 09/28/16

N/A

Speaking
Honorarium

$5,000

93

Association of Independent Physicians 11/05/16

N/A

Speaking
Honorarium

$5,000

94

GTCR - 02/25/16 (Booked through
WorldWide Speakers Group)

N/A

Speaking
Honorarium

$5,000

95

YourEncore

N/A

Consulting Fees

$43,200

See Endnote

VALUE

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

96

iShares U.S. Energy ETF (NYSE:IYE)

Yes

$15,001 $50,000

$201 - $1,000

97

VanEck Vector Gold ETF (NYSE:GDX)

Yes

$15,001 $50,000

$1,001 - $2,500

98

T.R. Winston & Company (Merchant Bank)

N/A

Retainer/Bonus

$1,849,784

99

Op Ed Article. The Four Legs of the New
Health-Care System, The Wall Street Journal
- 11/30/16

N/A

Article
Honorarium

$200

100

Op Ed Article. Clinton’s Stealthy Single-Payer
Gambit, The Wall Street Journal - 09/14/16

N/A

Article
Honorarium

$600

101

Op Ed Article. How Obama’s FDA Keeps
Generic Drugs off the Market, The Wall
Street Journal - 08/19/16

N/A

Article
Honorarium

$600

102

Op Ed Article. Applying to Zika the Forgotten
Lessons of Ebola, The Wall Street Journal 02/09/16

N/A

Article
Honorarium

$600

103

Op Ed Article. Warning: Medicare May Be
Bad for Your Heart, The Wall Street Journal 04/11/16

N/A

Article
Honorarium

$600

104

NEA 14 Limited Partnership (passive
investor)

See Endnote

No

None (or less
than $1,001)

None (or less
than $201)

105

NEA 15 Limited Partnership (passive
investor)

See Endnote

No

None (or less
than $1,001)

None (or less
than $201)

106

MedAvante Preferred Stock - 95 Series A
Preferred Shares and .26% ownership of the
MedAvante Co-Invest Fund, for which the
only underlying asset is MedAvante
Preferred Stock

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

107

U.S. Renal Care Preferred Stock - 82.946
Class A Preferred Units

See Endnote

N/A

$250,001 $500,000

None (or less
than $201)

108

Radiology Partners Common Stock - 50,000
common shares

See Endnote

N/A

$100,001 $250,000

None (or less
than $201)

109

Bright Health Preferred Stock - 9,796
common and series A preferred shares

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

110

Collective Health Preferred Stock - 66,540
series B preferred shares

111

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

Golden State Medical Preferred Stock 75,000 preferred shares at $1.00/share

See Endnote

N/A

$50,001 $100,000

None (or less
than $201)

112

Angion Pharmaceuticals Preferred Stock - 20
preferred shares

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

113

Emmaus Life Sciences, Inc Common Stock 5,988 common shares at $3.50/share

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

114

Cell BioTherapy Inc Common Stock - 25,000
common shares

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

115

Kure Common Stock - 97,000 common
shares

See Endnote

N/A

$1,001 - $15,000

None (or less
than $201)

116

Chanticleer Holdings (NASDAQ:HOTR)
Warrants - 8,000 warrants to purchase
shares at $1.25/share expires 10/27/19

See Endnote

N/A

None (or less
than $1,001)

None (or less
than $201)

117

Emmaus Life Sciences, Inc Warrants - 5,988
warrants to purchase shares at $3.50/share
expires 09/11/18

See Endnote

N/A

None (or less
than $1,001)

None (or less
than $201)

118

Glytec Restricted Stock - 17,738 restricted
shares

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

119

MedImpact Speech (Booked through
WorldWide Speakers Group) - 03/09/17

N/A

Speaking
Honorarium

$11,250

120

Pharmacy Benefit Managers Institute
Speech (Booked through WorldWide
Speakers Group) - 03/06/17

N/A

Speaking
Honorarium

$11,250

121

Receivable: GlaxoSmithKline Fourth Quarter
2016 Payment

N/A

$1,001 - $15,000

None (or less
than $201)

122

Receivable: GlaxoSmithKline First Quarter
2017 Payment

N/A

$1,001 - $15,000

None (or less
than $201)

123

Tolero Pharmaceuticals Common Stock

N/A

None (or less
than $1,001)

See Endnote

INCOME TYPE

Capital Gains

INCOME
AMOUNT

$100,001 $1,000,000

 3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

American Enterprise Institute

Washington, DC,
District of
Columbia

I will continue to participate in this defined
contribution plan. The plan sponsor will not make
further contributions after my separation.

6/2002

2

New York University School of Medicine

New York, New
York

I will relinquish this affiliation

1/2011

3

Tolero Pharmaceuticals

Lehi, Utah

Options have been fully exercised and sold. I will
divest myself of the remaining contingent value right.

3/2015

4

American Pathology Partners (AP2)

Nashville,
Tennessee

I will divest my vested stock options. All shares vested

3/2012

5

Gradalis and Strike Bio

Dallas, Texas

I will divest my vested stock options. All shares vested

6/2014

6

Glytec

Greenville,
South Carolina

I will divest my vested stock options. I will divest my
restricted shares. All shares vested

3/2013

7

MedAvante

Princeton, New
Jersey

I will divest my vested stock options. All shares vested

9/2007

8

CombiMatrix

Irvine, California

Unvested restricted stock units (RSUs) and all options
were forfeited in their entirety upon my prior
resignation from Board of Directors

1/2009

9

Scott Gottlieb, MD

Westport,
Connecticut

I will continue to participate in this defined
contribution plan. The plan sponsor will not make
further contributions after my separation.

9/2009

10

American Enterprise Institute HSA

Washington,
District of
Columbia

The HSA account will be rolled into a new HSA under
the FEHBP

11/2007

11

Cell BioTherapy, Inc

Los Angeles,
California

I will divest my vested stock options. All shares vested

5/2016

12

Collective Health

San Francisco,
California

I will divest my vested stock options. All shares vested

7/2014

13

Social Reality

See Endnote

Los Angeles,
California

I will divest my stock warrants

8/2013

14

Angion Pharmaceuticals

See Endnote

Uniondale, New
York

I will divest my stock warrants

9/2016

See Endnote

 #

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

15

Tivorsan Pharmaceuticals

See Endnote

Providence,
Rhode Island

I will divest my stock warrants

1/2016

16

Synthesis Energy Systems, Inc

See Endnote

Houston, Texas

I will divest my stock warrants

9/2014

17

Lillis Energy, Inc

See Endnote

Houston, Texas

I will divest my stock warrants

1/2014

18

Emmaus Life Sciences

See Endnote

Los Angeles,
California

I will divest my stock warrants

9/2013

19

Pharma-Bio Serv Inc

See Endnote

Plymouth
Meeting,
Pennsylvania

I will divest my stock warrants

4/2015

20

Prosetta Biosciences

See Endnote

San Francisco,
California

I will divest my stock warrants

2/2016

21

Neuralstem, Inc

See Endnote

Germantown,
Maryland

I will divest my stock warrants

8/2013

22

Inspyr Therapeutics, Inc

See Endnote

San Antonio,
Texas

I will divest my stock warrants

8/2013

23

MedAvante

Hamilton, New
Jersey

There could be one-time cash payment to
compensate for past, uncompensated consulting and
board service from 2007-2017 in the event of a
financial sale of the company, in the amount of
$400,000.

9/2007

24

GlaxoSmithKline

Philadelphia,
Pennsylvania

Pursuant to the company's compensation
arrangement for my service on the Product
Investment Board (PIB) I will receive a payment within
two months for my service in the fourth quarter of
2016, from October 1, 2016 to December 31, 2016. It
will be in the amount of $15,000, reflecting my
contracted retainer of $5,000 per month. I will also
receive a $15,000 payment for my service during the
first quarter of 2017, which will be invoiced on the
last day of March 2017 and be payable within 60
days, pursuant to the Company's 60-day payment
terms.

1/2010

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

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

American Enterprise Institute

Washington, DC,
District of
Columbia

Resident Fellow

2

New Enterprise Associates

Chevy Chase,
Maryland

Venture Partner

3

T.R. Winston & Company

Los Angeles,
California

Managing Director

4

BDO Center for Healthcare Excellence &
Innovation

New York, New
York

Independent Senior Advisor

5

GlaxoSmithKline plc

Philadelphia,
Pennsylvania

Independent Member of the Portfolio Investment Board

6

Daichii Sankyo U.S.

Parsippany,
New Jersey

Independent Member of the Board of Directors

7

Tolero Pharmaceuticals

Lehi, Utah

Independent Member of the Board of Directors

8

Gradalis and Strike Bio

Dallas, Texas

Independent Member of the Board of Directors

9

Combimatrix Corporation

Irvine, California

Independent Member of the Board of Directors

10

Vertex Pharmaceuticals (Through
YourEncore)

See Endnote

Boston,
Massachusetts

Independent Consultant

11

Bristol Meyers Squibb (Also paid through
Innovating Healthcare LLC)

See Endnote

Princeton, New
Jersey

Independent Consultant

12

Omeros

Seattle,
Washington

Independent Consultant

13

Avalere Health

Washington,
District of
Columbia

Independent Consultant

14

MedImpact Healthcare Systems, Inc

La Jolla,
California

Speaking Honorariums (booked through WorldWide Speakers Group)

15

Jeffries & Company, Inc.

New York, New
York

Speaking Honorariums (booked through WorldWide Speakers Group)

16

Goldman Sachs & Co

New York, New
York

Speaking Honorarium (booked through WorldWide Speakers Group)

17

Merck & Co, Inc.

Kenilworth, New
Jersey

Speaking Honorariums (booked through WorldWide Speakers Group)

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

18

inVentiv Health Inc.

New York, New
York

Speaking Honorarium (booked through WorldWide Speakers Group)

19

Lincoln Healthcare HomeCare 100

Southport,
Connecticut

Speaking Honorarium (booked through WorldWide Speakers Group)

20

Generic Pharmaceutical Association

Washington,
District of
Columbia

Speaking Honorarium (booked through WorldWide Speakers Group)

21

Biogen Idec

Boston,
Massachusetts

Speaking Honorarium (booked through WorldWide Speakers Group)

22

Thermo Fisher Scientific

Waltham,
Massachusetts

Speaking Honorarium (booked through WorldWide Speakers Group)

23

Institute for International Research

New York, New
York

Speaking Honorarium (booked through WorldWide Speakers Group)

24

Healthcare Distribution Management
Association

Arlington,
Virginia

Speaking Honorarium (booked through WorldWide Speakers Group)

25

University of Tennessee College of Medicine

Chattanooga,
Tennessee

Speaking Honorarium (booked through WorldWide Speakers Group)

26

Lincoln Healthcare Hospital 100

Southport,
Connecticut

Speaking Honorarium (booked through WorldWide Speakers Group)

27

Health Insights

Baton Rouge,
Louisiana

Speaking Honorarium (booked through WorldWide Speakers Group)

28

Stifel, Nicolaus & Company

New York, New
York

Speaking Honorarium (booked through WorldWide Speakers Group)

29

Mallinckrodt Pharmaceuticals

St. Louis,
Missouri

Speaking Honorarium (booked through WorldWide Speakers Group)

30

Johnson & Johnson

New Bunswick,
New Jersey

Speaking Honorarium (booked through WorldWide Speakers Group)

31

Association for Accessible Medicines

Washington,
District of
Columbia

Speaking Honorarium (booked through WorldWide Speakers Group)

32

Clinical Care Targeted Communications

Cranbury, New
Jersey

Speaking Honorariums

See Endnote

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

33

National Comprehensive Cancer Network

Fort
Washington,
Pennsylvania

Speaking Honorariums

34

Academy of Managed Care Pharmacy

Alexandria,
Virginia

Speaking Honorarium (booked through WorldWide Speakers Group)

35

Bausch & Lomb

See Endnote

Rochester, New
York

Speaking Honorarium

36

Kaye Scholer LLP

See Endnote

New York, New
York

Independent Expert

37

Cahill Gordon & Reindel

See Endnote

New York, New
York

Independent Expert

38

Morgan, Lewis & Bockius LLP

See Endnote

New York, New
York

Independent Expert

39

DCI Group LLC

Washington,
District of
Columbia

Unpublished Expert White Paper

40

Coda Octopus Group, Inc

New York, New
York

Payment made to T.R. Winston for professional services

41

FujiFilm USA

Boston,
Massachusetts

Payment made to T.R. Winston for professional services

42

KURE

Charlotte, North
Carolina

Payment made to T.R. Winston for professional services

43

Synthesis Energy

Houston, Texas

Payment made to T.R. Winston for professional services

44

Angion Pharmaceuticals

Uniondale, New
York

Payment made to T.R. Winston for professional services

45

Celgene Corporation

Summit, New
Jersey

Payment made to T.R. Winston for professional services

46

Prosetta BioSciences

San Francisco,
California

Payment made to T.R. Winston for professional services

47

Pharma-Bio Serv

Plymouth
Meeting,
Pennsylvania

Payment made to T.R. Winston for professional services

48

Glytec

Greenville,
South Carolina

Independent Member of the Board of Directors

See Endnote

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

49

Tivorsan Pharmaceuticals

Providence,
Rhode Island

Payment made to T.R. Winston for professional services

50

Cell BioTherapy, Inc

Los Angeles,
California

Acting CEO and Director

51

Scott Gottlieb, MD Consulting

Westport,
Connecticut

Independent Consulting Business

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

DESCRIPTION

EIF

VALUE

1

Doubleline Total Return Bond Fund
(MUTF:DLTNX)

Yes

$15,001 $50,000

$201 - $1,000

2

Fidelity Dividend Growth (MUTF:FDGFX)

Yes

$1,001 - $15,000

None (or less
than $201)

3

Fidelity Diversified International
(MUTF:FDIVX)

Yes

$1,001 - $15,000

None (or less
than $201)

4

Fidelity Equity Income (MUTF:FEQIX)

Yes

$1,001 - $15,000

None (or less
than $201)

5

Fidelity Mid Cap Stock (MUTF:FMCSX)

Yes

$1,001 - $15,000

None (or less
than $201)

6

Janus Overseas Fund (MUTF:JAOSX)

Yes

$1,001 - $15,000

$201 - $1,000

7

Oakmark International Fund (MUTF:OAKIX)

Yes

$1,001 - $15,000

$201 - $1,000

8

Fairholme Fund (MUTF:FAIRX)

Yes

$1,001 - $15,000

$201 - $1,000

9

Wintergreen Fund (MUTF:WGRNX)

Yes

$1,001 - $15,000

$201 - $1,000

6. Other Assets and Income

INCOME TYPE

INCOME
AMOUNT

 #

DESCRIPTION

EIF

VALUE

1

Social Reality Stock (NASDAQ:SRAX)

N/A

$50,001 $100,000

None (or less
than $201)

2

SPDR DoubleLine Total Return Tactical ETF
(NYSE:TOTL)

Yes

$250,001 $500,000

$2,501 - $5,000

3

iShares TIPS Bond ETF (NYSE:TIP)

Yes

$50,001 $100,000

$1,001 - $2,500

4

Vanguard REIT Index Fund ETF (NYSE:VNQ)

Yes

$1,001 - $15,000

$201 - $1,000

5

U.S. Bank Account (cash)

N/A

$50,001 $100,000

None (or less
than $201)

6

U.S. Bank Account (cash)

N/A

$15,001 $50,000

None (or less
than $201)

7

U.S. Bank Account (cash)

N/A

$15,001 $50,000

None (or less
than $201)

8

New Hampshire Moderate Growth Fidelity
529

Yes

$100,001 $250,000

None (or less
than $201)

9

U.S. Bank Account (cash)

N/A

$50,001 $100,000

None (or less
than $201)

10

Coinbase Account (Bitcoin)

N/A

$15,001 $50,000

Capital Gains

$2,501 - $5,000

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

Student Loan

$15,001 $50,000

2002

3.50%

20 Year Fixed

See Endnote

INCOME TYPE

INCOME
AMOUNT

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

8. Liabilities
#

CREDITOR NAME

1

Navient Sallie Mae

See Endnote

 #

CREDITOR NAME

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

2

Navient MedLoans

Student Loan

$15,001 $50,000

2002

3.00%

20 Year Variable

3

TD Bank

Exercised Line
of Credit

$100,001 $250,000

2016

3.25%

Variable Line of
Credit

4

Caliber Home Loan

Mortgage on
Personal
Residence

$250,001 $500,000

2013

3.50%

30 Year Fixed

5

Bank of America

Mortgage on
Personal
Residence

$500,001 $1,000,000

2010

4.35%

30 Year Fixed

See Endnote

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

Endnotes
PART

#

ENDNOTE

1.

2

Venture Partner was Dr. Gottlieb's working title. He received no equity as part of his compensation.
The notation of "partner" in his title should not be assumed to imply that he had carried interest in the
firm's venture funds. He had no such equity interest.

1.

3

Uncompensated Postion

1.

4

Managing Director was Dr. Gottlieb's working title. He received no equity in the firm as part of his
compensation. He was paid for consulting services. His working title should not be assumed to imply
that he had carried interest. He had no such equity interest.

1.

5

Uncompensated Postion

1.

14

New Enterprise Associates (NEA) portfolio company. Position held in conjunction with professional
responsibilities to NEA.

1.

15

Position held through considerations related to T.R. Winston

1.

16

Position held through considerations related to T.R. Winston

 PART

#

ENDNOTE

1.

17

Position held through considerations related to T.R. Winston

1.

18

Position held through considerations related to T.R. Winston. Uncompensated Postion

1.

21

Contracting entity for independent consulting work related to Bristol Meyers Squibb. This LLC is
currently inactive since December 2016.

1.

22

Contracting entity for independent consulting work related to Vertex Pharmaceuticals

1.

23

Position held through considerations related to NEA

2.

5

Total consulting fee includes reimbursed travel expenses

2.

6

This total reported fee includes reimbursed travel expenses. It will be reported on the CMS "Open
Payments" website in a category marked "promotional speaking/other."

2.

8

Options fully exercised and sold

2.

14

Granted for Board of Directors Service. All shares vested

2.

16

Granted for Board of Directors Service. All shares vested. Line of business: biotech company

2.

17

Granted for Board of Directors Service. All shares vested. Line of business: medical software company

2.

29

Granted for Board of Directors Service

2.

42

Contracting entity for independent consulting work related to Bristol Meyers Squibb. This LLC is
currently inactive.

2.

55

Related to professional services delivered by T.R. Winston. Line of business: biotech company

2.

57

Option grant related to advisory board service. All shares vested. Line of business: health benefits
company

2.

58

Related to professional services delivered by T.R. Winston

2.

59

Related to professional services delivered by T.R. Winston. Line of business: biotech company

2.

60

Related to professional services delivered by T.R. Winston

2.

61

Related to professional services delivered by T.R. Winston

2.

62

Related to professional services delivered by T.R. Winston. Line of business: biotech company

2.

63

Related to professional services delivered by T.R. Winston

2.

64

Related to professional services delivered by T.R. Winston. Line of business: biotech company

2.

65

Related to professional services delivered by T.R. Winston

 PART

#

ENDNOTE

2.

66

Related to professional services delivered by T.R. Winston

2.

67

Granted for Board of Directors Service. All shares vested. Line of business: e-scribe software company

2.

68

All shares sold

2.

69

Granted for Board of Directors and Officer Services. All shares vested. Line of business: biotech
company

2.

70

CVR entitling holder to payments based on achievement of future clinical milestones.

2.

95

For independent consulting work related to Vertex Pharmaceuticals

 PART

#

ENDNOTE

2.

104

All Investments in NEA 14 Have Been Fully Divested
Portfolio Investments
42Floors Inc. - Website to find office space rentals and commercial real estate listings
Acquia Inc. - Enterprise platform to combine content, commerce, and community
Adaptimmune Therapeutics plc - Biopharma company developing affinity enhanced T cell receptor
(TCR) engineered T cells to treat hematologic and solid tumor cancers
Advanced Cardiac Therapeutics, Inc. - Early-stage medical device company developing a novel cardiac
catheter ablation technology
Ajax Vascular, Inc. - Medical device company focused on treatment of peripheral vascular disease
Alfred Club Inc. - Concierge service that manages weekly personal needs
Alimera Sciences, Inc - Engages in the research, development, and commercialization of prescription
ophthalmic pharmaceuticals.
Appian Corporation - Cloud-based platform for building custom software
Apropose, Inc.- Web design mining platform
Barkly Protects, Inc. - Defense against malware that gets past antivirus
BetterDoctor, Inc. - Provides Web and mobile apps that let users to find doctors
Bitglass, Inc.- Cloud computing service to protect, secure, track sensitive corporate data
Blend Systems, Inc - Offers Blend, a college-exclusive application that lets students to share their
experiences and get stuff from their favorite brands
BlisPay Inc - Develops a mobile application for paying bills online
BloomReach, Inc - Develops and provides Big Data marketing applications for Internet retailers.
Bonsai AI, Inc.- An AI platform
Braintree, Inc.- Leading provider of online and mobile payment solutions
Branch Metrics, Inc. - A tool that tracks and encourages organic growth
BVCF III-A, L.P. - Healthcare/life sciences - International fund operating in China
Canopy Tax, Inc. - Project management software for accountants and tax professionals.
Cape Productions, Inc. - End-to-end drone video service.

 PART

#

ENDNOTE
Captora Inc. - Inbound marketing acceleration software solutions
Care Zone, Inc. - Social utility site that provides communication and productivity tools to those caring
for children, senior parents or loved ones
Casper Sleep Inc. - Online e-Commerce brand that sells mattresses and sleepwear
Cerecor Inc. - Clinical stage biopharmaceutical company focused on the development of drugs to treat
diseases of the central nervous system
Champions Oncology, Inc. personalized cancer treatment options for patients and translational
oncology solutions for pharma and biotech
ClearMotion, Inc. - Develops and creates automotive technologies (ClearMotion)
Cleave Biosciences, Inc. - Drug discovery company developing orally-administrable inhibitors
Cohere Technologies, Inc. - Developer of Orthogonal Time Frequency Space (OTFS)
CollectiveHealth, Inc - Provider of a SaaS solution that enables businesses to self-insure
Console Connect Inc - Building a network of distributed Internet Exchange Points (IXPs) that enable a
customer to virtually extend its network and directly connect with peers
Cydan, LLC - Orphan drug accelerator
Cyence, Inc - Platform for economic modeling of cyber risk for the insurance industry
D and E Cowboys Holdings, Inc. - Enables consumers to be aware of nearby people and connections by
leveraging social data
D2L Inc - Providing cloud-based learning management systems for higher education, K-12 and Fortune
1000 companies
DataBricks, Inc. - An open source cluster computing framework for in memory processing of massive
scale data sets
DataRobot, Inc. - Develops machine learning automation software for enterprises.
DataVisor, Inc.- Provides security analytics for consumer facing web and mobile sites
Datrium, Inc - Building network attached storage solutions
Duolingo, Inc. - Offers a language learning website
EarLens Corporation - Medical device company developing a next -generation hearing aid which uses
light to transmit sound to achieve high definition sound performance

 PART

#

ENDNOTE
Edimer Pharmaceuticals, Inc.- Develops products for patients with X-linked hypohidrotic ectodermal
dysplasia (XLHED)
Edmodo, Inc. - Secure social learning platform for teachers, students, and parents
Elasticsearch Global B.V. - Provides solutions to help a client to take data from various sources and
formats
Envisia Therapeutics Inc - Engaged in the discovery and development of ocular therapeutics for the
critical needs in ophthalmology.
Exploramed IV, L.L.C. - A medical device incubator
ExploraMed NC7, Inc - OTC device that reimagines the traditional breast pump
FabricLock, Inc - Stealth-mode network security product
Folloze, Inc. - Provides Account Based Marketing (ABM) Sales Platform
Forter Ltd. - Provides accurate frictionless fraud prevention for enterprise online retail.
Foundry Innovation & Research 1, Limited (FIRE1) - Focuses on developing novel remote monitoring
devices
Framebridge, Inc. - A mobile and online custom framing service
Fugue, Inc. - A cloud operations and management company
FusionOps, Inc. - Provides cloud-based supply chain intelligence solutions.
Fyusion, Inc. - Company built on the combination of 3D computer vision, mobile, and machine learning
Gainspeed, Inc.- Operates a virtual Converged Cable Access Platform
Galera Therapeutics, Inc. - A clinical-stage biotechnology company, develops drugs targeting oxygen
metabolic pathways
Global Uprising, PBC - d/b/a - Cotopaxi - Manufactures, and sells outdoor products
GoEuro Corp.Europe's first online service to aggregate all major travel modes
Graphite Systems, Inc. - Developing and building performance computing appliances using Flash as
main memory
Growth Equity Opportunities Fund III, LLC - NEA sub-partnership investment vehicle focused on life
sciences growth companies
GuideSpark, Inc. - Cloud-based application for developing customized, short-form videos for employee
communications on HR topics

 PART

#

ENDNOTE
Gushengtang (Cayman) Ltd. - A fast growing TCM clinic operator in China
Houzz Inc - Leading platform for home remodeling and design
Hyperfair, Inc - A 3D virtual platform that allows anyone to host, exhibit or attend an event from
anywhere in the world
Igneous Systems, Inc - Builds and maintains enterprise data center infrastructures.
iHorizon Group - Leading one-stop service platform for Chinese students seeking overseas education.
Indiaworld Technologies Private Limited - Provides property services in India.
Infinitas Energy Solutions Private Limited - Provides wind, solar, community wind, oil refining, and
other infrastructure solutions
Innovation Group Investors, L.P. - Provides business process services, and software
J.B.F. Interlude 2009 Ltd. - A digital media company
Jet.com, Inc. - Membership-based marketplace
Kaazing Corporation - Leading enterprise web and mobile communication platform
Kensho Technologies Inc. - Platform that enables financial professionals to compute and visualize
massive data.
Koudai Corporation - A mobile Chinese marketplace
Kumu Networks, Inc - Designs and manufactures wireless systems
KURMA Biofund II FCPR - European venture capital fund focused on rare diseases
Lattice Engines, Inc. - Provides SaaS based predictive applications
LearnUp, Inc. - Provides entry-level job seekers with job-specific training and coaching
Long Hill Capital Venture Partners 1, L.P. - China-based investment partnership
Loxo Oncology, Inc. - Biopharma company developing targeted cancer therapies for genetically-defined
patient populations
Lumena Pharmaceuticals, Inc. - Biopharma company developing oral therapeutics for rare liver
diseases
Luminate Wireless, Inc. - Early stage wireless infrastructure company
Lumos Pharma, Inc. - Biopharmaceutical company developing a drug for the treatment of creatine

 PART

#

ENDNOTE
transporter deficiency
MeCommerce, Inc. - Next-generation e-commerce technology platform
MediSys EduTech Private Limited - Medical education company focused on developing teaching and
learning aids targeting both B2B and B2C healthcare education
MENA 360 HOLDING LIMITED - Partner for large businesses and SME’s to achieve their commercial
goals in the MENA region through digital platforms
Mersana Therapeutics, Inc. - Biopharmaceutical company creating the next generation of antibody
drug conjugates using its Fleximer-ADC technology
Mighty AI, Inc.- Developed a mobile application which helps users to provide expert insights in their
spare time
Mimosa Networks, Inc. - Cloud-managed, fiber-fast wireless solutions
Mirna Therapeutics, Inc. - Biopharma company focused on microRNA (miRNA)-directed oncology
therapies
MixBit, Inc. - Mobile application that lets users to record, edit, share, and publish videos
Nectar, Inc. - Developed mobile app virtualization technology
MongoDB, Inc. - Scalable NoSQL database powering big data applications
Move Guides Limited - Operates a talent mobility cloud platform
MuleSoft, Inc. - Integration platform for connecting SaaS and enterprise applications
nea:seed II llc - NEA sub-partnership investment vehicle focused on seed investments
Nevro Corp. - A medical device company, focuses on providing products for the patients suffering from
chronic pain
NewGlobe Schools, Inc. - The world's largest chain of nursery and primary schools
NexImmune, Inc. - A biopharmaceutical company, develops novel immuno- therapeutics based on the
proprietary Artificial IMmune (AIMTM) technology.
NextNav Holdings, LLC - Deploying its urban and indoor positioning service
Nginx, Inc. - High-performance web company
Niara, Inc. - Provides security analytics for attack detection and incident response
Nuelle, Inc. - A sexual wellness company

 PART

#

ENDNOTE
Oculeve, Inc. - Medical device company
Olio Devices, Inc. - Develops and manufactures analog and digital smart watches
Onshape Inc. - Develops a cloud-based 3D computer-aided designing software
OpsClarity, Inc. - Develops modern data center and cloud environments
Out of the Box Software, Inc. - Mobile business intelligence and communication tool
Panacea Medical Technologies Private Limited - Develops and manufactures medical equipment’s for
radiotherapy and radiology.
Pinetree Group Ltd. - Leading provider of home health care services for seniors in China
Placemeter, Inc. - Develops and operates a cloud based platform that senses and unlocks data about
activity in physical places, and delivers real-time data.
Plaid Technologies, Inc. - API for banking data
PsiKick, Inc. - Develops ultra-low-power wireless sensing devices.
Radiology Partners Holdings, LLC - Comprehensive professional radiology services solution delivered
through a technology-enabled national group practice
Raise Marketplace Inc. - Operates a peer to peer marketplace to buy and sell gift cards
Ravel Law, Inc. - Legal case search utilizing visualization platforms
RezNext Global Solutions Private Limited - Provides real-time distribution management solutions for
hotels in Asia, Africa, the Middle East, and internationally.
Say Media, Inc. - Digital publishing company that creates passionate media brands
ScoutRFP, Inc - Early stage startup focused on procurement software market
Scratch Music Group, Inc. - DJ booking and tech platform
Silk Internet Corp. - Platform for delivery of content on the web
Sonatype, Inc.- Developer of component lifecycle management technologies
Sportsrocket, Inc. - Provides a platform for managing video content
Springpath, Inc. - Virtualized storage software for enterprise storage and data management
Stride Health, Inc. - Operates a benefits platform that allows independent workers and part-time
employees to select and enroll in affordable health coverage.

 PART

#

ENDNOTE
Surf Airlines, Inc. - Private air travel club
Surface Oncology, Inc. - Next-generation cancer immunotherapies
Synlogic, LLC - A biotechnology company focused on the development of therapeutic microbes
Tamr, Inc. - Provides a data connection platform that allows data scientists, analysts, and managers to
focus on data driven innovation.
TechFellow 2011 Fund, L.P. - Investment fund focusing on investing in early-stage technology
companies
Topera, Inc. - A clinical stage medical device company developing a novel catheter based mapping
system used for guiding cardiac ablation procedures
TrackMaven, Inc. - Marketing analytics software
TRACON Pharmaceuticals, Inc. - Oncology development company
Traina Interactive Corp. - Charitable marketplace where luminaries (celebrities, athletes, chefs, etc.) can
sell experiences and personal items directly to consumers
Transifex Limited - Provides a localization automation platform for translating digital content into local,
culturally fitting languages
Turi, Inc. - Open-source software platform for machine learning on graphs
Tuya Inc. - An innovative mobile smartphone application enhancing cross-platform/device photo
storage in the cloud
Uber (China), Ltd. – Smartphone app that connects drivers with people who need a ride.
Uber Technologies - Smartphone app that connects drivers with people who need a ride.
ULINK GROUP INC. - Resells telecom service of destination countries
Upskill, Inc. - Software development platform and framework for enterprise usage of smart glasses
Veriflow Systems, Inc - Provides software-defined network breach and outage prevention solutions.
Viddy, Inc. (original) - An app allowing users to capture, create, and share mobile videos
Virtru Corporation - A digital privacy company that integrates with commercially available email and file
sharing programs
Vtesse Inc. - Develops drugs for patients suffering from rare diseases
Watermelon Express, Inc. - Develops and operates cloud-based learning solutions on smart phones

 PART

#

ENDNOTE
WellTok, Inc. - Designs and develops a technology that drives engagement through a combination of
social, gaming, and personalization technologies in the healthcare
Xfund 2, L.P. - Xfund offers seed- and early-stage capital, expert guidance, and access to America's toptier universities and venture firms
ZeroFox, Inc. - Cloud-based security platform
Ziarco Group Limited - Develops therapeutics targeting inflammatory and allergic diseases, using both
oral and topical routes of deliver
Zoomdata, Inc. - Develops and deploys visualization and analytics systems for big data

 PART

#

ENDNOTE

2.

105

All Investments in NEA 15 Have Been Fully Divested
Portfolio Investments
Amplyx Pharmaceuticals, Inc - Developing drugs to treat systemic fungal infections
Velocloud Networks, Inc. - Cloud-based wide area networking (WAN) service
Snap Inc. - Mobile app for sharing photos
440 Labs, Inc - Builds a cloud-based data processing and analysis engine
51Hunter Group Holding Limited - Platform for Chinese students seeking overseas education.
Annexon, Inc - Therapeutic products based on classical complement pathway
Arcellx, Inc. - Developing next generation chimeric antigen receptor therapies
Ardelyx, Inc. - Developing oral therapeutics to correct metabolic disorders
Baldor Technologies Private Limited - Platform for people search, authentication and classification
Banjo, Inc - Provides real time content discovery by location across social networks
Battersea Biotech, LLC - A next-generation cell therapy company
Berkshire Grey, Inc - Stealth-mode robotics company
Bit Kitchen, Inc. - Mobile-focused video community
Brainbees Solutions Private Limited - Online baby and kids retailing market in India
Bright Health Inc - Health plan serving individual and Medicare markets
Busybees Logistics Solutions - E-commerce logistics solutions provider in India
Catalina Labs, Inc - Solutions company to humanize how people communicate with technology
Catalytic, Inc. - Business Process Optimization and Automation Company
CCP hf - Develops, operates, and maintains massively multiplayer online
Chuqu Limited - An online service connecting travelers in overseas destinations to people living there
Clementia Pharmaceuticals Inc - Biotech company focused on developing treatments for rare diseases.
Code 42 Software, Inc. - Endpoint data protection and management company
CRISPR Therapeutics AG - Development of gene-based medicines for serious diseases

 PART

#

ENDNOTE
DeepAssist Inc - China's first mobile in-app search product
Desktop Metal, Inc - Produce desktop metals.
Docent Health, Inc - Software applications to organize and monitor patient care
DOTS Technology Corp - Consumer health technology company developing a novel handheld
oligonucleotide based personal diagnostic system.
Eargo, Inc - Consumer medical device company focused on hearing solutions.
Enigma Technologies, Inc. - Platform that provides users with a searchable database of public records,
information, and documents
Expel, Inc - Cyber security company for research and investing information
FabFitFun, Inc - Website that publishes content on life, wellness, entertainment, beauty, and style for
women
"
FiftyThree, Inc - Technology company that specializes in tools for mobile creation and visual thinking
Food Perfection Limited - Manufactures and markets evaporated and sweetened condensed milk
Frontier Car Group, Inc - Builds marketplaces for emerging markets in the auto sector.
Functional Software, Inc - Open-source, real-time application crash reporting platform
Genesis Supply Holdings, LLC - Provider of generic drugs to the federal market.
GitStar, Inc. - A web-application security company
Gladly Software, Inc - SaaS based contact center platform catering to large B2C companies
GlamSquad, Inc - App-based provider of on-demand beauty services.
Goop International Holdings Inc. - An eCommerce company focused on the verticals of beauty, fashion,
home and food.
GoQii Inc. - Personalized healthy lifestyle coaching technology platform.
Green Bay Ventures, LLC - Capital firm investing in technology and life sciences
Green Chef Corporation - An online organic meal-delivery business.
Greytip Software Private Limited - A SaaS based payroll and HR solution
Growing Corporation - Data visualization platform for web-based and mobile applications

 PART

#

ENDNOTE
Growth Equity Opportunities Fund IV, LLC - NEA sub-partnership investment vehicle focused on life
sciences growth companies
Guideline Technologies, Inc – Software platform to assist in company 401k set-up and maintenance
HackerOne Inc - A marketplace that provides a solution for security vulnerability.
Heap Inc - Mobile and web application analytics company
HMY (CAYMAN) INC - Online fashion technology company
Illusive Networks Ltd - Network security company
Inozyme Pharma, Inc - Developing enzyme replacement therapy for diseases of calcification
Instabase, Inc. - Platform for data, applications, and programming services
Intact Vascular, Inc - Medical device company developing a novel, minimally invasive medical device for
the treatment of peripheral arterial disease (PAD)
IntelligenceNode Consulting Private Limited – A technology backed pricing strategy and business
intelligence consulting firm.
ionQ, Inc. - Early stage quantum computing initiative
Kiswe Mobile Inc. - Video technology company, providing live media solutions to sports &
entertainment
KONUX Inc. - End-to-end solution combining smart sensors and AI-based analytics.
Krypton Project, Inc - Computer Software Development and Applications
Letgo USA B.V. - Marketplace that allows users to buy and sell locally.
LinkDoc Technology Limited - Oncology big data company.
Long Hill Capital Venture Partners 1, L.P. - Invests in companies located in China.
Lowell, Inc. - Medical Device Contract Manufacturing company
Lytmus Inc. - Machine-based platform that sourced and assessed technical talent
Matroid, Inc. - Deep Learning and Machine Learning, focused on computer vision
Millendo Therapeutics, Inc. - Biopharmaceutical company, develops a portfolio of disease-modifying
therapies/treatments for specialty and orphan endocrine disorders
MindTickle Inc. – A sales enablement platform for on-boarding, product training, coaching and ongoing
readiness

 PART

#

ENDNOTE
MobiSocial, Incorporated - Provides a chat application for mobile phones
More Health, Inc. - A cloud based physician collaboration platform that connects the patient’s
attending doctors with physician specialists
MuleSoft, Inc. - Integration platform for connecting SaaS and enterprise applications in the cloud and
on-premise.
MyCash Fintech Pte. Ltd. - e-Marketplace designed for Malaysia & Singapore
MyTherapist Inc. - An online discovery engine and marketplace for psychotherapy
Nefeli Networks, Inc. – Software-defined networking (SDN)
NightstaRx Limited - Clinical-stage biotech company developing a therapy for a rare degenerative
diseases
Nimble Collective, Inc - End-to-end content development and distribution platform for the animation
community around the globe
NKarta, Inc - Biotech company developing natural Killer (NK) cellular therapies
Northern Light Strategic Fund IV - Early-stage venture capital fund in China
Nuvolo Technologies Corporation - Implement and support cloud-based applications
ObsEva SA - A clinical stage biopharmaceutical company
OpenDoor Labs Inc - A platform to allow consumers to buy/sell houses without brokers.
Pager, Inc - Healthcare dispatch and technology platform which provides doctor house calls services
for non-emergency care
Paysa, Inc - Compensation platform and data information.
Personal Genome Diagnostics Inc - Genomic diagnostic technologies for oncology.
Pilot AI Labs, Inc. - Deep-learning based computer vision platform
Placester, Inc. - An end to end marketing platform for the residential real estate vertical
Qadium, Inc. - Internet sensing cybersecurity company
Read It Later, Inc. - A cross-platform service for the web
Reltio, Inc. - Designs and develops software solutions.
Reneo Pharmaceuticals, Inc - A biopharmaceutical company licensing and developing drugs to treat

 PART

#

ENDNOTE
fibrosis.
Robinhood Markets, Inc. - App built around no-fee stock trading
Rocket.Chat Holdings, Ltd. - Develops and operates an open source Web chat platform
Runtime, Inc. - Provides IoT device management and monitoring by Apache Mynewt OS
Senti Biosciences, Inc - Biotech developing novel therapeutics for complex diseases
SetPoint Medical Corporation - A biomedical company developing therapies for debilitating
inflammatory autoimmune diseases
SineWave Ventures Fund I, L.P. - SineWave Ventures is an early-stage enterprise tech investment firm
SolveBot, Inc.- Builds apps from spreadsheets
Speedinvest II EuVECA Gmbh & Co KG - European Venture Capital
StreamSets, Inc - Provides data ingest technology for big data applications
Swift Navigation, Inc - Develops hardware and software in the area of global positioning system (GPS)
Tamara Mellon Brand, Inc - Offers apparel and accessories for women
Tectus Corporation - Developing a next-generation Augmented Reality wearable display.
TherAchon Holding AG - Developing a novel biologic therapy for achondroplasia.
ThreatQuotient, Inc. - A cyber security software firm
Tigera, Inc. - Commercializing advanced network security and SDN functionality.
Transfix, Inc - On-demand shipping marketplace for manufacturers and distributors.
Travelator Inc.- TravelBank, develops expense management software solution.
Uhana, Inc - Develops a software to make the mobile edge a distributed, cloud-scale datacenter rather
than a network.
VividCortex, Inc - Develops and delivers Software as a Service based MySQL monitoring and analysis
tools.
Wallapop, S.L.- A mobile first peer to peer marketplace for secondhand goods.
Waltz Networks, Inc - Cloud platform for automatic high performance traffic management applications
Wheels Up Partners Holdings LLC - Membership-based private aviation company

 PART

#

ENDNOTE
Xiang He Fund I, L.P. - Specializes in late stage growth capital investments
XTuit Pharmaceuticals - Biopharmaceutical company developing novel microenvironment-activated
therapeutics
Yanka Industries, Inc - Provides online video education solutions

2.

106

Investment of personal capital in company on which I serve on the Board of Directors. Line of
business: e-scribe software company

2.

107

Investment of personal capital in an NEA portfolio company that I helped support with professional
services rendered under my obligations to NEA. Line of business: dialysis provider

2.

108

Investment of personal capital in an NEA portfolio company that I helped support with professional
services rendered under my obligations to NEA. Line of business: radiology services provider

2.

109

Investment of personal capital in an NEA portfolio company that I helped support with professional
services rendered under my obligations to NEA. Line of business: health plan

2.

110

Investment of personal capital in an NEA portfolio company that I helped support with professional
services rendered under my obligations to NEA. Line of business: health benefits provider

2.

111

Investment of personal capital in an NEA portfolio company that I helped support with professional
services rendered under my obligations to NEA. Line of business: drug packaging and distribution

2.

112

Investment of personal capital in a TR Winston related company that I helped support with
professional services rendered under my obligations to TR Winston. Line of business: biotech company

2.

113

Investment of personal capital in a TR Winston related company that I helped support with
professional services rendered under my obligations to TR Winston. Line of business: biotech company

2.

114

Investment of personal capital in a TR Winston related company that I helped support with
professional services rendered under my obligations to TR Winston. Line of business: biotech company

2.

115

Investment of personal capital in a TR Winston related company that I helped support with
professional services rendered under my obligations to TR Winston. Line of business: specialty retailer

2.

116

Personal investment of capital acquired through T.R. Winston equity raise. Valuation modeling an
assumed value below $1,000 is based on a Black-Scholes valuation adjusted for warrants. The value is
based on the common shares outstanding, not the fully diluted shares. The 90-day volatility used for
modeling purposes was as provided by Thomson Reuters.

2.

117

Investment of personal capital in a TR Winston related company that I helped support with
professional services rendered under my obligations to TR Winston. Line of business: biotech company

2.

118

Line of business: medical software

2.

123

All shares sold

 PART

#

ENDNOTE

3.

9

The sole proprietorship will be placed into inactive status during my government service and any
outstanding fees will be fixed before I enter government.

3.

13

Related to professional services delivered by T.R. Winston

3.

14

Related to professional services delivered by T.R. Winston

3.

15

Related to professional services delivered by T.R. Winston

3.

16

Related to professional services delivered by T.R. Winston

3.

17

Related to professional services delivered by T.R. Winston

3.

18

Related to professional services delivered by T.R. Winston

3.

19

Related to professional services delivered by T.R. Winston

3.

20

Related to professional services delivered by T.R. Winston

3.

21

Related to professional services delivered by T.R. Winston

3.

22

Related to professional services delivered by T.R. Winston

4.

10

Work performed under a consulting arrangement with YourEncore.

4.

11

Work performed under a consulting arrangement with Innovating Healthcare LLC

4.

32

Related to three separate speaking engagements for the American Journal of Managed Care and for
the publication's Patient-Centered Oncology Care forum.

4.

33

For two separate events on 9/11/15 and 11/18/15 and 4/1/16

4.

35

Work performed for Bausch & Lomb, which was a subsidiary of Valeant Pharmaceuticals North
America LLC. Paying entity was Virtuoso Healthcare Communications

4.

36

In conjunction with legal services provided for King Pharmaceuticals

4.

37

In conjunction with legal services provided for Amarin Pharmaceuticals

4.

38

In conjunction with legal services provided for Baxalta Corporation

6.

8

Owned across three different dependent child accounts

8.

1

Loan first acquired in 1995 while a medical student and re-financed in 2002 into a 20-year fixed loan

8.

2

Loan first acquired in 1995 while a medical student and re-financed in 2002 into a 20-year variable loan

 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
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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
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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)
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requiring Senate confirmation. See also the OGE/GOVT-1 executive branch-wide Privacy Act system of records.
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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
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