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 Francisco, Noel Principal Deputy Solicitor General, Department of Justice Date of Appointment: 01/23/2017 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/ Francisco, Noel [electronically signed on 02/17/2017 by Francisco, Noel 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/ Panuccio, Jesse, Certifying Official [electronically signed on 05/06/2017 by Panuccio, Jesse in Integrity.gov] Other review conducted by /s/ Shaw, Cynthia K, Ethics Official [electronically signed on 05/05/2017 by Shaw, Cynthia K in Integrity.gov] U.S. Office of Government Ethics Certification Data Revised 05/05/2017 Data Revised 04/19/2017 Data Revised 04/18/2017 Data Revised 04/04/2017 Data Revised 03/03/2017 1. Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 1 Jones Day Washington, District of Columbia Law Firm Partner 1/2007 1/2017 2 Historical Society of the District of Columbia Washington, District of Columbia Non-Profit Member of the Board of Directors 4/2011 Present VALUE INCOME TYPE INCOME AMOUNT Partnership Share plus earnings supplement $4,584,545 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF 1 Jones Day (law firm) 2 Jones Day, defined benefit plan (value not readily ascertainable) eligible for approx $33,000 annually at age 65 if firm meets hurdle rate N/A 3 Jones Day capital account N/A None (or less than $1,001) Interest $15,001 $50,000 4 Apple Inc. No None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 5 Hotchkis and Wiley Mid Cap Value I See Endnote Yes $100,001 $250,000 $2,501 - $5,000 6 Jones Day 2035 Fund See Endnote No $500,001 $1,000,000 None (or less than $201) 6.1 Vanguard Institutional Index Instl Pl Yes 6.2 Jones Day Emerging Markets Fund No 6.3 OFI Global Trust Yes See Endnote N/A None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 6.4 Vanguard Emerging Markets Stock Index Yes 6.5 GMO Emerging Markets II Yes 6.6 MFS Instl International Equity Yes 6.7 Morgan Stanley Inst International Eq 1 Yes 6.8 Diamond Hill Small-Mid Cap Y Yes 6.9 T. Rowe Price Mid-Cap Growth Yes 6.10 Wellington CIF Unconstrained Themes Yes 6.11 Jones Day Real Estate Fund No 6.12 Principal Global Inv Prin US Yes 6.13 Vanguard REIT Index Adm Yes 6.14 PIMCO All Asset Instl Yes 6.15 Dodge & Cox Stock Yes 6.16 Putnam Dynamic Rish Allocation Y Yes 6.17 GMO Benchmark-Free Allocation Ser R6 Yes 6.18 Touchstone Sands Capital Inst Gr Yes 7 Automatic Data Processing, Inc. No None (or less than $1,001) Dividends Capital Gains $2,501 - $5,000 8 First Trust Cloud Computing ETF Yes None (or less than $1,001) 9 Home Depot No None (or less than $1,001) 10 iShares North Amer Tech-Software ETF Yes None (or less than $1,001) $201 - $1,000 11 Industrial Select SPDR ETF Yes None (or less than $1,001) $1,001 - $2,500 12 SPDR KBW Bank ETF Yes None (or less than $1,001) $201 - $1,000 $201 - $1,000 Dividends Capital Gains $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 13 SPDR S&P Health Care Equipment ETF Yes None (or less than $1,001) $201 - $1,000 14 SPDR S&P Insurance ETF Yes None (or less than $1,001) $201 - $1,000 15 Vanguard Consumer Staples index fund Yes None (or less than $1,001) $201 - $1,000 16 Vanguard Consumer Discretionary Index Fund Yes None (or less than $1,001) $1,001 - $2,500 17 Vanguard Financials ETF Yes None (or less than $1,001) $1,001 - $2,500 18 Vanguard Industrials ETF Yes None (or less than $1,001) $201 - $1,000 19 Vanguard Information Tech Index Yes None (or less than $1,001) $2,501 - $5,000 20 American Tower REIT Inc (Hldg Co) shs N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 21 American Wtr Wrks Co Inc N/A None (or less than $1,001) Capital Gains Dividends $2,501 - $5,000 22 Cardinal Health N/A None (or less than $1,001) Capital Gains Dividends $201 - $1,000 23 Chubb Corp N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 24 Cisco N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 25 Comcast Corp N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 26 Costco Wholesale Corp N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 27 Danaher Corp N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 28 Ecolab Inc N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 29 FedEx Corp N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 30 Honeywell Intl Inc N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 31 Lockheed Martin N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 32 Medtronic Inc N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 33 Microsoft Corp N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 34 Mondelez International N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 35 NextEra Energy N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 36 Thermo Fisher Scientific N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 37 Total S.A. Sp. ADR N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 38 Union Pacific N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 39 Verizon Communications N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 40 Visa Inc N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 41 Term Life Insurance Policy (Taxable Fringe Benefit) N/A None (or less than $1,001) $1,950 42 iShares Dow Joes U.S. Index Fund Yes $15,001 $50,000 None (or less than $201) 43 Powershares DWA Momenum Portfolio Yes $15,001 $50,000 None (or less than $201) 44 Guggenheim S&P 500 Equal Weight ETF Yes $15,001 $50,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 45 SPDR S&P 500 ETF Trust Yes $15,001 $50,000 None (or less than $201) 46 Vanguard S&P 500 ETF Yes $15,001 $50,000 None (or less than $201) 47 Vanguard Total Stock Market ETF Yes $15,001 $50,000 None (or less than $201) 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 1 Jones Day Cleveland, Ohio Capital Account was paid out on January 20, 2017, prior to assuming a position at DOJ. 1/2017 2 Jones Day Cleveland, Ohio I will continue to participate in the defined contribution plan, but the plan sponsor no longer makes contributions, with the exception of $54,000 that will be deposited in my account during the 4th quarter of 2017 pursuant to the firm's policy. (This $54,000 is included in the income reported as Partnership Share in Section 2 of this form.) This plan has both voluntary and mandatory components. I began participation in the voluntary component of the plan when I joined the firm in July 2005 ad began participation in the mandatory portion of the plan when I became a partner in January 2007. 7/2005 3 Jones Day Cleveland, Ohio I will continue to participate in the Jones Day defined benefit plan. 1/2007 4 Jones Day Cleveland, Ohio Jones Day has withheld $550,000 of my income as a tax retainer to pay state and foreign taxes on my behalf and attributable to my income earned while a Partner of the firm. Any unused amounts will be returned to me once taxes are resolved, which could be up to 7 years from January 2017. This $550,000 is included in the income reported as Partnership Share in Section 2 of this form. 1/2017 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 1 Jones Day Washington, District of Columbia legal services to firm clients, management of Government Regulations Group 2 The Boeing Company Chicago, Illinois legal services 3 Christian Educators Association Westlake, Ohio legal services 4 Community Financial Services Association of America Alexandria, Virginia legal services 5 HCA, Inc Nashville, Tennessee legal services 6 International Business Machines Corporation Armonk, New York legal services 7 Internet Corp. for Assigned Names & Numbers (ICANN) Los Angeles, California legal services 8 Loma Linda University Adventist Health Sciences Loma Linda, California legal services 9 Reynolds American, Inc Winston-Salem, North Carolina legal services 10 R.J. Reynolds Tobacco Company Winston-Salem, North Carolina legal services 11 The Museum of the Bible Washington, District of Columbia legal services 12 UnityPoint Health West Des Moines, Iowa legal services 13 University of North Carolina, Board of Trustees of UNC, W. Louis Bissette, Jr., Margaret Spellings Chapel Hill, North Carolina legal services 14 Herbert Vederman Palm Beach, Florida legal services 15 Expedia Bellevue, Washington legal services # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 16 Robert McDonnell Richmond, Virginia legal services 5. Spouse's Employment Assets & Income and Retirement Accounts None 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 U.S. bank account #1 (cash) N/A $1,000,001 $5,000,000 Interest $201 - $1,000 2 Altria Group No $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 3 Berkshire Hathaway Inc Class B N/A $1,001 - $15,000 4 Cisco Systems Inc N/A $1,001 - $15,000 5 Select Sector SPDR Consumer Discretionary Yes $15,001 $50,000 6 Eli Lilly & Co N/A $1,001 - $15,000 7 First Trust Cloud Computing ETF Yes $15,001 $50,000 8 General Electric Co N/A $15,001 $50,000 Dividends $201 - $1,000 9 General Dynamics Corp N/A $15,001 $50,000 Capital Gains Dividends $201 - $1,000 10 Health Care Select Sector SPDR Fund Yes $15,001 $50,000 $1,001 - $2,500 11 iShares iBonds Dec 2020 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) See Endnote None (or less than $201) Dividends $201 - $1,000 $1,001 - $2,500 Dividends $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 12 iShares iBonds Dec 2021 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 13 iShares iBonds Dec 2022 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 14 iShares iBonds Dec 2023 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 15 iShares iBonds Dec 2024 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 16 iShares iBonds Dec 2025 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 17 iShares iBonds Dec 2026 Term Corporate ETF Yes $15,001 $50,000 None (or less than $201) 18 iShares North American Tech Software (IGV) Yes $15,001 $50,000 None (or less than $201) 19 Kinder Morgan N/A $1,001 - $15,000 Capital Gains Dividends $201 - $1,000 20 Lowes N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 21 Materials Select Sector SPDR Fund Yes $15,001 $50,000 22 Merck & Co N/A $15,001 $50,000 Dividends $201 - $1,000 23 Microsoft N/A $1,001 - $15,000 Dividends $201 - $1,000 24 Norfolk Southern Co. N/A $15,001 $50,000 Dividends $201 - $1,000 25 Paychex Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 26 Energy Select Sector SPDR Fund Yes $15,001 $50,000 $201 - $1,000 27 Industrial Select Sector SPDR Fund Yes $50,001 $100,000 $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE 28 SPDR S&P Bank ETF Yes $15,001 $50,000 None (or less than $201) 29 SPDR S&P Healthcare Equipment Yes $15,001 $50,000 None (or less than $201) 30 SPDR S&P Insurance ETF Yes $15,001 $50,000 None (or less than $201) 31 Financial Select Sector SPDR Fund Yes $15,001 $50,000 $201 - $1,000 32 Vanguard Consumer Staples ETF Yes $50,001 $100,000 $1,001 - $2,500 33 Vanguard Consumer Discretionary ETF Yes $50,001 $100,000 $201 - $1,000 34 Vanguard Financials ETF Yes $15,001 $50,000 None (or less than $201) 35 Vanguard Industrial ETF Yes $15,001 $50,000 $5,001 - $15,000 36 Vanguard Information Tech ETF Yes $100,001 $250,000 $1,001 - $2,500 37 iShares Edge MSCI Min Vol Emerging Markets ETF Yes $1,001 - $15,000 None (or less than $201) 38 iShares Edge MSCI Min Vol EAFE ETF Yes $1,001 - $15,000 None (or less than $201) 39 Vanguard Utilities ETF Yes $1,001 - $15,000 None (or less than $201) 40 Alphabet (Google) N/A $1,001 - $15,000 None (or less than $201) 41 Amazon N/A $1,001 - $15,000 None (or less than $201) 42 Danaher Corp N/A $1,001 - $15,000 43 Facebook Inc N/A $1,001 - $15,000 Dividends Capital Gains INCOME AMOUNT $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 44 Westrock Co N/A $15,001 $50,000 Dividends $201 - $1,000 45 Acco Brands Corp N/A $1,001 - $15,000 None (or less than $201) 46 Ingevity Corp N/A $1,001 - $15,000 None (or less than $201) 47 Adobe Sys N/A None (or less than $1,001) Capital Gains $1,001 - $2,500 48 Affiliated Managers Gp N/A None (or less than $1,001) Capital Gains $201 - $1,000 49 American Tower REIT Inc (Holding Co.) N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 50 Anadarko Petroleum Corp N/A None (or less than $1,001) Capital Gains Dividends $2,501 - $5,000 51 Blackrock Inc N/A None (or less than $1,001) Dividends Capital Gains $1,001 - $2,500 52 Broadcom N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 53 CA Inc N/A None (or less than $1,001) Capital Gains $1,001 - $2,500 54 Carnival Corp Paired Shares N/A None (or less than $1,001) Capital Gains Dividends $1,001 - $2,500 55 Cincinnati Financial Corp N/A None (or less than $1,001) Capital Gains $5,001 - $15,000 56 Costco Wholesale Corp N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 57 Diageo PLC ADR N/A None (or less than $1,001) Capital Gains $201 - $1,000 58 Duke Energy N/A None (or less than $1,001) Capital Gains Dividends $201 - $1,000 59 First Trust Exchange Traded Fund Dow Jones Internet Yes None (or less than $1,001) See Endnote See Endnote $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 60 Fortive Corp N/A None (or less than $1,001) Capital Gains $201 - $1,000 61 Hasbro Inc N/A None (or less than $1,001) Capital Gains Dividends $5,001 - $15,000 62 Honeywell Intl Inc N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 63 Intel Corp N/A None (or less than $1,001) Dividends Capital Gains $2,501 - $5,000 64 iShares iBoxx $ Invest Grade Corp Bond Yes None (or less than $1,001) $201 - $1,000 65 iShares Core MSCI Emerging Markets ETF Yes None (or less than $1,001) $1,001 - $2,500 66 iShares MBS ETF Yes None (or less than $1,001) $201 - $1,000 67 iShares MSCI Japan Yes None (or less than $1,001) $201 - $1,000 68 iShares NASDAQ Biotech ETF Yes None (or less than $1,001) $1,001 - $2,500 69 iShares TIPS Bond ETF Yes None (or less than $1,001) $201 - $1,000 70 iShares 3-7 year Treasury Bond ETF Yes None (or less than $1,001) $201 - $1,000 71 Mondelez International N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 72 Bristol-Myers Squibb N/A None (or less than $1,001) Capital Gains $1,001 - $2,500 73 Newmarket N/A None (or less than $1,001) Capital Gains $201 - $1,000 74 Pfizer Inc N/A None (or less than $1,001) Dividends $201 - $1,000 75 Powershares Emerging Markets Sovereign Debt ETF (PCY) Yes None (or less than $1,001) $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 76 Reynolds American Inc N/A None (or less than $1,001) Dividends Capital Gains $5,001 - $15,000 77 Thermo Fisher Scientific N/A None (or less than $1,001) Dividends Capital Gains $201 - $1,000 78 Vanguard Energy ETF Yes None (or less than $1,001) $201 - $1,000 79 Vanguard Intermediate Term Bond ETF Yes None (or less than $1,001) $1,001 - $2,500 80 Vanguard Materials ETF Yes None (or less than $1,001) $1,001 - $2,500 81 529 Plan for DC-1 (filer) 81.1 State Street Equity Index 500 - DC529 Yes $50,001 $100,000 None (or less than $201) 82 529 Plan for DC-2 (filer) 82.1 State Street Equity Index 500 - DC529 Yes $1,001 - $15,000 None (or less than $201) 83 529 Plan for DC-1 (spouse) 83.1 State Street Equity Index 500 - DC529 Yes $50,001 $100,000 None (or less than $201) 83.2 Ameritas Principal Plus - DC529 Yes $1,001 - $15,000 None (or less than $201) 84 529 Plan for DC-2 (spouse) 84.1 State Street Equity Index 500 - DC529 Yes $1,001 - $15,000 None (or less than $201) 85 Irrevocable life insurance trust (ILIT) 86 U.S. bank account #4 (cash) N/A $1,001 - $15,000 None (or less than $201) 87 UGMA Account 87.1 Vanguard Balanced Index Fund Yes $1,001 - $15,000 $201 - $1,000 See Endnote No # DESCRIPTION EIF VALUE 87.2 Vanguard Emerging Markets Stock Index Fund Yes $1,001 - $15,000 None (or less than $201) 87.3 Vanguard Intermediate-Term Bond Index Fund Yes $1,001 - $15,000 $201 - $1,000 87.4 Vanguard Mid-Cap Index Fund Yes $1,001 - $15,000 None (or less than $201) 87.5 Vanguard Total Bond Market Index Fund Yes $1,001 - $15,000 None (or less than $201) 87.6 Vanguard Wellington Fund Yes $1,001 - $15,000 None (or less than $201) 88 Apple, Inc N/A $1,001 - $15,000 None (or less than $201) 89 iShare Dow Jones US index Fund Yes $1,001 - $15,000 None (or less than $201) 90 Powershares DWA Momentum Portfolio Yes $1,001 - $15,000 None (or less than $201) 91 Guggenheim S&P 500 Equal Weithg ETF Yes $1,001 - $15,000 None (or less than $201) 92 SPDR S&P 500 ETF Trust Yes $1,001 - $15,000 $201 - $1,000 93 Vanguard S&P 500 ETF Yes $1,001 - $15,000 None (or less than $201) 94 Vanguard Total Stock Market ETF Yes $1,001 - $15,000 None (or less than $201) 95 U.S. bank account #2 (cash) N/A $500,001 $1,000,000 None (or less than $201) 96 U.S. bank account #3 (cash) N/A $250,001 $500,000 None (or less than $201) 7. Transactions INCOME TYPE INCOME AMOUNT (N/A) - Not required for this type of report 8. Liabilities # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 1 Key Bank See Endnote Exercised Line of Credit $15,001 $50,000 2009 prime until 1/1/2017, then prime minus .50 5 years interest + 20 equal payments over 5 years 2 Key Bank See Endnote Exercised Line of Credit $15,001 $50,000 2013 prime until 1/1/2017, then prime minus .50 5 years interest + 20 equal payments over 5 years 3 Key Bank See Endnote Exercised Line of Credit $15,001 $50,000 2014 prime until 1/1/2017, then prime minus .50 5 years interest + 20 equal payments over 5 years 4 Merrill Lynch Loan Management Account See Endnote Exercised Line of Credit $500,001 $1,000,000 2016 LIBOR + 3.125 revolving 5 Key Bank See Endnote Mortgage on Personal Residence $50,001 $100,000 2013 prime until 1/1/2017, then prime minus .50 5 years interest + 20 equal payments over 5 years 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes PART # ENDNOTE 2. 1 Additionally, during the reporting period, Jones Day distributed to me $1,944,647 that I earned prior to the reporting period. All the amounts in this section reflect gross amounts, prior to various offsets for certain taxes, insurance, and other expenses paid directly by the firm. Amounts are approximate subject to finalization of the K-1. This figure also includes $54,000 that will be deposited in the Jones Day Retirement Plan in the fourth quarter of 2017 and a $550,000 tax retainer which is being held by Jones Day for up to seven years to pay outstanding taxes. 2. 5 Reflects combined value of 401(a) and 401(k) plans 2. 6 Reflects combined value of 401(a) and 401(k) plans 6. 1 Held in joint and spouse accounts 6. 44 Partially held in undeposited shares of Meadwestvaco (MWV) 6. 46 Partially held in undeposited shares of Meadwestvaco (MWV) 6. 85 Underlying assets of the ILIT are not reportable. 8. 1 Loan amount paid in full upon separation from Jones Day 8. 2 Loan amount paid in full upon separation from Jones Day 8. 3 Loan amount paid in full upon separation from Jones Day 8. 4 Current balance is zero. Number reflects unintentional briefly-held large loan resulting from clerical error by former investment adviser in January 2016 8. 5 Loan amount paid in full upon separation from Jones Day 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).