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
HAM, HOLLY
Special Assistant to the Secretary, Department of Education
Date of Appointment: 01/20/2017
Other Federal Government Positions Held During the Preceding 12 Months:
None

Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge.
/s/ HAM, HOLLY [electronically signed on 02/03/2017 by HAM, HOLLY 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/ Shields, Michael L, Certifying Official [electronically signed on 03/31/2017 by Shields, Michael L in Integrity.gov]

Other review conducted by
/s/ Shields, Michael L, Ethics Official [electronically signed on 03/31/2017 by Shields, Michael L in Integrity.gov]

U.S. Office of Government Ethics Certification

Data Revised 03/31/2017

 Data Revised 03/29/2017

Data Revised 03/28/2017

Data Revised 03/27/2017

Data Revised 03/22/2017

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

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

Hewlett Packard Enterprise

Palo Alto,
California

Corporation

Sales Executive

7/1998

7/2016

VALUE

INCOME TYPE

INCOME
AMOUNT

Salary

$67,342

Cash Payment

$7,500

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

DESCRIPTION

EIF

1

Hewlett Packard Enterprise

N/A

2

Hewlett Packard Enterprise, restricted stock
units

N/A

3

Hewlett Packard Enterprise

N/A

Severance

$33,503

4

Hewlett Packard Enterprise

N/A

Bonus

$1,873

5

IRA: AB High Income Fund Advisor Class
(AGDYX)

Yes

$1,001 - $15,000

None (or less
than $201)

6

IRA: American Century Mid Cap Value
(ACMVX)

Yes

$1,001 - $15,000

$201 - $1,000

7

IRA: Ariel International Fund Investor Class
(AINTX)

Yes

$15,001 $50,000

$201 - $1,000

8

IRA: Artisan Mid Cap Fund Advisor Class
(APDMX)

Yes

$1,001 - $15,000

$201 - $1,000

9

IRA: Cohen & Steers Preferred Sec & Inc I
(CPXIX)

Yes

$1,001 - $15,000

None (or less
than $201)

10

IRA: Columbia Strategic Income Fund Class
Z (LSIZX)

Yes

$1,001 - $15,000

None (or less
than $201)

11

IRA: Edgewood Growth Fund Class
Institutional (EGFIX)

Yes

$50,001 $100,000

$1,001 - $2,500

12

IRA: Federated Strategic Value Dividend
Fund Institutional Shares (SVAIX)

Yes

$50,001 $100,000

$1,001 - $2,500

$1,001 - $15,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

13

IRA: First Eagle Global Fund Class I (SGIIX)

Yes

$15,001 $50,000

$1,001 - $2,500

14

IRA: Hancock Horizon Burkenroad Small
Cap Fund Investor Class (HHBUX)

Yes

$1,001 - $15,000

None (or less
than $201)

15

IRA: Hennessy Japan Fund Institutional
Class (HJPIX)

Yes

$1,001 - $15,000

None (or less
than $201)

16

IRA: LoCorr Market Trend Fund Class I
(LOTIX)

Yes

$15,001 $50,000

None (or less
than $201)

17

IRA: MFS Emerging Markets Debt Fund
Class I (MEDIX)

Yes

$1,001 - $15,000

None (or less
than $201)

18

IRA: Oppenheimer Senior Floating Rate Y
(OOSYX)

Yes

$1,001 - $15,000

None (or less
than $201)

19

IRA: PIMCO Income P (PONPX)

Yes

$1,001 - $15,000

None (or less
than $201)

20

IRA: Templeton Emerging Markets Small
Cap Adv (TEMZX)

Yes

$15,001 $50,000

$201 - $1,000

21

IRA: Victory Integrity Discovery Fund Class Y
(MMEYX)

Yes

$1,001 - $15,000

$201 - $1,000

22

IRA: Virtus Foreign Opportunities Fund
Class I (JVXIX)

Yes

$15,001 $50,000

$201 - $1,000

23

IRA: Virtus Emerging Markets Opportunities
Fund Class I (HIEMX)

Yes

$15,001 $50,000

None (or less
than $201)

24

IRA: Virtus Multi-Sector Short Term Bond
Fund Class I (PIMSX)

Yes

$15,001 $50,000

None (or less
than $201)

25

IRA: Voya GNMA Income Fund Class I
(LEINX)

Yes

$15,001 $50,000

None (or less
than $201)

26

Roth IRA: American Funds Growth Fund of
Amer F-2 (GFFFX)

Yes

$1,001 - $15,000

None (or less
than $201)

27

Roth IRA: Federated Strategic Value
Dividend Fund Institutional Shares (SVAIX)

Yes

$1,001 - $15,000

None (or less
than $201)

28

Roth IRA: Oppenheimer Developing
Markets Y (ODVYX)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

29

Roth IRA: Putnam Diversified Income Trust
Class Y (PDVYX)

Yes

$1,001 - $15,000

INCOME TYPE

INCOME
AMOUNT
None (or less
than $201)

3. Filer's Employment Agreements and Arrangements
None

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

Hewlett Packard Enterprise

Palo Alto,
California

The Sales Executive has accountability for a set quota for business
development with new and recurring sales. This role focused on clients
and sales in the Energy sector in North America.

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

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

Morgan Stanley, defined benefit plan (value
not readily ascertainable)

N/A

2

Morgan Stanley, restricted stock units

N/A

3

Morgan Stanley, employer

N/A

4

Morgan Stanley Insti Liquidity (MPFXX)

Yes

$15,001 $50,000

None (or less
than $201)

5

Morgan Stanley Insti Liq Fds, T (MSUXX)

Yes

$1,001 - $15,000

None (or less
than $201)

6

IRA: iShares Core US Aggregate Bond (AGG)

Yes

$1,001 - $15,000

None (or less
than $201)

None (or less
than $201)
$15,001 $50,000

None (or less
than $201)
Salary

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

7

IRA: PowerShares Senior Loan ETF (BKLN)

Yes

$1,001 - $15,000

None (or less
than $201)

8

IRA: SPDR Barclays Capital Convertible Secs
(CWB)

Yes

$1,001 - $15,000

None (or less
than $201)

9

IRA: iShares MSCI EAFE Growth Index (EFG)

Yes

$1,001 - $15,000

None (or less
than $201)

10

IRA: iShares JPMorgan USD Emerg Markets
Bond (EMB)

Yes

$1,001 - $15,000

None (or less
than $201)

11

IRA: SPDR S&P Emerging Markets Small Cap
(EWX)

Yes

$1,001 - $15,000

None (or less
than $201)

12

IRA: Facebook, Inc. - Class A Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

13

IRA: First Trust Senior Loan Fund ETF (FTSL)

Yes

$1,001 - $15,000

None (or less
than $201)

14

IRA: ProShares High Yield—Interest Rate
Hdgd (HYHG)

Yes

$1,001 - $15,000

None (or less
than $201)

15

IRA: ProShares Investment Grade—Intr Rt
Hdgd (IGHG)

Yes

$1,001 - $15,000

None (or less
than $201)

16

IRA: SPDR Barclays Capital High Yield Bond
(JNK)

Yes

$1,001 - $15,000

None (or less
than $201)

17

IRA: Palo Alto Networks (PANW)

N/A

$1,001 - $15,000

None (or less
than $201)

18

IRA: Cohen & Steers Select Preferred and
Income Fund, Inc. (PSF)

Yes

$1,001 - $15,000

None (or less
than $201)

19

IRA: PowerShares QQQ ETF (QQQ)

Yes

$1,001 - $15,000

None (or less
than $201)

20

IRA: SPDR SSgA Multi-Asset Real Return ETF
(RLY)

Yes

$1,001 - $15,000

None (or less
than $201)

21

IRA: Oppenheimer ADR Revenue ETF (RTR)

Yes

$1,001 - $15,000

None (or less
than $201)

22

IRA: Oppenheimer Large Cap Revenue ETF
(RWL)

Yes

$15,001 $50,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

23

IRA: PowerShares S&P 500 High Beta ETF
(SPHB)

Yes

$1,001 - $15,000

None (or less
than $201)

24

IRA: SPDR S&P 500 (SPY)

Yes

$1,001 - $15,000

None (or less
than $201)

25

IRA: Vanguard Mid-Cap Growth ETF (VOT)

Yes

$1,001 - $15,000

None (or less
than $201)

26

IRA: Vanguard Growth ETF (VUG)

Yes

$1,001 - $15,000

None (or less
than $201)

27

IRA: Vanguard FTSE Emerging Markets ETF
(VWO)

Yes

$1,001 - $15,000

None (or less
than $201)

28

401K: BlackRock Bond Index Non-Lendable
Fund

Yes

$1,001 - $15,000

None (or less
than $201)

29

401K: PIMCO Core Fixed Income Portfolio

Yes

$1,001 - $15,000

None (or less
than $201)

30

401K: PIMCO Low Duration Fund

No

$1,001 - $15,000

None (or less
than $201)

31

401K: Shenkman Capital High Yield Bond
Fund

Yes

$1,001 - $15,000

None (or less
than $201)

32

401K: PIMCO Real Return Fund

Yes

$1,001 - $15,000

None (or less
than $201)

33

401K: PIMCO Foreign Bond (Unhedged)
Instl (PFUIX)

Yes

$1,001 - $15,000

None (or less
than $201)

34

401K: BlueBay Emerging Markets Select
Debt Fund

Yes

$1,001 - $15,000

None (or less
than $201)

35

401K: Eaton Vance Global Macro Absolute
Return Fund (EIGMX)

Yes

$1,001 - $15,000

$201 - $1,000

36

401K: T. Rowe Price U.S. Large Cap Value
Fund

Yes

$15,001 $50,000

None (or less
than $201)

37

401K: Morgan Stanley Institutional Fund,
Inc. Growth Portfolio Class IS (MGRPX)

Yes

$15,001 $50,000

$1,001 - $2,500

38

401K: TS&W Mid Cap Value Portfolio

Yes

$15,001 $50,000

None (or less
than $201)

See Endnote

INCOME TYPE

INCOME
AMOUNT

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

39

401K: Chartwell Mid Cap Growth Portfolio

Yes

$15,001 $50,000

None (or less
than $201)

40

401K: William Blair Small Cap Value Fund

Yes

$1,001 - $15,000

None (or less
than $201)

41

401K: Chartwell Small Cap Growth Portfolio

Yes

$1,001 - $15,000

None (or less
than $201)

42

401K: Morgan Stanley Inst International Eq
IS (MIQPX)

Yes

$1,001 - $15,000

None (or less
than $201)

43

401K: Artisan International Growth Trust

Yes

$1,001 - $15,000

None (or less
than $201)

44

401K: Fidelity Institutional Asset
Management Select International Small Cap
Fund

Yes

$1,001 - $15,000

None (or less
than $201)

45

401K: Morgan Stanley Inst Emerging Mkts IS
(MMMPX)

Yes

$1,001 - $15,000

None (or less
than $201)

46

401K: Morgan Stanley Inst Global Real Est IS
(MGREX)

Yes

$1,001 - $15,000

$201 - $1,000

47

Morgan Stanley Stock Fund (MS)

No

$1,001 - $15,000

None (or less
than $201)

6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

Real Estate - undeveloped land (Angel Fire,
NM)

N/A

$15,001 $50,000

None (or less
than $201)

2

Bank of America Checking Account

N/A

$100,001 $250,000

None (or less
than $201)

3

AllianceBern Select US L/S Portfolio Adv
(ASYLX)

Yes

$1,001 - $15,000

None (or less
than $201)

4

American Funds Growth Fund of Amer F-2
(GFFFX)

Yes

$1,001 - $15,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

5

Angel Oak Multi-Strategy Income Instl
(ANGIX)

Yes

$1,001 - $15,000

None (or less
than $201)

6

Artisan International Advisor (APDIX)

Yes

$1,001 - $15,000

None (or less
than $201)

7

Artisan International Value Advisor (APDKX)

Yes

$1,001 - $15,000

$201 - $1,000

8

Artisan Mid Cap Advisor (APDMX)

Yes

$1,001 - $15,000

$201 - $1,000

9

Artisan Mid Cap Value Advisor (APDQX)

Yes

$1,001 - $15,000

None (or less
than $201)

10

BlackRock Equity Dividend Instl (MADVX)

Yes

$1,001 - $15,000

$201 - $1,000

11

Cohen & Steers Preferred Sec & Inc I (CPXIX)

Yes

$1,001 - $15,000

$201 - $1,000

12

Eaton Vance Floating Rate I (EIBLX)

Yes

$1,001 - $15,000

$201 - $1,000

13

Eaton Vance Income Fund of Boston I (EIBIX)

Yes

$1,001 - $15,000

$201 - $1,000

14

Eaton Vance Strategic Income I (ESIIX)

Yes

$1,001 - $15,000

$201 - $1,000

15

First Eagle Global I (SGIIX)

Yes

$1,001 - $15,000

$201 - $1,000

16

Franklin Real Return Adv (FARRX)

Yes

$1,001 - $15,000

None (or less
than $201)

17

JPMorgan Intermediate Tax Free Bond Sel
(VSITX)

Yes

$1,001 - $15,000

None (or less
than $201)

18

Lazard Emerging Markets Equity Instl
(LZEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

19

LoCorr Market Trend I (LOTIX)

Yes

$1,001 - $15,000

None (or less
than $201)

20

Neuberger Berman Genesis Instl (NBGIX)

Yes

$1,001 - $15,000

None (or less
than $201)

21

Nuveen Limited-Term Municipal Bond I
(FLTRX)

Yes

$1,001 - $15,000

None (or less
than $201)

22

Oppenheimer Gold & Special Minerals Y
(OGMYX)

Yes

$1,001 - $15,000

$201 - $1,000

23

PIMCO Emerging Markets Bond P (PEMPX)

Yes

$1,001 - $15,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

24

PIMCO Investment Grade Corp Bd P (PBDPX)

Yes

$1,001 - $15,000

None (or less
than $201)

25

Putnam Diversified Income Y (PDVYX)

Yes

$1,001 - $15,000

None (or less
than $201)

26

Virtus Multi-Sector S/T Bd I (PIMSX)

Yes

$1,001 - $15,000

None (or less
than $201)

27

Voya GNMA Income I (LEINX)

Yes

$1,001 - $15,000

None (or less
than $201)

28

Hewlett Packard Enterprise Company (HPE)

N/A

$1,001 - $15,000

None (or less
than $201)

29

HP Inc. (HPQ)

N/A

$1,001 - $15,000

None (or less
than $201)

30

Columbia Diversified Equity Income A
(INDZX)

Yes

$1,001 - $15,000

$201 - $1,000

31

Columbia Dividend Opportunity A (INUTX)

Yes

$1,001 - $15,000

$201 - $1,000

32

Columbia Small/Mid Cap Value A (AMVAX)

Yes

$1,001 - $15,000

None (or less
than $201)

33

Columbia Strategic Municipal Income A
(INTAX)

Yes

$1,001 - $15,000

None (or less
than $201)

34

AbbVie Inc. (ABBV)

N/A

$1,001 - $15,000

None (or less
than $201)

35

American Century Mid Cap Value (ACMVX)

Yes

$1,001 - $15,000

None (or less
than $201)

36

Alliance Data Systems Corporation (ADS)

N/A

$1,001 - $15,000

None (or less
than $201)

37

AllianceBern High Income Advisor (AGDYX)

Yes

$1,001 - $15,000

None (or less
than $201)

38

iShares Barclays Aggregate Bond (AGG)

Yes

$1,001 - $15,000

None (or less
than $201)

39

Alaska Air Group, Inc. (ALK)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

40

Applied Materials, Inc. (AMAT)

N/A

$1,001 - $15,000

None (or less
than $201)

41

Affiliated Managers Group, Inc. (AMG)

N/A

$1,001 - $15,000

None (or less
than $201)

42

Amgen, Inc. (AMGN)

N/A

$1,001 - $15,000

None (or less
than $201)

43

Anthem, Inc. (ANTM)

N/A

$1,001 - $15,000

None (or less
than $201)

44

Aegean Marine Petroleum Network Inc.
(ANW)

N/A

$1,001 - $15,000

None (or less
than $201)

45

Artisan Mid Cap Advisor (APDMX)

Yes

$1,001 - $15,000

None (or less
than $201)

46

A V Homes, Inc. (AVHI)

N/A

$1,001 - $15,000

None (or less
than $201)

47

Aware, Inc. (AWRE)

N/A

$1,001 - $15,000

None (or less
than $201)

48

Anixter International Inc. (AXE)

N/A

$1,001 - $15,000

None (or less
than $201)

49

The Boeing Company (BA)

N/A

$1,001 - $15,000

None (or less
than $201)

50

Best Buy Co., Inc. (BBY)

N/A

$1,001 - $15,000

None (or less
than $201)

51

Bel Fuse Inc. (BELFB)

N/A

$1,001 - $15,000

None (or less
than $201)

52

BioSpecifics Technologies Corp. (BSTC)

N/A

$1,001 - $15,000

None (or less
than $201)

53

Charter Financial Corp. (CHFN)

N/A

$1,001 - $15,000

None (or less
than $201)

54

Chesapeake Energy Corp (CHK)

N/A

$1,001 - $15,000

None (or less
than $201)

55

Cloud Peak Energy Inc. (CLD)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

56

Century Casinos, Inc. (CNTY)

N/A

$1,001 - $15,000

None (or less
than $201)

57

Cohen & Steers Preferred Sec & Inc I (CPXIX)

Yes

$1,001 - $15,000

$201 - $1,000

58

Cisco Systems, Inc. (CSCO)

N/A

$1,001 - $15,000

None (or less
than $201)

59

Cintas Corporation (CTAS)

N/A

$1,001 - $15,000

None (or less
than $201)

60

Consolidated-Tomoka Land Co. (CTO)

N/A

$1,001 - $15,000

None (or less
than $201)

61

Cutera, Inc. (CUTR)

N/A

$1,001 - $15,000

None (or less
than $201)

62

CPI Aerostructures, Inc. (CVU)

N/A

$1,001 - $15,000

None (or less
than $201)

63

Delta Air Lines (DAL)

N/A

$1,001 - $15,000

None (or less
than $201)

64

Ducommun Incorporated (DCO)

N/A

$1,001 - $15,000

None (or less
than $201)

65

WisdomTree Japan SmallCap Dividend ETF
(DFJ)

Yes

$1,001 - $15,000

None (or less
than $201)

66

Digital Realty Trust, Inc. (DLR)

N/A

$1,001 - $15,000

None (or less
than $201)

67

Devon Energy Corp. (DVN)

N/A

$1,001 - $15,000

None (or less
than $201)

68

iShares Select Dividend ETF (DVY)

Yes

$1,001 - $15,000

None (or less
than $201)

69

Eastman Chemical Co. (EMN)

N/A

$1,001 - $15,000

None (or less
than $201)

70

Escalade, Incorporated (ESCA)

N/A

$1,001 - $15,000

None (or less
than $201)

71

Express Scripts Holding Company (ESRX)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

72

Eaton Corporation plc (ETN)

N/A

$1,001 - $15,000

None (or less
than $201)

73

SPDR S&P Emerging Markets Small Cap ETF
(EWX)

Yes

$1,001 - $15,000

None (or less
than $201)

74

Fiat Chrysler Automobiles N.V. (FCAU)

N/A

$1,001 - $15,000

None (or less
than $201)

75

Foot Locker, Inc. (FL)

N/A

$1,001 - $15,000

None (or less
than $201)

76

Nuveen Limited Term Municipal Bond I
(FLTRX)

Yes

$1,001 - $15,000

None (or less
than $201)

77

First Trust Senior Loan ETF (FTSL)

Yes

$1,001 - $15,000

None (or less
than $201)

78

Gilead Sciences, Inc. (GILD)

N/A

$1,001 - $15,000

None (or less
than $201)

79

Guggenheim Macro Opportunities Instl
(GIOIX)

Yes

$1,001 - $15,000

None (or less
than $201)

80

SPDR Gold Shares (GLD)

Yes

$1,001 - $15,000

None (or less
than $201)

81

Gap, Inc. (GPS)

N/A

$1,001 - $15,000

None (or less
than $201)

82

The Goldman Sachs Group, Inc. (GS)

N/A

$1,001 - $15,000

None (or less
than $201)

83

Great Southern Bancorp, Inc. (GSBC)

N/A

$1,001 - $15,000

None (or less
than $201)

84

Harbor Capital Appreciation Instl (HACAX)

Yes

$1,001 - $15,000

$201 - $1,000

85

HCA Holdings, Inc. (HCA)

N/A

$1,001 - $15,000

None (or less
than $201)

86

Hancock Horizon Burkenroad Sm Cp Inv
(HHBUX)

Yes

$1,001 - $15,000

None (or less
than $201)

87

Virtus Emerging Markets Opportunities I
(HIEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

88

The Hartford Financial Services Group, Inc.
(HIG)

N/A

$1,001 - $15,000

None (or less
than $201)

89

Hennessy Japan Institutional (HJPIX)

Yes

$1,001 - $15,000

None (or less
than $201)

90

Hooker Furniture Corporation (HOFT)

N/A

$1,001 - $15,000

None (or less
than $201)

91

ProShares High Yield—Interest Rate Hdgd
(HYHG)

Yes

$1,001 - $15,000

None (or less
than $201)

92

ICF International, Inc. (ICFI)

N/A

$1,001 - $15,000

None (or less
than $201)

93

ProShares Investment Grade—Intr Rt Hdgd
(IGHG)

Yes

$1,001 - $15,000

None (or less
than $201)

94

iShares Micro-Cap (IWC)

Yes

$1,001 - $15,000

None (or less
than $201)

95

John B. Sanfilippo & Son, Inc. (JBSS)

N/A

$1,001 - $15,000

None (or less
than $201)

96

Virtus Foreign Opportunities I (JVXIX)

Yes

$1,001 - $15,000

None (or less
than $201)

97

Nordstrom, Inc. (JWN)

N/A

$1,001 - $15,000

None (or less
than $201)

98

Kingstone Companies, Inc. (KINS)

N/A

$1,001 - $15,000

None (or less
than $201)

99

Kimberly-Clark Corporation (KMB)

N/A

$1,001 - $15,000

None (or less
than $201)

100

Kinder Morgan, Inc. (KMI)

N/A

$1,001 - $15,000

None (or less
than $201)

101

The Kroger Co. (KR)

N/A

$1,001 - $15,000

None (or less
than $201)

102

Kohl's Corporation (KSS)

N/A

$1,001 - $15,000

None (or less
than $201)

103

KVH Industries, Inc. (KVHI)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

104

Lakeland Industries, Inc. (LAKE)

N/A

$1,001 - $15,000

None (or less
than $201)

105

Lifetime Brands, Inc. (LCUT)

N/A

$1,001 - $15,000

None (or less
than $201)

106

Lee Enterprises, Incorporated (LEE)

N/A

$1,001 - $15,000

None (or less
than $201)

107

Voya GNMA Income I (LEINX)

Yes

$1,001 - $15,000

None (or less
than $201)

108

LeMaitre Vascular, Inc. (LMAT)

N/A

$1,001 - $15,000

None (or less
than $201)

109

LoCorr Market Trend I (LOTIX)

Yes

$1,001 - $15,000

None (or less
than $201)

110

Columbia Strategic Income Z (LSIZX)

Yes

$1,001 - $15,000

None (or less
than $201)

111

Southwest Airlines Co. (LUV)

N/A

$1,001 - $15,000

None (or less
than $201)

112

LyondellBasell Industries N.V. (LYB)

N/A

$1,001 - $15,000

None (or less
than $201)

113

Macy's, Inc. (M)

N/A

$1,001 - $15,000

None (or less
than $201)

114

Microchip Technology Incorporated (MCHP)

N/A

$1,001 - $15,000

None (or less
than $201)

115

MFS Emerging Markets Debt I (MEDIX)

Yes

$1,001 - $15,000

None (or less
than $201)

116

MetLife, Inc. (MET)

N/A

$1,001 - $15,000

None (or less
than $201)

117

MFS International Value I (MINIX)

Yes

$1,001 - $15,000

None (or less
than $201)

118

Victory Integrity Discovery Y (MMEYX)

Yes

$1,001 - $15,000

None (or less
than $201)

119

Marathon Petroleum Corporation (MPC)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

120

Marlin Business Services Corp. (MRLN)

N/A

$1,001 - $15,000

121

Morgan Stanley (MS)

N/A

$15,001 $50,000

122

Micron Technology, Inc. (MU)

N/A

$1,001 - $15,000

None (or less
than $201)

123

iShares National Muni Bond ETF (MUB)

Yes

$1,001 - $15,000

None (or less
than $201)

124

Navient Corporation (NAVI)

N/A

$1,001 - $15,000

None (or less
than $201)

125

North American Energy Partners Inc. (NOA)

N/A

$1,001 - $15,000

None (or less
than $201)

126

NetApp, Inc. (NTAP)

N/A

$1,001 - $15,000

None (or less
than $201)

127

NVIDIA Corporation (NVDA)

N/A

$1,001 - $15,000

None (or less
than $201)

128

Ocean Bio-Chem, Inc. (OBCI)

N/A

$1,001 - $15,000

None (or less
than $201)

129

Owens-Illinois, Inc. (OI)

N/A

$1,001 - $15,000

None (or less
than $201)

130

ONEOK, Inc. (OKE)

N/A

$1,001 - $15,000

None (or less
than $201)

131

Oppenheimer Senior Floating Rate Y
(OOSYX)

Yes

$1,001 - $15,000

None (or less
than $201)

132

Orion Group Holdings, Inc. (ORN)

N/A

$1,001 - $15,000

None (or less
than $201)

133

Virtus Multi-Sector S/T Bd I (PIMSX)

Yes

$1,001 - $15,000

None (or less
than $201)

134

POSCO (PKX)

N/A

$1,001 - $15,000

None (or less
than $201)

135

Pentair plc (PNR)

N/A

$1,001 - $15,000

None (or less
than $201)

None (or less
than $201)
Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

136

PIMCO Income P (PONPX)

Yes

$1,001 - $15,000

None (or less
than $201)

137

Prudential Financial, Inc. (PRU)

N/A

$1,001 - $15,000

None (or less
than $201)

138

AQR Long-Short Equity I (QLEIX)

Yes

$1,001 - $15,000

None (or less
than $201)

139

Robert Half International Inc. (RHI)

N/A

$1,001 - $15,000

None (or less
than $201)

140

Oppenheimer Large Cap Revenue ETF (RWL)

Yes

$15,001 $50,000

$201 - $1,000

141

Dreyfus/Standish Global Fixed Income I
(SDGIX)

Yes

$1,001 - $15,000

None (or less
than $201)

142

First Eagle Global I (SGIIX)

Yes

$1,001 - $15,000

None (or less
than $201)

143

Signet Jewelers Limited (SIG)

N/A

$1,001 - $15,000

None (or less
than $201)

144

SL Green Realty Corp. (SLG)

N/A

$1,001 - $15,000

None (or less
than $201)

145

Scripps Networks Interactive, Inc. (SNI)

N/A

$1,001 - $15,000

None (or less
than $201)

146

SP Plus Corporation (SP)

N/A

$1,001 - $15,000

None (or less
than $201)

147

PowerShares S&P 500 High Beta ETF (SPHB)

Yes

$15,001 $50,000

None (or less
than $201)

148

PowerShares S&P 500 High Div Low VolETF
(SPHD)

Yes

$1,001 - $15,000

None (or less
than $201)

149

Supreme Industries, Inc. (STS)

N/A

$1,001 - $15,000

None (or less
than $201)

150

Synchrony Financial (SYF)

N/A

$1,001 - $15,000

None (or less
than $201)

151

Symantec Corporation (SYMC)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

152

Tucows Inc. (TCX)

N/A

$1,001 - $15,000

None (or less
than $201)

153

Templeton Emerging Markets Small Cap Adv
(TEMZX)

Yes

$1,001 - $15,000

None (or less
than $201)

154

Touchstone Focused Y (TFFYX)

Yes

$1,001 - $15,000

None (or less
than $201)

155

Direxion Daily 20+ Yr Trsy Bear 3X ETF (TMV)

Yes

$1,001 - $15,000

None (or less
than $201)

156

Tortoise MLP & Pipeline Instl (TORIX)

Yes

$1,001 - $15,000

None (or less
than $201)

157

Timberland Bancorp, Inc. (TSBK)

N/A

$1,001 - $15,000

None (or less
than $201)

158

Tyson Foods, Inc. (TSN)

N/A

$1,001 - $15,000

None (or less
than $201)

159

Tesoro Corporation (TSO)

N/A

$1,001 - $15,000

None (or less
than $201)

160

Townsquare Media, Inc. (TSQ)

N/A

$1,001 - $15,000

None (or less
than $201)

161

Guggenheim Directional Allocation I (TVRIX)

Yes

$1,001 - $15,000

None (or less
than $201)

162

United Continental Holdings, Inc. (UAL)

N/A

$1,001 - $15,000

None (or less
than $201)

163

UCP, Inc. (UCP)

N/A

$1,001 - $15,000

None (or less
than $201)

164

Unifi, Inc. (UFI)

N/A

$1,001 - $15,000

None (or less
than $201)

165

Universal Health Services, Inc. (UHS)

N/A

$1,001 - $15,000

None (or less
than $201)

166

ProShares UltraPro S&P500 (UPRO)

Yes

$15,001 $50,000

None (or less
than $201)

167

USD Partners LP (USDP)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

168

Vanguard Telecommunication Services ETF
(VOX)

Yes

$1,001 - $15,000

None (or less
than $201)

169

Vanguard Value ETF (VTV)

Yes

$1,001 - $15,000

None (or less
than $201)

170

Vanguard Growth ETF (VUG)

Yes

$1,001 - $15,000

None (or less
than $201)

171

Viad Corp (VVI)

N/A

$1,001 - $15,000

None (or less
than $201)

172

Vanguard FTSE Emerging Markets ETF (VWO)

Yes

$1,001 - $15,000

None (or less
than $201)

173

The Williams Companies, Inc. (WMB)

N/A

$1,001 - $15,000

None (or less
than $201)

174

WestRock Company (WRK)

N/A

$1,001 - $15,000

None (or less
than $201)

175

Materials Select Sector SPDR ETF (XLB)

Yes

$1,001 - $15,000

None (or less
than $201)

176

Energy Select Sector SPDR ETF (XLE)

Yes

$1,001 - $15,000

None (or less
than $201)

177

Financial Select Sector SPDR ETF (XLF)

Yes

$1,001 - $15,000

None (or less
than $201)

178

Industrial Select Sector SPDR ETF (XLI)

Yes

$1,001 - $15,000

None (or less
than $201)

179

Technology Select Sector SPDR ETF (XLK)

Yes

$1,001 - $15,000

None (or less
than $201)

180

Consumer Staples Select Sector SPDR ETF
(XLP)

Yes

$1,001 - $15,000

None (or less
than $201)

181

Real Estate Select Sector SPDR (XLRE)

Yes

$1,001 - $15,000

None (or less
than $201)

182

Utilities Select Sector SPDR ETF (XLU)

Yes

$1,001 - $15,000

None (or less
than $201)

183

Health Care Select Sector SPDR ETF (XLV)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

184

Consumer Discret Sel Sect SPDR ETF (XLY)

Yes

$1,001 - $15,000

None (or less
than $201)

185

XPO Logistics, Inc. (XPO)

N/A

$1,001 - $15,000

None (or less
than $201)

186

Zix Corporation (ZIXI)

N/A

$1,001 - $15,000

None (or less
than $201)

187

American Funds SMALLCAP World 529A
(CSPAX)

Yes

$1,001 - $15,000

None (or less
than $201)

188

American Funds American Mutual 529A
(CMLAX)

Yes

$1,001 - $15,000

None (or less
than $201)

189

American Funds New Economy 529A
(CNGAX)

Yes

$1,001 - $15,000

None (or less
than $201)

190

American Funds Bond Fund of Amer 529A
(CFAAX)

Yes

$1,001 - $15,000

None (or less
than $201)

191

American Funds Europacific Growth 529A
(CEUAX)

Yes

$1,001 - $15,000

None (or less
than $201)

192

American Funds Growth Fund of Amer 529A
(CGFAX)

Yes

$1,001 - $15,000

None (or less
than $201)

193

American Funds American High-Inc 529A
(CITAX)

Yes

$1,001 - $15,000

None (or less
than $201)

194

American Funds SMALLCAP World 529A
(CSPAX)

Yes

$1,001 - $15,000

None (or less
than $201)

195

American Funds Washington Mutual 529A
(CWMAX)

Yes

$1,001 - $15,000

None (or less
than $201)

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

INCOME TYPE

INCOME
AMOUNT

 8. Liabilities
#

CREDITOR NAME

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

1

Morgan Stanley Bank

Exercised Line
of Credit

$50,001 $100,000

2011

LIBOR + 3%

on demand

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

Endnotes
PART

#

ENDNOTE

5.

30

This asset is a managed account. The values and income of the underlying holdings of this managed
account are below the reporting thresholds.

 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).