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 Augustine, Rene Special Assistant to the President and Clearance Counsel, White House Date of Appointment: 01/20/2017 Other Federal Government Positions Held During the Preceding 12 Months: None Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge. /s/ Augustine, Rene [electronically signed on 01/14/2017 by Augustine, Rene 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). Other review conducted by U.S. Office of Government Ethics Certification Data Revised 03/30/2017 Data Revised 03/23/2017 Data Revised 03/13/2017 Data Revised 03/03/2017 Data Revised 03/02/2017 Data Revised 02/22/2017 Data Revised 02/21/2017 Data Revised 02/17/2017 Data Revised 02/16/2017 Data Revised 02/15/2017 Data Revised 02/14/2017 Data Revised 02/13/2017 Data Revised 02/09/2017 1. Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 1 National Theatre Corp. Washington, District of Columbia Non-Profit Trustee and Chair of Governance Committee 1/2017 Present 2 Trump for America Washington, District of Columbia Non-Profit Counsel 12/2016 1/2017 3 CAA TRUST BETHESDA, Maryland Trust CO-TRUSTEE 8/2001 Present 4 IAA TRUST BETHESDA, Maryland Trust CO-TRUSTEE 8/1998 Present 5 AAA TRUST BETHESDA, Maryland Trust CO-TRUSTEE 4/2005 Present 6 RENE I AUGUSTINE 2005 REVOCABLE TRUST BETHESDA, Maryland Trust TRUSTEE 11/2005 Present 7 RENE I AUGUSTINE 2011 IRREVOCABLE TRUST BETHESDA, Maryland Trust CO-TRUSTEE 5/2011 Present INCOME TYPE INCOME AMOUNT 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE 1 POWERSHARES SENIOR LOAN ETF BKLN Yes $1,001 - $15,000 $201 - $1,000 2 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW Yes $1,001 - $15,000 None (or less than $201) 3 DB GOLD DOUBLE LONG ETN DGP Yes $1,001 - $15,000 None (or less than $201) 4 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS Yes $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 5 ISHARES MSCI EMERGING MARKETS ETF EEM Yes $1,001 - $15,000 None (or less than $201) 6 ISHARES JPMORGAN USD MTSBOND ETF EMB Yes $1,001 - $15,000 $201 - $1,000 7 PROSHARES ULTRASHORT EURO ETF EUO Yes $1,001 - $15,000 None (or less than $201) 8 WISDOMTREE EUR HDGD EUSC SMLCP EQT ETF Yes $1,001 - $15,000 None (or less than $201) 9 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR Yes $1,001 - $15,000 None (or less than $201) 10 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR Yes $1,001 - $15,000 None (or less than $201) 11 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ Yes $15,001 $50,000 $201 - $1,000 12 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM Yes $1,001 - $15,000 None (or less than $201) 13 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ Yes $1,001 - $15,000 None (or less than $201) 14 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM Yes $1,001 - $15,000 $201 - $1,000 15 ISHARES IBOXX HIGH YIELDBOND ETF HYG Yes $1,001 - $15,000 $201 - $1,000 16 ISHARES CORE S&P MID CAPETF IJH Yes $1,001 - $15,000 None (or less than $201) 17 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ Yes $1,001 - $15,000 None (or less than $201) 18 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL Yes $1,001 - $15,000 None (or less than $201) 19 SCHWAB EMERGING MARKETS EQUITY ETF SCHE Yes $1,001 - $15,000 None (or less than $201) 20 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU Yes $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 21 ISHARES TIPS BOND ETF TIP Yes $1,001 - $15,000 None (or less than $201) 22 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO Yes $1,001 - $15,000 None (or less than $201) 23 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ Yes $1,001 - $15,000 None (or less than $201) 24 ISHARES IBOXX INVT GRADEBOND ETF LQD Yes None (or less than $1,001) $201 - $1,000 25 CASH IN IRA N/A $1,001 - $15,000 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 None 5. Spouse's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 SCH Adv Cash Resrv Prem SWZXX Yes $15,001 $50,000 None (or less than $201) 2 Vanguard Small Cap Index NAESX Yes $50,001 $100,000 $1,001 - $2,500 3 National Basketball Association Pension N/A $500,001 $1,000,000 None (or less than $201) 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 POWERSHARES SENIOR LOAN ETF BKLN Yes $15,001 $50,000 $1,001 - $2,500 2 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW Yes $1,001 - $15,000 None (or less than $201) 3 DB GOLD DOUBLE LONG ETN DGP Yes $1,001 - $15,000 None (or less than $201) 4 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS Yes $1,001 - $15,000 None (or less than $201) 5 ISHARES MSCI EMERGING MARKETS ETF EEM Yes $15,001 $50,000 $201 - $1,000 6 ISHARES JPMORGAN USD MTSBOND ETF EMB Yes $15,001 $50,000 $1,001 - $2,500 7 PROSHARES ULTRASHORT EURO ETF EUO Yes $15,001 $50,000 None (or less than $201) 8 WISDOMTREE EUR HDGD EUSC SMLCP EQT ETF Yes $1,001 - $15,000 $201 - $1,000 9 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR Yes $1,001 - $15,000 None (or less than $201) 10 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR Yes $1,001 - $15,000 None (or less than $201) 11 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ Yes $50,001 $100,000 $1,001 - $2,500 12 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM Yes $1,001 - $15,000 None (or less than $201) 13 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ Yes $1,001 - $15,000 $201 - $1,000 14 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM Yes $15,001 $50,000 $201 - $1,000 # DESCRIPTION EIF VALUE 15 ISHARES IBOXX HIGH YIELDBOND ETF HYG Yes $15,001 $50,000 $1,001 - $2,500 16 ISHARES CORE S&P MID CAPETF IJH Yes $1,001 - $15,000 None (or less than $201) 17 ISHARES S&P MID CAP 400 VALUE ETF IJJ Yes $1,000,001 $5,000,000 $15,001 $50,000 18 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ Yes $15,001 $50,000 None (or less than $201) 19 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL Yes $1,001 - $15,000 None (or less than $201) 20 SCHWAB EMERGING MARKETS EQUITY ETF SCHE Yes $1,001 - $15,000 None (or less than $201) 21 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU Yes $1,001 - $15,000 None (or less than $201) 22 ISHARES TIPS BOND ETF TIP Yes $1,001 - $15,000 $201 - $1,000 23 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO Yes $15,001 $50,000 None (or less than $201) 24 VANGUARD 500 INDEX FD INVESTOR SHS VFINX Yes $1,000,001 $5,000,000 $15,001 $50,000 25 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ Yes $1,001 - $15,000 None (or less than $201) 26 ISHARES IBOXX INVT GRADEBOND ETF LQD Yes None (or less than $1,001) $201 - $1,000 27 PROSHARES ULTRA 7-10 YR TREASURY ETF UST Yes None (or less than $1,001) $201 - $1,000 28 VANGUARD SHORT TERM COR BD ETF VCSH Yes None (or less than $1,001) $201 - $1,000 29 SPDR FUND CONSUMER Yes None (or less than $1,001) $201 - $1,000 30 POWERSHARES SENIOR LOAN ETF BKLN 2005 REV TR Yes $50,001 $100,000 $1,001 - $2,500 STAPLES ETF XLP INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 31 WISDOMTREE JAPAN HEDGED EQUITY ETF DXJ 2005 REV TR Yes $15,001 $50,000 $1,001 - $2,500 32 DIREXION DAILY EMERG EDZ 2005 REV TR Yes $1,001 - $15,000 None (or less than $201) 33 ISHARES MSCI EMERGING MARKETS ETF EEM 2005 REV TR Yes $50,001 $100,000 None (or less than $201) 34 ISHARES JPMORGAN USD MTSBOND ETF EMB 2005 REV TR Yes $100,001 $250,000 $2,501 - $5,000 35 PROSHARES ULTRASHORT 2005 REV TR EURO ETF EUO Yes $50,001 $100,000 None (or less than $201) 36 WISDOMTREE EUR HDGD EUSC 2005 REV TR SMLCP EQT ETF Yes $50,001 $100,000 $201 - $1,000 37 SPDR GOLD SHARES ETF GLD 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 38 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 39 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ 2005 REV TR Yes $100,001 $250,000 None (or less than $201) 40 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 41 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ 2005 REV TR Yes $15,001 $50,000 $201 - $1,000 42 ISHARES CRRNCY HDG MSCI EURZN ETF IV HEZU 2005 REV TR Yes $50,001 $100,000 $1,001 - $2,500 43 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM 2005 REV TR Yes $50,001 $100,000 $201 - $1,000 44 ISHARES IBOXX HIGH YIELDBOND ETF HYG 2005 REV TR Yes $50,001 $100,000 $1,001 - $2,500 45 ISHARES GOLD ETF IAU 2005 REV TR Yes $50,001 $100,000 None (or less than $201) 46 ISHARES CORE S&P MID CAPETF IJH 2005 REV TR Yes $15,001 $50,000 None (or less than $201) MRKT BER 3X ETF INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 47 ISHARES IBOXX INVT GRADEBOND ETF LQD 2005 REV TR Yes $50,001 $100,000 None (or less than $201) 48 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ 2005 REV TR Yes $50,001 $100,000 $1,001 - $2,500 49 PIMCO EMRG MKTS CORP BD FD INST PEMIX 2005 REV TR Yes $50,001 $100,000 None (or less than $201) 50 POWERSHARES INDIA PIN 2005 REV TR Yes $15,001 $50,000 $201 - $1,000 51 POWERSHARES QQQ TRUST SRS 1 ETF QQQ 2005 REV TR Yes $15,001 $50,000 $201 - $1,000 52 PROSHARES SHORT RUSSELL 2000 ETF RWM 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 53 PROSHARES ULTRASHORT S&P500 ETF SDS 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 54 SPDR S&P 500 ETF SPY 2005 REV TR Yes $15,001 $50,000 $201 - $1,000 55 ISHARES TIPS BOND ETF TIP 2005 REV TR Yes $50,001 $100,000 $201 - $1,000 56 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO 2005 REV TR Yes $15,001 $50,000 None (or less than $201) 57 DIR DAILY 20+ YEAR TRSRYBULL 3X ETF TMF 2005 REV TR Yes $1,001 - $15,000 None (or less than $201) 58 DIREXION DAILY SMALL CAPBULL 3X ETF TNA 2005 REV TR Yes $1,001 - $15,000 None (or less than $201) 59 PROSHARES ULTRA 7-10 YR TREASURY ETF UST 2005 REV TR Yes $50,001 $100,000 $201 - $1,000 60 VANGUARD SMALL CAP ETF VB 2005 REV TR Yes $15,001 $50,000 $201 - $1,000 61 VANGUARD 500 INDEX FD INVESTOR SHS VFINX 2005 REV TR Yes $100,001 $250,000 $2,501 - $5,000 62 VANGUARD REIT ETF VNQ 2005 REV TR Yes $15,001 $50,000 $1,001 - $2,500 PORTFOLIO ETF INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 63 VANGUARD GLBAL EX US VNQI 2005 REV TR 64 SPDR FUND CONSUMER 2005 REV TR 65 INCOME TYPE INCOME AMOUNT REAL ESTATE ETF Yes $1,001 - $15,000 $201 - $1,000 STAPLES ETF XLP Yes $15,001 $50,000 None (or less than $201) SELECT SECTOR UTI SELECTSPDR ETF XLU 2005 REV TR Yes $1,001 - $15,000 $201 - $1,000 66 POWERSHARES SENIOR LOAN ETF BKLN 2011 IRREV TR Yes $250,001 $500,000 $5,001 - $15,000 67 ISHARES MSCI MEXICO CAPPED ETF EWW 2005 REV TR Yes None (or less than $1,001) None (or less than $201) 68 GUGGENHEIM CHINA SMALL CAP ETF HAO 2005 REV TR Yes None (or less than $1,001) $201 - $1,000 69 SCHWAB ADV CASH RESERVE SWQXX 2005 REV TR Yes None (or less than $1,001) None (or less than $201) 70 ISHARES 20+ YR TREASURY BOND ETF TLT 2005 REV TR Yes None (or less than $1,001) None (or less than $201) 71 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 72 DB GOLD DOUBLE LONG ETN DGP 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 73 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 74 ISHARES MSCI EMERGING MARKETS ETF EEM 2011 IRREV TR Yes $250,001 $500,000 $5,001 - $15,000 75 ISHARES JPMORGAN USD MTSBOND ETF EMB 2011 IRREV TR Yes $250,001 $500,000 $5,001 - $15,000 76 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC 2011 IRREV TR Yes $100,001 $250,000 $5,001 - $15,000 77 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 78 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR 2011 IRREV TR Yes $100,001 $250,000 $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 79 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ 2011 IRREV TR Yes $500,001 $1,000,000 $15,001 $50,000 80 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM 2011 IRREV TR Yes $50,001 $100,000 $1,001 - $2,500 81 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ 2011 IRREV TR Yes $100,001 $250,000 $5,001 - $15,000 82 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM 2011 IRREV TR Yes $250,001 $500,000 $5,001 - $15,000 83 ISHARES IBOXX HIGH YIELDBOND ETF HYG 2011 IRREV TR Yes $250,001 $500,000 $15,001 $50,000 84 ISHARES CORE S&P MID CAPETF IJH 2011 IRREV TR Yes $100,001 $250,000 $201 - $1,000 85 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ 2011 IRREV TR Yes $250,001 $500,000 $2,501 - $5,000 86 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 87 SCHWAB EMERGING MARKETS EQUITY ETF SCHE 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 88 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 89 ISHARES TIPS BOND ETF TIP 2011 IRREV TR Yes $100,001 $250,000 $1,001 - $2,500 90 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO 2011 IRREV TR Yes $100,001 $250,000 $201 - $1,000 91 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 92 ASG MGD FUTURES STRATEGY FD CL Y ASFYX 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) 93 CATALYST HEDGED FUTURES STRAT I HFXIX Yes $100,001 $250,000 None (or less than $201) 94 AQR EQTY MKT NEUTRAL FD CL I QMNIX 2011 IRREV TR Yes $100,001 $250,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 95 VANGUARD 500 INDEX FD INVESTOR SHS VFINX 2011 IRREV TR Yes $1,000,001 $5,000,000 $15,001 $50,000 96 VANGUARD TOTAL STOCK MARKET ETF VTI 2011 IRREV TR Yes $500,001 $1,000,000 $5,001 - $15,000 97 ISHARES CURRENCY HEDG MSCI EMERG ETF EWW 2011 IRREV TR Yes None (or less than $1,001) $201 - $1,000 98 ISHARES 3-7 YEAR TRERY BOND ETF IEI 2011 IRREV TR Yes None (or less than $1,001) None (or less than $201) 99 SPDR S&P BANK ETF IV KBE 2011 IRREV TR Yes None (or less than $1,001) $201 - $1,000 100 ISHARES IBOXX INVT GRADEBOND ETF LQD 2011 IRREV TR Yes None (or less than $1,001) $5,001 - $15,000 101 PIMCO EMRG MKTS CORP BD FD INST Yes None (or less than $1,001) $1,001 - $2,500 102 PIMCO EMRG MKTS CORP BD FD INST PEMIX 2011 IRREV TR Yes None (or less than $1,001) $1,001 - $2,500 103 POWERSHARES INDIA PORTFOLIO ETF PIN 2011 IRREV TR Yes None (or less than $1,001) $1,001 - $2,500 104 PROSHARES ULTRA QQQ ETF QLD 2011 IRREV TR Yes None (or less than $1,001) None (or less than $201) 105 SPDR S&P 500 ETF IV SPY 2011 IRREV TR Yes None (or less than $1,001) $201 - $1,000 106 PROSHARES ULTRA 7-10 YR TREASURY ETF UST 2011 IRREV TR Yes None (or less than $1,001) $2,501 - $5,000 107 VANGUARD SHORT TERM COR BD ETF VCSH 2011 IRREV TR Yes None (or less than $1,001) $5,001 - $15,000 108 VANGUARD REIT ETF IV VNQ 2011 IRREV TR Yes None (or less than $1,001) $1,001 - $2,500 109 VANGUARD GLBAL EX US REAL EST ETF IV VNQI 2011 IRREV TR Yes None (or less than $1,001) $1,001 - $2,500 110 SPDR FUND CONSUMER STAPLES ETF XLP 2011 IRREV TR Yes None (or less than $1,001) $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 111 SPDR S&P RETAIL ETF XRT 2011 IRREV TR Yes None (or less than $1,001) $201 - $1,000 112 POWERSHARES SENIOR LOAN ETF BKLN NFD 2003 TR Yes $15,001 $50,000 $1,001 - $2,500 113 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 114 DB GOLD DOUBLE LONG ETN DGP NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 115 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 116 ISHARES MSCI EMERGING MARKETS ETF EEM NFD 2003 TR Yes $15,001 $50,000 $1,001 - $2,500 117 ISHARES JPMORGAN USD MTSBOND ETF EMB NFD 2003 TR Yes $50,001 $100,000 $2,501 - $5,000 118 PROSHARES ULTRASHORT EURO ETF EUO NFD 2003 TR Yes $50,001 $100,000 None (or less than $201) 119 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC NFD 2003 TR Yes $15,001 $50,000 $1,001 - $2,500 120 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 121 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR NFD 2003 TR Yes $15,001 $50,000 $201 - $1,000 122 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ NFD 2003 TR Yes $100,001 $250,000 $2,501 - $5,000 123 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM NFD 2003 TR Yes $15,001 $50,000 $201 - $1,000 124 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ NFD 2003 TR Yes $15,001 $50,000 $1,001 - $2,500 125 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM NFD 2003 TR Yes $50,001 $100,000 $1,001 - $2,500 126 ISHARES IBOXX HIGH YIELDBOND ETF HYG NFD 2003 TR Yes $15,001 $50,000 $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 127 ISHARES CORE S&P MID CAPETF IJH NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 128 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ NFD 2003 TR Yes $50,001 $100,000 $201 - $1,000 129 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 130 SCHWAB EMERGING MARKETS EQUITY ETF SCHE NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 131 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 132 ISHARES TIPS BOND ETF TIP NFD 2003 TR Yes $15,001 $50,000 $201 - $1,000 133 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 134 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ NFD 2003 TR Yes $15,001 $50,000 None (or less than $201) 135 ISHARES MSCI MEXICO CAPPED ETF EWW NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 136 ISHARES 3-7 YEAR TRERY BOND ETF IEI NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 137 SPDR S&P BANK ETF IV KBE NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 138 ISHARES IBOXX INVT GRADEBOND ETF LQD NFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 139 PIMCO EMRG MKTS CORP BD FD INST PEMIX NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 140 POWERSHARES INDIA PORTFOLIO ETF PIN NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 141 PROSHARES ULTRA QQQ ETF QLD NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 142 SPDR S&P 500 ETF IV SPY NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 143 PROSHARES ULTRA 7-10 YR TREASURY ETF UST NFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 144 VANGUARD SHORT TERM COR BD ETF VCSH NFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 145 VANGUARD REIT ETF IV VNQ NFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 146 VANGUARD GLBAL EX US REAL EST ETF IV VNQI NFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 147 SPDR FUND CONSUMER STAPLES ETF XLP NFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 148 SPDR S&P RETAIL ETF XRT NFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 149 POWERSHARES SENIOR LOAN ETF BKLN MFD 2003 TR Yes None (or less than $1,001) $2,501 - $5,000 150 ISHARES MSCI EMERGING MARKETS ETF EEM MFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 151 ISHARES JPMORGAN USD MTSBOND ETF EMB MFD 2003 TR Yes None (or less than $1,001) $2,501 - $5,000 152 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC MFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 153 ISHARES MSCI MEXICO CAPPED ETF EWW MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 154 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 155 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ MFD 2003 TR Yes None (or less than $1,001) $2,501 - $5,000 156 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 157 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 158 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM MFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 159 ISHARES IBOXX HIGH YIELDBOND ETF HYG MFD 2003 TR Yes None (or less than $1,001) $2,501 - $5,000 160 ISHARES 3-7 YEAR TRERY BOND ETF IEI MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 161 ISHARES CORE S&P MID CAPETF IJH MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 162 SPDR S&P BANK ETF IV KBE MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 163 ISHARES IBOXX INVT GRADEBOND ETF LQD MFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 164 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 165 PIMCO EMRG MKTS CORP BD FD INST PEMIX MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 166 POWERSHARES INDIA PORTFOLIO ETF PIN MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 167 PROSHARES ULTRA QQQ ETF QLD MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 168 SPDR S&P 500 ETF IV SPY MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 169 ISHARES TIPS BOND ETF TIP MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 170 PROSHARES ULTRA 7-10 YR TREASURY ETF UST MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 171 VANGUARD SHORT TERM COR BD ETF VCSH MFD 2003 TR Yes None (or less than $1,001) $1,001 - $2,500 172 VANGUARD REIT ETF IV VNQ MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 173 VANGUARD GLBAL EX US REAL EST ETF IV VNQI MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 174 SPDR FUND CONSUMER STAPLES ETF XLP MFD 2003 TR Yes None (or less than $1,001) $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 175 SPDR S&P RETAIL ETF XRT MFD 2003 TR Yes None (or less than $1,001) None (or less than $201) 176 POWERSHARES SENIOR LOAN ETF BKLN NFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 177 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 178 DB GOLD DOUBLE LONG ETN DGP NFD 2009 TR Yes $15,001 $50,000 None (or less than $201) 179 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 180 ISHARES MSCI EMERGING MARKETS ETF EEM NFD 2009 TR Yes $100,001 $250,000 $1,001 - $2,500 181 ISHARES JPMORGAN USD MTSBOND ETF EMB NFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 182 PROSHARES ULTRASHORT EURO ETF EUO NFD 2009 TR Yes $100,001 $250,000 None (or less than $201) 183 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC NFD 2009 TR Yes $50,001 $100,000 $1,001 - $2,500 184 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 185 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR NFD 2009 TR Yes $50,001 $100,000 $201 - $1,000 186 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ NFD 2009 TR Yes $250,001 $500,000 $5,001 - $15,000 187 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM NFD 2009 TR Yes $15,001 $50,000 $201 - $1,000 188 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ NFD 2009 TR Yes $50,001 $100,000 $1,001 - $2,500 189 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM NFD 2009 TR Yes $100,001 $250,000 $2,501 - $5,000 190 ISHARES IBOXX HIGH YIELDBOND ETF HYG NFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 191 ISHARES CORE S&P MID CAPETF IJH NFD 2009 TR Yes $15,001 $50,000 $201 - $1,000 192 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ NFD 2009 TR Yes $100,001 $250,000 $201 - $1,000 193 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL NFD 2009 TR Yes $15,001 $50,000 None (or less than $201) 194 SCHWAB EMERGING MARKETS EQUITY ETF SCHE NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 195 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU NFD 2009 TR Yes $15,001 $50,000 None (or less than $201) 196 ISHARES TIPS BOND ETF TIP NFD 2009 TR Yes $50,001 $100,000 $201 - $1,000 197 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO NFD 2009 TR Yes $50,001 $100,000 $201 - $1,000 198 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 199 ASG MGD FUTURES STRATEGY FD CL Y ASFYX NFD 2009 TR Yes $15,001 $50,000 None (or less than $201) 200 FIDELITY 500 INDEX FD INV FUSEX NFD 2009 TR Yes $1,000,001 $5,000,000 $50,001 $100,000 201 CATALYST HEDGED FUTURES STRAT I HFXIX NFD 2009 TR Yes $100,001 $250,000 $15,001 $50,000 202 AQR EQTY MKT NEUTRAL FD CL I QMNIX NFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 203 VANGUARD 500 INDEX FD INVESTOR SHS VFINX NFD 2009 TR Yes $1,000,001 $5,000,000 $50,001 $100,000 204 VANGUARD TOTAL STOCK MARKET ETF VTI NFD 2009 TR Yes $1,000,001 $5,000,000 $15,001 $50,000 205 ISHARES MSCI MEXICO CAPPED ETF EWW NFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 206 ISHARES 3-7 YEAR TRERY BOND ETF IEI NFD 2009 TR Yes None (or less than $1,001) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 207 SPDR S&P BANK ETF IV KBE NFD 2009 TR Yes None (or less than $1,001) None (or less than $201) 208 ISHARES IBOXX INVT GRADEBOND ETF LQD NFD 2009 TR Yes None (or less than $1,001) $2,501 - $5,000 209 PIMCO EMRG MKTS CORP BD FD INST PEMIX NFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 210 POWERSHARES INDIA PORTFOLIO ETF PIN NFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 211 PROSHARES ULTRA QQQ ETF QLD NFD 2009 TR Yes None (or less than $1,001) None (or less than $201) 212 HEDGE PREMIER MILLENNIUM USA HEDGE FUND Yes $1,000,001 $5,000,000 None (or less than $201) 212.1 MILLENNIUM USA HEDGE FUND Yes $1,000,001 $5,000,000 None (or less than $201) 213 SPDR S&P 500 ETF IV SPY NFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 214 PROSHARES ULTRA 7-10 YR TREASURY ETF UST NFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 215 HEDGE FORUM RENAISSANCE EQUITY LLC CL B HEDGE FUND Yes $1,000,001 $5,000,000 None (or less than $201) 215.1 RENAISSANCE INSTITUTIONAL EQUITIES FUND LLC Yes $1,000,001 $5,000,000 None (or less than $201) 216 VANGUARD SHORT TERM COR BD ETF VCSH NFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 217 VANGUARD REIT ETF IV VNQ NFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 218 VANGUARD GLBAL EX US REAL EST ETF IV VNQI NFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 219 SPDR FUND CONSUMER STAPLES ETF XLP NFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 220 SPDR S&P RETAIL ETF XRT NFD 2009 TR Yes None (or less than $1,001) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 221 POWERSHARES SENIOR LOAN ETF BKLN MFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 222 DEUT X TRK MSCI WLD EX US HDG ETF IV DBAW MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 223 DB GOLD DOUBLE LONG ETN DGP MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 224 WISDOMTREE JAPAN HEDGED SC EQUTY ETF DXJS MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 225 ISHARES MSCI EMERGING MARKETS ETF EEM MFD 2009 TR Yes $100,001 $250,000 $2,501 - $5,000 226 ISHARES JPMORGAN USD MTSBOND ETF EMB MFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 227 PROSHARES ULTRASHORT EURO ETF EUO MFD 2009 TR Yes $100,001 $250,000 None (or less than $201) 228 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC MFD 2009 TR Yes $50,001 $100,000 $2,501 - $5,000 229 ETFS PHYSICAL PRECIOUS MTL BSKT ETF GLTR MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 230 SPDR S&P GLOBAL NATURAL RESOURCS ETF GNR MFD 2009 TR Yes $50,001 $100,000 $201 - $1,000 231 WISDOMTREE EUROPE HEDGEDEQTY ETF HEDJ MFD 2009 TR Yes $250,001 $500,000 $5,001 - $15,000 232 ISHARES CURRENCY HEDG MSCI EMERG ETF HEEM MFD 2009 TR Yes $15,001 $50,000 $201 - $1,000 233 BRIGHTWOOD CAPITAL III LP 2011 IRREV TR Yes $250,001 $500,000 $15,001 $50,000 234 ISHARES CURRENCY HEDGED MSCI JAP ETF HEWJ MFD 2009 TR Yes $50,001 $100,000 $2,501 - $5,000 235 VANECK VECTORS EMERGING MKTS HIGH YIELD BD ETF HYEM MFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 236 HEDGE PREMIER MILLENNIUM USA HEDGE FUND NFD 2009 TR Yes $250,001 $500,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 236.1 MILLENNIUM USA HEDGE FUND Yes $250,001 $500,000 None (or less than $201) 237 ISHARES IBOXX HIGH YIELDBOND ETF HYG MFD 2009 TR Yes $100,001 $250,000 $5,001 - $15,000 238 ISHARES CORE S&P MID CAPETF IJH MFD 2009 TR Yes $50,001 $100,000 $201 - $1,000 239 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ MFD 2009 TR Yes $100,001 $250,000 $1,001 - $2,500 240 BARCLYS IPATH NOTES LKD GAS OIL INDX OIL MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 241 SCHWAB EMERGING MARKETS EQUITY ETF SCHE MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 242 CARLYLE GMS FINANCE NFD 2009 TR Yes $250,001 $500,000 $15,001 $50,000 243 PROSHARES ULTRAPRO SHORTS&P 500 ETF SPXU MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 244 ISHARES TIPS BOND ETF TIP MFD 2009 TR Yes $50,001 $100,000 $1,001 - $2,500 245 SPDR BLMBRG BRCLY LG TM TRSRY ETF TLO MFD 2009 TR Yes $100,001 $250,000 $201 - $1,000 246 HEDGE FORUM RENAISSANCE EQUITY LLC CL B HEDGE FUND 2011 IRREV TR Yes $1,000,001 $5,000,000 None (or less than $201) 246.1 RENAISSANCE INSTITUTIONAL EQUITIES FUND LLC Yes $1,000,001 $5,000,000 None (or less than $201) 247 PIMCO 25YR ZERO CUPN US TRS INDX ETF ZROZ MFD 2009 TR Yes $50,001 $100,000 None (or less than $201) 248 T ROWE PRICE MD TAX FREE BOND FUND MDXBX MFD 2009 TR Yes $250,001 $500,000 None (or less than $201) 249 VANGUARD TOTAL STOCK MARKET ETF VTI MFD 2009 TR Yes $1,000,001 $5,000,000 $15,001 $50,000 250 CLINTON EQUITY STRATEGIES FUND LP 2011 IRREV TR Yes $250,001 $500,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 251 CONSECO LIFE INSURANCE COMPANY WHOLE LIFE POLICY N/A $100,001 $250,000 252 RESIDENTIAL RESIDENCE ESTES PARK, COLORADO N/A $1,000,001 $5,000,000 Rent or Royalties $100,001 $1,000,000 253 CROSSHILL DEBT II No $100,001 $250,000 Interest $2,501 - $5,000 253.1 CORERO NETWORK SECURITY N/A $15,001 $50,000 None (or less than $201) 253.2 METEOR AFFINITY INC N/A $50,001 $100,000 None (or less than $201) 253.3 GENERATION ZERO GROUP N/A None (or less than $1,001) None (or less than $201) 254 CYPRESS FITNESS LLC No $1,001 - $15,000 None (or less than $201) 255 ISHARES MSCI MEXICO CAPPED ETF EWW MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 256 GGE INVESTMENTS LLC No $15,001 $50,000 None (or less than $201) 257 M&I INVESTMENTS No $1,001 - $15,000 None (or less than $201) 257.1 AMERICAN CENTURY ULTRA TWCUX N/A $1,001 - $15,000 None (or less than $201) 258 ISHARES 3-7 YEAR TRERY BOND ETF IEI MFD 2009 TR Yes None (or less than $1,001) None (or less than $201) 259 SPDR S&P BANK ETF IV KBE MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 260 ISHARES IBOXX INVT GRADEBOND ETF LQD MFD 2009 TR Yes None (or less than $1,001) $2,501 - $5,000 261 PIMCO EMRG MKTS CORP BD FD INST PEMIX MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 262 POWERSHARES INDIA PORTFOLIO ETF PIN MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 263 PROSHARES ULTRA QQQ ETF QLD MFD 2009 TR Yes None (or less than $1,001) None (or less than $201) 264 SPDR S&P 500 ETF IV SPY MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 265 PROSHARES ULTRA 7-10 YR TREASURY ETF UST MFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 266 VANGUARD SHORT TERM COR BD ETF VCSH MFD 2009 TR Yes None (or less than $1,001) $2,501 - $5,000 267 VANGUARD REIT ETF IV VNQ MFD 2009 Yes None (or less than $1,001) $201 - $1,000 268 VANGUARD GLBAL EX US REAL EST ETF IV VNQI MFD 2009 TR Yes None (or less than $1,001) $201 - $1,000 269 SPDR FUND CONSUMER STAPLES ETF XLP MFD 2009 TR Yes None (or less than $1,001) $1,001 - $2,500 270 SPDR S&P RETAIL ETF XRT MFD 2009 TR Yes None (or less than $1,001) None (or less than $201) 271 VANGUARD TOTAL INTERNATIONAL BND ETF BNDX CAA TR Yes $15,001 $50,000 $201 - $1,000 272 BRCLYS BK IPATH BLOOM COMMODITY ETN DJP CAA TR Yes $15,001 $50,000 None (or less than $201) 273 ISHARES COHEN AND STEERSREIT ETF ICF CAA TR Yes $15,001 $50,000 $1,001 - $2,500 274 KAYNE ANDERSON MLP INVES KYN CAA TR Yes $1,001 - $15,000 $1,001 - $2,500 275 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ CAA TR Yes $50,001 $100,000 $1,001 - $2,500 276 TFS MARKET NEUTRAL FUND TFSMX CAA TR Yes $15,001 $50,000 None (or less than $201) 277 VANGUARD EXTENDED MARKET INDEX FD INV SHRS VEXMX CAA TR Yes $50,001 $100,000 $201 - $1,000 278 VANGUARD 500 INDEX FD ADMIRAL SHRS VFIAX CAA TR Yes $100,001 $250,000 $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 279 VANGUARD TOTAL INTL STK INDEX FD INV VGTSX CAA TR Yes $15,001 $50,000 $201 - $1,000 280 VANGUARD MID CAP INDEX FUND INV CL VIMSX CAA TR Yes $15,001 $50,000 $201 - $1,000 281 VANGUARD SMALL CAP GWTH INDEX FD INV VISGX CAA TR Yes $100,001 $250,000 $1,001 - $2,500 282 ALMANACK ALPHA LP HEDGE FUND NFD 2009 TR No $1,000,001 $5,000,000 None (or less than $201) 282.1 EAGLE'S VIEW LP HEDGE FUND Yes $1,000,001 $5,000,000 None (or less than $201) 283 ALMANACK ALPHA LP HEDGE FUND 2011 IRREV TR No $500,001 $1,000,000 None (or less than $201) 283.1 EAGLES VIEW LP HEDGE FUND Yes $1,000,001 $5,000,000 None (or less than $201) 284 SCHWAB CASH CAA TR N/A $50,001 $100,000 None (or less than $201) 285 SCHWAB CASH IAA TR N/A $50,001 $100,000 None (or less than $201) 286 SCHWAB CASH 2011 IRREV TR N/A $1,000,001 $5,000,000 None (or less than $201) 287 SCHWAB CASH AAA TR N/A $50,001 $100,000 None (or less than $201) 288 SCHWAB CASH NFD 2003 TR N/A $1,001 - $15,000 None (or less than $201) 289 SCHWAB CASH MFD 2009 TR N/A $1,000,001 $5,000,000 None (or less than $201) 290 SCHWAB CASH NFD 2009 TR N/A $100,001 $250,000 None (or less than $201) 291 VANGUARD TOTAL INTERNATIONAL BND ETF BNDX IAA TR Yes $15,001 $50,000 $201 - $1,000 292 BRCLYS BK IPATH BLOOM COMMODITY ETN DJP IAA TR Yes $15,001 $50,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 293 ISHARES COHEN AND STEERSREIT ETF ICF IAA TR Yes $15,001 $50,000 $1,001 - $2,500 294 KAYNE ANDERSON MLP INVES KYN IAA TR Yes $1,001 - $15,000 $1,001 - $2,500 295 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ IAA TR Yes $50,001 $100,000 $1,001 - $2,500 296 TFS MARKET NEUTRAL FUND TFSMX IAA TR Yes $15,001 $50,000 None (or less than $201) 297 VANGUARD EXTENDED MARKET INDEX FD INV SHRS VEXMX IAA TR Yes $50,001 $100,000 $201 - $1,000 298 VANGUARD 500 INDEX FD ADMIRAL SHRS VFIAX IAA TR Yes $100,001 $250,000 $2,501 - $5,000 299 VANGUARD TOTAL INTL STK INDEX FD INV VGTSX IAA TR Yes $15,001 $50,000 $201 - $1,000 300 MORGAN STANLEY CASH 2011 IRREV TR N/A $15,001 $50,000 None (or less than $201) 301 VANGUARD MID CAP INDEX FUND INV CL VIMSX IAA TR Yes $15,001 $50,000 $201 - $1,000 302 VANGUARD SMALL CAP GWTH INDEX FD INV VISGX IAA TR Yes $100,001 $250,000 $1,001 - $2,500 303 BANK OF AMERICA CASH N/A $100,001 $250,000 None (or less than $201) 304 MERRILL LYNCH CASH N/A $1,001 - $15,000 None (or less than $201) 305 VANGUARD 500 INDEX FUND VFIAX INDIV Yes $50,001 $100,000 $1,001 - $2,500 306 VANGUARD TOTAL INTERNATIONAL BND ETF BNDX AAA TR Yes $15,001 $50,000 $201 - $1,000 307 BRCLYS BK IPATH BLOOM COMMODITY ETN DJP AAA TR Yes $15,001 $50,000 None (or less than $201) 308 ISHARES COHEN AND STEERSREIT ETF ICF AAA TR Yes $15,001 $50,000 $1,001 - $2,500 309 KAYNE ANDERSON MLP INVES KYN AAA TR Yes $1,001 - $15,000 $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 310 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ AAA TR Yes $50,001 $100,000 $1,001 - $2,500 311 TFS MARKET NEUTRAL FUND TFSMX AAA TR Yes $15,001 $50,000 None (or less than $201) 312 VANGUARD EXTENDED MARKET INDEX FD INV SHRS VEXMX AAA TR Yes $50,001 $100,000 $201 - $1,000 313 VANGUARD 500 INDEX FD ADMIRAL SHRS VFIAX AAA TR Yes $100,001 $250,000 $2,501 - $5,000 314 VANGUARD TOTAL INTL STK INDEX FD INV VGTSX AAA TR Yes $15,001 $50,000 $201 - $1,000 315 VANGUARD MID CAP INDEX FUND INV CL VIMSX AAA TR Yes $15,001 $50,000 $201 - $1,000 316 VANGUARD SMALL CAP GWTH INDEX FD INV VISGX AAA TR Yes $100,001 $250,000 $1,001 - $2,500 317 POWERSHARES SENIOR LOAN ETF BKLN AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 318 WISDOMTREE JAPAN HEDGED EQUITY ETF DXJ AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 319 DIREXION DAILY EMERG MRKT BER 3X ETF EDZ AA 2016 TR Yes None (or less than $1,001) None (or less than $201) 320 ISHARES JPMORGAN USD MTSBOND ETF EMB AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 321 WISDOMTREE EUR HDGD SMLCP EQT ETF EUSC AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 322 SPDR GOLD SHARES ETF GLD AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 323 ISHARES CRRNCY HDG MSCI EURZN ETF IV HEZU AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 324 ISHARES IBOXX HIGH YIELDBOND ETF HYG AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 325 PIMCO 15+ YEAR US TIPS INDEX ETF LTPZ AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 326 POWERSHARES INDIA PORTFOLIO ETF PIN AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 327 POWERSHARES QQQ TRUST SRS 1 ETF QQQ AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 328 SPDR S&P 500 ETF SPY AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 329 ISHARES TIPS BOND ETF TIP AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 330 DIR DAILY 20+ YEAR TRSRYBULL 3X ETF TMF AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 331 DIREXION DAILY SMALL CAPBULL 3X ETF TNA AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 332 PROSHARES ULTRA 7-10 YR TREASURY ETF UST AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 333 VANGUARD SMALL CAP ETF VB AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 334 VANGUARD 500 INDEX FD INVESTOR SHS VFINX AA 2016 TR Yes $15,001 $50,000 None (or less than $201) 335 VANGUARD REIT ETF VNQ AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 336 VANGUARD GLBAL EX US REAL ESTATE ETF VNQI AA 2016 TR Yes None (or less than $1,001) None (or less than $201) 337 SELECT SECTOR UTI SELECTSPDR ETF XLU AA 2016 TR Yes $1,001 - $15,000 None (or less than $201) 338 BALANCED PORTFOLIO CAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 339 BOND AND INCOME PORTFOLIO CAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 340 EQUITY PORTFOLIO CAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 341 PORTFOLIO FOR COLLEGE CAA MD 529 PLAN Yes $15,001 $50,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 342 PORTFOLIO 2018 CAA MD 529 PLAN Yes $50,001 $100,000 None (or less than $201) 343 PORTFOLIO 2021 CAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 344 BALANCED PORTFOLIO IAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 345 BOND AND INCOME PORTFOLIO IAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 346 EQUITY PORTFOLIO IAA MD 529 PLAN Yes $1,001 - $15,000 None (or less than $201) 347 PORTFOLIO FOR COLLEGE IAA MD 529 PLAN Yes $15,001 $50,000 None (or less than $201) 348 PORTFOLIO 2018 IAA MD 529 PLAN Yes $15,001 $50,000 None (or less than $201) 349 PORTFOLIO 2021 IAA MD 529 PLAN Yes $15,001 $50,000 None (or less than $201) 350 PORTFOLIO 2021 AAA MD 529 PLAN Yes $100,001 $250,000 None (or less than $201) 351 RESIDENTIAL REAL ESTATE FOUNTAIN HILLS, AZ N/A $100,001 $250,000 None (or less than $201) 7. Transactions (N/A) - Not required for this type of report 8. Liabilities # CREDITOR NAME TYPE AMOUNT YEAR INCURRED 1 American Express Credit Card $15,001 $50,000 2017 RATE TERM # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 2 2011 IRREV TR BRIGHTWOOD CAPITAL III REMAINING CAPITAL TO BE CALLED CAPITAL CALL STRUCTURE ALTERNATIVE INVESTMENT $100,001 $250,000 2014 NA ON DEMAND 3 NFD 2009 TR CARLYLE GMS FINANCE REMAINING CAPITAL TO BE CALLED CAPITAL CALL STRUCTURE ALTERNATIVE INVESTMENT $100,001 $250,000 2014 NA ON DEMAND 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes Summary of Contents 1. Filer's Positions Held Outside United States Government Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable even if the filer did not receive compensation. This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions held as part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited partner or non-managing member of a limited liability company. 2. Filer's Employment Assets & Income and Retirement Accounts Part 2 discloses the following: ● ● Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share, honoraria, scholarships, and prizes) Assets related to the filer's business, employment, or other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents) This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business, employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). 3. Filer's Employment Agreements and Arrangements Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States Government), such as the following: ● ● ● ● ● Future employment Leave of absence Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer) Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of a company's profits, etc.) 4. Filer's Sources of Compensation Exceeding $5,000 in a Year Part 4 discloses sources (except the United States Government) that paid more than $5,000 in a calendar year for the filer's services during any year of the reporting period. The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source made its payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services for which the client is paying. 5. Spouse's Employment Assets & Income and Retirement Accounts Part 5 discloses the following: ● ● ● Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and partnership share) Sources of honoraria for the filer's spouse greater than $200 during the reporting period Assets related to the filer's spouse's employment, business activities, other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents) This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business, employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding honoraria). 6. Other Assets and Income Part 6 discloses each asset, not already reported, that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in investment income during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and dependent children. This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement benefits associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a single financial institution with a value of $5,000 or less (unless more than $200 of income was produced). Additional exceptions apply. Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). 7. Transactions Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during reporting period. This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional exceptions apply. 8. Liabilities Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period. This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans secured by a personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as credit card balances, if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply. 9. Gifts and Travel Reimbursements This section discloses: ● ● Gifts totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period. Travel reimbursements totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period. For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $150 or less. Regardless of the value, this section does not include the following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or local governments; (3) bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel; (5) gifts of hospitality (food, lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children totally independent of their relationship to the filer. Additional exceptions apply. Privacy Act Statement Title I of the Ethics in Government Act of 1978, as amended (the Act), 5 U.S.C. app. § 101 et seq., as amended by the Stop Trading on Congressional Knowledge Act of 2012 (Pub. L. 112-105) (STOCK Act), and 5 C.F.R. Part 2634 of the U. S. Office of Government Ethics regulations require the reporting of this information. The primary use of the information on this report is for review by Government officials to determine compliance with applicable Federal laws and regulations. This report may also be disclosed upon request to any requesting person in accordance with sections 105 and 402(b)(1) of the Act or as otherwise authorized by law. You may inspect applications for public access of your own form upon request. Additional disclosures of the information on this report may be made: (1) to any requesting person, subject to the limitation contained in section 208(d)(1) of title 18, any determination granting an exemption pursuant to sections 208(b)(1) and 208(b)(3) of title 18; (2) to a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of violations or potential violations of law or regulation; (3) to another Federal agency, court or party in a court or Federal administrative proceeding when the Government is a party or in order to comply with a judge-issued subpoena; (4) to a source when necessary to obtain information relevant to a conflict of interest investigation or determination; (5) to the National Archives and Records Administration or the General Services Administration in records management inspections; (6) to the Office of Management and Budget during legislative coordination on private relief legislation; (7) to the Department of Justice or in certain legal proceedings when the disclosing agency, an employee of the disclosing agency, or the United States is a party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation; (8) to reviewing officials in a new office, department or agency when an employee transfers or is detailed from one covered position to another; (9) to a Member of Congress or a congressional office in response to an inquiry made on behalf of an individual who is the subject of the record; (10) to contractors and other non-Government employees working on a contract, service or assignment for the Federal Government when necessary to accomplish a function related to an OGE Government-wide system of records; and (11) on the OGE Website and to any person, department or agency, any written ethics agreement filed with OGE by an individual nominated by the President to a position requiring Senate confirmation. See also the OGE/GOVT-1 executive branch-wide Privacy Act system of records. Public Burden Information This collection of information is estimated to take an average of three hours per response, including time for reviewing the instructions, gathering the data needed, and completing the form. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Program Counsel, U.S. Office of Government Ethics (OGE), Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917. Pursuant to the Paperwork Reduction Act, as amended, an agency may not conduct or sponsor, and no person is required to respond to, a collection of information unless it displays a currently valid OMB control number (that number, 3209-0001, is displayed here and at the top of the first page of this OGE Form 278e).