Nominee Report   U.S. Office of Government Ethics; 5 C.F.R. part 2634   Form Approved: OMB No. (3209-0001) (March 2014)

Executive Branch Personnel
Public Financial Disclosure Report (OGE Form 278e)
Filer's Information
Gerrish, Jeffrey David
Deputy United States Trade Representative (Asia, Europe, the Middle East, and Industrial Competitiveness), Office of the U.S. Trade Representative
Other Federal Government Positions Held During the Preceding 12 Months:
None
Names of Congressional Committees Considering Nomination:
●
Committee on Finance

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/ Gerrish, Jeffrey David [electronically signed on 04/14/2017 by Gerrish, Jeffrey David 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/ Kaye, Janice A, Certifying Official [electronically signed on 06/16/2017 by Kaye, Janice A in Integrity.gov]

Other review conducted by

U.S. Office of Government Ethics Certification
/s/ Apol, David, Certifying Official [electronically signed on 06/22/2017 by Apol, David in Integrity.gov]

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

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

Skadden, Arps, Slate, Meagher & Flom LLP

Washington,
District of
Columbia

Law Firm

Partner

4/2007

Present

VALUE

INCOME TYPE

INCOME
AMOUNT

partnership
share

$2,324,561

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

DESCRIPTION

EIF

1

Skadden, Arps, Slate, Meagher & Flom LLP
(law firm)

N/A

2

Skadden, Arps, Slate, Meagher & Flom LLP
capital account

N/A

$500,001 $1,000,000

None (or less
than $201)

3

Skadden, Arps, Slate, Meagher & Flom LLP
money purchase defined contribution
retirement plan

Yes

$250,001 $500,000

$15,001 $50,000

4

Skadden, Arps, Slate, Meagher & Flom LLP
401K savings plan

No

4.1

Vanguard Total Bond Market Index Fund
(VBTLX)

Yes

$15,001 $50,000

$201 - $1,000

4.2

AMG TimesSquare Small Cap Growth Fund
(TSCIX)

Yes

$50,001 $100,000

$2,501 - $5,000

4.3

T Rowe Price Growth Stock Fund (PRGFX)

Yes

$100,001 $250,000

None (or less
than $201)

4.4

Vanguard Institutional Index Fund (VIIIX)

Yes

$250,001 $500,000

$5,001 - $15,000

5

Skadden, Arps, Slate, Meagher & Flom LLP
cash benefit plan (anticipated lump sum
payment)

N/A

$50,001 $100,000

6

Skadden, Arps, Slate, Meagher & Flom LLC
anticipated partnership share

N/A

$100,001 $250,000

Interest

$1,001 - $2,500

None (or less
than $201)

 3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

Skadden, Arps, Slate, Meagher & Flom LLP

Washington,
District of
Columbia

Capital Account: Pursuant to the partnership
agreement, I will receive a refund of my capital
account within two years of my withdrawal date. The
payment will be calculated as of the date of my
withdrawal.

4/2007

2

Skadden, Arps, Slate, Meagher & Flom LLP

New York, New
York

Retirement Plan: I will continue to participate in this
defined contribution plan. The firm will not make
further contributions after my separation.

4/2007

3

Skadden, Arps, Slate, Meagher & Flom LLP

New York, New
York

401K Savings Plan: I will continue to participate in this
defined contribution plan. The firm will not make
further contributions after my separation.

7/2000

4

Skadden, Arps, Slate, Meagher & Flom LLP

New York, New
York

Cash Benefit Plan: I will receive a lump sum payout
that will be rolled over into an IRA within
approximately three months following the month in
which I withdraw from the firm.

4/2007

5

Skadden, Arps, Slate, Meagher & Flom LLP

Washington,
District of
Columbia

Partnership Share: Pursuant to the partnership
agreement, I will receive my final partnership share
within two years of my withdrawal date. The payment
will be calculated as of the date of my withdrawal.

4/2007

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

Skadden, Arps, Slate, Meagher & Flom LLP

Washington,
District of
Columbia

Legal services

2

United States Steel Corporation

Pittsburgh,
Pennsylvania

Legal services

3

Tensar International Corporation

Alpharetta,
Georgia

Legal services

4

Indo-US MIM Tec Pvt. Ltd.

Princeton, New
Jersey

Legal services

 #

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

5

CF Industries, Inc.

Deerfield,
Illinois

Legal services

6

Endo Health Solutions Inc.

Malvern,
Pennsylvania

Legal services

7

Hanwha SolarOne USA, Inc.

Irvine, California

Legal services

8

HFT Holdings, Inc.

Calabasas,
California

Legal services

9

Centaurus Capital, L.P.

Houston, Texas

Legal services

10

Daimler AG

Stuttgart,
Germany,
Outside U.S.

Legal services

11

Third Avenue Management LLC

New York, New
York

Legal services

12

Middleby Corporation

Elgin, Illinois

Legal services

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

DESCRIPTION

EIF

1

Hahn Fitness of Engleside, LLC (d/b/a
Anytime Fitness)

N/A

VALUE

INCOME TYPE

INCOME
AMOUNT

salary

6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

U.S. bank account #1 (cash)

N/A

$15,001 $50,000

None (or less
than $201)

2

U.S. bank account #2 (cash)

N/A

$50,001 $100,000

None (or less
than $201)

3

Virginia 529 CollegeAmerica #1

No

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.1

American Funds The Growth Fund of
America 529A (CGFAX)

Yes

$50,001 $100,000

$2,501 - $5,000

3.2

American Funds The Growth Fund of
America 529C (CGFCX)

Yes

$15,001 $50,000

$1,001 - $2,500

3.3

American Funds New Perspective Fund 529A
(CNPAX)

Yes

$50,001 $100,000

$1,001 - $2,500

3.4

American Funds New Perspective Fund 529C
(CNPCX)

Yes

$15,001 $50,000

$201 - $1,000

3.5

American Funds New World Fund 529A
(CNWAX)

Yes

$15,001 $50,000

$201 - $1,000

3.6

American Funds New World Fund 529C
(CNWCX)

Yes

$15,001 $50,000

None (or less
than $201)

3.7

American Funds Washington Mutual
Investors Fund 529A (CWMAX)

Yes

$50,001 $100,000

$2,501 - $5,000

3.8

American Funds Washington Mutual
Investors Fund 529C (CWMCX)

Yes

$15,001 $50,000

$1,001 - $2,500

4

Virginia 529 CollegeAmerica #2

No

4.1

American Funds The Growth Fund of
America 529A (CGFAX)

Yes

$50,001 $100,000

$2,501 - $5,000

4.2

American Funds The Growth Fund of
America 529C (CGFCX)

Yes

$1,001 - $15,000

$201 - $1,000

4.3

American Funds New Perspective Fund 529A
(CNPAX)

Yes

$50,001 $100,000

$1,001 - $2,500

4.4

American Funds New Perspective Fund 529C
(CNPCX)

Yes

$1,001 - $15,000

$201 - $1,000

4.5

American Funds New World Fund 529A
(CNWAX)

Yes

$15,001 $50,000

$201 - $1,000

4.6

American Funds New World Fund 529C
(CNWCX)

Yes

$1,001 - $15,000

None (or less
than $201)

4.7

American Funds Washington Mutual
Investors Fund 529A (CWMAX)

Yes

$50,001 $100,000

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

4.8

American Funds Washington Mutual
Investors Fund 529C (CWMCX)

Yes

$1,001 - $15,000

$201 - $1,000

5

Virginia 529 CollegeAmerica #3

No

5.1

American Funds The Growth Fund of
America 529A (CGFAX)

Yes

$50,001 $100,000

$2,501 - $5,000

5.2

American Funds New Perspective Fund 529A
(CNPAX)

Yes

$50,001 $100,000

$1,001 - $2,500

5.3

American Funds New World Fund 529A
(CNWAX)

Yes

$15,001 $50,000

$201 - $1,000

5.4

American Funds Washington Mutual
Investors Fund 529A (CWMAX)

Yes

$50,001 $100,000

$2,501 - $5,000

6

Mutual of Omaha Life Insurance Company
(universal life)

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

7

Mutual of Omaha Life Insurance Company
(universal life)

N/A

$15,001 $50,000

Interest

$201 - $1,000

8

American General Life Insurance
Company/The United States Life Insurance
Company in the City of New York (member
company of American International Group
Inc) (universal life)

N/A

$1,001 - $15,000

Interest

$201 - $1,000

9

American General Life Insurance
Company/The United States Life Insurance
Company in the City of New York (a member
company of American International Group
Inc) (universal life)

N/A

$1,001 - $15,000

Interest

$201 - $1,000

10

U.S. bank account #3 (cash)

N/A

$250,001 $500,000

Interest

$201 - $1,000

11

Morgan Stanley Investment Advisory
Account

No

11.1

Altria Group Inc stock (MO)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.2

Coca-Cola Co stock (KO)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

11.3

Colgate-Palmolive Co stock (CL)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.4

Exxon Mobil Corp stock (XOM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.5

General Electric Co stock (GE)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.6

Johnson & Johnson stock (JNJ)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.7

McDonald's Corp stock (MCD)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.8

Procter & Gamble Co stock (PG)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.9

Verizon Communications Inc stock (VZ)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

11.10

Guggenheim S&P 500 Equal Weight ETF
(RSP)

Yes

$15,001 $50,000

$201 - $1,000

11.11

Lord Abbett Short Duration Income Fund
(LALDX)

Yes

$50,001 $100,000

$1,001 - $2,500

11.12

Unit AAM Bahl & Gaynor Income Growth
Fund 2016-2Q

Yes

$15,001 $50,000

$201 - $1,000

11.13

Unit First Trust Dividend Strength Portfolio
Series 29 (FDERTX)

Yes

$50,001 $100,000

$1,001 - $2,500

11.14

Unit First Trust Capital Strength Buy-Write
29 (FTJMVX)

Yes

$50,001 $100,000

None (or less
than $201)

11.15

Unit AAM Health Care Opportunities 162

Yes

$15,001 $50,000

None (or less
than $201)

11.16

Unit First Trust SMid Capital Strength 30
(FBLQCX)

Yes

$15,001 $50,000

None (or less
than $201)

11.17

Unit First Trust Capital Strength Buy-Write
25 (FSWGUX) (terminated 1/2017)

Yes

None (or less
than $1,001)

$5,001 - $15,000

11.18

Unit AAM Health Care Opportunities 14
(terminated 2016)

Yes

None (or less
than $1,001)

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

11.19

Unit First Trust SMid Capital Strength 22
(FRETAX) (terminated 9/2016)

Yes

None (or less
than $1,001)

$1,001 - $2,500

11.20

Morgan Stanley Tax Free Daily Income Trust
(DSTXX)

Yes

$1,001 - $15,000

None (or less
than $201)

12

Brighthouse Life Insurance Variable Annuity
Series B

No

12.1

MetLife Multi-Index Targeted Risk Portfolio
(income amount not ascertainable)

Yes

13

Morgan Stanley IRA #1

No

13.1

First Trust Large Cap Core AlphaDEX Fund
(FEX)

Yes

$15,001 $50,000

$201 - $1,000

13.2

Vanguard Mid-Cap ETF (VO)

Yes

$1,001 - $15,000

None (or less
than $201)

13.3

Vanguard Small Cap Index Fund (VB)

Yes

$1,001 - $15,000

None (or less
than $201)

13.4

Diamond Hill Long-Short Fund (DHLSX)

Yes

$1,001 - $15,000

None (or less
than $201)

13.5

Franklin Convertible Securities Fund (FCSZX)

Yes

$1,001 - $15,000

$201 - $1,000

13.6

Goldman Sachs Strategic Income Fund
(GSZIX)

Yes

$1,001 - $15,000

None (or less
than $201)

13.7

Guggenheim Macro Opportunities Fund
(GIOIX)

Yes

$1,001 - $15,000

$201 - $1,000

13.8

Invesco Equally Weighted S&P 500 Fund
(VADDX)

Yes

$15,001 $50,000

$201 - $1,000

13.9

Ivy International Core Equity Fund (ICEIX)

Yes

$1,001 - $15,000

None (or less
than $201)

13.10

Lord Abbett Short Duration Income Fund
(LDLFX)

Yes

$1,001 - $15,000

$201 - $1,000

13.11

Virtus Insight Emerging Markets
Opportunities Fund (HIEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

14

Morgan Stanley IRA #2

No

$100,001 $250,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

14.1

First Trust Large Cap Core AlphaDEX Fund
(FEX)

Yes

$15,001 $50,000

$201 - $1,000

14.2

Vanguard Mid-Cap ETF (VO)

Yes

$1,001 - $15,000

None (or less
than $201)

14.3

Vanguard Small Cap Index Fund (VB)

Yes

$1,001 - $15,000

None (or less
than $201)

14.4

Diamond Hill Long-Short Fund (DHLSX)

Yes

$1,001 - $15,000

None (or less
than $201)

14.5

Franklin Convertible Securities Fund (FCSZX)

Yes

$1,001 - $15,000

None (or less
than $201)

14.6

Goldman Sachs Strategic Income Fund
(GSZIX)

Yes

$1,001 - $15,000

None (or less
than $201)

14.7

Guggenheim Macro Opportunities Fund
(GIOIX)

Yes

$1,001 - $15,000

$201 - $1,000

14.8

Henderson International Opportunities
Fund (HFOIX)

Yes

$1,001 - $15,000

None (or less
than $201)

14.9

Invesco Equally-Weighted S&P 500 Fund
(VADDX)

Yes

$15,001 $50,000

$201 - $1,000

14.10

Lazard Emerging Markets Equity Portfolio
(LZEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

14.11

Virtus Multi-Sector Short Term Bond Fund
(PIMSX)

Yes

$1,001 - $15,000

$201 - $1,000

15

Bahl and Gaynor Income Management
Managed IRA Account

No

15.1

3M Co stock (MMM)

N/A

$1,001 - $15,000

None (or less
than $201)

15.2

Abbott Laboratories stock (ABT)

N/A

$1,001 - $15,000

None (or less
than $201)

15.3

AbbVie Inc stock (ABBV)

N/A

$1,001 - $15,000

None (or less
than $201)

15.4

Air Products & Chemicals Inc stock (APD)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

15.5

Altria Group Inc stock (MO)

N/A

$1,001 - $15,000

None (or less
than $201)

15.6

Amgen Inc stock (AMGN)

N/A

$1,001 - $15,000

None (or less
than $201)

15.7

Automatic Data Processing stock (ADP)

N/A

$1,001 - $15,000

None (or less
than $201)

15.8

BB&T Corp stock (BBT)

N/A

$1,001 - $15,000

None (or less
than $201)

15.9

Blackrock Inc stock (BLK)

N/A

$1,001 - $15,000

None (or less
than $201)

15.10

Cisco Systems Inc stock (CSCO)

N/A

$1,001 - $15,000

None (or less
than $201)

15.11

Crown Castle International Corp stock (CCI)

N/A

$1,001 - $15,000

None (or less
than $201)

15.12

Enbridge Inc stock (ENB)

N/A

$1,001 - $15,000

None (or less
than $201)

15.13

Exxon Mobil Corp stock (XOM)

N/A

$1,001 - $15,000

None (or less
than $201)

15.14

Fastenal Co stock (FAST)

N/A

$1,001 - $15,000

None (or less
than $201)

15.15

General Electric Co stock (GE)

N/A

$1,001 - $15,000

None (or less
than $201)

15.16

Hasbro Inc stock (HAS)

N/A

$1,001 - $15,000

None (or less
than $201)

15.17

Home Depot Inc stock (HD)

N/A

$1,001 - $15,000

None (or less
than $201)

15.18

Honeywell International Inc stock (HON)

N/A

$1,001 - $15,000

None (or less
than $201)

15.19

Illinois Tool Works Inc stock (ITW)

N/A

$1,001 - $15,000

None (or less
than $201)

15.20

Johnson & Johnson stock (JNJ)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

15.21

JPMorgan Chase & Co stock (JPM)

N/A

$1,001 - $15,000

None (or less
than $201)

15.22

Kimberly Clark Corp stock (KMB)

N/A

$1,001 - $15,000

None (or less
than $201)

15.23

Lockheed Martin Corp stock (LMT)

N/A

$1,001 - $15,000

None (or less
than $201)

15.24

LyondellBasell Industries NV stock (LYB)

N/A

$1,001 - $15,000

None (or less
than $201)

15.25

Maxim Integrated Products Inc stock (MXIM)

N/A

$1,001 - $15,000

None (or less
than $201)

15.26

Medtronic PLC stock (MDT)

N/A

$1,001 - $15,000

None (or less
than $201)

15.27

Merck & Co Inc stock (MRK)

N/A

$1,001 - $15,000

None (or less
than $201)

15.28

Microsoft Corp stock (MSFT)

N/A

$1,001 - $15,000

None (or less
than $201)

15.29

NextEra Energy Inc stock (NEE)

N/A

$1,001 - $15,000

None (or less
than $201)

15.30

Occidental Petroleum Corp stock (OXY)

N/A

$1,001 - $15,000

None (or less
than $201)

15.31

Paychex Inc stock (PAYX)

N/A

$1,001 - $15,000

None (or less
than $201)

15.32

PepsiCo Inc stock (PEP)

N/A

$1,001 - $15,000

None (or less
than $201)

15.33

Pfizer Inc stock (PFE)

N/A

$1,001 - $15,000

None (or less
than $201)

15.34

Philip Morris International Inc stock (PM)

N/A

$1,001 - $15,000

None (or less
than $201)

15.35

PNC Financial Services Group Inc stock
(PNC)

N/A

$1,001 - $15,000

None (or less
than $201)

15.36

Realty Income Corp stock (O)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

15.37

Texas Instruments Inc stock (TXN)

N/A

$1,001 - $15,000

None (or less
than $201)

15.38

Ventas Inc stock (VTR)

N/A

$1,001 - $15,000

None (or less
than $201)

15.39

WEC Energy Group Inc stock (WEC)

N/A

$1,001 - $15,000

None (or less
than $201)

16

Cohen & Steers Realty Shares Fund (CSRSX)

Yes

$15,001 $50,000

None (or less
than $201)

17

First Eagle Overseas Fund (SGOIX)

Yes

$15,001 $50,000

None (or less
than $201)

18

Invesco Premier Portfolio (money market)
(IPPXX)

Yes

$1,001 - $15,000

None (or less
than $201)

19

Lord Abbett Short Duration Income Fund
(LDLFX)

Yes

$15,001 $50,000

None (or less
than $201)

20

Putnam Income Fund (PNCYX)

Yes

$50,001 $100,000

None (or less
than $201)

21

Virtus Insight Emerging Markets
Opportunities Fund (HIEMX)

Yes

$15,001 $50,000

None (or less
than $201)

22

Morgan Stanley Investment Advisory
Account

No

22.1

iShares MSCI Emerging Markets ETF (EEM)

Yes

$15,001 $50,000

$201 - $1,000

22.2

iShares Russell Mid-Cap Index Fund (IWR)

Yes

$15,001 $50,000

$201 - $1,000

22.3

PowerShares Dynamic Market ETF (PWC)

Yes

$50,001 $100,000

$201 - $1,000

22.4

Cohen & Steers Realty Shares Fund (CSRSX)

Yes

$15,001 $50,000

$1,001 - $2,500

22.5

Diamond Hill Long-Short Fund (DHLSX)

Yes

$15,001 $50,000

$201 - $1,000

22.6

Goldman Sachs Multi-Manager Alternatives
Fund (GSMMX)

Yes

$15,001 $50,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

22.7

MFS International Value Fund (MINIX)

Yes

$15,001 $50,000

$201 - $1,000

22.8

MFS Municipal Limited Maturity Fund
(MTLIX)

Yes

$50,001 $100,000

$1,001 - $2,500

22.9

PIMCO Real Return Fund (PRLPX)

Yes

$15,001 $50,000

$201 - $1,000

22.10

Pioneer Strategic Income Fund (STRYX)

Yes

$15,001 $50,000

$201 - $1,000

22.11

Virtus Foreign Opportunities Fund (JVXIX)

Yes

$15,001 $50,000

$201 - $1,000

22.12

Virtus Multi-Sector Short Term Bond Fund
(PIMSX)

Yes

$15,001 $50,000

$201 - $1,000

23

Uniform Transfers to Minors Act (UTMA)
account

No

23.1

AB Relative Value Fund (CABDX)

Yes

$1,001 - $15,000

$201 - $1,000

23.2

Franklin Small Cap Growth Fund (FSGRX)

Yes

$1,001 - $15,000

None (or less
than $201)

23.3

Invesco American Franchise Fund (VAFAX)

Yes

$1,001 - $15,000

$201 - $1,000

23.4

Invesco Mid Cap Growth Fund (VGRAX)

Yes

$1,001 - $15,000

None (or less
than $201)

23.5

Voya Global Equity Fund (NAWGX)

Yes

$1,001 - $15,000

None (or less
than $201)

24

Bahl and Gaynor Income Management
Managed Account

No

24.1

3M Co stock (MMM)

N/A

$1,001 - $15,000

None (or less
than $201)

24.2

Abbott Laboratories stock (ABT)

N/A

$1,001 - $15,000

None (or less
than $201)

24.3

AbbVie Inc stock (ABBV)

N/A

$1,001 - $15,000

None (or less
than $201)

24.4

Air Products & Chemicals Inc stock (APD)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

24.5

Altria Group Inc stock (MO)

N/A

$1,001 - $15,000

None (or less
than $201)

24.6

Amgen Inc stock (AMGN)

N/A

$1,001 - $15,000

None (or less
than $201)

24.7

Automatic Data Processing stock (ADP)

N/A

$1,001 - $15,000

None (or less
than $201)

24.8

BB&T Corp stock (BBT)

N/A

$1,001 - $15,000

None (or less
than $201)

24.9

Blackrock Inc stock (BLK)

N/A

$1,001 - $15,000

None (or less
than $201)

24.10

Cisco Systems Inc stock (CSCO)

N/A

$1,001 - $15,000

None (or less
than $201)

24.11

Crown Castle International Corp stock (CCI)

N/A

$1,001 - $15,000

None (or less
than $201)

24.12

Enbridge Inc stock (ENB)

N/A

$1,001 - $15,000

None (or less
than $201)

24.13

Exxon Mobil Corp stock (XOM)

N/A

$1,001 - $15,000

None (or less
than $201)

24.14

Fastenal Co stock (FAST)

N/A

$1,001 - $15,000

None (or less
than $201)

24.15

General Electric Co stock (GE)

N/A

$1,001 - $15,000

None (or less
than $201)

24.16

Hasbro Inc stock (HAS)

N/A

$1,001 - $15,000

None (or less
than $201)

24.17

Home Depot Inc stock (HD)

N/A

$1,001 - $15,000

None (or less
than $201)

24.18

Honeywell International Inc stock (HON)

N/A

$1,001 - $15,000

None (or less
than $201)

24.19

Johnson & Johnson stock (JNJ)

N/A

$1,001 - $15,000

None (or less
than $201)

24.20

JPMorgan Chase & Co stock (JPM)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

24.21

Lockheed Martin Corp stock (LMT)

N/A

$1,001 - $15,000

None (or less
than $201)

24.22

LyondellBasell Industries NV stock (LYB)

N/A

$1,001 - $15,000

None (or less
than $201)

24.23

Maxim Integrated Products Inc stock (MXIM)

N/A

$1,001 - $15,000

None (or less
than $201)

24.24

Merck & Co Inc stock (MRK)

N/A

$1,001 - $15,000

None (or less
than $201)

24.25

Microsoft Corp stock (MSFT)

N/A

$1,001 - $15,000

None (or less
than $201)

24.26

NextEra Energy Inc stock (NEE)

N/A

$1,001 - $15,000

None (or less
than $201)

24.27

Occidental Petroleum Corp stock (OXY)

N/A

$1,001 - $15,000

None (or less
than $201)

24.28

Paychex Inc stock (PAYX)

N/A

$1,001 - $15,000

None (or less
than $201)

24.29

PepsiCo Inc stock (PEP)

N/A

$1,001 - $15,000

None (or less
than $201)

24.30

Pfizer Inc stock (PFE)

N/A

$1,001 - $15,000

None (or less
than $201)

24.31

Philip Morris International Inc stock (PM)

N/A

$1,001 - $15,000

None (or less
than $201)

24.32

PNC Financial Services Group Inc stock
(PNC)

N/A

$1,001 - $15,000

None (or less
than $201)

24.33

Texas Instruments Inc stock (TXN)

N/A

$1,001 - $15,000

None (or less
than $201)

24.34

Ventas Inc stock (VTR)

N/A

$1,001 - $15,000

None (or less
than $201)

24.35

WEC Energy Group Inc stock (WEC)

N/A

$1,001 - $15,000

None (or less
than $201)

25

Clearbridge Asset Mid Cap Core Managed
IRA Account

No

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

25.1

Air Lease Corp stock (AL)

N/A

$1,001 - $15,000

None (or less
than $201)

25.2

Allison Transmission Holdings Inc stock
(ALSN)

N/A

$1,001 - $15,000

None (or less
than $201)

25.3

Amdocs Limited stock (DOX)

N/A

$1,001 - $15,000

None (or less
than $201)

25.4

AmerisourceBergen Corp stock (ABC)

N/A

$1,001 - $15,000

None (or less
than $201)

25.5

Arch Capital Group Ltd stock (ACGL)

N/A

$1,001 - $15,000

None (or less
than $201)

25.6

Berry Global Group Inc stock (BERY)

N/A

$1,001 - $15,000

None (or less
than $201)

25.7

Casey's General Stores Inc stock (CASY)

N/A

$1,001 - $15,000

None (or less
than $201)

25.8

Check Point Software Technologies Ltd stock
(CHKP)

N/A

$1,001 - $15,000

None (or less
than $201)

25.9

Core Laboratories NV stock (CLB)

N/A

$1,001 - $15,000

None (or less
than $201)

25.10

Dentsply Sirona Inc stock (XRAY)

N/A

$1,001 - $15,000

None (or less
than $201)

25.11

Eversource Energy stock (ES)

N/A

$1,001 - $15,000

None (or less
than $201)

25.12

Foot Locker Inc stock (FL)

N/A

$1,001 - $15,000

None (or less
than $201)

25.13

Hanesbrands Inc stock (HBI)

N/A

$1,001 - $15,000

None (or less
than $201)

25.14

Hartford Financial Services Group Inc stock
(HIG)

N/A

$1,001 - $15,000

None (or less
than $201)

25.15

IPG Photonics Corp stock (IPGP)

N/A

$1,001 - $15,000

None (or less
than $201)

25.16

Lazard Ltd stock (LAZ)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

25.17

MEDNAX Inc stock (MD)

N/A

$1,001 - $15,000

None (or less
than $201)

25.18

PAREXEL International Corp stock (PRXL)

N/A

$1,001 - $15,000

None (or less
than $201)

25.19

Parsley Energy Inc stock (PE)

N/A

$1,001 - $15,000

None (or less
than $201)

25.20

Signet Jewelers Ltd stock (SIG)

N/A

$1,001 - $15,000

None (or less
than $201)

25.21

Starwood Property Trust Inc stock (STWD)

N/A

$1,001 - $15,000

None (or less
than $201)

25.22

Synchrony Financial stock (SYF)

N/A

$1,001 - $15,000

None (or less
than $201)

25.23

Vertex Pharmaceuticals Inc stock (VRTX)

N/A

$1,001 - $15,000

None (or less
than $201)

25.24

Whirlpool Corp stock (WHR)

N/A

$1,001 - $15,000

None (or less
than $201)

25.25

Hasbro Inc stock (HAS)

N/A

None (or less
than $1,001)

None (or less
than $201)

25.26

Sinclair Broadcast Group Inc stock (SBGI)

N/A

None (or less
than $1,001)

None (or less
than $201)

25.27

Western Alliance Bancorp stock (WAL)

N/A

$1,001 - $15,000

None (or less
than $201)

26

Penn Capital Management Managed IRA
Account

26.1

Capital Bank Financial Corp stock (CBF)

N/A

$1,001 - $15,000

None (or less
than $201)

26.2

Gray Television Inc stock (GTN)

N/A

$1,001 - $15,000

None (or less
than $201)

26.3

Huntsman Corp stock (HUN)

N/A

$1,001 - $15,000

None (or less
than $201)

26.4

Nexstar Media Group Inc stock (NXST)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

26.5

Sinclair Broadcast Group Inc stock (SBGI)

N/A

$1,001 - $15,000

None (or less
than $201)

26.6

Texas Capital Bancshares Inc stock (TCBI)

N/A

$1,001 - $15,000

None (or less
than $201)

26.7

Western Alliance Bancorp stock (WAL)

N/A

None (or less
than $1,001)

None (or less
than $201)

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

8. Liabilities
#

CREDITOR NAME

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

1

Wells Fargo

Mortgage on
Personal
Residence

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

2016

3.625%

30 years

2

Wells Fargo (paid off in 6/2016)

Mortgage on
Personal
Residence

$500,001 $1,000,000

2013

3.625%

30 years

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
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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).