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
Fitzgerald, Brenda
Director, CDC, Department of Health & Human Services
Date of Appointment: 07/07/2017
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/ Fitzgerald, Brenda [electronically signed on 06/23/2017 by Fitzgerald, Brenda 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/ Olesh, Stanley, Certifying Official [electronically signed on 09/08/2017 by Olesh, Stanley in Integrity.gov]

Other review conducted by
/s/ Olesh, Stanley, Ethics Official [electronically signed on 09/08/2017 by Olesh, Stanley in Integrity.gov]

U.S. Office of Government Ethics Certification

Data Revised 10/12/2017

 Data Revised 09/28/2017
Data Revised 09/08/2017
Data Revised 07/18/2017
Data Revised 07/17/2017
Data Revised 07/14/2017
Data Revised 07/13/2017
Data Revised 07/12/2017
Data Revised 07/11/2017
Data Revised 07/10/2017
Data Revised 07/06/2017
Data Revised 06/25/2017
Data Revised 06/23/2017

Comments of Reviewing Officials (public annotations):
PART

#

REFERENCE

COMMENT

N/A

N/A

General

(09/08/2017, Olesh, Stanley): 9/8/17 -- rec'd signed Ethics Agreement; some holdings already
divested, others pending divestiture under CD; contains recusal obligation relating to the two LLCs -SO

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

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

Georgia Dept. of Public Health

Atlanta, Georgia

Public Health

Commissioner

2/2011

7/2017

2

The Association of State and Territorial
Health Officials

Arlington,
Virginia

Non-Profit

Board Member

9/2014

7/2017

VALUE

INCOME TYPE

INCOME
AMOUNT

Salary -- CY2016
+ 1/2 CY2017

$262,500

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

DESCRIPTION

EIF

1

Georgia Dept. of Public Health

2

Morgan Stanley acct., traditional IRA

No

2.1

Berkshire Hathaway B (BRK'B)

N/A

$50,001 $100,000

None (or less
than $201)

2.2

Clearbridge Appreciation A (SHAPX)

Yes

$50,001 $100,000

$201 - $1,000

2.3

Delaware Small/Mid Cap Growth A (DFCIX)

Yes

$15,001 $50,000

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
#

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

Georgia Department of Public Health

Atlanta, Georgia

Director

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

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

Thomas E. Fitzgerald III MD Inc

N/A

$100,001 $250,000

Consulting Fees

2

Morgan Stanley Rollover IRA

No

2.1

Apple. Inc (AAPL)

N/A

$100,001 $250,000

$201 - $1,000

2.2

Bank of America Corp. (BAC)

N/A

$15,001 $50,000

$201 - $1,000

2.3

Morgan Stanley Bank N.A. (cash acct.)

N/A

$1,001 - $15,000

None (or less
than $201)

3

Morgan Stanley traditional IRA acct.

No

3.1

Anheuser Busch InBev SA (BUD) --

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.2

AT&T Inc (T)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.3

Bristol Myers Squibb Co. (BMY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.4

Caterpillar Inc. (CAT)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.5

Cisco Systems Inc (CSCO)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.6

Coca-Cola Co. (KO)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.7

Exxon Mobil Corp (XOM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.8

Ford Motor Co (F)

N/A

$1,001 - $15,000

None (or less
than $201)

3.9

General Electric Co. (GE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.10

Intel Corp (INTC)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.11

Johnson & Johnson (JNJ)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.12

JP Morgan Chase & Co. (JPM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.13

McDonalds Corp (MCD)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.14

Merck & Co Inc (MRK)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.15

Metlife Inc (MET)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.16

Procter & Gamble (PG)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.17

Verizon Communications (VZ)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

3.18

Walmart Stores Inc (WMT)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

3.19

Anheuser Busch InBev SA (BUD) , call option,
strike = 120, exp. 8/18/17 (value difficult to
ascertain)

N/A

None (or less
than $201)

3.20

AT&T (T), call option, strike = 40, exp.
7/21/17, 2 sh. (value difficult to ascertain)

N/A

None (or less
than $201)

3.21

Bristol Myers Squibb (BMY), call option,
strike = 57.5, exp. 9/15/17, 2 sh. (value
difficult to ascertain)

N/A

None (or less
than $201)

3.22

Caterpillar (CAT), call option, strike = 80, exp.
1/19/18, 2 sh. (value difficult to ascertain)

N/A

None (or less
than $201)

3.23

Cisco Systems Inc (CSCO), call option, strike
= 33, exp. 10/20/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.24

Exxon Mobil Corp. (XOM), call option, strike
= 82.5, exp. 7/21/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.25

Ford Motor Co. (F), call option, strike = 12,
exp.9/15/17, 3 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.26

General Electric Co (GE), call option, strike =
29, exp. 7/21/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.27

Intel Corp. (INTC), call option, strike = 37,
exp. 8/18/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.28

Johnson & Johnson (JNJ), call option, strike =
120, exp. 1/19/18, 1 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.29

JP Morgan Chase & Co (JPM), call option,
strike = 75, exp. 1/19/18, 2 sh. (value difficult
to ascertain)

N/A

None (or less
than $201)

3.30

McDonalds Corp (MCD), call option, strike =
135, exp. 1/19/18, 1 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.31

Metlife Inc. (MET), call option, strike = 50,
exp. 1/19/18, 3 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.32

Procter & Gamble (PG), call option, strike =
87.5, exp. 10/20/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

3.33

Verizon Communication (VZ), call option,
strike = 47, exp. 8/18/17, 2 sh. (value difficult
to ascertain)

N/A

None (or less
than $201)

3.34

Walmart Stores Inc (WMT), call option, strike
= 77.5, exp. 9/15/17, 2 sh. (value difficult to
ascertain)

N/A

None (or less
than $201)

4

Entrust Group IRA

No

4.1

GW Tool LLC

$50,001 $100,000

None (or less
than $201)

4.2

Greenway Messenger LLC

$50,001 $100,000

None (or less
than $201)

4.3

GW Ventures LLC

$250,001 $500,000

None (or less
than $201)

 6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

US banking account (cash account)

N/A

$1,001 - $15,000

None (or less
than $201)

2

Morgan Stanley brokerage (spouse)

No

2.1

AT&T Inc (T)

N/A

$15,001 $50,000

$201 - $1,000

2.2

Ford Motor Co Inc. (F)

N/A

$15,001 $50,000

$1,001 - $2,500

2.3

Restoration Hardware (RH)

N/A

$1,001 - $15,000

None (or less
than $201)

2.4

Wells Fargo & Co (WFC)

N/A

$15,001 $50,000

$201 - $1,000

3

SEI IMAP joint brokerage acct.

No

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

$5,001 - $15,000

3.1

New Jersey State Bond (07-15/17)

N/A

$1,001 - $15,000

None (or less
than $201)

3.2

Massachusetts State Bond (08/01/17)

N/A

$1,001 - $15,000

None (or less
than $201)

3.3

Maryland State Depart TRANSN CONS T
Bond (09/01/17)

N/A

$1,001 - $15,000

None (or less
than $201)

3.4

Honolulu Hawaii City & County Bond
(11/01/17)

N/A

$1,001 - $15,000

None (or less
than $201)

3.5

Tucson Arizona Bond (07/01/18)

N/A

$1,001 - $15,000

None (or less
than $201)

3.6

Horry County S C Bond (03/01/18)

N/A

$1,001 - $15,000

None (or less
than $201)

3.7

Charlotte N C Bond (07/01/16)

N/A

$1,001 - $15,000

None (or less
than $201)

3.8

Gwinnett CNTY GA Wtr & SEW AUT Bond
(08/01/18

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.9

Columbus Ohio Bond (07/01/18)

N/A

$1,001 - $15,000

None (or less
than $201)

3.10

Maryland State Bond (03/01/18)

N/A

$1,001 - $15,000

None (or less
than $201)

3.11

Charlotte N C CTFS PARTN Bond (12/01/18)

N/A

$1,001 - $15,000

None (or less
than $201)

3.12

South Carolina State Bond (04/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.13

Massachusetts State Bond (10/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.14

New York St DORM AUTH REVS NON
(10/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.15

Washington St FOR ISSUES DTD P (08-01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.16

Virginia State RES AUTH INFRASTRU Bond
(11/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.17

Mecklenburg County NC Bond (08/01/18

N/A

$1,001 - $15,000

None (or less
than $201)

3.18

District of Columbia Bond (06/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.19

Georgia State Bond (07/01/19)

N/A

$1,001 - $15,000

None (or less
than $201)

3.20

Georgia State Bond (01/01/20)

N/A

$1,001 - $15,000

None (or less
than $201)

3.21

New York ST DORM AUTH ST PERS
(03/15/20)

N/A

$1,001 - $15,000

None (or less
than $201)

3.22

Oregon St Department Administrative Bond
(04/01/20)

N/A

$1,001 - $15,000

None (or less
than $201)

3.23

Agllent Technologies, Inc (A)

N/A

$1,001 - $15,000

None (or less
than $201)

3.24

Apple Inc. (AAPL)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.25

AbbVie Inc. (ABBV)

N/A

$1,001 - $15,000

None (or less
than $201)

3.26

AmerisourceBergen Corp (ABC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.27

Abertis Infraestr UNSP ADR EACH Repr
(ABRTY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.28

Agricultural Bank of China UNSP ADR EA REP
25 ORD H SH (ACGBY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.29

Arch Capital Group Ltd. (ACGL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.30

Accenture pic Class A Ordinary Shares(ACN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.31

Avenue Income Credit Strategies FUnd (ACP)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.32

AllianzGi Diversified Income & Convertible
Fund

Yes

None (or less
than $1,001)

None (or less
than $201)

3.33

Automatic Data Processing, Inc.(ADP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.34

American Electric Power Company, Inc (AEP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.35

AllianceBernstein National Municipal
Income Fund Inc (AFB)

Yes

$1,001 - $15,000

None (or less
than $201)

3.36

American Financial Group, Inc (AFG)

N/A

$1,001 - $15,000

None (or less
than $201)

3.37

AFLAC Inc (AFL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.38

Advent Claymore Convertible Securities and
Income Fund (AGC)

Yes

$1,001 - $15,000

None (or less
than $201)

3.39

Alpine GlobalDynamic Dividend Fund Shares
(AGD)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.40

AGNC Investment Corp. (AGNC)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.41

Apollo Tactical Income Fund Inc. (AIF)

Yes

$1,001 - $15,000

None (or less
than $201)

3.42

Allison Transmission Holdings, Inc (ALSN)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.43

Amgen, Inc. (AMGN)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.44

Ameriprise Financial, Inc (AMP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.45

American Tower Corporation (REIT) (AMT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.46

TD Ameritrade Holding Corporation (AMTD)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.47

Amazon.com, Inc (AMZN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.48

Alpine Total Dynamic Dividend Fund (AOD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.49

Artisan Partners Asset Management Inc.
Class A (APAM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.50

Amphenol Corporation (APH)

N/A

$1,001 - $15,000

None (or less
than $201)

3.51

Antero Tesources Corporation (AR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.52

Ares Dynamic Credit Allocation Fund, Inc
(ARDC)

Yes

$100,001 $250,000

None (or less
than $201)

3.53

Associated Banc-Corp (ASB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.54

Atlas Copco AB SPON ADS (ATLKY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.55

Advent Claymore Convertible Securities and
Income Fund (AVK)

Yes

$1,001 - $15,000

None (or less
than $201)

3.56

Alumina Limited SPON ADR EACH REP
(AWCMY)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.57

Alliancebernstein Global High Income Fund
(AWF)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.58

Alpine Global Premier Properties Fund
(AWP)

Yes

$1,001 - $15,000

None (or less
than $201)

3.59

AXA ADS (AXAHY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.60

Axis Capital Holdings Limited (AXS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.61

AutoZone Inc

N/A

None (or less
than $1,001)

None (or less
than $201)

3.62

Bank of America Corporatioo (BAC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.63

Baxter International Inc (BAX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.64

BB Seguridade Part SPON ADR (BBSEY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.65

Best Buy Co., Inc (BBY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.66

C.R. Bard, Inc

N/A

None (or less
than $1,001)

None (or less
than $201)

3.67

Blackrock Resources & Commodities
Strategy Trust (BCX)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.68

Blackrock Enhanced Equity Dividend Trust
(BDJ)

Yes

$1,001 - $15,000

None (or less
than $201)

3.69

Becton, Dickinson And Company (BDX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.70

Brown Forman Inc Class B (BFB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.71

Bunge Limited (BG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.72

Blackstone / GSO Strategic Credit Fund
(BGB)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.73

Blackstone GSO Long Short Credit Income
Fund (BGX)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.74

Blackrock Enhanced International Dividend
Trust (BGY)

Yes

$1,001 - $15,000

None (or less
than $201)

3.75

Bio-Rad Laboratories, Inc Class A (BIO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.76

BlackRock Multi-Sector Income Trust (BIT)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.77

Bemis Company, Inc (BMS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.78

Bristol-Myers Squibb Company BMY

N/A

None (or less
than $1,001)

None (or less
than $201)

3.79

Beneficial Bancorp, Inc

N/A

None (or less
than $1,001)

None (or less
than $201)

3.80

Blackrock Enhanced Global Dividend Trust
(BOE)

Yes

$1,001 - $15,000

None (or less
than $201)

3.81

Buckeye Partners LP (BPL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.82

Berkshire Hathaway Inc. New (BRK.B)

N/A

$1,001 - $15,000

None (or less
than $201)

3.83

Bruker Corporation (BRKR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.84

Boston Scientific Corporation (BSX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.85

Blue Buffalo Pet Products, Inc (BUFF)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.86

Blackstone Mortgage Trust, Inc (BXMT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.87

Bezeq The Israel Telecommunication
Corporation UNSP ADR (BZQIY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.88

Citigroup, Inc (C)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.89

ConAgra Brands, Inc (CAG)

N/A

$1,001 - $15,000

None (or less
than $201)

3.90

Cardinal Health Inc (CAH)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.91

Caseys General Stores, Inc (CASY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.92

Caterpillar, Inc (CAT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.93

Chubb Limited (CB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.94

CBOE Holdings, Inc (CBOE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.95

Crown Castle International Corp(REIT) (CCI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.96

Cabot Microelectronics Cororation (CCMP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.97

CDK Global, Inc (CDK)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.98

Celgene Corporation (CELG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.99

Cerner Corporation (CERN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.100

Capitol Federal Financial, Inc (CFFN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.101

Culler/Frost Bankers, Inc (CFR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.102

Church & Dwight Company, Inc (CHD)

N/A

$1,001 - $15,000

None (or less
than $201)

3.103

Churchill Dwons, Incorporated (CHDN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.104

Chemed Corporation (CHE)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.105

Charter Financial Corp (CHFN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.106

China Mobile Limited (CHL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.107

Cherry Hill Mortgage Investment
Corporation (CHMI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.108

Chunghwa Telecom Co., Ltd. (CHT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.109

Cigna Corporation (CI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.110

China Construction Bank Corporation
(CICHY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.111

BlackRock Capital and Income Fund, Inc (CII)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.112

Cincinnati Financial Corporation (CINF)

N/A

$1,001 - $15,000

None (or less
than $201)

3.113

Colgate-Palmolive Company (CL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.114

Core Laboratories N.V. (CLB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.115

The Clorox Company (CLX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.116

Comcast Corporation (CMCSA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.117

CME Group, Inc (CME)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.118

Compass Group PLC (CMPGY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.119

Canadian National Railway Company (CNI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.120

Capital One Financial Corporation (COF)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.121

Cooper Companies, Inc (COO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.122

Costco Wholesale Corporation (COST)

N/A

$1,001 - $15,000

None (or less
than $201)

3.123

Campbell Soup Company(CPB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.124

Capella Education Company (CPLA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.125

Camden Property Trust (CPT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.126

Clifton Bancorp Inc (CSBK)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.127

Cisco Systens, Inc (CSCO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.128

CST Brands, Inc (CST)

N/A

$1,001 - $15,000

None (or less
than $201)

3.129

CSK Corporation (CSK)

N/A

$1,001 - $15,000

None (or less
than $201)

3.130

Cintas Corporation (CTAS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.131

Ctrip,com International, Ltd (CTRP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.132

CVS Health Corporation (CVS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.133

Chevron Corporation CVX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.134

Cypress Semiconductor Corporation (CY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.135

Dominion Energy (D)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.136

E. I. du Pont de Nemours and Company (DD)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.137

Deere & Company (DE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.138

Quest Diagnostics Incorporated (DGX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.139

Danaher Corporation (DHR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.140

Nuveen Dow 30 Dynamic Overwrite Fund
(DIAX)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.141

Walt Disney Company (DIS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.142

Dreyfus Municipal Bond Infrastructure
Fund, Inc (DMB)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.143

Dunkin' Brands Group, Inc. (DNKN)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.144

Amdocs Limited (DOX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.145

Duff & Phelps Global utility Income Fund Inc.
(DPG)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.146

Dr Pepper Snapple Group, Inc. (DPS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.147

Diversified Real Asset Income Fund (DRA)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.148

Blackrock Debt Strategies Fund, Inc (DSU)

Yes

$1,001 - $15,000

None (or less
than $201)

3.149

DTE Energy Company (DTE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.150

Duke Energy Corporation (DUK)

N/A

$1,001 - $15,000

None (or less
than $201)

3.151

DaVita Inc (DVA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.152

Dell Technologies Inc. (DVMT)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.153

Daiwa House Industry Co.,Ltd. (DWAHY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.154

Wells Fargo Advantage Funds - Wells Fargo
Income Opportunities Fund (EAD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.155

eBay Inc (EBAY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.156

Meridian Bancorp, Inc. (EBSB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.157

Ecolab Inc (ECL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.158

Consolidated Edison, Inc. (ED)

N/A

$1,001 - $15,000

None (or less
than $201)

3.159

Enbridge Energy Partners, L.P. (EEP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.160

Western Asset Global High Income Fund Inc.
(EHI)

Yes

$1,001 - $15,000

None (or less
than $201)

3.161

Eaton Vance Municipal Bond Fund (EIM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.162

Edison International (EIX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.163

Estee Lauder Companies, Inc (EL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.164

Western Asset Emerging Markets Debt Fund
Inc (EMD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.165

Wells Fargo Advantage Funds - Wells Fargo
Global Dividend Opportunity Fund (EOD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.166

EOG Resources, Inc. (EOG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.167

Enterprise Products Partners L.P. (EPD)

N/A

$15,001 $50,000

None (or less
than $201)

3.168

EQT Midstream Partners, LP (EQM)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.169

Wells Fargo Advantage Multi-Sector Income
Fund (ERC)

Yes

$1,001 - $15,000

None (or less
than $201)

3.170

Erie Indemnity Company (ERIE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.171

Eversource Energy (ES)

N/A

$1,001 - $15,000

None (or less
than $201)

3.172

Essilor International Société Anonyme
(ESLOY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.173

Express Scripts Holding Company (ESRX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.174

ESSA Bancorp, Inc. (ESSA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.175

Eutelsat Communications S.A. (ETCMY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.176

Eaton Vance Risk-Managed Diversified
Equity Income Fund (ETJ)

Yes

$1,001 - $15,000

None (or less
than $201)

3.177

Eaton Corporation plc (ETN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.178

Energy Transfer Partners, L.P. (ETP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.179

Eaton Vance Short Duration Diversified
Income Fund (EVG)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.180

Eaton Vance Limited Duration Income Fund
(EVV)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.181

Edwards Lifesciences Corporation (EW)

N/A

$1,001 - $15,000

None (or less
than $201)

3.182

Expeditors International of Washington, Inc.
(EXPD)

N/A

$1,001 - $15,000

None (or less
than $201)

3.183

Extra Space Storage Inc. (EXR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.184

Facebook, Inc. (FB)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.185

Fresh Del Monte Produce Inc. (FDP)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.186

FactSet Research Systems Inc. (FDS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.187

First Trust Enhanced Equity Income Fund
(FFA)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.188

Fiserv, Inc. (FISV)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.189

Flowserve Corporation (FLS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.190

Ford Otomotiv Sanayi A.S. (FOVSY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.191

First Republic Bank (FRC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.192

General Dynamics Corporation (GD)

N/A

$1,001 - $15,000

None (or less
than $201)

3.193

General Electric Company (GE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.194

Prudential Global Short Duration High Yield
Fund, Inc (GHY)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.195

Gilead Sciences, Inc. (GILD)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.196

General Mills, Inc. (GIS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.197

Galp Energia, SGPS, S.A. (GLPEY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.198

Alphabet, Inc (GOOG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.199

Alphabet Ince (GOOGL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.200

Garman Ltd (GRMN)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.201

Hyatt Hotels Corporation Class A (H)

N/A

$1,001 - $15,000

None (or less
than $201)

3.202

Halliburton Company (HAL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.203

Hasbro, Inc (HAS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.204

Hawaiian Telcom Holdco, Inc (HCOM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.205

Healthcare Services Group (HCSG)

N/A

$1,001 - $15,000

None (or less
than $201)

3.206

Home Depot, Inc (HD)

N/A

$1,001 - $15,000

None (or less
than $201)

3.207

HDFC Bank Limited (HDB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.208

Kimberly-Clark Corporation (KMB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.209

Kinder Morgan, Inc. (KMI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.210

The Coca-Cola Company (KO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.211

Kroger Company (KR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.212

Lamar Advertising Company (LAMR)

N/A

$1,001 - $15,000

None (or less
than $201)

3.213

Lancaster Colony Corporation (LANC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.214

L Brands, Inc (LB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.215

Leidos Holdings, Inc (LDOS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.216

Cohen & Steers Limited Duration Preferred
and Income Fund, Inc. (LDP

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.217

Lennar Corp (LEN)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.218

Legal & General GP (LGGNY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.219

Laboratory Corp of America (LH)

N/A

$1,001 - $15,000

None (or less
than $201)

3.220

LJM Preservation & Growth Fund (LJMIX)

Yes

$100,001 $250,000

None (or less
than $201)

3.221

L3 Technologies (LLL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.222

Eli Lilly & Co. (LLY)

N/A

$1,001 - $15,000

$1,001 - $2,500

3.223

Lockheed Martin Corp. (LMT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.224

Grand Canyon Education Inc. (LOPE)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.225

Lowes Companies Inc (LOW)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.226

LifePoint Health Inc. (LPNT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.227

Landstar System Inc. (LSTR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.228

Lamb Weston Holdings Inc.(LW)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.229

Mastercard Inc. (MA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.230

Mid-America Apartment Communities Inc.
(MAA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.231

Mobile TeleSystems PJSC (MBT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.232

McDonalds Corp (MCD)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.233

Mednax Inc. (MD)

N/A

None (or less
than $1,001)

3.234

Mondelez International Inc (MDLZ)

N/A

3.235

Medtronic plc (MDT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.236

MercadoLibre Inc (MELI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.237

MetLife Inc (MET)

N/A

$1,001 - $15,000

None (or less
than $201)

3.238

MFA Financial Inc (MFA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.239

Macquarie Global Infrastructure Total
Return Fund (MGU)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.240

Pioneer Municipal High Income Trust (MHI)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.241

McCormick & Co. (MKC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.242

Markel Corp. ((MKL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.243

3M Company (MMM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.244

Magellan Midstream Partners LP (MMP)

N/A

$15,001 $50,000

None (or less
than $201)

3.245

Altria Group Inc. (MO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.246

Monsanto Co. )MON)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.247

Morningstar Inc (MORN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.248

Marathon Petroleum Corp. (MPC)

N/A

None (or less
than $1,001)

None (or less
than $201)

None (or less
than $201)
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.249

MPLX LP (MPLX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.250

Merck & Co. (MRK)

N/A

$1,001 - $15,000

None (or less
than $201)

3.251

Microsoft Corp (MSFT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.252

The Madison Square Garden Co. (MSG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.253

M&T Corp. (MTB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.254

Mettler-Toledo International Inc. (MTD)

N/A

$1,001 - $15,000

None (or less
than $201)

3.255

BlackRock Muni Intermediate Duration
Fund, Inc. (MUI)

Yes

$1,001 - $15,000

None (or less
than $201)

3.256

Murphy Oil Corporation (MUR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.257

Maxim Integrated Products, Inc (MXIM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.258

Nuveen Quality Municipal Income Fund
(NAD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.259

Nuveen AMT-Free Wuality Municipal Income
Fund (NEA)

Yes

$1,001 - $15,000

None (or less
than $201)

3.260

NextEra Energy, Inc. (NEE)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.261

Newmont Mining Corporation (NEM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.262

Northfield Bancorp, Inc (NFBK)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.263

AllianzGI NFJ Dividend, Interest & Premium
Strategy Fund (NFJ)

Yes

$1,001 - $15,000

None (or less
than $201)

3.264

National HealthCare Corporation (NHC)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.265

Nike, Inc (NKE)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.266

Nielsen N.V. Ordinary Shares (NLSN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.267

Northrop Grumman Corp (NOC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.268

Nordea Bank AB (publ) (NRBAY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.269

Nestlé S.A. (NSRGY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.270

Nuveen AMT-Free Municipal Credit Income
Fund (NVG)

Yes

$1,001 - $15,000

None (or less
than $201)

3.271

Novartis AG (NVS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.272

Novozymes A/S (NVZMY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.273

Northwest Bancshares, Inc. (NWBI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.274

American Funds New World F1 (NWFFX)

Yes

$50,001 $100,000

None (or less
than $201)

3.275

Nuveen Municipal Credit Income Fund (NZF)

N/A

$1,001 - $15,000

None (or less
than $201)

3.276

Orthofix International N.V. (OFIX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.277

ONEOK, Inc. (OKE)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.278

ONEOK Partners, L.P. (OKS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.279

Owens & Minor, Inc. (OMI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.280

Oracle Corporation (ORCL)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.281

Otter Tail Corporation (OTTR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.282

HollyFrontier Corporation (HFC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.283

Hartford Financial Services Group, Inc (HIG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.284

Western Asset High Income Opportunity
Fund Inc. (HIO)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.285

Healthcare Realty Trust Incorporated (HR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.286

Hill-Rom Holdings, Inc. (HRC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.287

Hormel Foods Corporation (HRL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.288

Harris Corporation (HRS)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.289

Henry Schein, Inc. (HSIC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.290

Host Hotels & Resorts, Inc

N/A

None (or less
than $1,001)

None (or less
than $201)

3.291

The Hershey Company (HSY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.292

John Hancock Tax-Advantaged Dividend
Income Fund (HTD)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.293

Humana Inc. (HUM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.294

Western Asset High Yield Defined
Opportunity Fund Inc. (HYI)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.295

BlackRock Corporate High Yield Fund, Inc.
(HYT)

Yes

$1,001 - $15,000

None (or less
than $201)

3.296

IAC/InterActiveCorp (IAC)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.297

Interactive Brokers Group, Inc. (IBKR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.298

International Business Machines
Corporation (IBM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.299

Voya Global Equity Dividend and Premium
Opportunity Fund (IGD)

Yes

$1,001 - $15,000

None (or less
than $201)

3.300

CBRE Clarion Global Real Estate Income
Fund (IGR)

Yes

$1,001 - $15,000

None (or less
than $201)

3.301

ING Groep N.V. (ING)

N/A

$1,001 - $15,000

None (or less
than $201)

3.302

Ingredion Incorporated (INGR)

N/A

$1,001 - $15,000

None (or less
than $201)

3.303

World Fuel Services Corporation (INT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.304

Intel Corporation (INTC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.305

Intuit Inc. (INTU)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.306

International Paper Company (IP)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.307

Nuveen Global High Income Fund (JGH)

Yes

$1,001 - $15,000

None (or less
than $201)

3.308

Jack Henry & Associates, Inc. (JKHY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.309

Johnson & Johnson (JNJ)

N/A

$1,001 - $15,000

None (or less
than $201)

3.310

Nuveen Preferred Income Opportunities
Fund (JPC)

Yes

$1,001 - $15,000

None (or less
than $201)

3.311

Nuveen Preferred and Income Term Fund
(JPI)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.312

JPMorgan Chase & Co. (JPM)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.313

Nuveen Tax-Advantaged Total Return
Strategy Fund (JTA)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.314

Nuveen Tax-Advantaged Dividend Growth
Fund (JTD)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.315

John Wiley & Sons Inc. (JWA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.316

Kellogg Company (K)

N/A

$1,001 - $15,000

None (or less
than $201)

3.317

The Kraft Heinz Company (KHC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.318

KKR Income Opportunities Fund (KIO)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.319

Occidental Petroleum Corporation (OXY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.320

Plains All American Pipeline, L.P. (PAA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.321

PacWest Bancorp (PACW)

N/A

$1,001 - $15,000

None (or less
than $201)

3.322

Paychex, Inc. (PAYX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.323

People's United Financial, Inc. (PBCT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.324

PACCAR Inc (PCAR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.325

Pacific Gas and Electric Company (PCG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.326

Patterson Companies, Inc. (PDCO)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.327

Public Service Enterprise Group
Incorporated (PEG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.328

Pattern Energy Group Inc. (PEGI)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.329

Pepsico, Inc. (PEP)

N/A

$1,001 - $15,000

None (or less
than $201)

3.330

Pfizer Inc. (PFE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.331

The Procter & Gamble Company (PG)

N/A

$1,001 - $15,000

None (or less
than $201)

3.332

PerkinElmer, Inc. (PKI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.333

Philip Morris International Inc. (PM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.334

Putnam Managed Municipal Income Trust
(PMM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.335

Putnam Municipal Opportunities Trust
(PMO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.336

Panera Bread Company (PNRA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.337

Pinnacle West Capital Corporation (PNW)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.338

PPL Corporation (PPL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.339

ProAssurance Corporation (PRA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.340

Provident Financial Holdings, Inc. (PROV)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.341

Prudential Financial, Inc. (PRU)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.342

Public Storage (PSA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.343

Public Storage DEP SH REPSTG (PSA-S)

N/A

$1,001 - $15,000

None (or less
than $201)

3.344

Praxair, Inc. (PX)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.345

PayPal Holdings, Inc. (PYPL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.346

Quintiles IMS Holdings, Inc. (Q)

N/A

$1,001 - $15,000

None (or less
than $201)

3.347

QUALCOMM Incorporated (QCOM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.348

Brookfield Real Assets Income Fund Inc. (RA)

Yes

$1,001 - $15,000

None (or less
than $201)

3.349

Reynolds American Inc. (RAI)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.350

Reckitt Benckiser Group plc (RBGLY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.351

Royal Dutch Shell plc (RDS-B)

N/A

$1,001 - $15,000

None (or less
than $201)

3.352

Everest Re Group, Ltd. (RE)

N/A

$1,001 - $15,000

None (or less
than $201)

3.353

Reinsurance Group of America,
Incorporated (RGA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.354

RTL Group SA (RGLXY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.355

Rio Tinto plc (RIO)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.356

ResMed Inc. (RMD)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.357

Cohen & Steers REIT and Preferred Income
Fund, Inc. (RNP)

Yes

$1,001 - $15,000

None (or less
than $201)

3.358

RenaissanceRe Holdings Ltd. (RNR)

N/A

$1,001 - $15,000

None (or less
than $201)

3.359

Resource Real Estate Diversified Income
Fund - Class A (RREDX)

Yes

$50,001 $100,000

None (or less
than $201)

3.360

Republic Services, Inc. (RSG)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.361

Raytheon Company (RTN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.362

EchoStar Corporation (SATS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.363

Sampo Oyj (SAXPY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.364

Starbucks Corporation (SBUX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.365

LMP Capital and Income Fund Inc. (SCD)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.366

SCANA Corporation (SCG)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.367

Scholastic Corporation (SCHL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.368

Scholastic Corporation (SCHL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.369

The Charles Schwab Corporation (SCHW)

N/A

$1,001 - $15,000

None (or less
than $201)

3.370

Sands China Ltd. (SCHYY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.371

Service Corporation International (SCI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.372

SEI Daily Income Trust Government Fund
Class F (SEOXX)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.373

SEI Daily Income Trust Government Fund
Class F (SEOXX)

Yes

$1,001 - $15,000

None (or less
than $201)

3.374

SEI Daily Income Trust Government Fund
Class F (SEOXX)

Yes

$1,001 - $15,000

None (or less
than $201)

3.375

SEI Daily Income Trust Government Fund
Class F (SEOXX)

Yes

$1,001 - $15,000

None (or less
than $201)

3.376

SEI Daily Income Trust Government Fund
Class F (SEOXX)

Yes

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.377

Standard Bank Group Limited (SGBLY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.378

Sirius XM Holdings Inc. (SIRI)

N/A

$1,001 - $15,000

None (or less
than $201)

3.379

The J. M. Smucker Company (SJM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.380

Schlumberger Limited (SLB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.381

SLM Corporation (SLM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.382

Sumitomo Mitsui Financial Group, Inc.
(SMFG)

N/A

$1,001 - $15,000

None (or less
than $201)

3.383

Snam S.p.A. (SNMRY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.384

The Southern Company (SO)

N/A

$1,001 - $15,000

None (or less
than $201)

3.385

Spectrum Brands Holdings, Inc. (SPB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.386

Spirit AeroSystems Holdings, Inc. (SPR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.387

Suncor Energy Inc. (SU)

N/A

$1,001 - $15,000

None (or less
than $201)

3.388

Sysco Corporation (SYY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.389

AT&T Inc. (T)

N/A

$1,001 - $15,000

None (or less
than $201)

3.390

Territorial Bancorp Inc. (TBNK)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.391

Tencent Holdings Limited (TCEHY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.392

Bio-Techne Corporation (TECH)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.393

Templeton Emerging Markets Income Fund
(TEI)

Yes

None (or less
than $1,001)

None (or less
than $201)

3.394

Teradyne, Inc. (TER)

N/A

$1,001 - $15,000

None (or less
than $201)

3.395

Teva Pharmaceutical Industries Limited
(TEVA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.396

TFS Financial Corp (TFSL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.397

Teleflex Incorporated (TFX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.398

Target Corporation (TGT)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.399

Turkcell Iletisim Hizmetleri A.S. (TKC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.400

The Timken Company (TKR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.401

Tokyo Electron Limited (TOELY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.402

TOTAL S.A. (TOT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.403

T. Rowe Price Group, Inc. (TROW)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.404

The Travelers Companies, Inc. (TRV)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.405

Tractor Supply Company (TSCO)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.406

Taiwan Semiconductor Manufacturing
Company Limited (TSM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.407

Techtronic Industries Company Limited
(TTNDY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.408

Two Harbors Investment Corp. (TWO)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.409

Time Warner Inc. (TWX)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.410

Tyler Technologies, Inc. (TYL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.411

Under Armour, Inc. (UA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.412

Ulta Beauty, Inc. (ULTA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.413

Unilever N.V. (UN)

N/A

$1,001 - $15,000

None (or less
than $201)

3.414

UnitedHealth Group Incorporated (UNH)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.415

Union Pacific Corporation (UNP)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.416

United Parcel Service, Inc. (UPS)

N/A

$1,001 - $15,000

None (or less
than $201)

3.417

U.S. Bancorp (USB)

N/A

$1,001 - $15,000

None (or less
than $201)

3.418

Cohen & Steers Infrastructure Fund, Inc
(UTF)

Yes

$1,001 - $15,000

None (or less
than $201)

3.419

Unitil Corporation (UTL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.420

United Technologies Corporation (UTX)

N/A

$1,001 - $15,000

None (or less
than $201)

3.421

Universal Corporation (UVV)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.422

Visa Inc. (V)

N/A

$1,001 - $15,000

None (or less
than $201)

3.423

V.F. Corporation (VFC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.424

Vector Group Ltd. (VGR)

N/A

None (or less
than $1,001)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.425

Vodafone Group Plc (VOD)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.426

Voya Financial, Inc. (VOYA)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.427

Validus Holdings, Ltd. (VR)

N/A

$1,001 - $15,000

None (or less
than $201)

3.428

Verisk Analytics, Inc. (VRSK)

N/A

$1,001 - $15,000

None (or less
than $201)

3.429

VeriSign, Inc. (VRSN)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.430

Verizon Communications Inc. (VZ)

N/A

$1,001 - $15,000

None (or less
than $201)

3.431

Waters Corporation (WAT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.432

Walgreens Boots Alliance, Inc. (WBA)

N/A

$1,001 - $15,000

None (or less
than $201)

3.433

WESCO International, Inc. (WCC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.434

Workday, Inc. (WDAY)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.435

WEC Energy Group, Inc. (WEC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.436

Wells Fargo & Company (WFC)

N/A

$1,001 - $15,000

None (or less
than $201)

3.437

Whole Foods Market, Inc. (WFM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.438

Whirlpool Corporation (WHR)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.439

Whiting Petroleum Corporation (WLL)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.440

Willis Towers Watson Public Limited
Company (WLTW)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

3.441

Waste Management, Inc. (WM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.442

The Williams Companies, Inc. (WMB)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.443

Wal-Mart Stores, Inc. (WMT)

N/A

$1,001 - $15,000

None (or less
than $201)

3.444

Williams Partners L.P. (WPZ)

N/A

$1,001 - $15,000

None (or less
than $201)

3.445

White Mountains Insurance Group, Ltd.
(WTM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.446

Weyerhaeuser Co. (WY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.447

Xcel Energy Inc. (XEL)

N/A

$1,001 - $15,000

None (or less
than $201)

3.448

Exxon Mobil Corporation (XOM)

N/A

$1,001 - $15,000

None (or less
than $201)

3.449

DENTSPLY SIRONA Inc. (XRAY)

N/A

$1,001 - $15,000

None (or less
than $201)

3.450

Alleghany Corporation (Y)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.451

Yum! Brands, Inc. (YUM)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.452

Yum China Holdings, Inc. (YUMC)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.453

Zimmer Biomet Holdings, Inc. (ZBH)

N/A

None (or less
than $1,001)

None (or less
than $201)

4

TD Ameritrade

No

4.1

Cedar Fair L P Depositry Unit

N/A

$1,001 - $15,000

None (or less
than $201)

4.2

Dominos Pizza Inc Com

N/A

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

4.3

DOW Chemical Com

N/A

$1,001 - $15,000

None (or less
than $201)

4.4

Dunkin Brands Group Com

N/A

$1,001 - $15,000

None (or less
than $201)

4.5

Enbridge Inc Com

N/A

$15,001 $50,000

None (or less
than $201)

4.6

Lowes Cos Inc Com

N/A

$15,001 $50,000

None (or less
than $201)

4.7

Vanguard S&P 500 Growth ETF

Yes

$1,001 - $15,000

None (or less
than $201)

4.8

Walt Disney Co COM

N/A

$1,001 - $15,000

None (or less
than $201)

5

TD Ameritrade #2

No

5.1

American Funds Washington Mutual R5

Yes

$100,001 $250,000

None (or less
than $201)

5.2

Loomis Sayles Core Plus Bond Fund Class N

Yes

$100,001 $250,000

None (or less
than $201)

5.3

Mainstay Unconstrained Bond I

Yes

$100,001 $250,000

None (or less
than $201)

5.4

American Funds Europacific Gr R5

Yes

$100,001 $250,000

None (or less
than $201)

5.5

SEI Instl Mgd Managed Volatility A

Yes

$100,001 $250,000

None (or less
than $201)

5.6

Mainstay Epoch Global Equity Yield Inv

Yes

$100,001 $250,000

None (or less
than $201)

5.7

Vanguard Dividend Growth Inv

Yes

$100,001 $250,000

None (or less
than $201)

5.8

PRIMECAP Odyssey Growth

Yes

$50,001 $100,000

None (or less
than $201)

5.9

Oppenheimer Developing Markets A

Yes

$50,001 $100,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

5.10

SEI Instl Global Mngd Volatility A

Yes

$50,001 $100,000

None (or less
than $201)

5.11

Templeton Global Bond Adv

Yes

$50,001 $100,000

None (or less
than $201)

5.12

Mainstay High Yield Corporate Bond I

Yes

$50,001 $100,000

None (or less
than $201)

5.13

Franklin K2 Alternative Strategies Adv

Yes

$50,001 $100,000

None (or less
than $201)

5.14

Fidelity Low-Priced Stock

Yes

$50,001 $100,000

None (or less
than $201)

5.15

T Rowe Price Small-Cap Value

Yes

$50,001 $100,000

None (or less
than $201)

5.16

PIMCO Real Return D

Yes

$15,001 $50,000

None (or less
than $201)

6

Morgan Stanley brokerage acct (spouse) #2)

No

6.1

Berkshire Hathaway B (BRK'B)

N/A

$250,001 $500,000

None (or less
than $201)

6.2

Tableau Software Inc. (DATA)

N/A

$15,001 $50,000

None (or less
than $201)

7

General Motors Company (GM)

N/A

None (or less
than $1,001)

None (or less
than $201)

8

AT&T Inc.

N/A

$1,001 - $15,000

None (or less
than $201)

9

Comcast Corp.

N/A

$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
None

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).

 POST CERTIFICATION COMMENT

FITZGERALD, Brenda

Filing Year 2017

CHANGE:
Under Part 6, under Morgan Stanley traditional IRA account (#3), underlying holding (3.129)
should be listed as:
“3.129 CSX Corporation (CSX)” vice “3.129 CSK Corporation (CSK)”
Adding additional pages to Part 6 – the pages are being added as the filer inadvertently omitted
from her initial filing.

Stanley Olesh (SO)

 N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

11. Makita Corp.

12. Julius Baer Group Limited

13. Washington Clackamas & Yamhill Ref 03 Jun 2015 5% 15 J

14. Vale S.A. Spons ADR Repr 1 Com (VALE)

15. Omron Corp (OMRNY)

16. Statoil Asa Spon ADR Each Rep 1 ORD Nok2.50 (STO)

17. Diageo ADR Each Repr 4 ORD GBx28.935185 (DEO)

18. Baidu Inc Spons ADS Repr 10 ORD Cls ‘A’Us0.0005 (BID

19. Heineken NV (HEINY)

20. Alexion Pharmaceutical Inc (ALXN)

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

EIF

N/A

Grupo Financiero Santander Mexico SAB

Cie Financiere Richemont SA

Delphi Automotive PLC

New Oriental Education & Technology Group Inc

Banco Santander Chile

ASML Holding NC

Intesa Sanpaolo SPA

Banco Bilbao Vizcaya Argentaria SA

Itau Unibanco Holdings SA

Description

10. Kingfisher

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

Value

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

Instructions for Part ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

1 of 6

 N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

11. Engie SA (ENGIY)

12. Vistra Energy Corp (VST)

13. AerCap Holdings NV (AER)

14. Kubota Corp (KUBTY)

15. AON Plc Com USD0.01 CL A (AON)

16. Lyondellbasell Industries NV (LYB)

17. Carnival Corp (CCL)

18. Sensata Technologies Holding NV (ST)

19. Booz Allen Hamilton Holding Corp (BAH)

20. Exelon Corp (EXC)

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

EIF

N/A

Yandex NV (YNDX)

ICON PLC (ICLR)

Sun Life Financial Inc (SLF)

Westpac Banking Corp – SP ADR (WBK)

Repsol YPF Sa ADR-Each Cnv Into 1 ORD (Bny) (REPYY)

Broadcom LTD Shs (AVGO)

BT Group ADR Each Rep 10 ORD (BT)

Vermilion Energy Inc

BNP Paribas SA (BNPQY)

Description

10. Square Inc (SQ)

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

Value

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

Instructions for Part ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

2 of 6

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N/A
N/A
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11. Bayer AG Spon ADR-Each Repr 1 ORD (BAYRY)

12. Bank Mandiri Persero Tbk PT (PPERY)

13. TELUS Corp (TU)

14. Bank of Montreal (BMO)

15. Anheuser-Busch Inbev NV (BUD)

16. ICICI Bank Limited ADR Each Repr 2 ORD Inr10(spon)

17. Cemex S.A.B. De C.V. Spon ADR Rep 10 Cpo (CX)

18. Ihs Market Ltd (INFO)

19. Bank of Nova Scotia/The (BNS)

20. Astellas Pharma Inc (ALPMY)

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

EIF

N/A

Phillips Electronics (Koniklijke) NV ADR Each Rep 1 ORD

WNS Holdings LTD Spons ADR Ea Repr 1 ORD Shs (WNS)

AIA Group LTD (AAGIY)

ORIX Corp (IX)

Sony Corp ADR-Each Cnv Into 1 ORD (SNE)

DBS Group Holdings LTD (DBSDY)

Stantec Inc (STN)

Agrium Inc (AGU)

Alibaba Group Holding Ltd Sponsored Ads Each Repr Ord

Description

10. American International Co (ANAT)

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

Value

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

Instructions for Part ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

3 of 6

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10. US Foods Holding Corp

11. British American Tobacco PLC (BTI)

12. Check Point Software Technologies Ltd (CHKP)

13. Cielo SA (CIOXY)

14. CRH PLC (CRH)

15. YY Inc

16. Darden Restaurants Inc (DRI)

17. DowDupont Inc (DWDP)

18. Ferrari NV

19. Florida State Board of Education Lottery

20. Fuji Film Holdings Corporation ADR

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

EIF

N/A

Ashtead Group PLC

Aramark (ARMK)

Apple Hospitality REIT Inc (APLE)

Allergan Plc. com (AGN)

Agilent Technologies (A)

AES Corp/VA

Hollysys Automation Technologies Ltd (HOLI)

Symantec Corp (SYMC)

Description

Bank of China (BACHY)

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

Value

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

nstructions for art ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

4 of 6

 N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

11. Leggett & Platt Inc (LEG)

12. Life Healthcare Group Holdings Ltd (LTGHY)

13. LVMH Moet Hennessey Louis Vuitton SE (LVMUY)

14. Magna International Inc (MGA)

15. Melco Resorts & Entertainnment Ltd (MLCO)

16. Metso OYJ (MXCYY)

17. Michigan St Fin Auth Revenue Ref

18. Mitsubishi Ufj Financial Group Inc ADR (MTU)

19. Netease.Com Inc ADR Each Repr 25 Com (NTES)

20. Neuberger Berman Real Estate Securities (NRO)

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Y

N/A

EIF

N/A

Invesco Ltd (IVZ)

Imperial Brands PLC (IMBBY)

Uniti Group Inc Com

Hilton Grand Vacations Inc

First Trusted Enhanced Equity Income Fund (FFA)

Hawaiian Electric Industries Inc (HE)

Grifols S Spon ADR Ea (GRFS)

Government Fund (SEOXX)

GlaxoSmithKline PLC (GSK)

Description

10. Japan Tobacco Inc (JAPAY)

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

$1,001 - $15,000

None (or less than $1,001)

$15,001 - $50,000

$1,001 - $15,000

Value

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

nstructions for art ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

5 of 6

 $1,001 - $15,000

N/A
N/A
N/A

12. Sberbank of Russia PJSC

13. Siemens Ag ADR-Each Cnv Into 1 ORD

14. TechnipFMC PLC

15. Trend Micro Inc ADR Each Rep 1 ORD Npv Spon(Bny) (TMI
N/A

20.

19.

18.

17.

16.

$1,001 - $15,000

N/A

11. Safeway Pdc, Llc Cvr

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

N/A

$1,001 - $15,000

None (or less than $1,001)

$1,001 - $15,000

$1,001 - $15,000

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

None (or less than $1,001)

Value

10. Safeway Casa Ley Cvr

Y

N/A

N/A

N/A

N/A

N/A

N/A

N/A

EIF

N/A

Prudential Short Duration High Yield Fund (ISD)

Progressive Corp/The (PGR)

Pennsylvania St Ref-2nd Ser 16 Dec 2016

Olympus Corp (OCPNY)

Oil Search Limited (OISHY)

Nuveen Real Estate Income and Growth Fund (JRI)

Nuveen Credit Strategies Income Fund (JQC)

Nippon Tel & Tel Corps Spons Adr-Repr 2 (NTTYY)

Description

Ryanair Holdings PLC

9.

8.

7.

6.

5.

4.

3.

2.

1.

#

Part  : 2WKHU Assets and Income

Filer's Name

Income Type

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

None (or less than $201)

Income Amount

Page Number

nstructions for art ϲ
Note: This is a public form. Do not include account numbers, street addresses, or family member names. See instructions for required information.

OGE Form 278e (March 2014)

6 of 6