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
Kaplan, Gilbert Bruce
Under Secretary for International Trade, Department of Commerce
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/ Kaplan, Gilbert Bruce [electronically signed on 03/09/2017 by Kaplan, Gilbert Bruce 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/ Maggi, David, Certifying Official [electronically signed on 05/26/2017 by Maggi, David in Integrity.gov]

Other review conducted by

U.S. Office of Government Ethics Certification
/s/ Apol, David, Certifying Official [electronically signed on 05/30/2017 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

King & Spalding

Washington,
District of
Columbia

Law Firm

Partner

6/2004

Present

2

Family Trust

Washington,
District of
Columbia

Trust

Trustee

12/1990

Present

VALUE

INCOME TYPE

INCOME
AMOUNT

Partnership
Share and
Contract

$1,062,874

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

DESCRIPTION

EIF

1

King & Spalding (law firm)

2

King & Spalding LLP, Retirement payments
from the partnership through "Equivalency
Units".

No

$5,000,001 $25,000,000

Equivalency
Units from law
firm

$654,725

3

King & Spalding LLP, cash balance pension
plan

N/A

None (or less
than $1,001)

Retirement
Payments

$380,020

4

King & Spalding Profit Sharing 401(k) Plan

4.1

Invesco Growth and Income R5

Yes

$100,001 $250,000

None (or less
than $201)

4.2

JPMorgan Large Cap Growth A

Yes

$15,001 $50,000

None (or less
than $201)

4.3

Vanguard Institutional Index 1

Yes

$50,001 $100,000

None (or less
than $201)

4.4

Principal MidCap Institutional

Yes

$50,001 $100,000

None (or less
than $201)

4.5

Prudential Jennison Small Company Z

Yes

$50,001 $100,000

None (or less
than $201)

See Endnote

N/A

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

4.6

Vanguard FTSE All-Wld ex-US Idx Instl

Yes

$100,001 $250,000

None (or less
than $201)

4.7

Oakmark Equity and Income Investor

Yes

$100,001 $250,000

None (or less
than $201)

4.8

Metropolitan West Total Return Bond Fund
Class I

Yes

$250,001 $500,000

None (or less
than $201)

5

H&D Investments 2000--Underlying assets
do not meet reporting threshold

No

$1,001 - $15,000

Capital Gains

$5,001 - $15,000

6

H&D Investments 2001--Underlying assets
do not meet reporting threshold

No

$1,001 - $15,000

Capital Gains

$5,001 - $15,000

6.1

Hydra Biosciences Inc.

See Endnote

N/A

$1,001 - $15,000

7

King & Spalding Bonus

See Endnote

N/A

$15,001 $50,000

None (or less
than $201)

3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

King & Spalding LLP

Washington,
District of
Columbia

I will continue to participate in this defined
contribution plan. The plan sponsor will not make
further contributions after my separation.

6/2004

2

King & Spalding LLP

Washington,
District of
Columbia

Upon resignation through the year 2025, I will receive
fixed monthly retirement payments. The amount of
these fixed payments will be calculated at the time of
my departure from the firm, based on my
‘equivalency unit’ points at time of my departure. The
value and payout are not dependent on any
contingent factors

1/2016

3

King & Spalding LLP

Washington,
District of
Columbia

I have received a lump sum distribution of my King &
Spalding cash balance pension plan. Any amount
accrued during 2017 will be distributed over to my
401(k) plan upon resignation. The firm will not make
further contributions after my separation.

/

 #

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

4

King & Spalding

Washington,
District of
Columbia

Pursuant to my employment agreement, I will receive
a performance-based bonus based on collections as
of the end of March 2017. This bonus will be paid
prior to my assuming the duties of the position of
Under Secretary.

1/2016

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

King & Spalding

Washington,
District of
Columbia

Legal Services

2

Appvion, Inc.

Appleton,
Wisconsin

International Trade Legal Advice and International Trade Cases

3

Coalition for Fair Paper Imports

Memphis,
Tennessee

International Trade Legal Advice and International Trade Cases

4

Micron Technology, Inc.

Boise, Idaho

International Trade Legal Advice

5

Verso Paper Corporation

Memphis,
Tennessee

International Trade Cases and Legal Advice

6

Zekelman Industries

Chicago, Illinois

International Trade Cases and Legal Advice

7

Sappi North America

Boston,
Massachusetts

International Trade Case

8

EnPro Industries

Charlotte, North
Carolina

International Trade Legal Advice and Trade Cases

9

Arkema Chemical

King of Prussia,
Pennsylvania

International Trade Legal Advice

See Endnote

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

DESCRIPTION

EIF

1

Adventist Healthcare

N/A

VALUE

INCOME TYPE
Salary

INCOME
AMOUNT

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

2

Private Practice as Psycholgist

N/A

$1,001 - $15,000

Fee for services

3

Honorarium for Workshop from Institute of
Contemporary Psychotherapy and
Psychoanalysis - 1/24/16

N/A

INCOME
AMOUNT

Honorarium

$300

INCOME
AMOUNT

6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

1

Alphabet Inc stock Class C

N/A

$1,001 - $15,000

Rent or
Royalties

2

Alphabet Inc. stock Class A

N/A

$1,001 - $15,000

None (or less
than $201)

3

Berkshire Hathaway B

N/A

$15,001 $50,000

None (or less
than $201)

4

Coca-Cola Co

N/A

$1,001 - $15,000

None (or less
than $201)

5

Costco Wholesale Corp

N/A

$15,001 $50,000

Dividends

$201 - $1,000

6

CVS Health Corp

N/A

$15,001 $50,000

Dividends

$201 - $1,000

7

American Century Equity Income

Yes

$50,001 $100,000

$1,001 - $2,500

8

BlackRock High Yield Bond

Yes

$100,001 $250,000

$5,001 - $15,000

9

BlackRock Global Allocation Instl

Yes

$50,001 $100,000

$1,001 - $2,500

10

Blackrock Multi Manager Alt Strats Instl

Yes

$100,001 $250,000

None (or less
than $201)

11

Columbia Emerging Markets Consumer ETF
ECON

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

12

First Eagle Global Class 1 SGIIX

Yes

$15,001 $50,000

$201 - $1,000

13

First Eagle Overseas

Yes

$15,001 $50,000

$201 - $1,000

14

Hartford Balanced Income B

Yes

$100,001 $250,000

$5,001 - $15,000

15

iShares MSCI EAFE Index

Yes

$15,001 $50,000

$201 - $1,000

16

ISHARES CORE S&P 500

Yes

$50,001 $100,000

$1,001 - $2,500

17

ISHARES S&P 500

Yes

$15,001 $50,000

$201 - $1,000

18

ISHARES S&P 100

Yes

$100,001 $250,000

$2,501 - $5,000

19

ISHARES CORE HIGH DIVIDEND

Yes

$100,001 $250,000

$5,001 - $15,000

20

JANUS ENTERPRISE FUND

Yes

$15,001 $50,000

None (or less
than $201)

21

JP MORGAN Undiscovered Manager
Behavioral Value Fund

Yes

$15,001 $50,000

$201 - $1,000

22

JP MORGAN GLOBAL ALLOCATION

Yes

$100,001 $250,000

$2,501 - $5,000

23

Lazard Emerging Markets Equity Portfolio
Instl LZEMX

Yes

$50,001 $100,000

$201 - $1,000

24

Loomis Sayles Strategic Income Y

Yes

$250,001 $500,000

$5,001 - $15,000

25

Mainstay Epoch Global Equity Yield Instl

Yes

$100,001 $250,000

$5,001 - $15,000

26

Mainstay Unconstrained Bond

Yes

$100,001 $250,000

$5,001 - $15,000

27

Nuveen Energy

Yes

$15,001 $50,000

$2,501 - $5,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

28

PowerShares QQQ Trust, Series 1

Yes

$50,001 $100,000

$201 - $1,000

29

T. Rowe Price Health Sciences

Yes

$100,001 $250,000

None (or less
than $201)

30

Thornburgh Investment Builder Fund

Yes

$100,001 $250,000

$5,001 - $15,000

31

Voya Global Real Estate

Yes

$15,001 $50,000

$1,001 - $2,500

32

Franklin Federal Tax-Free Income A

Yes

$50,001 $100,000

$1,001 - $2,500

33

Franklin-Templeton Mutual Global Discovery
A

Yes

$50,001 $100,000

$1,001 - $2,500

34

Federated Muni Obligations Fund SS
(MOSXX)

Yes

$15,001 $50,000

None (or less
than $201)

35

Federated Kaufman Class R (KAUFX)

Yes

$50,001 $100,000

None (or less
than $201)

36

T. Rowe Price Science & Tech

Yes

$50,001 $100,000

None (or less
than $201)

37

First Eagle Global A (SGENX)

Yes

$50,001 $100,000

$201 - $1,000

38

First Eagle Overseas A (SGOVX)

Yes

$50,001 $100,000

$201 - $1,000

39

Money Market (QPERQ)

Yes

$1,001 - $15,000

None (or less
than $201)

40

PowerShares Exchange-Traded Fund Trust II

Yes

$1,001 - $15,000

$201 - $1,000

41

iShares Select Dividend ETF

Yes

$15,001 $50,000

$1,001 - $2,500

42

iShares Core MSCI EAFE ETF

Yes

$15,001 $50,000

$1,001 - $2,500

43

iShares Core MSCI Emerging Markets ETF

Yes

$15,001 $50,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

44

iShares S&P 500 Index

Yes

$50,001 $100,000

$1,001 - $2,500

45

iShares Russell 2000 Index

Yes

$1,001 - $15,000

$201 - $1,000

46

iShares Russell Midcap Index

Yes

$15,001 $50,000

None (or less
than $201)

47

iShares iBoxx $ Invest Grade Corp Bond

Yes

$1,001 - $15,000

$201 - $1,000

48

iShares Barclays MBS Bond

Yes

$1,001 - $15,000

$201 - $1,000

49

iShares MSCI EAFE Small Cap Index

Yes

$1,001 - $15,000

None (or less
than $201)

50

Money Market (QPERQ)

Yes

$50,001 $100,000

None (or less
than $201)

51

AIA Group ADR (AAGIY)

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

52

Apple Inc. - Common Stock

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

53

Accenture plc

N/A

$15,001 $50,000

Dividends

$201 - $1,000

54

Adobe Systems Incorporated - Common
Stock

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

55

Koninklijke Ahold Delhaize ADR (ADRNY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

56

Alexion Pharmaceuticals, Inc. - Common
Stock

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

57

Applied Materials, Inc. - Common Stock

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

58

Amazon.com, Inc. - Common Stock

N/A

$15,001 $50,000

59

Broadcom Ltd

N/A

$1,001 - $15,000

Dividends

None (or less
than $201)

60

American Express Co

N/A

$15,001 $50,000

Dividends

$201 - $1,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

61

Acuity Brands (AYI)

N/A

$1,001 - $15,000

None (or less
than $201)

62

BlackRock Inc

N/A

$1,001 - $15,000

None (or less
than $201)

63

BP PLC ADR (BP)

N/A

$1,001 - $15,000

None (or less
than $201)

64

BroadRidge Financial Solutions (BR)

N/A

$1,001 - $15,000

None (or less
than $201)

65

Anheuser Busch ADR (BUD)

N/A

$1,001 - $15,000

None (or less
than $201)

66

Cardinal Health Inc

N/A

$1,001 - $15,000

None (or less
than $201)

67

Chubb Corp

N/A

$15,001 $50,000

None (or less
than $201)

68

Celgene Corporation - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

69

Check Point Software Technologies Ltd. Ordinary Shares

N/A

$1,001 - $15,000

None (or less
than $201)

70

Canadian Natural Resources (CNQ)

N/A

$1,001 - $15,000

None (or less
than $201)

71

CRH Spon ADR (CRH)

N/A

$1,001 - $15,000

None (or less
than $201)

72

Salesforce.com

N/A

$1,001 - $15,000

None (or less
than $201)

73

CSX Corp

N/A

$1,001 - $15,000

None (or less
than $201)

74

CVS Health Corp.

N/A

$1,001 - $15,000

None (or less
than $201)

75

Chevron Corp

N/A

$15,001 $50,000

76

Cemex SAB ADR (CX)

N/A

$1,001 - $15,000

Dividends

INCOME
AMOUNT

$201 - $1,000
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

77

Diageo ADR (DEO)

N/A

$1,001 - $15,000

None (or less
than $201)

78

Delphi Automotive PLC

N/A

$1,001 - $15,000

None (or less
than $201)

79

DexCom, Inc. - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

80

WisdomTree Japan Hedged Equity (DXJ)

Yes

$1,001 - $15,000

None (or less
than $201)

81

EOG Resources

N/A

$1,001 - $15,000

None (or less
than $201)

82

Elbit Systems Ltd. - Ordinary Shares

N/A

$1,001 - $15,000

None (or less
than $201)

83

iShares MSCI Europe Financials Index

Yes

$1,001 - $15,000

$201 - $1,000

84

Edwards Lifesciences Corp

N/A

$1,001 - $15,000

None (or less
than $201)

85

Fanuc Corp UNSP

N/A

$1,001 - $15,000

None (or less
than $201)

86

Facebook, Inc. - Class A Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

87

Flex LTD Com (FLEX)

N/A

$1,001 - $15,000

None (or less
than $201)

88

SPDR Gold Shares

Yes

$100,001 $250,000

None (or less
than $201)

89

Gentex Corporation - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

90

Alphabet (Google Inc – Class C)

N/A

$1,001 - $15,000

None (or less
than $201)

91

Alphabet (Google Inc – Class A)

N/A

$1,001 - $15,000

None (or less
than $201)

92

Genuine Parts Co

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

93

Goldman Sachs Group Inc

N/A

$1,001 - $15,000

None (or less
than $201)

94

WW Grainger, Inc

N/A

$1,001 - $15,000

None (or less
than $201)

95

Halliburton Co

N/A

$1,001 - $15,000

None (or less
than $201)

96

Home Depot Inc

N/A

$1,001 - $15,000

None (or less
than $201)

97

Honda (HMC)

N/A

$1,001 - $15,000

None (or less
than $201)

98

Honeywell Intl Inc

N/A

$1,001 - $15,000

None (or less
than $201)

99

ICON plc - Ordinary Shares

N/A

$1,001 - $15,000

None (or less
than $201)

100

Infineon Technologies ADR (IFNNY)

N/A

$1,001 - $15,000

None (or less
than $201)

101

ING Groep ADR (ING)

N/A

$1,001 - $15,000

None (or less
than $201)

102

Orix Corp ADR (IX)

N/A

$1,001 - $15,000

None (or less
than $201)

103

Jazz Pharmaceuticals plc - Ordinary Shares

N/A

$1,001 - $15,000

None (or less
than $201)

104

Johnson & Johnson

N/A

$1,001 - $15,000

105

Medtronic Inc

N/A

$1,001 - $15,000

None (or less
than $201)

106

Metlife Inc

N/A

$1,001 - $15,000

None (or less
than $201)

107

Monster Beverage Corp

N/A

$1,001 - $15,000

None (or less
than $201)

108

Merck & Co Inc

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

109

Microsoft Corporation - Common Stock

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

Dividends

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

110

M&T Bank Corp

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

111

Mitsubishi ADR (MTU)

N/A

$1,001 - $15,000

None (or less
than $201)

112

NXP Semiconductors

N/A

$1,001 - $15,000

None (or less
than $201)

113

NIKE Inc B

N/A

$1,001 - $15,000

None (or less
than $201)

114

NetEase, Inc. - American Depositary Shares,
each representing 25 ordinary shares

N/A

$1,001 - $15,000

None (or less
than $201)

115

Northern Trust Corporation - Common
Stock

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

116

Omnicom Group

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

117

O'Reilly Automotive, Inc. - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

118

Palo Alto Networks

N/A

$1,001 - $15,000

None (or less
than $201)

119

Paychex, Inc. - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

120

People's United Financial, Inc. - Common
Stock

N/A

$1,001 - $15,000

None (or less
than $201)

121

The Priceline Group Inc. - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

122

Procter & Gamble

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

123

Philip Morris International

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

124

Perrigo Co

N/A

$1,001 - $15,000

125

Royal Dutch Shell ADR (RDSA)

N/A

$15,001 $50,000

126

Red Hat Inc

N/A

$1,001 - $15,000

None (or less
than $201)
Dividends

$1,001 - $2,500
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

127

Rio Tinto ADR (RIO)

N/A

$1,001 - $15,000

None (or less
than $201)

128

SPDR Dow Jones REIT

Yes

$50,001 $100,000

$2,501 - $5,000

129

Ryanair Holdings plc - American Depositary
Shares, each representing five Ordinary
Shares

N/A

$1,001 - $15,000

None (or less
than $201)

130

SAP SE ADR (SAP)

N/A

$15,001 $50,000

None (or less
than $201)

131

Starbucks Corporation - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

132

Schwab Charles Corp (SCHW)

N/A

$1,001 - $15,000

None (or less
than $201)

133

Softbank ADR (SFTBY)

N/A

$1,001 - $15,000

None (or less
than $201)

134

Shopify (SHOP)

N/A

$1,001 - $15,000

None (or less
than $201)

135

Shire plc - American Depositary Shares, each
representing three Ordinary Shares

N/A

$1,001 - $15,000

None (or less
than $201)

136

Sherwin-Williams Co

N/A

$1,001 - $15,000

None (or less
than $201)

137

Siemens ADR (SIEGY)

N/A

$1,001 - $15,000

None (or less
than $201)

138

Sumitomo ADR (SMFG)

N/A

$1,001 - $15,000

None (or less
than $201)

139

Sony Corp ADR (SNE)

N/A

$1,001 - $15,000

None (or less
than $201)

140

Smith & Nephew ADR (SMN)

N/A

$1,001 - $15,000

None (or less
than $201)

141

Southern Co

N/A

None (or less
than $1,001)

142

S&P Global Inc (SPGI)

Yes

$1,001 - $15,000

Dividends

INCOME
AMOUNT

$201 - $1,000
None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

143

Constellation Brands Inc A

N/A

$1,001 - $15,000

144

AT&T Inc

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

145

Toronto Dominion Bank (TD)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

146

Tupperware Brands (TUP)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

147

Texas Instruments Incorporated - Common
Stock

N/A

$1,001 - $15,000

None (or less
than $201)

148

Ulta Beauty (ULTA)

N/A

$1,001 - $15,000

None (or less
than $201)

149

United Parcel Service Inc B

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

150

United Technologies Corp

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

151

Visa Inc

N/A

$1,001 - $15,000

None (or less
than $201)

152

Vanguard Intl Equity Fund (VWO)

Yes

$100,001 $250,000

$2,501 - $5,000

153

Willis Towers (WLTW)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

154

Wal-Mart Stores

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

155

Exxon Mobil Corp

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

156

Zoetis Inc

N/A

$1,001 - $15,000

None (or less
than $201)

157

Blackstone Alternative Multi Strategy
(BXMIX)

Yes

$100,001 $250,000

$201 - $1,000

158

Eaton Vance Atlanta Capital SMID-Cap I

Yes

$100,001 $250,000

None (or less
than $201)

159

Wasatch Long/Short Fund (FMLSX)

Yes

$100,001 $250,000

None (or less
than $201)

160

Gotham Neutral Fund (GONIX)

Yes

$50,001 $100,000

None (or less
than $201)

161

Putnam Convertible Securities Fund (PCGYX)

Yes

$50,001 $100,000

$1,001 - $2,500

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

162

T. Rowe Price New Asia

Yes

$50,001 $100,000

$201 - $1,000

163

Victory Global Natural Resources (RSNYX)

Yes

$50,001 $100,000

$5,001 - $15,000

164

T. Rowe Price Instl Large Cap Growth

Yes

$100,001 $250,000

$201 - $1,000

165

Tanger Factory Outlet (SKT)

N/A

$1,001 - $15,000

None (or less
than $201)

166

Consumer Discretionary SPDR (XLY)

Yes

$1,001 - $15,000

None (or less
than $201)

167

Health Care Select SPDR

Yes

$1,001 - $15,000

None (or less
than $201)

168

IShares MSCI EAFE

Yes

$1,001 - $15,000

$201 - $1,000

169

iShares iBoxx $ Invest Grade Corp Bond

Yes

$1,001 - $15,000

None (or less
than $201)

170

ISHARES TIPS

Yes

$1,001 - $15,000

None (or less
than $201)

171

ISHARES 3-7 Year Treasury Bond ETF

Yes

$1,001 - $15,000

None (or less
than $201)

172

ISHARES MBS ETF

Yes

$1,001 - $15,000

$201 - $1,000

173

ISHARES IBOXX$ HIGH YIELD

Yes

$1,001 - $15,000

None (or less
than $201)

174

ISHARES INC CORE MSCI EMERGING MKTS
ETF

Yes

$1,001 - $15,000

None (or less
than $201)

175

MATERIALS SELECT SECTOR SPDR

Yes

$1,001 - $15,000

None (or less
than $201)

176

POWERSHARES EM SOVEREIGN

Yes

$1,001 - $15,000

None (or less
than $201)

177

POWERSHARES PREFERRED

Yes

$1,001 - $15,000

None (or less
than $201)

178

REAL ESTATE SELECT SPDR (XLRE)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

179

SECTOR SPDR CONSMRS STPL XLP

Yes

None (or less
than $1,001)

$201 - $1,000

180

SECTOR SPDR ENERGY

Yes

$1,001 - $15,000

None (or less
than $201)

181

SECTOR SPDR INDUSTRIAL

Yes

$1,001 - $15,000

None (or less
than $201)

182

SECTOR SPDR UTILITIES

Yes

$1,001 - $15,000

None (or less
than $201)

183

SPDR S&P INSURANCE ETF

Yes

$1,001 - $15,000

None (or less
than $201)

184

VANECK VECTORS JP MORGAN EM LC BOND
(EMLC)

Yes

$1,001 - $15,000

None (or less
than $201)

185

VANGUARD FINANCIALS ETF

Yes

$1,001 - $15,000

None (or less
than $201)

186

VANGUARD INFORMATION

Yes

$1,001 - $15,000

None (or less
than $201)

187

VANGUARD TELECOMM SRVCS

Yes

$1,001 - $15,000

None (or less
than $201)

188

VANGUARD INTERMEDIATE

Yes

$1,001 - $15,000

$201 - $1,000

189

VANGUARD SHORT TERM BOND

Yes

$1,001 - $15,000

None (or less
than $201)

190

ISHARES MSCI PACIFIC

Yes

$1,001 - $15,000

None (or less
than $201)

191

iShares iBoxx $ Invest Grade Corp Bond

Yes

$1,001 - $15,000

None (or less
than $201)

192

ISHARES TIPS

Yes

$1,001 - $15,000

None (or less
than $201)

193

ISHARES 3-7 YEAR Treasury Bond ETF

Yes

$1,001 - $15,000

None (or less
than $201)

194

ISHARES MBS ETF

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

195

ISHARES MSCI JAPAN ETF

Yes

$1,001 - $15,000

None (or less
than $201)

196

ISHARES MSCI UK ETF SHS

Yes

$1,001 - $15,000

None (or less
than $201)

197

ISHARES TRUST CORE MSCI EAFE ETF

Yes

$15,001 $50,000

$1,001 - $2,500

198

POWERSHARES EM SOVEREIGN

Yes

$1,001 - $15,000

None (or less
than $201)

199

Vanguard Small-Cap Value ETF

Yes

$1,001 - $15,000

None (or less
than $201)

200

VANGUARD SMALL CAP ETF

Yes

$1,001 - $15,000

None (or less
than $201)

201

VANGUARD VALUE ETF

Yes

$15,001 $50,000

$201 - $1,000

202

VANGUARD GROWTH ETF (VUG)

Yes

None (or less
than $1,001)

$201 - $1,000

203

VANGUARD INTERMEDIATE BOND ETF

Yes

$1,001 - $15,000

None (or less
than $201)

204

WISDOMTREE EUROPE HEDGED EQUITY
FUND

Yes

$1,001 - $15,000

None (or less
than $201)

205

Transamerica Variable Annuity

No

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

None (or less
than $201)

205.1

TA Managed Risk - Growth ETF

Yes

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

None (or less
than $201)

205.2

Fidelity - VIP Balanced Portfolio

Yes

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

None (or less
than $201)

206

GW&K Muni Intermediate Separately
Managed Account by GW&K

N/A

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

206.1

DC Income Tax Rev Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

206.2

Lower Colo Riv Texas Revenue Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

206.3

Florida State Board of Education GO Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

206.4

Metropolitan Transn Auth New York Rev
Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

206.5

DC Income Tax Rev Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

206.6

DC Income Tax Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.7

Massachusetts State GO Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.8

New York Development Corp Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.9

Texas University Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.10

DC Wrr & Swr Auth Pub Util Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.11

DC Income Tax Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.12

DC Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.13

California Wastewtr Sys Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.14

Arizona State Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.15

Arizona St Transn Brd Hwy Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.16

Florida Health Facs Auth Hosp Rev Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

206.17

Texas Wtr & Wastewater Sys Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.18

Massachusetts St Fed Hwy Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

206.19

Kansas St Dept Transn Hwy Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.20

DC Income Tax Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.21

Indiana Fin Auth Hosp Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.22

Indiana Univ Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.23

Florida Dade County Wtr & Sewer Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.24

Texas Transn Comm St Hwy Fd Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.25

Minnesota Univ Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.26

Illinois St Toll Hwy Auth Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.27

Texas Twy Auth Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.28

Ohio St Higher Edu Fac Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.29

DC Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.30

New York St Dorm Auth Revs Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.31

California Pub Wks Brd Lease Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.32

New York State Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

206.33

California Infrastructure & Economic Dev
Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.34

Illinois O'Hare Intl Arpt Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

206.35

Washington State GO Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

206.36

New York Triborough Brdg & Tunl Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207

Nuveen Asset Management - Intermediate
Muni Separately Managed Account by
Nuveen

N/A

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

$50,001 $100,000

207.1

Money Market (MOSXX)

Yes

$15,001 $50,000

None (or less
than $201)

207.2

Kentucky Boone Cnty Sch Dist Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

207.3

North Carolina Arpt Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

207.4

North Carolina Arpt Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

207.5

Ohio Columbus Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.6

Texas Fort Worth Intl Arpt Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.7

DC Hosp Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.8

DC Income Tax Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

207.9

DC Income Tax Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.10

Georgia Gwinnett Cnty Wtr & Sew Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.11

Texas Util Sys Rev Bond

N/A

$100,001 $250,000

Interest

$5,001 - $15,000

207.12

Indiana Univ Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.13

Illinois Lake Cnty High Sch Dist GO Bond

N/A

$50,001 $100,000

Interest

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

207.14

Florida Hosp Sys Rev Bond

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

207.15

Florida Sch Brd Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.16

Massachusetts State GO Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.17

Massachusetts Wtr Res Auth Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

207.18

DC Arpts Auth Sys Rev Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

207.19

Missouri Health & Edu Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.20

New York Dorm Auth Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

207.21

Oregon Dept Admin Lottery Rev Bond

N/A

$100,001 $250,000

Interest

$5,001 - $15,000

207.22

Washington Seattle Rev Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

207.23

Florida Reedy Creek Impt Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

207.24

Texas San Jacinto Cnty GO Bond

N/A

$50,001 $100,000

Interest

None (or less
than $201)

207.25

Florida Sports Auth Rev Bond

N/A

$50,001 $100,000

Interest

$2,501 - $5,000

208

T. Rowe Price Summit Municipal Income
Fund PRINX

Yes

$1,001 - $15,000

$201 - $1,000

209

Vanguard High-Yield Tax-Exempt

Yes

$1,001 - $15,000

$201 - $1,000

210

Vanguard Interim Term

Yes

$15,001 $50,000

$1,001 - $2,500

211

Dodge and Cox Balanced

Yes

$15,001 $50,000

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

212

Janus Balanced

Yes

$15,001 $50,000

$201 - $1,000

213

Wasatch Long Shor

Yes

$15,001 $50,000

None (or less
than $201)

214

Cisco Systems, Inc. - Common Stock

N/A

$1,001 - $15,000

None (or less
than $201)

215

Mineral Rights--1/12 share--261.5 acres
Harris County, Texas

N/A

$1,001 - $15,000

Rent or
Royalties

$5,001 - $15,000

216

AFLAC Inc

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

217

Euronav NP (EURN)

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

218

Japan Airl (JAPSY)

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

219

LyondellBasell Industries N.V.

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

220

Microsoft Corporation - Common Stock

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

221

M&T Bank Corp

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

222

National Grid Plc (NGG)

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

223

Novo Nordisk (NVO)

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

224

Time Warner Inc

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

225

Vodafone Group Plc - American Depositary
Shares each representing ten Ordinary
Shares

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

226

Honolulu Hawaii Bond

N/A

None (or less
than $1,001)

Interest

$201 - $1,000

227

Illinois State Bond

N/A

None (or less
than $1,001)

Interest

$1,001 - $2,500

See Endnote

INCOME TYPE

INCOME
AMOUNT

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

228

Arlington Texas School District Bond

N/A

None (or less
than $1,001)

Interest

$201 - $1,000

229

West Virginia State Hospital Bond

N/A

None (or less
than $1,001)

Interest

$201 - $1,000

230

Douglas County Nebraska Bond

N/A

None (or less
than $1,001)

Interest

$201 - $1,000

231

iShares Russell 1000 Value Index

Yes

None (or less
than $1,001)

$201 - $1,000

232

iShares Russell 1000 Growth Index

Yes

None (or less
than $1,001)

$201 - $1,000

233

Massachusetts Department of
Transportation Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$2,501 - $5,000

234

Wisconsin State Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$2,501 - $5,000

235

The Industrial Select Sector SPDR Fund

Yes

None (or less
than $1,001)

$201 - $1,000

236

Sector SPDR Utilities XLU

Yes

None (or less
than $1,001)

$201 - $1,000

237

California State Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

238

Michigan Finance Authority Revenue Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$2,501 - $5,000

239

New Jersey Economic Development
Authority Revenue Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$2,501 - $5,000

240

North Carolina Eastn Municipal Power
Agency Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$2,501 - $5,000

241

North Harris Cnty, Texas Regional Water
Authority Bond

N/A

Interest
Capital Gains

$1,001 - $2,500

242

NY State Dormitory Authority Bond

N/A

None (or less
than $1,001)

243

Pennsylvania Intergov Cooperation
Authority Bond

N/A

None (or less
than $1,001)

$201 - $1,000
Interest
Capital Gains

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

244

Texas Wtr Dev Brd Rev Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

245

University of Calif Revs Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$5,001 - $15,000

246

Vanguard Value ETF VTV

Yes

None (or less
than $1,001)

247

U.S. Bank Account #1 (cash)

N/A

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

248

U.S. Brokerage Cash Account #1

N/A

$100,001 $250,000

None (or less
than $201)

249

U.S. Brokerage Cash Account #2

N/A

$1,001 - $15,000

None (or less
than $201)

250

U.S. Brokerage Cash Account #3

N/A

$50,001 $100,000

None (or less
than $201)

251

U.S. Brokerage Cash Account #4

N/A

$1,001 - $15,000

None (or less
than $201)

252

Intel Corp

No

$50,001 $100,000

253

CGM Realty Fund

Yes

$50,001 $100,000

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

8. Liabilities

$201 - $1,000
Interest

Dividends

$1,001 - $2,500

$1,001 - $2,500
$1,001 - $2,500

 #

CREDITOR NAME

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

1

SunTrust

Mortgage on
Personal
Residence

$100,001 $250,000

2013

3.6%

30 years

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

Endnotes
PART

#

ENDNOTE

2.

1

I will not receive any further partnership share from King & Spalding. I have already received a return
of capital.

2.

6.1

novel pharmaceuticals to treat pain and inflammatory disease utilizing ion channels

2.

7

Bonus has been paid in full subsequent to date of the report signature.

4.

3

This Coalition was composed of Verso Corporation, Memphis, Tennessee and Madison Paper
Industries, Madison, Maine

6.

215

This amount was paid in order to drill but to my knowledge no drilling has occurred. If anything found
would receive a royalty of about 22.5%. The lessee is Ballard Exploration Company, inc.

 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:
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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:
●

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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:
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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).