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 Ring, John Francis Board Member, National Labor Relations Board Other Federal Government Positions Held During the Preceding 12 Months: None Names of Congressional Committees Considering Nomination: ● Committee on Health, Education, Labor, and Pensions 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/ Ring, John Francis [electronically signed on 11/17/2017 by Ring, John Francis 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/ Ketcham, Lori W, Certifying Official [electronically signed on 01/19/2018 by Ketcham, Lori W in Integrity.gov] Other review conducted by /s/ Ketcham, Lori W, Ethics Official [electronically signed on 01/19/2018 by Ketcham, Lori W in Integrity.gov] Ring, John Francis - Page 1 U.S. Office of Government Ethics Certification /s/ Apol, David, Certifying Official [electronically signed on 01/24/2018 by Apol, David in Integrity.gov] Ring, John Francis - Page 2 1. Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 1 Friends of the National Zoo (FONZ) Washington, District of Columbia Non-Profit Director/Board Chairman 1/2005 12/2016 2 Morgan Lewis & Bockius Washington, District of Columbia Law Firm Partner 5/1988 Present VALUE INCOME TYPE INCOME AMOUNT Partnership Share & Bonus $2,722,152 Preferred distributions from capital account. $25,237 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF 1 Morgan Lewis & Bockius (law firm) N/A 2 Morgan Lewis & Bockius capital account 3 See Endnote N/A $250,001 $500,000 Morgan Lewis, cash balance pension plan N/A $500,001 $1,000,000 None (or less than $201) 4 Morgan Lewis, 401(k) Plan No 4.1 DFA US Small Cap (DFSTX) Yes $15,001 $50,000 $1,001 - $2,500 4.2 Vanguard Morgan Growth Admiral (VMRAX) Yes $50,001 $100,000 $2,501 - $5,000 4.3 Vanguard Total International Stock Index (VTSNX) Yes $50,001 $100,000 $1,001 - $2,500 Ring, John Francis - Page 3 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 4.4 Vanguard Windsor II (VWNAX) Yes $50,001 $100,000 $5,001 - $15,000 4.5 Vanguard High Yield Corporate (VWEHX) Yes $15,001 $50,000 $2,501 - $5,000 4.6 Dodge & Cox Income (DODIX) Yes $15,001 $50,000 None (or less than $201) 4.7 Harding Loevner Emerging Markets (HLEMX) Yes $15,001 $50,000 None (or less than $201) 5 Morgan Lewis, Defined Contribution Plan No 5.1 DFA US Small Cap (DFSTX) Yes $100,001 $250,000 $5,001 - $15,000 5.2 Dodge & Cox International Stock (DODFX) Yes $15,001 $50,000 $1,001 - $2,500 5.3 Vanguard Morgan Growth Admiral (VMRAX) Yes $100,001 $250,000 $5,001 - $15,000 5.4 Vanguard Total International Stock Index (VTSNX) Yes $50,001 $100,000 $1,001 - $2,500 5.5 Vanguard Windsor II(VWNAX) Yes $100,001 $250,000 $15,001 $50,000 5.6 William Blair International Growth (BIGIX) Yes $15,001 $50,000 $201 - $1,000 6 Morgan Lewis, defined benefit plan (value not readily ascertainable); eligible for annuity payment of approximately $620 per month at age 65 N/A 7 Morgan Lewis & Bockius (law firm) FY 2018 Anticipated Partnership Share N/A $500,001 $1,000,000 None (or less than $201) 8 Morgan Lewis & Bockius (law firm) Anticipated Bonus N/A $100,001 $250,000 None (or less than $201) None (or less than $201) Ring, John Francis - Page 4 # DESCRIPTION EIF VALUE 9 Morgan Lewis & Bockius (law firm) FY 2017 Anticipated Partnership Share N/A $500,001 $1,000,000 INCOME TYPE INCOME AMOUNT None (or less than $201) 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 1 Morgan Lewis & Bockius Washington, District of Columbia Upon confirmation, I will withdraw from the partnership of Morgan Lewis & Bockius. I will receive the balance of my share of the partnership income for FY 2017 (year ending September 30, 2017) in two fixed payments to be provided in mid-December 2017 and mid-January 2018. I will also receive my pro rata partnership share for fiscal year 2018 before I assume the duties of the position of Board Member. I will not receive a partnership distribution in excess of my monthly draw for FY 2018. 10/1999 2 Morgan Lewis & Bockius Washington, District of Columbia I will continue to participate in the Morgan Lewis & Bockius LLP Tax-Saver Retirement Plan. This is a defined contribution (401(k)) plan. The plan sponsor will not make further contributions after my separation. 1/1999 3 Morgan Lewis & Bockius Washington, District of Columbia I will continue to participate in the Morgan, Lewis & Bockius LLP Cash Balance Pension Plan. This is a defined benefit plan. I will be eligible for retirement benefits from this plan at age 55. 1/1999 4 Morgan Lewis & Bockius Washington, District of Columbia I will continue to participate in the Morgan Lewis & Bockius LLP Employees' Pension Plan. This is a defined benefit plan. I will be eligible for retirement benefits from this plan at age 65. 9/1989 5 Morgan Lewis & Bockius Washington, District of Columbia I will continue to participate the Morgan Lewis & Bockius LLP Defined Contribution Plan. The plan sponsor will not make further contributions after my separation. 10/2001 Ring, John Francis - Page 5 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 6 Morgan Lewis & Bockius Washington, District of Columbia Upon confirmation, I will withdraw from the partnership of Morgan Lewis & Bockius. I will receive my final Preferred Distribution from my Capital Account which is calculated based upon Moody's AAA Bond Rate +1% and capped at 5%. 9/1999 7 Morgan Lewis & Bockius Washington, District of Columbia Upon confirmation, I will withdraw from the partnership of Morgan Lewis & Bockius. A performance bonus covering fiscal year 2017 is anticipated and will be distributed in two-fixed payments to be provided in mid-December 2017 and mid-January 2018. 10/2016 8 Morgan Lewis & Bockius Washington, District of Columbia Upon confirmation, I will withdraw from the partnership of Morgan Lewis & Bockius. I will receive a refund of my capital account with the firm. 10/1999 9 Morgan Lewis & Bockius Washington, District of Columbia I will continue to participate in the Morgan Lewis & Bockius LLP Group Variable Universal Life Insurance (GVUL) plan. I will make payments directly to MetLife. 11/2014 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 1 Morgan Lewis & Bockius Washington, District of Columbia Partner attorney at this firm. 2 Olin Corporation Clayton, Missouri Legal services (client of Morgan Lewis & Bockius) 3 YRC Worldwide, Inc. Overland Park, Kansas Legal services (client of Morgan Lewis & Bockius) 4 MEBA Benefit Plans Baltimore, Maryland Legal services (client of Morgan Lewis & Bockius) 5 New York State Teamsters Benefit Funds Syracuse, New York Legal services (client of Morgan Lewis & Bockius) Ring, John Francis - Page 6 # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 6 Road Carriers Local 707 Benefit Funds Hempsted, New York Legal services (client of Morgan Lewis & Bockius) 7 American Trucking Associations, Inc. Alexandria, Virginia Legal services (client of Morgan Lewis & Bockius) 8 Marriott International, Inc. Bethesda, Maryland Legal services (client of Morgan Lewis & Bockius) 9 Google Inc Mountain View, California Legal services (client of Morgan Lewis & Bockius) 10 Grosvenor Capital Management LP Chicago, Illinois Legal services (client of Morgan Lewis & Bockius) 11 Amazon.com Seattle, Washington Legal services (client of Morgan Lewis & Bockius) 12 Pratt & Whitney Hartford, Connecticut Legal services (client of Morgan Lewis & Bockius) 13 Unilever United States Englewood Cliffs, New Jersey Legal services (client of Morgan Lewis & Bockius) 14 Russell Stover Candies, Inc. Kansas City, Missouri Legal services (client of Morgan Lewis & Bockius) 15 Lindt & Sprungli (North America) Kansas City, Missouri Legal services (client of Morgan Lewis & Bockius) 16 Xerox Corporation Rochester, New York Legal services (client of Morgan Lewis & Bockius) 17 Maersk Line, Ltd. Norfolk, Virginia Legal services (client of Morgan Lewis & Bockius) 18 APL Marine Services, Ltd. Oakland, California Legal services (client of Morgan Lewis & Bockius) 19 OSG Ship Management, Inc. Tampa, Florida Legal services (client of Morgan Lewis & Bockius) 20 Patriot Contract Services LLC Concord, California Legal services (client of Morgan Lewis & Bockius) Ring, John Francis - Page 7 # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 21 Liberty Maritime Corporation Lake Success, New York Legal services (client of Morgan Lewis & Bockius) 22 Waterman Steamship Corporation Mobile, Alabama Legal services (client of Morgan Lewis & Bockius) 23 Central Gulf Lines Mobile, Alabama Legal services (client of Morgan Lewis & Bockius) 24 Sulphur Carriers, Inc. Mobile, Alabama Legal services (client of Morgan Lewis & Bockius) 25 Keystone Shipping Company Bala Cynwyd, Pennsylvania Legal services (client of Morgan Lewis & Bockius) 26 Marine Personnel & Provisioning Jacksonville, Florida Legal services (client of Morgan Lewis & Bockius) 27 Seaboard Corporation Kansas City, Missouri Legal services (client of Morgan Lewis & Bockius) 28 Cliffs Natural Resources Cleveland, Ohio Legal services (client of Morgan Lewis & Bockius) 29 Arctic Slope Regional Corporation Anchorage, Alaska Legal services (client of Morgan Lewis & Bockius) 5. Spouse's Employment Assets & Income and Retirement Accounts None 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 U.S. Bank account #1 (cash) N/A $5,000,001 $25,000,000 Interest $201 - $1,000 Ring, John Francis - Page 8 # DESCRIPTION EIF VALUE INCOME TYPE 2 DFA US Small Cap (DFSTX) Yes $50,001 $100,000 $2,501 - $5,000 3 Harbor Capital Appreciation (HACAX) Yes $100,001 $250,000 $5,001 - $15,000 4 Vanguard High Yield Corporate (VWEHX) Yes $15,001 $50,000 $2,501 - $5,000 5 Thornburg Limited Term Muni (LTMFX) Yes $15,001 $50,000 $1,001 - $2,500 6 Westwood Income Opportunity (WWIAX) Yes $15,001 $50,000 $201 - $1,000 7 Schwab S&P 500 Index (SWPPX) Yes $100,001 $250,000 $2,501 - $5,000 8 Vanguard Windsor II (VWNAX) Yes $100,001 $250,000 $5,001 - $15,000 9 Dodge & Cox International Stock (DODFX) Yes $1,001 - $15,000 $201 - $1,000 10 Vanguard Total International Stock Index (VGTSX) Yes $15,001 $50,000 $201 - $1,000 11 Lazard Emerging Markets (LZEMX) Yes $1,001 - $15,000 None (or less than $201) 12 Residential real estate, Washington, D.C. N/A $1,000,001 $5,000,000 13 Inherited IRA No 13.1 Glenmede Small Cap Equity (GTSCX) Yes $1,001 - $15,000 None (or less than $201) 13.2 PIMCO High Yield (PHIYX) Yes $50,001 $100,000 $2,501 - $5,000 13.3 Vanguard Total International Stock Index (VTIAX) Yes $15,001 $50,000 $201 - $1,000 Rent or Royalties INCOME AMOUNT $5,001 - $15,000 Ring, John Francis - Page 9 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 13.4 Lazard Emerging Markets (LZEMX) Yes $15,001 $50,000 $201 - $1,000 14 Inherited ROTH IRA No 14.1 Glenmede Small Cap Equity (GTSCX) Yes $1,001 - $15,000 None (or less than $201) 15 U.S. Bank account #2 (cash) N/A $50,001 $100,000 Interest $201 - $1,000 7. Transactions (N/A) - Not required for this type of report 8. Liabilities # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 1 Citibank, NA Mortgage on Personal Residence $1,000,001 $5,000,000 2017 3.5% 30 years 2 JP Morgan Chase Mortgage on Personal Residence $1,000,001 $5,000,000 2014 4.1% 30 Years 3 Chesapeake Bank Mortgage on Personal Residence $250,001 $500,000 2012 3% 30 years 4 Charles Schwab Margin loan $100,001 $250,000 2007 1.6% Open ended See Endnote Ring, John Francis - Page 10 # CREDITOR NAME 5 Citibank, NA See Endnote TYPE AMOUNT YEAR INCURRED RATE TERM Capital Account Loan $100,001 $250,000 2005 1-month ICE LIBOR reset daily plus 130 basis points (1.3%) Variable 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes PART # ENDNOTE 2. 2 Distributions are calculated based upon Moody's AAA Bond Rate +1% capped at 5%. 8. 2 Initial mortgage on personal residence; loan paid and refinanced with Citibank. 8. 5 Terms of loan change over time. Currently this is a 5 year interest only term followed by an amortization/repayment period of five years commencing in January 2018 through February 2023. This loan will be paid in full upon the return of my capital account. Ring, John Francis - Page 11 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.) Ring, John Francis - Page 12 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 Ring, John Francis - Page 13 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. Ring, John Francis - Page 14 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). Ring, John Francis - Page 15