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 Juster, Kenneth Ian International Economic Affairs, White House Date of Appointment: 01/20/2017 Other Federal Government Positions Held During the Preceding 12 Months: None Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge. /s/ Juster, Kenneth [electronically signed on 02/06/2017 by Juster, Kenneth 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/ Schultz, James D, Certifying Official [electronically signed on 03/30/2017 by Schultz, James D in Integrity.gov] Other review conducted by U.S. Office of Government Ethics Certification Data Revised 03/30/2017 Data Revised 03/29/2017 Data Revised 03/21/2017 Data Revised 03/20/2017 Data Revised 03/18/2017 Data Revised 03/17/2017 Data Revised 03/16/2017 Data Revised 03/09/2017 1. Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 1 Warburg Pincus LLC New York, New York Private Equity Investment Firm Partner 10/2010 1/2017 2 Gold Reserve, Inc. Spokane, Washington Corporation Board Member 3/2015 1/2017 3 Weatherhead Center for International Affairs-Advisory Committee at Harvard Cambridge, Massachusetts University/Colle ge Chairman of Advisory Committee 6/2008 1/2017 4 Freedom House Washington, District of Columbia Non-Profit Chairman of Board 10/2009 1/2017 5 Asia Foundation San Franscisco, California Non-Profit Vice Chairman of Board 9/2008 1/2017 6 Bridgepoint Education San Diego, California Corporation Board Member 8/2016 1/2017 7 U. S. India Business Council Washington, District of Columbia Advocacy Group Board Member 11/2010 1/2017 EIF VALUE INCOME TYPE INCOME AMOUNT No $1,000,001 $5,000,000 Capital Gains Dividends Interest $1,000,001 $5,000,000 Capital Gains Interest Dividends $100,001 $1,000,000 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION 1 Warburg Pincus & Co 1.1 Warburg Pincus 2011 Partners LP No $100,001 $250,000 1.1.1 ACB (India) Limited No $1,001 - $15,000 See Endnote # DESCRIPTION EIF VALUE 1.1.2 Gangavaram Port Limited No $15,001 $50,000 1.1.3 Laredo Petroleum Inc. No $50,001 $100,000 1.1.4 Lemon Tree Hotels Limited No $15,001 $50,000 1.1.5 Southernpec Storage and Logistics Holding Limited No $1,001 - $15,000 1.2 Warburg Pincus XI Partners, LP No $1,000,001 $5,000,000 1.2.1 Allied Universal Security Services No $100,001 $250,000 1.2.2 Ane Logistics Co., Ltd. No $50,001 $100,000 1.2.3 Avalara Inc. No $50,001 $100,000 1.2.4 Avtec Limited No $1,001 - $15,000 1.2.5 Baoping Energy Investments Co., Ltd. No $15,001 $50,000 1.2.6 Beijing Amcare Women's & Children's Hospital Co., Ltd No $50,001 $100,000 1.2.7 Biba Apparels Private Limited No $15,001 $50,000 1.2.8 Blue Yonder GmBH No $1,001 - $15,000 1.2.9 Brigham Resources, LLC No $250,001 $500,000 1.2.10 CAGR Gas Resource Limited No $50,001 $100,000 1.2.11 Capillary Technologies International Pte. Ltd. No $15,001 $50,000 INCOME TYPE INCOME AMOUNT Capital Gains Dividends Interest $100,001 $1,000,000 # DESCRIPTION EIF VALUE 1.2.12 Capital First Limited No $100,001 $250,000 1.2.13 CAR Inc. No $50,001 $100,000 1.2.14 Car Trade No $50,001 $100,000 1.2.15 China Huarong Asset Management Co., Ltd. No $15,001 $50,000 1.2.16 Civitas Learning, Inc. No $1,001 - $15,000 1.2.17 ComplexCare Holdings, Inc. No $1,001 - $15,000 1.2.18 Crossmark Holdings, Inc. No $15,001 $50,000 1.2.19 DBRS No $15,001 $50,000 1.2.20 Delonex Energy Advisors No $1,001 - $15,000 1.2.21 Dude Solutions, Inc. No $15,001 $50,000 1.2.22 ECOM Express Private Limited No $50,001 $100,000 1.2.23 EDAIJIA Inc. No $15,001 $50,000 1.2.24 Evercare (Beijing) Holding Group Co., Ltd. No $15,001 $50,000 1.2.25 Genomics Development, LLC No $1,001 - $15,000 1.2.26 GPS Particioacoes e Empreendimentos S.A. No $15,001 $50,000 1.2.27 Haodai No $1,001 - $15,000 1.2.28 Hawkwood Energy LLC No $50,001 $100,000 1.2.29 Helix OpCo, LLC No $15,001 $50,000 INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 1.2.30 Hygeia Medical Service Group No $15,001 $50,000 1.2.31 Incomm Holdings, Inc. No $50,001 $100,000 1.2.32 Independence Resources Management, LLC No $15,001 $50,000 1.2.33 INEA (PUT KOMA) No $50,001 $100,000 1.2.34 Inexio No $1,001 - $15,000 1.2.35 Intellectual Property Associates Network No $15,001 $50,000 1.2.36 Kaifeng Baosteel Gases Co., Ltd. No $15,001 $50,000 1.2.37 Kalyan Jewellers India Limited No $50,001 $100,000 1.2.38 Kidswant Children Products (China) Co. Ltd. No $50,001 $100,000 1.2.39 Koudai Corporation No $100,001 $250,000 1.2.40 Laurus Labs Private Limited No $15,001 $50,000 1.2.41 LI Group Holdings, Inc. No $50,001 $100,000 1.2.42 Liepin No $50,001 $100,000 1.2.43 MainSail Energy Ltd. No $1,001 - $15,000 1.2.44 Mariner Finance No $50,001 $100,000 1.2.45 Mercator No $15,001 $50,000 1.2.46 MercuryGate No $15,001 $50,000 INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 1.2.47 Mofang No $50,001 $100,000 1.2.48 Navitas Midstream Partners, LLC No $50,001 $100,000 1.2.49 Network International No $50,001 $100,000 1.2.50 Nirvana Shopping Mall Platform No $15,001 $50,000 1.2.51 NOVA Property Investment Co., Ltd. No $15,001 $50,000 1.2.52 PayScale, Inc. No $50,001 $100,000 1.2.53 Pet Center Comercio e Participacoes S.A. No $15,001 $50,000 1.2.54 PRL Developers Private Limited No $50,001 $100,000 1.2.55 Restoque Comercio e Confeccoes De Roupas S.A. No $15,001 $50,000 1.2.56 Sand Hill Petroleum B.V. No $50,001 $100,000 1.2.57 Santander Asset Management No $50,001 $100,000 1.2.58 Sequoia Logistica S.A. No $1,001 - $15,000 1.2.59 Slickdeals LLC No $50,001 $100,000 1.2.60 Source Holdings Limited No $50,001 $100,000 1.2.61 Specialists On Call No $15,001 $50,000 1.2.62 Sterigenics International LLC No $100,001 $250,000 INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 1.2.63 Stratford School, Inc. No $50,001 $100,000 1.2.64 TriMark USA Corp. No $100,001 $250,000 1.2.65 UCar, Inc. No $50,001 $100,000 1.2.66 Uxin Limited No $100,001 $250,000 1.2.67 Venari Resources LLC No $100,001 $250,000 1.2.68 Vertice Pharma UK Parent Limited No $50,001 $100,000 1.2.69 Vincom Retail Joint Stock Company No $50,001 $100,000 1.2.70 Wencor Group LLC No $50,001 $100,000 1.2.71 WEX, Inc. (fka Electronic Funds Source, LLC) No $100,001 $250,000 1.2.72 Zenith Energy, L.P. No $15,001 $50,000 1.2.73 ZTO Express Group No $100,001 $250,000 1.3 Warburg Pincus Energy Partners, LP No $100,001 $250,000 1.3.1 Brigham Resources, LLC No $15,001 $50,000 1.3.2 CAGR Gas Resource Limited No $15,001 $50,000 1.3.3 Chisholm Energy Holdings, LLC No $1,001 - $15,000 1.3.4 Hawkwood Energy LLC No $1,001 - $15,000 1.3.5 Independence Resources Management, LLC No $15,001 $50,000 INCOME TYPE INCOME AMOUNT None (or less than $201) # DESCRIPTION EIF VALUE 1.3.6 Navitas Midstream Partners, LLC No $15,001 $50,000 1.3.7 RS Energy Group No $1,001 - $15,000 1.3.8 Rubicon Oilfield International No $15,001 $50,000 1.3.9 Solar Mosaic, Inc. No $1,001 - $15,000 1.3.10 Terra Energy Partners LLC No $15,001 $50,000 1.3.11 Venari Resources LLC No $1,001 - $15,000 1.3.12 Zenith Energy, L.P. No $1,001 - $15,000 1.4 Warburg Pincus XII Partners, L.P. No $100,001 $250,000 1.4.1 Ascentium Capital LLC No $15,001 $50,000 1.4.2 Blue-Grace Logistics LLC No $1,001 - $15,000 1.4.3 Camil Alimentos S.A. No $1,001 - $15,000 1.4.4 Chisholm Energy Holdings, LLC No None (or less than $1,001) 1.4.5 DocuTAP, Inc. No $1,001 - $15,000 1.4.6 Embassy Industrial Parks Private Limited No $1,001 - $15,000 1.4.7 Fortune SG Fund Management Co., Ltd. No $1,001 - $15,000 1.4.8 Gemini No $1,001 - $15,000 1.4.9 Glansaol LLC No $1,001 - $15,000 1.4.10 Hygiena LLC No $1,001 - $15,000 1.4.11 Intelligent Medical Objects, Inc. No $1,001 - $15,000 1.4.12 Mobike, Ltd. No $1,001 - $15,000 1.4.13 NEOGOV No $1,001 - $15,000 INCOME TYPE INCOME AMOUNT None (or less than $201) # DESCRIPTION EIF VALUE 1.4.14 OfferUp, Inc. No $1,001 - $15,000 1.4.15 PT Aplikasi Karya Anak Bangsa (Go-Jek) No $1,001 - $15,000 1.4.16 Reiss No $1,001 - $15,000 1.4.17 Rivigo Services Private Limited No $1,001 - $15,000 1.4.18 RS Energy Group No $1,001 - $15,000 1.4.19 Rubicon Oilfield International No $1,001 - $15,000 1.4.20 Solar Mosaic, Inc. No $1,001 - $15,000 1.4.21 Southeast Asia Hospitality Platform No $1,001 - $15,000 1.4.22 Stellar Value Chain Solutions Private Limited No $1,001 - $15,000 1.4.23 Terra Energy Partners LLC No $1,001 - $15,000 1.4.24 UIB (China) Group Limited No $1,001 - $15,000 1.4.25 Varo Money, Inc. No $1,001 - $15,000 1.4.26 Yunniao Logistics No $1,001 - $15,000 1.4.27 Zimperium, Inc. No $1,001 - $15,000 1.5 Warburg Pincus China Partners No $1,001 - $15,000 1.5.1 Fortune SG Fund Management Co., Ltd. No $1,001 - $15,000 1.5.2 Southeast Asia Hospitality Platform No $1,001 - $15,000 1.6 WPS Production Investors II, LP No $250,001 $500,000 None (or less than $201) 2 IRA - UBS No $1,000,001 $5,000,000 None (or less than $201) 2.1 Vanguard Mid Cap ETF No $50,001 $100,000 $201 - $1,000 2.2 Vanguard FTSE Developed Markets ETF No $50,001 $100,000 $1,001 - $2,500 See Endnote INCOME TYPE INCOME AMOUNT None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2.3 Vanguard High Dividend Yield ETF No $15,001 $50,000 $201 - $1,000 2.4 Vanguard Energy ETF No $15,001 $50,000 $201 - $1,000 2.5 WisdomTree Europe Hedged Equity Fund ETF No $50,001 $100,000 $1,001 - $2,500 2.6 Consumer Discretionary Select Sector Spider ETF No $15,001 $50,000 $201 - $1,000 2.7 Health Care Select Sector Spider ETF No $15,001 $50,000 $201 - $1,000 2.8 KBW Regional Banking ETF No $15,001 $50,000 $201 - $1,000 2.9 Spider Series Trust KBW Bank ETF No $15,001 $50,000 None (or less than $201) 2.10 I Shares PHLX SOX Semiconductor Sector ETF No $15,001 $50,000 None (or less than $201) 2.11 I Shares Russell 1000 Value ETF No $100,001 $250,000 $1,001 - $2,500 2.12 I Shares Russell 2000 Value ETF No $15,001 $50,000 $201 - $1,000 2.13 I Shares Russell 1000 Growth ETF No $100,001 $250,000 $1,001 - $2,500 2.14 I Shares Russell 2000 Growth ETF No $15,001 $50,000 $201 - $1,000 2.15 Guggengeim S&P 500 Pure Growth ETF No $15,001 $50,000 None (or less than $201) 2.16 Guggenheim S&P 500 Pure Value ETF No $15,001 $50,000 $201 - $1,000 2.17 First Trade ISE Cloud Computing ETF No $15,001 $50,000 None (or less than $201) 2.18 Wisdom Tree Japn Hedged ETF No $50,001 $100,000 $1,001 - $2,500 # DESCRIPTION EIF VALUE 2.19 I Shares Trust S&P Global Info Technology ETF No $15,001 $50,000 $201 - $1,000 2.20 I Shares MSCI Emerging Markets ETF No $15,001 $50,000 $201 - $1,000 2.21 UBS Bank Money Market No $100,001 $250,000 None (or less than $201) 3 260,000 shs 2012 GOLD RESERVE INC STOCK OPTION PLAN No $15,001 $50,000 None (or less than $201) 4 Warburg Pincus 401K cash balance No $500,001 $1,000,000 None (or less than $201) 5 WPS Production Partners, LLC No None (or less than $1,001) None (or less than $201) 6 WPS Production Partners II, LLC No None (or less than $1,001) None (or less than $201) 7 Warburg Pincus LLC No $1,000,001 $5,000,000 Salary of 1,275,000 8 Warburg Pincus (Bermuda) Private Equity GP LTD See Endnote No $500,001 $1,000,000 Dividends Capital Gains Interest $15,001 $50,000 9 Warburg Pincus & Co US, LLC See Endnote No None (or less than $1,001) Capital Gains Interest None (or less than $201) 10 Warburg Pincus Energy (E&P) Partners-A L.P. See Endnote No $50,001 $100,000 Interest Rent or Royalties None (or less than $201) 11 Warburg Pincus Energy Partners (Cayman), L.P. See Endnote No None (or less than $1,001) 12 Warburg Pincus XI(E&P) Partners- A, L.P. See Endnote No $100,001 $250,000 Interest Dividends $1,001 - $2,500 13 Warburg Pincus XI (Lexington) Partners-A, L.P. See Endnote No None (or less than $1,001) Interest None (or less than $201) 14 Warburg Pincus XI Partners (Cayman), L.P. See Endnote No $250,001 $500,000 Dividends Interest $5,001 - $15,000 See Endnote INCOME TYPE INCOME AMOUNT None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 15 Warburg Pincus XI Partners (International), LP See Endnote No $50,001 $100,000 Interest None (or less than $201) 16 Warburg Pincus XI Partners (Universal) LP See Endnote No $100,001 $250,000 Interest None (or less than $201) 17 Delaware Small Cap Core Fund Institutional No $15,001 $50,000 $2,501 - $5,000 18 Blackrock S&P 500 Index Fund Instl No $50,001 $100,000 $2,501 - $5,000 19 Columbia Midcap Index Fund No $15,001 $50,000 $201 - $1,000 20 American EuroPacific Growth Fund No $15,001 $50,000 None (or less than $201) 21 Metropolitan West Total Return Bond No $50,001 $100,000 None (or less than $201) 22 PIMCO Real Return Fund Instl Class No $50,001 $100,000 None (or less than $201) 23 Eaton Vance Hgh Income Opportunities Fund No $50,001 $100,000 None (or less than $201) 24 Wells Fargo Stable Value Class K No $15,001 $50,000 None (or less than $201) 25 Warburg Pincus XII Partners (International), LP No $1,001 - $15,000 None (or less than $201) See Endnote 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 1 Warburg Pincus LLC New York, New York 401K Retirement Plan- A contribution of $100,000 was paid in March for 2016. The plan sponsor will not make further contributions after my separation. I do not intend on leaving this 401K at the plan sponsor. I intend on rolling over this 401K into an IRA 10/2010 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 1 Gold Reserve Corporation Spokane, Washington Board Member Directors fee $36,000 2 Warburg Pincus LLC New York, New York Partner in Private Equity Investment Firm 3 Bridgepoint Education San Diego, California Board Member Directors fee $14,375 5. Spouse's Employment Assets & Income and Retirement Accounts None 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 FINTAN PARTNERS LP Yes $1,001 - $15,000 None (or less than $201) 2 PINEHURST PARTNERS LP Yes $1,000,001 $5,000,000 $50,001 $100,000 3 HAMLIN INCOME PLUS FUND LP Yes $1,000,001 $5,000,000 $5,001 - $15,000 4 SILVERCREST MUNI ADVANTAGE LLC Yes $500,001 $1,000,000 None (or less than $201) 5 WHIPPOORWILL DISTRESSED OPP FUND Yes $50,001 $100,000 None (or less than $201) 6 STEELPATH MLP PARTNERS LP No $1,000,001 $5,000,000 None (or less than $201) # DESCRIPTION EIF VALUE 6.1 BUCKEYE PARTNERS LP UNIT LTD No $15,001 $50,000 None (or less than $201) 6.2 CONE MIDSTREAM PARTNERS LP No $15,001 $50,000 None (or less than $201) 6.3 CSI COMPRESSCO LP No $1,001 - $15,000 None (or less than $201) 6.4 ENERGY TRANSFER EQUITY LP COM No $50,001 $100,000 None (or less than $201) 6.5 ENERGY TRANSFER PARTNRS LP UNIT LTD No $50,001 $100,000 None (or less than $201) 6.6 ENTERPRISE PRODS PARTNERS LP No $50,001 $100,000 None (or less than $201) 6.7 EQT MIDSTREAM PARTNERS LP UNIT LTD No $15,001 $50,000 None (or less than $201) 6.8 GENESIS ENERGY LP UNIT LTD No $50,001 $100,000 None (or less than $201) 6.9 HOLLY ENERGY PARTNERS LP COM No $15,001 $50,000 None (or less than $201) 6.10 MAGELLAN MIDSTREAM PARTNRS LP COM UNIT No $15,001 $50,000 None (or less than $201) 6.11 MPLX LP COM UNIT REP LTD No $15,001 $50,000 None (or less than $201) 6.12 NGL ENERGY PARTNERS LP COM UNIT No $15,001 $50,000 None (or less than $201) 6.13 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC No $15,001 $50,000 None (or less than $201) 6.14 RICE MIDSTREAM PARTNERS LP No $50,001 $100,000 None (or less than $201) 6.15 SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD No $15,001 $50,000 None (or less than $201) 6.16 SUNOCO LOGISTICS PRTNRS LP COM UNITS No $15,001 $50,000 None (or less than $201) See Endnote INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE INCOME TYPE 6.17 SUNOCO LP No $15,001 $50,000 None (or less than $201) 6.18 TALLGRASS ENERGY GP LP No $15,001 $50,000 None (or less than $201) 6.19 TALLGRASS ENERGY PARTNERS LP No $15,001 $50,000 None (or less than $201) 6.20 TARGA RESOURCES CORP No $50,001 $100,000 None (or less than $201) 6.21 TC PIPELINES LP UT COM LTD PRT No $15,001 $50,000 None (or less than $201) 6.22 TESORO LOGISTICS LP COM UNIT LP No $15,001 $50,000 None (or less than $201) 6.23 WESTERN GAS PARTNERS LP COM UNIT LP No $15,001 $50,000 None (or less than $201) 6.24 WILLIAMS COS INC DEL COM No $15,001 $50,000 None (or less than $201) 6.25 WILLIAMS PARTNERS LP No $15,001 $50,000 None (or less than $201) 6.26 CASH-STEELPATH PARTNERS No $1,001 - $15,000 7 WHITEBOX TERM CREDIT FUND I LP No $500,001 $1,000,000 None (or less than $201) 8 AEGION CORP COM No $15,001 $50,000 None (or less than $201) 9 AGCO CORP No $15,001 $50,000 10 BRINKS CO COM No $15,001 $50,000 11 CENTENE CORP DEL No $15,001 $50,000 None (or less than $201) 12 CHICAGO BRIDGE & IRON CO NV SHS No $15,001 $50,000 None (or less than $201) CASH Dividends INCOME AMOUNT $5,369 $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE 13 CLEAN HARBORS INC No $15,001 $50,000 None (or less than $201) 14 CRANE CO COM No $1,001 - $15,000 None (or less than $201) 15 DARLING INGREDIENTS INC No $15,001 $50,000 None (or less than $201) 16 DIEBOLD NXDF INC No $15,001 $50,000 $201 - $1,000 17 ENVISION HEALTHCARE CORP COM No $15,001 $50,000 None (or less than $201) 18 HILL ROM HLDGS INC COM No $15,001 $50,000 19 KOPPERS HOLDINGS INC No $15,001 $50,000 None (or less than $201) 20 MIDDLEBY CORP No $1,001 - $15,000 None (or less than $201) 21 NORDSON CORP No $15,001 $50,000 None (or less than $201) 22 OGE ENERGY CORP COM No $15,001 $50,000 Dividends $201 - $1,000 23 POLARIS INDS INC No $15,001 $50,000 Dividends $201 - $1,000 24 SANDERSON FARMS INC No $15,001 $50,000 Dividends $201 - $1,000 25 SCHWAB MONEY MARKET No $15,001 $50,000 None (or less than $201) 26 TENNECO INC COM No $15,001 $50,000 None (or less than $201) 27 THOR INDUSTRIES INC No $15,001 $50,000 Dividends $201 - $1,000 28 TIMKEN CO COM No $15,001 $50,000 Dividends $201 - $1,000 Dividends INCOME AMOUNT $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 29 TRINITY INDS INC COM No $15,001 $50,000 Dividends $201 - $1,000 30 TMW INVESTMENTS FUNDING-CASH No $500,001 $1,000,000 31 FMI INTERNATIONAL FUND INSTITUTIONAL No $250,001 $500,000 32 UBS BANK DEPOSIT MM No None (or less than $1,001) 33 VIRTUS EMERGING MARKET OPPORTUNITIES No $1,000,001 $5,000,000 Dividends $2,501 - $5,000 34 LONGLEAF INTERNATIONAL No $500,001 $1,000,000 Dividends $15,001 $50,000 35 UBS BANK DEPOSIT MM No None (or less than $1,001) 36 EQUITY RESIDENTIAL No $1,001 - $15,000 Dividends $2,501 - $5,000 37 SCHLUMBERGER LTD No $15,001 $50,000 Dividends $201 - $1,000 38 ALTRIA GROUP INC No $15,001 $50,000 Dividends $201 - $1,000 39 SEMPRA ENERGY No $15,001 $50,000 Dividends $201 - $1,000 40 OCCIDENTAL PETROLEUM CORP No $50,001 $100,000 Dividends $1,001 - $2,500 41 PG&E CORP No $15,001 $50,000 Dividends $201 - $1,000 42 THERMO FISCHER SCIENTIFIC INC No $1,001 - $15,000 43 GENERAL ELECTRIC CORP No $15,001 $50,000 Dividends $1,001 - $2,500 44 AMERICAN FINANCIAL GROUP INC No $1,001 - $15,000 Dividends $201 - $1,000 45 ZIMMER BIOMET HOLDINGS INC No $1,001 - $15,000 None (or less than $201) Dividends $5,001 - $15,000 None (or less than $201) None (or less than $201) None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 46 EOG RESOURCES INC No $1,001 - $15,000 47 VERIZON COMMUNICATIONS No $15,001 $50,000 Dividends $1,001 - $2,500 48 JP MORGAN CHASE & CO No $50,001 $100,000 Dividends $201 - $1,000 49 GENERAL MILLS INC No $1,001 - $15,000 Dividends $201 - $1,000 50 CHARLES SCHWAB CORP No $1,001 - $15,000 51 INTEL CORP No $15,001 $50,000 Dividends $201 - $1,000 52 WELLS FARGO & CO No $15,001 $50,000 Dividends $1,001 - $2,500 53 VISA INC No $15,001 $50,000 54 KROGER CO No $1,001 - $15,000 Dividends $201 - $1,000 55 JOHNSON & JOHNSON No $15,001 $50,000 Dividends $1,001 - $2,500 56 CHEVRON CORP No $15,001 $50,000 Dividends $1,001 - $2,500 57 UNITED TECHNOLOGIES CORP No $1,001 - $15,000 Dividends $201 - $1,000 58 EXXON MOBIL CORP No $1,001 - $15,000 Dividends $201 - $1,000 59 ELI LILLY & CO No $1,001 - $15,000 Dividends $201 - $1,000 60 PPG INDUSTRIES No $1,001 - $15,000 Dividends $201 - $1,000 61 NEXTERA ENERGY INC No $15,001 $50,000 Dividends $201 - $1,000 62 HUBBELL INC No $15,001 $50,000 Dividends $201 - $1,000 63 GOLDMAN SACHS GROUP No $15,001 $50,000 Dividends $201 - $1,000 None (or less than $201) None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 64 CH ROBINSON WORLDWIDE INC No $15,001 $50,000 Dividends $201 - $1,000 65 KEYCORP NEW No $15,001 $50,000 66 US BANCORP DEL No $1,001 - $15,000 67 HOME DEPOT No $15,001 $50,000 68 CHUBB LTD CHF No $15,001 $50,000 69 GOODYEAR TIRE & RUBBER CO No $15,001 $50,000 70 CREDIT SUISSE GROUP ADR No $1,001 - $15,000 Dividends $201 - $1,000 71 SIMON PROPERTY GROUP INC No $15,001 $50,000 Dividends $201 - $1,000 72 PFIZER INC No $15,001 $50,000 Dividends $201 - $1,000 73 INTERNATIONAL PAPER CO No $1,001 - $15,000 None (or less than $201) 74 WHIRLPOOL CORP No $1,001 - $15,000 None (or less than $201) 75 KELLOGG CO No $1,001 - $15,000 None (or less than $201) 76 HALLIBURTON CO No $15,001 $50,000 None (or less than $201) 77 PUBLIC STORAGE No $1,001 - $15,000 None (or less than $201) 78 BERKLEY WR CORP No $1,001 - $15,000 None (or less than $201) 79 APPLE INC No $15,001 $50,000 None (or less than $201) 80 CATERPILLAR INC No $15,001 $50,000 None (or less than $201) None (or less than $201) Dividends $201 - $1,000 None (or less than $201) Dividends $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 81 ZOETIS INC No $1,001 - $15,000 None (or less than $201) 82 L BRANDS INC No $1,001 - $15,000 None (or less than $201) 83 CDW CORP No $1,001 - $15,000 None (or less than $201) 84 OCEANEERING No $1,001 - $15,000 None (or less than $201) 85 ANADARKO PETROLEUM CORP No $15,001 $50,000 None (or less than $201) 86 FEDERAL REALTY INVESTMENT TRUST No $1,001 - $15,000 $201 - $1,000 87 ALLEGHANY CORP No $1,001 - $15,000 None (or less than $201) 88 ALLERGAN PLC No $15,001 $50,000 None (or less than $201) 89 BERKSHIRE HATHAWAY No $1,001 - $15,000 None (or less than $201) 90 BIOGEN INC No $1,001 - $15,000 None (or less than $201) 91 EBAY INC No $15,001 $50,000 None (or less than $201) 92 LAUDER ESTEE COS No $1,001 - $15,000 None (or less than $201) 93 NXP SEMICONDUCTORS No $1,001 - $15,000 None (or less than $201) 94 E*TRADE FINANCIAL CORP No $1,001 - $15,000 None (or less than $201) 95 PROCTER & GAMBLE No $1,001 - $15,000 None (or less than $201) 96 TRINITY INDUSTRIES No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 97 SALLY BEAUTY COMPANY No $1,001 - $15,000 None (or less than $201) 98 AETNA INC. No $1,001 - $15,000 None (or less than $201) 99 EATON VANCE LARGE CAP VALUE SMA MONEY MARKET No $15,001 $50,000 None (or less than $201) 100 RMA ACCOUNTS - MONEY MARKET No $500,001 $1,000,000 Interest $201 - $1,000 101 BANK OF AMERICA (2.588%) 3/18/2020 No $100,001 $250,000 Interest $2,501 - $5,000 102 TARGA RESOURCES No $1,001 - $15,000 Dividends $201 - $1,000 103 58.COM INC No $50,001 $100,000 None (or less than $201) 104 ANTERO RESOURCES CORP No $250,001 $500,000 None (or less than $201) 105 NUANCE COMMUNICATIONS INC No $250,001 $500,000 None (or less than $201) 106 CHINA BIOLOGIC PRODUCTS No $50,001 $100,000 None (or less than $201) 107 SALESFORCE.COM No $50,001 $100,000 None (or less than $201) 108 LAREDO PETROLEUM INC No $100,001 $250,000 None (or less than $201) 109 BANK OF AMERICA NOTE - ZERO COUPON INDEX LINKED 6/29/18 No $500,001 $1,000,000 None (or less than $201) 110 NEW YORK STATE DORMATORY REVS 5% 7/01/18 No $15,001 $50,000 Interest $1,001 - $2,500 111 ARIZONA BOARD OF REGENTS UNIV ARIZ REV 5% 8/01/20 No $15,001 $50,000 Interest $1,001 - $2,500 112 BLOMFIELD TOWNSHIP NJ BOARD OF ED 4% 3/01/18 No $15,001 $50,000 Interest $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 113 MISSISSIPPI ST GO 5% 10/01/17 No $50,001 $100,000 Interest $1,001 - $2,500 114 LIVINGSTON COUNTY NY PUBLIC IMP 5% 5/01/20 No $50,001 $100,000 Interest $1,001 - $2,500 115 TRIBOROUGH BRIDGE & TUNNEL AUTH 4% 11/15/19 No $50,001 $100,000 Interest $1,001 - $2,500 116 MET TRANSIT AUTH NY 5% 11/15/21 No $15,001 $50,000 Interest $1,001 - $2,500 117 NASSAU CNTY NY INTERM FIN AUTH 4% 11/15/22 No $50,001 $100,000 Interest $1,001 - $2,500 118 HADDON HEIGHTS NJ GO 4% 6/01/19 No $50,001 $100,000 Interest $1,001 - $2,500 119 GEORGIA STATE GO 5% 12/01/19 No $15,001 $50,000 Interest $1,001 - $2,500 120 UNIVERSITY COLORADO ENTERPRISE SYS 5% 6/01/30 No $50,001 $100,000 Interest $1,001 - $2,500 121 HAWAII STATE 5% 10/01/26 No $15,001 $50,000 Interest $201 - $1,000 122 HARRIS CNTY TEXAS MET TRANSIT AUTH 5% 11/01/25 No $15,001 $50,000 Interest $201 - $1,000 123 GRAND RIVER DAM AUTH OKLAHOMA 5% 06/01/21 No $50,001 $100,000 124 NEW YORK CITY WFA 5% 2024 No $50,001 $100,000 Interest $1,001 - $2,500 125 PORT SEATTLE WASHINGTON LTD 5% 06/01/23 No $50,001 $100,000 Interest $1,001 - $2,500 126 BLACKROCK MUNICIPAL BOND PORT. MONEY MARKET No $15,001 $50,000 None (or less than $201) 127 CUMMINS CORP No $15,001 $50,000 None (or less than $201) 128 PFIZER INC No $15,001 $50,000 None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 129 CHEVRON CORP No $15,001 $50,000 130 MCDONALDS CORP No $15,001 $50,000 Dividends $201 - $1,000 131 PRAXAIR INC No $15,001 $50,000 Dividends $201 - $1,000 132 QUALCOM INC No $15,001 $50,000 Dividends $201 - $1,000 133 BLACKROCK INC No $15,001 $50,000 Dividends $201 - $1,000 134 BANK OF AMERICA INC No $15,001 $50,000 None (or less than $201) 135 WALMART STORES No $15,001 $50,000 None (or less than $201) 136 WHOLE FOODS MARKET INC No $15,001 $50,000 None (or less than $201) 137 BRISTOL MEYERS SQUIBB No $15,001 $50,000 None (or less than $201) 138 FOCUS PORTFOLIO - MONEY MARKET No $1,001 - $15,000 None (or less than $201) 139 UMB FINANCIAL No $1,001 - $15,000 None (or less than $201) 140 SYNOVUS FINL CORP No $1,001 - $15,000 None (or less than $201) 141 AIR LEASE CORP No $1,001 - $15,000 None (or less than $201) 142 PROASSURANCE CORP No $1,001 - $15,000 None (or less than $201) 143 PINNACLE FOODS No $1,001 - $15,000 None (or less than $201) 144 CUBESMART No $1,001 - $15,000 None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE 145 HEALTHSOUTH CORP No $1,001 - $15,000 None (or less than $201) 146 QUAKER CHEMICAL CORP No $1,001 - $15,000 None (or less than $201) 147 ACUITY BRANDS INC No $1,001 - $15,000 None (or less than $201) 148 WEST PHARMACEUTICAL SVS INC No $1,001 - $15,000 None (or less than $201) 149 HEXCEL CORP No $1,001 - $15,000 None (or less than $201) 150 CASEYS GENERAL STORES INC No $1,001 - $15,000 None (or less than $201) 151 GEO GROUP INC No $1,001 - $15,000 152 WOODWARD INC No $1,001 - $15,000 None (or less than $201) 153 LANDSTAR SYSTEMS INC No $1,001 - $15,000 None (or less than $201) 154 JACK IN THE BOX INC No $1,001 - $15,000 None (or less than $201) 155 WASTE CONNECTIONS INC No $15,001 $50,000 None (or less than $201) 156 NUTRISYSTEM INC No $1,001 - $15,000 None (or less than $201) 157 COGNEX CORP No $1,001 - $15,000 None (or less than $201) 158 TERADYNE INC No $1,001 - $15,000 None (or less than $201) 159 HSN INC No $1,001 - $15,000 None (or less than $201) 160 DOMINOS PIZZA INC No $1,001 - $15,000 None (or less than $201) Dividends INCOME AMOUNT $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 161 POOL CORPORATION INC No $1,001 - $15,000 162 HUNSTSMAN CORP No $1,001 - $15,000 163 MARTIN MARIETTA MATERIALS INC No $1,001 - $15,000 None (or less than $201) 164 EQUITY ONE No $1,001 - $15,000 None (or less than $201) 165 SNYDERS LANCE INC No $1,001 - $15,000 None (or less than $201) 166 BANK OF THE OZARKS INC No $1,001 - $15,000 None (or less than $201) 167 GRACO INC No $1,001 - $15,000 None (or less than $201) 168 SENSIENT TECHNOLOGIES CORP No $1,001 - $15,000 None (or less than $201) 169 LITTLEFUSE INC No $1,001 - $15,000 None (or less than $201) 170 RICHIE BROS AUCTIONEERS No $1,001 - $15,000 None (or less than $201) 171 ACCELERON PHARMA INC No $1,001 - $15,000 None (or less than $201) 172 ACORDA THERAPEUTICS INC No $1,001 - $15,000 None (or less than $201) 173 ADVANCED MICRO DEVICES No $1,001 - $15,000 None (or less than $201) 174 ADVISORY BOARD CO No $1,001 - $15,000 None (or less than $201) 175 AIMMUNE THERAPEUTICS INC No $1,001 - $15,000 None (or less than $201) 176 AKEBIA THERAPEUTICS No $1,001 - $15,000 None (or less than $201) None (or less than $201) Dividends $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 177 ALDER BIOPHARMACEUTICALS No $1,001 - $15,000 None (or less than $201) 178 AMBARELLA INC No $1,001 - $15,000 None (or less than $201) 179 ASPEN TECHNOLOGY INC No $1,001 - $15,000 None (or less than $201) 180 ATARA BIOTHERAPEUTICS No $1,001 - $15,000 None (or less than $201) 181 BRIGHT HORIZIONS FAMILY SOLUTIONS No $1,001 - $15,000 None (or less than $201) 182 BUFFALO WILD WINGS INC No $1,001 - $15,000 None (or less than $201) 183 BUILDERS FIRSTSOURCE INC No $1,001 - $15,000 None (or less than $201) 184 BURLINGTON STORES INC No $1,001 - $15,000 None (or less than $201) 185 CAMPING WORLD HOLDINGS No $1,001 - $15,000 None (or less than $201) 186 CAVIUM INC No $1,001 - $15,000 None (or less than $201) 187 CHART INDUSTRIES INC No $1,001 - $15,000 None (or less than $201) 188 CHEMTURA CORP No $1,001 - $15,000 None (or less than $201) 189 CHUYS HOLDINGS INC No $1,001 - $15,000 None (or less than $201) 190 COHERENT INC No $1,001 - $15,000 None (or less than $201) 191 CORNERSTONE ONDEMAND INC No $1,001 - $15,000 None (or less than $201) 192 COTIVITI HOLDINGS No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 193 DERMIRA INC No $1,001 - $15,000 None (or less than $201) 194 DIAMONDBACK ENERGY No $1,001 - $15,000 None (or less than $201) 195 ELECTRONICS FOR IMAGING No $1,001 - $15,000 None (or less than $201) 196 ELLIE MAE INC No $1,001 - $15,000 None (or less than $201) 197 ENSTAR GROUP INC No $1,001 - $15,000 None (or less than $201) 198 EXACT SCIENCES CORP No $1,001 - $15,000 None (or less than $201) 199 GENESCO INC No $1,001 - $15,000 None (or less than $201) 200 GEOSPACE TECHNOLOGIES No $1,001 - $15,000 None (or less than $201) 201 GUIDEWIRE SOFTWARE INC No $1,001 - $15,000 None (or less than $201) 202 HMS HOLDINGS No $1,001 - $15,000 None (or less than $201) 203 IMPERVA INC No $1,001 - $15,000 None (or less than $201) 204 INFINERA No $1,001 - $15,000 None (or less than $201) 205 INTEGRA LIFESCIENCES HOLDINGS No $1,001 - $15,000 None (or less than $201) 206 INTRAWEST RESORTS HOLDINGS No $1,001 - $15,000 None (or less than $201) 207 IPG PHOTOTONICS CORP No $1,001 - $15,000 None (or less than $201) 208 JETBLUE AIRWAYS No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 209 LEXICON PHARMACEUTICALS INC No $1,001 - $15,000 None (or less than $201) 210 LIGAND PHARMACEUTICALS INC No $1,001 - $15,000 None (or less than $201) 211 MANHATTAN ASSOC INC No $1,001 - $15,000 None (or less than $201) 212 MARINEMAX INC No $1,001 - $15,000 None (or less than $201) 213 MEDICINES CO No $1,001 - $15,000 None (or less than $201) 214 NATUS MEDICAL INC No $1,001 - $15,000 None (or less than $201) 215 NUVASIVE INC No $1,001 - $15,000 None (or less than $201) 216 OLLIE'S BARGAIN OUTLET HOLDINGS No $1,001 - $15,000 None (or less than $201) 217 PATHEON NV No $1,001 - $15,000 None (or less than $201) 218 PENN NATIONAL GAMING INC No $1,001 - $15,000 None (or less than $201) 219 PLANET FITNESS INC No $1,001 - $15,000 None (or less than $201) 220 PRA HEALTH SCIENCES INC No $1,001 - $15,000 None (or less than $201) 221 PRESTIGE BRANDS HOLDING INC No $1,001 - $15,000 None (or less than $201) 222 PROGENICS PHARMACEUTICALS INC No $1,001 - $15,000 None (or less than $201) 223 PROOFPOINT INC No $1,001 - $15,000 None (or less than $201) 224 REALPAGE INC No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 225 RSP PERMIAN INC No $1,001 - $15,000 None (or less than $201) 226 SAGE THERAPEUTICS INC No $1,001 - $15,000 None (or less than $201) 227 SAREPTA THERAPEUTICS INC No $1,001 - $15,000 None (or less than $201) 228 SPROUTS FARMERS MARKETS INC No $1,001 - $15,000 None (or less than $201) 229 STEVEN MADDEN LTD No $1,001 - $15,000 None (or less than $201) 230 STIFEL FINANCIAL No $1,001 - $15,000 None (or less than $201) 231 TAKE-TWO INTERACTIVE SOFTWARE No $1,001 - $15,000 None (or less than $201) 232 TESARO INC No $1,001 - $15,000 None (or less than $201) 233 THERMON GROUP HOLDINGS INC No $1,001 - $15,000 None (or less than $201) 234 TREX CO No $1,001 - $15,000 None (or less than $201) 235 TYLER TECHNOLOGIES INC No $1,001 - $15,000 None (or less than $201) 236 ULTIMATE SOFTWARE GROUP No $1,001 - $15,000 None (or less than $201) 237 ULTRAGENYX PHARMACEUTICAL INC No $1,001 - $15,000 None (or less than $201) 238 UNIVERSAL ELECTRONICS No $1,001 - $15,000 None (or less than $201) 239 VEECO INSTRUMENTS INC No $1,001 - $15,000 None (or less than $201) 240 VITAMIN SHOPPE INC No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE 241 WABCO HOLDINGS No $1,001 - $15,000 None (or less than $201) 242 WEB MD HEALTH CORP No $1,001 - $15,000 None (or less than $201) 243 ZELTIQ AESTHETICS INC No $1,001 - $15,000 None (or less than $201) 244 PTC INC No $1,001 - $15,000 None (or less than $201) 245 CYNOSURE INC CLASS A No $1,001 - $15,000 None (or less than $201) 246 ANSYS INC No $1,001 - $15,000 None (or less than $201) 247 SERITAGE GROWTH PROPERTIES No $1,001 - $15,000 None (or less than $201) 248 EAGLE SMALL CAP SMA - MONEY MARKET No $1,001 - $15,000 None (or less than $201) 249 ITAU UNIBANCO HOLDING No $15,001 $50,000 250 EMBRAER-EMPRESA BRASILEIRA DE AERONAUTICA No $1,001 - $15,000 251 SAFRAN SA No $15,001 $50,000 Dividends $201 - $1,000 252 VODAFONE GROUP No $1,001 - $15,000 Dividends $201 - $1,000 253 BANCO SANTANDER No $1,001 - $15,000 Dividends $201 - $1,000 254 HONDA MOTOR No $1,001 - $15,000 Dividends $201 - $1,000 255 UNILEVER NV No $1,001 - $15,000 Dividends $201 - $1,000 256 CARNIVAL PLC No $1,001 - $15,000 Dividends $201 - $1,000 257 BP PLC No $15,001 $50,000 Dividends $1,001 - $2,500 258 BARCLAYS PLC No $1,001 - $15,000 Dividends $201 - $1,000 Dividends INCOME AMOUNT $201 - $1,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 259 DIAGO PLC No $1,001 - $15,000 Dividends $201 - $1,000 260 LG DISPLAY CO LTD No $1,001 - $15,000 261 POSCO No $1,001 - $15,000 Dividends $201 - $1,000 262 ROYAL KPN No $1,001 - $15,000 Dividends $1,001 - $2,500 263 A.P. MOLLER-MAERSK No $1,001 - $15,000 Dividends $201 - $1,000 264 TURKIYE GARANTI BANKASI No $1,001 - $15,000 265 BAYER AG No $1,001 - $15,000 266 NORSK HYDRO No $1,001 - $15,000 267 ADECCO GROUP No $1,001 - $15,000 Dividends $201 - $1,000 268 HEIDELBERG CEMENT No $1,001 - $15,000 Dividends $201 - $1,000 269 AVIVA PLC No $1,001 - $15,000 Dividends $201 - $1,000 270 SCHNEIDER ELEC SA No $1,001 - $15,000 Dividends $201 - $1,000 271 GREEK ORG FOOTBALL No $1,001 - $15,000 Dividends $201 - $1,000 272 AKZO NOBEL NV No $1,001 - $15,000 Dividends $201 - $1,000 273 DANONE No $1,001 - $15,000 274 AXA ADS No $15,001 $50,000 275 HYPERMARCAS SA No $1,001 - $15,000 None (or less than $201) 276 WIENERBERGER BAUSTROFFINUSTRIE AKTIENGESELLSCHAFT No $1,001 - $15,000 None (or less than $201) 277 SANOFI No $1,001 - $15,000 None (or less than $201) 278 SONY CORP No $15,001 $50,000 None (or less than $201) None (or less than $201) None (or less than $201) Dividends $201 - $1,000 None (or less than $201) None (or less than $201) Dividends $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 279 HITACHI No $1,001 - $15,000 None (or less than $201) 280 TELEPERFORMANCE SA No $1,001 - $15,000 None (or less than $201) 281 HOYA CORPORATION No $1,001 - $15,000 Dividends $201 - $1,000 282 CREDIT SUISSE GROUP No $1,001 - $15,000 Dividends $201 - $1,000 283 DAIWA SECURITIES No $1,001 - $15,000 284 HSBC HOLDINGS No $15,001 $50,000 Dividends $201 - $1,000 285 NSK LIMITED No $1,001 - $15,000 Dividends $201 - $1,000 286 BNP PARIBAS No $1,001 - $15,000 Dividends $201 - $1,000 287 ROYAL DUTCH SHELL PLC No None (or less than $1,001) Dividends $201 - $1,000 288 DEUTSCHE TELEKOM AG No $1,001 - $15,000 Dividends $201 - $1,000 289 CHINA CONSTRUCTION BANK No $1,001 - $15,000 Dividends $201 - $1,000 290 GAZPROM PJSC LEVEL 1 ADR No $1,001 - $15,000 Dividends $201 - $1,000 291 CHOW TAI FOOK JEWLLERY GROUP No $1,001 - $15,000 Dividends $201 - $1,000 292 TRAVELSKY TECHNOLOGY No $1,001 - $15,000 None (or less than $201) 293 RIO TINTO PLC No $1,001 - $15,000 None (or less than $201) 294 NEWCREST MINING No $1,001 - $15,000 None (or less than $201) 295 CAPCOM CO No $1,001 - $15,000 None (or less than $201) 296 TDK CORP ADR JAPAN No $1,001 - $15,000 None (or less than $201) 297 SUMITOMO MITSUI FINL GROUP No $1,001 - $15,000 None (or less than $201) Dividends $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE 298 CHIBA BANK LTD No $1,001 - $15,000 None (or less than $201) 299 INCITEC PIVOT LTD No $1,001 - $15,000 None (or less than $201) 300 G4S ADR No $1,001 - $15,000 301 AMBARELLA INC No $1,001 - $15,000 None (or less than $201) 302 BASF SE No $1,001 - $15,000 None (or less than $201) 303 CEMEX SAB No $1,001 - $15,000 None (or less than $201) 304 CNH INDL NV No $1,001 - $15,000 None (or less than $201) 305 COCA COLA AMATIL No $1,001 - $15,000 None (or less than $201) 306 H LUNBDBECK A/S No $1,001 - $15,000 None (or less than $201) 307 INDRA SISTEMAS ADR No $1,001 - $15,000 None (or less than $201) 308 MARINE HARVEST ASA No $15,001 $50,000 None (or less than $201) 309 NOVARTIS AG No $1,001 - $15,000 None (or less than $201) 310 ROYAL BANK OF SCOTLAND No $1,001 - $15,000 None (or less than $201) 311 SENSATA TECHNOLOGIES HLDG No $1,001 - $15,000 None (or less than $201) 312 UBS GROUP AG No $1,001 - $15,000 None (or less than $201) 313 WHITBREAD ADR No $1,001 - $15,000 None (or less than $201) Dividends INCOME AMOUNT $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 314 KT CORP No $1,001 - $15,000 None (or less than $201) 315 AMEC PLC No $1,001 - $15,000 None (or less than $201) 316 CLEARBRIDGE ADVISORS INTNL VALUE EQUITY SMA - MONEY MARKET No $15,001 $50,000 None (or less than $201) 317 AXA EQUITABLE ACCUMULATOR ELITE 2007 No $250,001 $500,000 None (or less than $201) 318 EQUITABLE ACCUMULATOR SERIES 2004 CLASS B No $250,001 $500,000 None (or less than $201) 319 Champaign-Prospect Town Center LLC See Endnote No None (or less than $1,001) None (or less than $201) 320 Emerging Europe Growth Fund LP See Endnote No $15,001 $50,000 None (or less than $201) 321 Seven Figures Management LLC See Endnote No $100,001 $250,000 None (or less than $201) 322 Vanguard Mid Cap ETF Yes $50,001 $100,000 $201 - $1,000 323 Vanguard FTSE Developed Markets Yes $100,001 $250,000 $1,001 - $2,500 324 Vanguard High Dividend Yield ETF Yes $15,001 $50,000 $201 - $1,000 325 Vanguard Energy ETF Yes $50,001 $100,000 $201 - $1,000 326 WisdomTree Europe Hedged Equity Fund EFT Yes $50,001 $100,000 $201 - $1,000 327 Consumer Discretionary Select Sector Spider ETF Yes $15,001 $50,000 $201 - $1,000 328 Health Care Select Sector Spider ETF Yes $50,001 $100,000 $201 - $1,000 329 I Shares PHLX SOX Semiconductor Sector ETF Yes $15,001 $50,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 330 I Shares Russell 1000 Value ETF Yes $100,001 $250,000 $2,501 - $5,000 331 I Shares Russell 2000 Value ETF Yes $15,001 $50,000 $201 - $1,000 332 I Shares Russell 1000 Growth ETF Yes $100,001 $250,000 $1,001 - $2,500 333 I Shares Russell 2000 Growth ETF Yes $50,001 $100,000 $201 - $1,000 334 Guggenheim S&P 500 Pure Growth ETF Yes $15,001 $50,000 None (or less than $201) 335 Guggenheim S&P 500 Pure Value ETF Yes $15,001 $50,000 $201 - $1,000 336 First Trust ISE Cloud Computing ETF Yes $15,001 $50,000 None (or less than $201) 337 Wisdom Tree Japn Hedged ETF Yes $50,001 $100,000 $1,001 - $2,500 338 I Shares Trust S&P Global Info Technology ETF Yes $50,001 $100,000 $201 - $1,000 339 I Shares MSCI Emerging Markets ETF Yes $50,001 $100,000 $201 - $1,000 340 ETF Portfolio - Money Market No $250,001 $500,000 None (or less than $201) 341 JP Morgan Chase & Co No $500,001 $1,000,000 Cash $950,000 342 PNC Bank No $1,001 - $15,000 Cash $9,000 343 Laredo No $15,001 $50,000 None (or less than $201) 344 Accenture PLC Ireland No $1,001 - $15,000 None (or less than $201) 345 Pioneer Nat Res Co. No $15,001 $50,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 346 Powershares KBW Bank Portfolio EFT No $15,001 $50,000 None (or less than $201) 347 SPDR S&P Regl Banking EFT No $15,001 $50,000 None (or less than $201) 348 AXA/AB Short Duration Government Bond No $100,001 $250,000 None (or less than $201) 349 AXA/AB Short Duration Government Bond No $250,001 $500,000 None (or less than $201) 350 Equitable Intermediate Government Bond No $100,001 $250,000 None (or less than $201) 351 Dyax Corp No None (or less than $1,001) None (or less than $201) 352 Restricted C-Mos Inc No None (or less than $1,001) None (or less than $201) 353 Total S.A. France Spon ADR No $15,001 $50,000 None (or less than $201) 354 Bioverativ Inc. No $1,001 - $15,000 None (or less than $201) 355 MFA Mortgage No $1,001 - $15,000 None (or less than $201) 7. Transactions (N/A) - Not required for this type of report 8. Liabilities # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE 1 UBS Line of Credit Exercised Line of Credit $1,000,001 $5,000,000 2014 1.513 TERM 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes PART # ENDNOTE 2. 1 2016 SCHEDULE K-1'S ARE NOT AVAILABLE INCOME IS BASED ON 2015 SCHEDULE K-1'S 2. 2 UBS is the Custodian- 2. 2.21 UBS Bank deposit account MMPFDI-919446 2. 8 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S 2. 9 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 10 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 11 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 12 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 13 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 14 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 15 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 16 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 2. 25 2016 SCHEDULE K-1S ARE NOT AVAILABLE. INCOME IS BASED ON 2015 SCHEDULE K-1S. 6. 6.1 2016 SCHEDULE K-1'S ARE NOT AVAILABLE INCOME IS BASED ON 2015 SCHEDULE K-1'S 6. 319 Value and income entered are estimates based on 2015 k-1s 6. 320 Value and income entered are estimates based on 2015 k-1s 6. 321 Value and income entered are estimates based on 2015 k-1s 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).