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 Otting, Joseph Michael Comptroller of the Currency, Department of the Treasury Other Federal Government Positions Held During the Preceding 12 Months: None Names of Congressional Committees Considering Nomination: ● Committee on Banking, Housing, and Urban Affairs 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/ Otting, Joseph Michael [electronically signed on 03/21/2017 by Otting, Joseph Michael 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/ Horton, Elizabeth A, Certifying Official [electronically signed on 06/08/2017 by Horton, Elizabeth A in Integrity.gov] Other review conducted by U.S. Office of Government Ethics Certification /s/ Apol, David, Certifying Official [electronically signed on 06/29/2017 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 Ocean Blvd LLC Las Vegas, NV, Nevada LLC Managing Partner 2/2016 Present 2 Lake Blvd LLC Las Vegas, Nevada LLC Managing Partner 2/2016 Present 3 IMB Holdco DBA One West Bank Pasadena, California Corporation President 10/2010 8/2015 4 3495 Maplewood LLC Santa Monica, California LLC Co-Managing Partner 6/2012 Present 5 Golfers Tan Santa Monica, California LLC Co-Managing Partner 1/2015 Present 6 OneWest Bank Pasadena, California Corporation CEO 10/2010 8/2015 7 SHGC LLC 2011 Las Vegas, Nevada LLC Co-Managing Partner 2/2016 Present 8 California Chamber of Commerce See Endnote Sacramento, California Non-Profit Director, Chairman of the Board 3/2009 Present 9 Killebrew-Thompson Memorial See Endnote Sun Valley, Idaho Non-Profit Director and Chairman of the Board 8/2006 Present 10 Otting Family Revocable Trust Las Vegas, Nevada Trust Trustee 3/2010 Present 11 Jonathan Club Los Angeles, California Non-Profit Director 5/2013 5/2016 12 CIT Group, Inc. New York, New York Corporation Co-President of the Holding Company, CEO and Director CIT Bank 8/2015 12/2015 13 SHGC LLC Las Vegas, Nevada LLC Co -Managing Partner 2/2016 Present 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 Residential Rental - Canon Perdido, Las Vegas, NV. 89141 N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 2 Ocean Blvd LLC: Commercial property, residential property, golf course, spa and tennis facility, Las Vegas, NV No 2.1 SHGC, LLC: Commercial property, residential property, golf course, spa and tennis facility No 2.1.1 Southern Highlands Golf Club, LLC (golf club, Las Vegas, NV) N/A 2.1.2 Southern Highlands Golf Club 2011, LLC No 2.1.2.1 Southern Highlands Golf Club LLC (golf club, Las Vegas, NV) N/A $5,000,001 $25,000,000 2.1.2.2 Spa At Southern Highlands LLC (spa, Las Vegas, NV) N/A $5,000,001 $25,000,000 None (or less than $201) 2.1.2.3 Golf Operations, Inc: Golf course operations entity, Las Vegas, NV N/A $1,001 - $15,000 None (or less than $201) 2.1.3 SHGC Villas, LLC: Residential real estate development entity, Las Vegas, NV N/A $15,001 $50,000 Capital Gains Dividends Rent or Royalties None (or less than $201) 3 Lake Blvd LLC No 3.1 Residential Rental - Trussell, Las Vegas, NV N/A $250,001 $500,000 Capital Gains Rent or Royalties $15,001 $50,000 4 Residential Rental - Trussell, Las Vegas, NV. 89141 N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 5 Residential Rental - Livorno, Las Vegas, NV 89141 N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 $15,001 $50,000 None (or less than $201) Dividends Capital Gains Rent or Royalties $50,001 $100,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 6 Residential Rental - White Hills, Las Vegas, NV 89141 N/A $1,000,001 $5,000,000 Rent or Royalties $15,001 $50,000 7 Residential Rental - Del Rudini St, Las Vegas, NV. 89141 N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 8 Residential Rental - Del Rudini St, Las Vegas, NV. 89141 N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 9 Residential Rental - Maplewood, Los Angeles, CA N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 10 Notes Receivable N/A $500,001 $1,000,000 Interest $50,001 $100,000 11 Residential Rental - Venice Blvd, Venice, CA N/A $500,001 $1,000,000 Rent or Royalties $15,001 $50,000 12 CIT Group, Inc. Restricted stock units N/A $5,000,001 $25,000,000 RSU delivery and dividends $1,827,739 13 3495 Maplewood LLC No 13.1 Golfer's Tan LLC No 13.1.1 Multi- Family Residential Rental - Venice, CA N/A $500,001 $1,000,000 Capital Gains Rent or Royalties Interest $5,001 - $15,000 13.2 Residential Rental - Rosewood, Los Angeles, CA N/A $250,001 $500,000 Interest Capital Gains Rent or Royalties $5,001 - $15,000 14 Residential Rental - Cupecoy, Las Vegas, NV N/A $250,001 $500,000 Rent or Royalties $15,001 $50,000 15 US Bancorp, defined benefit plan (value not readily ascertainable): eligible for $59,868 per year at age 65 N/A 16 Cit Group, Inc. See Endnote None (or less than $201) CIT Group, Inc payout of employment contract for salary and bonus $10,540,569 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 1 CIT Group, Inc Pasadena, California Per my compensation agreement, my shares of CIT restricted stock units continue to vest after my departure from CIT. All shares are scheduled to be vested and delivered by August of 2018. Before I assume the duties of the position, CIT will accelerate and deliver all unvested restricted shares of CIT stock 8/2015 2 USB Minnepolis, Minnesota I will continue to participate in this defined benefit plan. 11/2012 3 CIT Group Inc. Pasadena, California Restrictive Covenant Agreement - Filer is subject to customary non-compete and non-solicitation provisions until August 3, 2018. 8/2015 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 1 OneWest Bank/IMB Holdco PASADENA, California Was President of IMB Holdco and President/CEO and member of the board of OneWest Bank N.A. 2 CIT New York, New York Co-President of CIT Holding Company and President/CEO OF CIT Bank N.A. 5. Spouse's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 JP Morgan Chase Financia C-Gear Note track Financial Select Sector SPDR (XLF) N/A $15,001 $50,000 Capital Gains $1,001 - $2,500 2 Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) N/A $15,001 $50,000 Capital Gains $1,001 - $2,500 3 Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) N/A $15,001 $50,000 Capital Gains $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 4 XLY: Consumer Discretionary SPDR Yes $1,001 - $15,000 $1,001 - $2,500 5 XLP: Consumer Staples Select SPDR Yes $1,001 - $15,000 $1,001 - $2,500 6 XLE: Energy Select SPDR Yes $1,001 - $15,000 $1,001 - $2,500 7 XLF: Financial Select Sector SPDR Yes $1,001 - $15,000 $1,001 - $2,500 8 XLV: Health Care SPDR Yes $1,001 - $15,000 $1,001 - $2,500 9 XLI: The Industrial Select Sector SPDR Yes $1,001 - $15,000 $1,001 - $2,500 10 IJH: iShares Core S&P Mid Cap Yes $50,001 $100,000 $2,501 - $5,000 11 IWF: iShares Russell 1000 Growth Index Yes $50,001 $100,000 $5,001 - $15,000 12 IWD: iShares Russell 1000 Value Index Yes $50,001 $100,000 $5,001 - $15,000 13 IWM: iShares Russell 2000 Index Yes $50,001 $100,000 $5,001 - $15,000 14 IYZ: iShares Dow Jones US Telecom Yes $1,001 - $15,000 $201 - $1,000 15 XLB: Materials Select Sector SPDR0 Yes $1,001 - $15,000 $201 - $1,000 16 XLRE: Real Estate Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 17 XLK: Technology Select Sectore SPDR Yes $1,001 - $15,000 $201 - $1,000 18 XLU: Utilities SPDR Yes $1,001 - $15,000 $201 - $1,000 19 Union Bank Defined Benefit Plan (Value not readily ascertainable) N/A None (or less than $201) 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 US Bank Cash Deposits N/A $1,000,001 $5,000,000 Interest $15,001 $50,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2 GWK SCC No 2.1 ALG Alamo Group N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.2 ACC American Campus Communities N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.3 ABCB Ameris Bankcorp N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.4 AMSF Amerisafe, Inc. N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.5 BETR Amplify Snack Brands Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 2.6 BLKB Blackbaud, Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.7 CAA CalAtlantic Group Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.8 CALD Callidus Software Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.9 CMD Cantel Medical Corp. N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.10 CTLT Catalent Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.11 CATY Cathay General Bancorp. N/A $15,001 $50,000 Capital Gains Dividends $1,001 - $2,500 2.12 CGNX Cognex Corporation N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.13 CNS Cohen & Steers, Inc. N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.14 CMP Compass Minerals International, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.15 COTV Cotiviti Holdings Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2.16 DPLO Diplomat Pharmacy Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 2.17 DRQ Dril-Quip, Inc. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.18 EDR Education Realty Trust, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.19 EPAM EPAM Systems Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.20 EXLS Exl Service Holdings, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.21 FIVE Five Below Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.22 FTK Flotek Industries Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.23 FET Forum Energy Technologies Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.24 GBCI Glacier Bancorp, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.25 GMED Globus Medical Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.26 LOPE Grand Canyon Education Inc N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 2.27 Health Care Services Group, Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.28 HTLD Heartland Express, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.29 HEI Heico Corp N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.30 HEI.A Heico Corp N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.31 HELE Helen of Troy Limited N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2.32 HIBB Hibbett Sports, Inc. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.33 HUBS HubSpot Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.34 IBKC IBERIABANK Corp N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.35 ICUI ICU Medical, Incorporated N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.36 IDA IDACORP Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.37 IPXL Impax Laboratories Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 2.38 INCR INC Research Holdings Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.39 KS KapStone Paper and Packaging Corp N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.40 LAD Lithia Motors Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.41 LOGM LogMein Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.42 MTSI MACOM Technology Solutions Holdings Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.43 MKTX MarketAxess Holdings Inc N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 2.44 MTDR Matador Resources Co N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.45 MDSO Medidata Solutions Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.46 MINI Mobile Mini Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.47 MNRO Monro Muffler Brake Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2.48 NHI National Health Investors Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.49 NWE NorthWestern Corp N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.50 OXM Oxford Industries Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.51 PEB Pebblebrook Hotel Trust N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 2.52 POWI Power Integrations Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.53 PRAA Pra Group Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.54 PRIM Primoris Services Corp N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.55 PRA ProAssurance Corporation N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.56 PFPT Proofpoint Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.57 ROLL RBC Bearings Incorporated N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.58 RBA Ritchie Bros Auctioneers inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.59 ROG Rogers Corporation N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.60 SLGN Silgan Holdings Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.61 SLAB Silicon Laboratories N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.62 STAG Stag Industries Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.63 Stifel Financial Corp N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 2.64 SUI Sun Communities Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.65 TXRH Texas Roadhouse Inc N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.66 TTC Toro Co N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.67 TUP Tupperware Brands Corporation N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.68 TYL Tyler Technologies, Inc. N/A $15,001 $50,000 Dividends Capital Gains Interest $2,501 - $5,000 2.69 UFPI Universal Forest Products, Inc. N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.70 UBSI United Bankshares, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.71 ECOL US Ecology, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.72 WDFC WD-40 Company N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 2.73 WBS Webster Financial Corporation N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.74 J. W. Mays, Inc. - Common Stock N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.75 WWW Wolverine World Wide N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 2.76 WMGI Wright Medical Group N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 2.77 CEB Inc Com N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 3 US Brokerage Account (cash) N/A $1,000,001 $5,000,000 Interest $15,001 $50,000 4 Bond Portfolio No # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 4.1 California St Bond N/A $100,001 $250,000 Interest Capital Gains $5,001 - $15,000 4.2 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 4.3 California State Bond N/A $100,001 $250,000 Interest Capital Gains $1,001 - $2,500 4.4 California State Bond N/A $100,001 $250,000 Interest Capital Gains $1,001 - $2,500 4.5 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 4.6 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 4.7 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 4.8 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 4.9 California State Bond N/A $100,001 $250,000 Capital Gains Interest $1,001 - $2,500 5 Joint Hybrid Securities No 5.1 JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 N/A $250,001 $500,000 Capital Gains $15,001 $50,000 5.2 Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) matures 2/28/18 N/A $250,001 $500,000 Capital Gains $15,001 $50,000 5.3 Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 N/A $500,001 $1,000,000 Capital Gains Rent or Royalties $15,001 $50,000 6 Black rock Large Cap Value Yes $500,001 $1,000,000 7 USB: US Bank Stock N/A $500,001 $1,000,000 8 UBS - Dividend Ruler No $50,001 $100,000 Dividends $50,001 $100,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 8.1 Accenture plc N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.2 BLK: Blackrock N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.3 BTI: British American Tobacco N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.4 CVX Chevron N/A $100,001 $250,000 Dividends Capital Gains $5,001 - $15,000 8.5 CB: Chubb Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.6 KO: Coca-Cola N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.7 CL: Colgate N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.8 CR: Crane Co N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.9 CVS: CVS Health Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.10 DEO: Diageol PLC N/A $50,001 $100,000 Dividends Capital Gains Interest $5,001 - $15,000 8.11 HD: Home Depot N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.12 INTC: Intel Corp N/A $50,001 $100,000 Capital Gains Dividends $5,001 - $15,000 8.13 IVZ: Invesco LTD N/A $50,001 $100,000 Capital Gains Dividends $5,001 - $15,000 8.14 JCI: Johnson Controls N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.15 LMT: Lockheed Martin Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.16 MMC: Marsh and McLennan COS Inc N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 8.17 MCD: McDonalds Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.18 MDT: Medtronic Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.19 MSFT: Microsoft Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.20 NEE: Nextera Energy Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.21 PX: Praxair Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.22 ROK: Rockwell Automation Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.23 SU: Suncor Energy Inc N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.24 TXN: Texas Instruments N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.25 UNP: Union Pacific Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.26 UTX: United Technologies Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 8.27 VFC: VF Corp N/A $50,001 $100,000 Dividends Capital Gains $5,001 - $15,000 9 Bahl and G LCG No 9.1 ABT Abbott Laboratories N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.2 ACN Accenture Plc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.3 APD Air Products & Chemicals, Inc. N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.4 MO Altria Group Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 9.5 AMGN Amgen, Inc. N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.6 AAPL Apple, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.7 BBT BB&T Corporation N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.8 BDX Becton Dickinson and Co. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.9 BLK BlackRock, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.10 AVGO Broadcom Ltd N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.11 BR Broadridge Financial Solutions, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.12 CDW CDW Corp N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.13 CTAS Cintas Corporation N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.14 CSCO Cisco Systems, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.15 CMCSA Comcast Corporation N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.16 CCI Crown Castle International Corp. N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.17 EFX Equifax Inc. N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.18 XOM Exxon Mobil Corporation N/A $1,001 - $15,000 Capital Gains Dividends $1,001 - $2,500 9.19 FAST Fastenal Company N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.20 GWW WW Grainger Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 9.21 HD Home Depot Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.22 HON Honeywell International Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.23 JNJ Johnson & Johnson N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.24 JPM JPMorgan Chase & Co. N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 9.25 KR Kroger Co. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.26 EL Estee Lauder Companies Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.27 MKTX Markettaxes Holdings Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.28 MMC Marsh & McLennan Companies, Inc. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.29 MDT Medtronic Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.30 MRK Merck & Co., Inc. N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.31 MSFT Microsoft Corporation N/A $15,001 $50,000 Dividends Capital Gains $2,501 - $5,000 9.32 NEE NextEra Energy Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.33 OXY Occidental Petroleum Corporation N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.34 PEP PepsiCo, Inc. N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.35 PNC PNC Financial Services Group Inc N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.36 SLB Schlumberg Limited N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 9.37 SBUX Starbucks Corporation N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.38 SYK Styker Corporation N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.39 TXN Texas Instruments Incorporated N/A $15,001 $50,000 Dividends Capital Gains $1,001 - $2,500 9.40 TJX TJX Companies Inc N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 9.41 UNH UnitedHealth Group Inc N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.42 UTX United Technologies Corporation N/A $1,001 - $15,000 Dividends Capital Gains $1,001 - $2,500 9.43 DIS Walt Disney Co N/A $1,001 - $15,000 Dividends Capital Gains $201 - $1,000 10 JO Sole Index No 10.1 EFA: iShares MSCI EAGE ETF Yes $50,001 $100,000 $5,001 - $15,000 10.2 IWF: iShares Russell 1000 Growth ETF Yes $100,001 $250,000 $5,001 - $15,000 10.3 IWD: iShares Russell 1000 Value ETF Yes $50,001 $100,000 $5,001 - $15,000 10.4 IWM: iShares Russell 2000 ETF Yes $100,001 $250,000 $15,001 $50,000 10.5 IVW: iShares S&P Growth ETF Yes $50,001 $100,000 $5,001 - $15,000 10.6 IVE: iShares S&P 500 Value ETF Yes $50,001 $100,000 $5,001 - $15,000 11 Brokerage Accout - CIT Group, Inc. Stock N/A $1,000,001 $5,000,000 12 Brokerage Account - CIT Group, Inc. Calls See Endnote N/A Dividends Capital Gains $100,001 $1,000,000 Capital Gains $15,001 $50,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 13 Principal Life Whole Life Insurance Policy N/A $1,001 - $15,000 Dividends Interest $201 - $1,000 14 PFG: Principal Financial N/A $1,001 - $15,000 Dividends Interest $201 - $1,000 15 Joint Index ETF No 15.1 ELY: Consumer Discretionary SPDR Yes $15,001 $50,000 $2,501 - $5,000 15.2 XLP: Consumer Staples Select Sector SPDR Yes $15,001 $50,000 $1,001 - $2,500 15.3 XLE: Energy Select Sector SPDR Yes $15,001 $50,000 $1,001 - $2,500 15.4 XLF: Financial Select Sector SPDR Yes $15,001 $50,000 $2,501 - $5,000 15.5 XLI: Industrial Select Sector SPDR Yes $15,001 $50,000 $1,001 - $2,500 15.6 IJH: iShares Core S&P Mid Cap Yes $250,001 $500,000 $15,001 $50,000 15.7 EFA: iShares MSCI EAFE Index Yes $500,001 $1,000,000 $50,001 $100,000 15.8 IWF: iShares Russell 1000 Growth Yes $1,000,001 $5,000,000 $100,001 $1,000,000 15.9 IWD: iShares Russell 1000 Value Index Yes $1,000,001 $5,000,000 $100,001 $1,000,000 15.10 IWM: iShares Russell 2000 Index Yes $1,000,001 $5,000,000 $100,001 $1,000,000 15.11 IVW: iShares S&P Growth Index Yes $1,000,001 $5,000,000 $100,001 $1,000,000 15.12 IVE: iShares S&P 500 Value Yes $1,000,001 $5,000,000 $100,001 $1,000,000 15.13 IYZ: iShares US Telecommunications Yes $1,001 - $15,000 $201 - $1,000 15.14 XLRE: Real Estate Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 15.15 XLK: Technology Select Sector SPDR Yes $50,001 $100,000 $2,501 - $5,000 15.16 XLU: Utilities SPDR Yes $1,001 - $15,000 $201 - $1,000 15.17 IJH: iShares Core S&P Mid Cap Yes $250,001 $500,000 $15,001 $50,000 15.18 ELV: Health Care Select Sector SPDR Yes $50,001 $100,000 $2,501 - $5,000 15.19 XLB: Materials Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 16 JMO Roth IRA No 16.1 JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 Yes $100,001 $250,000 $5,001 - $15,000 16.2 Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) Yes $50,001 $100,000 $5,001 - $15,000 16.3 Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 Yes $50,001 $100,000 $5,001 - $15,000 16.4 XLY: Consumer Discretinonary SPDR Yes $15,001 $50,000 $2,501 - $5,000 16.5 XLP: Consumers Staple SPDR Yes $15,001 $50,000 $1,001 - $2,500 16.6 XLE: Energy Select SPDR Yes $15,001 $50,000 $1,001 - $2,500 16.7 XLF: Financial Select SPDR Yes $15,001 $50,000 $2,501 - $5,000 16.8 XLV: Health Care SPDR Yes $15,001 $50,000 $2,501 - $5,000 16.9 XLI: Industrial Select SPDR Yes $15,001 $50,000 $1,001 - $2,500 16.10 IMH: iShares Core Midcap Yes $100,001 $250,000 $15,001 $50,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 16.11 IWF: iShares Russell 1000 Yes $100,001 $250,000 $15,001 $50,000 16.12 IWD: iShares Russell Value Yes $100,001 $250,000 $15,001 $50,000 16.13 IWM: iShares Russell 2000 Yes $100,001 $250,000 $15,001 $50,000 16.14 IYZ: iShares US telecommunications Yes $1,001 - $15,000 $201 - $1,000 16.15 XLB: Materials Select SPDR Yes $1,001 - $15,000 $201 - $1,000 16.16 XLRE: Real Estate SPDR Yes $1,001 - $15,000 $201 - $1,000 16.17 XLK: Technology SPDR Yes $50,001 $100,000 $5,001 - $15,000 16.18 XLU: Utilities SPDR Yes $1,001 - $15,000 $201 - $1,000 17 JMO IRA No 17.1 IWF: iShares Russell 1000 Growth Index Yes $100,001 $250,000 $5,001 - $15,000 17.2 IWM: iShares Russell 2000 Index Yes $50,001 $100,000 $5,001 - $15,000 17.3 XLY: Consumer Discretionary DPDR Yes $15,001 $50,000 $1,001 - $2,500 17.4 XLP: Consumer Staples Select SPDR Yes $1,001 - $15,000 $1,001 - $2,500 17.5 XLE: Energy Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 17.6 XLF: Financial Select Sector SPDR Yes $15,001 $50,000 $1,001 - $2,500 17.7 XLV: Health Care SPDR Yes $15,001 $50,000 $1,001 - $2,500 17.8 XLI: The Industrial Select Sector SPDR Yes $1,001 - $15,000 $1,001 - $2,500 17.9 IYZ: iShares iShares Russell 2000 Index Yes $1,001 - $15,000 $201 - $1,000 17.10 XLB: Materials Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 17.11 XLRE: Real Estate Select Sector SPDR Yes $1,001 - $15,000 $201 - $1,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 17.12 XLK: Technology Select Sector SPDR Yes $15,001 $50,000 $1,001 - $2,500 17.13 XLU: Utilities SPDR Yes $1,001 - $15,000 $201 - $1,000 17.14 JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 Yes $15,001 $50,000 $2,501 - $5,000 17.15 Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) matures 2/28/18 Yes $15,001 $50,000 $2,501 - $5,000 17.16 Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 Yes $15,001 $50,000 $1,001 - $2,500 17.17 IJH: iShares S&P Midcap Yes $50,001 $100,000 $5,001 - $15,000 18 Wilshire Country Club Membership N/A $50,001 $100,000 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 TERM 1 UBS Mortgage (investment/ren tal property) $500,001 $1,000,000 2014 3.51 30 years 2 UBS Mortgage (investment/ren tal property) $1,000,001 $5,000,000 2015 2.68 30 years # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 3 UBS Mortgage on Personal Residence $1,000,001 $5,000,000 2013 2.326 30 years 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes PART # ENDNOTE 1. 8 Received no compensation for performing this role 1. 9 Received no compensation for performing this role 2. 10 Obligor is 3495 Maplewood LLC a partnership where I am a 25% owner. 6. 12 These represent 450 call contracts (representing 45,000 shares) sold against my CIT sock, they currently have a negative value of $59,625 and the calls expire 1/19/18. The strike price is 52.50. 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).