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
Shanahan, Patrick Michael
Deputy Secretary of Defense, Department of Defense
Other Federal Government Positions Held During the Preceding 12 Months:
None
Names of Congressional Committees Considering Nomination:
●
Committee on Armed Services

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/ Shanahan, Patrick Michael [electronically signed on 04/08/2017 by Shanahan, Patrick 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/ Vetter, Ruth, Certifying Official [electronically signed on 06/08/2017 by Vetter, Ruth in Integrity.gov]

Other review conducted by
/s/ Vetter, Ruth, Ethics Official [electronically signed on 06/08/2017 by Vetter, Ruth in Integrity.gov]

U.S. Office of Government Ethics Certification
/s/ Apol, David, Certifying Official [electronically signed on 06/08/2017 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

The Boeing Company

Chicago, Illinois

Corporation

Senior Vice
President

3/1986

Present

2

The University of Washington

Seattle,
Washington

University/Colle
ge

Officer, Board of
Regents

1/2012

Present

VALUE

INCOME TYPE

INCOME
AMOUNT

Salary and
Bonus

$1,419,864

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

DESCRIPTION

EIF

1

The Boeing Company

N/A

2

The Boeing Company - Awards

2.1

Annual Incentive Award for 2017
(anticipated)

N/A

2.2

Performance Awards (received)

N/A

2.3

Cash Performance Award (anticipated)

N/A

$500,001 $1,000,000

None (or less
than $201)

3

The Boeing Company - Restricted Stock
Units

3.1

Career Shares - Deferred Restricted Stock
Units (unvested)

N/A

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

None (or less
than $201)

3.2

Restricted Stock Unit Awards (unvested)

N/A

$250,001 $500,000

None (or less
than $201)

3.3

Supplemental Restricted Stock Units Grant
(unvested)

N/A

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

None (or less
than $201)

3.4

Performance Based Restricted Stock Units
(unvested)

N/A

$250,001 $500,000

None (or less
than $201)

$100,001 $250,000

None (or less
than $201)
Cash
Performance
Award

$1,449,925

 #

DESCRIPTION

EIF

VALUE

3.5

Restricted Stock Units (vested)

N/A

$500,001 $1,000,000

None (or less
than $201)

3.6

Performance Based Restricted Stock Units
(vested)

N/A

$250,001 $500,000

None (or less
than $201)

4

The Boeing Company - Vested Stock Options

N/A

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

None (or less
than $201)

5

The Boeing Company - Defined Benefit
Pension Value Plan (value not readily
ascertainable): eligible for $7,131/mo. at
age 55

N/A

None (or less
than $201)

6

The Boeing Company - Defined Benefit
Supplemental Executive Retirement Plan
(value not readily ascertainable): eligible for
$25,556/mo at age 55

N/A

None (or less
than $201)

7

The Boeing Company Voluntary Investment
Plan 401(K)

No

7.1

The Boeing Stock Fund

7.2

See Endnote

INCOME TYPE

No

$15,001 $50,000

Russell 2000 Index Fund

Yes

$50,001 $100,000

$1,001 - $2,500

7.3

US Large Companies Fund

Yes

$250,001 $500,000

$5,001 - $15,000

7.4

International Index Fund

Yes

$100,001 $250,000

$2,501 - $5,000

7.5

S&P 500 Index Fund

Yes

$15,001 $50,000

$201 - $1,000

8

The Boeing Company Deferred
Compensation Plan

N/A

8.1

The Boeing Stock Fund

9

The Boeing Company Supplemental Benefit
Plan

No

9.1

Fixed Interest Credit Fund

N/A

See Endnote

See Endnote

No

Dividends

INCOME
AMOUNT

$1,001 - $2,500

$100,001 $250,000

Dividends

$5,001 - $15,000

$250,001 $500,000

Interest

$15,001 $50,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

9.2

International Index Fund

Yes

$15,001 $50,000

$201 - $1,000

10

The Boeing Company - payout of accrued
vacation (anticipated)

No

$100,001 $250,000

None (or less
than $201)

3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

The Boeing Company (Pension)

Chicago, Illinois

I will continue to participate in the Defined Benefit
Pension Value Plan and Defined Benefit
Supplemental Executive Retirement Plan.

3/1986

2

The Boeing Company (health insurance, life
insurance, charitable matching
contributions, tax preparation services)

Chicago, Illinois

Pursuant to company policy, I will retain health
insurance coverage, charitable matching
contributions for life, term life insurance coverage for
life, and tax preparation services for the 2017 tax
year.

3/1986

3

The Boeing Company (accrued vacation)

Chicago, Illinois

Pursuant to company policy, I will receive a lump sum
payment of accrued vacation time. Pursuant to my
separation agreement, this payment will be paid
upon my separation from the company.

3/1986

4

The Boeing Company (awards)

Chicago, Illinois

Pursuant to company policy, I will receive a
performance-based "Annual Incentive Award" and a
"Performance Award" for services rendered up to the
date of my departure from the company. Pursuant to
my separation agreement, these awards will be paid
within 30 days of my separation from the company.

3/1986

5

The Boeing Company (Deferred
Compenstion and Supplemental Benefits
Plans)

Chicago, Illinois

Pursuant to company policy, I will receive lump sum
payments of my Deferred Compensation Plan and
Supplemental Benefit Plan. Pursuant to my
separation agreement, these lump sum payments will
be made within 30 days of my separation from the
company.

3/1986

6

The Boeing Company (stock options)

Chicago, Illinois

Pursuant to company policy, I will retain my vested
stock options upon separation.

3/1986

 #

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

7

The Boeing Company (Career Share
Restricted Stock Units)

Chicago, Illinois

Pursuant to company policy, my unvested Career
Share Restricted Stock Units will vest in full and be
paid within 30 days of my separation from the
company.

3/1986

8

The Boeing Company (Supplemental RSU
Grant)

Chicago, Illinois

Pursuant to company policy, unvested stock in my
Supplemental Restricted Stock Unit Grant will vest in
full upon my separation from the company. Pursuant
to my separation agreement, these RSUs will be paid
within 30 days of my separation from the company.

3/1986

9

The Boeing Company (Performance Based
RSUs)

Chicago, Illinois

Pursuant to company policy, unvested Performance
Based Restricted Stock Units will vest pro rata based
on service time upon my separation from the
company. Pursuant to my separation agreement,
these RSUs will be paid within 30 days of my
separation from the company.

3/1986

10

The Boeing Company (Voluntary Investment
Plan 401(k))

Chicago, Illinois

I will continue to participate in the Voluntary
Investment Plan defined contribution plan. The plan
sponsor will not make further contributions after my
separation from the company.

3/1986

11

The Boeing Company (unvested Restricted
Stock Unit awards)

Chicago, Illinois

Pursuant to company policy, my unvested Restricted
Stock Unit awards will vest pro rata based on service
time and be paid within 30 days of my separation
from the
company.

3/1986

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

The Boeing Company

Chicago, Illinois

Oversight of the Company's manufacturing operations and supplier
management functions.

5. Spouse's Employment Assets & Income and Retirement Accounts
None

 6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

US Credit Union Checking Account

N/A

$500,001 $1,000,000

Interest

$1,001 - $2,500

2

Accenture (ACN)

N/A

$1,001 - $15,000

None (or less
than $201)

3

DBS Group (DBSDY)

N/A

$1,001 - $15,000

None (or less
than $201)

4

Anheueser-Busch ADR (BUD)

N/A

$1,001 - $15,000

5

Aon (AON)

N/A

$1,001 - $15,000

None (or less
than $201)

6

Ashtead Group ADR (ASHTY)

N/A

$1,001 - $15,000

None (or less
than $201)

7

Assa Abloy ADR (ASAZY)

N/A

$1,001 - $15,000

None (or less
than $201)

8

Assocd Brit Foods ADR (ASBFY)

N/A

$1,001 - $15,000

None (or less
than $201)

9

Banca Mediolanum ADR (BNCDY)

N/A

$1,001 - $15,000

None (or less
than $201)

10

BHP Billiton (BHP)

N/A

$1,001 - $15,000

None (or less
than $201)

11

British American Tobacco ADR (BTI)

N/A

$1,001 - $15,000

12

Canadian National Railway (CNI)

N/A

$1,001 - $15,000

None (or less
than $201)

13

Oklahoma State, Bond

N/A

$15,001 $50,000

None (or less
than $201)

14

Carlsberg ADR (CABGY)

N/A

$1,001 - $15,000

None (or less
than $201)

15

US Brokerage Money Market Account (cash)
#1

N/A

$1,001 - $15,000

None (or less
than $201)

Dividends

Dividends
Capital Gains

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

16

Compass Group ADR (CMPGY)

N/A

$1,001 - $15,000

None (or less
than $201)

17

Continental AG ADR (CTTAY)

N/A

$1,001 - $15,000

None (or less
than $201)

18

Daiwa House ADR (DWAHY)

N/A

$1,001 - $15,000

None (or less
than $201)

19

Fanuc Corporation ADR (FANUY)

N/A

$1,001 - $15,000

None (or less
than $201)

20

Fresenius SE&KGAA ADR (FSNUY)

N/A

$1,001 - $15,000

None (or less
than $201)

21

Medtronic (MDT)

N/A

$1,001 - $15,000

None (or less
than $201)

22

Informa ADR (IFJPY)

N/A

$1,001 - $15,000

None (or less
than $201)

23

Japan Tobacco ADR (JAPAY)

N/A

$1,001 - $15,000

None (or less
than $201)

24

KBC Group ADR (KBCSY)

N/A

$1,001 - $15,000

None (or less
than $201)

25

KDDI Corp (KDDIY)

N/A

$1,001 - $15,000

None (or less
than $201)

26

Komatsu ADR (KMTUY)

N/A

$1,001 - $15,000

None (or less
than $201)

27

Royal KPN NV ADR (KKPNY)

N/A

$1,001 - $15,000

28

Makita Corp (MKTAY)

N/A

$1,001 - $15,000

29

Novartis AG (NVS)

N/A

$1,001 - $15,000

30

Prudential Public Limited (PUK)

N/A

$1,001 - $15,000

None (or less
than $201)

31

Red Electra Corp ADR (RDEIY)

N/A

$1,001 - $15,000

None (or less
than $201)

32

Relx PLC ADR (RELX)

N/A

$1,001 - $15,000

None (or less
than $201)

Dividends

INCOME
AMOUNT

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

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

33

Richemont ADR (CFRUY)

N/A

$1,001 - $15,000

34

Royal Dutch Shell (RDS/A)

N/A

$1,001 - $15,000

35

Ryanair Holdings ADR (RYAAY)

N/A

$1,001 - $15,000

None (or less
than $201)

36

Ryohin Keikaku ADR (RYKKY)

N/A

$1,001 - $15,000

None (or less
than $201)

37

Sampo ADR (SAXPY)

N/A

$1,001 - $15,000

38

SAP SE (SAP)

N/A

$1,001 - $15,000

None (or less
than $201)

39

Seven & I Holdings ADR (SVNDY)

N/A

$1,001 - $15,000

None (or less
than $201)

40

Shire ADR (SHPG)

N/A

$1,001 - $15,000

None (or less
than $201)

41

Entergy Corp (ETR)

N/A

$1,001 - $15,000

None (or less
than $201)

42

Softbank Group ADR (SFTBY)

N/A

$1,001 - $15,000

None (or less
than $201)

43

Sony Corporation (SNE)

N/A

$1,001 - $15,000

None (or less
than $201)

44

Statoil ASA (STO)

N/A

$1,001 - $15,000

None (or less
than $201)

45

Sumitomo Mitsui Financial Group ADR
(SMFG)

N/A

$1,001 - $15,000

46

Suncor Energy (SU)

N/A

$1,001 - $15,000

None (or less
than $201)

47

Swedbank ADR (SWDBY)

N/A

$1,001 - $15,000

None (or less
than $201)

48

Telenor ASA ADR (TELNY)

N/A

$1,001 - $15,000

None (or less
than $201)

49

Hasbro Inc (HAS)

N/A

$1,001 - $15,000

None (or less
than $201)

None (or less
than $201)
Dividends

Dividends

Dividends

$201 - $1,000

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

50

Unilever PLC (UL)

N/A

$1,001 - $15,000

51

Valeo ADR (VLEEY)

N/A

$1,001 - $15,000

52

Vinci ADR (VCISY)

N/A

$1,001 - $15,000

None (or less
than $201)

53

Wolseley ADR (WOSYY)

N/A

$1,001 - $15,000

None (or less
than $201)

54

Wolters Kluwer ADR (WTKWY)

N/A

$1,001 - $15,000

None (or less
than $201)

55

Worldpay GRP ADR (WPYGY)

N/A

$1,001 - $15,000

None (or less
than $201)

56

Hershey Company (HSY)

N/A

$1,001 - $15,000

None (or less
than $201)

57

AbbVie (ABBV)

N/A

$1,001 - $15,000

None (or less
than $201)

58

Allianz ADR (AZSEY)

N/A

$1,001 - $15,000

59

Ameriprise Financial (AMP)

N/A

$1,001 - $15,000

None (or less
than $201)

60

Archer-Daniels-Midland Company (ADM)

N/A

$1,001 - $15,000

None (or less
than $201)

61

Astrazeneca PLC (AZN)

N/A

$1,001 - $15,000

62

BAE Systems ADR (BAESY)

N/A

$1,001 - $15,000

63

Bank of Montreal (BMO)

N/A

$1,001 - $15,000

64

BASF ADR (BASFY)

N/A

$1,001 - $15,000

65

Best Buy Co (BBY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

66

BP PLC (BP)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

None (or less
than $201)
Dividends

Dividends
Capital Gains

Dividends

$201 - $1,000

$201 - $1,000

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

Dividends
Capital Gains

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

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

67

CA Inc. (CA)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

68

Moody's Corp (MCO)

N/A

$1,001 - $15,000

None (or less
than $201)

69

U.S. Brokerage Money Market Account
(cash) #2

N/A

$1,001 - $15,000

None (or less
than $201)

70

Caterpillar, Inc (CAT)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

71

Century Link Inc (CTL)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

72

Chevron Corporation (CVX)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

73

Cisco Systems (CSCO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

74

CNOOC Limited (CEO)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

75

Coca-Cola European Partners (CCE)

N/A

$1,001 - $15,000

None (or less
than $201)

76

Credit Suisse Group ADR (CS)

N/A

$1,001 - $15,000

None (or less
than $201)

77

Cummins Inc (CMI)

N/A

$1,001 - $15,000

78

Darden Restaurants, Inc. (DRI)

N/A

$1,001 - $15,000

79

Dow Chemical (DOW)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

80

Emerson Electric (EMR)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

81

Gazprom PJSC ADR (OGZPY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

82

GlaxoSmithKline (GSK)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

83

HSBC Holdings (HSBC)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

Dividends

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

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

84

Intel Corp (INTC)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

85

International Business Machines (IBM)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

86

International Paper Company (IP)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

87

Kimberly-Clark (KMB)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

88

Kohl's (KSS)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

89

LyondellBassell Industries (LYB)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

90

Macy's (M)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

91

Marathon Petroleum (MPC)

N/A

$1,001 - $15,000

92

Merck & Company (MRK)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

93

MetLife (MET)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

94

Mitsui & Co ADR (MITSY)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

95

Tyson Foods (TSN)

N/A

$1,001 - $15,000

96

Mobile TeleSystems PJSC (MBT)

N/A

$1,001 - $15,000

97

Mosaic Company (MOS)

N/A

$1,001 - $15,000

98

Nucor Corporation (NUE)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

99

Oil Co Lukoil PJSC ADR (LUKOY)

N/A

$15,001 $50,000

Dividends

$1,001 - $2,500

100

Packaging Corporation of America (PKG)

N/A

$1,001 - $15,000

101

Pfizer (PFE)

N/A

$1,001 - $15,000

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

102

POSCO (PKX)

N/A

$1,001 - $15,000

103

Principal Financial Group (PFG)

N/A

$1,001 - $15,000

104

Procter & Gamble (PG)

N/A

$1,001 - $15,000

105

Prudential Financial (PRU)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

106

Qualcomm Incorporated (QCOM)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

107

Royal Bank of Canada (RY)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

108

Societe Generale (SCGLY)

N/A

$1,001 - $15,000

None (or less
than $201)

109

Edison International (EIX)

N/A

$1,001 - $15,000

None (or less
than $201)

110

SK Telecom LTD (SKM)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

111

Swiss RE AG ADR (SSREY)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

112

Target Corporation (TGT)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

113

Total SA (TOT)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

114

UBS Group AG (UBS)

N/A

$1,001 - $15,000

115

UPM-KYMMENE Corp ADR (UPMKY)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

116

Valero Energy (VLO)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

117

Viacom (VIAB)

N/A

$1,001 - $15,000

None (or less
than $201)

118

Wal-Mart Stores (WMT)

N/A

$1,001 - $15,000

None (or less
than $201)

119

Western Digital Corporation (WDC)

N/A

$15,001 $50,000

None (or less
than $201)

None (or less
than $201)
Dividends

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

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

120

Western Union Company (WU)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

121

Westrock Company (WRK)

N/A

$1,001 - $15,000

None (or less
than $201)

122

Dell Technologies Inc Class V (DVMT)

N/A

$1,001 - $15,000

None (or less
than $201)

123

Vanguard FTSE Emerging Markets ETF (VWO)

Yes

$15,001 $50,000

$201 - $1,000

124

Arizone State, Bonds

N/A

$50,001 $100,000

Interest

$5,001 - $15,000

125

California State, Bond

N/A

$15,001 $50,000

Interest
Capital Gains

$2,501 - $5,000

126

US Brokerage Money Market Account #3

N/A

$15,001 $50,000

127

Chicago, Ill, Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

128

Colorado State, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

129

Denver, CO, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

130

District of Columbia, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

131

Fairfax County, VA, Bond

N/A

$15,001 $50,000

Interest

$2,501 - $5,000

132

Florida State, Bond

N/A

$15,001 $50,000

Interest
Capital Gains

$1,001 - $2,500

133

Illinois State, Bonds

N/A

$15,001 $50,000

Interest

$2,501 - $5,000

134

Indiana State, Bond

N/A

$15,001 $50,000

Interest

$2,501 - $5,000

135

Massachusetts State, Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

136

New York MTA, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

137

Miami-Dade County, FL, Bond

N/A

None (or less
than $1,001)

Interest

$1,001 - $2,500

138

Michigan State, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

139

Nebraska State, Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

140

New York City, New York, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

141

New York State, Bond

N/A

$50,001 $100,000

Interest
Capital Gains

$5,001 - $15,000

142

Norfolk, VA, Bonds

N/A

$15,001 $50,000

Interest
Capital Gains

$1,001 - $2,500

143

Oregon State, Bond

N/A

$15,001 $50,000

Interest

$1,001 - $2,500

144

Virginia State, Bonds

N/A

$100,001 $250,000

Interest
Capital Gains

$5,001 - $15,000

145

Wisconsin State, Bond

N/A

$15,001 $50,000

Interest

$201 - $1,000

146

Aflac (AFL)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

147

American Express Company (AXP)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

148

Amgen (AMGN)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

149

Applied Materials (AMAT)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

150

Avery Dennison (AVY)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

151

Baxter International (BAX)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

152

Broadcom Limited (AVGO)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

153

US Brokerage Money Market Account #5

N/A

$1,001 - $15,000

154

CBS Corporation (CBS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

155

Citrix Systems (CTXS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

156

Comerica (CMA)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

157

CSX Corporations (CSX)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

158

Dr. Pepper Snapple Group (DPS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

159

Eastman Chemical (EMN)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

160

Edwards Lifesciences (EW)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$2,501 - $5,000

161

Facebook (FB)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

162

General Dynamic (GD)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

163

General Motors (GM)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

164

Haliburton (HAL)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

165

Home Depot (HD)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

166

McDonald's (MCD)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

167

Mohawk Industries (MHK)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

168

Morgan Stanley (MS)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

169

Motorola Solutions (MSI)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

170

Newfield Exploration (NFX)

N/A

$1,001 - $15,000

171

NextEra Energy (NEE)

N/A

None (or less
than $1,001)

172

Pioneer National Resources (PXD)

N/A

$1,001 - $15,000

173

SCANA (SCG)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

174

State Street (STT)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

175

Sysco (SYY)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

176

The Kraft Heinz Company (KHC)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$5,001 - $15,000

177

Ulta Beauty Inc. (ULTA)

N/A

$1,001 - $15,000

None (or less
than $201)

178

United Rentals (URI)

N/A

$1,001 - $15,000

None (or less
than $201)

179

Alphabet Inc (GOOGL)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

180

Alphabet Inc (GOOG)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

181

Apple (AAPL)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

182

Bershire Hathaway Class B (BRKB)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

183

US Brokerage Money Market Account
(cash)#5

N/A

$15,001 $50,000

184

Charles Schwab Corporation (SCHW)

N/A

$1,001 - $15,000

None (or less
than $201)
Dividends
Capital Gains

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

None (or less
than $201)
Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

185

Cognizant Technology Solutions (CTSH)

N/A

$1,001 - $15,000

186

Core Laboratories (CLB)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

187

Express Scripts (ESRX)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

188

Fastenal (FAST)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

189

LKQ Corporation (LKQ)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

190

Mead Johnson Nutrition (MJN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

191

PayPal Holdings (PYPL)

N/A

$15,001 $50,000

192

Ross Stores (ROST)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

193

Schlumberger (SLB)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

194

The Priceline Group (PCLN)

N/A

$15,001 $50,000

Dividends
Capital Gains

$1,001 - $2,500

195

TJX Companies (TJX)

N/A

$1,001 - $15,000

None (or less
than $201)

196

Tractor Supply Company (TSCO)

N/A

$1,001 - $15,000

None (or less
than $201)

197

Treehouse Foods (THS)

N/A

$1,001 - $15,000

None (or less
than $201)

198

Verisk Analytics (VRSK)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

199

Visa (V)

N/A

$15,001 $50,000

Dividends
Capital Gains

$201 - $1,000

200

Roche Holdings (RHHVF)

N/A

$100,001 $250,000

Dividends

$5,001 - $15,000

None (or less
than $201)

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

201

Boeing Company (BA)

N/A

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

Dividends

$15,001 $50,000

202

US Brokerage Money Market Account #6

N/A

$15,001 $50,000

None (or less
than $201)

203

US Brokerage Money Market Account #7

N/A

$1,001 - $15,000

None (or less
than $201)

204

US Brokerage Money Market Account #8

N/A

$1,001 - $15,000

None (or less
than $201)

205

US Brokerage Money Market Account #9

N/A

$1,001 - $15,000

None (or less
than $201)

206

EMC Corp (EMC)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

207

Harris, TX, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$201 - $1,000

208

Houston, TX, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

209

Hampton, VA, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$201 - $1,000

210

Texas State, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$201 - $1,000

211

San Antonio, TX, Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$1,001 - $2,500

212

Ally Financial (ALLY)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

213

American Electric Power (AEP)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

214

Chubb (CB)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

215

Diamond Offshore Drilling (DO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

216

FedEx (FDX)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

217

Kroger (KR)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

218

Bank of Nova Scotia Halifax (BNS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

219

Coach Inc (COH)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

220

Johnson & Johnson (JNJ)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

221

Microsoft (MSFT)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

222

Orange ADR (ORAN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

223

Republic Services (RSG)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

224

Seagate Technology (STX)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

225

Waste Management (WM)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

226

Aegon (AEG)

N/A

$1,001 - $15,000

None (or less
than $201)

227

Carnival ADR (CUK)

N/A

$1,001 - $15,000

None (or less
than $201)

228

BNP Paribas (BNPQY)

N/A

$1,001 - $15,000

None (or less
than $201)

229

L3 Technologies (LLL)

N/A

$1,001 - $15,000

None (or less
than $201)

230

NETAPP (NTAP)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

231

Progressive Corp (PGR)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

232

Nike (NKE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

233

NiSource (NI)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

234

Prologis (PLD)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

235

Reynolds American (RAI)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$5,001 - $15,000

236

Salesforce.com

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

237

Southwest Airlines (LUV)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$2,501 - $5,000

238

Total System Services (TSS)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$1,001 - $2,500

239

Vulcan Materials (VMC)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

240

Alaska Air (ALK)

N/A

$1,001 - $15,000

None (or less
than $201)

241

Arris International (ARRS)

N/A

$1,001 - $15,000

None (or less
than $201)

242

Acadia Healthcare (ACHC)

N/A

$1,001 - $15,000

None (or less
than $201)

243

American Axle & MFG (AXL)

N/A

$1,001 - $15,000

None (or less
than $201)

244

American Eagle Outfitters (AEO)

N/A

$1,001 - $15,000

None (or less
than $201)

245

American Equity Inv (AEL)

N/A

$1,001 - $15,000

None (or less
than $201)

246

AMN Healthcare Services (AMN)

N/A

$1,001 - $15,000

None (or less
than $201)

247

ANI Pharmaceuticals (ANIP)

N/A

$1,001 - $15,000

None (or less
than $201)

248

Apogee Enterprises (APOG)

N/A

$1,001 - $15,000

None (or less
than $201)

249

Ashford Hospitality (AHT)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

250

Big Lots (BIG)

N/A

$1,001 - $15,000

None (or less
than $201)

251

Bloomin Brands (BLMN)

N/A

$1,001 - $15,000

None (or less
than $201)

252

Boise Cascade (BCC)

N/A

$1,001 - $15,000

None (or less
than $201)

253

Boyd Gaming (BYD)

N/A

$1,001 - $15,000

None (or less
than $201)

254

Builders Firstsource (BLDR)

N/A

$1,001 - $15,000

None (or less
than $201)

255

CACI International (CACI)

N/A

$1,001 - $15,000

None (or less
than $201)

256

CalAtlantic (CAA)

N/A

$1,001 - $15,000

None (or less
than $201)

257

Callon Petroleum (CPE)

N/A

$1,001 - $15,000

None (or less
than $201)

258

Cardtronics (CATM)

N/A

$1,001 - $15,000

None (or less
than $201)

259

Carrzo (CRZO)

N/A

$1,001 - $15,000

None (or less
than $201)

260

Chemical Financial (CHFC)

N/A

$1,001 - $15,000

None (or less
than $201)

261

Chesapeake Utility (CPK)

N/A

$1,001 - $15,000

None (or less
than $201)

262

Cinemark (CNK)

N/A

$1,001 - $15,000

None (or less
than $201)

263

Cirrus Logic (CRUS)

N/A

$1,001 - $15,000

None (or less
than $201)

264

Coherent (COHR)

N/A

$1,001 - $15,000

265

Colony Starwood Homes (SFR)

N/A

$1,001 - $15,000

Dividends
Capital Gains

INCOME
AMOUNT

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

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

266

Columbia Property Trust (CXP)

N/A

$1,001 - $15,000

None (or less
than $201)

267

Delek US Holdings (DK)

N/A

$1,001 - $15,000

None (or less
than $201)

268

Dupont Fabros Technology (DFT)

N/A

$1,001 - $15,000

None (or less
than $201)

269

Dycom Industries (DY)

N/A

$1,001 - $15,000

None (or less
than $201)

270

EPR Properties (EPR)

N/A

$1,001 - $15,000

None (or less
than $201)

271

Eagle Bancorp (EGBN)

N/A

$1,001 - $15,000

None (or less
than $201)

272

Electronics For Imaging (EFII)

N/A

$1,001 - $15,000

None (or less
than $201)

273

Emcor (EME)

N/A

$1,001 - $15,000

None (or less
than $201)

274

Emergent Biosolutions (EBS)

N/A

$1,001 - $15,000

None (or less
than $201)

275

Enersys (ENS)

N/A

$1,001 - $15,000

None (or less
than $201)

276

Entegris (ENTG)

N/A

$1,001 - $15,000

None (or less
than $201)

277

Euronet Worldwide (EEFT)

N/A

$1,001 - $15,000

None (or less
than $201)

278

FNB Corp (FNB)

N/A

$1,001 - $15,000

None (or less
than $201)

279

FCB Financial (FCB)

N/A

$1,001 - $15,000

None (or less
than $201)

280

Fabrinet (FN)

N/A

$1,001 - $15,000

None (or less
than $201)

281

First Interstate Bancsystem (FIBK)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

282

Gigamon (GIMO)

N/A

$1,001 - $15,000

None (or less
than $201)

283

Globus Medical (GMED)

N/A

$1,001 - $15,000

None (or less
than $201)

284

Grand Canyon Education (LOPE)

N/A

$1,001 - $15,000

None (or less
than $201)

285

Granite Construction (GVA)

N/A

$1,001 - $15,000

None (or less
than $201)

286

Graphic Packaging (GPK)

N/A

$1,001 - $15,000

None (or less
than $201)

287

Great Western Bancorp (GWB)

N/A

$1,001 - $15,000

None (or less
than $201)

288

Gulfport Energy (GPOR)

N/A

$1,001 - $15,000

None (or less
than $201)

289

Helen of Troy LTD (HELE)

N/A

$1,001 - $15,000

None (or less
than $201)

290

Hilltop Holdings (HTH)

N/A

$1,001 - $15,000

None (or less
than $201)

291

Hope Bancorp (HOPE)

N/A

$1,001 - $15,000

292

Horace Mann Educators (HMN)

N/A

$1,001 - $15,000

None (or less
than $201)

293

Horizon Pharma (HZNP)

N/A

$1,001 - $15,000

None (or less
than $201)

294

Home Bancshares (HOMB)

N/A

$1,001 - $15,000

None (or less
than $201)

295

Huntsman (HUN)

N/A

$1,001 - $15,000

296

ICU Medical (ICUI)

N/A

$1,001 - $15,000

None (or less
than $201)

297

IDACorp (IDA)

N/A

$1,001 - $15,000

None (or less
than $201)

Dividends
Capital Gains

Dividends
Capital Gains

INCOME
AMOUNT

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

298

Integra Lifesciences (IART)

N/A

$1,001 - $15,000

None (or less
than $201)

299

Integrated Device Tech (IDTI)

N/A

$1,001 - $15,000

None (or less
than $201)

300

Iridium Communications (IRDM)

N/A

$1,001 - $15,000

None (or less
than $201)

301

J2 Global (JCOM)

N/A

$1,001 - $15,000

302

Kite Reality (KRG)

N/A

$1,001 - $15,000

None (or less
than $201)

303

Korn/Ferry Intl (KFY)

N/A

$1,001 - $15,000

None (or less
than $201)

304

LCI Inds (LCII)

N/A

$1,001 - $15,000

None (or less
than $201)

305

Masonite International (DOOR)

N/A

$1,001 - $15,000

None (or less
than $201)

306

Mastec (MTZ)

N/A

$1,001 - $15,000

None (or less
than $201)

307

Matson (MATX)

N/A

$1,001 - $15,000

None (or less
than $201)

308

Maximus (MMS)

N/A

$1,001 - $15,000

None (or less
than $201)

309

Maxlinear (MXL)

N/A

$1,001 - $15,000

None (or less
than $201)

310

Mercury Systems (MRCY)

N/A

$1,001 - $15,000

None (or less
than $201)

311

Merit Medical (MMSI)

N/A

$1,001 - $15,000

None (or less
than $201)

312

Methode Electronics (MEI)

N/A

$1,001 - $15,000

None (or less
than $201)

313

Microsemi (MSCC)

N/A

$1,001 - $15,000

Dividends
Capital Gains

Dividends
Capital Gains

INCOME
AMOUNT

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

314

Omnicell (OMCL)

N/A

$1,001 - $15,000

315

Orbital ATK (OA)

N/A

$1,001 - $15,000

316

Oxford Industries (OXM)

N/A

$1,001 - $15,000

None (or less
than $201)

317

Pebblebrook Hotel Trust (PEB)

N/A

$1,001 - $15,000

None (or less
than $201)

318

Primoris Services (PRIM)

N/A

$1,001 - $15,000

None (or less
than $201)

319

Radian Group (RDN)

N/A

$1,001 - $15,000

None (or less
than $201)

320

Ryman Hospitality (RHP)

N/A

$1,001 - $15,000

None (or less
than $201)

321

Sinclair Broadcast (SBGI)

N/A

$1,001 - $15,000

322

Skywest (SKYW)

N/A

$1,001 - $15,000

None (or less
than $201)

323

Stamps.com (STMP)

N/A

$1,001 - $15,000

None (or less
than $201)

324

Supernus Pharmaceuticals (SUPN)

N/A

$1,001 - $15,000

None (or less
than $201)

325

Swift Transportation (SWFT)

N/A

$1,001 - $15,000

None (or less
than $201)

326

SRC Energy Inc. (SRCI)

N/A

$1,001 - $15,000

None (or less
than $201)

327

Thor Industries (THO)

N/A

$1,001 - $15,000

None (or less
than $201)

328

Tri Pointe Group (TPH)

N/A

$1,001 - $15,000

None (or less
than $201)

329

Trinseo (TSE)

N/A

$1,001 - $15,000

None (or less
than $201)
Dividends
Capital Gains

Dividends
Capital Gains

Dividends
Capital Gains

$201 - $1,000

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

330

Umpqua Holdings (UMPQ)

N/A

$1,001 - $15,000

None (or less
than $201)

331

US Concrete (USCR)

N/A

$1,001 - $15,000

None (or less
than $201)

332

Web.com (WEB)

N/A

$1,001 - $15,000

None (or less
than $201)

333

Wesbanco (WSBC)

N/A

$1,001 - $15,000

None (or less
than $201)

334

Western Alliance Bancorporation (WAL)

N/A

$1,001 - $15,000

None (or less
than $201)

335

Wintrust Financial (WTFC)

N/A

$1,001 - $15,000

None (or less
than $201)

336

Wolverwine Worldwide (WWW)

N/A

$1,001 - $15,000

None (or less
than $201)

337

Xperi Corp (XPER)

N/A

$1,001 - $15,000

None (or less
than $201)

338

AIA Group LTD ADR (AAGIY)

N/A

$1,001 - $15,000

None (or less
than $201)

339

AIR Liquide ADR (AIQUY)

N/A

$1,001 - $15,000

None (or less
than $201)

340

Alfa Laval ADR (ALFVY)

N/A

$1,001 - $15,000

None (or less
than $201)

341

Aspen Pharmacare ADR (APNHY)

N/A

$1,001 - $15,000

None (or less
than $201)

342

Atlas Copco ADR (ATLKY)

N/A

$1,001 - $15,000

None (or less
than $201)

343

BBA Aviation ADR (BBAVY)

N/A

$1,001 - $15,000

None (or less
than $201)

344

Baidu ADR (BIDU)

N/A

$1,001 - $15,000

None (or less
than $201)

345

Banco Bilbao Vizcaya (BBVA)

N/A

$1,001 - $15,000

Dividends

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

346

Bayer ADR (BAYRY)

N/A

$1,001 - $15,000

None (or less
than $201)

347

Bayerische Motoren Werki ADR (BMWYY)

N/A

$1,001 - $15,000

None (or less
than $201)

348

Bunge Limited (BG)

N/A

$1,001 - $15,000

None (or less
than $201)

349

CSL LTD ADR (CSLLY)

N/A

$1,001 - $15,000

None (or less
than $201)

350

Canadian National Railway (CNI)

N/A

$1,001 - $15,000

None (or less
than $201)

351

Check Point Software Technologies (CHKP)

N/A

$1,001 - $15,000

None (or less
than $201)

352

DBS Group Hldgs LTD ADR (DBSDY)

N/A

$1,001 - $15,000

None (or less
than $201)

353

Dassault Systems ADR (DASTY)

N/A

$1,001 - $15,000

None (or less
than $201)

354

Fresenius Medical Care ADR (FMS)

N/A

$1,001 - $15,000

None (or less
than $201)

355

Fuchs Petrolub SE ADR (FUPBY)

N/A

$1,001 - $15,000

None (or less
than $201)

356

Grifols SA ADR (GRFS)

N/A

$1,001 - $15,000

None (or less
than $201)

357

Grupo Televisa SA (TV)

N/A

$1,001 - $15,000

None (or less
than $201)

358

Grupo Financiero Banorte (GBOOY)

N/A

$1,001 - $15,000

None (or less
than $201)

359

Tutor Perini Corp (TPC)

N/A

None (or less
than $1,001)

360

ICIC Bank Limited ADR (IBN)

N/A

$1,001 - $15,000

None (or less
than $201)

361

Itau Unibanco Holdings ADR (ITUB)

N/A

$1,001 - $15,000

None (or less
than $201)

Dividends
Capital Gains

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

362

JGC Corp ADR (JGCCY)

N/A

$1,001 - $15,000

None (or less
than $201)

363

Kubota Corp ADR (KUBTY)

N/A

$1,001 - $15,000

None (or less
than $201)

364

L'OREAL Company ADR (LRLCY)

N/A

$1,001 - $15,000

None (or less
than $201)

365

LVMH Moet Hennessy Luis Vuitton ADR
(LVMUY)

N/A

$1,001 - $15,000

366

Linde AG ADR (LNEGY)

N/A

$1,001 - $15,000

None (or less
than $201)

367

Mitsubishi Estate ADR (MITEY)

N/A

$1,001 - $15,000

None (or less
than $201)

368

Monotaro Co LTD Osaka ADR (MONOY)

N/A

$1,001 - $15,000

None (or less
than $201)

369

Naspers LTD ADR (NPSNY)

N/A

$1,001 - $15,000

None (or less
than $201)

370

Nestle SA ADR (NSRGY)

N/A

$1,001 - $15,000

None (or less
than $201)

371

Park24 Company LTD ADR (PKCOY)

N/A

$1,001 - $15,000

None (or less
than $201)

372

Roche Holdings Limited ADR (RHHBY)

N/A

$1,001 - $15,000

None (or less
than $201)

373

Royal Dutch Shell ADR (RDSA)

N/A

$1,001 - $15,000

374

Sasol Limited ADR (SSL)

N/A

$1,001 - $15,000

None (or less
than $201)

375

Sonova Holdings ADR (SONVY)

N/A

$1,001 - $15,000

None (or less
than $201)

376

Symrise AG ADR (SYIEY)

N/A

$1,001 - $15,000

None (or less
than $201)

377

Sysmex ADR (SSMXY)

N/A

$1,001 - $15,000

None (or less
than $201)

Dividends

Dividends

INCOME
AMOUNT

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

378

Taiwan Semiconductor ADR (TSM)

N/A

$1,001 - $15,000

None (or less
than $201)

379

Tenaris ADR (TS)

N/A

$1,001 - $15,000

None (or less
than $201)

380

Turkiye Garanti Bankasi (TKGBY)

N/A

$1,001 - $15,000

None (or less
than $201)

381

WPP PLC ADR (WPPGY)

N/A

$1,001 - $15,000

None (or less
than $201)

382

Nexstar Media Group (NXST)

N/A

$1,001 - $15,000

None (or less
than $201)

383

Cynosure Class A (C9S.DE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

384

Kate Spade & Company (KATE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

385

VCA Inc (WOOF)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

386

Forum Energy Techs (FET)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

387

FirstMerit Corp (FMER.DE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

388

Meritage Homes (MTH)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

389

Brunswick Corp (BC)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

390

Synaptics Inc (SYNA)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

391

Allete Inc (ALE)

N/A

$1,001 - $15,000

Dividends
Capital Gains

$201 - $1,000

392

Wabash National Corp (WNC)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

393

Littelfuse Inc (LFUS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

394

PrivateBancorp (PVTB)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

395

Summit Hotel PPTYS (INN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

396

Air Methods Corp (AIRM)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

397

TrueBlue Inc (TBI)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

398

PennyMac Mortgage (PMT)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

399

Headwaters Inc (HW)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

400

Red Robin Gourmet Burgers (RRGB)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

401

Wellcare Healthplans (WCG)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

402

LA-Z-Boy Inc (LZB)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

403

AMAG Pharmaceuticials (AMAG)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

404

Lakeland Financial (LKFN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

405

Parsley Energy (PE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

406

Euronet Worldwide (EEFT)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

407

CNO Financial (CNO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

408

Molina Healthcare (MOH)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

409

Lithia Motors (LAD)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

410

FitBit Inc (FIT)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

411

Madden Steven Limited (SHOO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

412

Steris (STE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

413

Brandywine Realty (BDN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

414

Team Health Holdings (TMH.DE)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

415

Thor Industries (THO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

416

Texas Roadhouse (TXRH)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

417

New Jersey Resources Corp (NJR)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

418

Banc of California (BANC)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

419

Tenneco (TEN)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

420

Aptevo Therapeutics (APVO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

421

Miller Herman Inc (MLHR)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

422

Depomed (DEPO)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

423

Steelcase (SCS)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

424

Super Micro Computer (SMCI)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

425

AZZ Inc (AZZ)

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

426

Drew Industries

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$201 - $1,000

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

8. Liabilities
#

CREDITOR NAME

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

1

Goldman Sachs Bank

Mortgage on
Personal
Residence

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

2013

2.60%

30 Years

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

Endnotes
PART

#

ENDNOTE

2.

7.1

Consists entirely of Boeing Company stock.

2.

7.4

Divested subsequent to filing.

2.

8.1

Consists entirely of Boeing Company stock.

 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).