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
Winberg, Steven Eric
Assistant Secretary of Energy (Fossil Energy), Department of Energy
Other Federal Government Positions Held During the Preceding 12 Months:
None
Names of Congressional Committees Considering Nomination:
●
Committee on Energy and Natural Resources

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/ Winberg, Steven Eric [electronically signed on 06/09/2017 by Winberg, Steven Eric 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/ Beard, Susan F, Certifying Official [electronically signed on 09/07/2017 by Beard, Susan F in Integrity.gov]

Other review conducted by
/s/ Hymer, Christina J, Ethics Official [electronically signed on 09/07/2017 by Hymer, Christina J in Integrity.gov]

U.S. Office of Government Ethics Certification
/s/ Apol, David, Certifying Official [electronically signed on 09/15/2017 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

Battelle Memorial Institute

Pittsburgh,
Pennsylvania

Non-Profit

Senior Program
Manager

5/2014

Present

2

Three Rivers Rowing Association
(uncompensated)

Millvale,
Pennsylvania

Non-Profit

Board Member

1/2017

Present

3

Pennsylvania Department of Environmental
Protection, Climate Change Advisory
Committee (uncompensated)

Harrisburg,
Pennsylvania

Advisory
Committee

Appointed
Member

11/2014

Present

4

Marcellus Shale Coalition (uncompensated)

Pittsburgh,
Pennsylvania

Trade Union

Member

6/2010

Present

5

National Coal Council (uncompensated)

Washington,
District of
Columbia

Federal
Advisory
Committee - US
Department of
Energy

Representative

1/2016

Present

VALUE

INCOME TYPE

INCOME
AMOUNT

Salary/Bonus

$402,577

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

DESCRIPTION

EIF

1

Battelle Memorial Institute

N/A

2

Battelle Memorial Institute Senior
Leadership 457(B) Defined Contribution
Plan

No

2.1

Vanguard Target Retirement 2020 Fund
Investor Shares (VTWNX)

Yes

$15,001 $50,000

None (or less
than $201)

2.2

Vanguard Target Retirement 2040 Fund
Investor Shares (VFORX)

Yes

$1,001 - $15,000

None (or less
than $201)

3

CONSOL Energy Inc (managed by Morgan
Stanley)

No

 #

DESCRIPTION

EIF

VALUE

3.1

CONSOL Restricted Stock Units (vested)

N/A

$50,001 $100,000

None (or less
than $201)

3.2

CONSOL Stock Options (vested) (value not
readily ascertainable)

N/A

None (or less
than $1,001)

None (or less
than $201)

3.3

CONSOL Energy Stock (CNX)

N/A

$50,001 $100,000

$201 - $1,000

4

CONSOL Energy 401(k)

No

4.1

Vanguard MidCap Index Fund (VMCIX)

Yes

$1,001 - $15,000

None (or less
than $201)

4.2

Janus Henderson Enterprise Fund Class I
(JMGRX)

Yes

$15,001 $50,000

None (or less
than $201)

4.3

Vanguard Small-Cap Index Fund Institutional
Shares (VSCIX)

Yes

$1,001 - $15,000

None (or less
than $201)

4.4

ClearBridge Large Cap Growth Fund Class I
(SBLYX)

Yes

$1,001 - $15,000

None (or less
than $201)

4.5

CONSOL Energy Inc. (CNX)

N/A

$250,001 $500,000

None (or less
than $201)

4.6

PRIMECAP Odyssey Stock Fund (POSKX)

Yes

$1,001 - $15,000

$201 - $1,000

4.7

BlackRock Basic Value Fund Institutional
Shares (MABAX)

Yes

$15,001 $50,000

$201 - $1,000

5

Dominion Energy (previously Consolidated
Natural Gas) Defined Benefit Plan (value not
readily ascertainable) (Eligible to receive
$1,800/monthly beginning April 2021)

N/A

6

CONSOL Energy Inc Defined Benefit Plan
(value not readily ascertainable)

N/A

7

Battelle Memorial Institute Defined Benefit
Plan (value not readily ascertainable)

N/A

8

CONSOL Energy Inc Defined Contribution
Restoration Plan (cash receivable)

N/A

See Endnote

INCOME TYPE

INCOME
AMOUNT

None (or less
than $201)

Retirement
payments.

$15,548
None (or less
than $201)

$15,001 $50,000

Retirement
payments.

$1,588

 3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

Battelle Memorial Institute 457(B) Defined
Contribution Plan

Pittsburgh,
Pennsylvania

I need 5 years of employment with Battelle to qualify
for this defined contribution, retirement plan. At
present, I have 3 years and 3 months and will not
have sufficient employment time to receive this
retirement benefit. I will forfeit any amount invested.
The plan sponsor will not make further contributions
after my separation.

5/2014

2

CONSOL Energy Inc.

Canonsburg,
Pennsylvania

I have vested stock options from my prior employer.
I have vested restricted stock from my prior
employer.

12/2002

3

Dominion Energy (previously Consolidated
Natural Gas)

Pittsburgh,
Pennsylvania

I will continue to participate in this defined benefit
plan. The plan sponsor has not made further
contributions after my separation.

9/1986

4

CONSOL Energy, Inc.

Canonsburg,
Pennsylvania

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

12/2002

5

Battelle Memorial Institute

Pittsburgh,
Pennsylvania

I will not qualify to receive benefits for this defined
benefit plan and will forfeit all amounts invested.

5/2014

6

CONSOL Energy Inc.

Canonsburg,
Pennsylvania

I will continue to participate in the CONSOL's Defined
Contribution Restoration Plan payable in equal
monthly payments over 20 years.

1/2012

7

CONSOL Energy Inc. 401(k)

Canonsburg,
Pennsylvania

I will continue to participate in the CONSOL Energy,
Inc. 401(k) plan. The plan sponsor has not made
further contributions after my separation.

12/2002

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

SOURCE NAME

CITY, STATE

BRIEF DESCRIPTION OF DUTIES

1

Battelle Memorial Institute

Pittsburgh,
Pennsylvania

Responsible for business development in the Energy Business Unit

2

Pennsylvania Coal Alliance

Pittsburgh,
Pennsylvania

Provided services through Battelle Memorial Institute

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

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

University of Pittsburgh Medical Center
(Pittsburgh, PA)

N/A

2

University of Pittsburgh Medical Center
401(k)

No

2.1

Vanguard Money Market Account

Yes

$1,001 - $15,000

None (or less
than $201)

2.2

Vanguard Short-Term Treasury

Yes

$1,001 - $15,000

None (or less
than $201)

2.3

Vanguard Total Bond Market Index Admiral
Shares

Yes

$1,001 - $15,000

None (or less
than $201)

2.4

Vanguard Institutional Index

Yes

$1,001 - $15,000

None (or less
than $201)

2.5

Vanguard Total International Stock ETF

Yes

$1,001 - $15,000

None (or less
than $201)

2.6

Vanguard Institutional Target Retirement
2020 Fund Institutional Shares (VITWX)

Yes

$1,001 - $15,000

None (or less
than $201)

2.7

Vanguard Extended Market ETF (VXF)

Yes

$1,001 - $15,000

None (or less
than $201)

VALUE

salary, bonus

6. Other Assets and Income
#

DESCRIPTION

EIF

1

Morgan Stanley Portfolio Management
Active Assets Account

No

1.1

First Trust Financials AlphaDEX Fd(ETF)
(FXO)

Yes

$1,001 - $15,000

INCOME TYPE

INCOME
AMOUNT

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1.2

First Trust Large Cap GO Alpha Fnd (ETF)
(FTC)

Yes

$1,001 - $15,000

None (or less
than $201)

1.3

First Trust NASDAQ-100 Ex-Tech Sec (ETF)
(QQXT)

Yes

$1,001 - $15,000

None (or less
than $201)

1.4

First Trust NASDAQ-100- Technology Ix Fd
(QTEC)

Yes

$1,001 - $15,000

None (or less
than $201)

1.5

First Trust North American Energy
Infrastructure Fund (EMLP)

Yes

$1,001 - $15,000

None (or less
than $201)

1.6

ISHARES CURRENCY HEDGED MSCI EAFE ETF
(HEFA)

Yes

$1,001 - $15,000

None (or less
than $201)

1.7

ISHARES CORE MSCI EMERGING MARKETS
ETF (IEMG)

Yes

$1,001 - $15,000

None (or less
than $201)

1.8

ISHARES EDGE MSCI MIN VOL EAFE ETF
(EFAV)

Yes

$15,001 $50,000

$201 - $1,000

1.9

ISHARES EDGE MSCI MIN VOL USA ETF
(USMV)

Yes

$15,001 $50,000

None (or less
than $201)

1.10

iShares Core S&P Mid Cap 400 ETF (IJH)

Yes

$1,001 - $15,000

None (or less
than $201)

1.11

iShares S&P SmallCap 600 Index (ETF) (IJR)

Yes

$1,001 - $15,000

None (or less
than $201)

1.12

VANGUARD VALUE ETF (VTV)

Yes

$1,001 - $15,000

None (or less
than $201)

1.13

WISDOMTREE EUROPE HEDGED EQUITY
FUND (HEDJ)

Yes

$1,001 - $15,000

None (or less
than $201)

1.14

AQR Managed Futures Strategy Fund Class I
(AQMIX)

Yes

$1,001 - $15,000

None (or less
than $201)

1.15

Federated Kaufmann Large Cap Fund
Institutional Shares (KLCIX)

Yes

$15,001 $50,000

None (or less
than $201)

1.16

Oakmark Fund Investor Class (OAKMX)

Yes

$15,001 $50,000

None (or less
than $201)

1.17

Virtus Vontobel Emerging Markets
Opportunities Fund Class I (HIEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

2

Morgan Stanley Traditional IRA

No

2.1

U.S. Brokerage Account (Cash)

N/A

$1,001 - $15,000

None (or less
than $201)

2.2

American Funds The Growth Fund of
America Class F-2 (GFFFX)

Yes

$50,001 $100,000

$201 - $1,000

2.3

American Funds The Income Fund of
America Class F-2 (AMEFX)

Yes

$50,001 $100,000

$1,001 - $2,500

2.4

American Funds Investment Company of
America Class F-2 (ICAFX)

Yes

$50,001 $100,000

$1,001 - $2,500

2.5

American Funds New Perspective Fund
Class F-2 (ANWFX)

Yes

$50,001 $100,000

$201 - $1,000

2.6

American Funds New World Fund Class F-2
(NFFFX)

Yes

$15,001 $50,000

$201 - $1,000

2.7

First Eagle Global Fund Class I (SGIIX)

Yes

$15,001 $50,000

$201 - $1,000

2.8

PIMCO All Asset Fund Class P (PALPX)

Yes

$50,001 $100,000

$1,001 - $2,500

2.9

Royce Premier Fund Investment Class
(RYPRX)

Yes

$15,001 $50,000

None (or less
than $201)

3

Morgan Stanley Portfolio Management
Active Assets Account

No

3.1

U.S. brokerage account #1 (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

3.2

First Trust Financials AlphaDEX Fd(ETF) (FXO)

Yes

$1,001 - $15,000

None (or less
than $201)

3.3

First Trust Large Cap GO Alpha Fund (ETF)
(FTC)

Yes

$15,001 $50,000

None (or less
than $201)

3.4

First Trust NASDAQ-100 Ex-Tech Sec (ETF)
(QQXT)

Yes

$1,001 - $15,000

None (or less
than $201)

3.5

FIRST TRUST NASDAQ-100-TECHNOLOGY
SECTOR INDEX FUND (QTEC)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

3.6

First Trust North American Energy
Infrastructure Fund (EMLP)

Yes

$1,001 - $15,000

None (or less
than $201)

3.7

ISHARES CURRENCY HEDGED MSCI EAFE ETF
(HEFA)

Yes

$1,001 - $15,000

$201 - $1,000

3.8

ISHARES CORE MSCI EMERGING MARKETS
ETF (IEMG)

Yes

$1,001 - $15,000

$201 - $1,000

3.9

ISHARES EDGE MSCI MIN VOL EAFE ETF
(EFAV)

Yes

$15,001 $50,000

$201 - $1,000

3.10

ISHARES EDGE MSCI MIN VOL USA ETF
(USMV)

Yes

$15,001 $50,000

$201 - $1,000

3.11

iShares Core S&P Mid Cap 400 ETF (IJH)

Yes

$15,001 $50,000

$201 - $1,000

3.12

iShares S&P SmallCap 600 Index (ETF) (IJR)

Yes

$1,001 - $15,000

None (or less
than $201)

3.13

VANGUARD VALUE ETF (VTV)

Yes

$15,001 $50,000

$201 - $1,000

3.14

WISDOMTREE EUROPE HEDGED EQUITY
FUND (HEDJ)

Yes

$1,001 - $15,000

$201 - $1,000

3.15

AQR Managed Futures Strategy Fund Class I
(AQMIX)

Yes

$1,001 - $15,000

None (or less
than $201)

3.16

Federated Kaufmann Large Cap Fund
Institutional Shares (KLCIX)

Yes

$15,001 $50,000

None (or less
than $201)

3.17

Oakmark Fund Investor Class (OAKMX)

Yes

$15,001 $50,000

$201 - $1,000

3.18

Virtus Vontobel Emerging Markets
Opportunities Fund Class I (HIEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

4

Morgan Stanley Select UMA Basic Securities
Account

No

4.1

U.S. Brokerage Account (Cash)

N/A

$1,001 - $15,000

None (or less
than $201)

4.2

Allergan plc Ordinary Shares (AGN)

N/A

$15,001 $50,000

Dividends

INCOME
AMOUNT

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

4.3

AMC Networks Inc. - Class A Common Stock
(AMCX)

N/A

$1,001 - $15,000

None (or less
than $201)

4.4

Anadarko Petroleum Corporation (APC)

N/A

$15,001 $50,000

None (or less
than $201)

4.5

Autodesk, Inc. (ADSK)

N/A

$15,001 $50,000

None (or less
than $201)

4.6

Biogen Inc (BIIB)

N/A

$15,001 $50,000

None (or less
than $201)

4.7

Bioverativ Inc (BIVV)

N/A

$1,001 - $15,000

None (or less
than $201)

4.8

Broadcom Ltd (AVGO)

N/A

$1,001 - $15,000

4.9

Citrix Systems, Inc. (CTXS)

N/A

$1,001 - $15,000

4.10

Comcast Corporation (CMCSA)

N/A

$15,001 $50,000

4.11

Cree, Inc. (CREE)

N/A

$1,001 - $15,000

None (or less
than $201)

4.12

Discovery Communications Inc. (DISCA)

N/A

$1,001 - $15,000

None (or less
than $201)

4.13

Dolby Laboratories, Inc. (DLB)

N/A

$1,001 - $15,000

None (or less
than $201)

4.14

Fluor Corporation (NEW) (FLR)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

4.15

Freeport-McMoRan Inc (FCX)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

4.16

ImmunoGen, Inc. (IMGN)

N/A

$1,001 - $15,000

None (or less
than $201)

4.17

Ionis Pharmaceuticals Inc (IONS)

N/A

$1,001 - $15,000

None (or less
than $201)

4.18

Johnson Controls International plc Ordinary
Share (JCI)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

4.19

L3 Technologies Inc (LLL)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

Dividends

INCOME
AMOUNT

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

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

4.20

Liberty Broadband Corp S-A (LBRDA)

N/A

$1,001 - $15,000

None (or less
than $201)

4.21

Liberty Broadband Corp S-C (LBRDK)

N/A

$1,001 - $15,000

None (or less
than $201)

4.22

Liberty Interactive Corporation - Series A
Liberty Ventures (LVNTA)

N/A

$1,001 - $15,000

None (or less
than $201)

4.23

Liberty Interactive QVC Group (QVCA)

N/A

$1,001 - $15,000

None (or less
than $201)

4.24

Liberty Sirius XM Group A (LSXMA)

N/A

$1,001 - $15,000

None (or less
than $201)

4.25

Liberty Sirius XM Group C (LSXMK)

N/A

$1,001 - $15,000

None (or less
than $201)

4.26

Liberty Media Corporation - Series C Liberty
Formula One (FWONK)

N/A

$1,001 - $15,000

None (or less
than $201)

4.27

Lions Gate Entertainment Corp. (USA) B
(LGFB)

N/A

$1,001 - $15,000

None (or less
than $201)

4.28

LogMeIn Inc (LOGM)

N/A

$1,001 - $15,000

None (or less
than $201)

4.29

Medtronic (MDT)

N/A

$1,001 - $15,000

None (or less
than $201)

4.30

National-Oilwell Varco, Inc. (NOV)

N/A

$1,001 - $15,000

None (or less
than $201)

4.31

NOW Inc (DNOW)

N/A

$1,001 - $15,000

None (or less
than $201)

4.32

Nuance Communications Inc. (NUAN)

N/A

$1,001 - $15,000

None (or less
than $201)

4.33

Nucor Corporation (NUE)

N/A

$1,001 - $15,000

4.34

Pentair plc. Ordinary Share (PNR)

N/A

$1,001 - $15,000

4.35

Seagate Technology PLC (STX)

N/A

$15,001 $50,000

Dividends

INCOME
AMOUNT

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

Dividends

$1,001 - $2,500

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

4.36

TE Connectivity Ltd (TEL)

N/A

$15,001 $50,000

Dividends

$201 - $1,000

4.37

Twitter Inc (TWTR)

N/A

$15,001 $50,000

4.38

UnitedHealth Group Inc (UNH)

N/A

$15,001 $50,000

4.39

Vertex Pharmaceuticals Incorporated
(VRTX)

N/A

$15,001 $50,000

None (or less
than $201)

4.40

Weatherford International Plc (WFT)

N/A

$1,001 - $15,000

None (or less
than $201)

4.41

Western Digital Corp (WDC)

N/A

$1,001 - $15,000

5

Morgan Stanley Active Assets Account

No

5.1

U.S. Brokerage Account (Cash)

N/A

$1,001 - $15,000

None (or less
than $201)

5.2

FIRST TRUST FINANCIALS ALPHADEX FUND
(FXO)

Yes

$1,001 - $15,000

None (or less
than $201)

5.3

First Trust Large Cap GO Alpha Fnd (ETF)
(FTC)

Yes

$1,001 - $15,000

None (or less
than $201)

5.4

First Trust NASDAQ-100 Ex-Tech Sec (ETF)
(QQXT)

Yes

$1,001 - $15,000

None (or less
than $201)

5.5

FIRST TRUST NASDAQ-100-TECHNOLOGY
SECTOR INDEX FUND (QTEC)

Yes

$1,001 - $15,000

None (or less
than $201)

5.6

First Trust North American Energy
Infrastructure Fund (EMLP)

Yes

$1,001 - $15,000

None (or less
than $201)

5.7

ISHARES CURRENCY HEDGED MSCI EAFE ETF
(HEFA)

Yes

$1,001 - $15,000

$201 - $1,000

5.8

ISHARES CORE MSCI EMERGING MARKETS
ETF (IEMG)

Yes

$1,001 - $15,000

$201 - $1,000

5.9

iShares Edge MSCI Min Vol EAFE ETF (EFAV)

Yes

$15,001 $50,000

$201 - $1,000

5.10

ISHARES EDGE MSCI MIN VOL USA ETF
(USMV)

Yes

$15,001 $50,000

$201 - $1,000

None (or less
than $201)
Dividends

Dividends

$201 - $1,000

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

5.11

iShares Core S&P Mid Cap 400 ETF (IJH)

Yes

$1,001 - $15,000

$201 - $1,000

5.12

iShares S&P SmallCap 600 Index (ETF) (IJR)

Yes

$1,001 - $15,000

None (or less
than $201)

5.13

Vanguard Value ETF (VTV)

Yes

$1,001 - $15,000

$201 - $1,000

5.14

WISDOMTREE EUROPE HEDGED EQUITY
FUND (HEDJ)

Yes

$1,001 - $15,000

$201 - $1,000

5.15

AQR Managed Futures Strategy Fund Class I
(AQMIX)

Yes

$1,001 - $15,000

None (or less
than $201)

5.16

Federated Kaufmann Large Cap Fund
Institutional Shares (KLCIX)

Yes

$15,001 $50,000

None (or less
than $201)

5.17

Oakmark Fund Investor Class (OAKMX)

Yes

$1,001 - $15,000

$201 - $1,000

5.18

Virtus Vontobel Emerging Markets
Opportunities Fund Class I (HIEMX)

Yes

$1,001 - $15,000

None (or less
than $201)

6

Morgan Stanley Select UMA Basic Securities
Account

No

6.1

U.S. Brokerage Account (Cash)

N/A

$1,001 - $15,000

None (or less
than $201)

6.2

Ally Financial Inc (ALLY)

N/A

$1,001 - $15,000

None (or less
than $201)

6.3

American Equity Investment Life Holding
(AEL)

N/A

$1,001 - $15,000

None (or less
than $201)

6.4

Athene Holding Ltd (ATH)

N/A

$1,001 - $15,000

None (or less
than $201)

6.5

Atlas Air Worldwide Holdings, Inc. (AAWW)

N/A

$1,001 - $15,000

None (or less
than $201)

6.6

Bank of America Corp (BAC)

N/A

$1,001 - $15,000

None (or less
than $201)

6.7

Big Lots, Inc. (BIG)

N/A

$1,001 - $15,000

None (or less
than $201)

6.8

Biogen Inc (BIIB)

N/A

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

6.9

Centene Corp (CNC)

N/A

$1,001 - $15,000

None (or less
than $201)

6.10

Dicks Sporting Goods Inc (DKS)

N/A

$1,001 - $15,000

None (or less
than $201)

6.11

Gulfport Energy Corporation (GPOR)

N/A

$1,001 - $15,000

None (or less
than $201)

6.12

Hartford Financial Services Group Inc (HIG)

N/A

$1,001 - $15,000

None (or less
than $201)

6.13

Integrated Device Technology Inc (IDTI)

N/A

$1,001 - $15,000

None (or less
than $201)

6.14

International Paper Co (IP)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

6.15

JPMorgan Chase & Co. (JPM)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

6.16

Kinder Morgan Inc (KMI)

N/A

$1,001 - $15,000

Dividends

$201 - $1,000

6.17

Lannett Company, Inc. (LCI)

N/A

$1,001 - $15,000

None (or less
than $201)

6.18

Mellanox Technologies, Ltd. (MLNX)

N/A

$1,001 - $15,000

None (or less
than $201)

6.19

Metlife Inc (MET)

N/A

$1,001 - $15,000

6.20

Open Text Corp (OTEX)

N/A

$1,001 - $15,000

6.21

PBF Energy Inc (PBF)

N/A

$1,001 - $15,000

6.22

PulteGroup, Inc. (PHM)

N/A

$1,001 - $15,000

6.23

QUALCOMM, Inc. (QCOM)

N/A

$1,001 - $15,000

6.24

Skechers USA Inc (SKX)

N/A

$1,001 - $15,000

None (or less
than $201)

6.25

Skyworks Solutions Inc (SWKS)

N/A

$1,001 - $15,000

None (or less
than $201)

6.26

Southwestern Energy Company (SWN)

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
None (or less
than $201)

Dividends

$201 - $1,000

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

6.27

Synaptics, Incorporated (SYNA)

N/A

$1,001 - $15,000

None (or less
than $201)

6.28

Triumph Group Inc (TGI)

N/A

$1,001 - $15,000

None (or less
than $201)

6.29

United States Steel Corporation (X)

N/A

$1,001 - $15,000

None (or less
than $201)

6.30

VeriFone Systems Inc (PAY)

N/A

$1,001 - $15,000

None (or less
than $201)

6.31

Voya Financial Inc (VOYA)

N/A

$1,001 - $15,000

None (or less
than $201)

6.32

Whiting Petroleum Corp (WLL)

N/A

$1,001 - $15,000

None (or less
than $201)

6.33

Zimmer Biomet Holdings Inc (ZBH)

N/A

$1,001 - $15,000

None (or less
than $201)

6.34

Ingredion Inc (INGR)

N/A

$1,001 - $15,000

None (or less
than $201)

6.35

CVS Health Corp (CVS)

N/A

$1,001 - $15,000

None (or less
than $201)

6.36

Cypress Semiconductor Corporation (CY)

N/A

$1,001 - $15,000

None (or less
than $201)

6.37

ENSCO PLC Class A (ESV)

N/A

$1,001 - $15,000

None (or less
than $201)

6.38

Zebra Technologies Corp. - Class A (ZBRA)

N/A

$1,001 - $15,000

None (or less
than $201)

7

Morgan Stanley Portfolio Management Reserve Select

No

7.1

U.S. Brokerage Account (Cash)

N/A

$1,001 - $15,000

None (or less
than $201)

7.2

ISHARES MSCI NEW ZEALAND CAPPED ETF
(ENZL)

Yes

$15,001 $50,000

$201 - $1,000

7.3

ISHARES MSCI RUSSIA CAPPED ETF (ERUS)

Yes

$1,001 - $15,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

7.4

iShares MSCI Taiwan Index (ETF) (EWT)

Yes

$15,001 $50,000

$201 - $1,000

7.5

ISHARES MSCI BRAZIL CAPPED ETF (EWZ)

Yes

$15,001 $50,000

None (or less
than $201)

7.6

First Trust DJ Internet Index Fund (ETF)
(FDN)

Yes

$15,001 $50,000

$5,001 - $15,000

7.7

First Trust Nasdaq Bank ETF (FTXO)

Yes

$15,001 $50,000

$201 - $1,000

7.8

First Trust Ind/Prod AlphaDEX Fd (ETF) (FXR)

Yes

$15,001 $50,000

$1,001 - $2,500

7.9

First Trust Utilities AlphaDEX Fnd (ETF) (FXU)

Yes

$15,001 $50,000

$1,001 - $2,500

7.10

ISHARES DOW JONES U.S. ETF (IYY)

Yes

$15,001 $50,000

$1,001 - $2,500

7.11

FIRST TRUST NASDAQ-100-TECHNOLOGY
SECTOR INDEX FUND (QTEC)

Yes

$15,001 $50,000

$2,501 - $5,000

7.12

Vanguard Small-Cap Index Fund (VB)

Yes

$15,001 $50,000

$5,001 - $15,000

7.13

VANGUARD SMALL CAP GROWTH ETF (VBK)

Yes

$15,001 $50,000

$5,001 - $15,000

7.14

Vanguard Mid-Cap Value ETF (VOE)

Yes

$15,001 $50,000

$5,001 - $15,000

7.15

Vanguard Extended Market ETF (VXF)

Yes

$15,001 $50,000

$2,501 - $5,000

8

Morgan Stanley Brokerage Account

No

8.1

U.S. bank account #1 (cash)

N/A

$15,001 $50,000

None (or less
than $201)

8.2

Lincoln National Corporation Life Insurance
- Variable Annuity

No

8.2.1

American Funds - Growth Fund - Class 2

Yes

$15,001 $50,000

None (or less
than $201)

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

8.2.2

American Funds - International Fund - Class
2

Yes

$1,001 - $15,000

None (or less
than $201)

8.2.3

American Funds - Global Growth Fund Class 2

Yes

$15,001 $50,000

None (or less
than $201)

8.2.4

American Funds - Asset Allocation Fund Class 2

Yes

$15,001 $50,000

None (or less
than $201)

8.3

Dominion Energy Inc (D)

N/A

$15,001 $50,000

9

U.S. bank account #2 (cash)

N/A

$1,001 - $15,000

Dividends

INCOME
AMOUNT

$1,001 - $2,500
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

Wells Fargo

Mortgage on
Personal
Residence

$50,001 $100,000

2001

4.125

30 years/fixed

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

 Endnotes
PART

#

ENDNOTE

2.

3.2

2,661 stock options awarded January 26, 2012. Grant price $36.14. Expiration date January 26, 2022.
2,278 stock options awarded February 23, 2011. Grant price $48.61. Expiration date February 23, 2021.
1,715 stock options awarded February 16, 2010. Grant price $50.50. Expiration date February 16, 2020.
2,304 stock options awarded February 17, 2009. Grant price $27.90. Expiration date February 17, 2019.
1,129 stock options awarded February 19, 2008. Grant price $78.65. Expiration date February 19, 2018.

 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).