UNITED STATES OFFICE OF GOVERNMENT ETHICS ---- * -----------------------June 20, 2018 VIA ELECTRONIC MAIL ONLY Austin R. Evers foia@americanoversight.org Tracking No: OGE FOIA FY 17/237 Dear Mr. Evers: This is in response to your Freedom of Information Act (FOIA) request, which was received by the U.S. Office of Government Ethics (OGE) FOIA Office on March 9, 2017. In your request, you asked for: 1. Records containing or reflecting communications between OGE and individuals nominated, or anticipated to be nominated, by President Trump for Senate-confirmed positions in the federal government, including communications with attorneys or agents acting on behalf of such nominees or prospective nominees, as well as members of the Trump administration, the Trump transition team, or the Trump campaign about such nominees or prospective nominees. 2. Records containing or reflecting communications between OGE and individuals appointed, or anticipated to be appointed, by President Trump for positions in the Executive Office of the President in the White House, including communications with attorneys or agents acting on behalf of such appointees or prospective appointees, as well as members of the Trump administration, the Trump transition team, or the Trump campaign about such appointees or prospective appointees. After clarification, you limited this request to exclude nomination notification emails, preclearance notification emails, and report transmittal emails. You also limited the request to a list of 17 White House appointees and 35 Presidential nominees subject to Senate Confirmation. Because the responsive records are voluminous, we are providing you with a rolling response. Please find enclosed a ninth response. This set of documents contains records related to Environmental Protection Agency, Department of Health and Human Services, Small Business Administration and Department of the Treasury. In this batch, please find 239 pages subject to deletions made in accordance with FOIA Exemption 3, 5 U.S.C. § 552(b)(3) as material specifically exempted from disclosure by another statute; FOIA Exemption 4, 5 U.S.C. § 552(b)(4), as commercial or financial information obtained from a person and privileged or confidential; FOIA Exemption 5, 5 U.S.C. § 552(b)(5), as inter- and intra-agency pre-decisional deliberative process material; and FOIA Exemption 6, 5 U.S.C. § 552(b)(6), as information the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. The __ V_E_R_S_I_ G_H_T__________ 120 1 NEW YORK AVE NW·SUI'fE S00 ·WASHINGTON DC·20005 * * * * Austin R. Evers Page 2 deletions are each marked with a reference “(b)(3),” “(b)(4),” “(b)(5),” or “(b)(6)” in the enclosed copies. We are withholding approximately 115 pages in their entirety under FOIA Exemption 3, 5 U.S.C. § 552(b)(3) as material specifically exempted from disclosure by another statute, FOIA Exemption 4, 5 U.S.C. § 552(b)(4) as trade secrets and commercial or financial information obtained from a person and privileged or confidential, FOIA Exemption 5, 5 U.S.C. § 552(b)(5) as inter- & intra-agency predecisional deliberative process material, and FOIA Exemption 6, 5 U.S.C. § 552(b)(6) as information the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. The withheld pages are attachments to emails provided in the 239page release and are identified in that release. OGE located additional responsive records that originated with the Environmental Protection Agency (EPA), Department of Health and Human Services (HHS), Small Business Administration (SBA) and Department of the Treasury (TREAS). We are sending these responsive records, along with a copy of your request, to the agencies mentioned above. The FOIA Requester Service Center phone numbers are, respectively: (215) 814-3424, (202) 6907453, (202) 401-8203 and (202) 622-0930. We are asking the agencies to review the material and respond directly to you. The referred records are identified in the set of responsive documents provided to you. Please note there are special access provisions for the following types of records: A\11 f • Public financial disclosure reports are not available under the FOIA, pursuant to FOIA Exemption 3, 5 U.S.C. § 552(b)(3) as material specifically exempted from disclosure by another statute. Instead, the Ethics in Government Act (5 U.S.C. app. § 105) and OGE regulations provide for a special access provision for public financial disclosure reports. You may use OGE’s online system to access these reports. Most of the reports you seek (i.e. nominees who occupy positions for which the pay is set at Levels 1 and 2 of the Executive Schedule) are posted on our website here. Any other reports certified by OGE are available here. • Ethics agreements are available online at the same location as the public financial disclosure reports. • OGE regulations provide for a special access provision for Certificates of Divestiture (CDs). OGE has created an automated tool to request copies of the CDs, available on OGE’s website here. • 18 U.S.C. § 208 provides for a special access provision for conflict of interest waivers. You may use the fill and print PDF version of the OGE Form 201 to request copies of 18 U.S.C. § 208(b)(1) waivers from the employee’s home agency. • Ethics pledge waivers under Executive Order 13770 are available here. C,/\N pVERSIGHT Austin R. Evers Page 3 Because of the special access provisions for obtaining financial disclosure reports, ethics agreements, CDs, and conflict of interest waivers, and ethics pledge waivers, we are not processing these records under the FOIA. If you have any questions or wish to discuss any aspect of your request, you may contact me by telephone at 202-482-9267. As OGE’s FOIA Public Liaison, I am available for assisting in reducing delays, increasing transparency and understanding of the status of requests, and assisting in the resolution of disputes. Additionally, you may contact the Office of Government Information Services (OGIS) at the National Archives and Records Administration to inquire about the FOIA mediation services they offer. The contact information for OGIS is as follows: Office of Government Information Services, National Archives and Records Administration, 8601 Adelphi Road-OGIS, College Park, Maryland 20740-6001, e-mail at ogis@nara.gov; telephone at 202-741-5770; toll free at 1-877-684-6448; or facsimile at 202-741-5769. The OGE official responsible for this FOIA determination is the undersigned. In accordance with the FOIA, as codified at 5 U.S.C. § 552(a)(6)(A), and OGE’s updated FOIA regulations, at 5 C.F.R. § 2604.304, you may administratively appeal this determination to the Program Counsel, U.S. Office of Government Ethics, 1201 New York Avenue, N.W., Suite 500, Washington, DC 20005-3917. Any such appeal must be in writing and must be sent within 90 days of the date you receive this response letter. If you do appeal, you should include copies of your request and this response, together with a statement of why you believe this initial determination is in error. Also, if you appeal, you should clearly indicate on the envelope and in the letter that it is a “Freedom of Information Act Appeal.” Sincerely, Rachel K. Dowell OGE FOIA Officer Attachment AMERICAN PVERSIGHT Referral to SBA From: Rachel K. Dowell [mailto:rkdowell@oge.gov] Sent: Thursday, December 15, 2016 2:54 PM To: McIntyre-Barnes, Marilyn E. Subject: FW: Nominee Report From: Rachel K. Dowell Sent: Thursday, December 15, 2016 2:52 PM To: (b)(6) - Marilyn Barnes's email address Cc: (b)(6) - Robert Ganwere's email address '; Teresa L. Williamson Subject: Nominee Report No attachment found in search Hi Marilyn, My initial questions/edits are included below (I’m also attaching examples of what to report and where, which may help in confirming that the report captures all reportable items). Let me know if you’d like to discuss any of these comments. As for the conflicts analysis, let’s set up a time to discuss after you’ve had a chance to review. A couple of administrative items: In case I’m ever out of the office during this review process, my backup is Patrick Lightfoot, 202-482-9271. Also, if you are having any issues on your end (e.g., responsiveness of filer, complicated conflicts analysis, complex assets, etc.), please let me know ASAP so that I can set expectations with the Transition Team and help keep this report moving. Thanks! Rachel -Rachel K. Dowell Assistant Counsel Office of Government Ethics General Counsel & Legal Policy Division Ethics Law and Policy Branch (202) 482-9267 Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics (b) (5) VERSIGHT OGE-17-0005-J-000001 (b)(3), (5), (6) OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000004 From: To: Cc: Subject: Date: Deborah J. Bortot (b)(6) - Robert Gangwere's email address Rachel K. Dowell Linda McMahon Wednesday, December 28, 2016 3:58:14 PM Robert,   Rachel Dowell provided comments on this report 12/15/16.  None of the comments have been addressed in Integrity.  As you know, this report is a top priority.  Is there anything we can do to move this report along?    Thanks, Deb   Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9227 Facsimile: (202) 482-9237 VERSIGHT OGE-17-0005-J-000005 From: To : Subject : EmoryA. Rounds III Date : Friday, December 30, 2016 10:43:56 AM Rachel K. Dowell FW:POCfor McMahon FYI. . . From: Cooper Smith Sent: Friday, Decem r 30, 2016 10:43 AM To: EmoryA. RoundsIII Subject: POCfor McMahon HeyEm01yTo contact Ms. McMa hon, first try her that you can call her as sistant Doillla at , an d if she doesn't answe r Coop OGE-17-0005-J-000006 Referral to SBA From: Patrick J. Lightfoot [mailto:pjlightf@oge.gov] Sent: Tuesday, January 03, 2017 3:39 PM To: Gangwere, Robert L. Cc: Rachel K. Dowell Subject: RE: McMahon 278e Robert, Below are the links to the two legal advisories we have re: (b) (5)       I will update Rachel on the other aspects of the call first thing tomorrow morning.  Thanks!   --Patrick     Referral to SBA From: Patrick J. Lightfoot [mailto:pjlightf@oge.gov] Sent: Tuesday, January 03, 2017 10:54 AM To: Gangwere, Robert L. Cc: Sandra S. Mabry; Rachel K. Dowell Subject: RE: McMahon 278e VERSIGHT OGE-17-0005-J-000008 Hi Robert,   I’m Rachel’s backup for nominee reports while she is out of the office today.  Sandy Mabry and I would like to participate in the call this afternoon to help expedite things.  What time were you planning to touch base with Ms. McMahon?    Sincerely,   -Patrick J. Lightfoot Assistant Counsel, Ethics Law & Policy Branch General Counsel & Legal Policy Division   U.S. Office of Government Ethics 1201 New York Ave NW, Suite 500 Washington, DC 20005 Telephone: (202) 482-9271   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics     Referral to SBA   From: Rachel K. Dowell [mailto:rkdowell@oge.gov] Sent: Friday, December 30, 2016 9:46 AM To: Gangwere, Robert L. Subject: FW: POC for McMahon Here you go! Let me know once you have made contact/sent questions over to either her or whoever she identifies as her representative.     Rest of chain mentioned above OGE-17-0005-J-000009 Referral to SBA From: Lattner, Paul H. Sent: Friday, January 06, 2017 1:07 PM To: Gangwere, Robert L. Cc: McIntyre-Barnes, Marilyn E. Subject: RE: 278e -- Final questions and corrections (b) (6) 4 page attachment wi hheld in full - (b)(3), (4), (5), (6)   Robert,   Attached are responses to yesterday’s questions, see text in italics.   K&L GATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA 15222-2613 (b) (6) D (b) (6) F 412-355-6501   Referral to SBA OGE-17-0005-J-000011 From: To: Subject: Date: Attachments: Rachel K. Dowell "Gangwere, Robert L."; Sundberg, Susan L.; McIntyre-Barnes, Marilyn E. RE: Add"l questions Tuesday, January 10, 2017 10:55:35 AM Draft EA - McMahon - 1.10.17.docx 3 page attachment withheld in full - (b)(3), (4), (5), (6) Hi all,   Please find attached my edits to the Ethics Agreement (EA) based on the most recent version of the 278. It has not been cleared yet, so please do not share this draft with the nominee. Please provide me with any edits or corrections you have to the EA, and I will move that forward for clearance.   With regard to the 278 (and related issues that I need for my notes), I think we are very close! Here are my pending questions/edits. Please let me know when the form has been updated and send back answers as soon as possible.   (b)(3), (5), (6) OGE-17-0005-J-000013 Thanks! Rachel Rachel K. Dowell Assistant Counsel Office of Government Ethics General Counsel & Legal Policy Division Ethics Law and Policy Branch (202) 482-9267   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   Referral to SBA VERSIGHT OGE-17-0005-J-000015 Referral to SBA From: Lattner, Paul H. Sent: Friday, January 06, 2017 4:19 PM To: Gangwere, Robert L. Subject: re: Add'l questions (b) (6)   Robert, (b)(3), (4), (5), (6)   iK&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA 15222-2613 (b) (6) D (b) (6) F 412-355-6501   This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only.  If you are not an intended addressee, note that any disclosure, copying, distribution, or use of the contents of this message is prohibited. If you have received this e-mail in (b) (6) error, please contact me at VERSIGHT OGE-17-0005-J-000016 From: To: Cc: Subj ect : Date: Lattner, Paul H. Rachel K. Dowell Sundberg, Susan L.; McIntyre-Barnes, Marilyn E.; Gangwere, Robert L. RE: Add"Iquestions Tuesday, January 10, 2017 2:24:58 PM Rachel, I've made the requested chan ges to Fon n 278. K&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth A venue Pittsbm oh PA 15222-2613 OGE-17-0005-J-000017 From: Lattner. Paul H. To: Subject : Rachel K. Dowell RE: Update Date: Thursday, January 12, 201 7 12:48:4 1 PM Rachel , K&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 2 10 Sixth A venue Pittsbur h, PA 15222-2613 From: Rachel K.Dowell[ mailto:rkdowe ll@oge.gov ] Sent: Thur sday, Januaiy 12, 20 17 11 :04 AM To: Latt ner, Paul H . Subject: RE: Update From: Lattner , Paul H. Sent: Thur sday, Januaiy M pVERSIGHT OGE-17-0005-J-000018 To: Rachel K. Dowell; Sundberg, Susan L.; McIntyre-Barnes,Marilyn E. Cc: Gangwere, Robert L. Subject: RE: Update To all, Per our discussion yesterday, I've made the following changes to Form 278: K&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsbur h, PA 15222-2613 This electronic message contains information from the law film ofK& L Gates LLP. Tue contents may be piivileged and confidential and are intended for the use of the intended addressee(s) only. If you are not an intended addressee, note that any disclosure, copying, distiibution, or use of the contents of this ~ ou have received this e-mail in en or, please contact me at -----4 OGE-17-0005-J-000019 From: To: l; McIntyre -Barnes Marilyn E. Cc: Subject: Date: Thursday, January 12, 2017 1:31 :43 PM K&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth A venue Pittsbm h PA 15222-2613 This electronic message contains infonnation from the law furn ofK&L Gates LLP. The contents may be privileged and confidentia l and are intended for the use of the intended addressee(s) only . If you are not an intended addressee , note that any disclosme , copying, distributi on, or use of the contents of this messa e is rohibited. If you have received this email in eITor, please contact me a OGE-17-0005-J-000020 From: To: Subject: Date: Mooney, Scott E. Rachel K. Dowell RE: mcmahon letter Thursday, January 12, 2017 3:55:48 PM You’re welcome.  Thank you for the quick response.  We’ll send to Linda’s assistant, Donna Letizia, right away.   We will request that Donna email a pdf of the signed letter to you as soon as the letter is signed.  We understand that they will be able to sign today, but we don’t know when.   iK&LGATES Scott E. Mooney K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA  15222 Phone: (b) (6) Fax: 412-355-6501 (b) (6) www.klgates.com   From: Rachel K. Dowell [mailto:rkdowell@oge.gov] Sent: Thursday, January 12, 2017 3:53 PM To: Mooney, Scott E. Subject: RE: mcmahon letter   Thank you! That’s exactly what we were looking for. You can send for signature.   VERSIGHT OGE-17-0005-J-000021 From: Mooney, Scott E. Sent: Thursday, January 12, 2017 3:06 PM To: Rachel K. Dowell Subject: RE: mcmahon letter (b) (6)   Hello, Rachel. 1 page attachment withheld in full - (b)(3), (4), (5), (6)   Attached is your requested draft letter from the McMahons re   Please let me know if you’d like to discuss further or when I should send to the McMahons for signature. (b)(3), (6)   iK&LGATES Scott E. Mooney K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA  15222 Phone: (b) (6) Fax: 412-355-6501 (b) (6) www.klgates.com   From: Rachel K. Dowell [mailto:rkdowell@oge.gov] Sent: Thursday, January 12, 2017 1:43 PM To: Mooney, Scott E. Subject: RE: mcmahon letter   Hi Scott,   VERSIGHT OGE-17-0005-J-000022 . (b)(3), (5), (6)   Thanks! Rachel     -Rachel K. Dowell Assistant Counsel Office of Government Ethics General Counsel & Legal Policy Division Ethics Law and Policy Branch (202) 482-9267   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics       From: Mooney, Scott E. Sent: Thursday, January 12, 2017 1:41 PM To: Rachel K. Dowell Subject: mcmahon letter (b) (6)   Rachel,   We are proceeding with the draft letter that you requested.  Could you confirm that it should (b)(3), (5), (6) ?   VERSIGHT OGE-17-0005-J-000023 K&LGA TES Scott E. Mooney K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA  15222 Phone: (b) (6) Fax: 412-355-6501 (b) (6) www.klgates.com     This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only.  If you are not an intended addressee, note that any disclosure, copying, distribution, or use of the contents of this message is prohibited. If you have received this e(b) (6) mail in error, please contact me at -4 OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email.   This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only.  If you are not an intended addressee, note that any disclosure, copying, VERSIGHT OGE-17-0005-J-000024 From: To: Subject: Date: Mooney, Scott E. Rachel K. Dowell status of letter Thursday, January 12, 2017 4:45:49 PM Hello, again.   I just received word that it is likely that you will not be receiving a copy of the signed letter until tomorrow morning (due to Linda’s schedule of meetings tonight).  (b)(3), (6)   Do you have any sense for how long it will take for OGE to circulate the conflicts letter for (b)(3), (6) Linda’s signature once you receive a copy of the signed letter?   K&LGA TES Scott E. Mooney K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsburgh, PA  15222 Phone: (b) (6) Fax: 412-355-6501 (b) (6) www.klgates.com   This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only.  If you are not an intended addressee, note that any disclosure, copying, distribution, or use of the contents of this message is prohibited. If you have received this e(b) (6) mail in error, please contact me at . VERSIGHT OGE-17-0005-J-000025 From: To: Cc: Subject: Date: Attachments: Donna Letizia "McDevitt, Jerry"; Rachel K. Dowell PAUL LATTNER; "Mooney, Scott E." Linda E. McMahon (b)(3), (6) Thursday, January 12, 2017 7:23:20 PM Linda McMahon.pdf Vincent McMahon.pdf ; Linda E. McMahon (b)(3), (6) 2 page attachment withheld in full - (b)(3), (4), (5), (6) As requested, the attached letters are signed by Linda and Vincent McMahon. VERSIGHT OGE-17-0005-J-000026 From: To : Subj ect : Date: Lattner, Paul H. Rachel K. Dowell re: Q2 Friday, Ja nuary 13, 20 17 1:23 :36 PM Rachel, K&LGATES Paul H. Lattner Tax Man ager K&L Gates LLP K&L Gates Center 210 Sixth Avenue Pittsbm h PA 15222-2613 This electronic message contains infon nation from the law furn ofK&L Gates LLP. The contents may be privileged and confidential an d are intended for the use of the intended addressee(s) only. If you are not an intended addressee , note that any disclosme, copying, distribution, or use of the contents of this messa e is rohibited. If you have received this email in enor , please contact me at OGE-17-0005-J-000027 From: To : Cc: Subj ect : Date: Lattner, Paul H. Rachel K. Dowell Mooney,Scott E. re: Friday, Ja nuary 13, 20 17 2:54 :17 PM Rachel, iiiiiiiii ~sition in Prut 1, Line 6 fo K&LGATES Paul H. Lattner Tax Manager K&L Gates LLP K&L Gates Center 210 Sixth A venue Pittsbur h PA 15222-26 13 This electronic message contains info1m ation from the law fnm ofK &L Gates LLP . The contents may be privileged and confidentia l an d ru·e intended for the use of the intended addressee(s) only . If you are not an intended addressee , note that any disclosure, copying, distribution, or use of the contents of this messa rohibited. If you have received this email in eno r, please contact me at OGE-17-0005-J-000028 From: To: Subject: Date: Attachments: Rachel K. Dowell Deborah J. Bortot; Heather A. Jones FW: EA and follow-up questions Friday, January 13, 2017 8:27:22 PM EA for preclearance (McMahon, 1.13.17).docx Notes for preclearance (McMahon, 1.13.17).docx Linda McMahon.pdf Vincent McMahon.pdf 12 page attachment withheld in full - (b)(3), (4), (5), (6) Hi Deb & Heather,   All follow-up edits to Ms. McMahon’s report have now been made in Integrity. EA, notes, and letters to the are attached (hard copies with the folder). Please let me know if you need anything else. I am out on Tuesday but will be checking my email and my phone will forward to my cell.   Thanks! Rachel   (b)(3), (6) From: Shum, Kitty Sent: Friday, January 13, 2017 6:07 PM To: Rachel K. Dowell (b) (6) Cc: Paul H. Lattner (b) (6) ; (b)(6) - Robert Gangwere's email address (b)(6) - Susan Sundberg's email address (b)(6) - Marilyne Barne's email address Subject: RE: EA and follow-up questions Rachel, As per our conversations today, please note that the following have been amended/corrected as requested. Item # 2- information requested has been added. Item # 3- After your clarification, we have made the necessary adjustments for previous entries. (b)(3), (5), (6) Please let me know if you have any further questions or concerns. If you need to reach me, please contact my personal cell phone at (b) (6) Regards, Kitty Shum VERSIGHT OGE-17-0005-J-000029 Sr. Reg’d Service Associate Morgan Stanley Wealth Management 1290 Avenue of the Americas New York, NY 10104 (b) (6) Phone: Fax: 212-705-4556 From: Rachel K. Dowell [mailto:rkdowell@oge.gov] Sent: Thursday, January 12, 2017 5:54 PM To: 'Gangwere, Robert L.'; Sundberg, Susan L.; McIntyre-Barnes, Marilyn E. Cc: Mooney, Scott E.; Lattner, Paul H. Subject: EA and follow-up questions Hi everyone, At this point, we can share the Ethics Agreement with Ms. McMahon, but she should not sign it yet and it is subject to change once our Director reviews it (hopefully tomorrow, pending the answers of a few follow-up questions below). Ms. McMahon is also expected to sign the (b)(3), (6) attached statement shortly re: . Upon review, we had a few very minor follow-up questions/edits that can hopefully be addressed tomorrow morning: (b)(3), (5), (6) Once I have answers to the follow-up questions, I will continue moving this report forward. Thanks all! Rachel VERSIGHT OGE-17-0005-J-000030 -Rachel K. Dowell Assistant Counsel Office of Government Ethics General Counsel & Legal Policy Division Ethics Law and Policy Branch (202) 482-9267 Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only. If you are not an intended addressee, note that any disclosure, copying, distribution, or use of the contents of this message is prohibited. If you have received this email in error, please contact me at .-4 (b) (6) NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be, and do not constitute, advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error, please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right, to the extent permitted under applicable law, to monitor electronic communications. This message is subject to terms available at the following link: http://www.morganstanley.com/disclaimers If you cannot access these links, please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley. VERSIGHT OGE-17-0005-J-000031 From: To: Cc: Subject: Date: Deborah J. Bortot Heather A. Jones; (b)(6) - Susan Sundberg;s email address (b)(6) - Marilyne Barnes's email address Rachel K. Dowell; David J. Apol RE: McMahon - Can someone give me a call about a conflicts question? Saturday, January 14, 2017 1:02:13 PM "(b)(6) - Robert Gangwere's email address Robert, Susan, Marilyne, (b)(3), (5), (6)   Thanks, Deb   From: Heather A. Jones Sent: Saturday, January 14, 2017 11:03 AM (b)(6) - Susan Sundberg's email address (b)(6) - Marilyne Barnes's email address (b)(6) - Robert Gangwere's email address To: ;' Cc: Deborah J. Bortot; Rachel K. Dowell Subject: McMahon - Can someone give me a call about a conflicts question? (b)(3), (5), (6)   I have a question about one of the assets that was added yesterday.  You can reach me at (b) (6) .   Also I have the following notes on the report, all on Part 6: VERSIGHT OGE-17-0005-J-000032 (b)(3), (6) Please let me know if you have any questions.   Thanks, Heather   Heather Jones (202) 482-9316 Office of Government Ethics   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   VERSIGHT OGE-17-0005-J-000033 From: To: Subject: Date: Emory A. Rounds III "James Carroll" RE: McMahon Monday, January 16, 2017 1:38:06 PM Rachel Dowell @ 202-482-9267, but if she is not in today – the holiday – maybe Deb Bortot @ 202482-9227 . . .   From: James Carroll Sent: Monday, January 16, 2017 1:36 PM To: Emory A. Rounds III Subject: McMahon (b) (6)   Do you know who is her OGE contact?  They are trying to reach him/her VERSIGHT OGE-17-0005-J-000034 From: To: Subject: RE: McMahon - A couple of questio ns Date: Monday, January 16, 2017 3 :52:35 PM Rachel, I reviewed the changes and they are cone ct. K&LGATES Paul H. Lattn er Tax Man ager K&L Gates LLP K&L Gates Center 2 10 Sixth A venue Pittsbm h PA 15222-2613 From: Rachel K.D owell[mailt o :rkdow ell@oge.gov] Sent: Monday, Januaiy 16, 2017 3:30 PM To: Heather A. Jones· Deborah J. Bortot Lattner Paul H .; 'Shum Kit ,. Subject: FW: McMahon - A couple of questions Hi eve1yo ne , Please see the answers in red below. I made the chan ges in Integrity per Paul 's insttu ctions, and he is oin to confnm b re 1 in to this email that m cone ctions are con ect. Thanks , M pVERSIGHT OGE-17-0005-J-000035 Rachel From: Heather A . Jones Sent: Sund a To: Cc: Debora h J. Bo1tot ; Rachel K. Dowe ll Subject: McM ahon - A couple of questions Hell o- The notes on the rep o1t all relate to Pait 6. OGE-17-0005-J-000036 (b)(3), (5), (6) Please let me know if you have any questions and thanks so much for your assistance, Heather Heather Jones VERSIGHT OGE-17-0005-J-000037 Senior Counsel U.S. Office of Government Ethics (202) 482-9316 Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. This electronic message contains information from the law firm of K&L Gates LLP. The contents may be privileged and confidential and are intended for the use of the intended addressee(s) only. If you are not an intended addressee, note that any disclosure, copying, distribution, or use of the contents of this message is prohibited. If you have received this email in error, please contact me at . (b) (6) VERSIGHT OGE-17-0005-J-000038 From: To: Cc: Heather A. Jones "Ann M Donaldson" Deborah J. Bortot; David J. Apol; Director of OGE; Sandra S. Mabry; Rodrick T. Johnson; Teresa L. Williamson; - Robert Gangwere's email (b)(6) - Susan Sunberg's email address Emory A. Rounds III; Rachel K. Dowell (b)(6) address (b)(6) - Marilyne Barnes's email address Subject: Date: Attachments: Preclearance: Linda McMahon Monday, January 16, 2017 5:12:01 PM Revised final ethics agreement.docx 2 page attachment withheld in full - (b)(3), (4), (5), (6) Annie, Linda McMahon is precleared.  I have attached the ethics agreement.   Thanks! Heather     Heather Jones (202) 482-9316 Office of Government Ethics   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   VERSIGHT OGE-17-0005-J-000039 From: To: Subject: Date: Rachel K. Dowell Heather A. Jones RE: Preclearance: Linda McMahon Monday, January 16, 2017 5:25:55 PM Can you give me a call when you have a chance? (b) (6)   . Thanks! From: Heather A. Jones Sent: Monday, January 16, 2017 5:12 PM To: 'Ann M Donaldson' Cc: Deborah J. Bortot; David J. Apol; Director of OGE; Sandra S. Mabry; Rodrick T. Johnson; Teresa L. (b)(6) - Robert Gangwere's email address Williamson; Emory A. Rounds III; Rachel K. Dowell; ; (b)(6) - Susan Sundberg's email address (b)(6) - Marilyne Barnes's email address Subject: Preclearance: Linda McMahon 2 page attachment withheld in full - (b)(3), (4), (5), (6)   Annie, Linda McMahon is precleared.  I have attached the ethics agreement.   Thanks! Heather     Heather Jones (202) 482-9316 Office of Government Ethics   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   VERSIGHT OGE-17-0005-J-000040 From: To: Subject: Date: Attachments: Deborah J. Bortot (b)(6) - Robert Gangwere's email address McMahon Ethics Agreement Monday, January 16, 2017 6:49:06 PM Revised final ethics agreement.docx 2 page attachment withheld in full - (b)(3), (4), (5), (6) See attached VERSIGHT OGE-17-0005-J-000041 From: To: Subject: Date: Director of OGE Rachel K. Dowell; Director of OGE; Deborah J. Bortot; David J. Apol; Heather A. Jones RE: need some action from nominee Monday, January 16, 2017 8:15:25 PM Just tell her to have it to us any time tonight or early tomorrow morning. We’ll send it to the Senate by 10:00 a.m. There’s no over there anyway.   Walter M. Shaub, Jr. Director U.S. Office of Government Ethics 1201 New York Avenue, NW, Suite 500 Washington, DC 20005-3917   Telephone: 202.482.9292 Email: walter.shaub@oge.gov   From: Rachel K. Dowell Sent: Monday, January 16, 2017 7:31 PM To: Director of OGE; Deborah J. Bortot; David J. Apol; Heather A. Jones Subject: RE: need some action from nominee   The nominee’s personal assistant is trying to get ahold of the nominee but has not made contact yet. She is asking when the cut-off point is for us to send the documents over tonight – what should I tell her?   From: Rachel K. Dowell Sent: Monday, January 16, 2017 7:08 PM To: Director of OGE; Deborah J. Bortot; David J. Apol Subject: RE: need some action from nominee   Sent the EA to filer and her assistant; assistant is heading back into the office to make sure this gets signed right away and to wait for the green light to submit in Integrity.  I will send the signed EA as soon as I have it.   From: Director of OGE Sent: Monday, January 16, 2017 7:01 PM To: Rachel K. Dowell; Director of OGE; Deborah J. Bortot; David J. Apol Subject: RE: need some action from nominee   Looping in Dave       From: Rachel K. Dowell Sent: Monday, January 16, 2017 6:54 PM To: Director of OGE; Deborah J. Bortot Subject: RE: need some action from nominee   Yes, calling her personal assistant now. AMf--f CAN pVERSIGHT OGE-17-0005-J-000042   From: Director of OGE Sent: Monday, January 16, 2017 6:52 PM To: Rachel K. Dowell; Deborah J. Bortot; Director of OGE Subject: need some action from nominee No attachment found in search   Rachel, I have spoken to Robert Gangwere. He’s heading into his office now.   Can you contact the nominee’s representatives and have them ask her to sign the ethics agreement and email a scanned copy ASAP. We need it right away if we’re going to get this to the Senate tonight. A clean copy is attached. (Also, ask them to give you an estimate on how long it will take to get the signed EA back to us.)   (But tell them not to have her sign the 278 in Integrity until we let them know we have the green light from PTT.) Thanks   VERSIGHT OGE-17-0005-J-000043 From: To: Subject: Date: Deborah J. Bortot Teresa L. Williamson; Gangwere, Robert L.; Sandra S. Mabry; Heather A. Jones; Rachel K. Dowell Fw: Mrs. Linda McMahon Tuesday, January 17, 2017 6:56:05 AM Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Ann M Donaldson Sent: Monday, January 16, 2017 11:11 PM To: Deborah J. Bortot; Heather A. Jones Subject: Mrs. Linda McMahon (b) (6) On behalf of the President-Elect, this email serves as confirmation that the President-Elect intends to nominate Mrs. Linda McMahon to be Administrator of the Small Business Administration. Please transmit herpre-cleared 278 report to the appropriate Senate committee. Ann M. Donaldson Associate JONES DAY® - One Firm Worldwide℠ 51 Louisiana Avenue, NW Washington, DC 20001 (b) (6) Office +1. - ========== This e-mail (including any attachments) may contain information that is private, confidential, or protected by attorney-client or other privilege.  If you received this e-mail in error, please delete it from your system without copying it and notify sender by reply e-mail, so that our records can be corrected. ========== VERSIGHT OGE-17-0005-J-000044 From: To: Subject: Date: Deborah J. Bortot Rachel K. Dowell; Teresa L. Williamson; (b)(6) - Robert Gangwere's email address RE: Ethics Agreement - McMahon Tuesday, January 17, 2017 8:32:02 AM Thanks   From: Rachel K. Dowell Sent: Tuesday, January 17, 2017 8:26 AM (b)(6) - Robert Gangwere's email address To: Teresa L. Williamson; Deborah J. Bortot; Subject: Ethics Agreement - McMahon Importance: High Attachment released below Signed ethics agreement attached. I have reached out to the filer/her rep to submit in Integrity.   Robert: Once she submits, please certify and send us your signed transmittal letter. VERSIGHT OGE-17-0005-J-000045 Cc: Subject: Donna Letizia Rachel K. Dowell Linda McMahon; RE: Ethics Ag reement for Senate Transmittal Date: Tuesday, January 17, 2017 8:41:33 AM From: To: Final version submi tted. From: Rachel K.D owell[mailt o:rkdowell@oge.gov] Sent: Tuesday, Januai 17 2017 8:22 AM To: 'Donna Letizia' Cc: Lin da McMahon Subject: RE : Ethics Agreement Thank you! At this point, Ms. McMa hon may now submi t the final version of the OGE 287e in Integrity. From: Donna Letizi Sent: Tuesday , Janua1y 17, 2017 8:01 AM To: Rachel K. Dowell Cc: Linda McMahon Subject: RE : Ethics Agreement for Senate Transmittal Importance: High Hi Kimb erly, As requested, attached is the signed Ethics Agreement. Please advise when to submit the final version of the OGE 278e. Thank you, Donna From: Rachel K.D owell[ mailto:rkdowell@oge.gov ] Sent: Monday, Januaiy 16, 2017 7:09 PM M pVERSIGHT OGE-17-0005-J-000046 Hi Donna - Please let me kn ow once you have a sense of timing for signat ure. Also, as soon as we get the go -ahead from the tran sition team , I will ale1t you to submi t a final version of the OGE 278e , pub lic finan cial disclosur e repo1t. Thanks again! cs Agreeme nt or Senate Tran smittal Good evenin g, Please sign the attached ethics agreement and email a scanned copy back to me as soon as possible. If you have any questio ns, ple ase feel free to contact me at Thank you in advan ce, Rachel Dowe ll Rachel K. Dowell Ass istant Counsel Office of Government Ethics OGE-17-0005-J-000047 General Counsel & Legal Policy Division Ethics Law and Policy Branch (202) 482-9267   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. AMf--f CAN pVERSIGHT OGE-17-0005-J-000048 From: To: Subject: Date: Heather A. Jones Sandra S. Mabry Can you please move the McMahon docs to signature? Tuesday, January 17, 2017 10:32:01 AM Both Rachel and ‎her backup are out Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. AMf--f CAN pVERSIGHT OGE-17-0005-J-000049 From: To: Cc: Subject: Date: Rachel K. Dowell Deborah J. Bortot Sandra S. Mabry; Teresa L. Williamson RE: McMahon Certification Letter Tuesday, January 17, 2017 10:41:11 AM Thank you   From: Deborah J. Bortot Sent: Tuesday, January 17, 2017 10:40 AM To: Rachel K. Dowell Cc: Sandra S. Mabry; Teresa L. Williamson Subject: RE: McMahon Certification Letter   Rachel,   Patrick is out, so we are having Sandy move the paperwork unless you already have someone else doing it.   Thanks, Deb   From: Rachel K. Dowell Sent: Tuesday, January 17, 2017 10:26 AM To: Teresa L. Williamson Cc: Deborah J. Bortot; Heather A. Jones Subject: FW: McMahon Certification Letter Attachments released below     Referral to SBA     VERSIGHT OGE-17-0005-J-000050 From: To: Subject: Date: Integrity.gov Sandra S. Mabry Integrity.gov: Report Pending Action Tuesday, January 17, 2017 10:56:46 AM A 2017 Nominee report for McMahon, Linda E is pending your action as OGE Nominee Program Manager. You may access the report by logging into integrity at https://integrity.gov. AMf--f CAN pVERSIGHT OGE-17-0005-J-000053 From: To: Subject: Date: Sandra S. Mabry Teresa L. Williamson RE: reports on website Tuesday, January 17, 2017 3:27:39 PM Booo … rain doesn’t help, either   From: Teresa L. Williamson Sent: Tuesday, January 17, 2017 2:48 PM To: Sandra S. Mabry Subject: RE: reports on website   No.  still waiting.  I’ll probably get stuck in all the traffic at this point – yeah!   From: Sandra S. Mabry Sent: Tuesday, January 17, 2017 2:47 PM To: Teresa L. Williamson Subject: RE: reports on website   Thanks.  (b) (6)   From: Teresa L. Williamson Sent: Tuesday, January 17, 2017 2:46 PM To: Sandra S. Mabry Subject: RE: reports on website   Yes – checked this morning and nothing – still nothing.   From: Sandra S. Mabry Sent: Tuesday, January 17, 2017 2:45 PM To: Teresa L. Williamson Subject: RE: reports on website   Thanks, Teresa.  Did you check Senate website for nominations?  President Obama announced his intent to nominate Jason Kearns (US International Trade Commission—on WHO website.    From: Teresa L. Williamson Sent: Tuesday, January 17, 2017 2:43 PM To: Vincent Salamone Cc: Deborah J. Bortot; Heather A. Jones; Sandra S. Mabry Subject: reports on website   FYI.  Mulvaney, Ross, McMahon have been added to the website. VERSIGHT OGE-17-0005-J-000054 From: To: Subject: Date: Shelley K. Finlayson Teresa L. Williamson; Sandra S. Mabry; Heather A. Jones RE: call from committee Wednesday, January 18, 2017 4:16:51 PM Liz is calling her back   From: Teresa L. Williamson Sent: Wednesday, January 18, 2017 2:51 PM To: Sandra S. Mabry; Shelley K. Finlayson; Heather A. Jones Subject: RE: call from committee   She left me the message at 2:26pm if that helps.   From: Sandra S. Mabry Sent: Wednesday, January 18, 2017 2:48 PM To: Shelley K. Finlayson; Heather A. Jones; Teresa L. Williamson Subject: RE: call from committee   I don’t know.  She called Heather directly about release of the report.  Heather “showed” her where it is on our  website.      From: Shelley K. Finlayson Sent: Wednesday, January 18, 2017 2:45 PM To: Heather A. Jones; Teresa L. Williamson; Sandra S. Mabry Subject: RE: call from committee   Is this the same request Rachel received? If so, it was assigned to Liz Horton earlier today.   From: Heather A. Jones Sent: Wednesday, January 18, 2017 2:32 PM To: Teresa L. Williamson; Sandra S. Mabry; Shelley K. Finlayson Subject: RE: call from committee   Please see below.   From: Teresa L. Williamson Sent: Wednesday, January 18, 2017 2:31 PM To: Sandra S. Mabry Cc: Heather A. Jones Subject: call from committee   Sandy,  Would you please call Kaylyn from Senator Risch’s office (Committee on Small Business &   She left me a voice mail message saying she has a Entrepreneurship)  Her number is question on Ms. McMahon’s financial disclosure form.   Thanks Teresa (b) (6) VERSIGHT OGE-17-0005-J-000055 From: To: Subject: Date: Attachments: Teresa L. Williamson Rachel K. Dowell; (b)(6) - Robert Gangwere's email address Public Financial Disclosure Report of Linda E. McMahon Tuesday, January 31, 2017 11:13:17 AM McMahon, Linda E final278.pdf McMahon, Linda E. finalsenateltr.pdf McMahon, Linda E finalEA.pdf Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b)(3) Available at https://extapps2.oge.gov/201/Presiden.nsf/ PAS%20Index?OpenView Good Morning,   I wanted to make sure that you received a copy of the nomination package that was sent to the Senate committee January 17, if you didn’t already receive a copy.   Thank you. Teresa   From: Teresa L. Williamson Sent: Tuesday, January 17, 2017 12:03 PM (b)(6) - Kathryn Eden's email address To: Subject: Public Financial Disclosure Report of Linda E. McMahon   Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b)(3) Available at https://extapps2.oge.gov/201/ Presiden.nsf/PAS%20Index?OpenView Good Afternoon,   I’ve attached the financial disclosure package for Linda E. McMahon. President-Elect Trump has announced his intention to nominate Ms. McMahon for the position of Administrator, Small Business Administration.   Thanks!     Teresa Williamson Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Avenue, NW - Suite 500 Washington, DC 20005 202-482-9283 VERSIGHT OGE-17-0005-J-000056 UNITED STATES OFFICE OF GOVERNMENT ETHICS * January 17, 2017 The Honorable James E. Risch Chairman Committee on Small Business and Entrepreneurship United States Senate Washington, DC 20510 Dear Mr. Chairman: In accordance with the Ethics in Government Act of 1978, I enclose a copy of the financial disclosure report filed by Linda E. McMahon. President-Elect Trump has announced his intention to nominate Ms. McMahon for the position of Administrator, Small Business Administration. We have reviewed the report and have obtained advice from the agency concerning any possible conflict in light of its functions and the nominee’s proposed duties. Also enclosed is an ethics agreement outlining the actions that the nominee will undertake to avoid conflicts of interest. Unless a date for compliance is indicated in the ethics agreement, the nominee must fully comply within three months of confirmation with any action specified in the ethics agreement. Based thereon, we believe that this nominee is in compliance with applicable laws and regulations governing conflicts of interest. Sincerely, WALTER SHAUB Digitally signed by WALTER SHAUB DN c=US, o=U.S. Government, ou=Office of Government Ethics, cn=WALTER SHAUB, 0.9.2342.19200300.100.1.1=95491000364655 Date 2017.01.17 11 43 29 -05 00' Walter M. Shaub, Jr. Director Enclosures 1201 NE\N YORK AVE OGE-17-0005-J-000057 W·SUITE S00 •WASHI GTON DC·2000 5 * * January 16, 2017 Robert L. Gangwere, Esq. Designated Agency Ethics Official U.S. Small Business Administration 1000 Walnut Street, Suite 530 Kansas City, MO 64106 Dear Mr . Gangwere : The purpose of this letter is to describe the steps that I will take to avoid any actual or apparent conflict of interest in the event that I am confinned for the position of Administrator of the U.S. Small Business Administration (SBA). As required by 18 U.S.C. § 208(a) , I will not participate personally and substantially in any particular matter in which I know that I have a financial interest directly and predictably affected by the matter , or in which I know that a person whose interests are imputed to me has a financial interest directly and predictably affected by the matter, unless I first obtain a written waiver , pursuant to 18 U.S.C. § 208(b )(1 ), or qualify for a regulatory exemption , pursuant to 18 U.S.C. § 208(b)(2). I understand that the interests of the following persons are imputed to me: any spouse or minor child of mine; any general partner of a partnership in which I am a limited or general partner ; any organization in which I serve as officer , director , trustee , general partner or employee ; and any person or organization with which I am negotiating or have an arrangement concerning prospective employment. Within 90 days of my confirmation , I will divest my interests in the following entities: HPD Alkeon Growth Partners Fund , LP; and Skybridge Multi-Advisor Fund Portfolios , LLC Series G . With regard to each of these entities , I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of the entity until I have divested them , unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l) , or qualify for a regulatory exemption, pursuant to 18 U.S.C. § 208(b)(2). Within 180 days of my confirmation, I will divest my interests in HPD Millennium Strategic Capital Fund , LP. I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of the entity until I have divested it, unless I first obtain a written waiver , pursuant to 18 U.S .C. § 208(b)(l), or qualify for a regulatory exemption , pursuant to 18 U.S.C. § 208(b)(2). Upon confirmation, I will resign from my positions with the following entities: Vincent & Linda McMahon Family Foundation; APCO Worldwide of Washington, D .C.; Sacred Heart University of Fairfield , CT ; Close Up Foundation of Washington , D.C. ; American Corporate Partners , Inc. of New York City , NY ; and Family Trust 6. For a period of one year after my resignation from each of these entities , I will not participate personally and substantially in any particular matter involving specific parties in which I know that these entities are a party or represents a party , unless I am first authorized to participate , pursuant to 5 C.F.R. § 2635.502(d). AMERICAN PVERSIGHT OGE-17-0005-J-000058 Robert L. Gangwere , Esq. January 16, 201 7 Page two Upon confirmation , I will resign from my positions as managing member of the following entities: McMahon Ventures , LLC; and Women's Leadership LIVE, LLC. I will become a non-managing member of each entity. During my appointment, I will not manage these entities or provide any other services to them. Instead , I will receive only passive investment income from them. As Administrator , I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of these entities , unless I first obtain a written waiver , pursuant to 18 U.S.C. § 208(b)(l) . I will retain my positions with the following revocable tiusts: Family Trust 8; Family Trust 9A; and Family Tmst 9B. I will not receive any fees for the services that I provide as an Investment Direction and Distribution Advisor during my appointment to the position of Administrator. I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of these entities , unless I first obtain a written waiver, pursuant to 18 U .S.C. § 208(b)(l) , or qualify for a regulatory exemption , pursuant to 18 U.S.C. § 208(b)(2). My spouse is employed by and has an equity interest in World Wrestling Entertaimnent , Inc. I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of World Wrestling Entertainment , Inc., unless I first obtain a written waiver , pursuant to 18 U.S .C. § 208(b)(l). I understand that I may be eligible to request a Certificate of Divestiture for qualifying assets and that a Certificate of Divestiture is effective only if obtained prior to divestiture . Regardless of whether I receive a Certificate of Divestiture, I will ensure that all divestitures discussed in this agreement occur within the agreed upon timeframes and that all proceeds are invested in non-conflicting assets. I have been advised that this ethics agreement will be posted publicly, consistent with 5 U.S.C. § 552, on the website of the U.S. Office of Govermnent Ethics with ethics agreements of other Presidential nominees who file public financial disclosure reports . Sincerely, of:t.:~ AMERICAN PVERSIGHT OGE-17-0005-J-000059 From: To: Subject: Date: Lorna A. Syme (b)(6) - Elizabeth Horton's email address draft nominee report Friday, December 16, 2016 4:38:45 PM Hi Beth:   Per my voicemail, if the filer’s representative is willing to share a preview draft of the report with us, you can email it to me at lasyme@oge.gov.   Thanks! Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237       VERSIGHT OGE-17-0005-J-000060 From: To: Cc: Subject: Date: Attachments: Lorna A. Syme (b)(6) - Elizabeth Horton's email address (b)(6) - Peter Riesen's email address RE: Nominee report Tuesday, December 20, 2016 2:49:04 PM initial comments Mnuchin.docx 6 page attachment withheld in full - (b)(3), (4), (5), (6) Beth:   Yes – that’s perfect!  I’ll be here at 3:30 so call when you have the chance.  202-482-9277.   I just left a message for Peter.  I figured you all were super busy with a million things going on.  I promise I won’t take too long – I just want to provide some context for  a few of the more significant comments.   I’ve attached my comments so we can look at them together.   Thanks! Lorna Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Tuesday, December 20, 2016 10:33 AM To: Horton, Elizabeth Cc: Riesen, Peter Subject: RE: Nominee report   When would you be available to talk?  I’m available all afternoon, so if you suggest a time that works for both of you that will work for me also.  I can be reached on 202-482-9277.   Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Tuesday, December 20, 2016 9:44 AM To: Horton, Elizabeth Subject: Nominee report VERSIGHT OGE-17-0005-J-000061   Hi Beth:   I am the assigned reviewer for Mr. Mnuchin’s report.  I have reviewed the draft and should have my comments ready by early afternoon.   I would like to discuss a few of my comments with the reviewer at Treasury.  Will you be reviewing the report or is there someone else I should contact?   Thanks! Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. AMf--f CAN pVERSIGHT OGE-17-0005-J-000062 From: To: Subject: Date: Attachments: Lorna A. Syme Keith Labedz FW: STM Tuesday, December 20, 2016 4:21:56 PM 20161220095014.PDF 4 page attachment withheld in full - (b)(3), (4), (5), (6)   Referral to Treasury From: Rizzi, Robert (b) (6) Sent: Tuesday, December 20, 2016 9:47 AM To: Granat, Rochelle Cc: Steven Mnuchin Subject: STM No attachment found in search Rochelle –   Attached please find a "roadmap" memo, outlining our proposed approach to resolve any potential conflicts of interest with respect to the nomination of Stephen Mnuchin. The memo is still marked "draft," in the event changes are necessary, but covers the basic issues that we have already discussed. The cross references are to the 278e that has been submitted; please let us know if you need another copy. Also, please feel free to forward a copy of the memo to OGE, if you think that is appropriate.   We look forward to discussing this with you at your convenience.   Bob   VERSIGHT OGE-17-0005-J-000063 From: To: Subject: Date: Lorna A. Syme (b)(6) - Elizabeth Horton's email address (b)(6) - Peter Riesen's email address Mnuchin Wednesday, December 21, 2016 10:55:06 AM Beth and Peter   Based on our conversation yesterday, would you please ask the filer’s representative these questions: (b)(3), (5), (6)   Also, please remind the filer’s representative that if he needs to move items on the report, there is a “move asset” button in Integrity which makes it easy to move things around on the report.   Thanks! Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     VERSIGHT OGE-17-0005-J-000064 From: To: Subject: Date: Lorna A. Syme (b)(6) - Peter Riesen's email address RE: Mnuchin Thursday, December 22, 2016 4:18:37 PM Thanks! Referral to Treasury Referral to Treasury VERSIGHT OGE-17-0005-J-000065 From: To: Cc: Subject: Date: Deborah J. Bortot "Rizzi, Robert" Lorna A. Syme RE: STM Tuesday, December 27, 2016 12:23:05 PM Bob,   The report shouldn’t be locked.  The nominee workflow is different from the annual workflow.   Thanks, Deb   From: Rizzi, Robert (b) (6) Sent: Tuesday, December 27, 2016 10:54 AM To: Deborah J. Bortot Cc: Mullis, Dianna Subject: STM Hi Deb – Steven Mnuchin "submitted" his 278, but of course there are a number of questions on the form from Treasury and OGE. We are putting together a "grid" of responses and should have that to you by later today. Some of these will require getting back into the 278, and we have a few additional items as well. How do we go about "unlocking" the 278? Dianna is working on this with me. Thanks very much. VERSIGHT OGE-17-0005-J-000066 From: To: Subject: Date: Attachments: Keith Labedz Lorna A. Syme RE: Responses to OGE Initial Questions -- STM Wednesday, December 28, 2016 10:13:41 AM 9830367 5 ksl.docx 12 page attachment withheld in full - (b)(3), (4), (5), (6) Some thoughts.   From: Lorna A. Syme Sent: Wednesday, December 28, 2016 9:18 AM To: Keith Labedz Subject: FW: Responses to OGE Initial Questions -- STM 11 page attachment withheld in full - (b)(3), (4), (5), (6)   Referral to Treasury Referral to Treasury From: Rizzi, Robert (b) (6) > Sent: Tuesday, December 27, 2016 6:23 PM To: Granat, Rochelle Cc: Mullis, Dianna Subject: Responses to OGE Initial Questions -- STM No attachment found in search Attached please find our responses to the questions raised by OGE on December 21, with respect to the 278e submitted on December 16. Could you please forward a copy to the appropriate reviewer(s) at OGE? And of course would be happy to answer any questions you or OGE may have. Please note that there are a few items for which we are still obtaining information, but in the interests of moving this ahead, we wanted to get these responses in your hands as soon as possible. We will supplement these responses with that information as soon as possible. We look forward to speaking with you soon. VERSIGHT OGE-17-0005-J-000067 Bob Robert Rizzi Partner (b) (6) Steptoe +1 202 429 6226 direct +1 212 506 3935 NY +1 (b) (6) mobile +1 202-261-7549 fax - Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC 20036 www.steptoe.com This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message. VERSIGHT OGE-17-0005-J-000068 From: To: Cc: Subject: Date: Lorna A. Syme (b)(6) - Peter Riesen's email address (b)(6) - Rochelle Granat's email address (b)(6) - Elizabeth Horton's email address ; Keith Labedz RE: Responses to OGE Initial Questions -- STM Wednesday, December 28, 2016 4:08:34 PM Yes, 1:30 works for us.  Thank you.   Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Wednesday, December 28, 2016 3:40 PM (b)(6) - Dianna Mullis's email address (b)(6) - Robert Rizzi's email address ; Horton, Elizabeth; To: Riesen, Peter; Cc: Keith Labedz; Granat, Rochelle Subject: RE: Responses to OGE Initial Questions -- STM How about 3:00 for the call? Referral to Treasury From: Rizzi, Robert (b) (6) Sent: Wednesday, December 28, 2016 3:21 PM To: Lorna A. Syme; Horton, Elizabeth; Riesen, Peter; Mullis, Dianna Cc: Keith Labedz Subject: RE: Responses to OGE Initial Questions -- STM How about tomorrow afternoon? Dianna will be back then and we should be able to answer your questions. We have a call at 2 but otherwise flexible. From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Wednesday, December 28, 2016 3:19 PM (b)(6) - Elizabeth Horton's email address (b)(6) - Peter Riesen's email address To: '; Cc: Keith Labedz Subject: RE: Responses to OGE Initial Questions -- STM Mullis, Dianna; Rizzi, Robert Thank you for the responses.  We do have a few disclosure questions/comments that we think might VERSIGHT OGE-17-0005-J-000069 be more effectively addressed in a telephone conversation.  Is there a time this afternoon or tomorrow that we could discuss?    Keith Labedz and I will be on the call for OGE.  We are available most of the day tomorrow, so please suggest a time.   Thank you.   Lorna A. Syme     Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237 Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics   Rest of chain partially released above OGE-17-0005-J-000070 Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Wednesday, December 28, 2016 5:02 PM To: Riesen, Peter; Horton, Elizabeth Subject: initial comments on chart 4 page attachment withheld in full - (b)(3), (4), (5), (6)   Peter and Beth:   Attached are select  comments on the response chart that the representative provided.  I wanted to at least respond to some of the low-hanging comments so they could keep moving on the report.  We will discuss many of the more complicated reporting issues during our conversation tomorrow.   Please let me know if you prefer that I email the representatives directly on technical reporting issues.    Lorna     Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the VERSIGHT OGE-17-0005-J-000071 Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Wednesday, January 04, 2017 11:08 AM To: Riesen, Peter Subject: voicemail Hi Peter:   I tried returning your call at the number you left on the voicemail but no one picked up.  I’m teleworking today so the number I was calling from was personal/not government.    Feel free to call me back at your convenience.   Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000073 Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Thursday, January 05, 2017 3:52 PM To: Horton, Elizabeth; Rizzi, Robert Cc: Riesen, Peter; Granat, Rochelle Subject: RE: OGE questions ] No attachment found in search   Beth, See attached. Let me know if you have any questions. Best, Dianna Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Thursday, January 05, 2017 3:28 PM To: Horton, Elizabeth; Rizzi, Robert Cc: Riesen, Peter; Granat, Rochelle Subject: RE: OGE questions   Yes, all questions were reconciled in the revisions to the 278. We will draft responses to clarify and send them over. Dianna Referral to Treasury OGE-17-0005-J-000076 Referral to Treasury   From: Deborah J. Bortot [mailto:djbortot@oge.gov] Sent: Thursday, January 05, 2017 7:25 PM To: Horton, Elizabeth; Riesen, Peter Cc: Lorna A. Syme; Heather A. Jones Subject: Ethics Agreement 7 page attachment withheld in full - (b)(3), (4), (5), (6)   Beth and Peter,   I’ve attached the latest version of the ethics agreement.  We’ve tracked the changes.   Thanks, Deb OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000081 Referral to Treasury From: Rizzi, Robert (b) (6) Sent: Thursday, January 05, 2017 7:00 PM To: Granat, Rochelle; Horton, Elizabeth; Riesen, Peter Cc: Mullis, Dianna Subject: RE: STM No attachment found in search - Here is the answer we previously provided on (b)(3), (5), (6) .    Just to reiterate, this is not an interest that could be divested without considerable concern, especially at this point.   From: Rizzi, Robert Sent: Friday, December 30, 2016 12:27 PM To: (b)(6) - Rochelle Granat's email address ; (b)(6) - Elizabeth Horton's email address ; (b)(6) - Peter Riesen's email address Cc: Mullis, Dianna Subject: RE: STM (b)(3), (4), (5), (6) Hope that helps. Referral to Treasury VERSIGHT OGE-17-0005-J-000082 Referral to Treasury Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Thursday, January 05, 2017 6:17 PM To: Horton, Elizabeth; Riesen, Peter; Granat, Rochelle Subject: STM Updated 278e No attachment found in search Attached is the latest draft of the 278e. The substantive changes are additions of positions 52-54 in Part 1 and the addition of sub-assets to Asset 6.6, Part 2. Let me now if you have any questions. Dianna Dianna M. Mullis Associate (b) (6) Steptoe (b) (6) +1 202 429 3902 fax Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC 20036 www.steptoe.com This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message. VERSIGHT OGE-17-0005-J-000083 From: To: Subject: Date: Lorna A. Syme "Mullis, Dianna" RE: Outstanding questions on 278e - STM Friday, January 06, 2017 2:01:39 PM Thanks.   From: Mullis, Dianna (b) (6) Sent: Friday, January 06, 2017 1:53 PM To: Lorna A. Syme Subject: RE: Outstanding questions on 278e - STM Lorna, One additional change – we have added the (b)(3), (6) 278e. It is now listed as asset 46 on Part 6. to the Best, Dianna From: Mullis, Dianna Sent: Friday, January 06, 2017 1:06 PM To: 'Lorna A. Syme'; (b)(6) - Elizabeth Horton's email address '; (b)(6) - Peter Riesen's email address Cc: Rizzi, Robert 4 page attachment withheld in full - (b)(3), Subject: RE: Outstanding questions on 278e - STM (4), (5), (6) See responses attached. Feel free to give me a call if you would like to discuss. The 278e has been updated in Integrity accordingly. Dianna From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Thursday, January 05, 2017 7:45 PM To: (b)(6) - Elizabeth Horton's email address ';(b)(6) - Peter Riesen's email address Cc: Mullis, Dianna; Rizzi, Robert Subject: Outstanding questions on 278e - STM ' 3 page attachment withheld in full - (b)(3), (4), (5), (6) Attached are questions on the 278e. Let me know if you need clarification on the question. Lorna Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237 Visit OGE's website: >>www.oge.gov<< VERSIGHT OGE-17-0005-J-000084 Fro m: To : Subject : Date : Heather A. Jones Loma A. Syme RE: nominee Friday, Jan uary 06, 2017 3:43 :24 PM I think it should say this will cease if I am confirmed. From: LornaA. Syme Sent: Friday, January 06, 2017 3:29 PM To: DeborahJ. Bortot; Heather A. Jones Subject : nominee Lorna Syme Presidential Nominatio ns Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telep hone : (202) 482-9277 Facsimile : (202 ) 482-9237 Visit OGE's website: » www.oge.gov « Follow OGE on Tw itter : @Offi ceGovEthics OGE-17-0005-J-000085 Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Friday, January 06, 2017 4:16 PM To: Horton, Elizabeth Cc: Rizzi, Robert; Granat, Rochelle; Riesen, Peter Subject: RE: Ethics Agreement   The following changes were made to the 278e: (b)(3), (5), (6)   Let me know if you have questions.   Dianna   From: Mullis, Dianna Sent: Friday, January 06, 2017 3:04 PM To: 'Elizabeth.Horton@treasury.gov' Cc: Rizzi, Robert; (b)(6) - Rochelle Granat's email address ; (b)(6) - Peter Riesen's email address Subject: RE: Ethics Agreement   Yes, those changes are correct.  We are doing a final review on the 278e.   Dianna   Referral to Treasury VERSIGHT OGE-17-0005-J-000086 Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Friday, January 06, 2017 2:25 PM To: Horton, Elizabeth; Riesen, Peter Subject: Ethics Agreement   Just confirming where I think we are  now. (b)(3), (5), (6) Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the VERSIGHT OGE-17-0005-J-000087 From: To: Cc: Subject: Date: Rizzi, Robert (b)(6) - Peter Riesen's email address (b)(6) - Rochelle Granat's email adress ; Mullis, Dianna; Deborah J. Bortot; Lorna A. Syme; Heather A. Jones ; (b)(6) - Elizabeth Horton's email address RE: Revised STM EA Friday, January 06, 2017 6:01:42 PM Peter –   We are fine with this draft and these changes. If OGE has no further changes, and you can put this in final form, we can get it to Steven for his signature.   Thanks for the work on this.   Bob   Referral to Treasury Referral to Treasury VERSIGHT OGE-17-0005-J-000088 Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Friday, January 06, 2017 06:27 PM To: Horton, Elizabeth Cc: Riesen, Peter Subject: RE: Ethics Agreement The 278e was looked at by Deb and Heather – but there have been a lot of changes (additions, deletions, etc) and they will need to look at it again. Since this is a Secretary report, Walt will want to review it as well before it is precleared. There could still be more questions. I think we are close but we are not there yet.     Even when we preclear – the filer won’t resubmit the report until we receive clearance from the transition team. So no need to worry about signatures at this point.   I’m waiting to hear from  Deb and Heather on the ethics agreement.  Walt will want to review that again as well.    Referral to Treasury From: Mullis, Dianna Sent: Friday, January 6, 2017 5:58 PM To: Lorna A. Syme Cc: Horton, Elizabeth; Riesen, Peter Subject: RE: Ethics Agreement (b)(3), (5), (6)   From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Friday, January 06, 2017 5:24 PM To: Mullis, Dianna (b)(6) - Elizabeth Horton's email address (b)(6) - Peter Riesen's email address Cc: '; Subject: RE: Ethics Agreement Please confirm he is not a (b)(3), (6) VERSIGHT . If he is a OGE-17-0005-J-000090 From: Mullis,Dianna Sent: Friday, January 06, 2017 4:17 PM To: Lorna A. Syme Subject: FW: Ethics Agreement Lonia, Please see below changes made to the 278e in Integrity. Dianna Cc: Rizzi, Robert Subject: RE : Ethics Agree ment The following changes were made to the 278e : Let me know if you have questions. Dianna OGE-17-0005-J-000091 From: To: Subject: Date: Lorna A. Syme " RE: Nominee - STM Friday, January 06, 2017 8:47:49 PM (b)(6) - Elizabeth Horton's email address (b) (5)   Referral to Treasury From: Lorna A. Syme Sent: Friday, January 6, 2017 7:42 PM To: Horton, Elizabeth; (b) (6) Cc: Riesen, Peter; Granat, Rochelle;(b) (6) Subject: RE: Nominee - STM - Just a reminder that in (b) (5)   Referral to Treasury  OGE will want the (b)(3), (6) . From: Rizzi, Robert Sent: Friday, January 6, 2017 7:14 PM To: Horton, Elizabeth Cc: lasyme@oge.gov; Riesen, Peter; Granat, Rochelle; Mullis, Dianna Subject: Re: Nominee – STM - Ok.  I will get that for you. It is much (b)(3), (6) Bob Rizzi Steptoe & Johnson LLP Washington Office 212-429-6226 (direct) (b) (6) (cell) so we can start there.  (b) (6) Referral to Treasury OGE-17-0005-J-000092 Referral to Treasury From: Rizzi, Robert Sent: Friday, January 6, 2017 7:09 PM To: Lorna A. Syme Cc: Riesen, Peter; Granat, Rochelle; Horton, Elizabeth; Mullis, Dianna Subject: Re: Nominee - STM - Ok. Beth please let me know if you need anything on the (b) (5) Bob Rizzi Steptoe & Johnson LLP Washington Office 212-429-6226 (direct) (b) (6) (cell)   (b) (6) On Jan 6, 2017, at 7:03 PM, Lorna A. Syme wrote: I spoke to Peter and Dianna this evening to explain that OGE’s Director has asked that (b) (5) -   OGE’s Director will be reviewing the documents on Monday for preclearance review.  We will need to have a (b) (5) for the review.    I will be available this weekend by telephone and email.   Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     VERSIGHT OGE-17-0005-J-000093 Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Sunday, January 8, 2017 12:55 PM To: Horton, Elizabeth; Riesen, Peter Subject: RE: STM - New Position (b) (5) Referral to Treasury .    I will work on getting you the exact figures.   Dianna   ‎ From: Mullis, Dianna Sent: Sunday, January 8, 2017 10:07 AM‎ To: Riesen, Peter; Horton, Elizabeth‎ Subject: STM - New Position Peter and Beth,   (b)(3), (5), (6) end.    Thanks, Dianna   -   Let us know what you need on our Dianna M. Mullis VERSIGHT OGE-17-0005-J-000094 Associate (b) (6) Steptoe   (b) (6) direct cell +1 202 429 3902 fax Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC 20036 www.steptoe.com     This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message.   VERSIGHT OGE-17-0005-J-000095 From: To: Subject: Date: - Deborah J. Bortot Keith Labedz; Heather A. Jones; Lorna A. Syme RE: (b)(3), (6) question Monday, January 09, 2017 8:44:50 AM Keith’s proposal would be another acceptable option.  (b)(3), (5), (6)   However, I would be fine with any of the three options.   From: Keith Labedz Sent: Monday, January 09, 2017 8:42 AM To: Deborah J. Bortot; Heather A. Jones; Lorna A. Syme Subject: RE: (b)(3), (6) question -   I agree.  The other option they might use is (b)(3), (5), (6)   From: Deborah J. Bortot Sent: Sunday, January 08, 2017 10:26 PM To: Heather A. Jones; Lorna A. Syme; Keith Labedz Subject: Re: (b)(3), (6) question   - Lorna, At this point I defer to what you think works best. (b)(3), (5), (6) .   Go with what you think is best. I'm fine with it either way.   Deb   Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Heather A. Jones Sent: Sunday, January 8, 2017 9:35 PM To: Lorna A. Syme; Keith Labedz; Deborah J. Bortot Subject: Re:(b)(3), (6) question That makes sense to me but I defer to the majority   Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Lorna A. Syme Sent: Sunday, January 8, 2017 9:28 PM To: Keith Labedz; Deborah J. Bortot; Heather A. Jones Subject: (b)(3), (6) question (b)(3), (5), (6) - VERSIGHT OGE-17-0005-J-000096 (b)(3), (5), (6)   Thanks! Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     VERSIGHT OGE-17-0005-J-000097 Referral to Treasury -----Original Message----From: Mullis, Dianna (b) (6) Sent: Sunday, January 08, 2017 1:54 PM To: Horton, Elizabeth Cc: Rizzi, Robert Subject: RE: STM Beth, (b)(3), (4), (5), (6) Let us know if you need additional details. Dianna -----Original Message----From: Rizzi, Robert Sent: Sunday, January 08, 2017 1:16 PM To: (b)(6) - Elizabeth Horton's email address Cc: Mullis, Dianna Subject: RE: STM Beth -(b)(3), (4), (5), (6) Let us know if you need anything. Bob Referral to Treausy VERSIGHT OGE-17-0005-J-000098 From: Rizzi, Robert Sent: Friday, January 6, 2017 8:10 PM To: Horton, Elizabeth Cc: Mullis, Dianna Subject: Re: STM Got it -- just curious (b) (5) - Bob Rizzi Cell number (b) (6) Referral to Treasury >  Original Message > From: Rizzi, Robert > Sent: Friday, January 6, 2017 7:58 PM > To: Horton, Elizabeth > Cc: Mullis, Dianna > Subject: STM > > > (b) (5) > > > Bob Rizzi > Cell number (b) (6) > > - VERSIGHT OGE-17-0005-J-000099 Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Monday, January 09, 2017 10:58 AM To: Granat, Rochelle; Horton, Elizabeth; Riesen, Peter Subject: Waiver I just left a voicemail for Rochelle, but in the interest of time, thought I would also email the group. (b)(3), (5), (6) With that development, I believe there are no other outstanding issues and the ethics agreement can be finalized. Is that correct? Dianna M. Mullis Associate (b) (6) Steptoe +(b) (6) direct +(b) (6) cell +1 202 429 3902 fax Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC 20036 www.steptoe.com This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message. VERSIGHT OGE-17-0005-J-000100 From: Mullis, Dianna To: Subject: Date: RE: STM - New Position Loma A. Syme Monday, Janua ry 09, 2017 11 :09: 05 AM Ye s, con ect. From: Loma A.Sy me[ mailto:lasy me@oge.gov ] Sent: Monday, Januaiy 09, 2017 11:05 AM To: Mulli s, Diann a Subject: RE : STM - Ne w Position From: Mulli s, Dianna Sent: Sunda y, Januaiy 08, 2017 10:09 AM To: Loma A. Syme Subject: STM - New Position Lonia , I have connected with Treasmy to include it in the ethics agreemen t. Best, Dianna Dianna M. Mullis Assoc iate M pVERSIGHT OGE-17-0005-J-000101 Steptoe   +1(b) (6) direct Steptoe & Johnson LLP +1 (b) (6) cell 1330 Connecticut Avenue, NW +1 202 429 3902 fax Washington, DC 20036 www.steptoe.com     This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message.   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000102 From: LornaA.Sy me [mailto:lasyme@oge.gov] Sent: Monday,January 09, 2017 1:05 PM To: 'Mullis, Dianna' Cc: Horton, Elizabeth; Riesen, Peter Subject: RE: th is morn ing. From: Loma A. Syme [maj]to·Iasyme@ogegov] Sent: Monday, Januaiy 09, 2017 11 :32 AM To: Mullis, Diann a Subject: RE: From: Mulli s, Dianna Sent: Monday, Januaiy 09, 2017 11 :28 AM To:L oma A .~ Subject: RE:- ] This has been comple ted. Thanks . From: Loma A. Syme [maj]to·Iasyme@ogegov] Sent: Monday, Januaiy 09, 2017 10:23 AM To: Mullis, Diann a Subject: RE: M pVERSIGHT OGE-17-0005-J-000103 Happy to discuss at 202-482 -9277. Lom a From: Mullis, Diann a Sent: Sun day, Janu ru.y 08, 2017 8:00 PM To: Lom a A. Syme Subject: STM - Bank Accounts Hi Lom a, Let me kn ow if the question is confu sing. Thanks , Diann a Dianna M. Mulli s Associate Steptoe & John son LLP 1330 Conn ecticut Avenu e, NW Washington, DC 20036 www .steptoe .com This m essage and any attac hed docume nts contain info1matio n from the law film Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read , copy, distribute, or use this info1matio n . If you have received this transmission in en or, please notify the sender imm ediately by reply e-mail an d then delete this message . OGE-17-0005-J-000104 From: To: Subject: Date: - Lorna A. Syme (b)(6) - Elizabeth Horton's email address (b)(3), (6) Monday, January 09, 2017 4:31:05 PM So the two issues are: (b)(3), (5), (6)   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     VERSIGHT OGE-17-0005-J-000105 From: To: Lorna A. Syme "Mullis, Dianna" : "Rizzi, Robert" Subj ect : R Date: Monday, January 09, 2017 6:50 :48 PM Best, Diann a From: Rizzi , Robe1i Sent: Monday, Januaiy 09, 2017 6:14 PM To: 'Lom a A. Syme' Cc: Mullis, Di ann a Subject: RE : Should not be a prob lem We wi ll get this from Steven later tonight or tomon-ow. Thanks L om a. Bob From: Loma A. Syme [maiJto·Jasyme@oge gov] Sent: Monday, Januaiy 09, 2017 6:08 PM To: Rizzi, Robeli Cc: Mullis, Diann a Sub· ect: RE : concern that you will From: Rizzi , Robe1i Sent: Monday, Januaiy 09, 2017 6:00 PM To: Lom a A. Syme Cc: Mullis, Diann a Subject: RE : Lom a - From: Rizzi , Robeli Sent: Monday, Janu aiy 09, 2017 5:52 PM To: 'lasyme@oge.gov' Cc: Mullis, Di ann a Subject: FW: Lom a Diann a is in a meeting but let m e see if I can find the answers. Bob From: "Lom a A. Syme" Date: Januaiy 9, 2017 at 5:32:00 PM EST M pVERSIGHT OGE-17-0005-J-000106 To: "'Mullis, Dianna"' Subject: RE: Sony - just a couple more things (and hopefully this will be it with the 278e). I will fo1ward the revised ethics a reement short! . From: Mullis, Dianna [mailto:dmullis@ steptoe .com] Sent: Monday, Januaiy 09, 2017 3:50 PM To:L oma A. ~ Subject: RE:Here you go. From: Loma A. Syme [mailto :lasyme@oge .gov] Sent: Monday, Januaiy 09, 2017 3:47 PM To: Mullis, Dianna Subject: RE: I don't seem to ave a copy o t e Would you fo1ward a copy of that p ease. From: Mullis, Dianna [mailto:dmullis@ steptoe .com] Sent: Monday, Januaiy 09, 2017 3:06 PM To: Loma A.!!!!!llll e Subject: RE: Thanks . See responses e ow. When you have a revised draft of the ethics agreement, could you please fo1ward? Steven would like to review as soon as possible. From: Loma A.Sy me [mailto :lasyme@oge .gov] Sent: Monday, Januaiy 09, 2017 2:59 PM To: Mullis, Dianna Subject: RE:We ai·e still re~umen ts. We do m1derstand this is a priority and will keep you info1med of any questions. From: Mullis, Dianna Sent: Monday, Januaiy 09, 2017 2:24 PM To:L oma A.~ Subject: RE:HiL oma , M pVERSIGHT OGE-17-0005-J-000107 Any update on the items below? We would like to manage expectations with the transition team as to timing. As you know, it is critical that we get this completed today. Dianna From: Mullis, Dianna Sent: Monday, January 09, 2017 11:49 AM To: 'Lorna A. Syme' Subject: RE: (b)(3), (6) Perfect; thanks. Do you anticipate preclearing today? And who is your contact on the transition team that will be notified when preclearance is granted? Dianna From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Monday, January 09, 2017 11:47 AM To: Mullis, Dianna Subject: RE: (b)(3), (6) We are reviewing the documents. We may have additional questions. Once we preclear we send the ethics agreement to the transition team (and they can access Integrity to review the 278e). We then wait until the transition team authorizes us to forward the paperwork to the Senate Committee. At that point we will contact you and the agency to have the filer sign the ethics agreement and resubmit the 278e in Integrity to the agency for certification. The agency forwards the signed paperwork to us and we submit to the Senate Committee. From: Mullis, Dianna (b) (6) Sent: Monday, January 09, 2017 11:43 AM To: Lorna A. Syme Subject: RE: (b)(3), (6) I am checking with EY on this. We want to be clear on the process going forward today. You now have the final draft of the ethics agreement from Treasury. My understanding is that you will finalize the ethics agreement and pre-clear the 278e this afternoon. You will then send that package to the transition team? Thanks, Dianna Rest of chain partially released above OGE-17-0005-J-000108 From: To: Subject: Date: Mullis, Dianna Lorna A. Syme Cell Monday, January 09, 2017 7:15:27 PM Lorna, I am heading out of the office, but will be back online in about 45 minutes. I’m available on my cell phone if you need anything ((b) (6) ). Thanks for all your help today. Dianna Dianna M. Mullis Associate (b) (6) Steptoe +1 (b) (6) direct Steptoe & Johnson LLP +1 (b) (6) cell 1330 Connecticut Avenue, NW +1 202 429 3902 fax Washington, DC 20036 www.steptoe.com This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message. VERSIGHT OGE-17-0005-J-000109 From: DeborahJ. Bortot Sent: Monday,January 9, 2017 7:43 PM To: Lorna A. Syme; Horton, Elizabeth Subject: FW: STM From: Deborah J. Bortot Sent: Monday,January 09, 2017 7:43 PM To: 'Rizzi, Robert' Subject: RE: STM From: Rizzi,Robert Sent: Monday,January 09, 2017 7:34 PM To: Lorna A. Syme Cc: Deborah J. Bortot Subject: Re: STM This looks fine to us. Please let us kn ow when you have preclea red . Thank s for all your work. Bob Rizzi Steptoe & John son LL P Washin gton Office 202-429-6226 (direct) cell On Jan 9, 20 17, at 7:29 PM , Lom a A. Syme wrote: Revised ethics agreeme nt. Lom a Syme Presidential N omination s Branc h U.S. Office of Governme nt Ethics 1201 New York Ave., NW , Suite 500 M pVERSIGHT OGE-17-0005-J-000110 Washington, DC 20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237 Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. AMf--f CAN pVERSIGHT OGE-17-0005-J-000111 From: To: Cc: Subject: Date: Attachments: Deborah J. Bortot "Ann M Donaldson" Lorna A. Syme; David J. Apol; Heather A. Jones; Sandra S. Mabry; Keith Labedz; Teresa L. Williamson; Rodrick T. Johnson; Emory A. Rounds III; (b)(6) - Elizabeth Horton's email address "; (b)(6) - Peter Riesen's email address PRECLEARED: Steven Mnuchin Monday, January 09, 2017 9:31:13 PM 5 page attachment withheld in ful - (b)(3), Mnuchin Ethics Agreement 1 9 17 900pm.docx (4), (5), (6) Annie, Steven Mnuchin is precleared.    I’ve attached the ethics agreement.   Thanks! Deb   Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9227 Facsimile: (202) 482-9237 VERSIGHT OGE-17-0005-J-000112 From: To: Cc: Subject: Date: Mullis, Dianna (b)(6) - Peter Riesen's email address (b)(6) - Rochelle Granat's email address ; Rizzi, Robert; Deborah J. Bortot; Lorna A. Syme (b)(6) - Elizabeth Horton's email address RE: Mnuchin EA Tuesday, January 10, 2017 3:21:56 PM I understand that the 278e cannot be finalized until PTT gives authorization, but can we finalize this for Steven’s signature?   Dianna Referral to Treasury   Referral to Treasury From: Rizzi, Robert Sent: Monday, January 9, 2017 8:02 PM To: 'Deborah J. Bortot'; 'Lorna A. Syme'; Riesen, Peter; Horton, Elizabeth; Granat, Rochelle VERSIGHT OGE-17-0005-J-000113 Cc: Mullis, Dianna Subject: FW: Mnuchin EA 8 page attachment withheld in full - (b)(3), (4), (5), (6)   We assume this latest from Peter is the final version with the one revision.  It is fine with us.    Can you send a clean version of this document?   Referral to Treasury     From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Monday, January 09, 2017 7:25 PM To: Riesen, Peter (b)(6) - Robert Rizzi's email address Cc: Granat, Rochelle; Horton, Elizabeth; Subject: RE: Mnuchin EA (b)(6) - Dianna Mullis's email address   8 page attachment withheld in ful - (b)(3), (4), (5), (6) Attached please find OGE’s revisions to the ethics agreement.  Referral to Treasury VERSIGHT OGE-17-0005-J-000114 From: Mullis, Diann a Sent: Monday, Januru.y09, 2017 10:58 AM To: Granat, Rochelle; Horton, Elizabeth; Riesen, Peter Subject: Waiver I ju st left a voicemail for Rochelle but in the interest of time thou t I would also email the Dianna M. Mulli s Associate Steptoe OGE-17-0005-J-000115 (b) (6) direct Steptoe & Johnson LLP cell 1330 Connecticut Avenue, NW +1 202 429 3902 fax Washington, DC 20036 www.steptoe.com     This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message.   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000116 Rizzi, Robert From: To: Cc: Subject: Walter M. Shaub Lorna A. Syme Re: Mnuchin Date: Tuesday, January 10, 2017 3:29:05 PM Excellent. Thanks again . Bob Rizzi Steptoe & Johnson LLP Washington Office 202-429-6226 (direct) cell On Jan 10, 20 17, at 3:28 PM, Walter M. Shaub wrote : Ok we just got the green light. Let' s move this thing fast. Walter M. Shaub , Jr. Director U.S. Office of Government Ethic s 1201 New York Avenue, NW, Suite 500 Washin gton, DC 20005-3917 Telephone: 202.482.9292 Email: walter.shaub@oge.gov OGE Confidential Notice: This email, includin g all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain info1mation that is privileged , confidential, or othe1w ise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient , you are hereby notified that any dissemination , distribution , copying or use of this email or its contents is strictly prohibited. If you have received this email in enor , please notify the sender by responding to the email and then immediately delete the email. M pVERSIGHT OGE-17-0005-J-000117 From: To: Subject: Date: Heather A. Jones Lorna A. Syme; Teresa L. Williamson Fw: Steven Mnuchin Tuesday, January 10, 2017 3:31:00 PM Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Ann M Donaldson (b) (6) Sent: Tuesday, January 10, 2017 3:26 PM To: Deborah J. Bortot; Heather A. Jones Subject: Steven Mnuchin On behalf of the President-Elect, this email serves as confirmation that the President-Elect intends to nominate Mr. Steven Mnuchin to be Secretary of the Treasury.  Please transmit his pre-cleared 278 report to the appropriate Senate committee.   Thank you, Annie Ann M. Donaldson Associate JONES DAY® - One Firm Worldwide℠ 51 Louisiana Avenue, NW Washington, DC 20001 Office +(b) (6) ========== This e-mail (including any attachments) may contain information that is private, confidential, or protected by attorney-client or other privilege.  If you received this e-mail in error, please delete it from your system without copying it and notify sender by reply e-mail, so that our records can be corrected. ========== VERSIGHT OGE-17-0005-J-000118 From: To: Subject: Date: Mullis, Dianna Lorna A. Syme; (b)(6) - Peter Riesen's email address RE: STM - Integrity Tuesday, January 10, 2017 4:35:05 PM Thanks very much.  We will get it to you as soon as we can.   From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Tuesday, January 10, 2017 4:31 PM (b)(6) - Peter Risen's email address To: Mullis, Dianna; Subject: RE: STM - Integrity   Yes.  Our Director will be here after 5.   Please have Mr. Mnuchin sign asap or let us know if you anticipate a delay.     From: Mullis, Dianna (b) (6) Sent: Tuesday, January 10, 2017 4:19 PM (b)(6) - Peter Riesen's email address To: Cc: Lorna A. Syme Subject: STM - Integrity   Peter and Lorna,   Steven has a meeting on the Hill and cannot resubmit the 278 until after 5pm.  Can you confirm that we can still get it to the Senate tonight?   We are sending someone over to get his signature on the ethics agreement now.   Thanks, Dianna   Dianna M. Mullis VERSIGHT OGE-17-0005-J-000119 Associate (b) (6) Steptoe (b) (6)   direct Steptoe & Johnson LLP cell 1330 Connecticut Avenue, NW +1 202 429 3902 fax Washington, DC 20036 www.steptoe.com     This message and any attached documents contain information from the law firm Steptoe & Johnson LLP that may be confidential and/or privileged. If you are not the intended recipient, please do not read, copy, distribute, or use this information. If you have received this transmission in error, please notify the sender immediately by reply e-mail and then delete this message.   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000120 From: To: Lorna A. Syme Subject: Sandra S. Mabry : Heathe r A. Jones FW: STM - Signed EA Date: Atta chments: Tuesday, January 10, 2017 5:53:41 PM STM Eth ics Ag reemen t (signed).pdf Attached is the signed/da t ed eth ics agreement. I have compared it to the precleared draft and it looks good. From: Mullis, Dianna Sen~17 5:43PM ; Lorna A. To:---- Syme Cc: Rizzi, Robert; Subject: STM - Signe EA Attached plea se find the signed ethics agreement. Steven has also resubmitted the 278e in Integrity . Please let us know when Treasmy and OGE have ce1tified and sent the documents to the Senate. Thanks , Dianna Dianna M. Mullis Assoc iate Steptoe +1 +I +1202429 direct cell 3902 fax Steptoe & Johnson LLP 1330 Com1ecticut Avenue , NW Washington , DC 20036 www steptoecom This message and any attached documents contain infom 1ation from the law fom Steptoe & Johnson LLP that may be confide ntial and/or privileged. If you are not the intended recipient, please do not read, copy , distribute , or use this info1mation . If you have received this transmission in e1rnr, plea se notify the sender immediately by reply e-mail and then delete this message. OGE-17-0005-J-000121 From: To: Subject: Date: Attachments: Lorna A. Syme Sandra S. Mabry FW: Mnuchin - final paperwork Tuesday, January 10, 2017 6:14:18 PM 201701101634.pdf Attachment released below     Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Tuesday, January 10, 2017 3:35 PM To: Horton, Elizabeth; Riesen, Peter; Granat, Rochelle Subject: Mnuchin - final paperwork Importance: High   We have received word from the transition team authorizing us to forward Steven Mnuchin’s paperwork to the Senate Committee.  Please have the filer sign/date the ethics agreement and submit his 278e report in Integrity.  Your DAEO or ADAEO should certify the report in Integrity and then forward the signed ethics agreement and your agency cover letter to us at your earliest convenience.  Let me know if you have any questions.    Thank you.    Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, VERSIGHT OGE-17-0005-J-000122 From: To: Subject: Date: Lorna A. Syme (b)(6) - Peter Riesen's email address RE: STM 278 Tuesday, January 10, 2017 6:16:06 PM Yes – we have it!  Thank you!   Referral to Treasury VERSIGHT OGE-17-0005-J-000124 From: To: Date: Attachments: Lorna A. Syme Sandra S. Mabry Tuesday, January 10, 2017 6:25:48 PM Reviewer notes for preclearance.docx 8 page attachment withheld in full - (b)(3), (4), (5), (6)     Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     VERSIGHT OGE-17-0005-J-000125 From: To: Cc: Subject: Date: Lorna A. Syme "(b)(6) - Elizabeth Horton's email address - Dianna Mullis's email "(b)(6) address (b)(6) - Peter Riesen's email address (b)(6) - Robert Rizzi's email address "; (b)(6) - Rochelle Granat's email address RE: STM - Signed EA Tuesday, January 10, 2017 7:14:10 PM OGE has certified the report and forwarded the documents to the Senate Committee.    Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Tuesday, January 10, 2017 5:43 PM To: Riesen, Peter; Horton, Elizabeth; Granat, Rochelle; Lorna A. Syme (lasyme@oge.gov) Cc: Rizzi, Robert;(b) (6) Subject: STM - Signed EA Attachment released below Attached please find the signed ethics agreement. Steven has also resubmitted the 278e in Integrity. Please let us know when Treasury and OGE have certified and sent the documents to the Senate. Thanks, Dianna Dianna M. Mullis Associate (b) (6) Steptoe +(b) (6) direct +1(b) (6) cell +1 202 429 3902 fax VERSIGHT Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC 20036 www.steptoe.com OGE-17-0005-J-000126 From: To: Subject: Date: Attachments: Teresa L. Williamson Lorna A. Syme; "Elizabeth.Horton@treasury.gov" Public Financial Disclosure Report of Steven T. Mnuchin Wednesday, January 11, 2017 2:56:41 PM Mnuchin, Steven T. finalsenateltr.pdf Mnuchin, Steven T. final278.pdf Mnuchin, Steven T. finalEA.pdf Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b)(3) - Available at https:// extapps2.oge.gov/201/Presiden.nsf/PAS% 20Index?OpenView Good Afternoon,   I’ve attached the financial disclosure package for Steven T. Mnuchin. President-Elect Trump has announced his intention to nominate Mr. Mnuchin for the position of Secretary, Department of the Treasury.   Thanks!     Sandra S. Mabry Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Avenue, NW - Suite 500 Washington, DC 20005 202-482-9283 VERSIGHT OGE-17-0005-J-000127 From: To: Subject: Date: Lorna A. Syme Deborah J. Bortot; Heather A. Jones FW: STM Thursday, January 19, 2017 11:58:05 AM     Referral to Treasury Referral to Treasury From: Mullis, Dianna Sent: Thursday, January 19, 2017 11:39 AM To: Horton, Elizabeth Cc: Riesen, Peter; Granat, Rochelle Subject: RE: STM The 278e is correct as filed.  We originally filed his Senate Questionnaire on December 19th and updated after his 278e was certified.    Feel free to give me a call if you would like to discuss further.   Dianna   Referral to Treasury OGE-17-0005-J-000128 From: To: Subject: Date: Lorna A. Syme Lorna A. Syme FW: ethics agreement Monday, January 30, 2017 5:16:35 PM     Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Sunday, January 08, 2017 9:49 PM To: Horton, Elizabeth; Riesen, Peter Subject: ethics agreement 8 page attachment withheld in full - (b)(3), (4), (5), (6)   Beth and Peter:   You may have already revised the ethics agreement.  If not, I just took the latest draft that Peter sent on Friday and added the (b)(3), (6) added today.   Lorna     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000129 From: To: Subject: Date: Lorna A. Syme Lorna A. Syme FW: Ethics Agreement Monday, January 30, 2017 5:19:26 PM     Referral to Treasury From: Mullis, Dianna (b) (6) Sent: Friday, January 06, 2017 3:04 PM To: Horton, Elizabeth Cc: Rizzi, Robert; Granat, Rochelle; Riesen, Peter Subject: RE: Ethics Agreement   Yes, those changes are correct.  We are doing a final review on the 278e.   Dianna   Referral to Treasury From: Lorna A. Syme [mailto:lasyme@oge.gov] Sent: Friday, January 06, 2017 2:25 PM To: Horton, Elizabeth; Riesen, Peter Subject: Ethics Agreement   Just confirming where I think we are  now.   (b)(3), (6) VERSIGHT ment A ((b) (5) OGE-17-0005-J-000130 (b)(3), (6)   Lorna   Lorna Syme Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC  20005-3917 Telephone: (202) 482-9277 Facsimile: (202) 482-9237   Visit OGE's website: >>www.oge.gov<< Follow OGE on Twitter: @OfficeGovEthics     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000131 From: To: Subject: Date: Lorna A. Syme Lorna A. Syme FW: Ethics Agreement Monday, January 30, 2017 5:20:09 PM     From: Deborah J. Bortot Sent: Friday, January 06, 2017 8:22 AM To: Lorna A. Syme Subject: FW: Ethics Agreement   Let’s discuss   Referral to Treasury From: Deborah J. Bortot [mailto:djbortot@oge.gov] Sent: Thursday, January 05, 2017 7:25 PM To: Horton, Elizabeth; Riesen, Peter Cc: Lorna A. Syme; Heather A. Jones Subject: Ethics Agreement 7 page attachment withheld in full - (b)(3), (4), (5), (6)   Beth and Peter,   I’ve attached the latest version of the ethics agreement.  We’ve tracked the changes.   Thanks, Deb OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000132 UNITED STATES OFFICE OF GOVERNMENT ETHICS * JANi O2017 The Honorable Orrin Hatch Chairman Committee on Finance United States Senate Washington, DC 20510 Dear Mr. Chairman: In accordance with the Ethics in Government Act of 1978, I enclose a copy of the financial disclosure report filed by Steven T. Mnuchin. President-Elect Trump has announced his intention to nominate Mr. Mnuchin for the position of Secretary, Department of the Treasury. We have reviewed the report and have obtained advice from the agency concerning any possible conflict in light of its functions and the nominee's proposed duties. Also enclosed is an ethics agreement outlining the actions that the nominee will undertak e to avoid conflicts of interest. Unless a date for compliance is indicated in the ethics agreement, the nominee must fully comply within three months of confirmation with any action specified in the ethic s agreement. Based there on, we believe that this nominee is in compliance with applicable laws and regulations governing conflicts of interest. Walter M. Shaub, Jr. Director Enclosures AM VER CS ANIGHT1201 P New York Avenue, NW, Suite 500 www.oge.gov I Washington, DC 20005 OGE-17-0005-J-000133 January 10, 2017 Rochelle F. Granat Assistant General Counsel (General Law, Ethics & Regulation) and Designated Agency Ethics Official U.S. Department of the Treasury 15QOPennsylvania Avenue , N.W. Washington, D .C . 20220 Dear Ms. Granat: The purpose of this letter is to describe the steps that I will take to avoid any actual or apparent conflict of interest in the event that I am confirmed for the position of Secretary of the Treasury. As required by 18 U .S.C. § 208(a), I will not participate personally and substantially in any particular matter in which I know that I have a financial interest directly and predictably affected by the matter, or in which I know that a person whose interests are imputed to me has a financial interest directly and predictably affected by the matter, unless I first obtain a written waiver, pursuant to 18 U .S.C . § 208(b)(l), or qualify for a regulatory exemption, pursuant to 18 U .S.C . § 208(b)(2) . I understand that the interests of the following persons are imputed to me: any spouse or minor child of mine; any general partner of a partnership in which I am a limited or general partner; any organization in which I serve as officer, director, trustee, general partner or employee; and any person or organization with which I am negotiating or have an arrangement concerning prospective employment. As required by 31 U.S.C. § 329( a)(l )(D), I will not purchase or divest obligations of a State or the United States during my appointment to the position of Secretary of the Treasury. Within 90 days of my confirmation, I will divest my interests in the entities listed in Attachment A. With regard to each of these entities, I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of the entity until I have divested it, unless I first obtain a written waiver, pursuant to 18 U.S.C . § 208(b)(l), or qualify for a regulatory exempti"on, pursuant to 18 U.S.C. § 208(b)(2). Within 120 days of my confirmation, I will divest my interests in Ratpac-Dune Entertainment Holdings LLC. With regard to these interests, I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on · the financial interests of the entity until I have divested it, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l), or qualify for a regulatory exemption, pursuant to 18 U .S.C. § 208(b)(2). AMERICAN PVERSIGHT OGE-17-0005-J-000134 I understand that I may be eligible to request a Certificate of Divestiture for qualifying assets and that a Certificate of Divestiture is effective only if obtained prior to divestiture. Regardless of whether I receive a Certificate of Divestiture , I will ensure that all divestitures discussed in this agreement occur within the agreed upon timeframes and that all proceeds are invested in non-conflicting assets. Upon confirmation, I will ensure that all of my cash accounts are below thresholds insured by the Federal Deposit Insurance Corporation. I will retain my unpaid position as President of Steven T. Mnuchin Inc. I am the sole owner of this entity, which I use to manage some of my investments. I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of Steven T. Mnuchin Inc. or its underlying assets, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l) , or qualify for a regulatory exemption, pursuant to 18 U.S.C. § 208(b )(2). I resigned from my positions as Vice Chairman and Director of CIT Group, Inc., in April 2016 and December 2016, respectively . Under the provisions of the merger of 1MB Holdings LLC and CIT Group, Inc ., a sum of cash, or holdback, is being reserved by CIT Group, Inc . in order to cover certain contingent liabilities of 1MB Holdings LLC Any excess is expected to be distributed to the Steven T. Mnuchin Revocable Trust and the Steven Mnuchin Dynasty Trust I between August 2018 and August 2020. Until I receive full payment , I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the ability or willingness of CIT Group, Inc. to honor its contractual obligation, unless I first obtain a written waiver, pursuant to 18 U.S.C . § 208(b )(1 ). In addition , I have a restrictive covenant agreement with CIT Group, Inc. through July 2018. Until this agreement has expired , I will not participate personally and substantially in any particular matter involving specific parties in which I know CIT Group, Inc . or IMB Holdings LLC is a party or represents a party , unless I am first authorized to participate, pursuant to 5 C.F.R. § 2635 .502(d). Following confirmation and before I assume the duties of the position of Secretary, I will provide you with a list of every asset that I acquired subsequent to filing my nominee financial disclosure report . I will abide by your decision regarding the divestiture or retention of these assets and, if you direct the divestiture of any asset, I will accomplish the divestiture within 90 days of my confirmation. In addition, I will meet in person with you during the first week of my service in the position of Secretary in order to complete the initial ethics briefing required under 5 C.F.R. § 2638.305. Upon confirmation, I will resign from my positions with the entities listed in Attachment B. I previously resigned from my positions with the following entities : CIT Bank NA , Sears Holdings Inc., STM Capital LLC , the Museum of Contemporary Art , and IMB Management Holdings GP LLC . For a period of one year after my resignation from each of these entities , I will not participate personally and substantially in any particular matter involving specific parties in which I know that entity is a party or represents a party, unless I am first authorized to participate , pursuant to 5 C.F .R . § 2635.502(d). 2 AMERICAN PVERSIGHT OGE-17-0005-J-000135 Prior to or upon confirmation, I will fully disclose to you all assets of my fiancee that would have been reportable under 5 U.S.C. app. § 102 if we were mmTied. Until we are manied , I will not pa1ticipate personally and substantially in any particular matter involving specific parties that to my knowledge has a direct and predictable effect on my fiancee's financial interests, or any member of my household , unless I am first authorized to pa1ticipate pursuant to 5 C.F.R. § 2635.502(d), or would, if we were manied, qualify for a regulatory exemption , pursuant to 18 U.S.C. § 208(b)(2). Upon marriage I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on my spouse's financial interests , unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l) , or qualify for a regulatory exemption , pursuant to 18 U.S.C. § 208(b)(2). I have been advised that this ethics agreement will be posted publicly , consistent with 5 U.S.C. § 552, on the website of the U.S. Office of Government Ethics with ethics agreements of other Presidential nominees who file public financial disclosure reports. Sincerely, >t µ- Benjamin P. Keane Managing Associate       Fax +1 202 496 7756 D (b) (6) D       Fax +1 404 527 4198 ben.keane@dentons.com (b) (6) VERSIGHT OGE-17-0005-J-000172 Dentons US LLP 1900 K Street, NW, Washington, DC 20006 303 Peachtree Street, NE, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons is a global legal practice providing client services worldwide through its member firms and affiliates. This email may be confidential and protected by legal privilege. If you are not the intended recipient, disclosure, copying, distribution and use are prohibited; please notify us immediately and delete this copy from your system. Please see dentons.com for Legal Notices. Referral to HHS From: Keane, Benjamin P. Sent: Tuesday, January 10, 2017 4:47 PM To: Olesh, Stanley D. (HHS/OGC); Passantino, Stefan C. Cc: Hall, Randall (HHS/OGC) Subject: RE: 278 & draft Ethics Agreement [DEN-US_Active.FID13145093] (b) (6) Stan, We should be all set on the final item as well.  Our team has cross-referenced the records against the info and checked/unchecked the appropriate boxes in the system.  Just a few minor changes, but we should be all set to push this thing forward. (b)(3), (6) Thanks, Ben VERSIGHT OGE-17-0005-J-000173 Benjamin P. Keane Managing Associate D +1 (b) (6) D+ (b) (6)       Fax +1 202 496 7756       Fax +1 404 527 4198 (b) (6) Dentons US LLP 1900 K Street, NW, Washington, DC 20006 303 Peachtree Street, NE, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons is a global legal practice providing client services worldwide through its member firms and affiliates. This email may be confidential and protected by legal privilege. If you are not the intended recipient, disclosure, copying, distribution and use are prohibited; please notify us immediately and delete this copy from your system. Please see dentons.com for Legal Notices. Referral to HHS Referral to HHS VERSIGHT OGE-17-0005-J-000174 From: To: Subject: Date: Patrick J. Lightfoot Heather A. Jones RE: Representative Tom Price Wednesday, January 11, 2017 1:27:59 PM Thanks! -----Original Message----From: Heather A. Jones Sent: Wednesday, January 11, 2017 1:27 PM To: Patrick J. Lightfoot; Teresa L. Williamson Subject: Fw: Representative Tom Price Please see below Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network.   Original Message (b) (6) From: Ann M Donaldson Sent: Wednesday, January 11, 2017 1:21 PM To: Deborah J. Bortot; Heather A. Jones Subject: Representative Tom Price On behalf of the President-Elect, this email serves as confirmation that the President-Elect intends to nominate Representative Tom Price to be Secretary of Health and Human Services. Please transmit his pre-cleared 278 report to the appropriate Senate committee. Ann M. Donaldson Associate JONES DAY® - One Firm Worldwide 51 Louisiana Avenue, NW Washington, DC 20001 (b) (6) Office +1 - VERSIGHT OGE-17-0005-J-000176 Fro m: To: Passantino, Stefan C. Cc: Subject : Rschmann, Elizabeth (HHS/OGC): Hall, Randall (HHS/OGC}; Cindy Berry : Patrick J. Lightfoot RE: PRECLEARED: Thomas Price Date : Attac hments: Wednesday, January 11, 2017 4:09 :12 PM image001.png Olesh, Stanley D. (HHS/OGC}: Keane, Benjamin P. Yes . I believe it is signed. Let me see an d get right back. Stefan C. Passantino Paitner D I Fax: +1 202 496 7756 Blog: www .paytoplaylawblog .com Bio I Blog I Website Chair, Dentons Political Law Practice Dentons US LLP 1900 K Street, NW, Wash ington, DC 20006 Dentons US LLP 303 Peachtree Street, Suite 5300, Atlanta, GA 30308 A/jx Salans FMC SNR Denton McKenna Long Dentons is a global legal practice provid ing client services worldwide through its member fnms and affiliates. This email may be confidential and protected by legal privilege. If you are not the intended recipient, disclosure, copying, distribution and use are prohibited ; please notify us immediate ly and delete this copy from your system. Please see dentons.com for Legal Notices. M pVERSIGHT OGE-17-0005-J-000177 From: Passantino , Stefan C. ] Sent: We dnesday, Janu aiy 11, 20 17 2 :52 PM To: Olesh, Stanle y D . (HH S/OGC); Keane, Benjamin P . Cc: Fischmann , Elizabe th (HHS/OG C); Hall, Randall (HH S/OGC) ; Cindy Beny ; Patrick J. Lightfo ot Subject: RE : PRE CLEARED: Thom as Price Thank you . I ve1y much appreciate the profe ssionalism of the entir e HH S staff and you in pai1icul ar. I will get you an answer as to how we get you the letter. Stefan C. Passantino Pai1ner D I Fax : +1 202 496 7756 Blog : www .paytoplayla:wblog .com Bio I Blog I Website Chair, Dentons Political Law Pract ice Den tons US LLP 1900 K Street, NW , Was hington, DC 20006 OGE-17-0005-J-000178 Dentons US LLP 303 Peachtree Street, Suite 5300, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons is a global legal practice providing client services worldwide through its member firms and affiliates. This email may be confidential and protected by legal privilege. If you are not the intended recipient, disclosure, copying, distribution and use are prohibited; please notify us immediately and delete this copy from your system. Please see dentons.com for Legal Notices. Referral to HHS OGE-17-0005-J-000179 Referral to HHS From: Patrick J. Lightfoot Sent: Wednesday, January 11, 2017 12:23 PM To: 'Ann M Donaldson' Cc: Hall, Randall (HHS/OGC); Fischmann, Elizabeth (HHS/OGC); Olesh, Stanley D. (HHS/OGC) Subject: RE: PRECLEARED: Thomas Price No attachment found in search Annie, Mr. Price’s draft ethics agreement is attached. Sincerely, -Patrick J. Lightfoot Assistant Counsel, Ethics Law & Policy Branch General Counsel & Legal Policy Division U.S. Office of Government Ethics 1201 New York Ave NW, Suite 500 Washington, DC 20005 Telephone: (202) 482-9271 Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics VERSIGHT OGE-17-0005-J-000180 From: Deborah J. Bortot Sent: Wednesday, January 11, 2017 12:21 PM To: 'Ann M Donaldson' Cc: Patrick J. Lightfoot; David J. Apol; Heather A. Jones; Sandra S. Mabry; Keith Labedz; Teresa L. Williamson; Rodrick T. Johnson; Emory A. Rounds III; Hall, Randall (HHS/OGC); 'Fischmann, Elizabeth (HHS/OGC)' Subject: PRECLEARED: Thomas Price Annie, Thomas Price is precleared. Patrick, please forward the ethics agreement to Annie. Thanks! Deb Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9227 Facsimile: (202) 482-9237 OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, AMERICAN pVERSIGHT OGE-17-0005-J-000181 Referral to HHS From: Patrick J. Lightfoot [mailto:pjlightf@oge.gov] Sent: Wednesday, January 11, 2017 6:01 PM To: Olesh, Stanley D. (HHS/OGC) Subject: RE: FW: PRECLEARED: Thomas Price Stan,   What’s a good number to reach you at?  I tried the number you called me on earlier but it said the mailbox wasn’t in service.   --Patrick Referral to HHS From: Kris Skrzycki [mailto:kskrzycki@gmail.com] Sent: Wednesday, January 11, 2017 4:23 PM To: Passantino, Stefan C.; Olesh, Stanley D. (HHS/OGC) Cc: Keane, Benjamin P.; Cindy Berry Subject: Re: FW: PRECLEARED: Thomas Price Stanley, I have a signed copy of the Pre-Clearance letter. I can have it scanned and sent. Who should it be emailed to? On Wed, Jan 11, 2017 at 4:11 PM, Passantino, Stefan C. < wrote: (b) (6) Kris, can you please coordinate and resolve HHS's sense of urgency below?  I think this is just logistics.   Stefan C. Passantino Partner D (b) (6) M (b) (6) VERSIGHT      Fax: +1 202 496 7756 OGE-17-0005-J-000182 Referral to HHS From: Patrick J. Lightfoot [mailto:pjlightf@oge.gov] Sent: Wednesday, January 11, 2017 7:17 PM To: Fischmann, Elizabeth (HHS/OGC); Olesh, Stanley D. (HHS/OGC) Subject: RE: Pre-Clearance Letter - Price - HHS When opening the report, there should be an option to “Sign” the report.  After clicking Sign, check the certification that the report is accurate and complete, then scroll to the bottom of the page to click Submit.    If there is a number where we can reach you to walk you through the steps over the phone, we would be happy to do so.   From: tom price Sent: Wednesday, January 11, 2017 6:58 PM To: Olesh, Stanley D. (HHS/OGC) Cc: Kris Skrzycki; Patrick J. Lightfoot; Passantino, Stefan C.; Keane, Benjamin P.; Cynthia Berry Subject: Re: Pre-Clearance Letter - Price - HHS (b) (6) 278e complete and submitted Referral to HHS From: tom price [mailto (b) (6) VERSIGHT OGE-17-0005-J-000183 Sent: Wednesday, January 11, 2017 5:57 PM To: Kris Skrzycki; Olesh, Stanley D. (HHS/OGC); pjlightf@oge.gov Cc: Passantino, Stefan C.; Keane, Benjamin P.; Cynthia Berry Subject: Re: Pre-Clearance Letter - Price - HHS I thought a pdf was not acceptable. Is that not true? Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Kris Skrzycki Final EA released below Sent: Wednesday, January 11, 2017 4:36 PM To: ; pjlightf@oge.gov Cc: Passantino, Stefan C.; Keane, Benjamin P.; Cynthia Berry; tom price Subject: Pre-Clearance Letter - Price - HHS (b) (6) Attached is a pre-clearance letter/ethics agreement signed by Dr. Price, nominee for Secretary of Health and Human Services. Kris OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000184 From: To: Cc: Subject: Date: Attachments: Deborah J. Bortot Teresa L. Williamson Sandra S. Mabry FW: Final DAEO Letter and Ethics Agreement for Dr. Thomas E. Price Wednesday, January 11, 2017 7:55:58 PM DAEO Ltr to OGE Dr. Thomas E. Price FINAL 1.11.17.pdf Ethics Agreement Dr. Thomas E. Price FINAL 1.11.17.pdf DAEO letter referred to HHS; Final ethics agreement released below     Referral to HHS   VERSIGHT OGE-17-0005-J-000185 From: To: Subject: Date: Teresa L. Williamson Sandra S. Mabry FW: OGE Reports Thursday, January 12, 2017 11:05:31 AM Hi Sandy,  See Chung’s email below.  I figure we have one voice from OGE to the committee on questions on the status of reports and I’m assuming that’s your voiceJ   Let me know if I should be calling, I’d be happy to do so.   Thanks Teresa   From: Shek, Chung (HELP Committee) Sent: Thursday, January 12, 2017 11:03 AM To: Teresa L. Williamson Subject: OGE Reports (b) (6)   Hey Teresa,   Are there any updates as to when we might be getting OGE reports for Price,   Thanks! Chung VERSIGHT (b) (6) ? OGE-17-0005-J-000186 From: To: Subject: Date: Attachments: Sandra S. Mabry "Ann M Donaldson" FW: Public Financial Disclosure Report of Thomas E. Price Thursday, January 12, 2017 7:12:21 PM Price, Thomas E. final278.pdf Price, Thomas E. finalEA.pdf Price, Thomas E. finalsenateltr-HELP--.docx.pdf Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b)(3) Available at https://extapps2.oge.gov/201/Presiden.nsf/ PAS%20Index?OpenView Annie,   Yesterday we sent the documents for Dr. Price to the Senate Finance Committee, the committee that handles the nomination for the Secretary of Health and Human Resources.  With the email below, we have transmitted the package to the Committee on Health, Education, Labor, and Pensions, consistent with long-time practice.   If you have any questions, please call me at 202-4829258 or Deb at 202-482-9277.  Thanks, Sandy     From: Sandra S. Mabry Sent: Thursday, January 12, 2017 7:01 PM To: 'Chung_Shek@help.senate.gov' Cc: Deborah J. Bortot; Teresa L. Williamson; Rodrick T. Johnson; Heather A. Jones; 'Ann M Donaldson' Subject: Public Financial Disclosure Report of Thomas E. Price     Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b)(3) Available at https://extapps2.oge.gov/201/Presiden.nsf/ PAS%20Index?OpenView Good Evening,                                                             I’ve attached the financial disclosure package for Thomas E. Price. President-Elect Trump has announced his intention to nominate Dr. Price for the position of Secretary, Department of Health and Human Services.   The hard copy of the attached documents will be placed at OGE reception for pick up by a Senate rider page per our agreement. If you have any questions, please contact Teresa Williamson @ 202-482-9283.   Please respond to this message to confirm receipt of the attached package, and please let me know in your response whether you will send a Senate rider page.   Thanks!   Sandra Mabry Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Avenue, NW - Suite 500 Washington, DC 20005 202-482-9258 VERSIGHT OGE-17-0005-J-000187 F om To Subject Date Attachments at ick J ightfoot "Ha l Randall (HHS/OGC)" RE o m 278e - Upda e et e fo the OGE Tuesday Janua y 31 2017 7 51 00 AM mage001 png le of D Tom ice Hi Randy   Just wanted to follow up and see if you’d heard back from the filer’s attorney.   Thanks!   --Patrick   Referral to HHS From: Keane Benjamin P (b) (6) Sent: Monday January 23 2017 3:19 PM To: Ha l Randa l (HHS/OGC) Subject: FW: Form 278e - Update Letter for the OGE Fi e of Dr. Tom Pr ce   Randy, Thanks for con irming receipt of this document over the phone for me th s a ternoon. f you have a second to send an e-ma l confirmation of receipt as we l it would be much apprec ated. Sorry to ask you to do that, but I'd feel bet er having written documenta ion for my records moving forward. Thanks again and have a great day, Ben --Benjamin P. Keane Managing Associate D D (b) (6) (b) (6) (b) (6)     Fax 1 202 96 7756 Fax 1 0 527 198 Dentons US LLP 1900 K Street, NW, Washington, DC 20006 303 Peachtree Street, NE, At anta, GA 30308 大成 Salans FMC SNR Den on McKenna Long Den ons s a g obal egal practice providing client serv ces worldw de through ts member firms and aff l ates. Th s email may be confidential and protec ed by legal priv lege. If you are not the intended recip ent, disclosure, copying, distribution and use are prohib ted; please notify us immediately and de ete this copy from your system. P ease see de o s co for Legal Not ces. Referral to HHS VERSIGHT OGE-17-0005-J-000188 From: To: Subject: Date: Patrick J. Lightfoot "Fischmann, Elizabeth (HHS/OGC)"; "Hall, Randall (HHS/OGC)" Update on Price Report Tuesday, January 31, 2017 12:44:35 PM Hi Elizabeth and Randy,   In light of Congressman Price’s testimony at his confirmation hearing that (b)(3), (5), (6)           Please feel free to forward those portions above to him/his attorney and send any response you receive my way.  Thank you!   --Patrick     VERSIGHT OGE-17-0005-J-000189 From: To: Cc: Subject: Date: Patrick J. Lightfoot "Olesh, Stanley D. (HHS/OGC)" "Hall, Randall (HHS/OGC)"; Patrick Shepherd RE: ADVANCE -- Price CD request Wednesday, February 01, 2017 10:47:44 AM Stan,   I spoke with the head of our CD program and it appears that the best course of action will be to wait until we’ve resolved the remaining questions surrounding the amendment of the 278 and EA before moving forward with a CD review in case anything needs to be adjusted on that front.  Once we’re all clear there, we can start the review of the CD.   --Patrick   From: Patrick J. Lightfoot Sent: Tuesday, January 31, 2017 12:51 PM To: 'Olesh, Stanley D. (HHS/OGC)' Cc: 'Hall, Randall (HHS/OGC)' Subject: RE: ADVANCE -- Price CD request Referral to HHS   Hi Stan,   I can forward this to the manager of our CD program (which might result in the CD being assigned to me anyway), but I’d note that we’re still trying to work out the amendment letter and corresponding changes to the ethics agreement, which would prevent the CD from being complete until those are done.  I believe Randy was trying to get in touch with his attorney when we spoke about it on Thursday.    --Patrick   OGE-17-0005-J-000190 Referral to HHS From Keane, Benjamin P (b) (6) Sent Wednesday, Feb ua y 01, 2017 1 33 PM To Hall, Randa l (HHS/OGC) Cc Olesh, Stanley D. (HHS/OGC) Fischmann, El zabeth (HHS/OGC) Subject RE Fo m 278e - Update Lette fo the OGE F le of D . Tom P ice Importance High Randy, Thank you fo you time today (b)(3), (4), (5), (6) Thanks in advance fo you assistance. Should you have any questions o conce ns, please do not hesitate to let me know. Ben Benjamin P. Keane D 1(b) (6) D(b) (6) (b) (6) Fax 1 202 496 7756 Fax 1 404 527 4198 Dentons US LLP 1900 K St eet, NW, Washington, DC 20006 303 Peacht ee St eet, NE, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons s a global legal p act ce p oviding client se vices wo ldw de th ough i s membe fi ms and affil ates. This ema l may be confidential and p otected by legal p ivilege. If you a e not the ntended ecipient, disclosu e, copying, d st ibution and use a e p ohibited please notify us mmed ately and delete th s copy f om you system. Please see dentons.com fo Legal Notices. Referral to HHS From Keane, Benjamin P (b) (6) Sent Monday, Janua y 23, 2017 3 19 PM To Hall, Randa l (HHS/OGC) Subject FW Fo m 278e - Update Lette fo the OGE F le of D . Tom P ice Randy, Thanks fo confi ming eceipt of this document ove the phone fo me this afte noon. If you have a second to send an e-mail confi mat on of eceipt as well it would be much app eciated. So y to ask you to do that, but I'd feel bette hav ng w itten documentation fo my eco ds moving fo wa d. Thanks again and have a g eat day, Ben .. Benjamin P. Keane Managing Assoc ate D(b) (6) D (b) (6) (b) (6) Fax 1 202 496 7756 Fax 1 404 527 4198 Dentons US LLP 1900 K St eet, NW, Washington, DC 20006 303 Peacht ee St eet, NE, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons s a global legal p act ce p oviding client se vices wo ldw de th ough i s membe fi ms and affil ates. This ema l may be confidential and p otected by legal p ivilege. If you a e not the ntended ecipient, disclosu e, copying, d st ibution and use a e p ohibited please notify us mmed ately and delete th s copy f om you system. Please see dentons.com fo Legal Notices. - From Keane, Benjamin P. Sent Sunday, Janua y 22, 2017 11 14 PM No attachment found in To Hall, Randa l (HHS/OGC(b) (6) search Subject Fo m 278e - Update Lette fo the OGE File of D . Tom P ice Randy, I hope all is well. The attached lette issues on behalf of D . Tom P ice - nominee to se ve as Sec eta y of the U.S. Depa tment of Health and Human Se vices. As pe ou p evious conve sations and you ve bal guidance, please find attached fo inclusion in the file of D . P ice a copy of an update lette that notes a small numbe of m no adm nist at ve edits that should be made to the Fo m 278e p eviously submitted th ough you office. Thanks n advance fo you t me and assistance as it elates to this matte , and please let us know if you equi e any additional nfo mat on. Have a g eat day, Ben - Benjamin P. Keane Managing Assoc ate D(b) (6) D(b) (6) (b) (6) Fax 1 202 496 7756 Fax 1 404 527 4198 Bio LinkedIn Webs te Assistant Ada Oppengeim 1 202 496 7152 Dentons US LLP 1900 K St eet, NW, Washington, DC 20006 303 Peacht ee St eet, NE, Atlanta, GA 30308 大成 Salans FMC SNR Denton McKenna Long Dentons s a global legal p act ce p oviding client se vices wo ldw de th ough i s membe fi ms and affil ates. This ema l may be confidential and p otected by legal p ivilege. If you a e not the ntended ecipient, disclosu e, copying, d st ibution and use a e p ohibited please notify us mmed ately and delete th s copy f om you system. Please see dentons.com fo Legal Notices. VERSIGHT OGE-17-0005-J-000192 Referral to HHS From: Keane, Benjamin P. Sent: Thursday, February 02, 2017 11:22 AM To: Hall, Randall (HHS/OGC) Cc: Olesh, Stanley D. (HHS/OGC); Fischmann, Elizabeth (HHS/OGC) Subject: RE: Questions for Dr. Price Importance: High (b) (6)   Randy, Thanks for your assistance with these matters. Please find below the nominee's responses to both inquiries. Sincerely, Ben Keane ---------------------------------------(b)(3), (5), (6) Referral to HHS OGE-17-0005-J-000193 Referral to HHS   From: Patr ck J. Lightfoot [mailto:pjl ghtf@oge.gov] Sent: Tuesday February 07 2017 1:28 PM To: Ha l Randa l (HHS/OGC); Deborah J. Bortot; Heather A. Jones Cc: Olesh Stan ey D. (HHS/OGC); Fischmann Elizabeth (HHS/OGC) Subject: RE: Amendent Letter   Thanks Randy!  Now we just need the cover letter from Elizabeth.    Referral to HHS From: Keane Benjamin P (b) (6) Sent: Tuesday February 07 2017 1:22 PM To: Ha l Randa l (HHS/OGC) Cc: Olesh Stan ey D. (HHS/OGC); Fischmann Elizabeth (HHS/OGC) Subject: RE: Amendent Letter Importance: H gh   No attachment found in search Randy, Please find attached a signed copy of the Ethics Agreement Amendment letter. The or ginal vers on wi l be hand delivered to your o fices. Thanks, Ben Benjamin P. Keane D (b) (6) D(b) (6) (b) (6) Fax 1 202 96 7756 Fax 1 0 527 198 .1111111..     Dentons US LLP 1900 K Street, NW, Washington, DC 20006 303 Peachtree Street, NE, At anta, GA 30308 大成 Salans FMC SNR Den on McKenna Long Den ons s a g obal egal practice providing client serv ces worldw de through ts member firms and aff l ates. Th s email may be confidential and protec ed by legal priv lege. If you are not the intended recip ent, disclosure, copying, distribution and use are prohib ted; please notify us immediately and de ete this copy from your system. P ease see den ons.com for Legal Not ces. Referral to HHS From: Deborah J. Bortot [mai to:djbortot@oge.gov] Sent: Tuesday February 07 2017 11:36 AM To: Ha l Randa l (HHS/OGC); Heather A. Jones Cc: Fischmann El zabeth (HHS/OGC) Subject: RE: Amendent Letter 2 page attachment withheld in full - (b)(3), (4), (5), (6)   Randy   provide the filer with the attached letter.  (b) (5)   Thanks Deb Referral to HHS From: Keane Benjamin P. (b) (6) Sent: Monday February 06 2017 5:17 PM To: Ha l Randa l (HHS/OGC) Cc: Olesh Stan ey D. (HHS/OGC); Fischmann Elizabeth (HHS/OGC) Subject: RE: Amendent Letter   Thanks for the etter, Randy, and for the fo low-up conversat on on these ssues. We are genera ly comfortable with a l the language in the amendment. The only requested change we wou d ask OGE to cons der s to tweak the last sentence on pg. 1 to read as fol ows: (b) (5) If you bel eve OGE wou d be amenab e to that small change, please pass it along to them and we can s gn a new vers on once it s comp eted. If you don t believe they would be wi ling to make that change, please con irm that as we l. Thanks for your assis ance, Ben Benjamin P. Keane D(b) (6) D(b) (6) (b) (6)     Fax 1 202 96 7756 Fax 1 0 527 198 Dentons US LLP 1900 K Street, NW, Washington, DC 20006 303 Peachtree Street, NE, At anta, GA 30308 大成 Salans FMC SNR Den on McKenna Long Den ons s a g obal egal practice providing client serv ces worldw de through ts member firms and aff l ates. Th s email may be confidential and protec ed by legal priv lege. If you are not the intended recip ent, disclosure, copying, distribution and use are prohib ted; please notify us immediately and de ete this copy from your system. P ease see de o s co for Legal Not ces. Referral to HHS VERSIGHT OGE-17-0005-J-000196 From: To: Subject: Date: Attachments: Patrick J. Lightfoot Elaine Newton ADVANCE -- Price CD request Wednesday, February 08, 2017 8:31:52 AM PriceSec-CD-ogecdtransm.doc TEP HHS Certificate of Divestiture Request Letter.pdf Ethics Agreement Dr. Thomas E. Price FINAL 1.11.17.pdf Price Thomas E. final278.pdf Price, Thomas final278EAsupplement.pdf Attachments referred to HHS; 278 not available under FOIA; Final EA released below Elaine,   Attached are the materials for Dr. Price’s CD request.  HHS is requesting a review in advance of his confirmation so that he can then send us official versions of the docs and divest ASAP.    Thanks!   --Patrick                 Referral to HHS VERSIGHT OGE-17-0005-J-000197 Fro m: To: Cc: Subject : Date : Patrick J. Lightfoot "Olesh, Stanley D. {HHS/OGC)" Patrick Shepherd; Hall, Randall {HHS/OGC): Fischmann,Elizabeth{HHS/OGC) RE: ADVANCE-- Price CD request Wednesday, February 08, 201712 :17:24 PM Hi St an, Unfor t unate ly, t here isn't a set estimate on turn -arou nd t ime I can give because every CD package is d iffere nt. --Patr ick From: Patrick J. Lightfoot [maHto:Rilightf@oge.gov ] Sent: Wednesday, February 08, 2017 8:29 AM To: Olesh, Stanley D. (HHS/OGC) Cc: Patrick Shepherd; Hall, Randall (HHS/OGC) Subject: RE: ADVANCE -- Price CD request Hi St an, Now that we've got t he signed ame ndment letter fr om Dr. Price, I'll forward the CD package for pre - M pVERSIGHT OGE-17-0005-J-000198 review. Thanks! ??Patrick From: To: Subject: Date: Attachments: ==-=-=--- ----- Teresa L. Williamson Patrick J. Lightfoot; (b)(6) - Randall Hall's email address ; "(b)(6) - Olesh Stanley's email address Amendment to Public Financial Disclosure Report of Thomas E. Price Thursday, February 09, 2017 7:57:31 AM Price, Thomas finalagencyltr.pdf Agency letter referred to HHS; other attachments Price, Thomas OGEcoverletteramendment.pdf released below Price, Thomas final278EAsupplement.pdf Price, Thomas senateAmendFINANCEltr.pdf Good Morning,   The attached is an amendment to the final report that was submitted to the committee by letter dated January 11, 2017.     Thanks!   Teresa Williamson US Office of Government Ethics 1201 New York Avenue, NW - Suite 500 Washington, DC 20005 202-482-9283   VERSIGHT OGE-17-0005-J-000200 UNITED STATES OFFICE OF GOVERNMENT ETHICS ----* February 8, 2017 The Honorable Orrin Hatch Chairman Committee on Finance United States Senate Washington, DC 20510 Dear Mr. Chairman: By letter dated January 11, 2017, the Office of Government Ethics (OGE) transmitted to the Committee the financial disclosure report and ethics agreement of Thomas E. Price in connection with his nomination for the position of Secretary, Department of Health and Human Services. Enclosed are a letter from the Department of Health and Human Services and a letter from Dr. Price amending his financial disclosure report and supplementing his ethics agreement. Dr. Price’s enclosed letter amends the following four items that he previously disclosed in his financial disclosure report: (1) “Chattahoochee Associates” (“Organization Name” and “Position Held” columns amended in Part 1, Line 2); (2) “Chattahoochee Associates” (“Description” column amended in Part 2, Line 1); (3) “Amazon Com Inc” (“Value” column amended in Part 6, Line 14.55); and (4) “Innate Immunotherapeutics Ltd.” (“Income Type” and “Income Amount” columns amended in Part 6, Line 15.1). Dr. Price’s enclosed letter also adds the following new line item entry that he previously omitted from his financial disclosure report: “Innate Immunotherapeutics Ltd.” (stock valued at $100,001-$250,000 in Part 6, Line 28). Finally, the letter supplements his January 11, 2017, ethics agreement with additional commitments. We have reviewed this additional submission and have obtained advice from the Department of Health and Human Services concerning any possible conflict in light of its functions and Dr. Price’s proposed duties. Based on the information provided, OGE and the Department of Health and Human Services continue to believe that there will be no unresolved conflicts of interest between his financial interests and the duties that he will be expected to perform as Secretary. Sincerely, Walter M. Shaub, Jr. Director Enclosures OGE-17-0005-J-000201 1201 NEW YORK AVE NW · SUITE S00 ·WASHINGTON DC · 20005 UNITED STATES OFFICE OF GOVERNMENT ETHICS ---- * -------------------------February 7, 2017 The Honorable Lamar Alexander Chairman Committee on Health, Education, Labor, and Pensions United States Senate Washington, DC 20510 Dear Mr. Chairman: By letter dated January 11, 2017, the Office of Government Ethics (OGE) transmitted to the Committee the financial disclosure report and ethics agreement of Thomas E. Price in connection with his nomination for the position of Secretary, Department of Health and Human Services. Enclosed are a letter from the Department of Health and Human Services and a letter from Dr. Price amending his financial disclosure report and supplementing his ethics agreement. Dr. Price’s enclosed letter amends the following four items that he previously disclosed in his financial disclosure report: (1) “Chattahoochee Associates” (“Organization Name” and “Position Held” columns amended in Part 1, Line 2); (2) “Chattahoochee Associates” (“Description” column amended in Part 2, Line 1); (3) “Amazon Com Inc” (“Value” column amended in Part 6, Line 14.55); and (4) “Innate Immunotherapeutics Ltd.” (“Income Type” and “Income Amount” columns amended in Part 6, Line 15.1). Dr. Price’s enclosed letter also adds the following new line item entry that he previously omitted from his financial disclosure report: “Innate Immunotherapeutics Ltd.” (stock valued at $100,001-$250,000 in Part 6, Line 28). Finally, the letter supplements his January 11, 2017, ethics agreement with additional commitments. We have reviewed this additional submission and have obtained advice from the Department of Health and Human Services concerning any possible conflict in light of its functions and Dr. Price’s proposed duties. Based on the information provided, OGE and the Department of Health and Human Services continue to believe that there will be no unresolved conflicts of interest between his financial interests and the duties that he will be expected to perform as Secretary. Sincerely, Walter M. Shaub, Jr. Director Enclosures OGE-17-0005-J-000202 1201 NEW YORK AVENW·SUITE S00·WASHINGTON DC·20005 UNITED STATES OFFICE OF GOVERNMENT ETHICS * JAN 12 2017 The Honorable Lamar Alexander Chairman Committee on Health, Educat ion, Labor, and Pensions United States Senate Washington, DC 20510 Dear Mr. Chairman: In accordance wit h the Ethics in Government Act of 1978, I enclose a copy of the financial disclosure report filed by Thomas E. Price. President-Elect Trump has announced his intention to nominate Dr . Price for the position of Secretary , Department of Health and Human Services. We have reviewed the report and have obtained advice from the agency concerning any possible conflict in light of its functions and the nominee' s proposed duties. Also enclosed is an ethics agreement outlinin g the actions that the nominee will undertake to avo id conflicts of interest. Unless a date for compliance is indicated in the ethics agreemen t, the nominee mu st fu lly comply within three months of confirmat ion with any action specifie d in the ethics agreement. Based thereon , we believe that this nominee is in compliance with applicable laws and regulations govern ing conflicts of interest. ;~ $~ ~, WalterM. Shaub, Jr. Director Enclosures AM CAN PVERSIGHT 1201 New York Avenue, NW , Su ite 500 www.oge .go v I Wa sh i.ngton, DC 20005 OGE-17-0005-J-000203 January 11, 2017 Ms. Elizabeth J. Fischmaw1 Associate General Counsel for Ethics Designated Agency Ethics Official U.S. Department of Health and Human Services Room 710-E, Hubert H. Humphrey Building 200 Independence Avenue, SW Washington, DC 20201 Dear Ms. Fischmann: The purpose of this letter is to describe the steps that I will take to avoid any actual or apparent conflict of interest in the event that I am confirmed for the position of Secretary, U.S. Department of Health and Human Services. As required by 18 U.S.C. § 208(a), I will not participate personally and substantially in any particular matter in which I know that I have a financial interest directly and predictably affected by the matter, or in which I know that a person whose interests are imputed to me has a financial interest directly and predictably affected by the matter, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l), or qualify for a regulatory exemption,pursuant to 18 U.S.C. § 208(b)(2). I understand that the interests of the following persons are imputed to me: any spouse or minor child of mine; any general partner of a partnel'Shipin which I am a limited or general partner; any organization in which I serve as officer, director, trustee, general partner or employee; and any person or organization with which I am negotiatingor have an arrangement concerning prospective employment. Upon confirmation, I wm resign from my position as Managing Partne1·of Chattahoochee Associates LP. I will continue to have a financial interest in this entity, but I will not provide services · material to the production of income. Instead, I will receive only passive investment income from it. I will not participate personally and substantiallyin any pruticular matter that to my knowledge has a direct and predictable effect on the financial interests of ChattahoocheeAssociates LP, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l) . Upon confirmation, I will resign from my position as Delegate of th.eAmerican Medical Association. For a period of one year after my resignation, I will not participate personally and substantially in any particular matter involving specific parties in which I know the American Medical Association is a pruty or represents a party, unless I am first authorized to participate, pursuant to 5 C.F.R. § 2635.502(d). Within 90 days ofmy confilmation, I will divest my interests in the following entities: AETNA Inc. Alphabet Inc. Amazon.com Inc. AMERICAN pVERSIGHT OGE-17-0005-J-000204 Ms. ElizabethJ. Fischmann Page2 AmericanTower REIT Amgen Inc. Apple Inc. Arch Capital Group Ltd. Ards InternationalPLC Athena Health Inc. · Biogen Inc, BristolMyers Squibb Co. Calpine Cotp. CBS Corp. CognizantTech Solutions Crown Castle Intl Corp. CVS Health Corp. Danaher Corp. Delta Airlines, Inc. Eli Lilly & Co. FacebookInc. Hewlett Packard; Inc. HoneywellCorp. Innate InununotherapeuticsLtd. Jazz PharmaceuticalsPLC Kansas City Southern L Brands Inc. LyondellbasellIndustriesNV McKessonCorp. Nextera Energy Inc. Northrop GrummanCorp. PG&E Corp. Pfizer Inc. Qihoo 360 Technology Co. Ltd. SempraEnergy StarbucksCorp. Thermo Fisher Scientific, Inc. Union Pacific Corp. United TechnologiesCorp. Verizon CommunicationsInc. WhitewaveFoods Corp. Xerox Corp. XL Group PLC Zimmer Biomet Holdings Inc. With regard to each of these entities, I will not pa1·ticipate personally and substantiallyin any pa1iicular matter that to my knowledgehas a di.t"ectand predictableeffect on the financial interestsof the entity AMERICAN pVERSIGHT OGE-17-0005-J-000205 Ms. Eliz.abethJ. Fischmann Page3 until I have divested it, unless I first obtain a w1ittenwaiver,pursuant to 18 U.S.C. § 208(b)(l), or qualify for a regulatoryexemption,pursuant to 18 U.S.C; § 208(b)(2). I will retain limited partnershipinterestsin the followingentitiesthat own propertyrented to healthcare-relatedtenants (in addition to ChattahoocheeAssociates,discussed above): I) DiagnosticVenturesof RoswellLLC; 2) RMC3,LLC With regardto each of these entities, I will not participatepersonallyand substantiallyin any particular matterthat to my knowledgehas a direct and predictableeffect on the financial interests of the entity, unless-I first obtain a written waiver,pursuant to 18 U.S.C. § 208(b)(1). My spouse is employed as a representativein the Georgiastate legislature,a positionfor which she receives a fixed annual salary. I will not participatepersonallyand substantiallyin any particular matter involvingspecificparties in which I know the state of Georgia is a party or representsa party, unless, on a case-by~casebasis, I am first authorizedto participate,pursuant to 5 C.F.R. § 2635.502(d). I will abide by any limitationsthat are placed on that authorization. I understandthat I may be eligible to request a Ce1tificateof Divestiturefor qualifyingassets and that a Certificateof Divestitureis effectiveonly if obtainedprior to divestiture. Regardlessof whetherI receive a Certificateof Divestiture,I will ensure that all divestituresdiscussedin this agreementoccur within the agreed upon timeframesand that all proceeds are invested in nonconflictingassets. In order to avoid potential conflictsof interest during my appointmentas Secretary;I, my spouse, or any minor children of mine will not acquire any direct financial interestin entitieslisted on the FDA prohibitedholdings list or in entitiesinvolved, directlyor through subsidiaries,in the followingindustries: (1) research, development,manufactUl'e,distribution,or sale of phai.maceutical, biotechnology,or medical devices, equipment,preparations,treatment,or products;(2) veterinai.·y products;(3) healthcaremanagementor delivery;(4) health, disability,or workers compensation insuranceor :relatedservices;(5) food and/or beverageproduction,processingor distribution;(6) communicationsmedia; (7) computerhardware, computersoftware,and related internettechnologies; (8) wirelesscommunications;(9) social sciences and economicresearch organiz.ations;(10) energy or utilities; (11) commercialairlines, railroads, shiplines,and cargo carriers; or (12) sector mutual funds that concentratetheir portfolioson one countryother than the United States. In addition,we will not acquire any interestsin sector mutual fu~ds that concentratein any of these sectors. AMERICAN pVERSIGHT OGE-17-0005-J-000206 Ms. ElizabethJ. Fischmann Page4 I have been advisedthat this ethics agreementwill be posted publicly,consistent with 5 U.S.C. § 552, on the website of the U.S. Office of GovernmentEthics with ethics agreementsof other Presidential nomineeswho file public financialdisclosurel'eports. Sincerely, ThomasE. Price, M.D. AMERICAN pVERSIGHT OGE-17-0005-J-000207 February 7, 2017 Ms. Elizabeth J. Fischmann Associate General Counsel for Ethics Designated Agency Ethics Official U.S. Department of Health and Human Services Room 710-E, Hubert H. Humphrey Building 200 Independence Avenue, SW Washington, DC 20201 Dear Ms. Fischmann: The purposes of this letter are to amend the financial disclosure report that I signed on December 15, 2016, and to supplement the ethics agreement that I signed on January 11, 2017. A) Financial Disclosure Report To correct inadvertent errors in my December 15, 2016, financial disclosure report, the items identified below are amended, as follows: Part 1 Or.e.anizaUon Name # ChattahoocheeAssociates 2 City/ State Ora anization Tvoc Atlanta, General Partnership Georgia Position Held Managing and General Partner EIF lneomeTvoe From To I 1/1993 Present Part 2 Descri ption # ChattahoocheeAssociates l no Value $I00,001-$250,000 Income Amou nt None (or less than $20 I) Part 6 Descriotion # 14.55 Amazon Com Inc 15.l Innate ImmunotherapeuticsLtd. (INNMF) EIF Value lnc omeTv oe n/a None (or less than $1,001) Capital Gains n/a $15,001-$50,000 Income Am ount $2,501-$5,000 None (or less than $20 l) To correct an inadvertent error in my December 15, 2016, financial disclosure report, the following item is added to that financial disclosure report: Part 6 # 28 D escr i1Jtion Innate lmmunotherapeuticsLtd. (INNMF) Ju!F nla Value $100,00l-$250,000 Income'fvne IncomeAmount None (or less than $20 I ) AMERICAN pVERSIGHT OGE-17-0005-J-000208 Ms. Elizabeth J. Fischmann Page2 With regard to the assets disclosed in my December 15, 2016, financial disclosure report other than those listed above, the U.S. Office of Government Ethics has asked me to confirm that I disclosed the current value at the time of reporting. By this letter, I am confirming that I used current value with regard to those assets. This letter makes no changes to the value categories disclosed in that financial disclosure report other than those indicated above. B) Supplement to January 11, 2017, Ethics Agreement The new item listed above (Innate Immunotherapeutics Ltd./$100,001-$250,000) is covered by the commitment I made in my January 11, 2017, ethics agreement to divest all interests in Innate Immunotherapeutics Ltd. within 90 days of confirmation. In addition, the following commitments supplement my ethics agreement dated January 11, 2017. In February 2017, I resigned from my position as Managing and General Partner of Chattahoochee Associates and transferred my ownership interest to my spouse. I will not participate personally and substantially in any particular matter that to my knowledge has a direct and predictable effect on the financial interests of Chattahoochee Associates , unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(l). IfI have a managed account or otherwise use the services of an investment professional during my appointment, I will ensure that the account manager or investment professional obtains my prior approval on a case-by-case basis for the purchas e of any assets other than cash, cash equivalents, investment funds that qualify for the exemption at 5 C.F.R. § 2640 .201(a), obligations of the United States, or municipal bonds. I understand that as an appointee I will be required to sign the Ethics Pledge (Exec. Order no. 13770) and that I will be bound by the requirements and restrictions therein in addition to the commitments I made in the ethics agreement I signed on January 11, 2017. I have been advised that this supplement to my ethics agreement will be posted publicly , consistent with 5 U.S.C. § 552, on the website of the U.S. Office of Government Ethics with ethics agreements of other Presidential nominees who file public financial disclosure reports. I understand that this letter will also be released as an attachment to my public financial disclosure report. ~~ --~=:---- Thomas E. nee, M.D . AMERICAN pVERSIGHT OGE-17-0005-J-000209 Referral to EPA From: Stephanie Nonluecha [mailto:snonlue@oge.gov] Sent: Monday, December 19, 2016 5:46 PM (b) (6) To: Fort, Daniel Subject: RE: Questions to pose to my nominee [WARNING: SPF validation failed] Importance: High   Thanks Dan.  I added my comments in tracked changes.  Note that some of my comments overlap with yours in other parts of the document, but you may edit as you deem appropriate before sending to the filer.    Best, Stephanie   Referral to EPA VERSIGHT OGE-17-0005-J-000210 From: To: Subject: Date: Stephanie Nonluecha "Fort, Daniel" RE: We finished our initial review, but can"t contact the nominee directly Tuesday, December 20, 2016 3:43:03 PM Dan,   The contact for him is Reginald (or Reg) Brown at WilmerHale, and he can be reached at (b) (6) .  Please let me know if you need anything further.   Thanks, Stephanie   - Referral to EPA From: Stephanie Nonluecha [mailto:snonlue@oge.gov] Sent: Tuesday, December 20, 2016 9:52 AM To: Fort, Daniel (b) (6) > Subject: RE: Questions to pose to my nominee [WARNING: SPF validation failed]   That’s correct—(b) (5)  I’m still waiting for his contact information, (b)(3), (5), (6) and will send it asap.      Referral to EPA From: Stephanie Nonluecha [mailto:snonlue@oge.gov] Sent: Monday, December 19, 2016 5:46 PM To: Fort, Daniel <(b) (6) Subject: RE: Questions to pose to my nominee [WARNING: SPF validation failed] Importance: High VERSIGHT OGE-17-0005-J-000211   Thanks Dan.  I added my comments in tracked changes.  Note that some of my comments overlap with yours in other parts of the document, but you may edit as you deem appropriate before sending to the filer.    Best, Stephanie   Referral to EPA VERSIGHT OGE-17-0005-J-000212 From: To: Subject: Date: Stephanie Nonluecha "Fort, Daniel" RE: So, OGE is telling me that... Tuesday, December 20, 2016 4:00:59 PM Correct, this is the representative who will be handling Mr. Pruitt’s report.  The transition team provided the phone number only, but since it matches the public information for Mr. Brown, I’m sure the e-mail is correct.  However, you may want to call first in case that’s the preferred communication method at the start.   Referral to EPA From: Stephanie Nonluecha [mailto:snonlue@oge.gov] Sent: Tuesday, December 20, 2016 3:43 PM To: Fort, Daniel (b) (6) Subject: RE: We finished our initial review, but can't contact the nominee directly [WARNING: SPF validation failed]   Dan,   The contact for him is Reginald (or Reg) Brown at WilmerHale, and he can be reached at (b) (6)   Please let me know if you need anything further.   Thanks, Stephanie   Rest of chain mentioned above 1111 VERSIGHT - OGE-17-0005-J-000213 From: To: Cc: Subject: Date: Attachments: Stephanie Nonluecha (b)(6) - Ann Donaldson's email address "Fort, Daniel"; "Fugh, Justina" (b) (5) Thursday, December 22, 2016 6:25:00 PM (b) (5) 1 page attachment withheld in full - (b)(3), (4), (5), (6) Please see attachment.   Regards,   Stephanie Nonluecha Program Analyst (Finance) U.S. Office of Government Ethics (202) 482-9243 snonlue@oge.gov   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   From: Deborah J. Bortot Sent: Thursday, December 22, 2016 6:23 PM To: 'Ann M Donaldson' (b)(6) - Daniel Fort's email address (b)(6) - Justina Tugh's email address Cc: '; Stephanie Nonluecha; Emory A. Rounds III; David J. Apol; Teresa L. Williamson; Sandra S. Mabry; Heather A. Jones; Keith Labedz; Rodrick T. Johnson Subject: (b) (5)   (b) (5)   Thanks! Deb   Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9227 Facsimile: (202) 482-9237 VERSIGHT OGE-17-0005-J-000216 From: To: Subject: Date: Importance: Teresa L. Williamson Stephanie Nonluecha; Megan V. Khaner FW: AG Scott Pruitt Friday, December 23, 2016 8:13:30 AM High Please contact the agency for the final paperwork so that we can forward to the Senate committee.  I have prepared the Senate transmittal letter.   Thanks! Teresa   From: Deborah J. Bortot Sent: Friday, December 23, 2016 8:07 AM To: Teresa L. Williamson; Megan V. Khaner; Stephanie Nonluecha; Emory A. Rounds III Subject: FW: AG Scott Pruitt     From: Ann M Donaldson (b) (6) Sent: Thursday, December 22, 2016 9:05 PM To: Deborah J. Bortot; Heather A. Jones Subject: AG Scott Pruitt On behalf of the President-Elect, this email serves as confirmation that the President-Elect intends to nominate Attorney General Scott Pruitt to be Administrator of the Environmental Protection Agency.  Please transmit his pre-cleared 278 report to the appropriate Senate committee.   Thank you, Annie Ann M. Donaldson Associate JONES DAY® - One Firm Worldwide℠ 51 Louisiana Avenue, NW Washington, DC 20001 Office (b) (6) ========== This e-mail (including any attachments) may contain information that is private, confidential, or protected by attorney-client or other privilege.  If you received this e-mail in error, please delete it from your system without copying it and notify sender by reply e-mail, so that our records can be corrected. ========== VERSIGHT OGE-17-0005-J-000217 From: To: Cc: Subject: Date: Megan V. Khaner "Fugh, Justina" Stephanie Nonluecha; Fort, Daniel RE: Pruitt [WARNING: SPF validation failed] Friday, December 23, 2016 10:24:43 AM Thank you for the update! m   Referral to EPA     From: Megan V. Khaner [mailto:mvkhaner@oge.gov] Sent: Friday, December 23, 2016 9:33 AM To: Fort, Daniel (b) (6) > (b) (6) Cc: Fugh, Justina < Subject: Pruitt [WARNING: SPF validation failed]   The President-Elect intends to nominate Attorney General Scott Pruitt to be Administrator of the Environmental Protection Agency. Please send me the final paperwork for Pruitt and make sure the final report is signed and certified in Integrity.   Megan Khaner Program Analyst (Finance) Presidential Nominations Branch General Counsel and Legal Policy Division 202.482.9204 VERSIGHT OGE-17-0005-J-000218 From: To: Cc: Subject: Date: Deborah J. Bortot Stephanie Nonluecha; (b)(6) - Justina Fugh's email address Heather A. Jones RE: revised ethics agreement for Scott Pruitt, EPA Tuesday, December 27, 2016 1:16:52 PM Justina,   As we explain in the Guide to Drafting Ethics Agreement for PAS Nominees, (b) (5)       Thanks, Deb   Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3917 Telephone: (202) 482-9227 Facsimile: (202) 482-9237     (b) (5) OGE-17-0005-J-000219 (b) (5)         From: Stephanie Nonluecha Sent: Tuesday, December 27, 2016 10:44 AM To: Deborah J. Bortot Subject: FW: revised ethics agreement for Scott Pruitt, EPA Importance: High 3 page attachment withheld in full - (b)(3), (4), (5), (6)   Hi Deb,   Per my voicemail, here’s the background information I received from EPA concerning Mr. Pruitt’s attorneys’ suggested revision to his EA.   Stephanie   Referral to EPA OGE-17-0005-J-000220 From: To: Cc: Subject: Date: Attachments: Deborah J. Bortot Stephanie Nonluecha; "(b)(6) - Justina Fugh's email address (b)(6) - Daniel Fort's ema l address RE: revised ethics agreement for Scott Pruitt, EPA Tuesday, December 27, 2016 2:57:29 PM EA for preclearance.Pruitt, Scott 12-27-16.docx 1 page attachment withheld in full - (b)(3), (4), (5), (6) Justina,   We have addressed all of the representative’s concerns.  I’ve attached a revised ethics agreement with the changes tracked.   Thanks, Deb     From: Stephanie Nonluecha Sent: Tuesday, December 27, 2016 10:44 AM To: Deborah J. Bortot Subject: FW: revised ethics agreement for Scott Pruitt, EPA Importance: High 3 page attachment withheld in full - (b)(3), (4),   (5), (6) Hi Deb,   Per my voicemail, here’s the background information I received from EPA concerning Mr. Pruitt’s attorneys’ suggested revision to his EA.   Stephanie Rest of chain mentioned above OGE-17-0005-J-000222 Fro m: To: Cc: Subject : Date : Deborah J. Bortot "Fugh, Justina" : Stephanie Nonluecha Fort, Daniel; Heather A. Jones RE: revised eth ics agreement for Scott Pruitt, EPA[WARNING : SPF validatio n failed] Tuesday, December 27, 2016 3 : 16:49 PM Justi na, Thanks, Deb OGE-17-0005-J-000223 From: To: Cc: Subject: Date: Heather A. Jones Fugh, Justina; Deborah J. Bortot; Stephanie Nonluecha Fort, Daniel Re: Pruitt -- revised ethics agreement Wednesday, December 28, 2016 11:13:27 AM . Did his (b) (5) representative sign off on the EA. Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. Referral to EPA     VERSIGHT OGE-17-0005-J-000225 Referral to EPA   Rest of chain mentioned above   OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or VERSIGHT OGE-17-0005-J-000226 Referral to EPA From: Heather A. Jones [mailto:hajones@oge.gov] Sent: Wednesday, December 28, 2016 1:35 PM (b) (6) To: Fugh, Justina ; Stephanie Nonluecha ; Deborah J. Bortot (b) (6) Cc: Fort, Daniel Subject: RE: Pruitt -- revised ethics agreement [WARNING: SPF validation failed] [WARNING: SPF validation failed]   You can do it.  You just need to go into the report.  If you can’t, I’m in it and can do it.   Referral to EPA From: Stephanie Nonluecha [mailto:snonlue@oge.gov] Sent: Wednesday, December 28, 2016 12:33 PM (b) (6) To: Fugh, Justina >; Heather A. Jones ; Deborah J. Bortot (b) (6) Cc: Fort, Daniel < Subject: RE: Pruitt -- revised ethics agreement [WARNING: SPF validation failed] [WARNING: SPF validation failed] No attachment found in search   Hi Justina,   (b) (5) .  Please see tracked changes in attachment.   Thanks, Stephanie   VERSIGHT OGE-17-0005-J-000227 From: To: Cc: Subject : Date : Attac hme nts: Wednesday, December 28, 2016 6 :29:22 PM EAfor preclearance .Pruitt. Scott.precleared 12-28-16.docx Please see preclea red et hics agreeme nt attac hed . Regards, Stephanie Nonluecha Program Analyst (Finance) U.S. Office of Government Et hics (202) 482 -9243 snon lue@oge.gov Visit OGE's websi t e: www.oge.gov Follow OGE on Twitter: @OfficeGovEth ics From: Deborah J. Bortot Sent: Wednesday,December28, 2016 5: 12 PM To: 'Ann M Donaldson' Cc:---•;---•;Stephanie Nonluecha; Emory A. RoundsIII; David J. Apo~ ei~ Subject : PRECLEARED: Edward Scott Pruitt Ann ie, Edward Scott Pruitt is precleared . We received confirmat ion tha t he willsign th e lat est version of the et hics agreement. Stephanie, please forward the ethics agreement t o Annie. Thanks, Deb Deborah J. Bortot Chief, Presidential Nominations Branch U.S. Office of Government Et hics 1201 New York Ave., NW, Suit e 500 Washington, DC 20005 -3917 Telephone: (202) 482-9227 Facsimile: (202) 482 -9237 OGE-17-0005-J-000229 From: To: Subject: Date: Referral to EPA Stephanie Nonluecha Deborah J. Bortot FW: PRECLEARED: Edward Scott Pruitt Friday, December 30, 2016 3:03:01 PM As requested.     From: Brown, Reginald [ Sent: Friday, December 30, 2016 10:52 AM (b) (6) To: Fugh, Justina > (b) (6) Cc: Fort, Daniel < Subject: Re: PRECLEARED: Edward Scott Pruitt (b) (6) He is arriving home today and will sign this evening. Thx Sent from my iPhone Referral to EPA VERSIGHT OGE-17-0005-J-000230 Referral to EPA The attachment is an email and the content of From: Stephanie Nonluecha [mailto:snonlue@oge.gov] the attachment can be found on page 10 Sent: Thursday, December 29, 2016 12:07 PM (b) (6) To: Fugh, Justina (b) (6) Cc: Fort, Daniel < Subject: FW: PRECLEARED: Edward Scott Pruitt [WARNING: SPF validation failed] Importance: High Hi Justina (and Dan),   We received confirmation that the previous notice of intent to nominate Scott Pruitt to be Administrator of the Environmental Protection Agency still stands (see previous notice in attached e-mail).  Please have Mr. Pruitt re-submit his 278 in Integrity and sign his EA.  Please forward the signed EA along with the agency cover letter to OGE.   Thanks, Stephanie VERSIGHT OGE-17-0005-J-000231 From: To: Subject: Date: LNAPPS1.USOGE@oge.gov Sandra S. Mabry IMPORTANT - ACTION NEEDED - Nomination Package Forwarded to Sandy for Review - Edward Scott Pruitt Wednesday, January 04, 2017 12:26:27 PM Nomination package for Edward Scott  Pruitt has been forwarded for review. ACTION:  Review nomination package and initial paper routing slip.  Log completion of this step into FDTS by clicking the forward routing button to save and mark this step complete. Drop the paper folder off in General Counsel’s office. The link below will take you to the FDTS record. nonresponsive website info VERSIGHT OGE-17-0005-J-000232 From: To: Subject: Date: Integrity.gov Sandra S. Mabry Integrity.gov: Report Pending Action Wednesday, January 04, 2017 12:31:52 PM A 2017 Nominee report for Pruitt, Edward Scott is pending your action as OGE Nominee Program Manager. You may access the report by logging into integrity at https://integrity.gov. AMf--f CAN pVERSIGHT OGE-17-0005-J-000233 From: To: Cc: Subject: Date: Bodine, Susan (EPW) Teresa L. Williamson Deborah J. Bortot; Sandra S. Mabry; Rodrick T. Johnson; Heather A. Jones; (b)(6) - Ann Donaldson's email address RE: Public Financial Disclosure Report of Edward Scott Pruitt Wednesday, January 04, 2017 1:50:35 PM Teresa, I don’t remember, does OGE post these on their website?     From: Teresa L. Williamson [mailto:tlwillia@oge.gov] Sent: Wednesday, January 04, 2017 1:40 PM To: Bodine, Susan (EPW) Cc: Deborah J. Bortot; Sandra S. Mabry; Rodrick T. Johnson; Heather A. Jones; (b)(6) - Ann Donaldson's email address ' Subject: Public Financial Disclosure Report of Edward Scott Pruitt   Final EA and final senate letter released below. 278 financial disclosure report withheld in full - (b) (3) - Available at https://extapps2.oge.gov/201/ Presiden.nsf/PAS%20Index?OpenView Good Afternoon,   I’ve attached the financial disclosure package for Edward Scott Pruitt. President-Elect Trump has announced his intention to nominate Mr. Pruitt for the position of Administrator, Environmental Protection Agency.   The hard copy of the attached documents will be placed at OGE reception for pick up by a Senate rider page per our agreement. If you have any questions, please contact Teresa Williamson @ 202-482-9283.   Please respond to this message to confirm receipt of the attached package, and please let me know in your response whether you will send a Senate rider page.   Thanks!     Teresa Williamson Presidential Nominations Branch U.S. Office of Government Ethics 1201 New York Avenue, NW - Suite 500 Washington, DC 20005 202-482-9283 OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000234 From: To: Cc: Subject: Date: Seth Jaffe Elizabeth D. Horton; Sandra S. Mabry "Jen Matis" RE: Conference call with EPW member staffers and OGE Tuesday, January 10, 2017 10:50:09 AM Elizabeth,   I can make 3:30pm on Thursday.   Seth   From: Elizabeth D. Horton Sent: Tuesday, January 10, 2017 10:14 AM To: Sandra S. Mabry; Seth Jaffe Cc: 'Jen Matis' Subject: FW: Conference call with EPW member staffers and OGE   Good morning Sandy and Seth.   Sandy – are you available on Thursday at 3:00 for the telephone briefing instead of Wednesday at 2:00?   Seth – are you available around 3:30 on Thursday?   From: Thomas, Katie (Sanders) Sent: Monday, January 09, 2017 8:57 PM To: Jennifer Matis Cc: Akerlof, Karen (Sanders); Elizabeth D. Horton Subject: Re: Conference call with EPW member staffers and OGE (b) (6)   Hi again,   Thank you very much for this offer. There are several offices who are interested in both questions. Are you free 3-4 Thursday? We could do oge ethics overview at 3 and the call re the ethics agreement at 330?    Thanks again, Katie Thomas Policy Advisor for Energy and Environment Senator Bernie Sanders 332 Dirksen Senate Office Building (b) (6)   Sent from my phone, so please excuse any errors.  On Jan 9, 2017, at 5:42 PM, Jennifer Matis wrote: VERSIGHT OGE-17-0005-J-000235 Hi,   It would be best to split the two issues into two separate calls. We have someone from our Presidential Nominations Branch that can do a general overview of the process. My colleague Liz, who I included on this email, will join her on that call. Is Wednesday at 2 pm good for you for that? We could also find other times on Wednesday or Thursday if that doesn’t work for you.   With regard to the questions about ethics agreements, the head of our Ethics Law and Policy Branch can assist you. I will join him on that call. He is available on Thursday any time before 4 (meaning the call would have to end by 4). Is there a time on Thursday morning or early afternoon that would work for you for that call?   Thanks, Jen   Jennifer Matis Assistant Counsel Legal, External Affairs and Performance Branch U.S. Office of Government Ethics 202-482-9216 jennifer.matis@oge.gov   Visit OGE's website: www.oge.gov Follow OGE on Twitter: @OfficeGovEthics   From: Thomas, Katie (Sanders) [ Sent: Monday, January 09, 2017 3:17 PM To: Jennifer Matis Cc: Akerlof, Karen (Sanders) Subject: Conference call with EPW member staffers and OGE (b) (6) ]   Ms. Matis,   I got to speak with a few other offices regarding Pruitt’s Ethics agreement. I am now hoping that we can find a time this week to do a more general briefing on the OGE process for nominees because the briefing I went to was a bad time for others. Is that possible? I would like to do that in addition to discussing what possible tools Senators have for asking for additional OGE review or a change to the ethics agreement.   Please let me know if that is possible. I am very open Wednesday and Thursday.   Thanks KT   Katie Thomas VERSIGHT OGE-17-0005-J-000236 Policy Advisor for Energy and Environment Senator Bernie Sanders 332 Dirksen Senate Office Building (b) (6)   Visit Senator Sanders' Online Resources: Website  Facebook  Twitter   You Tube  Bernie Buzz     OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government property that is intended only for the use of the individual or entity to which it is addressed. This email also may contain information that is privileged, confidential, or otherwise protected from disclosure under applicable law. If you are not the intended recipient or the employee or agent responsible for delivering the transmission to the intended recipient, you are hereby notified that any dissemination, distribution, copying or use of this email or its contents is strictly prohibited. If you have received this email in error, please notify the sender by responding to the email and then immediately delete the email. VERSIGHT OGE-17-0005-J-000237 UNITED STATES OFFICE OF GOVERNMENT ETHICS * JAN-'t 201 7 The Honorable James M. Inhofe Chairman Committee on Environment and Public Works United States Senate Washington, DC 20510 Dear Mr. Chairman: In accordance with the Ethics in Government Act of 1978, I enclose a copy of the financial disclosure report filed by Edward Scott Pruitt. President-Elect Trump has announced his intention to nominate Mr. Pruitt for the position of Administrator, Environmental Protection Agency. We have reviewed the report and have obtained advice from the agency concerning any possible conflict in light of its functions and the nominee's proposed duties. Also enclosed is an ethics agreement outlining the actions that the nominee will undertake to avoid conflicts of interest. Unless a date for compliance is indicated in the ethics agreement, the nominee must fully comply within three months of confirmation with any action specified in the ethics agreement. Based thereon, we believe that this nominee is in compliance with applicable laws and regulations governing conflicts of interest. ~~#~ WalterM. Shaub,Jr. Director v- Enclosures AM CAN PVE Rs IGHT 120 1 New York Aven ue, NW, Sui te 500 I Was hington , DC 20005 OGE-17-0005-J-000238 www .oge.gov Mr Kevin S Minol1 Designated Agency Ethics Official U.S. EPA (23 IOA) 1200 Penn sylvania Avenue, NW Washington , DC 20460 Dear Mr Minoli : The purpose of this letter is to describe the steps that I will take to avoid any actual or apparent conflict of interest in the event that I am confi rmed for the position of Administrator of the united States Environmental Protection Agency. As require d by 18 USC. § 208(a) , I will not participate personally and substantially in any particular matter in which I know that I have a financial interest direct ly and predictably affected by the matter, or m which I know that a person whose intere sts are imputed to me has a financia l intere st directly and predictably affected by the matter . unless I first obtain a written waiver, pursua nt to 18 U.S C. § 208(b)( I), or qua! ify for a regulatory exemp tion, pursuant to 18 U.S C. § 208(b)(2) . I under stand that the interests of the following persons are imputed to me : any spouse or minor child of mine: any general partner of a partnership in which I am a limited or general partner: any organizatio n in which I serve as office r, director . trustee , general partner or employee: and any person or orga nization with which I am negot iating or have an arrangement concerning prospect, ve employment. Upon confirmat ion, I will resign from my positions with the follow ing entitie s Southern Baptist Theologica l Seminary , and the Window s Mi111stryIncorporated . I resigned from my position with the Ruic of Law Defense Fund on December 8, 2016. For a period of one yea r after my resignation from eac h of these entities, I will not participate personally and substantially in any particular matter involvi ng specific parties in which I know that entity is a pany o r represents a party, unless I am first authorized to participate , pursuant to 5 C.F R. § 2635 .502(d) . Upon confirmation, I will resign from my posi tion as Attorne y General of the State of Oklahoma . For a period of one year after my resignation, I will have a "cove red relation ship'' wider 5 C.F R. § 2635.502 with the State of Oklahoma . Pursuant to 5 C.F.R § 2635 502(d) , I will see k authorization to participate personally and substantially in particular matt ers invol ving speci fie panies in which I know the State of Oklahoma is a pany or represents a party. I have been advi sed that this ethics agreement will be posted publicl y, consistent with 5 US.C. § 552. on the website of the U.S. Oflice of Government Ethics with ethics agreements of other Presidential nominees who fi le public financial disclosure report s. Smcerely yours , Edward Scott Pruitt AMc:HICAN pVERSIGHT OGE-17-0005-J-000239