U.S. Department of Labor Office of the Solicitor Washington , D.C . 20210 September 24, 2018 Austin R. Evers American Oversight 1030 15th Street, NW Suite B255 Washington, D.C. 20005 Dear Mr. Evers: This correspondence is in response to your Freedom oflnformation Act (FOIA) request dated March 8, 2017 (tracking number 853216) wherein you requested the following : 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 and 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 . On March 2, 2018, your request was forwarded to the U.S . Department of Labor from the Office of Government Ethics in the form of a FOIA referral and was assigned to the Office of the Solicitor (SOL), Office of Legal Counsel. SOL has completed a search and review process and has enclosed 117 pages of responsive records pertinent to your request. It is important to note that the redactions contained within the responsive documents were made by the Office of Government Ethics and the documents were previously forwarded to you by that agency under a separate cover. This letter and production constitute a final response on behalf of the Office of the Solicitor. Under 29 C.F .R. § 70.40( c)(4), charges assessed for all other requesters for the production of records are limited to search costs and reproduction costs with no fee for the first 100 pages. However, for this request , we determined that the cost of collecting and processing a fee would exceed the amount of the fee, therefore there are no charges associated with this request. All questions regarding this response should be directed to Rob Sadler, Counsel for Ethics, on (202) 693-5528 or sadler.robert2@dol.gov. If you need any further assistance or would like to discuss any aspect of your request, please do not hesitate to contact this office or the DOL FOIA Public Liaison, Thomas Hicks, at 202-6935427 or by email at hicks.thomas@dol.gov. Alternatively, you may contact the Office of Government Information Services (OGIS) within the National Archives and Records Administration (NARA) to inquire about the 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, College Park, MD 20740-6001. You can also reach that office by e-mail at ogis@nara.gov, by phone at 202-741-5770, by fax at 202741-5769, or by calling toll-free at 1-877-684-6448. While we do not consider this to be a denial of your request, you may file an appeal of this decision with the Solicitor of Labor within 90 days from the date of this letter. The appeal must state in writing the grounds for the appeal, and it may include any supporting statements or arguments, but such statements are not required. In order to facilitate processing of the appeal, please include your mailing address and daytime telephone number, as well as a copy of the initial request and copy of this letter. The envelope and appeal letter should be clearly marked "Freedom ofinformation Act Appeal." Any amendment to the appeal must be made in writing and received prior to a decision. The appeal should be addressed to the Solicitor of Labor, Division of Management and Administrative Legal Services, U.S. Department of Labor, 200 Constitution Avenue, NW, Room N2420, Washington, DC 20210. Appeals may also be submitted by email to foiaappeal@dol.gov. Appeals submitted to any other email address will not be accepted. Sincerely, Susan Harthill Deputy Solicitor for National Operations Enclosures 2 From: Sandra S Mabry To: Teresa L WilHamson 5•1b>ni:t: PF:·OGF. p,,rr,r+<;fnr Trurl'o M0m,r,,,('<; t .::.µuKe tu Ill/II llllS dll!.=fllUUll. ::,dllLIY From: Teresa L. Williamson Sent: Monday,December 19, 2016 3:14 PM To: SandraS. Mabry Subject: FW: OGEReportsfor Trump Nominees HEALTH Committee ChungShek (chief clerk) Liz Hackett (deputy clerk) From: Shek, Chung(HELPCommittee) Sent: Monday,December19, 2016 1:42 PM To: Teresa L. Williamson Subject: OGEReportsfor Trump Nominees Hey Teresa, Wanted to check in to see if there was a status on the OGEreports for any of the upcoming Trump nominees. We're looking for Price, DeVos, and Puzder. Thanks! Chung OGE-17-0005-L-000001 L. Williamson [mailto:tlwillia@oge.gov] Sent: Tuesday, December 20, 2016 1:55 PM To: Shapiro, Robert -SOL; Sadler, Rob - SOL Subject: Points of Contact for Nominee Packages Importance: High From: Teresa Good Afternoon, I hope you are both doing well. We want to make sure we have a point of contact during the holidays on any new nominees that come in. Would you please provide contact information for staff from your office that will be working on the nominee packages over the next few weeks. Thanks! Teresa 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-17-0005-L-000002 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 thP 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-17-0005-L-000003 From: LNAPPSlIJSOGE@oae gqy To: Elging Newton IMPORTANT- ACTION NEEDED- New NomineeAssigned- Begin Review & Send 1st set of Comments - Andrew f Puzder Monday, January 09, 2017 10:28:13 AM Subject: Date: Nominee, Andrew F Puzder, has been assigned to you. ACTION: Within 2 days, please begin your review of the report and send the first set of comments/questions to the agency (by email or phone). If you need additional time, please contact Teresa or Deb. Please log completion of this step into FDTS by entering a date and then clicking the forward routing button to save and mark this step complete. Remember to add a new Progress Report for this nominee and update the progress at the end of each week until the report and EA have been precleared. The link below will take you to the FDTS record. OGE-17-0005-L-000004 From: TeresaI WilJiamson To: Scindra 5, Mabrt Subject: Date: FW: OGEReports Thurc;day,January 12. 2017 11:0lj":'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 voice© calling, I'd be happy to do so. Let me know if I should be Thanks Teresa From: Shek, Chung (HELP Committee) Sent: Thursday, January 12, 2017 11:03 AM l To: Teresa L. Williamson Subject: OGE Reports Hey Teresa, Are there any updates as to when we might be getting OGE reports for Price, DeVos, and Puzder? Thanks! Chung OGE-17-0005-L-000005 From: To: Subject: Date: Attachments: ElaineNewton SethJaffe NomineeNotes Th11rsrlay,fan11;:iry12, 2017 2:28:11 PM PuzderNotes( 1-11-17).docx OGE-17-0005-L-000006 From: To: Cc: · Deborah ] , Bortot SethJaffe Elaine Newton Subject~ Date: RE: Puzder Monday,January 16, 2017 6:23:07 PM -~----·-·-----.-,-----· Thank you From: Seth Jaffe Sent: Monday,January 16, 2017 6:12 PM To: DeborahJ. Bortot Cc: Elaine Newton Subject: Re: Puzder Deborah, I don't have an update after the last update Elaine put in AIMS. We provided an extensive list of questions last week and the agency is actively involved with the report and COi analysis. Exactly where we are will depend on the answers to the I hope this helps Seth Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: DeborahJ. Bortot Sent: Monday,January 16, 2017 10:32 AM To: Elaine Newton; Seth Jaffe Cc: Heather A. Jones Subject: Puzder How is the report coming along? OGE-17-0005-L-000007 From: Deborah 1 Bortot To: Subject: Date: Attachments: Importance: JackMacDonald;Sandra5. Mabry FW: NomineeprogressJan 17 Tuesday,January171 2017 10:13:56AM Financial Pisdos11re Tracking svstem (FPIS)-Prooress Reoorts Consolidated (12) xlsb High Could one of you print this and bring it to Walt? Thanks From: Teresa L. Williamson Sent: Tuesday, January 17, 2017 9:49 AM To: Deborah J. Bertot; Heather A. Jones Subject: Nominee-progress Jan 17 Importance: High Here's the update for Walt's 10am meeting - if that's still on. OGE-17-0005-L-000008 OGE-17-0005- 000009 OGE-17-0005-L-000010 From: Seth Jaffe [mailto:sjaffe@oge.gov] Sent: Tuesday, January 17, 2017 1:33 PM To: Sadler, Rob - SOL Cc: Elaine Newton Subject: RE: DOL Contact information Rob, Thank you for the update. Elaine will be back into the office tomorrow and we look forward to the responses - as this is a top priority report. Thanks again, Seth OGE-17-0005-L-000011 From: ElaineNewton [mailto·enewton@oge.gov] Sent: Tuesday,January 10, 2017 5:25 PM To: Shapiro,Robert - SOL Cc: Sadler, Rob - SOL Subject: RE: DOLContact information 3:15 tomorrow works for me. Elaine OGE-17-0005-L-000012 From: Elaine Newton [mailto:enewton@oge.gov] Sent: Tuesday, January 10, 2017 5:04 PM To: Shapiro, Robert - SOL; Sadler, Rob - SOL Cc: Brown, Marilynn - SOL; Elaine Newton Subject: RE: DOL Contact information Good Afternoon, I have added all of my _initial comments and questions in the Integrity system. Attached is a Word document with the same comments and questions. If there are any differences, please let me know. Are you available for a brief call tomorrow to discuss the report? I am available all day, except from 10 to 11:30. Thanks, Elaine Elaine Newton Attorney-Advisor U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000013 #512" From: To: Cc: Subject: Date: Attachments: The sample · · Deborah J, Bortot Elaine Newton SethJaffe letter is saved at: N:\Resources\Sample Letters (including · · I've attached both the Word and pdf versions. OGE-17-0005-L-000015 From: To: Subject: Date: Attachments: ElaineNewton SethJaffe FW: Draft Ethics Agreement and Contact Information Wednesday, January 18, 2017 2:54:16 PM PuzderEthicAareement Draft1 doc OGE-17-0005-L-000016 From: Elaine Newton [mailto:enewton@oge.gov] Sent: Wednesday, January 18, 2017 2:23 PM To: Sadler, Rob - SOL; Shapiro, Robert - SOL ~ Subject: {b)(3), (6} '" Letter 1 page attachment wIthhelq in full ·• •. (b)(3), (4), (5), (6) • • - , " Good Afternoon, ' ' ~~ "~ ' ' ' ~ < : I :r✓'; ' , " ' : J •:~ ; This is just a follow-up to the conversation that I had earlier with Rob. ). I am also attaching a sample of the letter. Please let me know if you have any questions. Thanks, Elaine OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government prope1iy 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-17-0005-L-000017 ~ Emory A Rounds III HeatherA Jones From: To: Subject: Date: Re: Labor Thursday,January19, 2017 3:44:27 PM Thanks! Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Heather A. Jones Sent: Thursday, January 19, 2017 3:40 PM To: Emory A. Rounds III Subject: Re: Labor_ _ ________ ..______ _ - They are aware of the hearing date. All issues/questions are currently with the filer. Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE network. From: Emory A. Rounds III Sent: Thursday, January 19, 2017 1:17 PM To: Heather A. Jones; Deborah J. Bortot Subject: Labor___________ ----····-·-··_____ Prospective Labor status? Thanks! Sent from my BlackBerry 10 smartphone on the Verizon Wireless 4G LTE"network. OGE-17-0005-L-000018 From: Hudson,KianJ. [mailto:KHudson@gibsondunn.com] Sent: Thursday,January19, 2017 4:00 PM To: Sadler,Rob- SOL;Shapiro,Robert- SOL Cc: Mooney,AlexanderW.; Fackler,StephenW. Subject: Commentson PuzderSF-278 Good afternoon, gentlemen: I've gone through the comments made on the SF-278on Integrity. While there are still a few that we haven't responded to, I believe the vast majority have the necessaryresponsesand confirmations. Also, please find attached three letters regarding disclosure of assetsfroml\llil Pleaselet me know if you would like to discuss. OGE-17-0005-L-000019 Thanks, -Kian Kian Hudson* GIBSON DUNN Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue NW Washington, DC 20036 Tel•+ 1 202.887.3783 Fax +1 202.530.9572 KHudsno@gibsond11nn com~ wwwgibsondunn com • Admitted only in Indiana; practicing under the supervision of the Principals of the Firm This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately delete this message. OGE-17-0005-L-000020 From: To: Subject: Date: DeborahJ. Bostot ElaineNewton PN: it was also in the guide Thursday,January19, 2017 5:58:05 PM From: Loma A. Syme Sent: Thursday, January 19, 2017 5:47 PM To: Deborah J. Bortot Subject: it was also in the guide Please consult with your ethics official for guidance specific to your situation. 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-17-0005-L-000021 From: Deborah1 Bortot To: Subject: Date: ltmti!l\1 Elaine Newton Thursday, January 19, 2017 6:00: 17 PM OGE-17-0005-L-000022 From: To: Cc: Subject: Date: MonnevAlexander W Elaine Newton· HudsonKianJ "SbaoirnRobert- srn "· SadlerRoh- srn ; FacklerSteohen w RE: Puzder278 Saturday,January 21, 2017 1:28:30 PM Great -we look forward to speaking with you all then. Below is a dial in: Toll-free dial-in number {U.S. and Canada): r101m Conference code: 1Wll2 Alexander Mooney GIBSON DUNN Gibson, Dunn & Crutcher LLP 1050Connecticut Avenue, N.W.,Washington, DC 20036-5306 Tel +1 202.8873751• Fax +1 202.5309584 AMoonev@aibsondunn rnrn• wwwnibsnodunn cnm From: Elaine Newton [mailto:enewton@oge.gov] Sent: Saturday, January 21, 2D17 9:38 AM To: Mooney, Alexander W. ; Cc: 'Shapiro, Robert - SOL' Hudson, Kian J. Sadler, Rob - SOL ; Fackler, Stephen W. Subject: RE: Puzder 278 Good Morning, ! am available for a call on Monday at 10:30 a.m. Thanks, Elaine Elaine Newton Attorney-Advisor U.S. Office of Government Ethics 12D1 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000023 From: Mooney, Alexander W. [mailto·AMoooey@qibsond1100 com] Sent: Friday, January 20, 2017 4:35 PM To: ElaineNewton; Hudson, Kian J. Cc: 'Shapiro, Robert - SOL'; Sadler, Rob- SOL; Fackler,StephenW. Subject: RE: Puzder278 Hi Elaine - ! am cc'ing Steve Fackler, who is in the best position to address yourj@\21\il questions and determine whlcl1\9ll\9f@M may be relevant to your questions. I think it would be most efficient we all have a short call on Monday so we are clear on what you are looking for. Does 10:30 AM work? If so, I can circulate a dial in. Thanks, Alex Alexander Mooney GIBSON DUNN Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W., Washington, DC 20036-5306 Tel +1 202.887 3751 • Fax +1 202.530 9584 AMoonev@nih5o •dunocom•\WNJ oibso•dunornm From: Elaine Newton [mailto·enewton@oge gov] Sent: Friday, January 20, 2017 2:53 PM To: Hudson, Kian J. ; Mooney, Alexander W .• Cc: 'Shapiro, Robert - SOL' Sadler, Rob - SOL Subject: RE: Puzder 278 11mn I>; • ey@pihson•om> Good Afternoon: I have completed entering most of my questions and comments in Integrity. There are a few outstanding questions regarding the filer's l9>i§lf@ and a couple of issues that I need to research on Monday. (1) I deleted my earlier comments that have been addressed. (2) Please answer the questions in the General Comments section. Most of these questions are to confirm that we are not inadvertently missing any information. Please let me know if you have any questions. Thanks again, Elaine Elaine Newton OGE-17-0005-L-000024 Attorney-Advisor U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 From: ElaineNewton Sent: Friday,January20, 2017 10:33 AM To: 'KHudson@gibsondunn.com' Cc:'Shapiro,Robert- SOL'; Sadler,Rob- SOL;'amooney@gibsondunn.com' Subject: Puzder278 Good Morning, Thank you for adding comments in Integrity and prov'1ding thf'\JP\12f@W· I hope to respond to your lnteg(1ty comments later today. I will send ~ an e-mail to everyone when I have entered my questions and comments in Integrity. I will also be available to review the (b}(3), (6 when you have it. - Please let me know if you have any questions. Thank you, Elaine Elaine Newton Associate Counsel OGE-17-0005-L-000025 U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 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 infonnation that is privileged, confidential, or othe~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 error, please notify the sender by responding to the email and then immediately delete the email. This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately 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 respon.sible 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-17-0005-L-000026 From: Integrity gov To: Subject: Date: ElaineNewton Integrity.gov:ReportPendingAction Monday,January231 2017 10:17:04AM A 2017 Nominee report for Puzder, Andrew Fis pending your action as OGE Nominee Reviewer. The report has been pending for 14 days. You may access the report by logging into integrity at bttpS'(/jntegrjty gov. OGE-17-0005-L-000027 From: To: Cc: Subject: Date: Importance: TeresaL Williamsao LornaA.Svme:Rachel K.Dowelli Sandra s.Mabrv;KeithLabedz; LeighJ.Francisi JimRobertson; ~ MacDonald; Stephanie Npnluecha; Megan v, Khaner; Patrick J, Lightfoot; Kimberly L Sikora Panza; E.l.a.J.o.e. N.emon; Monica M.G. Asbar LEGIEAM; EmmyA Rrnmds UI; Brandon I B1mderson; Vincent Salamone; Steven Corbally; Grace A Clark; Chervl L Kane-Piasecki; Deborah J Bort'ot; DaleA Christonheti Nicole Stein.: Daniel l Skalla; Elizabeth D lio..t::ton; WendyG PnndiHeather A Jones; DianaVeilleux; SethJaffe;DavidA Mevers; CiaraM Guzman; Patrick Shepherd; Rodrick L Johnson; Kimberley H Kania •; Christonher J Swartz; Jaideen Mathai NEWNOMINATION- January 20, 2017 Monday,January 23, 2017 10:58: 19 AM High The following nominations have been posted on THOMAS. You will be contacted separately regarding any actions required regarding these nominations. Thanks! Teresa NOJ\IIINATION- OGE Reviewer: Kim Sikora Panza (INTEGRITY). Et!.4.9- 115th Congress (2017-2018) - Seema Verma - Department of Health and Human Services Seema Verma, of Indiana, to be Administrator of the Centers for Medicare and Medicaid Services, vice Marilyn B. Tavenner. Date Received from President: 01/20/2017 Committee:Finance Latest Action: 01/20/20'17 - Received in the Senate and referred to the Committee on Finance. (All Actions) NOMINATION - OGE Reviewer: Kim Sikora Panza (INTEGRITY)-• ~- 1·I5th Congress (2017-2018)David Friedman - Department of State David Friedman, of New York, to be Ambassador Extraordinary and Plenipotentiary of the United States of America to Israel. Date Received from President: 01/20/2017 Committee:ForeignRelations Latest Action: o·l/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (All Actions) NOMINATION - OGE Reviewer: Leigh (INTEGRITY) ' f:b!.4.5.-115th Congress (2017-2018) - Todd M. Ricketts - Department of Commerce Todd M. Ricketts, of Illinois, to be Deputy Secretary of Commerce. Date Received from President: 01/20/2017 Committee:Commerce,Science, and Transportation Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Commerce, Science, and Transportation. (All Action&) NOMINATION - OGE Reviewer: Stephanie (INTEGRITY)' .E'..t':1.42 - 115th Congress (2017-2018) - Robert Lighthizer - Executive Office of the President Robert Lighthizer, of Florida, to be United States Trade Representative, with the rank of Ambassador Exlraordina,y and Plenipotentiary. Date Received from President: 01/20/2017 Committee: Finance Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Finance. (All Actions) NOMINATION - OGE Reviewer: Lorna (INTEGRITY) . E.t'i3..a-115th Congress (2017-2018) - David J. Shulkin - Department of Veterans Affairs David J. Sl1ulkin, of Pennsylvania, to be Secretary of Veterans Affairs. Date Received from President: 01/20/2017 Committee: Veterans' Affairs Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Veterans' Affairs. (All ActiQo.,) NOMINATION - OGE Reviewer: Elaine (INTEGRITY) ' OGE-17-0005-L-000028 PN38 - 1'15th Congress (20'17-2018) - Andrew F. Puzder- Department of Labor Andrew F. Puzder, ofTennessee, to be Secretary of Labor. Date Received from President: 01/20/2017 Committee:Health, Education,Labor,and Pensions Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Health, Education, Labor, and Pensions.(All Actions) NOMINATION - ' l:J',lli2.- 115th Congress (2017-2018) - Terry Branstad - Department of State Terry Branstad, of Iowa, to be Ambassador Extraordinary and Plenipotentiary of the United States of America to the People's Republic of China. Date Received from President: 01/20/2017 Committee: Foreign Relations Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (8ll ~) NOMINATION - ' J:.llil - 115th Congress (2017-2018) - Jay Clayton - Securities and Exchange Commission Jay Clayton, of New York, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2021, vice Daniel M. Gallagher, Jr. (terrn expired). Date Received from President: 01/20/2017 Committee: Banking, Housing, and Urban Affairs Latest Action: 01/20/2017 - Received in the Senate and referred to t11eComrnittee on Banking, Housing, and Urban Affairs. (All Actjons) NOMINATION - ' ~ - 115th Congress (2017-2018) - Vincent Viola - Department of Defense Vincent Viola, of New York, to be Secretary of the Army, vice Eric Kenneth Fanning. Date Received from President: 0'1/20/2017 Committee: Armed Services Latest Action: 01/20/20'17 - Received in the Senate and referred to the Committee on Armed Services. (All ~) NOMINATION - ' EJ:i41- 115th Congress (2017-2018) - Daniel Coats - Office of the Director of National Intelligence Daniel Coats, of Indiana, to be Director of National Intelligence, vice Jarnes R. Clapper, Jr. Date Received from President: 01/20/2017 Cornmittee: Intelligence Latest Action: 01/20/2017 - Received in the Senate and referred to the Select Comrnittee on Intelligence. (All ~)• INO~INATION - OGE Reviewer: Lorna rrTEGRIT}'.) ' PN28- 115th Congress (2017-2018) - Steven T. Mnuchin - International Monetary Fund Steven T. Mnuchin, of California, to be United States Governor of the International Moneta,y Fund, United States Governor of the African Development Bank, United States Governor of the Inter-American Development Bank, and United States Governorof the InternationalBank for Reconstructionand Developmentfor a term of five years, vice Jacob Joseph Lew, resigned. Date Received from President: 01/20/2017 Committee:Foreign Relations Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (All ~) NOMINATION - OGE Reviewer: Lorna (INTEGRIT}'.) ' I I I ~115th Congress (2017-2018) - Steven T. Mnuchin - European Bank for Reconstruction and Development Steven T. Mnuchin, of California, to be United States Governor of the European Bank for Reconstruction and Development, United States Governor of the African Development Fund, and United States Governor of the Asian Development Bank, vice Jacob Joseph Lew, resigned. OGE-17-0005-L-000029 Date Received from President: 01/20/20"17 Committee:Foreign Relations Latest Action: 0'1/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (811 ~) NOMINATION - OGE Reviewer: Lorna (INTEGRITY) . .E".N2fi1·15th Congress (2017-2018) - Steven T. Mnuchin - Department of the Treasury Steven T. Mnuchin, of California, to be Secretary of the Treasury. Date Received from President: 01/20/2017 Committee:Finance Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Finance. /Ali Actions) NOMINATION - OGE Reviewer: Stephanie (INTEGRITY) ' I II f:Nfil- 115th Congress (2D17-2018) - Nikki R. Haley - United Nations Nikki R. Haley, of South Carolina, to be Representative of the United States of America to the Sessions of the General Assembly of the United Nations during her tenure of service as Representative of the United States of America to the United Nations. Date Received from President: 01/20/2017 Committee: Foreign Relations Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (811 ~) - NOMINATION - OGE Reviewer: Stephanie (INTEGRITY) . .l:..t'i5Q - 115th Congress (2017-2018) - Nikki R. Haley - Department of State Nikki R. Haley, of South Carolina, to be lhe Representative of the United States of America to the United Nations, with the rank and status of Ambassador Extraordinary and Plenipotentiary, and the Representative of the United States of America in the Security Council of the United Nations. Date Received from President: 01/20/2017 Committee: Foreign Relations Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Foreign Relations. (811 ~) NOMINATION - OGE Reviewer: Rachel (INTEGRITY) . Ebl.4.8.-115th Congress (20"17-20·18)- Linda E. McMahon - Small Business Administration Linda E. McMahon, of Connecticul,to be Administratorof the Small BusinessAdministration,vice Maria Contreras-Sweet,resigned. Date Received from President: 01/20/2017 Commltlee: Small Businessand Entrepreneurship Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Smalt Business and Entrepreneurship. (All Actions) - NOMINATION - OGE Reviewer: Stephanie (INTEGRITY). •.eb!44- 115th Congress (20·t 7-2018) - Scott Pruitt - Environmental Protection Agency Scott Pruitt, of Oklahoma, to be Administrator of the Environmental Protection Agency. Date Received from President: 01120/2017 Committee: Environment and Public Works Latest Action: 01120120'17- Received in the Senate and referred to the Committee on Environment and Public Works. (AllActions) NOMINATION - OGE Reviewer: Lorna (INTEGRITY;' .E:..t-1.4.3 - 115th Congress (2017-2018) - Mike Pompeo - Central Intelligence Agency Mike Pompeo, of Kansas, to be Director of the Central Intelligence Agency, vice John Owen Brennan, Date Received from President: 01/20/2017 Committee: Intelligence Latest Action: 01/20/2017 - Considered by Senate. (AllActions) NOMINATION - OGE Reviewer: Stephanie (INTEGRITY;' I I I OGE-17-0005-L-000030 .E'J'-l.4_Q-1·151hCongress (2017-2018) - John F. Kelly - Department of Homeland Security John F. Kelly, of Virginia, lo be Secretrny of Homeland Security. Date Received from President: 01/20/2017 Latest Action: 01/20/2017 - Confirmed by the Senate by Yea-Nay Vote. 88 - 11. Record Vote Number: 30. (!'ill ~) NOMINATION - OGE Reviewer: Megan (INTEGRITY). l:bl.3l- 115th Congress (2017-2018) - Elisabeth Prince DeVos - Department of Education Elisabeth Prince DeVos, of Michigan, to be Secretary of Education. Date Received from President: 01/20/2017 Committee: Health, Education, Labor, and Pensions Latest Action: 01/20/20'17 - Received in t11eSenate and referred to the Committee on Health, Education, Labor, and Pensions. (All Actions) NOMINATION - OGE Reviewer: Jim (INTEGRITY)' E'l'-!3.6115th Congress (2017-2018) - James Richard Perry - Department of Energy James Ricl1ard Peny,.ofTexas, to be Secretary of Energy. Date Received from President: 01/20/2017 Committee: Energy and Natural Resources Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Energy and Natural Resources. (All Actions) NOMINATION - OGE Reviewer: Sandy (INTEGRITY) ' ~115th Congress (2017-2018) - Elaine L. Chao - Department of Transportation Elaine L. Chao, of Kentucky, to be Secretary of Transpo11ation. Date Received from President: 01/20/2017 Committee: Commerce, Science, and Transportation Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Commerce, Science, and Transportation. (All Actions\ NOMINATION - OGE Reviewer: Monica (INTEGRITY) ' .!:.bl.3.4115th Congress (20'17-20'18) - Benjamin S. Carson Sr. - Department of Housing and Urban Development Benjamin S. Carson, Sr., of Florida, to be Secretary of Housing and Urban Development. Date Received from President: 01/20/2017 Committee: Banking, Housing, and Urban Affairs Latest Action: 0'1/20/2017 - Received in the Senate and referred to the Committee on Banking, Housing, and Urban Affairs. (All Actions) NOMINATION - OGE Reviewer: Patrick (INTEGRITY) ' ~ - 115th Congress (20·17-2018) - Thomas Price - Department of Health and Human Services Thomas Price, of Georgia, to be Secretary of Health and Human Services. Date Received from President: 01/20/2017 Committee: Finance Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Finance. (All Actions) NOMINATION - OGE Reviewer: Keith (INTEGRITY) . £ti32-115th Congress (20'17-20'I8)-Wilbur L. Ross Jr. - Department of Commerce Wilbur L Ross, Jr., of Florida, to be Secretary of Commerce. Date Received from President: 01/20/2017 Committee: Commerce, Science, and Transportation Latest Action: 01/20/2017 - Received in the Senate and referred to the Committee on Commerce, Science, and Transportalion. (All Actions) NOMINATION - OGE Reviewer: Lorna (INTEGRITY_,' PN31 - 115th Congress (2017-2018)- Ryan Zinke - Department of the Interior Ryan Zinke, of Montana, to be Secretary of the Interior. Date Received from President: 01/20/2017 Committee: Energy and Natural Resources Latest Action: 01/20/2017 - Received in the Senate and referred to t11eCommittee on Energy and Natural Resources. (All Actions) OGE-17-0005-L-000031 NOMINATION - OGE Reviewer: Jack (INTEGRITY)' ~-115th Congress (2017-2018) -Jeff Sessions - Department of Justice Jeff Sessions, of Alabama, to be Attorney General. Dale Received from President: 01/20/2017 Committee: Judiciary Latest Action: 01/20/2017 - Received in the Senate and referred lo the Committee on the Judiciag- (All Actions) NOMINATION - OGE Reviewer: Monica (INTEGRITY,lf't1"I I 11 II ~-115th Congress (2017-2018)-James Mattis - Department of Defense James Mattis, of Washington, to be Secretary of Defense. Date Received from President: 01/20/2017 Latest Action: 01/20/2017 - Confirmed by the Senate by Yea-Nay Vole. 98 - 1. Record Vote Number: 29. (8!1 Al;!iom;) NOMINATION - OGE Reviewer: Leigh (INTEGRITY,) ' ~ -1·I5th Congress (2017-2018) - Rex W. Tillerson - Departnient of State Rex W. Tillerson, ofTexas, to be Secretary of State. Date Received from President: 01/20/2017 Committee: Foreign Relations Latest Action: 01/20/2017 - Received in the Senate and referred lo the Committee on Foreign Relations. (i'JJ Mi=) OGE-17-0005-L-000032 From: Mooney, Alexander W. [mailto:AMooney@gibsondunn.com] Sent: Tuesday, January 24, 2017 8:20 PM To: Elaine Newton; Shapiro, Robert - SOL; Sadler, Rob - SOL Cc: Hudson, Kian J. Subject: Puzder 278 information re (b)(3),{6) Dear Bob, Rob, and Elaine- Thanks, Alex Alexander Mooney GIBSON DUNN Gibson,Dunn& CrutcherLLP 1050 ConnecticutAvenue,N.W.,Washinglon,DC 20036-5306 Tel +1 202.887.3751 • Fax +1 202.530.9584 AMooney@gibsonduoo com• wwwgibsonduno com OGE-17-0005-L-000033 This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately delete this message. OGE-17-0005-L-000034 OGE-17-0005-L-000035 From: To: Cc: Bee: Subject: Date: ElaineNewton "Mooney,AlexanderW."; SethJaffe Sadler Rob - SOL; Shapiro, Robert- SOL; Hudson,Kian J.· Fackler1 Stephen W. ElaineNewton RE: In preparationfor preclearance Wednesday, February 01, 2ll17 4:30:32 PM Thanks. Elaine From: Mooney,AlexanderW. [mailto:AMooney@gibsondunn.com] Sent: Wednesday,February01, 2017 4:01 PM To: Seth Jaffe; ElaineNewton Cc: Sadler, Rob- SOL;Shapiro, Robert - SOL;Hudson,KianJ.; Fackler,StephenW. Subject: RE: In preparation for preclearance Hello all Seth and Elaine, With respect to the below sratement: Please advise if this requires further reporting. Thanks, Alex Alexander Mooney GIBSON DUNN Gibson,Dunn& CrutcherLLP 1050 ConnecticutAvenue,N.W., Washington,DC 20036-5306 Tel +1 202.887.3751 • Fax +1 202.530.9584 AMoonev@oibsond1rnn mm· WMN g hsond11 •• com Seth Jaffe [mai)to·sjaffe@oge gov] Sent: Tuesday, January 31, 2017 5:25 PM To: Mooney, Alexander W.; Fackler, Stephen W. ; Hudson, Kian J.; From: OGE-17-0005-L-000036 Dear folks, Although we have not yet quite finalized all outstanding issues, to help facilitate OGE preclearance, please be sure to instruct the nominee to oer~onally review the report carefully once more time prior to preclearance and after all Issues appear to be settled, given that the nominee.will be personally responsible for all entries in the report as they currently appear. I'm sending you a list of some of the nomin~e's material representations on which we are relying. Please forward this message to the nominee and instruct him to notify us prior to preclearance, and after resolving any outstanding issues, if any item in this list is incorrect. Among other material representations, we are relying on the following: I OGE-17-0005-L-000037 I Thank you, Seth Seth H. Jaffe Chief, Ethics Law& PolicyBranch U.S.Officeof Government Ethics (202) 482-9303 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 info1mation 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 enor, please notify the sender by responding to the email and then innnediately delete the email. This message may contain confidential and privileged information. If it has been sent to you in e1rnr, please reply to advise the sender of the e1rnr and then immediately delete this message. OGE-17-0005-L-000038 OGE-17-0005-L-000039 From: To: Cc: Subject: Date: Good morning all1 (1) The month Mr. Puzder's position with the (b)(3), (6) . , 278e. " " , began is now indicated on the Form Please let us know if any other changes need to be made to the Form 278e. Many thanks, -Kian From: Elaine Newton [mailto:enewton@oge.gov] Sent: Wednesday, February 1, 2017 3:31 PM To: Hudson, Kian J.; Seth Jaffe; Mooney, Alexander W.; Fackler, Stephen W. ; Deborah J. Bortot; Heather A. Jones Cc:Director of OGE Subject: RE:In preparation for preclearance Good Afternoon: There are two outstanding items on the 278 report: There are also three other items that will need to be·addressedbefore preclearance: NOTE: Confirm no outstandingissues and then delete all comments and questionsthat have been entered in Integrity NOTE: Respond to the "In preparation for preclearance" e-mail that was sent 1/3I /l 7 from Seth Jaffe If you have any questions, please let me know. Thanks, Elaine Elaine Newton OGE-17-0005-L-000040 Attomey-Advisor U.S. Office of Govemment Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 From: Hudson, Kian J. [mailto:KHudson@gibsondunn.com) Sent: Wednesday,February 01, 2017 12:57 PM J 5 "-,,~, ,~-,,-,.,,~.,. To: Seth Jaffe; Mooney, Alexander W.; Fackler,StephenW ' )l~)•~~-RQOli,JCMf~ 11111 I Elaine Newton; DeborahJ. Bertot; Hea er A. Jones Cc: Director of OGE Subject: RE: In preparation for preclearance I < ' ~ Good afternoon, everyone: This new language has been added to the OGE Form 278e on Integrity. Thanks, -Klan Seth Jaffe [mailto:sjaffe@oge.gov] Sent: Wednesday, February I, 2017 11:51 AM To: Mooney, Alexander W. ; Fackler, Stephen W. . >; Hudson, Kian J. < @a' ,o,~n,·lmm From: Dear folks, I just wanted to get you all the new language for Part 3 of the report for Integrity that is consistent with the latest draft ethics agreement OGE sent for review. This is to facilitate preclearance as soon as possible after all issues have been resolved. Also, I included my previous email preparing for preclearance and we will still need confirmation of the items on that list prior to preclearance. Thanks, Seth New language for Part 3 in Integrity to replace the language currently on Part 3 in Integrity: Line 1: OGE-17-0005-L-000041 OGE-17-0005-L-000042 From: To: Cc: Subject: Date: Elaine Newton "Shapiro Robert - SOI";Deborah J, Bortot; Heather A Jones; SethJaffe;Director ofOGE SadlerRob- SOIi Rikleen, Raebel S - SOI;Mancher Zachary P - SOI RE: PuzderThursday,February02, 2017 12:29:18 PM Bob, Thanks, Elaine Elaine Newton Attorney-Advisor U.S. Office of Government Ethics 1201 New York Ave., NW, Suite S00 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000043 From: Mooney,AlexanderW. [mailto:AMooney@gibsondunn.com] Sent: Wednesday,February01, 2017 7:52 PM To: Shapiro, Robert - SOL;Sadler, Rob - SOL Cc: Fackleli)StephenW.; Hudson, KianJ. Subject: GXDfl! - Bob and Rob -- please see the attached policy and feel free to share with OGE. (b)(3), (5),.(6t· '· Thanks, Alex Alexander Mooney Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W., Washington, DC 20036·5306 Tel +1 202.887.3751 • Fax +1 202.530.9584 AMooney@gibsondunn com· wwwaibsooduo • com This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately delete this message. OGE-17-0005-L-000044 , "Sadler, Rob - SOL" Thank you Bob. We were actually mistaken about the date of (b) (6) ~ \ ; ", ,: . Please let us know if any further information is needed. Best, Alex Alexander Mooney GIBSON DUNN Gibson, Dunn & Crutcher LLP 1050 Connecticut Avenue, N.W., Washington, DC 20036-5306 Tel +1 202.887.3751 • Fax +1 202.530.9584 AMooney@qibsondunn com~ wwwaibsondunn com OGE-17-0005-L-000045 C) -17-0005- 000046 From: To: Subject: Date: Heather A Jones KimberlyI • Sikora Panza Valuation Thursday,February02, 2017 2:23:06 PM Heather Jones (202) 482-9316 Office of Government Ethics Visit OGE's website: wwwage gov Follow OGE on Twitter: @OfficeGovEthics OGE-17-0005-L-000047 On Feb 2, 2017, at 7:21 PM, Fackler, Stephen W.<$FackJer@gibsondunn.com> wrote: We are available at 11 AM Eastern. We assume that Bob or Rob will send around the dial-in information. Best, Steve Stephen W. Fackler GIBSON DUNN Gibson, Dunn & Crutcher LLP 1881 Page MillRoad, Palo Alto, CA 94304-1211 Tel +1 650.849.5385 • Fax +1 650.849.5085 SFackler@gibsondun • com· wwwgibsondunn com From: Seth Jaffe [mailto·sjaffe@oge gov] Sent: Thursday, February 2, 2017 2_:48PM To: 'Shapiro, Robert - SOL' ,(b)(6)<',' ; •,.',;, ·., Fackler, Stephen >; Mooney, Alexander W. w. <$Fackler@gibsood1rno com>; Hudson, Kian J. ; Sadler, Rob - SOL >; Elaine Newton ; Deborah J. Bartol ; Heather A. Jones ; Bopp, Michael D. Cc: Director of OGE Subject: Call tomorrow Dear folks, Based on new information we have received today it appears that there are still a to discuss these new and still unresolved issues. OGE-17-0005-L-000048 Can we do a call tomorrow at 11:00am? Hopefully 11:00am will work, but if not how about 1:00pm? Thanks, Seth From: Seth Jaffe [maiJto·s,iaffe@oge.gov] Sent: Wednesday, February 01, 2017 12:51 PM To: 'AM0oney@aibsond11nn.com·;'Sfackler@gibsondunn com'; 'KHudson@gjbsondunn.com'; Shapiro, Robert - SOL; Sadler, Rob - SOL; Elaine Newton;· Deborah J. Bortot; Heather A. Jones Cc: Director of OGE Subject: call today Importance: High Dear folks, We should have a call to discuss any remaining issues. Folks here at OGE are available for a call beginning today anytime between 1:00pm -4:00pm would have to after 8:00pm EST. EST. Otherwise the call Maybe Labor or Gibson Dunn could set up the call-in number? OGE-17-0005-L-000049 Thanks, Seth Seth H. Jaffe Chief, Ethics Law & Policy Branch U.S. Office of Government Ethics (202) 482-9303 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. This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately delete this message. OGE-17-0005-L-000050 From: To: Subject: Date: SethJaffe "SadlerRob- SOL",: ShaoiroRobert- SOI; ElaineNewton RE: Updates Monday, February 06, 2017 9:38:23 AM Bob, Can we give you a call now? Seth OGE-17-0005-L-000051 From: To: Cc: ElaineNewton SethJaffe ElaineNewton Subject: FW: Terms of Et[lics Agreement (Puzder) Monday, February 06, 2017 10:28: 11 AM Date: Attachments: RevisedEA2-6-17(ENcomments}doc Seth, I added two comments to the latest version of the ethics agreement. Is this sufficient? OGE-17-0005-L-000052 OGE-17-0005-L-000053 From: To: Cc: Subject: Date: Attachments: ElaineNewton "Sadler, Rob- SOI";SethJaffe:Mooney, Alexander w, (AMooney@gibsondunn.com): HudsonKia• J. (KHudson@gibsondunn.com) FacklerStephen W (SFackler@aibsondImn mm):ShaoimRobert - SOI;RikleenRachel s - SOL;Director of Ofil; Deborah J, Bortot;Heather A Jones; SethJaffe RE: RevisedEthicsAgreement Monday,February06, 2017 11:36:53AM Revised EA2-6-17.doc page attacl1mentwitbheld,in full"''' (b)(3),'(M/(?))6) ,I/; ;'~:\'.'":::t:< Good Morning, Per this morning's discussion, attached is a revised ethics agreement. Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000054 From: To: Bee: Subject: Date: Elaine Newton Director ofOGE;SethJaffe Elaine Newton FW: RevisedEA2-6-17 (2).doc Monday, February06, 2017 4:54:24 PM Below is the e-mail from Mr. Puzder's attorney. From: Fackler,StephenW. [maiito;SFackler@gibsond1mn.com] Sent: Monday, February06, 2017 4:37 PM To: Shapiro, Robert - SOL Cc: Sadler, Rob - SOL; Fackler,StephenW.; Mooney,AlexanderW.; Hudson,Kian J. Subject: RE: RevisedEA 2-6-17 (2).doc OGE-17-0005-L-000055 Let me know if you have any questions. Best, Steve Stephen W. Fackler GIBSON DUNN Gibson, Dunn & Crutcher LLP 1881 Page Mill Road, Palo Alto, CA 94304-1211 Tel +1 650.849.5385 • Fax +1 650.849.5085 SFackler@gibsonduoo com wwwaibsoodunn com g OGE-17-0005-L-000056 From: Elaine Newton [mailto;enewton@oge gov] Sent: Monday, February 06, 2017 4: 13 PM To: Shapiro, Robert - SOL Cc: Sadler, Rob - SOL; Seth Jaffe Subject: RE: Revised EA 2-6-17 (2).doc Bob, The revised language may be sufficient if • Please let me know if you have any questions. Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000057 From: Fackler, Stephen W. [mailto:SFackler@gibsondunn.com] Sent: Monday, February 06, 2017 1:34 PM To: Shapiro, Robert - SOL; Sadler, Rob - SOL Cc: Fackler, Stephen W. Subject: Revised EA 2-6-17 (2).doc This message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise th_esender of the error and then immediately 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. OGE-17-0005-L-000058 From: To: Cc: Bee: Subject: Date: Attachments: Elaine Newton Director ofOGE SethJaffe Elaine Newton RevisedEA Monday,February06, 2017 5:35:35 PM Revised FA2-6~17(530om) doc Stephen Fackler sent the following to Bob Shapiro this evening. Attached is the revised EA. Elaine From: Fackler, Stephen W. (mailto:SFackler@gibsondunn.com] Sent: Monday, February 06, 2017 4:37 PM To: Shapiro, Robert - SOL Cc: Sadler, Rob - SOL; Fackler, Stephen W.; Mooney, Alexander Subject: RE: Revised EA 2-6-17 (2).doc W.; Hudson, Kian J. Let me know if you have any questions. Best, Steve Stephen W. Fackler GIBSON DUNN Gibson, Dunn & Crutcher LLP 1881 Page Mill Road, Palo Alto, CA 94304-1211 Tel +1 650.849.5385 • Fax +1 650.849.5085 SFackJer@gibsondunn.com · www gibsondunn.com OGE-17-0005-L-000059 From: To: Cc: Bee: Subject: Date: Attachments: Elaine Newton SethJaffe J Bortot; Heather A, Jones Deborah Elaine Newton FW: RevisedEA Monday,February06, 2017 6:11:05 PM Revised EA2-6-17rsssom) doc In addition to the email on the changes to Part 3, I will include a copy of the Director's e-mail on the CD timing, and request that Mr. Puzder personally review the "In preparation for preclearance" email that Seth sent. Please let me know if I am missing anything. Thanks, Elaine From: Elaine Newton Sent: Monday, February 06, 2017 6:07 PM To: Fackler, Stephen W.(SFackler@gibsondunn.com); Mooney, Alexander W. (AMooney@gibsondunn.com); 'Shapiro, Robert - SOL'; Director of OGE Cc: Sadler, Rob - SOL; Hudson, Kian J. (KHudson@gibsondunn.com); Deborah J. Bortot; Heather A. Jones; Seth Jaffe Subject: Revised EA Attached is the revised EA incorporating today's discussions. At the top of page 2, '!IIBIII " I believe this will be the final change on the EA. Tomorrow morning, I will send an email with the changes that must be made to Part 3, Agreement and Arrangements, of the 278. Please let me know if you have any questions. Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 OGE-17-0005-L-000060 --"·- ~-- - --·... _________ -· -- - . ---,, , - -- From: Elaine Newton [mailto:enewton@oge.gov] Sent: Monday, February 06, 2017 6:07 PM To: Fackler, Stephen W. (SFackler@gibsondunn.com); Mooney, Alexander W. (AMooney@gibsondunn.com); Shapiro, Robert - SOL; Director of OGE Cc: Sadler, Rob - SOL; Hudson, Kian J. (KHudson@gibsondunn.com); Deborah J. Bortot; Heather A. Jones; Seth Jaffe Subject: Revised EA Attached is the revised EA incorporating today's discussions. At the top of page 2,mlllllll I believe this will be the final change on the EA. Tomorrow morning, I will send an email with the changes that must be made to Part 3, Agreement and Arrangements, of the 278. Please let me know if you have any questions. OGE-17-0005-L-000061 Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9255 OGE Confidential Notice: This email, including all attachments, may constitute a Federal record or other Government propetiy 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-17-0005-L-000062 From: To: ElaineNewton "Fackler Ste•henW,";Hudson, KianJ,; Mooney Alexander w. "ShapiroRobert- SOL"iSadlerRob- SOI;SethJaffe Cc: Subject: Date: RE: Integrity Revisions Tuesday,February07, 2017 2:47:36 PM Sorry for the confusion. Mr. Puzder should send the email to Robert Shapiro as Designated Agency Ethics Official at the Department of Labor and Bob can forward the email to OGE. Thanks, Elaine ~·--· ---~- - -- - ''" -- -·----~-- -- ~------~ - ,,_, From: Fackler,Stephen W. [mailto:SFackler@gibsondunn.com] Sent: Tuesday, February 07, 2017 2:44 PM To: ElaineNewton; Hudson, Kian J.; Mooney,AlexanderW. Cc: 'Shapiro,Robert - SOL'; Sadler, Rob - SOL;Seth Jaffe; Fackler,Stephen W. Subject: RE:Integrity Revisions Thank you. I will confirm with him, but when we last spoke about this topic, Mr. Puzder is prepared to send that email. Exactly to whom should that email be sent? I have heard different things on that point. Stephen W. Fackler GIBSON DUNN Gibson,Dunn& CrutcherLLP 1881 Page Mill Road, Palo Alto, CA 94304-1211 Tel +1 650.849.5385 • Fax +1 650.849.5085 SFack!er@gibsondunn.com ~ www.q bsond11nn com From: ElaineNewton [mailto:eoewton@oge.gov) Sent: Tuesday, February 7, 2017 11:30 AM To: Hudson/KianJ. ;Fackler,StephenW.; Mooney1 y>; Seth Jaffe Subject: RE: Integrity Revisions Thank you for making the changes. I do not have any additional questions or comments regarding the report. The only item we need before we can begin preclearance is an e-mail from the Nominee to the agency ethics official confirming that he has reviewed the list of some of the material representations on which we are relying and that those material representations are correct. Thanks, Elaine From: Hudson, Kian J. [mailto·KHudson@gjhsondunn,com] Sent: Tuesday, February 07, 2017 1:40 PM To: ElaineNewton; Fackler, Stephen W.; Mooney,AlexanderW. Cc: 'Shapiro,Robert - SOL'; Sadler, Rob - SOL;Seth Jaffe Subject: RE: Integrity Revisions Good afternoon all, The suggested changes to the SF-278e have been made in Integrity. Please confirm that no other changes to the SF278 need to be made. Thanks, -Kian From:ElaineNewton [mailto·enewton@ogegov) Sent: Tuesday, February 7, 2017 11:07 AM To: Hudson,KianJ.; Fackler,Stephenw.;Mooney, ; Seth Jaffe OGE-17-0005-L-000063 Subject: RE: Integrity Revisions Hi Kian, The dates these agreements began are the appropriate dates for the 278 report. Elaine From: Hudson, Kian J. [mailto:KHudson@gibsondunn.com] Sent: Tuesday, February07, 2017 11:04 AM To: Elaine Newton; Fackler,StephenW.; Mooney,AlexanderW. Cc: "Shapiro,Robert - SOL'; Sadler, Rob - SOL; Seth Jaffe Subject: RE: Integrity Revisions Hi Elaine, 111!111111111Can you confirm that the dates these agreements began are the appropriate ones for the SF-2787 Many thanks, -Kian From: ElaineNewton [mailto·eoewton@oge.gov] Sent: Tuesday, February 7, 2017 10:49 AM >; Seth Jaffe Subject: RE: Integrity Revisions Elaine From: Hudson, Kian J. [mailto:KHudsoo@gibsondunn.com] Sent: Tuesday, February07, 2017 10:36 AM To: Elaine Newton; Fackler,Stephen W.; Mooney,AlexanderW. Cc: "Shapiro,Robert - SOL";Sadler, Rob - SOL; Seth Jaffe Subject: RE: Integrity Revisions Hi Elaine, We'd like to confirm that the following dates are the ones you are looking for on the Many thanks, -Kian Good Morning, Below are the additions and changes that must be made to the Integrity report. I have also attached two e-mails: (1) the January 27, 2017, e-mail from Walter Shaub discussing the timing for requesting a CD ("Availability this . weekend"}. • OGE-17-0005-L-000064 the February 3, 2017, e-mail from Seth Jaffe discussing the information that the Nominee must personally review prior to preclearance ("In preparation for preclearance"). Please let me know if you have any questions. Thanks, Elaine ElaineNewton AssociateCounsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 From: ElaineNewton Sent: Monday,February06, 2017 6:07 PM To: Fackler,StephenW. (SFackler@qibsond11 •0 com); Mooney,AlexanderW. (AMooney@g\bsondunn,com); 'Shapiro, Robert - SOL'; Director of OGE Cc: Sadler, Rob - SOL; Hudson,Kian J. (KHudson@gibsondunn,com); DeborahJ. Bortot; HeatherA. Jones; Seth Jaffe Subject: RevisedEA Attached is the revised EA incorporating today's discussions. At the top of page 2,' • OGE-17-0005-L-000065 ." I believe this will be the final change on the EA. Tomorrow morning, 1will send an email with the changes that must be made to Part 3, Agreement and Arrangements, of the 278. Pleaselet me know if you have any questions. Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 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 message may contain confidential and privileged information. If it has been sent to you in error, please reply to advise the sender of the error and then immediately 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. 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-17-0005-L-000066 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-17-0005-L-000067 From: To: Cc: WalterM Shaub "ShapiroRobert - SOL"i Seth Jaffe; ElaineNewton HeatherA Jones;Deborah J Bortot;SadlerRob- SOI; NicoleSteiniNelsonCabrera Jri Suzanne I Mever Subject: RE:Availability this weekend Friday,January 27, 2017 6:15:16 PM Date: Great. Thanks, Bob! Walt Walter M. Shaub, Jr. Director OGE-17-0005-L-000068 U.S. Office of Government Ethics 1201 New York Avenue, NW, Suite 500 Washington, DC 20005-3917 Telephone: 202.482.9292 Email: walter.shaub o e. ov From: Walter M. Shaub [maHto:wmshaub@oge.gov] Sent: Friday,January 27, 2017 4:20 PM OGE-17-0005-L-000069 To: Shapiro, Robert - SOL; Seth Jaffe; Elaine Newton Cc: Heather A. Jones; Deborah·J. Bortot Subject: RE: Availability this weekend Bob, Attached is a revised ethics agreement. I will monitor my blackberry over the weekend, as will Seth and Heather. Elaine has the ability to log into the system remotely if we let her know that we have received an update. Walt 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 OGE-17-0005-L-000070 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-17-0005-L-000071 From: To: Cc: Subject: Date: p1izder Andy ShapiroRobert~ SOL ElaineNewton;SethJaffe;FacklerSteohen W Re: OGERequest Tuesday, February07, 2017 3:08:42 PM Thanks. And feel free to call me Andy. Sent from my iPhone OGE-17-0005-L-000072 From: Pnzder, Andy • Sent: Tuesday, Februmy 07, 2017 2:59 PM To: Shapiro, Robert- SOL; enewton@oge.gov: sjaffe@oge.gov Cc: Fackler, Stephen \V. Subject: OGE Request Dear .tvfr.Shapiro: At your request, I am confimllllg the following material representations on which the Office of Gove1mnent Ethics may rely. I. I have personally reviewed all entries in the current version of my repo1t on Fann 278e and I affim1 that they are cmTect. 4. For Part I and Pmt 4, I have provided info1mation covering the entire repo1ting period of Janumy 1, 2015, to present. 5. For Pmt 2, Pait 5, and Pait 6, I have provided information covering the entire repo1ting period of Janumy I, 2016, to present. OGE-17-0005-L-000073 8. The ethics agreement correctly describes all items addressed in the agreement. Respectfully submitted, Andrew F. Puzder OGE-17-0005-L-000074 From: Elaine Newton To: Cc: I• . • . i SbaoirnRobert·SOL:"Sadler, Rob· .5.QL'.'.; SethJaffe Subject: Date: Attachments: RE: PRECLEARED: AndrewF. Puzder Tuesday,February07, 2017 5:11:04 PM EAforpreclearance·[PuzderJ.doc Attached is the precleared ethics agreement for Mr. Puzder. Please let me know if you have any questions. Thanks, Elaine Elaine Newton Associate Counsel U.S. Office of Government Ethics 1201 New York Ave., NW, Suite 500 Washington, DC 20005-3915 Telephone: 202-482-9265 From: Seth Jaffe Sent: Tuesda Februa To: Cc: '; Elaine Newton; Shapiro, Robert SOL; 'Sadler, Rob - SOL'; Deborah J. Bortot; Heather A. Jones; Sandra S. Mabry; Keith Labedz; Teresa L. Williamson; Rodrick T. Johnson; David J. Apol Subject: PRECLEARED:Andrew F. Puzder Stefan, Andrew F. Puzder is precleared. Elaine, please forward the ethics agreement to Stefan. Thanks! Seth Seth H. Jaffe Chief, Ethics Law & Policy Branch U.S. Office of Government Ethics (202) 482-9303 OGE-17-0005-L-000075 From: To: Subject: Date: IntegrityQOY DavidJ. Apol Integrity.gov:ReportPendingAction Wednesday,February08, 2017 11:17:09 AM A 2017 Nominee report for Puzder, Andrew Fis pending your action as OGE Nominee Ce,tifying Official. You may access the reportby logging into integrityat https·Uintegritygov. OGE-17-0005-L-000076 From: Seth Jaffe [mailto:sjaffe@oge.gov] Sent: Wednesday, February 08, 2017 2:51 PM To: Shapiro, Robert - SOL; Elaine Newton Cc: Sadler, Rob - SOL Subject: RE: Any update? Bob, Yes they have. They were sent at 12:12pm and the receipt was confirmed. Thank you for your great work on this! Seth OGE-17-0005-L-000077 From: To: Subject: Date: Elaine Newton "Sadler, Rob- SOL" RE: PublicFinancialDisclosureReportof AndrewF. Puzder Wednesday,February08, 2017 3:02:32 PM Rob, Thank you!! Please let me know when you are ready for OGE to review the draft CD documents. Elaine From: Teresa L. Williamson [mailto:tlwillia@oge.gov] Sent: Wednesday, February 08, 2017 2:36 PM To: Elaine Newton; Sadler, Rob - SOL Subject: Public Financial Disclosure Report of Andrew F. Puzder Good Afternoon, I've attached the financial disclosure package for Andrew F. Puzder, who has been nominated by President Trump for the position of Secretary, Department of Labor. Thanks! OGE-17-0005-L-000079 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. OGE-17-0005-L-000080 From: Elaine Newton To: "RikleenRachel S - S01" Cc: Sadler, Rob SOI; Shaniro RobertSOIi Mancher Zachary P SOIi BrownMarilvnn501 Subject: Date: RE: Dralt CD requestpaperwork R R R R Wednesday,February15, 2017 2:09:31 PM Good Afternoon, The drah looks fine. I did a quick scan of the holdings and noticed a couple of typo Please let me know if you have any questions. Thanks, Elaine OGE-17-0005-L-000081 From: To: Subject: Date: Heather A Jones DeborahJ. Bortoti SethJaffeiElaineNewton Puzder Wednesday,February15, 2017 3:28:13 PM There are reports on twitter and Fox News that Puzder is withdrawing. Heather Jones (202) 482-9316 Office of Government Ethics Visit OGE's website: wwwoge gov Follow OGE on Twitter: @OfficeGovEthics OGE-17-0005-L-000082 UNITED STATES OFFICE OF GOVERNMENT ETHICS February 8, 2017_ The Honorable Lamar Alexander Chairman Committee on Health, Education, Labor, and Pensions 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 Andrew F. Puzder, who has been nominated by President Trump for the position of Secretary, Department of Labor. 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 unde1iake 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 Digi!nllysigned by WALTERSHAUB ON c"US, O"U.S. Govcm,ncul,ou"Omcc or Go1·cmmcn1Ethics,cn~WALTER SHAUB, 0 9.2342.19200300.l00 l.!"'!154'.l!Oll03M6~5 D~IC 2Dl702.0& 120637-()5'00' Walter M. Shaub, Jr. Director Enclosures * * * 1201NEW YORKAVENW•SUITES00·WASHINGTON DC•ZO00S OGE-17-0005-L-000083 February 7, 2017 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official U.S. Department of Labor 200 Constitution Ave., NW, Rm. N2700 Washington, DC 20210 Dear Mr. Shapiro: 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 U.S. Department of Labor. 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(6)( I), or qualify for a regulatory exemption, pursuant to 18 U.S.C. § 208(b)(2). I understand that the interests of the following person'; are imputed to me; any spouse or minor child of mine; any general partner of a partr .nhip 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. Upon confinnation, I will resign from my positions with CKE Restaurants Holdings, Inc.(' C:KERestaurant"). CKE Restaurant is controlled by CKE Holdings, L.P. ("CKE LP"). I have a partnership interest in CKE LP, in the form of Class A Units and vested and unvested Class B Units. Except for these units, I do not have any stocks, securities, or other equity interests in CKE Restaurant, CKE LP, or any of their affiliates, subsidiaries, or parent entities. I do not have any deferred compensation, and I will nol receive any severance payment or partnership distribution. Before I assume the duties of the position of Secretary, I will receive my 2016 bonus. I will forfeit this bonus if I do not receive it before I assume the duties of the position of Secretary. Before I assume the duties of the position of Secretary, I will also receive outstanding relocation benefits owed to reimburse me for moving to Tennessee in 2016, including costs associated with the sale ofmy house that was finalized in 2017. I will forfeit any portion of these relocation benefits that I have not received as of the date I assume the duties of the position of Secretary. Upon resignation, I will forfeit my unvested Class B Units. CKE LP and one of its subsidiaries, CKE Holding Corporation, Inc. ("CKE CORP"), will purchase my Class A Units and my vested Class B Units. To accomplish this purchase, CKE LP will issue me an amount of CKE CORP stock estimated to be equal in value to my Class A Units and vested Class B Units, based on an internal valuation of the company as of December 31, 2016. CKE CORP will then purchase this CKE CORP stock from me. I will receive full payment from CKE CORP for the purchase of this stock before I assume the duties of the OGE-17-0005-L-000084 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 2 position of Secretary, or I will forfeit any portion of the payment that I have not received and any stock that I continue to hold as of the date I assume the duties of the position of Secretary. During my appointment as Secretary, I will not participate personally and substantially in any particular matter in which I know CKE Restaurant or CKE Holdings, is a party or represents a party, unless: (a) during the first two years of my appointment, I first receive a written waiver pursuant to 5 C.F.R. § 2635.503(c); or, thereafter, (b) I am first authorized to participate, pursuant to 5 C.F.R. § 2635.502(d). Consistent with 5 C.F.R. § 2635.!02(k), this recusal also applies to any entity that owns a 50% or greater interest in CKE Restaurant or CKE Holdings, as well as to any entity in which either CKE Restaurant or CKE Holdings has a 50% or greater ownership interest. During my initial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will provide you with a list of all such entities. In January 2017, I resigned from my positions with the International Franchise Association and the American Enterprise Institute. 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). I will divest my interests in the entities identified in Attachment A within 90 days of my confim1ation and the entities identified in Attachment B within 180 days of my confirmation. The reason for extending the timeframe to 180 days for the entities· identified in Attachment B is that they are illiquid investment funds and it may take longer to divest them. I am, however, committed to divesting all of these entities as promptly as is reasonably practicable, and I may not need the entire 90-day or 180-day period to complete all divestitures. As to the entities subject to the 180-day deadline, you have advised me that you may be willing to consider a brief extension of up to 60 days for a subset of these entities, provided that I demonstrate that I have made substantial progress toward completing the divestiture of all of these entities by the end of the 180day time period. 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-or, in the case of an investment fund, the entity or any of its underlying assets-until I have divested it, unless I first obtain a written waiver, pursuant to 18 U.S. C. § 208(b )(2). Preexisting confidentiality agreements as to some of the entities identified in Attachment B limit the release of inforn1ation regarding their underlying assets; however, during my initial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will work with you to develop an effective recusal mechanism for particular matters affecting any of these investment funds or any underlying asset. 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 2 OGE-17-0005-L-000085 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page3 all divestitures discussed in this agreemeot occur within the agreed upon timeframes and that all proceeds are invested in non-conflicting assets. If I 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 purchase 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 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. Within 90 days ofmy confirmation., I will also document my compliance with this ethics agreement by notifying you in writing when I have completed the steps described in this ethics agreement. 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 tbe requirements and restrictions therein in addition to the commitments I have made in this ethics agreement. 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. 3 OGE-17-0005-L-000086 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 4 ATTACHMENT A J. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 3M Co. Abbott Laboratories AbbVie Inc. Accor S.A. ACS Actividades de Construccion y Servicios Adecco Group AG Adidas AG Aegon N.V. Aercap Holdings N.V. Air Products & Chemicals Inc. Alerian MLP ETF Altria Group Inc. AmBev S.A. America Movil S.A.B. de C.V. Amgen Inc. Analog Devices Inc. Apollo Investment Corp. Apple Inc. Ares Capital Corp. Arthur J Gallagher & Co. Astellas Pharma Inc. AstraZeneca Pie Atos Origin S.A. AT&T Inc. Automatic Data Processing Inc. AxaS.A. Banco Bilbao Vizcaya Argentaria S.A. Bank of America Corp. Barclays Pie Baxter International Inc. Bayer AG BB&T Corp. Berkshire Hathaway Inc. BG Group Pie BHP Billiton Pie BlackRock Inc. Brookfield Properly Partners LLP Buckeye Partners LP Care Capital Properties Carlsberg A/S Carrefour S .A. Cisco Systems Inc. 4 OGE-17-0005-L-000087 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 5 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53. 54. 55. 56. 57. 58. 59. 60. 6i. 62. 63. 64. 65. 66. 67. 68. 69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. 86. 87. Check Point Software Technologies Ltd. Chevron Corp. China Mobile Ltd. CK Hutchison Holdings Ltd. Coca Cola Co. Colony Starwood Homes REIT Credit Suisse X-Links Cushing MLP Infrastructure ETN Crestwood Equity Crown Castle Intl. Corp. Daimler AG DBS Group Holdings Ltd. DCP Midstream Partners MLP Delek Logistics· Denso Corp. Deutsche Boerse ADR Deutsche Post AG Diageo Plc DNB ASA E.ON SE Embraer S.A. Emerson Electric Co. Enable Midstream Partners MLP Enbridge Energy Partners MLP Energy Transfer Equity LP Energy Transfer Partners MLP Enerjex Resources Inc. Engie Enlink Midstream Partners MLP Enterprise Products EQT Midstream Partners MLP Ericsson European Aeronaut Exxon Mobil Corp. Fastenal Co. Fidelity National Financial Inc. Fifth Street Senior Floating Rate Corp. Financial Select Sector SPDR First Trust Water ETF Ford Motor Co. Fresenius Medical Care AG GEA Group AG Gemalto N.V. General Electric Co. Genesis Energy MLP Global Logistic Properties Ltd. 5 OGE-17-0005-L-000088 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 6 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. I 00. 10I. 102. 103. 104. 105. 106. 107. 108. 109. 110. 111. 112. 113. 114. 115. 116. 117. 118. 119. 120. 121. 122. 123. 124. 125. 126. 127. 128. 129. 130. 131. 132. Guggenheim S&P Global Water ETF Hasbro Inc. Health Care REIT Inc. Heineken N.V. Hershey Co. Hitachi Ltd. Home Depot Inc. Holcim Ltd. HSBC Holdings Pie IHS Mark.it Ltd. Illinois Tool Works Inc. Infineon Technologies AG Intel Corp. Intesa Sanpaolo S .p.A. iShares MSCI Mexico Capped ETF iShares NASDAQ biotechnology ETF Johnson & Johnson JP Morgan Chase & Co. Julius Baer Group Ltd. Kimberly-Clark Corp. Kinder Morgan Inc. Komatsu Ltd. Koninklijke Philips N.V. Kraft Foods Group Inc. Lixil Group Corp. LMP Corporate Loan Fund Inc. Lockheed Martin Corp. Lyondel!Basell Industries N.V. Macquarie Infrastructure Corp. Magellan Midstream Marsh & McLennan Companies Inc. Matthews Japan Fund Maxim Integrated Products Inc. Mazda Motor Corp. McDonald's Corp. Medtronic Pie Merck & Co Inc. Microsoft Corp. MPLX MLP Murata Manufacturing Co. Ltd. National Grid Plc Neuberger Berman MLP Income Fund New Media Investment Group Inc. New Residential Investment Corp. REIT New Senior Investment Group REIT 6 OGE-17-0005-L-000089 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 7 133. 134. 135. 136. 137. 138. 139. 140. 141. 142. 143. 144. 145. 146. 147. 148. 149. 150. 151. 152. 153. 154. 155. 156. 157. 158. 159. 160. 161. 162. 163. 164. 165. 166. 167. 168. 169. 170. 171. 172. 173. 174. 175. 176. 177. Newcastle Investment Corp. NextEra Energy Inc. Nippon Telegraph and Telephone Corp. Novartis AG Occidental Petroleum Corp. ONEOK Inc. Orange S.A. Otsuka Holdings Co. Ltd. Panasonic Corp. Paychex Inc. Pearson Pie Pepsico Inc. Pfizer Inc. Phillips 66 Partners MLP Philip Morris International Inc. Plains All American Pipeline Plains GP Holdings LP PNC Financial Services Group Porsche Automobil Holding SE Powershares Global Water Portfolio Powershares Water Resources Portfolio Procter & Gamble Co. Public Storage REIT QUALCOMM Inc. Realty Income Corp. Remy International Inc. Repsol S.A. Roche Holding Ltd. Royal DSMN.V. Royal Dutch Shell Pie Royal KPN N.V. Schlumberger Ltd. Secom Co. Ltd. Seiko Epson Corp. Senior Housing Properties Trust Seven & i Holdings Co. Ltd. Sky Pie Smith & Nephew Pie SmuckerJ.M. Co. Societe Generale S.A. Sony Corp. SPDR S&P China ETF Spectra Energy Corp. Sumitomo Mitsui Banking Corp. Suntory Beverage & Food Ltd. 7 OGE-17-0005-L-000090 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 8 178. 179. 180. 181. I 82. 183. 184. 185. 186. 187. 188. 189. 190. 191. 192. 193. 194. 195. 196. 197. I 98. 199. 200. 201. 202. 203. 204. 205. 206. 207. 208. 209. 210. 211. 212. 213. SyngentaAG T. Rowe Price Group Inc. Tallgrass Energy Partners MLP Taiwan Semiconductor Manufacturing Co. Ltd. Targa Resources Partners Target Corp. TC Pipelines MLP Teekay Offshore Partners LP Tesoro Logistics MLP Texas Instruments Inc. Time Warner Inc. Toray Industries Inc. Total S.A. Toyota Motor Corp. Trend Micro Inc. Twitter Unibail-Rodamco SE Union Pacific Corp. United Technologies Corp. US Bancorp Ventas Inc. Verizon Communications Vivendi SA Vodafone Group Pie Walt Disney Co. WEC Energy Group Inc. Welltower Inc. REIT Western Gas Eqi1ity Partners MLP Western Gas Partners LP The Williams Companies Inc. William Hill Plc Williams Partners MLP WisdomTree Japan Hedged Equity Fund.ETF WisdomTree Trust India WisdomTree Trust Japan WPP Plc 8 OGE-17-0005-L-000091 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 9 ATTACHMENTB Investment funds that will be divested as soon as practicable: 1. Alphakeys K.KR Energy 2. Alphakeys Millenium III 3. Altair Commercial Real Estate Lending Fund LLC 4. Altair Healthcare Real Estate Fund LLC 5. Apollo ANRP Co-Investors II (B) LP 6. Apollo Co-Investors VIII (B) LP , 7. Apollo European Credit Fw1d LP 8. Atlas Enhanced Fund LP 9. Solamere Capital Fund II LP 10. Solamere Holdco I LLC 11. Solamere Portfolio Company Investments II LLC 12. Solamere 2016 Holdco I LLC 13. Solus LLC 9 OGE-17-0005-L-000092 OGE-17-0005-L-000093 OGE-17-0005-L-000094 OGE-17-0005-L-000095 9 CKE Restaurants Holdings, Inc. Executive Vice-President Relocation Benefits Guide f""''"'"';"I'," :':".'."'~ ,;;_,~;"'";'.\"':'..'~:;!ift;;'j ;~oll'l!;§e!"lices~elocatipJi~l cf";'W\""'~K"'¥f""';,,,A.8etbb~c ~~ay i\J!!~~,JJ\ March 2016 Relocation This Relocation Benefits Guide outlines the services and benefits made available to you to help facilitate your move. We recognize that relocating can be a stressful process so we have engaged HomeServices Relocation and their family of companies to provide you with a program of relocation support to reduce normal move disruptions and enable you to get settled in your new residence and job as quickly as possible. Please take time to read and familiarize yourself with Relocation Benefits Guide and HomeServices Relocation's services before you begin planning your relocation. Taking action outside of the Relocation Benefits Guide might cost you money! Eligibility As a CKE Executive Vice President, you are eligible for relocation benefits. Your family relocating under this guide is defined as your spouse and dependent household members. You are eligible for relocation benefits for one-year from the start of your job in the destination location. CKE provides reimbursement for most of your relocation expenses. Approved relocation expenses will be covered and directly reimbursed or paid on your behalf by HomeServices. Your HorneServices Relocation Consultant will send you a discreet user name and password so that you may submit your expenses online via HomeServices' web portal (receipts are required for all reimbursements). Expense Reimbursement It is very important that relocation expenses are not combined with regular business expenses when you are submitting for reimbursement. Do not charge any expenses directly to CKE. Expenses need to be reasonable, appropriate, and incurred within one-year from your start date in the destination location (IRS guidelines). Legible copies of itemized receipts, including date and location, must accompany all requests for reimbursement. All expenses should be submitted within 30 days of the date incurred. Tax Assistance Tax Assistance ("gross-up") is provided at the Federal and state supplemental rate to help compensate for the additional tax liability resulting from the reimbursement or payment of allowable and taxable relocation related expenses. Miscellaneous Relocation Allowance (Tax Assistance) A Miscellaneous Allowance of up to $3,000 will be provided for expenses not covered elsewhere in this Guide such as, automobile registration, driver's license fees, utility installation, additional storage or temporary lodging, cleaning, maid service, childcare, movement of animals, finder's fees, etc. You must work with HomeServices to make the initial contact with your real estate agent(s). The use of an agent related to you through blood or marriage is not be permitted. Home Sale Assistance (Tax Assistance) Your home must be listed within 105 percent of the average of the most probable sales price from the two broker market analyses CKE will reimburse reasonable and customary cost of the conveyance of your home. OGE-17-0005-L-000096 CKE Restaurants Holdings, Executive Vice-President Relocation Benefits Guide Inc. " "'""'""""' ~ ., ,.,..,, ~4 ""''""' '""""'"'"'~ fnp~~~se~ces RelO~tiOI\JI w;,,.~,,.,,,~.,.."f"""!i:"';;,.f,,, Mft!J,~'.t) \ Be1?<5h~HliJ¥'1b'f March 2016 CKE will provide 2 trips for up to 4 Nights/5 days combined, for the employee and one family member to search for suitable housing Home Finding Trip (Tax Assistance) at the new location. Reasonableexpensesfor transportation, lodging, andmeals may be reimbursedwith receipts. HomeServices will make the initial contact and coordinate with a selected real estate agent to assist you with a search during your home finding trip Preferred Lender Direct Bill of Closing Costs (Tax Assistance) Lender selection is entirely up to you, but if you choose HomeServices Lending, direct bill of closing costs is available. HomeServices Lending offers a special relocation mortgageprogramwith direct bill of home purchaseexpenses authorizedin CKE's relocation benefits guide, thereby reducingyour out of pocket costs at closing. In utilizing this service, the amount of a loan you may receive will be determined by the lender based solely on your financial qualificationfactors. Lease Cancellation (Tax Assistance) CKE will provide reimbursement of up to two month's rent, not to exceed $6,000, if you are requiredto pay a penalty for the early terminationof your lease. Please make every effort to minimize the penalties by makingthe best possible arrangementswith your landlord. Submit a Relocation Expense Report with supporting documentation including a copy of the lease agreement, and a letter from the management company (on company letterhead) or landlord outlining the loss and releasing you from obligation as a tenant. Temporary Living (Tax Assistance) If required,reasonableexpenses for lodging _atthe new location up to a maximum of 60 days will be reimbursed,or direct billing will be arranged. Meals are not reimbursed,but a $200 one-time payment for Incidentalsis provided. Return Trip Home (Tax Assistance) Travel expenses (economy airfareor mileage) for up to one roundtrip home to pack Household Goods may be reimbursed. In lieu ofa trip home, one family membermay visit the employee at the new location. Airfare may be reimbursedonly if the distance from work to home is greaterthan 250 miles. Mitigation Against Loss on the Sale of Your Home (Tax Assistance) Shared loss up to $10,000 Maximum Benefit- CKE may reimburse up to 50% of the loss on the sale of your current home limited to a maximum of$20,000 (as dictated by the housing market). Loss is based on the original contract purchase price as documentedon the original closing statement(HUD-1) and currentclosing statementdocumentingthe sale. To be eligible for Home Purchase assistance, you must be a homeowner in the old location. Home Purchase Assistance (Tax Assistance) Additionally, you must work with HomeServices to make initial contact with the real estate agent when purchasing your new home. Normal and customarynon-recurringclosing costs for purchasingyour new home in your destination location may be reimbursed to you or direct billed to HomeServices ifusing HomeServices Lending. Overlapping Mortgage Payments (Tax Assistance) If the closing on your new home occurs more than two weeks before the closing on your old home, duplicate housing expenses for up to six (6) months for interest, real estate taxes, insurance, and utilities may be reimbursed on the former home. Household Goods Move (Excludable) HomeServices will arrangefor the shipment of your household goods with CKE RestaurantsHoldings, Inc.' preferredhousehold 2 OGE-17-0005-L-000097 CKE Restaurants Holdings, Inc. Executive Vice-President Relocation Benefits Guide "~ 0 ~ ,~, '~, " " >w •~•«==""'"'-'"'""" ~~JP,~semces ~elOcclnOn'.i,1 'i'J;g:,,;"\. fl}'f,<=1/."' All!(bi'lltc ~~ar:.!):lfif•~tc_',i March 2016 goods provider. Household goods benefit allows: • • • • • Full packing, loading/unloading and partial unpack (beds, mattresses, washer, dryer and any items required to be disassembled for shipment) Storage for 30 days Replacement value coverage Debris pickup at the new location within 30 days of delivery Two automobiles shipped, if new location is greater than 450 miles away CKE will also reimburse packing materials, truck/trailer rental, gas, and self-storage up to one month if you elect to move yourself. CKE will reimburse reasonable expenses in route for transportation, lodging and meals for the employee and family in accordance with below guidelines: • Final Move Trip (Partially Excludable) • • • Transportation must take the most direct route with no unnecessary stopovers Air travel via economy fare Final trip mileage will be reimbursed at the current federal business rate Meals may be reimbursed up to a maximum of $50/day for adults and $25/day for children under 12 up to a maximum of $150/day per family- receipts required Reasonable lodging expenses may be reimbursed for in the departure location, days enroute (assuming a minimum of 450 miles traveled/day), and first day in destination location. Repayment Agreement You will be required to sign a repayment agreement and repay all relocation expenses paid to you and/or incurred by CKE Restaurants on your behalf if you terminate your employment within 24 months of your start/transfer date. Important Note CKE Restaurants has the sole right to revise, amend, or discontinue this program at any time. Neither this program nor CKE Restaurants' relocation practices are intended to create a contract of employment for a definite term or under specific conditions. 3 OGE-17-0005-L-000098 January 6, 2017 Andrew Puzder 1009 West Main Street Franklin, TN 37064 Dear Mr.Puzder, Thank you for your inquiry.However, pursuant to the governing agreements of the Solamere sponsored funds and other investment vehicles in which you are an investor (the '(Solamere Funds)), we respectfully decline your request to provide you with confidential information regarding the assets of the Solamere Funds (the "Confidential Information"). The Confidential Information you have requested is proprietary to Solamere and the Solamere Funds and not known to our competitors or publicly available. Having knowledge about the Solamere Funds' assets would give our competitors an indication of our willingness and ability to invest in an investment or sell an existing investment at ·a given price and other terms. If a Solamere Fund desires to sell an investment to another person, knowledge of the Confidential Information could give the purchaser an unfair advantage in negotiating a sale price for such investment. Furthermore, the risk of disclosure of the Confidential Information to the public may impact our opportunities to make future investments or solicit new investors. Many private companies seeking financing that .re targeted by Solamere may not want to risk potential disclosure of their proprietary infonnation. As such, We could be foreclosed from the opportunity to invest in some of the more promising investments. Similarly, potential investors in Solamere Funds may not want to participate in a vehicle in which confidential information has been disclosed. Please let us know if you have any questions or concerns regarding this letter. Solamere Funds: Solamere Capital Fund II, LP Solamere Portfolio Company Investments II, LLC Solamere HoldCo I, LLC Solamere 2016 Holdco, llC Regards, . ~~~ James M Killian CFO, Solamere Capital, llC 137 Newbury Street, 7 th Floor, Boston, MA 02116 OGE-17-0005-L-000099 cALTAIR Andrew F. Puzder January 6, 2017 1009 West Main Street Franklin, TN. 37064 Dear Andrew, Due to a preexisting confidentiality agreement, Altair Commercial Real Estate Lending Fund, LLCis not disclosing the underlying assets of this fund. Please let me know if you have any questions. Thank you. I Roy Corr SVP,Altair Operating Officer First Republic Investment Management 1888 Century Park East Los Angeles, CA. 90067 Office: (424) 204-0879 OGE-17-0005-L-000100 cALTAIR Andrew F. Puzder January 6, 2017 1009 West Main Street Franklin, TN. 37064 Dear Andrew, Due to a preexisting confidentiality agreement, Altair Healthcare Real Estate Fund, LLCis not disclosing the underlying assets of this fund. Please let me know if you have any questions. Thank you. Roy Corr SVP, Altair Operating Officer First Republic Investment Management 1888 Century Park East Los Angeles, CA. 90067 Office: (424) 204-0879 OGE-17-0005-L-000101 DRAFT 211111-3:30 p.m. January 30, 2017 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official U.S. Department of Labor 200 Constitution Ave., NW, Rm. N2700 Washington, DC 20210 Dear Mr. Shapiro: 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 U.S. Department of Labor. As required by 18 U.S.C. § 208(a), I will not participate personally and substantially in any paiticular 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(6)(2). I understand that the interests of the following persons are imputed to me: any spouse or minor child of mine; any general partner ofa 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. Upon confirmation, I will resign from my positions with CKE Restaurant Holdings, Inc. ("CKE Restaurant"). CKE Restaurant is controlled by CKE Holdings, L.P. ("CKE Holdings"). I have a paitnership interest in CKE Holdings, in the form of Class A Units and vested and unvested Class B Units. Except for these units, I do not have any stocks, securities, or other equity interests in CKE Restaurant, CKE Holdings, or any of their affiliates, subsidiaries, or parent entities. I do not have any deferred compensation, and I will not receive any severance payment or partnership distribution. Upon resignation, I will forfeit my unvested Class B Units. CKE Holdings or one of its subsidiaries will purchase my Class A Units and my vested Class B Units, and I will receive the full payment for these units before I assume the duties of the position of Secretary. I will forfeit any portion of this payment that I have not received by the time I assume the duties of the position of Secretary. Before I assume the duties of the position of Secretary, I will receive my ~bonus that ended in January 20 I 7.1 I will forfeit this bonus if I do not receive it before I assume the duties of the position of Secretary! Note: Since the fiscal year is not a calendaryear, butratherends in January,CKE thinks of it as an "FY 17 bonus". Ratherthanusing shorthand.we suggest referringto this bonusas described above. OGE-17-0005-L-000102 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page2 During my appointment as Secretary, I will not participate personally and substantially in any particular matter in which I know CKE Restaurant or CKE Holdings, is a party or represents a party, unless: (a) during the first two years ofmy appointment, I first receive a written waiver pursuant to 5 C.F.R. § 2635.503(c); or, thereafter, (b) I am first authorized to participate, pursuant to 5 C.F.R. § 2635.502(d). Consistent with 5 C.F.R. § 2635.102(k), this recusal also applies to any entity that owns a 50% or greater interest in CKE Restaurant or CKE Holdings, as well as to any entity in which either CKE Restaurant or CKE Holdings has a 50% or greater ownership interest. During my initial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will provide you with a list of all such entities. In January 2017, I resigned from my positions with the International Franchise Association and the American Enterprise Institute. 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). I will divest my interests in tl,e entities identifies in Attach1Rent A within 90 days ofrny confirmation and the e1l'.itiestllese investment fut:ds within 90 days efmy confirmation. You have advised me tllat you may be willing te consider a briefex'.ensien efap te 60 days for a subset eftllese assets, provided that I Elemenstrate that I llave made substantial progress toward completing tl,e divestiture efall eftl,ese assets by the end ef tl,e 90 day time f)eriod. With regard te each efthese investment fw,ds, I will net f)artieipate personally ar:d suilstantially in ai,y particular matter tllat te my knowledge llas a direct and predictable effect en the financial interests efthe fund er its underlying assets uHtil I have divested it, anless I first eiltain a written waiver, pursmrnt to 18 U.S.C. § 208(b)(2). D:1ring my i1:itial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will work with you to develop an effecti~·e rect1sd mechanism for particular matters affecting any of these investment t'.!nElsor any :mderlying asset. I will divest my interests in the entities identified in Attachment A within 90 days ofmy confirmation and the entities identified in Attachment B within 180 days ofmy confirmation. The reason for extending the timeframe to 180 days for the entities identified in Attachment B is that they are illiquid investment fonds and it may take longer to divest them. I am. however. committed to divesting all of these entities as promptly as is reasonably practicable. and I may not need the entire 90-day or 180-day period to complete all divestitures. As to the entities subject to the 180-day deadline. you have advised me that you may be willing to consider a brief extension ofup to 60 days for a subset of these entities. provided that I demonstrate that I have made substantial progress toward completing the divestiture of all of these entities by the end of the 180day time period. With regard to each of these entities. I wil I 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-or, in the case ofan investment fund. the entity or any of its underlying assets-until I have divested it. unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b)(2). Preexisting confidentiality agreements 2 OGE-17-0005-L-000103 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 3 as to some of the entities identified in Attachment B limit the release of information regarding their underlying assets; however, during my initial ethics briefing. pursuant to 5 C.F.R. § 2638.305, I will work with you to develop an effective recusal mechanism for particular matters affecting any of these investment funds or any underlying asset. 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. Ifl 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 purchase 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 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. Within 90 days ofmy confirmation, I will also document my compliance with this ethics agreement by notifying you in writing when I have completed the steps described in this ethics agreement. I understand that as an appointee I will be required to sign the Ethics Pledge required under the Executive Order dated January 28, 2017 ("Ethics Commitments by Executive Branch Appointees") and that I will be bound by the requirements and restrictions therein in addition to the commitments I have made in this ethics agreement. 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, Andrew F. Puzder 3 OGE-17-0005-L-000104 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page4 ATTACHMENT A The following entities will be divested as soon as reasonably practicable and within 90 days of confirmation: 1. 3M Co. 2. Abbott Laboratories 3. Abb Vie Inc. 4. Accor S.A. 5. ACS Actividades de Construccion y Servicios 6. Adecco Group AG 7. Adidas AG 8. Aegon N.V. 9. Aercap Holdings N.V. I 0. Air Products & Chemicals Inc. I I. Alerian MLP ETF 12. Alpliakeys KKR EAergy +.h,lLAltair Commercial Real Estate Lending Fund LLC -14.l.1_Altair Healthcare Real Estate Fund LLC -&..1.±,__Altria Group Inc. ¼cli,__ArnBev S.A. +7,.1§.,_ArnericaMovil S.A.B. de C.V. -l-8-J.L_ArngenInc. -1-9..11l_AnalogDevices Inc. ;w..12.,__ApolloInvestment Corp. 2-h20. Apple Inc. ±2.Il.,__Ares Capital Corp. ;&.22. Arthur J Gallagher & Co. ±+.23. Astellas Pharma Inc. ~24. AstraZeneca Pie ±6-c25.Atos Origin S.A. :;;:;...,26. AT&Tinc. ±&.27. Automatic Data Processing Inc. ±9-,28. Axa S.A. ~29. Banco Bilbao Vizcaya Argentaria S.A. *..lQ,_Bank of America Corp. ~lL_Barclays Pie ~32. Baxter International Inc. M-c33. Bayer AG fr.34. BB&T Corp. ¾,J1.,_Berkshire Hathaway Inc. ;!.;z..,36.BG Group Pie '.J.lh37. BHP Billiton Pie Jll.,38. BlackRock Inc. 4-0,39. Brookfield Property Partners LLP 4 OGE-17-0005-L-000105 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 5 4+.40. Buckeye Paitners LP 42.'I l. Care Capital Properties 4h42. Carlsberg A/S 44A3. Carrefour S.A. ~4. Cisco Systems Inc. 46.45. Check Point Software Technologies Ltd. 4;!,46. Chevron Corp. 48,47. China Mobile Ltd. 49-A8. CK Hutchison Holdings Ltd. ~9. Coca Cola Co. ci-h50. Colony Starwood Homes REIT £,iL_Credit Suisse X-Links Cushing MLP Infrastructure ETN £,52. Crestwood Equity ¾53. Crown Castle Intl. Corp. #,54. Daimler AG ¾-,i2.,_DBS Group Holdings Ltd. *.i§.,_DCP Midstream Partners MLP .§.&.,57.Delek Logistics .§'.-9-jJl_DensoCorp. 6{).,22.,__Deutsche Boerse ADR 6-h60. Deutsche Post AG 62-,Q.L_DiageoPie ~62. DNBASA 6+.fil.,_E.ON SE 6§.,64. Embraer S.A. 66-,65. Emerson Electric Co. {hl,66. Enable Midstream Partners MLP 6&67. Enbridge Energy Partners MLP 69-,§JL_EnergyTransfer Equity LP '7!h22..,_EnergyTransfer Partners MLP *-70. Enerjex Resources Inc. -n.n,_Engie '1-3-,72.Enlink Midstream Partners MLP .'.74' 73. Enterprise Products +ffr.74. EQT Midstream Partners MLP C/-6-,75.Ericsson =!+.76. European Aeronaut +8.77. Exxon Mobil Corp. 'l--9,78. Fastenal Co. ~79. Fidelity National Financial Inc. &h80. Fifth Street Senior Floating Rate Corp. 1hhl!.L_Financial Select Sector SPDR ll'h82. First Trust Water ETF M-c.!Ll..,_Ford Motor Co. ~84. Fresenius Medical Care AG 5 OGE-17-0005-L-000106 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 6 U-,]!i_GEA Group AG &+..!!§_,__ Gemalto N. V. &&87. General Electric Co. &9--&JL_Genesis Energy MLP 9\hl!;L_Global Logistic Properties Ltd. 9-h90. Guggenheim S&P Global Water ETF 9;h.2l__Hasbro Inc. 9;-,92. Health Care REIT Inc. -94.-93.Heineken N.V. %-.94. Hershey Co. %.95. Hitachi Ltd. -9+.96. Home Depot Inc. -9&97. Holcim Ltd. 99--,98.HSBC Holdings Pie -1-00--,99 .IHS Mark it Ltd. -W--hl00. Illinois Tool Works Inc. -1-{&.lQL__[nfineonTechnologies AG -1-W-,l.Ql,__[ntelCorp . .J-04-;_l.QLintesa Sanpaolo S.p.A. +{&.lQ:L__iShares MSC! Mexico Capped ETF -l--06,105. iShares NASDAQ biotechnology ETF -J--G-'.7., l 06. Johnson & Johnson .J-0&I07. JP Morgan Chase & Co. -l-0-9-,I 08. Julius Baer Group Ltd. +-l-0-,109. Kimberly-Clark Corp. -l---1+. l IO. Kinder Morgan Inc . .J--.1-;h 1 I I. Komatsu Ltd. ~112. Koninklijke Philips N.V. -l-l+.113. Kraft Foods Group Inc. +-H-.114. Lixil Group Corp. +-l-6-,l I 5. LMP Corporate Loan Fund Inc. +l+.116. Lockheed Martin Corp. +J..&117. LyondellBasell Industries N.V. -1-1--9-c 118. Macquarie Infrastructure Corp. +;W., 119. Magellan Midstream -l-±h 120. Marsh & McLennan Companies Inc. 122.121. Matthews Japan Fund ~ 122. Maxim Integrated Products Inc. -l--24,123. Mazda Motor Corp. ~124. McDonald's Corp. ~125. Medtronic Pie -l-±-7,126. Merck & Co Inc. +;;&127. Microsoft Corp. -l-±9-,128. MPLX MLP ~129. Murata Manufacturing Co. Ltd. 6 OGE-17-0005-L-000107 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 7 +3+. 130. National Grid Pie +.;;hl31. Neuberger Berman MLP Income Fund +±l-.132. New Media Investment Group Inc. +:¼.133. New Residential Investment Corp. REIT +.>-§-.; 134. New Senior Investment Group REIT .g.;., 135. Newcastle Investment Corp. -8-+-c 136. NextEra Energy Inc. +;J.&.,137. Nippon Telegraph and Telephone Corp. -8-9-,[38. Novartis AG -l-4G.l 39. Occidental Petroleum Corp. -l-4-l--.140.ONEOK Inc. -l4h 141. Orange S.A. -l-4.h142. Otsuka Holdings Co. Ltd. -1#.143. Panasonic Corp. -l#.144. Paychex Inc. -l-44,145. Pearson Pie -'l-4-7,146. Pepsico Inc. -1-4,'h147. Pfizer Inc. -1-49-,148. Phillips 66 Partners MLP ~149. Philip Morris International Inc. -1-$--h150. Plains All American Pipeline +£. I 51. Plains GP Holdings LP -l--£-,l52. PNC Financial Services Group --1-M,153. Porsche Automobil Holding SE --1-¾-, 154. Powershares Global Water Portfolio B6-,155. Powershares Water Resources Portfolio ~156. Procter & Gamble Co. B-&-cl57. Public Storage REIT -J..§.9.,158.QUALCOMM Inc. +6/h l 59. Realty Income Corp. +e--h160. Remy International Inc. -l-fil-.16I. Repsol S.A. -l-£-, 162. Roche Holding Ltd. -J--64,163. Royal DSM N.V. -l-w-c164. Royal Dutch Shell Pie -l--oo,165. Royal KPN N.V. ¼-7, I 66. Schlumberger Ltd. -1-6&167. Secom Co. Ltd. ¼-9--.168. Seiko Epson Corp . .J..7G., 169. Senior Housing Properties Trust ++hl70. Seven & i Holdings Co. Ltd. -J--n, 171. Sky Pie +uc!72. Smith & Nephew Pie -l--+4,[73. Smucker J.M. Co. +B-.174. Societe Generale S.A. 7 OGE-17-0005-L-000108 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 8 +¾-cl75. Sony Corp. I 76. SPDR S&P China ETF -1--7& 177. Spectra Energy Corp. +7-9--. I78. Sumitomo Mitsui Banking Corp. -1-Sih 179. Suntory Beverage & Food Ltd. +-8-1-,180. Syngenta AG +&;h I 81. T. Rowe Price Group Inc. -1-&'h 182. Tallgrass Energy Partners MLP +84-.183. Taiwan Semiconductor Manufacturing Co. Ltd. ~ 184. Targa Resources Partners --l-%6-,185.Target Corp. +&+.186. TC Pipelines MLP +&& 187. Teekay Offshore Partners LP +89-, 188. Tesoro Logistics MLP .J--9{},189. Texas Instruments Inc. -1--9-h 190. Time Warner Inc. -1--9±-c 19 I. Toray Industries Inc. +9;l--,192. Total S.A. +9+.193. Toyota Motor Corp. +%-c194. Trend Micro Inc. +9&.195. Twitter +9+.196. Unibail-Rodamco SE +9-&197. Union Pacific Corp . ..J.9-9-, 198. United Technologies Corp. ;J.00..199. US Bancorp W+.200. Ventas Inc. ±{);h20I. Verizon Communications '2{)'.h202. Vivendi SA ±{)4.,203. Vodafone Group Pie ~204. Walt Disney Co. ±%,205. WEC Energy Group Inc. ±!l-7,206. Welltower Inc. REIT W&-.207. Western Gas Equity Partners MLP ±G9-.208. Western Gas Partners LP · ±-14209. The Williams Companies Inc. 2-1+.210. William Hill Pie ;J..h!.,211. Williams Partners MLP ±-8-,212. WisdomTree Japan Hedged Equity Fund ETF ±14.213. WisdomTree Trust India ~214. WisdomTree Trust Japan ;,+ii.,215. WPP Pie m 8 OGE-17-0005-L-000109 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 9 ATTACHMENT B The following entities will be divested as soon as reasonably practicable and within 180 days of confirmationl1westment fonds that will be divested as soon as praetieable: 1. Alphakeys KKR Energy -h2. Alphakeys Millenium III &.3. Altair Commercial Real Estate Lending Fund LLC ,!-,4. Altair Healthcare Real Estate Fund LLC +.5. Apollo ANDRP Co-Investors II (B) LP ~6. Apollo Co-Investors VIII (B) LP &7. Apollo European Credit Fund LP +.8. Atlas Enhanced Fund LP &-.9. Solamere Capital Fund II LP -9-,10. Solamere Holdco I LLC +o, 11. Solamere Portfolio Company Investments II LLC +hl2. Solamere 2016 Holdco I LLC -hhl3. Salus LLC 9 OGE-17-0005-L-000110 DRAFT 216n1 -5:55 p.m. February 6, 2017 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official U.S. Department of Labor 200 Constitution Ave., NW, Rm. N2700 Washington, DC 20210 Dear Mr. Shapiro: 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 U.S. Department of Labor. As required by 18 U.S.C. § 208(a), 1 will not participate personally and substantially in any particular matter in which 1 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 ofa partnership in which I am a limited or general paitner; 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. Upon confirmation, I will resign from my positions with CKE Restaurants Holdings, Inc. ("CKE Restaurant"). CKE Restaurant is controlled by CKE Holdings, L.P. ("CKE LP"). I have a partnership interest in CKE LP, in the form of Class A Units and vested and unvested Class B Units. Except for these units, I do not have any stocks, securities, or other equity interests in CKE Restaurant, CKE LP, or any of their affiliates, subsidiaries, or parent entities. I do not have any deferred compensation, and I will not receive any severance payment or partnership distribution. Before I assume the duties of the position of Secretary, I will receive my 2016 bonus. I will forfeit this bonus ifl do not receive it before I assume the duties of the position of Secretary. Before I assume the duties of the position of Secretary, I will also receive outstanding relocation benefits owed to reimburse me for moving to Tennessee in 2016, including costs associated with the sale ofmy house that was finalized in 2017. I will forfeit any portion of these relocation benefits that I have not received as of the date I assume the duties of the position of Secretary. Upon resignation, I will forfeit my unvested Class B Units. CKE LP and one of its subsidiaries, CKE Holding Corporation, Inc. ("CKE CORP"), will purchase my Class A Units and my vested Class B Units. To accomplish this purchase, CKE LP will issue me an amount of CKE CORP stock estimated to be equal in value to my Class A Units and OGE-17-0005-L-000111 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 2 vested Class B Units, based on an internal valuation of the company as of December 31, 2016. CKE CORP will then purchase this CKE CORP stock from me. I will receive full payment from CKE CORP for the purchase of this stock before I assume the duties of the position of Secretary, or I will forfeit any portion of the payment that I have not received and any stock that I continue to hold as of the date I assume the duties of the position of Secretary. During my appointment as Secretary, I will not participate personally and substantially in any particular matter in which I know CKE Restaurant or CKE Holdings, is a party or represents a party, unless: (a) during the first two years of my appointment, I first receive a written waiver pursuant to 5 C.F.R. § 2635.503(c); or, thereafter, (b) I am first authorized to participate, pursuant to 5 C.F.R. § 2635.502(d). Consistent with 5 C.F.R. § 2635.102(k), this recusal also applies to any entity that owns a 50% or greater interest in CKE Restaurant or CKE Holdings, as well as to any entity in which either CKE Restaurant or CKE Holdings has a 50% or greater ownership interest. During my initial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will provide you with a list of all such entities. In January 2017, I resigned from my positions with the International Franchise Association and the American Enterprise Institute. 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). I will divest my interests in the entities identified in Attachment A within 90 days ofmy confirmation and the entities identified in Attachment B within 180 days ofmy confirmation. The reason for extending the timeframe to 180 days for the entities identified in Attachment B is that they are illiquid investment funds and it may take longer to divest them. I am, however, committed to divesting all of these entities as promptly as is reasonably practicable, and I may not need the entire 90-day or 180-day period to complete all divestitures. As to the entities subject to the 180-day deadline, you have advised me that you may be willing to consider a brief extension of up to 60 days for a subset of these entities, provided that I demonstrate that I have made substantial progress toward completing the divestiture of all of these entities by the end of the 180day time period. 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-or, in the case of an investment fund, the entity or any of its underlying assets-until I have divested it, unless I first obtain a written waiver, pursuant to 18 U.S.C. § 208(b )(2). Preexisting confidentiality agreements as to some of the entities identified in Attachment B limit the release of information regarding their underlying assets; however, during my initial ethics briefing, pursuant to 5 C.F.R. § 2638.305, I will work with you to develop an effective recusal mechanism for particular matters affecting any of these investment funds or any underlying asset. 2 OGE-17-0005-L-000112 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 3 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. 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 purchase of any assets other than cash, cash equivalents, investment funds that qualify for the exemption at 5 C.F.R. § 2640.20l(a), obligations of the United States, or municipal bonds. 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. Within 90 days ofmy confirmation, I will also document my compliance with this ethics agreement by notifying you in writing when I have completed the steps described in this ethics agreement. 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 have made in this ethics agreement. 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, Andrew F. Puzder 3 OGE-17-0005-L-000113 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 4 ATTACHMENT A I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 1I. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 3M Co. Abbott Laboratories AbbVie Inc. Accor S.A. ACS Actividades de Construccion y Servicios Adecco Group AG Adidas AG Aegon N.V. Aercap Holdings N.V. Air Products & Chemicals Inc. Alerian MLP ETF Altria Group Inc. AmBev S.A. America Movil S.A.B. de C.V. Amgen Inc. Analog Devices Inc. Apollo Investment Corp. Apple Inc. Ares Capital Corp. Arthur J Gallagher & Co. Astellas Pharma Inc. AstraZeneca Pie Atos Origin S.A. AT&T Inc. Automatic Data Processing Inc. AxaS.A. Banco Bilbao Vizcaya Argentaria S.A. Bank of America Corp. Barclays Pie Baxter International Inc. Bayer AG BB&T Corp. Berkshire Hathaway Inc. BG Group Pie BHP Billiton Pie BlackRock Inc. Brookfield Property Partners LLP Buckeye Partners LP Care Capital Properties Carlsberg A/S Carrefour S .A. Cisco Systems Inc. 4 OGE-17-0005-L-000114 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 5 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53. 54. 55. 56. 57. 5 8. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. 69. 70: 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. 86. 87. Check Point Software Technologies Ltd. Chevron Corp. China Mobile Ltd. CK Hutchison Holdings Ltd. Coca Cola Co. Colony Starwood Homes REIT Credit Suisse X-Links Cushing MLP Infrastructure ETN Crestwood Equity Crown Castle Intl. Corp. Daimler AG DBS Group Holdings Ltd. DCP Midstream Partners MLP Delek Logistics Denso Corp. Deutsche Boerse ADR Deutsche Post AG Diageo Pie DNBASA E.ON SE Embraer S.A. Emerson Electric Co. Enable Midstream Partners MLP Enbridge Energy Partners MLP Energy Transfer Equity LP Energy Transfer Partners MLP Enerjex Resources Inc. Engie Enlink Midstream Partners MLP Enterprise Products EQT Midstream Partners MLP Ericsson European Aeronaut Exxon Mobil Corp. Fastenal Co. Fidelity National Financial Inc. Fifth Street Senior Floating Rate Corp. Financial Select Sector SPDR First Trust Water ETF Ford Motor.Co. Fresenius Medical Care AG GEA Group AG Gemalto N.V. General Electric Co. Genesis Energy MLP Global Logistic Properties Ltd. 5 OGE-17-0005-L-000115 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 6 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. l 00. 10I. 102. 103. 104. 105. 106. l 07. 108. l 09. 110. 111. 112. 113. 114. 115. 116. 117. 118. 119. 120. 121. 122. 123. 124. 125. 126. 127. 128. 129. 130. 131. 132. Guggenheim S&P Global Water ETF Hasbro Inc. Health Care REIT Inc. Heineken N.V. Hershey Co. Hitachi Ltd. Horne Depot Inc. Holcim Ltd. HSBC Holdings Plc !HS Markit Ltd. Illinois Tool Works Inc. Infineon Technologies AG Intel Corp. Intesa Sanpaolo S.p.A. iShares MSC! Mexico Capped ETF iShares NASDAQ biotechnology ETF Johnson & Johnson JP Morgan Chase & Co. Julius Baer Group Ltd. Kimberly-Clark Corp. Kinder Morgan Inc. Komatsu Ltd. Koninklijke Philips N.V. Kraft Foods Group Inc. Lixil Group Corp. LMP Corporate Loan Fund Inc. Lockheed Martin Corp. LyondellBasell Industries N.V. Macquarie Infrastructure Corp. Magellan Midstream Marsh & McLennan Companies Inc. Matthews Japan Fund Maxim Integrated Products Inc. Mazda Motor Corp. McDonald's Corp. Medtronic Plc Merck & Co Inc. Microsoft Corp. MPLX MLP Murata Manufacturing Co. Ltd. National Grid Plc Neuberger Berman MLP Income Fund New Media Investment Group Inc. New Residential Investment Corp. REIT New Senior Investment Group REIT 6 OGE-17-0005-L-000116 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 7 133. 134. 135. 136. 137. 138. 139. 140. 141. 142. 143. 144. 145. 146. 147. 148. 149. 150. 151. 152. 153. 154. 155. 156. 157. 158. 159. 160. 161. 162. 163. 164. 165. 166. 167. 168. 169. 170. 171. 172. 173. 174. 175. 176. 177. Newcastle Investment Corp. NextEra Energy Inc. Nippon Telegraph and Telephone Corp. Novartis AG Occidental Petroleum Corp. ONEOK Inc. Orange S.A. Otsuka Holdings Co. Ltd. Panasonic Corp. Paychex Inc. Pearson Pie Pepsico Inc. Pfizer Inc. Phillips 66 Partners MLP Philip Morris International Inc. Plains All American Pipeline Plains GP Holdings LP PNC Financial Services Group Porsche Automobil Holding SE Powershares Global Water Portfolio Powershares Water Resources Portfolio Procter & Gamble Co. Public Storage REIT QUALCOMM Inc. Realty Income Corp. Remy International Inc. Repsol S.A. Roche Holding Ltd. Royal DSM N.V. Royal Dutch Shell Pie Royal KPN N.V. Schlumberger Ltd. Secom Co. Ltd. Seiko Epson Corp. Senior Housing Properties Trust Seven & i Holdings Co. Ltd. Sky Pie Smith & Nephew Pie Smucker J.M. Co. Societe Generale S.A. Sony Corp. SPDR S&P China ETF Spectra Energy Corp. Sumitomo Mitsui Banking Corp. Suntory Beverage & Food Ltd. 7 OGE-17-0005-L-000117 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 8 178. 179. 180. 181. 182. 183. 184. 185. 186. 187. 188. 189. 190.. 191. 192. 193. 194. 195. 196. 197. 198. 199. 200. 20 I. 202. 203. 204. 205. 206. 207. 208. 209. 210. 211. 212. 213. Syngenta AG T. Rowe Price Group Inc. Tallgrass Energy Partners MLP Taiwan Semiconductor Manufacturing Co. Ltd. Targa Resources Partners Target Corp. TC Pipelines MLP Teekay Offshore Partners LP Tesoro Logistics MLP Texas Instruments Inc. Time Warner Inc. Toray Industries Inc. Total S.A. Toyota Motor Corp. Trend Micro Inc. Twitter Unibail-Rodamco SE Union Pacific Corp. United Technologies Corp. US Bancorp Ventas Inc. Verizon Communications Vivendi SA Vodafone Group Pie Walt Disney Co. WEC Energy Group Inc. Welltower Inc. REIT Western Gas Equity Partners MLP Western Gas Partners LP The Williams Companies Inc. William Hill Pie Williams Partners MLP WisdomTree Japan Hedged Equity Fund ETF WisdomTree Trust India WisdomTree Trust Japan WPP Pie 8 OGE-17-0005-L-000118 Mr. Robert A. Shapiro Alternate Designated Agency Ethics Official Page 9 ATTACHMENT B Investment funds that will be divested as soon as practicable: I. Alphakeys KKR Energy 2. Alphakeys Millenium III 3. Altair Commercial Real Estate Lending Fund LLC 4. Altair Healthcare Real Estate Fund LLC 5. Apollo ANRP Co-Investors II (B) LP 6. Apollo Co-Investors VIII (B) LP 7. Apollo European Credit Fund LP 8. Atlas Enhanced Fund LP 9. Solamere Capital Fund II LP I 0. Solamere Holdco I LLC I I. Solamere Portfolio Company Investments II LLC 12. Solamere 2016 Holdco I LLC 13. Solus LLC 9 OGE-17-0005-L-000119