United States Senate Financial Disclosures Annual Report for Calendar 2017 The Honorable Bernard Sanders (Sanders, Bernard) ! Filed 05/15/2018 @ 6/29 PM The following statements were checked before filing: I certify that the statements I have made on this form are true, complete and correct to the best of my knowledge and belief. I understand that reports cannot be edited once filed. To make corrections, I will submit an electronic amendment to this report. I omitted assets because they meet the three-part test for exemption. Part 1. Honoraria Payments or Payments to Charity in Lieu of Honoraria Did any individual or organization pay you or your spouse more than $200 or donate any amount to a charity on your behalf, for an article, speech, or appearance? No Part 2. Earned and Non-Investment Income Did you or your spouse have reportable earned income or non-investment income? Yes # Who Was Paid Type Who Paid Amount Paid 1 Self Pension City of Burlington Vermont $5,137.00 Burlington, VT 2 3 Self Self Royalties (Advance Against Earning) Royalties Macmillan - St. Martin's Press, LLC $505,000.00 New York, NY Macmillan - Henry Holt and Company, LLC $63,750.00 New York, NY 4 Self Royalties Verso Publications $5,341.14 New York, NY 5 Self Royalties Todd R. Lockwood Works $539.47 Burlington, VT 6 Spouse Royalties Macmillan - St. Martin's Press, LLC > $1,000 New York, NY 7 Self Royalties Macmillan - St. Martin's Press, LLC $306,000.00 New York, NY Part 3. Assets Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a balance over $5,000, or receive income of more than $200 from an asset? Yes 1 1.1 Asset Asset Type Owner Spouse Retirement plan Retirement Plans Spouse CREF Stock Account - R1 Mutual Funds Value Income Type Income Defined Contribution Pension Plan Mutual Fund Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) 1.2 CREF Growth Account - R1 Mutual Funds 1.3 CREF Equity Index Account - R1 Mutual Funds 1.4 CREF Global Equities Account - Mutual Funds 1.5 TIAA-CREF Mid-Cap Growth Retire Mutual Funds 1.6 TIAA-CREF Real Estate Sec Instl Mutual Funds 1.7 CREF Bond Market Account - R1 Mutual Funds 1.8 CREF InflationLinked Bond Acco Mutual Funds 1.9 TIAA-CREF Social Choice Eq Instl Mutual Funds 1.10 TIAA Traditional Annuity Mutual Funds 1.11 Teachers Personal Annuity Fixed Account Mutual Funds 1.12 TIAA Personal Annuity Stock Index Fund Mutual Funds 2 Spouse Retirement Plan 2 Retirement Plans VALIC Core Equity Mutual Funds 2.1 Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $50,001 $100,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse Defined Contribution Pension Plan Mutual Fund Spouse 2.2 VALIC Dividend Value Mutual Funds 2.3 VALIC Socially Responsible Mutual Funds 2.4 VALIC Stock Index Mutual Funds 2.5 VALIC Mid Cap Index Mutual Funds 2.6 VALIC Small Cap Mutual Funds 2.7 VALIC Small Cap Index Mutual Funds 2.8 VALIC Global Social Awareness Mutual Funds 2.9 VALIC International Eqs Idx Mutual Funds 2.10 VALIC Science & Technology Mutual Funds 2.11 VALIC Asset Allocation Mutual Funds 2.12 VALIC Vanguard LifeStrategy Growth Inv Mutual Funds 2.13 VALIC Vanguard LifeStrategy Moderate Gr Inv Mutual Funds 2.14 VALIC Government Securities Mutual Funds 2.15 VALIC International Govt Bond Mutual Funds 2.16 VALIC Strategic Bond Mutual Funds Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Fund Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse None (or less than $1,001) Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) 2.17 VALIC Vanguard Long-Term Treasury Inv Mutual Funds 2.18 VALIC Vanguard Long-Term InvestmentGrade Inv Mutual Funds 3 Spousal Retirement IRA Retirement Plans 3.1 People's United Bank (Burlington, VT) Type: IRA Cash Accounts, Bank Deposit 4 City of Burlington Pension Plan Filer comment: Pension income reported in Part 2. Retirement Plans 5 U.S. Senate Federal Credit Union (Washington, DC) Type: Checking, Savings, Filer comment: Money held for tax payments. 6 7 Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $1,001 $15,000 Excepted Investment Fund, None (or less than $201) Spouse $15,001 $50,000 Dividends, None (or less than $201) Self Unascertainable None, None (or less than $201) Bank Deposit Joint $100,001 $250,000 Dividends, None (or less than $201) People's United Bank (Burlington, VT) Type: Checking, Savings, Bank Deposit Joint $50,001 $100,000 Interest, None (or less than $201) North Country Federal Bank Deposit Spouse $1,001 $15,000 Interest, None (or less than $201) Mutual Fund Mutual Fund Spouse IRA Defined Benefit Pension Plan Credit Union (Burlington, VT) Type: Checking, Part 4a. Periodic Transaction Report Summary In this section, electronically filed periodic transaction report (PTR) transactions are displayed for you. Have you filed any paper-based PTRs in this period? No Part 4b. Transactions Did you, your spouse, or dependent child buy, sell, or exchange an asset that exceeded $1,000? No Part 5. Gifts Did you, your spouse, or dependent child receive any reportable gift during the reporting period? No Part 6. Travel Did you, your spouse, or dependent child receive any reportable travel? Yes # Date(s) 1 01/15/2017 to 03/31/2017 2 08/28/2017 to 08/31/2017 Traveler( s) Travel Type Self , Spouse Outside activity Self Outside activity Reimbursed For Who Paid Four book events for "Our Revolution: A Future To Believe In." Spouse attended some events, not all. Atlanta, Georgia (1/15); Charleston, West Virginia (2/12); Los Angeles California (2/19); Cambridge, Massachusetts (3/31). Airfare, ground transportation, lodging and meals. Macmillan - St. Martin's Press, LLC Four book events for "Guide to Political Revolution," a young adult book. New York, New York (8/28); Cincinnati, Ohio (8/29); Naperville, Illinois (8/30); Iowa City, Iowa (8/31). Airfare, ground transportation, lodging and meals. Macmillan - Henry Holt and Company, LLC Itinerary Comment None New York, NY New York, NY None Part 7. Liabilities Did you, your spouse, or dependent child have a liability worth more than $10,000 at any time? Yes # Incurred Debtor Type Points 1 2013 Joint Mortgage .40 2 2013 Joint Mortgage 0 Rate (Term) Amount Creditor Comments 3.25% (30) $250,001 $500,000 Quicken Loans - 3.25% (30 years) $100,001 $250,000 Quicken Loans Detroit, MI - Detroit, MI Part 8. Positions Did you hold any outside positions during the reporting period? Yes # 1 Position Dates Position Held Aug 2016 to present Trustee Entity Islands Family Trust North Hero, Vermont Entity Type Trust Comments I am a co-trustee in a family trust created when we bought a summer home. Part 9. Agreements Did you have any reportable agreement or arrangement with an outside entity? Yes # Date Parties Involved Type Status and Terms 1 Feb 2011 Avalon Publishing Group Royalty Agreement Royalty agreement with the publisher to have them donate all royalties from proceeds of the sale of "The Speech" directly to charity. 2 Oct 1990 Verso Publications New York, NY Royalty Agreement Standard Royalty Agreement with Verso Publications regarding sales of "Outsider in the House" and "Outsider in the White House." Income from this agreement is disclosed in Section 2. 3 Jul 2016 Macmillan - St. Martin's Press Royalty Agreement Contract with St. Martin's Press to write "Our Revolution: A Future To Believe In" that was published in November 2016. Income from this agreement is disclosed in Section 2. Aug 2016 Macmillan - Henry Holt and Company, LLC Royalty Agreement Contract with Henry Holt and Company to write a book for young adults to be published in 2017. Income from this agreement is disclosed in Section 2. 5 Jul 2016 Todd R. Lockwood S. Burlington, Vermont Royalty Agreement Royalty agreement from the sales for the Bernie Sanders - We shall Overcome album. Income from this agreement is disclosed in Section 2. 6 Feb 2017 Macmillan - St. Martin's Press, LLC Royalty Agreement Contract with St. Martin's Press to write "Where Do We Go From Here?" to be published in the fall of 2018. Income from this agreement is disclosed in Section 2. 4 Berkeley, CA New York, NY New York, NY New York, NY Part 10. Compensation If this is your first report, or you are a candidate did you receive compensation of more than $5,000 from a single source in the two prior years? This is not my first report. Attachments & Comments No attachments added. No comments added.