Annual Report 2018   U.S. Office of Government Ethics; 5 C.F.R. part 2634   Form Approved: OMB No. (3209-0001) (January 2018)

Executive Branch Personnel
Public Financial Disclosure Report (OGE Form 278e)
Filer's Information
Mnuchin, Steven
Secretary, Department of the Treasury
Report Year: 2018
Other Federal Government Positions Held During the Preceding 12 Months:
None

Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge.
/s/ Mnuchin, Steven [electronically signed on 05/15/2018 by Mnuchin, Steven in Integrity.gov] - Filer received a 45 day filing extension.

Agency Ethics Official's Opinion - On the basis of information contained in this report, I conclude that the filer is in compliance with applicable laws and regulations
(subject to any comments below).
/s/ Horton, Elizabeth A, Certifying Official [electronically signed on 06/27/2018 by Horton, Elizabeth A in Integrity.gov]

Other review conducted by
/s/ Riesen, Peter, Ethics Official [electronically signed on 06/25/2018 by Riesen, Peter in Integrity.gov]

U.S. Office of Government Ethics Certification

Mnuchin, Steven - Page 1

 1. Filer's Positions Held Outside United States Government
#

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

1

Dune Capital Management LP

New York, New
York

Investment
Fund Manager

Chairman and
CEO

9/2004

1/2017

2

Dune Capital Management GP LLC

New York, New
York

General Partner

Sole Owner

12/2004

1/2017

3

Steven T. Mnuchin Inc.

New York, New
York

Corporation

President and
Sole Owner

5/1999

Present

4

STM Partners LLC

New York, New
York

Investment
Partnership

Managing
Member

8/2003

1/2017

5

SHM Investments LLC

New York, New
York

Investment
Manager

Managing
Member

1/2003

1/2017

6

STM Revocable Trust

Los Angeles,
California

Trust

Trustee

7/2012

1/2017

7

Steven and Heather Mnuchin Foundation

Los Angeles,
California

Private
Foundation

Trustee

1/1994

2/2017

8

STM GST Trust

Los Angeles,
California

Trust

Trustee

5/2005

2/2017

9

AGM GST Trust

New York, New
York

Trust

Trustee

5/2005

2/2017

10

ETC Estate

New York, New
York

Estate

Co-Executor

5/2005

1/2017

11

Elaine T. Cooper Foundation

New York, New
York

Private
Foundation

Trustee

5/2005

1/2017

12

The GMG 2002 Trust

Washington,
District of
Columbia

Trust

Trust Protector

1/2010

1/2017

Mnuchin, Steven - Page 2

 #

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

13

The SMG 2002 Trust

Washington,
District of
Columbia

Trust

Trust Protector

1/2010

1/2017

14

The LFG 2002 Trust

Washington,
District of
Columbia

Trust

Trust Protector

1/2010

1/2017

15

GMG 1999 Trust

Washington,
District of
Columbia

Trust

Trustee

1/2010

1/2017

16

LFG 1999 Trust

Washington,
District of
Columbia

Trust

Trustee

1/2010

1/2017

17

SMG 1999 Trust

Washington,
District of
Columbia

Trust

Trustee

1/2010

1/2017

18

The NFL 2015 Trust

Miami, Florida

Trust

Trustee

3/2015

1/2017

19

The NRL 2015 Trust

Miami, Florida

Trust

Trustee

3/2015

1/2017

20

Trust U Art 6th (b) MM

Washington,
Connecticut

Trust

Trustee

11/1995

1/2017

21

LeFrak Trust Company

Wilmington,
Delaware

Corporation

Director

1/2009

1/2017

22

UCLA Hospital

Los Angeles,
California

Hospital

Member, Board

1/2010

1/2017

23

Cedar Sinai Hospital

Los Angeles,
California

Hospital

Member, Board
of Governors

1/2010

1/2017

24

The MR and JMB 2003 Life Insurance Trust

New York, New
York

Trust

Trustee

3/2003

1/2017

25

Dune Entertainment Partners LLC

New York, New
York

Partnership

Chairman

1/2013

2/2017

Mnuchin, Steven - Page 3

 #

ORGANIZATION NAME

CITY, STATE

ORGANIZATION
TYPE

POSITION HELD

FROM

TO

26

StormChaser Partners LLC

Los Angeles,
California

Limited Liability
Company

Chairman

12/2015

1/2017

27

New York Presbyterian Hospital

See Endnote

New York, New
York

Hospital

Life Trustee

1/2004

1/2017

28

Dune Capital Partners LLC

See Endnote

New York, New
York

Limited Liability
Company

Manager

1/2004

1/2017

29

Dune Capital Partners II LP

New York, New
York

Limited Liability
Partnership

Manager

1/2004

1/2017

30

Dune Capital Partners III LLC

Las Vegas,
Nevada

Limited Liability
Company

Managing
Member

10/2013

1/2017

31

Dune Capital Manager LLC

New York, New
York

Limited Liability
Company

Managing
Member

1/2004

1/2017

32

SHM Partners II, LLC

New York, New
York

Limited Liability
Company

Managing
Member

1/2004

1/2017

33

Dune Capital International Ltd

Cayman Islands,
Outside U.S.

Corporation

Director

12/2004

1/2017

34

ESL 2012 Family Trust

Miami, Florida

Trust

Trustee

12/2012

1/2017

35

AGM 2016 Insurance Trust

New York, New
York

Trust

Trustee

6/2016

1/2017

VALUE

INCOME TYPE

INCOME
AMOUNT

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

DESCRIPTION

1

(line intentionally left blank)

1.1

(line intentionally left blank)

2

(line intentionally left blank)

EIF

Mnuchin, Steven - Page 4

 #

DESCRIPTION

EIF

VALUE

2.1

(line intentionally left blank)

3

STM Partners LLC

4

(line intentionally left blank)

5

(line intentionally left blank)

6

Goldman Sachs 401(k)

No

6.1

GS Financial Square Treasury Obligations
Fund

Yes

None (or less
than $1,001)

6.2

U.S. brokerage bank deposit account
(institution #2) (cash)

N/A

$50,001 $100,000

6.3

Large Cap Value Equity Index Fund Blackrock

Yes

$50,001 $100,000

$5,001 - $15,000

6.4

Large Cap Value Equity Fund - GSAM

Yes

None (or less
than $1,001)

$1,001 - $2,500

6.5

S&P 500 Index Fund - SSgA

Yes

$250,001 $500,000

$50,001 $100,000

6.6

Concentrated Growth Equity Fund - Jackson
Square Partners

No

None (or less
than $1,001)

6.6.1

Allergan PLC Common Shares

6.6.2

Alphabet Inc. Class A Common Shares

6.6.3

Alphabet Inc. Class C Common Shares

6.6.4

Biogen Inc. Common Shares

6.6.5

Celegene Corp. Common Shares

6.6.6

Crown Castle International Corp. Common
Shares

6.6.7

DENTSPLY SIRONA Inc. Common Shares

N/A

INCOME TYPE

INCOME
AMOUNT

Guaranteed
Payments

$37,074

$2,501 - $5,000
Interest

Dividends
Capital Gains

$201 - $1,000

$5,001 - $15,000

Mnuchin, Steven - Page 5

 #

DESCRIPTION

6.6.8

Dollar General Corp. Common Shares

6.6.9

Ebay Inc. Common Shares

6.6.10

Electric Arts Common Shares

6.6.11

Equinix Inc. Common Shares

6.6.12

Facebook Inc. Class A Common Shares

6.6.13

Intercontinental Exchange Inc. Common
Shares

6.6.14

Intuit Inc. Common Shares

6.6.15

L. Brands Inc. Common Shares

6.6.16

Liberty Global PLC Class C Common Shares

6.6.17

Liberty Global PLC Class A Common Shares

6.6.18

Liberty Interactive Corp. Class A Common
Shares

6.6.19

Mastercard Inc. Class A Common Shares

6.6.20

Microsoft Corp. Common Shares

6.6.21

Nielsen Holdings PLC Common Shares

6.6.22

Paypal Holdings Inc. Common Shares

6.6.23

Qualcomm Inc. Common Shares

6.6.24

Quintiles IMS Holdings Inc. Common Shares

6.6.25

Charles Schwab Corp. Common Shares

6.6.26

Symantec Corp. Common Shares

6.6.27

TripAdvisor Inc. Common Shares

6.6.28

Visa Inc. Class A Common Shares

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 6

 #

DESCRIPTION

EIF

VALUE

6.6.29

Walgreens Boots Alliance Inc. Common
Shares

6.6.30

GS Financial Square Treasury Obligations
Fund

6.7

Mid Cap Value Equity Fund - GSAM

6.8

(line intentionally left blank)

6.9

(line intentionally left blank)

6.10

INCOME TYPE

INCOME
AMOUNT

Yes

None (or less
than $1,001)

$5,001 - $15,000

Treasury Money Market - Vanguard

Yes

$500,001 $1,000,000

$201 - $1,000

6.11

Concentrated Value Equity - Dmnd Hill

Yes

$15,001 $50,000

$2,501 - $5,000

6.12

Mid Cap Value Eq - Sycamore

Yes

$250,001 $500,000

$15,001 $50,000

7

TriNet (F/K/A Ambrose Multiple Employer
Retirement Savings 401(k)

No

7.1

T. Rowe Personal Strategy Balance Fund

Yes

None (or less
than $1,001)

$15,001 $50,000

7.2

Vanguard Institutional Target Retirement
2025 Fund

Yes

$250,001 $500,000

$15,001 $50,000

8

(line intentionally left blank)

9

(line intentionally left blank)

10

(line intentionally left blank)

11

(line intentionally left blank)

12

(line intentionally left blank)

13

(line intentionally left blank)

Mnuchin, Steven - Page 7

 #

DESCRIPTION

14

(line intentionally left blank)

14.1

(line intentionally left blank)

14.1.1

(line intentionally left blank)

14.2

(line intentionally left blank)

14.3

(line intentionally left blank)

14.4

(line intentionally left blank)

14.5

(line intentionally left blank)

14.6

(line intentionally left blank)

14.6.1

(line intentionally left blank)

14.7

(line intentionally left blank)

14.8

(line intentionally left blank)

14.8.1

(line intentionally left blank)

14.8.1.
1

(line intentionally left blank)

14.8.1.
1.1

(line intentionally left blank)

15

(line intentionally left blank)

15.1

(line intentionally left blank)

15.2

(line intentionally left blank)

15.2.1

(line intentionally left blank)

15.3

(line intentionally left blank)

15.4

(line intentionally left blank)

15.5

(line intentionally left blank)

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 8

 #

DESCRIPTION

EIF

VALUE

15.6

(line intentionally left blank)

15.6.1

(line intentionally left blank)

15.7

(line intentionally left blank)

15.8

(line intentionally left blank)

15.8.1

(line intentionally left blank)

15.8.1.
1

(line intentionally left blank)

15.8.1.
1.1

(line intentionally left blank)

16

CIT Group Inc. SIP 401(k) Plan

16.1
16.2

INCOME TYPE

INCOME
AMOUNT

Schwab Managed Retirement Trust Fund
2025

Yes

$15,001 $50,000

$2,501 - $5,000

Schwab Managed Retirement Trust Fund
2030

Yes

$50,001 $100,000

$5,001 - $15,000

3. Filer's Employment Agreements and Arrangements
#

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

1

CIT Group

New York, New
York

Restrictive Covenant Agreement - Filer is subject to
customary non-compete and non-solicitation
provisions until July 2018.

7/2014

2

Goldman Sachs

New York, New
York

401(k) Plan - Filer will continue to participate in
Goldman Sach's 401(k) plan. No contributions will be
made by Filer's former employer.

9/1985

3

Dune Capital Management

New York, New
York

401(k) Plan - Filer will continue to participate in Dune
Capital Management's 401(k) plan administered by
Ambrose. No contributions will be made by Filer's
former employer.

9/2004

Mnuchin, Steven - Page 9

 #

EMPLOYER OR PARTY

CITY, STATE

STATUS AND TERMS

DATE

4

CIT Group

New York, New
York

401(k) Plan - Filer will continue to participate in CIT
Group's SIP 401(k) plan. No contributions will be
made by Filer's former employer.

8/2015

4. Filer's Sources of Compensation Exceeding $5,000 in a Year
(N/A) - Not required for this type of report

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

DESCRIPTION

EIF

1

Stormchaser Partners LLC

1.1

SDA Film LLC

No

1.1.1

Untitled Film 5

N/A

$15,001 $50,000

None (or less
than $201)

1.2

Untitled Film 1

N/A

$1,001 - $15,000

None (or less
than $201)

1.3

Untitled Film 2

N/A

$50,001 $100,000

None (or less
than $201)

1.4

Untitled Film 3

N/A

$1,001 - $15,000

None (or less
than $201)

1.5

Untitled Film 6

N/A

$50,001 $100,000

None (or less
than $201)

1.6

Tarbox LLC

No

1.7

Untitled Film 4

N/A

$1,001 - $15,000

None (or less
than $201)

See Endnote

VALUE

No

INCOME TYPE

INCOME
AMOUNT

Guaranteed
Payment

$1,158

Mnuchin, Steven - Page 10

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1.8

Receivable from Midnightman Holdings LLC

N/A

$100,001 $250,000

None (or less
than $201)

1.9

Stormchaser Dune Entertainment LLC

No

1.9.1

TPD Entertainment, LLC

No

1.9.1.1

TPSE Financing, LLC

No

1.9.1.1
.1

Receivable from Six Below, LLC

N/A

$50,001 $100,000

None (or less
than $201)

6. Other Assets and Income
#

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

1

U.S. bank account (institution #1)
(checking/savings)

N/A

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

Interest

$201 - $1,000

2

U.S. bank account (institution #4) (NOW
Accounts)

N/A

$50,001 $100,000

Interest

$201 - $1,000

3

U.S. bank account (institution #5) (checking)

N/A

$1,001 - $15,000

4

Receivable from STM Partners LLC

N/A

None (or less
than $1,001)

Interest

$100,001 $1,000,000

5

(line intentionally left blank)

6

AT& T Inc. Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$100,001 $1,000,000

7

Comcast Corporation Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$50,001 $100,000

8

General Electric Co. Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$100,001 $1,000,000

None (or less
than $201)

Mnuchin, Steven - Page 11

 #

DESCRIPTION

EIF

VALUE

9

(line intentionally left blank)

10

INCOME TYPE

INCOME
AMOUNT

GS Financial Square Money Market Fund

Yes

Over
$50,000,000

$100,001 $1,000,000

11

GS Financial Square Treasury Obligations
Fund

Yes

None (or less
than $1,001)

$2,501 - $5,000

12

International Business Machines Corp.
Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$50,001 $100,000

13

Seritage Growth Properties Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

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

14

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Capital Gains

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

15

Sears Holdings Corp. Bond

N/A

None (or less
than $1,001)

Interest

$5,001 - $15,000

16

U.S. brokerage money market account
(institution #2) (cash)

N/A

$15,001 $50,000

Interest

$2,501 - $5,000

17

(line intentionally left blank)

17.1

(line intentionally left blank)

17.1.1

(line intentionally left blank)

17.1.2

(line intentionally left blank)

17.1.3

(line intentionally left blank)

17.1.3.
1

(line intentionally left blank)

17.1.3.
2

(line intentionally left blank)

17.1.3.
3

(line intentionally left blank)

Mnuchin, Steven - Page 12

 #

DESCRIPTION

17.1.3.
3.1

(line intentionally left blank)

17.1.4

(line intentionally left blank)

17.1.4.
1

(line intentionally left blank)

17.1.5

(line intentionally left blank)

18

Dune Real Estate Partners LLC

18.1

Dune Real Estate Fund LP

No

18.1.1

Leonard/Fulton Holdings, LLC (New York City
For-Sale Residential)

No

18.1.2

New York Standard Hotel JV (New York City
Hotel)

No

18.1.3

Co-Invest Hamlet Holdings B, LLC (Operating
Company)

No

18.1.3.
1

Caesars Acquisition Company Shares

N/A

18.1.4

1186 Broadway, LLC (New York City Hotel)

No

18.1.5

McArthurGlen Europe (European Retail)

No

18.1.6

U.S. bank account (institution #1) (cash)

N/A

18.2

U.S. bank account (institution #1) (cash)

N/A

19

ESL Partners, LP

See Endnote

Yes

None (or less
than $1,001)

$50,001 $100,000

20

Sebonak Bond

See Endnote

N/A

$500,001 $1,000,000

None (or less
than $201)

21

DM UTMA Account (institution #2)

See Endnote

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

No

None (or less
than $1,001)

Partnership
Income
Capital Gains

$705,526

No

Mnuchin, Steven - Page 13

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

21.1

(line intentionally left blank)

21.2

(line intentionally left blank)

21.3

(line intentionally left blank)

21.4

(line intentionally left blank)

21.5

(line intentionally left blank)

21.6

(line intentionally left blank)

21.7

(line intentionally left blank)

21.8

Microsoft Corporation Common Shares

N/A

None (or less
than $1,001)

Capital Gains

$5,001 - $15,000

21.9

(line intentionally left blank)

21.10

(line intentionally left blank)

21.11

(line intentionally left blank)

21.12

(line intentionally left blank)

21.13

Seritage Growth Properties Common Shares

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

21.14

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

21.15

(line intentionally left blank)

21.16

U.S. brokerage money market account
(institution #2) (cash)

N/A

$50,001 $100,000

Interest

$1,001 - $2,500

22

JM UTMA Account (institution #2)

No

22.1

(line intentionally left blank)

22.2

(line intentionally left blank)

22.3

(line intentionally left blank)

Mnuchin, Steven - Page 14

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

22.4

(line intentionally left blank)

22.5

(line intentionally left blank)

22.6

(line intentionally left blank)

22.7

(line intentionally left blank)

22.8

Microsoft Corporation Common Shares

N/A

None (or less
than $1,001)

Capital Gains

$5,001 - $15,000

22.9

(line intentionally left blank)

22.10

(line intentionally left blank)

22.11

(line intentionally left blank)

22.12

(line intentionally left blank)

22.13

Seritage Growth Properties Common Shares

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

22.14

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

22.15

(line intentionally left blank)

22.16

U.S. brokerage money market account
(institution #2) (cash)

N/A

$500,001 $1,000,000

Dividends

$1,001 - $2,500

23

EM - U.S. bank account (institution #4) (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

24

JM - U.S. bank account (institution #4) (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

25

DM - U.S. bank account (institution #4)
(cash)

N/A

$1,001 - $15,000

None (or less
than $201)

26

Trust F/BO EDM U/I/D 6/17/02

N/A

26.1

AT& T Inc. Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

Mnuchin, Steven - Page 15

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

26.2

(line intentionally left blank)

26.3

(line intentionally left blank)

26.4

(line intentionally left blank)

26.5

(line intentionally left blank)

26.6

(line intentionally left blank)

26.7

(line intentionally left blank)

26.8

Microsoft Corporation Common Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

26.9

(line intentionally left blank)

26.10

(line intentionally left blank)

26.11

(line intentionally left blank)

26.12

(line intentionally left blank)

26.13

Seritage Growth Properties Common Shares

N/A

None (or less
than $1,001)

Capital Gains

$201 - $1,000

26.14

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Dividends
Capital Gains

$15,001 $50,000

26.15

(line intentionally left blank)

26.16

U.S. brokerage money market account
(institution #2) (cash)

N/A

$100,001 $250,000

Interest

$201 - $1,000

27

The Steven T. Mnuchin Revocable Trust

N/A

27.1

AT& T Inc. Common Shares

N/A

None (or less
than $1,001)

Dividends

$1,001 - $2,500

27.2

(line intentionally left blank)

27.3

(line intentionally left blank)

Mnuchin, Steven - Page 16

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

27.4

CIT Group, Inc. Holdback on Merger

N/A

$5,000,001 $25,000,000

Capital Gains

$100,001 $1,000,000

27.5

Comcast Corporation Common Shares

N/A

None (or less
than $1,001)

Dividends

$201 - $1,000

27.6

(line intentionally left blank)

27.7

(line intentionally left blank)

27.8

(line intentionally left blank)

27.9

(line intentionally left blank)

27.10

GS Financial Square Treasury Obligations
Fund

Yes

None (or less
than $1,001)

27.11

(line intentionally left blank)

27.12

(line intentionally left blank)

27.13

(line intentionally left blank)

27.14

(line intentionally left blank)

27.15

(line intentionally left blank)

27.16

(line intentionally left blank)

27.17

(line intentionally left blank)

27.18

(line intentionally left blank)

27.19

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Dividends

$15,001 $50,000

27.20

Sears Holdings Corp. Bond

N/A

None (or less
than $1,001)

Interest

$201 - $1,000

27.21

U.S. brokerage money market account
(institution #2) (cash)

N/A

$100,001 $250,000

Interest

$5,001 - $15,000

See Endnote

$5,001 - $15,000

Mnuchin, Steven - Page 17

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

27.22

The Blackstone Group LP CMN

N/A

None (or less
than $1,001)

Partnership
Income

$4,325

27.23

Interest in Willem de Kooning Oil Painting
"Untitled III", 1978

N/A

$5,000,001 $25,000,000

None (or less
than $201)

27.24

STM Partners LLC

N/A

27.24.
1

U.S. bank account (institution #1) (cash)

N/A

$50,001 $100,000

None (or less
than $201)

27.24.
2

GS Financial Square Treasury Obligations
Fund

Yes

None (or less
than $1,001)

$2,501 - $5,000

27.24.
3

U.S. brokerage money market account
(institution #2) (cash)

N/A

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

Interest

$5,001 - $15,000

27.24.
4

iHeart Communications, Inc. Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$100,001 $1,000,000

27.24.
5

(line intentionally left blank)

27.24.
5.1

(line intentionally left blank)

27.24.
5.1.1

(line intentionally left blank)

27.24.
5.1.2

(line intentionally left blank)

27.24.
5.1.3

(line intentionally left blank)

27.24.
5.1.3.1

(line intentionally left blank)

27.24.
5.1.3.2

(line intentionally left blank)

See Endnote

Mnuchin, Steven - Page 18

 #

DESCRIPTION

27.24.
5.1.3.2
.1

(line intentionally left blank)

27.24.
5.1.4

(line intentionally left blank)

27.24.
5.1.4.1

(line intentionally left blank)

27.24.
5.1.5

(line intentionally left blank)

27.24.
6

Dune Real Estate Partners LLC

27.24.
6.1

Dune Real Estate Fund LP

No

27.24.
6.1.1

Leonard/Fulton Holdings, LLC (New York City
For-Sale Residential)

No

27.24.
6.1.2

New York Standard Hotel JV (New York City
Hotel)

No

27.24.
6.1.3

Co-Invest Hamlet Holdings B, LLC (Operating
Company)

No

27.24.
6.1.3.1

Caesars Acquisition Company Shares

N/A

27.24.
6.1.4

1186 Broadway, LLC (New York City Hotel)

No

27.24.
6.1.5

McArthurGlen Europe (European Retail)

No

27.24.
6.1.6

U.S. bank account (institution #1) (cash)

N/A

27.24.
6.2

U.S. bank account (institution #1) (cash)

N/A

See Endnote

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

No

None (or less
than $1,001)

Capital Gains

$100,001 $1,000,000

Mnuchin, Steven - Page 19

 #

DESCRIPTION

27.24.
7

Dune Real Estate Partners II LLC

27.24.
7.1

Dune Real Estate Fund II LP

No

27.24.
7.1.1

DR/SP Orlando JV Investor LLC (Lake Buena
Vista, FL Hotel)

No

27.24.
7.1.2

DK Santa Monica LLC (Santa Monica, CA
Mixed-Use)

No

27.24.
7.1.3

SDC Fairway Delta JV, LLC (Beaumont, CA
Single Fam. Res. Land)

No

27.24.
7.1.4

Dune FL Land I LLC (Tampa, FL Single Family
Residential Land)

No

27.24.
7.1.5

DREP RRI LLC (47 Hotels across 21 states)

No

27.24.
7.1.6

DP Portfolio Investors, LLC (Washington, DC
Multifamily)

No

27.24.
7.1.7

DW MLB Owner LLC / DW MLB LLC
(Melbourne, FL Hotel)

No

27.24.
7.1.8

Dune FB LLC (Tampa, FL Single Family
Residential Land)

No

27.24.
7.1.9

Dune OW LLC (Irvine, CA Office Building)

No

27.24.
7.1.10

DM Chesapeake LLC (Glen Burnie, MD
Multifamily)

No

27.24.
7.1.11

McArthurGlen Europe (European Retail)

No

27.24.
7.1.12

U.S. bank account (institution #1) (cash)

N/A

See Endnote

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

No

None (or less
than $1,001)

Partnership
Income

$81,937

Mnuchin, Steven - Page 20

 #

DESCRIPTION

EIF

27.24.
7.1.13

Arioso Apartments (Dallas, TX Multifamily)

N/A

27.24.
7.1.14

TDI/Dune Real Estate Investments LLC
(Austin, TX Multifamily)

N/A

27.24.
7.1.15

DR Mission Oaks LLC (Camarillo, CA
Industrial)

N/A

27.24.
7.2

U.S. bank account (institution #1) ( restricted
cash)

27.24.
7.3

U.S. bank account (institution #1) (cash)

27.24.
7.4

Dune Real Estate Parallel Fund II LP

See Endnote

No

27.24.
7.5

Dune Parallel AIV II LP

See Endnote

No

27.24.
7.6

DREF II NA Fund LP

See Endnote

No

27.24.
7.7

DREF II International Fund LP

See Endnote

No

27.24.
8

(line intentionally left blank)

27.24.
9

(line intentionally left blank)

27.24.
10

Dune Capital Partners III LLC

No

27.24.
10.1

Ratpac-Dune Entertainment Holdings LLC

No

27.24.
10.1.1

Ratpac-Dune Entertainment LLC

No

See Endnote

VALUE

INCOME TYPE

INCOME
AMOUNT

N/A
No

Mnuchin, Steven - Page 21

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

27.24.
10.1.1.
1

WDR Films

No

27.24.
10.1.1.
1.1

Agreement with Warner Brothers

See Endnote

N/A

None (or less
than $1,001)

Partnership
Income

$1,408,812

27.24.
11

Dune Entertainment Partners LLC

See Endnote

N/A

None (or less
than $1,001)

Partnership
Income

$839

27.24.
12

East End Investors LLC

See Endnote

No

None (or less
than $1,001)

Partnership
Income

$770,442

27.24.
12.1

Bellport Investors I, LLC

No

27.24.
12.1.1

Bellport Mezz I, LLC

No

27.24.
12.1.1.
1

Bellport Property Investors I, LLC

No

27.24.
12.1.1.
1.1

Residential Real Estate located in Bellport,
NY

N/A

27.24.
13

HMBAP LLC

No

27.24.
13.1

Residential Real Estate located in California

N/A

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

None (or less
than $201)

27.24.
14

EMT Air LLC

N/A

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

None (or less
than $201)

27.24.
15

Receivable from Halo Direct, LLC

N/A

$100,001 $250,000

None (or less
than $201)

27.24.
16

Receivable from Stormchaser Partners LLC

No

$500,001 $1,000,000

None (or less
than $201)

See Endnote

See Endnote

Mnuchin, Steven - Page 22

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

27.24.
17

Cabo Casa 45, LLC

No

27.24.
17.1

Investment land, Cabo San Lucas, Mexico
(parcel 1)

N/A

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

None (or less
than $201)

27.24.
17.2

Investment land, Cabo San Lucas, Mexico
(parcel 2)

N/A

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

None (or less
than $201)

28

The Steven T. Mnuchin 2000 Family Trust

No

28.1

(line intentionally left blank)

28.2

(line intentionally left blank)

28.3

General Electric Co. Common Shares

28.4

(line intentionally left blank)

28.5

GS Financial Square Treasury Obligations
Fund

28.6

(line intentionally left blank)

28.7

(line intentionally left blank)

28.8

(line intentionally left blank)

28.9

(line intentionally left blank)

28.10

(line intentionally left blank)

28.11

(line intentionally left blank)

28.12

(line intentionally left blank)

28.13
28.14

Dividends

INCOME
AMOUNT

N/A

None (or less
than $1,001)

$5,001 - $15,000

Yes

None (or less
than $1,001)

Seritage Growth Properties Common Shares

N/A

None (or less
than $1,001)

Capital Gains

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

Verizon Communications Inc. Common
Shares

N/A

None (or less
than $1,001)

Dividends

$15,001 $50,000

$2,501 - $5,000

Mnuchin, Steven - Page 23

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

28.15

(line intentionally left blank)

28.16

(line intentionally left blank)

28.16.
1

(line intentionally left blank)

28.17

U.S. brokerage money market account
(institution #2) (cash)

N/A

$5,000,001 $25,000,000

Interest

$15,001 $50,000

28.18

GS Financial Square Money Market Fund

Yes

$5,000,001 $25,000,000

$50,001 $100,000

29

(line intentionally left blank)

29.1

(line intentionally left blank)

29.1.1

(line intentionally left blank)

30

Steven T. Mnuchin 2002 Family Trust

30.1

ESL Partners, LP

None (or less
than $1,001)

$15,001 $50,000

31

SHM Partners II, LLC

No

31.1

GS Financial Square Treasury Solutions Fund

Yes

None (or less
than $1,001)

$201 - $1,000

31.2

U.S. brokerage money market account
(institution #2) (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

32

SHM Investments LLC

No

32.1

U.S. bank account (institution #1) (cash)

N/A

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

None (or less
than $201)

32.2

(line intentionally left blank)

32.2.1

(line intentionally left blank)

32.3

Dune Capital Management LP

N/A
See Endnote

Yes

No

Mnuchin, Steven - Page 24

 #

DESCRIPTION

EIF

VALUE

32.3.1

U.S. bank account (institution #1) (cash)

N/A

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

33

(line intentionally left blank)

33.1

(line intentionally left blank)

33.2

(line intentionally left blank)

33.2.1

(line intentionally left blank)

33.2.1.
1

(line intentionally left blank)

33.2.1.
1.1

(line intentionally left blank)

33.3

(line intentionally left blank)

33.3.1

(line intentionally left blank)

33.3.1.
1

(line intentionally left blank)

33.3.1.
2

(line intentionally left blank)

33.3.1.
3

(line intentionally left blank)

33.3.1.
3.1

(line intentionally left blank)

33.3.1.
4

(line intentionally left blank)

33.3.1.
5

(line intentionally left blank)

33.3.1.
6

(line intentionally left blank)

33.3.2

(line intentionally left blank)

INCOME TYPE

INCOME
AMOUNT
None (or less
than $201)

Mnuchin, Steven - Page 25

 #

DESCRIPTION

33.4

(line intentionally left blank)

33.4.1

(line intentionally left blank)

33.4.1.
1

(line intentionally left blank)

33.4.1.
2

(line intentionally left blank)

33.4.1.
3

(line intentionally left blank)

33.4.1.
4

(line intentionally left blank)

33.4.1.
5

(line intentionally left blank)

33.4.1.
6

(line intentionally left blank)

33.4.1.
7

(line intentionally left blank)

33.4.1.
8

(line intentionally left blank)

33.4.1.
9

(line intentionally left blank)

33.4.1.
10

(line intentionally left blank)

33.4.1.
11

(line intentionally left blank)

33.4.1.
12

(line intentionally left blank)

33.4.1.
13

(line intentionally left blank)

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 26

 #

DESCRIPTION

EIF

33.4.1.
14

(line intentionally left blank)

33.4.1.
15

(line intentionally left blank)

33.4.2

(line intentionally left blank)

33.4.3

(line intentionally left blank)

33.4.4

(line intentionally left blank)

33.4.5

(line intentionally left blank)

33.4.6

(line intentionally left blank)

33.4.7

(line intentionally left blank)

33.5

(line intentionally left blank)

33.6

(line intentionally left blank)

33.6.1

(line intentionally left blank)

33.7

(line intentionally left blank)

34

Steven T. Mnuchin Inc.

No

34.1

GS Financial Square Treasury Instruments
Fund

Yes

34.2

(line intentionally left blank)

34.2.1

(line intentionally left blank)

34.3

(line intentionally left blank)

34.3.1

(line intentionally left blank)

34.3.2

(line intentionally left blank)

34.3.3

(line intentionally left blank)

VALUE

None (or less
than $1,001)

INCOME TYPE

INCOME
AMOUNT

$201 - $1,000

Mnuchin, Steven - Page 27

 #

DESCRIPTION

EIF

VALUE

34.3.4

(line intentionally left blank)

34.4

(line intentionally left blank)

34.4.1

(line intentionally left blank)

34.4.2

(line intentionally left blank)

34.4.3

(line intentionally left blank)

34.4.4

(line intentionally left blank)

34.4.5

(line intentionally left blank)

34.5

(line intentionally left blank)

34.6

(line intentionally left blank)

34.7

U.S. brokerage money market account
(institution #2) (cash)

N/A

$15,001 $50,000

None (or less
than $201)

35

Steven Mnuchin Dynasty Trust I

No

35.1

GS Financial Square Money Market Fund

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

35.2

U.S. brokerage money market account
(institution #2) (cash)

N/A

$500,001 $1,000,000

Interest

$5,001 - $15,000

35.3

CIT Group, Inc.

N/A

None (or less
than $1,001)

Dividends
Capital Gains

Over $5,000,000

35.4

(line intentionally left blank)

35.5

CIT Group, Inc. Holdback on Merger

N/A

Over $1,000,000

Capital Gains

$15,001 $50,000

35.6

SHM Partners II

No

35.6.1

GS Financial Square Treasury Solutions Fund

Yes

See Endnote

None (or less
than $1,001)

INCOME TYPE

INCOME
AMOUNT

$201 - $1,000

Mnuchin, Steven - Page 28

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

35.6.2

U.S. brokerage money market account
(institution #2) (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

35.7

STM Partners LLC

No

35.7.1

U.S. bank account (institution #1) (cash)

N/A

$50,001 $100,000

None (or less
than $201)

35.7.2

GS Financial Square Treasury Obligations
Fund

Yes

None (or less
than $1,001)

$2,501 - $5,000

35.7.3

U.S. brokerage money market account
(institution #2) (cash)

N/A

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

Interest

$5,001 - $15,000

35.7.4

iHeart Communications, Inc. Bond

N/A

None (or less
than $1,001)

Interest
Capital Gains

$100,001 $1,000,000

35.7.5

(line intentionally left blank)

35.7.5.
1

(line intentionally left blank)

35.7.5.
1.1

(line intentionally left blank)

35.7.5.
1.2

(line intentionally left blank)

35.7.5.
1.3

(line intentionally left blank)

35.7.5.
1.3.1

(line intentionally left blank)

35.7.5.
1.3.2

(line intentionally left blank)

35.7.5.
1.3.3

(line intentionally left blank)

35.7.5.
1.3.3.1

(line intentionally left blank)

Mnuchin, Steven - Page 29

 #

DESCRIPTION

35.7.5.
1.4

(line intentionally left blank)

35.7.5.
1.4.1

(line intentionally left blank)

35.7.5.
1.5

(line intentionally left blank)

35.7.6

(line intentionally left blank)

35.7.6.
1

(line intentionally left blank)

35.7.6.
1.1

(line intentionally left blank)

35.7.6.
1.2

(line intentionally left blank)

35.7.6.
1.3

(line intentionally left blank)

35.7.6.
1.3.1

(line intentionally left blank)

35.7.6.
1.4

(line intentionally left blank)

35.7.6.
1.5

(line intentionally left blank)

35.7.6.
1.6

(line intentionally left blank)

35.7.6.
2

(line intentionally left blank)

35.7.7

Dune Real Estate Partners II LLC

35.7.7.
1

Dune Real Estate Fund II LP

See Endnote

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

No

None (or less
than $1,001)

Partnership
Income

$81,937

No

Mnuchin, Steven - Page 30

 #

DESCRIPTION

EIF

35.7.7.
1.1

DR/SP Orlando JV Investor LLC (Lake Buena
Vista, FL Hotel)

No

35.7.7.
1.2

DK Santa Monica LLC (Santa Monica, CA
Mixed-Use)

No

35.7.7.
1.3

SDC Fairway Delta JV, LLC (Beaumont, CA
Single Fam. Res. Land)

No

35.7.7.
1.4

Dune FL Land I LLC (Tampa, FL Single Family
Residential Land)

No

35.7.7.
1.5

DREP RRI LLC (47 Hotels across 21 states)

No

35.7.7.
1.6

DP Portfolio Investors, LLC (Washington, DC
Multifamily)

No

35.7.7.
1.7

DW MLB Owner LLC / DW MLB LLC
(Melbourne, FL Hotel)

No

35.7.7.
1.8

Dune FB LLC (Tampa, FL Single Family
Residential Land)

No

35.7.7.
1.9

Dune OW LLC (Irvine, CA Office Building)

No

35.7.7.
1.10

DM Chesapeake LLC (Glen Burnie, MD
Multifamily)

No

35.7.7.
1.11

McArthurGlen Europe (European Retail)

No

35.7.7.
1.12

U.S. bank account (institution #1) (cash)

N/A

35.7.7.
1.13

Arioso Apartments (Dallas, TX Multifamily)

N/A

35.7.7.
1.14

TDI/Dune Real Estate Investments LLC
(Austin, TX Multifamily)

N/A

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 31

 #

DESCRIPTION

EIF

35.7.7.
1.15

DR Mission Oaks LLC (Camarillo, CA
Industrial)

N/A

35.7.7.
2

U.S. bank account (institution #1) (restricted
cash)

35.7.7.
3

U.S. bank account (institution #1) (cash)

35.7.7.
4

Dune Real Estate Parallel Fund II LP

See Endnote

No

35.7.7.
5

Dune Parallel AIV II LP

See Endnote

No

35.7.7.
6

DREF II NA Fund LP

See Endnote

No

35.7.7.
7

DREF II International Fund LP

See Endnote

No

35.7.8

(line intentionally left blank)

35.7.9

(line intentionally left blank)

35.7.1
0

Dune Capital Partners III LLC

No

35.7.1
0.1

Ratpac-Dune Entertainment Holdings LLC

No

35.7.1
0.1.1

Ratpac-Dune Entertainment LLC

No

35.7.1
0.1.1.1

WDR Films

No

35.7.1
0.1.1.1
.1

Agreement with Warner Brothers

See Endnote

35.7.1
1

Dune Entertainment Partners LLC

See Endnote

See Endnote

VALUE

INCOME TYPE

INCOME
AMOUNT

N/A

None (or less
than $1,001)

Partnership
Income

$1,408,812

N/A

None (or less
than $1,001)

Partnership
Income

$839

N/A
N/A

Mnuchin, Steven - Page 32

 #

DESCRIPTION

EIF

35.7.1
2

(line intentionally left blank)

35.7.1
2.1

(line intentionally left blank)

35.7.1
2.1.1

(line intentionally left blank)

35.7.1
2.1.1.1

(line intentionally left blank)

35.7.1
2.1.1.1
.1

(line intentionally left blank)

35.7.1
3

HMBAP LLC

No

35.7.1
3.1

Residential Real Estate located in California

N/A

Over $1,000,000

None (or less
than $201)

35.7.1
4

(line intentionally left blank)

35.7.1
4.1

(line intentionally left blank)

35.7.1
5

EMT Air LLC

No

Over $1,000,000

None (or less
than $201)

35.7.1
6

Receivable from Halo Direct, LLC

N/A

$100,001 $250,000

None (or less
than $201)

35.7.1
7

Receivable from Stormchaser Partners LLC

N/A

$500,001 $1,000,000

None (or less
than $201)

35.7.1
8

Cabo Casa 45, LLC

No

35.7.1
8.1

Investment land, Cabo San Lucas, Mexico
(parcel 1)

N/A

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

None (or less
than $201)

See Endnote

See Endnote

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 33

 #

DESCRIPTION

EIF

VALUE

35.7.1
8.2

Investment land, Cabo San Lucas, Mexico
(parcel 2)

N/A

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

None (or less
than $201)

35.8

Interest in Willem de Kooning Oil Painting
"Untitled III", 1978

N/A

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

None (or less
than $201)

35.9

(line intentionally left blank)

35.10

U.S. brokerage money market account
(institution #2)

N/A

$100,001 $250,000

35.11

VANGUARD SHORT TERM CMN SERIES
CLASS CORP. BOND ETF

Yes

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

$50,001 $100,000

35.12

GS HIGH YIELD FUND INSTITUTIONAL
SHARES

Yes

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

$50,001 $100,000

35.13

GS HIGH YIELD FLOATING RATE FUND
INSTITUTIONAL SHARES

Yes

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

$15,001 $50,000

35.14

VANGUARD S&P 500 ETF

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

35.15

Dune Real Estate Partners LLC

No

None (or less
than $1,001)

35.15.
1

Dune Real Estate Fund LP

No

35.15.
1.1

Leonard/Fulton Holdings, LLC (New York City
For-Sale Residential)

No

35.15.
1.2

New York Standard Hotel JV (New York City
Hotel)

No

35.15.
1.3

Co-Invest Hamlet Holdings B, LLC (Operating
Company)

No

35.15.
1.3.1

Caesars Acquisition Company Shares

N/A

35.15.
1.4

1186 Broadway, LLC (New York City Hotel)

No

See Endnote

INCOME TYPE

Interest

Capital Gains

INCOME
AMOUNT

$201 - $1,000

$100,001 $1,000,000

Mnuchin, Steven - Page 34

 #

DESCRIPTION

EIF

35.15.
1.5

McArthurGlen Europe (European Retail)

No

35.15.
1.6

U.S. bank account (institution #1) (cash)

N/A

35.15.
2

U.S. bank account (institution #1) (cash)

N/A

35.16

Dune Real Estate Partners II LLC

35.16.
1

Dune Real Estate Fund II LP

No

35.16.
1.1

DR/SP Orlando JV Investor LLC (Lake Buena
Vista, FL Hotel)

No

35.16.
1.2

DK Santa Monica LLC (Santa Monica, CA
Mixed-Use)

No

35.16.
1.3

SDC Fairway Delta JV, LLC (Beaumont, CA
Single Fam. Res. Land)

No

35.16.
1.4

Dune FL Land I LLC (Tampa, FL Single Family
Residential Land)

No

35.16.
1.5

DREP RRI LLC (47 Hotels across 21 states)

No

35.16.
1.6

DP Portfolio Investors, LLC (Washington, DC
Multifamily)

No

35.16.
1.7

DW MLB Owner LLC / DW MLB LLC
(Melbourne, FL Hotel)

No

35.16.
1.8

Dune FB LLC (Tampa, FL Single Family
Residential Land)

No

35.16.
1.9

Dune OW LLC (Irvine, CA Office Building)

No

See Endnote

No

VALUE

INCOME TYPE

INCOME
AMOUNT

None (or less
than $1,001)

Capital Gains

$100,001 $1,000,000

Mnuchin, Steven - Page 35

 #

DESCRIPTION

EIF

35.16.
1.10

DM Chesapeake LLC (Glen Burnie, MD
Multifamily)

No

35.16.
1.11

McArthurGlen Europe (European Retail)

No

35.16.
1.12

U.S. bank account (institution #1) (cash)

N/A

35.16.
1.13

Arioso Apartments (Dallas, TX Multifamily)

N/A

35.16.
1.14

TDI/Dune Real Estate Investments LLC
(Austin, TX Multifamily)

N/A

35.16.
1.15

DR Mission Oaks LLC (Camarillo, CA
Industrial)

N/A

35.16.
2

U.S. bank account (institution #1) (restricted
cash)

N/A

35.16.
3

U.S. bank account (institution #1) (cash)

N/A

35.16.
4

Dune Real Estate Parallel Fund II LP

No

35.16.
5

Dune Parallel AIV II LP

No

35.16.
6

DREF II NA Fund LP

No

35.16.
7

DREF II International Fund LP

No

35.17

Dune Capital Partners III LLC

No

35.17.
1

Ratpac-Dune Entertainment Holdings LLC

No

35.17.
1.1

Ratpac-Dune Entertainment LLC

No

VALUE

INCOME TYPE

INCOME
AMOUNT

Mnuchin, Steven - Page 36

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

35.17.
1.1.1

WDR Films

No

35.17.
1.1.1.1

Agreement with Warner Brothers

No

None (or less
than $1,001)

Capital Gains

Over $5,000,000

35.18

Ishares Core S&P 500 ETF

Yes

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

$50,001 $100,000

35.19

Ishares 1-3 Year Credit Bond

Yes

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

$5,001 - $15,000

35.20

JPM High Yield Fund -R6 Fund

Yes

$500,001 $1,000,000

$15,001 $50,000

35.21

T Rowe Price Institutional Float RT

Yes

$500,001 $1,000,000

$15,001 $50,000

35.22

U.S. brokerage money market account
(institution #7)

N/A

$100,001 $250,000

Interest

$201 - $1,000

36

The Steven Mnuchin 2007 Family Trust

36.1

STM Partners LLC

36.1.1

Dune Real Estate Partners LLC

None (or less
than $1,001)

Partnership
Income

$56,687

36.1.1.
1

Dune Real Estate Fund LP

No

36.1.1.
1.1

Leonard/Fulton Holdings, LLC (New York City
For-Sale Residential)

No

36.1.1.
1.2

New York Standard Hotel JV (New York City
Hotel)

No

36.1.1.
1.3

Co-Invest Hamlet Holdings B, LLC (Operating
Company)

No

36.1.1.
1.3.1

Caesars Acquisition Company Shares

N/A

See Endnote

No
See Endnote

No

Mnuchin, Steven - Page 37

 #

DESCRIPTION

EIF

36.1.1.
1.4

1186 Broadway, LLC (New York City Hotel)

No

36.1.1.
1.5

McArthurGlen Europe (European Retail)

No

36.1.1.
1.6

U.S. bank account (institution #1) (cash)

N/A

36.1.1.
2

U.S. bank account (institution #1) (cash)

N/A

36.1.2

East End Investors LLC

36.1.2.
1

Bellport Investors I, LLC

No

36.1.2.
1.1

Bellport Mezz I, LLC

No

36.1.2.
1.1.1

Bellport Property Investors I, LLC

No

36.1.2.
1.1.1.1

Residential Real Estate located in Bellport,
NY

N/A

37

Steven Mnuchin GST Trust

No

37.1

(line intentionally left blank)

37.1.1

(line intentionally left blank)

37.2

(line intentionally left blank)

37.3

U.S. brokerage money market account
(institution #2) (cash)

N/A

38

Steven T. Mnuchin 1996 Trust

No

38.1

New York Life general account whole life
insurance policy

N/A

See Endnote

No

VALUE

INCOME TYPE

INCOME
AMOUNT

None (or less
than $1,001)

Partnership
Income

$770,442

$1,001 - $15,000

None (or less
than $201)

$100,001 $250,000

None (or less
than $201)

Mnuchin, Steven - Page 38

 #

DESCRIPTION

EIF

39

Dune Capital Management GP LLC

No

39.1

Dune Capital Management LP

No

39.1.1

U.S. bank account (institution #1) (cash)

N/A

40

Beverly Drive Revocable Trust

No

40.1

Beverly Drive LLC

No

40.1.1

Residential Real Estate located in Beverly
Hills, CA

N/A

None (or less
than $1,001)

40.1.2

Residential Real Estate located in Los
Angeles, CA

N/A

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

41

(line intentionally left blank)

41.1

(line intentionally left blank)

42

(line intentionally left blank)

43

EM Interest in Fourcade LLC

No

None (or less
than $1,001)

Partnership
Income

$1,415,587

43.1

Artwork held for investment

N/A

44

JM Interest in Fourcade LLC

No

None (or less
than $1,001)

Partnership
Income

$485,308

44.1

Artwork held for investment

N/A

45

DM Interest in Fourcade LLC

No

None (or less
than $1,001)

Partnership
Income

$485,308

45.1

Artwork held for investment

N/A

46

ETC Estate

46.1

U.S. bank account (institution #1) (cash)

N/A

VALUE

INCOME TYPE

$15,001 $50,000

$1,001 - $15,000

INCOME
AMOUNT

None (or less
than $201)

Interest
Capital Gains

$100,001 $1,000,000
None (or less
than $201)

None (or less
than $201)

Mnuchin, Steven - Page 39

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

46.2

(line intentionally left blank)

46.3

U.S. bank account (institution #2) (cash)

N/A

$1,001 - $15,000

Interest

None (or less
than $201)

47

Goldman Sach Group Inc Common

N/A

None (or less
than $1,001)

Dividends
Capital Gains

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

48

Microsoft Corporation CMN

N/A

None (or less
than $1,001)

Dividends
Capital Gains

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

49

The Blackstone Group LP CMN

See Endnote

N/A

None (or less
than $1,001)

Partnership
Income

$8,591

50

CIT Group Inc. Common

See Endnote

N/A

None (or less
than $1,001)

Dividends
Capital Gains

Over $5,000,000

51

Berkshire Hathaway Class A

N/A

None (or less
than $1,001)

Capital Gains

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

52

VANGUARD SHORT TERM CMN SERIES
CLASS CORP. BOND ETF

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

53

GS HIGH YIELD FUND INSTITUTIONAL
SHARES

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

54

GS HIGH YIELD FLOATING RATE FUND
INSTITUTIONAL SHARES

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

55

VANGUARD S&P 500 ETF

Yes

$25,000,001 $50,000,000

$100,001 $1,000,000

56

U.S. brokerage account (institution #2)
(cash)

Yes

$500,001 $1,000,000

$1,001 - $2,500

57

Ishares 1-3 Year Credit Bond

Yes

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

$15,001 $50,000

58

Ishares Core S&P 500 ETF

Yes

$5,000,001 $25,000,000

$100,001 $1,000,000

59

T Rowe Price Institutional Float RT

Yes

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

$50,001 $100,000

Mnuchin, Steven - Page 40

 #

DESCRIPTION

EIF

VALUE

60

JPM High Yield Fund -R6 Fund

Yes

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

61

U.S. bank account (institution #6) (cash)

N/A

$250,001 $500,000

Interest

$1,001 - $2,500

62

Dune Real Estate Partners II LLC

No

None (or less
than $1,001)

Capital Gains

$100,001 $1,000,000

62.1

Dune Real Estate Fund II LP

No

62.1.1

DR/SP Orlando JV Investor LLC (Lake Buena
Vista, FL Hotel)

No

62.1.2

DK Santa Monica LLC (Santa Monica, CA
Mixed-Use)

No

62.1.3

SDC Fairway Delta JV, LLC (Beaumont, CA
Single Fam. Res. Land)

No

62.1.4

Dune FL Land I LLC (Tampa, FL Single Family
Residential Land)

No

62.1.5

DREP RRI LLC (47 Hotels across 21 states)

No

62.1.6

DP Portfolio Investors, LLC (Washington, DC
Multifamily)

No

62.1.7

DW MLB Owner LLC / DW MLB LLC
(Melbourne, FL Hotel)

No

62.1.8

Dune FB LLC (Tampa, FL Single Family
Residential Land)

No

62.1.9

Dune OW LLC (Irvine, CA Office Building)

No

62.1.1
0

DM Chesapeake LLC (Glen Burnie, MD
Multifamily)

No

62.1.1
1

McArthurGlen Europe (European Retail)

No

See Endnote

INCOME TYPE

INCOME
AMOUNT
$50,001 $100,000

Mnuchin, Steven - Page 41

 #

DESCRIPTION

EIF

62.1.1
2

U.S. bank account (institution #1) (cash)

N/A

62.1.1
3

Arioso Apartments (Dallas, TX Multifamily)

N/A

62.1.1
4

TDI/Dune Real Estate Investments LLC
(Austin, TX Multifamily)

N/A

62.1.1
5

DR Mission Oaks LLC (Camarillo, CA
Industrial)

N/A

62.2

U.S. bank account (institution #1) (restricted
cash)

N/A

62.3

U.S. bank account (institution #1) (cash)

No

62.4

Dune Real Estate Parallel Fund II LP

No

62.5

Dune Parallel AIV II LP

No

62.6

DREF II NA Fund LP

No

62.7

DREF II International Fund LP

No

63

Receivable from Alan G Mnuchin GST Trust

64

Dune Capital Partners III LLC

No

64.1

Ratpac-Dune Entertainment Holdings LLC

No

64.1.1

Ratpac-Dune Entertainment LLC

No

64.1.1.
1

WDR Films

No

64.1.1.
1.1

Agreement with Warner Brothers

See Endnote

No

None (or less
than $1,001)

65

Receivable from Beverly Drive Revocable
Trust

See Endnote

No

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

See Endnote

No

VALUE

INCOME TYPE

$25,000,001 $50,000,000

INCOME
AMOUNT

None (or less
than $201)

Capital Gains

Over $5,000,000
None (or less
than $201)

Mnuchin, Steven - Page 42

 #

DESCRIPTION

EIF

VALUE

INCOME TYPE

INCOME
AMOUNT

66

EM UTMA Account (institution #2)

N/A

66.1

U.S. brokerage money market account
(institution #2) (cash)

No

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

Interest

$201 - $1,000

67

Bank of Scotland Cash Account 1

No

$100,001 $250,000

68

Bank of Scotland Cash Account 2

No

$1,001 - $15,000

Interest

$201 - $1,000

69

WG Hay 1978 Trust

N/A

69.1

Commercial real estate, Edinburgh,
Scotland

N/A

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

Rent or
Royalties

$201 - $1,000

69.2

Commercial real estate, Edinburgh,
Scotland

N/A

$100,001 $250,000

None (or less
than $201)

69.3

Commercial real estate, Edinburgh,
Scotland

N/A

$15,001 $50,000

None (or less
than $201)

69.4

Bank of Scotland Cash Account

N/A

$50,001 $100,000

None (or less
than $201)

70

Intruder LLC

N/A

70.1

U.S. bank account (institution #8) (cash)

N/A

$1,001 - $15,000

None (or less
than $201)

70.2

Intruder film

N/A

$1,001 - $15,000

71

American Funds Growth Fund of America
Class A (AGTHX)

Yes

$1,001 - $15,000

None (or less
than $201)

72

American Funds SMALLCAP World Fund
Class A (SMCWX)

Yes

$1,001 - $15,000

None (or less
than $201)

73

American Funds Washington Mutual
Investors Fund Class A (AWSHX)

Yes

$1,001 - $15,000

None (or less
than $201)

74

The Rockshiel Trust

N/A

See Endnote

Film Income

$15,605

Mnuchin, Steven - Page 43

 #

DESCRIPTION

EIF

VALUE

74.1

Residential real estate, Edinburgh, Scotland

N/A

$15,001 $50,000

None (or less
than $201)

74.2

Bank of Scotland Cash Account

N/A

$1,001 - $15,000

None (or less
than $201)

75

Residential real estate, Edinburgh, Scotland

N/A

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

None (or less
than $201)

76

The Steven T. Mnuchin 2017 Family Trust

N/A

None (or less
than $1,001)

None (or less
than $201)

See Endnote

INCOME TYPE

INCOME
AMOUNT

7. Transactions
#

DESCRIPTION

TYPE

DATE

AMOUNT

1

T Rowe Price Institutional Float RT

Purchase

Multiple

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

2

JPM High Yield Fund -R6 Fund

Purchase

Multiple

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

3

Ishares 1-3 Year Credit Bond

Purchase

Multiple

$5,000,001 $25,000,000

4

Ishares Core S&P 500 ETF

Purchase

Multiple

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

5

VANGUARD SHORT TERM CMN SERIES .
CLASS CORP. BOND ETF

Purchase

Muliple

$5,000,001 $25,000,000

6

GS HIGH YIELD FLOATING RATE FUND
INSTITUTIONAL SHARES

Purchase

Multiple

$5,000,001 $25,000,000

7

GS HIGH YIELD FUND INSTITUTIONAL
SHARES

Purchase

Multiple

$5,000,001 $25,000,000

8

VANGUARD S&P 500 ETF

Purchase

Multiple

$25,000,001 $50,000,000

Mnuchin, Steven - Page 44

 #

DESCRIPTION

TYPE

DATE

AMOUNT

9

T Rowe Price Personal Strategy Balance
Fund

Sale

Multiple

$250,001 $500,000

10

Vanguard Institutional Target Retirement
2025 Fund

Purchase

Multiple

$250,001 $500,000

11

Mid Cap Value Equity Fund - GSAM

Sale

Multiple

$250,001 $500,000

12

Multi-Strategy Hedge Fund-OZ

Sale

Multiple

$15,001 $50,000

13

Large Cap Value Equity Fund - GSAM

Sale

Multiple

$15,001 $50,000

14

Concentrated Val Eq - Dmnd Hill

Purchase

Multiple

$15,001 $50,000

15

Mid Cap Value Eq - Sycamore

Purchase

Multiple

$250,001 $500,000

16

Lrg Cap Value Idx - Blackrock

Purchase

Multiple

$50,001 $100,000

TYPE

AMOUNT

YEAR
INCURRED

RATE

TERM

Capital Call

$100,001 $250,000

2005

NA

On demand

Credit Card

$50,001 $100,000

2017

10.65%

Revolving

8. Liabilities
#

CREDITOR NAME

1

(line intentionally left blank)

2

Dune Real Estate Partners

3

(line intentionally left blank)

4

AMEX

Mnuchin, Steven - Page 45

 9. Gifts and Travel Reimbursements
None

Endnotes
PART

#

ENDNOTE

1.

27

The start date listed is an approximation.

1.

28

This entity is an Anguilla company treated as a partnership for US tax purposes with its principal office
located in NY.

5.

1

Approved by Treasury.

6.

18

The income of $705,526 consists of $683,828 long term capital gain on the sale of the partnership
interest in 2017 as well as $21,698 pass through income from Form 1065, Schedule K-1 that includes
$10,840 ordinary income, $10,332 rental loss, $1,648 interest income, $108,435 long term capital loss,
$118,962 section 1231 gain, $12,404 other income, and $3,389 deductions.

6.

19

The income reported on this line is an estimate as actual 2017 income is not yet available.

6.

20

This bond represents a debt obligation of a golf club on Long Island, NY.

6.

27.4

This asset is a holdback amount from the merger of IMB Holdings LLC with CIT Group, Inc. Under the
provisions of the merger, approximately $6 million due to the Revocable Trust is being reserved by CIT
Group, Inc. in order to cover certain contingent liabilities of IMB Holdings, LLC. Any excess is expected
to be distributed to the Revocable Trust between August 2018 and August 2020.

6.

27.22

Total taxable income reported on Schedule K-1 Form 1065 for this Publicly Traded Partnership.

6.

27.24.6

The income reported is in connection with the capital gain realized by The Steven Mnuchin Revocable
Trust in connection with the sale of Dune Real Estate Partners LLC that was distributed by STM
Partners to the trust and sold in 2017.

6.

27.24.7

The income of $81,937 consists of pass through income from Form 1065, Schedule K-1 that includes
$1,407 ordinary income, $3,658 rental loss, $35 interest income, $4,116 dividend income, $12,723 long
term capital gains, $67,376 section 1231 gains, $74 other income, and $135 other deductions.

Mnuchin, Steven - Page 46

 PART

#

ENDNOTE

6.

27.24.7.2

The restricted cash account holds a portion of the entity's carried interest until certain thresholds are
met.

6.

27.24.7.4

The underlying assets of Dune Real Estate Parallel Fund II LP are identical to the underlying assets of
Dune Real Estate Fund II LP reported as assets 27.24.7.1.1 - 27.24.7.1.15.

6.

27.24.7.5

The underlying assets of Dune Parallel AIV II LP are identical to the underlying assets of Dune Real
Estate Fund II LP reported as assets 27.24.7.1.1 - 27.24.7.1.15.

6.

27.24.7.6

The underlying assets of DREF II NA Fund LP are identical to the underlying assets of Dune Real Estate
Fund II LP reported as assets 27.24.7.1.1 - 27.24.7.1.15.

6.

27.24.7.7

The underlying assets of DREF II International Fund LP are identical to the underlying assets of Dune
Real Estate Fund II LP reported as assets 27.24.7.1.1 - 27.24.7.1.15.

6.

27.24.10.1.1.1.1

The income reported on this line is an estimate as actual 2017 income is not yet available. This
agreement involved an interest in the rights to 52 existing and 23 future films by Warner Bros (“WB”).
RatPac-Dune LLC (“RPD”) is a passive investor in each film and receives an income stream with respect
to each film. RPD invests its share of the production costs and in return RPD receives the "ultimates"
for each film 6 weeks after the film was released. The ultimates are WB's estimate of receipts and
distribution costs (including residuals to the unions and participations to producers, actors, directors,
etc. that are involved in the film). RPD has a copyright interest in the individual films.

6.

27.24.11

Los Angeles, CA - Entertainment company.

6.

27.24.12

The income of $770,442 consists of pass through income from Form 1065, Schedule K-1 that includes
$21,249 long term capital gains, $762,167 section 1231 gains, and $12,974 rental loss.

6.

27.24.14

Los Angeles, CA - Held and operated a small airplane used solely by the filer for both business and
personal reasons.

6.

27.24.16

The receivable is due in full on 5/9/2026 and interest is due annually at 2.04% of the unpaid receivable
per year.

6.

30.1

The income reported on this line is an estimate as actual 2017 income is not yet available.

6.

35.5

This asset is a holdback amount from the merger of IMB Holdings LLC with CIT Group, Inc. Under the
provisions of the merger, approximately $2 million due to the Dynasty Trust I is being reserved by CIT
Group, Inc. in order to cover certain contingent liabilities of IMB Holdings, LLC. Any excess is expected
to be distributed to the Dynasty Trust I between August 2018 and August 2020.

6.

35.7.7

The income of $81,937 consists of pass through income from Form 1065, Schedule K-1 that includes
$1,407 ordinary income, $3,658 rental loss, $35 interest income, $4,116 dividend income, $12,723 long
term capital gains, $67,376 section 1231 gains, $74 other income, and $135 other deductions.

Mnuchin, Steven - Page 47

 PART

#

ENDNOTE

6.

35.7.7.2

The restricted cash account holds a portion of the entity's carried interest until certain thresholds are
met.

6.

35.7.7.4

The underlying assets of Dune Real Estate Parallel Fund II LP are identical to the underlying assets of
Dune Real Estate Fund II LP reported as assets 35.7.7.1.1 - 35.7.7.1.15.

6.

35.7.7.5

The underlying assets of Dune Parallel AIV II LP are identical to the underlying assets of Dune Real
Estate Fund II LP reported as assets 35.7.7.1.1 - 35.7.7.1.15.

6.

35.7.7.6

The underlying assets of DREF II NA Fund LP are identical to the underlying assets of Dune Real Estate
Fund II LP reported as assets 35.7.7.1.1 - 35.7.7.1.15.

6.

35.7.7.7

The underlying assets of DREF II International Fund LP are identical to the underlying assets of Dune
Real Estate Fund II LP reported as assets 35.7.7.1.1 - 35.7.7.1.15.

6.

35.7.10.1.1.1.1

The income reported on this line is an estimate as actual 2017 income is not yet available. This
agreement involved an interest in the rights to 52 existing and 23 future films by Warner Bros (“WB”).
RatPac-Dune LLC (“RPD”) is a passive investor in each film and receives an income stream with respect
to each film. RPD invests its share of the production costs and in return RPD receives the "ultimates"
for each film 6 weeks after the film is released. The ultimates are WB's estimate of receipts and
distribution costs (including residuals to the unions and participations to producers, actors, directors,
etc. that are involved in the film). RPD has a copyright interest in the individual films.

6.

35.7.11

Los Angeles, CA - Entertainment company.

6.

35.7.15

Los Angeles, CA - Held and operated a small airplane used solely by the filer for both business and
personal reasons.

6.

35.7.17

The receivable is due in full on 5/9/2026 and interest is due annually at 2.04% of the unpaid receivable
per year.

6.

35.15

The income reported on this line is in connection with the capital gain realized by The Steven Mnuchin
Dynasty Trust in connection with the sale of Dune Real Estate Partners LLC that was distributed by STM
Partners to the trust and sold in 2017.

6.

35.16

The income reported on this line is in connection with the capital gain realized by The Steven Mnuchin
Dynasty Trust in connection with the sale of Dune Real Estate Partners II LLC that was distributed by
STM Partners to the trust and sold in 2017.

6.

35.17.1.1.1.1

The income reported on this line is in connection with the capital gain realized by The Steven Mnuchin
Dynasty Trust in connection with the sale of Dune Real Estate Partners III LLC that was distributed by
STM Partners to the trust and sold in 2017.

6.

36.1.1

This is rental real estate income from Dune Real Estate Partners for 2017 through STM Partners LLC.

Mnuchin, Steven - Page 48

 PART

#

ENDNOTE

6.

36.1.2

The income of $770,442 consists of pass through income from Form 1065, Schedule K-1 that includes
$21,249 long term capital gains, $762,167 section 1231 gains, and $12,974 rental loss.

6.

49

This is the total taxable income reported through Schedule K-1 Form 1065 for this Publicly Traded
Partnership.

6.

50

The income reported on this line is in connection to CIT Group Inc. Common shares that were
transferred from the Steven Mnuchin Revocable Trust to an account owned directly and then sold.

6.

62

Dune Real Estate Partners II LLC was distributed by STM Partners LLC to The Steven Mnuchin
Revocable Trust, which was then sold by the filer, individually, to an unrelated party. The capital gain
reported is the amount realized by the filer upon sale to the unrelated party. There was no capital gain
upon distribution from STM Partners LLC or from The Steven Mnuchin Revocable Trust.

6.

63

The receivable is due in full on 5/8/2026 and interest is due annually at 2.04% of the unpaid receivable
per year.

6.

64.1.1.1.1

Dune Capital Partners III was distributed by STM Partners LLC to The Steven Mnuchin Revocable Trust,
which was then sold by the filer, individually, to an unrelated party. The capital gain reported is the
amount realized by the filer upon sale to the unrelated party. There was no capital gain upon
distribution from STM Partners LLC or from The Steven Mnuchin Revocable Trust.

6.

65

The receivable is due in full upon sale of the Beverly Hills property and interest is due annually at 1.18
% of the unpaid receivable per year.

6.

70.2

The income reported on this line is an estimate as actual 2017 taxable income is not yet available. The
amount is cash received from the partnership

6.

76

The Steven T. Mnuchin 2017 Family Trust was created on April 27, 2017, and was intended to hold the
assets that have been in the Steven T. Mnuchin 2000 Family Trust and the Steven T. Mnuchin 2002
Family Trust. As of December 31, 2017, the assets have not yet been titled in the name of The Steven T.
Mnuchin 2017 Family Trust, but are expected to be so titled in 2018.

Mnuchin, Steven - Page 49

 Summary of Contents
1. Filer's Positions Held Outside United States Government
Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable
even if the filer did not receive compensation.
This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions
held as part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited
partner or non-managing member of a limited liability company.
2. Filer's Employment Assets & Income and Retirement Accounts
Part 2 discloses the following:
●

●

Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share,
honoraria, scholarships, and prizes)
Assets related to the filer's business, employment, or other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2)
produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their
underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
3. Filer's Employment Agreements and Arrangements
Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States
Government), such as the following:
●
●
●
●
●

Future employment
Leave of absence
Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer)
Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan
Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of
a company's profits, etc.)

Mnuchin, Steven - Page 50

 4. Filer's Sources of Compensation Exceeding $5,000 in a Year
Part 4 discloses sources (except the United States Government) that paid more than $5,000 in a calendar year for the filer's services during any year of the reporting
period.
The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source
made its payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services
for which the client is paying.
5. Spouse's Employment Assets & Income and Retirement Accounts
Part 5 discloses the following:
●

●
●

Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and
partnership share)
Sources of honoraria for the filer's spouse greater than $200 during the reporting period
Assets related to the filer's spouse's employment, business activities, other income-generating activities that (1) ended the reporting period with a value greater
than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts
and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding
honoraria).
6. Other Assets and Income
Part 6 discloses each asset, not already reported, that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in investment
income during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and
dependent children.
This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement
benefits associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a
single financial institution with a value of $5,000 or less (unless more than $200 of income was produced). Additional exceptions apply. Note: The type of income is not
required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
7. Transactions

Mnuchin, Steven - Page 51

 Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during
reporting period.
This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money
market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional
exceptions apply.
8. Liabilities
Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period.
This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans
secured by a personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as
credit card balances, if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply.
9. Gifts and Travel Reimbursements
This section discloses:
●
●

Gifts totaling more than $390 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.
Travel reimbursements totaling more than $390 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.

For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $156 or less. Regardless of the value, this section does not
include the following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or
local governments; (3) bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel;
(5) gifts of hospitality (food, lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children
totally independent of their relationship to the filer. Additional exceptions apply.

Mnuchin, Steven - Page 52

 Privacy Act Statement
Title I of the Ethics in Government Act of 1978, as amended (the Act), 5 U.S.C. app. § 101 et seq., as amended by the Stop Trading on Congressional Knowledge Act of
2012 (Pub. L. 112-105) (STOCK Act), and 5 C.F.R. Part 2634 of the U. S. Office of Government Ethics regulations require the reporting of this information. The primary use
of the information on this report is for review by Government officials to determine compliance with applicable Federal laws and regulations. This report may also be
disclosed upon request to any requesting person in accordance with sections 105 and 402(b)(1) of the Act or as otherwise authorized by law. You may inspect
applications for public access of your own form upon request. Additional disclosures of the information on this report may be made: (1) to any requesting person,
subject to the limitation contained in section 208(d)(1) of title 18, any determination granting an exemption pursuant to sections 208(b)(1) and 208(b)(3) of title 18; (2) to
a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of violations or potential violations of law or regulation; (3) to another Federal
agency, court or party in a court or Federal administrative proceeding when the Government is a party or in order to comply with a judge-issued subpoena; (4) to a
source when necessary to obtain information relevant to a conflict of interest investigation or determination; (5) to the National Archives and Records Administration or
the General Services Administration in records management inspections; (6) to the Office of Management and Budget during legislative coordination on private relief
legislation; (7) to the Department of Justice or in certain legal proceedings when the disclosing agency, an employee of the disclosing agency, or the United States is a
party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation; (8) to reviewing officials in a new
office, department or agency when an employee transfers or is detailed from one covered position to another; (9) to a Member of Congress or a congressional office in
response to an inquiry made on behalf of an individual who is the subject of the record; (10) to contractors and other non-Government employees working on a
contract, service or assignment for the Federal Government when necessary to accomplish a function related to an OGE Government-wide system of records; and (11)
on the OGE Website and to any person, department or agency, any written ethics agreement filed with OGE by an individual nominated by the President to a position
requiring Senate confirmation. See also the OGE/GOVT-1 executive branch-wide Privacy Act system of records.
Public Burden Information
This collection of information is estimated to take an average of three hours per response, including time for reviewing the instructions, gathering the data needed, and
completing the form. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this
burden, to the Program Counsel, U.S. Office of Government Ethics (OGE), Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917.
Pursuant to the Paperwork Reduction Act, as amended, an agency may not conduct or sponsor, and no person is required to respond to, a collection of information
unless it displays a currently valid OMB control number (that number, 3209-0001, is displayed here and at the top of the first page of this OGE Form 278e).

Mnuchin, Steven - Page 53