United States Senate Financial Disclosures Annual Report for CY 2019 The Honorable Elizabeth Warren (Warren, Elizabeth)  In Progress (last saved 05/20/2020 @ 1 55 PM) Filing statements: 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, transactions or liabilities because they met the three-part test for exemption.  Items flagged for review. 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 1 Self Type Royalties Who Paid CCH Inc dba Wolters Kluwer Law & Business (Formerly Aspen Publishers) Riverwoods, IL 2 Spouse Salary Harvard University Cambridge, MA 3 Self Retirement TIAA Administration Services LLC New York, NY Amount Paid $15,110.82 > $1,000 $133,781.44 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 # Asset 1 Capital One Asset Type Owner Value Bank Joint $1,001 Deposit $15,000 Income Type None Income None (or less than $201) 2 Bank Joint Deposit $1,001 $15,000 Interest None (or less than $201) Bank Joint Deposit $1,001 $15,000 Interest None (or less than $201) Bank Joint Deposit $50,001 $100,000 Interest $1,001 - $2,500 Mutual Funds Self $1,000,001 $5,000,000 Excepted None (or less than $201) Investment Fund Mutual Funds Self $500,001 $1,000,000 Excepted None (or less than $201) Investment Fund Mutual Funds Self $250,001 $500,000 Excepted None (or less than $201) Investment Fund QREARX - TIAA Real Estate Account Mutual Self Funds Mutual Fund 9 QCBMIX - CREF Bond Market Mutual Self Funds Account - R3 Mutual Fund 10 QCILIX - CREF Inflation-Linked Bond Mutual Self Funds Account R3 Mutual Fund $500,001 $1,000,000 Excepted None (or less than $201) Investment Fund $1,001 $15,000 Excepted None (or less than $201) Investment Fund $1,001 $15,000 Excepted None (or less than $201) Investment Fund 5 (McLean, VA) Type: Savings, Bank of America (Charlotte, NC) Type: Checking, Bank of America (Charlotte, NC) Type: Savings, First National Bank of Omaha (Omaha, NE) Type: Savings, TIAA-CREF Traditional 6 QCSTIX - CREF Stock Account - R3 7 QCGLIX - CREF Global Equities Account - R3 3 4 8 Mutual Fund Mutual Fund Mutual Fund Asset Type Mutual Funds Owner Value Self $100,001 $250,000 Mutual Funds Self $50,001 $100,000 Excepted None (or less than $201) Investment Fund 13 TRBIX - TIAA-CREF Small-Cap Blend Mutual Funds Idx Retirement Self $100,001 $250,000 Excepted None (or less than $201) Investment Fund 14 TRERX - TIAA-CREF International Eq Mutual Funds Retirement Self $15,001 $50,000 Excepted None (or less than $201) Investment Fund 15 QCILRX - CREF Inflation-Linked Mutual Funds Self $15,001 $50,000 Excepted None (or less than $201) Investment Fund Mutual Funds Self $50,001 $100,000 Excepted None (or less than $201) Investment Fund Mutual Funds Self $15,001 $50,000 Excepted None (or less than $201) Investment Fund # Asset 11 QCEQRX - CREF Equity Index Account - R1 12 TRGMX - TIAA-CREF Mid-Cap Growth Retirement Mutual Fund Mutual Fund Mutual Fund Bond Account - R1 16 TBIIX - TIAA-CREF Bond Index Institutional 17 TBIRX - TIAA-CREF Bond Index Retirement 18 TIAA-CREF Traditional 19 QCEQIX - CREF Equity Index Account - R3 Mutual Fund Mutual Fund Mutual Fund Mutual Fund Mutual Funds Spouse Over $1,000,000 and held Mutual independently Fund by spouse or dependent child Mutual Spouse $15,001 Funds $50,000 Mutual Fund Income Type Income Excepted None (or less than $201) Investment Fund Excepted None (or less than $201) Investment Fund Excepted None (or less than $201) Investment Fund # Asset 20 TIEIX - TIAA-CREF Equity Index Asset Type Mutual Funds Owner Value Spouse Over $1,000,000 Instl and held Mutual independently Fund by spouse or dependent child 21 QREARX - TIAA Real Estate Account Mutual Spouse $50,001 Funds $100,000 22 QCBMRX - CREF Bond Market Account - R1 23 QCILRX - CREF Inflation-Linked Bond Account - R1 24 VFIAX-Vanguard 500 Index Admiral Mutual Fund Income Type Income Excepted None (or less than $201) Investment Fund Excepted None (or less than $201) Investment Fund Mutual Funds Spouse $50,001 $100,000 Excepted None (or less than $201) Investment Fund Mutual Funds Spouse $15,001 $50,000 Excepted None (or less than $201) Investment Fund Mutual Funds Joint Excepted $1,001 - $2,500 Investment Fund Mutual Fund Mutual Fund Mutual Fund $50,001 $100,000 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? Yes # 1 2 3 Transaction Owner Ticker Asset Name Type Self -TIAA-CREF Traditional Sale (Partial) Self -TIAA-CREF Traditional Sale (Partial) Self -QCSTIX - CREF Stock Account Sale - R3 (Partial) 4 Self -- 5 Self -- 6 Self -- 7 Self -- 8 Self -- 9 Self -- 10 Self -- 11 Self -- 12 Self -- 13 Self -- 14 Spouse -15 Spouse -16 Spouse -- QCGLIX - CREF Global Equities Account - R3 QREARX - TIAA Real Estate Account QREARX - TIAA Real Estate Account QREARX - TIAA Real Estate Account Sale (Partial) Sale (Partial) Sale (Partial) Purchase QCEQRX - CREF Equity Index Account - R1 TRBIX - TIAA-CREF Small-Cap Blend Idx Retirement QCILRX - CREF InflationLinked Bond Account - R1 TBIIX - TIAA-CREF Bond Index Institutional TBIRX - TIAA-CREF Bond Index Retirement QCGLIX - CREF Global Equities Account - R3 TIEIX - TIAA-CREF Equity Index Instl TIEIX - TIAA-CREF Equity Index Instl TIEIX - TIAA-CREF Equity Index Instl Sale (Partial) Sale (Partial) Sale (Partial) Sale (Partial) Sale (Partial) Sale (Partial) Purchase Purchase Purchase Transaction Date Amount 04/02/2019 $1,001 $15,000 04/10/2019 $15,001 $50,000 04/10/2019 $50,001 $100,000 04/11/2019 $1,001 $15,000 04/02/2019 $15,001 $50,000 04/10/2019 $1,001 $15,000 04/12/2019 $50,001 $100,000 04/02/2019 $1,001 $15,000 04/02/2019 $1,001 $15,000 04/02/2019 $1,001 $15,000 04/10/2019 $1,001 $15,000 04/02/2019 $1,001 $15,000 12/18/2019 $1,001 $15,000 02/08/2019 $1,001 $15,000 02/20/2019 $1,001 $15,000 03/08/2019 $1,001 $15,000 Comment ----------------- Transaction Transac# Owner Ticker Asset Name Type tion Date 17 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 03/20/2019 Instl 18 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 04/05/2019 Instl 19 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 05/03/2019 Instl 20 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 06/07/2019 Instl 21 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 04/22/2019 Instl 22 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 05/22/2019 Instl 23 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 06/20/2019 Instl 24 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 07/22/2019 Instl 25 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 08/20/2019 Instl 26 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 09/20/2019 Instl 27 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 07/05/2019 Instl 28 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 08/09/2019 Instl 29 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 09/06/2019 Instl 30 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 10/23/2019 Instl 31 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 10/04/2019 Instl 32 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 11/08/2019 Instl 33 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 11/27/2019 Instl Amount $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 $1,001 $15,000 Comment ------------------ Transaction Transac# Owner Ticker Asset Name Type tion Date Amount 34 Spouse -TIEIX - TIAA-CREF Equity Index Purchase 12/27/2019 $1,001 Instl $15,000 Comment -- 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? No Part 7. Liabilities Did you, your spouse, or dependent child have a reportable liability worth more than $10,000 at any time? No Part 8. Positions Did you hold any outside positions during the reporting period? No Part 9. Agreements Did you have any reportable agreement or arrangement with an outside entity? Yes # Date Parties Involved 1 Jan Harvard University 2013 Cambridge, MA Type Other (Agreement with Harvard Law School to hold honorary title of Emeritus Professor.) Status and Terms Terms of agreement include continued use of storage space for teaching and research materials. # Date Parties Involved 2 Dec Aspen Publishers (now CCH) 1985 New York, NY Type Royalty Agreement 3 Mar 2000 4 Dec 2013 Yale University Press Royalty Agreement Henry Holt & Co. (now Macmillan Publishing Group LLC) Royalty Agreement Advance and royalties based on customary and usual terms for book, "A Fighting Chance." Royalty Agreement Royalties for book, "The Two-Income Trap." Royalty Agreement Royalties for book, "As We Forgive Our Debtors." Royalties for book, "All Your Worth." New Haven, CT New York, NY 5 Apr Perseus Books Group 2002 New York, NY 6 May Beard Books 1999 Washington, DC 7 Apr Free Press (now Simon & 2004 Schuster) Royalty Agreement 8 Nov Henry Holt & Co. (now 2016 Macmillan Publishing Group LLC) Royalty Agreement New York, NY New York, NY Part 10. Compensation Status and Terms Royalties for books, "Chapter 11: Reorganizing American Businesses", "Commercial Law Studies", "Bankruptcy and Article 9", "The Law of Debtors and Creditors", "Secured Credit: A Systems Approach", "Commercial Transactions: A Systems Approach." Royalties for book, "The Fragile Middle Class." Advance and royalties based on customary and usual terms for book, "This Fight is Our Fight." 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. No private comments added.