1

Cambridge, Massachusetts

Professor of Law at Harvard Law School

Present

2

Humu Inc

Mountain View, California

Advisor

2/2021

3

Behavioral Insights Team, North America

New York, New York

Member of Board of Directors

2/2021

4

New York, New York

Columnist

2/2021

1

Harvard University

Salary

$123,263

2

Retirement Income Plan for Teaching Faculty of Harvard University

2.1

TIAA Traditional

$15,001 - $50,000

None (or less than $201)

2.2

CREF Stock R3 (QCSTIX)

$1,001 - $15,000

None (or less than $201)

2.3

Vanguard Total Stock Market Index Fund Institutional Plus (VSMPX)

$1,001 - $15,000

None (or less than $201)

2.4

Vanguard Institutional Target Retirement 2020 Institutional (VITWX)

$250,001 - $500,000

None (or less than $201)

3

Harvard University Tax Deferred Annuity Plan

3.1

Vanguard Institutional Target Retirement 2020 Institutional (VITWX)

$100,001 - $250,000

None (or less than $201)

4

The University of Chicago Contributory Retirement Plan

4.1

TIAA Traditional

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

None (or less than $201)

1

Cambridge, Massachusetts

I will take an unpaid, two-year leave of absence from my faculty position.

1/2021

2

The University of Chicago

Chicago, Illinois

I will continue to participate in the Defined Contribution Retirement Plan. The university has not made contributions since my departure.

8/1981

3

Cambridge, Massachusetts

I will continue to participate in the Tax Deferred Annuity Plan. The university will not make contributions during my leave.

8/2008

4

Cambridge, Massachusetts

I will continue to participate in the Retirement Income Plan. The university will not make contributions during my leave

8/2008

5

Cambridge, Massachusetts

As part of the incentive package to teach at Harvard, I received a mortgage loan for half the value of the residence. Harvard University paid half the value of the home and I must repay the loan (and 50% of any appreciation value) upon sale of the home. The terms of the agreement between myself and Harvard are not affected by my leave of absence for up to two years. If I do not return to Harvard at the end of two years, the entire mortgage becomes immediately due.

1/2017

1

Harvard University Defined Contribution Retirement Plan

1.1

CCREF Money Market R3 (QCMMIX)

$1,001 - $15,000

None (or less than $201)

2

Harvard University Retirement Income Plan

2.1

Vanguard Federal Money Market Inv (VMFXX)

$100,001 - $250,000

None (or less than $201)

3

Harvard University Tax Deferred Annuity Plan

3.1

Vanguard Inst Tg Trm 35 Inst (VITFX)

$50,001 - $100,000

None (or less than $201)

4

Harvard University

Salary

5

"The Education of an Idealist", Day Street Books/William Collins (value not readily ascertainable)

Rent or Royalties

$15,001 - $50,000

6

"A Problem From Hell", Basic Books/Flamingo (Value not readily ascertainable)

Rent or Royalties

$5,001 - $15,000

7

The Wylie Agency, LLC ("A Problem From Hell" republication for quotes; October 2021); New York, NY, USA

Republication Rights fees

$216

1

U.S. bank #1 (cash)

None (or less than $1,001)

Interest

$1,001 - $2,500

2

U.S. bank #4 (cash)

$100,001 - $250,000

Interest

$2,501 - $5,000

3

U.S. bank #6 (cash)

$100,001 - $250,000

Interest

$2,501 - $5,000

4

U.S. bank #8 (cash)

None (or less than $1,001)

Interest

$2,501 - $5,000

5

U.S. bank #9 (cash)

None (or less than $1,001)

Interest

$201 - $1,000

6

US brokerage account

6.1

Vanguard Value ETF Holding (VTV)

$50,001 - $100,000

$201 - $1,000

6.2

Vanguard Total Bond Mkt Holding (BND)

$50,001 - $100,000

$201 - $1,000

6.3

Johnson & Johnson Company Holdings (JNJ)

None (or less than $1,001)

Dividends Capital Gains

$15,001 - $50,000

6.4

Blackrock International FD A (MDILX)

None (or less than $1,001)

$2,501 - $5,000

1

Johnson & Johnson Com (JNJ)

Sale

06/21/2021

$15,001 - $50,000

2

Blackrock International FD A (MDILX)

Sale

07/07/2021

$1,001 - $15,000

3

Blackrock ADV SMID Cap Fund Inc CL A (MDSPX)

Sale

07/07/2021

$1,001 - $15,000

4

Vanguard Short-Term Corporate Bond (VCSH)

Purchase

07/07/2021

$250,001 - $500,000

5

Vanguard Total STK MKT EFT (VTI)

Purchase

07/07/2021

$250,001 - $500,000

6

Davis NY Venture FD CL A (NYVTX)

Sale

07/07/2021

$1,001 - $15,000

7

Templeton Foreign Fund CL A (TEMFX)

Sale

07/07/2021

$1,001 - $15,000

8

Templeton Global Bond FD CL A (TPINX)

Sale

07/07/2021

$1,001 - $15,000

9

Blackrock Advantage Small Cap Growth FD CL A (CSGEX)

Sale

07/07/2021

$1,001 - $15,000

10

Blackrock Capital Appreciation FD, Inc. A (MDFGX)

Sale

07/07/2021

$15,001 - $50,000

1

President and Fellows of Harvard College

$500,001 - $1,000,000

2017

Due on sale

2

13

Columns dated: 01/04/2021; 01/04/2021; 01/06/2021; 01/07/2021; 01/08/2021; 01/11/2021; 01/13/2021; 01/17/2021; 01/19/2021; 01/21/2021; 01/22/2021; 01/26/2021; 01/28/2021; 02/02/2021/ 02/07/2021

6

9

The LLC is a film company that was started by one of spouse's friends. It has never actually made any films.

8

1

As part of the incentive package to teach at Harvard, the nominee received mortgage loan for half the value of the residence. Harvard University paid half the value of the home and the nominee must repay the loan (and 50% of any appreciation value) upon sale of the home. The terms of the agreement between the nominee and Harvard are not affected by the nominee taking a leave of absence for up to two years. If the nominee does not return to Harvard at the end of two years, the entire mortgage becomes immediately due.