Financial Disclosure Details - OGE Form 278e (05/16/2022)

Positions Held Outside United States Government

#
Organization
City
Position
To
1
Washington, District of Columbia
Board Member
1/2021
2
New Haven, Connecticut
Alumni Fellow
1/2021
3
Providence, Rhode Island
Co-Trustee
Present
4
Providence, Rhode Island
Co-Trustee
Present
5
Providence, Rhode Island
Governor
3/2021
6
Providence, Rhode Island
Chair
3/2021

Employment Assets & Income and Retirement Accounts

#
Description
Value
Income Type
Income Amount
1
State of Rhode Island
Salary as Governor
$19,908
2
SEP-IRA
2.1
Fidelity New Markets Income Fund (FNMIX)
$1,001 - $15,000
None (or less than $201)
2.2
Fidelity Floating Rate High Income Fund (FFRHX)
$15,001 - $50,000
None (or less than $201)
2.3
Fidelity Short-Term Bond Fund (FSHBX)
$1,001 - $15,000
None (or less than $201)
2.4
Fidelity High Income Fund (SPHIX)
$15,001 - $50,000
None (or less than $201)
2.5
Fidelity Total Bond Fund (FTBFX)
$15,001 - $50,000
None (or less than $201)
2.6
Fidelity Government Cash Reserves (FDRXX)
$1,001 - $15,000
None (or less than $201)
3
Roth IRA
3.1
Vanguard Real Estate ETF (VNQ)
$1,001 - $15,000
None (or less than $201)

Employment Agreements and Arrangements

#
Employer Or Party
City
Status And Terms
Date
1
Providence, Rhode Island
I will continue to participate in this defined benefit plan.
1/2011
2
Providence, Rhode Island
I will continue to participate in this defined contribution plan (457b). The plan sponsor will not make further contributions
1/2011

Sources of Compensation Exceeding $5,000 in a Year

#
Source
City
Duties
Nothing reported in this section

Spouse's Employment Assets & Income and Retirement Accounts

#
Description
Value
Type
Amount
1
PathAI
Salary
2
Traditional IRA
2.1
iShares Core S&P Mid-Cap ETF (IJH)
$1,001 - $15,000
None (or less than $201)
2.2
iShares Core S&P Small-Cap ETF (IJR)
$1,001 - $15,000
None (or less than $201)
2.3
Vanguard S&P Small-Cap 600 ETF (VIOO)
$15,001 - $50,000
None (or less than $201)
2.4
Vanguard S&P Mid-Cap 400 ETF (IVOO)
$15,001 - $50,000
None (or less than $201)
2.5
Vanguard FTSE Emerging Markets ETF (VWO)
$15,001 - $50,000
None (or less than $201)
2.6
Vanguard Real Estate ETF (VNQ)
$1,001 - $15,000
None (or less than $201)
2.7
Fidelity New Markets Income Fund (FNMIX)
$1,001 - $15,000
None (or less than $201)
2.8
Fidelity Floating Rate High Income Fund;Fid Flt Rt Hi Inc (FFRHX)
$1,001 - $15,000
None (or less than $201)

Other Assets and Income

#
Description
Value
Type
Amount
1
U.S. bank #1 (cash)
$100,001 - $250,000
Interest
$201 - $1,000
2
Family Trust #1
2.1
Fidelity Extended Market Index Fund (FSMAX)
$15,001 - $50,000
$201 - $1,000
2.2
Fidelity 500 Index Fund (FXAIX)
$100,001 - $250,000
$2,501 - $5,000
2.3
Fidelity Small Cap Index Fund (FSSNX)
$15,001 - $50,000
$201 - $1,000
2.4
Fidelity New Markets Income Fund (FNMIX)
$1,001 - $15,000
$201 - $1,000
2.5
Vanguard S&P Small-Cap 600 ETF (VIOO)
$100,001 - $250,000
$1,001 - $2,500
2.6
iShares Core S&P Mid-Cap ETF (IJH)
$100,001 - $250,000
$1,001 - $2,500
2.7
Vanguard S&P Mid-Cap 400 ETF (IVOO)
$50,001 - $100,000
$201 - $1,000
2.8
iShares Core S&P Small-Cap ETF (IJR)
$50,001 - $100,000
$201 - $1,000

Transactions

#
Description
Type
Date
Amount
1
Vanguard International Equity Index FDS TT World (VT)
Purchase
03/19/2021
$100,001 - $250,000
2
Vanguard Health Care Index Fund ETF Class Shares (VHT)
Sale
03/10/2021
$15,001 - $50,000
3
Energy Select Sector SPDR Fund (XLE)
Sale
03/10/2021
$1,001 - $15,000
4
Fidelity Health Care Portfolio (FSPHX)
Sale
03/10/2021
$50,001 - $100,000
5
Fidelity Health Care Services Portfolio (FSHCX)
Sale
03/10/2021
$15,001 - $50,000
6
Fidelity Pharmaceuticals Portfolio (FPHAX)
Sale
03/10/2021
$15,001 - $50,000
7
Vanguard International Equity Index FDS FF World (VT)
Purchase
03/19/2021
$100,001 - $250,000
8
Vanguard Health Care Index Fund ETF Class Shares (VHT)
Sale
03/10/2021
$15,001 - $50,000
9
Energy Select Sector SPDR Fund (XLE)
Sale
03/10/2021
$1,001 - $15,000
10
Fidelity Health Care Services Portfolio (FSHCX)
Sale
03/10/2021
$15,001 - $50,000

Liabilities

#
Creditor
Amount
Incurred
Term
Nothing reported in this section

Gifts and Travel Reimbursements

#
Source Name
City
Description
Value
1
Nina & David Fialkow
Boston, Massachusetts
3 tickets to Kennedy Center Honors event and accompanying meal on December 5, 2021
$2700 (estimate)

Endnotes

Section
#
Description
7
73
Qualified distribution via roll-over of retirement account

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