Financial Disclosure Details - OGE Form 278e (05/11/2021)

Positions Held Outside United States Government

#
Organization
City
Position
To
Nothing reported in this section

Employment Assets & Income and Retirement Accounts

#
Description
Value
Income Type
Income Amount
1
Commonwealth of Massachusetts Retirement Defined Benefit Plan, defined benefit plan
$50,001 - $100,000
Retirement Payments (annual)
$97,715
2
Raymond James IRA
2.1
Raymond James Bank Deposit Program
$1,001 - $15,000
None (or less than $201)
2.2
Raymond James-AMG Times Square Small Cap Growth Fund Premier Class
$1,001 - $15,000
$201 - $1,000
2.3
Raymond James-AQR Managed Futures Strategy Fund Class N N/L
$1,001 - $15,000
None (or less than $201)
2.4
Raymond James-Aston/River Road Small Cap value Fund Class I N/L
$1,001 - $15,000
None (or less than $201)
2.5
Brown Advisory Growth Equity Fund Investor Shares N/L
$1,001 - $15,000
None (or less than $201)
2.6
Raymond James-Columbia Acorn International Fund Class Z N/L
$1,001 - $15,000
None (or less than $201)
2.7
Raymond james-Deutsche Global real Estate Securities FD Class A M/F
$1,001 - $15,000
None (or less than $201)
2.8
RJ-Dodge & Cox Income Fund Class F1- American Funds N/L
$1,001 - $15,000
None (or less than $201)

Employment Agreements and Arrangements

#
Employer Or Party
City
Status And Terms
Date
1
Commonwealth of Massachusetts Retirement Defined Benefit Plan
Boston, Massachusetts
I will continue to participate in this defined benefit plan.
9/1979
2
Raymond James IRA
Milwaukee, Wisconsin
I will not participate in this defined contribution plan after my separation.
2/2011
3
Northwestern Mutual Investment Services
Milwaukee, Wisconsin
I will not participate in this defined contribution plan after my separation.
2/2011
4
Northwestern Mutual IRA
Milwaukee, Wisconsin
I will not participate in this defined contribution plan after my separation.
2/2011
5
American National Insurance Company-Fixed Annuity IRA
Sringfield, Missouri
I will not participate in this defined contribution plan after my separation
1/2019

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
Commonwealth of Massachusetts Defined Benefit Pension Plan (value not readily ascertainable)
$15,001 - $50,000
2
Raymond James-Spouse IRA Freedom Balance
$50,001 - $100,000
2.1
Aston/River Road Small Cap Value Fund Class I N/L (ARSIX)
$1,001 - $15,000
None (or less than $201)
2.2
AMG Times Square Small Cap Growth Fund Premier Class N/L (TSCPX)
$1,001 - $15,000
None (or less than $201)
2.3
Clarkston Partners Fund Institutional Class N/L (CISMX)
$1,001 - $15,000
None (or less than $201)
2.4
Baird Aggregate Bond Fund INSTL Class N?L (BAGIX)
$1,001 - $15,000
None (or less than $201)
2.5
Brown Advisory Growth Equity Fund Investor Shares N/L (BIAGX)
$1,001 - $15,000
None (or less than $201)
2.6
Columbia Acorn International Fund Class Z N?L (ACINX)
$1,001 - $15,000
None (or less than $201)
2.7
Deutsche Global Real Estate Securities FD Class A M/F (RRGAX)
$1,001 - $15,000
None (or less than $201)
2.8
Europacific Growth Fund Class F2-American Funds N/L (AEPFX)
$1,001 - $15,000
None (or less than $201)

Other Assets and Income

#
Description
Value
Type
Amount
1
AMG Times Square Small Cap Growth Fund Premier Class N/L
$1,001 - $15,000
None (or less than $201)
2
Commonwealth of Massachusetts- Massachusetts State Police Retiree DOL/MUD Grievance Settlement Payout
$1,001 - $15,000
$5,001 - $15,000
3
Monumental Life Insurance Company- Universal Life Insurance
$1,001 - $15,000
None (or less than $201)
4
Monumental Life Insurance Company- Universal Life Insurance
$1,001 - $15,000
None (or less than $201)
5
Allianz Life Insurance
$15,001 - $50,000
Interest
$201 - $1,000
6
Raymond James Joint Freedom Program
$100,001 - $250,000
$2,501 - $5,000
6.1
AMG Times Square Small Cap Growth Fund Premier Class N/L
$1,001 - $15,000
None (or less than $201)
6.2
AQR Managed Futures Strategy Fund Class N N/L
$1,001 - $15,000
$201 - $1,000
6.3
Aston/River Road Small Cap Value Fund Class I N/L
$1,001 - $15,000
$201 - $1,000
6.4
Brown Advisory Growth Equity Fund Investor Shares N/L
$1,001 - $15,000
$201 - $1,000

Transactions

#
Description
Type
Date
Amount
1
Northwestern Mutual- John Gibbons IRA FBO Rollover Mutual Fund Account- Amazon Com Inc (CUSIP: 023135-10-6)
Purchase
03/20/2020
$1,001 - $15,000
2
Northwestern Mutual-John Gibbons IRA FBO Rollover Mutual Fund Account-New Perspective Fund Class F-2 (Cusip: #648018- 82-8)
Purchase
03/20/2020
$1,001 - $15,000
3
Northwestern Mutual-John Gibbons IRA FBO Rollover Mutual Fund Account- Blackrock IShares S&P 500 Index Fund Institutional Class (Cusip: #066923-55-8)
Purchase
03/20/2020
$15,001 - $50,000
4
Northwestern Mutual-John Gibbons IRA FBO Rollover Mutual Fund Account- Fidelity Advisor Total Bond Fund Class 1 (Cusip: #31617K-83-2)
Purchase
03/20/2020
$15,001 - $50,000
5
Raymond James Gibbons Joint Freedom Bal w/Growth Mutual Fund Account: Metropolitan West Total Return Bond Fund Class 1 N/L (MWTIX)
Purchase
01/07/2020
$1,001 - $15,000
6
Northwestern Mutual- John Gibbons IRA FBO Rollover Mutual Fund Account- FMI International Fund Institutional Class (Cusip: # 302933-70-0)
Purchase
03/20/2020
$1,001 - $15,000
7
Northwestern Mutual-John Gibbons IRA FBO Rollover Mutual Fund Account- IShares TR MSCI EAFE Minimum Volatility ETF (Cusip: # 46429B-68-9)
Purchase
03/20/2020
$1,001 - $15,000
8
Northwestern Mutual- John Gibbons IRA FBO Rollover Mutual Fund Account- Fidelity Advisor International Growth Fund Class 1 (Cusip: #315910-37-2)
Purchase
03/20/2020
$1,001 - $15,000
9
Northwestern Mutual- John Gibbons IRA FBO Rollover Mutual Fund Account- Cohen & Steers Preferred Securities Income Fund Class l (Cusip: #19248X-30-7)
Purchase
03/20/2020
$15,001 - $50,000
10
Northwestern Mutual-John Gibbons IRA FBO Rollover Mutual Fund Account- Blackrock Total Return Fund Class Institutional (Cusip: #09252M-88-3)
Purchase
03/20/2020
$15,001 - $50,000

Liabilities

#
Creditor
Amount
Incurred
Term
1
Roundpoint Mortgage Servicing Corporation
$250,001 - $500,000
2018
30 Years

Gifts and Travel Reimbursements

#
Source Name
City
Description
Value
Nothing reported in this section

Endnotes

Section
#
Description
Nothing reported in this section

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