This database was last updated in October 2019 and should only be used as a historical snapshot. There may be new information that is not included here.
Andrew F. Puzder Nomination or Appointment Failed
Secretary of Labor | Financial Disclosure »
Former Positions Outside Government
- A. P. Trust, Revocable Trust Co-Trustee
- CKE Restaurants Holdings, Inc. CEO, Director
- The American Enterprise Institute National Council Co-Chair
- The International Franchise Association Director
Former Compensation Sources
- CKE Restaurants Holdings, Inc. Chief Executive Officer
Employment Assets
| Description | Value | Income |
|---|---|---|
| CKE Restaurants Holdings, Inc. | $3,422,377 | |
| SEP IRA | $250,001 - $500,000 | $15,001 - $50,000 |
| Financial Select Sector SPDR ETF | $15,001 - $50,000 | $201 - $1,000 |
| First TR Europe Alphadex ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Gotham Enhanced Return Fund Class Institutional | $50,001 - $100,000 | None (or less than $201) |
| Guggenheim S&P 500 Pure Value ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| New Residential Investment Corp. | $50,001 - $100,000 | $1,001 - $2,500 |
| Powershares FTSE RAFI Developed Markets Ex-US Portfolio ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Real Estate Select Sect SPDR ETF | $1,001 - $15,000 | None (or less than $201) |
| Avenue Income Credit Strategies Fund | $15,001 - $50,000 | $5,001 - $15,000 |
| DoubleLine Income Solutions Fund | $15,001 - $50,000 | $5,001 - $15,000 |
| Eaton Vance Limited Duration Income Fund | $15,001 - $50,000 | $2,501 - $5,000 |
| CKE Holdings, LP - Class A Units | $5,000,001 - $25,000,000 | $1,000,001 - $5,000,000 |
| The Steamboat Institute - 8/26/2016 | $5,000 | |
| Colorado Christian University - 7/2/2016 | $2,500 | |
| Lincoln Club Institute - 10/26/2016 | $2,500 | |
| CKE Holdings, LP - Class B Units (Vested) | $5,000,001 - $25,000,000 | None (or less than $201) |
| CKE Holdings, LP - Class B Units (Unvested) | $1,000,001 - $5,000,000 | None (or less than $201) |
| CKE Restaurants Holdings, Inc., estimated cash bonus for Fiscal Year 2016 | $1,000,001 - $5,000,000 | None (or less than $201) |
| CKE Restaurants Holdings, Inc., outstanding relocation benefits for 2016 move that was finalized in 2017 | $250,001 - $500,000 | None (or less than $201) |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| UBS Account #1 | ||
| Enerjex Resources Inc. | $1,001 - $15,000 | None (or less than $201) |
| First Trust Water ETF | $100,001 - $250,000 | $201 - $1,000 |
| Guggenheim S&P Global Water ETF | $100,001 - $250,000 | None (or less than $201) |
| Powershares Global Water Portfolio ETF | $50,001 - $100,000 | $201 - $1,000 |
| Powershares Water Resources Portfolio ETF | $50,001 - $100,000 | None (or less than $201) |
| Toyota Motor Corp. Sponsored ADR | $100,001 - $250,000 | $5,001 - $15,000 |
| Bank of America Corp. Series D | $250,001 - $500,000 | $50,001 - $100,000 |
| California, bonds | $100,001 - $250,000 | $2,501 - $5,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $1,001 - $2,500 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $1,001 - $2,500 |
| California, bonds | $100,001 - $250,000 | $1,001 - $2,500 |
| California, bonds | $100,001 - $250,000 | $15,001 - $50,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| California, bonds | $100,001 - $250,000 | $2,501 - $5,000 |
| Los Angeles, California, bonds | $100,001 - $250,000 | $201 - $1,000 |
| Los Angeles, California, bonds | $100,001 - $250,000 | $201 - $1,000 |
| Sacramento, California, bonds | $100,001 - $250,000 | $2,501 - $5,000 |
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| University of California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| University of California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| Alphakeys KKR Energy (Distribution income is estimated from 2015.) | $100,001 - $250,000 | $15,001 - $50,000 |
| Alphakeys Millenium III (Distribution income is estimated from 2015.) | $500,001 - $1,000,000 | $100,001 - $1,000,000 |
| Apollo European Credit Fund LP (Distribution income is estimated from 2015.) | $100,001 - $250,000 | $15,001 - $50,000 |
| Ares European RE IV LP (Distribution income is estimated from 2015.) | $100,001 - $250,000 | None (or less than $201) |
| Atlas Enhanced Fund LP (Distribution income is estimated from 2015.) | $500,001 - $1,000,000 | $50,001 - $100,000 |
| Solus LLC, Class N3 (Investment placed in mid-2016. Reported distribution income is estimate.) | $250,001 - $500,000 | $5,001 - $15,000 |
| Fidelity National Financial Inc. | $50,001 - $100,000 | $1,001 - $2,500 |
| Remy International Inc. | $1,001 - $15,000 | None (or less than $201) |
| UBS Account #2 | ||
| AbbVie Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| AT&T Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| Baron Real Estate Fund Institutional Class | $100,001 - $250,000 | $2,501 - $5,000 |
| Berkshire Hathaway Inc. Class B | $50,001 - $100,000 | None (or less than $201) |
| Brookfield Property Partners LLP MLP | $100,001 - $250,000 | $15,001 - $50,000 |
| CBRE Clarion Global Real Estate Income Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| Colony Starwood Homes REIT | $50,001 - $100,000 | $5,001 - $15,000 |
| Diageo PLC ADR | $15,001 - $50,000 | $201 - $1,000 |
| Exxon Mobil Corp. | $15,001 - $50,000 | $1,001 - $2,500 |
| Ford Motor Co. | $15,001 - $50,000 | $2,501 - $5,000 |
| iShares MSCI Eurozone ETF | $15,001 - $50,000 | $5,001 - $15,000 |
| iShares NASDAQ Biotechnology ETF | $100,001 - $250,000 | None (or less than $201) |
| Matthews Japan Fund | $50,001 - $100,000 | $1,001 - $2,500 |
| Merck & Co. Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Neuberger Berman MLP Income Fund Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Pfizer Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Procter & Gamble Co. | $15,001 - $50,000 | $1,001 - $2,500 |
| SPDR Index SHS FDS S&P Emerging Market | $50,001 - $100,000 | $2,501 - $5,000 |
| Time Warner Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Undiscovered Mgrs Behavioral Value Class L | $100,001 - $250,000 | $5,001 - $15,000 |
| Union Pacific Corp. | $15,001 - $50,000 | $201 - $1,000 |
| United Technologies Corp. | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Dividend Appreciation ETF | $250,001 - $500,000 | $5,001 - $15,000 |
| Verizon Communications Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Materials ETF | $15,001 - $50,000 | None (or less than $201) |
| Walt Disney Co. | $1,001 - $15,000 | $201 - $1,000 |
| Wasatch International Growth Fund | $100,001 - $250,000 | None (or less than $201) |
| WisdomTree Trust Europe Hedged Equity Fund ETF | $100,001 - $250,000 | $15,001 - $50,000 |
| WisdomTree Trust Europe Smallcap Dividend Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| WisdomTree Trust Midcap Dividend Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| WisdomTree Trust US Quality Dividend Growth Fund ETF | $250,001 - $500,000 | $5,001 - $15,000 |
| iShares Gold Trust ETF | $100,001 - $250,000 | None (or less than $201) |
| Gotham Absolute Return Institutional | $250,001 - $500,000 | None (or less than $201) |
| Apple Inc. | $50,001 - $100,000 | $1,001 - $2,500 |
| iShares Russell 1000 ETF | $100,001 - $250,000 | None (or less than $201) |
| iShares Russell 2000 ETF | $100,001 - $250,000 | None (or less than $201) |
| iShares Currency Hedged | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Mid-Cap ETF | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Growth ETF | $250,001 - $500,000 | $5,001 - $15,000 |
| WisdomTree Trust India | $50,001 - $100,000 | None (or less than $201) |
| WisdomTree Trust Japan | $100,001 - $250,000 | $5,001 - $15,000 |
| Driehaus Emerging Markets Growth Fund | $100,001 - $250,000 | None (or less than $201) |
| Gotham Enhanced Return | $100,001 - $250,000 | None (or less than $201) |
| Guggenheim S&P 500 Pure Value ETF | $250,001 - $500,000 | None (or less than $201) |
| Hamlin High Dividend Equity Fund | $250,001 - $500,000 | None (or less than $201) |
| Horizon Spin-Off and Corporate Restructuring Fund | $100,001 - $250,000 | None (or less than $201) |
| iShares MSCI Mexico Capped ETF | $15,001 - $50,000 | $201 - $1,000 |
| Kopernik Global All-Cap Fund | $100,001 - $250,000 | None (or less than $201) |
| Matthews International Pacific Tiger Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| Powershares QQQ | $100,001 - $250,000 | $1,001 - $2,500 |
| Colony Starwood Homes REIT | $15,001 - $50,000 | $2,501 - $5,000 |
| Vanguard FTSE Europe ETF | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Small Cap ETF | $100,001 - $250,000 | $1,001 - $2,500 |
| WisdomTree Emerging Markets High Dividend Fund ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| WisdomTree Trust Small Cap Dividend Fund | $250,001 - $500,000 | $5,001 - $15,000 |
| SPDR S&P China ETF | $50,001 - $100,000 | $201 - $1,000 |
| UBS Account #3 | ||
| Angel Oak Flexible Income Fund Class I | $100,001 - $250,000 | $5,001 - $15,000 |
| Angel Oak Multi-Strategy Income Fund Class Institutional | $100,001 - $250,000 | $15,001 - $50,000 |
| BlackRock Limited Duration Income Trust | $100,001 - $250,000 | $15,001 - $50,000 |
| BlackRock Multi-Sector Income Trust | $100,001 - $250,000 | $15,001 - $50,000 |
| Blackstone/GSO Strategic Credit Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| Cohen & Steers Limited Duration Preferred & Income Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| Eaton Vance Limited Duration Income Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| Eaton Vance Senior Floating Rate Trust | $100,001 - $250,000 | $15,001 - $50,000 |
| Guggenheim Credit Allocation Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| Guggenheim Macro Opportunities Fund Class Institutional | $100,001 - $250,000 | $15,001 - $50,000 |
| Loomis Sayles Senior Floating Rate & Fixed Income Fund Class Y | $100,001 - $250,000 | $1,001 - $2,500 |
| Nuveen Credit Strategies Income Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| Nuveen Senior Income Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| Third Avenue Focused Credit Fund Institutional Class | $50,001 - $100,000 | $50,001 - $100,000 |
| Macquarie Infrastructure Corp. | $100,001 - $250,000 | $15,001 - $50,000 |
| New Media Investment Group Inc. | $100,001 - $250,000 | $15,001 - $50,000 |
| New Residential Investment Corp. | $250,001 - $500,000 | $50,001 - $100,000 |
| New Senior Investment Group REIT | $100,001 - $250,000 | $15,001 - $50,000 |
| Apollo Investment Corp. | $15,001 - $50,000 | $15,001 - $50,000 |
| Ares Capital Corp. | $100,001 - $250,000 | $5,001 - $15,000 |
| Ares Dynamic Credit Allocation Fund | $1,001 - $15,000 | $15,001 - $50,000 |
| Avenue Income Credit Strategies Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| BlackRock Strategic Income Opportunities Portfolio | $250,001 - $500,000 | $5,001 - $15,000 |
| Brookfield Property Partners LP | $100,001 - $250,000 | $2,501 - $5,000 |
| DoubleLine Income Solutions Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| Eaton Vance Floating-Rate Fund | $50,001 - $100,000 | $5,001 - $15,000 |
| Fifth Street Senior Floating Rate Corp. | $100,001 - $250,000 | $5,001 - $15,000 |
| KKR Income Opportunities Fund | $100,001 - $250,000 | $15,001 - $50,000 |
| LMP Corporate Loan Fund Inc. | $100,001 - $250,000 | $5,001 - $15,000 |
| Newcastle Investment Corp. | $100,001 - $250,000 | $15,001 - $50,000 |
| Powershares ETF Trust II | $100,001 - $250,000 | $5,001 - $15,000 |
| Senior Housing Properties Trust | $100,001 - $250,000 | $2,501 - $5,000 |
| UBS Account #4 | ||
| Buckeye Partners LP | $50,001 - $100,000 | $5,001 - $15,000 |
| DCP Midstream Partners MLP | $100,001 - $250,000 | $15,001 - $50,000 |
| Delek Logistics | $15,001 - $50,000 | $2,501 - $5,000 |
| Enable Midstream Partners MLP | $15,001 - $50,000 | $2,501 - $5,000 |
| Enbridge Energy Partners MLP | $50,001 - $100,000 | $5,001 - $15,000 |
| Energy Transfer Equity LP | $50,001 - $100,000 | $5,001 - $15,000 |
| Energy Transfer Partners MLP | $50,001 - $100,000 | $1,001 - $2,500 |
| Enlink Midstream Partners MLP | $50,001 - $100,000 | $2,501 - $5,000 |
| EQT Midstream Partners MLP | $50,001 - $100,000 | $2,501 - $5,000 |
| Genesis Energy MLP | $50,001 - $100,000 | $5,001 - $15,000 |
| MPLX MLP | $100,001 - $250,000 | $5,001 - $15,000 |
| Phillips 66 Partners MLP | $50,001 - $100,000 | $2,501 - $5,000 |
| Tallgrass Energy Partners MLP | $50,001 - $100,000 | $5,001 - $15,000 |
| TC Pipelines MLP | $50,001 - $100,000 | $5,001 - $15,000 |
| Teekay Offshore Partners LP | $15,001 - $50,000 | $2,501 - $5,000 |
| Tesoro Logistics MLP | $100,001 - $250,000 | $5,001 - $15,000 |
| Western Gas Equity Partners MLP | $50,001 - $100,000 | $5,001 - $15,000 |
| Williams Partners MLP | $100,001 - $250,000 | $5,001 - $15,000 |
| Enterprise Products | $100,001 - $250,000 | $5,001 - $15,000 |
| Plains All American Pipeline | $50,001 - $100,000 | $2,501 - $5,000 |
| Plains GP Holdings LP | $50,001 - $100,000 | $5,001 - $15,000 |
| Western Gas Partners LP | $15,001 - $50,000 | $2,501 - $5,000 |
| The Williams Companies Inc. | $50,001 - $100,000 | $2,501 - $5,000 |
| Crestwood Equity | $15,001 - $50,000 | $1,001 - $2,500 |
| Kinder Morgan Inc. | $50,001 - $100,000 | $5,001 - $15,000 |
| Magellan Midstream | $50,001 - $100,000 | $1,001 - $2,500 |
| Targa Resources Partners | $15,001 - $50,000 | $1,001 - $2,500 |
| UBS Account #5 | ||
| AQR Long/Short Equity Fund Class I | $100,001 - $250,000 | None (or less than $201) |
| BlackRock GSO Long Short Credit Income Fund | $100,001 - $250,000 | $5,001 - $15,000 |
| Blackstone Alternative Multi-Strategy Fund Class I | $250,001 - $500,000 | $5,001 - $15,000 |
| John Hancock Global Absolute Return Strategies Class I | $100,001 - $250,000 | $15,001 - $50,000 |
| Otter Creek Long/Short Opportunity Fund Class Institutional | $100,001 - $250,000 | None (or less than $201) |
| BlackRock Emerging Markets Fund | $100,001 - $250,000 | None (or less than $201) |
| Mainstay Marketfield Fund | $100,001 - $250,000 | None (or less than $201) |
| UBS Dynamic Alpha Fund | $100,001 - $250,000 | None (or less than $201) |
| William Blair Macro Allocation Fund | $250,001 - $500,000 | $2,501 - $5,000 |
| UBS Account #6 | ||
| 3M Co. | $15,001 - $50,000 | $1,001 - $2,500 |
| Abbott Laboratories | $1,001 - $15,000 | $201 - $1,000 |
| AbbVie Inc. | $1,001 - $15,000 | $1,001 - $2,500 |
| Air Products & Chemicals Inc. | $1,001 - $15,000 | None (or less than $201) |
| Altria Group Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Amgen Inc. | $1,001 - $15,000 | None (or less than $201) |
| Automatic Data Processing Inc. | $1,001 - $15,000 | $201 - $1,000 |
| BB&T Corp. | $15,001 - $50,000 | $201 - $1,000 |
| BlackRock Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Cisco Systems Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Coca Cola Co. | $15,001 - $50,000 | $201 - $1,000 |
| Crown Castle Intl Corp. | $15,001 - $50,000 | $201 - $1,000 |
| Fastenal Co. | $15,001 - $50,000 | $201 - $1,000 |
| General Electric Co. | $15,001 - $50,000 | $1,001 - $2,500 |
| Hasbro Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Home Depot Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Illinois Tool Works Inc. | $1,001 - $15,000 | None (or less than $201) |
| Johnson & Johnson | $15,001 - $50,000 | $1,001 - $2,500 |
| JP Morgan Chase & Co. | $15,001 - $50,000 | $1,001 - $2,500 |
| Kimberly-Clark Corp. | $1,001 - $15,000 | $1,001 - $2,500 |
| Lockheed Martin Corp. | $15,001 - $50,000 | $201 - $1,000 |
| LyondellBasell Industries N.V. | $1,001 - $15,000 | $201 - $1,000 |
| Maxim Integrated Products Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Medtronic Plc | $1,001 - $15,000 | $201 - $1,000 |
| Merck & Co Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Microsoft Corp. | $15,001 - $50,000 | $1,001 - $2,500 |
| NextEra Energy Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Occidental Petroleum Corp. | $15,001 - $50,000 | $201 - $1,000 |
| Paychex Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Pepsico Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Pfizer Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| Philip Morris International Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| PNC Financial Services Group | $1,001 - $15,000 | $201 - $1,000 |
| T. Rowe Price Group Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Public Storage REIT | $1,001 - $15,000 | $201 - $1,000 |
| QUALCOMM Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Realty Income Corp. | $1,001 - $15,000 | $201 - $1,000 |
| Spectra Energy Corp. | $15,001 - $50,000 | $1,001 - $2,500 |
| Target Corp. | $15,001 - $50,000 | $201 - $1,000 |
| Texas Instruments Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Ventas Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| WEC Energy Group Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Analog Devices Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Emerson Electric Co. | $1,001 - $15,000 | $201 - $1,000 |
| Arthur J Gallagher & Co. | $1,001 - $15,000 | $201 - $1,000 |
| Smucker J.M. Co. | $1,001 - $15,000 | $201 - $1,000 |
| Welltower Inc. REIT | $1,001 - $15,000 | $201 - $1,000 |
| Baxter International Inc. | $15,001 - $50,000 | None (or less than $201) |
| Care Capital Properties | $1,001 - $15,000 | None (or less than $201) |
| Chevron Corp. | $1,001 - $15,000 | $201 - $1,000 |
| Welltower Inc. REIT | None (or less than $1,001) | $201 - $1,000 |
| Hershey Co. | $1,001 - $15,000 | None (or less than $201) |
| Kinder Morgan Inc. | $1,001 - $15,000 | $201 - $1,000 |
| Kraft Foods Group Inc. | $15,001 - $50,000 | $201 - $1,000 |
| Marsh & McLennan Companies Inc. | $1,001 - $15,000 | $201 - $1,000 |
| McDonald's Corp. | $1,001 - $15,000 | None (or less than $201) |
| Novartis AG Sponsored ADR | $15,001 - $50,000 | $201 - $1,000 |
| ONEOK Inc. | $1,001 - $15,000 | None (or less than $201) |
| Proctor & Gamble Co. | $1,001 - $15,000 | $201 - $1,000 |
| US Bancorp | $15,001 - $50,000 | $201 - $1,000 |
| The Williams Companies Inc. | $1,001 - $15,000 | $201 - $1,000 |
| UBS Account #7 | None (or less than $201) | |
| ACS Actividades de Construccion y Servicios ADR | $1,001 - $15,000 | None (or less than $201) |
| Adecco Group AG Unsponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Aegon N.V. ADR | $1,001 - $15,000 | $201 - $1,000 |
| Aercap Holdings N.V. | $1,001 - $15,000 | None (or less than $201) |
| AmBev S.A. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Astellas Pharma Inc. ADR | $1,001 - $15,000 | None (or less than $201) |
| Axa S.A. ADR | $15,001 - $50,000 | $201 - $1,000 |
| Banco Bilbao Vizcaya Argentaria S.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| BHP Billiton PLC Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Carlsberg A/S Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Carrefour S.A. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| China Mobile Ltd. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| CK Hutchison Holdings Ltd. Unsponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| DBS Group Holdings Ltd. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Deutsche Post AG Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| DNB ASA Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| European Aeronaut Unsponsored ADR | $15,001 - $50,000 | $201 - $1,000 |
| Fresenius Medical Care AG & Co. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| HSBC Holdings Plc Sponsored ADR | $1,001 - $15,000 | $1,001 - $2,500 |
| Intesa Sanpaolo S.p.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Julius Baer Group Ltd. ADR | $1,001 - $15,000 | $201 - $1,000 |
| Komatsu Ltd. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Koninklijke Philips N.V. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Mazda Motor Corp. ADR | $1,001 - $15,000 | None (or less than $201) |
| Murata Manufacturing Co. Ltd. ADR | $1,001 - $15,000 | None (or less than $201) |
| Orange S.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Otsuka Holdings Co. Ltd. Unsponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Panasonic Corp. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Royal DSM N.V. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Royal Dutch Shell Plc Class A Sponsored ADR | $15,001 - $50,000 | $1,001 - $2,500 |
| Royal KPN N.V. Sponsored ADR | $1,001 - $15,000 | $1,001 - $2,500 |
| Schlumberger Ltd. | $15,001 - $50,000 | None (or less than $201) |
| Secom Co. Ltd. ADR | $1,001 - $15,000 | None (or less than $201) |
| Seiko Epson Corp. Unsponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Smith & Nephew Plc Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Societe Generale S.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Suntory Beverage & Food Ltd. Unsponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Total S.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Accor S.A. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Adidas AG Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| AstraZeneca Plc Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Atos Origin S.A. ADR | $1,001 - $15,000 | $201 - $1,000 |
| Barclays Plc ADR | $1,001 - $15,000 | $201 - $1,000 |
| Denso Corp. ADR | $1,001 - $15,000 | $201 - $1,000 |
| E.ON SE Sponsored ADR | $1,001 - $15,000 | $1,001 - $2,500 |
| Embraer S.A. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Engie Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Ericsson | $1,001 - $15,000 | $201 - $1,000 |
| Gemalto N.V. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Global Logistic Properties Ltd. | $1,001 - $15,000 | None (or less than $201) |
| IHS Markit Ltd./Markit Ltd. | $1,001 - $15,000 | None (or less than $201) |
| Infineon Technologies AG | $1,001 - $15,000 | $201 - $1,000 |
| Lixil Group Corp. | $1,001 - $15,000 | $201 - $1,000 |
| National Grid Plc | $1,001 - $15,000 | $201 - $1,000 |
| Novartis AG Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Roche Holding Ltd. AG Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Seven & i Holdings Co. Ltd. Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Sky Plc Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Sumitomo Mitshui Banking Corp. | $1,001 - $15,000 | $201 - $1,000 |
| Syngenta AG Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Toray Industries Inc. ADR | $1,001 - $15,000 | None (or less than $201) |
| Unibail-Rodamco SE ADR | $1,001 - $15,000 | $201 - $1,000 |
| Vivendi SA | $1,001 - $15,000 | $1,001 - $2,500 |
| Vodafone Group Plc Sponsored ADR | $1,001 - $15,000 | $1,001 - $2,500 |
| William Hill Plc ADR | $1,001 - $15,000 | $201 - $1,000 |
| WPP Plc Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| America Movil S.A.B. de C.V. ADR | $1,001 - $15,000 | None (or less than $201) |
| Bayer AG Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| BG Group Plc Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Check Point Software Technologies Ltd. | $1,001 - $15,000 | None (or less than $201) |
| Daimler AG | $15,001 - $50,000 | $201 - $1,000 |
| Deutsche Boerse ADR | $1,001 - $15,000 | None (or less than $201) |
| GEA Group AG Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Heineken N.V. Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Hitachi Ltd. ADR | $1,001 - $15,000 | None (or less than $201) |
| Holcim Ltd. | $1,001 - $15,000 | None (or less than $201) |
| Nippon Telegraph and Telephone Corp. | $1,001 - $15,000 | $201 - $1,000 |
| Pearson Plc Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Porsche Automobil Holding SE | $1,001 - $15,000 | $201 - $1,000 |
| Repsol SA Sponsored ADR | $1,001 - $15,000 | $201 - $1,000 |
| Sony Corp. ADR | $1,001 - $15,000 | None (or less than $201) |
| Taiwan Semiconductor Manufacturing Co. Ltd. | $1,001 - $15,000 | None (or less than $201) |
| Trend Micro Inc. | $1,001 - $15,000 | None (or less than $201) |
| UBS Account #8 | ||
| California, bonds | $100,001 - $250,000 | $5,001 - $15,000 |
| Los Angeles, California, bonds | $50,001 - $100,000 | $201 - $1,000 |
| California, bonds | $50,001 - $100,000 | $1,001 - $2,500 |
| Altair Commercial Real Estate Lending Fund LLC (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $250,001 - $500,000 | $15,001 - $50,000 |
| Altair Healthcare Real Estate Fund LLC (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $250,001 - $500,000 | None (or less than $201) |
| First Republic - Eagle Bank Sweep Tier 1 | $250,001 - $500,000 | None (or less than $201) |
| Apollo Co-Investors VIII (B) LP | ||
| Apollo Co-Investors VIII LP | $500,001 - $1,000,000 | None (or less than $201) |
| Apollo European Credit Fund LP | $250,001 - $500,000 | None (or less than $201) |
| Apollo ANRP Co-Investors II (B) LP | ||
| Apollo ANRP Co-Investors II LP | $50,001 - $100,000 | None (or less than $201) |
| Solamere Capital Fund II LP (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $250,001 - $500,000 | None (or less than $201) |
| Solamere Holdco I LLC (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $1,001 - $15,000 | $100,001 - $1,000,000 |
| Solamere Portfolio Company Investments II LLC (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $250,001 - $500,000 | None (or less than $201) |
| Solamere 2016 Holdco I LLC (Underlying assets are not disclosed due to a preexisting confidentiality agreement. I will divest this asset if confirmed.) | $250,001 - $500,000 | None (or less than $201) |
| Residential Real Estate, Santa Barbara, CA | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Residential Real Estate, Eagan, MN | $250,001 - $500,000 | $5,001 - $15,000 |
| Undeveloped Land, Brentwood, TN | $1,000,001 - $5,000,000 | None (or less than $201) |
| Fixed Annuity from Family Irrevocable Trust (The underlying holdings of the trust are: U.S. bank account (cash) and residential real estate, Ojai, California.) | $500,001 - $1,000,000 | None (or less than $201) |
| UBS Dependent Child Trust #1 | ||
| Alerian MLP ETF | $15,001 - $50,000 | $2,501 - $5,000 |
| Bank of America Corp. | $1,001 - $15,000 | None (or less than $201) |
| CBRE Clarion Global Real Estate Income Fund | $50,001 - $100,000 | $5,001 - $15,000 |
| Driehaus Emerging Markets Growth Fund | $15,001 - $50,000 | None (or less than $201) |
| Guggenheim Directional Allocation Fund Class C | $15,001 - $50,000 | None (or less than $201) |
| Guggenheim S&P 500 Pure Growth ETF | $50,001 - $100,000 | $201 - $1,000 |
| Guggenheim S&P 500 Pure Value ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| Intel Corp. | $1,001 - $15,000 | None (or less than $201) |
| iShares MSCI EAFE ETF | $50,001 - $100,000 | $2,501 - $5,000 |
| iShares MSCI EAFE Small-Cap ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| SPDR S&P Dividend ETF | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard FTSE Europe ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Mid-Cap ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard Small-Cap ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| Virtus Emerging Markets Opportunities Fund Class C | $15,001 - $50,000 | None (or less than $201) |
| WisdomTree Japan Hedged Equity Fund ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Ares Dynamic Credit Allocation Fund | $15,001 - $50,000 | $1,001 - $2,500 |
| Avenue Income Credit Strategies Fund | $15,001 - $50,000 | $2,501 - $5,000 |
| Eaton Vance Limited Duration Income Fund | $15,001 - $50,000 | $2,501 - $5,000 |
| Guggenheim Credit Allocation Fund | $1,001 - $15,000 | $201 - $1,000 |
| Nuveen Credit Strategies Income Fund | $15,001 - $50,000 | $1,001 - $2,500 |
| Third Avenue Focused Credit Fund Institutional Class | $1,001 - $15,000 | $5,001 - $15,000 |
| ETRACS CMCI Total Return ETN | $1,001 - $15,000 | None (or less than $201) |
| Credit Suisse X-Links Cushing MLP Infrastructure ETN | $15,001 - $50,000 | $2,501 - $5,000 |
| UBS Dependent Child Trust #2 | ||
| Alerian MLP ETF | $15,001 - $50,000 | $2,501 - $5,000 |
| Bank of America Corp. | $1,001 - $15,000 | None (or less than $201) |
| CBRE Clarion Global Real Estate Income Fund | $15,001 - $50,000 | $2,501 - $5,000 |
| Driehaus Emerging Markets Growth Fund | $15,001 - $50,000 | None (or less than $201) |
| Guggenheim Directional Allocation Fund Class C | $50,001 - $100,000 | None (or less than $201) |
| Guggenheim S&P 500 Pure Value ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Intel Corp. | $1,001 - $15,000 | None (or less than $201) |
| iShares MSCI EAFE ETF | $50,001 - $100,000 | $1,001 - $2,500 |
| iShares MSCI EAFE Small-Cap ETF | $15,001 - $50,000 | $201 - $1,000 |
| SPDR S&P Dividend ETF | $100,001 - $250,000 | $5,001 - $15,000 |
| Twitter Inc. | $1,001 - $15,000 | None (or less than $201) |
| Vanguard FTSE Europe ETF | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Growth ETF | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard Mid-Cap ETF | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Small-Cap ETF | $100,001 - $250,000 | $1,001 - $2,500 |
| Virtus Emerging Markets Opportunities Fund Class C | $15,001 - $50,000 | None (or less than $201) |
| Walt Disney Co. | $1,001 - $15,000 | None (or less than $201) |
| WisdomTree Japan Hedged Equity Fund ETF | $1,001 - $15,000 | $201 - $1,000 |
| Ares Dynamic Credit Allocation Fund | $1,001 - $15,000 | $1,001 - $2,500 |
| Eaton Vance Limited Duration Income Fund | $1,001 - $15,000 | $1,001 - $2,500 |
| Nuveen Credit Strategies Income Fund | $1,001 - $15,000 | $201 - $1,000 |
| Third Avenue Focused Credit Fund Institutional Class | $1,001 - $15,000 | $5,001 - $15,000 |
| ETRACS CMCI Total Return ETN | $1,001 - $15,000 | None (or less than $201) |
| Credit Suisse X-Links Cushing MLP Infrastructure ETN | $15,001 - $50,000 | $1,001 - $2,500 |
| Gold and silver coins and ingots | $15,001 - $50,000 | None (or less than $201) |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| CKE Restaurants Holdings, Inc. | Anaheim, California | CKE Restaurants is controlled by CKE Holdings, L.P. (“CKE LP”). I have a partnership interest in CKE LP, in the form of Class A Units and vested and unvested Class B Units. Upon resignation, I will forfeit my unvested Class B Units. CKE LP and one of its subsidiaries, CKE Holding Corporation, Inc. (“CKE CORP”), will purchase my Class A Units and my vested Class B Units. To accomplish this purchase, CKE LP will issue me an amount of CKE CORP stock estimated to be equal in value to my Class A Units and vested Class B Units, based on an internal valuation of the company as of December 31, 2016. CKE CORP will then purchase this CKE CORP stock from me. I will receive full payment from CKE CORP for the purchase of this stock before I assume the duties of the position of Secretary, or I will forfeit any portion of the payment that I have not received and any stock that I continue to hold as of the date I assume the duties of the position of Secretary. | Feb. 15, 2017 |
| CKE Restaurants Holdings, Inc. | Anaheim, California | Before I assume the duties of the position of Secretary, I will receive my 2016 bonus. I will forfeit this bonus if I do not receive it before I assume the duties of the position of Secretary. | Dec. 16, 2013 |
| CKE Restaurants Holdings, Inc. | Anaheim, California | Before I assume the duties of the position of Secretary, I will receive outstanding relocation benefits owed to reimburse me for moving to Tennessee in 2016, including costs associated with the sale of my house that was finalized in 2017. I will forfeit any portion of these relocation benefits that I have not received as of the date I assume the duties of the position of Secretary. | March 16, 2016 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| UBS Financial Services | Mortgage on Personal Residence | $1,000,001 - $5,000,000 | 2.134% | 2013 |
| UBS Financial Services | Mortgage on Personal Residence | $500,001 - $1,000,000 | 2.63% | 2015 |
| UBS Financial Services | Exercised Line of Credit | $1,000,001 - $5,000,000 | 2.011% | 2012 |
| American Express | Credit Card | $50,001 - $100,000 | 18.49% | 2016 |
| Apollo European Credit Fund LP (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $100,001 - $250,000 | N/A | 2016 |
| Apollo Co-Investors VIII (B) LP (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $250,001 - $500,000 | N/A | 2016 |
| Apollo ANRP Co-Investors II (B) LP (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $250,001 - $500,000 | N/A | 2016 |
| Solamere Capital Fund II LP (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $500,001 - $1,000,000 | N/A | 2016 |
| Solamere Portfolio Company Investments II LLC (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $15,001 - $50,000 | N/A | 2016 |
| Altair Healthcare Real Estate Fund LLC (This capital call represents a contingent liability; it will become due only if the fund manager triggers the call. I have no capital calls that are currently outstanding and am not aware of any capital calls that will be triggered in the foreseeable future. My obligation to satisfy this capital call will terminate when I divest my interest in this fund pursuant to my ethics agreement.) | Capital Call | $100,001 - $250,000 | N/A | 2016 |
Do you know something about Andrew F. Puzder? Send us an email at [email protected] or send a Signal message to 347-244-2134.
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