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Andrew F. Puzder Nomination or Appointment Failed

Labor

Secretary of Labor | Financial Disclosure »

Former Positions Outside Government

Former Compensation Sources

See more financial disclosure details ⬇

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
Enlink Midstream Partners MLP $50,001 - $100,000 $2,501 - $5,000
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
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

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