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.
Joseph Otting
Treasury (joined: Nov. 16, 2017)
Comptroller of the Currency | Financial Disclosure »
Former Positions Outside Government
- 3495 Maplewood LLC Co-Managing Partner
- CIT Group, Inc. Co-President of the Holding Company, CEO and Director CIT Bank
- California Chamber of Commerce Director, Chairman of the Board (Received no compensation for performing this role)
- Golfers Tan Co-Managing Partner
- IMB Holdco DBA One West Bank President
- Jonathan Club Director
- Killebrew-Thompson Memorial Director and Chairman of the Board (Received no compensation for performing this role)
- Lake Blvd LLC Managing Partner
- Ocean Blvd LLC Managing Partner
- OneWest Bank CEO
- Otting Family Revocable Trust Trustee
- SHGC LLC Co -Managing Partner
- SHGC LLC 2011 Co-Managing Partner
Former Compensation Sources
- CIT Co-President of CIT Holding Company and President/CEO OF CIT Bank N.A.
- OneWest Bank/IMB Holdco Was President of IMB Holdco and President/CEO and member of the board of OneWest Bank N.A.
Employment Assets
| Description | Value | Income |
|---|---|---|
| Residential Rental - Canon Perdido, Las Vegas, NV. 89141 | $250,001 - $500,000 | $15,001 - $50,000 |
| Ocean Blvd LLC: Commercial property, residential property, golf course, spa and tennis facility, Las Vegas, NV | ||
| SHGC, LLC: Commercial property, residential property, golf course, spa and tennis facility | ||
| Southern Highlands Golf Club, LLC (golf club, Las Vegas, NV) | $15,001 - $50,000 | None (or less than $201) |
| Southern Highlands Golf Club 2011, LLC | ||
| Southern Highlands Golf Club LLC (golf club, Las Vegas, NV) | $5,000,001 - $25,000,000 | $50,001 - $100,000 |
| Spa At Southern Highlands LLC (spa, Las Vegas, NV) | $5,000,001 - $25,000,000 | None (or less than $201) |
| Golf Operations, Inc: Golf course operations entity, Las Vegas, NV | $1,001 - $15,000 | None (or less than $201) |
| SHGC Villas, LLC: Residential real estate development entity, Las Vegas, NV | $15,001 - $50,000 | None (or less than $201) |
| Lake Blvd LLC | ||
| Residential Rental - Trussell, Las Vegas, NV | $250,001 - $500,000 | $15,001 - $50,000 |
| Residential Rental - Trussell, Las Vegas, NV. 89141 | $250,001 - $500,000 | $15,001 - $50,000 |
| Residential Rental - Livorno, Las Vegas, NV 89141 | $250,001 - $500,000 | $15,001 - $50,000 |
| Residential Rental - White Hills, Las Vegas, NV 89141 | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Residential Rental - Del Rudini St, Las Vegas, NV. 89141 | $250,001 - $500,000 | $15,001 - $50,000 |
| Residential Rental - Del Rudini St, Las Vegas, NV. 89141 | $250,001 - $500,000 | $15,001 - $50,000 |
| Residential Rental - Maplewood, Los Angeles, CA | $250,001 - $500,000 | $15,001 - $50,000 |
| Notes Receivable | $500,001 - $1,000,000 | $50,001 - $100,000 |
| Residential Rental - Venice Blvd, Venice, CA | $500,001 - $1,000,000 | $15,001 - $50,000 |
| CIT Group, Inc. Restricted stock units | $5,000,001 - $25,000,000 | $1,827,739 |
| 3495 Maplewood LLC | ||
| Golfer's Tan LLC | ||
| Multi- Family Residential Rental - Venice, CA | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Residential Rental - Rosewood, Los Angeles, CA | $250,001 - $500,000 | $5,001 - $15,000 |
| Residential Rental - Cupecoy, Las Vegas, NV | $250,001 - $500,000 | $15,001 - $50,000 |
| US Bancorp, defined benefit plan (value not readily ascertainable): eligible for $59,868 per year at age 65 | None (or less than $201) | |
| Cit Group, Inc. | $10,540,569 |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| UBS - Dividend Ruler | ||
| US Bank Cash Deposits | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| GWK SCC | ||
| ALG Alamo Group | $1,001 - $15,000 | $1,001 - $2,500 |
| ACC American Campus Communities | $15,001 - $50,000 | $1,001 - $2,500 |
| ABCB Ameris Bankcorp | $15,001 - $50,000 | $2,501 - $5,000 |
| AMSF Amerisafe, Inc. | $15,001 - $50,000 | $2,501 - $5,000 |
| BETR Amplify Snack Brands Inc | $1,001 - $15,000 | $201 - $1,000 |
| BLKB Blackbaud, Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| CAA CalAtlantic Group Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| CALD Callidus Software Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| CMD Cantel Medical Corp. | $15,001 - $50,000 | $2,501 - $5,000 |
| CTLT Catalent Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| CATY Cathay General Bancorp. | $15,001 - $50,000 | $1,001 - $2,500 |
| CGNX Cognex Corporation | $15,001 - $50,000 | $2,501 - $5,000 |
| CNS Cohen & Steers, Inc. | $15,001 - $50,000 | $2,501 - $5,000 |
| CMP Compass Minerals International, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| COTV Cotiviti Holdings Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| DPLO Diplomat Pharmacy Inc | $1,001 - $15,000 | $201 - $1,000 |
| DRQ Dril-Quip, Inc. | $1,001 - $15,000 | $1,001 - $2,500 |
| EDR Education Realty Trust, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| EPAM EPAM Systems Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| EXLS Exl Service Holdings, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| FIVE Five Below Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| FTK Flotek Industries Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| FET Forum Energy Technologies Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| GBCI Glacier Bancorp, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| GMED Globus Medical Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| LOPE Grand Canyon Education Inc | $50,001 - $100,000 | $5,001 - $15,000 |
| Health Care Services Group, Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| HTLD Heartland Express, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| HEI Heico Corp | $15,001 - $50,000 | $2,501 - $5,000 |
| HEI.A Heico Corp | $15,001 - $50,000 | $1,001 - $2,500 |
| HELE Helen of Troy Limited | $15,001 - $50,000 | $1,001 - $2,500 |
| HIBB Hibbett Sports, Inc. | $1,001 - $15,000 | $1,001 - $2,500 |
| HUBS HubSpot Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| IBKC IBERIABANK Corp | $15,001 - $50,000 | $1,001 - $2,500 |
| ICUI ICU Medical, Incorporated | $15,001 - $50,000 | $2,501 - $5,000 |
| IDA IDACORP Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| IPXL Impax Laboratories Inc | $1,001 - $15,000 | $201 - $1,000 |
| INCR INC Research Holdings Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| KS KapStone Paper and Packaging Corp | $15,001 - $50,000 | $1,001 - $2,500 |
| LAD Lithia Motors Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| LOGM LogMein Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| MTSI MACOM Technology Solutions Holdings Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| MKTX MarketAxess Holdings Inc | $50,001 - $100,000 | $5,001 - $15,000 |
| MTDR Matador Resources Co | $15,001 - $50,000 | $2,501 - $5,000 |
| MDSO Medidata Solutions Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| MINI Mobile Mini Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| MNRO Monro Muffler Brake Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| NHI National Health Investors Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| NWE NorthWestern Corp | $15,001 - $50,000 | $2,501 - $5,000 |
| OXM Oxford Industries Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| PEB Pebblebrook Hotel Trust | $1,001 - $15,000 | $201 - $1,000 |
| POWI Power Integrations Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| PRAA Pra Group Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| PRIM Primoris Services Corp | $15,001 - $50,000 | $2,501 - $5,000 |
| PRA ProAssurance Corporation | $15,001 - $50,000 | $1,001 - $2,500 |
| PFPT Proofpoint Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| ROLL RBC Bearings Incorporated | $15,001 - $50,000 | $1,001 - $2,500 |
| RBA Ritchie Bros Auctioneers inc | $15,001 - $50,000 | $1,001 - $2,500 |
| ROG Rogers Corporation | $1,001 - $15,000 | $1,001 - $2,500 |
| SLGN Silgan Holdings Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| SLAB Silicon Laboratories | $15,001 - $50,000 | $1,001 - $2,500 |
| STAG Stag Industries Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| Stifel Financial Corp | $15,001 - $50,000 | $1,001 - $2,500 |
| SUI Sun Communities Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| TXRH Texas Roadhouse Inc | $15,001 - $50,000 | $2,501 - $5,000 |
| TTC Toro Co | $15,001 - $50,000 | $2,501 - $5,000 |
| TUP Tupperware Brands Corporation | $15,001 - $50,000 | $1,001 - $2,500 |
| TYL Tyler Technologies, Inc. | $15,001 - $50,000 | $2,501 - $5,000 |
| UFPI Universal Forest Products, Inc. | $15,001 - $50,000 | $2,501 - $5,000 |
| UBSI United Bankshares, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| ECOL US Ecology, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| WDFC WD-40 Company | $1,001 - $15,000 | $1,001 - $2,500 |
| WBS Webster Financial Corporation | $15,001 - $50,000 | $2,501 - $5,000 |
| J. W. Mays, Inc. - Common Stock | $15,001 - $50,000 | $2,501 - $5,000 |
| WWW Wolverine World Wide | $15,001 - $50,000 | $1,001 - $2,500 |
| WMGI Wright Medical Group | $15,001 - $50,000 | $2,501 - $5,000 |
| CEB Inc Com | $15,001 - $50,000 | $1,001 - $2,500 |
| US Brokerage Account (cash) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Bond Portfolio | ||
| California St Bond | $100,001 - $250,000 | $5,001 - $15,000 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| California State Bond | $100,001 - $250,000 | $1,001 - $2,500 |
| Joint Hybrid Securities | ||
| JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 | $250,001 - $500,000 | $15,001 - $50,000 |
| Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) matures 2/28/18 | $250,001 - $500,000 | $15,001 - $50,000 |
| Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Black rock Large Cap Value | $500,001 - $1,000,000 | $50,001 - $100,000 |
| USB: US Bank Stock | $500,001 - $1,000,000 | $50,001 - $100,000 |
| Accenture plc | $50,001 - $100,000 | $5,001 - $15,000 |
| BLK: Blackrock | $50,001 - $100,000 | $5,001 - $15,000 |
| BTI: British American Tobacco | $50,001 - $100,000 | $5,001 - $15,000 |
| CVX Chevron | $100,001 - $250,000 | $5,001 - $15,000 |
| CB: Chubb Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| KO: Coca-Cola | $50,001 - $100,000 | $5,001 - $15,000 |
| CL: Colgate | $50,001 - $100,000 | $5,001 - $15,000 |
| CR: Crane Co | $50,001 - $100,000 | $5,001 - $15,000 |
| CVS: CVS Health Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| DEO: Diageol PLC | $50,001 - $100,000 | $5,001 - $15,000 |
| HD: Home Depot | $50,001 - $100,000 | $5,001 - $15,000 |
| INTC: Intel Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| IVZ: Invesco LTD | $50,001 - $100,000 | $5,001 - $15,000 |
| JCI: Johnson Controls | $50,001 - $100,000 | $5,001 - $15,000 |
| LMT: Lockheed Martin Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| MMC: Marsh and McLennan COS Inc | $50,001 - $100,000 | $5,001 - $15,000 |
| MCD: McDonalds Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| MDT: Medtronic Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| MSFT: Microsoft Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| NEE: Nextera Energy Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| PX: Praxair Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| ROK: Rockwell Automation Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| SU: Suncor Energy Inc | $50,001 - $100,000 | $5,001 - $15,000 |
| TXN: Texas Instruments | $50,001 - $100,000 | $5,001 - $15,000 |
| UNP: Union Pacific Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| UTX: United Technologies Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| VFC: VF Corp | $50,001 - $100,000 | $5,001 - $15,000 |
| Bahl and G LCG | ||
| ABT Abbott Laboratories | $1,001 - $15,000 | $1,001 - $2,500 |
| ACN Accenture Plc | $1,001 - $15,000 | $201 - $1,000 |
| APD Air Products & Chemicals, Inc. | $1,001 - $15,000 | $201 - $1,000 |
| MO Altria Group Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| AMGN Amgen, Inc. | $1,001 - $15,000 | $201 - $1,000 |
| AAPL Apple, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| BBT BB&T Corporation | $1,001 - $15,000 | $1,001 - $2,500 |
| BDX Becton Dickinson and Co. | $1,001 - $15,000 | $1,001 - $2,500 |
| BLK BlackRock, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| AVGO Broadcom Ltd | $15,001 - $50,000 | $1,001 - $2,500 |
| BR Broadridge Financial Solutions, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| CDW CDW Corp | $1,001 - $15,000 | $201 - $1,000 |
| CTAS Cintas Corporation | $1,001 - $15,000 | $1,001 - $2,500 |
| CSCO Cisco Systems, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| CMCSA Comcast Corporation | $15,001 - $50,000 | $1,001 - $2,500 |
| CCI Crown Castle International Corp. | $1,001 - $15,000 | $201 - $1,000 |
| EFX Equifax Inc. | $1,001 - $15,000 | $201 - $1,000 |
| XOM Exxon Mobil Corporation | $1,001 - $15,000 | $1,001 - $2,500 |
| FAST Fastenal Company | $1,001 - $15,000 | $1,001 - $2,500 |
| GWW WW Grainger Inc | $1,001 - $15,000 | $201 - $1,000 |
| HD Home Depot Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| HON Honeywell International Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| JNJ Johnson & Johnson | $1,001 - $15,000 | $201 - $1,000 |
| JPM JPMorgan Chase & Co. | $15,001 - $50,000 | $2,501 - $5,000 |
| KR Kroger Co. | $1,001 - $15,000 | $1,001 - $2,500 |
| EL Estee Lauder Companies Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| MKTX Markettaxes Holdings Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| MMC Marsh & McLennan Companies, Inc. | $1,001 - $15,000 | $1,001 - $2,500 |
| MDT Medtronic Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| MRK Merck & Co., Inc. | $1,001 - $15,000 | $1,001 - $2,500 |
| MSFT Microsoft Corporation | $15,001 - $50,000 | $2,501 - $5,000 |
| NEE NextEra Energy Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| OXY Occidental Petroleum Corporation | $1,001 - $15,000 | $201 - $1,000 |
| PEP PepsiCo, Inc. | $15,001 - $50,000 | $1,001 - $2,500 |
| PNC PNC Financial Services Group Inc | $15,001 - $50,000 | $1,001 - $2,500 |
| SLB Schlumberg Limited | $1,001 - $15,000 | $201 - $1,000 |
| SBUX Starbucks Corporation | $1,001 - $15,000 | $201 - $1,000 |
| SYK Styker Corporation | $15,001 - $50,000 | $1,001 - $2,500 |
| TXN Texas Instruments Incorporated | $15,001 - $50,000 | $1,001 - $2,500 |
| TJX TJX Companies Inc | $1,001 - $15,000 | $201 - $1,000 |
| UNH UnitedHealth Group Inc | $1,001 - $15,000 | $1,001 - $2,500 |
| UTX United Technologies Corporation | $1,001 - $15,000 | $1,001 - $2,500 |
| DIS Walt Disney Co | $1,001 - $15,000 | $201 - $1,000 |
| JO Sole Index | ||
| EFA: iShares MSCI EAGE ETF | $50,001 - $100,000 | $5,001 - $15,000 |
| IWF: iShares Russell 1000 Growth ETF | $100,001 - $250,000 | $5,001 - $15,000 |
| IWD: iShares Russell 1000 Value ETF | $50,001 - $100,000 | $5,001 - $15,000 |
| IWM: iShares Russell 2000 ETF | $100,001 - $250,000 | $15,001 - $50,000 |
| IVW: iShares S&P Growth ETF | $50,001 - $100,000 | $5,001 - $15,000 |
| IVE: iShares S&P 500 Value ETF | $50,001 - $100,000 | $5,001 - $15,000 |
| Brokerage Accout - CIT Group, Inc. Stock | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| Brokerage Account - CIT Group, Inc. Calls (These represent 450 call contracts (representing 45,000 shares) sold against my CIT sock, they currently have a negative value of $59,625 and the calls expire 1/19/18. The strike price is 52.50.) | $15,001 - $50,000 | |
| Principal Life Whole Life Insurance Policy | $1,001 - $15,000 | $201 - $1,000 |
| PFG: Principal Financial | $1,001 - $15,000 | $201 - $1,000 |
| Joint Index ETF | ||
| ELY: Consumer Discretionary SPDR | $15,001 - $50,000 | $2,501 - $5,000 |
| XLP: Consumer Staples Select Sector SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLE: Energy Select Sector SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLF: Financial Select Sector SPDR | $15,001 - $50,000 | $2,501 - $5,000 |
| XLI: Industrial Select Sector SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| IJH: iShares Core S&P Mid Cap | $250,001 - $500,000 | $15,001 - $50,000 |
| EFA: iShares MSCI EAFE Index | $500,001 - $1,000,000 | $50,001 - $100,000 |
| IWF: iShares Russell 1000 Growth | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| IWD: iShares Russell 1000 Value Index | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| IWM: iShares Russell 2000 Index | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| IVW: iShares S&P Growth Index | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| IVE: iShares S&P 500 Value | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| IYZ: iShares US Telecommunications | $1,001 - $15,000 | $201 - $1,000 |
| XLRE: Real Estate Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLK: Technology Select Sector SPDR | $50,001 - $100,000 | $2,501 - $5,000 |
| XLU: Utilities SPDR | $1,001 - $15,000 | $201 - $1,000 |
| IJH: iShares Core S&P Mid Cap | $250,001 - $500,000 | $15,001 - $50,000 |
| ELV: Health Care Select Sector SPDR | $50,001 - $100,000 | $2,501 - $5,000 |
| XLB: Materials Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 |
| JMO Roth IRA | ||
| JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 | $100,001 - $250,000 | $5,001 - $15,000 |
| Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) | $50,001 - $100,000 | $5,001 - $15,000 |
| Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 | $50,001 - $100,000 | $5,001 - $15,000 |
| XLY: Consumer Discretinonary SPDR | $15,001 - $50,000 | $2,501 - $5,000 |
| XLP: Consumers Staple SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLE: Energy Select SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLF: Financial Select SPDR | $15,001 - $50,000 | $2,501 - $5,000 |
| XLV: Health Care SPDR | $15,001 - $50,000 | $2,501 - $5,000 |
| XLI: Industrial Select SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| IMH: iShares Core Midcap | $100,001 - $250,000 | $15,001 - $50,000 |
| IWF: iShares Russell 1000 | $100,001 - $250,000 | $15,001 - $50,000 |
| IWD: iShares Russell Value | $100,001 - $250,000 | $15,001 - $50,000 |
| IWM: iShares Russell 2000 | $100,001 - $250,000 | $15,001 - $50,000 |
| IYZ: iShares US telecommunications | $1,001 - $15,000 | $201 - $1,000 |
| XLB: Materials Select SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLRE: Real Estate SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLK: Technology SPDR | $50,001 - $100,000 | $5,001 - $15,000 |
| XLU: Utilities SPDR | $1,001 - $15,000 | $201 - $1,000 |
| JMO IRA | ||
| IWF: iShares Russell 1000 Growth Index | $100,001 - $250,000 | $5,001 - $15,000 |
| IWM: iShares Russell 2000 Index | $50,001 - $100,000 | $5,001 - $15,000 |
| XLY: Consumer Discretionary DPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLP: Consumer Staples Select SPDR | $1,001 - $15,000 | $1,001 - $2,500 |
| XLE: Energy Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLF: Financial Select Sector SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLV: Health Care SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLI: The Industrial Select Sector SPDR | $1,001 - $15,000 | $1,001 - $2,500 |
| IYZ: iShares iShares Russell 2000 Index | $1,001 - $15,000 | $201 - $1,000 |
| XLB: Materials Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLRE: Real Estate Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 |
| XLK: Technology Select Sector SPDR | $15,001 - $50,000 | $1,001 - $2,500 |
| XLU: Utilities SPDR | $1,001 - $15,000 | $201 - $1,000 |
| JPMORGAN Chase Financial C-Gears Note tracks Financial Select Sector SPDR (XLF) matures 2/28/18 | $15,001 - $50,000 | $2,501 - $5,000 |
| Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) matures 2/28/18 | $15,001 - $50,000 | $2,501 - $5,000 |
| Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) matures 2/28/18 | $15,001 - $50,000 | $1,001 - $2,500 |
| IJH: iShares S&P Midcap | $50,001 - $100,000 | $5,001 - $15,000 |
| Wilshire Country Club Membership | $50,001 - $100,000 | None (or less than $201) |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| CIT Group, Inc | Pasadena, California | Per my compensation agreement, my shares of CIT restricted stock units continue to vest after my departure from CIT. All shares are scheduled to be vested and delivered by August of 2018. Before I assume the duties of the position, CIT will accelerate and deliver all unvested restricted shares of CIT stock | Aug. 16, 2015 |
| USB | Minnepolis, Minnesota | I will continue to participate in this defined benefit plan. | Nov. 15, 2012 |
| CIT Group Inc. | Pasadena, California | Restrictive Covenant Agreement - Filer is subject to customary non-compete and non-solicitation provisions until August 3, 2018. | Aug. 16, 2015 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| UBS | Mortgage (investment/ren tal property) | $500,001 - $1,000,000 | 3.51 | 2014 |
| UBS | Mortgage (investment/ren tal property) | $1,000,001 - $5,000,000 | 2.68 | 2015 |
| UBS | Mortgage on Personal Residence | $1,000,001 - $5,000,000 | 2.326 | 2013 |
Spouse's Employment Assets
| Description | Value | Income Type | Income Amount |
|---|---|---|---|
| JP Morgan Chase Financia C-Gear Note track Financial Select Sector SPDR (XLF) | $15,001 - $50,000 | Capital Gains | $1,001 - $2,500 |
| Royal Bank of Canada C-Gears Note tracks iShares MSCI Emerging Markets Index (EEM) | $15,001 - $50,000 | Capital Gains | $1,001 - $2,500 |
| Royal Bank of Canada C-Gears Note tracks Energy Select Sector SPDR (XLE) | $15,001 - $50,000 | Capital Gains | $1,001 - $2,500 |
| XLY: Consumer Discretionary SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| XLP: Consumer Staples Select SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| XLE: Energy Select SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| XLF: Financial Select Sector SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| XLV: Health Care SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| XLI: The Industrial Select Sector SPDR | $1,001 - $15,000 | $1,001 - $2,500 | |
| IJH: iShares Core S&P Mid Cap (Obligor is 3495 Maplewood LLC a partnership where I am a 25% owner.) | $50,001 - $100,000 | $2,501 - $5,000 | |
| IWF: iShares Russell 1000 Growth Index | $50,001 - $100,000 | $5,001 - $15,000 | |
| IWD: iShares Russell 1000 Value Index | $50,001 - $100,000 | $5,001 - $15,000 | |
| IWM: iShares Russell 2000 Index | $50,001 - $100,000 | $5,001 - $15,000 | |
| IYZ: iShares Dow Jones US Telecom | $1,001 - $15,000 | $201 - $1,000 | |
| XLB: Materials Select Sector SPDR0 | $1,001 - $15,000 | $201 - $1,000 | |
| XLRE: Real Estate Select Sector SPDR | $1,001 - $15,000 | $201 - $1,000 | |
| XLK: Technology Select Sectore SPDR | $1,001 - $15,000 | $201 - $1,000 | |
| XLU: Utilities SPDR | $1,001 - $15,000 | $201 - $1,000 | |
| Union Bank Defined Benefit Plan (Value not readily ascertainable) | None (or less than $201) |
Do you know something about Joseph Otting? Send us an email at [email protected] or send a Signal message to 347-244-2134.
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