Financial Disclosure Details - OGE Form 278e (07/30/2021)

Positions Held Outside United States Government

#
Organization
City
Position
To
1
McLean, Virginia
Corporate Compliance and Ethics
Present

Employment Assets & Income and Retirement Accounts

#
Description
Value
Income Type
Income Amount
1
Capital One Financial Corporation
Salary/Bonus
$516,715
2
Capital One Financial Corporation, unvested restricted stock units
$100,001 - $250,000
None (or less than $201)
3
Capital One Financial Corporation, ESPP account
$15,001 - $50,000
Dividends Capital Gains
$5,001 - $15,000
4
Capital One Financial Corporation, deferred compensation
4.1
MERCER US Large Cap Equity Fund (MLCGX)
$15,001 - $50,000
None (or less than $201)
4.2
MERCER US Small/Mid Cap Equity Fund (MSCGX)
$15,001 - $50,000
None (or less than $201)
4.3
MERCER Non-US Core Equity Fund (MNCEX)
$1,001 - $15,000
None (or less than $201)
5
IRA #1
5.1
U.S. brokerage account sweep #1 (cash)
$1,001 - $15,000
None (or less than $201)
5.2
American Funds Growth Fund of America GFFFX
$15,001 - $50,000
None (or less than $201)

Employment Agreements and Arrangements

#
Employer Or Party
City
Status And Terms
Date
1
McLean, Virginia
Restricted Stock Units: Per firm policy, I am entitled to receive RSU amounts as part of my annual bonus. The RSU award is based on my performance review. Each award vests over the course of three years. Unvested RSU awards are forfeited upon separation from the firm. If I depart before the first Board meeting of the year (usually late February), I will be ineligible for further RSU awards.
2/2018
2
McLean, Virginia
Employee Stock Purchase Plan: My participation in the employee stock purchase plan will cease upon my separation from the firm.
3/2017
3
McLean, Virginia
Capital One 401(k) Plan: I will continue to participate in this defined contribution plan. The plan sponsor will not make further contributions after my separation.
3/2017
4
McLean, Virginia
Deferred Compensation Plan: As per firm policy, I am eligible to participate in the firm's deferred compensation plan. Per firm policy, Capital One will distribute this compensation to me within three months of my separation from the firm.
3/2017

Sources of Compensation Exceeding $5,000 in a Year

#
Source
City
Duties
1
McLean, Virginia
Head of Corporate Investigations, Compliance & Ethics

Spouse's Employment Assets & Income and Retirement Accounts

#
Description
Value
Type
Amount
Nothing reported in this section

Other Assets and Income

#
Description
Value
Type
Amount
1
U.S. Bank #1 (cash account #1)
$1,001 - $15,000
None (or less than $201)
2
U.S. Bank #1 (cash account #2)
$50,001 - $100,000
None (or less than $201)
3
U.S. Bank #2 (cash)
$50,001 - $100,000
Interest
$1,001 - $2,500
4
U.S. Bank #1 (cash account #3)
$1,001 - $15,000
None (or less than $201)
5
Genworth Financial, Inc. (GNW) Universal Life Insurance
$1,001 - $15,000
None (or less than $201)
6
Uber Technologies, Inc. (UBER)
None (or less than $1,001)
Capital Gains
$1,001 - $2,500

Transactions

#
Description
Type
Date
Amount
Nothing reported in this section

Liabilities

#
Creditor
Amount
Incurred
Term
1
Well Fargo
$500,001 - $1,000,000
2020
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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