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Transcription

1 Puerto Rico Financial Oversight & Management Board Filer's Name JOSE B. CARRION RUBERT Certification: l certify that the statements l have made on this form and any attachments are true, complete, and correct to the best of my knowledge. Title of Position for Which Filing PRESIDENT OF PROMESA Signature of Filer Date (MM/DD/YYYY) Notice of Extension (indicate the number of days if applicable) j -1. 1P 07/12/2017 Signature of Ethics Official (if required) Date (MM/DD/YYYY) Comments of Ethics Official Ok c:22/2;02121/ IA G tl- k M (a Emc't--1) + a 0 Am-1) s Report any purchase, sale, or exchange by you, your spouse, or dependent child of stocks, bonds, commodity futures, and other securities if the amount of the transaction exceeded $1,000. You do not need to report: (1) mutual funds and other excepted investment funds; (2) certificates of deposit, savings or checking accounts, and money market accounts; (3) U.S. Treasury bills, notes, and bonds; (4) Thrift Savings Plan accounts; (5) real property; and (6) transactions that are solely by and between you, your spouse, or dependent child. Definitions An "excepted investment fund" is an investment fund that is: (1) independently managed, (2) "widely held," and (3) either "publicly traded or available or "widely diversified." For purposes of the excepted investment fund definition, an investment fund is: "independently managed" if you lack the ability to control the fund; "widely held" if the fund has at least 100 natural persons as direct or indirect investors; "publicly traded or available if it is listed on a national exchange (NYSE or NASDAQ) or a regional exchange in the United States; and "widely diversified" if it: (1) holds no more than 5% of the value of its portfolio in the securities of any issuer (other than the United States Government) and (2) holds no more than 20% of the value of its portfolio in any particular economic or geographic sector. Deadlines You must file your report within 30 days of when you receive notification of a transaction but not later than 45 days after the transaction. These deadlines do not apply to any voluntary additional disclosures you make. Filer's Name: Jose Carrion 1

2 Puerto Rico Financial Oversight & Management Board Identification of Assets SEE SCHEDULES 1-7 ATTACHED JUNIOR INVESTMENT CORPORATION Date SEE SCHEDULES 1-7 ATTACHED Notification Received More than 30 Days Ago* (Y/N) Type (,, or Exchange) SEE SCHEDULES F7 ATTACHED Amount of ** FEBRUARY 2017 SALE AUTO MARCH 2017 SALE *Extensions of the due date should be noticed in the $1,000,001-$5,000,000 "Notice of Extension" section of this form. $5,000,001-$25,000,000 $25,000,001-$50,000,000 **For purposes of identifying the amount of the Over $50,000,000 transaction, please use the following amount categories: The category "over $1,000,000" applies only if the $1,001,-$15,000 underlying asset is solely that of your spouse or $15,001-$50,000 dependent child. If the underlying asset is either held $50,001-$100,000 by you or jointly held by you with your spouse or $100,001-$250,000 dependent children, use the higher categories of value, $250,001-$500,000 as appropriate. $500,001-$1,000,000 Over $1,000,000 If you choose not to identify the value of a transaction, FOMB will assume that the value of the transaction exceeds $50,000,000. Filer's Name: Jose Carrion 2

3 Schedule 1 entification of Assets DFA INVESTMENT GRADE PORTAFOLIO DFA FIVE YEAR GLBL FIXED INC DFA INVESTMENT GRADE PORTAFOLIO DFA INTERNATIONAL CORE EQUITY DFA US CORE EQUITY II DFA US CORE EQUITY I DFA EMERGING MRKTS CORE EQU DFA FIVE YEAR GLBL FIXED INC DFA INTERNATIONAL CORE EQUITY DFA US CORE EQUITY 11 DFA US CORE EQUITY I DFA EMERGING MRKTS CORE EQU Brokerage Account 1- Filer's Date 1/10/2017 1/31/2017 2/28/2017 3/31/2017 NOtff cation 14-iefired more than 30 days* orm) TYPef,, Exchange) Amount of

4 Schedule 2 ification of Assets Brokerage Account 2 - Filer's Date DFA US CORE EQUITY II 1/4/2017 1/4/2017 1/10/2017 1/30/2017 1/31/2017 2/10/2017 2/28/2017 2/28/2017 DFA INVESTMENT GRADE PORTAFOLIO 3/17/2017 DFA FIVE YEAR GLBL FIXED INC 3/17/2017 DFA INVESTMENT GRADE PORTAFOLIO DFA INTERNATIONAL CORE EQUITY DFA US CORE EQUITY II DFA US CORE EQUITY I DFA EMERGING MRKTS CORE EQU DFA FIVE YEAR GLBL FIXED INC DFA INTERNATIONAL CORE EQUITY 3/17/2017 DFA US CORE EQUITY II 3/17/2017 DFA US CORE EQUITY I 3/17/2017 DFA EMERGING MRKTS CORE EQU 3/17/2017 3/17/2017 3/28/2017 3/31/2017 Notification Received more than 30 days* (Y/NJ Type(,, Exchange) Amount of

5 Schedule 3 Brokerage Account 1 - Spouse Notification Received identification of Assets Date Type(Purshase, Amount of more than 30 days* (Y,) Sate, Exchange No transactions during this period F- L

6 Schedule 4 tderkrfication of Assets Aegon N.V. NY Reg Shs AXA - Spons ADR Ambev SA SHS ADR Aercap Holdings N.V. SHS Addecco Group AG Astellas Pharma Inc SHS ACS Actividades Cons-Uns BHP Billiton PLC Sp Adr Banco Bilbao Vizcaya China Mobile LTD Spn Adr Carlsberg AS Sponsoredad Carrefour SA CK Hutchinson LTD DBS Asa Sp ADR E.on SE Adr Airbus Group Fresenius Medical Care Gemalto SHS Engie SHS HSBC Hldg PLC Intesa Sanpaolo Spon Adr Julius Baer Group Adr Koninkl Phil NV Sh New Royal DSM NV Spon Adr Mazda Motor Corp Shs Murata Manufacturing Co Mitsubishi Estate Adr Otsuka Holdings Co Ltd Orange Adr Panasonic Corp SHS Royal KPN NV Sp Adr Royal Dutch Shell PLC Roche Hldg LTD Spn Adr Societe General SPN Adr Schulumberger Ltd Smith NPHW PLC Spadr New Secom Co Ltd Seiko Epson Corp Unsp Total S.A. Vivendi SHS Unsp Adr Deutsche Post Ag Shs Elissor Int SA Adr Elissor Int SA Adr BHP Billiton PLC Sp Adr BHP Billiton PLC Sp Adr Koninkl Phil NV Sh New AXA - Spons ADR Societe General SPN Adr Total S.A. Aercap Holdings N.V. SHS Aercap Holdings N.V. SHS Aercap Holdings N.V. SHS AIA Group LTD Tata Motors LTD ADR Tata Motors LTD ADR Canadian Naturals Res Ltd Canadian Naturals Res Ltd Deutsche Post Ag Shs Intesa Sanpaolo Spon Adr Date Brokerage Account 2 - Spouse 1/26/2017 2/8/2017 2/9/2017 2/10/2017 2/13/2017 2/3/2017 2/17/2017 2/17/2017 2/17/2017 2/28/2017 3/10/2017 3/13/2017 3/14/2017 3/20/2017 3/27/2017 3/29/2017 3/1/2017 3/2/2017 3/3/2017 3/6/2017 3/7/2017 3/7/2017 3/8/2017 3/9/2017 Notification Received rivaḷ, then Ad (YiN} transattion Typetpurctvase, Amount of

7 Schedule 5 identification of Assets Brokerage Account 3 - Spouse tearts.;ction - Notification Received Date Type(Purshase, more than 30 days* (YIN) sate Exchan.a Amount of Altria Group Inc. `Blacrock Inc. Berkshire Hathaway Inc, Carnival Corp Paired SHS Chevron Corp CA Inc Cinn Fincl CRP Ohio Cysco Systems Inc Com Coca Cola Com Diageo PLC SPSD Adr New Dominion Res Inc. New VA Duke Energy Corp New Genl Dynamics Corp Com General Electric.General Mills Hasbro Inc Intel Corp Kinder Morgan Inc Del Eli Lilly & Co Lowe's Companies Inc Merck and Co Inc SHS Microsoft Corp Newmarket Corp Norfolk Southern Corp Paychex Inc Pfizer Inc Reynolds American Inc The Mosaic Company Verizon Communications Com Wells Fargo & Co New Del Altria Group Inc. Altria Group Inc. Altria Group Inc. CA Inc Cinn Fincl CRP Ohio General Electric Cinn Fincl CRP Ohio Merck and Co Inc SHS ' 2/1/2017 2/2/2017 2/3/2017 2/22/2017 2/23/2017 2/24/2017 2/27/2017 2/28/2017 2/1/2017 2/1/2017 2/1/2017 2/2/2017 2/13/2017 2/22/2017 2/23/2017 2/24/2017 2/27/2017 2/28/2017 3/1/2017 3/2/2017 3/3/2017 3/1/2017 3/2/2017

8 Schedule 6 Identification of Assets 'shares Russell 1000 'shares Russell 1000!shares TR Russell 2000 Doubleline Total Return Oppenheimer International Driehaus Emerging Mkts Credit Suisse Commodity Calamos Strat Tot Return TWC Select American New Economy FD Clearbridge Small Cap Brokerage Account 4 - Spouse Notification Received Date more than 30 days* Type(, Amount of (YIN), Exchange) /5/2017 1/5/2017 1/5/2017 1/5/2017 1/11/2017 1/17/2011 1/11/2017

9 Schedule 7 Puerto Rico Oversight & Management Board Brokerage Account 5 - Spouse Amount OF!SHARES 1-3 YEAR TREASURY BONO ETF!SHARES CURRENCY HEDGEDMSCI UNITED KINGDOM BLACKROCK ETF VANGUARD MATERIALS ETF VANGUARD INFORMATION TECH ETF SCHWAB US SMALL-CAP ETF GUGGENHEIM BULLETSHARES 2018 HIGH YIELD CORP BD ISHARES INC CORE MSCI EMERGING MKTS ETF ISHARES 1-5 YEAR HIGH CORPORATE BOND ETF SECTOR SPDR ENERGY SPDR US FINANCIAL SECTOR ETF SPDR GOLD TRUST WISDOMTREE EUROPE HEDGED EQUITY FUND