- Stocks
- Bonds
- Mutual funds
- Limited partnerships
- Commodity futures contracts
HELD OR SOUGHT: Governor
This Statement of Economic Interests will be available to the public via the searchable database on the Virgina Conflict of Interest and Ethics Advisory Council website, as required by § 30-356.
REPORT TO THE BEST OF INFORMATION AND BELIEF Information required on this Statement must be provided on the basis of the best knowledge, information, and belief of the individual filing the Statement as of the date of this report.
I swear or affirm that the information provided on this statement is full, true, and correct to the best of my knowledge.
Ralph S. Northam (Electronically Signed: 3/27/2017 3:39:03 PM) | 3/27/2017 3:39:03 PM | |
Signature of Officer or Employee | Date |
DRAFT
1. Do you or a member of your immediate family receive remuneration, benefits, or compensation for service as an officer or director of a business?
2. Do you or a member of your immediate family receive salary or wages in excess of $5,000 annually from any employer? DO NOT INCLUDE salary received from a state or local governmental or advisory agency.
NAME OF BUSINESS OR EMPLOYER | LOCATION OF BUSINESS OR EMPLOYER (CITY OR COUNTY, AND STATE) | POSITION HELD | BY WHOM | OFFICE OR DIRECTORSHIP OR EMPLOYMENT |
Children's Specialty Group | Norfolk, VA | Founding Partner, medical practice | Ralph Northam | EMPLOYMENT |
Lynnhaven River NOW | Virginia Beach, Virginia | Outreach Coordinator | Pam Northam | EMPLOYMENT |
DRAFT
Do you or a member of your immediate family, separately or together, own securities valued in excess of $5,000 invested in one business or Virginia governmental entity?
INCLUDE securities held in (i) trusts; (ii) individual retirement arrangements (IRAs); (iii) defined contribution plans, including plans established in accordance with sections 401, 403, or 457 of the Internal Revenue Code; and (iv) any other type of investment account.
INCLUDE securities not held in your name or the name of a member of your immediate family if you or a member of your immediate family retains the right to control such securities or the right to receive the income from such securities.
Disclose each business or Virginia governmental entity in which you or a member of your immediate family, separately or together, own securities valued in excess of $5,000.
INCLUDE securities held in (i) trusts; (ii) individual retirement arrangements (IRAs); (iii) defined contribution plans, including plans established in accordance with sections 401, 403, or 457 of the Internal Revenue Code; and (iv) any other type of investment account.
INCLUDE securities not held in your name or the name of a member of your immediate family if you or a member of your immediate family retains the right to control such securities or the right to receive the income from such securities.
DRAFT
List the issuer and type of each security. List separately each security held in an IRA, defined contribution plan, or other type of investment account, if such security is valued in excess of $5,000.
For defined contribution plans administered by the Commonwealth or its political subdivisions, list the administering agency as the issuer of the security, unless the security is held in a self-directed brokerage account, in which case list the issuer of the security.
NAME OF ISSUER OF SECURITY | TYPE OF SECURITY (STOCKS, BONDS, MUTUAL FUNDS, IRA, ETC.) | VALUE OF SECURITY |
Pepsico | Stock | $5,001 to $50,000 |
Deutsche US Bd Index | Mutual Fund | $5,001 to $50,000 |
United States C 695 | Equity | $5,001 to $50,000 |
US Cellular | Stock | $5,001 to $50,000 |
American Beacon Lg Cap | Mutual Fund | $5,001 to $50,000 |
Bank of America | Stock | $5,001 to $50,000 |
Dupont | Stock | $5,001 to $50,000 |
Vodafone | Stock | $5,001 to $50,000 |
General Electric | Stock | $5,001 to $50,000 |
Farm Bureau | Life Insurance Cash Value | $5,001 to $50,000 |
Coca Cola | Stock | $5,001 to $50,000 |
Massachusetts Investors Trust | Mutual Fund | $5,001 to $50,000 |
AT&T | Stock | $5,001 to $50,000 |
Eli Lilly | Stock | $5,001 to $50,000 |
Fidelity Diversified | Mutual Fund | $5,001 to $50,000 |
Pepco Holdings | Stock | $5,001 to $50,000 |
Vanguard Short Term | Mutual Fund | $50,001 to $250,000 |
Vanguard Index FDS | Mutual Fund | $50,001 to $250,000 |
Deutsche Muni Bond | Mutual Fund | $5,001 to $50,000 |
IShares Russell 2000 ETF | Mutual Fund | $50,001 to $250,000 |
Verizon Communication | Stock | $5,001 to $50,000 |
Kraft Heinz | Stock | $5,001 to $50,000 |
IShares MSCI EAFE | Mutual Fund | $5,001 to $50,000 |
Dreyfus Muni Bond | Mutual Fund | $5,001 to $50,000 |
ING | 403B | $5,001 to $50,000 |
Pimco High Yield | Mutual Fund | $50,001 to $250,000 |
Charles Schwab C 6% | Mutual Fund | $5,001 to $50,000 |
Pimco Total Return | Mutual Fund | $50,001 to $250,000 |
Johnson & Johnson | Stock | $50,001 to $250,000 |
Vanguard INTL Equity | Mutual Fund | $5,001 to $50,000 |
US Treasury Note | Bond | $5,001 to $50,000 |
Fidelity Cash Reserves | Mutual Fund | $50,001 to $250,000 |
WST Asset Manager | Mutual Fund | $5,001 to $50,000 |
Fidelity Emerging | Mutual Fund | $50,001 to $250,000 |
Norfolk Southern | Stock | $5,001 to $50,000 |
IShares Russell Midcap ETF | Mutual Fund | $5,001 to $50,000 |
IShares Core S&P 500 | Mutual Fund | $50,001 to $250,000 |
Schwab US Large | ETF/Mutual Fund | $5,001 to $50,000 |
Kimberly Clark | Stock | $50,001 to $250,000 |
Loomis Sayles Global Bond | Mutual Fund | $50,001 to $250,000 |
Wisdom Tree Small Cap | Mutual Fund | $5,001 to $50,000 |
IShares Russell 1000 | Mutual Fund | $5,001 to $50,000 |
Wisdom Tree Large Cap | Mutual Fund | $5,001 to $50,000 |
IShares 2000 Value | Mutual Fund | $5,001 to $50,000 |
Vanguard | Health Savings Account | $5,001 to $50,000 |
Caterpillar | Stock | $50,001 to $250,000 |
Chevron | Stock | $5,001 to $50,000 |
First Eagle High Yield | Mutual Fund | $5,001 to $50,000 |
Dominion Res | Stock | $5,001 to $50,000 |
Mondelez International | Stock | $5,001 to $50,000 |
XCEL Energy | Stock | $5,001 to $50,000 |
Vanguard Bond Index | Mutual Fund | $50,001 to $250,000 |
Schwab S&P 500 | Mutual Fund | $5,001 to $50,000 |
Vanguard Short Term Bond | Mutual Fund | $50,001 to $250,000 |
IShares Russell Midcap Value | Mutual Fund | $5,001 to $50,000 |
IShares TR EAFE | Mutual Fund | $5,001 to $50,000 |
DRAFT
1. Do you or a member of your immediate family own, separately or together, a business that has a value in excess of $5,000?
OR
Do you or a member of your immediate family, separately or together, have an interest in a business and the interest owned by you or a member of your immediate family has a value in excess of $5,000? DO NOT INCLUDE any securities disclosed on Schedule C.
2. Do you or a member of your immediate family own, separately or together, a rental property that has a value in excess of $5,000?
OR
Do you or a member of your immediate family, separately or together, have an interest in a rental property and the interest owned by you or a member of your immediate family has a value in excess of $5,000?
Disclose each business owned by you or a member of your immediate family with a value in excess of $5,000 and each interest in a business owned by you or a member of your immediate family with a value in excess of $5,000. DO NOT REPORT any securities disclosed on Schedule C.
If the business is owned or operated under a trade, partnership, or corporate name, list that name. If the business is not owned or operated under a trade, partnership, or corporate name, describe the nature of the business.
NAME OF BUSINESS OR NATURE OF BUSINESS | LOCATION OF BUSINESS (CITY OR COUNTY, STATE, AND COUNTRY) | GROSS INCOME |
Children's Specialty Group | Norfolk, Virginia, USA | MORE THAN $250,000 |
Disclose each rental property owned by you or a member of your immediate family with a value in excess of $5,000 and each interest in rental property owned by you or a member of your immediate family with a value in excess of $5,000.
List each rental property individually.
If the rental property is owned or recorded under a trade, partnership, or corporate name, list that name. DO NOT LIST the street address for any rental property. No address will be redacted from this table.
NAME IN WHICH RENTAL PROPERTY IS OWNED OR RECORDED | LOCATION OF RENTAL PROPERTY (CITY OR COUNTY, STATE, AND COUNTRY) | TYPE OF RENTAL PROPERTY (RESIDENTIAL, COMMERCIAL, ETC.) | GROSS INCOME |
Ralph S. Northam and Thomas L. Northam | Onancock, Virginia, USA | Farm Lease | $50,000 or LESS |
Pam Northam and Ralph Northam | Virginia Beach, Virginia, USA | Rental Home | $50,000 or LESS |
DRAFT
Do you or a member of your immediate family, separately or together, hold an interest valued at more than $5,000 in real property? DO NOT INCLUDE your principal residence or any real estate disclosed on Schedule D. INCLUDE real estate held in trust.
Disclose all real estate in which you or a member of your immediate family holds an interest valued at more than $5,000. List each parcel individually. INCLUDE real estate held in trust.
DO NOT REPORT:
List only the city or county, state, and country where each real estate is located. DO NOT LIST any street addresses. No addresses will be redacted from this schedule.
List the name or names in which the real estate is owned or recorded. If you or a member of your immediate family holds an interest in the real estate but it is owned or recorded in a name other than your name or your immediate family member's name, list that name.
TYPE OF REAL ESTATE | LOCATION OF REAL ESTATE (CITY OR COUNTY, STATE, AND COUNTRY) | NAME OR NAMES IN WHICH REAL ESTATE IS OWNED OR RECORDED |
Vacation Home | REDACTED | Ralph S. Northam and Joseph H. Conduff |
Farmland, Barn | Modestown, Virginia, USA | Ralph S. Northam and Thomas L. Northam |
Farmland, House | Onancock, Virginia, USA | Ralph S. Northam and Thomas L. Northam |
DRAFT
Did you or a member of your immediate family receive from any (i) lobbyist; (ii) lobbyist’s principal; or (iii) contractor any gift or combination of gifts with a value exceeding $50 during the prior calendar year?
For state officers and employees, a contractor is a person, organization, or business who is or is seeking to become a party to a contract with the state governmental or advisory agency of which you are an officer or an employee or over which you have the authority to direct such agency's activities.
DO NOT INCLUDE gifts with a value of less than $20. Such items are exempted from the definition of a gift and should not be aggregated together or reported.
Disclose each lobbyist, lobbyist’s principal, or contractor that, during the prior calendar year, gave you or a member of your immediate family any gift or combination of gifts with a value exceeding $50.
Identify the recipient and donor of each such gift. Disclose the exact gift or event, the date on which you accepted it, and the value of the gift. If an exemption from the $100 gift cap established in § 2.2-3103.1 applies, mark the applicable exemption.
NAME OF RECIPIENT | NAME OF DONOR | EXACT GIFT OR EVENT | DATE ACCEPTED | VALUE | GIFT CAP EXEMPTION |
Ralph and Pam Northam | Virginia Education Association | National Education Association Foundation's Salute to Excellence in Education Gala | February 10, 2017 | $500 ($250 per ticket) | Widely attended event |