Idea Transcript
United States Senate
Financial Disclosures Candidate Report Ms. Deborah K Ross State of Candidacy: NC
|
Candidacy Commenced: 10/09/2015
Filed 01/31/2016 @ 3:29 PM
The following statements were checked before filing: I certify that the statements I have made on this form are true, complete and correct to the best of my knowledge
and belief. I understand that reports cannot be edited once filed. To make corrections, I will submit an electronic amendment
to this report. I omitted assets because they meet the three-part test for exemption.
Part 1. Honoraria Payments or Payments to Charity in Lieu of Honoraria Did any individual or organization pay you or your spouse more than $200 or donate any amount to a charity on your behalf, for an article, speech, or appearance? Yes #
Date
Activity
Amount
Who Paid?
Who received payment?
1
06/16/2015
Speech
$250.00
Institute for Public Trust
Self
Raleigh, NC
Part 2. Earned and Non-Investment Income Did you or your spouse have reportable earned income or non-investment income? Yes #
Who Was Paid
Type
Who Paid
Amount Paid
1
Self
Salary
Go Triangle
$143,753.41
Research Triangle Park, NC 2
Spouse
Salary
eServices, LLC
> $1,000
Glen Allen , VA
Part 3. Assets Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a
balance over $5,000, or receive income of more than $200 from an asset? Yes Asset 1
Asset Type
Personal Residence-
Real Estate
Raleigh NC
Residential
Owner Joint
Value $250,001 -
Income Type Rent/Royalties,
$500,000
$50,000
Investment Property-
Real Estate
Salvo NC
Residential
Joint
$250,001 -
Rent/Royalties,
$500,000
$50,000
Investment Property-
Real Estate
Lansing NC
Residential
Spouse
$250,001 -
Rent/Royalties,
$500,000
5
than $201)
Unimproved Lot-Avon
Real Estate
NC
Unimproved Land
Description: Building LotAvon NC (Avon , NC)
Spouse
$15,001 -
None,
$50,000
than $201)
State Employees Credit
Bank
Union
Deposit
Joint
$1,001 -
Interest,
$15,000
None (or less than $201)
State Employees Credit
Bank
Union
Deposit
Spouse
$1,001 $15,000
(Raleigh, NC) Type: Checking,
7
None (or less
(Raleigh, NC) Type: Checking,
6
None (or less
Description: Renovated Mill (Lansing, NC)
4
$15,001 -
Description: Weekly Beach Rental (Salvo, NC) 3
$15,001 -
Description: Boylan Ave (Raleigh , NC) 2
Income
Interest,
None (or less than $201)
Triangle Transit 457(b)
Retirement
Retirement Account
Plans Defined Contribution Pension Plan
Self
Asset 7.1
Asset Type
FOCPX - Fidelity OTC
Mutual
Portfolio
Funds
Owner Self
Value
GMXIX - Nationwide Mid
Mutual
Cap Market Index Instl
Funds
Excepted
$2,501 -
$50,000
Investment
$5,000
Fund, Self
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
7.3
GMRAX - Nationwide
Mutual
Small Cap Index A
Funds
Fund, Self
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
7.4
OPPAX - Oppenheimer
Mutual
Global A
Funds
Fund, Self
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
8
NC 401k Plan
Retirement
Income
$15,001 -
Mutual Fund
7.2
Income Type
Fund, Self
Plans Defined Contribution Pension Plan 8.1
NC Fixed Income Fund
Mutual
Self
Funds
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 8.2
NC Large Cap Index
Mutual
Fund
Funds
Self
$50,001 -
Excepted
$201 -
$100,000
Investment
$1,000
Mutual Fund
8.3
NC Large Cap Growth
Mutual
Fund
Funds Mutual Fund
Fund, Self
$15,001 -
Excepted
$1,001 -
$50,000
Investment
$2,500
Fund,
Asset 8.4
Asset Type
NC Large Cap Value
Mutual
Fund
Funds
Owner Self
Value
Income Type
Income
$50,001 -
Excepted
None
$100,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 8.5
NC SMID Cap Index
Mutual
Fund
Funds
Self
$50,001 -
Excepted
None
$100,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 8.6
NC SMID Growth Fund
Mutual
Self
Funds
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 8.7
NC International Fund
Mutual
Self
Funds
$15,001 -
Excepted
None
$50,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 9
AMG IRA
Retirement
Self
Plans IRA 9.1
MGSEX - AMG Managers
Mutual
Special Equity Service
Funds
Self
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 10
AMG Roth IRA
Retirement
Self
Plans IRA 10.1
MGSEX - AMG Managers
Mutual
Special Equity Service
Funds Mutual Fund
Self
$15,001 -
Excepted
None
$50,000
Investment
(or less
Fund,
than $201)
Asset 11
Asset Type
ICMA-RC 401 Qualified
Retirement
Retirement Plan
Plans
Owner
Value
Income Type
Income
Self
Defined Contribution Pension Plan 11.1
Vantage Trust Plus Fund
Mutual
Self
Funds
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 11.2
VPGRX - Vantagepoint
Mutual
Growth Investor
Funds
Self
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 11.3
VT Harbor International
Mutual
Fund
Funds
Self
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than
Mutual Fund
$201) 12
State Street Bank IRA
Retirement
Self
Plans IRA 12.1
RSGRX - RS Growth A
Mutual
Self
Funds
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
13
Vanguard IRA
Retirement
Fund, Self
Plans IRA 13.1
VFIAX - Vanguard 500
Mutual
Index Admiral
Funds Mutual Fund
Self
$15,001 -
Excepted
$201 -
$50,000
Investment
$1,000
Fund,
Asset 14
Asset Type
FBIOX - Fidelity Select
Mutual
Biotechnology Portfolio
Funds
Owner Self
Value
ACRNX - Columbia Acorn
Mutual
Z
Funds
Excepted
$2,501 -
$100,000
Investment
$5,000
Fund, Self
$50,001 -
Excepted
$15,001
$100,000
Investment
-
Fund,
$50,000
$15,001 -
Excepted
$1,001 -
$50,000
Investment
$2,500
Mutual Fund
16
American Funds 401k
Retirement
Income
$50,001 -
Mutual Fund
15
Income Type
Spouse
Plans Defined Contribution Pension Plan 16.1
RAFBX - American Funds
Mutual
AMCAP R2
Funds
Spouse
Mutual Fund
16.2
RWMBX - American Funds
Mutual
Washington Mutual R2
Funds
Fund, Spouse
$15,001 -
Excepted
$1,001 -
$50,000
Investment
$2,500
Mutual Fund
16.3
RGABX - American Funds
Mutual
Growth Fund of Amer R2
Funds
Fund, Spouse
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
16.4
RNPBX - American Funds
Mutual
New Perspective R2
Funds
Fund, Spouse
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
16.5
RSLBX - American Funds
Mutual
SMALLCAP World R2
Funds
Fund, Spouse
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Mutual Fund
16.6
RWIBX - American Funds
Mutual
Capital World Gr&Inc R2
Funds Mutual Fund
Fund, Spouse
$1,001 -
Excepted
$201 -
$15,000
Investment
$1,000
Fund,
Asset 17
Vanguard IRA
Asset Type Retirement
Owner
Value
Income Type
Income
Spouse
Plans IRA 17.1
VIGRX - Vanguard Growth
Mutual
Index Inv
Funds
Spouse
$15,001 -
Excepted
$201 -
$50,000
Investment
$1,000
Mutual Fund
18
Fidelity IRA
Retirement
Fund, Spouse
Plans IRA 18.1
Fidelity Investments
Bank
(Boston, MA) Type: IRA Cash Accounts,
Deposit
Spouse
$500,001 -
Interest,
$1,000,000
None (or less than $201)
18.2
IBB - iShares Nasdaq
Mutual
Biotechnology
Funds
Spouse
$15,001 -
Excepted
None
$50,000
Investment
(or less
Fund,
than
Exchange Traded Funds/Notes 18.3
CY - Cypress
Corporate
Semiconductor
Securities
Corporation
Stock
$201)
Spouse
$15,001 -
Dividends,
$50,000
None (or less than $201)
18.4
FB - Facebook, Inc.
Corporate
Spouse
Securities
$15,001 -
None,
$50,000
None (or less
Stock
than $201)
18.5
GILD - Gilead Sciences
Corporate
Inc.
Securities Stock
Spouse
$15,001 $50,000
Dividends,
None (or less than $201)
Asset 19
Fidelity Rollover IRA
Asset Type Retirement
Owner
Value
Income Type
Income
Spouse
Plans IRA 19.1
BAC - Bank of America
Corporate
Corporation
Securities
Spouse
$15,001 -
Dividends,
$50,000
None (or less
Stock
than $201)
19.2
CSCO - Cisco Systems,
Corporate
Inc.
Securities
Spouse
$1,001 -
Dividends,
$15,000
$201 $1,000
Stock 19.3
C - Citigroup Inc.
Corporate
Spouse
Securities
$15,001 -
Dividends,
$50,000
None (or less
Stock
than $201)
19.4
EBAY - eBay Inc.
Corporate
Spouse
Securities
$15,001 -
None,
$50,000
None (or less
Stock
than $201)
19.5
JPM - JPMorgan Chase &
Corporate
Co.
Securities
Spouse
$1,001 -
Dividends,
$15,000
None (or less
Stock
than $201)
19.6
MS - Morgan Stanley
Corporate
Spouse
Securities
$15,001 -
Dividends,
$50,000
$201 $1,000
Stock 19.7
ORCL - Oracle
Corporate
Corporation
Securities Stock
Spouse
$15,001 $50,000
Dividends,
$201 $1,000
Asset 19.8
Asset Type
PYPL - PayPal Holdings,
Corporate
Inc.
Securities
Owner Spouse
Value $1,001 -
Income Type None,
$15,000
Income None (or less
Stock
than $201)
19.9
Fidelity Investments
Bank
(Boston, MA) Type: IRA Cash Accounts,
Deposit
Spouse
$1,001 -
Interest,
$15,000
None (or less than $201)
19.10
AAPL170120C00095000 -
Corporate
AAPL Jan 2017 call
Securities
95.000
Stock Option
Strike price: $95.00 | Call Expires: 01/20/2017 19.11
AAPL170120C00100000 -
Corporate
AAPL Jan 2017 call
Securities
100.000
Stock Option
Strike price: $100.00 | Call Expires: 01/20/2017 19.12
AAPL170120C00110000 -
Corporate
AAPL Jan 2017 call
Securities
110.000
Stock Option
Strike price: $110.00 | Call Expires: 01/20/2017 19.13
GILD170120C00100000 -
Corporate
GILD Jan 2017 call
Securities
100.000
Stock Option
Strike price: $100.00 | Call Expires: 01202017 20
Fidelity Roth IRA
Retirement Plans IRA
Spouse
$50,001 -
None,
$100,000
None (or less than $201)
Spouse
$15,001 -
None,
$50,000
None (or less than $201)
Spouse
$15,001 -
None,
$50,000
None (or less than $201)
Spouse
$1,001 $15,000
None,
None (or less than $201)
Spouse
Asset 20.1
Asset Type
Fidelity Investments
Bank
(Boston, MA) Type: IRA Cash Accounts,
Deposit
Owner Spouse
Value $15,001 -
Income Type Interest,
$50,000
Income None (or less than $201)
21
NC State Employees
Retirement
Pension Plan
Plans
Self
$50,001 -
None,
$100,000
(or less
Defined Benefit Pension Plan 22
23
American Civil Liberties
Retirement
Union Foundation
Plans
Retirement Plan
Defined Benefit Pension Plan
Duke University Faculty
Retirement
Retirement Plan
Plans
None
than $201)
Self
$50,001 -
None,
$100,000
None (or less than $201)
Self
Defined Contribution Pension Plan 23.1
VTHRX - Vanguard Target
Mutual
Retirement 2030 Inv
Funds Mutual Fund
Self
$1,001 -
Excepted
None
$15,000
Investment
(or less
Fund,
than $201)
Part 4a. Periodic Transaction Report Summary Not required
Part 4b. Transactions Not required
Part 5. Gifts Not required
Part 6. Travel Not required
Part 7. Liabilities Did you, your spouse, or dependent child have a liability worth more than $10,000 at any time? Yes Rate #
Incurred
Debtor
Type
1
2010
Joint
Mortgage
Points
(Term)
Amount
Creditor
Comments
4.0%
$250,001 -
Wells Fargo
-
(30
$500,000
San Franciso, CA
3.875%
$100,001 -
Yadkin Valley
(30
$250,000
Bank
years) 2
2012
Joint
Mortgage
Elkin , NC
years) 3
2013
Joint
Home Equity
-
-
2.99%
$15,001 -
Pentagon
Line of
(5
$50,000
Federal Credit
Credit
years)
-
Union Alexandria, VA
Part 8. Positions Did you hold any outside positions during the reporting period? Yes #
Position Dates
Position Held
Entity
Entity Type
1
Mar 2015 to
Other (Board
NC Center for Public
Nonprofit
present
Member)
Policy Research
Organization
Raleigh , NC 2
Jan 2014 to
Other (Advisory
Arts Advisory Board,
Nonprofit
present
Board Member)
City of Raleigh
Organization
Raleigh , NC
Comments
#
Position Dates
Position Held
Entity
Entity Type
3
Jul 2013 to
Employee
Go Triangle (Formerly
Other (Government
Triangle Transit)
Authority)
Oct 2015
Comments
Research Triangle Park, NC
Part 9. Agreements Did you have any reportable agreement or arrangement with an outside entity? Yes #
Date
Parties Involved
Type
Status and Terms
1
Jan
North Carolina
Continuing
Vested for lifetime medical benefits after
2003
General Assembly
participation in an
attaining age 60. Vested after five years of
Raleigh, NC
employee benefit plan
service in the General Assembly serving from 2003-2013
2
Jan
North Carolina
Continuing
Vested in NC State Employees defined
2003
State Employees
participation in an
benefit pension plan after service in
Pension Plan
employee benefit plan
Legislature from 2003 to 2013
Vested in defined benefit pension plan.
Raleigh, NC 3
Sep
American Civil
Continuing
1994
Liberties Union
participation in an
Foundation
employee benefit plan
New York, NY
Part 10. Compensation If this is your first report, or you are a candidate did you receive compensation of more than $5,000 from a single source in the two prior years? Yes #
Source
Duties
1
Go Triangle
General Counsel, legal services
Research Triangle Park , NC
Attachments & Comments No attachments added. No comments added.