Alison M. Garcia

. NORTH CAROLINA STATE ETHICS COMMISSION | for THICS COMMISSION USE ONLY ”" Pi 2017 STATEMENT OF ECONOMIC INTEREST | Oste Received. 919-814-3600 ww ethiescommission.nc gov | fap — THIS ENTIRE FORM MUST BE COMPLETED TO FULFILL YOUR SEI FILING OBLIGATION Scanned Bole E— | som. encome my Supp. wocenes ome entered m tavose (f= oy [J] FILER'S NAME (FIRST, MIDDLE, LAST) Prefix | First Name. Widdie Name Last Name Suftn Augen] Mn GARCIA CoRRENT empLovER [oe re of Stak. Treaswer — IMD Divechy of Real Estate. NATURE OR TYPE OF BUSINESS — Truestmnts oo REASON FOR FILING (COMPLETE ALL THAT APPLY) STATE GOVERNMENT 106 (Spec Agency) BOARD/COMMISSION (List complete name of al State boards on which you ore serving or arc being considered Shule. Treaswers Office i JUDICIAL OFFICER (specty Office) LEGISLATOR (Spec House or Senate) A. Do other immediate family members reside in your household? ade Cl nrcughout is for, the term Immediate family includes your spouse (unless legally separated). t also includes members of your extended fom (your and Your sp0us's chdren, 3randenldren. sorant, grandparents, and siblings, and the spouses of ach of those persons) who reside in your household. Lis the full name ofall adults and emancipated minors n your househald. A minor is chid under 18 years old Minors are smancipated by marriage, anism in the US itary. o cour ender for smancpsuon FULL NAME OF ADULTS & | RELATIONSHIP | EMPLOYER 308 TITLE NATURE OF EMANCIPATED MINORS. | Business The SET and any attachments, excluding the Confidential Form, are public records. Page 10f 10 B. Ls ONLY the initia of al emancipated iors your househld sem. A miner 2 chi ander 18 yes oi Note: You must lst the full name of each minor child on the Confidential Form available at the and ofthis document. ne IDAs For | RELATIONSHIP eoover | sostme | wammeor UNEMANCIPATED Sosiness MINORS —— er — SN Wiiiall - G6 Dag | Ne Insc VS RT {ue | vw CS SAR — |S = EE PROPERTY INTERESTS 1. AS of December 31, 2016, did you, your spouse, or members of your immediate family: B A. Have an owners neret in orth Carlin real tae (ching you es dence) with » market value of Sid000 on meres cL owner one estate| 90 overs ores | ocaton oy cy tocton oy Coun Aviso JA. GARUA loot. | Relig | Wake 8. Lease or rent real estate or personal property 1 or from the State of North Carolina with a market value of Si0508 of mores Name of Lessor Name of Lessee | If Real Estate, Location | If Personal Property, me Renters oy Cty a Cammy | Dever e_ —_— 2 A any me durin 2015 622016, 40 you, your spouse, meroers of your mada oi se to ar bus on 5 Site Nar Carolin personal rset wit maser vie of 0 ox a Che (he — TI Nemeorseter | tyeotppeny | The SEL and any attachments, excuding the Confidential Form, are public records. Page 20110 FINANCIAL INTERESTS 3. As of December 21, 2016, did you, your spouse, or members of your immediate family own any of the following financial Interests valued at $10,000 or more? LIST EACH COMPANY INDIVIDUALLY. A. Stack n publicly owned company? ves [uo N——— 50 not lst ownership interests Tn 3 vadely had mvesiment fund Gnciuding mutual Funds, regulated Ivestmint companies, or pension or deferred compensation pans) : () the fund 1 publ Haded 6 ks assets ars widely varsied; ond (i) neither you nor an immediate family MED are abc 1 contol the ascot nel tv mutual ond, investment company, or pension o defer compensation pian Owner of Interest Full Name of Company (Do not use a ticker symbol) ALiseN erin | Duke Every. Cop New [Duc Lv | Vein Cmmicdios 2 vv Avan Bay fave 8. Stock Options in a company or business? Che fe ‘Owner of Stock Option | Full Name of Company (Do not use a ticker symbol) C. Interests in a non-publicly owned company or business entity (including interests in sole proprietorships, artnerships, Imitd artnershss, JOE vAntures, Ime lap Compames, [mite 15a portrrshi, 3nd Eisely ela corporations)? [es [Zhe re soc to seston. Owner of Tnterest Name of Company or Business Entity (1). For each non-public own company o business entity (the “primary company) identified in auestion 3.C above, please is i names of any other companies or Business ents mn which the mary company wns securities or equity terests valued at over $10,000, # row Non-Publicly Owned Company or Business Entity | Other Companies in which the Primary Company (the primary Company) al Owns Security or Equity Interests + ane or Kot Known The SEE and any attachments, excluding the Confidential Form, are public records. Page 30f10 (20. you know that any company or business entity sted n 3.C or 3.C(1) above has any mater bsinss desing or nea contacts with th Site of North Carlin, or 1 S30 by to Site, peat» br Gencpon of tha buses at Name of Company or Business Entity Description of Business Activity with the State 4. As of December 31 2016, were you, your spouse, or mobs of your immedlte omy the benefice of vested HU i vale 1 $10,000 0 ore iat ws Eaves, bls. o Consoles by yous D0 no tases hed in ind trusts. Se 2017 SEL Helfu Tis fr th defon of “Vested Tusk an “ind Trust. Ces [Fo Name and Address _- Description of the Trust Your Relationship to the Trust 5. As of December 31, 2016, did you, your spouse, or members of your immediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples include credit card debts, auto loans, student Ioan, prisons an and ra fm ben es [eo Name of Debtor (You, Spouse, Immediste Family | Type of Creditor (Commercial Bank, Credit Union, Member) | Tndividun ete) Co Memben TT nid ee) Me Commend Bake ~~ ©. List each source of income (not specific amounts) of mare than $5,000 received by you, your spouse, or members of your immedi aml during 2016. Tncude salary, wages, STAEOCH SoveTAMeNs fetnement, protestors oes Ronin, marest, WHEN, ENA come, buss ome, 1 oer Pes of come feauned 1 be reponca on your Stn na ederr to eons Do nat include income received rom the following sources: » Capital gain » Federal government retirement > Mitory retirement > Social security income SSDI Recipient of Income Name of Source Treo Type of Income * Suainess/ Industry | hc oo reprton core over 35,000 mn 2016. Me Ste of NC Gost Wage [ooo The SEL and any attachments, excluding the Confidential Form, are public records. Page dof 10 PROFESSIONAL AND CIVIC RELATIONSHIPS 700). During 2016, were you, your spouse or members of your Immediate family a director, officer, governing board member, employee, independent contractor, or registered bbls of & NONDYGNT Corporation o Organsavion operating m the Stati of arth Carolina primary for relious, ehantabie, scenic, Inrary, PUBIC. ealth and softy, or educational [Joes [Fe res. sroeeet oases Do not Ist State boards or entities, or entities created by » political subdision of the State. > 00 not ist organizations of which you are a mare member. Name of Person His/Her Position Name of Nonprofit Nature of Business or 1 Corporation or Organization | Purpose of Organization 706). 11 the nonprofit corporations or organizatians ted above do business wih the State of North Carolina o rece State funds, please provide a brie description of the nature of hat bus ness, f Known or with which due dfgence coud reasonably be known. | Name of Nonprofit Corporation or Organization Describe State Business or State Funding Prone or ot known S. Diing 2016, were you, your spouse, or members of your Immediate family 3 director, acer, of governing Board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may Rove yrsdicnion’ [res [y/o [easton ote - vou are not required o complete tis question if yu re ing because Jou are legislator or 3 Judicial officer or You are Wing 35 an apPOINLeE t hose afces 00 not st organizations of which you are nly a member (not serving in a leadership role). Name of Person |” Name of Society, Organization Leadership Position | or Advocacy Group. (Director, Officer, Board Member) eee — 1 RE NS om——— The SEL and any attachments, excluding the Confidential Form, are public records. Page sof 10 Nemeof person | Relationship torier | Nameot Company | ole of person [Craminstaatve [Jpamrary [Cporsorate [mest [oecesents tones [Cenvronmentat [rssrance Savor [Jeoeat Government [Creat Property [securities r= Cran mores or UJ " } Je [Fe ] Type of Business Nature of Services Rendered —————— emi _— were you registered as such within the 12 months preceding your filing of this form? ame of toby prre—— orieor | egmranen | Reet | "otra I nme N prp——— — — « receive any "gift(s)" exceeding $200 per quarter from a person or group of persons acting together, and Cb [Ae » Do not report gifts given by members of your extended family. 15. During 2016 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other | or the General Assembly is a member or participant or an affiliate of that organization. Tyr pry r——T— pre p— rt ———— nerem—————— | ee [Je [Fe If “Yes”, list all contributions you (NOT immediate family members) made during 2016 with a cumulative | Se 1 deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value 17. Are you an appointee or prospective appointee to: 1 a. the head of a principal state department (e.0. cabinet secretary) appointed by the | Governor; or 1. a Nth Carolina Supreme Court Justice, Court of Appeals, Superior or District | Court Judge, of i a member of any of the folowing boards: + ABC Commission + Coastal Resources Commission * Se aonrs oan es [fo + State Bard of Elections | + Division of Employment Security I “Nos proceed to + Environmental Management Commission auestion 18. + Industria Commission + Human Resources Commission | + Rules Review Commission | + Board of Transportation | + UNC Board of Governors + ities Comision + Wide Pesaurces Commission | 4150, were you appointed ar are you being conswdered for appointment o that os [Jno public position by 3 Counc of Sate Member? Counc of Sate members re ted VTP) oom proceed to in question 16. question 18. 2. 150, you must mdicte whether during 2016 vou (not mmedite family members) engaged n any of the cllowing actuiics with respect o 0 on behalf of | | Camgae or compan committee of ie Counc of Sve maroper wo | appointed you to your public pasion. | Ce Che i. Collected contributions rom multiple contributors, took possession of such | multiple contributions, and transferred o delered thos collected | Contributions to the candidate or commtce? Contrions ore defined in avestion 16, | Hosted a fundraiser ot your resence or lace of business? es [Jo |i Volunteered for camporon-reated acti, which include, but are na lated 1c hon Bank, ver asst, mang, amABE, Sven, of an os [Tne other actly that advances the campaign of @ Candidote” 15. Have you ever been convicted of felony for which yau have not received either: () a pardon of innocence; or (1) an order of expungement regarding that conviction? | Ce he | Offense | Date of Conviction | County of Conviction | State of Conviction | 19. Are you aware of any other Informatio that vou believe may assist the State Ethics Commision in advising you cancaring your gompliance with the Sate Government Euncs Act i 7 A The SEX and any attachments, excluding the Confidential Form, are public records. Page 9 of 10 AFFIRMATION | Yaffe that the information provided in this Statement of Economic Interest and any attachments hereto ar (ue, complete. and accurate tothe best of my knowledge and belct. also certify that | have not transferred. and will not transfer, any asset, ierest,or propery forthe purpose of conceling it from disclosure while retsining an equitable interest. | | 1 derstand hat ms Statement of anomie Interest and any attachments o supplements here (with he exception of he | Confidential Form regarding Unemancipated Children are piblic record. acknowledge that | have read and understand N.C.G.5. 1387-26 regarding concealing o fling to disclose material | information and N.C.G.S. 1384-27 regarding prosiding fase information: § 138-26. Canceling or failing to disclose material information. A filing person who knowingly conceals o knowingly fails to disclose information that i required fo be disclosed ona statement of cconormic interest under this Article shall be guilty of a Class | misdemeanor and shall be subject to disciplinary action under GS. 1384-45. § 138A-27. Penalty for false information. | A filing person who provides fuse information on statement of economic interest a required under this Aicle | knowing tha the information s False s guilty of a Clas 1 felony and shall be subject to disciplinary action under GS 138A. agree tir 3/7 Signature oa AusoN M. Gaeud Printed Name | suomi stenes, onto aocuments an. oo not ox or cma orm. | The SET and any attachments, excluding the Confidential Form, are public records. 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«#5 NORTH CAROLINA STATE ETHICS COMMISSION | so eniics commssion use one HN Pp . 2016 STATEMENT OF ECONOMIC INTEREST | One feces 919-814-3600 www ethicscommission ncgov | TR EL THIS ENTIRE FORM MUST BE COMPLETED TO FULFILL | (1 or crplton YOUR SEI FILING OBLIGATION B S——-. Sach a —— | supp. Somome ay Sup. Receves ome entered in avanase 713 yl’ [FuER' Nave (rivsT, miooLE, Ast) } | Prefix | First Name | middie Name Last Name [suffix Aus lM | bmeen ! CURRENT EmpLOYER 08 TIE ] TI a rarer —— | Dept. of Shie Treasurer — TuD | Diveotr of Real Esta EE EAL in | [aun on ie or ausmess 1 | nveseaed_________ TT | REASON FOR FILING (SELECT ALL THAT APPLY) 1 [STATE GOVERNMENT 308 (Pease specify the saonsy | Bmore oe ————————— | STATE GOVERNMENT J0B (Please specify the agency | C180ARD/COMMISSION (Please lst complete name of all | for which you work or are being considered) State boards on which you are serving or are beng | | | Considered Sih Shake Treasurers Office | i ree eo | | CI UDICIAL OFFICER (Please spec the office you hold) | CJ LEGISLATOR (Please spacy House or Serare) [ | | ——— [A Do atver immciate Family members resce in your rasenele” ! | res Ono | | Wen usec throughout this orm, the term Immediate Family includes your spouse (uress legally separated. t also | | Includes members of your extended family (your and your spouse's children, grandchildren, parents, arandparents, snd | | 0, 8nd th spouses of cach f those persons) wh reside i your household. | List the tll mame of if adits and emancipated minors your hoses. A miner +3 id ar 8 vous 30. | Minors are emancipated by marriage, nlisment in the Us miltary or cours der or armentiamers | | FULL NAME OF ADULTS & | RELATIONSHIP | emPLOYER JoBTILE | waruREoF | EMANCIPATED MINORS | rroTeR susmEss | | BN — | rr EE EE— | i | ] | | } I ma FE EE The SEL and any attachments, excluding the Confidential Form, are public records. Page 10f 10 Io. Lt ONLY th iniit of ot unemancipated minors your vse ben. A mir 3 nid ander 10 yews | ale. Minors are amancioted by mariage, enismont in he US mary o cour oer or ruta | Note: You must ist the full name of each minor child on the Confidential Form available at the | end of this document. - INITIALS FOR RELATIONSHIP | EMPLOYER JOB TITLE NATURE OF UNERARIATED | Wen | owns | — 3 - | éle Daugier | NJa- TaSchul N/A | NIA SE EP v v | owe ovo | Er EE I I EO A NE |property tenets | 111. As of December 31, 2015, dd you, your spouse, of members of your mined fom. | A. Have an ownership interest in North Caran real sto (nduding you residence) with a market voke of | $16.00 or mover Yes Cho Owner of Rest Estate | 9 Ownership Interest | Location by Cty Location by County y [ie | Raly | Woke i (MoM omc door | Rely | Weke | | ] ! EE R—— — | FRNA. MUNI SA N— B. Lease or rent real estate or personal property to or from the State of North Caroling with a market value of | $10,000 or more? | Oves ho | Nameof Lessor | Name of Lessee | If Real Estate, Location | If Personal property, | Renner oy City & County Describe | ES ER ES ES 1 | | 2. At any time during 2014 or 2013, did you, your spouse, or members of your immediate family sell to or buy from the ‘State of North Carolina personal property with a market value of $10,000 or more? 1 Over ho i Name of Purchaser Name of Seller T Type of Property | Memeofpuchaser | Wemeofseler | TypeolPropemy | rr — The SET and any attachments, excluding the Confidential Form, are public records. Page 20110 | FINANCIAL INTERESTS ] | 3, fs of Decamiee 31, 2015, id you, your spouse, or members of your immediate far own any of the following financial | interests valued at $10,000 or more? | | Asteckina publicly owned company? AC Nal SU i Pa Te er ee ___| 00 net Ist nership interests in widely held investment fond (iuding muta Finds, regulated Tease ompanes or pension, o deferred compensation pons) i () th und 1s publ ded gr ks vests ve wie | || diversi anc i) neither you nor an immedioe Family mers are aces wes the assets held In the mutual fund, | |__ investment company, or pension or deferred compensation plan. ! CL ownerorimerest Full Name of Company (a not use a ticker symbol) | | Asn eer Toroua. ASCE Emayiny Masket Fu (EE L 3 Duke. Energy Gop New (Dus | —_— [i _— | Nein Grin (2 | EE a | EE EN -— —_— | —eee | © Stack Options in 2 company or business? f L Oves [@ho | —————— | Owner of Stack Option | Full Name of Company (Bo not use ticker symbol) | j | (= ——— -rq a _— [1] C. Interests in a non-publicly Quned company or business entity (including interests in sole proprietarships, [i | partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and Gosely nig corporations i | ves ho - iro." proceed to question 4. Owner of Interest Name of Company or Business Entity ! pen NameofComemy ores ty | —m i SE 1 —_— .k)ziOin Framed | © (1): For each non-oublily owned company o business entity (the “srimory company”) Kentiied in questo 3. Toots, plese Ist the mame of any te compari or busines ates m wm ie pmery sompeny | ns securities or equity interests valued ot over $10,000, ¥ hme SATS SeCUTIES of uy interests volued ot over $10,000, Akoown,_____ oe | | Non-Publicly Owned Company or Business Entity | Other Companies n which the Primary Company | LL GheprimaryCompany) | Rei or Eau tmrercete | | C1 None or Not Known | -— I I | EE ——— E———— -— I | ) The SEX and any attachments, excluding the Confidential Form, are public records. Paga3of 10 © 2). 1 you know that any company or business entity listed in 3.C or 3.C(1) above has any matenal business | | edings or business Contracts it (re Sets of North Coralie, or 13 regres oy to See en ns? descnpion of th: Doses acy | |_____ Name of Company or Business Entity | Description of Business Activity with the State | [J None or Not Known ] | | -_—— [4 5 of Became 31. 2015, were you. your spose, or members o your mada amy te benafiories of + vested | at witha vaio oF $10,000 or mare na was rents. examiner oot sm | | Do not list assets held in blind trusts. $2€.2016 SE] Helpful Tips for the definition of “Vested Trust” and “Blind Trust, | Ove fo ! |” Name and Address of Trustee Description of the Trust Your Relationship to the Trust| Semen or eT Your Rehtlonship tothe Teun | -_— ll] 15. as of Dacember 31,2015, 00 you, your spouse, or members of your mmadate family have Tabi of 510,000 or | more, excluding the mortgage an your primary personal residence? Examples include credit card debts, auto loans, student | Gar, persona loans an mn fois eb | res Divo i | Nome of Debtor (You, Spouse, Immediate Family | Type of Creditor (Commercial Bank, Credit Union, | Vamber) Tncividus, ete) | |S CommeginkBawe — i] I ©. List each squrce of income (nat specific amounts) of more than $5,000 recefved by you, your spouse, or members of yo mats fy di S015 nde Sh, Sn a rem tem tear | Monorara, interes, dividends, renal come, busines nome, 3nd othe es of incom rena ts be ean foe | ‘State and federal tax returns. Do nat include income received from th following sources: | | > captor gains > rederal government retirement |» Miltary retirement > Social sacurty income 501 | Recipient of Income | Name of Source Type of Type of Income Business/ Industry R | 31 ha no reprtabve income ovr $5,000 in 2015, | EE A BS PAN I | a I A A B— The SEX and any attachments, excluding the Confidential Form, are public records. Page dor i0 (a). During 2015, were you, your spouse or members of your immediate family a director, officer, governing board | | member, employee, independent contacto, o registred lobbyist of 8 nonprofit Goyporatian af rasmiéotn spensten he State of North Carel primary for eliou, <harkatle, scenic Kerry, Auk nes and safety, o esueatn) | | piroses” | Dives @No - if *No,” proceed to question s. | "oo nat fe Sate boards or ties, or ences created By a potial subd of Fe State, » Do not list organizations of which you are 3 mere member. ] ssa boat bE Name of Person His/Her Position | Name of Nonprofit Nature of Business or | | corporation or Organization | Purpose of Organization 1 1 SE SE SE L | HE | -— S| | — EE TT — 1 re IS | 740). If the nonprofit corporations or organizations stad above do business with the Sate of North Caroling ar receive State funds, please provide a brief description of the nature of that business, If known or with which due. diligence could | fread ody | Name of Nonprofit Carporation or Organization Deserts tae Businsss or Sate rnaing | | 2 Wome or Nt known | EE A — EE — | Butina 2015. ware you, your spose, ov member of Your [EREARIE Fry 3 Greets, oer govern ord | | member of any society, organization, or advocacy group with an Interest in matters over which your agency or board may Rave surisdicton | | Over fo OLesislstor/iudion! Offer - ou are no required to complete hs question you are fing because #00 are legislator or a Judcil office or ou ae fin as an oppose a bse afer | D0 no st organizations of which you are anly a member (not serving In » leadership roe). | Name of Person Name of Society, Organization Leadership Position or Advocacy Group (Director, Officer, Board Member) Fe} rAwaoGrow | (ier, Officer, Board Member) | — | — ] | NE The SEL and any attachments, excluding the Confidential Form, are public records. Page sof 10 | 8¢a). List the name of each company or business with which you were associated where YoU or a member of your immediate | family was an employee, director, officer, partner, proprietor, or member or ‘manager as of December 31, 2015. i _— TT [7 Nome of person | etationship to Fier Name of Company Role of Person ho susiness Assacations - If "No," proceed to question 10 1 I | tt —_—— —— T | A ER — S00). If you Know that any company or business any ted n (a) sbove had sy material busiass desingsor | business contracts with the State of North Carolina or was regulated by the State. as of December 31, 2015, provide 3 | brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State | C3 Wot applicable No entities sted on #92) [JN relationship / Not known | —P—m 10. are you a practicng attorney” I | Oves No [udicia OfficersState Attomey | | If “ves”, check each category of legal representation in which you or the law firm with which you are affiliated has earned | legal fees of more than $10,000 during 2015. | Er Clasmiraty compere ermal | CJ becadents tse Environmental Ctnsurance Dtavor | | (Tort litigation (including [J utilities Regulation [J Other category not listed. | neglence) oe oem | yy par ep — pep p———" | indiviaualy or 3 a member of professional association for which you cherded or wers std er $10,500 | | ove he | ——mm—m—m | I Type of Business I Nature of Services Rendered | I ————— The SEX and any attachments, excluding the Confidential Form, are public records. Page 6of 10 | 12: Are you or your employer, your spouse or members of your Immediate family, or ther employer currently: | | + Licensec by the State board or employing entty with which ‘ou are or will be associated or I |. Requlated by the State board or employing entity with which You are or will be associated or { | « Hove A 12.81 the State board or employing ently with which you are or will be associated? | | ves fhe Lensiator util Officer - ou are not required ta compete ths question you re ing becouse | | You arto legislator o a Judicial officer (1ulcal fice” x defined In the S21 Help sy op | are ling as an agnointes to hose offic. | EE ———————— inti SE ETE — I Nome of Persan Name of Employer Type of Relationship i | | it applicable) | (Licensing, Regulatory, Business) Tre) | (consing Regulatory, Business) | | ! | I T L BE - | l | | Fey ever p—TU US SS | £3. ave you, your spouse ar a member of your Immediate family currently rsistered 2a lobbyist o obit rnc, or | were you registered as such within the 12 months preceding your filing of this form? | | Oves iho 1 | GEE —— , p——— "TERE STR reer | Name of Lobbyist Lobbyist’ principal | Date of Registration | | Region | edimeato _ Ti — TT S— NE OmeRmscoswess_____________ [1a During any calendar quarter in 2015 (but only the time period after You were appointed, employed or filed or were | nominated 26 » candidate) dt you | + receive any “aif” exceeding $200 per quarter rom person or group of persons acting together, and | |= whan both you and those persons) were outside North Carolina at the time you accepted the gt(s), and. i || heats) wore ven under crcumstances that would lad a reasonable person to conclude ta thy re gen | | foriahaying? | ives sfio [0 ot epor ats giv by errs of your ssandad arly 1 | 02 not report gifts that have previously been reported by you to the Department of the Secretary of State on the I | “Expense Report for Exempted persons. Date Item Recolved | Name and Address of Donor(s) | Describe Ttom Recevad | Estimated marker | | | | Value | | | | | EE — EE The SE and any attachments, excluding th Confidential Form, are public records. Page 7 of 10 | 15. During 2015 (but only th time pend after you were appointed, employed, or fied or were nominated as a candidate) | aid you |» those person(s) were outside North Carolina and © he scholarship was rated to your public postion? A scholarship” is a grant-in-ad, either direct or indirect, | | to attend a conference, meeting, or similar event, including tuition, travel, lodging, meas, ana ones | similar expenses. | fs DM [3 uci) Officer - Yow are ra required to complete this question f you sre ual offer or you are | fing 2s o judicial office appointee | > Do not report ifs that have previously been reported by you to the Department of the Secretary of State on the | Expense Report for Exempted person.” | | > Legislators are no required to report scholarships paid by a nonpartisan legislative organization of which the egisiaor | or the General Assembly is a member or participant or an afilate of thet organization. | | _Dateor | Name and Address of Donor(s) | Describe Event | Estimated Market | Scholarship Value. | Fema | See Motch | i i -— i 7 | ] | | | | | | | 16. Were you appanted ar are you being considered for an appointment to a covered board by the Governar or ancther | Council of State member? | | Count tate members re ! » Governor > Lt. Governor > Secretary of State > State Auditor > State Treasurer » Superintendent of Public Instruction | |» attorney General > Commissioner of Agrcuture ~~» Commissioner of Lobor > Commissioner of Insurance | | ove dhe If “Yes, ist all contributions you (NOT immediate family members) made during 2015 with a cumulative | | total of mora than $1,000 to the Governor or other Council of State member who appointed you. | | Contributions are defined in N.C.G.5. 163-278.6(5) and include, bu are not limited to, “any advance, conveyance, deposit, distribution, transter of funds, oan, payment, Gift, Edge or SubscHption of money or ntEhing of vas | mnatsosyes” ! —— I Date ‘Amount Contributed to 1 [E10 contrbution(s) with & cumutative total of mare than $1,000 ———_—— | L | | —_—— EE NN The SEL and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 17. Are you an appointee or prospective appointee to: meal ial hs dd | | a the head of principal sate department (c.9. cabinet secretary) appoinied by the | ] |" Governor; or | |b. a torth Carolina Supreme Court Justice, Court of Appeals, Superior or District | |e a member of any of th follwing booras: ! + A&C Commission | | + Coastal Resources Commission | | + State Board of Education [Tes who | H + State Board of Elections | « Division of Employment Security [1 “No proceed to | + Environmental Management Commission question 18. | | + Industrial Commission | | + Human Resources Comission | + Rules Review Commission { | + Board of Transportation | | | + UNC Board of Governors | | | © Utites Commission | | |v WidWle Resources Commission —r WU | @ Iso, were you appointed or are you being considered for appaintment to that | []¥es CINo | | public poston bya Counc of Sate momar Counc of Stts Members oc 1360 | 11 wp proceed to | in question 16. | question 18. | |e fso, you must indicate whether during 2015 you (not immediate family 1 | members) engaged in any of the following activities with respect to or on behalf of | | the candidate or campaign committee of the Council of State member who | 1 appointed you to your public position: i | | DYes [INo 1. Collected contrinution from multiple contributors, took possession of such | | i ule contributans, and ransiers or delvered tse colecin | | contributions to the candidate or commiteee? Contributions are defined in | | auestion 16 i | 1. Hosted a fundraiser at your residence or place of business? OYes [INo | | Hosted 3 fundraiser of your esidancs o place of bushtess? [| ohne or mpm rtd ati, when nc, tae nat mes | to, phone banks, event assistance, mailings, canvassing, surveying, or any | (Ives [INo | other activity that advances the campaian of » canddones | | Moe — SPREE |__| | 18. Have you ever been convicted of a felony for which You have not received either: (1) a pardon of innocence; or (il) an | order of expungement regarding that convierion? | Ove whe ! Lo TTT — Offense Date of Conviction | County of Conviction | _ State of Conviction _ i | 15. Are you aware of any other formation that you befieve may assist the State EXGs Commission n advising you | concerning your compliance with the Stata Government Ethics Act? | Dives Who i yes, please provide such information below. | | | | | | | | { | The SEX and any attachments, excluding the Confidential Form, are public records. Pages of 10 AFFIRMATION afi iat thermo provided in his Ssement of Economic terest and any atchments hereto are ru, complete, | | and accurate 0 the best of my knowledge and bell | | Lats certify thar 1 have not transferred, and will no transfer, any asset, eres, or Property for the purpose of concealing it | | from disclosure hile retaining an equitable inert | | i | understand that my Statement of Economic Interest and any atachments or supplements thereto (with the exception of the | Confidential Form regarding Unemncipated Children) are public record | | acknowledge that 1 have read and understand N.C.G.5. 1384-26 regarding concealing o fin to disclose material | information snd N.C.G.5. 138-27 regarding providing ase inormason: | § 1384-26. Concealing or failing o disclose material information. | | AA fling person who knowingly conceals or knarwingly fils o disclose information thats required to be disclosed | | oma sutement of cconomic nest under tis Arie shll be auity ofa Class 1 misdemeanor and shall be subject | to disciplinary action under GS. 1384-45. i [ETS ——— | Afilng person who provides fis information on sstement of eonoic frst reid unde Arle | | knowing tat th information fas i uly of Clas H felony and shall be subject 10 isciplnzy action under | Gs.ass | | | | iageee 1g. MW 5 | | Signature = | | Aso A. GARCIA | Printed Name | | | | Submit SIGNED, ORIGINAL documents only. Do not fax or email this form. . | The SEX and any attachments, excluding the Confidential Form, are public racords. Page 1001 10 38 8 8 8 8 8 8 ER § g i H g 2 3 3 4 5 3 2 g., - ” - " x H gr 5 LEE A g £5 i 0% ¢ 28% § oz 3% B:31 EINE BL “Eel 2 Fy 2 52 0% os 3 $25 5.1 2 2 §F 33: & 3% & £53 get zz 5 $f: Lf 28% £38 HEE RIL Tis 357, fad foils ids 8 S5% 25% 0: 3 8% § zi: S38: 3 T8% 233 3 § 8% 35% ii ix ef gic 25 FE of f9F Eigr 20 £37 93% fi.f $I.f 83g ple: sii EX: 53°F B3¥E EEE EE 283% Bis ] i § $3 H as = 3 = 3 EO FE CO LT 2 SE 5 3 85 5% ES H i 2: (Zz zc iz 52 3: 2 ¢ Ei; 3¥ i: ig iF #3 is E fa 8 2 Fi} w a EER CO H i 2 H g 8 g g g 8 g g 88 Hl £8 3 CI H z H HH H ® ® = b4 k3 Ek] 2 3 H H i 3 i i fF: § 3 38% Pz f __% 8% £ § 3 gi E24 § sii gE <5? 228 § 8 TT y98% g:2°% ¥ EZ £ ¥0E £3 £ 3 ¥8% £3¢ £E:3 fEgs SF op fF OD fis 3%s § §3% § S£% £3 % ,3 § f:i% iis fT sat 2 EX3 32 3 2 & EZ LiF 5 55s cs Ss: 22 : 22 ¢ Ta: EE: eo 4 3Ea ® IRIE IER IERIE IEEE IE IRE RIEEIREIIEIIEEEEIIE § 83% §2.%8 z=. §¥: S53 H tz: £2 & 33% pihf 25% §3F ETE 538% Ff i B £ ¢ £ H i i 3 H H A 3 H fs Li £3 2 EI | 33 &_ it EEO $ i30E £8 8% iz i} ff gf 8 £2 gs £2 £2 £3 23 gf H H 3 3 3 g H H g 8 g 8 8 8 8 g ER | H 3 § z g £ H H H H H H i H H EH 3 E EE a fs 1 gf iI: §3 i i 3 E sf $F fF oF: 2% H Es §F os §og 84 HE | py 28 SF fo g5t E H §2 §2 §:2:fs §o2 ¢ $® 2% :§ 2E: § 5 FH HEI EE EE 1 igs E§ 2 % & 252 5% § Of GE $f 32 fF #f § GEE 3: ff: E58 IEgE BEg: EE fief 23ef 28° 2cz& 2&2F 338 e228 28:8 H 5s M Ss Ss Ld : 11 H iz Iz 3 H is fo HER gf 8 £2 ES gz 22 23 3 H H H EH H H Ef § 5

475s, NORTH CAROLINA STATE ETHICS COMMISSION fer 2015 STATEMENT OF ECONOMIC INTEREST | "OR EMICS Commission use one 919-715-2071 wn tncscommsson co (F128 £1 LAH FILER'S NAME (FIRST, MIDDLE, LAST) | [Alon | M [ Gwser | s08 TIME Dep of Shee Treasurer - TMD Direc oF Red Es NATURE OR TYPE OF BUSINESS eo Tiveswents REASON FOR FILING (SELECT ALL THAT APPLY) pw ME POCA IE EE “Which you work or are being considered) State boards on which you are serving or are being considered Sk Tress fe CI2UDICIAL OFFICER (Pease spectty the office you hold) _| LJ LEGISLATOR (Please speciy Rouse or Senate) Do other immediate family members reste n your nousenold? ves Oto When used throughout ths form, the term Immediate family incudes your spouse (unless legally separated), t also includes members of your extanded family (your and your spouses chidren,Srandchdren, parents, srandparents, snd ibings, and th spouses of cach of hose parsons) who reside in your household. ONLY LIST THE INITIALS OF UNEMANCIPATED CHILDREN. However, you MUST submit the hidren’ ull ames on the Confidential Form available at te end of th document. Minors ae emancipated by marriage, enlistment nthe US miltary, o court action for emancipation. ‘EMANCIPATED MINORS ‘BusINEss — — The SEI and any attachments, excluding the Confidential Form, are public records. Page 1.0f 10 INITIALS FoR empLovER 308 TITLE NATURE OF UNEMANCIPATED ‘BUSINESS ‘CHILDREN. 66 [Duphr | pTasael| We NA ie " - - T v v PROPERTY INTERESTS 1. As of December 31, 2014, did you, your spouse, or members of your immediate family: A. Have an ownership interest in orth Carolin rea esate (including your residence) with a market value of $10,000 or more? ves CINo | Owner of Real Estate || 94 Ownership Interest Location by County oot. B. Lease or rent real estate or personal property to or from the State of North Carolina with a market value of $10,000 or mare? Cives ho Name of Lessor Name of Lessee | If Real Estate, Location | If Parsonal Property, Renter) by City & County Describe 2. At any time during 2013 or 2014, did you, your spouse, or members of your immediate family sell to or buy from the ‘State of North Carolina personal property with a market value of $10,000 or more? ves @o YT NY TS EY T= The SEX and any attachments, excluding the Confidential Form, are public records. Page 20f 10 FINANCIAL INTERESTS 3. As of December 31, 2014, did you, your spouse, or members of your immediate family own any of the following financial interests valued at $10,000 or mare? A. Stock in a publicly owned company? es Ono >00 not st ownership interests In a widely held investment fund (including mutual funds, regulated. investment ‘companies, or pension or deferred compensation plans) if: (1) the fund is publicly traded or Its assets ore widely diversified; and (i) neither you nor an immediate fomily member are abi to control the assets held In the mutual fund, investment company, or pension or deferred compensation plan. Owner of Interest Full Name of Company (Do not use a ticker symbol) AlN Aref ~ Tshaves MSCI Emerging, Maske Fund. (EEM Bubs Alison Carin Duke.Enersy Cup. New (DUK) ison Gveir— Verizon Commuicchions (V2) B. Stock Options in a company or business? ove effe m—————— C. Interests in 2 non-public owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, Joint ventures, limited ably companies, mit labity partnerships, and Closely held corporations)? Des #0 - 1Nor, proceed to question 4. Owner of Interest Name of Company or Business Entity The SET and any attachments, excluding the Confidential Form, are public records. Page 30f 10 © (1). For each non-publicly owned company or business entity (the “primary company”) identified in question 3.C above, please ls the ames of ay other companies or SINGS niles m when he primary company owns Secuntie or duly Interests valved at over $10,000, known. Non-Publicly Owned Company or Business Entity | Other Companies in which the primary Company (the Primary Company) ‘Gwia Security or Equity Toterests € (2) 1 you know that any company or business entity sted In 3.C or 3C(1) above has any material business dealings or business controcts with te Stat of North Carols, or regulated by the State, rowid & bie discription of hat business acthiy. Name of Company or Business Entity Description of Business Activity with the State 53 one or Nt Known 4. As of December 31, 2014, were you, your spouse, or members of your immediate family the beneficiaries of a vested {rust with a vale of 10,000 or more that was crested, sstablihed, or controled b yous Do not list assets held in blind trusts. See 2015 SEI Helpful Tips for the definition of "Vested Trust” and “Blind Trust,” ove othe Name and Address of Trustee Description of the Trust Your Relationship to the Trust 5. As of December 31, 2014, did you, your spouse, or members of your immediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples include credit card debts, auto loans, Shadent loans personal loans and ia-fariy dene. es Ono Name of Debtor (You, Spouse, Immediate Family | Type of Creditor (Commercial Bank, Credit Union, Member) Indust ate) Me Commertin Banke, The SEI and any attachments, excluding the Confidential Form, are public records. Page 4of 10 6. List each source of income (not specific amounts) of mare than $5,000 received by you, your spouse, or members of your immediate family during 2014. Include salary, wages, state/local government retirement, professional fees, [LEA 0 tice income received fom th followin sources: capital gine Petestgovermant reticent * vitaryreiemens + Sect secur incomay S501 Ses ndusiry i a rear re ove 5.000 n 018 Etchusband me | Ste kv. rr ° PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2014, were you, your spouse or members of your immediate family a director, officer, governing board ‘member, employee, independent contractor, or registered lobbyist of a nonprofit corporation or organization operating in the State of North Carolina primarily for religious, charitable, scientific, literary, public health and safety, or educational Pre ves fo - rr, proce to uss. x ora Sore oars ts, o Fs ed 7 SORA oS on nt 1 rps a wh yo re i mao Wier postion | __ Name of Nonprofi | Natura of Business or 70 IT ora cps SHARES Tid sar 30 Soha 7 Se of Ror Cain or Tc no ore rt in, ron i ch Sos nc coi Name o Nonpron Corporation or organization eserie State Busines o tate Fanding [1 None or Not Known ©. During 2013, wer you, your spouse, oF members of your [mediate arly 3 decor, Ofer, or Governing Board member of any sacey, organization, o SAVocac 1oup wih an Intrest In Mater er WHE your 09enty or Doers may Rove Jorisdicion? [Ives Wo Loita Ofc - You as not required to compet ts custo if you re filg because you are a egsitor or udicl ffCeF ar you are ling a5 an appoMLee to hose ames: Do not lst organizations of which you ae only a member (not serving In a leadership ol). Name of Society, Organization Leadership position or Advocacy Group (Director, officer, Board Member) él, gs ifm.umuwi'i rip. | 1 (a). List the nome of each company or business with Which you were associated where you or a member of your immediate family was an employes, drector, office, partner, proprietor, ar member or manager a3 of December 31, 2014 TT PY Te TT Tr fo Business Associations 900). 1f you know tht any company or business encty sted In 9(e) sbove had any material business dealings or business Contracts wih the State of Noth Carolina of was regulated by the Sate as of December 31. 2014, provide brief scription of that business acivy. fot appicable (No ene sted on #92) _ CI No relations / Hot known 10. Ave you a proctcing atormey? Oves ®fNo [Judicial Offcer/State Atormey 1Yes", check each category of legal representation in which you or the law in with which you are afiated has eared legal fea of more than $10,000 during 2014: Administrative OC amiaty OiCarporate Cicnmnal (0 becedents Estates CO envronmenta Olinsurance Cotator Ctocal Government Real Progerty Oisecurites [a Cort tigation (including Cries Regulation othr category not sted. negligence) The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 10 11. During 2014, were you a licensed professional (other than an attorney) or did you provide consulting services | incividualy or 25.» member of 8 professions association fo which you charged o were pais ver $10,0007 Oves fo Type of Business Nature of Services Rendered 12. Ave you o your employer, your spouse or members of your immediate family, or ther ployer curently: «Licensed by the State bord or employing entiy with which you are o wil be associated or + Regulated by the State boar or employing entity with which you are or wil be sociated or . the State board or employing entity with which you ae or will be associated? Yes No C]Leoisiator/iuicol Office - You are not required to complete this question if you are filng because. ‘you are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are ing as an appoint to those offices Name of Person Name of Employer Type of Relationship. it applicable) (Licensing, Regulatory, Business) 13. A you, your spouse or member of your immedats ory Crrently registered 3 a lobbyist or IGboys principal or were you registered as such within the 12 months preceding your filing of this form? | | ove oe i Name of Lobbyist Lobbyists principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter in 2014 (but only the time period afer you were appointed, employed or fled of were nominated as a candidate), did you » receive any "gift(s)” exceeding $200 per quarter from a person or group of persons acting together, and when both you an those person(s) were outside North Carolin a th time you accepted the gif(), and + the oih(s) ere given under cumstances that would ead a reasonable person to conclude that they were given for lobbying? Ove fe Do not report gifts given by members of your extended family. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the “Expense Report fo Exempted Persons” The SEX and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 15. During 2013 (but only the time period ater you were appointed, employed, or fied or were nominated 35 8 candies) you * accept a “scholrship* exceeding $200 fom person or roup of parsons acing together and «those persons) were outside North Coral and * the scholarship was rested to your public poston? A “scholarship” Is 8 grant-in-aid to attend a conference, esting, or Similar event. D2¥es Bio [J uci Officer - You ae not required to compete ti austin if yo are a cil offeror you are ling 55 a dca officer oppotes. > Do nt report if that hve previously been reported by yau o the Department ofthe Secretary of Sate on the SEcpence Repo for Bxompred persons. > Legislator or no reuird to report scholarships pid by a nonpartisan egiiatve organization of whic the legato or the Gener! Asambiy 1 & member of paricpan of on foe of thet nde. Date of Name and Address of Donor(s) scholarship 16. Were vou appointed or are you being cansiered for an appoimant to a covered board by the Governar or another Council of Sate member? Council of state members are: Se — > it Governor > Secretary of sate > State ucor > state Treasurer » Superintendent of Public Instruction » Attorey General > Commissioner of Agriculture» Commissioner of Labor > Commissioner of insurance aves fo If “Yes”, list all contributions you (NOT immediate family members) made during 2014 with a cumulative total of mare than $1,000 to the Governor or oier Counc of State member wo Sppaimsd You. > Contributions are defined in .C.GS. 163-278.6(6) and include, but are not limited to, “ay advance, conveyance, | epost, disibution, ante of unde, oan, pAYTRGH, Gi ped or Subeeption of honey a Amma are whatsoever,” bate Amount Contributed to Io contriution(s) wha curative total of more han $1,000 I — The SEX and any attachments, excluding the Confidential Form, are public records. Page or 10 17. ve you on appointee or prospective sppolnee ta: a. the head of a principal sate department (6.9. cabinet secretory) appainted by the Governor; or b. 2 North Carolina Supreme Gout Justice, Court of Appeals, Superior or District Court Judge; or a member of any of th following boards: + 5C Commission + Coastal Resources Commission + State Board of Education Oves Who + State Board of Fectons + Owison of Employment Security I “No”, proceed to + Environmental Management Commission Question 18. © Industrial Commission + Human Resources Commission + Rules Review Commission + Board of Transportation + UNC Board of Governars + Utites Commission + Wile Resources Commission 4.150, were you appointed or are you being considered for appointment to that public | C1 ves &fNo position by Counci of State member? Counci of Sate menbors are ted im FI Guestion 16. Question 18. "11 50, you must indicate whether during 2014 you (not immediate fay marbers) engaged in any of the following aches with respect to o on behalf of the candidate or campaign committee of the Councl of Sate member whe appointed Jou to your publ poston: [Yes ho 1. Collected contributions from mltpl contributors took posession of uch multle contributions, and transferred or deiered those colected contributions £0 the candidate or Commitee? Contributions re defined in Gestion 16, ii. Hosted a fundraiser at your residence or place of business? OYes ho i. Volunteered or campaign- related aces, which include, but are no Imad fo, phone banks, event assistance, mailings, canvassing, surveying, or any other | (]¥es rio actwty that advances the campaign of 3 Candiosies 18, Have you ever been convicted of a felony for which you have not received either: (i) a pardon of innocence; or (il) an order of expungement regarding thot conviction” Oves Eo [ oWeme | ooteot Comicon | County of conviction | state of Conviction 19. A you aware of any other information that you beeve may assist the State Ethics Commission in advising you concerning your compliance with the Stat Governmmens Ethics Ae ves No iryes, please provide such information below. The SEX and any attachments, excluding the Confidential Form, are public records. Pages of 10 AFFIRMATION Taffeta the information provided ns Statement of Economic ners and any stshmens eet are roe comin ond accurse t he bet of my knowledge ad ble Lalo ony thr have no transfered, and ill ot conser, a set, intrest, o propery forthe purpose of conan rom disclosure while recuning an quale eres, understand that my Ststement of Economic nest and any atschmnss or supplements thereto (vith he exception of the Confidenal Form regarding Uncmancipated Children re ule few. acknowledge thr ave read and understand N.C.G.5, 138A-26 regarding conssling or fling to disclose materia information and N.C.G.S. 138A27 regarding providing fe inforneion § 1384.26 Concalng or fling to cisclose materia information. A filing person who knowingly cancels or knowingly fils to dislos information that required to be disclosed ana statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to isi acon under G5. 13S. § 1384.27. Ponay or ase information, A filing person who provides fle information 1 a stem of economic terest s required under his Ancle Knowing hat the formation is ls i iy of a Clas Felony and shall be sbjet o splay chon ant GS. 138Ac45. agree Aisen M. Gavrio— Printed Name Rus BDircie— Helis” TT Some Tare Submit SIGNED, ORIGINAL documents only: Da not fax or email this form. The SEE and any attachments, excluding the Confidential Form, are public records. Page 100r 10