Anna Spangler Nelson

or ttf Use On 6 STATE ETHICS COMMISSION pate Receial CEIVEL EAs) i lr {jj 2023 STATEMENT OF ECONOMIC INTEREST 2720 “This entire form must be completed to fulfill NC ETHICS Gommssy your ethics filing obligation. PUSH) ER TA i — FE FR State Government Job (Specly agency and postion.) | Baard/Commissan (List the complete ames of al Sate boards on which you are Serving or re being considered.) Tame ‘Currently Serving as a Judicial Officer (Specify office.) oat Serves Fler (Seely ice Weld 2022, €1. Jude, Iegisitor, istrict attorney, o lek o court) A. Do any Immediate family members reside In your household? mYes Ono “Immediate family Includes your spouse (unless legally separated) and unemancipated minr children (under 18). IE alo ncudes members of your extended family (your and you spouse's chien, orandehidren, parents, Grandparents, ans Sings, and he spouses of €achof thos persons) who reside i your household. List the ull name of al immediate family members residing In your household. Lis unemandpated minors on separate form. Minors may be emancipated by mariage, enlistment in the US milkary, of court order for emancipation. The SEX and any attachments, excluding the Confidential Form, are public records Page TofT 5. List ony he nae ofall unemancipaed miners i your household blon A minor sa chld under 18 yers ad List the full name of each minor cid onthe Confidential Form at the end: Taitaisat Sob Tite unkimantiasted Property Interests Lhe of December 51,2022, dd you ar ay members of your mmedtefoniy: A. have on owners terest in North Crain eal esate (ncluin your residence) witha marke value of $10,000 ra Gv Ot Owner or meat Estate | 9 ownership terest | Location ity | Location by County [enero ™ | we [cn | ves Thomas Craig Nelson 100% Mecklenburg Beas rent el estate personal papery a om the Sate of orth Crna witha orket value of $10,000 roe ClYes [No Nome of Lossor I Rea Estate, Location | 1 ersanal property, by City & County Describe 2 a me during 202 o 202, di you o oy emer of your edt rly el or boy peeanal propery Ee See rt Cora wi amen va 1 $10,000 of res Ove © | Nomeofpurchaser | Nameorseter | Type of Property The SEX and any attachments, excluding the Confidential Form, are public records. Page 20110 [Yes [No | ownerotmersst [ruil Nameof Company or ticker symbol [orm ee [Yes [No I I EC EE [Yes [No [orm [eee — Yes [No ([J1 had no reportable income over $5,000 in 2022. EEEEER I EE EE EE I I EE I [Wome of person | Relationship to iter | Wameof company | Roleof person | IE I FE EN I A E— I EE ER I I EA ER I I FE I EE EE EE EE [Decedent's Estates [J Environmental Dinsurance [Labor [J Local Government CIReal Property [Securities Tax (J Tortiitigation (including [utilities Regulation [J Other Category I EE I EE 12. Are you or your employer, or any members of your Immediate family, or their employers currently: «licensed by the State board or agency with which you are or will be assodatedor + regulated by the State board or agency with which you are or wil be associatedor + Ina business relationship with the State board or agency with which you are or will beassociated? Ces No [] Legislator udicial Officer - You are not required to complete this question If you are fing because You are a legislator or a judical officer or as a candidate or appointee to those offices. However, if you are also fing as a member of a State board or a5 a State employee, picase answer "yes" or "no" to this question. If you respond “yes,” provide additional Information. Name of Employer Type of Relationship (if applicable) (Licensing, Regulatory, Business) 13. Have you or a member of your Immediate family been registered as a lobbyist o lobbyist principal within the 12 ‘months preceding your fing of ths SEI? ves @No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration Other Disclosures 14. During 2022, after you were appointed, employed, or fled or were nominated as a candidate, did you + receive any "gif(s)" exceeding $200 per quarter rom a person or group of persons actingtogether, + when both you and those person(s) were outside North Carolina, + under circumstances that would lead a reasonable person to conclude the gifts were given forlobbying? To answer Yes, all three conditions must apply. Oves Eno > Do not report gifts given by members of your extended family. Do not report gifs you have previously reported on the "Expense Report for Exempted Persons. [ore om neces] Name and Address of Donor(s) | Describe Item Received [Ermer | The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 Date of ‘Name and Address of Donor(s) [Yes [No 17. re you on apples of prospective ppontss 35 hehe of pin te dpe (e.0. ct ert) ESS 3 orth Carona Supreme Cou sic; or a Court of peas, Super, ar Se Co osm C amember of any ofthe folowing boards: Over wo 2c Commission Fo” raced to austin 15 Coastal esmurees Gommisson © State Boar of Elections iin of Employment Secrty + Environmental Managemen Commission Jr —— © Scart of Tansprtaton unites Gommion © Wife Resources Commision 4 Ts ware vou sopotad or are you bing consderd for appartment to wat | Yes CIN item oy 2 Commenters Mo proces to question 18 « Iso, you must Indicate whethar during 2023 you engaged 1 any of the oho aes wi esp or Sonat ofthe. cae or eron ae {Colca contributions from mule contributors, tok possession of such dil. Contos, and onset 0 diered tose ceed ovate oe corde o Somat i. Hosted a fundraiser at your residence or lac of business? [Ove ome | i Wires for cryartsiad Seeing Feieg plore a SEL assistance, mailings, canvassing, surveying, or any other activity that | (J¥es [JNo Sevan: the Campa ofa canner 15 Have you ver been conic of elon fo hich you hav nt recaved oer) pardon or (1) a order of ——— Oves [No [omens | osteot conviction] county or conviction | state of Gonvietion 15. Are you aware of any ote forma tht you Ballers ray at th Eics ammo nang you Co Tor coma win St Sova ves 3 [Yes [IN if yes, less provide tat formation eon. The SEX and any attachments, sxcluding the Confidential Form, ar public records Page sor 10 “The information provided in this Statement of Economic Interest and any attachments are true, complete, and accurate to the best of my knowledge and beler. have not transferred, and will not transfer, any asset, Interest, or property fo the purpose of concealing it from disclosure while retaining an equitable interest. understand that my Statement of Economic Interest and any attachments except or the Confidential Form regarding Unemandipated Children are public records. Ihave read and understand the following statutes: N.C... § 1384-26. Concealing or failing to disclose material informatio. Ailing person who knowingly conceals or knowingly fails to disclose information that s required to be disclosed on a statement of economic interest... . shall be guilty of a Class 1 misdemeanor and subject to disciplinary. action under G.S. 1384-45 N.C.G.S. § 1384-27. Penalty for fase Information. Ailing person who provides false information on a statement of economic interest . . . knowing that the information i false i gully of a Class H felony and shall be subject t disciplinary action under G.S. 1384-45. Laffirm under penalty of perjury that the foregoing is true and correct. cn gangs Narn 3-23.93 Signature, Date Aun Spangler Nelson Printed Name Submit signed, original documents only. Do not fax or e-mail this form. — ZZ The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 10

for satus ony Go STATE ETHICS COMMISSION A hell ji) 2022 STATEMENT OF ECONOMIC INTEREST RECEIVED Ez HAR 0.4 2022 This entire form must be completed to fulfill NG ETHICS COMMISSION your ethics filing obligation. Fier’ Name (First Hidde, Los) [protic | [Madi Name | Last Name [sux] Site Government Job (Spey agency and postion) | Board Commisslo (Lit the compete ames of 3 Sate Soarde an whic yo are serving or ar being considered.) Currently Sening 23a Toda Officer (Speci office) | Crrenly Serving 55 Legato (Spey Rouse or Senate) Are you a CANDIDATE for a covered elected office? | If Yes, List Office and District/County (if applicable) (District, Superior, or Supreme Court, Court of Appeals, i Clerk of Cou, District Attorney, or General Assembly) []Yes [J No A. Do other immediate family members resid in your household? [Yes [No On this form, “Immediate family” includes you spouse (unless legal separated). It 50 Includes members of your Citended ami (your and your spouse's chide, arandehlre, parents, Grandparents, and sings, and he spouses of cach of ose person) who read In your household: Lis the ul name of all adults and emancipated minors n your household Minors re chidren under 15. They are cmancipsed by mariage, cnlsiment nthe US mikey, or court order for emancipation: Mm | tes |_| wren Emancipatea Minors The SEE and any attachments, excluding the Confidential Form, are public records. Page 10r10 Loe of nh min 4 on th Contd Frm ten, | lite | ee [me [ene] rn" ‘Unemancipated a - ——— Property Interests a te | ownsrornersee | vow rent | toctinoy oy | toctionty coy mare EN espe TTT Re Te — a oe oa EEE ET YS ETT eee yale aan Ss A ler —— Financial Interests Rives [INo a TT wma | motcmmmo set C(1). For each company or business entity identified in question 3.C. (the “Primary Company”), please list the names IX None or Not Known under “SEls / SEI Helpful Tips”: https: //ethics.nc.oov. [Yes [INo EI EE EE []1had no reportable income over $5,000 in 2021. I E E— — | Professional and Civic Relationships | 7(a). During 2021, were you or any 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 North Carolina primarily for religious, charitable, scientific, literary, public health and safety, or educational purposes? Yes [No If "No," proceed to question 8. > Do not lst State boards or entities. > Do not lst organizations of which you are a mere member. Name of Nonprofit Nature or Corporation or Organization | Purpose of Organization 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive. State funds, briefly describe the nature of that business, If known or with due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business CJ None or Not Known 8. During 2021, were you or any members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency o board may have Jurisdiction? [DiYes [NNo [J Legislator/udicil Officer - You are not required to complete this question if you are fling solely. because you are a legislator or judicial officer or 2s a candidate or appointee to those offices. However, if you are also filing as a member of a State board or as a State employee, pease. answer “yes” or “no” to this question. If your response Is “yes,” provide additional Information. > Do notlst organizations of which you are only a member and do not serve In a leadership role. Name of Society, Organization, Leadership Position or Advocacy Group (Director, Officer, Board Member) ‘The SEX and any attachments, excluding the Confidential Form, are public records. Page 5 of 10 Name of Person _ Relationship to Filer Name of Company | _ Role of Person __| [No Business Associations EC EE EE 9(b). If you know that any entity listed in 9(a) above had any material business dealings or business contracts with the Cow | 10. Are you a practicing attorney? 0 Tort litigation (including (0) utilities Regulation [0 Other category not listed negligence) a es 12. Are you or your employer, or any members of your immediate family, or their employers currently: + licensed by the State board or agency with which you are or willbe associted or + regulated by the State board or agency with which you are or will be associated or + in a business relationship with the State board or agency with which you are or will be associated? [Yes KINo [J Legislator/udicial Offcer - You are not required to complete this question if you are fling because. You are a legisator or a judicial oficer or as a candidate or appointee to those offices. However, if you are also fling as a member of a State baard or as a State employee, please answer “yes' or no” to this question. I you respond yes,” provide additonal Information. Name of Employer ‘Type of Relationship (if applicable) (Licensing, Regulatory, Business) 13. Have you or a member of your Immediate family been registered as a lobbylst or lobbyist principal within the 12 months preceding your fling of ths form? OvYes Eno Other Disclosures 14. During 2021, after you were appointed, employed, or fled or were nominated as a candidate, did you + receive any "gif(s)” exceeding $200 per quarter rom a person of group of persons acting together, when both you and those person(s) were outside North Carolina, «under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, al three conditions must apply. OYes @No > Do not report gifts given by members of your extended family. » Do not report gifts you have previously reported on the “Expense Report for Exempted Persons. =] EE —— han The SET and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 To answer Yes, both conditions must apply. Date of ‘Name and Address of Donor(s) OvYes [No AA rio use os SA te? CT Comes 7. you an appa o prospec ppates ess os cl st eprnen (5. cin sero) oe | b. a North Carolina Supreme Court Justice; or a Court of Appeals, Superior, or | Si Cou uionr or . amember ot any of te folowing bord: Oves Ie =" ec comission a” raced to question 1. Jt — State our of Education © State sod of Eactions © Diiion of Employment Sect Jr p—— PR — Rules Review Commission > Sra etarspertaton © Unies Gammon © Whe Resources Commission d. 1f so, were you appointed or are you being considered for appointment to that | [Yes [No Soon Coma se mers Eo aga «Wo, you must nda whather dung 2051 you angaged nam of the it cme wil eho oh bent of sh cave o cpa oe Counc Sets roe wa Spot: i. Colected contin fom mule contributor, tok possess of such firatapsesitmeiiiia bogota] [SRT Conaiton to he carte or ames 1 osted under at your residence or pace of business Ove Oo TW. Vauniered for campaign dated actus, ncn hone banks, event i, aes or a oe wits ek | Yes C1No pried To Wave yo ver bee cone af a tony for wh ya Fave ok rcaied er 0 pardon; o 1 an order of pobbiche Oves [No [omens [oweotcomiction | county of Comicon | state of conviction 5 Ar you svar oan over fora tat you balls 7 asthe Efics Comision ava You ne vo oman win ne ate Coven: ve 3c (Yes DINo yes, posse provide tat formation belo: Fie 2d Spte ave mei eet vi Walked Grong no Coron aod or rc SE: ee oo oo oda es Bid wi tt Lor o Rr Caro at Cone hd Sori Cos St Uri se prt The Sex and any attachments, excluing the Confidential Form, are public records. Page sr 10 ‘The information provided In this Statement of Economic Interest and any attachments are true, complete, and accurate. | tothe best of my knowledge and belle 1 have not transferred, and wil not transfer, any asset, Interest, or property for the purpose of concealing it from disclosure while retaining an equitable Interest. 1understand that my Statement of Economic Interest and any attachments except for the Confidential Form regarding Unemancipated Children are public records. Ihave read and understand the following statutes: N.C.G.S. § 138A-26. Concealing or falling to disclose materia information. A fling person who knowingly conceals or knowingly fals to disclose Information that s required to be disdosed on a statement of economic interest... . shal be guily of a Class 1 misdemeanor and subject to disciplinary action under G.S. 1384-45. NCGS. § 1384-27. Penalty for false Information. A fling person who provides false information on a statement of economic Interest... knowing that the Information is false Is guilty of a Class H felony and shall be subject to disdplinary action under G.5. 1384-45. Taffirm under penalty of perjury that the foregoing Is true and correct. fora Sputlor Kibimy 2.26-22 Signature Date Anna Spangler Nelson Printed Name. Submit signed, original documents only. Do not fax or e-mail this form. The SEL and any attachments, excluding the Confidential Form, are public records. Page 10 of 10

For Stat Use ony FT STATE ETHICS COMMISSION | Dots Raves (aks) RECEIVED Q&l/s 2021 STATEMENT OF ECONOMIC INTEREST & FE3 08 2021 This entire form must be completed to fulfill NCES COMBS your ethics filing obligation. Fler Name (Firs, Middle, Last) Prefix First Name Middle Name Last Name Suffix ———————— Current Employer Job Tite — Nature or Type of Business Feoson for Fling (Complete al that apply.) State Government Job (Spey agency and position) | Board Commission (List the complete names of al Stare bards on which you are serving or are being considered.) Judicial Officer (Speciy office) Legislator (specify House or Senate.) ] A. Do other immediate family members reside In your household? Yes Oto On this form, "immediate fom” includes your spouse (unless legally separated). It als includes members of your extended family (your and your spouse’ chdren, grandehidren, parents, grandparents, and Sings, and the 390uses of each of those persons) who reside In your household. List the full ame of all adults and emancipated minors in your household. Minors are children under 18. They are | emancipated by marriage, enlistment in the US miltary, or court rdar for emancipation Full names of Adults and | Relationship Employer Job Title | Nature of Business. Emancipated Minors i The SEX and any attachments, excluding the Confidential Form, are public records. Page 10f 10 ‘Unemancipated ‘Minors —— | MYes [ne DOvYes [Nhe by City & County Describe Te rT TE Financial Interests 3. As of December 31, 2020, did you or any members of your immediate family own any of the following financial interests women | rlvemeot company or tram [Yes [No [Yes [INo- If"No,” proceed to question 4. ‘names of any other companies or business entities In which the Primary Company owns securities or equity Do not list assets held in blind trusts. See 2020 SEI Helpful Tips for the definition of "Vested Trust” and "Blind Trust.” Mes [ito | 5. As of December 31, 2020, did you any members of your immediate family have liabilities of $10,000 or more, excluding [Yes [No [1 had no reportable income over $5,000 in 2020. I —— — Professional and Coie Relationships joey [@Yes [J No- If "No," proceed to question 8. ame ot parson tn ame rmergront | wareer Corporation or Organization Purpose of Organization [None or Not Known i Name of Person | Name of society, Organization, Leadership Position [iia Os — I EE A EE [| 10. Are you a practicing attorney? [Local Government: (J Real Property OC Securities. OC Tax | DTort litigation (including (0 Utilities Regulation CJ Other category not listed | 11. During 2020, were you a licensed professional (other than an attorney) or did you provide consulting services EE 12. Are you or your employer, or any members of your Immediate family, or their employers currently: «licensed by the State board or agency with which you are or willbe assocated or «regulated by the State board or agency with which you are or wil be associated or + ina business relationship with the State board or agency with which you are or vill be associated? OYes [No [J Legislator/Judicial Officer - You are not required to complete ths question if you are filing because You are a legislator or a judicial officer or you are fing as an appointee to one of those offices. Name of Person Name of Employer Type of Relationship (if applicable) (Licensing, Regulatory, Business) 13. Have you or a member of your immediate family been registered a5 a lobbyist or lobbyist principal within the 12 months preceding your fing of this form? Oves Eno Name of Lobbyist Lobbyist's Principal Date of Registration Registration Expiration Other Disclosures 14. During 2020, after you were appointed, employed, or fled or were nominated as a candidate, did you + receive any "gif(s)" exceeding $200 per quarter from a person or group of persans acting together, + when both you and those person(s) were outside North Carolina, + under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, all three conditions must apply. ves Eto Do not report gifts given by members of your extended family. | Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” Date Item Received | Name and Address of Donor(s) | Describe Item Received | Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public recards. Page 70f 10 15. During 2020, after you were appointed, employed, or filed or were nominated as. candidate, did you + accept a “scholarship” exceeding $200 related to your public position from a person or group of persons acting together, + when those person(s) were outside North Carolina? To answer Yes, bath conditions must apply. A “scholarship” is a grant-in-aid, either direct or Indirect, to attend a conference, meeting, or similar event, Including tuition, travel, lodging, meals, and other similar expenses. OlYes [No (Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. PDO not report gifts you have previously reported on the “Expense Report for Exempted Persons.” > Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member, particioant, or afflate. Date of Name and Address of Donor(s) Describe Event Estimated Market scholarship Value 16. Hove you been appointed or considered for appointment to a covered board by the Governor or another Council of State member? Council of State members are: | > Governor > Lt Governor > Secretary of State > state Auditor > State Treasurer > Superintendent of Public Instruction > Attorney General > Commissioner of Agriculture» Commissioner of Labor | > Commissioner of Insurance. Oves Eno 1f “Yes,” list all contributions you made in 2020 with a cumulative total of more than $1,000 to the Council of State member who appointed you. Do not include contributions from immediate family members. > Contributions are defined broadly in N.C.G.S. 163-278.6(6) and Include “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, Gift, pledge or subscription of money or anything of value whatsoever.” Date | Amount Contributed to No contributions) with a cumulative total of more then $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 A — T——— 17. Are you 2n appointee or prospective appointee as: a. the head of a principal state department (e.g. cabinet secretary) appointed by the Govemor; or ba North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or a member of any of the folowing boards: Ces No + ASC Commission 11°No,” proceed to question 18. + Coastal Resources Commission + State Board of Education + State Board of Elections + Division of Employment Securkty + Environmental Management Commission + industrial Commission + Human Resources Commission + Rules Review Commission + Board of Transportation + Utes Commission | + Wildite Resources Commission 6. If so, were you appointed or are you being considered for appointment to that | Yes [No paskion by a Counc of State member? 1 "No," proceed to uestion 16. If so, you must indicate whether during 2020 you engaged in any of the following activities with respect to or on behalf o the candidate or campaign committee of the Counc of State member who appointed you: i Collected contributions from multiple contributors, took possession of such multple_contrbutions, and transferred or delivered those collected | (J Yes CINo contributions to the candicate or committee? ii. Hosted a fundraiser at your residence or place of business? Oves Co 1. Volunteered for campaign-related activities, including phone banks, event assistance, mailings, canvassing, surveying, or any other activity that (1¥es [No advances the campaign of 2 candidate” 18. Have you over been convicted of 2 felony for which you have not received ether: (1) 3 pardon; or (I) an order of expungement? Oves Eno offense Date of Conviction | County of Conviction State of Conviction 19. Are you aware of any other information that you believe may assist the Ethics Commission In advising You concerning your compliance with the State Government Ethics Act? | [(SY¥es [No If yes, please provide that information below. The SEX and any attachments, excluding the Confidential Form, are public records. Page 9 of 10 Affirmation “The information provided inthis Statement of Economic Interest and any attachments are true, complete, and accurate 10 the best of my knowledge and belt have no transferred, and vil no transfer, any asset, interest, or property fo the purpose of concealing I from disclosure whi retaining 3 equitable terest understand that my Statement of Economic Interest and any attachments except forthe Conficental Form regarding Unémanciaated Chien are pusic records. have read and understand th following statutes N.C.G.5.§ 1364-26. Concealng or fang to csclose material information. A fling person who knowingly conceals or knowingly fall to disclose Ifermation that Is required to be discosed on a Statement of economic terest. shall be quity of 8 Class 1 misdemeanor and SUbJEt to CGPINBrY acton uncer G 5. 1388.45. N.C.G.S.§ 1364-27, Penaty for fice Information. A fling person who provides fase information cn » statement of economic Interest... knowing that the Information 1 als uly of a Class felony ard shall be Subject to 45 plnary scion under G.5. 138445. Taffirm under penalty of perjury that the foregoing i true and correct. 20 pyar Non 2 LNEAY Sianature Bate PrntedName Submit signed, original documents only. Do not fax or e-mail this form. The SEX and any attachments, excluding the Confidential Form, are public records. Page 100110

rose df CEIVED Go STATE ETHICS COMMISSION Dote Recelved: \ AR 10 2 4 #/}] 2020 STATEMENT OF ECONOMIC INTEREST OF 2020 NC ETHICS COMMISSION ; OR + completion This entire form must be completed to fulfill DA cts or compte your ethics filing obligation. — Scammed __oate Incomplete Qs __ ____ Sop sencdate by Supp. received doe entered in database [— Filer's Name (First, Middle, Last) TE =] Current Employer Job Tite Spangler Companies, Ine Wakefild Group, Inc. Chair President Nature or Type of Business Investments, Management Services Reason for Filing (Complete al that apply) ‘State Government Job (Specify agency and position) | Board/Commission (List the complete names of all State boards on which you are serving or are being considered.) UNC Board of Governors Judicial Officer (Specify office.) Legislator (Specify House or Senate.) A. Do other immediate family members reside in your household? Yes Oo On this form, “immediate family” includes your spouse (unless legally separated). It also includes members of your extended fail (your and your spouse's chidren, grandchildren, parents, grandparents, and sibings, and the spouses. of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. Minars are children under 18. They are emancipated by marriage, enstment n the US miltary, o court order for emancipation. Full names of Adults and Employer emancipated Minors The SEX and any attachments, excluding the Confidential Form, are public records. Page 10f 10 ‘Unemancipated EC CR CR ETS ETS Sr | Owner of Real Estate| % Ownership interest | Location by city Location by County homas Craig Nelson 100% Charlotte Mecklenburg by City & County Describe | Nameotpurchaser | Nameorsemer | Type of Property | ownerotmmerest | Full Name of Company or ticker symbol Mom e—— XYes [No ‘Owner of Stock Option Full Name of Company (Do not use a ticker symbol) [X)Yes [JNo- If "No," proceed to question 4. C(1). For each company or business entity identified in question 3.C. (the "Primary Company"), please list the Cov Do not lst assets held in blind trusts. See 2020 SEI Helpful Tis for the definition of "Vested Trust” and *Blind Trust.” KYes [No 6. List each source of incomé (not specific amounts) of more than $5,000 received by you or any members of your iy EN I [Yes [ENo [JLegislator/Judicial Officer - You are not required to complete this question if you are filing because 12. Are you or your employer, or any members of your immediate family, or thelr employers currently: + licensed by the State board or agency with which you are or wil be associated or + regulated by the State board or agency with which you are or wil be associated or + in a business relationship with the State board or agency with which you are or will be associated? OYes [No [J Legislator/Judicial Officer - You are not required to complete this question if you are filing because You are a legislator or a judicial officer or you are ling as an appointee to ane of those offices. Name of Person Name of Employer Type of Relationship (if applicable) (Licensing, Regulatory, Business) 13. Have you or a member of your immediate family been registered as a lobbyist or lobbyist principal within the 12 months preceding your ing of this form? Oves mio Name of Lobbyist Lobbyists Principal Date of Registration Registration Expiration Other Disclosures. 14. During 2019, after you were appointed, employed, or filed or were nominated as a candidate, did you + receive any “Gift(s)" exceeding $200 per quarter from a person or group of persons acting together, + when both you and those person(s) were outside North Carolina, + under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, all three conditions must apply. Oves mho > Do not report gifts given by members of your extended family. > Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” [Pee om Receives Name and Address of Donor(s) | Describe Item Received [Fis] ‘The SET and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 15. During 2019, ater you were appointed, employed, or filed or were nominated as a candidate, did you + accept a “scholarship” exceeding $200 related to your public position from a person or group of persons acting together, + when those person(s) were outside North Carolina? To answer Yes, both conditions must apply. Avscholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. [Yes [SNo [Judicial Oficer - You are not required to complete this question if you are a judicial officer or you are fing as a judicial officer appointee. > Do not report gifts you have previously reported on the “Expense Report for Exempted Persons.” > Legistators are not required to report scholarships paid by nonpartisan legislative organization of which the legislator or the General Assembly Is a member, participant, or affiate. Date of Name and Address of Donor(s) | Describe Event Scholarship 16. Have you been appointed or considered for appointment to a covered board by the Govemor or another Council of State member? Council of State members are: > Govemor > Lt Governor > Secretary of State > State Auditor > State Treasurer > Superintendent of Public Instruction > Attorney General > Commissioner of Agriculture» Commissioner of Labor > Commissioner of Insurance Oves @No 1 “Yes,” lst all contributions you made in 2019 with a cumulative total of more than $1,000 to the Council of State member who appointed you. Do not include contributions from immediate family members. » Contributions are defined broadly In N.CG.S. 163-278.6(6) and include “any advance, conveyance, deposit, Gistrbution, transfer of funds, loan, payment, if, pledge or subscription of money or anything of value whatsoever.” CJNo contributions) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 agp Rives [No If yes, please provide that information below. ‘The information provided in this Statement of Economic Interest and any attachments are true, complete, and accurate to the best of my knowledge and belief, 1 have not transferred, and will not transfer, any asset, Interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest understand that my Statement of Economic Interest and any attachments except for the Confidential Form regarding Unemancipated Children are public records. 1 have read and understand the following statutes: N.C.G.5. § 1384-26. Concealing or failing to disclose material information. Afiling person who knowingly conceals or knowingly fails to disclose information that s required to be disclosed on a statement of economic interes... - shall be guilty of a Class 1 misdemeanor and subject to disciplinary action under G.5. 1384-45. N.C.G.S. § 1384-27. Penalty for false Information. Ailing person who provides false information on a statement of economic interest . .. knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 1384-45. Taffirm under penalty of perjury that the foregoing is true and correct. bond gle Nolan 3-9-20 Signature Bate Anna Spangler Nelson Printed Name ‘Submit signed, original documents only. Do not fax or e-mail this form. ‘The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 10

war BECEVED — Dore Recenes Gai) STATE ETHICS COMMISSION FEB 2 8 2019 Ce 2019 STATEMENT OF ECONOMIC STATE ETHICS COMMISSION INTEREST Js Checked for congietion This entire form must be completed to fulfill 5 seams spline your ethics filing obligation. J I —— Supp. sen date Ca Sup. recemed date encred in doabase [T— Spangler Companies, Inc Wakefield Group, Inc.| Chair President Tnvestments, Management Services Reason For Fling (Complete al that apply.) State Government Job (Spey agency and position.) on which you are serving or are being considered.) ] Bh A. Do other immediate family members reside in your household? Res Oo On this form, "immediate family” includes your spouse (unless legally separated). It also includes members of your extended fail (your and your spouse's children, grandchildren, parents, grandparents, and sibings, and the spouses of cach of those persons) who reside in your household. List the fll name of all adults and emancipated minors In your household. Minors are children under 18. They are emancipated by marriage, enlistment n the US miltary, or court order for emancipation El a a IRC ed Emancipated Minors. [CET Ey ee—— — The SEI and any attachments, excluding the Confidential Form, are public records. Page 10f 10 ‘Unemancipated | owner ot estate| os unartp narst | tocationby city | tacationiy county Ea ES LT OYes [No by City & County Describe [KIYes [INo- If "No," proceed to question 4. Do not list assets held in blind trusts. See 2019 SEI Helpful Tips for the definition of "Vested Trust” and “Blind Trust.” [MYes [No [Yes [No individual, etc.) Se Atached r rrr 1 HEE EE EE A ER Name of Nonprofit Corporation or Organization | Describe state business | (J None or Not Known Jurisdiction? Te eT RL ET EE EE rr 1] I I EE EE I EE EE EE fewonu rr I EE o frig (including [0 utilities Regulation [0] Other category not listed EE Tr] 12. Are you or your employer, or any members of your immediate family, or thelr employers currently: + licensed by the State board or agency with which you are or wil be associated or + regulated by the State board or agency with which you are or wil be associated or «in 2 business relationship with the State board or agency with which you are or wil be associated? [Des No [JLegislator/3udical Officer - You are not required to complete this question if you are fing because: ‘You are a legislator or 2 Judicial officer or you are fling as an appointee to one of those offices. Name of Employer Type of Relationship. (if applicable) (Licensing, Regulatory, Business) 13. Have you or a member of your immediate family been registered as a lobbyist or lobbyist principal within the 12 months preceding your filing of this form? Oves mo Name of Lobbyist Date of Registration Registration Expiration Other Disclosures. 14. During 2018, after you were appointed, employed, or filed or were nominated as a candidate, did you + receive any "gif(s)" exceeding $200 per quarter from a person or group of persons acting together, + when both you and those persons) were outside North Carolina, + under circumstances that would lead a reasonable person to conclude the gifts were given for lobbying? To answer Yes, al three conditions must apply. Oves mNo Do not report gifs given by members of your extended family. » Do not report gifs you have previously reported on the “Expense Report for Exempted Persons.” Date Item Received | Name and Address of Donor(s) | Describe Item Received | ema ener | The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 10 15. During 2018, after you were appointed, employed, or filed or were nominated as a candidate, did you + accept a “scholarship” exceeding $200 related to your public positon from a person or group of persons acting together, + when those person(s) were outside North Carolina? To answer Yes, bath conditions must apply. A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. [Yes (XIN [Judicial Officer - You are not required to complete this question If you are a judicial officer or you are fing as a judicial officer appointee. > Do not report gifts you have previously reported on the "Expense Report for Exempted Persons.” > Legisiators are not required to report scholarships paid by a nonpartisan legislative organization of which the legisiator or the General Assembly is 2 member, participant, or affiate. Date of Name and Address of Donor(s) Scholarship 16. Have you been appointed or considered for appointment to a covered board by the Governor or another Council of State member? Council of State members are: > Governor > Lt. Governor > Secretary of State > State Auditor > State Treasurer > Superintendent of Public Instruction > Attomey General > Commissioner of Agriculture > Commissioner of Labor > Commissioner of Insurance Oves ®No If "Yes," list al contributions you made in 2018 with a cumulative total of more than $1,000 to the Council of State member who appointed you. Do not include contributions from immediate family members. » Contributions are defined broadly in N.C.G.S. § 163A-1411(13) and Include “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, if, pledge or subscription of money or anything of value whatsoever.” 0] No contribution(s) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 10 he hed fa pil ste Geparmen (3, cane eae) aspoted By Tr . a member of any of the folowing bores hac Cammgsin Como esmrens Commision + State Board of Education NYes [INo Ste Som of Econ Sin of Employment Securty No proceed to Enron Managemen Comision ester 18. Indus Commission Fats Revs Commision Gord of Tavspoation nC bord of Governors Vii Comin Wie Resprees Commision Oi sm, were you appalned a re you beng congeed fr sppommen to hat | ves (Se on Smeets ier By ot Suestin 18. «W130, you must indicate wheter dui 218 you engaged any of he along es pec or oh Bena ooo pa Somes of Coon Sen mbes wh apporied out 1. Collected contains fom mule contutors, tank possesion of such | Ces CIN fmoybsuimmaihat phon Copenh compat or cose Hosta tatoo yor etanee or loos SOSA [ove ome | Wh. Volnteered fr campaign rlted acts, inclucing phone Barks, event. me on Sane ser, or so eo cy os spares | ves Cite rnp 5. are yo gr er comity or WA ou ave wR ent a G3 eto, or on nde 7 engement Ove me [Totem | owe ot conviaton | County of conviction | _ tate of conviction you are oT ey eT GL Bere Tay So Ee Gomes Ea vo on ou compan win he Sate Soermment ves 205 [Yes CIN _ifyes, pease provide tht information belo. Filer and Spouse have an ownership interest via Wakefield Group, Inc. in Carbon, Inc. as disclosed for Question 3.C(1). A co-founder of Carbon, Inc. has traditionally been associated with the University of North Carolina at Chapel Hill and North Carolina State University as a professor. The SEE and any attachments, excluding the Confidential Form, ae public records. Pagesorio The information provided inthis Statement of Economic Interest and any attachments are true, complete, and accurate othe best of my knowiede an beer. Ihave not transferred, and will no transfer, any asset, interest, or property for the purpose of concealing It from sciosure while retaining an equitabe interest 1 understand that my Statement of Economic Interest and any attachments except fo the Confidential Form regarding Unemancipated Children aré public records. Ihave read and understand the following statutes: N.C.G.5. § 1634-191. Concealing or failing to disclose material information. A fling person who knowingly conceals or knowingly fais to disclose information that is required to be disclosed on statement of sconomic Interest. shall be Quity of a Class 1 misdemeanor and subject to disciplinary Saton under G.5. 1638415. NCGS. § 1634-192. Penalty for folse information A filing person who provides fase Information on a statement of economic interest... knowing that the Information i false 1 guity of a Cass H felony and shall be subject to discpinary action under G.5. 1634-415. affirm that 1 have reviewed my mst recently fled 2016 Statement of Economic Interest and that 5 of December 31, 2018, my responses continue to b true, correct, and complete to the best of my knowledge and belie, Laffirm under penalty of perjury that the foregoing is true and correct. bank pong Nims Fb. 27, 201 Signature Bate Anna Spangler Nelson Printed Name Submit signed, original documents only. Do no fax or e-mail this form. The SEX and any attachments, excluding the Confidential Form, are public records. Page 10 of 10

COMPLETE THIS FORM AND MAIL SIGNED, ORIGINAL TO STATE ETHICS COMMISSION, 1324 MAIL SERVICE CENTER, RALEIGH, NC 27699-1324 NORTH CAROLINA STATE BOARD OF ELECTIONS AND ETHICS ENFORCEMENT 2018 STATEMENT OF ECONOMIC INTEREST 919-814-3600 www.ncsbe.gov/Ethics/SEI FILER'S NAME (FIRST, MIDDLE, LAST) Prefix First Name Middle Name Last Name Suffix Anna Spangler Nelson CURRENT EMPLOYER JOB TITLE Spangler Companies, Inc./Wakefield Group, Inc. Chair/President NATURE OR TYPE OF BUSINESS Investments, Management Services REASON FOR FILING (SELECT ALL THAT APPLY) STATE GOVERNMENT JOB (Specify Agency) BOARD/COMMISSION (List complete name of all State boards on which you are serving or are being considered) UNC Board of Governors; JUDICIAL OFFICER (Specify Office) LEGISLATOR (Specify House or Senate) The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 11 A. Do other immediate family members reside in your household? Yes No When used throughout this form, the term Immediate family includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. A minor is a child under 18 years old. Minors are emancipated by marriage, enlistment in the US military, or court order for emancipation. FULL NAME OF ADULTS & EMANCIPATED MINORS RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS Thomas Craig Nelson Spouse National Gypsum Co. President/Chairman/CEO Building Products Meredith Spangler Nelson Daughter Student N/A N/A B. List ONLY the initials of all unemancipated minors in your household below. A minor is a child under 18 years old. Note: You must list the full name of each minor child on the Confidential Form available at the end of this document. INITIALS FOR UNEMANCIPATED CHILDREN RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS AAN Child Student N/A N/A PROPERTY INTERESTS 1. As of December 31, 2017, did you, your spouse, or members of your immediate family: A. Have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? Yes No Owner of Real Estate % Ownership Interest Location by City Location by County Anna Spangler Nelson and Thomas Craig Nelson 100 Charlotte Mecklenburg 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 more? Yes No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 11 2. At any time during 2016 or 2017 , 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? Yes No Name of Purchaser Name of Seller Type of Property FINANCIAL INTERESTS 3. As of December 31, 2017, 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. Stock in a publicly owned company? Yes No Do not list ownership interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: (i) the fund is publicly traded or its assets are widely diversified; and (ii) neither you nor an immediate family member are able 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) Anna Spangler Nelson Microsoft Corporation Anna Spangler Nelson Bank of America Thomas Craig Nelson Yum! Brands, Inc. Thomas Craig Nelson and Anna Spangler Nelson Golub Capital BDC, Inc. Thomas Craig Nelson Yum China Holdings, Inc. B. Stock Options in a company or business? Yes No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) Thomas Craig Nelson Yum! Brands, Inc. Thomas Craig Nelson Yum China Holdings, Inc. The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 11 C. Interests in a non-publicly owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations)? Yes No If "No", proceed to question 4. Owner of Interest Name of Company or Business Entity See Attached C (1). For each non-publicly owned company or business entity (the “primary company”) identified in question 3.C above, please list the names of any other companies or business entities in which the primary company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known See Attached C (2). If you know that any company or business entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2017, were you, your spouse, or members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that was created, established, or controlled by you? Do not list assets held in blind trusts. See 2017 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” Yes No Name and Address of Trustee Description of the Trust Your Relationship to the Trust See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 11 5. As of December 31, 2017, 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 loans, personal loans and intra-family debt. Yes No Name of Debtor (You, Spouse, Immediate Family Member) Type of Creditor (Commercial Bank, Credit Union, Individual, etc.) Thomas Craig Nelson Commercial Bank 6. List each source of income (not specific amounts) of more than $5,000 received by you, your spouse, or members of your immediate family during 2017. Include salary, wages, state/local government retirement, professional fees, honoraria, interest, dividends, rental income, business income, and other types of income required to be reported on your State and federal tax returns. Do not include income received from the following sources: Capital gains Federal government retirement Military retirement Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income I had no reportable income over $5,000 in 2017. See Attached PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2017, 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 purposes? Yes No If "No", proceed to question 8. Do not list State boards or entities, or entities created by a political subdivision of the State. Do not list organizations of which you are a mere member. Name of Person His/Her Position Name of Nonprofit Corporation or Organization Nature of Business or Purpose of Organization See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 11 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, please provide a brief description of the nature of that business, if known or with which due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business or State Funding None or Not Known See Attached Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 8. During 2017, were you, your spouse, or members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to those offices. Do not list organizations of which you are only a member (not serving in a leadership role). Name of Person Name of Society, Organization or Advocacy Group Leadership Position (Director, Officer, Board Member) 9(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, 2017. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 11 9(b). If you know that any company or business entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2017, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State Not applicable (No entities listed on #9a) No relationship / Not known See Attached 10. Are you a practicing attorney? Yes No Judicial Officer/State Attorney If “Yes”, 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 2017. Administrative Admiralty Corporate Criminal Decedent’s Estates Environmental Insurance Labor Local Government Real Property Securities Tax Tort litigation (including negligence) Utilities Regulation Other category not listed. 11. During 2017, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? Yes No Type of Business Nature of Services Rendered The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 12. Are you or your employer, your spouse or members of your immediate family, or their employer currently: • Licensed by the State board or employing entity with which you are or will be associated or • Regulated by the State board or employing entity with which you are or will be associated or • Have a business relationship with the State board or employing entity with which you are or will be associated? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are filing as an appointee to those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) 13. Are you, your spouse, or a member of your immediate family currently registered as a lobbyist or lobbyist principal or were you registered as such within the 12 months preceding your filing of this form? Yes No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter in 2017 (but only the time period after you were appointed, employed or filed or 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 and those person(s) were outside North Carolina at the time you accepted the gift(s), and • the gift(s) were given under circumstances that would lead a reasonable person to conclude that they were given for lobbying? Yes No 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 for Exempted Persons." Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 15. During 2017 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) did you • accepted a “scholarship” exceeding $200 from a person or group of persons acting together and • those person(s) were outside North Carolina and • the scholarship was related to your public position? A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. Yes No Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the “Expense Report for Exempted Persons.” Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member or participant or an affiliate of that organization. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 16. Were you appointed or are you being considered for an appointment to a covered board by the Governor or another Council of State member? Council of State members are: • Governor • Lt. Governor • Secretary of State • State Auditor • State Treasurer • Superintendent of Public Instruction • Attorney General • Commissioner of Agriculture • Commissioner of Labor • Commissioner of Insurance Yes No If “Yes”, list all contributions you (NOT immediate family members) made during 2017 with a cumulative total of more than $1,000 to the Governor or other Council of State member who appointed you. Contributions are defined in N.C.G.S. 163-278.6(6) and include, but are not limited to, “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No contribution(s) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 17. Are you an appointee or prospective appointee to: a. the head of a principal state department (e.g. cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards: • ABC Commission • Coastal Resources Commission • State Board of Education • State Board of Elections • Division of Employment Security • Environmental Management Commission • Industrial Commission • Human Resources Commission • Rules Review Commission • Board of Transportation • UNC Board of Governors • Utilities Commission • Wildlife Resources Commission Yes No If "No", proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that public position by a Council of State member? Council of State members are listed in question 16. Yes No If "No", proceed to question 18. e. If so, you must indicate whether during 2017 you (not immediate family 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 appointed you to your public position: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? Contributions are defined in question 16. Yes No ii. Hosted a fundraiser at your residence or place of business? Yes No iii. Volunteered for campaign-related activities, which include, but are not limited to, phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? Yes No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon of innocence; or (ii) an order of expungement regarding that conviction? Yes No Offense Date of Conviction County of Conviction State of Conviction The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 11 19. Are you aware of any other information that you believe may assist the State Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? Yes No If yes, please provide such information below. Filer and Spouse have an ownership interest via Wakefield Group, Inc. in Carbon, Inc. as disclosed for Question 3.C(1). A co￾founder of Carbon, Inc. has traditionally been associated with the University of North Carolina at Chapel Hill and North Carolina State University as a professor. AFFIRMATION I affirm that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. I also certify that I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemancipated Children) are public record. I acknowledge that I have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information and N.C.G.S. 138A-27 regarding providing false information: § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest as required under this Article knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I Agree. It is my intention that this check box constitutes my electronic signature. By checking this box I certify that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. Filed Electronically 2/27/2018 Signature Date Anna Spangler Nelson Printed Name The SEI and any attachments, excluding the Confidential Form, are public records. Page 11 of 11

COMPLETE THIS FORM AND MAIL SIGNED, ORIGINAL TO STATE ETHICS COMMISSION, 1324 MAIL SERVICE CENTER, RALEIGH, NC 27699-1324 NORTH CAROLINA STATE ETHICS COMMISSION 2017 STATEMENT OF ECONOMIC INTEREST 919-814-3600 www.ethicscommission.nc.gov FILER'S NAME (FIRST, MIDDLE, LAST) Prefix First Name Middle Name Last Name Suffix Anna Spangler Nelson CURRENT EMPLOYER JOB TITLE Spangler Companies, Inc./Wakefield Group, Inc. Chair/President NATURE OR TYPE OF BUSINESS Investments, Management Services REASON FOR FILING (SELECT ALL THAT APPLY) STATE GOVERNMENT JOB (Specify Agency) BOARD/COMMISSION (List complete name of all State boards on which you are serving or are being considered) UNC Board of Governors; JUDICIAL OFFICER (Specify Office) LEGISLATOR (Specify House or Senate) The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 11 A. Do other immediate family members reside in your household? Yes No When used throughout this form, the term Immediate family includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. A minor is a child under 18 years old. Minors are emancipated by marriage, enlistment in the US military, or court order for emancipation. FULL NAME OF ADULTS & EMANCIPATED MINORS RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS Thomas Craig Nelson Spouse National Gypsum Co. President/Chairman/CEO Building Products B. List ONLY the initials of all unemancipated minors in your household below. A minor is a child under 18 years old. Note: You must list the full name of each minor child on the Confidential Form available at the end of this document. INITIALS FOR UNEMANCIPATED CHILDREN RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS AAN Child Student N/A N/A MSN Child Student N/A N/A PROPERTY INTERESTS 1. As of December 31, 2016, did you, your spouse, or members of your immediate family: A. Have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? Yes No Owner of Real Estate % Ownership Interest Location by City Location by County Anna Spangler Nelson and Thomas Craig Nelson 100 Charlotte Mecklenburg 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 more? Yes No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 11 2. At any time during 2015 or 2016 , 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? Yes No Name of Purchaser Name of Seller Type of Property FINANCIAL INTERESTS 3. As of December 31, 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. Stock in a publicly owned company? Yes No Do not list ownership interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: (i) the fund is publicly traded or its assets are widely diversified; and (ii) neither you nor an immediate family member are able 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) Anna Spangler Nelson Microsoft Corporation Anna Spangler Nelson Bank of America Thomas Craig Nelson Yum! Brands, Inc. Thomas Craig Nelson and Anna Spangler Nelson Golub Capital BDC, Inc. Thomas Craig Nelson Yum China Holdings, Inc. B. Stock Options in a company or business? Yes No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) Thomas Craig Nelson Yum! Brands, Inc. Thomas Craig Nelson Yum China Holdings, Inc. The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 11 C. Interests in a non-publicly owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations)? Yes No If "No", proceed to question 4. Owner of Interest Name of Company or Business Entity See Attached C (1). For each non-publicly owned company or business entity (the “primary company”) identified in question 3.C above, please list the names of any other companies or business entities in which the primary company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known See Attached C (2). If you know that any company or business entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2016, were you, your spouse, or members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that was created, established, or controlled by you? Do not list assets held in blind trusts. See 2017 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” Yes No Name and Address of Trustee Description of the Trust Your Relationship to the Trust See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 11 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 loans, personal loans and intra-family debt. Yes No Name of Debtor (You, Spouse, Immediate Family Member) Type of Creditor (Commercial Bank, Credit Union, Individual, etc.) Thomas Craig Nelson Commercial Bank 6. List each source of income (not specific amounts) of more than $5,000 received by you, your spouse, or members of your immediate family during 2016. Include salary, wages, state/local government retirement, professional fees, honoraria, interest, dividends, rental income, business income, and other types of income required to be reported on your State and federal tax returns. Do not include income received from the following sources: Capital gains Federal government retirement Military retirement Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income I had no reportable income over $5,000 in 2016. See Attached PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2016, 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 purposes? Yes No If "No", proceed to question 8. Do not list State boards or entities, or entities created by a political subdivision of the State. Do not list organizations of which you are a mere member. Name of Person His/Her Position Name of Nonprofit Corporation or Organization Nature of Business or Purpose of Organization See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 11 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, please provide a brief description of the nature of that business, if known or with which due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business or State Funding None or Not Known See Attached Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 8. During 2016, were you, your spouse, or members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to those offices. Do not list organizations of which you are only a member (not serving in a leadership role). Name of Person Name of Society, Organization or Advocacy Group Leadership Position (Director, Officer, Board Member) 9(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, 2016. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 11 9(b). If you know that any company or business entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2016, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State Not applicable (No entities listed on #9a) No relationship / Not known See Attached 10. Are you a practicing attorney? Yes No Judicial Officer/State Attorney If “Yes”, 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 2016. Administrative Admiralty Corporate Criminal Decedent’s Estates Environmental Insurance Labor Local Government Real Property Securities Tax Tort litigation (including negligence) Utilities Regulation Other category not listed. 11. During 2016, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? Yes No Type of Business Nature of Services Rendered The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 12. Are you or your employer, your spouse or members of your immediate family, or their employer currently: • Licensed by the State board or employing entity with which you are or will be associated or • Regulated by the State board or employing entity with which you are or will be associated or • Have a business relationship with the State board or employing entity with which you are or will be associated? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are filing as an appointee to those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) 13. Are you, your spouse, or a member of your immediate family currently registered as a lobbyist or lobbyist principal or were you registered as such within the 12 months preceding your filing of this form? Yes No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter in 2016 (but only the time period after you were appointed, employed or filed or 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 and those person(s) were outside North Carolina at the time you accepted the gift(s), and • the gift(s) were given under circumstances that would lead a reasonable person to conclude that they were given for lobbying? Yes No 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 for Exempted Persons." Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 15. During 2016 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) did you • accepted a “scholarship” exceeding $200 from a person or group of persons acting together and • those person(s) were outside North Carolina and • the scholarship was related to your public position? A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. Yes No Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the “Expense Report for Exempted Persons.” Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member or participant or an affiliate of that organization. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 16. Were you appointed or are you being considered for an appointment to a covered board by the Governor or another Council of State member? Council of State members are: • Governor • Lt. Governor • Secretary of State • State Auditor • State Treasurer • Superintendent of Public Instruction • Attorney General • Commissioner of Agriculture • Commissioner of Labor • Commissioner of Insurance Yes No If “Yes”, list all contributions you (NOT immediate family members) made during 2016 with a cumulative total of more than $1,000 to the Governor or other Council of State member who appointed you. Contributions are defined in N.C.G.S. 163-278.6(6) and include, but are not limited to, “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No contribution(s) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 17. Are you an appointee or prospective appointee to: a. the head of a principal state department (e.g. cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards: • ABC Commission • Coastal Resources Commission • State Board of Education • State Board of Elections • Division of Employment Security • Environmental Management Commission • Industrial Commission • Human Resources Commission • Rules Review Commission • Board of Transportation • UNC Board of Governors • Utilities Commission • Wildlife Resources Commission Yes No If "No", proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that public position by a Council of State member? Council of State members are listed in question 16. Yes No If "No", proceed to question 18. e. If so, you must indicate whether during 2016 you (not immediate family 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 appointed you to your public position: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? Contributions are defined in question 16. Yes No ii. Hosted a fundraiser at your residence or place of business? Yes No iii. Volunteered for campaign-related activities, which include, but are not limited to, phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? Yes No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon of innocence; or (ii) an order of expungement regarding that conviction? Yes No Offense Date of Conviction County of Conviction State of Conviction The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 11 19. Are you aware of any other information that you believe may assist the State Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? Yes No If yes, please provide such information below. Filer and Spouse have an ownership interest via Wakefield Group, Inc. in Carbon, Inc. (formerly Carbon 3D, Inc.) as disclosed for Question 3.C(1). A co-founder of Carbon, Inc. has traditionally been associated with the University of North Carolina at Chapel Hill and North Carolina State University as a professor. AFFIRMATION I affirm that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. I also certify that I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemancipated Children) are public record. I acknowledge that I have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information and N.C.G.S. 138A-27 regarding providing false information: § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest as required under this Article knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I Agree. It is my intention that this check box constitutes my electronic signature. By checking this box I certify that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. Filed Electronically 2/14/2017 Signature Date Anna Spangler Nelson Printed Name The SEI and any attachments, excluding the Confidential Form, are public records. Page 11 of 11

COMPLETE THIS FORM AND MAIL SIGNED, ORIGINAL TO STATE ETHICS COMMISSION, 1324 MAIL SERVICE CENTER, RALEIGH, NC 27699-1324 NORTH CAROLINA STATE ETHICS COMMISSION 2016 STATEMENT OF ECONOMIC INTEREST 919-814-3600 www.ethicscommission.nc.gov FILER'S NAME (FIRST, MIDDLE, LAST) Prefix First Name Middle Name Last Name Suffix Anna Spangler Nelson CURRENT EMPLOYER JOB TITLE Spangler Companies, Inc./Wakefield Group, Inc. Chair/President NATURE OR TYPE OF BUSINESS Investments, Management Services REASON FOR FILING (SELECT ALL THAT APPLY) STATE GOVERNMENT JOB (Please specify the agency for which you work or are being considered) BOARD/COMMISSION (Please list complete name of all State boards on which you are serving or are being considered) UNC Board of Governors; JUDICIAL OFFICER (Please specify the office you hold) LEGISLATOR (Please specify House or Senate) The SEI and any attachments, excluding the Confidential Form, are public records. Page 1 of 11 A. Do other immediate family members reside in your household? Yes No When used throughout this form, the term Immediate family includes your spouse (unless legally separated). It also includes members of your extended family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and the spouses of each of those persons) who reside in your household. List the full name of all adults and emancipated minors in your household. A minor is a child under 18 years old. Minors are emancipated by marriage, enlistment in the US military or court order for emancipation. FULL NAME OF ADULTS & EMANCIPATED MINORS RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS Thomas Craig Nelson Spouse National Gypsum Co. President/Chairman/CEO Building Products B. List ONLY the initials of all emancipated minors in your household below. A minor is a child under 18 years old. Minors are emancipated by marriage, enlistment in the US military or court order for emancipation. Note: You must list the full name of each minor child on the Confidential Form available at the end of this document. INITIALS FOR UNEMANCIPATED CHILDREN RELATIONSHIP EMPLOYER JOB TITLE NATURE OF BUSINESS AAN Child Student N/A N/A MSN Child Student N/A N/A PROPERTY INTERESTS 1. As of December 31, 2015, did you, your spouse, or members of your immediate family: A. Have an ownership interest in North Carolina real estate (including your residence) with a market value of $10,000 or more? Yes No Owner of Real Estate % Ownership Interest Location by City Location by County Anna Spangler Nelson and Thomas Craig Nelson 100 Charlotte Mecklenburg 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 more? Yes No Name of Lessor Name of Lessee (Renter) If Real Estate, Location by City & County If Personal Property, Describe The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 11 2. At any time during 2014 or 2015 , 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? Yes No Name of Purchaser Name of Seller Type of Property FINANCIAL INTERESTS 3. As of December 31, 2015, did you, your spouse, or members of your immediate family own any of the following financial interests valued at $10,000 or more? A. Stock in a publicly owned company? Yes No Do not list ownership interests in a widely held investment fund (including mutual funds, regulated investment companies, or pension or deferred compensation plans) if: (i) the fund is publicly traded or its assets are widely diversified; and (ii) neither you nor an immediate family member are able 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) Anna Spangler Nelson Microsoft Corporation Anna Spangler Nelson Bank of America Thomas Craig Nelson Yum! Brands, Inc. Thomas Craig Nelson and Anna Spangler Nelson Golub Capital BDC, Inc. B. Stock Options in a company or business? Yes No Owner of Stock Option Full Name of Company (Do not use a ticker symbol) Thomas Craig Nelson Yum! Brands, Inc. C. Interests in a non-publicly owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited liability partnerships, and closely held corporations)? Yes No If "No", proceed to question 4. Owner of Interest Name of Company or Business Entity See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 3 of 11 C (1). For each non-publicly owned company or business entity (the “primary company”) identified in question 3.C above, please list the names of any other companies or business entities in which the primary company owns securities or equity interests valued at over $10,000, if known. Non-Publicly Owned Company or Business Entity (the Primary Company) Other Companies in which the Primary Company Owns Security or Equity Interests None or Not Known See Attached C (2). If you know that any company or business entity listed in 3.C or 3.C(1) above has any material business dealings or business contracts with the State of North Carolina, or is regulated by the State, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State None or Not Known 4. As of December 31, 2015, were you, your spouse, or members of your immediate family the beneficiaries of a vested trust with a value of $10,000 or more that was created, established, or controlled by you? Do not list assets held in blind trusts. See 2016 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” Yes No Name and Address of Trustee Description of the Trust Your Relationship to the Trust See Attached 5. As of December 31, 2015, 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 loans, personal loans and intra-family debt. Yes No Name of Debtor (You, Spouse, Immediate Family Member) Type of Creditor (Commercial Bank, Credit Union, Individual, etc.) Thomas Craig Nelson Commercial Bank The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 11 6. List each source of income (not specific amounts) of more than $5,000 received by you, your spouse, or members of your immediate family during 2015. Include salary, wages, state/local government retirement, professional fees, honoraria, interest, dividends, rental income, business income, and other types of income required to be reported on your State and federal tax returns. Do not include income received from the following sources: Capital gains Federal government retirement Military retirement Social security income/SSDI Recipient of Income Name of Source Type of Business/Industry Type of Income I had no reportable income over $5,000 in 2015. See Attached PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2015, 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 purposes? Yes No If "No", proceed to question 8. Do not list State boards or entities, or entities created by a political subdivision of the State. Do not list organizations of which you are a mere member. Name of Person His/Her Position Name of Nonprofit Corporation or Organization Nature of Business or Purpose of Organization See Attached 7(b). If the nonprofit corporations or organizations listed above do business with the State of North Carolina or receive State funds, please provide a brief description of the nature of that business, if known or with which due diligence could reasonably be known. Name of Nonprofit Corporation or Organization Describe State Business or State Funding None or Not Known See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 8. During 2015, were you, your spouse, or members of your immediate family a director, officer, or governing board member of any society, organization, or advocacy group with an interest in matters over which your agency or board may have jurisdiction? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer or you are filing as an appointee to those offices. Do not list organizations of which you are only a member (not serving in a leadership role). Name of Person Name of Society, Organization or Advocacy Group Leadership Position (Director, Officer, Board Member) 9(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. Name of Person Relationship to Filer Name of Company Role of Person No Business Associations See Attached 9(b). If you know that any company or business entity listed in 9(a) above had any material business dealings or business contracts with the State of North Carolina or was regulated by the State as of December 31, 2015, provide a brief description of that business activity. Name of Company or Business Entity Description of Business Activity with the State Not applicable (No entities listed on #9a) No relationship / Not known See Attached The SEI and any attachments, excluding the Confidential Form, are public records. Page 6 of 11 10. Are you a practicing attorney? Yes No Judicial Officer/State Attorney If “Yes”, 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. Administrative Admiralty Corporate Criminal Decedent’s Estates Environmental Insurance Labor Local Government Real Property Securities Tax Tort litigation (including negligence) Utilities Regulation Other category not listed. 11. During 2015, were you a licensed professional (other than an attorney) or did you provide consulting services individually or as a member of a professional association for which you charged or were paid over $10,000? Yes No Type of Business Nature of Services Rendered Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 12. Are you or your employer, your spouse or members of your immediate family, or their employer currently: • Licensed by the State board or employing entity with which you are or will be associated or • Regulated by the State board or employing entity with which you are or will be associated or • Have a business relationship with the State board or employing entity with which you are or will be associated? Yes No Legislator/Judicial Officer - You are not required to complete this question if you are filing because you are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are filing as an appointee to those offices. Name of Person Name of Employer (if applicable) Type of Relationship (Licensing, Regulatory, Business) The SEI and any attachments, excluding the Confidential Form, are public records. Page 7 of 11 13. Are you, your spouse, or a member of your immediate family currently registered as a lobbyist or lobbyist principal or were you registered as such within the 12 months preceding your filing of this form? Yes No Name of Lobbyist Lobbyist’s Principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter in 2015 (but only the time period after you were appointed, employed or filed or 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 and those person(s) were outside North Carolina at the time you accepted the gift(s), and • the gift(s) were given under circumstances that would lead a reasonable person to conclude that they were given for lobbying? Yes No 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 for Exempted Persons." Date Item Received Name and Address of Donor(s) Describe Item Received Estimated Market Value The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 15. During 2015 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) did you • accepted a “scholarship” exceeding $200 from a person or group of persons acting together and • those person(s) were outside North Carolina and • the scholarship was related to your public position? A “scholarship” is a grant-in-aid, either direct or indirect, to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses. Yes No Judicial Officer - You are not required to complete this question if you are a judicial officer or you are filing as a judicial officer appointee. Do not report gifts that have previously been reported by you to the Department of the Secretary of State on the “Expense Report for Exempted Persons.” Legislators are not required to report scholarships paid by a nonpartisan legislative organization of which the legislator or the General Assembly is a member or participant or an affiliate of that organization. Date of Scholarship Name and Address of Donor(s) Describe Event Estimated Market Value Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 16. Were you appointed or are you being considered for an appointment to a covered board by the Governor or another Council of State member? Council of State members are: • Governor • Lt. Governor • Secretary of State • State Auditor • State Treasurer • Superintendent of Public Instruction • Attorney General • Commissioner of Agriculture • Commissioner of Labor • Commissioner of Insurance Yes No If “Yes”, list all contributions you (NOT immediate family members) made during 2015 with a cumulative total of more than $1,000 to the Governor or other Council of State member who appointed you. Contributions are defined in N.C.G.S. 163-278.6(6) and include, but are not limited to, “any advance, conveyance, deposit, distribution, transfer of funds, loan, payment, gift, pledge or subscription of money or anything of value whatsoever.” Date Amount Contributed to No contribution(s) with a cumulative total of more than $1,000 The SEI and any attachments, excluding the Confidential Form, are public records. Page 9 of 11 Please answer the following question as it pertains to the following board/agency: UNC Board of Governors 17. Are you an appointee or prospective appointee to: a. the head of a principal state department (e.g. cabinet secretary) appointed by the Governor; or b. a North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or c. a member of any of the following boards: • ABC Commission • Coastal Resources Commission • State Board of Education • State Board of Elections • Division of Employment Security • Environmental Management Commission • Industrial Commission • Human Resources Commission • Rules Review Commission • Board of Transportation • UNC Board of Governors • Utilities Commission • Wildlife Resources Commission Yes No If "No", proceed to question 18. d. If so, were you appointed or are you being considered for appointment to that public position by a Council of State member? Council of State members are listed in question 16. Yes No If "No", proceed to question 18. e. If so, you must indicate whether during 2015 you (not immediate family 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 appointed you to your public position: i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those collected contributions to the candidate or committee? Contributions are defined in question 16. Yes No ii. Hosted a fundraiser at your residence or place of business? Yes No iii. Volunteered for campaign-related activities, which include, but are not limited to, phone banks, event assistance, mailings, canvassing, surveying, or any other activity that advances the campaign of a candidate? Yes No 18. Have you ever been convicted of a felony for which you have not received either: (i) a pardon of innocence; or (ii) an order of expungement regarding that conviction? Yes No Offense Date of Conviction County of Conviction State of Conviction The SEI and any attachments, excluding the Confidential Form, are public records. Page 10 of 11 19. Are you aware of any other information that you believe may assist the State Ethics Commission in advising you concerning your compliance with the State Government Ethics Act? Yes No If yes, please provide such information below. Filer and Spouse have an ownership interest via Wakefield Group, Inc. in Carbon 3D, Inc. (formerly EiPi Systems, Inc.) as disclosed for Question 3.C (1). A co-founder of Carbon 3D, Inc. is a professor at the University of North Carolina at Chapel Hill and North Carolina State University. Also, Filer's child had a paid internship with Carbon 3D, Inc. in 2015. AFFIRMATION I affirm that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. I also certify that I have not transferred, and will not transfer, any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable interest. I understand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemancipated Children) are public record. I acknowledge that I have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information and N.C.G.S. 138A-27 regarding providing false information: § 138A-26. Concealing or failing to disclose material information. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a statement of economic interest under this Article shall be guilty of a Class 1 misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 138A-27. Penalty for false information. A filing person who provides false information on a statement of economic interest as required under this Article knowing that the information is false is guilty of a Class H felony and shall be subject to disciplinary action under G.S. 138A-45. I Agree. It is my intention that this check box constitutes my electronic signature. By checking this box I certify that the information provided in this Statement of Economic Interest and any attachments hereto are true, complete, and accurate to the best of my knowledge and belief. Filed Electronically 3/14/2016 Signature Date Anna Spangler Nelson Printed Name The SEI and any attachments, excluding the Confidential Form, are public records. Page 11 of 11