Barden Winstead, Jr.

FR NORTH CAROLINA STATE ETHICS COMMISSION Wg 2015 STATEMENT OF ECONOMIC INTEREST FURSLIZE COMMISSION LEE OY =. 205 WR 16 PH 1: 00 sia715.2071 wow. ethicscommission.nc.gov FILER'S NAME (FIRST, MIDDLE, LAST) } — First Name | widsiename | Last Name Suttix Barden Winstead Jr. 308 TITLE N Stifel Nicolaus inancial advisor and NATURE OR TYPE OF BUSINESS branch manager investment /brokerage REASON FOR FILING (SELECT ALL THAT APPLY) J STATE GOVERNMENT JOB (Please specify the agency for | (F0ARD/COMMISSION (Picase list complete name of all hich you work of are being considered) State boards on which you ae seing or ate beng considered Nash Communi ha College Board of Trstees JUDICIAL OFFICER (Pease speciy the office you hod) _| [J LEGISLATOR (Please speiy House or Senate) Do other immediate family members reside in your household? vi @es [No When used throughout tis form, the term Immediate family includes your spouse (unless legaly separated). I 2iso Includes members of your extended family (your and your sP0Use’s chien, grandchildren, parents, grandparents, and linge, and the spovses of each of hose. parsons) wh reside in your household. | ONLY LIST THE INITIALS OF UNEMANCIPATED CHILDREN. However, you MUST submit the chars ull names on the Confidential Form avalaple at the end of this document. Miners are emancipated by marriage, enlistment in the US miltary, or cout action for emancipation. EMANCIPATED MINORS ‘Busnes " ven ure, aiF FS ary T.Winstead| wife [Bulluck Funitud aid SHE [FRc gils The SE and any attachments, excluding the Confidential Form, are public records. Page 10110 Inrrias ror SaromE oF ANCATED snes CLoREN na || 1] PROPERTY INTERESTS 1. As of December 31, 2014, did you, your spouse, or members of your immediate family: oe a owns rest Nore Carolin ea state (ncluing your rsience) with market value of $10,000 os @Yes ONo |_ Owner of Real Estate| % Ownership interest | _ Location by Gity Location by County Barden 3 plary Winstead j0c7 Rocky Mount Nash B. Lease or rent real estate or personal property to or from the State of North Carolina with a market value of $10,000 phy Oves le Were oF sear Name of Lessee | IF Real Estate Location | If Personal Property, fried Co Coy & Lom Deserve 2. At any time during 2013 or 2014, did you, your spouse, or members of your inmediate family sell to or buy from the ‘State of North Carolin personal property with a market value of $10,000 or more? Oves [po [ Nomeotpuchoser | Nameorseler | Tyseotropery | The SEE and any attachments, excluding the Confidential Form, are public records. pase 20110 FINANCIAL INTERESTS { 3. As of December 31, 2014, did you, your spouse; or members of your immediate fomily own any of the allowing financial Interests valved at $10,000 or more? A. Stock In a publicly owned company? Pes [No 00 not list ownership interests in a widely held investment fund (including mutual funds, regulated Investment companies, or pension or deferred compensation plans) i: (1) the fund is pubic traded or ts assets are widely diversified; and (i) neither you nor an Immediate family member are able to control the assets held In the mutual und, investment company, or pension or deferred compensation pan. ‘Owner of Interest Full Name of Company (Do not use a ticker symbol) Barden Winstead , Jr. SAB Miller PLC ” vv Stifel Financial Corp. Chitys Holdings , Inc. Apple, Inc. Lr» ['elFriscos Restaurant Group 5. Stock Options In 2 company or business? Oves fo Owner of Stock Option | Full Name of Company (Do not use a ticker symbol) . Interests n 2 non-pulbicly owned company or business ently (including terest In Sole propretorships, partnerships, imited partnerships, Joint ventures, limited abiity companies, limited iabity partnerships, and Gosaly eld corporations? [@fes [INo - 1"No, proceed to question 4. [ ownerotimerst | Wameof CompanyorBusinessEntiy | Barden Winstead 77. (12.50%) | TREC Properties LLC The SE and any attachments, excluding the Confidential Form, are public records. Page 3 of 10 C0) For each non-public owned company or business entity (the “primary company? identified in question 3.C. CE oct at tne mama of any other campanias or business entiics in which the primary company owns Securities of equity Interests valued at over $10,000, f known. Non-Publicly Owned Company or Business Entity | Other Companies in which the Primary Company (the Primary Company) ‘Guns Security or Equity Interests [fone or Not Known C2). 1 you know that any company or business entity listed In 3.C of 3.C(1) above has any material business ao sainess contracts with the State of North Carolina, o 1 regulated by the State, provide 3 brief Gescription of that business activity. ‘Name of Company or Business Entity ‘Description of Business Activity with the State (Mone or Not Known 4. As of December 31, 2014, were you, your spouse, or members of your immediate family the beneficiaries of a vested Let ana alos of £10,000 or more that wes created, established, or controlled by you? Do not list assets held in blind trusts. ‘See 2015 SEI Helpful Tips for the definition of “Vested Trust” and “Blind Trust.” Oves go Name and Address of Trustee Description of the Trust Your Relationship to the Trust oo of December 31, 2014, did you, your spouse, or members of your (mediate family have liabilities of $10,000 or more, excluding the mortgage on your primary personal residence? Examples Include credit card debts, auto loans, Rudent loans, personal sans and intra-fomily debt. Oves fo ‘Name of Debtor (You, Spouse, Immediate Family | Type of Creditor (Commercial Bank, Credit Union, Member) Individual, etc.) The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 10 6. List each source of income (not speci amounts) af more than $5,000 received by you, your Spouse, or members of your immediate family Sutng 2014. Include S98, woges, SEO sovermars relremepe. soto ee Roncrari, interes, didends, renal come, business incor, and Sher (es of ome required tb veposies a sas State and federal to returns. D0 nat include income received from the following sources: > capita gains » Federal government retirement > Miltary retirement » Social security income/SsD1 Recipient of income Name of Source Type of Type of Income Blsiness/Industry 31 hat ne reportable income over $5,000 n 2014. Barden Winstead Te] Stifel [financial wages commissions Mary T. Winstead |Bulluck Furniture | retail wages | PROFESSIONAL AND CIVIC RELATIONSHIPS 7(a). During 2014, were you, your spouse or members of your immediate fori a director, officer, governing board member, employe, independant contractor, a registered obeyist of a nonprofit crporation ar orgamiaton opecstins fy he State of Noth Carolina primary fo reiglous, charable, sient, Iara: pubic hoot and: safes, or Ssucstiooml purposes? [@Yes [INo - 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 Ist organizations of whch you are mere member. Name of Person His/Her Position Name of Nonprofit Nature of Business or Corporation or Organization | Purpose of Organisation Barden Winstead Jv. board member |(arolinas Gateway Rirtiershi economic development FR p Downtown Kendissance downtown redevelopment] (6). 11 the nonprofit corporations or organizations sted above do business with the State of North Carolina ar rezeve State funds, please provide a brie Gescnpuan of the nature of tat business, If known of wits whch de gence cove Tersonaby be know. ‘Name of Nanprofit Corporation or Organization Describe State Business or State Funding Cone or hot Known Carolinas Galeway Partnership eccnomic development The SET and any attachments, excluding the Confidential Form, are public records. Page sor 10 8. During 2014, were you, your spouse, or members of your immediate family a director, officer, or governing board aE [ves fio [Legisiator/Judicial Officer - You are not required to complete this question if you are filing because. Sr rE EE er Burden Winstead 5] self |TRFC Properties | parfner/henber| contracts with the State of North Carolina or was regulated by the State as of December 31, 2014, provide a brief [] Not applicable (No entities listed on #92) oo relationship / Not known Dives (#fio [3udicial Officer/State Attorney legal fees of more than $10,000 during 2014. Tan 11. During 2014, were you a licensed professional (other than an sttomey) of did you provide consulting services individually or 5 member of » professional association for which you Charged or were paid over 10,0007 Des fo Type of Business Nature of Services Rendered 12. Are you or your employer, your spouse or members of your Immediate family, or their employer currenty: + Licensed by the State board or employing entity with which you aré or will be associated or + Regulated by the State board or employing entity with which you are o wil be associated or + Have a business relationship with the State board or employing entity with which you are or will be associated? [Ives @MNe [J Legisiator/udicial Officer Your are not required to complete this question if you are fing because You are a legislator or a judicial officer (“judicial officer” is defined in the SEI Helpful Tips) or you are fing as an appointee to those offices. Name of Employer Type of Relationship (i applicable) (Licensing, Regulatory, Business) 13. Ave you, your spouse or n member of your immediate fomily currently registered as a lobbyist o lobbyist principal or wiere you registered as such within the 12 months preceding your filing of this form? ves fio Name of Lobbyist Lobbylst's Principal Date of Registration Registration Expiration OTHER DISCLOSURES 14. During any calendar quarter In 2014 (but only the time period after you were appointed, employed or fied or were nominated as 3 candidate), dd you + receive any "Gifi(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 dccepted the gift(s), and + the gIf(s) were given under circumstances that would lead a reasonable person to conclude that they were given for Iobbying? Oves ho »Do not report gifts given by members of your extended family. B >Do ot report gifs that have previously been reported by You to the Department of the Secretary of State on the “Expense Roport for Exempted Persons.” oat Hem Received | Name and Address of Donors) | Describe am Received | Estimated Market vue | The SET and any attachments, excluding the Confidential Form, are public records. Page 7of 10 75. During 2014 (out anty the Gime period afer you were appointed, employed, or led or were nominated 2s a candidate) did you + accept a “scholarship” exceeding $200 rom a person or group of persons acting together and + those person(s) were outside North Carina and the scholorship was relted to your public position? A “scholarship” is a grant-in-aid to attend a conference, meeting, or similar event. [Yes @fio [] Judicial Officer - You are not required to complete this question if you are a judicial officer or you are ling 35 judicial officer appoiniee. |» Do not report ifs that have previously been reported by you to the Department of the Secretary of State on the “Expense Report for Exempted Persons.” + Legislators are not required to report scholarships paid by a nonpartisan legislative crgarization of which the legsitor or the General Assembly Is & member o participant or an affate of that organization. Date of ‘Name and Address of Donor(s) Estimated Market Scholarship Value T6. Were you appointed or are you being considered for an appointment to 2 covered board by the Governor or anather Coil of State member? ‘Council of State members are: > Governor >t. Governor » Secretary of State » State Auditor > State Treasurer » Superintendent of Public Instruction » Attomey General » Commissioner of Agriculture: » Commissioner of Labor > Commissioner of Insurance es ONo 16 ~Yes?, lst al contributions you (NOT immediate family members) made during 2014 with a cumulative total of more than $1,000 to the Governor or other Council of State member who appointed you. en none Co ee ele Contributions are defined in N.C.G:S. 163-278.6(6) and include, but are not limited to, “any advance, conveyance, Gepost cisteibotion, transfer of funds, oan, payment, it pledge or subscription of money or anything of value: whatsosver.” PLATE PA SAR FE Date ‘Amount Contributed to [fio 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 17. Are you an appointee or prospective sppointee to: a. the head of a principal state department (c.g. cabinat secretary) appalnted by the ‘Governor, or b. 2 North Carolina Supreme Court Justice, Court of Appeals, Superior or District Court Judge; or . member of any of the following boards: + ABC Comission + Coastal Resources Commission + State Board of Education Oves wlio + State Board of Elections. « Divison of Employment Security I Nov, proceed to + Environmental Management Commission ‘question 18. + Industrial Commission + Human Resources Commission + Rules Review Commission + Board of Transportation + UNC Board of Governors + Unites Commission + Wide Resources Comission 4. 1 50, were you appointed or are you being considered for appointment to that public | [ves Ro positon by a Council of State member? Council of State members are sted in Two proceed to Question 16. question 18. e. If s0, you must indicate whether during 2014 you (not immediate formily members) engaged in any of the following activities with respect to o on benalf of the candidate or campaign committee of the Counci of State member who appointed Vou to your public poston: Oves One i. Collected contributions from multiple contributors, took possession of such multiple contributions, and transferred or delivered those colccted contributions to the candidate or committee? Contributions are defined in question 16. i. Hosted o fundraiser a your residence or place of business? Oves OiNe Hl. Volunteered for campaign-related activities, which include, but are not imited to, phone banks, event assistance, mailings, canvassing, surveying, or any other | [Yes [INo activity that advances the campaign of a candidate? 18. Have you ever been convicted of a felony for which you have not received either: (i) 2 pardon of innocence; or (ii) an order of expungement regarding that conviction Oves fio offense Date of Conviction | County of Conviction ‘State of Conviction 19. Are you aware of any other information that you befleve may assist the State Ethics Commission in advising you concerning your compliance with the State Government Ethics ACE? Dives [fo 1f yes, please provide such information below. The SET and any attachments, excluding the Confidential Form, are public records. Pages of 10 AFFIRMATION affirm thatthe 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. Lalso erify hat have not transfered, and will not transfer, any asset, interest, or propery for the purpose of concealing it from disclosure while retaining an equitable interest. understand that my Statement of Economic Interest and any atachment or supplements thereto (wit the exception of the Confintal Form regarding Unemancipaed Chiles sr public ecard Tacknowledge that 1 have read and understand N.C.G.S. 138A-26 regarding concealing or failing to disclose material information 3nd N.C.G.5. 138A2] regarding providing flse information § 138A-26. Canceling o ling to disclose material informacion. A filing person who knowingly conceals or knowingly fails to disclose information that is required to be disclosed on a Semen of cconomi terest unde is Aric shal be guy of a Cass 1 misdemeanor and shll be subject 0 iacplmary action ner G.5. 8A. § 138A.27, Penaly fo alse information A ling person wh provides fls information on a statment of economic teres as required under is Article knowing that the information is flse i guy of Clas H felony and shall be subjet f disciplinary ction under GS. 138A A agree Barden Winstead , Jr. Printed/Name _ 03 —[3-[5 Snature Gate ‘Submit SIGNED, ORIGINAL documents only. | Do not fax ar emit this orm. The SEL and any attachments, excluding the Confidential Form, are public records. Page 10 0f 10