search_index: sfi.db/filings, 18311
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| sfi.db/filings | 18311 | Lee M Peterson 2018 | 2018-01-01T00:00:00 | 1 | Statement of Financial Interests for 2018 Peterson Lee M (781) 830-1200 lee.peterson@jud.state.ma.us You indicated that you did have a spouse residing in your household during 2018. You indicated that you did have dependent child(ren) residing in your household during 2018. Page 1 of 54 provide the required information for that position. If you held more than one public position which requires you to file, identify each position. Norfolk Probate and Family Court 35 Shawmut Road, Canton, MA, 02021, US Circuit Justice 01/29/2016 3. Other than the position(s) identified in Question 2, identify every public position you held, and every public agency to which you provided services, at any time during 2018, whether compensated or not, and whether full- or part-time. services, at any time during 2018, whether compensated or not, and whether full- or part-time. any time during 2018, whether compensated or not, and whether full- or part-time, and provide the required 6. Identify any Business from which you were on a leave of absence at any time during 2018, and provide its address. Page 2 of 54 7. Identify every Business for which your spouse and/or any dependent child(ren) residing in your household worked as an employee, manager, consultant, or independent contractor at any time during 2018, whether compensated or not, and whether full- or part-time, and provide the required information for each. Suffolk University 73 Tremont Street, Boston, MA, 02108, US Employee owned more than 1% of any class of the outstanding stock or similar ownership interest, at any time during 2018, and provide the required information for each. during 2018, and provide the required information for each. dependent child(ren) residing in your household during 2018, and provide the required information for each. 11. Identify any Business in which you served as an officer, director, or trustee, at any time during 2018, whether Page 3 of 54 an officer, director, or trustee, at any time during 2018, whether compensated or not, and whether full- or part-time, and provide the required information for each. 13. Identify all Real Estate in Massachusetts which you owned directly or through a Business as of December 31, 2018, and which had an assessed value greater than $1,000, and provide the required information for each Real F, S/C and/or any dependent child(ren) residing in your household owned directly or through a Business as of December 31, 2018, and which had an assessed value greater than $1,000, and provide the required information for each Real Page 4 of 54 15. Identify any Trust of which you were a beneficiary, and which owned Real Estate in Massachusetts as of December 31, 2018, with an assessed value greater than $1,000, and provide the required information for each such Trust and Real Estate holding. 16. Other than the Real Estate identified in Question 15, identify any Trust of which your spouse and/or any dependent child(ren) residing in your household was a beneficiary, and which owned Real Estate in Massachusetts as of December 31, 2018, with an assessed value greater than $1,000, and provide the required information for each such Trust and Real Estate holding. Name of Trust Real Estate Address 17. Identify any Real Estate in Massachusetts with an assessed value greater than $1,000, that was transferred to another person or entity by you, or by a Trust of which you were a beneficiary, at any time during 2018, and provide the required information for each Real Estate holding. Page 5 of 54 18. Other than the Real Estate identified in Question 17, identify any Real Estate in Massachusetts with an assessed value greater than $1,000, that was transferred to another person or entity by your spouse and/or any dependent child(ren) residing in your household, or by a Trust of which your spouse and/or any dependent child(ren) residing in your household was a beneficiary, at any time during 2018, and provide the required information for each piece of Real Estate transferred. 19. Identify any Real Estate in Massachusetts with an assessed value greater than $1,000, on which, as of December 31, 2018, you, or a Trust of which you were a beneficiary, had a lien, attachment, or mortgage receivable, and provide the required information for each. 20. Other than the Real Estate identified in Question 19, identify any Real Estate in Massachusetts with an assessed value greater than $1,000, on which, as of December 31, 2018, your spouse and/or any dependent child(ren) residing in your household, or a Trust of which your spouse and/or any dependent child(ren) residing in your household, had a lien, attachment, or mortgage receivable, and provide the required information for each. Page 6 of 54 agencies, and authorities, which you owned directly or through a Business, as of December 31, 2018, and which had a fair market value as of that date greater than $1,000, and provide the required information for each such investment. 22. Other than the bonds or other securities identified in Question 21, identify every bond or other security issued by the Commonwealth of Massachusetts or its political subdivisions, agencies, and authorities, which your spouse and/or any dependent child(ren) residing in your household owned directly or through a Business, as of December 31, 2018, and which had a fair market value as of that date greater than $1,000, and provide the required information for each such investment. agencies, and authorities, which was owned as of December 31, 2018, by a Trust of which you were a beneficiary, whether directly or through a Business, and which had a fair market value as of that date greater than $1,000, and provide the required information for each such investment. Page 7 of 54 agencies, and authorities, which was owned as of December 31, 2018, by a Trust of which your spouse and/or any dependent child(ren) residing in your household was a beneficiary, whether directly or through a Business, and which had a fair market value as of that date greater than $1,000, and provide the required information for each such investment. Page 8 of 54 25. Identify every Financial Investment that you owned directly or through a Business as of December 31, 2018, and which had a fair market value as of that date greater than $1,000, and provide the required information for each. Name of Issuer Fidelity Freedom 2035(FFTHX) Fidelity Contra Fund(FCNTX) Fidelity Freedom 2020 Fund(FFFDX) Fidelity Puritan Fund(FPURX) Smart Capital Preservation Fund Treas Inflation Protection TIPS Idx Fd Description of Investment Principal Place of Business or State of Incorporation Bond Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Bond Mass Deferred Compensation SMART Plan 1 Ashurton Place, Boston, MA, 02108, US Page 9 of 54 Bond Index Fund Bond Mass Deferred Compensation SMART Plan 1 Ashburton Place, Boston, MA, 02108, US Diversified Bond Fund Bond Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US High Yield Bond Fund Stocks Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Large Company Value Stock Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Small Company Stock Index Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Small Company Stock Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Real Estate REIT Fund Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US International Equity Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Page 10 of 54 International Stock Index Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US Large Company Stock Index Fund Common Stock Mass Deferred Compensation SMART Plan 1 Ashburton Place, 12th Floor, Boston, MA, 02108, US 26. Other than the Financial Investments identified in Question 25, identify every Financial Investment that your spouse and/or any dependent child(ren) residing in your household owned directly or through a Business as of December 31, 2018, and which had a fair market value as of that date greater than $1,000, and provide the required information for each. For any Financial Investment not included on the drop-down list of publicly traded stock, you must provide the issuer's principal place of business or state of incorporation as well as its address. Page 11 of 54 27. Identify every Financial Investment that was owned as of December 31, 2018, by a Trust of which you were a beneficiary, and which had a fair market value as of that date greater than $1,000, and provide the required information for each. For any Financial Investment not included on the drop-down list of publicly traded stock, you must provide the issuer's principal place of business or state of incorporation as well as its address. Name of Issuer Beneficiary Home Depot, Inc. (The) Common Stock(HD) F, S/C Lee M. Peterson 2004 Trust Procter & Gamble Company (The) Common Stock(PG) F, S/C Lee M. Peterson 2004 Trust Johnson & Johnson Common Stock(JNJ) F, S/C Lee M. Peterson 2004 Trust Novartis AG Common Stock(NVS) F, S/C Lee M. Peterson 2004 Trust Canadian National Railway Company Common Stock(CNI) F, S/C Lee M. Peterson 2004 Trust United Technologies Corporation Common Stock(UTX) F, S/C Lee M. Peterson 2004 Trust Description of Investment Principal Place of Business or State of Incorporation Issuer Address Name of Trust Page 12 of 54 Alphabet Inc. Class A Common Stock(GOOGL) F, S/C Lee M. Peterson 2004 Trust Automatic Data Processing, Inc. - Common Stock(ADP) F, S/C Lee M. Peterson 2004 Trust Intel Corporation Common Stock(INTC) F, S/C Lee M. Peterson 2004 Trust AptarGroup, Inc. Common Stock(ATR) F, S/C Lee M. Peterson 2004 Trust 3M Company Common Stock(MMM) F, S/C Lee M. Peterson 2004 Trust Nestle S.A. F, S/C Abbott Laboratories Common Stock(ABT) F, S/C Common Stock Switzerland Avenue Nestle 55, Vevey, 1800, Switzerland Lee M. Peterson 2004 Trust Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 13 of 54 AbbVie Inc. Common Stock(ABBV) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Large Value Quantitative Fund Class Z(CVQZX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Walt Disney Company (The) Common Stock(DIS) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Exelon Corporation Common Stock(EXC) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Exxon Mobil Corporation Common Stock(XOM) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Hewlett-Packard Company Common Stock(HPQ) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. iShares Russell 1000 Growth ETF(IWF) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 14 of 54 iShares Select Dividend ETF(DVY) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Microsoft Corporation Common Stock(MSFT) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Pepsico, Inc. Common Stock(PEP) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Fds Srs Tr, MidCap Value Fund Class Z(NAMAX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Fds Srs Tr I, Small Cap Core Fund Class Z(SMCEX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Fds Srs Tr I, Small Cap Value Fund I Class Z(CSCZX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Acorn Tr, Acorn International Select Fd Cl Z(ACFFX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 15 of 54 Deutsche X-trackers MSCI EAFE Hedged Equity ETF(DBEF) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Parametric Emerging Markets Fund Institutional Class(EIEMX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Intermediate Municipal Bond Fund(GMMB) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. PIMCO Foreign Bond (US Dollar Hedged) P Class(PFBPX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia High Yield Bond Fund Class Z(CHYZX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Vanguard REIT ETF - DNQ(VNQ) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Chevron Corporation Common Stock(CVX) F, S/C Page 16 of 54 Exxon Mobil Corporation Common Stock(XOM) F, S/C Pembina Pipeline Corp. Ordinary Shares (Canada) (PBA) F, S/C AptarGroup, Inc. Common Stock(ATR) F, S/C Novozymes A S DKK 2.0 F, S/C Canadian National Railway Company Common Stock(CNI) F, S/C Deere & Company Common Stock(DE) F, S/C Emerson Electric Company Common Stock(EMR) F, S/C Common Stock Denmark Krogshoejvej 36, Bagsvaerd, 2880, Denmark Page 17 of 54 General Electric Company Common Stock(GE) F, S/C 3M Company Common Stock(MMM) F, S/C Union Pacific Corporation Common Stock(UNP) F, S/C United Technologies Corporation Common Stock(UTX) F, S/C Home Depot, Inc. (The) Common Stock(HD) F, S/C CVS Health Corporation Common Stock(CVS) F, S/C Coca-Cola Company (The) Common Stock(KO) F, S/C Page 18 of 54 Nestle S.A. F, S/C Procter & Gamble Company (The) Common Stock(PG) F, S/C Unilever PLC Common Stock(UL) F, S/C Abbott Laboratories Common Stock(ABT) F, S/C AbbVie Inc. Common Stock(ABBV) F, S/C Johnson & Johnson Common Stock(JNJ) F, S/C Novartis AG Common Stock(NVS) F, S/C Common Stock Switzerland Avenue Nestle 55, Vevey, 1800, Switzerland Page 19 of 54 Perrigo Company plc Ordinary Shares(PRGO) F, S/C Alphabet Inc. Class A Common Stock(GOOGL) F, S/C Apple Inc. Common Stock(AAPL) F, S/C Automatic Data Processing, Inc. - Common Stock(ADP) F, S/C Cisco Systems, Inc. - Common Stock(CSCO) F, S/C EMC Corporation Common Stock(EMC) F, S/C Intel Corporation Common Stock(INTC) F, S/C Page 20 of 54 Oracle Corporation Common Stock(ORCL) F, S/C QUALCOMM Incorporated Common Stock(QCOM) F, S/C Xilinx, Inc. Common Stock(XLNX) F, S/C ConocoPhillips Common Stock(COP) F, S/C Exxon Mobil Corporation Common Stock(XOM) F, S/C Helmerich & Payne, Inc. Common Stock(HP) F, S/C Pembina Pipeline Corp. Ordinary Shares (Canada) (PBA) F, S/C Page 21 of 54 Phillips 66 Common Stock(PSX) F, S/C Schlumberger N.V. Common Stock(SLB) F, S/C AptarGroup, Inc. Common Stock(ATR) F, S/C Novozymes A S DKK 2.0 F, S/C Canadian National Railway Company Common Stock(CNI) F, S/C Deere & Company Common Stock(DE) F, S/C Emerson Electric Company Common Stock(EMR) F, S/C Common Stock Denmark Krogshoejvej 36, Bagsvaerd, 2880, Denmark Page 22 of 54 General Electric Company Common Stock(GE) F, S/C 3M Company Common Stock(MMM) F, S/C United Technologies Corporation Common Stock(UTX) F, S/C CVS Health Corporation Common Stock(CVS) F, S/C Nestle S.A. F, S/C Procter & Gamble Company (The) Common Stock(PG) F, S/C Abbott Laboratories Common Stock(ABT) F, S/C Common Stock Switzerland Avenue Nestle 55, Vevey, 1800, Switzerland Page 23 of 54 AbbVie Inc. Common Stock(ABBV) F, S/C Johnson & Johnson Common Stock(JNJ) F, S/C Merck & Company, Inc. Common Stock (new)(MRK) F, S/C Novartis AG Common Stock(NVS) F, S/C Novo Nordisk A/S Common Stock(NVO) F, S/C State Street Corporation Common Stock(STT) F, S/C Alphabet Inc. Class A Common Stock(GOOGL) F, S/C Page 24 of 54 Apple Inc. Common Stock(AAPL) F, S/C Automatic Data Processing, Inc. - Common Stock(ADP) F, S/C EMC Corporation Common Stock(EMC) F, S/C Intel Corporation Common Stock(INTC) F, S/C Oracle Corporation Common Stock(ORCL) F, S/C Xilinx, Inc. Common Stock(XLNX) F, S/C SSGA U.S. Treas MM Fd(SVTXX) F, S/C Page 25 of 54 Vanguard Limited-Term Tax-Exempt Fd Admiral Shs(VMLUX) F, S/C SSGA U.S. Treas MM Fd(SVTXX) F, S/C Vanguard Limited-Term Tax-Exempt Fd Admiral Shs(VMLUX) F, S/C AT&T Inc.(T) F, S/C Ford Motor Credit F, S/C Corporate Bond Michigan One American Road, Dearborn, MI, 48128, CVS Health F, S/C Corporate Bond Rhode Island One CVS Drive, Woonsocket, RI, 02855, Mastercard F, S/C Corporate Bond New York 2000 Purchase Street, New York, NY, 10577 2509, Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 26 of 54 Monsanto Company F, S/C Bond Missouri 800 North Lindberg Blvd, St Louis, MO, 63101, US Kraft Foods Inc. F, S/C Corporate Bond Illinois Three Lakes Drive, Northfield, IL, 60093 2753, US Deere John Cap Corp Mtns BE F, S/C Corporate Bond Illinois One John Deere Place, Moline, IL, 61265, US Verizon Communciations F, S/C Corporate Bond New Jersey One Verizon Way, Basking Ridge, NJ, 07920, US Express Scripts Hldg F, S/C Corporate Bond Missouri One Express Way, St. Louis, MO, 63121, US Kraft Foods Inc. F, S/C Corporate Bond Illinois Three Lakes Drive, Northfield, IL, 60093 2753, US Deere John Cap Corp Mtns BE F, S/C Corporate Bond Illinois One John Deere Place, Moline, IL, 61265, US Page 27 of 54 Kellogg Co F, S/C Corporate Bond Michigan One Kellogg Square, Battle Creek, MI, 49016 3599, Caterpillar Inc F, S/C Corporate Bond Illinois 100 N.E. Adams Street, Peorina, IL, 61629, US Ford Motor Credit F, S/C Corporate Bond Michigan One American Road, Dearborn, MI, 48128, CVS Health F, S/C Corporate Bond Rhode Island One CVS Drive, Woonsocket, RI, 02855, Mastercard F, S/C Corporate Bond New York 2000 Purchase Street, New York, NY, 10577 2509, Monsanto Company F, S/C Corporate Bond Missouri 800 North Lindberg Blvd, St. Louis, MO, 63101, US FedEx Corp. Note F, S/C Corporate Bond Pennsylvania 1000 FedEx Drive, Coraopolis, PA, 15018, Page 28 of 54 Bank of America Interm Tax Ex Bond CTF F, S/C SSGA U.S. Treas MM Fd(SVTXX) F, S/C Lee M. Peterson 2004 Trust Fiserv, Inc. Common Stock(FISV) F, S/C Lee M. Peterson 2004 Trust Mastercard Incorporated Common Stock(MA) F, S/C Lee M. Peterson 2004 Trust BlackRock Liquidity Fds Fed Fd Ptf Priv Client Shs(BRPXX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. PIMCO Foreign Bond (US Dollar Hedged) P Class(PFBPX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia AMT-Free California Intermediate Muni Bond Fund Z(CCMRX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Bond North Carolina Bank of America Corporate Center, 100 N. Tryon Street, Charlotte, NC, 28255, Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 29 of 54 Vanguard Intermediate Term Tax-Exempt Fund(VWITX) F, S/C Fiserv, Inc. Common Stock(FISV) F, S/C Chubb Corporation (The) Common Stock(CB) F, S/C Gilead Sciences, Inc. - Common Stock(GILD) F, S/C McDonalds Corp F, S/C Bond Illinois One McDonald's Plaza, Oak Brook, IL, 60521, US FISERV INC F, S/C Bond Wisconsin 255 Fiserv Drive, Brookfield, WI, 53045, Spectra Energy Corp Common Stock(SE) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 30 of 54 Vanguard Short-Term Corporate Bond ETF(VCSH) F, S/C Lee M. Peterson 2004 Trust Unilever PLC Common Stock(UL) F, S/C Lee M. Peterson 2004 Trust Novozymes A S DKK 2.0 F, S/C Apple Inc. Common Stock(AAPL) F, S/C Lee M. Peterson 2004 Trust Columbia Dividend Income Fd Cl Y(CDDYX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Large Cap Growth Fund Cl Y(CGFYX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Mid Cap Value Fund Cl Y(CMVYX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Common Stock Denmark Krogshoejvej 36, DK-2880, Bagsvaerd, Denmark Lee M. Peterson 2004 Trust Page 31 of 54 iShares Russell Mid-Cap ETF(IWR) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Small Cap Value Fund I Cl Y(CSVYX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. iShares Russell 2000 ETF(IWM) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Vanguard Small-Cap ETF DNQ(VB) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia AMT-Free Intermediate Muni Bond Fund Z(SETMX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Columbia Fds Srs Tr I, High Yield Municipals Fund Class Z(SRHMX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. FPA Funds Trust, FPA Crescent Portfolio Institutional Class(FPACX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Page 32 of 54 WFA Absolute Return Fd Cl A(WARAX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. BlackRock Funds II, Strategic Opportunities Ptf Institutional(BS IIX) F, S/C Robert F Herrick III o/b/o Alice H. Mumford Et. Al. Analog Devices, Inc. - Common Stock(ADI) F, S/C Union Pacific Corporation Common Stock(UNP) F, S/C J.M. Smucker Company (The) New Common Stock(SJM) F, S/C Intel Corp F, S/C Bond California 2200 Mission College Blvd., Santa Clara, CA, 95052, US Oracle Corp F, S/C Bond California 500 Oracle Parkway, Redwood Shores, CA, 94065, US Page 33 of 54 Apple Inc F, S/C Bond California 1 Infinate Loop, Cupertino, CA, 95014 2083, US Automatic Data Processing F, S/C Bond New Jersey 1 ADP Boulevard, Roseland, NJ, 07068, Enbridge Inc Common Stock(ENB) F, S/C Bayer US Fin II LLC Sr. GLBL 2.125% F, S/C Bond Bayer Corporation 100 Bayer Boulevard, Whippany , NJ, 07981, Oracle Corp 2.25% F, S/C Bond Oracle Corporation 500 Oracle Parkway, Redwood Shores, CA, 94065, US Pepsico Inc. 3.00% F, S/C Bond Pepsico Inc. 3.00% 730 Rogers Street, Princeton, WV, 24740, Visa Inc. 2.20% F, S/C Bond Visa Inc. PO Box 8999, San Francisco, CA, 94128 8999, US Page 34 of 54 Vanguard Limited Term Tax-Exempt Fund(VMLTX) F, S/C Philips 66 F, S/C State Street Institutional Treasury Fd Investment Class(TRVXX) F, S/C United Technologies Corporation Common Stock(UTX) F, S/C Robert F. Herrick III o/b/o Alice H. Mumford Vanguard FTSE Developed Markets ETF(VEA) F, S/C Robert F. Herrick o/b/o Alice H. Mumford Vanguard FTSE Emerging Markets ETF(VWO) F, S/C Robert F. Herrick o/b/o Alice M. Mumford Vanguard Intermediate-Ter m Tax-Exempt Fd Admiral Shs(VWIUX) F, S/C Robert F. Herrick o/b/o Alice H. Mumford Common Stock Craft 301 Briarpark Dr, Houston, TX, 77001, Page 35 of 54 SPDR Barclays High Yield Bond ETF(JNK) F, S/C Van Eck Vectors High Yield F, S/C Invesco Balanced-Risk Allocation Fund Class A(ABRZX) F, S/C Robert F. Herrick o/b/o Alice H. Mumford BlackRock Funds II, Strategic Opportunities Ptf Institutional(BS IIX) F, S/C Robert F. Herrick o/b/o Alice H. Mumford Neuberger Berman Long Short Credit Fund Class A(NLNAX) F, S/C Robert F. Herrick o/b/o Alice H. Mumford WFA Absolute Return Fd Cl A(WARAX) F, S/C Robert F. Herrick o/b/o Alice H. Mumford Chubb Corporation (The) Common Stock(CB) F, S/C Lee M. Peterson 2004 Trust Robert F. Herrick o/b/o Alice H. Mumford Bond Van Eck Securities 666 Third Avenue, New York, NY, 10017, US Robert F. Herrick o/b/o Alice H. Mumford Page 36 of 54 Danaher Corporation Common Stock(DHR) F, S/C Lee M. Peterson 2004 Trust SSGA U.S. Treas MM Fd(SVTXX) F, S/C Lee M. Peterson 2004 Trust Fidelity Treasury Only Money Markey Fund(FDLXX) F, S/C Lee M. Peterson 2004 Trust Vanguard Short-Term Corporate Bond ETF(VCSH) F, S/C Walt Disney Company (The) Common Stock(DIS) F, S/C Chubb Corporation (The) Common Stock(CB) F, S/C Mastercard Incorporated Common Stock(MA) F, S/C Page 37 of 54 Fidelity Treasury Only Money Markey Fund(FDLXX) F, S/C SSGA U.S. Treas MM Fd(SVTXX) F, S/C Page 38 of 54 28. Other than the Financial Investments identified in Question 27, identify every Financial Investment that was owned as of December 31, 2018, by a Trust of which your spouse and/or any dependent child(ren) residing in your household was a beneficiary, and which had a fair market value as of that date greater than $1,000, and provide the required information for each. For any Financial Investment not included on the drop-down list of publicly traded stock, you must provide the issuer's principal place of business or state of incorporation as well as its address. Name of Issuer Description of Investment Principal Place of Business or State of Incorporation Issuer Address Common Stock Denmark Krogshoejvej 36, Bagsvaerd, 2880, Denmark Name of Trust AptarGroup, Inc. Common Stock(ATR) Novozymes A S DKK 2.0 Canadian National Railway Company Common Stock(CNI) 3M Company Common Stock(MMM) Home Depot, Inc. (The) Common Stock(HD) CVS Health Corporation Common Stock(CVS) Page 39 of 54 Procter & Gamble Company (The) Common Stock(PG) Johnson & Johnson Common Stock(JNJ) Perrigo Company plc Ordinary Shares(PRGO) Automatic Data Processing, Inc. Common Stock(ADP) EMC Corporation Common Stock(EMC) Intel Corporation - Common Stock(INTC) International Business Machines Corporation Common Stock(IBM) Hubbell Inc Common Stock Class B(HUB.B) Page 40 of 54 Vanguard Short-Term Corporate Bond ETF(VCSH) Chevron Corporation Common Stock(CVX) Exxon Mobil Corporation Common Stock(XOM) Helmerich & Payne, Inc. Common Stock(HP) Schlumberger N.V. Common Stock(SLB) AptarGroup, Inc. Common Stock(ATR) Novozymes A S DKK 2.0 Common Stock Denmark Krogshoejvej 36, Bagsvaerd, 2880, Denmark Canadian National Railway Company Common Stock(CNI) Page 41 of 54 Deere & Company Common Stock(DE) 3M Company Common Stock(MMM) Xylem Inc. Common Stock New(XYL) Johnson Controls, Inc. Common Stock(JCI) CVS Health Corporation Common Stock(CVS) Nestle S. A. Common Stock Switzerland Avenue Nestle 55, Vevey, 1800, Switzerland Procter & Gamble Company (The) Common Stock(PG) Unilever PLC Common Stock(UL) Page 42 of 54 Alnylam Pharmaceuticals, Inc. - Common Stock(ALNY) SSGA U.S. Treas MM Fd(SVTXX) Ionis Pharmaceuticals Common Stock California 2855 Gazelle Court, Carlsbad, CA, 92010, US Common Stock Switzerland Grenzacherstr. 124, BASEL, 4058, Switzerland Johnson & Johnson Common Stock(JNJ) Novartis AG Common Stock(NVS) Roche Hldg Ltd ADR Perrigo Company plc Ordinary Shares(PRGO) Ace Limited Common Stock(ACE) Page 43 of 54 Alphabet Inc. Class A Common Stock(GOOGL) Apple Inc. Common Stock(AAPL) Automatic Data Processing, Inc. Common Stock(ADP) Cisco Systems, Inc. - Common Stock(CSCO) EMC Corporation Common Stock(EMC) Fiserv, Inc. Common Stock(FISV) IPG Photonics Corporation Common Stock(IPGP) Intel Corporation - Common Stock(INTC) Page 44 of 54 International Business Machines Corporation Common Stock(IBM) Mastercard Incorporated Common Stock(MA) Microsoft Corporation Common Stock(MSFT) Oracle Corporation Common Stock(ORCL) Xilinx, Inc. Common Stock(XLNX) NXP Semiconductors N.V. - Common Stock(NXPI) Hubbell Inc Common Stock Class B(HUB.B) Vanguard Short-Term Corporate Bond ETF(VCSH) Page 45 of 54 SSGA U.S. Treas MM Fd(SVTXX) Gilead Sciences, Inc. - Common Stock(GILD) Illumina, Inc. Common Stock(ILMN) Danaher Corporation Common Stock(DHR) United Technologies Corporation Common Stock(UTX) Analog Devices, Inc. - Common Stock(ADI) QUALCOMM Incorporated Common Stock(QCOM) Exxon Mobil Corporation Common Stock(XOM) Page 46 of 54 Schlumberger N.V. Common Stock(SLB) Chubb Corporation (The) Common Stock(CB) Unilever PLC Common Stock(UL) Abbott Laboratories Common Stock(ABT) Danaher Corporation Common Stock(DHR) Intel Corp Bond California 2200 mission college blvd, santa clara, CA, 95052, US Oracle Corp Bond California 500 Oracle Parkway, Redwood Shores, CA, 94065, US EOG Resources, Inc. Common Stock(EOG) Page 47 of 54 Fortive Corp Common Stock Washington 6920 Seaway Blvd, Everett, WA, 98203 5829, US J.M. Smucker Company (The) New Common Stock(SJM) Enbridge Inc Common Stock(ENB) Spectra Energy Corp Common Stock(SE) Treasury Fund: Fidelity Treasury Fund(FZFXX) Amazon.com, Inc. Common Stock(AMZN) Home Depot, Inc. (The) Common Stock(HD) Walt Disney Company (The) Common Stock(DIS) Page 48 of 54 Unilever PLC Common Stock(UL) PayPal Holdings, Inc. - Common Stock(PYPL) Fidelity Treasury Only Money Markey Fund(FDLXX) Fortive Corporation Common Stock Fortive Corp 6920 Seaway Blvd, Everett, WA, 98203 5829, US United Technologies Corporation Common Stock(UTX) 29. Identify all mortgages, including home equity and reverse mortgage loans, on your Primary Residence, on which more than $1,000 was owed as of December 31, 2018, where the creditor (person who loaned you the money) is <u>NOT</u>, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and provide the Radius Bank 1 Corporate Drive, Suite 360, Lake Zurich, IL, 60047 8945, US 195 months 4.000 2032 Page 49 of 54 30. Did you have a mortgage, including a home equity or reverse mortgage loan, on any property <u>OTHER</u> than your Primary Residence, on which more than $1,000 was owed as of December 31, 2018, which you were obligated to pay and where the creditor (person who loaned you the money) is <u>NOT</u>, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative? 31. Identify all mortgages, including home equity and reverse mortgage loans, <u>OTHER</u> than any mortgage on your Primary Residence or any mortgage identified in response to Question 30, on which more than $1,000 was owed as of December 31, 2018, and which your spouse and/or any dependent child(ren) residing in your household were obligated to pay and where the creditor (person who loaned the money to your spouse and/or dependent child(ren) residing in your household) is <u>NOT</u>, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and provide the required information for each. 32. Identify all non-mortgage debts of more than $1,000 that you owed as of December 31, 2018, IF the person to whom you owed the debt is <u>NOT</u>, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and 33. Identify all non-mortgage debts of more than $1,000 that your spouse and/or any dependent child(ren) residing in your household owed as of December 31, 2018, <u>IF</u> the person to whom your spouse and/or any dependent child(ren) residing in your household owed the debt is <u>NOT</u>, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and provide the required information for each. Page 50 of 54 34. Identify non-mortgage debts of more than $1,000 which you owed and which were forgiven at any time during 2018, <u>EXCLUDING</u> debts forgiven by a person who is, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and provide the required information for each. residing in your household and were forgiven at any time during 2018, <u>EXCLUDING</u> debts forgiven by a person who is, by blood or marriage, your parent, grandparent, great grandparent, child, grandchild, great-grandchild, aunt, uncle, sister, brother, niece, nephew, or the spouse of any such relative, and provide the required information 36. Identify any Reimbursements for expenses in excess of $100 provided to you at any time during 2018 by any legislative agent or executive agent (lobbyist). 36.a Identify any Reimbursements for expenses in excess of $100, other than those identified in response to Question 36, you received at any time during 2018 from any person having a direct interest in a matter before the Page 51 of 54 37. Identify any Reimbursements for expenses in excess of $100 provided to your spouse and/or any dependent child(ren) residing in your household at any time during 2018 by any legislative agent or executive agent (lobbyist). 37.a Identify any Reimbursements for expenses in excess of $100, other than those identified in response to Question 36, provided to your spouse and/or dependent child(ren) residing in your household at any time during 2018 by any person having a direct interest in a matter before the governmental body by which you were or are now employed. 38. Identify any Gifts and/or Honoraria worth more than $100 provided to you at any time during 2018 by any person having a direct interest in a matter before a governmental body by which you were or are now employed. 39. Identify any Gifts and/or Honoraria worth more than $100 provided to your spouse and/or any dependent child(ren) residing in your household at any time during 2018 by any person having a direct interest in a matter before the governmental body by which you were or are now employed. Page 52 of 54 40. Did you, your spouse and/or any dependent child(ren) residing in your household during 2018, own anything that you have not reported on this Statement of Financial Interests because it was held in a Blind Trust during 2018? Page 53 of 54 I, Lee M Peterson, certify under the pains and penalties of perjury that: Submitted: 04/15/2019 If you were required to amend your Statement of Financial Interests last year, we encourage you to carefully review your 2018 Page 54 of 54 |