NORTH CAROLINA STATE ETHICS COMMISSION | ror ernics commission USE ONLY 2016 STATEMENT OF ECONOMIC INTEREST | 2%¢ Received: 919-814-3600 www.ethicscommission.nc.gov THIS ENTIRE FORM MUST BE COMPLETED TO FULFILL Scie ES BRS YOUR SEI FILING OBLIGATION —Seanned ste Incomplete 76 Supp. Sent Date by ‘Supp. Received Gate Entered in database"! By x FILER’S NAME (FIRST, MIDDLE, LAST) | pretix._| First Name | Middle Name Last Name re y [fae [Pra do call CURRENT EMPLOYER 308 TITLE Semere lend en he NATURE QR TYPE OF BUSINESS Faded REASON FOR FILING (SELECT ALL THAT APPLY) [USTATE GOVERNMENT 108 (Please specify the agency for which you work or are being considered) [J BOARO/COMMISSION (Please list complete name of ail State beards on which you are serving or are being considered} A. Do other Immediate Family members reside in your househald? [ves [No When used throughout this form, the term Immediate Family includes your spouse (untess 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 2 child under 18 years old. Minors are emancipated by marriage, enlistment in the US military or court order for emancipation, EMANCIPATED MINORS BUSINESS Blas by [beta Heine stake Lege ittucd ¢ Nene % Hig Layirey 9 fi Teel, Lriyiwee et By | acm Hip Lugar say Mair maton Tech | Gmc hers dey tha Ahi ee pteenet Pere Beng as ‘The SEI and any attachments, excluding the Confidential Form, are public records, Page 3 of 10 ne[B. Ust ONLY the initiate ofa! unemaneipated minors in your Nousehold below. A minor is 2 chi under 18 years Sin Snore orc omoncpace oy trate tfeaman the US mito cock oder foreman | Note: You must list the full name of each minor child on the Confidential Form avaitable at the end of this document. INITIALS FOR RELATIONSHIP EMPLOYER JOB TITLE NATURE OF UNEMANCIPATED BUSINESS 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? fdves C}No Owner of RealEstate | Dita, bones °% Ownership Interest Location by City Location by County Tee nit | { | . { tila heed | | tee Hitgel nel [ 8, Lease or rent real estate or personal property Lo or from the State of North Carolina with a market value of $10,000 or more? Dives iefto Name of Lessor Name of Lessee | 31 Real Estate, Location | (Renter) 1f Personal Property, By city @ County Describe Z ap | - i — fa — . {__ we 2. At any time during 2034 of 2015, did you, your spouse, or members of your immediate ferily sell tor buy fram the ‘State-of North Caroling personal property with 9 market value cf $10,000 or more? Cives ft Name of Purchaser | Type of Property ‘The SEI and any attachments, excluding the Confidential Form, are public records. Page 2 of 10FINANCIAL INTERESTS 3. As of December 31, 2015, did you, your spouse, or members of your immediate family owa any of the following financial interests valued at $10,000 or more? | A. Stock in a publicly owned company? [aves [Ne Do not list Ownership interests in a widely held investment fund (inclading mutual finds, regulated investment companies, or pension or deferred compensation plans) ift (i) the fund is publicly traded or its assets are widely diversified; and (ii) neither you nor an immediate family member are able to contro! tne 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) Peon Hac hone 3 8. Stock Options in 3 company or business? ves fro ‘Qwner of Stock Option —_, C. Interests ina nen-publiciy owned company or business entity (including interests in sole proprietorships, partnerships, limited partnerships, joint ventures, limited liability companies, limited tability partnerships, and Closely held corporations)? [ves [3No - iF No,” proceed te question 4, | 1 Owner of Interest Name of Company or Business Entity « Adlichnes 3 (C42), For each non-pubiiciy owned company or business entity (the “primary company") identified in question 3.C above, please list the names af any other companies or business entities in which the primary company inns securities or equity interests valued at over $10,009, if known. Non-Publicly Owned Company or Business Entity Other Companies in which the Primary Company (the Primary Company) ‘Owns Security or Equity Interests [i tone or Not Know { f ditfe pe & The SEX and any attachments, excluding the Confidential Form, are public records. Page 3 of 10€ (2). If you knaw that any company or business entity listed in 2.C or 3.C(1) above has any material business dealings or business cantracts with the State of North Caroling, 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 | | Cl None or Net Known A lake Mee As of December 31, 2048, were you, your spouse, or members of your immediate family the beneficiaries of a vested trast with 9 value of §10,000 or more that was created, established, or controlled by you? i Do not list assets held in blind trusts, See 2016 SEI Helpful Tips for the definition of “vested Trust” and “Bling Trust.” Gives EfNo Name and Address of Trustee Your Relationship ta the Trust 5. As of Bevemnber 22, 2015, did you, your spouse, or members of your immediate faraly have labilties 6 $10,000 or more, excluding the mortgage on your primary personal residence? Examples ineluse creat card debts, auto loose, suclent loans, personal loans and intrafamity bi. Dyes Eno Name of Debtor (You, Spouse, Immediate Family Member) ‘Type of Creditor (Commercial Bank, Credit Union, Individual, ete.) — —_ 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 fax returns Do not include income received fram the following sources: » Capital gains » Federal government retirement » Military retirement » Social security income/ SSDI Type of ‘Type of Income Business/Industry Recipient of Income Name of Source ite Affe hwo we Hie dm ‘The SEI and any attachments, excluding the Confidential Form, are public records. Page 4 of 10| PROFESSIONAL AND CIVIC RELATIONSHIPS 7a}, During 2015, were you, your spouse ar members of yaur immediate family a director, officer, governing board Inesnber, employee, independent contractor, or registered lobbyist of 2 nonprofit corporation ar organization operating in | the State of North Carolina primarily for religious, charitable, scientific, Rerary, public health and safety, or educational purposes? Wes (No - If “No,” proceed to questian 8. Nature of Business or Purpose of Organization Name of Nonprofit Corporation or Organization Ldcichiingé Redegies a bye: | 200). iF the nonprofit corporations or organizations Usted abave do business with the State of North Carolina or receive | State unas, please provide 8 bret desertion of the nature ofthat busines, Kron oF wih whch da dlagence could | teasonabiy be known | I Ne Nonprofit Corporation or Organization ‘Mone or Not Known 8. Dunng 2018, were you, Your Spauise, or members of your immediate family a director, officer, or governing board member of any society, organization, or advacacy group with an interest in matters over which your agency or board may I | have jurisdiction? ! Dives [Ne [Btegistator/Judicial Officer - You sre not required! ta complete this question if you are fling because ‘you are a legislator or 8 judicial officer ar you are fling as an appointee ta those offices. » Do not list organizations of which you are only a member (net serving in a leadership role). | i i —_ ‘Name of Person Name of Society, Organization | ‘ar Advocacy Group i ] Leadership Position (Director, Officer, Board Member) ‘The SEI and any attachments, excluding the Confidential Form, are public records. Page 5 of 109a). List the name of each company or business with which you were assaciated where you or amember of your immediate | family was an employee, director, officer, partner, proprietor, ar member or manager as of December 31, 2015. | Relationship to Filer | __ ame of Company Rele of Person ay ‘Name of Person aYNo Business Associations ~ If "No," procead to question 10 | 2(8). If you know that eny company or business entity listed in 9(a) above had any material business dealings o Business contracts with the State of North Caralina ar was regulated by the State as of Becamber 31.2015, provide a brief description of that business activity. Description of Business Activity with the State | Cfo applicable (Wo entities listed on #83) | Wo relatlonship / Not known i Name of Company or Business Entity ' 10. Are you a practicing attorney? | Lives [Iso ferudiciat officer/state Attorney 11 "Yes", check each category of legal representation in which you or the law firm with which you are affliated has earned legal feas af mare than $10,000 during 2035. | Administrative TC Admiiraity: Ci Corporate Cicriminat | decedent's estates (i Environmental CD insurance Dtaver | (1 Loca! Gavernmant Real Property Securities Ctax (J Tort titigation {including E]utinties Regulation Clother category not listed, neghgence) 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 $20,000? Nature of Services Rendered ‘The SEX and any attachments, excluding the Confidential Form, are public records. Page 6 of 1012, Are you ot your employer, your spouse ar members of your immediate family, or their employer currently: > Licensed by the State board or employing entity with which you are or will he associated or + Regulated by the State board or empioying entity with which you are or will be associated or Javea business reletionship with the State board or employing entity with which you are or will be associated? | CD¥es CINo [efLegisiator/2udicial Officer - You 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 | re filing a5 an appointes to these offices. Name of Person Name of Employer Type of Relationship Gf applicable) (Licensing, Regulatory, Business) = | | 43. Are you, your spouse or a member of your immediate family currently registered as a lobbyist or obbyist principal, or were you registered as such within the raced filing of this form? t yes (No ‘Name of Lobbyist Lebbyist’s Principal Dateof | Registration |__Regietration Expiration | 14, During any calendar quarter in 2015 (out 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 giftts), and 1 «+ the gift(s} were given under circumstances that would lead a reasonable person to conclude that they were given | for lobbying? Chives [ate > Do not report gifts given by members of your extended family, »Do riot report gifts that have previously been reperted 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 Tem Received | Estimated Mancet | Value ‘The SEL and any attachments, excluding the Confidential Form, are public records. Page 7 of 1015, During 2015 (but only the time period after you were appointed, employed, or filed or were nominated as a candidate) did you + accept a “scholarship” exceeding $200 from a person ar group of persons acting together and + those person(s) were outside North Carolina and * the scholarship was related to your public position? A “echolarship” Is a grant-in-ald, either direct or indirect, | to attend a conference, meeting, or similar event, including tuition, travel, lodging, meals, and other similar expenses, [Yes (C1No [1 3udicial Officer - You are not required te complete this question if you are a judicial officer or you are filing as a judicial officer appointee. a » Do not repert 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 legisiative organization of which the legislator | or the General Assembly is 3 member or participant or an affiliate of that organization. | Scholarsbip Value Date of Name and Address of Donor(s) Describe Event Estimated Market 16. Were you appointed or are you Council of State member? Council of State members are: | > Governor » it. Governor » Secretary of State : » State Auditor » State Treasurer » Superintendent of Public Instruction » Attomey General » Commissioner of Agriculture > Commissioner of Labor | > Commissioner of Insurance | - | Plves Pine 3f Yes", list all contributions you (NOT immediate famity members) made during 2015 with a cumulative | total of mare than $4,000 to the Governor or other Council of State member who appointed you. } Lo > Contributions are defined in N.C.G.S, 163-278.6(6) and include, but are not limited to, “any advance, canveyance, Seposit, distribution, transfer of funds, loan, payment, git, pledge or subscription of monay or anything of value whatsoever,” Date ymulative total of more than $1,000 [EN canteibution(e) with 3 eu ‘The SEI and any attachments, excluding the Confidential Form, are public records. Page 8 of 1017, Are you an appointee or prospective appointee to: Governor; or b. a North Carolina Supreme Court Judge; or ‘3 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 Commnission + Rules Review Commission + Baard of Transportation + UNC Board of Governors = Utiities Commission + Wildlife Resources Commission | [athe head ofa eon tate department (e.g eine seater) applied by We ‘aurt Justice, Court of Appeals, Superior or District 4d, If so, were you appointed or are you being considered for appointment to that public pasition by a Council of State member? Council of State members are listed jn question 16. ‘clyes [INe yes Gi If °No,” proceed to question 18. If “No,” proceed to question 18, If s0, you must indicate whether during 2025 you (nat immediate farnily members) engaged in any of the following activities with respect to or an behalf of | the candidate or campaign committee of the Council of State member who eppeinted you to your public position: i. Collected contributions from multtipte contributors, took possession of such muitigle contnbutions, and trensferred or delivered those coliacted contributions to the candidate or committee? Contributions are defined in L ‘question 16. i - a fi, Hosted a fundraiser at your residence or place of business? ili, Volunteeres for campaign-reiated 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? Ces [no [ve No | Ces 18, Have you ever been convicted of @ felony for which you have not received either: (i) 8 pardan of innocence; or (i) an | order of expungement regarding that conviction? County of Conviction Le of Conviction concerning your compliance with the State Government Ethics Act? [Yes GIN If yes, please provide such information below. ‘The SEI and any attachments, excluding the Confidential Form, are public records. 19, Are you aware of any other information that you Dellave may assist the State Ethics Commission in advising you Page 9 of 10| AFFIRMATION 1 affirtn 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, {also cerify that I have not transferted, and will not transter, any asset, interest, or property for the purpose of concealing it | from disclosure while retaining an equitable iniesest, Lunderstand that my Statement of Economic Interest and any attachments or supplements thereto (with the exception of the Confidential Form regarding Unemaneipated Chnidren) are public record, | Yacknowledge that T have read and understand NCGS, 138A-26 regarding concealing ar failing to disclose material | information and NCGS, 1384.27 regarding providing false information: § 138A-26, Concealing oF failing to disclose material information. on a statement of economic interest under this Article shail be guitty of a Class | misdemeanor and shall be subject to disciplinary action under G.S. 138A-45. § 1384.27, Penalty for false information, | A Jiling person svho knowingly conceals or knowingly fails to disclose information that is required to be disclosed A filing person who provides fulse 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 | GS. 138A45, | | Submit SIGNED, ORIGINAL documents only. De not fax or emai ‘The SEX and any attachments, excluding the Confidential Form, are public records. Page 10 of 10a ACAMENT 1, LAL OF owner state Paul and Mason Newby Paul and Newby Paul ar Newby Macon Newby Macon Newby ship interes lina real ¢ wake Wake Randolph WakeATTACHMENT 2; 2016 3.A. Interest in Publicly Owned Companies Owner of Secu: Name of Company Paul Newby Royal Bank of Canada Paul Newby BEST Paul Newby Lincoln National Paul Newby Triangle Capital Corp. Macon Newby Ashland Inc Macon Newby =P Macon Newby knowles Corp Macon Newby ConocoPhillips Macon Newby Exxon Macon Newby Imperial O41 Macon Newby Marathon Petroleum Macon Newby Phillips 56 Macon Newby BRET Macon Newby Lincoln National Macon Newby Royal Bank of Canada Macon Newby Wells Fargo Macon Newby Baxter International Macon Newby Baxalta Macon Newby Bristol Myers Squibb Macon Newby zimmer Holdings Inc Macon Newby caterpillar Macon Newby Dover Coxp Macon Newby Worthington Industries Macon Newby triangle Capital Corp Macon Newby ATET Macon Newby Abbott laboratories Macon Newby Abbvie Inc Macon Newby Duke Energy Macon Newby General Dynamic Macon Newby Johnson & Johnson Macon Newby Kimberly Clark Macon Newby Merck Macon Newby Moxgan Stanley Macon Newby Noxfolk Southern Macon Newby Proctor & Gamble Macon Newby Raytheon Macon Newby UPS Macon Newby United Technologies Samuel Newby BRST Samuel Newby Lincoln Sarah Newby BRET Sarah Newby LincolnATTACHMENT 3; 2016 ests in non-publicly owned companies Owner of Interest Name of Business Entity Macon Newby cece Hampton Courts LLC Macon Newby CCC Olde Raleigh LLC Macon Newby The Three Moose Village LLC Macon Newby CCC Brassfield Park LLC Macon Newby GR Investors LLC Macon Newby NewTuck LLC Macon Newby GST Investments, LLC 6. Sources of Income of more than $5,000 Recipient of Name of type of Type of come Source Business Income Paul Newby State of NC Supreme Court Justice Salary Paul Newby Campbell Univ. Adjunct Professor Wages Pavl/Macon Newby Family Farm Farr Income Macon Newby GST Invest LLC Invest/real estate Dividend Macon Newby Lineoln Natl Stock Dividend Macon Newby Revolution Ch Rental Real Estate Rent. Macon Newby Sonorous Rd LLC Rental Real Estate Rent Macon Newby Labor Smart Rental Real Estate Rent Macon Newby Triangle Cap Stock Dividend Macon Newby BBR Stock pividena Macon Newby Hampton CT LLC Stock Dividend Samuel Newby Church Initiat Program materials Salary Samuel Newby Hipp Engineer Engineering salary