Transactions (Annual and Termination Reports Only)




Note: These instructions do not apply to Periodic Transaction reports.

Report purchases, sales, or exchanges in Part 7.  You do not need to report transactions previously disclosed in a Periodic Transaction report (OGE Form 278-T), unless your agency requires such reporting.

Description

Type

Date

Amount

Janus Balanced Fund (JDBAX)

sale

6/12/15

$15,001 - $50,000

Residential real estate, Seattle, WA

purchase

6/12/15

$250,001 - $500,000

For You, Your Spouse, and Your Dependent Children

Part 7

Report a purchase, sale, or exchange of real property or securities that occurred during the reporting period if the amount of the transaction was more than $1,000. 

Description:  Provide a description sufficient to identify the asset being reported (or both assets in the case of an exchange).  The amount of information needed for a sufficient description will depend on the type of asset being reported.  In general, the following rules apply.

(1) Stock:  Provide the name of the issuing company. 

(2) Other securities with specific names (e.g., bonds and mutual funds):  Provide the full name of the asset and, unless clear from the name, describe the type of asset.

(3) Real estate:  Describe the type of real estate (e.g., “residential,” “commercial,” “industrial,” or “undeveloped”) and provide the city and state in which it is located. Providing the county and state is also acceptable.  Do not provide a street address.

If the asset is an underlying holding of some other investment vehicle (e.g., held within a fund that does not qualify as an excepted investment fund), it is helpful if you identify the investment vehicle (e.g., Positron Investments, LLC: Chevron Corp.).

Type:  Specify the type of transaction as a purchase, sale, or exchange.

Date:  Provide the month, day, and year of the transaction. 

AmountReport the amount of the transaction by selecting the appropriate category.

Transactions That Are Not Reportable

You do not need to report transactions that concern the following:

  • A personal residence, unless the personal residence was rented out at any point during the reporting period.
  • Cash accounts (e.g., checking, savings, certificates of deposit, money market accounts) and money market mutual funds.
  • Treasury bills, bonds, notes, and savings bonds.
  • Holdings within a Thrift Savings Plan account or other retirement account for United States Government employees.
  • An underlying asset held within an excepted investment fund, an excepted trust, or a qualified trust.
  • Assets of a trade or business, unless the assets are unrelated to the operations of that trade or business.

In addition, you do not need to report:

  • Transactions previously disclosed in a Periodic Transaction report (OGE Form 278-T), unless your agency requires such reporting.
  • Transactions that occurred when you were not an employee of the United States Government.
  • Actions that do not constitute purchases, sales, or exchanges (e.g., gifts given or received, stock splits, bond calls or maturity, and expiration of options).
  • Transactions that occurred solely by and between you, your spouse, or your dependent children.
  • Transactions involving the interests of a spouse living separate and apart from you with the intention of terminating the marriage or providing for a permanent separation.
  • Transactions involving the interests of a former spouse or a spouse from whom you are permanently separated.

No Transactions to Report

If you do not have any transactions to report, you need to state this fact.  Within Integrity, you would make the statement by marking the “I do not have...” checkbox.  For hard copy reports, write “None” for the first line entry.

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