1

Mountain View, California

Director

Present

2

Palo Alto, California

Chairman & Secretary

Present

3

Boston, Massachusetts

Trustee

Present

4

Palo Alto, California

Co-Trustee

Present

1

Asimily Corporation (private company); preferred stock owned

$100,001 - $250,000

None (or less than $201)

2

SEP/Traditional IRA

2.1

SPDR S&P 500 ETF Trust (SPY)

$100,001 - $250,000

None (or less than $201)

2.2

American Funds American High-Income Trust Class A Shares (AHITX)

$100,001 - $250,000

None (or less than $201)

2.3

American Funds American New Perspective (ANWPX)

$250,001 - $500,000

None (or less than $201)

2.4

Fidelity Advisor Limited Term Bond Fund Class A Shares (FDIAX)

$100,001 - $250,000

None (or less than $201)

2.5

Fidelity Extended Market Index Fund (FSMAX)

$100,001 - $250,000

None (or less than $201)

2.6

PIMCO Income Fund Class A Shares (PONAX)

$100,001 - $250,000

None (or less than $201)

3

Rollover IRA

3.1

American Funds American Balanced Fund Class A Shares (ABALX)

$250,001 - $500,000

None (or less than $201)

1

Mountain View, California

The 4-year vesting schedule means a grant of 225,900 options will be fully vested in June, 2021. Currently, 44/48 of this grant are vested options. I will forfeit my unvested stock options upon separation. I will retain my vested stock options.

6/2017

1

Mountain View, California

Board Director

1

IRA

1.1

Cisco Systems, Inc. (CSCO)

$100,001 - $250,000

None (or less than $201)

1.2

Fidelity Balanced Fund (FBALX)

$50,001 - $100,000

None (or less than $201)

1.3

Fidelity Emerging Markets Fund (FEMKX)

$15,001 - $50,000

None (or less than $201)

1.4

Fidelity Magellan Fund (FMAGX)

$250,001 - $500,000

None (or less than $201)

1.5

T Rowe Price International Discovery Fund (PRIDX)

$15,001 - $50,000

None (or less than $201)

1.6

T Rowe Price International Stock Fund (PRITX)

$15,001 - $50,000

None (or less than $201)

1.7

T Rowe Price Mid-Cap Growth Fund, Inc (RPMGX)

$50,001 - $100,000

None (or less than $201)

1.8

T Rowe Price New Asia Fund (PRASX)

$15,001 - $50,000

None (or less than $201)

1.9

T Rowe Price Value Fund, Inc (TRVLX)

$15,001 - $50,000

None (or less than $201)

1

Vestaboard (private company) preferred stock

$1,001 - $15,000

None (or less than $201)

2

Goldman Sachs (GS.J) Preferred Stock

$50,001 - $100,000

Dividends

$2,501 - $5,000

3

Goldman Sachs GS.A Preferred Stock

$50,001 - $100,000

Dividends

$1,001 - $2,500

4

JPMorgan JPM.D Preferred Stock

$50,001 - $100,000

Dividends

$2,501 - $5,000

5

Madison Reed Preferred Stock

$50,001 - $100,000

None (or less than $201)

6

ISHARES MSCI USA QLTY FAC (QUAL)

$500,001 - $1,000,000

$5,001 - $15,000

7

SPDR Dow Jones Industrial Average ETF Trust (DIA)

$1,000,001 - $5,000,000

$15,001 - $50,000

8

SPDR S&P 500 ETF Trust (SPY)

$1,000,001 - $5,000,000

$15,001 - $50,000

9

Vanguard FTSE All-World ex US Index Fund ETF Shares (VEU)

$250,001 - $500,000

$5,001 - $15,000

10

Norwalk La Mirada California Zero Coupon Bond

$250,001 - $500,000

None (or less than $201)

1

Chase VISA

$10,001 - $15,000

2021

Revolving

1

1

My role as a Director of Asimily pre-dates my role as the Director of the Defense Innovation Unit but is completely unrelated. Asimily is a venture-backed startup whose business is a software platform for risk assessment of connected devices for hospitals and clinics. Asimily has no federal customers and is completely un-related to DoD.

1

2

My wife and I are officers of the Bockus Brown Family Foundation which supports our philanthropic interests.

1

3

Uncompensated position

2

1

I'm an investor and Director at Asimily, a risk assessment platform company for connected medical devices. Asimily has no federal customers. This relationship predates my government service.

2

4

Asimily stock options were awarded in my capacity as an advisor to the CEO and began vesting in June, 2017 on a four-year vesting schedule with 1/48 of those shares vesting monthly. As of February 24, 2021, the value of vested stock options are the 44/48 months for which I have vested options x the 225,900 option grant. These are valued at the difference between the option strike price and the current 409A Fair Market Value of Asimily's common stock.

2

5

I received a grant of 225,900 options to purchase common stock in June, 2017. As of this filing, I vested 44/48 of this option grant or 207,075 shares. The unvested 18,825 shares has a value of $0 since they have not been earned. The strike price is $.01 and the Board approved 409A Fair Market Value of these options as determined by independent audit is $.21. Unvested stock options expire 12 months after their vesting date if unexercised.

6

1

Vestaboard is a private company focused on digital signage.

6

5

Madison Reed is an organic, safe hair color business aimed at consumers.

6

160

Lending Club is a platform that connects individual lenders and borrowers. My investment is a loan portfolio which Lending Club manages automatically according to risk parameters I set. Returns are interest payments aggregated for the portfolio of loans for the year. I have no knowledge of the individual borrowers.

6

161

Filer is a limited partner in the Disruptive Innovation Fund, a private equity fund comprised of the following assets: Artemis--a software solutions business targeted at insurance & financial services CSA Medical--develops an interventional liquid nitrogen spray cryotherapy Gusto--payroll software for small business BioLite--enables people to power themselves off-grid incl. lighting and camp stoves LeasePilot--scalable digital solution for commercial real estate licensing, InnRoad--property management and hotel reservation system Astoria Solutions--digital technologies to enable workflow management in hazardous environments The EIF category for each underlying asset is N/A. I have no knowledge of each holding's value in the fund.