Professional Documents
Culture Documents
Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge.
/s/ Ross, Wilbur L [electronically signed on 12/19/2016 by Ross, Wilbur L in Integrity.gov]
Agency Ethics Official's Opinion - On the basis of information contained in this report, I conclude that the filer is in compliance with applicable laws and regulations
(subject to any comments below).
/s/ Maggi, David, Certifying Official [electronically signed on 01/15/2017 by Maggi, David in Integrity.gov]
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
See Endnote
Palm Beach,
Florida
Non-Profit
Trustee
1/2010
Present
See Endnote
Social Club
Director
1/2011
Present
See Endnote
Non-Profit
Member of the
Executive
Committee
1/2010
Present
Wilmington,
Delaware
Limited Liability
Company
Chairman/Chief
Strategy Officer
10/1997
Present
Vineland, New
Jersey
Bank
Director
9/2010
Present
Nexeo Solutions
The Woodlands,
Texas
Chemicals/Plasti
cs Distribution
Chairman
3/2014
Present
Miami Lakes,
Florida
Banks
Director
5/2009
3/2014
Troy, Michigan
Bank
Director
4/2010
11/2014
Cayman Islands,
Outside U.S.
Investment
Management
Director
12/2008
Present
10
Hong Kong,
Outside U.S.
Investments
Director
6/2008
Present
11
Palo Alto,
California
Investment
Management
Director
10/2006
Present
12
ArcelorMittal
Luxembourg,
Outside U.S.
Steel
Director
5/2008
Present
13
Assured Guaranty
Bermuda,
Outside U.S.
Insurance
Director
5/2008
11/2014
14
China, Outside
U.S.
Investment
Management
Director
9/2008
Present
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
15
See Endnote
Southfield,
Michigan
Auto parts
Chairman and
Director
1/2006
11/2014
16
See Endnote
Krefeld, Outside
U.S.
Auto parts
Chairman and
Director
1/2006
11/2014
17
See Endnote
Greensboro,
South Carolina
Textiles
Non-Executive
Director
1/2005
11/2014
18
Hong Kong,
Outside U.S.
Investment
Management
Director
6/2008
Present
19
PLASCAR
Brazil, Outside
U.S.
Auto parts
Director
3/2008
1/2014
20
Palo Alto,
California
Investment
Management
Director
10/2006
Present
21
Wilmington,
Delaware
Limited Liability
Company
Director
7/2006
Present
22
Bermuda,
Outside U.S.
Investment
Management
Director
5/2001
Present
23
Ohizumi Manufacturing
Sayama-shi,
Outside U.S.
Air Conditioner
parts
Director
6/2010
4/2015
24
Mauritius,
Outside U.S.
Investment
Management
Director
8/2008
10/2015
25
Limited
Partnership
General Partner
12/2005
Present
26
General Partner
Director/Chairm
an
8/2011
Present
27
Non-Profit
Director/Chairm
an
2/2005
Present
28
See Endnote
Shipping
Management
Chairman
1/2011
Present
29
See Endnote
Non-Profit
Director
1/2007
Present
30
El Vedado LLC
West Palm
Beach, Florida
Limited Liability
Company
Sole Member
12/2005
Present
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
31
Exco Resources
Dallas, Texas
Corporation
Independent
Director
1/2012
Present
32
Sun BanCorp
Mount Laurel,
New Jersey
Bank
Director
9/2009
Present
33
Bank of Cyprus
Strovolos,
Outside U.S.
Bank
Director/Vice
Chairman
11/2014
Present
34
See Endnote
Non-Profit
President
1/2014
Present
35
See Endnote
Paris, Outside
U.S.
Non-Profit
International
Counsel
Member
1/2014
Present
36
See Endnote
Business
Network
International
Advisory Board
Director
1/2010
Present
37
See Endnote
Greenwich,
Connecticut
Shipping
Services
Non-Executive
Chairman
1/2011
Present
38
Dublin, Outside
U.S.
Bank
Director
6/2012
6/2014
39
London,
Outside U.S.
Bank
Director/Chairm
an
1/2013
11/2014
40
Odessa, Texas
Corporation
Director
10/2013
11/2014
41
London,
Outside U.S.
Shipping
Director/Chairm
an
1/2012
11/2014
42
Atlanta, Georgia
Mortgage
Servicing
Director
3/2013
11/2014
43
See Endnote
Yokohama,
Outside U.S.
Auto Parts
Director/Chairm
an
1/2006
11/2014
44
See Endnote
Luxembourg,
Outside U.S.
Auto parts
Non-Executive
Chairman
1/2006
11/2014
45
Wilmington,
Delaware
Corporation
Director
6/2008
11/2014
46
Cambridge,
Massachusetts
Non-Profit
Director
1/2012
1/2015
See Endnote
See Endnote
See Endnote
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
47
Mauritius,
Outside U.S.
Investment
Management
Director
7/2006
Present
48
See Endnote
Palm Beach,
Florida
Trustee
1/2010
Present
49
See Endnote
Washington,
District of
Columbia
Non-Profit
Director/Chairm
an
1/2012
Present
50
DSS Holdings LP
See Endnote
Greenwich,
Connecticut
Shipping
Director/Chairm
an
1/2011
Present
51
Wilmington,
Delaware
Auto parts
Director
5/2007
11/2014
52
Wilmington,
Delaware
Auto parts
Director
10/2010
11/2014
53
Wilmington,
Delaware
Auto parts
Director
5/2007
11/2014
54
Wilmington,
Delaware
Auto parts
Director
2/2010
11/2014
55
Wilmington,
Delaware
Auto parts
Director
5/2007
11/2014
56
Wilmington,
Delaware
Limited Liability
Company
Sole Member
4/2004
Present
57
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
5/2011
Present
58
Palm Beach,
Florida
Non-Profit
Trustee
1/2008
Present
59
Invesco Ltd.
Atlanta, Georgia
Corporation
CEO -- Private
Equity Groups
10/2006
Present
60
Brookings Institution
See Endnote
Washington,
District of
Columbia
Non-Profit
Trustee
1/2013
Present
61
See Endnote
Palm Beach,
Florida
Non-Profit
Director
1/2010
Present
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
62
Brazil, Outside
U.S.
Investments
Director
3/2008
1/2014
63
See Endnote
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
1/2003
Present
64
See Endnote
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
1/2003
Present
65
George Town,
Outside U.S.
Corporation
Director
2/2011
Present
66
George Town,
Outside U.S.
Corporation
Director
2/2011
Present
67
St Helier,
Outside U.S.
Corporation
Director
9/2005
Present
68
Cayman Islands,
Outside U.S.
Corporation
Director
2/2011
Present
69
Cayman Islands,
Outside U.S.
Corporation
Director
7/2006
Present
70
Cayman Islands,
Outside U.S.
Corporation
Director
12/2010
Present
71
Cayman Islands,
Outside U.S.
Corporation
Director
10/2009
Present
72
Cayman Islands,
Outside U.S.
Corporation
Director
11/2007
Present
73
Cayman Islands,
Outside U.S.
Corporation
Director
9/2011
Present
74
Corporation
Director
11/2013
Present
75
Corporation
Director
5/2015
Present
76
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
2/2006
Present
77
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
2/2002
Present
ORGANIZATION NAME
CITY, STATE
ORGANIZATION
TYPE
POSITION HELD
FROM
TO
78
Limited
Partnership
Principal
Partner
11/2013
Present
79
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
1/2013
Present
80
Ross CG GP LLC
Wilmington,
Delaware
Limited Liability
Company
Sole Member
5/2003
Present
81
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
4/2016
Present
82
Wilmington,
Delaware
Limited Liability
Company
Managing
Member
1/2006
Present
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
Invesco
1.1
N/A
Base Salary
$2,000,000
1.2
N/A
Bonus
$2,244,000
1.3
1.3.1
Yes
1.3.2
Yes
$15,001 $50,000
1.3.3
Yes
$15,001 $50,000
1.3.4
Yes
$15,001 $50,000
1.4
N/A
$5,000,001 $25,000,000
See Endnote
No
Dividends
$100,001 $1,000,000
DESCRIPTION
EIF
VALUE
1.5
N/A
$5,000,001 $25,000,000
1.6
N/A
$1,000,001 $5,000,000
ArcelorMittal
N/A
N/A
$250,001 $500,000
BankUnited, Inc.
N/A
$1,001 - $15,000
N/A
$15,001 $50,000
N/A
$100,001 $250,000
N/A
$1,001 - $15,000
N/A
$1,001 - $15,000
El Vedado, LLC
See Endnote
No
9.1
See Endnote
No
10
See Endnote
No
10.1
See Endnote
No
$5,000,001 $25,000,000
10.1.1
See Endnote
N/A
$5,000,001 $25,000,000
10.1.2
No
10.1.2.
1
N/A
10.1.2.
2
N/A
10.1.2.
3
N/A
See Endnote
INCOME TYPE
INCOME
AMOUNT
Director Fee
$107,567
Dividends
Capital Gains
$1,001 - $2,500
Capital Gains
Dividends
$100,001 $1,000,000
None (or less
than $201)
DESCRIPTION
EIF
10.1.2.
4
Cascade Bancorp
N/A
10.1.2.
5
N/A
10.1.3
No
10.1.3.
1
No
10.1.3.
1.1
N/A
10.1.4
No
10.1.4.
1
No
10.1.4.
1.1
N/A
10.1.5
No
10.1.5.
1
No
10.1.5.
1.1
N/A
10.1.6
No
10.1.6.
1
N/A
10.1.7
No
10.1.7.
1
N/A
10.1.8
No
10.1.8.
1
No
10.1.8.
1.1
See Endnote
N/A
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
10.1.9
No
10.1.9.
1
10.1.1
0
No
10.1.1
0.1
No
10.1.1
0.1.1
No
10.1.1
0.1.1.1
N/A
10.1.1
0.1.1.2
N/A
10.1.1
0.1.1.3
N/A
10.1.1
0.1.1.4
N/A
10.1.1
0.1.1.5
N/A
10.1.1
0.1.1.6
N/A
10.1.1
0.1.1.7
N/A
10.1.1
0.1.1.8
N/A
10.1.1
0.1.1.9
N/A
10.1.1
0.1.1.1
0
N/A
10.1.1
1
No
See Endnote
No
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
10.1.1
1.1
See Endnote
No
10.1.1
2
See Endnote
No
10.2
See Endnote
No
10.2.1
No
10.2.1.
1
No
10.2.1.
1.1
No
10.2.1.
1.1.1
N/A
10.2.1.
1.1.2
N/A
10.2.1.
1.1.3
N/A
10.2.1.
1.1.4
N/A
10.2.1.
1.1.5
N/A
10.2.1.
1.1.6
N/A
10.2.1.
1.1.7
N/A
10.2.1.
1.1.8
N/A
10.2.1.
1.1.9
N/A
10.2.1.
1.1.10
N/A
VALUE
$100,001 $250,000
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
10.2.2
See Endnote
N/A
10.3
See Endnote
No
10.3.1
10.3.1.
1
See Endnote
N/A
10.3.2
See Endnote
N/A
10.4
See Endnote
N/A
$500,001 $1,000,000
10.5
No
$5,000,001 $25,000,000
10.5.1
N/A
10.6
10.6.1
No
10.6.1.
1
N/A
10.6.1.
2
No
10.6.1.
2.1
No
10.6.1.
2.1.1
No
10.6.1.
2.1.1.1
See Endnote
No
10.6.1.
2.2
See Endnote
No
10.6.1.
2.3
Capital Gains
$5,001 - $15,000
No
See Endnote
No
No
$500,001 $1,000,000
Capital Gains
Dividends
$100,001 $1,000,000
DESCRIPTION
EIF
10.6.1.
2.3.1
No
10.6.1.
2.3.1.1
See Endnote
No
10.6.1.
2.4
See Endnote
No
10.6.1.
3
N/A
10.6.1.
4
N/A
10.6.1.
5
Energen Corp.
N/A
10.6.1.
6
N/A
10.6.1.
7
N/A
10.6.1.
8
N/A
10.6.1.
9
N/A
10.6.1.
10
N/A
10.6.1.
11
N/A
10.6.1.
12
N/A
10.6.1.
13
N/A
10.6.1.
14
N/A
10.6.1.
15
N/A
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
VALUE
10.6.1.
16
N/A
10.6.2
N/A
10.6.3
N/A
10.6.4
See Endnote
N/A
$500,001 $1,000,000
10.7
See Endnote
No
$1,000,001 $5,000,000
10.7.1
No
10.7.1.
1
N/A
10.7.2
No
10.7.2.
1
N/A
10.7.3
No
10.7.3.
1
No
10.7.3.
1.1
N/A
10.7.4
No
10.7.4.
1
No
10.7.4.
1.1
No
10.7.4.
1.1.1
No
10.7.4.
1.1.1.1
See Endnote
No
10.7.4.
1.1.2
See Endnote
No
INCOME TYPE
INCOME
AMOUNT
$1,000,001 $5,000,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
10.7.5
No
10.7.5.
1
See Endnote
No
10.7.6
See Endnote
N/A
10.7.7
See Endnote
N/A
10.7.8
See Endnote
N/A
10.7.9
No
10.7.9.
1
N/A
10.7.9.
2
N/A
10.7.9.
3
N/A
10.7.9.
4
N/A
10.7.9.
5
N/A
10.7.9.
6
N/A
10.7.9.
7
N/A
10.7.9.
8
N/A
10.7.9.
9
N/A
10.7.9.
10
N/A
10.7.9.
11
N/A
DESCRIPTION
EIF
10.7.9.
12
N/A
10.7.9.
13
N/A
10.7.9.
14
No
10.7.9.
14.1
N/A
10.8
10.8.1
No
10.8.1.
1
N/A
10.8.2
WLR Select Co-Investment XCO AIV, L.P. -Carried Interest (value not readily
ascertainable)
10.9
No
10.9.1
No
10.9.1.
1
No
10.9.1.
1.1
WLR China Energy Infrastructure Fund, L.P. - Carried Interest (value not readily
ascertainable)
10.9.1.
1.2
See Endnote
See Endnote
See Endnote
No
VALUE
INCOME TYPE
INCOME
AMOUNT
$15,001 $50,000
Dividends
Interest
$201 - $1,000
N/A
N/A
No
10.9.1.
1.2.1
N/A
$1,001 - $15,000
10.9.1.
1.2.2
N/A
$1,001 - $15,000
10.9.1.
1.2.3
N/A
$15,001 $50,000
DESCRIPTION
EIF
VALUE
10.9.1.
1.2.4
N/A
$15,001 $50,000
10.9.1.
1.2.5
N/A
$15,001 $50,000
10.9.1.
1.2.6
N/A
$1,001 - $15,000
10.10
No
10.10.
1
10.11
10.11.
1
10.12
10.12.
1
No
10.12.
1.1
No
10.12.
1.1.1
No
10.12.
1.1.1.1
No
10.12.
1.1.1.1
.1
No
10.12.
1.1.1.1
.1.1
N/A
10.12.
1.1.1.2
N/A
10.12.
1.1.1.3
N/A
See Endnote
N/A
$250,001 $500,000
INCOME TYPE
INCOME
AMOUNT
No
See Endnote
N/A
See Endnote
No
$1,001 - $15,000
DESCRIPTION
EIF
10.12.
1.1.1.4
N/A
10.12.
1.1.1.5
N/A
10.12.
1.1.1.6
N/A
10.12.
1.1.1.7
N/A
10.12.
1.1.1.8
N/A
10.12.
1.2
10.12.
1.3
10.12.
1.3.1
10.12.
1.3.2
No
10.12.
1.3.2.1
N/A
10.12.
1.3.2.2
N/A
10.12.
1.3.2.3
N/A
10.12.
1.4
No
10.12.
1.4.1
10.12.
1.5
10.12.
1.6
Invesco Mortgage Recovery Fund II, L.P. -carried interest (value not readily
ascertainable)
See Endnote
VALUE
INCOME TYPE
INCOME
AMOUNT
No
No
See Endnote
See Endnote
No
No
No
See Endnote
N/A
DESCRIPTION
EIF
10.12.
1.7
Invesco Mortgage Recovery Fund II CoInvest ITAL, L.P. -- carried interest (value not
readily ascertainable)
10.13
10.13.
1
See Endnote
N/A
10.14
See Endnote
No
10.14.
1
No
10.14.
1.1
N/A
10.14.
1.2
N/A
10.14.
1.3
N/A
10.14.
1.4
N/A
10.15
10.15.
1
10.15.
1.1
See Endnote
No
10.15.
1.2
See Endnote
No
10.15.
1.3
N/A
10.15.
1.4
N/A
See Endnote
VALUE
INCOME TYPE
N/A
INCOME
AMOUNT
None (or less
than $201)
No
See Endnote
No
No
$1,000,001 $5,000,000
Dividends
Capital Gains
Interest
$100,001 $1,000,000
DESCRIPTION
10.16
11
11.1
See Endnote
No
11.1.1
See Endnote
N/A
12
See Endnote
No
12.1
No
12.1.1
No
12.1.1.
1
No
12.1.1.
1.1
No
12.1.1.
1.1.1
12.1.2
No
12.1.2.
1
No
12.1.2.
1.1
12.1.3
No
12.1.3.
1
No
12.1.3.
1.1
See Endnote
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
No
$50,001 $100,000
Dividends
Interest
Capital Gains
$1,001 - $2,500
No
See Endnote
See Endnote
See Endnote
N/A
N/A
N/A
Dividends
Capital Gains
Interest
$100,001 $1,000,000
DESCRIPTION
EIF
12.1.4
No
12.1.4.
1
12.1.5
12.1.5.
1
See Endnote
N/A
12.1.6
See Endnote
N/A
12.1.7
No
12.1.7.
1
No
12.1.7.
1.1
12.1.8
No
12.1.8.
1
No
12.1.8.
1.1
12.1.9
12.1.9.
1
See Endnote
No
12.1.1
0
See Endnote
No
12.2
No
12.2.1
No
12.2.1.
1
No
See Endnote
N/A
No
See Endnote
See Endnote
No
No
No
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
12.2.1.
1.1
12.3
No
12.3.1
No
12.3.1.
1
12.4
No
12.4.1
No
12.4.1.
1
12.5
No
12.5.1
No
12.5.1.
1
12.6
No
12.6.1
N/A
12.6.2
N/A
12.6.3
N/A
12.6.4
N/A
12.6.5
N/A
12.6.6
N/A
12.6.7
N/A
See Endnote
See Endnote
See Endnote
See Endnote
N/A
N/A
No
No
VALUE
INCOME TYPE
INCOME
AMOUNT
DESCRIPTION
EIF
VALUE
12.6.8
N/A
12.6.9
N/A
12.7
No
12.7.1
See Endnote
No
12.8
See Endnote
N/A
$1,000,001 $5,000,000
13
Starboard GP Ltd.
See Endnote
No
$50,001 $100,000
13.1
No
13.1.1
No
13.1.1.
1
See Endnote
No
13.2
See Endnote
N/A
14
IRA - Traditional
No
14.1
No
14.1.1
No
14.1.1.
1
N/A
14.1.1.
2
N/A
14.1.1.
3
N/A
14.1.1.
4
N/A
INCOME TYPE
INCOME
AMOUNT
$50,001 $100,000
$250,001 $500,000
Dividends
$100,001 $1,000,000
DESCRIPTION
EIF
14.1.1.
5
N/A
14.1.1.
6
N/A
14.2
No
14.2.1
No
14.2.1.
1
N/A
14.2.1.
2
N/A
14.2.1.
3
N/A
14.2.1.
4
N/A
14.3
14.4
See Endnote
VALUE
INCOME TYPE
INCOME
AMOUNT
$500,001 $1,000,000
Dividends
$5,001 - $15,000
No
$50,001 $100,000
N/A
$100,001 $250,000
14.5
No
$50,001 $100,000
14.5.1
14.6
N/A
$500,001 $1,000,000
15
IRA - Roth
No
15.1
Aperam NY Reg.
N/A
$100,001 $250,000
15.2
ArcelorMittal SA NY Reg.
N/A
$250,001 $500,000
15.3
N/A
$100,001 $250,000
See Endnote
No
Interest
Dividends
$5,001 - $15,000
DESCRIPTION
EIF
VALUE
15.4
N/A
$1,000,001 $5,000,000
16
No
$100,001 $250,000
16.1
16.1.1
16.1.2
No
16.1.2.
1
No
16.1.2.
1.1
N/A
17
Ross CG GP LLC
No
17.1
Ross CG Associates, LP
No
17.1.1
No
17.1.1.
1
No
17.1.1.
1.1
No
17.1.1.
1.1.1
N/A
17.1.1.
1.1.2
N/A
17.1.1.
1.1.3
N/A
17.1.1.
1.1.4
N/A
17.1.1.
1.1.5
N/A
See Endnote
INCOME TYPE
INCOME
AMOUNT
Dividends
$201 - $1,000
No
See Endnote
N/A
$1,000,001 $5,000,000
Capital Gains
Dividends
Over $5,000,000
DESCRIPTION
EIF
17.1.1.
1.1.6
N/A
17.1.1.
1.1.7
N/A
17.1.1.
1.1.8
N/A
17.1.1.
1.1.9
N/A
17.1.1.
1.1.10
N/A
17.1.1.
1.1.11
N/A
17.1.1.
2
No
17.1.1.
2.1
17.1.1.
3
17.1.1.
3.1
See Endnote
No
17.1.1.
4
See Endnote
No
17.2
See Endnote
N/A
$1,000,001 $5,000,000
17.3
See Endnote
No
$50,001 $100,000
17.3.1
See Endnote
N/A
17.3.2
See Endnote
N/A
17.4
17.4.1
See Endnote
VALUE
INCOME TYPE
INCOME
AMOUNT
No
No
$15,001 $50,000
$100,001 $250,000
$100,001 $250,000
No
See Endnote
N/A
DESCRIPTION
EIF
18
WL Ross GP LLC
No
18.1
18.2
No
18.2.1
No
18.2.1.
1
N/A
19
No
19.1
See Endnote
No
19.1.1
See Endnote
No
19.2
See Endnote
20
20.1
21
21.1
See Endnote
21.2
See Endnote
21.2.1
No
21.2.1.
1
No
21.2.1.
1.1
See Endnote
N/A
21.2.1.
1.2
Euro Wagon, LP
See Endnote
N/A
See Endnote
See Endnote
N/A
VALUE
INCOME TYPE
INCOME
AMOUNT
$1,000,001 $5,000,000
$1,001 - $15,000
$1,000,001 $5,000,000
N/A
$1,000,001 $5,000,000
No
$5,000,001 $25,000,000
N/A
$5,000,001 $25,000,000
N/A
$100,001 $250,000
No
No
DESCRIPTION
EIF
21.2.1.
1.3
22
NKK Corporation
23
24
24.1
24.1.1
24.1.1.
1
See Endnote
No
24.1.2
WLR Select Co-Investment, L.P. (Cayman) -Carried Interest (value not readily
ascertainable)
See Endnote
N/A
24.1.3
24.1.3.
1
See Endnote
No
24.1.3.
2
See Endnote
No
24.1.4
24.1.4.
1
WLR IV VM II LLC
24.1.4.
2
N/A
24.1.4.
3
N/A
24.1.4.
4
N/A
See Endnote
See Endnote
VALUE
INCOME TYPE
INCOME
AMOUNT
N/A
Honorarium
from speech in
March 2016.
Donated to The
Japan Society.
$1,000
N/A
Distributions
from plan.
$2,062
N/A
No
See Endnote
No
No
No
No
See Endnote
No
DESCRIPTION
EIF
24.2
No
24.2.1
See Endnote
No
25
See Endnote
No
25.1
Masters Capital Nanotechnology Fund, LP. -Carried Interest (not readily ascertainable)
See Endnote
N/A
25.2
No
25.2.1
No
25.2.1.
1
N/A
25.2.1.
2
Nanosys, Inc.
N/A
26
No
26.1
See Endnote
VALUE
INCOME TYPE
$1,001 - $15,000
INCOME
AMOUNT
$500,001 $1,000,000
No
EMPLOYER OR PARTY
CITY, STATE
DATE
Invesco, Ltd.
Atlanta, Georgia
2/2013
EMPLOYER OR PARTY
CITY, STATE
DATE
3/2002
8/2005
11/2007
Dallas, Texas
12/2015
2/2011
Starboard GP Ltd.
10/2013
EMPLOYER OR PARTY
CITY, STATE
DATE
12/2010
10/2009
10
5/2015
11
2/2006
12
4/2005
13
2/2008
EMPLOYER OR PARTY
CITY, STATE
DATE
14
1/2010
15
/1976
16
Ross CG Associates, LP
3/2005
17
4/2008
18
8/2007
19
12/2005
See Endnote
EMPLOYER OR PARTY
CITY, STATE
DATE
20
1/2006
21
10/1997
22
, Outside U.S.
11/2011
23
, Outside U.S.
2/2011
24
, Outside U.S.
12/2010
25
, Outside U.S.
8/2011
26
Invesco, Ltd.
Atlanta, Georgia
10/2006
27
Invesco Ltd.
Atlanta, Georgia
10/2006
EMPLOYER OR PARTY
CITY, STATE
DATE
28
4/2016
29
, Outside U.S.
WL Ross Group LP is an investor in WLR Master CoInvestment SLP Associates, L.P. (Cayman), which is
the general partner of WLR/GS Master Co-Investment
L.P. (Cayman). The GP is entitled to a carried interest.
After investors recoup their principal plus an 8%
return, the General Partner receives 2% as a carried
interest. Any profit above that is divided 80% to
investors, 20% to the General Partner.
4/2011
SOURCE NAME
CITY, STATE
Invesco, Ltd.
Atlanta, Georgia
CEO of Private Equity Groups division with company. Receives his salary
and bonus from Invesco Group Services.
ArcelorMittal
Luxembourg,
Outside U.S.
DESCRIPTION
EIF
See Endnote
VALUE
N/A
Yes
Over $1,000,000
INCOME TYPE
INCOME
AMOUNT
Rent or
Royalties
$1,001 - $2,500
None (or less
than $201)
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
Amphenol Corp CL A
N/A
$250,001 $500,000
Dividends
$2,501 - $5,000
N/A
$15,001 $50,000
Boeing Co.
N/A
$250,001 $500,000
Dividends
$5,001 - $15,000
N/A
$250,001 $500,000
Dividends
$2,501 - $5,000
N/A
$250,001 $500,000
Dividends
$5,001 - $15,000
Moodys Corp
N/A
$250,001 $500,000
Dividends
$5,001 - $15,000
N/A
$250,001 $500,000
Dividends
$2,501 - $5,000
10
Neustar Inc. CL A
N/A
$100,001 $250,000
11
N/A
$250,001 $500,000
12
N/A
$250,001 $500,000
13
N/A
$250,001 $500,000
14
N/A
$250,001 $500,000
Dividends
$1,001 - $2,500
15
N/A
$250,001 $500,000
Dividends
$15,001 $50,000
16
N/A
$100,001 $250,000
Dividends
$5,001 - $15,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
1.1
Cash
N/A
Over
$50,000,000
Interest
$5,001 - $15,000
1.2
N/A
$100,001 $250,000
1.3
N/A
$5,000,001 $25,000,000
Interest
Capital Gains
$100,001 $1,000,000
1.4
N/A
$5,000,001 $25,000,000
Interest
Capital Gains
$100,001 $1,000,000
1.5
N/A
$5,000,001 $25,000,000
Capital Gains
Interest
$100,001 $1,000,000
1.6
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.7
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.8
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.9
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.10
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.11
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.12
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.13
N/A
Capital Gains
Interest
$100,001 $1,000,000
1.14
N/A
Capital Gains
Interest
$100,001 $1,000,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
1.15
N/A
Capital Gains
Interest
$50,001 $100,000
2.1
Cash account 1
N/A
$250,001 $500,000
Interest
$201 - $1,000
2.2
Cash account 2
N/A
Over
$50,000,000
Interest
$15,001 $50,000
2.3
Yes
2.4
N/A
Capital Gains
Interest
$100,001 $1,000,000
2.5
N/A
Capital Gains
Interest
$50,001 $100,000
2.6
N/A
Capital Gains
Interest
$100,001 $1,000,000
2.7
N/A
Capital Gains
Interest
$50,001 $100,000
2.8
N/A
Capital Gains
Interest
$50,001 $100,000
2.9
N/A
Capital Gains
Interest
$50,001 $100,000
2.10
N/A
Capital Gains
Interest
$100,001 $1,000,000
2.11
N/A
Capital Gains
Interest
$100,001 $1,000,000
2.12
Yes
3.1
N/A
$5,000,001 $25,000,000
$201 - $1,000
Interest
$100,001 $1,000,000
DESCRIPTION
EIF
VALUE
3.2
Cash
N/A
$5,000,001 $25,000,000
4.1
N/A
Capital Gains
Interest
$1,000,001 $5,000,000
4.2
N/A
Capital Gains
Interest
$1,000,001 $5,000,000
4.3
N/A
Capital Gains
Interest
$100,001 $1,000,000
N/A
$100,001 $250,000
Interest
$201 - $1,000
N/A
$1,000,001 $5,000,000
N/A
$500,001 $1,000,000
N/A
$50,001 $100,000
N/A
$1,000,001 $5,000,000
Interest
$15,001 $50,000
10
N/A
Interest
Dividends
$1,001 - $2,500
11
11.1
N/A
$500,001 $1,000,000
Dividends
Capital Gains
$5,001 - $15,000
11.2
Yes
$15,001 $50,000
12
Arcelor Mittal SA
N/A
$500,001 $1,000,000
13
N/A
$25,000,001 $50,000,000
See Endnote
See Endnote
INCOME TYPE
INCOME
AMOUNT
None (or less
than $201)
$2,501 - $5,000
None (or less
than $201)
$50,001 $100,000
None (or less
than $201)
DESCRIPTION
EIF
VALUE
INCOME TYPE
14
Art Collection
N/A
Over
$50,000,000
15
15.1
N/A
$100,001 $250,000
15.2
Yes
$250,001 $500,000
$201 - $1,000
15.3
Yes
$1,001 - $2,500
16
N/A
$100,001 $250,000
17
N/A
$250,001 $500,000
18
YG Partners Fund, LP
Yes
$1,000,001 $5,000,000
19
Yes
$50,001 $100,000
20
Yes
$500,001 $1,000,000
21
Yes
$50,001 $100,000
22
See Endnote
No
$100,001 $250,000
Dividends
$5,001 - $15,000
23
See Endnote
No
$100,001 $250,000
Interest
$100,001 $1,000,000
24
24.1
24.1.1
Yes
$50,001 $100,000
24.1.2
Amphenol Copr CL A
N/A
$100,001 $250,000
Dividends
INCOME
AMOUNT
$15,001 $50,000
$1,001 - $2,500
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
24.1.3
Boeing Co.
N/A
$100,001 $250,000
Dividends
$15,001 $50,000
24.1.4
N/A
$250,001 $500,000
Dividends
$1,001 - $2,500
24.1.5
N/A
$100,001 $250,000
Dividends
$2,501 - $5,000
24.1.6
N/A
$100,001 $250,000
Dividends
$1,001 - $2,500
24.1.7
Neustar Inc. CL A
N/A
$100,001 $250,000
24.1.8
N/A
$50,001 $100,000
24.1.9
N/A
$100,001 $250,000
24.1.1
0
N/A
$100,001 $250,000
24.1.1
1
N/A
$100,001 $250,000
24.1.1
2
Yes
Over $1,000,000
$15,001 $50,000
24.2
24.2.1
Yes
$250,001 $500,000
24.2.2
Boeing Co.
N/A
$250,001 $500,000
Dividends
$5,001 - $15,000
24.2.3
N/A
$250,001 $500,000
Dividends
$15,001 $50,000
24.2.4
N/A
$500,001 $1,000,000
Dividends
$5,001 - $15,000
24.2.5
N/A
$100,001 $250,000
Dividends
$5,001 - $15,000
Dividends
$1,001 - $2,500
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
24.2.6
Moodys Corp
N/A
$250,001 $500,000
Dividends
$5,001 - $15,000
24.2.7
N/A
$100,001 $250,000
Dividends
$2,501 - $5,000
24.2.8
Neustar Inc CL A
N/A
$250,001 $500,000
24.2.9
N/A
$250,001 $500,000
24.2.1
0
N/A
$250,001 $500,000
24.2.1
1
N/A
$250,001 $500,000
24.2.1
2
N/A
$250,001 $500,000
24.2.1
3
Yes
Over $1,000,000
$15,001 $50,000
24.3
24.3.1
N/A
$100,001 $250,000
24.3.2
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.3
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.4
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.5
N/A
$250,001 $500,000
Interest
$5,001 - $15,000
24.3.6
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
24.3.7
N/A
$250,001 $500,000
Interest
$5,001 - $15,000
Dividends
$2,501 - $5,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
24.3.8
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
24.3.9
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
0
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
24.3.1
1
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
2
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
3
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
24.3.1
4
N/A
$100,001 $250,000
Interest
$15,001 $50,000
24.3.1
5
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
6
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
7
N/A
$250,001 $500,000
Interest
$5,001 - $15,000
24.3.1
8
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.1
9
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.2
0
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.2
1
N/A
$250,001 $500,000
Interest
$5,001 - $15,000
24.3.2
2
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.2
3
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
24.3.2
4
N/A
$100,001 $250,000
Interest
$201 - $1,000
24.3.2
5
N/A
$250,001 $500,000
Interest
$15,001 $50,000
24.3.2
6
N/A
$250,001 $500,000
Interest
$5,001 - $15,000
25
Yes
$250,001 $500,000
26
Amphenol Copr CL A
N/A
Over $1,000,000
Dividends
$15,001 $50,000
27
Apple Inc.
N/A
$500,001 $1,000,000
Dividends
$15,001 $50,000
28
N/A
$100,001 $250,000
29
Boeing Co.
N/A
Over $1,000,000
Dividends
$50,001 $100,000
30
N/A
Over $1,000,000
Dividends
$15,001 $50,000
31
N/A
Over $1,000,000
Dividends
$100,001 $1,000,000
32
Moodys Corp
N/A
Over $1,000,000
Dividends
$50,001 $100,000
33
N/A
$500,001 $1,000,000
Dividends
$15,001 $50,000
34
Neustar Inc CL A
N/A
$500,001 $1,000,000
35
N/A
Over $1,000,000
36
N/A
Over $1,000,000
37
N/A
Over $1,000,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
38
N/A
Over $1,000,000
Dividends
$15,001 $50,000
39
N/A
$500,001 $1,000,000
Interest
$15,001 $50,000
40
N/A
$250,001 $500,000
Interest
$15,001 $50,000
41
N/A
$100,001 $250,000
Interest
$15,001 $50,000
42
N/A
$100,001 $250,000
Interest
$15,001 $50,000
43
N/A
$250,001 $500,000
Interest
$15,001 $50,000
44
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
45
N/A
$100,001 $250,000
Interest
$15,001 $50,000
46
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
47
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
48
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
49
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
50
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
51
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
52
N/A
$100,001 $250,000
Interest
$5,001 - $15,000
53
N/A
$250,001 $500,000
Interest
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
54
N/A
Dividends
Capital Gains
55
N/A
Dividends
Capital Gains
$100,001 $1,000,000
56
N/A
Capital Gains
Interest
$15,001 $50,000
57
N/A
Capital Gains
Interest
$5,001 - $15,000
58
N/A
Capital Gains
Interest
$5,001 - $15,000
59
N/A
Interest
Capital Gains
$15,001 $50,000
60
N/A
Capital Gains
Interest
$5,001 - $15,000
61
N/A
Capital Gains
Interest
$15,001 $50,000
62
N/A
Capital Gains
Interest
$5,001 - $15,000
63
N/A
Capital Gains
Interest
$5,001 - $15,000
64
Yes
$15,001 $50,000
65
No
$1,000,001 $5,000,000
65.1
No
65.1.1
N/A
65.1.2
N/A
65.1.3
N/A
65.1.4
N/A
See Endnote
$100,001 $1,000,000
DESCRIPTION
EIF
VALUE
INCOME TYPE
INCOME
AMOUNT
65.1.5
N/A
65.1.6
N/A
65.1.7
N/A
66
No
66.1
N/A
$100,001 $250,000
66.2
N/A
Over
$50,000,000
Interest
$1,001 - $2,500
7. Transactions
(N/A) - Not required for this type of report
8. Liabilities
#
CREDITOR NAME
TYPE
AMOUNT
YEAR
INCURRED
RATE
TERM
JP Morgan
Guarantee of
Loan to Social
Club
$500,001 $1,000,000
2016
N/A
2-Year Fixed
Term
Capital
Commitment
$15,001 $50,000
2014
N/A
Life of fund
Capital
Commitment
$15,001 $50,000
2016
N/A
Life of fund
Capital
commitment
$1,000,001 $5,000,000
2006
N/A
Life of fund
Starboard GP LTD
Capital
Commitment
$10,001 $15,000
2013
N/A
Life of fund
Capital
Commitment
$1,000,001 $5,000,000
2013
N/A
Life of fund
CREDITOR NAME
TYPE
AMOUNT
YEAR
INCURRED
RATE
TERM
Capital
Commitment
$500,001 $1,000,000
2013
N/A
Life of fund
Capital
Commitment
$100,001 $250,000
2015
N/A
Life of fund
WLR Nanotechnology
Capital
Commitment
$500,001 $1,000,000
2007
N/A
Life of fund
10
Capital
Commitment
$5,000,001 $25,000,000
2007
N/A
Life of fund
11
Capital
Commitment
$1,000,001 $5,000,000
2010
N/A
Life of fund
12
Capital
Commitment
$250,001 $500,000
2009
N/A
Life of fund
13
Capital
Commitment
$250,001 $500,000
2016
N/A
Life of fund
Endnotes
PART
ENDNOTE
1.
1.
1.
1.
15
1.
16
1.
17
PART
ENDNOTE
1.
28
1.
29
1.
31
1.
34
1.
35
1.
36
1.
37
1.
41
1.
43
1.
44
1.
46
The listed start date and end date are approximate and are based on a good-faith estimate.
1.
48
1.
49
1.
50
1.
60
1.
61
1.
63
1.
64
2.
1.3
2.
1.5
Pursuant to written Invesco policy and procedures, and subject to a cap based on his existing holdings,
upon Mr. Ross termination of employment, Invesco Ltd.s Compensation Committee may determine to
award him outstanding equity compensation that he would have otherwise received had he remained
employed with WL Ross & Co. LLC with respect to previously issued shares of restricted stock that
remain subject to restrictions under the applicable Invesco Ltd. plan.
2.
Value and income are fully attributable to interests in W.L. Ross Group, L.P.
2.
9.1
2.
10
PART
ENDNOTE
2.
10.1
The value represents the capital account, and includes no carried interest.
2.
10.1.1
This represents WLR Recovery Associates IV LLC's carried interest in WLR Recovery Fund IV, L.P.
2.
10.1.8.1.1
2.
10.1.9.1
2.
10.1.11.1
2.
10.1.12
2.
10.2
2.
10.2.2
Represents the carried interest held by WLR Mezzanine Associates LLC in WLR Cardinal Mezzanine
Fund L.P. The current carried interest is zero.
2.
10.3
2.
10.3.1.1
2.
10.3.2
2.
10.4
2.
10.6
2.
10.6.1.2.1.1.1
This entity owns subsidiaries which each own individual transoceanic tanker ships. There are 25
individual LLCs that own the ships: NCM Holding I LLC; NCM Holding II LLC; WLR/TRF KZ Holding I LLC;
WLR/TRF KZ Holding II LLC; WLR/TRF KZ Holding III LLC; WLR/TRF Holding III LLC; WLR/TRF Maemi LLC;
NT Suez Holdco LLC; NT Suez GP LLC; NT Suez One LLC; NT Suez Two LLC; WLR/TRF Tanker Two LLC;
WLR/TRF HMN8 Holdings I LLC; WLR/TRF HMN8 Holdings II LLC; WLR/TRF HMN8 Holdings III LLC;
WLR/TRF HMN8 Holdings IV LLC; WLR/TRF HMN8 Holdings V LLC; WLR/TRF HMN8 Holdings VI LLC;
TRF/Solus JV LLC; TRF/Solus GP LLC; HAN VLCC 1 LLC; HAN VLCC II LLC; SWS VLCC JV LLC; SWS VLCC
GPLLC; SWS VLCC LLC.
2.
10.6.1.2.2
2.
10.6.1.2.3.1.1
This entity owns Norwegian subsidiaries which each own individual transoceanic tanker ships. There
are 7 individual entities: Awilco Eco Tankers 1 AS; Awilco Eco Tankers 2 AS; Awilco Eco Tankers 3 AS;
Awilco Eco Tankers 4 AS; Hassel Shipping 4 AS; Songa Chemical AS; Atlantic Supramax DIS.
2.
10.6.1.2.4
2.
10.6.4
2.
10.7
2.
10.7.4.1.1.1.1
PART
ENDNOTE
2.
10.7.4.1.1.2
2.
10.7.5.1
2.
10.7.6
Represents the carried interest held by WLR Recovery Associates V LLC in WLR Recovery Fund V, L.P.
The carried interest is currently zero.
2.
10.7.7
Represents the carried interest held by WLR Recovery Associates V LLC in this fund. The carried
interest is currently zero.
2.
10.7.8
Represents the carried interest held by WLR Recovery Associates V LLC in this fund. The carried
interest is currently zero.
2.
10.8
2.
10.8.2
This represents the carried interest held by WLR Select Associates LLC in WLR Select Co-Investment
XCO AIV, L.P. The current carried interest is zero.
2.
10.9.1.1.1
This represents the carried interest held by WLR China Energy Associates, Ltd. in WLR China Energy
Infrastructure Fund, L.P. The carried interest is currently zero.
2.
10.10.1
Represents the carried interest held by WLR Recovery Associates II, LLC in WLR Recovery Fund II, L.P.
2.
10.11.1
Represents the carried interest held by WLR Recovery Associates III, LLC in the fund. The current
carried interest is zero.
2.
10.12
Value reflect share of Net Asset Value of WLR IMRF II Associates, LLC holding in Invesco Mortgage
Recovery Master Associates II LLC.
2.
10.12.1.2
2.
10.12.1.3.1
2.
10.12.1.4.1
2.
10.12.1.6
Represents the carried interest held by Invesco Mortgage Recovery Master Associates II LLC in Invesco
Mortgage Recovery Fund II, L.P. There is no accrued carried interest.
2.
10.12.1.7
Represents the carried interest held by Invesco Mortgage Recovery Master Associates II LLC in Invesco
Mortgage Recovery Fund II Co-Invest ITAL, L.P. There is no accrued carried interest.
2.
10.13.1
This represents the carried interest held by WLR Master Co-Investment SLP Associates, L.P. (Cayman) in
WLR/GS Master Co-Investment L.P. (Cayman). The current carried interest is zero.
2.
10.14
2.
10.15
Value and income reflect combined value and income of 10.15 and 11.1
2.
10.15.1.1
PART
ENDNOTE
2.
10.15.1.2
2.
10.16
Underlying assets disclosed below at 24.1. Value and income reflect the value and income of 10.16 and
24.1.
2.
11.1
Underlying assets previously disclosed at 10.15. Value and income is reflected in 10.15
2.
11.1.1
This represents the carried interest held by WLR Recovery Associates V DSS AIV, L.P. in the fund. The
carried interest is currently zero.
2.
12
2.
12.1.1.1.1.1
2.
12.1.2.1.1
2.
12.1.3.1.1
2.
12.1.4.1
2.
12.1.5.1
2.
12.1.6
2.
12.1.7.1.1
2.
12.1.8.1.1
2.
12.1.9.1
2.
12.1.10
2.
12.2.1.1.1
2.
12.3.1.1
2.
12.4.1.1
2.
12.5.1.1
2.
12.7.1
2.
12.8
Value reflects aggregated carried interests of General Partner in all funds disclosed within 12.1 to 12.7,
including underlying funds.
2.
13
2.
13.1.1.1
PART
ENDNOTE
2.
13.2
This represents the carried interest held by Starboard GP Ltd. in the Transportation Recovery Fund.
The carried interest is currently zero.
2.
14.3
2.
14.5.1
2.
16
2.
16.1.1
Reflects carried interest held by India Asset Recovery GP Ltd. in India Asset Recovery Fund, L.P. The
carried interest is currently zero.
2.
17.1.1.2.1
2.
17.1.1.3.1
2.
17.1.1.4
2.
17.2
2.
17.3
2.
17.3.1
2.
17.3.2
Represents carried interest of Ross CG Cypress Associates, LLC in Ross CG Cypress Associates, LP.
2.
17.4.1
2.
18.1
Represents the carried interest of WL Ross GP LLC in Asia Recovery Associates L.P. The value is the
accrued carry balance.
2.
19.1
2.
19.1.1
2.
19.2
Represents the carried interest of WLR Recovery Associates IV DSS AIV, L.P. in WLR Recovery Fund IV
DSS AIV, L.P.
2.
20.1
2.
21.1
Represents the accrued carried interest of Ross Expansion GP, LLC in Ross Expansion FLP, LP. The fund
no longer holds any underlying assets.
2.
21.2
2.
21.2.1.1.1
2.
21.2.1.1.2
PART
ENDNOTE
2.
21.2.1.1.3
2.
23
Underlying assets are unavailable. The filer will divest the plan if confirmed via an irrevocable
assignment of rights to a public charity.
2.
24.1
2.
24.1.1.1
2.
24.1.2
This represents the carried interest held by WLR Select Associates DSS, L.P. in WLR Select CoInvestment, L.P. The current carried interest is zero.
2.
24.1.3.1
2.
24.1.3.2
2.
24.1.4.1
2.
24.2.1
2.
25
2.
25.1
Represents the carried interest of WLR Nanotechnology GP LLC in Masters Capital Nanotechnology
Fund, L.P. The current carried interest is zero.
2.
26.1
3.
15
5.
6.
6.
10
6.
22
Holdings previously disclosed in Part 2 line 10.11. Value is reflected of combined holdings of filer and
spouse.
6.
23
Assets previously disclosed at Part 2 line 10.10. Value is reflected of combined holdings of filer and
spouse.
6.
65
Value is based on 2014 K-1. A 2015 K-1 was not available. Income is through 12/31/15.
Summary of Contents
1. Filer's Positions Held Outside United States Government
Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable
even if the filer did not receive compensation.
This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions
held as part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited
partner or non-managing member of a limited liability company.
2. Filer's Employment Assets & Income and Retirement Accounts
Part 2 discloses the following:
Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share,
honoraria, scholarships, and prizes)
Assets related to the filer's business, employment, or other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2)
produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their
underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)
This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
3. Filer's Employment Agreements and Arrangements
Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States
Government), such as the following:
Future employment
Leave of absence
Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer)
Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan
Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of
a company's profits, etc.)
The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source
made its payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services
for which the client is paying.
5. Spouse's Employment Assets & Income and Retirement Accounts
Part 5 discloses the following:
Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and
partnership share)
Sources of honoraria for the filer's spouse greater than $200 during the reporting period
Assets related to the filer's spouse's employment, business activities, other income-generating activities that (1) ended the reporting period with a value greater
than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts
and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)
This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding
honoraria).
6. Other Assets and Income
Part 6 discloses each asset, not already reported, that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in investment
income during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and
dependent children.
This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement
benefits associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a
single financial institution with a value of $5,000 or less (unless more than $200 of income was produced). Additional exceptions apply. Note: The type of income is not
required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).
7. Transactions
Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during
reporting period.
This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money
market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional
exceptions apply.
8. Liabilities
Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period.
This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans
secured by a personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as
credit card balances, if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply.
9. Gifts and Travel Reimbursements
This section discloses:
Gifts totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.
Travel reimbursements totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.
For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $150 or less. Regardless of the value, this section does not
include the following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or
local governments; (3) bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel;
(5) gifts of hospitality (food, lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children
totally independent of their relationship to the filer. Additional exceptions apply.