Public Financial Disclosure Report (OGE Form 278e)

Transcription

1 Annual Report 208 U.S. Office of Government Ethics; 5 C.F.R. part 2634 Form Approved: OMB No. ( ) (January 208) Executive Branch Personnel Public Financial Disclosure Report (OGE Form 278e) Filer's Information Ross, Wilbur L Secretary of Commerce, Department of Commerce Report Year: 208 Other Federal Government Positions Held During the Preceding 2 Months: None 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 08/3/208 by Ross, Wilbur L in Integrity.gov] - Filer received a 90 day filing extension. 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 09/2/208 by Maggi, David in Integrity.gov] Other review conducted by U.S. Office of Government Ethics Certification Ross, Wilbur L - Page

2 Data Revised 09/2/208 Data Revised 09//208 Data Revised 09/0/208 Ross, Wilbur L - Page 2

3 . Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO Palm Beach Preservation Foundation See Endnote Palm Beach, Florida Non-Profit Trustee /200 2/207 2 Harvard Business School Club of New York See Endnote New York, New York Social Club Director /20 2/207 3 The Partnership for New York City See Endnote New York, New York Non-Profit Member of the Executive Committee /200 2/207 4 WL Ross and Co. LLC Wilmington, Delaware Limited Liability Company Chairman/Chief Strategy Officer 0/997 2/207 5 Sun National Bank Vineland, New Jersey Bank Director 9/200 2/207 6 Nexeo Solutions The Woodlands, Texas Chemicals/Plasti cs Distribution Chairman 3/204 2/207 7 WLR China Energy Associates, Ltd. Cayman Islands, Outside U.S. Investment Management Director 2/2008 2/207 8 INVESCO WLR Private Equity Investment Management, Ltd. Hong Kong, Outside U.S. Investments Director 6/2008 2/207 9 Invesco Private Capital, Inc. Palo Alto, California Investment Management Director 0/2006 2/207 0 ArcelorMittal Luxembourg, Outside U.S. Steel Director 5/2008 2/207 Huaneng Invesco WLR Investment Consulting Company Ltd. China, Outside U.S. Investment Management Director 9/2008 2/207 2 Invesco WLR Limited Hong Kong, Outside U.S. Investment Management Director 6/2008 2/207 3 Invesco Private Capital Investments, Inc. Palo Alto, California Investment Management Director 0/2006 2/207 Ross, Wilbur L - Page 3

4 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 4 WL Ross & Co. (India) LLC Wilmington, Delaware Limited Liability Company Director 7/2006 2/207 5 Absolute Recovery Hedge Fund, Ltd.; Absolute Recovery Master Fund Ltd. Bermuda, Outside U.S. Investment Management Director 5/200 2/207 6 Ross Expansion FLP, LP New York, New York Limited Partnership General Partner 2/2005 2/207 7 WLR Master Co-Investment SLP GP, Ltd. New York, New York General Partner Director/Chairm an 8/20 2/207 8 The Japan Society, Inc. New York, New York Non-Profit Director/Chairm an 2/2005 2/207 9 Diamond S Shipping LLC See Endnote New York, New York Shipping Management Chairman /20 2/ Briarcliff Condominium Apartment Building See Endnote New York, New York Non-Profit Director /2007 2/207 2 El Vedado LLC West Palm Beach, Florida Limited Liability Company Sole Member 2/2005 Present 22 Exco Resources See Endnote Dallas, Texas Corporation Independent Director /202 2/ Sun BanCorp Mount Laurel, New Jersey Bank Director 9/2009 2/ Bank of Cyprus Strovolos, Outside U.S. Bank Director/Vice Chairman /204 2/ American Friends of the Rene Magritte Museum See Endnote New York, New York Non-Profit President /204 2/ Musee des Arts Decoratifs See Endnote Paris, Outside U.S. Non-Profit International Counsel Member /204 2/ British American Business, Inc. See Endnote New York, New York Business Network International Advisory Board Director /200 2/207 Ross, Wilbur L - Page 4

5 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 28 Diamond S Shipping Group, Inc. See Endnote Greenwich, Connecticut Shipping Services Non-Executive Chairman /20 2/ India Asset Recovery Fund Limited Mauritius, Outside U.S. Investment Management Director 7/2006 2/ Palm Beach Retirement Funds See Endnote Palm Beach, Florida Pension Plan for public Servants Trustee /200 2/207 3 Brookings Economic Studies Council See Endnote Washington, District of Columbia Non-Profit Director/Chairm an /202 2/ DSS Holdings LP See Endnote Greenwich, Connecticut Shipping Director/Chairm an /20 2/ Ross Expansion GP LLC Wilmington, Delaware Limited Liability Company Sole Member 4/2004 2/ Absolute Recovery Capital Partners, LLC Wilmington, Delaware Limited Liability Company Managing Member 5/20 2/ Blenheim Foundation USA Palm Beach, Florida Non-Profit Trustee /2008 2/ Invesco Ltd. Atlanta, Georgia Corporation CEO -- Private Equity Groups 0/2006 2/ Brookings Institution See Endnote Washington, District of Columbia Non-Profit Trustee /203 2/ Palm Beach Civic Association See Endnote Palm Beach, Florida Non-Profit Director /200 2/ South Main Street, LLC See Endnote Wilmington, Delaware Limited Liability Company Managing Member /2003 Present Fifth Ave. LLC See Endnote Wilmington, Delaware Limited Liability Company Managing Member /2003 Present 4 Euro Wagon Ltd. George Town, Outside U.S. Corporation Director 2/20 2/207 Ross, Wilbur L - Page 5

6 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 42 Euro Wagon II Ltd. George Town, Outside U.S. Corporation Director 2/20 2/ WLR Euro Wagon Management Ltd. (Jersey) St Helier, Outside U.S. Corporation Director 9/2005 2/ WL Ross Group (Cayman) Ltd. Cayman Islands, Outside U.S. Corporation Director 2/20 2/ India Asset Recovery GP Ltd. Cayman Islands, Outside U.S. Corporation Director 7/2006 2/ WLR Select Associates DSS GP, Ltd. Cayman Islands, Outside U.S. Corporation Director 2/200 2/ WLR IV Loans AIV Feeder (Cayman), Ltd. Cayman Islands, Outside U.S. Corporation Director 0/2009 2/ WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) Cayman Islands, Outside U.S. Corporation Director /2007 2/ WLR Recovery Associates V DSS AIV GP, Ltd. (Cayman) Cayman Islands, Outside U.S. Corporation Director 9/20 2/ Starboard GP Ltd. (Cayman) New York, New York Corporation Director /203 2/207 5 WLR Cardinal Associates Ltd. New York, New York Corporation Director 5/205 2/ India Asset Recovery Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2006 2/ WLR Recovery Associates II LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2002 2/ Starboard WLR Associates L.P. New York, New York Limited Partnership Principal Partner /203 2/ WLR-SC Financing Conduit LLC Wilmington, Delaware Limited Liability Company Managing Member /203 2/207 Ross, Wilbur L - Page 6

7 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 56 Ross CG GP LLC Wilmington, Delaware Limited Liability Company Sole Member 5/2003 2/ WLR IMRF II Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 4/206 2/ WLR Nanotechnology GP LLC Wilmington, Delaware Limited Liability Company Managing Member /2006 2/ Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME Invesco. Invesco Group Services See Endnote Salary $66,667.2 Invesco 40k Plan See Endnote No.2. Invesco Developing Markets R6 Yes.2.2 Invesco Core Plus Fixed Income Yes $5,00 - $50, SSgA U.S. Bond Index Non-Lending Series Fund Class C Yes $5,00 - $50, SSgA Inflation Protected Bond Index Fund Yes $5,00 - $50,000.3 Invesco Ltd. stock Over $5,000,000.4 Invesco Group Services See Endnote Bonus $970,530.5 Invesco Group Services See Endnote Escrow payment $6,48,58 2 ArcelorMittal See Endnote Director Fee $89,744 Ross, Wilbur L - Page 7

8 3 Air Lease Corporation See Endnote $50,00 - $00,000 $,00 - $2,500 4 BankUnited, Inc. See Endnote 5 Exco (vested shares) See Endnote 6 Exco (unvested shares) See Endnote 7 Ocwen Financial Corporation See Endnote 8 Sun Bancorp, Inc. See Endnote 9 El Vedado, LLC See Endnote No 9. WL Ross Group, L.P. See Endnote No 0 WL Ross Group, L.P. See Endnote No 0. WLR Recovery Associates IV LLC See Endnote No Income per K- $407, WLR Recovery Fund IV, L.P. -- Carried Interest See Endnote 0..2 WLR Recovery Fund IV, L.P. No International Textile Group (textiles) WLR - Greenbrier Rail Inc. (railroads) Sun Bancorp. Inc Cascade Bancorp Ross, Wilbur L - Page 8

9 Amalgamated Bank (banking) 0..3 WLR Recovery Fund IV XCO Feeder I, L.P. No WLR Recovery Fund IV XCO AIV I, L.P. No EXCO Resources, Inc WLR Recovery Fund IV XCO Feeder II, L.P. No WLR Recovery Fund IV XCO AIV II, L.P. No EXCO Resources, Inc WLR Recovery Fund IV XCO Feeder III, L.P. No WLR Recovery Fund IV XCO AIV III, L.P. No EXCO Resources, Inc WLR IV RRH AIV, L.P. No Cantor Commercial Real Estate Company (real estate financing) 0..7 WLR IV RRH Blocked AIV, L.P. No Cantor Commercial Real Estate Company (real estate financing) 0..8 WLR IV PPIP AIV, L.P. No Invesco Mortgage Recovery Master Fund, L.P. No Ross, Wilbur L - Page 9

10 Invesco Legacy Securities Master Fund, L.P. See Endnote 0..9 WLR IV PPIP AIV Feeder, L.P. No WLR IV PPIP AIV, L.P. See Endnote No WLR IV Loans AIV Feeder, L.P. (Delaware) No WLR IV Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. No WLR LeFrak Northwest LLC (real estate loans) IMRF Hotel Fifth Street Member LLC (real estate loans) Park Place Apollo Investor LLC (real estate loans) Market Square Member LLC (real estate loans) Indiana Retail Member LLC (real estate loans) Colfin Milestone North Funding LLC (commercial real estate loans) IMRF Hotel Member LLC (real estate loans) IMRF Watchtower Member LLC (real estate loans) Shackelford Crossings Member LLC (real estate loans) Ross, Wilbur L - Page 0

11 IMRF Industrial Member LLC (real estate loans) 0.. WLR IV Loans AIV Feeder, (Cayman) L.P. No 0... WLR IV Loans AIV, L.P. See Endnote No WLR IV Loans AIV, L.P. See Endnote No 0.2 WLR Mezzanine Associates, LLC See Endnote No $250,00 - Income per K- $95, WLR Mezzanine Splitter, L.P. (Cayman) No WLR Cardinal Associates Ltd. No WLR Cardinal Mezzanine Fund L.P. (Cayman) No Dwyer Nolan: Elmfield Property Holdings, Ltd. Tranche A (real estate loans) Hennebry, O'Toole, Exmonde Partnership (real estate loans) Henciti Limited (real estate loans) Genesis Homes (Mungret) Limited (real estate loans) Charlemont Regene (real estate loans) Chirita Limited (real estate loans) Ross, Wilbur L - Page

12 Kitty Developments Limited (real estate loans) Newpark Developments Limited (real estate loans) RGRE Ballsbridge Devco No. 3 (real estate loans) Chalon Finance DAC (real estate loans) Alcove Development Limited (real estate loans) Hallscotch Venture Limited (real estate loans) Hanover Quay Property Development Limited (real estate loans) Parkhan Properties Limited (real estate loans) John Flanagan Developments Limited (real estate loans) MJOM Holdongs Limited (real estate loans) Harts Property Holdings (real estate loans) RGRE Ballsbridge Devco No. 3 Limited (real estate loans) Newydd Limited (real estate loans) BHG Property (Kilcock) Limited (real estate loans) Ross, Wilbur L - Page 2

13 Galpro Investment Company (real estate loans) WLR Cardinal Mezzanine Fund L.P. (Cayman) -- Carried Interest (value not readily ascertainable) See Endnote 0.3 Absolute Recovery Capital Partners LLC See Endnote No 0.3. Absolute Recovery Hedge Fund Ltd. (Cayman) No Absolute Recovery Master Fund Ltd. See Endnote Absolute Recovery Hedge Fund L.P. See Endnote 0.4 WLR Recovery Associates LLC (cash) See Endnote Income per K- $57, WL Ross Sponsor LLC See Endnote No Income per K- $2,4, Nexeo Solutions, stock 0.6 WLR Conduit MM LLC See Endnote No Income per K- (estimate) $273, WLR-SC Financing Conduit LLC No Resolution Recovery Partners LP (real estate) Transportation Recovery Fund, L.P. No WLR/TRF Shipping GP Ltd. No WLR/TRF Shipping LP (Cayman) No Ross, Wilbur L - Page 3

14 WLR/TRF Shipping S.a r.l. See Endnote No WLR/TRF Shipping LP (Cayman) See Endnote No WLR/TRF Shipping II GP Ltd. No WLR/TRF Shipping II LP (Cayman) No WLR/TRF Shipping II S.a r.l. See Endnote No WLR/TRF Shipping II LP (Cayman) See Endnote No American Energy - Permian Basin LLC, bonds Comstock Resources, Inc., warrants Energen Corp Laredo Petroleum Inc Northern Oil and Gas Inc New Penn Financial LLC (mortgage financing) QEP Resources Inc Breitburn Energy Partners, bonds Ross, Wilbur L - Page 4

15 0.6.. Rex Energy Corp WPX Energy Inc Comstock Resources, equity Shellpoint Partners LLC (mortgage lending) Cantor Commercial Real Estate Company (real estate financing) Situs Holdings, LLC (commercial mortgage servicing) Approach Resources, Inc., bonds Lightstream Resources, bonds WLR Conduit MM LLC -- Carried interest See Endnote 0.7 WLR Recovery Associates V LLC See Endnote No Income per K- $808, WLR V RRH Blocked AIV, L.P. No Cantor Commercial Real Estate Company (real estate financing) WLR V RRH AIV, L.P. No Cantor Commercial Real Estate Company (real estate financing) WLR V RRH Feeder AIV LLC No WLR V RRH Blocked AIV, L.P. No Ross, Wilbur L - Page 5

16 Cantor Commercial Real Estate Company (real estate financing) WLR Recovery Fund V Mezzanine AIV Blocker, L.P. No WLR Recovery Fund V Mezzanine AIV, L.P. No WLR Recovery Fund V Mezzanine Holdings LLC No WLR Cardinal Associates Ltd. No WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No WLR Recovery Fund V Mezzanine AIV, L.P. No WLR Recovery Fund V Mezzanine Holdings LLC See Endnote No WLR Recovery Fund V, L.P. -- Carried Interest See Endnote WLR V RRH Blocked AIV, L.P. -- Carried Interest See Endnote WLR V RRH AIV, L.P. -- Carried Interest See Endnote WLR Recovery Fund V, L.P. No Virgin Money (banking) Amalgamated Bank (banking) Ross, Wilbur L - Page 6

17 NBNK Investments PLC (investments) CCRE/Berkeley Point Financial LLC (real estate) Bank of Cyprus (banking) PB Materials Holdings, Inc. (construction) Carbures Inc. (nano carbon fiber manufacturing) DSS Holdings, L.P. (transoceanic shipping) American Energy - Permian Basin LLC, bonds Approach Resources, Inc., bonds Breitburn Energy Partners, bonds Comstock Resources Inc., warrants Lightstream Resources, bonds WLR Eurobank Investment, L.P. No Eurobank Ergasias SA (banking) 0.8 WLR Select Associates LLC See Endnote No 0.8. WLR Select Co-Investment XCO AIV, L.P. No Ross, Wilbur L - Page 7

18 0.8.. Exco Resources, Inc WLR Select Co-Investment XCO AIV, L.P. -- Carried Interest See Endnote 0.9 WL Ross Group (Cayman), Ltd. See Endnote No 0.9. WLR China Energy CV, L.P. No WLR China Energy Associates, Ltd. No WLR China Energy Infrastructure Fund, L.P. - - Carried Interest See Endnote WLR China Energy Infrastructure Fund, L.P. See Endnote No Longmen Group Limited (natural gas) Organica Water Inc. (wastewater infrastructure) Phononic Devices, Inc. (consumer products manufacturing) SinoTech Power Group Holding (solar power) Huaneng Renewables Corp., Ltd. (energy) ChargePoint, Inc. (electric vehicle charging) 0.0 WLR Recovery Associates II, LLC See Endnote No 0.0. WLR Recovery Fund II, L.P. -- Carried Interest See Endnote Ross, Wilbur L - Page 8

19 0. WLR Recovery Associates III, LLC See Endnote No 0.. WLR Recovery Fund III, L.P. -- Carried Interest See Endnote 0.2 WLR IMRF II Associates LLC See Endnote No Income per K- $46, Invesco Mortgage Recovery Master Associates II, LLC No Invesco Mortgage Recovery Fund II, L.P. No Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. No Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. No ITAL SCSP (Luxembourg) No Spiga (real estate loans) Generator (real estate loans) Ames Hotel (real estate loans) Bayside Square (real estate loans) Luhrs City Center (real estate loans) Crown Heights (real estate loans) Ross, Wilbur L - Page 9

20 Christie Avenue (real estate loans) Sareb Loan Portfolio (real estate loans) Exposition Boulevard (real estate loans) Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. See Endnote No Invesco Mortgage Recovery Fund II ESC, L.P. No Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. See Endnote No IMRF II HoldCo S.a r.l. (Luxembourg) No Champs-Elysees (real estate loans) Frascati (real estate loans) Gregorio Benitez (real estate loans) Frascati (real estate loans) Tour Cedre (real estate loans) Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P. No Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. See Endnote No Ross, Wilbur L - Page 20

21 Invesco Mortgage Recovery Fund II Feeder, LLC No Invesco Mortgage Recovery Fund II, L.P. -- carried interest See Endnote Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P. -- carried interest See Endnote 0.3 WLR Master Co-Investment SLP Associates L.P. (Cayman) See Endnote No 0.3. WLR/GS Master Co-Investment L.P. (Cayman) -- Carried Interest See Endnote 0.4 WLR Recovery Associates IV DSS AIV, L.P. See Endnote No 0.4. WLR Recovery Fund IV DSS AIV, L.P. (Cayman) No DSS Holdings LP Class A (transoceanic shipping) DSS Holdings LP Class B (transoceanic shipping) Navigator Holdings Ltd. (transoceanic shipping) DSS Holdings GP Ltd. (transoceanic shipping) 0.5 WLR Recovery Associates V DSS AIV, L.P. See Endnote No 0.5. WLR Recovery Fund V DSS AIV, L.P. No WLR/TRF Shipping LP (Cayman) See Endnote No Ross, Wilbur L - Page 2

22 WLR/TRF Shipping II LP (Cayman) See Endnote No Navigator Holdings Ltd. (transoceanic shipping) DSS Holdings, L.P. (transoceanic shipping) 0.6 WLR Select Associates DSS, L.P. See Endnote No 0.7 Ross CG Pearl Associates, LLC See Endnote No 0.7. Ross CG Pearl Associates, LP -- carried interest See Endnote WLR Recovery Associates V DSS AIV GP, Ltd. See Endnote No. WLR Recovery Associates V DSS AIV, L.P. See Endnote No.. WLR Recovery Fund V DSS AIV, L.P. -- Carried Interest See Endnote 2 WLR/IVZ Mortgage Recovery Associates LLC See Endnote No $,000,00 - $5,000,000 Income per K- $,524, Invesco Mortgage Recovery Master Associates LLC No 2.. Invesco Mortgage Recovery Offshore Feeder Fund, L.P. No 2... Invesco Mortgage Recovery Feeder Fund, L.P. No Invesco Mortgage Recovery Master Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote Ross, Wilbur L - Page 22

23 2..2 Invesco Mortgage Recovery Feeder Fund, L.P. No Invesco Mortgage Recovery Master Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2..3 Invesco Legacy Securities Offshore Feeder Fund, L.P. No Invesco Legacy Securities Feeder Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2..4 Invesco Mortgage Recovery Master Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2..5 Invesco Legacy Securities Feeder Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2..6 Invesco Legacy Securities Master Fund, L.P. See Endnote 2..7 Invesco Recovery Loans Feeder Fund, L.P. (DE) No Invesco Mortgage Recovery Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2..8 Invesco Mortgage Recovery Loans Feeder Fund, L.P. (Cayman) No Ross, Wilbur L - Page 23

24 2..8. Invesco Mortgage Recovery Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2..9 Invesco Mortgage Recovery Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2.2 WLR IV PPIP Co-Invest Offshore Feeder Fund, L.P. No 2.2. WLR IV PPIP Co-Invest, L.P. No Invesco Mortgage Recovery Master Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2.3 WLR IV PPIP Co-Invest, L.P. No 2.3. Invesco Mortgage Recovery Master Fund, L.P. No Invesco Legacy Securities Master Fund, L.P. See Endnote 2.4 WLR IV PPIP Coinvest Loans Feeder Fund, L.P. (DE) No 2.4. WLR IV PPIP Co-Invest Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2.5 WLR IV PPIP Coinvest Loans Feeder Fund (Cayman), L.P. No Ross, Wilbur L - Page 24

25 2.5. WLR IV PPIP Co-Invest Loans AIV, L.P. No Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2.6 WLR Whole Loan Fund, L.P. See Endnote No 2.6. WLR LeFrak (Northwest) LLC (real estate loans) Market Square Member LLC (real estate loans) Indiana Retail Member LLC (real estate loans) Shackleford Crossings Member LLC (real estate loan) Colfin Milestone North Funding LLC (real estate loan) IMRF Hotel Member LLC (real estate loan) Park Place Apollo Investor LLC (real estate loan) IMRF Watchtower Member LLC (real estate loan) IMRF Industrial Member LLC (real estate loan) 2.7 WLR IV PPIP Co-Invest Loans AIV, L.P. No 2.7. Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 2.8 WLR/IVZ Mortgage Recovery Associates LLC -- Carried Interest See Endnote 3 Starboard GP Ltd. See Endnote No $50,00 - $00,000 Ross, Wilbur L - Page 25

26 3. Starboard Recovery Associates, L.P. No 3.. WLR Navig8 Co-Investment, L.P. No 3... WLR/TRF Shipping S.a. r.l. See Endnote No 3.2 Transportation Recovery Fund, L.P. -- Carried Interest (value not readily ascertainable) See Endnote 4 IRA - Traditional No 4. WLR Recovery Associates II, LLC See Endnote No 4.. WLR Recovery Fund II, L.P. No 4... International Textile Group (textiles) WLR Cone Mills Surplus Assets LLC (textiles) Ohizumi Mfg Co Ltd. (electronics, Japan) Nano-Tex LLC (textiles) IAC Group North America LLC (automotive parts) IAC Group Brazil LLC (automotive parts) 4.2 WLR Recovery Associates III, LLC See Endnote No 4.2. WLR Recovery Fund III, L.P. No International Textile Group (textiles) Ross, Wilbur L - Page 26

27 IAC Group North America LLC (automotive parts) IAC Group Brazil LLC (automotive parts) OCM India Limited (textiles) 4.3 WLR Recovery Associates IV, LLC See Endnote No 4.4 U.S. brokerage/investment account (cash) $00,00 - Interest $20 - $, WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) See Endnote No 4.5. WLR Recovery Associates IV DSS AIV, L.P. See Endnote No 4.6 UBS AG Deposit Account (cash) $500,00 - $,000,000 Interest $20 - $,000 5 IRA - Roth No 5. Aperam NY Reg. See Endnote $5,00 - $50, ArcelorMittal SA NY Reg. See Endnote 5.3 U.S. brokerage/investment account (cash) $00,00 - Interest $20 - $, UBS AG Deposit Account $,000,00 - $5,000,000 Interest $2,50 - $5,000 6 India Asset Recovery Associates LLC See Endnote No 6. India Asset Recovery GP Ltd. (Cayman) No Ross, Wilbur L - Page 27

28 6.. India Asset Recovery Fund LP -- Carried Interest See Endnote 6..2 India Asset Recovery Fund LP No India Asset Recovery Fund Limited No OCM India Limited (textiles) 7 Ross CG GP LLC See Endnote No Income per K- (estimate) $7, Ross CG Associates, LP No 7.. Taiyo Pearl GP, L.P. No 7... Taiyo Pearl Delaware Fund, L.P. No Taiyo Pearl Master Fund, L.P. No Nifco Inc. (plastics) J Trust Co. Ltd. (financial services; real estate) Mitsui Securities Co. Ltd. (financial services) Topcon Corp. (positioning instruments) Ulvac Inc. (machinery) Disco Corp. (precision tools) Ross, Wilbur L - Page 28

29 Horiba Ltd. (precision instruments) Peptidream Inc. (pharmaceuticals, Japan) Nissha Printing Co. Ltd. (Manufacturing, electronics, and medical devices, Japan) Miraca Holdings Inc. (healthcare) CyberAgent, Inc. (internet business) Taiyo Pearl Fund, L.P. No Taiyo Pearl Master Fund, L.P. See Endnote No Taiyo Pearl Fund, Ltd. No Taiyo Pearl Master Fund, L.P. See Endnote No Taiyo Pearl Master Fund, L.P. See Endnote No 7.2 Ross CG Associates, LP - Carried Interest See Endnote 8 WL Ross GP LLC See Endnote No 8. Asia Recovery Associates L.P. -- Carried Interest See Endnote 8.2 Asia Recovery Associates L.P. See Endnote No Income per K- $ Asia Recovery Co-Invest Partners, L.P. No Ross, Wilbur L - Page 29

30 8.2.. Ohizumi Mfg Co Ltd. (electronics, Japan) 9 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) No 9. WLR Recovery Associates IV DSS AIV, L.P. See Endnote No 9.. WLR Recovery Fund IV DSS AIV, L.P. See Endnote No 9.2 WLR Recovery Fund IV DSS AIV, L.P. -- Carried Interest See Endnote 20 Starboard WLR Associates L.P. See Endnote No $5,000,00 - $25,000, Starboard Recovery Associates, L.P. See Endnote No 2 Ross Expansion GP, LLC See Endnote No 2. Ross Expansion FLP, LP -- Carried interest See Endnote 2.2 Ross Expansion FLP, LP See Endnote 2.2. Ross Expansion Associates, L.P. No WLR Euro Wagon Management Limited (Jersey) No IPE Euro Wagon L.P. (Jersey) See Endnote Euro Wagon, LP See Endnote Euro Wagon II, LP See Endnote 22 NKK Corporation See Endnote Ross, Wilbur L - Page 30

31 23 Rothschild Profit Sharing Plan See Endnote Liquidated proceeds from plan $25, WLR Select Associates DSS GP Ltd. (Cayman) See Endnote No 24. WLR Select Associates DSS, L.P. No 24.. WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) No WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No WLR Select Co-Investment, L.P. (Cayman) -- Carried Interest See Endnote WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) No WLR Mezzanine Splitter, L.P. (Cayman) See Endnote No WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No WLR Select Co-Investment, L.P. (Cayman) No WLR IV VM II LLC See Endnote No Navigator Holdings Ltd. (transoceanic shipping) PB Materials Holdings Inc. (construction) DSS Holdings, L.P. (shipping) 24.2 WLR Select Co-Investment Mezzanine AIV Blocker, L.P. (Cayman) No Ross, Wilbur L - Page 3

32 24.2. WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) See Endnote No 25 WLR Nanotechnology GP LLC See Endnote No Income per K- $47, Masters Capital Nanotechnology Fund, LP. -- Carried Interest See Endnote 25.2 Masters Capital Nanotechnology, LLC No Masters Capital Nanotechnology Fund, LP. No Daylight Solutions, Inc Nanosys, Inc. 26 WLR Nanotechnology LP LLC See Endnote No Income per K- $447, Masters Capital Nanotechnology Fund, LP. See Endnote No 27 Nexeo Solutions See Endnote Board fee $00, The Greenbrier Companies See Endnote $50,00 - $00, Navigator Holdings Ltd. (NVGS) See Endnote $5,00 - $50, Ross CG Cypress Associates, LLC See Endnote $00, Ross CG Cypress Associates, LP See Endnote 30.2 Ross CG Cypress Associates, LP -- Carried Interest See Endnote Ross, Wilbur L - Page 32

33 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE Invesco, Ltd. Atlanta, Georgia I received restricted shares of stock as part of my compensation at Invesco. Generally, those restricted shares vest in equal tranches over a four-year period after the date on which they were granted, but Invesco has a policy of vesting all outstanding unvested shares upon a friendly termination. My termination was considered friendly, so my outstanding unvested shares were cancelled and the money placed in an escrow fund upon my departure. 2/203 2 WLR Recovery Associates II, LLC New York, New York Prior to my confirmation, I was Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 3/ WLR Recovery Associates III, LLC New York, New York Prior to my confirmation, WL Ross Group LP served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 8/ WLR Recovery Associates IV, LLC New York, New York Prior to my confirmation, WL Ross Group LP served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. /2007 Ross, Wilbur L - Page 33

34 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 5 Exco Resources, Inc. Dallas, Texas Restricted stock arrangement for Directors in which restricted shares vest on the one-year anniversary after the date on which they were granted. Approximately half of my outstanding unvested Exco shares vested in late December 206. All unvested shares were forfeited upon my resignation. 2/205 6 WLR Recovery Associates V, LLC New York, New York Prior to my confirmation, WL Ross Group LP served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 2/20 7 Starboard GP Ltd. New York, New York Prior to my confirmation, I served as Director of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 0/203 8 WLR Select Associates LLC New York, New York Prior to my confirmation, WL Ross Group served as Managing Member of this entity, which serves as General Partner of an underlying fund. 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. I no longer hold an interest in the funds related to this entity. 2/200 9 WLR/IVZ Mortgage Recovery Associates LLC New York, New York Prior to my confirmation, WL Ross Group LP served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. 0/2009 Ross, Wilbur L - Page 34

35 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 0 WLR Mezzanine Associates, LLC New York, New York Prior to my confirmation, WL Ross Group served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 5/205 India Asset Recovery Associates LLC New York, New York Prior to my confirmation, I served as the managing member of this entity, which holds an interest in India Asset Recovery GP, Ltd. That entity holds a carried interest in the India Asset Recovery Fund as its general partner. 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. I no longer hold an interest in the funds related to this entity. 2/ Asia Recovery Associates, L.P. New York, New York Prior to my confirmation, WL Ross Group LP served as sole member of WL Ross GP LLC, which serves as General Partner of Asia Recovery Associates LP. The General Partner 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. I no longer hold an interest in the funds related to this entity. 4/ WLR China Energy Infrastructure Fund, L.P. New York, New York Prior to my confirmation, WL Ross Group LP was a shareholder in WL Ross Group (Cayman) Ltd, which indirectly held an interest in the general partner of WLR China Energy Infrastructure Fund, L.P.. 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. I no longer hold an interest in the funds related to this entity. 2/2008 Ross, Wilbur L - Page 35

36 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 4 WLR Conduit MM LLC New York, New York Prior to my confirmation, I had different arrangements for the various underlying assets. For the Shellpoint investment, I received an 8% preferential return, plus a 0% carried interest. For the Subsequent Platform Company asset, I received a 20% carried interest. For the energy bonds, I received an index amount, plus a 5% carried interest. I no longer hold an interest in the funds or assets related to this entity. /200 5 Rothschild Profit Sharing Plan See Endnote New York, New York Prior to my confirmation, I received approximately $,000 per year in distributions from this plan. Within 90 days of confirmation, I liquidated this plan and rolled the proceeds into an IRA. /976 6 Ross CG Associates, LP New York, New York Prior to my confirmation, Ross CG GP LLC served as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 3/ Ross CG Cypress Associates, LP New York, New York Prior to my confirmation, Ross CG GP LLC served as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 4/ Ross CG Pearl Associates, LP New York, New York Prior to my confirmation, Ross CG GP LLC served as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 8/2007 Ross, Wilbur L - Page 36

37 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 9 Ross Expansion FLP L.P. New York, New York Prior to my confirmation, I served as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 2/ WLR Nanotechnology GP LLC New York, New York Prior to my confirmation, I served as Managing Member of this entity, which in turn serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. / WLR Recovery Associates LLC New York, New York Prior to my confirmation, WL Ross Group LLP served as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. 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. I no longer hold an interest in the funds related to this entity. 0/ WLR Recovery Associates IV DSS LP (Cayman), Outside U.S. Prior to my confirmation, I was a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. 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. I no longer hold an interest in the funds related to this entity. /20 Ross, Wilbur L - Page 37

38 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 23 WLR Recovery Associates V DSS LP (Cayman), Outside U.S. Prior to my confirmation, I was a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. 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. I no longer hold an interest in the funds related to this entity. 2/20 24 WLR Select Associates DSS, L.P. (Cayman), Outside U.S. Prior to my confirmation, I was a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. 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. I no longer hold an interest in the funds related to this entity. 2/ WLR Master Co-Investment SLP GP Ltd. (Cayman), Outside U.S. Prior to my confirmation, this entity was the General Partner of a partnership holding a carried interest in the WLR/GS Master Co-Investment L.P. fund. I no longer hold an interest in the funds related to this entity. 8/20 26 Invesco, Ltd. Atlanta, Georgia I received a discretionary performance-based bonus for services rendered in 206. This bonus was paid prior to my assuming the duties of the position of Secretary. 0/ Invesco Ltd. Atlanta, Georgia I participated in Invesco's 40k plan. I no longer participate. 0/ Invesco Mortgage Recovery Master Associates II New York, New York Prior to my confirmation, I served as the managing member of WLR IMRF II Associates LLC, which invests in Invesco Mortgage Recovery Associates II LLC. Invesco Mortgage Recovery Associates II LLC serves as General Partner ("GP") of Invesco Mortgage Recovery Fund II, L.P. and Invesco Mortgage Recovery Fund II Co-Invest ITAL, L.P. 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. 4/206 Ross, Wilbur L - Page 38

39 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 29 WLR Master Co-Investment SLP Associates, L.P. (Cayman), Outside U.S. Prior to my confirmation, WL Ross Group LP was an investor in WLR Master Co-Investment 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. I no longer hold an interest in the funds related to this entity. 4/20 4. Filer's Sources of Compensation Exceeding $5,000 in a Year () - Not required for this type of report 5. Spouse's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME Powerhouse Cultural Entertainment (value not readily ascertainable) See Endnote Rent or Royalties $20 - $,000 2 IRA See Endnote 2. Dreyfus Government Cash Mgmt Admin Yes $500,00 - $,000,000 $5,00 - $5, Amphenol Corp CL A $00,00 - $,000, Atara Biotherapeutics Inc Com $50,00 - $00, Boeing Co. $00,00 - $,000,000 Ross, Wilbur L - Page 39

40 2.5 CDW Corp Com USD0.0 $00,00 - $,000, CME Group Inc. $00,00 - $,000, Moodys Corp $00,00 - $,000, MSCI Inc Com $00,00 - $,000, Neustar Inc. CL A 2.0 SVB Finl Group $00,00 - $,000, Verisk Analytics Inc. Com $00,00 - $,000, Wex Inc Com $00,00 - $,000, Zoetis Inc Com USD0.0 CL A $00,00 - $,000, HSBC HLDGS PLC PERP SUB CAP SECS $5,00 - $50, Wells Fargo & Co New Dep SHS REPSTG $5,00 - $5, ishares Russell 2000 ETF Yes $,000,00 - $5,000,000 $5,00 - $50, SPDR S&P 500 ETF Yes $,000,00 - $5,000,000 $5,00 - $50,000 Ross, Wilbur L - Page 40

41 6. Other Assets and Income # DESCRIPTION EIF VALUE INCOME TYPE INCOME U.S. Brokerage Account # See Endnote. Cash Over $50,000,000 Interest $00,00 - $,000,000.2 Pound Sterling (cash account in overseas JP Morgan account) $00, U.S. Treasury 8.75% 5/5/ DY- NR/AAA.4 Bear Stearns Co. Inc. 6.4% Oct 2, 207 DTD 0/02/ PR-3 A/A3 Interest $00,00 - $,000,000.5 Bear Stearns Co. Inc. 7 /4% Feb, 208 DTD 02/0/ RU-4 A-/A3 Interest $00,00 - $,000,000.6 Anheuser Busch INBEV WOR 7 3/4% Jan 5, 209 DTD 0/5/ BE-7 A/NR.7 Caterpillar Financial SE Medium Term Note 7.5% Feb 5, 209 DTD 02/2/ L-4E-8 A/A2.8 Goldman Sachs Group Inc. SR Notes 7 /2% Feb 5, 209 DTD 02/5/ E-A2-5 A-/BAA.9 MetLife Inc. Notes 7.77% Feb 5, 209 DTD 02/5/ R-AT-5 A-/A3.0 Morgan Stanley 7.3% May 3, 209 DTD 05/3/ Y-CG-8 A-/BAA. Dow Chemicals Co., The Notes 8.55% May 5, 209 DTD 05/3/ BX-0 BBB/BAA.2 Citigroup Inc. SR Notes 8 /2% May 22, 2009 DTD 05/22/ EV-9 A-/BAA Ross, Wilbur L - Page 4

42 .3 Bank of America Corp SR Notes 7 5/8% Jun 0, 209 DTD 06/02/ G-DZ-9 A- /BAA.4 General Elec Cap Corp 6% Aug 07, 209 DTD 08/07/ G-4D-3 AA+/A.5 XTO Energy Corp 6/2% Dec 5, 208 DTD 08/07/ X-AT-3 AAA/AAA 2 U.S. Brokerage Account #2 See Endnote 2. Cash account $00,00 - Interest $20 - $, UBS AG Deposit Account (cash) Over $50,000,000 Interest $50,00 - $00, UBS Select Prime Institutional Fund Yes 2.4 Tennessee Gas Pipeline NTS B/E 8.000% Matures 02/0/206 CUSIP 88045AY5 2.5 Metlife Inc NTS B/E 6.750% Matures 06/0/206 CUSIP 5956RAU2 2.6 Natl Rural Util Coop Fin 0.375% Matures /0/206 CUSIP LR4 2.7 Baker Hughes Inc. NTS 7.500% Matures /5/208 CUSIP AY3 2.8 Goldman Sachs Group NTS 7.500% Matures 02/9/209 CUSIP 384EA Dow Chemical Co NTS 8.550% Matures 05/5/209 CUSIP BX0 2.0 Bank of Amer Corp NTS OBP B/E 7.625% Matures 06/0/209 CUSIP 0605GDZ9 Ross, Wilbur L - Page 42

43 2. Republic of Korea NTS Foreign Security 7.25% Matures 04/6/209 ISIN US50064FAJ UBS Select TX FR Capital Yes 2.3 Sun Bancorp Inc. See Endnote 3 U.S. Brokerage Account #3 3. Southwestern Public Service Co. NTS ISIN CUSIP BM % Matures 2/0/208 See Endnote Interest $00,00 - $,000, Cash $5,000,00 - $25,000,000 4 U.S. Brokerage Account #4 See Endnote 4. Southwestern Public Service Co. NTS ISIN CUSIP BM % Matures 2/0/ United States Treasury BDS 9.250% NTS ISIN CUSIP 9280DV7 Matures 02/5/ XTO Energy Inc. SR NTS 6.500% NTS ISIN CUSIP 98385XAT3 Matures 2/5/8 5 U.S. Brokerage Account #5 (cash) See Endnote $,000,00 - $5,000,000 Interest $2,50 - $5,000 6 U.S. Brokerage Account #6 (cash) See Endnote $5,000,00 - $25,000,000 7 U.S. Bank Account # (cash) $500,00 - $,000,000 Interest $20 - $,000 8 U.S. Money Market Account # (cash) $5,000,00 - $25,000,000 Interest $50,00 - $00,000 Ross, Wilbur L - Page 43

44 9 U.S. Money Market Account #2 (cash) $,000,00 - $5,000,000 Interest $2,50 - $5,000 0 U.S. Brokerage Account #7 (cash) See Endnote U.S. Brokerage Account #8. Aperam NY Reg Shares (steel) See Endnote $00,00 - $,000,000.2 Federated Govt Obl; II See Endnote Yes 2 Arcelor Mittal SA See Endnote $,000,00 - $5,000,000 3 Art Collection Over $50,000,000 4 U.S. Brokerage Account #9 4. Cash deposit account $00,00 - Interest $20 - $, UBS Select Govt Capital Yes $250,00 - $2,50 - $5,000 5 U.S. Bank Account #2 (cash) $500,00 - $,000,000 6 Intercontinental Exchange, Inc. See Endnote Over $,000,000 7 YG Partners Fund, LP See Endnote Yes $00,00 - $,000,000 8 Formation8 Partners Entrepreneur Fund II See Endnote Yes $,00 - $2,500 9 Formation8 Partners Fund I See Endnote Yes Ross, Wilbur L - Page 44

45 20 8VC Fund I, L.P. See Endnote Yes 2 WLR Recovery Associates III LLC See Endnote No 22 WLR Recovery Associates II LLC See Endnote No 23 U.S. Brokerage Account #0 23. Spouse - Trust: Under Will No. See Endnote 23.. Dreyfus Government Cash Mgmt Admin Yes $250,00 - $2,50 - $5, Amphenol Copr CL A $5,00 - $5, Boeing Co. $00,00 - $,000, CDW Corp Com USD0.0 $50,00 - $00, CME Group Inc. $00,00 - $,000, MSCI Inc Com $00,00 - $,000, Neustar Inc. CL A $5,00 - $50, SVB Finl Group $50,00 - $00, Verisk Analytics Inc. Com $00,00 - $,000, Wex Inc Com $00,00 - $,000,000 Ross, Wilbur L - Page 45

46 23.. Zoetis Inc Com USD0.0 CL A $50,00 - $00, SPDR S&P 500 ETF Trust Unit SER S&P Yes Over $,000,000 $5,00 - $50, ishares Russell 2000 ETF Yes Over $,000,000 $5,00 - $5, Spouse - Trust: Under Agreement See Endnote Dreyfus Government Cash Mgmt Admin Yes $500,00 - $,000,000 $5,00 - $5, Boeing Co. $00,00 - $,000, Chevron Corp New Com $00,00 - $,000, CME Group Inc. $00,00 - $,000, Merck & Co. Inc New Com $50,00 - $00, Moodys Corp $00,00 - $,000, MSCI Inc Com $00,00 - $,000, Neustar Inc CL A $00,00 - $,000, SVB Finl Group $00,00 - $,000, Verisk Analytics Inc Com $00,00 - $,000, Wex Inc Com $00,00 - $,000,000 Ross, Wilbur L - Page 46

47 Zoetis Inc Com USD0.0 CL A $00,00 - $,000, SPDR S&P 500 ETF Trust Unit SER S&P Yes Over $,000,000 $50,00 - $00, ishares Russell 2000 ETF Yes Over $,000,000 $5,00 - $50, Bank of America Corp Bond Pep 8.000% Interest $5,00 - $50, Spouse - Trust: Under Will No. 2 See Endnote Illinois St Go BDS $00, Harris Cnty Tex Permanent Im $250, Champaign Cnty Ill Cmnty Unit Sch Dist. $250, Chicago Ill O'Hare Arpt Rev Gen $250, St. Paul Minn Port Auth Lease Re $250,00 - Interest $5,00 - $5, Dreyfus Government Cash Mgmt Admin Yes $5,00 - $50,000 $2,50 - $5, Atlanta GA Dev Auth Rev Rev BDS Panther $00,00 - Interest $5,00 - $50, Michigan Fin Auth Rev Rev Ref $250, Fireeye Inc Com See Endnote New Jersey St Tran Corp Grant Antic Ntw Interest $5,00 - $5,000 Ross, Wilbur L - Page 47

48 23.3. El Paso Cnty Facs Corp Colo Ctfs Partn Interest $5,00 - $5, North Tex Twy Auth Rev Ref Bds Ser Interest $5,00 - $50, Leander Tx Indpt Sch Dist Ult Tax Ref Interest $5,00 - $5, Illinois Fin Auth Rev Rev Bds Trinity Interest $5,00 - $5, Atlanta Ga Dev Auth Rev Rev Bds Georgia $250, Gainesville & Hall Cnty Ga Hos P Auth $50,00 - $00,000 Interest $2,50 - $5, Chicago Ill Tran Auth Cap Grnt Rcpts $250,00 - Interest $5,00 - $50, Fort Myers Fla Cap Impt Rev Cap Impt $00,00 - Interest $5,00 - $5, New Jersey St Higher Ed Assistance Auth $250,00 - Interest $5,00 - $50, Houston Tex Cmnty College Sys Rev $250,00 - Interest $5,00 - $50, Key West Fla Util Brd Elec Rev Elec $00,00 - Interest $5,00 - $5, Buffalo & Ft Erie N Y Pub Brog Auth Toll $00,00 - Interest $5,00 - $5, Lee Cnty Fla Sch Brd Cifs Partn Cops $250,00 - Interest $5,00 - $5, Texas St Pub Fin Auth Rev Financing $250,00 - Interest $5,00 - $5,000 Ross, Wilbur L - Page 48