Executive Branch Personnel Public Financial Disclosure Report (OGE Form 278e)

Transcription

1 minee Report U.S. Office of Government Ethics; 5 C.F.R. part 2634 Form Approved: OMB. ( ) (March 204) Executive Branch Personnel Public Financial Disclosure Report (OGE Form 278e) Filer's Information Ross, Wilbur L Secretary, Department of Commerce Other Federal Government Positions Held During the Preceding 2 Months: ne Names of Congressional Committees Considering mination: Committee on Commerce, Science, and Transportation 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 2/9/206 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 0/5/207 by Maggi, David in Integrity.gov] Other review conducted by U.S. Office of Government Ethics Certification /s/ Shaub, Walter M, Certifying Official [electronically signed on 0/5/207 by Shaub, Walter M in Integrity.gov]

2 . 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 2 Harvard Business School Club of New See Endnote New, New n-profit Trustee /200 Present Social Club Director /20 Present 3 The Partnership for New City See Endnote New, New n-profit Member of the Executive Committee /200 Present 4 WL Ross and Co. LLC Wilmington, Delaware Limited Liability Company Chairman/Chief Strategy Officer 0/997 Present 5 Sun National Bank Vineland, New Jersey Bank Director 9/200 Present 6 Nexeo Solutions The Woodlands, Texas Chemicals/Plasti cs Distribution Chairman 3/204 Present 7 BankUnited FSB, BankUnited, Inc. Miami Lakes, Florida Banks Director 5/2009 3/204 8 First Michigan Bank/Talmer Bancorp Troy, Michigan Bank Director 4/200 /204 9 WLR China Energy Associates, Ltd. Cayman Islands, Outside U.S. Investment Management Director 2/2008 Present 0 INVESCO WLR Private Equity Investment Management, Ltd. Hong Kong, Outside U.S. Investments Director 6/2008 Present Invesco Private Capital, Inc. Palo Alto, California Investment Management Director 0/2006 Present 2 ArcelorMittal Luxembourg, Outside U.S. 3 Assured Guaranty Bermuda, Outside U.S. Steel Director 5/2008 Present Insurance Director 5/2008 /204 4 Huaneng Invesco WLR Investment Consulting Company Ltd. China, Outside U.S. Investment Management Director 9/2008 Present

3 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 5 International Automotive Group rth America (Inc., LLC, and Holdings, Inc.) See Endnote Southfield, Michigan Auto parts Chairman and Director /2006 /204 6 International Automotive Group GmbH See Endnote Krefeld, Outside U.S. Auto parts Chairman and Director /2006 /204 7 International Textile Group See Endnote Greensboro, South Carolina Textiles n-executive Director /2005 /204 8 Invesco WLR Limited Hong Kong, Outside U.S. Investment Management Director 6/2008 Present 9 PLASCAR Brazil, Outside U.S. Auto parts Director 3/2008 / Invesco Private Capital Investments, Inc. Palo Alto, California 2 WL Ross & Co. (India) LLC Wilmington, Delaware Investment Management Limited Liability Company Director 0/2006 Present Director 7/2006 Present 22 Absolute Recovery Hedge Fund, Ltd.; Absolute Recovery Master Fund Ltd. Bermuda, Outside U.S. Investment Management Director 5/200 Present 23 Ohizumi Manufacturing Sayama-shi, Outside U.S. 24 WLR/GS (India) Limited Mauritius, Outside U.S. 25 Ross Expansion FLP, LP New, New Air Conditioner parts Investment Management Limited Partnership Director 6/200 4/205 Director 8/2008 0/205 General Partner 2/2005 Present 26 WLR Master Co-Investment SLP GP, Ltd. New, New General Partner Director/Chairm an 8/20 Present 27 The Japan Society, Inc. New, New n-profit Director/Chairm an 2/2005 Present 28 Diamond S Shipping LLC See Endnote New, New Shipping Management Chairman /20 Present 29 Briarcliff Condominium Apartment Building See Endnote New, New n-profit Director /2007 Present 30 El Vedado LLC West Palm Beach, Florida Limited Liability Company Sole Member 2/2005 Present

4 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 3 Exco Resources See Endnote Dallas, Texas Corporation Independent Director /202 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 /204 Present 34 American Friends of the Rene Magritte Museum See Endnote New, New n-profit President /204 Present 35 Musee des Arts Decoratifs See Endnote Paris, Outside U.S. n-profit International Counsel Member /204 Present 36 British American Business, Inc. See Endnote New, New Business Network International Advisory Board Director /200 Present 37 Diamond S Shipping Group, Inc. See Endnote Greenwich, Connecticut Shipping Services n-executive Chairman /20 Present 38 Governor and Company of the Bank of Ireland Dublin, Outside U.S. Bank Director 6/202 6/ NBNK Investments PLC London, Outside U.S. Bank Director/Chairm an /203 / PB Materials Holdings, Inc. Odessa, Texas Corporation Director 0/203 /204 4 Navigator Holdings Ltd. See Endnote London, Outside U.S. Shipping Director/Chairm an /202 / Ocwen Financial Corp. Atlanta, Georgia Mortgage Servicing Director 3/203 / International Automotive Group Japan, LLC See Endnote Yokohama, Outside U.S. Auto Parts Director/Chairm an /2006 / International Automotive Components Group, S.A. See Endnote Luxembourg, Outside U.S. Auto parts n-executive Chairman /2006 / IACNA International, Inc. Wilmington, Delaware Corporation Director 6/2008 / Harvard Business School, Dean's Advisory Board See Endnote Cambridge, Massachusetts n-profit Director /202 /205

5 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 47 India Asset Recovery Fund Limited Mauritius, Outside U.S. 48 Palm Beach Retirement Funds See Endnote Palm Beach, Florida Investment Management Pension Plan for public Servants Director 7/2006 Present Trustee /200 Present 49 Brookings Economic Studies Council See Endnote Washington, District of Columbia n-profit Director/Chairm an /202 Present 50 DSS Holdings LP See Endnote Greenwich, Connecticut Shipping Director/Chairm an /20 Present 5 IAC Asia Holdings, Inc. Wilmington, Delaware 52 IACNA Korea, Inc. Wilmington, Delaware 53 IAC Mexico Holdings, Inc. Wilmington, Delaware 54 IAC Spartanburg, Inc. Wilmington, Delaware 55 IAC U.S. Holdings, Inc. Wilmington, Delaware Auto parts Director 5/2007 /204 Auto parts Director 0/200 /204 Auto parts Director 5/2007 /204 Auto parts Director 2/200 /204 Auto parts Director 5/2007 / Ross Expansion GP LLC Wilmington, Delaware Limited Liability Company Sole Member 4/2004 Present 57 Absolute Recovery Capital Partners, LLC Wilmington, Delaware Limited Liability Company Managing Member 5/20 Present 58 Blenheim Foundation USA Palm Beach, Florida n-profit Trustee /2008 Present 59 Invesco Ltd. Atlanta, Georgia Corporation CEO -- Private Equity Groups 0/2006 Present 60 Brookings Institution See Endnote Washington, District of Columbia 6 Palm Beach Civic Association See Endnote Palm Beach, Florida n-profit Trustee /203 Present n-profit Director /200 Present

6 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 62 Permali do Brasil Industria e Comercio Ltda Brazil, Outside U.S. Investments Director 3/2008 / 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 65 Euro Wagon Ltd. George Town, Outside U.S. 66 Euro Wagon II Ltd. George Town, Outside U.S. 67 WLR Euro Wagon Management Ltd. (Jersey) St Helier, Outside U.S. 68 WL Ross Group (Cayman) Ltd. Cayman Islands, Outside U.S. 69 India Asset Recovery GP Ltd. Cayman Islands, Outside U.S. 70 WLR Select Associates DSS GP, Ltd. Cayman Islands, Outside U.S. 7 WLR IV Loans AIV Feeder (Cayman), Ltd. Cayman Islands, Outside U.S. Corporation Director 2/20 Present Corporation Director 2/20 Present Corporation Director 9/2005 Present Corporation Director 2/20 Present Corporation Director 7/2006 Present Corporation Director 2/200 Present Corporation Director 0/2009 Present 72 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) 73 WLR Recovery Associates V DSS AIV GP, Ltd. (Cayman) Cayman Islands, Outside U.S. Cayman Islands, Outside U.S. Corporation Director /2007 Present Corporation Director 9/20 Present 74 Starboard GP Ltd. (Cayman) New, New 75 WLR Cardinal Associates Ltd. New, New Corporation Director /203 Present Corporation Director 5/205 Present 76 India Asset Recovery Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2006 Present 77 WLR Recovery Associates II LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2002 Present

7 # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 78 Starboard WLR Associates L.P. New, New Limited Partnership Principal Partner /203 Present 79 WLR-SC Financing Conduit LLC Wilmington, Delaware Limited Liability Company Managing Member /203 Present 80 Ross CG GP LLC Wilmington, Delaware Limited Liability Company Sole Member 5/2003 Present 8 WLR IMRF II Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 4/206 Present 82 WLR Nanotechnology GP LLC Wilmington, Delaware Limited Liability Company Managing Member /2006 Present 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF VALUE INCOME TYPE INCOME Invesco. Invesco Group Services Base Salary $2,000,000.2 Invesco Group Services Bonus $2,244,000.3 Invesco 40k Plan See Endnote.3. Invesco Developing Markets R6 Yes than $,00).3.2 Invesco Core Plus Fixed Income Yes $5, SSgA U.S. Bond Index n-lending Series Fund Class C Yes $5, SSgA Inflation Protected Bond Index Fund Yes $5, Invesco Ltd. stock $5,000,00 - $25,000,000 Dividends $00,00 - $,000,000

8 .5 Invesco Ltd. restricted stock (unvested) See Endnote $5,000,00 - $25,000,000.6 Invesco Group Services, anticipated bonus $,000,00 - $5,000,000 2 ArcelorMittal Director Fee $07,567 3 Air Lease Corporation $250,00 - Dividends $,00 - $2,500 4 BankUnited, Inc. $,00 - $5,000 5 Exco (vested shares) $5,00-6 Exco (unvested shares) $00,00-7 Ocwen Financial Corporation $,00 - $5,000 8 Sun Bancorp, Inc. $,00 - $5,000 9 El Vedado, LLC See Endnote 9. WL Ross Group, L.P. See Endnote 0 WL Ross Group, L.P. See Endnote 0. WLR Recovery Associates IV LLC See Endnote $5,000,00 - $25,000,000 Dividends $00,00 - $,000, WLR Recovery Fund IV, L.P. -- Carried See Endnote $5,000,00 - $25,000, WLR Recovery Fund IV, L.P International Textile Group (textiles) (no longer held) WLR - Greenbrier Rail Inc. (railroads) (no longer held) Sun Bancorp. Inc.

9 Cascade Bancorp Amalgamated Bank (banking) 0..3 WLR Recovery Fund IV XCO Feeder I, L.P WLR Recovery Fund IV XCO AIV I, L.P. EXCO Resources, Inc WLR Recovery Fund IV XCO Feeder II, L.P WLR Recovery Fund IV XCO AIV II, L.P. EXCO Resources, Inc WLR Recovery Fund IV XCO Feeder III, L.P WLR Recovery Fund IV XCO AIV III, L.P. EXCO Resources, Inc WLR IV RRH AIV, L.P Cantor Commercial Real Estate Company (real estate financing) 0..7 WLR IV RRH Blocked AIV, L.P Cantor Commercial Real Estate Company (real estate financing) 0..8 WLR IV PPIP AIV, L.P Invesco Mortgage Recovery Master Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote

10 0..9 WLR IV PPIP AIV Feeder, L.P WLR IV PPIP AIV, L.P. See Endnote WLR IV Loans AIV Feeder, L.P. (Delaware) WLR IV Loans AIV, L.P. Invesco Mortgage Recovery Master Loans AIV, L.P. WLR LeFrak rthwest 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 rth 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) IMRF Industrial Member LLC (real estate loans) WLR IV Loans AIV Feeder, (Cayman) L.P.

11 WLR IV Loans AIV, L.P. See Endnote WLR IV Loans AIV, L.P. See Endnote 0.2 WLR Mezzanine Associates, LLC See Endnote $00, WLR Mezzanine Splitter, L.P. (Cayman) WLR Cardinal Associates Ltd. WLR Cardinal Mezzanine Fund L.P. (Cayman) Dwyer lan: 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) Kitty Developments Limited (real estate loans) Newpark Developments Limited (real estate loans) RGRE Ballsbridge Devco. 3 (real estate loans) Chalon Finance DAC (real estate loans)

12 0.2.2 WLR Cardinal Mezzanine Fund L.P. (Cayman) -- Carried (value not readily ascertainable) See Endnote 0.3 Absolute Recovery Capital Partners LLC See Endnote $250,00 - $5,00 - $5, Absolute Recovery Hedge Fund Ltd. (Cayman) Absolute Recovery Master Fund Ltd. See Endnote Absolute Recovery Hedge Fund L.P. See Endnote 0.4 WLR Recovery Associates LLC (cash) See Endnote $500,00 - $,000, WL Ross Sponsor LLC $5,000,00 - $25,000, Nexeo Solutions, stock 0.6 WLR Conduit MM LLC See Endnote $500,00 - $,000, WLR-SC Financing Conduit LLC Dividends $00,00 - $,000, Resolution Recovery Partners LP (real estate) Transportation Recovery Fund, L.P. WLR/TRF Shipping GP Ltd. WLR/TRF Shipping LP (Cayman) WLR/TRF Shipping S.a r.l. See Endnote WLR/TRF Shipping LP (Cayman) See Endnote WLR/TRF Shipping II GP Ltd.

13 WLR/TRF Shipping II LP (Cayman) WLR/TRF Shipping II S.a r.l. See Endnote WLR/TRF Shipping II LP (Cayman) See Endnote American Energy - Permian Basin LLC, bonds Comstock Resources, Inc., warrants Energen Corp. Laredo Petroleum Inc. rthern Oil and Gas Inc. New Penn Financial LLC (mortgage financing) QEP Resources Inc. Breitburn Energy Partners, bonds Rex Energy Corp. WPX Energy Inc. Comstock Resources, equity Shellpoint Partners LLC (mortgage lending) Cantor Commercial Real Estate Company (real estate financing)

14 Situs Holdings, LLC (commercial mortgage servicing) Approach Resources, Inc., bonds Lightstream Resources, bonds WLR Conduit MM LLC -- Carried interest See Endnote $500,00 - $,000, WLR Recovery Associates V LLC See Endnote $,000,00 - $5,000, WLR V RRH Blocked AIV, L.P. Dividends $,000,00 - $5,000, Cantor Commercial Real Estate Company (real estate financing) WLR V RRH AIV, L.P Cantor Commercial Real Estate Company (real estate financing) WLR V RRH Feeder AIV LLC WLR V RRH Blocked AIV, L.P. Cantor Commercial Real Estate Company (real estate financing) WLR Recovery Fund V Mezzanine AIV Blocker, L.P WLR Recovery Fund V Mezzanine AIV, L.P. WLR Recovery Fund V Mezzanine Holdings LLC WLR Cardinal Associates Ltd WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote

15 0.7.5 WLR Recovery Fund V Mezzanine AIV, L.P WLR Recovery Fund V Mezzanine Holdings LLC See Endnote WLR Recovery Fund V, L.P. -- Carried (value not readily ascertainable) WLR V RRH Blocked AIV, L.P. -- Carried (value not readily ascertainable) WLR V RRH AIV, L.P. -- Carried (value not readily ascertainable) See Endnote See Endnote See Endnote WLR Recovery Fund V, L.P Virgin Money (banking) (no longer held) Amalgamated Bank (banking) NBNK Investments PLC (investments) (no longer held) 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

16 Comstock Resources Inc., warrants Lightstream Resources, bonds WLR Eurobank Investment, L.P. Eurobank Ergasias SA (banking) 0.8 WLR Select Associates LLC See Endnote $5, WLR Select Co-Investment XCO AIV, L.P. Dividends $20 - $, Exco Resources, Inc WLR Select Co-Investment XCO AIV, L.P. -- Carried (value not readily ascertainable) See Endnote 0.9 WL Ross Group (Cayman), Ltd WLR China Energy CV, L.P WLR China Energy Associates, Ltd. WLR China Energy Infrastructure Fund, L.P. - - Carried (value not readily ascertainable) See Endnote WLR China Energy Infrastructure Fund, L.P. Longmen Group Limited (natural gas) $,00 - $5, Organica Water Inc. (wastewater infrastructure) Phononic Devices, Inc. (consumer products manufacturing) $,00 - $5,000 $5,00 -

17 SinoTech Power Group Holding (solar power) $5, Huaneng Renewables Corp., Ltd. (energy) $5,00 - ChargePoint, Inc. (electric vehicle charging) $,00 - $5, WLR Recovery Associates II, LLC 0.0. WLR Recovery Fund II, L.P. -- Carried See Endnote $250,00-0. WLR Recovery Associates III, LLC 0.. WLR Recovery Fund III, L.P. -- Carried (value not readily ascertainable) See Endnote 0.2 WLR IMRF II Associates LLC See Endnote $,00 - $5, Invesco Mortgage Recovery Master Associates II, LLC Invesco Mortgage Recovery Fund II, L.P. Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. ITAL SCSP (Luxembourg) Spiga (real estate loans) Generator (real estate loans) Ames Hotel (real estate loans)

18 Bayside Square (real estate loans) Luhrs City Center (real estate loans) Crown Heights (real estate loans) Christie Avenue (real estate loans) Sareb Loan Portfolio (real estate loans) Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. See Endnote Invesco Mortgage Recovery Fund II ESC, L.P Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. See Endnote IMRF II HoldCo S.a r.l. (Luxembourg) Champs-Elysees (real estate loans) Frascati (real estate loans) Gregorio Benetiz (real estate loans) Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. See Endnote Invesco Mortgage Recovery Fund II Feeder, LLC Invesco Mortgage Recovery Fund II, L.P. -- carried interest (value not readily ascertainable) See Endnote

19 Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P. -- carried interest (value not readily ascertainable) See Endnote 0.3 WLR Master Co-Investment SLP Associates L.P. (Cayman) 0.3. WLR/GS Master Co-Investment L.P. (Cayman) -- Carried (value not readily ascertainable) See Endnote 0.4 WLR Recovery Associates IV DSS AIV, L.P. (value not readily ascertainable) See Endnote WLR Recovery Fund IV DSS AIV, L.P. (Cayman) 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 $,000,00 - $5,000,000 Dividends $00,00 - $,000, WLR Recovery Fund V DSS AIV, L.P WLR/TRF Shipping LP (Cayman) See Endnote WLR/TRF Shipping II LP (Cayman) See Endnote Navigator Holdings Ltd. (transoceanic shipping) DSS Holdings, L.P. (transoceanic shipping)

20 0.6 WLR Select Associates DSS, L.P. See Endnote $50,00 - $00,000 WLR Recovery Associates V DSS AIV GP, Ltd.. WLR Recovery Associates V DSS AIV, L.P. See Endnote Dividends $,00 - $2,500.. WLR Recovery Fund V DSS AIV, L.P. -- Carried (value not readily ascertainable) See Endnote 2 WLR/IVZ Mortgage Recovery Associates LLC See Endnote $500,00 - $,000,000 Dividends $00,00 - $,000, Invesco Mortgage Recovery Master Associates LLC 2.. Invesco Mortgage Recovery Offshore Feeder Fund, L.P Invesco Mortgage Recovery Feeder Fund, L.P. Invesco Mortgage Recovery Master Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote 2..2 Invesco Mortgage Recovery Feeder Fund, L.P Invesco Mortgage Recovery Master Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote 2..3 Invesco Legacy Securities Offshore Feeder Fund, L.P Invesco Legacy Securities Feeder Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote

21 2..4 Invesco Mortgage Recovery Master Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote 2..5 Invesco Legacy Securities Feeder Fund, L.P 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) Invesco Mortgage Recovery Loans AIV, L.P Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2..8 Invesco Mortgage Recovery Loans Feeder Fund, L.P. (Cayman) Invesco Mortgage Recovery Loans AIV, L.P Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2..9 Invesco Mortgage Recovery Loans AIV, L.P Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2.2 WLR IV PPIP Co-Invest Offshore Feeder Fund, L.P WLR IV PPIP Co-Invest, L.P Invesco Mortgage Recovery Master Fund, L.P.

22 Invesco Legacy Securities Master Fund, L.P. See Endnote 2.3 WLR IV PPIP Co-Invest, L.P Invesco Mortgage Recovery Master Fund, L.P Invesco Legacy Securities Master Fund, L.P. See Endnote 2.4 WLR IV PPIP Coinvest Loans Feeder Fund, L.P. (DE) 2.4. WLR IV PPIP Co-Invest Loans AIV, L.P Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2.5 WLR IV PPIP Coinvest Loans Feeder Fund (Cayman), L.P WLR IV PPIP Co-Invest Loans AIV, L.P Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2.6 WLR Whole Loan Fund, L.P WLR LeFrak (rthwest) 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 rth Funding LLC (real estate loan) IMRF Hotel Member LLC (real estate loan) Park Place Apollo Investor LLC (real estate loan)

23 2.6.8 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 Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote 2.8 WLR/IVZ Mortgage Recovery Associates LLC -- Carried See Endnote $,000,00 - $5,000,000 3 Starboard GP Ltd. See Endnote $50,00 - $00,000 Dividends $50,00 - $00, Starboard Recovery Associates, L.P. 3.. WLR Navig8 Co-Investment, L.P WLR/TRF Shipping S.a. r.l. See Endnote 3.2 Transportation Recovery Fund, L.P. -- Carried (value not readily ascertainable) See Endnote 4 IRA - Traditional 4. WLR Recovery Associates, II LLC $250,00 - Dividends $00,00 - $,000, WLR Recovery Fund II, L.P International Textile Group (textiles) (no longer held) WLR Cone Mills Surplus Assets LLC (textiles) (no longer held) Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) Nano-Tex LLC (textiles) (no longer held)

24 IAC Group rth America LLC (automotive parts) IAC Group Brazil LLC (automotive parts) 4.2 WLR Recovery Associates III, LLC $500,00 - $,000,000 Dividends $5,00 - $5, WLR Recovery Fund III, L.P International Textile Group (textiles) (no longer held) IAC Group rth America LLC (automotive parts) IAC Group Brazil LLC (automotive parts) OCM India Limited (textiles) (no longer held) 4.3 WLR Recovery Associates IV, LLC See Endnote $50,00 - $00, U.S. brokerage/investment account (cash) $00, WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) $50,00 - $00, WLR Recovery Associates IV DSS AIV, L.P. See Endnote 4.6 UBS AG Deposit Account (cash) $500,00 - $,000,000 5 IRA - Roth Dividends $5,00 - $5, Aperam NY Reg. $00, ArcelorMittal SA NY Reg. $250, U.S. brokerage/investment account (cash) $00,00 -

25 5.4 UBS AG Deposit Account $,000,00 - $5,000,000 6 India Asset Recovery Associates LLC See Endnote $00,00 - Dividends $20 - $, India Asset Recovery GP Ltd. (Cayman) 6.. India Asset Recovery Fund LP -- Carried (value not readily ascertainable) See Endnote 6..2 India Asset Recovery Fund LP India Asset Recovery Fund Limited OCM India Limited (textiles) 7 Ross CG GP LLC 7. Ross CG Associates, LP $,000,00 - $5,000, Taiyo Pearl GP, L.P. Dividends Over $5,000, Taiyo Pearl Delaware Fund, L.P. Taiyo Pearl Master Fund, L.P. Nifco Inc. (plastics) J Trust Co. Ltd. (financial services; real estate) Matsui Securities Co. Ltd. (financial services) Topcon Corp. (positioning instruments) Ulvac Inc. (machinery)

26 Disco Corp. (precision tools) 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 Taiyo Pearl Master Fund, L.P. See Endnote Taiyo Pearl Fund, Ltd Taiyo Pearl Master Fund, L.P. See Endnote Taiyo Pearl Master Fund, L.P. See Endnote 7.2 Ross CG Associates, LP - Carried See Endnote $,000,00 - $5,000, Ross CG Cypress Associates, LLC See Endnote $50,00 - $00, Ross CG Cypress Associates, LP See Endnote Dividends $5, Ross CG Cypress Associates, LP -- Carried See Endnote $00, Ross CG Pearl Associates, LLC 7.4. Ross CG Pearl Associates, LP -- carried interest See Endnote $00,00 -

27 8 WL Ross GP LLC 8. Asia Recovery Associates L.P. -- Carried See Endnote $,000,00 - $5,000, Asia Recovery Associates L.P Asia Recovery Co-Invest Partners, L.P. $,00 - $5, Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) 9 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) 9. WLR Recovery Associates IV DSS AIV, L.P. See Endnote $,000,00 - $5,000, WLR Recovery Fund IV DSS AIV, L.P. See Endnote 9.2 WLR Recovery Fund IV DSS AIV, L.P. -- Carried See Endnote $,000,00 - $5,000, Starboard WLR Associates L.P. $5,000,00 - $25,000, Starboard Recovery Associates, L.P. See Endnote 2 Ross Expansion GP, LLC 2. Ross Expansion FLP, LP -- carried interest See Endnote $5,000,00 - $25,000, Ross Expansion FLP, LP See Endnote $00, Ross Expansion Associates, L.P WLR Euro Wagon Management Limited (Jersey) IPE Euro Wagon L.P. (Jersey) See Endnote Euro Wagon, LP See Endnote

28 Euro Wagon II, LP See Endnote 22 NKK Corporation Honorarium from speech in March 206. Donated to The Japan Society. $, Rothschild Profit Sharing Plan (underlying assets are not ascertainable) See Endnote Distributions from plan. $2, WLR Select Associates DSS GP Ltd. (Cayman) 24. WLR Select Associates DSS, L.P. See Endnote 24.. WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote WLR Select Co-Investment, L.P. (Cayman) -- Carried (value not readily ascertainable) WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) See Endnote WLR Mezzanine Splitter, L.P. (Cayman) See Endnote WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote WLR Select Co-Investment, L.P. (Cayman) WLR IV VM II LLC See Endnote Navigator Holdings Ltd. (transoceanic shipping) PB Materials Holdings Inc. (construction) DSS Holdings, L.P. (shipping)

29 24.2 WLR Select Co-Investment Mezzanine AIV Blocker, L.P. (Cayman) WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) (value not readily ascertainable) See Endnote 25 WLR Nanotechnology GP LLC See Endnote $,00 - $5, Masters Capital Nanotechnology Fund, LP. -- Carried (not readily ascertainable) See Endnote 25.2 Masters Capital Nanotechnology, LLC Masters Capital Nanotechnology Fund, LP Daylight Solutions, Inc. Nanosys, Inc. 26 WLR Nanotechnology LP LLC $500,00 - $,000, Masters Capital Nanotechnology Fund, LP. See Endnote 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 is considered friendly, so my outstanding unvested shares will vest once I resign from Invesco. 2/203

30 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 2 WLR Recovery Associates II, LLC New, New 3 WLR Recovery Associates III, LLC New, New 4 WLR Recovery Associates IV, LLC New, New I am 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. WL Ross Group LP serves 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. WL Ross Group LP serves 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. 3/2002 8/2005 / 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 and the rest will vest at the end of /205 6 WLR Recovery Associates V, LLC New, New 7 Starboard GP Ltd. New, New WL Ross Group LP serves 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 serve 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. 2/20 0/203

31 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 8 WLR Select Associates LLC New, New 9 WLR/IVZ Mortgage Recovery Associates LLC New, New 0 WLR Mezzanine Associates, LLC New, New India Asset Recovery Associates LLC New, New 2 Asia Recovery Associates, L.P. New, New 3 WLR China Energy Infrastructure Fund, L.P. New, New WL Ross Group serves 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. WL Ross Group LP serves 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. WL Ross Group serves 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 serve 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. WL Ross Group LP serves 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. WL Ross Group LP is a shareholder in WL Ross Group (Cayman) Ltd, which indirectly holds 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. 2/200 0/2009 5/205 2/2006 4/2005 2/2008

32 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 4 WLR Conduit MM LLC New, New 5 Rothschild Profit Sharing Plan See Endnote New, New 6 Ross CG Associates, LP New, New 7 Ross CG Cypress Associates, LP New, New 8 Ross CG Pearl Associates, LP New, New 9 Ross Expansion FLP L.P. New, New I have different arrangements for the various underlying assets. For the Shellpoint investment, I receive an 8% preferential return, plus a 0% carried interest. For the Subsequent Platform Company asset, I receive s 20% carried interest. For the energy bonds, I receive an index amount, plus a 5% carried interest. I receive approximately $,000 per year in distributions from this plan. Within 90 days of confirmation, I will irrevocably assign the rights to these payments to a public charity prior to my assuming the duties of the position of Secretary. Ross CG GP LLC serves 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. Ross CG GP LLC serves 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. Ross CG GP LLC serves 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 serve 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. /200 /976 3/2005 4/2008 8/2007 2/2005

33 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 20 WLR Nanotechnology GP LLC New, New 2 WLR Recovery Associates LLC New, New I serve 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. WL Ross Group LLP serves 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. /2006 0/ WLR Recovery Associates IV DSS LP (Cayman), Outside U.S. I am 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. /20 23 WLR Recovery Associates V DSS LP (Cayman), Outside U.S. I am 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. 24 WLR Select Associates DSS, L.P. (Cayman), Outside U.S. I am 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. 2/20 2/ WLR Master Co-Investment SLP GP Ltd. (Cayman), Outside U.S. This entity is the General Partner of a partnership holding a carried interest in the WLR/GS Master Co- Investment L.P. fund. 8/20 26 Invesco, Ltd. Atlanta, Georgia I will receive a discretionary performance-based bonus for services rendered in 206. This bonus will be paid prior to my assuming the duties of the position of Secretary. 27 Invesco Ltd. Atlanta, Georgia I participate in Invesco's 40k plan. I will cash out of this plan within 90 days of my confirmation. 0/2006 0/2006

34 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 28 Invesco Mortgage Recovery Master Associates II New, New I serve 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/ WLR Master Co-Investment SLP Associates, L.P. (Cayman), Outside U.S. WL Ross Group LP is 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. 4/20 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES Invesco, Ltd. Atlanta, Georgia CEO of Private Equity Groups division with company. Receives his salary and bonus from Invesco Group Services. 2 ArcelorMittal Luxembourg, Outside U.S. Independent Director on the Board of Directors. 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 $,00 - $2,500 2 Dreyfus Government Cash Mgmt Admin Yes Over $,000,000

35 3 Amphenol Corp CL A $250,00-4 Atara Biotherapeutics Inc Com $5,00-5 Boeing Co. $250,00-6 CDW Corp Com USD0.0 $250,00-7 CME Group Inc. $250,00-8 Moodys Corp $250,00-9 MSCI Inc Com $250,00-0 Neustar Inc. CL A $00,00 - SVB Finl Group $250,00-2 Verisk Analytics Inc. Com $250,00-3 Wex Inc Com $250,00-4 Zoetis Inc Com USD0.0 CL A $250,00-5 HSBC HLDGS PLC PERP SUB CAP SECS $250,00-6 Wells Fargo & Co New Dep SHS REPSTG $00,00 - Dividends $2,50 - $5,000 Dividends $5,00 - $5,000 Dividends $2,50 - $5,000 Dividends $5,00 - $5,000 Dividends $5,00 - $5,000 Dividends $2,50 - $5,000 Dividends $,00 - $2,500 Dividends $5,00 - Dividends $5,00 - $5, Other Assets and Income

36 U.S. Brokerage Account #. Cash Over,000 $5,00 - $5,000.2 Pound Sterling (cash account in overseas JP Morgan account) $00, U.S. Treasury 8.75% 5/5/ DY- NR/AAA $5,000,00 - $25,000,000 $00,00 - $,000,000.4 Bear Stearns Co. Inc. 6.4% Oct 2, 207 DTD 0/02/ PR-3 A/A3 $5,000,00 - $25,000,000 $00,00 - $,000,000.5 Bear Stearns Co. Inc. 7 /4% Feb, 208 DTD 02/0/ RU-4 A-/A3 $5,000,00 - $25,000,000 $00,00 - $,000,000.6 Anheuser Busch INBEV WOR 7 3/4% Jan 5, 209 DTD 0/5/ BE-7 A/NR than $,00) $00,00 - $,000,000.7 Caterpillar Financial SE Medium Term te 7.5% Feb 5, 209 DTD 02/2/ L-4E-8 A/A2 than $,00) $00,00 - $,000,000.8 Goldman Sachs Group Inc. SR tes 7 /2% Feb 5, 209 DTD 02/5/ E-A2-5 A-/BAA than $,00) $00,00 - $,000,000.9 MetLife Inc. tes 7.77% Feb 5, 209 DTD 02/5/ R-AT-5 A-/A3 than $,00) $00,00 - $,000,000.0 Morgan Stanley 7.3% May 3, 209 DTD 05/3/ Y-CG-8 A-/BAA than $,00) $00,00 - $,000,000. Dow Chemicals Co., The tes 8.55% May 5, 209 DTD 05/3/ BX-0 BBB/BAA than $,00) $00,00 - $,000,000.2 Citigroup Inc. SR tes 8 /2% May 22, 2009 DTD 05/22/ EV-9 A-/BAA than $,00) $00,00 - $,000,000.3 Bank of America Corp SR tes 7 5/8% Jun 0, 209 DTD 06/02/ G-DZ-9 A- /BAA than $,00) $00,00 - $,000,000.4 General Elec Cap Corp 6% Aug 07, 209 DTD 08/07/ G-4D-3 AA+/A than $,00) $00,00 - $,000,000

37 .5 XTO Energy Corp 6/2% Dec 5, 208 DTD 08/07/ X-AT-3 AAA/AAA than $,00) $50,00 - $00,000 2 U.S. Brokerage Account #2 2. Cash account $250, Cash account 2 Over, UBS Select Prime Institutional Fund Yes than $,00) $20 - $,000 $5,00 - $20 - $, Tennessee Gas Pipeline NTS B/E 8.000% Matures 02/0/206 CUSIP 88045AY5 than $,00) $00,00 - $,000, Metlife Inc NTS B/E 6.750% Matures 06/0/206 CUSIP 5956RAU2 than $,00) $50,00 - $00, Natl Rural Util Coop Fin 0.375% Matures /0/206 CUSIP LR4 than $,00) $00,00 - $,000, Baker Hughes Inc. NTS 7.500% Matures /5/208 CUSIP AY3 than $,00) $50,00 - $00, Goldman Sachs Group NTS 7.500% Matures 02/9/209 CUSIP 384EA25 than $,00) $50,00 - $00, Dow Chemical Co NTS 8.550% Matures 05/5/209 CUSIP BX0 than $,00) $50,00 - $00, Bank of Amer Corp NTS OBP B/E 7.625% Matures 06/0/209 CUSIP 0605GDZ9 than $,00) $00,00 - $,000, Republic of Korea NTS Foreign Security 7.25% Matures 04/6/209 ISIN US50064FAJ30 than $,00) $00,00 - $,000, UBS Select TX FR Capital Yes than $,00) 3 U.S. Brokerage Account #3 3. Southwestern Public Service Co. NTS ISIN CUSIP BM % Matures 2/0/208 $5,000,00 - $25,000,000 $00,00 - $,000,000

38 3.2 Cash $5,000,00 - $25,000,000 4 U.S. Brokerage Account #4 4. Southwestern Public Service Co. NTS ISIN CUSIP BM % Matures 2/0/208 than $,00) $,000,00 - $5,000, United States Treasury BDS 9.250% NTS ISIN CUSIP 9280DV7 Matures 02/5/206 than $,00) $,000,00 - $5,000, XTO Energy Inc. SR NTS 6.500% NTS ISIN CUSIP 98385XAT3 Matures 2/5/8 than $,00) $00,00 - $,000,000 5 U.S. Brokerage Account #5 (cash) See Endnote $00,00-6 U.S. Brokerage Account #6 (cash) $,000,00 - $5,000,000 7 U.S. Bank Account # (cash) $500,00 - $,000,000 8 U.S. Money Market Account # (cash) $50,00 - $00,000 9 U.S. Money Market Account #2 (cash) $,000,00 - $5,000,000 $20 - $,000 $2,50 - $5,000 $5,00-0 U.S. Brokerage Account #7 (cash) See Endnote than $,00) U.S. Brokerage Account #8. Aperam NY Reg Shares (steel) $500,00 - $,000,000.2 Federated Govt Obl; II Yes $5,00-2 Arcelor Mittal SA $500,00 - $,000,000 3 Nexeo Solutions stock $25,000,00 -,000 Dividends Dividends Dividends $,00 - $2,500 $5,00 - $5,000 $50,00 - $00,000

39 4 Art Collection Over,000 5 U.S. Brokerage Account #9 5. Cash deposit account $00, UBS Select Govt Capital Yes $250, UBS Select Prime Capital Yes than $,00) 6 U.S. Bank Account #2 (cash) $00,00-7 Intercontinental Exchange, Inc. $250,00-8 YG Partners Fund, LP Yes $,000,00 - $5,000,000 9 Formation8 Partners Entrepreneur Fund II Yes $50,00 - $00, Formation8 Partners Fund I Yes $500,00 - $,000, Partners VC Fund I, L.P. Yes $50,00 - $00, WLR Recovery Associates III LLC See Endnote $00,00-23 WLR Recovery Associates II LLC See Endnote $00,00 - $20 - $,000 $,00 - $2,500 Dividends $5,00 - Dividends $5,00 - $5,000 $00,00 - $,000, U.S. Brokerage Account #0 24. Spouse - Trust: Under Will Dreyfus Government Cash Mgmt Admin Yes $50,00 - $00, Amphenol Copr CL A $00,00 - Dividends $,00 - $2,500

40 24..3 Boeing Co. $00, CDW Corp Com USD0.0 $250, CME Group Inc. $00, MSCI Inc Com $00, Neustar Inc. CL A $00, SVB Finl Group $50,00 - $00, Verisk Analytics Inc. Com $00,00 - Dividends $5,00 - Dividends $,00 - $2,500 Dividends $2,50 - $5,000 Dividends $,00 - $2, Wex Inc Com $00,00 - Zoetis Inc Com USD0.0 CL A $00,00 - Dividends $,00 - $2, SPDR S&P 500 ETF Trust Unit SER S&P Yes Over $,000,000 $5, Spouse - Trust: Under Agreement Dreyfus Government Cash Mgmt Admin Yes $250, Boeing Co. $250, Chevron Corp New Com $250, CME Group Inc. $500,00 - $,000, Merck & Co. Inc New Com $00,00 - Dividends $5,00 - $5,000 Dividends $5,00 - Dividends $5,00 - $5,000 Dividends $5,00 - $5,000

41 Moodys Corp $250, MSCI Inc Com $00, Neustar Inc CL A $250, SVB Finl Group $250,00 - Dividends $5,00 - $5,000 Dividends $2,50 - $5, Verisk Analytics Inc Com $250,00 - Wex Inc Com $250,00 - Zoetis Inc Com USD0.0 CL A $250,00 - Dividends $2,50 - $5, SPDR S&P 500 ETF Trust Unit SER S&P Yes Over $,000,000 $5, Spouse - Trust: Under Will Fireeye Inc Com $00, New Jersey St Tran Corp Grant Antic Ntw $250, El Paso Cnty Facs Corp Colo Ctfs Partn $250, rth Tex Twy Auth Rev Ref Bds Ser $250, Leander Tx Indpt Sch Dist Ult Tax Ref $250, Illinois Fin Auth Rev Rev Bds Trinity $00, Atlanta Ga Dev Auth Rev Rev Bds Georgia $250,00 - $5,00 - $5,00 - $5,00 - $5,00 - $5,000 $5,00 - $5,000 $5,00 - $5,000

42 Gainesville & Hall Cnty Ga Hos P Auth $00, Chicago Ill Tran Auth Cap Grnt Rcpts $250,00 - $5,00 - $5,000 $5, Fort Myers Fla Cap Impt Rev Cap Impt $00,00 - New Jersey St Higher Ed Assistance Auth $250,00 - Houston Tex Cmnty College Sys Rev $250,00 - Key West Fla Util Brd Elec Rev Elec $00,00 - Buffalo & Ft Erie N Y Pub Brog Auth Toll $00,00 - Lee Cnty Fla Sch Brd Cifs Partn Cops $250,00 - Texas St Pub Fin Auth Rev Financing $250,00 - New Orleans La Go Ref Bds Ser 205 $250,00 - Reedy Creek Impt Dist Fla Ad Valorim $250,00 - rthern Ind Commuter Transn Dist $250,00 - Indiana St Fin Auth Wastewater Util Rev $250,00 - Alamo Tex Cmnty College Dist Ltd Tax $250,00 - New Liberty Dev Corp Liberty Rev $250,00 - HSBC Hldgs Plc Perp Sub Cap Secs Secs $00,00 - $5,00 - $5,000 $5,00 - $5,00 - $5,00 - $5,000 $5,00 - $5,00 - $5,00 - $5,00 - $5,000 $5,00 - $5,00 - $5,00 - $5,00 - $5,000 $5,00 - $5,00 - $5,000

43 State St Instl Liquid Resvs Fd Shs Ben Int $00,00 - $20 - $, Birmingham Ala Go Refunding Warrants Series $250,00 - $5, New Prairie UTD Sch Bldg Corp. $250,00 - $5,00 - $5, Dreyfus Government Cash Mgmt Admin Yes $250,00-26 Amphenol Copr CL A Over $,000,000 Dividends $5,00-27 Apple Inc. $500,00 - $,000, Atara Biotherapeutics Inc Com $00,00 - Dividends $5,00-29 Boeing Co. Over $,000,000 Dividends $50,00 - $00, CDW Corp Com USD0.0 Over $,000,000 Dividends $5,00-3 CME Group Inc. Over $,000,000 Dividends $00,00 - $,000, Moodys Corp Over $,000,000 Dividends $50,00 - $00, MSCI Inc Com $500,00 - $,000, Neustar Inc CL A $500,00 - $,000,000 Dividends $5,00-35 SVB Finl Group Over $,000, Verisk Analytics Inc Com Over $,000, Wex Inc Com Over $,000,000