Grady 2010

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FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERSNJSEC F

P

INSTRUCTIONS:

Detailed instructions for completing this form are available on the Commissions website,

Public Officers must complete this form in full. Public employees who hold positions in the Executive Branch of State

Government are not required to complete this form, but must complete and file form FDS10/1.

The completed form must be forwarded to the State Ethics Commission, PO Box 082, Trenton, NJ 08625-0082. (Hand

delivery address: 28 West State Street, Room 1407, Trenton, NJ 08608) The form must contain an original signature and an

original notarization unless electronically filed. Questions should be directed to the Director of the State Ethics Commission,

PO Box 082, Trenton, NJ 08625-0082, Telephone (609) 292-1892.

nj.gov/ethics/disclosure/financial/.

a. General InformationFiling Year: 2010

Date of Statement: November 30, 2010

First Name: Robert M.I. E.

Last Name: Grady

Position Held: Member (Chairman), State Investment Council

Department or Agency: State Investment Council

Other compensated or uncompensated governmental positions you hold:

Chairman, Governor's Council of Economic Advisors, State of New Jersey

b. Please list below any occupation, trade, business, profession or employment engaged in by you, your spouse/civil

union partner, your domestic partner, or your dependent children.

Managing Director, Cheyenne Capital Fund, L.P.

Do you hold a license issued by a State agency that entitles you to engage in a particular business, profession, trade or

occupation (e.g., law, real estate, engineering, medicine, plumbing)? If yes, please so indicate:

License License is active License is inactive

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FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERS NJSEC F

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Do you have any personal contractual or business relationship with another officer or employee or special State officer or

employee of your agency?

Yes No

f yes, please explain.

c. State Employment - Relatives

For the purposes of this question, "relative" means your spouse/civil union partner or your or your spouse's/civil union partner

parent, child, brother, sister, aunt, uncle, niece, nephew, grandparent, grandchild, son-in-law, daughter-in-law, stepparent,

stepchild, stepbrother, stepsister, half brother or half sister, whether the relative is related to you or your spouse by blood,

marriage or adoption.

1. Is any relative employed in a State office or position?

Yes No

2. If yes, name of relative(s) and employing agency.

3. Do you exercise authority, supervision or control (including personnel actions) over the individual(s) named above?

Yes No

d. Ethics Training

1. Have you completed ethics training? Yes No

2. If yes, indicate nature of training: in-person on-line

3. If in-person, training provided by: agency State Ethics Commission

4. Date most recent training completed: September 2010

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e. AssetsPa

List all assets, both tangible and intangible, in which you, your spouse/civil union partner, your domestic partner or

your dependent children hold an interest as of the date of this statement.

Identify assets with check mark. Do not indicate dollar value. If asset is held jointly, place a check mark in the Public

Officer box. The word joint should then be noted in the Spouse / Civil Union Partner / Domestic Partner box.

Please fill in each line; indicate not applicable with "N/A" or "None."

ASSETS

(Valued at more than $1,000)

PublicOfficer:

Spouse/

CivilUnionPartner/

DomesticPartner:

Dependent

Children:

ASSETS

(Valued at more than $1,000)

PublicOfficer:

Spouse/

CivilUnionPartner/

DomesticPartner:

Dependent

Children:

CASH ON HAND IN BANK X XNEW JERSEY REAL ESTATE INTERESTS -

Itemize on Schedule C

NOTES RECEIVABLE- Indicate Nature

of Note on Item h.5 on page 4.REAL ESTATE INTERESTS OUTSIDE

OF NEW JERSEY X X

ACCOUNTS RECEIVABLE - Indicate

Nature of Account on Item h.5

on page 4.

PENSION FUND

(include IRA, Keogh, Annuities, State

Pension, etc.)

X

GOVERNMENT BONDS

Itemize on Schedule A X

LIFE INSURANCE

STOCKS & CORPORATE BONDS

(Include Mutual Funds)

Itemize on Schedule A

X X

VEHICLES X X

INTEREST IN CONTRACTS WITH

GOVERNMENT INSTRUMENTALITIES

Itemize on Schedule B

OTHER ASSETS

(Itemize Below)

f. Are you, your spouse/civil union partner, your domestic partner or your dependent children a

party to a blind trust agreement? If yes, please provide the name and address of the Trustee.Yes

Name:

Address:

g. Do you, your spouse/civil union partner or your domestic partner have any interest in any closely

held corporation, partnership, sole proprietorship, or similar business entity? Yes

If yes, itemize on Schedule D.

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FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERS NJSEC FD

h. IncomePag

Public officers, their spouses/civil union partners or their domestic partners, and dependent children must indicate the

source of their incomes. Public officers filing before July 1 of any year must provide this information for the preceding

calendar year. Public officers filing after July 1 of any year must provide this information for the 12-month period prior to

filing. Income from any source totaling less than $1,000 need not be disclosed. The following gifts need not be reported:

(1) cash gifts of less than $100 in the aggregate received from a person, (2) non-cash gifts with fair market value of less

than $200 in the aggregate received from a person, and (3) gifts of less than $3,000 in the aggregate received from arelative. Please fill in each line; indicate not applicable with "N/A" or "None."

Indicate sources of income with a check mark. Do not indicate dollar value.

Public

Officer:

Spouse /

Civil Union

Partner /

Domestic

Partner:

Dependent

Children:

1. All compensated employment of whatever nature, including current State or other employment.

Please list commencement and, if applicable, termination date. Be sure to include the name of

the employer(s):

Cheyenne Capital Fund, L.P. X

Stanford University, Hoover Institution X

2. All directorships and other fiduciary positions for which compensation has or will be received:

Maxim Integrated Products, Inc. X

Stifel Financial/Thomas Weisel Partners, Inc. X

AuthenTec, Inc. (resigned June 2010) X

eScreen, Inc. X

3. All contractual arrangements producing or expected to produce income, including but not limited

to buyout agreements and severance payments:

TC Group, L.P. (The Carlyle Group and Related Entities) X

4. All capital gains: (Itemize on Schedule E)

Goldman Sachs Brokerage Account X

Private Equity Partnerships X

5. All honoraria, lecture fees, gifts and other gratuities (cash or non-cash) and other miscellaneous

sources of income, including but not limited to Social Security and pensions, interest, dividends,

royalties, rents and accounts and notes receivable:

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Pa

List any offices, trusteeships, directorships or positions of any nature, whether compensated or uncompensated, held by you

your spouse/civil union partner, your domestic partner or dependent children, with any firm, corporation, association, partner

or business. If such firm, corporation, association, partnership or business does business with a casino or does business wi

the State, or is regulated, licensed or inspected by any State agency, please identify the State agency or casino.

Position Held

Firm, Corporation, Association,

Partnership or BusinessState Agency Casino

Indicate whether h

public officer, spo

civil union partn

domestic partne

dependent child

Partner Cheyenne Capital Fund/Seneca Equity Public Office

Director Maxim Integrated Products, Inc. Public Office

Director Stifel Financial, Inc. Public Office

Director eScreen, Inc. Public Office

Director Viator, Inc. Public Office

Director Eleutian Technology, Inc. Public Office

Director Symbio, LLC Public Office

Trustee Pardee RAND Graduate School Public Office

Visiting Fellow Stanford University Hoover Institution Public Office

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FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERS NJSEC FD

j. Liabilities: Pa

List all of your liabilities and those of your spouse/civil union partner, your domestic partner or your dependent

children and identify the creditor. List value class of liabilities of public officer and spouse/civil union partner or

domestic partner only. Include all liabilities that have been forgiven by any creditor within the last twelve months,

stating the name of the creditor to whom the liability was owed. Liabilities include, but are not limited to, notes,

accounts payable, past due taxes, mortgages or liens, and loans on life insurance.

The following liabilities need not be reported: less than $10,000 owed to a relative; less than $1,000 owed to any

other person; loans secured by a personal motor vehicle, household furniture or appliances where the loan did not

exceed the purchase price of the item and the outstanding balance did not exceed $10,000 as of the close of the

preceding calendar year; and revolving charge accounts where the outstanding liability did not exceed $10,000 as

of the close of the preceding calendar year. Indicate not applicable with "N/A" or "None."

Obligation of : (check)

Description

(Type of obligation and nature of

security, if any)Creditor

Value

Class

Check if

Forgiven

in Past 12

MonthsPublic

Officer:

Spouse/Civil

UnionPartner/

Domestic

Partner:

Dependent

Children:

None

VALUE CLASS

A = greater than $1,000 but not more than $5,000

B = greater than $5,000 but not more than $25,000

C = greater than $25,000 but not more than $50,000

D = greater than $50,000 but not more than $100,000

E = greater than $100,000 but not more than $250,000

F = greater than $250,000 but not more than $500,000G = greater than $500,000

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FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERS NJSEC

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SCHEDULE A - STOCKS AND BONDS HELD

List the type of securities owned by you, your spouse/civil union partner, your domestic partner or your dependent

children; list the name of the company, mutual fund, holding company or government agency issuing the stocks and

bonds. If your ownership interest exists through a mutual fund or holding company, you need not list the individual

stocks so owned; you must, however, list the mutual fund or holding company. If your ownership interest exists through

a beneficial interest in a trust, list the stocks and bonds so owned if you have such knowledge; otherwise list the name ofthe trustee. Do not indicate dollar value.

Indicate not applicable with "N/A" or "None."

Held by:(check)

Type of Security

(Stock or Bond)

Name of Issuing Company, Mutual Fund, Holding

Company or Government Agency

PublicOfficer:

Spouse/CivilUnion

Partner/Domestic

Partner:

Dependent

Children:

Percentage

Ownership*

Stock IShares MSCI EAFE Index X

Stock IShares Russell 2000 Index X

Stock SPDR S&P 500 ETF Trust X

Stock Stifel Financial X

Stock Maxim Integrated Products X

Stock Authentec, Inc. X

Stock Parametric Portfolio Associates X

Stock Sound Shore Large Cap Value X

Stock NWQ Small-Mid Cap Value X

Stock GS TACS Active Continuous International LLC X

Stock GS Non-US Equity Mgrs Portfolio 2 Series X

Stock UBS Large Cap Equity Fund X

Stock GS Global Equity Opportunity Fund, LP X

Stock GS Hedge Fund Opportunity Fund, LP X

Stock GS Real Estate Opportunity Fund, LP X

Bond GS Structured Commodity Note X

Bond Massachusetts State Gen Obligation X

Bond New York State Thruway Authority X

Bond Tacoma Electric System Rev Refinancing X

*Individuals who own more than 10% of the total stock of any company must disclose the percentage of ownership.

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SCHEDULE B - INTERESTS IN CONTRACTS WITH GOVERNMENT INSTRUMENTALITIES

List below any direct or indirect interest, whether vested or contingent, held by you, your spouse/civil union partner, your

domestic partner or dependent children, in any contract made or executed by a government instrumentality - (State,

County, Municipality or other public agency in New Jersey). Indicate not applicable with "N/A" or "None."

Government Instrumentality

Description of Interest and Nature of Contract

Public

Officer:

Spouse/Civil

UnionPartner/

DomesticPartner:

Dependent

Children:

None

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SCHEDULE C - NEW JERSEY REAL ESTATE INTERESTSP

1. List all of your New Jersey real estate holdings and those of your spouse/civil union partner or domestic partner and

dependent children. New Jersey real estate holdings must include the county, and current use of any real property in whic

any direct, indirect, vested or contingent interest is held by you, your spouse/civil union partner or domestic partner or

dependent children, along with the names of all individuals or entities who share a direct or indirect interest therein.


Held by: (check)

County

Individuals or Entities

Sharing Interest Current Use*

Acquisition Date

PublicEmployee:

Spouse/

CivilUnionPartner/

DomesticPartner:

Dependent

Children:

None

*Specify if commercial, industrial, residential, rental, farm or vacant.

2. Do any of the individuals who are listed above as sharing a real estate interest with the public officer, spouse/civil unionpartner, domestic partner or dependent children of the public officer work for the same State agency as the public officer?

If so, identify the individuals.

Supervisor / Subordinate Relationship? Yes No

Name:

3. List the name of any government instrumentality that is a tenant in 1. above and any government instrumentality that has

before it an application, complaint or proceeding directly affecting any real property listed above.

County Government Instrumentality Tenant Government Instrumentality

with Proceedin Pendin

None

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SCHEDULE D - INTEREST IN CLOSELY HELD CORPORATIONS OR SIMILAR BUSINESS ENTITIESP

If you, your spouse/civil union partner or your domestic partner have any interest in any closely held corporation,

partnership, sole proprietorship, or similar business entity, please provide the requested information for each

business entity. ''Interest'' means ANY ownership or control of ANY profits or assets of such business entity.


Interest Held By: Public Officer Spouse / Civil Union Partner Domestic Partner

BUSINESS NAME: Cheyenne Capital Fund/Seneca Equity Partners, L.P.

ADDRESS: 1430 Wynkoop Street, Suite 200

CITY: Denver STATE: CO

General description of business activity of entity:

Private equity investment partnership

Duties and responsibilities of your State position:

Oversee policies governing the investment of the New Jersey state pension system, as managed by the Division of

Investment.

BUSINESS NAME: TCG Holdings LLC, TC Group II, L.P., and related (The Carlyle Group and related entities)

ADDRESS: 1001 Pennsylvania Avenue, NW

CITY: Washington STATE: DC


Private equity investment partnerships

BUSINESS NAME: eScreen, Inc.

ADDRESS: PO Box 25902

CITY: Overland Park STATE: KS


Provider of instant drug testing and background check services

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SCHEDULE E - CAPITAL GAINS

Gain Received By:

(check)Indicate not applicable with "N/A" or "None".

Item Sold

Description

(e.g., real property,

stock name)

Date

Acquired

Date

Sold

Name of Purchaser If Known

PublicOfficer:

Spouse/

CivilUnion

Partner/

DomesticP

artner:

Dependent

Children:

Multiple stocks GS TACS II various various N/A X

Multiple stocks Sound Shore Lg. Cap Value various various N/A X

Multiple stocks NWQ Sm-Mid Cap Value various various N/A X

Multiple stocks GS TACS II Int'l Continuous various various N/A X

Multiple stocks UBS Large Cap Stock Portfoli various various N/A X

Multiple stocks Dearborn Partners Stock Fnd various various N/A X

Note GS FTSE/Xinhua Struc. Note 2004 2010 N/A X

Multiple stocks GS TACS LH (S&P 500) various various N/A X

Multiple stocks Orphan Fund, L.P. various various N/A X

Private co.inv.s TCG Holdings LLC various various N/A X

Private co.inv.s TCG Holdings Cayman, LP various various N/A X

Multiple stocks GS Non-US Eq. Mgrs Port 2 varioius various N/a X

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Are you filing electronically?

NJSEC F

Yes No Pa

ATTESTATION

I hereby certify that I have read the foregoing statement and any addendum pages attached hereto and to the best

of my knowledge and belief, they are true, correct and complete. I further certify that I have not and will not

transfer any asset, interest, or property for the purpose of concealing it from disclosure while retaining an equitable

interest therein. I understand that I am subject to penalties for perjury.

Enter your full name: Robert E. Grady

This Financial Disclosure Statement was prepared by (check one):

Public Officer

Spouse / Civil Union Partner

Domestic Partner

Other (Please identify)

3835
https://www.formrouter.net/forms@ECOES/FDS/authcode.html

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NJSEC

FINANCIAL DISCLOSURE STATEMENT FOR PUBLIC OFFICERS


List the type of securities owned by you, your spouse, your domestic partner or your dependent children; list the name of

the company, mutual fund, holding company or government agency issuing the stocks and bonds. If your ownership

interest exists through a mutual fund or holding company, you need not list the individual stocks so owned; you must,

however, list the mutual fund or holding company. If your ownership interest exists through a beneficial interest in a

trust, list the stocks and bonds so owned if you have such knowledge; otherwise list the name of the trustee. Do notindicate dollar value.


Held by:(check)

Type of Security

(Stock or Bond)



PublicOfficer:

Spouse/Domestic

Partner:

Dependent

Children:

Percentage

Ownership*

Bond District of Columbia G.O. Ref. Bonds X

Bond Illinois State Sales Tax Revenue Bonds X

Bond Birmingham ALA G.O. Ref. Cap. Improvement X

Bond Perry Twp. IND Multi-School Bldg X

Bond Connecticut State G.O. Bonds X

Bond Dallas TX Area Rapid Transit Sales X

Bond Intermountain Power Agency Utah Power X

Bond Kentucky Asset/Liability Commn. X

Bond Chicago ILL Water Rev. Second Lien X

Bond Whatcom Conty WASH School District X

Bond Chicago ILL Park District G.O. Ref. Bonds X

Bond New York State Urban Devel. Corp. Rev. X

Bond Chicago ILL Pub Bldg. Commission X

Bond South Milwaukee WISC School District G.O. X

Bond WISC State Transportation Rev. Bonds X

Bond Michigan State Trunk Line Ref. Bonds X

Bond Florida State Board of Ed Lottery Rev. X

Bond Wash State G.O. Bonds X

Bond Pennsylvania State G.O. Bonds Second X


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NJSEC



List the type of securities owned by you, your spouse, your domestic partner or your dependent children; list the name of

the company, mutual fund, holding company or government agency issuing the stocks and bonds. If your ownership

interest exists through a mutual fund or holding company, you need not list the individual stocks so owned; you must,

however, list the mutual fund or holding company. If your ownership interest exists through a beneficial interest in a

trust, list the stocks and bonds so owned if you have such knowledge; otherwise list the name of the trustee. Do notindicate dollar value.


Held by:(check)

Type of Security

(Stock or Bond)



PublicOfficer:

Spouse/Domestic

Partner:

Dependent

Children:

Percentage

Ownership*

Bond Toledo OH Waterworks Rev. Bonds X

Bond Wisconsin State G.O. Bonds Series 2006 X

Bond Huntington IND Countywide Sch. Bldgs X

Bond Middlebury IND Schools Bldg. Corp. X

Bond Pennsylvania State G.O. Bonds Second X

Bond San Antonio TEX G.O. Bonds Series X

Bond Univ of Texas Univ Revenues Financing X

Bond South Carolina State Pub Service Authority X

Bond Cuyahoga County OH Ltd. G.O. Ref. X

Bond Washington State Various Purpose G.O. X

Stock Dearborn Partners Large Cap Portfolio X


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NJSEC


SCHEDULE D - INTEREST IN CLOSELY HELD CORPORATIONS OR SIMILAR BUSINESS ENTITIES

If you, your spouse or your domestic partner have any interest in any closely held corporation, partnership, sole

proprietorship, or similar business entity, please provide the requested information for each business entity.

''Interest'' means ANY ownership or control of ANY profits or assets of such business entity. Indicate not

applicable with "N/A" or "None."

Interest Held By: Public Officer Spouse Domestic Partner

BUSINESS NAME: Symbio LLC

ADDRESS: 1/F Gao Li 2000 Building No. 5, 5th Street, Shang Di

CITY: Beijing STATE: China


Software development and testing services



Investment.

BUSINESS NAME: Gryphon Investors III-A, L.P.

ADDRESS: One Market Tower

CITY: San Francisco STATE: CA


Private equity investment fund

BUSINESS NAME: Bank America Private Equity Portfolio II, LP

ADDRESS: 100 Federal Street

CITY: Boston STATE: MA


Private eqiuty fund-of-funds

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NJSEC








BUSINESS NAME: Bayview Investors, LP and related entities

ADDRESS: N/A

CITY: N/A STATE:


Remaining interests in venture capital co-investment funds held by the former Partners of Robertson Stephens &

Company



Investment.

BUSINESS NAME: Telesoft Partners II, L.P.

ADDRESS: 950 Tower Lane

CITY: Foster City STATE: CA


Venture capital fund

BUSINESS NAME: DCM Affiliates Fund IV, L.P.

ADDRESS: 2420 Sand Hill Road, Suite 200

CITY: Menlo Park STATE: CA


Venture capital fund

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NJSEC








BUSINESS NAME: Helion Ventures LLC

ADDRESS: Les Cascades, Edith Cavell Street

CITY: Port-Louis STATE: Mauritius


India-focused venture capital fund



Investment.

BUSINESS NAME: Orphan Fund, LP

ADDRESS: One Ferry Building



Small cap investment and hedge fund

BUSINESS NAME: Carlyle Global Partners Master Coinvestment Fund, LP

ADDRESS: 1001 Pennsylvania Avenue, NW

CITY: Washington STATE: DC


Private equity co-investment fund

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NJSEC








BUSINESS NAME: Dorset Capital, LP

ADDRESS: One Ferry Building



Private equity investment fund



Investment

BUSINESS NAME:

ADDRESS:

CITY: STATE:


BUSINESS NAME:

ADDRESS:

CITY: STATE:


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