2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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United States Senate
Financial DisclosuresCandidate ReportMr. W. Mitt RomneyState of Candidacy: UT | Candidacy Commenced: 02/16/2018
! Filed 03/23/2018 @ 9/27 AM
The following statements were checked before filing:
I certify that the statements I have made on this form are true, complete and correct to the best of myknowledge and belief.I understand that reports cannot be edited once filed. To make corrections, I will submit an electronicamendment to this report.
I omitted assets because they meet the three-part test for exemption.
Part 1. Honoraria Payments or Payments to Charity in Lieu of HonorariaDid any individual or organization pay you or your spouse more than $200 or donate any amount to a charity onyour behalf, for an article, speech, or appearance? Yes
# Date Activity Amount Who Paid? Who received payment?
1 02/01/2017 Speech $99,500.00 Deutsche BankNew York, NY
Self
2 03/02/2017 Speech $15,000.00 American Appareland FootwearAssociationWashington, DC
A Charity
3 03/02/2017 Speech $15,000.00 New BalanceBoston, MA
A Charity
4 04/05/2017 Speech $100,000.00 McKinsey &CompanyNew York, NY
Self
5 04/05/2017 Speech $100,000.00 TD AmeritradeOmaha, NE
Self
6 04/05/2017 Speech $98,792.00 US ChamberInstitute for LegalReformWashington, DC
Self
7 06/21/2017 Speech $20,000.00 BiotechnologyInnovationOrganizationWashington, DC
Spouse
8 08/18/2017 Speech $60,000.00 Academy MortgageDraper, UT
Self
9 08/18/2017 Speech $40,000.00 Goldman SachsNew York, NY
Self
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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10 08/18/2017 Speech $100,000.00 National MultifamilyHousing CouncilWashington, DC
Self
11 08/18/2017 Speech $100,000.00 NBCUniversal Media,LLCNew York, NY
Self
12 08/21/2017 Speech $40,000.00 Goldman SachsNew York, NY
Self
13 08/21/2017 Speech $100,000.00 Blue Cross BlueShieldChicago, IL
Self
14 08/21/2017 Speech $100,000.00 Itau BBASao Paulo, Brasil
Self
15 09/19/2017 Speech $122,000.00 Deutsche BankLondon, UnitedKingdom
Self
16 10/19/2017 Speech $84,000.00 Stream RealtyPartnersHouston, TX
Self
17 11/14/2017 Speech $97,000.00 Robarts ResearchInstituteOntario, Canada
A Charity
18 12/19/2017 Speech $100,000.00 Centerview PartnersNew York, NY
Self
19 01/22/2018 Speech $40,260.31 Retail IndustryLeaders AssociationArlington, VA
Self
20 02/11/2018 Speech $137,082.00 NBCUniversal Media,LLCNew York, NY
Self
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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Part 2. Earned and Non-Investment IncomeDid you or your spouse have reportable earned income or non-investment income? Yes
#
WhoWasPaid Type Who Paid Amount Paid
1 Self Other (DirectorFee)
Marriott InternationalBethesda, MD
$131,039.00
2 Self Other (DirectorFee)
Solamere CapitalBoston, MA
$220,000.00
3 Self Retirement Goldman Sachs IRA Account(Retirement Account Distribution)New York, NY
$1,675,642.00
4 Spouse Royalties St. Martin's Press (Publisher of "In ThisTogether")New York, NY
> $1,000
Part 3. AssetsDid you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with abalance over $5,000, or receive income of more than $200 from an asset? Yes
Asset Asset Type Owner ValueIncomeType Income
1 The Ann D. Romney 1998Revocable Trust
TrustGeneral Trust
Spouse
1.1 Goldman SachsInvestment AdvisoryAccount
Brokerage/ManagedAccount
Spouse
1.1.1 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $15,001 -$50,000
Interest, $201 - $1,000
1.1.2 BARCLAYS BANK PLCLINKED TO 30Y EUROCMS UPSIDE/DOWNSIDELEVERED STRUCTUREDNOTE DUE 02/18/2020Description: Barclays FXStructured Note (New York,NY)
Other Securities Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
None, None (or lessthan $201)
1.1.3 GDFIX - Goldman SachsShort Duration Inc Instl
Mutual FundsMutual Fund
Spouse Over$1,000,000and heldindependently
ExceptedInvestmentFund,
$15,001 -$50,000
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by spouse ordependentchild
1.1.4 GSTGX - Goldman SachsShort Dur Govt Instl
Mutual FundsMutual Fund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
$1,001 -$2,500
1.1.5 THE GOLDMAN SACHSGROUP, INC. LINKED TO10Y CMS FLOATING CPNDUE 05/05/2025 SR LIENDescription: Goldman SachsCMS Structured Note (NewYork, NY)
Other Securities Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
Interest, $100,001 -$1,000,000
1.1.6 BNP PARIBAS LINKED TOINTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018
Equity Index-LinkedNote
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
None, None (or lessthan $201)
1.1.7 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO INTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018
Equity Index-LinkedNote
Spouse $100,001 -$250,000
None, None (or lessthan $201)
1.1.8 JPMORGAN CHASE & CO.LINKED TO BASKET OFINDICES UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 12/16/2019
Equity Index-LinkedNote
Spouse $250,001 -$500,000
None, None (or lessthan $201)
1.1.9 MORGAN STANLEYLINKED TO EURO STOXX50 PR UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 09/17/2019
Equity Index-LinkedNote
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
None, None (or lessthan $201)
1.1.10 SOCIETE GENERALELINKED TO INTL EQ BSKTUPSIDE LEVERED NO CAPSTRUCTURED NOTE DUE06/13/2018
Equity Index-LinkedNote
Spouse $100,001 -$250,000
None, None (or lessthan $201)
1.1.11 GSFRX - Goldman SachsHigh Yield Fl Rate Instl
Mutual FundsMutual Fund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.1.12 NFRIX - NuveenSymphony Floating RateIncome I
Mutual FundsMutual Fund
Spouse Over$1,000,000and heldindependently
ExceptedInvestmentFund,
$100,001 -$1,000,000
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by spouse ordependentchild
1.1.13 PIMIX - PIMCO IncomeInstl
Mutual FundsMutual Fund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.1.14 THE GOLDMAN SACHSGROUP, INC. LINKED TOFX BASKET 9% COUPONDUE 12/19/2019STRUCTURED NOTEDescription: Goldman SachsFX Linked StructuredNote (New York, NY)
Other Securities Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
None, None (or lessthan $201)
1.1.15 CANADIAN IMPERIALBANK OF COMM LINKEDTO S&P 500 INDEXUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE08/23/2018
Equity Index-LinkedNote
Spouse $500,001 -$1,000,000
None, None (or lessthan $201)
1.1.16 CITIGROUP INC. LINKEDTO S&P 500 INDEXUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE06/01/2018
Equity Index-LinkedNote
Spouse $100,001 -$250,000
None, None (or lessthan $201)
1.1.17 CREDIT SUISSE AGLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019
Equity Index-LinkedNote
Spouse $500,001 -$1,000,000
None, None (or lessthan $201)
1.1.18 KBE - SPDR S&P Bank ETF Mutual FundsExchange TradedFund/Note
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$5,001 -$15,000
1.1.19 SPY - SPDR S&P 500 ETF Mutual FundsExchange TradedFund/Note
Spouse $50,001 -$100,000
ExceptedInvestmentFund,
$1,001 -$2,500
1.1.20 GSMMX - Goldman SachsMulti-Manager Alts Instl
Mutual FundsMutual Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$5,001 -$15,000
1.1.21 CREDIT SUISSE AGLINKED TO S&P 500INDEX UPSIDE LEVEREDCAPPED W BUFFERSTRUCTURED NOTE DUE05/03/2017
Equity Index-LinkedNote
Spouse None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
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1.2 Goldman Sachs ManagedAccount #1
Brokerage/ManagedAccount
Spouse
1.2.1 ACSAY - ACS, Actividadesde Construcción yServicios, S.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
1.2.2 AER - AerCap HoldingsN.V.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.2.3 AAGIY - AIA GroupLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.4 EADSY - Airbus SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.5 ABEV - Ambev S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.6 MT - ArcelorMittal CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$201 - $1,000
1.2.7 AXAHY - AXA SA CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.2.8 BAESY - BAE Systems plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.9 BIDU - Baidu, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.2.10 SAN - Banco Santander,S.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.11 BAYRY - BayerAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.12 BBL - BHP Billiton plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.2.13 BTI - British AmericanTobacco p.l.c.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.2.14 CNQ - Canadian NaturalResources Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.15 CABGY - Carlsberg A/S CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.16 CRRFY - Carrefour SA CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.17 CKHUY - CK Hutchison CorporateSecurities
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
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Holdings Limited Stock
1.2.18 DBSDY - DBS GroupHoldings Ltd
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.19 DBOEY - Deutsche BörseAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.20 DNHBY - DNB ASA CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.21 EONGY - E.ON SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.22 ENGIY - ENGIE SA CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.23 ESLOY - EssilorInternational SociétéAnonyme
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.24 FRCOY - Fast RetailingCo., Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.25 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $1,001 -$15,000
Interest, None (or lessthan $201)
1.2.26 HSBC - HSBC Holdings plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.27 ISNPY - Intesa SanpaoloS.p.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.28 JBAXY - Julius BaerGroup Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.2.29 KKPNY - Koninklijke KPNN.V.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.30 LYG - Lloyds BankingGroup plc
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.31 MITEY - Mitsubishi EstateCo., Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.32 ORAN - Orange S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.2.33 OTSKY - Otsuka HoldingsCo., Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
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1.2.34 PCRFY - PanasonicCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.35 PM - Philip MorrisInternational Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.36 RHHBY - Roche HoldingAG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.2.37 RDSMY - Koninklijke DSMN.V.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.38 RDS-A - Royal Dutch Shellplc
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.2.39 SAP - SAP SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.40 SLB - SchlumbergerLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.41 SOMLY - SECOM CO., LTD. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.42 SVNDY - Seven & iHoldings Co., Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.43 SNN - Smith & Nephew plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.44 SMFG - Sumitomo MitsuiFinancial Group, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.45 TTM - Tata Motors Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.2.46 TRYIY - Toray Industries,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.47 TOT - TOTAL S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.2.48 AHEXY - Adecco GroupAG
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.2.49 AEG - AEGON N.V. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.2.50 BBVA - Banco BilbaoVizcaya Argentaria, S.A.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
1.2.51 FMS - Fresenius Medical Corporate Spouse None (or less Dividends, $201 - $1,000
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Care AG & Co. KGaA SecuritiesStock
than $1,001) CapitalGains,
1.2.52 KMTUY - Komatsu Ltd. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.2.53 SEKEY - Seiko EpsonCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.2.54 VIVHY - Vivendi SA CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3 Goldman Sachs ManagedAccount #2
Brokerage/ManagedAccount
Spouse
1.3.1 AIG - AmericanInternational Group, Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.2 AON - Aon plc CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.3 AAPL - Apple Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.3.4 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.3.5 CP - Canadian PacificRailway Limited
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.6 CTSH - CognizantTechnology SolutionsCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.7 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.8 DG - Dollar GeneralCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.3.9 LB - L Brands, Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.10 MSFT - MicrosoftCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.3.11 MSI - Motorola Solutions,Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.12 ORCL - OracleCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.3.13 PCLN - Booking HoldingsInc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
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1.3.14 SAP - SAP SE CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.3.15 WLTW - Willis TowersWatson Public LimitedCompany
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.4 Goldman Sachs ManagedAccount #3
Brokerage/ManagedAccount
Spouse
1.4.1 ABT - Abbott Laboratories CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.4.2 ADBE - Adobe SystemsIncorporated
CorporateSecuritiesStock
Spouse $15,001 -$50,000
None, None (or lessthan $201)
1.4.3 BABA - Alibaba GroupHolding Limited
CorporateSecuritiesStock
Spouse $15,001 -$50,000
None, None (or lessthan $201)
1.4.4 GOOGL - Alphabet Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
None, None (or lessthan $201)
1.4.5 BDX - Becton, Dickinsonand Company
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.4.6 BKNG - Booking HoldingsInc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.7 CP - Canadian PacificRailway Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.4.8 SCHW - The CharlesSchwab Corporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.4.9 DLTR - Dollar Tree, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.10 EA - Electronic Arts Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.11 FB - Facebook, Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
None, None (or lessthan $201)
1.4.12 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $1,001 -$15,000
Interest, None (or lessthan $201)
1.4.13 KSU - Kansas CitySouthern
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.4.14 MSFT - Microsoft CorporateSecurities
Spouse $15,001 - Dividends, $201 - $1,000
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Corporation Stock $50,000
1.4.15 MNST - Monster BeverageCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.16 MSCI - MSCI Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.4.17 NCLH - Norwegian CruiseLine Holdings Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.18 PYPL - PayPal Holdings,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.19 REGN - RegeneronPharmaceuticals, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.20 RCL - Royal CaribbeanCruises Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.4.21 SIRI - Sirius XM HoldingsInc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.4.22 TCEHY - Tencent HoldingsLimited
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.4.23 TMO - Thermo FisherScientific Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.4.24 TD - The Toronto-Dominion Bank
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.4.25 V - Visa Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.4.26 WYNN - Wynn Resorts,Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.4.27 ZTS - Zoetis Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.4.28 AON - Aon plc CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.29 AAPL - Apple Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.30 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.31 CDK - CDK Global, Inc. CorporateSecurities
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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Stock1.4.32 CERN - Cerner
CorporationCorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
1.4.33 CTSH - CognizantTechnology SolutionsCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.34 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.35 GNTX - GentexCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.4.36 MSI - Motorola Solutions,Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.37 ORCL - OracleCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.38 SHW - The Sherwin-Williams Company
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.4.39 TWX - Time Warner Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.5 Goldman Sachs ManagedAccount #4
Brokerage/ManagedAccount
Spouse
1.5.1 AET - Aetna Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.2 EADSY - Airbus SE CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.5.3 GOOG - Alphabet Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
None, None (or lessthan $201)
1.5.4 ABC - AmerisourceBergenCorporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.5 ANTM - Anthem, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$2,501 -$5,000
1.5.6 AZO - AutoZone, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
1.5.7 AXTA - Axalta CoatingSystems Ltd.
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, None (or lessthan $201)
1.5.8 AXS - AXIS CapitalHoldings Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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1.5.9 CAH - Cardinal Health,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.5.10 CBG - CBRE Group, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
1.5.11 CVS - CVS HealthCorporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends, $201 - $1,000
1.5.12 RE - Everest Re Group,Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.13 GKNLY - GKN plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.14 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $15,001 -$50,000
Interest, $201 - $1,000
1.5.15 HLT - Hilton WorldwideHoldings Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.16 MA - MastercardIncorporated
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.17 MCK - McKessonCorporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
1.5.18 MCO - Moody'sCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.19 NOV - National OilwellVarco, Inc.
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
1.5.20 NTRS - Northern TrustCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.5.21 ORLY - O'ReillyAutomotive, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
1.5.22 ORCL - OracleCorporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.23 PH - Parker-HannifinCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.5.24 QRVO - Qorvo, Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
CapitalGains,
$1,001 -$2,500
1.5.25 SPGI - S&P Global Inc. CorporateSecurities
Spouse $1,001 -$15,000
CapitalGains,
$201 - $1,000
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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Stock1.5.26 SABR - Sabre Corporation Corporate
SecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.5.27 SWKS - SkyworksSolutions, Inc.
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$2,501 -$5,000
1.5.28 STT - State StreetCorporation
CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
1.5.29 SSREY - Swiss Re Ltd CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
1.5.30 BK - The Bank of NewYork Mellon Corporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.5.31 UTX - UnitedTechnologies Corporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.32 V - Visa Inc. CorporateSecuritiesStock
Spouse $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
1.5.33 BA - The Boeing Company CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
1.5.34 BKNG - Booking HoldingsInc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
1.5.35 CSCO - Cisco Systems,Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.5.36 HGV - Hilton GrandVacations Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.5.37 IHG - InterContinentalHotels Group PLC
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.5.38 PH - Parker-HannifinCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.5.39 SSNC - SS&CTechnologies Holdings,Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.5.40 TWX - Time Warner Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.5.41 DIS - The Walt DisneyCompany
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.5.42 WPP - WPP plc CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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1.6 Goldman Sachs ManagedAccount #5
Brokerage/ManagedAccount
Spouse
1.6.1 ABBVIE INC. USD SER BSR LIENRate/Coupon: 2% Matures: 11/06/2018
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $1,001 -$2,500
1.6.2 ACTAVIS FUNDING SCSUSD SR LIENRate/Coupon: 3% Matures: 03/12/2020
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.3 ALTRIA GROUP, INC. USDSR LIENRate/Coupon: 9.7% Matures: 11/10/2018
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $5,001 -$15,000
1.6.4 APPLE INC. SR LIENRate/Coupon: 2.1% Matures: 09/12/2022
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.5 CISCO SYSTEMS, INC.USD SR LIENRate/Coupon: 2.45% Matures: 06/15/2020
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.6 CITIGROUP INC USD SRLIENRate/Coupon: 2.35% Matures: 08/02/2021
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.7 CITIZENS FINANCIALGROUP, INC. USD SR LIENRate/Coupon: 2.375% Matures: 07/28/2021
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.8 DANAHER CORPORATIONUSD SR LIENRate/Coupon: 2.4% Matures: 09/15/2020
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.9 FEDERAL HOME LOANBANK SYSTEM 1.25%06/08/2018 SER IX-9018SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $100,001 -$250,000
Interest, $1,001 -$2,500
1.6.10 FEDERAL HOME LOANBANK SYSTEM 1.75%12/14/2018 SER FM-9018SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $100,001 -$250,000
Interest, $1,001 -$2,500
1.6.11 FEDERAL HOME LOANBANK SYSTEM 2.75%06/08/2018 SER AZ-9018SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.12 FHLB 1.875% 03/13/2020 Government Spouse $50,001 - Interest, $1,001 -
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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SER XJ-2020 SR LIENRate/Coupon: None Matures: None
SecuritiesUSTreasury/AgencySecurity
$100,000 $2,500
1.6.13 FHLB 2.0% 09/14/2018SER DU-9018 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.14 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $15,001 -$50,000
Interest, $1,001 -$2,500
1.6.15 INGERSOLL-RANDGLOBAL HOLDING SRLIENRate/Coupon: 6.875% Matures: 08/15/2018
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $5,001 -$15,000
1.6.16 JOHN DEERE CAPITALCORP MTN USD SR LIENRate/Coupon: 1.25% Matures: 10/09/2019
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.17 JPMORGAN CHASE & COUSD SR LIENRate/Coupon: 1.85% Matures: 03/22/2019
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.18 LEGG MASON, INC. USDSR LIENRate/Coupon: 2.7% Matures: 07/15/2019
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.19 MORGAN STANLEY USDSR LIENRate/Coupon: 2.65% Matures: 01/27/2020
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.20 OMNICOM GROUP INC.USD SR LIENRate/Coupon: 4.45% Matures: 08/15/2020
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest, $5,001 -$15,000
1.6.21 ROYAL BANK OF CANADAMTN USD SR LIENRate/Coupon: 1.5% Matures: 07/29/2019
CorporateSecuritiesCorporate Bond
Spouse $100,001 -$250,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.22 SHIRE ACQUISITIONSINVESTMENTS USD SRLIENRate/Coupon: 2.4% Matures: 09/23/2021
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.23 TORONTO-DOMINIONBANK MTN USD SR LIENRate/Coupon: 1.45% Matures: 09/06/2018
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.24 U.S. TREASURY NOTE Government Spouse $100,001 - Interest, $2,501 -
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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1.500000% 10/31/2019Rate/Coupon: None Matures: None
SecuritiesUSTreasury/AgencySecurity
$250,000 $5,000
1.6.25 U.S. TREASURY NOTE1.625000% 08/15/2022Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.26 U.S. TREASURY NOTE2.125000% 12/31/2022Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.6.27 VERIZONCOMMUNICATIONS INC.USD SR LIENRate/Coupon: 1.75% Matures: 08/15/2021
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest,CapitalGains,
None (or lessthan $201)
1.6.28 VMWARE INC USD SRLIENRate/Coupon: 2.95% Matures: 08/21/2022
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $2,501 -$5,000
1.6.29 VMWARE INC USD SRLIENRate/Coupon: 2.95% Matures: 08/21/2022
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.30 WAL-MART STORES INCSR LIENRate/Coupon: 2.35% Matures: 12/15/2022
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.31 WELLS FARGO &COMPANY USD SR LIENRate/Coupon: 2.1% Matures: 07/26/2021
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest,CapitalGains,
$1,001 -$2,500
1.6.32 ZOETIS INC USD SR LIENRate/Coupon: 3.45% Matures: 11/13/2020
CorporateSecuritiesCorporate Bond
Spouse $50,001 -$100,000
Interest, $2,501 -$5,000
1.6.33 IFC MTN 1.125%07/20/2021Description: InternationalFinance Corporation - WorldBank GroupBond (Washington, DC)
Other Securities Spouse $100,001 -$250,000
Interest, $1,001 -$2,500
1.6.34 KFW 1.0% 07/15/2019 USDSR LIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)
Other Securities Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
1.6.35 KFW 2.0% 09/29/2022 SRLIENDescription: German
Other Securities Spouse $50,001 -$100,000
Interest, $1,001 -$2,500
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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government-owneddevelopment bankbond (Frankfurt, Germany)
1.6.36 NIB MTN 2.25%09/30/2021 SR LIENDescription: NordicInvestment BankBond (Helsinki, Finland)
Other Securities Spouse $100,001 -$250,000
Interest, $2,501 -$5,000
1.7 Goldman Sachs ManagedAccount #6
Brokerage/ManagedAccount
Spouse
1.7.1 ABBV - AbbVie Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.2 APD - Air Products andChemicals, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.3 AGN - Allergan plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.4 ALL - The AllstateCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.5 AEP - American ElectricPower Company, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.6 AXP - American ExpressCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.7 AMP - AmeripriseFinancial, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.8 AMGN - Amgen Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.9 T - AT&T Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.7.10 BAC - Bank of AmericaCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.11 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.12 BIIB - Biogen Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.13 BWA - BorgWarner Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.14 AVGO - Broadcom Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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1.7.15 CAT - Caterpillar Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.16 CBS - CBS Corporation CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.17 CVX - ChevronCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.7.18 CB - Chubb Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.19 CSCO - Cisco Systems,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$2,501 -$5,000
1.7.20 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.21 COP - ConocoPhillips CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.22 DHR - DanaherCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.23 DE - Deere & Company CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.24 DAL - Delta Air Lines, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.25 DVN - Devon EnergyCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.26 DFS - Discover FinancialServices
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.27 DWDP - DowDuPont Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
1.7.28 DTE - DTE EnergyCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.29 ETFC - E*TRADE FinancialCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.30 EBAY - eBay Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.31 LLY - Eli Lilly andCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.32 EGN - Energen Corporate Spouse $1,001 - None, None (or less
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Corporation SecuritiesStock
$15,000 than $201)
1.7.33 EOG - EOG Resources,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.34 ELS - Equity LifeStyleProperties, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.35 XOM - Exxon MobilCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.36 GILD - Gilead Sciences,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.37 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $1,001 -$15,000
Interest, None (or lessthan $201)
1.7.38 HAL - HalliburtonCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.39 HIW - HighwoodsProperties, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.40 HRC - Hill-Rom Holdings,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.41 HON - HoneywellInternational Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.42 HBAN - HuntingtonBancshares Incorporated
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.43 ICE - IntercontinentalExchange, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.44 JNJ - Johnson & Johnson CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.45 JPM - JPMorgan Chase &Co.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.7.46 LH - LaboratoryCorporation of AmericaHoldings
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.7.47 MPC - MarathonPetroleum Corporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.48 MDT - Medtronic plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
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1.7.49 MSFT - MicrosoftCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.50 MS - Morgan Stanley CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.51 NOC - Northrop GrummanCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.52 NUE - Nucor Corporation CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.53 ON - ON SemiconductorCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$201 - $1,000
1.7.54 ORCL - OracleCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.55 PH - Parker-HannifinCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.56 PEP - PepsiCo, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.57 PFE - Pfizer Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.7.58 PG - The Procter &Gamble Company
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.59 PLD - Prologis, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.60 PEG - Public ServiceEnterprise GroupIncorporated
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.61 PVH - PVH Corp. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.62 QCOM - QUALCOMMIncorporated
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$2,501 -$5,000
1.7.63 PWR - Quanta Services,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
1.7.64 RTN - Raytheon Company CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.65 SWK - Stanley Black &Decker, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
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1.7.66 STT - State StreetCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.67 STI - SunTrust Banks, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.68 HSY - The HersheyCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.69 HD - The Home Depot,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.70 TMO - Thermo FisherScientific Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.71 TSN - Tyson Foods, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.72 UNH - UnitedHealth GroupIncorporated
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.7.73 VZ - VerizonCommunications Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.74 DIS - The Walt DisneyCompany
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.75 WM - Waste Management,Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.76 WFC - Wells Fargo &Company
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.77 WLK - Westlake ChemicalCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.7.78 XEL - Xcel Energy Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.7.79 AIG - AmericanInternational Group, Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
1.7.80 AAPL - Apple Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.81 CMI - Cummins Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.7.82 DOW - Dow ChemicalCompany (The)
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
Corporate
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1.7.83 EIX - Edison International SecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.84 GE - General ElectricCompany
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.7.85 HPE - Hewlett PackardEnterprise Company
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.86 INTC - Intel Corporation CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
1.7.87 IP - International PaperCompany
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.7.88 KR - The Kroger Co. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.7.89 PHM - PulteGroup, Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.90 SKX - Skechers U.S.A.,Inc.
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
1.7.91 TWX - Time Warner Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.92 VLO - Valero EnergyCorporation
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.7.93 WOOF - VCA Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.7.94 WRK - WestRockCompany
CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.7.95 TWX - Time Warner Inc. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
1.8 Goldman Sachs ManagedAccount #7
Brokerage/ManagedAccount
Spouse
1.8.1 ABB - ABB Ltd CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.2 AZSEY - Allianz SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.3 SAN - Banco Santander,S.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.8.4 BP - BP p.l.c. CorporateSecurities
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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Stock1.8.5 CAJ - Canon Inc. Corporate
SecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.8.6 CHL - China MobileLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.7 CKHUY - CK HutchisonHoldings Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.8 DMLRY - Daimler AG CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.9 DTEGY - DeutscheTelekom AG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.10 ENLAY - Enel SpA CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.11 E - Eni S.p.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.12 FUJIY - FUJIFILMHoldings Corporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.13 GSK - GlaxoSmithKline plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.14 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $1,001 -$15,000
Interest, None (or lessthan $201)
1.8.15 HMC - Honda Motor Co.,Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.16 IBDRY - Iberdrola, S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.17 ISUZY - Isuzu MotorsLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.8.18 KGFHY - Kingfisher plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.19 ADRNY - Koninklijke AholdDelhaize N.V.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.20 LYG - Lloyds BankingGroup plc
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt
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1.8.21 NGG - National Grid plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.22 NVS - Novartis AG CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.23 DCM - NTT DOCOMO, INC. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.24 QBIEY - QBE InsuranceGroup Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.25 RDS-B - Royal Dutch Shellplc
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.26 RWEOY - RWEAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.8.27 SNY - Sanofi CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.28 SAP - SAP SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.29 SGAPY - SingaporeTelecommunicationsLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.30 TSM - TaiwanSemiconductorManufacturing CompanyLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.31 TKPYY - TakedaPharmaceutical CompanyLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.32 TEF - Telefónica, S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.33 TLSNY - Telia CompanyAB
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.8.34 TSCDY - Tesco PLC CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.35 TKOMY - Tokio MarineHoldings, Inc.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.36 UOVEY - United OverseasBank Limited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.8.37 WPP - WPP plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
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1.8.38 ZURVY - Zurich InsuranceGroup AG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.8.39 KCRPY - Kao Corporation CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.8.40 NSRGY - Nestlé S.A. CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.8.41 SYNN.VX - SYNGENTA N CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
1.8.42 UL - Unilever PLC CorporateSecuritiesStock
Spouse None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
1.9 Goldman Sachs ManagedAccount #8
Brokerage/ManagedAccount
Spouse
1.9.1 AAGIY - AIA GroupLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.2 AIQUY - Air Liquide,société anonyme
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.3 ALFVY - Alfa Laval AB(publ)
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.4 AZSEY - Allianz SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.9.5 APNHY - AspenPharmacare HoldingsLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.6 ATLKY - Atlas Copco AB CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.7 BIDU - Baidu, Inc. CorporateSecuritiesStock
Spouse $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
1.9.8 BBVA - Banco BilbaoVizcaya Argentaria, S.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.9.9 BAYRY - BayerAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.10 BMWYY - BayerischeMotoren WerkeAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.11 BBAVY - BBA Aviation plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.12 CNI - Canadian National Corporate Spouse $1,001 - Dividends, None (or less
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Railway Company SecuritiesStock
$15,000 than $201)
1.9.13 CHKP - Check PointSoftware TechnologiesLtd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.14 DIFTY - Daito TrustConstruction Co. Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.15 DASTY - DassaultSystèmes SE
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.16 DBSDY - DBS GroupHoldings Ltd
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.17 FANUY - FanucCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.18 FMS - Fresenius MedicalCare AG & Co. KGaA
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.19 FUPBY - Fuchs PetrolubSE
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.20 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $1,001 -$15,000
Interest, None (or lessthan $201)
1.9.21 GRFS - Grifols, S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.22 GBOOY - Grupo FinancieroBanorte, S.A.B. de C.V.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.23 HDB - HDFC Bank Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.24 HSBC - HSBC Holdings plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.25 IBN - ICICI Bank Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.26 IFNNY - InfineonTechnologies AG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.27 ITUB - Itaú UnibancoHolding S.A.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.28 KUBTY - KubotaCorporation
CorporateSecurities
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
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Stock1.9.29 LRLCY - L'Oréal S.A. Corporate
SecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.30 LVMUY - LVMH MoëtHennessy Louis VuittonS.E.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.31 MONOY - MonotaRO Co.,Ltd.
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.32 NPSNY - Naspers Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.33 NSRGY - Nestlé S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.34 PKCOY - Park24 Co., Ltd. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.35 RHHBY - Roche HoldingAG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.36 RDS-B - Royal Dutch Shellplc
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.9.37 SAP - SAP SE CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
1.9.38 SSL - Sasol Limited CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.39 SLB - SchlumbergerLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.40 SHPG - Shire plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.41 SONVY - Sonova HoldingAG
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.42 SYIEY - Symrise AG CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.43 SSMXY - SysmexCorporation
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
1.9.44 TSM - TaiwanSemiconductorManufacturing CompanyLimited
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, None (or lessthan $201)
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1.9.45 TS - Tenaris S.A. CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.46 WB - Weibo Corporation CorporateSecuritiesStock
Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.9.47 WPP - WPP plc CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
1.9.48 LNEGY - LindeAktiengesellschaft
CorporateSecuritiesStock
Spouse $1,001 -$15,000
Dividends, $201 - $1,000
1.10 Goldman Sachs ManagedAccount #9
Brokerage/ManagedAccount
Spouse
1.10.1 GS CAPITAL PARTNERSFUND 2000, L.P. (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.10.2 WHITEHALL STREET REALESTATE FUND IX/X (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
1.10.3 WHITEHALL STREET REALESTATE FUND XI/XII (a)(r)Description: PrivateEquity (New YorK, NewYork) Filer comment:Income from 2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.10.4 WHITEHALL STREET REALESTATE L.P. XIII/XIV (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.10.5 WHITEHALL STREETGLOBAL REAL ESTATELIMITED PARTNERSHIP2007 (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.10.6 Goldman Sachs BankDeposit(Boston, NY)Type: Brokerage SweepAccount,
Bank Deposit Spouse $500,001 -$1,000,000
Interest, $100,001 -$1,000,000
1.10.7 Hedge Fund Select:Corsair Capital Partners
Investment FundHedge Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$5,001 -$15,000
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Flagship FundDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
1.10.8 Hedge Fund Select: WNTNDedicated Investor Fund(US) LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$5,001 -$15,000
1.10.9 GLOBAL OPPORTUNITIESLLC CLASS A SERIES 1Description: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.10.10 Hedge Fund Select: TudorBVI LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$50,001 -$100,000
1.10.11 HEDGE FUND MANAGERS(DIVERSIFIED) II LLCCLASS ADescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$50,001 -$100,000
1.10.12 Hedge Fund Select:Brevan Howard Multi-Strategy Fund LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse $500,001 -$1,000,000
ExceptedInvestmentFund,
$50,001 -$100,000
1.11 Goldman Sachs ManagedAccount #10
Brokerage/ManagedAccount
Spouse
1.11.1 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Spouse $15,001 -$50,000
Interest, $201 - $1,000
1.11.2 PUT/SPX @ 2450 EXP04/30/2018Description: PutOption (New York, NY)
Other Securities Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.11.3 PUT/SPX @ 2500 EXP03/29/2018Description: PutOption (New York, NY)
Other Securities Spouse $1,001 -$15,000
None, None (or lessthan $201)
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1.11.4 PUT/SPX @ 2570 EXP04/20/2018Description: PutOption (New York, NY)
Other Securities Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.11.5 PUT/SPX @ 2590 EXP03/16/2018Description: PutOption (New York, NY)
Other Securities Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.11.6 PUT/SPX @ 2650 EXP03/29/2018Description: PutOption (New York, NY)
Other Securities Spouse $1,001 -$15,000
None, None (or lessthan $201)
1.11.7 PUT/SPX @ 2190 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.8 PUT/SPX @ 2190 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.9 PUT/SPX @ 2290 EXP04/21/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.10 PUT/SPX @ 2290 EXP04/21/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.11 PUT/SPX @ 2270 EXP05/19/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.12 PUT/SPX @ 2270 EXP05/19/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.13 PUT/SPX @ 2220 EXP06/16/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.14 PUT/SPX @ 2260 EXP06/16/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.15 PUT/SPX @ 2270 EXP07/21/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.16 PUT/SPX @ 2270 EXP07/21/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
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1.11.17 PUT/SPX @ 2300 EXP08/18/2017Description: PutStrategy (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.11.18 PUT/SPX @ 2300 EXP08/18/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.19 PUT/SPX @ 2380 EXP08/18/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.20 PUT/SPX @ 2400 EXP07/28/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.21 PUT/SPX @ 2410 EXP09/15/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.22 PUT/SPX @ 2410 EXP09/15/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.23 PUT/SPX @ 2420 EXP09/29/2017Description: PutOptions (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.24 PUT/SPX @ 2300 EXP10/20/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.25 PUT/SPX @ 2330 EXP10/20/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.26 PUT/SPX @ 2420 EXP09/29/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.27 PUT/SPX @ 2450 EXP11/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.28 PUT/SPX @ 2450 EXP11/17/2017Description: New York (NewYork, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.29 PUT/SPX @ 2440 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
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1.11.30 PUT/SPX @ 2440 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.31 PUT/SPX @ 2520 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.32 PUT/SPX @ 2520 EXP12/01/2017Description: PutOptions (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.33 PUT/SPX @ 2530 EXP01/19/2018Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.34 PUT/SPX @ 2530 EXP01/19/2018Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.35 PUT/SPX @ 2640 EXP02/16/2018Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.36 PUT/SPX @ 2640 EXP01/26/2018Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.37 PUT/SPX @ 2640 EXP02/16/2018Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.38 PUT/SPX @ 2100 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.39 PUT/SPX @ 2150 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.40 PUT/SPX @ 2150 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
1.11.41 PUT/SPX @ 2150 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Spouse None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
1.12 Elliott Associates, L.P.Description: HedgeFund (New York, NY) Filercomment: Income from2016 K-1
Investment FundHedge Fund
Spouse Over$1,000,000and heldindependentlyby spouse or
ExceptedInvestmentFund,
Over$1,000,000and heldindependentlyby spouse or
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dependentchild
dependentchild
1.13 The D3 Family BulldogFund, LPDescription: HedgeFund (Camas, WA) Filercomment: Income from2017 K-1 Estimate
Investment FundHedge Fund
Spouse $500,001 -$1,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.14 BCP IV Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $500,001 -$1,000,000
ExceptedInvestmentFund,
$201 - $1,000
1.15 Bain Capital Fund VIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.16 Bain Capital Fund VIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
None (or lessthan $201)
1.17 Bain Capital VIICoinvestment FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $250,001 -$500,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.18 Bain Capital Fund VII-EDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.19 Bain Capital Fund VIIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $50,001 -$100,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.20 Bain Capital VIIICoinvestment FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
$50,001 -$100,000
1.21 Bain Capital Fund VIII-EDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.22 Bain Capital Fund IX Investment FundPrivate Equity
Spouse $100,001 -$250,000
ExceptedInvestment
$100,001 -$1,000,000
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Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Fund Fund,
1.23 Bain Capital Fund XDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.24 Bain Capital Asia FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.25 Bain Capital Europe FundIIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.26 Bain Capital Venture Fund2001Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
$50,001 -$100,000
1.27 Bain Capital Venture Fund2005Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $50,001 -$100,000
ExceptedInvestmentFund,
$15,001 -$50,000
1.28 Bain Capital Venture Fund2007Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
$15,001 -$50,000
1.29 Bain Capital Partners (PEPGP)Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.30 Prospect Harbor CreditPartnersDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
1.31 Sankaty BeaconInvestment Partners, LP
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
None (or lessthan $201)
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Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
1.32 Sankaty High Yield AssetGrantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.33 Sankaty High YieldPartners III Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.34 Sankaty CreditOpportunities GrantorTrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
1.35 Sankaty SpecialSituations I Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
1.36 Brookside CapitalPartners FundDescription: HedgeFund (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Spouse $500,001 -$1,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.37 Solamere Founders FundI, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.38 Solamere Capital Fund II,LPDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.39 SV-SC Investments, LLCDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependent
ExceptedInvestmentFund,
None (or lessthan $201)
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child
1.40 Solamere HoldingCompany, LLCDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse $250,001 -$500,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.41 Solamere Capital IM, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse None (or lessthan $1,001)
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.42 Solamere Capital Fund IIGP, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$1,001 -$2,500
1.43 Solamere Group HedgeInvestments, LLCDescription: HedgeFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.
Investment FundHedge Fund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$50,001 -$100,000
1.44 CCG Investments (BVI),L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.45 Golden Gate CapitalInvestment Annex Fund II,L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.46 GGC Investment Fund II,L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.
Investment FundPrivate EquityFund
Spouse $15,001 -$50,000
ExceptedInvestmentFund,
$5,001 -$15,000
1.47 Golden Gate CapitalInvestment Fund II-A, L.P.Description: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.48 GGC Investments II (BVI),L.P.Description: Private EquityFund (San Francisco,
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$15,001 -$50,000
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CA) Filer comment: Incomefrom 2017 K-1.
1.49 Golden Gate CapitalInvestments II, LLCDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.50 Golden Gate CapitalInvestments II-A Adjunct(BVI), L.P.Description: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
1.51 Golden Gate CapitalOpportunity Fund, LPDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.52 GGC Neustar Investors, LPDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2017 CapitalStatements.
Investment FundPrivate EquityFund
Spouse $100,001 -$250,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.53 111 Capital Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.54 BCIP Venture AssociatesDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $500,001 -$1,000,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
1.55 BCIP Associates IIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
$2,501 -$5,000
1.56 BCIP Associates II BroderDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.57 BCIP Associates IVDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $50,001 -$100,000
ExceptedInvestmentFund,
None (or lessthan $201)
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1.58 BCIP Associates II EpochDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $50,001 -$100,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.59 BCIP Associates III-BDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
1.60 BCIP Associates IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild
ExceptedInvestmentFund,
Over$1,000,000and heldindependentlyby spouse ordependentchild
1.61 Sankaty Advisors, Inc.Filer comment: Income from2016 K-1.
CorporateSecuritiesStock
Spouse $100,001 -$250,000
None, None (or lessthan $201)
1.62 Bain Capital Holdings, LPCompany: Bain CapitalHoldings, LP (Boston,MA) Description: InvestmentAdvisory Business Filercomment: Income from2016 K-1.
Business EntityLimitedPartnership (LP)
Spouse None (or lessthan $1,001)
Dividends, $15,001 -$50,000
2 Goldman Sachs IRA #1 Retirement PlansIRA
Self
2.1 MAR - MarriottInternational, Inc.
CorporateSecuritiesStock
Self $500,001 -$1,000,000
None, None (or lessthan $201)
2.2 VAC - Marriott VacationsWorldwide Corporation
CorporateSecuritiesStock
Self $50,001 -$100,000
None, None (or lessthan $201)
3 Goldman Sachs IRA #2 Retirement PlansIRA
Self
3.1 GDFIX - Goldman SachsShort Duration Inc Instl
Mutual FundsMutual Fund
Self $5,000,001 -$25,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.2 GSFRX - Goldman SachsHigh Yield Fl Rate Instl
Mutual FundsMutual Fund
Self $5,000,001 -$25,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.3 GSTIX - Goldman SachsStrategic Growth Instl
Mutual FundsMutual Fund
Self $5,000,001 -$25,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.4 GSMYX - Goldman SachsSmall/Mid Cap GrowthInstl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.5 GSITX - Goldman SachsSmall Cp Val Insghts Instl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
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3.6 SPY - SPDR S&P 500 ETF Mutual FundsExchange TradedFund/Note
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.7 GIDGX - Goldman SachsEnhanced Div Gbl Eq Instl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.8 GCIIX - Goldman SachsIntl Eq Insghts Instl
Mutual FundsMutual Fund
Self $5,000,001 -$25,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.9 HEFA - iShares CurrencyHedged MSCI EAFE ETF
Mutual FundsExchange TradedFund/Note
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.10 HEDJ - WisdomTreeEurope Hedged Equity ETF
Mutual FundsExchange TradedFund/Note
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.11 GMLPX - Goldman SachsMLP Energy Infras Instl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
3.12 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Self $250,001 -$500,000
None, None (or lessthan $201)
4 Goldman Sachs IRA #3 Retirement PlansIRA
Self
4.1 FEDERAL HOME LOANBANK SYSTEM 1.625%06/14/2019 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $100,001 -$250,000
None, None (or lessthan $201)
4.2 FEDERAL HOME LOANBANK SYSTEM 2.5%12/09/2022 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.3 FHLB 1.125% 07/14/2021Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.4 FHLB 1.375% 03/09/2018SER HF-9018 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.5 FHLB 1.875% 11/29/2021SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.6 Goldman Sachs BankDeposit(Boston, MA)
Bank Deposit Self $15,001 -$50,000
None, None (or lessthan $201)
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Type: Brokerage SweepAccount,
4.7 U.S. TREASURY NOTE1.000000% 03/15/2018Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.8 U.S. TREASURY NOTE1.125000% 05/31/2019Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.9 U.S. TREASURY NOTE1.250000% 01/31/2019Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $100,001 -$250,000
None, None (or lessthan $201)
4.10 U.S. TREASURY NOTE1.375000% 02/28/2019Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.11 U.S. TREASURY NOTE1.375000% 08/31/2020Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.12 U.S. TREASURY NOTE1.375000% 12/31/2018Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.13 U.S. TREASURY NOTE1.750000% 01/31/2023Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $100,001 -$250,000
None, None (or lessthan $201)
4.14 U.S. TREASURY NOTE2.000000% 05/31/2021Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $50,001 -$100,000
None, None (or lessthan $201)
4.15 U.S. TREASURY NOTE2.000000% 07/31/2020Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $250,001 -$500,000
None, None (or lessthan $201)
4.16 U.S. TREASURY NOTE2.125000% 12/31/2022Rate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $100,001 -$250,000
None, None (or lessthan $201)
4.17 IBRD MTN 1.625%03/09/2021 SER GDIF SR
Other Securities Self $250,001 -$500,000
None, None (or lessthan $201)
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LIENDescription: InternationalBank for Reconstructionand DevelopmentBond (New York, NY)
4.18 KFW 1.125% 08/06/2018SR LIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)
Other Securities Self $100,001 -$250,000
None, None (or lessthan $201)
4.19 NIB 1.25% 08/02/2021 SRLIENDescription: NordicInvestment Banksupranationalbond (Helsinki, Finland)
Other Securities Self $250,001 -$500,000
None, None (or lessthan $201)
5 Fidelity BrokerageServices LLC ManagedAccount
Brokerage/ManagedAccount
Self
5.1 MAR - MarriottInternational, Inc.
CorporateSecuritiesStock
Self $1,000,001 -$5,000,000
Dividends, $5,001 -$15,000
5.2 VAC - Marriott VacationsWorldwide Corporation
CorporateSecuritiesStock
Self $100,001 -$250,000
Dividends, $1,001 -$2,500
5.3 SPAXX - FidelityGovernment Money Marke
Mutual FundsStable ValueFund
Self $15,001 -$50,000
Dividends, None (or lessthan $201)
5.4 FDMXX - FidelityMassachusetts Tax Free
Mutual FundsStable ValueFund
Self $15,001 -$50,000
Dividends, None (or lessthan $201)
6 Intercontinental RealEstate Investment Fund IDescription: Real EstateInvestment (Boston,MA) Filer comment: Incomefrom 2017 K-1 Estimate.
Investment FundHedge Fund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
7 MAR-MarriottInternational, Inc.
Retirement PlansDeferredCompensation
Self $1,000,001 -$5,000,000
None,
7.1 MAR - MarriottInternational, Inc.
CorporateSecuritiesStock
Self $1,000,001 -$5,000,000
None, None (or lessthan $201)
8 Solamere Group HedgeInvestments, LLCDescription: PrivateInvestments (Boston,MA) Filer comment: Incomebased on 2017 K-1 Estimate.
Investment FundHedge Fund
Self None (or lessthan $1,001)
ExceptedInvestmentFund,
$50,001 -$100,000
9 The W. Mitt Romney 1998Revocable Trust
TrustGeneral Trust
Self
9.1 Goldman Sachs Brokerage Brokerage/Managed Self
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Account #1 Account
9.1.1 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Self $15,001 -$50,000
Interest, $201 - $1,000
9.2 Goldman Sachs BrokerageAccount #2
Brokerage/ManagedAccount
Self
9.2.1 TTIFX - Goldman SachsTactical Tilt Ove
Mutual FundsMutual Fund
Self $50,001 -$100,000
ExceptedInvestmentFund,
None (or lessthan $201)
9.2.2 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,
Bank Deposit Self $100,001 -$250,000
Interest, $2,501 -$5,000
9.2.3 BARCLAYS BANK PLCLINKED TO 30Y EUROCMS UPSIDE/DOWNSIDELEVERED STRUCTUREDNOTE DUE 02/18/2020Description: Barclays FXStructured Note (New York,NY)
Other Securities Self $1,000,001 -$5,000,000
None, None (or lessthan $201)
9.2.4 GDFIX - Goldman SachsShort Duration Inc Instl
Mutual FundsMutual Fund
Self $250,001 -$500,000
ExceptedInvestmentFund,
$5,001 -$15,000
9.2.5 GSTGX - Goldman SachsShort Dur Govt Instl
Mutual FundsMutual Fund
Self $250,001 -$500,000
Dividends, $5,001 -$15,000
9.2.6 THE GOLDMAN SACHSGROUP, INC. LINKED TO10Y CMS FLOATING CPNDUE 05/05/2025 SR LIENDescription: Goldman SachsCMS Structured Note (NewYork, NY)
Other Securities Self $1,000,001 -$5,000,000
Interest, $50,001 -$100,000
9.2.7 BNP PARIBAS LINKED TOINTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018
Equity Index-LinkedNote
Self None (or lessthan $1,001)
None, $201 - $1,000
9.2.8 BOFA FINANCE LLC LNKDTO MSCI EMERGING MKTUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE08/19/2019
Equity Index-LinkedNote
Self $250,001 -$500,000
None, None (or lessthan $201)
9.2.9 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO INTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018
Equity Index-LinkedNote
Self $100,001 -$250,000
None, None (or lessthan $201)
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9.2.10 MORGAN STANLEYFINANCE LLC LINKED TOEURO STOXX 50 PRUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE07/06/2018
Equity Index-LinkedNote
Self $250,001 -$500,000
None, None (or lessthan $201)
9.2.11 MORGAN STANLEYLINKED TO EURO STOXX50 PR UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 09/17/2019
Equity Index-LinkedNote
Self $250,001 -$500,000
None, None (or lessthan $201)
9.2.12 SOCIETE GENERALELINKED TO INTL EQ BSKTUPSIDE LEVERED NO CAPSTRUCTURED NOTE DUE06/13/2018
Equity Index-LinkedNote
Self $100,001 -$250,000
None, None (or lessthan $201)
9.2.13 GSFRX - Goldman SachsHigh Yield Fl Rate Instl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
$50,001 -$100,000
9.2.14 PIMIX - PIMCO IncomeInstl
Mutual FundsMutual Fund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
$100,001 -$1,000,000
9.2.15 THE GOLDMAN SACHSGROUP, INC. LINKED TOFX BASKET 9% COUPONDUE 12/19/2019STRUCTURED NOTEDescription: Goldman SachsFX Linked StructureNote (New York, NY)
Other Securities Self $1,000,001 -$5,000,000
Interest, None (or lessthan $201)
9.2.16 AMLP-Alerian MLP ETF Mutual FundsMutual Fund
Self $100,001 -$250,000
ExceptedInvestmentFund,
$15,001 -$50,000
9.2.17 BARCLAYS BANK PLCLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019
Equity Index-LinkedNote
Self $1,000,001 -$5,000,000
None, None (or lessthan $201)
9.2.18 CREDIT SUISSE AGLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019
Equity Index-LinkedNote
Self $250,001 -$500,000
None, None (or lessthan $201)
9.2.19 F - Ford Motor Company CorporateSecuritiesStock
Self $100,001 -$250,000
Dividends, $5,001 -$15,000
9.2.20 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO EUR/USD FX RATEUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE01/18/2017Description: Deutsche Bank
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$50,001 -$100,000
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AG-London FX StructuredNote (London, UK)
9.2.21 IVV - iShares Core S&P500 ETF
Mutual FundsExchange TradedFund/Note
Self None (or lessthan $1,001)
ExceptedInvestmentFund,
$100,001 -$1,000,000
9.3 Goldman Sachs ManagedAccount #1
Brokerage/ManagedAccount
Self
9.3.1 ACSAY - ACS, Actividadesde Construcción yServicios, S.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$201 - $1,000
9.3.2 AER - AerCap HoldingsN.V.
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.3.3 AAGIY - AIA GroupLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.4 EADSY - Airbus SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.3.5 ABEV - Ambev S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.6 MT - ArcelorMittal CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
9.3.7 AXAHY - AXA SA CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.3.8 BIDU - Baidu, Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.3.9 SAN - Banco Santander,S.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.10 BAYRY - BayerAktiengesellschaft
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.11 BBL - BHP Billiton plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.12 BTI - British AmericanTobacco p.l.c.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.13 CNQ - Canadian NaturalResources Limited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.14 CABGY - Carlsberg A/S CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.15 CRRFY - Carrefour SA CorporateSecurities
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
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Stock9.3.16 CKHUY - CK Hutchison
Holdings LimitedCorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.17 DBSDY - DBS GroupHoldings Ltd
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.3.18 DBOEY - Deutsche BörseAktiengesellschaft
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.19 DNHBY - DNB ASA CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$201 - $1,000
9.3.20 EONGY - E.ON SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.3.21 ENGIY - ENGIE SA CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.22 ESLOY - EssilorInternational SociétéAnonyme
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.23 FRCOY - Fast RetailingCo., Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.24 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $1,001 -$15,000
Interest, None (or lessthan $201)
9.3.25 HSBC - HSBC Holdings plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.3.26 ISNPY - Intesa SanpaoloS.p.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.3.27 JBAXY - Julius BaerGroup Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.3.28 KKPNY - Koninklijke KPNN.V.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.29 LYG - Lloyds BankingGroup plc
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.30 MITEY - Mitsubishi EstateCo., Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.31 ORAN - Orange S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
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9.3.32 OTSKY - Otsuka HoldingsCo., Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.33 PCRFY - PanasonicCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.3.34 PM - Philip MorrisInternational Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.35 RHHBY - Roche HoldingAG
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.3.36 RDS-A - Royal Dutch Shellplc
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.3.37 RDSMY - Koninklijke DSMN.V.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.3.38 SAP - SAP SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.39 SLB - SchlumbergerLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.40 SOMLY - SECOM CO., LTD. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.41 SVNDY - Seven & iHoldings Co., Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.42 SMFG - Sumitomo MitsuiFinancial Group, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.3.43 TTM - Tata Motors Limited CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.3.44 TRYIY - Toray Industries,Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.3.45 TOT - TOTAL S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.3.46 AHEXY - Adecco GroupAG
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.3.47 BBVA - Banco BilbaoVizcaya Argentaria, S.A.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.3.48 DBSDY - DBS GroupHoldings Ltd
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.3.49 DPSGY - Deutsche Post Corporate Self None (or less Capital $201 - $1,000
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AG SecuritiesStock
than $1,001) Gains,
9.3.50 FMS - Fresenius MedicalCare AG & Co. KGaA
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.3.51 KMTUY - Komatsu Ltd. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.3.52 SEKEY - Seiko EpsonCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.3.53 VIVHY - Vivendi SA CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.3.54 AEG - AEGON N.V. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.3.55 CHL - China MobileLimited
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.4 Goldman Sachs ManagedAccount #2
Brokerage/ManagedAccount
Self
9.4.1 MSFT - MicrosoftCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.4.2 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.4.3 AIG - AmericanInternational Group, Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.4.4 AON - Aon plc CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.4.5 AAPL - Apple Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.4.6 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.4.7 CP - Canadian PacificRailway Limited
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.4.8 CTSH - CognizantTechnology SolutionsCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.4.9 DG - Dollar GeneralCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.4.10 LB - L Brands, Inc. CorporateSecurities
Self None (or lessthan $1,001)
Dividends,Capital
$1,001 -$2,500
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Stock Gains,
9.4.11 MSI - Motorola Solutions,Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.4.12 ORCL - OracleCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.4.13 PCLN - Booking HoldingsInc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
9.4.14 SAP - SAP SE CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.4.15 WLTW - Willis TowersWatson Public LimitedCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.5 Goldman Sachs ManagedAccount #3
Brokerage/ManagedAccount
Self
9.5.1 AET - Aetna Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$2,501 -$5,000
9.5.2 EADSY - Airbus SE CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.5.3 GOOG - Alphabet Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$201 - $1,000
9.5.4 ABC - AmerisourceBergenCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.5.5 ANTM - Anthem, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$5,001 -$15,000
9.5.6 AZO - AutoZone, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$201 - $1,000
9.5.7 AXTA - Axalta CoatingSystems Ltd.
CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.5.8 AXS - AXIS CapitalHoldings Limited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$2,501 -$5,000
9.5.9 CAH - Cardinal Health,Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $1,001 -$2,500
9.5.10 CBG - CBRE Group, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$2,501 -$5,000
9.5.11 CVS - CVS HealthCorporation
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends,CapitalGains,
$1,001 -$2,500
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9.5.12 RE - Everest Re Group,Ltd.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$2,501 -$5,000
9.5.13 GKNLY - GKN plc CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$5,001 -$15,000
9.5.14 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $50,001 -$100,000
Interest, $201 - $1,000
9.5.15 HLT - Hilton WorldwideHoldings Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$5,001 -$15,000
9.5.16 MA - MastercardIncorporated
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends,CapitalGains,
$5,001 -$15,000
9.5.17 BA - The Boeing Company CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$15,001 -$50,000
9.5.18 BKNG - Booking HoldingsInc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.5.19 CSCO - Cisco Systems,Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.5.20 BEN - Franklin Resources,Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.5.21 HGV - Hilton GrandVacations Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.5.22 IHG - InterContinentalHotels Group PLC
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$5,001 -$15,000
9.5.23 IHG - InterContinentalHotels Group PLC
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.5.24 PK - Park Hotels & ResortsInc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.5.25 SSNC - SS&CTechnologies Holdings,Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.5.26 STT - State StreetCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.5.27 TWX - Time Warner Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.5.28 UNH - UnitedHealth Group Corporate Self None (or less Dividends, $2,501 -
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Incorporated SecuritiesStock
than $1,001) CapitalGains,
$5,000
9.5.29 DIS - The Walt DisneyCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.5.30 WPP - WPP plc CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.5.31 MCK - McKessonCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.5.32 MCO - Moody'sCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$2,501 -$5,000
9.5.33 NOV - National OilwellVarco, Inc.
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends,CapitalGains,
None (or lessthan $201)
9.5.34 NTRS - Northern TrustCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.5.35 ORLY - O'ReillyAutomotive, Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$2,501 -$5,000
9.5.36 ORCL - OracleCorporation
CorporateSecuritiesStock
Self $100,001 -$250,000
Dividends,CapitalGains,
$2,501 -$5,000
9.5.37 PH - Parker-HannifinCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.5.38 QRVO - Qorvo, Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
CapitalGains,
$5,001 -$15,000
9.5.39 SPGI - S&P Global Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.5.40 SABR - Sabre Corporation CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.5.41 SWKS - SkyworksSolutions, Inc.
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends,CapitalGains,
$5,001 -$15,000
9.5.42 STT - State StreetCorporation
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, $201 - $1,000
9.5.43 SSREY - Swiss Re Ltd CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.5.44 BK - The Bank of NewYork Mellon Corporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.5.45 UTX - United Corporate Self $1,001 - Dividends, $201 - $1,000
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Technologies Corporation SecuritiesStock
$15,000
9.5.46 V - Visa Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends,CapitalGains,
$5,001 -$15,000
9.6 Goldman Sachs ManagedAccount #4
Brokerage/ManagedAccount
Self
9.6.1 AAGIY - AIA GroupLimited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.6.2 AIQUY - Air Liquide,société anonyme
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.6.3 ALFVY - Alfa Laval AB(publ)
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.4 AZSEY - Allianz SE CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.6.5 APNHY - AspenPharmacare HoldingsLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.6 ATLKY - Atlas Copco AB CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.6.7 BIDU - Baidu, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
CapitalGains,
$201 - $1,000
9.6.8 BBVA - Banco BilbaoVizcaya Argentaria, S.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.9 BAYRY - BayerAktiengesellschaft
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.6.10 BMWYY - BayerischeMotoren WerkeAktiengesellschaft
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.6.11 BBAVY - BBA Aviation plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.12 CNI - Canadian NationalRailway Company
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.13 CHKP - Check PointSoftware TechnologiesLtd.
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.6.14 CSLLY - CSL Limited CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.6.15 DIFTY - Daito Trust Corporate Self $1,001 - Dividends, None (or less
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Construction Co. Ltd. SecuritiesStock
$15,000 than $201)
9.6.16 DASTY - DassaultSystèmes SE
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.6.17 DBSDY - DBS GroupHoldings Ltd
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.18 FANUY - FanucCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, None (or lessthan $201)
9.6.19 FMS - Fresenius MedicalCare AG & Co. KGaA
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.20 FUPBY - Fuchs PetrolubSE
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.21 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $1,001 -$15,000
Interest, None (or lessthan $201)
9.6.22 GRFS - Grifols, S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.23 GBOOY - Grupo FinancieroBanorte, S.A.B. de C.V.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.24 HDB - HDFC Bank Limited CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.25 HSBC - HSBC Holdings plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.26 IBN - ICICI Bank Limited CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.6.27 IFNNY - InfineonTechnologies AG
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.28 ITUB - Itaú UnibancoHolding S.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.29 JGCCY - JGC Corporation CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.30 KUBTY - KubotaCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.31 LRLCY - L'Oréal S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
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9.6.32 LVMUY - LVMH MoëtHennessy Louis VuittonS.E.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.33 MONOY - MonotaRO Co.,Ltd.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.34 NPSNY - Naspers Limited CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.6.35 NSRGY - Nestlé S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.36 PKCOY - Park24 Co., Ltd. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.37 RHHBY - Roche HoldingAG
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.6.38 RDS-B - Royal Dutch Shellplc
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.39 SAP - SAP SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.6.40 SSL - Sasol Limited CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.41 SLB - SchlumbergerLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.42 SHPG - Shire plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.43 SONVY - Sonova HoldingAG
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.44 SYIEY - Symrise AG CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.45 SSMXY - SysmexCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.6.46 TSM - TaiwanSemiconductorManufacturing CompanyLimited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.6.47 TS - Tenaris S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.6.48 TKGBY - Turkiye GarantiBankasi A.S.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
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9.6.49 UL - Unilever PLC CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.6.50 WB - Weibo Corporation CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.6.51 WPP - WPP plc CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.6.52 BG - Bunge Limited CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.6.53 LNEGY - LindeAktiengesellschaft
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.7 Goldman Sachs ManagedAccount #5
Brokerage/ManagedAccount
Self
9.7.1 ABB - ABB Ltd CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.7.2 AZSEY - Allianz SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.3 SAN - Banco Santander,S.A.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.4 BP - BP p.l.c. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.5 CAJ - Canon Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.7.6 CHL - China MobileLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.7 CKHUY - CK HutchisonHoldings Limited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.8 DMLRY - Daimler AG CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.9 ENLAY - Enel SpA CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.10 E - Eni S.p.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.11 FUJIY - FUJIFILMHoldings Corporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.7.12 GSK - GlaxoSmithKline plc Corporate Self $1,001 - Dividends, $201 - $1,000
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SecuritiesStock
$15,000
9.7.13 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $1,001 -$15,000
Interest, None (or lessthan $201)
9.7.14 HMC - Honda Motor Co.,Ltd.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.7.15 IBDRY - Iberdrola, S.A. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.7.16 ISUZY - Isuzu MotorsLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.17 KGFHY - Kingfisher plc CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.18 ADRNY - Koninklijke AholdDelhaize N.V.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.19 LYG - Lloyds BankingGroup plc
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.20 NGG - National Grid plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.21 NVS - Novartis AG CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.22 DCM - NTT DOCOMO, INC. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.7.23 QBIEY - QBE InsuranceGroup Limited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.24 RDS-B - Royal Dutch Shellplc
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.7.25 RWEOY - RWEAktiengesellschaft
CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
9.7.26 SNY - Sanofi CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.27 SAP - SAP SE CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.7.28 SGAPY - SingaporeTelecommunications
CorporateSecurities
Self $1,001 -$15,000
Dividends, $201 - $1,000
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Limited Stock
9.7.29 TSM - TaiwanSemiconductorManufacturing CompanyLimited
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.7.30 TKPYY - TakedaPharmaceutical CompanyLimited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.31 TEF - Telefónica, S.A. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.32 TLSNY - Telia CompanyAB
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.33 TSCDY - Tesco PLC CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, None (or lessthan $201)
9.7.34 TKOMY - Tokio MarineHoldings, Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.7.35 UOVEY - United OverseasBank Limited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.7.36 WPP - WPP plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.37 ZURVY - Zurich InsuranceGroup AG
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.7.38 KCRPY - Kao Corporation CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.7.39 NSRGY - Nestlé S.A. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.7.40 SYT - Syngenta AG CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.7.41 UN - Unilever N.V. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.7.42 CERN - CernerCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.8 Goldman Sachs ManagedAccount #6
Brokerage/ManagedAccount
Self
9.8.1 ABT - Abbott Laboratories CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.2 ADBE - Adobe Systems Corporate Self $50,001 - None, None (or less
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Incorporated SecuritiesStock
$100,000 than $201)
9.8.3 BABA - Alibaba GroupHolding Limited
CorporateSecuritiesStock
Self $50,001 -$100,000
None, None (or lessthan $201)
9.8.4 GOOG - Alphabet Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
None, None (or lessthan $201)
9.8.5 BDX - Becton, Dickinsonand Company
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.6 BKNG - Booking HoldingsInc.
CorporateSecuritiesStock
Self $50,001 -$100,000
None, None (or lessthan $201)
9.8.7 CP - Canadian PacificRailway Limited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.8 SCHW - The CharlesSchwab Corporation
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, $201 - $1,000
9.8.9 DLTR - Dollar Tree, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.8.10 EA - Electronic Arts Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.8.11 FB - Facebook, Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
None, None (or lessthan $201)
9.8.12 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $15,001 -$50,000
Interest, None (or lessthan $201)
9.8.13 KSU - Kansas CitySouthern
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.8.14 MSFT - MicrosoftCorporation
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, $1,001 -$2,500
9.8.15 MNST - Monster BeverageCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.8.16 MSCI - MSCI Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.17 NCLH - Norwegian CruiseLine Holdings Ltd.
CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.8.18 PYPL - PayPal Holdings,Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
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9.8.19 REGN - RegeneronPharmaceuticals, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.8.20 RCL - Royal CaribbeanCruises Ltd.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.21 SIRI - Sirius XM HoldingsInc.
CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.8.22 TCEHY - Tencent HoldingsLimited
CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, None (or lessthan $201)
9.8.23 TMO - Thermo FisherScientific Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, None (or lessthan $201)
9.8.24 TD - The Toronto-Dominion Bank
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.8.25 V - Visa Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, $201 - $1,000
9.8.26 WYNN - Wynn Resorts,Limited
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.8.27 ZTS - Zoetis Inc. CorporateSecuritiesStock
Self $50,001 -$100,000
Dividends, $201 - $1,000
9.8.28 AON - Aon plc CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$15,001 -$50,000
9.8.29 AAPL - Apple Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.30 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.31 CDK - CDK Global, Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.8.32 CTSH - CognizantTechnology SolutionsCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$15,001 -$50,000
9.8.33 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.34 GNTX - GentexCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.35 MSI - Motorola Solutions,Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
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9.8.36 ORCL - OracleCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.37 SHW - The Sherwin-Williams Company
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$5,001 -$15,000
9.8.38 TWX - Time Warner Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
9.8.39 DIS - The Walt DisneyCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.9 Goldman Sachs ManagedAccount #7
Brokerage/ManagedAccount
Self
9.9.1 ACTAVIS FUNDING SCS3.0% 03/12/2020 USD SRLIENRate/Coupon: 3.0% Matures: 03/12/2020
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.2 APPLIED MATERIALS, INC.2.625% 10/01/2020 USDSR LIENRate/Coupon: 2.625% Matures: 10/01/2020
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $2,501 -$5,000
9.9.3 AUTONATION, INC. 6.75%04/15/2018 SR LIENRate/Coupon: 6.75% Matures: 04/15/2018
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $15,001 -$50,000
9.9.4 BANK OF AMERICACORPORATION MTN2.25% 04/21/2020 USDSER L SR LIENRate/Coupon: 2.25% Matures: 04/21/2020
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.5 BAXALTA INCORPORATED3.6% 06/23/2022 USDSER WI SR LIENRate/Coupon: 3.6% Matures: 06/23/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.6 BRANCH BANKING ANDTRUST COMPA 2.625%01/15/2022 USD SER 5YRSR LIENRate/Coupon: 2.625% Matures: 01/15/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.7 CISCO SYSTEMS, INC.2.45% 06/15/2020 USDSR LIENRate/Coupon: 2.45% Matures: 06/15/2020
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.8 CVS HEALTHCORPORATION 2.125%
CorporateSecurities
Self $100,001 -$250,000
Interest, $2,501 -$5,000
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06/01/2021 USD SR LIENRate/Coupon: 2.125% Matures: 06/01/2021
Corporate Bond
9.9.9 ESTEE LAUDER CO INC1.7% 05/10/2021 USD SRLIENRate/Coupon: 1.7% Matures: 05/10/2021
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $2,501 -$5,000
9.9.10 FEDERAL HOME LOANBANK SYSTEM 1.625%06/14/2019 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $1,000,001 -$5,000,000
Interest, $15,001 -$50,000
9.9.11 FEDERAL HOME LOANBANK SYSTEM 1.75%12/14/2018 SER FM-9018SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $500,001 -$1,000,000
Interest, $5,001 -$15,000
9.9.12 FHLB 1.375% 03/09/2018SER HF-9018 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $1,000,001 -$5,000,000
Interest, $5,001 -$15,000
9.9.13 FHLB 1.875% 03/13/2020SER XJ-2020 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $500,001 -$1,000,000
Interest, $5,001 -$15,000
9.9.14 FHLB 2.875% 09/11/2020SER QL-2020 SR LIENRate/Coupon: None Matures: None
GovernmentSecuritiesUSTreasury/AgencySecurity
Self $500,001 -$1,000,000
Interest, $15,001 -$50,000
9.9.15 FORD MOTOR CREDITCOMPANY LLC 2.597%11/04/2019 USD SR LIENRate/Coupon: 2.597% Matures: 11/4/2019
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.16 FORD MOTOR CREDITCOMPANY LLC MTN2.943% 01/08/2019 USDSR LIENRate/Coupon: 2.943% Matures: 01/08/2019
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.17 JOHN DEERE CAPITALCORP MTN 1.95%01/08/2019 USD SR LIENRate/Coupon: 1.95% Matures: 01/08/2019
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $2,501 -$5,000
9.9.18 JPMORGAN CHASE & CO.MTN 2.295% 08/15/2021
CorporateSecurities
Self $250,001 -$500,000
Interest, $5,001 -$15,000
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USD SR LIENRate/Coupon: 2.295% Matures: 08/15/2021
Corporate Bond
9.9.19 KINDER MORGAN ENRGYPART LP 9.0% 02/01/2019USD SR LIENRate/Coupon: 9.0% Matures: 02/01/2019
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $15,001 -$50,000
9.9.20 LEGG MASON, INC. 2.7%07/15/2019 USD SR LIENRate/Coupon: 2.7% Matures: 07/15/2019
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.21 MCCORMICK & CO 2.7%08/15/2022 USD SR LIENRate/Coupon: 2.7% Matures: 08/15/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.22 MEDTRONIC, INC. 2.5%03/15/2020 USD SER B SRLIENRate/Coupon: 2.5% Matures: 03/15/2020
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.23 NVIDIA CORP 2.2%09/16/2021 USD SR LIENRate/Coupon: 2.2% Matures: 09/16/2021
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.24 PNC BANK, NATIONALASSOCIATION 2.45%07/28/2022 USD SERBKNT SR LIENRate/Coupon: 2.45% Matures: 07/28/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.25 PUB SVC ELEC & GAS COMTN 5.3% 05/01/2018SER E SR LIENRate/Coupon: 5.3% Matures: 05/01/2018
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.26 ROYAL BANK OF CANADAMTN 2.75% 02/01/2022USD SR LIENRate/Coupon: 2.75% Matures: 02/01/2022
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.27 THE J. M. SMUCKERCOMPANY 3.0%03/15/2022 USD SER WISR LIENRate/Coupon: 3.0% Matures: 03/15/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $5,001 -$15,000
9.9.28 TORONTO-DOMINIONBANK MTN 1.95%01/22/2019 USD SR LIENRate/Coupon: 1.95% Matures: 01/22/2019
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $2,501 -$5,000
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9.9.29 TOYOTA MOTOR CREDITCORP MTN 2.6%01/11/2022 USD SR LIENRate/Coupon: 2.6% Matures: 01/11/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $2,501 -$5,000
9.9.30 U.S. BANCORP MTN2.625% 01/24/2022 USDSER V SR LIENRate/Coupon: 2.625% Matures: 01/24/2022
CorporateSecuritiesCorporate Bond
Self $100,001 -$250,000
Interest, $2,501 -$5,000
9.9.31 WELLS FARGO &COMPANY 3.069%01/24/2023 USD SR LIENRate/Coupon: 3.069% Matures: 01/24/2023
CorporateSecuritiesCorporate Bond
Self $15,001 -$50,000
Interest, $1,001 -$2,500
9.9.32 ZOETIS INC 3.45%11/13/2020 USD SR LIENRate/Coupon: 3.45% Matures: 11/13/2020
CorporateSecuritiesCorporate Bond
Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.9.33 KFW 1.75% 09/15/2021 SRLIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)
Other Securities Self $250,001 -$500,000
Interest, $5,001 -$15,000
9.10 Goldman Sachs ManagedAccount #8
Brokerage/ManagedAccount
Self
9.10.1 ABBV - AbbVie Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.2 APD - Air Products andChemicals, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.3 AGN - Allergan plc CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.4 ALL - The AllstateCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.5 AEP - American ElectricPower Company, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.6 AXP - American ExpressCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.7 AMP - AmeripriseFinancial, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.8 AMGN - Amgen Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.9 T - AT&T Inc. Corporate Self $15,001 - Dividends, $1,001 -
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SecuritiesStock
$50,000 CapitalGains,
$2,500
9.10.10 BAC - Bank of AmericaCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.11 BRK-B - BerkshireHathaway Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.12 BIIB - Biogen Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.13 BWA - BorgWarner Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.14 AVGO - Broadcom Limited CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$201 - $1,000
9.10.15 CAT - Caterpillar Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.16 CBS - CBS Corporation CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.17 CVX - ChevronCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.18 CB - Chubb Limited CorporateSecuritiesStock
Self $15,001 -$50,000
None, None (or lessthan $201)
9.10.19 CSCO - Cisco Systems,Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.20 CMCSA - ComcastCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.21 COP - ConocoPhillips CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.22 DHR - DanaherCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.23 DE - Deere & Company CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.24 DAL - Delta Air Lines, Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.25 DVN - Devon EnergyCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.26 DFS - Discover Financial Corporate Self $15,001 - Dividends, $201 - $1,000
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Services SecuritiesStock
$50,000
9.10.27 DWDP - DowDuPont Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$2,501 -$5,000
9.10.28 DTE - DTE EnergyCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.29 ETFC - E*TRADE FinancialCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.30 EBAY - eBay Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.31 LLY - Eli Lilly andCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.32 EGN - EnergenCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.33 EOG - EOG Resources,Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.34 ELS - Equity LifeStyleProperties, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.35 XOM - Exxon MobilCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.10.36 GILD - Gilead Sciences,Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.37 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $15,001 -$50,000
Interest, $201 - $1,000
9.10.38 HAL - HalliburtonCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.39 HIW - HighwoodsProperties, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.40 HRC - Hill-Rom Holdings,Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, None (or lessthan $201)
9.10.41 HON - HoneywellInternational Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.42 HBAN - HuntingtonBancshares Incorporated
CorporateSecurities
Self $15,001 -$50,000
Dividends, $201 - $1,000
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Stock9.10.43 ICE - Intercontinental
Exchange, Inc.CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.44 JNJ - Johnson & Johnson CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.45 JPM - JPMorgan Chase &Co.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.46 LH - LaboratoryCorporation of AmericaHoldings
CorporateSecuritiesStock
Self $1,001 -$15,000
None, None (or lessthan $201)
9.10.47 MPC - MarathonPetroleum Corporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.48 MDT - Medtronic plc CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
9.10.49 MSFT - MicrosoftCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.50 MS - Morgan Stanley CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.51 NOC - Northrop GrummanCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.52 NUE - Nucor Corporation CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.53 ON - ON SemiconductorCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
9.10.54 PH - Parker-HannifinCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.55 ORCL - OracleCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.56 PEP - PepsiCo, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.57 PFE - Pfizer Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.58 PG - The Procter &Gamble Company
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.59 PLD - Prologis, Inc. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
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9.10.60 PEG - Public ServiceEnterprise GroupIncorporated
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends, $201 - $1,000
9.10.61 PVH - PVH Corp. CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.62 QCOM - QUALCOMMIncorporated
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.63 PWR - Quanta Services,Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
None (or lessthan $201)
9.10.64 RTN - Raytheon Company CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.65 SWK - Stanley Black &Decker, Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
CapitalGains,
$1,001 -$2,500
9.10.66 STT - State StreetCorporation
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.67 STI - SunTrust Banks, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.68 HSY - The HersheyCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.69 HD - The Home Depot,Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$1,001 -$2,500
9.10.70 TMO - Thermo FisherScientific Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.71 TSN - Tyson Foods, Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
$201 - $1,000
9.10.72 UNH - UnitedHealth GroupIncorporated
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.73 VZ - VerizonCommunications Inc.
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.74 DIS - The Walt DisneyCompany
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.75 WM - Waste Management,Inc.
CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends, $201 - $1,000
9.10.76 WFC - Wells Fargo &Company
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
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9.10.77 WLK - Westlake ChemicalCorporation
CorporateSecuritiesStock
Self $1,001 -$15,000
Dividends,CapitalGains,
$201 - $1,000
9.10.78 XEL - Xcel Energy Inc. CorporateSecuritiesStock
Self $15,001 -$50,000
Dividends,CapitalGains,
None (or lessthan $201)
9.10.79 AIG - AmericanInternational Group, Inc.
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.10.80 AAPL - Apple Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$2,501 -$5,000
9.10.81 BDX - Becton, Dickinsonand Company
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$201 - $1,000
9.10.82 CMI - Cummins Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.10.83 DOW - Dow ChemicalCompany (The)
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.10.84 EIX - Edison International CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.10.85 GE - General ElectricCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.10.86 HPE - Hewlett PackardEnterprise Company
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.10.87 INTC - Intel Corporation CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.10.88 IP - International PaperCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
9.10.89 PHM - PulteGroup, Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.10.90 VLO - Valero EnergyCorporation
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$201 - $1,000
9.10.91 WOOF - VCA Inc. CorporateSecuritiesStock
Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
9.10.92 WRK - WestRockCompany
CorporateSecuritiesStock
Self None (or lessthan $1,001)
Dividends,CapitalGains,
$1,001 -$2,500
9.11 Goldman Sachs ManagedAccount #9
Brokerage/ManagedAccount
Self
9.11.1 PUT/SPX @ 2450 EXP Other Securities Self $1,001 - None, None (or less
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04/30/2018Description: PutOption (New York, NY)
$15,000 than $201)
9.11.2 PUT/SPX @ 2500 EXP03/29/2018Description: PutOption (New York, NY)
Other Securities Self $1,001 -$15,000
None, None (or lessthan $201)
9.11.3 PUT/SPX @ 2570 EXP04/20/2018Description: PutOption (New York, NY)
Other Securities Self $1,001 -$15,000
None, None (or lessthan $201)
9.11.4 PUT/SPX @ 2590 EXP03/16/2018Description: PutOption (New York, NY)
Other Securities Self $1,001 -$15,000
None, None (or lessthan $201)
9.11.5 PUT/SPX @ 2650 EXP03/29/2018Description: PutOption (New York, NY)
Other Securities Self $1,001 -$15,000
None, None (or lessthan $201)
9.11.6 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,
Bank Deposit Self $50,001 -$100,000
Interest, $201 - $1,000
9.11.7 PUT/SPX @ 2190 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.8 PUT/SPX @ 2190 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.9 PUT/SPX @ 2290 EXP04/21/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.10 PUT/SPX @ 2290 EXP04/21/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.11 PUT/SPX @ 2270 EXP05/19/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.12 PUT/SPX @ 2270 EXP05/19/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.13 PUT/SPX @ 2220 EXP06/16/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
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9.11.14 PUT/SPX @ 2260 EXP06/16/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.15 PUT/SPX @ 2270 EXP07/21/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.16 PUT/SPX @ 2270 EXP07/21/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.17 PUT/SPX @ 2400 EXP07/28/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.18 PUT/SPX @ 2380 EXP08/18/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.19 PUT/SPX @ 2300 EXP08/18/2017Description: PutOption (New York, Ny)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.20 PUT/SPX @ 2300 EXP08/18/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
9.11.21 PUT/SPX @ 2300 EXP08/18/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.22 PUT/SPX @ 2410 EXP09/15/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.23 PUT/SPX @ 2410 EXP09/15/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.24 PUT/SPX @ 2420 EXP09/29/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.25 PUT/SPX @ 2420 EXP09/29/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.26 PUT/SPX @ 2300 EXP10/20/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
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9.11.27 PUT/SPX @ 2330 EXP10/20/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.28 PUT/SPX @ 2450 EXP11/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.29 PUT/SPX @ 2450 EXP11/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.30 PUT/SPX @ 2520 EXP12/01/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.31 PUT/SPX @ 2520 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.32 PUT/SPX @ 2440 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.33 PUT/SPX @ 2440 EXP12/15/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.34 PUT/SPX @ 2530 EXP01/19/2018Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.35 PUT/SPX @ 2530 EXP01/19/2018Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.36 PUT/SPX @ 2640 EXP01/26/2018Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.37 PUT/SPX @ 2640 EXP02/16/2018Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.38 PUT/SPX @ 2640 EXP02/16/2018Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.39 PUT/SPX @ 2100 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
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9.11.40 PUT/SPX @ 2150 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.41 PUT/SPX @ 2150 EXP02/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$1,001 -$2,500
9.11.42 PUT/SPX @ 2150 EXP03/17/2017Description: PutOption (New York, NY)
Other Securities Self None (or lessthan $1,001)
CapitalGains,
$2,501 -$5,000
10 Bank of America(Tampa, FL)Type: Checking, MoneyMarket Account, Savings,
Bank Deposit Joint $1,000,001 -$5,000,000
Interest, $1,001 -$2,500
11 Gold BullionDescription: Physical Gold
Personal PropertyPrecious Metals
Self $250,001 -$500,000
None, None (or lessthan $201)
12 W. Mitt Romney 1996Charitable RemainderTrust
TrustGeneral Trust
Self
12.1 TOIXX - FederatedTreasury Obligations
Mutual FundsStable ValueFund
Self $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
12.2 EGFFX - EdgewoodGrowth Retail
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.3 FMIHX - FMI Large Cap Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.4 VFINX - Vanguard 500Index Investor
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.5 ARTKX - ArtisanInternational ValueInvestor
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.6 WCMIX - WCM FocusedInternational Growth Instl
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.7 NAESX - Vanguard SmallCap Index Inv
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.8 TISVX - TransamericaInternational Sm Cp Val I
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.9 DREGX - DriehausEmerging Markets GrowthInv
Mutual FundsMutual Fund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
12.10 MAPIX - Matthews AsiaDividend Investor
Mutual FundsMutual Fund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
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12.11 MWTRX - MetropolitanWest Total Return Bd M
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$201 - $1,000
12.12 NCRIX - NeubergerBerman Core Bond Inv
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$1,001 -$2,500
12.13 ARTFX - Artisan HighIncome Investor
Mutual FundsMutual Fund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$1,001 -$2,500
12.14 BSIIX - BlackRockStrategic Income OppsInstl
Mutual FundsMutual Fund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
12.15 MCIFX - Miller ConvertibleBond I
Mutual FundsMutual Fund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$201 - $1,000
13 Loan Secured by RealProperty in Missouri City,TXDebtor: Timothy Stamps
AccountsReceivableFrom anIndividual
Self $15,001 -$50,000
CapitalGains,
$1,001 -$2,500
14 Vantage 2 LLCCompany: Vantage 2 LLC(Moorpark,CA) Description: Horses
Business EntityLimited LiabilityCompany (LLC)
Spouse
14.1 HorsesDescription: Horses
Personal PropertyOther
Spouse $250,001 -$500,000
None, None (or lessthan $201)
15 Rob Rom LLCCompany: Rob Rom LLC(Moorpark,CA) Description: Horses
Business EntityLimited LiabilityCompany (LLC)
Spouse
15.1 HorsesDescription: Horses
Personal PropertyOther
Spouse $50,001 -$100,000
None, None (or lessthan $201)
16 Promissory Note with ACREnterprises IncCompany: ACR EnterprisesInc (Moorpark, CA)
AccountsReceivableFrom a Business
Spouse $100,001 -$250,000
Interest, $5,001 -$15,000
17 Bain IRA Retirement PlansIRA
Self
17.1 Prospect Harbor CreditPartnersDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$2,501 -$5,000
17.2 Brookside CapitalPartners FundDescription: HedgeFund (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundHedge Fund
Self $50,001 -$100,000
ExceptedInvestmentFund,
None (or lessthan $201)
17.3 Sankaty High Yield AssetGrantor TrustDescription: Private
Investment FundPrivate EquityFund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$15,001 -$50,000
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Equity (Boston, MA) Filercomment: Income from2016 K-1.
17.4 Sankaty High YieldPartners II Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
17.5 Sankaty CreditOpportunities GrantorTrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $1,001 -$15,000
ExceptedInvestmentFund,
None (or lessthan $201)
17.6 Sankaty CreditOpportunities IIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $15,001 -$50,000
ExceptedInvestmentFund,
$2,501 -$5,000
17.7 Sankaty CreditOpportunities IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $100,001 -$250,000
ExceptedInvestmentFund,
$15,001 -$50,000
17.8 Sankaty CreditOpportunities IVDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $100,001 -$250,000
ExceptedInvestmentFund,
$1,001 -$2,500
17.9 Sankaty SpecialSituations I Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $1,001 -$15,000
ExceptedInvestmentFund,
$2,501 -$5,000
17.10 111 Capital Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $15,001 -$50,000
ExceptedInvestmentFund,
None (or lessthan $201)
17.11 BCIP Trust Associates IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.
Investment FundPrivate EquityFund
Self $1,000,001 -$5,000,000
ExceptedInvestmentFund,
None (or lessthan $201)
18 8621 Georgia Associates,LLCCompany: 8621 GeorgiaAssociates, LLC (Potomac,
Business EntityLimited LiabilityCompany (LLC)
Self
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MD) Description: RealEstate
18.1 Apartment BuildingDescription: ResidentialReal Estate (Silver Spring,MD)
Real EstateResidential
Self $500,001 -$1,000,000
None, None (or lessthan $201)
19 Ten Hut, LLCCompany: Ten Hut, LLC(Holladay,UT) Description: RealEstate
Business EntityLimited LiabilityCompany (LLC)
Self
19.1 Apartment BuildingDescription: ResidentialReal Estate (Wichita, KS)
Real EstateResidential
Self $1,000,001 -$5,000,000
CapitalGains,
$1,000,001 -$5,000,000
Part 4a. Periodic Transaction Report SummaryNot required
Part 4b. TransactionsNot required
Part 5. GiftsNot required
Part 6. TravelNot required
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Part 7. LiabilitiesDid you, your spouse, or dependent child have a liability worth more than $10,000 at any time? Yes
# Incurred Debtor Type PointsRate(Term) Amount Creditor Comments
1 2018 Spouse Other(CapitalCommitment)
- 0%(OnDemand)
$100,001 -$250,000
SolamereFoundersFund I, LPBoston,MA
Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.
2 2018 Spouse Other(CapitalCommitment)
- 0%(ondemand)
Over$1,000,000(asset heldindependentlyby spouse ordependentchild)
SolamereCapitalFund II, LPBoston,MA
Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.
3 2018 Spouse Other(CapitalCommitment)
- 0%(ondemand)
$15,001 -$50,000
SolamereCapitalFund II GP,LPBoston,MA
Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.
4 2018 Spouse Other(CapitalCommitment)
- 0%(ondemand)
$15,001 -$50,000
GoldenGateCapitalInvestmentAnnex FundII, L.P.SanFrancisco,CA
Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.
5 2018 Spouse Other(CapitalCommitment)
- 0%(ondemand)
$500,001 -$1,000,000
GoldenGateCapitalOpportunityFund, LPSanFrancisco,CA
Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.
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Part 8. PositionsDid you hold any outside positions during the reporting period? Yes
#PositionDates Position Held Entity Entity Type Comments
1 Dec1991 topresent
Trustee George andLenore RomneyIrrevocableTrustDetroit, MI
Trust Trust established to hold extended familyvacation property
2 Dec2012 topresent
Director MarriottInternationalBethesda, MD
Company None
3 Mar2013 topresent
Trustee The RomneyFoundation forChildrenBoston, MA
NonprofitOrganization
None
4 Mar2013 topresent
Other(Chairman ofthe ExecutivePartner Group)
SolamereCapital, LLCBoston, MA
Company None
5 Dec2013 topresent
Other(Manager)
RomneyChildren, LLCWilmington,DE
Other (Holdsinvestmentsfor filer'schildren.)
None
6 Oct2014 topresent
Other(AdvisoryBoardMember)
Ann RomneyCenter forNeurologicDiseasesBoston, MA
Other(ResearchFacility)
None
7 Sep2015 topresent
Other(AdvisoryBoardConvener)
Kem C. GardnerPolicy Instituteat University ofUtahSalt Lake City,UT
EducationalOrganization
None
8 Sep2017 topresent
Other(EconomicStrategy GroupMember)
The AspenInstituteWashington,DC
NonprofitOrganization
None
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Part 9. AgreementsDid you have any reportable agreement or arrangement with an outside entity? Yes
# Date Parties Involved Type Status and Terms
1 Aug 2009 St. Martin's PressNew York, NY
Royalty Agreement Publishing agreement with St. Martin's Press("No Apology: The Case for AmericanGreatness")
Part 10. CompensationIf this is your first report, or you are a candidate did you receive compensation of more than $5,000 from asingle source in the two prior years? No
Attachments & CommentsAttachments
Document Title Date/Time Added
Romney--2018 PFD Appended Notes.pdf 03/22/2018 @ 2n27 PM
CommentsNotes regarding Part 3 and Part 7 of the Report are attached.