Nominee Report U.S. Office of Government Ethics; 5 C.F.R. part 2634 Form Approved: OMB No. (3209-0001) (March 2014) Executive Branch Personnel Public Financial Disclosure Report (OGE Form 278e) Filer's Information Ross, Wilbur L Secretary, Department of Commerce Other Federal Government Positions Held During the Preceding 12 Months: None Names of Congressional Committees Considering Nomination: ● Committee on Commerce, Science, and Transportation Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge. /s/ Ross, Wilbur L [electronically signed on 12/19/2016 by Ross, Wilbur L in Integrity.gov] Agency Ethics Official's Opinion - On the basis of information contained in this report, I conclude that the filer is in compliance with applicable laws and regulations (subject to any comments below). /s/ Maggi, David, Certifying Official [electronically signed on 01/15/2017 by Maggi, David in Integrity.gov] Other review conducted by U.S. Office of Government Ethics Certification /s/ Shaub, Walter M, Certifying Official [electronically signed on 01/15/2017 by Shaub, Walter M in Integrity.gov] 1. Filer's Positions Held Outside United States Government # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 1 Palm Beach Preservation Foundation See Endnote Palm Beach, Florida Non-Profit Trustee 1/2010 Present 2 Harvard Business School Club of New York See Endnote New York, New York Social Club Director 1/2011 Present 3 The Partnership for New York City See Endnote New York, New York Non-Profit Member of the Executive Committee 1/2010 Present 4 WL Ross and Co. LLC Wilmington, Delaware Limited Liability Company Chairman/Chief Strategy Officer 10/1997 Present 5 Sun National Bank Vineland, New Jersey Bank Director 9/2010 Present 6 Nexeo Solutions The Woodlands, Texas Chemicals/Plasti cs Distribution Chairman 3/2014 Present 7 BankUnited FSB, BankUnited, Inc. Miami Lakes, Florida Banks Director 5/2009 3/2014 8 First Michigan Bank/Talmer Bancorp Troy, Michigan Bank Director 4/2010 11/2014 9 WLR China Energy Associates, Ltd. Cayman Islands, Outside U.S. Investment Management Director 12/2008 Present 10 INVESCO WLR Private Equity Investment Management, Ltd. Hong Kong, Outside U.S. Investments Director 6/2008 Present 11 Invesco Private Capital, Inc. Palo Alto, California Investment Management Director 10/2006 Present 12 ArcelorMittal Luxembourg, Outside U.S. Steel Director 5/2008 Present 13 Assured Guaranty Bermuda, Outside U.S. Insurance Director 5/2008 11/2014 14 Huaneng Invesco WLR Investment Consulting Company Ltd. China, Outside U.S. Investment Management Director 9/2008 Present # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 15 International Automotive Group North America (Inc., LLC, and Holdings, Inc.) See Endnote Southfield, Michigan Auto parts Chairman and Director 1/2006 11/2014 16 International Automotive Group GmbH See Endnote Krefeld, Outside U.S. Auto parts Chairman and Director 1/2006 11/2014 17 International Textile Group See Endnote Greensboro, South Carolina Textiles Non-Executive Director 1/2005 11/2014 18 Invesco WLR Limited Hong Kong, Outside U.S. Investment Management Director 6/2008 Present 19 PLASCAR Brazil, Outside U.S. Auto parts Director 3/2008 1/2014 20 Invesco Private Capital Investments, Inc. Palo Alto, California Investment Management Director 10/2006 Present 21 WL Ross & Co. (India) LLC Wilmington, Delaware Limited Liability Company Director 7/2006 Present 22 Absolute Recovery Hedge Fund, Ltd.; Absolute Recovery Master Fund Ltd. Bermuda, Outside U.S. Investment Management Director 5/2001 Present 23 Ohizumi Manufacturing Sayama-shi, Outside U.S. Air Conditioner parts Director 6/2010 4/2015 24 WLR/GS (India) Limited Mauritius, Outside U.S. Investment Management Director 8/2008 10/2015 25 Ross Expansion FLP, LP New York, New York Limited Partnership General Partner 12/2005 Present 26 WLR Master Co-Investment SLP GP, Ltd. New York, New York General Partner Director/Chairm an 8/2011 Present 27 The Japan Society, Inc. New York, New York Non-Profit Director/Chairm an 2/2005 Present 28 Diamond S Shipping LLC See Endnote New York, New York Shipping Management Chairman 1/2011 Present 29 Briarcliff Condominium Apartment Building See Endnote New York, New York Non-Profit Director 1/2007 Present 30 El Vedado LLC West Palm Beach, Florida Limited Liability Company Sole Member 12/2005 Present # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 31 Exco Resources Dallas, Texas Corporation Independent Director 1/2012 Present 32 Sun BanCorp Mount Laurel, New Jersey Bank Director 9/2009 Present 33 Bank of Cyprus Strovolos, Outside U.S. Bank Director/Vice Chairman 11/2014 Present 34 American Friends of the Rene Magritte Museum See Endnote New York, New York Non-Profit President 1/2014 Present 35 Musee des Arts Decoratifs See Endnote Paris, Outside U.S. Non-Profit International Counsel Member 1/2014 Present 36 British American Business, Inc. See Endnote New York, New York Business Network International Advisory Board Director 1/2010 Present 37 Diamond S Shipping Group, Inc. See Endnote Greenwich, Connecticut Shipping Services Non-Executive Chairman 1/2011 Present 38 Governor and Company of the Bank of Ireland Dublin, Outside U.S. Bank Director 6/2012 6/2014 39 NBNK Investments PLC London, Outside U.S. Bank Director/Chairm an 1/2013 11/2014 40 PB Materials Holdings, Inc. Odessa, Texas Corporation Director 10/2013 11/2014 41 Navigator Holdings Ltd. London, Outside U.S. Shipping Director/Chairm an 1/2012 11/2014 42 Ocwen Financial Corp. Atlanta, Georgia Mortgage Servicing Director 3/2013 11/2014 43 International Automotive Group Japan, LLC See Endnote Yokohama, Outside U.S. Auto Parts Director/Chairm an 1/2006 11/2014 44 International Automotive Components Group, S.A. See Endnote Luxembourg, Outside U.S. Auto parts Non-Executive Chairman 1/2006 11/2014 45 IACNA International, Inc. Wilmington, Delaware Corporation Director 6/2008 11/2014 46 Harvard Business School, Dean's Advisory Board Cambridge, Massachusetts Non-Profit Director 1/2012 1/2015 See Endnote See Endnote See Endnote # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 47 India Asset Recovery Fund Limited Mauritius, Outside U.S. Investment Management Director 7/2006 Present 48 Palm Beach Retirement Funds See Endnote Palm Beach, Florida Pension Plan for public Servants Trustee 1/2010 Present 49 Brookings Economic Studies Council See Endnote Washington, District of Columbia Non-Profit Director/Chairm an 1/2012 Present 50 DSS Holdings LP See Endnote Greenwich, Connecticut Shipping Director/Chairm an 1/2011 Present 51 IAC Asia Holdings, Inc. Wilmington, Delaware Auto parts Director 5/2007 11/2014 52 IACNA Korea, Inc. Wilmington, Delaware Auto parts Director 10/2010 11/2014 53 IAC Mexico Holdings, Inc. Wilmington, Delaware Auto parts Director 5/2007 11/2014 54 IAC Spartanburg, Inc. Wilmington, Delaware Auto parts Director 2/2010 11/2014 55 IAC U.S. Holdings, Inc. Wilmington, Delaware Auto parts Director 5/2007 11/2014 56 Ross Expansion GP LLC Wilmington, Delaware Limited Liability Company Sole Member 4/2004 Present 57 Absolute Recovery Capital Partners, LLC Wilmington, Delaware Limited Liability Company Managing Member 5/2011 Present 58 Blenheim Foundation USA Palm Beach, Florida Non-Profit Trustee 1/2008 Present 59 Invesco Ltd. Atlanta, Georgia Corporation CEO -- Private Equity Groups 10/2006 Present 60 Brookings Institution See Endnote Washington, District of Columbia Non-Profit Trustee 1/2013 Present 61 Palm Beach Civic Association See Endnote Palm Beach, Florida Non-Profit Director 1/2010 Present # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 62 Permali do Brasil Industria e Comercio Ltda Brazil, Outside U.S. Investments Director 3/2008 1/2014 63 1116 South Main Street, LLC See Endnote Wilmington, Delaware Limited Liability Company Managing Member 1/2003 Present 64 781 Fifth Ave. LLC See Endnote Wilmington, Delaware Limited Liability Company Managing Member 1/2003 Present 65 Euro Wagon Ltd. George Town, Outside U.S. Corporation Director 2/2011 Present 66 Euro Wagon II Ltd. George Town, Outside U.S. Corporation Director 2/2011 Present 67 WLR Euro Wagon Management Ltd. (Jersey) St Helier, Outside U.S. Corporation Director 9/2005 Present 68 WL Ross Group (Cayman) Ltd. Cayman Islands, Outside U.S. Corporation Director 2/2011 Present 69 India Asset Recovery GP Ltd. Cayman Islands, Outside U.S. Corporation Director 7/2006 Present 70 WLR Select Associates DSS GP, Ltd. Cayman Islands, Outside U.S. Corporation Director 12/2010 Present 71 WLR IV Loans AIV Feeder (Cayman), Ltd. Cayman Islands, Outside U.S. Corporation Director 10/2009 Present 72 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) Cayman Islands, Outside U.S. Corporation Director 11/2007 Present 73 WLR Recovery Associates V DSS AIV GP, Ltd. (Cayman) Cayman Islands, Outside U.S. Corporation Director 9/2011 Present 74 Starboard GP Ltd. (Cayman) New York, New York Corporation Director 11/2013 Present 75 WLR Cardinal Associates Ltd. New York, New York Corporation Director 5/2015 Present 76 India Asset Recovery Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2006 Present 77 WLR Recovery Associates II LLC Wilmington, Delaware Limited Liability Company Managing Member 2/2002 Present # ORGANIZATION NAME CITY, STATE ORGANIZATION TYPE POSITION HELD FROM TO 78 Starboard WLR Associates L.P. New York, New York Limited Partnership Principal Partner 11/2013 Present 79 WLR-SC Financing Conduit LLC Wilmington, Delaware Limited Liability Company Managing Member 1/2013 Present 80 Ross CG GP LLC Wilmington, Delaware Limited Liability Company Sole Member 5/2003 Present 81 WLR IMRF II Associates LLC Wilmington, Delaware Limited Liability Company Managing Member 4/2016 Present 82 WLR Nanotechnology GP LLC Wilmington, Delaware Limited Liability Company Managing Member 1/2006 Present VALUE INCOME TYPE INCOME AMOUNT 2. Filer's Employment Assets & Income and Retirement Accounts # DESCRIPTION EIF 1 Invesco 1.1 Invesco Group Services N/A Base Salary $2,000,000 1.2 Invesco Group Services N/A Bonus $2,244,000 1.3 Invesco 401k Plan 1.3.1 Invesco Developing Markets R6 Yes None (or less than $1,001) 1.3.2 Invesco Core Plus Fixed Income Yes $15,001 $50,000 1.3.3 SSgA U.S. Bond Index Non-Lending Series Fund Class C Yes $15,001 $50,000 1.3.4 SSgA Inflation Protected Bond Index Fund Yes $15,001 $50,000 1.4 Invesco Ltd. stock N/A $5,000,001 $25,000,000 See Endnote No None (or less than $201) Dividends $100,001 $1,000,000 # DESCRIPTION EIF VALUE 1.5 Invesco Ltd. restricted stock (unvested) N/A $5,000,001 $25,000,000 None (or less than $201) 1.6 Invesco Group Services, anticipated bonus N/A $1,000,001 $5,000,000 None (or less than $201) 2 ArcelorMittal N/A 3 Air Lease Corporation N/A $250,001 $500,000 4 BankUnited, Inc. N/A $1,001 - $15,000 None (or less than $201) 5 Exco (vested shares) N/A $15,001 $50,000 None (or less than $201) 6 Exco (unvested shares) N/A $100,001 $250,000 None (or less than $201) 7 Ocwen Financial Corporation N/A $1,001 - $15,000 None (or less than $201) 8 Sun Bancorp, Inc. N/A $1,001 - $15,000 None (or less than $201) 9 El Vedado, LLC See Endnote No 9.1 WL Ross Group, L.P. See Endnote No 10 WL Ross Group, L.P. See Endnote No 10.1 WLR Recovery Associates IV LLC See Endnote No $5,000,001 $25,000,000 10.1.1 WLR Recovery Fund IV, L.P. -- Carried Interest See Endnote N/A $5,000,001 $25,000,000 10.1.2 WLR Recovery Fund IV, L.P. No 10.1.2. 1 International Textile Group (textiles) (no longer held) N/A 10.1.2. 2 WLR - Greenbrier Rail Inc. (railroads) (no longer held) N/A 10.1.2. 3 Sun Bancorp. Inc. N/A See Endnote INCOME TYPE INCOME AMOUNT Director Fee $107,567 Dividends Capital Gains $1,001 - $2,500 Capital Gains Dividends $100,001 $1,000,000 None (or less than $201) # DESCRIPTION EIF 10.1.2. 4 Cascade Bancorp N/A 10.1.2. 5 Amalgamated Bank (banking) N/A 10.1.3 WLR Recovery Fund IV XCO Feeder I, L.P. No 10.1.3. 1 WLR Recovery Fund IV XCO AIV I, L.P. No 10.1.3. 1.1 EXCO Resources, Inc. N/A 10.1.4 WLR Recovery Fund IV XCO Feeder II, L.P. No 10.1.4. 1 WLR Recovery Fund IV XCO AIV II, L.P. No 10.1.4. 1.1 EXCO Resources, Inc. N/A 10.1.5 WLR Recovery Fund IV XCO Feeder III, L.P. No 10.1.5. 1 WLR Recovery Fund IV XCO AIV III, L.P. No 10.1.5. 1.1 EXCO Resources, Inc. N/A 10.1.6 WLR IV RRH AIV, L.P. No 10.1.6. 1 Cantor Commercial Real Estate Company (real estate financing) N/A 10.1.7 WLR IV RRH Blocked AIV, L.P. No 10.1.7. 1 Cantor Commercial Real Estate Company (real estate financing) N/A 10.1.8 WLR IV PPIP AIV, L.P. No 10.1.8. 1 Invesco Mortgage Recovery Master Fund, L.P. No 10.1.8. 1.1 Invesco Legacy Securities Master Fund, L.P. See Endnote N/A VALUE INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF 10.1.9 WLR IV PPIP AIV Feeder, L.P. No 10.1.9. 1 WLR IV PPIP AIV, L.P. 10.1.1 0 WLR IV Loans AIV Feeder, L.P. (Delaware) No 10.1.1 0.1 WLR IV Loans AIV, L.P. No 10.1.1 0.1.1 Invesco Mortgage Recovery Master Loans AIV, L.P. No 10.1.1 0.1.1.1 WLR LeFrak Northwest LLC (real estate loans) N/A 10.1.1 0.1.1.2 IMRF Hotel Fifth Street Member LLC (real estate loans) N/A 10.1.1 0.1.1.3 Park Place Apollo Investor LLC (real estate loans) N/A 10.1.1 0.1.1.4 Market Square Member LLC (real estate loans) N/A 10.1.1 0.1.1.5 Indiana Retail Member LLC (real estate loans) N/A 10.1.1 0.1.1.6 Colfin Milestone North Funding LLC (commercial real estate loans) N/A 10.1.1 0.1.1.7 IMRF Hotel Member LLC (real estate loans) N/A 10.1.1 0.1.1.8 IMRF Watchtower Member LLC (real estate loans) N/A 10.1.1 0.1.1.9 Shackelford Crossings Member LLC (real estate loans) N/A 10.1.1 0.1.1.1 0 IMRF Industrial Member LLC (real estate loans) N/A 10.1.1 1 WLR IV Loans AIV Feeder, (Cayman) L.P. No See Endnote No VALUE INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF 10.1.1 1.1 WLR IV Loans AIV, L.P. See Endnote No 10.1.1 2 WLR IV Loans AIV, L.P. See Endnote No 10.2 WLR Mezzanine Associates, LLC See Endnote No 10.2.1 WLR Mezzanine Splitter, L.P. (Cayman) No 10.2.1. 1 WLR Cardinal Associates Ltd. No 10.2.1. 1.1 WLR Cardinal Mezzanine Fund L.P. (Cayman) No 10.2.1. 1.1.1 Dwyer Nolan: Elmfield Property Holdings, Ltd. Tranche A (real estate loans) N/A 10.2.1. 1.1.2 Hennebry, O'Toole, Exmonde Partnership (real estate loans) N/A 10.2.1. 1.1.3 Henciti Limited (real estate loans) N/A 10.2.1. 1.1.4 Genesis Homes (Mungret) Limited (real estate loans) N/A 10.2.1. 1.1.5 Charlemont Regene (real estate loans) N/A 10.2.1. 1.1.6 Chirita Limited (real estate loans) N/A 10.2.1. 1.1.7 Kitty Developments Limited (real estate loans) N/A 10.2.1. 1.1.8 Newpark Developments Limited (real estate loans) N/A 10.2.1. 1.1.9 RGRE Ballsbridge Devco No. 3 (real estate loans) N/A 10.2.1. 1.1.10 Chalon Finance DAC (real estate loans) N/A VALUE $100,001 $250,000 INCOME TYPE INCOME AMOUNT None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.2.2 WLR Cardinal Mezzanine Fund L.P. (Cayman) -- Carried Interest (value not readily ascertainable) See Endnote N/A 10.3 Absolute Recovery Capital Partners LLC See Endnote No 10.3.1 Absolute Recovery Hedge Fund Ltd. (Cayman) 10.3.1. 1 Absolute Recovery Master Fund Ltd. See Endnote N/A 10.3.2 Absolute Recovery Hedge Fund L.P. See Endnote N/A 10.4 WLR Recovery Associates LLC (cash) See Endnote N/A $500,001 $1,000,000 None (or less than $201) 10.5 WL Ross Sponsor LLC No $5,000,001 $25,000,000 None (or less than $201) 10.5.1 Nexeo Solutions, stock N/A 10.6 WLR Conduit MM LLC 10.6.1 WLR-SC Financing Conduit LLC No 10.6.1. 1 Resolution Recovery Partners LP (real estate) N/A 10.6.1. 2 Transportation Recovery Fund, L.P. No 10.6.1. 2.1 WLR/TRF Shipping GP Ltd. No 10.6.1. 2.1.1 WLR/TRF Shipping LP (Cayman) No 10.6.1. 2.1.1.1 WLR/TRF Shipping S.a r.l. See Endnote No 10.6.1. 2.2 WLR/TRF Shipping LP (Cayman) See Endnote No 10.6.1. 2.3 WLR/TRF Shipping II GP Ltd. None (or less than $201) $250,001 $500,000 Capital Gains $5,001 - $15,000 No See Endnote No No $500,001 $1,000,000 Capital Gains Dividends $100,001 $1,000,000 # DESCRIPTION EIF 10.6.1. 2.3.1 WLR/TRF Shipping II LP (Cayman) No 10.6.1. 2.3.1.1 WLR/TRF Shipping II S.a r.l. See Endnote No 10.6.1. 2.4 WLR/TRF Shipping II LP (Cayman) See Endnote No 10.6.1. 3 American Energy - Permian Basin LLC, bonds N/A 10.6.1. 4 Comstock Resources, Inc., warrants N/A 10.6.1. 5 Energen Corp. N/A 10.6.1. 6 Laredo Petroleum Inc. N/A 10.6.1. 7 Northern Oil and Gas Inc. N/A 10.6.1. 8 New Penn Financial LLC (mortgage financing) N/A 10.6.1. 9 QEP Resources Inc. N/A 10.6.1. 10 Breitburn Energy Partners, bonds N/A 10.6.1. 11 Rex Energy Corp. N/A 10.6.1. 12 WPX Energy Inc. N/A 10.6.1. 13 Comstock Resources, equity N/A 10.6.1. 14 Shellpoint Partners LLC (mortgage lending) N/A 10.6.1. 15 Cantor Commercial Real Estate Company (real estate financing) N/A VALUE INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 10.6.1. 16 Situs Holdings, LLC (commercial mortgage servicing) N/A 10.6.2 Approach Resources, Inc., bonds N/A 10.6.3 Lightstream Resources, bonds N/A 10.6.4 WLR Conduit MM LLC -- Carried interest See Endnote N/A $500,001 $1,000,000 10.7 WLR Recovery Associates V LLC See Endnote No $1,000,001 $5,000,000 10.7.1 WLR V RRH Blocked AIV, L.P. No 10.7.1. 1 Cantor Commercial Real Estate Company (real estate financing) N/A 10.7.2 WLR V RRH AIV, L.P. No 10.7.2. 1 Cantor Commercial Real Estate Company (real estate financing) N/A 10.7.3 WLR V RRH Feeder AIV LLC No 10.7.3. 1 WLR V RRH Blocked AIV, L.P. No 10.7.3. 1.1 Cantor Commercial Real Estate Company (real estate financing) N/A 10.7.4 WLR Recovery Fund V Mezzanine AIV Blocker, L.P. No 10.7.4. 1 WLR Recovery Fund V Mezzanine AIV, L.P. No 10.7.4. 1.1 WLR Recovery Fund V Mezzanine Holdings LLC No 10.7.4. 1.1.1 WLR Cardinal Associates Ltd. No 10.7.4. 1.1.1.1 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 10.7.4. 1.1.2 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No INCOME TYPE INCOME AMOUNT None (or less than $201) Dividends Capital Gains $1,000,001 $5,000,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.7.5 WLR Recovery Fund V Mezzanine AIV, L.P. No 10.7.5. 1 WLR Recovery Fund V Mezzanine Holdings LLC See Endnote No 10.7.6 WLR Recovery Fund V, L.P. -- Carried Interest (value not readily ascertainable) See Endnote N/A None (or less than $201) 10.7.7 WLR V RRH Blocked AIV, L.P. -- Carried Interest (value not readily ascertainable) See Endnote N/A None (or less than $201) 10.7.8 WLR V RRH AIV, L.P. -- Carried Interest (value not readily ascertainable) See Endnote N/A None (or less than $201) 10.7.9 WLR Recovery Fund V, L.P. No 10.7.9. 1 Virgin Money (banking) (no longer held) N/A 10.7.9. 2 Amalgamated Bank (banking) N/A 10.7.9. 3 NBNK Investments PLC (investments) (no longer held) N/A 10.7.9. 4 CCRE/Berkeley Point Financial LLC (real estate) N/A 10.7.9. 5 Bank of Cyprus (banking) N/A 10.7.9. 6 PB Materials Holdings, Inc. (construction) N/A 10.7.9. 7 Carbures Inc. (nano carbon fiber manufacturing) N/A 10.7.9. 8 DSS Holdings, L.P. (transoceanic shipping) N/A 10.7.9. 9 American Energy - Permian Basin LLC, bonds N/A 10.7.9. 10 Approach Resources, Inc., bonds N/A 10.7.9. 11 Breitburn Energy Partners, bonds N/A # DESCRIPTION EIF 10.7.9. 12 Comstock Resources Inc., warrants N/A 10.7.9. 13 Lightstream Resources, bonds N/A 10.7.9. 14 WLR Eurobank Investment, L.P. No 10.7.9. 14.1 Eurobank Ergasias SA (banking) N/A 10.8 WLR Select Associates LLC 10.8.1 WLR Select Co-Investment XCO AIV, L.P. No 10.8.1. 1 Exco Resources, Inc. N/A 10.8.2 WLR Select Co-Investment XCO AIV, L.P. -Carried Interest (value not readily ascertainable) 10.9 WL Ross Group (Cayman), Ltd. No 10.9.1 WLR China Energy CV, L.P. No 10.9.1. 1 WLR China Energy Associates, Ltd. No 10.9.1. 1.1 WLR China Energy Infrastructure Fund, L.P. - Carried Interest (value not readily ascertainable) 10.9.1. 1.2 See Endnote See Endnote See Endnote No VALUE INCOME TYPE INCOME AMOUNT $15,001 $50,000 Dividends Interest $201 - $1,000 N/A None (or less than $201) N/A None (or less than $201) WLR China Energy Infrastructure Fund, L.P. No None (or less than $201) 10.9.1. 1.2.1 Longmen Group Limited (natural gas) N/A $1,001 - $15,000 10.9.1. 1.2.2 Organica Water Inc. (wastewater infrastructure) N/A $1,001 - $15,000 10.9.1. 1.2.3 Phononic Devices, Inc. (consumer products manufacturing) N/A $15,001 $50,000 # DESCRIPTION EIF VALUE 10.9.1. 1.2.4 SinoTech Power Group Holding (solar power) N/A $15,001 $50,000 10.9.1. 1.2.5 Huaneng Renewables Corp., Ltd. (energy) N/A $15,001 $50,000 10.9.1. 1.2.6 ChargePoint, Inc. (electric vehicle charging) N/A $1,001 - $15,000 10.10 WLR Recovery Associates II, LLC No 10.10. 1 WLR Recovery Fund II, L.P. -- Carried Interest 10.11 WLR Recovery Associates III, LLC 10.11. 1 WLR Recovery Fund III, L.P. -- Carried Interest (value not readily ascertainable) 10.12 WLR IMRF II Associates LLC 10.12. 1 Invesco Mortgage Recovery Master Associates II, LLC No 10.12. 1.1 Invesco Mortgage Recovery Fund II, L.P. No 10.12. 1.1.1 Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. No 10.12. 1.1.1.1 Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. No 10.12. 1.1.1.1 .1 ITAL SCSP (Luxembourg) No 10.12. 1.1.1.1 .1.1 Spiga (real estate loans) N/A 10.12. 1.1.1.2 Generator (real estate loans) N/A 10.12. 1.1.1.3 Ames Hotel (real estate loans) N/A See Endnote N/A $250,001 $500,000 INCOME TYPE INCOME AMOUNT None (or less than $201) No None (or less than $201) See Endnote N/A None (or less than $201) See Endnote No $1,001 - $15,000 None (or less than $201) # DESCRIPTION EIF 10.12. 1.1.1.4 Bayside Square (real estate loans) N/A 10.12. 1.1.1.5 Luhrs City Center (real estate loans) N/A 10.12. 1.1.1.6 Crown Heights (real estate loans) N/A 10.12. 1.1.1.7 5801 Christie Avenue (real estate loans) N/A 10.12. 1.1.1.8 Sareb Loan Portfolio (real estate loans) N/A 10.12. 1.2 Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. 10.12. 1.3 Invesco Mortgage Recovery Fund II ESC, L.P. 10.12. 1.3.1 Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. 10.12. 1.3.2 IMRF II HoldCo S.a r.l. (Luxembourg) No 10.12. 1.3.2.1 102 Champs-Elysees (real estate loans) N/A 10.12. 1.3.2.2 Frascati (real estate loans) N/A 10.12. 1.3.2.3 Gregorio Benetiz (real estate loans) N/A 10.12. 1.4 Invesco Mortgage Recovery Fund II CoInvest ITAL, L.P. No 10.12. 1.4.1 Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. 10.12. 1.5 Invesco Mortgage Recovery Fund II Feeder, LLC 10.12. 1.6 Invesco Mortgage Recovery Fund II, L.P. -carried interest (value not readily ascertainable) See Endnote VALUE INCOME TYPE INCOME AMOUNT No No See Endnote See Endnote No No No See Endnote N/A None (or less than $201) # DESCRIPTION EIF 10.12. 1.7 Invesco Mortgage Recovery Fund II CoInvest ITAL, L.P. -- carried interest (value not readily ascertainable) 10.13 WLR Master Co-Investment SLP Associates L.P. (Cayman) 10.13. 1 WLR/GS Master Co-Investment L.P. (Cayman) -- Carried Interest (value not readily ascertainable) See Endnote N/A None (or less than $201) 10.14 WLR Recovery Associates IV DSS AIV, L.P. (value not readily ascertainable) See Endnote No None (or less than $201) 10.14. 1 WLR Recovery Fund IV DSS AIV, L.P. (Cayman) No 10.14. 1.1 DSS Holdings LP Class A (transoceanic shipping) N/A 10.14. 1.2 DSS Holdings LP Class B (transoceanic shipping) N/A 10.14. 1.3 Navigator Holdings Ltd. (transoceanic shipping) N/A 10.14. 1.4 DSS Holdings GP Ltd. (transoceanic shipping) N/A 10.15 WLR Recovery Associates V DSS AIV, L.P. 10.15. 1 WLR Recovery Fund V DSS AIV, L.P. 10.15. 1.1 WLR/TRF Shipping LP (Cayman) See Endnote No 10.15. 1.2 WLR/TRF Shipping II LP (Cayman) See Endnote No 10.15. 1.3 Navigator Holdings Ltd. (transoceanic shipping) N/A 10.15. 1.4 DSS Holdings, L.P. (transoceanic shipping) N/A See Endnote VALUE INCOME TYPE N/A INCOME AMOUNT None (or less than $201) No See Endnote No No $1,000,001 $5,000,000 Dividends Capital Gains Interest $100,001 $1,000,000 # DESCRIPTION 10.16 WLR Select Associates DSS, L.P. 11 WLR Recovery Associates V DSS AIV GP, Ltd. 11.1 WLR Recovery Associates V DSS AIV, L.P. See Endnote No 11.1.1 WLR Recovery Fund V DSS AIV, L.P. -- Carried Interest (value not readily ascertainable) See Endnote N/A 12 WLR/IVZ Mortgage Recovery Associates LLC See Endnote No 12.1 Invesco Mortgage Recovery Master Associates LLC No 12.1.1 Invesco Mortgage Recovery Offshore Feeder Fund, L.P. No 12.1.1. 1 Invesco Mortgage Recovery Feeder Fund, L.P. No 12.1.1. 1.1 Invesco Mortgage Recovery Master Fund, L.P. No 12.1.1. 1.1.1 Invesco Legacy Securities Master Fund, L.P. 12.1.2 Invesco Mortgage Recovery Feeder Fund, L.P. No 12.1.2. 1 Invesco Mortgage Recovery Master Fund, L.P. No 12.1.2. 1.1 Invesco Legacy Securities Master Fund, L.P. 12.1.3 Invesco Legacy Securities Offshore Feeder Fund, L.P. No 12.1.3. 1 Invesco Legacy Securities Feeder Fund, L.P. No 12.1.3. 1.1 Invesco Legacy Securities Master Fund, L.P. See Endnote EIF VALUE INCOME TYPE INCOME AMOUNT No $50,001 $100,000 Dividends Interest Capital Gains $1,001 - $2,500 No See Endnote See Endnote See Endnote N/A N/A N/A None (or less than $201) $500,001 $1,000,000 Dividends Capital Gains Interest $100,001 $1,000,000 # DESCRIPTION EIF 12.1.4 Invesco Mortgage Recovery Master Fund, L.P. No 12.1.4. 1 Invesco Legacy Securities Master Fund, L.P. 12.1.5 Invesco Legacy Securities Feeder Fund, L.P. 12.1.5. 1 Invesco Legacy Securities Master Fund, L.P. See Endnote N/A 12.1.6 Invesco Legacy Securities Master Fund, L.P. See Endnote N/A 12.1.7 Invesco Recovery Loans Feeder Fund, L.P. (DE) No 12.1.7. 1 Invesco Mortgage Recovery Loans AIV, L.P. No 12.1.7. 1.1 Invesco Mortgage Recovery Master Loans AIV, L.P. 12.1.8 Invesco Mortgage Recovery Loans Feeder Fund, L.P. (Cayman) No 12.1.8. 1 Invesco Mortgage Recovery Loans AIV, L.P. No 12.1.8. 1.1 Invesco Mortgage Recovery Master Loans AIV, L.P. 12.1.9 Invesco Mortgage Recovery Loans AIV, L.P. 12.1.9. 1 Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 12.1.1 0 Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 12.2 WLR IV PPIP Co-Invest Offshore Feeder Fund, L.P. No 12.2.1 WLR IV PPIP Co-Invest, L.P. No 12.2.1. 1 Invesco Mortgage Recovery Master Fund, L.P. No See Endnote N/A No See Endnote See Endnote No No No VALUE INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF 12.2.1. 1.1 Invesco Legacy Securities Master Fund, L.P. 12.3 WLR IV PPIP Co-Invest, L.P. No 12.3.1 Invesco Mortgage Recovery Master Fund, L.P. No 12.3.1. 1 Invesco Legacy Securities Master Fund, L.P. 12.4 WLR IV PPIP Coinvest Loans Feeder Fund, L.P. (DE) No 12.4.1 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.4.1. 1 Invesco Mortgage Recovery Master Loans AIV, L.P. 12.5 WLR IV PPIP Coinvest Loans Feeder Fund (Cayman), L.P. No 12.5.1 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.5.1. 1 Invesco Mortgage Recovery Master Loans AIV, L.P. 12.6 WLR Whole Loan Fund, L.P. No 12.6.1 WLR LeFrak (Northwest) LLC (real estate loans) N/A 12.6.2 Market Square Member LLC (real estate loans) N/A 12.6.3 Indiana Retail Member LLC (real estate loans) N/A 12.6.4 Shackleford Crossings Member LLC (real estate loan) N/A 12.6.5 Colfin Milestone North Funding LLC (real estate loan) N/A 12.6.6 IMRF Hotel Member LLC (real estate loan) N/A 12.6.7 Park Place Apollo Investor LLC (real estate loan) N/A See Endnote See Endnote See Endnote See Endnote N/A N/A No No VALUE INCOME TYPE INCOME AMOUNT # DESCRIPTION EIF VALUE 12.6.8 IMRF Watchtower Member LLC (real estate loan) N/A 12.6.9 IMRF Industrial Member LLC (real estate loan) N/A 12.7 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.7.1 Invesco Mortgage Recovery Master Loans AIV, L.P. See Endnote No 12.8 WLR/IVZ Mortgage Recovery Associates LLC -- Carried Interest See Endnote N/A $1,000,001 $5,000,000 13 Starboard GP Ltd. See Endnote No $50,001 $100,000 13.1 Starboard Recovery Associates, L.P. No 13.1.1 WLR Navig8 Co-Investment, L.P. No 13.1.1. 1 WLR/TRF Shipping S.a. r.l. See Endnote No 13.2 Transportation Recovery Fund, L.P. -Carried Interest (value not readily ascertainable) See Endnote N/A 14 IRA - Traditional No 14.1 WLR Recovery Associates, II LLC No 14.1.1 WLR Recovery Fund II, L.P. No 14.1.1. 1 International Textile Group (textiles) (no longer held) N/A 14.1.1. 2 WLR Cone Mills Surplus Assets LLC (textiles) (no longer held) N/A 14.1.1. 3 Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) N/A 14.1.1. 4 Nano-Tex LLC (textiles) (no longer held) N/A INCOME TYPE INCOME AMOUNT None (or less than $201) Dividends $50,001 $100,000 None (or less than $201) $250,001 $500,000 Dividends $100,001 $1,000,000 # DESCRIPTION EIF 14.1.1. 5 IAC Group North America LLC (automotive parts) N/A 14.1.1. 6 IAC Group Brazil LLC (automotive parts) N/A 14.2 WLR Recovery Associates III, LLC No 14.2.1 WLR Recovery Fund III, L.P. No 14.2.1. 1 International Textile Group (textiles) (no longer held) N/A 14.2.1. 2 IAC Group North America LLC (automotive parts) N/A 14.2.1. 3 IAC Group Brazil LLC (automotive parts) N/A 14.2.1. 4 OCM India Limited (textiles) (no longer held) N/A 14.3 WLR Recovery Associates IV, LLC 14.4 See Endnote VALUE INCOME TYPE INCOME AMOUNT $500,001 $1,000,000 Dividends $5,001 - $15,000 No $50,001 $100,000 None (or less than $201) U.S. brokerage/investment account (cash) N/A $100,001 $250,000 None (or less than $201) 14.5 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) No $50,001 $100,000 None (or less than $201) 14.5.1 WLR Recovery Associates IV DSS AIV, L.P. 14.6 UBS AG Deposit Account (cash) N/A $500,001 $1,000,000 None (or less than $201) 15 IRA - Roth No 15.1 Aperam NY Reg. N/A $100,001 $250,000 15.2 ArcelorMittal SA NY Reg. N/A $250,001 $500,000 15.3 U.S. brokerage/investment account (cash) N/A $100,001 $250,000 See Endnote No Interest Dividends $5,001 - $15,000 # DESCRIPTION EIF VALUE 15.4 UBS AG Deposit Account N/A $1,000,001 $5,000,000 16 India Asset Recovery Associates LLC No $100,001 $250,000 16.1 India Asset Recovery GP Ltd. (Cayman) 16.1.1 India Asset Recovery Fund LP -- Carried Interest (value not readily ascertainable) 16.1.2 India Asset Recovery Fund LP No 16.1.2. 1 India Asset Recovery Fund Limited No 16.1.2. 1.1 OCM India Limited (textiles) N/A 17 Ross CG GP LLC No 17.1 Ross CG Associates, LP No 17.1.1 Taiyo Pearl GP, L.P. No 17.1.1. 1 Taiyo Pearl Delaware Fund, L.P. No 17.1.1. 1.1 Taiyo Pearl Master Fund, L.P. No 17.1.1. 1.1.1 Nifco Inc. (plastics) N/A 17.1.1. 1.1.2 J Trust Co. Ltd. (financial services; real estate) N/A 17.1.1. 1.1.3 Matsui Securities Co. Ltd. (financial services) N/A 17.1.1. 1.1.4 Topcon Corp. (positioning instruments) N/A 17.1.1. 1.1.5 Ulvac Inc. (machinery) N/A See Endnote INCOME TYPE INCOME AMOUNT Dividends $201 - $1,000 No See Endnote N/A None (or less than $201) $1,000,001 $5,000,000 Capital Gains Dividends Over $5,000,000 # DESCRIPTION EIF 17.1.1. 1.1.6 Disco Corp. (precision tools) N/A 17.1.1. 1.1.7 Horiba Ltd. (precision instruments) N/A 17.1.1. 1.1.8 Peptidream Inc. (pharmaceuticals, Japan) N/A 17.1.1. 1.1.9 Nissha Printing Co. Ltd. (Manufacturing, electronics, and medical devices, Japan) N/A 17.1.1. 1.1.10 Miraca Holdings Inc. (healthcare) N/A 17.1.1. 1.1.11 CyberAgent, Inc. (internet business) N/A 17.1.1. 2 Taiyo Pearl Fund, L.P. No 17.1.1. 2.1 Taiyo Pearl Master Fund, L.P. 17.1.1. 3 Taiyo Pearl Fund, Ltd. 17.1.1. 3.1 Taiyo Pearl Master Fund, L.P. See Endnote No 17.1.1. 4 Taiyo Pearl Master Fund, L.P. See Endnote No 17.2 Ross CG Associates, LP - Carried Interest See Endnote N/A $1,000,001 $5,000,000 17.3 Ross CG Cypress Associates, LLC See Endnote No $50,001 $100,000 17.3.1 Ross CG Cypress Associates, LP See Endnote N/A 17.3.2 Ross CG Cypress Associates, LP -- Carried Interest See Endnote N/A 17.4 Ross CG Pearl Associates, LLC 17.4.1 Ross CG Pearl Associates, LP -- carried interest See Endnote VALUE INCOME TYPE INCOME AMOUNT No No None (or less than $201) Capital Gains Dividends $15,001 $50,000 $100,001 $250,000 None (or less than $201) $100,001 $250,000 None (or less than $201) No See Endnote N/A # DESCRIPTION EIF 18 WL Ross GP LLC No 18.1 Asia Recovery Associates L.P. -- Carried Interest 18.2 Asia Recovery Associates L.P. No 18.2.1 Asia Recovery Co-Invest Partners, L.P. No 18.2.1. 1 Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) N/A 19 WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) No 19.1 WLR Recovery Associates IV DSS AIV, L.P. See Endnote No 19.1.1 WLR Recovery Fund IV DSS AIV, L.P. See Endnote No 19.2 WLR Recovery Fund IV DSS AIV, L.P. -Carried Interest See Endnote 20 Starboard WLR Associates L.P. 20.1 Starboard Recovery Associates, L.P. 21 Ross Expansion GP, LLC 21.1 Ross Expansion FLP, LP -- carried interest See Endnote 21.2 Ross Expansion FLP, LP See Endnote 21.2.1 Ross Expansion Associates, L.P. No 21.2.1. 1 WLR Euro Wagon Management Limited (Jersey) No 21.2.1. 1.1 IPE Euro Wagon L.P. (Jersey) See Endnote N/A 21.2.1. 1.2 Euro Wagon, LP See Endnote N/A See Endnote See Endnote N/A VALUE INCOME TYPE INCOME AMOUNT $1,000,001 $5,000,000 None (or less than $201) $1,001 - $15,000 None (or less than $201) $1,000,001 $5,000,000 None (or less than $201) N/A $1,000,001 $5,000,000 None (or less than $201) No $5,000,001 $25,000,000 None (or less than $201) N/A $5,000,001 $25,000,000 None (or less than $201) N/A $100,001 $250,000 None (or less than $201) No No # DESCRIPTION EIF 21.2.1. 1.3 Euro Wagon II, LP 22 NKK Corporation 23 Rothschild Profit Sharing Plan (underlying assets are not ascertainable) 24 WLR Select Associates DSS GP Ltd. (Cayman) 24.1 WLR Select Associates DSS, L.P. 24.1.1 WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) 24.1.1. 1 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 24.1.2 WLR Select Co-Investment, L.P. (Cayman) -Carried Interest (value not readily ascertainable) See Endnote N/A 24.1.3 WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) 24.1.3. 1 WLR Mezzanine Splitter, L.P. (Cayman) See Endnote No 24.1.3. 2 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 24.1.4 WLR Select Co-Investment, L.P. (Cayman) 24.1.4. 1 WLR IV VM II LLC 24.1.4. 2 Navigator Holdings Ltd. (transoceanic shipping) N/A 24.1.4. 3 PB Materials Holdings Inc. (construction) N/A 24.1.4. 4 DSS Holdings, L.P. (shipping) N/A See Endnote See Endnote VALUE INCOME TYPE INCOME AMOUNT N/A Honorarium from speech in March 2016. Donated to The Japan Society. $1,000 N/A Distributions from plan. $2,062 N/A No See Endnote No No No No See Endnote No None (or less than $201) # DESCRIPTION EIF 24.2 WLR Select Co-Investment Mezzanine AIV Blocker, L.P. (Cayman) No 24.2.1 WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) (value not readily ascertainable) See Endnote No 25 WLR Nanotechnology GP LLC See Endnote No 25.1 Masters Capital Nanotechnology Fund, LP. -Carried Interest (not readily ascertainable) See Endnote N/A 25.2 Masters Capital Nanotechnology, LLC No 25.2.1 Masters Capital Nanotechnology Fund, LP. No 25.2.1. 1 Daylight Solutions, Inc. N/A 25.2.1. 2 Nanosys, Inc. N/A 26 WLR Nanotechnology LP LLC No 26.1 Masters Capital Nanotechnology Fund, LP. See Endnote VALUE INCOME TYPE $1,001 - $15,000 INCOME AMOUNT None (or less than $201) None (or less than $201) $500,001 $1,000,000 None (or less than $201) No 3. Filer's Employment Agreements and Arrangements # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 1 Invesco, Ltd. Atlanta, Georgia I received restricted shares of stock as part of my compensation at Invesco. Generally, those restricted shares vest in equal tranches over a four-year period after the date on which they were granted, but Invesco has a policy of vesting all outstanding unvested shares upon a friendly termination. My termination is considered friendly, so my outstanding unvested shares will vest once I resign from Invesco. 2/2013 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 2 WLR Recovery Associates II, LLC New York, New York I am Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 3/2002 3 WLR Recovery Associates III, LLC New York, New York WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 8/2005 4 WLR Recovery Associates IV, LLC New York, New York WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 11/2007 5 Exco Resources, Inc. Dallas, Texas Restricted stock arrangement for Directors in which restricted shares vest on the one-year anniversary after the date on which they were granted. Approximately half of my outstanding unvested Exco shares vested in late December 2016 and the rest will vest at the end of 2017. 12/2015 6 WLR Recovery Associates V, LLC New York, New York WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 2/2011 7 Starboard GP Ltd. New York, New York I serve as Director of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 10/2013 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 8 WLR Select Associates LLC New York, New York WL Ross Group serves as Managing Member of this entity, which serves as General Partner of an underlying fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 12/2010 9 WLR/IVZ Mortgage Recovery Associates LLC New York, New York WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 10/2009 10 WLR Mezzanine Associates, LLC New York, New York WL Ross Group serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 5/2015 11 India Asset Recovery Associates LLC New York, New York I serve as the managing member of this entity, which holds an interest in India Asset Recovery GP, Ltd. That entity holds a carried interest in the India Asset Recovery Fund as its general partner. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 2/2006 12 Asia Recovery Associates, L.P. New York, New York WL Ross Group LP serves as sole member of WL Ross GP LLC, which serves as General Partner of Asia Recovery Associates LP. The General Partner is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 4/2005 13 WLR China Energy Infrastructure Fund, L.P. New York, New York WL Ross Group LP is a shareholder in WL Ross Group (Cayman) Ltd, which indirectly holds an interest in the general partner of WLR China Energy Infrastructure Fund, L.P.. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 2/2008 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 14 WLR Conduit MM LLC New York, New York I have different arrangements for the various underlying assets. For the Shellpoint investment, I receive an 8% preferential return, plus a 10% carried interest. For the Subsequent Platform Company asset, I receive s 20% carried interest. For the energy bonds, I receive an index amount, plus a 15% carried interest. 1/2010 15 Rothschild Profit Sharing Plan New York, New York I receive approximately $1,000 per year in distributions from this plan. Within 90 days of confirmation, I will irrevocably assign the rights to these payments to a public charity prior to my assuming the duties of the position of Secretary. /1976 16 Ross CG Associates, LP New York, New York Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 3/2005 17 Ross CG Cypress Associates, LP New York, New York Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 4/2008 18 Ross CG Pearl Associates, LP New York, New York Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 8/2007 19 Ross Expansion FLP L.P. New York, New York I serve as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 12/2005 See Endnote # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 20 WLR Nanotechnology GP LLC New York, New York I serve as Managing Member of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 1/2006 21 WLR Recovery Associates LLC New York, New York WL Ross Group LLP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 10/1997 22 WLR Recovery Associates IV DSS LP (Cayman) , Outside U.S. I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 11/2011 23 WLR Recovery Associates V DSS LP (Cayman) , Outside U.S. I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 2/2011 24 WLR Select Associates DSS, L.P. (Cayman) , Outside U.S. I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 12/2010 25 WLR Master Co-Investment SLP GP Ltd. (Cayman) , Outside U.S. This entity is the General Partner of a partnership holding a carried interest in the WLR/GS Master CoInvestment L.P. fund. 8/2011 26 Invesco, Ltd. Atlanta, Georgia I will receive a discretionary performance-based bonus for services rendered in 2016. This bonus will be paid prior to my assuming the duties of the position of Secretary. 10/2006 27 Invesco Ltd. Atlanta, Georgia I participate in Invesco's 401k plan. I will cash out of this plan within 90 days of my confirmation. 10/2006 # EMPLOYER OR PARTY CITY, STATE STATUS AND TERMS DATE 28 Invesco Mortgage Recovery Master Associates II New York, New York I serve as the managing member of WLR IMRF II Associates LLC, which invests in Invesco Mortgage Recovery Associates II LLC. Invesco Mortgage Recovery Associates II LLC serves as General Partner ("GP") of Invesco Mortgage Recovery Fund II, L.P. and Invesco Mortgage Recovery Fund II Co-Invest ITAL, L.P. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 4/2016 29 WLR Master Co-Investment SLP Associates, L.P. (Cayman) , Outside U.S. WL Ross Group LP is an investor in WLR Master CoInvestment SLP Associates, L.P. (Cayman), which is the general partner of WLR/GS Master Co-Investment L.P. (Cayman). The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. 4/2011 4. Filer's Sources of Compensation Exceeding $5,000 in a Year # SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES 1 Invesco, Ltd. Atlanta, Georgia CEO of Private Equity Groups division with company. Receives his salary and bonus from Invesco Group Services. 2 ArcelorMittal Luxembourg, Outside U.S. Independent Director on the Board of Directors. 5. Spouse's Employment Assets & Income and Retirement Accounts # DESCRIPTION 1 Powerhouse Cultural Entertainment (value not readily ascertainable) 2 Dreyfus Government Cash Mgmt Admin EIF See Endnote VALUE N/A Yes Over $1,000,000 INCOME TYPE INCOME AMOUNT Rent or Royalties $1,001 - $2,500 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 3 Amphenol Corp CL A N/A $250,001 $500,000 Dividends $2,501 - $5,000 4 Atara Biotherapeutics Inc Com N/A $15,001 $50,000 5 Boeing Co. N/A $250,001 $500,000 Dividends $5,001 - $15,000 6 CDW Corp Com USD0.01 N/A $250,001 $500,000 Dividends $2,501 - $5,000 7 CME Group Inc. N/A $250,001 $500,000 Dividends $5,001 - $15,000 8 Moodys Corp N/A $250,001 $500,000 Dividends $5,001 - $15,000 9 MSCI Inc Com N/A $250,001 $500,000 Dividends $2,501 - $5,000 10 Neustar Inc. CL A N/A $100,001 $250,000 None (or less than $201) 11 SVB Finl Group N/A $250,001 $500,000 None (or less than $201) 12 Verisk Analytics Inc. Com N/A $250,001 $500,000 None (or less than $201) 13 Wex Inc Com N/A $250,001 $500,000 None (or less than $201) 14 Zoetis Inc Com USD0.01 CL A N/A $250,001 $500,000 Dividends $1,001 - $2,500 15 HSBC HLDGS PLC PERP SUB CAP SECS N/A $250,001 $500,000 Dividends $15,001 $50,000 16 Wells Fargo & Co New Dep SHS REPSTG N/A $100,001 $250,000 Dividends $5,001 - $15,000 6. Other Assets and Income None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 U.S. Brokerage Account #1 1.1 Cash N/A Over $50,000,000 Interest $5,001 - $15,000 1.2 Pound Sterling (cash account in overseas JP Morgan account) N/A $100,001 $250,000 1.3 U.S. Treasury 8.75% 5/15/17 912810-DY-1 NR/AAA N/A $5,000,001 $25,000,000 Interest Capital Gains $100,001 $1,000,000 1.4 Bear Stearns Co. Inc. 6.4% Oct 2, 2017 DTD 10/02/2007 073902-PR-3 A1/A3 N/A $5,000,001 $25,000,000 Interest Capital Gains $100,001 $1,000,000 1.5 Bear Stearns Co. Inc. 7 1/4% Feb 1, 2018 DTD 02/01/2008 073902-RU-4 A-/A3 N/A $5,000,001 $25,000,000 Capital Gains Interest $100,001 $1,000,000 1.6 Anheuser Busch INBEV WOR 7 3/4% Jan 15, 2019 DTD 01/15/2011 03523-BE-7 A/NR N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.7 Caterpillar Financial SE Medium Term Note 7.15% Feb 15, 2019 DTD 02/12/2009 14912L-4E-8 A/A2 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.8 Goldman Sachs Group Inc. SR Notes 7 1/2% Feb 15, 2019 DTD 02/15/2009 38141E-A2-5 A-/BAA N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.9 MetLife Inc. Notes 7.717% Feb 15, 2019 DTD 02/15/2009 59156R-AT-5 A-/A3 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.10 Morgan Stanley 7.3% May 13, 2019 DTD 05/13/2009 61747Y-CG-8 A-/BAA N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.11 Dow Chemicals Co., The Notes 8.55% May 15, 2019 DTD 05/13/2009 260543-BX-0 BBB/BAA N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.12 Citigroup Inc. SR Notes 8 1/2% May 22, 2009 DTD 05/22/2009 172967-EV-9 A-/BAA N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.13 Bank of America Corp SR Notes 7 5/8% Jun 01, 2019 DTD 06/02/2009 06051G-DZ-9 A/BAA N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 1.14 General Elec Cap Corp 6% Aug 07, 2019 DTD 08/07/2009 36962G-4D-3 AA+/A1 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1.15 XTO Energy Corp 61/2% Dec 15, 2018 DTD 08/07/2008 98385X-AT-3 AAA/AAA N/A None (or less than $1,001) Capital Gains Interest $50,001 $100,000 2 U.S. Brokerage Account #2 2.1 Cash account 1 N/A $250,001 $500,000 Interest $201 - $1,000 2.2 Cash account 2 N/A Over $50,000,000 Interest $15,001 $50,000 2.3 UBS Select Prime Institutional Fund Yes None (or less than $1,001) 2.4 Tennessee Gas Pipeline NTS B/E 8.000% Matures 02/01/2016 CUSIP 880451AY5 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 2.5 Metlife Inc NTS B/E 6.750% Matures 06/01/2016 CUSIP 59156RAU2 N/A None (or less than $1,001) Capital Gains Interest $50,001 $100,000 2.6 Natl Rural Util Coop Fin 10.375% Matures 11/01/2016 CUSIP 637432LR4 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 2.7 Baker Hughes Inc. NTS 7.500% Matures 11/15/2018 CUSIP 057224AY3 N/A None (or less than $1,001) Capital Gains Interest $50,001 $100,000 2.8 Goldman Sachs Group NTS 7.500% Matures 02/19/2019 CUSIP 38141EA25 N/A None (or less than $1,001) Capital Gains Interest $50,001 $100,000 2.9 Dow Chemical Co NTS 8.550% Matures 05/15/2019 CUSIP 260543BX0 N/A None (or less than $1,001) Capital Gains Interest $50,001 $100,000 2.10 Bank of Amer Corp NTS OBP B/E 7.625% Matures 06/01/2019 CUSIP 06051GDZ9 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 2.11 Republic of Korea NTS Foreign Security 7.125% Matures 04/16/2019 ISIN US50064FAJ30 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 2.12 UBS Select TX FR Capital Yes None (or less than $1,001) 3 U.S. Brokerage Account #3 3.1 Southwestern Public Service Co. NTS ISIN CUSIP 845743BM45 8.7500% Matures 12/01/2018 N/A $5,000,001 $25,000,000 $201 - $1,000 None (or less than $201) Interest $100,001 $1,000,000 # DESCRIPTION EIF VALUE 3.2 Cash N/A $5,000,001 $25,000,000 4 U.S. Brokerage Account #4 4.1 Southwestern Public Service Co. NTS ISIN CUSIP 845743BM45 8.7500% Matures 12/01/2018 N/A None (or less than $1,001) Capital Gains Interest $1,000,001 $5,000,000 4.2 United States Treasury BDS 9.250% NTS ISIN CUSIP 912810DV7 Matures 02/15/2016 N/A None (or less than $1,001) Capital Gains Interest $1,000,001 $5,000,000 4.3 XTO Energy Inc. SR NTS 6.500% NTS ISIN CUSIP 98385XAT3 Matures 12/15/18 N/A None (or less than $1,001) Capital Gains Interest $100,001 $1,000,000 5 U.S. Brokerage Account #5 (cash) N/A $100,001 $250,000 Interest $201 - $1,000 6 U.S. Brokerage Account #6 (cash) N/A $1,000,001 $5,000,000 7 U.S. Bank Account #1 (cash) N/A $500,001 $1,000,000 8 U.S. Money Market Account #1 (cash) N/A $50,001 $100,000 9 U.S. Money Market Account #2 (cash) N/A $1,000,001 $5,000,000 Interest $15,001 $50,000 10 U.S. Brokerage Account #7 (cash) N/A None (or less than $1,001) Interest Dividends $1,001 - $2,500 11 U.S. Brokerage Account #8 11.1 Aperam NY Reg Shares (steel) N/A $500,001 $1,000,000 Dividends Capital Gains $5,001 - $15,000 11.2 Federated Govt Obl; II Yes $15,001 $50,000 12 Arcelor Mittal SA N/A $500,001 $1,000,000 13 Nexeo Solutions stock N/A $25,000,001 $50,000,000 See Endnote See Endnote INCOME TYPE INCOME AMOUNT None (or less than $201) None (or less than $201) Interest $2,501 - $5,000 None (or less than $201) None (or less than $201) Dividends Capital Gains $50,001 $100,000 None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE 14 Art Collection N/A Over $50,000,000 None (or less than $201) 15 U.S. Brokerage Account #9 15.1 Cash deposit account N/A $100,001 $250,000 None (or less than $201) 15.2 UBS Select Govt Capital Yes $250,001 $500,000 $201 - $1,000 15.3 UBS Select Prime Capital Yes None (or less than $1,001) $1,001 - $2,500 16 U.S. Bank Account #2 (cash) N/A $100,001 $250,000 None (or less than $201) 17 Intercontinental Exchange, Inc. N/A $250,001 $500,000 18 YG Partners Fund, LP Yes $1,000,001 $5,000,000 None (or less than $201) 19 Formation8 Partners Entrepreneur Fund II Yes $50,001 $100,000 None (or less than $201) 20 Formation8 Partners Fund I Yes $500,001 $1,000,000 None (or less than $201) 21 8 Partners VC Fund I, L.P. Yes $50,001 $100,000 None (or less than $201) 22 WLR Recovery Associates III LLC See Endnote No $100,001 $250,000 Dividends $5,001 - $15,000 23 WLR Recovery Associates II LLC See Endnote No $100,001 $250,000 Interest $100,001 $1,000,000 24 U.S. Brokerage Account #10 24.1 Spouse - Trust: Under Will No. 1 24.1.1 Dreyfus Government Cash Mgmt Admin Yes $50,001 $100,000 24.1.2 Amphenol Copr CL A N/A $100,001 $250,000 Dividends INCOME AMOUNT $15,001 $50,000 None (or less than $201) Dividends $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.1.3 Boeing Co. N/A $100,001 $250,000 Dividends $15,001 $50,000 24.1.4 CDW Corp Com USD0.01 N/A $250,001 $500,000 Dividends $1,001 - $2,500 24.1.5 CME Group Inc. N/A $100,001 $250,000 Dividends $2,501 - $5,000 24.1.6 MSCI Inc Com N/A $100,001 $250,000 Dividends $1,001 - $2,500 24.1.7 Neustar Inc. CL A N/A $100,001 $250,000 None (or less than $201) 24.1.8 SVB Finl Group N/A $50,001 $100,000 None (or less than $201) 24.1.9 Verisk Analytics Inc. Com N/A $100,001 $250,000 None (or less than $201) 24.1.1 0 Wex Inc Com N/A $100,001 $250,000 None (or less than $201) 24.1.1 1 Zoetis Inc Com USD0.01 CL A N/A $100,001 $250,000 24.1.1 2 SPDR S&P 500 ETF Trust Unit SER 1 S&P Yes Over $1,000,000 $15,001 $50,000 24.2 Spouse - Trust: Under Agreement 24.2.1 Dreyfus Government Cash Mgmt Admin Yes $250,001 $500,000 None (or less than $201) 24.2.2 Boeing Co. N/A $250,001 $500,000 Dividends $5,001 - $15,000 24.2.3 Chevron Corp New Com N/A $250,001 $500,000 Dividends $15,001 $50,000 24.2.4 CME Group Inc. N/A $500,001 $1,000,000 Dividends $5,001 - $15,000 24.2.5 Merck & Co. Inc New Com N/A $100,001 $250,000 Dividends $5,001 - $15,000 Dividends $1,001 - $2,500 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.2.6 Moodys Corp N/A $250,001 $500,000 Dividends $5,001 - $15,000 24.2.7 MSCI Inc Com N/A $100,001 $250,000 Dividends $2,501 - $5,000 24.2.8 Neustar Inc CL A N/A $250,001 $500,000 None (or less than $201) 24.2.9 SVB Finl Group N/A $250,001 $500,000 None (or less than $201) 24.2.1 0 Verisk Analytics Inc Com N/A $250,001 $500,000 None (or less than $201) 24.2.1 1 Wex Inc Com N/A $250,001 $500,000 None (or less than $201) 24.2.1 2 Zoetis Inc Com USD0.01 CL A N/A $250,001 $500,000 24.2.1 3 SPDR S&P 500 ETF Trust Unit SER 1 S&P Yes Over $1,000,000 $15,001 $50,000 24.3 Spouse - Trust: Under Will No. 2 24.3.1 Fireeye Inc Com N/A $100,001 $250,000 None (or less than $201) 24.3.2 New Jersey St Tran Corp Grant Antic Ntw N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.3 El Paso Cnty Facs Corp Colo Ctfs Partn N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.4 North Tex Twy Auth Rev Ref Bds Ser N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.5 Leander Tx Indpt Sch Dist Ult Tax Ref N/A $250,001 $500,000 Interest $5,001 - $15,000 24.3.6 Illinois Fin Auth Rev Rev Bds Trinity N/A $100,001 $250,000 Interest $5,001 - $15,000 24.3.7 Atlanta Ga Dev Auth Rev Rev Bds Georgia N/A $250,001 $500,000 Interest $5,001 - $15,000 Dividends $2,501 - $5,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.3.8 Gainesville & Hall Cnty Ga Hos P Auth N/A $100,001 $250,000 Interest $5,001 - $15,000 24.3.9 Chicago Ill Tran Auth Cap Grnt Rcpts N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 0 Fort Myers Fla Cap Impt Rev Cap Impt N/A $100,001 $250,000 Interest $5,001 - $15,000 24.3.1 1 New Jersey St Higher Ed Assistance Auth N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 2 Houston Tex Cmnty College Sys Rev N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 3 Key West Fla Util Brd Elec Rev Elec N/A $100,001 $250,000 Interest $5,001 - $15,000 24.3.1 4 Buffalo & Ft Erie N Y Pub Brog Auth Toll N/A $100,001 $250,000 Interest $15,001 $50,000 24.3.1 5 Lee Cnty Fla Sch Brd Cifs Partn Cops N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 6 Texas St Pub Fin Auth Rev Financing N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 7 New Orleans La Go Ref Bds Ser 2015 N/A $250,001 $500,000 Interest $5,001 - $15,000 24.3.1 8 Reedy Creek Impt Dist Fla Ad Valorim N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.1 9 Northern Ind Commuter Transn Dist N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.2 0 Indiana St Fin Auth Wastewater Util Rev N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.2 1 Alamo Tex Cmnty College Dist Ltd Tax N/A $250,001 $500,000 Interest $5,001 - $15,000 24.3.2 2 New York Liberty Dev Corp Liberty Rev N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.2 3 HSBC Hldgs Plc Perp Sub Cap Secs Secs N/A $100,001 $250,000 Interest $5,001 - $15,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.3.2 4 State St Instl Liquid Resvs Fd Shs Ben Int N/A $100,001 $250,000 Interest $201 - $1,000 24.3.2 5 Birmingham Ala Go Refunding Warrants Series N/A $250,001 $500,000 Interest $15,001 $50,000 24.3.2 6 New Prairie UTD Sch Bldg Corp. N/A $250,001 $500,000 Interest $5,001 - $15,000 25 Dreyfus Government Cash Mgmt Admin Yes $250,001 $500,000 26 Amphenol Copr CL A N/A Over $1,000,000 Dividends $15,001 $50,000 27 Apple Inc. N/A $500,001 $1,000,000 Dividends $15,001 $50,000 28 Atara Biotherapeutics Inc Com N/A $100,001 $250,000 29 Boeing Co. N/A Over $1,000,000 Dividends $50,001 $100,000 30 CDW Corp Com USD0.01 N/A Over $1,000,000 Dividends $15,001 $50,000 31 CME Group Inc. N/A Over $1,000,000 Dividends $100,001 $1,000,000 32 Moodys Corp N/A Over $1,000,000 Dividends $50,001 $100,000 33 MSCI Inc Com N/A $500,001 $1,000,000 Dividends $15,001 $50,000 34 Neustar Inc CL A N/A $500,001 $1,000,000 None (or less than $201) 35 SVB Finl Group N/A Over $1,000,000 None (or less than $201) 36 Verisk Analytics Inc Com N/A Over $1,000,000 None (or less than $201) 37 Wex Inc Com N/A Over $1,000,000 None (or less than $201) None (or less than $201) None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 38 Zoetis Inc Com USD0.01 CL A N/A Over $1,000,000 Dividends $15,001 $50,000 39 Citigroup Inc Bond Perpetual 6.25000% N/A $500,001 $1,000,000 Interest $15,001 $50,000 40 Edinburg Tex Cons Indpt Sch Dist Ultd N/A $250,001 $500,000 Interest $15,001 $50,000 41 Houston Tex Hotel Occupancy Tax & SPL N/A $100,001 $250,000 Interest $15,001 $50,000 42 Atlanta GA Dev Auth Rev Rev 8DS Georgia N/A $100,001 $250,000 Interest $15,001 $50,000 43 Wyanootee Cnty Kans City Kans Uni Govt N/A $250,001 $500,000 Interest $15,001 $50,000 44 North Tex Twy Auth Rev Ref Bds Ser. A N/A $100,001 $250,000 Interest $5,001 - $15,000 45 Greenville Tex 8 0 Ref Bos Ser. 2008 N/A $100,001 $250,000 Interest $15,001 $50,000 46 Houston Tex Cmmty College Sys Rev N/A $100,001 $250,000 Interest $5,001 - $15,000 47 Key West FLA Util Brd Elec Rev Elec N/A $100,001 $250,000 Interest $5,001 - $15,000 48 New Jersey St Higher Ed Assistance Auth Ref BDS 1A N/A $100,001 $250,000 Interest $5,001 - $15,000 49 Kansas City Mo Spl Oblig Spl Dblig Sds N/A $100,001 $250,000 Interest $5,001 - $15,000 50 Pennsylvania St Tpk Commn TpkRev Rev N/A $100,001 $250,000 Interest $5,001 - $15,000 51 Indiana St Fin Auth Wastewaster Util Rev N/A $100,001 $250,000 Interest $5,001 - $15,000 52 St Charles Cnty Mo Pub Wtr Supply Dist N/A $100,001 $250,000 Interest $5,001 - $15,000 53 Michigan Fin Auth Rev Rev Ref N/A $250,001 $500,000 Interest None (or less than $201) # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 54 Cumulus Media Inc-CL A N/A None (or less than $1,001) Dividends Capital Gains None (or less than $201) 55 United Parcel SVC Inc CL B N/A None (or less than $1,001) Dividends Capital Gains $100,001 $1,000,000 56 Port Seattle Wash Rev. N/A None (or less than $1,001) Capital Gains Interest $15,001 $50,000 57 Miami-Dade Cnty Fla Sch Brd N/A None (or less than $1,001) Capital Gains Interest $5,001 - $15,000 58 Chicago Ill Tran Auth Sales N/A None (or less than $1,001) Capital Gains Interest $5,001 - $15,000 59 New Jersey St Higher Ed Assistance Auth N/A None (or less than $1,001) Interest Capital Gains $15,001 $50,000 60 State St Instl Liquid Resvs FD SHS Ben Int N/A None (or less than $1,001) Capital Gains Interest $5,001 - $15,000 61 Colorado Health Facs Auth Rev Catholic Health- Ser A N/A None (or less than $1,001) Capital Gains Interest $15,001 $50,000 62 Marysville Ohio Wastewater Tre Ref N/A None (or less than $1,001) Capital Gains Interest $5,001 - $15,000 63 Redford Brownfield Charter Twp Tax Increment Bds Series N/A None (or less than $1,001) Capital Gains Interest $5,001 - $15,000 64 8VC Angel Fund I, L.P. Yes $15,001 $50,000 65 Ross FOF, LLC No $1,000,001 $5,000,000 65.1 Pan Multi Strategy, L.P. No 65.1.1 AmeriGas Partners, L.P. (liquefied natural gas distribution) N/A 65.1.2 Buckeye Partners, L.P. N/A 65.1.3 Kinder Morgan Energy Partners, L.P. N/A 65.1.4 Plains All American Pipeline, L.P. N/A See Endnote None (or less than $201) Dividends Capital Gains Interest $100,001 $1,000,000 # DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 65.1.5 Rhino Energy Holdings, LLC (coal mining) N/A 65.1.6 Pipeline Partners, L.P. (energy distribution) N/A 65.1.7 Magellan Midstream Partners, L.P. N/A 66 U.S. Brokerage Account #11 No 66.1 U.S. Deposit Account (cash) N/A $100,001 $250,000 66.2 UBS AG Deposit Account (cash) N/A Over $50,000,000 Interest $1,001 - $2,500 None (or less than $201) 7. Transactions (N/A) - Not required for this type of report 8. Liabilities # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 1 JP Morgan Guarantee of Loan to Social Club $500,001 $1,000,000 2016 N/A 2-Year Fixed Term 2 Formation8 Partners Entrepreneurs Fund II Capital Commitment $15,001 $50,000 2014 N/A Life of fund 3 8VC Angel Fund I, L.P. Capital Commitment $15,001 $50,000 2016 N/A Life of fund 4 India Asset Recovery Associates LLC Capital commitment $1,000,001 $5,000,000 2006 N/A Life of fund 5 Starboard GP LTD Capital Commitment $10,001 $15,000 2013 N/A Life of fund 6 Starboard WLR Associates, L.P. Capital Commitment $1,000,001 $5,000,000 2013 N/A Life of fund # CREDITOR NAME TYPE AMOUNT YEAR INCURRED RATE TERM 7 WLR Conduit MM LLC Capital Commitment $500,001 $1,000,000 2013 N/A Life of fund 8 WLR Mezzanine Associates LLC Capital Commitment $100,001 $250,000 2015 N/A Life of fund 9 WLR Nanotechnology Capital Commitment $500,001 $1,000,000 2007 N/A Life of fund 10 WLR Recovery Associates IV LLC Capital Commitment $5,000,001 $25,000,000 2007 N/A Life of fund 11 WLR Recovery Associates V LLC Capital Commitment $1,000,001 $5,000,000 2010 N/A Life of fund 12 WLR/IVZ Mortgage Recovery Associates LLC Capital Commitment $250,001 $500,000 2009 N/A Life of fund 13 IMRF II Associates LLC Capital Commitment $250,001 $500,000 2016 N/A Life of fund 9. Gifts and Travel Reimbursements (N/A) - Not required for this type of report Endnotes PART # ENDNOTE 1. 1 The listed start date is approximate and is based on a good-faith estimate. 1. 2 The listed start date is approximate and is based on a good-faith estimate. 1. 3 The listed start date is approximate and is based on a good-faith estimate. 1. 15 The listed start date is approximate and is based on a good-faith estimate. 1. 16 The listed start date is approximate and is based on a good-faith estimate. 1. 17 The listed start date is approximate and is based on a good-faith estimate. PART # ENDNOTE 1. 28 The listed start date is approximate and is based on a good-faith estimate. 1. 29 The listed start date is approximate and is based on a good-faith estimate. 1. 31 The listed start date is approximate and is based on a good-faith estimate. 1. 34 The listed start date is approximate and is based on a good-faith estimate. 1. 35 The listed start date is approximate and is based on a good-faith estimate. 1. 36 The listed start date is approximate and is based on a good-faith estimate. 1. 37 The listed start date is approximate and is based on a good-faith estimate. 1. 41 The listed start date is approximate and is based on a good-faith estimate. 1. 43 The listed start date is approximate and is based on a good-faith estimate. 1. 44 The listed start date is approximate and is based on a good-faith estimate. 1. 46 The listed start date and end date are approximate and are based on a good-faith estimate. 1. 48 The listed start date is approximate and is based on a good-faith estimate. 1. 49 The listed start date is approximate and is based on a good-faith estimate. 1. 50 The listed start date is approximate and is based on a good-faith estimate. 1. 60 The listed start date is approximate and is based on a good-faith estimate. 1. 61 The listed start date is approximate and is based on a good-faith estimate. 1. 63 The listed start date is approximate and is based on a good-faith estimate. 1. 64 The listed start date is approximate and is based on a good-faith estimate. 2. 1.3 Filer will cash out of this plan prior to taking office. 2. 1.5 Pursuant to written Invesco policy and procedures, and subject to a cap based on his existing holdings, upon Mr. Ross’ termination of employment, Invesco Ltd.’s Compensation Committee may determine to award him outstanding equity compensation that he would have otherwise received had he remained employed with WL Ross & Co. LLC with respect to previously issued shares of restricted stock that remain subject to restrictions under the applicable Invesco Ltd. plan. 2. 9 Value and income are fully attributable to interests in W.L. Ross Group, L.P. 2. 9.1 The assets of WL Ross Group, L.P. are listed in item 10. 2. 10 The value and income are fully attributable at lower tiers. PART # ENDNOTE 2. 10.1 The value represents the capital account, and includes no carried interest. 2. 10.1.1 This represents WLR Recovery Associates IV LLC's carried interest in WLR Recovery Fund IV, L.P. 2. 10.1.8.1.1 No underlying assets remain. 2. 10.1.9.1 Underlying assets previously disclosed at line 10.1.8 2. 10.1.11.1 Underlying assets previously disclosed at line 10.1.10.1. 2. 10.1.12 Underlying assets previously disclosed at line 10.1.10.1. 2. 10.2 The value represents the capital account balance. 2. 10.2.2 Represents the carried interest held by WLR Mezzanine Associates LLC in WLR Cardinal Mezzanine Fund L.P. The current carried interest is zero. 2. 10.3 This entity contains no operating companies. It holds only cash. 2. 10.3.1.1 This entity no longer holds any underlying assets. 2. 10.3.2 This entity no longer holds any underlying assets. 2. 10.4 This entity no longer has any underlying assets. 2. 10.6 Value reflects capital account balance. 2. 10.6.1.2.1.1.1 This entity owns subsidiaries which each own individual transoceanic tanker ships. There are 25 individual LLCs that own the ships: NCM Holding I LLC; NCM Holding II LLC; WLR/TRF KZ Holding I LLC; WLR/TRF KZ Holding II LLC; WLR/TRF KZ Holding III LLC; WLR/TRF Holding III LLC; WLR/TRF Maemi LLC; NT Suez Holdco LLC; NT Suez GP LLC; NT Suez One LLC; NT Suez Two LLC; WLR/TRF Tanker Two LLC; WLR/TRF HMN8 Holdings I LLC; WLR/TRF HMN8 Holdings II LLC; WLR/TRF HMN8 Holdings III LLC; WLR/TRF HMN8 Holdings IV LLC; WLR/TRF HMN8 Holdings V LLC; WLR/TRF HMN8 Holdings VI LLC; TRF/Solus JV LLC; TRF/Solus GP LLC; HAN VLCC 1 LLC; HAN VLCC II LLC; SWS VLCC JV LLC; SWS VLCC GPLLC; SWS VLCC LLC. 2. 10.6.1.2.2 Underlying assets shown at 10.6.1.2.1.1 2. 10.6.1.2.3.1.1 This entity owns Norwegian subsidiaries which each own individual transoceanic tanker ships. There are 7 individual entities: Awilco Eco Tankers 1 AS; Awilco Eco Tankers 2 AS; Awilco Eco Tankers 3 AS; Awilco Eco Tankers 4 AS; Hassel Shipping 4 AS; Songa Chemical AS; Atlantic Supramax DIS. 2. 10.6.1.2.4 Assets previously disclosed at 10.6.1.2.3.1. 2. 10.6.4 Represents carried interest held in underlying funds. 2. 10.7 Value represents capital account. 2. 10.7.4.1.1.1.1 Underlying assets previously disclosed at 10.2.1.1.1. PART # ENDNOTE 2. 10.7.4.1.1.2 Underlying assets previously disclosed at 10.2.1.1.1. 2. 10.7.5.1 Underlying assets previously disclosed at 10.7.4.1.1. 2. 10.7.6 Represents the carried interest held by WLR Recovery Associates V LLC in WLR Recovery Fund V, L.P. The carried interest is currently zero. 2. 10.7.7 Represents the carried interest held by WLR Recovery Associates V LLC in this fund. The carried interest is currently zero. 2. 10.7.8 Represents the carried interest held by WLR Recovery Associates V LLC in this fund. The carried interest is currently zero. 2. 10.8 Value reflects capital account balance. 2. 10.8.2 This represents the carried interest held by WLR Select Associates LLC in WLR Select Co-Investment XCO AIV, L.P. The current carried interest is zero. 2. 10.9.1.1.1 This represents the carried interest held by WLR China Energy Associates, Ltd. in WLR China Energy Infrastructure Fund, L.P. The carried interest is currently zero. 2. 10.10.1 Represents the carried interest held by WLR Recovery Associates II, LLC in WLR Recovery Fund II, L.P. 2. 10.11.1 Represents the carried interest held by WLR Recovery Associates III, LLC in the fund. The current carried interest is zero. 2. 10.12 Value reflect share of Net Asset Value of WLR IMRF II Associates, LLC holding in Invesco Mortgage Recovery Master Associates II LLC. 2. 10.12.1.2 Underlying assets previously disclosed at 10.12.1.1.1. 2. 10.12.1.3.1 Underlying assets previously disclosed at 10.12.1.1.1. 2. 10.12.1.4.1 Underlying assets previously disclosed at 10.12.1.1.1.1 2. 10.12.1.6 Represents the carried interest held by Invesco Mortgage Recovery Master Associates II LLC in Invesco Mortgage Recovery Fund II, L.P. There is no accrued carried interest. 2. 10.12.1.7 Represents the carried interest held by Invesco Mortgage Recovery Master Associates II LLC in Invesco Mortgage Recovery Fund II Co-Invest ITAL, L.P. There is no accrued carried interest. 2. 10.13.1 This represents the carried interest held by WLR Master Co-Investment SLP Associates, L.P. (Cayman) in WLR/GS Master Co-Investment L.P. (Cayman). The current carried interest is zero. 2. 10.14 Value is reflected in 19.1. 2. 10.15 Value and income reflect combined value and income of 10.15 and 11.1 2. 10.15.1.1 Assets previously disclosed at 10.6.1.2.1.1 PART # ENDNOTE 2. 10.15.1.2 Assets previously disclosed at 10.6.1.2.3.1 2. 10.16 Underlying assets disclosed below at 24.1. Value and income reflect the value and income of 10.16 and 24.1. 2. 11.1 Underlying assets previously disclosed at 10.15. Value and income is reflected in 10.15 2. 11.1.1 This represents the carried interest held by WLR Recovery Associates V DSS AIV, L.P. in the fund. The carried interest is currently zero. 2. 12 Value represents capital account. 2. 12.1.1.1.1.1 This fund no longer holds any underlying assets. 2. 12.1.2.1.1 This fund no longer holds any underlying assets. 2. 12.1.3.1.1 This fund no longer holds any underlying assets. 2. 12.1.4.1 This fund no longer holds any underlying assets. 2. 12.1.5.1 This fund no longer holds any underlying assets. 2. 12.1.6 This fund no longer holds any underlying assets. 2. 12.1.7.1.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.1.8.1.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.1.9.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.1.10 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.2.1.1.1 This fund no longer holds any underlying assets. 2. 12.3.1.1 This fund no longer holds any underlying assets. 2. 12.4.1.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.5.1.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.7.1 Underlying assets previously disclosed at 10.1.10.1.1. 2. 12.8 Value reflects aggregated carried interests of General Partner in all funds disclosed within 12.1 to 12.7, including underlying funds. 2. 13 Value reflects capital account. 2. 13.1.1.1 Assets previously disclosed at 10.6.1.2.1.1.1. PART # ENDNOTE 2. 13.2 This represents the carried interest held by Starboard GP Ltd. in the Transportation Recovery Fund. The carried interest is currently zero. 2. 14.3 Underlying assets previously disclosed at 10.1 2. 14.5.1 Underlying assets previously disclosed at 10.14. 2. 16 Value reflects capital account. 2. 16.1.1 Reflects carried interest held by India Asset Recovery GP Ltd. in India Asset Recovery Fund, L.P. The carried interest is currently zero. 2. 17.1.1.2.1 Underlying assets previously disclosed at 17.1.1.1.1. 2. 17.1.1.3.1 Underlying assets previously disclosed at 17.1.1.1.1. 2. 17.1.1.4 Underlying assets previously disclosed at 17.1.1.1.1. 2. 17.2 Represents Ross CG GP LLC's carried interest in Ross CG Associates, LP. 2. 17.3 Represents capital account 2. 17.3.1 This fund no longer holds any underlying assets. 2. 17.3.2 Represents carried interest of Ross CG Cypress Associates, LLC in Ross CG Cypress Associates, LP. 2. 17.4.1 Represents Ross CG Pearl Associates, LLC carried interest in this fund. 2. 18.1 Represents the carried interest of WL Ross GP LLC in Asia Recovery Associates L.P. The value is the accrued carry balance. 2. 19.1 Includes value of 10.14. 2. 19.1.1 Underlying assets previously disclosed at 10.14.1 2. 19.2 Represents the carried interest of WLR Recovery Associates IV DSS AIV, L.P. in WLR Recovery Fund IV DSS AIV, L.P. 2. 20.1 Underlying assets previously disclosed at 13.1 2. 21.1 Represents the accrued carried interest of Ross Expansion GP, LLC in Ross Expansion FLP, LP. The fund no longer holds any underlying assets. 2. 21.2 This entity no longer holds any underlying assets. 2. 21.2.1.1.1 This entity no longer holds any underlying assets 2. 21.2.1.1.2 This entity no longer holds any underlying assets PART # ENDNOTE 2. 21.2.1.1.3 This entity no longer holds any underlying assets. 2. 23 Underlying assets are unavailable. The filer will divest the plan if confirmed via an irrevocable assignment of rights to a public charity. 2. 24.1 Value and income are reflected in 10.16. 2. 24.1.1.1 Underlying assets previously disclosed at 10.2.1.1.1. 2. 24.1.2 This represents the carried interest held by WLR Select Associates DSS, L.P. in WLR Select CoInvestment, L.P. The current carried interest is zero. 2. 24.1.3.1 Underlying assets previously disclosed at 10.2.1. 2. 24.1.3.2 Underlying assets previously disclosed at 10.2.1.1.1. 2. 24.1.4.1 This entity holds no underlying investments. 2. 24.2.1 Underlying assets previously disclosed at 24.1.3. 2. 25 Represents value of capital account. 2. 25.1 Represents the carried interest of WLR Nanotechnology GP LLC in Masters Capital Nanotechnology Fund, L.P. The current carried interest is zero. 2. 26.1 Underlying assets previously disclosed at 25.2.1 3. 15 Month is not ascertainable. 5. 1 2 books: "New York, New York"; "Palm Beach People" 6. 5 Held as an account for the benefit of First Republic Bank 6. 10 No longer held, so value shown as zero 6. 22 Holdings previously disclosed in Part 2 line 10.11. Value is reflected of combined holdings of filer and spouse. 6. 23 Assets previously disclosed at Part 2 line 10.10. Value is reflected of combined holdings of filer and spouse. 6. 65 Value is based on 2014 K-1. A 2015 K-1 was not available. Income is through 12/31/15. Summary of Contents 1. Filer's Positions Held Outside United States Government Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable even if the filer did not receive compensation. This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions held as part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited partner or non-managing member of a limited liability company. 2. Filer's Employment Assets & Income and Retirement Accounts Part 2 discloses the following: ● ● Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share, honoraria, scholarships, and prizes) Assets related to the filer's business, employment, or other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents) This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business, employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). 3. Filer's Employment Agreements and Arrangements Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States Government), such as the following: ● ● ● ● ● Future employment Leave of absence Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer) Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of a company's profits, etc.) 4. Filer's Sources of Compensation Exceeding $5,000 in a Year Part 4 discloses sources (except the United States Government) that paid more than $5,000 in a calendar year for the filer's services during any year of the reporting period. The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source made its payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services for which the client is paying. 5. Spouse's Employment Assets & Income and Retirement Accounts Part 5 discloses the following: ● ● ● Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and partnership share) Sources of honoraria for the filer's spouse greater than $200 during the reporting period Assets related to the filer's spouse's employment, business activities, other income-generating activities that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in income during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents) This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business, employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding honoraria). 6. Other Assets and Income Part 6 discloses each asset, not already reported, that (1) ended the reporting period with a value greater than $1,000 or (2) produced more than $200 in investment income during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and dependent children. This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement benefits associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a single financial institution with a value of $5,000 or less (unless more than $200 of income was produced). Additional exceptions apply. Note: The type of income is not required if the amount of income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF). 7. Transactions Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during reporting period. This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional exceptions apply. 8. Liabilities Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period. This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans secured by a personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as credit card balances, if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply. 9. Gifts and Travel Reimbursements This section discloses: ● ● Gifts totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period. Travel reimbursements totaling more than $375 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period. For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $150 or less. Regardless of the value, this section does not include the following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or local governments; (3) bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel; (5) gifts of hospitality (food, lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children totally independent of their relationship to the filer. Additional exceptions apply. Privacy Act Statement Title I of the Ethics in Government Act of 1978, as amended (the Act), 5 U.S.C. app. § 101 et seq., as amended by the Stop Trading on Congressional Knowledge Act of 2012 (Pub. L. 112-105) (STOCK Act), and 5 C.F.R. Part 2634 of the U. S. Office of Government Ethics regulations require the reporting of this information. The primary use of the information on this report is for review by Government officials to determine compliance with applicable Federal laws and regulations. This report may also be disclosed upon request to any requesting person in accordance with sections 105 and 402(b)(1) of the Act or as otherwise authorized by law. You may inspect applications for public access of your own form upon request. Additional disclosures of the information on this report may be made: (1) to any requesting person, subject to the limitation contained in section 208(d)(1) of title 18, any determination granting an exemption pursuant to sections 208(b)(1) and 208(b)(3) of title 18; (2) to a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of violations or potential violations of law or regulation; (3) to another Federal agency, court or party in a court or Federal administrative proceeding when the Government is a party or in order to comply with a judge-issued subpoena; (4) to a source when necessary to obtain information relevant to a conflict of interest investigation or determination; (5) to the National Archives and Records Administration or the General Services Administration in records management inspections; (6) to the Office of Management and Budget during legislative coordination on private relief legislation; (7) to the Department of Justice or in certain legal proceedings when the disclosing agency, an employee of the disclosing agency, or the United States is a party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation; (8) to reviewing officials in a new office, department or agency when an employee transfers or is detailed from one covered position to another; (9) to a Member of Congress or a congressional office in response to an inquiry made on behalf of an individual who is the subject of the record; (10) to contractors and other non-Government employees working on a contract, service or assignment for the Federal Government when necessary to accomplish a function related to an OGE Government-wide system of records; and (11) on the OGE Website and to any person, department or agency, any written ethics agreement filed with OGE by an individual nominated by the President to a position requiring Senate confirmation. See also the OGE/GOVT-1 executive branch-wide Privacy Act system of records. Public Burden Information This collection of information is estimated to take an average of three hours per response, including time for reviewing the instructions, gathering the data needed, and completing the form. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Program Counsel, U.S. Office of Government Ethics (OGE), Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917. Pursuant to the Paperwork Reduction Act, as amended, an agency may not conduct or sponsor, and no person is required to respond to, a collection of information unless it displays a currently valid OMB control number (that number, 3209-0001, is displayed here and at the top of the first page of this OGE Form 278e).