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 POSITION HELD FROM TO TYPE 1 Palm Beach Preservation Foundation See Endnote Palm Beach, Non-Pro?t Trustee 1/2010 Present Ho?da 2 Harvard Business School Club of New York See Endnote New York, New Social Club Director 1/2011 Present York 3 The Partnership for New York City See Endnote New York, New Non-Pro?t Member of the 1/2010 Present York Executive Committee 4 WL Ross and Co. LLC Wilmington, Limited Liability Chairman/Chief 10/1997 Present Delaware Company Strategy Officer 5 Sun National Bank Vineland, New Bank Director 9/2010 Present Jersey 6 Nexeo Solutions The Woodlands, Chemicals/Plasti Chairman 3/2014 Present Texas cs Distribution 7 BankUnited FSB, BankUnited, Inc. Miami Lakes, Banks Director 5/2009 3/2014 Honda 8 First Michigan Bank/Talmer Bancorp Troy, Michigan Bank Director 4/2010 11/2014 9 WLR China Energy Associates, Ltd. Cayman Islands, Investment Director 12/2008 Present Outside U.S. Management 10 INVESCO WLR Private Equity Investment Hong Kong, Investments Director 6/2008 Present Management, Ltd. Outside U.S. 11 Invesco Private Capital, Inc. Palo Alto, Investment Director 10/2006 Present California Management 12 ArcelorMittal Luxembourg, Steel Director 5/2008 Present Outside U.S. 13 Assured Guaranty Bermuda, Insurance Director 5/2008 11/2014 Outside U.S. 14 Huaneng Invesco WLR Investment China, Outside Investment Director 9/2008 Present Consulting Company Ltd. U.S. Management Beach, Florida Company ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION HELD FROM TO TYPE 15 International Automotive Group North See Endnote Southfield, Auto parts Chairman and 1/2006 11/2014 America (Inc., LLC, and Holdings, Inc.) Michigan Director 16 International Automotive Group See Endnote Krefeld, Outside Auto parts Chairman and 1/2006 11/2014 U.S. Director 17 International Textile Group See Endnote Greensboro, Textiles Non-Executive 1/2005 11/2014 South Carolina Director 18 Invesco WLR Limited Hong Kong, Investment Director 6/2008 Present Outside US. Management 19 PLASCAR Brazil, Outside Auto parts Director 3/2008 1/2014 US. 20 Invesco Private Capital Investments, Inc. Palo Alto, Investment Director 10/2006 Present California Management 21 WL Ross Co. (India) LLC Wilmington, Limited Liability Director 7/2006 Present Delaware Company 22 Absolute Recovery Hedge Fund, Ltd.; Bermuda, Investment Director 5/2001 Present Absolute Recovery Master Fund Ltd. Outside US. Management 23 Ohizumi Manufacturing Sayama-shi, Air Conditioner Director 6/2010 4/2015 Outside US. parts 24 (India) Limited Mauritius, Investment Director 8/2008 10/2015 Outside US. Management 25 Ross Expansion FLP, LP New York, New Limited General Partner 12/2005 Present York Partnership 26 WLR Master Co-lnvestment SLP GP, Ltd. New York, New General Partner Director/Chairm 8/2011 Present York an 27 The Japan Society, Inc. New York, New Non-Pro?t Director/Chairm 2/2005 Present York an 28 Diamond Shipping LLC See Endnote New York, New Shipping Chairman 1/2011 Present York Management 29 Briarcliff Condominium Apartment Building See Endnote New York, New Non-Pro?t Director 1/2007 Present York 30 El Vedado LLC West Palm Limited Liability Sole Member 12/2005 Present ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION HELD FROM TO TYPE 31 Exco Resources See Endnote Dallas, Texas Corporation Independent 1/2012 Present Director 32 Sun BanCorp Mount Laurel, Bank Director 9/2009 Present NewJersey 33 Bank of Cyprus Strovolos, Bank DirectorNice 1 1/2014 Present Outside US. Chairman 34 American Friends of the Rene Magritte See Endnote New York, New Non-Pro?t President 1/2014 Present Museum York 35 Musee des Arts Decoratifs See Endnote Paris, Outside Non-Pro?t International 1/2014 Present U.S. Counsel Member 36 British American Business, Inc. See Endnote New York, New Business International 1/2010 Present York Network Advisory Board Director 37 Diamond Shipping Group, Inc. See Endnote Greenwich, Shipping Non-Executive 1/2011 Present Connecticut Services Chairman 38 Governor and Company of the Bank of Dublin, Outside Bank Director 6/2012 6/2014 Ireland US. 39 NBNK Investments PLC London, Bank Director/Chairm 1/2013 11/2014 Outside US. an 40 PB Materials Holdings, Inc. Odessa, Texas Corporation Director 10/2013 11/2014 41 Navigator Holdings Ltd. See Endnote London, Shipping Director/Chairm 1/2012 11/2014 Outside US. an 42 chen Financial Corp. Atlanta, Georgia Mortgage Director 3/2013 11/2014 Servicing 43 International Automotive Groupjapan, LLC See Endnote Yokohama, Auto Parts Director/Chairm 1/2006 11/2014 Outside US. an 44 International Automotive Components See Endnote Luxembourg, Auto parts Non-Executive 1/2006 11/2014 Group, SA. Outside US. Chairman 45 IACNA International, Inc. Wilmington, Corporation Director 6/2008 11/2014 Delaware 46 Harvard Business School, Dean's Advisory See Endnote Cambridge, Non-Pro?t Director 1/2012 1/2015 Board Massachusetts ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION HELD FROM TO TYPE 47 India Asset Recovery Fund Limited Mauritius, Investment Director 7/2006 Present Outside US. Management 48 Palm Beach Retirement Funds See Endnote Palm Beach, Pension Plan for Trustee 1/2010 Present Florida public Servants 49 Brookings Economic Studies Council See Endnote Washington, Non-Pro?t Director/Chairm 1/2012 Present District of an Cdumbm 50 D55 Holdings LP See Endnote Greenwich, Shipping Director/Chairm 1/2011 Present Connec?cut an 51 IAC Asia Holdings, Inc. Wilmington, Auto parts Director 5/2007 11/2014 Delaware 52 IACNA Korea, Inc. Wilmington, Auto parts Director 10/2010 11/2014 Delaware 53 IAC Mexico Holdings, Inc. Wilmington, Auto parts Director 5/2007 11/2014 Delaware 54 IAC Spartanburg, Inc. Wilmington, Auto parts Director 2/2010 11/2014 Delaware 55 IAC U.S. Holdings, Inc. Wilmington, Auto parts Director 5/2007 11/2014 Delaware 56 Ross Expansion GP LLC Wilmington, Limited Liability Sole Member 4/2004 Present Delaware Company 57 Absolute Recovery Capital Partners, LLC Wilmington, Limited Liability Managing 5/2011 Present Delaware Company Member 58 Blenheim Foundation USA Palm Beach, Non-Pro?t Trustee 1/2008 Present Ho?da S9 Invesco Ltd. Atlanta, Georgia Corporation CEO -- Private 10/2006 Present Equity Groups 60 Brookings Institution See Endnote Washington, Non-Pro?t Trustee 1/2013 Present District of Cdumbm 61 Palm Beach Civic Association See Endnote Palm Beach, Non-Pro?t Director 1/2010 Present Honda ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION HELD FROM TO TYPE 62 Permali do Brasil Industria Comercio Ltda Brazil, Outside Investments Director 3/2008 1/2014 U.S. 63 1116 South Main Street, LLC See Endnote Wilmington, Limited Liability Managing 1/2003 Present Delaware Company Member 64 781 Fifth Ave. LLC See Endnote Wilmington, Limited Liability Managing 1/2003 Present Delaware Company Member 65 Euro Wagon Ltd. George Town, Corporation Director 2/201 1 Present Outside U.S. 66 Euro Wagon II Ltd. George Town, Corporation Director 2/2011 Present Outside U.S. 67 WLR Euro Wagon Management Ltd. (Jersey) St Helier, Corporation Director 9/2005 Present Outside U.S. 68 WL Ross Group (Cayman) Ltd. Cayman Islands, Corporation Director 2/2011 Present Outside U.S. 69 India Asset Recovery GP Ltd. Cayman Islands, Corporation Director 7/2006 Present Outside U.S. 70 WLR Select Associates DSS GP, Ltd. Cayman Islands, Corporation Director 12/2010 Present Outside U.S. 71 WLR IV Loans AIV Feeder (Cayman), Ltd. Cayman Islands, Corporation Director 10/2009 Present Outside U.S. 72 WLR Recovery Associates IV DSS AIV GP, Ltd. Cayman Islands, Corporation Director 11/2007 Present (Cayman) Outside U.S. 73 WLR Recovery Associates DSS AIV GP, Ltd. Cayman Islands, Corporation Director 9/201 1 Present (Cayman) Outside U.S. 74 Starboard GP Ltd. (Cayman) New York, New Corporation Director 11/2013 Present York 75 WLR Cardinal Associates Ltd. Nevlv( York, New Corporation Director 5/2015 Present Yor 76 India Asset Recovery Associates LLC Wilmington, Limited Liability Managing 2/2006 Present Delaware Company Member 77 WLR Recovery Associates II LLC Wilmington, Limited Liability Managing 2/2002 Present Delaware Company Member ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION HELD FROM TO TYPE 78 Starboard WLR Associates LP. New York, New Limited Principal 11/2013 Present York Partnership Partner 79 WLR-SC Financing Conduit LLC Wilmington, Limited Liability Managing 1/2013 Present Delaware Company Member 80 Ross CG GP LLC Wilmington, Limited Liability Sole Member 5/2003 Present Delaware Company 81 WLR IMRF II Associates LLC Wilmington, Limited Liability Managing 4/2016 Present Delaware Company Member 82 WLR Nanotechnology GP LLC Wilmington, Limited Liability Managing 1/2006 Present Delaware Company Member 2. Filer's Employment Assets Income and Retirement Accounts DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 Invesco 1.1 Invesco Group Services Base Salary $2,000,000 1.2 Invesco Group Services Bonus $2,244,000 1.3 Invesco 401 Plan See Endnote No None (or less than $201) 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 U.S. Bond Index Non-Lending Series Yes $15,001 - Fund Class $50,000 1.3.4 In?ation Protected Bond Index Fund Yes $15,001 - $50,000 1.4 Invesco Ltd. stock $5,000,001 - Dividends $100,001 - $25,000,000 $1,000,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1.5 Invesco Ltd. restricted stock (unvested) See Endnote $5,000,001 - None (or less $25,000,000 than $201) 1.6 Invesco Group Services, anticipated bonus $1,000,001 - None (or less $5,000,000 than $201) 2 ArcelorMittal Director Fee $107,567 3 Air Lease Corporation WA $250,001 - Dividends $1 ,001 - $2,500 $500,000 Capital Gains 4 BankUnited, Inc. $1,001 - $15,000 None (or less than $201) 5 Exco (vested shares) WA $15,001 - None (or less $50,000 than $201) 6 Exco (unvested shares) WA $100,001 - None (or less $250,000 than $201) 7 chen Financial Corporation $1,001 - $15,000 None (or less than $201) 8 Sun Bancorp, Inc. $1,001 - $15,000 None (or less than $201) 9 El Vedado, LLC See Endnote No 9.1 WL Ross Group, LP. See Endnote No 10 WL Ross Group, LP. See Endnote No 10.1 WLR Recovery Associates IV LLC See Endnote No $5,000,001 - Capital Gains $100,001 - $25,000,000 Dividends $1,000,000 10.1.1 WLR Recovery Fund IV, L.P. -- Carried See Endnote $5,000,001 - None (or less Interest $25,000,000 than $201) 10.1.2 WLR Recovery Fund IV, LR No 10.1.2. International Textile Group (textiles) (no 1 longer held) 10.1.2. WLR - Greenbrier Rail Inc. (railroads) (no 2 longer held) 10.1.2. Sun Bancorp. Inc. 1.1 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.1.2. Cascade Bancorp 4 10.1.2. Amalgamated Bank (banking) 5 10.1.3 WLR Recovery Fund IV XCO Feeder I, L.P. No 10.1.3. WLR Recovery Fund 10.1.3. EXCO Resources, Inc. 1.1 10.1.4 WLR Recovery Fund IV XCO Feeder II, L.P. No 10.1.4. WLR Recovery Fund IV XCO AIV II, L.P. No 1 10.1.4. EXCO Resources, Inc. 1.1 10.1.5 WLR Recovery Fund IV XCO Feeder L.P. No 10.1.5. WLR Recovery Fund IV XCO AIV L.P. No 1 10.1.5. EXCO Resources, Inc. 1.1 10.1.6 WLR IV RRH AIV, L.P. No 10.1.6. Cantor Commercial Real Estate Company 1 (real estate ?nancing) 10.1.7 WLR IV RRH Blocked AIV, LR No 10.1.7. Cantor Commercial Real Estate Company 1 (real estate ?nancing) 10.1.8 WLR IV PPIP AIV, L.P. No 10.1.8. Invesco Mortgage Recovery Master Fund, No 1 LP. 10.1.8. Invesco Legacy Securities Master Fund, L.P. See Endnote DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.1.9 WLR IV PPIP AIV Feeder, LR No 10.1.9. WLR IV PPIP AIV, L.P. See Endnote No 1 10.1.1 WLR IV Loans AIV Feeder, L.P. (Delaware) No 0 10.1.1 WLR IV Loans AIV, L.P. No 0.1 10.1.1 Invesco Mortgage Recovery Master Loans No 0.1.1 AIV, L.P. 10.1.1 WLR LeFrak Northwest LLC (real estate 0.1.1.1 loans) 10.1.1 IMRF Hotel Fifth Street Member LLC (real 0.1.1.2 estate loans) 10.1.1 Park Place Apollo Investor LLC (real estate 0.1.1.3 loans) 10.1.1 Market Square Member LLC (real estate 0.1.1.4 loans) 10.1.1 Indiana Retail Member LLC (real estate 0.1.1.5 loans) 10.1.1 Colfin Milestone North Funding LLC 0.1.1.6 (commercial real estate loans) 10.1.1 IMRF Hotel Member LLC (real estate loans) 0.1.1.7 10.1.1 IMRF Watchtower Member LLC (real estate 0.1.1.8 loans) 10.1.1 Shackelford Crossings Member LLC (real 0.1.1.9 estate loans) 10.1.1 IMRF Industrial Member LLC (real estate 0.1.1.1 loans) 0 10.1.1 WLR IV Loans AIV Feeder, (Cayman) L.P. No DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.1.1 WLR IV Loans AIV, L.P. See Endnote No 1.1 10.1.1 WLR IV Loans AIV, L.P. See Endnote No 2 10.2 WLR Mezzanine Associates, LLC See Endnote No $100,001 - None (or less $250,000 than $201) 10.2.1 WLR Mezzanine Splitter, L.P. (Cayman) No 10.2.1 WLR Cardinal Associates Ltd. No 1 10.2.1 WLR Cardinal Mezzanine Fund L.P. No 1.1 (Cayman) 10.2.1. Dwyer Nolan: Elmfield Property Holdings, 1.1.1 Ltd. Tranche A (real estate loans) 10.2.1. Hennebry, O'Toole, Exmonde Partnership 1.1.2 (real estate loans) 10.2.1. Henciti Limited (real estate loans) 1.1.3 10.2.1. Genesis Homes (Mungret) Limited (real 1 .1.4 estate loans) 10.2.1. Charlemont Regene (real estate loans) 1.1.5 10.2.1. Chirita Limited (real estate loans) 1.1.6 10.2.1. Kitty Developments Limited (real estate 1.1.7 loans) 10.2.1. Newpark Developments Limited (real estate 1.1.8 loans) 10.2.1. RGRE Devco No. 3 (real estate 1.1.9 loans) 10.2.1. Chalon Finance DAC (real estate loans) 1.1.10 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.2.2 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote None (or less -- Carried Interest (value not readily than $201) ascertainable) 10.3 Absolute Recovery Capital Partners LLC See Endnote No $250,001 - Capital Gains $5,001 - $15,000 $500,000 10.3.1 Absolute Recovery Hedge Fund Ltd. No (Cayman) 10.3.1. Absolute Recovery Master Fund Ltd. See Endnote 1 10.3.2 Absolute Recovery Hedge Fund L.P. See Endnote 10.4 WLR Recovery Associates LLC (cash) See Endnote WA $500,001 - None (or less $1,000,000 than $201) 10.5 WL Ross Sponsor LLC No $5,000,001 - None (or less $25,000,000 than $201) 10.5.1 Nexeo Solutions, stock 10.6 WLR Conduit MM LLC See Endnote No $500,001 - Capital Gains $100,001 - $1,000,000 Dividends $1,000,000 10.6.1 WLR-SC Financing Conduit LLC No 10.6.1 Resolution Recovery Partners LP (real 1 estate) 10.6.1. Transportation Recovery Fund, L.P. No 2 10.6.1 Shipping GP Ltd. No 2.1 10.6.1. Shipping LP (Cayman) No 2.1.1 10.6.1. Shipping S.a See Endnote No 2.1.1.1 10.6.1. Shipping LP (Cayman) See Endnote No 2.2 10.6.1 Shipping ll GP Ltd. No 2.3 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.6.1. Shipping II LP (Cayman) No 2.3.1 10.6.1. Shipping S.a See Endnote No 2.3.1.1 10.6.1. Shipping II LP (Cayman) See Endnote No 2.4 10.6.1 American Energy - Permian Basin LLC, 3 bonds 10.6.1 Comstock Resources, Inc., warrants 4 10.6.1 Energen Corp. 5 10.6.1 Laredo Petroleum Inc. 6 10.6.1 Northern Oil and Gas Inc. 7 10.6.1 New Penn Financial LLC (mortgage 8 ?nancing) 10.6.1 QEP Resources Inc. 9 10.6.1. Breitburn Energy Partners, bonds 10 10.6.1 Rex Energy Corp. 11 10.6.1 WPX Energy Inc. 12 10.6.1 Comstock Resources, equity 13 10.6.1 Shellpoint Partners LLC (mortgage lending) 14 10.6.1 Cantor Commercial Real Estate Company 15 (real estate ?nancing) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.6.1. Situs Holdings, LLC (commercial mortgage 16 servicing) 10.6.2 Approach Resources, Inc., bonds 10.6.3 Resources, bonds 10.6.4 WLR Conduit MM LLC -- Carried interest See Endnote WA $500,001 - None (or less $1,000,000 than $201) 10.7 WLR Recovery Associates LLC See Endnote No $1,000,001 - Dividends $1 ,000,001 - $5,000,000 Capital Gains $5,000,000 10.7.1 WLR RRH Blocked AIV, L.P. No 10.7.1. Cantor Commercial Real Estate Company 1 (real estate ?nancing) 10.7.2 WLR RRH AIV, LR No 10.7.2. Cantor Commercial Real Estate Company 1 (real estate ?nancing) 10.7.3 WLR RRH Feeder LLC No 10.7.3. WLR RRH Blocked AIV, LR No 1 10.7.3. Cantor Commercial Real Estate Company 1.1 (real estate ?nancing) 10.7.4 WLR Recovery Fund Mezzanine AIV No Blocker, L.P. 10.7.4 WLR Recovery Fund Mezzanine AIV, L.P. No 1 10.7.4 WLR Recovery Fund Mezzanine Holdings No 1.1 LLC 10.7.4. WLR Cardinal Associates Ltd. No 1.1.1 10.7.4. WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 1.1.1.1 WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 11 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.7.5 WLR Recovery Fund Mezzanine AIV, LR No 10.7.5. WLR Recovery Fund Mezzanine Holdings See Endnote No 1 LLC 10.7.6 WLR Recovery Fund V, L.P. -- Carried Interest See Endnote None (or less (value not readily ascertainable) than $201) 10.7.7 WLR RRH Blocked AIV, L.P. -- Carried See Endnote None (or less Interest (value not readily ascertainable) than $201) 10.7.8 WLR RRH AIV, L.P. -- Carried Interest (value See Endnote None (or less not readily ascertainable) than $201) 10.7.9 WLR Recovery Fund V, LR No 10.7.9. Virgin Money (banking) (no longer held) 1 10.7.9. Amalgamated Bank (banking) 2 10.7.9. NBNK Investments PLC (investments) (no 3 longer held) 10.7.9. CCRE/Berkeley Point Financial LLC (real 4 estate) 10.7.9. Bank of Cyprus (banking) 5 10.7.9. PB Materials Holdings, Inc. (construction) 6 10.7.9. Carbures Inc. (nano carbon fiber 7 manufacturing) 10.7.9. DSS Holdings, L.P. (transoceanic shipping) 8 10.7.9. American Energy - Permian Basin LLC, 9 bonds 10.7.9. Approach Resources, Inc., bonds 10 10.7.9. Breitburn Energy Partners, bonds DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.7.9. Comstock Resources Inc., warrants 12 10.7.9. Resources, bonds 13 10.7.9. WLR Eurobank Investment, LR No 14 10.7.9. Eurobank Ergasias SA (banking) 14.1 10.8 WLR Select Associates LLC See Endnote No $15,001 - Dividends $201 - $1,000 $50,000 Interest 10.8.1 WLR Select Co-lnvestment XCO AIV, LR No 10.8.1. Exco Resources, Inc. 1 10.8.2 WLR Select Co-lnvestment XCO AIV, L.P. -- See Endnote None (or less Carried Interest (value not readily than $201) ascertainable) 10.9 WL Ross Group (Cayman), Ltd. No 10.9.1 WLR China Energy CV, LR No 10.9.1 WLR China Energy Associates, Ltd. No 1 10.9.1 WLR China Energy Infrastructure Fund, L.P. - See Endnote None (or less 1.1 - Carried Interest (value not readily than $201) ascertainable) 10.9.1 WLR China Energy Infrastructure Fund, LR No None (or less 1.2 than $201) 10.9.1. Longmen Group Limited (natural gas) $1,001 - $15,000 1.2.1 10.9.1. Organica Water Inc. (wastewater $1,001 - $15,000 1 .2.2 infrastructure) 10.9.1. Phononic Devices, Inc. (consumer products WA $15,001 - 1.2.3 manufacturing) $50,000 1.1.1.3 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.9.1. SinoTech Power Group Holding (solar WA $15,001 - 1 .2.4 power) $50,000 10.9.1. Huaneng Renewables Corp., Ltd. (energy) WA $15,001 - 1.2.5 $50,000 10.9.1. ChargePoint, Inc. (electric vehicle charging) $1,001 - $15,000 1.2.6 10.10 WLR Recovery Associates II, LLC No 10.10. WLR Recovery Fund II, L.P. -- Carried Interest See Endnote WA $250,001 - None (or less 1 $500,000 than $201) 10.11 WLR Recovery Associates LLC No None (or less than $201) 10.11 WLR Recovery Fund L.P. -- Carried See Endnote None (or less 1 Interest (value not readily ascertainable) than $201) 10.12 WLR IMRF II Associates LLC See Endnote No $1,001 - $15,000 None (or less than $201) 10.12. Invesco Mortgage Recovery Master No 1 Associates II, LLC 10.12. Invesco Mortgage Recovery Fund II, L.P. No 1.1 10.12. Invesco Mortgage Recovery Fund II U.S. No 1.1.1 HoldCo, L.P. 10.12. Invesco Mortgage Recovery Fund II ITAL No 1.1.1.1 HoldCo, L.P. 10.12. ITAL SCSP (Luxembourg) No 1.1.1.1 .1 10.12. Spiga (real estate loans) 1.1.1.1 .1.1 10.12. Generator (real estate loans) 1.1.1.2 10.12. Ames Hotel (real estate loans) ascertainable) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.12. Bayside Square (real estate loans) 1.1.1.4 10.12. Luhrs City Center (real estate loans) 1.1.1.5 10.12. Crown Heights (real estate loans) 1.1.1.6 10.12. 5801 Christie Avenue (real estate loans) 1.1.1.7 10.12. Sareb Loan Portfolio (real estate loans) 1.1.1.8 10.12. Invesco Mortgage Recovery Fund II US. See Endnote No 1.2 HoldCo, L.P. 10.12. Invesco Mortgage Recovery Fund II ESC, L.P. No 1.3 10.12. Invesco Mortgage Recovery Fund II US. See Endnote No 1.3.1 HoldCo, L.P. 10.12. IMRF ll HoldCo S.a (Luxembourg) No 1.3.2 10.12. 102 Champs-Elysees (real estate loans) 1.3.2.1 10.12. Frascati (real estate loans) 1.3.2.2 10.12. Gregorio Benetiz (real estate loans) 1.3.2.3 10.12. Invesco Mortgage Recovery Fund II Co- No 1.4 Invest ITAL, L.P. 10.12. Invesco Mortgage Recovery Fund II ITAL See Endnote No 1.4.1 HoldCo, L.P. 10.12. Invesco Mortgage Recovery Fund II Feeder, No 1.5 LLC 10.12. Invesco Mortgage Recovery Fund II, L.P. -- See Endnote None (or less 1.6 carried interest (value not readily than $201) 1.4 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.12. Invesco Mortgage Recovery Fund II Co- See Endnote None (or less 1.7 Invest ITAL, L.P. -- carried interest (value not than $201) readily ascertainable) 10.13 WLR Master Co-Investment SLP Associates No L.P. (Cayman) 10.13. Master Co-Investment L.P. See Endnote None (or less 1 (Cayman) -- Carried Interest (value not than $201) readily ascertainable) 10.14 WLR Recovery Associates IV DSS AIV, L.P. See Endnote No None (or less (value not readily ascertainable) than $201) 10.14. WLR Recovery Fund IV DSS AIV, LR No 1 (Cayman) 10.14. DSS Holdings LP Class A (transoceanic 1.1 shipping) 10.14. DSS Holdings LP Class (transoceanic 1.2 shipping) 10.14. Navigator Holdings Ltd. (transoceanic 1.3 shipping) 10.14. DSS Holdings GP Ltd. (transoceanic 1.4 shipping) 10.15 WLR Recovery Associates DSS AIV, L.P. See Endnote No $1,000,001 - Dividends $100,001 - $5,000,000 Capital Gains $1,000,000 Interest 10.15. WLR Recovery Fund DSS AIV, LR No 1 10.15. Shipping LP (Cayman) See Endnote No 1.1 10.15. Shipping LP (Cayman) See Endnote No 1.2 10.15. Navigator Holdings Ltd. (transoceanic 1.3 shipping) 10.15. DSS Holdings, L.P. (transoceanic shipping) 1.1 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 10.16 WLR Select Associates DSS, L.P. See Endnote No $50,001 - Dividends $1,001 - $2,500 $100,000 Interest Capital Gains 1 1 WLR Recovery Associates DSS AIV GP, Ltd. No 11.1 WLR Recovery Associates DSS AIV, L.P. See Endnote No 11.1.1 WLR Recovery Fund DSS AIV, L.P. -- Carried See Endnote None (or less Interest (value not readily ascertainable) than $201) 12 Mortgage Recovery Associates LLC See Endnote No $500,001 - Dividends $100,001 - $1,000,000 Capital Gains $1,000,000 Interest 12.1 Invesco Mortgage Recovery Master No Associates LLC 12.1.1 Invesco Mortgage Recovery Offshore Feeder No Fund, L.P. 12.1.1. Invesco Mortgage Recovery Feeder Fund, No 1 LP. 12.1.1. Invesco Mortgage Recovery Master Fund, No 1.1 L.P. 12.1.1. Invesco Legacy Securities Master Fund, L.P. See Endnote 1.1.1 12.1.2 Invesco Mortgage Recovery Feeder Fund, No L.P. 12.1.2. Invesco Mortgage Recovery Master Fund, No 1 LP. 12.1.2. Invesco Legacy Securities Master Fund, L.P. See Endnote 1.1 12.1.3 Invesco Legacy Securities Offshore Feeder No Fund, L.P. 12.1.3. Invesco Legacy Securities Feeder Fund, LR No 1 12.1.3. Invesco Legacy Securities Master Fund, L.P. See Endnote L.P. DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 12.1.4 Invesco Mortgage Recovery Master Fund, No L.P. 12.1.4. Invesco Legacy Securities Master Fund, L.P. See Endnote 1 12.1.5 Invesco Legacy Securities Feeder Fund, L.P. No 12.1.5. Invesco Legacy Securities Master Fund, L.P. See Endnote 1 12.1.6 Invesco Legacy Securities Master Fund, L.P. See Endnote 12.1.7 Invesco Recovery Loans Feeder Fund, L.P. No (DE) 12.1.7. Invesco Mortgage Recovery Loans AIV, L.P. No 1 12.1.7. Invesco Mortgage Recovery Master Loans See Endnote No 1.1 AIV, L.P. 12.1.8 Invesco Mortgage Recovery Loans Feeder No Fund, L.P. (Cayman) 12.1.8. Invesco Mortgage Recovery Loans AIV, L.P. No 1 12.1.8. Invesco Mortgage Recovery Master Loans See Endnote No 1.1 AIV, L.P. 12.1.9 Invesco Mortgage Recovery Loans AIV, LR No 12.1.9. Invesco Mortgage Recovery Master Loans See Endnote No 1 AN, L.P. 12.1.1 Invesco Mortgage Recovery Master Loans See Endnote No 0 AN, L.P. 12.2 WLR IV PPIP Co-Invest Offshore Feeder No Fund, L.P. 12.2.1 WLR IV PPIP Co-Invest, LR No 12.2.1. Invesco Mortgage Recovery Master Fund, No loan) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 12.2.1. Invesco Legacy Securities Master Fund, L.P. See Endnote 1.1 12.3 WLR IV PPIP Co-Invest, LR No 12.3.1 Invesco Mortgage Recovery Master Fund, No L.P. 12.3.1. Invesco Legacy Securities Master Fund, L.P. See Endnote 1 12.4 WLR IV PPIP Coinvest Loans Feeder Fund, No L.P. (DE) 12.4.1 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.4.1. Invesco Mortgage Recovery Master Loans See Endnote No 1 AN, L.P. 12.5 WLR IV PPIP Coinvest Loans Feeder Fund No (Cayman), L.P. 12.5.1 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.5.1. Invesco Mortgage Recovery Master Loans See Endnote No 1 AN, L.P. 12.6 WLR Whole Loan Fund, L.P. No 12.6.1 WLR LeFrak (Northwest) LLC (real estate loans) 12.6.2 Market Square Member LLC (real estate loans) 12.6.3 Indiana Retail Member LLC (real estate loans) 12.6.4 Shackleford Crossings Member LLC (real estate loan) 12.6.5 Colfin Milestone North Funding LLC (real estate loan) 12.6.6 IMRF Hotel Member LLC (real estate loan) 12.6.7 Park Place Apollo Investor LLC (real estate DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 12.6.8 IMRF Watchtower Member LLC (real estate loan) 12.6.9 IMRF Industrial Member LLC (real estate loan) 12.7 WLR IV PPIP Co-Invest Loans AIV, L.P. No 12.7.1 Invesco Mortgage Recovery Master Loans See Endnote No AIV, L.P. 12.8 Mortgage Recovery Associates LLC See Endnote $1,000,001 - None (or less -- Carried Interest $5,000,000 than $201) 13 Starboard GP Ltd. See Endnote No $50,001 - Dividends $50,001 - $100,000 $100,000 13.1 Starboard Recovery Associates, LR No 13.1.1 WLR Navig8 Co-Investment, LR No 13.1.1. Shipping S.a. r.l. See Endnote No 1 13.2 Transportation Recovery Fund, L.P. -- See Endnote None (or less Carried Interest (value not readily than $201) ascertainable) 14 IRA - Traditional No 14.1 WLR Recovery Associates, LLC No $250,001 - Dividends $100,001 - $500,000 $1 ,000,000 14.1.1 WLR Recovery Fund II, LR No 14.1.1. International Textile Group (textiles) (no 1 longer held) 14.1.1. WLR Cone Mills Surplus Assets LLC (textiles) 2 (no longer held) 14.1.1. Ohizumi Co Ltd. (electronics,Japan) (no 3 longer held) 14.1.1. Nano-Tex LLC (textiles) (no longer held) $250,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 14.1.1. IAC Group North America LLC (automotive 5 parts) 14.1.1. IAC Group Brazil LLC (automotive parts) 6 14.2 WLR Recovery Associates LLC No $500,001 - Dividends $5,001 - $15,000 $1,000,000 14.2.1 WLR Recovery Fund L.P. No 14.2.1. International Textile Group (textiles) (no 1 longer held) 14.2.1. IAC Group North America LLC (automotive 2 parts) 14.2.1. IAC Group Brazil LLC (automotive parts) 3 14.2.1. OCM India Limited (textiles) (no longer held) 4 14.3 WLR Recovery Associates IV, LLC See Endnote No $50,001 - None (or less $100,000 than $201) 14.4 U.S. brokerage/investment account (cash) WA $100,001 - None (or less $250,000 than $201) 14.5 WLR Recovery Associates IV DSS AIV GP, Ltd. No $50,001 - None (or less (Cayman) $100,000 than $201) 14.5.1 WLR Recovery Associates IV DSS AIV, L.P. See Endnote No 14.6 UBS AG Deposit Account (cash) WA $500,001 - None (or less $1,000,000 than $201) 15 IRA - Roth No Interest $5,001 - $15,000 Dividends 15.1 Aperam NY Reg. WA $100,001 - $250,000 15.2 ArcelorMittal SA NY Reg. WA $250,001 - $500,000 15.3 U.S. brokerage/investment account (cash) WA $100,001 - 1.1.5 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 15.4 UBS AG Deposit Account $1,000,001 - $5,000,000 16 India Asset Recovery Associates LLC See Endnote No $100,001 - Dividends $201 - $1,000 $250,000 16.1 India Asset Recovery GP Ltd. (Cayman) No 16.1.1 India Asset Recovery Fund LP -- Carried See Endnote None (or less Interest (value not readily ascertainable) than $201) 16.1.2 India Asset Recovery Fund LP No 16.1.2. India Asset Recovery Fund Limited No 1 16.1.2. OCM India Limited (textiles) 1.1 17 Ross CG GP LLC No 17.1 Ross CG Associates, LP No $1,000,001 - Capital Gains Over $5,000,000 $5,000,000 Dividends 17.1.1 Taiyo Pearl GP, LR No 17.1.1. Taiyo Pearl Delaware Fund, L.P. No 1 17.1.1. Taiyo Pearl Master Fund, L.P. No 1.1 17.1.1. Nifco Inc. (plastics) 1.1.1 17.1.1. Trust Co. Ltd. (?nancial services; real 1.1.2 estate) 17.1.1. Matsui Securities Co. Ltd. (financial services) 1.1.3 17.1.1. Topcon Corp. (positioning instruments) 1.1.4 17.1.1. Ulvac Inc. (machinery) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 17.1.1. Disco Corp. (precision tools) 1.1.6 17.1.1. Horiba Ltd. (precision instruments) 1.1.7 17.1.1. Peptidream Inc. (pharmaceuticals, Japan) 1.1.8 17.1.1. Nissha Printing Co. Ltd. (Manufacturing, 1.1.9 electronics, and medical devices, Japan) 17.1.1. Miraca Holdings Inc. (healthcare) 1.1.10 17.1.1. CyberAgent, Inc. (internet business) 1.1.11 17.1.1. Taiyo Pearl Fund, L.P. No 2 17.1.1. Taiyo Pearl Master Fund, L.P. See Endnote No 2.1 17.1.1. Taiyo Pearl Fund, Ltd. No 3 17.1.1. Taiyo Pearl Master Fund, L.P. See Endnote No 3.1 17.1.1. Taiyo Pearl Master Fund, L.P. See Endnote No 4 17.2 Ross CG Associates, LP - Carried Interest See Endnote $1,000,001 - None (or less $5,000,000 than $201) 17.3 Ross CG Cypress Associates, LLC See Endnote No $50,001 - Capital Gains $15,001 - $100,000 Dividends $50,000 17.3.1 Ross CG Cypress Associates, LP See Endnote 17.3.2 Ross CG Cypress Associates, LP -- Carried See Endnote WA $100,001 - None (or less Interest $250,000 than $201) 17.4 Ross CG Pearl Associates, LLC No 17.4.1 Ross CG Pearl Associates, LP -- carried See Endnote WA $100,001 - None (or less interest $250,000 than $201) 1.2 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 18 WL Ross GP LLC No 18.1 Asia Recovery Associates LP. -- Carried See Endnote $1,000,001 - None (or less Interest $5,000,000 than $201) 18.2 Asia Recovery Associates LP. No 18.2.1 Asia Recovery Co-Invest Partners, LP. No $1,001 - $15,000 None (or less than $201) 18.2.1. Ohizumi Co Ltd. (electronics,Japan) (no 1 longer held) 19 WLR Recovery Associates IV DSS AIV GP, Ltd. No (Cayman) 19.1 WLR Recovery Associates IV DSS AIV, L.P. See Endnote No $1,000,001 - None (or less $5,000,000 than $201) 19.1.1 WLR Recovery Fund IV DSS AIV, L.P. See Endnote No 19.2 WLR Recovery Fund IV DSS AIV, L.P. -- See Endnote $1,000,001 - None (or less Carried Interest $5,000,000 than $201) 20 Starboard WLR Associates LP. No $5,000,001 - None (or less $25,000,000 than $201) 20.1 Starboard Recovery Associates, LP. See Endnote No 21 Ross Expansion GP, LLC No 21.1 Ross Expansion FLP, LP -- carried interest See Endnote $5,000,001 - None (or less $25,000,000 than $201) 21.2 Ross Expansion FLP, LP See Endnote WA $100,001 - None (or less $250,000 than $201) 21.2.1 Ross Expansion Associates, LR No 21.2.1. WLR Euro Wagon Management Limited No 1 (Jersey) 21.2.1. IPE Euro Wagon L.P. (Jersey) See Endnote 1.1 21.2.1. Euro Wagon, LP See Endnote DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 21.2.1. Euro Wagon II, LP See Endnote 1.3 22 NKK Corporation Honorarium $1,000 from speech in March 2016. Donated to The Japan Society. 23 Profit Sharing Plan (underlying See Endnote Distributions $2,062 assets are not ascertainable) from plan. 24 WLR Select Associates DSS GP Ltd. (Cayman) No 24.1 WLR Select Associates DSS, L.P. See Endnote No 24.1.1 WLR Select Co-Investment Mezzanine AIV, No L.P. (Cayman) 24.1.1. WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 1 24.1.2 WLR Select Co-Investment, L.P. (Cayman) -- See Endnote None (or less Carried Interest (value not readily than $201) ascertainable) 24.1.3 WLR Select Co-Investment Mezzanine AIV, No L.P. (Cayman) 24.1.3. WLR Mezzanine Splitter, L.P. (Cayman) See Endnote No 1 24.1.3. WLR Cardinal Mezzanine Fund L.P. (Cayman) See Endnote No 2 24.1.4 WLR Select Co-lnvestment, L.P. (Cayman) No 24.1.4. WLR IV VM II LLC See Endnote No 1 24.1.4. Navigator Holdings Ltd. (transoceanic 2 shipping) 24.1.4. PB Materials Holdings Inc. (construction) 3 24.1.4. DSS Holdings, L.P. (shipping) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.2 WLR Select Co-Investment Mezzanine AIV No Blocker, L.P. (Cayman) 24.2.1 WLR Select Co-Investment Mezzanine AIV, See Endnote No L.P. (Cayman) (value not readily ascertainable) 25 WLR Nanotechnology GP LLC See Endnote No $1,001 - $15,000 None (or less than $201) 25.1 Masters Capital Nanotechnology Fund, LP. -- See Endnote None (or less Carried Interest (not readily ascertainable) than $201) 25.2 Masters Capital Nanotechnology, LLC No 25.2.1 Masters Capital Nanotechnology Fund, LP. No 25.2.1. Daylight Solutions, Inc. 1 25.2.1. Nanosys, Inc. 2 26 WLR Nanotechnology LP LLC No $500,001 - None (or less $1,000,000 than $201) 26.1 Masters Capital Nanotechnology Fund, LP. See Endnote 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 2/2013 compensation at Invesco. Generally, those restricted shares vest in equal tranches over a four-(year period after the date on which they were grante 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. EMPLOYER 0R PARTY CITY, STATE STATUS AND TERMS DATE WLR Recovery Associates II, LLC New York, New York I am Managing Member of this entity, which serves as General Partner 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 WLR Recovery Associates LLC New York, New York WL Ross Group LP serves as Mana ing Member of this entity, which serves as Genera Partner of various underlyin funds. The GP is entitled to a carried interest. A er 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 WLR Recovery Associates IV, LLC New York, New York WL Ross Group LP serves as Mana ing Member of this entity, which serves as Genera Partner of various underlyin funds. The GP is entitled to a carried interest. A er 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 1/2007 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 ranted. Approximatel half of my outstan ing unvested Exco shares veste in late December 2016 and the rest will vest at the end of 2017. 12/2015 WLR Recovery Associates V, LLC New York, New York WL Ross Group LP serves as Mana ing Member of this entity, which serves as Genera Partner of various underlyin funds. The GP is entitled to a carried interest. A er 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 Starboard GP Ltd. New York, New York I serve as Director of this entity, which serves as General Partner 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 0R PARTY CITY, STATE STATUS AND TERMS DATE 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 Mortgage Recovery Associates LLC New York, New York WL Ross Group LP serves as Mana ing Member of this entity, which serves as Genera Partner of various underlyin funds. The GP is entitled to a carried interest. A er 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 0/2009 1O WLR Mezzanine Associates, LLC New York, New York WL Ross Group serves as Managing Member of this entity, which serves as General Partner of various underlyin funds. The GP is entitled to a carried interest. A er 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 managin member of this entity, which holds an interest in In ia Asset Recovery GP, Ltd. That entity holds a carried interest in the India Asset Recovery Fund as its general partner. After investors recoup their principa 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, LP. 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 0R 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 5 20% carried interest. For the energy bonds, I receive an index amount, plus a 15% carried interest. 1/2010 15 Profit Sharing Plan See Endnote New York, New York I receive approximately $1,000 per year in distributions from this plan. Within 90 days of confirmation, I will irrevocabl assign the rights to these payments to a public arity 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 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 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 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 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 EMPLOYER 0R 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 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 of various underlyin funds. The GP is entitled to a carried interest. A er 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 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 Master Co- Investment L.P. fund. 8/2011 26 lnvesco, 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. 1 0/2006 27 lnvesco Ltd. Atlanta, Georgia I participate in Invesco's 401 plan. I will cash out of this plan within 90 days of my confirmation. 1 0/2006 28 EMPLOYER OR PARTY Invesco Mortgage Recovery Master Associates II CITY, STATE New York, New York STATUS AND TERMS DATE I serve as the managing member of WLR IMRF 4/2016 Associates LLC, which invests in Invesco Mortgage Recovery Associates l LLC. Invesco Mortgage Recove Associates LLC serves as General Partner 0 Invesco Mortgage Recovery Fund II, LP. and Invesco Mortgage Recovery Fund II Co-Invest ITAL, LP. 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. 29 WLR Master Co-Investment SLP Associates, LP. (Cayman) Outside US. WL Ross Group LP is an investor in WLR Master Co- 4/2011 Investment SLP Associates, LP. (Cayman), which is the general partner of 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. 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 ArcelorMittaI Luxembourg, Independent Director on the Board of Directors. Outside US. 5. Spouse's Employment Assets Income and Retirement Accounts DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 Powerhouse Cultural Entertainment (value See Endnote Rent or $1,001 - $2,500 not readily ascertainable) Royalties 2 Dreyfus Government Cash Admin Yes Over $1,000,000 None (or less than $201) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 3 Amphenol Corp CL A WA $250,001 - Dividends $2,501 - $5,000 $500,000 4 Atara Biotherapeutics Inc Corn WA $15,001 - None (or less $50,000 than $201) 5 Boeing Co. WA $250,001 - Dividends $5,001 - $15,000 $500,000 6 CDW Corp Com USD0.01 WA $250,001 - Dividends $2,501 - $5,000 $500,000 7 CME Group Inc. WA $250,001 - Dividends $5,001 - $15,000 $500,000 8 Moodys Corp WA $250,001 - Dividends $5,001 - $15,000 $500,000 9 MSCI Inc Corn WA $250,001 - Dividends $2,501 - $5,000 $500,000 10 Neustar Inc. CL A WA $100,001 - None (or less $250,000 than $201) 11 SVB Finl Group WA $250,001 - None (or less $500,000 than $201) 12 Verisk Analytics Inc. Corn WA $250,001 - None (or less $500,000 than $201) 13 Wex Inc Corn WA $250,001 - None (or less $500,000 than $201) 14 Zoetis Inc Com USD0.01 CL A WA $250,001 - Dividends $1,001 - $2,500 $500,000 15 HSBC PLC PERP SUB CAP SECS WA $250,001 - Dividends $15,001 - $500,000 $50,000 16 Wells Fargo Co New Dep SHS REPSTG WA $100,001 - Dividends $5,001 - $15,000 $250,000 6. Other Assets and Income DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1 U.S. Brokerage Account #1 1.1 Cash Over Interest $5,001 - $15,000 $50,000,000 1.2 Pound Sterling (cash account in overseasJP WA $100,001 - None (or less Morgan account) $250,000 than $201) 1.3 U.S. Treasury 8.75% 5/15/17 912810-DY-1 $5,000,001 - Interest $100,001 - $25,000,000 Capital Gains $1 ,000,000 1.4 Bear Stearns Co. Inc. 6.4% Oct 2, 2017 DTD $5,000,001 - Interest $100,001 - 10/02/2007 073902-PR-3 A1 $25,000,000 Capital Gains $1 ,000,000 1.5 Bear Stearns Co. Inc. 7 1/4% Feb 1, 2018 $5,000,001 - Capital Gains $100,001 - DTD 02/01 /2008 073902-RU-4 $25,000,000 Interest $1 ,000,000 1.6 Anheuser Busch INBEV WOR 7 3/4%Jan 15, None (or less Capital Gains $100,001 - 2019 DTD 01/15/2011 03523-BE-7 than $1,001) Interest $1,000,000 1.7 Caterpillar Financial SE Medium Term Note None (or less Capital Gains $100,001 - 7.15% Feb 15,2019 DTD 02/12/2009 than $1,001) Interest $1,000,000 14912L-4E-8 1.8 Goldman Sachs Group Inc. SR Notes 7 1/2% None (or less Capital Gains $100,001 - Feb 15,2019 DTD 02/15/2009 38141 E-A2-5 than $1,001) Interest $1 ,000,000 1.9 MetLife Inc. Notes 7.717% Feb 15, 2019 DTD None (or less Capital Gains $100,001 - 02/15/2009 59156R-AT-5 than $1 ,001) Interest $1 ,000,000 1.10 Morgan Stanley 7.3% May 13, 2019 DTD None (or less Capital Gains $100,001 - 05/13/2009 61747Y-CG-8 than $1 ,001) Interest $1 ,000,000 1.11 Dow Chemicals Co., The Notes 8.55% May None (or less Capital Gains $100,001 - 15,2019 DTD 05/13/2009 260543-BX-0 than $1,001) Interest $1 ,000,000 1.12 Citigroup Inc. SR Notes 8 1/2% May 22, 2009 None (or less Capital Gains $100,001 - DTD 05/22/2009 than $1,001) Interest $1 ,000,000 1.13 Bank of America Corp SR Notes 7 5/8%Jun None (or less Capital Gains $100,001 - 01, 2019 DTD 06/02/2009 06051 G-DZ-9 A- than $1,001) Interest $1 ,000,000 1.14 General Elec Cap Corp 6% Aug 07, 2019 DTD None (or less Capital Gains $100,001 - 08/07/2009 369626-40-3 than $1 ,001) Interest $1 12/01 /201 8 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 1.15 XTO Energy Corp 61/2% Dec 15, 2018 DTD None (or less Capital Gains $50,001 - 08/07/2008 98385X-AT-3 than $1 ,001) Interest $100,000 2 U.S. Brokerage Account #2 2.1 Cash account 1 WA $250,001 - Interest $201 - $1,000 $500,000 2.2 Cash account 2 Over Interest $15,001 - $50,000,000 $50,000 2.3 UBS Select Prime Institutional Fund Yes None (or less $201 - $1,000 than $1,001) 2.4 Tennessee Gas Pipeline NTS 8.000% None (or less Capital Gains $100,001 - Matures 02/01/2016 CUSIP 880451AY5 than $1,001) Interest $1 ,000,000 2.5 Metlife Inc NTS 6.750% Matures None (or less Capital Gains $50,001 - 06/01/2016 CUSIP 59156RAU2 than $1,001) Interest $100,000 2.6 Natl Rural Util Coop Fin 10.375% Matures None (or less Capital Gains $100,001 - 11/01/2016 CUSIP 637432LR4 than $1,001) Interest $1 ,000,000 2.7 Baker Hughes Inc. NTS 7.500% Matures None (or less Capital Gains $50,001 - 11/15/2018 CUSIP 057224AY3 than $1,001) Interest $100,000 2.8 Goldman Sachs Group NTS 7.500% Matures None (or less Capital Gains $50,001 - 02/19/2019 CUSIP 38141 EA25 than $1,001) Interest $100,000 2.9 Dow Chemical Co NTS 8.550% Matures None (or less Capital Gains $50,001 - 05/15/2019 CUSIP 26054BBXO than $1 ,001) Interest $100,000 2.10 Bank of Amer Corp NTS OBP 7.625% None (or less Capital Gains $100,001 - Matures 06/01/2019 CUSIP 06051 GDZ9 than $1,001) Interest $1 ,000,000 2.11 Republic of Korea NTS Foreign Security None (or less Capital Gains $100,001 - 7.125% Matures 04/16/2019 ISIN than $1,001) Interest $1,000,000 USSOO64FAJ30 2.12 UBS Select TX FR Capital Yes None (or less None (or less than $1,001) than $201) 3 U.S. Brokerage Account #3 3.1 Southwestern Public Service Co. NTS ISIN $5,000,001 - Interest $100,001 - CUSIP 845743BM45 8.7500% Matures $25,000,000 $1 ,000,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 3.2 Cash $5,000,001 - None (or less $25,000,000 than $201) 4 US. Brokerage Account #4 4.1 Southwestern Public Service Co. NTS ISIN None (or less Capital Gains $1 ,000,001 - CUSIP 845743BM45 8.7500% Matures than $1,001) Interest $5,000,000 12/01/2018 4.2 United States Treasury BDS 9.250% NTS ISIN None (or less Capital Gains $1 ,000,001 - CUSIP 912810DV7 Matures 02/15/2016 than $1,001) Interest $5,000,000 4.3 XTO Energy Inc. SR NTS 6.500% NTS ISIN None (or less Capital Gains $100,001 - CUSIP 98385XAT3 Matures 12/15/18 than $1,001) Interest $1,000,000 5 US. Brokerage Account #5 (cash) See Endnote WA $100,001 - Interest $201 - $1,000 $250,000 6 US. Brokerage Account #6 (cash) $1 ,000,001 - None (or less $5,000,000 than $201) 7 US. Bank Account #1 (cash) WA $500,001 - Interest $2,501 - $5,000 $1,000,000 8 US. Money Market Account #1 (cash) WA $50,001 - None (or less $100,000 than $201) 9 US. Money Market Account #2 (cash) $1,000,001 - Interest $15,001 - $5,000,000 $50,000 10 US. Brokerage Account #7 (cash) See Endnote None (or less Interest $1,001 - $2,500 than $1,001) Dividends 11 US. Brokerage Account #8 11.1 Aperam NY Reg Shares (steel) WA $500,001 - Dividends $5,001 - $15,000 $1 ,000,000 Capital Gains 11.2 Federated Govt Obl; II Yes $15,001 - None (or less $50,000 than $201) 12 Arcelor Mittal SA WA $500,001 - Dividends $50,001 - $1 ,000,000 Capital Gains $100,000 13 Nexeo Solutions stock $25,000,001 - None (or less $50,000,000 than $201) $250,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 14 Art Collection Over None (or less $50,000,000 than $201) 15 US. Brokerage Account #9 15.1 Cash deposit account WA $100,001 - None (or less $250,000 than $201) 15.2 UBS Select Govt Capital Yes $250,001 - $201 - $1,000 $500,000 15.3 UBS Select Prime Capital Yes None (or less $1,001 - $2,500 than $1,001) 16 US. Bank Account #2 (cash) WA $100,001 - None (or less $250,000 than $201) 17 Intercontinental Exchange, Inc. WA $250,001 - Dividends $15,001 - $500,000 $50,000 18 YG Partners Fund, LP Yes $1,000,001 - None (or less $5,000,000 than $201) 19 Formation8 Partners Entrepreneur Fund II Yes $50,001 - None (or less $100,000 than $201) 20 Formation8 Partners Fund I Yes $500,001 - None (or less $1,000,000 than $201) 21 8 Partners VC Fund I, L.P. Yes $50,001 - None (or less $100,000 than $201) 22 WLR Recovery Associates LLC See Endnote No $100,001 - Dividends $5,001 - $15,000 $250,000 23 WLR Recovery Associates l LLC See Endnote No $100,001 - Interest $100,001 - $250,000 $1 ,000,000 24 US. Brokerage Account #10 24.1 Spouse - Trust: Under Will No. 1 24.1.1 Dreyfus Government Cash Admin Yes $50,001 - None (or less $100,000 than $201) 24.1.2 Amphenol Copr CL A WA $100,001 - Dividends $1,001 - $2,500 $250,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.1.3 Boeing Co. WA $100,001 - Dividends $15,001 - $250,000 $50,000 24.1.4 CDW Corp Com USD0.01 WA $250,001 - Dividends $1 ,001 - $2,500 $500,000 24.1.5 CME Group Inc. WA $100,001 - Dividends $2,501 - $5,000 $250,000 24.1.6 MSCI Inc Com WA $100,001 - Dividends $1,001 - $2,500 $250,000 24.1.7 Neustar Inc. CL A WA $100,001 - None (or less $250,000 than $201) 24.1.8 SVB Finl Group WA $50,001 - None (or less $100,000 than $201) 24.1.9 Verisk Analytics Inc. Com WA $100,001 - None (or less $250,000 than $201) 24.1.1 Wex Inc Com WA $100,001 - None (or less 0 $250,000 than $201) 24.1.1 Zoetis Inc Com USD0.01 CLA WA $100,001 - Dividends $1,001 - $2,500 1 $250,000 24.1.1 SPDR 500 ETF Trust Unit SER 1 Yes Over $1 ,000,000 $15,001 - 2 $50,000 24.2 Spouse - Trust: Under Agreement 24.2.1 Dreyfus Government Cash Admin Yes $250,001 - None (or less $500,000 than $201) 24.2.2 Boeing Co. WA $250,001 - Dividends $5,001 - $15,000 $500,000 24.2.3 Chevron Corp New Corn WA $250,001 - Dividends $15,001 - $500,000 $50,000 24.2.4 CME Group Inc. WA $500,001 - Dividends $5,001 - $15,000 $1,000,000 24.2.5 Merck Co. Inc New Com WA $100,001 - Dividends $5,001 - $15,000 $500,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.2.6 Moodys Corp WA $250,001 - Dividends $5,001 - $15,000 $500,000 24.2.7 MSCI Inc Com WA $100,001 - Dividends $2,501 - $5,000 $250,000 24.2.8 Neustar Inc CL A WA $250,001 - None (or less $500,000 than $201) 24.2.9 SVB Finl Group WA $250,001 - None (or less $500,000 than $201) 24.2.1 Verisk Analytics Inc Com WA $250,001 - None (or less 0 $500,000 than $201) 24.2.1 Wex Inc Corn WA $250,001 - None (or less 1 $500,000 than $201) 24.2.1 Zoetis Inc Corn USD0.01 CLA WA $250,001 - Dividends $2,501 - $5,000 2 $500,000 24.2.1 SPDR 500 ETF Trust Unit SER 1 Yes Over $1,000,000 $15,001 - 3 $50,000 24.3 Spouse - Trust: Under Will No. 2 24.3.1 Fireeye Inc Com WA $100,001 - None (or less $250,000 than $201) 24.3.2 NewJersey St Tran Corp Grant Antic WA $250,001 - Interest $15,001 - $500,000 $50,000 24.3.3 El Paso Cnty Facs Corp Colo Partn WA $250,001 - Interest $15,001 - $500,000 $50,000 24.3.4 North Tex Twy Auth Rev Ref Ser WA $250,001 - Interest $15,001 - $500,000 $50,000 24.3.5 Leander Tx Indpt Dist Ult Tax Ref WA $250,001 - Interest $5,001 - $15,000 $500,000 24.3.6 Illinois Fin Auth Rev Rev Trinity WA $100,001 - Interest $5,001 - $15,000 $250,000 24.3.7 Atlanta Ga Dev Auth Rev Rev Georgia WA $250,001 - Interest $5,001 - $15,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.3.8 Gainesville Hall Cnty Ga Hos Auth WA $100,001 - Interest $5,001 - $15,000 $250,000 24.3.9 Chicago Ill Tran Auth Cap WA $250,001 - Interest $15,001 - $500,000 $50,000 24.3.1 Fort Myers Fla Cap Impt Rev Cap Impt WA $100,001 - Interest $5,001 - $15,000 0 $250,000 24.3.1 NewJersey St Higher Ed Assistance Auth WA $250,001 - Interest $15,001 - 1 $500,000 $50,000 24.3.1 Houston Tex College Rev WA $250,001 - Interest $15,001 - 2 $500,000 $50,000 24.3.1 Key West Fla Util Elec Rev Elec WA $100,001 - Interest $5,001 - $15,000 3 $250,000 24.3.1 Buffalo Ft Erie Pub Brog Auth Toll WA $100,001 - Interest $15,001 - 4 $250,000 $50,000 24.3.1 Lee Cnty Fla Cifs Partn Cops WA $250,001 - Interest $15,001 - 5 $500,000 $50,000 24.3.1 Texas St Pub Fin Auth Rev Financing WA $250,001 - Interest $15,001 - 6 $500,000 $50,000 24.3.1 New Orleans La Go Ref Ser 2015 WA $250,001 - Interest $5,001 - $15,000 7 $500,000 24.3.1 Reedy Creek Impt Dist Fla Ad Valorim WA $250,001 - Interest $15,001 - 8 $500,000 $50,000 24.3.1 Northern Ind Commuter Transn Dist WA $250,001 - Interest $15,001 - 9 $500,000 $50,000 24.3.2 Indiana St Fin Auth Wastewater Util Rev WA $250,001 - Interest $15,001 - 0 $500,000 $50,000 24.3.2 Alamo Tex College Dist Tax WA $250,001 - Interest $5,001 - $15,000 1 $500,000 24.3.2 New York Liberty Dev Corp Liberty Rev WA $250,001 - Interest $15,001 - 2 $500,000 $50,000 24.3.2 HSBC Perp Sub Cap Secs Secs WA $100,001 - Interest $5,001 - $15,000 3 $250,000 DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 24.3.2 State St Instl Liquid Resvs Fd Ben Int WA $100,001 - Interest $201 - $1,000 4 $250,000 24.3.2 Birmingham Ala Go Refunding Warrants WA $250,001 - Interest $15,001 - 5 Series $500,000 $50,000 24.3.2 New Prairie UTD Corp. WA $250,001 - Interest $5,001 - $15,000 6 $500,000 25 Dreyfus Government Cash Admin Yes $250,001 - None (or less $500,000 than $201) 26 Amphenol Copr CL A Over $1 ,000,000 Dividends $15,001 - $50,000 27 Apple Inc. WA $500,001 - Dividends $15,001 - $1 ,000,000 $50,000 28 Atara Biotherapeutics Inc Corn WA $100,001 - None (or less $250,000 than $201) 29 Boeing Co. Over $1 ,000,000 Dividends $50,001 - $100,000 30 CDW Corp Com USD0.01 Over $1 ,000,000 Dividends $15,001 - $50,000 31 CME Group Inc. Over $1 ,000,000 Dividends $100,001 - $1,000,000 32 Moodys Corp Over $1 ,000,000 Dividends $50,001 - $100,000 33 MSCI Inc Com WA $500,001 - Dividends $15,001 - $1 ,000,000 $50,000 34 Neustar Inc CL A WA $500,001 - None (or less $1,000,000 than $201) 35 SVB FinI Group Over $1 ,000,000 None (or less than $201) 36 Verisk Analytics Inc Com Over $1 ,000,000 None (or less than $201) 37 Wex Inc Com Over $1 ,000,000 None (or less than $201) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 38 Zoetis Inc Corn USD0.01 CL A Over $1,000,000 Dividends $15,001 - $50,000 39 Citigroup Inc Bond Perpetual 6.25000% WA $500,001 - Interest $15,001 - $1 ,000,000 $50,000 40 Edinburg Tex Cons Indpt Dist Ultd WA $250,001 - Interest $15,001 - $500,000 $50,000 41 Houston Tex Hotel Occupancy Tax SPL $100,001 - Interest $15,001 - $250,000 $50,000 42 Atlanta GA Dev Auth Rev Rev 805 Georgia WA $100,001 - Interest $15,001 - $250,000 $50,000 43 Wyanootee Cnty Kans City Kans Uni Govt WA $250,001 - Interest $15,001 - $500,000 $50,000 44 North Tex Twy Auth Rev Ref Ser. A WA $100,001 - Interest $5,001 - $15,000 $250,000 45 Greenville Tex 8 0 Ref Bos Ser. 2008 WA $100,001 - Interest $15,001 - $250,000 $50,000 46 Houston Tex College Rev WA $100,001 - Interest $5,001 - $15,000 $250,000 47 Key West FLA Util Elec Rev Elec WA $100,001 - Interest $5,001 - $15,000 $250,000 48 NewJersey St Higher Ed Assistance Auth Ref WA $100,001 - Interest $5,001 - $15,000 305 1A $250,000 49 Kansas City Mo Oblig Dblig WA $100,001 - Interest $5,001 - $15,000 $250,000 50 St Commn Tkaev Rev WA $100,001 - Interest $5,001 - $15,000 $250,000 51 Indiana St Fin Auth Wastewaster Util Rev WA $100,001 - Interest $5,001 - $15,000 $250,000 52 St Charles Cnty Mo Pub Supply Dist WA $100,001 - Interest $5,001 - $15,000 $250,000 53 Michigan Fin Auth Rev Rev Ref WA $250,001 - Interest None (or less $500,000 than $201) DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 54 Cumulus Media A None (or less Dividends None (or less than $1,001) Capital Gains than $201) 55 United Parcel SVC Inc CL None (or less Dividends $100,001 - than $1,001) Capital Gains $1,000,000 56 Port Seattle Wash Rev. None (or less Capital Gains $15,001 - than $1,001) Interest $50,000 57 Miami-Dade Cnty Fla None (or less Capital Gains $5,001 - $15,000 than $1,001) Interest 58 Chicago Ill Tran Auth Sales None (or less Capital Gains $5,001 - $15,000 than $1,001) Interest 59 NewJersey St Higher Ed Assistance Auth None (or less Interest $15,001 - than $1,001) Capital Gains $50,000 60 State St Instl Liquid Resvs FD SHS Ben Int None (or less Capital Gains $5,001 - $15,000 than $1,001) Interest 61 Colorado Health Facs Auth Rev Catholic None (or less Capital Gains $15,001 - Health- Ser A than $1 ,001) Interest $50,000 62 Marysville Ohio Wastewater Tre Ref None (or less Capital Gains $5,001 - $15,000 than $1,001) Interest 63 Redford Brownfield Charter Tax None (or less Capital Gains $5,001 - $15,000 Increment Series than $1,001) Interest 64 8VC Angel Fund I, L.P. Yes $15,001 - None (or less $50,000 than $201) 65 Ross FOF, LLC See Endnote No $1,000,001 - Dividends $100,001 - $5,000,000 Capital Gains $1 ,000,000 Interest 65.1 Pan Multi Strategy, L.P. No 65.1.1 AmeriGas Partners, LP. (liquefied natural gas distribution) 65.1.2 Buckeye Partners, LP. 65.1.3 Kinder Morgan Energy Partners, LP. 65.1.4 Plains All American Pipeline, L.P. DESCRIPTION EIF VALUE INCOME TYPE INCOME AMOUNT 65.1.5 Rhino Energy Holdings, LLC (coal mining) 65.1.6 Pipeline Partners, LP. (energy distribution) 65.1.7 Magellan Midstream Partners, LP. 66 US. Brokerage Account #1 1 No 66.1 US. Deposit Account (cash) WA $100,001 - None (or less $250,000 than $201) 66.2 UBS AG Deposit Account (cash) Over Interest $1,001 - $2,500 $50,000,000 7. Transactions - Not required for this type of report 8. Liabilities CREDITOR NAME TYPE AMOUNT YEAR RATE TERM INCURRED 1 JP Morgan Guarantee of $500,001 2016 2-Year Fixed Loan to Social $1,000,000 Term Club 2 Formation8 Partners Entrepreneurs Fund II Capital $15,001 - 2014 Life of fund Commitment $50,000 3 8VC Angel Fund L.P. Capital $15,001 - 2016 Life of fund Commitment $50,000 4 India Asset Recovery Associates LLC Capital $1,000,001 - 2006 Life of fund commitment $5,000,000 5 Starboard GP LTD Capital $10,001 - 2013 Life of fund Commitment $15,000 6 Starboard WLR Associates, LP. Capital $1,000,001 - 2013 Life of fund commitment $5,000,000 CREDITOR NAME TYPE AMOUNT YEAR RATE TERM INCURRED 7 WLR Conduit MM LLC Capital $500,001 - 2013 Life of fund Commitment $1,000,000 8 WLR Mezzanine Associates LLC Capital $100,001 - 2015 Life of fund Commitment $250,000 9 WLR Nanotechnology Capital $500,001 - 2007 Life of fund Commitment $1,000,000 10 WLR Recovery Associates IV LLC Capital $5,000,001 - 2007 Life of fund Commitment $25,000,000 11 WLR Recovery Associates LLC Capital $1,000,001 - 2010 Life of fund Commitment $5,000,000 12 Mortgage Recovery Associates LLC Capital $250,001 - 2009 Life of fund Commitment $500,000 13 IMRF II Associates LLC Capital $250,001 - 2016 Life of fund Commitment $500,000 9. Gifts and Travel Reimbursements - Not required for this type of report Endnotes PART 1. The listed start date is approximate and is based on a good-faith estimate. 1. The listed start date is approximate and is based on a good-faith estimate. 1. The listed start date is approximate and is based on a good-faith estimate. 15 The listed start date is approximate and is based on a good-faith estimate. 16 The listed start date is approximate and is based on a good-faith estimate. 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 ma determine to award him outstanding equity compensation that he would have othenNise received ha 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, LP. 2. 9.1 The assets of WL Ross Group, LP. 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, LP. 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 101.101. 2. 10.1.12 Underlying assets previously disclosed at line 101.101. 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 LP. 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 re?ects capital account balance. 2. 10.6.1 .21 .1 .1 This enti owns subsidiaries which each own individual transoceanic tanker ships. There are 25 individua LLCs that own the ships: NCM Holding I NCM Holdin II KZ Holding I KZ Holding ll KZ Holding Ho ding Maemi NT Suez Holdco NT Suez GP NT Suez One NT Suez Two Tanker Two HMN8 Holdings HMN8 Holdings ll HMN8 Holdings HMN8 Holdings IV HMN8 Holdings HMN8 Holdings VI TRF/Solus GP HAN VLCC 1 HAN VLCC II SWS VLCC JV SWS VLCC 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 NonNegian subsidiaries which each own individual transoceanic tanker ships. There are 7 individual entities: Awilco Eco Tankers 1 Awilco Eco Tankers 2 Awilco Eco Tankers 3 Awilco Eco Tankers 4 Hassel Shipping 4 Songa Chemical Atlantic Supramax DIS. 2. 10.6.1.2.4 Assets previously disclosed at 1061.231. 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 LLC in WLR Recovery Fund V, LP. The carried interest is currently zero. 2. 10.7.7 Represents the carried interest held by WLR Recovery Associates LLC in this fund. The carried interest is currently zero. 2. 10.7.8 Represents the carried interest held by WLR Recovery Associates LLC in this fund. The carried interest is currently zero. 2. 10.8 Value re?ects 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, LP. 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, LP. The carried interest is currently zero. 2. 1010.1 Represents the carried interest held by WLR Recovery Associates II, LLC in WLR Recovery Fund II, LP. 2. 1011.1 Represents the carried interest held by WLR Recovery Associates LLC in the fund. The current carried interest is zero. 2. 10.12 Value re?ect share of Net Asset Value of WLR IMRF II Associates, LLC holding in Invesco Mortgage Recovery Master Associates LLC. 2. 10.12.12 Underlying assets previously disclosed at 10.12.1.1.1. 2. 10.12.1.3.1 Underlying assets previously disclosed at 1012.111. 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. 1013.1 This represents the carried interest held by WLR Master Co-Investment SLP Associates, LP. (Cayman) in Master Co-Investment L.P. (Cayman). The current carried interest is zero. 2. 10.14 Value is re?ected in 19.1. 2. 10.15 Value and income re?ect combined value and income of 10.15 and 11.1 2. 10.15.1.1 Assets previously disclosed at 10.6.1 .21 .1 PART ENDNOTE 2. 10.15.12 Assets previously disclosed at 10.6.1 231 2. 10.16 ggderlying assets disclosed below at 24.1 . Value and income re?ect the value and income of 10.16 and 2. 11.1 Underlying assets previously disclosed at 10.15. Value and income is re?ected in 10.15 2. 11.1.1 This re resents the carried interest held by WLR Recovery Associates DSS AIV, LP. in the fund. The carrie 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 101.1011 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 101.1011. 2. 12.7.1 Underlying assets previously disclosed at 101.1011 2. 12.8 Value re?ects a regated carried interests of General Partner in all funds disclosed within 12.1 to 12.7, including under ying funds. 2. 13 Value re?ects 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 re?ects capital account. 2. 16.1.1 Re?ects carried interest held by India Asset Recovery GP Ltd. in India Asset Recovery Fund, LP. 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 LP. The value is the accrued carry balance. 2. 19.1 Includes value of 10.14. 2. 19.1.1 Underlying assets previously disclosed at 1014.1 2. 19.2 Represents the carried interest of WLR Recovery Associates IV DSS AIV, LP. in WLR Recovery Fund IV DSS AIV, LP. 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 ?ler will divest the plan if con?rmed via an irrevocable assignment of rights to a public charity. 2. 24.1 Value and income are re?ected 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, LP. in WLR Select Co- Investment, LP. 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, LP. 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 ng?iQegs previously disclosed in Part 2 line 10.11. Value is re?ected of combined holdings of ?ler and 6. 23 Assets previously disclosed at Part 2 line 10.10. Value is re?ected 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).