This database was last updated in October 2019 and should only be used as a historical snapshot. There may be new information that is not included here.
Jay Clayton
Securities and Exchange Commission (joined: May 2, 2017)
Chairman | Financial Disclosure »
Former Positions Outside Government
- Metropolitan Golf Association Executive Committee Member
- REC Irrevocable Trust Trustee
- Sullivan & Cromwell LLP Partner
- TBF 2008 Family Trust Trustee
- University of Pennsylvania Law School Adjunct Professor of Law
Former Compensation Sources
- Ally Financial Inc. (client of Sullivan & Cromwell LLP) Legal services
- Barclays Bank PLC (client of Sullivan & Cromwell LLP) Legal services
- Bessemer Trust Company (client of Sullivan & Cromwell LLP) Legal services
- British Airways PLC (client of Sullivan & Cromwell LLP) Legal services
- Brown Brothers Harriman & Co. (client of Sullivan & Cromwell LLP) Legal services
- CA, Inc. (client of Sullivan & Cromwell LLP) Legal services
- Canada Pension Plan Investment Board (client of Sullivan & Cromwell LLP) Legal services
- Capital Products Partners, L.P. (client of Sullivan & Cromwell LLP) Legal services
- Castleton Commodities International LLC (client of Sullivan & Cromwell LLP) Legal services
- Deutsche Bank AG (client of Sullivan & Cromwell LLP) Legal services
- Eric S. Schwartz (client of Sullivan & Cromwell LLP) Legal services
- Evercore Partners (client of Sullivan & Cromwell LLP) Legal services
- Goldman Sachs Philanthropy Fund (client of Sullivan & Cromwell LLP) Legal services
- Gottwald Family (client of Sullivan & Cromwell LLP) Legal services
- Hudson Capital Management, L.P. (client of Sullivan & Cromwell LLP) Legal services
- International Airlines Group (client of Sullivan & Cromwell LLP) Legal services
- Note: 4 confidential individual clients and 5 confidential corporate clients are not disclosed because the disclosure of the representations are the subject of attorney- client privilege and other confidentiality obligations, including Rule 1.6 of the New York Rules of Professional Conduct and Rule 1.6 of the Washington, D.C. Rules of Professional Conduct, that do not permit disclosure without consent or waiver by the client. In addition, 2 of the foregoing confidential corporate clients are not disclosed because they are the subject of a pending non-public investigation.
- Paul Tudor Jones II (client of Sullivan & Cromwell LLP) Legal services
- Pershing Square, L.P. (client of Sullivan & Cromwell LLP) Legal services
- Philip Reid Shawe (client of Sullivan & Cromwell LLP) Legal services
- Reid Hoffman (client of Sullivan & Cromwell LLP) Legal services
- Roy J. Zuckerberg (client of Sullivan & Cromwell LLP) Legal services
- Royal Bank of Canada (client of Sullivan & Cromwell LLP) Legal services
- SoftBank Group Corp. (client of Sullivan & Cromwell LLP) Legal services
- Steven Price (client of Sullivan & Cromwell LLP) Legal services
- Sullivan & Cromwell LLP Legal services
- Suning Commerce Group Co., Ltd. (client of Sullivan & Cromwell LLP) Legal services
- TeliaSonera AB (client of Sullivan & Cromwell LLP) Legal services
- TerraForm Global, Inc. (client of Sullivan & Cromwell LLP) Legal services
- TerraForm Power, Inc. (client of Sullivan & Cromwell LLP) Legal services
- The Cadillac Fairview Corporation Ltd (client of Sullivan & Cromwell LLP) Legal services
- The Goldman Sachs Group, Inc. and its subsidiaries (client of Sullivan & Cromwell LLP) Legal services
- The Priceline Group Inc. (client of Sullivan & Cromwell LLP) Legal services
- The Weinstein Company LLC (client of Sullivan & Cromwell LLP) Legal services
- Tudor Investment Corp. (client of Sullivan & Cromwell LLP) Legal services
- UBS Securities LLC (client of Sullivan & Cromwell LLP) Legal services
- Ubiquiti Networks, Inc. (client of Sullivan & Cromwell LLP) Legal services
- Underwriting Syndicate for Ally Financial Inc. (client of Sullivan & Cromwell LLP) Legal services
- Valeant Pharmaceuticals International (client of Sullivan & Cromwell LLP) Legal services
- Vanguard Group Directors (client of Sullivan & Cromwell LLP) Legal services
- Vector Group Ltd. (client of Sullivan & Cromwell LLP) Legal services
- Versa Capital Management, LLC (client of Sullivan & Cromwell LLP) Legal services
- Volkswagen AG (client of Sullivan & Cromwell LLP) Legal services
- William Charles Erbey (client of Sullivan & Cromwell LLP) Legal services
Employment Assets
| Description | Value | Income |
|---|---|---|
| Sullivan & Cromwell LLP (law firm) | $7,623,900 | |
| Sullivan & Cromwell LLP capital account (Filer's spouse currently holds restricted stock units ("RSUs") that were granted to her as part of her compensation for fiscal years 2014, 2015, and 2016. Under the terms of the awards, stock underlying these awards is scheduled to be delivered in 2018-2020. A portion will be delivered in Restricted Shares. Transfer restrictions on the Restricted Shares generally remain in place for five years after the RSU grant. However, the award agreements applicable to these awards provide for accelerated settlement of the RSUs and lifting of the transfer restrictions on the Restricted Shares in certain circumstances, and filer's spouse expects that her awards will be subject to such treatment if filer is confirmed.) | $500,001 - $1,000,000 | None (or less than $201) |
| Investment funds administered by Sullivan & Cromwell LLP for its partners (Includes Restricted Shares associated with RSU awards that were granted to filer's spouse as part of her compensation for fiscal years 2013, 2014 and 2015. Transfer restrictions on the Restricted Shares generally remain in place for five years after the RSU grant. However, the award agreements applicable to these awards provide for lifting of the transfer restrictions on the Restricted Shares in certain circumstances, and filer's spouse expects that her Restricted Shares will be subject to such treatment if filer is confirmed.) | ||
| 125 Broad Street Fund LLC | $15,001 - $50,000 | $3,033 |
| Apollo Investment Fund V, LP | ||
| Baker Brothers Life Sciences, LP | ||
| Berkshire Fund VI, LP | ||
| Friedman, Fleischer & Lowe II, LP | ||
| Gemini Israel IV, LP | ||
| GC Entrepreneurs Fund III, LP | ||
| Greenbriar Equity Fund, LP | ||
| JC Flowers I, LP | ||
| Nordic Capital V, LP | ||
| OCM Principal Opp Fund II, LP | ||
| Oxford Biosciences IV, LP | ||
| Polaris Venture Partners Fund VI, LP | ||
| TPG Biotechnology Partners, LP | ||
| W Capital Partners, LP | ||
| Warburg Pincus Private Equity VIII, LP | ||
| 125 Broad Street Fund II LLC | $100,001 - $250,000 | $27,338 |
| Ares Corporate Opportunities Fund II, LP | ||
| Berkshire Fund VII, LP | ||
| Centerbridge Capital Partners, LP | ||
| ChrysCapital IV, LLC | ||
| General Catalyst Group IV, LP | ||
| Irving Place Capital III, LP | ||
| J.C. Flowers II, LP | ||
| JLL Partners Fund V, LP | ||
| Longreach Capital Partners I, LP | ||
| Natural Gas Partners VIII, LP | ||
| New Enterprise Associates 12, LP | ||
| NGP Energy Tech Partners, LP | ||
| Nordic Capital VI Beta, LP | ||
| OrbiMed Private Investment III, LP | ||
| Pouschine Cook Capital Partners II, LP | ||
| SAIF Partners III, LP | ||
| Summit Partners Private Equity VII, LP | ||
| TPG Biotechnology Partners II, LP | ||
| 125 Broad Street Fund III LLC | $100,001 - $250,000 | $735 |
| 5AM Co‐Investors IV, LP | ||
| 5AM Ventures V, LP | ||
| Bain Capital Fund XI, LP | ||
| Bain Capital Europe Fund IV, LP | ||
| Brentwood Associates Private Equity V, LP | ||
| Centerbridge Capital Partners III, LP | ||
| FFL Capital Partners IV, LP | ||
| Formation8 Fund II, LP | ||
| Freestyle Capital Fund III, LP | ||
| Hellman & Friedman Capital Partners VIII, LP | ||
| Patria Brazilian Private Equity Fund V, LP | ||
| Thoma Bravo Discover Fund, LP | ||
| Thoma Bravo Fund XI, LP | ||
| Thoma Bravo Special Opportunities II, LP | ||
| Venrock Healthcare Capital Partners II, LP | ||
| Warburg Pincus Private Equity Fund XII, L.P. | ||
| Sullivan & Cromwell LLP 401(k) Plan for Associates | ||
| Fidelity 500 Index Fund - Institutional Class (FXSIX) | $100,001 - $250,000 | $2,501 - $5,000 |
| Fidelity Contrafund - Class K (FCNKX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Fidelity Diversified International Fund - Class K (FDIKX) | $15,001 - $50,000 | $201 - $1,000 |
| Fidelity International Index Fund - Premium Class (FSIVX) | $1,001 - $15,000 | None (or less than $201) |
| Fidelity U.S. Bond Index Fund – Institutional Class (FXSTX) | $1,001 - $15,000 | None (or less than $201) |
| Traditional IRA | ||
| Vanguard Total Stock Market Index Fund Admiral Shares | $100,001 - $250,000 | $2,501 - $5,000 |
| Sullivan & Cromwell LLP defined contribution plans for Partners (Interest in the fund is held jointly by filer and his spouse. The value and income reported for this asset represents a good faith estimate for the reporting period, based on estimated growth rates applied to the most recent figures available.) | ||
| Sullivan & Cromwell LLP Master Trust | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| Acacia Institutional Partners, L.P. | ||
| Carmel Partners Investment Fund VI, L.P. | ||
| Conatus Capital Overseas Ltd. | ||
| Westwood Global Investments Emerging Markets Fund, LLC | ||
| Farallon Capital Offshore Investors II Holdings, L.P. | ||
| Fir Tree International Value Fund (USTE), L.P. | ||
| Harris Associates Global L.P. | ||
| Highline Capital International Inc. | ||
| Longleaf Partners International Fund | ||
| Mount Kellett Capital Partners (Cayman), L.P. | ||
| Oakmark Equity and Income Fund | ||
| Artisan International Fund | ||
| Hall Capital Partners Absolute Return Fund Offshore Feeder, L.P. | ||
| Hall Capital Partners Energy and Natural Resources Fund, L.P. | ||
| Hall Capital Partners Merit Energy Partners H Investors, L.P. | ||
| Hall Capital Partners Private Equity Fund V, L.P. | ||
| Perry Partners International | ||
| Centerbridge Credit Partners TE, L.P. | ||
| Prospect Harbor Designated Investments, LP | ||
| Shorenstein Realty Investors Eight REIT | ||
| Shorenstein Realty Investors Ten REIT | ||
| Steadfast International Ltd. | ||
| ValueAct Capital International I, LP | ||
| Vanguard Short Term Bond Index Fund (Admiral Shares) | ||
| Vanguard Total Bond Market Index Fund | ||
| Vanguard Institutional Index Fund | ||
| Varde Fund XII(A), L.P. | ||
| Varde Fund XI(B) (Feeder), L.P. | ||
| 125 Broad Street Fund LLC | ||
| 125 Broad Street Fund II LLC | ||
| 125 Broad Street Fund III LLC | ||
| BNY Mellon Short Term Investment Fund | ||
| Sullivan & Cromwell LLP (anticipated partnership share) (Interest in the fund is held jointly by filer and his spouse. The value and income reported for this asset represents a good faith estimate for the reporting period, based on estimated growth rates applied to the most recent figures available.) | $500,001 - $1,000,000 | None (or less than $201) |
| Sullivan & Cromwell LLP Group Defined Benefit Plan for Partners (value not readily ascertainable): eligible for approximately $7,800/mo. at age 65 (Interest in the fund is held jointly by filer and his spouse. The value and income reported for this asset represents a good faith estimate for the reporting period, based on estimated growth rates applied to the most recent figures available.) | None (or less than $201) | |
| Sullivan & Cromwell LLP Supplemental Pension Plan for Partners (value not readily ascertainable): eligible for approximately $3,550/mo. at age 65 (Interest in the fund is held jointly by filer and his spouse. The value and income reported for this asset represents a good faith estimate for the reporting period, based on estimated growth rates applied to the most recent figures available.) | None (or less than $201) |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| U.S. bank account #1 (cash) | $250,001 - $500,000 | $1,001 - $2,500 |
| U.S. bank account #2 (cash) | $100,001 - $250,000 | None (or less than $201) |
| Vanguard Emerging Markets Select Stock Fund (VMMSX) | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Energy Fund Admiral Shares (VGELX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard FTSE All-World ex-US Index Fund Admiral Shares (VFWAX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard FTSE All-World ex-US Small-Cap Index Fund Investor Shares (VFSVX) | $100,001 - $250,000 | $2,501 - $5,000 |
| Vanguard LifeStrategy Moderate Growth Fund (VSMGX) | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Vanguard PRIMECAP Fund Admiral Shares (VPMAX) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Vanguard Target Retirement 2020 Fund (VTWNX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard Target Retirement 2035 Fund (VTTHX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $5,000,001 - $25,000,000 | $15,001 - $50,000 |
| Vanguard Tax-Managed Small-Cap Fund Admiral Shares (VTMSX) | $250,001 - $500,000 | $2,501 - $5,000 |
| Vanguard Treasury Money Market Fund (VUSXX) | $50,001 - $100,000 | None (or less than $201) |
| Vanguard Wellington Fund Admiral Shares (VWENX) | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| Mid Penn Bank Corp. common shares | $15,001 - $50,000 | $201 - $1,000 |
| Family Trust #1 (After the date of filing, filer resigned as trustee and, subject to confirmation, permanently disclaimed any vested beneficial interest that he, his spouse or his dependent children had in this trust. Filer has not received any distributions from this trust.) | ||
| BlackRock MuniYield Investment Fund (MYF) | None (or less than $1,001) | None (or less than $201) |
| BlackRock National Municipal Fund Investor A Shares (MDNLX) | $100,001 - $250,000 | $5,001 - $15,000 |
| BlackRock National Municipal Fund Institutional Shares (MANLX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Apollo Commercial Real Est. Finance Inc. common shares (ARI) | $15,001 - $50,000 | $2,501 - $5,000 |
| BlackRock Capital Investment Corp. (BKCC) | $15,001 - $50,000 | $2,501 - $5,000 |
| Blackstone Group LP common units (BX) | $50,001 - $100,000 | $5,001 - $15,000 |
| Buckeye Partners LP common units (BPL) | $50,001 - $100,000 | $5,001 - $15,000 |
| Chevron Corp. common shares (CVX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Diageo PLC ADRs (DEO) | $100,001 - $250,000 | $2,501 - $5,000 |
| KKR & Co. LP common units (KKR) | $50,001 - $100,000 | $1,001 - $2,500 |
| OFS Capital Corp. common shares (OFS) | $15,001 - $50,000 | $2,501 - $5,000 |
| Omnova Solutions Inc. common shares (OMN) | $1,001 - $15,000 | None (or less than $201) |
| Philip Morris Intl. Inc. common shares (PM) | $100,001 - $250,000 | $5,001 - $15,000 |
| PJT Partners Inc. common shares (PJT) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard Pennsylvania Tax-Exempt Money Market Fund (VPTXX) | None (or less than $1,001) | None (or less than $201) |
| Vanguard LifeStrategy Moderate Growth Fund (VSMGX) | $100,001 - $250,000 | $2,501 - $5,000 |
| Vanguard Mid-Cap Growth Fund (VMGRX) | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $1,000,001 - $5,000,000 | $5,001 - $15,000 |
| Vanguard Tax-Managed Small-Cap Fund Admiral Shares (VTMSX) | $250,001 - $500,000 | $2,501 - $5,000 |
| Vanguard Treasury Money Market Fund (VUSXX) | $100,001 - $250,000 | $201 - $1,000 |
| Vanguard Wellington Fund Admiral Shares (VWENX) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| GS Local Emerging Markets Debt Fund Institutional Shares (GIMDX) | $1,001 - $15,000 | $201 - $1,000 |
| GS MLP Energy Infrastructure I (GMLPX) | $1,001 - $15,000 | $201 - $1,000 |
| The Goldman Sachs Group, Inc. common shares (GS) | $50,001 - $100,000 | $201 - $1,000 |
| SPDR S&P 500 ETF Trust (SPY) | $50,001 - $100,000 | $1,001 - $2,500 |
| Deutsche X-Trackers MSCI EAFE Equity ETF (DBEF) | $1,001 - $15,000 | $201 - $1,000 |
| Wisdomtree EUR HDGD EQ FD CMN (HEDJ) | $15,001 - $50,000 | $201 - $1,000 |
| iShares MSCI Eurozone ETF (EZU) | $15,001 - $50,000 | $1,001 - $2,500 |
| SPDR Euro STOXX 50 FD ETF (FEZ) | $50,001 - $100,000 | $1,001 - $2,500 |
| GS Tactical Tilt Overlay Mutual Fund (TTIFX) | $100,001 - $250,000 | $1,001 - $2,500 |
| SPDR Gold Trust ETF (GLD) | $50,001 - $100,000 | None (or less than $201) |
| Janus Global Research Fund Class D Shares (JANWX) | $50,001 - $100,000 | $201 - $1,000 |
| Janus Fund Class D Shares (JANDX) | $50,001 - $100,000 | $2,501 - $5,000 |
| Janus Twenty Fund Class D Shares (JNTFX) | $50,001 - $100,000 | $1,001 - $2,500 |
| T. Rowe Price International Discovery Fund (PRIDX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Child # 1 UTMA Account | ||
| Vanguard Inflation-Protected Securities Fund Investor Shares (VIPSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard LifeStrategy Moderate Growth Fund (VSMGX) | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $15,001 - $50,000 | None (or less than $201) |
| Child # 2 UTMA Account | ||
| Vanguard Inflation-Protected Securities Fund Investor Shares (VIPSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard LifeStrategy Moderate Growth Fund (VSMGX) | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $15,001 - $50,000 | None (or less than $201) |
| Child # 3 UTMA Account | ||
| Vanguard Inflation-Protected Securities Fund Investor Shares (VIPSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard LifeStrategy Moderate Growth Fund (VSMGX) | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $15,001 - $50,000 | None (or less than $201) |
| Family Trust #2 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest.) | ||
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Explorer Fund Admiral Shares (VEXRX) | $250,001 - $500,000 | $15,001 - $50,000 |
| Vanguard Intermediate-Term Bond Index Fund Admiral Shares (VBILX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard Pennsylvania Tax-Exempt Money Market Fund Investor Shares (VPTXX) | $100,001 - $250,000 | $201 - $1,000 |
| Vanguard Precious Metals And Mining Fund Investor Shares (VGPMX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard Selected Value Fund Investor Shares (VASVX) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Vanguard Target Retirement 2015 Fund Investor Shares (VTXVX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Target Retirement 2025 Fund Investor Shares (VTTVX) | $100,001 - $250,000 | $2,501 - $5,000 |
| Vanguard Total International Stock Index Fund Admiral Shares (VTIAX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard Value Index Fund Admiral Shares (VVIAX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard Pacific Stock Index Fund Admiral Shares (VPADX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard Tax-Managed Capital Appreciation Fund Admiral Shares (VTCLX) | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Windsor Fund Admiral Shares (VWNEX) | None (or less than $1,001) | $201 - $1,000 |
| Vanguard Windsor Fund Investor Shares (VWNDX) | None (or less than $1,001) | None (or less than $201) |
| Family Trust #3 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Pennsylvania Tax-Exempt Money Market Fund (VPTXX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard STAR Fund (VGSTX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard Total Stock Market Index Fund Admiral Shares (VTSAX) | $500,001 - $1,000,000 | $5,001 - $15,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description. Held by filer's spouse. Pursuant to a 2006 marital agreement, filer unconditionally disclaimed and agreed not to assert any right to or interest in this asset or any of the trusts reported as assets 45, 46, 47, 48, 57, 58, 59, 60, 61, 62, 63, 64, 65 and 66. Filer's spouse and children are beneficiaries of these trusts. To date, filer's spouse and children have not received any distributions from these trusts.) | Over $1,000,000 | $100,001 - $1,000,000 |
| 50% interest in JWH 2010 Property LLC | ||
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (WMB Holdings, Inc., provides business, financial, and representational services. The following is a list of the services that WMB Holdings, Inc. provides in the United States and abroad: 1) Trust services provided through Delaware Trust Company, including serving as transfer agent, indenture trustee and securities registrar for defaulted and non-performing bonds, acting as a Trustee of statutory trusts, equipment finance trusts, liquidating trusts, real estate investment trusts, securitization trusts and other trusts and acting as escrow agent, administrative agent, collateral agent, disbursement agent, verification agent, litigation agent and private securities custodian; 2) Corporation Services, including service of process services, registered agent services, director services, corporate secretary services, incorporating services (including entity formation, qualification, and dissolution services), filing, monitoring, searching, retrieval and management of UCC forms, business licenses, certificates of good standing, annual reports and other documents, contract and special agency services, compliance support services, corporate health check services, corporate governance advisory services, global expansion services, international corporate services, entity management services (including online filing portal for Section 16 filings), and contract, litigation, matter and deal management services (including email integration services); 3) Solutions for special purpose entities and special purpose vehicles (including state passive investment companies), including corporate support, accounting and financial reporting, situs management, and corporate governance and compliance; 4) Compliance support services; 5) DBA management services; 6) e-billing solutions; 7) real estate & corporate transaction services; 8) UCC Secured Party Representation; 9) Real estate recording services; 10) Digital brand and online brand protection services, including domain name acquisition, registration, monitoring and enforcement (UDRP) services, new gTLD services, phishing protection services, social media services, trademark protection services and SSL digital certificates services; 11) Anti- counterfeiting services; 12) Secure data storage; 13) Nexus/situs services; 14) Foreign merger and acquisition services; 15) Tax compliance and filing support services and related software services; 16) Motor vehicle titling and registration services.) | Over $1,000,000 | $50,001 - $100,000 |
| Family Trust #4 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Pennsylvania Tax-Exempt Money Market Fund (VPTXX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard STAR Fund (VGSTX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard Total Stock Market Index Fund Admiral Shares (VTSAX) | $500,001 - $1,000,000 | $5,001 - $15,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | $50,001 - $100,000 |
| Family Trust #5 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $15,001 - $50,000 | $1,001 - $2,500 |
| Vanguard Pennsylvania Tax-Exempt Money Market Fund (VPTXX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard STAR Fund (VGSTX) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard Total Stock Market Index Fund Admiral Shares (VTSAX) | $250,001 - $500,000 | $5,001 - $15,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | $50,001 - $100,000 |
| Family Trust #6 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard Capital Value Fund (VCVLX) | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard High-Yield Tax-Exempt Fund Admiral Shares (VWALX) | $250,001 - $500,000 | $15,001 - $50,000 |
| Vanguard Intermediate-Term Tax-Exempt Fund Admiral Shares (VWIUX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard International Value Fund (VTRIX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard Mid-Cap Index Fund Admiral Shares (VIMAX) | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Vanguard Pacific Stock Index Fund Admiral Shares (VPADX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard REIT Index Fund Admiral Shares (VGSLX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $1,000,001 - $5,000,000 | $2,501 - $5,000 |
| Vanguard Tax-Managed Capital Appreciation Fund Admiral Shares (VTCLX) | $250,001 - $500,000 | $2,501 - $5,000 |
| Vanguard Wellington Fund Admiral Shares (VWENX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Longleaf Partners Fund (LLPFX) | $50,001 - $100,000 | $1,001 - $2,500 |
| JWH Property 2015 LLC | ||
| Residential property, Ocean City New Jersey | Over $1,000,000 | $15,001 - $50,000 |
| U.S. bank account #3 (cash) | $50,001 - $100,000 | None (or less than $201) |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | Over $1,000,000 |
| 50% interest in JWH 2010 Property LLC | ||
| Residential property, Ocean City New Jersey | Over $1,000,000 | None (or less than $201) |
| Vanguard Federal Money Market Fund Investor Shares (VMFXX) | $1,001 - $15,000 | None (or less than $201) |
| Residential property, Ocean City New Jersey | $1,000,001 - $5,000,000 | None (or less than $201) |
| Vanguard Federal Money Market Fund Investor Shares (VMFXX) | $1,001 - $15,000 | None (or less than $201) |
| Corelogic Inc. Common Shares (CLGX) | $1,001 - $15,000 | None (or less than $201) |
| Residential property, Philadelphia Pennsylvania | $1,000,001 - $5,000,000 | None (or less than $201) |
| RCIP Residential Opportunity and Dividend Fund (single and multifamily homes in the Southeast) | $100,001 - $250,000 | $15,001 - $50,000 |
| 8.9% Interest in WC Holdco LLC (owns, through its subsidiary JW4 LLC, a parcel of land in Sarasota, FL) (Valued at cost (market value not readily ascertainable). The purchase of this asset was made in two steps, in August 2014 and March 2015.) | $250,001 - $500,000 | $15,001 - $50,000 |
| Rane Corp. Series A Preferred Stock (risk information and advisory services company -- private company) (Valued at cost (market value not readily ascertainable). The purchase of this asset was made in two steps, in January 2014 and October 2015.) | $50,001 - $100,000 | None (or less than $201) |
| Loffels LLC (internet startup that has been liquidated) | None (or less than $1,001) | None (or less than $201) |
| U.S. bank account #4 (cash) | $1,001 - $15,000 | None (or less than $201) |
| Family Trust #7 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Loan receivable from Spousal Family Members | Over $1,000,000 | $5,001 - $15,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $1,001 - $15,000 | $1,001 - $2,500 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | Over $1,000,000 |
| Famiy Trust #8 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $250,001 - $500,000 | $1,001 - $2,500 |
| Vanguard Total Int'l Stock Index Admiral Shares (VTIAX) | $15,001 - $50,000 | $201 - $1,000 |
| Vanguard Total Stock Mkt Index Admiral Shares (VTSAX) | $50,001 - $100,000 | $1,001 - $2,500 |
| Loan receivable from Spousal Family Members | None (or less than $1,001) | $201 - $1,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | $100,001 - $1,000,000 |
| Family Trust #9 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $250,001 - $500,000 | None (or less than $201) |
| Vanguard Total Stock Mkt Index Admiral Shares (VTSAX) | $1,001 - $15,000 | None (or less than $201) |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | None (or less than $1,001) | $15,001 - $50,000 |
| Family Trust #10 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | Over $1,000,000 | $2,501 - $5,000 |
| Vanguard Total Int'l Stock Index Admiral Shares (VTIAX) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Total Stock Mkt Index Admiral Shares (VTSAX) | $100,001 - $250,000 | $2,501 - $5,000 |
| Loan receivable from Spousal Family Members | None (or less than $1,001) | $15,001 - $50,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | Over $1,000,000 |
| Family Trust #11 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Loan receivable from Spousal Family Members | Over $1,000,000 | $15,001 - $50,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $500,001 - $1,000,000 | $1,001 - $2,500 |
| Vanguard Total Int'l Stock Index Admiral Shares (VTIAX) | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard Total Stock Mkt Index Admiral Shares (VTSAX) | Over $1,000,000 | $15,001 - $50,000 |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | $100,001 - $1,000,000 |
| Family Trust # 12 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | Over $1,000,000 |
| Federated Government Obligations Fund | $100,001 - $250,000 | None (or less than $201) |
| Loans receivable from Spousal Family Members | Over $1,000,000 | $100,001 - $1,000,000 |
| iShares Global Utilities ETF (JXI) | $1,001 - $15,000 | None (or less than $201) |
| iShares S&P Global Telecom ETF (IXP) | $50,001 - $100,000 | None (or less than $201) |
| iShares S&P Global Consumer Staple ETF (KXI) | $500,001 - $1,000,000 | None (or less than $201) |
| Old Westbury Large Cap Core Fund | Over $1,000,000 | $50,001 - $100,000 |
| Old Westbury Large Cap Strategies Fund | Over $1,000,000 | $15,001 - $50,000 |
| Old Westbury Small & Mid Cap Fund | $500,001 - $1,000,000 | $50,001 - $100,000 |
| Old Westbury Strategic Opportunities Fund | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Real estate - condominium (Philadelphia, PA) | $100,001 - $250,000 | None (or less than $201) |
| U.S. bank account #5 (cash) | $100,001 - $250,000 | $201 - $1,000 |
| Vanguard Federal Money Market Fund Investor Shares (VMFXX) | $250,001 - $500,000 | $1,001 - $2,500 |
| Vanguard Growth ETF (VUG) | $500,001 - $1,000,000 | $2,501 - $5,000 |
| Vanguard Mid Cap ETF (VO) | $500,001 - $1,000,000 | $2,501 - $5,000 |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $500,001 - $1,000,000 | $201 - $1,000 |
| Vanguard Total Stock Market ETF (VTI) | Over $1,000,000 | $5,001 - $15,000 |
| Vanguard Global Ex-US Real Estate ETF (VNQI) | $100,001 - $250,000 | $5,001 - $15,000 |
| Deutsche X-Trackers MSCI EAFE Equity ETF (DBEF) | $50,001 - $100,000 | $1,001 - $2,500 |
| Vanguard FTSE Emerging Markets ETF (VWO) | $100,001 - $250,000 | $2,501 - $5,000 |
| Vaneck Vectors High Yield Muni Index ETF (HYD) | $250,001 - $500,000 | $5,001 - $15,000 |
| Seachange International Inc. Common Shares (SEAC) | $1,001 - $15,000 | None (or less than $201) |
| Danaos Corporation Common Shares (DAC) | $1,001 - $15,000 | None (or less than $201) |
| Dynegy Inc. New Del Common Shares (DYN) | $1,001 - $15,000 | None (or less than $201) |
| Manitowoc Co Inc. Common Shares (MTW) | $1,001 - $15,000 | None (or less than $201) |
| Express, Inc. Common Shares (EXPR) | $1,001 - $15,000 | None (or less than $201) |
| Infinera Corporation Common Shares (INFN) | $1,001 - $15,000 | None (or less than $201) |
| Crocs, Inc. Common Shares (CROX) | $1,001 - $15,000 | None (or less than $201) |
| Tetra Technologies Inc. (Del) Common Shares (TTI) | $1,001 - $15,000 | None (or less than $201) |
| Verifone Systems Inc. Common Shares (PAY) | $1,001 - $15,000 | None (or less than $201) |
| Maxwell Technologies Inc. Common Shares (MXWL) | $1,001 - $15,000 | None (or less than $201) |
| Accuray Inc. Common Shares (ARAY) | $1,001 - $15,000 | None (or less than $201) |
| Office Depot Inc. Common Shares (ODP) | $1,001 - $15,000 | None (or less than $201) |
| Allscripts Healthcare Sol Inc. Common Shares (MDRX) | $1,001 - $15,000 | None (or less than $201) |
| Fluidigm Corp Common Shares (FLDM) | $1,001 - $15,000 | None (or less than $201) |
| Covisint Corporation Common Shares (COVS) | $1,001 - $15,000 | None (or less than $201) |
| Shell Midstream Partners LP Common Shares (SHLX) | $1,001 - $15,000 | None (or less than $201) |
| Nuance Communications, Inc. Common Shares (NUAN) | $1,001 - $15,000 | None (or less than $201) |
| Sunoco Logistics Partners L.P. Common Shares (SXL) | $1,001 - $15,000 | None (or less than $201) |
| Verint Systems Inc. Common Shares (VRNT) | $1,001 - $15,000 | None (or less than $201) |
| Western Refining Logistics, LP Common Shares (WNRL) | $1,001 - $15,000 | None (or less than $201) |
| KBR, Inc. Common Shares (KBR) | $1,001 - $15,000 | None (or less than $201) |
| Covanta Holding Corp Common Shares (CVA) | $1,001 - $15,000 | $201 - $1,000 |
| Mellanox Technologies, Ltd. Common Shares (MLNX) | $1,001 - $15,000 | None (or less than $201) |
| Acadia Healthcare Company Inc. Common Shares (ACHC) | $1,001 - $15,000 | None (or less than $201) |
| Sonus Networks Inc. Common Shares (SONS) | $1,001 - $15,000 | None (or less than $201) |
| Buckeye Partners LP Common Shares (BPL) | $1,001 - $15,000 | $201 - $1,000 |
| DST System Inc. Common Shares (DST) | $1,001 - $15,000 | None (or less than $201) |
| Fireeye, Inc. Common Shares (FEYE) | $1,001 - $15,000 | None (or less than $201) |
| Quantum Corporation DLT & Storage Systems Group (QTM) | $1,001 - $15,000 | None (or less than $201) |
| Silver Spring Networks, Inc. Common Shares (SSNI) | $1,001 - $15,000 | None (or less than $201) |
| Restoration Hardware Holdings Inc. Common Shares | $1,001 - $15,000 | $201 - $1,000 |
| OSI Systems Inc. Common Shares (OSIS) | $1,001 - $15,000 | None (or less than $201) |
| EQT Midstream Partners LP Common Shares (EQM) | $1,001 - $15,000 | None (or less than $201) |
| GS Financial Square Government Fund (FGTXX) | $100,001 - $250,000 | $201 - $1,000 |
| NRG Energy, Inc. Common Shares (NRG) | $1,001 - $15,000 | None (or less than $201) |
| Select Comfort Corporation Common Shares (SCSS) | $1,001 - $15,000 | None (or less than $201) |
| Analogic Corp (New) Common Shares (ALOG) | $1,001 - $15,000 | None (or less than $201) |
| ITT Inc. Common Shares (ITT) | $1,001 - $15,000 | None (or less than $201) |
| Vanguard REIT Index Fund Common Shares (VNQ) | $100,001 - $250,000 | $5,001 - $15,000 |
| Molina Healthcare, Inc. Common Shares (MOH) | $1,001 - $15,000 | None (or less than $201) |
| Deckers Outdoors Corp Common Shares (DECK) | $1,001 - $15,000 | None (or less than $201) |
| Enterprise Products Part L.P Common Shares (EPD) | $15,001 - $50,000 | $201 - $1,000 |
| Crown Holdings Inc. Common Shares (CCK) | $1,001 - $15,000 | None (or less than $201) |
| Luminex Corp Del Common Shares (LMNX) | $1,001 - $15,000 | None (or less than $201) |
| Magellan Midstream Partners LP Common Shares (MMP) | $1,001 - $15,000 | None (or less than $201) |
| Bankunited Inc Common Shares (BKU) | $1,001 - $15,000 | None (or less than $201) |
| Aerovironment, Inc. Common Shares – (AVAV) | $1,001 - $15,000 | None (or less than $201) |
| ARRIS International PLC Common Shares (ARRS) | $1,001 - $15,000 | None (or less than $201) |
| Charles Riv Labs Intl Inc. Common Shares (CRL) | $1,001 - $15,000 | None (or less than $201) |
| Crossamerica Partners LP Common Shares (CAPL) | $1,001 - $15,000 | None (or less than $201) |
| Infrareit, Inc. Common Shares (HIFR) | $1,001 - $15,000 | None (or less than $201) |
| Owens Corning Common Shares (OC) | $1,001 - $15,000 | $201 - $1,000 |
| Energy Transfer Partners, L.P. Common Shares (ETP) | $1,001 - $15,000 | $201 - $1,000 |
| Avery Dennison Corporation Common Shares (AVY) | $1,001 - $15,000 | $201 - $1,000 |
| Spirit Aerosystems Holdings Inc. Common Shares (SPR) | $1,001 - $15,000 | $201 - $1,000 |
| Enbridge Energy Partners LP Common Shares (EEP) | $1,001 - $15,000 | None (or less than $201) |
| MPLX LP Common Shares (MPLX) | $1,001 - $15,000 | $201 - $1,000 |
| Tesoro Logistics LP Common Shares (TLLP) | $1,001 - $15,000 | None (or less than $201) |
| Ciena Corporation Common Shares (CIEN) | $1,001 - $15,000 | None (or less than $201) |
| Ryder System Inc. Common Shares (R) | $1,001 - $15,000 | None (or less than $201) |
| Avis Budget Group, Inc. Common Shares (CAR) | $1,001 - $15,000 | None (or less than $201) |
| Macquarie Infrastructure Corp Common Shares (MIC) | $1,001 - $15,000 | $201 - $1,000 |
| Cypress Semiconductor Corporation Common Shares (CY) | $1,001 - $15,000 | $201 - $1,000 |
| Rambus Inc. Common Shares (RMBS) | $1,001 - $15,000 | None (or less than $201) |
| Textron Inc. Del. Common Shares (TXT) | $1,001 - $15,000 | None (or less than $201) |
| Huntington Bancshares Incorporated Common Shares (HBAN) | $1,001 - $15,000 | $201 - $1,000 |
| The Williams Companies, Inc. Common Shares (WMB) | $1,001 - $15,000 | $201 - $1,000 |
| Williams Partners L.P. Common Shares (WPZ) | $1,001 - $15,000 | $201 - $1,000 |
| Kinder Morgan Inc. Common Shares Class P (KMI) | $1,001 - $15,000 | $1,001 - $2,500 |
| Cheniere Energy Inc. Common Shares (LNG) | $1,001 - $15,000 | None (or less than $201) |
| Acxiom Corp Common Shares (ACXM) | $1,001 - $15,000 | $201 - $1,000 |
| Atlantic Power Corporation Common Shares (AT) | $1,001 - $15,000 | None (or less than $201) |
| Communications Sales & Leasing Inc. Common Shares (CSAL) | $1,001 - $15,000 | $201 - $1,000 |
| Meritor Inc. Common Shares (MTOR) | $1,001 - $15,000 | None (or less than $201) |
| Archrock Partners, L.P. Common Shares (APLP) | $1,001 - $15,000 | $201 - $1,000 |
| Clean Harbors Inc. Common Shares (CLH) | $1,001 - $15,000 | None (or less than $201) |
| Twin Disc Incorporated Common Shares (TWIN) | $1,001 - $15,000 | None (or less than $201) |
| Valmont Industries Inc. Common Shares (VMI) | $1,001 - $15,000 | None (or less than $201) |
| Macom Technology Solutions Common Shares (MTSI) | $1,001 - $15,000 | None (or less than $201) |
| Viavi Solutions, Inc. Common Shares (VIAV) | $1,001 - $15,000 | None (or less than $201) |
| TCF Financial Corp Minn (TCB) | $1,001 - $15,000 | None (or less than $201) |
| Brocade Communications Systems Common Shares (BRCD) | $1,001 - $15,000 | $201 - $1,000 |
| Formfactor Inc. Common Shares (FORM) | $1,001 - $15,000 | None (or less than $201) |
| Teledyne Technologies Inc. Common Shares (TDY) | $1,001 - $15,000 | None (or less than $201) |
| Neustar Inc. Common Shares Class A (NSR) | $1,001 - $15,000 | None (or less than $201) |
| Enlink Midstream Partners LP Common Shares (ENLK) | $1,001 - $15,000 | $201 - $1,000 |
| Ultratech Inc. Common Shares (UTEK) | $1,001 - $15,000 | None (or less than $201) |
| Ceva Inc. Common Shares (CEVA) | $1,001 - $15,000 | $201 - $1,000 |
| Harsco Corporation Common Shares (HSC) | $1,001 - $15,000 | None (or less than $201) |
| Moneygram International, Inc. Common Shares (MGI) | $1,001 - $15,000 | None (or less than $201) |
| Haemonetics Corp Common Shares (HAE) | $1,001 - $15,000 | None (or less than $201) |
| Targa Resources Corp. Common Shares (TRGP) | $1,001 - $15,000 | $201 - $1,000 |
| Veeco Instruments Inc. Common Shares (VECO) | $1,001 - $15,000 | None (or less than $201) |
| Texas Capital Bancshares, Inc. Common Shares (TCBI) | $1,001 - $15,000 | None (or less than $201) |
| Ormat Technologies, Inc. Common Shares (ORA) | $1,001 - $15,000 | None (or less than $201) |
| Comerica Incorporated Common Shares (CMA) | $1,001 - $15,000 | None (or less than $201) |
| Plains All American Pipeline L.P. Common Units (PAA) | $1,001 - $15,000 | $1,001 - $2,500 |
| Energy Transfer Equity L.P. Common Units (ETE) | $1,001 - $15,000 | $201 - $1,000 |
| Rice Midstream Partners, LP Common Shares (RMP) | $1,001 - $15,000 | None (or less than $201) |
| Tivo Corp Common Shares (TIVO) | $1,001 - $15,000 | None (or less than $201) |
| II-VI Inc. Common Shares (IIVI) | $1,001 - $15,000 | $1,001 - $2,500 |
| Mercury Systems Inc. Common Shares (MRCY) | $1,001 - $15,000 | None (or less than $201) |
| McDermott International Common Shares (MDR) | $1,001 - $15,000 | None (or less than $201) |
| Itron Inc. Common Shares (ITRI) | $1,001 - $15,000 | $1,001 - $2,500 |
| Keyw Holding Corp Common Shares (KEYW) | $1,001 - $15,000 | None (or less than $201) |
| Cliffs Natural Resources Inc. Common Shares (CLF) | $1,001 - $15,000 | None (or less than $201) |
| U.S. trust checking account #1 (cash) | $1,001 - $15,000 | None (or less than $201) |
| U.S. bank account #6 (cash) | $1,001 - $15,000 | None (or less than $201) |
| iShares S&P Index Fund (XSP), open position for written put option: 1,000 shares, strike $209, exp: 3/2017 | None (or less than $201) | |
| Affymetrix, Inc. Common Shares (AFFX) | None (or less than $1,001) | $1,001 - $2,500 |
| Cadence Design Systems Inc Common Shares (CDNS) | None (or less than $1,001) | $201 - $1,000 |
| Chemtura Corporation Common Shares (CHMT) | None (or less than $1,001) | $201 - $1,000 |
| Convergys Corporation Common Shares (CVG) | None (or less than $1,001) | $201 - $1,000 |
| Dolby Laboratories, Inc. Common Shares Class A (DLB) | None (or less than $1,001) | $1,001 - $2,500 |
| Elizabeth Arden, Inc. Common Shares (RDEN) | None (or less than $1,001) | $201 - $1,000 |
| Gigamon Inc Common Shares (GIMO) | None (or less than $1,001) | $201 - $1,000 |
| Heartware International, Inc. Common Shares (HTWR) | None (or less than $1,001) | $1,001 - $2,500 |
| Irobot Corporation Common Shares (IRBT) | None (or less than $1,001) | $1,001 - $2,500 |
| Lumentum Holdings Inc. Common Shares (LITE) | None (or less than $1,001) | $201 - $1,000 |
| Manitowoc Foodservice, Inc. Common Shares (MFS) | None (or less than $1,001) | $5,001 - $15,000 |
| Rudolph Technologies, Inc. Common Shares (RTEC) | None (or less than $1,001) | $1,001 - $2,500 |
| The Fresh Market, Inc. Common Shares (TFM) | None (or less than $1,001) | $201 - $1,000 |
| Genesis Energy, L.P. Common Shares (GEL) | None (or less than $1,001) | $201 - $1,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $201 - $1,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $201 - $1,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $2,501 - $5,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $201 - $1,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $2,501 - $5,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $2,501 - $5,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $2,501 - $5,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $201 - $1,000 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| iShares S&P Index Fund (XSP), closed position for written put option | None (or less than $1,001) | $1,001 - $2,500 |
| Family Trust # 13 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| U.S. trust checking account #2 (cash) | $100,001 - $250,000 | None (or less than $201) |
| Old Westbury Large Cap Core Fund | $100,001 - $250,000 | None (or less than $201) |
| Old Westbury Large Cap Strategies Fund | $250,001 - $500,000 | None (or less than $201) |
| Old Westbury Municipal Bond Fund | $100,001 - $250,000 | None (or less than $201) |
| Old Westbury Small & Mid Cap Fund | $100,001 - $250,000 | None (or less than $201) |
| Old Westbury Strategic Opportunities Fund | $100,001 - $250,000 | None (or less than $201) |
| Vanguard Tax-Exempt Money Market Fund (VMSXX) | $500,001 - $1,000,000 | None (or less than $201) |
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | None (or less than $201) |
| Family Trust #14 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| John Hancock Life Insurance Co., Whole Life Policy #1 | $100,001 - $250,000 | None (or less than $201) |
| John Hancock Life Insurance Co., Whole Life Policy #2 | $100,001 - $250,000 | None (or less than $201) |
| New York Life Insurance Co., Whole Life Policy | $100,001 - $250,000 | None (or less than $201) |
| Manulife Financial Common Shares (MFC) | $1,001 - $15,000 | None (or less than $201) |
| Family Trust #15 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| Pacific Life Insurance Co., Universal Life Policy | $15,001 - $50,000 | None (or less than $201) |
| Family Trust #16 (Filer has no beneficial interest or control over the trust. The filer's spouse and/or dependent children have a beneficial interest. See Endnote to asset 49.) | ||
| WMB Holdings Inc. (incorporation, registered agent and other administrative services) (See Endnote to asset 45.5 for detailed description.) | Over $1,000,000 | None (or less than $201) |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| Sullivan & Cromwell LLP (Partnership share income received: $7,623,900 received up to date of filing. Additional income expected: 500,000-$1,000,000 estimated undistributed partnership share for 2016 and 2017. Reported on Part 2.) | New York, New York | If confirmed by the Senate, I will resign from the partnership of Sullivan & Cromwell LLP. Pursuant to the Firm's partnership agreement and before I assume the duties of the position of Chairman, I will receive a refund of my capital account and a pro rata partnership share based on the value of my partnership interests for services performed in 2016 and 2017. All payments will be based on and made from the Firm's earnings through the date of my withdrawal from the partnership. | Jan. 16, 2001 |
| 125 Broad Street Fund, 125 Broad Street Fund II, 125 Broad Street Fund III (investment funds available to partners of Sullivan & Cromwell LLP and administered by the Firm) | New York, New York | These investment funds are not sponsored by Sullivan & Cromwell LLP but are available to partners of Sullivan & Cromwell LLP and administered by the Firm. As soon as possible following confirmation, but no later than 90 days after confirmation, my interests in 125 Broad Street Fund and 125 Broad Street Fund II will be redeemed, and my interest in 125 Broad Street Fund III will be assigned to and assumed by other investors in that fund. | Jan. 16, 2001 |
| Sullivan & Cromwell LLP Defined Benefit Plans (Sullivan & Cromwell LLP Group Defined Benefit Plan for Partners and Sullivan & Cromwell LLP Supplemental Pension Plan for Partners) | New York, New York | I will remain a participant in these two Plans, under each of which I will be entitled to a retirement annuity beginning at age 65. The amounts of these annuity payments will be fixed as of the date of my resignation from the Firm, and Sullivan & Cromwell LLP will not make any contributions to these Plans on my behalf for any additional benefits accruing after my resignation. | Jan. 16, 2001 |
| Sullivan & Cromwell LLP Defined Contribution Plans for Partners | New York, New York | As soon as possible following confirmation, but no later than 90 days after confirmation, my interests in these plans will be paid out to me. This payment is made pursuant to the Firm’s established compensation, partnership, or benefits program. | Jan. 16, 2001 |
| Sullivan & Cromwell LLP 401(k) Plan for Associates | New York, New York | I will continue to participate in this defined contribution plan. The plan sponsor will not make further contributions after my resignation from the Firm. | Jan. 16, 2001 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| Citibank, NA | Mortgage on Personal Residence | $1,000,001 - $5,000,000 | 2.875 | 2010 |
| 125 Broad Street Fund LLC | Capital Commitment | $15,001 - $50,000 | N/A | 2005 |
| 125 Broad Street Fund LLC | Capital Commitment | $250,001 - $500,000 | N/A | 2013 |
Spouse's Employment Assets
| Description | Value | Income Type | Income Amount |
|---|---|---|---|
| Facebook Inc. Class A Common Shares | |||
| Goldman, Sachs & Co. (Entry reflects partnership share for 2016 and 2017 received up to the date of filing.) | Earned advisory income | ||
| The Goldman Sachs Group, Inc. restricted stock units | $100,001 - $250,000 | None (or less than $201) | |
| The Goldman Sachs Group, Inc. common shares (GS) | $50,001 - $100,000 | Dividends | $201 - $1,000 |
| GBC IRA | |||
| Vanguard 500 Index Fund Admiral Shares (VFIAX) | $15,001 - $50,000 | $201 - $1,000 | |
| Vanguard Prime Money Market Fund (VMMXX) | $15,001 - $50,000 | None (or less than $201) | |
| Vanguard Windsor Fund Admiral Shares (VWNEX) | $100,001 - $250,000 | $5,001 - $15,000 | |
| Vanguard European Stock Index Fund Admiral Shares (VEUSX) | $15,001 - $50,000 | $1,001 - $2,500 | |
| Vanguard International Value Fund (VTRIX) | $15,001 - $50,000 | $201 - $1,000 | |
| Vanguard PRIMECAP Fund Admiral Shares (VPMAX) | $250,001 - $500,000 | $5,001 - $15,000 | |
| Vanguard Windsor II Fund Admiral Shares (VWNAX) | $50,001 - $100,000 | $5,001 - $15,000 | |
| Goldman, Sachs & Co. 401(k) | |||
| GSAM Financial Square Treasury Obligations Fund | $1,001 - $15,000 | None (or less than $201) | |
| SSGA Hedged International Developed Equity Index Fund | $1,001 - $15,000 | $201 - $1,000 | |
| BlackRock 20+ yr Treasury Bond Index Fund | None (or less than $1,001) | $1,001 - $2,500 | |
| Western Asset Core Plus Bond Fund | $50,001 - $100,000 | $2,501 - $5,000 | |
| PIMCO Global Bond Fund (underlying assets below reporting thresholds) | $1,001 - $15,000 | None (or less than $201) | |
| GSAM Strategic Income Fund | $1,001 - $15,000 | None (or less than $201) | |
| GSAM US High Yield Bond Fund | $1,001 - $15,000 | None (or less than $201) | |
| Ashmore Emerging Markets Local Currency Bond Fund | $1,001 - $15,000 | None (or less than $201) | |
| SSGA S&P 500 Index Fund | $100,001 - $250,000 | $5,001 - $15,000 | |
| Jackson Square Partners Concentrated Growth Equity Fund | $50,001 - $100,000 | None (or less than $201) | |
| Allergan PLC Common Shares | |||
| Alphabet Inc. Class A Common Shares | |||
| Alphabet Inc. Class C Common Shares | |||
| Biogen Inc. Common Shares | |||
| Celegene Corp. Common Shares | |||
| Crown Castle International Corp. Common Shares | |||
| DENTSPLY SIRONA Inc. Common Shares | |||
| Dollar General Corp. Common Shares | |||
| Ebay Inc. Common Shares | |||
| Electric Arts Common Shares | |||
| Equinix Inc. Common Shares | |||
| Intercontinental Exchange Inc. Common Shares | |||
| Intuit Inc. Common Shares | |||
| L. Brands Inc. Common Shares | |||
| Liberty Global PLC Class A Common Shares | |||
| Liberty Global PLC Class C Common Shares | |||
| Liberty Interactive Corp. Class A Common Shares | |||
| Mastercard Inc. Class A Common Shares | |||
| Microsoft Corp. Common Shares | |||
| Nielsen Holdings PLC Common Shares | |||
| Paypal Holdings Inc. Common Shares | |||
| Qualcomm Inc. Common Shares | |||
| Quintiles IMS Holdings Inc. Common Shares | |||
| Charles Schwab Corp. Common Shares | |||
| Symantec Corp. Common Shares | |||
| TripAdvisor Inc. Common Shares | |||
| Visa Inc. Class A Common Shares | |||
| Walgreens Boots Alliance Inc. Common Shares | |||
| GS Financial Square Treasury Obligations Fund | |||
| GSAM Mid Cap Value Fund | $50,001 - $100,000 | $5,001 - $15,000 | |
| SSGA S&P Mid Cap Index Non-Lending Series Fund | $1,001 - $15,000 | None (or less than $201) | |
| SSGA Russell 2000 Index Non-Lending Series Fund | $100,001 - $250,000 | $15,001 - $50,000 | |
| CenterSquare Real Estate Equity Fund (underlying assets below reporting thresholds) | $1,001 - $15,000 | $201 - $1,000 | |
| GMO International Equity Fund | None (or less than $1,001) | None (or less than $201) | |
| Wellington International Equity Fund | $50,001 - $100,000 | Dividends Capital Gains | $2,501 - $5,000 |
| British American Tobacco PLC Common Shares (BATS) | |||
| Astrazeneca PLC Common Shares (AZN) | |||
| Beiersdorf AG Common Shares (BEI) | |||
| UCB SA Common Shares (UCB) | |||
| Commonwealth Bank of Australia Common Shares (CBA) | |||
| Novartis AG Common Shares (NOVN) | |||
| Sumitomo Mitsui Financial Group Common Shares (8316) | |||
| Unilever PLC Common Shares (ULVR) | |||
| (remaining underlying assets below reporting thresholds) | |||
| SSGA Emerging Markets Index NL Series Fund | $1,001 - $15,000 | None (or less than $201) | |
| Genesis Emerging Markets Fund | $15,001 - $50,000 | $1,001 - $2,500 | |
| PIMCO Commodities Fund (underlying assets below reporting thresholds) | $1,001 - $15,000 | Dividends Capital Gains | $201 - $1,000 |
| Omega Multi-Market Hedge Fund | None (or less than $1,001) | $201 - $1,000 | |
| Maverick Global Long/Short Equity Fund (underlying assets below reporting thresholds) | $1,001 - $15,000 | Dividends Capital Gains | $201 - $1,000 |
| GS Loan Partners I Employee Fund, L.P. (Includes filer's holdings in the Retirement Plan of Sullivan & Cromwell LLP and the Sullivan & Cromwell LLP Supplemental Retirement Plan.) | $15,001 - $50,000 | Partnership income | $20,060 |
| GS Loan Partners I Employee Master Fund, L.P. (Income estimated from October 31, 2016 year-to-date amount (full-year amount not available).) | |||
| GS Loan Partners I Onshore, L.P. | |||
| Goldman Sachs Private Equity Partners 2004, L.P. (Entry reflects estimated undistributed partnership share for 2016 and 2017.) | $15,001 - $50,000 | $5,001 - $15,000 | |
| Goldman Sachs Vintage II L.P. (underlying assets below reporting thresholds) (Filer's monthly payment amount is fixed as of the exact date of his resignation from the Firm.) | $1,001 - $15,000 | Partnership income | $891 |
| Goldman Sachs Vintage III L.P. (underlying assets below reporting thresholds) (Filer's monthly payment amount is fixed as of the exact date of his resignation from the Firm.) | $1,001 - $15,000 | Partnership income | $936 |
| GS Capital Partners 2000 Employee Fund | None (or less than $1,001) | Partnership income | $839 |
| National Golf Properties (golf course in Sylmar, California) | |||
| Neos, Inc. (oil / gas exploration) | |||
| SunGard Availability Services Capital Inc. (integrated software processing) | |||
| GS Direct Investment Fund 2000 | None (or less than $1,001) | Partnership income | $6,447 |
| Neos, Inc. (oil / gas exploration) | |||
| SunGard Availability Services Capital Inc. (integrated software processing) | |||
| GS Capital Partners VI Employee Fund, L.P. | $50,001 - $100,000 | None (or less than $201) | |
| GS Capital Partners VI Employee Master Fund, L.P. | |||
| GS Capital Partners VI Fund, L.P. | |||
| Enstar Group Limited (reinsurance) | |||
| Expro International Group Limited (oilfield services and products) | |||
| GS Mezzanine Partners V Employee Fund, L.P. | $15,001 - $50,000 | Partnership income | $7,005 |
| GS Mezzanine Partners V Employee Master Fund Onshore, L.P. | |||
| GS Mezzanine Partners V Onshore Fund, L.P. | |||
| GS Mezzanine Partners 2006 Employee Fund L.P. | $1,001 - $15,000 | None (or less than $201) | |
| GS Mezzanine Partners 2006 Onshore Fund, L.P. | |||
| Goldman Sachs Whitehall Street Global Employee Fund 2001, L.P. (underlying assets below reporting thresholds) | $1,001 - $15,000 | None (or less than $201) | |
| GS Global Infrastructure Partners I Employee Fund, L.P. | $1,001 - $15,000 | Partnership income | $3,175 |
| GS Global Infrastructure Partners I-A Employee Fund, L.P. | |||
| GS Global Infrastructure Partners I, L.P. |
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