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.
Owen West
Defense (joined: Dec. 18, 2017)
Assistant Secretary for Special Operations/Low Intensity Conflict | Financial Disclosure »
Bio, via Department of Defense:
Previously, Mr. West worked for Goldman, Sachs as an energy trader. He has 19 years of experience in risk-management and the most volatile international markets, leading the global natural gas and U.S. power businesses. While at Goldman, Mr. West took two leaves of absence to activate and deploy with fellow Marines to Iraq. In 2003 he was the fire support officer for Force Recon Company and in 2006 he deployed as an advisor to an Iraqi infantry battalion holding a remote outpost in Anbar Province, where he led a group of 12 soldiers and Marines living among 500 Iraqi soldiers. Mr. West is a member of the Council on Foreign Relations. He was a Director of the Positive Coaching Alliance, and is a certified trainer of youth coaches and a multi-sport coach for his two boys. He is also a Director of the Marine Corps Scholarship Foundation. Mr. West and his wife have founded two cornerstone scholarships benefitting the children of fallen troops. He is the author of three books about military affairs. Sharkman Six (Simon and Schuster, 2001) won the Boyd literary award for best military novel. The Snake Eaters (Simon and Schuster, 2012) detailed the combat advisory mission in Iraq. He has written dozens of articles and op-eds on the military and adventure sports published in several publications such as The Wall Street Journal, Slate, Men’s Journal, Popular Mechanics, Topic, and The New York Times. Mr. West graduated cum laude from Harvard College as a Government major and was commissioned in the Marine Corps where he served for 6 years as a platoon commander and a reconnaissance platoon commander. He twice deployed overseas to Asia and the Middle East before attending Stanford Business School. At Stanford, Mr. West was co-president of his class and the CEO of Challenge for Charity, the largest business school non-profit corporation.
Former Positions Outside Government
- Aquilon Energy Services Unpaid Director - Resigned
- Goldman, Sachs Partner Managing Director
- Positive Coaching Alliance NY Board Member - Unpaid
- S W Irrevocable Trust Trustee
- Westwrite, LLC Owner
Former Compensation Sources
- Goldman, Sachs Managing Director in Commodities Trading
- Westwrite, LLC Part-time writer
Employment Assets
| Description | Value | Income |
|---|---|---|
| Westwrite, LLC (Writing royalty income) | ||
| Three books: Sharkman Six, Four Days to Veracruz, and The Snake Eaters. Simon and Schuster (value not readily ascertainable) | $201 - $1,000 | |
| Oceansize Pictures (The Snake Eaters media rights) | $25,000 | |
| Fidelity Inflation Protected Bond Index (Roth IRA) | $50,001 - $100,000 | $2,501 - $5,000 |
| Fidelity Extended Market Index (SEP IRA) | $15,001 - $50,000 | $2,501 - $5,000 |
| Goldman, Sachs 401k | ||
| Vanguard Treasury Inflation-Protected Securities | $250,001 - $500,000 | $5,001 - $15,000 |
| SSXVX - S&P500 Index - SSGA | $250,001 - $500,000 | $15,001 - $50,000 |
| Small/Mid Cap Equity Index (SSMKX) - SSGA | $250,001 - $500,000 | $5,001 - $15,000 |
| Pimco commodity real return strategy fund | $250,001 - $500,000 | $15,001 - $50,000 |
| Blackrock Large Cap Value Equity Index (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| T Rowe Price Large Cap Growth Equity (liquidated) | None (or less than $1,001) | $1,001 - $2,500 |
| Jackson Square Selected 20 Concentrated Growth Equity DPCEX (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| SSSDX - Dynamic Small Cap fund - SSGA (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| SSELX - Disciplined Emerging Markets Index SSGA (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| Goldman, Sachs (GS) Restricted shares | ||
| GS Restricted Shares - 2013 | $500,001 - $1,000,000 | $15,001 - $50,000 |
| GS Restricted Shares - 2014 | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| GS Restricted Shares - 2015 | $250,001 - $500,000 | $1,001 - $2,500 |
| GS Restricted Shares - 2011 | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Goldman Sachs Group Inc, 2014 Outstanding Restricted Stock Units | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| Goldman Sachs Group Inc, 2015 Outstanding Restricted Stock Units | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Goldman Sachs Group Inc, 2016 Outstanding Restricted Stock Units | $1,000,001 - $5,000,000 | $2,501 - $5,000 |
| Goldman, Sachs Shares (GS) | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| Goldman, Sachs Group Inc. | $1,246,330 | |
| Goldman Sachs Group Inc | $4,740,000 | |
| Goldman Sachs Group Inc | $4,958,951 |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| Brokerage Account (GS) | ||
| US Dollar (cash held in GS brokerage account) | $100,001 - $250,000 | None (or less than $201) |
| Advanced Micro Devices | $50,001 - $100,000 | None (or less than $201) |
| SPDR S&P Retail ETF (Short - open position) - Short 4000 @ $43.71 | None (or less than $201) | |
| Ishares Russell 2000 ETF | $100,001 - $250,000 | $201 - $1,000 |
| NVIDIA Corporation - Common Stock | $100,001 - $250,000 | None (or less than $201) |
| Ishares Edge MSCI Min Vol USA ETF | $100,001 - $250,000 | $5,001 - $15,000 |
| ONE gas Inc (common) | $15,001 - $50,000 | $201 - $1,000 |
| ONEOK (common) | $50,001 - $100,000 | $2,501 - $5,000 |
| Enterprise Partners (common) | $15,001 - $50,000 | $1,001 - $2,500 |
| S&P 500 (SPY) | $500,001 - $1,000,000 | $50,001 - $100,000 |
| PowerShares QQQ Trust, Series 1 | $250,001 - $500,000 | $15,001 - $50,000 |
| PALL (Palladium ETF) | $100,001 - $250,000 | $5,001 - $15,000 |
| PPLT (Platinum ETF) | $15,001 - $50,000 | None (or less than $201) |
| PRIVATE EQUITY PARTNERS ASIA EMPLOYEE FUND, L.P. (The manager does not release complete information regarding underlying positions. In some instances, the annual reports disclose high-level information on the fund's investments. Investments disclosed in the most recent annual report (12/31/16) are as follows: Actis India Fund 3 Bain Asia II Baring Asia IV Baring Asia V CDH III CDH IV CX Partners FountainVest Advantage Partners IV Archer 4 Bain Asia India Value IV Pacific Equity IV Saratoga Asia III Carlyle Asia III Unitas III Anchorage I Shoreline China Value II DT China Growth IDG-Accel China Group Focus Media/FountainVest Nord Anglia Education/Baring Asia The remainder of the underlying assets are not ascertainable. The filer provided a fund manager letter.) | $50,001 - $100,000 | $5,001 - $15,000 |
| VINTAGE III EMPLOYEE FUND, L.P. (It is against the fund managers’ policy to provide position transparency to its investors. In some instances, the annual reports disclose high-level information on the fund's investments. Investments disclosed in the most recent annual report (6.30.16) are as follows: Project Pasteur Syntegra Capital (f/k/a SGCapital Europe) Project Cierva Portobello Capital (f/k/a Ibersuizas Capital) Project Columbus CCMPCapital (f/k/a JPMorgan Chase) Project Anza Genstar Capital Project La Salle Chicago Growth Partners Project Bell Penta Investments Project Ferris Beecken Petty O’Keefe Project Woods Brantley Partners Project Hamilton Lovell Minnick Equity Partners Project Cullen Trimaran Capital Partners Project Descartes Charterhouse Equity Partners Project Adams TowerBrook Capital Partners Project Dennard Brazos Equity Partners Project Miles Stone Arch Capital Project Peral Mercapital Project Fitch Fenway Partners Project Gibbon Three Cities Research Project Camp Forstmann, Little Project Otto Vision Capital Group Project Diesel Vision Capital Group Project Fox Vision Capital Group Project Gregory Vision Capital Group Project Swan Vision Capital Group Project Raffles Global Diversified portfolio with over 40 underlying managers Project Biddle Quad-C, Spectrum Equity, Willis Stein Project Bohr Multiple The remainder of the underlying assets are not ascertainable. The filer provided a fund manager letter.) | $1,001 - $15,000 | $201 - $1,000 |
| Moderate Managed Allocation ages 8-11 | $15,001 - $50,000 | None (or less than $201) |
| GS MEZZANINE PARTNERS V EMPLOYEE FUND, L.P. (GS Mezzanine Partners V PMD QP Fund, L.P. invests in GS Mezzanine Partners V Employee Master Fund Onshore, L.P. that invests into GS Mezzanine Partners V Onshore Fund, L.P., which is an EIF.) | $15,001 - $50,000 | None (or less than $201) |
| DISTRESSED OPPORTUNITIES IV EMPLOYEE FUND, L.P. (The manager does not release complete information regarding underlying positions. The fund's annual reports disclose high-level information on the funds’ investments. Investments disclosed in the most recent annual report (12/31/16) are as follows: Bayside Loan III Centerbridge II Clearlake II H.I.G. Bayside Loan II Mount Kellett Mount Kellett II Och-Ziff Real Estate II VPC II VPC SBIC I Wayzata II Wayzata III Appaloosa I Bayview II Bayview III Catalyst III Centerbridge Special Credit Sankaty Credit IV Anchorage I Atlas Capital Gores III H2 IV Marlin II Marlin III Perusa 1 WLR IV Arctic Glacier/H.I.G. General Maritime/Aurora Inflection Energy/Chambers International Automotive Components/WL Ross Main Street Renewal Partners NIBC Bank/J.C. Flowers Abertis Infraestructuras/CVC Avolon Aerospace/Cinven Buccaneer Energy/Victory Park Preferred Facility (Confidential) The remainder of the underlying assets are not ascertainable. The filer provided a fund manager letter.) | $15,001 - $50,000 | $5,001 - $15,000 |
| BRIDGE STREET 2015, L.P. (Holdings: 110 University Place (Americas - Residential and commercial development in New York City.) Advanced Recovery Systems, LLC - (Americas - Rehabilitation) Alexan Glenwood (Americas - Multi- family development property in Atlanta, Georgia; Residential) Alta on the Park (Americas - Multi-family development property in Atlanta, Georgia; Residential) Aruba Caribbean Hotel Holding VBA (Americas - Hotel acquisition / conversion in Palm Beach, Aruba; Commerical) Ascletis BioScience Co. Ltd. - Asia - Health Industries (medical treatment science) Axioma, Inc. - Americas - Portfolio Management tools; Broadstone Sandy Spring (Americas - Multi-family development property in Atlanta, Georgia; Residential) Ciro's Plaza (Americas - Office building in Shanghai, China; Commerical); Credible Behavorial Health, Inc. - Americas - Software for electronic health records; El Camino Real (Americas - Multi-family development in Redwood City, California; Residential) Evariant, Inc. - Americas - Software GCA Services Group, Inc. - Americas - Maintenance services; Golden State Medical Supply Co., Ltd. - Americas - Pharmaceutical Gridsum Holding Inc. - Asia- Business Solutions GS Mezzanine Partners VI - Various - Investments (EIF) Guahao.com Limited - Asia- Mobile Health Care Hamlet Protein AS - Europe - Animal Health Laboratoire HRA Pharma SAS - Europe - Pharmaceutical LLamasoft, Inc. - Americas - Software Luvo, Inc. - Americas - Frozen Food M-Tec Holding Danmark ApS - Europe - Software NanoPay Holdings Inc. - Americas - Payment Platform Oncoclinicas Do Brasil Servicos Medicos SA - Americas - Oncology Treatment; Option Care - Americas - Infusion Therapy service; Park Avenue Buckhead (Americas - Multi-family development property in Atlanta, Georgia; Residential); Pepperfry.com - India - Online Furniture Retailer Persado Holdings Ltd - Americas - Technology for digital marketing; PRL Developers Private Limited - India - Real Estate development; ProQuest Holdings LLC - Americas - Research and development; Qubit Digital Ltd - Europe - E-commerce; ScienceLogic Inc. - Americas - Information Management; Sterling Talent Solutions - Americas - Preemployment Screening Suja Life, LLC - Americas - Juices Talentsoft SA - Europe - Software Tastemade, Inc. - Americas - Media Company Tutorgroup Holding - Asia - Learning Services Venus Medtech (Hangzhou) Inc - Asia- Medical Device Production; Vero Group (Europe - Portfolio of student housing assets in the UK; Residential) WeWork Companies Inc. (Americas - Provider of workspace rentals on a month-to-month basis; Commercial) Xiaomi Technology Company Limited - Asia - Consumer electronics and Technology Company; Zigbang Co., Ltd. (Asia - Real Estate Listing Platform) Cash, Other Assets (Immaterial equity interest in client funds for override purposes); Taxes receivable (accounting convention with respect to withholding taxes); Receivables from affiliated entities; Capitalized expenses on pending investments.) | $250,001 - $500,000 | $15,001 - $50,000 |
| BRIDGE STREET 2016, L.P. (Holdings: 1125 17th St (Office building in Denver, Colorado). 24th & Blake (Multi-family development property in Denver, Colorado). Alexan Central Park (Americas - Multi-family development property in Redmond, Washington; Residential) Austin Proper Hotel and Residences (Americas - Multi-family and hotel development property in Austin, Texas; Commercial & Residential) Broadstone Lowry (Americas - Multi-family development property in Denver, Colorado. Broadstone South Gulch (Americas - Multi-family development property in Nashville, Tennessee; Residential) Broadstone Westside (Americas - Operators of Multi-family communities in Atlanta, Georgia; Residential) Cell Site Solutions - Americas - Brazilian Developers of cellular sites; Continental Bakeries - Europe- Distributors of baked goods; Cova Beijing Zpark Investment Ltd. (Asia - Office building in Beijing; Commercial); Den Networks Limited - India - Cable; Digital Management, Inc. - Americas - Digital mobility; Godfrey Hollywood (Americas - Hotel development property in Santa Monica, California: Commercial); Happy Call Co., Ltd. - Asia- Manufacturer and distributor of cookware; Jiangsu Carzone Auto Parts Co., Ltd. - Asia - Parts distributor; MavenLink, Inc. - Americas - Software company; North Shore Lofts (Americas - Multi-family development property in Austin, Texas; Residential); Santa Monica Proper (Americas - Hotel development in Santa Monica, California; Commercial;) Smart Energy Co. Ltd.(Asia - Operations & maintenance and asset management service platform to the renewables industry); Sprout Social, Inc. - Americas - Social Media Products; Tienda Inglesa U.S. Holdings LLC - Americas - Super market chain; TraceLink, Inc. - Americas - Software; Transbay Development Project (Americas - Mixed-use development project in San Francisco, California; Commercial & Residential); Cash, Other Assets (Immaterial equity interest in client funds for override purposes; Taxes receivable (accounting convention with respect to withholding)) | $100,001 - $250,000 | $1,001 - $2,500 |
| Global Long Short Partners (Global Long Short Partners QP LP invests all or substantially all of its assets in Global Long Short Aggregating LP, which is an EIF. The manager does not release information regarding the underlying investments of this asset, except in limited circumstances;) | $100,001 - $250,000 | $15,001 - $50,000 |
| STONEBRIDGE 2017, L.P. (Current Holdings: Charlotte Observer Office (Office building development in Charlotte, North Carolina); Chase Towers(Office building in Austin, TX); MDC Partners Inc.(Operator of an advertising agency holding company); Yixia Tech Co Ltd. (ASIA - Provider of a short video sharing and live streaming platform). Cash) | $100,001 - $250,000 | None (or less than $201) |
| STONE STREET 2014, L.P. (Stone Street 2014, LP holdings are: 144th and Grant (Multi-family development property in Thornton, Colorado). 7th at Gilman (Multi-family development property in Issaqauh, Washington). Alexan Cityline(Multi-family development property in Richardson, Texas). Alexan Riveredge (Multi-family development property in Dallas, Texas). Alta Belmont Hills (Multi-family development property in Smyma, Georiga. Alta GatewayAmericasMulti-family development property in Salt Lake City, Utah. Alta Left BankAmericasMulti-family development property in Ft. Worth, Texas. Broad Street Real Estate Credit Partners II (Real estate finance holdings) (EIF) Broadstone Energy ParkAmericasMulti-family development property in Houston, Texas. Broadstone Farmers Market (Multi-family development property in Dallas, Texas). Broadstone Skyline (Multi-family development property in Houston, Texas). Daesung Industrial Gases Co. Ltd.(Producer and supplier of industrial gas). GS Mezzanine Partners VI (External Credit finance Fund - EIF) Hearthside Food Solutions (Manufacturer of snack products). Ipreo Parent Holdco LL (Provider of software solutions to financial services companies). MdiPle Partenaires (Operator of hospitals in France). One Belleview(Suburban office building in Denver, Colorado). Portillo Restaurant Group (Operator of fast-casual restaurants). South Towne Center (Regional mall and shopping center located in Sandy, Utah). Windeln.de (Online retailer of baby products). Woowa Brothers Corp (Operator of a mobile food-ordering platform in Korea); Cash; Stone Street 2014 Holdings, L.P. Employee Feeder (whose look through investments are: Antuit Holdings Pte. Ltd. (Data analytics software) AvePoint, Inc. (Cloud software) Best Logistics Technologies Limited (Cloud software) D-Wave Systems, Inc. (quantum computing design) Flint Group GmbH (Print tool manufacturing) Hastings Group Holdings PLC (general insurance) Nan He Xing Chan Co., Ltd. ( (Taiwanese holding company that owns approximately 400,000 square meters of prime commercial and residential real estate in Kaohsiung, Taiwane assets in Kaohsiung, Taiwan; Commercial & Residential) Odyssey Logistics & Technology Corp. (logistics management) Neovia Logistics Holdings Ltd. (logistics software platforms) Paycor, Inc. (online payroll services) Spiceworks, Inc. (IT infrastructure providers) and Interest Receivable) | $100,001 - $250,000 | $5,001 - $15,000 |
| Active Global Equity | $15,001 - $50,000 | None (or less than $201) |
| Aggressive managed allocation ages 8-11 | $1,001 - $15,000 | None (or less than $201) |
| US Brokerage Account #1 (cash) | $1,000,001 - $5,000,000 | $5,001 - $15,000 |
| Amgen (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| WHITEHALL STREET GLOBAL EMPLOYEE FUND 2005, L.P. (56 Leonard Street (Americas - Condo development in New York City; Residential) Caribbean Fund 2005 (EIF) (Americas - Royal Decameron Hotel in Panama; CR Holdings (3 hotels) in Costa Rica; Marriott Aruba; Commercial) CNL Fargo Holdings (Americas - Portfolio of hotel assets located across the U.S.; Commercial) Kerzner International Limited - Europe - Hospitality KQ Portfolio - Debt - (Europe - Portfolio of retail assets located across Germany; Commercial) KQ Portfolio - Equity (Europe - Portfolio of retail assets located across Germany; Commercial) MoMA West (Americas - Condo development in New York City; Residential) National Gateway at Potomac Yard (Americas - Office building near Washington, D.C.; Commercial) Sofitel North America Portfolio (Americas - Hotel asset located in Los Angeles, California; Commercial) Cash, Other Assets (Receivables from affiliated entities; Taxes receivable (accounting convention with respect to withholding taxes.)) | $15,001 - $50,000 | None (or less than $201) |
| BROAD STREET SENIOR CREDIT PARTNERS EMPLOYEE FUND, L.P. (CLASS A) (Broad Street Senior Credit Partners Employee Fund, L.P. invests in Broad Street Senior Credit Partners, L.P., which is an EIF.) | $100,001 - $250,000 | $15,001 - $50,000 |
| PRIVATE MIDDLE MARKET CREDIT LLC (c) (Private Middle Market Credit LLC is a publicly traded corporation. According to its Investment Letter published 12/31/2016 its holdings were: Clinical Supplies Management (Containers & Packaging); Datacor Holdings, Inc. (Chemicals); Greenskies Renewable Energy, LLC (Construction & Engineering) ; Vantage Mobility International, LLC (Health Care Equip. & Supplies); Association Member Benefits Advisors, LLC ( Insurance) Global Healthcare Exchange, LLC (Health Care Technology) Granicus, Inc. (Software) Procare (Software - Diversified Financial Services) Regulatory DataCorp, Inc.( Diversified Financial Services) Roland Foods (Food Products)) | $100,001 - $250,000 | $2,501 - $5,000 |
| Vanguard Funds | ||
| Vanguard Federal Money Market Fund | $500,001 - $1,000,000 | $2,501 - $5,000 |
| Vanguard Municipal Money Market Fund | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Vanguard Tax-Managed Capital Appreciation Fund | $250,001 - $500,000 | $5,001 - $15,000 |
| Vanguard Tax-Managed Small-Cap Fund | $250,001 - $500,000 | $5,001 - $15,000 |
| US Bank Account 1 (Cash Money Market) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| US Bank Account 2 (Cash Money Market) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| US Bank Account 3 (Cash Money Market) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Timberlane Private Real Estate Investments (Private investments in 13 multi-unit apartment and mixed use (1st Floor retail - remaining floors residential buildings. This passive investment provides long term cash flow from rental income. Timberlane is the real estate management team. The Timberlane ownership team is composed of two Seattle-based real estate experts and a small staff. Timberlane has never held, nor encountered, a government contract. 1. The Harvey. Originally built as a hotel in the 1920's, The Harvey, located in East Hollywood is now comprised of 177 "bachelor" units. These bachelor units are in essence small studios ranging in size from 175-375 square feet. 2. Silver Lake. Built in the 1920's, this property was the original liquor store and grocery store for LA's Silver Lake neighborhood. 3. Echo Park. This historic 32 unit multifamily property is in the heart of Echo Park in Los Angeles. 4. Detroit. A 24-unit vintage apartment building in the coveted "Miracle Mile" area of Los Angeles. 5. Stanton. Stanton is a 26-unit apartment building in the Ballard area in Seattle, WA. 6. Mercer. Mercer is a 73-unit apartment building in Salt Lake City. 7. Rowena. Rowena is a 32-unit apartment building in Los Angeles. 8. Morton. Morton is an apartment development in downtown Salt Lake City, with construction expected to start in early spring 2017. 9. Quilceda. Quilceda Gardens is a fully renovated 61 apartment complex in Marysville, WA. 10. Worthington is a mixed-use commercial project located in the downtown core of Salt Lake City. 11. Pierpont. Pierpont is a 47-unit mixed-use brick building in downtown Salt Lake City. 12. Ludlow. The Ludlow sits on Pike-Pine corridor in Seattle and has 52 apartments as well as 6 retail units. 13. Hudson. The Hudson is a 112 unit community in the Queen Anne area of Seattle) | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| Residential Real Estate, Wilmington NC | $100,001 - $250,000 | None (or less than $201) |
| Residential Real Estate Wilmington, NC | $100,001 - $250,000 | None (or less than $201) |
| NY-529 College Savings Plan | ||
| Moderate Growth Portfolio | $50,001 - $100,000 | None (or less than $201) |
| Conservative Growth Portfolio | $50,001 - $100,000 | None (or less than $201) |
| Income Portfolio | $15,001 - $50,000 | None (or less than $201) |
| Developed Markets Index Portfolio | $50,001 - $100,000 | None (or less than $201) |
| MidCap Stock Index Portfolio | $50,001 - $100,000 | None (or less than $201) |
| Value Stock Index Portfoilo | $15,001 - $50,000 | None (or less than $201) |
| Growth Stock Index Portfolio | $15,001 - $50,000 | None (or less than $201) |
| Inflation Protected Securities Portfolio | $15,001 - $50,000 | None (or less than $201) |
| CT- 529 College Savings Plan | ||
| Global Equity Index Option | $15,001 - $50,000 | None (or less than $201) |
| US Equity Index Option | $15,001 - $50,000 | None (or less than $201) |
| Aggressive Index Option ages 12-14 | $15,001 - $50,000 | None (or less than $201) |
| Moderate Managed Allocation ages 12-14 | $15,001 - $50,000 | None (or less than $201) |
| High Equity Balanced Option | $15,001 - $50,000 | None (or less than $201) |
| Centene Corp (liquidated) | None (or less than $1,001) | $50,001 - $100,000 |
| Community Health (liquidated) | None (or less than $1,001) | $1,001 - $2,500 |
| Davita Inc (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| DJ SPDR Wilshire REIT ETF (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| First Trust Exchange NASDAQ Technology Dividend ETF (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| iShares Dividend ETF (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| Kayne Anderson MLP Investment Common (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Monsanto (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Retail Opportunity Investments Corp. - Common Stock (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| United Health (liquidated) | None (or less than $1,001) | $50,001 - $100,000 |
| Vanguard High Dividend Yield ETF (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| iShares MSCI Japan (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Wisdomtree Hedged Euro Equity ETF (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Deutsche Bank Contigent Capital Trust Fund Preffered Shares (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| HSBC Preferred Series F (liquidated) | None (or less than $1,001) | $2,501 - $5,000 |
| Proshares Ultrashort Yen (liquidated) | None (or less than $1,001) | $201 - $1,000 |
| Call SPY @240 Exp 5/19/17 | $1,001 - $15,000 | None (or less than $201) |
| Amazon (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Sold Call GS @175 Exp 4/16 (expired) | None (or less than $1,001) | $2,501 - $5,000 |
| Sold Call QQQ @ 109 Exp 8/16 (expired) | None (or less than $1,001) | $2,501 - $5,000 |
| Sold Call SPY @210 Exp 8/16 (expired) | None (or less than $1,001) | $2,501 - $5,000 |
| Sold Call VTI @ 110 Exp 9/16 (expired) | None (or less than $1,001) | $2,501 - $5,000 |
| Deutsche X-trackers MSCI Emerging Markets Hedged Equity ETF (liquidated) | None (or less than $1,001) | $5,001 - $15,000 |
| Deutsche X-trackers MSCI Europe Hedged Equity (liquidated) | None (or less than $1,001) | $2,501 - $5,000 |
| SPDR Dow Jones Industrial Average ETF (liquidated) | None (or less than $1,001) | None (or less than $201) |
| Tesla (liquidated) | None (or less than $1,001) | $50,001 - $100,000 |
| Vanguard Total Stock Market ETF (liquidated) | None (or less than $1,001) | $15,001 - $50,000 |
| US Bank Account #4 (cash) | $250,001 - $500,000 | $2,501 - $5,000 |
| US Treasury I Savings Bond | $100,001 - $250,000 | $2,501 - $5,000 |
| USAA Mutual Fund - Growth and Tax Strategy | $50,001 - $100,000 | $2,501 - $5,000 |
| USAA Money Market (Cash account) | $15,001 - $50,000 | $201 - $1,000 |
| GS Bank Money Market (Cash account) | $250,001 - $500,000 | $5,001 - $15,000 |
| SW Irrevocable Trust | ||
| Penn Mutual - Variable Universal Life Insurance - (Penn Mutual's description of this policy follows: Indexed Account offers attractive growth potential based on the performance (excluding dividends) of the S&P500® Index up to a competitive cap and guaranteed not to fall below a 2 percent guaranteed annual floor. In sum, this life insurance policy exactly mimics the ex-dividend yield of the S&P500, but is floored at a 2% gain in return for a cap that has averaged between 10% and 12% for 4 years.) | $250,001 - $500,000 | None (or less than $201) |
| OW Irrevocable Trust | ||
| Mass Mutual - Whole Life Insurance - Owen West | $1,000,001 - $5,000,000 | None (or less than $201) |
| OW 2016 Irrevocable Trust | ||
| Goldman Sachs Group Inc - 2012 Restricted Shares | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| Goldman Sachs Group Inc - 2013 Restricted Shares | $250,001 - $500,000 | $15,001 - $50,000 |
| Goldman, Sachs Bank Deposit (BDA - cash) | $15,001 - $50,000 | $201 - $1,000 |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| The Goldman Sachs Group, Inc. | New York, New York | Restricted Stock Units (RSUs) and Restricted Shares - I currently hold RSUs that were granted to me as part of my compensation for fiscal years 2014, 2015, and 2016. Under the terms of the awards, restricted stock underlying the awards are scheduled to be delivered in 2018-2020. A portion will be delivered in Restricted Shares. I also hold Restricted Shares associated with RSU awards that were granted to me as part of my compensation for fiscal years 2011, 2012, 2013, 2014 and 2015. The restrictions on the Restricted Shares generally remain in place for five years after the RSU grant. The award agreements applicable to these awards provide for accelerated settlement of the RSUs and lifting of the transfer restrictions on the Restricted Shares if I enter into certain types of “conflicted employment.” Goldman has determined that the position of Assistant Secretary of Defense for SOLIC is “conflicted employment.” | Jan. 16, 2012 |
| The Goldman Sachs Group, Inc. | New York, New York | Participating Managing Director Employment Agreement - I am subject to a participating managing director agreement that provides, among other things, for confidentiality, non-competition, and non- solicitation obligations that survive the termination of my employment. | Jan. 16, 2015 |
| The Goldman Sachs Group, Inc. | New York, New York | Shareholders Agreement - As a participating managing director of Goldman Sachs I am subject to a shareholders’ agreement which requires that I retain a certain percentage of my Goldman Sachs shares for so long as I remained a participating managing director. The agreement also requires that I participate in a voting arrangement with respect to certain of my Goldman Sachs shares whereby such shares are voted in accordance with the majority of the shares voted by all the parties to the agreement. All substantive obligations under the Shareholders’ Agreement will terminate when my employment as a Goldman Sachs participating managing director. | Jan. 16, 2015 |
| The Goldman Sachs Group Inc | New York, New York | Goldman Sachs Investment Fund Interests – I am invested in certain private investment funds established by Goldman Sachs to permit its employees to participate in the firm's private equity, hedge fund and other similar activities by investing in or alongside funds and investments that the firm manages or sponsors for independent investors and/or for the firm. Certain of the funds are offered to employee investors on a fee-free or reduced fee basis. All such funds are disclosed in Part 6. | Jan. 16, 2002 |
| The Goldman Sachs Group, Inc. | New York, New York | 401(k) Plan – I contributed a portion of my annual compensation to a 401(k) plan. Pursuant to the terms of the plan, I will cease to be eligible to participate in the plan when my employment with Goldman Sachs terminates. At that time, I will be permitted to retain the account and direct the investment of the account at my discretion. In addition, based on my 2017 contributions to the plan, I am entitled to a 2017 firm matching contribution in an amount to be determined, which will be allocated to my account in 2018. | Aug. 16, 1998 |
| The Goldman Sachs Group | New York, New York | Executive Retiree Health Care Plan – On the termination of employment, I will be eligible to participate in the Executive Retiree Health Care Plan with no subsidy. | June 16, 2017 |
| The Goldman Sachs Group, Inc. | New York, New York | In 2016, an irrevocable grantor trust was established (detailed in Part 6). Its holdings are 2012 and 2013 restricted shares of Goldman, Sachs (GS) subject to the same conditions listed previously - restrictions generally remain in place for five years after the RSU grant. The award agreements applicable to these awards provide for accelerated settlement of the RSUs and lifting of the transfer restrictions on the Restricted Shares if I enter into certain types of “conflicted employment.” I expect that the position of Assistant to the Secretary of Defense will be viewed by Goldman Sachs as “conflicted employment.” | Jan. 16, 2012 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| GS Mezzanine Partners V Fund | Capital Call | $10,001 - $15,000 | N/A | 2008 |
| Distressed Managers IV Fund LP | Capital Call | $15,001 - $50,000 | N/A | 2008 |
| Broad Street Senior Credit Fund LP | Capital Call | $250,001 - $500,000 | N/A | 2015 |
| Bridge Street 2016 LP | Capital Call | $50,001 - $100,000 | N/A | 2016 |
| Stonebridge 2017 LP | Capital Call | $50,001 - $100,000 | N/A | 2017 |
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