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.
Wilbur L. Ross
Commerce (joined: Feb. 27, 2017)
Secretary of Commerce | $153,800-$210,700 | Financial Disclosure »
Former Positions Outside Government
- 1116 South Main Street, LLC Managing Member (The listed start date is approximate and is based on a good-faith estimate.)
- 781 Fifth Ave. LLC Managing Member (The listed start date is approximate and is based on a good-faith estimate.)
- Absolute Recovery Capital Partners, LLC Managing Member
- Absolute Recovery Hedge Fund, Ltd.; Absolute Recovery Master Fund Ltd. Director
- American Friends of the Rene Magritte Museum President (The listed start date is approximate and is based on a good-faith estimate.)
- ArcelorMittal Director
- Assured Guaranty Director
- Bank of Cyprus Director/Vice Chairman
- BankUnited FSB, BankUnited, Inc. Director
- Blenheim Foundation USA Trustee
- Briarcliff Condominium Apartment Building Director (The listed start date is approximate and is based on a good-faith estimate.)
- British American Business, Inc. International Advisory Board Director (The listed start date is approximate and is based on a good-faith estimate.)
- Brookings Economic Studies Council Director/Chairm an (The listed start date is approximate and is based on a good-faith estimate.)
- Brookings Institution Trustee (The listed start date is approximate and is based on a good-faith estimate.)
- DSS Holdings LP Director/Chairm an (The listed start date is approximate and is based on a good-faith estimate.)
- Diamond S Shipping Group, Inc. Non-Executive Chairman (The listed start date is approximate and is based on a good-faith estimate.)
- Diamond S Shipping LLC Chairman (The listed start date is approximate and is based on a good-faith estimate.)
- El Vedado LLC Sole Member
- Euro Wagon II Ltd. Director
- Euro Wagon Ltd. Director
- Exco Resources Independent Director (The listed start date is approximate and is based on a good-faith estimate.)
- First Michigan Bank/Talmer Bancorp Director
- Governor and Company of the Bank of Ireland Director
- Harvard Business School Club of New York Director (The listed start date is approximate and is based on a good-faith estimate.)
- Harvard Business School, Dean's Advisory Board Director (The listed start date and end date are approximate and are based on a good-faith estimate.)
- Huaneng Invesco WLR Investment Consulting Company Ltd. Director
- IAC Asia Holdings, Inc. Director
- IAC Mexico Holdings, Inc. Director
- IAC Spartanburg, Inc. Director
- IAC U.S. Holdings, Inc. Director
- IACNA International, Inc. Director
- IACNA Korea, Inc. Director
- INVESCO WLR Private Equity Investment Management, Ltd. Director
- India Asset Recovery Associates LLC Managing Member
- India Asset Recovery Fund Limited Director
- India Asset Recovery GP Ltd. Director
- International Automotive Components Group, S.A. Non-Executive Chairman (The listed start date is approximate and is based on a good-faith estimate.)
- International Automotive Group GmbH Chairman and Director (The listed start date is approximate and is based on a good-faith estimate.)
- International Automotive Group Japan, LLC Director/Chairm an (The listed start date is approximate and is based on a good-faith estimate.)
- International Automotive Group North America (Inc., LLC, and Holdings, Inc.) Chairman and Director (The listed start date is approximate and is based on a good-faith estimate.)
- International Textile Group Non-Executive Director (The listed start date is approximate and is based on a good-faith estimate.)
- Invesco Ltd. CEO -- Private Equity Groups
- Invesco Private Capital Investments, Inc. Director
- Invesco Private Capital, Inc. Director
- Invesco WLR Limited Director
- Musee des Arts Decoratifs International Counsel Member (The listed start date is approximate and is based on a good-faith estimate.)
- NBNK Investments PLC Director/Chairm an
- Navigator Holdings Ltd. Director/Chairm an (The listed start date is approximate and is based on a good-faith estimate.)
- Nexeo Solutions Chairman
- Ocwen Financial Corp. Director
- Ohizumi Manufacturing Director
- PB Materials Holdings, Inc. Director
- PLASCAR Director
- Palm Beach Civic Association Director (The listed start date is approximate and is based on a good-faith estimate.)
- Palm Beach Preservation Foundation Trustee (The listed start date is approximate and is based on a good-faith estimate.)
- Palm Beach Retirement Funds Trustee (The listed start date is approximate and is based on a good-faith estimate.)
- Permali do Brasil Industria e Comercio Ltda Director
- Ross CG GP LLC Sole Member
- Ross Expansion FLP, LP General Partner
- Ross Expansion GP LLC Sole Member
- Starboard GP Ltd. (Cayman) Director
- Starboard WLR Associates L.P. Principal Partner
- Sun BanCorp Director
- Sun National Bank Director
- The Japan Society, Inc. Director/Chairm an
- The Partnership for New York City Member of the Executive Committee (The listed start date is approximate and is based on a good-faith estimate.)
- WL Ross & Co. (India) LLC Director
- WL Ross Group (Cayman) Ltd. Director
- WL Ross and Co. LLC Chairman/Chief Strategy Officer
- WLR Cardinal Associates Ltd. Director
- WLR China Energy Associates, Ltd. Director
- WLR Euro Wagon Management Ltd. (Jersey) Director
- WLR IMRF II Associates LLC Managing Member
- WLR IV Loans AIV Feeder (Cayman), Ltd. Director
- WLR Master Co-Investment SLP GP, Ltd. Director/Chairm an
- WLR Nanotechnology GP LLC Managing Member
- WLR Recovery Associates II LLC Managing Member
- WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) Director
- WLR Recovery Associates V DSS AIV GP, Ltd. (Cayman) Director
- WLR Select Associates DSS GP, Ltd. Director
- WLR-SC Financing Conduit LLC Managing Member
- WLR/GS (India) Limited Director
Former Compensation Sources
- ArcelorMittal Independent Director on the Board of Directors.
- Invesco, Ltd. CEO of Private Equity Groups division with company. Receives his salary and bonus from Invesco Group Services.
Employment Assets
| Description | Value | Income |
|---|---|---|
| Invesco (2 books: "New York, New York"; "Palm Beach People") | ||
| Invesco Group Services | $2,000,000 | |
| Invesco Group Services | $2,244,000 | |
| Invesco 401k Plan | None (or less than $201) | |
| Invesco Developing Markets R6 | None (or less than $1,001) | |
| Invesco Core Plus Fixed Income | $15,001 - $50,000 | |
| SSgA U.S. Bond Index Non-Lending Series Fund Class C | $15,001 - $50,000 | |
| SSgA Inflation Protected Bond Index Fund | $15,001 - $50,000 | |
| Invesco Ltd. stock | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| Invesco Ltd. restricted stock (unvested) | $5,000,001 - $25,000,000 | None (or less than $201) |
| Invesco Group Services, anticipated bonus | $1,000,001 - $5,000,000 | None (or less than $201) |
| ArcelorMittal | $107,567 | |
| Air Lease Corporation | $250,001 - $500,000 | $1,001 - $2,500 |
| BankUnited, Inc. | $1,001 - $15,000 | None (or less than $201) |
| Exco (vested shares) | $15,001 - $50,000 | None (or less than $201) |
| Exco (unvested shares) | $100,001 - $250,000 | None (or less than $201) |
| Ocwen Financial Corporation | $1,001 - $15,000 | None (or less than $201) |
| Sun Bancorp, Inc. | $1,001 - $15,000 | None (or less than $201) |
| El Vedado, LLC | ||
| WL Ross Group, L.P. | ||
| WL Ross Group, L.P. | ||
| WLR Recovery Associates IV LLC | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| WLR Recovery Fund IV, L.P. -- Carried Interest | $5,000,001 - $25,000,000 | None (or less than $201) |
| WLR Recovery Fund IV, L.P. | ||
| International Textile Group (textiles) (no longer held) | ||
| WLR - Greenbrier Rail Inc. (railroads) (no longer held) | ||
| Sun Bancorp. Inc. | ||
| Cascade Bancorp | ||
| Amalgamated Bank (banking) | ||
| WLR Recovery Fund IV XCO Feeder I, L.P. | ||
| WLR Recovery Fund IV XCO AIV I, L.P. | ||
| EXCO Resources, Inc. | ||
| WLR Recovery Fund IV XCO Feeder II, L.P. | ||
| WLR Recovery Fund IV XCO AIV II, L.P. | ||
| EXCO Resources, Inc. | ||
| WLR Recovery Fund IV XCO Feeder III, L.P. | ||
| WLR Recovery Fund IV XCO AIV III, L.P. | ||
| EXCO Resources, Inc. | ||
| WLR IV RRH AIV, L.P. | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| WLR IV RRH Blocked AIV, L.P. | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| WLR IV PPIP AIV, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| WLR IV PPIP AIV Feeder, L.P. | ||
| WLR IV PPIP AIV, L.P. | ||
| WLR IV Loans AIV Feeder, L.P. (Delaware) | ||
| WLR IV Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| WLR LeFrak Northwest LLC (real estate loans) | ||
| IMRF Hotel Fifth Street Member LLC (real estate loans) | ||
| Park Place Apollo Investor LLC (real estate loans) | ||
| Market Square Member LLC (real estate loans) | ||
| Indiana Retail Member LLC (real estate loans) | ||
| Colfin Milestone North Funding LLC (commercial real estate loans) | ||
| IMRF Hotel Member LLC (real estate loans) | ||
| IMRF Watchtower Member LLC (real estate loans) | ||
| Shackelford Crossings Member LLC (real estate loans) | ||
| IMRF Industrial Member LLC (real estate loans) | ||
| WLR IV Loans AIV Feeder, (Cayman) L.P. | ||
| WLR IV Loans AIV, L.P. | ||
| WLR IV Loans AIV, L.P. | ||
| WLR Mezzanine Associates, LLC | $100,001 - $250,000 | None (or less than $201) |
| WLR Mezzanine Splitter, L.P. (Cayman) | ||
| WLR Cardinal Associates Ltd. | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) | ||
| Dwyer Nolan: Elmfield Property Holdings, Ltd. Tranche A (real estate loans) | ||
| Hennebry, O'Toole, Exmonde Partnership (real estate loans) | ||
| Henciti Limited (real estate loans) | ||
| Genesis Homes (Mungret) Limited (real estate loans) | ||
| Charlemont Regene (real estate loans) | ||
| Chirita Limited (real estate loans) | ||
| Kitty Developments Limited (real estate loans) | ||
| Newpark Developments Limited (real estate loans) | ||
| RGRE Ballsbridge Devco No. 3 (real estate loans) | ||
| Chalon Finance DAC (real estate loans) | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| Absolute Recovery Capital Partners LLC | $250,001 - $500,000 | $5,001 - $15,000 |
| Absolute Recovery Hedge Fund Ltd. (Cayman) | ||
| Absolute Recovery Master Fund Ltd. | ||
| Absolute Recovery Hedge Fund L.P. | ||
| WLR Recovery Associates LLC (cash) | $500,001 - $1,000,000 | None (or less than $201) |
| WL Ross Sponsor LLC | $5,000,001 - $25,000,000 | None (or less than $201) |
| Nexeo Solutions, stock | ||
| WLR Conduit MM LLC | $500,001 - $1,000,000 | $100,001 - $1,000,000 |
| WLR-SC Financing Conduit LLC | ||
| Resolution Recovery Partners LP (real estate) | ||
| Transportation Recovery Fund, L.P. | ||
| WLR/TRF Shipping GP Ltd. | ||
| WLR/TRF Shipping LP (Cayman) | ||
| WLR/TRF Shipping S.a r.l. | ||
| WLR/TRF Shipping LP (Cayman) | ||
| WLR/TRF Shipping II GP Ltd. | ||
| WLR/TRF Shipping II LP (Cayman) | ||
| WLR/TRF Shipping II S.a r.l. | ||
| WLR/TRF Shipping II LP (Cayman) | ||
| American Energy - Permian Basin LLC, bonds | ||
| Comstock Resources, Inc., warrants | ||
| Energen Corp. | ||
| Laredo Petroleum Inc. | ||
| Northern Oil and Gas Inc. | ||
| New Penn Financial LLC (mortgage financing) | ||
| QEP Resources Inc. | ||
| Breitburn Energy Partners, bonds | ||
| Rex Energy Corp. | ||
| WPX Energy Inc. | ||
| Comstock Resources, equity | ||
| Shellpoint Partners LLC (mortgage lending) | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| Situs Holdings, LLC (commercial mortgage servicing) | ||
| Approach Resources, Inc., bonds | ||
| Lightstream Resources, bonds | ||
| WLR Conduit MM LLC -- Carried interest | $500,001 - $1,000,000 | None (or less than $201) |
| WLR Recovery Associates V LLC | $1,000,001 - $5,000,000 | $1,000,001 - $5,000,000 |
| WLR V RRH Blocked AIV, L.P. | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| WLR V RRH AIV, L.P. | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| WLR V RRH Feeder AIV LLC | ||
| WLR V RRH Blocked AIV, L.P. | ||
| Cantor Commercial Real Estate Company (real estate financing) | ||
| WLR Recovery Fund V Mezzanine AIV Blocker, L.P. | ||
| WLR Recovery Fund V Mezzanine AIV, L.P. | ||
| WLR Recovery Fund V Mezzanine Holdings LLC | ||
| WLR Cardinal Associates Ltd. | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) | ||
| WLR Recovery Fund V Mezzanine AIV, L.P. | ||
| WLR Recovery Fund V Mezzanine Holdings LLC | ||
| WLR Recovery Fund V, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR V RRH Blocked AIV, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR V RRH AIV, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR Recovery Fund V, L.P. | ||
| Virgin Money (banking) (no longer held) | ||
| Amalgamated Bank (banking) | ||
| NBNK Investments PLC (investments) (no longer held) | ||
| CCRE/Berkeley Point Financial LLC (real estate) | ||
| Bank of Cyprus (banking) | ||
| PB Materials Holdings, Inc. (construction) | ||
| Carbures Inc. (nano carbon fiber manufacturing) | ||
| DSS Holdings, L.P. (transoceanic shipping) | ||
| American Energy - Permian Basin LLC, bonds | ||
| Approach Resources, Inc., bonds | ||
| Breitburn Energy Partners, bonds | ||
| Comstock Resources Inc., warrants | ||
| Lightstream Resources, bonds | ||
| WLR Eurobank Investment, L.P. | ||
| Eurobank Ergasias SA (banking) | ||
| WLR Select Associates LLC | $15,001 - $50,000 | $201 - $1,000 |
| WLR Select Co-Investment XCO AIV, L.P. | ||
| Exco Resources, Inc. | ||
| WLR Select Co-Investment XCO AIV, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WL Ross Group (Cayman), Ltd. | ||
| WLR China Energy CV, L.P. | ||
| WLR China Energy Associates, Ltd. | ||
| WLR China Energy Infrastructure Fund, L.P. - - Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR China Energy Infrastructure Fund, L.P. | None (or less than $201) | |
| Longmen Group Limited (natural gas) | $1,001 - $15,000 | |
| Organica Water Inc. (wastewater infrastructure) | $1,001 - $15,000 | |
| Phononic Devices, Inc. (consumer products manufacturing) | $15,001 - $50,000 | |
| SinoTech Power Group Holding (solar power) | $15,001 - $50,000 | |
| Huaneng Renewables Corp., Ltd. (energy) | $15,001 - $50,000 | |
| ChargePoint, Inc. (electric vehicle charging) | $1,001 - $15,000 | |
| WLR Recovery Associates II, LLC | ||
| WLR Recovery Fund II, L.P. -- Carried Interest | $250,001 - $500,000 | None (or less than $201) |
| WLR Recovery Associates III, LLC | None (or less than $201) | |
| WLR Recovery Fund III, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| Invesco Legacy Securities Master Fund, L.P. | ||
| WLR IMRF II Associates LLC | $1,001 - $15,000 | None (or less than $201) |
| Invesco Mortgage Recovery Master Associates II, LLC | ||
| Invesco Mortgage Recovery Fund II, L.P. | ||
| Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. | ||
| Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. | ||
| ITAL SCSP (Luxembourg) | ||
| Spiga (real estate loans) | ||
| Generator (real estate loans) | ||
| Ames Hotel (real estate loans) | ||
| Bayside Square (real estate loans) | ||
| Luhrs City Center (real estate loans) | ||
| Crown Heights (real estate loans) | ||
| 5801 Christie Avenue (real estate loans) | ||
| Sareb Loan Portfolio (real estate loans) | ||
| Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. | ||
| Invesco Mortgage Recovery Fund II ESC, L.P. | ||
| Invesco Mortgage Recovery Fund II U.S. HoldCo, L.P. | ||
| IMRF II HoldCo S.a r.l. (Luxembourg) | ||
| 102 Champs-Elysees (real estate loans) | ||
| Frascati (real estate loans) | ||
| Gregorio Benetiz (real estate loans) | ||
| Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P. | ||
| Invesco Mortgage Recovery Fund II ITAL HoldCo, L.P. | ||
| Invesco Mortgage Recovery Fund II Feeder, LLC | ||
| Invesco Mortgage Recovery Fund II, L.P. -- carried interest (value not readily ascertainable) | None (or less than $201) | |
| Invesco Mortgage Recovery Fund II Co- Invest ITAL, L.P. -- carried interest (value not readily ascertainable) | None (or less than $201) | |
| WLR Master Co-Investment SLP Associates L.P. (Cayman) | ||
| WLR/GS Master Co-Investment L.P. (Cayman) -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR Recovery Associates IV DSS AIV, L.P. (value not readily ascertainable) | None (or less than $201) | |
| WLR Recovery Fund IV DSS AIV, L.P. (Cayman) | ||
| DSS Holdings LP Class A (transoceanic shipping) | ||
| DSS Holdings LP Class B (transoceanic shipping) | ||
| Navigator Holdings Ltd. (transoceanic shipping) | ||
| DSS Holdings GP Ltd. (transoceanic shipping) | ||
| WLR Recovery Associates V DSS AIV, L.P. | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| WLR Recovery Fund V DSS AIV, L.P. | ||
| WLR/TRF Shipping LP (Cayman) | ||
| WLR/TRF Shipping II LP (Cayman) | ||
| Navigator Holdings Ltd. (transoceanic shipping) | ||
| DSS Holdings, L.P. (transoceanic shipping) | ||
| WLR Select Associates DSS, L.P. | $50,001 - $100,000 | $1,001 - $2,500 |
| WLR Recovery Associates V DSS AIV GP, Ltd. | ||
| WLR Recovery Associates V DSS AIV, L.P. | ||
| WLR Recovery Fund V DSS AIV, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR/IVZ Mortgage Recovery Associates LLC | $500,001 - $1,000,000 | $100,001 - $1,000,000 |
| Invesco Mortgage Recovery Master Associates LLC | ||
| Invesco Mortgage Recovery Offshore Feeder Fund, L.P. | ||
| Invesco Mortgage Recovery Feeder Fund, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| Invesco Mortgage Recovery Feeder Fund, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| Invesco Legacy Securities Offshore Feeder Fund, L.P. | ||
| Invesco Legacy Securities Feeder Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| Invesco Legacy Securities Feeder Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| Invesco Recovery Loans Feeder Fund, L.P. (DE) | ||
| Invesco Mortgage Recovery Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Loans Feeder Fund, L.P. (Cayman) | ||
| Invesco Mortgage Recovery Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| WLR IV PPIP Co-Invest Offshore Feeder Fund, L.P. | ||
| WLR IV PPIP Co-Invest, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| WLR IV PPIP Co-Invest, L.P. | ||
| Invesco Mortgage Recovery Master Fund, L.P. | ||
| Invesco Legacy Securities Master Fund, L.P. | ||
| WLR IV PPIP Coinvest Loans Feeder Fund, L.P. (DE) | ||
| WLR IV PPIP Co-Invest Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| WLR IV PPIP Coinvest Loans Feeder Fund (Cayman), L.P. | ||
| WLR IV PPIP Co-Invest Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| WLR Whole Loan Fund, L.P. | ||
| WLR LeFrak (Northwest) LLC (real estate loans) | ||
| Market Square Member LLC (real estate loans) | ||
| Indiana Retail Member LLC (real estate loans) | ||
| Shackleford Crossings Member LLC (real estate loan) | ||
| Colfin Milestone North Funding LLC (real estate loan) | ||
| IMRF Hotel Member LLC (real estate loan) | ||
| Park Place Apollo Investor LLC (real estate loan) | ||
| IMRF Watchtower Member LLC (real estate loan) | ||
| IMRF Industrial Member LLC (real estate loan) | ||
| WLR IV PPIP Co-Invest Loans AIV, L.P. | ||
| Invesco Mortgage Recovery Master Loans AIV, L.P. | ||
| WLR/IVZ Mortgage Recovery Associates LLC -- Carried Interest | $1,000,001 - $5,000,000 | None (or less than $201) |
| Starboard GP Ltd. | $50,001 - $100,000 | $50,001 - $100,000 |
| Starboard Recovery Associates, L.P. | ||
| WLR Navig8 Co-Investment, L.P. | ||
| WLR/TRF Shipping S.a. r.l. | ||
| Transportation Recovery Fund, L.P. -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| IRA - Traditional | ||
| WLR Recovery Associates, II LLC | $250,001 - $500,000 | $100,001 - $1,000,000 |
| WLR Recovery Fund II, L.P. | ||
| International Textile Group (textiles) (no longer held) | ||
| WLR Cone Mills Surplus Assets LLC (textiles) (no longer held) | ||
| Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) | ||
| Nano-Tex LLC (textiles) (no longer held) | ||
| IAC Group North America LLC (automotive parts) | ||
| IAC Group Brazil LLC (automotive parts) | ||
| WLR Recovery Associates III, LLC | $500,001 - $1,000,000 | $5,001 - $15,000 |
| WLR Recovery Fund III, L.P. | ||
| International Textile Group (textiles) (no longer held) | ||
| IAC Group North America LLC (automotive parts) | ||
| IAC Group Brazil LLC (automotive parts) | ||
| OCM India Limited (textiles) (no longer held) | ||
| WLR Recovery Associates IV, LLC | $50,001 - $100,000 | None (or less than $201) |
| U.S. brokerage/investment account (cash) | $100,001 - $250,000 | None (or less than $201) |
| WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) | $50,001 - $100,000 | None (or less than $201) |
| WLR Recovery Associates IV DSS AIV, L.P. | ||
| UBS AG Deposit Account (cash) | $500,001 - $1,000,000 | None (or less than $201) |
| IRA - Roth | $5,001 - $15,000 | |
| Aperam NY Reg. | $100,001 - $250,000 | |
| ArcelorMittal SA NY Reg. | $250,001 - $500,000 | |
| U.S. brokerage/investment account (cash) | $100,001 - $250,000 | |
| UBS AG Deposit Account | $1,000,001 - $5,000,000 | |
| India Asset Recovery Associates LLC | $100,001 - $250,000 | $201 - $1,000 |
| India Asset Recovery GP Ltd. (Cayman) | ||
| India Asset Recovery Fund LP -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| India Asset Recovery Fund LP | ||
| India Asset Recovery Fund Limited | ||
| OCM India Limited (textiles) | ||
| Ross CG GP LLC | ||
| Ross CG Associates, LP | $1,000,001 - $5,000,000 | Over $5,000,000 |
| Taiyo Pearl GP, L.P. | ||
| Taiyo Pearl Delaware Fund, L.P. | ||
| Taiyo Pearl Master Fund, L.P. | ||
| Nifco Inc. (plastics) | ||
| J Trust Co. Ltd. (financial services; real estate) | ||
| Matsui Securities Co. Ltd. (financial services) | ||
| Topcon Corp. (positioning instruments) | ||
| Ulvac Inc. (machinery) | ||
| Disco Corp. (precision tools) | ||
| Horiba Ltd. (precision instruments) | ||
| Peptidream Inc. (pharmaceuticals, Japan) | ||
| Nissha Printing Co. Ltd. (Manufacturing, electronics, and medical devices, Japan) | ||
| Miraca Holdings Inc. (healthcare) | ||
| CyberAgent, Inc. (internet business) | ||
| Taiyo Pearl Fund, L.P. | ||
| Taiyo Pearl Master Fund, L.P. | ||
| Taiyo Pearl Fund, Ltd. | ||
| Taiyo Pearl Master Fund, L.P. | ||
| Taiyo Pearl Master Fund, L.P. | ||
| Ross CG Associates, LP - Carried Interest | $1,000,001 - $5,000,000 | None (or less than $201) |
| Ross CG Cypress Associates, LLC | $50,001 - $100,000 | $15,001 - $50,000 |
| Ross CG Cypress Associates, LP | ||
| Ross CG Cypress Associates, LP -- Carried Interest | $100,001 - $250,000 | None (or less than $201) |
| Ross CG Pearl Associates, LLC | ||
| Ross CG Pearl Associates, LP -- carried interest | $100,001 - $250,000 | None (or less than $201) |
| WL Ross GP LLC | ||
| Asia Recovery Associates L.P. -- Carried Interest | $1,000,001 - $5,000,000 | None (or less than $201) |
| Asia Recovery Associates L.P. | ||
| Asia Recovery Co-Invest Partners, L.P. | $1,001 - $15,000 | None (or less than $201) |
| Ohizumi Mfg Co Ltd. (electronics, Japan) (no longer held) | ||
| WLR Recovery Associates IV DSS AIV GP, Ltd. (Cayman) | ||
| WLR Recovery Associates IV DSS AIV, L.P. | $1,000,001 - $5,000,000 | None (or less than $201) |
| WLR Recovery Fund IV DSS AIV, L.P. | ||
| WLR Recovery Fund IV DSS AIV, L.P. -- Carried Interest | $1,000,001 - $5,000,000 | None (or less than $201) |
| Starboard WLR Associates L.P. | $5,000,001 - $25,000,000 | None (or less than $201) |
| Starboard Recovery Associates, L.P. | ||
| Ross Expansion GP, LLC | ||
| Ross Expansion FLP, LP -- carried interest | $5,000,001 - $25,000,000 | None (or less than $201) |
| Ross Expansion FLP, LP | $100,001 - $250,000 | None (or less than $201) |
| Ross Expansion Associates, L.P. | ||
| WLR Euro Wagon Management Limited (Jersey) | ||
| IPE Euro Wagon L.P. (Jersey) | ||
| Euro Wagon, LP | ||
| Euro Wagon II, LP | ||
| NKK Corporation | $1,000 | |
| Rothschild Profit Sharing Plan (underlying assets are not ascertainable) | $2,062 | |
| WLR Select Associates DSS GP Ltd. (Cayman) | ||
| WLR Select Associates DSS, L.P. | ||
| WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) | ||
| WLR Select Co-Investment, L.P. (Cayman) -- Carried Interest (value not readily ascertainable) | None (or less than $201) | |
| WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) | ||
| WLR Mezzanine Splitter, L.P. (Cayman) | ||
| WLR Cardinal Mezzanine Fund L.P. (Cayman) | ||
| WLR Select Co-Investment, L.P. (Cayman) | ||
| WLR IV VM II LLC | ||
| Navigator Holdings Ltd. (transoceanic shipping) | ||
| PB Materials Holdings Inc. (construction) | ||
| DSS Holdings, L.P. (shipping) | ||
| WLR Select Co-Investment Mezzanine AIV Blocker, L.P. (Cayman) | ||
| WLR Select Co-Investment Mezzanine AIV, L.P. (Cayman) (value not readily ascertainable) | ||
| WLR Nanotechnology GP LLC | $1,001 - $15,000 | None (or less than $201) |
| Masters Capital Nanotechnology Fund, LP. -- Carried Interest (not readily ascertainable) | None (or less than $201) | |
| Masters Capital Nanotechnology, LLC | ||
| Masters Capital Nanotechnology Fund, LP. | ||
| Daylight Solutions, Inc. | ||
| Nanosys, Inc. | ||
| WLR Nanotechnology LP LLC | $500,001 - $1,000,000 | None (or less than $201) |
| Masters Capital Nanotechnology Fund, LP. |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| U.S. Brokerage Account #1 | ||
| Cash | Over $50,000,000 | $5,001 - $15,000 |
| Pound Sterling (cash account in overseas JP Morgan account) | $100,001 - $250,000 | None (or less than $201) |
| U.S. Treasury 8.75% 5/15/17 912810-DY-1 NR/AAA | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| Bear Stearns Co. Inc. 6.4% Oct 2, 2017 DTD 10/02/2007 073902-PR-3 A1/A3 | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| Bear Stearns Co. Inc. 7 1/4% Feb 1, 2018 DTD 02/01/2008 073902-RU-4 A-/A3 | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| Anheuser Busch INBEV WOR 7 3/4% Jan 15, 2019 DTD 01/15/2011 03523-BE-7 A/NR | None (or less than $1,001) | $100,001 - $1,000,000 |
| Caterpillar Financial SE Medium Term Note 7.15% Feb 15, 2019 DTD 02/12/2009 14912L-4E-8 A/A2 | None (or less than $1,001) | $100,001 - $1,000,000 |
| Goldman Sachs Group Inc. SR Notes 7 1/2% Feb 15, 2019 DTD 02/15/2009 38141E-A2-5 A-/BAA | None (or less than $1,001) | $100,001 - $1,000,000 |
| MetLife Inc. Notes 7.717% Feb 15, 2019 DTD 02/15/2009 59156R-AT-5 A-/A3 | None (or less than $1,001) | $100,001 - $1,000,000 |
| Morgan Stanley 7.3% May 13, 2019 DTD 05/13/2009 61747Y-CG-8 A-/BAA | None (or less than $1,001) | $100,001 - $1,000,000 |
| Dow Chemicals Co., The Notes 8.55% May 15, 2019 DTD 05/13/2009 260543-BX-0 BBB/BAA | None (or less than $1,001) | $100,001 - $1,000,000 |
| Citigroup Inc. SR Notes 8 1/2% May 22, 2009 DTD 05/22/2009 172967-EV-9 A-/BAA | None (or less than $1,001) | $100,001 - $1,000,000 |
| Bank of America Corp SR Notes 7 5/8% Jun 01, 2019 DTD 06/02/2009 06051G-DZ-9 A- /BAA | None (or less than $1,001) | $100,001 - $1,000,000 |
| General Elec Cap Corp 6% Aug 07, 2019 DTD 08/07/2009 36962G-4D-3 AA+/A1 | None (or less than $1,001) | $100,001 - $1,000,000 |
| XTO Energy Corp 61/2% Dec 15, 2018 DTD 08/07/2008 98385X-AT-3 AAA/AAA | None (or less than $1,001) | $50,001 - $100,000 |
| U.S. Brokerage Account #2 | ||
| Cash account 1 | $250,001 - $500,000 | $201 - $1,000 |
| Cash account 2 | Over $50,000,000 | $15,001 - $50,000 |
| UBS Select Prime Institutional Fund | None (or less than $1,001) | $201 - $1,000 |
| Tennessee Gas Pipeline NTS B/E 8.000% Matures 02/01/2016 CUSIP 880451AY5 | None (or less than $1,001) | $100,001 - $1,000,000 |
| Metlife Inc NTS B/E 6.750% Matures 06/01/2016 CUSIP 59156RAU2 | None (or less than $1,001) | $50,001 - $100,000 |
| Natl Rural Util Coop Fin 10.375% Matures 11/01/2016 CUSIP 637432LR4 | None (or less than $1,001) | $100,001 - $1,000,000 |
| Baker Hughes Inc. NTS 7.500% Matures 11/15/2018 CUSIP 057224AY3 | None (or less than $1,001) | $50,001 - $100,000 |
| Goldman Sachs Group NTS 7.500% Matures 02/19/2019 CUSIP 38141EA25 | None (or less than $1,001) | $50,001 - $100,000 |
| Dow Chemical Co NTS 8.550% Matures 05/15/2019 CUSIP 260543BX0 | None (or less than $1,001) | $50,001 - $100,000 |
| Bank of Amer Corp NTS OBP B/E 7.625% Matures 06/01/2019 CUSIP 06051GDZ9 | None (or less than $1,001) | $100,001 - $1,000,000 |
| Republic of Korea NTS Foreign Security 7.125% Matures 04/16/2019 ISIN US50064FAJ30 | None (or less than $1,001) | $100,001 - $1,000,000 |
| UBS Select TX FR Capital | None (or less than $1,001) | None (or less than $201) |
| U.S. Brokerage Account #3 | ||
| Southwestern Public Service Co. NTS ISIN CUSIP 845743BM45 8.7500% Matures 12/01/2018 | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| Cash | $5,000,001 - $25,000,000 | None (or less than $201) |
| U.S. Brokerage Account #4 | ||
| Southwestern Public Service Co. NTS ISIN CUSIP 845743BM45 8.7500% Matures 12/01/2018 | None (or less than $1,001) | $1,000,001 - $5,000,000 |
| United States Treasury BDS 9.250% NTS ISIN CUSIP 912810DV7 Matures 02/15/2016 | None (or less than $1,001) | $1,000,001 - $5,000,000 |
| XTO Energy Inc. SR NTS 6.500% NTS ISIN CUSIP 98385XAT3 Matures 12/15/18 | None (or less than $1,001) | $100,001 - $1,000,000 |
| U.S. Brokerage Account #5 (cash) (Held as an account for the benefit of First Republic Bank) | $100,001 - $250,000 | $201 - $1,000 |
| U.S. Brokerage Account #6 (cash) | $1,000,001 - $5,000,000 | None (or less than $201) |
| U.S. Bank Account #1 (cash) | $500,001 - $1,000,000 | $2,501 - $5,000 |
| U.S. Money Market Account #1 (cash) | $50,001 - $100,000 | None (or less than $201) |
| U.S. Money Market Account #2 (cash) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| U.S. Brokerage Account #7 (cash) (No longer held, so value shown as zero) | None (or less than $1,001) | $1,001 - $2,500 |
| U.S. Brokerage Account #8 | ||
| Aperam NY Reg Shares (steel) | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Federated Govt Obl; II | $15,001 - $50,000 | None (or less than $201) |
| Arcelor Mittal SA | $500,001 - $1,000,000 | $50,001 - $100,000 |
| Nexeo Solutions stock | $25,000,001 - $50,000,000 | None (or less than $201) |
| Art Collection | Over $50,000,000 | None (or less than $201) |
| U.S. Brokerage Account #9 | ||
| Cash deposit account | $100,001 - $250,000 | None (or less than $201) |
| UBS Select Govt Capital | $250,001 - $500,000 | $201 - $1,000 |
| UBS Select Prime Capital | None (or less than $1,001) | $1,001 - $2,500 |
| U.S. Bank Account #2 (cash) | $100,001 - $250,000 | None (or less than $201) |
| Intercontinental Exchange, Inc. | $250,001 - $500,000 | $15,001 - $50,000 |
| YG Partners Fund, LP | $1,000,001 - $5,000,000 | None (or less than $201) |
| Formation8 Partners Entrepreneur Fund II | $50,001 - $100,000 | None (or less than $201) |
| Formation8 Partners Fund I | $500,001 - $1,000,000 | None (or less than $201) |
| 8 Partners VC Fund I, L.P. | $50,001 - $100,000 | None (or less than $201) |
| WLR Recovery Associates III LLC (Holdings previously disclosed in Part 2 line 10.11. Value is reflected of combined holdings of filer and spouse.) | $100,001 - $250,000 | $5,001 - $15,000 |
| WLR Recovery Associates II LLC (Assets previously disclosed at Part 2 line 10.10. Value is reflected of combined holdings of filer and spouse.) | $100,001 - $250,000 | $100,001 - $1,000,000 |
| U.S. Brokerage Account #10 | ||
| Spouse - Trust: Under Will No. 1 | ||
| Dreyfus Government Cash Mgmt Admin | $50,001 - $100,000 | None (or less than $201) |
| Amphenol Copr CL A | $100,001 - $250,000 | $1,001 - $2,500 |
| Boeing Co. | $100,001 - $250,000 | $15,001 - $50,000 |
| CDW Corp Com USD0.01 | $250,001 - $500,000 | $1,001 - $2,500 |
| CME Group Inc. | $100,001 - $250,000 | $2,501 - $5,000 |
| MSCI Inc Com | $100,001 - $250,000 | $1,001 - $2,500 |
| Neustar Inc. CL A | $100,001 - $250,000 | None (or less than $201) |
| SVB Finl Group | $50,001 - $100,000 | None (or less than $201) |
| Verisk Analytics Inc. Com | $100,001 - $250,000 | None (or less than $201) |
| Wex Inc Com | $100,001 - $250,000 | None (or less than $201) |
| Zoetis Inc Com USD0.01 CL A | $100,001 - $250,000 | $1,001 - $2,500 |
| SPDR S&P 500 ETF Trust Unit SER 1 S&P | Over $1,000,000 | $15,001 - $50,000 |
| Spouse - Trust: Under Agreement | ||
| Dreyfus Government Cash Mgmt Admin | $250,001 - $500,000 | None (or less than $201) |
| Boeing Co. | $250,001 - $500,000 | $5,001 - $15,000 |
| Chevron Corp New Com | $250,001 - $500,000 | $15,001 - $50,000 |
| CME Group Inc. | $500,001 - $1,000,000 | $5,001 - $15,000 |
| Merck & Co. Inc New Com | $100,001 - $250,000 | $5,001 - $15,000 |
| Moodys Corp | $250,001 - $500,000 | $5,001 - $15,000 |
| MSCI Inc Com | $100,001 - $250,000 | $2,501 - $5,000 |
| Neustar Inc CL A | $250,001 - $500,000 | None (or less than $201) |
| SVB Finl Group | $250,001 - $500,000 | None (or less than $201) |
| Verisk Analytics Inc Com | $250,001 - $500,000 | None (or less than $201) |
| Wex Inc Com | $250,001 - $500,000 | None (or less than $201) |
| Zoetis Inc Com USD0.01 CL A | $250,001 - $500,000 | $2,501 - $5,000 |
| SPDR S&P 500 ETF Trust Unit SER 1 S&P | Over $1,000,000 | $15,001 - $50,000 |
| Spouse - Trust: Under Will No. 2 | ||
| Fireeye Inc Com | $100,001 - $250,000 | None (or less than $201) |
| New Jersey St Tran Corp Grant Antic Ntw | $250,001 - $500,000 | $15,001 - $50,000 |
| El Paso Cnty Facs Corp Colo Ctfs Partn | $250,001 - $500,000 | $15,001 - $50,000 |
| North Tex Twy Auth Rev Ref Bds Ser | $250,001 - $500,000 | $15,001 - $50,000 |
| Leander Tx Indpt Sch Dist Ult Tax Ref | $250,001 - $500,000 | $5,001 - $15,000 |
| Illinois Fin Auth Rev Rev Bds Trinity | $100,001 - $250,000 | $5,001 - $15,000 |
| Atlanta Ga Dev Auth Rev Rev Bds Georgia | $250,001 - $500,000 | $5,001 - $15,000 |
| Gainesville & Hall Cnty Ga Hos P Auth | $100,001 - $250,000 | $5,001 - $15,000 |
| Chicago Ill Tran Auth Cap Grnt Rcpts | $250,001 - $500,000 | $15,001 - $50,000 |
| Fort Myers Fla Cap Impt Rev Cap Impt | $100,001 - $250,000 | $5,001 - $15,000 |
| New Jersey St Higher Ed Assistance Auth | $250,001 - $500,000 | $15,001 - $50,000 |
| Houston Tex Cmnty College Sys Rev | $250,001 - $500,000 | $15,001 - $50,000 |
| Key West Fla Util Brd Elec Rev Elec | $100,001 - $250,000 | $5,001 - $15,000 |
| Buffalo & Ft Erie N Y Pub Brog Auth Toll | $100,001 - $250,000 | $15,001 - $50,000 |
| Lee Cnty Fla Sch Brd Cifs Partn Cops | $250,001 - $500,000 | $15,001 - $50,000 |
| Texas St Pub Fin Auth Rev Financing | $250,001 - $500,000 | $15,001 - $50,000 |
| New Orleans La Go Ref Bds Ser 2015 | $250,001 - $500,000 | $5,001 - $15,000 |
| Reedy Creek Impt Dist Fla Ad Valorim | $250,001 - $500,000 | $15,001 - $50,000 |
| Northern Ind Commuter Transn Dist | $250,001 - $500,000 | $15,001 - $50,000 |
| Indiana St Fin Auth Wastewater Util Rev | $250,001 - $500,000 | $15,001 - $50,000 |
| Alamo Tex Cmnty College Dist Ltd Tax | $250,001 - $500,000 | $5,001 - $15,000 |
| New York Liberty Dev Corp Liberty Rev | $250,001 - $500,000 | $15,001 - $50,000 |
| HSBC Hldgs Plc Perp Sub Cap Secs Secs | $100,001 - $250,000 | $5,001 - $15,000 |
| State St Instl Liquid Resvs Fd Shs Ben Int | $100,001 - $250,000 | $201 - $1,000 |
| Birmingham Ala Go Refunding Warrants Series | $250,001 - $500,000 | $15,001 - $50,000 |
| New Prairie UTD Sch Bldg Corp. | $250,001 - $500,000 | $5,001 - $15,000 |
| Dreyfus Government Cash Mgmt Admin | $250,001 - $500,000 | None (or less than $201) |
| Amphenol Copr CL A | Over $1,000,000 | $15,001 - $50,000 |
| Apple Inc. | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Atara Biotherapeutics Inc Com | $100,001 - $250,000 | None (or less than $201) |
| Boeing Co. | Over $1,000,000 | $50,001 - $100,000 |
| CDW Corp Com USD0.01 | Over $1,000,000 | $15,001 - $50,000 |
| CME Group Inc. | Over $1,000,000 | $100,001 - $1,000,000 |
| Moodys Corp | Over $1,000,000 | $50,001 - $100,000 |
| MSCI Inc Com | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Neustar Inc CL A | $500,001 - $1,000,000 | None (or less than $201) |
| SVB Finl Group | Over $1,000,000 | None (or less than $201) |
| Verisk Analytics Inc Com | Over $1,000,000 | None (or less than $201) |
| Wex Inc Com | Over $1,000,000 | None (or less than $201) |
| Zoetis Inc Com USD0.01 CL A | Over $1,000,000 | $15,001 - $50,000 |
| Citigroup Inc Bond Perpetual 6.25000% | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Edinburg Tex Cons Indpt Sch Dist Ultd | $250,001 - $500,000 | $15,001 - $50,000 |
| Houston Tex Hotel Occupancy Tax & SPL | $100,001 - $250,000 | $15,001 - $50,000 |
| Atlanta GA Dev Auth Rev Rev 8DS Georgia | $100,001 - $250,000 | $15,001 - $50,000 |
| Wyanootee Cnty Kans City Kans Uni Govt | $250,001 - $500,000 | $15,001 - $50,000 |
| North Tex Twy Auth Rev Ref Bds Ser. A | $100,001 - $250,000 | $5,001 - $15,000 |
| Greenville Tex 8 0 Ref Bos Ser. 2008 | $100,001 - $250,000 | $15,001 - $50,000 |
| Houston Tex Cmmty College Sys Rev | $100,001 - $250,000 | $5,001 - $15,000 |
| Key West FLA Util Brd Elec Rev Elec | $100,001 - $250,000 | $5,001 - $15,000 |
| New Jersey St Higher Ed Assistance Auth Ref BDS 1A | $100,001 - $250,000 | $5,001 - $15,000 |
| Kansas City Mo Spl Oblig Spl Dblig Sds | $100,001 - $250,000 | $5,001 - $15,000 |
| Pennsylvania St Tpk Commn TpkRev Rev | $100,001 - $250,000 | $5,001 - $15,000 |
| Indiana St Fin Auth Wastewaster Util Rev | $100,001 - $250,000 | $5,001 - $15,000 |
| St Charles Cnty Mo Pub Wtr Supply Dist | $100,001 - $250,000 | $5,001 - $15,000 |
| Michigan Fin Auth Rev Rev Ref | $250,001 - $500,000 | None (or less than $201) |
| Cumulus Media Inc-CL A | None (or less than $1,001) | None (or less than $201) |
| United Parcel SVC Inc CL B | None (or less than $1,001) | $100,001 - $1,000,000 |
| Port Seattle Wash Rev. | None (or less than $1,001) | $15,001 - $50,000 |
| Miami-Dade Cnty Fla Sch Brd | None (or less than $1,001) | $5,001 - $15,000 |
| Chicago Ill Tran Auth Sales | None (or less than $1,001) | $5,001 - $15,000 |
| New Jersey St Higher Ed Assistance Auth | None (or less than $1,001) | $15,001 - $50,000 |
| State St Instl Liquid Resvs FD SHS Ben Int | None (or less than $1,001) | $5,001 - $15,000 |
| Colorado Health Facs Auth Rev Catholic Health- Ser A | None (or less than $1,001) | $15,001 - $50,000 |
| Marysville Ohio Wastewater Tre Ref | None (or less than $1,001) | $5,001 - $15,000 |
| Redford Brownfield Charter Twp Tax Increment Bds Series | None (or less than $1,001) | $5,001 - $15,000 |
| 8VC Angel Fund I, L.P. | $15,001 - $50,000 | None (or less than $201) |
| Ross FOF, LLC (Value is based on 2014 K-1. A 2015 K-1 was not available. Income is through 12/31/15.) | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| Pan Multi Strategy, L.P. | ||
| AmeriGas Partners, L.P. (liquefied natural gas distribution) | ||
| Buckeye Partners, L.P. | ||
| Kinder Morgan Energy Partners, L.P. | ||
| Plains All American Pipeline, L.P. | ||
| Rhino Energy Holdings, LLC (coal mining) | ||
| Pipeline Partners, L.P. (energy distribution) | ||
| Magellan Midstream Partners, L.P. | ||
| U.S. Brokerage Account #11 | ||
| U.S. Deposit Account (cash) | $100,001 - $250,000 | None (or less than $201) |
| UBS AG Deposit Account (cash) | Over $50,000,000 | $1,001 - $2,500 |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| Invesco, Ltd. | Atlanta, Georgia | I received restricted shares of stock as part of my compensation at Invesco. Generally, those restricted shares vest in equal tranches over a four-year period after the date on which they were granted, but Invesco has a policy of vesting all outstanding unvested shares upon a friendly termination. My termination is considered friendly, so my outstanding unvested shares will vest once I resign from Invesco. | Feb. 15, 2013 |
| WLR Recovery Associates II, LLC | New York, New York | I am Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | March 16, 2002 |
| WLR Recovery Associates III, LLC | New York, New York | WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Aug. 16, 2005 |
| WLR Recovery Associates IV, LLC | New York, New York | WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Nov. 15, 2007 |
| Exco Resources, Inc. | Dallas, Texas | Restricted stock arrangement for Directors in which restricted shares vest on the one-year anniversary after the date on which they were granted. Approximately half of my outstanding unvested Exco shares vested in late December 2016 and the rest will vest at the end of 2017. | Dec. 16, 2015 |
| WLR Recovery Associates V, LLC | New York, New York | WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Feb. 15, 2011 |
| Starboard GP Ltd. | New York, New York | I serve as Director of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Oct. 16, 2013 |
| WLR Select Associates LLC | New York, New York | WL Ross Group serves as Managing Member of this entity, which serves as General Partner of an underlying fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Dec. 16, 2010 |
| WLR/IVZ Mortgage Recovery Associates LLC | New York, New York | WL Ross Group LP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Oct. 16, 2009 |
| WLR Mezzanine Associates, LLC | New York, New York | WL Ross Group serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | May 16, 2015 |
| India Asset Recovery Associates LLC | New York, New York | I serve as the managing member of this entity, which holds an interest in India Asset Recovery GP, Ltd. That entity holds a carried interest in the India Asset Recovery Fund as its general partner. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Feb. 15, 2006 |
| Asia Recovery Associates, L.P. | New York, New York | WL Ross Group LP serves as sole member of WL Ross GP LLC, which serves as General Partner of Asia Recovery Associates LP. The General Partner is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | April 16, 2005 |
| WLR China Energy Infrastructure Fund, L.P. | New York, New York | WL Ross Group LP is a shareholder in WL Ross Group (Cayman) Ltd, which indirectly holds an interest in the general partner of WLR China Energy Infrastructure Fund, L.P.. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Feb. 15, 2008 |
| WLR Conduit MM LLC | New York, New York | I have different arrangements for the various underlying assets. For the Shellpoint investment, I receive an 8% preferential return, plus a 10% carried interest. For the Subsequent Platform Company asset, I receive s 20% carried interest. For the energy bonds, I receive an index amount, plus a 15% carried interest. | Jan. 16, 2010 |
| Rothschild Profit Sharing Plan (Month is not ascertainable.) | New York, New York | I receive approximately $1,000 per year in distributions from this plan. Within 90 days of confirmation, I will irrevocably assign the rights to these payments to a public charity prior to my assuming the duties of the position of Secretary. | |
| Ross CG Associates, LP | New York, New York | Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | March 16, 2005 |
| Ross CG Cypress Associates, LP | New York, New York | Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | April 16, 2008 |
| Ross CG Pearl Associates, LP | New York, New York | Ross CG GP LLC serves as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Aug. 16, 2007 |
| Ross Expansion FLP L.P. | New York, New York | I serve as General Partner of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Dec. 16, 2005 |
| WLR Nanotechnology GP LLC | New York, New York | I serve as Managing Member of this entity, which in turn serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Jan. 16, 2006 |
| WLR Recovery Associates LLC | New York, New York | WL Ross Group LLP serves as Managing Member of this entity, which serves as General Partner ("GP") of various underlying funds. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Oct. 16, 1997 |
| WLR Recovery Associates IV DSS LP (Cayman) | , Outside U.S. | I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Nov. 15, 2011 |
| WLR Recovery Associates V DSS LP (Cayman) | , Outside U.S. | I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Feb. 15, 2011 |
| WLR Select Associates DSS, L.P. (Cayman) | , Outside U.S. | I am a shareholder in the General Partner of this entity, which in turn serves as a General Partner of a fund. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | Dec. 16, 2010 |
| WLR Master Co-Investment SLP GP Ltd. (Cayman) | , Outside U.S. | This entity is the General Partner of a partnership holding a carried interest in the WLR/GS Master Co- Investment L.P. fund. | Aug. 16, 2011 |
| Invesco, Ltd. | Atlanta, Georgia | I will receive a discretionary performance-based bonus for services rendered in 2016. This bonus will be paid prior to my assuming the duties of the position of Secretary. | Oct. 16, 2006 |
| Invesco Ltd. | Atlanta, Georgia | I participate in Invesco's 401k plan. I will cash out of this plan within 90 days of my confirmation. | Oct. 16, 2006 |
| Invesco Mortgage Recovery Master Associates II | New York, New York | I serve as the managing member of WLR IMRF II Associates LLC, which invests in Invesco Mortgage Recovery Associates II LLC. Invesco Mortgage Recovery Associates II LLC serves as General Partner ("GP") of Invesco Mortgage Recovery Fund II, L.P. and Invesco Mortgage Recovery Fund II Co-Invest ITAL, L.P. The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | April 16, 2016 |
| WLR Master Co-Investment SLP Associates, L.P. (Cayman) | , Outside U.S. | WL Ross Group LP is an investor in WLR Master Co- Investment SLP Associates, L.P. (Cayman), which is the general partner of WLR/GS Master Co-Investment L.P. (Cayman). The GP is entitled to a carried interest. After investors recoup their principal plus an 8% return, the General Partner receives 2% as a carried interest. Any profit above that is divided 80% to investors, 20% to the General Partner. | April 16, 2011 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| JP Morgan | Guarantee of Loan to Social Club | $500,001 - $1,000,000 | N/A | 2016 |
| Formation8 Partners Entrepreneurs Fund II | Capital Commitment | $15,001 - $50,000 | N/A | 2014 |
| 8VC Angel Fund I, L.P. | Capital Commitment | $15,001 - $50,000 | N/A | 2016 |
| India Asset Recovery Associates LLC | Capital commitment | $1,000,001 - $5,000,000 | N/A | 2006 |
| Starboard GP LTD | Capital Commitment | $10,001 - $15,000 | N/A | 2013 |
| Starboard WLR Associates, L.P. | Capital Commitment | $1,000,001 - $5,000,000 | N/A | 2013 |
| WLR Conduit MM LLC | Capital Commitment | $500,001 - $1,000,000 | N/A | 2013 |
| WLR Mezzanine Associates LLC | Capital Commitment | $100,001 - $250,000 | N/A | 2015 |
| WLR Nanotechnology | Capital Commitment | $500,001 - $1,000,000 | N/A | 2007 |
| WLR Recovery Associates IV LLC | Capital Commitment | $5,000,001 - $25,000,000 | N/A | 2007 |
| WLR Recovery Associates V LLC | Capital Commitment | $1,000,001 - $5,000,000 | N/A | 2010 |
| WLR/IVZ Mortgage Recovery Associates LLC | Capital Commitment | $250,001 - $500,000 | N/A | 2009 |
| IMRF II Associates LLC | Capital Commitment | $250,001 - $500,000 | N/A | 2016 |
Spouse's Employment Assets
| Description | Value | Income Type | Income Amount |
|---|---|---|---|
| Powerhouse Cultural Entertainment (value not readily ascertainable) | Rent or Royalties | $1,001 - $2,500 | |
| Dreyfus Government Cash Mgmt Admin | Over $1,000,000 | None (or less than $201) | |
| Amphenol Corp CL A | $250,001 - $500,000 | Dividends | $2,501 - $5,000 |
| Atara Biotherapeutics Inc Com | $15,001 - $50,000 | None (or less than $201) | |
| Boeing Co. | $250,001 - $500,000 | Dividends | $5,001 - $15,000 |
| CDW Corp Com USD0.01 | $250,001 - $500,000 | Dividends | $2,501 - $5,000 |
| CME Group Inc. | $250,001 - $500,000 | Dividends | $5,001 - $15,000 |
| Moodys Corp | $250,001 - $500,000 | Dividends | $5,001 - $15,000 |
| MSCI Inc Com (Value and income are fully attributable to interests in W.L. Ross Group, L.P.) | $250,001 - $500,000 | Dividends | $2,501 - $5,000 |
| Neustar Inc. CL A (The value and income are fully attributable at lower tiers.) | $100,001 - $250,000 | None (or less than $201) | |
| SVB Finl Group | $250,001 - $500,000 | None (or less than $201) | |
| Verisk Analytics Inc. Com (Value represents capital account.) | $250,001 - $500,000 | None (or less than $201) | |
| Wex Inc Com (Value reflects capital account.) | $250,001 - $500,000 | None (or less than $201) | |
| Zoetis Inc Com USD0.01 CL A | $250,001 - $500,000 | Dividends | $1,001 - $2,500 |
| HSBC HLDGS PLC PERP SUB CAP SECS | $250,001 - $500,000 | Dividends | $15,001 - $50,000 |
| Wells Fargo & Co New Dep SHS REPSTG (Value reflects capital account.) | $100,001 - $250,000 | Dividends | $5,001 - $15,000 |
Do you know something about Wilbur L. Ross? Send us an email at [email protected] or send a Signal message to 347-244-2134.
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