Kimba M Wood Financial Disclosure Report for 2009

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. 4 0 J o [ FINANCIAL DISCLOSURE REPORTm Government Act ~ 1978

R ~ v ~ / 2o ~ o [ FOR CALENDAR YEAR 2009

I. Porson R eporting (last name first, nnddle initial) 2, Court or Organ ization 3. Dale of Report

WOOD KIIVlBA M U S O~strtct Court. SDNY 5el I,’2010

4 1 ~th. ( ~mcl~ Ill jttd~¢~ indicate acuv¢ t)[ ~emor ~tatu~ 5a. Report Type (check appropriate type) 6. Reporoog Periodtxlagl~lrate judge~ indicate full- or paO-umu}

~ Nomination Dale 0 h(}1/2009

US Dt~trlctJudgc(scmor)~ In,teal ~ Annual ~ Final

to

12/3 I;2009

5b. ~ Amended Repo~

7. (’bombers or Office Addr~t 8. On the blsi* of the information contained in thi* Rep ort and anymodificallon~ pertaining lhereto, it h, iu my opinion, m co mphance

500 Pearl Street with applicab~ laws and regulations.

New York. N Y 10007

Revie~ mg Officer Date

IMPO RTANT NOTE S: The in*tractions accompanying tht¢ form ma st be followed. Complete all parts,

checking the NON E box for each port where you have no reportable infi~rmation, Sign on lost page.

!. POSITIONS. ts,a,,,,,,,g

[~ N O N E (No reportable posttions )

POSITIO N NAM E O F OR GANIZAT IO N/ENT IT Y

~ Board Member Ne’,~, York City B allet, lnc

2 Board Member CEEL I Institute

1 ! . A G R E E M E N T S . ts.,m,i.~ ,,,~.,io.ot..o,; ,eepp. 14-16of filing m,tractions.)

~ ] NO NE (No reportable agreements )

DATE PARTIES AND TERMS



FI NANC IAL DISCLOSURE REPOR Tw o o D , r u M B Aage 2 of 6

I t~/~ ~/201o

11 I. N ON-! NVESTM ENT INCOME. m~po.l.g i.di,,,,t..t aria

A. Flier’s Non-lnvesZment Income

NONE (No reportable non-investment income,)

DATF_ SOURCE AND TYPE INCOME{yours, not spouse’s)

2

3

4

B . S p o u s e ’s N o n - I n v es t m e n t I n c o m e - t f ~ ,ou wcre ma rried durlng any porl lon o.[ the report ing year, complet¢ lhis

D A T E SOURCE AND TYPE

2 0 0 0 ( ValTJ.oLl~ ) Rockefeller Brothers Fund - Committee Fees

2009 (V~K’,J.OLI~) Some Corp - various Board & Commit|ee Fees

2009 ( Vi~ ’~.OH.~ ) Harding Services, Vcstar, Irving Place Capital - Fee Income

2 0 0 9 (Vi~K" J.OU~ ) SourcCapital Ltd. - Fee Income

I V . R E 1 M B U R S E M E N T S - - ,. ,, ,, ~ ,, ,. ,~ , . .. .. t o u ~ . i . ~ , . t ,, o ~ , ~ . , ¢ . , . i . . .. ¯

NON[:. (No reportohle reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2

4



P a g e F I N A N C 1 A I ’ 3 o f 6 D I S C L O S U R E R E P O R T . , ~ ,, , ~ , . r ~ ’ e r s o , , a e ~ r t ,, ~ W O O i ) , KIM BA M , [ I~, le ol" R~po.rl5/I 1/2010

V . G I F T S . (Inct, des those to spouse and dependent ch¢ldren; see pp . 2~-31 of fili~g instruction,t)

N O N E (No reportable gi .~s.)

~OURCE DESCRIPTION V A L U E

4

5

~_~ NONE (No reportable liahtlittes.)

CREDITOR DESCRIP [’ION VALUE CODE

1 Goldman. Sachs Margin Account none

2 CR~bank Line of Credil PI

3 Cmbank Line of Creditnone

4 C ~ t ~ b s n k L i n e o f C r ~ d l t~one

5 I : N M , I n c E s c r o w A c c o u n l K

( mbank Rental Prope~y Mortgage N

S Amct*can Express Crcdtt Card J

I0



¯FINANCIAL DISCLOSURE REPO RT ~ . . ,e o r r . ,o . R ~ p o ~ i .~

Page 4 of 6 wooo, KIMBA M .

~

5/I 1/2010

N O N E ( b % reportable income, assets, or transactions.)

i Dcscrtptmn of Asse~ ~ Income dunng ] Gross valu~ at end Imnsacuons during reporting ~nod

0n~tudmg trust ~cls) : reining ~ri~ ~ of~ortin$ ~ri~

(l~!1 2 ) ~ ~l) [ {2) (I)

; Pla~c ",X)" aft ..... a~,c, IA .... t T,~(c g. Vaiuc Valuc ~

T.c(cg.. [Date Va,ue ~ Ga,n Idcnt,ty of

exempt from poor dlsclosur?C~c I[ dt~. rent. C~c 2[ Method t boy. scll.

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FINANCIAL DISCLOSURE REPORT N a m e a f P er , o n R e p o r t in g D a l e a f R c p o r z

Page S of 6 WOOD, KIMBA M. 5/I 1 / 2 0 1 0

VIII . ADDITIONAL INFORMATION OR EXPLANATIONS. a ,~ . , , , . , , , z~ ,~o~

See attached



Kimba M. W ood - May, 2010(Page 1 of 4)

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

NOTE 1If there was either a partial withdrawal or no withdrawal from this S corporation or

partnership during the reporting year, all K-I activity (interest, dividends, capital gains,ordinary income, etc.) was netted together, and, if that net figure was larger than the

required income threshold, it was included in Column B.(1) with Column B.(2) noting

"K-1 DISTR" (K-1 Distribution). If the K-1 activity netted to a loss, then Column B.(1)

was left blank and "NONE" was included in Column B.(2).

If the S Corporation or partnership interest was either sold or fully withdrawn from

during the reporting year, the capital gain amount is included in Column D along with

other transaction details. The remaining K-1 figures were netted together, and if largerthan the required income threshold, included in Column B.(1) with Column B.(2) noting

’~K-I DISTR’.

Both of the above approaches w ere obtained from Mr. George R eynolds , FinancialDisclosure Examiner.

NO T E 2For put options that were sold short and then expired, the gain is included on the"EXPIRED" line because that was when the gain was realized. Since the option was sold

short, though, the value was recorded at the time of sale and included on the "SOLDSHORT" line. Therefore, there is no value code listed on the "EXPIRED" line. For

puts/calls that expired, there is no value code listed in Column D.(3) because the warrants~,,ere worthless.

NOTE 3This LLC’s only asset was an office building. The building was sold in 2009 and thefunds were distributed to the limited partners. The company issued ils final K-1 in 2009.

Hence, there is no value code listed in Column C.(1).

NOTE 4This asset had rio value on the b ooks as of the end o f the year. Therefore, there is novalue code reported in Column C.(I). l lowever, lhe K-1 reported income over thethreshold level so the asset is reportable.

NOTE 5There arc many investments in non-public companies. The estimated market values usedtbr all such investments, unless otherwise noted, are based upon the current knowledge of

the worlh of such companies, discussions with the companies’ management and company

issued reports.




NO T E 6Either the Ending Capital Account value from the entity’s 2009 K-1, or an estimate of the

same, was used to determine i ts year-end value code for Colum n C.(1).

NO T E 7For those entities which issued K-Is, if the K-I netted to a loss but there was anothersource of income from the entity, the source of the other income is listed instead of

"NONE". If there was K-I income and an additional source of income, both amountswere summed to determine the code for Column B.(I) and both types of income are noted

in Column B.(2).

NO T E 8

Although there is an investment in this company, it is considered worthless. Therefore,there is no year-end value code reported in Column C.(I). However, since it is a Sentinel

Capital portfolio company, it is deemed reportable. See Note 17 for more information.

NO T E 9There is a limited partnership interest in this entity. Since neither the filer nor her spousecan "direct, influence or in any other manner affect the purchase, exchange, sale or

disposition of the entity or property owned by the entity", Financial Disclosure F ilingInstructions, page 35. the assets held by the partnership are not reportable.

If the partnership had a capital call for an investment in a specific company,

"ADDITIONAL INVESTMENT" is noted in Column D.(I). The name of the underlying

company is not listed. Further, if the partnership either returned capital or sold one of itsinvestments and returned funds to the reporting.~ "DISTRIBUTION" is listed inColumn D.(I). Neither the name of the underlying company nor the gain amotmt is

listed.

The entity’s K-I is considered the source document for all income from this investment

(including capital gains/losses). All K-1 activity was netted together and if greater than

the required income threshold, included in Column B.(I) with Column B.(2) noting "K-I

DISTR". lfthe K-I activity netted to a loss, then Column B.(1) was left blank and

"NONE" ~vas included in Column B.(2).

NOTE 10

There are several Vestar and Sentinel Partnerships (See Lines 621-624 and 655-658 inSection VI1). The porttblio companies they own are all listed separately on this report

because the flier’s spouse "can direct, influence or in any other manner affect the

purchase, exchange, sale or disposition of the entity or property owned by the entity,"Financial Disclosure F iling Instructions, page 35.



Kimba M. W ood - May, 2010Page (3 of 4)

In Vestar III, IV and V and Sentinel II, III and IV, there is both a limited partner (LP) andgeneral partner (GP) interest (each interest is housed in a different partnership). For

purposes of this report, the K-I information for the LP/GP interests of each Fund is

combined and included on one line. This approach matches the way the Funds’ portfoliocompanies are included on this report (the GP/LP interests are both included when

determining the value code for Column C.(I)). For Vestar I1, Vestar Equity Partners II

filed its final K-I in 2006 and Vestar Associates 11 filed its final K-1 in 2008. Therefore,Vestar II is no longer reportable. For Sentinel Capital Partners I, the 2008 K-Is werefinal. Theretbre, Sentinel I is no longer reportable.

Each year, there is a K-1 from each of the partnerships. The K-Is summarize all of the

ordinary income (loss), portfolio income, capital gains/losses, etc., for all of the

underlying companies. To avoid double counting, if an underlying company was sold,the capital gain/loss is included on the line where the actual company is listed and isexcluded from the K-1 income reported in Column B.(1) for each of the partnerships.

The remaining K-1 items were netted together. If the net amount was larger than the

required income threshold, that amount ~vas included in Column B.(1) with Column B.(2)noting "’K-i DISTR". If the K-1 activity netted to a loss, then "~NONE" is included inColumn B.(2). As a result, since all K-I activity is accounled for at the partnership level,the underlying companies which are listed separately do not show any income in Column

t3.(1) (unless there is an item that is not included on the K-1).

Of the Vestar Funds and the Sentinel Funds, only Vestar IV had a v alue on the books as

of the end of 2009. Theretbre, there is no market value reported in Column C.(1) tbr anyof the other funds. Because the Partnerships’ portfolio companies are listed separately on

this report, the partnerships themselves oftentimes show no market value.

NOTE 11Sentinel Capital Partners IV started purchasing portfolio companies in 2009. All suchcompanies are listed separately on this report. See Note 10 for additional intbrmation.

NOTE 12’fhis company was either written off or sold in a prior year. Theretbre, there is no yearend value reported in Column C.(I ).

NOTE 13The flier’s ]is the sole shareholder of this S corporation. The company’s assets are

limited to office furniture, office equipment, a checking account, a money market account

and two limilcd partnership interests in Cosmos and Hawk which are listed separately on

this report (Sec Lines 596 an d 722 in Section VII). The v alue used to determine the year-end valuation code was the checking/money market account balances plus the office

furniture/equipment balance (less accumulated depreciation).




N O TE 14This company’s 2009 K-1 was not received by the May 15, 2010 Disclosure Report filingdeadline. Therefore, the company’s income has been estimated. Once the actual K-I is

received, if the income code based on the actual K-I differs from the code reported in this

report, a letter explaining the difference will be filed with the Committee.

NOTE 15

This investment is made through either a Vestar or a Sentinel partnership (See Lines 621-

624 and 655-658 in Section VII). Since the filer s ~ can "direct, influence or in anyother manner affect the purchase, exchange, sale or disposition of the entity or property

owned by the entity", Financial D isclosure Filing Instructions, page 35, the partnership’sassets must be listed separately on this report. As a result, this company is reportable.

All transactions (investments, sales and related gain/(loss), distributions, etc.) are

reported for the company. Any K-1 income (excluding gain!(Ioss) on sales) attributable

to the company, however, is included in the partnership’s line. If income was received

separate from the K-l, it is recorded on the portfolio company’s line in Column B. See

Note I0 for more information.

NOTE 16

Funds for this investment were wire transferred on 12/23/09. However, the investment

was not accepted into the LP until 1/1/2010. Therefore, thc cost of the investment was

used as the market value of the investment as of year-end. There was no K-I issued for

2009.

NOTE 17

This was a money market/cash account attached to an investment account. The money

market was redeemed and closed on December 16. The investment is listed separately on

this report (See I,ine 680 in Section VII). Neither the income nor the cash balance at

year-end met the threshold for reporting. However, since the cash account is associated

with a reportable investment, the account is deemed reportable.



FINANCIAL DISCLOSURE REPORT [,~ameoteer~onRepo.Jng

I Iage 6 of 6

[ WOOB, KIMBA M.

5/I 1/2010

IX. CERTIFICATION,

I certif) that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and heliel’, and that any information not reported was withheld because it met applicable st~ttutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in¢~mpliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U .S.C. § 7353, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUAL WIIO KNOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE TitlS REPORT MAY BE SU BJECT TO CIVIL-~.ND CRIMINA l. SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mad signed original and 3 additional cop ies to:

Committee on Financml DisclosureAdministrative Office of the U nited States CourtsState 2-30 IOne Co lumbus C~rcle, N.E.W ash~nglon. D.C. 20544

Documents

Kimba M Wood Financial Disclosure Report for 2009