Romney personal finance disclosure

FEDERAL ELECTION COMMISSION WASHINGTON, D.C. 20463

Don W. Fox Acting Director Office of Government Ethics 1201 New York Avenue, N.W. Suite 500 Washington, D.C. 20005

Dear Mr. Fox:

September 6, 2011

Enclosed are copies of the initial financial disclosure reports filed by 2012 Presidential candidates Newton L. Gingrich, Timothy J. Pawlenty, and W. Mitt Romney pursuant to the Ethics in Government Act of 1978, as amended. These reports have been reviewed by this office for apparent compliance with the Federal Election Campaign Act of 1971, as amended. We understand that final review will be undertaken by your office.

If you have any questions or need additional information, please contact Kate Higginbotham, Acting Deputy Ethics Official, at (202) 694-1594.

Enclosure

a ence vert, r. Ass . ciate General Counsel for General Law & Advice

Designated Agency Ethics Official

oGEForm278(Rev.o9/2oJo) Executive Branch Personnel PUBLIC FINANCIAL DISCLOSURE REPORT Form Approved.:: OMB No. 3209 - 0001 5 C.F.R. Part 2634

U.S. Office ofGove=ent Ethics

Dateot'Appointnient,Candidacy,Ele<."tion, Reporting lrncumbent Calendar Year !New Entrant, IT_ermination Termin .. (JfAppli- Fee for Late Filing orNomination(Montb.Da•·. rear) status . D Covered by Report N?mi?ee, or G F!ler 0 rble)(.1onr:h,Da_ .Yeal Any individual who is required to file

_(OleckAppropnate I I Candidate this report and does so more than 30 days 1 Boxes) af-rer the date the report is required to be Reporting Individual's Name

Position for Which

Last Name 1 First Name and Middle Initial filed, or, if an extension is granted, more

Romney .W. Mitt than 30 days after the last day of the filing extension period, shall be subject

_ to a $200 fee. Title of Position Department or Agency (l'f Applicable)

Reporting Periods 1 Incumbents: The reporting period is

I Location of Address (Number, Street, City, Stare, and ZiP Code) No. c:or}_e_}.

Candidate for President N/A Filing

Present Office 585 Commercial Street Boston MA 021 09 857-288-3553 where you must also indude the filing L (or forwarding address) ' ' year up to the date you file. Part II of

Position(s) Held with the Federal Government: During the Preceding 12 Months (If Not Same as Above)

Position(s) and Date(s) Held Schedule Dis not applicable.

N/A Termination Filers: The reporting period begins at the end of the period covered by your previous filing and ends

1 -.. at the date of termination. Part II of I _ _ . f Name of Congressional Committee Considering Nomination I Do You Intend to Create a Q!.J.a!ified Diversified Trust? ScheduleD is not applicable.

Presldenttal Nomtnees SubJeCt r -. ·.·,. :.··: . . .. .. . I . to Senate Confirmation N.o! App' licable 0 Yes 0 No N i N E d 1 · · .. · · ... · · · om nees, ew ntrants an

1 for President and Certlflcatlon I Signature of Reporting I Date (Month, Day, Year) Vlce President:

ICERTIFYthatthestatements'!have Schedule A-The reporting period madeonthisform and all attached r August 12, 2011 for income (BLOCK C) is the preceding schedulesaretrue,completeandcorre<.1. - .A/ calendar year and rhe current calendar tothebestofmyknowledge. ,.. /'/ year up to the date of :flling. Value assets

Other Review (If desired by

agency)

Sl f Orh R • · Date {1'-'!onrh. Dav Year) as of any date you choose that iS within gnature o er ev,ewer · - ' 31 days of the date of filing.

Schedule B-Not applicable.

Schedule C, Part I (Uabilities)-The AgencyEthlcsOfflclal'sOplnlon Official Date (Month, Day, Year) reporting period is the preceding calendar

. . . . . . year and the current calendar year up to any date vou choose that is v.i.thin 31 days

teport,Ioonclude1hatthefiler1Smoomp!ianc;o-- !/ f • fi · ,.-;th applicabl•_. Jaws and re&Wations (subj.·¢. ro / . \ &; . // J o the date of ilmg. anycommemsmtheboxbelow)._ / . . '3D/ , (/"' I Signature. l -- -/ - 7 I Dati (Month, 'i5ay, Year) I Schedule C, Part II (Agreement.s or Office of Government Ethics- /- Arrangements)-Show any agreements or

Use Only arrangements as of the dare of filing.

ScheduleD--The reporting period is the preceding two calendar years and the current calendar year up to the date

Comments of Reviewing Officials (Jf additional space is required, use che reverse side of this sbeet)

Supersedes SF 278 Editions.

(Check box if Iliing extension granted & indiaue number of days '1' 0 ) B' -, ·.:· ,., -\j fl q ') I .. J ,)[ .J •• V

Jn :!"J-1.::10 ' " \.J .,.' ! '1 • .. t ·- u _J ._; ..J Reviewed for Apparent Compliance with the Federal Election Campaign Act ry tl :s Hd z 1 uoz (Check box if comments are continued on th(." reverse side) D

l. r'l I .,

. . IJ 'J t \1 u i ..... _; i i-··.j '"· -u : ViLIU:?.:.i r ,· •• ·,'

off'l.ling.

Agency Use Only

OGE Use Only

R. .. '(Kirlilll! Page Number W. Min Romney SCHEDULE A (W.Min & Ann Romney•( 1 of 11

Valuation of Assets Income Type and Amount If "None (or Jess than S201)" is checked, no Assets and lntome at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC Trpe Amount

0 0 0 "' 0 0 o. 0 0 0 c 0

0 0 o. 0 &! "' 0 0 Date "" .. 0 0 0 0 o. 0 0 0 Other Income c 0 0 0 0 0 0 0 ii a 0 0 0 (Mo., Day. Yr.) .. g 0 0 0 0 * 0 o. 0 0 ..c 0 0 o" * 0 (Specify Type !5 0 0 g" 0 0 o. "' "' 0 .E 11 1- 0 0 0 0 0 0 0 0 o. 0 o. g ::4 l;;J .. o. rl ] 0 0 0 0 0 o. 0 .,; 0 & Actual 0 0 l;;J "' ;;;; 0 1 "' 0 0 0 0 0 ;;;; 0 .. o. Only if Honoraria ::4 ;;;; "" g 0 0 ;> c 0 "' ::4 ;;;; 0 0 -' c 1- ·;;; 0 N" g 0 0 Amount) "" 5- 0 0 0 o.- 0 ...r "" ., ..,

' 0 8 ' ' - 0 0 ] l "' 0:: 0 0 - 0 0 0 0 .. c "" 0 0 ;;;; 0 "' 0 0 0 - 0 0 "' 0 0 0 "' "' .. "1! I :! 0 0 0 0 0 ..

" o. d- g .. 00 0 0 8 "' " 0 0 0 ll 0 = o. "' "' 0 0 .,; ·s: c 0 0 .,.. 0 .,; 0 0 5- !! 0 "' - "' "' .,; "' l( = l5 0 "' N" .,; "' ;;;; ;> :z .. ;;;; ...... "" ., ;;;; ... "" tLl 0' :z "" ;;;; "' ... ;;;; "" 0 "' 0

B OF A CASH ACCOUNTS X X X

NO APOLOGY: THE CASE FOR AMERICAN GREATNESS, ST. I MARTIN'S PRESS. VAWE NOT ASCERTAINABLE (PROFITS

DONATED TO CHARITY) X X MARRIOTT INTERNATIONAL (FOR BOARD SERVICE UNTIL $113,880.73" RESIGNATION JAN. 21111) Director's Fee ABBOTT LABORATORIES X X FEDERATED GOVERNMENT OBLIGATION FUND X X X X (S) ROB ROM. LLC. MOORPARK. CA (OWNS HORSES) X X

(S) 22od DISTRICT AGRICULTURAL ASS'N, DEL MAR. CA Prize for Horse

GOLD X X

$35,771.37 " QUEST EDUCATIONAL FOUNDATION, NAPLES, FL Soeake(s Fee February 26, 20 I 0

RIVERSIDE THEATRE. VERO BEACH. FL $20,000.00 " Speaker's Fee AprilS, 2010 $11,475.00 "

CLAREMONT McKENNA COLLEGE, CLAREMONT. CA Speake(s Fee Aorill5,2010 $29,750.00 "

GET MOTIVATED SEMINARS. via SAT LINK. BOSTON. MA Speake(s Fee Mav20, 2010 $32,831.25 "

HP HEALTHCARE SERVICES, DALLAS. TX Soeake(s Fee May 25.2010 $66,000.00 "

CLARK CONSULTING, HALF MOON BAY, CA Sneake(s Fee September 23, 20 10 $68,000.00 "

GOLDENTREE ASSET MGT. NEW YORK. NY Sneake(s Fee November 4, 20 I 0 $68,000.00 "

INTERNATIONAL FRANCHISE ASSOC .• LAS VEGAS, NV Sneake(s Fee February 16, 20 II $42,500.00 "

BARCLAY'S BANK. WASHINGTON. DC Sneaker's Fee Februarv 20 2011

-- -- -

lh.,mning Namt: Page Number W. Mitt Romney SCHEDULE A (W. Milt Romney Blind Trusl\ 2 of 11

Valuation of Assets Income Type and Amount If "None {or less than $101)" is checked, no Assets and Income at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC T '(Je Amount

'

I 0 0 0 ., Date o. 0 "' 0 0 0 o. ..;: "' 0 {Mo., Day, ... 0 0 o. 0 ... 0 0

0 o. 0 0 5 c 0 0 Other Income 0 0 o. 0 0 o. "' o. ci Yr.) 0 0 0 0 0 ""' 0 0 0 0 o. 0 0 * 0 0 .§ 0 0 0 * {SpecifY Type 0 0 o. ci 0 0 o. "' "' 0 ,... 0 0 q 0 0 0

0 o. 0 5- 0 .,.. N ... o. £ 0 0 0 0 o. 0 0 0 "' 0 :l 7;5 0 &Actual 0 0 0 "' .,.. o. ... ... . 0 :l 0 5; 0 0 o" 0 o. ... 0 Only if .,.; 0 > 2 .,.; 0 ci .,.. ;;;; ... ... ... 0 0 0 ..5 "' ....l 0 ...... .,.. ;;;; .... 0 Amount) ....l ;;;; ... 0 0 0 0 - 0 o. ,... ·;;; o. ;;;; ... 0 0 0 0 Honomria 8 - ::- 0 q 0 ., ., ., ., ,:.:: 0 0 ... ... 0 5- o. 0 0 0 0 0 o. 0 "' £ .E " ii ... 0 0 0 0 .,..

0 o . .... 0 0 ... .., "<! 0 0 0 0 ... .... " 0 o. o. ci ci 0 0 0 0 fr fr .,

"C ·a g 0 0 o. ci 0 § o. "' 0 0 .,.. 0 o. o. .,.; <> <> ·s: o. .,.. 0 .,.; 0 0 o •

"' "' .,.. .,.. N > Jj Jj :::> i5 " "' N ...... .,.; .,.. > > z ;;;; ;;;; ... ;;;; ... ... 0 ;;;; ... ... 0 0 ,:.:: ..:; u ... ... ... ... ;;;; ... ;;;; 0 ... 0 GS PRIVATE CLIENT PORTFOLIO (NOTE I AND ATTACHMENT PAGES 1·2) X X X X

FORD MOTOR COMPANY X X

BNP PARI BAS LNK TO BRIC +IT VS JPY (FX) 0% COUPON DUE 0)/22120 II STRUCTURED NOTE X X BNP PARI BAS LNKD TO BASKET OF 6 COM MOD FUT 0% COUPON DUE NOV 21,2014 STRUCTURED NOTE X X

BNP PARIBAS LNKD TO EUROSTOXX 50 DIV PTS 0% COUPON DUE 12129/2014 STRUCTURED NOTE X X

FFCB 4.875000% 12116/2015 JD X X X

FHLB 1.0% 121211/21lll JD X X X

FHLB 1.5% 01/!(>121ll3 JJ X X X

fHLB 1.625% 0!)/2(J20ll MS X X X

fHLB 1.75% OS/2212012 FA X X

FHLB 1.875% O<o/21/2013 JD X X

fHLB 3.625%05/29/2013 MN X X X

FHLB 3.625%09/1612011 MS X X X

FHLB 4.50001Kl% 09/1(>12013 MS X X X

FHLB4.625% l<VI0/2012 AO X X X

FHLB 4.75% 1211(>12016 JD X X X

FHLB 4.875%0511712017 MN X X X

FHLB 5.2.5tlUOO% llMIM/2014 JD X X X

FHLB5.375%05/18/2U1Ci MN X X X

FHLB 5.5%08/13/2014 FA X X X

FHLB SER: 312 5.750000%0511512012 MN X X X

FHLB SER: 421 3.875000% 0(>114/2013 JO X X X

GOLDMAN SACHS SMALL CAP VALUE CLASS I X X X X GOLDMAN SACHS TRUST GS INFLATION PROTECTED SECURITIES FUND· INSTL SHS X X X X

GS STRATEGIC INCOME FUND CLASS I X X X X

!SHARES TR-ISHARES MSCI EAFE INDEX FUND ETF X X X X

RABOBANK NEDERLAND, UTRECHT LNKD TO !SHARES FTSEICHINA 0% COUPON DUE 5nl2011 STRUCTURED NOTE X X

SPDR S&P 500 ETF TRUST SPDR X X X X

TV A 6. 79% 0512312012 MN X X X CASH- GS ACCOUNT

--- ---------- ·--- 0 .. - -- - ___!_ ,_ -- --- - X

lndi,idual':' Page Number W. Mitt Romney SCHEDULE A IW. Mill Romney Blind Trust! 3 of 11

Valua lion of Assets Income Type and Amount. If "None (or less than $201)" is checked, no Assets and Income at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC T e Amount

I a a a ""' 0 Date a a " I a a a. " N a (Mo., Day, "' a a a "" a a

a a. a <: c a a Other Income a a a· Yr.) iii a a a a. a a a. "" a a a " ci a J5 a a a q 0 0 * a. 0 0 J5 0 0 * 0 (Specify Type 0 o. ci 0 0 V'\ 0 0 0 0 0 0 a o. 0 o. 0 V'\ N "" a. 0 0 0 0 o. 0 vi' 0 0 V'\ 0 & Actual 0 0 0 N V'\ ;;;; a. "" .. a -.; "' 0 0 0 o. ci 0 a. .... o. Only if vi' V'\ ;;;; .. .. 0 0 0 > :: 0 V'\ o. V'\ V'\ ;;;; .. 0 ' 0 ;;;; .. a 0 0 o. .s b 9 ·;; 0 ....; V'\ ;;;; .. ' 0 0 0 Amount) Honoraria 0 o. ""' ""' "0 {! 0 0 .... "" o. Q. 0 0 0 o. 0 ;;;; 0 0 0 0 o. 0 V'\ .!! £ " c 0 0 ;;;; 0 0 a. .. 0 0 0 ..,

fr 0. It: " 0 0 0 o. ci "" " o. o. ci ci 0 I; 0 0 o. I; " :.a <: ·a § 0 0 0 0 I; 0 I; c o. V'\ 0 0 V'\ 0 0 o. V'\ 0 " ·;; B o. "".. o. vi' ci 0 0 0 ;;;; ;;;; V'\ ;;;; N V'\ > ;;;; "' N > &l &l 6 i5 " .s " "' ;;;; "' V'\ ;;;; V'\ ;;;; > ;;;; > :z "' .... "' 0 .... ... 0 0.: 0 z "' .. .., .. 0 0

THORNBURG INVESTMENT MANAGEMENT {NOTE 2 AND ATTACHMENT PAGES 3-4) X X X X EKSPOP,TFINANS ASA LNK TO KRW VS. EUR U% COUPON DUE U2/2H/2011 STRUCTURED NOTE (SOLD) X X X

FHLB 3,875000% 01/IS/2010 JJ (SOLO) X X X X

FHLB4.3751100%03/17/2010 MS (SOLD) X X X X

FHLB4.375001l%0WI7/2010 MS (SOLD) X X X X FHLB4,625000%02/W2011 FA (SOLD) X X X X GOLDMAN SACHS GROUP, INC. (THE) CMN (SOLD) X X X X GOLDMAN SACHS INVESTMENT GRADE CREDIT FUND· INST (SOLD) X X X X X

BNP PARI BAS LINKED TO EUROSTOXX 50 DIV PTS 0% COUPON DUE 12131/2012 STRUCTURED NOTE (SOLD) X X X

GS GLOBAL EQUITY PARTNERS I, LLC (SOLD) X X X X X X

GS EMERGING MARKETS OPPORTUNITIES FUND LLC X X X

SELECT COMMODITIES STRATEGIES, LLC {NOTE 3) X X X X X SUN VENTURE CAPITAL PARTNERS I, L.P. {NOTE 4) X X

ARGO DIGITAL SOLUTIONS, INC. X X

L YNUXWORKS, INC. X X

l.:portins lndhidUDI's Name Page Number W. Mitt Romney SCHEDULE A [Ann Romney Blind Trustl 4 of 11

Valuation of Assets Income Type and Amount. lf"None (or less than S:ZOI)" is checked, no Assets and Income at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC T•!!e Amount

0 0 0 '0 Date 5- 0 0 " 0 0 o. ::1 "' 0 ... 0 0 o. 0 '"" ... 0 0 (Mo., Day,

0 0 0 0 til 0 o. Other Income til 0 0 o. 0 0 o. c o. 0 Yr.) 0 0 0 0 o. " -" 0 0 !5 0 0 o. 0 + 0 0 0 0 0 . (SpecifY Type 0 0 o. 0 0 0 .,.. .,.. 0 . f-< 0 0 0 0 0 o • 0 0 0 0 o. 0 .,.; "' ... 0 0 0 o. 0 o. .,.. ] o. 0 0 "' 0 ... ... o. " 0 0 o. 0 .... 0 & Actual 0 "' .,.. ;;; o. 0 -;;; "' 0 0 0 ;;; o. o. Only if .,.. .,.. ;;; ... .... 0 ' ' 0 0 > " ...l 0

.,.. o. .,.. "' ;;; 0 0 " ,.,.· Amount) ;;;; ... 0 0 0 d- f-< f-< "' ·;; o. "' ;;;; ... ' 0 8 0 Honoraria e. o. o. '0 '0 1>1 0 0 ... ... ' ' o. o. 0 0 0 0 d- 1 '0 ;;; ' 0 0 0 ;;;; 0 0 .,.. " ii a(! i 0 0 ;;;; 0 "' 0 o. o. 0 ... "' ';;' 0 0 0 o. ... " 0 0 o· 0 0 0 0 0 8 " '0 5 0 0 0 0 l; 0 t " o. .,.. 0 0 "' 0 o. .,.. Jl ·;: c. " o. .,.. o. .,.; 0 0 0 z .,.. ;;; "' .,.. "' &l ::1 l5 a 0 "' ;;; ..... .,.. .,.. ;;; > > ;;; .. "" ... ... 0 ... "" "" 0 Cl 1>1 .E z ... "" ... ;;; ... 0 ... 0

'GS FINANCIAL SQUARE FEDERAL FUND· FST SHARES X X X X ,CASH· GS ACCOUNT X X BNP PARIBAS LNKD TO BASKET OF 6 COMMOD FUT 0% COUPON DUE NOV 21,2014 STRUCTURED NOTE X X THE GOLDMAN SACHS GROUP,INC. LINKED TO SP GSCI AGRJCUL 11JRE 0% DUE 09/0712012 STRUCTIJRED NOTE X X

FFCB 4.875000% 12/1612015 JD X X X

FHLB 1.0% 1212812011 JD X X X

FHLB 1.615%03/20/2013 MS X X X FHLB 3.625%05/2912013 MN X X X FHLB 3.625%07/01/2011 JJ X X X FHLB 3.625% 10/18/2013 AO SR LIEN X X X FHLB 4.500000% 11113/2012 MN X X X FHLB 4.625% 10/10/2012 AO X X X FHLB4.875%05/17/2017 MN X X X FHLB 4.875% 11/1812011 MN X X X FHLB 5.250000%06/18/2014JD X X X FHLB 5.373%05/18/2016 MN X X X FHLB 5.375%08/19/2011 FA X X X GOLDMAN SACHS TRUST GS INFLATION PROTECTED SECURITlES FUND • INSTL SHS X X X X BNP PARIBAS LNKD TO EUROSTOXX 50 DIY PTS 0% COUPON DUE 12129/2014 STRUCTIJRED NOTE X X RABOBANK NEDERLAND, UTRECHT LINKED TO MSCI TAIWAN INOX 0% DUE 07/11/2013 STRUCTURED NOTE X X RABOBANK NEDERJ.AND, UTRECHT LNKD TO !SHARES FTSEICHINA 0% COUPON DUE Sn/20 12 STRUCTURED NOTE X X THE GOLDMAN SACHS GROUP, INC. LINKED TO MSCI EAFE W. DUE 07103/2013 STRUCTURED NOTE X X GS LOCAL EMERGING MKTS DEBT FD MUTUAL FUND- CL I X X X X GS STRA TEG!C INCOME FUND CLASS I X X X X BNP PARJBAS LNK TO BRJC + IT VS JPY (FX) 0% COUPON DUE 9/22120 II STRUCTIJRED NOTE X X

EKSPORTFINANS ASA LINKED TO ASIAN FX BASK VS USD 0% COUPON DUE JAN 2012 STRUCTIJRED NOTE X X EKSPORTFINANS ASA LINKED TO GLOBAL BASKET VS USD 0% COUPON DUE MAY 2012 STRUC11JRED NOTE X X SPDR S&P 500 ETF TRUST SPDR X X X X X THE GOLDMAN SACHS GROUP, INC. LINKED TO DllA 0% COUPON DUE

STRUC11JREQ_N_()TE_____ __ __ X X

lnd;v;dowl'< Nomo Page Number W. Mitt Romney SCHEDULE A (Ann Romney Blind Trust! 5 of 11

Valuation of Assets Income Type and Amount. If "None (or less than S20I)" is checked, no Assets and Income at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC T•pe Amount

0 0 '0 0 Date ::- 0 0 " 0 0 0 o. ::l "' 0 0 o. 0 '"' ... 0 0 (Mo., Day, ... 0 d 0 0 a 0 0 Other Income c 0 0 q 0 0 1: 0 o. ci Yr.) 0 0 0 "' 0 0 q o. 0 * 0 o. ci 0 " 0 0 0 .. 0 {Specify Type 0 0 o. 0 0 0 "' "' 0 E .il 0 0 o. 0 0 o. 0 0 0 .,.,.. 0 o. 0 "' 0 0 0 ... 0 "ii ] 3 0 0 0 0 0 o, 0 "' 0 &Actual o. 0 .... ' ci ;;; 0 0 o. ci o. ... 0 0 0 "' "' ;;;; ' > 0 "1. q 0 ;;;; o" Only if " "' "' ;;;; .... .... ci 0 0 ,., ....l 0 "' "' ;;;; 0 Amount) ....l ;;;; ... ' 0 - - d .s 00 0 s M "' ;;;; ... ' 0 0 0 Honoraria - 0 0 0 d '0 '0 '0 ..: Cl 0 ... ... o. o. 8 ' 0 0 o. o. '0 ... ' 0 d 8 0 0 ;;;; .,.. ii £ " c j - 0 ;;;; .,.. 8 o. o. 0 0 0 ... a. It: " o(j i '-' 8 8 0 0 o. ...

§ o. o. ci 0 0 is 0 0 o. 13 " " :a '0 ! " 8 0 o. 0 13 0 i; s .,.. 0 0 .,.. 0 0 o. .,.. 0 Jl " o, .,.. .,.,.. 0 0 o. ;;;; .,.. ;;;; M .,.. > .,.. M > >< "' "' M ,.,; ;;;; .,.. ;;;; > > z ... .... ... .... 0 ... ... .... 0 Ul Cl 0 u ... ... .... ... ... 0 ... 0 THE GOLDMAN SACHS GROUP,INC. LINKED TO DJIA 0% COUPON DUE 07129nOI3 STRUCTURED NOTE X X THE GOLDMAN SACHS GROUP,INC. LNKD TO THE RUSSELL 2000 INDEX 0% COUPON DUE 07119nOI3 STRUCTURED NOTE X X GS 2002 EXCHANGE PLACE FUND LP (NOTES AND ATTACHMENT PAGES 5·12) X X X X X

GS CAPITAL PARTNERS Ill LP X X X GS CAPITAL PARTNERS FUND200II. L.P. X X X X X X WHITEHALL STREET REAL ESTATE FUND lXlX " X X X X X

WHITEHALL STREET REAL ESTATE FUND XI/XI1 X X X WHITEHALL STREET REAL ESTATE L.P. XI111XIV " X X X X X WHITEHALL STREET GLOBAL REAL ESTATE LIMITED PARTNERSHIP 2007 X X X X X GOLDMAN SACHS GLOBAL OPPORTUNITIES FUND, LLC X X X X X X GOLDMAN SACHS HEDGE FUND PARTNERS, LLC X X X X X X GOLDMAN SACHS HEDGE FUND PARTNERS 11. LLC X X X X X X LOAN SECURED BY REAL PROPERTY IN MISSOURI CITY, TX X X X D3 FAMILY BULLDOG FUND, LP X X X X X ELLIOTT ASSOCIATES, L.P. (NOTE 6) X X X X X SOLAMERE FOUNDERS FUND 1-B. L.P. (NOTE6) X X X X X ABRY BROADCAST PARTNERS 11, L.P. (NOTE 7) X X CCG INVESTMENT FUND, L.P. (NOTE 8) X X X X X CCG INVESTMENTS (BVI), L.P. (NOTE 8) X X X X X CCG INVESTMENTS LLC (NOTE 8) X X GGC INVESTMENT FUND 11-A, L.P. (NOTE 8) X X X X X GGC INVESTMENTS II-A ADJUNCT (BVI), L.P. (NOTE 8) X X X X X GGC INVESTMENT ANNEX FUND 11, L.P. (NOTE 8) X X X X X GGC INVESTMENT FUND 11, L.P. (NOTE 8) X X X X X GGC INVESTMENTS II (BVI), L.P. (NOTE 8) X X X X X GGC INVESTMENTS II, LLC (NOTE 8) X X GOLDEN GATE CAPITAL OPPORTUNITY FUND, LP (NOTE 8) X X ABSOLUTE RETURN CAPITAL PARTNERS (NOTE 9) X X X X X BAIN CAPITAL V MEZZANINE PARTNERS (NOTE 9) X X X X BAIN CAPITAL PARTNERS IV (NOTE 9) X X X BAIN CAPITAL PARTNERS V (NOTE 9) X X X BAIN CAPITAL FUND VI (NOTE 9) X X X X X BAIN CAPITAL FUND VII (NOTE 9) X X X X X BAIN CAPITAL VII COINVESTMENT FUND (NOTE 9) X X X X X

R1.-pctning. lndi\idUDI':; Page Number W. Mit! Romney SCHEDULE A (Ann Romncr Blind Trustl 6 of 11

Valuation of Assets Income Type and Amount. If "None (or less than $201)" is checked, no Assets and Income at close of reporting period other entry is needed in block C for that item.

BLOCK A BLOCKB BLOCKC - T •pe Amount

;; 0 -c ;; Date o. 0 0 c 0 0 o. ::s N 0

"" 0 0 o. 0 ""' "" 0 0 (Mo., Day, 0 0 0 0 c 0 o. Other Income 0 0 0 c c 0 0 0 6 0 0 .. 0 o. 0 Yr.) 0 0 o. 6 * 0 o. o" 0 " t:: 0 0 0 * 0 (Specify Type 0 0 o. 0 0 0 o. "' "' 0 E s 0 0 o. 0 0 o. 0 8 o. 0 "' 0 o. 0 "' N .. o. 0 0 0 o. 0 o. 0 "' 0 &Actual 0 "' "" 0 0 0 o. "" o. v{" 0 0 N "' ;;;; 0 0 0 "' 0 "'

0 0 ;;;; Only if "' "" .. 0 0 "' 0 0 ..J ;;;; "" ;;;; 0 ;:; ;:; ;:; 0 .E 1- 1- ::- N" v{" ... ... ;;;; 0 ;:; 0 Amount) Honoraria 2- ' ' 0 0 o" -c ., ., 0 0 ... ... o. o. ;; 8 ;:; ;:; ;:; ;;;; o. o. 0 "' i £ " c: "" ' ' ' ;:; ;; ;; ;;;; o. "' ;; q 6 0 0 0 "" 0. "" " s ---;; ;:; ;:; ;; o. 0 ...

I " o. o" 0 il 0 0 o. " "0 "E ·a ;:; 0 o. 0 il 0 il ::: 0 "' 0 0 on 0 o. o. "' u u £ c 0 "' 0 v{" 0 0 ::-0 "' N on > "' N r.il r.il ::s " .. 0 "' N" v{" - on ;;;; > > z "" ;;;; "" ;;;; "" "" 0 ;;;; ... ... 0 Cl 0 c.: .E u z .. .. .. "" .. .. 0 .. 0 BAIN CAPITAL FUND VU-E (NOTE 9) X X X X X

BAIN CAPITAL FUND VIII (NOTE 9) X X X X X BAIN CAPITAL VIII COINVESTMENT FUND (NOTE 9) X X X X BAIN CAPITAL FUND VIll-E (NOTE 9) X X X X X BAIN CAPITAL FUND IX (NOTE 9) X X X X X BAIN CAPITAL IX CO INVESTMENT FUND (NOTE 9) X X X X X

BAIN CAPITAL FUND X (NOTE 9) X X X X BAIN CAPITAL ASIA FUND (NOTE 9) X X X X X

BAIN CAPITAL EUROPE FUND Ill (NOTE 9) X X X X BAIN CAPITAL VENTURE FUND 2001 (NOTE 9) X X X X BAIN CAPITAL VENTURE FUND 2005 (NOTE 9) X X X X X BAIN CAPITAL VENTURE FUND 2007 (NOTE 9) X X X X X BROOKSIDE CAPITAL PARTNERS FUND (NOTE9) X X X X X BROOKSIDE CAPITAL PARTNERS FUND II (NOTE 9) X X X X X PROSPECT HARBOR CREDIT PARTNERS (NOTE 9) X X X X X SANKA TY HIGH YIELD ASSET GRANTOR TRUST (NOTE 9) X X X X X SANKATY HIGH YIELD PARTNERS Ill (NOTE 9) X X X SANKATY CREDIT OPPORTUNITIES (NOTE 9) X X X X X X SANKATY CREDIT OPPORTUNITIES IV (NOTE 9) X X X X X SANKATY SPECIAL SITUATIONS I (NOTE 9) X X X X X Ill CAPITAL (NOTE 9) X X X X BCIP ASSOCIATES (NOTE 9) X X X BCIP ASSOCIATES I (NOTE 9) X X X

BCIP ASSOCIATES II (NOTE9) X X X X X BCIP ASSOCIATES Ill (NOTE 9) X X X X X BCIP ASSOCIATES III·B (NOTE 9) X X BCIPASSOCIATES IV (NOTE 9) X X X BCIP VENTURE ASSOCIATES (NOTE 9) X X X X X

lndh'idual':i N:Ul\1! Page Number W. Milt Romney SCHEDULE A 7 of 11 tW. Mitt Romney IRA!


BLOCK A BLOCKB BLOCKC T•pe Amount

0 0 0 § ;; Date 0 o. 0 0 0 N 0 (Mo., Day, ;;;; 0 0 o. 0 u.. ... 0 0

0 0 0 o. 0 0 1i " 0 o. Other Income Yr.) 1\i o. 0 0 d "' o. 0 0 0 0 0 o. -" 0 0 (Specify Type 0 0 o. q 0 . 0 E 0 0 0 . 0 0 0 0 0 :;;. ,., ,., 0 !l E- 0 0 o. 0 0 o. 0 0 o. o" 0 0 0 0 N "" o. tl 0 0 0 o. 0 0 ,., 0 &Actual ,., 0 0 ::! o. 0 0 N ,., ;;;; o. ... ... ' 0 " :.a :a 0 0 0 0 0 0 o. "' 0 Only if . > .,., 0 ,.,.. . 0 .3 ,., .,., ;;;; ... "' 0 ;; 0 .E ...l 0 N• ,.,.. .,., ;;;; .. 0 Amount) ;;;; .. 0 ;; ;; o. ·;a 0 ;;;; ... 0 ;; 0 Honoraria

Q. . o. 0 0 -o -o -o .a 0 0 ... .. . . o. 0

;; ;; ;; ;; ;; ;;;; 0 o. 0 ,., £ £ " " ";; .. . . ;; ;; ;; ;;;; o • ,.,.. 0 q d 0 0 0 "' fi" 0. "" " <Ill -;;; ....., . ;; ;; ;; q 0 ...

" 0 o. 0 0 0 0 o. " ""' ii i ""' " ;; o. o. 0 i; 0 i; " o. ,.,.. 0 0 ,., 0 o. o. ,., 0 0 iii' " o. "\. o. ,., 0 0 5-0 ,., N .,., .,., N " "' 0 N N ,., ,., > > :z ... ;;;; "" ;;;; ... "" 0 ;;;; ... .. 0 Cl <>:: .E () :z .. ;;;; .. "" ;;;; "" ;;;; 0 .. 0

GS FINANCIAL SQUARE FEDERAL FUND· FST SHARES X X X X

CASH· GS ACCOUNT X X

FHLB 1.0% 12/28/20 II JD X X X

FHLB 1.625%03120/2013 MS X X X

FHL81.75%08/2212012 FA X X X

FHLB 3.625% 10/18/2013 AOSR LIEN X X X

FHLMC4.625% 101251:!012 AO X X X

FNMA 3.25%04/09/2013 AO X X X

MARRIOTT INTERNATIONAL. INC. CMN CLASS A X X X

GOLDMAN SACHS ULTRA-SHORT DURATION GOVERNMENT FD (SOLD) X X X

GOLDMAN SACHS SHORT DURATION GOVERNMENT FUND (SOLD) X X X X

FHLB 4.375% 1012212010 AO ·(MATURED) X X

ABSOLliTE RETURN CAPITAL PARTNERS (NOTE 9) X X X X X

BROOKSIDE CAPITAL PARTNERS FUND (NOTE 9) X X X X X

PROSPECT HARBOR CREDIT PARTNERS (NOTE 9) X X X X X

SANKA1Y HIGH YIELD ASSET GRANTOR TRUST (NOTE 9) X X X X X

SANKA1Y HIGH YIELD PARTNERS II (NOTE 9) X X X

SANKA1Y CREDIT OPPORTUNITIES (NOTE 9) X X X X X X

SANKA1Y CREDIT OPPORTUNITIES II (NOTE 9) X X X

SANKA1Y CREDIT OPPORTUNJTIES Ill (NOTE 9) X X

SANKATY CREDIT OPPORTUNJTIES IV (NOTE 9) X X X X X

SANKA 1Y SPECIAL SITUATIONS I (NOTE 9) X X X X " Ill CAPITAL (NOTE 9) X X X X

BCIPTRUST ASSOCIATES II (NOTE9) X X X " BCIP TRUST ASSOCIATES Ill (NOTE 9) X " X X X

Rcponin& lndi\'iduol's Nome Page Number W. Min Romney SCHEDULE A (Ann Romney IRA] 8 of 11


BLOCK A BLOCKB BLOCKC T1pe Amount

0 0 "0 o. 0 0 c 0 Date 0 0 0 ::> N 0 ... 0 0 0 0 ... 0 0 0 o" 6 (Mo .• Day, Yr.) c 0 0 0 o" 0 E c 0 Other Income 0 0 0 "' 6 " 0 0 0 0 0 0 0 ., ..c 0 0 ..c 0 0 0 0 * 0 0 0 * (Specil)' Type f-o 0 0 0 o" o· 0 0 0 .,.; "' 0 "' f-o 0 0 0 0 0 o. 0 0 0 0 "' 0 o. 0 .,.; N "" 0 t; t; 0 0 0 0 0 0 0 "' 0 &Actual Only if 0 0 0 N "' 0 "" ... ' o" .,

" «i .5 0 0 0 0 0 0 0 "" 0 .,.; "' ;;; ... ... ... 0 0 0 > {::. ...J 0 "' o. .,.; "' ;;; ... 0 ' 0 Honoraria ...J ;;;; "" ' ' ' 0 0 0 0 .s "' 0 N" "' ;;; "" ' 0 0 0 Amount) s 0 0 0 "0 ""1::l "0 "' Cl 0 ... ... ' ' 0 q 0 "0 ;;; ' 0 0 0 0 o. 0 0 "' a ., c ' ' ' 0 0 0 o. "' 0 0 0 ... 0 0 0 "" "' ., ';;" ' 0 0 0 o. ... 0 "" ., 0 0 0 0 0 .. 0 0 0 .. ., ., «i '0 c 0 o. 0 0 .. 0 .. c o. .,.; 0 0 "' 0 " o. 0 .,.; ., 0 !;l ·;:;: ., 0. c 0 "' o. "' 0 0 ., ::- .,

0 ;;;; "' ;;;; N "' > .,.; N > &l " i5 .§ "' 0 N N" "' ;;;; "' ;;;; > > z "" "" "" "" 0 ... "" ... 0 Ill 0' u z ... ... "" ... ... 0 ... 0

GS FINANCIAL SQUARE FEDERAL FUND- FST SHARES X X X

GOLDMAN SACHS CORE FIXED-INC 1 MUTUAL FUND X X X X

OGE Fonn278 (Rev. 09i20!0) 5 C.F.R. Part 2634 U.S. Office of Government Ethlcs

Reporting lndividual"s Name

Do not complete Schedule 8 if you are a new entrant, nominee, or Vice Presidential or Presidential Candidate

Page Number .W. Mitt Romney I SCHEDULE B 9 of 11

Part 1: Transactions NoneO Report any purchase, sale, or exchange Do not report a transaction involving

by you, your spouse, or dependent property used solely as your personal children during the reporting period of any residence, or a transaction solely between Transat:tlon Amount of Transaction (x) real property, stocks, bonds, commodity you, your spouse, or dependent child. Type (x) . . futures, and other securities when the Check the "Certificate of divestiture" block Date .o 88 --<0 § ' ' g DO

(.1>1o., ' 'O .... 0 08 ,...o 00 00 amount of the transaction exceeded $1,000. to indicate sales made pursuant to a .. .. 'C ....o .... a DO oC?. 0 qq C..<" 00 0 .. "' Day, Yr.) 00 cia Include transactions that resulted in a loss. certificate of divestiture from OGE. 1! 0: .-<O 88 00 00 8& 00 gq 00 .. C:.ci co 00 ... ...... .<: .r.c qq e 00 O<n lr.O ·"' "'0 " ......... -un ..,N Nil") .,.,,.... > - ...,,., IJ")N Nil") Identification of Assets a. f/) ...... ...... """' ....... ...... ........ o;;;; ...... ...<h '"""'

Example I CentraiAirlinesCommon )( 2/1/99 )(

I Not applicable 2

3

4

5

*This category only if the underlying asset is solely that of the filer's spouse or dependent children. If the underlying asset is either held by the tner or jointly held by the iller with the spouse or dependent children, use the other higher categories of value, as appropriate.

Part II: Gifts, Reimbursements, and Travel Expenses For you, your spouse and dependent children, report the source, a brief descrip- the U.S. Government; given to your agency in connection with official travel; tion, and the value of: (1) gifts (such as tangible items, transportation, lodging, received from relatives; received by your spouse or dependent child totally food, or entertainment) received from one source totaling more than $335 and independent of their relationship to you; or provided as personal hospitality at (2) travel-related cash reimbursements received from one source totaling more the donor's residence. Also, for pluposes of aggrefating gifts to determine the than $335. For conflicts analysis, it is helpful to indicate a basis for receipt, such total value from one source, exclude items worth 134 or less. See instructions as personal friend, agency approval under 5 U.S.C. § 4111 or other statutory for other exclusions. . ..... authority, etc. For travel-related gifts and reimbursements, include travel itinerary, None 0 dates, and the nature of expenses provided. • • • .. • • -attyt'lting given to you by

Source (Name and Address) Brief Description Value

Airline ticket, hotel room & meals incident to national conference 6/1 S/99 (personal activitY unrelated to duty) $500

., .. u=: ... > 8:a

I

Examples ------------stiat'IAssn. o!"Rock Collectors, NY,NY ----------------------------------- ----ankjones, San Francisco, CA Leather briefcase (personal friend) $350

1 Not applicable 2

3

4

s ----- ------- --

OGE Fotm 278 (Rev. 0912010) 5 C'.F.R. Part 2634 U.S. Office of Government Ethics Reporting Individual's Name . W. Mitt Romney SCHEDULE C Part I: Liabilities a mortgage on your personal residence NoneO Report liabilities over $10,000 owed unless it is rented out; loans secured by to any one creditor at any time automobiles, household furniture during the reporting period by you, or appliances; and liabilities owed to your spouse, or dependent children. certain relatives listed in instructions. Check the highest amount owed See instructions for revolving charge

·during the reporting period. Exclude accounts. Date Interest

Creditors (Name and Address) Type of LlabUity Incurred Rate ___ ___ 1991 8%

Examples -1999 ---hn Jones, Washington, DC Promissory note 10%

1 Please see Attachment page 13 For Schedule C Part I

2

3

4

5

' -o .-<0 oo co oo 00 Term if o-.n tt)Q ........ '"'"' applicable ......

25 yrs. r--- - --on demand

Page Number

10 of 11

Category of Amount or Value (X)

tb ' 'O .-<0 ' oO .... o .... c 00

'O ..!.o 88 ,..,o 0 00 00 co .... x gg 0 qq C?.d' 00 &ci 00 g 00 00 00

00 oo o§ gg 00 qq co oar. V>O 0 • tq qu-; V>O

"''"' HN Nll'l .,., .... 6<;; "'"' "'"' """" """" ... ... ''"" "'"' ....... """' X r-- -- f---- - ---- -

X

*This category applies only if the liability Is solely that of the filer's spouse or dependent children. If the liability is that of the filer or a joint liability of the mer with the spouse or dependent children, mark the other higher categories, as appropriate.

Part II: Agreements or Arrangements Report your agreements or arrangements for: (1) continuing partidpation in an of absence; and ( 4) future employment. See instructions regarding the report-

g e 0 g

t;--' ... f---

employee benefit plan (e.g. pension, 40lk, deferred compensation); (2) continua- ing of negotiations for·any of these arrangements or benefits. NoneOO tion of payment by a former employer (inducting severance payments); (3) leaves

Status and Terms of any Agreement or Arrangement Parties Date

Example I Pursuant to partnership agreement, will receive lump sum payment of capital account & partnership share Doe Jones & Smith, Hometown, State 7/85 calculated on service performed through 1/00.

1

2

3

4

5

6

·--

I

OGE Form 278 (Rev. 09i20!0) 5 C.F.R. Part 2634 U.S. Office of Government Ethics

Reporting Individual's Name . W. Mitt Romney SCHEDULED

Part I: Positions Held Outside U.S. Government

Page Number

11 of 11

Report any positions held during the applicable reporting period, whether com pen- organization or educational institution. Exclude positions with religious, sated or not. Positions indude but are not limited to those of an officer, director, social, fraternal, or political entities and those solely of an honorary trustee, general partner, proprietor, representative, employee, or consultant of nature.

None 0 any corporation, firm, partnership, or other business enterprise or any non-profit Organization (Name and Address) Type of Organization Position Held From (Mo., Yr.) To (Mo.,Yr.)

mat'! Assn. of Rock Collectors, !\'Y, NY Non-profit education President 6/92 Present E.xamples oe & s,;;tt"h, Ho;;o-;;;,Sta.;------ - - - ---1-------------- -------------- 1----

Law firm Partner 7/85 1/00 1 Irrevocable trust Trusr estaohsnecrro n61Cf Trustee 12/91 Present extended family vacation property 2 Marriott International Hotel company Director 1/09 1/11 3

4

5

6

Part II: Compensation in Excess of $5,000 Paid by One Source Do not complete this part if you are an Incumbent, Termination Filer, or Vice

Report sources of more than $5,000 compensation received by you or your non-profit organization when Presidential or Presidential Candidate. business affiliation for services provided directly by you during any one year of you directly provided the the reporting period. This indudes the names of dients and customers of any services generating a fee or payment of more than $5,000. You

None D corporation, firm, partnership, or other business enterprise, or any other need not report the U.S. Government as a source.

Source (Name and Address) Brief Description of Duties , Jones & Smith, Hometown, State Legal services --------------------tro University (client of Doe .Iones & Smith), Moneyrown, State

1 Not applicable 2

3

4

5

6

W.Mitt Romney Financial Disclosure Report Attachment Page 1 of 13

Valuation T •pe Amount

0 0 0 0 0 o. 0 0 0 N 0

;;;; 0 0 0. 0 ... 0 0 0 o. 0 0 0 0

"' 0 0 0 0 0 0 0 c

0 0 "' 0 0 0 0 0 0 0 0 0 0 * 0 0 0 * .<: 0 0 o. 0 0 0 0 .,..· "' 0 . 0 0 0 0 0 o . 0 f- 0 0. 0 "' 0 0 0 or) N ... 0. 8 0 8 o. 0 o. 0 V> 0 0 0. ... ... 0 0 ... 0 or) 0 0 Ill "' ... 0 -.; "' " 0 V> o. or) 0 0 ;;;; 0 0 " "' ;;;; ... 0 0 0 ,.., c: ...J 0 N' V> ;;;; ...J ;;;; ... ' 0 0 0 0 ·a o. V> ;;;; ... ' 0 0 o. 0 0 "' 0 0 ... ... ' o. 0 0 8 ' 0 0 0 o. 0

., 0:: 0 ... 0 0 or) 0 0 ;;;; V> c: ti 0 ;; 0 0 0 0 0 0 ... " -.; ;; 0 ;; 0 ... ... " 0. o. 0 0 0 0 0 0 ., c e ·c. " 0 o. 0. 0 0 c: 0. V> 0 0 V> 0 o. o. or) ·;;:: " c: o. V> o. V> 0 0 o. 0 ;;;; V> ;;;; "' V) > ;;;; V) "' > i:5 " .§ "' 0 N N' V> ;;;; V> ;;;; > > z ... ... ... ... 0 ... ... 0 0:: u z ... ... ... ... ... 0 ... 0

ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGED BY GS PRIVATE CLIENT PORTFOLIO· SEE NOTE I

AMERICAN EXPRESS CO. CMN X X

AMERICAN TOWER CORPORATION CMN CLASS A X X

APPLE, INC. CMN X X X

BANK OF AMERICA CORP CMN X X BOEING COMPANY CMN X X X X

CHARLES SCHWAB CORPORATION CMN X X X

CONOCOPHILUPS CMN X X

COSTCO WHOLESALE CORPORATION CMN X X X X

DEVON ENERGY CORPORATION (NEW) CMN X X

EMC CORPORATION MASS CMN X X

EMERSON ELECTRIC CO. CMN X X X X GENERAL ELECTRIC CO CMN X X X

GENERAL MILLS INC CMN X ; X X GOLDMAN SACHS BANK DEPOSIT (BOA) X X X GOOGLE,INC. CMN CLASS A X X JOHNSON & JOHNSON CMN X X X JPMORGAN CHASE & CO CMN X X X X LOWES COMPANIES INC CMN X X X X

MCDONALDSCORPCMN X X X X MICROSOFT CORPORATION CMN X X X NlKE CLASS·B CMN CLASS B X X X X OCCIDENTAL PETROLEUM CORP CMN X X X X ORACLE CORPORATION CMN X X X X

PEPSICO INC CMN X X X X

PRAXAIR, INC CMN SERIES X X X X QUALCOMM INC CMN X X X X SOUTHWESTERN ENERGY CO. CMN X X STAPLES, INC. CMN X X X

THE BANK OF NY MELLON CORP CMN X X X

THE TRAVELERS COMPANIES, INC CMN X X X THERMO FISHER SCIENTIFIC INC CMN X X VISA INC. CMN CLASS A X X X X AFLAC INCORPORATED CMN (SOLD) X X X X AT&T INC CMN (SOLD) X X X X BAXTER INTERNATIONAL INC CMN (SOLD) X X X X BIOGEN IDEC INC. CMN (SOLD) X X X X CISCO SYSTEMS, INC. CMN (SOLD) X X X X EOG RESOURCES INC CMN (SOLD) X X X X


Valuation T'oe Amount

i 0 0 0 0 0 o. 0 0 o. N 0 ... 0 0 o. 0 "" 0 0

I c: 0 0 0 d 0 0 c: 0 o. 0 0 0 d 0 "' 0 0. 0 "' 0 0 0 .. 0 o. 0 r= 0 0 0 * 0 .c: 0 0 o. 0 0 0 0. "' "' 0 "' 0 0 0 0 o. 0 1- 0 0 o. 0 "' 0 0. 0 .,.. N ... "' 0 0 0 o. 0 o. 0 "' 0 o. 0 0 N "' ;;;; ... ... -.; "' "' 0 0 0 o. 0 0 o. ... 0

" "' "' ;;;; ... ... ' ' 0 0 c: " 0 .,.. 0. "' "' ;;;; ... 0 0 ...l ;;;; .. ' ' ' 0 0 0 0 s ·o; ...l o. N" .,.. ;;;; ... 0 0 0

0 ' o. o. 0 "' 1>:: 0 0 ... ... ' ' 0. o. 0 0 0 "0 0 0 o. o. 0 "' c: ... ' 0 0 0 ;;;; 0 V"l

0 o. 0 ... 0 0 0 ... " a'!l 0 0 0 0 0 <:::i " o. 0 0 0 0 0 0 o. "0 c " 0 o. 0 0 0 c: 0. "' 0 0 .,.. 0 o. o. "' ·:;: _g c: o. "1. o. "' 0 0 o. " 0 - "' - N "' > ;;;; .,.. "' > a " "' 0 N ;;;; N .,.. ;;;; .,.. ;;;; > > :z ... ... ... ... ... ... 0 ... ... 0 1>:: u :z ... ... ... ... 0 .... 0

ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGED BY GS PRIVATE CLIENT PORTFOLIO· SEE NOTE I

EXXON MOBIL CORPORATION CMN (SOLD) X X X X FRANKLIN RESOURCES INC CMN (SOLD) X X X X

FREEPORT-MCMORAN COPPER&. GOLD CMN (SOLD) X X X X HEWLElT-PACKARD CO. CMN (SOLD) X X X X HONEYWELL INTL INC CMN (SOLD) X X X X PROCTER&. GAMBLE COMPANY (THE) CMN (SOLD) X X X X RESEARCH IN MOTION LIMlTED CMN (SOLD) X X X X SCHLUMBERGER LTD CMN (SOLD) X X X X TARGET CORPORATION CJI.IN (SOLD) X X X X

UNILEVER N.V. NY SHS (NEW) ADR CMN (SOLD) X X X X EXXON MOBIL CORPORATION CMN (SOLD) X X X X


Valuation T •pe Amount i

0 0 0 0 0 a_ 0 0 0 "' 0

0 0 0 0 .... 0 0

I

... 0 0 0 o. 0 0 c 0 o • c 0 0 0 o. 0 0 0 "' 0 o. 0 "' 0 o. 0 ..c 0 t: 0 0 o. 0 * o. 0 "' 1-< 0 0 0 * o. 0 0 a_ 0 0 .,.., .,.., 0 0 0 o • 0 0 0 0 o. 0 o. 0 .,.., "' .... 0 2 "' 0 0 0 a. a_ 0 .,.., 0 ill 0 0 .,.., 0 0 .... .... o· 0 0 0 0 o. .... o. 0 0 "' V) ;;;; [!l 0 0 0 "' "' V) .... "" 0 ' 0 0 V) o. "' V) ;;;; ... 0 0 ;;;; 0 ,.., ...l r-f ...l ;;; .... ' ' ' 0 0 0 o. "' 0 ·o; o. V) ;;; .... ' 0 0 0

Q, 5- o. 0 ., 00:: CJ 0 "" .... o. o. 0 0 0 o. 0 ... 0 0 0 0 0 0 V) ii o'IJ ;; 0 0 V)

0 0 0 ... 0 0 .... el "§ 0 0 0 0 .... ..., "' o. o. o" 0 o" 0 0 0 :-9 ., o. o • 0 0 c 0 V) 0 0 .,.., 0 0. 0 "' "' ;:; 2 ·c. c 0 0. .,.., 0 V) 0 0 o. "' 0 ;;; .,.., ;;; "' V) > "' "' > " ..:: "' 0 "' ;;; r-f "' ;;; .,.., ;;; > > z .... "" "" ..., 0 "" "" .... 0 0 00:: u z .... .... ..., ..., 0 "" 0

ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGED BY THORNBURG MANAGEMENT· SEE NOTE 2

AD!DAS AG ADR CMN X X X

ARM HOLDINGS PLC SPON ADR SPONSORED ADR CMN X X X X ASSA ABLOY AB UNSPONSORED ADR (SWEDEN) X X X BG GROUP PLC SPON ADR ADR CMN X X X BNP PARIBAS SPONSORED ADR CMN X X X

CANADIAN NATIONAL RAILWAY CO. CMN X X X

CANADIAN NATURAL RESOURCES CMN X X X X

CANON INC ADR ADR CMN X X X

CARNIVAL CORPORATION CMN X X X

CHINA 1\o!ERCHANTS HOLDINGS (INTE UNSPONOSRED ADR CMN X X X DASSAUL T SYSTEMES SA SPONSORED ADR CMN X X X

EMBRAER SA ADR CMN X X X FANUC LIMITED UNSPONSORED ADR CMN X X X X

FRESENIUS MEDICAL CARE AG & CO KGAA SPONSORED ADRCMN X X X X GOLDMAN SACHS BANK DEPOSIT (BOA) X X X

HANG LUNG PPTYS LTD SPONSORED ADR CMN X X X X HENNES & MAURITZ AB ADR CMN X X X HONG KONG EXCHANGES & CLEARING UNSPONSORED ADRCMN X X X INDUSTRIAL & COMM'L BANK OF CHINA ADR CMN X X X X IT AU UNIBANCO BANCO HLDNG S.A SPONSORED ADR CMN X X X

KDDI CORP UNSPONSORED ADR CMN X X KINGFISHER PLC SPONSORED ADR CMN X X X LOGITECH INTERNATIONAL SA ORO CMN X X X

LVMH MOET HENNESSY LOUIS VUITTON S.A. ADR CMN X X X X MAN GROUP PLC UNSPONSORED ADR CMN X X X X

NESTLE SA SPONSORED ADR (REP 1/20 CHF I 0 REGD SHS) X X X X

NEW ORIENTAL ED & TECH GRP SPONSORED ADR CMN X X POTASH CORP OF SASKATCHEWAN INC X X X X PUBLICIS GROUPE SA SPONSORED ADR CMN X X X RECK ITT BENCKISER GROUP PLC SLOUGH UNSPONSORED ADR(UK) X X X SABMILLER PLC SPONSORED ADR X X X X


I Valuation T pe Amount

I I 0

I 0 0 0 0 o. 0 0 0 M 0 ... 0 0 o. 0 ... 0 0

0 0 0 o. 0 0 c 0 0. I " 0 0 0 o. 0 0 0 "' 0 0 0

I "' 0 0 o. o. 0 * 0 0. o· 0 ..<:: 0 0 0 8 0

0 0 0. 0 0 0 0 o. "' "' 0 r- 0 0 o. 0 0. 0 0 0 0 "' 0 0 0 "' M ... 0. "' 0 0 0 o. 0 0 "' 0

I !

0 0 0. ... ... ' "' 0 0 o. 0. "" o. v{ 0 M "' 0 Oj "' " 0 "' o. 0 0 ' "' ;;;; ... ... ... 0 0 0 >. c ...l 0 N' "' "' ;;;; "" 0 0 ...l ;;;; ... ' 0 0 0 o. "' 0 'Oi o. "' ;;;; ... 0 0 0

8 0 0 o. 0 0 "" cG C> 0 "" "" 0 0

I ' 0 0 0 o. o. 0 "' " "" ' 0 0 ;; o. v{ 0 o. o. ... 0 0 0 .., " ' ;; 0 0 0 ... 0 "" " 0 0 0 0 0 0 0 0 "" c ·a " 0 o. o. 0 0

"' 0 v{ 0 0 "' 0 o. 0 .,.,· ·;; 2 " o. "' o. "' 0 0 " 0. 0 ;;;; "' ;; M "' > v{ M > a " .5 .. 0 M N' "' ;;;; "' ;;;; > > I z ... ... ... ... 0 ... ... "" 0 cG u z "" ... ... "" ... 0 ... 0

ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGEr BY THORNBURG INVESTMENT MANAGEMENT· SEE NOTE z

SAP AG (SPON ADR) I X X X X

I SIEMENS AKTIENGESELLSCHAFT SPONSORED ADR CMN I X X X

TELEFONICA S.A. ADR SPONSORED ADR CMN I X X X

TESCO PLC (SPONSORED) ADR, SPONSORED ADR CMN X X X

TOYOTA MOTOR CORPORATION SPON ADR X X X X TURKIYE GARANT! BANKASI AS GDS CMN X X X

CASH X X

VOLKSWAGEN AG, WOLFSBURGSPONSORED ADR PFD I USD0.4941 X X X WAI.rMART DE MEXICO SAB DE CV SPONSORED ADR

I REPSTG SER V SHS X X X X

YANDEX N.Y. CMN I X X

BRITISH SKY BROADCASTING GROUP PLC AMERICAN DEPOSITARY SHARES (I ADS= 4 ORDS) (SOLD) X X X X COCA-COLA HELLENIC BOTTLING CO SPONSORED ADR CMN (SOLD) X X X X CNOOC LTD SPONSORED ADR CMN (SOLD) I X X X X I

CSL LIMITED UNSPONSORED ADR CMN (SOLD) I X X X X

DEUTSCHE BANK AG CMN (SOLD) i X X X X

INFOSYS TECHNOLOGIES SPON ADR SPONSORED ADR I

CMN· (SOLD) I X X X X

CHINA LIFE INSURANCE co LTD SPONSORED ADR CMN I (SOLD) I X X X X

KOMATSU L TO ADR (NEW) SPONSORED ODS CMN (SOLD)I X X X X

LULULEMON ATHLETIC A INC. CMN (SOLD) I X X X X NOV ARTIS AG-ADR SPONSORED ADR CMN (SOLD) I X X X

SOUTHERN COPPER CORPORATION CMN (SOLD) I X X X X SMITH & NEPHEW PLC ADR CMN (SOLD) ! X X X X TENCENT HOLDINGS LIMITED UNSPONSORED ADR CMN I (SOLD) \ X X X

ILETISIM sPoNsoRED ADR cMNI_ X - -- -- - - -- - - - X - X -- X -- -- --


ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGED BY GS 2002 EXCHANGE PLACE FUND LP- SEE NOTE 5

99 CENTS ONLY STORES ABBOTT LABORATORIES ACCELRYS INC ACTUATE CORP ADOBE SYSTEMS INC AESCORP

' AFFILIATED MANAGERS GROUP INC I ALLEGHENY TECHNOLOGIES INC

i ALLERGAN INC ALTERACORP AMBAC FINANCIAL GROUP INC AMERICAN EXPRESS CO I

AMERICAN INTERNATIONAL GROUP !

AMERICAN TOWER CORP AMERIPRISE FINANCIAL INC AMGENINC AMYLIN PHARMACEUTICALS INC ANALOG DEVICES AOLINC AONCORP ASSOCIATED BANCORP AT&T INC AUTOMATIC DATA PROCESSING BANCO BILBAO VIZCA Y A ARGENTRIA BANCO SANTANDER SA BANK OF AMERICA CORP BANK OF NEW YORK MELLON CORP BB&TCORP BEST BUY CO INC BIOGEN !DEC INC BOEING CO BOSTON BEER CO INC -CL A BOSTON SCIENTIFIC CORP BPPLC

--- -- -


ALL SECURITIES REPORTED ON THIS PAGE ARE MANAGED BY GS 2002 EXCHANGE PLACE FUND- SEE NOTE 5

BRISTOL MYERS SQUIBB CO BROADCOM CORP BROWN FORMAN - CL A BROWN FORMAN - CL B

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W.Mitt Romney Financial Disclosure Report Attachment Page 1 0 of 13

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Schedule C Part I Response

Some investments in private equity and similar funds disclosed on Schedule A (the "Funds") are made pursuant to agreements of limited partnership, subscription agreements and/or other similar documentation that could be characterized as creating liabilities for capital calls or other payments to be made by investors. Such documentation is typically dated on or about the date of organization of the Fund or the date of the investment, which dates vary. The payments generally do not bear interest, and are due upon demand by the Fund. In the case of Funds for which there is expected to be a capital call for future investments, the following table lists the Funds and the maximum expected future liability for such capital calls, where that liability is over $10,000:

Fund Categoa Amount

A. Ann Romnev Blind Trust

GGC INVESTMENTS II-A LP Between $I 0,00 I and $15,000 GGC INVESTMENT ANNEX FUND II LP Between $100,001 and $250,000 GGC INVESTMENTS II (BVI) Between $15,001 and $50,000 GOLDEN GATE CAPITAL OPPORTUNITY FUND LP Between $250,001 and $500,000 GS CAPITAL PARTNERS 111 LP Between $15,001 and $50,000 WHITEHALL STREET GLOBAL REAL ESTATE LP 2007 Between $100,001 and $250,000 WHITEHALL STREET REAL ESTATE FUND IX/X Between $15,001 and $50,000 WHITEHALL STREET REAL ESTATE FUND XI/XII Between $I 00,001 and $250,000 SOLAMERE FOUNDERS FUND 1-B, L.P. Over $1,000,000

B. W. Mitt Romnev IRA

SANKATY CREDIT OPPORTUNITIES IV. L.P. Between $250,00 I and $500,000

W . .MITT ROMNEY

Notes to OGE Form 278, Schedule A

Other than assets and income sources listed on page 1 of Schedule A, all of the assets listed in this Report are held by the W. Mitt Romney Blind Trust, the Ann D. Romney Blind Trust, Mr. Romney's IRA or Mrs. Romney's IRA (collectively, the "Reporting Entities"). In each case, R. Bradford Malt, as Trustee (the "Trustee"), has complete investment discretion over the assets held by these investment vehicles, except where the Trustee has delegated that discretion to third party investment managers.

The management of the assets of the Reporting Entities was deemed blind by the Massachusetts State Ethics Commission. Since January 1, 2003, neither Mr. Romney nor Mrs. Romney has had any control over any of the assets acquired or disposed of by the Reporting Entities and neither Mr. Romney nor Mrs. Romney has previously received any reports identifying specific assets currently held by any of the Reporting Entities.

In instances where the asset is a fund that is not an excepted investment fund, the Reporting Entities have requested, and reported to the extent available, information about the identity of the underlying holdings of the fund and value and income amounts for these underlying holdings. Value and income amounts reported for underlying holdings are part of, and not in addition to, value and income amounts reported for the fund.

1. The underlying positions held by GS Private Client Portfolio and their asset value and income amounts are reported on pages 1-2 of the Attachment. The total asset value and total income amount for the GS Private Client Portfolio holdings are reported as of May 31, 2011, which is the most recent date for which such information is available to the Reporting Entities. This is a separately-managed account in which all investment decisions are made by Goldman Sachs, as manager, and not by Mr. Romney, by any of the Reporting Entities, or by the Trustee.

2. The underlying positions managed by Thornburg Investment Management are reported on pages 3-4 of the Attachment. The total asset value for investments managed by Thornburg and the total income amount for these investments are reported as of May 31, 2011, which is the most recent date for which such information is available to the Reporting Entities. This is a separately-managed account in which all investment decisions are made by Thornburg, as manager, and not by Mr. Romney, by any of the Reporting Entities, or by the Trustee.

3. The total asset value for Select Commodity Strategies, LLC, reported on page 3, is reported as of May 31, 2011, and the total income amount for this fund is reported as of December 31, 2010, which are the most recent dates for which such information is available to the Reporting Entities. The Reporting Entities have requested information about underlying holdings of the fund and value and income amounts for these holdings. However, the fund manager has informed the Reporting Entities that this information is confidential and proprietary, and has declined to provide such information.

4. The total asset value and total income amount for Sun Venture Capital Partners I LP, reported on page 3, are reported as of December 31, 2010, which is the most recent date for which such information is available to the Reporting Entities.

5. The underlying holdings in GS 2002 Exchange Place Fund LP, reported on page 5, are reported on pages 5-12 of the Attachment. The total asset value for this fund is reported as of May 31, 2011, and the total income amount for this fund is reported as of December 31, 2010, which are the most recent dates for which such information is available to the Reporting Entities. The value of and income amounts for the underlying holdings are not readily ascertainable.

6. For the limited partnerships Elliot Associates, LP and Solamere Founders Fund 1-B, LP, reported on page 5, the total asset value and total income amount for these limited partnerships are reported as of March 31, 2011, which is the most recent date for which such information is available to the Reporting Entities. The Reporting Entities have requested information about underlying holdings of these limited partnerships and value and income amounts for these underlying holdings. However, the managers have informed the Reporting Entities that this information is confidential and proprietary, and have declined to provide such information.

7. For the limited partnership ABRY Broadcast Partners II, LP (ABRY II), reported on page 5, the total asset value and total income amount are reported as of March 31, 2011, which is the most recent date for which such information is available to the Reporting Entities. ABRY II currently owns one investment, Nexstar Broadcasting Group, Inc.

8. For the various Golden Gate Capital limited partnerships reported on page 5 (including the CCG investments), the total asset value for these limited partnerships is reported as of March 31, 2011, and the total income amount for these limited partnerships is reported as of December 31, 2010, which are the most recent dates for which such information is available to the Reporting Entities. The Reporting Entities have requested information about underlying holdings of these limited partnerships and value and income amounts for these underlying holdings. However, the managers have informed the Reporting Entities that this information is confidential and proprietary, and have declined to provide such information.

9. Mr. Romney retired from Bain Capital on February 11, 1999 to head the Salt Lake Organizing Committee. Since February 11, 1999, Mr. Romney has not had any active role with any Bain Capital entity and has not been involved in the operations of any Bain Capital entity in any way. The investments reported on pages 5-7 of Schedule A of this Report were made pursuant to an agreement with Bain Capital regarding Mr. Romney's retirement from Bain Capital. That agreement has expired, but the Reporting Entities retain certain investments identified on this Report pursuant to investments made prior to expiration of such agreement. All of such investments are passive in nature. The total asset value and total income amount for these funds are reported as of December 31, 2010, which is the most recent date for which such information is available to the Reporting Entities. The Reporting Entities have requested information about underlying

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holdings of these investments and value and income amounts for these underlying holdings. However, the fund managers have informed the Reporting Entities that this information is confidential and proprietary, and have declined to provide such information.

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News & Politics

Romney personal finance disclosure