eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
United States Senate Financial Disclosures Candidate Report Mr. W. Mitt Romney State of Candidacy: UT | Candidacy Commenced: 02/16/2018
! Filed 03/23/2018 @ 9/27 AM
The following statements were checked before filing:
I certify that the statements I have made on this form are true, complete and correct to the best of my knowledge and belief. I understand that reports cannot be edited once filed. To make corrections, I will submit an electronic amendment to this report.
I omitted assets because they meet the three-part test for exemption.
Part 1. Honoraria Payments or Payments to Charity in Lieu of Honoraria Did any individual or organization pay you or your spouse more than $200 or donate any amount to a charity on your behalf, for an article, speech, or appearance? Yes
# Date Activity Amount Who Paid? Who received payment?
1 02/01/2017 Speech $99,500.00 Deutsche Bank Self New York, NY 2 03/02/2017 Speech $15,000.00 American Apparel A Charity and Footwear Association Washington, DC 3 03/02/2017 Speech $15,000.00 New Balance A Charity Boston, MA 4 04/05/2017 Speech $100,000.00 McKinsey & Self Company New York, NY 5 04/05/2017 Speech $100,000.00 TD Ameritrade Self Omaha, NE 6 04/05/2017 Speech $98,792.00 US Chamber Self Institute for Legal Reform Washington, DC 7 06/21/2017 Speech $20,000.00 Biotechnology Spouse Innovation Organization Washington, DC 8 08/18/2017 Speech $60,000.00 Academy Mortgage Self Draper, UT 9 08/18/2017 Speech $40,000.00 Goldman Sachs Self
New York, NY
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 1 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
10 08/18/2017 Speech $100,000.00 National Multifamily Self Housing Council Washington, DC 11 08/18/2017 Speech $100,000.00 NBCUniversal Media, Self LLC New York, NY 12 08/21/2017 Speech $40,000.00 Goldman Sachs Self New York, NY 13 08/21/2017 Speech $100,000.00 Blue Cross Blue Self Shield Chicago, IL 14 08/21/2017 Speech $100,000.00 Itau BBA Self Sao Paulo, Brasil 15 09/19/2017 Speech $122,000.00 Deutsche Bank Self London, United Kingdom 16 10/19/2017 Speech $84,000.00 Stream Realty Self Partners Houston, TX 17 11/14/2017 Speech $97,000.00 Robarts Research A Charity Institute Ontario, Canada 18 12/19/2017 Speech $100,000.00 Centerview Partners Self New York, NY 19 01/22/2018 Speech $40,260.31 Retail Industry Self Leaders Association Arlington, VA 20 02/11/2018 Speech $137,082.00 NBCUniversal Media, Self LLC
New York, NY
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 2 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Part 2. Earned and Non-Investment Income Did you or your spouse have reportable earned income or non-investment income? Yes
Who Was # Paid Type Who Paid Amount Paid
1 Self Other Marriott International $131,039.00 (Director Bethesda, MD Fee) 2 Self Other Solamere Capital $220,000.00 (Director Boston, MA Fee) 3 Self Retirement Goldman Sachs IRA Account $1,675,642.00 (Retirement Account Distribution) New York, NY 4 Spouse Royalties St. Martin's Press (Publisher of "In This > $1,000 Together") New York, NY
Part 3. Assets Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a balance over $5,000, or receive income of more than $200 from an asset? Yes
Income Asset Asset Type Owner Value Type Income
1 The Ann D. Romney 1998 Trust Spouse Revocable Trust General Trust 1.1 Goldman Sachs Brokerage/Managed Spouse Investment Advisory Account Account 1.1.1 Goldman Sachs Bank Bank Deposit Spouse $15,001 - Interest, $201 - $1,000 Deposit $50,000 (Boston, MA) Type: Brokerage Sweep Account, 1.1.2 BARCLAYS BANK PLC Other Securities Spouse Over None, None (or less LINKED TO 30Y EURO $1,000,000 than $201) CMS UPSIDE/DOWNSIDE and held LEVERED STRUCTURED independently NOTE DUE 02/18/2020 by spouse or Description: Barclays FX dependent Structured Note (New York, child NY) 1.1.3 GDFIX - Goldman Sachs Mutual Funds Spouse Over Excepted $15,001 - Short Duration Inc Instl Mutual Fund $1,000,000 Investment $50,000 and held Fund,
independently
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 3 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
by spouse or dependent child 1.1.4 GSTGX - Goldman Sachs Mutual Funds Spouse $100,001 - Excepted $1,001 - Short Dur Govt Instl Mutual Fund $250,000 Investment $2,500 Fund, 1.1.5 THE GOLDMAN SACHS Other Securities Spouse Over Interest, $100,001 - GROUP, INC. LINKED TO $1,000,000 $1,000,000 10Y CMS FLOATING CPN and held DUE 05/05/2025 SR LIEN independently Description: Goldman Sachs by spouse or CMS Structured Note (New dependent York, NY) child 1.1.6 BNP PARIBAS LINKED TO Equity Index-Linked Spouse Over None, None (or less INTL EQ BSKT UPSIDE Note $1,000,000 than $201) LEVERED NO CAP W and held BUFFER STRUCTURED independently NOTE DUE 06/13/2018 by spouse or dependent child 1.1.7 DEUTSCHE BANK AG- Equity Index-Linked Spouse $100,001 - None, None (or less LONDON BRANCH LINKED Note $250,000 than $201) TO INTL EQ BSKT UPSIDE LEVERED NO CAP W BUFFER STRUCTURED NOTE DUE 06/13/2018 1.1.8 JPMORGAN CHASE & CO. Equity Index-Linked Spouse $250,001 - None, None (or less LINKED TO BASKET OF Note $500,000 than $201) INDICES UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 12/16/2019 1.1.9 MORGAN STANLEY Equity Index-Linked Spouse Over None, None (or less LINKED TO EURO STOXX Note $1,000,000 than $201) 50 PR UPSIDE LEVERED and held CAPPED STRUCTURED independently NOTE DUE 09/17/2019 by spouse or dependent child 1.1.10 SOCIETE GENERALE Equity Index-Linked Spouse $100,001 - None, None (or less LINKED TO INTL EQ BSKT Note $250,000 than $201) UPSIDE LEVERED NO CAP STRUCTURED NOTE DUE 06/13/2018 1.1.11 GSFRX - Goldman Sachs Mutual Funds Spouse Over Excepted $100,001 - High Yield Fl Rate Instl Mutual Fund $1,000,000 Investment $1,000,000 and held Fund, independently by spouse or dependent child 1.1.12 NFRIX - Nuveen Mutual Funds Spouse Over Excepted $100,001 - Symphony Floating Rate Mutual Fund $1,000,000 Investment $1,000,000 Income I and held Fund,
independently
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 4 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
by spouse or dependent child 1.1.13 PIMIX - PIMCO Income Mutual Funds Spouse Over Excepted $100,001 - Instl Mutual Fund $1,000,000 Investment $1,000,000 and held Fund, independently by spouse or dependent child 1.1.14 THE GOLDMAN SACHS Other Securities Spouse Over None, None (or less GROUP, INC. LINKED TO $1,000,000 than $201) FX BASKET 9% COUPON and held DUE 12/19/2019 independently STRUCTURED NOTE by spouse or Description: Goldman Sachs dependent FX Linked Structured child Note (New York, NY) 1.1.15 CANADIAN IMPERIAL Equity Index-Linked Spouse $500,001 - None, None (or less BANK OF COMM LINKED Note $1,000,000 than $201) TO S&P 500 INDEX UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 08/23/2018 1.1.16 CITIGROUP INC. LINKED Equity Index-Linked Spouse $100,001 - None, None (or less TO S&P 500 INDEX Note $250,000 than $201) UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 06/01/2018 1.1.17 CREDIT SUISSE AG Equity Index-Linked Spouse $500,001 - None, None (or less LINKED TO RUSSELL 2000 Note $1,000,000 than $201) INDEX UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 11/21/2019 1.1.18 KBE - SPDR S&P Bank ETF Mutual Funds Spouse Over Excepted $5,001 - Exchange Traded $1,000,000 Investment $15,000 Fund/Note and held Fund, independently by spouse or dependent child 1.1.19 SPY - SPDR S&P 500 ETF Mutual Funds Spouse $50,001 - Excepted $1,001 - Exchange Traded $100,000 Investment $2,500 Fund/Note Fund, 1.1.20 GSMMX - Goldman Sachs Mutual Funds Spouse None (or less Excepted $5,001 - Multi-Manager Alts Instl Mutual Fund than $1,001) Investment $15,000 Fund, 1.1.21 CREDIT SUISSE AG Equity Index-Linked Spouse None (or less Capital $5,001 - LINKED TO S&P 500 Note than $1,001) Gains, $15,000 INDEX UPSIDE LEVERED CAPPED W BUFFER STRUCTURED NOTE DUE
05/03/2017
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 5 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.2 Goldman Sachs Managed Brokerage/Managed Spouse Account #1 Account 1.2.1 ACSAY - ACS, Actividades Corporate Spouse $1,001 - Capital None (or less de Construcción y Securities $15,000 Gains, than $201) Servicios, S.A. Stock 1.2.2 AER - AerCap Holdings Corporate Spouse $1,001 - None, None (or less N.V. Securities $15,000 than $201) Stock 1.2.3 AAGIY - AIA Group Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 1.2.4 EADSY - Airbus SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.2.5 ABEV - Ambev S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.6 MT - ArcelorMittal Corporate Spouse $1,001 - Capital $201 - $1,000 Securities $15,000 Gains, Stock 1.2.7 AXAHY - AXA SA Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.2.8 BAESY - BAE Systems plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.9 BIDU - Baidu, Inc. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.2.10 SAN - Banco Santander, Corporate Spouse $1,001 - Dividends, None (or less S.A. Securities $15,000 than $201) Stock 1.2.11 BAYRY - Bayer Corporate Spouse $1,001 - Dividends, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 1.2.12 BBL - BHP Billiton plc Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.2.13 BTI - British American Corporate Spouse $1,001 - Dividends, $201 - $1,000 Tobacco p.l.c. Securities $15,000 Stock 1.2.14 CNQ - Canadian Natural Corporate Spouse $1,001 - Dividends, None (or less Resources Limited Securities $15,000 than $201) Stock 1.2.15 CABGY - Carlsberg A/S Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.16 CRRFY - Carrefour SA Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.17 CKHUY - CK Hutchison Corporate Spouse $1,001 - Dividends, None (or less
Securities $15,000 than $201)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 6 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Holdings Limited Stock
1.2.18 DBSDY - DBS Group Corporate Spouse $1,001 - Dividends, $201 - $1,000 Holdings Ltd Securities $15,000 Capital Stock Gains, 1.2.19 DBOEY - Deutsche Börse Corporate Spouse $1,001 - Dividends, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 1.2.20 DNHBY - DNB ASA Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.2.21 EONGY - E.ON SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.2.22 ENGIY - ENGIE SA Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.23 ESLOY - Essilor Corporate Spouse $1,001 - Dividends, None (or less International Société Securities $15,000 than $201) Anonyme Stock 1.2.24 FRCOY - Fast Retailing Corporate Spouse $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201) Stock 1.2.25 Goldman Sachs Bank Bank Deposit Spouse $1,001 - Interest, None (or less Deposit $15,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 1.2.26 HSBC - HSBC Holdings plc Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.2.27 ISNPY - Intesa Sanpaolo Corporate Spouse $1,001 - Dividends, $201 - $1,000 S.p.A. Securities $15,000 Capital Stock Gains, 1.2.28 JBAXY - Julius Baer Corporate Spouse $1,001 - Dividends, None (or less Group Ltd. Securities $15,000 Capital than $201) Stock Gains, 1.2.29 KKPNY - Koninklijke KPN Corporate Spouse $1,001 - Dividends, None (or less N.V. Securities $15,000 than $201) Stock 1.2.30 LYG - Lloyds Banking Corporate Spouse $1,001 - Dividends, None (or less Group plc Securities $15,000 than $201) Stock 1.2.31 MITEY - Mitsubishi Estate Corporate Spouse $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201) Stock 1.2.32 ORAN - Orange S.A. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.2.33 OTSKY - Otsuka Holdings Corporate Spouse $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 7 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.2.34 PCRFY - Panasonic Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.2.35 PM - Philip Morris Corporate Spouse $1,001 - Dividends, None (or less International Inc. Securities $15,000 than $201) Stock 1.2.36 RHHBY - Roche Holding Corporate Spouse $1,001 - None, None (or less AG Securities $15,000 than $201) Stock 1.2.37 RDSMY - Koninklijke DSM Corporate Spouse $1,001 - Dividends, $201 - $1,000 N.V. Securities $15,000 Capital Stock Gains, 1.2.38 RDS-A - Royal Dutch Shell Corporate Spouse $1,001 - Dividends, $201 - $1,000 plc Securities $15,000 Capital Stock Gains, 1.2.39 SAP - SAP SE Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.40 SLB - Schlumberger Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 1.2.41 SOMLY - SECOM CO., LTD. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.42 SVNDY - Seven & i Corporate Spouse $1,001 - Dividends, None (or less Holdings Co., Ltd. Securities $15,000 than $201) Stock 1.2.43 SNN - Smith & Nephew plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.44 SMFG - Sumitomo Mitsui Corporate Spouse $1,001 - Dividends, None (or less Financial Group, Inc. Securities $15,000 than $201) Stock 1.2.45 TTM - Tata Motors Limited Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.2.46 TRYIY - Toray Industries, Corporate Spouse $1,001 - Dividends, None (or less Inc. Securities $15,000 than $201) Stock 1.2.47 TOT - TOTAL S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.2.48 AHEXY - Adecco Group Corporate Spouse None (or less Dividends, $201 - $1,000 AG Securities than $1,001) Capital Stock Gains, 1.2.49 AEG - AEGON N.V. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.2.50 BBVA - Banco Bilbao Corporate Spouse None (or less Capital $201 - $1,000 Vizcaya Argentaria, S.A. Securities than $1,001) Gains, Stock
1.2.51 FMS - Fresenius Medical Corporate Spouse None (or less Dividends, $201 - $1,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 8 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Care AG & Co. KGaA Securities than $1,001) Capital Stock Gains, 1.2.52 KMTUY - Komatsu Ltd. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.2.53 SEKEY - Seiko Epson Corporate Spouse None (or less Dividends, $201 - $1,000 Corporation Securities than $1,001) Capital Stock Gains, 1.2.54 VIVHY - Vivendi SA Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.3 Goldman Sachs Managed Brokerage/Managed Spouse Account #2 Account 1.3.1 AIG - American Corporate Spouse None (or less Dividends, $201 - $1,000 International Group, Inc. Securities than $1,001) Capital Stock Gains, 1.3.2 AON - Aon plc Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.3.3 AAPL - Apple Inc. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.3.4 BRK-B - Berkshire Corporate Spouse None (or less Capital $1,001 - Hathaway Inc. Securities than $1,001) Gains, $2,500 Stock 1.3.5 CP - Canadian Pacific Corporate Spouse None (or less Dividends, $201 - $1,000 Railway Limited Securities than $1,001) Capital Stock Gains, 1.3.6 CTSH - Cognizant Corporate Spouse None (or less Dividends, $201 - $1,000 Technology Solutions Securities than $1,001) Capital Corporation Stock Gains, 1.3.7 CMCSA - Comcast Corporate Spouse None (or less Dividends, $201 - $1,000 Corporation Securities than $1,001) Capital Stock Gains, 1.3.8 DG - Dollar General Corporate Spouse None (or less Dividends, $2,501 - Corporation Securities than $1,001) Capital $5,000 Stock Gains, 1.3.9 LB - L Brands, Inc. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.3.10 MSFT - Microsoft Corporate Spouse None (or less Dividends, $1,001 - Corporation Securities than $1,001) Capital $2,500 Stock Gains, 1.3.11 MSI - Motorola Solutions, Corporate Spouse None (or less Dividends, $201 - $1,000 Inc. Securities than $1,001) Capital Stock Gains, 1.3.12 ORCL - Oracle Corporate Spouse None (or less Dividends, $201 - $1,000 Corporation Securities than $1,001) Capital Stock Gains, 1.3.13 PCLN - Booking Holdings Corporate Spouse None (or less Capital $201 - $1,000 Inc. Securities than $1,001) Gains,
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 9 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.3.14 SAP - SAP SE Corporate Spouse None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains, 1.3.15 WLTW - Willis Towers Corporate Spouse None (or less Dividends, $1,001 - Watson Public Limited Securities than $1,001) Capital $2,500 Company Stock Gains, 1.4 Goldman Sachs Managed Brokerage/Managed Spouse Account #3 Account 1.4.1 ABT - Abbott Laboratories Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.4.2 ADBE - Adobe Systems Corporate Spouse $15,001 - None, None (or less Incorporated Securities $50,000 than $201) Stock 1.4.3 BABA - Alibaba Group Corporate Spouse $15,001 - None, None (or less Holding Limited Securities $50,000 than $201) Stock 1.4.4 GOOGL - Alphabet Inc. Corporate Spouse $15,001 - None, None (or less Securities $50,000 than $201) Stock 1.4.5 BDX - Becton, Dickinson Corporate Spouse $1,001 - Dividends, None (or less and Company Securities $15,000 than $201) Stock 1.4.6 BKNG - Booking Holdings Corporate Spouse $1,001 - None, None (or less Inc. Securities $15,000 than $201) Stock 1.4.7 CP - Canadian Pacific Corporate Spouse $1,001 - Dividends, None (or less Railway Limited Securities $15,000 than $201) Stock 1.4.8 SCHW - The Charles Corporate Spouse $15,001 - Dividends, None (or less Schwab Corporation Securities $50,000 than $201) Stock 1.4.9 DLTR - Dollar Tree, Inc. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.4.10 EA - Electronic Arts Inc. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.4.11 FB - Facebook, Inc. Corporate Spouse $15,001 - None, None (or less Securities $50,000 than $201) Stock 1.4.12 Goldman Sachs Bank Bank Deposit Spouse $1,001 - Interest, None (or less Deposit $15,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 1.4.13 KSU - Kansas City Corporate Spouse $1,001 - Dividends, $201 - $1,000 Southern Securities $15,000 Capital Stock Gains, 1.4.14 MSFT - Microsoft Corporate Spouse $15,001 - Dividends, $201 - $1,000
Securities
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 10 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Corporation Stock $50,000
1.4.15 MNST - Monster Beverage Corporate Spouse $1,001 - None, None (or less Corporation Securities $15,000 than $201) Stock 1.4.16 MSCI - MSCI Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.4.17 NCLH - Norwegian Cruise Corporate Spouse $1,001 - None, None (or less Line Holdings Ltd. Securities $15,000 than $201) Stock 1.4.18 PYPL - PayPal Holdings, Corporate Spouse $1,001 - None, None (or less Inc. Securities $15,000 than $201) Stock 1.4.19 REGN - Regeneron Corporate Spouse $1,001 - None, None (or less Pharmaceuticals, Inc. Securities $15,000 than $201) Stock 1.4.20 RCL - Royal Caribbean Corporate Spouse $1,001 - Dividends, $201 - $1,000 Cruises Ltd. Securities $15,000 Stock 1.4.21 SIRI - Sirius XM Holdings Corporate Spouse $1,001 - None, None (or less Inc. Securities $15,000 than $201) Stock 1.4.22 TCEHY - Tencent Holdings Corporate Spouse $15,001 - Dividends, None (or less Limited Securities $50,000 than $201) Stock 1.4.23 TMO - Thermo Fisher Corporate Spouse $1,001 - Dividends, None (or less Scientific Inc. Securities $15,000 than $201) Stock 1.4.24 TD - The Toronto- Corporate Spouse $1,001 - Dividends, $201 - $1,000 Dominion Bank Securities $15,000 Stock 1.4.25 V - Visa Inc. Corporate Spouse $15,001 - Dividends, None (or less Securities $50,000 than $201) Stock 1.4.26 WYNN - Wynn Resorts, Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 1.4.27 ZTS - Zoetis Inc. Corporate Spouse $15,001 - Dividends, None (or less Securities $50,000 than $201) Stock 1.4.28 AON - Aon plc Corporate Spouse None (or less Capital $2,501 - Securities than $1,001) Gains, $5,000 Stock 1.4.29 AAPL - Apple Inc. Corporate Spouse None (or less Capital $2,501 - Securities than $1,001) Gains, $5,000 Stock 1.4.30 BRK-B - Berkshire Corporate Spouse None (or less Capital $2,501 - Hathaway Inc. Securities than $1,001) Gains, $5,000 Stock 1.4.31 CDK - CDK Global, Inc. Corporate Spouse None (or less Capital $201 - $1,000
Securities than $1,001) Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 11 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 1.4.32 CERN - Cerner Corporate Spouse None (or less Capital $201 - $1,000 Corporation Securities than $1,001) Gains, Stock 1.4.33 CTSH - Cognizant Corporate Spouse None (or less Capital $2,501 - Technology Solutions Securities than $1,001) Gains, $5,000 Corporation Stock 1.4.34 CMCSA - Comcast Corporate Spouse None (or less Capital $2,501 - Corporation Securities than $1,001) Gains, $5,000 Stock 1.4.35 GNTX - Gentex Corporate Spouse None (or less Capital $1,001 - Corporation Securities than $1,001) Gains, $2,500 Stock 1.4.36 MSI - Motorola Solutions, Corporate Spouse None (or less Capital $2,501 - Inc. Securities than $1,001) Gains, $5,000 Stock 1.4.37 ORCL - Oracle Corporate Spouse None (or less Capital $2,501 - Corporation Securities than $1,001) Gains, $5,000 Stock 1.4.38 SHW - The Sherwin- Corporate Spouse None (or less Capital $2,501 - Williams Company Securities than $1,001) Gains, $5,000 Stock 1.4.39 TWX - Time Warner Inc. Corporate Spouse None (or less Capital $1,001 - Securities than $1,001) Gains, $2,500 Stock 1.5 Goldman Sachs Managed Brokerage/Managed Spouse Account #4 Account 1.5.1 AET - Aetna Inc. Corporate Spouse $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 1.5.2 EADSY - Airbus SE Corporate Spouse $15,001 - Dividends, None (or less Securities $50,000 than $201) Stock 1.5.3 GOOG - Alphabet Inc. Corporate Spouse $15,001 - None, None (or less Securities $50,000 than $201) Stock 1.5.4 ABC - AmerisourceBergen Corporate Spouse $15,001 - Dividends, $1,001 - Corporation Securities $50,000 Capital $2,500 Stock Gains, 1.5.5 ANTM - Anthem, Inc. Corporate Spouse $1,001 - Capital $2,501 - Securities $15,000 Gains, $5,000 Stock 1.5.6 AZO - AutoZone, Inc. Corporate Spouse $1,001 - Capital $1,001 - Securities $15,000 Gains, $2,500 Stock 1.5.7 AXTA - Axalta Coating Corporate Spouse $15,001 - Dividends, None (or less Systems Ltd. Securities $50,000 than $201) Stock 1.5.8 AXS - AXIS Capital Corporate Spouse $1,001 - Capital $1,001 - Holdings Limited Securities $15,000 Gains, $2,500
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 12 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.5.9 CAH - Cardinal Health, Corporate Spouse $1,001 - Dividends, $201 - $1,000 Inc. Securities $15,000 Stock 1.5.10 CBG - CBRE Group, Inc. Corporate Spouse $1,001 - Capital $1,001 - Securities $15,000 Gains, $2,500 Stock 1.5.11 CVS - CVS Health Corporate Spouse $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Stock 1.5.12 RE - Everest Re Group, Corporate Spouse $1,001 - Dividends, $1,001 - Ltd. Securities $15,000 Capital $2,500 Stock Gains, 1.5.13 GKNLY - GKN plc Corporate Spouse $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 1.5.14 Goldman Sachs Bank Bank Deposit Spouse $15,001 - Interest, $201 - $1,000 Deposit $50,000 (Boston, MA) Type: Brokerage Sweep Account, 1.5.15 HLT - Hilton Worldwide Corporate Spouse $1,001 - Dividends, $1,001 - Holdings Inc. Securities $15,000 Capital $2,500 Stock Gains, 1.5.16 MA - Mastercard Corporate Spouse $15,001 - Dividends, $1,001 - Incorporated Securities $50,000 Capital $2,500 Stock Gains, 1.5.17 MCK - McKesson Corporate Spouse $15,001 - Dividends, None (or less Corporation Securities $50,000 Capital than $201) Stock Gains, 1.5.18 MCO - Moody's Corporate Spouse $1,001 - Dividends, $1,001 - Corporation Securities $15,000 Capital $2,500 Stock Gains, 1.5.19 NOV - National Oilwell Corporate Spouse $15,001 - Dividends, None (or less Varco, Inc. Securities $50,000 Capital than $201) Stock Gains, 1.5.20 NTRS - Northern Trust Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.5.21 ORLY - O'Reilly Corporate Spouse $1,001 - Capital $1,001 - Automotive, Inc. Securities $15,000 Gains, $2,500 Stock 1.5.22 ORCL - Oracle Corporate Spouse $15,001 - Dividends, $1,001 - Corporation Securities $50,000 Capital $2,500 Stock Gains, 1.5.23 PH - Parker-Hannifin Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.5.24 QRVO - Qorvo, Inc. Corporate Spouse $15,001 - Capital $1,001 - Securities $50,000 Gains, $2,500 Stock 1.5.25 SPGI - S&P Global Inc. Corporate Spouse $1,001 - Capital $201 - $1,000
Securities $15,000 Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 13 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 1.5.26 SABR - Sabre Corporation Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.5.27 SWKS - Skyworks Corporate Spouse $15,001 - Dividends, $2,501 - Solutions, Inc. Securities $50,000 Capital $5,000 Stock Gains, 1.5.28 STT - State Street Corporate Spouse $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Capital Stock Gains, 1.5.29 SSREY - Swiss Re Ltd Corporate Spouse $15,001 - Dividends, $201 - $1,000 Securities $50,000 Capital Stock Gains, 1.5.30 BK - The Bank of New Corporate Spouse $1,001 - Dividends, $201 - $1,000 York Mellon Corporation Securities $15,000 Stock 1.5.31 UTX - United Corporate Spouse $1,001 - Dividends, $1,001 - Technologies Corporation Securities $15,000 Capital $2,500 Stock Gains, 1.5.32 V - Visa Inc. Corporate Spouse $15,001 - Dividends, $1,001 - Securities $50,000 Capital $2,500 Stock Gains, 1.5.33 BA - The Boeing Company Corporate Spouse None (or less Dividends, $5,001 - Securities than $1,001) Capital $15,000 Stock Gains, 1.5.34 BKNG - Booking Holdings Corporate Spouse None (or less Capital $201 - $1,000 Inc. Securities than $1,001) Gains, Stock 1.5.35 CSCO - Cisco Systems, Corporate Spouse None (or less Dividends, $1,001 - Inc. Securities than $1,001) Capital $2,500 Stock Gains, 1.5.36 HGV - Hilton Grand Corporate Spouse None (or less Capital $1,001 - Vacations Inc. Securities than $1,001) Gains, $2,500 Stock 1.5.37 IHG - InterContinental Corporate Spouse None (or less Dividends, $2,501 - Hotels Group PLC Securities than $1,001) Capital $5,000 Stock Gains, 1.5.38 PH - Parker-Hannifin Corporate Spouse None (or less Dividends, $201 - $1,000 Corporation Securities than $1,001) Capital Stock Gains, 1.5.39 SSNC - SS&C Corporate Spouse None (or less Dividends, $2,501 - Technologies Holdings, Securities than $1,001) Capital $5,000 Inc. Stock Gains, 1.5.40 TWX - Time Warner Inc. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.5.41 DIS - The Walt Disney Corporate Spouse None (or less Dividends, $201 - $1,000 Company Securities than $1,001) Capital Stock Gains, 1.5.42 WPP - WPP plc Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital
Stock Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 14 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.6 Goldman Sachs Managed Brokerage/Managed Spouse Account #5 Account 1.6.1 ABBVIE INC. USD SER B Corporate Spouse $100,001 - Interest, $1,001 - SR LIEN Securities $250,000 $2,500 Rate/Coupon: 2% Corporate Bond Matures: 11/06/2018 1.6.2 ACTAVIS FUNDING SCS Corporate Spouse $50,001 - Interest, $1,001 - USD SR LIEN Securities $100,000 $2,500 Rate/Coupon: 3% Corporate Bond Matures: 03/12/2020 1.6.3 ALTRIA GROUP, INC. USD Corporate Spouse $100,001 - Interest, $5,001 - SR LIEN Securities $250,000 $15,000 Rate/Coupon: 9.7% Corporate Bond Matures: 11/10/2018 1.6.4 APPLE INC. SR LIEN Corporate Spouse $50,001 - Interest, $1,001 - Rate/Coupon: 2.1% Securities $100,000 $2,500 Matures: 09/12/2022 Corporate Bond 1.6.5 CISCO SYSTEMS, INC. Corporate Spouse $100,001 - Interest, $2,501 - USD SR LIEN Securities $250,000 $5,000 Rate/Coupon: 2.45% Corporate Bond Matures: 06/15/2020 1.6.6 CITIGROUP INC USD SR Corporate Spouse $100,001 - Interest, $2,501 - LIEN Securities $250,000 $5,000 Rate/Coupon: 2.35% Corporate Bond Matures: 08/02/2021 1.6.7 CITIZENS FINANCIAL Corporate Spouse $100,001 - Interest, $2,501 - GROUP, INC. USD SR LIEN Securities $250,000 $5,000 Rate/Coupon: 2.375% Corporate Bond Matures: 07/28/2021 1.6.8 DANAHER CORPORATION Corporate Spouse $100,001 - Interest, $1,001 - USD SR LIEN Securities $250,000 Capital $2,500 Rate/Coupon: 2.4% Corporate Bond Gains, Matures: 09/15/2020 1.6.9 FEDERAL HOME LOAN Government Spouse $100,001 - Interest, $1,001 - BANK SYSTEM 1.25% Securities $250,000 $2,500 06/08/2018 SER IX-9018 US SR LIEN Treasury/Agency Rate/Coupon: None Security Matures: None 1.6.10 FEDERAL HOME LOAN Government Spouse $100,001 - Interest, $1,001 - BANK SYSTEM 1.75% Securities $250,000 $2,500 12/14/2018 SER FM-9018 US SR LIEN Treasury/Agency Rate/Coupon: None Security Matures: None 1.6.11 FEDERAL HOME LOAN Government Spouse $100,001 - Interest, $2,501 - BANK SYSTEM 2.75% Securities $250,000 $5,000 06/08/2018 SER AZ-9018 US SR LIEN Treasury/Agency Rate/Coupon: None Security Matures: None
1.6.12 FHLB 1.875% 03/13/2020 Government Spouse $50,001 - Interest, $1,001 -
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 15 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
SER XJ-2020 SR LIEN Securities $100,000 $2,500 Rate/Coupon: None US Matures: None Treasury/Agency Security 1.6.13 FHLB 2.0% 09/14/2018 Government Spouse $100,001 - Interest, $2,501 - SER DU-9018 SR LIEN Securities $250,000 $5,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 1.6.14 Goldman Sachs Bank Bank Deposit Spouse $15,001 - Interest, $1,001 - Deposit $50,000 $2,500 (Boston, MA) Type: Brokerage Sweep Account, 1.6.15 INGERSOLL-RAND Corporate Spouse $50,001 - Interest, $5,001 - GLOBAL HOLDING SR Securities $100,000 $15,000 LIEN Corporate Bond Rate/Coupon: 6.875% Matures: 08/15/2018 1.6.16 JOHN DEERE CAPITAL Corporate Spouse $50,001 - Interest, $1,001 - CORP MTN USD SR LIEN Securities $100,000 Capital $2,500 Rate/Coupon: 1.25% Corporate Bond Gains, Matures: 10/09/2019 1.6.17 JPMORGAN CHASE & CO Corporate Spouse $50,001 - Interest, $1,001 - USD SR LIEN Securities $100,000 $2,500 Rate/Coupon: 1.85% Corporate Bond Matures: 03/22/2019 1.6.18 LEGG MASON, INC. USD Corporate Spouse $50,001 - Interest, $1,001 - SR LIEN Securities $100,000 $2,500 Rate/Coupon: 2.7% Corporate Bond Matures: 07/15/2019 1.6.19 MORGAN STANLEY USD Corporate Spouse $100,001 - Interest, $2,501 - SR LIEN Securities $250,000 $5,000 Rate/Coupon: 2.65% Corporate Bond Matures: 01/27/2020 1.6.20 OMNICOM GROUP INC. Corporate Spouse $100,001 - Interest, $5,001 - USD SR LIEN Securities $250,000 $15,000 Rate/Coupon: 4.45% Corporate Bond Matures: 08/15/2020 1.6.21 ROYAL BANK OF CANADA Corporate Spouse $100,001 - Interest, $1,001 - MTN USD SR LIEN Securities $250,000 Capital $2,500 Rate/Coupon: 1.5% Corporate Bond Gains, Matures: 07/29/2019 1.6.22 SHIRE ACQUISITIONS Corporate Spouse $50,001 - Interest, $1,001 - INVESTMENTS USD SR Securities $100,000 Capital $2,500 LIEN Corporate Bond Gains, Rate/Coupon: 2.4% Matures: 09/23/2021 1.6.23 TORONTO-DOMINION Corporate Spouse $50,001 - Interest, $1,001 - BANK MTN USD SR LIEN Securities $100,000 $2,500 Rate/Coupon: 1.45% Corporate Bond Matures: 09/06/2018
1.6.24 U.S. TREASURY NOTE Government Spouse $100,001 - Interest, $2,501 -
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 16 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.500000% 10/31/2019 Securities $250,000 $5,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 1.6.25 U.S. TREASURY NOTE Government Spouse $50,001 - Interest, $1,001 - 1.625000% 08/15/2022 Securities $100,000 $2,500 Rate/Coupon: None US Matures: None Treasury/Agency Security 1.6.26 U.S. TREASURY NOTE Government Spouse $100,001 - Interest, $2,501 - 2.125000% 12/31/2022 Securities $250,000 $5,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 1.6.27 VERIZON Corporate Spouse $50,001 - Interest, None (or less COMMUNICATIONS INC. Securities $100,000 Capital than $201) USD SR LIEN Corporate Bond Gains, Rate/Coupon: 1.75% Matures: 08/15/2021 1.6.28 VMWARE INC USD SR Corporate Spouse $50,001 - Interest, $2,501 - LIEN Securities $100,000 $5,000 Rate/Coupon: 2.95% Corporate Bond Matures: 08/21/2022 1.6.29 VMWARE INC USD SR Corporate Spouse $50,001 - Interest, $1,001 - LIEN Securities $100,000 $2,500 Rate/Coupon: 2.95% Corporate Bond Matures: 08/21/2022 1.6.30 WAL-MART STORES INC Corporate Spouse $50,001 - Interest, $1,001 - SR LIEN Securities $100,000 Capital $2,500 Rate/Coupon: 2.35% Corporate Bond Gains, Matures: 12/15/2022 1.6.31 WELLS FARGO & Corporate Spouse $50,001 - Interest, $1,001 - COMPANY USD SR LIEN Securities $100,000 Capital $2,500 Rate/Coupon: 2.1% Corporate Bond Gains, Matures: 07/26/2021 1.6.32 ZOETIS INC USD SR LIEN Corporate Spouse $50,001 - Interest, $2,501 - Rate/Coupon: 3.45% Securities $100,000 $5,000 Matures: 11/13/2020 Corporate Bond 1.6.33 IFC MTN 1.125% Other Securities Spouse $100,001 - Interest, $1,001 - 07/20/2021 $250,000 $2,500 Description: International Finance Corporation - World Bank Group Bond (Washington, DC) 1.6.34 KFW 1.0% 07/15/2019 USD Other Securities Spouse $50,001 - Interest, $1,001 - SR LIEN $100,000 $2,500 Description: German government-owned development bank bond (Frankfurt, Germany) 1.6.35 KFW 2.0% 09/29/2022 SR Other Securities Spouse $50,001 - Interest, $1,001 - LIEN $100,000 $2,500
Description: German
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 17 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
government-owned development bank bond (Frankfurt, Germany) 1.6.36 NIB MTN 2.25% Other Securities Spouse $100,001 - Interest, $2,501 - 09/30/2021 SR LIEN $250,000 $5,000 Description: Nordic Investment Bank Bond (Helsinki, Finland) 1.7 Goldman Sachs Managed Brokerage/Managed Spouse Account #6 Account 1.7.1 ABBV - AbbVie Inc. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.7.2 APD - Air Products and Corporate Spouse $1,001 - Dividends, None (or less Chemicals, Inc. Securities $15,000 than $201) Stock 1.7.3 AGN - Allergan plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.4 ALL - The Allstate Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.5 AEP - American Electric Corporate Spouse $1,001 - Dividends, None (or less Power Company, Inc. Securities $15,000 than $201) Stock 1.7.6 AXP - American Express Corporate Spouse $1,001 - Dividends, None (or less Company Securities $15,000 than $201) Stock 1.7.7 AMP - Ameriprise Corporate Spouse $1,001 - Dividends, $201 - $1,000 Financial, Inc. Securities $15,000 Capital Stock Gains, 1.7.8 AMGN - Amgen Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.9 T - AT&T Inc. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.7.10 BAC - Bank of America Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.11 BRK-B - Berkshire Corporate Spouse $1,001 - None, None (or less Hathaway Inc. Securities $15,000 than $201) Stock 1.7.12 BIIB - Biogen Inc. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.7.13 BWA - BorgWarner Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.14 AVGO - Broadcom Limited Corporate Spouse $1,001 - Capital None (or less Securities $15,000 Gains, than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 18 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.7.15 CAT - Caterpillar Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.16 CBS - CBS Corporation Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.17 CVX - Chevron Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Stock 1.7.18 CB - Chubb Limited Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.7.19 CSCO - Cisco Systems, Corporate Spouse $1,001 - Dividends, $2,501 - Inc. Securities $15,000 Capital $5,000 Stock Gains, 1.7.20 CMCSA - Comcast Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.21 COP - ConocoPhillips Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.7.22 DHR - Danaher Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 Capital than $201) Stock Gains, 1.7.23 DE - Deere & Company Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.24 DAL - Delta Air Lines, Inc. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.7.25 DVN - Devon Energy Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.7.26 DFS - Discover Financial Corporate Spouse $1,001 - Dividends, None (or less Services Securities $15,000 than $201) Stock 1.7.27 DWDP - DowDuPont Inc. Corporate Spouse $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 1.7.28 DTE - DTE Energy Corporate Spouse $1,001 - Dividends, $201 - $1,000 Company Securities $15,000 Capital Stock Gains, 1.7.29 ETFC - E*TRADE Financial Corporate Spouse $1,001 - None, None (or less Corporation Securities $15,000 than $201) Stock 1.7.30 EBAY - eBay Inc. Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.7.31 LLY - Eli Lilly and Corporate Spouse $1,001 - Dividends, $201 - $1,000 Company Securities $15,000 Capital Stock Gains,
1.7.32 EGN - Energen Corporate Spouse $1,001 - None, None (or less
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 19 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Corporation Securities $15,000 than $201) Stock 1.7.33 EOG - EOG Resources, Corporate Spouse $1,001 - Dividends, None (or less Inc. Securities $15,000 Capital than $201) Stock Gains, 1.7.34 ELS - Equity LifeStyle Corporate Spouse $1,001 - Dividends, None (or less Properties, Inc. Securities $15,000 than $201) Stock 1.7.35 XOM - Exxon Mobil Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.7.36 GILD - Gilead Sciences, Corporate Spouse $1,001 - Dividends, None (or less Inc. Securities $15,000 Capital than $201) Stock Gains, 1.7.37 Goldman Sachs Bank Bank Deposit Spouse $1,001 - Interest, None (or less Deposit $15,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 1.7.38 HAL - Halliburton Corporate Spouse $1,001 - Dividends, None (or less Company Securities $15,000 Capital than $201) Stock Gains, 1.7.39 HIW - Highwoods Corporate Spouse $1,001 - Dividends, None (or less Properties, Inc. Securities $15,000 than $201) Stock 1.7.40 HRC - Hill-Rom Holdings, Corporate Spouse $1,001 - Dividends, None (or less Inc. Securities $15,000 than $201) Stock 1.7.41 HON - Honeywell Corporate Spouse $1,001 - Dividends, None (or less International Inc. Securities $15,000 than $201) Stock 1.7.42 HBAN - Huntington Corporate Spouse $1,001 - Dividends, None (or less Bancshares Incorporated Securities $15,000 than $201) Stock 1.7.43 ICE - Intercontinental Corporate Spouse $1,001 - None, None (or less Exchange, Inc. Securities $15,000 than $201) Stock 1.7.44 JNJ - Johnson & Johnson Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.45 JPM - JPMorgan Chase & Corporate Spouse $1,001 - Dividends, $201 - $1,000 Co. Securities $15,000 Stock 1.7.46 LH - Laboratory Corporate Spouse $1,001 - None, None (or less Corporation of America Securities $15,000 than $201) Holdings Stock 1.7.47 MPC - Marathon Corporate Spouse $1,001 - Dividends, None (or less Petroleum Corporation Securities $15,000 than $201) Stock 1.7.48 MDT - Medtronic plc Corporate Spouse $1,001 - Capital None (or less Securities $15,000 Gains, than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 20 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.7.49 MSFT - Microsoft Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.50 MS - Morgan Stanley Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.51 NOC - Northrop Grumman Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.52 NUE - Nucor Corporation Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.53 ON - ON Semiconductor Corporate Spouse $1,001 - Capital $201 - $1,000 Corporation Securities $15,000 Gains, Stock 1.7.54 ORCL - Oracle Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.7.55 PH - Parker-Hannifin Corporate Spouse $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 1.7.56 PEP - PepsiCo, Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.57 PFE - Pfizer Inc. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.7.58 PG - The Procter & Corporate Spouse $1,001 - Dividends, $201 - $1,000 Gamble Company Securities $15,000 Capital Stock Gains, 1.7.59 PLD - Prologis, Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.60 PEG - Public Service Corporate Spouse $1,001 - Dividends, None (or less Enterprise Group Securities $15,000 than $201) Incorporated Stock 1.7.61 PVH - PVH Corp. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.7.62 QCOM - QUALCOMM Corporate Spouse $1,001 - Dividends, $2,501 - Incorporated Securities $15,000 Capital $5,000 Stock Gains, 1.7.63 PWR - Quanta Services, Corporate Spouse $1,001 - Capital None (or less Inc. Securities $15,000 Gains, than $201) Stock 1.7.64 RTN - Raytheon Company Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.65 SWK - Stanley Black & Corporate Spouse $1,001 - Capital $1,001 - Decker, Inc. Securities $15,000 Gains, $2,500
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 21 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.7.66 STT - State Street Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.7.67 STI - SunTrust Banks, Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.68 HSY - The Hershey Corporate Spouse $1,001 - Dividends, $201 - $1,000 Company Securities $15,000 Capital Stock Gains, 1.7.69 HD - The Home Depot, Corporate Spouse $1,001 - Dividends, $201 - $1,000 Inc. Securities $15,000 Capital Stock Gains, 1.7.70 TMO - Thermo Fisher Corporate Spouse $1,001 - Dividends, None (or less Scientific Inc. Securities $15,000 Capital than $201) Stock Gains, 1.7.71 TSN - Tyson Foods, Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.7.72 UNH - UnitedHealth Group Corporate Spouse $1,001 - Dividends, $201 - $1,000 Incorporated Securities $15,000 Capital Stock Gains, 1.7.73 VZ - Verizon Corporate Spouse $1,001 - Dividends, None (or less Communications Inc. Securities $15,000 Capital than $201) Stock Gains, 1.7.74 DIS - The Walt Disney Corporate Spouse $1,001 - Dividends, None (or less Company Securities $15,000 Capital than $201) Stock Gains, 1.7.75 WM - Waste Management, Corporate Spouse $1,001 - Dividends, None (or less Inc. Securities $15,000 than $201) Stock 1.7.76 WFC - Wells Fargo & Corporate Spouse $1,001 - Dividends, None (or less Company Securities $15,000 Capital than $201) Stock Gains, 1.7.77 WLK - Westlake Chemical Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 Capital than $201) Stock Gains, 1.7.78 XEL - Xcel Energy Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.7.79 AIG - American Corporate Spouse None (or less Capital $201 - $1,000 International Group, Inc. Securities than $1,001) Gains, Stock 1.7.80 AAPL - Apple Inc. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.7.81 CMI - Cummins Inc. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.7.82 DOW - Dow Chemical Corporate Spouse None (or less Dividends, $2,501 - Company (The) Securities than $1,001) Capital $5,000 Stock Gains,
Corporate
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 22 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.7.83 EIX - Edison International Securities Spouse None (or less Dividends, $201 - $1,000 Stock than $1,001) Capital Gains, 1.7.84 GE - General Electric Corporate Spouse None (or less Dividends, $2,501 - Company Securities than $1,001) Capital $5,000 Stock Gains, 1.7.85 HPE - Hewlett Packard Corporate Spouse None (or less Dividends, $201 - $1,000 Enterprise Company Securities than $1,001) Capital Stock Gains, 1.7.86 INTC - Intel Corporation Corporate Spouse None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains, 1.7.87 IP - International Paper Corporate Spouse None (or less Dividends, $1,001 - Company Securities than $1,001) Capital $2,500 Stock Gains, 1.7.88 KR - The Kroger Co. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.7.89 PHM - PulteGroup, Inc. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.7.90 SKX - Skechers U.S.A., Corporate Spouse None (or less Capital $201 - $1,000 Inc. Securities than $1,001) Gains, Stock 1.7.91 TWX - Time Warner Inc. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.7.92 VLO - Valero Energy Corporate Spouse None (or less Dividends, $1,001 - Corporation Securities than $1,001) Capital $2,500 Stock Gains, 1.7.93 WOOF - VCA Inc. Corporate Spouse None (or less Capital $1,001 - Securities than $1,001) Gains, $2,500 Stock 1.7.94 WRK - WestRock Corporate Spouse None (or less Dividends, $201 - $1,000 Company Securities than $1,001) Capital Stock Gains, 1.7.95 TWX - Time Warner Inc. Corporate Spouse None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 1.8 Goldman Sachs Managed Brokerage/Managed Spouse Account #7 Account 1.8.1 ABB - ABB Ltd Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.2 AZSEY - Allianz SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.8.3 SAN - Banco Santander, Corporate Spouse $1,001 - Dividends, None (or less S.A. Securities $15,000 Capital than $201) Stock Gains, 1.8.4 BP - BP p.l.c. Corporate Spouse $1,001 - Dividends, $201 - $1,000
Securities $15,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 23 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 1.8.5 CAJ - Canon Inc. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.8.6 CHL - China Mobile Corporate Spouse $1,001 - Dividends, $201 - $1,000 Limited Securities $15,000 Stock 1.8.7 CKHUY - CK Hutchison Corporate Spouse $1,001 - Dividends, None (or less Holdings Limited Securities $15,000 than $201) Stock 1.8.8 DMLRY - Daimler AG Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.8.9 DTEGY - Deutsche Corporate Spouse $1,001 - Dividends, None (or less Telekom AG Securities $15,000 than $201) Stock 1.8.10 ENLAY - Enel SpA Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.11 E - Eni S.p.A. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.8.12 FUJIY - FUJIFILM Corporate Spouse $1,001 - Dividends, None (or less Holdings Corporation Securities $15,000 than $201) Stock 1.8.13 GSK - GlaxoSmithKline plc Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.8.14 Goldman Sachs Bank Bank Deposit Spouse $1,001 - Interest, None (or less Deposit $15,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 1.8.15 HMC - Honda Motor Co., Corporate Spouse $1,001 - Dividends, $201 - $1,000 Ltd. Securities $15,000 Capital Stock Gains, 1.8.16 IBDRY - Iberdrola, S.A. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.8.17 ISUZY - Isuzu Motors Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 Capital than $201) Stock Gains, 1.8.18 KGFHY - Kingfisher plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.19 ADRNY - Koninklijke Ahold Corporate Spouse $1,001 - Dividends, None (or less Delhaize N.V. Securities $15,000 than $201) Stock 1.8.20 LYG - Lloyds Banking Corporate Spouse $1,001 - Dividends, $201 - $1,000 Group plc Securities $15,000
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 24 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.8.21 NGG - National Grid plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.22 NVS - Novartis AG Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.23 DCM - NTT DOCOMO, INC. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.8.24 QBIEY - QBE Insurance Corporate Spouse $1,001 - Dividends, None (or less Group Limited Securities $15,000 than $201) Stock 1.8.25 RDS-B - Royal Dutch Shell Corporate Spouse $1,001 - Dividends, $201 - $1,000 plc Securities $15,000 Capital Stock Gains, 1.8.26 RWEOY - RWE Corporate Spouse $1,001 - None, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 1.8.27 SNY - Sanofi Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.28 SAP - SAP SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.8.29 SGAPY - Singapore Corporate Spouse $1,001 - Dividends, None (or less Telecommunications Securities $15,000 than $201) Limited Stock 1.8.30 TSM - Taiwan Corporate Spouse $1,001 - Dividends, $201 - $1,000 Semiconductor Securities $15,000 Capital Manufacturing Company Stock Gains, Limited 1.8.31 TKPYY - Takeda Corporate Spouse $1,001 - Dividends, None (or less Pharmaceutical Company Securities $15,000 than $201) Limited Stock 1.8.32 TEF - Telefónica, S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.33 TLSNY - Telia Company Corporate Spouse $1,001 - Dividends, $201 - $1,000 AB Securities $15,000 Stock 1.8.34 TSCDY - Tesco PLC Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.8.35 TKOMY - Tokio Marine Corporate Spouse $1,001 - Dividends, None (or less Holdings, Inc. Securities $15,000 than $201) Stock 1.8.36 UOVEY - United Overseas Corporate Spouse $1,001 - Dividends, $201 - $1,000 Bank Limited Securities $15,000 Capital Stock Gains, 1.8.37 WPP - WPP plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 25 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.8.38 ZURVY - Zurich Insurance Corporate Spouse $1,001 - Dividends, None (or less Group AG Securities $15,000 than $201) Stock 1.8.39 KCRPY - Kao Corporation Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.8.40 NSRGY - Nestlé S.A. Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.8.41 SYNN.VX - SYNGENTA N Corporate Spouse None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 1.8.42 UL - Unilever PLC Corporate Spouse None (or less Dividends, $5,001 - Securities than $1,001) Capital $15,000 Stock Gains, 1.9 Goldman Sachs Managed Brokerage/Managed Spouse Account #8 Account 1.9.1 AAGIY - AIA Group Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 1.9.2 AIQUY - Air Liquide, Corporate Spouse $1,001 - Dividends, None (or less société anonyme Securities $15,000 than $201) Stock 1.9.3 ALFVY - Alfa Laval AB Corporate Spouse $1,001 - Dividends, None (or less (publ) Securities $15,000 than $201) Stock 1.9.4 AZSEY - Allianz SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 1.9.5 APNHY - Aspen Corporate Spouse $1,001 - Dividends, None (or less Pharmacare Holdings Securities $15,000 than $201) Limited Stock 1.9.6 ATLKY - Atlas Copco AB Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.9.7 BIDU - Baidu, Inc. Corporate Spouse $1,001 - Capital None (or less Securities $15,000 Gains, than $201) Stock 1.9.8 BBVA - Banco Bilbao Corporate Spouse $1,001 - Dividends, $201 - $1,000 Vizcaya Argentaria, S.A. Securities $15,000 Stock 1.9.9 BAYRY - Bayer Corporate Spouse $1,001 - Dividends, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 1.9.10 BMWYY - Bayerische Corporate Spouse $1,001 - Dividends, None (or less Motoren Werke Securities $15,000 Capital than $201) Aktiengesellschaft Stock Gains, 1.9.11 BBAVY - BBA Aviation plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock
1.9.12 CNI - Canadian National Corporate Spouse $1,001 - Dividends, None (or less
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 26 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Railway Company Securities $15,000 than $201) Stock 1.9.13 CHKP - Check Point Corporate Spouse $1,001 - Dividends, $201 - $1,000 Software Technologies Securities $15,000 Capital Ltd. Stock Gains, 1.9.14 DIFTY - Daito Trust Corporate Spouse $1,001 - Dividends, None (or less Construction Co. Ltd. Securities $15,000 than $201) Stock 1.9.15 DASTY - Dassault Corporate Spouse $1,001 - Dividends, $201 - $1,000 Systèmes SE Securities $15,000 Capital Stock Gains, 1.9.16 DBSDY - DBS Group Corporate Spouse $1,001 - Dividends, None (or less Holdings Ltd Securities $15,000 than $201) Stock 1.9.17 FANUY - Fanuc Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.9.18 FMS - Fresenius Medical Corporate Spouse $1,001 - Dividends, None (or less Care AG & Co. KGaA Securities $15,000 than $201) Stock 1.9.19 FUPBY - Fuchs Petrolub Corporate Spouse $1,001 - Dividends, None (or less SE Securities $15,000 than $201) Stock 1.9.20 Goldman Sachs Bank Bank Deposit Spouse $1,001 - Interest, None (or less Deposit $15,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 1.9.21 GRFS - Grifols, S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.22 GBOOY - Grupo Financiero Corporate Spouse $1,001 - Dividends, None (or less Banorte, S.A.B. de C.V. Securities $15,000 Capital than $201) Stock Gains, 1.9.23 HDB - HDFC Bank Limited Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.24 HSBC - HSBC Holdings plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.25 IBN - ICICI Bank Limited Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.9.26 IFNNY - Infineon Corporate Spouse $1,001 - Dividends, None (or less Technologies AG Securities $15,000 than $201) Stock 1.9.27 ITUB - Itaú Unibanco Corporate Spouse $1,001 - Dividends, None (or less Holding S.A. Securities $15,000 than $201) Stock
1.9.28 KUBTY - Kubota Corporate Spouse $1,001 - Dividends, None (or less
Corporation Securities $15,000 than $201)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 27 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 1.9.29 LRLCY - L'Oréal S.A. Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.9.30 LVMUY - LVMH Moët Corporate Spouse $1,001 - Dividends, None (or less Hennessy Louis Vuitton Securities $15,000 than $201) S.E. Stock 1.9.31 MONOY - MonotaRO Co., Corporate Spouse $1,001 - Dividends, None (or less Ltd. Securities $15,000 than $201) Stock 1.9.32 NPSNY - Naspers Limited Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.9.33 NSRGY - Nestlé S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.34 PKCOY - Park24 Co., Ltd. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.35 RHHBY - Roche Holding Corporate Spouse $1,001 - Dividends, $201 - $1,000 AG Securities $15,000 Capital Stock Gains, 1.9.36 RDS-B - Royal Dutch Shell Corporate Spouse $1,001 - Dividends, $201 - $1,000 plc Securities $15,000 Stock 1.9.37 SAP - SAP SE Corporate Spouse $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 1.9.38 SSL - Sasol Limited Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.39 SLB - Schlumberger Corporate Spouse $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 1.9.40 SHPG - Shire plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.41 SONVY - Sonova Holding Corporate Spouse $1,001 - Dividends, None (or less AG Securities $15,000 than $201) Stock 1.9.42 SYIEY - Symrise AG Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 1.9.43 SSMXY - Sysmex Corporate Spouse $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 1.9.44 TSM - Taiwan Corporate Spouse $1,001 - Dividends, None (or less Semiconductor Securities $15,000 than $201) Manufacturing Company Stock
Limited
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 28 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.9.45 TS - Tenaris S.A. Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.9.46 WB - Weibo Corporation Corporate Spouse $1,001 - None, None (or less Securities $15,000 than $201) Stock 1.9.47 WPP - WPP plc Corporate Spouse $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 1.9.48 LNEGY - Linde Corporate Spouse $1,001 - Dividends, $201 - $1,000 Aktiengesellschaft Securities $15,000 Stock 1.10 Goldman Sachs Managed Brokerage/Managed Spouse Account #9 Account 1.10.1 GS CAPITAL PARTNERS Investment Fund Spouse $1,001 - Excepted $100,001 - FUND 2000, L.P. (a) Private Equity $15,000 Investment $1,000,000 Description: Private Fund Fund, Equity (New York, NY) Filer comment: Income from 2016 K-1. 1.10.2 WHITEHALL STREET REAL Investment Fund Spouse $1,001 - Excepted $201 - $1,000 ESTATE FUND IX/X (a) Private Equity $15,000 Investment Description: Private Fund Fund, Equity (New York, NY) Filer comment: Income from 2016 K-1. 1.10.3 WHITEHALL STREET REAL Investment Fund Spouse $1,001 - Excepted None (or less ESTATE FUND XI/XII (a)(r) Private Equity $15,000 Investment than $201) Description: Private Fund Fund, Equity (New YorK, New York) Filer comment: Income from 2016 K-1. 1.10.4 WHITEHALL STREET REAL Investment Fund Spouse $1,001 - Excepted None (or less ESTATE L.P. XIII/XIV (a) Private Equity $15,000 Investment than $201) Description: Private Fund Fund, Equity (New York, NY) Filer comment: Income from 2016 K-1. 1.10.5 WHITEHALL STREET Investment Fund Spouse Over Excepted $100,001 - GLOBAL REAL ESTATE Private Equity $1,000,000 Investment $1,000,000 LIMITED PARTNERSHIP Fund and held Fund, 2007 (a) independently Description: Private by spouse or Equity (New York, NY) Filer dependent comment: Income from child 2016 K-1. 1.10.6 Goldman Sachs Bank Bank Deposit Spouse $500,001 - Interest, $100,001 - Deposit $1,000,000 $1,000,000 (Boston, NY) Type: Brokerage Sweep Account, 1.10.7 Hedge Fund Select: Investment Fund Spouse None (or less Excepted $5,001 - Corsair Capital Partners Hedge Fund than $1,001) Investment $15,000
Fund,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 29 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Flagship Fund Description: Hedge Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.10.8 Hedge Fund Select: WNTN Investment Fund Spouse None (or less Excepted $5,001 - Dedicated Investor Fund Hedge Fund than $1,001) Investment $15,000 (US) LLC Fund, Description: Hedge Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.10.9 GLOBAL OPPORTUNITIES Investment Fund Spouse None (or less Excepted $100,001 - LLC CLASS A SERIES 1 Hedge Fund than $1,001) Investment $1,000,000 Description: Hedge Fund, Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.10.10 Hedge Fund Select: Tudor Investment Fund Spouse None (or less Excepted $50,001 - BVI LLC Hedge Fund than $1,001) Investment $100,000 Description: Hedge Fund, Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.10.11 HEDGE FUND MANAGERS Investment Fund Spouse None (or less Excepted $50,001 - (DIVERSIFIED) II LLC Hedge Fund than $1,001) Investment $100,000 CLASS A Fund, Description: Hedge Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.10.12 Hedge Fund Select: Investment Fund Spouse $500,001 - Excepted $50,001 - Brevan Howard Multi- Hedge Fund $1,000,000 Investment $100,000 Strategy Fund LLC Fund, Description: Hedge Fund (New York, NY) Filer comment: Income from 2016 K-1. 1.11 Goldman Sachs Managed Brokerage/Managed Spouse Account #10 Account 1.11.1 Goldman Sachs Bank Bank Deposit Spouse $15,001 - Interest, $201 - $1,000 Deposit $50,000 (Boston, MA) Type: Brokerage Sweep Account, 1.11.2 PUT/SPX @ 2450 EXP Other Securities Spouse $1,001 - None, None (or less 04/30/2018 $15,000 than $201) Description: Put Option (New York, NY) 1.11.3 PUT/SPX @ 2500 EXP Other Securities Spouse $1,001 - None, None (or less 03/29/2018 $15,000 than $201) Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 30 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.11.4 PUT/SPX @ 2570 EXP Other Securities Spouse $1,001 - None, None (or less 04/20/2018 $15,000 than $201) Description: Put Option (New York, NY) 1.11.5 PUT/SPX @ 2590 EXP Other Securities Spouse $1,001 - None, None (or less 03/16/2018 $15,000 than $201) Description: Put Option (New York, NY) 1.11.6 PUT/SPX @ 2650 EXP Other Securities Spouse $1,001 - None, None (or less 03/29/2018 $15,000 than $201) Description: Put Option (New York, NY) 1.11.7 PUT/SPX @ 2190 EXP Other Securities Spouse None (or less Capital $1,001 - 03/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.8 PUT/SPX @ 2190 EXP Other Securities Spouse None (or less Capital $1,001 - 03/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.9 PUT/SPX @ 2290 EXP Other Securities Spouse None (or less Capital $1,001 - 04/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.10 PUT/SPX @ 2290 EXP Other Securities Spouse None (or less Capital $1,001 - 04/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.11 PUT/SPX @ 2270 EXP Other Securities Spouse None (or less Capital $1,001 - 05/19/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.12 PUT/SPX @ 2270 EXP Other Securities Spouse None (or less Capital $1,001 - 05/19/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.13 PUT/SPX @ 2220 EXP Other Securities Spouse None (or less Capital $1,001 - 06/16/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.14 PUT/SPX @ 2260 EXP Other Securities Spouse None (or less Capital $1,001 - 06/16/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.15 PUT/SPX @ 2270 EXP Other Securities Spouse None (or less Capital $1,001 - 07/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.16 PUT/SPX @ 2270 EXP Other Securities Spouse None (or less Capital $1,001 - 07/21/2017 than $1,001) Gains, $2,500 Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 31 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.11.17 PUT/SPX @ 2300 EXP Other Securities Spouse None (or less Capital $2,501 - 08/18/2017 than $1,001) Gains, $5,000 Description: Put Strategy (New York, NY) 1.11.18 PUT/SPX @ 2300 EXP Other Securities Spouse None (or less Capital $1,001 - 08/18/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.19 PUT/SPX @ 2380 EXP Other Securities Spouse None (or less Capital $1,001 - 08/18/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.20 PUT/SPX @ 2400 EXP Other Securities Spouse None (or less Capital $1,001 - 07/28/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.21 PUT/SPX @ 2410 EXP Other Securities Spouse None (or less Capital $1,001 - 09/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.22 PUT/SPX @ 2410 EXP Other Securities Spouse None (or less Capital $1,001 - 09/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.23 PUT/SPX @ 2420 EXP Other Securities Spouse None (or less Capital $1,001 - 09/29/2017 than $1,001) Gains, $2,500 Description: Put Options (New York, NY) 1.11.24 PUT/SPX @ 2300 EXP Other Securities Spouse None (or less Capital $1,001 - 10/20/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.25 PUT/SPX @ 2330 EXP Other Securities Spouse None (or less Capital $1,001 - 10/20/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.26 PUT/SPX @ 2420 EXP Other Securities Spouse None (or less Capital $1,001 - 09/29/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.27 PUT/SPX @ 2450 EXP Other Securities Spouse None (or less Capital $1,001 - 11/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.28 PUT/SPX @ 2450 EXP Other Securities Spouse None (or less Capital $1,001 - 11/17/2017 than $1,001) Gains, $2,500 Description: New York (New York, NY) 1.11.29 PUT/SPX @ 2440 EXP Other Securities Spouse None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 32 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.11.30 PUT/SPX @ 2440 EXP Other Securities Spouse None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.31 PUT/SPX @ 2520 EXP Other Securities Spouse None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.32 PUT/SPX @ 2520 EXP Other Securities Spouse None (or less Capital $1,001 - 12/01/2017 than $1,001) Gains, $2,500 Description: Put Options (New York, NY) 1.11.33 PUT/SPX @ 2530 EXP Other Securities Spouse None (or less Capital $1,001 - 01/19/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.34 PUT/SPX @ 2530 EXP Other Securities Spouse None (or less Capital $1,001 - 01/19/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.35 PUT/SPX @ 2640 EXP Other Securities Spouse None (or less Capital $1,001 - 02/16/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.36 PUT/SPX @ 2640 EXP Other Securities Spouse None (or less Capital $1,001 - 01/26/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.37 PUT/SPX @ 2640 EXP Other Securities Spouse None (or less Capital $1,001 - 02/16/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.38 PUT/SPX @ 2100 EXP Other Securities Spouse None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.39 PUT/SPX @ 2150 EXP Other Securities Spouse None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.40 PUT/SPX @ 2150 EXP Other Securities Spouse None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 1.11.41 PUT/SPX @ 2150 EXP Other Securities Spouse None (or less Capital $2,501 - 03/17/2017 than $1,001) Gains, $5,000 Description: Put Option (New York, NY) 1.12 Elliott Associates, L.P. Investment Fund Spouse Over Excepted Over Description: Hedge Hedge Fund $1,000,000 Investment $1,000,000 Fund (New York, NY) Filer and held Fund, and held comment: Income from independently independently
2016 K-1 by spouse or by spouse or
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 33 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
dependent dependent child child
1.13 The D3 Family Bulldog Investment Fund Spouse $500,001 - Excepted None (or less Fund, LP Hedge Fund $1,000,000 Investment than $201) Description: Hedge Fund, Fund (Camas, WA) Filer comment: Income from 2017 K-1 Estimate 1.14 BCP IV Grantor Trust Investment Fund Spouse $500,001 - Excepted $201 - $1,000 Description: Private Private Equity $1,000,000 Investment Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.15 Bain Capital Fund VI Investment Fund Spouse $100,001 - Excepted None (or less Description: Private Private Equity $250,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.16 Bain Capital Fund VII Investment Fund Spouse Over Excepted None (or less Description: Private Private Equity $1,000,000 Investment than $201) Equity (Boston, MA) Filer Fund and held Fund, comment: Income from independently 2016 K-1. by spouse or dependent child 1.17 Bain Capital VII Investment Fund Spouse $250,001 - Excepted None (or less Coinvestment Fund Private Equity $500,000 Investment than $201) Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.18 Bain Capital Fund VII-E Investment Fund Spouse $1,001 - Excepted None (or less Description: Private Private Equity $15,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.19 Bain Capital Fund VIII Investment Fund Spouse $50,001 - Excepted $100,001 - Description: Private Private Equity $100,000 Investment $1,000,000 Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.20 Bain Capital VIII Investment Fund Spouse $15,001 - Excepted $50,001 - Coinvestment Fund Private Equity $50,000 Investment $100,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.21 Bain Capital Fund VIII-E Investment Fund Spouse $15,001 - Excepted $100,001 - Description: Private Private Equity $50,000 Investment $1,000,000 Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.22 Bain Capital Fund IX Investment Fund Spouse $100,001 - Excepted $100,001 -
Private Equity $250,000 Investment $1,000,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 34 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.23 Bain Capital Fund X Investment Fund Spouse Over Excepted $100,001 - Description: Private Private Equity $1,000,000 Investment $1,000,000 Equity (Boston, MA) Filer Fund and held Fund, comment: Income from independently 2016 K-1. by spouse or dependent child 1.24 Bain Capital Asia Fund Investment Fund Spouse $15,001 - Excepted None (or less Description: Private Private Equity $50,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.25 Bain Capital Europe Fund Investment Fund Spouse $100,001 - Excepted $100,001 - III Private Equity $250,000 Investment $1,000,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.26 Bain Capital Venture Fund Investment Fund Spouse $100,001 - Excepted $50,001 - 2001 Private Equity $250,000 Investment $100,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.27 Bain Capital Venture Fund Investment Fund Spouse $50,001 - Excepted $15,001 - 2005 Private Equity $100,000 Investment $50,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.28 Bain Capital Venture Fund Investment Fund Spouse $100,001 - Excepted $15,001 - 2007 Private Equity $250,000 Investment $50,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.29 Bain Capital Partners (PEP Investment Fund Spouse $1,001 - Excepted $100,001 - GP) Private Equity $15,000 Investment $1,000,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.30 Prospect Harbor Credit Investment Fund Spouse $1,001 - Excepted $201 - $1,000 Partners Private Equity $15,000 Investment Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.31 Sankaty Beacon Investment Fund Spouse $15,001 - Excepted None (or less Investment Partners, LP Private Equity $50,000 Investment than $201)
Fund Fund,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 35 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Description: Private Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.32 Sankaty High Yield Asset Investment Fund Spouse $15,001 - Excepted None (or less Grantor Trust Private Equity $50,000 Investment than $201) Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.33 Sankaty High Yield Investment Fund Spouse $15,001 - Excepted None (or less Partners III Grantor Trust Private Equity $50,000 Investment than $201) Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.34 Sankaty Credit Investment Fund Spouse $1,001 - Excepted $201 - $1,000 Opportunities Grantor Private Equity $15,000 Investment Trust Fund Fund, Description: Private Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.35 Sankaty Special Investment Fund Spouse $1,001 - Excepted $201 - $1,000 Situations I Grantor Trust Private Equity $15,000 Investment Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 1.36 Brookside Capital Investment Fund Spouse $500,001 - Excepted None (or less Partners Fund Hedge Fund $1,000,000 Investment than $201) Description: Hedge Fund, Fund (Boston, MA) Filer comment: Income from 2016 K-1. 1.37 Solamere Founders Fund Investment Fund Spouse Over Excepted $100,001 - I, LP Private Equity $1,000,000 Investment $1,000,000 Description: Private Equity Fund and held Fund, Fund (Boston, MA) Filer independently comment: Income from by spouse or 2017 K-1 Estimate. dependent child 1.38 Solamere Capital Fund II, Investment Fund Spouse Over Excepted $100,001 - LP Private Equity $1,000,000 Investment $1,000,000 Description: Private Fund and held Fund, Equity (Boston, MA) Filer independently comment: Income from by spouse or 2017 K-1 Estimate. dependent child 1.39 SV-SC Investments, LLC Investment Fund Spouse Over Excepted None (or less Description: Private Private Equity $1,000,000 Investment than $201) Equity (Boston, MA) Filer Fund and held Fund, comment: Income from independently 2017 K-1 Estimate. by spouse or
dependent
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 36 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
child 1.40 Solamere Holding Investment Fund Spouse $250,001 - Excepted None (or less Company, LLC Private Equity $500,000 Investment than $201) Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2017 K-1 Estimate. 1.41 Solamere Capital IM, LP Investment Fund Spouse None (or less Excepted $100,001 - Description: Private Equity Private Equity than $1,001) Investment $1,000,000 Fund (Boston, MA) Filer Fund Fund, comment: Income from 2017 K-1 Estimate. 1.42 Solamere Capital Fund II Investment Fund Spouse Over Excepted $1,001 - GP, LP Private Equity $1,000,000 Investment $2,500 Description: Private Equity Fund and held Fund, Fund (Boston, MA) Filer independently comment: Income from by spouse or 2017 K-1 Estimate. dependent child 1.43 Solamere Group Hedge Investment Fund Spouse Over Excepted $50,001 - Investments, LLC Hedge Fund $1,000,000 Investment $100,000 Description: Hedge and held Fund, Fund (Boston, MA) Filer independently comment: Income from by spouse or 2017 K-1 Estimate. dependent child 1.44 CCG Investments (BVI), Investment Fund Spouse $1,001 - Excepted $100,001 - L.P. Private Equity $15,000 Investment $1,000,000 Description: Private Fund Fund, Equity (San Francisco, CA) Filer comment: Income from 2017 K-1. 1.45 Golden Gate Capital Investment Fund Spouse $1,001 - Excepted None (or less Investment Annex Fund II, Private Equity $15,000 Investment than $201) L.P. Fund Fund, Description: Private Equity (San Francisco, CA) Filer comment: Income from 2016 K-1. 1.46 GGC Investment Fund II, Investment Fund Spouse $15,001 - Excepted $5,001 - L.P. Private Equity $50,000 Investment $15,000 Description: Private Fund Fund, Equity (San Francisco, CA) Filer comment: Income from 2017 K-1. 1.47 Golden Gate Capital Investment Fund Spouse $1,001 - Excepted None (or less Investment Fund II-A, L.P. Private Equity $15,000 Investment than $201) Description: Private Equity Fund Fund, Fund (San Francisco, CA) Filer comment: Income from 2016 K-1. 1.48 GGC Investments II (BVI), Investment Fund Spouse $1,001 - Excepted $15,001 - L.P. Private Equity $15,000 Investment $50,000 Description: Private Equity Fund Fund,
Fund (San Francisco,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 37 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
CA) Filer comment: Income from 2017 K-1.
1.49 Golden Gate Capital Investment Fund Spouse $1,001 - Excepted None (or less Investments II, LLC Private Equity $15,000 Investment than $201) Description: Private Equity Fund Fund, Fund (San Francisco, CA) Filer comment: Income from 2017 K-1. 1.50 Golden Gate Capital Investment Fund Spouse $1,001 - Excepted $201 - $1,000 Investments II-A Adjunct Private Equity $15,000 Investment (BVI), L.P. Fund Fund, Description: Private Equity Fund (San Francisco, CA) Filer comment: Income from 2016 K-1. 1.51 Golden Gate Capital Investment Fund Spouse Over Excepted $100,001 - Opportunity Fund, LP Private Equity $1,000,000 Investment $1,000,000 Description: Private Equity Fund and held Fund, Fund (San Francisco, independently CA) Filer comment: Income by spouse or from 2016 K-1. dependent child 1.52 GGC Neustar Investors, LP Investment Fund Spouse $100,001 - Excepted None (or less Description: Private Equity Private Equity $250,000 Investment than $201) Fund (San Francisco, Fund Fund, CA) Filer comment: Income from 2017 Capital Statements. 1.53 111 Capital Grantor Trust Investment Fund Spouse $1,001 - Excepted None (or less Description: Private Private Equity $15,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.54 BCIP Venture Associates Investment Fund Spouse $500,001 - Excepted $100,001 - Description: Private Private Equity $1,000,000 Investment $1,000,000 Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.55 BCIP Associates II Investment Fund Spouse $1,001 - Excepted $2,501 - Description: Private Private Equity $15,000 Investment $5,000 Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.56 BCIP Associates II Broder Investment Fund Spouse $1,001 - Excepted None (or less Description: Private Private Equity $15,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.57 BCIP Associates IV Investment Fund Spouse $50,001 - Excepted None (or less Description: Private Private Equity $100,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from
2016 K-1.
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 38 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
1.58 BCIP Associates II Epoch Investment Fund Spouse $50,001 - Excepted None (or less Description: Private Private Equity $100,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.59 BCIP Associates III-B Investment Fund Spouse $1,001 - Excepted None (or less Description: Private Private Equity $15,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 1.60 BCIP Associates III Investment Fund Spouse Over Excepted Over Description: Private Private Equity $1,000,000 Investment $1,000,000 Equity (Boston, MA) Filer Fund and held Fund, and held comment: Income from independently independently 2016 K-1. by spouse or by spouse or dependent dependent child child 1.61 Sankaty Advisors, Inc. Corporate Spouse $100,001 - None, None (or less Filer comment: Income from Securities $250,000 than $201) 2016 K-1. Stock 1.62 Bain Capital Holdings, LP Business Entity Spouse None (or less Dividends, $15,001 - Company: Bain Capital Limited than $1,001) $50,000 Holdings, LP (Boston, Partnership (LP) MA) Description: Investment Advisory Business Filer comment: Income from 2016 K-1. 2 Goldman Sachs IRA #1 Retirement Plans Self IRA 2.1 MAR - Marriott Corporate Self $500,001 - None, None (or less International, Inc. Securities $1,000,000 than $201) Stock 2.2 VAC - Marriott Vacations Corporate Self $50,001 - None, None (or less Worldwide Corporation Securities $100,000 than $201) Stock 3 Goldman Sachs IRA #2 Retirement Plans Self IRA 3.1 GDFIX - Goldman Sachs Mutual Funds Self $5,000,001 - Excepted None (or less Short Duration Inc Instl Mutual Fund $25,000,000 Investment than $201) Fund, 3.2 GSFRX - Goldman Sachs Mutual Funds Self $5,000,001 - Excepted None (or less High Yield Fl Rate Instl Mutual Fund $25,000,000 Investment than $201) Fund, 3.3 GSTIX - Goldman Sachs Mutual Funds Self $5,000,001 - Excepted None (or less Strategic Growth Instl Mutual Fund $25,000,000 Investment than $201) Fund, 3.4 GSMYX - Goldman Sachs Mutual Funds Self $1,000,001 - Excepted None (or less Small/Mid Cap Growth Mutual Fund $5,000,000 Investment than $201) Instl Fund, 3.5 GSITX - Goldman Sachs Mutual Funds Self $1,000,001 - Excepted None (or less Small Cp Val Insghts Instl Mutual Fund $5,000,000 Investment than $201)
Fund,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 39 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
3.6 SPY - SPDR S&P 500 ETF Mutual Funds Self $1,000,001 - Excepted None (or less Exchange Traded $5,000,000 Investment than $201) Fund/Note Fund, 3.7 GIDGX - Goldman Sachs Mutual Funds Self $1,000,001 - Excepted None (or less Enhanced Div Gbl Eq Instl Mutual Fund $5,000,000 Investment than $201) Fund, 3.8 GCIIX - Goldman Sachs Mutual Funds Self $5,000,001 - Excepted None (or less Intl Eq Insghts Instl Mutual Fund $25,000,000 Investment than $201) Fund, 3.9 HEFA - iShares Currency Mutual Funds Self $1,000,001 - Excepted None (or less Hedged MSCI EAFE ETF Exchange Traded $5,000,000 Investment than $201) Fund/Note Fund, 3.10 HEDJ - WisdomTree Mutual Funds Self $1,000,001 - Excepted None (or less Europe Hedged Equity ETF Exchange Traded $5,000,000 Investment than $201) Fund/Note Fund, 3.11 GMLPX - Goldman Sachs Mutual Funds Self $1,000,001 - Excepted None (or less MLP Energy Infras Instl Mutual Fund $5,000,000 Investment than $201) Fund, 3.12 Goldman Sachs Bank Bank Deposit Self $250,001 - None, None (or less Deposit $500,000 than $201) (Boston, MA) Type: Brokerage Sweep Account, 4 Goldman Sachs IRA #3 Retirement Plans Self IRA 4.1 FEDERAL HOME LOAN Government Self $100,001 - None, None (or less BANK SYSTEM 1.625% Securities $250,000 than $201) 06/14/2019 SR LIEN US Rate/Coupon: None Treasury/Agency Matures: None Security 4.2 FEDERAL HOME LOAN Government Self $250,001 - None, None (or less BANK SYSTEM 2.5% Securities $500,000 than $201) 12/09/2022 SR LIEN US Rate/Coupon: None Treasury/Agency Matures: None Security 4.3 FHLB 1.125% 07/14/2021 Government Self $250,001 - None, None (or less Rate/Coupon: None Securities $500,000 than $201) Matures: None US Treasury/Agency Security 4.4 FHLB 1.375% 03/09/2018 Government Self $250,001 - None, None (or less SER HF-9018 SR LIEN Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.5 FHLB 1.875% 11/29/2021 Government Self $250,001 - None, None (or less SR LIEN Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.6 Goldman Sachs Bank Bank Deposit Self $15,001 - None, None (or less Deposit $50,000 than $201)
(Boston, MA)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 40 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Type: Brokerage Sweep Account, 4.7 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 1.000000% 03/15/2018 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.8 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 1.125000% 05/31/2019 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.9 U.S. TREASURY NOTE Government Self $100,001 - None, None (or less 1.250000% 01/31/2019 Securities $250,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.10 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 1.375000% 02/28/2019 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.11 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 1.375000% 08/31/2020 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.12 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 1.375000% 12/31/2018 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.13 U.S. TREASURY NOTE Government Self $100,001 - None, None (or less 1.750000% 01/31/2023 Securities $250,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.14 U.S. TREASURY NOTE Government Self $50,001 - None, None (or less 2.000000% 05/31/2021 Securities $100,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.15 U.S. TREASURY NOTE Government Self $250,001 - None, None (or less 2.000000% 07/31/2020 Securities $500,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security 4.16 U.S. TREASURY NOTE Government Self $100,001 - None, None (or less 2.125000% 12/31/2022 Securities $250,000 than $201) Rate/Coupon: None US Matures: None Treasury/Agency Security
4.17 IBRD MTN 1.625% Other Securities Self $250,001 - None, None (or less
03/09/2021 SER GDIF SR $500,000 than $201)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 41 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
LIEN Description: International Bank for Reconstruction and Development Bond (New York, NY) 4.18 KFW 1.125% 08/06/2018 Other Securities Self $100,001 - None, None (or less SR LIEN $250,000 than $201) Description: German government-owned development bank bond (Frankfurt, Germany) 4.19 NIB 1.25% 08/02/2021 SR Other Securities Self $250,001 - None, None (or less LIEN $500,000 than $201) Description: Nordic Investment Bank supranational bond (Helsinki, Finland) 5 Fidelity Brokerage Brokerage/Managed Self Services LLC Managed Account Account 5.1 MAR - Marriott Corporate Self $1,000,001 - Dividends, $5,001 - International, Inc. Securities $5,000,000 $15,000 Stock 5.2 VAC - Marriott Vacations Corporate Self $100,001 - Dividends, $1,001 - Worldwide Corporation Securities $250,000 $2,500 Stock 5.3 SPAXX - Fidelity Mutual Funds Self $15,001 - Dividends, None (or less Government Money Marke Stable Value $50,000 than $201) Fund 5.4 FDMXX - Fidelity Mutual Funds Self $15,001 - Dividends, None (or less Massachusetts Tax Free Stable Value $50,000 than $201) Fund 6 Intercontinental Real Investment Fund Self $1,001 - Excepted $100,001 - Estate Investment Fund I Hedge Fund $15,000 Investment $1,000,000 Description: Real Estate Fund, Investment (Boston, MA) Filer comment: Income from 2017 K-1 Estimate. 7 MAR-Marriott Retirement Plans Self $1,000,001 - None, International, Inc. Deferred $5,000,000 Compensation 7.1 MAR - Marriott Corporate Self $1,000,001 - None, None (or less International, Inc. Securities $5,000,000 than $201) Stock 8 Solamere Group Hedge Investment Fund Self None (or less Excepted $50,001 - Investments, LLC Hedge Fund than $1,001) Investment $100,000 Description: Private Fund, Investments (Boston, MA) Filer comment: Income based on 2017 K-1 Estimate. 9 The W. Mitt Romney 1998 Trust Self Revocable Trust General Trust
9.1 Goldman Sachs Brokerage Brokerage/Managed Self
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 42 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Account #1 Account 9.1.1 Goldman Sachs Bank Bank Deposit Self $15,001 - Interest, $201 - $1,000 Deposit $50,000 (Boston, MA) Type: Brokerage Sweep Account, 9.2 Goldman Sachs Brokerage Brokerage/Managed Self Account #2 Account 9.2.1 TTIFX - Goldman Sachs Mutual Funds Self $50,001 - Excepted None (or less Tactical Tilt Ove Mutual Fund $100,000 Investment than $201) Fund, 9.2.2 Goldman Sachs Bank Bank Deposit Self $100,001 - Interest, $2,501 - Deposit $250,000 $5,000 (Boston, MA) Type: Brokerage Sweep Account, 9.2.3 BARCLAYS BANK PLC Other Securities Self $1,000,001 - None, None (or less LINKED TO 30Y EURO $5,000,000 than $201) CMS UPSIDE/DOWNSIDE LEVERED STRUCTURED NOTE DUE 02/18/2020 Description: Barclays FX Structured Note (New York, NY) 9.2.4 GDFIX - Goldman Sachs Mutual Funds Self $250,001 - Excepted $5,001 - Short Duration Inc Instl Mutual Fund $500,000 Investment $15,000 Fund, 9.2.5 GSTGX - Goldman Sachs Mutual Funds Self $250,001 - Dividends, $5,001 - Short Dur Govt Instl Mutual Fund $500,000 $15,000 9.2.6 THE GOLDMAN SACHS Other Securities Self $1,000,001 - Interest, $50,001 - GROUP, INC. LINKED TO $5,000,000 $100,000 10Y CMS FLOATING CPN DUE 05/05/2025 SR LIEN Description: Goldman Sachs CMS Structured Note (New York, NY) 9.2.7 BNP PARIBAS LINKED TO Equity Index-Linked Self None (or less None, $201 - $1,000 INTL EQ BSKT UPSIDE Note than $1,001) LEVERED NO CAP W BUFFER STRUCTURED NOTE DUE 06/13/2018 9.2.8 BOFA FINANCE LLC LNKD Equity Index-Linked Self $250,001 - None, None (or less TO MSCI EMERGING MKT Note $500,000 than $201) UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 08/19/2019 9.2.9 DEUTSCHE BANK AG- Equity Index-Linked Self $100,001 - None, None (or less LONDON BRANCH LINKED Note $250,000 than $201) TO INTL EQ BSKT UPSIDE LEVERED NO CAP W BUFFER STRUCTURED
NOTE DUE 06/13/2018
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 43 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.2.10 MORGAN STANLEY Equity Index-Linked Self $250,001 - None, None (or less FINANCE LLC LINKED TO Note $500,000 than $201) EURO STOXX 50 PR UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 07/06/2018 9.2.11 MORGAN STANLEY Equity Index-Linked Self $250,001 - None, None (or less LINKED TO EURO STOXX Note $500,000 than $201) 50 PR UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 09/17/2019 9.2.12 SOCIETE GENERALE Equity Index-Linked Self $100,001 - None, None (or less LINKED TO INTL EQ BSKT Note $250,000 than $201) UPSIDE LEVERED NO CAP STRUCTURED NOTE DUE 06/13/2018 9.2.13 GSFRX - Goldman Sachs Mutual Funds Self $1,000,001 - Excepted $50,001 - High Yield Fl Rate Instl Mutual Fund $5,000,000 Investment $100,000 Fund, 9.2.14 PIMIX - PIMCO Income Mutual Funds Self $1,000,001 - Excepted $100,001 - Instl Mutual Fund $5,000,000 Investment $1,000,000 Fund, 9.2.15 THE GOLDMAN SACHS Other Securities Self $1,000,001 - Interest, None (or less GROUP, INC. LINKED TO $5,000,000 than $201) FX BASKET 9% COUPON DUE 12/19/2019 STRUCTURED NOTE Description: Goldman Sachs FX Linked Structure Note (New York, NY) 9.2.16 AMLP-Alerian MLP ETF Mutual Funds Self $100,001 - Excepted $15,001 - Mutual Fund $250,000 Investment $50,000 Fund, 9.2.17 BARCLAYS BANK PLC Equity Index-Linked Self $1,000,001 - None, None (or less LINKED TO RUSSELL 2000 Note $5,000,000 than $201) INDEX UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 11/21/2019 9.2.18 CREDIT SUISSE AG Equity Index-Linked Self $250,001 - None, None (or less LINKED TO RUSSELL 2000 Note $500,000 than $201) INDEX UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 11/21/2019 9.2.19 F - Ford Motor Company Corporate Self $100,001 - Dividends, $5,001 - Securities $250,000 $15,000 Stock 9.2.20 DEUTSCHE BANK AG- Other Securities Self None (or less Capital $50,001 - LONDON BRANCH LINKED than $1,001) Gains, $100,000 TO EUR/USD FX RATE UPSIDE LEVERED CAPPED STRUCTURED NOTE DUE 01/18/2017
Description: Deutsche Bank
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 44 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
AG-London FX Structured Note (London, UK) 9.2.21 IVV - iShares Core S&P Mutual Funds Self None (or less Excepted $100,001 - 500 ETF Exchange Traded than $1,001) Investment $1,000,000 Fund/Note Fund, 9.3 Goldman Sachs Managed Brokerage/Managed Self Account #1 Account 9.3.1 ACSAY - ACS, Actividades Corporate Self $1,001 - Capital $201 - $1,000 de Construcción y Securities $15,000 Gains, Servicios, S.A. Stock 9.3.2 AER - AerCap Holdings Corporate Self $1,001 - None, None (or less N.V. Securities $15,000 than $201) Stock 9.3.3 AAGIY - AIA Group Corporate Self $1,001 - Dividends, None (or less Limited Securities $15,000 than $201) Stock 9.3.4 EADSY - Airbus SE Corporate Self $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 9.3.5 ABEV - Ambev S.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.3.6 MT - ArcelorMittal Corporate Self $1,001 - Capital $1,001 - Securities $15,000 Gains, $2,500 Stock 9.3.7 AXAHY - AXA SA Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.3.8 BIDU - Baidu, Inc. Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.3.9 SAN - Banco Santander, Corporate Self $1,001 - Dividends, $201 - $1,000 S.A. Securities $15,000 Stock 9.3.10 BAYRY - Bayer Corporate Self $1,001 - Dividends, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 9.3.11 BBL - BHP Billiton plc Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.3.12 BTI - British American Corporate Self $1,001 - Dividends, $201 - $1,000 Tobacco p.l.c. Securities $15,000 Stock 9.3.13 CNQ - Canadian Natural Corporate Self $1,001 - Dividends, None (or less Resources Limited Securities $15,000 than $201) Stock 9.3.14 CABGY - Carlsberg A/S Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock
9.3.15 CRRFY - Carrefour SA Corporate Self $1,001 - Dividends, None (or less
Securities $15,000 than $201)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 45 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 9.3.16 CKHUY - CK Hutchison Corporate Self $1,001 - Dividends, None (or less Holdings Limited Securities $15,000 than $201) Stock 9.3.17 DBSDY - DBS Group Corporate Self $1,001 - Dividends, $1,001 - Holdings Ltd Securities $15,000 Capital $2,500 Stock Gains, 9.3.18 DBOEY - Deutsche Börse Corporate Self $1,001 - Dividends, None (or less Aktiengesellschaft Securities $15,000 than $201) Stock 9.3.19 DNHBY - DNB ASA Corporate Self $1,001 - Capital $201 - $1,000 Securities $15,000 Gains, Stock 9.3.20 EONGY - E.ON SE Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.3.21 ENGIY - ENGIE SA Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.3.22 ESLOY - Essilor Corporate Self $1,001 - Dividends, None (or less International Société Securities $15,000 than $201) Anonyme Stock 9.3.23 FRCOY - Fast Retailing Corporate Self $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201) Stock 9.3.24 Goldman Sachs Bank Bank Deposit Self $1,001 - Interest, None (or less Deposit $15,000 than $201) (New York, NY) Type: Brokerage Sweep Account, 9.3.25 HSBC - HSBC Holdings plc Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.3.26 ISNPY - Intesa Sanpaolo Corporate Self $1,001 - Dividends, $201 - $1,000 S.p.A. Securities $15,000 Capital Stock Gains, 9.3.27 JBAXY - Julius Baer Corporate Self $1,001 - Dividends, $201 - $1,000 Group Ltd. Securities $15,000 Capital Stock Gains, 9.3.28 KKPNY - Koninklijke KPN Corporate Self $1,001 - Dividends, $201 - $1,000 N.V. Securities $15,000 Stock 9.3.29 LYG - Lloyds Banking Corporate Self $1,001 - Dividends, $201 - $1,000 Group plc Securities $15,000 Stock 9.3.30 MITEY - Mitsubishi Estate Corporate Self $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201) Stock
9.3.31 ORAN - Orange S.A. Corporate Self $1,001 - None, None (or less Securities $15,000 than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 46 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.3.32 OTSKY - Otsuka Holdings Corporate Self $1,001 - Dividends, None (or less Co., Ltd. Securities $15,000 than $201) Stock 9.3.33 PCRFY - Panasonic Corporate Self $1,001 - Dividends, $1,001 - Corporation Securities $15,000 Capital $2,500 Stock Gains, 9.3.34 PM - Philip Morris Corporate Self $1,001 - Dividends, $201 - $1,000 International Inc. Securities $15,000 Stock 9.3.35 RHHBY - Roche Holding Corporate Self $1,001 - Dividends, None (or less AG Securities $15,000 Capital than $201) Stock Gains, 9.3.36 RDS-A - Royal Dutch Shell Corporate Self $1,001 - Dividends, $201 - $1,000 plc Securities $15,000 Capital Stock Gains, 9.3.37 RDSMY - Koninklijke DSM Corporate Self $1,001 - Dividends, $1,001 - N.V. Securities $15,000 Capital $2,500 Stock Gains, 9.3.38 SAP - SAP SE Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.3.39 SLB - Schlumberger Corporate Self $1,001 - Dividends, $201 - $1,000 Limited Securities $15,000 Stock 9.3.40 SOMLY - SECOM CO., LTD. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.3.41 SVNDY - Seven & i Corporate Self $1,001 - Dividends, None (or less Holdings Co., Ltd. Securities $15,000 than $201) Stock 9.3.42 SMFG - Sumitomo Mitsui Corporate Self $1,001 - Dividends, $201 - $1,000 Financial Group, Inc. Securities $15,000 Stock 9.3.43 TTM - Tata Motors Limited Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.3.44 TRYIY - Toray Industries, Corporate Self $1,001 - Dividends, None (or less Inc. Securities $15,000 than $201) Stock 9.3.45 TOT - TOTAL S.A. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.3.46 AHEXY - Adecco Group Corporate Self None (or less Dividends, $1,001 - AG Securities than $1,001) Capital $2,500 Stock Gains, 9.3.47 BBVA - Banco Bilbao Corporate Self None (or less Dividends, $1,001 - Vizcaya Argentaria, S.A. Securities than $1,001) Capital $2,500 Stock Gains, 9.3.48 DBSDY - DBS Group Corporate Self None (or less Dividends, $1,001 - Holdings Ltd Securities than $1,001) Capital $2,500 Stock Gains,
9.3.49 DPSGY - Deutsche Post Corporate Self None (or less Capital $201 - $1,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 47 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
AG Securities than $1,001) Gains, Stock 9.3.50 FMS - Fresenius Medical Corporate Self None (or less Dividends, $201 - $1,000 Care AG & Co. KGaA Securities than $1,001) Capital Stock Gains, 9.3.51 KMTUY - Komatsu Ltd. Corporate Self None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains, 9.3.52 SEKEY - Seiko Epson Corporate Self None (or less Dividends, $1,001 - Corporation Securities than $1,001) Capital $2,500 Stock Gains, 9.3.53 VIVHY - Vivendi SA Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.3.54 AEG - AEGON N.V. Corporate Self None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 9.3.55 CHL - China Mobile Corporate Self None (or less Dividends, $201 - $1,000 Limited Securities than $1,001) Capital Stock Gains, 9.4 Goldman Sachs Managed Brokerage/Managed Self Account #2 Account 9.4.1 MSFT - Microsoft Corporate Self None (or less Dividends, $5,001 - Corporation Securities than $1,001) Capital $15,000 Stock Gains, 9.4.2 CMCSA - Comcast Corporate Self None (or less Dividends, $2,501 - Corporation Securities than $1,001) Capital $5,000 Stock Gains, 9.4.3 AIG - American Corporate Self None (or less Dividends, $1,001 - International Group, Inc. Securities than $1,001) Capital $2,500 Stock Gains, 9.4.4 AON - Aon plc Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.4.5 AAPL - Apple Inc. Corporate Self None (or less Dividends, $5,001 - Securities than $1,001) Capital $15,000 Stock Gains, 9.4.6 BRK-B - Berkshire Corporate Self None (or less Dividends, $5,001 - Hathaway Inc. Securities than $1,001) Capital $15,000 Stock Gains, 9.4.7 CP - Canadian Pacific Corporate Self None (or less Capital $1,001 - Railway Limited Securities than $1,001) Gains, $2,500 Stock 9.4.8 CTSH - Cognizant Corporate Self None (or less Dividends, $2,501 - Technology Solutions Securities than $1,001) Capital $5,000 Corporation Stock Gains,
9.4.9 DG - Dollar General Corporate Self None (or less Dividends, $5,001 - Corporation Securities than $1,001) Capital $15,000 Stock Gains, 9.4.10 LB - L Brands, Inc. Corporate Self None (or less Dividends, $1,001 -
Securities than $1,001) Capital $2,500
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 48 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock Gains, 9.4.11 MSI - Motorola Solutions, Corporate Self None (or less Dividends, $2,501 - Inc. Securities than $1,001) Capital $5,000 Stock Gains, 9.4.12 ORCL - Oracle Corporate Self None (or less Dividends, $1,001 - Corporation Securities than $1,001) Capital $2,500 Stock Gains, 9.4.13 PCLN - Booking Holdings Corporate Self None (or less Capital $2,501 - Inc. Securities than $1,001) Gains, $5,000 Stock 9.4.14 SAP - SAP SE Corporate Self None (or less Dividends, $5,001 - Securities than $1,001) Capital $15,000 Stock Gains, 9.4.15 WLTW - Willis Towers Corporate Self None (or less Dividends, $5,001 - Watson Public Limited Securities than $1,001) Capital $15,000 Company Stock Gains, 9.5 Goldman Sachs Managed Brokerage/Managed Self Account #3 Account 9.5.1 AET - Aetna Inc. Corporate Self $15,001 - Dividends, $2,501 - Securities $50,000 Capital $5,000 Stock Gains, 9.5.2 EADSY - Airbus SE Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.5.3 GOOG - Alphabet Inc. Corporate Self $15,001 - Capital $201 - $1,000 Securities $50,000 Gains, Stock 9.5.4 ABC - AmerisourceBergen Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Stock 9.5.5 ANTM - Anthem, Inc. Corporate Self $15,001 - Capital $5,001 - Securities $50,000 Gains, $15,000 Stock 9.5.6 AZO - AutoZone, Inc. Corporate Self $15,001 - Capital $201 - $1,000 Securities $50,000 Gains, Stock 9.5.7 AXTA - Axalta Coating Corporate Self $15,001 - None, None (or less Systems Ltd. Securities $50,000 than $201) Stock 9.5.8 AXS - AXIS Capital Corporate Self $15,001 - Dividends, $2,501 - Holdings Limited Securities $50,000 Capital $5,000 Stock Gains, 9.5.9 CAH - Cardinal Health, Corporate Self $15,001 - Dividends, $1,001 - Inc. Securities $50,000 $2,500 Stock 9.5.10 CBG - CBRE Group, Inc. Corporate Self $15,001 - Capital $2,501 - Securities $50,000 Gains, $5,000 Stock 9.5.11 CVS - CVS Health Corporate Self $50,001 - Dividends, $1,001 - Corporation Securities $100,000 Capital $2,500
Stock Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 49 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.5.12 RE - Everest Re Group, Corporate Self $15,001 - Dividends, $2,501 - Ltd. Securities $50,000 Capital $5,000 Stock Gains, 9.5.13 GKNLY - GKN plc Corporate Self $15,001 - Dividends, $5,001 - Securities $50,000 Capital $15,000 Stock Gains, 9.5.14 Goldman Sachs Bank Bank Deposit Self $50,001 - Interest, $201 - $1,000 Deposit $100,000 (New York, NY) Type: Brokerage Sweep Account, 9.5.15 HLT - Hilton Worldwide Corporate Self $15,001 - Dividends, $5,001 - Holdings Inc. Securities $50,000 Capital $15,000 Stock Gains, 9.5.16 MA - Mastercard Corporate Self $50,001 - Dividends, $5,001 - Incorporated Securities $100,000 Capital $15,000 Stock Gains, 9.5.17 BA - The Boeing Company Corporate Self None (or less Dividends, $15,001 - Securities than $1,001) Capital $50,000 Stock Gains, 9.5.18 BKNG - Booking Holdings Corporate Self None (or less Capital $1,001 - Inc. Securities than $1,001) Gains, $2,500 Stock 9.5.19 CSCO - Cisco Systems, Corporate Self None (or less Dividends, $5,001 - Inc. Securities than $1,001) Capital $15,000 Stock Gains, 9.5.20 BEN - Franklin Resources, Corporate Self None (or less Dividends, $1,001 - Inc. Securities than $1,001) Capital $2,500 Stock Gains, 9.5.21 HGV - Hilton Grand Corporate Self None (or less Capital $201 - $1,000 Vacations Inc. Securities than $1,001) Gains, Stock 9.5.22 IHG - InterContinental Corporate Self None (or less Dividends, $5,001 - Hotels Group PLC Securities than $1,001) Capital $15,000 Stock Gains, 9.5.23 IHG - InterContinental Corporate Self None (or less Dividends, $201 - $1,000 Hotels Group PLC Securities than $1,001) Capital Stock Gains, 9.5.24 PK - Park Hotels & Resorts Corporate Self None (or less Dividends, $1,001 - Inc. Securities than $1,001) Capital $2,500 Stock Gains, 9.5.25 SSNC - SS&C Corporate Self None (or less Dividends, $2,501 - Technologies Holdings, Securities than $1,001) Capital $5,000 Inc. Stock Gains, 9.5.26 STT - State Street Corporate Self None (or less Dividends, $1,001 - Corporation Securities than $1,001) Capital $2,500 Stock Gains,
9.5.27 TWX - Time Warner Inc. Corporate Self None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains,
9.5.28 UNH - UnitedHealth Group Corporate Self None (or less Dividends, $2,501 -
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 50 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Incorporated Securities than $1,001) Capital $5,000 Stock Gains, 9.5.29 DIS - The Walt Disney Corporate Self None (or less Dividends, $1,001 - Company Securities than $1,001) Capital $2,500 Stock Gains, 9.5.30 WPP - WPP plc Corporate Self None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 9.5.31 MCK - McKesson Corporate Self $15,001 - Dividends, None (or less Corporation Securities $50,000 Capital than $201) Stock Gains, 9.5.32 MCO - Moody's Corporate Self $15,001 - Dividends, $2,501 - Corporation Securities $50,000 Capital $5,000 Stock Gains, 9.5.33 NOV - National Oilwell Corporate Self $50,001 - Dividends, None (or less Varco, Inc. Securities $100,000 Capital than $201) Stock Gains, 9.5.34 NTRS - Northern Trust Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Capital Stock Gains, 9.5.35 ORLY - O'Reilly Corporate Self $15,001 - Capital $2,501 - Automotive, Inc. Securities $50,000 Gains, $5,000 Stock 9.5.36 ORCL - Oracle Corporate Self $100,001 - Dividends, $2,501 - Corporation Securities $250,000 Capital $5,000 Stock Gains, 9.5.37 PH - Parker-Hannifin Corporate Self $15,001 - Dividends, $1,001 - Corporation Securities $50,000 Capital $2,500 Stock Gains, 9.5.38 QRVO - Qorvo, Inc. Corporate Self $50,001 - Capital $5,001 - Securities $100,000 Gains, $15,000 Stock 9.5.39 SPGI - S&P Global Inc. Corporate Self $15,001 - None, None (or less Securities $50,000 than $201) Stock 9.5.40 SABR - Sabre Corporation Corporate Self $15,001 - Dividends, None (or less Securities $50,000 Capital than $201) Stock Gains, 9.5.41 SWKS - Skyworks Corporate Self $50,001 - Dividends, $5,001 - Solutions, Inc. Securities $100,000 Capital $15,000 Stock Gains, 9.5.42 STT - State Street Corporate Self $50,001 - Dividends, $201 - $1,000 Corporation Securities $100,000 Stock 9.5.43 SSREY - Swiss Re Ltd Corporate Self $15,001 - Dividends, $1,001 - Securities $50,000 Capital $2,500 Stock Gains,
9.5.44 BK - The Bank of New Corporate Self $15,001 - Dividends, $201 - $1,000 York Mellon Corporation Securities $50,000 Stock
9.5.45 UTX - United Corporate Self $1,001 - Dividends, $201 - $1,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 51 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Technologies Corporation Securities $15,000 Stock 9.5.46 V - Visa Inc. Corporate Self $50,001 - Dividends, $5,001 - Securities $100,000 Capital $15,000 Stock Gains, 9.6 Goldman Sachs Managed Brokerage/Managed Self Account #4 Account 9.6.1 AAGIY - AIA Group Corporate Self $15,001 - Dividends, $201 - $1,000 Limited Securities $50,000 Stock 9.6.2 AIQUY - Air Liquide, Corporate Self $15,001 - Dividends, $201 - $1,000 société anonyme Securities $50,000 Stock 9.6.3 ALFVY - Alfa Laval AB Corporate Self $1,001 - Dividends, None (or less (publ) Securities $15,000 than $201) Stock 9.6.4 AZSEY - Allianz SE Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.6.5 APNHY - Aspen Corporate Self $1,001 - Dividends, None (or less Pharmacare Holdings Securities $15,000 than $201) Limited Stock 9.6.6 ATLKY - Atlas Copco AB Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.6.7 BIDU - Baidu, Inc. Corporate Self $15,001 - Capital $201 - $1,000 Securities $50,000 Gains, Stock 9.6.8 BBVA - Banco Bilbao Corporate Self $1,001 - Dividends, $201 - $1,000 Vizcaya Argentaria, S.A. Securities $15,000 Stock 9.6.9 BAYRY - Bayer Corporate Self $15,001 - Dividends, $201 - $1,000 Aktiengesellschaft Securities $50,000 Stock 9.6.10 BMWYY - Bayerische Corporate Self $1,001 - Dividends, None (or less Motoren Werke Securities $15,000 Capital than $201) Aktiengesellschaft Stock Gains, 9.6.11 BBAVY - BBA Aviation plc Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.12 CNI - Canadian National Corporate Self $1,001 - Dividends, None (or less Railway Company Securities $15,000 than $201) Stock 9.6.13 CHKP - Check Point Corporate Self $1,001 - None, None (or less Software Technologies Securities $15,000 than $201) Ltd. Stock
9.6.14 CSLLY - CSL Limited Corporate Self $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains,
9.6.15 DIFTY - Daito Trust Corporate Self $1,001 - Dividends, None (or less
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 52 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Construction Co. Ltd. Securities $15,000 than $201) Stock 9.6.16 DASTY - Dassault Corporate Self $15,001 - Dividends, $1,001 - Systèmes SE Securities $50,000 Capital $2,500 Stock Gains, 9.6.17 DBSDY - DBS Group Corporate Self $1,001 - Dividends, $201 - $1,000 Holdings Ltd Securities $15,000 Stock 9.6.18 FANUY - Fanuc Corporate Self $15,001 - Dividends, None (or less Corporation Securities $50,000 than $201) Stock 9.6.19 FMS - Fresenius Medical Corporate Self $1,001 - Dividends, None (or less Care AG & Co. KGaA Securities $15,000 than $201) Stock 9.6.20 FUPBY - Fuchs Petrolub Corporate Self $1,001 - Dividends, None (or less SE Securities $15,000 than $201) Stock 9.6.21 Goldman Sachs Bank Bank Deposit Self $1,001 - Interest, None (or less Deposit $15,000 than $201) (New York, NY) Type: Brokerage Sweep Account, 9.6.22 GRFS - Grifols, S.A. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.23 GBOOY - Grupo Financiero Corporate Self $1,001 - Dividends, $201 - $1,000 Banorte, S.A.B. de C.V. Securities $15,000 Stock 9.6.24 HDB - HDFC Bank Limited Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.25 HSBC - HSBC Holdings plc Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.6.26 IBN - ICICI Bank Limited Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.6.27 IFNNY - Infineon Corporate Self $1,001 - Dividends, None (or less Technologies AG Securities $15,000 than $201) Stock 9.6.28 ITUB - Itaú Unibanco Corporate Self $1,001 - Dividends, $201 - $1,000 Holding S.A. Securities $15,000 Stock 9.6.29 JGCCY - JGC Corporation Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.30 KUBTY - Kubota Corporate Self $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock
9.6.31 LRLCY - L'Oréal S.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital
Stock Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 53 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.6.32 LVMUY - LVMH Moët Corporate Self $1,001 - Dividends, None (or less Hennessy Louis Vuitton Securities $15,000 than $201) S.E. Stock 9.6.33 MONOY - MonotaRO Co., Corporate Self $1,001 - Dividends, None (or less Ltd. Securities $15,000 than $201) Stock 9.6.34 NPSNY - Naspers Limited Corporate Self $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 9.6.35 NSRGY - Nestlé S.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.6.36 PKCOY - Park24 Co., Ltd. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.37 RHHBY - Roche Holding Corporate Self $1,001 - Dividends, None (or less AG Securities $15,000 Capital than $201) Stock Gains, 9.6.38 RDS-B - Royal Dutch Shell Corporate Self $1,001 - Dividends, $201 - $1,000 plc Securities $15,000 Stock 9.6.39 SAP - SAP SE Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.6.40 SSL - Sasol Limited Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.41 SLB - Schlumberger Corporate Self $1,001 - Dividends, $201 - $1,000 Limited Securities $15,000 Stock 9.6.42 SHPG - Shire plc Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.43 SONVY - Sonova Holding Corporate Self $1,001 - Dividends, None (or less AG Securities $15,000 than $201) Stock 9.6.44 SYIEY - Symrise AG Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.6.45 SSMXY - Sysmex Corporate Self $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock 9.6.46 TSM - Taiwan Corporate Self $15,001 - Dividends, $201 - $1,000 Semiconductor Securities $50,000 Manufacturing Company Stock Limited 9.6.47 TS - Tenaris S.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.6.48 TKGBY - Turkiye Garanti Corporate Self $1,001 - Dividends, None (or less Bankasi A.S. Securities $15,000 than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 54 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.6.49 UL - Unilever PLC Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.6.50 WB - Weibo Corporation Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.6.51 WPP - WPP plc Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.6.52 BG - Bunge Limited Corporate Self None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 9.6.53 LNEGY - Linde Corporate Self None (or less Capital $201 - $1,000 Aktiengesellschaft Securities than $1,001) Gains, Stock 9.7 Goldman Sachs Managed Brokerage/Managed Self Account #5 Account 9.7.1 ABB - ABB Ltd Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.7.2 AZSEY - Allianz SE Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.3 SAN - Banco Santander, Corporate Self $1,001 - Dividends, $201 - $1,000 S.A. Securities $15,000 Stock 9.7.4 BP - BP p.l.c. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.5 CAJ - Canon Inc. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.7.6 CHL - China Mobile Corporate Self $1,001 - Dividends, $201 - $1,000 Limited Securities $15,000 Stock 9.7.7 CKHUY - CK Hutchison Corporate Self $1,001 - Dividends, $201 - $1,000 Holdings Limited Securities $15,000 Stock 9.7.8 DMLRY - Daimler AG Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.7.9 ENLAY - Enel SpA Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.7.10 E - Eni S.p.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock
9.7.11 FUJIY - FUJIFILM Corporate Self $1,001 - Dividends, None (or less Holdings Corporation Securities $15,000 than $201) Stock
9.7.12 GSK - GlaxoSmithKline plc Corporate Self $1,001 - Dividends, $201 - $1,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 55 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Securities $15,000 Stock 9.7.13 Goldman Sachs Bank Bank Deposit Self $1,001 - Interest, None (or less Deposit $15,000 than $201) (New York, NY) Type: Brokerage Sweep Account, 9.7.14 HMC - Honda Motor Co., Corporate Self $15,001 - Dividends, $201 - $1,000 Ltd. Securities $50,000 Capital Stock Gains, 9.7.15 IBDRY - Iberdrola, S.A. Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Capital Stock Gains, 9.7.16 ISUZY - Isuzu Motors Corporate Self $1,001 - Dividends, $201 - $1,000 Limited Securities $15,000 Stock 9.7.17 KGFHY - Kingfisher plc Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.7.18 ADRNY - Koninklijke Ahold Corporate Self $15,001 - Dividends, $201 - $1,000 Delhaize N.V. Securities $50,000 Stock 9.7.19 LYG - Lloyds Banking Corporate Self $15,001 - Dividends, $201 - $1,000 Group plc Securities $50,000 Stock 9.7.20 NGG - National Grid plc Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.21 NVS - Novartis AG Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.22 DCM - NTT DOCOMO, INC. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.7.23 QBIEY - QBE Insurance Corporate Self $1,001 - Dividends, $201 - $1,000 Group Limited Securities $15,000 Stock 9.7.24 RDS-B - Royal Dutch Shell Corporate Self $1,001 - Dividends, $1,001 - plc Securities $15,000 Capital $2,500 Stock Gains, 9.7.25 RWEOY - RWE Corporate Self $1,001 - Capital None (or less Aktiengesellschaft Securities $15,000 Gains, than $201) Stock 9.7.26 SNY - Sanofi Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock
9.7.27 SAP - SAP SE Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.7.28 SGAPY - Singapore Corporate Self $1,001 - Dividends, $201 - $1,000
Telecommunications Securities $15,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 56 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Limited Stock 9.7.29 TSM - Taiwan Corporate Self $1,001 - Dividends, $1,001 - Semiconductor Securities $15,000 Capital $2,500 Manufacturing Company Stock Gains, Limited 9.7.30 TKPYY - Takeda Corporate Self $15,001 - Dividends, $201 - $1,000 Pharmaceutical Company Securities $50,000 Limited Stock 9.7.31 TEF - Telefónica, S.A. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.32 TLSNY - Telia Company Corporate Self $1,001 - Dividends, $201 - $1,000 AB Securities $15,000 Stock 9.7.33 TSCDY - Tesco PLC Corporate Self $15,001 - Dividends, None (or less Securities $50,000 than $201) Stock 9.7.34 TKOMY - Tokio Marine Corporate Self $15,001 - Dividends, $201 - $1,000 Holdings, Inc. Securities $50,000 Stock 9.7.35 UOVEY - United Overseas Corporate Self $15,001 - Dividends, $201 - $1,000 Bank Limited Securities $50,000 Capital Stock Gains, 9.7.36 WPP - WPP plc Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.7.37 ZURVY - Zurich Insurance Corporate Self $1,001 - Dividends, $201 - $1,000 Group AG Securities $15,000 Stock 9.7.38 KCRPY - Kao Corporation Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.7.39 NSRGY - Nestlé S.A. Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.7.40 SYT - Syngenta AG Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.7.41 UN - Unilever N.V. Corporate Self None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains, 9.7.42 CERN - Cerner Corporate Self None (or less Capital $1,001 - Corporation Securities than $1,001) Gains, $2,500 Stock 9.8 Goldman Sachs Managed Brokerage/Managed Self Account #6 Account
9.8.1 ABT - Abbott Laboratories Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock
9.8.2 ADBE - Adobe Systems Corporate Self $50,001 - None, None (or less
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 57 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Incorporated Securities $100,000 than $201) Stock 9.8.3 BABA - Alibaba Group Corporate Self $50,001 - None, None (or less Holding Limited Securities $100,000 than $201) Stock 9.8.4 GOOG - Alphabet Inc. Corporate Self $50,001 - None, None (or less Securities $100,000 than $201) Stock 9.8.5 BDX - Becton, Dickinson Corporate Self $15,001 - Dividends, $201 - $1,000 and Company Securities $50,000 Stock 9.8.6 BKNG - Booking Holdings Corporate Self $50,001 - None, None (or less Inc. Securities $100,000 than $201) Stock 9.8.7 CP - Canadian Pacific Corporate Self $15,001 - Dividends, $201 - $1,000 Railway Limited Securities $50,000 Stock 9.8.8 SCHW - The Charles Corporate Self $50,001 - Dividends, $201 - $1,000 Schwab Corporation Securities $100,000 Stock 9.8.9 DLTR - Dollar Tree, Inc. Corporate Self $15,001 - None, None (or less Securities $50,000 than $201) Stock 9.8.10 EA - Electronic Arts Inc. Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.8.11 FB - Facebook, Inc. Corporate Self $50,001 - None, None (or less Securities $100,000 than $201) Stock 9.8.12 Goldman Sachs Bank Bank Deposit Self $15,001 - Interest, None (or less Deposit $50,000 than $201) (New York, NY) Type: Brokerage Sweep Account, 9.8.13 KSU - Kansas City Corporate Self $15,001 - Dividends, $1,001 - Southern Securities $50,000 Capital $2,500 Stock Gains, 9.8.14 MSFT - Microsoft Corporate Self $50,001 - Dividends, $1,001 - Corporation Securities $100,000 $2,500 Stock 9.8.15 MNST - Monster Beverage Corporate Self $15,001 - None, None (or less Corporation Securities $50,000 than $201) Stock 9.8.16 MSCI - MSCI Inc. Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.8.17 NCLH - Norwegian Cruise Corporate Self $15,001 - None, None (or less Line Holdings Ltd. Securities $50,000 than $201) Stock 9.8.18 PYPL - PayPal Holdings, Corporate Self $15,001 - None, None (or less Inc. Securities $50,000 than $201)
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 58 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.8.19 REGN - Regeneron Corporate Self $1,001 - None, None (or less Pharmaceuticals, Inc. Securities $15,000 than $201) Stock 9.8.20 RCL - Royal Caribbean Corporate Self $15,001 - Dividends, $201 - $1,000 Cruises Ltd. Securities $50,000 Stock 9.8.21 SIRI - Sirius XM Holdings Corporate Self $15,001 - None, None (or less Inc. Securities $50,000 than $201) Stock 9.8.22 TCEHY - Tencent Holdings Corporate Self $50,001 - Dividends, None (or less Limited Securities $100,000 than $201) Stock 9.8.23 TMO - Thermo Fisher Corporate Self $15,001 - Dividends, None (or less Scientific Inc. Securities $50,000 than $201) Stock 9.8.24 TD - The Toronto- Corporate Self $15,001 - Dividends, $201 - $1,000 Dominion Bank Securities $50,000 Stock 9.8.25 V - Visa Inc. Corporate Self $50,001 - Dividends, $201 - $1,000 Securities $100,000 Stock 9.8.26 WYNN - Wynn Resorts, Corporate Self $15,001 - Dividends, None (or less Limited Securities $50,000 Capital than $201) Stock Gains, 9.8.27 ZTS - Zoetis Inc. Corporate Self $50,001 - Dividends, $201 - $1,000 Securities $100,000 Stock 9.8.28 AON - Aon plc Corporate Self None (or less Capital $15,001 - Securities than $1,001) Gains, $50,000 Stock 9.8.29 AAPL - Apple Inc. Corporate Self None (or less Capital $5,001 - Securities than $1,001) Gains, $15,000 Stock 9.8.30 BRK-B - Berkshire Corporate Self None (or less Capital $5,001 - Hathaway Inc. Securities than $1,001) Gains, $15,000 Stock 9.8.31 CDK - CDK Global, Inc. Corporate Self None (or less Capital $201 - $1,000 Securities than $1,001) Gains, Stock 9.8.32 CTSH - Cognizant Corporate Self None (or less Dividends, $15,001 - Technology Solutions Securities than $1,001) Capital $50,000 Corporation Stock Gains, 9.8.33 CMCSA - Comcast Corporate Self None (or less Capital $5,001 - Corporation Securities than $1,001) Gains, $15,000 Stock 9.8.34 GNTX - Gentex Corporate Self None (or less Capital $5,001 - Corporation Securities than $1,001) Gains, $15,000 Stock 9.8.35 MSI - Motorola Solutions, Corporate Self None (or less Capital $5,001 - Inc. Securities than $1,001) Gains, $15,000
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 59 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.8.36 ORCL - Oracle Corporate Self None (or less Capital $5,001 - Corporation Securities than $1,001) Gains, $15,000 Stock 9.8.37 SHW - The Sherwin- Corporate Self None (or less Capital $5,001 - Williams Company Securities than $1,001) Gains, $15,000 Stock 9.8.38 TWX - Time Warner Inc. Corporate Self None (or less Capital $2,501 - Securities than $1,001) Gains, $5,000 Stock 9.8.39 DIS - The Walt Disney Corporate Self None (or less Capital $201 - $1,000 Company Securities than $1,001) Gains, Stock 9.9 Goldman Sachs Managed Brokerage/Managed Self Account #7 Account 9.9.1 ACTAVIS FUNDING SCS Corporate Self $250,001 - Interest, $5,001 - 3.0% 03/12/2020 USD SR Securities $500,000 $15,000 LIEN Corporate Bond Rate/Coupon: 3.0% Matures: 03/12/2020 9.9.2 APPLIED MATERIALS, INC. Corporate Self $100,001 - Interest, $2,501 - 2.625% 10/01/2020 USD Securities $250,000 $5,000 SR LIEN Corporate Bond Rate/Coupon: 2.625% Matures: 10/01/2020 9.9.3 AUTONATION, INC. 6.75% Corporate Self $250,001 - Interest, $15,001 - 04/15/2018 SR LIEN Securities $500,000 $50,000 Rate/Coupon: 6.75% Corporate Bond Matures: 04/15/2018 9.9.4 BANK OF AMERICA Corporate Self $250,001 - Interest, $5,001 - CORPORATION MTN Securities $500,000 $15,000 2.25% 04/21/2020 USD Corporate Bond SER L SR LIEN Rate/Coupon: 2.25% Matures: 04/21/2020 9.9.5 BAXALTA INCORPORATED Corporate Self $100,001 - Interest, $5,001 - 3.6% 06/23/2022 USD Securities $250,000 $15,000 SER WI SR LIEN Corporate Bond Rate/Coupon: 3.6% Matures: 06/23/2022 9.9.6 BRANCH BANKING AND Corporate Self $100,001 - Interest, $5,001 - TRUST COMPA 2.625% Securities $250,000 $15,000 01/15/2022 USD SER 5YR Corporate Bond SR LIEN Rate/Coupon: 2.625% Matures: 01/15/2022 9.9.7 CISCO SYSTEMS, INC. Corporate Self $100,001 - Interest, $5,001 - 2.45% 06/15/2020 USD Securities $250,000 $15,000 SR LIEN Corporate Bond Rate/Coupon: 2.45% Matures: 06/15/2020
9.9.8 CVS HEALTH Corporate Self $100,001 - Interest, $2,501 -
CORPORATION 2.125% Securities $250,000 $5,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 60 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
06/01/2021 USD SR LIEN Corporate Bond Rate/Coupon: 2.125% Matures: 06/01/2021 9.9.9 ESTEE LAUDER CO INC Corporate Self $100,001 - Interest, $2,501 - 1.7% 05/10/2021 USD SR Securities $250,000 $5,000 LIEN Corporate Bond Rate/Coupon: 1.7% Matures: 05/10/2021 9.9.10 FEDERAL HOME LOAN Government Self $1,000,001 - Interest, $15,001 - BANK SYSTEM 1.625% Securities $5,000,000 $50,000 06/14/2019 SR LIEN US Rate/Coupon: None Treasury/Agency Matures: None Security 9.9.11 FEDERAL HOME LOAN Government Self $500,001 - Interest, $5,001 - BANK SYSTEM 1.75% Securities $1,000,000 $15,000 12/14/2018 SER FM-9018 US SR LIEN Treasury/Agency Rate/Coupon: None Security Matures: None 9.9.12 FHLB 1.375% 03/09/2018 Government Self $1,000,001 - Interest, $5,001 - SER HF-9018 SR LIEN Securities $5,000,000 $15,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 9.9.13 FHLB 1.875% 03/13/2020 Government Self $500,001 - Interest, $5,001 - SER XJ-2020 SR LIEN Securities $1,000,000 $15,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 9.9.14 FHLB 2.875% 09/11/2020 Government Self $500,001 - Interest, $15,001 - SER QL-2020 SR LIEN Securities $1,000,000 $50,000 Rate/Coupon: None US Matures: None Treasury/Agency Security 9.9.15 FORD MOTOR CREDIT Corporate Self $250,001 - Interest, $5,001 - COMPANY LLC 2.597% Securities $500,000 $15,000 11/04/2019 USD SR LIEN Corporate Bond Rate/Coupon: 2.597% Matures: 11/4/2019 9.9.16 FORD MOTOR CREDIT Corporate Self $250,001 - Interest, $5,001 - COMPANY LLC MTN Securities $500,000 $15,000 2.943% 01/08/2019 USD Corporate Bond SR LIEN Rate/Coupon: 2.943% Matures: 01/08/2019 9.9.17 JOHN DEERE CAPITAL Corporate Self $250,001 - Interest, $2,501 - CORP MTN 1.95% Securities $500,000 $5,000 01/08/2019 USD SR LIEN Corporate Bond Rate/Coupon: 1.95% Matures: 01/08/2019
9.9.18 JPMORGAN CHASE & CO. Corporate Self $250,001 - Interest, $5,001 -
MTN 2.295% 08/15/2021 Securities $500,000 $15,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 61 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
USD SR LIEN Corporate Bond Rate/Coupon: 2.295% Matures: 08/15/2021 9.9.19 KINDER MORGAN ENRGY Corporate Self $100,001 - Interest, $15,001 - PART LP 9.0% 02/01/2019 Securities $250,000 $50,000 USD SR LIEN Corporate Bond Rate/Coupon: 9.0% Matures: 02/01/2019 9.9.20 LEGG MASON, INC. 2.7% Corporate Self $250,001 - Interest, $5,001 - 07/15/2019 USD SR LIEN Securities $500,000 $15,000 Rate/Coupon: 2.7% Corporate Bond Matures: 07/15/2019 9.9.21 MCCORMICK & CO 2.7% Corporate Self $100,001 - Interest, $5,001 - 08/15/2022 USD SR LIEN Securities $250,000 $15,000 Rate/Coupon: 2.7% Corporate Bond Matures: 08/15/2022 9.9.22 MEDTRONIC, INC. 2.5% Corporate Self $250,001 - Interest, $5,001 - 03/15/2020 USD SER B SR Securities $500,000 $15,000 LIEN Corporate Bond Rate/Coupon: 2.5% Matures: 03/15/2020 9.9.23 NVIDIA CORP 2.2% Corporate Self $100,001 - Interest, $5,001 - 09/16/2021 USD SR LIEN Securities $250,000 $15,000 Rate/Coupon: 2.2% Corporate Bond Matures: 09/16/2021 9.9.24 PNC BANK, NATIONAL Corporate Self $100,001 - Interest, $5,001 - ASSOCIATION 2.45% Securities $250,000 $15,000 07/28/2022 USD SER Corporate Bond BKNT SR LIEN Rate/Coupon: 2.45% Matures: 07/28/2022 9.9.25 PUB SVC ELEC & GAS CO Corporate Self $100,001 - Interest, $5,001 - MTN 5.3% 05/01/2018 Securities $250,000 $15,000 SER E SR LIEN Corporate Bond Rate/Coupon: 5.3% Matures: 05/01/2018 9.9.26 ROYAL BANK OF CANADA Corporate Self $250,001 - Interest, $5,001 - MTN 2.75% 02/01/2022 Securities $500,000 $15,000 USD SR LIEN Corporate Bond Rate/Coupon: 2.75% Matures: 02/01/2022 9.9.27 THE J. M. SMUCKER Corporate Self $100,001 - Interest, $5,001 - COMPANY 3.0% Securities $250,000 $15,000 03/15/2022 USD SER WI Corporate Bond SR LIEN Rate/Coupon: 3.0% Matures: 03/15/2022 9.9.28 TORONTO-DOMINION Corporate Self $100,001 - Interest, $2,501 - BANK MTN 1.95% Securities $250,000 $5,000 01/22/2019 USD SR LIEN Corporate Bond Rate/Coupon: 1.95%
Matures: 01/22/2019
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 62 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.9.29 TOYOTA MOTOR CREDIT Corporate Self $100,001 - Interest, $2,501 - CORP MTN 2.6% Securities $250,000 $5,000 01/11/2022 USD SR LIEN Corporate Bond Rate/Coupon: 2.6% Matures: 01/11/2022 9.9.30 U.S. BANCORP MTN Corporate Self $100,001 - Interest, $2,501 - 2.625% 01/24/2022 USD Securities $250,000 $5,000 SER V SR LIEN Corporate Bond Rate/Coupon: 2.625% Matures: 01/24/2022 9.9.31 WELLS FARGO & Corporate Self $15,001 - Interest, $1,001 - COMPANY 3.069% Securities $50,000 $2,500 01/24/2023 USD SR LIEN Corporate Bond Rate/Coupon: 3.069% Matures: 01/24/2023 9.9.32 ZOETIS INC 3.45% Corporate Self $250,001 - Interest, $5,001 - 11/13/2020 USD SR LIEN Securities $500,000 $15,000 Rate/Coupon: 3.45% Corporate Bond Matures: 11/13/2020 9.9.33 KFW 1.75% 09/15/2021 SR Other Securities Self $250,001 - Interest, $5,001 - LIEN $500,000 $15,000 Description: German government-owned development bank bond (Frankfurt, Germany) 9.10 Goldman Sachs Managed Brokerage/Managed Self Account #8 Account 9.10.1 ABBV - AbbVie Inc. Corporate Self $1,001 - Dividends, $1,001 - Securities $15,000 Capital $2,500 Stock Gains, 9.10.2 APD - Air Products and Corporate Self $1,001 - Dividends, $201 - $1,000 Chemicals, Inc. Securities $15,000 Stock 9.10.3 AGN - Allergan plc Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.10.4 ALL - The Allstate Corporate Self $1,001 - Dividends, $1,001 - Corporation Securities $15,000 Capital $2,500 Stock Gains, 9.10.5 AEP - American Electric Corporate Self $1,001 - Dividends, $201 - $1,000 Power Company, Inc. Securities $15,000 Stock 9.10.6 AXP - American Express Corporate Self $1,001 - Dividends, None (or less Company Securities $15,000 than $201) Stock 9.10.7 AMP - Ameriprise Corporate Self $1,001 - Dividends, $1,001 - Financial, Inc. Securities $15,000 Capital $2,500 Stock Gains, 9.10.8 AMGN - Amgen Inc. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock
9.10.9 T - AT&T Inc. Corporate Self $15,001 - Dividends, $1,001 -
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 63 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Securities $50,000 Capital $2,500 Stock Gains, 9.10.10 BAC - Bank of America Corporate Self $15,001 - Dividends, $1,001 - Corporation Securities $50,000 Capital $2,500 Stock Gains, 9.10.11 BRK-B - Berkshire Corporate Self $1,001 - None, None (or less Hathaway Inc. Securities $15,000 than $201) Stock 9.10.12 BIIB - Biogen Inc. Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.10.13 BWA - BorgWarner Inc. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.10.14 AVGO - Broadcom Limited Corporate Self $1,001 - Capital $201 - $1,000 Securities $15,000 Gains, Stock 9.10.15 CAT - Caterpillar Inc. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.10.16 CBS - CBS Corporation Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.10.17 CVX - Chevron Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Stock 9.10.18 CB - Chubb Limited Corporate Self $15,001 - None, None (or less Securities $50,000 than $201) Stock 9.10.19 CSCO - Cisco Systems, Corporate Self $15,001 - Dividends, $1,001 - Inc. Securities $50,000 Capital $2,500 Stock Gains, 9.10.20 CMCSA - Comcast Corporate Self $1,001 - Dividends, $1,001 - Corporation Securities $15,000 Capital $2,500 Stock Gains, 9.10.21 COP - ConocoPhillips Corporate Self $15,001 - Dividends, None (or less Securities $50,000 Capital than $201) Stock Gains, 9.10.22 DHR - Danaher Corporate Self $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 9.10.23 DE - Deere & Company Corporate Self $1,001 - Dividends, None (or less Securities $15,000 than $201) Stock 9.10.24 DAL - Delta Air Lines, Inc. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Capital Stock Gains, 9.10.25 DVN - Devon Energy Corporate Self $1,001 - Dividends, None (or less Corporation Securities $15,000 than $201) Stock
9.10.26 DFS - Discover Financial Corporate Self $15,001 - Dividends, $201 - $1,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 64 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Services Securities $50,000 Stock 9.10.27 DWDP - DowDuPont Inc. Corporate Self $1,001 - Dividends, $2,501 - Securities $15,000 Capital $5,000 Stock Gains, 9.10.28 DTE - DTE Energy Corporate Self $1,001 - Dividends, $1,001 - Company Securities $15,000 Capital $2,500 Stock Gains, 9.10.29 ETFC - E*TRADE Financial Corporate Self $1,001 - None, None (or less Corporation Securities $15,000 than $201) Stock 9.10.30 EBAY - eBay Inc. Corporate Self $1,001 - None, None (or less Securities $15,000 than $201) Stock 9.10.31 LLY - Eli Lilly and Corporate Self $1,001 - Dividends, $1,001 - Company Securities $15,000 Capital $2,500 Stock Gains, 9.10.32 EGN - Energen Corporate Self $1,001 - None, None (or less Corporation Securities $15,000 than $201) Stock 9.10.33 EOG - EOG Resources, Corporate Self $15,001 - Dividends, None (or less Inc. Securities $50,000 Capital than $201) Stock Gains, 9.10.34 ELS - Equity LifeStyle Corporate Self $1,001 - Dividends, $201 - $1,000 Properties, Inc. Securities $15,000 Stock 9.10.35 XOM - Exxon Mobil Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Capital Stock Gains, 9.10.36 GILD - Gilead Sciences, Corporate Self $1,001 - Dividends, None (or less Inc. Securities $15,000 Capital than $201) Stock Gains, 9.10.37 Goldman Sachs Bank Bank Deposit Self $15,001 - Interest, $201 - $1,000 Deposit $50,000 (New York, NY) Type: Brokerage Sweep Account, 9.10.38 HAL - Halliburton Corporate Self $1,001 - Dividends, $201 - $1,000 Company Securities $15,000 Capital Stock Gains, 9.10.39 HIW - Highwoods Corporate Self $1,001 - Dividends, $201 - $1,000 Properties, Inc. Securities $15,000 Stock 9.10.40 HRC - Hill-Rom Holdings, Corporate Self $1,001 - Dividends, None (or less Inc. Securities $15,000 than $201) Stock 9.10.41 HON - Honeywell Corporate Self $1,001 - Dividends, $201 - $1,000 International Inc. Securities $15,000 Stock
9.10.42 HBAN - Huntington Corporate Self $15,001 - Dividends, $201 - $1,000
Bancshares Incorporated Securities $50,000
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 65 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Stock 9.10.43 ICE - Intercontinental Corporate Self $1,001 - None, None (or less Exchange, Inc. Securities $15,000 than $201) Stock 9.10.44 JNJ - Johnson & Johnson Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.10.45 JPM - JPMorgan Chase & Corporate Self $15,001 - Dividends, $201 - $1,000 Co. Securities $50,000 Stock 9.10.46 LH - Laboratory Corporate Self $1,001 - None, None (or less Corporation of America Securities $15,000 than $201) Holdings Stock 9.10.47 MPC - Marathon Corporate Self $1,001 - Dividends, $201 - $1,000 Petroleum Corporation Securities $15,000 Stock 9.10.48 MDT - Medtronic plc Corporate Self $1,001 - Capital None (or less Securities $15,000 Gains, than $201) Stock 9.10.49 MSFT - Microsoft Corporate Self $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 9.10.50 MS - Morgan Stanley Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000 Stock 9.10.51 NOC - Northrop Grumman Corporate Self $15,001 - Dividends, $1,001 - Corporation Securities $50,000 Capital $2,500 Stock Gains, 9.10.52 NUE - Nucor Corporation Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.10.53 ON - ON Semiconductor Corporate Self $1,001 - Capital $1,001 - Corporation Securities $15,000 Gains, $2,500 Stock 9.10.54 PH - Parker-Hannifin Corporate Self $1,001 - Dividends, $1,001 - Corporation Securities $15,000 Capital $2,500 Stock Gains, 9.10.55 ORCL - Oracle Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Stock 9.10.56 PEP - PepsiCo, Inc. Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.10.57 PFE - Pfizer Inc. Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.10.58 PG - The Procter & Corporate Self $1,001 - Dividends, $201 - $1,000 Gamble Company Securities $15,000 Capital Stock Gains, 9.10.59 PLD - Prologis, Inc. Corporate Self $1,001 - Dividends, $201 - $1,000 Securities $15,000
Stock
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 66 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.10.60 PEG - Public Service Corporate Self $1,001 - Dividends, $201 - $1,000 Enterprise Group Securities $15,000 Incorporated Stock 9.10.61 PVH - PVH Corp. Corporate Self $1,001 - Dividends, None (or less Securities $15,000 Capital than $201) Stock Gains, 9.10.62 QCOM - QUALCOMM Corporate Self $1,001 - Dividends, $1,001 - Incorporated Securities $15,000 Capital $2,500 Stock Gains, 9.10.63 PWR - Quanta Services, Corporate Self $1,001 - Capital None (or less Inc. Securities $15,000 Gains, than $201) Stock 9.10.64 RTN - Raytheon Company Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Stock 9.10.65 SWK - Stanley Black & Corporate Self $1,001 - Capital $1,001 - Decker, Inc. Securities $15,000 Gains, $2,500 Stock 9.10.66 STT - State Street Corporate Self $15,001 - Dividends, $201 - $1,000 Corporation Securities $50,000 Stock 9.10.67 STI - SunTrust Banks, Inc. Corporate Self $15,001 - Dividends, $1,001 - Securities $50,000 Capital $2,500 Stock Gains, 9.10.68 HSY - The Hershey Corporate Self $1,001 - Dividends, None (or less Company Securities $15,000 Capital than $201) Stock Gains, 9.10.69 HD - The Home Depot, Corporate Self $1,001 - Dividends, $1,001 - Inc. Securities $15,000 Capital $2,500 Stock Gains, 9.10.70 TMO - Thermo Fisher Corporate Self $1,001 - Dividends, $201 - $1,000 Scientific Inc. Securities $15,000 Capital Stock Gains, 9.10.71 TSN - Tyson Foods, Inc. Corporate Self $15,001 - Dividends, $201 - $1,000 Securities $50,000 Capital Stock Gains, 9.10.72 UNH - UnitedHealth Group Corporate Self $1,001 - Dividends, $201 - $1,000 Incorporated Securities $15,000 Capital Stock Gains, 9.10.73 VZ - Verizon Corporate Self $1,001 - Dividends, None (or less Communications Inc. Securities $15,000 Capital than $201) Stock Gains, 9.10.74 DIS - The Walt Disney Corporate Self $1,001 - Dividends, None (or less Company Securities $15,000 Capital than $201) Stock Gains, 9.10.75 WM - Waste Management, Corporate Self $15,001 - Dividends, $201 - $1,000 Inc. Securities $50,000 Stock 9.10.76 WFC - Wells Fargo & Corporate Self $1,001 - Dividends, $201 - $1,000 Company Securities $15,000 Capital
Stock Gains,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 67 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.10.77 WLK - Westlake Chemical Corporate Self $1,001 - Dividends, $201 - $1,000 Corporation Securities $15,000 Capital Stock Gains, 9.10.78 XEL - Xcel Energy Inc. Corporate Self $15,001 - Dividends, None (or less Securities $50,000 Capital than $201) Stock Gains, 9.10.79 AIG - American Corporate Self None (or less Capital $201 - $1,000 International Group, Inc. Securities than $1,001) Gains, Stock 9.10.80 AAPL - Apple Inc. Corporate Self None (or less Dividends, $2,501 - Securities than $1,001) Capital $5,000 Stock Gains, 9.10.81 BDX - Becton, Dickinson Corporate Self None (or less Capital $201 - $1,000 and Company Securities than $1,001) Gains, Stock 9.10.82 CMI - Cummins Inc. Corporate Self None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 9.10.83 DOW - Dow Chemical Corporate Self None (or less Dividends, $1,001 - Company (The) Securities than $1,001) Capital $2,500 Stock Gains, 9.10.84 EIX - Edison International Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.10.85 GE - General Electric Corporate Self None (or less Dividends, $201 - $1,000 Company Securities than $1,001) Capital Stock Gains, 9.10.86 HPE - Hewlett Packard Corporate Self None (or less Dividends, $1,001 - Enterprise Company Securities than $1,001) Capital $2,500 Stock Gains, 9.10.87 INTC - Intel Corporation Corporate Self None (or less Dividends, $201 - $1,000 Securities than $1,001) Capital Stock Gains, 9.10.88 IP - International Paper Corporate Self None (or less Capital $2,501 - Company Securities than $1,001) Gains, $5,000 Stock 9.10.89 PHM - PulteGroup, Inc. Corporate Self None (or less Dividends, $1,001 - Securities than $1,001) Capital $2,500 Stock Gains, 9.10.90 VLO - Valero Energy Corporate Self None (or less Dividends, $201 - $1,000 Corporation Securities than $1,001) Capital Stock Gains, 9.10.91 WOOF - VCA Inc. Corporate Self None (or less Capital $2,501 - Securities than $1,001) Gains, $5,000 Stock 9.10.92 WRK - WestRock Corporate Self None (or less Dividends, $1,001 - Company Securities than $1,001) Capital $2,500 Stock Gains, 9.11 Goldman Sachs Managed Brokerage/Managed Self Account #9 Account
9.11.1 PUT/SPX @ 2450 EXP Other Securities Self $1,001 - None, None (or less
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 68 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
04/30/2018 $15,000 than $201) Description: Put Option (New York, NY) 9.11.2 PUT/SPX @ 2500 EXP Other Securities Self $1,001 - None, None (or less 03/29/2018 $15,000 than $201) Description: Put Option (New York, NY) 9.11.3 PUT/SPX @ 2570 EXP Other Securities Self $1,001 - None, None (or less 04/20/2018 $15,000 than $201) Description: Put Option (New York, NY) 9.11.4 PUT/SPX @ 2590 EXP Other Securities Self $1,001 - None, None (or less 03/16/2018 $15,000 than $201) Description: Put Option (New York, NY) 9.11.5 PUT/SPX @ 2650 EXP Other Securities Self $1,001 - None, None (or less 03/29/2018 $15,000 than $201) Description: Put Option (New York, NY) 9.11.6 Goldman Sachs Bank Bank Deposit Self $50,001 - Interest, $201 - $1,000 Deposit $100,000 (New York, NY) Type: Brokerage Sweep Account, 9.11.7 PUT/SPX @ 2190 EXP Other Securities Self None (or less Capital $1,001 - 03/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.8 PUT/SPX @ 2190 EXP Other Securities Self None (or less Capital $1,001 - 03/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.9 PUT/SPX @ 2290 EXP Other Securities Self None (or less Capital $1,001 - 04/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.10 PUT/SPX @ 2290 EXP Other Securities Self None (or less Capital $1,001 - 04/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.11 PUT/SPX @ 2270 EXP Other Securities Self None (or less Capital $1,001 - 05/19/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.12 PUT/SPX @ 2270 EXP Other Securities Self None (or less Capital $1,001 - 05/19/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.13 PUT/SPX @ 2220 EXP Other Securities Self None (or less Capital $1,001 - 06/16/2017 than $1,001) Gains, $2,500 Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 69 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.11.14 PUT/SPX @ 2260 EXP Other Securities Self None (or less Capital $1,001 - 06/16/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.15 PUT/SPX @ 2270 EXP Other Securities Self None (or less Capital $1,001 - 07/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.16 PUT/SPX @ 2270 EXP Other Securities Self None (or less Capital $1,001 - 07/21/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.17 PUT/SPX @ 2400 EXP Other Securities Self None (or less Capital $1,001 - 07/28/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.18 PUT/SPX @ 2380 EXP Other Securities Self None (or less Capital $1,001 - 08/18/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.19 PUT/SPX @ 2300 EXP Other Securities Self None (or less Capital $1,001 - 08/18/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, Ny) 9.11.20 PUT/SPX @ 2300 EXP Other Securities Self None (or less Capital $2,501 - 08/18/2017 than $1,001) Gains, $5,000 Description: Put Option (New York, NY) 9.11.21 PUT/SPX @ 2300 EXP Other Securities Self None (or less Capital $1,001 - 08/18/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.22 PUT/SPX @ 2410 EXP Other Securities Self None (or less Capital $1,001 - 09/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.23 PUT/SPX @ 2410 EXP Other Securities Self None (or less Capital $1,001 - 09/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.24 PUT/SPX @ 2420 EXP Other Securities Self None (or less Capital $1,001 - 09/29/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.25 PUT/SPX @ 2420 EXP Other Securities Self None (or less Capital $1,001 - 09/29/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.26 PUT/SPX @ 2300 EXP Other Securities Self None (or less Capital $1,001 - 10/20/2017 than $1,001) Gains, $2,500 Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 70 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.11.27 PUT/SPX @ 2330 EXP Other Securities Self None (or less Capital $1,001 - 10/20/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.28 PUT/SPX @ 2450 EXP Other Securities Self None (or less Capital $1,001 - 11/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.29 PUT/SPX @ 2450 EXP Other Securities Self None (or less Capital $1,001 - 11/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.30 PUT/SPX @ 2520 EXP Other Securities Self None (or less Capital $1,001 - 12/01/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.31 PUT/SPX @ 2520 EXP Other Securities Self None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.32 PUT/SPX @ 2440 EXP Other Securities Self None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.33 PUT/SPX @ 2440 EXP Other Securities Self None (or less Capital $1,001 - 12/15/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.34 PUT/SPX @ 2530 EXP Other Securities Self None (or less Capital $1,001 - 01/19/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.35 PUT/SPX @ 2530 EXP Other Securities Self None (or less Capital $1,001 - 01/19/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.36 PUT/SPX @ 2640 EXP Other Securities Self None (or less Capital $1,001 - 01/26/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.37 PUT/SPX @ 2640 EXP Other Securities Self None (or less Capital $1,001 - 02/16/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.38 PUT/SPX @ 2640 EXP Other Securities Self None (or less Capital $1,001 - 02/16/2018 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.39 PUT/SPX @ 2100 EXP Other Securities Self None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put
Option (New York, NY)
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 71 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
9.11.40 PUT/SPX @ 2150 EXP Other Securities Self None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.41 PUT/SPX @ 2150 EXP Other Securities Self None (or less Capital $1,001 - 02/17/2017 than $1,001) Gains, $2,500 Description: Put Option (New York, NY) 9.11.42 PUT/SPX @ 2150 EXP Other Securities Self None (or less Capital $2,501 - 03/17/2017 than $1,001) Gains, $5,000 Description: Put Option (New York, NY) 10 Bank of America Bank Deposit Joint $1,000,001 - Interest, $1,001 - (Tampa, FL) $5,000,000 $2,500 Type: Checking, Money Market Account, Savings, 11 Gold Bullion Personal Property Self $250,001 - None, None (or less Description: Physical Gold Precious Metals $500,000 than $201) 12 W. Mitt Romney 1996 Trust Self Charitable Remainder General Trust Trust 12.1 TOIXX - Federated Mutual Funds Self $1,001 - Excepted None (or less Treasury Obligations Stable Value $15,000 Investment than $201) Fund Fund, 12.2 EGFFX - Edgewood Mutual Funds Self $15,001 - Excepted $201 - $1,000 Growth Retail Mutual Fund $50,000 Investment Fund, 12.3 FMIHX - FMI Large Cap Mutual Funds Self $15,001 - Excepted $201 - $1,000 Mutual Fund $50,000 Investment Fund, 12.4 VFINX - Vanguard 500 Mutual Funds Self $15,001 - Excepted $201 - $1,000 Index Investor Mutual Fund $50,000 Investment Fund, 12.5 ARTKX - Artisan Mutual Funds Self $15,001 - Excepted $201 - $1,000 International Value Mutual Fund $50,000 Investment Investor Fund, 12.6 WCMIX - WCM Focused Mutual Funds Self $15,001 - Excepted $201 - $1,000 International Growth Instl Mutual Fund $50,000 Investment Fund, 12.7 NAESX - Vanguard Small Mutual Funds Self $15,001 - Excepted $201 - $1,000 Cap Index Inv Mutual Fund $50,000 Investment Fund, 12.8 TISVX - Transamerica Mutual Funds Self $15,001 - Excepted $201 - $1,000 International Sm Cp Val I Mutual Fund $50,000 Investment Fund, 12.9 DREGX - Driehaus Mutual Funds Self $1,001 - Excepted $201 - $1,000 Emerging Markets Growth Mutual Fund $15,000 Investment Inv Fund, 12.10 MAPIX - Matthews Asia Mutual Funds Self $1,001 - Excepted $201 - $1,000 Dividend Investor Mutual Fund $15,000 Investment
Fund,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 72 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
12.11 MWTRX - Metropolitan Mutual Funds Self $15,001 - Excepted $201 - $1,000 West Total Return Bd M Mutual Fund $50,000 Investment Fund, 12.12 NCRIX - Neuberger Mutual Funds Self $15,001 - Excepted $1,001 - Berman Core Bond Inv Mutual Fund $50,000 Investment $2,500 Fund, 12.13 ARTFX - Artisan High Mutual Funds Self $15,001 - Excepted $1,001 - Income Investor Mutual Fund $50,000 Investment $2,500 Fund, 12.14 BSIIX - BlackRock Mutual Funds Self $1,001 - Excepted $201 - $1,000 Strategic Income Opps Mutual Fund $15,000 Investment Instl Fund, 12.15 MCIFX - Miller Convertible Mutual Funds Self $1,001 - Excepted $201 - $1,000 Bond I Mutual Fund $15,000 Investment Fund, 13 Loan Secured by Real Accounts Self $15,001 - Capital $1,001 - Property in Missouri City, Receivable $50,000 Gains, $2,500 TX From an Debtor: Timothy Stamps Individual 14 Vantage 2 LLC Business Entity Spouse Company: Vantage 2 LLC Limited Liability (Moorpark, Company (LLC) CA) Description: Horses 14.1 Horses Personal Property Spouse $250,001 - None, None (or less Description: Horses Other $500,000 than $201) 15 Rob Rom LLC Business Entity Spouse Company: Rob Rom LLC Limited Liability (Moorpark, Company (LLC) CA) Description: Horses 15.1 Horses Personal Property Spouse $50,001 - None, None (or less Description: Horses Other $100,000 than $201) 16 Promissory Note with ACR Accounts Spouse $100,001 - Interest, $5,001 - Enterprises Inc Receivable $250,000 $15,000 Company: ACR Enterprises From a Business Inc (Moorpark, CA) 17 Bain IRA Retirement Plans Self IRA 17.1 Prospect Harbor Credit Investment Fund Self $1,001 - Excepted $2,501 - Partners Private Equity $15,000 Investment $5,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.2 Brookside Capital Investment Fund Self $50,001 - Excepted None (or less Partners Fund Hedge Fund $100,000 Investment than $201) Description: Hedge Fund, Fund (Boston, MA) Filer comment: Income from 2016 K-1. 17.3 Sankaty High Yield Asset Investment Fund Self $15,001 - Excepted $15,001 - Grantor Trust Private Equity $50,000 Investment $50,000
Description: Private Fund Fund,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 73 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Equity (Boston, MA) Filer comment: Income from 2016 K-1.
17.4 Sankaty High Yield Investment Fund Self $1,001 - Excepted None (or less Partners II Grantor Trust Private Equity $15,000 Investment than $201) Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.5 Sankaty Credit Investment Fund Self $1,001 - Excepted None (or less Opportunities Grantor Private Equity $15,000 Investment than $201) Trust Fund Fund, Description: Private Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.6 Sankaty Credit Investment Fund Self $15,001 - Excepted $2,501 - Opportunities II Private Equity $50,000 Investment $5,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.7 Sankaty Credit Investment Fund Self $100,001 - Excepted $15,001 - Opportunities III Private Equity $250,000 Investment $50,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.8 Sankaty Credit Investment Fund Self $100,001 - Excepted $1,001 - Opportunities IV Private Equity $250,000 Investment $2,500 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.9 Sankaty Special Investment Fund Self $1,001 - Excepted $2,501 - Situations I Grantor Trust Private Equity $15,000 Investment $5,000 Description: Private Fund Fund, Equity (Boston, MA) Filer comment: Income from 2016 K-1. 17.10 111 Capital Grantor Trust Investment Fund Self $15,001 - Excepted None (or less Description: Private Private Equity $50,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 17.11 BCIP Trust Associates III Investment Fund Self $1,000,001 - Excepted None (or less Description: Private Private Equity $5,000,000 Investment than $201) Equity (Boston, MA) Filer Fund Fund, comment: Income from 2016 K-1. 18 8621 Georgia Associates, Business Entity Self LLC Limited Liability Company: 8621 Georgia Company (LLC)
Associates, LLC (Potomac,
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 74 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
MD) Description: Real Estate
18.1 Apartment Building Real Estate Self $500,001 - None, None (or less Description: Residential Residential $1,000,000 than $201) Real Estate (Silver Spring, MD) 19 Ten Hut, LLC Business Entity Self Company: Ten Hut, LLC Limited Liability (Holladay, Company (LLC) UT) Description: Real Estate 19.1 Apartment Building Real Estate Self $1,000,001 - Capital $1,000,001 - Description: Residential Residential $5,000,000 Gains, $5,000,000 Real Estate (Wichita, KS)
Part 4a. Periodic Transaction Report Summary Not required
Part 4b. Transactions Not required
Part 5. Gifts Not required
Part 6. Travel
Not required
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 75 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Part 7. Liabilities Did you, your spouse, or dependent child have a liability worth more than $10,000 at any time? Yes
Rate # Incurred Debtor Type Points (Term) Amount Creditor Comments
1 2018 Spouse Other - 0% $100,001 - Solamere Capital (Capital (On $250,000 Founders commitment - Commitment) Demand) Fund I, LP The Ann D. Boston, Romney 1998 MA Revocable Trust. See attached notes. 2 2018 Spouse Other - 0% Over Solamere Capital (Capital (on $1,000,000 Capital commitment - Commitment) demand) (asset held Fund II, LP The Ann D. independently Boston, Romney 1998 by spouse or MA Revocable Trust. dependent See attached child) notes. 3 2018 Spouse Other - 0% $15,001 - Solamere Capital (Capital (on $50,000 Capital commitment - Commitment) demand) Fund II GP, The Ann D. LP Romney 1998 Boston, Revocable Trust. MA See attached notes. 4 2018 Spouse Other - 0% $15,001 - Golden Capital (Capital (on $50,000 Gate commitment - Commitment) demand) Capital The Ann D. Investment Romney 1998 Annex Fund Revocable Trust. II, L.P. See attached San notes. Francisco, CA 5 2018 Spouse Other - 0% $500,001 - Golden Capital (Capital (on $1,000,000 Gate commitment - Commitment) demand) Capital The Ann D. Opportunity Romney 1998 Fund, LP Revocable Trust. San See attached Francisco, notes.
CA
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 76 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Part 8. Positions Did you hold any outside positions during the reporting period? Yes
Position # Dates Position Held Entity Entity Type Comments
1 Dec Trustee George and Trust Trust established to hold extended family 1991 to Lenore Romney vacation property present Irrevocable Trust Detroit, MI 2 Dec Director Marriott Company None 2012 to International present Bethesda, MD 3 Mar Trustee The Romney Nonprofit None 2013 to Foundation for Organization present Children Boston, MA 4 Mar Other Solamere Company None 2013 to (Chairman of Capital, LLC present the Executive Boston, MA Partner Group) 5 Dec Other Romney Other (Holds None 2013 to (Manager) Children, LLC investments present Wilmington, for filer's DE children.) 6 Oct Other Ann Romney Other None 2014 to (Advisory Center for (Research present Board Neurologic Facility) Member) Diseases Boston, MA 7 Sep Other Kem C. Gardner Educational None 2015 to (Advisory Policy Institute Organization present Board at University of Convener) Utah Salt Lake City, UT 8 Sep Other The Aspen Nonprofit None 2017 to (Economic Institute Organization present Strategy Group Washington,
Member) DC
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 77 of 78
eFD: Annual Report for 2018 - Romney, W. Mitt 2/3/19, 7 39 PM
Part 9. Agreements Did you have any reportable agreement or arrangement with an outside entity? Yes
# Date Parties Involved Type Status and Terms
1 Aug 2009 St. Martin's Press Royalty Agreement Publishing agreement with St. Martin's Press New York, NY ("No Apology: The Case for American Greatness")
Part 10. Compensation If this is your first report, or you are a candidate did you receive compensation of more than $5,000 from a single source in the two prior years? No
Attachments & Comments Attachments
Document Title Date/Time Added
Romney--2018 PFD Appended Notes.pdf 03/22/2018 @ 2n27 PM
Comments
Notes regarding Part 3 and Part 7 of the Report are attached.
https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/ Page 78 of 78