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.