financial disclosures...2016/05/16 · secretary of the senate may 16,2016 la tam g.p .. l.p. (page...

United States Senate

Financial D

isclosures

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May 16,2016

Secretary of the Senate Office of Public Records Room 232 Hart Senate Building U.S. Senate Washington, DC 20510

Dear Secretary of the Senate:

IGMAY 16 Pr11:21

Enclosed is the United States Senate Financial Disclosure Report for Senator Dianne Feinstein of California.

Period Covered

The report has been prepared based on assets and liabilities as of December 31, 2015, and includes income for the period January I , 2015 through December 31, 2015. Valuations of assets are presented as of December 31, 2015.

Items Covered

The report covers assets and related income owned by the Senator and her spouse either directly or through a living trust.

Ownership Designation

Senator Feinstein's assets, which are held directly or through the Bertram Feinstein Trust as separate property, consist of her interest in Carlton Hotel Properties, LP, a pe!]sion from the City of San Francisco, deposit accounts at Bank of America, Federated. US Treasury Fund (liquidated in 2015), and Vanguard Prime Money Market Fund. In addition, Senator Feinstein has a Qualified Blind Trust which was established in 1991 and qualified in 1993, and she is a beneficiary ofthe Richard C. Blum Marital Trusts of 1994 and 1996. (For details of Senator Feinstein's income and assets, see pages 2, 4, 5, 22 and 23 in the report.)

Senator Feinstein and her spouse jointly own a condominium in Princeville, Kauai, Hawaii and have deposit and checking accounts at Bank of America. (For details of the Senator's and Mr Blum's jointly held assets, see page 24.

The remaining assets listed herein are the separate property of Senator Feinstein's spouse, Richard C. Blum.

Secretary of the Senate May 16,2016

Assets and liabilities as listed in Sections III A, III B, IV, and VII have been identified as follows:

"M" owned directly or indirectly by the Senator, Dianne Feinstein

"S" owned directly or indirectly by the Senator's spouse, Richard C. Blum

"J" owned jointly by the Senator and her spouse (directly or indirectly)

The "J" (jointly owned) designation is used for all assets owned.by both the Senator and her spouse. These include assets held in formal tenancy in common or joint tenancy.

Investment Partnerships Managed By Blum Capital Partners, L.P. (Separate Property Of Richard C. Blum)

The spouse of the Senator, Richard C. Blum, is the Chairman of an investment management firm, Blum Capital Partners, L.P (BCP L.P.) . The general partner ofBCP L.P is Richard C. Blum & Associates, Inc. (RCBA Inc.). Richard C. Blum's ownership interest in BCP L.P is held through RCBA Inc. BCP L.P is the general partner of several investment partnerships. Mr Blum has an ownership interest in RCBA Inc. and in several of the investment partnerships. Additionally, the investment management fu-m has ownership interests in the investment partnerships and some of the partnerships have investments in other partnerships. This results in a tiered ownership structure.

During 2001,2005 and 2007, Blum Strategic Partners II, L.P., Blum Strategic Partners Ill, L.P and Blum Strategic Partners IV, L.P were formed to invest in public and private companies. Blum Strategic GP II , L.L.C. manages and is the general partner of Blum Strategic Partners II, L.P., Blum Strategic GP Ill, L.L.C. manages and is the general partner of Blum Strategic Partners Ill, L.P., and Blum Strategic GP IV, L.L.C. manages and is the general partner of Blum Strategic Partners IV, L.P Richard C. Blum is a managing member of Blum Strategic GP II, L.L.C., Blum Strategic GP Ill, L.L.C. and Blum Strategic GP IV, L.L.C. He is also a member of Blum Strategic Equity II, L.L.C., Blum Strategic Equity Ill, L.L.C., and Blum Strategic Equity IV, L.L.C. which are limited partners of Blum Strategic Partners II, L.P Blum Strategic Partners Ill , L.P., and Blum Strategic Partners IV, L.P., respectively.

During 2002 Blum Strategic Partners II GmbH & Co. KG was formed as a parallel vehicle to Blum Strategic Partners II, L.P Blum Strategic Partners Verwaltungs GmbH is the General Partner and Blum Strategic GP II, L.L.C. is the Managing Limited Partner.

In addition, during 2005 and 2007 Blum Strategic GP Ill, L.P and Blum Strategic GP IV, L.P., respectively were formed as the General Partner of Blum Strategic Partners Ill, L.P and Blum Strategic Partners IV, L.P Blum Strategic GP III, L.L.C and Blum Strategic GP IV, L.L.C. are the General Partners of Blum Strategic GP III, L.P and Blum Strategic GP IV, L.P., respectively.

D.uring.2015, Blum Strategic Partners Ill, LP and Blum Strategic Partners IV, LP were

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restructured whereby certain assets of the partnerships were transferred to the newly formed Blum Strategic Partners V, LP Blum Strategic GP V, LLC is the general partner of Blum Strategic Partners V,LP

The Blum Strategic funds described above hold public as well as private investments. The private investments are reported under Part lliB. Blum Strategic Partners II, L.P ' s only investment is an escrow in Current Media, L.L.C. , and indirectly through BCP AIV, Inc. as a result of the sale of the investment in 2013. Current Media is located in San Francisco, CA and provides media content through the internet and cable television. (See pages 33 and 34).

Blum Strategic III, L.P holds only public securities as of December 31, 2015. (See pages 7 and 8).

Blum Strategic IV, L.P private investments include Xtralis, a Bahamian Company that sells fire and security prevention equipment. Collective_ Brands, Inc ., a publicly traded corporation was acquired in a leverage buyout in 2012. Payless Holdings, LLC, the surviving entity is now reported as a non-publicly traded asset (See pages 36 through 3 7).

Blum Strategic V, L.L.C., holds public and private investments distributed during 2015 from

Blum Strategic Ill, L.P and Blum Strategic IV, L.P Private investments include Xtralis, a Bahamian Company that sells ftre and security prevention equipment. Collective Brands, Inc., a

publicly traded corporation was acquired in a leverage buyout in 2012. Payless Holdings, LLC, the surviving entity is now reported as a non-publicly traded asset (See pages 15 and 38).

In 2012, Blum Strategic Holdings, LP was formed to hold shares ofCBRE distributed from Blum Strategic II , LP (See page 16).

Blum GA Ill Partners, LLC. and Blum GA Ill Equity Partners, L.L.C. invests in Newbridge Asia Ill , L.P (See pages 40-41 ) .

A separate page of Part III A & Ill B information has been included for RCBA Inc., BCP L.P and for each investment partnership managed by BCP LP The estimated valuation and income for BCP L.P have been reported separately in Section III B starting on page 25 at Mr Blum's ownership percentage, which has been indicated. The value and income of Mr Blum's direct and indirect holdings in the investment partnerships are reported based on his direct and indirect ownership percentages. These percentages may change from year to year depending on the activities (contributions by new or existing partners and distributions to withdrawing partners) of the partners. A separate reporting of value and income of BCP L.P 's interest in the investment partnerships has not been reported, as this would cause Mr Blum's interests to be double reported. Where applicable, BCP L.P 's holdings of the investment partnerships have been referenced to the applicable schedules in sections Ill A and Ill B where the investment partnerships are reported. BCP L.P and the investment partnerships it manages incidental to their operations also hold cash and cash equivalents, accounts receivable, pre-paids and other assets as well as accounts payable, margin borrowings and other liabilities that have not been listed. A pro rata share of the value of these assets and liabilities has been incorporated in the

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determination of value reported for Mr Blum's direct holdings in RCBA Inc. and in his direct and indirect (through RCBA Inc. and BCP L.P.) ownership of the investment partnerships managed by BCP L.P

In the normal course of business, amounts due to or from Mr Blum arise at RCBA Inc. and BCP L.P., e.g., reimbursable business expenses. The valuation of his investment in RCBA Inc. is stated net of these amounts.

Investment Partnerships not Managed by Richard C. Blum, RCBA Inc. ~r BCP i...P.

Mr. Blum, RCBA Inc., and his investment management firm, BCP L.P own investments in a number of investment partnerships that are not managed by Mr Blum, RCBA Inc. or BCP,.L.P They are composed of the following:

TPG Associates UI. L.P. (Page 28)

Address: 301 Commerce Street, Suite 3300 Fort Worth, TX 76102

Business Description: The partnership was formed to invest in various business ventures which may provide sig.nificant opportunities for capital appreciation. The partnership investments include, Quintiles Transactional Holdings, Inc., lasis Healthcare Corp, SunGard Capital Corp. and LifeSync Corporation.

TPG Equity IV, L.P. (Page 29)


Business Description: The partnership was formed to invest in various business ventures which may provide significant opportunities for capital appreciation. The partnership investments include several private and public investments including Freescale Semiconductor, Inc., Univision (formerly Broadcast Media Partners, Inc.), Sabre Holdings, Biomet, Inc., Petco Holdings, Inc., lasis Healthcare, LLC, Isola AG, Vita Grormerly British Vita, , LPL Financial Holding, Inc., SunGard Capital Corp., Energy Future Holdings, Mey lcki and Media Broadcast (formerly TDF).

TPG LAF Equity Partners, L.P. (Page 28)


Business Description: TPG LAF Equity, L.P is a limited partner ofLatAm G.P., L.P

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La tAm G.P .. L.P. (Page 28),

Address: 30 I Commerce Street, Suite 3300 _ Fort Worth, TX 76102

Business Description: Latam G.P., L.P is the general partner ofNewbridge Latin America, L.P (NLA). NLA was formed to invest in business ventures throughout Latin America, which may provide significant opportunities for capital appreciation.

Tarrant Venture Partners, L.P. (Page 28)


Business Description: This partnership was formed to invest in various public and private debt or equity securities, and venture investments.

TPG Management V, L.P. (Page 27)


Business Description: The partnership was formed to invest in various business ventures which may provide significant opportunities for capital appreciation. The partnership has several private investments including Freescale Semiconductor, Petco Animal Supplies, Inc., Sabre, Univision, Direct General, Surgical Care Affiliates, Biomet, Energy Future Holdings, Avaya, Norwegian Cruise Line, Quintiles Transnational Corporation, IMS Health, Lenta, ST Residential, Apt ina Imaging, TPG CW, LP, American Tire Distributors Holdings, Inc., Vertafore Holding Corp. VTB, Ceasars, Media Broadcast (formerly TDF), Axip Energy Services (formerly Valerus Compression Services), and Strauss Coffee BV

American Beacon, was sold during 2015.

'"' TPG Asia Equity V. L.P. (Page 27)


Business Description: The partnership was formed to invest in various business ventures which may provide significant opportunities for capital appreciation. The partnership invests in several private investments including Global AT&T Holdings, Ltd. (formerly United Test and Assembly Center), NorthStar Equity Partners II Limited, Shriram City, Daphne International Holdings Limited, China International Capital Corporation Limited, Avon Japan, Delta Dunia, Vishal Megamart, Shiram Capital Ltd., Shiram Properties Ltd ., Comtec Solar· Systems, PT BFI Finance, HCP Global Limited, Ingham Holdings I Pty, Ltd., Wumart Stores, Inc., LiNing Company Limited, Alinta Energy, and Ingham Enterprises.

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Heaithscope Hospital Holdings Pty Ltd., Corporation was sold during 2015.

Faber Street, L.L.C. (Page 52)

Address: 909 Montgomery Street San Francisco, CA 94133

Business Description: The limited liability company was formed to invest in rental real estate of a commercial building in Union City, CA.

The above investment was sold during 20 I 5.

Investment in RCBA Inc. (Pages 21, 31-32)

Mr Blum's investment in RCBA Inc. is valued at his pro rata share of the business' equity as of December 31,2015.

BCP L.P is in some cases, entitled to receive performance fees based on income including realized and unrealized capital gains on investments under its management. These fees are generally recorded as of the date the firm is entitled to bill its clients. The firm is also entitled to a disproportionate allocation of income and gain in the partnerships that it manages. As a limited partner of BCP L.P., Mr Blum may be allocated a portion of such amounts, as reflected on Part III B.

Investment income earned by Mr. Blum on his investment in RCBA Inc. has been reported based on dividends received.

Richard C. Blum Marital Trust of 1994 (Page 23)

Dianne Feinstein is a beneficiary of The Richard C. Blum Marital Trust of 1994. The Trust holds a life insurance policy on the life of Richard C. Blum. The insurance policy was restructured in 2012 to a uni~ersallife policy. The value of the trust is stated at the cash surrender value of the life insurance policy. No distributions have been made from the Trust.

Richard C. Blum Marital Trust of 1996 (Page 23)

Dianne Feinstein is a beneficiary of The Richard C. Blum Marital Trust of 1996. The Trust holds a life insurance policy on the life of Richard C. Blum. The insurance policy was restructured in 2012 to a universal life policy. The value of the trust is stated at the cash surrender value of the life insurance policy. No distributions have been made from the Trust.

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Investment in The Carlton Hotel (Pages 24, 45 and 55)

The Senator and her spouse own interests in a partnership, Carlton Hotel Properties, LP which owns a hotel in San Francisco. The ownership of the partnership is as follows:

Bertram Feinstein Trust (Dianne Feinstein beneficiary) 50.05% Richard C. Blum through Blum Family Partners, LP (spouse) 47.95% Richard C. Blum through Blum Investment Partners, Inc. (spouse) 1.00% Dianne Feinstein through OF Investment, LLC 1.00%

The value of each of(l) the combined interest of Dianne Feinstein and her spouse, and (2) Dianne Feinstein's interest through the Bertram Feinstein Trust in the Carlton Hotel exceeds $1,000,000. Income from the investment has been reported based on partnership distributions received

Investment in Blum Family Partners, L.P. (BFP) (Pages 46 through 56)

BFP was formed to invest in various business ventures which provide opportunities for capital appreciation

Dianne Feinstein 1991 Trust (Page 5)

In September 1991, the Senator transferred her securities to a blind trust. The trust became qualified by the Senate Ethics Committee on December 29, 1993. The Trust's value as of December 31, 2015, is reported on a separate schedule in Part IliA.

Information on Non-Publicly Traded Assets

Several of the investments listed in Part Ill are not publicly traded and which are not managed or controlled by Richard C. Blum, RCBA, Inc. or BCP, L.P The following provides additional information regarding these investments:

Second City Capital Partners II, L.P. (f/k/a Second City Capital Partners I, L.P.) (Page 52)

Address: 1075 West Georgia Street Suite 2600 Vancouver, BC V6E 3C9

Business Description: The partnership is a provider of mezzanine debt and equity financing to mid-market companies. The partnership investments were sold in 2015.

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New Astar Holdings, LLC (formerly Astar USA, ·L.L.C.) (Page 59)

Address: Two South Biscayne Blvd. Suite 3663 Miami, FL 33131

.~usiness Description: Airline cargo service.

Francisco Partners, L.P. (Page 48)

Address: 2882 Sand Hill Road, Suite 280 Menlo Park, CA 94025

Business Description: A limited partnership formed to invest in technology companies, both domestically and internationally for long-term capital apP.reciation using a wide range of transaction structures. The partnership has over 400 limited partners and holds private and public investments. The investments include Barracuda, FrontRange Solutions, GXS, Attachmate and WebTrends.

During 2015 C-MAC, Foundation 9 and Electrical Components International were sold.

Lucky Bluff, LLC (Page SO)

Address: 909 Montgomery Street, Suite 400 San Francisco, CA 94133

Business Description: Raw land in Coachella Valley and a single family residence in Lake Tahoe, CA.

Central Station Land, L.L.C . (Page 47)

Address: 1500 Park Avenue# 200 Emeryville, CA 94608

Business Description: Real estate development in Oakland, California.

Greycroft Partners, LP (Page 48)

Address: New York, NY

Business Description: A limited partnership that invests and trades in securities in business ventures which may provide opportunities for capital appreciation. The partnership has invested in 33 Across, Inc., Collective Mec;lia, Inc., Ceros Inc., Extreme Reach, Inc., lnstant.ly Inc.,

.._Joynt;t, Inc, ShoreTell, MDX Medical, Inc., Mode Media Corporation (formerly Glam Media), f QB.C Holdings, Inc. (formerly OnePIN, Inc.), and WideOrbit, Inc.

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During 2015 Ad.ly, Inc., was sold.

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Coral Growth Investments Ltd. (Page 48)

Address: St. Peter Port, Guernsey

Business Description: A limited partnership that invests and trades in securities in business ventures which may provide opportunities for capital appreciation. The partnership has invested in Egyptian Treasury Notes, Arab Republic of Egypt Bond, and Lecico Egypt SAE.

Information on Non-Publicly Traded Assets

Several of the investments listed in Part Ill which were made or are owned by Richard C. Blum, Blum Family Partners, L.P., RCBA, Inc. or BCP, L.P are not publicly traded. The following provides additional information about these investments:

Blum Investment Partners, Inc. (Page 42 to 45)

Address: 909 Montgomery Street; Suite 400 San Francisco, CA 94133

Business Description: Blum Investment Partners, Inc. is a corporation whose business is to invest in investment partnerships which invest funds in various countries. The entity owns a I% or less interest in Blum G.C., L.P ., Blum G.A., L.L.C., Blum GA Equity Ill Partners, L.L.C., Blum GA Ill, L.L.C., Blum GA IV, LP, Richard C. Blum Family Partnership, L.P., Carlton Hotel •Properties, LP and BCP lnvestment,L.P Richard C. Blum does not hold a capital investment interest in any investment made in the People's Republic of China by this entity.

Blum Investment Partners II, Inc. (Page 35)


Business Description: Blum Investment Partners II, Inc. is a corporation whose·business is to act as a management entity on behalf of Richard C. Blum. The entity owns a I% or less interest Lucky Bluff, L.L.C. and Blum Family Partners, LP

Blum G.C., L.P. (Page 39)


Business Description: Blum G.C. is a limited partnership whose business is to invest in investment partnerships which invest funds in various Asian countries. Blum G.C., L.P holds interests directly or indirectly in Newbridge Genpar Partnership, L.P., and Golden BCP, Inc. The Newbridge entities and Golden BCP were formed to manage, advise and invest in securities or entities conducting business in China and other countries or territories of Asia. Richard C. Blum

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does not hold a capital investment interest in any investment made in the Peqple's Republic of China by this entity. Newbridge Genpar Partnership, L.P was liquidated during 2013. Blum G.C., L.P does not hold any investments as of December 31 , 2015.

Blum G.A., L.L.C. (Page 30)


Business Description: Blum G.A., LLC is a limited partnership whose business is to invest in investment partnerships which invest funds in various countries. Blum G .A., LLC does not currently hold any investments.

Blum GA Ill, L.L.C. (Page 40)


Business Description: Blum GA Ill, L.L.C. is a limited liability company whose business is to invest in investment partnerships through Newbridge Asia Genpar Ill, L.P Newbridge Advisors Ill, Inc. and Newbridge Asia Genpar AJV Ill, L.P were formed to manage the investment in Newbridge Asia Ill, L.P (NBA Ill). NBA Ill was formed to invest in securities or entities conducting business in the countries and territories of Asia. Richard C Bluni does not hold a capital investment interest in any investment made in the People's Republic ofChina,by this entity.

Blum GA III Equity Partners, LLC (Page 41)


Business Description: Blum GA Ill Equity Partners, LLC is a iimited liability company whose business is to invest in investment partnerships through Newbridge Asia Equity Ill, L.P (NBAE Ill LP). NBAE Ill LP was formed to invest in Newbridge Asia Ill, L.P (NBA III). NBA Ill was formed to invest in securities or entities conducting business' in the countries and territories of Asia. Richard C. Blum does not hold a capital investment interest in any investment made in tlie People's Republic of China by this entity.

Blum GA IV, L.P. (Page 48)


Business Description: Blum GA IV, LP is a limited partnership whose business is to invest in investment partnerships through Newbridge Asia Equity IV, L.P (NBAE IV LP), TPG/NB Associates, LLC, TPG 2006 VSP, LP, TPG 2007 VSP, LP, TPG 2008 VSP, LP, TPG 2009 VSP, LP and TPG Holdings, LP NBAE IV LP was formed to invest in Newbridge Asia IV, L.P

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(NBA IV). NBA IV and TPG Asia V, LP were formed to invest in securities or entities conducting business in the countries and territories of Asia. Richard C. Blum does not hold a capital investment interest in any investment made in the People's Republic of China by this entity.

RCBA LAF ADVISORS L.L.C. (Page 60)


Business Description: RCBA LAF Advisors L.L.C. is a limited liability company whose business is to invest in investment partnerships which invest funds in various countries. Its only investment is in LAF Advisors LLC whose only investment is in LA TAM GP, L.P (which serves as general partner ofNewbridge Latin America, L.P.) .

. RCBA New bridge LAF. L.L.C. (Page 30)


Business Description: RCBA Newbridge LAF, L.L.C. is a limited liability company whose business is to invest in entities which invest funds in various Latin American countries. RCBA Newbridge LAF, LLC holds interests directly or indirectly in LA TAM GP, L.P., Newbridge Latin· America, L.P and Newbridge Andean Partners, L.P

RCBA LAF Equity Partners L.L.C. (Page 29)


Business Description: RCBA LAF Equity Partners L.L.C. is a limited liability company whose business is to invest in investment partnerships which invest funds in various countries. It holds an interest directly in Newbridge Latin American L.P (NLA) and indirectly in Newbridge Andean Partners, L.P (NAP). NLA and NAP were formed to invest in various business ventures in Latin American which provide opportunities for capital appreciation.

BBA Foresight, L.L.C. (Page 46)


Business Description: Real estate investment in undeveloped land in Arizona.

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DBA Foresight II, L.L.C. (Page 46)

Address: 909 Montgomery Street, Suite 400 · San Francisco, CA 94133

Business Description: Real estate investment in undeveloped land in New Mexico.

Bill Press Partners, L.L.C. (Page 47)

Address: 217- 8'h Street SE Washington, D.C. 2003

Business Description: Investment in Bill Press ' syndicated radio program.

CB Richard Ellis Partners U.S. IV, L.L.C. (Page 47)

Address: 865 South Figueroa Street, Suite 3500 Los Angeles, CA 90017

Business Description: Investment in real estate, loans and other securities.

Elevance ll enewable Sciences, Inc. (Page 46)

Address: 175 E Crossroads Parkway, Suite F Bolingbrook, IL

Business Description: Creates a range of valued specialty chemicals from natural oils using technology called olefm metathesis. This investment is held by BCP Investments, LP through Blum Family Partners, LP

Montgomery Street Partners (Page 51)


Business Description: During 2014, Montgomery Street Partners investment entities were formed to invest in various real estate investments. As the investment advisor of the investment entities, the General Partner may receive investment and performance fees. In 2014 Montgomery Street Housing I, LP was formed to invest in student housing projects in Texas and North Carolina.

Filmyard Holdings, LLC (Page 51)

Address: 2450 Broadway, 6'h Floor Santa Monica, CA 90404

Business Description: Motion picture film and film rights library.

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RST, Inc. (Page 51)

Address: 3791 Rocky Knoll Way Santa Rosa, CA

Business Description: Premier internet source of fine wine and related services.

BDK Holdings, LLC (Page 54)

Address: Two South Biscayne Blvd. Suite 3663 Miami, FL 33131

Business Description: To explore investments in airline cargo services.

Tensile Capital Management (Page 51)

Address: Two Embarcadero Center San Francisco, CA

Business Description: Value oriented investment hedge fund.

Colony American Homes Holdings (Page 49)

Address: I 00 Pine Street San Francisco, CA

Business Description: Leading owner and provider of high quality single family residences for rental across the United States.

Walker Street Brooklyn SP I. LLC (Page 49)

Address: 909 Montgomery Street San Francisco, CA

Business Description: Storage facility located in Brooklyn, NY

Colony American Homes War I. LLC (Page 55)

Address: I 00 Pine Street San Francisco, CA

Business Description: Leading owner and provider of high quality single family residences for rental across the United States.

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Bell Mountain Capital Partners, LLC (Page 53)

Address: 2638 Watcher Way Alberta, Canada


Gobi Investment Partners, LP (Page 53)

Address: 10951 Pico Blvd., Suite 201 Los Angeles, CA


Petits Pains and Co, LP (Page 53)

Address: 1730 Gilbreth Road Burlingame, CA

Business Description: The production and distribution of artisan breads and baked goods.

BFP Tideline, LLC (Page 56)


Business Description: On demand water taxi and commuter shuttle ·service in the San Francisco Bay Area.

Blum Family Partners GDM, LLC (Page 56)


Business Description: Investment in the Grand Del Mar, a luxury hotel located in San Diego, CA.

Campanile Impact Fund, LP (Page 56)


Business Description: Investment fund formed to invest in socially and environmentally friendly companies. The fund currently holds investments in Gram Power and Tarana Wireless.

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Latitude Capital Management (Page 56)


Business Description: Investment fund to invest in expanding electricity in developing markets including Africa and India.

Montgomery Street Partners ll. LP (Page 49)


Business Description: Was formed to invest in various real estate investments including Walker Street Investment Partners, LLC.

Pension

The Senator receives a pension from the City of San Francisco. The pens ion has been valued in the category of $500,000 to $ i ,000,000 based on a valuation provided by the Retirement Division of the City of San Francisco.

Reporting Convention for Compensation Income from Investments

Mr. Blum receives a salary from BCP L.P He also receives dividend income from RCBA Jnc. The category indicated under "Amount of income" is based on dividends received. The column "Actual Amount Only if'Other' Specified" indicates salary compensation.

As reported in Part II, Mr. Blum received fees from Coral Growth Investments Limited, CB Richard Ellis Group Inc., and has investments in these corporations as well. In addition, Mr Blum receives fees from COP- Concord Egyptian Fund, but does not have an investment in this Fund. The fees from CB Richard Ellis were paid by Mr Blum to investment management funds of Blum Capital.

Valuation Methods

Publicly traded securities are valued at quoted market value or at fair market value.

Non-publicly traded securities are valued at fair market value based on factors such as cost, .projected profits, projected cash flows and comparisons with similar businesses.

Real estate investments are valued at cost or at estimated fair market value.

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Partnership interests are valued based on a computation of pro rata share of the estimated net fair market value of the partnership as recorded for financial statement reporting purposes.

Assets held as nominee for others are excluded from the report.

Income Determination Methods .. Dividends, interest and salary are reported in the period received. In the case of interest earned on notes receivable, interest is reported as the amount is accrued.

Capital gains are reported in the period recognized. For individual securities, capital gains are reported net of offsetting losses realized during the reporting period. Capital losses are not otherwise offset against other sources of income. For instance, income related to an investment that produced dividend income and capital losses during the period is reported at the amount of the dividend income only. Changes in unrealized capital gains and losses are not included.

Income from S-Corporations is reported as the amount of dividends received, which differs from taxable income reportable on the Internal Revenue Service Schedule K-1 Income from partnerships is reported as the amount of distributions received from the partnership, which differs from taxable income reportable on Internal Revenue Service Schedule K-1.

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~WOO"EiiE»~l~l"~S SENATE FINANCIAL DISCLOSURE REPORT FOR ANNUAL AND TERMINATION FILERS

0 Amendment I last Name First Name and Middle Initial Annual Report

Calendar Year Covered by Report Senate Office I Agency In Which Employed

FEINSTEIN DIANNE 2015 UNITED STATES SENATE

Senate Office Address Number. Street. Ci , State. and ZIP Code Senate OffJCe Tele hone Number lnc/uda Area Code Tennlriation Re ort

331 Hart, Senate Bldg. Washington DC (202) 224-3841 Termination Date {mmlddlyy) Prior Office I Agency In Which Employed

20519

AFTER READING THE INSTRUCTIONS- ANSWER EACH OF THESE QUESTIONS AND ATTACH THE RELEVANT PART

I YES I NO I YES I NO

Did any individual or organization make a donation to charity in lieu of D ~ Did you, your spouse. or dependent child receive any reportable travel or

D ~ reimbursements for travel in the reporting period (i.e., worth more than paying you for a speech, appearance, or article in the reporting period? $350 from one source)? If Yes, complete and attach PART I. If Yes, complete and attach PART VI.

Oid you or your spouse have earned income (e.g., salaries or fees) or non-

~ D Did you, your spouse, or dependent child have any reportable liability

~ D investment income of more than $200 from any reportable source in the (more than $10,000) during the reporting period? reporting period? If Yes. complete and attach PART VII.

II Yes, complete and attach PART II.

Did you, your spouse, or dependent child hold any reportable asset worth

~ D Did you hold any reportable positions on or before the dale of filing in the D ~ more than $1,000 at the end of the period, or receive unearned or current calendar year? investment income of more than $200 in the reporting period? If Yes, complete and attach PART VIII. If Yes. complete & attach PART lilA and/or IIIB.

Did you, your spouse. or dependent child purchase, sell, or exchange any

~ D Do you have any reportable agreement or arrangement with an outside D ~ reportable asset worth more than $1,000 in the reporting period? entity? If Yes, complete and attach PART IV. If Yes, complete and attach PART IX.

Did you, your spouse, or dependent child receive any reportable gift in the

D ~ If this is your FIRST Report: Did you receive compensation of more than

Q ~ reporting period (i.e .. aggregating more than $350 and not otherwise $5,000 from a single source in the two prior years? exempt)? If Yes, complete and attach PART X. If Yes, complete and attach PART V.

. . Each question must be answered and the appropriate PART attached for each "YES" response. -< ;.

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' ~ \ ~ ~-

l"'tepornng rnaiVItJUm s ...-all"'I • PART II. EARNED AND NON-INVESTMENT INCOME 1'"""2'~ DIANNE FEIN§'nlfNIJ 0 Q 0 tlf.l-4 ~ .i (OF DIANNE FEINSTEIN)

Report the source (name and address), type, and amount of earned income to you from any source aggregating $200 or more during the reporting period. For your spouse, report the source (name and address) and type of earned income which aggregate $1,000 or more during the reporting period. No amount needs to be specified for your spouse. (See p.3, CONTENTS OF REPORTS Part B of Instructions.) Do not report income from employment by the U.S. Government for you or your spouse.

Individuals not covered by the Honoraria Ban: For you and /or your spouse, report honoraria income received which aggregates $200 or more by exact amount, give the date of, and describe the activity (speech, appearance or article) generating such honoraria payment Do not include payments in lieu of honoraria reported on Part 1.

Name of Income Source Address (City, State) Type of Income Amount

Example I JP Computers Wash .. DC Example Salary Example $15,000

J MCI (Spouse) Arlington, VA Example Salary Example Over $1,000

1 City & County of San Francisco San Francisco, CA Pension $57,940

Report! IOOMd alsNa~ ng u . . •' 8 8 8 r_:l or) 1 4 5 4 p DIANNE FEINS PART II. EARNED AND NON-INVESTMENT INCOME

Report the source (name and address), type, and amount of earned income to you from any source aggregating $200 or more during the reporting period. For your spouse, report the source (name and address) and type of earned income which aggregate $1,000 or more during the reporting period. No amount needs to be specified for your spouse. (See p.3, CONTENTS OF REPORTS Part 8 of Instructions.) Do not report income from employment by the U.S. Government for you or your spouse.

Individuals not covered by the Honoraria Ban: For you and /or your spouse, report honoraria income received which aggregates $200 or more by exact amount, give the date of, and describe the activity (speech, appearance or article) generating such honoraria payment. Do not include payments in lieu of honoraria reported on Part I.

Name of Income Source Address (City, State) Type of Income Amount

I JP Computers Wash., DC Example Sata(y Example $15,000

Example: J MC/ {Spouse) Arlington, VA Example Salary Example Over$1,000

1 Blum Capital Partners. L.P (Spouse) San Francisco, CA Salary Over $1,000

2 Pacific Life Insurance Company (Spouse) Newport Beach, CA Retirement Plan Over$1 ,000

3 COP- Concord Egyptian Fund (Spouse) St. Peter Port, Guernsey Director's Fees Over$1 ,000

4 CBRE Group, Inc. (Spouse) El Segundo, CA Director's Fees Over $1 ,000

5 Coral Growth Investments Limited (Spouse) St. Peter Port, Guernsey Director's Fees Over$1 ,000

6 Fidelity Investments (Spouse) San Francisco, CA Retirement Plan Over $1 ,000

7

8

9

10

11

12

13

14

Reporting lndMdual s Na~ - @ tl "b WJIIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I r~•:•~• lf7lf71Q_flf.'\Q I DIANNE FEIN 'TEIN -·- ·· (of Dianne Feinstein)

BLOCK A BLOCKS BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income .,>

And Unearned Income Sources At the close of reporting period. If "'None (or less than $201 r is Checked, no other entry is needed in Block C for that item. This

Report lhe complete name of each publicly If None, or tess than $1,001, indudes income received or acaued to the benefit of the individual. Check the first column.

traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of Instructions) for production of income or investment which:

(1) had a value exceeding $1,000 at the - 0 0 -g Actual close of the reporting period; and/or 0 0 0

0 0 " Other 0 0 o_ 0 0 0 0 LL 0 0 Amount (2) generated over $200 in "unearned" ;;; 0 0

0 0 ci 0 N 0 0 0 g 8 0 " "' "' 0 0

income during the reporting period. 0 0 0 0 i "' 0 i " 8 8 0 0 0 0 ~ " 8 8 g 0 Required .. 0 0 0 0 0 0 .,; "' 0 g .. 0 0 0 0 Include on this PART lilA a complete £ 0 0 0 "' 0 o_ 0 .,; N "' 0 "' ~

(Specify £ 0 0 0 0 0 o_ 0 .,; 0 if 0 0 ;;; N "' ;;; 0 "' "' ci "' !!I ~ "' 0 0 0 0 0 0 ;;; 0 "' 0 identification of each public bond, mutual ill .,; "' .. .. 0 0 " Type) 8_ "' 0 .,; "' 0 ci 'Other"

"' I 0 g 0 .E .... iii "' oi .,; .. ;;; 0 fund, publicly traded partnership interest, .!l! ;;; 0. 0 0 g "'

·n; , , .!l! ... "' ;;; o. 0 8 Specified .2. 0 0 0 0 0 0 0 -g CJ .!l! .!l!

, .2.

;;; 0 0 0 0 .,;

excepted investment funds, bank accounts, 0 0 0 0 0 ;;; ci 0 0 .. Vi ]i "' 0 0 0 0 ;;; 0 .. ~ 0 0 0 ci ci 0 0 0 " e> a. a. !E

~ 0 0 0 8_ excepted and qualified blind trusts, and 0. .,; ci 0 "' 0 ~ o. 0 .,; ~ ~ " ~ ·c. 8 8 ... 0 0. "' 0 .,; 0 0 :;; :;;

0 ;;; ;;; "' ;;; N "' ;;; .,; N 0 "' .. .ll .ll " 0 N ;;; oi .,; ;;; "' ;;; > ;;; > publicly traded assets of a retirement plan. z .. "' "' 0 "' "' 0 lr (.) 0 z "' "' "' "' 0 0

IBM Corp. (stock) X X S,

Exsmple X Example

Example: DC, (S) Keystone Fund X X X Example X Example

or J

1 City & County of San Fran cisco X X X

Reponong IndiVIduals Nanv 1 ~~ f!W IliA PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES r~·~m~ (F.'I f.l ~-.0 -0 0 0 0 ·•l 1 . . ' .

DIANNE FEIN""STEW · - (Assets owned by Dianne Feinstein) BLOCK A BLOCKB BLOCKC

Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income And Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the complete name of each publicly If None, or less than $1 ,001, lndudes income received or accrued to the benefit of the individual. Check the first column.


(1) had a value exceeding $1,000 at the 0 '0 Actual

close of the reporting period; and/or 8_ 0 8 8 c - 0 Amount

::1

(2) generated over $200 in 'unearned' 0 0 0 0 LL Other 0 8

0

;;; 0 0 0 0 8 8 ;; N 0

Require 0 0 1ii .,. 0 0 income during the reporting period. 0 8 0 0 i "' 0 i c 0 0 0 0 ~

c 0 0

"' 0 8 8 0 0 0 0 0 "' "' 8 ~ "' 0 8 8 0 0 0

0 d

Include on this PART lilA a complete £ 8 0 0 "' 0 o_ 0 "' N "' 0 (Specify £ § 8 8 0 0 o. 0 .,; 8 if 0 ~ N "' ;;; 0

.,. .,. 0 0 "' 2 '0 8 o·

~ 0 ..

identification of each public bond, mutual m "' "' .,.

"' 0 0 0 c £ .5 Type) m 0 .,; "' ;;; 0 0 'Other" .S! ;;; ... "' I 0 0 0 g 'iii t- iii .S! 0. <-i .,; ;;; "' .. 0 8 0

fund, publicly traded partnership interest. o. 0 0 C) '0 '0 ;;; "' "' o . 0 Specifie ~ 0 0 0 0 0 0 -g '0 ~ 0 8 8 ;;; 0 ;; .S! .S! ~ 0 0 ;;; "' d excepted investment funds, bank accounts, 0 0 0 0 8 8 "' "' ]i a. a. 0 0 8 0 0 "' "' 0 0 0

~ 0 iii '0 !!!

~ ~ 'iii "' o. 0 0 iii 0 iii excepted and qualified blind trusts. and c o _ .,; 0 0 "' 5l o . 0 "' ·s; c .S! 'i'i c: 0 o _ "' ~ g 0 o.

0

"' N .,; N > "' "' ::1 0 N <-i .,; > > publicly traded assets of a retirement plan. z ;;; ;;; .,. ;;; "' "' 0 ;;; .,.

"' 0 0 a: = 0 w w 0 z .. ;;; "' "' "' "' ;;; 0 ;;; 0

IBM Corp. (stock) X X Exsmpl& X Exam pi

s. • Example:

DC, (S) Keystone Fund X X X Example X &amp/ or .

J

M The Dianne Feinstein 1991 Trust

Dated 09/23/1991

Qualified Blind Trust X X X X X X

M Bertram Feinstein Trust:

(Dianne Feinstein Beneficiary)

M Vanguard Prime Money Market Fund X X X

M Federated US Treasury Fund X X X

.

t<epon'"9 '""'.,.,.,.N•xr.,....- ?i r.o r:~ r.o@f·· 1.W$111A. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSn:'irii- -- -- ~ - (Assets owned by spouse through Blum Capital Partners, L.P.)

r~;--

BLOCK A BLOCK B BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources At the close of reporting pertod. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the complete name of each publicly If None, or less than $1 ,001, includes Income received or accrued to the benefit of the individual . Check the first column.

traded asset held by you, your spouse. or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part 8 of Instructions) for production of income or investment which:

(1) had a value exceeding $1,000 at the 0 Actual

0 " Amount close of the reporting period; and/or ;; 0 0 c: -0 0 " 0

(2) generated over $200 in "unearned" ~ 0 0 ~ 8 ... Other 0 0 0

;;; 0 0 0 0 0 E N 0 0

Require 0 8 8 0 .. "' 0 0 income during the reporting period. 0 0 0 0 i 0 " c: 0 0 ! 0 c: 8 8 0 0 0 0 <ri 0

~ ~ 8 8 0 d .. 0 0 0 0 "' 8 .. 8 0 0 0 Include on this PART lilA a complete 5 0 0 0 "' 0 ~ 0 <ri N "' {Specify 5 0 0 0 0 ~ 0 <ri 0 if 0 0 0 N "' ;;; 0 "' "' 0 .. .. 2 " 8 0 0 0 0 0 0 "' 0 identification of each public bond, mutual ::! <ri "' "' "' 0 0 > .E Type) .. "' 0 <ri "' ;;; 0 8 "Other" ;;; 0 c: .. ;;;

~ ;;; "' I 8_ 0 ;; 0 ~

£ 1- iii ~ ~ C'i <ri ;;; "' 0 ;; Specifie fund, publicly traded partnership interest, ~ 0 .. "' "' o. 0

8 0 ;; 0 0 " " " -~ ;;; 8 0 -2. 8 0 ;;; 0 "' ~ .!!l -2. 8 0 <ri d excepted investment funds, bank accounts, 0 0 8 8 0 "'

c: ;;; ]j ;; ;;; 0 "' ~ 0 0 0 0 0 0 " I!!

a. .. ~ 0 0 0 0 ~

~ :;; u ~ ~ excepted and qualified blind trusts, and o_ ,; 0 0 ~ 0 o. 0 ,; :~

c: .!! ·g. .. c: ;; ~ 0 ,; 0 0 ~ o . .. 0 "' "' <ri N > .. " 0 N C'i ,;

"' > publicly traded assets of a retirement plan. z ;;; ;;; ... ;;; "' ... 0 ;;; "' "' 0 0 a:: £ u w w 0 z "'

;;; "' "' "' ... ;;; 0 ;;; 0

IBM Corp. (stock) X X EJtemple X Exsmpl

S, • Example:

DC, (S) Keystone Fund X X X Exempls X &em pi

or • J

s Blum Capital Partners, L.P. :

s CBRE Group, Inc.

Common Stock X X X

Reportmo tnd'""'"""' N"l!B t3 8 8 8 8 0 r .1 ~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic GP Ill, L.L.C.)

r· .. N;· BLOCK A BLOCKS BLOCKC

Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income And Unearned Income Sources

At the close of reporting perlod. If MNone (or less than $201). is Checked, no other entry is needed in Block C for that item. Thls

Report the complete name of each publicly If None, or tess than $1,001, includes income received or accrued to the benefit of the individual. Check the first column.

traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part 8 of Instructions) for production of income or investment which:

(1) had a value exceeding $1 ,000 at the 8 -g

close of the reporting period; and/or 0 0 8 0 :> 0 Actual

(2) generated over $200 in "unearned" o_ 0 0 0 ci ... Other 0 8 0 Amount :;; 8 0

0 0 g 8 E N 0 0 g ;;; .. 0 ci income during the reporting period. 0 0 ci i .,. 0 ! 0: 0 0 0 0 0 ci 0 ~

0: 8 8 8 0 Required

Include on this PART lilA a complete .. 8 8 0 ci ci 0

8 0 .,; "' 0 ~ .. 0 0 0 0

£ ci "' 0 o_ .,; N .. 0 (Specify £ 0 0 0 0 ci o _ 0 .,; 0 if 0 ci ~ N "' :;; 0 .. .. ci "' " 2 '0

"' 0 0 0 0 ci ~ g .. 0 identification of each public bond, mutual :l! .,;

~ .. .. ci 0 0 0: > .5 Type) "' 8_ "' 0 .,; "'

:;; ci "Other" .!! :;; .. I 0 0 0 0 ·n; .5 ... iii .!! ri .,; ;;; .. .. 0 0

Specified fund, publicly traded partnership interest, 8 0 0 o_ 0 ci "' c.:J '0 '0 ;;; .. .. o_ 0

~ 0 0 g '0 '0 8 0 .,; excepted investment funds, bank accounts, 0 0 ;;; 8 g "' " ~ ~ " e 0 0 ;;; ci 0 0 0 .. .. "' ~ a. a. ~ 0 0 0 .. .. 0 0 ci ci ci

~ 0 ·:0 '0 E e!

~ ~ I!? 0 0 ci ~

0 :;; excepted and qualified blind trusts, and " o_ ~ g 0 "' 0 o _ 0 .,; ·s: ~ a. c;; 0 o_ "' 0 ~ g 0 o_ 0 ;;; ;;; ~ "' ;;; .,; N > i5

.. .. :> 0 N :;; ri .,; ;;; :;; > publicly traded assets of a retirement plan. z .. .. .. 0 .. .. 0 0: .5 u Ul w 0 z .. .. .. .. .. 0 0

IBM Corp. (stock) X X Example X ExompJo s.

Exampl9: DC, (S) Keystone Fund X X X Example X Example

or J

s Blum Strategic GP Ill, L.LC.

(22.46% owned by Richard C. Blum)

Blum Strategic Partners Ill, LP.

(.33% owned by Blum Strategic GP Ill, L.L.C .)

(.03% owned by Blum Capital Partners. L.P.)

s CBRE Group, Inc.

Common Stock X X X

s ITT Educational Services, Inc.

Common Stock X X X

~"'""""" ""''.'"""'" N""'".o ~ ~ ~ _r.-~t ~l M" lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEI~~~ .... co · •· (Assets owned by spouse through Blum Strategic GP Ill, L.L.C. (continuation))

r~N;bM

BLOCK A BLOCKB BLOCK C Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources Al lhe dose of reporting period. If "None (or tess than $201)" is Checked, no other entry is needed in Block C for that item. This Report the complete name of each publicly If None. or less than $1,001 , includes income received or accrued to lhe benefit of the individual.

Check the first column. traded asset held by you, your spouse. or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of Instructions) for production of income or investment which:

(1) had a value exceeding $1 ,000 at the 0 , close of the reporting period; and/or 0 0

0 0 § Actual 0 0

0 0

(2) generated over $200 in 'unearned" o _ 8 8. 0 ci LL Other 8 0 Amount ;;; 0 0 ci 0 N 0

0 0 0 0 c ~

.. 8-

ci income during the reporting period. c 0 8 8 8 ci i 0 0 ci 0 "' c: 0 8 i 0 Required

"' 0 0 q ci ci 0 0

0 .,; "' 8 s 1- "' 0 0 0 0 0 0 Include on this PART lilA a complete 6 8 0 0 "' ~ o.

8 .,; N "' "' (Specify = 0 0 0 0 8 q &

.,; 0 if ci 0 N ;;; "' "' ci ~ 2 ,

0 0 0 0 ci .. 0 identification of each public bond, mutual ::! .,; "' .s Type) .. "' 0 .,; ;;; "Other' "' ;;; "' .. ci 0 0 c: 0 "' ;;; 0 8 .'!! ;;; .. ' 0 0 0 0 ·;;; ~ 1- iii ,;j o_ "' .,; .. 0 0 fund, publicly traded partnership interest, q 0 ci .. .. .. "' o . 0 Specified

.§. 0 0 0

* 0 ci , (!) ~

, , .§. ;;; 0 0

0 0 ;;; ci "' c: .'!! ~ 0 0 ;;; ci .,;

excepted investment funds, bank accounts. 0 o. 0 0 0 "' "' .. ~ Q. Q. 0 0 0 0 "' "' 0 0 0 ci ci iii

0 0 iii ~ <: !!! :s ~ 'iii "' ~ 0 0 8 iii

0 iii excepted and qualified blind trusts. and c: o. .,; g 0 "' 0 0 .,; .!!! Q. c: o . "' 0 .,; ci o.

0 ~ on > .,; N > "' "' x · ~ 0 "' .,; "' > >

publicly traded assets of a retirement plan. z ;;; ;;; "'

;;; .. 0 ;;; .. "' 0 i5 0:: ~ u w w 0 z .. ;;; "' "' ;;; .. ;;; 0 ;;; 0

IBM Corp. (stock) X X s.

Example X Example

Example: DC, (SJ Keystone Fund X

or X X & ample X Example

J

s Career Education Corporation

Common Stock X X X

s Avid Technology, Inc.

Common Stock X X

s Moneygram International, Inc.

Common Stock X X X

""""'"""""""'""'""d~.:".... ·~ ·· !iW lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Pagt~Numbet

· rSgfi:lrP8 n n 11 l 9 DIANNE FEI · --- (Assets owned by spouse through Blum Strategic Equity Ill, l.l.C.) BLOCK A BLOCKS BLOCKC


At the close of reporting period. If 'None (or less than $201)" Is Checked, no other entry is needed In Block C for that item. This

Report the complete name of each publicly If None. or tess than $1 ,001, indudes income received or acalJed to the benefit of the individual. Check the first column.


(1) had a value exceeding $1,000 at the 0

C> '0 Actual close of the reporting period; and/or 0 0 § 0 8 0 0

Other iii (2) generated over $200 in 'unearned" ~ 8 0 0 lL 0 0 Amount ;;; 0

0 0 8 C> 0

8 C> 0 0 " "' 0 C> 0 income during the reporting period. " 0 8 8 0 0 l 0 0 0 0

., 2 " 0 8 g i 0 Required "' 0 0 C> 0 0 0

0 0 .n "' 0 s "' 0 8 0 0

0 Include on this PART lilA a complete £ C> 0 g "' 0 o_ 0 .n N "' g ., ,_

(Specify £ 0 8 0 0 o_ 0 .n 8 if 0 0 N "' ;;; 0 "' "' ., ~ 2 '0 0 0 0 0 0 C> "' identification of each public bond, mutual ~ .n "' ;;; "' "' 0 0 " .5 Type) l:l 0 "' 0 ':i "' ;;; ;;; 0 0 'Other"

"' I 0 0 8 C> ·n; .5 ,_ iii ~ o_ <'i ::i "' 0 8 8 Specified fund, publicly traded partnership interest, "' C> ., "' "' .£. 0 0 0

o_ 0 0 0 '0 (!) ]l '0 '0 .£. ;;; 8 ~ .n

excepted investment funds, bank accounts, 0 0 ;;; g 0 "' " ... J!! ~ 0 8_ ;;; 0 0 ~ 0 0 0 .. ., ~ a. a. 0 0 8_ ... ., C> C> 0 0 0 ~ 8 0

~ '0 E !!! 8 ~

.. 0

0 0 ~

0 :;; excepted and qualified blind trusts, and " o . .n 0 0 "' 0 o _ .n ·s: J!! a. -.; " o_ "' .n 0 ~

o. 0 ;;; ;;; "' ;;; N "' ;;; .n N 0

., "' .ll " 0 N ;;; <'i "' ;;; "' ;;; >

publicly traded assets of a retirement plan. 2 "' ... "' 0 ... "' 0 a:: .5 u w 0 2 .. ... .. ... ., 0 0

IBM Corp. (stock) X X s.

Example X Ex.smp/8

Example: DC.

or (S) Keystone Fund X X X &ample X Example

J

s Blum Strategic Equity Ill, LL.C. ;


Blum Strategic Partners Ill, L.P.

(1 .24% owned by Blum Strategic Equity Ill, L.L.C.)

(.03% owned by Blum Capital Partners, L.P.)

s CBRE Group, Inc.

Common Stock X X X


Common Stock X X X

Page Nurnller ' " L " " ' ''";' ' • ' G. A 0 0 (If 1 ~ lilA. PUBLICLy TRADED ASSETS AND UNEARNED INCOME SOURCj:S I

DIANNE FEIN~fk~-· ·· (Assets owned by spouse through Blum Strategic Equity Ill, LLC. (continuation)) 10

BLOCK A BLOCK 8 BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources At the close of reporting period. If "None (or less than S201)" is Checl<ed, no other entry is needed In Blocl< C for that Item. This Report the complete name of each publicly If None, or less than $1,001, indudes income received or accrued to the benefit of the individual.

Checl< the first column. traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of lnstwctions) for production of income or investment which:


0 .., Actual close of the reporting period; and/or ;:; 0 c:

0 8 0 0 " ;:; o _ 0 0 0 ... Other 0 0 Amount (2) generated over $200 in ' unearned" ;;; 0 0 0 0 g 8 c: "' 0 0 0 § 0 "' 0 0

income during the reporting period. c: 0 0 8 8 0 l 0 0

., ~

c: 0 8 g I 0 Required 8_ 0 .. 0 0 g 0 8_ 8 .,; "' 8 ~ .. 0 0 0 0 0 8 Include on this PART lilA a complete = 0 0 0 0

.,; "' "' (Specify = 0 8 8 0 g o _ 8 "' if 0 g ~ "' "' ;;; 0 "' "' g 0 ., 2

.., 0 0 0 0 "' 0

identification of each public bond, mutual ::! .,; "' "' 0 ;:; c: > .5 Type) 0 0 "' 0 .,; "' ;;; ;;; 0 g "Other" ]! ;;; "' "' I 0 8 0 0 'iii .E >- iii ]! o_ <'i .,; "' 0 0 Specified fund, publicly traded partnership interest, q 0 0 .. .., .., "' "' "' o _ 0

.2. 8 8 8 0 0 .., (!) .., .2. ;;; ;:; 0 0 0 ;;; g 0 "' c: ;;; J!! J!! ~ ;:; ;:; ;;; 0

.,; excepted investment funds, bank accounts, 0 0 "' " i Q. Q. 0 ;:; ;:; 0 "' " 0 o . 0 0 0 ~

0 0 ~

.., c: !! 2! ~ iii " ;:; 0 0 g ~ 0

~ excepted and qualified blind trusts, and c: q "' :il 0 "' :il o _ 0 "' ·s; J!! c: o. "' 0 "' 0 o_

0 N > "' "' > " .. .rl a 0 N <'i "' "' > publicly traded assets of a retirement plan . z ;;; ;;; "' ;;; "' "' 0 ;;;

"' "' 0 i5 0:: .E (.) w z "' ;;; ... "' ;;;

"' ;;; 0 ;;; 0


Exsmph) X &ample

Example: DC. (S) Keystone Fund X X X Exemp/e X Example

or J


Common Stock X X X


Common Stock X X


Common Stock X X X

Reporting '"""'c!ua•·· Na~OBQ.O Q Q .9r} Jl~JliiiA. PUBLICLY TRADED ASSETS'AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic GP IV, L.L.C.) f"""~"·~-


And Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Ched<ed, no other entry is needed in Block C for that item. lllis

Report the complete name of each publicly If None, or less than $1,001, indudes income received or accrued to the benefit of the individual. Check the first column.


(1) had a value exceeding $1,000 at the 8 ~ close of the reporting period; and/or ~ 0 Actual 0 8 0 :::0

Other 0

Amount (2) generated over $200 in "unearned" 8 8 0 u. 0 0 0

;;; 0 0 8 " "' 8 8' income during the reporting period. 0 8 0 8' ! 0 0 "' "' 0 <= 8 0 0 0 0 0 0 0 " ~ ~ 8 0 0 I Required .. 8 0 0 0 8 0 .,; "' 8 ~ 8 0 0 0

0 0 Include on this PART IliA a complete 5 0

~ "' 0 o. .,; "' "' {Specify 5 0 8 0 8 o_ 0 .,; 8 ~ 0 g "' "' ;;; 0 "' "' 0 "' ~ 2

.., 8 0 0 0 0 "' identification of each public bond. mutual ~ .,; "' "' 0 ;; 0 <= .<: Type} ~ "' 0 .,; "' ;;; ;;; 0 0 "Other"

.£! ;;; "' "' I 0 ;; ;; 0 ·o; -= .... co .£! q ,.,; ::i ;;; .. 0 ;; 8 fund, publicly traded partnership interest, 0 "' "' Specified

.& 8 ;; ;; o. 0 0 0 0 .., <.!) al '0 ..,

.& ;;; 8 o_

0 .,; 8 ;; ;;; 0 0 "' <= 2 ~ ;; 0 ;;; 8 excepted investment funds, bank accounts,

~ 0 0 0 "' Q) ~ g a. 0. ;; 0 ;; "' Q) 0 8 o· 0

~ 8_ 0 0 Q; .., " 8 fl ~

., ;; 0 0 0 Q; ~ excepted and qualified blind trusts. and <= .,; 0 "' 0 0 .,; '5' 2 ·a. <= q "' 0 .,; 0 0 o.

0 ;;; "' ;;; "' "' ;;; .,; "' > 0 ., .. >< >< :::0 0 "' ;;; ,.,; .,; ;;; "' ;;; > ;;; publicly traded assets of a retirement plan. z "' "' "' "' 0 "'

., 0 cr:: -= () w w 0 z "' "' "' "' 0 0

IBM Corp. (stock) X X &ample X Example s.

Example: DC, (S) Keystone Fund X X X &ample X &ample

or J

s Blum Strategic GP IV, L.L.C.

(23.03% owned by Richaro C. Blum)

Blum Strategic Partners IV, L.P. :

( .32% owned by Blum Strategic GP IV, l.l.C.)


s CBRE Group, Inc.

Common Stock X X X


Common Stock X X X

Reporono IndiVIdual's Na§ § § Q 'G G 1:.1 ~ r l ~~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic GP IV, L.L.C. (continuation))

I p ... 7;~

BLOCK A BLOCKB BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources Allhe dose of reporting period. If 'None (or less lhan $201)" is Ched<ed, no olher enlry is needed In Block C for lhal ilem. This

Report the complete name of each publicly If None, or less lhan $1,001, indudes income received or accrued to the benefit of the individual. Check the first column.

traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Parl B of Instructions) for production of income or investment which:

(1) had a value exceeding $1 ,000 at the 0 '0 close of the reporting period; and/or 0 0

0 0 § Aclual 0 0 0

(2) generated over $200 in "unearned" o_ 8 0 0 0 LL Olher 0 0 0 Amounl ;;; 0 0

0 0 0 "' 8 0

0 g 0 0 " "' 0 income during the reporting period. " 0 0 8 0 0 i 0 g "' 2 " 0 8 0 i 0 8 0 0 0 .,; 0

~ 0 Required Include on this PART lilA a complete "' 8 0 g 0 8 8 >- "' 0 0 0 8_ 0 0

5 0 0 0 o_ .,; "' "' ~

(Specify 5 0 0 0 0 g 0 .,; 8 if

identification of each public bond, mutual Zl 0 0 ~ N U'l ;;; g "' "' 0 "' "' ~ "' 0 Sl 8 0 0 0 "' .,; U'l "' "' 0 8 " > Type) "' 8. .,; U'l ;;; "' 0 0 "Oiher'"

!!! ;;; "' "' I 0 0 'iii .£ >- iii !!! N .,; ;;; "' 8_ 0 8 Specified fund, publicly traded partnership interest, 0 0 o _ 0 0 "' (!) '0 '0 ;;; "' "' · ' & 0 0 0 0 '0 '0

~ 0 excepted investment funds, bank accounts, 0 0 ;;; g 0 U'l c: !!! !!! "' .8- 0 0 ;;; 0

.,; 0 0 0 0 0 "' Q) "' ]! Q, Q, !E 0 5i 0 "' Q) 0 0 g 0 0 0 0 '0 c: !!! 1! 1! n; ~ 0

0 0 0 ~

0

~ excepted and qualified blind trusts, and c: o_ .,; 0 U'l Sl !g o_ 0 .,; !g ·s; ~

·a q 0 .,; 0 0 o _ 0 ;;; ;;; "' ;;; N ;;; .,; N 0 "' "' >< >< " 0 N ;;; N .,; ;;; "' ;;; ;;; publicly traded assets of a retirement plan. z "' "' "' 0 ., ., 0 0:: u UJ UJ 0 z "' "' "' "' 0 0


Example X Example

Example: DC, (S} Keystone Fund X

or X X &ample X &ample

J


Common Stock X X X


Common Stock X X


Common Stock X X X

ReportJngtn40VId••'•J~~180"0"8 :r!~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEI E (Assets owned by spouse through Blum Strategic Equity IV, L.L.C.)

I Pogo~:' BLOCK A BLOCKB BLOCKC


At the close of reporting period. If "None (or less than $201)" is Checked, no other enlfY is needed in Block C for that item. This

Report the complete name of each publicly If None. or less than $1,001 , includes income received or accrued to the benefi l of the individua l. Check the first column.


(1) had a value exceeding $1 ,000 at the 0 g '0

close of the reporting period; and/or ;; c: A ctual 0 0 0 ::0 g (2) generated over $200 in · unearned"

o _ 0 0 0 ci u. Other ;; 8 Amount ;;; 8 8

0 0 g 0 "' 0

income during the reporting period. 0 o_

! g 0 c: 1n "' 0 0 ci c: 8 8 0 0 0 0 ci 0 " 2 c: 8 8 g ! 8 Required .. 0 g ci 0

.8 0 .,; "' 8 .5 1- .. 0 0 0 Include on this PART lilA a complete = 0 0 ci 0

o _ .,; "' "' .. (Specify = 0 0 0 0 ci o_ 0 .,; 0 if .. 0 ci 0 "' "' ;;; 0 "' "' ci .. " 2 ~ .. 0 0 8 0 ci S! ;;; 0 "' 0

identification of each public bond, mutual .. .,; "' ;;; "' ... ci 0 c: > Type) 8_ U) .,; "' ci g "Other"

!!! ;;; "' I 0 0 0 0 0 ... .E .... iii ~ col .,; ;;; "' "' 0 ;; Specified fund, publicly traded partnership interest, q 0 ci .. <.? ]l ]l ;;; "' "' o_ 0

.2. 8 ;; 0 0 g ci 'g '0 .2. 8 0 .,; excepted investment funds, bank accounts, ;; ;; ;;; g "' 1n " ;; 0 ;;; ci 8_ 0 0 0 "' " 'iii a. a. !to ;; 0 0 "' "' 0 0

~ ci ci 0 ~ :a " 0 0 ci 8_ excepted and qualified blind trusts, and c: .,; ci ~ q 0 ,- :;; '0 c: :s 8 'iii c: 0 q U) 0 .,; ci :;; :;; U) 0 ·;;; !!! S! 0 ;;; ;;; "' "' "' ;;; .,; "' > 0 " .. )( )( ::0 0 "' ;;; col "'- ;;; "' > ;;; > publicly traded assets of a retirement plan. z "' ... ... "' 0 "' "' 0 a:: .E u w w 0 z ... .. .. "' "' 0 0

IBM Corp. (stock) X X Example X ExampiD S,

Example: DC. (S)

or Keystone Fund X X X Example X Example

J

s Blum Strategic Equity IV, L.L.C.


Blum Strategic Partners IV, L.P.

(.46% owned by Blum Strategic Equity IV. L.l.C.)


s CBRE Group, Inc.

Common Stock X X X


Common Stock X X X

Reporting lndMdualsN~Cf~H~Hjl 0 0 0 0 r l ~lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number

DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic Equity IV, L.L.C. (continuation)) 14


And Unearned Income Sources At the dose of reporting period. If ' None (or less than $201)' is Checked, no other entry is needed in Block C for that item. This Report the complete name of each publicly If None. or less than $1,001. indudes income received or accrued to the benefit of the individual.

Check the first column. traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part 8 of Instructions) for production of income or investment which:

(1) had a value exceeding $1,000 at the 0 8 '0 Actual close of the reporting period; and/or 0 c:

8 0 0 :> 0

(2) generated over $200 in "unearned" o_ 0 0 c:i LL Other 0 8 0 Amount ;;.; 0 0 8 0 c:i 0 N 0

income during the reporting period. 0 0 0 c:i ! c:i 0 0 c: u; "' 0 0

! c:i

c: 0 8 0 0 0 0 c:i 8 " 2 c: 8 8 g 0 Required ~ 8 8 c:i c:i 0

8 0 .n ,.., ~ >-

., 0 0 0 0 Include on this PART lilA a complete c:i "' 0 o_ .n N "' ~

(Specify :; 0 0 0 0 c:i 0. 0 .n 0 if 0 c:i 0 N ,.., ;;.; 0 "' "' c:i "' ~ '0 0 0 0 0 g ~ 0 "' 0 identification of each public bond, mutual ::l .n lll ;;.; "' "' c:i 0 0 c: .s Type) ~ ~

,.., 0 .n ;;.; 0 c:i 'Other" ~ ;;.; I 0 0 8 0 ... .!: >- jjj .!!l C'i .n ;;.; "' "' 0 0 0

fund, publicly traded partnership interest, 0. 0 c:i "' C> '0 '0 '0 ;;.; "' "' o_ 0 Specified .e. 0 0 0 0 g '0 .e. 0 0 .n 0 0 ;;; g c:i "' " .!!l .!!l " 8_ 0 ;;; g excepted investment funds, bank accounts, 0 0 0 0 "' " "' :s Q. Q. !;;; 0 0 0 0 "' ~ 0 0 c:i c:i c:i

~ 0 0

~ '0 !!! 2! 8 c;; ~ 0 0. 0 :;; ~ excepted and qualified blind trusts, and o _ .n c:i 0 "' 0 o _ 0 .n ·s; c: .!!l ·a. 0. ,.., 0 ,..,

5l ~ o_ 0 ,.., N "' .n N " .. )( )( :> 0 N N .n >

publicly traded assets of a retirement plan. z ;;.; ;;.; "'

;;; "' "' 0 ;;;

"' "' 0 0 n: .!: u w w 0 z "' ;;; ... "' ;;; ... ... 0 ;;.; 0

IBM Corp. (stock) X X Example X Example s.

Example: DC.

or (S) Keystone Fund X X X Example X Example

J


Common Stock X X X

s Avid Technology, Inc. '

Common Stock X X


Common Stock X X X

RepottJng lndMduols N~t)fil)1 9 0 Q.O p! ~lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES .... ..,_,

DIANNE FEINSTE (Assets owned by spouse through Blum Strategic GP V, L.L.C.) 15

BLOCK A BLOCKS BLOCKC


At the dose of reporting period. If 'None (or less than $201)' is Checked, no other entry is needed in Block C for that item. This

Report the complete name of each publicly If None, or less tllan $1,001 , includes income received or accrued to the benefit of the individual. Check the first column.


(1) had a value exceeding $1,000 at the 0 Actual

close of the reporting period; and/or 8. 0 0 8 ]i!

0 Amount

0 " Other (2) generated over $200 in "unearned" 0 0 0 0 LL 0 0 0

;;; 0 0 8 0 0 0 c N 0 0 Require 0 0 0

.,. 0 0 income during the reporting period. 0 0 0 0 i 0

., 2 0 i 0 "' 0 0 0 0 & 0 0 c: 0 8 0 d Include on this PART lilA a complete ,5 0 8 0 0 0 0

8 .n "' 8 ~ ,_ .. 8 0 8. 8 0

8 0 0 "' :5 o. "' N ... (Specify = 0 0 0 0 .n if 0 0 0 N ;;; 0 "' "' 0 .. ., 2 ~ .. 0 0 0 0 0 0 g "' 0

identification of each public bond, mutual ::! .n "' ;;; .... "' g 0 0 "' > Type) .. 0 "' 0 .n "' ;;; ;;; 0 'Other"

~ ;;; "' I 8 0 0

~ £ ,_ iii ~ o. N .n ;;; "' 0 0 Specifie fund, publicly traded partnership interest, o. 0 0 .. .... .... "'! 0 0 0 0 0 0 '0 l ]l " ;;; 8 0 e 0 8 ;;; "' c: ., e 8 0 ;;; .n d excepted investment funds, bank accounts, 8_ 0 0 0 0 0 8 "' ., ...

~ c. !E ~ 0 0 0 ., ., 0 g 0 0

~ 8. 8 ~ '0 ~ 1l 1l 1? 0 0 Iii 8. ~ excepted and qualified blind trusts, and "' ':i 0 "' 0 .,· ·s; c

~ ·a. 'iii 0 "' 0 .n 0 0 0 ;;; "' ;;; N "' ;;; .n N i5

., .. " " " 0 N ;;; N .n "' ;;; > ;;; publicly traded assets of a retirement plan. z "' .... "' ... .... ... 0 a: (.) w w 0 z "' .. ... "' .... 0 0

IBM Corp. (stock} X X Example X &amp/ s. .

Example: DC,

(S) Keystone Fund X X X Example X &am pi or .

J

s Blum Strategic GP V, L.L.C.

(90.47% owned by Richard C . Blum)

Blum Strategic Partners V, L.P.

(2.0% owned by Blum Strategic GP V, l.l.C.)

s AVID Technology, Inc.

Common Stock X X

Reportmg IndiVIdual• N•u00(J 0 0 0 O:r·l ~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic Holdings, L.P.) l 16

BLOCK A BLOCKB BLOCKC

Identity of Publicly Traded Assets Valuation of Assets I Type and Amount of Income And Unearned Income Sources At the dose of reporting period. If ·None (or tess than $201r is Checked, no other entry is needed in Block C tor that item. This

Report the complete name of each publicly If None. or less than $1,001, includes income received or accrued to lhe benefit of the Individual. Check the first column.

traded asset held by you. your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of Instructions) for production of income or investment which:

(1) had a value exceeding $1 ,000 at lhe 0

0 '0 Actual close of the reporting period; and/or 0 0 8 c:

0 0 ::1 Other 0 (2) generated over $200 in "unearned"

o_ 0 0 0 0 u. 8 0 Amou~t

;;; 0 0 8 0 0 8 c :;: 0 0 8 u; 0 0 income during the reporting period. 0 8 0 0 I 0 Q) 8 I 0 c: 0 8 0 0 0 ~

c: 0 8 Required .. 8 0 0 0 0 0 0 .n' :2 0 ~ .. 0 0 0 0 0 Include on this PART lilA a complete £ 0 0 "' ~ o . 0 ::i "' 0 (Specify £ 0 0 8 0 0 o_ 0 .n 8 if 0 g 0 "' ;;; 0 "' 0 !li 2 '0

~ 0 8 0 0 g "' identification of each public bond, mutual ::! ~ "' "' 0 "' .s Type) ; "' .n ;;; 0 "Other'" ;;; 0 0 c: .s C'i .n "' ;;;

fund, publicly traded partnership interest, ~ "' "' I 8_ 8 0 0

0

"' ~ ... iii

"' "' ;;; "' 0 0

Speeified 8 0 0 ]l '0 '0 ;;; o_ 0

£. 0 0 0 '0 .9. 8 0 .n excepted investment funds, bank accounts, &

0 8 0 o_ ;;; 0 8 8 ~ c:

"' :5 J!l Q)

0 0 0 0 0 ;;; 8 "' Q) 0 0 0 0 Q) i!! a. a. !;'; Q) 0 0 0 0 :;; :;; '0 8 ~ .. 0 ~ :;; excepted and qualified blind trusts, and c: .n 0 0 "' 0 o_ 0 .n ·s: c: J!l ·~ c: o_ "' 0 .n 0 0 o_ 0 ;;; ;;; "' ;;; :;: "' > ;;; .n "' >

i5 Q) oll ::1 0 "' ;;; C'i .n ;;; "' ;;; ;;; >

publicly traded assets of a retirement plan. z "' "' 0 "' "' 0 0:: .s u w 0 z "' "' "' "' 0 0

IBM Corp. (stock) X X Example X &.ample S,

Example: DC,

or ($) Keystone Fund X X X Example X Example

J

s Blum Strategic Holdings, L.P.

(67.8% o>Wled by Richard C. Blum)

(.1% owned by Blum Capital Panners, L.P.)

s CBRE Group, Inc.

Common Stock X X X

ReportmglrdovodualsN"(iQQO (l (l (l 0 I) l ~lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES PageNumtlet

DIANNE FEINSTEII'o (Assets owned by spouse through Blum Family Partners, L.P.) 17

BLOCK A ' BLOCKS BLOCK C


At the close of reporting period. If 'None (or less than $201)" is Ched<ed, no other entry Is needed in Block C for that item. This

Report the complete name of each publicly If None, or less than $1 ,001 , includes income received or accrued to the benefit of the Individual. Check the first column.

traded asset held by you, your spouse, or Type of Income Amount of Income your dependenl child, (See p.3, CONTENTS OF REPORTS Part B of Instructions) for production of income or investment which:


0 '0 close of the reporting period; and/or 0 0

0 " Actual 0 q " Other 0 8

(2) generated over $200 in "unearned" q 0 8 0

8 ... 8 Amount ;; 0 0

0 0 c: N 0

0 0 0 0 0 1n .... 0 0 0 income during the reporting period. " 0 8 8 0 I 0 0 g .,

~ ~ 0 8 I 8 8 0 0. l(i

0

~ 8 Required .. 8 0 0 0 0 8 0 8 0 0 Include on this PART lilA a complete -5 0 0 "' ~ 0. 8 "' ... 1n {Specify 0 8 0 0 o _ 8 .; 8 ~ 0 0 0 N ;; .. .. 0 ., ~ '0 0 0 0 0 0 ..

identification of each public bond, mutual ~ .n "' ;; "' "' ~ 0 0 " 2 ·= Type) ~ 0 "' 0 .; "' ;;; ;;; 0 0 'Other" ]! ;;; "' I 0 0 0 ... = ... iii ]! o_ ,_; .; ;;; "' 8_ 0 8 Specified fund, publicly traded partnership interest, 0 .,

"' "' £. 8 0 0 0 0 0 0 '0 (!) jl '0 '0 ;;; 8 0 .n excepted investment funds, bank accounts, 0 0 ;;; 0 0 "' " u; .9! a> .2. ;; 8 ;;; 0 0 0 0 0 .... a> ~ a. a. s; 0 0 8 .. ., 0 0 0 0 0 ~ 0 0 q

~ '0 ~ ~ 8 1? 0 0 ~ 0 ii; excepted and qualified blind trusts, and " q .n o·

~ "' 0 o. 0

"' ·s; " ~ a. ... 0 q "' ~ 0 0 o_

0 ;;; ;;; "' N "' > .; N > i5 " .. .:1 >( " 0 N ;;; ,_; .n "' ;; > ;;; >

publicly traded assets of a retirement plan. z .... .,. .,. .. 0 .. .. ... 0 a: u w 0 z .. "' "' "' .. 0 0

IBM Corp. (stock} X X Example X Example s. example:

DC. or

($} Keystone Fund X X X Example X Example

J

s Blum Family Partners, L.P.:


(1% owned by Blum Investment Partners II, Inc,)

s CV Holdings Inc. (formerty Realty Finance Corporation)

Real Estate Investment Trust X X X

s CBRE Group, Inc.

Common Stock X X X


Common Stock X X X

Reportong lndMdual • Na:flj (i)--0 0 0 0 0 l!lrl 1 ~~J.j lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOL,-,tt...:::, DIANNE FEINSTEIN (Assets owned by spouse through Blum Family Partners, L.P. (continuation)) I 18

BLOCK A BLOCKS BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources At the dose of reporting period. If "None (or less than $201)" is Checked. no other entry is needed in Block C for that item. This Report the complete name of each publicly If None. or less than $1,001. includes income received or accrued to the benefit of the individual.

Check the first column. traded asset held by you. your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part 8 of Instructions) for production of income or investment which:


0 ., Actual close of the reporting period; and/or 0 0

0 " 0 0 " Other 0 8 Amount o. 8 0 0 0 lL 0 (2) generated over $200 in ' unearned" ;;; 0 0 g 0 c N 0 0

8 0 g 0 1ii "' 0 0 0 income during the reporting period. 0 0 0 i " i " 8 0 0 0 0 0 0 2 " 0 8 g 8 Required "' 0 0 0 0 ~ 0 0 "' "' 0 ~ .. 0 8 0 0 Include on this PART lilA a complete = 0 0 0 "' 0 0 "' N "' 0

~ .... (Specify 5 0 0 8 0 o . 0 "' 0 if 0 0 0 N "' ;;; 0 "' "' 8 "' " -g

"' 0 0 8 0 0 ;;; 0 "' 0 identification of each public bond, mutual :! "' "' "' "' 8 ~ Type) 0 "' "' "' 0 8 "Other" ;;; 0 " as 1! N "' ;;; .21 ;;; "' I 0 0 0 ·;;; .... o . ;;; "' 0 0 Specified fund, publicly traded partnership interest, o_ 0 g .,

"' "' q 0

£. 8 0 8 0 0 ., (!) '0 '0 al £. ;;; 8 0

8 0 ;;; 0 " !'l ~ 0 0 ;;; "' excepted investment funds, bank accounts,

~ 0 g 0 0 "' {!l ~ ~ a. ~ 0 0 0 0 "' " 0 0 0 0 ~ 0 "' 0 0 8 ~ excepted and qualified blind trusts, and " "' 0 0 "' ~ ~ q "' ~ ~

c ~

a. 8 8 iii " 0 o . "' 0 "' 0 ~ ~ 0 ;;; "' ;;; N > ;;; "' ~ " .. )( )( " 0 N ;;; N "' ;;; "' ;;; ;;; publicly traded assets of a retirement plan. z "' "' "' "' 0 "' 0 0 a: (.) w w 0 z "' "' "' "' 0 0

IBM Corp. (stock) X X &ample X Example s. Example:

DC. (S) Keystone Fund X or

X X &.amp/a X Example

J


Common Stock X X


Common Stock X X X


Common Stock X X X

s Kite Pharma, Inc.

Common Stock X X X

s Barracuda

Common Stock X X X

.eportng n<v<1ualsName{)'J -- -- - ~lilA PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number

DIANNE FEI~TE. ,, O O O O ~ l ,· • . (Assets owned by spouse Richard C. Blum) 19

BLOCK A BLOCKS BLOCKC


At the close of reporting period. If ·None (or less than $201)" Is Checked, no other entry is needed in Block C for that item. This

Report the complete name of each publicly If None, or less than $1 ,001, includes income received or accrued to the benefit of the individual. Check the first column.

traded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of lnstroctions) for production of income or investment which:

(1) had a value exceeding $1,000 at the 0 " close of the reporting period; and/or 0 8 0 c: Actual 8 0 ~

Other 0 0

(2) generated over $200 in "unearned' o . 8 0 g LL 8 0 Amount ;;; 0 0

0 0 E N 0 0 0 g 0 ;;; "' 0 0

income during the reporting period. 0 0 8 g i .. 8 !:, c: 0 0 0 0 0 0 ~ c: 8 g 0 Required "' 0 8 0 0 0 0 0 .,; "' 0 .s "' 8 0 0

8 Include on this PART lilA a complete = 0 0 "' 0 o_ 0 .,; N "' 0 ~ (Specify = 0 0 0 0 o_ 0 .,; if 0 0 ~ "' "' ;;; o. "' "' 0 "' 2 " "' 0 0 0 0 0 0 q .. 0

identification of each public bond, mutual ::! .,; s .5 Type) "' 0 .,; ;;; "Other'" "' .. "' 0 0 0 c: "' 0 oi .,; "' ;;; 0 g .9! ;;; "' .. I 0 8 0 0 ... >- iii .9! o_ ;;; "' 0 8 fund, publicly traded partnership interest, 0. 0. 0 "' (!) ~ " ;;; "' .. q 0 Specified -2. 8 0 0 0 " " 8 0 0 ;;; 0 g 8 "' c: J!l .. .£. 0 0 ;;; 0

.,; excepted investment funds, bank accounts, 0 0 0 "' .. ~ ]i a. a. !oE 0 0 0 "' .. 0 0 0 0 0

~ 0 0 !;; " 2l §

.. 0 0 0 ~ ~ ~ excepted and qualified blind trusts, and c: q .,; 0 ~ "' g o. 0 .,; .,. c:

~ ·a ... c: 0 q "' 0 .,; g 0 0 ;;; ;;; "' N ;;; .,; N >

i5 .. (3 >< ~ 0 N ;;; oi .,; ;;; ;;; publicly traded assets of a retirement plan. z "' "' "' "' 0 ... .. 0 a: w w 0 z "' ... ... "' ... 0 0


Exsmple X Exsmple

Example: DC. (S) Keystone Fund X X X Eumple X Example

or J

s CBRE Group, Inc.

Common Stock and Unvested Options X X X

s Amyris, Inc.

Common Stock X X


Common Stock X X


Common Stock X X X

.

R•P""'"9 'ndMduarsNa~§§IG 0 u 08rj.~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by spouse Richard C. Blum (continuation)) I 20

BLOCK A BLOCKS BLOCKC Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income

And Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked. no other entry is needed in Block C for thai item. This

Report lhe complete name of each publicly If None, or less than $1 ,001 , indudes income received or accrued to the benefit of the individual. Check the first column.

lraded asset held by you, your spouse, or Type of Income Amount of Income your dependent child, (See p.3, CONTENTS OF REPORTS Part B of Instructions) for production of income or investment which:


0 1! Actual close of the reporting period; and/or 8_ 0 0

0 0 " Other 0 0

(2) generated over $200 in "unearned" 8 0 0 g. IL 8 8 Amount ;;; 0 0

0 0 c: N 0 0 0 0 "' 8· 0 income during the reporting period. c:

0 8 0 s: i 0 0 0 "' 2 c: 0 0 I 0 8 0 0 0 .,- 0

~ 0 0 Required .. 8 0 0 0 8 "' 0 ... .. 0 8 0 0 g Include on this PART lilA a complete £ 0 8 "' 0

.; ~ "' 0 (Specify £ 0 0 8 0 o _ 0 .; if 0 0 N "' ;;; 0 "' 0 "' ~ 2 " 0 0 8 0 ~ 0 ... 0

identification of each public bond, mutual ~ .; "' ;;; ... ... g 8 0 c: £ Type) ~ 0 "' .; "' ;;; 0 0 "Other" ~ ;;; "' I 0 8 0 ... £ ... iii ~ o. oi .; ;;; ... "' 8. 0 0

fund, publicly traded partnership interest, o_ 0 .. "

... ... 0 Specified 8 0 0 0 0 1! (.') ~ al ;;; 0 0 .8- 0 0 ;;; 8 0 "' ~

~ .8- 0 0 ;;; 0 .;

excepted investment funds, bank accounts, 0 0 0 0 "' "' iii a. a. !!:: 0 0 0 0 "' ~ 0 0 0 0 0 :. 8 0

~ " 8 1l ;;; "' 0 0 0 8 ~ 8. ~ excepted and qualified blind trusts, and o. .; 0 0 "' ~ o. .; '5 c:

~ ·c. c: o. "' 0 .; 0

0 ;;; ;;; "' ;;; N > ;;; .; N 0 "' .. " " " 0 N ;;; oi .; ;;; "' ;;; ;;; publicly traded assets of a retirement plan. z .. .. "' 0 ... .. 0 ~ £ () w w 0 z "' ... ... ... 0 0

IBM Corp. (stock) X X Example X ExampJe S,

Example: DC, (S) Keystone Fund X X X Example X Example

or J


Common Stock X X X


Common Stock X X X

s Kite Phanna

Common Stock X X X

Reportmg IndiVIdual' N~a 001':1 0 b 0 0 (ll~Y\,'RU IliA. • PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I age 1' um)ISI'

DIANNE FEINSTEIN 1 (Assets owned by spouse through Richard C. Blum & Associates, Inc.) 21


And Unearned Income Sources At the close of reporting period. If MNone (or less than $201)" is Checked, no other entry is needed in Block C for that item. Th!s

Report the complete name of each publicly If None. or less than $1,001 , includes income received or accrued to the benefit of the individual. Check the first column.


(1) had a value exceeding $1 ,000 at the 8 -g

close of the reporting period; and/or 0 0 8 Actual 0 " 0 0

(2) generated over $200 in "unearned' o. 0 0 0 ci u. Other 0 8 Amount ;;; 0

0 0 8 8 c "' 0 8 0 ci ~ "' 0 ci income during the reporting period. "' 0

0 0 8 ci I 0 0 ci " "'

0

8 i 0 0 ~ 0 0 .,; 0 s 8 ~ 0 Required

Include on this PART lilA a complete ., 0 ci ci 0 "' 0 .... ., 0 0 0 = 0 0 0 "' Sl

o. 0 .,; "' "' 0

~ ;;; {Spocify 5 0 0 0 0 0 o . 8 .,; 8 if 0 ci ~ "' ;;; 0 "' "' ci "' .,

8 0 0 0 g ~ "' identification of each public bond, mutual :z .,; "' "' "' ci 0 0 "' 2 .5 Type) :z "' 0 ~ ;;; ci ci "Othe~

.2! ;;; "' "' I 0 0 0 0 ... E ,_ iii .2! o. oi .,; "' "' 0 0 0 fund, publicly traded partnership interest, 8 0 0 o. 0 0 "' (!) ~

., ;;; "' "' "' o . 0 Specified £. 0 0 ci ., ., 8 0 .,;

excepted investment funds, bank accounts, 0 0 ;;; 8 8 "' "' ~ !! ~ .2. 0 0 ;;; 0 0 0 0 0 "' " :§ <>. a 0 0 0 "' " 0 o. 8 0 0

~ 0 0

~ ., c 'i'i 2! '" !? 0 "' 0

0 0 0 ~

0 :;; excepted and qualified blind trusts, and "' o . ~ Sl "' Sl 0. "' ·;;; ~

0. ~· g 0 o. 0 ;;; ;;; "' ..,· N i5 "

., >< >< a 0

"' ;;; oi .,; ;;; ;;; > publicly traded assets of a retirement plan. z <I) "' .. "' 0 "' "' .. 0 0:: (.) w w z "' "' "' "' "' 0 0

5, IBM Corp. (stock) X X Example X &ample

Example: DC, (S} Keystone Fund X X X &.smpfe X Example

or J

s CBRE Group, Inc.

Common Stock X X X


Common Stock X - X


Common Stock X X X


Common Stock X X X

' ' ' ' '" I -~' F.lARif3YIB NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page N~n~Dor

DIANNE FE~O Q' O O ).~ . (Assets owned by Dianne Feinstein) 22

BLOCK A BLOCKB BLOCKC Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the dose of reporting period.

Report the name, address (city, state and If None. or less than $1.001 , description) of each interest hetd by you. your Check the first column. spouse. or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of Income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 at the close 0 "1:1 of the reporting period: and/or 8_ 0 8 0 c: Actual

(2) generated over $200 in 'unearned' 0 " Other 0 0

8 0 0 0 u. 0 8 Amount income during the reporting period. ;;; 0

0 0 0 c "' 0 0 8 0 0 8 0 ~ "' 0 0 0

Include the above report for each undertying c: 8 g i 0 0 .,

c: 8- I 0 8 0 0 0 ,.; 0 5 ~ 8 0 0 Required asset, which is not incidental to the trade or .. 0 0 g 0 0 "' 8 .. 0 0 8 8 = 0 0 0 0 0. 0 ,.; "'

.,. "' (Speci~ = 0 8 0 0 8 o_ ,.; if

business. Publicly traded assets held by non- 0 g 0 "' "' ;;; 0 "' .,.

0 ~ ., 2 "1:1

"' 8 0 0 g ;;; 0 "' 0 ::! ';i ;;; "' "' 0 0 c: > .5 Type) "' "' 0 ,.; ;;; 0 0 'Other" public entity may be listed on Part lilA .9! "' I 0 0 0 0 0 ·n; E .... a; .9! 0. ,_; ~ ;;; "' 0 8 0

Specified "' 0. 0 0 "' (!) "1:1 "1:1 "' o_ 0 _g_ 8 0 0 0 0 "1:1 "1:1 _g_ 8 8_ 0 ;;; 0 g g "' c:

~ ~ !! ~ "' 8 0 ;;; 0 ,.;

0 0 0 .. .. g Q. 0 0 0 "' ~ 0

~ 0 0 0 0 ., 0

~ 0

0. "' 0 "' 0 ~ o_ 0 ,.; :;; ~ c .9! ·a 1l 1l ;;; c: 0 o_ "' 0 ,.; 0 ~ 0. ~ 0 ;;; "' "' "' ;;; ,.; "' > ., .. )( )( " 0

"' ;;; ,_; ,.; ;;; "' ;;; z "' "' "' .,.

"' 0 .,. "' 0 0 a: E (.) w w 0 z "' "'

.,. "' 0 0

ExampiO:S. I_ JP Computer. \¥ash DC X X &ample X Exam{H

DC. 01 I Undeveloped land. Dubuque, Jovfa X &.amliO X Ex.smp/6

J

M Bertram Feinstein Trust

(Dianne Feinstein is primary beneficiary)

Credit Suisse X X Deposit Account

Vanguard X X X Deposit Account

M Bank of America Deposit Account

San Francisco. CA X X

EXEMPTION TEST (see instructions befor& martcing box): If you omitted any asset beca1Jse it meets the three-part test for exemption described in the instructions, please check box to the right 0 ••• This category applies only it the asset islwas hetd independently by the spouse or dependent child. If the asMrt is/was either hekl by the filer or jointly held. use the other categories of value, as appropriate.

~lndMdu•l·~a 1 f)t1 __ P.A:RJ\!.!JB NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I · · 000 · ·lUO.;!~ · DIANNE FEI STEil'l (Assets owned by Dianne Feinstein (continuation)) 23

BLOCK A BLOCK B BLOCK C Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources AI tile dose of reporting period. If "None (or less lhan $201)" is Ched<ed, no olher enlry is needed in Block C for !hal ilem. This

Report the name. address (city, state and If None, or less than $1.001, includes income received or accrued to the benefit of the indMduat. description) of each Interest held by you. your Check the first oolumn. spouse, or your dependenl child (See p.J, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 allhe dose 0 -g of the reporting period; and/or c; 8 0

0 Aclual (2) generated over $200 in ·unearned" 8 0 " 0 0. 0 0 0 u. Olher 8 0 Amount

Income during the reporting period. ;; 8 0 8 0 0 0 c N 0

0 0 8 0 ;; "' 0 g g Include the above report for each undertylng :; 0 0 0 8 0 l 8 0 0

.. ~

c 0 8 i Required asset, which is not incidental to the trade or 0 0 0 g 0 0 0 .,; "' 8 s

(Speci'! ., 0 0 0 0 0

£ 8 0 0 0 q 0 .,· N ... .,

~ £ 8 0 0 0 0 o. 0 .,; 8 i f

business. Publidy traded assets held by non· 0 0 N "' ;; 0 "' "' 0 ., .. ~ ., 0 0 0 g 0 ;; 0 "' lll .,; "' ;; "' "' 0 0 8 c > Type) ., 0 "' 0 .,; ;; 0 0 "Oiher"

public enlity may be lisled on Part IliA. .B! ;; "' I 0 8 c; ... .: ... iii .B! q <'i .,; ;; "' 0 0 8 Specified

8 o_ 0 0 .,

(!) , , ;; "' "' q .2. c; c; 0 c; 0 0 "'

, ~ .B! al .2. 0 c; c; 0 .,;

c; 0 0 ;; g 8 0 "' c

~ ]i c; c; 0 ;; 8 "' .. c. !E 0 .. 0 0 § 0 0 :;; 0 :;; , c ·a 8 8 ;;; " 0 0 o. 8 ~ :;; c q .,; 0 "' 0 q 0 .,; ·s; 2 c o_ "' 0 ~ :5 o.

0 ;; ;; "' N "' 6 ;; .,; N > 0 .. .,

X " " 0 N ;; <'i .,; ;; ;; > z "' "' "' "' "' "' 0 0:: .: (..) w w 0 z "' "' "' "' "' 0 0

Exampte:s. I JP Compltor. Wa.sfl oc X X &empltJ X Example

OC, or J I Undevelopqd ~nd. Dubuque, IOwa X Example X &am/k

M Richard C. Blum Marital Trust of 1994

(Dianne Feinstein is primary benefidary)

Indexed Universal Life Policy

John Hancock- (Cash Value) X X

M Richard C. Blum Marital Trust of 1996

(Dianne Feinstein is primary beneficiary)

Indexed Universal Life Policy

John Hancock- (Cash Value) X X

EXEMPTION TEST (see instructions before marking box): If you omitted any asset bec:auso it meets the three-part test for exemption described in the instructions, please check box to the right • •• This category applios only if the asset isJwas held independenUy by the spouse or dependent child. It the asset ishias either hekl by the filer or jointly he!d. use the other categories of value, as appropriate. D

epo"· "" ' "' 'vcu~ • ';JJ.e~n 8 (~r) 8 13~~1!18. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES ,.,.Nu_

DIANNE FEI TE N (Assets owned by Dianne Feinstein & Richard Blum) 24

BLOCK A BLOCK B BLOCK C Identity of Non·Publlcly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name. address (city, state and If None. or less than $1,001 , includes income received or accrued to the benefit of the individual. description) of each interest held by you. your Check the first column. spouse. or your dependent child (See p.J, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or

< investment in a non-oublic trade or business which:

(1) had a value exceeding $1 ,000 at the 0 close of the reporting period: and/or

~ 0 0 0 -g Actual

(2) generated over $200 in "unearned" 0 0 " 0 0

0 0 0 ci u. Other 0 0 Amount Income during the reporting period. ;;; 0 0 8. 0 ci 0 "' 0 0

8 0 0 " "' 0 g Include the above report for each undertying 0 0 0 0 ! 0 ., 2 0 l :; 8 0 0 0 0 0 on ci 0

~ " 0 8 ci 0 Required asset. which is not incidental to the trade or 8 0 ci ci 0 "' 8 ... .. 0 0 0 8 0 £ 0 8 "' 0

o . 0 on "' ... ~

(Specify £ 0 0 0 0 ci o_ on 8 if business. Publidy traded assets hetd by non- 0 ci N "' ;;; 0 ... .,. ci "' !\! '0

"' 0 0 0 0 ci ~ ;;; 0 "' :Jl on "'

.,. "' ci 0 " Type) 8. "' 0 on ~ 8 ci "Other" public entily may be listed on Part iliA. ;;; 8 " E ffi "' N' on ~ ;;; "' I 0 0 0 0 .. 'iii ... ~ .,.

"' ;;; .,. 0 8 Specified

.& 0 0 0 q 0 0 ci ci -g C) '0 '0 '0 .& ;;; 0

o_ 0 on 8 0 ;;; g ci "' ;;; ~ .91 ~ 0 8 ;;; ci 0 0 0 o . 8 "' ., s c. c.

~ 0 0 0 "' ., 0 8 ci 8 !! 0 0

" q on ci 0 :;; o_ .,· ~

'0 <: ·a 8 8 .. 1! 0 "' 0 on ci ci :;; o. .,

~ 0 ·:; ~

0 0 ;;; "' ;;; "' > ;;; on "' 0 ., .. " " 0 0 "' ;;; N' on ;;; "' ;;; > ;;; 0 z "' "' "' ... 0 "' "' 0 0: 0 uJ uJ z ... ... "'

.,. 0

Eumpto:S, I JP Computer, !Nash OC X X &ample X &amp/6

oc. or I UndevelOped 4Jnd, Dut>uque. lows X Enmple X Examfi~

J

J Carlton Hotel Properties, L.P.

San Francisco. CA X Otdinary S1,J68,000 Income

J Bank of America

Checking Account ·San Francisco. CA X X X

J Bank of America

Checking Account~ San Frandsco, CA X X

J Princeville, Kauai- Hawaii

Condominium X X X

EXEMPTION TEST (see instructions before rnarldng bo:.): If you omitted any asset because it meets the three-part test for exemption described ln the insfNctions, please check box to the right D ... This category applies only if the asset istwas held Independently by the SJ?OU58 or dependent child. tf the asset is/Was either held by the fder or joinUy held, use the other categories of value, as appropriate.

Report;ng '"""'"'""''' N'iJ'G Cl.Jl'J 0 ur:) iJ 0 ~ U.IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES 1 ~~~~ ~ \ ~ I

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Capital Partners, L.P.) 25

BLOCK A BLOCKB BLOCKC ldenllty of Non-Publicly Traded Valuation of Assets Type and Amount of In como

Assets and Unearned Income Sources AI the close of reporting period. If ~None (or less than $201r is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None, or tess than $1,001 , includes income received or accrued to the benefit of the individual. description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of Income or Investment in a non-public trade or business which:

(1) had a vatue exceeding $1 ,000 at the dose 0 "' of the reporting period; and/or 8_ 0 0 5 Actual

(2) generated over $200 In ·unearned- 8 0 0 Other .; 0

0 0 8 u. 8 0 Amount income during the reporting period. .. 0 8 8 0 g "'

0

0 c::i 0 " ~ .,

0 0 c::i lndude the above report for each underlying " 8 0 8 0 c::i b 8 0 c::i 0

Q)

" 0 8 8 I 0 Required asset. which is not incidental to the trade or .. 0 0 c::i c::i 0 .n .,.,

8 s .. 8 0 0 0 0 5 0 0 8 .,., 0 ~ 8 .n N "' "' (Speci~ 5 0 8 0 c::i ~ 0 .n 8 if

business. Publicly traded assets held by non. 0 g N .,., .. ., "' 8 "'

Q) 2 "' 0 0 0 c::i 0 ;;; 0 ., ::1 .n ;;; .,

"' c::i 0 " > .!: Type) ::1 ~

.,., 0 .n .,., ;;; c::i c::i "Other' public entity may be listed on Part lilA. ~

"' ., I 0 8 0 0 ·a; E .... iii ~ ,; .n ;;; "' 0 0 8 Specified

8 8 0 o_ 0 g "' (!) 1 "' "' ;;;

., "' o _

~ 0 8 '0 ~ 0 0 .n 8 0 ;;; g c::i " 1li .'!! ~ 0 0 ;;; ci .; 0 "' Q) ~ c. .; 0 0 0 "' :!! 0 c::i g ci - ~

0 0

~ '0 c e> 1l ~ <0

Q)

0 0 0 8 ~

0 :;; o_ .n g 0 5l ~ 0 .n :~ ~ c. " ~

.,., 0 .n ci o_ 0 ;;; .. .. N .. .n "'

Q) "' X a 0 N ;;; ,; .n ;;; .,., ;;; ;;; > z .. "' "' 0 "' "' 0 0 "' (.) w w z "' "' "' "' 0 0

Ex.a mplo:S, I JP Computer. Wash OC X X Exemp/e X Example

oc. or I Urrdevebped land, ll:ibuquo, 1~8 X

... _ X &ample

J

s Blum Strategic GP II, LLC.

San Francisco, CA

(See page 33 for noll-ptJblidy tmded assets)

s Blum Strategic Equity II, LL.C.

San Francisco. CA

(See page 34 for non-public::ly traded assets)

s Blum Capital Partners, LP.

San Francisco, CA

{Soe page 6 for publicly traded assets)

EXEMPTION TEST (see irut111Ctions before msrldng bOx): If you omitted any asset because it meets the lhrtte--part test far exemption described in the ins~s. please check box to the right 0 ... This category applies only if the asset islwes held independently by the spouse or dependent child. If the asset is/Was either heJd by the fder or jolntty hetd, use the ather categories of va lue. as appropriate.

ReportlnQindMdual s Nu•o 0 0 0 ~ p 0 ~ ~~~-IDB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Pogo Number

DIANNE FEINSTEIN i (Assets owned by Spouse through Blum Capital Partners, L.P. (continuation)) 26

BLOCK A - BLOCKB BLOCK C Identity of Non· Publlcly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the dose of reporting period. If 'None (or less than $201 )'is Checked. no other entry is needed in Block C for that item. This

Report the name, address (city, state and II None, or tess than $1,001, includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part 8 of Instructions) for the production of income or investment in a~ trade or business wllich:

(1) had a vatue exceeding $1 .ooo at the dose 0 ~ of the reporting period; and/or 0 0

0 0 c Actual (2) generated over $200 in ·unearned' 8 0 :> 0

0 o_ 0 0 0 u. Other 8 0 Amount

income during the reporting period. ;;; 0 0 0 0 0 0 c N 0

0 0 g 0 0 1;; "' 0 0

Include the above report for each underlying c 8 8 0 i o_ 0 .. ~ 0

0

8 i 0 8 8 0 0 0

~ :;; 8 0 Required asset, which is not incidental to the trade or .. 8 g 0 0 "' "' 0

(Speci~ 0 0 0 0

5 0 0 :il o _ 0 .,; N "' 0 5 0 8 0 0 0 o_ 0 .,; 8 if

business. Publidy traded assets hekj by non- ~ 0 0 0 N ;;; 0 "' "' 0 :!!

.. 2 ~ 0 0 0 0 0 ;;; 0 "' .,; "' ;;; "' "' 0 0 0 > .s Type) ~ 8. "' 0 .,; "' ;;; 0 0 'Other' public entity may be listed on Part lilA. ;!1 ;;; "' I 0 0 0 0

~ £ f- a; ~ oi ~ ;;; "' 8. 0 8 Specified o_ 0 0 V> "' E. 8 0 8 0 0 0 0 o' "'

~ l ~ ~ E. ;;; 8 0 .,; ;;; 8 g c .. 0 8 ;;; g 0 0 0 0 "' .. i!! g a. ~ 0 0 8 "' .. 0 0 0 8 :;; 0

~ ~

~ l'l .. 0 0 :;; c o _ .,; 0 ~ "' o _ 0 .,; '5 c

~ ·g. iii c 0 o _ "' ';! 0 0 ~ q 0 "' N "' > .,; N " >< :> 0 N oi .,; "' > z ;;; ;;;

"' .,

"' "' 0 ;;; ... ., 0 0 a: .5 u w w 0 z "' ;;; "' "' "' "' ;;; 0 ;;; 0

E ... ~~~· I JP Compur01. wam DC X X &ample X """""'" oc. or I tJndeveJoped fBttd, Outwqii'IJ, Iowa X &ample X BcamJie

J

s Blum Strategic Partners II, L.P.

San Francisco, CA

(See page 33-34 ror non-publidy traded assets)

s Blum Strategic Partners Ill, L.P.

San Francisco. CA

(See page 7-10 ror public!y traded assets)

EXEMPTION TEST (seo instrllctions before metfOng box}: H you omitted any asset because it meets the three-part test f01 exemption described in tho instructions. please check box to the right D .... This category applies only if the asset is/was held independently by tho spouse or dependent ehUd. If the asset is/was either held by the filer or jointty held, use the other categories of value. as appropriato.

8~1':'1(1 ou •o> ~eporung '""""auoos N~me . , t ~~ JIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINST -- Assets owned by Spouse through Blum Capital Partners T, L.P.

r~;;~

BLOCK A BLOCKB BLOCK C Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources Allhe close of reporting period. II "None (or less lhan $201)" is Checked. no olher enlry is needed in Block C lor lhal ilem. This

Report lhe name. address (cily, slate and II None. or less than $1,001. includes income received or accrued to the benefit of the Individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type ollncomo Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 at the close 8 " of the reporting period; anctJor

0 0 0 c Actual

(2) generated over $200 in "unearned" 8. 0 " Other 0 0

o. 0 0 g u. 0 0 Amount income during the reporting period. ;;; 0

0 0 0 c: "' 8 0

0 8 0 g 0 0 "' 0 c:i 0 c:i ! "' 2 ! lndude the above report for each undertylng c 8 8 0 0 0 c:i 0 ; 8 0 0 0 Required

asset, which is not Incidental to the trade or .. 0 g c:i 0 0 0 .0 "' 8 s ,_

{Spe~ity 0 o, 8. 0 0 0

£ 0 0 0 ~ o. 0 or; "' "' :g £ 0 0 8 0 0 0 or; 0 if

business. Publicly traded assets held by non· 0 0 0 "' ;;; 0 "' "' 0 ., 2 " 0 ~ 0 g := ;;; 0 "' 0 ::! .0 "' ;;; "' "' c:i 0 0 c > .!: Type) ::! ~

0 .0 c:i 0 "Oiher" public entity may be listed on Part lilA. ]! ;;; "' I 0 0 8 o. ·c;; E ,_ iii ]! "' .0 ;;; "' "' 0 0 0

Specified

8 8 0. 0 ~

., (!I " " ;;; "' "' o. 0

~ 0 0 g ~ " 8 0 .0 8 0 ;;; g c:i ~ ]! ]! "' e 0 0 ;;; g 0 0 "' .. ~ "- "- !E c; 0 ;; "' l!! 0 0 0 0 0 0 "' 0 0 c:i 0. .0 0 0 "' 0 ~ o_ 0 or; ;;; ~ c: ]! c. ~ ~ iii c 0 0. "' 0 .0 g 0 ~ o. ;;;

0 ::l "' "' .0 "' > "' .. )( " 0 "' "' .0 > z ;;; ;;; ;;;

"' "' 0 ;;; "' "' 0 0 0:: E u w w 0 z "' ;;;

"' "' ;;;

"' ;;; 0 ;;; 0

Ezample;s, I JP Computer, wash OC X X Exam pis X Example

DC. or I VndoveiOped IBM, Dubuque, Iowa X Exompla X &amplo

J

s TPG Management V, L.P.

Fortwonh, TX

(owned through Blum Family Partners, L.P)

(See page 46 for non-publicly traded assets)

s TPG Asia Equity V, L.P.

Fort Worth, TX

(owned through Blum Family P~rtners, l.P)

(See page 46 for non-public:ly traded assets)

EXEMPTION TEST (soe instructions before msrlcinp boK): II you omined any asset beca!ISe it meets the thre&1)art test for exemption described in the instructions, please cheek box to the right. D ••• This category applies only if the asset is/Was held i~ependenay by the spouso or dependent child. If the asset lslwas either hetd by the fder or jointly held, use the other categories of velue. as appropriate.

Reportmg lndiV1duals N"601ftt 1l 'e P..bt~ !!lB. ·NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I

. . )Q(I-)0 ....

DIANNE FEINSTEIN - (lssets owned by Spouse through Blum Capital Partners T, L.P. (continuation)) 28

BLOCK A BLOCK B BLOCKC Identity ol Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources AI the dose of reporting period. If "None (or less than $201 )"is Checked, no other entry is needed in Block C for thai item. This

RepM the name, address (cily, slate and If None, or less than $1 ,001 . includes income received or accrued to the benefit of the individual. description) of each interest held by you. your Check the first column. spouse. or your dependent child (See p .3, CONTENTS OF REPORTS Part B of

Type of Income Amount of Income

Instructions) for the production of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 at the dose 8 1? of the reporting period; and/or 0 0

0 Actual (2) generated over $200 in ·unearned'"

0 0 " 0 0

0. 0 0 0 0 u. Other 8 0 Amount income during the reporting period. ;;; 0 0

0 0 8 g c N 0

0 0 8 ... 0 0 0

8 0 0 i .. 2 i Include the above report for each undertying " 8 0 8· 0 0 0 " 8 8 8 0 Required

asset , which is not incidental to the trade or .. 0 0 0 0 0 0 ..; :ll 8 .5 >- (Speci~ £ 0 0 0 8 5 0 0 8 "' 0. 0 ..; N ., 0 0 0 0 0 o. 0 ..; if

business. Publicly traded assets held by non- 0 0 N "' ;;; 0 "' ... 0 ., .. 2 " ., 8 0 0 0 0 ~ ;;; 0 "' 0

~ ..; "' ... ... 0 > .s Type) "' 0 ..; "' 8 8 "Other" ;;; 0 8 " .: .,

<i ..; public entity may be listed on Part lilA. ~ "' I 0 0 0 ·;;; >- iii ~ o. ;;; ... "' 0 Specified ... o. 0 0 ., (!) " " ;;; "' "' o. 0

~ 8 8 0 0 0 8 " " ~ 0 0 ..; 0 8 0 0 ;;; 8 o · :ll " ., g ~ ~ ~ 0 0 0 0 0 0 ;;; 8 "' .. 0 0 0 0 8 0 .. i!! Q.

~ 0 0 8 ~ ~ " c ~ ~ .. ~ ~ " o. ..; 0 0 "' 0 0. ..; ·s;

~ ·a 0 o. "' 0 ..; g o.

0 ;;; ;;; "' ;;; N "' ;;; ..; N i5 .. .. a 0 N ;;; <i ..; ;;; ;;; z ... ... "' 0 "' ... 0 a: (,) w w z "' ... "' "' "' 0 0

Example:S, I JP Computer, Wash DC X X Example X Example

oc. or I Uf'ldovelop«Jiand, Dubuque, IOwa X Example X &ample

J

s TPG Associates Ill, LP.

Fort Worth, TX X X

s TPG LAF Equity Partners, L.P.

Fort Worth, TX X X

s LatAm GP, LP.

Fort Worth, TX X X

s Tarrant Venture Partners, LP.

Fort Worth, TX X X

EXEMPTION TEST (sH ;nstrvctians before marfdng box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please cheek box to the right D · ·· This category applies only if the asset islwas held independently by the spouse or dependent child. If the asset lslwas either held by the filer or jointly held. use the other categories of value, as apl)ropriate.

.. ' .. iflllifero(lj~'Rj'.dJIB. NON-PUBLICLYTRADEDASSETS~ND UNEARNED INCOME s_OURC?ES Page Number

DIANNE FEI · (Assets owned by Spouse through Blum Cap1tal Partners T, L.P. (contmuat1on)) 29


Assets and Unearned Income Sources AI the dose of reporting period. If 'None (or tess than $201)' is Checked. no other entry is needed In Block C for that item. This

Report the name. address (city, state and If None, or less than $1.001 , includes income received or accrued to the benefit of the individual. description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p .3, Type of lncoma Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 at the dose 0 "' of the reporting period; and/or 0 0

0 8 c: 0 Actual

(2) generated over $200 in ' unearned' 8 :> Other 0 o_ 0 8 0 LL 0 0 Amount

income during the reporting period. ;;; 0 0 0 0 8 N 0 g 0 0 0 0 c: .. "' 0 0

Include the above report for each undertying c: 8 0 0 ! 0 0 0 .. 0 0 I 0 8 0 0 0 .,; 0

~ ~ :; 0 8 0 Requined asset, which is not incidental to the trade or

.. 0 8 0 0 0 "' 8 (Speci~ 0 0 0 0 .s 8 0 "' 0

o_ 0 .,; N "' 1;; .s 0 0 8 0 0 o_ 8 .,;

8 if business. Publicly traded assets held by non- 0 0 N "' ;;; g "' "' 0 .. .. "' .. 0 5l 0 0 0 ;;; "' ~ .,; "' ;;; "' "' 8 c: > 2 .5 Type) .. 8_ 0 .,;

"' ;;; 8 0 "Other" public entity may be listed on Part iliA. .!!! ;;; "' I 0 8

0 ... E. .... iii .!!! ..; .,; ;;; "' 0 0 Specified o_ 0 0 .. (!) "' "' ;;; "' "' 0

o_ 0

£. 8 8 0 8 0 0 "' -g ! .!!! ~ £. 0 ~ 0 .,;

0 0 0 ;;; g 8 8 "' .. .. i a. !E 0 0 0 0 ;;; 8 "' " 0 0 g 0 I!! .. 0 0 c: o_ .,; 0 0 5l ~ o_ 0 .,; ~ ~ " .!!! f! f! 'jij " 0 o_ "' 0 ';! 5l 0 li; o_ li; 0 ;;; ;;; "' ;;; ~ ;;; .,; N .. .. >< >< a 0 N ;;; ..; .,; ;;; > ;;; > z "' "' 0 "' "' 0 0 0:: E. 0 w w z "' "' "' "' "' 0 0

Example:S, I JP Computer, Wash DC X X Example X &ample

oc. or I Vnd8velop0d land, OuiWqw. kMa X &ample X t;ample

J

s TPG Equity IV, L.P.

Fort Worth, TX {see Blum Family Partners L.P. page 46)

s RCBA LAF Equity Partners, L.L.C.

San Francisco, CA X X

s Blum G.A. Ill Equity Partners, • L.L.C.

San Francisco, CA

(See page 43 for no~poblidy baded assets)

EXEMPTION TEST (see instnJClions before mar1dng box): If you omitted any asset because it meets U'le three-part test for exemption described in tho instructions. please cheek box to the right 0 · ·~This category appl~s only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or join~y held, use the other categories of value, as appropriate.

~ .,-' f.l"',...,~~

~~:~:~~;·;~~;;E~; r PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES PagaNumber

(Assets owned by Spouse through Blum Capital Partners T, L.P. (continuation)) 30

BLOCK A BLOCK B BLOCKC Identity of Non-Publicly Traded Valuation of Assets Typo and Amount of Income

Assets and Unearned Income Sources AI the dose of reporting period. If "None (or less than $201 )" is Checl<ed, no other entry is needed in Blade C for that item. This

Report the name, address (city, state and If None. or less than $1 ,001, indudes income received or accrued to the benefit of the individual. desaiptlon) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment In a~ trade or business which:

(1) had a value exceeding $1,000 at the dose 0 " of the reporting period; and/or

~ 0 8 c: Actual

(2) generated over $200 In •unearned" 8 0 " Other 0 0

8 0 ci u. 0 0 Amount income during the reporting period. ;;; 0 0

0 g 0 c N 0 0

0 0 g 0

2 "' 0 0 ci Include the above report for each undertying c: 0 8 8 8 g b 0 ci 0

.. c: 8 0 ci i 0 Required

asset. which is not incidental to the trade or .. 0 0 ci ci 0 .,; "' 8 ~ f- 5 8 0 0 0 0 0 £ 0 0 ci "' :;:: o, 0 .,; N "' (Spec!~ 8 0 0 ci q 0 o6 8 if

business. Publicly traded assets held by non- 0 ci 0 N ;;; 0 "' "' ci ~ ~ 2 " "' 0 0 0 g 0 g .. ~ .,; "' "' "' ci .o:; Type) "' 0 o6 ;;; g "Other' public entity may be listed on Part lttA. .ll!

"' "' ;;; I 0 0 8 8 8. ... £ f- iii .!! ~ ..,; o6 ;;; "'

;;; 0 Specified

8 0 0 q 0 "' C> " " ., ;;; "' "' o_ 0

~ 0 ci " 0 0 0 8 ;;; g ci "' c u; !!! !!! ~ s. 8 0 ;;; ci

.,; 0 0 0 0 "' .. ~ c. c. 0 0 0 0 "' .. 0 0 ci ci ;;; 8 0 ;;; :2 e

~ 8 ;;; .. 0

0 ci ;;; 0 ;;; c: q o6 ci 0 "' 0 q o6 c: !!! c. c: o_ "' 0 .,; ci 0 q 0 ;;; ;;; "' ;;; N "' > ;;; o6 N > .2: .. .. )( " 0 N ;;; ..,; .,; ;;; "' ;;; > ;;; > z "' .. .. 0 "' "' 0 0 II: £ (.) w w 0 z "' "' .. .. 0 0

Eurnpto:s. l JP Compulcr. waSh DC X X Essmp/e X &ample

oc. or I UndeYeloped lsrtd. DuW:lue. IOWa X &ample X &am fie

J

s RCBA Newbridge LAF, L.L.C.


s Blum G.A., L.L.C.


s Blum G.C., L.P.

San Francisco. CA

(See page 39 for non-publicly traded assets}

EXEMPTION TEST (see instructions boforu msr1cing box): If you omitted any asset because It meets tho three-part test for exemption described in the instructions, ptoasa cheek box to the right D ... This category applies only if the asset Is/Was held independentSy by tho spouse or dependent child. If the asset is/was either held by the fder or jointly hetd, use the other categories of value, as appropriate.

'

Keporuno"'"ov"""" IMH lJ t)1SB 8 !'W;!JIB .• NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Ntlmber

DIANNE FEI T ·- (Assets owned by Spouse through Richard C. Blum & Associates, Inc.) 31

BLOCK A BLOCK B BLOCK C Identity of Non-Publicly Traded Valuat ion of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. lf"None (or less than $201 )" is Checl<ed, no other entry is needed in Block C for that item. This

Report the name. address (city, state and If None, or less than $1,001 , includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3. Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of Income or investment in a ~trade or business which:

(1} had a value exceeding $1,000 at the close 0 of the reporting period: and/or

0 0 0 8 0

A ctual (2} generated over $200 In ·unearned" 0. 0 0 8 0 Other 0 0 0 Amount

income during the reporting period. ;;; 0 0 0 0 8 "' 0 0

0 8 0 0 0

~ "' 0 0 8 Include the above report for each underlying c: 0 0 £ 0 0 0 c: 0 £ 8 0 0 0 0 0 .,; 0 8 0 0 Required asset, which is not incidental to the trade or .. 8 0 0 0 o_ 0 .,; "' 8 ...

(Speci~ .. 8 0 0 § .,; 0

£ 0 0 "' 0 0 "' "' £ 0 0 0 8 o _ 8 If business. Publidy traded assets he ld by non- 0 0 0 "' "' ;;; 0 "' "' 0

~ ~~ ~ " "' 8 0 0 0 g ;;; "' ~ .,; "' "' "' 8 .!: Type) "' 0 .,; 8 0 "Other" public entity may be listed on Part lilA. ;;; ;:; 8 "' ...; .,; ;;; .!! ;;; .,. I ;; 8 iii .!! 0. ;;; "' ;; 8 Specified

8 8 0. 0 0 "' " " ;;; "' "' o. £. ;; 0 0 -g £. ;:; g .,; 8 8 ;;; 8 0 ~ .!! " ;; 8. ;;; ;:; 0 8 .,

~ " !E ;; ;; ;:; 0. "' ., 0 g 0 0 a:>! ., 0 0 c: o. .,; 0 0 f5

I;; 0. 0 .,; ~ )2 c !!! :>! .. c: ;:; 0. "' 0 ':i 0 ~ I;; o_ I;;

0 ;;; ;;; "' ;;; "' > ;;; .,; "' .2: ., ~ill X 0 0 "' ;;; ...; .,; "' > ;;; > z "' "' "' 0 "' "' 0 0 a: .5 w z "' "' "' "' "' "' 0 0

Examplo:S, I JP Computer. WaSh DC X X &am~e X Example

DC. or I Undeveloped land, Dut~Uque. lew a X ... .,.,.. X Example

J

s Richard C. Blum & Associates, Inc.

San Francisco. CA

s BBA Foresight II, L.L.C.


s FWHY-881nvestors, L.P.

Fort Worth, TX X X

s Blum GA IV. L.P.

San Francisco. CA X X X X X

EXEMPTION TEST (see instructions before ma'*ing box): If you omitted any asset because it meets the three-part test for exemption deseribed in the instructions, P'ease cheek box to the right D ... This category appties only if the asset is/was hcld independently by tho spouse or dependent child. If the asset tslwas either held by the fier or jointly held, use the other categories af value, as appropriate.

M""'"""""'"oa"a"N;i'~ . !7' ~-~~ · @~~jj.!!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCON!E SOURCES Page Number

DIANNE FEINS ~,$:~'"" fAssets owned by Spouse through Richard C. Blum & Associates, Inc. (continuation)) 32

BLOCK A BLOCK B BLOCKC Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unoarned Income Sources AI the d ose of reporting period. If "None (or less than 5201)" is Checked. no other entry is needed in Blod< C lor that item. This

Report the name. address (city. state and If None, or less than $1,001, includes income received or accrued to the benefit of the individual. description) of each Interest held by you, your Check the first column. spouse. or your dependent child (See p.3. Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a ~trade or business which:

(1) had a value exceeding $1,000 at the d ose 0 '0 of the reporting period; and/or

0 8 0 c: 0 Actual

(2) generated over $200 in "unearned" 8 0 " Other 0 0. 8 0 0 u. 8 0 Amount income during the reporting period. ;; 0 0

0 0 0 N 0

0 0 8 0 c: "iii "' 0 0 Include the above report for each underlying 8 0 0 ! 8 0 "' 8 g i 0 :ii 0 8 0 0 .0 0

~ ~ c: 8 0 Required

asset. which Is not incidental to the trade or 0 0 0 g 0 "' 8 (Speci~ .. 0 0 0 8 s 8 0 0 "'

o_ 0 .0 N .,. "iii s 0 8 0 0 0 o_ 0 .0 if

business. Publicly traded assets he ld by non- 0 ~ N "' ;; o. .... .,. 0 "' !I '0

"' 0 ~ 0 0 0 ;; 0 "' 0 ~ .0 "'

.,. .... 0 8 c: 2 .5 Type) "' 8 . 0 .0 "' ;;; 0 g "O ther"

public entity may be listed on Part lilA. .!!! "' ., I 0 8 0 0 'iii .E 1- iii .!!! <'i .0 ;; "' 0 0 Specified .,. o. 0 0 "' (!) '0

~ "' "' o. 0

.2. 0 8 0 0 0 '0 '0 .2. "' 0 0. .0 0 0 ;; 0 g "' c: .!!! "' 8 0 ;;; 0 0 g 0 "' "' .. :§ a. 5: 0 1ii 0 0 0 "' "' 0 0. 0 0 iii 8_ 0 iii '0

" ~ ·a 1! 1! (ij "' 0

0 0 ~

0 iii c: o. ':! ~ 0 "' 0 .0 ·s: "' c: o . 0 .0 0 ~

o. 0 ;; ;; N "' > ;; .0 N >

i5 "' :5 "' >< >< " 0 N ;; <'i .0 "' ;; > z "' "' "' ... 0 "' "' 0 a: u w w 0 z "' .... "' "' "' "' 0 0

Eaampto:S , I JP Compvter. waSh DC X X Example X Example

DC. or l Ufdeveloped land. llulwque. Iowa X Example X Examp/6

J

s Blum Capital Partners, L.P.


s Blum Capital Partners T, L.P.


EXEMPTION TEST (see instructions before marldng box): If you omitted any asset because it meets the three.paft test for exemption described in the iflstructions. p ease check box to the right 0 ... This categOr)' applies only if the asset islwas hetd independently by the spouse or dependent child. If the asset is/was either held by the flier or jointly held. use tho other categories of value, as appropriate.

- " ~ ... Reponing Individual's Namel;.J I:.J .I:.J 1:,1 I:.J L"' w PART iiiB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Strategic GP II, L.L.C.) 33

BLOCK A BLOCKS BLOCKC Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the d ose of reporting period. If "None (or less lhan $201)" is Checked, no other entry is needed in Block C for that ilem. This

Report lhe name. address (cily, slate and If None, or less than $1 ,001, includes Income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.J, Type of Income Amount of Income CONTENTS OF REPORTS Part 8 of Instructions) for the production of Income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 at the dose 0 '0 of the reporting period; and/or 0 8 0 c:

0 Actual (2) generated over $200 in "unearned" 8 0 ~ 0 o_ 0 0 0 u. Other 8

0 Amount income during the repor1ing period. ;;; 0 0 8_ 0 0 8 <: N 0

0 ~ ~ "' 0 0 g Include the above report for each underlying c 8 0 0 0 I 0 0 .. c: g I 8 0 0 0 0 0

~ 8 0 0 Required asset. which is not incidental to the trade or Ill 0 0 0 0 · 0 "' ::! 0 ...

(Speci~ Ill 0 0 8 0

5 0 0 0 "' 0 q 0 .,; N 0 ;;; 5 0 0 0 0 0 o_ .,;

8 if business. Pubffdy traded assets held by non- 0 0 0 :;: "' ;;; q "' "' 0 "' ~ '0 0 0 8 o. 0 0 ;;; g "' ~ .,; "' ;;; "' 0 0 8 c: 2 c: Type) ill 0 "' "' "' ;;; 0 "Other" public entily may be fisted on Part filA. !l1 ;;; "' I 0 0 0 ~

E ... in !l1 o_ N .,; ;;; "' 0 8 Specified 0

q 0 0 "' '0 '0 ;;; "' "' o_ .8. 0 8 0 0 0 '0 '0 .8. 8 0 .,; 0 0 ;;; 0 g "' " g g .. 8 0 ;;; g 0 0 0 0 "' .. ~ g a. a. 'E 0 0 0 "' .. 0 0 0 g 0 Iii 0 0

~ '0 <: 8 8 n; " 0

0 0 Iii c: o_ .,; 0 ~ 0 q 0 .,; ·s: g ·a c: o_ "' 0 .,; 0 ~ ~ o_ 0 ;;; ;;; "' N "'

> ;;; .,; N 0 .. "' )( )( a 0 N ;;; N .,; ;;; "' ;;; > z "' "' "' "' 0 "' "' 0 a: E u w w z "' "' "' "' "' 0 0

EJIImpto:s . I JP Cotnputor, wash DC X X E.xsmpo X Example'

DC, or I Undevelopfld land, Dubuquo, Iowa X &sm{h X & s m{WJ

J

s Blum Strategic GP II, l.L.C. San Francisco, CA

(27 .07% owned by Richard C. Blum)

(.01% of Blum Stsategic Partners II, L.P. owned by Blum Capital Partners, L.P.)

(Blum Strategic GP IJ, l.L.C. owns 1.89% of Blum Strategic Partners, II, L.P .)

(Blum Strategic GP II, LLC. owns 1.0% of Blum Strategic Partners II GmbH & Co.)

s Current Media, L.L.C.


s BCP AIV, Inc.


EXEMPTION TEST {sso instructions befola marking box): If you omitted any asset bec:ause it meets the thi'OfHI&rt test for exemption described in the instructions, please check box to the right D ·~·This category applies only if the asset is/was held independently by the spouse o' dependent child. If the asset is/Was either held by the fder or joinUy held, use the other categories of value, as appropriate.

.~-:.-- .--.. ....... ~ .. _, ·-Reporting lndiviclual's Name

r PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES . ... ..._..

DIANNE FErNSTEIN (Assets owned by Spouse through Blum Strategic Equity II, L.L.C.) 34


Assets and Unearned Income Sources AI the dose of reporting period. If "None (or less than $201)" is Checked. no other entry is needed in Blocl< C for that item. This

Report the name, address (city, state and If None, or less than $1.001. indudes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse. or your dependent child (See p.3. Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 at the dose 0 -g of the reporting period; and/or

8. 0 8 0 Actual (2) generated over $200 in Munearned•

0 " Other 0 0

0 0 0 0 u. 0 0 Amount Income during the reporting period. ;;; 0 0

0 0 0 0 c N 8 0

0 0 8 0 0 .. 0

Include the above repor1 for each undertying c: 0 0 8 0 ! 0 ci .. 2 c: 8 ci ! 8 8 0 0 0 ..; 0 s 0 Required

asset. ......tlich is not Incidental to the trade or .. 0 8 ci ci 8 "' 8 .... .. 0 0 0 8_ 0 0 £ 8 ci "' 0

q ..; N "' "' (Specify £ 0 0 0 0 8 0 ..; 0 if business. Publidy traded assets held by non- ci 0 N "' ;;; g "' "' ci "'

.. 2 ~ "' 0 0 8 0 ci ;;; 0 .. 0

ill ..; "' ;;; "' "' 0 0 c: > Type) "' 8_ "' ..; "' ;;; 0 8 ' Other" public entity may be listed on Part iliA. !!1 ;;; "' I 0 0 0 ... = .... iii !!1 <'< ..; ;;; ..

~ 0 Specified 8

q 0 g "' ~ , , ;;; .. "' 0

0 0 0 0 0 '0 il e 8 0 .2- 0 8 ;;; 8 8 c: ;;; ~ ~ 8 0 ;;; ci ..;

0 0 0 0 .. .. g a. !E 0 0 0 .. ~

0 ci ci ci ;;; 0 ;;; '0 c I!! ·a § 2! ;;; .. 0 0 ci ;;; 0 ;;; o . ~ ci 0 "' 0 o. 0 ..; ·;;;

~ c: o . "' 0 ..; g 0 q

0 "' N "' > ..; N > .. .. )( " 0 N <'< ..; > > z .. ... .. ;;; .. ... 0 ;;; "' .. 0 i5 0:: u w w 0 z "'

;;; .. .. ;;; "'

;;; 0 ;;; 0

Eumple:S, I JP Ccmputer, wash DC X X &am,:ie X ExampNJ

oc. or I U~IOped land, Dubuque, towa X &ample X Examplo

J

s Blum Strategic Equity II, L.L.C.

San Francisco, CA

(8.85% owned by RiChard C. Blum)

(Blum Strategic: Equity II, Ll.C. owns 1.77% of Blum Strategic Partners, II. L.P .)

s Current Media, L.L.C.


EXEMPTION TEST (see lnstrudons before msrldng box): If you omitted any asset bec:ause It meets the lt1ree-part tesl for elCemption described in the instructions. pleaso Cheek box to the right D ••• This category applies only if the asset is/Was held independently by the spouse cr dependent child, It tho assetlsi'Was either held by the fder or jotntty held. use the other categories of value, as appropriate.

...-.- ........ ~· r. • .·~ •. -, Reporting Individual's N:a..,..,

I PAiUIIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Investment Partners II, Inc.) 35


Assets and Unearned Income Sources At the dose of reporting period. If "None (or tess than $201 )" is Checked, no other entry is needec in Block C for that item. This

Report the name, address (city, state and If None. or tess than $1,001 , includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse. or your dependent child (See p.J. CONTENTS OF REPORTS Part B of


Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 at the close - 8 , of the reporting penod; and/or 0 0 " - Actual

(2) generated over $200 in ~unearned• 0 0 0 " 0 g ~ 8 0 0 ci u. Other 0 Amount

income during the reporting period. ;;; 0 0 0 ci 0 E N 0 0

0 ci 0 0

~ "' 0 0 ci Include the above report for each undertying " 0 8 0 8 ci i 0 0 ci " " 0 ci i 0 0 0 0 Required asset, which is not incidental to the trade or .. 0 0 0 ci ci 0 0 0 .,;

"' 0 ~ s 0 0 0 0 0 o. 0 = 0 0 ci "' 0 ~ 8 .,;

~ "' 0 (Speci~ 8 8 8 0 ci ~ 0 "' 0 if business. Publicly traded assets held by non- .. 0 ci 0 N "' ;;; "' ci :!! " 2 '0 .. 0 ci ~ ;;; 0 "' 0

.,; "' "' "' ci 0 ~ .~ Type) 0 "' 0 .,; "' ci ci "Other' public entity may be listed on Part IliA.

.. "'

.,. I 0 0 0 ·a; ... iii ~ ~ "' .,; "' "' 0 0 ~ ;;; 8 8 ;;; 8 Specified o_ 0 ci .. (!) , , ;;; "' "' ~ 0

E. 8 8 0 g , '0 0 .,; 0 0 0 0 ;;; ci ci ::l " ... ]i ~ ~ ~ ~

0 0 0 0 0 0 ;;; ci "' " 0 0 ci ci ci 0 0 0 " I!! a. " 0 0 ci 0 :;; ,

~ ~ :;; " o. .,; ci 0 :;J 0 o_ 0 .,; ~ ·;; E ~

·a iii " 0 o_ "' 0 .,; ci 0 o_ ~ 0 "' "' > .,; N " ~ " 0 N "' .,; "' > z .,. ;;; "' ;;;

"' "' 0 ;;; "' "' 0 j5 a: .E w w 0 z "' ;;; "' "' ;;;

"' ;;; 0 ;;; 0

Eaampto:s. I JP Q)mpvter, WaSil DC X X Example X Example

DC, or I Undeveloped land, Oubuque, Iowa X &..,pie X &ample

J

s Blum Family Partners, L.P.

San Francisco, CA

(See pages 45-.56 for non-publicly traded assets)

s Lucky Bluff, LLC


EXEMPTION TEST (see instructions before marl<ing box): If you omitted any asset because it meets the thfe&.part test for exemption described in the instructions. please check box to the right D ... This eategmy applies only if the asset is/Was held independendy by the spouse or dependent child. If the asset islwas either held by the fder or jointly held, use the other categories of value. as appropriate.

- ·- - " " ~ ~

Repo.O"g Individual's Name~"""'"' "'r Q 'C PART Ill B. NON-PUBLICLy TRADED ASSETS AND UNEARNED INCOME SOURCES Pege Number

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Strategic GP IV, L.L.C.) - 36


Assets and Unearned Income Sources AI the dose of reporting period. If "None (or less than $201)" is Checl<ed, no other entry Is needed in Bled< C for that item. This

RepM the name, address (city, state and If None, or less than $1 ,001, indudes income received or acc:nJed to the benefit of the individual. descrfption) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment In a non-oublic trade or business which:

(1) had a value exceeding $1.000 at the 0 -g dose of the reporting period; and/or

0 0 0 0

0 Actual

{2) generated over $200 in "unearned• 0 0 " ~ 0 8 0, ci lL Other 0 0 0 Amount income during the reporting period. 0 0 8 8 8 N 0 0

"' 0 ci " ~ "' 0 0 8 Include the above report for each under1ying " 0 8 0 ci i 0 0 ci .,

" g i 8 0 0 0 .0 8 ~ 8 8 0 Required asset. which is not incidental to the trade or

., 8 0 ci ci 0 "' >--

., 0 0 0 = 0 ci "' 0 0, 0 .0 "' "' 0

~ (Specify = 0 8 8 ~- ci o_ 0 .0 0 if

business. Publicly traded assets held by non. 0 ci 0 N "' ;;; 0 "' "' g "' ~ ~ 0 0 0 ;;; 0 "' 0 ~ -;I "' "' "' ci Type) ~ "' 0 .n ci ci "Other"

public ent ity may be listed on Part lilA. ;;; ;; " E ~ <'i :li ;;; ~ "' I 0 ;; ;; 0 ... >-- iii ~ ;;; "' 0 ;; 0

Specified "' o_ 0 g "' C) '0 '0 ;;; .,.

0, 0

.2. ;; ;; ;; 0 0 ci '0 '0 .2. 8 0 .0 ;; ;; ;; 0 0 0 ;;; ci ci 0 "' " u; :!§ .2! .2! ., ;; ;; ;;; 6 ... ., c. c. !E ;; ;; ;;

~ 0 0 ci ci ci 8_ g 0

~ '0 !!! IS ~ :l? 0 0 ci :;; ~ o_ .0 ci 0 .., 0 ~ .n .,. " ~ ·a. ;;; ;; o_ "' 0 .0 ci 0 ~ 0 ;;; ;;; "' ;;; "' "' ;;; .n "' 0

., c3 ill " 0 N ;;; <'i ::i ;;; "' ;;; > ;;; z "' "' "' 0 ... "' 0 0: w 0 z .,.

"' "' 0 0

Eaunpte:s. I JF' Computet. waSh DC • • &ample X ExamJie OC,

or I Undeveloped 18nd. Dubuque. ~a X ,._ • ,._

J

s Blum Strategic GP IV, L.L.C.

San Francisco, CA


Blum Strategic Partners IV, L.P.

(.20%owned by Blum Sbatet~ic GP IV, Ll.C.) (0.009% owned by Blum Capital Partners, L.P.)

s Payless Holdings LLC

Preferred Stocl< X X

s Xtralis Group Holdings Ltd.

Preferred Stocl< X X

EXEMPTION TEST (see instructions before marking box): If you omifted eny asset because it meets tho three-part test for exemption described in the instn.lctions, please check box to the righl D ... This category applies only if the auet is/was held independently by the spouse or dependent ehlld. If the asset islwa11 oithor held by the fi .. r or jointly held, use the othor eatogorin of vafue, as appropriate.

:.epottng '""""'"•' • i~fi'N' Q 0 r 0 ~ !i~·-IJJB .. ,~NON-PUBLICL Y T~PED ASSETS AND IJNEARNED INCOME SOURCES Page-

DIANNE FEI E (Assets owned by Spouse through Blum Strategic Equity IV, L.L.C.) 37


Assets and Unearned Income Sources At the dose of reporting period. If "None (or less than $201)" is Checked, no other entry Is needed In Block C for that item. This

Report the name, address (city, state and If None. or less than $1.001 , includes income received or accrued to the benefit of the indivkfual. description} of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of lnstl'\lctions) for the production of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 at the 8 "" dose of the reporting period; and/or

~ 0 Actual

(2) generated over $200 in ·unearned" 0 0 0 5 Other 0

0

8 8 0 0 u. 0 0 Amount income during the reporting period. ;;; 0 0 8 N 0 0

0 g 0 0 8 ~ ;;; "' 0 0 0 Include the above report for each undertying ~ 8 8 8 0 0 i 8 0 0 " 2 ~ 0 8 0 i 0

Required asset. which is not incidental to the trade or

.. 0 0 g 0 8

.,; <I) 0 ~ 1- .. 0 8 0 8 0

8 5 0 0 0 <I) q .,; N "' 0 (Speci?' 5 0 0 0 0 o_ .,; if

business. Pubtidy traded assets held by non- 0 0 0 N <I) ;;; 0 "' "' 0 "' !i 2 "" :z 0 :1l 0 0 0 0 ;;; 0 "' 0 :z ':i <I) ;;; "' "' ci 0 0 c .s Typo) 8_ o • .,; <I) ;;; 0 0 "Other" public entity may be listed on Part IliA. .$ "' I 0 0 0 0 "(ij £ t- iD .$ r-i <I) ;;; "' 0 0 0

Specified "' 0 8 o _ 0 0 .. (!) "" ! ;;; "' "' 8

o . 0 0 0 0 "" "" £. 0 ,£. 0 0 ;;; 0 8 8 <I)

~ -;;; .!!! " 0 8 ;;; 0 .,;

8_ 0 0 "' " ~ a. !.;: 0 0 0 "' "' 0 0 0 g 0 ~ 8_ 0

~ "" " ~ 8 ~ "iii " 0

0 0 ~

0

~ "' .,; 0 0 0 0 .,- ·s: .!!! a. <: q <I) 0 ':i 0 ~ o_

0 ;;; "' ;;; N <I) ;;; "" N i5 " .. )( " 0 N ;;; r-i .,; <I) ;;; z "' "' "' .,. 0 "' "' 0 a: £ (.) w w 0 z "'

.,. "' "' "' "' 0 0

e.a~ple~' I JP Computer, waSh DC X X "'"'"'"" X Example

DC. or I UndttveJopod lsnd. Dubuque, Iowa X ExampltJ X Example

J

s Blum Strategic Equity IV, L.LC.

San Francisco. CA

(10 .28% owned by Rtchard C. Blum) (.02% owned by Blum Capital Partners. l.P.)

Blum Strategic Partners IV, LP.

(.1 1% owned by Blum Strategic Equity IV, L.l.C.)


Preferred Stock X X

s Xtralis Group Holdings Ltd

Preferred Stock X X

EXEMPTION TEST (see imtructlons before msrlOng box): H you omitted any asset because it meets the thtee-1)3tt test for exemption described in the instructions, pease cheek box to the right

D ••• This cateaorv aDDiies only if the asset lslwas held independently by the spouse or dependent child. If the asset is/was either hetd by the filer or Jointly herd use the other cateQories of value as appraprtate.

R lnd ld I N age \llm:Jer eportono ,. ua • J'El~13 !;19,~1 Q Q!!Ai!!ii!1B. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I 38 DIANNE FEI TE N (Assets owned by .Spouse through Blum .Strategic GP V, L.L.C.)


Assets and Unearned Income Sources At the dose of reporting period. If "None (or less than S201)" is Ched<ed. no other entry Is needed in Block C for that item. This

Report the name, address (city, state and If None, or less than $1,001 , indudes income received or accrued to the benefit of the individuaL description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p.3, CONTENTS OF REPORTS Part B of


Instructions) for. the production of income or investment in a ~trade or business wllich:

(1) had a value exceeding $1,000 at the 0 ,

close of the reporting period; and/or ;; 0 8 8 § 8 Actual

(2} generated over $200 in "unearned· o . 0 0 0 0 u. Other ;; 0 Amount Income during the reporting period. ;;; 0 0 ci 8 ;: "' 0 0

8 8 8 0 0 0 2 "' 8 0 i

0 Include the above report for each underlying c 0 0 0 0 i 0 0 0 8 " c 0 0 0

Required asset, which is not incidental to the trade or ~ 8 8 0 g g 0

8 0

~ ll! ~ ... £ 0 8 8· 8_ 0 0

8 0 o_ .,; o. ~

(Specify 8 8 0 0 .,; if business. Publicly traded assets held by non· 0 g 0 "' "' ;;; 0 .. .. 0 "' ~ ~ 8

0 0 ;;; 0 "' 0 :l! .,; ;;; "' "' 0 0 0 c Type) :l! "' 0 .,; "' ;;; 0 0 "Other"

public entity may be listed on Part lilA. ~ ;;; "' I 0 ;; 0 0 ·;;; .E ... iii Jl! 0 ...; .,; ;;; "' 0 ;; 0 Specified 0. 0 0 "' "' "' 0. 0

8 0 0 0 0 ci , Cl , ]l " ;;; 0 0 .,; £. ;; 0 ;;; 0 g <0 c u; g

~ £. 0 ;; ;;; 0 0 0 0 8 "' " Jii a. a. 0 ;; 0 0 "' .. 0 0 0 ci g 0 !!! ~ 0 0 0 0

c 0. .,; 0 :;; 0. 0 .,; :;; , ;: ·a 8 8 <ii ;; 0. "' 0 .,; 0 ~ o. :;; ;! "' ·;; g 0

0 ;;; ;;; "' "' "' > ;;; .,; "' > 0 .. .. X >< ::0 0

"' ;;; ...; .,; ;;; <0 ;;; ;;; > z "' "' "' "' 0 .. "' 0 a:: .E <.) w w 0 z "' "' .. "' 0 0

EJr:am~a:S, ( JP ComfNfer. Mr'ltsh DC X • Ex•- X Exemp/tJ

oc. or I VndtJveloped land. DutxiQue. Iowa • Exompto • Exsm;M

J

s Blum Strategic GP V, L.L.C.

San Francisco. CA


Blum Strategic Partners V, L.L.C. (2.0% owned by Blum Strategic GP V, L.P.


Preferred Stock X X

s Xtralls Group Holdings Ltd

Preferred Stock X X

EXEMPTION TEST (see instnlctions before marldng box): If you omitted any asset boeause it meeta the three-part test for exemption described in the instructions, pfease chock box to the right D ooo This category applies only if the asset is/was held independently by the spouso or dependent child. If the asset Is/was ellhet held by the mer or jointty held. use the other categories of valua, as appropriate.

' l.A\~1"11---" - ~"' ""~n.

;;:;;;;~-;;E~N~ ~ ·~ r PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES PegeNvmber

(Assets owned by Spouse through Blum G.C., L.P.) 39

BLOCK A BLOCKS BLOCK C Identity of Non-Publicly Traded Va1uatlon of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. tf ' None (or less than $201)' is Cheeked. no other entry Is needed in Block C for lhal item. This

Report the name, address (city. state and If None, or less than $1 ,001, Includes income received or accrued to the benefit of the individuaL description) of each interest held by you, your Cheek the firsl column. spouse, or your dependent child (See p.3. Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-oublic trade or business which:

(1) had a value exceeding $1,000 at the close 0 " of the reporting period; and/or 0 0

0 0 c: Actual (2) generated over $200 in ' unearned' 0 0 ::> 0

0 0. 8 0 0 0 u. Other 8 0 Amount

income during the reporting period. ;;; 0 0 0 g 0 c "' 0

0 g 0 .. "' 0 0 Include the above report for each undertying 8 0 0 0 l 0 " 8 !:, 0 c: 8 o_ 0 g 8 ~

c: 8 g Required "' 0 o_ 0 8. 0 0 .0 ~ "' 0 0 0 asset. which Is not incidenta l to the trade or £ 0 0 0 :il 0 0 .0 "' "' 0 (Specify £ 0 0 0 0 o_ 0 .0 8 if

business. Publidy traded assets held by non- ~ 0 0 ~ "' "' ;;; g "' "' g .. ., 2 " .. 0 0 0 0. 0 0 ;;; o_ "' .0 "' "' "' > .s Type) 8. "' o_

"' "' 0 g ' Other" public entity may be listed on Part lilA. "' "' I c; 0 .S E >- iii .. <'i "' "'

;;; ~

"' 0 0 "' ~ 0 0 Specified 0. 0 0 .. " " "' "' "' o_ 0 0 0 0 0 0 0 "

(!) ~ .2. ;;; 0 0 .2. 8 0 ;;; "' c .. ~ ~ 0 0 .0

0 0 0 0 g 0 8 "' " ]! a. D. ~ 0 0 0 0 "' 0 "' ~ 0 § 0 0 (;; ~ ~ " c ~ i'l i'l Oi " 0 0 0 § ~

0 (;; q .0 g "' :il

o _ .,; ·s: ·a c: o _ "' 0 .0 0 0. 0 ;;; ;;; "' > ;;; "' "' 0

., "' )( )( ::> 0

"' ;;; <'i .0 ;;; "' ;;; > z "' "' "' "' 0 "' "' 0 0:: E u w w 0 z "' "' "' "' "' 0 0

En rrt9le:s. I JP Computer. WaSh DC X X &amplo X Exsm,e OC,

or I Undeveloped land, Dlibuque, IOwa X Exemi*J X Elt.amp/e J

s Blum G.C., L.P.

San Francisco. CA

(99% owned by Blum Capital Partners T, l.P.)

( 1% owned by Blum Investment Partners. Inc.)

EXEMPTION TEST (see instructions before marlcing box): If you omitted any asset because it meets the thtfl&.9&r1 test for exemption described in the inst:M:tions, please check box to the right D ••• This category applies only if the asset islwas held independently by the spouse or d ependent ctlild. If the asset islwas either held by tho flier or jointty held, use the other categories al value, as appropriate.

·· ·. • ·" ' ' ' J'~nnno(J~~~IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES J Pave""""""-DIANNE FEI - -J (Assets owned by Spouse through Blum GA Ill, L.L.C.) 40


Assets and Uneamod Income Sources At the close of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name. address (city, state and If None. or less than $1,001 , includes income received or accrued to the benefit of the individuaL description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1 ,000 at the close 0 ..,

"" of the reporting period; and/or 0

0 0 c: 0

Actual (2) generated over $200 in •uneamed· 8 0 0 " Other 0 o. 8 0 ci u.. 0 0 Amount

income during the reporting period. ;;; 0 0 0 g 0 i: N 8 0

0 0 ci 0 "' 0 ci

Include the above report for each underlying " 8 8 g ! 0 0 ci Q) 2 " 0 ci i 0 8 8 0 "'

0

~ 0 0 Required .. 0 o· ci 0 "' ~ 0

~ 0 8. 0 0 asset, ~ich Is not incidental to the trade or £ 0 0 ci o . 0 "' N "' 8 1-(SpeC}~ 0 0 0 ci 0 "' if :(l 0 8 business. Publicly traded assets held by non- <I)

0 ci 0 "' ;;; 0 "' "' ci <I) ~ 2 '0 <I) 8 0 0 0 0 0 ;;; 0 "' <I) "' "' ;;; "' "' ci 8 8 " .5 Type) <I) "' 0 "' "' ;;; ci ci "Other"

public entity may be listed on Part lilA. .!!l ;;; "' I 0 8. 0 ... E 1- iii .!!l q r-i "' ;;; "' 0 8 8 Specified 0 q g <I)

(!) .., .., ;;; "' "' q ~ 0 0 0 ci .., ..,

8 "' 0 0 0 0 0 0 ;;; g ci 0 "' " ~ :§ .!!l .!!l ~ ~ 0 0 8 0 0 ;;; ci "' Q) o. 0 ci ci ci 0 0

Q) Q, 0. Q) o. 0 ci 0 iii iii ..,

i: 8 ~ <ii 0 ~ i;; " o. "' g 0 "' 0 q 0 "' ·s; J!! a. c: o. "' "' ci ~ q

0 "' "' > "' N > Q) .. X " 0 N r-i "' "' > z ;;; ;;; "' ;;; "' "' 0 ;;; "' "' 0 i5 a: E u w w 0 z "'

;;; "' "' ;;; "' "' 0 ;;; 0

EJ:ample:s. I JP Computttr, wash DC X X Exsmple X Exam~IJ

DC. or L Undevelof*l land. Dubuque, IOwa X Exsmple X &omple

J . s Blum GA Ill, L.L.C.

San Francisco, CA

(99% owned by Blum Capital Partners T, L.P.)

(1% ~ed by Blum Investment Partners. Inc.)

s Newbridge Asia Genpar Ill, L.P.

Fort Worth, TX X X

s Newbridge Advisors Ill, Inc.

Fort Worth, TX X X

EXEMPTION TEST (setJ ;~tructions befOtU marldng box): If yeu omitted any asset because it meets the th~rt tesl for exemption described in the Instructions. please check box to the right 0 ••• This category applies only if the asset is/Was held independenay by the spouse or dependent child. If the asset islwaa either held by the ftler or jointty held, use the oltler categories of value. as appropriate.

~ ,.., ~ · r' -- ~ "-"'--..

ReoorlinglnoividuarsNilffie:;;J"""'"'"' r""' ~ "PARTTIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES PageM.mbef

DIANNE FEINSTEIN (Assets owned by Spouse through Blum GA Ill Equity, L.L.C.) 41


Assets and Unearned Income Sources At the dose of reporting period. If 'None (or less lhan $201)' is Checked, no olher enlry is needed in Block C for thai item. This

Report the name, address (city, state and If None, or less than $1 ,001, indudes Income received or accrued to the benefit of the Individual. description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p.3. Type of Income Amount of Income CONTENTS OF REPORTS Part 8 of Instructions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1,000 allhe close 8 ..,

of the reporting period; and/or 0 8 0:: Actual (2) generated over $200 in "unearned" 0 0 " 0

0 q_ 8 0 0 0 lL Other 0 0 Amount income during the reporting period. ;;; 0 0

0 0 8 c: "' 0 0 0

0 g 0 "' 0 0 Include the above report for each underlying "

0 8 g l 0 0 " 2 0:: 0 0 g ~ 0 8 8 q 0 on 0

~ 8 0 Required asset. which is not incidental to the trade or "' 8 0 0 8 "' 8 .... .. 0 8 0 5 0 0 "' :il

o _ on N "' -:;; (Speci~ 5 0 8 0 0 q 0 on 8 if business. Publidy traded assets held by non- 0 0 0 "' ;;; g "' "' 0 ., "

.., ., 0 :il 0 0 0 o. "' lfl on "' ;;; "' "' 0 8 0:: > 2 .5 Type) ., 8. 0 on "' ;;; ;;; 0 g "Other" public entity may be listed on Part IliA. .!!! ;;; "' I 0 0 ~

E .... iii .!!! <oi on ;;; "' 0 0 Specified 8 0 q_ 0 0 ., .., .., ;;; "' "' q 0

.2. 0 8 0 ;;; 0 0 g "' -g

~ J!l al .2. 0 0 0 0 on 0 0 0 g g "' "

., ~ 0. ~ & 0 0 0 "' 0 "' " o. 0 0 0

~ 0 ;;; .., I!! 8 § <ii " 0

0 0 0

~ 0

0:: o_ "' 0 0 "' :il

o_ 0 on .,. " J!l ·a 0:: "' 0 on 0 0 q "' 0 ;;; ;;; "' ;;; "' ;;; on "' > l5 " "' )( " 0 "' ;;; <oi on ;;; "' ;;; ;;; 0 z "' "' "' 0 "' "' 0 <r E u w w 0 z "' "' "' "'

Ex•mpJe:s. ( JP Computer. waSh DC X X bampio I &Bmple

oc. or I Undevelopttd lai'KJ, Dubuque, Iowa X Example I ExampllJ

J

s Blum GA Ill Equity Partners, LL.C.

San Francisco, CA

(99% owned by Blum Capital Partners T, l.P.) ,

(1% owned by Blum Investment Partners. Inc.)

s Newbridge Asia Equity Ill, LP.

Fort Worth, TX X X

EXEMPTION TEST (see instructions before marldng box}: If you omitted any asset because it meets the three-part test for exemption described in tho instructions. please check box to the right D ... This category applies only if ltle asset is/Was held independently by the spouse or dependent child. If the asset is/was either heJd by the_filer or jolndy held, use the other categories of value, as appropriate.

OOQO.QQQOOJ,493 -Reporting Individual's Name

I PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES ..... -... DIANNE FEINSTEIN (Assets owned by Spouse through Blum Investment Partners, Inc.) 42

BLOCK A BLOCKS BLOCK C Identity of Non.Publicly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Ched<ed, no other entry is needed in Block C for thai ilem. This

Report the name. address (city, state and If None. or less than $1,001, indudes income received or accrued to the benefit of the individual." desctiptlon) of each interest held by you, your Checi< the first column. spouse. or your dependent child (See p .3, CONTENTS OF REPORTS Part B of


Instructions) for the produdion of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 al the close 8 1! of the reporting period; and/or 0 0 Actual

(2) generated over $200 in ~unearned~ 0 0 0 " 0 0

0. 0 8 0 0 u. Other 0 0 Amount income during the reponing period. ;;; 0

0 0 0 ;: N 0 0

0 8 0 0 0 0

~ .,

0 0 0 lndude the above report for each underlying c; 0 0 0 8 0 i 0 0 0 0

.. c; 0 0 0 ! 0 Required

asset, which is not incidental to the trade or· .. 8 0 0 0 0 0 0 0 ori "' 8 ~ ,_ (Specify

.. 0 0 0 0 0 0 0 5 0 0 "' 0

o. 0 .,; VI ., 5 8 8 8 0 8 o. 0 .,; 0 if

business. Publicly traded assets held by non· ~ 0 0 ~ N "' ;;; o . .,

0 ~ 2 .,

"' 0 0 ;;; 0 .. 0 ori "'

., ., 0 0 :g .s Type) 0 "' 0 ori "' 0 0 "Other" public enlily may be listed on Part lilA. "' "' .. I 0 0 .E 1- iii "' 0. o.i ::i ., ;;; 0 0 ~ ;;; 0 0 0. ... ~ 0 Specified 0. 0

:il "' Cl ., ., ., ;;; .,

"' o . 0

~ c; 0 0 8 0 0 8 .,

! .'!! ~ 0 0 8 0 ori

8. 0 g 0 ;;; 0 0 ., c; ;;

~ Q)

0 0 0 ;;; 0 ., .. 0 0 0 0 0 0 0 ..

~ Q, 'E .. 0 0 0 0 :;; :;; ., ;: 8 § c;; 0 :;; iD c; ori 0 "' 0 0. 0 ori ·;;

~ Q, c; 0. "' 0 ori g ~ o.

0 ;;; ;;; "' ;;; N "' > ;;; ori N > i5

.. .. X a 0 N ;;; .,; ori ;;; > ;;; > z ., ., ., 0 ., ., 0 0:: 0 w w z ., ., ., ., .. 0 0

Eu~e:s. ( JP Computttr, W8Sh DC X X &amfie X Example

DC. or I Undevelf:Jp«J land, Dubuque. ~~~ X &ample X Examlft

J . s Blum Investment Partners, Inc.

San Francisco, CA

(100% owned by Richard C. Blum)

s BCP Investment, L.P.


s Blum G.C., L.P.

San Francisco. CA

(See page 39 for non-publidy traded assets)

- · ' - ~~7\ , ~ "" .~

Reportiog rodMduar·s Name---- '"'T 'J -PART IIi B. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Investment Partners, Inc. (continuation)) 43


Assets and Unearned Income Sources At the dose of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name. address (city, state and If None. or tess than $1,001, lndudes Income received or accrued to the benefit of the individuaL description) of each interest held by you, your Check the first column. spouse. or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or Investment in a~ trade or business which:

( 1) had a value exceeding $1,000 at the 0 "g dose of the reporting period; and/or 0 0 0

0 Actual

(2) generated over $200 In "unearned" 8 0 0 :> 0 ~ 0 0 o" ... Other 0 0 Amount

income during the reporting period. ;;; 0 0 8. g g 0 N 0 0

0 0 c 0 "' 0 0 g Include the above report for each undertying 8 o · 0 i 0 " I c 0 8 0 0 0 .n g 8 ~ ~ c 0 8 o" 0 Required

asset, which is not incidental to the trade or "' 0 8 o" o" 0 (Speci:>' "' 0 0 0 0 0 = ~ o" "' 0

o_ 0 .n N "' ~ u; = g 0 8 0 o" ~ 8 .n 8 if business. Publicly traded assets held by non- o" 0 N "' ;;; 0 "' "' 0 "' " '0

"' 0 0 o" ~ "' ~ "' "' ;;; .. ... o" 0 0 c > 2 .s Type) "' ~ 0 .n "' ;;; o" o" "Other"

public entity may be listed on Part lilA. .!! ... I 0 0 0 0 ·;;; .s >- iii .!! oi .n ;;; ... ... 0 0 8 Specified ... g o_ 0 o" "' (!) '0 '0 ;;; "' ... o_ 0 0 0 0 o" '0 '0 s. 0 0 .n £. 0 0 ;;; g o" U') c u; ~ J!! ~ 0 0 ;;; 8 0 0 0 8 .,.

" ]§ 0. 0 0 g 0 "' " 0 0 o" o" g 0 !!! " 0 o. o" c o_ .,; o" :;; o_ 0 .n ~ '0

" 'Ci ~ ~ 1ij c 0 o_ "' .n :;; o_ :;; 0 U') ·s: J!! :5 0 0 ;;; ;;; "' ;;; N U') > ;;; .n N i3 " .. >< )( a 0 N ;;; oi .n ;;; ;;; > ;;; > z ... ... .,. o· .. ... 0 0:: .s () w w z ... ... ... "' 0 0

Elllmple:s. I JP Compurer:waSI'I OC X X &ample X Exemtm DC,

Of l Unc19Veloped land, DuOUQUO, f0w8 X Example X Example J

s Blum G.A. Ill Equity Partners, l.L.C.

San Francisco, CA


s Blum G.A. Ill, l.l.C.

San Francisco. CA


EXEMPT10N TEST (see instructions befole msrl<ing box): If you omitted any asset because It meets the three-part test for exemption described In the lnstructiot'is, ~ease check box to the right D ·-This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset lslwas either held by the fder or jointty held, use the other categories of value. as appropriate.

.p.'a,f!l~~ ..,._,if':"~'----- '-::- .'"' . ~ ---""' Reporting Individual's Name r PARTIIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Pago Msmber

DIANNE FEINSTEIN (Assets owned by Spouse through Blum Investment Partners, Inc. (continuation)) 44 BLOCK A BLOCKB BLOCKC

Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income Assets and Unearned tncome Sources

Atlhe close of reporting period. lf"None (or less lhan $201)" is Checked. no other enlry is needed in Block C for thal llem. This Report the name, address (city, slale and If None, or less lhan $1 ,001 . includes income received or acaued to the benefit of the individual. description) of each Interest held by you. your Check lhe firs! column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of Income or investment in a no~oublic trade or business which:

(1) had a value exceeding $1 ,000 at the - 8 ., dose of the reporting period; and/or 0 8 c:

0 Aclual 8 0 " (2) generated over $200 in .. unearned" 0. 0 0 0 u. Olher ~ 0 0 · Amounl

income during the reporting period. ;;; 0 0 8 0 0 0 0 0

0 0 0 0 c: ., .. 0 0 0 Include the above report for each underlying c: 8 0 0 ! 0 0 0

., c: 8 i 0 0 8 0 0 0 .,; 0 .s ~ 0 0 0 Required

asset, which is not incidental to the trade or .. 0 0 0 8 0 "' 0 (Spec!~

.. 0 0 o_ 0 0 -s 8 0. 0 o_ 8_

.,; "' "' 0 ., -s 0 8 0 0 0 o_ 0 .,; 8 if

business. Publicly traded assets held by non· 0 0 l{l ::: ;;; .. "' 0 ., ~ 2 ., ., 0 0 0 0 0 ;;; 0 ... :ll .,; "' ;;; ... 0 0 0 c: -~ Type) ., 0 "' 0 .,; "' ;;; 0 ~ 8 "Other"

public entity may be listed on Part lilA .91 ;;; ... I ~ g 0 0 ·;;; £ 1- iii .91 o_ "' .,; ... 8_ Specified 8 i5 g 0

., (!) ., ., ., ;;; .. .. ..

0 & -~ ~ 0 0 -g i5 i5 ;;; 0 0 "' ~ .!!! ~ ~ .2. 0 0 ~

i5 0 0 .. ., jji a. ~ 0 i5 0 ... 0 .. ., 0 0 0 g 0 :;; 0 0 0

~ ., c: 1l 1l !! 0 o_ g ~

0 :;; c: o_ .,; 0 0 5l o. 0 .,; ·;; ~

·g. 01 0 "' 0 ';? 0 o _ 0 ;;; ;;; "' ;;; "' > ;;; .,; N c ., )( .:l " 0 "' ;;; "' .,; "' ;;; > z "' .. .. 0 .. .. 0 0:: (.) w 0 z .. "' "' "' .. ... 0 0

Eurnple:S, J JP Computer. WaSh DC X X &ample X &:smple

oc. cr I Undeveloped 181W1, Oubuql16, IOwa X Ex•- X Example

J

s Blum G.A. IV, L.P.

San Francisco, CA X X X X X

s BCP Investment A, L.P.


EXEMPTION TEST (see instttJC1ions befora msrldng box): If you omitted any asset because It meets the three--part test for exemption described in the instructions. please check box to the right D ... This category applies only if the asset isfwas held independenUy by the spouse or dependent child. If the asset Is/Was either h~d by tho fder or jointty hefd, use the other categories of value, as app~prlate.

Reportmg lndMduol ·~m RJl 0 (~, 0 o: !f~!JJIB., ' NON.-PUBLICL y TRADED ASSETS AND UNEARNED INCOME SOURCES Pogo Hum..,

DIANNE FE TE (Assets owned by Spouse through Blum Investment Partners, Inc. (continuation)) 45

BLOCK A BLOCK B BLOCKC Identity of Non-Publicly Traded ValuatJon of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201). is Checked, no other entry is needed In Block C for that item. This

Report the name, address (city, state and If None, or less than $1,001, includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse. or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 allhe close - 0 '0 of the reporting period; and/or ;; 0 8 c: 0

Actual (2) generated over $200 in "unearned" 8 0 " ;; q g 0 0 u. Other 0 0 Amount

income during the reporting period. ;,;; 0 0 8 ~ c "' 8

0

0 8 0 0 :;; "' 0 0 lndude the above report for each undertying 8 0 i 8 0

., 0 i 0 c: 0 8 0 .0 ~ 0 .s ~

c: g 8 0 Required asset, which is not incidental to the trade or " 0 0 g 0 0 0

cspecir " 8 0 0 0 5 8 0 0 0

o_ 0 .; "' "' 0 .. 5 0 0 0 0 o_ 0 .; 8 if

business. Publidy traded assets held by non- 0 ~ "' "' ;;; 0 "' "' 8 .. Q) 2 '0 .. 8 0 0 0 0 0 ;;; 0 "' :ll .; "' "' "' 0 ;; c: > .s Type) .. "' 0 .0 "' ;;; 0 0 "Other' public entity may be listed on Part lilA. ~ ;,;; "' "' I 0 8 ;; 0 'iii = .... jjj !!! q N .; ;;; "' 0 ;::; 0

Specified 0. 0 0 .. (.!) '0 '0 ;;; "' "' o _ 0

~ 8 8 ;::; 0 0 '0 '0 ~ 8 0 ;; 0 ;;; 0 0 "' c: ~ !!! ~ ~ 0 ;;; 0 .;

0 0 8 "' ., .. g a. 0 0 ;::; "' Q) 0 o _ 0 0 0 8. 8 ~ '0 c 1!1 3 ~ n;

., 0

0 0 ~

0 ;;; c: q .; Sl ~ "' 0 ~ .,- ·s; !!! ·a. c: o_ "' 0

"' 0 ~ o_

0 ;;; ;;; "' "' ;;; .; "' i5 .. " ,ll " 0 N ;;; N .; ;;; "' ;;; > z "' "' "' "' 0 "' "' 0 a:: = u w 0 z "' "' "' "' "' 0 0

Eumple:s . I JP computer, WaSh DC X X &~m~ X & amp e OC,

or I UndeveJoptJd I<Jnd. Dut>tK/ue, low~ X Example X & amJio J

s Carlton Hotel Properties, L.P.

San Francisco, CA X On:inary $14,000 '""""'

s Richard C. Blum Family Partnership


EXEMPTION TEST (see lnst11Jcti011s before marldng box): If you omitted any asset because it meets the lhtee-9Brt test lot exemption deseribed In the Instructions. please check box to the right D ... This category applies only if the asset is/was held independently by the spouse or dependent child. It the asset is/Was either held by the filer or jointly held, use the other categories of value. as appropriate.

Reporung 1~Mdua!s J.m £1 0 Q I) ttl() ~~j :!!lB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

.......... .., DIANNE FEI STEIN (Assets owned by Spouse through Blum Family Partners, L.P.) 46


Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None, or less than $1 ,001 , includes income received or accrued to the benefit of the Individual. description} of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3. CONTENTS OF REPORTS Part B of



(1) had a value exceeding $1,000 at the dose 0 ..,

of the reporting period; and/or 0 0 0 c: 0

Actual (2) generated over $200 in ·unearned· 8 0 0 " Other 0 o. 8 0 0 lL 8 0 Amount

income during the reporting period. ;;; 0 0 g 8 "

N 0

0 8 0 0

~ "' 0 0 0 Include the above report for each underlying c: 0

0 0 I 8 0 0 .. c: 0 g i 0 0 0 0 0 .,; 0

~ 8 0 Required asset, which is not Incidental to the trade or .. 0 8 0 0 g 0 "' 0 "' 0 0 0 0

5 0 0 "' q 0 .,; N ... 0 (Specifo, 5 8 0 0 o. 0 o_ 0 .,;

8 if business. Publicly traded assets held by non. 0 0 0 N "' ;;; 0 "' "' 0 "' ~ 2

.., 0 0 0 0 0 ;;; 0 ...

~ .,; "' ;;; ... ... ·o 0 8 c: .!: Type) ~ 0 "' 0 ':i "' ;;; 0 0 "Other" public entity may be listed on Part lilA. ~ ;;; "' I 0 8 0 ... s; >- iii ~ q C'i .,; ...

~ 0 8. Specified 8

q 0 0 "' ' (!) .., .., ;;; "' ... "' ~ 0 0 8 8 0 0 "' ..,

J!! J!! ..,

~ 0 8 8 0

"' ;;; 0 0 c: "' ~ ~ ;;; 0

8. 8 "' "' Q, Q, 0 ~ 0 ... .. 0 0 g 0 0 ~ g_ 8 ~

.., "

~ i'l i'l ... "' c; 0 0

~ 0

Q; c: .,; 0 "' 0 .,; '5 J!! g. c: q 0 .,; 0 0 o. 0 ;;; ;;; "' ;;; N "' ;;; .,; N 0

.. )( )( a 0 N ;;; C'i .,; ;;; "' ;;; ;;; > z ... "' "' 0 "' ... 0 0: s; u w w z "' "' "' ... 0

&•mple~· 1 JP Computer. wash oc X X EAemple X &amp/6

oc. or I Undeveloped land, Cllbuquo, Iowa X &.am;ie X Example

J

s Blum Family Partners, L.P.

San Francisco, CA

s Elevance Renewable Sciences, Inc.

Bolingbrook, IL X X

s BBA Foresight, L.L.C.

Tucson. AZ. X X X

s BBA Foresight II, L.L.C.

Albuquerque, New Mexico X X

EXEMPTION TEST (see insln.Jctions befom marldng box): If you omitted any asset because it meets the thf0e-9art test for exemption described in the instructions, P'ease check box to the right D ... This category applies only if the asset Is/was held independently by the spoliSe or dependenl chikl. It the asset is/was either held by the filer or jolntfy held, use the other categories of value, as apptopriate.

•"':'"'ng "'vcua • l¥BIO 9 f' 0 0 !l~~ !l!B. NON-PUBLICLY TRAP ED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEI (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) ~---47


Assets and Unearned Income Sources AI the close of reporting penod. If ·None (or less than $201r is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and II None, or less lhan $1,001, indudes income received or accrued to the benefit of the individuaL description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p.3, CONTENTS OF REPORTS Part B of



(1) had a value exceeding $1,000 at the 0 ..,

dose or the reporting period; and/or 0 0 0 0 " Actual

(2) generated over $200 in ·unearned• 0 0 " Other 0 o. 0 0 0 g u. 0 0 8 Amount

income during the reporting period. ;;; 0 8 0 0 E "' 0 0 0 8 0 ] .. 0 0 0 0 0 8 0 i " I Include the above report for each underlying " 0 8 0 0 0 0 " 0 0 g 0 Required asset, which is not incidental to the trade or .. 0 0 0 0 0 0 0 .n "' 8 .6 s 0 8 0 0 o. 0 = 8 0 0 "' ~

o. 8 .n N .. ~ (Speci~ 0 0 0 0 o_ 0 "' 8 if

business. Publidy traded assets hekf by non- 0 0 N ;;; .. .. 0 "' 2 ..,

"' 8 0 0 0 0 0 ;;; 0 ..

::! .n "' ;;; .. .. 0 0 0 " s .!: Type) .ii "' 0 .n "' ;;; 0 0 "Other'" public entity may be listed on Part I ItA. .!!! .. I 0 0 0 o. ... ... iii o. C'i .n ;;; .. 0 8 8 Specified .. 0 "' .. ..

.£. 8 8 0 o. 0 0 ci ~ .., <!l .., ~

.., ;;; 8 o. .n 0 0 ;;; g 8 " " ~ .e c; 0 ;;; ci 0 0 0 ..

" "' i 15. c. 0 0 8 .. .. 0 0 0 ci ci :;; 0 :;; :12 e! 8 8 <ii ~ 0 0 0 0

~ 0 :;;

" o. .n ci 0 ~ 0 o. 0 .n > " ~ o. "' .n ci ~ o.

0 ;;; ;;; "' ;;; "' > ;;; .n "' 0 0 " ~ >< >< :> 0

"' ;;; C'i .n ;;; "' ;;; > z .. .. "' 0 .. .. a:: E w w 0 z .. .. .. .. .. 0 0

Example:S. I JP Computer, W85h DC X X Example X Example

DC. oc IIJndeveJoped land, Dubuque. 10'1118 X Example X Example

J

s CB Richard Ellis Partners U.S. IV, L.L.C.

Los Angeles, CA X X X

s Central Station Land, L.L.C.

Emeryville. CA X X

s BCP Investments, L.P.

San Frandsco, CA X X

s Bill Press Partners, L.L.C.

Washington, D.C . X X

EXEMPTION TEST (see instruc6ons before marldng box}: It you omitted any asset because it meets tho thre&1)8rt test for exemption described in the lnstrucOOns, please check box to the right D ..... This category applies only if the asset is/was helcl independcntSy by the spouse or dependent child. If the asset islwaa either hold by the fder or jointry hetd, use the other categories of value. as appropriate.

Reportmg tmlMduatsN~~~, .• , , , . O oitl O a!i.W~H!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEI~~)\;p (Assets owned by Spouse through Blum Family Partners, LP. (continuation))

r·~:;bW


- Assets and Unearned Income Sources At the dose of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None, or less than $1,001, includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, CONTENTS OF REPORTS Part B of



(1) had a value exceeding $1,000 at the 0 " close of the reporting period; and/or 0 0 8 8 § 0

Actual (2) generated over $200 in "unearned" o_ 0 0 0 0 "- Other 0 0 0 Amount

income during the reporting period. ;;; 0 0 g 0 0 0 N 0 0

0 g 8 0 <= 2

., 0 0 0

Include the above report for each undertying <= 0 0 0 i 0 " <= g ! 0

8 8 0 0 0 0 .,; 8 ~ 8 8 0 Required asset. wtlich is not incidental to the trade or

.. 0 0 o" 0 U'> .. (Specify .. 0 0 0

£ 0 0 0 U'> 0 o_ 0 .,; N ... 0 £ 0 0 0 0 0 o_ 0 :li 0 if

business. Publidy traded assets held by non· "' 0 0 0 N "' ;;; 0

.,. ., 0 "' " 2

.., "' 0 0 0 0 0 0 ;;; 0 0 .,; U'> .,. .,. g 0 " > .!:: Type) 0 U'> 0 .,; U'> ;;; g 0 "Other"

public entity may be listed on Part lilA. "' .,. ;;; I 0 0 .E .. iii .il o_ "' .,; .,. 0 ~ ;;; 0 0 ~ 0 Specified 0. 0 0 "' " " " ;;; .,. .,. .,

0 0. 0

.E. 0 0 0 0 0 0 " .E. 0 :li 8 8 ;;; "' <= !! $ "' 8 8 ;;; 0 0 0 0 g g 8 .,. "' "' ~ c. c. !E 0 0 0 0 0

" 0 0 0 I!! " g 0 <= 0. .,; 0 0 U'> 0 ~ o_ 0 .,; §! ~ c 2 c. 1l 1l <ii " 0 o_ "' 0 .,; 0 ~ 0. ~ 0 ;;; ;;; lll ;;; N "' ;;; .,; N " .. X X 0 0 N ;;; "' :li ;;; "' ;;; ;;; z ., ., 0 ., ., 0 0 a: .E u w w z ., .,. ., 0 0

E:.;amplo;s. I JP Computer. ~s/1 oc X X &ample X &am{H

DC, or I Undeveloped lantJ, Dubuqw, towa X Example X Example

J

s Blum G.A. IV, LP.

San Francisco. CA X X X X X X

s Coral Growth Investments, Ltd.

St. Peter Port, Guernsey X X X X

s Francisco Partners, L.P.

San Francisco. CA X X X X X

s Greycroft Partners, LP,

New York, NY X X X X

EXEMPTION TEST (see instrvctions before marking box): If you omitted any asset because it meets the three-part test tor exemption described in the instructions, please check box to the right q .... This category applies only if the asset is/was helcJ independently by the spouse or dependent child. It the asset is/Was either held by the filer or jointly held, use the other categories of value, as appropriate.

"~""""'9 "'v<u• ·~~ ~~0 E)l 0 Q: fWI!!IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FE E - - (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) r~·:~

BLOCK A BLOCK B BLOCK C Identity of Non·Publlcly Traded Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources At the dose of reporting period. If "None (or less than $201r is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None. or less than $1 ,001, includes income received or accrued to the benefit of the individual. description) of each interest hetd by you. your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

( 1) had a value exceeding $1,000 at the dose 0 .,

of the reporting period: and/or 0 0 0 c 0

Actual (2} generated over $200 in ·unearned· 8 0 0 " 0 o. 0 0 0 u. Other 8

0 Amount income during the reponing period. ;;; 0 8 8 0 8 0 c N 0

0 0 ~ "' 0 0 lndude the above repor1 for each underlying c 8 0 0 i 8 0 0 Q)

"' 8 8 ! 0 0 0 0

~ "' 0

~ 8 0 Required asset. which is not incidental to the trade or "' 0 0 0 0 8 0

"' "' 8 ,_ (Speci:>' "' 0

0 0 0

"' 0

= 8 0 8 "' 0 N "' = 8 8. 0 0 0. 8 0 if business. Publidy traded assets held by non- 0 N "' ;;; 0 "' "' 0 m !!! 2

., "' 0 0 0 ~ ;;; "' 0

~ "' "' "' "' 0 .E Type) ~ "' 0 "' "' g 8 "Other" ;;; 8 8 c E "' N "' public entity may be listed on Part IliA. .!!! "' I 0 8. 0 'iij ,_ iii .!!! ;;; "'

.,. 0 Specified "' 0. 0 "' '0 "' "' 0. 0

.2. 0 8 8 0 0 ., (!) ]! ., .2. ;;; 0 0 .,; 0 0 ;;; 0 "' c ;;; $ Q) 0 0 ;;; 0 0 0 0 0 "' "' ~ Q. Q. !E 0 0 0 0 ..

"' 0 0 0 0 0 8. 0 0 I!! .. 0 0. 8 0 c o. "' 0 0 :!l 0 !!! 0 "'

Q; :'2 c $ ·a. 8 8 'iii "' 0 0. "' 0 .,; 0 :;; 0. Q;

0 ;;; ;;; "' ;;; "' ;;; "' N > ,;, Q) "' >< >< " 0 N ;;; N "' "' ;;; > ;;; > z "' "' "' 0 .,. "' 0 0 lr E u w w 0 z ... "' "' "'

.,. 0 0

Example:S, I JP Qxr!Puter. W8Sh DC X X Example X &smp/o

DC, or IIJndeWJJoped lend. Dubuque, lows X Example X Example

J

s Colony American Homes Holdings

NewYO<l<, NY X X X X

s Current Media, LLC


s Walker Street SP Brooklyn I, L.L.C. -San Francisco. CA X X X

s Montgomery Street Partners II, L.P


EXEMPTION TEST (see irlstroctions before msrlring box): If you omitted any asset because it meets the three-part test for exemption described in tho instructions. please check box Ia tho righl D ···This category applies only if the asset lslwes held Independently by the spouse or dependent child. If the asset is/was either held by the filer or jointfy held, use the other categories cf value, as approprtate.

Re~rtmg IndiVIdual ·~a ~~-0 0 l 0 0 .f~j t!IB.- NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEI TE (Assets owned by Spouse through Blum Family Partners, L.P. (continuation))

I Pago:oo•

BLOCK A BLOCK B BLOCKC Identity of Non-Publicly Tradod Valuation of Assets Type and Amount of Income

Assets and Unearned Income Sources AI the close of reporting period. If 'None (or less than $201 )" is Checked. no other entry is needed in Block C for that item. This

Report the name, address (city, state and II None, or less than $1,001, indudes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse. or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a no~public trade or business which:

(1) had a value exceeding $1,000 at the close 0 ,

of the reporting period; and/or 0 0 0 0 5 Actual

(2) generated over $200 in "unearned" 0 0

0 0

~ 0 0 0 0 u. Other 0 0 Amount income during the reporting period. :;; 0 0 8 0 0 0 N 0 0

0 g 8 0 c u; "' 0 0 g Include the above report for each undertying 0 0 0 i Q) i c 0 0 0 0 0 0 .n g 0 s ~

c 8 8 0 0 Required asset, which is not incidental to the trade or .. 0 0 0 0 0 0 0

{Spec_;~ .. 0 0 0 0

£ 0 0 0 on 0 o_ 0 .n N "' 0 ..

~ £ 0 0 0 0 0 ~ 0 .n 0 if

business. Publicly traded assets held by non- 0 0 0 N on :;; 0 "' "' 0 .. Q) , .. 0 0 0 0 0 0 :;; 0 "' 0 ::! .n "' :;; "' .. g 0 0 .5 > .5 Type) .. 0 on 0 on' on :;; 0 0 "Other" public entity may be listed on Pa~ lilA. !!l ;;> "' I 0 0 0 .. .: f- iii !!l o. "' .n :;; "' 0 0 0

Specified ~ 0 0 .. "' "' o _ 0

& 0 0 0 0 0 0 '0 (!) , , , & ;;> 0 0

0 0 ;;> g g on c !!l !!l Q) 0 0 ;;> g .n 0 0 0 0 8 "' Q) ~ ]! c. c. !E 0 0 0 0 "' Q) 0 0 0 0 0

~ ~ , c 1l 1l iii

Q)

0 0 0 0 :;; ~ c o_ .,.; 0 0 "' 0 o. 0 .n ·s; !!l ·g. c ~ on 0 .,.; 0 ~ ~

0 :;; ;;> "' ;;> N on :;; lll N 0 "' .ll >< 0 0 N :;; "' .,.; "' > :;; z "' .. "' 0 "' 0 a: .: u w z "' "' "' "' "' "' 0 0

EJ:amplo;s. I JP Computer. WaSh oc X X &ampJe X &.ampJe

DC. rx I Undeveloped lane/, Dubuque. laws X Example X ExampJe

J

s Lucky Bluff, L.L.C.


s BMGH

Sacramento. CA X X

s Greycroft Partners Annex Fund,

LP

NewYort<, NY X X

EXEMPTION TEST (see instru-ctions before marlUng box); If you omitted any asset because it meets the three-part test for exemption described in the instructions, ~ease check box to the right D ..... This category applies cnly if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held. use the other categories of value, as appropriate.

lndMd I N eportJng •• • •&;(!' 0 Q8 . ..9fl O:Gil~I!IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

DIANNE FEINSTEIN • (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) I 51

BLOCK A BLOCK B BLOCKC -Identity of Non-Publicly Traded Valuation of Assets Typ8 and Amount of Income

Assets and Unearned Income Sources At the dose of reporting period. If "None (or tess than $201)" is Checked. no other entry is needed in Blod< C for that item. This

Report the name. address (city, state and If None. or less than $1,001 , indudes income received or accrued to the benefit of the Individual. description) of each interest held by you. your Ched< the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or Investment in a~ trade or business which:

(1) had a value exceeding $1 .000 at the d ose 0 "" of the reporting period; and/or

0 0 8 0 c: 0

Actual (2) generated over $200 in "unearned• 0 " 0 o. 8 0 0 g ... Other 0 0 Amount

income during the reporting period. ;;; 0 0 0 g N 0 0

0 0 8 0 c: .. "' 0 o. 0

lndude the above report for each undertying c: 0 0 8 8 0 i 0 0 0 Cll 2 :ii 0 8 8 I 0

Required assel, which is not incidental to the trade or .. 0 8 0 0 0 0 0

0 .,.; "' 8 g ... (Specify 0 0 0

0 0 s 8 ci "' 0

o. 0 on N "' "' £ 8 0 0 0 0 o. 0 on 8 if business. Publidy traded assets held by non- 0 ;! N "' ;;; 0 "' "' 0 "'

.. 2 "" 0 0 0 0 ;! ;;; 0 ... ~ on ::: "' ... 0 0 0 c: > .s; Type) ~ 0 "' 0 on "' 0 0 "O ther'"

public entity may be listed on Part lilA. .Sl "' "' I 0 0 0 0 ... .£ ... iii .Sl o. N on ;;; ... ... 0 0 0 Specified 0 "' ... "' .e 0 0 0 o.

0 0 0 0 "" C> l "" "" ;;; 0 0. 0

0

0 0 ;;; 8 8 "' c: .. ~ ~ -2. 0 0 ;.;; 0 on

0 0 o . 0 0 "' .. a; 0. 0 0 0 0 "' Cll 0 0 g 0 0 :;; 0 :;; "" 'E !!! :a 5 8 a; .. 0

0 0 8 ~ 0

~ c: o_ .,.; g "' 0 0. 0 on ·s: ~

c: 0. "' 0 on 0 o. 0 ;;; ;;; ;;; N "' > ;;; on N >

i5 Cll .. )( )( " 0 N ;;; N on ;;; "' ;;; ;;; z "' ... "' 0 "' "' 0 a: (.) w w 0 z "' ... "' ... 0 0

Eltample:S, I JP CompuJer, Wash OC X X E><amplo X & ample

oc. or I Undevelopttd taoo. Dvbuque. Iowa X Exsmf)IIJ X &ample

J

s Tensile Capital Management, LLC


s Filmyard Holdings, LLC

Santa Manica, CA X X Ordinary X 51,478.703 Income

s RST, Inc.


s Montgomery Street Housing I, L.P.

San Francisco, CA X X X

EXEMPTION TEST (see fnstructi011s.befor& msrl<ing box): If you omitted any asset bec:ause it meets the three-part test for exemption desc;ribed in the instructions. please check box to the right D ••• This category applies only if the asset is/Was he!~ Independently by the &pouse or dependent child. If the asset is/was either hekl by the filer or jointry held. use tho other categories of-value, as appropriate.

.epor. ng """•<.uas~£\~~1 0 ()rl 0 rg ~~j ~.!!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FE T . (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) r·-52


Assets and Unoamod Income Sources At the dose of reporting period. If ·None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name. address (cily, state and II None, or less than $1,001. indudes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a ~trade or business which:

(1) had a value exceeding 51.000 at the dose 8 " of the reporting period: and/or

8. 0 § Actual

(2) generated over $200 in "unearned" 8 8 0 Other 0 0

Amount 8 ci u. 0 8 Income during the reporting period. 0 0 ci 8 ~

N 8 "' 8 0 8 g "' 0 ci lndude the above report for each underlying "' 0 g 8 ci i ci " 2 "' 0 8 i 0 o. 0 0 "'

0

~ 8 0 Required £ 0 0 0 ci 0 "' 0 "' 0 0 0 0 asset, which is not incidental to the trade or 0 0 ci

0 ~- 0 "' N "' 0 >-{Speci~ o5 g g 0 0 ci o_ 0 or; if "' 0 8 business. Publidy traded assets held by non· 0 g 0 N "' ;;; 0 .. "' 8 "' ~ 2 " "' 0 0 ci 0 ;;; 0 "' ~ "' "' "' ci .5 Type) 0 "' 0 ~ "' ci ci 'Other" ;;; 0 "' E. "' <'< "' ;;; public entity may be listed on Part lilA .!! ;;; .. I 0 0 8. 0 ·n; >- iii ]! q "' 0 8 0 Specified

8 0 o. 0 ci "' <:> " " ;;; .. .. "' 8 q 0

0 0 0 -g " £_ "' .2. 0 0 ;;; 8 "' .!!! .!!! J! 0 8. ;;; ci 0 0 0 0 0 "' " ~ g c. c. 0 0 0 "' !!! 0 0 ci g ci :;; g 0

~ " ;: I'! ~ ~ " 0 0 0

~ 0 :;; q ~ g 0 0 o . "' ·;; .!!! ·a "' o_ "' 0 "' 0 0 q

0 N "' > "' N " "' tll " 0 N <'< or; "' > z ;;; "' .. ;;; "' .. 0 ;;; "' "' 0 0 ~ E. u w 0 z .. ;;; "' .. ;;; "' ;;; 0 ;;; 0

Eaample:S, J JP Ccmputar, Wssh DC X X Exsmple X &amp/8

oc. or I Undevelopod I<Jnd. Dttbuqoue, lt:M'a X & ample X Example

J

s Second City Capital Partners II, L.P. Fonne<1y S""""' Oty Ca .... """'*''· LP.

Vancouver. B.C. X X X

s Faber Street Associates, L.L.C.

Union City X X X - X

s Blum Capital Partners, L.P.

San Francisco. CA

(See page 6 for publidy traded assets)

EXEMPTION TEST (see instructions before mfJrldng box): If you omitted any asset because rt meets the three--part test for elCempticn described in the instructions, pteasc cheek box to the right D ••• This category applies only if the asset Is/Was held independenUy by the spouse or dependent Chikl. rr the asset is/Was either held by the flier or jointly held, use the other categories of value, as appropriate.

sRepon;ng Individual's ~@~ () ~ ~rl () 1.:.~~@~\B. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOMI:. ::00~"\..:::.:. DIANNE FEINSTEIN · · Asses owned by Spouse through Blum Family Partners, L.P. (continuation)) I 53


Assets and Unearned Income Sources AI the d ose of reporting pertod. If "None (or less than $201)" is Checked. no other enl ry is needed in Block C for that item. This

Report the name. address (city, state and If None, or le ss than $1,00t . indudes income received or accrued to the ·benefit of the individual. description) of each inte rest held by you, your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B ol Instructions} for the production of income or investment in a non-oubl!c trade or business which:

(t ) had a value exceeding St .OOO at the d ose 0 '0 of the reporting period; and/or 0 0

0 8 § Actual (2) generated over $200 in ·unearned~ 0

iii 0 o_ 8 8 0 0 u.. Other 0 0 A mount

income during the reporting period. ;;:; 0 0 0 8 0 0

8 0 0 8 c o; ...

0 0 0 Include the above report for each underlying c 0 8 8 0 i 0 0 0

Q)

2 c 0 0 8 i 0 Required

asset. which is not incidental to the trade or "' 0 0 0 g 0 0 0 <ri ~ 0 ~ >-- ,s 0 8 0 0 0 0 5 0 0 0 "'

0. 0 .,-

"' 0 (Specif} 0 0 0 0 0. 0 <ri 8 if business. Publicly traded assets held by non·

~ 0 0 0 "' "' ;;; 0 ... "' 0 "' ~ 2 '0

"' 0 0 0 0 0 0 ;;:; 0 "' <ri "' ;;; ... "' 0 0 8 c .5 Type) "' 0 "' 0 <ri "' ;;:; 0 0 "Oiher" public entity may be listed on Part lilA. ;;:; ... I 0 0 0 ... .5 >-- iii !!! o_ ,..; <ri ;;:; ... 8_ 0 8 o_ 0 0 "' "' ... Sp ecified .2. 0 8 0 0 0 0 '0 (!) '0 '0 '0 ;;; 0 0 0 0 ;;; 0 8 "' c !!! !!! "' .2- 0 0 ;;; <ri

8_ 0 0 8 "' Q) "' ~ "' a. 'E 8_ 0 0 0 0 ... " 0 0 0 0 8 ~ 8. ~

'0 c !!! 1! 1! fti :!? 0 0 0 g ~

0 :;; c <ri 0 0 "' 0

~ '5 !!! ·a "' 0 <ri 0 0. 0 ;;; ;;:; "' ;;:; "' "' ;;:; <ri 0 Q) "' )( )( ::> 0 "' ;;; ~ <ri ;;:; "' ;;:; > z "' "' "' 0 ... ... 0 "' .5 u l1J l1J 0 .. z "' ... "' "' 0 0

EAI~le~· I JP Computer. WIJSh OC X X Example X &am~e

DC, or I Undevelop6cl IOJnd, OuiJuqVO, kltva X Example X &ample

J

s Blum Capital Partners T, L.P.

San Francisco, CA

(See pages 27-30 for non-publicly traded assets) X X X X

s Bell Mountain Capital Partners, L.L.C.

Edmonton, Canada X X

s Gobi Investment Partners, L.P.

Los Angeles. CA X X

s Petits Pains & Co., L.P.

Burlingame. CA X X

EXEMF'TION TEST (see instniCiions b6for& msrldng box): If you omitted any asset because it meets the three-part test for exemption described in the instructions. P'ease check box to the right D ••• This category applies anty if the asset is/was held independenUy by the spouse or dependent child. If the asset i:shlas either hekf by the filer or jointty held, use the other categories of value, as appnJpriate.

Repo.rtmo ondMduars Nli)eQ Q 0\8 C rJ 0 Ci ll~ !J.IB. NON-PUBLICLY :TRADED ASSETS AND UNEARNED INCOME SOURCES DIANNE FEINSTEIN (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) 1 """":~·

BLOCK A BLOCKB BLOCKC Identity of Non-Publicly Traded Valuation of Assets Typo and Amount of Income

Assets and Unearned Income Sources At the dose of reporting period. If ·None (or less than $201)" is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None. or less than $1.001 .. includes income received or aCCfued to the benefit of the individual. description) of each interest held by you, your Check the first column. spouse, or your dependent child (See p .J , Type of Income Amount of Income CONTENTS OF REPORTS Part B of lnstrudions) for the production of income or investment in a~ trade or business which:

(1) had a value exceeding $1,000 at the dose 8 ,

of the reporting period; and/or 8. 0 8 c: Actual

(2) generated over $200 in •unearned• 0 " 0 0

8 0 0 ci u. Other 0 0 A mount income during the reporting period. ;;; 0 g g 8 c: "' 8

0

0 g 0 ;;; "' 0 ci lndude the above report lor each underlying c: 0 0 8 0 g i 0 ci 0

., tl c: 0 8 g ! 0 Required

asset, which is not incidental to the trade or "' 0 0 0 ci g 0 0 .,.; "' 0 ~ (Speci'! "' 8 0 0

0 0 £ 0 0 g "'

q 0 .,· "' "' 0 ;;; £ 0 0 0 ci o. 8

.,.; 8 if business. Publidy traded assets held by non- 0 ci "' "' ;;; 0 .. .. ci "' ~

, "' 0 0 0 0 ci 0 ;;; "' ::! .,.; "' ;;; "' "' ci 0 0 .5 2 .5 Type} .. 0 "' 0 '::! "' ;;; ci ci 'Other" public entity may be listed on Part lilA. ~ ;;; .. I 0 0 0 0 .5 1- iii ~ o. .-< .,.; "' 8. 0 q 0 o · .. (; .. .. .. 0 0 Spedfied

8. 8 0 0 0 ci " ]i l , ;;; 8 0 .2. 0 0 ;;; g g "' c: ., .2. 0 0 ;;; ci

.,.; 0 0 8 .. "' "' g 0. !E 0 0 0 ..

~ 0 0 0 g ci iii iii , c: !'! 1l ~ ... "' 0 0 0 ci iii 0 iii q .,.; g ;! 0 o . 0 .,.; '5 .9!

·a. c: o . "' 0 .,.; g ;! q 0 "' "'

> .,.; N > "' "' >< " 0 N .-< .,.; > > z ;;; ;;; "' "' .. .. 0 ;;; .. "' 0 i5 a: .5 (.) w w 0 z "' ;;; .. .. ;;; .. "' 0 ;;; 0

E•ample~· I JP Computer, Wash OC X X &.smp/8 X &Bmp/9

OC, or I Undeveloped IIJttd, Dllbuquo. leMa X Example • &smp/9

J

s First Republic Bank


s Bank of America


s BDK Holdings, L.L.C.

San Frandsco. CA X X

s BTIG, L.L.C.

Brokerage Account - Cash X X -San Francisco. CA

EXEMFJTION TEST (:;ee imtructions before marldng box}: If you omitted any asse1 because it meets the thre&-part test for exemption described in the insln,u;tions, please chock box to the right D ••• This category applies only if the asset is/was held Independently by the spou58 or dependent child. If the asset is/Waa either hetd by the filer or jointty hefd, use the other categories o1 value. as appropriate.

I portJlG Inc! I N • vcua ·~~"~; 0 (j 'J 0 rt!l~ ~lB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I

. DIANNE FE STE (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) 55

B BLOCKB BLOCKC LOCKA Valuation of Assets Type and Amount of Income

Identity of Non-Publicly Traded Assets and Unearned Income Sources At the dose of reporting period. II"None (or less than $201)" is Checked, no other entry is needed In Block C lor that item. This

If None. or less than $1,001, indudes income received or accrued to the benefit of the individual. Report the name. address (city, state and Check the first column. description) of each interest held by you, your Type of Income Amount of Income spouse, or your dependent child (See p.3, CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-public trade or business which:

0 (1) had a value exceeding S1 ,000 at the dose 8_ 0 8 8 -g

0 Actual

of the reporting period; and/or " 0 0 8 0 0 u. Other 0 0 Amount (2) generated over $200 in "unearned" 0 0

0 0 0 c N 0 0

"' 0 0 0 0 q "' "' 0 0 0

income during the reporting period. " 0 0 g 8 0 i 0 0 fil 0 " ~ " 0 8 8 i 0 Required

Include the above report for each underlying "' 0 0 0 0 0 0 0

0 .,; 0 .5 (Speci~ "' 0 8 0 0

8 :; 0 0 0 "' 0 q

8 .,; N "' 0 "' 1;i 5 8 0 0 0 o_ 8

.,; If

asset, \Mlich is not incidental to the trade or 0 0 ~ N "' ;; "' "' 0 "' ~ "' 0 0 0 0 0 "' 0

~ .,; "' "' "' 0 8 0 " 2 .<: Type) ::l 0 "' 0 .,; ::: ;; ;; 0 0 "Other" business. Publidy traded assets held by non- ;; "' "' I 0 0 0 0 'iii = >-- iii !! o_ N .,; ;; 0 0 0 Specified public entity may be listed on Part IliA. ~

q 0 "' (!) l "' ;; "' "' q 0 0 0 0 0 0 ., "' .2. 8 0 .,; ,£. 0 0 ;; 0 8 "' " 1;i .e ~ 0 8 ;; 0 0 0 0 8 "' " ~ c. 0 0 0 "' Q) 0 0 0 0 0 :;; 0

~ "' I!! fj ~ 'iii " 0 0 0

~ 0

~ " o_ .,; g 0 "' 0 q 0 .,; '5 " ~ c. " o_ "' 0 .,; 0 0 q

0 ;; ;; ;;; N "' > ;;; .,; "' 0 " "' .:1 " 0 N ;; N .,; ;;; "' ;;; ;;; z "' "' "' 0 "' "' 0 0:: u w 0 z "' "' "' "' 0 0

Examplo:S, I JP Computet, W8.sh DC X X &ample X &amplo

CC, or I Uttdev8loped land, Dubuque. Iowa X &ampiO X Example

J

s Colony American Homes War I, L.L.C.

Santa Monica, CA X X

s TPG Chinos Co-Invest, L.P.

Fort Worth, TX X X

s Carlton Hotel Properties, L.P.

San Francisco. CA

(See page 24 for non-publicly traded assets)

EXEMPTION TEST (see Instructions before metfQn9 box): If you omitted any asset because it meets tho three-part test for exemption clesc:ribed in the Instructions. please check box to the right D ... This category applies only tf the asset Is/Was held Independently by the spouse or dependt:mt child. If the asset islwaa either hetd by the fder or jointty held, use the other categories of value, as appropriate.

R ndMd I eportmgl ua •Jatff 0 o:p 0 :3~~ffij!IB. NON-PUBLICL.,Y TRADED ASSETS AND UNEARNED INCOME SOURCES

DIANNE FEI TE (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) I 56

B BLOCK B BLOCKC LOCKA Valuation of Assets Type and Amount of Income

Identity of Non·Publlely Traded Assets and Unearned Income Sources Al tho close of reponing per1od. If "None (or less than $201)" is Cheeked, no other entry is needed In Block C for that ~em. This

If None. or less than $1,001 , Includes income received or acaued to the benefit of the individual. Report the name, address (city, state and Cheek the first column. description) of each interest hetd by you. your spouse, or your dependent child (See p.3 ,


CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment In a~ trade or business which:

0 (1) had a value e xceeding $1.000 at the close 0

.., Actual ;; 0

0 § - 0 0 0 of the reporting period; and/or o. 0 0 0. 8 u.. Other ;; 0 0 Amount

(2) generated over $200 in •unearned• ;; 0 0 0 0 8 N 0 0

0 0 c5 0 c 1;; "' 0 o. c5

income during the reporting period. 8 0 8 I 0 0 c5 ., i 0 c 8 8 0 0 .,; 0 s ~

c 0 8 8 8 0 Requ ired

Include the above report for each undertying "' 0 c5 8 8 "' 8 "' 0 0 5 0 0 c5 "'

0. .,; N "' "' ~ (Specify 5 0 0 0 0 c5 0. 0 .,; 0 if

asset, which is not Incidental to the trade or 0 c5 ~ N "' ;; 0 "' "' c5 "' ~ ~ "' 0 fi! 8 0 c5 0 ;; 0 "' 0 ~ .,; "' "' "' c5 ;; 8 c .E

Type) ~ 8. oi .,; .,; "' ;; c5 c5 "Other"

business. PublicJy traded assets held by non- .!!! ;; "' "' I 0 ;; ;; ~ ... iii ;;; "' 0 ;; 8 Specified

public entity may be listed on Part IliA. o _ 0 c5 "' .., .., ;; "' "' 0.

~ 8 8 ;; 0 0 8 -g .., ~ ;; 0 .,; 8_ 8 ;; "' .!!! .!!! ~ ;; 8 ;;; ;; 0 c5 o" "' .,

~ ]! Q. Q. ;; ;; 8 0 c5 "' "' c5 c5 8 ~ 0 8 0 ;;; .., 1! ~ -.; "' ;; "'

0 8 ~ 0 ;;; <: ~ "' g 0 "'

o _ .,; ·:;: c .!!! ·a c o . .,; c5 o _ 0 ;; ;; ;; N "' ;; .,; N > 0 "' "' >< " 0 N ;;; oi .,; ;; "' ;; ;; > z "' "' "' 0 "' "' 0 a:: .E (.) w w 0 z "' "' "' "' 0 0

Example:S. I JPComputet. Wash DC X X &ample X . Enmfi&

DC. or I U!Jdeve/oped land, Dubuque, lOws X Ex amp» X Example

J

s BFP Tideline, L.L.C.


s Blum Family Partners GDM, L.L.C.


s Campanile Impact Fund, L.P.


s Latitude Capital Management, L.P.

Washington, D.C. X X

EXEMPTION TEST (see instructions before marlcing box) : If you omitted any asset because it meets the three--part test for exemption described in the Instructions, pieaso dleek box to the right D o oo This c:ategory applies only if the asset is/Was held independently by the apouse or dependent child. If the asset iSIWas either held by the rder or jointly held, use the other cat69ories of value, as appropriate.

R rtJ I d d I N f'age Numbe epo ng n M ua s ~· - If• fWJ.liB . NON-PUBLICLY TRADED ASS.ETS AND UNEARNED INCOME SOURCES I

r . ·C:l~tl80· • 8(}" \1!1 ' •

DIANNE FEI STE N (Assets owned by Spouse) 57


Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $20t )" is Checked, no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None, or less than $1,001, indudes income received or accrued to the benefit of the individual. description) of each interest held by you. yo\Jr Check the first column. spouse. or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a noll-public trade or business which:

(1) had a value exceeding $1,000 at the close 0 .,

of the reporting period: and/or 0 0 0 0 5 Actual

(2) generated over $200 in 'unearned" 0 0 0

0 o. 0 0 0 ci "- Other 0 0 Amount income during the reporting period. ~ 0 0

0 0 ci 0 c N 0 0 .,. 0

0 ci 0 0 u; .,. 0 0 g Include the above report for each undertying 0 0 ci I 0 0 ci " ci i :;; 0 8 0 0 0 0 0 ..; 0

~ 2 :;; 0 0 0 0 Required 0 ci ci 0 "' 0 0 0 0 0 asset. which is not incidental to the trade or £ 0 0 ci "' 0 o. 0 ..; N .. 8 1-

(Spe~~ £ 0 0 0 0 ci ~ 0 ..; 0 if business. Publidy traded assets held by non-

~ 0 ci 0 N "' ;;; 0 .,. .,.

0 .. 11 2 ~ ~ 0 fil 8 0 ci 0 ;;; 0

.,. 0

.0 "' ;;; .,. .,. ci 0 0 c: Type) 0 ..; "' ;;; ci ci "Other" public entity may be listed on Part lilA. .l!! ;;; .,. I 0 0 0 0 ... E 1- iii .l!! o. <-J .0 ;;; .,. 0 0 0 Specified o_ 0 ci ..

<.!) ., ., ;;; .,. .,. o. 0 s. 0 0 0 0 0 ci -g " s. 0 0 .0 8 8 ;;; "' ~ ~ .l!! " 0 0 ;;; 0 0 0 0 ci ci 0 .,.

"' "§ a. !E 0 0 0 0 g .,. "' g g g 0 0 0 "' 0 0 ci c: o. ..; ci :v o_ 0 ..; ;;; ., c ·a_ i'! i'! (ij c: 0 ~ "' 0 ~ ci ~ o . ~ "5

~ 0

0 ;;; "' ;;; N "' > ;;; ..; N > 0 " .. ,:) X " 0 N ;;; <-J .0 "' ;;; ;;; z .,. .,. .,. .,. 0 .,. .,. 0 a: (.) w 0 z .,. .,. .,. .,. "' 0 0

Examplo;S, I JP Computer. waSh DC X X Example X &smp/e

oc. or I Undeveloped land, Dubuque, Iowa X Example X &ample

J

s Blum Strategic Holdings, LP

San Francisco. CA

(see page 16 for publicly traded assets)

s Fidelity Retirement

FMM Retire GOV II Fund X X X

s Fidelity Retirement

FID Focused Stock Fund X X X

EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part tesl for exemption described in the instruclions. please check box to the right 0 ..... Thls category applies only if the asset is/Was held independently by the spouse or dependent child. If the asset is/Was either held by the filer or jointly held, use the other categories of value, as appropriate.

rtJ I dMd I N epo ng n UB s iT ' . ·r !fW ~IB NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I · ·OO~IO ifl 8(1 . · 58 DIANNE FEINSTEI (Assets owned by Spouse (continuation))


Assets and Unearned Income Sources Allhe dose of reporting period. If "None (or less lhan $201)" is Checked, no olher entry is needed in Block C lor that item. This

Report the name. address (city, state and II None, or less lhan $1.001 , indudes income received or accrued to the benefit of the individual. description) of each interest held by you. your Check the first column. spouse, or your dependent child (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-oublic trade or business which:

(1) had a value exceeding $1,000 at the dose 0 "' of the reporting period; and/or 8_ 0

0 8 § Actual (2) generated over $200 in ·unearned"

0 Other 0

0 0 0 0 ci u.. 0 0 Amount

income during the reporting period. ;;:; 0 0 0 0 ci 0 N 0 0 0 g ~ 0 " u; .... 0 ci

lndude the above report for each underlying 8 8 0 ci ! (I> 0 i " 8 0 0 0 g 0

~ ~ " 8 8 g 8 Required asset. which is not incidental to the trade or "' 0 0 g g 8

., 8 ~ 0 8 0 = 8 0 g o_ .n N .... (Specif)l 8 8 8 0 ci q .n 0 if

business. PublicJy traded assets held by non- ci N ., ;;:; 0 ... ... ci ., G) 2 ~ ., g ci 0 ;;:; 0 .... 0 ii! .n "' ;;:; "' "' ci 8 0 "

> Type) ., "' 0 .n ., ;;:; ci ci "Other" public entity may be listed on Part lilA ~ ;;; ... I 0 0 0 0 ... ~ ... iii ~ o _ N :li "' 0 0 0

Specified q g ., (!) ~ "' ;;; ... ... q 0

8 0 0 0 0 ci "' "' 0 0 e ;; 0 ;;; g g " ~ (I> e 8 8 ;;; g .n 0 0 0 8 ... (I>

., g a. a. ~ ;; 0 0 0 "' (I> 0 0 ci g ci ;;; ;;; "' c ~ B B ... ~ 0 g ~ :;; " o. .n ci ~ 0 o, 0 .n "> ~ ·a o . "' 0 .n ci q

0 ;;; ;;; "' N "' > ;;; .n N > i5

(I>

.E ., )( )( :> 0 N ;;; N .n ;;; ., ;;; ;;; > z "' "' "' .... 0 "' ... 0 0: (.) w w 0 z "' "' "' "' 0 0

Eumple:S. [ JP Computer, \Nash ex; X X &ample X 6t8mplo

DC, or I Urldevelopod land, DcltHJqiHI, IOwa X &ampl8 X &ample

J

s LAF Management, Inc.

Fort Worth. TX X X

s BTIG, L.L.C.

Brokerage Account - Cash X X

s TRP Retire Balance Advance

MoneyMa!1(et X X

s Bank of America, Inc.

Oeposit & Checking Account


EXEMPTION TEST (see instnJctions before marldng box): It you omitted any asset because it meets the three-part test tor exemption described in tho instructions, please cheek box to the right •· • This category applies only if the asset is/Was held independently by the spouse or dependent child. If the asset islwas elthir held by the mer .or jointty held, use the other categories of valuo, as appropriate. 0

eportmglndovoc!uatsName(ll ~rP Gnri tf- ~~'Tif!IB NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

1 age _\ 'Um!M!r

·I\)" " • · ~~I I • \;J _..,. ·' . • DIANNE FEIN'STE (Assets owned by Spouse (continuation)) 59

BLOCK A BLOCK B BLOCKC Identity of Non-Publicly Traded Varuatlon of Assets Type and Amount of Income

Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked, no other entry Is needed in Block C for that item. This

Repor1 the name, address (dty, state and If None, or less than $1 ,001, lndudes income received or accrued to the benefit of the individual. description) of each interest ~d by you. your Checl< the first column. spouse. or your dependent child (See p .3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of rnstrudions) for the production of income or investment in a non-public trade or business which:

(1) had a value exceeding $1 ,000 at the close 0 '0 of the reporting period; and/or 0 0

0 0 c 0 Actual

(2) generated over $200 in "unearned' 0 0 " q 0 0 0 0 u. Other 0 0 0 Amount income during the reporting period. ;;; 8

0 0 0 8 1': N 0 0

0 8 0 ci 0

2 ....

8 0 ci Include the above report for each underlying c 8 8 0 0 ci i 0 0 ci 0 " c 0 ci i 0 Required asset, which is not incidental to the trade or .. 0 ci ci 0

8 0

~ :ll 8_ ~ 1-(Speci:r

.. 8 8 0 ~ 0 0

8 = 0 0 ci "' 0 o_ .,; -;;; = 0 0 o" 0 .,; if

business. Publicly traded assets held by non· 0 ci 0 N "' ;;; 0 "' ... 0 .. !i ~ · .. 0 0 0 0 ci ~ ;;; 0 "' 0 ~ .,; "' ;;; "' "' ci 0 0 c 2 Type) .. ~ "' 0 .,; "' ci ci "Other" public entity may be listed on Part lilA. .!!l

"' .... I 0 0 0 0 ·o; .E >- iii .!!l ..; .,; ;;; "' "' 0 0 0

Specified 0 0 0 q 0 ci ..

C> '0 '0 '0 ;;; "' "' o. 0 0 0 ci '0 0 0 .,; £. i5 0 ;;; ci 8 "' " ~

$ $ " £. 0 0 ;;; ci ~

0 0 0 0 "' " ~ Q. Q. !E 0 0 0 0 "' " 0 0 8 ci ci ~ 0 0 '0 1': 1l 1l .. ~ 0

0 0 ci 0

~ " .,; ci "' 0 q 0 .,; !i '> $ 'i'i o_ "' 0 .,; o" 0 !i o_

0 "' N "' .,; N " .. )( )( " 0 N ..; .,; "' z ;;; "' "'

;;; "' "' 0 ;;; .... .... 0 i5 "' .E c:.> UJ UJ 0 z "'

;;; "' "' ;;; .. ;;; 0 ;;; 0

Eumplo:s. I JP Computer. W<lsh DC X X f;amplo X En mpe

oc. or I VrtdfMdopt!d 1/Jnd, Dllbuque. IOwa X <>ample X &.empe

J

s Bank of America

Deposit Account- San FranciscO, CA X X

s First Republic Bank

Deposit Account- San Francisco, CA X X X

s New ASTAR Holdings, L.L.C. (tormerty ASTAR USA, LLC.)

Miami, FL X X

s BTIG,LLC.

Brokerage Account -Cash X X

San Francism. CA

EXEMPTION TEST ($ee in$tTuctions before msrldng box): If you omitted any a$$et beeau:se it meets the three--part test for exemption described in the instructions, please check box to the right D ... This category applies only rt the asset is/Was held independently by the spouse or dependent chitd. If the asset is/was either hold by the filer or jointfy held, use the other categories of valuo. as appropriate.

R rtJ lnd d alsName l'ageN'\Jmber

epo ng M u oe ~:{:) 8 8 F' 8 o.!I~I !tiB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES I DIANNE FEINSTE N . (Assets owned by Spouse (continuation)) 60

BLOCK A BLOCK B BLOCKC Identity of Non·Publicly Traded Valuation of Assets Type and Amount of fncome

Assets and Unearned Income Sources At the close of reporting period. If "None (or less than $201)" is Checked. no other entry is needed in Block C for that item. This

Report the name, address (city, state and If None, or less than $1,001, includes income received or accrued to the benefit of the individual. description) of each interest held by you, your Check the first column. spoose, or your dependent cthild (See p.3, Type of Income Amount of Income CONTENTS OF REPORTS Part B of Instructions) for the production of income or investment in a non-oublic trade or business whicth:

(1) had a value exceeding $1,000 at the 0 ..,

close of the reporting period; and/or ;; 0 0 0 § Actual

(2) generated over $200 in "unearned" 0 0 0

0 o_ 0 0 0 0 ....

Other 0 0 Amount income during the reporting period. ;;; 0 0

0 0 0 0 N 0 0

0 0 0 0 0 " 1;) ...

0 0 0 Include the above report for each underlying 0 0 0 i 0 0 "' ! 0 " 0 0 0 0 0 0 .,; 0 0

~ ~ " 0 0 0 0 Required asset, which is not incidental to the trade or "' 0 0 0 0 g 0 "' 0 Ordinary "' 0 0 0 0 0 0

5 0 0 0 "' 0. 0 .,; N ... 0 5 0 0 0 0 0 o_ 0 .,; 0 if

business. Publicly traded assets held by non- "' 0 0 0 N "' ;;; 0 ... "' 0 "'

.. ~

., Income "' 0 0 0 0 0 0 ;;; 0 ... 0

"' .,; "' ;;; ... ... 0 0 0 " > .5 "' 8_ "' 0 .,; "' ;;; 0 0 "Other"

public entity may be listed on Part lilA. .!!! ;;; ... ' 0 0 0 0 ... .E iii .!!! .-< .,; ;;; ... 0 0 0 Specified o_ 0 0 "' (!) .., ., ;;; ... "' o_ 0

£ 0 0 0 0 0 g -g ., £ 0 0

0 0 ;;; "' ~ ~ "' 0 0 ;;; .,; 0 0 0 0 0 0 "' !! ~ 0 0 0 0 g ...

"' 0 0 0 0 0 0 0 0 .. c. c. !E .. 0 0 0 ~ ~ .., c 8 8 ... 0 ~ ~ " o_ ~ 0 ~ "' 0 0. 0 .,; '> ~ c. " o_ "' 0 ~ 0 0 o_

0 "' N "' > . .,; N > .. "' )( )( " 0 N .-< .,; "' > z ;;; "'

.,. "' ... ... 0 ;;;

"' ... 0 i5 0:: .E u w w 0 z "' ;;; "' "' "' ... ;;; 0 ;;; 0

Eumple:s, I JP Computer. wash DC X X Exsm~e • &ample

OC, or 1 unaeveloped land, OUbuquo, Iowa X Exsm~e X Example

J

s RCBA LAF Advisors. L.L.C. X X San Francisco, CA

s JP Morgan - Savings Account X X X NewYor1<., NY

s JP Morgan - Brokerage Account X X X New York, NY

s BTIG X X San Francisco. CA

s BTIG- (IRA) (Cash) X X San Francisco, CA

s Tenzing Asian Art (Accounts Receivable) X X San Francisco. CA

EXEMPTION TEST (see instructions before marldng box): If you omitted any asset because it meets the three-part test for exemption described in the instructions. please check box to the right D ... This category applies only if the auet is/Was held independently by the spouse or dependent ehikl. If the asset is/Was either held by the fLier or joinUy held, use the other categories~ value. as appmpriate.

R rtJ lnd ld I N age m:ter epo og ov ua s ~· ,

1,

I '" · ee13 o o o o · li s 1 2 PART IV. TRANSACTIONS 61 DIANNE FEINSTEIN .

Amount of Transaction (x) Report any purchase, sale, or exchange by you, your spouse, or Transaction dependent child (See p.3 CONTENTS OF REPORTS PartS of Type (x) Instructions) during the reporting period of any real property, stocks, 0

0 0

bonds, commodity futures, and other securities when the amount of the 0 0 0

0 0 0 0 transaction exceeded $1,000. Include transactions that resulted in a loss. 0 0 0 0 0 0 0 . 0 0 0

Transaction 0 0 0 0 0 0 0 Do not report a transaction involving property used solely as your personal 0 0 0 0 0 0 on 0

Date 0 0 0 0 0 0 "' 0

residence, or a transaction between you, your spouse, or dependent child. 0 0 0 "' 0 o _ 0 on N .,. 0

{Mo., Day, Yr.) 0 0 0 N "' ;;; 0 .,. .,.

0 Please clarify which two properties are involved in any reportable Gl

.,-"' ;;; .,. .,. 0 0 0

Gl ;;; .,. ' 0 0 0 0

exchange. "' OJ ' ;; ~ 0 c:>. 0 0 "' c ;; ;; 0 ;;; 0 0 0 "' .1: "' ~ 0 0 0 0 0 0 ... l:! Gl .1: 0 0 0 0 0 0 Q; 0 0 0 Q; ii

(.) c:>. on 0 0 "' 0 o_ 0 .,-:J I( ;;; ;;; "' ~ N "' > ;;; on N >

Identification of Assets 11. II) w ... ... .,. .,. 0 .,. .,. 0

s. IBM Corp. (stock) NYSE X 211 !OX X E X A M p L E

Example: OC. or J

(DC) Microsoft (stock) NASDAQ/OTC X 1127 /OX X E X A M p L E

s Kite Pharma, Inc. X :MJ,2/10,2127,311, X 31'4,3124.3125,3f26,3131

s CBRE Group, Inc. X 12/1812015 X

s Career Education Corporation X 121912015 X

s ITT Educational Services, Inc. X 1219/2015 X

s Moneygram International, Inc. X 12/14/2015 X

s·e a o o 8 o o 8 i s 1 3 ) '

Reporting Individual's Name

I PART VII. LIABILITIES Page l'~.unber

DIANNE FEINSTEIN (Liabilities of Dianne Feinstein & Richard C. Blum) 62

Cate orv of Amount of Value {x

Report liabilities over $10,000 owed by you, your spouse, or dependent child 0

(See p.3 CONTENTS OF REPORTS Part B of Instructions), to any one creditor Q) 0 0 :0 0 0 0

at any time during the reporting period. Check the highest amount owed during 'C .l!! "' 0 0 0 0 Q) 0 0 0 0 the reporting period. Exclude: (1) Mortgages on your personal residences ~ "' .~ 0 0 0 0 0 0 0:: a. 0 0 0

0 0 0 0 0 0 : 0 0 0 unless rented; (2) loans secured by automobiles, household furniture or u c. 0 ll'i 0 u; 0 0 0 0 0 0 0 "' 0

appliances; and (3) liabililies owed Ia certain relatives listed in Instructions. £

~ <{ 0 0 0 "' 0 o_ 0 ll'i N .,. 0

.l!! - ll'i 0 0 N "' ;;; 0 .,. .,.

0 See Instructions for reporting revolving charge accounts. .l!! ~ "' ;;; "'

.,. 0 0 0

"' £ E .,. .,. ' ' 0 0 ~ 0

0 o_ 0 0 0 Q) 0 ~ 0 0 0 0 1- 0 0 0 0 ;;; 0 0 "' 0 0 0 0 .,. 0 0 0 0 0 0 (i;

0 0 0 (i; 0 ll'i 0 0 "' 0 o_ 0 ll'i

Name of Creditor Address Type of Liability ~ ;;; "' ;;; N "' > ;;; ll'i N > .,. .,. "' "' 0 "'

.,. 0

5 · I First District Bank Wash., DC Mortgage on undeveloped land 1991 13% 25yrs X E X A M p L E Example: DC,

J or I (J) John Jones Wash., DC Promissory Note 1999 10".4. On X E X A M p L E dmd

. s Northern Trust Chicago, IL Security Loan 2015 1.875 1 X

s First Republic Bank San Francisco, CA LOC 2015 3.75 On X dmd

Reportmg lndMdual s Name . , l ·tl . -- - PARTVJI. LIABILITIES r~~: ~ e·8N I'J e s ·J e 1 s 1 4 DIANNE FEI STE - - - (Liabilities of Dianne Feinstein & Richard C. Blum)

Cate ory of Amount of Value (x

Report liabilities over $10,000 owed by you, your spouse, or dependent child 0

(See p.3 CONTENTS OF REPORTS Part B of Instructions), to any one creditor Q) 0 0 :;:; 0 C> 0 at any time during the reporting period. Check the highest amount owed during "C 2 "' 0 0 C> 0

~ 0 0 the reporting period. Exclude: (1) Mortgages on your personal residences "' -~ 0 0 0 0 0

5 a:: a. 0 0 0 0 C> 0

'-' 0 0 0 0 0 0 . 0 0 0 0 unless rented: (2) loans secured by automobiles, household furniture or iii a. 0 0 0 0 0 0 b 0 .,.; ., 0

appliances: and (3) liabilities owed to certain relatives listed in Instructions. E

~ <( 0 0 0 ., 0 o _ 0 .,.;

"' ... 0

2 - Iii 0 0 "' ., ;; 0 ... ... 0 0

See Instructions for reporting revolving charge accounts. 2 E ;; U') ;; ... ... ci 0 0

"' c ... 0 0 0 0 0 Cl ~ o_ 0 ci Q)

0 0 0 0 0 0 ~ 0 0 0 .,

1- 0 0 0 ... ci 0 0 ... 0 0 0 ci ci ci Q;

0 0 0 Q; ci .,.; ci 0 ., 0 o_ 0 Iii

Name of Creditor Address Type of Liability ~ ;; ., ;; "' ., > ;; .,.; "' > ... ... ... ... 0 ... ... 0

Example: O~. I First District Bank Wash., DC Mortgage on undeveloped land 1991 13% 25yrs X E X A M p L E

J or I (J) John Jones Wash., DC Promissory Note 1999 10% On X E X A M p L E dmd

J Bank of America San Francisco, CA Mortgage - Personal 2013 2.63 7/1 ARM X Residence (No Pts)

EXEMPTION TEST (see instructions before marl<ing box): If you omitted any asset because it meets the three-part lest for exemption desctibed in tile instructions, please checl< box to the right. D --This category applies only if the asset islwas held independently by the spouse or dependent child. If the asset is/Was either held by the filer or jointly held, use the other categories of value, as appropriate.

financial disclosures...2016/05/16 · secretary of the senate may 16,2016 la tam g.p .. l.p. (page...

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