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2016 05 16 Diane Feinstein OGE Form 278 Financial Disclosure 2015 Filed May 16 2016
2016 05 16 Diane Feinstein OGE Form 278 Financial Disclosure 2015 Filed May 16 2016
May 16,2016
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
Financial Disclosures
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.
United States Senate
The remaining assets listed herein are the separate property of Senator Feinstein's spouse,
Richard C. Blum.
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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:
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.
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 BlumStrategic 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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Secretary of the Senate
May 16,2016
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 re ported, as this would cause Mr Blum's interests to be double
reported. Where applicable, BC P 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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Secretary of the Senate
May 16,2016
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:
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.
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).
Business Description: TPG LAF Equity, L.P is a limited partner ofLatAm G.P., L.P
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May 16,2016
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.
Business Description: This partnership was formed to invest in various public and private debt or
equity securities, and venture investments.
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
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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Secretary of the Senate
May 16,2016
Heaithscope Hospital Holdings Pty Ltd., Corporation was sold during 2015.
Business Description: The limited liability company was formed to invest in rental real estate of a
commercial building in Union City, CA.
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.
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.
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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Secretary of the Senate
May 16~ 2016
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:
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
BFP was formed to invest in various business ventures which provide opportunities for capital
appreciation
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.
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:
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<::1" Second City Capital Partners II, L.P. (f/k/a Second City Capital Partners I, L.P.)
<::1" (Page 52)
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0 Address: 1075 West Georgia Street Suite 2600
0 , Vancouver, BC V6E 3C9
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0 Business Description: The partnership is a provider of mezzanine debt and equity financing to
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mid-market companies. The partnership investments were sold in 2015.
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Secretary of the Senate
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New Astar Holdings, LLC (formerly Astar USA, ·L.L.C.) (Page 59)
During 2015 C-MAC, Foundation 9 and Electrical Components International were sold.
Business Description: Raw land in Coachella Valley and a single family residence in Lake Tahoe,
CA.
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:., Business Description: Real estate development in Oakland, California.
Kfl
I'"'~ I Greycroft Partners, LP (Page 48)
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Pi Address: New York, NY
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Business Description: A limited partnership that invests and trades in securities in business
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Oi ventures which may provide opportunities for capital appreciation. The partnership has invested
;u ; in 33 Across, Inc., Collective Mec;lia, Inc., Ceros Inc., Extreme Reach, Inc., lnstant.ly Inc.,
i'O i .._Joynt;t, Inc, ShoreTell, MDX Medical, Inc., Mode Media Corporation (formerly Glam Media),
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f QB.C Holdings, Inc. (formerly OnePIN, Inc.), and WideOrbit, Inc.
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Secretary of the Senate
May 16,2016
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.
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:
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.
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
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Secretary of the Senate
May 16,2016
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.
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.
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.
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Secretary of the Senate
May 16, 2016
(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.
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 LATAM GP, L.P (which serves as general
partner ofNewbridge Latin America, L.P.).
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 LATAM GP, L.P., Newbridge Latin·
America, L.P and Newbridge Andean Partners, L.P
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.
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Secretary of the Senate.
May 16,2016
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
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Secretary of the Senate
May 16, 2016
Business Description: Premier internet source of fine wine and related services.
Business Description: Leading owner and provider of high quality single family residences for
rental across the United States.
Business Description: Leading owner and provider of high quality single family residences for
rental across the United States.
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Secretary of the Senate
May 16,2016
Business Description: The production and distribution of artisan breads and baked goods.
Business Description: On demand water taxi and commuter shuttle ·service in the San Francisco
Bay Area.
Business Description: Investment in the Grand Del Mar, a luxury hotel located in San Diego, CA.
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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Secretary of the Senate
May 16,2016
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.
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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Secretary of the Senate
May 16, 2016
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.
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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16
~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
Termination Date {mmlddlyy) Prior Office I Agency In Which Employed
331 Hart, Senate Bldg. Washington DC (202) 224-3841
20519
AFTER READING THE INSTRUCTIONS- ANSWER EACH OF THESE QUESTIONS AND ATTACH THE RELEVANT PART
I YES I NO I YES I NO
Did you, your spouse. or dependent child receive any reportable travel or
Did any individual or organization make a donation to charity in lieu of
paying you for a speech, appearance, or article in the reporting period?
If Yes, complete and attach PART I. D~ reimbursements for travel in the reporting period (i.e., worth more than
$350 from one source)?
If Yes, complete and attach PART VI.
D ~
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
reportable asset worth more than $1,000 in the reporting period?
If Yes, complete and attach PART IV.
entity?
If Yes, complete and attach PART IX. D ~
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
reporting period (i.e .. aggregating more than $350 and not otherwise
exempt)?
If Yes, complete and attach PART V.
$5,000 from a single source in the two prior years?
If Yes, complete and attach PART X. Q. ~
-< ;.
.
Each question must be answered and the appropriate PART attached for each "YES" response.
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PART II. EARNED AND NON-INVESTMENT INCOME
DIANNE FEIN§'nlfNIJ 0 Q 0 tlf.l-4 ~ .i (OF DIANNE FEINSTEIN) 1'"""2'~
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.
1 City & County of San Francisco San Francisco, CA Pension $57 ,940
Report!ng IOOMdualsNa~
DIANNE FEINS . . •' 8 8 8 r_:l or) 1 4 54 PART II. EARNED AND NON-INVESTMENT INCOME p
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.
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
5 Coral Growth Investments Limited (Spouse) St. Peter Port, Guernsey Director's Fees Over$1 ,000
10
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Reporting lndMdual s
DIANNE FEIN
Na~
'TEIN
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@ I "b WJIIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(of Dianne Feinstein)
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publicly traded assets of a retirement plan. "' "' "' "' "' "'
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DC, (S) Keystone Fund X X X Example X Example
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1 City & County of San Fran cisco X X X
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. . ' IliA . PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES r~·~m~
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
If None, or less than $1 ,001 , lndudes income received or accrued to the benefit of the individual.
Report the complete name of each publicly
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 Actual
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80 8 c Amount
close of the reporting period; and/or 8_ 0
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(2) generated over $200 in 'unearned' ;;; 0 0
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income during the reporting period. c
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identification of each public bond, mutual m ;;; ~
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fund, publicly traded partnership interest.
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.5 Type)
iii
'0
.S! 0. <-i .,; ;;; "'
~
;;; "' "' "' o.
0
0 00 00 ;;; 00
0
8
0
0
Specifie
excepted investment funds, bank accounts, 8.,; 80 ;;; 0
8 ;; ]i .S! .S!
a. a. ~
"' d
..
0 0
"'c0 0o _ 0 0 0 0 8 "'iii ·s;"' !!! 'i'i 0o _ 0 8 o. 0 iii o. "'
~ o . 0 '0 c
~ ~ 'iii "'0
c: 0
z N ;;; "' <-i .,; ~ g ;;; > ;;; >
iii
excepted and qualified blind trusts. and
publicly traded assets of a retirement plan. z ;;; ;;; .,.
"'
0
;;; "'
N
"' "'
5l 0 ;;; .,.
.,; N
"'
"'
>
0 "'
0 a:
.S!
= 0"' w w
::1
0
"' "' "' "'
0
0 0
Exampi
IBM Corp. (stock) X X Exsmpl& X
s. •
Example:
DC,
J
or
(S) Keystone Fund X X X Example X
.
&/
Dated 09/23/1991
.
'""'.,.,.,.N•xr.,....- ?i r.o r:~
t<epon'"9 r.o@f·· 1.W$111A. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES r~;--
DIANNE FEINSn:'irii- -- -- ~ - (Assets owned by spouse through Blum Capital Partners, L.P.)
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
If None, or less than $1 ,001, includes Income received or accrued to the benefit of the individual .
Report the complete name of each publicly 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 Actual
-0
0
close of the reporting period; and/or ;; 0
0
0
0
0 "...c: 0
Amount
"
(2) generated over $200 in "unearned"
~
;;;
.. 0
0
0
0
0
0
0
0
00 i0 8
0
0
8
~
0 80 E .. Other
N
..
"'c: 0
0
0
0
!0
0
0
00 Require
~"
income during the reporting period. c: 0 00
~
.. ..
80 8 d
80 80 80
0 0 0 0 0
<ri
Include on this PART lilA a complete
identification of each public bond, mutual
5
0
0
0
::! <ri
0
0 0 "' N
0
"'
0
0
0 <ri
C'i <ri ;;;
0
"'
~
;;; ;;;
0
0
0
0
<ri
"' 8
0
0
0
if
"Other"
~ ;;; "' 8_ 0 ;; ~
1- ~ ~
"' 0
o. ;; Specifie
fund , publicly traded partnership interest, 0 ;; ~ 0 ;;; "' "' 0
~ ;;; <ri
o. 0
0
0
0
,; "' "
"':;; "
c:
u
..
c:
;;; ]j
I!!
"~ ".!!la. -~
.!! ·g. ~ ~
.." .. ;; ;;;;;
-2.
c: ~ ~
008,; 0 0
0
80 ;;; 0
0
0
o.
<ri
..
"'
~
d
excepted and qualified blind trusts, and
publicly traded assets of a retirement plan.
0
...
z ;;; ;;; "' ;;; ~ "'
"'
... 0
N
"' "'
> :~
0 0 a:: £ u w w 0
0
z N
J
or •
s Blum Capital Partners, L.P. :
Common Stock X X X
Reportmo tnd'""'"""' N"l!B t3 8 8 8 8 0
DIANNE FEINSTEIN
r .1 ~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(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
If None, or tess than $1,001, includes income received or accrued to the benefit of the individual.
Report the complete name of each publicly
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
-g
80 08
close of the reporting period; and/or
(2) generated over $200 in "unearned"
0
o_
:;;
0
0
0
0
0
g 8ci
...
:>
.,.
Other
....
0 80
0
0
0
Actual
Amount
.. ..8"' .."' .. .. .. ..
N
i g
E
..
0
80 0 ;;; ci
..
0 0 0
income during the reporting period. ci
0: 0 0 0
0 0
0
.,; ci 0
~ ~
0:
0 80 8 8 !0 0
0 Required
"' .. .. .. g
Include on this PART lilA a complete 80 8 0 ci ci o_ 80 .,; N "' 0
.,; 0
ci o _
..
£ 0 0 0
ci ci 0 0 (Specify £ 0 0 if
:;; '0 0 0
"' .5"> ...2
0
:l! .,; ~
N ci 0
.,; ci ~ :;; 0
identification of each public bond, mutual
.!! :;; ~
ci 0 0: .5 Type) "' 8_ 0
ri .,; ;;; "' ci "Other"
I
0 0 00 0
0
o_
·n; iii .!!"'
.. o _ 00 0
0
Common Stock X X X
Common Stock X X X
~"'""""" ""''.'"""'" N""'".o ~ ~ ~ _r.- ~t ~l M" lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES r~ N;bM
DIANNE FEI~~~ .... co · •· (Assets owned by spouse through Blum Strategic GP Ill, L.L.C. (continuation))
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
If None. or less than $1,001 , includes income received o r accrued to lhe benefit of the individual.
Report the complete name of each publicly
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 , Actual
..
0 0
close of the reporting period; and/or 0o _ 0 0 0 § 0
0 Other 0N 0 Amount
80 ci ci
LL
(2) generated over $200 in 'unearned" ;;; 0 0
8. 0
c 8 0
ci
~
0
.. 8
0 0
income during the reporting period. c 8q 8 8 ci i0 0
.,; ci
0
s"' c: 80 8-q i0 0
.. Required
0 0 0 0 0
0
Include on this PART lilA a complete "' 0
.."'
0 ci ci o. .,; "' 8ci ,
1-
.."'
=
0
..
0 .,; 0
"'.."'0 ..0
6 8 0 N 0 0 0 0 if
"' "' "'
(Specify
ci 0
"' ~ ;;; 8 "'
c: ~ 2 .s
0 0
.,; ci
0 8 ;;; &
0
0
,..
0 N 0
identification of each public bond, mutual ::! .,; ;;; ci "' Type) 0 "Other'
"' 0 0
·;;; ~ ,1- iii ,;j o _0
.,; ;;;
"' 0
.'!! ;;;
0 00 00 ' ;;; ,
..
0 0 0
fund , publicly traded partnership interest, q 0 00 o. 0 Specified
.§.
0
ci ci
ci
"' c:
(!)
~ .'!! .§. ;;; "' 0 ;;; 0
0
.,;
0 00 00 o. Q. ~
00 00 00 0 ci
.. *.. !!! ~
..
excepted investment funds, bank accounts.
..
0
.,; "' "' "'
Q.
"' 0 ci ci iii
g
0 0
iii ~ <: .!!!
~ 'iii :s "'0 ci 8
0
z ~ ;;;
c: o. .,; c: o. .,; iii o. iii
"'"'"'
0
excepted and qualified blind trusts. and Q.
0
z ;;; ;;;
0 0
;;; ~"'
on >
0 ;;;
.,; N >
0
x
i5 0:: ~ u w w 0
·
"' "'
~ .,;
;;; "' ;;; 0> ;;; 0>
publicly traded assets of a retirement plan. "' "' "'
IBM Corp. (stock) X X Example X Example
s.
Example:
DC, (SJ Keystone Fund X X X & ample X Example
or
J
Common Stock X X X
Common Stock X X
Common Stock X X X
""""'"""""""'""'""d~.:"....
· rSgfi:lrP8 ·~ ·
n n 11 l
!iW lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
Pagt~Numbet
DIANNE FEI · --- (Assets owned by spouse through Blum Strategic Equity Ill, l.l.C.) 9
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 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.
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 C> '0
0 0 Actual
close of the reporting period; and/or 0 80 0 0 § 0
(2) generated over $200 in 'unearned" ~
;;; 0
8C> 0
0
0
8
lL
.,
Other
iii 0
C>
0
0
Amount
8C> 8 80
0 0
s.,"
0
income during the reporting period. 0 00 l 0 0 0 ,_2 "'" 0
0
g i 00
C>
""' .n N.n
Required
8 80 o_ 00C> .n 80
0 0
0 0 0
Include on this PART lilA a complete £ C>
g "'
00 0 o_ 0
"' 0
g ., (Specify £ "' 0
80 0
"' "' "'
0 0 if
.n
0 0 N ;;; 00 ~ ,_2
'0 0 0 0
0 0 ;;;
"' 0
identification of each public bond, mutual
~ "' ;;; "' "'
"'
.5 Type) l:l 0
"' ::i ':i "'
"' ;;; 00~ 8 'Other"
fund, publicly traded partnership interest,
excepted investment funds, bank accounts, .£.
., 0
"'
"' 0 0 0 0 0 ;;;
I 0
o_ 0
0
g
0
80 C>
0
..
C>
0 '0
.,
"' '0"., ...!!!
"
·n;
(!)
~
.5
]l J!!
a. a. ~
'0
iii
'0
~ o_ <'i
.. ..
~ 0 0 0
0 0 8 .n ~ ·s: E.,
0
"'
0 0
;;; ..."'
N
0
"'
"' 0 ;;; ...
.n N 0 0 a::
"'
J!!
.5
a.
u"' .ll w "
0 "20 0N ;;; <'i ... ...
o.
X X
Common Stock X
Common Stock X X X
DIANNE FEIN~fk~-· ··
' " L " " ' ''";' ' • ' G. A 0 0 (If 1 ~ lilA. PUBLICLy TRADED ASSETS AND UNEARNED INCOME SOURCj:S
(Assets owned by spouse through Blum Strategic Equity Ill, LLC. (continuation))
I
Page Nurnller
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:
(1) had a value exceeding $1,000 at the 0 ..,c: Actual
;:; 0 0
close of the reporting period; and/or
(2) generated over $200 in ' unearned"
o_ 0
0
80 0
0
g 8
0
0 ..." Other ;:; 0
0
0
0
Amount
;;; c:., "'c: 0
.. ..
0 0 0
8_ 8g 80 8_ l8 §
0
income during the reporting period. c:
0 0
.,; 0 0
0
0
"' 80
0
g I 0
~ Required
0 0
~.,
0
"' "'"' 8g =
0 0
Include on this PART lilA a complete
=
0
0
0
0 0
g ~ "' "' 0
;;;
.,; .., (Specify 0
0 80 .,;
8 0
g o_
0
8 "' 80 if
0
"0 ;:; 0 0
g 0 "'
.rl w~ "' 0 ;;; "'0 ;;; 0>~ ;;;o_ 0~
o_ 2! iii
excepted and qualified blind trusts, and
publicly traded assets of a retirement plan . "' 0
z ;;; ;;; :il ;;;
"'
"'
N
"' "'
:il 0
> ;;;
0
"' "'"'"'
"'
> ·s;
0 i5 "
0::
J!!
.E (.) a
c: o.
z N ;;; <'i
"'
... "'"' "' "'
IBM Corp. (stock) X X Exsmph) X &le
S,
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
f"""~"·~-
DIANNE FEINSTEIN (Assets owned by spouse through Blum Strategic GP IV, L.L.C.)
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 period. If "None (or less than $201)" is Ched<ed, no other entry is needed in Block C for that item. lllis
If None, or less than $1,001, indudes income received or accrued to the benefit of the individual.
Report the complete name of each publicly 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
80 ~
~
0 Actual
close of the reporting period; and/or 0
8 80
:::0 0
8 0 u. Other 0 0 0 Amount
(2) generated over $200 in "unearned" ;;;
income during the reporting period. .. 0 80 0
0
8'o. 8! 0 0 8
" "' "'
"' 0 8
I 8'
~"
0 0
<= .,; 0 0
..,~ ~
0 0
80 80 8
0 0 0 0 Required
..
0
80 80 00
0 0
Include on this PART IliA a complete 5 0 0 .,; "' 80 o_ 0 .,; 0
8 ;;; 0 0
"'"' ..,<= g 2 ~ .& ;;;
0
~ ·a. a.
excepted investment funds, bank accounts, 00
<= ~ .,; 0 8
0 0 0
8o. "'
" -= ..
Q) 0.
o· 0
excepted and qualified blind trusts. and
Q)
0
0
Common Stock X X X
Common Stock X X X
Reporono IndiVIdual's Na§
DIANNE FEINSTEIN
§ § Q'G G 1:.1 ~ r
l ~~ lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by spouse through Blum Strategic GP IV, L.L.C. (continuation))
I
p... 7;~
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.)
IPogo~:'
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 enlfY is needed in Block C for that item. This
If None. or less than $1,001 , includes income received or accrued to the be nefil of the individua l.
Report the complete name of each publicly 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 g '0
close of the reporting period; and/or ;; 0
0
0 0
c:
g A ctual
o_ 0 0 0 ci
::0
u. Other ;; Amount
(2) generated over $200 in · unearned" ;;; 0 0
g 80 0
o_
! g .,; ci
0
"'c:
income during the reporting period. ..
c: 0 8 8
8 8 g ci o _ .8
0 0 0 0
0
0
c:
..
.5"
1n
2 ..
"' 80 8
0
g ! 8.,;
ci
Re quired
..
0 0
.... " .. 8_
0 0
Include on this PART lilA a complete
= .,; ci ;;;ci "' "'0 ;;; ci "' "'"' "'"' 8ci
0
0 0
...
.,; 1-
~
(Specify
= 0 0
8
0 ci o_
0
0
0
0 if
....2
0 0
.,; ci ;;; ci "' g
0
..
0 0 0 0
identification of each public bond, mutual c: > Type) U)
S! "Other"
"' "'
!!! ;;; "' 0 0
.E iii ~ col
;;; "' .,;
"' "' o_ ;;
I 0 0 0
fund, publicly traded partnership interest, q 0 0 0 Specified
.2. ;; ;; 8 ;; 0 ;;; g g ci "' 'g
0 ci <.?
1n 'iii ]l ]l '0 "' "'
.2. ;;; ;; ;; 0 8ci ;;; ci .,;
0
0
Common Stock X X X
Common Stock X X X
Reporting lndMdualsN~Cf~H~Hjl
DIANNE FEINSTEIN
0000 r
l ~lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by spouse through Blum Strategic Equity IV, L.L.C. (continuation))
Page Number
14
BLOCK A BLOCK B 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. 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
close of the reporting period; and/or 0o_ 0
0
80 '0
c: 0
Actual
0 80 0 c:i
:>
LL Other 0N 0 Amount
(2) generated over $200 in "unearned" ;;.; 0 0 8 c:i
c:i
0
0
c: u; 80 0
c:i
income during the reporting period. c: 0
0 0 0
! 0
c:i
,..,
0
c:i 0
0
" 2 c: "'., 0
80 8 g !00
0
Required
8 8c:i c:i ,..,
c:i o_ 8 .n .n
0 0
Include on this PART lilA a complete ~ 8
0
N
"' 8 ~ >- (Specify :; 0
,..,
0
0
0
g c:i 0.
0
.n 0
0 if
~
0
0 c:i 0 "' ;;.; c:i
0
"' "' ~
'0 0 0 0
;;.; 0
"' 0
identification of each public bond, mutual
fund , publicly traded partnership interest,
::l .n lll
~ ;;.;
N
;;.; "' "' I 0
0. 0
00
8
c:i
0
0 ...C>"'
c: .!: >-
.s Type) ~
jjj .!!l
0
~ C'i
0 .n
.n ;;.;
"' "'
~ 0
0
o_ 0
c:i
0
'Other"
Specified
.e. 00 00 00 ;;; 0
c:i g
"'
c:i '0 '0 '0 '0
.e. ;;.; "' "' 0 0 .n
0
"' "'
~ ;;;
0
o_
.n .n
0
Common Stock X X X
Common Stock X X X
lndMduols N~t)fil)1 9 0
RepottJng 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
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
If None, or less tllan $1,001 , includes income received or accrued to the benefit of the individual.
Report the complete name of each publicly 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 ]i! Amount
close of the reporting period; and/or
8. 0 0 8 0
(2) generated over $200 in "unearned"
0 0
0
0
0
0 "
LL Other
.,.
0 0 0
;;; 8 0
c., N 0 0
:5 ;;; 8
o.
0
i & 0.n 0 0
"' "' "' 800
0 0
0 00 00 ..., ... ~ £
> ,_2 ~
iii
Type) ..
~
0
0
o. N
0
0
0
0
"'.... .....n
0 .n
;;;
0
0
"'
"'
0
0
;;; ;;; g"' 0 0
if
'Other"
fund, publicly traded partnership interest,
e., 0 8 0 0 0
o.
;;;
80 0 0 '0
l ]l "!E., e ;;;
80
"'! 0
;;; 0 .n
0
0
.,
Specifie
excepted investment funds, bank accounts, 0 "' c:
~ 80 0 d
8_ 0 g
... ~ ., ~ .. 1l" .. ... "'
0 0
0 0 0
0
8
8. 8.n .,· "' ~ ·a.
c.
1?0 0 ~ "'
0 0 0
Iii 8.
~
1l .n .n ....
'0
Example:
DC,
J
or
(S) Keystone Fund X X X Example X .
&i
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
BLOCK A
(Assets owned by spouse through Blum Strategic Holdings, L.P.)
BLOCKB BLOCKC
l 16
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
If None. or less than $1 ,001, includes income received or accrued to lhe benefit of the Individual.
Report the complete name of each publicly 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 c: Actual
close of the reporting period; and/or 0o_ 0 80 ::1 0
0 0 00 u. Other 0 0 Amou~t
(2) generated over $200 in "unearned" ;;; 8 0
0
8 c :;: 80 0
~
u;
~ (Specify £
..
c:
0 0
0
0
0 8
8 00 00 o_
8 I0 0.n
0
0 0
0
Required
if
identification of each public bond, mutual ::!
~ ~
0
"' "' I
0 00 00 '0
"' .s ...2
c: !li '0
.s Type)
iii ;
0
~ "'C'i
8 .n
.n ;;; "' ;;; ;;; g "' 080 "Other'"
fund, publicly traded partnership interest, "'
£. "' 00 8 8 00 0o_ ;;; 8
8_ "'c: ~ ]l ;;; "' "' "' o_ 00 0 Speeified
..
'0
.n
0o_ 0 00 00 00 8
'0
excepted investment funds, bank accounts, 0
0
8
0
8 ~:;; '0 :5
J!l Q) .9. ;;;
8o_ "':;;
c: & .n 0
Q)
0 0 0 0
:;; o_ .n
Q)
"'
i!! a. a. !;'; Q)
.n 0
.s u oll w~
·s: c: 8·~ c: 0 ~
;;; "'
0 0 0
excepted and qualified blind trusts, and 0
0
"' "' 0 ;;; .n "' 0 i5
z ;;; ;;; "' ;;; :;:
0
> > Q)
0::
J!l
0
::1 0
z "' C'i .n ;;;
"' ;;; 0 ;;; 0
>
publicly traded assets of a retirement plan. "' "' "' "' "' "' "' "'
IBM Corp. (stock) X X Example X &.ample
S,
Example:
DC, ($) Keystone Fund X X X Example X Example
or
J
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
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 Ched<ed, no other entry Is needed in Block C for that item. This
If None, or less than $1 ,001 , includes income received or accrued to the benefit of the Individual.
Report the complete name of each publicly 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:
(1) had a value exceeding $1 ,000 at the 0 '0
close of the reporting period; and/or 0 0 Actual
(2) generated over $200 in "unearned"
0
q 0
0
8
0
0
q
80 ...c:"" Other 0
80
80 Amount
;; 0 0
., ....
N
8 80 80
0.
0 0
0
0 I
0
0
.. .. ...
0
0.
0
0
l(i
g 0
8 ., ~~
1n
~
{Specify 0 ~
80 00 80 00 ;;; o_
0
0
0
8 8 I0 8.;
0
.. 0
Required
0 0 "' ~ ;; 8 "'
0
N 0 1n '0 0 8 8 ~
.". = ... ·=
0 0
identification of each public bond, mutual ~ .n 2
Type) ~ 0 ,_; .; .; "'
"' ;; "' "' I ~ 00 0
., ;;; "' 0 0 'Other"
fund, publicly traded partnership interest,
excepted investment funds, bank accounts,
]!
£.
.,
;;; "'
0 0 8 0 0 ;;;
0
0 0
0
0
0
....
"'
0
0
0 '0
"a> u;
~ ~
(!)
jl '0
iii
'0
.9! a>
]! o _
.2.
;;;
;;;
;; "' "' "'
88
8_ 00 8
;;; 0 .n .. Specified
s CV Holdings Inc.
(formerty Realty Finance Corporation)
Common Stock X X X
Common Stock X X X
lndMdual • Na:flj (i)--0 0 0 0 0 l!lrl 1 ~~J.j lilA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOL,-,tt...:::,
Reportong
DIANNE FEINSTEIN
BLOCK A
(Assets owned by spouse through Blum Family Partners, L.P. (continuation))
BLOCKS BLOCKC
I 18
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:
(1) had a value exceeding $1,000 at the
0
0
0
., Actual
close of the reporting period; and/or 0 0 0 0
""
o. 80 0 0 0 lL Other 0 80 Amount
(2) generated over $200 in ' unearned" ;;; g
0
c
0
0 i g
0 0 N 0
income during the reporting period.
""' 0 80
0
0
0
8
0
0
0
0
0 ~ 0
"'
0
"'
0
0
0
~"
1ii
....2 ..
"'" 0
8 8
0
0 0
g 0i 8 0
0
Required
=
0 0
Include on this PART lilA a complete
:!
0
0 0
0
0 "'
N
0
;;;
"' I 8
0
0
"'
"' "' "'N
0 8 .,
0
1!"'
0
0
0
"'
0
8 8 0 o . 00
0 0 ;;;
0
00 "' 8
0
"' if
identification of each public bond, mutual
fund, publicly traded partnership interest,
.21 "'
;;; "' "'
;;; "' "'
0 8 0 8
o_ 0 0 g .,
0
0 ·;;;
(!)
~
'0 '0
Type) 0
o. N
£. ;;; "' "' "' "' "'
;;; "' ;;;
q 0 0
"Other"
Specified
excepted investment funds, bank accounts, £. 8 0 ;;; g 0
0 0 0
Common Stock X X
Common Stock X X X
Common Stock X X X
Common Stock X X X
s Barracuda
Common Stock X X X
.eportng n<v<1ualsName{)'J -- -- - ~lilA Page Number
DIANNE FEI~TE. ,, O O O O ~ l ,· • . PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES 19
(Assets owned by spouse Richard C. Blum)
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 that item. This
If None, or less than $1 ,001, includes income received or accrued to the benefit of the individual.
Report the complete name of each publicly 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 80 08 g
0
0 "c:
~ 0
Actual
o. 80 LL Other 0 0 Amount
(2) generated over $200 in "unearned' ;;; 0 0 0
0
g ..
E ;;;
N 80 0
0
..
0
income during the reporting period. c:
0 0
8 g 0i 0
.,; 0 .s~ ~
"'c: 8 g !:, 0
.. .. 80 80 00 o _
0 0 0 0 0 0 Required
Include on this PART lilA a complete "'
=
0
8 0 0 0 o_ .,; "' 0
=
"' .,; 80
..
0 N 0 0
..
-2. 0
"'
0 8 0 0.
I
0 ;;;
0
0
8 0
0
0
0. 0
g 80 "' ""'c:
"'!;; .,. .. ~
(!)
..
"J!la. "!oE
.9!
..
.£.
;;; "' "'
0 0 8
0
q
;;; 80 0
.,;
Specified
..
]i
~ ·a a.
0 0
c:
0 0 0
q .,; 0 0
~ "' g
0 0 0
~ ;;;o. 0 .,; "i5 ..
c: 2l>< § ... c: 0 q
0 0 0
"' 0
0 0
.,; g 00 ~ ~
"'~
excepted and qualified blind trusts, and
publicly traded assets of a retirement plan.
0
z ;;; ;;; "' "' "'
"'
N
"'
;;; oi... ...
.,; ;;;
"'
... 0 ;;; 0
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
BLOCK A
(Assets owned by spouse Richard C. Blum (continuation))
BLOCKS BLOCKC
I 20
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
If None, or less than $1 ,001 , indudes income received or accrued to the benefit of the individual.
Report lhe complete name of each publicly 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:
(1) had a value exceeding $1,000 at the 0
1! Actual
close of the reporting period; and/or
(2) generated over $200 in "unearned"
8_ 80
0
0
0
0
0
0
0
0
0
g. "
IL Other 0 8
0
8 Amount
;;; c: N
income during the reporting period.
Include on this PART lilA a complete
.. 8
c:
£
80
0
0
0
0
8
0
0
s: i8
0
0
0
0
0
0
.;
0
.,-
0
0
0
"'
0
0
~"' ...2 (Specify ..
"'c: 0
8 80
0
0
0
0 8·
0
0 o _ 00
I
0
0
0
....; g Required
;;; ;;;
"'
"'
"' I g "'0
N
o_
0
0
0
88
0
.. ..."'c: ~
£ ...2 iii"
£ Type) ~
~
0
0
o. oi
0
8 .;
..."' ...
.;
;;; ..."'
"' 0 8. 00 .; 0
0
~ ;;; 0
0
0 "Other"
Specified
8 0 0 ;;; 0 0 0 0 1! (.')
~a. "~a. al ;;;
;;;
"'"' ""'
.8- 0 0 .8- 0 0
:. 8o. 8 .; ~~ ·c.
0
excepted investment funds, bank accounts,
.. .. "' .. iii
0 0 0 0
Common Stock X X X
Common Stock X X X
s Kite Phanna
Common Stock X X X
N~a 001':1 0 b 0 0 (ll~Y\,'RU IliA. • PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES age 1' um)ISI'
Reportmg IndiVIdual '
DIANNE FEINSTEIN
BLOCK A
1 (Assets owned by spouse through Richard C. Blum & Associates, Inc.)
BLOCK B BLOCKC
I 21
Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income
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
If None. or less than $1,001 , includes income received or accrued to the benefit of the individual.
Report the complete name of each publicly
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
-g
close of the reporting period; and/or 0 0 80 80 0
Actual
(2) generated over $200 in "unearned'
o.
;;;
0
0
0
0
80 8
ci
c
"
u. Other 0 0 8 Amount
80 80 0 ci "'., 0
ci
....~
income during the reporting period. .,
"' 0
0
~
ci I0 0 ci 0
s" "'
"' 80 ~
0 0
8o . i .,; 0
Required
.,; .,; "'
0 0 0 0 0 0
Include on this PART lilA a complete = 0 0 ci ci o. 0
"' "'
0
0 ;;; ., {Spocify 5 0 0 0
0 0
if
."'"'. E~ ,_
0 ci ~ "'"'
0
Sl ;;; "' "' 0 0 0
g 0
8
~ ;;; ci "' ci
8
identification of each public bond, mutual :z .,; "' "' "' "' I
0
ci
0
ci
0 2 .5 Type) 8 :z "'
.2! o. oi .,; ~
0 "Othe ~
fund, publicly traded partnership interest,
.2! ;;; "' 0
o. 0 0 0
ci 0
0
.,"' ., ., iii
;;; "' "' o. 0
"' "' "' 0 0 8 ;;; 0 .,;
0 0
0 Specified
"' .,""' c ~ :§'i'i ~<>. !! ~
(!)
0 0 8 0 0
0 0
£. ;;; .2.
0
excepted investment funds, bank accounts,
excepted and qualified blind trusts, and "
0
o.
z"' ;;;
0
0 o.
8 "'0 Sl0
~ Sl ;;;
0
..
0
~
80. 8
..,·
0
.."'
0
0
N
"'
~ ·;;; ., 2!>< ><
" ~
a a'" !? 0 00. 0 .,;
z "' ;;; "'
0 oi
0 0
0
~· g
0
0 o. "'
;;; 0~ ;;; 0>
0
0
:;;
"' "' "'
<I) 0 0 i5 0:: (.) w w
publicly traded assets of a retirement plan. "' "' "' "' "' "' "'
IBM Corp. (stock) X X Example X &le
5,
Example:
DC, (S} Keystone Fund X X X &.smpfe X Example
or
J
Common Stock X X X
Common Stock X
- X
Common Stock X X X
Common Stock X X X
Page N~n~Dor
I -~' F.lARif3YIB NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
DIANNE FE~O Q' O O ).~
' ' ' ' '"
. 22
(Assets owned by Dianne Feinstein)
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
(2) generated over $200 in 'unearned' 8_ 80
0
0
0
80 0
0
0
c:
"
u. Other 0 0
0
8
Actual
Amount
income during the reporting period. ;;; 0 0
c., "'"'c: 0
.. ..
0
Include the above report for each undertying c: 0 80 8 g i 0
0 8 0
0
~ 0 0
8- I
0
0
.,."',.; .,."' ~
0
0 80 0
g 0 0 0 0
5 0 80 0
0 0 Required
asset, which is not incidental to the trade or
= 0
0
g ;;;0 0
;;;
0 0. 0 ,.; 8 .,"'> "1:1 (Speci~
= 0
80 0
g 8
o_ 8 ,.; 80 if
business. Publicly traded assets held by non-
::! ';i "'"' "'"'
0
0 "' 0 ~
c:
E ....
2 .5 Type) "'"' 8 "'
0 0
,.;0 0
;;; ;;;0
"' 'Other"
..
0 ,_;
0 a;
"' ~ "' 0 8 ;;;
public entity m ay be listed on Part lilA I ·n; .9! 0. ;;;
"' "' 0 8 0 0
.9! 0 0 0 0
0 0 o_ 8 Specified
..
0. 0
_g_ ;;; 0 g g "'
0 0 0
"'c:
"1:1 (!) "1:1
g ~ !!Q. ~
"1:1 "1:1
_g_ ,.;
0
0 8_
c., .9!~ ·a 1l 1l ;;;
.,c: 0o_ 0 0 8,.; 0
"' 0
..
0 0
0 0 0
"'0 0
"'
"' "' "'
ExampiO:S. I_ JP Computer. \¥ash DC X X &le X Exam{H
DC.
J
01 I Undeveloped land. Dubuque, Jovfa X &.amliO X Ex.smp/6
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
••• 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.
0
~lndMdu•l·~a f)t
1__ P.A:RJ\!.!JB · NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
1
· · 000
DIANNE FEI STEil'l
· ·lUO.;!~
BLOCK A
(Assets owned by Dianne Feinstein (continuation))
BLOCK B BLOCK C
I 23
s., ~
..
c ;;
N
"'.,c 0
8
g i
0
g
..
0 0 0
asset, which is not incidental to the trade or 0 0 0
g 0 .,·
0
q
0
0 0 8 o.
0 0
.,; 0
Required
£ 8.,; 0
0
0 0
;; 0 "' "'
0
0
N
., > ~ ~ (Speci'! £ .,., 8 0
0
0
0
0
g 0 0
0
"' 80
if
;; ;;
business. Publidy traded assets held by non·
public enlity may be lisled on Part IliA.
lll
.B! ;; "'
"'
;;
0
"' "'"'
N
I c; 0
0 8
,.,c ...
c
.: ...
, , iii
Type)
.B!
0
0
q "'
<'i
0 .,;
.,; ;;
"'
0
0
0
00 8
"Oiher"
c; c; 0 c; 8 ;; 8 .. ..
o_ q Specified
.2. ;; "'
0
0
"' c; c;
..
(!)
.2. c; 0
.B! al .,;
0 0
0 0 g 8 0 "' "' , 0
0~ ]i ~ c. !E c; 0 c; 0
0
0
o.
;;
8o. "':;;
c q .,; 0 § 0 0 :;; q .,; :;; ·s; c .,
·a 8 8 ;;; "c o_
0 8 ~
z0 ;; ;; "' "' "' 6 ;; .,;
N
0
>
0
N2
.: " 0" X
z0 N
;; "' 0
<'i .,; ~ :5 ;; 0 ;;
>
"' "' 0 0 0:: w w 0
(..)
"' "' "' "' "' "' "' "' "'
Exampte:s. I JP Compltor. Wa.sfl oc X X &empltJ X Example
J I
OC,
or Undevelopqd ~nd. Dubuque, IOwa X Example X &am/k
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
close of the reporting period: and/or 0
0
0 -g A ctual
(2) generated over $200 in "unearned" ~ 0
0
0
0
0
0
0
ci "
u. Other 0 0
0
0 Amount
Income during the reporting period. ;;; 8. ci 0
.," "' 0 0
g
..
0 0
!0 8
0 0
Include the above report for each undertying 0 0 0
...2 "' 0 0
l 0 0
asset. which is not incidental to the trade or
:;
£ 80 80
0
0
8 .,.
0
ci
0
ci
0
0
o. 0
0
on on
0
... ...
ci
"' I
0
ci
8ci
0
.. "'"
'iii
!\!
E ffi"
Type)
0
"'"' 8. .,.
"'
N'
0 on
on ;;; ~
~.,.
;;; 0
ci "Other"
~
"' 0
q 00 0 0 ~
"' 0 00 8 Specified
.& ;;;
ci -g.,
..
C) '0 '0
.& 0 0 0 0 '0 00 ;;; ci on
., 0q 0
8on ci 8 ci o . ;;; g ci "' ;;;
s ~ .91
c. ~ 0 0 8
..
0 0
0 8 "'
8 .,· !! c.
1!0 0 ~ 0 on "'.,
z" ;;;
0 ~
..."'
0
0
>
:;; o_
;;; on
~
'0
·:; .,
<:
~
·a 8 8
... ... "'
"' 0 ;;;on .,.ci"'
z "' ;;; N'
ci
0
:;;
>
0
o.
"' ;;; "'
"' "' 0 "'
"' "' 0 0 0: 0 " uJ" 0
uJ ;;; 0 ;;; 0
Eumpto:S, I JP Computer, !Nash OC X X &le X &/6
oc.
J
or I UndevelOped 4Jnd, Dut>uque. lows X Enmple X Examfi~
Otdinary
San Francisco. CA X Income
S1,J68,000
J Bank of America
J Bank of America
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
... 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.
D
N'iJ'G Cl.J l'J 0 ur:)iJ 0 ~ U.IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
~~~~ ~ \ ~ I
1
Report;ng '"""'"'""'''
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 $201 r 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 REPO RTS 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
"'5
...."
of the reporting period; and/or 0
(2) generated over $200 In ·une arned- 8_ 0
8 80
0
0
0
0
u. Other .; 0
0
Actual
Amount
income during the reporting period.
80 8 c::i g 0 .,
"' 80 0
..
0 c::i
80 00 8 s" ~
0 0
c::i .,.,c::i 8 I .,
..
Q)
lndude the above report for each underlying 8 .n 0 0
c::i c::i 0~ b .n " 0
.,.,
0
8 0 Required
8 ., 80 80 .,.,
0 0
asset. which is not incidental to the trade or 5 00 0.,., N 8 (Speci~ 5 0 0 c::i ~
0
.n 8 0
"' "'
0 0 0
00 0
8 0ci0 ;;; 8 g "' o_ 0 8 Specified
~ "' "'.'!! ~"' ;;;
e> ~ 1 c. <0
(!)
.; 8 00 8 g 0c::i 08
'0
~ 00 00 ;;; ci
0
.n
.. .. .. .; 0.,., 00 00
1li
"' "
g
.. "':;;
Q)
c::i
.n .n 0~ 0:~ c ~ "'c. w1l w~ a
0
:!!0 o_ .n g -~ ~ 0 '0 Q)
0 ~ .n ci 8 ~
.,., o_
z" N ;;; ,; .n ;;;
0
z ;;; N 5l Q) X 0
;;; 0 ;;; 0>
"' "' 0 "'
"' "' "'
(.)
"' "' "' "'
Ex.a mplo:S,
oc.
J
or
I
I
JP Computer. Wash OC
X
X
..._
Exemp/e
X
X Example
&le
EXEMPTION TEST (see irut111Ctions before msrldng bOx): If you o mitted any asset because it meets the lhrtte--part test far exemption d escribed in the ins~s. please check box to the right
... This category a pplies only if the a sset islwes held independently by the s pouse or d ependent child. If the a sset is/Was either heJd by the fder or jolntty hetd, use the ather categories of va lue. as appropriate.
0
ReportlnQindMdual s
000 Nu•o ~ p0 ~ ~~~- IDB.NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
Pogo Number
DIANNE FEINSTEIN 26
i (Assets owned by Spouse through Blum Capital Partners, L.P. (continuation))
BLOCK A
Identity of Non· Publlcly Traded
- BLOCKB
Valuation of Assets
BLOCK C
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 c A ctual
0o_ 0 0 :> 0
(2) generated over $200 in · unearned' 0 0 8 0 u. Other 0 0 Amount
income during the reporting period.
Include the above report for each underlying
;;;
..
c 0
8 8 00 i g
0 0
~
N
"':;; 0
8
0
80
8 i
0
0
0
..
0
~
0 0 0 Required
"'"'
0 0 0
asset, which is not incidental to the trade or 5 (Speci~ 5 .,; 0
o_
:il ;;;
N 0
~
0
0 80 0 0 0 80 if
business. Publidy traded assets hekj by non-
~ .,;
"' ;;; "' "' I 0o0 _ "'00 "'00 00
0 0 N 0
0 :!! > 2 .s
a; Type) ~
0
8. "'
oi
0
.,; 0 ;;;
"'
0 ;;; 00 0 "' 'Other'
public entity may be listed on Part lilA. ;;; "' £ f-
~ ;;; "'
..
0
~
;!1 ~
8. 00 8.,; Specified
.. "'
V>
E. ;;; 0
0
E. 0 8 00 8 00 00 ;;; 8 g o'
.. o _ .,; 0 0
8 :;;
0
0
o_ 0 .,; "'
"'
~
c
i!!
~ '5 c ~ ·g.
~
g l
~
~
a.
l'l
~
~
iii
..
c 0 o_
0 0
8 0 8 80
;;; g "':;;
q
c
0
z ;;; ;;;
0
"'"' .,~ "'"' "'"'
N >
0 ...
;;; .,; .,
N
0 " .5 u
0 a: ><
w w 0
:> 0
z N
"'
;;; "'
oi .,; ';!
0
"' ;;;
"' "' "' "'
0
~
0 ;;; >
0
San Francisco, CA
San Francisco. CA
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
.... This category applies only if the asset is/was held independently by tho spouse or d ependent ehUd. If the asset is/was either held by the filer or jointty held, use the other categories of value. as appropriato.
D
~eporung '""""auoos N~me
8~1':'1(1
DIANNE FEINST --
. , t ou ~~ JIIB.
•o>
NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
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
of the reporting period; anctJor 0 0
0 80 "c 0
Actual
(2) generated over $200 in "unearned" o. 0 0
0
8. g "
u. Other 0 0 0
0
Amount
income during the reporting period. ;;; 80 0
0
0
g 0
c: "' 8 c:i
lndude the above report for each undertylng
asset, which is not Incidental to the trade or
..
c
£
0
0
0
80 8 g
0
0
0
c:i
c:i
0
o.
!
0
0
or;
0
0
.0
"'
0
c:i 0
8 s"'
.,c :g> 2 ".!:
,_2
{Spe~ity
"'
;
£ 0
0
8 0
0
0
80 o, 0 !
8. 000
0
0
or; 0
Req uired
business. Publicly traded assets held by non· 00 ~ ;;;
0
0 "' "'
"' "' 0 0 ~
0
.0 g := ;;; c:i
0
"'
0
0
if
·c;; E ,_ iii
0
::! .0
"' ;;; "' "'
"' c:i 0 0
., Type) ::!
]! ~
0
00 "Oiher"
public entity may be listed on Part lilA. ]!
~
;;;
0 8 0
"'
0 80 80
0
;;; g 00
I 0
0. 0 8c:i g
0
o.
~
..
~
(!I
"]!"- "]!"- !E""' e ;;; "' "'
.0 ;;;
"' "' "' ;;;
c; 0 ;; 00 00 8
o.
0
00
g .0
0 Specified
~ ~
l!!0 0. .0 0 0
z ;;; ;;; ::l ;;; "'
00
~ o_
"' 0 ;;;
"' "'
0
0
.0
0
or; "';;;> ~ c: ]!
"' ..
c. ~
w w 0"
)( ~ iii "'c 0 0. 0 .0 g ;;;c:i0 ~
z0 "' ;;; "' .0 ;;;
"' "'
o. "'
;;;
;;;
>
"' "' "'"' 0 0 0:: E u
"' "' 0
"' 0
Fortwonh, TX
Fort Worth, TX
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.
••• 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.
D
Reportmg lndiV1duals N"601ftt
DIANNE FEINSTEIN
. )Q(I-)0
1
-
l 'e P..bt~
....
!!lB. ·NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(lssets owned by Spouse through Blum Capital Partners T, L.P. (continuation)) I
.
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, 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
of the reporting period; and/or
0 0
0
0
80 1? 0
Actual
(2) generated over $200 in ·unearned'" "
income during the reporting period.
0.
;;;
0
0
0 0 0
8 8..; g0
0
u.
..
c
Other
...0
N 80
0
0
Amount
.."
0 0 0 0
Include the above report for each undertying 0
8 0 0 i0 0
2 0
8 i ..; 8 0
asset , which is not incidental to the trad e or 5
0
0
0
80 0
0
8· 0
"' ..."'
8;;; ...
0
0.
;;;
0
0
..;
"' ...
N :ll 8
0
., ...:
.5.,
2
>-
"
(Speci~ £.," 0
0
0
0
0
0
0
80 8
0 o.
0
0
0 Required
if
., 8o. <i ..; 0
..; ;;; ... 8o. "'
0 0 0 0 0
business. Publicly traded assets held by non- ~ ;;;
N
~ ..; > .s
public entity may be listed on Part lilA. ~ ... "'
"' I
0
0
00 00 00 8 ., "
·;;; >-
iii
Type)
~ "' 0
"' "' 0 8
"Other"
Specified
.."
~
0 8..; 00 80 80 00
0
o.
;;;
~
80. 8o · 8..;
0
0
:ll
~
.. ..
"" g "~ "~ ~
., (!)
..
"
Q.
;;; 0 ;;; 0~
o. 0 o. <i
0
z
0
...
;;; ;;; "' ;;; "'
N
0
... 0
"'
"' 0 ;;; ..; ...
"'
N
0
0
z N
"'
"'
;;; ...
0
..;
"' "' "'
Example:S, I JP Computer, Wash DC X X Example X Example
oc.
J
or I Uf'ldovelop«Jiand, Dubuque, IOwa X Example X &le
Fort Worth, TX X X
Fort Worth, TX X X
Fort Worth, TX X X
Fort Worth, TX X X
EXEMPTION TEST (sH ;nstrvctians before marfdng box): If you omitted a ny asset because it meets the three-pa rt test for exemption described in the instructions, please cheek box to the right
· ·· This cate gory applies only if the asset islwas held independently by the spouse o r de pendent child. If the asset lslwas either held by the filer o r jointly held. use the other categories of value , as apl)ropriate.
D
Page Number
.. ' .. iflllifero(lj~'Rj'.dJIB. NON-PUBLICLYTRADEDASSETS~ND UNEARNED INCOME s_ OURC?ES
DIANNE FEI · (Assets owned by Spouse through Blum Cap1tal Partners T, L.P. (contmuat1on)) 29
BLOCK A BLOCKB BLOCK C
Identity of 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 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' o_
8 80 0 0
income during the reporting period.
Include the above report for each undertying
;;;
..
c: 0 0
8 8 0 o_
0
0 0
! 0 .,; 0 0
0
0
0 0
0
0
0
8
LL
..
c: .. Other
N
"':; 0
0
0
0
I0 0 0
0
0
g
Amount
.. ~
0 0
0
~ 8 Requined
..... .. 8_ 5l
0 0 0 0
asset, which is not incidental to the trade or .s 8 80 00 N0 00 ;;; 0 .,; N "' 8 (Speci~ .s 0 0 .,;
o_
8.,; 0 0
"' "'
if
0 0 ;;; 8
0
g "' 008
1;;
business. Publicly traded assets held by non- "' "' "' 0 "'.5 0 0
.." 0 0 "'"'0 0
0
!"' "'.!!!a. !E'jij~
(!)
£. 0 00 8 8 0 8 ;;; g 8 8 "' -g
0 0 0 0 ;;;
0 .,;
.,; "' ~
00 0
8 "'
~ ..
" 0 g 0 I!! o_ 0
5l 0~ ;;; ~ f!
c: o_ .,; o_ 0 f! li; o_ li;
"
0 0
z
0
;;; ;;; "'"'
0
;;; ~
"'
.,;
"' "'
N
0 0 0::
.!!!
E. 0
><
w w
><
a 0
z N
"'
;;; ..; .,; ';! 5l
"' "' "' "'
0
;;; >
0 ;;; 0
>
Fort Worth, TX
{see Blum Family Partners L.P. page 46)
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
· ·~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.
0
r
~ .,-' f.l"',...,~~
~~:~:~~;·;~~;;E~;
PagaNumber
PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(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) f or 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" ~ 80 80 0
0 ci "
u. Other 0N
0
0 Amount
g g ..
0 0
income during the reporting period. ;;; 0
c 0
..
0 0 ci
g ..0
Include the above report for each undertying c: 0
0
8 8ci 8ci g b 0
0
.,; ci 2 "'c: 0
0
0
ci i 0
80 80
0 Required
~
0 0
asset. which is not incidental to the trade or £
0
0
0
0 ci
"' :;::
o, .,;
"' 8ci f-
(Spec!~ 5 8 0
0 0
ci q
0
o6 0
.. .. .. .."'
0 0
c:
0
z
0q 0
o6
;;; ;;;
0
San Francisco. CA X X
San Francisco, CA X X
San Francisco. CA
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
... 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.
'
D
Page Ntlmber
Keporuno"'"ov"""" IMH lJ t)1SB 8 !'W;!JIB.• NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
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 e ach 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
8 08
0 0 0
A ctual
(2} generated over $200 In ·unearned" 0. 0 0 Other 0 0 0 Amount
0 0 0 0
income during the reporting period. ;;; 8 "'"'c: 0
.. ..
0
80 0 0
0 £ 8
...~
0 0 0 0 0
Include the above report for each underlying c: 0 0 0 £ 0 0 0
80 80 80 80
0 0
0 0 0 0 0 .,; 0 0 0 Required
asset, which is not incidental to the trade or £ o_ 0 .,; "' 8 £ 0 o _ § .,; 0
0 (Speci~ 0
~ ~~ ..
public entity may be listed on Part lilA.
~
;;;
"' "'
.!: Type) ...;
0
.,;
.,;
;;; ;;; 8 "Other"
.!! .!!
"' o. ;; 8
;;; 8 8
0 Specified
£. 8 ;;
8
0. 0 0
0
-g"'
~ ., " "!E" £. ;;; "' "' ;:; ;;;
g "'.,;I;;
., ;:; ;; ;; ;:; ;;
.!!
8.,; 8 0
g
0
0 8 ~ ":>! ., 8. 0.
.2: .,
0
c: o. 0 0 I;; 0. .,; ~ )2 c a:>! c: ;:; 0. 0 I;; o_
0
z ;;; ;;;
0 0
;;;
0
San Francisco. CA X X
s FWHY-881nvestors, L.P.
Fort Worth, TX X X
San Francisco. CA X X X X X
EXEMPTION TEST (see instructions before ma'*ing box): If you omitted any asset because it meets the three-part test for exemption deseribed in the instructions, P'ease cheek box to the right
... This category appties only if the asset is/was hcld independently by tho spouse or dependent child. If the asset tslwas either held by the fier or jointly held, use the other categories af value, as appropriate.
D
Page Number
M""'"""""'"oa"a"N;i'~ . !7' ~-~~ · @~~jj.!!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCON!E SOURCES
DIANNE FEINS ~,$:~'"" fAssets owned by Spouse through Richard C. Blum & Associates, Inc. (continuation))
32
BLOCK A B LOCK 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 REPORT S 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 c:
80 80
0 0 0
A ctual
(2) generated over $200 in "unearned"
income during the reporting period.
0.
;; 8 0
0
0
"c:
u. Other 0N 80
0
0
Amount
..
0 0 0 0
"iii
8 8
0
0
8 80
0 0 !0 "'c: 8 8 g i 0
~"'
Include the above report for each underlying 0 0
.0 .,. .,. ~
:ii 0
0
0
g o_
0
0 .0 0
0 Required
asset. which Is not incidental to the trade or s 8 0 0 0
.... N "' 80 "iii (Speci~ s 0 0 8 00 00 000 o_ 000 .0 80 if
business. Publicly traded assets he ld by non-
~ .0
0
., "' ...."' ;;I
.,.~ N o.
"'c: !I 2
'0
.5 Type) ~ 0 .0
"'"' 8. <'i .0 ;; "' ;;; ;; 0 "' g "O ther"
.!!! .,. "' 8
0
public entity may be listed on Part lilA. 00 .E 1- iii
"' 'iii
"' "' 0 00 ;;;o. 00.
..
0 .!!! 0
o. 80 g0 0 "'c: (!) '0
.2. "' "'
0 Sp ecified
.2. 0 0 0 0 8 0 ~ 5:"'
0 '0 '0
;; 00 .!!! .0
0
0. 0 0 g
0
8_ 0 "'iii "'
"' ~ ·a
:§ a. 0 1ii 00 8 0 0 0
0
"'
"'c:0 N0 o . <'i .0 .0 0 ~ ~ o. iii>
"'c: o. iii '0
San Francisco, CA X X
San Francisco, CA X X
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
... This categOr)' applies only if the asset islwas h etd independently by the spouse o r d ependent child. If the asset is/was either held by the flier or jointly held. use tho other categories of value, as appropriate.
0
- ...
Reponing Individual's Namel;.J
DIANNE FEINSTEIN
I:.J .I:.J 1:,1 I:.J L"' w
" ~
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 c:
80 80
0 0 0
Actual
~
(2) generated over $200 in "unearned" o_ 0 0 u. Other 0 0 Amount
income during the repor1ing period.
Include the above report for each underlying
;;;
c
80 80
0
0
0
0
0
0
8_
0 I
0
0
0
~ 0
8
0
..
<:
...~
N
"'c: 80
0
0
80
g
g I .,;
0
Required
~
Ill 0 0 0 Ill 0 0 0
asset. which is not incidental to the trade or 5 0 0
"'
0 0
0
q ·0
0 .,; "'N ::! 0
0 ;;; (Speci~ 5 0 0
0 0 0 0 o_ 8 0
8 if
business. Pubffdy traded assets held by non-
~
0
.,; 0
"' ;;; :;:
0
"'"' ;;; q
0 "' "' 0 8
0
"'c: ~
E ...
2
'0
c:
in
Type) ill 0
!l1 o_ N "' 8
.,;
o. 0
"' "' ;;; ;;;
0
g "' 0 "Other"
..
public entily may be fisted on Part filA. ;;; I ;;;
!l1
"' 0
q 00 00 ~ "' o_ 0 8.,; Specified
.. <:..
"' .8. ;;; "' "'
0 0
.
'0 '0
.8. 0 00 00 00 8 ;;; 0 '0
g g '0
8 0
00
g 0
0
0
0 g 0
0 "' "
"' ~
g a. a. 'E 0o _ 0 00 8 0
0 0
;;; g
o_ "'
0
c: o_ .,;
;;; ;;;
0
~
0 Iii q
> ;;;
0
.,;
.,; ~ ·s:
'0
g ·a 8
u"'
)(
8
)(
n;
a "
0
c: 0
;;;
.,;
"'N .,; ;;; "'0 ~ ~
Iii
;;; 0>
z "' "' "' "'"'
"'
N
0
"' "'
N
0 0 a: E w w z N
San Francisco. CA X X
BCP AIV, Inc.
s
San Francisco, CA X X
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
·~·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.
D
.~-:.-- .--.. ....... ~ .. _,
·- .... ..._..
r
Reporting lndiviclual's Name
PART 1118. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
DIANNE FErNSTEIN 34
(Assets owned by Spouse through Blum Strategic Equity II, L.L.C.)
BLOCK A BLOCK B BLOCKC
Identity of 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 Blocl< C for that item. This
Report the name, address (city, state and If None, or less than $1.001. indudes income received o r 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
of the reporting period; and/or
0 -g
8
....
0 Actual
(2) generated over $200 in Munearned• 8. 0
0
0 0
0
0 "
u. Other 0N 0
0
0 Amount
Income during the reporting period. ;;;
..
0
8 00 ! 8
0
0
0
0 0 0
.. ....2
c 8 0
0
.. 8
0 0 0 0
Include the above repor1 for each undertying c:
..; ci 0
0
s c: 80 ci 0! 8
..
0 0
8 8ci ci ci
0 0 Required
.. ..8"'
0 0 0
asset. ......tlich is not Incidental to the trade or £ 8
q 8 ..; N "' 8 (Specify £ 0 0 0 0 8_ 0 ..; 0
"' 8_ "'<'<
"'
0
' Other"
..g = ..
0
public entity may be listed on Part iliA.
"' 0 0 00 0 !!1 ;;; ~ 0
.2- 00 8ci
00
q
8ci 00 ;;;
0
8o. 8
0 00
.."' c..
'0
c: ;;;
~
g ~ ~ il e.. ;;; "' 00 8 ;;; ci
0
0
..;
Specified
San Francisco, CA
San Francisco, CA X X
EXEMPTION TEST (see lnstrudons before msrldng box): If you o mitted any asset bec:ause It meets the lt1ree-part tesl for elCemption described in the instructions. pleaso Cheek box to the right
••• 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.
D
...-.- ........ ~· r. • .·~ -,
•.
Reporting Individual's N:a..,.., Page Number
PAiUIIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
DIANNE FEINSTEIN
BLOCK A
I (Assets owned by Spouse through Blum Investment Partners II, Inc.)
BLOCKB BLOCKC
35
.. ci ci
0 0
~ "'
0 0 0 0
80 0
8 ci i0 i
~"
Include the above report for each undertying 0 0 ci ci 0
" 0
0
0
0
ci ci 0 0 .,; 0
s.." 0
0
0
0
0 0 o. Required
=
0 0 0
asset, which is not incidental to the trade or ~ .,; "'
.. .,; 8 80 8.,;
0 0 0
business. Publicly traded assets held by non- 0 ci
.,.
ci
0
"' "'
N
0
;;; 8
ci "' ~ "' 0
ci
.. :!! "
·a; ~ ...2
'0
.~
(Speci~
Type)
0
San Francisco, CA
San Francisco, CA X X
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
... 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.
D
Repo.O"g Individual's
DIANNE FEINSTEIN
- ·-
Name~"""'"' "'r -
Q 'C
" "
PART Ill B.
~ ~
36
BLOCK A BLOCK B BLOCKC
Identity of 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 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
dose of the reporting period; and/or 0
0
0 -g Actual
0 0 0 0 0
{2) generated over $200 in "unearned•
~
0
8 8 0, ci "
lL Other 0 0 0
0 Amount
income during the reporting period .
"'.," 0
0 0
0 ci 80 8 .," ~
N
"'.," 0
0
i 8
0
8 8
ci i
Include the above report for each under1ying
8 8 g
0 0 0 ci
"' 8g ~
0 0 .0 0 0 Required
asset. which is not incidental to the trade or 80 0 ci ci 0 >-- (Specify o_ 00 .0 0
business. Publicly traded assets held by non.
public ent ity may be listed on Part lilA.
= -;I
~
~
0
ci
ci
0 "' N ;;;
"'"' ;;; "' "'"' I
0
0, 0
0
ci
0
.0
"' "'"' "'
;; ;; ;; g
0
0 ."'". ~
E
~
>--
~
iii
Type) =~
~
~
0
0
0 80 8 ~- ci
.n
"'.,.<'i :li "'
;;;
0
;;; ;;; ci "'
0
0 ;;
0
0
ci
0
if
"Other"
o_ Specified
.2. "' ;; ;; ;; ;; ;;; 0 0 ci
0
.,"' '0 C) '0 '0
.,
'0
.2. ;;; ;; ;; ;; ;; ;; 8
0, 0
...
0
.0
;; ;; ci ci
"' "
u; :!§ .2! .2! ;;; 6
~
0 0
0 0 0
ci ci ..,ci ci 8_ g
0
0
.,. .," !!! ·a. IS
c. c. !E
;;; :l? ;; 0 0
.0 ci ci :;; ~ ~
;;; .n "' 0~ ~ c3 ill w~
o_ .0 .n '0 o_ 0
0
0 0 ~
... " z .,.
0 "'<'i 0
;;; 0>
z ;;; ;;;
"' ::i
"' ;;; N
;;; ;;; ;;; 0
"' "'"' "'"' 0
"' 0 0: 0 "'
"'
I JF' Computet. waSh DC • •
Eaunpte:s.
OC,
J
or I Undeveloped 18nd. Dubuque. ~a X
,._
&le
•
X
,._
ExamJie
San Francisco, CA
Preferred Stocl< X X
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
... This category applies only if the auet is/was held independently by the spouse or dependent ehlld. If the asset islwa11 oithor h eld by the fi..r or jointly held, use the othor eatogorin of vafue, as appropriate.
D
:.epottng '""""'"•' •
DIANNE FEI
i~fi'N' Q 0
E
r
0 ~ !i~·- IJJB..,~NON-PUBLICLY T~PED ASSETS AND IJNEARNED INCOME SOURCES
(Assets owned by Spouse through Blum Strategic Equity IV, L.L.C.)
Page-
37
BLOCK A BLOCK B 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. 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
dose of the reporting period; and/or 0 80 ""5 Actual
(2) generated over $200 in ·unearned" ~ 80
0 0
8 00 0 u. Other 0 0
0
0 Amount
income during the reporting period. ;;; g N 0
.. 8 08
0
..
0 0 ~
;;; 0
80 8 80
0
"' 0 0
g q i8
0 0 i 00
~"
Include the above report for each undertying ~
8.,; .,; 2 ~ 0
8 80 o0 _ 80 .,; 80
0 0 0 Required
0 <I) 0 0
asset. which is not incidental to the trade or 5 1-
0 0 N
(Speci?' 5 0 0 0
business. Pubtidy traded assets held by non-
:z
0
0 0
<I)
;;;
;;; "' "' I ci "' "' 0
N <I) "' 0 0
0
!i 2 .s"" :z 0 :1l 0 0
.,; 0 ;;;
0 ;;; 0 "' 0
if
public entity may be listed on Part IliA. .$ ':i
"' "'
<I)
o_ 0 0 0
0
0
0
0
.. "'c
"(ij
(!)
£
"".!!!a.
t- iD
Typo)
.$ 8_
£. ;;; "'
r-i
"'
o•
<I)
;;; "'
<I)
0
o. 0
0
0
"Other"
Specified
,£. 0 0 0 0 8 ;;; 0
"'"' 8_ .,; 0 0 g 0 ~ 8_ 8 .,- "'~ ·s:
0 0 8 "" 0 0 <I)
~ -;;;
~ ! !.;:"""iii" 0q 0 00 00 80 80
0
;;; 0 .,;
0
0 0
0
.,. ;;;
0 """
"
0
0
"
~
.!!! ..
a. 8 ~
w 0"
"
<:
0
0
;;;
<I)
San Francisco. CA
Preferred Stock X X
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
•• • 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. D
R lnd ld I N age \llm:Jer
,. ua • J'El~13 !;19,~1 Q Q!!Ai!!ii!1B. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
I
eportono
DIANNE FEI TE N (Assets owned by .Spouse through Blum .Strategic GP V, L.L.C.) 38
BLOCK A BLOCK B 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. 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, 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
wllich:
(1) had a value exceeding $1,000 at the
close of the reporting period; and/or
0 ,
;; 0 80 8 § Actual
(2} generated over $200 in "unearned· o. 0 u. Other ;; 80 Amount
ci 0
0 0
0 0
Income during the reporting period. ;;; 8 ;: "'c 0
80 80 08
0 00 0
.. .. "'
0 0
Include the above report for each underlying
asset, which is not incidental to the trade or
c
~ 8
0
8 0 g g
0
0
o_
i
80
0
.,;
0
~ ll! 8
0
o. ~" ...2 (Specify £ 8 80
0
0
0
8
8
8· 8_
0 i0
0
0
0
.,; 80
Required
if
g ;;; ;;;
...~ ~
0 0
~ .,; 0 ;;; ;;; "'
business. Publicly traded assets held by non· 0
:l! .,; 0
"'"' "'"' 00
0
0
;; 0 00 00
"'c
·;;; ,.Eg
Type) :l! 8 "'
...; .,; ;;; "' 0 0 "Other"
public entity may be listed on Part lilA. ~ ;;; "' I
0. ,"'c Cl ]l "
iii Jl! 0
;;;"' "' "' 0. ;; 0
0 0
Specified
..
£. ;; 0 8 00 00 ;;; 0
0
g
0 ci <0
,·;;" u; a. ~ £.
;; 0 ;; 00 ;;; 00 .,;
.. "' "'
8.,; :;;
..
Jii
..
a.
z
c
0
0
0. .,;
0
;;; ;;;
0
0 ;!
0 ci g
"'"' "' "'"'"' "'"'
:;;
>
0
0
0. 0
;;; .,; "' 0
>
0
..
;:
a::
!!!
g
.E
·a
<.)
8X 8>< <ii::0
w w 0
~
0
z
;; 00. ...;
"'
"'
;;; "'
"'
00 0 0 0
.,;
.,; ;;; 0<0 ;;;
0
"'
0
"'
~ o. :;;>
0 ;;; 0
San Francisco. CA
Preferred Stock X X
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
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.
D
;;:;;;;~-;;E~N~ ~ ·~
BLOCK A
' l.A\~1"11---"
r
- ~"' ""~n.
39
..
0 0 0
(2) gener ated over $200 in ' unearned' 0. 0 0 Other 0
80 0 0 Amount
g g 80
0 0
income d uring the reporting period. ;;; 0
c
"'"'c:
0 0
0 0
8 8o _ o _ 0 8. l .0 .0 g
0 0
8 80 go _ !:,o_
0
Include the above report for each undertying c: 0 0
0
80 "
~., ~
0
Required
..
0
asset. which Is not incidenta l to the trade or £"'
0
0
00
0 :il
~ "' "' ;;; g "' "' "'
0 0
"'
0
0
g 2 .s"
(Specify £
..
"' 0
0
0
0
0
0
o _ 0. 0
;;; ;;;
0 .0
"' 8g
0
if
business. Publidy traded assets held by non-
.. ..
0 0
~ .0 > Type) "' "' "' "' ' Other"
public entity may be listed on Part lilA. "' "' "'
"' "' I 0. 0 0 c; .S E >- iii 8. <'i 0
0 8 0
0 0 0 ;;;
0 0 g 0 80
0
0 0
"'"' "
c
(!)
]! "~a. "~ ~
0_ 0 0 0 0 0
0
0
.0
~ q .0 g § 0
0 0 (;; o _ ~ .,;
~ ·s:" c.,
"0 ~ ·a i'l i'l
D. ~
Oi " 0
c: o .0 0 § "'
0
0
~
0 0
"'
0. (;;
"'"' "' 0 ;;; "'"' "'"'
:il z "' ;;; "'
>
z ;;; ;;;
0
E u"' w w
)( )( ::> 0 <'i .0 ;;; ;;; 0>
"' "' "'"' "' 0
0 0:: 0
"' "' "' "'
En rrt9le:s. I JP Computer. WaSh DC X X &lo X Exsm,e
OC,
J
or I Undeveloped land, Dlibuque, IOwa X Exemi*J X Elt.amp/e
San Francisco. CA
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
••• T his category a pplies 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.
D
·· ·. • ·" ' ' ' J'~nnno(J~~~IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
DIANNE FEI - -J
(Assets owned by Spouse through Blum GA Ill, L.L.C.)
JPave""""""-
40
BLOCK A BLOCK B BLOCKC
Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income
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
"" of the reporting period; and/or 0
0
0
..,c: Actual
0
(2) generated over $200 in •uneamed· o. 80 80 0
0
0
ci "
u.. Other 0N
0
0 Amount
;;; g 0
0
8
0
income during the reporting period.
Include the above report for each underlying
.." 0
80 8 8o· 8
0 0
g 0! ci
0
0
0
0
ci 0
i:
Q)
~
2 "'" 0
0
0 ci i0
ci
0
0 Required
"' "' ~ ~ ci
ci 0
asset, ~ich Is not incidental to the trade or £
0
0 o."' N 8 1-
(SpeC}~
0 0 0
0
8. 0
"'"' 88
"' "' "' 8ci
ci :(l 0 0 0 if
"' ;;;I ci
0 '0 0 0
~ 2 .5
ci 0 0
;;; ;;;
business. Publicly traded assets held by non- 0
public entity may be listed on Part lilA.
<I)
"'
.!!l ;;; "'
<I)
"'
0
;;; "' "' 0
0 .., 8 " ..,E 1-.., ..,iii ..
<I)
Type)
<I)
<I)
.!!l
8q "' "'
r-i
0
;;;
0
"' "'0"'
0
ci
0
8
ci "Other"
~ 00 00 0
q 0
;;; g ci ci
g 8. (!)
<I)
;;; "' "' 8
q Specified
Q) 0 0o. 00 ci
o. g
0
ci ci iii q 00
0
0 "'iii ·s;..,"Q) i: J!!~ :§
.!!l
Q,
.!!l
0. ~
a. 8X ~ <ii ..
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Q)
c: 0
0 0
o.
"'r-i 8 o.
00
ci
;;; ci
0
ci ~ ~ q i;;
"'
"'
z" ;;; ;;;
0
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;;; "'
0 0
"' "' 0
>
;;;
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N >
0 i5
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"' "'
Q)
a: E u w w 0"
0
z N
"'
;;;
"' "'
"'
"'
;;; "'
"' "'0 ;;; 0
>
San Francisco, CA
Fort Worth, TX X X
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
••• 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.
0
~
ReoorlinglnoividuarsNilffie:;;J"""'"'"'
,.., ~ ·
r' --
r""' ~
"-"'--..
DIANNE FEINSTEIN (Assets owned by Spouse through Blum GA Ill Equity, L.L.C.) 41
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. 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
..,
of the reporting period; and/or
0q_ 0 80 80 0::
0
Actual
(2) generated over $200 in "unearned"
80 0
0 0
0 " lL Other 0 0 0 Amount
income during the reporting period. ;;; c: "'
0
g l g
0
0
8
..
0
0
0 0
8
0
"' 0
....2
0
Include the above report for each underlying
" 8 80 08 q 0 0 " 0:: 0 g 0
8 80 q 0~ on 80
0
8 on Non
0 Required
., ~> -:;;2 ..,
0
5"' "' 8
0 o_ 0
asset. which is not incidental to the trade or 0
5 0 0
(Speci~
gq_ "' "' "'0 80 ., .,., :il 8
if
0 0 "' :il ;;; 0 0 0 ;;; o.
business. Publidy traded assets held by non-
lfl on
0
"' "'
"' ;;; "' 0::"E .... .5iii Type)
.!!! 8.
0 0 on
<oi on ;;; "' ;;; 0 "' g "Other"
~ .., ..,
public entity may be listed on Part IliA. ;;; I
.!!!
"' 0 0 "' 0 q 00 0on0
Specified
.2. ;;; "' "'
0 0
.2. 0 0 00 80 00 g g g "'"' ..,-g ., ~ al
0 0
;;; ~ J!l
8 0
0 00 00 00 00 "' q00 "'
on ;;;> .,". " J!l
0. ~
o_ o. I!! ·a
" 0 ;;;&"'<oi on ;;;on 0 ;;;0
0 0
" ;;; ;;; ~ 8
~ ;;; 0"'
0:: 0 0 o_ 0
§ <ii 0::
"' "' "'"' :il"' ;;; on
" "'
0
z
"'
;;;
"' 0 "'
"' "' 0 l5 <r E u
)(
w w "
0 z
0
"'
"' "' "' "'
"'
Ex•mpJe:s. ( JP Computer. waSh DC X X bampio I &Bmple
oc.
J
or I Undevelopttd lai'KJ, Dubuque, Iowa X Example I ExampllJ
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
... This category applies only if ltle asset is/Was held independently by the spouse or d ependent child. If the asset is/was either heJd by the_filer or jolndy held, use the other categories of value, as appropriate.
D
OOQO.QQQOOJ,493
-
-
..... ...
I
Reporting Individual's Name
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, Type of Income Amount of Income
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
of the reporting period; and/or
0 0
0
0
80 1! 0
Actual
(2) generated over $200 in ~unearned~ 0. 0
8 0 0 "
u. Other 0 0 Amount
..
0
income during the reponing period . ;;; 0 0 0 ;: .,
N 0 0
.. ..
0 0
80 8 0 0
,_~
..
0 0 0 0 0
lndude the above report for each underlying c; 0 0 0 i0 0 0
.,"'0 0 c; 0 0 0 ! 0
Required
~
0 0 ori 0
80
..
0 0
asset, which is not incidental to the trade or· 5 0 0 0 o. .,
.,;
VI 8 ., (Specify 5 8 80 8
0 0
0
0 0
o.
0 .,; 0
.,"' ;;;8
0 0 0 0
business. Publicly traded assets held by non· ~
ori 0 ~ .,"' .,"'
N
0
;;; o. 0 :g
... ~ 2 .s Type) "'"'
0
ori 0 ;;; 0 0
if
public enlily may be listed on Part lilA. "' ;;; "'
"' I
0
0 0 0. 0
.,.E .,1- iii., ~
0
., ::i
0. "'
o.i 0
0
0
0
"Other"
:il .,"'
~ 00 00 00 Specified
.. "' o.
0. 0
;;; 0
..
~ 00 c; 0 00
g 80 ;;; 0 0 8 ., c; ;;
Cl
! .'!! Q)
..
~ 00 00 80 ;;; 0 ori .,
.,
.. ~
.. 'E 0 0 0
..
Q,
c; 8. ori 0
0 0 :;; 0
0.
0
0 ori :;;
0
;: ~
8X § c;; c; 0 0. .,;
"' 0 ori
.,g
:;; 0
o. iD
·;;
a ., ;;; ., .,ori
Q,
San Francisco, CA X X
San Francisco. CA
43
(Assets owned by Spouse through Blum Investment Partners, Inc. (continuation))
BLOCK A BLOCKB BLOCK C
Identity of Non-Publicly 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 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
dose of the reporting period; and/or 0 0 "g Actual
0
(2) generated over $200 In "unearned" ~ 0 8 0
0
0
o" ...c
:>
Other 0
0
0 Amount
income during the re porting period. ;;; 0
8
0 0
o0 · 8.
i0
g g
g 8
0
0 0
N
"'c 0
0
0
0
I
g
0
~" u; ~
Include the above report for each undertying c 0 0
8 0o"
.. g
0 0
8 o" 0
.n .n
0 0 Required
asset, which is not incidental to the trade or "' ~ 8
=
0
o"
o"
"' ...
0
o_ 0 N
"' ~ (Speci:>' =
"' g 0
0
8
0
0 o" ~
0
.n
8 "' 8
0
if
"' ;;;I ..."' ...
0
o"
"' "' 0 '0
..."' ..."'
0
·;;; " >- iii
business. Publicly traded assets held by non- 0 N 0 o" ~ ;;;
0
"' 2 .s .n
public entity may be listed on Part lilA. .!!
~ ;;;
0 0
o"
0
o_ 0 0 0
o"
0
0
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c
(!)
>
.s
'0 '0
Type) "'"'
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s. ;;;
~ oi
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...
0
.n ;;; 0
o_ 0 8
.n
o" o" "Other"
Specified
g o" 8o" .,. c 0 0
0 0 '0 '0 0
£. 0 0 ;;; U')
u; ]§ ~ J!!
~ 0 ;;;
g o. o" :;; 8
.. ... "" .s ..
0 0 0
o_ "'
0 0 0
"c
0 0
o _ .,; o" o" o" g >:;; o_
0
.n ~ " '0 !!! 'Ci ~
0.
~ 1ij
" 0 o_
0
.n :;;
·s:
... ...
c
z ...
0
z
0
...
0
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U')
N .,. o·
U')
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0 i3 0::
J!!
()
><
w
)(
w a 0 N ;;; "'
oi .n ;;; :5 0
;;; 0 ;;; 0>
>
"'
Elllmple:s. I JP Compurer:waSI'I OC X X &le X Exemtm
DC,
J
Of l Unc19Veloped land, DuOUQUO, f0w8 X Example X Example
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
·-This category applies only if the asset is/was h eld independently by the spouse o r dependent child. If the asset lslwas either held by the fder or jointty held, use the other categories of value. as appropriate.
D
.p.'a,f!l~~ ..,._,if':"~'----- '-::- .'"' . ~ ---""'
Reporting Individual's Name
DIANNE FEINSTEIN
BLOCK A
Identity of Non-Publicly Traded
r PARTIIIB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by Spouse through Blum Investment Partners, Inc. (continuation))
BLOCKB
Valuation of Assets
BLOCKC
Type and Amount of Income
Pago Msmber
44
8
0
0
o_
!0 0
0
.,;
0
.,;
0
0 0
0 .s., ~
.,
c:
-s., 0
0
0
0
0
o_
0
8o_ i0 0
... 8
0
.,; 0
Required
..
0 0
public entity may be listed on Part lilA .91 ;;; g g I
~ 00 0 0 ., ·;;; .,£ 1-., .,iii .91 o_ .,;
., ~ ·g. 1l 1l
0 0
.."' .. .. .. ..
0
.. ...
0 ..
0
o _ .,; 0
0
0 0 :;; 0
o.
0
0
0
.,; ~ ·;; c: 01 !! 0 ~ 0 i5
0 g ~
0
San Francisco, CA X X X X X
San Francisco, CA X X
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
... 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.
D
Reportmg lndMduol ·~m RJl 0 (~, 0 o: !f~!JJIB., ' NON.-PUBLICLy 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 dependen t 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
of the reporting period; and/or -q
;;
80
0
0
0
8
'0
c:
;; 0
Actual
(2) generated over $200 in "unearned" g 0 0 "
u. Other 0 0
0
Amount
income during the reporting period. ;,;; 0 8 ~ c., "'c: 8
0
8g 8
0
0 i
0 :;;
"' g 8
0
i0
0
.. =.s.. ....2 ~
lndude the above report for each undertying c: 8.; 0 0 0
~
0
8 0 .0 0 0 Required
asset, which is not incidental to the trade or 5" 0
8
0
0 0
0 o_ 0
0
"' "' 8
0
0 cspecir 5
.." 0 0 80 0 0
0
o_ 0 .; 0
if
"' 800
0
0 ;;; "' "' '0 0 0
.. .. g
0 Q)
0 0
;;; ;;;
business. Publidy traded assets held by non-
"'"' "' "'"' "'"'
~ 8 0
:ll .; > .s Type)
public entity m ay be listed on Part lilA. ~ ;,;; I
0 ;;
;;
c:
'iii jjj !!! q "' ;;; "'
N
0
.; .0 0
;::;
"Other'
~ ;; 0 8 8
0.
;::; ;;; 80 0
0
0 0 '0
.,c:
(.!) '0 '0
'0
~
;;; o_ 0
0
.;
Specified
0
8 "'
0 ~ !!!
a. ~ ., 0 0 ;::; ~
;;; 0
Q)
c:
0
q
0
.;
o_ 0 0 0
~
8 .,-
8. .; "'
~
'0
·s;c.. 1!1 ·a. 3
~
n; c: 0 o_ "' 0 0 0 0
~ ;;;
o_ "';;;
0
;;; ;;; Sl ~ "' 0
;;; = "
!!!
,ll w " 0 N
"' 0"' ~
;;; N .; ;;; >
"' "' "'"' "'"' "' 0
z 0 i5 a:: u 0 z 0 0
"' "' "' "' "' "' "'
Eumple:s . I JP computer, WaSh DC X X &~m~ X & amp e
OC,
J
or I UndeveJoptJd I<Jnd. Dut>tK/ue, low~ X Example X & amJio
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
... 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 val ue. a s appropriate.
D
~Mdua!s
Reporung
1
£1 0 Q I)
DIANNE FEI STEIN
J.m ttl() ~~j :!!lB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by Spouse through Blum Family Partners, L.P.)
............,
46
BLOCK A BLOCK B BLOCKC
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 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 at the dose
of the reporting period; and/or 0
0
0
..,c: Actual
0 80 0 0 0
(2) generated over $200 in ·unearned· o. 80 0 0 "
lL Other 0 0 Amount
"~..
income during the reporting period. ;;; g 8 N 80 0
..
0
80 0 0
..,~
Include the above report for each underlying c: 0 0 0 I0 8.,; 0 "'c: 0
8 g i 0
asset, which is not Incidental to the trade or 0
0
8
0
0
0
0 g 0
q .,; 0
..."' 0
0
"' 0
0
0
o. 0 o _ 00 ... 8
0
.,; 0
Required
..
~
8.
00 00 8 80 80
g
;;; 0 0
8 "'
0
"' ..,"'c: "' ~
J!! J!!
Q, Q, ~
...
~
c; 0q ~ 0.,; 80 80
0
;;; 0 "'
"..
g_ 8 .,; ~
"'c:
0 0
c:
0
z
.,; 0
;;; ;;; ..."' ;;; "' "'0
N
"' "'
~
0 ;;; .,; ... 0~ 0
"'
N
'5
0:
J!! g. i'l
s; u w )(
w
i'l
)(
a 0
z N
"'
;;;
0 .,;
C'i
"' "'
;;; ..."' ;;; ~
0 o. Q;
;;; >
0
San Francisco, CA
Tucson. AZ. X X X
.." 8 .. .. .."'
income during the reporting period. 0
0 0 0 E 0
]..,
.."'
0 0
0 0
8 0 8
i0 00 .n 0
g I
.6"
Include the above report for each underlying 0
.. .. .. 8 8 ..
0 0 0 0
0 0 .n N 8 8 0 0
asset, which is not incidental to the trade or
business. Publidy traded assets hekf by non- =::! .n
0
0
0
0 N ~
o.
8
;;; 0 0 ~
...""' ..,s ...2 .!:
(Speci~
Type)
"'
0
0
0
0
0 .n
0
0 0
0
;;;
0
o_ 0
0
0
8 if
"O ther'"
..
;;; 0
public entity may be listed on Part IItA. .!!! I 0
o. 00 00 00 o.
0
..
.£. 0 0 00 00 ;;; g 8 ci ~ <!l
i 15."8
~c. ~ .e ;;; 0 0 c; 0 ;;; ci .n
Emeryville. CA X X
San Frandsco, CA X X
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
..... 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.
D
Reportmg tmlMduatsN~~~, .• , , , . Ooitl Oa!i.W~H!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES r·~:;bW
DIANNE FEI~~)\;p (Assets owned by Spouse through Blum Family Partners, LP. (continuation))
BLOCK A BLOCK B 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. 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 at the
0
close of the reporting period; and/or
(2) generated over $200 in "unearned"
0o_
0
0
0
80 8
0
"§ Other 0
0
0
Actual
Amount
"- 0
;;; g 0 0 .,
N 0
....,2
0
income during the reporting period.
g 8 0
..
0 0 0
Include the above report for each undertying
asset. wtlich is not incidental to the trade or
<=
0 80 8
0 0
0
0
0
0
o"
0
0
o_
i0 0 .,;
.,. .,
.,;
0
...
0
U'> 80
<=
~"
..
<=
0
0
80 8 g
0
!
o_ 00
0
0 0
Req uired
£
.." (Specify £ 0 :li
0 0 U'> 0 0 N 0 0 0 0 if
0 0 .,. .,. ;;; 2 0 0 0 0 0 0
.E.
;;;
8 8
00 0
0
00
I
0.
;;;
00 00
g g 80 .,.
0
"'
0
"' "<= "'
~
~
"!!c. $
c. !E
iii
""' .E. ;;; "'0 0 00 8 8
0. 0
00 ;;; 0
0 :li
0
0 Specified
"<= ;;;
0
z
0.
0
.,; 0
;;; lll ;;;
0
0
0
., .,
U'>
N
"'
0
0
0
~ o_
;;; .,
0 .,; §! "' c
.,; ., N
0
~
0 "
a:
I!!
2
.E
..
c. 1l
u w
X
1lX
w
<ii
0
"0 N0
z" .,
o_
;;; "'
.,.
"'
.,; 0
:li ;;; "'
g 0
., ;;; 0~ ;;;0. 0~
E:.;amplo;s. I JP Computer. ~s/1 oc X X &le X &am{H
DC,
J
or I Undeveloped lantJ, Dubuqw, towa X Example X Example
San Francisco. CA X X X X X X
San Francisco. CA X X X X X
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
.... 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. q
"~""""'
DIANNE FE
9
"'v<u• ·~~ ~~0
E
E)l 0 Q:fWI!!IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
- - (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
of the reporting period: and/or 0
0
0
.,c Actual
0 80 0 0 0
(2} generated over $200 in ·unearned· o. 0 0 00 "
u. Other 0N 80
0
0
Amount
income during the reponing period. ;;; 0
80 80 i 0 8 c 0
,_~ "'"'
0
lndude the above repor1 for each underlying c 0 80 0
0 8 0 0 0
Q)
80 80 80. ! 0
Required
~
0
8 ;;;~ 000
="' 8 "'"' "'"'0
0
asset. which is not incidental to the trade or 0 0 0 "' 80 ., "' 0 0
~
·a. 8 8
E
]!
Q.
'0
$Q.
.,iii
Q)
!E
'iii
.!!!
.2. ;;;
.."' 0
"'
"' "'
0 0 0 0
0. "' 0 .,;
0
0
0.
0
0. 0 .,;
0 ;;; 0
0
8 :;;> ;;;
0
0. Q;
..
0 Specified
z "'
;;; ;;;
0
"'
"'
0
;;; :!l
0
San Francisco, CA X X
Walker Street SP Brooklyn I,
s L.L.C.
-
San Francisco. CA X X X
Montgomery Street Partners II,
s
L.P
San Francisco, CA X X
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
···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.
D
Re~rtmg IndiVIdual ·~a ~~ -0 0
DIANNE FEI TE
l 0 0 .f~j t!IB.- NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by Spouse through Blum Family Partners, L.P. (continuation))
I
Pago:oo•
i g
0 0
.. u;
..
0 0 c
0
"'c 0
.... ..
Include the above report for each undertying c 0 0 0
g 0 i s
Q) 0
0
.. ,~
0 0 0 0
.n .n 80 8
0 0 0 0 Required
asset, which is not incidental to the trade or £
0
0
0
0
0
::! .n 0 :;;
0
0
0
on
:;; "'
0
0
"'
on
o_
"' 0
0
0
0
N
~ .5
0
0
Q) {Spec_;~ £
.. 0
0
0
0
0
0
0
on' 0on
0
0
~
0
0
0
.n
"'
0
0 if
.. :;; :;;
business. Publicly traded assets held by non- 0 N
> 0 on 0 0
"' g .5 .: f- Type) 0 0
0 00 "Other"
"'
"'"'0 "'0.n :;;0 "'0 0
0
public entity may be listed on Pa~ lilA. I 0 , , , iii o.
!!l ;;>
"' 0 0 0 ~ (!) 0
0 !!l
;;>
0
o_ 0
.n
0 Specified
& 0 0 0 0 0 0 ;;> g g 0 on c 0 0
]! !!l !!l
'0
Q)
& 0 ;;>
0
g "'
,
..
0 0 0 0
Q) 0 00 0 0 8 "' ~ c. c. !E
.n ~ ·s; c !!l ·g. 1l 1l>< iii
Q)
Q) 0 0 0 :;;
c o_ .,.; 0 0
~ o. 0 0 c 0 ~ on 0 .,.;
0
~
~
~
z :;; ;;> "' ;;> "' on 0 :;; lll
.,.; >
"'"' "' "' "'"'
0
"' "'
N
"' 0 0 "'
a: .: u .ll w N
0 0
z N
"'
:;;
"' 0 :;; 0
San Francisco. CA X X
s BMGH
Sacramento. CA X X
Greycroft Partners Annex Fund,
s 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 i nstructions, ~ease check box to the right
..... 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.
D
lndMd I N
•&;(!' 0 Q8...9fl O:Gil~I!IB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
I
eportJng •• •
DIANNE FEINSTEIN • (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) 51
BLOCK A BLOCK B
Valuation of Assets
BLOCKC
Typ8 and Amount of Income
-
Identity of Non-Publicly Traded
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
...""c:"
of the reporting period; and/or 0 c: Actual
0 0 80
..
0 0
g g
(2) generated over $200 in "unearned• o. 0 Other 0 0 Amount
income during the reporting period. ;;; 80 0 N
0
0 0
0
0
0
o.
i 8 .,.; 0
0
on 0
"'
"'
0
N
0
0
8
g
Cll
.."' ...
2
(Specify £
"':ii
8 0
0
0
0
0
0
0
0
o.
8 8o. I00 on
0
0
00
...
Required
"' ..."'
0
0
8 if
business. Publidy traded assets held by non-
~ on ::: ;! N
"'
;;; 0 "' "' 0
0 0
0
.C>"'.
c:
.£
>
...2 ""
.s; Type) ~
0
0
o. N ..."'
0
0 on
on ;;;
0
... ...
0
"'
;! ;;; 00 0 "O ther'"
.. .. :a.. l5
public entity may be listed on Part lilA. I iii
.Sl
"' "' 0
o. 00 00 0
0
"'
.Sl
"'
0
0. 0
0
Specified
.e 00 0 00 0
o.
00 ;;;
0
80. 8 on "'"':;; ""c:
0
0 a; ""~ ""~
..
-2.
;;;
00 0 00 ;.;; 0
0
0
on
on 0 8 ~ o. "'~
Cll 0o_ 0
g 0 :;; 0 !!!
0.
a; 0 0 0 0 0
c: .,.; g ;;; 0
z
0
;;; ;;;
"'
N
0
>
0 ;;; on >
"' "' 0
N
i5 ~ Cll
a: (.) w
)( )(
w "
0 z
0 N
"'
;;; ...
;;; "' ;;; 0 ;;; 0
Eltample:S, I JP CompuJer, Wash OC X X E><amplo X & ample
oc.
J
or I Undevelopttd taoo. Dvbuque. Iowa X Exsmf)IIJ X &le
Ordinary
Santa Manica, CA X X Income X 51,478.703
s RST, Inc.
San Francisco. CA X X
Montgomery Street Housing I,
s 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
••• This category applies only if the asset is/Was he!~ Independen tly 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.
D
.epor. ng """•<.uas~£\~~1 0
DIANNE FE
BLOCK A
T .
()rl 0 rg ~~j ~.!!JB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
(Assets owned by Spouse through Blum Family Partners, L.P. (continuation))
BLOCK B BLOCKC
r·- 52
..
0 0 0
asset, which is not incidental to the trade or £ 0 ci 0
~-
0 >- "' g g
0 0 or; 0
{Speci~ o5
Union City X X X - X
San Francisco. CA
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
•• • 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, a s appropriate.
D
sRepon;ng Individual's ~@~ () ~ ~rl () 1.:.~~@~\B. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOMI:. ::00~"\..:::.:.
DIANNE FEINSTEIN · ·
BLOCK A
Asses owned by Spouse through Blum Family Partners, L.P. (continuation))
BLOCK B BLOCKC
I 53
....,- "'"'
0 <ri ~
0
0
Q)
~
2
>-- (Specif}
c
,s 0
0
8
0
0
0 80. i0 0
0
<ri 0
Required
business. Publicly traded assets held by non·
public entity may be listed on Part lilA.
5
~
0
0
<ri
;;:;
0
..."'
0 0
;;; ..."'"' "'"' ;;;
I
0
0
0
0
o_ 0 0 0
0
0
8 ."'.
c ~
.5
2
>--
'0
.5
iii
Type)
"'"'
!!!
0
o _ "'
0
0
0
,..; <ri
0
0
0
...
;;:;
0
0
<ri 0
..."'
8_ 00 8
0
;;:; ;;:;
0
0
0
0 "' 80
if
"O iher"
Sp ecified
.2. 0 80 0 ;;; 0 0
0
0 0 "'c
'0 (!) '0
!!!
'0
!!!
'0 ;;; "' 0 0 0 ;;; 0 <ri ...
8 "'
0 0 .2-
"c 8_
0 0 0
8. 8 "' "' ~
"' a. "'
'E
8_ 0 0 0
g 0 :;;
..
Q)
0 0 0 c !!! ·a 0 0
8 ~ ;;:; <ri ~ ~
'0
1! 1! :!? ~ ;;:;
0
z ;;;
<ri
;;:;
0
"'"'
0
;;:; "'
"' "'
"' "'
0 ... ...
0
0
'5
0
Q)
"'
!!!
.5 u"'
)(
l1J
)(
l1J
fti
0
::>
z
0
0
"'"' ;;; "'
~
0
...<ri <ri 0
;;:; "'"' "' 0
0. >
0
J
or I Undevelop6cl IOJnd, OuiJuqVO, kltva X Example X &le
San Francisco, CA
Los Angeles. CA X X
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 d escribed in the instructions. P'ease check box to the right
••• This category a pplies anty if the a sset is/was held independenUy by the spouse or d ependent child. If the asset i:shlas either hekf by the filer or jointty held, use the other categories of value, as appnJpriate.
D
0\8 C rJ 0 Ci ll~ !J.IB.
Repo.rtmo ondMduars Nli)eQ Q
DIANNE FEINSTEIN
NON-PUBLICLY :TRADED ASSETS AND UNEARNED INCOME SOURCES
(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 ,c:
of the reporting period; and/or
8. 0 80 80 0
Actual
(2) generated over $200 in •unearned•
80 0
g 8ci "
u. O ther 0 0 A mount
income during the reporting period. ;;; 0 g g .,.; c:., ;;;
"'"'c:
0
8
0
ci
g i
.. .. "'"' g !
0
lndude the above report lor each underlying c: 8 0 ci 0 0
£"'
0 0
ci g q
0
.,· 0 0
~ tl, 0
8 o. 0 .,.; 0 Required
.. (Speci'! £ 0 00 00 8
0 0 0
asset, which is not incidental to the trade or
g "'
0 0
"' 0 0
.. .."' .. .. "'"' 8 8. ..
0 0 0
business. Publidy traded assets held by non- 0 ci ;;; "' 0
0
0
ci ~
;;; 0 ci
ci 0 ;;; 8
"' 8ci
if
public entity may be listed on Part lilA.
::! .,.;
~ ;;; "' ;;; "' "' ci
"' "' I q 0 0 0
.. 00 0
0
.. "'
.5 .5
2
1-
,
.5
iii
Type} "' 0
~ o. .-<
0
.,.; '::! ;;; ci
00 0
'Other"
l ....,
o· (; ;;; 0 Spedfied
0 0 8. 8 0 ;;; g g ]i
,"'5"'c: c: !'!"' ·a.
0 0 ci .,.;
;;;
.. .. .. "' "'
.2. g .2. 0 0 ci
"' .. .. .. "'
0
~ q
0
.,.; g ;! g ci iii o . .,.;
0 0 8.,.; iii 0. !E 0 0 0 0 0 ci iii q0
0
0
> 0 0
> .9! 1l>< ~ 0" 0 "'
c: 0 o . 0
"'
.-< .,.;
.,.;g ;! > iii
>
z ;;; ;;;
"' "' "' "' 0
;;; N
0 i5 a: "' .5 "' (.) w w zN
;;; ;;; 0 ;;; 0
J
or I Undeveloped IIJttd, Dllbuquo. leMa X Example
• &smp/9
San Francisco, CA X X
s Bank of America
San Francisco, CA X X
San Frandsco. CA X X
s BTIG, L.L.C.
EXEMFJTION TEST (:;ee imtructions before marldng box}: If you omitted a ny asse1 because it meets the thre&-part test for exemption described in the insln,u;tions, please chock box to the right
••• 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 o r jointty hefd, use the other categories o1 value. as ap propriate.
D
I portJlG Inc! I N
·~~"~; 0 (j 'J 0 rt!l~ ~lB. NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
.
•
DIANNE FE STE
vcua
B
(Assets owned by Spouse through Blum Family Partners, L.P. (continuation))
BLOCKB BLOCKC
I 55
"' ;; :::
0
0
.,; 0 ;; ;; 00
0
"' 0 "Other"
business. Publidy traded assets held by non- ;; "' "' I
q 0 0 80 0 .,"'
0 "
'iii
= .e"' iii"'
0 !! o_ N
.2. ;; "' "'
.,;
q 0
0
0 Specified
l c. 'iii~
(!)
0 0 ~ 0 0 ;; 0 8 8
public entity may be listed on Part IliA.
0o_ 0 00 00 8 8 ;; 00 .,;
0 0 0
,£.
"' "" 1;i
I!! ~
.,; "'
0 0
Q) 0o_ 0 0 0 0 :;; q 0
~ '5"' "
0 "'
" 0 ;; "'N .,; ;;; ;;;0 ~ ;;; ~
~ u"' .:1 w~ 0"
0
.,; g 0 c. fj .,; 0 q
z" ;;; "' "' 0> ;;; .,; "' 0 0 0:: z"
0 0
0
;; ;;
"' "' "'
N
"'
N
J
or I Uttdev8loped land, Dubuque. Iowa X &iO X Example
Fort Worth, TX X X
San Francisco. CA
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
... 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.
D
R ndMd I
•Jatff 0 o:p0 :3~~ffij!IB. NON-PUBLICL.,Y TRADED ASSETS AND UNEARNED INCOME SOURCES
I
eportmgl ua
DIANNE FEI TE (Assets owned by Spouse through Blum Family Partners, L.P. (continuation)) 56
B BLOCK B BLOCKC
LOCKA Valuation of Assets Type and Amount of Inc ome
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 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 ~ trade or business
which: ..,
-
0
(1) had a value e xceeding $1.000 at the close ;; 0 0
§ Actual
0 0 0 0
of the reporting period; and/ or o. 0 0. u.. Other ;; 0 Amount
(2) generated over $200 in •unearned• ;; 0 0
0
0
0c5 8
80
.,c 1;;
N
0
0
o.
0
c5
income during the reporting period. c
0
8 8 8c5
0
80. I8 .,; .,; c5 80 0
0
s "'c 0
80 8 8 00i
0
~
0 0 0 0 Req u ired
Include the above report for each undertying 5"'
0
0 0 c5
"' 8 ;; "' c5
"' N
"'~ ~ ~ "'
(Specify 5 0
fi! 8
0
0
0
0 c5 0. .,; 0
0 if
~ 8. oi .,;
.,; c5 0 ;; 0
"' ;; c5 "' 0
c5 "Other"
business. PublicJy traded assets held by non- .!!! ;; "' I 0
~ .., .., .., ;;; "' 0
;; 8 S pecified
~ ;; "' "' ;;
0 0.
public entity may be listed on Part IliA.
~ ;;
8_ 8 8 8 ;; c5 o" 8 "' -g
0 0
.,"' .!!! .!!!
88
;; ;;; 0 .,;
;;; ..,
0
~ ·a ]! ~ ;; ;; 0 c5
o _ 8 .,; "' 8 "';;;>
Q. Q.
0 0 0 0
"' c5 c5
8 -.; "'c ;;
;; "' "' 0~ ;; .,; ~ ~ o_
<: ~ g 0 ·:;: c 1!>< o.
"'oi .,; .,; c5
"' > .!!!
w 0"
0
San Francisco, CA X X
Blum Family Partners GDM,
s L.L.C.
San Francisco, CA X X
San Francisco. CA 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
o o o This c:atego ry applies only if the asset is/Wa s held independently by the apouse or dependent child . If the asset iSIWas either hel d by the rder or jointly held, use the other cat69ories of value, as appropriate.
D
R rtJ I d d I N
epo ng n M ua s ~· If• fWJ.liB . NON-PUBLICLY TRADED ASS.ETS AND UNEARNED INCOME SOURCES
f'age Number
. ·C:l~tl80· • 8(}"
I
- \1!1 ' •
DIANNE FEI STE N (Assets owned by Spouse) 57
BLOCK A BLOCK B BLOCKC
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 $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
of the reporting period: and/or 0
0
0
.,
0 Actual
(2) generated over $200 in 'unearned" o.
0 0 0 5 0
Other
.,.0 Amount
0 0 0 ci "- 0 0
.,. 0 0 ci c 0
..
income during the reporting period. ~ 0 N 0
0
0
0
0
0
0
ci I0
ci 0 0 u; 0 0
i0
g
Include the above report for each undertying :;; 80 0 0 0 0 0
..; ci 0 "
~
2 :;; 0 0 ci Required
....
0 0 0
asset. which is not incidental to the trade or
0 0 ci ci o. ..; .,.
.,. "' 80 1- 0 0 0 0
.,...; 0
£ (Spe~~ £
0 ci N 0 0 0 0 ~
ci ci
0 0 0
"' .,. if
0
0 ci .,. ;;; ci
0
11 2 ~ fil 8 0
.. ;;;
business. Publidy traded assets held by non- 0 N 0 0 0 0
~ .0 .,.
"' ;;; "' 0 0 c: Type) ~ 0
.,. .,.
..; .,.
"';;; ci ci "Other"
public entity may be listed on Part lilA. .l!! ;;; I 0
o_ 0 0 0
.,E .,
1- iii .l!! o. <-J .0 ;;; 0
o. 0 0
0
Specified
s. 0
8..; 8ci g g g :v
0 0 ;;; 0
ci
0
ci
0
ci ci.,. -g
"';;; .,"' c ~
<.!)
~ .l!! "" s. ;;;
0 0 0 ;;; 0 .,.
g .0
..
0 0 0 0 "§ a. 0
0 0 0 0 !E 0 0 0 0 0 ci
"'c: o.
.,. .,."' ;;; .,. .,."' 0>
o_ 0 ..; "5
·a_ i'! i'!X (ij
"'c:0 N0 ~ "'<-J .,.
.,.
0
.0 ~
.,. ci 0
~
.,.
o.
~
z
0
;;; N .,. .,.
;;; ..; N
0
>
0 "
a: ~ (.) ,:) w 0" z ;;; "' ;;; 0 ;;; 0
"'
Examplo;S, I JP Computer. waSh DC X X Example X &smp/e
oc.
J
or I Undeveloped land, Dubuque, Iowa X Example X &le
San Francisco. CA
s Fidelity Retirement
s Fidelity Retirement
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
..... 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.
0
rtJ
UB s iT
I dMd
' .ifl
· ·OO~IO
I N
·r 8(1 !fW. ~IB · NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
I
epo ng n
DIANNE FEINSTEI 58
(Assets owned by Spouse (continuation))
BLOCK A BLOCK B BLOCKC
Identity of Non-Publicly Traded Valuation of Assets Type and Amount of Income
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
(2) generated over $200 in ·unearned" 8_ 0
0
0
0
0
0
8
ci
"'u..§ Other 0 0
0
0
Actual
Amount
0 ci
income during the reporting period. ;;:; 0 0
0
0
g 0
" u; ....
N 0 0
ci
~ g 0
0 0
8 80 8g
0
80 8 g
ci 0
lndude the above report for each underlying ! 0 ., (I>
i 8
""' ~ "
0 Required
.,g ., ~>
0
0
80 .n N .... 8
... ... ~
0
ci q 8
= o_ .n
asset. which is not incidental to the trade or 0
8 0
g ;;:; ~
(Specif)l
.,
., g 8 8 8 ci 0 ;;:; 0 ....
.,
0 if
ii! .n ...
ci ci
...2
G) 0
business. PublicJy traded assets held by non-
public e ntity may be listed on Part lilA ~ ;;; "' ;;:;
N
"' "' I
ci
0
q 0 00
0
8 g .,
0 .". ~ iii
Type)
~ "'
o_ N
0 .n
... :li ... "'
;;:; ci
0
q 0
ci
0
0
"Other"
Specified
e 0
;; 0 8 0
0
0
0 ;;;
0
g g 8ci ...;;; "'" c ., g(!) ~a. "'
~ "'
a. ~
(I>
...
e ;;;
;; 0 0 8 8
0 ;;;
0
0
g .n
"':;;>
.,ci ;;;g
(I>
(I> 0 0 ci g ci ;;; ~
., B B
·a ~ 0 o.
... 0> i5">"' 0: ~ ;;;
o. .n ci o, .n .n q
z N ;;; "'
0 0
z" ~
0 ~
>
;;; .n :> N .n ;;;
"' "' "' ....
0 (I> 0
;;; ;;; "' "' N N )( )(
0 .E (.) w w 0 0 0
"' "' "' "' "'
Eumple:S. [ JP Computer, \Nash ex; X X &le X 6t8mplo
DC,
J
or I Urldevelopod land, DcltHJqiHI, IOwa X &l8 X &le
Fort Worth. TX X X
s BTIG, L.L.C.
MoneyMa!1(et X X
San Francisco, CA X X
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
age _
\ 'Um!M!r
eportmglndovoc!uatsName(ll
·I\)" "~rP • \;J ~~'Tif!IB
· ~~I I tf-
• Gnri _..,. ·' . • NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
DIANNE FEIN'STE
BLOCK A BLOCK B
(Assets owned by Spouse (continuation))
BLOCKC
1 59
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 yo ur 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 c Actual
0q 0 0 0 0
(2) generated over $200 in "unearned' 0 0 0 0 "
u. Other 0 0 0 Amount
income during the reporting period. ;;; 0 0 0
8 1': ....c
N 0 0
.. 80 80 ci
....
0 0 0 ci
0 ci i 2 80 i0
~"
Include the above report for each underlying c 0 0 ci ci 0
80 8 0 0 Required
... ..
0 0 0
0 ci ci o_ 80 .,; ~ :ll 8_ 1- 80 8 ~ 80
asset, which is not incidental to the trade or
= .,; 0
0 ci
ci
"' "' 0
;;; ci "' !i
-;;; (Speci:r
~ · Type) = 0
0
0
0
o"
.,; ci ~
0 .,;
"'
if
..
0
business. Publicly traded assets held by non·
~ ....
0 N 0
2
0 0 ;;;
"' ;;; "' "' ~ "'
c ..; .,; ;;; ci ci "Other"
public entity may be listed on Part lilA. .!!l I 0
q 00 00 00 0
0 ·o; .E >- iii .!!l "' "'
"' 0
00 0
Specified
"' ci ;;; "' "' o. 0
..""
C> '0 '0
00 00 00 00 ;;; ci ci 00 ;;; .,;
'0 '0
$ $
£. i5 8 .,; "'"' "" 1': ~ ~
£.
0o_ 0 00 00 00 ci ci
..
0
"0 ~ .. o_ "'
0 0 0 Q. Q. !E 0
.,; ci 8 ci ci ~ q 0 '0 'i'i 1l 1l ~ 0 .,; ~
.... 0!i i5'> " .E$ "' .,; ;;; o"
z" ;;;
0 0
!i
"' ;;; "'"' "'"' 0
.,; ;;; ..;
N
;;; .... N
c:.>
)( )(
0 z
0 N
"' ;;; 0 ;;; 0
"' "' "' UJ UJ
"' "' "'
Eumplo:s. I JP Computer. W<lsh DC X X f;amplo X En mpe
oc.
J
or I VrtdfMdopt!d 1/Jnd, Dllbuque. IOwa X <>ample X &.empe
s Bank of America
X
Miami, FL X
s BTIG,LLC.
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
... 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.
D
oe ~:{:) 8 8 F' 8 o.!I~I !tiB.
R rtJ lnd d alsName l'ageN'\Jmber
NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES
epo ng
DIANNE FEINSTE N
M u
BLOCK A
. (Assets owned by Spouse (continuation))
BLOCK B BLOCKC
I 60
..."'
0
0
0
;;; ..."' ..."'
N ;;;
0
0
0
N
"' 00
0
0
0
.""'. .., .,~
>
.E
.5
iii
Income
"'
"'
0
8_
0
0
"'
.-<
0
0
...
0
.,;
0
0
.,;
0
...
0
;;; "'
0
;;; ;;;
0
0
0
0
0
0
0
if
"Other"
.!!!
' 0
o_ 00 00 0
., .!!! 0
o_ 0 0
Specified
"'
.,.
"' ~
"' ..."' ..."'
N
0
>
0 ;;; . .,;
"' ...
N >
0 i5 0::
~
.E "'
u w
)( )(
w 0" z"
0 N
"'
;;; .-<
"' "' "' ..."'0 0
>
0
s BTIG 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
... 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.
D
ReportJ og lnd ovlduaI s N~·
· ee13 o, o o o · ,sli 12
age
'"m:ter
DIANNE FEINSTEIN .
1 PART IV. TRANSACTIONS
I 61
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) 0
Instructions) during the reporting period of any real property, stocks, 0 0
0 0 0
bonds, commodity futures, and other securities when the amount of the
.
0 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
Transaction 0 0 0 0 0
.,.on .,.Non .,."'
0 0 0
Do not report a transaction involving property used solely as your personal 0
o_ 0
0 0 0 0 0
Date 0 0 0 0 0
0
residence, or a transaction between you, your spouse, or dependent child.
Please clarify which two properties are involved in any reportable
{Mo., Day, Yr.) .,- .,."'
0 0 0
;;;
N
0
"' .,."'
.,.
0
;;; 00
00
0
0
0
Gl Gl
OJ ;;; ' 0c:>. 00 00 0
exchange.
"'"' c
;; ;; ;;
' ~
0 00 ;;; 0 0
0
0
..."'
.1:
l:! Gl "'
.1:
(.)
~
0
c:>.
0
on
0
0
0
0
0
0 0 Q;
0
o_
0
0
0
.,-
0
Q;
Identification of Assets
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IBM Corp. (stock) NYSE X 211 !OX X E X A M p L E
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(DC) Microsoft (stock) NASDAQ/OTC X 1127 /OX X E X A M p L E
Report liabilities over $10,000 owed by you, your spouse, or dependent child
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(See p.3 CONTENTS OF REPORTS Part B of Instructions), to any one creditor Q)
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at any time during the reporting period. Check the highest amount owed during .l!! 0 0
the reporting period. Exclude: (1) Mortgages on your personal residences
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unless rented; (2) loans secured by automobiles, household furniture or £ u; <{
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appliances; and (3) liabililies owed Ia certain relatives listed in Instructions. .l!!
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See Instructions for reporting revolving charge accounts.
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appliances: and (3) liabilities owed to certain relatives listed in Instructions.
See Instructions for reporting revolving charge accounts.
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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
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Mortgage - Personal
J Bank of America San Francisco, CA 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.
--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.
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