1

Washington, District of Columbia

Vice Chair

Present

2

Washington, District of Columbia

consultant

Present

3

Rosslyn, Virginia

Member, Management Committee

Present

4

Washington, District of Columbia

Volunteer

1/2021

5

Omaha, Nebraska

Executor (uncompensated )

Present

6

Portsmouth, New Hampshire

Director

Present

7

Washington, District of Columbia

Director

Present

8

Washington, District of Columbia

Senior Advisor

Present

1

Albright Stonebridge Group (post-sale)

Salary

$23,797

2

Albright Stonebridge Group (cap. gains received from sale)

Capital Gains

$100,001 - $1,000,000

3

Dentons Global Advisors (equity in new firm, 5% currently vested)

$50,001 - $100,000

None (or less than $201)

4

Albright Capital Strategic Investment Partnership IV, LP

4.1

Atlas Corporation (container ships, temporary power)

$1,001 - $15,000

None (or less than $201)

4.2

Crecera Corporation (trade finance)

$1,001 - $15,000

None (or less than $201)

4.3

Hedgepoint Global Markets LLC (investment firm)

$1,001 - $15,000

None (or less than $201)

4.4

Innovattel LLC (telecom)

$1,001 - $15,000

None (or less than $201)

4.5

Rodovias do Tiete SA (infrastructure)

None (or less than $1,001)

None (or less than $201)

4.6

ACM Tower Holdings I: Innovattel (cellphone towers)

$1,001 - $15,000

None (or less than $201)

1

Washington, District of Columbia

Pursuant to the sale agreement of ASG and documents establishing DGA, a portion of sale proceeds were held as a fixed cash receivable and will be paid on a fixed, regular schedule through 2026.

6/2021

2

Washington, District of Columbia

Pursuant to the sale agreement of ASG and agreement establishing DGA, a portion of sale proceeds were converted to equity in DGA. Only 5% of the equity was vested to start, and the remainder vests on a regular schedule. I will forfeit unvested equity when I withdraw. The value of vested equity will be fixed on a date no later than the date of my withdrawal and will be paid on an agreed, fixed schedule by July 15, 2024.

6/2021

3

Washington, District of Columbia

I will continue to hold this account. Final payment to retirement account (Part 2, Item 6) for 2021, with payment expected by April 2022.

9/2001

4

Washington, District of Columbia

Pursuant to the sale agreement of ASG and agreement establishing DGA, an earnout may be paid on/around June 1, 2024, based on a formula in the agreement reduced to pro rata share based on number of days remaining in the firm and calculated on income through my date of resignation.

6/2021

1

Washington, District of Columbia

Services as Vice Chair and principal of Albright Stonebridge Group until its combination with Dentons Global Advisors. At present, services as Vice Chair of Albridge Stonebridge Group within the new entity.

2

Washington, District of Columbia

consulting services

3

Redmond, Washington

consulting services

4

New York City, New York

consulting services

5

New York City, New York

consulting services

6

Phoenix, Arizona

consulting services

7

San Francisco, California

consulting services

8

New York City, New York

consulting services

9

New York City, New York

consulting services

10

Los Angeles, California

consulting services

1

Hexon SSOC LLC (self-storage)

$5,000,001 - $25,000,000

profit share

$79,817

2

Peabody Vacaville LLC (self-storage)

$250,001 - $500,000

profit share

$26,712

3

Peabody ABQ LLC (self-storage)

$250,001 - $500,000

profit share

$0

1

Schwab One Brokerage

1.1

Schwab MarketTrack Growth Portfolio Investor Class Shares (SWHGX)

$500,001 - $1,000,000

$15,001 - $50,000

1.2

U.S. investment account (cash)

$1,000,001 - $5,000,000

None (or less than $201)

2

Maryland 529

2.1

T Rowe Price Equity Index 500 Fund Class I Shares (PRUIX)

$15,001 - $50,000

None (or less than $201)

2.2

T Rowe Price Blue Chip Growth Fund, Inc Class I Shares (TBCIX)

$1,001 - $15,000

None (or less than $201)

2.3

T. Rowe Price Value Fund - I Class

$1,001 - $15,000

None (or less than $201)

2.4

T Rowe Price International Stock Fund Class I Shares (PRIUX)

$1,001 - $15,000

None (or less than $201)

2.5

T Rowe Price International Value Equity Fund Class I Shares (TRTIX)

$1,001 - $15,000

None (or less than $201)

2.6

T Rowe Price Overseas Stock Fund Class I Shares (TROIX)

$1,001 - $15,000

None (or less than $201)

1

JPMorgan Chase

$500,001 - $1,000,000

2020

30 years

2

JPMorgan Chase

$500,001 - $1,000,000

2017

10 year

1

1

ASG became part of Dentons Global Advisers in June 2021 but continues to operate as an independent entity.

1

2

salary paid through Albright Stonebridge Group

2

1

This reflects salary from the new firm through July 14, 2021.

2

2

This reflects capital gains received in 2021 for the sale of the firm.

2

3

This reflects the value of the initial, vested portion of shares in Dentons Global Advisors.

2

5

ASG partners have an interest in Albright Capital. This valuation reflects distributions for January 2020 - July 2021.

2

7

Stipend was $10,000 for analysis and advice on programs in 2020. Full amount transferred to Albright Stonebridge Group.

2

8

Profit share and distributions owed from January 2020 to June 1, 2021

2

9

This includes deferred cash from the sale of the firm. Payments will be made on a schedule to be included in a severance agreement.

2

11

This assumes departure from firm in the first quarter of 2022.