| 9. |
| (a.) |
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
[Enter Owner Information]
Owner Information
List the respondent, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the respondent, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated partners and/or members. Create a separate row for each individual or entity. Attach supplemental pages, if necessary.
(Read carefully - The numbered items below refer to line numbers in the following table.) |
1. Name and address of respondent and each party to the respondent holding an attributable interest (if other than individual also show name, address and citizenship of natural person authorized to vote the stock or holding the attributable interest). List the respondent first, officers next, then directors and, thereafter, remaining stockholders and other entities with attributable interests, and partners.
2. Gender (male or female).
3. Ethnicity (check one).
4. Race (select one or more).
5. Citizenship. 6. Positional interest: Officer, director, general partner, limited partner, LLC member, investor/creditor attributable under the Commission's equity/debt plus standard, etc.
7. Percentage of votes.
8. Percentage of total assets (equity debt plus).
|
| 1. Name and Address |
JOHN F. WELCH, JR., GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
CHAIRMAN, CEO & DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
DENNIS D. DAMMERMAN, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
VICE CHAIRMAN & EXEC. OFFICER |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
EUGENE F. MURPHY, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
VICE CHAIRMAN & EXEC. OFFICER |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
JOHN D. OPIE, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
VICE CHAIRMAN & EXEC. OF. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
JAMES I. CASH, HARV. GRAD. SCHL. OF BUS., BOSTON, MA 02163 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
PAOLO FRESCO, FIAT SPA, VIA NOZZA 250, 10126 TORINO, ITALY |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
IT |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
CLAUDIO X. GONZALEZ, KIMBERLY-CLARK DE MEXICO, 11510 MEXICO CITY, MEXICO |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
SILAS S. CATHCART, ILLINOIS TOOL WORKS, 222 WISCONSIN AVE., SUITE 103, LAKE FOREST, IL 60045 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
ANDREA JUNG, AVON PRODUCTS INC., 1345 AVE. OF AMER., NEW YORK, NY 10105 |
| 2. Gender (male or female) |
Female
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
CA |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
GERTRUDE G. MICHELSON, FED. DPT. STORES, 151 WEST 34TH ST., NEW YORK, NY 10001 |
| 2. Gender (male or female) |
Female
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
SAM NUNN, KING & SPALDING, 191 PEACHTREE ST., N.E., ATLANTA, GA 30303 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
ROGER S. PENSKE, PENSKE CORP., 13400 OUTER DRIVE, WEST, DETROIT, MI 48239-4001 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
FRANK H.T. RHODES, CORNELL U., 3104 SNEE BLDG., ITHICA, NY 14853 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
ANDREW C. SIGLER, CHAMP. INTNL. CORP., 1 CHAMPION PLAZA, STAMFORD, CT 06921 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
DOUGLAS A. WARNER, III, J.P. MORGAN & CO., INC. & MORGAN GUARANTEE TRUST CO., 60 WALL ST., NEW YORK, NY 10260 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
DIR. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
PHILIP D. AMEEN, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
V.P. & COMPTROLLER |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
JAMES R. BUNT, GE, FAIRFIELD CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
V.P., TREAS. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
DAVID L. CALHOUN, GE LIGHTING, NELA PARK, CLEVELAND, OH 44112 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
EX. OF., SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
BENJAMIN W. HEINEMAN, JR., GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P., GEN. COUNSEL, SEC. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
JEFFREY R. IMMELT, GE MEDICAL SYS., P.O. BOX 414, MILWAUKEE, WI 53201 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
GORAN S. MALM, GE MED. SYS. ASIA, LTD., 7-127 ASAHIGAOKA 4CHOME, HINO-SHI, TOKYO 191, JAPAN |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
SN |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
W. JAMES MCNERNEY, JR., GE AIRCRAFT ENG., 1 NEUMANN WAY, CINCINNATI, OH 45215 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
ROBERT L. NARDELLI, GE POWER SYS., 1 RIVER ROAD, SCHENECTEDY, NY 12345 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
ROBERT W. NELSON, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
GARY M. REINER, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
JOHN G. RICE, GE TRANSP. SYS., 2901 EAST LAKE RD., ERIE, PA 16531 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
GARY L. ROGERS, GE PLASTICS, 1 PLASTICS AVE., PITTSFIELD, MA 01201 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
KEITH S. SHERIN, GE MED. SYS. FIN., 20825 SWENSON DR., SUITE 100, WAUKESHA, WI 53186 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
SR. V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
| 1. Name and Address |
LLOYD G. TROTTER, GE, FAIRFIELD, CT 06431 |
| 2. Gender (male or female) |
Male
|
| 3. Ethnicity (check one) |
Hispanic or Latino
Not Hispanic or Latino |
| 4. Race (select one or more) |
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or Other Pacific Islander
White
|
| 5. Citizenship |
US |
| 6. Positional Interest |
V.P. |
| 7. Percentage of votes |
0.00 |
| 8. Percentage of total assets (equity debt plus) |
0.00 |
|
| (b) |
Respondent certifies that equity and financial interests not set forth in response to Question 9(a) are non-attributable. |
Yes No
N/A
See Explanation in
[Exhibit 2]
|
| (c) |
Is the respondent or any party holding an attributable interest in the respondent also the holder of an attributable interest in any other broadcast station or in any cable or newspaper entities in the same market or with overlapping signals in the same broadcast service, as described in 47 C.F.R. Sections 73.3555 and 76.501? |
Yes No |
| If "Yes", submit an Exhibit identifying the holder of that other attributable interest, listing the call signs, locations and facilities identifiers of such other broadcast stations, and describing the nature and size of the ownership interest and the positions held in the other broadcast, cable or newspaper entities. |
[Exhibit 3] |
| (d) |
Are any of the individuals listed in response to Question 9(a) related as parent-child, husband-wife, brothers and sisters?
|
Yes No
|
| |
If "Yes", submit an Exhibit setting forth full information as to the family relationship
|
[Exhibit 4]
|
| (e) |
Is respondent seeking an attribution exemption for any officer or director with duties unrelated to the licensee or permittee?
If "Yes", submit an Exhibit identifying that individual by name and title, fully describing that individual's duties and responsibilities, and explaining why that individual should not be attributed an interest.
|
Yes No
[Exhibit 5]
|
|