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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 270 Park Avenue |
Address2 |
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| City | New York |
State | NY |
Zip Code | 10017 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 25807-12
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6. House ID# 312800000
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| TYPE OF REPORT | 8. Year | 2014 |
Q1 (1/1 - 3/31) | Q2 (4/1 - 6/30) | Q3 (7/1 - 9/30) | Q4 (10/1 - 12/31) |
9. Check if this filing amends a previously filed version of this report
| 10. Check if this is a Termination Report | Termination Date |
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11. No Lobbying Issue Activity |
| INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
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| 12. Lobbying | 13. Organizations | ||||||||
| INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
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| Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). | 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options. | ||||||||
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Method A.
Reporting amounts using LDA definitions only
Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code Method C. Reporting amounts under section 162(e) of the Internal Revenue Code |
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| Signature | Digitally Signed By: Nathan J. Gatten |
Date | 1/20/2015 5:27:12 PM |
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code BAN
16. Specific lobbying issues
H.R. 2767, 3211; S. 1376; S. 1217; S. 249; S.563; H.R. 240; S. 10; H.R. 2642 - Discussed home mortgage loan modifications, foreclosures, servicing, and refinancing; discussed housing finance reform and related issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Federal Reserve System, Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), Housing & Urban Development - Dept of (HUD), Federal Housing Finance Board (FHFB)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Thomas |
Koonce |
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Steven |
Patterson |
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Brendan |
Reilly |
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Hilary |
West |
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Jason |
Rosenberg |
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Thomas |
Michael |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code CPT
16. Specific lobbying issues
S. 866, 1013; H.R. 845, 2024, S. 1720, S. 1612, H.R. 3309; S. 1013, S. 2049 - Discussed issues related to financial services patent reform.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Hilary |
West |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code CSP
16. Specific lobbying issues
S.172; H.R. 990; H.R. 1261; S. 1229; S. 635; H.R. 4662; H.R. 1261 - Discussed issues related to interchange fees and settlement; discussed consumer protection issues related to financial services and products generally.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Brendan |
Reilly |
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Hilary |
West |
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Steven |
Patterson |
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Jason |
Rosenberg |
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Thomas |
Koonce |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code FIN
16. Specific lobbying issues
S. 1861; S. 474; H.R. 634, 677, 992, 1062, 1003, 1256, 1341; S.798, 1282, 985, 1369; H.R. 129, 2374; H. R. 391; H.R. 4167; H.R. 3623; S. 2124; H.R. 4413; H.R. 5016, 4800 (implementation of and potential modification of the Dodd-Frank Act only); H.R. 5421; H.R. 5461; H.R. 5405 - Discussed implementation of the Basel capital accord, including the Liquidity Coverage Ratio (LCR). Discussed commodities issues; CFTC re-authorization; SEC and equity market structure reform; rulemakings on the fiduciary standard for broker-dealers and investment advisers; proposals related to bank structure, capital requirements, capital formation and market structure; discussed issues related to financial institution bankruptcy reform.
17. House(s) of Congress and Federal agencies Check if None
Treasury - Dept of, Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Labor - Dept of (DOL)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Steven |
Patterson |
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Thomas |
Koonce |
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Brendan |
Reilly |
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Hilary |
West |
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Jason |
Rosenberg |
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Pierce |
Scranton |
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Thomas |
Michael |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code HOM
16. Specific lobbying issues
S. 884, S. 21, H.R. 1468, H.R. 624, H.R. 3696, S. 1927; S. 1897; H.R. 4662 - Discussed proposals related to cyber security and data protection.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Hilary |
West |
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Brendan |
Reilly |
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Steven |
Patterson |
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Jason |
Rosenberg |
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Thomas |
Koonce |
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Thomas |
Michael |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code INS
16. Specific lobbying issues
S. 2244, H.R. 508, H.R. 4871 - Discussed the extension of the Terrorism Insurance Program established under the Terrorism Risk Insurance Act of 2002.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Steven |
Patterson |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code IMM
16. Specific lobbying issues
H.R. 2131; S. 744; S. 169 - Discussed issues related to immigration reform.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Jack |
Bartling |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code POS
16. Specific lobbying issues
S. 1486; H.R. 2748; H.R. 4670; H.R. 5179 - Discussed issues related to U.S. Postal Service modernization.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Hilary |
West |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code RET
16. Specific lobbying issues
Discussed the impact of proposed changes to the provision of investment advice, fee disclosure, target date funds and plan fiduciaries' responsibilities with respect to brokerage windows in 401(k) plans.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Thomas |
Koonce |
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Pierce |
Scranton |
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Brendan |
Reilly |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code SMB
16. Specific lobbying issues
Discussed Small Business lending issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Small Business Adminstration (SBA)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Steven |
Patterson |
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Jason |
Rosenberg |
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Thomas |
Michael |
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Brendan |
Reilly |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code TAX
16. Specific lobbying issues
H.R. 4429, S. 2260 - Discussed various issues related to corporate tax reform; discussed proposals to renew expired tax policies; discussed proposed changes to information reporting requirements.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Jack |
Bartling |
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Pierce |
Scranton |
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Jason |
Rosenberg |
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Thomas |
Koonce |
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Steven |
Patterson |
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Brendan |
Reilly |
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Thomas |
Michael |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code TRD
16. Specific lobbying issues
S. 2709; S. 1900 - Discussed issues related to the trade negotiations between the United States and European Union, the Trans Pacific Partnership and renewal of Trade Promotion Authority. Discussed the reauthorization of the Export-Import Bank.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, U.S. Trade Representative (USTR)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Jack |
Bartling |
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Jason |
Rosenberg |
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Pierce |
Scranton |
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Thomas |
Koonce |
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Thomas |
Michael |
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Steven |
Patterson |
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Brendan |
Reilly |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code VET
16. Specific lobbying issues
H.R. 1842; H.R. 1960; H.R. 821, H.R. 2481, S. 1579, S. 1999; H.R. 4050; H.R. 4068; S. 3008 - Discussed Veterans hiring, foreclosure relief, and the Servicemembers Civil Relief Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Defense - Dept of (DOD)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Steven |
Patterson |
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Hilary |
West |
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Thomas |
Koonce |
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Brendan |
Reilly |
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Jason |
Rosenberg |
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Thomas |
Michael |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code LBR
16. Specific lobbying issues
Discussed workforce training issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Jason |
Rosenberg |
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Steven |
Patterson |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code GOV
16. Specific lobbying issues
S. 1898; S. 2520 - Discussed issues related to settlement agreements with federal agencies; discussed issues related to the public disclosure of federal agency records.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Pierce |
Scranton |
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Jason |
Rosenberg |
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Steven |
Patterson |
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Brendan |
Reilly |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code BUD
16. Specific lobbying issues
H.R. 83 - Discussed issues related to the implementation of financial services legislation.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Nathan |
Gatten |
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Brendan |
Reilly |
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Thomas |
Koonce |
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Jason |
Rosenberg |
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Steven |
Patterson |
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Hilary |
West |
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Pierce |
Scranton |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Information Update Page - Complete ONLY where registration information has changed.
20. Client new address
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21. Client new principal place of business (if different than line 20)
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22. New General description of client’s business or activities
LOBBYIST UPDATE
23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client
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ISSUE UPDATE
24. General lobbying issue that no longer pertains
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
| Name | Address |
Principal Place of Business (city and state or country) |
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
| 1 | 2 | 3 |
FOREIGN ENTITIES
27. Add the following foreign entities:
| Name | Address |
Principal place of business (city and state or country) |
Amount of contribution for lobbying activities | Ownership percentage in client | ||||||||||
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28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization
| 1 | 3 | 5 |
| 2 | 4 | 6 |