| LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 |
1501 K Street, N.W.
| Address2 |
Suite 1100
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| City |
Washington
| State |
DC
| Zip Code |
20005
| Country |
USA
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3. Principal place of business (if different than line 2)
| City |
Stamford
| State |
CT
| Zip Code |
06901
| Country |
USA
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| 5. Senate ID# 78436-12
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| 6. House ID# 363290000
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| TYPE OF REPORT | 8. Year |
2008
| 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 |
| 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 from 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. | ||||||||
| 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: John Savercool, Managing Director and Senior Lobbyist
| Date |
04/18/2008
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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
HR 698/S 1356, "Industrial Bank Holding Company Act of 2007."
17. House(s) of Congress and Federal agencies Check if None
Treasury - Dept of, U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
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Jason
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Cole
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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
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance.
Issues relating to convergence of US GAAP and IFRS accounting standards.
Issues relating to international trading of securities.
HR 1427/S 1100, "Federal Housing Finance Reform Act."
HR 3012, "Fair Mortgage Practices Act of 2007."
S 1299, "Borrower's Protection Act."
HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007."
Mutual fund fee structure.
Regulation of Investment Advisors and Broker Dealers.
Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury.
Sovereign wealth funds and cross-border capital flow.
Monoline insurers and associated issues in the auction rate securities markets.
HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
HR 1852/ S 2338, "Expanding American Homeownership Act of 2007."
Draft legislation to allow the FHA to refinance distressed mortgages.
S 2636, "Foreclosure Prevention Act of 2008," and HR 3221.
HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Treasury - Dept of,
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 |
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John
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Savercool
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Jason
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Cole
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Peter
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Rowan
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Dick
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Ribbentrop
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
UBS AG, previously listed on Form LD-1, has an interest in US GAAP accounting standards.
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
HR 1908/S 1145, "The Patent Reform Act of 2007."
Visa reform issues, including an increase in H1-B visas and extension of time limits on Optional Practical Training visas.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, Treasury - Dept of, Homeland Security - Dept of (DHS), Executive Office of the President (EOP)
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 |
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Dick
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Ribbentrop
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Jason
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Cole
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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
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts."
HR 2419, "Farm Bill Extension Act of 2007." (Tax titles)
HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting)
HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance)
HR 6, "CLEAN Energy Act of 2007." (Tax titles)
HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation)
HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans."
HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of
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 |
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John
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Savercool
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Jason
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Cole
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Peter
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Rowan
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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 BNK
16. Specific lobbying issues
HR 3609, "Emergency Home Ownership and Mortgage Equity Protection Act of 2007."
S 2136, "Helping Families Save their Homes in Bankruptcy Act of 2007."
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, Treasury - Dept of
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 |
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Jason
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Cole
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John
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Savercool
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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 ENG
16. Specific lobbying issues
HR 6, "CLEAN Energy Act of 2007."
HR 3221, New Direction for Energy Independence, National Security, and Consumer Protection Act."
S 1419, "Renewable Fuels, Consumer Protection, and Energy Efficiency Act of 2007."
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
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Jason
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Cole
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Peter
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Rowan
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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 EDU
16. Specific lobbying issues
HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families."
Proposal to enhance liquidity in student loan auction rate securities market.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Education - Dept of
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 |
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John
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Savercool
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Peter
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Rowan
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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
HR 3185, "401(k) Fair Disclosure for Retirement Security Act."
17. House(s) of Congress and Federal agencies Check if None
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 |
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Jason
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Cole
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Peter
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Rowan
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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 | 3 | 5 |
| 2 | 4 | 6 |
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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| UBS AG |
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| 0.00 | % | ||||||||||
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 | 5 | 9 |
| 2 | 6 | 10 |
| 3 | 7 | 11 |
| 4 | 8 | 12 |