The Anatomy of Public Corruption

Showing posts with label WilmerHale. Show all posts
Showing posts with label WilmerHale. Show all posts

Ravenel Enterprises Inc.

Contact Information
Ravenel Enterprises Inc.
11501 Dublin Blvd
Dublin, CA 94568
Contact: Robert C Lalonde
Title: President
Phone: (925) 482-0606
Website:
Business Description
Ravenel Enterprises is located in Dublin, California. This organization primarily operates in the Custom Computer Programming Services business / industry within the Business Services sector. This organization has been operating for approximately 11 years. Ravenel Enterprises is estimated to generate $1.9 million in annual revenues, and employs approximately 6 people at this single location.


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The 9/11 Relationships of AT&T Board and Interlocutory Directorate

SBC Services (AT&T) hired US Programmer Pete Bennett in June 2001 and was fired in September 2001


Conversation on Homelessness

The busses taking the homeless to the concentration centers are seething with angry constituents who travel together sharing their strikenly similar stories. Tickets, Fines and tows where stick you with a ticket, a fine and a tow with fines storing high your vehicle could afford to spend the at the Hilton or Marriot
Picture of Randall L. Stephenson
Randall L. Stephenson
Chairman, Chief Executive Officer and President
Randall L. Stephenson
Chairman, Chief Executive Officer and President
Randall was named to his current position in 2007. Since then, AT&T has invested to become a global leader in the rapidly converging technology, media and telecommunications (TMT) space, providing integrated solutions that range from premium video entertainment, high-speed Internet and mobility to IP network services, security and the Internet of Things (IoT).
Today, AT&T is the largest pay TV provider in the United States and one of the largest in the world. The company offers video entertainment to more than 25 million customers in the United States and more than 21 million customers in Latin America, including SKY México.
In North America, AT&T covers more than 400 million people with its 4G LTE network and has nearly 157 million wireless subscribers. The company provides high-speed Internet connections to more than 60 million U.S. customer locations; ultra-fast fiber connections covering more than 8 million U.S. locations; global IP network services that connect more than 3 million businesses on 6 continents, representing 99% of the world’s economy; and more than 41 million connected devices and sensors connected to its network.
AT&T is one of the world’s largest companies in TMT, with more than $160 billion in 2017 revenues and 34 consecutive years of quarterly dividend growth. Over the past 5 years, AT&T has invested $135 billion in the United States, including capital investments in wireless and wireline networks and acquisitions of wireless spectrum and operations.
The company has committed $400 million since 2008 to its signature philanthropic initiative, AT&T Aspire, which drives innovation in education to promote student success in school and the workplace. Randall also has led AT&T’s breakthrough “It Can Wait” campaign – an education and awareness program educating drivers that distracted driving is never OK. The program has amassed more than 25 million pledges of support.
Randall began his career with Southwestern Bell Telephone in 1982 in Oklahoma. He served as the company’s senior executive vice president and chief financial officer from 2001 to 2004, and from 2004 to 2007 he served as chief operating officer. He was appointed to AT&T’s board of directors in 2005.
He is a member of the PGA TOUR Policy Board and past National Chairman of the Boy Scouts of America. Randall received his B.S. in accounting from the University of Central Oklahoma and his Master of Accountancy from the University of Oklahoma
Picture of Matthew K. Rose
Matthew K. Rose
AT&T Inc. Lead Director
Chairman of the Board and Chief Executive Officer, Burlington Northern Santa Fe, LLC
Matthew K. Rose
AT&T Inc. Lead Director
Chairman of the Board and Chief Executive Officer, Burlington Northern Santa Fe, LLC
Director since 2010
Mr. Rose is Chairman of the Board and Chief Executive Officer of Burlington Northern Santa Fe, LLC (a freight rail system based in Fort Worth, Texas and a subsidiary of Berkshire Hathaway Inc., formerly known as Burlington Northern Santa Fe Corporation) and has served in this capacity since 2002, having also served as President until 2010. Before serving as its Chairman, Mr. Rose held several leadership positions there and at its predecessors, including President and Chief Executive Officer from 2000 to 2002, President and Chief Operating Officer from 1999 to 2000, and Senior Vice President and Chief Operations Officer from 1997 to 1999. Mr. Rose also serves as Executive Chairman of BNSF Railway Company (a subsidiary of Burlington Northern Santa Fe, LLC), having served as Chairman and Chief Executive Officer from 2002 to 2013. He earned his B.S. in marketing from the University of Missouri.
Qualifications, Attributes, Skills, and Experience
Mr. Rose’s qualifications to serve on the Board include his extensive experience in the executive oversight of a large, complex and highly-regulated organization, his considerable knowledge of operations management and logistics, and his experience and skill in managing complex regulatory and labor issues comparable to those faced by AT&T.
Other Public Company Directorships: BNSF Railway Company; Burlington Northern Santa Fe, LLC; Fluor Corporation
Past Directorships: AMR Corporation (2004-2013)
Picture of Samuel A. Di Piazza, Jr.
Samuel A. Di Piazza, Jr.
Retired Global Chief Executive Officer, PricewaterhouseCoopers International Limited
Samuel A. Di Piazza, Jr.
Retired Global Chief Executive Officer, PricewaterhouseCoopers International Limited
Director since 2015
Mr. Di Piazza served as Global Chief Executive Officer of PricewaterhouseCoopers International Limited (an international professional services firm) from 2002 until his retirement in 2009. Mr. Di Piazza began his 36-year career with PricewaterhouseCoopers (PwC formerly Coopers & Lybrand) in 1973 and was named Partner in 1979 and Senior Partner in 2000. From 1979 to 2002, Mr. Di Piazza held various regional leadership positions with PwC. After his retirement from PwC, Mr. Di Piazza joined Citigroup where he served as Vice Chairman of the Global Corporate and Investment Bank from 2011 until 2014. Since 2010, Mr. Di Piazza has served as the Chairman of the Board of Trustees of The Mayo Clinic. He received his B.S. in accounting from the University of Alabama and earned his M.S. in tax accounting from the University of Houston. He served as a Director of DIRECTV from 2010 until the company was acquired by AT&T Inc. in 2015.
Qualifications, Attributes, Skills, and Experience
Mr. Di Piazza’s qualifications to serve on the Board include his executive leadership skills, his vast experience in public accounting with a major accounting firm, and his experience in international business and affairs, all strong attributes for the Board of AT&T. His qualifications also include his prior service as a director of DIRECTV, a digital entertainment services company that we acquired.
Other Public Company Directorships: Jones Lang LaSalle Incorporated; ProAssurance Corporation; Regions Financial Corporation
Past Directorships: DIRECTV (2010-2015)
Picture of Richard W. Fisher
Richard W. Fisher
Former President and Chief Executive Officer, Federal Reserve Bank of Dallas
Richard W. Fisher
Former President and Chief Executive Officer, Federal Reserve Bank of Dallas
Director since 2015
Mr. Fisher served as President and Chief Executive Officer of the Federal Reserve Bank of Dallas from 2005 until March 2015. He has been Senior Advisor to Barclays PLC (a financial services provider) since July 2015. From 2001 to 2005, Mr. Fisher was Vice Chairman and Managing Partner of Kissinger McLarty Associates (a strategic advisory firm). From 1997 to 2001, Mr. Fisher served as Deputy U.S. Trade Representative with the rank of Ambassador. Previously, he served as Managing Partner of Fisher Capital Management and Fisher Ewing Partners LP (investment advisory firms) and prior to that was Senior Manager of Brown Brothers Harriman & Co. (a private banking firm). He is an Honorary Fellow of Hertford College, Oxford University and a Fellow of the American Academy of Arts and Sciences. Mr. Fisher received his B.A. in economics from Harvard University and earned his M.B.A. from Stanford University.
Qualifications, Attributes, Skills, and Experience
Mr. Fisher’s qualifications to serve on the Board include his extensive financial, trade and regulatory expertise, and a deep understanding of Mexico and Latin America, all of which enable him to provide valuable financial and strategic insight to AT&T.
Other Public Company Directorships: PepsiCo, Inc.; Tenet Healthcare Corporation
Picture of Scott T. Ford
Scott T. Ford
Member and Chief Executive Officer, Westrock Group, LLC
Scott T. Ford
Member and Chief Executive Officer, Westrock Group, LLC
Director since 2012
Mr. Ford founded Westrock Group, LLC (a private investment firm in Little Rock, Arkansas) in 2013, where he has served as Member and Chief Executive Officer since its inception. Westrock Group operates Westrock Coffee Company, LLC (a fully integrated coffee company), which Mr. Ford founded in 2009, and where he has served as Chief Executive Officer since 2009. Westrock Group also operates Westrock Asset Management, LLC (a global alternative investment firm), which Mr. Ford founded in 2014, and where he has served as Chief Executive Officer and Chief Investment Officer since 2014. Mr. Ford previously served as President and Chief Executive Officer of Alltel Corporation (a provider of wireless voice and data communications services) from 2002 to 2009, and served as an executive member of Alltel Corporation’s board of directors from 1996 to 2009. He also served as Alltel Corporation’s President and Chief Operating Officer from 1998 to 2002. Mr. Ford led Alltel through several major business transformations, culminating with the sale of the company to Verizon Wireless in 2009. Mr. Ford received his B.S. in finance from the University of Arkansas, Fayetteville.
Qualifications, Attributes, Skills, and Experience
Mr. Ford’s qualifications to serve on the Board include his extensive experience and expertise in the telecommunications industry, his strong strategic focus, his leadership experience in the oversight of a large, publicly traded company, and his experience in international business and private equity, all of which bring valuable contributions to AT&T’s strategic planning and industry competitiveness.
Past Directorships: Bear State Financial, Inc. (2011-2018)
Picture of Glenn H. Hutchins
Glenn H. Hutchins
Chairman, North Island and
Co-Founder, Silver Lake
Glenn H. Hutchins
Chairman, North Island and
Co-Founder, Silver Lake
Director since 2014
Mr. Hutchins is Chairman of North Island (a financial services technology investment firm based in New York, New York) which he co-founded in 2017. Mr. Hutchins has served as Chairman of Tide Mill, LLC (the Hutchins family office, formerly North Island, LLC, in New York, New York) since 2004. He is also Co-Founder of Silver Lake (a technology investment firm based in New York, New York and Menlo Park, California) which was founded in 1999, and where Mr. Hutchins served as Co-CEO until 2011 and as Managing Director from 1999 until 2011. Prior to that, Mr. Hutchins was Senior Managing Director at The Blackstone Group (a global investment firm) from 1994 to 1999. Mr. Hutchins served as Chairman of the Board of SunGard Data Systems Inc. (a software and technology services company) from 2005 until 2015. He is a Director of the Federal Reserve Bank of New York and Vice Chairman of the Brookings Institution. Previously, Mr. Hutchins served as a Special Advisor in the White House on economic and health-care policy from 1993 to 1994 and as Senior Advisor on the transition of the Administration from 1992 to 1993. He holds an A.B. from Harvard College, an M.B.A. from Harvard Business School, and a J.D. from Harvard Law School.
Qualifications, Attributes, Skills, and Experience
Mr. Hutchins’ qualifications to serve on our Board include his extensive experience and expertise in the technology and financial sectors, his public policy experience, and his strong strategic focus, all of which enable him to provide valuable financial and strategic insight to AT&T.
Other Public Company Directorships: Virtu Financial, Inc.
Past Directorships: Nasdaq, Inc. (2005-2017)
Picture of William E. Kennard
William E. Kennard
Former United States Ambassador to the European Union and former Chairman of the U.S. Federal Communications Commission
William E. Kennard
Former United States Ambassador to the European Union and former Chairman of the U.S. Federal Communications Commission
Director since 2014
Mr. Kennard served as the United States Ambassador to the European Union from 2009 to 2013. From 2001 to 2009, Mr. Kennard was Managing Director of The Carlyle Group (a global asset management firm), where he led investments in the telecommunications and media sectors. Mr. Kennard served as Chairman of the U.S. Federal Communications Commission from 1997 to 2001. Before his appointment as FCC Chairman, he served as the FCC’s General Counsel from 1993 until 1997. Mr. Kennard joined the FCC from the law firm of Verner, Liipfert, Bernhard, McPherson and Hand (now DLA Piper) where he was a partner and member of the firm’s board of directors. Mr. Kennard received his B.A. in communications from Stanford University and earned his law degree from Yale Law School.
Qualifications, Attributes, Skills, and Experience
Mr. Kennard’s qualifications to serve on our Board include his expertise in the telecommunications industry, his understanding of public policy, and his international perspective, as well as his background and experience in law and regulatory matters, all strong attributes for the Board of AT&T.
Other Public Company Directorships: Duke Energy Corporation; Ford Motor Company; MetLife, Inc.
Picture of Michael B. McCallister
Michael B. McCallister
Retired Chairman of the Board and Chief Executive Officer, Humana Inc.
Michael B. McCallister
Retired Chairman of the Board and Chief Executive Officer, Humana Inc.
Director since 2013
Mr. McCallister served as Chairman of Humana Inc. (a health care company in Louisville, Kentucky) from 2010 to 2013. He also served as Humana’s Chief Executive Officer from 2000 until his retirement in 2012. During Mr. McCallister’s tenure, he led Humana through significant expansion and growth, nearly quadrupling its annual revenues between 2000 and 2012, and led the company to become a FORTUNE 100 company. Mr. McCallister received his B.S. in accounting from Louisiana Tech University and earned his M.B.A. from Pepperdine University.
Qualifications, Attributes, Skills, and Experience
Mr. McCallister’s qualifications to serve on the Board include his executive leadership experience in the oversight of a large, publicly traded company and his depth of experience in the health care sector, which is of increasing importance to a company like AT&T.
Other Public Company Directorships: Fifth Third Bancorp; Zoetis Inc.
Past Directorships: Humana Inc. (2000-2013)
Picture of Beth E. Mooney
Beth E. Mooney
Chairman and Chief Executive Officer, KeyCorp
Beth E. Mooney
Chairman and Chief Executive Officer, KeyCorp
Director since 2013
Ms. Mooney is Chairman and Chief Executive Officer of KeyCorp (a bank holding company in Cleveland, Ohio) and has served in this capacity since 2011. She previously served as KeyCorp’s President and Chief Operating Officer from 2010 to 2011. Ms. Mooney joined KeyCorp in 2006 as a Vice Chair and head of Key Community Bank. Prior to joining KeyCorp, beginning in 2000 she served as Senior Executive Vice President at AmSouth Bancorporation (now Regions Financial Corporation), where she also became Chief Financial Officer in 2004. Ms. Mooney served as a Director of the Federal Reserve Bank of Cleveland in 2016 and was appointed to represent the Fourth Federal Reserve District on the Federal Advisory Council beginning in 2017. She received her B.A. in history from the University of Texas at Austin and earned her M.B.A. from Southern Methodist University.
Qualifications, Attributes, Skills, and Experience
Ms. Mooney’s qualifications to serve on the Board include her executive leadership skills in the oversight of a large, publicly traded and highly-regulated company and her more than 30 years of experience in the banking and financial services industry, which bring valuable financial and strategic insight to AT&T.
Other Public Company Directorships: KeyCorp
Picture of Joyce M. Roché
Joyce M. Roché
Retired President and Chief Executive Officer, Girls Incorporated
Joyce M. Roché
Retired President and Chief Executive Officer, Girls Incorporated
Director since 1998
Ms. Roché is an author and served as President and Chief Executive Officer of Girls Incorporated (a national nonprofit research, education, and advocacy organization in New York, New York) from 2000 until her retirement in 2010. Ms. Roché was an independent marketing consultant from 1998 to 2000. She was President and Chief Operating Officer of Carson, Inc. from 1996 to 1998 and Executive Vice President of Global Marketing of Carson, Inc. from 1995 to 1996. Prior to that, Ms. Roché held various senior marketing positions, including Vice President of Global Marketing for Avon Products, Inc. from 1993 to 1994. Ms. Roché received her B.A. in math education from Dillard University and earned her M.B.A. in marketing from Columbia University. Ms. Roché served as a Director of Southern New England Telecommunications Corporation from 1997 until the company was acquired by AT&T (then known as SBC Communications Inc.) in 1998.
Qualifications, Attributes, Skills, and Experience
Ms. Roché’s qualifications to serve on the Board include her executive leadership experience and operations management skills in dealing with complex organizational issues. Her expertise in general management and consumer marketing are key benefits to AT&T. Her qualifications also include her prior service as a director of a telecommunications company that we acquired.
Other Public Company Directorships: Macy’s, Inc.; Tupperware Brands Corporation
Past Directorships: Dr Pepper Snapple Group, Inc. (2011-2017)
Picture of Cynthia B. Taylor
Cynthia B. Taylor
President and Chief Executive Officer, Oil States International, Inc.
Cynthia B. Taylor
President and Chief Executive Officer, Oil States International, Inc.
Director since 2013
Ms. Taylor is President, Chief Executive Officer and a Director of Oil States International, Inc. (a diversified solutions provider for the oil and gas industry in Houston, Texas) and has served in this capacity since 2007. She previously served as Oil States International, Inc.’s President and Chief Operating Officer from 2006 to 2007 and as its Senior Vice President-Chief Financial Officer from 2000 to 2006. Ms. Taylor was Chief Financial Officer of L.E. Simmons & Associates, Inc. from 1999 to 2000 and Vice President-Controller of Cliffs Drilling Company from 1992 to 1999, and prior to that, held various management positions with Ernst & Young LLP, a public accounting firm. She received her B.B.A. in accounting from Texas A&M University and is a Certified Public Accountant.
Qualifications, Attributes, Skills, and Experience
Ms. Taylor’s qualifications to serve on the Board include her executive leadership skills in the oversight of a large, publicly traded company, her vast experience in finance and public accounting, and her experience in international business and affairs, all of which bring a broad spectrum of management experience to our Board.
Other Public Company Directorships: Oil States International, Inc.
Past Directorships: Tidewater Inc. (2008-2017)
Picture of Laura D'Andrea Tyson
Laura D'Andrea Tyson
Interim Dean, University of California, Berkeley, Haas School of Business, Distinguished Professor of the Graduate School, Haas School of Business, and Chair, Blum Center for Developing Economies Board of Trustees, University of California at Berkeley
Laura D'Andrea Tyson
Interim Dean, University of California, Berkeley, Haas School of Business, Distinguished Professor of the Graduate School, Haas School of Business, and Chair, Blum Center for Developing Economies Board of Trustees, University of California at Berkeley
Director since 1999
Dr. Tyson was named interim Dean of UC Berkeley’s Haas School of Business on July 1, 2018, having served as Dean of UC Berkeley’s Haas School of Business from 1998 to 2001. She also served as Dean of London Business School from 2002 until 2006. Dr. Tyson is also a Distinguished Professor of the Graduate School at UC Berkeley’s Haas School of Business and has served in this capacity since July 2016. She is also the Chair of the Blum Center for Developing Economies Board of Trustees, UC Berkeley, and has served in this capacity since 2007. Dr. Tyson has also been Faculty Director of the Haas School’s Institute for Business and Social Impact since 2013. Dr. Tyson was Professor of Business Administration and Economics at Berkeley Haas from 2007 until June 2016 and was Professor of Global Management at the Haas School from 2008 until 2013. From 1997 to 1998, she served as UC Berkeley’s Professor of Economics and Business Administration. Dr. Tyson has served in various government roles, including serving as a member of the U.S. Department of State Foreign Affairs Policy Board (2011-2013), the Council on Jobs and Competitiveness for the President of the United States (2011-2013), and the Economic Recovery Advisory Board to the President of the United States (2009-2011), and has also served as National Economic Adviser to the President of the United States (1995-1996) and as Chair of the White House Council of Economic Advisers (1993-1995). Since 2007, Dr. Tyson has served as an adviser and faculty member of the World Economic Forum. Dr. Tyson received her B.A. in economics from Smith College and earned her Ph.D. in economics at the Massachusetts Institute of Technology. Dr. Tyson served as a Director of Ameritech Corporation from 1997 until the company was acquired by AT&T (then known as SBC Communications Inc.) in 1999.
Qualifications, Attributes, Skills, and Experience
Dr. Tyson’s qualifications to serve on the Board include her expertise in economics and public policy, her experience as an advisor in various business and political arenas, and her vast knowledge of international business and affairs, all strong attributes for the Board of AT&T. Her qualifications also include her prior service as a director of a telecommunications company that we acquired.
Other Public Company Directorships: CBRE Group, Inc.
Past Directorships: Morgan Stanley (1997-2016); Silver Spring Networks, Inc. (2009-2018)
Picture of Geoffrey Y. Yang
Geoffrey Y. Yang
Founding Partner and Managing Director, Redpoint Ventures
Geoffrey Y. Yang
Founding Partner and Managing Director, Redpoint Ventures
Director since June 2016
Mr. Yang is a founding partner and Managing Director of Redpoint Ventures (a global private equity and venture capital firm based in Menlo Park, California) and has served in this capacity since 1999. Prior to founding Redpoint, Mr. Yang was a General Partner with Institutional Venture Partners (a private equity investment firm in Menlo Park, California), which he joined in 1987. Mr. Yang has over 30 years of experience in the venture capital industry and has helped found or served on the boards of a variety of consumer media, internet and infrastructure companies. Mr. Yang holds a B.S.E. in engineering from Princeton University and an M.B.A. from Stanford University.
Qualifications, Attributes, Skills, and Experience
Mr. Yang’s qualifications to serve on the Board include his extensive experience in technology and emerging forms of media and entertainment, his decades of experience and expertise in venture capital, his strong strategic focus, as well as his vast experience in serving on the boards of private and public technology companies, all of which enable him to provide valuable contributions to AT&T’s financial and strategic planning and industry competitiveness.
Other Public Company Directorships: Franklin Resources, Inc.
Picture of Randall L. Stephenson
Randall L. Stephenson
Chairman, Chief Executive Officer and President
Randall L. Stephenson
Chairman, Chief Executive Officer and President
Randall was named to his current position in 2007. Since then, AT&T has invested to become a global leader in the rapidly converging technology, media and telecommunications (TMT) space, providing integrated solutions that range from premium video entertainment, high-speed Internet and mobility to IP network services, security and the Internet of Things (IoT).
Today, AT&T is the largest pay TV provider in the United States and one of the largest in the world. The company offers video entertainment to more than 25 million customers in the United States and more than 21 million customers in Latin America, including SKY México.
In North America, AT&T covers more than 400 million people with its 4G LTE network and has nearly 157 million wireless subscribers. The company provides high-speed Internet connections to more than 60 million U.S. customer locations; ultra-fast fiber connections covering more than 8 million U.S. locations; global IP network services that connect more than 3 million businesses on 6 continents, representing 99% of the world’s economy; and more than 41 million connected devices and sensors connected to its network.
AT&T is one of the world’s largest companies in TMT, with more than $160 billion in 2017 revenues and 34 consecutive years of quarterly dividend growth. Over the past 5 years, AT&T has invested $135 billion in the United States, including capital investments in wireless and wireline networks and acquisitions of wireless spectrum and operations.
The company has committed $400 million since 2008 to its signature philanthropic initiative, AT&T Aspire, which drives innovation in education to promote student success in school and the workplace. Randall also has led AT&T’s breakthrough “It Can Wait” campaign – an education and awareness program educating drivers that distracted driving is never OK. The program has amassed more than 25 million pledges of support.
Randall began his career with Southwestern Bell Telephone in 1982 in Oklahoma. He served as the company’s senior executive vice president and chief financial officer from 2001 to 2004, and from 2004 to 2007 he served as chief operating officer. He was appointed to AT&T’s board of directors in 2005.
He is a member of the PGA TOUR Policy Board and past National Chairman of the Boy Scouts of America. Randall received his B.S. in accounting from the University of Central Oklahoma and his Master of Accountancy from the University of Oklahoma
Picture of Matthew K. Rose
Matthew K. Rose
AT&T Inc. Lead Director
Chairman of the Board and Chief Executive Officer, Burlington Northern Santa Fe, LLC
Matthew K. Rose
AT&T Inc. Lead Director
Chairman of the Board and Chief Executive Officer, Burlington Northern Santa Fe, LLC
Director since 2010
Mr. Rose is Chairman of the Board and Chief Executive Officer of Burlington Northern Santa Fe, LLC (a freight rail system based in Fort Worth, Texas and a subsidiary of Berkshire Hathaway Inc., formerly known as Burlington Northern Santa Fe Corporation) and has served in this capacity since 2002, having also served as President until 2010. Before serving as its Chairman, Mr. Rose held several leadership positions there and at its predecessors, including President and Chief Executive Officer from 2000 to 2002, President and Chief Operating Officer from 1999 to 2000, and Senior Vice President and Chief Operations Officer from 1997 to 1999. Mr. Rose also serves as Executive Chairman of BNSF Railway Company (a subsidiary of Burlington Northern Santa Fe, LLC), having served as Chairman and Chief Executive Officer from 2002 to 2013. He earned his B.S. in marketing from the University of Missouri.
Qualifications, Attributes, Skills, and Experience
Mr. Rose’s qualifications to serve on the Board include his extensive experience in the executive oversight of a large, complex and highly-regulated organization, his considerable knowledge of operations management and logistics, and his experience and skill in managing complex regulatory and labor issues comparable to those faced by AT&T.
Other Public Company Directorships: BNSF Railway Company; Burlington Northern Santa Fe, LLC; Fluor Corporation
Past Directorships: AMR Corporation (2004-2013)
Picture of Samuel A. Di Piazza, Jr.
Samuel A. Di Piazza, Jr.
Retired Global Chief Executive Officer, PricewaterhouseCoopers International Limited
Samuel A. Di Piazza, Jr.
Retired Global Chief Executive Officer, PricewaterhouseCoopers International Limited
Director since 2015
Mr. Di Piazza served as Global Chief Executive Officer of PricewaterhouseCoopers International Limited (an international professional services firm) from 2002 until his retirement in 2009. Mr. Di Piazza began his 36-year career with PricewaterhouseCoopers (PwC formerly Coopers & Lybrand) in 1973 and was named Partner in 1979 and Senior Partner in 2000. From 1979 to 2002, Mr. Di Piazza held various regional leadership positions with PwC. After his retirement from PwC, Mr. Di Piazza joined Citigroup where he served as Vice Chairman of the Global Corporate and Investment Bank from 2011 until 2014. Since 2010, Mr. Di Piazza has served as the Chairman of the Board of Trustees of The Mayo Clinic. He received his B.S. in accounting from the University of Alabama and earned his M.S. in tax accounting from the University of Houston. He served as a Director of DIRECTV from 2010 until the company was acquired by AT&T Inc. in 2015.
Qualifications, Attributes, Skills, and Experience
Mr. Di Piazza’s qualifications to serve on the Board include his executive leadership skills, his vast experience in public accounting with a major accounting firm, and his experience in international business and affairs, all strong attributes for the Board of AT&T. His qualifications also include his prior service as a director of DIRECTV, a digital entertainment services company that we acquired.
Other Public Company Directorships: Jones Lang LaSalle Incorporated; ProAssurance Corporation; Regions Financial Corporation
Past Directorships: DIRECTV (2010-2015)
Picture of Richard W. Fisher
Richard W. Fisher
Former President and Chief Executive Officer, Federal Reserve Bank of Dallas
Richard W. Fisher
Former President and Chief Executive Officer, Federal Reserve Bank of Dallas
Director since 2015
Mr. Fisher served as President and Chief Executive Officer of the Federal Reserve Bank of Dallas from 2005 until March 2015. He has been Senior Advisor to Barclays PLC (a financial services provider) since July 2015. From 2001 to 2005, Mr. Fisher was Vice Chairman and Managing Partner of Kissinger McLarty Associates (a strategic advisory firm). From 1997 to 2001, Mr. Fisher served as Deputy U.S. Trade Representative with the rank of Ambassador. Previously, he served as Managing Partner of Fisher Capital Management and Fisher Ewing Partners LP (investment advisory firms) and prior to that was Senior Manager of Brown Brothers Harriman & Co. (a private banking firm). He is an Honorary Fellow of Hertford College, Oxford University and a Fellow of the American Academy of Arts and Sciences. Mr. Fisher received his B.A. in economics from Harvard University and earned his M.B.A. from Stanford University.
Qualifications, Attributes, Skills, and Experience
Mr. Fisher’s qualifications to serve on the Board include his extensive financial, trade and regulatory expertise, and a deep understanding of Mexico and Latin America, all of which enable him to provide valuable financial and strategic insight to AT&T.
Other Public Company Directorships: PepsiCo, Inc.; Tenet Healthcare Corporation
Picture of Scott T. Ford
Scott T. Ford
Member and Chief Executive Officer, Westrock Group, LLC
Scott T. Ford
Member and Chief Executive Officer, Westrock Group, LLC
Director since 2012
Mr. Ford founded Westrock Group, LLC (a private investment firm in Little Rock, Arkansas) in 2013, where he has served as Member and Chief Executive Officer since its inception. Westrock Group operates Westrock Coffee Company, LLC (a fully integrated coffee company), which Mr. Ford founded in 2009, and where he has served as Chief Executive Officer since 2009. Westrock Group also operates Westrock Asset Management, LLC (a global alternative investment firm), which Mr. Ford founded in 2014, and where he has served as Chief Executive Officer and Chief Investment Officer since 2014. Mr. Ford previously served as President and Chief Executive Officer of Alltel Corporation (a provider of wireless voice and data communications services) from 2002 to 2009, and served as an executive member of Alltel Corporation’s board of directors from 1996 to 2009. He also served as Alltel Corporation’s President and Chief Operating Officer from 1998 to 2002. Mr. Ford led Alltel through several major business transformations, culminating with the sale of the company to Verizon Wireless in 2009. Mr. Ford received his B.S. in finance from the University of Arkansas, Fayetteville.
Qualifications, Attributes, Skills, and Experience
Mr. Ford’s qualifications to serve on the Board include his extensive experience and expertise in the telecommunications industry, his strong strategic focus, his leadership experience in the oversight of a large, publicly traded company, and his experience in international business and private equity, all of which bring valuable contributions to AT&T’s strategic planning and industry competitiveness.
Past Directorships: Bear State Financial, Inc. (2011-2018)
Picture of Glenn H. Hutchins
Glenn H. Hutchins
Chairman, North Island and
Co-Founder, Silver Lake
Glenn H. Hutchins
Chairman, North Island and
Co-Founder, Silver Lake
Director since 2014
Mr. Hutchins is Chairman of North Island (a financial services technology investment firm based in New York, New York) which he co-founded in 2017. Mr. Hutchins has served as Chairman of Tide Mill, LLC (the Hutchins family office, formerly North Island, LLC, in New York, New York) since 2004. He is also Co-Founder of Silver Lake (a technology investment firm based in New York, New York and Menlo Park, California) which was founded in 1999, and where Mr. Hutchins served as Co-CEO until 2011 and as Managing Director from 1999 until 2011. Prior to that, Mr. Hutchins was Senior Managing Director at The Blackstone Group (a global investment firm) from 1994 to 1999. Mr. Hutchins served as Chairman of the Board of SunGard Data Systems Inc. (a software and technology services company) from 2005 until 2015. He is a Director of the Federal Reserve Bank of New York and Vice Chairman of the Brookings Institution. Previously, Mr. Hutchins served as a Special Advisor in the White House on economic and health-care policy from 1993 to 1994 and as Senior Advisor on the transition of the Administration from 1992 to 1993. He holds an A.B. from Harvard College, an M.B.A. from Harvard Business School, and a J.D. from Harvard Law School.
Qualifications, Attributes, Skills, and Experience
Mr. Hutchins’ qualifications to serve on our Board include his extensive experience and expertise in the technology and financial sectors, his public policy experience, and his strong strategic focus, all of which enable him to provide valuable financial and strategic insight to AT&T.
Other Public Company Directorships: Virtu Financial, Inc.
Past Directorships: Nasdaq, Inc. (2005-2017)
Picture of William E. Kennard
William E. Kennard
Former United States Ambassador to the European Union and former Chairman of the U.S. Federal Communications Commission
William E. Kennard
Former United States Ambassador to the European Union and former Chairman of the U.S. Federal Communications Commission
Director since 2014
Mr. Kennard served as the United States Ambassador to the European Union from 2009 to 2013. From 2001 to 2009, Mr. Kennard was Managing Director of The Carlyle Group (a global asset management firm), where he led investments in the telecommunications and media sectors. Mr. Kennard served as Chairman of the U.S. Federal Communications Commission from 1997 to 2001. Before his appointment as FCC Chairman, he served as the FCC’s General Counsel from 1993 until 1997. Mr. Kennard joined the FCC from the law firm of Verner, Liipfert, Bernhard, McPherson and Hand (now DLA Piper) where he was a partner and member of the firm’s board of directors. Mr. Kennard received his B.A. in communications from Stanford University and earned his law degree from Yale Law School.
Qualifications, Attributes, Skills, and Experience
Mr. Kennard’s qualifications to serve on our Board include his expertise in the telecommunications industry, his understanding of public policy, and his international perspective, as well as his background and experience in law and regulatory matters, all strong attributes for the Board of AT&T.
Other Public Company Directorships: Duke Energy Corporation; Ford Motor Company; MetLife, Inc.
Picture of Michael B. McCallister
Michael B. McCallister
Retired Chairman of the Board and Chief Executive Officer, Humana Inc.
Michael B. McCallister
Retired Chairman of the Board and Chief Executive Officer, Humana Inc.
Director since 2013
Mr. McCallister served as Chairman of Humana Inc. (a health care company in Louisville, Kentucky) from 2010 to 2013. He also served as Humana’s Chief Executive Officer from 2000 until his retirement in 2012. During Mr. McCallister’s tenure, he led Humana through significant expansion and growth, nearly quadrupling its annual revenues between 2000 and 2012, and led the company to become a FORTUNE 100 company. Mr. McCallister received his B.S. in accounting from Louisiana Tech University and earned his M.B.A. from Pepperdine University.
Qualifications, Attributes, Skills, and Experience
Mr. McCallister’s qualifications to serve on the Board include his executive leadership experience in the oversight of a large, publicly traded company and his depth of experience in the health care sector, which is of increasing importance to a company like AT&T.
Other Public Company Directorships: Fifth Third Bancorp; Zoetis Inc.
Past Directorships: Humana Inc. (2000-2013)
Picture of Beth E. Mooney
Beth E. Mooney
Chairman and Chief Executive Officer, KeyCorp
Beth E. Mooney
Chairman and Chief Executive Officer, KeyCorp
Director since 2013
Ms. Mooney is Chairman and Chief Executive Officer of KeyCorp (a bank holding company in Cleveland, Ohio) and has served in this capacity since 2011. She previously served as KeyCorp’s President and Chief Operating Officer from 2010 to 2011. Ms. Mooney joined KeyCorp in 2006 as a Vice Chair and head of Key Community Bank. Prior to joining KeyCorp, beginning in 2000 she served as Senior Executive Vice President at AmSouth Bancorporation (now Regions Financial Corporation), where she also became Chief Financial Officer in 2004. Ms. Mooney served as a Director of the Federal Reserve Bank of Cleveland in 2016 and was appointed to represent the Fourth Federal Reserve District on the Federal Advisory Council beginning in 2017. She received her B.A. in history from the University of Texas at Austin and earned her M.B.A. from Southern Methodist University.
Qualifications, Attributes, Skills, and Experience
Ms. Mooney’s qualifications to serve on the Board include her executive leadership skills in the oversight of a large, publicly traded and highly-regulated company and her more than 30 years of experience in the banking and financial services industry, which bring valuable financial and strategic insight to AT&T.
Other Public Company Directorships: KeyCorp
Picture of Joyce M. Roché
Joyce M. Roché
Retired President and Chief Executive Officer, Girls Incorporated
Joyce M. Roché
Retired President and Chief Executive Officer, Girls Incorporated
Director since 1998
Ms. Roché is an author and served as President and Chief Executive Officer of Girls Incorporated (a national nonprofit research, education, and advocacy organization in New York, New York) from 2000 until her retirement in 2010. Ms. Roché was an independent marketing consultant from 1998 to 2000. She was President and Chief Operating Officer of Carson, Inc. from 1996 to 1998 and Executive Vice President of Global Marketing of Carson, Inc. from 1995 to 1996. Prior to that, Ms. Roché held various senior marketing positions, including Vice President of Global Marketing for Avon Products, Inc. from 1993 to 1994. Ms. Roché received her B.A. in math education from Dillard University and earned her M.B.A. in marketing from Columbia University. Ms. Roché served as a Director of Southern New England Telecommunications Corporation from 1997 until the company was acquired by AT&T (then known as SBC Communications Inc.) in 1998.
Qualifications, Attributes, Skills, and Experience
Ms. Roché’s qualifications to serve on the Board include her executive leadership experience and operations management skills in dealing with complex organizational issues. Her expertise in general management and consumer marketing are key benefits to AT&T. Her qualifications also include her prior service as a director of a telecommunications company that we acquired.
Other Public Company Directorships: Macy’s, Inc.; Tupperware Brands Corporation
Past Directorships: Dr Pepper Snapple Group, Inc. (2011-2017)
Picture of Cynthia B. Taylor
Cynthia B. Taylor
President and Chief Executive Officer, Oil States International, Inc.
Cynthia B. Taylor
President and Chief Executive Officer, Oil States International, Inc.
Director since 2013
Ms. Taylor is President, Chief Executive Officer and a Director of Oil States International, Inc. (a diversified solutions provider for the oil and gas industry in Houston, Texas) and has served in this capacity since 2007. She previously served as Oil States International, Inc.’s President and Chief Operating Officer from 2006 to 2007 and as its Senior Vice President-Chief Financial Officer from 2000 to 2006. Ms. Taylor was Chief Financial Officer of L.E. Simmons & Associates, Inc. from 1999 to 2000 and Vice President-Controller of Cliffs Drilling Company from 1992 to 1999, and prior to that, held various management positions with Ernst & Young LLP, a public accounting firm. She received her B.B.A. in accounting from Texas A&M University and is a Certified Public Accountant.
Qualifications, Attributes, Skills, and Experience
Ms. Taylor’s qualifications to serve on the Board include her executive leadership skills in the oversight of a large, publicly traded company, her vast experience in finance and public accounting, and her experience in international business and affairs, all of which bring a broad spectrum of management experience to our Board.
Other Public Company Directorships: Oil States International, Inc.
Past Directorships: Tidewater Inc. (2008-2017)
Picture of Laura D'Andrea Tyson
Laura D'Andrea Tyson
Interim Dean, University of California, Berkeley, Haas School of Business, Distinguished Professor of the Graduate School, Haas School of Business, and Chair, Blum Center for Developing Economies Board of Trustees, University of California at Berkeley
Laura D'Andrea Tyson
Interim Dean, University of California, Berkeley, Haas School of Business, Distinguished Professor of the Graduate School, Haas School of Business, and Chair, Blum Center for Developing Economies Board of Trustees, University of California at Berkeley
Director since 1999
Dr. Tyson was named interim Dean of UC Berkeley’s Haas School of Business on July 1, 2018, having served as Dean of UC Berkeley’s Haas School of Business from 1998 to 2001. She also served as Dean of London Business School from 2002 until 2006. Dr. Tyson is also a Distinguished Professor of the Graduate School at UC Berkeley’s Haas School of Business and has served in this capacity since July 2016. She is also the Chair of the Blum Center for Developing Economies Board of Trustees, UC Berkeley, and has served in this capacity since 2007. Dr. Tyson has also been Faculty Director of the Haas School’s Institute for Business and Social Impact since 2013. Dr. Tyson was Professor of Business Administration and Economics at Berkeley Haas from 2007 until June 2016 and was Professor of Global Management at the Haas School from 2008 until 2013. From 1997 to 1998, she served as UC Berkeley’s Professor of Economics and Business Administration. Dr. Tyson has served in various government roles, including serving as a member of the U.S. Department of State Foreign Affairs Policy Board (2011-2013), the Council on Jobs and Competitiveness for the President of the United States (2011-2013), and the Economic Recovery Advisory Board to the President of the United States (2009-2011), and has also served as National Economic Adviser to the President of the United States (1995-1996) and as Chair of the White House Council of Economic Advisers (1993-1995). Since 2007, Dr. Tyson has served as an adviser and faculty member of the World Economic Forum. Dr. Tyson received her B.A. in economics from Smith College and earned her Ph.D. in economics at the Massachusetts Institute of Technology. Dr. Tyson served as a Director of Ameritech Corporation from 1997 until the company was acquired by AT&T (then known as SBC Communications Inc.) in 1999.
Qualifications, Attributes, Skills, and Experience
Dr. Tyson’s qualifications to serve on the Board include her expertise in economics and public policy, her experience as an advisor in various business and political arenas, and her vast knowledge of international business and affairs, all strong attributes for the Board of AT&T. Her qualifications also include her prior service as a director of a telecommunications company that we acquired.
Other Public Company Directorships: CBRE Group, Inc.
Past Directorships: Morgan Stanley (1997-2016); Silver Spring Networks, Inc. (2009-2018)
Picture of Geoffrey Y. Yang
Geoffrey Y. Yang
Founding Partner and Managing Director, Redpoint Ventures
Geoffrey Y. Yang
Founding Partner and Managing Director, Redpoint Ventures
Director since June 2016
Mr. Yang is a founding partner and Managing Director of Redpoint Ventures (a global private equity and venture capital firm based in Menlo Park, California) and has served in this capacity since 1999. Prior to founding Redpoint, Mr. Yang was a General Partner with Institutional Venture Partners (a private equity investment firm in Menlo Park, California), which he joined in 1987. Mr. Yang has over 30 years of experience in the venture capital industry and has helped found or served on the boards of a variety of consumer media, internet and infrastructure companies. Mr. Yang holds a B.S.E. in engineering from Princeton University and an M.B.A. from Stanford University.
Qualifications, Attributes, Skills, and Experience
Mr. Yang’s qualifications to serve on the Board include his extensive experience in technology and emerging forms of media and entertainment, his decades of experience and expertise in venture capital, his strong strategic focus, as well as his vast experience in serving on the boards of private and public technology companies, all of which enable him to provide valuable contributions to AT&T’s financial and strategic planning and industry competitiveness.
Other Public Company Directorships: Franklin Resources, Inc.
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Lion Capital Slavery Statement

Will This Man Survive Another Incident or the Winter of 2018?
Banned from TrinityCenterwc.org
beaten, attacked, arrested, torched,
jailed, evicted, defrauded, poisoned.
 bacterial infections, heart attack, asthma attacks
 &
hospitalized plus ticketed to homelessness

Regency Centers Corp NYSE: REG (trespassing - Dec 2017)

SLAVERY AND HUMAN TRAFFICKING STATEMENT

SLAVERY AND HUMAN TRAFFICKING STATEMENT PURSUANT TO SECTION 54, PART 6 OF THE MODERN SLAVERY ACT 2015 (THE “ACT”)

This statement relates to the financial year ended 31 December 2016 and sets out the steps that Lion Capital LLP (“Lion Capital”, the “Firm” or “we”) has taken and intends to take to ensure that slavery and human trafficking is not taking place in its business or supply chains.

OUR STRUCTURE, BUSINESS AND SUPPLY CHAINS

The Firm is a global consumer-focused investor, with offices in London and Los Angeles. The Firm provides investment management services to various investment funds established in the United Kingdom (the “Funds”), which focus on making investments in Europe and North America.
As a private equity investor, our immediate supply chain is relatively short, consisting mainly of professional services firms.
The Funds that we manage invest in a number of portfolio companies. Though these portfolio companies do not form part of the Firm’s supply chain, we are committed to taking steps to confirm that each portfolio company’s management team understands any responsibilities it has under the Act and the need for it to put in place its own effective controls and training to protect against modern slavery being present in its own business and supply chains.
To this end, we have written to the management of those portfolio companies that we consider may be subject to the Act, to ensure that they understand their obligations under the Act. In addition, we have representation on each portfolio company board and, although not a standing agenda item, ensuring compliance with the Act and limiting the risk of modern slavery and human trafficking taking place in their business and supply chains remains a key consideration of the companies’ boards.

POLICY STATEMENT

In pursuit of best-in-class approach, Lion Capital is a signatory of the six UN supported Principles for Responsible Investment. The Firm is a responsible investment fund manager that strives to maintain the highest standards of integrity and professionalism in the conduct of its business. Lion Capital expects all of its portfolio companies and employees to comply with ESG-related legislation at a local, national and international level, including but not limited to applicable environmental, health and safety, anti-bribery and corruption and human rights legislation.
Lion Capital portfolio companies are actively involved in a collaboration project (“Not for Sale”) which raises awareness about human trafficking and, as an active board member of “Not for Sale”, in 2016 Lion Capital has promoted the prevention of human trafficking at various investor meetings and conferences.

OUR APPROACH TO DUE DILIGENCE

As part of the Firm’s standard investment due diligence process, Lion employs external advisers to conduct site visits, management interviews and public searches to diagnose any potential environmental/social liabilities, and ensure portfolio company compliance with Lion’s philosophy in these areas. At the point that a Fund acquires a portfolio
company, we ensure that such portfolio company’s management team is aware of their potential obligations under the Act.
We do not consider that the relationships within our immediate supply chain give rise to material risks in this area. However, we will be requiring key suppliers to confirm that their activities accord with the requirements of the Act.
We also have a dedicated Compliance Officer, who oversees the above process.

TRAINING

The Firm has provided details of this policy to all relevant staff. We ensure that all employees, on joining the Firm and periodically thereafter, review and familiarise themselves with the Firm’s policies to ensure that they can identify situations where there is a risk of modern slavery or human trafficking.

FURTHER STEPS

Additional steps that we intend to take in order to ensure that modern slavery and human trafficking is not taking place in our business or supply chains are:
  • to develop and enhance existing policies (if any) or create new policies relating to slavery and human trafficking, in order to provide a framework for identifying and monitoring activities within our business and supply chains that may be in breach of such policies;
  • to review our due diligence processes to ensure that they comply with our policies on slavery and human trafficking; and
  • to review current training provided in respect of our policies and their implementation and ensure the applicable level of training is delivered to employees so that they are more effective in identifying the existence or risk of slavery and human trafficking as part of the investment due diligence process.
This statement is made in accordance with section 54(1) of the Modern Slavery Act 2015 and constitutes Lion Capital LLP’s slavery and human trafficking statement for the financial year ended 31 December 2016. It has been endorsed by the Operating Committee on behalf of the Firm.
Robert Darwent
Designated Member
30 June 2017
JH Beaten By Police
Kevin Flanagan Outsourcing
Suicide at B of A
Murdered / Stabbed 27 Times
Son Framed
Mormon 
PG&E Ethics Program
PG&E Ethics Attorney
Ken Salazar
BOD for Target






Kenneth L. Salazar
Partner, WilmerHale
Kenneth L. Salazar is a Partner at WilmerHale, a full service business law firm, a position he has held since June 2013. Mr. Salazar served as the U.S. Secretary of the Interior from 2009 to 2013. Mr. Salazar previously served as U.S. Senator from Colorado and as Attorney General of Colorado. Mr. Salazar also serves on the Mayo Clinic Board of Trustees and is a member of its Audit & Compliance Committee and Information Management and Technology Oversight Committee. Mr. Salazar and his family are farmers and ranchers in Colorado.


BOD for Regency Centers 


Ernie Scherer III convicted of murdering parents in 2007.   Played Poker at WPT at same Casinos
Vadim Trincher arrested in Trump Tower 
Froze to Death Banned By
Trinity Center 
Relatives of
Pete Bennett
Walnut Creek
Formerly and Descendants

David Leslie Milne 417 Park Ave New York, NY



INVESTOR CODE OF CONDUCT

Lion Capital LLP (“Lion Capital” or the “Firm”) is a responsible investment fund manager that strives to maintain the highest standards of integrity and professionalism in the conduct of its business. The Firm encourages the furtherance of strong ethical and professional principles across all of its business activities, from its interactions with business owners and executives to its engagement of third-party advisors and its introduction to and ongoing partnership with institutions and individuals that commit capital to Lion Capital Sponsored Funds (“Investors”).
Lion Capital acknowledges its obligations to its Investors and, in addition to applicable laws, rules and regulations that govern investment firms, Lion Capital has implemented this Code of Conduct (“Code of Conduct”) to set forth certain guiding principles governing its interactions with its Investors and other related matters.
This Code of Conduct sets forth the expected standard of ethical and legal behaviour applicable to all Lion Capital Executives, emphasises the necessity of adherence to the highest standards of compliance and regulation and imposes requirements relating to transparency and accountability. All Lion Capital Executives are signatories to this Code of Conduct, which supplements the Firm’s Compliance Manual. Breach of this Code of Conduct is a serious matter for any such person and may lead to disciplinary action and, ultimately, termination of their employment with or membership of the Firm, as applicable.
Given the variety and complexity of the arrangements relating to Lion Capital, its business, investments, Investors and other stakeholders, this Code of Conduct necessarily only serves as a guide to the principles to be applied in any particular scenario. In case of any doubt, personnel should seek advice from the Firm’s Compliance Officer (Richard Lewis) or Lyndon Lea to ensure their actions comply with both the letter and spirit of this Code of Conduct.
Capitalised terms used herein and not otherwise defined, have the meanings given in Section 7.

SECTION 1: CONFLICTS OF INTEREST

Lion Capital holds itself to the highest standard of conduct with respect to its interactions with Investors. In furtherance of this goal, Lion Capital prohibits activities which may contribute to or do not adequately address any conflict of interest between itself and its Investors.
Specifically, Lion Capital will not engage in:
- “revolving door” employment practices with respect to former employees of its Investors, to include employing or compensating in any way any executive, employee or fiduciary of an Investor for two years after termination of such person’s relationship with the Investor;
- the pursuit of any direct or indirect financial, commercial or business relationship with any Investor official, executive, employee or fiduciary, an employee or fiduciary of an investment adviser or consultant to an Investor, or any Relatives of such persons;
- the extension of improper gifts to Investor officials, executives, employees or fiduciaries in breach of section 4 of this Code;
- the misuse of confidential information supplied by Investors, but will use every effort to protect all sensitive or confidential Investor information and will use such information only for performing the services for which Lion Capital has been engaged.
Lion Capital is mindful of conflicts that may arise between itself and its Sponsored Funds and complies with both the governing agreements of these Funds in this regard and the regulatory rules and principles applicable to the Firm and its personnel.
All Executives are obliged to disclose to the Compliance Officer any material transaction or relationship that could give rise to a conflict of interest and may not enter into any such transaction unless and until it has been approved by the Firm.
Personal dealing and conflicts of interests are also specifically addressed by the Firm’s Compliance Manual.

SECTION 2: USE OF THIRD PARTIES TO SECURE INVESTOR COMMITMENTS

Lion Capital has used and is likely to continue to retain third parties in an advisory and/or fund-raising capacity to assist it in raising funds (“Placement Agents”). When engaging a Placement Agent, Lion Capital will enter into a written contract that specifies the scope of services to be performed and the fee arrangement. In addition, Lion Capital will only engage Placement Agents who adhere to (i) the Invest Europe 2017 Guidance for Placement Agents, as the same may be amended from time to time and (ii) this Code of Conduct insofar as it pertains to Placement Agents.
A. General Placement Agent Standards
Lion Capital will only retain a Placement Agent that:
- is registered and/or authorised with, and regulated by, as applicable, appropriate regulatory bodies in each jurisdiction in which it undertakes regulated activities;
- possesses the licenses or certifications required by legal, governmental, regulatory or self-regulatory organisations to which the Placement Agent or its representatives are subject;
- is in the habitual, systematised business of soliciting capital commitments from prospective Investors; and
- operates in an environment with established compliance and oversight processes.
Furthermore, Lion Capital will only engage a Placement Agent that:
- maintains high standards of probity, integrity and professionalism in the conduct of its business;
- performs reasonable due diligence in respect of potential Investors commensurate with the scope of its engagement;
- does not make or offer to make any payments or provide other consideration or benefit directly or indirectly with a view to inducing a prospective Investor to enter into contractual negotiations with Sponsored Funds; and
- employs appropriately qualified staff, authorised and supervised commensurate with the capacity in which they are employed and the jurisdictions in which they operate.
B. Restrictions on Placement Agents with Respect to Public Pension Funds
Lion Capital will not directly or indirectly hire, engage, utilise, retain or compensate any person or entity, including but not limited to any Placement Agent, lobbyist, Solicitor, intermediary or consultant, to directly or indirectly communicate for any purpose with any official, executive, employee or fiduciary of a Public Pension Fund in connection with any transaction or investment between Lion Capital and the Public Pension Fund where to do so would violate, or would cause Lion Capital or any of its Executives to violate, any laws, rules, regulations, policy statements or codes of conduct applicable to any such Public Pension Fund. Where appropriate this restriction shall include but shall not be limited to:
- introducing, finding, referring, facilitating, arranging, expediting, fostering or establishing a relationship with, or obtaining access to a Public Pension Fund.
- soliciting an investment from a Public Pension Fund; or
- influencing or attempting to influence the outcome of any investment or other financial decision by a Public Pension Fund.
For further clarity, the foregoing restrictions do not apply to:
- any Executive of Lion Capital who is acting within the scope of his or her normal professional duties on behalf of Lion Capital;
- any person or entity whose sole basis of compensation from Lion Capital is the actual provision of legal, accounting or other professional advice, services or assistance that is unrelated to any solicitation, introduction, finding, or referral of clients to Lion Capital or the brokering, fostering, establishing or maintaining of a relationship between Lion Capital and a Public Pension Fund; or
- lobbying of a government or legislature on issues unrelated to investment or other financial decisions by Public Pension Funds or their Advisors.

SECTION 3: RESTRICTIONS ON CAMPAIGN CONTRIBUTIONS AND SOLICITATIONS

Lion Capital’s policies on campaign contributions and solicitations are designed to (i) protect the integrity of Lion Capital’s fundraising activities pertaining to its Sponsored Funds by avoiding conflicts or the appearance thereof with politically connected Investors, (ii) prevent any Lion Capital Executive from attributing their personal political activities to Lion Capital and (iii) ensure that Lion Capital complies with applicable restrictions and limits on political contributions and gifts made by employees to any officeholders, candidates for office, and political action committees throughout the world.
In connection with the foregoing principles, Lion Capital does not make (nor encourage any Lion Capital Executive to make) Contributions to Officials and Public Pension Fund Officials. Any Lion Capital Executive wishing to make such a contribution privately must have this pre-cleared with the Compliance Officer.
Lion Capital Executives engaged in personal political activity (e.g., election campaign work, solicitation of contributions), that are not prohibited by this Code of Conduct, must not attribute such activity to Lion Capital. Lion Capital’s name, facilities, property and resources (including e-mails) may not be used in connection with political activities.
Contributions to any political organisation must be disclosed to, and approved by, the Compliance Officer.
New Executives of Lion Capital will be required to disclose to the Compliance Officer all Contributions to any political organisation made by such Executive within two years prior to joining Lion Capital or such longer period of time as may be determined by the Compliance Officer.

SECTION 4: GIFTS AND BUSINESS ENTERTAINMENT

It is the general policy of Lion Capital to not provide any of its Investors or prospective Investors with Gifts. Notwithstanding the foregoing, it is understood that Lion Capital may hold periodic meetings of (i) some or all of its Investors or (ii) members of its Funds’ Investor Advisory Boards (or equivalent bodies) and attendees at such meetings may receive meals, accommodation, refreshments, participation in customary business-related activities (e.g., a round of golf) and Portfolio Company or Lion Capital branded items (such items limited to a value of $100 in each case).
In addition to the foregoing, Lion Capital may provide Business Entertainment to certain Investors (such as individual Investors) who are not subject to the same conflicts of interest considerations as other Investors. Any such entertainment above a de minimis value must be approved by the Compliance Officer. While any Business Entertainment provided to such Investors must be in accordance with the spirit of this Code, it is recognised that such Investors are not subject to the same constraints as individuals who themselves are subject to fiduciary obligations. Nonetheless, no Gift which is (or may be construed as) not customary business practice, or the purpose of which is to gain an unfair business advantage, shall be given or received by the Firm or any Executive.

SECTION 5: DISCLOSURES TO INVESTORS OR PROSPECTIVE INVESTORS

Upon request by any Lion Capital Investor, Lion will disclose all relevant information related to its engagement of Placement Agents and the qualifications of its Executives engaged in the solicitation of Investor commitments. Lion Capital will also provide a prospective Investor with the same information during such prospective Investor’s due diligence process, subject to such prospective Investor agreeing to customary confidentiality and non-disclosure agreements.

SECTION 6: EDUCATION AND TRAINING

All Lion Capital Executives must sign this Code of Conduct as an affirmation of their commitment to the standards and principles detailed within. Lion Capital will train all new relevant Executives on the requirements set out in the Code within a reasonable time of their joining of the Firm. On an annual basis, the Compliance Officer shall review the requirements set out within this Code with all of the Firm’s Executives and require a certification from each Executive attesting to their completion of the review.

SECTION 7: SELECTED DEFINITIONS

“Business Entertainment” means meals, sporting, theatre, concert and other events requiring tickets, travel, accommodation, conferences and other forms of ordinary course entertainment.
“Compliance Officer” means the designated Compliance Officer of Lion Capital or any other member who performs the functions of a compliance officer.
“Contribution” means any gift, subscription, loan, advance, or deposit of money or anything of value made for:
(i) The purpose of influencing any election for office;
(ii) Payment of debt incurred in connection with any such election; or
(iii) Transition or inaugural expenses of the successful candidate for any such election.“Covered Person” means any person or entity that does business with or potentially could conduct business with or on behalf of Lion Capital and includes without limitation Lion Capital’s investors, portfolio companies, vendors, service providers, law firms, investment banks, broker dealers, accounting firms and consultants.
“Executive” means any partner, member, employee or other officer of the Firm.
“Gift” means any object, services, or other item of value (including tickets to an event unless the donor and recipient both attend the event) given or received by an Executive to or from a Covered Person.
“Government Entity” means a country or a state, or political subdivision of such country or state, including:
(i) Any agency, authority, or instrumentality of the country or state or a political subdivision of such;
(ii) Plan or pools of assets controlled by the country or state or a political subdivision of such or any agency, authority or instrumentality thereof; and
(iii) Officers, agents, or employees of the country or state or political subdivision of such or any agency, authority or instrumentality thereof, acting in their official capacity.
“Lobbying” shall mean, for the purposes of this Code of Conduct, any attempt to directly or indirectly influence a determination by a (1) Public Pension Fund Official, (2) Official, (3) any fiduciary of a Public Pension Fund, (4) Public Pension Fund Advisor, or (5) any other person or entity working in cooperation with any of the above, related to a procurement of investment management or advisory services by a Public Pension Fund, including without limitation a determination by a Public Pension Fund to place an investment with the Firm
“Official” means any person (including any election committee for the person) who was, at the time of a Contribution, an incumbent, candidate or successful candidate:
(i) For an elective office of a Government Entity, if the office is directly or indirectly responsible for, or can directly influence the outcome of, the Public Pension Fund’s investment with or engagement of the Firm; or
(ii) For any elective office of a Government Entity, if the office has authority to appoint any person who is directly or indirectly responsible for, or can directly influence the outcome of, the Public Pension Fund’s investment with or engagement of the Firm. Communication with an Official includes communications with the employees and advisors of such Official.
“Placement Agent” means any third party intermediary that is directly or indirectly hired, engaged, utilised, retained or compensated (regardless of whether upon a fixed, contingent or any other basis) or otherwise given any other tangible or intangible item or benefit having monetary value by the Firm for facilitating the placement of an investment in a Sponsored Fund. A Placement Agent does not include a bona fide Executive or any person whose sole basis of compensation from the Firm is the actual provision of legal, accounting or other professional advice, services or assistance unrelated to soliciting, introducing, finding, or referring clients to the Firm or attempting to influence in any way an existing or potential investment in or business relationship with the Firm.
“Public Pension Fund” means any retirement plan established or maintained for its employees (current or former) by the government of any country or political subdivision thereof, or by any agency or instrumentality of any of the foregoing.
“Public Pension Fund Advisor” means any external firm or individual engaged by a Public Pension Fund to assist in the selection of investments or investment management or advisory services for the Public Pension Fund.
“Public Pension Fund Official” means any elected or appointed trustee or other official, staff member or employee whose official duties involve responsibility for a Public Pension Fund.
“Relative” means a person related by blood or affinity (including a domestic partner) who resides in the same household. A person adopted into a family is considered a relative on the same basis as a natural born family member.
“Solicitor” means any person or entity who in any way, directly or indirectly, solicits, finds, introduces or refers any client to the Firm, including without limitation any intermediary, consultant, broker, introducer, referrer, finder, public- or government-relations expert, or marketer. A Solicitor does not include any bona fide Executive or any person whose sole basis of compensation from the Firm is the actual provision of legal, accounting or other professional advice, services or assistance that is unrelated to any solicitation, introduction, finding, or referral of clients to the Firm or the brokering, fostering, establishing or maintaining a relationship between the Firm and a Public Pension Fund.
“Sponsored Fund” means an investment fund sponsored, managed or advised by the Firm or its affiliat
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