2021-11-15T12:26:38-06:00 2020-12-31 133628255 CONDON O'MEARA MCGINTY & DONNELLY LLP ONE BATTERY PARK PLAZA NEW YORK NY 10004 990 2020-01-01 133867347 LOAN SYNDICATIONS AND TRADING ASSOCIATION INC LOAN 2128803016 366 MADISON AVENUE NO 15TH F NEW YORK NY 10017 SCOTT BASKIND CO-VICE CHAIR & TREASURER 2128803016 2021-11-15 1 SCOTT BASKIND 999009999 JAMES J REILLY P00183769 2126617777 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z SCOTT BASKIND 366 MADISON AVENUE NO 15TH F NEW YORK NY 10017 12995504 0 X WWW.LSTA.ORG X 1995 NY TO PROMOTE A FAIR, ORDERLY, & EFFICIENT CORPORATE LOAN MARKET & PROVIDE LEADERSHIP IN ADVANCING THE INTERESTS OF ALL MARKET PARTICIPANTS. 24 24 16 24 39407 9427 0 0 9733356 8276455 562482 460546 4674045 4258503 14969883 12995504 0 0 0 0 6411557 6875337 0 0 0 5455322 3786362 11866879 10661699 3103004 2333805 29536063 32443554 6098993 6461115 23437070 25982439 X SEE SCHEDULE O. 0 0 LSTA SEEKS TO ENHANCE PUBLIC UNDERSTANDING OF THE CORPORATE LOAN ASSET CLASS AND TO SERVE THE PUBLIC INTEREST BY ENCOURAGING ADHERENCE TO THE HIGHEST ETHICAL STANDARDS BY ALL MARKET PARTICIPANTS. 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 19 0 1 16 1 1 1 0 0 0 0 0 0 0 X 24 24 0 0 0 0 1 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X DONNA MURRAY CO LSTA 2128803016 366 MADISON AVENUE 15TH FL NEW YORK NY 10017 JEFF BAKALAR CHAIR 4.00 X X 0 0 0 SCOTT BASKIND VICE CHAIR & TREASURER 4.00 X X 0 0 0 MITALI SOHONI VICE CHAIR 4.00 X X 0 0 0 CHRIS BONNER VICE CHAIR 4.00 X X 0 0 0 JOHN GALLY SECRETARY 4.00 X 0 0 0 SANDEEP DESAI DIRECTOR 4.00 X 0 0 0 JUDITH FISHLOW MINTER DIRECTOR 4.00 X 0 0 0 DAVID FREY DIRECTOR 4.00 X 0 0 0 ERICA FRONTIERO DIRECTOR 4.00 X 0 0 0 DAVID GOLUB DIRECTOR 4.00 X 0 0 0 DAVID LERNER DIRECTOR 4.00 X 0 0 0 JON MONEYPENNY DIRECTOR 4.00 X 0 0 0 ALEX NABOICKECK DIRECTOR 4.00 X 0 0 0 LOGAN NICHOLSON DIRECTOR 4.00 X 0 0 0 PETER NOLAN DIRECTOR 4.00 X 0 0 0 JOHN POPP DIRECTOR 4.00 X 0 0 0 CHRISTOPHER SHELDON DIRECTOR 4.00 X 0 0 0 ALEXANDER SPIRO DIRECTOR 4.00 X 0 0 0 ALEXANDER STROMBERG DIRECTOR 4.00 X 0 0 0 ANDREW SVEEN DIRECTOR 4.00 X 0 0 0 JIM VANEK DIRECTOR 4.00 X 0 0 0 KEVIN WHITE DIRECTOR 4.00 X 0 0 0 CARLY WILSON DIRECTOR 4.00 X 0 0 0 THOMAS WONG DIRECTOR 4.00 X 0 0 0 THEODORE BASTA EXECUTIVE VICE PRESIDENT 40.00 X 522049 0 52006 MEREDITH COFFEY EXECUTIVE VICE PRESIDENT 40.00 X 654444 0 55637 ELLIOT GANZ EXECUTIVE VICE PRESIDENT 40.00 X 770176 0 89178 ELLEN HEFFERAN EXECUTIVE VICE PRESIDENT 40.00 X 467742 0 71768 BRIDGET MARSH EXECUTIVE VICE PRESIDENT 40.00 X 529321 0 84031 LEE SHAIMAN EXECUTIVE DIRECTOR 40.00 X 887562 0 85793 TESS VIRMANI SENIOR VICE PRESIDENT 40.00 X 456831 0 82713 LORENA DELUCA DIRECTOR OF PROJECTS & SP 40.00 X 131260 0 53747 DONNA MURRAY DIRECTOR OF FINANCE 40.00 X 196071 0 43496 CHRISTINE RAMOS MANAGER, WEBSITE & DIGITAL 40.00 X 102633 0 32172 SALMAN RIAZ VP ANALYTICS AND STRATEGY 40.00 X 143358 0 47955 LISA SCHNEIDER EVP MEMBERSHIP 40.00 X 300681 0 83330 5162128 0 781826 12 0 1 0 WILMERHALE 3139 RESEARCH BLVD DAYTON OH 45420 LEGAL 653340 CADWALADER WICKERSHAM & TAFT LLP PO BOX 5929 NEW YORK NY 10087 LEGAL 339455 FEDERAL HALL POLICY ADVISORS 1455 PENNSYLVANIA AVE NW SUITE 400 WASHINGTON DC DC 20004 LEGAL 240000 PROFILE ADVISORS 105 MADISON AVENUE NEW YORK NY 10016 LEGAL 233535 4 MEMBERSHIP DUES 900099 8072559 8072559 CONFERENCES 900099 164489 164489 CHRONICLE ADVERTISING 511120 39407 39407 8276455 446592 446592 4258503 4258503 13954 0 13954 13954 13954 12995504 8237048 39407 4719049 4809252 1377715 217822 259421 211127 1689583 230000 254632 416359 200659 312388 489890 6391 117885 68575 10661699 1935073 3153667 1032304 1036370 1453155 1181363 218955 151001 1014693 880327 157671 134366 24738905 26786787 29536063 32443554 3149060 3000558 2949933 3460557 6098993 6461115 X 23437070 25982439 23437070 25982439 29536063 32443554 2333805 388448 -176884 0 X X 0 0 0 0 0 1 8072559 230000 137906 367906 297877 70029 211449 198695 12754 419300 390559 28741 383944 291073 92871 134366 X 1 1 X X X X 0 0 0 LEE SHAIMAN EXECUTIVE DIRECTOR 387562 0 500000 0 0 0 37500 0 48293 0 973355 0 0 0 ELLIOT GANZ EXECUTIVE VICE PRESIDENT 350176 0 420000 0 0 0 37500 0 51678 0 859354 0 0 0 MEREDITH COFFEY EXECUTIVE VICE PRESIDENT 284444 0 370000 0 0 0 37500 0 18137 0 710081 0 0 0 BRIDGET MARSH EXECUTIVE VICE PRESIDENT 279321 0 250000 0 0 0 37500 0 46531 0 613352 0 0 0 THEODORE BASTA EXECUTIVE VICE PRESIDENT 272049 0 250000 0 0 0 36050 0 15956 0 574055 0 0 0 TESS VIRMANI SENIOR VICE PRESIDENT 236831 0 220000 0 0 0 36050 0 46663 0 539544 0 0 0 ELLEN HEFFERAN EXECUTIVE VICE PRESIDENT 257742 0 210000 0 0 0 37500 0 34268 0 539510 0 0 0 LISA SCHNEIDER EVP MEMBERSHIP 250681 0 50000 0 0 0 36050 0 47280 0 384011 0 0 0 DONNA MURRAY DIRECTOR OF FINANCE 171071 0 25000 0 0 0 26000 0 17496 0 239567 0 0 0 SALMAN RIAZ VP ANALYTICS AND STRATEGY 103358 0 40000 0 0 0 32000 0 15955 0 191313 0 0 0 LORENA DELUCA DIRECTOR OF PROJECTS & SP 90260 0 41000 0 0 0 37500 0 16247 0 185007 0 0 0 PART I, LINE 1A ELLIOT GANZ - HEALTH CLUB $1,000 ELLEN HEFFERAN - HEALTH CLUB $1,000 SALMAN RIAZ - HEALTH CLUB $459 LISA SCHNEIDER - HEALTH CLUB $897 PART III - LINE 1 THE LOAN SYNDICATIONS AND TRADING ASSOCIATION, INC. ("LSTA") PROMOTES A FAIR, ORDERLY, EFFICIENT, AND GROWING CORPORATE LOAN MARKET AND PROVIDES LEADERSHIP IN ADVANCING AND BALANCING THE INTERESTS OF ALL MARKET PARTICIPANTS. THE LSTA CARRIES OUT A WIDE VARIETY OF ACTIVITIES TO: ADVOCATE FOR THE SHARED INTERESTS OF ALL LOAN MARKET PARTICIPANTS, INCREASE MARKET TRANSPARENCY AND EFFICIENCY, FACILITATE AND IMPROVE THE SETTLEMENT PROCESS, EDUCATE MARKET PARTICIPANTS AND PROMOTE THE GROWTH OF THE LOAN ASSET CLASS. ACTIVITIES INCLUDE THE DEVELOPMENT OF STANDARD FORMS AND DOCUMENTATION AND THE DISSEMINATION OF MARKET-PRICING INFORMATION. FORM 990, PART VI, SECTION A, LINE 6 THE LOAN SYNDICATIONS AND TRADING ASSOCIATION, INC. WAS INCORPORATED AS A MEMBERSHIP ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A IN NOVEMBER, THE EXECUTIVE DIRECTOR SENDS A NOTICE OUT TO ALL THE FULL MEMBERS TO INQUIRE IF ANYONE WOULD LIKE TO BE CONSIDERED FOR THE BOARD. THE NOMINATING COMMITTEE OF THE BOARD OF DIRECTORS THEN SENDS OUT QUESTIONNAIRES TO THOSE MEMBERS WISHING TO BE CONSIDERED, AND THEY INTERVIEW EACH CANDIDATE. THE NOMINATING COMMITTEE THEN PICKS THE CANDIDATES THEY FEEL ARE THE BEST QUALIFIED AND BEST REPRESENT THE MARKET. THE SELECTED CANDIDATES ARE PROPOSED UP AT THE ANNUAL MEETING (HELD IN JANUARY) WHERE THE FULL LSTA MEMBERSHIP VOTES. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PROVIDED TO ALL VOTING BOARD MEMBERS VIA EMAIL. AN EXECUTIVE COMMITTEE MEETING IS HELD FOR REVIEW AND DISCUSSION REGARDING THE FORM 990 FOR APPROVAL AND FILING. FORM 990, PART VI, SECTION B, LINE 12C ALL BOARD MEMBERS AND KEY EMPLOYEES ARE REQUIRED TO READ OUR CONFLICT OF INTEREST AND CONFIDENTIALITY POLICY AND ARE REQUIRED AFTERWARDS TO SIGN THE ANNUAL ACKNOWLEDGEMENT AND DISCLOSURE STATEMENT. THE BOARD AND KEY STAFF MUST SIGN A NEW FORM EVERY YEAR. FORM 990, PART VI, SECTION B, LINE 15 MEMBERS OF THE FINANCE COMMITTEE REVIEW AND EVALUATE THE EXECUTIVE DIRECTOR'S COMPENSATION AND OTHER BENEFITS EACH YEAR, WITH INDEPENDENT SURVEYS AND STUDIES, AS WELL AS INDUSTRY KNOWLEDGE. AFTER FINANCE COMMITTEE APPROVAL, THE TOTAL ASSOCIATION COMPENSATION AND BENEFITS ARE PRESENTED TO THE FULL BOARD FOR APPROVAL. THE EXECUTIVE DIRECTOR PROPOSES COMPENSATION AND OTHER BENEFITS FOR EACH OF THE EXECUTIVE STAFF TO MEMBERS OF THE FINANCE COMMITTEE EACH YEAR. ALSO PRESENTED ARE COMPARATIVE INDEPENDENT SURVEYS AND STUDIES. CONSIDERING THESE, ALONG WITH INDUSTRY KNOWLEDGE, THE FINANCE COMMITTEE APPROVES. THE TOTAL ASSOCIATION COMPENSATION AND BENEFITS ARE PRESENTED TO THE FULL BOARD FOR APPROVAL. FORM 990, PART VI, SECTION C, LINE 19 THE LSTA DOES NOT MAKE IT'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, OR FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. FORM 990 PART XII- LINE 2 PLEASE BE ADVISED THE AUDIT OF THE BOOKS AND RECORDS OF THE LOAN SYNDICATIONS AND TRADING ASSOCIATION INC.'S ("LSTA") HAS NOT BEEN COMPLETED. THEREFORE, CHANGES TO THE BOOKS AND RECORDS MAY BE REQUIRED, AND IF SO, THE ENCLOSED TAX RETURN MAY NEED TO BE AMENDED. WE ARE SUBMITTING THIS RETURN BASED ON INFORMATION PROVIDED BY LSTA AT THE INSTRUCTION OF AN OFFICER OF LSTA.