2020-11-16T12:44:47-06:00 2019-12-31 133628255 CONDON O'MEARA MCGINTY & DONNELLY LLP ONE BATTERY PARK PLAZA NEW YORK NY 10004 990 2019-01-01 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 2020-11-16 1 JAMES J REILLY P00183769 2126617777 24.44.199.122 2020-11-16 07:49:42 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 22603B5F3D0F044F5E1D98A58B2AA5892463CC73 2019 2021-04-22 16:20:28Z SCOTT BASKIND 366 MADISON AVENUE NO 15TH F NEW YORK NY 10017 14969883 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 19 24 48000 0 0 0 9157088 9733356 337261 562482 4493160 4674045 13987509 14969883 0 0 0 0 5910035 6411557 0 0 0 4913951 5455322 10823986 11866879 3163523 3103004 26183909 29536063 6159268 6098993 20024641 23437070 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 25 0 1 19 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 MITALI SOHONI CHAIR 4.00 X X 0 0 0 SCOTT BASKIND CO-VICE CHAIR & TREASURER 4.00 X X 0 0 0 JEFF BAKALAR CO-VICE CHAIR 4.00 X X 0 0 0 CHRIS BONNER CO-VICE CHAIR 4.00 X X 0 0 0 JOHN GALLY SECRETARY 4.00 X 0 0 0 GRETCHEN BERGSTRESSER DIRECTOR 4.00 X 0 0 0 STEPHEN CASEY DIRECTOR 4.00 X 0 0 0 MICHAEL CLAWSON DIRECTOR 4.00 X 0 0 0 JEFF COHEN DIRECTOR 4.00 X 0 0 0 WYNNE COMER DIRECTOR 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 ERICA FRONTIERO DIRECTOR 4.00 X 0 0 0 DAVID LERNER DIRECTOR 4.00 X 0 0 0 DAVID LISCHER 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 JAMES VANEK 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 471215 0 51089 MEREDITH COFFEY EXECUTIVE VICE PRESIDENT 40.00 X 649686 0 53829 ELLIOT GANZ EXECUTIVE VICE PRESIDENT 40.00 X 790012 0 85706 ELLEN HEFFERAN EXECUTIVE VICE PRESIDENT 40.00 X 425418 0 80785 BRIDGET MARSH EXECUTIVE VICE PRESIDENT 40.00 X 513121 0 81696 LEE SHAIMAN EXECUTIVE DIRECTOR 40.00 X 842031 0 82786 TESS VIRMANI SENIOR VICE PRESIDENT 40.00 X 411157 0 80476 LORENA DELUCA DIRECTOR OF PROJECTS & SPECIAL EVENTS 40.00 X 129274 0 52967 DONNA MURRAY DIRECTOR OF FINANCE 40.00 X 177211 0 36968 CHRISTINE RAMOS MANAGER, WEBSITE & DIGITAL ADMIN 40.00 X 101042 0 30699 SALMAN RIAZ VP ANALYTICS AND STRATEGY 40.00 X 123492 0 38394 LISA SCHNEIDER EVP MEMBERSHIP 40.00 X 193912 0 36088 ALICIA SANSONE FORMER EXECUTIVE VICE PRES 40.00 X 287386 0 2614 RICHARD BRAM SMITH FORMER EXECUTIVE DIRECTOR 40.00 X 200000 0 0 5314957 0 714097 14 1 1 0 SIDLEY AUSTIN LLP PO BOX 0642 CHICAGO IL 60690 LEGAL 385882 WILMERHALE 3139 RESEARCH BLVD DAYTON OH 45420 LEGAL 254434 MILBANK TWEED HADLEY & MCCLOY LLP 28 LIBERTY STREET NEW YORK NY 10005 LEGAL 148696 ALSTON & BIRD PO BOX 933124 ATLANTA GA 31193 LEGAL 128219 FEDERAL HALL POLICY ADVISORS 1455 PENNSYLVANIA AVE NW SUITE 400 WASHINGTON DC DC 20004 LEGAL 105000 5 X MEMBERSHIP DUES 900099 7744943 7744943 CONFERENCES 900099 1940413 1940413 CHRONICLE ADVERTISING 511120 48000 48000 9733356 545641 545641 4671045 4671045 16841 0 16841 16841 16841 BOOK REVENUE 900099 3000 3000 3000 14969883 9702197 48000 5219686 5109006 738040 183545 170821 210145 1378154 28380 165000 101692 467418 308940 177460 534241 273920 1914192 105925 11866879 2441964 1935073 1073312 1032304 878719 1453155 324857 218955 1012897 855226 141068 157671 21323989 24738905 26183909 29536063 3542268 3149060 2617000 2949933 6159268 6098993 X 20024641 23437070 20024641 23437070 26183909 29536063 3103004 309425 0 X 0 0 0 0 0 1 7744943 165000 96051 261051 123145 137906 211449 180987 30462 419300 377700 41600 382148 296539 85609 157671 X 1 1 X X X X 1 0 0 THEODORE BASTA EXECUTIVE VICE PRESIDENT 221215 0 250000 0 0 0 35400 0 15689 0 522304 0 0 0 MEREDITH COFFEY EXECUTIVE VICE PRESIDENT 279686 0 370000 0 0 0 37000 0 16829 0 703515 0 0 0 ELLIOT GANZ EXECUTIVE VICE PRESIDENT 350012 0 440000 0 0 0 37000 0 48706 0 875718 0 0 0 ELLEN HEFFERAN EXECUTIVE VICE PRESIDENT 215418 0 210000 0 0 0 37000 0 43785 0 506203 0 0 0 BRIDGET MARSH EXECUTIVE VICE PRESIDENT 263121 0 250000 0 0 0 37000 0 44696 0 594817 0 0 0 LEE SHAIMAN EXECUTIVE DIRECTOR 387031 0 455000 0 0 0 37000 0 45786 0 924817 0 0 0 TESS VIRMANI SENIOR VICE PRESIDENT 201157 0 210000 0 0 0 35400 0 45076 0 491633 0 0 0 LORENA DELUCA DIRECTOR OF PROJECTS & SPECIAL EVEN 88274 0 41000 0 0 0 36878 0 16089 0 182241 0 0 0 DONNA MURRAY DIRECTOR OF FINANCE 160211 0 17000 0 0 0 17816 0 19152 0 214179 0 0 0 SALMAN RIAZ VP ANALYTICS AND STRATEGY 93492 0 30000 0 0 0 23205 0 15189 0 161886 0 0 0 LISA SCHNEIDER EVP MEMBERSHIP 193912 0 0 0 0 0 35000 0 1088 0 230000 0 0 0 ALICIA SANSONE FORMER EXECUTIVE VICE PRES 287386 0 0 0 0 0 0 0 2614 0 290000 0 0 0 RICHARD BRAM SMITH FORMER EXECUTIVE DIRECTOR 200000 0 0 0 0 0 0 0 0 0 200000 0 0 0 PART I, LINE 1A ELLIOT GANZ - HEALTH CLUB : $1,000. BRIDGET MARSH - HEALTH CLUB : $1,000. CLARA COLON - HEALTH CLUB : $1,000. LORENA DELUCA - HEALTH CLUB : $1,000. DONNA MURRAY - HEALTH CLUB : $1,000. SALMAN RIAZ - HEALTH CLUB : $1,000. TESS VIRMANI - HEALTH CLUB : $479. ELLEN HEFFERAN - HEALTH CLUB : $279. PART I, LINE 4A ALICIA SANSONE (FORMER EXECUTIVE VICE PRESIDENT) $290,000. 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 NO REVIEW WAS OR WILL BE CONDUCTED. 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. PART VIII THROUGH PART XII THE FINANCIAL INFORMATION OF THE LOAN SYNDICATIONS AND TRADING ASSOCIATION, INC. ("LSTA") CONTAINED IN THIS FORM 990 HAS BEEN PREPARED EXCLUSIVELY BASED ON UNAUDITED INFORMATION PROVIDED BY LSTA AS AN AUDIT HAS NOT YET BEEN COMPLETED. TO THE EXTENT THAT THE FINANCIAL INFORMATION PRESENTED IS REVISED BECAUSE OF AN AUDIT OR THE AUDIT RESULTS IN A CHANGE TO ANY PORTION OF THIS FORM 990, LSTA INTENDS ON FILING AN AMENDED RETURN