Financial Disclosure - Rubio, U.S. Senate, Annual Report (2011)

UNITED STATES SENATE FINANCIAL DISCLOSURE REPORT FOR ANNUAL AND TERMINATION REPORTS | Amendment | First Name and Middle Initial | Annual Report | | :--- | :--- | :--- | | st Name | Marco A. | Calendar Year Covered by Report: 2011 | Senate Office / Agency in Which Employed: Rubio/United States Senate | | Senate Office Address (Number, Street, City, State, and ZIP Code) | Senate Office Telephone Number (Include Area Code) | Termination Report | Prior Office / Agency in Which Employed | | art Senate Office Building #317 | (202) 224-3041 | Termination Date (mm/dd/yy): | | AFTER READING THE INSTRUCTIONS - ANSWER EACH OF THESE QUESTIONS AND ATTACH THE RELEVANT PART | | YES | NO | | YES | NO | | :--- | :---: | :---: | :--- | :---: | :---: | | d any individual or organization make a donation to charity in lieu of ying you for a speech, appearance, or article in the reporting period? Yes, Complete and Attach PART I. | | ☒ | Did you, your spouse, or dependent child receive any reportable travel or reimbursements for travel in the reporting period (i.e., worth more than $350 from one source)? If Yes, Complete and Attach PART VI. | | ☒ | | d you or your spouse have earned income (e.g., salaries or fees) or non-vestment income of more than $200 from any reportable source in the porting period? Yes, Complete and Attach PART II. | ☒ | | Did you, your spouse, or dependent child have any reportable liability (more than $10,000) during the reporting period? If Yes, Complete and Attach PART VII. | ☒ | | | d you, your spouse, or dependent child hold any reportable asset worth ore than $1,000 at the end of the period, or receive unearned or vestment income of more than $200 in the reporting period? Yes, Complete & Attach PART IIIA and/or IIIB. | ☒ | | Did you hold any reportable positions on or before the date of filing in the current calendar year? If Yes, Complete and Attach PART VIII. | ☒ | | | d you, your spouse, or dependent child purchase, sell, or exchange any reportable asset worth more than $1,000 in the reporting period? Yes, Complete and Attach PART IV. | ☒ | | Do you have any reportable agreement or arrangement with an outside entity? If Yes, Complete and Attach PART IX. | | ☒ | | d you, your spouse, or dependent child receive any reportable gift in the porting period (i.e., aggregating more than $350 and not otherwise xempt)? Yes, Complete and Attach PART V. | | ☒ | If this is your FIRST Report: Did you receive compensation of more than $5,000 from a single source in the two prior years? If Yes, Complete and Attach PART X. | | ☒ | Each question must be answered and the appropriate PART attached for each "YES" response. File this report and any amendments with the Secretary of the Senate, Office of Public Records, Room 232, Hart Senate Office Building, U.S. Senate, Washington, DC 20510. $200 Penalty for filing more than 30 days after due date. This Financial Disclosure Statement is required by the Ethics in Government Act of 1978, as amended. The statement will be made available by the Office of the Secretary of the Senate to any requesting person upon written application and will be reviewed by the Select Committee on Ethics. Any individual who knowingly and willfully falsifies, or who knowingly and willfully fails to file this report may be subject to civil and criminal sanctions. (See 5 U.S.C. app. 4, § 104, and 18 U.S.C. § 1001.) | Certification | Signature of Reporting Individual | Date (Month, Day, Year) | | :--- | :--- | :--- | | CERTIFY that the statements I have made on this form and all attached schedules are true, complete and correct to the best of my knowledge and belief. | [Signature] | 5/15/12 | FOR OFFICIAL USE ONLY Do Not Write Below this Line SECRETARY OF THE SENATE 12 MAY 15 PM 5:07 For Official Use Only - Do Not Write Below This Line is the opinion of the reviewer that the statements made in this form are in compliance with Title I of the Ethics in Government Act. | Signature of Reviewing Official | Date (Month, Day, Year) | | :--- | :--- | :--- | | | | | OpenSecrets.org

Reporting Individual's Name [ ] Amendment Rubio, Marco A. PART II. EARNED AND NON-INVESTMENT INCOME Page Number 2 Report the source (name and address), type, and amount of earned income to you from any source aggregating $200 or more during the reporting period. For your spouse, report the source (name and address) and type of earned income which aggregate $1,000 or more during the reporting period. No amount needs to be specified for your spouse. (See p.3, CONTENTS OF REPORTS Part B of Instructions.) Do not report income from employment by the U.S. Government for you or your spouse. Individuals not covered by the Honoraria Ban: For you and /or your spouse, report honoraria income received which aggregates $200 or more by exact amount, give the date of, and describe the activity (speech, appearance or article) generating such honoraria payment. Do not include payments in lieu of honoraria reported on Part I. | Name of Income Source | Address (City, State) | Type of Income | Amount | | :--- | :--- | :--- | :--- | | Example: *JP Computers* | *Wash., DC* **EXAMPLE** | *Salary* | *$15,000* | | *MCI (Spouse)* | *Arlington, VA* **EXAMPLE** | *Salary* | *Over $1,000* | | 1 Florida International University | Miami, FL | Salary | $14,034 | | 2 JDR Events, Inc. (Spouse) | Miami, FL | Distribution | Over $1,000 | | 3 | | | | | 4 | | | | | 5 | | | | | 6 | | | | | 7 | | | | | 8 | | | | | 9 | | | | | 10 | | | | | 11 | | | | | 12 | | | | | 13 | | | | OpenSecrets.org

Reporting Individual's Name Amendment Rubio, Marco A. PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES 3 BLOCK A Identity of Publicly Traded Assets And Unearned Income Sources Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child, (See p.3, CONTENTS OF REPORTS Part B of instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. Include on this PART IIIA a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. BLOCK B Valuation of Assets At the close of reporting period. If None, or less than $1,001, Check the first column. BLOCK C Type and Amount of Income Type of Income Amount of Income None (or less than $1,001) $1,001 - $15,000 $15,001 - $50,000 $50,001 - $100,000 $100,001 - $250,000 $250,001 - $500,000 $500,001 - $1,000,000 Over $1,000,000*** $1,000,001 - $5,000,000 $5,000,001 - $25,000,000 $25,000,001 - $50,000,000 Over $50,000,000 None Dividends Rent Interest Capital Gains Excepted Investment Fund Excepted Trust Qualified Blind Trust Other (Specify Type) None (or less than $201) $201 - $1,000 $1,001 - $2,500 $2,501 - $5,000 $5,001 - $15,000 $15,001 - $50,000 $50,001 - $100,000 $100,001 - $1,000,000 $1,000,001 - $5,000,000 Over $1,000,000*** Over $5,000,000 Actual Amount Required if "Other" Specified Example: DC, or J S, (S) IBM Corp. (stock) Keystone Fund X X Example X Example X 1 ABA Retirement Funds, Stable Asset Return Fund X X X 2 ABA Retirement Funds, Bind Core Plus Fund X X X 3 ABA Retirement Funds, All Cap Equity Fund X X X 4 ABA Retirement Funds, Small-Mid Cap Equity Fund X X X 5 ABA Retirement Funds, Intl All Cap Equity Fund X X X 6 Terremark Worldwide Inc. X X X 7 8 9 10 EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. *** This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held, use the other categories of value, as appropriate.

Reporting Individual's Name [ ] Amendment Rubio, Marco A. PART IIIB

Reporting Individual's Name [ ] Amendment PART IV. TRANSACTIONS 5 Rubio, Marco A. Report any purchase, sale, or exchange by you, your spouse, or dependent child (See p.3 CONTENTS OF REPORTS Part B of Instructions) during the reporting period of any real property, stocks, bonds, commodity futures, and other securities when the amount of the transaction exceeded $1,000. Include transactions that resulted in a loss. Do not report a transaction involving property used solely as your personal residence, or a transaction between you, your spouse, or dependent child. Please clarify which two properties are involved in any reportable exchange. | Identification of Assets | Transaction Type (x) Purchase | Transaction Type (x) Sale | Transaction Type (x) Exchange | Transaction Date (Mo., Day, Yr.) | Amount of Transaction (x) $1,001 - $15,000 | Amount of Transaction (x) $15,001 - $50,000 | Amount of Transaction (x) $50,001 - $100,000 | Amount of Transaction (x) $100,001 - $250,000 | Amount of Transaction (x) $250,001 - $500,000 | Amount of Transaction (x) $500,001 - $1,000,000 | Amount of Transaction (x) Over $1,000,000*** | Amount of Transaction (x) $1,000,001 - $5,000,000 | Amount of Transaction (x) $5,000,0

Reporting Individual's Name [ ] Amendment Rubio, Marco A. PART VII. LIABILITIES 6 Report liabilities over $10,000 owed by you, your spouse, or dependent child (See p.3 CONTENTS OF REPORTS Part B of Instructions), to any one creditor at any time during the reporting period. Check the highest amount owed during the reporting period. Exclude: (1) Mortgages on your personal residences unless rented; (2) loans secured by automobiles, household furniture or appliances; and (3) liabilities owed to certain relatives listed in Instructions. See Instructions for reporting revolving charge accounts. | Name of Creditor | Address | Type of Liability | Date Incurred | Interest Rate | Term if Applicable | $10,001 - $15,000 | $15,001 - $50,000 | $50,001 - $100,000 | $100,001 - $250,000 | $250,001 - $500,000 | $500,001 - $1,000,000 | Over $1,000,000*** | $1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | Over $50,000,000 | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | | S, Example: DC, or J | First District Bank | Wash., DC | Mortgage on undeveloped land | 1992 | 13% | 25yrs | | | X | E | X | A | M | P | L | E | | | (J) John Jones | Wash., DC | Promissory Note | 2000 | 10% | On dmd | | | X | E | X | A | M | P | L | E | | 1 | Sallie Mae | Wilkes-Barre, PA | Student loan | 1996 | 4% | 30 years | | | | x | | | | | | | | 2 | GMAC | Waterloo, IA | Mortgage on Rental Property | 2005 | 4% | 30 years | | | | x | | | | | | | | 3 | Chase | Columbus, OH | Home loan | 2006 | 6.5% | 30 years | | | | | x | | | | | | | 4 | U.S. Century Bank | Miami, FL | Home Equity loan | 2006 | 7.25% | 10 years | | | | x | | | | | | | | 5 | | | | | | | | | | | | | | | | | | 6 | | | | | | | | | | | | | | | | | | 7 | | | | | | | | | | | | | | | | | | 8 | | | | | | | | | | | | | | | | | | 9 | | | | | | | | | | | | | | | | | | 10 | | | | | | | | | | | | | | | | | | 11 | | | | | | | | | | | | | | | | | | 12 | | | | | | | | | | | | | | | | | EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. *** This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held, use the other categories of value, as appropriate. OpenSecrets.org

Reporting Individual's Name [ ] Amendment PART VIII. POSITIONS HELD OUTSIDE U.S. GOVERNMENT Page Number 7 Rubio, Marco A. Report any positions held by you during the applicable reporting period whether compensated or not. Positions include, but are not limited to those of an officer, director, trustee, general partner, proprietor, representative, employee, or consultant of any corporation, firm, partnership, or other business enterprise or any non-profit organization or educational institution. Both the year and month must be reported for the period of time that the position was held. Exclude: Positions with federal government, religious, social, fraternal, or political entities, and those solely of an honorary nature. | Name of Organization | Address (City, State) | Type of Organization | Position Held | From (Mo/Yr) | To (Mo/Yr) | | :--- | :--- | :--- | :--- | :--- | :--- | | Example: National Assn. of Rock Collectors | NY, NY EXAMPLE | Non-profit education | President | 6/91 | Present | | Jones & Smith | Hometown, USA EXAMPLE | Law Firm | Partner | 7/96 | 11/1X | | Florida International University | Miami, FL | University | Senior Fellow | 5/11 | Present | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Compensation in excess of $200 from any position must be reported in Part II. OpenSecrets.org