form fr y-6 - federal reserve bank of dallas/media/documents/banking/… · 31/12/2017 · form fr...

Form FR Y-6 Tolleson Wealth Management, Inc.

Dallas, Texas Fiscal Year Ending December 31, 2017

1: The bank holding company does not prepare an annual report for its shareholders 2: Organizational Chart (All entities operate in Dallas, TX)

100%

100%

Affiliate Transactions (Overlines) 100%

Tolleson Wealth Management of Delaware, Inc.

("TWMofD") Holding Company

Delaware Corporation LEI: None

TPWM Services, Inc.

("Services") Texas Corporation

LEI: None

Tolleson Insurance Services, LLC

("TIS") Texas Limited Liability

Company LEI: None

RB Offshore Management, Ltd.

Cayman Island

Corporation LEI: None

0.1% GP

Tolleson Wealth Management, Inc. ("TWM")

Texas S-Corp LEI: None

100% 100%

99.9% LP 99.9% LP

0.1% GP

0.1% GP

99.9% LP

Tolleson Funding, LP

(“Funding”)

Texas Limited Partnership

LEI: None

Tolleson Management, LP

(“MAN”)

Texas Limited Partnership

LEI: None

Tolleson Private Wealth

Management, LP (“TPWM”)

Texas Limited

Partnership

LEI: None

Tolleson Private Bank

(“TPB”)

Texas S-Corp

LEI: None

100% Managing Member

RB GP Management, Inc.

Texas Corporation

LEI: None

Results: A list of branches for your depository institution: TOLLESON PRIVATE BANK (ID_RSSD: 3166699).This depository institution is held by TOLLESON WEALTH MANAGEMENT, INC. (3191712) of DALLAS, TX.The data are as of 12/31/2017. Data reflects information that was received and processed through 01/04/2018.

Reconciliation and Verification Steps1. In the Data Action column of each branch row, enter one or more of the actions specified below2. If required, enter the date in the Effective Date column

ActionsOK: If the branch information is correct, enter 'OK' in the Data Action column.Change: If the branch information is incorrect or incomplete, revise the data, enter 'Change' in the Data Action column and the date when this information first became valid in the Effective Date column.Close: If a branch listed was sold or closed, enter 'Close' in the Data Action column and the sale or closure date in the Effective Date column.Delete: If a branch listed was never owned by this depository institution, enter 'Delete' in the Data Action column.Add: If a reportable branch is missing, insert a row, add the branch data, and enter 'Add' in the Data Action column and the opening or acquisition date in the Effective Date column.

If printing this list, you may need to adjust your page setup in MS Excel. Try using landscape orientation, page scaling, and/or legal sized paper.

Submission ProcedureWhen you are finished, send a saved copy to your FRB contact. See the detailed instructions on this site for more information.If you are e-mailing this to your FRB contact, put your institution name, city and state in the subject line of the e-mail.

Note:To satisfy the FR Y-10 reporting requirements, you must also submit FR Y-10 Domestic Branch Schedules for each branch with a Data Action of Change, Close, Delete, or Add.The FR Y-10 report may be submitted in a hardcopy format or via the FR Y-10 Online application - https://y10online.federalreserve.gov.

* FDIC UNINUM, Office Number, and ID_RSSD columns are for reference only. Verification of these values is not required.

Data Action Effective Date Branch Service Type Branch ID_RSSD* Popular Name Street Address City State Zip Code County Country FDIC UNINUM* Office Number* Head Office Head Office ID_RSSD* CommentsOK Full Service (Head Office) 3166699 TOLLESON PRIVATE BANK 5550 PRESTON ROAD, SUITE B DALLAS TX 75205 DALLAS UNITED STATES Not Required Not Required TOLLESON PRIVATE BANK 3166699

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)

Name & Address (City, State, Country)

Country of Citizenship or Incorporation

Number and Percentage of Each Class of Voting Securities

Name & Address (City, State,

Country)


Number and Percentage of Each Class of

Voting Securities

Tolleson Family USA 79% N/ADallas, TX, USA 2,437,569 - common stock

34,000 - unvested restricted stock10,000 - vested stock options

John C. Tolleson USA 48%Dallas, TX, USA 1,665,800 - common stock

Debbie Tolleson USA 1%Dallas, TX, USA 10,000 - common stock

10,000 - vested stock options

J. Carter Tolleson USA 12%Dallas, TX, USA 400,167 - common stock

34,000 - unvested restricted stock

The John Carter Tolleson 1999 Trust

USA2%

Dallas, TX, USA 70,896 - common stockJ. Carter Tolleson, Trustee;

Kathryn Covert Tolleson USA 1%Dallas, TX, USA 600 - common stock

Current Securities Holders with ownership, control or holdings of 5% or more with power to vote as of fiscal year ending 12/31/2017

Securities Holders not listed in 3(1)(a) through (3)(1)(c) that had ownership, control or holdings of 5% or more with power to vote during the fiscal year ending 12/31/2017 (but not at fiscal year-end)

Form FR Y-6

Tolleson Wealth Management, Inc.Dallas, TX

Fiscal Year Ending 12/31/2017

Report Item 3: Securities Holders

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)





Country)



Voting Securities



Form FR Y-6




Tolleson Family cont'dThe Clara Lynne Tolleson 2007 Trust

USA1%

Dallas, TX, USA 4,350 - common stock

John Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee;

The John Elliot Tolleson 2009 Irrevocable Trust

USA1%

Dallas, TX, USA 4,350 - common stockJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee;

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)





Country)



Voting Securities



Form FR Y-6




Tolleson Family cont'dThe Kathryn Vallie Tolleson 2011 Irrevocable Trust

USA

1%Dallas, TX, USA 4,350 - common stockJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee;

Carter Covert Tolleson 2014 Irrevocable Trust

USA1%

Dallas, TX, USA 2,410 - common stockJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee;

The Amy Elizabeth Tolleson 1999 Trust

USA7%

Tolleson Private Bank, Trustee; 269,646 - common stockDallas, TX, USA

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)





Country)



Voting Securities



Form FR Y-6




Tolleson Family cont'dPeter Baldwin USA 1%Dallas, TX, USA 3,200 - common stock

Amy Tolleson Baldwin USA 1%Dallas, TX, USA 600 - common stock

Bonnie Roberts Baldwin 2016 Irrevocable Trust

USA1%

Dallas, TX, USA 600 - common stockPeter Roberts Baldwin, Trustee;Amy Tolleson Baldwin, Trustee

Penny Elizabeth Baldwin 2016 Irrevocable Trust

USA1%

Dallas, TX, USA 600 - common stockPeter Roberts Baldwin, Trustee;Amy Tolleson Baldwin, Trustee

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)





Country)



Voting Securities



Form FR Y-6




Joyner Family USA 8%Dallas, TX, USA 215,825 - common stock


J. Richard Joyner USA 7%Dallas, TX, USA 215,800 - common stock


Courtney Joyner 1%Dallas, TX, USA USA 25 - common stock

(1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c)



Number and Percentage of Each Class of Voting

Securities


Country)


Number and Percentage of Each Class of Voting

Securities

Tolleson Wealth Management, Inc. USA 1,928,136 - 100% N/ADallas, TX, USA common stock



Form FR Y-6

Tolleson Wealth Management of Delaware, Inc.Dallas, TX



(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)

Principal Occupation, if other than with

holding company

Title/Position with holding company

Title/Position with Subsidiaries

(including subsidiary name)

Title/Position with Other Businesses

(including business name)

Percentage of Voting Securities in holding company

Percentage of Voting Securities in

Subsidiaries (including

subsidiary name)


any other co. (including co. name) if ≥ 25%

John C. TollesonDallas, TX, USA

N/A Director & Executive Chairman

Director & Chairman (Tolleson Private Bank)

See footnote (1) below

48% N/A See footnote (1) below

Director & Executive Chairman (Tolleson Wealth Management of Delaware, Inc.)

Director & Executive Chairman (TPWM Services, Inc.)

Director & Chairman (RB GP Management, Inc.)Director & Chairman (RB Offshore Management, Ltd.)

Debbie TollesonDallas, TX, USA

N/A Director N/A See footnote (1) below

1% N/A See footnote (1) below

J. Carter TollesonDallas, TX, USA

N/A Director & CEO Director, CEO & President (Tolleson Private Bank)

Partner - Tolleson Ventures LLC

12% N/A Tolleson Ventures LLC (50%)

Director & CEO (Tolleson Wealth Management of Delaware, Inc.)

Report Item 4: Insiders

Form FR Y-6



(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



J. Carter TollesonDallas, TX, USA(continued)

Director, CEO of TWM (TPWM Services, Inc.)Director & CEO (RB GP Management, Inc.)Director & CEO (RB Offshore Management, Ltd.)

The John Carter Tolleson 1999 TrustDallas, TX USAJ. Carter Tolleson, Trustee

N/A Principal securities holder

N/A N/A 2% N/A N/A

Kathryn Covert TollesonDallas, TX, USA


N/A N/A 1% N/A N/A

The Clara Lynne Tolleson 2007 TrustDallas, TX USAJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee


N/A N/A 1% N/A N/A

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



The John Elliot Tolleson 2009 Irrevocable TrustDallas, TX USAJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee


N/A N/A 1% N/A N/A

The Kathryn Vallie Tolleson 2011 Irrevocable TrustDallas, TX USAJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee


N/A N/A 1% N/A N/A

Carter Covert Tolleson 2014 Irrevocable TrustDallas, TX USAJohn Carter Tolleson, Jr, Trustee;Kathryn Covert Tolleson, Trustee


N/A N/A 1% N/A N/A

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



The Amy Elizabeth Tolleson 1999 TrustDallas, TX, USATolleson Private Bank, Trustee


N/A N/A 7% N/A N/A

Peter BaldwinDallas, TX, USA


Investment Manager, Tolleson Private Wealth Management LP

President & CIO - Tolleson Ventures LLC

1% N/A Lucas Baldwin, LLC (45%)

Amy Tolleson BaldwinDallas, TX, USA


N/A N/A 1% N/A N/A

Bonnie Roberts Baldwin 2016 Irrevocable TrustDallas, TX USAPeter Roberts Baldwin, Trustee;Amy Tolleson Baldwin, Trustee


N/A N/A 1% N/A N/A

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



Penny Elizabeth Baldwin 2016 Irrevocable TrustDallas, TX USAPeter Roberts Baldwin, Trustee;Amy Tolleson Baldwin, Trustee


N/A N/A 1% N/A N/A

Richard JoynerDallas, TX, USA

N/A Director & President Director (Tolleson Private Bank)

Trustee - LM & SY Sullivan ILIT

7% N/A LM & SY Sullivan ILIT (100%)

Director & President (Tolleson Wealth Management of Delaware, Inc.)

Member - Edward Marian, LLC

Edward Marian, LLC (50%)

Director, President of TWM (TPWM Services, Inc.)Director & President (RB GP Management, Inc.)Director & President (RB Offshore Management, Ltd.)

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



Eric BennettDallas, TX, USA

N/A Director Director (Tolleson Private Bank)

1% N/A N/A

Chief Investment Officer of TWM (TPWM Services, Inc.)

Richard Dary StoneDallas, TX, USA

Real Estate Developer

Director Director (Tolleson Private Bank)

Owner - SCL Management, Ltd.

1% N/A SCL Management, Ltd. (100%)

Owner - RD Stone Interests I, Ltd.

RD Stone Interests I, Ltd. (100%)

Owner - RD Stone Interests, Ltd.

RD Stone Interests, Ltd. (100%)

Owner & Director - Shelby Consulting Corporation

Shelby Consulting Corporation (100%)

President - RDS Group I, LLC

RDS Group I, LLC (100%)

President - RDS Group, LLC

RDS Group, LLC (100%)

Manager & Owner - Grady Group, Ltd.

Grady Group, Ltd. (49%)

Manager & Owner - Grady Interests, Ltd.

Grady Interests, Ltd. (49%)

Manager & Owner - Grady Ventures, LLC

Grady Ventures, LLC (50%)

Manager & Owner - 2016 Davis Investments, LLC

2016 Davis Investments, LLC (100%)

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



Pam PatsleyDallas, TX, USA

Financial Services Director Director (Tolleson Private Bank)

Director and Executive Chairman - MoneyGram International

3% N/A Pamalama Ventures, LLC (100%)

Director - Texas Instruments, Inc.Director - Dr. Pepper Snapple Group

Director - Hilton Grand VacationsOwner - Pamalama Ventures, LLC

Tracie KleinDallas, TX, USA

N/A Vice President, Secretary

Cashier/ Secretary (Tolleson Private Bank)

Secretary - Comanche Bluffs, LLC

1% N/A Comanche Bluffs, LLC (25%)

Vice President, Secretary (Tolleson Wealth Management of Delaware, Inc.)

Owner - Goodpay Services

Goodpay Services (100%)

Vice President, Secretary (TPWM Services, Inc.)

Owner - Goodland Holdings

Goodland Holdings (100%)

Vice President & Secretary (Tolleson Insurance Services, LLC)

Owner - Mid-South Fire Solutions

Mid-South Fire Solutions (46%)

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)




Form FR Y-6



Tracie KleinDallas, TX, USA(continued)

Vice President & Secretary (RB GP Management, Inc.)

Owner - Louisiana-Tejas Land Co LLC

Louisiana-Tejas Land Co LLC (50%)

Vice President & Secretary (RB Offshore Management, Ltd.)

(1)Please see attached list of John and Debbie Tolleson's related interest

(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)



Tolleson Wealth Management, Inc.Dallas, TX N/A

Principal securities holder N/A N/A

100.00%

N/A N/A

John C. TollesonDallas, TX, USA

N/A Director & Executive Chairman

Director & Chairman (Tolleson Private Bank)

See footnote (1) below

N/A N/A See footnote (1) below

Director & Chairman (RB GP Management, Inc.)Director & Chairman (RB Offshore Management, Ltd.)

J. Carter TollesonDallas, TX, USA

N/A Director & CEO Director, CEO & President (Tolleson Private Bank)

Member - Tolleson Ventures LLC

N/A N/A Tolleson Ventures LLC (50%)

Director & CEO (RB GP Management, Inc.)Director & CEO (RB Offshore Management, Ltd.)

Tracie KleinDallas, TX, USA

N/A Vice President, Secretary

Cashier/ Secretary (Tolleson Private Bank)

Secretary - Comanche Bluffs, LLC

N/A N/A Comanche Bluffs, LLC (25%)

Form FR Y-6




(1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c)


Country)


holding company









subsidiary name)



Form FR Y-6




Tracie KleinDallas, TX, USA(continued)

Vice President & Secretary (RB GP Management, Inc.)

Owner - Goodpay Services

Goodpay Services (100%)

Vice President & Secretary (RB Offshore Management, Ltd.)

Owner - Goodland Holdings

Goodland Holdings (100%)

Owner - Mid-South Fire Solutions

Mid-South Fire Solutions (46%)

Owner - Louisiana-Tejas Land Co LLC

Louisiana-Tejas Land Co LLC (50%)

Richard JoynerDallas, TX, USA

N/A Director & President Director (Tolleson Private Bank)

Trustee - LM & SY Sullivan ILIT

7% N/A LM & SY Sullivan ILIT (100%)

Director & President (RB GP Management, Inc.)

Member - Edward Marian, LLC

Edward Marian, LLC (50%)

Director & President (RB Offshore Management, Ltd.)

(1)Please see attached list of John and Debbie Tolleson's related interest

John Tolleson Related Interests

Company Name Position Ownership

Interest Power to

Vote

TTG Capital, Inc. Shareholder/Officer/Director 100 Yes

TTG Enterprises, Ltd. Limited Partner/General Partner

49.75 Yes

Tolleson Family Limited Partnership

Limited Partner/General Partner

4.7 Yes

Tolleson Wealth Management, Inc.

Shareholder 48 Yes

Tolleson Ventures LLC

Member 50 Yes

Bakers Bay ZL, LLC Manager 100 Yes

Forty One Baker’s Bay, LLC

Member 50 Yes

Debbie Tolleson Related Interests

Company Name Position Ownership

Interest Power to

Vote

TTG Enterprises, Ltd. Limited Partner/General Partner

49.75 Yes

Forty One Baker’s Bay, LLC

Member 50 Yes

Tolleson Wealth Management, Inc.

Shareholder 1 Yes

form fr y-6 - federal reserve bank of dallas/media/documents/banking/… · 31/12/2017 · form fr...

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