Roc USA LLC

“Roc usa, llc has two llc members, each of which are exempt under internal revenue code section 501(c)(3).”

“Each llc member is able to elect two board members.”

“Anything outside of authority of the governing board as granted in the operating agreement.”

“The form 990 is prepared by the audit firm, reviewed and approved by the president who submits the form 990 to the audit committee, along with the audited financial statements, which the committee will review and approve and recommend for approval to the board. The board will review and approve the form 990.”

“The organization requires employees and board members to complete an annual conflict of interest survey.”

“The executive committee under the chairmanship of andrea levere, reviewed market information generated by 1) the opportunity finance network in their "2012 compensensation & benefits survey" (updated) which included comparable data for executive positions in the cdfi field and 2) the "2015-2016 executive compensation report" prepared by quatt associates for capital impact partners to support its executive compensation decisions. The data used by the opportunity finance network included survey data collected from 156 cdfis from across the us plus a special analysis of 36 general not-for-profit organizations that have reported compensation data for the chief executive officer, chief financial officer, top communications and marketing executive, top development executive, and the top five highest paid employees for these not-for-profits. The data used for the 2015-2016 quatt associates report prepared for capital impact used a comparator group of eight financial service organizations serving the national community development market plus a second data source with is the quatt associates' 2015 not-for-profit database, an annual proprietary survey of major, not-for-profit organizations. As a result of review of the data described above, the committee concluded and reported to the full board that the compensation to be paid to the roc usa, llc president is fair and appropriate. The board concurred. As to the remaining management positions, the president used guidestar.org to review salaries and benefit totals of other national community development financial institutions. Salaries were in the middle of the range. Analysis is kept on file.”

“The organization will make its form 990 available to the public through a third-party public website as well as upon request. The organization's form 1023 is available upon request.”

“Members' capital contributions 2,250,000. Dividends -127,604.”

“Roc usa, llc has a finance and audit committee which is responsible for selecting independent auditors, oversight of the audit and review and approval of audited financial statements.”