Dkt. No. 02-05 et al. (June 25, 2002). Further, in several Bain Capital documents from2000 and 2001, Romney is not listed as one of the “key investment professionals” involved ininvestment management. (Dan Primack, “Documents: Romney didn’t manage Bain funds,”Term Sheet, Fortune, July 12, 2012, available athttp://finance.fortune.cnn.com/2012/07/12/mitt-romney-bain-exit/.)On the other hand, there is significant evidence that Gov. Romney may have indeedcontinued to be “involved in the operations of” certain Bain Capital entities well after February1999:A.
Ownership and fiduciary positions with Bain entities
. Public filings confirmthat Gov. Romney continued, after February 1999, to hold key fiduciary positions with Bainentities. On May 2, 2000, a group of Bain entities filed a Form 13D with the U.S. Securities andExchange Commission (SEC). The group included a number of partnerships referred to as the“BCIP Entities.” The Form stated that, “Bain Capital Inc., a Delaware corporation (‘BainCapital’) is the sole managing partner of the BCIP entities. Mr. W. Mitt Romney is the soleshareholder, sole director, Chief Executive Officer and President of Bain Capital and thus is thecontrolling person of Bain Capital.” (Form 13D at 8). This means that Bain Capital Inc. had thelegal authority and responsibility for managing the investment vehicles referred to as the BCIPEntities, and that Gov. Romney, as the sole shareholder of Bain Capital, Inc., had the ultimateauthority over such management.Although Gov. Romney did not sign that form, he did sign six other filings with the SECmade on behalf of investor groups consisting of several Bain entities and himself: PirodHolding Form 13D filed April 13, 1999; VMM Merger Corp. Form 13D, filed Jan 3, 2000; BainCapital Fund Form 13 G filed Feb. 14, 2000; Bain Capital Fund VI Form 13G filed Feb. 13,2001; and Bain Capital Fund VI Form 13G filing on Feb. 14, 2001; Bain Capital Fund VI Form13 G filed Nov. 12, 1999.Some of these forms signed by Gov. Romney himself affirm that he continued to holdkey fiduciary positions in Bain entities. For example, a Form 13G was filed on behalf of severalBain entities and Gov. Romney individually on February 14, 2001. This filing describes the“persons” filing the form (all of which were Bain partnerships or corporations except for Gov.Romney himself), and identifies “W. Mitt Romney…an individual, as the sole stockholder,Chairman of the Board, Chief Executive Officer and President of BCI [Bain Capital InvestorsVI] and BC [Bain Capital Inc.].”B.
Authority and control as owner of Bain entities
. SEC Forms 13D and 13G arefiled to disclose publicly the acquisition of beneficial ownership of over five percent in a