AVORO CAPITAL ADVISORS LLC

HTTP://www.avorocapital.com • NEW YORK, NY • Investment Advisor • Hedge Fund • Activist Investor How do I update this listing?

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Avoro Capital Advisors is based out of New York. Avoro Capital Advisors is a hedge fund with 3 clients and discretionary assets under management (AUM) of $6,465,626,043 (Form ADV from 2022-03-15). Their last reported 13F filing for Q2 2022 included $5,060,568,000 in managed 13F securities and a top 10 holdings concentration of 72.91%. Avoro Capital Advisors's largest holding is United Therapeutics Corp with shares held of 2,970,000. Avoro Capital Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 31 13F filings, 13 13D filings, 88 13G filings, and 18 Form 4 filings

06/30/2022

13F Activity

  • Market Value $5.061 Billion
  • Prior Market Value $5.478 Billion
  • New Purchases1 stock
  • Additional Purchases20 stocks
  • Sold out of4 stocks
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 72.91 %
  • Turnover % [1]:12.50%
  • Turnover Alt % [2]: 6.36 %
  • Time Held Top20:10.70 quarters
  • Time Held Top10:7.60 quarters
  • Time Held All:9.80 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-08-15

Performance for Q2 2022: 25.36%
Performance Last 4 Quarters: -4.89%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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View Last Form Adv Compilation Report on Record

AVORO CAPITAL ADVISORS LLC
Classified as Hedge Fund
110 GREENE STREET SUITE 800
NEW YORK NY    10012
Country: United States
Business Phone: 212-937-4970
Fax: 646-757-2710
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 15
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 6,465,630,000
Total Number of Clients: 3
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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AVORO CAPITAL ADVISORS LLC

ownership team - last updated 2022-03-15
Name Title Start Date Direct/Indirect % Ownership
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AVORO CAPITAL L.P. DIRECT OWNER 05/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC DIRECT OWNER direct 2019-05-01
AGHAZADEH, BEHZAD LIMITED PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
KONG, GARHENG, ALBERT MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC MEMBER indirect 2019-05-01
AVORO CAPITAL GP LLC GENERAL PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2019-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO VENTURES FUND L.P. United States 805-7795464338 Venture Capital Fund 178,476,563 5,000,000
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 6,287,149,480 1,000,000 Master Fund

AVORO CAPITAL ADVISORS LLC

ownership team - last updated 2021-03-23
Name Title Start Date Direct/Indirect % Ownership
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AVORO CAPITAL L.P. DIRECT OWNER 05/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC DIRECT OWNER direct 2019-05-01
AGHAZADEH, BEHZAD LIMITED PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
KONG, GARHENG, ALBERT MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC MEMBER indirect 2019-05-01
AVORO CAPITAL GP LLC GENERAL PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2019-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO VENTURES FUND L.P. United States 805-7795464338 Venture Capital Fund 125,000,000 5,000,000
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 7,222,554,491 1,000,000 Master Fund

AVORO CAPITAL ADVISORS LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AVORO CAPITAL L.P. DIRECT OWNER 05/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC DIRECT OWNER direct 2019-05-01
AGHAZADEH, BEHZAD LIMITED PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
KONG, GARHENG, ALBERT MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC MEMBER indirect 2019-05-01
AVORO CAPITAL GP LLC GENERAL PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2019-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 4,604,250,289 1,000,000 Master Fund

AVORO CAPITAL ADVISORS LLC

ownership team - last updated 2020-03-10
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 4,604,250,289 1,000,000 Master Fund

AVORO CAPITAL ADVISORS LLC

ownership team - last updated 2019-09-06
Name Title Start Date Direct/Indirect % Ownership
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AVORO CAPITAL L.P. DIRECT OWNER 05/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC DIRECT OWNER direct 2019-05-01
AGHAZADEH, BEHZAD LIMITED PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
KONG, GARHENG, ALBERT MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC MEMBER indirect 2019-05-01
AVORO CAPITAL GP LLC GENERAL PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
AVORO CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2019-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 2,193,519,265 1,000,000 Master Fund

VENBIO SELECT ADVISOR LLC

ownership team - last updated 2019-05-13
Name Title Start Date Direct/Indirect % Ownership
AVORO CAPITAL L.P. DIRECT OWNER 05/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
KG REDDING, LLC OWNER indirect 2005-04-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
HG AMALGAM LLP MEMBER direct 2009-10-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
OGAM, LP PARTNER direct 2017-04-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
OPCAP ADVISORS SOLE SHAREHOLDER indirect 2000-05-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2001-07-01 2002-01-30
VALUE ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPPENHEIMER CAPITAL STOCKHOLDER indirect 2001-07-01 2002-01-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2002-01-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2000-05-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2000-05-01 2002-01-31
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2001-07-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2001-07-01 2002-01-31
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01 2002-02-07
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 2001-07-01 2002-02-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% indirect 1997-12-01 2002-02-14
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
O'SULLIVAN HICKS PATTON FINANCIAL ADVISORS, LLC OWNER direct 2000-07-01 2002-03-13
AEGON USA INVESTMENT MANAGEMENT, LLC SH indirect 1978-11-01 2002-03-26
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2000-03-01 2002-03-27
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 1999-07-01 2002-03-28
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2002-03-28
PIMCO ADVISORS LP SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-03-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2000-09-01 2002-03-28
PIMCO EQUITY ADVISORS LLC MEMBER direct 2001-07-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2002-03-28
JEFFERSON PILOT INVESTMENT ADVISORY CORP PARENT CORP. direct 1989-04-01 2002-04-05
SIGNAL CAPITAL MANAGEMENT,INC. AMERICAN NATIONAL TRUST & INVESTMENT COMPANY indirect 2002-03-01 2002-05-23
INLIGN WEALTH MANAGEMENT, LLC. OWNER indirect 2002-06-01 2002-06-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISOR direct 1993-01-01 2002-07-11
GOODMAN FINANCIAL ADVISORS, LLC CURRENT indirect 2001-07-01 2002-08-13
ROTHSCHILD ASSET MANAGEMENT INC STOCKHOLDER OF PARENT OF APPLICANT direct 1987-12-01 2002-08-30
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED PARENT COMPANY OF REGISTRANT direct 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2002-01-01 2002-11-01
ALLIANZ HEDGE FUND LIMITED PARTNER indirect 2001-10-01 2002-11-06
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLIPL - 100% OWNER indirect 1997-06-01 2002-11-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% OWNER indirect 1997-12-01 2002-11-07
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1995-11-01 2002-11-15
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1999-11-01 2002-11-15
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
NANTUCKET CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC GP-NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL A LP NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL B LIMITED PARTNER indirect 2003-01-01 2003-01-21
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF IBJ WHITEHALL BANK & TRUST COMPANY indirect 1999-07-01 2003-02-19
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF INDUSTRIAL BANK OF JAPAN, LTD. indirect 1999-07-01 2003-02-19
HESTER CAPITAL MANAGEMENT LLC OWNER indirect 2001-03-01 2003-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 1999-07-01 2003-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2000-09-01 2003-03-18
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISER direct 1993-01-01 2003-03-31
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
PIM GESTION FRANCE, SA SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
PRINCIPAL CAPITAL GLOBAL INVESTORS LIMITED PARENT COMPANY OF REGISTRANT direct 2002-11-01 2003-03-31
HFR EUROPE, LTD. MEMBER direct 2001-05-01 2003-04-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2003-05-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL, INC. indirect 1999-09-01 2003-05-28
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF PUTNAM LOVELL NBF GROUP, INC indirect 2002-06-01 2003-05-28
LYNX INVESTMENT ADVISORY,LLC OWNER OF LEPERCQ INC. indirect 1989-09-01 2003-08-14
GREYBULL PARTNERS LLC MEMBER direct 2003-08-01 2003-09-10
MYFINANCIALADVICE, INC. SHAREHOLDER direct 2003-09-01 2003-10-28
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1986-07-01 2003-11-04
NEW ENGLAND SECURITIES CORPORATION SOLE STOCK HOLDER indirect 1996-08-01 2003-11-07
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL. INC. indirect 1999-09-01 2003-11-20
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF PUTNM LOVELL NBF GROUP, INC. indirect 2002-06-01 2003-11-20
STEINBERG PRIEST & SLOANE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER OF PUTNAM LOVELL GROUP, INC. indirect 2002-06-01 2003-11-28
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2003-12-05
HOTTINGER CAPITAL CORP STOCKHOLDER OF ADVISER direct 1993-01-01 2003-12-12
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2004-01-21
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2001-06-01 2004-01-21
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2004-02-11
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED SHAREHOLDER indirect 1999-05-01 2004-02-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER direct 2004-03-01 2004-03-15
KIT COLE INVESTMENT ADVISORY SERVICES TRUST direct 2002-12-01 2004-03-19
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2004-03-29
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-03-29
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2001-12-01 2004-04-06
HFR EUROPE, LTD. OWNER direct 2001-05-01 2004-04-29
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2004-05-06
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2004-05-06
MCF-ALADDIN CAPITAL MANAGEMENT LLC 100% DIRECT OWNER direct 2004-06-01 2004-06-18
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. 0WNER indirect 2004-06-01 2004-06-30
INDEPENDENT PORTFOLIO CONSULTANTS, INC. HOLDING COMPANY indirect 2004-07-01 2004-07-30
TRUSTMARK FINANCIAL SERVICES,INC. PARENT CORPORATION direct 1991-12-01 2004-08-04
TRUSTMARK FINANCIAL SERVICES,INC. SHAREHOLDER indirect 1991-12-01 2004-08-04
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
SPM, III L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM, III L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC LIMITED PARTNER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM III, L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
SIGNAL CAPITAL MANAGEMENT,INC. PARENT COMPANY direct 2002-03-01 2004-09-07
JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED INVESTOR direct 2004-09-01 2004-09-24
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PIMCO ADVISORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-10-23
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1996-06-01 2004-11-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1998-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2000-09-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1982-11-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1984-01-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2002-10-01 2005-01-28
PZENA INVESTMENT MANAGEMENT LLC CONTROLLING MEMBER indirect 1998-01-01 2005-03-11
CITISTREET FINANCIAL SERVICES LLC MEMBER indirect 1981-07-01 2005-03-29
CITISTREET FINANCIAL SERVICES LLC SOLE MEMBER indirect 2000-03-01 2005-03-29
AMERICAN ODYSSEY FUNDS MANAGEMENT LLC MEMBER indirect 1981-07-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. SHAREHOLDER direct 1997-08-01 2005-03-31
OPCAP ADVISORS LLC MEMBER indirect 2005-04-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT MEMBER direct 2002-06-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 1906-12-01 2005-05-18
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-06-09
WRL INVESTMENT MANAGEMENT INC OWNER indirect 1991-02-01 2005-07-06
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SHAREHOLDER indirect 2005-08-01 2005-08-12
MCF-ALADDIN CAPITAL MANAGEMENT LLC OWNER indirect 2003-12-01 2005-09-15
CITISTREET ADVISORS LLC MEMBER indirect 2000-03-01 2005-09-30
CITISTREET ADVISORS LLC MEMBER indirect 2005-09-01 2005-09-30
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2205-09-01 2005-09-30
KAHN BROTHERS & CO. INC. STOCKHOLDER direct 1995-10-01 2005-11-04
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
BPW ASSET MANAGEMENT LLC MANAGING MEMBER direct 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. SHAREHOLDER indirect 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. GENERAL PARTNER indirect 2002-11-01 2005-12-14
DSC ADVISORS, L.P. MEMBER indirect 2001-12-01 2005-12-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2003-09-01 2006-01-23
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01 2006-03-28
COOPERNEFF ADVISORS INC INDIRECT OWNER indirect 2006-10-01 2006-03-29
PADCO ADVISORS II INC SHAREHOLDER direct 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER indirect 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER direct 2003-12-01 2006-03-31
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. DIRECT OWNER direct 2006-01-01 2006-04-18
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-12-01 2006-05-15
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-05-24
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
VANTAGE FOREST PRODUCTS LP GENERAL PARTNER direct 2006-05-01 2006-05-31
BNP PARIBAS ASSET MANAGEMENT, INC. INDIRECT OWNER indirect 2000-10-01 2006-08-29
TAPESTRY ASSET MANAGEMENT L.P. GENERAL PARTNER direct 2003-03-01 2006-09-05
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2006-10-02
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2005-10-01 2006-10-02
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-10-20
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-10-20
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1995-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1995-06-01 2007-03-14
KAHN BROTHERS ASSET MANAGEMENT CORP STOCKHOLDER direct 1997-12-01 2007-03-15
KB & PARTNERS MANAGEMENT CO LLC NONE direct 2000-03-01 2007-03-15
ALLIANZ HEDGE FUND GENERAL PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND LIMITED PARTNER direct 2001-09-01 2007-03-30
PIONEER ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2007-03-30
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C GENERAL PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2007-03-30
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2007-05-08
NIKKO AM INTERNATIONAL, INC. ULTIMATE CORPORATE PARENT indirect 2007-05-01 2007-05-09
NIKKO AM INTERNATIONAL, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
FAIRSTREAM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-05-01 2007-05-09
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2001-09-01 2007-06-27
NIKKO ASSET MANAGEMENT SINGAPORE LIMITED SHAREHOLDER indirect 2007-05-01 2007-07-02
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1996-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1998-07-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2007-07-03
O'SHAUGHNESSY ASSET MANAGEMENT, LLC OWNER direct 2007-07-01 2007-07-12
ALCENTRA, INC. SHAREHOLDER direct 2006-01-01 2007-08-01
WESTLB ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01 2007-08-01
DOUBLE EAGLE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2005-04-01 2007-09-04
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-10-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1984-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1990-04-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC OWNER direct 2007-09-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-11-08
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-11-12
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
TRAXIS PARTNERS LLC PARTNER direct 2007-11-01 2007-11-12
QUOTIENT INVESTORS, LLC MEMBER direct 2007-12-01 2007-12-11
KG REDDING, LLC OWNER indirect 2005-12-01 2007-12-21
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2007-12-21
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-07-01 2008-01-07
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01 2008-02-12
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER direct 2007-04-01 2008-03-28
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
KG REDDING, LLC OWNER indirect 2007-12-01 2008-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2007-12-01 2008-03-31
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1970-09-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1990-07-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-04-01 2008-09-03
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC TRUST/SERIES E COMMON indirect 2007-04-01 2008-10-15
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER indirect 2006-11-01 2009-01-12
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER direct 2008-03-01 2009-01-12
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
MORGAN KEEGAN FUND MANAGEMENT, INC. DIRECT OWNER, HOLDING COMPANY direct 2001-03-01 2009-02-05
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2009-03-30
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-04-01 2009-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01 2009-04-16
SEIDMAN PRIVATE ADVISORS LLC OWNER direct 2004-04-01 2009-05-06
MORGAN STANLEY SMITH BARNEY LLC SHAREHOLDER indirect 2009-05-01 2009-06-26
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1998-06-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-03-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-10-01 2009-06-29
SEIDMAN PRIVATE ADVISORS, LLC OWNER direct 2009-07-01 2009-08-05
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2009-08-21
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-09-09
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-10
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-14
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 1999-12-01 2009-09-16
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER direct 2009-01-01 2009-09-16
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-21
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-07-01 2009-10-05
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-08-01 2009-10-05
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1982-12-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP CORPORATE TRUSTEE indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1999-02-01 2009-11-03
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY direct 2005-12-01 2009-11-11
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01 2009-11-19
OPPENHEIMER CAPITAL LLC MANAGING MEMBER indirect 2000-05-01 2009-11-20
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-11-23
VIGILANT INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-08-01 2009-11-24
TRILANTIC CAPITAL MANAGEMENT LLC ENTITY direct 2009-04-01 2009-12-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1984-12-01 2010-01-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1993-12-01 2010-01-04
ACTINVER WEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2009-03-01 2010-02-16
ACTINVER WEALTH MANAGEMENT, INC. OWNER indirect 2009-03-01 2010-02-16
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01 2010-02-23
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01 2010-02-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-02-25
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 1995-01-01 2010-03-01
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 2000-05-01 2010-03-01
HATTERAS INVESTMENT PARTNERS LLC N/A direct 2007-01-01 2010-03-11
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2010-03-22
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2009-01-01 2010-03-22
PA FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-23
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED D) indirect 2006-11-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-25
BELSEN GETTY LLC PARENT COMPANY direct 2006-05-01 2010-03-26
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2003-01-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2010-03-30
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
AMS ADVISORS LLC OWNER direct 2006-11-01 2010-03-31
PANTHEON VENTURES (US) LLP LIMITED PARTNER direct 2010-03-01 2010-04-07
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER indirect 2003-07-01 2010-04-20
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER direct 2008-04-01 2010-04-20
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-04-22
PANTHEON VENTURES (US) LLP NON-MANAGING PARTNER direct 2010-03-01 2010-04-22
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2010-08-19
ARCUS CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2009-09-01 2010-08-19
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-09-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-09-08
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-09-22
TRECAP PARTNERS, LLC MEMBER direct 2010-03-01 2010-10-15
TRECAP PARTNERS, LLC CLASS A AND CLASS B MEMBER indirect 2010-03-01 2010-10-15
WESTON CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2010-03-01 2011-02-24
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER direct 2002-08-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1984-07-01 2011-03-29
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1990-01-01 2011-03-29
FRANCK GALLAND US ADVISORS S.A. SHAREHOLDER direct 2009-10-01 2011-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1996-12-01 2011-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2011-03-31
THL CREDIT ADVISORS LLC SOLE MEMBER indirect 2009-06-01 2011-04-01
THL CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2009-06-01 2011-04-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC 77% OWNER indirect 2006-03-01 2011-05-03
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-04-01 2011-05-31
CHURCHILL FINANCIAL LLC PARENT COMPANY indirect 2010-04-01 2011-06-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
BLUECREST CAPITAL MANAGEMENT LLP MEMBER direct 2011-03-01 2011-06-13
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-30
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01 2011-09-21
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01 2011-09-21
ASSET MANAGEMENT ADVISORS LLC SHAREHOLDERS direct 2007-05-01 2011-09-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-10-05
BAM PIC US SHAREHOLDER indirect 2003-01-01 2011-10-14
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-11-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
MORGAN ASSET MANAGEMENT, INC. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01 2012-01-31
CAPITAL POINT ADVISORS, L.P. GENERAL PARTNER direct 2005-02-01 2012-02-13
STAIRWAY PARTNERS, LLC MEMBER direct 2004-10-01 2012-02-22
2100 XENON GROUP LLC 100% SHAREHOLDER indirect 2003-01-01 2012-03-26
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER direct 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
CITIGROUP INVESTMENT ADVISORY SERVICES LLC SHAREHOLDER indirect 2009-05-01 2012-03-30
NEXAR CAPITAL LLC EQUITY OWNER indirect 2011-07-01 2012-04-17
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER indirect 2003-10-01 2012-05-02
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01 2012-05-21
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-07-10
ESSEX NATIONAL SECURITIES, INC. INDIRECT OWNER indirect 2012-05-01 2012-07-10
ELKHORN WEALTH MANAGEMENT, LLC MEMBER indirect 2008-06-01 2012-09-05
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2012-09-24
CRAFUND ADVISORS INC. OWNER direct 2003-09-01 2012-09-25
CADIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2007-09-01 2013-03-21
GMG INVESTMENT ADVISORS LLC MEMBER direct 2010-05-01 2013-04-30
WEALTHFRONT INC. SHAREHOLDER (COMMON & PREFERRED) direct 2013-03-01 2013-05-01
NEWGLOBE, L.P. LIMITED PARTNER direct 2013-05-01 2013-06-06
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01 2013-10-23
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-01-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2011-11-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MEMBER direct 2012-01-01 2013-12-02
ARTUS MANAGEMENT, L.P. GENERAL PARTNER OF ARTUS MANAGEMENT, L.P. direct 2013-11-01 2013-12-09
BRAZOS INVESTMENT PARTNERS I, L.P. LIMITED PARTNER indirect 2000-01-01 2014-03-18
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER direct 2007-09-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER indirect 2008-08-01 2014-03-31
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED A) indirect 2009-10-01 2014-03-31
KENMAR GLOBAL INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-03-01 2014-03-31
KENMAR PREFERRED INVESTMENTS, L.P. MEMBER indirect 2014-03-01 2014-04-03
CLARITY MANAGED ACCOUNT & ANALYTICS PLATFORM, L.P. MEMBER indirect 2014-03-01 2014-04-03
LAGODA INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-04-01 2014-05-15
RANZIE, ROSEMARIE OWNER direct 2004-04-01 2014-08-18
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2014-08-01 2014-11-25
ATL ADVISOR LLC SOLE MEMBER direct 2014-09-01 2014-12-12
RREEF GLOBAL ADVISERS LIMITED 100% direct 2006-02-01 2014-12-24
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OMEGA FUND MANAGEMENT (US) INC. SHAREHOLDER direct 2015-02-01 2015-02-27
DIVIDEND ASSETS CAPITAL, LLC TRUSTEE indirect 2014-10-01 2015-03-12
TOURMALET ADVISORS, L.P. OWNER indirect 2006-10-01 2015-03-25
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIAG indirect 1984-07-01 2015-03-27
WP GLOBAL PARTNERS INC. CONTROLS PIFSS indirect 1990-01-01 2015-03-27
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIC indirect 1990-01-01 2015-03-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-01-01 2015-03-30
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-03-31
GENESIS CAPITAL, LLC SHAREHOLDER direct 2014-01-01 2015-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER direct 2015-04-01 2015-04-16
CONNING, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
GOODWIN CAPITAL ADVISERS, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1991-01-01 2015-05-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-05-27
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01 2015-06-03
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER direct 2009-10-01 2015-06-03
CROW HOLDINGS CAPITAL PARTNERS, L.L.C. LIMITED PARTNER indirect 2014-11-01 2015-06-10
KEELEY ASSET MANAGEMENT CORP 100% OWNER OF VOTING SHARES indirect 2015-06-01 2015-06-11
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2015-06-29
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-05-01 2015-10-29
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-12-04
REGIONS INVESTMENT MANAGEMENT, INC. DIRECT OWNER/HOLDING COMPANY direct 2012-03-01 2015-12-07
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01 2015-12-23
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-01-06
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2009-08-01 2016-02-23
DSC ADVISORS, L.P. SOLE MEMBER IN WILLOUGHBY PLACE LLC indirect 2012-06-01 2016-03-23
QIEF MANAGEMENT, LLC SHAREHOLDER indirect 2005-06-01 2016-03-29
MACKENZIE FINANCIAL CORPORATION SHAREHOLDER indirect 2013-10-01 2016-03-29
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-04-01 2016-03-30
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01 2016-03-30
BRIDGER MANAGEMENT LLC MEMBER OF BRIDGER MANAGEMENT LLC direct 2015-12-01 2016-03-30
ROYCE & ASSOCIATES, LP GENERAL PARTNER direct 2016-03-01 2016-03-30
FORMATION CAPITAL, LLC MEMBER direct 1999-01-01 2016-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2016-05-04
HATTERAS FUNDS, LP GENERAL PARTNER indirect 2016-01-01 2016-05-23
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2016-05-25
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2016-06-28
TORON CAPITAL MARKETS INC OWNER direct 2015-11-01 2016-07-06
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC SHAREHOLDER indirect 2011-12-01 2016-07-08
CONEXUS CAPITAL MANAGEMENT, LLC LLC direct 2016-06-01 2016-07-29
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 1990-04-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2012-06-01 2016-07-30
WEALTHCOR LLC OWNER direct 2016-01-01 2016-08-04
DSC ADVISORS, L.P. MEMBER OF DSC QUANTITATIVE GROUP, LLC direct 2012-06-01 2016-11-03
DSC ADVISORS, L.P. SOLE MEMBER OF ARBAM LLC indirect 2012-06-01 2016-11-03
DSC ADVISORS, L.P. LIMITED PARTNER IN WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. GP TO WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. MANAGING MEMBER OF RMB17 LLC indirect 2016-03-01 2016-11-03
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2004-10-01 2016-12-07
CALAMOS WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2004-10-01 2017-03-02
CADIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER direct 2007-09-01 2017-03-27
PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2017-03-30
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC SHAREHOLDER indirect 2016-08-01 2017-03-30
MARINER REAL ESTATE MANAGEMENT, LLC MEMBER direct 2008-07-01 2017-03-31
OGAM, LP SHAREHOLDER indirect 2008-10-01 2017-04-13
MANAGED ACCOUNT SERVICES INC TRUST direct 2006-01-01 2017-04-25
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER direct 2012-12-01 2017-05-09
CCC ADVISORS, LLC SOLE MEMBER (CCC ADVISORS, LLC) direct 2017-06-01 2017-06-10
CCC ADVISORS, LLC MEMBER (COTTON CREEK CAPITAL MANAGEMENT II, LLC) direct 2017-06-01 2017-06-10
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-07-07
STRENTA INVESTMENT MANAGEMENT, INC. TRUSTEE indirect 2012-12-01 2017-07-07
EVOLUTION WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2017-07-01 2017-08-11
KDT ADVISORS, LLC MANAGING MEMBER direct 2017-10-01 2017-09-05
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AVORO CAPITAL GP LLC GENERAL PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
KG REDDING, LLC OWNER indirect 2005-04-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
HG AMALGAM LLP MEMBER direct 2009-10-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
OGAM, LP PARTNER direct 2017-04-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
OPCAP ADVISORS SOLE SHAREHOLDER indirect 2000-05-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2001-07-01 2002-01-30
VALUE ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPPENHEIMER CAPITAL STOCKHOLDER indirect 2001-07-01 2002-01-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2002-01-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2000-05-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2000-05-01 2002-01-31
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2001-07-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2001-07-01 2002-01-31
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01 2002-02-07
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 2001-07-01 2002-02-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% indirect 1997-12-01 2002-02-14
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
O'SULLIVAN HICKS PATTON FINANCIAL ADVISORS, LLC OWNER direct 2000-07-01 2002-03-13
AEGON USA INVESTMENT MANAGEMENT, LLC SH indirect 1978-11-01 2002-03-26
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2000-03-01 2002-03-27
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 1999-07-01 2002-03-28
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2002-03-28
PIMCO ADVISORS LP SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-03-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2000-09-01 2002-03-28
PIMCO EQUITY ADVISORS LLC MEMBER direct 2001-07-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2002-03-28
JEFFERSON PILOT INVESTMENT ADVISORY CORP PARENT CORP. direct 1989-04-01 2002-04-05
SIGNAL CAPITAL MANAGEMENT,INC. AMERICAN NATIONAL TRUST & INVESTMENT COMPANY indirect 2002-03-01 2002-05-23
INLIGN WEALTH MANAGEMENT, LLC. OWNER indirect 2002-06-01 2002-06-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISOR direct 1993-01-01 2002-07-11
GOODMAN FINANCIAL ADVISORS, LLC CURRENT indirect 2001-07-01 2002-08-13
ROTHSCHILD ASSET MANAGEMENT INC STOCKHOLDER OF PARENT OF APPLICANT direct 1987-12-01 2002-08-30
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED PARENT COMPANY OF REGISTRANT direct 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2002-01-01 2002-11-01
ALLIANZ HEDGE FUND LIMITED PARTNER indirect 2001-10-01 2002-11-06
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLIPL - 100% OWNER indirect 1997-06-01 2002-11-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% OWNER indirect 1997-12-01 2002-11-07
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1995-11-01 2002-11-15
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1999-11-01 2002-11-15
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
NANTUCKET CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC GP-NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL A LP NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL B LIMITED PARTNER indirect 2003-01-01 2003-01-21
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF IBJ WHITEHALL BANK & TRUST COMPANY indirect 1999-07-01 2003-02-19
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF INDUSTRIAL BANK OF JAPAN, LTD. indirect 1999-07-01 2003-02-19
HESTER CAPITAL MANAGEMENT LLC OWNER indirect 2001-03-01 2003-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 1999-07-01 2003-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2000-09-01 2003-03-18
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISER direct 1993-01-01 2003-03-31
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
PIM GESTION FRANCE, SA SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
PRINCIPAL CAPITAL GLOBAL INVESTORS LIMITED PARENT COMPANY OF REGISTRANT direct 2002-11-01 2003-03-31
HFR EUROPE, LTD. MEMBER direct 2001-05-01 2003-04-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2003-05-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL, INC. indirect 1999-09-01 2003-05-28
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF PUTNAM LOVELL NBF GROUP, INC indirect 2002-06-01 2003-05-28
LYNX INVESTMENT ADVISORY,LLC OWNER OF LEPERCQ INC. indirect 1989-09-01 2003-08-14
GREYBULL PARTNERS LLC MEMBER direct 2003-08-01 2003-09-10
MYFINANCIALADVICE, INC. SHAREHOLDER direct 2003-09-01 2003-10-28
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1986-07-01 2003-11-04
NEW ENGLAND SECURITIES CORPORATION SOLE STOCK HOLDER indirect 1996-08-01 2003-11-07
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL. INC. indirect 1999-09-01 2003-11-20
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF PUTNM LOVELL NBF GROUP, INC. indirect 2002-06-01 2003-11-20
STEINBERG PRIEST & SLOANE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER OF PUTNAM LOVELL GROUP, INC. indirect 2002-06-01 2003-11-28
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2003-12-05
HOTTINGER CAPITAL CORP STOCKHOLDER OF ADVISER direct 1993-01-01 2003-12-12
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2004-01-21
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2001-06-01 2004-01-21
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2004-02-11
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED SHAREHOLDER indirect 1999-05-01 2004-02-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER direct 2004-03-01 2004-03-15
KIT COLE INVESTMENT ADVISORY SERVICES TRUST direct 2002-12-01 2004-03-19
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2004-03-29
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-03-29
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2001-12-01 2004-04-06
HFR EUROPE, LTD. OWNER direct 2001-05-01 2004-04-29
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2004-05-06
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2004-05-06
MCF-ALADDIN CAPITAL MANAGEMENT LLC 100% DIRECT OWNER direct 2004-06-01 2004-06-18
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. 0WNER indirect 2004-06-01 2004-06-30
INDEPENDENT PORTFOLIO CONSULTANTS, INC. HOLDING COMPANY indirect 2004-07-01 2004-07-30
TRUSTMARK FINANCIAL SERVICES,INC. PARENT CORPORATION direct 1991-12-01 2004-08-04
TRUSTMARK FINANCIAL SERVICES,INC. SHAREHOLDER indirect 1991-12-01 2004-08-04
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
SPM, III L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM, III L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC LIMITED PARTNER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM III, L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
SIGNAL CAPITAL MANAGEMENT,INC. PARENT COMPANY direct 2002-03-01 2004-09-07
JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED INVESTOR direct 2004-09-01 2004-09-24
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PIMCO ADVISORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-10-23
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1996-06-01 2004-11-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1998-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2000-09-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1982-11-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1984-01-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2002-10-01 2005-01-28
PZENA INVESTMENT MANAGEMENT LLC CONTROLLING MEMBER indirect 1998-01-01 2005-03-11
CITISTREET FINANCIAL SERVICES LLC MEMBER indirect 1981-07-01 2005-03-29
CITISTREET FINANCIAL SERVICES LLC SOLE MEMBER indirect 2000-03-01 2005-03-29
AMERICAN ODYSSEY FUNDS MANAGEMENT LLC MEMBER indirect 1981-07-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. SHAREHOLDER direct 1997-08-01 2005-03-31
OPCAP ADVISORS LLC MEMBER indirect 2005-04-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT MEMBER direct 2002-06-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 1906-12-01 2005-05-18
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-06-09
WRL INVESTMENT MANAGEMENT INC OWNER indirect 1991-02-01 2005-07-06
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SHAREHOLDER indirect 2005-08-01 2005-08-12
MCF-ALADDIN CAPITAL MANAGEMENT LLC OWNER indirect 2003-12-01 2005-09-15
CITISTREET ADVISORS LLC MEMBER indirect 2000-03-01 2005-09-30
CITISTREET ADVISORS LLC MEMBER indirect 2005-09-01 2005-09-30
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2205-09-01 2005-09-30
KAHN BROTHERS & CO. INC. STOCKHOLDER direct 1995-10-01 2005-11-04
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
BPW ASSET MANAGEMENT LLC MANAGING MEMBER direct 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. SHAREHOLDER indirect 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. GENERAL PARTNER indirect 2002-11-01 2005-12-14
DSC ADVISORS, L.P. MEMBER indirect 2001-12-01 2005-12-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2003-09-01 2006-01-23
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01 2006-03-28
COOPERNEFF ADVISORS INC INDIRECT OWNER indirect 2006-10-01 2006-03-29
PADCO ADVISORS II INC SHAREHOLDER direct 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER indirect 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER direct 2003-12-01 2006-03-31
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. DIRECT OWNER direct 2006-01-01 2006-04-18
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-12-01 2006-05-15
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-05-24
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
VANTAGE FOREST PRODUCTS LP GENERAL PARTNER direct 2006-05-01 2006-05-31
BNP PARIBAS ASSET MANAGEMENT, INC. INDIRECT OWNER indirect 2000-10-01 2006-08-29
TAPESTRY ASSET MANAGEMENT L.P. GENERAL PARTNER direct 2003-03-01 2006-09-05
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2006-10-02
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2005-10-01 2006-10-02
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-10-20
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-10-20
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1995-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1995-06-01 2007-03-14
KAHN BROTHERS ASSET MANAGEMENT CORP STOCKHOLDER direct 1997-12-01 2007-03-15
KB & PARTNERS MANAGEMENT CO LLC NONE direct 2000-03-01 2007-03-15
ALLIANZ HEDGE FUND GENERAL PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND LIMITED PARTNER direct 2001-09-01 2007-03-30
PIONEER ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2007-03-30
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C GENERAL PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2007-03-30
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2007-05-08
NIKKO AM INTERNATIONAL, INC. ULTIMATE CORPORATE PARENT indirect 2007-05-01 2007-05-09
NIKKO AM INTERNATIONAL, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
FAIRSTREAM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-05-01 2007-05-09
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2001-09-01 2007-06-27
NIKKO ASSET MANAGEMENT SINGAPORE LIMITED SHAREHOLDER indirect 2007-05-01 2007-07-02
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1996-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1998-07-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2007-07-03
O'SHAUGHNESSY ASSET MANAGEMENT, LLC OWNER direct 2007-07-01 2007-07-12
ALCENTRA, INC. SHAREHOLDER direct 2006-01-01 2007-08-01
WESTLB ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01 2007-08-01
DOUBLE EAGLE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2005-04-01 2007-09-04
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-10-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1984-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1990-04-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC OWNER direct 2007-09-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-11-08
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-11-12
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
TRAXIS PARTNERS LLC PARTNER direct 2007-11-01 2007-11-12
QUOTIENT INVESTORS, LLC MEMBER direct 2007-12-01 2007-12-11
KG REDDING, LLC OWNER indirect 2005-12-01 2007-12-21
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2007-12-21
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-07-01 2008-01-07
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01 2008-02-12
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER direct 2007-04-01 2008-03-28
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
KG REDDING, LLC OWNER indirect 2007-12-01 2008-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2007-12-01 2008-03-31
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1970-09-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1990-07-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-04-01 2008-09-03
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC TRUST/SERIES E COMMON indirect 2007-04-01 2008-10-15
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER indirect 2006-11-01 2009-01-12
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER direct 2008-03-01 2009-01-12
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
MORGAN KEEGAN FUND MANAGEMENT, INC. DIRECT OWNER, HOLDING COMPANY direct 2001-03-01 2009-02-05
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2009-03-30
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-04-01 2009-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01 2009-04-16
SEIDMAN PRIVATE ADVISORS LLC OWNER direct 2004-04-01 2009-05-06
MORGAN STANLEY SMITH BARNEY LLC SHAREHOLDER indirect 2009-05-01 2009-06-26
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1998-06-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-03-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-10-01 2009-06-29
SEIDMAN PRIVATE ADVISORS, LLC OWNER direct 2009-07-01 2009-08-05
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2009-08-21
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-09-09
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-10
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-14
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 1999-12-01 2009-09-16
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER direct 2009-01-01 2009-09-16
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-21
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-07-01 2009-10-05
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-08-01 2009-10-05
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1982-12-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP CORPORATE TRUSTEE indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1999-02-01 2009-11-03
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY direct 2005-12-01 2009-11-11
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01 2009-11-19
OPPENHEIMER CAPITAL LLC MANAGING MEMBER indirect 2000-05-01 2009-11-20
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-11-23
VIGILANT INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-08-01 2009-11-24
TRILANTIC CAPITAL MANAGEMENT LLC ENTITY direct 2009-04-01 2009-12-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1984-12-01 2010-01-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1993-12-01 2010-01-04
ACTINVER WEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2009-03-01 2010-02-16
ACTINVER WEALTH MANAGEMENT, INC. OWNER indirect 2009-03-01 2010-02-16
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01 2010-02-23
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01 2010-02-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-02-25
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 1995-01-01 2010-03-01
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 2000-05-01 2010-03-01
HATTERAS INVESTMENT PARTNERS LLC N/A direct 2007-01-01 2010-03-11
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2010-03-22
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2009-01-01 2010-03-22
PA FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-23
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED D) indirect 2006-11-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-25
BELSEN GETTY LLC PARENT COMPANY direct 2006-05-01 2010-03-26
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2003-01-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2010-03-30
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
AMS ADVISORS LLC OWNER direct 2006-11-01 2010-03-31
PANTHEON VENTURES (US) LLP LIMITED PARTNER direct 2010-03-01 2010-04-07
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER indirect 2003-07-01 2010-04-20
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER direct 2008-04-01 2010-04-20
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-04-22
PANTHEON VENTURES (US) LLP NON-MANAGING PARTNER direct 2010-03-01 2010-04-22
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2010-08-19
ARCUS CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2009-09-01 2010-08-19
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-09-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-09-08
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-09-22
TRECAP PARTNERS, LLC MEMBER direct 2010-03-01 2010-10-15
TRECAP PARTNERS, LLC CLASS A AND CLASS B MEMBER indirect 2010-03-01 2010-10-15
WESTON CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2010-03-01 2011-02-24
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER direct 2002-08-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1984-07-01 2011-03-29
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1990-01-01 2011-03-29
FRANCK GALLAND US ADVISORS S.A. SHAREHOLDER direct 2009-10-01 2011-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1996-12-01 2011-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2011-03-31
THL CREDIT ADVISORS LLC SOLE MEMBER indirect 2009-06-01 2011-04-01
THL CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2009-06-01 2011-04-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC 77% OWNER indirect 2006-03-01 2011-05-03
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-04-01 2011-05-31
CHURCHILL FINANCIAL LLC PARENT COMPANY indirect 2010-04-01 2011-06-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
BLUECREST CAPITAL MANAGEMENT LLP MEMBER direct 2011-03-01 2011-06-13
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-30
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01 2011-09-21
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01 2011-09-21
ASSET MANAGEMENT ADVISORS LLC SHAREHOLDERS direct 2007-05-01 2011-09-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-10-05
BAM PIC US SHAREHOLDER indirect 2003-01-01 2011-10-14
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-11-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
MORGAN ASSET MANAGEMENT, INC. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01 2012-01-31
CAPITAL POINT ADVISORS, L.P. GENERAL PARTNER direct 2005-02-01 2012-02-13
STAIRWAY PARTNERS, LLC MEMBER direct 2004-10-01 2012-02-22
2100 XENON GROUP LLC 100% SHAREHOLDER indirect 2003-01-01 2012-03-26
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER direct 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
CITIGROUP INVESTMENT ADVISORY SERVICES LLC SHAREHOLDER indirect 2009-05-01 2012-03-30
NEXAR CAPITAL LLC EQUITY OWNER indirect 2011-07-01 2012-04-17
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER indirect 2003-10-01 2012-05-02
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01 2012-05-21
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-07-10
ESSEX NATIONAL SECURITIES, INC. INDIRECT OWNER indirect 2012-05-01 2012-07-10
ELKHORN WEALTH MANAGEMENT, LLC MEMBER indirect 2008-06-01 2012-09-05
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2012-09-24
CRAFUND ADVISORS INC. OWNER direct 2003-09-01 2012-09-25
CADIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2007-09-01 2013-03-21
GMG INVESTMENT ADVISORS LLC MEMBER direct 2010-05-01 2013-04-30
WEALTHFRONT INC. SHAREHOLDER (COMMON & PREFERRED) direct 2013-03-01 2013-05-01
NEWGLOBE, L.P. LIMITED PARTNER direct 2013-05-01 2013-06-06
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01 2013-10-23
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-01-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2011-11-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MEMBER direct 2012-01-01 2013-12-02
ARTUS MANAGEMENT, L.P. GENERAL PARTNER OF ARTUS MANAGEMENT, L.P. direct 2013-11-01 2013-12-09
BRAZOS INVESTMENT PARTNERS I, L.P. LIMITED PARTNER indirect 2000-01-01 2014-03-18
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER direct 2007-09-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER indirect 2008-08-01 2014-03-31
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED A) indirect 2009-10-01 2014-03-31
KENMAR GLOBAL INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-03-01 2014-03-31
KENMAR PREFERRED INVESTMENTS, L.P. MEMBER indirect 2014-03-01 2014-04-03
CLARITY MANAGED ACCOUNT & ANALYTICS PLATFORM, L.P. MEMBER indirect 2014-03-01 2014-04-03
LAGODA INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-04-01 2014-05-15
RANZIE, ROSEMARIE OWNER direct 2004-04-01 2014-08-18
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2014-08-01 2014-11-25
ATL ADVISOR LLC SOLE MEMBER direct 2014-09-01 2014-12-12
RREEF GLOBAL ADVISERS LIMITED 100% direct 2006-02-01 2014-12-24
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OMEGA FUND MANAGEMENT (US) INC. SHAREHOLDER direct 2015-02-01 2015-02-27
DIVIDEND ASSETS CAPITAL, LLC TRUSTEE indirect 2014-10-01 2015-03-12
TOURMALET ADVISORS, L.P. OWNER indirect 2006-10-01 2015-03-25
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIAG indirect 1984-07-01 2015-03-27
WP GLOBAL PARTNERS INC. CONTROLS PIFSS indirect 1990-01-01 2015-03-27
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIC indirect 1990-01-01 2015-03-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-01-01 2015-03-30
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-03-31
GENESIS CAPITAL, LLC SHAREHOLDER direct 2014-01-01 2015-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER direct 2015-04-01 2015-04-16
CONNING, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
GOODWIN CAPITAL ADVISERS, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1991-01-01 2015-05-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-05-27
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01 2015-06-03
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER direct 2009-10-01 2015-06-03
CROW HOLDINGS CAPITAL PARTNERS, L.L.C. LIMITED PARTNER indirect 2014-11-01 2015-06-10
KEELEY ASSET MANAGEMENT CORP 100% OWNER OF VOTING SHARES indirect 2015-06-01 2015-06-11
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2015-06-29
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-05-01 2015-10-29
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-12-04
REGIONS INVESTMENT MANAGEMENT, INC. DIRECT OWNER/HOLDING COMPANY direct 2012-03-01 2015-12-07
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01 2015-12-23
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-01-06
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2009-08-01 2016-02-23
DSC ADVISORS, L.P. SOLE MEMBER IN WILLOUGHBY PLACE LLC indirect 2012-06-01 2016-03-23
QIEF MANAGEMENT, LLC SHAREHOLDER indirect 2005-06-01 2016-03-29
MACKENZIE FINANCIAL CORPORATION SHAREHOLDER indirect 2013-10-01 2016-03-29
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-04-01 2016-03-30
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01 2016-03-30
BRIDGER MANAGEMENT LLC MEMBER OF BRIDGER MANAGEMENT LLC direct 2015-12-01 2016-03-30
ROYCE & ASSOCIATES, LP GENERAL PARTNER direct 2016-03-01 2016-03-30
FORMATION CAPITAL, LLC MEMBER direct 1999-01-01 2016-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2016-05-04
HATTERAS FUNDS, LP GENERAL PARTNER indirect 2016-01-01 2016-05-23
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2016-05-25
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2016-06-28
TORON CAPITAL MARKETS INC OWNER direct 2015-11-01 2016-07-06
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC SHAREHOLDER indirect 2011-12-01 2016-07-08
CONEXUS CAPITAL MANAGEMENT, LLC LLC direct 2016-06-01 2016-07-29
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 1990-04-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2012-06-01 2016-07-30
WEALTHCOR LLC OWNER direct 2016-01-01 2016-08-04
DSC ADVISORS, L.P. MEMBER OF DSC QUANTITATIVE GROUP, LLC direct 2012-06-01 2016-11-03
DSC ADVISORS, L.P. SOLE MEMBER OF ARBAM LLC indirect 2012-06-01 2016-11-03
DSC ADVISORS, L.P. LIMITED PARTNER IN WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. GP TO WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. MANAGING MEMBER OF RMB17 LLC indirect 2016-03-01 2016-11-03
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2004-10-01 2016-12-07
CALAMOS WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2004-10-01 2017-03-02
CADIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER direct 2007-09-01 2017-03-27
PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2017-03-30
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC SHAREHOLDER indirect 2016-08-01 2017-03-30
MARINER REAL ESTATE MANAGEMENT, LLC MEMBER direct 2008-07-01 2017-03-31
OGAM, LP SHAREHOLDER indirect 2008-10-01 2017-04-13
MANAGED ACCOUNT SERVICES INC TRUST direct 2006-01-01 2017-04-25
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER direct 2012-12-01 2017-05-09
CCC ADVISORS, LLC SOLE MEMBER (CCC ADVISORS, LLC) direct 2017-06-01 2017-06-10
CCC ADVISORS, LLC MEMBER (COTTON CREEK CAPITAL MANAGEMENT II, LLC) direct 2017-06-01 2017-06-10
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-07-07
STRENTA INVESTMENT MANAGEMENT, INC. TRUSTEE indirect 2012-12-01 2017-07-07
EVOLUTION WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2017-07-01 2017-08-11
KDT ADVISORS, LLC MANAGING MEMBER direct 2017-10-01 2017-09-05
AGHAZADEH, BEHZAD LIMITED PARTNER AVORO CAPITAL L.P. 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
KONG, GARHENG, ALBERT MEMBER AVORO CAPITAL GP LLC 05/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC MEMBER indirect 2019-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVORO LIFE SCIENCES FUND LLC United States 805-5609721763 Hedge Fund 2,193,519,265 1,000,000 Master Fund

VENBIO SELECT ADVISOR LLC

ownership team - last updated 2019-03-13
Name Title Start Date Direct/Indirect % Ownership
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
VENBIO SELECT ADVISOR L.P. DIRECT OWNER 09/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC DIRECT OWNER direct 2017-09-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD LIMITED PARTNER VENBIO SELECT ADVISOR L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD MEMBER VENBIO SELECT ADVISOR MANAGEMENT HOLDINGS GP, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
VENBIO SELECT ADVISOR MANAGEMENT HOLDINGS GP, LLC GENERAL PARTNER VENBIO SELECT ADVISOR L.P. 09/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC GENERAL PARTNER indirect 2017-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VENBIO SELECT FUND LLC United States 805-5609721763 Hedge Fund 2,193,519,265 1,000,000 Master Fund

VENBIO SELECT ADVISOR LLC

ownership team - last updated 2017-09-28
Name Title Start Date Direct/Indirect % Ownership
VENBIO SELECT ADVISOR L.P. DIRECT OWNER 09/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER OF THE APPLICANT direct 2006-09-01
CROSS OCEAN PARTNERS MANAGEMENT LP LIMITED PARTNER direct 2016-08-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
ICP ASSET MANAGEMENT LLC PRINCIPAL OWNER direct 2015-03-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED SOLE SHAREHOLDER direct 2014-10-01
ALTSDIRECT ADVISER LLC SHAREHOLDER indirect 2013-01-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER OF APPLICANT, MANAGING MEMBER direct 2006-09-01
ALTSDIRECT INVESTMENTS, LLC SHAREHOLDER indirect 2013-01-01
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED SOLESHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT UK LIMITED SOLE SHAREHOLDER direct 2006-09-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED SHAREHOLDER direct 2012-12-01
BLACKROCK ASSET MANAGEMENT UK LIMITED SOLE SHAREHOLDER indirect 2006-09-01
RITCHIE CAPITAL MANAGEMENT, L.L.C. INDIRECT OWNER indirect 2010-09-01
MANCHESTER CAPITAL MANAGEMENT LLC MEMBER direct 2006-12-01
RITCHIE CAPITAL MANAGEMENT, L.L.C. DIRECT OWNER direct 2010-09-01
QL ANALYTICS MANAGING MEMBER direct 2010-01-01
MONARCH FINANCIAL CORPORATION OF AMERICA SHAREHOLDER indirect 2009-08-01
EPIC CAPITAL LLC DIRECT OWNER direct 2008-03-01
WANGER OMNIWEALTH, LLC MEMBER direct 2009-07-01
CROSS OCEAN PARTNERS MANAGEMENT LP GENERAL PARTNER direct 2016-08-01
PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC MEMBER direct 1998-07-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. INTERMEDIARY indirect 2000-01-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2000-04-01
AC ONE ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-10-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. INTERMEDIARY indirect 2001-01-01
VENBIO SELECT ADVISOR LLC DIRECT OWNER direct 2017-09-01
WCM, INC. OWNER direct 2005-01-01
REAL ESTATE FIDUCIARY SERVICES LLC MEMBER direct 2005-08-01
LNK PARTNERS, LLC MEMBER direct 2005-12-01
VENBIO SELECT ADVISOR LLC GENERAL PARTNER indirect 2017-09-01
AREX CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2017-08-01
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED SOLESHAREHOLDER direct 2006-09-01
STRATEGIC ADVISERS INC. SHAREHOLDER direct 1977-06-01 2001-03-16
FIDELITY PERSONAL TRUST CO FSB SHAREHOLDER direct 2000-04-01 2001-03-30
PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC MEMBER direct 1997-04-01 2004-05-26
WCM, INC. DE direct 2005-01-01 2004-11-29
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01 2006-10-30
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE MEMBER indirect 2006-09-01 2008-06-06
BLACKROCK INVESTMENT MANAGEMENT LLC SOLE SHAREHOLER direct 2006-09-01 2008-07-16
BLACKROCK ASSET MANAGEMENT UK LIMITED MAJORITY SHAREHOLDER indirect 2006-09-01 2008-10-03
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED MAJORITY SHAREHOLDER indirect 2006-09-01 2008-10-03
AUDA HEDGE, LLC HOLDING COMPANY indirect 2007-12-01 2008-10-31
REDWOOD INVESTMENTS, LLC OWNER direct 2008-01-01 2010-03-24
THE O'DELL GROUP, LLC MANAGING MEMBER direct 2009-12-01 2010-08-04
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER OF APPLICANT direct 2006-09-01 2011-06-10
LINDBROOK CAPITAL, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-02-01 2011-07-28
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01 2011-11-18
MERIT FINANCIAL INC OWNER direct 2012-01-01 2012-01-31
PERIMETER CAPITAL PARTNERS LLC OWNER direct 2006-06-01 2013-03-28
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2006-09-01 2013-08-16
OVERLAND ADVISORS, LLC LIMITED PARTNER OF ADH INVESTMENT MANAGEMENT LP direct 2013-03-01 2013-08-27
BIRCHVIEW CAPITAL, LLC. GENERAL PARTNER direct 2014-02-01 2014-04-29
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01 2014-10-23
MANCHESTER CAPITAL MANAGEMENT LLC OWNER direct 2006-12-01 2015-03-16
LINDBROOK CAPITAL, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-05-01 2015-03-27
PATHSTONE FAMILY OFFICE, LLC MANAGING MEMBER indirect 2010-02-01 2015-07-14
GQ ASSET MANAGEMENT, LLC OWNER direct 2015-05-01 2015-11-11
LION STREET ADVISORS, LLC HOLDING COMPANY direct 2013-05-01 2016-05-25
GQ ASSET MANAGEMENT, LLC OWNER direct 2013-05-01 2017-03-28
GQ ASSET MANAGEMENT, LLC OWNER indirect 2015-05-01 2017-03-28
EPSTEIN, SCOTT, ANDREW CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2014-06-01
AGHAZADEH, BEHZAD MANAGING DIRECTOR 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
VENBIO SELECT ADVISOR MANAGEMENT HOLDINGS GP, LLC GENERAL PARTNER VENBIO SELECT ADVISOR L.P. 09/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER OF THE APPLICANT direct 2006-09-01
CROSS OCEAN PARTNERS MANAGEMENT LP LIMITED PARTNER direct 2016-08-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
ICP ASSET MANAGEMENT LLC PRINCIPAL OWNER direct 2015-03-01
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED SOLE SHAREHOLDER direct 2014-10-01
ALTSDIRECT ADVISER LLC SHAREHOLDER indirect 2013-01-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER OF APPLICANT, MANAGING MEMBER direct 2006-09-01
ALTSDIRECT INVESTMENTS, LLC SHAREHOLDER indirect 2013-01-01
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED SOLESHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT UK LIMITED SOLE SHAREHOLDER direct 2006-09-01
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED SHAREHOLDER direct 2012-12-01
BLACKROCK ASSET MANAGEMENT UK LIMITED SOLE SHAREHOLDER indirect 2006-09-01
RITCHIE CAPITAL MANAGEMENT, L.L.C. INDIRECT OWNER indirect 2010-09-01
MANCHESTER CAPITAL MANAGEMENT LLC MEMBER direct 2006-12-01
RITCHIE CAPITAL MANAGEMENT, L.L.C. DIRECT OWNER direct 2010-09-01
QL ANALYTICS MANAGING MEMBER direct 2010-01-01
MONARCH FINANCIAL CORPORATION OF AMERICA SHAREHOLDER indirect 2009-08-01
EPIC CAPITAL LLC DIRECT OWNER direct 2008-03-01
WANGER OMNIWEALTH, LLC MEMBER direct 2009-07-01
CROSS OCEAN PARTNERS MANAGEMENT LP GENERAL PARTNER direct 2016-08-01
PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC MEMBER direct 1998-07-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-01-01
FINACCESS INTERNATIONAL, INC. INTERMEDIARY indirect 2000-01-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2000-04-01
AC ONE ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-07-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2000-10-01
FINACCESS INTERNATIONAL, INC. SHAREHOLDER direct 2001-01-01
FINACCESS INTERNATIONAL, INC. INTERMEDIARY indirect 2001-01-01
VENBIO SELECT ADVISOR LLC DIRECT OWNER direct 2017-09-01
WCM, INC. OWNER direct 2005-01-01
REAL ESTATE FIDUCIARY SERVICES LLC MEMBER direct 2005-08-01
LNK PARTNERS, LLC MEMBER direct 2005-12-01
VENBIO SELECT ADVISOR LLC GENERAL PARTNER indirect 2017-09-01
AREX CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2017-08-01
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED SOLESHAREHOLDER direct 2006-09-01
STRATEGIC ADVISERS INC. SHAREHOLDER direct 1977-06-01 2001-03-16
FIDELITY PERSONAL TRUST CO FSB SHAREHOLDER direct 2000-04-01 2001-03-30
PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC MEMBER direct 1997-04-01 2004-05-26
WCM, INC. DE direct 2005-01-01 2004-11-29
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01 2006-10-30
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE MEMBER indirect 2006-09-01 2008-06-06
BLACKROCK INVESTMENT MANAGEMENT LLC SOLE SHAREHOLER direct 2006-09-01 2008-07-16
BLACKROCK ASSET MANAGEMENT UK LIMITED MAJORITY SHAREHOLDER indirect 2006-09-01 2008-10-03
BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED MAJORITY SHAREHOLDER indirect 2006-09-01 2008-10-03
AUDA HEDGE, LLC HOLDING COMPANY indirect 2007-12-01 2008-10-31
REDWOOD INVESTMENTS, LLC OWNER direct 2008-01-01 2010-03-24
THE O'DELL GROUP, LLC MANAGING MEMBER direct 2009-12-01 2010-08-04
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER OF APPLICANT direct 2006-09-01 2011-06-10
LINDBROOK CAPITAL, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-02-01 2011-07-28
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01 2011-11-18
MERIT FINANCIAL INC OWNER direct 2012-01-01 2012-01-31
PERIMETER CAPITAL PARTNERS LLC OWNER direct 2006-06-01 2013-03-28
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2006-09-01 2013-08-16
OVERLAND ADVISORS, LLC LIMITED PARTNER OF ADH INVESTMENT MANAGEMENT LP direct 2013-03-01 2013-08-27
BIRCHVIEW CAPITAL, LLC. GENERAL PARTNER direct 2014-02-01 2014-04-29
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01 2014-10-23
MANCHESTER CAPITAL MANAGEMENT LLC OWNER direct 2006-12-01 2015-03-16
LINDBROOK CAPITAL, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-05-01 2015-03-27
PATHSTONE FAMILY OFFICE, LLC MANAGING MEMBER indirect 2010-02-01 2015-07-14
GQ ASSET MANAGEMENT, LLC OWNER direct 2015-05-01 2015-11-11
LION STREET ADVISORS, LLC HOLDING COMPANY direct 2013-05-01 2016-05-25
GQ ASSET MANAGEMENT, LLC OWNER direct 2013-05-01 2017-03-28
GQ ASSET MANAGEMENT, LLC OWNER indirect 2015-05-01 2017-03-28
AGHAZADEH, BEHZAD MEMBER VENBIO SELECT ADVISOR MANAGEMENT HOLDINGS GP, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01
AGHAZADEH, BEHZAD LIMITED PARTNER VENBIO SELECT ADVISOR L.P. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VENBIO SELECT ADVISOR LLC PORTFOLIO MANAGER direct 2011-07-01
VENBIO SELECT ADVISOR LLC MANAGING DIRECTOR direct 2017-09-01
VENBIO SELECT ADVISOR LLC MEMBER indirect 2017-09-01
VENBIO SELECT ADVISOR LLC LIMITED PARTNER indirect 2017-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VENBIO SELECT FUND LLC United States 805-5609721763 Hedge Fund 1,344,876,185 1,000,000 Master Fund

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