GLUSKIN SHEFF & ASSOC INC

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Gluskin Sheff & Assoc is based out of Toronto. Gluskin Sheff & Assoc is a large advisory firm with 522 clients and discretionary assets under management (AUM) of $6,423,044,000 (Form ADV from 2019-09-30). Their last reported 13F filing for Q3 2019 included $1,599,287,000 in managed 13F securities and a top 10 holdings concentration of 35.35%. Gluskin Sheff & Assoc's largest holding is Royal Bank of Canada (NYSE) with shares held of 953,041. Gluskin Sheff & Assoc has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 45 13F filings, and 3 13G filings

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68

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.599 Billion
  • Prior Market Value $1.67 Billion
  • New Purchases45 stocks
  • Additional Purchases27 stocks
  • Sold out of45 stocks
  • Reduced holdings in38 stocks
  • Top 10 Holdings % 35.35 %
  • Turnover % [1]:73.17%
  • Turnover Alt % [2]: 35.07 %
  • Time Held Top20:3.20 quarters
  • Time Held Top10:3.20 quarters
  • Time Held All:5.40 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -2.13%
Performance Last 4 Quarters: 0.34%
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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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

GLUSKIN SHEFF + ASSOCIATES INC
Classified as Hedge Fund
333 BAY STREET SUITE 5100, BAY ADELAIDE CENTRE
TORONTO ON    M5H 2R2
Country: Canada

Business Phone: 416-681-6000
Fax: 416-681-6060
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Principal Office Outside the US
Form of Organization: Corporation
Organized in:
Number of employees: 139
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Subscription fees,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 522
Amount of client funds and securities by related persons: 101,883,000
Total Number of clients from related persons: 5
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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GLUSKIN SHEFF + ASSOCIATES INC

ownership team - last updated 2019-09-30
Name Title Start Date Direct/Indirect % Ownership
MOODY, JEFFREY, WILBURN PRESIDENT & EXECUTIVE CHIEF OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC VP - RISK MANAGEMENT direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC EVP - INVESTMENTS & CLIENT SERVICE direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP - INVESTMENTS & CLIENT SERVICE direct 2014-02-01
MORRIS, DAVID, ROY CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCEPTRE INVESTMENT COUNSEL LIMITED VICE-PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
GLUSKIN SHEFF + ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 2010-09-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. TREASURER AND VICE PRESIDENT direct 2016-07-01
AUBIN, AMY, JEAN CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2012-03-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
BANTIS, JIM, DEMETRIS EXECUTIVE VICE-PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP, RISK MANAGEMENT & CLIENT SERVICE direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT direct 2015-02-01
ZALTZ, PETER, AARON CHIEF INVESTMENT OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF FIXED INCOME direct 2014-08-01
Woodward, John, Anthony MANAGING DIRECTOR, RISK MANAGEMENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC MANAGING DIRECTOR, RISK MANAGEMENT direct 2015-09-01
MERSKY, SETH DIRECTOR 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ONEX CREDIT PARTNERS, LLC DIRECTOR direct 2012-05-01
MUNK, ANTHONY DIRECTOR 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC DIRECTOR direct 2019-06-01
ONEX CORPORATION SHAREHOLDER 06/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
USI SECURITIES, INC. MEMBER indirect 2002-12-01
USI SECURITIES, INC. MEMBER indirect 2002-12-01
USI SECURITIES, INC. SHAREHOLDER indirect 2002-12-01
USI SECURITIES, INC. SHAREHOLDER indirect 2003-06-01
USI ADVISORS, INC. SHAREHOLDER indirect 2002-12-01
USI ADVISORS, INC. MEMBER indirect 2002-12-01
USI ADVISORS, INC. MEMBER indirect 2002-12-01
USI ADVISORS, INC. SHAREHOLDER indirect 2003-06-01
KIBBLE & PRENTICE HOLDING COMPANY MEMBER indirect 2002-12-01
KIBBLE & PRENTICE HOLDING COMPANY MEMBER indirect 2002-12-01
KIBBLE & PRENTICE HOLDING COMPANY SHAREHOLDER indirect 2003-06-01
VAN GILDER RETIREMENT SOLUTIONS, LLC MEMBER indirect 2002-12-01
VAN GILDER RETIREMENT SOLUTIONS, LLC SHAREHOLDER indirect 2003-06-01
ONEX CREDIT PARTNERS, LLC SHAREHOLDER indirect 1989-06-01
GK CAPITAL, LLC INDIRECT OWNER direct 2007-11-01
ONEX CREDIT PARTNERS, LLC SHAREHOLDER indirect 2007-11-01
SCHWARTZ, GERALD, WILFRED SHAREHOLDER ONEX CORPORATION 06/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
USI SECURITIES, INC. SHAREHOLDER indirect 1984-01-01
USI ADVISORS, INC. SHAREHOLDER indirect 1984-01-01
KIBBLE & PRENTICE HOLDING COMPANY SHAREHOLDER indirect 1984-01-01
VAN GILDER RETIREMENT SOLUTIONS, LLC SHAREHOLDER indirect 1984-01-01
ONEX CREDIT PARTNERS, LLC SHAREHOLDER indirect 2009-03-01
ONEX CREDIT PARTNERS, LLC SHAREHOLDER indirect 2012-11-01
ONEX CREDIT PARTNERS, LLC SHAREHOLDER indirect 2013-03-01
ONEX PARTNERS MANAGER LP CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER (ONEX CORPORATION) direct 1992-05-01
ONEX PARTNERS MANAGER LP SHAREHOLDER indirect 2003-12-01
ONEX PARTNERS MANAGER LP SHAREHOLDER indirect 2009-03-01
ONEX PARTNERS MANAGER LP SHAREHOLDER indirect 2012-11-01
ONEX PARTNERS MANAGER LP SHAREHOLDER indirect 2013-03-01
ONCAP MANAGEMENT PARTNERS L.P. SHAREHOLDER indirect 2013-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GS+A ENHANCED BOND FUND (DELAWARE) LP United States 805-8259831120 Hedge Fund 5,515,000 25,000
GS+A ENHANCED BOND FUND Canada 805-1945759819 Hedge Fund 351,616,000 19,000
GS+A NORTH AMERICAN ALL-CAP FUND (FORMERLY GS+A CANADIAN EQUITY TRUST) Canada 805-3933077038 Other Private Fund EQUITY LONG ONLY FUND 34,300,000 19,000
GS+A INTERNATIONAL FUND (DELAWARE) LP United States 805-6535016933 Hedge Fund 11,849,000 25,000
GS+A PREMIUM INCOME FUND (DELAWARE) LP United States 805-2595940625 Hedge Fund 16,626,000 25,000
GS+A U.S. EQUITY FUND II (FORMERLY GS+A U.S. EQUITY FUND) Canada 805-1406063935 Hedge Fund 25,322,000 19,000
GS+A RESOURCE FUND Canada 805-5510025281 Hedge Fund 13,058,000 19,000
GS+A CREDIT ARBITRAGE FUND Canada 805-7698647641 Hedge Fund 26,163,000 19,000
GS+A DIVIDEND DISTRIBUTION FUND Canada 805-9020700758 Other Private Fund EQUITY LONG ONLY FUND 121,871,000 19,000
GS+A PREMIUM INCOME TRUST Canada 805-7298679034 Hedge Fund 309,670,000 19,000
GS+A TACTICAL FIXED INCOME MASTER FUND (CAYMAN) LP Cayman Islands 805-4495962676 Hedge Fund 1,450,049,000 25,000 Master Fund Fund of Funds
GS+A U.S. EQUITY FUND (FORMERLY GS+A U.S. PREMIUM INCOME FUND) Canada 805-2745738795 Hedge Fund 536,213,000 19,000
GS+A ENHANCED YIELD FUND Canada 805-9915179843 Hedge Fund 147,191,000 19,000
GS+A GLOBAL SPECIAL SITUATIONS FUND Canada 805-7529098172 Hedge Fund 345,709,000 19,000
GS+A INTERNATIONAL FUND Canada 805-1860267919 Hedge Fund 417,708,000 19,000
GS+A US EQUITY FUND (DELAWARE) LP United States 805-1551411628 Hedge Fund 9,257,000 25,000

GLUSKIN SHEFF + ASSOCIATES INC

ownership team - last updated 2019-06-25
Name Title Start Date Direct/Indirect % Ownership
MOODY, JEFFREY, WILBURN PRESIDENT & EXECUTIVE CHIEF OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC VP - RISK MANAGEMENT direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC EVP - INVESTMENTS & CLIENT SERVICE direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP - INVESTMENTS & CLIENT SERVICE direct 2014-02-01
MORRIS, DAVID, ROY CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCEPTRE INVESTMENT COUNSEL LIMITED VICE-PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
GLUSKIN SHEFF + ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 2010-09-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. TREASURER AND VICE PRESIDENT direct 2016-07-01
AUBIN, AMY, JEAN CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2012-03-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
BANTIS, JIM, DEMETRIS EXECUTIVE VICE-PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP, RISK MANAGEMENT & CLIENT SERVICE direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT direct 2015-02-01
ZALTZ, PETER, AARON EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF FIXED INCOME direct 2014-08-01
MANN, PETER, MCDANIEL EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF EQUITIES direct 2015-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES direct 2015-02-01
Quinn, Lindsay CHIEF OPERATIONS OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2016-07-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. ASSISTANT SECRETARY direct 2016-07-01
Woodward, John, Anthony MANAGING DIRECTOR, RISK MANAGEMENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC MANAGING DIRECTOR, RISK MANAGEMENT direct 2015-09-01
Rosenberg, David, Aaron CHIEF ECONOMIST & STRATEGIST 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF ECONOMIST & STRATEGIST direct 2009-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GS+A ENHANCED BOND FUND (DELAWARE) LP United States 805-8259831120 Hedge Fund 7,070,000 25,000
GS+A ENHANCED BOND FUND Canada 805-1945759819 Hedge Fund 252,453,000 19,000
GS+A NORTH AMERICAN ALL-CAP FUND (FORMERLY GS+A CANADIAN EQUITY TRUST) Canada 805-3933077038 Other Private Fund EQUITY LONG ONLY FUND 58,672,000 19,000
GS+A U.S. EQUITY FUND (FORMERLY GS+A U.S. PREMIUM INCOME FUND) Canada 805-2745738795 Hedge Fund 706,958,000 19,000
GS+A ENHANCED YIELD FUND Canada 805-9915179843 Hedge Fund 198,907,000 19,000
GS+A GLOBAL SPECIAL SITUATIONS FUND Canada 805-7529098172 Hedge Fund 315,532,000 19,000
GS+A INTERNATIONAL FUND Canada 805-1860267919 Hedge Fund 632,084,000 19,000
GS+A US EQUITY FUND (DELAWARE) LP United States 805-1551411628 Hedge Fund 13,834,000 25,000
GS+A PREMIUM INCOME FUND (DELAWARE) LP United States 805-2595940625 Hedge Fund 27,156,000 25,000
GS+A U.S. EQUITY FUND II (FORMERLY GS+A U.S. EQUITY FUND) Canada 805-1406063935 Hedge Fund 31,448,000 19,000
GS+A RESOURCE FUND Canada 805-5510025281 Hedge Fund 87,927,000 19,000
GS+A CREDIT ARBITRAGE FUND Canada 805-7698647641 Hedge Fund 41,955,000 19,000
GS+A DIVIDEND DISTRIBUTION FUND Canada 805-9020700758 Other Private Fund EQUITY LONG ONLY FUND 89,809,000 19,000
GS+A INTERNATIONAL FUND (DELAWARE) LP United States 805-6535016933 Hedge Fund 25,484,000 25,000
GS+A PREMIUM INCOME TRUST Canada 805-7298679034 Hedge Fund 370,790,000 19,000
GS+A TACTICAL FIXED INCOME MASTER FUND (CAYMAN) LP Cayman Islands 805-4495962676 Hedge Fund 1,369,779,000 25,000 Master Fund Fund of Funds

GLUSKIN SHEFF + ASSOCIATES INC

ownership team - last updated 2018-10-01
Name Title Start Date Direct/Indirect % Ownership
MOODY, JEFFREY, WILBURN PRESIDENT & EXECUTIVE CHIEF OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC VP - RISK MANAGEMENT direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC EVP - INVESTMENTS & CLIENT SERVICE direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP - INVESTMENTS & CLIENT SERVICE direct 2014-02-01
MORRIS, DAVID, ROY CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCEPTRE INVESTMENT COUNSEL LIMITED VICE-PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
GLUSKIN SHEFF + ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 2010-09-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. TREASURER AND VICE PRESIDENT direct 2016-07-01
AUBIN, AMY, JEAN CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2012-03-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
BANTIS, JIM, DEMETRIS EXECUTIVE VICE-PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP, RISK MANAGEMENT & CLIENT SERVICE direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT direct 2015-02-01
ZALTZ, PETER, AARON EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF FIXED INCOME direct 2014-08-01
MANN, PETER, MCDANIEL EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF EQUITIES direct 2015-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES direct 2015-02-01
Quinn, Lindsay CHIEF OPERATIONS OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2016-07-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. ASSISTANT SECRETARY direct 2016-07-01
Woodward, John, Anthony MANAGING DIRECTOR, RISK MANAGEMENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC MANAGING DIRECTOR, RISK MANAGEMENT direct 2015-09-01
Rosenberg, David, Aaron CHIEF ECONOMIST & STRATEGIST 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF ECONOMIST & STRATEGIST direct 2009-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GS+A ENHANCED BOND FUND Canada 805-1945759819 Hedge Fund 252,453,000 19,000
GS+A CANADIAN EQUITY TRUST Canada 805-3933077038 Other Private Fund EQUITY LONG ONLY FUND 58,672,000 19,000
GS+A U.S. EQUITY FUND (FORMERLY GS+A U.S. PREMIUM INCOME FUND) Canada 805-2745738795 Hedge Fund 706,958,000 19,000
GS+A ENHANCED YIELD FUND Canada 805-9915179843 Hedge Fund 198,907,000 19,000
GS+A GLOBAL SPECIAL SITUATIONS FUND Canada 805-7529098172 Hedge Fund 315,532,000 19,000
GS+A INTERNATIONAL FUND Canada 805-1860267919 Hedge Fund 632,084,000 19,000
GS+A US EQUITY FUND (DELAWARE) LP United States 805-1551411628 Hedge Fund 13,834,000 25,000
GS+A PREMIUM INCOME FUND (DELAWARE) LP United States 805-2595940625 Hedge Fund 27,156,000 25,000
GS+A INTERNATIONAL FUND (DELAWARE) LP United States 805-6535016933 Hedge Fund 25,484,000 25,000
GS+A PREMIUM INCOME TRUST Canada 805-7298679034 Hedge Fund 370,790,000 19,000
GS+A TACTICAL FIXED INCOME MASTER FUND (CAYMAN) LP Cayman Islands 805-4495962676 Hedge Fund 1,369,779,000 25,000 Master Fund Fund of Funds
GS+A RESOURCE FUND Canada 805-5510025281 Hedge Fund 87,927,000 19,000
GS+A CREDIT ARBITRAGE FUND Canada 805-7698647641 Hedge Fund 41,955,000 19,000
GS+A U.S. EQUITY FUND II (FORMERLY GS+A U.S. EQUITY FUND) Canada 805-1406063935 Hedge Fund 31,448,000 19,000
GS+A ENHANCED BOND FUND (DELAWARE) LP United States 805-8259831120 Hedge Fund 7,070,000 25,000

GLUSKIN SHEFF + ASSOCIATES INC

ownership team - last updated 2018-05-30
Name Title Start Date Direct/Indirect % Ownership
MOODY, JEFFREY, WILBURN PRESIDENT & EXECUTIVE CHIEF OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC VP - RISK MANAGEMENT direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC EVP - INVESTMENTS & CLIENT SERVICE direct 2006-05-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC SENIOR EXECUTIVE VP - INVESTMENTS & CLIENT SERVICE direct 2014-02-01
MORRIS, DAVID, ROY CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCEPTRE INVESTMENT COUNSEL LIMITED VICE-PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
SCEPTRE INVESTMENT COUNSEL LIMITED MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2006-08-01
GLUSKIN SHEFF + ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 2010-09-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. TREASURER AND VICE PRESIDENT direct 2016-07-01
AUBIN, AMY, JEAN CHIEF COMPLIANCE OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2012-03-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
BANTIS, JIM, DEMETRIS EXECUTIVE VICE-PRESIDENT 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP, RISK MANAGEMENT & CLIENT SERVICE direct 2014-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT direct 2015-02-01
ZALTZ, PETER, AARON EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VP & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-CHIEF INVESTMENT OFFICER & HEAD OF FIXED INCOME direct 2014-08-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF FIXED INCOME direct 2014-08-01
MANN, PETER, MCDANIEL EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT & HEAD OF EQUITIES direct 2015-02-01
GLUSKIN SHEFF + ASSOCIATES INC EXECUTIVE VICE-PRESIDENT, CO-INVESTMENT OFFICER & HEAD OF EQUITIES direct 2015-02-01
Quinn, Lindsay CHIEF OPERATIONS OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF OPERATIONS OFFICER direct 2016-07-01
GLUSKIN SHEFF + ASSOCIATES (US) INC. ASSISTANT SECRETARY direct 2016-07-01
Woodward, John, Anthony MANAGING DIRECTOR, RISK MANAGEMENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC MANAGING DIRECTOR, RISK MANAGEMENT direct 2015-09-01
Rosenberg, David, Aaron CHIEF ECONOMIST & STRATEGIST 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
GLUSKIN SHEFF + ASSOCIATES INC CHIEF ECONOMIST & STRATEGIST direct 2009-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GS+A U.S. EQUITY FUND (FORMERLY GS+A U.S. PREMIUM INCOME FUND) Canada 805-2745738795 Hedge Fund 770,887,000 19,330
GS+A ENHANCED BOND FUND Canada 805-1945759819 Hedge Fund 215,715,000 19,300
GS+A CANADIAN EQUITY TRUST Canada 805-3933077038 Other Private Fund EQUITY LONG ONLY FUND 19,431,000 19,300
GS+A ENHANCED YIELD FUND Canada 805-9915179843 Hedge Fund 337,168,000 19,300
GS+A GLOBAL SPECIAL SITUATIONS FUND Canada 805-7529098172 Hedge Fund 90,555,000 19,300
GS+A INTERNATIONAL FUND Canada 805-1860267919 Hedge Fund 611,876,000 19,330
GS+A US EQUITY FUND (DELAWARE) LP United States 805-1551411628 Hedge Fund 13,255,000 25,000
GS+A PREMIUM INCOME FUND (DELAWARE) LP United States 805-2595940625 Hedge Fund 28,161,000 25,000
GS+A ENHANCED BOND FUND (DELAWARE) LP United States 805-8259831120 Hedge Fund 8,254,000 25,000
GS+A INTERNATIONAL FUND (DELAWARE) LP United States 805-6535016933 Hedge Fund 29,448,000 25,000
GS+A PREMIUM INCOME TRUST Canada 805-7298679034 Hedge Fund 420,109,000 19,300
GS+A TACTICAL FIXED INCOME MASTER FUND (CAYMAN) LP Cayman Islands 805-4495962676 Hedge Fund 1,763,333,000 25,000 Master Fund
GS+A RESOURCE FUND Canada 805-5510025281 Hedge Fund 4,096,000 19,300
GS+A CREDIT ARBITRAGE FUND Canada 805-7698647641 Hedge Fund 57,439,000 19,300
GS+A U.S. EQUITY FUND II (FORMERLY GS+A U.S. EQUITY FUND) Canada 805-1406063935 Hedge Fund 54,222,000 19,330

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