OZONE, JASON, ANTHONY
CHIEF COMPLIANCE OFFICER
09/01/2018
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
LAGODA INVESTMENT MANAGEMENT, L.P.
CHIEF COMPLIANCE OFFICER
direct
2018-09-01
LAGODA INVESTMENT MANAGEMENT, LLC
GENERAL PARTNER
02/01/2014
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
LAGODA INVESTMENT MANAGEMENT, L.P.
GENERAL PARTNER
direct
2014-02-01
DICKEY, FATIMA, KATARZYNA
LIMITED PARTNER, SENIOR MANAGING PRINCIPAL
05/01/2014
Direct
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
LAGODA INVESTMENT MANAGEMENT, L.P.
LIMITED PARTNER, SENIOR MANAGING PRINCIPAL
direct
2014-05-01
LAGODA INVESTMENT MANAGEMENT, L.P.
MEMBER
indirect
2014-05-01
HORIZON COMMON INC.
LIMITED PARTNER
04/01/2014
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ADVISERS, LLC
OWNER
indirect
2011-04-01
EMERGING GLOBAL ADVISORS, LLC
MEMBER (VOTING AND NON-VOTING LLC UNITS)
direct
2011-04-01
LAGODA INVESTMENT MANAGEMENT, L.P.
LIMITED PARTNER
direct
2014-04-01
HORIZON KINETICS LLC
LIMITED PARTNER
04/01/2014
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
OWNER
direct
2011-04-01
KINETICS ASSET MANAGEMENT LLC
OWNER
direct
2011-04-01
KINETICS ADVISERS, LLC
OWNER
direct
2011-04-01
LAGODA INVESTMENT MANAGEMENT, L.P.
MEMBER
indirect
2014-04-01
DICKEY, FATIMA, KATARZYNA
MEMBER LAGODA INVESTMENT MANAGEMENT, LLC
05/01/2014
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
LAGODA INVESTMENT MANAGEMENT, L.P.
LIMITED PARTNER, SENIOR MANAGING PRINCIPAL
direct
2014-05-01
LAGODA INVESTMENT MANAGEMENT, L.P.
MEMBER
indirect
2014-05-01
BREGMAN, STEVEN
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
PRESIDENT AND ELECTED MANAGER
direct
1994-10-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
PRESIDENT AND ELECTED MANAGER
direct
2011-04-01
KINETICS ASSET MANAGEMENT LLC
PRESIDENT AND ELECTED MANAGER
direct
2011-04-01
LIBERTY STREET ADVISORS, INC.
OWNER
direct
2006-11-01
2008-07-24
HORIZON ASSET MANAGEMENT INC
DIRECTOR/PRESIDENT
direct
1994-10-01
2011-05-25
HORIZON ASSET MANAGEMENT LLC
PRESIDENT
direct
1994-10-01
2016-10-19
KINETICS ASSET MANAGEMENT LLC
PRESIDENT
direct
2011-04-01
2016-10-19
KINETICS ADVISERS, LLC
PRESIDENT
direct
2011-04-01
2016-10-19
DOYLE, PETER, BRENDAN
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
MANAGING DIRECTOR AND ELECTED MANAGER
direct
1994-10-01
KINETICS ASSET MANAGEMENT LLC
MANAGING DIRECTOR AND ELECTED MANAGER
direct
1998-04-01
KINETICS ADVISERS, LLC
MANAGING DIRECTOR AND ELECTED MANAGER
direct
2000-05-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT INC.
DIRECTOR & CHIEF INVESTMENT STRATEGIST
direct
1998-04-01
2002-03-20
HORIZON ASSET MANAGEMENT INC
DIRECTOR, VP, SECRETARY
direct
1994-10-01
2005-11-29
HORIZON ASSET MANAGEMENT INC
DIRECTOR, VP
direct
1994-10-01
2010-04-29
KINETICS ASSET MANAGEMENT INC.
PRESIDENT, CEO, DIR. & CHIEF INVESTMENT STRATEGIST
direct
1998-04-01
2011-05-03
KINETICS ADVISERS, LLC
PRESIDENT, CEO, DIR.& CHIEF INVESTMENT STRATEGIST
direct
2000-05-01
2011-05-03
HORIZON ASSET MANAGEMENT LLC
DIRECTOR
direct
1994-10-01
2011-05-25
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
direct
1998-04-01
2011-06-14
TOROSO INVESTMENTS, LLC
OWNER
direct
2012-04-01
2012-06-25
TOROSO INVESTMENTS, LLC
NON-MANAGING MEMBER
direct
2012-04-01
2015-10-16
DOYLE, LAWRENCE, PATRICK
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
direct
2000-02-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
direct
2000-05-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
direct
2011-04-01
KINETICS ASSET MANAGEMENT INC.
SHAREHOLDER
direct
2000-02-01
2008-01-29
KINETICS ADVISERS, LLC
SHAREHOLDER
direct
2000-05-01
2008-01-29
KINETICS ASSET MANAGEMENT INC.
CHAIRMAN
direct
2000-02-01
2011-05-03
KINETICS ADVISERS, LLC
CHAIRMAN
direct
2000-05-01
2011-05-03
EWING, THOMAS, CRIMMINS
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
direct
1996-02-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
direct
2011-04-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
direct
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT INC
DIRECTOR
direct
1996-02-01
2011-05-25
STAHL, MURRAY
CHAIRMAN OF THE BOARD OF MANAGES AND ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER
direct
1994-10-01
KINETICS ASSET MANAGEMENT LLC
CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF INVESTMENT OFFICER
direct
2011-04-01
KINETICS ASSET MANAGEMENT LLC
CHAIRMAN OF THE BOARD OF MANAGERS AND ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
CHAIRMAN OF THE BOARD OF MANAGERS AND ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
CHAIRMAN OF THE BOARD OF MANAGERS AND ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF INVESTMENT OFFICER
direct
2011-04-01
LIBERTY STREET ADVISORS, INC.
OWNER
direct
2006-11-01
2008-07-24
HORIZON ASSET MANAGEMENT INC
CHAIRMAN, TREASURER
direct
1994-10-01
2011-05-25
HORIZON ASSET MANAGEMENT LLC
CHAIRMAN AND CHIEF INVESTMENT OFFICER
direct
1994-10-01
2015-04-20
KINETICS ADVISERS, LLC
CHAIRMAN AND CHIEF INVESTMENT OFFICER
direct
2011-04-01
2015-04-20
KINETICS ASSET MANAGEMENT LLC
CHAIRMAN AND CHIEF INVESTMENT OFFICER
direct
2011-04-01
2015-04-20
POLYAKOV, LEONID
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
KINETICS ASSET MANAGEMENT LLC
CHIEF FINANCIAL OFFICER AND ELECTED MANAGER
direct
1998-04-01
KINETICS ADVISERS, LLC
CHIEF FINANCIAL OFFICER AND ELECTED MANAGER
direct
2000-05-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
CHIEF FINANCIAL OFFICER AND ELECTED MANAGER
direct
2011-04-01
KINETICS ASSET MANAGEMENT INC.
DIRECTOR & CFO
direct
1998-04-01
2011-05-03
KINETICS ADVISERS, LLC
DIRECTOR & CFO
direct
2000-05-01
2011-05-03
KINETICS ASSET MANAGEMENT LLC
CHIEF EXECUTIVE OFFICER, PRESIDENT AND ELECTED MANAGER
direct
1998-04-01
2011-06-14
ROSS, HUGH, MICHAEL
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT INC
CHIEF OPERATING OFFICER
direct
2009-03-01
HORIZON ASSET MANAGEMENT LLC
CHIEF OPERATING OFFICER, MANAGING DIRECTOR, ELECTED MANAGER AND SECRETARY
direct
2009-03-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
CHIEF OPERATING OFFICER
direct
2011-04-01
KINETICS ASSET MANAGEMENT LLC
CHIEF OPERATING OFFICER, MANAGING DIRECTOR, ELECTED MANAGER AND SECRETARY
direct
2011-04-01
KINETICS ADVISERS, LLC
CHIEF OPERATING OFFICER
direct
2011-04-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
CHIEF OPERATING OFFICER, MANAGING DIRECTOR, ELECTED MANAGER AND SECRETARY
direct
2011-04-01
KESSLEN, JAY, HARRIS
ELECTED MANAGER HORIZON KINETICS LLC
04/01/2011
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
GENERAL COUNSEL, SECRETARY AND ELECTED MANAGER
direct
2011-04-01
HORIZON ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON ASSET MANAGEMENT LLC
GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND ELECTED MANAGER
direct
2011-04-01
HORIZON ASSET MANAGEMENT LLC
GENERAL COUNSEL, MANAGING DIRECTOR, ELECTED MANAGER AND ASSISTANT SECRETARY
direct
2011-04-01
KINETICS ASSET MANAGEMENT LLC
GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND ELECTED MANAGER
direct
2006-08-01
KINETICS ASSET MANAGEMENT LLC
GENERAL COUNSEL, SECRETARY AND ELECTED MANAGER
direct
2006-08-01
KINETICS ASSET MANAGEMENT LLC
GENERAL COUNSEL
direct
2006-08-01
KINETICS ASSET MANAGEMENT LLC
GENERAL COUNSEL, MANAGING DIRECTOR, ELECTED MANAGER AND ASSISTANT SECRETARY
direct
2006-08-01
KINETICS ASSET MANAGEMENT LLC
ELECTED MANAGER
indirect
2011-04-01
KINETICS ADVISERS, LLC
GENERAL COUNSEL
direct
2006-08-01
KINETICS ADVISERS, LLC
GENERAL COUNSEL, MANAGING DIRECTOR, ELECTED MANAGER AND SECRETARY
direct
2006-08-01
KINETICS ADVISERS, LLC
GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND ELECTED MANAGER
direct
2006-08-01
KINETICS ADVISERS, LLC
GENERAL COUNSEL, SECRETARY AND ELECTED MANAGER
direct
2006-08-01
KINETICS ADVISERS, LLC
ELECTED MANAGER
indirect
2011-04-01
HORIZON COMMON INC
OWNER HORIZON KINETICS LLC
04/01/2011
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ADVISERS, LLC
OWNER
indirect
2011-04-01
EMERGING GLOBAL ADVISORS, LLC
MEMBER (VOTING AND NON-VOTING LLC UNITS)
direct
2011-04-01
LAGODA INVESTMENT MANAGEMENT, L.P.
LIMITED PARTNER
direct
2014-04-01
KINETICS COMMON INC
OWNER HORIZON KINETICS LLC
04/01/2011
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
HORIZON ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ASSET MANAGEMENT LLC
OWNER
indirect
2011-04-01
KINETICS ADVISERS, LLC
OWNER
indirect
2011-04-01