FINEMORE, SHANE, DOUGLAS
MANAGING PARTNER, CHIEF INVESTMENT OFFICER
08/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
PARTNER, CHIEF INVESTMENT OFFICER
direct
2008-03-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER, CHIEF INVESTMENT OFFICER
direct
2008-03-01
MANIKAY PARTNERS, LLC
MANAGING PARTNER, CHIEF INVESTMENT OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
CHIEF INVESTMENT OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER
direct
2008-08-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER
indirect
2013-01-01
MANIKAY PARTNERS, LLC
LIMITED PARTNER
indirect
2013-01-01
MCDUFFY, SEAN
CHIEF OPERATING OFFICER
08/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
PARTNER, CHIEF OPERATIONS OFFICER
direct
2007-11-01
MANIKAY PARTNERS, LLC
MEMBER, CHIEF OPERATIONS OFFICER
direct
2007-11-01
MANIKAY PARTNERS, LLC
CHIEF OPERATING OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
MEMBER, CHIEF OPERATING OFFICER
direct
2008-08-01
MANIKAY PARTNERS LLC
OWNER OF MANIKAY PARTNERS AUSTRALIA PTY LTD (RELYING ADVISER)
01/01/2013
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS AUSTRALIA PTY LTD (RELYING ADVISER)
direct
2013-01-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS HOLDINGS UK LTD
direct
2014-08-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS UK II LTD
direct
2014-08-01
DRINKWATER, DAVID, NEIL
CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER
08/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
CLARION CAPITAL LLC
MANAGING DIRECTOR
direct
2003-05-01
MANIKAY PARTNERS, LLC
CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER
direct
2008-06-01
MANIKAY PARTNERS, LLC
CHIEF FINANCIAL OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER
direct
2008-08-01
MANIKAY PARTNERS HOLDINGS LP
SOLE OWNER
01/01/2013
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
SOLE MEMBER
direct
2013-01-01
MANIKAY PARTNERS, LLC
SOLE MEMBER
indirect
2013-01-01
MANIKAY PARTNERS, LLC
SOLE OWNER
direct
2013-01-01
MANIKAY PARTNERS, LLC
GENERAL PARTNER
indirect
2016-12-01
PARIDIS, STEVE, XENOPHON
PRESIDENT
02/01/2012
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
PARTNER, HEAD OF TRADING
direct
2008-06-01
MANIKAY PARTNERS, LLC
MEMBER, HEAD OF TRADING
direct
2008-06-01
MANIKAY PARTNERS, LLC
MEMBER
direct
2008-08-01
MANIKAY PARTNERS, LLC
PRESIDENT
direct
2012-02-01
MANIKAY PARTNERS LLC
OWNER OF MANIKAY PARTNERS HOLDINGS UK LTD
08/01/2014
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS AUSTRALIA PTY LTD (RELYING ADVISER)
direct
2013-01-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS HOLDINGS UK LTD
direct
2014-08-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS UK II LTD
direct
2014-08-01
MANIKAY PARTNERS LLC
OWNER OF MANIKAY PARTNERS UK II LTD
08/01/2014
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS AUSTRALIA PTY LTD (RELYING ADVISER)
direct
2013-01-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS HOLDINGS UK LTD
direct
2014-08-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS UK II LTD
direct
2014-08-01
FINEMORE, SHANE, DOUGLAS
LIMITED PARTNER MANIKAY PARTNERS HOLDINGS LP
01/01/2013
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
PARTNER, CHIEF INVESTMENT OFFICER
direct
2008-03-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER, CHIEF INVESTMENT OFFICER
direct
2008-03-01
MANIKAY PARTNERS, LLC
MANAGING PARTNER, CHIEF INVESTMENT OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
CHIEF INVESTMENT OFFICER
direct
2008-08-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER
direct
2008-08-01
MANIKAY PARTNERS, LLC
MANAGING MEMBER
indirect
2013-01-01
MANIKAY PARTNERS, LLC
LIMITED PARTNER
indirect
2013-01-01
MANIKAY HOLDINGS GP LLC
GENERAL PARTNER MANIKAY PARTNERS HOLDINGS LP
12/01/2016
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
SOLE MEMBER
direct
2013-01-01
MANIKAY PARTNERS, LLC
SOLE MEMBER
indirect
2013-01-01
MANIKAY PARTNERS, LLC
SOLE OWNER
direct
2013-01-01
MANIKAY PARTNERS, LLC
GENERAL PARTNER
indirect
2016-12-01
MANIKAY PARTNERS HOLDINGS UK LTD
OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER) MANIKAY PARTNERS LLC
08/01/2014
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
STONEBRIDGE CAPITAL MANAGEMENT II LLC
MANAGING MEMBER
direct
1999-11-01
INVESTMENT CONSULTING GROUP LLC
MEMBER
direct
2002-09-01
CT FIXED INCOME MANAGEMENT, LLC
MEMBER
direct
2003-03-01
CT PREFERRED INVESTORS MANAGEMENT, LLC
MEMBER
direct
2003-05-01
MOUNT YALE PORTFOLIO ADVISORS, LLC
MEMBER
direct
2003-06-01
LYRICAL-ANTHEUS MANAGEMENT, L.P.
GENERAL PARTNER
direct
2004-12-01
TMFS-BIRMINGHAM, LLC
OWNER
direct
2005-10-01
AQUILINE HOLDINGS LLC
GENERAL PARTNER
indirect
2006-06-01
MARANON CAPITAL, L.P.
LIMITED PARTNER OF MARANON MEZZANINE GP, L.P.
direct
2008-07-01
ASSET ALLOCATION STRATEGIES, LLC
39 % OWNER; TRUSTEES : JP MORGAN CHASE N.A. & R.M. BARRON (379-44-1643)
direct
2009-10-01
SAVANT INVESTMENT GROUP, LLC
OWNER
direct
2009-12-01
ESTANCIA CAPITAL MANAGEMENT, LLC
OWNER
indirect
2011-12-01
FTJ FUNDCHOICE, LLC
GENERAL PARTNER
indirect
2012-07-01
STONEBRIDGE CAPITAL MANAGEMENT II LLC
MEMBER
indirect
2012-12-01
CBRE GLOBAL INVESTMENT PARTNERS LIMITED
GENERAL PARTNER
indirect
2013-03-01
RESOURCES INVESTMENT ADVISORS INC
OWNER
direct
2013-10-01
MARANON CAPITAL, L.P.
LIMITED PARTNER OF MARANON MEZZANINE GP II, L.P.
direct
2013-12-01
FOURSTAR WEALTH ADVISORS, LLC
MEMBER
direct
2014-06-01
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER)
indirect
2014-08-01
PAXION PARTNERS LP
GENERAL PARTNER
direct
2015-05-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC.
TRUSTEE / CLASS B COMMON
indirect
2015-08-01
MASSEY QUICK WEALTH SOLUTIONS LLC
MEMBER
direct
2016-08-01
SABRETOOTH ADVISORS, LLC
MANAGING MEMBER
direct
2016-10-01
FIDUCIARY INVESTMENT ADVISORS, LLC
MEMBER
direct
2017-01-01
MELLON CAPITAL MANAGEMENT CORPORATION
SHAREHOLDER
indirect
2017-04-01
ARKADIOS WEALTH ADVISORS
OWNER
direct
2017-06-01
JOHN K DWIGHT ASSET MANAGEMENT COMPANY, INC.
100% SHAREHOLDER OF DWIGHT ASSET MANAGEMENT COMPANY
direct
2001-04-01
2001-05-18
WEXFORD CLEARING SERVICES, LLC
62% STOCKHOLDER
indirect
2003-07-01
2003-09-25
PLACEMARK INVESTMENTS, INC.
SHAREHOLDER (PREFERRED B)
indirect
2005-04-01
2005-07-26
FLAHERTY & CRUMRINE INC
SHAREHOLDER
direct
1997-01-01
2006-03-31
FLAHERTY & CRUMRINE INC
SHAREHOLDER
direct
1997-03-01
2006-03-31
FLAHERTY & CRUMRINE INC
SHAREHOLDER
direct
1997-04-01
2006-03-31
STONEBRIDGE CAPITAL MANAGEMENT II LLC
MEMBER
direct
1999-11-01
2006-03-31
PADCO ADVISORS II INC
SHAREHOLDER
indirect
2003-12-01
2006-03-31
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC
SOLE OWNER
indirect
2003-07-01
2006-12-04
LARCH LANE ADVISORS LLC
SPECIAL MEMBER
direct
2005-10-01
2008-03-31
CORRIENTE ADVISORS, LLC
TRUSTEE
direct
2007-12-01
2010-03-25
RIVER STREET ADVISORS, LLC
SOLE MEMBER
direct
2010-04-01
2010-05-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-07-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-07-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
GENERAL PARTNER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
LIMITED PARTNER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
GENERAL PARTNER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-08-01
2010-07-20
PINEBRIDGE INVESTMENTS LLC
SHAREHOLDER
indirect
2009-10-01
2010-07-20
TERRA RESOURCE INVESTMENT MANAGEMENT, INC.
SHAREHOLDER
indirect
2011-02-01
2011-02-23
NOCTUA INTERNATIONAL WMG, LLC
MEMBER
direct
2009-05-01
2011-04-04
ALPHAHEDGE CAPITAL PARTNERS, LLC
MEMBER
direct
2011-09-01
2012-01-26
NOCTUA INTERNATIONAL WMG, LLC
GENERAL PARTNER
indirect
2009-08-01
2012-03-30
LYONROSS CAPITAL MANAGEMENT, LLC
MANAGING MEMBER
direct
2012-09-01
2012-12-21
FOXHAVEN ASSET MANAGEMENT, LP
GENERAL PARTNER
direct
2013-08-01
2013-09-26
EDGE PRINCIPAL ADVISORS, LLC
GENERAL PARTNER/OWNER - ATERIAN INVESTMENT MANAGEMENT, LP (RELYING ADVISER)
direct
2013-08-01
2013-11-13
SUB-SAHARA CAPITAL GROUP LP
GENERAL PARTNER
direct
2013-03-01
2013-12-02
NOCTUA INTERNATIONAL WMG, LLC
SHAREHOLDER
indirect
2009-07-01
2015-07-21
PROTERRA INVESTMENT PARTNERS LP
GENERAL PARTNER
direct
2015-09-01
2016-01-26
RIDGE RETIREMENT CONSULTANTS, LLC
KLINGMAN HOLDINGS, LLC
direct
2014-04-01
2016-02-25
HGI CAPITAL MANAGEMENT, LLC.
MEMBER
indirect
2013-07-01
2016-04-18
HGI CAPITAL MANAGEMENT, LLC.
MANAGING MEMBER
indirect
2013-07-01
2016-04-18
BLOOOM, INC.
SHAREHOLDER
direct
2016-03-01
2016-06-07
BLOOOM, INC.
SHAREHOLDER
direct
3016-03-01
2016-06-07
LAKEWOOD CAPITAL MANAGEMENT, LP
GENERAL PARTNER
direct
2007-01-01
2017-02-10
SAVANT INVESTMENT GROUP, LLC
THE SAVANT GROUP, INC.
direct
1991-09-01
2017-02-23
MANIKAY PARTNERS UK II LTD
OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER) MANIKAY PARTNERS LLC
08/01/2014
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
MANIKAY PARTNERS, LLC
OWNER OF MANIKAY PARTNERS UK LLP (RELYING ADVISER)
indirect
2014-08-01