NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

HTTP://WWW.NQCAPITAL.COM RALEIGH, NC Investment Advisor Hedge Fund How do I update this listing?

Novaquest Capital Management is based out of Raleigh. Novaquest Capital Management is a large advisory firm with 36 clients and discretionary assets under management (AUM) of $2,662,119,000 (Form ADV from 2020-06-11). Their last reported 13F filing for Q2 2020 included $86,274,000 in managed 13F securities and a top 10 holdings concentration of 100.0%. Novaquest Capital Management's largest holding is Myovant Sciences Ltd with shares held of 3,474,645. Whalewisdom has at least 11 13F filings

Download 13F Summary to Excel Create Email Alert

06/30/2020

Top Buys

  • Name% Change

06/30/2020

Top Sells

  • Name% Change

06/30/2020

13F Activity

  • Market Value $86.274 Million
  • Prior Market Value $35.099 Million
  • New Purchases0 stocks
  • Additional Purchases0 stocks
  • Sold out of0 stocks
  • Reduced holdings in0 stocks
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:%
  • Turnover Alt % [2]: %
  • Time Held Top20:10.00 quarters
  • Time Held Top10:10.00 quarters
  • Time Held All:10.00 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 88.76%
Performance Last 4 Quarters: 7.72%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted

View Last Form Adv Compilation Report on Record

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.
Classified as Hedge Fund
4208 SIX FORKS ROAD SUITE 920
RALEIGH NC    27609-5769
Country: United States

Business Phone: 919-459-8620
Fax: 919-516-0580
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 26
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 36
Amount of client funds and securities by related persons: 2,662,120,000
Total Number of clients from related persons: 36
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

ownership team - last updated 2020-06-11
Name Title Start Date Direct/Indirect % Ownership
WOOTEN, RONALD, JOHN MEMBER, MANAGEMENT COMMITTEE MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
BRADLEY, JOHN, LAYTON MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
TUNNICLIFFE, JONATHAN, EDWARD MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
GILLINGS, DENNIS, B. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
PHARMABIO DEVELOPMENT INC. MEMBER 11/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
MBK PHARMAPARTNERING, INC. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
HESTER, ROBERT, WAYNE CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
BROWN, ERNEST, GERALD MANAGEMENT COMMITTEE MEMBER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
Mills, Bryan, Edwards CHIEF ADMINISTRATIVE OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF ADMINISTRATIVE OFFICER direct 2020-01-01
COMER, JACOB, ERNEST GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 05/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
STARR PRINCIPAL HOLDINGS, LLC SENIOR LEGAL & CHIEF COMPLIANCE OFFICER direct 2012-03-01
STARR INVESTMENT HOLDINGS, LLC SENIOR LEGAL & CHIEF COMPLIANCE OFFICER, CONTROLLER direct 2012-03-01
Umezawa, Ryohei MANAGEMENT COMMITTEE MEMBER 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER direct 2020-06-01
GILLINGS, DENNIS, B. SHAREHOLDER PHARMABIO DEVELOPMENT INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
MITSUI & CO., LTD. SHAREHOLDER MBK PHARMAPARTNERING, INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION 100% OWNER direct 2005-01-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NQ PE PROJECT INCA, L.P. United States 805-2550770152 Private Equity Fund 89,842,000 5,000,000 Master Fund
NQP SPV I, L.P. Cayman Islands 805-3915977884 Private Equity Fund 218,714,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V, L.P. Cayman Islands 805-8940485931 Private Equity Fund 700,928,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND V, L.P. United States 805-5972686678 Private Equity Fund 51,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. United States 805-9705580512 Private Equity Fund 12,124,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. Cayman Islands 805-7328857121 Private Equity Fund 357,397,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. Cayman Islands 805-3068515556 Private Equity Fund 72,982,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND III, L.P. United States 805-8104228532 Private Equity Fund 96,270,000 10,000,000
NOVAQUEST PRIVATE EQUITY FUND I, L.P. Cayman Islands 805-6354131046 Private Equity Fund 345,359,000 5,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III AGGREGATOR, L.P. Cayman Islands 805-4832865550 Private Equity Fund 129,658,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV AGGREGATOR, L.P. Cayman Islands 805-7528290413 Private Equity Fund 207,266,000 25,000,000
NQP SPV II, L.P. Cayman Islands 805-2083309705 Private Equity Fund 152,206,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND VIII, L.P. United States 805-5033889559 Private Equity Fund 134,400,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND X, L.P. United States 805-7886403340 Private Equity Fund 313,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND XI, L.P. United States 805-6175952683 Private Equity Fund 25,000,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND IX, L.P. United States 805-2763715400 Private Equity Fund 50,734,000 25,000,000
NQ PE PROJECT AWARE, L.P. United States 805-2871892140 Private Equity Fund 28,389,000 5,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. Cayman Islands 805-4316675863 Private Equity Fund 43,385,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND I, L.P. United States 805-6294138099 Private Equity Fund 194,807,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND II, L.P. United States 805-5447243072 Private Equity Fund 37,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND VI, L.P. United States 805-6489956290 Private Equity Fund 47,847,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. Cayman Islands 805-9764753148 Private Equity Fund 190,020,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V (DELAWARE), L.P. United States 805-9502844334 Private Equity Fund 388,092,000 25,000,000 Master Fund
NOVAQUEST CO-INVESTMENT - RISP, L.P. United States 805-8855791503 Private Equity Fund 15,923,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. Cayman Islands 805-6324963390 Private Equity Fund 13,290,000 25,000,000
NOVAQUEST FUND III AIV I, L.P. United States 805-2854660871 Private Equity Fund 18,403,000 10,000,000
NQP AIV I, L.P. Cayman Islands 805-7057324275 Private Equity Fund 104,253,000 25,000,000
NQ PE PROJECT KIT, L.P. Cayman Islands 805-9603730300 Private Equity Fund 156,638,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND VII, L.P. United States 805-3316508616 Private Equity Fund 36,667,000 25,000,000
NOVAQUEST CO-INVESTMENT - TAK, L.P. United States 805-2803704592 Private Equity Fund 11,299,000 10,000,000
NQ PE PROJECT CONSTELLATION, L.P. Cayman Islands 805-6991832501 Private Equity Fund 32,396,000 5,000,000

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NQ PE PROJECT KIT, L.P. Cayman Islands 805-9603730300 Private Equity Fund 156,638,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND VII, L.P. United States 805-3316508616 Private Equity Fund 36,667,000 25,000,000
NOVAQUEST CO-INVESTMENT - TAK, L.P. United States 805-2803704592 Private Equity Fund 11,299,000 10,000,000
NQP AIV I, L.P. Cayman Islands 805-7057324275 Private Equity Fund 104,253,000 25,000,000
NQ PE PROJECT CONSTELLATION, L.P. Cayman Islands 805-6991832501 Private Equity Fund 32,396,000 5,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III AGGREGATOR, L.P. Cayman Islands 805-4832865550 Private Equity Fund 129,658,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV AGGREGATOR, L.P. Cayman Islands 805-7528290413 Private Equity Fund 207,266,000 25,000,000
NQ PE PROJECT INCA, L.P. United States 805-2550770152 Private Equity Fund 89,842,000 5,000,000 Master Fund
NQP SPV I, L.P. Cayman Islands 805-3915977884 Private Equity Fund 218,714,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V, L.P. Cayman Islands 805-8940485931 Private Equity Fund 700,928,000 25,000,000
NOVAQUEST PRIVATE EQUITY FUND I, L.P. Cayman Islands 805-6354131046 Private Equity Fund 345,359,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND V, L.P. United States 805-5972686678 Private Equity Fund 51,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. United States 805-9705580512 Private Equity Fund 12,124,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. Cayman Islands 805-7328857121 Private Equity Fund 357,397,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. Cayman Islands 805-3068515556 Private Equity Fund 72,982,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND III, L.P. United States 805-8104228532 Private Equity Fund 96,270,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. Cayman Islands 805-4316675863 Private Equity Fund 43,385,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND I, L.P. United States 805-6294138099 Private Equity Fund 194,807,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND II, L.P. United States 805-5447243072 Private Equity Fund 37,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND VI, L.P. United States 805-6489956290 Private Equity Fund 47,847,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. Cayman Islands 805-9764753148 Private Equity Fund 190,020,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V (DELAWARE), L.P. United States 805-9502844334 Private Equity Fund 388,092,000 25,000,000 Master Fund
NOVAQUEST CO-INVESTMENT - RISP, L.P. United States 805-8855791503 Private Equity Fund 15,923,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. Cayman Islands 805-6324963390 Private Equity Fund 13,290,000 25,000,000
NOVAQUEST FUND III AIV I, L.P. United States 805-2854660871 Private Equity Fund 18,403,000 10,000,000
NOVAQUEST CO-INVESTMENT FUND VIII, L.P. United States 805-5033889559 Private Equity Fund 134,400,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND X, L.P. United States 805-7886403340 Private Equity Fund 313,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND XI, L.P. United States 805-6175952683 Private Equity Fund 25,000,000 25,000,000
NQP SPV II, L.P. Cayman Islands 805-2083309705 Private Equity Fund 152,206,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND IX, L.P. United States 805-2763715400 Private Equity Fund 50,734,000 25,000,000
NQ PE PROJECT AWARE, L.P. United States 805-2871892140 Private Equity Fund 28,389,000 5,000,000

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
WOOTEN, RONALD, JOHN MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
BRADLEY, JOHN, LAYTON MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
ROBB, WILLIAM, OLIVER MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
TUNNICLIFFE, JONATHAN, EDWARD MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
GILLINGS, DENNIS, B. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
PHARMABIO DEVELOPMENT INC. MEMBER 11/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
MBK PHARMAPARTNERING, INC. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
HESTER, ROBERT, WAYNE CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
BROWN, ERNEST, GERALD MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
DODGE, GREGORY, ALAN CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL direct 2016-01-01
Davenport, Roger, Lavern INVESTMENT COMMITTEE MEMBER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-02-01
Sorensen, Michael, David INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Petrelli, Gaetano INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Makino, Daisuke INVESTMENT COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-03-01
EDWARDS, JEFFREY, SCOTT INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Ikegami, Manabu MANAGEMENT COMMITTEE MEMBER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER direct 2017-06-01
GILLINGS, DENNIS, B. SHAREHOLDER PHARMABIO DEVELOPMENT INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
MITSUI & CO., LTD. SHAREHOLDER MBK PHARMAPARTNERING, INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION 100% OWNER direct 2005-01-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NQP AIV I, L.P. Cayman Islands 805-7057324275 Private Equity Fund 60,581,000 25,000,000
NQ PE PROJECT CONSTELLATION, L.P. Cayman Islands 805-6991832501 Private Equity Fund 10,500,000 5,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III AGGREGATOR, L.P. Cayman Islands 805-4832865550 Private Equity Fund 133,658,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV AGGREGATOR, L.P. Cayman Islands 805-7528290413 Private Equity Fund 304,598,000 25,000,000
NQ PE PROJECT INCA, L.P. United States 805-2550770152 Private Equity Fund 35,001,000 5,000,000 Master Fund
NQP SPV I, L.P. Cayman Islands 805-3915977884 Private Equity Fund 165,869,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V, L.P. Cayman Islands 805-8940485931 Private Equity Fund 193,302,000 25,000,000
NOVAQUEST PRIVATE EQUITY FUND I, L.P. Cayman Islands 805-6354131046 Private Equity Fund 105,634,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND V, L.P. United States 805-5972686678 Private Equity Fund 292,186,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. United States 805-9705580512 Private Equity Fund 40,706,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. Cayman Islands 805-7328857121 Private Equity Fund 503,775,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. Cayman Islands 805-3068515556 Private Equity Fund 77,325,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND III, L.P. United States 805-8104228532 Private Equity Fund 163,957,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. Cayman Islands 805-4316675863 Private Equity Fund 65,535,000 25,000,000
NOVAQUEST CO-INVESTMENT FUND I, L.P. United States 805-6294138099 Private Equity Fund 158,639,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. Cayman Islands 805-9764753148 Private Equity Fund 239,003,000 10,000,000
NOVAQUEST CO-INVESTMENT FUND II, L.P. United States 805-5447243072 Private Equity Fund 488 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND IV, L.P. United States 805-4262080428 Private Equity Fund 0 25,000,000
NOVAQUEST CO-INVESTMENT FUND VI, L.P. United States 805-6489956290 Private Equity Fund 43,100,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND V (DELAWARE), L.P. United States 805-9502844334 Private Equity Fund 348,001,000 25,000,000
NOVAQUEST CO-INVESTMENT - RISP, L.P. United States 805-8855791503 Private Equity Fund 15,229,000 25,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. Cayman Islands 805-6324963390 Private Equity Fund 6,134,000 25,000,000
NOVAQUEST FUND III AIV I, L.P. United States 805-2854660871 Private Equity Fund 17,627,000 10,000,000
NOVAQUEST CO-INVESTMENT FUND VIII, L.P. United States 805-5033889559 Private Equity Fund 117,863,000 25,000,000
NQ PE PROJECT KIT, L.P. Cayman Islands 805-9603730300 Private Equity Fund 98,793,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND VII, L.P. United States 805-3316508616 Private Equity Fund 35,293,000 25,000,000
NOVAQUEST CO-INVESTMENT - TAK, L.P. United States 805-2803704592 Private Equity Fund 64,931,000 10,000,000

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

ownership team - last updated 2017-09-26
Name Title Start Date Direct/Indirect % Ownership
Ikegami, Manabu MANAGEMENT COMMITTEE MEMBER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER direct 2017-06-01
EDWARDS, JEFFREY, SCOTT INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Makino, Daisuke INVESTMENT COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-03-01
Petrelli, Gaetano INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Sorensen, Michael, David INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Davenport, Roger, Lavern INVESTMENT COMMITTEE MEMBER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-02-01
DODGE, GREGORY, ALAN CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL direct 2016-01-01
BROWN, ERNEST, GERALD MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
HESTER, ROBERT, WAYNE CHIEF FINANCIAL OFFICER, VICE PRESIDENT 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
MBK PHARMAPARTNERING, INC. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
PHARMABIO DEVELOPMENT INC. MEMBER 11/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
GILLINGS, DENNIS, B. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
TUNNICLIFFE, JONATHAN, EDWARD MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
ROBB, WILLIAM, OLIVER MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
BRADLEY, JOHN, LAYTON MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
WOOTEN, RONALD, JOHN MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
MITSUI & CO., LTD. SHAREHOLDER MBK PHARMAPARTNERING, INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION 100% OWNER direct 2005-01-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
GILLINGS, DENNIS, B. SHAREHOLDER PHARMABIO DEVELOPMENT INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOVAQUEST PRIVATE EQUITY FUND I, L.P. Cayman Islands 805-6354131046 Private Equity Fund 60,481,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND V, L.P. United States 805-5972686678 Private Equity Fund 209,664,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. United States 805-9705580512 Private Equity Fund 39,696,000 20,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. Cayman Islands 805-7328857121 Private Equity Fund 671,073,000 20,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. Cayman Islands 805-3068515556 Private Equity Fund 75,231,000 20,000,000
NOVAQUEST CO-INVESTMENT FUND III, L.P. United States 805-8104228532 Private Equity Fund 139,445,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. Cayman Islands 805-4316675863 Private Equity Fund 64,777,000 20,000,000
NOVAQUEST CO-INVESTMENT FUND I, L.P. United States 805-6294138099 Private Equity Fund 109,714,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. Cayman Islands 805-9764753148 Private Equity Fund 473,721,000 10,000,000
NOVAQUEST CO-INVESTMENT FUND II, L.P. United States 805-5447243072 Private Equity Fund 69,725,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND IV, L.P. United States 805-4262080428 Private Equity Fund 131,918,000 10,000,000

Elevate your investments