RIMROCK CAPITAL MANAGEMENT, LLC

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Rimrock Capital Management is based out of Irvine. Rimrock Capital Management is a large advisory firm with 24 clients and discretionary assets under management (AUM) of $12,336,818,959 (Form ADV from 2019-07-03). Whalewisdom has at least 4 13F filings

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09/30/2019

Top Buys

  • Name% Change

09/30/2019

Top Sells

  • Name% Change

09/30/2019

13F Holdings Summary

As of the date of filing, the disclosed position has been completely sold.

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $0
  • Prior Market Value $0
  • New Purchases0 stocks
  • Additional Purchases0 stocks
  • Sold out of0 stocks
  • Reduced holdings in0 stocks
  • Top 10 Holdings % %
  • Turnover % [1]:%
  • Turnover Alt % [2]: %
  • Time Held Top20:
  • Time Held Top10:
  • Time Held All:

[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 2019-02-14

Performance for Q4 2018: -30.77%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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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)

View Last Form Adv Compilation Report on Record

RIMROCK CAPITAL MANAGEMENT LLC
Classified as Hedge Fund
100 INNOVATION DRIVE SUITE 200
IRVINE CA    92617-3040
Country: United States

Business Phone: 949-381-7800
Fax: 949-272-5154
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 34
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: 3,658,110,000
Total Number of Clients: 24
Amount of client funds and securities by related persons: 3,658,110,000
Total Number of clients from related persons: 19
Disclosures:
Data above was derived from SEC filings.

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RIMROCK CAPITAL MANAGEMENT LLC

ownership team - last updated 2019-07-03
Name Title Start Date Direct/Indirect % Ownership
EDINGTON, DAVID, HANIBAL MANAGING DIRECTOR 12/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE MANAGING DIRECTOR 06/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW CHIEF RISK OFFICER, MANAGING DIRECTOR 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
WESTHEAD, PAUL, CYRIL CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
BLUMETTI, SANTINO MANAGING DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN MANAGING DIRECTOR 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
DE LEON, ROBERT, S CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC S.V.P. & GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-10-01
COVARIANCE CAPITAL MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2010-06-01
RIMROCK CAPITAL MANAGEMENT, L.P. MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC direct 2012-12-01
RIMROCK GP, LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. direct 2012-12-01
CROWELL, BARBARA, ANNA CHIEF FINANCIAL OFFICER 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2014-12-01
DUBCHANSKY, SCOTT, BRIAN PARTNER RIMROCK GP, LLC 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
EDINGTON, DAVID, HANIBAL TRUSTEE EDINGTON LIVING TRUST 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
BLUMETTI, SANTINO PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
WESTHEAD, PAUL, CYRIL PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
EDINGTON LIVING TRUST PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIMROCK STRATEGIC INCOME FUND, LTD. Cayman Islands 805-8752262580 Hedge Fund 271,321,352 1,000,000
RIMROCK STRUCTURED PRODUCT (MASTER) FUND, LTD Cayman Islands 805-1360668296 Hedge Fund 415,596,983 1,000,000 Master Fund
RIMROCK HIGH INCOME PLUS (MASTER) FUND, LTD. Cayman Islands 805-7726259203 Hedge Fund 9,827,730,655 1,000,000 Master Fund
RIMROCK SERIES OF COPPERSTONE MULTI SERIES IDF, LP United States 805-4423909215 Hedge Fund 17,862,247 1,000,000 Fund of Funds
RIMROCK LOW VOLATILITY (MASTER) FUND, LTD. Cayman Islands 805-7342859318 Hedge Fund 1,058,078,751 1,000,000 Master Fund
RIMROCK TOTAL RETURN STRATEGIES FUND II, LTD. Cayman Islands 805-1724215973 Hedge Fund 79,995,599 1,000,000

RIMROCK CAPITAL MANAGEMENT LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
EDINGTON, DAVID, HANIBAL MANAGING DIRECTOR 12/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE MANAGING DIRECTOR 06/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW CHIEF RISK OFFICER, MANAGING DIRECTOR 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
WESTHEAD, PAUL, CYRIL CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
BLUMETTI, SANTINO MANAGING DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN MANAGING DIRECTOR 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
DE LEON, ROBERT, S CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC S.V.P. & GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-10-01
COVARIANCE CAPITAL MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2010-06-01
RIMROCK CAPITAL MANAGEMENT, L.P. MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC direct 2012-12-01
RIMROCK GP, LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. direct 2012-12-01
CROWELL, BARBARA, ANNA CHIEF FINANCIAL OFFICER 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2014-12-01
EDINGTON, DAVID, HANIBAL TRUSTEE EDINGTON LIVING TRUST 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
BLUMETTI, SANTINO PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN PARTNER RIMROCK GP, LLC 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
WESTHEAD, PAUL, CYRIL PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
EDINGTON LIVING TRUST PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIMROCK STRATEGIC INCOME FUND, LTD. Cayman Islands 805-8752262580 Hedge Fund 271,951,934 1,000,000
RIMROCK STRUCTURED PRODUCT (MASTER) FUND, LTD Cayman Islands 805-1360668296 Hedge Fund 482,729,847 1,000,000 Master Fund
RIMROCK HIGH INCOME PLUS (MASTER) FUND, LTD. Cayman Islands 805-7726259203 Hedge Fund 5,449,051,084 1,000,000 Master Fund
RIMROCK SERIES OF COPPERSTONE MULTI SERIES IDF, LP United States 805-4423909215 Hedge Fund 17,702,412 1,000,000 Fund of Funds
RIMROCK LOW VOLATILITY (MASTER) FUND, LTD. Cayman Islands 805-7342859318 Hedge Fund 813,483,374 1,000,000 Master Fund
RIMROCK TOTAL RETURN STRATEGIES FUND II, LTD. Cayman Islands 805-1724215973 Hedge Fund 33,845,037 1,000,000

RIMROCK CAPITAL MANAGEMENT LLC

ownership team - last updated 2018-11-08
Name Title Start Date Direct/Indirect % Ownership
EDINGTON, DAVID, HANIBAL MANAGING DIRECTOR 12/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE MANAGING DIRECTOR 06/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW CHIEF RISK OFFICER, MANAGING DIRECTOR 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
WESTHEAD, PAUL, CYRIL CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
BLUMETTI, SANTINO MANAGING DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN MANAGING DIRECTOR 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
DE LEON, ROBERT, S CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC S.V.P. & GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-10-01
COVARIANCE CAPITAL MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2010-06-01
RIMROCK CAPITAL MANAGEMENT, L.P. MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC direct 2012-12-01
RIMROCK GP, LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. direct 2012-12-01
CROWELL, BARBARA, ANNA CHIEF FINANCIAL OFFICER 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2014-12-01
EDINGTON, DAVID, HANIBAL TRUSTEE EDINGTON LIVING TRUST 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
BLUMETTI, SANTINO PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN PARTNER RIMROCK GP, LLC 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
WESTHEAD, PAUL, CYRIL PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
EDINGTON LIVING TRUST PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIMROCK STRATEGIC INCOME FUND, LTD. Cayman Islands 805-8752262580 Hedge Fund 233,377,110 1,000,000
RIMROCK STRUCTURED PRODUCT (MASTER) FUND, LTD Cayman Islands 805-1360668296 Hedge Fund 596,321,671 1,000,000 Master Fund
RIMROCK HIGH INCOME PLUS (MASTER) FUND, LTD. Cayman Islands 805-7726259203 Hedge Fund 4,863,354,503 1,000,000 Master Fund
RIMROCK SERIES OF COPPERSTONE MULTI SERIES IDF, LP United States 805-4423909215 Hedge Fund 20,552,040 1,000,000 Fund of Funds
RIMROCK LOW VOLATILITY (MASTER) FUND, LTD. Cayman Islands 805-7342859318 Hedge Fund 609,281,803 1,000,000 Master Fund
RIMROCK TOTAL RETURN STRATEGIES FUND II, LTD. Cayman Islands 805-1724215973 Hedge Fund 27,480,000 1,000,000

RIMROCK CAPITAL MANAGEMENT LLC

ownership team - last updated 2018-05-17
Name Title Start Date Direct/Indirect % Ownership
EDINGTON, DAVID, HANIBAL MANAGING DIRECTOR 12/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE MANAGING DIRECTOR 06/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW CHIEF RISK OFFICER, MANAGING DIRECTOR 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
WESTHEAD, PAUL, CYRIL CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR 07/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
BLUMETTI, SANTINO MANAGING DIRECTOR 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN MANAGING DIRECTOR 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
DE LEON, ROBERT, S CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC S.V.P. & GENERAL COUNSEL direct 2014-01-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL direct 2014-10-01
COVARIANCE CAPITAL MANAGEMENT, INC. VICE PRESIDENT, GENERAL COUNSEL direct 2010-06-01
RIMROCK CAPITAL MANAGEMENT, L.P. MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC direct 2012-12-01
RIMROCK GP, LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER direct 2012-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. direct 2012-12-01
CROWELL, BARBARA, ANNA CHIEF FINANCIAL OFFICER 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2014-12-01
EDINGTON, DAVID, HANIBAL TRUSTEE EDINGTON LIVING TRUST 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC TRUSTEE indirect 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 1999-12-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01
CHESTER, CHRISTOPHER, LEE PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2001 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2001-06-01
FOULKE, STEPHEN, ANDREW PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 06/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF RISK OFFICER, MANAGING DIRECTOR direct 2002-06-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2002-06-01
BLUMETTI, SANTINO PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
DUBCHANSKY, SCOTT, BRIAN PARTNER RIMROCK GP, LLC 12/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2013-10-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2013-12-01
STUYVESANT CAPITAL MANAGEMENT CORPORATION MEMBER direct 1999-10-01 2004-03-30
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER direct 1996-09-01 2005-03-24
WEST GATE ADVISORS, LLC CEO, CHIEF COMPLIANCE OFFICER direct 2004-05-01 2006-03-20
METROPOLITAN WEST CAPITAL MANAGEMENT LLC MEMBER direct 1999-10-01 2006-03-29
WEST GATE HORIZONS ADVISORS, LLC DIRECTOR direct 2005-06-01 2006-07-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO, MEMBER direct 1996-09-01 2006-11-22
WEST GATE ADVISORS, LLC CEO,CHIEF COMPLIANCE OFFICER, PM direct 2004-05-01 2007-09-11
WEST GATE ADVISORS, LLC MEMBER indirect 2007-02-01 2007-09-11
METROPOLITAN WEST ASSET MANAGEMENT LLC MEMBER indirect 2007-02-01 2008-03-28
METROPOLITAN WEST ASSET MANAGEMENT LLC CEO direct 1996-09-01 2008-04-17
METROPOLITAN WEST ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-11
WEST GATE ADVISORS, LLC MANAGING DIRECTOR direct 2008-06-01 2009-09-25
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2013-04-16
RIMROCK CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01 2013-11-19
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR / CCO direct 2013-10-01 2014-04-10
WESTHEAD, PAUL, CYRIL PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 07/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR direct 2004-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 2006-07-01
EDINGTON LIVING TRUST PARTNER RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. 12/01/1999 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
RIMROCK CAPITAL MANAGEMENT LLC PARTNER indirect 1999-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RIMROCK STRATEGIC INCOME FUND, LTD. Cayman Islands 805-8752262580 Hedge Fund 559,775,127 1,000,000
RIMROCK STRUCTURED PRODUCT (MASTER) FUND, LTD Cayman Islands 805-1360668296 Hedge Fund 605,199,666 1,000,000 Master Fund
RIMROCK HIGH INCOME PLUS (MASTER) FUND, LTD. Cayman Islands 805-7726259203 Hedge Fund 4,560,479,450 1,000,000 Master Fund
RIMROCK TOTAL RETURN STRATEGIES FUND I, LTD. Cayman Islands 805-8930582142 Hedge Fund 21,736,848 1,000,000
RIMROCK SERIES OF COPPERSTONE MULTI SERIES IDF, LP United States 805-4423909215 Hedge Fund 14,238,621 1,000,000 Fund of Funds
RIMROCK LOW VOLATILITY (MASTER) FUND, LTD. Cayman Islands 805-7342859318 Hedge Fund 523,277,164 1,000,000 Master Fund

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