SMITH ASSET MANAGEMENT GROUP LP

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Smith Asset Management Group is based out of Dallas. Smith Asset Management Group is a hedge fund with 539 clients and discretionary assets under management (AUM) of $2,510,069,411 (Form ADV from 2020-06-24). Their last reported 13F filing for Q4 2020 included $1,727,999,000 in managed 13F securities and a top 10 holdings concentration of 38.99%. Smith Asset Management Group's largest holding is Apple Inc with shares held of 1,053,028. Smith Asset Management Group has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 85 13F filings The firm last filed a Form D notice of exempt offering of securities on 2013-07-08. The filing was for a pooled investment fund: hedge fund The notice included securities offered of Pooled Investment Fund Interests

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12/31/2020

13F Activity

  • Market Value $1.728 Billion
  • Prior Market Value $1.915 Billion
  • New Purchases37 stocks
  • Additional Purchases19 stocks
  • Sold out of33 stocks
  • Reduced holdings in205 stocks
  • Top 10 Holdings % 38.99 %
  • Turnover % [1]:22.58%
  • Turnover Alt % [2]: 7.54 %
  • Time Held Top20:8.00 quarters
  • Time Held Top10:6.30 quarters
  • Time Held All:9.13 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.

12/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 19.05%
Performance Last 4 Quarters: 36.0%
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
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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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SMITH GROUP ASSET MANAGEMENT
Classified as Hedge Fund
100 CRESCENT COURT SUITE 1150
DALLAS TX    75201
Country: United States
Business Phone: 214-880-4600
Fax: 214-880-4640
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Partnership
Organized in: DE
Number of employees: 18
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 16,176,800
Total Number of Clients: 539
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2013-07-08 D/A POOLED INVESTMENT FUND: HEDGE FUND Pooled Investment Fund Interests INDEFINITE 2,101,454 INDEFINITE
2013-06-18 D POOLED INVESTMENT FUND: HEDGE FUND Equity INDEFINITE 2,101,454 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
JOHN DAVID BRIM subscription required
    EXECUTIVE OFFICER
STEPHEN SPENCER SMITH subscription required
    EXECUTIVE OFFICER

SMITH ASSET MANAGEMENT GROUP LP

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
SMITH, STEPHEN, SPENCER CEO, FOUNDER, CHAIRMAN OF INVESTMENT COMMITTEE 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
BRIM, JOHN, DAVID CHIEF INVESTMENT OFFICER 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP PRESIDENT, PORTFOLIO MANAGER direct 1998-03-01
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1998-03-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER, CHIEF OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2003-08-05
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER, COMPLIANCE OFFICER direct 1998-03-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2008-11-18
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER/ FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2014-08-18
DALLAS ADVISORS, LLC GENERAL PARTNER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2008-01-01
SMITH GROUP EMPLOYEE PARTNERS I, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
SMITH GROUP EMPLOYEE PARTNERS II, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2007-06-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
NEUMANN, LUCINDA PRESIDENT, CCO 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP CCO direct 2014-08-01
SMITH, STEPHEN, SPENCER MANAGING MEMBER SMITH GROUP EMPLOYEE PARTNERS I, LLC 01/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
SMITH, STEPHEN, SPENCER MANAGING MEMBER DALLAS ADVISORS, LLC 05/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMITH GROUP EQUITY OPPORTUNITIES FUND L.P. United States 805-4047353683 Other Private Fund LONG ONLY EXCHANGE TRADED EQUITY SECURITIES 18,092,165 1,000,000
SMITH ASSET MANAGEMENT GROUP ABSOLUTE RETURN FUND, L.P. United States 805-9882521285 Hedge Fund 2,997,697 250,000

SMITH ASSET MANAGEMENT GROUP LP

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMITH GROUP EQUITY OPPORTUNITIES FUND L.P. United States 805-4047353683 Other Private Fund LONG ONLY EXCHANGE TRADED EQUITY SECURITIES 18,092,165 1,000,000
SMITH ASSET MANAGEMENT GROUP ABSOLUTE RETURN FUND, L.P. United States 805-9882521285 Hedge Fund 2,997,697 250,000

SMITH ASSET MANAGEMENT GROUP LP

ownership team - last updated 2019-10-30
Name Title Start Date Direct/Indirect % Ownership
SMITH, STEPHEN, SPENCER CEO, FOUNDER, CHAIRMAN OF INVESTMENT COMMITTEE 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
BRIM, JOHN, DAVID CHIEF INVESTMENT OFFICER 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP PRESIDENT, PORTFOLIO MANAGER direct 1998-03-01
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1998-03-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER, CHIEF OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2003-08-05
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER, COMPLIANCE OFFICER direct 1998-03-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2008-11-18
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER/ FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2014-08-18
DALLAS ADVISORS, LLC GENERAL PARTNER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2008-01-01
SMITH GROUP EMPLOYEE PARTNERS I, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
SMITH GROUP EMPLOYEE PARTNERS II, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2007-06-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
NEUMANN, LUCINDA PRESIDENT, CFO, CCO 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP CCO direct 2014-08-01
SMITH, STEPHEN, SPENCER MANAGING MEMBER SMITH GROUP EMPLOYEE PARTNERS I, LLC 01/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
SMITH, STEPHEN, SPENCER MANAGING MEMBER DALLAS ADVISORS, LLC 05/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMITH GROUP EQUITY OPPORTUNITIES FUND L.P. United States 805-4047353683 Other Private Fund LONG ONLY EXCHANGE TRADED EQUITY SECURITIES 16,013,807 1,000,000
SMITH ASSET MANAGEMENT GROUP ABSOLUTE RETURN FUND, L.P. United States 805-9882521285 Hedge Fund 4,099,919 250,000

SMITH ASSET MANAGEMENT GROUP LP

ownership team - last updated 2019-03-20
Name Title Start Date Direct/Indirect % Ownership
SMITH, STEPHEN, SPENCER CEO, FOUNDER, CHAIRMAN OF INVESTMENT COMMITTEE 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
BRIM, JOHN, DAVID CHIEF INVESTMENT OFFICER 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP PRESIDENT, PORTFOLIO MANAGER direct 1998-03-01
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1998-03-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER, CHIEF OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2003-08-05
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER, COMPLIANCE OFFICER direct 1998-03-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2008-11-18
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER/ FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2014-08-18
DALLAS ADVISORS, LLC GENERAL PARTNER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2008-01-01
SMITH GROUP EMPLOYEE PARTNERS I, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
SMITH GROUP EMPLOYEE PARTNERS II, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2007-06-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
NEUMANN, LUCINDA PRESIDENT, CFO, CCO 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP CCO direct 2014-08-01
SMITH, STEPHEN, SPENCER MANAGING MEMBER SMITH GROUP EMPLOYEE PARTNERS I, LLC 01/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
SMITH, STEPHEN, SPENCER MANAGING MEMBER DALLAS ADVISORS, LLC 05/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMITH GROUP EQUITY OPPORTUNITIES FUND L.P. United States 805-4047353683 Other Private Fund LONG ONLY EXCHANGE TRADED EQUITY SECURITIES 16,013,807 1,000,000
SMITH ASSET MANAGEMENT GROUP ABSOLUTE RETURN FUND, L.P. United States 805-9882521285 Hedge Fund 4,099,919 250,000

SMITH ASSET MANAGEMENT GROUP LP

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
SMITH, STEPHEN, SPENCER CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER 11/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
BRIM, JOHN, DAVID PRESIDENT, PORTFOLIO MANAGER 03/01/1998 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP PRESIDENT, PORTFOLIO MANAGER direct 1998-03-01
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1998-03-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER, CHIEF OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2003-08-05
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER, COMPLIANCE OFFICER direct 1998-03-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-01-30
SMITH ASSET MANAGEMENT GROUP LP CHIEF FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2008-11-18
SMITH ASSET MANAGEMENT GROUP LP CHIEF COMPLIANCE OFFICER/ FINANCIAL/OPERATIONS OFFICER, PORTFOLIO MANAGER direct 1998-03-01 2014-08-18
DALLAS ADVISORS, LLC GENERAL PARTNER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP GENERAL PARTNER direct 2008-01-01
SMITH GROUP EMPLOYEE PARTNERS I, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2006-01-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
SMITH GROUP EMPLOYEE PARTNERS II, LLC LIMITED PARTNER 04/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNERS indirect 2007-06-01
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER direct 2008-04-01
AMF-SAMG FINANCE, LLC CLASS B NON VOTING 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP CLASS B NON VOTING direct 2008-04-01
NEUMANN, LUCINDA CCO 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP CCO direct 2014-08-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2008-08-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2008-08-01
GRESHAM PARTNERS, LLC MEMBER indirect 2008-08-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2008-08-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF AQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2006-01-01
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2008-08-01
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2008-08-01
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2008-08-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2008-08-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2008-08-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2008-08-01
OPUS CAPITAL GROUP, LLC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2008-08-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2008-08-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2008-08-01
ADELANTE CAPITAL MANAGEMENT LLC MEMBER OF APPLICANT direct 2004-11-01
PHH INVESTMENTS, LTD. CLASS B MEMBER indirect 2008-04-01
PHH INVESTMENTS, LTD. SHAREHOLDER direct 2008-04-01
PHH INVESTMENTS, LTD. PHH INVESTMENTS, LTD. direct 2008-04-01
PHH INVESTMENTS, LTD. MEMBER indirect 2008-04-01
GRESHAM PARTNERS, LLC MEMBER indirect 2007-11-01
GRESHAM PARTNERS, LLC MEMBER (CLASS B) direct 2007-11-01
GRESHAM PARTNERS, LLC MEMBER indirect 2008-08-01
GRESHAM PARTNERS, LLC MEMBER indirect 2008-08-01
FOREST INVESTMENT ASSOCIATES L.P. CLASS B MEMBER indirect 2008-01-01
FOREST INVESTMENT ASSOCIATES L.P. MEMBER indirect 2008-01-01
FOREST INVESTMENT ASSOCIATES L.P. MEMBER indirect 2008-08-01
FOREST INVESTMENT ASSOCIATES L.P. MEMBER indirect 2008-08-01
FOREST INVESTMENT ASSOCIATES L.P. MEMBER indirect 2008-08-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2008-08-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2008-08-01
RESERVOIR OPERATIONS, L.P. LIMITED PARTNER direct 2010-07-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2010-07-01
LUCIDUS CAPITAL PARTNERS LLP MEMBER indirect 2008-08-01
LUCIDUS CAPITAL PARTNERS LLP MEMBER indirect 2008-08-01
LUCIDUS CAPITAL PARTNERS LLP MEMBER indirect 2011-02-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER CREDIT SUISSE (USA), INC 01/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC SHAREHOLDER indirect 2000-10-01
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE ALTERNATIVE CAPITAL, INC. 100% SHAREHOLDER indirect 2000-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01
VOLARIS VOLATILITY MANAGEMENT, LLC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. 100% SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2006-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2006-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2006-01-01
OSPRAIE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2007-10-01
FOREST INVESTMENT ASSOCIATES L.P. SHAREHOLDER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP SHAREHOLDER indirect 2008-08-01
LUCIDUS CAPITAL PARTNERS LLP SHAREHOLDER indirect 2008-08-01
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
CREDIT SUISSE FIRST BOSTON CORPORATION STOCKHOLDER indirect 2000-10-01 2001-03-30
CSFBDIRECT LLC STOCKHOLDER indirect 2000-11-01 2002-01-25
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. STOCKHOLDER indirect 2000-10-01 2002-03-28
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 1994-01-01 2002-04-01
CSFB GLOBAL OPPORTUNITIES PARTNERS, LLC SHAREHOLDER indirect 2000-10-01 2002-08-05
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. STOCKHOLDER direct 2000-10-01 2003-03-31
PERSHING LLC STOCKHOLDER indirect 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-04-20
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-04-20
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-08-03
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-08-03
CSFB PRIVATE EQUITY ADVISERS LLC SOLE SHAREHOLDER indirect 2000-11-01 2004-11-16
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2005-01-11
CREDIT SUISSE FIRST BOSTON LLC STOCKHOLDER indirect 2000-10-01 2005-10-07
CREDIT SUISSE SECURITIES (USA) LLC STOCKHOLDER indirect 2000-10-01 2008-03-13
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2010-11-02
CANDLEWOOD INVESTMENT GROUP, LP 100% SHAREHOLDER indirect 2000-11-01 2012-03-30
DLJ REAL ESTATE CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2000-11-01 2012-03-30
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01 2012-07-24
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2008-08-01 2013-03-21
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2008-08-01 2014-01-17
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2008-08-01 2014-02-21
CREDIT VALUE PARTNERS, LP 100% SHAREHOLDER indirect 2000-11-01 2014-04-02
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2008-08-01 2014-05-13
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2000-11-01 2014-07-10
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2008-08-01 2014-08-18
SHAPIRO CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2008-08-01 2015-03-17
CREDIT SUISSE AG SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-SAMG FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2008-08-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2008-08-01
GRESHAM PARTNERS, LLC MEMBER indirect 2007-11-01
GRESHAM PARTNERS, LLC MEMBER indirect 2008-08-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2010-07-01
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE AG 03/01/1982 Indirect 75% or more
SMITH, STEPHEN, SPENCER MANAGING MEMBER SMITH GROUP EMPLOYEE PARTNERS I, LLC 01/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
SMITH, STEPHEN, SPENCER MANAGING MEMBER DALLAS ADVISORS, LLC 05/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DISCOVERY MANAGEMENT, LTD. LIMITED PARTNER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP CEO, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER direct 1995-11-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2003-05-01
SMITH ASSET MANAGEMENT GROUP LP MANAGING MEMBER indirect 2006-01-01
GOLDEN CAPITAL MANAGEMENT, LLC OWNER indirect 2004-01-01 2005-03-07
SMITH ASSET MANAGEMENT GROUP LP LIMITED PARTNER indirect 1995-11-01 2006-11-06
CREDIT SUISSE HANK HOLDINGS LLC SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 10/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2013-10-01
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2013-10-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2013-10-01
CSAM AMERICAS HOLDING CORP SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 02/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CREDIT SUISSE ASSET MANAGEMENT, LLC OWNER OF 100% MEMBER INTERESTS direct 2000-11-01
RESERVOIR OPERATIONS, L.P. LIMITED PARTNER OF RESERVOIR STRATEGIC PARTNERS FUND MANAGEMENT, LP direct 2010-07-01
RESERVOIR OPERATIONS, L.P. SOLE MEMBER indirect 2010-07-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2014-02-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2014-02-01
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-04-20
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER direct 2004-01-01 2004-04-20
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER indirect 2004-11-01 2004-04-20
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2004-07-01
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-08-03
CSFB PRIVATE EQUITY ADVISERS LLC SOLE SHAREHOLDER indirect 2000-11-01 2004-11-16
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2005-01-11
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC MEMBER indirect 2006-07-01 2012-07-24
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2014-02-01 2014-07-10
CREDIT SUISSE (USA), INC. MEMBER CREDIT SUISSE HANK HOLDINGS LLC 10/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DLJ CAPITAL MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC MANAGING MEMBER direct 2000-12-01
OSPRAIE MANAGEMENT, LLC LIMITED PARTNER (OSPRAIE ADVISORS, L.P.) direct 2007-10-01
OSPRAIE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2007-10-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MEMBER indirect 2008-11-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2013-10-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2013-10-01
CREDIT SUISSE SECURITIES (USA) LLC SOLE MEMBER direct 2000-11-01
DLJ INVESTMENT PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01
TEGRIT INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-11-01
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01
VVM OF NEW YORK, LLC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01
RETAIL CAPTAL PARTNERS LP OWNER indirect 2000-11-01
CSFBDIRECT, INC. STOCKHOLDER indirect 1985-01-01 2002-01-25
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ REAL ESTATE CAPITAL PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2002-02-28
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-06-13
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2001-07-01 2004-03-30
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 2003-03-01 2004-03-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2004-03-30
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC PARENT direct 2000-12-01 2005-03-30
MERCHANT CAPITAL INC SHAREHOLDER indirect 2003-03-01 2005-11-23
GLOBAL RETAIL PARTNERS INC. SHAREHOLDER indirect 2000-11-01 2005-11-23
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS II INC SHAREHOLDER indirect 2000-11-01 2007-04-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2007-04-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2003-03-01 2007-06-25
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2007-06-01 2007-09-20
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC 100% MANAGING MEMBER direct 2000-12-01 2009-03-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-06
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2012-03-30
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01 2012-07-24
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2011-01-01 2014-07-10
GRESHAM PARTNERS, LLC MEMBER indirect 2013-10-01 2014-07-10
CREDIT SUISSE (USA), INC. SHAREHOLDER CSAM AMERICAS HOLDINGS CORP 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DLJ CAPITAL MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC MANAGING MEMBER direct 2000-12-01
OSPRAIE MANAGEMENT, LLC LIMITED PARTNER (OSPRAIE ADVISORS, L.P.) direct 2007-10-01
OSPRAIE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2007-10-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MEMBER indirect 2008-11-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2013-10-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2013-10-01
CREDIT SUISSE SECURITIES (USA) LLC SOLE MEMBER direct 2000-11-01
DLJ INVESTMENT PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01
TEGRIT INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-11-01
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01
VVM OF NEW YORK, LLC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01
RETAIL CAPTAL PARTNERS LP OWNER indirect 2000-11-01
CSFBDIRECT, INC. STOCKHOLDER indirect 1985-01-01 2002-01-25
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ REAL ESTATE CAPITAL PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2002-02-28
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-06-13
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2001-07-01 2004-03-30
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 2003-03-01 2004-03-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2004-03-30
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC PARENT direct 2000-12-01 2005-03-30
MERCHANT CAPITAL INC SHAREHOLDER indirect 2003-03-01 2005-11-23
GLOBAL RETAIL PARTNERS INC. SHAREHOLDER indirect 2000-11-01 2005-11-23
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS II INC SHAREHOLDER indirect 2000-11-01 2007-04-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2007-04-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2003-03-01 2007-06-25
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2007-06-01 2007-09-20
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC 100% MANAGING MEMBER direct 2000-12-01 2009-03-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-06
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2012-03-30
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01 2012-07-24
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2011-01-01 2014-07-10
GRESHAM PARTNERS, LLC MEMBER indirect 2013-10-01 2014-07-10

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMITH ASSET MANAGEMENT GROUP ABSOLUTE RETURN FUND, L.P. United States 805-9882521285 Hedge Fund 5,990,465 250,000

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