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