AEQUIM ALTERNATIVE INVESTMENTS LP

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Aequim Alternative Investments is based out of Mill Valley. Aequim Alternative Investments is a hedge fund with 4 clients and discretionary assets under management (AUM) of $4,702,508,490 (Form ADV from 2022-03-28). Their last reported 13F filing for Q3 2022 included $3,460,014,000 in managed 13F securities and a top 10 holdings concentration of 37.13%. Aequim Alternative Investments's largest holding is PG&E Corp. Equity Units Due 8/16/2023 with shares held of 1,595,100. Aequim Alternative Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 18 13F filings The firm last filed a Form D notice of exempt offering of securities on 2018-03-21. The notice included securities offered of Equity,Other

09/30/2022

13F Activity

  • Market Value $3.46 Billion
  • Prior Market Value $3.269 Billion
  • New Purchases15 stocks
  • Additional Purchases33 stocks
  • Sold out of18 stocks
  • Reduced holdings in9 stocks
  • Top 10 Holdings % 37.13 %
  • Turnover % [1]:24.63%
  • Turnover Alt % [2]: 8.79 %
  • Time Held Top20:4.20 quarters
  • Time Held Top10:3.60 quarters
  • Time Held All:4.25 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.

09/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-11-14

Performance for Q3 2022: -8.61%
Performance Last 4 Quarters: 6.46%
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
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
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

AEQUIM ALTERNATIVE INVESTMENTS LP
Classified as Hedge Fund
495 MILLER AVENUE SUITE 301
MILL VALLEY CA    94941
Country: United States

Business Phone: 415-477-9077
Fax: 415-675-1200
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 8
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:
Total Number of Clients: 4
Amount of client funds and securities by related persons: 3,695,500,000
Total Number of clients from related persons: 3
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
2018-03-21 D/A INVESTING Equity,Other INDEFINITE 0 INDEFINITE
2018-01-22 D POOLED INVESTMENT FUND: HEDGE FUND Pooled Investment Fund Interests,Other INDEFINITE 0 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
N/A AEQUIM ALTERNATIVE INVESTMENTS LLC subscription required
    EXECUTIVE OFFICER
FRANKLIN PARLAMIS subscription required
    EXECUTIVE OFFICER
DAVID GOLDSTEIN subscription required
    EXECUTIVE OFFICER

AEQUIM ALTERNATIVE INVESTMENTS LP

ownership team - last updated 2022-03-28
Name Title Start Date Direct/Indirect % Ownership
GOLDSTEIN, DAVID, CRAIG CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SYMPHONY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2009-09-01
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2000-02-01 2001-12-06
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-02-01 2002-04-30
CREEDON, KELLER & PARTNERS, INC. COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2000-02-01 2005-02-02
CREEDON, KELLER & PARTNERS, INC. DIRECTOR, CEO, COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2005-03-01 2005-03-14
LEOGRANDIS, GREGORY, JOHN LIMITED PARTNER 03/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP LIMITED PARTNER direct 2020-03-01
WINCHESTER, CHRISTOPHER, SEAN LIMITED PARTNER 03/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TAMALPAIS ASSET MANAGEMENT, L.P. MD direct 2009-01-01
TAMALPAIS ASSET MANAGEMENT, L.P. MD/LIMITED PARTNER direct 2009-01-01
PARLAMIS, FRANKLIN, MICHAEL CHIEF INVESTMENT OFFICER 01/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
CATER, CHARLES, DYLAN LIMITED PARTNER 03/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP LIMITED PARTNER direct 2020-03-01
AEQUIM ALTERNATIVE INVESTMENTS LLC GENERAL PARTNER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP GENERAL PARTNER direct 2018-01-01
PARLAMIS, FRANKLIN, MICHAEL MANAGER AEQUIM ALTERNATIVE INVESTMENTS LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEQUIM ARBITRAGE MASTER FUND LP Cayman Islands 805-3444913956 Hedge Fund 3,695,495,327 1,000,000 Master Fund

AEQUIM ALTERNATIVE INVESTMENTS LP

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
GOLDSTEIN, DAVID, CRAIG CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SYMPHONY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2009-09-01
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2000-02-01 2001-12-06
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-02-01 2002-04-30
CREEDON, KELLER & PARTNERS, INC. COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2000-02-01 2005-02-02
CREEDON, KELLER & PARTNERS, INC. DIRECTOR, CEO, COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2005-03-01 2005-03-14
LEOGRANDIS, GREGORY, JOHN LIMITED PARTNER 03/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP LIMITED PARTNER direct 2020-03-01
WINCHESTER, CHRISTOPHER, SEAN LIMITED PARTNER 03/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TAMALPAIS ASSET MANAGEMENT, L.P. MD direct 2009-01-01
TAMALPAIS ASSET MANAGEMENT, L.P. MD/LIMITED PARTNER direct 2009-01-01
PARLAMIS, FRANKLIN, MICHAEL CHIEF INVESTMENT OFFICER 01/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
CATER, CHARLES, DYLAN LIMITED PARTNER 03/01/2020 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP LIMITED PARTNER direct 2020-03-01
AEQUIM ALTERNATIVE INVESTMENTS LLC GENERAL PARTNER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP GENERAL PARTNER direct 2018-01-01
PARLAMIS, FRANKLIN, MICHAEL MANAGER AEQUIM ALTERNATIVE INVESTMENTS LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEQUIM ARBITRAGE MASTER FUND LP Cayman Islands 805-3444913956 Hedge Fund 2,266,282,230 1,000,000 Master Fund

AEQUIM ALTERNATIVE INVESTMENTS LP

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEQUIM ARBITRAGE MASTER FUND LP Cayman Islands 805-3444913956 Hedge Fund 1,087,929,755 1,000,000 Master Fund

AEQUIM ALTERNATIVE INVESTMENTS LP

ownership team - last updated 2019-05-29
Name Title Start Date Direct/Indirect % Ownership
GOLDSTEIN, DAVID, CRAIG CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMPHONY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2009-09-01
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2000-02-01 2001-12-06
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-02-01 2002-04-30
CREEDON, KELLER & PARTNERS, INC. COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2000-02-01 2005-02-02
CREEDON, KELLER & PARTNERS, INC. DIRECTOR, CEO, COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2005-03-01 2005-03-14
PARLAMIS, FRANKLIN, MICHAEL CHIEF INVESTMENT OFFICER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
AEQUIM ALTERNATIVE INVESTMENTS LLC GENERAL PARTNER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP GENERAL PARTNER direct 2018-01-01
PARLAMIS, FRANKLIN, MICHAEL MANAGER AEQUIM ALTERNATIVE INVESTMENTS LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEQUIM ARBITRAGE MASTER FUND LP Cayman Islands 805-3444913956 Hedge Fund 316,348,559 1,000,000 Master Fund

AEQUIM ALTERNATIVE INVESTMENTS LP

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
GOLDSTEIN, DAVID, CRAIG CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMPHONY ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2009-09-01
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2000-02-01 2001-12-06
CREEDON CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2000-02-01 2002-04-30
CREEDON, KELLER & PARTNERS, INC. COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2000-02-01 2005-02-02
CREEDON, KELLER & PARTNERS, INC. DIRECTOR, CEO, COO, CFO, HEAD OF OPERATIONS AND ADMINISTRATION direct 2005-03-01 2005-03-14
PARLAMIS, FRANKLIN, MICHAEL CHIEF INVESTMENT OFFICER 01/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
AEQUIM ALTERNATIVE INVESTMENTS LLC GENERAL PARTNER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEQUIM ALTERNATIVE INVESTMENTS LP GENERAL PARTNER direct 2018-01-01
PARLAMIS, FRANKLIN, MICHAEL MANAGER AEQUIM ALTERNATIVE INVESTMENTS LLC 10/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PINE RIVER CAPITAL MANAGEMENT L.P. PARTNER, HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01
PINE RIVER CAPITAL MANAGEMENT L.P. HEAD OF US CONVERTIBLE ARBITRAGE direct 2010-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEQUIM ARBITRAGE MASTER FUND LP Cayman Islands 805-3444913956 Hedge Fund 316,348,559 1,000,000 Master Fund

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