BLEICHROEDER LP

https://bleichroederlp.com/ NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

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Bleichroeder is based out of New York. Bleichroeder is a hedge fund with 59 clients and discretionary assets under management (AUM) of $2,851,166,193 (Form ADV from 2022-04-28). Their last reported 13F filing for Q1 2022 included $563,456,000 in managed 13F securities and a top 10 holdings concentration of 62.51%. Bleichroeder's largest holding is SSgA SPDR Gold Shares with shares held of 475,000. Whalewisdom has at least 12 13F filings, 11 13D filings, 49 13G filings, and 37 Form 4 filings

03/31/2022

13F Activity

  • Market Value $563.456 Million
  • Prior Market Value $640.649 Million
  • New Purchases21 stocks
  • Additional Purchases17 stocks
  • Sold out of14 stocks
  • Reduced holdings in11 stocks
  • Top 10 Holdings % 62.51 %
  • Turnover % [1]:31.53%
  • Turnover Alt % [2]: 10.72 %
  • Time Held Top20:4.60 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:4.49 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.

03/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-02-14

Performance for Q4 2021: -16.79%
Performance Last 4 Quarters: -8.76%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

Global (ex. US) Holdings

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Source: Refinitiv

View Last Form Adv Compilation Report on Record

BLEICHROEDER LP
Classified as Hedge Fund
1345 AVENUE OF THE AMERICAS 47TH FLOOR
NEW YORK NY    10105
Country: United States

Business Phone: (212) 984-3815
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 10
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 1,040,160,000
Total Number of Clients: 59
Amount of client funds and securities by related persons: 199,668,000
Total Number of clients from related persons: 1
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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BLEICHROEDER LP

ownership team - last updated 2022-03-25
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 6,970,585 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 199,668,016 100,000
BLEICHROEDER UV, LLC United States 805-6244977770 Private Equity Fund 380,824,933 100,000
BLEICHROEDER PRIVATE INVESTMENTS LLC United States 805-1401870572 Private Equity Fund 80,369,873 100,000
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 529,925,028 100,000

BLEICHROEDER LP

ownership team - last updated 2021-09-23
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 13,902,982 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 173,524,705 100,000
BLEICHROEDER UV, LLC United States 805-6244977770 Private Equity Fund 113,003,571 100,000
BLEICHROEDER PRIVATE INVESTMENTS LLC United States 805-1401870572 Private Equity Fund 36,986,267 100,000
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 424,670,858 100,000

BLEICHROEDER LP

ownership team - last updated 2021-06-03
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 13,902,982 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 173,524,705 100,000
BLEICHROEDER UV, LLC United States 805-6244977770 Private Equity Fund 113,003,571 100,000
BLEICHROEDER PRIVATE INVESTMENTS LLC United States 805-1401870572 Private Equity Fund 36,986,267 100,000
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 424,670,858 100,000

BLEICHROEDER LP

ownership team - last updated 2021-03-23
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLEICHROEDER PRIVATE INVESTMENTS LLC United States 805-1401870572 Private Equity Fund 36,986,267 100,000
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 424,670,858 100,000
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 13,902,982 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 173,524,705 100,000
BLEICHROEDER UV, LLC United States 805-6244977770 Private Equity Fund 113,003,571 100,000

BLEICHROEDER LP

ownership team - last updated 2020-09-04
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 390,765,372 100,000
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 17,275,669 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 153,120,853 100,000

BLEICHROEDER LP

ownership team - last updated 2020-06-02
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 390,765,372 100,000
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 17,275,669 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 153,120,853 100,000

BLEICHROEDER 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
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 390,765,372 100,000
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 17,275,669 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 153,120,853 100,000

BLEICHROEDER LP

ownership team - last updated 2019-12-10
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
21 APRIL FUND, LTD. Cayman Islands 805-9490680501 Hedge Fund 335,199,604 100,000
BIOTECHNOLOGY MASTER FUND, LTD. Cayman Islands 805-5286184337 Hedge Fund 50,506,447 0
21 APRIL FUND, L.P. United States 805-4090554276 Hedge Fund 141,290,088 100,000

BLEICHROEDER LP

ownership team - last updated 2019-07-15
Name Title Start Date Direct/Indirect % Ownership
BLEICHROEDER HOLDINGS LLC GENERAL PARTNER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP GENERAL PARTNER direct 2019-07-01
ASG 2019 IRRV TR LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
KELLEN, MICHAEL, MAX CHAIRMAN AND CO-CEO 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
GUNDLACH, ANDREW, STEPHEN PRESIDENT, CO-CEO AND CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST LIMITED PARTNER 07/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
Kellen, Caroline, L. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
Kellen, Christopher, N. TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP TRUSTEE indirect 2014-11-01
KELLEN, MICHAEL, MAX TRUSTEE NINA GORRISSEN 2014 TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
KELLEN, MICHAEL, MAX TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WORLDVEST INC. STOCKHOLDER OF PARENT COMPANY direct 1978-06-01
FIRST EAGLE INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2003-10-01
GOOD HOPE ADVISERS, LLC SHAREHOLDER indirect 2010-01-01
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC STOCKHOLDER OF PARENT COMPANY direct 1978-06-01 2007-03-30
ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC VICE CHAIRMAN direct 2003-10-01 2009-02-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2010-01-01 2010-08-27
FIRST EAGLE INVESTMENT MANAGEMENT, LLC VICE CHAIRMAN & DIRECTOR direct 2003-10-01 2015-09-28
ASG 2019 IRRV TR MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01
GUNDLACH, ANDREW, STEPHEN TRUSTEE ASG 2019 IRRV TR 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
ARTEMIS ADVISORS, LLC SENIOR SECURITIES ANALYST direct 2004-01-01
NINA GORRISSEN 2014 TRUST MEMBER BLEICHROEDER HOLDINGS LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BLEICHROEDER LP LIMITED PARTNER direct 2019-07-01
BLEICHROEDER LP MEMBER indirect 2019-07-01

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