BRIGADE CAPITAL MANAGEMENT, LP

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Brigade Capital Management is based out of New York. Brigade Capital Management is a hedge fund with 102 clients and discretionary assets under management (AUM) of $29,479,174,297 (Form ADV from 2021-05-21). Their last reported 13F filing for Q2 2021 included $1,667,632,000 in managed 13F securities and a top 10 holdings concentration of 74.63%. Brigade Capital Management's largest holding is SPDR Gold Trust with shares held of 1,560,000. Whalewisdom has at least 59 13F filings, 14 13D filings, 77 13G filings, and 37 Form 4 filings

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06/30/2021

13F Activity

  • Market Value $1.668 Billion
  • Prior Market Value $1.352 Billion
  • New Purchases14 stocks
  • Additional Purchases8 stocks
  • Sold out of27 stocks
  • Reduced holdings in21 stocks
  • Top 10 Holdings % 74.63 %
  • Turnover % [1]:75.93%
  • Turnover Alt % [2]: 29.09 %
  • Time Held Top20:5.15 quarters
  • Time Held Top10:8.00 quarters
  • Time Held All:5.30 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.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 2.06%
Performance Last 4 Quarters: 85.0%
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
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
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
AMP Capital Investors Ltd
Brigade Leveraged Capital Structures Fund Ltd.
SEI INVESTMENTS MANAGEMENT CORP

View Last Form Adv Compilation Report on Record

BRIGADE CAPITAL MANAGEMENT, LP
Classified as Hedge Fund
399 PARK AVENUE 16TH FLOOR
NEW YORK NY    10022-4415
Country: United States

Business Phone: 212-745-9700
Fax: 212-745-9701
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 102
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: 199,470,000
Total Number of Clients: 102
Amount of client funds and securities by related persons: 2,419,620,000
Total Number of clients from related persons: 12
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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BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2021-05-21
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF LIQUID CORPORATE CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH HEAD OF CORPORATE CREDIT RESEARCH 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR DIRECTOR/PORTFOLIO MANAGER - RESTRUCTURING AND PRIVATE CREDIT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST/PORTFOLIO MANAGER - TECH AND INNOVATION CAPITAL 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
CHAICE, CHRISTOPHER, (NMN) SENIOR DIRECTOR/SENIOR COUNSEL - RESTRUCTURING AND PRIVATE CREDIT 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR CREDIT ATTORNEY direct 2020-01-01
O'SHEA, THOMAS, MICHAEL EUROPEAN CLO PORTFOLIO MANAGER/HEAD OF EUROPEAN INVESTMENTS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDENTREE ASSET MANAGEMENT, LP SENIOR PORTFOLIO MANAGER direct 2004-01-01
GOLDENTREE ASSET MANAGEMENT LP PORTFOLIO MANAGER direct 2004-01-01
BRIGADE CAPITAL UK LLP HEAD OF EUROPEAN INVESTMENTS direct 2017-01-01
PAULEY, JUSTIN, ROSS SENIOR STRUCTURED CREDIT ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR STRUCTURED CREDIT ANALYST direct 2020-01-01
ROBB, PATRICK, GORDON SENIOR ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2020-01-01
WORMAN, JARED, BRENT CLO PORTFOLIO MANAGER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CLO PORTFOLIO MANAGER direct 2020-01-01
SCHERR, MAX, ABRAHAM SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE direct 2021-01-01
LEFKOWITZ, HARLEY, ROBERT DIRECTOR OF RISK 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR OF RISK direct 2021-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 26,323,982 5,000,000 Feeder Fund
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 537,022 250,000
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 486,939,677 250,000
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 327,094,273 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 135,729,043 0 Master Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,290,624,638 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 250,000
BATTALION CLO XIX LTD. Cayman Islands 805-7898285539 Securitized Asset Fund 71,646,573 250,000
BATTALION CLO XX LTD. Cayman Islands 805-7255873652 Securitized Asset Fund 1,333,063 250,000
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 36,014,624 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 15,958,703 10,000,000 Feeder Fund
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,572,459,616 0 Master Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 841,690,752 5,000,000 Feeder Fund
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 398,322,547 250,000
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 250,000
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 18,800,919 10,000,000 Master Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 35,690,737 0 Master Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 66,466,007 5,000,000 Feeder Fund
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 398,687,574 250,000
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 306,997,200 5,000,000 Feeder Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 369,682,257 250,000
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 307,658,057 0 Master Fund
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,646,778,068 0 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 12,535,201 10,000,000 Feeder Fund
BRIGADE DEBT FUNDING II LLC United States 805-9924753564 Securitized Asset Fund 0 0
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 125,797,707 5,000,000 Feeder Fund
BATTALION CLO XV LLC United States 805-7285294247 Securitized Asset Fund 0 250,000
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 70,975,224 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 1,517,605,104 5,000,000 Feeder Fund
BATTALION CLO XVI LLC United States 805-1566728064 Securitized Asset Fund 0 250,000
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 634,013,742 250,000
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,319,811,193 100,000
BRIGADE SPAC SPONSOR I LLC United States 805-2052497216 Hedge Fund 41,000,000 0
BATTALION CLO XXI LTD. Cayman Islands 805-8508565303 Securitized Asset Fund 400,000,000 0
BATTALION CLO XXII LTD. Cayman Islands 805-3871232326 Securitized Asset Fund 400,000,000 0
BATTALION CLO XXIII LTD. Cayman Islands 805-8748485916 Securitized Asset Fund 400,000,000 0
BRIGADE HIGH YIELD FUND LP United States 805-5835652230 Hedge Fund 179,971,542 5,000,000 Feeder Fund
BRIGADE DEBT FUNDING I LLC United States 805-7925828546 Securitized Asset Fund 0 0
BATTALION CLO XIX LLC United States 805-3064987146 Securitized Asset Fund 0 0
BATTALION CLO 17 LLC United States 805-3566989002 Securitized Asset Fund 0 250,000
BATTALION CLO XX LLC United States 805-3792711548 Securitized Asset Fund 0 250,000
BATTALION CLO 18 LLC United States 805-4046729008 Securitized Asset Fund 0 250,000
BATTALION CLO 18 LTD. Cayman Islands 805-2467307842 Securitized Asset Fund 402,534,183 250,000
BATTALION CLO 17 LTD. Cayman Islands 805-3359086053 Securitized Asset Fund 89,169,235 250,000
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 616,685,008 5,000,000 Feeder Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 250,000
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 589,036,373 250,000
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 493,754,755 250,000
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 199,469,665 0
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 2,356,711,309 0 Master Fund
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 250,000
BRIGADE DEBT FUNDING I, LTD. Cayman Islands 805-7217361270 Securitized Asset Fund 415,943,505 0
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 763,770 113,000,000
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 491,500,658 250,000
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 199,628,592 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 400,236,131 250,000
BRIGADE HIGH YIELD FUND LTD. Cayman Islands 805-8232734064 Hedge Fund 180,126,608 5,000,000 Master Fund

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2021-03-30
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF LIQUID CORPORATE CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH HEAD OF CORPORATE CREDIT RESEARCH 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR DIRECTOR/PORTFOLIO MANAGER - RESTRUCTURING AND PRIVATE CREDIT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST/PORTFOLIO MANAGER - TECH AND INNOVATION CAPITAL 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
CHAICE, CHRISTOPHER, (NMN) SENIOR DIRECTOR/SENIOR COUNSEL - RESTRUCTURING AND PRIVATE CREDIT 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR CREDIT ATTORNEY direct 2020-01-01
KAHL, ELIZABETH, ANN DIRECTOR, INVESTOR RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, INVESTOR RELATIONS direct 2020-01-01
O'SHEA, THOMAS, MICHAEL EUROPEAN CLO PORTFOLIO MANAGER/HEAD OF EUROPEAN INVESTMENTS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDENTREE ASSET MANAGEMENT, LP SENIOR PORTFOLIO MANAGER direct 2004-01-01
GOLDENTREE ASSET MANAGEMENT LP PORTFOLIO MANAGER direct 2004-01-01
BRIGADE CAPITAL UK LLP HEAD OF EUROPEAN INVESTMENTS direct 2017-01-01
PAULEY, JUSTIN, ROSS SENIOR STRUCTURED CREDIT ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR STRUCTURED CREDIT ANALYST direct 2020-01-01
ROBB, PATRICK, GORDON SENIOR ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2020-01-01
WORMAN, JARED, BRENT CLO PORTFOLIO MANAGER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CLO PORTFOLIO MANAGER direct 2020-01-01
DASHER, KARL, FRANKLIN CHIEF EXECUTIVE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER direct 2006-03-01
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER/DIRECTOR direct 2006-03-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD CHIEF EXECUTIVE OFFICER; DIRECTOR; CHAIRMAN direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR; CHAIRMAN direct 2013-08-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR direct 2013-08-01
STW FIXED INCOME MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIR direct 2013-04-01
SCHERR, MAX, ABRAHAM SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE direct 2021-01-01
LEFKOWITZ, HARLEY, ROBERT DIRECTOR OF RISK 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR OF RISK direct 2021-01-01
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF LIQUID CORPORATE CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH HEAD OF CORPORATE CREDIT RESEARCH 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR DIRECTOR/PORTFOLIO MANAGER - RESTRUCTURING AND PRIVATE CREDIT 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST/PORTFOLIO MANAGER - TECH AND INNOVATION CAPITAL 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
CHAICE, CHRISTOPHER, (NMN) SENIOR DIRECTOR/SENIOR COUNSEL - RESTRUCTURING AND PRIVATE CREDIT 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR CREDIT ATTORNEY direct 2020-01-01
KAHL, ELIZABETH, ANN DIRECTOR, INVESTOR RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, INVESTOR RELATIONS direct 2020-01-01
O'SHEA, THOMAS, MICHAEL EUROPEAN CLO PORTFOLIO MANAGER/HEAD OF EUROPEAN INVESTMENTS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDENTREE ASSET MANAGEMENT, LP SENIOR PORTFOLIO MANAGER direct 2004-01-01
GOLDENTREE ASSET MANAGEMENT LP PORTFOLIO MANAGER direct 2004-01-01
BRIGADE CAPITAL UK LLP HEAD OF EUROPEAN INVESTMENTS direct 2017-01-01
PAULEY, JUSTIN, ROSS SENIOR STRUCTURED CREDIT ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR STRUCTURED CREDIT ANALYST direct 2020-01-01
ROBB, PATRICK, GORDON SENIOR ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2020-01-01
WORMAN, JARED, BRENT CLO PORTFOLIO MANAGER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CLO PORTFOLIO MANAGER direct 2020-01-01
DASHER, KARL, FRANKLIN CHIEF EXECUTIVE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER direct 2006-03-01
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER/DIRECTOR direct 2006-03-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD CHIEF EXECUTIVE OFFICER; DIRECTOR; CHAIRMAN direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR; CHAIRMAN direct 2013-08-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR direct 2013-08-01
STW FIXED INCOME MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIR direct 2013-04-01
SCHERR, MAX, ABRAHAM SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST/PORTFOLIO MANAGER - FIG AND SPECIALTY FINANCE direct 2021-01-01
LEFKOWITZ, HARLEY, ROBERT DIRECTOR OF RISK 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR OF RISK direct 2021-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE HIGH YIELD FUND LP United States 805-5835652230 Hedge Fund 179,971,542 5,000,000 Feeder Fund
BRIGADE DEBT FUNDING I LLC United States 805-7925828546 Securitized Asset Fund 0 0
BATTALION CLO XIX LLC United States 805-3064987146 Securitized Asset Fund 0 0
BATTALION CLO 17 LLC United States 805-3566989002 Securitized Asset Fund 0 250,000
BATTALION CLO XX LLC United States 805-3792711548 Securitized Asset Fund 0 250,000
BATTALION CLO 18 LLC United States 805-4046729008 Securitized Asset Fund 0 250,000
BATTALION CLO 18 LTD. Cayman Islands 805-2467307842 Securitized Asset Fund 402,534,183 250,000
BATTALION CLO 17 LTD. Cayman Islands 805-3359086053 Securitized Asset Fund 89,169,235 250,000
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,572,459,616 0 Master Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 841,690,752 5,000,000 Feeder Fund
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 398,322,547 250,000
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 250,000
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 616,685,008 5,000,000 Feeder Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 250,000
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 589,036,373 250,000
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 493,754,755 250,000
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 199,469,665 0
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 2,356,711,309 0 Master Fund
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 250,000
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 18,800,919 10,000,000 Master Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 35,690,737 0 Master Fund
BRIGADE DEBT FUNDING I, LTD. Cayman Islands 805-7217361270 Securitized Asset Fund 415,943,505 0
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 66,466,007 5,000,000 Feeder Fund
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 398,687,574 250,000
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 306,997,200 5,000,000 Feeder Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 369,682,257 250,000
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 307,658,057 0 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 12,535,201 10,000,000 Feeder Fund
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 199,628,592 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 400,236,131 250,000
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 26,323,982 5,000,000 Feeder Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 486,939,677 250,000
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 0 250,000
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 125,797,707 5,000,000 Feeder Fund
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 763,770 113,000,000
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 491,500,658 250,000
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,646,778,068 0 Master Fund
BRIGADE HIGH YIELD FUND LTD. Cayman Islands 805-8232734064 Hedge Fund 180,126,608 5,000,000 Master Fund
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 537,022 250,000
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 327,094,273 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 135,729,043 0 Master Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,290,624,638 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 250,000
BATTALION CLO XIX LTD. Cayman Islands 805-7898285539 Securitized Asset Fund 71,646,573 250,000
BATTALION CLO XX LTD. Cayman Islands 805-7255873652 Securitized Asset Fund 1,333,063 250,000
BATTALION CLO XV LLC United States 805-7285294247 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 36,014,624 10,000,000 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 70,975,224 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 1,517,605,104 5,000,000 Feeder Fund
BATTALION CLO XVI LLC United States 805-1566728064 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 15,958,703 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 634,013,742 250,000
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,319,811,193 100,000
BRIGADE DEBT FUNDING II LLC United States 805-9924753564 Securitized Asset Fund 0 0

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2020-09-28
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL PORTFOLIO MANAGER OF HIGH YIELD AND OPPORTUNISTIC CREDIT AND HEAD OF HIGH YIELD RESEARCH 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
CHAICE, CHRISTOPHER, (NMN) SENIOR CREDIT ATTORNEY 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR CREDIT ATTORNEY direct 2020-01-01
KAHL, ELIZABETH, ANN DIRECTOR, INVESTOR RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, INVESTOR RELATIONS direct 2020-01-01
O'SHEA, THOMAS, MICHAEL EUROPEAN CLO PORTFOLIO MANAGER/HEAD OF EUROPEAN INVESTMENTS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOLDENTREE ASSET MANAGEMENT, LP SENIOR PORTFOLIO MANAGER direct 2004-01-01
GOLDENTREE ASSET MANAGEMENT LP PORTFOLIO MANAGER direct 2004-01-01
BRIGADE CAPITAL UK LLP HEAD OF EUROPEAN INVESTMENTS direct 2017-01-01
PAULEY, JUSTIN, ROSS SENIOR STRUCTURED CREDIT ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR STRUCTURED CREDIT ANALYST direct 2020-01-01
ROBB, PATRICK, GORDON SENIOR ANALYST 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2020-01-01
WORMAN, JARED, BRENT CLO PORTFOLIO MANAGER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CLO PORTFOLIO MANAGER direct 2020-01-01
DASHER, KARL, FRANKLIN CHIEF EXECUTIVE OFFICER 09/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER direct 2006-03-01
SEI INVESTMENTS MANAGEMENT CORP CHIEF INVESTMENT OFFICER/DIRECTOR direct 2006-03-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD CHIEF EXECUTIVE OFFICER; DIRECTOR; CHAIRMAN direct 2013-07-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR; CHAIRMAN direct 2013-08-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD DIRECTOR direct 2013-08-01
STW FIXED INCOME MANAGEMENT LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIR direct 2013-04-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 192,687,223 250,000
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 333,068,892 5,000,000 Feeder Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 398,217,842 250,000
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 253,708,588 0 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 43,297,986 10,000,000 Feeder Fund
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 1,319,204 113,000,000
BRIGADE DEBT FUNDING I, LTD. Cayman Islands 805-7217361270 Securitized Asset Fund 404,263,903 0
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 92,978 250,000
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 68,074,184 5,000,000 Feeder Fund
BATTALION CLO XVII LTD. Cayman Islands 805-8648049889 Securitized Asset Fund 56,698,247 250,000
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 277,228 250,000
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 940,266 250,000
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 320,955,982 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 146,442,994 0 Master Fund
BRIGADE CLO FUNDING II LLC United States 805-9366201762 Securitized Asset Fund 0 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 500,159,985 250,000
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,509,848,728 0 Master Fund
BRIGADE HIGH YIELD FUND LTD. Cayman Islands 805-8232734064 Securitized Asset Fund 0 5,000,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 136,037,327 10,000,000 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 62,300,208 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 1,076,237,784 5,000,000 Feeder Fund
BATTALION CLO XV LLC United States 805-7285294247 Securitized Asset Fund 0 250,000
BATTALION CLO XVI LLC United States 805-1566728064 Securitized Asset Fund 0 250,000
BATTALION CLO XVII LLC United States 805-2117571408 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 46,737,154 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 643,565,102 250,000
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 250,000
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,305,852,491 100,000
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,161,736,802 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,572,459,616 0 Master Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,176,950,784 5,000,000 Feeder Fund
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 398,505,069 250,000
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 250,000
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 813,002,472 5,000,000 Feeder Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 250,000
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 596,020,931 250,000
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 250,000
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 250,000
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 60,282,080 10,000,000 Master Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 40,814,690 0 Master Fund
BATTALION CLO XVIII LTD. Cayman Islands 805-3109068637 Securitized Asset Fund 0 250,000
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 250,000
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 25,557,341 5,000,000 Feeder Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 495,862,825 250,000
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 2,903,000 250,000
BRIGADE CLO FUNDING I LLC United States 805-2737719625 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 175,737,441 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 406,608,267 250,000
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 114,351,092 5,000,000 Feeder Fund
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 499,963,832 250,000
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 189,662,061 0
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,679,968,767 0 Master Fund

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BATTALION CLO XVIII LTD. Cayman Islands 805-3109068637 Securitized Asset Fund 0 250,000
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 250,000
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 25,557,341 5,000,000 Feeder Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 40,814,690 0 Master Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 495,862,825 250,000
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 500,159,985 250,000
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,509,848,728 0 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 46,737,154 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 643,565,102 250,000
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 250,000
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,305,852,491 100,000
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,161,736,802 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 250,000
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 192,687,223 250,000
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 398,505,069 250,000
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 250,000
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 333,068,892 5,000,000 Feeder Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 398,217,842 250,000
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,572,459,616 0 Master Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,176,950,784 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 813,002,472 5,000,000 Feeder Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 250,000
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 596,020,931 250,000
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 250,000
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 250,000
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 250,000
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 250,000
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 60,282,080 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 43,297,986 10,000,000 Feeder Fund
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 92,978 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 136,037,327 10,000,000 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 62,300,208 5,000,000 Feeder Fund
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 1,319,204 113,000,000
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 68,074,184 5,000,000 Feeder Fund
BATTALION CLO XVII LTD. Cayman Islands 805-8648049889 Securitized Asset Fund 56,698,247 250,000
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 253,708,588 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 277,228 250,000
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 940,266 250,000
BRIGADE DEBT FUNDING I, LTD. Cayman Islands 805-7217361270 Securitized Asset Fund 404,263,903 0
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 320,955,982 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 146,442,994 0 Master Fund
BRIGADE CLO FUNDING II LLC United States 805-9366201762 Securitized Asset Fund 0 0
BRIGADE CLO FUNDING I LLC United States 805-2737719625 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 175,737,441 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 406,608,267 250,000
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 114,351,092 5,000,000 Feeder Fund
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 499,963,832 250,000
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 2,903,000 250,000
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 189,662,061 0
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,679,968,767 0 Master Fund
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 1,076,237,784 5,000,000 Feeder Fund
BATTALION CLO XVI LLC United States 805-1566728064 Securitized Asset Fund 0 250,000
BATTALION CLO XVII LLC United States 805-2117571408 Securitized Asset Fund 0 250,000
BATTALION CLO XV LLC United States 805-7285294247 Securitized Asset Fund 0 250,000

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2019-11-05
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
HAWKS, JOHN, CARNEY HEAD OF SPECIAL SITUATIONS/PORTFOLIO MANAGER OF ENERGY 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER/SENIOR ANALYST direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF HIGH YIELD RESEARCH/PORTFOLIO MANAGER OF HIGH YIELD AND OPPORTUNISTIC CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
BRADY, ROBERT, JOSEPH DIRECTOR OF INSTITUTIONAL SALES 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF INSTITUTIONAL SALES direct 2014-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 0
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 19,550,383 5,000,000 Feeder Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 36,506,274 0 Master Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 478,859,574 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 483,160,764 0
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,379,951,451 0 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 130,888,407 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 621,053,039 0
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 0
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 995,756,367 100,000
BRIGADE LEVERAGED CAPITAL STRUCTURES INSTITUTIONAL OFFSHORE LTD. Cayman Islands 805-2204901557 Hedge Fund 19,448,255 5,000,000 Feeder Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,051,970,314 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 0
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 93,549,981 0
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 0 0
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 0
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 322,075,697 5,000,000 Feeder Fund
KITTY HAWK OFFSHORE FUND LTD. Cayman Islands 805-6001219222 Hedge Fund 2,688,516 100,000 Feeder Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 385,103,565 0
BRIGADE EP FUND LP United States 805-2080303382 Private Equity Fund 11,753,490 0
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,179,767,073 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 1,213,943,330 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 3,155,116,000 0 Master Fund
KITTY HAWK OFFSHORE FUND II LTD. Cayman Islands 805-6740306891 Hedge Fund 4,448,038 100,000 Feeder Fund
KITTY HAWK MASTER FUND II LTD. Cayman Islands 805-1574057362 Hedge Fund 4,761,094 0 Master Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 0
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 575,761,921 0
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 0
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 0
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 0
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 0
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 177,622,217 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 116,762,121 10,000,000 Feeder Fund
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 554,861 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 382,634,049 10,000,000 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 60,100,062 5,000,000 Feeder Fund
KITTY HAWK ONSHORE FUND LP United States 805-4520453955 Hedge Fund 698,712 0
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 98,848,464 113,000,000
KITTY HAWK MASTER FUND LTD. Cayman Islands 805-9283254047 Hedge Fund 2,895,833 0 Master Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 69,388,311 5,000,000 Feeder Fund
BATTALION CLO XVII LTD. Cayman Islands 805-8648049889 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 248,501,804 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 3,877,601 0
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 3,360,310 0
BRIGADE DEBT FUNDING I, LTD Cayman Islands 805-7217361270 Securitized Asset Fund 381,564,310 0
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 311,106,566 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 167,836,948 0 Master Fund
BRIGADE CLO FUNDING II LLC United States 805-9366201762 Securitized Asset Fund 0 0
BRIGADE CLO FUNDING I LLC United States 805-2737719625 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 163,763,423 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 392,185,815 0
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 104,408,065 5,000,000 Feeder Fund
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 230,547,542 0
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 2,903,000 0
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 174,210,025 0
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,184,727,737 0 Master Fund
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 801,462,108 5,000,000 Feeder Fund

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2019-07-19
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
HAWKS, JOHN, CARNEY HEAD OF SPECIAL SITUATIONS/PORTFOLIO MANAGER OF ENERGY 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER/SENIOR ANALYST direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF HIGH YIELD RESEARCH/PORTFOLIO MANAGER OF HIGH YIELD AND OPPORTUNISTIC CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
BRADY, ROBERT, JOSEPH DIRECTOR OF INSTITUTIONAL SALES 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF INSTITUTIONAL SALES direct 2014-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 322,075,697 5,000,000 Feeder Fund
KITTY HAWK OFFSHORE FUND LTD. Cayman Islands 805-6001219222 Hedge Fund 2,688,516 100,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,179,767,073 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 1,213,943,330 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 3,155,116,000 0 Master Fund
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 0
KITTY HAWK OFFSHORE FUND II LTD. Cayman Islands 805-6740306891 Hedge Fund 4,448,038 100,000 Feeder Fund
KITTY HAWK MASTER FUND II LTD. Cayman Islands 805-1574057362 Hedge Fund 4,761,094 0 Master Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 0
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 575,761,921 0
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 0
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 0
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 0
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 0
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 177,622,217 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 116,762,121 10,000,000 Feeder Fund
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 554,861 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 382,634,049 10,000,000 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 60,100,062 5,000,000 Feeder Fund
KITTY HAWK ONSHORE FUND LP United States 805-4520453955 Hedge Fund 698,712 0
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 98,848,464 113,000,000
KITTY HAWK MASTER FUND LTD. Cayman Islands 805-9283254047 Hedge Fund 2,895,833 0 Master Fund
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 19,550,383 5,000,000 Feeder Fund
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 248,501,804 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 3,877,601 0
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 3,360,310 0
BRIGADE DEBT FUNDING I, LTD Cayman Islands 805-7217361270 Securitized Asset Fund 381,564,310 0
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 311,106,566 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 167,836,948 0 Master Fund
BRIGADE CLO FUNDING II LLC United States 805-9366201762 Securitized Asset Fund 0 0
BRIGADE CLO FUNDING I LLC United States 805-2737719625 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 163,763,423 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 392,185,815 0
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 104,408,065 5,000,000 Feeder Fund
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 230,547,542 0
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 2,903,000 0
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 174,210,025 0
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 801,462,108 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 69,388,311 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,184,727,737 0 Master Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 385,103,565 0
BRIGADE EP FUND LP United States 805-2080303382 Private Equity Fund 11,753,490 0
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 130,888,407 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 621,053,039 0
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 0
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 36,506,274 0 Master Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 478,859,574 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 483,160,764 0
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,379,951,451 0 Master Fund
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 0
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 995,756,367 100,000
BRIGADE LEVERAGED CAPITAL STRUCTURES INSTITUTIONAL OFFSHORE LTD. Cayman Islands 805-2204901557 Hedge Fund 19,448,255 5,000,000 Feeder Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,051,970,314 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 0
BATTALION CLO XV LTD. Cayman Islands 805-5951157218 Securitized Asset Fund 93,549,981 0
BATTALION CLO XVI LTD. Cayman Islands 805-3839246441 Securitized Asset Fund 0 0

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER/MANAGING PARTNER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
HAWKS, JOHN, CARNEY HEAD OF SPECIAL SITUATIONS/PORTFOLIO MANAGER OF ENERGY 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER/SENIOR ANALYST direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-01-01
MORGAN 2017 TRUST LIMITED PARTNER 01/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
PARDON, DOUGLAS, CARROLL HEAD OF HIGH YIELD RESEARCH/PORTFOLIO MANAGER OF HIGH YIELD AND OPPORTUNISTIC CREDIT 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) PORTFOLIO MANAGER OF DISTRESSED/HEAD OF DISTRESSED RESEARCH 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
BRADY, ROBERT, JOSEPH DIRECTOR OF INSTITUTIONAL SALES 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF INSTITUTIONAL SALES direct 2014-01-01
ROSS, DYLAN, MARCH PELLETIER PORTFOLIO MANAGER, CO-HEAD OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH CO-HEAD OF TRADING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR OF MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
SABLOK, SUMIT, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) TRUSTEE MORGAN 2017 TRUST 01/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE CLO FUNDING II LLC United States 805-9366201762 Securitized Asset Fund 0 0
BRIGADE CLO FUNDING I LLC United States 805-2737719625 Securitized Asset Fund 0 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 163,763,423 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 392,185,815 0
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 104,408,065 5,000,000 Feeder Fund
BATTALION CLO XIV LTD. Cayman Islands 805-3163344011 Securitized Asset Fund 230,547,542 0
BATTALION CLO XIV LLC United States 805-7789398976 Securitized Asset Fund 2,903,000 0
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 174,210,025 0
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 801,462,108 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 69,388,311 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,184,727,737 0 Master Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 385,103,565 0
BRIGADE EP FUND LP United States 805-2080303382 Private Equity Fund 11,753,490 0
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 130,888,407 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 621,053,039 0
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 0
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 36,506,274 0 Master Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 478,859,574 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 483,160,764 0
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,379,951,451 0 Master Fund
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 322,075,697 5,000,000 Feeder Fund
KITTY HAWK OFFSHORE FUND LTD. Cayman Islands 805-6001219222 Hedge Fund 2,688,516 100,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,179,767,073 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 1,213,943,330 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 3,155,116,000 0 Master Fund
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 0
KITTY HAWK OFFSHORE FUND II LTD. Cayman Islands 805-6740306891 Hedge Fund 4,448,038 100,000 Feeder Fund
KITTY HAWK MASTER FUND II LTD. Cayman Islands 805-1574057362 Hedge Fund 4,761,094 0 Master Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 0
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 575,761,921 0
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 0
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 0
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 0
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 0
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 177,622,217 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 116,762,121 10,000,000 Feeder Fund
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 554,861 250,000
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 382,634,049 10,000,000 Master Fund
KITTY HAWK ONSHORE FUND LP United States 805-4520453955 Hedge Fund 698,712 0
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 98,848,464 113,000,000
KITTY HAWK MASTER FUND LTD. Cayman Islands 805-9283254047 Hedge Fund 2,895,833 0 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 60,100,062 5,000,000 Feeder Fund
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 248,501,804 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 3,877,601 0
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 3,360,310 0
BRIGADE DEBT FUNDING I, LTD Cayman Islands 805-7217361270 Securitized Asset Fund 381,564,310 0
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 311,106,566 0
BRIGADE ABS FUND I LTD. Cayman Islands 805-8912559675 Hedge Fund 167,836,948 0 Master Fund
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 19,550,383 5,000,000 Feeder Fund
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 0
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 995,756,367 100,000
BRIGADE LEVERAGED CAPITAL STRUCTURES INSTITUTIONAL OFFSHORE LTD. Cayman Islands 805-2204901557 Hedge Fund 19,448,255 5,000,000 Feeder Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,051,970,314 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 0

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2018-10-15
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
HAWKS, JOHN, CARNEY HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER/SENIOR ANALYST direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-01-01
DONALD E MORGAN III GRAT I LIMITED PARTNER 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
BAUKH, SIMON, MICHAEL SENIOR ANALYST 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2008-03-01
BRIGADE CAPITAL UK LLP MEMBER direct 2013-12-01
PARDON, DOUGLAS, CARROLL HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
FINNERAN, EDWARD, THOMAS SENIOR RELATIONSHIP MANAGER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF MARKETING direct 2008-06-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR RELATIONSHIP MANAGER direct 2008-06-01
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR OF MARKETING AND INVESTOR RELATIONS direct 2008-06-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) CO-PORTFOLIO MANAGER OF DISTRESSED 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
BRADY, ROBERT, JOSEPH DIRECTOR OF INSTITUTIONAL SALES 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF INSTITUTIONAL SALES direct 2014-01-01
ROSS, DYLAN, MARCH PELLETIER TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH TRADER & SENIOR RELATIONSHIP MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR, MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
MORGAN, DONALD, ELLIS TRUSTEE DONALD E. MORGAN III GRAT I 01/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE DEBT FUNDING II, LTD. Cayman Islands 805-9039601331 Securitized Asset Fund 83,097,000 0
BRIGADE ABS FUND I LTD Cayman Islands 805-8912559675 Hedge Fund 0 0 Master Fund
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 15,114,000 5,000,000 Feeder Fund
BRIGADE DEBT FUNDING I, LTD Cayman Islands 805-7217361270 Securitized Asset Fund 404,935,000 0
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 0
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,018,729,648 100,000
BRIGADE LEVERAGED CAPITAL STRUCTURES INSTITUTIONAL OFFSHORE LTD. Cayman Islands 805-2204901557 Hedge Fund 19,303,997 5,000,000 Feeder Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,276,304,152 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 0
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 136,537,107 0
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 0
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 0
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 0
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 0
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 202,391,652 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 135,225,859 10,000,000 Feeder Fund
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 477,343,982 10,000,000 Master Fund
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 108,739,978 113,000,000
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,619,059,958 0 Master Fund
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 339,610,388 5,000,000 Feeder Fund
KITTY HAWK OFFSHORE FUND LTD. Cayman Islands 805-6001219222 Hedge Fund 4,113,724 100,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,106,928,510 5,000,000 Feeder Fund
TASMAN FUND LP Cayman Islands 805-4132184146 Hedge Fund 32,991,101 0
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 1,343,047,342 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,981,464,427 0 Master Fund
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 0
KITTY HAWK OFFSHORE FUND II LTD. Cayman Islands 805-6740306891 Hedge Fund 5,880,002 100,000 Feeder Fund
KITTY HAWK MASTER FUND II LTD. Cayman Islands 805-1574057362 Hedge Fund 6,168,967 0 Master Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 0
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 390,211,614 250,000
KITTY HAWK ONSHORE FUND LP United States 805-4520453955 Hedge Fund 811,867 0
KITTY HAWK MASTER FUND LTD. Cayman Islands 805-9283254047 Hedge Fund 4,331,271 0 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 61,191,760 5,000,000 Feeder Fund
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 238,078,391 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 391,066,605 0
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 434,745,076 0
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 175,318,084 0
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 661,305,790 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 64,692,429 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,030,455,716 0 Master Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 388,447,761 0
BRIGADE EP FUND LP United States 805-2080303382 Private Equity Fund 136,713,020 0
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 155,861,651 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 650,308,136 0
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 0
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 15,218,000 0 Master Fund
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 495,211,452 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 494,204,580 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 163,668,471 5,000,000 Feeder Fund
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 406,685,682 0
BRIGADE ABS FUND I LP United States 805-8660414931 Hedge Fund 110,423,000 5,000,000 Feeder Fund
BATTALION CLO XIV LTD Cayman Islands 805-3163344011 Securitized Asset Fund 0 0
BATTALION CLO XIV LP United States 805-7789398976 Securitized Asset Fund 2,903,000 0

BRIGADE CAPITAL MANAGEMENT, LP

ownership team - last updated 2018-04-25
Name Title Start Date Direct/Indirect % Ownership
MORGAN, DONALD, ELLIS CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER 01/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
DIMINNI, ROSARIO, (NMN) CO-HEAD OF TRADING 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC HEAD OF TRADING direct 2007-01-01
HAWKS, JOHN, CARNEY HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS AND CO-PORTFOLIO MANAGER OF ENERGY direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER/SENIOR ANALYST direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF SPECIAL SITUATIONS direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-01-01
DONALD E MORGAN III GRAT I LIMITED PARTNER 01/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2007-01-01
BLEIER, STEVEN, AARON CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR TRADER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING AND CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CO-HEAD OF TRADING/HEAD OF STRUCTURED CREDIT direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC CO-HEAD OF TRADING direct 2011-01-01
VINCENT, STEVEN, PATRICK CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER direct 2009-01-01
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-01-01
BRIGADE CAPITAL SWITZERLAND AG GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER/CHIEF COMPLIANCE OFFICER direct 2011-04-01
LUIS, RAYMOND, (NMN) SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2009-08-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR VICE PRESIDENT, FINANCE/CHIEF ADMINISTRATIVE OFFICER direct 2009-08-01
BAUKH, SIMON, MICHAEL SENIOR ANALYST 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2008-03-01
BRIGADE CAPITAL UK LLP MEMBER direct 2013-12-01
PARDON, DOUGLAS, CARROLL HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH AND CO-PORTFOLIO MANAGER OF OPPORTUNISTIC/LONG-ONLY direct 2007-03-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF HIGH YIELD RESEARCH direct 2007-03-01
FINNERAN, EDWARD, THOMAS SENIOR RELATIONSHIP MANAGER 06/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF MARKETING direct 2008-06-01
BRIGADE CAPITAL MANAGEMENT, LP SENIOR RELATIONSHIP MANAGER direct 2008-06-01
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR OF MARKETING AND INVESTOR RELATIONS direct 2008-06-01
GARSON, RAYMOND, JOSEPH SENIOR ANALYST 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-06-01
KRSTICEVIC, IVAN, (NMN) CO-PORTFOLIO MANAGER OF DISTRESSED 09/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ANALYST direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP CO-PORTFOLIO MANAGER OF DISTRESSED direct 2009-09-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF DISTRESSED RESEARCH direct 2009-09-01
AMF-BCM FINANCE LLC LIMITED PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
SOEDER, GREGORY, ANDREW HEAD OF PORTFOLIO STRATEGY 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF PORTFOLIO STRATEGIES direct 2011-06-01
BRIGADE CAPITAL MANAGEMENT, LP HEAD OF PORTFOLIO STRATEGY direct 2011-06-01
HONNEUS, BRETT, WINSLOW CHIEF TECHNOLOGY & INFORMATION OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF TECHNOLOGY OFFICER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF TECHNOLOGY & INFORMATION OFFICER direct 2011-01-01
BRADY, ROBERT, JOSEPH DIRECTOR OF INSTITUTIONAL SALES 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC DIRECTOR OF INSTITUTIONAL SALES direct 2014-01-01
ROSS, DYLAN, MARCH PELLETIER TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC SENIOR ASSOCIATE direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-PORTFOLIO MANAGER OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LP TRADER/CO-HEAD OF STRUCTURED CREDIT direct 2014-01-01
BRIGADE CAPITAL MANAGEMENT, LLC TRADER direct 2014-01-01
DANIELS, AARON, MICHAEL CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL SWITZERLAND AG CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2014-02-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/ASSOCIATE GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL UK LLP CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2013-12-01
BRIGADE CAPITAL MANAGEMENT GP, LLC GENERAL PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC GENERAL PARTNER direct 2014-07-01
CRISCILLO, PATRICK, VINCENT CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUATTRO GLOBAL CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2004-10-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2016-01-01
WALKER, MICHAEL, JOSEPH TRADER & SENIOR RELATIONSHIP MANAGER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP TRADER & SENIOR RELATIONSHIP MANAGER direct 2018-01-01
BANERJEE, KUNAL, (NMN) SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
PERKAL, MATTHEW, HARRISON SENIOR ANALYST 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP SENIOR ANALYST direct 2018-01-01
TURILLI, JOSEPH, DUILIO DIRECTOR, MARKETING 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LP DIRECTOR, MARKETING direct 2018-01-01
MORGAN, DONALD, ELLIS TRUSTEE DONALD E. MORGAN III GRAT I 01/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02
ASSET MANAGEMENT FINANCE, LLC MEMBER AMF-BCM FINANCE LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
AMF ACQUISITION, LLC MEMBER ASSET MANAGEMENT FINANCE, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
ASSET MANAGEMENT FINANCE CORPORATION MEMBER AMF ACQUISITION, LLC 08/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP MEMBER indirect 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2011-01-01
BRIGADE CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
CREDIT SUISSE HOLDINGS (USA), INC. SHAREHOLDER ASSET MANAGEMENT FINANCE CORPORATION 08/01/2008 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 SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 12/01/1975 Indirect 75% or more
CREDIT SUISSE GROUP AG SHAREHOLDER CREDIT SUISSE 03/01/1982 Indirect 75% or more
MORGAN, DONALD, ELLIS MANAGING MEMBER BRIGADE CAPITAL MANAGEMENT GP, LLC 07/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRIGADE CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2007-01-01
BRIGADE CAPITAL MANAGEMENT, LP CHIEF INVESTMENT OFFICER, MANAGING PARTNER AND PORTFOLIO MANAGER direct 2007-01-01
BRIGADE CAPITAL SWITZERLAND AG MANAGING MEMBER indirect 2007-01-01
BRIGADE CAPITAL UK LLP SOLE DIRECTOR AND SHAREHOLDER (B ORDINARY) indirect 2013-12-01
BRIGADE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2014-07-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2000-02-01 2002-09-26
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-02-01 2005-11-10
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2007-01-01 2013-05-20
BRIGADE CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-01-01 2014-07-22
BRIGADE CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2007-01-01 2017-02-02

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BRIGADE CAVALRY FUND LP United States 805-8167983813 Hedge Fund 15,114,000 5,000,000 Feeder Fund
BRIGADE DEBT FUNDING I, LTD Cayman Islands 805-7217361270 Securitized Asset Fund 404,935,000 0
BATTALION CLO IV LLC United States 805-1417367249 Securitized Asset Fund 0 0
BRIGADE OPPORTUNISTIC CREDIT LBG FUND LTD. Cayman Islands 805-3048744565 Hedge Fund 1,018,729,648 100,000
BRIGADE LEVERAGED CAPITAL STRUCTURES INSTITUTIONAL OFFSHORE LTD. Cayman Islands 805-2204901557 Hedge Fund 19,303,997 5,000,000 Feeder Fund
BRIGADE CREDIT OFFSHORE FUND II LTD. Cayman Islands 805-8989761325 Hedge Fund 2,276,304,152 5,000,000 Feeder Fund
BATTALION CLO VI LLC United States 805-5438159540 Securitized Asset Fund 0 0
BATTALION CLO XII LTD. Cayman Islands 805-7346750691 Securitized Asset Fund 136,537,107 0
BATTALION CLO XI LLC United States 805-5414444899 Securitized Asset Fund 0 0
BATTALION CLO XII LLC United States 805-1063444198 Securitized Asset Fund 0 0
BATTALION CLO X LLC United States 805-7264786901 Securitized Asset Fund 0 0
BATTALION CLO VII LLC United States 805-6428031617 Securitized Asset Fund 0 0
BRIGADE ENERGY OPPORTUNITIES FUND II LP United States 805-9654197809 Private Equity Fund 202,391,652 10,000,000 Master Fund
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND LP Cayman Islands 805-5920820561 Private Equity Fund 135,225,859 10,000,000 Feeder Fund
BRIGADE ENERGY OPPORTUNITIES FUND LP United States 805-8811057530 Private Equity Fund 477,343,982 10,000,000 Master Fund
BRIGADE OPPORTUNISTIC CREDIT FUND - ICIP, LTD. Cayman Islands 805-3035179457 Hedge Fund 108,739,978 113,000,000
BATTALION CLO X LTD. Cayman Islands 805-4796944807 Securitized Asset Fund 406,685,682 0
BRIGADE LEVERAGED CAPITAL STRUCTURES OFFSHORE LTD. Cayman Islands 805-9293708147 Hedge Fund 1,106,928,510 5,000,000 Feeder Fund
BRIGADE CREDIT FUND II LTD. Cayman Islands 805-4413998589 Hedge Fund 2,619,059,958 0 Master Fund
BRIGADE CREDIT FUND II LP United States 805-7328393949 Hedge Fund 339,610,388 5,000,000 Feeder Fund
KITTY HAWK OFFSHORE FUND LTD. Cayman Islands 805-6001219222 Hedge Fund 4,113,724 100,000 Feeder Fund
TASMAN FUND LP Cayman Islands 805-4132184146 Hedge Fund 32,991,101 0
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LP United States 805-6381787092 Hedge Fund 1,343,047,342 5,000,000 Feeder Fund
BRIGADE LEVERAGED CAPITAL STRUCTURES FUND LTD. Cayman Islands 805-2248666346 Hedge Fund 2,981,464,427 0 Master Fund
BATTALION CLO VIII LLC United States 805-4984323060 Securitized Asset Fund 0 0
KITTY HAWK OFFSHORE FUND II LTD. Cayman Islands 805-6740306891 Hedge Fund 5,880,002 100,000 Feeder Fund
KITTY HAWK MASTER FUND II LTD. Cayman Islands 805-1574057362 Hedge Fund 6,168,967 0 Master Fund
BATTALION CLO IX LLC United States 805-7528687105 Securitized Asset Fund 0 0
BATTALION CLO IV LTD. Cayman Islands 805-4157872207 Securitized Asset Fund 390,211,614 250,000
KITTY HAWK ONSHORE FUND LP United States 805-4520453955 Hedge Fund 811,867 0
KITTY HAWK MASTER FUND LTD. Cayman Islands 805-9283254047 Hedge Fund 4,331,271 0 Master Fund
BRIGADE DISTRESSED VALUE FUND LP United States 805-4506416029 Hedge Fund 61,191,760 5,000,000 Feeder Fund
BRIGADE DISTRESSED VALUE MASTER FUND LTD. Cayman Islands 805-8562472602 Hedge Fund 238,078,391 0 Master Fund
BATTALION CLO V LTD. Cayman Islands 805-1854799127 Securitized Asset Fund 391,066,605 0
BATTALION CLO VI LTD. Cayman Islands 805-9853857271 Securitized Asset Fund 434,745,076 0
SC CREDIT OPPORTUNITIES MANDATE, LLC United States 805-5690717766 Hedge Fund 175,318,084 0
BRIGADE STRUCTURED CREDIT OFFSHORE FUND LTD. Cayman Islands 805-1750583848 Hedge Fund 661,305,790 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LP United States 805-9063039409 Hedge Fund 64,692,429 5,000,000 Feeder Fund
BRIGADE STRUCTURED CREDIT FUND LTD. Cayman Islands 805-2502668071 Hedge Fund 1,030,455,716 0 Master Fund
BATTALION CLO VII LTD. Cayman Islands 805-1259011192 Securitized Asset Fund 388,447,761 0
BRIGADE EP FUND LP United States 805-2080303382 Private Equity Fund 136,713,020 0
BRIGADE ENERGY OPPORTUNITIES OFFSHORE FUND II LP Cayman Islands 805-4576121737 Private Equity Fund 155,861,651 10,000,000 Feeder Fund
BATTALION CLO XI LTD. Cayman Islands 805-2313118988 Securitized Asset Fund 650,308,136 0
BATTALION CLO V LLC United States 805-9934044263 Securitized Asset Fund 0 0
BATTALION CLO VIII LTD. Cayman Islands 805-4346290431 Securitized Asset Fund 495,211,452 0
BATTALION CLO IX LTD. Cayman Islands 805-2867733176 Securitized Asset Fund 494,204,580 0
BRIGADE DISTRESSED VALUE OFFSHORE FUND LTD. Cayman Islands 805-6096926237 Hedge Fund 163,668,471 5,000,000 Feeder Fund
BRIGADE CAVALRY FUND LTD. Cayman Islands 805-2468843563 Hedge Fund 15,218,000 0 Master Fund

WhaleScore history for BRIGADE CAPITAL MANAGEMENT, LP

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