CAPSTONE INVESTMENT ADVISORS, LLC

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Capstone Investment Advisors is based out of New York. Capstone Investment Advisors is a large advisory firm with 26 clients and discretionary assets under management (AUM) of $43,279,531,406 (Form ADV from 2019-06-17). Their last reported 13F filing for Q2 2019 included $13,820,247,000 in managed 13F securities and a top 10 holdings concentration of 18.54%. Capstone Investment Advisors's largest holding is Apple Inc with shares held of 1,708,100. Whalewisdom has at least 49 13F filings, and 9 13G filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $13.82 Billion
  • Prior Market Value $10.866 Billion
  • New Purchases325 stocks
  • Additional Purchases827 stocks
  • Sold out of87 stocks
  • Reduced holdings in198 stocks
  • Top 10 Holdings % 18.54 %
  • Turnover % [1]:29.88%
  • Turnover Alt % [2]: 32.22 %
  • Time Held Top20:2.80 quarters
  • Time Held Top10:3.30 quarters
  • Time Held All:3.62 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -2.11%
Performance Last 4 Quarters: -0.75%
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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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CAPSTONE INVESTMENT ADVISORS, LLC
Classified as Hedge Fund
7 WORLD TRADE CENTER 250 GREENWICH STREET 30TH FL
NEW YORK NY    10007
Country: United States

Business Phone: 212-232-1420
Fax: 212-232-1421
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 138
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 26
Amount of client funds and securities by related persons: 43,279,500,000
Total Number of clients from related persons: 26
Disclosures: 11.D (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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CAPSTONE INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-06-17
Name Title Start Date Direct/Indirect % Ownership
BRITTON, PAUL, MATTHEW MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 03/01/2007 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2007-03-01
CAPSTONE INVESTMENT ADVISORS, LLC TRUSTEE indirect 2008-05-01
LUCAS, JOSEPH, JOHN PRESIDENT & CHIEF OPERATING OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
STARK & ROTH, INC. CHIEF FINANCIAL OFFICER direct 1995-10-01
STARK & ROTH, INC. CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES direct 1995-10-01
STARK & ROTH, INC. PRINCIPAL, CHIEF FINANCIAL OFFICER direct 1995-10-01
CAPSTONE INVESTMENT ADVISORS, LLC PRESIDENT & CHIEF OPERATING OFFICER direct 2011-01-01
DYAL CAPITAL PARTNERS (A), LP MEMBER 05/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
KORNOBIS, KEVIN, TYLER CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2018-01-01
TONELLI, MATTHEW, RAYMOND CHIEF RISK OFFICER 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF RISK OFFICER direct 2010-06-01
SETRIN, KATRINA, PAGLIA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2019-06-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP, DYAL OFFSHORE INVESTORS LP, DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-04-01
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-08-01
SCOPIA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2010-04-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A), LP 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC MANAGING MEMBER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
LEHMAN BROTHERS HOLDINGS INC. MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEHMAN BROTHERS INC. SOLE SHAREHOLDER direct 1988-05-01
LEHMAN BROTHERS FUTURES ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01
LEHMAN BROTHERS ASSET MANAGEMENT INC. SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LAMCO LLC SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC MEMBER direct 2001-03-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
NEUBERGER BERMAN ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2003-10-01
D.E. SHAW & CO., LLC SOLE MEMBER indirect 2006-11-01
SAGE PARTNERS LLC SOLE MEMBER direct 2008-08-01
EXECUTIVE MONETARY MANAGEMENT, INC. SOLE SHAREHOLDER direct 2008-08-01
NEUBERGER BERMAN INVESTMENT SERVICES, LLC MEMBER direct 2008-08-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-02-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01 2003-05-16
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
LEHMAN MAVERICK ADVISORS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
OSPRAIE MANAGEMENT, LLC SOLE MEMBER indirect 2005-04-01 2006-03-16
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-07-10
NEUBERGER BERMAN MANAGEMENT INC. SOLE SHAREHOLDER indirect 2003-10-01 2008-07-29
NEUBERGER BERMAN INVESTMENT SERVICES, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-09-15
EXECUTIVE MONETARY MANAGEMENT, INC. SOLD SHAREHOLDER indirect 2003-10-01 2009-01-14
SAGE PARTNERS LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-01-14
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-02-27
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC SOLE SHAREHOLDER direct 2002-12-01 2009-03-02
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC SOLE MEMBER direct 2001-03-01 2009-03-03
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01 2009-03-12
LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-09-01 2009-03-31
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01 2009-04-21
NEUBERGER BERMAN MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-04-29
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01 2009-07-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-02-01 2011-08-09
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP MEMBER direct 2001-03-01 2012-05-02
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP MEMBER direct 2001-03-01 2012-05-02
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2003-10-01 2013-03-28
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01 2013-03-28
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01 2013-05-21
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2003-10-01 2013-07-24
NEUBERGER BERMAN LLC MEMBER indirect 2003-10-01 2013-10-21
D. E. SHAW & CO., L.P. SOLE MEMBER indirect 2006-11-01 2013-11-18
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2003-10-01 2014-02-17
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01 2014-02-24
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-02-01 2014-08-25
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-02-01 2014-10-10
D. E. SHAW & CO., L.P. SOLE MEMBER, ARS HOLDINGS II LLC indirect 2006-11-01 2015-03-31
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KS-CAPSTONE FUND LIMITED Cayman Islands 805-1607199516 Hedge Fund 74,820,123 100,000
CAPSTONE PI SIGMA FUND (US) LP United States 805-2429890359 Hedge Fund 248,702 100,000
CAPSTONE DIVERSIFIED DYNAMIC ALPHA STRATEGY FUND, LLC United States 805-5929290259 Hedge Fund 212,393,752 5,000,000 Master Fund
CAPSTONE WDV FUND, LLC United States 805-6918935426 Hedge Fund 90,846,667 0
CPP-2012-1 FUND LIMITED Cayman Islands 805-6339094937 Hedge Fund 50,511,281 100,000
CAPSTONE PHI KAPPA FUND LTD. Cayman Islands 805-6729451263 Hedge Fund 71,214,894 25,000,000
CF CAPSTONE SPC FUND LTD - GEF SP Cayman Islands 805-1173329198 Hedge Fund 154,641,982 100,000
CAPSTONE DISPERSION MASTER FUND LTD. Cayman Islands 805-2056509073 Hedge Fund 1,250,725,522 1,000,000 Master Fund
CF CAPSTONE SPC FUND LTD - MSEI SP Cayman Islands 805-4894118499 Hedge Fund 27,428,316 100,000
CF CAPSTONE SPC FUND LTD - CFI SP Cayman Islands 805-3486700676 Hedge Fund 80,488,971 100,000
CF CAPSTONE SPC FUND LTD - MSEF SP Cayman Islands 805-4861695846 Hedge Fund 260,842,082 100,000
CAPSTONE FULL COURT PRESS LP United States 805-1582473878 Hedge Fund 232,644 100,000
CAPSTONE INCOME OPPORTUNITIES LTD. Cayman Islands 805-5728167724 Hedge Fund 235,838,810 100,000 Master Fund
CAPSTONE EQUITY REPLACEMENT MASTER FUND LTD. Cayman Islands 805-5300202721 Hedge Fund 277,366,629 5,000,000 Master Fund
CAPSTONE VOLATILITY MASTER (CAYMAN) LIMITED Cayman Islands 805-4412030448 Hedge Fund 38,804,158,846 1,000,000 Master Fund
CAPSTONE INCOME OPPORTUNITIES II LTD. Cayman Islands 805-9652948812 Hedge Fund 1,506,535,581 100,000
CPP-2019-1 FUND LIMITED Cayman Islands 805-7427192022 Hedge Fund 181,236,603 100,000

CAPSTONE INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BRITTON, PAUL, MATTHEW MANAGING MEMBER & CHIEF EXECUTIVE OFFICER 03/01/2007 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2007-03-01
CAPSTONE INVESTMENT ADVISORS, LLC TRUSTEE indirect 2008-05-01
LUCAS, JOSEPH, JOHN PRESIDENT & CHIEF OPERATING OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
STARK & ROTH, INC. CHIEF FINANCIAL OFFICER direct 1995-10-01
STARK & ROTH, INC. CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES direct 1995-10-01
STARK & ROTH, INC. PRINCIPAL, CHIEF FINANCIAL OFFICER direct 1995-10-01
CAPSTONE INVESTMENT ADVISORS, LLC PRESIDENT & CHIEF OPERATING OFFICER direct 2011-01-01
BENSLEY, ADAM, MICHAEL CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2012-03-01
DYAL CAPITAL PARTNERS (A), LP MEMBER 05/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
KORNOBIS, KEVIN, TYLER CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2018-01-01
TONELLI, MATTHEW, RAYMOND CHIEF RISK OFFICER 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF RISK OFFICER direct 2010-06-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP, DYAL OFFSHORE INVESTORS LP, DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-04-01
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-08-01
SCOPIA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2010-04-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A), LP 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC MANAGING MEMBER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
LEHMAN BROTHERS HOLDINGS INC. MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEHMAN BROTHERS INC. SOLE SHAREHOLDER direct 1988-05-01
LEHMAN BROTHERS FUTURES ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01
LEHMAN BROTHERS ASSET MANAGEMENT INC. SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LAMCO LLC SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC MEMBER direct 2001-03-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
NEUBERGER BERMAN ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2003-10-01
D.E. SHAW & CO., LLC SOLE MEMBER indirect 2006-11-01
SAGE PARTNERS LLC SOLE MEMBER direct 2008-08-01
EXECUTIVE MONETARY MANAGEMENT, INC. SOLE SHAREHOLDER direct 2008-08-01
NEUBERGER BERMAN INVESTMENT SERVICES, LLC MEMBER direct 2008-08-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-02-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01 2003-05-16
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
LEHMAN MAVERICK ADVISORS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
OSPRAIE MANAGEMENT, LLC SOLE MEMBER indirect 2005-04-01 2006-03-16
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-07-10
NEUBERGER BERMAN MANAGEMENT INC. SOLE SHAREHOLDER indirect 2003-10-01 2008-07-29
NEUBERGER BERMAN INVESTMENT SERVICES, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-09-15
EXECUTIVE MONETARY MANAGEMENT, INC. SOLD SHAREHOLDER indirect 2003-10-01 2009-01-14
SAGE PARTNERS LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-01-14
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-02-27
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC SOLE SHAREHOLDER direct 2002-12-01 2009-03-02
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC SOLE MEMBER direct 2001-03-01 2009-03-03
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01 2009-03-12
LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-09-01 2009-03-31
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01 2009-04-21
NEUBERGER BERMAN MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-04-29
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01 2009-07-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-02-01 2011-08-09
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP MEMBER direct 2001-03-01 2012-05-02
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP MEMBER direct 2001-03-01 2012-05-02
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2003-10-01 2013-03-28
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01 2013-03-28
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01 2013-05-21
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2003-10-01 2013-07-24
NEUBERGER BERMAN LLC MEMBER indirect 2003-10-01 2013-10-21
D. E. SHAW & CO., L.P. SOLE MEMBER indirect 2006-11-01 2013-11-18
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2003-10-01 2014-02-17
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01 2014-02-24
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-02-01 2014-08-25
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-02-01 2014-10-10
D. E. SHAW & CO., L.P. SOLE MEMBER, ARS HOLDINGS II LLC indirect 2006-11-01 2015-03-31
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CF CAPSTONE SPC FUND LTD - MSEI SP Cayman Islands 805-4894118499 Hedge Fund 28,008,614 100,000
CF CAPSTONE SPC FUND LTD - CFI SP Cayman Islands 805-3486700676 Hedge Fund 83,635,024 100,000
CF CAPSTONE SPC FUND LTD - MSEF SP Cayman Islands 805-4861695846 Hedge Fund 280,649,958 100,000
CAPSTONE FULL COURT PRESS LP United States 805-1582473878 Hedge Fund 66,940,945 100,000
CAPSTONE INCOME OPPORTUNITIES LTD. Cayman Islands 805-5728167724 Hedge Fund 205,716,200 100,000 Master Fund
CAPSTONE VOLATILITY MASTER (CAYMAN) LIMITED Cayman Islands 805-4412030448 Hedge Fund 59,810,944,719 1,000,000 Master Fund
CAPSTONE INCOME OPPORTUNITIES II LTD. Cayman Islands 805-9652948812 Hedge Fund 1,184,378,886 100,000
CAPSTONE EQUITY REPLACEMENT MASTER FUND LTD. Cayman Islands 805-5300202721 Hedge Fund 252,398,592 5,000,000 Master Fund
KS-CAPSTONE FUND LIMITED Cayman Islands 805-1607199516 Hedge Fund 80,935,654 100,000
CAPSTONE PI SIGMA FUND (US) LP United States 805-2429890359 Hedge Fund 132,357,997 100,000
CAPSTONE DIVERSIFIED DYNAMIC ALPHA STRATEGY FUND, LLC United States 805-5929290259 Hedge Fund 376,942,675 5,000,000 Master Fund
CAPSTONE WDV FUND, LLC United States 805-6918935426 Hedge Fund 122,180,771 0
CPP-2012-1 FUND LIMITED Cayman Islands 805-6339094937 Hedge Fund 57,035,162 100,000
CAPSTONE PHI KAPPA FUND LTD. Cayman Islands 805-6729451263 Hedge Fund 80,935,654 25,000,000
CF CAPSTONE SPC FUND LTD - GEF SP Cayman Islands 805-1173329198 Hedge Fund 173,609,661 100,000
CAPSTONE DISPERSION MASTER FUND LTD. Cayman Islands 805-2056509073 Hedge Fund 763,020,892 1,000,000 Master Fund

CAPSTONE INVESTMENT ADVISORS, LLC

ownership team - last updated 2018-11-30
Name Title Start Date Direct/Indirect % Ownership
BRITTON, PAUL, MATTHEW MANAGER & CHIEF EXECUTIVE OFFICER 03/01/2007 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2007-03-01
CAPSTONE INVESTMENT ADVISORS, LLC TRUSTEE indirect 2008-05-01
LUCAS, JOSEPH, JOHN PRESIDENT & CHIEF OPERATING OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
STARK & ROTH, INC. CHIEF FINANCIAL OFFICER direct 1995-10-01
STARK & ROTH, INC. CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES direct 1995-10-01
STARK & ROTH, INC. PRINCIPAL, CHIEF FINANCIAL OFFICER direct 1995-10-01
CAPSTONE INVESTMENT ADVISORS, LLC PRESIDENT & CHIEF OPERATING OFFICER direct 2011-01-01
BENSLEY, ADAM, MICHAEL CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2012-03-01
DYAL CAPITAL PARTNERS (A), LP MEMBER 05/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
KORNOBIS, KEVIN, TYLER CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2018-01-01
TONELLI, MATTHEW, RAYMOND CHIEF RISK OFFICER 06/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF RISK OFFICER direct 2010-06-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP, DYAL OFFSHORE INVESTORS LP, DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-04-01
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-08-01
SCOPIA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2010-04-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A), LP 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC MANAGING MEMBER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
LEHMAN BROTHERS HOLDINGS INC. MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEHMAN BROTHERS INC. SOLE SHAREHOLDER direct 1988-05-01
LEHMAN BROTHERS FUTURES ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01
LEHMAN BROTHERS ASSET MANAGEMENT INC. SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LAMCO LLC SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC MEMBER direct 2001-03-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
NEUBERGER BERMAN ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2003-10-01
D.E. SHAW & CO., LLC SOLE MEMBER indirect 2006-11-01
SAGE PARTNERS LLC SOLE MEMBER direct 2008-08-01
EXECUTIVE MONETARY MANAGEMENT, INC. SOLE SHAREHOLDER direct 2008-08-01
NEUBERGER BERMAN INVESTMENT SERVICES, LLC MEMBER direct 2008-08-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-02-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01 2003-05-16
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
LEHMAN MAVERICK ADVISORS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
OSPRAIE MANAGEMENT, LLC SOLE MEMBER indirect 2005-04-01 2006-03-16
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-07-10
NEUBERGER BERMAN MANAGEMENT INC. SOLE SHAREHOLDER indirect 2003-10-01 2008-07-29
NEUBERGER BERMAN INVESTMENT SERVICES, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-09-15
EXECUTIVE MONETARY MANAGEMENT, INC. SOLD SHAREHOLDER indirect 2003-10-01 2009-01-14
SAGE PARTNERS LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-01-14
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-02-27
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC SOLE SHAREHOLDER direct 2002-12-01 2009-03-02
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC SOLE MEMBER direct 2001-03-01 2009-03-03
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01 2009-03-12
LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-09-01 2009-03-31
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01 2009-04-21
NEUBERGER BERMAN MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-04-29
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01 2009-07-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-02-01 2011-08-09
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP MEMBER direct 2001-03-01 2012-05-02
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP MEMBER direct 2001-03-01 2012-05-02
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2003-10-01 2013-03-28
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01 2013-03-28
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01 2013-05-21
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2003-10-01 2013-07-24
NEUBERGER BERMAN LLC MEMBER indirect 2003-10-01 2013-10-21
D. E. SHAW & CO., L.P. SOLE MEMBER indirect 2006-11-01 2013-11-18
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2003-10-01 2014-02-17
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01 2014-02-24
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-02-01 2014-08-25
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-02-01 2014-10-10
D. E. SHAW & CO., L.P. SOLE MEMBER, ARS HOLDINGS II LLC indirect 2006-11-01 2015-03-31
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CF CAPSTONE SPC FUND LTD - MSEI SP Cayman Islands 805-4894118499 Hedge Fund 42,360,748 100,000
CF CAPSTONE SPC FUND LTD - CFI SP Cayman Islands 805-3486700676 Hedge Fund 110,198,051 100,000
CF CAPSTONE SPC FUND LTD - MSEF SP Cayman Islands 805-4861695846 Hedge Fund 356,533,134 100,000
CAPSTONE GATEWAY FUND (E) LTD. Cayman Islands 805-8767623114 Hedge Fund 83,771,310 100,000
CAPSTONE FULL COURT PRESS LP United States 805-1582473878 Hedge Fund 79,546,441 100,000
CAPSTONE INCOME OPPORTUNITIES LTD. Cayman Islands 805-5728167724 Hedge Fund 250,043,590 100,000 Master Fund
CAPSTONE VOLATILITY MASTER (CAYMAN) LIMITED Cayman Islands 805-4412030448 Hedge Fund 56,020,055,925 1,000,000 Master Fund
CAPSTONE INCOME OPPORTUNITIES II LTD. Cayman Islands 805-9652948812 Hedge Fund 1,352,370,185 100,000
CAPSTONE EQUITY REPLACEMENT MASTER FUND LTD. Cayman Islands 805-5300202721 Hedge Fund 406,802,360 5,000,000 Master Fund
KS-CAPSTONE FUND LIMITED Cayman Islands 805-1607199516 Hedge Fund 80,780,314 100,000
CAPSTONE PI SIGMA FUND (US) LP United States 805-2429890359 Hedge Fund 147,652,951 100,000
CAPSTONE ASFA LTD. Cayman Islands 805-8189150150 Hedge Fund 42,394,742 100,000
CAPSTONE DIVERSIFIED DYNAMIC ALPHA FUND, LLC United States 805-5929290259 Hedge Fund 699,111,920 5,000,000 Master Fund
CAPSTONE WDV FUND, LLC United States 805-6918935426 Hedge Fund 139,656,081 0
CPP-2012-1 FUND LIMITED Cayman Islands 805-6339094937 Hedge Fund 69,238,201 100,000
CAPSTONE PHI KAPPA FUND LTD. Cayman Islands 805-6729451263 Hedge Fund 111,267,999 25,000,000
CAPSTONE GATEWAY FUND (B) LTD. Cayman Islands 805-8082394638 Hedge Fund 164,553,938 100,000
CF CAPSTONE SPC FUND LTD - GEF SP Cayman Islands 805-1173329198 Hedge Fund 278,998,126 100,000
CAPSTONE DISPERSION MASTER FUND LTD. Cayman Islands 805-2056509073 Hedge Fund 251,799,402 1,000,000 Master Fund

CAPSTONE INVESTMENT ADVISORS, LLC

ownership team - last updated 2017-08-03
Name Title Start Date Direct/Indirect % Ownership
DYAL CAPITAL PARTNERS (A), LP MEMBER 05/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
BENSLEY, ADAM, MICHAEL CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2012-03-01
LUCAS, JOSEPH, JOHN PRESIDENT & CHIEF OPERATING OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
STARK & ROTH, INC. CHIEF FINANCIAL OFFICER direct 1995-10-01
STARK & ROTH, INC. CFO OR COMPARABLE ROLE FOR ALL ADVISORY AFFILIATES direct 1995-10-01
STARK & ROTH, INC. PRINCIPAL, CHIEF FINANCIAL OFFICER direct 1995-10-01
CAPSTONE INVESTMENT ADVISORS, LLC PRESIDENT & CHIEF OPERATING OFFICER direct 2011-01-01
BRITTON, PAUL, MATTHEW MANAGER & CHIEF EXECUTIVE OFFICER 03/01/2007 Direct 75% or more
Fund Name Position direct/indirect start date end date
CAPSTONE INVESTMENT ADVISORS, LLC MANAGER & CHIEF EXECUTIVE OFFICER direct 2007-03-01
CAPSTONE INVESTMENT ADVISORS, LLC TRUSTEE indirect 2008-05-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
LEHMAN BROTHERS HOLDINGS INC. MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LEHMAN BROTHERS INC. SOLE SHAREHOLDER direct 1988-05-01
LEHMAN BROTHERS FUTURES ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01
LEHMAN BROTHERS ASSET MANAGEMENT INC. SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LAMCO LLC SOLE SHAREHOLDER OF APPLICANT direct 1992-07-01
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC MEMBER direct 2001-03-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
NEUBERGER BERMAN ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP SOLE MEMBER indirect 2003-10-01
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP SOLE MEMBER indirect 2003-10-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2003-10-01
D.E. SHAW & CO., LLC SOLE MEMBER indirect 2006-11-01
SAGE PARTNERS LLC SOLE MEMBER direct 2008-08-01
EXECUTIVE MONETARY MANAGEMENT, INC. SOLE SHAREHOLDER direct 2008-08-01
NEUBERGER BERMAN INVESTMENT SERVICES, LLC MEMBER direct 2008-08-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-02-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY SOLE SHAREHOLDER indirect 1992-07-01 2003-05-16
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
LEHMAN MAVERICK ADVISORS I, LLC SOLE MEMBER direct 2003-01-01 2003-06-09
OSPRAIE MANAGEMENT, LLC SOLE MEMBER indirect 2005-04-01 2006-03-16
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-07-10
NEUBERGER BERMAN MANAGEMENT INC. SOLE SHAREHOLDER indirect 2003-10-01 2008-07-29
NEUBERGER BERMAN INVESTMENT SERVICES, LLC SOLE SHAREHOLDER indirect 2003-10-01 2008-09-15
EXECUTIVE MONETARY MANAGEMENT, INC. SOLD SHAREHOLDER indirect 2003-10-01 2009-01-14
SAGE PARTNERS LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-01-14
NEUBERGER BERMAN, LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-02-27
LINCOLN CAPITAL FIXED INCOME MANAGEMENT COMPANY, LLC SOLE SHAREHOLDER direct 2002-12-01 2009-03-02
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC SOLE MEMBER direct 2001-03-01 2009-03-03
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01 2009-03-12
LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-09-01 2009-03-31
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01 2009-04-21
NEUBERGER BERMAN MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-10-01 2009-04-29
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01 2009-07-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-02-01 2011-08-09
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP MEMBER direct 2001-03-01 2012-05-02
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP MEMBER direct 2001-03-01 2012-05-02
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2003-10-01 2013-03-28
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01 2013-03-28
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01 2013-05-21
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2003-10-01 2013-07-24
NEUBERGER BERMAN LLC MEMBER indirect 2003-10-01 2013-10-21
D. E. SHAW & CO., L.P. SOLE MEMBER indirect 2006-11-01 2013-11-18
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2003-10-01 2014-02-17
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01 2014-02-24
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-02-01 2014-08-25
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-02-01 2014-10-10
D. E. SHAW & CO., L.P. SOLE MEMBER, ARS HOLDINGS II LLC indirect 2006-11-01 2015-03-31
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB DYAL GP HOLDINGS LLC MANAGING MEMBER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A), LP 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP, DYAL OFFSHORE INVESTORS LP, DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-04-01
MKP CAPITAL MANAGEMENT, L.L.C. GENERAL PARTNER indirect 2010-08-01
SCOPIA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC GENERAL PARTNER indirect 2010-04-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CAPSTONE INCOME OPPORTUNITIES LTD. Cayman Islands 805-5728167724 Hedge Fund 165,973,170 100,000 Master Fund
CAPSTONE VOLATILITY MASTER (CAYMAN) LIMITED Cayman Islands 805-4412030448 Hedge Fund 28,366,930,912 1,000,000 Master Fund
CAPSTONE INCOME OPPORTUNITIES II LTD. Cayman Islands 805-9652948812 Hedge Fund 889,159,006 100,000
CF CAPSTONE FUND LIMITED Cayman Islands 805-4471805245 Hedge Fund 433,758,219 1,000,000
CAPSTONE EQUITY REPLACEMENT MASTER FUND LTD. Cayman Islands 805-5300202721 Hedge Fund 314,325,870 5,000,000 Master Fund
KS-CAPSTONE FUND LIMITED Cayman Islands 805-1607199516 Hedge Fund 57,802,789 100,000
CAPSTONE PI SIGMA FUND (US) LP United States 805-2429890359 Hedge Fund 84,670,804 100,000
CAPSTONE ASFA LTD. Cayman Islands 805-8189150150 Hedge Fund 29,677,096 100,000
CPP-2012-1 FUND LIMITED Cayman Islands 805-6339094937 Hedge Fund 27,176,480 100,000
BLENHEIM COMMODITY FUND, LLC United States 805-5183835159 Hedge Fund 15,615,389 5,000,000 Master Fund Feeder Fund Fund of Funds
CF CAPSTONE GLOBAL EQUITY FUND LIMITED Cayman Islands 805-7503422827 Hedge Fund 251,751,368 1,000,000
CAPSTONE DIVERSIFIED DYNAMIC ALPHA FUND, LLC United States 805-5929290259 Hedge Fund 573,148,437 5,000,000 Master Fund

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