CARLSON CAPITAL L P

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Carlson Capital L P is based out of Dallas. Carlson Capital L P is a hedge fund with 25 clients and discretionary assets under management (AUM) of $7,700,525,210 (Form ADV from 2021-04-21). Their last reported 13F filing for Q1 2021 included $2,687,229,000 in managed 13F securities and a top 10 holdings concentration of 35.75%. Carlson Capital L P's largest holding is SWK Holdings Corp with shares held of 9,093,766. Carlson Capital L P has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 86 13F filings, 107 13D filings, and 61 13G filings

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03/31/2021

13F Activity

  • Market Value $2.687 Billion
  • Prior Market Value $2.806 Billion
  • New Purchases74 stocks
  • Additional Purchases27 stocks
  • Sold out of57 stocks
  • Reduced holdings in65 stocks
  • Top 10 Holdings % 35.75 %
  • Turnover % [1]:77.51%
  • Turnover Alt % [2]: 40.17 %
  • Time Held Top20:1.40 quarters
  • Time Held Top10:1.40 quarters
  • Time Held All:3.02 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17

Performance for Q1 2021: 10.9%
Performance Last 4 Quarters: 46.97%
Performance Metrics
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Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

CARLSON CAPITAL, L.P.
Classified as Hedge Fund
2100 MCKINNEY AVE SUITE 1800
DALLAS TX    75201
Country: United States
Business Phone: 214-932-9600
Fax: 214-932-9712
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 95
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: 4,454,180,000
Total Number of Clients: 25
Amount of client funds and securities by related persons: 4,454,180,000
Total Number of clients from related persons: 15
Disclosures: 11.D (2)
Data above was derived from SEC filings.

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CARLSON CAPITAL, L.P.

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
CARLSON, NANCY, PACKER LIMITED PARTNER 08/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. LIMITED PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON OFFSHORE ADVISORS, L.P. LIMITED PARTNER direct 1997-09-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
CARLSON, CLINT, DUANE PRESIDENT, CHIEF INVESTMENT OFFICER 08/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ALPAR, LYNNE, BREEN CHIEF FINANCIAL OFFICER, LIMITED PARTNER 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1993-11-01
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1997-09-01
ASGARD INVESTMENT CORP. II GENERAL PARTNER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 2010-10-01
BRUCCHIERI, JOSEPH, ANTHONY CHIEF OPERATING OFFICER AND CHIEF LEGAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OZ MANAGEMENT LP CHIEF EXECUTIVE OFFICER OF OCH-ZIFF MANAGEMENT EUROPE LIMITED ONLY direct 2015-10-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2017-02-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER direct 2017-02-01
UMAYAM, MICHAEL, ARTHUR CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2017-06-01
CARLSON, CLINT, DUANE SOLE SHAREHOLDER/DIRECTOR ASGARD INVESTMENT CORP. 06/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ASGARD INVESTMENT CORP. SOLE SHAREHOLDER ASGARD INVESTMENT CORP. II 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL PARTNER direct 2001-06-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER indirect 2010-10-01
CARLSON OFFSHORE ADVISORS, L.P. GENERAL PARTNER direct 1997-09-01 2010-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 389 1,000,000 Feeder Fund
CATHEDRAL LAKE VI, LTD. Cayman Islands 805-7475257981 Other Private Fund VEHICLE FOR INTENDED FUTURE SECURITIZED ASSET FUND. 37,005,093
DOUBLE BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-4827598450 Hedge Fund 16,827,533 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 176,602 5,000,000 Feeder Fund
BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-3961496236 Hedge Fund 354,349 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 22,488,547 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 1,709,355 1,000,000 Feeder Fund
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 410,637,420 1,000,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Securitized Asset Fund 383,637,416 100,000
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Securitized Asset Fund 383,627,333 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 1,259,647,429 1,000,000 Master Fund
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 8,877,812 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 1,863,485,496 5,000,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 35,905 5,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Securitized Asset Fund 433,128,289 250,000
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 517,884,755 5,000,000 Master Fund
CATHEDRAL LAKE III, LTD. Cayman Islands 805-7045088371 Securitized Asset Fund 385,708,391 100,000
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 1,196,072 1,000,000 Feeder Fund
CATHEDRAL LAKE V, LTD. Cayman Islands 805-9473059053 Securitized Asset Fund 377,947,436 100,000
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 4,500 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 350,834,730 5,000,000

CARLSON CAPITAL, L.P.

ownership team - last updated 2020-09-10
Name Title Start Date Direct/Indirect % Ownership
CARLSON, CLINT, DUANE PRESIDENT, CHIEF INVESTMENT OFFICER 08/01/1993 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ALPAR, LYNNE, BREEN CHIEF FINANCIAL OFFICER, LIMITED PARTNER 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1993-11-01
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1997-09-01
CARLSON, NANCY, PACKER LIMITED PARTNER 08/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. LIMITED PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON OFFSHORE ADVISORS, L.P. LIMITED PARTNER direct 1997-09-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
ASGARD INVESTMENT CORP. II GENERAL PARTNER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 2010-10-01
BRUCCHIERI, JOSEPH, ANTHONY CHIEF OPERATING OFFICER AND CHIEF LEGAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OZ MANAGEMENT LP CHIEF EXECUTIVE OFFICER OF OCH-ZIFF MANAGEMENT EUROPE LIMITED ONLY direct 2015-10-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2017-02-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER direct 2017-02-01
UMAYAM, MICHAEL, ARTHUR CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2017-06-01
CARLSON, CLINT, DUANE SOLE SHAREHOLDER/DIRECTOR ASGARD INVESTMENT CORP. 06/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ASGARD INVESTMENT CORP. SOLE SHAREHOLDER ASGARD INVESTMENT CORP. II 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL PARTNER direct 2001-06-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER indirect 2010-10-01
CARLSON OFFSHORE ADVISORS, L.P. GENERAL PARTNER direct 1997-09-01 2010-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND THEMATIC OFFSHORE LTD. Cayman Islands 805-1396384685 Hedge Fund 144,149,801 1,000,000 Master Fund
CATHEDRAL LAKE III, LTD. Cayman Islands 805-7045088371 Securitized Asset Fund 396,765,508 100,000
BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-3961496236 Hedge Fund 845,347 1,000,000 Feeder Fund
BLACK DIAMOND THEMATIC, L.P. United States 805-2072308515 Hedge Fund 61,483 1,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 5,759,708 1,000,000 Feeder Fund
CATHEDRAL LAKE V, LTD. Cayman Islands 805-9473059053 Securitized Asset Fund 393,109,185 100,000
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 4,484 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 327,013,975 5,000,000
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 388 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-4827598450 Hedge Fund 49,715,690 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 144,284 5,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 44,355,450 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 185,746 1,000,000 Feeder Fund
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 1,071,309,820 1,000,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Securitized Asset Fund 394,401,793 100,000
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Securitized Asset Fund 394,012,982 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 1,075,222,113 1,000,000 Master Fund
BLACK DIAMOND THEMATIC LTD. Cayman Islands 805-2118136890 Hedge Fund 53,950 1,000,000 Feeder Fund
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 11,747,895 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 5,854,437,524 5,000,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 87,158 5,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Securitized Asset Fund 443,850,570 250,000
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 822,086,620 5,000,000 Master Fund

CARLSON CAPITAL, L.P.

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND THEMATIC OFFSHORE LTD. Cayman Islands 805-1396384685 Hedge Fund 144,149,801 1,000,000 Master Fund
CATHEDRAL LAKE III, LTD. Cayman Islands 805-7045088371 Securitized Asset Fund 396,765,508 100,000
BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-3961496236 Hedge Fund 845,347 1,000,000 Feeder Fund
BLACK DIAMOND THEMATIC, L.P. United States 805-2072308515 Hedge Fund 61,483 1,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 5,759,708 1,000,000 Feeder Fund
CATHEDRAL LAKE V, LTD. Cayman Islands 805-9473059053 Securitized Asset Fund 393,109,185 100,000
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 4,484 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 327,013,975 5,000,000
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 388 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-4827598450 Hedge Fund 49,715,690 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 144,284 5,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 44,355,450 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 185,746 1,000,000 Feeder Fund
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 1,071,309,820 1,000,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Securitized Asset Fund 394,401,793 100,000
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Securitized Asset Fund 394,012,982 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 1,075,222,113 1,000,000 Master Fund
BLACK DIAMOND THEMATIC LTD. Cayman Islands 805-2118136890 Hedge Fund 53,950 1,000,000 Feeder Fund
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 11,747,895 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 5,854,437,524 5,000,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 87,158 5,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Securitized Asset Fund 443,850,570 250,000
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 822,086,620 5,000,000 Master Fund

CARLSON CAPITAL, L.P.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CARLSON, CLINT, DUANE PRESIDENT, CHIEF INVESTMENT OFFICER 08/01/1993 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ALPAR, LYNNE, BREEN CHIEF FINANCIAL OFFICER, LIMITED PARTNER 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1993-11-01
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1997-09-01
CARLSON, NANCY, PACKER LIMITED PARTNER 08/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. LIMITED PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON OFFSHORE ADVISORS, L.P. LIMITED PARTNER direct 1997-09-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
ASGARD INVESTMENT CORP. II GENERAL PARTNER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 2010-10-01
BRUCCHIERI, JOSEPH, ANTHONY CHIEF LEGAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OZ MANAGEMENT LP CHIEF EXECUTIVE OFFICER OF OCH-ZIFF MANAGEMENT EUROPE LIMITED ONLY direct 2015-10-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2017-02-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER direct 2017-02-01
UMAYAM, MICHAEL, ARTHUR CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2017-06-01
CARLSON, CLINT, DUANE SOLE SHAREHOLDER/DIRECTOR ASGARD INVESTMENT CORP. 06/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ASGARD INVESTMENT CORP. SOLE SHAREHOLDER ASGARD INVESTMENT CORP. II 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL PARTNER direct 2001-06-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER indirect 2010-10-01
CARLSON OFFSHORE ADVISORS, L.P. GENERAL PARTNER direct 1997-09-01 2010-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-3961496236 Hedge Fund 1,504,352 1,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 4,544,827 1,000,000 Feeder Fund
CATHEDRAL LAKE V, LTD. Cayman Islands 805-9473059053 Securitized Asset Fund 389,434,757 100,000
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 15,004,375 5,000,000 Feeder Fund
BLACK DIAMOND THEMATIC, L.P. United States 805-2072308515 Hedge Fund 100,277 1,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Securitized Asset Fund 433,452,151 250,000
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 379 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-4827598450 Hedge Fund 68,934,966 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 46,097 5,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 69,452,379 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 11,490,403 1,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 357,110,066 5,000,000
BLACK DIAMOND MORTGAGE OPPORTUNITY OFFSHORE II, LTD. Cayman Islands 805-8438751288 Hedge Fund 291,608,280 1,000,000
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 1,211,823,147 1,000,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Securitized Asset Fund 385,989,632 100,000
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Securitized Asset Fund 384,546,800 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 909,159,216 1,000,000 Master Fund
BLACK DIAMOND THEMATIC LTD. Cayman Islands 805-2118136890 Hedge Fund 101,730 1,000,000 Feeder Fund
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 14,438,147 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 8,365,421,833 5,000,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 31,856 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 1,024,960,578 5,000,000 Master Fund
CATHEDRAL LAKE III, LTD. Cayman Islands 805-7045088371 Securitized Asset Fund 387,767,138 100,000
BLACK DIAMOND THEMATIC OFFSHORE LTD. Cayman Islands 805-1396384685 Hedge Fund 1,067,594,927 1,000,000 Master Fund

CARLSON CAPITAL, L.P.

ownership team - last updated 2018-10-01
Name Title Start Date Direct/Indirect % Ownership
CARLSON, CLINT, DUANE PRESIDENT, CHIEF INVESTMENT OFFICER 08/01/1993 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ALPAR, LYNNE, BREEN CHIEF FINANCIAL OFFICER, LIMITED PARTNER 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1993-11-01
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1997-09-01
CARLSON, NANCY, PACKER LIMITED PARTNER 08/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. LIMITED PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON OFFSHORE ADVISORS, L.P. LIMITED PARTNER direct 1997-09-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
ASGARD INVESTMENT CORP. II GENERAL PARTNER 05/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 2010-10-01
BRUCCHIERI, JOSEPH, ANTHONY CHIEF LEGAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OZ MANAGEMENT LP CHIEF EXECUTIVE OFFICER OF OCH-ZIFF MANAGEMENT EUROPE LIMITED ONLY direct 2015-10-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2017-02-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER direct 2017-02-01
WEINBERG, MICHAEL, DAVID CHIEF OPERATING OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/MANAGING DIRECTOR direct 2001-06-01
CARLSON CAPITAL, L.P. CHIEF OPERATING OFFICER direct 2016-01-01
UMAYAM, MICHAEL, ARTHUR CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2017-06-01
CARLSON, CLINT, DUANE SOLE SHAREHOLDER/DIRECTOR ASGARD INVESTMENT CORP. 06/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ASGARD INVESTMENT CORP. SOLE SHAREHOLDER ASGARD INVESTMENT CORP. II 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL PARTNER direct 2001-06-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER indirect 2010-10-01
CARLSON OFFSHORE ADVISORS, L.P. GENERAL PARTNER direct 1997-09-01 2010-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 295,061 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 4,295 5,000,000 Feeder Fund
BLACK DIAMOND THEMATIC, L.P. United States 805-2072308515 Hedge Fund 50,291 1,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Securitized Asset Fund 450,943,564 250,000
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 2,126,266 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND INTERMEDIATE LTD. Cayman Islands 805-4827598450 Hedge Fund 85,461,065 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 34,227 5,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 100,394,851 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 19,433,599 1,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 285,809,736 5,000,000
BLACK DIAMOND MORTGAGE OPPORTUNITY OFFSHORE II, LTD. Cayman Islands 805-8438751288 Hedge Fund 744,408,635 1,000,000 Master Fund
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 1,193,258,270 1,000,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Securitized Asset Fund 402,584,010 100,000
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 14,970,683 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 10,157,622,907 5,000,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 43,744 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 1,209,757,230 5,000,000 Master Fund
CATHEDRAL LAKE III, LTD. Cayman Islands 805-7045088371 Securitized Asset Fund 404,035,952 100,000
BLACK DIAMOND THEMATIC OFFSHORE LTD. Cayman Islands 805-1396384685 Hedge Fund 1,550,416,311 1,000,000 Master Fund
BLACK DIAMOND MORTGAGE OPPORTUNITY II, L.P. United States 805-7480399821 Hedge Fund 930 1,000,000 Feeder Fund
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Securitized Asset Fund 401,000,497 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 353,961,579 1,000,000 Master Fund
BLACK DIAMOND THEMATIC LTD. Cayman Islands 805-2118136890 Hedge Fund 36,914 1,000,000 Feeder Fund

CARLSON CAPITAL, L.P.

ownership team - last updated 2017-08-03
Name Title Start Date Direct/Indirect % Ownership
UMAYAM, MICHAEL, ARTHUR CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2017-06-01
WEINBERG, MICHAEL, DAVID CHIEF OPERATING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/MANAGING DIRECTOR direct 2001-06-01
CARLSON CAPITAL, L.P. CHIEF OPERATING OFFICER direct 2016-01-01
BRUCCHIERI, JOSEPH, ANTHONY CHIEF LEGAL OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OZ MANAGEMENT LP CHIEF EXECUTIVE OFFICER OF OCH-ZIFF MANAGEMENT EUROPE LIMITED ONLY direct 2015-10-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2017-02-01
CARLSON CAPITAL, L.P. CHIEF LEGAL OFFICER direct 2017-02-01
ASGARD INVESTMENT CORP. II GENERAL PARTNER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 2010-10-01
CARLSON, NANCY, PACKER LIMITED PARTNER 09/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. LIMITED PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON OFFSHORE ADVISORS, L.P. LIMITED PARTNER direct 1997-09-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
ALPAR, LYNNE, BREEN CHIEF FINANCIAL OFFICER 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1993-11-01
CARLSON CAPITAL, L.P. CHIEF FINANCIAL OFFICER direct 1997-09-01
CARLSON, CLINT, DUANE PRESIDENT, CHIEF INVESTMENT OFFICER 09/01/1997 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03
ASGARD INVESTMENT CORP. SOLE SHAREHOLDER ASGARD INVESTMENT CORP. II 10/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON CAPITAL, L.P. GENERAL PARTNER direct 1993-07-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL PARTNER direct 2001-06-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER indirect 2010-10-01
CARLSON OFFSHORE ADVISORS, L.P. GENERAL PARTNER direct 1997-09-01 2010-03-31
CARLSON, CLINT, DUANE SOLE SHAREHOLDER/DIRECTOR ASGARD INVESTMENT CORP. 08/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARLSON ALTERNATIVE ADVISORS, L.P. LIMITED PARTNER/CHIEF EXECUTIVE OFFICER indirect 1993-07-01
CARLSON CAPITAL, L.P. CHIEF EXECUTIVE OFFICER direct 1993-07-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON CAPITAL, L.P. SOLE SHAREHOLDER/DIRECTOR indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. SOLE SHAREHOLDER indirect 1993-08-01
CARLSON ALTERNATIVE ADVISORS, L.P. GENERAL/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01
CARLSON CAPITAL, L.P. PRESIDENT, CHIEF INVESTMENT OFFICER direct 1997-09-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER direct 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01
PARALLEL RESOURCE PARTNERS, LLC SHAREHOLDER indirect 2011-06-01
CARLSON OFFSHORE ADVISORS, L.P. CHIEF EXECUTIVE OFFICER direct 1997-09-01 2008-03-28
CARLSON CAPITAL, L.P. GENERAL PARTNER/LIMITED PARTNER indirect 1997-01-01 2010-03-31
PARALLEL RESOURCE PARTNERS, LLC MANAGER indirect 2011-02-01 2015-03-03

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
BLACK DIAMOND THEMATIC, L.P. United States 805-2072308515 Hedge Fund 6,855,967 1,000,000 Feeder Fund
BLACK DIAMOND SRI LTD Cayman Islands 805-5231843837 Hedge Fund 493,745 5,000,000 Feeder Fund
BLACK DIAMOND SRI, L.P. United States 805-9804949755 Hedge Fund 0 5,000,000 Feeder Fund
CATHEDRAL LAKE CLO 2013, LTD. Cayman Islands 805-6422282231 Other Private Fund COLLATERALIZED LOAN OBLIGATION FUND 337,812,237 250,000
BLACK DIAMOND LTD. Cayman Islands 805-6518718868 Hedge Fund 5,579,917 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND, L.P. United States 805-2611342325 Hedge Fund 134,408,873 5,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE LTD. Cayman Islands 805-6742834804 Hedge Fund 707,304 1,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE CAYMAN, L.P. Cayman Islands 805-3772362019 Hedge Fund 572,113,998 1,000,000
BLACK DIAMOND ENERGY SECTOR L.P. United States 805-6983321246 Hedge Fund 0 1,000,000
BLACK DIAMOND ENERGY SECTOR LTD. Cayman Islands 805-4212643105 Hedge Fund 0 1,000,000
BLACK DIAMOND MORTGAGE OPPORTUNITY OFFSHORE II, LTD. Cayman Islands 805-8438751288 Hedge Fund 9,461,561 50,000 Master Fund
BLACK DIAMOND SRI OFFSHORE LTD. Cayman Islands 805-2584071573 Hedge Fund 15,680,987 50,000 Master Fund
BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-7016877836 Hedge Fund 473,513,645 50,000 Master Fund
CATHEDRAL LAKE IV, LTD. Cayman Islands 805-8525470189 Other Private Fund COLLATERALIZED LOAN OBLIGATION FUND 405,099,623 100,000
BLACK DIAMOND PARTNERS, L.P. United States 805-4805226010 Hedge Fund 7,386,489 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND OFFSHORE LTD. Cayman Islands 805-3787216909 Hedge Fund 10,614,298,594 50,000 Master Fund
BLACK DIAMOND RELATIVE VALUE PARTNERS, L.P. United States 805-7739214965 Hedge Fund 92,487 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE LTD. Cayman Islands 805-5047443629 Hedge Fund 81,482 5,000,000 Feeder Fund
BLACK DIAMOND RELATIVE VALUE OFFSHORE LTD. Cayman Islands 805-6994538922 Hedge Fund 2,163,582,582 50,000 Master Fund
CATHEDRAL LAKE III, LTD Cayman Islands 805-7045088371 Other Private Fund COLLATERALIZED LOAN OBLIGATION FUND 393,768,183 100,000
BLACK DIAMOND THEMATIC OFFSHORE LTD. Cayman Islands 805-1396384685 Hedge Fund 2,814,971,162 50,000 Master Fund
BLACK DIAMOND MORTGAGE OPPORTUNITY II LTD. Cayman Islands 805-7745876088 Hedge Fund 0 1,000,000 Feeder Fund
BLACK DIAMOND MORTGAGE OPPORTUNITY II, L.P. United States 805-7480399821 Hedge Fund 2,041 1,000,000 Feeder Fund
BLACK DIAMOND ENERGY L/S LTD. Cayman Islands 805-6084588698 Hedge Fund 74,930 1,000,000 Feeder Fund
BLACK DIAMOND ENERGY L/S, L.P. United States 805-9650303277 Hedge Fund 37,485 1,000,000 Feeder Fund
BLACK DIAMOND ENERGY L/S OFFSHORE LTD Cayman Islands 805-2242335984 Hedge Fund 488,451,148 50,000 Master Fund
CATHEDRAL LAKE II, LTD. Cayman Islands 805-9514835653 Other Private Fund COLLATERALIZED LOAN OBLIGATION FUND 393,831,334 100,000
BLACK DIAMOND ARBITRAGE OFFSHORE LTD. Cayman Islands 805-4115091454 Hedge Fund 224,803,492 50,000 Master Fund
BLACK DIAMOND THEMATIC LTD. Cayman Islands 805-2118136890 Hedge Fund 168,557,000 1,000,000 Feeder Fund
BLACK DIAMOND ARBITRAGE PARTNERS, L.P. United States 805-7602128284 Hedge Fund 584,314 1,000,000 Feeder Fund
DOUBLE BLACK DIAMOND LTD. Cayman Islands 805-7118270888 Hedge Fund 153,096,879 5,000,000 Feeder Fund

WhaleScore history for CARLSON CAPITAL L P

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**EXPERIMENTAL** Current International Short Positions

Only includes UK, France, Germany, Japan, and HKEX are presently being processed.

Holder Issuer Net Short Position Position Date Origin
CARLSON CAPITAL UK LLP PEUGEOT S.A. 0.61% 2020-12-15 FRANCE

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Carlson Capital UK LLP A2A SPA 0.37% 2020-03-19 Italy
Carlson Capital UK LLP A2A SPA 0.51% 2020-03-16 Italy
Carlson Capital UK LLP A2A SPA 0.49% 2019-03-01 Italy
Carlson Capital UK LLP A2A SPA 0.5% 2019-02-21 Italy
Carlson Capital UK LLP A2A SPA 0.49% 2019-02-20 Italy
Carlson Capital UK LLP A2A SPA 0.59% 2019-01-25 Italy
Carlson Capital UK LLP A2A SPA 0.62% 2018-12-06 Italy
Carlson Capital UK LLP A2A SPA 0.59% 2018-11-29 Italy
Carlson Capital UK LLP A2A SPA 0.61% 2018-11-13 Italy
Carlson Capital UK LLP A2A SPA 0.52% 2018-09-17 Italy
Carlson Capital UK LLP A2A SPA 0.47% 2018-09-10 Italy
Carlson Capital UK LLP A2A SPA 0.5% 2018-09-05 Italy
Carlson Capital UK LLP A2A SPA 0.48% 2018-08-30 Italy
Carlson Capital UK LLP A2A SPA 0.5% 2018-08-28 Italy
Carlson Capital UK LLP A2A SPA 0.6% 2018-08-16 Italy
Carlson Capital UK LLP A2A SPA 0.51% 2018-07-31 Italy
Carlson Capital UK LLP A2A SPA 0.48% 2018-07-24 Italy
Carlson Capital UK LLP A2A SPA 0.5% 2018-07-13 Italy
Carlson Capital UK LLP A2A SPA 0.49% 2018-07-12 Italy
Carlson Capital UK LLP A2A SPA 0.5% 2018-05-31 Italy
Carlson Capital UK LLP AA PLC 0.5% 2018-10-17 UK
Carlson Capital UK LLP AA PLC 0.5% 2018-05-02 UK
Carlson Capital LP AIXTRON SE 0.58% 2019-06-03 GERMANY
Carlson Capital LP AIXTRON SE 0.69% 2019-05-09 GERMANY
Carlson Capital LP AIXTRON SE 0.72% 2019-04-04 GERMANY
Carlson Capital LP AIXTRON SE 0.65% 2019-02-27 GERMANY
Carlson Capital LP AIXTRON SE 0.71% 2019-02-26 GERMANY
Carlson Capital LP AIXTRON SE 0.8% 2019-02-13 GERMANY
Carlson Capital LP AIXTRON SE 0.79% 2019-01-04 GERMANY
Carlson Capital LP AIXTRON SE 0.8% 2019-01-02 GERMANY
Carlson Capital LP AIXTRON SE 0.79% 2018-11-02 GERMANY
Carlson Capital LP AIXTRON SE 0.84% 2018-11-01 GERMANY
Carlson Capital LP AIXTRON SE 0.95% 2018-10-19 GERMANY
Carlson Capital LP AIXTRON SE 0.82% 2018-10-16 GERMANY
Carlson Capital LP AIXTRON SE 0.68% 2018-08-15 GERMANY
Carlson Capital UK LLP AMEC PLC 0.57% 2016-11-22 UK
Carlson Capital UK LLP AMEC PLC 0.76% 2016-11-10 UK
Carlson Capital UK LLP AMEC PLC 0.67% 2016-11-09 UK
Carlson Capital UK LLP AMEC PLC 0.58% 2016-11-08 UK
Carlson Capital UK LLP AMEC PLC 0.67% 2016-10-27 UK
Carlson Capital UK LLP AMEC PLC 0.78% 2016-10-25 UK
Carlson Capital UK LLP AMEC PLC 0.81% 2016-10-07 UK
Carlson Capital UK LLP AMEC PLC 0.65% 2016-09-29 UK
Carlson Capital UK LLP AMEC PLC 0.04% 2014-11-21 UK
Carlson Capital UK LLP AMEC PLC 0.95% 2014-11-03 UK
Carlson Capital UK LLP AMEC PLC 1.0% 2014-10-31 UK
Carlson Capital UK LLP AMEC PLC 0.99% 2014-10-28 UK
Carlson Capital UK LLP AMEC PLC 1.0% 2014-10-17 UK
Carlson Capital UK LLP AMEC PLC 0.9% 2014-07-10 UK
Carlson Capital UK LLP AMEC PLC 0.81% 2014-06-26 UK
Carlson Capital UK LLP AMEC PLC 0.73% 2014-04-10 UK
Carlson Capital UK LLP AMEC PLC 0.65% 2014-04-01 UK
Carlson Capital UK LLP AMEC PLC 0.5% 2014-03-05 UK
Carlson Capital, L.P. AMLIN PLC 0.0% 2015-09-08 UK
Carlson Capital, L.P. AMLIN PLC 0.55% 2015-06-24 UK
Carlson Capital UK LLP BIFFA PLC 0.58% 2020-04-29 UK
Carlson Capital UK LLP BIFFA PLC 0.71% 2020-04-23 UK
Carlson Capital UK LLP BIFFA PLC 0.96% 2020-04-21 UK
Carlson Capital, L.P. BIFFA PLC 0.5% 2020-04-17 UK
Carlson Capital UK LLP BIFFA PLC 1.04% 2020-04-14 UK
Carlson Capital UK LLP BIFFA PLC 0.96% 2020-04-09 UK
Carlson Capital UK LLP BIFFA PLC 0.87% 2020-04-01 UK
Carlson Capital UK LLP BIFFA PLC 0.72% 2020-03-31 UK
Carlson Capital UK LLP BIFFA PLC 0.58% 2020-03-30 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.5% 2019-02-19 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.47% 2016-09-09 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.53% 2016-07-25 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.61% 2016-07-11 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.58% 2016-07-08 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.65% 2016-06-27 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.57% 2016-06-24 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.49% 2016-05-23 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.59% 2016-05-04 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.61% 2016-04-26 UK
Carlson Capital UK LLP CAPITAL & COUNTIES PROPERTIES 0.54% 2016-04-22 UK
Carlson Capital UK LLP CYBG PLC 0.55% 2018-08-02 UK
CARLSON CAPITAL UK LLP ELIS 0.0% 2017-09-12 FRANCE
CARLSON CAPITAL UK LLP ELIS 1.5% 2017-06-29 FRANCE
CARLSON CAPITAL UK LLP ELIS 1.45% 2017-06-23 FRANCE
CARLSON CAPITAL UK LLP ELIS 1.32% 2017-06-21 FRANCE
CARLSON CAPITAL UK LLP ELIS 1.25% 2017-06-20 FRANCE
CARLSON CAPITAL UK LLP ELIS 1.06% 2017-06-19 FRANCE
CARLSON CAPITAL UK LLP ELIS 0.97% 2017-06-16 FRANCE
CARLSON CAPITAL UK LLP ELIS 0.76% 2017-06-15 FRANCE
CARLSON CAPITAL UK LLP ELIS 0.54% 2017-06-14 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.46% 2021-02-04 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.58% 2021-01-28 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.68% 2021-01-26 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.79% 2020-12-16 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.88% 2020-12-08 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.96% 2020-10-30 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.09% 2020-09-30 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.19% 2020-09-24 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.25% 2020-09-22 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.3% 2020-08-21 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.22% 2020-08-10 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.12% 2020-07-01 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 1.01% 2020-06-02 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.9% 2020-05-21 FRANCE
CARLSON CAPITAL, L.P. EUTELSAT COMMUNICATIONS 0.89% 2020-05-06 FRANCE

**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
CARLSON CAPITAL L P Rockhopper Exploration Plc 2017-06-08 22,630,467 4.953%
CARLSON CAPITAL L P Punch Taverns plc 2016-12-14 5,077,143 2.28%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-09-28 22,120,048 7.46%
CARLSON CAPITAL L P Punch Taverns plc 2015-08-07 6,962,001 3.14%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
CARLSON CAPITAL L P Punch Taverns plc 2016-12-01 8,602,422 3.88%
CARLSON CAPITAL L P Punch Taverns plc 2016-09-02 10,641,907 4.79%
CARLSON CAPITAL L P Punch Taverns plc 2016-06-17 11,269,092 5.07%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-11-18 23,820,048 8.03%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-05-28 18,075,837 6.09%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-04-17 17,684,697 5.97%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-04-02 17,684,697 6.04%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-02-23 17,516,814 5.98%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-01-26 20,503,916 7.0%
CARLSON CAPITAL L P Rockhopper Exploration Plc 2015-01-07 18,575,116 6.34%

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