CASPIAN CAPITAL LP

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Caspian Capital is based out of New York. Caspian Capital is a large advisory firm with 11 clients and discretionary assets under management (AUM) of $3,446,054,642 (Form ADV from 2019-04-29). Their last reported 13F filing for Q1 2019 included $84,726,000 in managed 13F securities and a top 10 holdings concentration of 100.0%. Caspian Capital's largest holding is PG&E Corp. (Pacific Gas & Electric) with shares held of 3,056,375. Whalewisdom has at least 31 13F filings, 7 13D filings, and 11 13G filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $84.726 Million
  • Prior Market Value $55.188 Million
  • New Purchases1 stock
  • Additional Purchases0 stocks
  • Sold out of2 stocks
  • Reduced holdings in1 stock
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:50.00%
  • Turnover Alt % [2]: 64.21 %
  • Time Held Top20:8.17 quarters
  • Time Held Top10:7.67 quarters
  • Time Held All:8.17 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 2019-05-15

Performance for Q1 2019: 4.27%
Performance Last 4 Quarters: -15.9%
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:
  • 2019-03-31 - 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/A (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 (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)

View Last Form Adv Compilation Report on Record

CASPIAN CAPITAL, LP
Classified as Hedge Fund
10 EAST 53RD STREET 35TH FLOOR
NEW YORK NY    10022-5244
Country: United States

Business Phone: 212.826.6970
Fax: 212.826.6980
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 22
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: 0
Total Number of Clients: 11
Amount of client funds and securities by related persons: 3,069,200,000
Total Number of clients from related persons: 8
Disclosures:
Data above was derived from SEC filings.

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CASPIAN CAPITAL, LP

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CASPIAN CAPITAL GP LLC GENERAL PARTNER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
U.S. GLOBAL INVESTORS, INC. SHAREHOLDER direct 2005-12-01
P-SOLVE LLC INDIRECT OWNER indirect 2014-03-01
CLAYMORE FUND MANAGEMENT COMPANY LLC SHAREHOLDER direct 1998-02-01
LADENBURG THALMANN FUND MANAGEMENT LLC DIRECT SHAREHOLDER direct 1998-02-01
CASPIAN CAPITAL, LP GENERAL PARTNER direct 2010-10-01
FOUR CAPITAL PARTNERS LIMITED OWNER direct 2010-02-01
CAPEVIEW CAPITAL LLP PARTNER direct 2011-11-01
CAPEVIEW CAPITAL LLP PARTNER indirect 2012-03-01
CAPEVIEW CAPITAL LLP PARTNER direct 2012-03-01
TOUCHSTONE ADVISORY, LLC MEMBER direct 2017-03-01
MURRAY, ADELE, KITTREDGE CHIEF COMPLIANCE OFFICER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
XE CAPITAL ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-08-01
XE CAPITAL ADVISERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2007-08-01
CASPIAN CAPITAL, LP CHIEF COMPLIANCE OFFICER direct 2011-02-01
MIG INVESTMENT HOLDINGS, LLC LIMITED PARTNER 12/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MARINER INVESTMENT GROUP, INC. CORPORATE PARENT direct 2003-10-01
MARINER INVESTMENT GROUP, INC. CORPORATE PARENT direct 2007-12-01
MARINER INVESTMENT GROUP, LLC CORPORATE PARENT / MANAGING MEMBER indirect 2007-12-01
TRICADIA CDO MANAGEMENT, LLC CORPORATE PARENT indirect 2003-10-01
CREDIT RISK ADVISORS, L.P. CORPORATE PARENT indirect 2003-10-01
CREDIT RISK ADVISORS, L.P. CORPORATE PARENT indirect 2003-10-01
TRICADIA CAPITAL MANAGEMENT, LLC CORPORATE PARENT indirect 2005-03-01
MARINER MUNICIPAL MANAGERS LLC 100% CLASS B CONTROLLING INTEREST direct 2007-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER indirect 2007-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
PEMBROOK CAPITAL MANAGEMENT LLC MINORITY SHAREHOLDER direct 2006-07-01
COHEN, ADAM, STUART MANAGING PARTNER 12/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
CORLETO, DAVID, NATHAN MANAGING PARTNER 12/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
BEST, TERESE, MCCARTHY CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2015-07-01
PERKINS, THEODORE, GREY PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP PRESIDENT direct 2015-07-01
MURTAGH, KATHRYN GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP GENERAL COUNSEL direct 2015-08-01
MANZ, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP CHIEF FINANCIAL OFFICER direct 2015-08-01
CORLETO, DAVID, NATHAN MANAGER MEMBER CASPIAN CAPITAL GP LLC 12/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
COHEN, ADAM, STUART MANAGER MEMBER CASPIAN CAPITAL GP LLC 12/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
OAM CAPITAL, LLC MAJORITY SHAREHOLDER MIG INVESTMENT HOLDINGS, LLC 02/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2019-02-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2019-02-01
CASPIAN CAPITAL, LP MAJORITY SHAREHOLDER indirect 2019-02-01
OAM HOLDINGS, LLC MAJORITY SHAREHOLDER OAM CAPITAL, LLC 02/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2019-02-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2019-02-01
CASPIAN CAPITAL, LP MAJORITY SHAREHOLDER indirect 2019-02-01
ORIX GLOBAL ASSET MANAGEMENT, LLC MAJORITY SHAREHOLDER OAM HOLDINGS, LLC 12/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MAJORITY SHAREHOLDER indirect 2005-12-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-12-01
ORIX OPCO HOLDINGS, LLC MAJORITY SHAREHOLDER ORIX GLOBAL ASSET MANAGEMENT, LLC 09/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC OWNER indirect 2005-10-01
RED CAPITAL ADVISORS, LLC SOLE MEMBER indirect 2011-05-01
ORIX CAPITAL MARKETS, LLC MEMBER ORIX OPCO HOLDINGS, LLC 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC OWNER indirect 2005-10-01
RED CAPITAL ADVISORS, LLC SOLE MEMBER indirect 2011-05-01
ORIX CORPORATION USA MAJORITY SHAREHOLDER ORIX CAPITAL MARKETS, LLC 08/01/1981 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC OWNER indirect 1999-06-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. OWNER indirect 1999-06-01
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC SHAREHOLDER/CLASS A PREFERRED indirect 2006-01-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
CASPIAN CAPITAL, LP MEMBER indirect 2010-12-01
RED CAPITAL ADVISORS, LLC SOLE MEMBER indirect 2010-05-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01
ORIX CORPORATION SHAREHOLDER ORIX CORPORATION USA 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC MAJORITY SHAREHOLDER indirect 2013-07-01
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SOLE SHAREHOLDER indirect 2016-10-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. OWNER indirect 1981-10-01
HARBOR CAPITAL ADVISORS, INC. PRIMARY SHAREHOLDER indirect 2013-07-01
HARBOR CAPITAL ADVISORS, INC. SOLE SHAREHOLDER indirect 2016-10-01
ROBECOSAM USA, INC. MAJORITY SHAREHOLDER indirect 2013-07-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
BOSTON PARTNERS GLOBAL INVESTORS, INC. SOLE SHAREHOLDER indirect 2013-07-01
BOSTON PARTNERS GLOBAL INVESTORS, INC. MAJORITY SHAREHOLDER indirect 2013-07-01
CASPIAN CAPITAL, LP SHAREHOLDER indirect 2010-12-01
RED CAPITAL ADVISORS, LLC SHAREHOLDER indirect 2010-05-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CASPIAN HLSC1, LLC United States 805-6491509955 Hedge Fund 189,356,090 0
CASPIAN SELECT CREDIT MASTER FUND, LTD Cayman Islands 805-1014460375 Hedge Fund 2,096,792,743 10,000,000 Master Fund
CASPIAN FOCUSED OPPORTUNITIES FUND, L.P. United States 805-8431385002 Hedge Fund 177,267,752 0 Master Fund
CASPIAN SOLITUDE MASTER FUND, L.P. United States 805-4123834371 Hedge Fund 165,646,976 50,000,000
SUPER CASPIAN CAYMAN FUND LIMITED Cayman Islands 805-6871876672 Hedge Fund 125,420,044 100,000
CASPIAN SC HOLDINGS, L.P. United States 805-9811488585 Hedge Fund 229,752,814 0
CASPIAN KEYSTONE FOCUSED FUND, L.P. Cayman Islands 805-7901249951 Hedge Fund 11,113,017 0
CASPIAN INDUSTRY DISRUPTION FUND, L.P. United States 805-6530982240 Hedge Fund 73,853,083 10,000,000

CASPIAN CAPITAL, LP

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
CASPIAN CAPITAL GP LLC GENERAL PARTNER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
U.S. GLOBAL INVESTORS, INC. SHAREHOLDER direct 2005-12-01
P-SOLVE LLC INDIRECT OWNER indirect 2014-03-01
CLAYMORE FUND MANAGEMENT COMPANY LLC SHAREHOLDER direct 1998-02-01
LADENBURG THALMANN FUND MANAGEMENT LLC DIRECT SHAREHOLDER direct 1998-02-01
CASPIAN CAPITAL, LP GENERAL PARTNER direct 2010-10-01
FOUR CAPITAL PARTNERS LIMITED OWNER direct 2010-02-01
CAPEVIEW CAPITAL LLP PARTNER direct 2011-11-01
CAPEVIEW CAPITAL LLP PARTNER indirect 2012-03-01
CAPEVIEW CAPITAL LLP PARTNER direct 2012-03-01
TOUCHSTONE ADVISORY, LLC MEMBER direct 2017-03-01
MURRAY, ADELE, KITTREDGE CHIEF COMPLIANCE OFFICER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
XE CAPITAL ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-08-01
XE CAPITAL ADVISERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2007-08-01
CASPIAN CAPITAL, LP CHIEF COMPLIANCE OFFICER direct 2011-02-01
MIG INVESTMENT HOLDINGS, LLC LIMITED PARTNER 12/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MARINER INVESTMENT GROUP, INC. CORPORATE PARENT direct 2003-10-01
MARINER INVESTMENT GROUP, INC. CORPORATE PARENT direct 2007-12-01
MARINER INVESTMENT GROUP, LLC CORPORATE PARENT / MANAGING MEMBER indirect 2007-12-01
TRICADIA CDO MANAGEMENT, LLC CORPORATE PARENT indirect 2003-10-01
CREDIT RISK ADVISORS, L.P. CORPORATE PARENT indirect 2003-10-01
CREDIT RISK ADVISORS, L.P. CORPORATE PARENT indirect 2003-10-01
TRICADIA CAPITAL MANAGEMENT, LLC CORPORATE PARENT indirect 2005-03-01
MARINER MUNICIPAL MANAGERS LLC 100% CLASS B CONTROLLING INTEREST direct 2007-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER indirect 2007-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
PEMBROOK CAPITAL MANAGEMENT LLC MINORITY SHAREHOLDER direct 2006-07-01
COHEN, ADAM, STUART MANAGING PARTNER 12/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
CORLETO, DAVID, NATHAN MANAGING PARTNER 12/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
BEST, TERESE, MCCARTHY CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2015-07-01
PERKINS, THEODORE, GREY PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP PRESIDENT direct 2015-07-01
MURTAGH, KATHRYN GENERAL COUNSEL 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP GENERAL COUNSEL direct 2015-08-01
MANZ, CHRISTOPHER, MICHAEL CHIEF FINANCIAL OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP CHIEF FINANCIAL OFFICER direct 2015-08-01
CORLETO, DAVID, NATHAN MANAGER MEMBER CASPIAN CAPITAL GP LLC 12/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
COHEN, ADAM, STUART MANAGER MEMBER CASPIAN CAPITAL GP LLC 12/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CASPIAN CAPITAL, LP MANAGER MEMBER indirect 2010-12-01
CASPIAN CAPITAL, LP LIMITED PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING PARTNER direct 2010-12-01
CASPIAN CAPITAL, LP MANAGING MEMBER indirect 2011-10-01
ORIX MARINER HOLDINGS LLC MEMBER MIG INVESTMENT HOLDINGS, LLC 12/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
CASPIAN CAPITAL, LP MEMBER indirect 2010-12-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01
ORIX GLOBAL ASSET MANAGEMENT, LLC MEMBER ORIX MARINER HOLDINGS LLC 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
CASPIAN CAPITAL, LP MEMBER indirect 2010-12-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01
ORIX USA CORPORATION MEMBER ORIX GLOBAL ASSET MANAGEMENT, LLC 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC OWNER indirect 1999-06-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. OWNER indirect 1999-06-01
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC SHAREHOLDER/CLASS A PREFERRED indirect 2006-01-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
CASPIAN CAPITAL, LP MEMBER indirect 2010-12-01
RED CAPITAL ADVISORS, LLC SOLE MEMBER indirect 2010-05-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01
ORIX CORPORATION SHAREHOLDER ORIX USA CORPORATION 12/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC MAJORITY SHAREHOLDER indirect 2013-07-01
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SOLE SHAREHOLDER indirect 2016-10-01
HOULIHAN LOKEY FINANCIAL ADVISORS, INC. OWNER indirect 1981-10-01
HARBOR CAPITAL ADVISORS, INC. PRIMARY SHAREHOLDER indirect 2013-07-01
HARBOR CAPITAL ADVISORS, INC. SOLE SHAREHOLDER indirect 2016-10-01
ROBECOSAM USA, INC. MAJORITY SHAREHOLDER indirect 2013-07-01
MARINER INVESTMENT GROUP, LLC MAJORITY SHAREHOLDER indirect 2010-10-01
BOSTON PARTNERS GLOBAL INVESTORS, INC. SOLE SHAREHOLDER indirect 2013-07-01
BOSTON PARTNERS GLOBAL INVESTORS, INC. MAJORITY SHAREHOLDER indirect 2013-07-01
CASPIAN CAPITAL, LP SHAREHOLDER indirect 2010-12-01
RED CAPITAL ADVISORS, LLC SHAREHOLDER indirect 2010-05-01
PEMBROOK CAPITAL MANAGEMENT LLC MAJORITY SHAREHOLDER indirect 2010-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CASPIAN HLSC1, LLC United States 805-6491509955 Hedge Fund 196,716,000 0
CASPIAN INEFFICIENT MARKETS FUND, L.P. United States 805-3964120360 Hedge Fund 17,693,000 10,000,000 Master Fund
CASPIAN KEYSTONE FOCUSED FUND, L.P. Cayman Islands 805-7901249951 Hedge Fund 184,000 0
SUPER CASPIAN CAYMAN FUND LIMITED Cayman Islands 805-6871876672 Hedge Fund 135,807,000 100,000
CASPIAN SC HOLDINGS, L.P. United States 805-9811488585 Hedge Fund 258,136,000 0
CASPIAN FOCUSED OPPORTUNITIES FUND, L.P. United States 805-8431385002 Hedge Fund 200,139,000 0 Master Fund
CASPIAN SOLITUDE MASTER FUND, L.P. United States 805-4123834371 Hedge Fund 186,543,000 50,000,000
CASPIAN SELECT CREDIT MASTER FUND, LTD Cayman Islands 805-1014460375 Hedge Fund 2,380,172,000 10,000,000 Master Fund

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